_ [i-al SCience An lntrodu(tion to the Study of So(iety EDITION FOURTEENTH Elgin F. Hunt Late Chairman of Social Science Department Wilson junior College David (.Colander Department of Economics Middlebury College Allyn & Bacon Boston Amsterdam Delhi Columbus Cape Town Mexico City Indianapolis Dubai New York London Sao Paulo Sydney Madrid San Francisco Milan Hong Kong Munich Seoul Upper Saddle River Paris Singapore Montreal Taipei Toronto Tokyo / \t'tlllll't' hlitor: jeff Lasser l'rcljtYI Mmwger: Lauren Macey hlitorinl Assistant: Elaine Almquist Exrwtive Marketing Manager: Kelly May Sr. Production Project Manager: Roberta Sherman Ma11u[acturing Buyer: Debbie Rossi 'over Administrator: Kristina Mose-Libon Editorial Production and Composition Service: Elm Street Photo Researcher: Martha Shethar Credits appear on page 455, which constitutes an extension of the copyright page. Copyright© 2011,2008, 2005 Pearson Education, Inc., publishing as Allyn & Bacon,75 Arlington To the sales reps-the unsun!l heroes of textbook publishin!l Street,Suite 300, Boston, MA 02116. All rights reserved. Manufactured in the United States of America. This publication is protected by Copyright, and permission should be obtained from the publisher prior to any prohibited reproduction, storage in a retrieval system, or transmission in any form or by any means, electronic, mechanical, photocopying,recording, or likewise. To obtain permission(s) to use material from this work,please submit a written request to Pearson Higher Education, Rights and Contracts Department, 501 Boylston Street, Suite 900, Boston, MA 02116,or fax your request to 617-671-3447. Many of the designations by manufacturers and sellers to distinguish their products are claimed as trademarks. Where those designations appear in this book, and the publisher was aware of a trademark claim,the designations have been printed in initial caps or all caps. Library of Congress Cataloging-in-Publication Data Hunt, Elgin F. Social science: an introduction to the study of society I Elgin F. Hunt, David C. Colander.-14th ed. p. em. Includes bibliographical references and index. ISBN-13: 978-0-205-70271-8 ISBN-10: 0-205-70271-6 1. Social sciences. H85.H86 I. Colander, David C. II. Title. 2020 300-dc22 2009054359 10 9 8 7 6 5 4 3 2 I HAM 14 13 12 II 10 Allyn & Bacon is an imprint of PEARSON ------ ISBN 10: www.pearsonhighered.com 0-205-70271-6 ISBN 13:978-0-205-70271-8 Contents Preface XlX Part I Introduction Chapter l Social Science and Its Methods l 5 Social Science Social Science as a System of Rules 7 The Scientific Method and Its Application Methodology and the Social Sciences The Methods of Social Science 8 10 H Social Science Approaches to Problems 16 Common Sense in the Social Sciences The Use of Statistics The Interdisciplinary Approach Zl Social Science and Society Agreeing on Policy 21 Values, Terminology, and Rhetoric Conclusion 18 18 21 22 ll fLppendix Historical Roots of Social Science The Enli!lhtenment Z6 l7 From Philosophy to Social Science Chapter Z Human Origins Z5 Z8 The Origin of the Human Species zg Darwin and the Theory of Evolution Recent Developments in Genetics 29 32 Some Implications of Recent Developments 33 vii viii Contents Contents Sociobiology Factors Stabilizing Culture 34 Punctuated Equilibrium versus Gradual Change Science, Faith, and Controversy Chapter) Cultural Lag and Social Problems 38 Cultural Relativism 48 ChapterS 48 49 Development of the Greek Civilization The Persian Empire 52 Roman Civilization 54 52 Demography 89 91 Population Estimates The Middle Ages (A.D. 476-1455) The Problem of Counting 61 61 The Emergence of Nation-States 63 The Industrial and Political Revolutions of the 1750s to the 1850s 66 64 The Malthusian Theory 69 The Question of Population Quality 97 Ecology: The Interaction of Geography, Demography, 70 71 71 Conclusion 68 Chapter 6 102 10Z Technology and Society lOS 107 Technology and Globalization Workers Culture, Society, and Social Change Popular Theories of Social Change Language and Cultural Change Conservation and the High Price of Gasoline 111 Modern Technology and the Need for Skilled 74 Factors Causing Cultural Change 99 100 Standardization, Interchangeability, and Mass 108 Production 70 Culture and the Nature of Society Cultural lntegration Pollution 99 The Development of Industrialism in the United States Culture and Its Role in Human Societies The Elements of Culture 96 97 The Industrial Revolution 69 The Shared Beliefs in Culture 96 The Concept of Optimal Population and Environment Part II Culture and the Individual Chapter 4 Society, Culture, and Cultural Change 94 95 Population and Means of Subsistence The Ecological Balance Culture and Multiculturalism 93 The Growth of Population over Time The Development of Modern Economic and Political Institutions From Setfdom to Mercantilism 9/ Determinants of Population Growth 56 59 86 Geography, Demography, Ecology, and Society Geography 49 85 85 Approach to the Study of Society The Cradle of Modern Civilization: Mesopotamia and Egypt Multiculturalism 84 The Interaction of Humans and Society From the Stone Age to the_ Agricultural Age Conclusion 83 84 Contrasts among Cultures Origins of Western Society The Renaissance 8Z Limitations of the Cultural Lag Theory 45 Early Civilizations 81 Social Change and Social Problems 37 Predecessors of Modem Humans Conclusion 35 57 The Evolution of Human Beings 81 Social Change versus Social Stability 76 76 79 75 111 Machines and Unemployment 112 Technology and Social Change 1H Problems Created by Technology /13 Technology and Crime 115 107 89 ix X Contents Contents 115 Natural Resources, Economics, and Technology Natural Resources and the Limits of Economic Growth 117 118 Technology of the Past Technology of the Future Future Shock? Chapter 7 120 1Z3 The Nature/Nurture Debate The Future of the Family Chapter g 132 134 1)4 Intelligence, Personal Adjustment, and Normality Major Theories on Deviance � 139 140 Psychological and Biological Explanations of Deviance Sociological Explanations of Deviance Economic Explanations of Deviance 141 143 168 Reli�ion 169 The Great Religions of loday Hinduism 171 Buddhism 172 174 judaism Christianity Islam 170 177 180 183 The Role of Religion in Society 142 Summary of Various Perspectives on Deviance 140 164 165 The Nature of Religion 135 H9 164 Technology's Effect on the Family 131 Intelligence and Personal Adjustment 163 The Family in Transition 132 The F reudian Concept of Personality 160 163 Same-Sex Households 130 The Well-Adjusted Individual 160 Living Together 126 128 Adjustment and Normality 157 163 Singles 125 1Z7 Personality and Its Development 143 Religion as a Source of Moral Values and Social Change Impact of Religion on Education, the Arts, and Literature Interfaith Efforts for Peace Variations in the Family Pattern Number of Mates 147 Selection of Mates 148 149 Reckoning of Descent 149 Chapter 10 Education 187 Schools as Agencies of Social (ontrol 147 183 184 184 The Potential Conflict between Religion and Government Part Ill Institutions and Society Chapter 8 The Family 146 Family Control 154 159 Family Disorganization and Divorce 124 Effects of Extreme Isolation on Children Explanations of Behavior Sex and Singles Senior Citizens Significance of Differences in Individual Environment (onclusion 152 157 Children Significance of the Early Years of Childhood Deviance 152 Dating ll4 Socialization of the Individual Mental Tests Selection of Mates The Family in the United States Today Psycholo�y, Society, andCulture Pop Psychologies 151 Other Western Family Characteristics and Functions of the Family 121 · Number of Mates Family Control and Reckoning of Descent The Social Basis for Technological P rogress 151 Matching Family Patterns with Family Functions 117 Global Warming 150 Functions of the Family in Society 116 The Dual Thrust of U.S. Education Education and U.S. Democracy The Development of U.S. Education 188 188 188 189 Democratic Structure of the U.S. School System Formalization of the School System 193 191 184 153 xi !11 xii Contents Contents Asians 195 Examining the School System Technological Change and Teaching • 195 Private Schools and Home Schooling 195 196 Charter Schools, Privatization, and the Problem of School Finance 197 Textbooks 198 Multiculturalism, Collaborative Learning, and Institutional Fairness How Good Are U.S. Schools? 199 The Search for Excellence 201 Changes in the College Curriculum 202 Is the U.S. Educational System Equal? 204 How Much Education Should the Average Citizen Receive? Interaction of Economics, Politics, and Social Institutions Chapterll 210 210 251 Z54 Conclusion Part IV Politics and Society Chapterl� The Functions and Forms of Government Education and Social Mobility 259 Regulating Individuals' Actions 260 Promoting the General Welfare 260 Democracies Autocracy Chapter 14 220 Increasing Social and Economic Inequality Policies to Reduce Inequality 267 270 zzz French Government 224 Z79 The French Parliamentary System Stratification, Minorities, and Discr imination ZZ6 Race and Ethnicity Ethnic and Racial Prejudice and Discrimination 230 nl Native Americans 239 Mexican Government The British Influence 227 228 Z8Z ZS6 287 Z89 Saudi Arabian Government ' 232 280 280 Modern Nigeria's Government: The Fourth Republic Russian Government 231 Blacks (African Americans1) Hispanics The French Executive Branch Nigerian Government Questions of Ethnic and Racial Superiority Minorities ZZ6 ng Governments of the World 223 Some Conclusions about the U.S. Class System Z76 Governments Are Far from Simple 219 Causes of Income Inequality 262 266 Z66 Forms of Government 217 Zl8 Economic and Social Inequality 262 Elements of Truth in Each of the Views 218 Class Consciousness, Marx, and Weber The Melting Pot Z6l Three Views of the Nature of Government 216 Class Consciousness in the United States 258 258 Ensuring justice Safeguarding Individual Freedoms 215 ZS7 Z58 The Primary Functions of Government Political Theory and Government Who Are the Upwardly Mobile? Measuring Poverty 247 Debates about the Nature of Government Zl4 Social Mobility 246 Religious Minorities Women 243 243 Maintaining Internal Order and External Security 211 Social Classes ChapterlZ Z06 ZlO Types of Social Stratification Castes 204 zog Social and Economic Stratification Estates Irnmigrants and Minorities Senior Citizens 198 School Dropouts 241 Arab Americans and Americans of Middle Eastern Descent zgz Some Lessons about Governments Future (hanges in Governments Z95 Z95 289 xiii 111 xiv Contents Contents Chapter 15 zgg The Stru(ture of U.S. Government Structure of the National Government Political Parties Elections 302 )ll Government's Macroeconomic Role The Political Elite 317 318 )ZO Functions of an Economy "5ll 323 Economics and the Social Sciences )51 The Economic Aspects of Culture The Great Economic Problem Sovereignty of States )Z5 From Mercantilism to a Pragmatic Market Economy 326 )zg 330 How Market Economies Are Supposed to Work 331 ))Z Modern Economies Are Pragmati( Market Economies ))6 ))5 ))g 365 368 )70 371 Values, Ideologies, and Foreign Policy The Economy, Government, and EconomicChallenges Facing the United States -;-;g 340 )64 367 Geography and Foreign Policy 371 The United States in the World Community The President and Foreign Policy U.S. Foreign Policies Government's lndire(t Role in the Economy 362 The Nature and Sources of National Power Other Sources of Power Foreign Policies Chapter 19 362 363 Maintaining Security 329 Why Central Planning Did Not Meet Its Goals The Problem of Regulating an Economy )5g Power in the World Community 325 How Planned Economies Are Supposed to Work -;sg 360 The Rise of the European Union 324 Planned and Unplanned Economies Part VI Global Issues Chapter 18 International Political Relations The Establishment and Disappearance of Nation-States 324 From Feudalism to Mercantilism )56 The Nation-State 323 The Evolution of Economi( Systems 353 355 The State in International Relations 323 Economic Wants and Economic Goods Chapter 17 347 351 The Globalization Crisis Conclusion )l) The Nature of an Economy The Fiscal Crisis Global Warming Part V Economics and Society Chapter 16 The Organization of Economic Activities Conclusion 345 Economi( Challenges Facing the U.S. in the Future Evaluation of the Demouati( Politi(al Pro(ess Supply and Demand )45 Income Redistribution through Government The Military-Industrial Complex and Pressure Groups II 344 Some Controversial Roles of the Government 314 317 )4) 343 Alternative Methods of Supply in a Pragmatic Market Economy 344 300 313 The Fourth Estate 342 Where the Government Spends Its Money Where Government Gets Its Money The Nature of Our National Government The Politi(al Pro(ess Fluctuating Attitudes toward Regulation 342 Government's Direct Role in the Economy zgs Histori(al Development of U.S. Government I zgs Democratic Government in the United States Whose Desires Does the Government Reflect? )74 374 376 International Economic Relations The Terminology of Trade )81 The Balance of Trade and the Balance of Payments Visible and Invisible Trade :580 382 381 XV I xvi Contents Contents Advantages and Disadvantages of International Trade Three Advantages of Trade '58'5 Chapter Zl 383 Disadvantages of Trade Why Economists Genera l ly Support Free Trade 384 the Disadvantages Il Is the UN Worth It? 388 Removing Trade Restrictions The Meaning of Foreign Exchange I Other UN Approaches 389 Trouble Spots of the World 391 '594 The Political Economies of Developing Countries The Po litical Consensus Prob lem The Corruption Problem '599 The Debt Problem 400 400 The Economic Problem 401 404 The Popu lation P roblem 404 The Brain Drain Prob lem 404 Mission Impossible: Advice to a Potential Leader 406 Options of Developing Countries Political Options 406 Economic Options 406 Foreign Policy Options Popu lation Options 406 406 The Brain Drain Option Who Will Be the Next Leader? 407 Case Studies China II I '594 Mexico Uganda Conclusion 407 411 413 415 Index Credits Problems of Developing Countries I The War on G lobal Terrorism Globalization, Trade Imbalances, and Exchange Rates Chapter ZO 407 407 428 The Outlook for Peace 390 Fixed and F lexible Exchange Rate Systems Conclusion 424 The UN's Role in Keeping the Peace 388 '590 Foreign Exchange 421 4Z'5 The United Nations 386 Import Quotas 419 Approaches to the P roblem of War '585 G lobalization and Trade Restrictions I The Causes of War 385 Restrictions on International Trade 419 The Problem of War W hy You Can't Get the Advantages without Tariffs on Imports Internat ional Inst itutions and the Search for Peace 384 405 )gJ 439 455 4Z9 431 437 426 418 xvii \II ...._ .____._ __ . . ... . Preface Social science is taught in diverse ways. Some courses take a global perspective, some an anthropological perspective, some a psychological perspective, some a sociological perspec­ tive, and some a historical perspective-to name just a few. In my view, although each indi­ vidual social science perspective has something to offer, what distinguishes the social science course is that it looks at problems from as many different perspectives as possible, relying on the scholar's common sense to choose the perspective that is most useful for a particular problem. The commonsense perspective is the social science perspective. I Social science is an important course. All too often our educational system rushes stu­ dents into specializations before the students have an overall picture-before they know where they want to go. Once they have an overall picture, specialization is necessary, but to specialize before having an overall picture is unfair to students. Students who specialize too early don't develop a commonsense perspective; they aren't sensitive to the interrelation­ II ships and resonances among disciplines. At worst, they become slaves of their discipline's approach. At best, they have the wisdom to recognize that there are many approaches to a problem, but their lack of training forces them to recreate the wheel. Knowledge of the other disciplines would have saved them the trouble and been far more efficient. That's why I am a strong advocate of the social science course. It is one of the most im­ portant courses students take in college, and in my view it is a necessary prerequisite to tak­ ing courses in specific disciplines. It puts those other courses in perspective. The changes in this edition have been made to strengthen the presentation and to keep the book current. I have reworked sections that reviewers thought needed work and updated all chapters. The major changes are in the political, economic and international sections. The economic chapters in the previous edition reflected the formerly socialist countries' transition to a market economy. Their adjustment is now more complete and I have rewritten the chapters to reflect that. All major economies of the world are now prag­ matic market economies. The interesting policy questions in economics now center less around socialism vs. the market, but what type of market economy we want to have. With the financial crisis of 2008 and 2009, such issues will be much in the news and I have rewrit­ ten the economic chapters to reflect that. This meant a major change to Chapter 16, and almost total rewriting of Chapter 17, which now has the name, "The Economy, Government, and the Economic Challenges Facing the United States." The political chapters have been rewritten to bring them up to date with the constantly changing political winds. For the U.S. this means a substantial change. With the election of l Barack Obama as president, and his attempt to deal with the financial crisis, politics in the U.S. are quite different in 2010 than they were in 2007. It is not only internal politics that have changed. President Obama has changed the tone of U.S. foreign policy, and the inter­ national chapters have been modified to capture that change in tone. There were also smaller changes made to many of the other chapters both to reflect the newest developments in social science thinking and to keep the book current. For example, in Chapter I I added a discussion of how social science thinking underlies both the law and international relations to help tie in those sections with the broader social science theme. xix \1�1 XX Preface Preface In Chapter 2, I added a discussion of Ben Stein's documentary Expelled: No Intelligence Allowed to spice up the discussion about intelligent design. Other chapters have similar small changes, all made with the goal for keeping this book totally up to date. Finally, I updated all the internet questions and connections to keep the questions current and to see that the sites are still accessible. I will post links on my website http://community .middlebury.edu/-colander/links.html) so that you can assign the students the questions and they will only have to click on the link. Despite all these changes the book remains what it was in the previous edition-a relatively neutral (at least as neutral as I am able to be) commonsense overview and intro­ duction to the social sciences and social science thinking about the major issues of our day. xxi Community College; Norman R. Yetman, The University of Kansas; and George Zgourides. Primus, Miami-Dade North Community College. At the end of an earlier edition, I included a sheet for students to grade the book and to send me suggestions for improvement. A number of students did this, and their suggestions have played an important role in shaping the book. Most, I'm happy to say, were highly pos­ itive, but a few attacked the book and the course. One particularly memorable student flunked me on just about every chapter and wrote the following: Until you and this so called science become legitimized I'd rather spend time gorging myself and then vomiting. Guesses, hypotheses, maybes, might be's don't belong in college; they belong in elementary school. ('tcknowledgments That student obviously read the book, because he is correct: The book doesn't tell the stu­ dent what is right or wrong, and it does report guesses, hypotheses, and maybes. But that As always, the book benefits from the suggestions of reviewers, colleagues, and students who have e-mailed me. I'd like to thank them all. For this edition, I'd specifically like II to thank some great reviewers: Ali Al-Taie, Shaw University; William Plants, University of Rio Grande; and David S. Schjott, Northwest Florida State College. Over the last few editions the reviewers have included: Emmanuel Agbolosoo, Navajo Community College; Ali Al-Taie, Shaw University; Veri Beebe, Daytona Beach Community College; John Beineke, Kennesaw State College; Thomas J. Bellows, The University of Texas at San Antonio; Dallas A. Blanchard, University of West Florida; Ducarmel Bocage, Howard University; William K. Callam, Daytona Beach Community College; Pam Crabtree, New York University; Bruce Donlan, Brevard Community College; Anthony Douglas, Loman, Mississippi; Dr. William M. Downs, Georgia State University; Phil A. Drimmel, Daytona Beach Community College; J. Ross Eshleman, Wayne State University; Dana Fenton, City University of New York, Borough of Manhattan Community College; Cyril Francis, Miami-Dade North Community College; Richard Frye, Neuro-Diagnostic Lab, Winchester Memorial Hospital, Winchester, Virginia; Judy Gentry, Columbus State Community College; Paul George, Miami-Dade Community College; Don Griffin, University of Oklahoma; Charles F. Gruber, Marshall University; Ghulam M. Haniff, St. Cloud State University (Minnesota); Roberto Hernandez, Miami-Dade New World Center; Charles E. Hurst, The College of Wooster; Sharon B. Johnson, Miami-Dade Community College; Kenneth C. W. Kammeyer, University of Maryland; Rona J. Karasik, St. Cloud State University; Lynne! Kiely, Truman College; H. D. Kirkland, Lake City Community College; Patricia E. Kixmiller, Miami-Dade Community College; D. R. Klee, Kansas City, Missouri; Casimir Kotowski, Harry S. Truman City College; Errol Magidson, Richard J. Daley Community College; James T. Markley, Lord Fairfax Community College; Stephen McDougal, University of Wisconsin-La Crosse; David J. Meyer, Cedarville University; Karen Mitchell, University of Missouri; Catherine Montsinger, Johnson C. Smith University; Lynn Mulkey, Hofstra University; Roy Mumme, University of South Florida; Eleanor J. Myatt, Palm Beach Junior College; Quentin Newhouse Jr., Howard University; Annette Palmer, Howard University; Pilkington-Duddle, Highland Beach, Robin Perrin, Pepperdine University; Florida; William Primus, Miami-Dade Joseph North Community College; Roger Rolison, Palm Beach Community College; William H. Rosberg, Kirkwood Community College; Dan Selakovich, Oklahoma State University; Henry A. Shockley, Boston University; Ruth Smith, Miami-Dade Community College; Scharlene Snowden, City University of New York, Medgar Evers College; Larry R. Stucki, Reading Area Community College; Barry Thompson, University of Rio Grande; Judy Thompson, University of Rio Grande; Elizabeth Trentanelli, Miami-Dade College; Edward Uliassi, Northeastern University; David Wells, Glendale Community College; Ted Williams, City College of Chicago; William Plant of the University of Rio Grande W. M. Wright, Lake City student is wrong about what does and what doesn't belong in college. Guesses, hypotheses, and maybes are precisely what belong in college, because by the time students are in college they can be expected to have the maturity to understand that knowledge is nothing but good guesses, reasonable hypotheses, and logical maybes. Social science doesn't tell you what's right. It presents the observations and the theories as fairly as it can and lets you decide. This edition I made good use of research assistants who I had do background research, fact checking, proofreading, and providing me with council about what worked and what didn't. These students include Kent Diep, Steven Jones, Jing Zhong, Zach Colander, Andrew Chong, Sam Parnell and Erik Elderbrock. I thank them all. I would also like to acknowledge the contributions of Executive Editor Jeff Lasser and Editorial Assistant Lauren Macey who played valuable roles in helping me prepare this Fourteenth edition. I also thank Helen Reiff, Erik Elderbrock, and Aaron Brush who worked on the index. Lauren Traut helped smooth out the process and the team at Elm Street Publishing Services oversaw the production of this book; I thank them for all their hard work. I want to thank my family for helping me find the time to work on the book. Finally, I want to mention the unsung heroes-the sales reps who came to me with names of reviewers and suggestions for changes and to whom this book is dedicated. These sales reps are the backbone of any college publishing company, and I thank them. One rep in particular deserves special recognition. After the death of Elgin Hunt, who was the initial author of this book, she recruited me for Social Science; she convinced me and Macmillan to do the book, and she continued to provide unending support and encouragement. This book was always known at Macmillan as "Wendy's book," and it remains Wendy's book, even though it is now published by Allyn and Bacon. D. C. C. Part I 11 1 Introduction S,ocial Science and Its Methods �l After readinq this £hapter, you should be able to: • 1 '1 [II Define social science and explain why it is important • List the various social sciences • State the nine steps that make up the scientific method • Discuss some reasonable approaches to problems in social science • Differentiate the historical method from the case method and the comparative method • Distinguish educated common sense from common sense • Explain why a good scientist is always open to new ways of looking at issues Theories should be as simple as possible, but not more so. -Albert Einstein On September 1 1 , 2001, eighteen men boarded airplanes with the intent of crashing them into the World Trade Center, the Pentagon, and the White House or Capitol. They suc­ ceeded with three of the planes, causing enormous destruction. The fourth plane crashed, but thanks to passengers who discovered the highjackers' plans and attacked the highjack­ ers, the destruction of the White House or Capitol was prevented. What forces drove the highjackers to undertake such action? What forces led the passengers to organize together to thwart them? What might have prevented the highjackings? Such questions fall under the purview of social science-the scientific study of social, cultural, psychological, economic, and political forces that guide individuals in their actions. Formal social science is relatively new. Nevertheless, a vast amount of information has been accumulated concerning the social life of human beings. This information has been used in building a system of knowledge about the nature, growth, and functioning of human societies. Social science is the name given to that system of knowledge. All knowledge is ( 1 ) knowledge of human beings, including their culture and products, and ( 2 ) knowledge of natural environment. Human culture has been changing, and knowl­ edge about it has been gradually accumulating ever since the far distant time when humans first assumed their distinctively human character. But until rather recent times, this knowl­ edge was not scientific in the modern sense. Scientific knowledge is knowledge that has been systematically gathered, classified, related, and interpreted. It is concerned with learn­ ing the concepts and applying those concepts to particulars, rather than just learning a vast amount of information. Primitive peoples acquired much of their knowledge unconsciously, just as we today still begin the use of our native language and acquire many of the basic elements in our cul­ ture unconsciously. For the most part, they accepted the world as they found it, and if any 1 l· 2 I I! �1 Social Science and Its Methods Social Science versus the Soaps Faced with the events that affect our lives, we have two options: We can lose ourselves in a parody of real­ tain rules that are passed on to them, either through their genes or through society's mores. The ultimate goal of the game is often unclear, although its day-to-day objects can be said to consist really sleeping with John's wife's brother?), or we can of continuing to play the game and to keep the game try to understand those events-what actually hap­ itself alive. What winning or losing the game might be pens. Some educators, following the philosophy of is clouded. Probably, if we commit suicide, we are los­ Plato, try to argue the moral superiority of the latter: ers. If we make a million dollars, are admired by our Better to be an unhappy learned person than a happy acquaintances for it, and are happy, we are probably fool. Others find that unconvincing. Following Jeremy winners. Many people even question whether we are Bentham, the social philosopher, they prefer happi­ playing the game of our own free will or whether we ness. The problem they have with the soaps is that are merely the pawns of a god who has predetermined soaps don't make you happy; soaps quickly become all our actions. This game is far more diverse and interesting than and, often, create far better scenarios than the televi­ other games. The possibilities are endless and the sion writer. It's a bit like tic tac toe: one move (if you challenge immediate. It has elements of danger, like know what you are doing), and the game is done. Russian roulette (if we really do goof, we will blow our­ Pinochle is somewhat more interesting, and the good selves up). And it has its peaceful moments. But what TV shows approach the complexity of pinochle. But makes it the most interesting game of all is that we here again, after seven or eight cards have been are both the players and the played, at times moving played, the possibilities soon become evident. Chess is ourselves as we make stupid or foolish choices and a step above this, with its infinite number of possibili­ contrive sophisticated or imaginative solutions, and at ties. But still, after twenty or so moves (and often other times watching other players as they make their fewer), good chess players can anticipate the outcome choices and contrive their solutions. Trying to under­ and choose to call a draw, resign, or declare victory. Quite frankly, soaps, tic tac toe, pinochle, and stand this game is what social science is all about. And the reason I am a social scientist instead of a TV chess are not for this author. I prefer a far more fan is that I watch society and try to understand what complicated game-one in which I'm both a player makes society work. It's a whole lot more challenging and a pawn. That game could be called the game of and fun than watching the soaps. Moreover, unlike the life, or it could be called the game of society. It is soaps, watching society has a purpose-if we can un­ played by some 7.8 billion people, each having a derstand society, we might be able to make it better. wide variety of possible moves that range from \II two types have certain drives, and desires, and cer­ ity, such as becoming experts on the soaps (is Laura boring. You soon play out the options in your head I Social Science Social science has fascinated enormous numbers shooting up a playground full of schoolchildren to of people, and a whole set of ponderings about the trying to travel farther into outer space, construct game has already developed. These ponderings con­ faster computers, or improve humans by modifying cern the nature, growth, and functioning of human their genes. The players in the game of society are societies. This book introduces you to the past divided into two types: male and female. These ponderings of social scientists. explanations seemed called for, they invented supernatural ones. Some primitive peoples believed that every stream, tree, and rock contained a spirit that controlled its behavior. In modern times, our emphasis is on the search for scientific knowledge. We have di­ vided human knowledge into a number of areas and fields, and every science represents the systematic collection and study of data in one of these areas, which can be grouped roughly into two major fields-social science and natural science. Each of these fields is subdivided into a number of specialized sciences or disciplines to facilitate more intensive study and deeper understanding. Social science is the field of human knowledge that deals with all as­ pects of the group life of human beings. Natural science is concerned with the natural envi­ ronment in which human beings exist. It includes such sciences as physics and chemistry, which deal with the laws of matter, motion, space, mass, and energy; it also includes the biological sciences, which deal with living things. The third field of study is the humanities, 3 which deals with literature, music, art, and philosophy. The humanities are closely related to social science in that both deal with humans and their culture. Social science, however, is most concerned with those basic elements of culture that determine the general patterns of human behavior. The humanities deal with special aspects of human culture and are prima­ rily concerned with our attempts to express spiritual and esthetic values and to discover the meaning of life. Whereas the social sciences study issues in a systematic, scientific way, the focus of the humanities is more on the emotions and feelings themselves than on the sys­ tem employed to sharpen that focus. The importance of social science goes far beyond the specific social sciences. It is social science thinking that underlies much of the law as well as our understand ing of interna­ tional relations and governmen t. All these fields are the natural byproducts of social science inquiry. Thus, a knowledge of social science is necessary for anyone trying to understand current world events. Social Science No field of study is more important to human beings than the social sciences. To under­ stand society is to learn not only the conditions that limit our lives but also the opportuni­ ties open to us for improving the human condition. Increasing our knowledge of human society is as important as learning more about mathematic s, physics, chemistry, or engi­ neering, for unless we can develop societies in which human beings can live happy, mean­ ingful, and satisfying lives, we cannot reap the benefits from learning how to make better automobiles and skyscrapers, traveling in space, or constructing faster computers. Albert E instein summed it up: "Politics is more difficult than physics and the world is more likely to die from bad politics than from bad physics." Because all expressions of human culture are related and interdependent, to gain a real understandi ng of human society we must have some knowledge of all its major aspects. If we concentrate on some phases and neglect others, we will have a distorted picture. But so­ cial science today is such a vast complex that no one student can hope to master all of it. Thus, social science itself has been broken up into anthropology, sociology, history, geogra­ phy, economics, political science, and psychology. ( The boxes in this chapter provide a brief introduction to each of these disciplines.) This list of social science disciplines is both too broad and too narrow. It is too broad because parts of the fields of history, geography, and psychology should not be included as social sciences. For instance, parts of history and geography belong in the humanities, and parts of psychology belong in the natural sciences. The list is too narrow because new so­ cial sciences are emerging, such as cognitive science and sociobiology, that incorporate new findings and new ways of looking at reality. ( See box on The Evolving Social Sciences. ) Because all knowledge i s interrelated, there are inevitable problems in defining and cat­ aloging the social sciences. Often, it is difficult to know where one social science ends and another begins. Not only are the individual social sciences interrelated, but the social sci­ ences as a whole body are also related to the natural sciences and the humanities. The strains of the old song, "The hip bone's connected to the thigh bone, . . ." are appropriate to the social sciences. To understand history, it is helpful, even necessary, to understand geog­ raphy; to understand economics, it is necessary to understand psychology. Similar argu­ ments can be made for all of the social sciences. One of the difficulties in presenting definitions and descriptions of the various social sciences is that social scientists themselves don't agree on what it is they do, or should be doing. In preparing this chapter, we met with groups of social scientists specializing in spe­ cific fields and asked them to explain what it was that distinguishe d their field from others. 4 I Il [I I cognitive science is the The themes of this book are evolution and change. tive definition of Thus, it would be surprising if the divisions among the mind identifies problems and how it solves those study of how the social sciences that currently exist still remain problems. For instance, there are more ways to write ten years from now. Indeed, with the development of the letter s than there are people who know how to new technology and technological advances in the write that letter (all people who write plus the printing physical sciences, the distinction among the various press and computer software and innumerable type­ sciences is blurring and new sciences are developing. faces designed for them). Let us identify the problem As these fields develop, the boundaries of the various as how to recognize the letter s when we see it. We social sciences change. know the result of the exercise: Everyone who knows Interaction among the various social sciences is how to read can instantly recognize most renditions of creating new fields, such as economic psychology, psy­ the letters (the handwriting of a few college students chological economics, and sociopolitical anthropology. and some physicians excepted). But we do not cur­ In economics and political science, too, a group of rently know how we do it. Or, how do you know the face economists is calling for the reintegration of these two of your roommate from the face of your mother, from fields into political economy, and some schools do the face of the letter carrier, from the face of Brad Pitt? have departments of political economy. There has been speculation about how the mind works Change is also occurring in the natural sciences, for almost as long as there have been minds, theories, and there is interaction between the natural and social and even experiments, but few specific riddles have sciences. New developments in genetic theory, which been conclusively solved. will be discussed in Chapter 2, have caused many to I IIII philosophy, social anthropology, and molecular biology. Although it is still in the process of formation, a tenta­ I 1 ,1II Social Science and Its Methods he Evolving Social Sciences II[ Iiiii �1 Social Science Unified Social Systems 5 by John von Neumann in the late 1940s and early 1950s with game theory, also begun by von Neumann, Theory Derived Dateline 2050 . Researchers today announced the development of a unified theory of the social sciences. The new theory, which had its early foundations in the work of Ludwig von Bertalanffy, is the equivalent in social science of the unified field theory in physics, which tied together the various forces of nature into a general theory. The formulation of the unified field to form a coherent whole, and captures many of the interrelationships that were previously lost in the fragmentation or divisions of social science. That work was extended in the complexity revolution in science that came into its own in the early 2000s. By combin­ ing these theories with recent advances in the separate social sciences, the resulting new unified social science theory provides new insights into how theory in 2020 solved the problem that stymied earlier physicists such as Albert Einstein. It intensified the efforts of social scientists to develop their own unified theory. The theory, which is also called a unified social systems theory, ties together the various social sci­ society works. When asked what set her on this path, the social scientist who developed the theory said it was the experience in her first social science class, in which she used the classic Hunt and Colander text, Social Science. In that class, with the aid of the insights ences that in the nineteenth and twentieth centuries diverged into anthropology, sociology, history, geogra­ her teacher provided, the scientist grasped the first inklings of how these various theories might be put together, setting the stage for her later achievement. phy, economics, political science, and psychology. The theory combines the work on complex systems begun Whether these upstart disciplines take hold believe it is time for a new social science, called cogni­ remains to be seen, but that some change will take tive science, which combines psychology, linguistics, place is certain. There was little agreement among specialists in a particular social science, let alone among all social scientists. A cynic once said, "Economics is what economists do." If we replaced "economics" and "economists" with any of the other social sciences and its practitioners, we would have as good a definition as possible. Unfortunately, it would not be very helpful to those who do not know what social scientists do. One important difference among the individual social scientists did come out of these discussions: Even when two social scientists are considering the same issue, because their training is different they focus on different aspects of that problem. Geographers fixate on spaces and spatial relativities, economists on market incentives, and political scientists on group decision making. Thus, although we might not be able to define, unambiguously, the domains of the various social sciences, you will get a sense of the various approaches as we consider issues from various perspectives throughout the book. The study of social science is more than the study of the individual social sciences. Although it is true that to be a good social scientist you must know each of those com­ ponents, you must also know how they interrelate. By specializing too early, many social scientists can lose sight of the interrelationships that are so essential to understanding modern problems. That's why it's necessary to have a course covering all the soci al sci­ ences. ln fact, it wouldn't surprise me if one day a news story such as the one in the box on the next page appeared. To understand how and when social science broke up, you must study the past. Imagine for a moment that you're a student in 1062, in the Italian city of Bologna, site of one of the first major universities in the Western world. The university has no buildings; it consists merely of a few professors and students. There is no tuition fee. At the end of a professor's lecture, if you like it, you pay. And if you don't like it, the professor finds him­ self without students and without money. If we go back still earlier, say to Greece in the sixth century B.C., we can see the philosopher Socrates walking around the streets of Athens, arguing with his companio ns. He asks them questions , and then other questions , leading these people to reason the way he wants them to reason (this became known as the Socratic method) . Times have changed since then; universitie s sprang u p throughout the world and cre­ ated colleges within the universities. Oxford, one of the first universitie s, now has thirty col­ leges associated with it, and the development and formalizat ion of education al institution s has changed the roles of both students and faculty. As knowledge accumulated, it became more and more difficult for one person to learn, let alone retain, it all. In the sixteenth cen­ tury, one could still aspire to know all there was to know, and the definition of the Renaissan ce man (people were even more sexist then than they are now) was one who was expected to know about everything. Unfortunately, at least for someone who wants to know everything , the amount of in­ formation continues to grow exponenti ally while the size of the brain has grown only slightly. The way to deal with the problem is not to try to know everything about every­ thing. Today we must specialize. That is why social science separated from the natural sci­ ences and why social science, in turn, has been broken down into various subfields, such as anthropology and sociology. There are advantage s and disadvanta ges to specializat ion, and many social problems today are dealt with by teams of various social scientists. Each brings his or her specialty to the table. For example, one of the authors is an economist but works on projects with geographers, sociologis ts, anthropol ogists, political scientists, and psycholog ists. More and more interdiscip linary majors are being created; one of the authors of this book teaches in both the economic s departme nt and the internatio nal politics and economic s departme nt at his school. Interdiscip linary graduate schools of public policy have grown enormously. In these programs, students study all the social sciences while specializin g in one. Figure 1 .1 provides a graphic overview of the evolution of knowledge and the pres­ ent social sciences. ( The appendix at the end of this chapter expands on the ideas in this diagram.) · 6 �1 Social Science Social Science and Its Methods Ancient Greece 600 B.C.-A.D. 100 Roman Period • Western Philosophy 11 Today the amount of knowledge is increasing faster than ever. How, then, can a unified social biological traits and socially acquired characteristics . science theory ever be formulated? The answer is Sometimes called the study of humans, it consists of found in abstraction and the ability to discover two broad fields: rules or relationships ( rather than simply facts) and rules relating rules to other rules. l. Physical anthropology To understand the importance of knowing 2. Cultural anthropology rules, think back to grade school when you learned Some of the concerns of physical anthropology are: addition. You didn't memorize the sum of 1 27 and 1 ,448. Instead you learned an algorithm (a fancy • Influence of evolution of natural environment on 1 5; write for a rule) about adding ( 7 + 8 name the physical characteristics of humans had to you Then ). . 1 the carry and 5 the down • Human evolution: how modern homo sapiens changing By relationships. few a only memorize evolved from earlier species the number system from a base ten system to a Some of the concerns of cultural anthropology are: binary system (0 and 1 are the only numbers), you cut substantially the amount of memorization • Archaeology, or the remains of extinct civilizations 1 ; and ( all you need to know is 0 + 0 0; 0 + 1 that left no written records rule same the apply could you and ) 0 1 I + l • Organization of preliterate societies again and again, adding all possible numbers ( an • Characteristics of subgroups or subcultures within insight that played an important role in the devel­ contemporary society opment of the computer). Knowing the rules Among the topics that interest anthropologists are exca­ saved you from enormous amounts of memoriza­ vation of formerly inhabited sites, fossils, the gene pool, tion, but nonetheless gave you access to a large technology and artifacts, linguistics, values, and kinship. amount of information. Another way to look at the problem is to think of the library. If you have a small l ibrary, you can know nearly everything in it, but once your library gets larger, you will qu ickly fi nd that having more books makes it harder to know what's in there. However, if you put in place a filing system, such as the Dewey decimal system or the Library of Congress system, you can access the books through a filing system. The rules of the filing system give you the key to great amounts of information, j ust as the rules of addition, subtraction, or algebra do. General rules, once learned, can be applied to large numbers of particulars. The h igher you go ( rules about rules about rules), the more you can know with less memorization. 1 All this is relevant to social science and the 2050 dateline because social science, too, is held together by rules or relationships. If there is to be a unified social science theory, it will be because some student started thinking about rules and how the rules of the various so­ cial sciences can fit together. If you understand the general concepts, you can apply them in a variety of circumstances. Thus the future "unified social scientists" will not necessarily know all the facts of a particular social science. Each of the specialties will retain its identity and will likely become even more specialized. But as that specialization occurs, it creates the need for a new specialization that concentrates on tying together the various component parts of socia! science. The new unified social scientists will know the general rules of the individual social sciences and the rules of how one social science interacts with another, but they will not know all the specific facts of any one of them. The preceding argument is a heavy one to throw at you in the first pages of a textbook because it asks you not only to know the lessons of the individual social sciences, but also to Anthropology is the study of the relationship between .II il Social Science as a System of Rules thropology THE HISTORY OF KNOWLEDGE 7 A.D. 1 00-A.D. 500 = Preservation of . Fall of Rome Greek Learning in Eastern Countries . I t Rel i gion Mid01e Ages I 476-1453 and the Crusades International Trade ------ = Renaissance 1453-1690 I I 1 Metap hvsics _ I I I Chemistry Physics Arts Ar and Humanities Philosophy Natural Sciences I I I I Logic Biology I I I Morals Epistemology I Documentation and Proof I I I Ind uction L_ The Enlightenment 1700-1800 I DeductiOn __J I Social Sciences I r Political Philosophy I Political I Economics Sociology Anthropology Geography Psychology History Science Figure 1.1 Knowledge at a glance. The development of knowledge in messy, but assuming that a picture is worth a thousand words, we offer this sketch of the development ofknowledge. Maybe it's worth five hundred words. = = I Physt . 1ft was an architect, Ludwig Mies van der Rohe, who compressed such exposition into a famous statement, "Less is more." 8 1 1111 II �1 Social Science and Its Methods cioiO!lY Sociology is the systematic study of relationships among people. Sociologists assume that behavior is influenced by people's social, political, occupa­ tional, and intellectual groupings and by the particu­ lar settings in which they find themselves at one time or another. Sociologists differ in their approach. Their three major choices are: 1. Functionalism 2. Conflict Social Science go beyond and strive for an understanding of their synthesis. Going beyond is ultimately what learning is all about and what makes it so chal­ lenging. We would like to be able to say that we can guide you to a unified social science theory, but the truth is that all we can do is give you a boost and encouragement. After surveying the so­ cial sciences, you can decide in which one, if any, you want to specialize; whether you should work toward tying them all together; or whether you should bag the whole approach and go into a premed program. 3. Interactionism Sociology's vast subject matter can be identified as a ' lr �I·, rl . study of people: • How they socialize and organize • Whom they include in and exclude from their groups • What they do to their environment • When they confront formulas for control , such as politics, law, finance, religion, education, and :1 1 11 The scientific method is a set of rules about how to establish rules. The use of the scientific method is perhaps the most important tool you can have in studying social science because it enables you not only to learn the lessons of the individual so­ cial sciences, but also to go beyond and strive for an understanding of their synthesis. social pressures • Why they change raphy Geography is the study of the natural environment and how it influences social and cultural development. Some of the concerns of geography are: I. The Scientific Method and Its Application Geography has practical applications manifest in: • Industrial and agricultural decisions • Settlement of population • Aggression and acquisition Conditions Favorable to Scientific Inquiry. Scientific inquiry is possible only in a society in which certain attitudes are developed or tolerated. Successful scientific investigation requires from the investigator not only intelligence but certain mental attitudes as well. One of these is curiosity, which makes people ask two questions: Why? and How? Another is skepticism, which makes people reexamine past explanations and reevaluate past evidence. To reexamine and reevaluate, investigators need objectivity, which enables them to seek impartially for the truth, to make every effort not to allow personal preconceptions, prejudices, or desires to color the observed facts or influence the interpretation of those facts. When these three attitudes-curiosity, skepticism, and objectivity­ come together, scientific inquiry can flourish. In preliterate tribal societies, the obstacles to the development of scientific methods of inquiry are very great. Such societies are much more bound by custom and tradition than are modern societies. The traditional way of doing things is regarded as the only right way. Moreover, any seri­ ous deviation from established procedures is l ikely to be regarded as a danger to the group. We cannot classify Europe in the Middle Ages as either preliterate or tribal. Nevertheless, respect for tradition, for ancient authorities, and for religious ry History i s the study o f past events. I t is a social sci­ ence in the sense that it is a systematic attempt to learn about and verify past events and to relate them to one another and to the present. Every event has a historical context within which we commonly say the event must be studied. The subject matter of history is everything that has already happened. The study of 9 dictates was so strong then that the growth of a sci­ entific spirit was stunted. The free development of modern science had to wait until such events as the Crusades, the Renaissance, the great voyages of dis­ covery, and the Reformation had loosened the hold of tradition. Nature of the Scientific Method. Modern science is based on the assumption that this is an orderly universe, ruled by the law of cause and effect. Any history involves: given set of circumstances always produces the same result. If seemingly identical situations have different results, they were not really alike; some significant difference existed and was overlooked. Further investigation should disclose what this difference was. The fruits of the study of history are: Science offers no final explanations of the universe and its phenomena. Time, space, matter, energy-existence itself-are mysteries the ulti­ mate nature of which are probably forever beyond • Possibilities of prediction the grasp of the human search. But an accepted • Realization of limitation scientific theory may be regarded as an explana­ tion, up to a certain point, of a scientific law. Scientific investigation is seldom simple. Each field of knowledge has its special problems, and investigators must always adjust their methods to the peculiarities of the situation they are dealing with. A method of investigation that is of great importance in some fields is the set­ ting up and carrying out of controlled experime nts. The experimental method is a method of separating out causal factors. It consists of running an experiment many times with only one variant. If the results of the experiments are different, that one variant is most likely the cause.2 In chemistry, physics, and biology, such controlled experiments play an important role in discovering facts and testing hypotheses. In these sciences, an investigator can create a situation in which all the significant factors that bear on a problem can be controlled. But there are limits to the use of the experimental method when a scientist cannot con­ trol the situations that are significant for the solution of problems. I n the social sciences, very little use can be made of the method of controlled experiment except in dealing with certain relationships that involve rather small groups, because the investigator cannot con­ trol the situations. For example, one way to prove or disprove the proposition that high tar­ iffs bring prosperity would be to apply very heavy duties to all goods entering the United States for a considerable period of time, while holding constant all other factors affecting business activity. If a sustained increase in prosperity followed, we would then have sub­ stantial evidence to support the thesis that high tariffs are a cause of prosperity. No investi­ gator, let us say an economist, can control the country's tariff policy; and even if she could, while the high tariff was in effect many other social changes would be taking place, such as strikes, the establishment of new industries, and perhaps even wars. Some of these other changes would doubtless have much more influence on the state of national prosperity than The Experimental Method and Its Limitations. 2But it is always possible that some other factor was not "held constant." If you remember chemistry experiments in high school, you know how hard it is to keep all other things constant. 10 �1 Social Science Social Science and Its Methods he Safla of Hans, the Thinkinfl Horse Hans, The scientific method can be seen in the saga of reports the Thinking Horse. Around 1900, according to was a published in a Berlin, Germany, newspaper, there asked horse that was good at math, and when his owner tapping by answer could horse the s, him math question out the correct number with one of his front hooves. , People who witnessed the horse's ability were puzzled in­ to ts scientis social and they called in a number of they vestigate the phenomenon. To their amazement, was he as Hans, Clever could only not that found known, add and subtract when his owner asked him­ scien­ he could also calculate square roots. The social had they odds, all against that, ed tists were convinc horse. thinking a shown been indeed Another social scientist. though, a skeptical young dif­ psychologist by the name of Oskar Pfungst, had a s question of set a asking Hans, ferent idea. He retested . He answers the know not did himself Pfungst to which discovered that although Hans succeeded on nearly the every question if the questioner knew the answer, er question the when question horse failed nearly every ism did not know the answer. A social scientist's skeptic had shown that Hans could not really reason, even demon­ though it seemed as if he could. This true story ic strates the important trait of skepticism. The scientif community declared that Hans was just a horse. But a quality those scientists did not show was and imagination. Even though Hans could not think almost could He ability: amazing an had reason, he the read minds. When it came to people who knew answers to the questions they were asking, he could monitor changes in his questioners' posture, their breathing, their facial expressions, and their inflec­ the sig­ tions and speech patterns. He could interpret es nals they were sending and then provide the respons they wanted. This is an ability that some humans have-although generally to a lesser degree than think­ Hans-and it is an ability that can supplement ing. Yet it was only at the end of the twentieth century ­ that comparative psychologists showed the imagina detail. in ability of kind this g tion to start analyzin The lack of imagination exhibited by some scien­ ic tists in the past limited the scope of the scientif have must t scientis programs they followed. A good both skepticism and imagination. e out the effects of the high would the high tariff and would make it imposs ible to separat tariff from the effects of all these other events. groups of people, often Most problems of interest to social scientis ts involve very large such problems. When, solve to used be cannot ents society as a whole. Controlled experim groups , they may be small with g workin by problem a however, social scientis ts can solve people involved will cooper ate. able to make a limited use of the experimental method if the two similar areas or entities Also, they can study natura l experiments, which occur when s can be systematically stud­ choose different policie s, and the effects of the different policie contro l, but they get some. ied. With natura l experim ents, researchers do not get perfect social scientists will study In the future, with further advances in computer technology, of numerous interacting model ter compu a policy issues using virtual social systems in which real world. Because of the in occurs what e individ uals creates a virtual system that can analogu future, not a reality. the for hope a remain systems the complexity of social systems, such virtual have a "control" they unless but, ents, experim called mes Social experim ents are someti a natural experim ent, they are that followed a differen t path and hence can be studied as the introdu ction and "try­ not what we mean by experiment. A social experiment is simply in the financi ng of health ing out" of new social policie s. For example, Oregon's change educati on might be called ng insuran ce or Florida's experim ents with vouchers for financi contro l and to be able to a have to social experim ents. The distinc tion involves the ability to repeat the experi­ ability the less the and replicat e the experiment. The less the control, ment, the less sure we are of the results . Methodolo�y and the Social Sciences people have insisted that it is Becaus e it is so difficul t to experim ent in social science , some r we call the study of society whethe word, not science . Except for the prestige carried by the 8£ 11 a science is not important. It is merely a question of definition. If we mean by science the natural sci­ onomics ences only, then social science is not true science. If Economics is the study of the ways in which men and we mean by science only the so-called exact sci­ women make a living, the most pressing problem most ences, then again social science is not included. If, human beings face. It considers the social organiza­ however, we use the term science broadly, to in­ tion through which people satisfy their wants for clude all systematic attempts to expand knowledge scarce goods and services. Its subject matter is by applying the scientific method, then social sci­ often summarized as: ence must definitely be included in the scientific family. What is really important is that social sci­ • Production entists have discovered many significant relation­ • Distribution ships that are sufficiently dependable to add • Consumption greatly to our understanding of social behavior Some of the topics it includes are: and to serve as useful guides in dealing with some social problems. • Supply and demand There has been much debate about the cor­ • Monetary and fiscal policy rect methodology to be used in social science. • Costs Thomas Kuhn, a famous philosopher of science, • Inflation defined a paradigm as a scientific theory and the • Unemployment core of beliefs that surround it. He argued that scientific progression occurs by paradigm shifts in Economics seeks to explain, guide, and predict social which, for a long time, scientists will resist change arrangements by which we satisfy economic wants. and hold on to an old theory even as evidence mounts up against it, and even when another theory better fits the data. Eventually, however, the evidence in favor of the new theory is so great olitical Science that suddenly scientists shift their thinking. The process can be likened to the way a drop of water Political science is the study of social arrangements to forms on a faucet. It grows larger and larger until maintain peace and order within a given society. It deals with government, and its interests are: it falls. A good example in the sciences is E instein's relativity theory in physics, which was • Politics initially scoffed at but was later adopted because • Laws it was consistent with a wider range of physical • Administration phenomena than was the earlier gravitational • Theory of the nature and functions of the state theory of Sir Isaac Newton. • International relations Social scientists have discussed at great length whether Kuh n's theory of paradigm shift is It has both a philosophical and a practical base. It appropriate for the social sciences. If it is, it gives examines the theory of systems of government, but it legitimacy to competing theories. If it is not, then also studies actual practices by which government: the generally accepted theory can be considered • Taxes the best. The issue has never been resolved, but • Prohibits our understanding of the relevance of theories • Regulates has advanced. Imre Lakatos, another famous philosopher of • Protects science, has extended Kuhn's arguments by saying • Provides services that in social science there are generally many competing theories, each being extended through competing research programs, or groups of scientists working on a particular problem. For example, in psychology there are the behaviorists and the Freudians. In sociology there are fu nctionalists, conflict theorists, and interactionists. We could cite different theories within each social science. Advocates of each of the paradigms compete for researchers. The group of researchers most successful in competing for followers is the one most likely to grow. P 12 �1 Social Science and Its Methods Psychology 1' IIIli! 1 !Ill\ I 1111 I ll Other philosophers of science go further. Some, like Paul Feurabend, argue that all methodology is limiting and that the correct Psychology deals with the mind and personality of the methodology is no methodology. Still others ar­ individual. It is a social science because humans are gue that sociological issues, such as what is l ikely social creatures. It focuses on the individual and to advance a scientist's career, rather than the physical processes, such as: truth of a theory determine what the scientist believes. • Biological structure In this book, we emphasize the competition • Development and maturation among various theories. By doing so, we hope to Of the various branches of psychology, the most rele­ show how, in social science, controversy plays an vant to social science is social psychology. Social important role in the development of our psychology is the study of the individual's behavior knowledge. as it influences and is influenced by the behavior of Probably the best way to understand the sci­ others. Some specific topics that interest psychologists entific method is to consider a couple of exam­ and soc ial psych ologists are: ples that do not follow the scientific method. For instance, consider astrology or numerology. • Socialization These pseudostudies hold that by analyzing the • Envi ronment and heredity alignment of the stars or the position of certain • Adjustment and maladjustment numbers, individuals can discover or predict These social scientists deal with natural phenomena events that will affect them. However, the accu­ such as emotion, memory, perception, and intelligence. racy of the discover ies or the reliability of the predictions has never been satisfactorily demonstrated to most social scientists. Even though we might turn to our horoscopes and say, "Aha! That seems to fit my character or my experience," if we critically consider these predic­ tions, often we see that the statements are so broad that they can be applied more or less appropriately to a wide range of happenings or possibilities. This is not to say that the so­ cial sciences always avoid that. Economics, for instance, often comes up with predictions from large, highly sophisticated mathematical models ( called econometric models ) , and some of these predictions are no better for steering a course than back-of-the-envelope estimates. A good social scientist generally takes an agnostic ( not believing but also not disbe­ lieving) position about claims until they can be tested and retested. Consider, for example, parapsychology, which argues that people can transmit certain information independently of all conventional forms of communication. Shirley MacLaine's best-selling book Out on a Limb convinced many people that the claim of parapsychology is true. Most social scien­ tists remain unconvinced. They hold that, to date, the theories have not been sufficiently demonstrated. In stating that these theories have not been tested, a good social scientist is not dogmatic. It is possible that we social scientists become so tied to our way of looking at the world that we are unable to consider the possibilities of other ways. Who is to say that the tests we accept as conclusive are the "right" tests? Or that our training hasn't biased the tests? Ultimately, however, we must make a working j udgment about what is and what isn't an acceptable test, and social scientists' methodology is an expression of that working j udgment. It should, however, be presented as a working j udgment, not as a set of definitive criteria of what is true and what is false. That's why, generally, good social scientists remain agnostic over a wide range of issues that they just don't have time to invest igate. Thus, in many ways, what you will get out of a study of social science and an understanding of its methods is a healthy understanding of the l imitations of your powers to know. Th e Meth ods of S ocial S cience The Methods of Social Science 13 The basic procedures of the scientifi c method are a s import ant in social science a s in physi­ cal science . Social scientis ts must observ e careful ly, classify and analyze their facts, make general ization s, and attemp t to develop and test hypoth eses to explain their general ization s. Their problem , however, is often more difficul t than that of physical scientis ts. The facts gathere d by the social scientist-for example, those concern ing the culture s of differen t peoples-have similar ities, but each fact may also be unique in signific ant respect s. Facts of this kind are difficult to classify and interpr et. Further , as we have already noted, the gener­ alizatio ns or laws that the social scientis t can make are likely to be less definite and certain than those of the physical scientis t. The difficul ty of discovering relatively exact laws that govern social life results from sev­ eral circum stances . First, the things of greatest import ance in our social life-satisfactio ns, social progress, democracy-are not really measur able. Second , society is extremely complex. It is difficul t and usually imposs ible to find and evaluat e all the many causes of a given situatio n, though often we can discover the factors that were most import ant in bring­ ing it about. Third, in every social situatio n there is the human elemen t. Frequently, the course of social events depends on the reactio n of a few individ uals who are leaders, and, except in routine situatio ns, we can seldom predict individ ual behavior with comple te certain ty. If the social scientis t finally does succeed in finding uniform ities or "laws" of social behavi or and in setting up hypoth eses to explain them, there is still another difficul ty­ namely, that investig ators can seldom employ contro lled experim ents to test their hy­ pothes es. To a conside rable extent, the social scientis t must substit ute careful observa tion and the mental process of abstrac tion for experi­ ments. The investigator abstrac ts from a given situa­ tion some one factor in order to consider what effect it would have if acting alone. To do this, the investi ­ gator imagin es that any other factors presen t remain constan t or inert and asks, for examp le, a questio n such as: If other factors affectin g econom ic life re­ mained consta nt, what would be the econom ic effect of raising tariff rates on import s? A social scientis t with a thorou gh knowledge of a situatio n may correctly calcula te the effect of a given causal factor by assumi ng that all other things remain equal. However, to reach correct conclus ions by this method , the investigator must be both compe tent and painsta king. Even then, the dangers of error are great. If anythin g, there is more need for compe tence in the social scientis t than in the physical scientis t. The theo­ ries of a physica l scientis t often can be proved r ight or wrong by experim ents, but this is seldom true of those of the social scientis t. An unfortu nate result is that it is �.J:'P-t@...... easier in social science than in physical science to be needlessly vague, to perpetu ate errors, and to cover up ''I'm a soc i a l scientis t, M ic h a e l . That mea n s I c a n 't incom petenc e. xpla i n electri city or a nything l i ke that, but if you Social scientis ts also have more difficul ty than ver want to know a bout people. I'm you r m a n ." physical scientis ts in being objective. Because they deal 14 �1 The Methods of Social Science Social Science and Its Methods with human beings and are human themselves, social scientists find it hard to put aside their own likes and dislikes, their sympathies, prejudices, and frustrations. As a result, they some­ times fall into the trap of trying to justify their own hopes, beliefs, or biases instead of seeking to discover the truth. We should always be on guard against those who pose as social scientists but who, in fact, substitute propaganda and charisma for objectivity and competence. This does not mean that social science is any less scientific than the natural sciences, or that it is less objective. It simply means that social scientists must be continually on guard against such traps and must be as clear and objective as possible. The differences between physical science and social science lead to slightly different structures of research. Although there is no ideal structure, a reasonable approach to a problem in social science is the following: I. 15 subscription, or both) ; and what is "fashionable." Different researchers may define the same term differently, which is one of the reasons why the same research subject can produce different results. Choosing a research design. Pick a means of gathering data-a survey, an experiment, an observational study, use of existing sources, or a combination. Weigh this choice carefully because your plan is the crux of the research process. Collecting the necessary data. Data are what one collects from careful observation. Your conclusions will be only as good as your data, so take great care in collecting and, especially, in recording your data. I f you can't document what you've done, you might as well not have done it. Observe. 2. Define the problem. 3. Review the literature. ( Become familiar with what others have observed.) 4. Observe some more. 5. Develop a theoretical framework and formulate a hypothesis. 6. Choose the research design. 7. Collect the necessary data. 8. Analyze the results. 9. Draw conclusions. Using this outline as a rough guide, and recognizing that the specific project and each specific social science determine the exact nature of the methodology to be used, you have a reasonably good method of attack. Observing. Notice that social science begins with observation. Social science is about the real world, and the best way to know about the real world is to observe it. fi Of the various research steps listed, this one is probably the most important. If you've carefully defined your terms, you can save an enormous amount of energy. Put simply, if you don't know what you're doing, no matter how well you do it, you're not going to end up with much. The topic might be chosen for a variety of reasons, perhaps because it raises issues of fundamental social science importance, perhaps because it has suddenly become a focus of controversy, or perhaps because research funds have become available to investigate it. De ning the problem. Reviewing the literature. Knowledge of the relevant literature is essential because it provides background, suggests approaches, indicates what has already been covered and what hasn't, and saves you from redoing what has already been done. It is a way of using other people's observations. Observing some more. After you have defined your problem and reviewed the literature, your observation will be sharper. You will know more precisely what you are looking for and how to look for it. framework and formula ting a hypothesis. Make a statement predicting your results and then clarify what each of the terms in the statement means within the framework of your research. Suppose your hypothesis is: " High price increases sales of fashionable magazines." You should specify how high is high, and compared to what specific price is the price stated to be high; how much of an increase is significant over the circulation the magazine enjoyed at the lower price; what sales are included ( newsstand, Developing a theoretical When all the data are in, classify facts, identify trends, recognize relationships, and tabulate the information so that it can be accurately analyzed and interpreted. A given set of facts may be interpreted two different ways by two different analysts, so give your analysis careful, objective attention. After this step has been taken, your hypothesis can then be confirmed, rejected, or modified. Analyzing the results. Drawing conclusions. Now you can prepare a report, summarizing the steps you've followed and discussing what you've found. A good report will relate your conclusions to the existing body of research, suggest where current assumptions may be modified because of new evidence, and possibly identify unanswered questions for further study. These steps differ slightly from those used by a natural scientist, but only slightly-the primary difference comes i n testing a hypothesis. In some natural sciences, it is possible to conduct controlled experiments in which the same experiment can be repeated again and again under highly regulated conditions. In the social sciences, such controlled experiments are more difficult to construct. The line between social science and natural science is not fixed. In some natural sci­ ences, perfectly controlled experiments are impossible. In cosmological physics, for example, one can't create the universe again and again. Thus, one must speculate about a hypothesis, draw conclusions from that hypothesis, and see whether the conclusions match what one observes in the universe. Alternatively, in the social science of psychology, certain controlled experiments are possible-for example, individuals can be given specific stimuli under specific conditions again and again. Thus, the difference between the way one deals with the natural sciences and the way one deals with the social sciences can be blurry. Let's take an example of the use of the social science method-Joseph Holz's study of the implications of teen pregnancy. First, he studied all the writing on teen pregnancy. Then he set up the following hypothesis: Teen motherhood causes the mothers to be economically and socially worse off than they otherwise would have been. To test this hypothesis, he used data that had been collected over many years tracking the lives of teenage women. From that he extracted two groups-a set of teenagers who had become pregnant and borne the child and a set of teenagers who had become pregnant but had miscarried. He then compared their economic and social positions when they were in their mid-thirties. If teen mother­ hood caused the mother to be worse off, then the teens who had borne their babies should have been in a worse position than those who miscarried. They weren't. He found no signifi­ cant difference between the two groups: Both were low income, significantly dependent on welfare benefits, and had completed the same number of years of school. The initial hypoth­ esis was false. Teen pregnancy did not make mothers worse off; it was simply a symptom of a larger set of problems. This larger set of problems was so severe that whether mothers had borne a child in their teens made little difference to their economic and social positions. 16 �1 Social Science and Its Methods Holz's findings were published as the government was conducting a costly campaign against teen motherhoo d, and his conclusion s were u npopular with both liberals and conservativ es. L iberals did not like them because his study suggested that much of the family planning advice and sex education developed by liberals was of little help i n im­ proving these women's lives. Conservati ves didn't like them because his study implied that more substantive changes than simply eliminating teen motherhoo d were needed to i mprove these women's lives and break the cycle of poverty. But good social science methodolo gy is not about pleasing anybody-it is about u nderstandi ng social issues and social problems. Although Holz's experiment was not fully controlled, it was as close as one could come to a controlled experiment in the social sciences. It selected similar groups to compare in such a way that no obvious reason existed as to why these two groups should differ. Social Science Approaches to Problems As you review the literature about various social science studies, you will see that social sci­ entists can use many different approaches and methods as they study problems. We first consider alternative approaches ; then we consider alternative methods. The approach one takes when analyzing a problem reflects one's which one sees the world. Four approaches that social through lens the worldviewscientists use are the functionali st theory approach, the exchange theory approach, the conflict theory approach, and the symbolic interaction theory approach. Alternative Approaches. This approach emphasizes the interconne ctedness of only one part of society with a policy. Followers of affecting social life and the difficulty of to make social j udgments because all aspects hesitant are approach the functionali st theory functions. certain of society have The fu nctionalist theory approach. Closely related to the functionali st approach, the exchange theory approach emphasizes the voluntary exchanges of individuals as reflecting individuals ' choices. Thus, the structure of society reflects individuals ' desires. The exchange theory approach lens is one of relative harmony in society, sometimes upset by dysfunctio nal elements. The exchange theory approach. The conflict theory approach sees far less harmony than the exchange theory approach. Followers of this approach see social behavior in terms of conflict and tension among competing groups or classes. Whereas the exchange theory approach sees individuals' voluntary choices, the conflict theory approach sees force and power directing individual actions. The conflict theory approach. The symbolic interaction theory approach sees individuals as deriving meaning from the symbols they learn from. Followers of this approach see reality as reflecting less what people do and more what they think and feel. Their motives and perceptions, rather than actions, are emphasized . The symbolic interaction theory approach. These approache s are not necessarily independe nt of one another. Some social scien­ tists use a combinatio n of approaches to study problems, while some use one at one time and another at another time. In addition to using different approaches, social scientists also use different methods. These include the historical method, the case method, and the comparative and cross-cultu ral methods. Alternative Methods. The Methods of Social Science 17 The historical method. Because most social developments-such as the government o f the United States-have unique characteristics, in order to understand them as fully as possible the social scientist must rely heavily on a study of their historical background. We can never understand completely how any historical situation came to exist, because there are limits to our historical knowledge and causes become increasingly complex and uncertain as we trace them further into the past. We can, however, make both historical events and present social situations much more intelligibly by using the h i storical method-tracing the principal past developments that seem to have been directly significant in bringing about a social situation. To trace these past developments, a historian will use many of the same methods as other social scientists such as collecting birth and marriage certificates and classifying those data. It has been noted that history never really repeats itself. Nevertheless, present and past situations often have such striking similarities that a knowledge of the past can give us in­ sights into present situations and sometimes into future trends. • The case method. Writers on the methodology of social research have devoted a great deal of attention to the case method-its characteristics, its variations, the uses it can serve, its advantages, and its limitations. Here we only describe its basic nature. The case method involves making a detailed examination and analysis of a particular issue or problem situation. This can involve a case study of a single person such as that by a psychologist of his client, a single area or town such as a sociologist's study of why a town changes, or even a study of whole countries such as an economist's when comparing various countries. A case study can be intended to discover how to bring about desirable changes in a par­ ticular problem situation: for example, to find the most effective ways of upgrading or reha­ bilitating a slum area. More often, the chief purpose of a case study is to throw light on many similar situations that exist in a society. The hope is that an understanding of one or a few cases will illuminate the others and thus aid in solving the social problems they present. The case or cases selected should be typical of the group they purport to represent. The preceding requirement can be a limiting factor in the usefulness of the case method. Suppose we wanted to make a study of the class structure of U.S. society as a whole. Obviously, it would be easier to select as cases for study several relatively small and isolated cities in various sections of the country. But it is questionable whether these would give us a true picture of the country as a whole, because today a great proportion of our people live in large metropolitan areas where the class structure is likely to be much more complex than in smaller and more isolated communities. However, to study and describe in detail the class structure of such an area may be prohibitively difficult and expensive, and therefore impractical. The comparative and cross-cultural methods. The comparative method was formerly often employed in the hope of discovering evolutionary sequences in the development of human institutions-that is, patterns of social development or progress that would be universal. For example, it was sometimes assumed that definite stages existed in the development of governmental institutions, and it was thought that these stages could be discovered by comparing a society at one level of development with some other society at a different level. Today, this attempt to find patterns of social evolution that can be applied to all societies has been largely abandoned. However, comparison of different societies still plays an important role in anthropo­ logical studies through what is called the cross-cultural method. This method consists of making detailed studies of the culture patterns of a number of societies for the purpose of comparing the different ways in which their people meet similar needs. These studies some­ times show surprising similarities in the cultural traits of widely separated peoples who appear to have had no direct or indirect contacts with one another. 18 �1 Soc i a l Sci e n ce a n d I ts M ethods Comparison of the characteristics of different societies involves problems. At times, it is difficult to decide whether two or more societies are independent or should be treated as one. Or consider definitions: If we are comparing the family institution in different soci­ eties, we must define family broadly enough to cover cultural variations yet specifically enough to make comparisons meaningful. Sociologists do not always agree on j ust what a family is. Again, if we are comparing unemployment in urban - industrial societies, we must agree on what we mean by u nemployment. For example, in the early 1980s, the unemploy­ ment rate in Mexico, computed by U.S. standards, was approximately 30 percent. Mexican economists, however, argued that this figure was meaningless because Mexican work habits and culture were different from those in the United States. Much of what was measured as unemployment, they said, was actually individuals working at home and not earning money in the marketplace. Thus, although they had nonmarket jobs, they had been counted as unemployed. 11 I I �1 1 Common Sense in the Social Sciences Probably the most important lesson to remember when conducting any research is that you should use what might be called an educated common sense. You can understand the analytic argument for common sense by considering the mind as a supercomputer stor­ ing enormous amounts of information, not all of which may lie at the surface of recall. This holds true even with the vast increase in computer power. Processing speeds of com­ puters double every eighteen months, according to Moore's Law. That increase has made it possible to do enormous things even with home computers. However, comp ared with the capabilities of the human mind, even the most powerful computer counts by using its fingers and toes. The mind processes trillions of pieces of information in millinanosec­ onds ( we don't know what they are either, but we do know they are very small ) . When the results of the models and the minds diverge, it seems reasonable to rely on the more pow­ erful computer-the mind. It makes sense to do so, however, only if the best information has been input into the mind. Common sense is not sufficient; we m ust use educated common sense. To see the difference between common sense and educated common sense, consider the problem: Does the earth circle the sun or does the sun circle the earth? Uneducated common sense tells us that the sun circles the earth, and that commonsense conclusion became built into society and society's view of itself throughout the Middle Ages. To believe otherwise was heresy. In 1 540, Copernicus tried to fit that commonsense view with observations that classi­ cal Greeks had made of the heavens. As he went about this task, he discovered that he could get a good fit of the data with the theory only if he assumed the earth moved around the sun. His was an educated common sense-rational thought based on observation and the best information available. It was that kind of educated common sense that ultimately led to the scientific method. As specialization makes us focus on narrower and narrower issues, it is important to keep in the back of our minds that scientific analysis has made us look at only part of the problem and that we must also use our educated common sense to interpret the results reasonably. The Use of Statistics Whenever possible, social scientists rely on quantitative data-data that can be reduced to numbers-but often quantitative data are not available, so social scientists must rely on qualitative data such as interviews or heuristic summaries of information in the literature. When using qualitative data, it is much more difficult to draw specific inferences from the data, because the "facts" one finds depend on how one interprets the qualitative data. One way to partially overcome such "interpretive problems" is the "Delphic method" in which The M ethods of Soc i a l Science 19 another specialist i n the field reviews your interpretation and then you modify your inter­ pretation in response if you see fit, explaining your reasons for accepting or rejecting the suggested modifications. Another way is to translate the qualitative data into quantitative data, creating "proxies" ( stand-ins) for any missing quantitative data, although that often simply hides the interpretative issues rather than eliminating them. If quantitative data are available, social scientists rely on statistical analysis-informa­ tion in numerical form that has been assembled and classified-to provide the social scien­ tist with the information needed to understand social relationships and processes. Statistics do not enable us to measure directly such basic social values as good citizenship, happiness, or welfare, but they are useful in measuring other factors that underlie social life, such as the size of the population of a country, or the number of families whose incomes fall below some level that we set as the minimum for decent and healthful living. Statistical relationships also give us insights into social problems. If we find that the proportion of males in juvenile de­ tention centers who come from broken homes is substantially greater than the proportion of males in the population at large who come from such homes, this suggests that broken homes may be an important factor contributing to juvenile delinquency. But statistics must always be interpreted with care, for it can be easy to read into them conclusions they do not justify. Also, it is sometimes possible to manipulate them so that they appear to show what we want them to show. Although statistics measure the results of social activity and highlight trends, they have other useful functions: testing theories and discovering relationships. For example, correlation is the relationship between two sets of data. A high correlation between sets of data means that if an element in one set rises, its corresponding element in the other set is also likely to rise. Other statistics determine how sure we are of a relationship. We do not discuss these statistics because an introductory social science course is not the place to learn them, but it is the place to learn that such techniques of testing relationships exist, and they may be worth your while to study at some point in the future. If we are going to use statistics, we must have data. Data are the raw numbers describ­ ing an event, occurrence, or situation. Social scientists' data come from measuring and counting all occurrences of a particular happening. For example, we might find, "In 2007, there were x number of murders and y number of suicides." One way to get data is to con­ duct a survey, a method whereby data are collected from individuals or institutions by means of questionnaires or interviews. For instance, we might conduct a survey in which selected people are questioned or polled on such matters as their incomes, their beliefs on certain issues, or the political candidate for whom they intend to vote. Figure 1 .2 gives an example of such a survey. Statistics can tell us how large a portion of a group must be sur­ veyed before we can be reasonably sure that the results will reflect the views of the entire group. Such techniques are used extensively in surveys such as the Gallup or Harris public opinion polls. The use of statistics has been greatly facilitated, and therefore greatly expanded, by the computer. The computer has made it possible to record, arrange, and rearrange voluminous information quickly and analytically. Today, enormous amounts of data and other resources are available to anyone with a computer or other access to the Internet. With the expansion of social data and the enormous increase in computing power, it is increasingly possible for social scientists to look for relationships in the data alone, rather than to be guided in that search by theories. Using highly sophisticated statistical techniques, social scientists analyze data, looking for patterns. After they find a pattern, they fit that pattern to a theory. For example, social scientists Stephen Levitt and John Donohue searched the data and found a relationship between the passage of the abor­ tion rights law in the United States and a decrease in crime in later periods. Based on this evidence, they argued that because abortion reduced the n umber of unwanted chil­ dren, those children who were born had more guidance, and that it was the law making abortion legal, not any change in law enforcement or increase i n the number of i n mates 20 �1 Social Science and Its Methods Social Science and Society j ailed, that was mostly responsible for the decrease i n crime rates that the United States experienced in the 1 990s. Whenever making such claims, social scientists should be very careful not to confuse correlation-the simultaneous movement of two variables-with causation-in which change in one variable brings about change in the other variable. The difference can be seen in the following example. When it is expected to rain, more people carry umbrellas, so um­ brella usage and rain are correlated. But the fact that people carry umbrellas does not cause it to rain, or so most of us believe. 1. D o you worry very much about the AIDS problem? 50. 4 49. 6 21 No Yes If yes, what are your specific worries? f.F Paa-� {dd fuut � tdt Dt«d} 26.6 �� (e . ., .. � lea'<· ca.u<aL � �- � �} 20.S ?ea-e-� (e. ., .. 'f4/ti4 djP<ead. � .,_ The Interdisciplinary Approach -t � HUUf k 1-d} Directions: For the following items, i ndicate the degree of your agreement or disagreement by placing an "X" in the appropriate column. Strongly Strongly 2. Fraternities are the center of social life on campus. 3. Fraternities encourage I \Ii llll too much illegal drinking. 4. Fraternities encourage too much vandalism. 5. The fraternity system encourages the development of positive female­ Agree Agree Disagree Disagree 32.5% --- 47. 9% --- ,g_g% --- 0.9% -- 9. 4% 2g. 2% 53. 0% --- 9.4% 6. 9% 15.5% 59.5% lg. l % 3.5% 33. 9% 47. g% 14.g% male relationships. 6. I worry about contracting A I D S. 4.3% -- 41. 9% - 39.3% --- 14.5% -- 7. There is too much fear of AIDS today. 5.2% - 1 9. 0% 50. 0% 25. 9% /3. f% 46. 6% 33. 6% 6.0% 1. 7% 25. 6% 45.3% 27.4% 8. There should be much more mandatory testing tor AIDS. 9. Regarding AIDS, the best statement to describe my concern is "It won't happen to me." Modern industrial societies and their problems are becoming increasingly complex, and because no one person today can master all the social sciences, growing emphasis is placed on the interdisciplinary approach to many social problems. The interdisciplinary approach means that a group of social scientists with different specialties will work together on a cer­ tain problem, not all of whose aspects any one of the group fully understands. For some problems, such as those surrounding pollution, it may be necessary to call in, say, a physical scientist, a geologist, and an engineer. But in facing all of these problems, the need for edu­ cated people who have a broad sense of problems and interrelationships-who understand the need for a unified social science-is also becoming more and more evident. Though few social relationships can be reduced to exact and invariable laws, human beings in large groups everywhere show great likenesses of behavior when conditions are really similar. Thus, there is reason to believe that we can, through systematic study and re­ search, greatly increase our understanding of the nature and development of human soci­ eties, and to hope that the attitudes fostered by the interdisciplinary approach itself and the knowledge to which it leads us can ultimately result in greater tolerance and cooperation among diverse groups and among nations. Social Science and S ociety Some people believe that the social sciences are lagging behind the natural sciences. They maintain that not only does social science have no exact laws, but that it has also failed to eliminate great social evils such as racial discrimination, crime, poverty, and war. They im­ ply that social scientists have failed to accomplish what might reasonably have been expected of them. However, such critics are usually unaware of the real nature of social science and of its special problems and basic limitations. For example, they forget that the solution to a social problem requires not only knowledge but also·the ability to influence people. Even if social scientists discover the procedures that should be followed to achieve social improve­ ment, they are seldom in a position to control social action. For that matter, even dictators find that there are limits to their power to change society. Figure 1.2 One of the best ways by which social scientists collect information is through a survey. This is one page of a fourteen-page su rvey conducted by college students for their sociology class. Because of time pressu res in that particular su rvey, they were unable to perform an extensive analysis of their data. For this reason, they urged caution in the use and interpretation of the information. Agreeing on Policy One of the great problems in a democracy is getting the majority of people to reach sub­ stantial agreement on the major policies that sho.!lld be followed to create a better society. Social scientists can aid in bringing about this agreement by helping people to understand the issues, the difficulties involved, and the possible steps 'to a solution. If we express social objectives in sufficiently general terms, agreement is not so hard to obtain. Most people would like to have a heaven on earth characterized by peace and goodwill, with freedom, j ustice, security, health, and happiness for all. But when it comes to drawing up a blueprint 22 �1 Questions for Review and Discussion Social Science and Its Methods for reaching these objectives, disagreements and obstacles become apparent. Social scien­ tists themselves are not always in complete agreement on what our specific social goals should be or on how we can best work toward them. In any case, the function of social science and of those who practice it is not primarily to determine social objectives. Its major function is to discover how our objectives can be achieved. The determination of the goals themselves-our social values-is not a scientific problem but one having to do with our likes and dislikes, our esthetic concepts, our moral standards, and our philosophical and religious beliefs. ( We will have more to say about social values in the following chapter.) Values, Terminology, and Rhetoric This chapter began with a quotation from Albert Einstein who said that "theories should be as simple as possible, but not more so." The same thing could be said about ideas and the expression of those ideas. Unfortunately, specialists have an incentive to develop a terminol­ ogy that is anything but simple and that often obscures rather than clarifies. One of the many social science teachers who has written us about this book ( and in doing so, these teachers have played an important role in its development) described a history conference she attended where "we were treated to such goodies" as The sociopolitical internecine amortizations of agronomous proletarization, if solely counter­ productive of Jurassic multi-dimensional interstitial extrapolated Augustinian and Aristotelian epistemological diagram metric middle-sector dichotomies, as measured in the context of para­ digmatic vestigiae (though challenged none too effectively, if I am not remiss in saying so, by Freylinghausen's hypothesis delivered at the University of Bordeaux in April l 896) are existen­ tially and polaristically categorized by Nordlinger's Metternichian thermodynamics as tangen­ tially interrelated with studies promulgated by Darffenstangenovich on a scale of one to twenty factored to the 24th power. conference pro­ Althoug h she may have used a bit of literary license in transcrib ing the , yet she specialty her on ce conferen a g attendin was ceeding s, her point is well taken. She , but to students to only not time, the all happens It said. being didn't underst and what was specialis ts have to say, teachers as well. Althoug h there may be valuable ideas in what many spend hours translat­ we can't profit from them if we can't understa nd them, or if we must ing them. precisely this In his wonderful book, The Sociological Imagination, C. W. M ills made jargon. As an with y top-heav is theory" point. He argued that in many social sciences , "high it by 80 to reduced He logy: termino 's Parsons example , he interpre ted sociolog ist Talcott the point making wasn't Mills le. intelligib more it made 90 percent and at the same time was a Parsons that believed Mills , contrary the to ones; good that Parsons's insights weren't ideas. brilliant his obscured language s Parsons' brilliant sociolog ist. But ts and pre­ Another characte ristic of languag e is that it embodie s value j udgmen is always and this es serves ways of looking at problem s. A good social scientist recogniz looking of ways new and ion open to dealing with reality by alternative modes of express Conclusion at issues. given you a sense of If this chapter has succeeded in its intended purpose, it should have evolving : They in­ are what it means to be a social scientist. As you saw, the social sciences individu al social the and , teract and they move among the humani ties, the natural sciences and that fluid­ static, not fluid, are They sciences dependi ng on who is working with them. of them. any of n definitio a fixed too s ity will present problems to anyone who attempt 23 The ability to handle the fluid definitions, to recognize the shadows as well as the objects without flinching, is an important characteristic that good social scientists exhibit­ one which, if learned, will serve you well as you study this book and play the game of life. /(ey Points • • • • Social science is the name given to our knowledge about the nature, growth, and functioning of human society. The scientific method is a set of rules about how to establish rules. A good social scientist generally takes a wait-and­ see position about claims until they are tested and retested. A reasonable approach to a problem in social sci­ ence is to observe, define the problem, review the literature, observe some more, develop a theoretical S,ome Important Terms anthropology ( 1 ) biological science ( 2 ) case method ( 1 7) causation ( 2 1 ) cognitive science ( 4 ) comparative method ( 1 7) conflict theory approach ( 1 6) correlation ( 2 1 ) cross-cultural method ( 1 7 ) economics ( 1 ) educated common sense ( 1 8) exchange theory approach ( 1 6) • • experimental method (9) functionalist theory approach ( 1 6) geography ( 1 ) historical method ( 1 7) history ( 1 ) humanities ( 2 ) interdisciplinary approach ( 2 1 ) natural experiments ( 1 0) natural science (2) paradigm ( 1 1 ) political science ( 1 ) Questions for Review and Discussion I. • framework and formulate a hypothesis, choose the research design, collect the necessary data, analyze the results, and draw conclusions. Three typical methods in social science are the historical method, the case method, and the com­ parative method. It is important to use educated common sense in the social sciences. A good social scientist is always open to new ways of looking at issues. What is scientific knowledge? How does i t differ from knowledge acquired "unconsciously"? 2. Distinguish among the three major fields of human knowledge. What is the emphasis of each? 3. Name the principal social sciences and define the field with which each deals. 4. Why would it have been difficult to carry on sci­ entific investigation in primitive societies or even in the Middle Ages? 5. What is the scientific method? psychology ( 1 ) research program ( 1 1 ) scientific knowledge ( 1 ) scientific method (8) social science ( 1 ) sociology ( 1 ) statistical analysis ( 1 9) survey ( 1 9 ) symbolic interaction theory approach ( 1 6) 6. What basic assumption underlies the use of the scientific method? 7. What is the experimental method? 8. Why is it difficult to formulate precise laws in the field of social science? 9. Are there any advantages to having competing research programs? 1 0. In what sense is social science scientific? 1 1 . Why is it often impossible to study social prob­ lems by means of the experimental method? 24 �1 Social Science and Its Methods 1 2. Explain the ways in which the problems of social science differ from those of the exact natural sciences. 1 3. What are the advantages of the interdiscipli­ nary approach to the study of many social problems? 9nternet Questions 1 . Using an Internet search engine directory (for example, http://dir.google.com or http://dir. yahoo.com), look at the lists of topics included under Social Science or Society. How many fields are listed? What fields would you add (or delete) in a list of your own? 2. The website www.buildfreedom.com/content/ scientific_method.shtml uses an abbreviated ver­ sion of the scientific method to solve the social problem of dating. Use this process to "solve" another everyday problem. 3. Go to www.wikipedia.org and choose one of the branches listed under Social Sciences. What are 14. Social science has been broken down into special­ ties. Why is it a problem to put them back to­ gether through a unified theory? 15. What new social science fields do you think will be important ten years from now? Why do you think so? the subdisciplines or branches listed under your choice? 4. Take the survey about alcohol use at www.alcoholscreening.org. After taking the sur­ vey, look at the feedback you are given based on your answers. What can the results for this survey be used for? 5. Go to www. ncpa.org/pi/crime/pd08599g.html and read the discussion about Donohue and Levitt's study of abortion and crime rates men­ tioned in the text. What are some of the alterna­ tive arguments that critics use to explain why the crime rate has decreased? 'lor Further Study ---Greene, Brian, The Fabric of the Cosmos, New York: Knopf, 2004. Hecht, Jennifer Michael, Doubt: A History: The Great Doubters and Their Legacy of Innovation, San Francisco: Harper, 2004. Mills, C. Wright, The Sociological Imagination, New York: Oxford University Press, 1959. Repcheck, Jack, Copernicus' Secret: How the Scientific Revolution Bega n, New York: Simon & Schuster, 2009. Slater, Lauren, Opening Skinner's Box: Great Psychological Experiments of the Twentieth Cent11ry, New York: Norton, 2004. Tilly, Charles, Why, Princeton, Nj: Princeton University Press, 2006. Wilson, Edward 0., Consilience: The Unity of Knowledge, New York: Knopf, 1998. WWW Anthropology Resources on the Internet www. anthropologie.net WWW Economic History Services http://eh.net/ WWW Encyclopedia of Psychology www.psychology.org (accessed June 16, 2009) WWW Political Resources on the Net www.politicalresources. net WWW Social Science Research Council www.ssrc.org WWW Sociological Resources on the Internet www.socioweb. com WWW Virtual Library in Economics www.helsinki.fi/WebEc WWW Virtual Library in mcmaster.ca/w3virtsoclib Sociology http://socserv. istorical Roots � f Social Science N.ttural scientists tell us that the world has been around for some 6 billion years and that living things have been around for at least 3 billion. We will go back, however, only about 2,600 years, when Western philosophy began on the fringes of ancient Greece (some theorists hold that the Greeks responded to ideas from Eastern civilizations, but there are limits to even our broad sweep). The Greeks came to realize that their ancient account of how the world was cre­ ated and administered-by an enormous collection of gods, or pantheon-was not the only possible expla­ nation. They are credited with being the first to estab­ lish rational theory, independent of theological creed; to grasp rational concepts and use them as a way of looking at reality and seeing logical connections; and to be empirical and antimystical. Two great Greek thinkers of the third and fourth centuries B.C., Plato and Aristotle, are responsible for establishing a basis for knowledge as we know it and deal with it today. The philosophical debates of the Greek period were in many ways the same ones that go on today, explaining how, when all things change, things must also be simultaneously unchanging; otherwise, some­ thing would have to be created out of nothing-a log­ ical impossibility. These ideas would later develop into modern physics, including the laws of thermody­ namics and the proposition that matter can neither be created nor destroyed-merely transformed. The Greeks also considered many of the issues that later became the social sciences; for example, they consid­ ered the role of the state ( political science), the way minds interact with society ( psychology), and indi­ viduals' interaction within the market ( economics). Thus, the history of the social sciences begins with the Greeks. The history, however, is not continuous. Much of the Greek contribution to knowledge would have been lost (who knows what other contribu­ tions actually have been lost?) were it not for its preser­ vation by Eastern civilizations. On their forays into the East during the Crusades ( the religious wars from 1 095 to 1 272 in which Christians in Europe attempted to capture Christianity's traditional territory in the Middle East), Europeans became reacquainted with the learn­ ing of the ancient Greeks, and they brought back the body of ancient Greek learning to Europe, where it was generally available by the twelfth century. These ideas spread slowly throughout Europe over the next three hundred years, and by the middle of the fifteenth cen­ tury, rediscovery of Greek civilization in Europe was widespread. Because the period from about 1 453 (the fall of Constantinople) to the end of the seventeenth century was characterized by the rebirth and prolifera­ tion of ancient knowledge, it became known as the Renaissance (a French word meaning "rebirth"). The Renaissance must have been a wonderful time for scholars. The totality of knowledge was still comprehensible by the human mind. An ideal in the Renaissance was that an educated person could know everything and exercise all skills and social graces. A true Renaissance man was willing to take on all com­ ers on any tssue. As the store of knowledge grew, it became harder and harder to know everything, and so people began to specialize. A natural division opened, one between the humanities ( the study of literature, music, and art) and physics. The physics part of this division was not refined enough, and soon physics was broken up into empirical studies ( which developed into the vari­ ous natural sciences) and metaphysics ( nonempirical studies that developed into philosophy). The Renaissance was preceded by the Middle Ages (a period from roughly A.D. 476, and the end of the Roman Empire, to A.D. 1 453, the defeat of Christian re­ ligious armies in Constantinople by the Islamic Turks). In the Middle Ages, religion was so central to life that the study of religion was taken for granted, and it tied together all the other fields of study. For example, painters painted religious pictures, musicians wrote 25 26 I '"UII I �1 Social Science and Its Methods religious music, and the study of literature was the study of the Bible and its commentators. Questions that today seem the obvious ones, such as, Why are people divided into classes? and Why are the poor poor? were simply not asked. Things were the way they were because that was God's will. Once one knew God's will, the issue was how to carry it out. For exam­ ple, medieval scholars believed in a "just" price and that collecting interest on savings was immoral. They taught those principles and condemned those who did not follow their teachings. As the Renaissance dawned and continued, that religious tie provoked tension as scholars in the vari­ ous fields of study came to conclusions different from the church's doctrines, beginning a long conflict be­ tween religious learning and beliefs and so-called rationalist learning and beliefs. The tension between religious explanations and rationalist explanations was (and still is) inevitable. The rationalist approach places human reason above faith. In a rationalist approach, one looks for logical connections and is continually asking the question, Can you prove it? This meant that somehow the ra­ tionalists had to figure out what it meant to prove something. A religious approach places faith above reason. A religious explanation had no need to prove anything: Explanations were accepted on faith. Throughout the Renaissance, rationalism more and more replaced religion as the organizing principle of knowledge, and as it did, the various fields of knowledge became divided along rationalist lines. The humanities still reflected religious issues; the rational­ ist revolution came much later to the humanities. To the degree that they were considered, most of the is­ sues we now classify under social science were studied as part of history. History was part of literature and the humanities. It was simply a documentation of what had happened-it never asked why something happened. To ask why meant failure to accept God's will. Thus, it was primarily from philosophy, not his­ tory, that most of the social sciences emerged. The natural sciences and philosophy divided along modes of inquiry and answers to the question, Can you prove it? The study of philosophy itself evolved into a variety of fields, such as logic, morals, and epistemology (the study of knowledge). The Enli!lhtenment The Enlightenment is the period in which rational­ ism definitely replaced religion as the organizing principle of knowledge. The Enlightenment began Historical Roots of Social Science between A.D. 1650 and A.D. 1 700 and continued for about one hundred years. It is in this period that the development of the social sciences took hold and flourished. By the time of the Enlightenment, it had become evident that to know everything-to be a Renaissance scholar-was impossible. Not only was it impossible to know everything, but it was also impossible to know everything about just one subject-say, all of physics or all of philosophy. Individuals began to spe­ cialize their study. For instance, chemistry and astron­ omy were separated from physics. As philosophers delved into their subject, they further divided philosophy into parts. One part was metaphilosophy, the study of issues that most schol­ ars agreed were not empirically testable. One such is­ sue was: Because God is all-powerful, can he create a rock so heavy he cannot move it? The other division of philosophy dealt with issues that could, in princi­ ple at least, be empirical ly tested. For instance: What type of political organization of society is preferable? It is from the second division that the social sciences evolved. (They were called sciences because they were in principle meant to be empirically testable.) The Enlightenment spawned social science be­ cause the Enlightenment rejected the assumption that the classical world of the Greeks and the Romans was perfect. In the Enlightenment (roughly the whole of the eighteenth century), there was a general belief that civilization had improved and so too should the think­ ing about civilization. Moreover, in the seventeenth century, just preceding the Enlightenment, there was continual turmoil-a long drawn-out war between France and England and a religious conflict between Catholics and Protestants about how to interpret God's will. That fight broke down the religious explanations and made people very much aware of social problems. Which of the two explanations, Catholic or Protestant, was right? Why were they fighting? What could be done about it? The social sciences developed as indi­ viduals attempted to explain those social problems and suggest what could be done to solve them. Although the existence of social problems that require solutions may seem obvious to you, it was not always so obvious. This view is the product of the Enlightenment, which established the "three humilia­ tions" of human beings. These are: I. The earth is not the center of the universe. 2. Humans are creatures of nature like other animals. 3. Our reasoning ability is subject to passions and subconscious desires. �c 27 }·Ci.OP!o'f)JE, lJ!< '110'.''\AJIU. HA I'>O"'d DE\ �CIE�CE<.,, ll 1 � A H l •, I r J) I � "l I II ItS. r-i'.t ( -'"' l(J(J_ 1 J /)t: t,' f\ � 111' l F t J �tJ "J; �Ill Frontispiece from Diderot's Encyclopedie, written during the Enlightenme nt. Before we experienced these humiliations, thinkers could rely on an order they believed was es­ t.tblished by God. Social problems were set up by God .md were to be accepted or endured. Only after the hc:ginning of the Enlightenment did people begin to hdieve that society and culture are themselves prod­ lidS of histor y and the evolution of culture-that they had changed and would continue to change. As is often the case, the change in viewpoint had t paradoxical counterpoint, and human being s' 'humi liation" was accompanied by a belief in huma n hc:ings' powe r. If society could change, then the l hange could be, at least to some extent, guided and directed by human beings. Since its conception, social science has entwined these two aspects. Sometimes it is simply trying to understand, and it accepts our limited powers and our place in the cosmos, and at other times it is trying 10 change society. . I rom Philosophy to Social Science l'he evolution of philosophy into the social scienc es tan be seen in France, where philosophers joined to produce an encyclopedia, edited by Denis Diderot and Jean d'Alembert, which appeared over a span of severa l years in the mid-I700s. The full titie of this encyc lope­ dia proclaimed it to be a rational dictionary of scienc e, art, and industry. Unlike earlier compilations, it con­ tained systematic articles on man, society, and metho d, and a number of the first definitions of the social sci­ ences can be traced to this mammoth work. There are many ways to look at social problems, and as schola rs began considering human being s in reference to their social environment, the divers ity soon became apparent. The histor y of each of the so­ cial sciences becomes hopelessly tangled with that of each of the others at this point. In the Enlightenme nt, scholars were debating one another and ideas were quickly evolving. To capture even a flavor of the inter­ action and debate leads to a formidable moras s, hardly conducive to a social science course. So we will stop our consideration here. Some Important Terms Enlightenment (26) Middle Ages ( 25) Renaissance (25) The Origin of the Human Species ?-luman Origins After readiofl this chapter, you should be • • • • • �2 able to: tion Summarize Darwin's theory of evolu ry of evolution Explain the role of muta tion in the theo neering Relate DNA to genes and genetic engi tuated equilibrium and the Distinguish between the theory of punc theory of continuous equilibrium an beings over the last 30 Summarize briefly the evolution of hum million years If a single cell, under appropriate conditions, becomes a man in the space of a few years, there can surely be no difficulty in under­ The Origin of the Human Species Where and when the human species originated is not known with absolute certainty, but the conventional view is that it was in Africa some 5 to 7 million years ago. Modern scien­ tists believe that millions of years ago, the process of evolution produced our first human ancestors when a humanlike creature branched off from the apes. They believe that then a long series of changes created a group of hominids who displayed over time more and more of the basic physical characteristics that distinguish modern human beings from all other forms of life. Fossils of humanlike species have been found that date back about 5 million years, and research in this field is progressing so rapidly that it is possible that by the time you read this even older evidence will have been found. After splitting off from apes, hu­ manlike species are believed to have continued to gradually change to other types of humanlike species in the evolutionary process. standing how, under appropriate conditions, a cell may, in the course of untold millions of years, give origin to the human race. -Herbert Spencer live on was the t past belie ved that the globe we Our ance stor s in the not-so-distan nd it. Today, arou lved revo all the heavenly bodi es majo r focus of the universe and that and matter. e spac of erse univ ic mal part of the cosm we kno w that it is only an infinitesi rest, for the part is mor e imp orta nt than all the To human beings, however, this tiny h they live, their are themselves, the plan et on whic greatest concerns of hum an beings hope for a fu­ ionships with each other. Even if they origin, their destiny, and their relat ning ful and mea still long to make their earthly life ture life in som e far-off heaven, they satisfying. e lives in ures. They normally spend their entir Human beings are first of all social creat groups. l socia d nize orga us and as members of vario association with other human beings social the of re natu the to g bership varies accordin The quality of association and mem , but as residents ciation normally is constant and close group. For members of a family, asso residents is only r othe the of rity majo iation with the of a town or city, human beings' assoc is both in­ ern technology, especially the Internet, occasional and often impersonal. Mod ine, they spend on. As people spend more time on-l creasing and developing that associati associations lish raphic neighbors, but they often estab less time with their families and geog with people all over the world. s as memand most people still define themselve Physical geography is still important , common uage lang mon com a ther to some degree by bers of a larger society, all bound toge mon na­ com a on nce relia and , g, common loyalties interests, geographic areas, ways of livin t extent, grea a To are. welf ral gene their for much of tional government for their defense and of the society satisfying lives depends on the nature the ability of people to live happy and they live in. 28 29 Darwin and the Theory of Evolution Evolution in its broadest sense refers to any process of progressive change. Thus, one may speak of the evolution of the novel, of art, or of religion. But when used without qualification, evofution ordinarily means organic evolution, or the theory that all the complex life forms of today have descended from earlier ones that existed long ago. The theory of evolution was popularized by the English biologist Charles Darwin, who de­ voted his life to systematically finding evidence to support the concept of evolution and to explaining natural selection, which he believed was the mechanism by which evolu­ tion was accomplished. Darwin, in the capacity of a naturalist, made a five-year voyage with a British surveying expedition on the ship Beagle (1831- 1836). During this time, he had unusual opportunities to study a great variety of plant and animal life. He was puzzled by the similarities and dif­ ferences he found and by the progressive steps that often seemed evident in going from the simpler to the more complex forms of life. Ultimately, he developed his theory of natural selection to explain these relationships. The first major work in which he presented his con­ clusions was The Origin of Species ( 1859). Later, in another famous book, The Descent of Man, he dealt specifically with the evolution of the human race. Though Darwin was largely responsible for the widespread acceptance by scientists of the concept of evolution, he was neither the first to suggest the idea nor the first to be im­ pressed by the remarkable physical similarity of human beings to certain animals. As far back as the fourth century B.C., Aristotle believed in the gradual development of complex organisms from simpler ones, and a generation before Darwin, the French zoologist J. B. Lamarck had published a theory of evolution. Although flawed, it had many insights. Also, a hundred years before Darwin, the great Swedish naturalist Carolus Linnaeus organized the various species by similarity of their physical attributes. In doing so, he invented the term primates, a group of animals including human beings, apes, and monkeys whose outstand­ ing characteristics are their larger, complex brains; high intelligence; and hands and feet adapted for grasping. In his studies, Linnaeus could not overlook the resemblances among these three kinds of creatures. Natural Selection. Darwin's concept of evolution was based in part on natural selection, the proposition that individual members of the various species that have characteristics more favorable for meeting the conditions of life are more likely to survive and pass on their characteristics to future generations. Darwin believed that every species is character­ ized by the appearance of such individuals; thus, the direction that evolution takes is largely determined by "the survival of the fittest." 30 � 2 trans ­ acter istics of species and indiv idua ls are Genetics studies how the hereditary char is still rs occu tion evolu how The precise process of mitted biological ly to their offspring. role. rtant impo genetics play s an unsettled, but it generally is believed that teenth done by Gregor Mendel in the late nine was tics gene in work n The foundatio rs, facto ce animals have what he called inheritan ' century. He discovered that plants and nal origi their as discrete units with in cells that retain now known as genes, which he defined s determine n. Because of this retention, these gene character for generation after generatio ected to conn ly close is Thus, the study of evolution the character istics of future generations. the study of genetics. II The Origin of the Human Species Human Origins it does not explain why and how we Genetics explains the way we are, but Mutation. ges that lead called mutation: random genetic chan change. That occurs through a process acteristics offspring may have quit e different char to new characteristics. In mutation, an from those of its parents. do know rstand why these mutations occur, we Although we do not completely unde to future on d passe their new character istics can be that if the resulting offspring survive, of the res failu ial part They seem to be accidents, generations. Muta tions are random. of ence ncid i the that know duce its kind . We also process by which a species is able to repro a­ mut t Mos tion. radia of s type certain chemicals or mutations is increased by exposure to mu­ ficial Bene ring. offsp the to ficial some are bene tions are neutral, but some are fatal and t great periods of time, evolution can bring abou long Over ible. poss tion tations make evolu and ture struc animal species, and in the process the changes in the character of a plant or become much more complex. biological functioning of the species often and the seem to be the result of gene mutations that Examples of changes in a species ered pepp The find. to of the fittest) are not difficult operation of natural selection (survival its of h muc ds spen moth been studied in detai l. This moth in Great Brita in is a case that has ­ nine the of le midd the l Unti food of some birds. time cling ing to trees and is a favorite to seem s imen spec cted colle who s d by naturalist teenth century, all peppered moths foun lichen­ of the trees was usually light and often bark the use Beca . color have been light in after But . ing it difficult for the birds to see them covered, this served as protection by mak e ar­ som in r way for some time, so much soot fell the Industrial Revolution had been unde dark e mad This ks and branches became darker. eas of central Britain that the tree trun ge avera on er long therefore the dark moths lived moths harder to see than light ones, and rela­ a in ns ratio gene y moths go through a great man and produced more progeny. Because Brita in nat the more highly industrialized areas of of e som in tively short period of time, ones. dark the with s moth ced the light peppered ural selection almost completely repla istics. acter char cular parti t affec that parent, Genes contain two alleles, one from each to nts pare alleles transmit characteristics from the In sexually reproducing organisms, the ring. offsp the characteristic that is transmitted to the offspring. A dominant allele controls are reces­ acter istics unless both allele s in the pair A recessive allele will not transmit its char istic afacter char are paired, they will determine the sive. However, if two recessive allele s natural of ation oper relatively simple example of the fected. The peppered moth presents a pair of a , allele t inan dom a known to result from selection. The color of these moths is . color light for of recessive allele s dominant allele s for dark color, or a pair sive same combination of dominant and reces this from t resul istics Human character A per­ sive. reces are eyes blue and t inan eyes are dom alleles. In the case of eye color, brown rwise, the have the recessive characteristics; othe to s allele sive reces two son must have dominant character istics prev ail. cance of Mendel's work was not tific breakthroughs, the signifi is the case with many major scien nized 1866, their importance was not recog ugh he published his results in immediately understood. Altho 1 As until 1900. heories, Proofs, and the Darwinian Story explanation for the ultimate beginning of everything, and there is always the possibility that scientists are collectively fooling themselves-they have done so The peppered moth example has been cited in this before. Scientists admit to this possibility because text and in most other textbooks about evolution for at good science requires them always to be skeptical least the last twenty years. Why do textbook authors even about issues they think they know; but what will choose this example? We do so in large part because it convince them is contradictory empirical evidence, not fits the Darwinian story of evolution so well. Recently, arguments about the limitations of human knowledge. social scientist Michael Majerus pointed out that the Whereas good scientists are always on the lookout moth photos, on which much of the story was based, for contradictory evidence, good religious people are were staged and that there were serious design flaws not. Almost all religions, and certainly the Christian with the original peppered moth experiments. religion, require people to accept things on faith. Despite the problems he found in the experiment, Religious beliefs are supposed to be held regardless of Dr. Majerus, and most moth experts, believe that the the empirical evidence-the more the empirical evi­ basic story about the peppered moths holds up and dence contradicts the foundation of faith, the stronger that the story they tell is "qualitatively right." But the the faith must be. This means that the two sides do recent discussion of the problems with the original not have a common method of resolving the debate. experiment provides good insight into the scientific Whether scientists should have a more open mind method. The scientific method directs scientists to to additional hypotheses that complement or are in question everything because there is always a chance addition to evolution, but do not contradict it-such that a "proof" will slip through the cracks, leading to as the hypothesis that there is an intelligent design false beliefs, especially when a theory comes to be underlying the evolutionary process-is an open ques­ strongly believed by most scientists. The problem is tion. The problem with these hypotheses is that it is that when reports of observations fit the way we difficult, and perhaps impossible, to find empirical already think, we tend to be less questioning than we evidence that would lead us to choose one hypothesis otherwise would be. After reviewing the broader evi­ over another. Other than the fact that we exist, and dence, almost all scientists continue to believe that that our existence must have some cause, there some version of the Darwinian story of evolution holds, seems to be no test of the intelligent design hypothe­ but they are continually testing it in order to refine and sis. Thus, most scientists tend to find the arguments improve it so that it better fits the empirical data. made by Ben Stein in his documentary, "Expelled: No However, many people in our society-especially those with a strong Christian affiliation-interpret the 31 Intelligence Allowed" (www.expelledthemovie.com), as primarily propaganda for a particular faith rather Bible literally and are hesitant to accept accounts of than an argument for a serious scientific addition or evolution inconsistent with the Bible. The debate alternative to the theory of evolution. That said, the between these two groups is unlikely to be resolved. close-mindedness and unwillingness of some scien­ Science relies on empirical evidence to settle such tists to even address the issue, or to allow people to disputes and almost all empirical scientists believe put their ideas forward, goes against the openness that the preponderance of empirical evidence on evo­ that is essential to scientific inquiry. Lastly, science lution supports some version of the theory of evolution. has no explanation for existence; evolution is a theory True, the evidence is incomplete, and science has no of change, not a theory of existence. The first human beings, or their humanlike precursors, probably evolved in tropical regions where survival was possible without clothing. It is likely that they had very dark skin because light skin would have given little protection against the burning rays of the sun. There is debate about whether these people spread into other parts of the world or, instead, whether people developed independently in various parts of the world. Whichever the case, it is believed that in time they became capable of spreading out from Africa, eventually to most of the world. This was probably because their physical characteristics changed. For in­ stance, early hominids probably did not walk upright, but when they developed that ability, they could travel more efficiently. More important, perhaps, was their development of tool making. With tools, they could hunt or scavenge other animals, so they could consume more protein and fat than their low-energy vegetarian diet would have provided. Not only 32 � 2 The Origin of the Human Species 33 Human Origins d with more energy. The brain their bodies but also their brains would have been charge could physically and intellec­ ids homin needs lots of energy to grow. As their diet expanded, tually expand their territory. they moved, that changed. In the All early hominids were probably dark-skinned. As the sun was very weak, espe­ ded, expan they which most northern of the territories into or fog. Dark skin, which had been cially in the long winters, and was often hidden by clouds antage because the sun's rays, by an advantage in warm, sunny climates, became a disadv is an essential element in nutri­ penetrating human skin, help produce vitamin D, which s for very long periods of time­ tion. Populations that remained in these colder region gh gene mutations and the process perhaps 100,000 years or more-seem gradually, throu of skin. shades of natural selection, to have developed much lighter all Natural selection does not completely account for ions mutat gene from result may es evolutionary changes. In small groups, some such chang that contribute to survival. But other cs teristi charac create not do but ess harml are that se their chances of survival, and so they characteristics developed by such groups may increa al selection may explain the dark skins Natur areas. grow in number and spread over wider eans, but it is not an obvious ex­ Europ ern north of of black Africans and the lighter skins as the different construction of the eyes planation of some other racial characteristics, such nt for as much similarity as exists. in Asian and Occidental people, nor does it accou Therefore, work in this area will likely continue. Limitations of Natural Selection. Recent Developments in Genetics our knowledge of genetics. Whereas In recent years, scientists have significantly extended of life, today scientists have unrav­ once it was thought that genes were the building blocks or deoxyribonucleic acid, the DNA, eled the gene and discovered a small building block, for a long time that DNA known had ists basic chemical building block of genes. Scient Crick unraveled its double s Franci and n Watso existed, but it was only in 1953 that James staircase. They found that each of helix structure, discovering that DNA resembled a spiral amino acids are linked into the proteins the steps serves as a code word and determines how ering the blueprint for life (but not of which all living things are made. It was like discov the blueprint). how life was originally created or what force had drawn Paul Berg altered, or spliced, a sor Profes made. was ce advan r furthe a In the 1970s, ed it. This opened up a whole chang gene. Rather than merely reading the blueprint, he had some control over living or­ se exerci could new field. If scientists could change a gene, they possibly building new ones. and forms g existin ganisms by cloning-that is, duplicatingial to create new, man­ mater c geneti nging rearra ering, This process is called genetic engine se-demonstrating one of the intercon­ made life forms or change existing ones. In respon see throughout this text-the price of nections between science and other fields that we as everyone tried to get in on the action. genetic engineering stocks on Wall Street went wild e Project, was begun. Its purpose In 1973, an international project, the Human Genom project was completed, with the the was to map, or identify, all the human genes. By 2001, a set of directions to what having like It's mapping of a human being's entire set of genes. d through the competitive reache was ement makes us biologically what we are. This achiev te directed by James Institu ch Resear e Genom n Huma efforts of government-the National a private enterprise, Celera Genomics, Watson and his successor, Francis S. Collins-and ns had only about 25,000 genes, about headed by J. Craig Ventner. They found that huma genes with a wide variety of animals. 6,000 more than a worm, and that humans share many standing of the biological causes of This genetic map has given us a much better under es in people. Scientific research using differences among people and what can cause chang off in many directions and will likely this enormous amount of raw information has taken ns that are the building blocks of protei many have to be complemented by a study of the \nalyzing DNA. cells. Thus, a new applied science-proteomics-is building on the genome project. This study is still in its early stages, although some scientists believe that soon they will be able to combine the nonliv­ ing chemicals that make up DNA, and by combin­ ing them in the right proportions, be able to turn those chemicals into something living. The major breakthroughs from genetic engineering for med­ icine are, however, probably decades away. Having our genetic codes presents many so­ cial and ethical dilemmas. Can we extend life spans by one hundred years? If we can, should we? Can we create new life forms? If so, what rights would they have? Back in 1988, cloning got a lot of publicity when white mice that had been genetically altered were patented by the U.S. Patent Office so that the laboratory that had developed these mice could sell them to other laboratories for various scientific procedures. Before that, there had already been ge­ netic engineering of plants to improve basic grains such as rice, leading to India's "green revolution" and more food at less cost for its people. In 1997, Scottish scientists succeeded in cloning sheep. Since that time, many more species of animals have been cloned. Some people even believe that it may be possible to clone extinct species, a fantasy explored in the book and movie Jurassic Park. Further research on cloning has shown its limitations. Only a small percentage of eggs that start out as clones end up as live animals, and many of those live animals have defects. Scientists have traced the problem to faulty DNA methylamines, which essentially means that the DNA of clones gets slightly mixed up, and hence gives faulty instructions to the growth process. Because of the problems with cloning, most scientists agree that although we may be able to clone a human, we should not do so. However, it is always possible that some rogue scientist might attempt to do so; and such an attempt would force society to face the difficult ethical issues raised by cloning. One such issue involves embryonic stem cell research. (Stem cells are all-purpose cells that can develop into alternative types of cells). The American Medical Association has endorsed limited human embryo cloning for medical purposes, but there are major debates about whether it is appropriate. Some Implications of Recent Developments Changes in technology present society with extraordinarily difficult questions. If, for instance, parents could choose characteristics for their children, what characteristics would they choose, and how would their decisions affect the overall population? Will a line be drawn forbidding cloning of human beings but permitting genetic alteration and possibly control of existing human beings? Who would draw such a line and how would its boundaries be enforced? The information gathered by researchers may be used in unforeseen and possibly undesirable ways. For instance, a government might collect knowledge about its citizens and use it to manipulate them. Or pension systems might use it to identify. potentially long-lived people and charge them more for pensions. Or insurance companies might use the information to deny medical coverage to individuals predisposed to certain diseases. We can expect significant social reper­ cussions from this scientific enterprise throughout the twenty-first century. 34 � 2 Human Origins Moral, political, religious, scientific, and governmental forces will undoubtedly mobilize on an international scale for debates on these issues. Thinking about them gives you a sense of how new discoveries can have profound effects on the social system in which we live. In short, our future social evolution will likely be substantially influenced by the information we have about our human evolution. What we know will change what we are. Should the Species Be Regrouped? As our knowledge of biology has progressed and we have developed far more information about the genetic makeup of life-forms, our abilities to differentiate species and to place them in orders of progression have changed enor­ mously. The divisions of the species that we currently use were created by Carolus Linnaeus (1707- 1778). His divisions were determined primarily by physical traits. As our knowledge of genetic makeup has improved, we have come to realize that physical similar­ ities do not necessarily imply genetic similarity, and vice versa. Given the importance of genetic makeup, it would seem logical to organize species by genetic components. However, division by physical characteristics is still the dominant division used. This is an example of the inertia in any system of knowledge and terminology. They evolve slowly. Sociobiology lij I The study of genetics is not the only evolution-related field to experience progress; the study of evolution itself has progressed, and on one front it has been extended. A group of scientists called sociobiologists has argued that human behavior evolves in the same direction that anatomy and body chemistry do: to increase the chances of survival of the species. Behavior that does not increase chances of survival will eventually lead to de­ struction. Sociobiology is a combination of sociological and biological reflections that the­ orize a genetic basis for human behavior. A leader in sociobiology, Harvard entomologist (one who studies insects) Edward 0. Wilson has provided an example that may help clarify the reasoning sociobiologists use. People are born with an inherent fear of strangers. This fear is a necessary genetic trait; it is a form of "prepared learning" that can be seen in infants less than a year old. If infants did not have this fear, they would be more susceptible to attack and thus Jess likely to survive. Over generations, more individuals who exhibit this trait generally will survive than indi­ viduals who do not, and eventu­ ally the genetic trait will become inherent in the species. The argument may seem simple and of little consequence, but if we replace "strangers" with "persons of another race" the argument becomes more problem­ atic and conflicts with our society's views on equity. People can justify or at least rationalize any behavior as being "in their genes." Therefore, sociobiology has provoked strong attacks that it "justifies racism." In response, sociobiologists point out "It'll never work out. She's patented, he isn't." that their argument is not that The Origin of the Human Species 35 genes directly control behavior, but rather that genes play a role. Wilson states, "We're sug­ gesting that there is a mechanism which one sees during evolution continuously around the circuit: genetic change, cultural change, genetic change, and so on." The issues raised are highly controversial and are reminiscent of the free will-determinism issue early Christian philosophers debated. Do we do what we do because we are programmed to do it, or do we do it by choice? We suspect the debate will continue for some time. The concerns about the almost singular focus of sociobiology on genetic natural selection has led to the development of a new field of psychology-evolutionary social psychology. This field accepts that biological and genetic factors play a role in explaining behavior but argues that other factors are also important. Punctuated Equilibrium versus Gradual Change Evolution theory is also challenged on another front. Darwin saw evolution as a gradual process of natural selection and survival of the fittest as the most likely phenomenon. Now evolutionists such as paleoanthropologist Niles Eldredge and polymath Stephen Jay Gould2 argue that evolution is characterized by long periods of relative stability that are punctuated by sudden changes, followed by more stability, followed by more changes, and so on. One hypothesis why this occurs is that changes in environment cause species to diversify and specialize into several new niches, creating new lineages. In Gould's theory, a species will be unchanged for thousands or hundreds of thousands of years and then suddenly something will happen that will change it (perhaps gene splicing?) or even wipe it out. The authors think of Gould's theory as macroevolution-periodic sudden large changes-and of the concept of gradual evolution as microevolution, a continuous, almost unnoticeable succes­ sion of small changes. The debate centers on fossil evidence from millions of years ago that paleoanthro­ pologists find in their digs. In the study of evolution, archaeologists have found fossils that demonstrate the changes various species such as humans have undergone. However, large gaps that scientists expected to fill eventually somehow remain. It is here that Gould's theory enters. Gould's punctuated equilibrium theory holds that evolution is a stop/go process of sudden change, with long intervening periods of no change. The difference between punctuated equilibrium and gradual evolution can be seen in Figure 2. 1. The straight upward-sloping line represents the traditional view, and the new view, punctuated equilibrium, is depicted by the horizontal lines with sudden upward jumps or stages every million or so years. An example of sudden jumps has been found in snail fossils at Lake Turkana in Kenya by Harvard archaeologist Peter Williamson. He discovered that, over a 2-million-year period, there were two sudden changes in which major evolutionary changes occurred, and in between almost no change occurred. Thus, in Gould's view, evolution is merely a series of revolutions interspersed with long periods of calm. The punctuated equilibrium theory of evolu­ tion has attracted interest because it explains parts of the phenomenon that the old theory could not. For example, his theory could explain the sudden disappearance of dinosaurs millions of years ago. If evolution were a continual process, they would have died off slowly. Gould's punctuated equilibrium theory was challenged in 1988 in the work of Peter Sheldon. Researchers before Gould had noted a significant gap in a set of crab-related 2A polymath is a person of encyclopedic learning, and the term has been applied to Gould because he was a biologist, geologist, and historian; he was also a leading theorist on large-scale patterns in evolution and an informative writer. 36 � 2 The Evolution of Human Beings Human Origins feeling was that both sides were in some way correct and that some changes may be punctuated and others may be gradual. But these views are evolving as more evidence is likely to be found in years to come. 0 Th e Evolution of Human Beings 0.5 Branch 1 .0 Homo erectus dies out fpt 1 .5 · � Much of what happens in abstract scientific theory does not make news, except for articles in such periodicals as National Geographic or Scientific American. However, because it has seemed to some people to go against the Bible's version of creation, evolution has stirred popular press contro­ versy from Darwin's time to ours, especially on the part of fundamental­ ists who believe in literal interpretations of the Bible. .., Australopithecus robustus • � L-[J Homo habilis 2.0 ·· 2.5 37 Austra/opithecus africanus � - Sudden emergence of 1 ••.·.··.•;..•• I I I 3.0 "" Hypothesized common "'L---l ancestor Under su rface Science, Faith, and Controversy new spec1es accordmg to punctuated e q u 1 l 1 b n u m F i g ure 2.2 fu�� lrrlobites resembled modern wood " t '. The discovery of their fossils l�t�l/enged Gould's theory of ••mctuated equilibrium. Australopithecus J afarensis U D u ration of species Fig ure 2.1 possible theory of evolution. I n the traditional view, evolution i s represented by the straight, upward-sloping line. In an alternative view that has been advanced in recent years, equilibrium is represented by the horizontal lines with sudden upward jumps at intervals of thousands or hundreds of thousands ofyears. Note that the lengths of the time periods on the vertical axis are the estimates of some authorities. Other authorities give other lengths of time, but all authorities agree that the time periods are very, very long. In the interest of simplicity, the graph does not show all the species that are now extinct but are thought to have existed at various periods along the way to Homo sapiens. A creatures called trilobites (see Figure 2.2). In the evolution of these trilobites, it appeared that there was a sudden stop, and then the set picked up again but with some different characteristics, especially in the number of ribs they had. The absence of trilobites that would have filled the gap with a steadily changing number of ribs had been cited as sup­ porting Gould's theory. However, through painstaking work, Sheldon found specimens that filled in the gaps, showing that the average number of ribs the trilobites contained changed slowly over time. Sheldon's findings generated much debate, and the general Just how much controversy it has caused can be seen in some famous court trials that have dealt with the issue. In 1925, for example, a Tennessee high school biology teacher, John Scopes, was prosecuted for and found guilty of breaking a state law forbidding the teaching of evolution in the public schools. The law and others like it in several neighboring states were not repealed until the late 1960s. In recent years, evolution has again made headlines, this time over attacks by a group called scien­ tific creationists. Scientific creationism is not a science, but rather the belief that all present life-forms were spontaneously created at one point in time. Proponents have helped pass statutes in a number of states requiring the teaching of what are actually re­ ligious objections to evolution wherever the latter is presented in public school classes and textbooks. In response, publishers have suggested to their authors that they tone down the discussion of evolution i n textbooks so that it is acceptable to the scientific creationists. The result has been that some textbooks have devoted only minimal discus­ sion to evolution. Many educators have complained, and in 1985 California did some­ thing about those complaints. It informed publishers that unless their books dealt with the issue head on, their books would be dropped from public school purchases in California. To put the matter bluntly, no organization of U.S. professional scientists has given any scientific support to creationism. In fact, almost all recognized scientific authorities strongly reject such assaults on academic freedom, the traditional scientific method, and the American principle of separation of church and state. A 1982 federal court decision en­ dorsed the scientists' view by throwing out an Arkansas law mandating the study of scien­ tific creationism in the state's public schools on grounds that creationism is not a science but religion, as it rests on a spiritual, not objective, premise and thus violates the separation of church and state principle that is part of the U.S. approach to government. At the close of the twentieth century, the Kansas State Board of Education decided that individual school boards could choose whether to teach evolution. This step evoked spirited discussion throughout the country and does not represent a major trend in U.S. education. One of the objections to the provision was that its implementation would place graduates of Kansas school systems outside the mainstream of U.S. scientific theory and thus at a dis­ advantage in many future careers. Few Kansas school boards chose to discontinue the teaching of evolution, and in the state elections of 2000, several proponents of discontinu­ ance who were running for reelection to the state board were defeated. The controversy has continued and in the early 2000s, local school boards of various states have had occasional clashes over textbook choices because of the evolution issue. 38 � 2 Human Origins These debates are relevant here because scientific creationists have used Gould's new evo­ lutionary theory of sudden rather than gradual evolutionary changes as scientific evidence to support their position. They say that the physical evidence of earth's multibillion-year existence can be explained by a series of creations, each one replacing the one before it. But as Gould explained in the court case, his theory is not antievolutionary; it merely challenges the p rocess whereby evolution occurs. The actual issues of what should be taught in classrooms are too complex to be ad­ dressed here. However, it must be stressed that although there have been sound professional scientific criticisms from time to time of the specifics of evolution, responsible scientists have not denied its basic point. The phrase scientific creation ism is in many ways a contra­ diction in terms. Creationism begins and ends with a belief that life sprang from a sudden act of divine power and has not appreciably changed. This is an essentially religious version of natural origins. Science studies cause and effect and thus looks for continuity. This is not to say that religious faith cannot coexist with science. Ultimately, "existence" or "being" must be explained, and no scientific theory can yet explain how something was created out of nothing.3 In the mid-l 990s, a more acceptable but still controversial method of integrating reli­ gion into science developed. It was called intelligent design and it was the center of a fight about a textbook entitled Of Pandas and People. The central thesis of intelligent design is that the world is too complex to have developed on its own and that it can only be ex­ plained with some concept of initial intelligence. This is different from scientific creation­ ism in that it does not challenge evolutionary evidence. It simply adds to it a theory of what is behind evolution. Critics see it as a sneaky way to introduce creationism into schools, while supporters see it as an acceptable hypothesis because it discusses issues that science and empirical evidence do not contradict. The Evolution of Human Beings 39 Common ancestors of modern primates Common ancestors of Old World primates Common ancestors of apes and humans Hominids (early creatures belonging to the human family) Early anthropoid apes Pred ecessors of M od ern Humans Some of the most interesting finds have concerned the evolution of humans. Though humans are closely related to the other primates, we are not certain how they evolved. However, with allowance for oversimplification, a basic outline can be drawn up. The origin of life is thought to have occurred billions of years ago as one-celled organ­ isms arose from the primordial ooze. Over the millennia, the organisms evolved into a wide variety of life-forms. Primates, from which humans developed, evolved some 65 to 70 million years ago, and a monkey-apelike creature from which the human species evolved is thought to have appeared somewhere between 22 and 38 million years ago. This apelike species is considered the common ancestor of modern apes and humans. Figure 2. 3 gives you a general sense of that evolution. Each box in it represents a different species. First let us explain that a species is a broad category of individuals who look alike and can mate with each other to produce fertile offspring. Today's humans are the only mem­ bers of the species Homo sapiens ( reasoning man).4 They are also the only surviving human species. At least two other human species, Homo habilis ( man with tool-making ability) and Homo erectus ( man who stands up straight), have long since become extinct. All three of these types of humans belong to the same umbrella category, or genus. 3Most religions solve this problem by postulating a god who created all, but as many Sunday school stu­ dents have pondered, that still leaves open the question of who created God. At some point, faith must still play a role, and when an explanation relies on faith rather than reason, it becomes a religious explanation. Even the "big bang" cosmological theory has no explanation of what "banged." 4To distinguish early modern humans from contemporary modern humans, some authorities use the term homo sap iens sap iens for the latest humans. In simplifying, we have not made this distinction, but it is useful to know that the term exists and what it means. Homo sapiens (modern humans) Fi gure 2 .3 l'ct.-sible lines of descent of humans and other higher primates from their common ancestral type. A human type more distantly related to us than any of the species j ust mentioned belongs to a separate genus, Australopithecus, creatures who have been extinct for millions of years. Humans and Australopithecines belong to the family Hominidae, along with several kinds of apes, both living and extinct. And the whole family belongs to the larger group of primates. From Apelike Creature to Hominid. The date when these apelike creatures began to change to hominids, humanlike creatures who stood on two feet, is unclear, but it is be­ lieved to have been somewhere between 6 and 10 million years ago in Africa, and several million years later in Europe and Asia. The fossil record for these timespans is poor or non­ existent, so the estimate is based on genetic differences between living humans and living primates combined with estimates of how long it has taken for the differences among these creatures to occur. Much debate exists about the lines of descent of humans and other primates. In trying to resolve this debate, researchers are turning more and more to the realm of molecular biology and chemical analysis of DNA done in the laboratory. According to fossil evidence, 40 � 2 \ � eings Human Origins The Evolu the evolutionary split between human beings and apes might have occurred as early as 2 5 million years ago and continued for a long time. This view was strengthened b y a fossil said to be of a 15-million-year-old prehuman jawbone found in 1991 in southern Africa. This ev­ idence, however, is contradicted by comparison of blood substances from human beings with those from chimpanzees, indicating the divergence was far more recent-perhaps only 7 million years ago. The DNA analysis has tended to support the later dating and, in fact, re­ cent work by David Reich of Harvard has suggested that chimps and humanoids interbred for hundreds of thousands, or even millions, of years. Even today, chimps' genetic structure differs from humans' by only 1 .2 percent. While his hypotheses are still debated, the general belief that genetic analysis will provide important clues about human evolution is shared by most scientists. Although there is a dispute as to when the transition from ape to hominid occurred, anthropologists generally agree that all the primates, including hominids, once lived in trees and that during this period they developed limbs of great strength, with prehensile fingers and toes for grasping branches. Most primates, including the gibbon and the orangutan, still live in trees, but gorillas, like humans, live on the ground. Chimpanzees sleep in tree nests but spend much of the daytime on the ground. Apparently, one reason for this descent to the ground was their increase in size. Gorillas typically weigh from 400 to 600 pounds and are far too heavy for life in the trees. Even chimpanzees are too heavy to swing about through the branches unless they choose them with care. The great apes can walk on two legs but they have not achieved the human's erect posture and normally walk on all fours. Perhaps the most important physical difference between human beings and apes is in the size and complexity of the brain. Between various animal species, there seems as a rule to be some relationship between intelligence and the weight of the brain, especially its weight in relation to the body. But the most important factor is the organization of the brain. The chief advantage of large size seems to be that it provides space for additional cells and for more complex mechanisms. On the average, chimpanzees are smaller than humans, but some weigh as much as 120 or 1 30 pounds. The brain of a small human typically weighs about three times that of a chimpanzee of the same body weight, and a normal human cere­ bral cortex, the part of the brain most concerned with memory and thought, may have ten he Search for Eve choosing women from all over the world. They found that the differences in DNA among people all over the The development of genetic research has introduced a wor ld were amazingly smal l , which suggests that the new battleground in the debate about our past. The work differences among peoples of the world are also small . of molecular biologists has challenged many evolution­ Hypothesizing that about 2 t o 4 percent o f the D N A ists' conviction about the timing of the human family components will mutate over the course of a million tree and where it first took root. Until the early 1 990s, years, they came to the conclusion that , around some molecular biologists argued that the evolution from 200,000 years ago, a woman must have existed from prehistoric to modern Homo sapiens occurred in one whom all now-living human beings are descended. place and that humans descended from one woman Their research caused much debate. In 1 992, how­ who lived approximately 200,000 years ago. ever, they discovered an error in their calculations and These molecular biologists examined the genetic admitted that their results were far less conclusive differences between chimpanzees and humans and than they had previously believed, but they still be­ found that the differences were surprisingly smal l-so lieved it had elements of truth . small, in fact, that they believe chimpanzees parted This research has continued . Bryan Sykes, an company from humans only about 5 to 7 mil lion years Oxford geneticist, argues that he has found "the ago. The microbiologists went on to examine mito­ seven daughters of Eve, " that these women lived chondrial D NA, which is inherited only through the 45,000 years ago, and that all existing humans mother, from the placentas of 1 4 7 pregnant women, descended from them. 41 times as many cells as the cerebral cortex of a typical ape. Today, there seems little doubt that this complex brain is an essential basis of the human power to acquire a vast store of memories, to use word symbols, and to carry on abstract thought. With respect to behavior, there are both striking similarities and striking differences between apes and human beings. Like humans, apes have family life and care for their young. They have emotional responses, can express gratitude and shame, and often are sociable and cooperative. On occasion, they compete with one another, and sometimes they engage in play. Certain chimpanzees have responded well to training in various types of behavior such as smoking, riding a bicycle, eating with a knife and fork, and drinking from a bottle. They have also shown abil­ ity to solve problems requiring reasoned judgment. But to all these accomplishments, there are limits that argue unmistakably for the superior intellectual qualities of human beings. The problem for physical anthropologists is to fill in the gaps of precisely how humans evolved, or if the evolutionary theory of punctuated equilibrium discussed earlier is true, to explain why I 'his eighteen th-century drawing from Diderot's the changes occurred when they did. In the last century, and espe­ Fucyclopedie shows what some people at that cially since the 1930s, anthropologists have made tremendous 11/IC imagined early humanlike creatures to strides in solving the puzzle. Archaeological finds date our ances­ I I I I'C looked like. tors back about 6 million years and a wide variety of early hominid fossils have been given forbidding names such as Africanus ramidus, Zinjanthropus, and Orrorin Tugenessis. A key element in determining when to date the start of modern human history is when these early hominids began using tools. Discoveries of tools with skeletons have been dated from 2.5 to 1.6 million years ago. This group of hominids is called Homo habilis because habilis means "maker." R ema ining Gaps. Despite advances in fossil discoveries, significant gaps remain in our knowledge of our ancestors, even among experts with their detailed and technical grasp of the subject. For instance, what happened during the intervening years? Were these apelike beings the predecessors of modern humans or only of apes? Did humans start out in a number of places or in only one, from which they dispersed throughout the world? These questions still are unanswered and probably always will be. However, genetic studies are leading to more specific answers. The latest genetic data suggest that all humans descended from Africa and spread throughout the world along the lines shown in Figure 2.4. From Homin ids to Homo Sapiens. The earliest known species of Homo (human), Homo habilis, emerged from these early ancestors. Homo habilis had a larger brain but smaller teeth than these early ancestors and probably produced stone tools and other stone objects. As we move closer to our own century, our information increases somewhat, but de­ spite substantial progress, it is still sketchy and incomplete. An important find occurred in 1891 in Java when a Dutch surgeon, Dr. Eugene Dubois, unearthed another piece of the puzzle: Homo erectus. Homo erectus lived from about 1.8 million years ago to possibly as re­ cently as 2 50,000 years ago and was a hunter who knew how to use fire. It is believed that about 1.8 million years ago in Africa, Homo erectus developed from Homo habilis and then dispersed to Europe and Asia about a million years ago. Homo erectus's brain was even larger and the teeth even smaller than Homo habilis's. The lessening of tooth size indi­ cates that dependence on hard food such as nuts and seeds, which requires powerful teeth and jaws, was decreasing as human diet veered toward softer foods such as fruit and, increasingly, meat. Homo erectus seems to have been very strong-which would have facilitated hunting. 42 � 2 The Evolution of Human Bei ngs Human Origins 43 seem to have been unable, for instance, to adapt to harsh climates, or to find food more eas­ ily than did Homo erectus. •(:tt., Pacific Ocean Pacific Ocean ')':, Figure 2.4 Early human migration. ated objects Among Homo erectus's nonbiodegradable waste are found more sophistic mate­ charred and than Homo habilis made, such as axes, and there is evidence, from ashes fire. use to learned rial, that toward the end of Homo erectus's existence, Homo erectus Arsuaga, an­ In 1997 two Spanish paleontologists, Jose Bermudez de Castro and Juan to believe them leads Spain in found nounced that their study of 800,000-year-old fossils com­ possible a is who species separate a is that Homo antecessor (man who goes before) the that ed speculat They next). ed (discuss sapiens Homo mon ancestor of Neanderthals and Africa. from ts emigran t represen Spain n fossils they found in norther ago. The reasons are Homo erectus seems to have become extinct nearly 500,000 years than those of their not at all dear. Artifacts of Homo erectus, although more sophisticated Thus, one theory predecessors, do not show much change over more than a million years. to changing adapt to e inflexibl holds that Homo erectus may have been too conservative and conditions. branches. One Another theory is that Homo erectus did change, separating into two sapiens. Homo Homo human, modern the was branch was the Neanderthals and the other by their larger sors predeces their from differ to began sapiens is a group of hominids who have yielded sites African and n Europea made. they tools quality brains and by the better years old, 300,000 to 200,000 from roughly ranging s ancestor human some fossils of these years­ 800,000 as but according to genetic evidence they may have existed as long ago fos­ 2003 A sapiens. earlier than the fossil record. We call ourselves today members of Homo of place and time the of studies sil find of modern man in Ethiopia fits with recent genetic Africa"­ of "Out theoryent replacem the emergence of humankind. These support the ike species around that a late migration of humans eventually supplanted all other humanl thals. the world at the time, such as Neander more highly devel­ Homo sapiens (reasoning man) was a species composed of people the same time that about Europe and Africa in appeared first They oped than Homo erectus. displaying larger brains Homo erectus was disappearing. Once again, we see the new people erectus that they than the people they were replacing, and they differed so much from Homo beings belong human modern were assigned to a new species. It is the species to which all erectus. They Homo with ristics today. However, early Homo sapiens shared many characte Neanderthals. Remains from periods longer than 100,000 years ago are few. We do know, however, that the evolutionary network produced the Neanderthals, who bore a dose resemblance to modern human beings, about 100,000 years ago. Despite this close resemblance, the recent fossil evidence and genetic studies strongly suggest that the Neanderthals were not our ancestors. Instead, they probably shared a common ancestor with modern man. If modern features already existed in Africa 160,000 years ago, we could not have descended from a species like the Neanderthals. Neanderthals get their name from the Neander Valley in Germany, where in 1856 the first evidence of their existence was found. They lived in Europe and spread to Asia, al­ though a few researchers believe they developed independently in Asia. Physically, they dif­ fer from all other people, modern or extinct, in the shape of their heads and, strangely, in the length of their thumbs, which were about as long as their other fingers. It used to be thought that Neanderthals were dim-witted, slouching cavemen com­ pletely covered with hair. But this reputation is based on just one fossil, which modern scholarship has proved happens to be that of an old, diseased, and injured man. He was ap­ proximately forty or forty-five years old when he died-very old for people at that time. Healthy Neanderthals probably walked erect. Objects found at Neanderthal sites show that Neanderthals could make complex tools, and characteristics of their skulls, and what can be deduced from skulls about their brains, mean that they probably could speak, although per­ haps not with the full range of sounds that modern humans make. Sites also show that they did not necessarily live in caves, but if they did they altered the caves to make them more livable. Sometimes they built shelters rather than settled in caves. In 1996, scientists digging at a Neanderthal site in Slovenia announced they had found what appeared to be a musical instrument, a fl ute made from a bear bone. As we will discuss in later chapters, the development of language capability was a major evolutionary step. (See the box on the uniqueness of the human species.) It allowed the species much greater interaction and hence social development than could occur in non­ speaking species. In doing so, it made the passing on of learned knowledge about the envi­ ronment much more efficient. It also allowed the species to develop concepts of time, space, and quantity, thereby creating the potential for symbolic interaction. The Neanderthals were powerfully built but somewhat shorter-about five feet four inches-than present-day males. They had sloping foreheads, heavy ridges over the eyes, large wide noses, and protruding jaws, and the Neanderthal brain was larger than that of the average modern person. A tribute to their humanity is the fact that among the buried remains are people who were handicapped or aged, which means that Neanderthals cared enough and were organized enough to provide for these economically unproductive mem­ bers of their communities. To date, few Neanderthal sites have been found from the period 35,000-60,000 years ago. Because this is also the period in which they seem to have disappeared, there is little or no evidence of why they disappeared. Theories of what happened include the following: ( 1 ) they interbred with another group, Cro-Magnons (discussed below), and eventually Neanderthal characteristics were completely absorbed into Cro-Magnons; (2) they battled with Cro-Magnons in a struggle and were annihilated; and (3) they wandered away into re­ gions that were too environmentally inhospitable for survival. Recent genetic testing seems to confirm, at least in Europe, that Neanderthals were replaced by rather than absorbed into the Cro-Magnon gene pool. There is another group of people whose origins are uncertain but who may have been the immediate precursors of Homo sapiens. Cro-Magnons were anatomically modern, tall, well-built people with skull capacity comparable to that of present-day humans. They are called Cro-Magnons from the name of the French village near which the Cro- Magnons. 44 � 2 Human Origins 9s the Human Species Unique? There is an ongoing debate among social scientists Key Points tures, but power is not necessar ily differentiation, and animals use a variety of tools and social structures. For example, the cattle-tending ant gets honeydew by cul­ gument that human beings are unique emphasizes tivating aphids and other insects who secrete it, and it that ( 1 ) only humans can think and reason, ( 2 ) only even constructs she lters, such as underground gal­ humans can com mun icate with others by means of leries, in which to herd its aphids. language, and (3) only humans can use tools. Each of To counter these arguments, supporters of human these points is debatable . Social scientists who argue uniqueness assert that the power of the human mind that human beings are not unique point out that ani­ to solve complex problems goes far beyond that of ani­ mals have solved enormously complex problems, some mals and that although animals can learn words, they better than humans have. cannot learn syntax, an important aspect of language . Certain social scientists argue that language is As the linguist Noam Chomsky put it, to say that ani­ not limited to humans and have shown that chim­ mals can com municate with each other by language is panzees can com municate by sign language and by like say ing that because people can rise into the a ir by touching geometric symbols. One ch i mp has learned jumping they can fly l ike birds, only not as we l l. over 1 50 different signs, and a psycho logist has taught a gorilla, Koko, more than 500 words. morally wrong to use animals in experiments? Should we eat meat? If you bel ieve that human beings are death. After a t i me, she "asked" to be given another unique, it is relatively easy to argue that animals can cat to care for and love. Moreover, the gorilla spec ifi­ and should be used by human beings. If human beings cally asked that it be replaced with a Manx cat (a are not unique, then it is much harder (but not impossi­ highly unusual breed remarkable for having no tail). ble) to argue in favor of using animals in ways that we humans have a greater ability to devise and use tools, Modern people are distinguished from their ancestors by more than physical characteris­ tics. By about 35,000 years ago, they were exhibiting cultura l sophistication, for example in the cave paintings that can still be seen, especia lly in southe rn France and northern Spain. The closer we come to our own times, the more eviden ce we find of such strategies as cop­ ing with cold climates by the construction and use of clothin g and the building of shelters. There is also evidence of increasingly complex social organi zation and even some limited trade with groups as much as ninety miles apart. There is, as is true of much anthropological theory, debate about these findings. For in­ stance, one method of dating was a controversial techniq ue that relates the age of the hu­ man remains to the detection of when the artifacts discove red with the human remains were last heated. There are innumerable unanswered questio ns about the development of human beings. For example, what in the theory of natura l selection explains the various emergences of human behavior? And did most sophisticated behavior appear at roughl y the same time, or were there successive advances? Because work continues in this fascinating field, it is likely that the answers to at least some of these questions, and to some of the other questions you can think of, will one day be discovered, or at least deduced. The Cro-Magnons, like the Neanderthals, were hunter s and gatherers; they roamed from place to place in search of food and survivable weathe r. As we see in the next chapter, about 1 1 ,000 years ago that changed. The change was due to a technological development. At this point, we stop our consideration of the origins of human beings, leaving the devel­ opment in what anthropologists call the Stone Age, a period beginning more than 600,000 years ago and lasting to about 1 0,000 B.C. We make this break not because Stone Age humans were physically different from modern human beings, but because of the technological devel­ opments of the Stone Age, which significantly modified the way individuals interrelate. What difference does it make whether human beings Moreover, Koko can express emotion: When her pet characteristic not unique to human be ings. Yes , ondusion are unique? A lot. Consider the following questions: Is it cat was killed in a traffic accident, she mourned its The ability to use tools, disputants hold, is another first specimens were found in 1 868. Cro-Magnons and other early anatomically modern sapiens existed before Neanderthals disappeared. In western Europe, no Cro-Magnon skele­ tons have been found older than 30,000 years, but 40,000-year-old tools that archaeologists believe must have been made by modern people have been found at a number of western European locations. Cro-Magnons appear to have flourished only beginning about 35,000 years ago. Their remains have been found at various European sites and, in smaller num­ bers, in the Near East, China, Indonesia, Australia, and Africa. The remains indicate that they were not as strong as Neanderthals, probably because they didn't need to be. Less strength, for instance, means less food is necessary, so the same total amount of food could support a larger population. and that ability has given them power over other crea­ about whether the human species is unique. The ar­ would not use human beings. In the space between these two views on the morality of kil l ing living creatures, we find a number of places where we can draw a l ine . It may, for example, be okay to kill a cockroach , but not a dog, a cow, o r a pig. Precisely where t o draw that line is the problem, however, and some radical thinkers have even argued that not only is there nothing dist inctive about human beings, but that it is moral for society to el i m i­ nate individua ls whose l ife is no longer worth liv ing-for instance, peop le with brain damage or individ­ uals who have lived out their "use­ ful" l ives and are no longer able to care for themsel ves. Don't expect any of these debates to be settled any t i me soon; rather, we ask you to acknowledge here, and throughout this book , that recogniz­ Key Points • ing the arguments of many sides, considering them thoroughly and ob­ jectively, and coming to a conclusion • that does not stubbornly exclude every other theory are the essential qualities of a good socia l scientist . 45 • Darwin's theory of evolution centers on the sur­ vival of the fittest or natural selection; beneficial mutation makes evolution possible. Genes contain DNA, the building block of living organisms. DNA contains the codes that deter­ mine an organism's development. Sociobiologists argue that behavior that decreases chances of survival will eventually be eliminated from huma n behavior. • • • • Whether evolution is punctuated or continuous is still much in debate. The evolutionary split between human beings and apes occurred more than 25 million years ago. The search for human origins has led to many fossil finds but not to a definitive statement: "This is where human beings began." Cro-Magnons may have been the immediate pre­ cursors of Homo sapiens. 46 � 2 H u man O r i gi ns For F u rther Study Some Important Terms alleles ( 30) Cro-Magnons ( 4 3 ) DNA ( 32) dominant allele ( 30) evolution (29) genes ( 30) genetic engineering ( 32) genetics ( 30) l1•llv, Alison, Lucy's Legacy: Sex and Intelligence in Human 'volution, Cambridge, MA: Harvard University Press, 1 999. hominids ( 39) Neanderthals ( 43) primates (29) punctuated equilibrium ( 3 5) recessive allele ( 30) scientific creationism (37) sociobiology (34) species ( 38) Homo antecessor (28) Homo erectus (28) Homo habilis (28) Homo sapiens ( 28) intelligent design ( 38) mutation ( 30) natural selection ( 29) �� 8. Should scientific creationism be taught in schools? Why or why not? 9. How long ago do you think humanlike creatures appeared on earth? Why is it so hard to determine the date, and why do you think we keep trying? I 0. Who are some of the earliest precursors of human beings? What makes them like us? What makes them unlike us? 1 1 . What three abilities gave humans advantages over all other creatures? Are humans unique? Read the short essay at www.sfgate.com/cgi-bin/ article.cgi? f=/ c/ a/2002/0 5/2 7/MN2 267 54.DTL. What are some of the examples given as evidence for punctuated equilibrium? Is one mechanism of evolution singled out for these cases? 2. Pick one of the articles about a recent discovery in paleoanthropology listed on www.talkorigins.org/ faqs/homs/recent.html. What was found? Where was it found? 3. Go to www. youtube.com/watch?v=4LThjf-Qbi4 and watch the video. What are homologous struc­ tures? What are vestigial organs? 4. According to the information at http: discovermagazine.com/2006/apr/chimp-genome ( accessed June 25, 2009), even though humans and chimps share 98.7 percent of their genes, what makes them so different? 5. Go to www.expelledthemovie.com and watch the trailer to Ben Stein's documentary, "Expelled: No Intelligence Allowed" on Darwinism and what he considers the suppression of intelligent design. Is it an alternative to the theory of evolution, and how does the scientific community explain their dislike of this theory? Arusaga, juan Luis, The Neanderthal's Necklace: In Search of Dawkins, Richard, Climbing Mount Improbable, New York: 'lor Further Study -----the First Thinkers, translated by Andy Klatt, New York: Four Walls Eight Windows, 2004. Darwin, Charles, The Origi11 of Species, Irvin, Charlotte, and William Irving, eds., New York: Ungar, 1 9 59 ( first pub­ lished in 1859). Apes, People, and Their Genes, Berkeley: University of California Press, 2002. t ll,on, Steve, Mapping Human History: Discovering the Past through Our Genes, Boston: Houghton Mifflin, 2002. lppenheim er, Stephen, Out of Eden: The Peopling of the World, London, U K: Constable and Robinson, 2003. '' ngh, Simon, Big Bang: The Most Important Scientific Discovery 9 nternet Questions l. of the Human Race, New York: Free Press, 1 999. ;\ l.trks, jonathan, What It Means to Be 98% Chimpa nzee: 1 Questions for Review and Discussion l . Why do we say the human being is a social creature? 2. Why are humans, apes, and monkeys all placed in the biological order of primates? 3. Explain Darwin's theory of evolution. 4. How have modern geneticists modified Darwin's theory? 5. Can scientists create life? What possibilities can you see in genetic engineering? 6. How does sociobiology explain the development of human behavior? 7. What is the theory of punctuated equilibrium, and why is it important? \ l .tddox, John, What Remains to Be D iscovered: Mapping the Secrets of the Universe, the Origins of Life, and the Future Norton, 1 996. Dennett, Daniel C., Darwin's Da ngero us Idea: Evolution and the Meaning of Life, New York: Simon & Schuster, I 995. Hess, Elizabeth, Nim Chimpsky: The Chimp Who Would Be Human, New York: Bantam, 2008. ofAll Time and Why You Need to Know About It, New York: Fourth Estate ( Division of HarperCollins), 2005. 47 Slifkin, Nosson, The Science of the Torah, Brooklyn, NY: Yashar Books, 2005. Zimmer, Carl, At the Wa ter's Edge: Macroevolution and the Transformation of Life, New York: Free Press, I 998. WWW Action Bioscience www.actionbioscience.org WWW Creation/Evolution Newsgroup A rchive www. talkorigins.org WWW Genetic Engineering News www.genengnews.com WWW Human Genome Project http://genomics.energy.gov WWW Thailand National Center for Genetic Engineering and Biotechnology www.biotec.or.th WWW A Science Odyssey: Human Evolution, Interactive www. pbs.org!wgbh/aso/tryit/evolution/shockwave.html WWW Sociobiology http:/ /webspace.ship.edu/cgboer/ sociobiology.h t m l (accessed June 25, 2009) Early Civilizations Oriflins of Western Society After readin� this £hapter, you should be able to: Explain why the domestica tion of animals and control of land were central developme nts that created society as we know it today Trace the development of modern civilization from Mesopotamia • • �a Time is a river of passing events, and its current is strong. No sooner is a thing brought to sight and Egypt to today than it is swept by and another • Explain the Greek and Roman origins of modern civilization takes its place-and this too will • Distinguis h three periods of the Middle Ages be swept away. • Explain the importanc e of the Renaissance to modern civilization • Define the Age of Revolution s -Marcus Aurelius 49 (through domestication for carrying, riding, pulling, and the systematic practice of egg gathering and milking). These developments moved human beings from the Stone Age to what we call the Age of Agriculture, a period beginning about 1 1 ,000 years ago and char­ acterized at first by the storing of wild crops and then by the cultivation of land, domesti­ cation of animals, and creation of permanent communities. The Age of Agriculture changed the habits of most human beings from those of roving hunters to those of people living in a more or less fixed community. The importance of these developments for society can not be overemphasized. People could live in one place; they could accumulate more physical items and pass those on to their children. Moreover, once they could be assured of food, they could devote time to other aspects of life. During the Age of Agriculture, pottery was invented, making it easier to store surplus liquids; it was discovered how to make cloth from both flax ( linen) and wool. Moreover, because agriculture and domesticated animals required constant care, peo­ ple built permanent buildings, usually in clusters. Thus began villages. The agricultural revolution produced significant population growth in what is now the Middle East and Europe, although village living fostered disease because there was little or no understanding of the need for sanitation. Moreover, the same technological develop­ ments that made farming possible also made warfare more effective. Horses provided better transportation, and bows and arrows provided better attack mechanisms. Archaeological excavation has revealed various weapons from this period. Although many could be used in hunting, they are also suitable for attacking and for holding off attackers. Conflict and the lack of sanitation kept the level of population from exploding. arly Civilizations � b� dev Througho ut most of the remainder of this book, we look at and contrast the origins, pro � modern d opment, and operation of societies' cultures so that we can better understan and history of tour whirlwind a !ems. However, at this point, it seems advantageous to take led have that influences the of some see the developm ent of Western culture. On this tour, we chapa in cover can we what although and have, to the formation of the types of societies we when ter is severely limited, we can at least introduce you to some of the terminolo gy we use historsome gain to is though, tour, our of purpose chief The we describe historical periods. ical perspectiv e and use it to find continuity and similarities among periods and develop­ ments that, if we glance at them casually and individual ly, seem different from one another. half In the next section, we take you on that whirlwind tour, covering millennia in po­ social, the in embodied as pages. In doing so, we consider the origins of Western culture society. litical, and economic institution s that shape our modern 1 rom the Stone Age to the Agricultural Age We ended the last chapter with a cliffhanger, saying some technological development sig­ nificantly changed the nature of hu mankind and society. I f you guessed that this develop­ ment was the bow and arrow, you were right in guessing that Stone Age humans developed these, but wrong in thinking that was what caused the change. The bow and arrow im­ proved Stone Age humans' ability to hunt but did not change the basics of their daily lives. Another technological development did fundamentally change society. Central develop­ ments that created society as we know it today occurred when human beings learned that they could exercise control over the land (through cultivation by hoe) and animals 48 Slowly over this period people addressed two issues that are crucial to the preservation and extension of the human life span: They learned about the need for sanitation, and they began to try to solve the problem of constant fighting. These developments were most pro­ nounced in the Middle East. Approximately 4000 B.C., large numbers of people began moving into the lowlands of Mesopotamia ( modern-day Iraq) and Egypt. During this time, writing developed ( about 3000 B.C.) and with it began what we call recorded history. Because of that development we have a much better knowledge of this period than of pre­ recorded history. The Cradle of Modem Civilization: Mesopotamia and Egypt Although we do not know the reason for the development of cities in the Middle East, we can deduce that it was made possible by improved methods of cultivation, which created a surplus of food and improved sanitation conditions. Once in existence, cities took on the purposes of administration, commerce, and entertainment. It seems likely that in order to protect themselves from constant warfare, individuals submitted to a powerful leader, and for that protection they had to pay a certain percentage of their farm output. Thus began our basic political institution, which is the gathering of people into a spatially and ethni­ cally defined unit organized and run by a small group. This group's efforts provide the sta­ bility within which individuals in the unit can work, play, buy, sell, and plan because they have been willing to recognize and pay administrators who will enforce accommodation among the members of the unit and defend the peace against outsiders. Agricultural surpluses also created questions about the division of the surplus and the opportunity for other groups to take it away. Because of constant disputes among various lo­ calities, it probably became obvious to people that some method of stopping the fighting 50 � 3 Origins of Western Society Early CiviIizations milestones of Civilization 144.14..7. Stone Age Humans appear in China 2,500,000-10,000 B.C.* 25,000 B.C. Age of Agriculture 11,000 B.C. Copper Age 6500 B.C. Egyptian civilization 5000 B.C. Near Eastern (Mesopotamian) civilization 4000 B.C. Bronze Age 3800 B.C. � 3000 B.C. Chinese civilization 1800 B.C. Iron Age 1000 B.C. Greek civilization (at its height) 700 B.C.-500 B.C. Roman civilization 753 B.C.-A.D. 476 Japanese civilization A.D. 57 Middle Ages A.D. 476-A.D. 1453 Crusades A.D. 1095-A.D. 1291 Renaissa.nce A.D. 1400-A.D. 1600 :-; _ 7IC 'f � ''l .._ A.D. 1517-A.D. 1690 Voyages of discovery A.D. 1450-A.D. 1600 Age of Revolutions A.D. 1750-A.D. 1850 Victorian era A.D. 1837-A.D. 1901 Edwardian era A.D. 1901-A.D. 1914 World War I A.D. 1914-A.D. 1918 World War II Postwar nuclear era A.D. 1939-A.D. 1945 't A'_t tl .L .;.t. T g = = C?.�. {n G:"r JPL " "-"- :;:;;: "-Cil 'Many of these dates are estimates or are subject to debate, or both. ;::; � b• � � -'l 'cl 2 f1i .. . _p '6 :- � "' q nm � fIll� A. "" l � "1: """ k+ H <i L ,;._ e- 't� ;:7 � �- .. . ... � l I lq fi -- ' � 4: "'� 'A_ :':9 hJ = Lq = = l• � "G �' 'Ill - A. •m ill � � �IP .t lon :4 + = ' " In .,l 'ill Il .;: l � •• ot: � fO .t ·"' 1.1:p ;-; 'it IL� !:': �<t "- '-''1 , . , _.li ' ;; � = ;::; _...,. ,:;:o 'lL ot. :<:;; _,_ 'P · � -fL ¥ = , ... � � � � ';;' · • �;J .!!:.. ;g, ..,. 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"='<Pi"'� ,,, l_l · � ,';", Jl .J., ..u . - - . - - - � - f :=: It 11i: i .t It n ('j;::qo.').tlt-=="-� ��tei.''Au.-;;;� --.: fij �tiP � _E: � �� ';-',iQ,.(P!['(HQ:= �H�',tlt� !l "R. <V "'f <L "r � .:;:;_; �� "U• i(:::,{�;lP&:�l'il= -- � � � i i t!. -:t> llJ k,!.lt•t � - l •17 - '-- Lt Indian civilization and are still occurring, but the end of World War .,.;> � .... !J1 .-f 51 �;rzl•.9 ) � ,$ -6 4i i-; � ;;;; A- "" ;'i J ... ..1 ., "'PU Early writing: hieroglyphics. II began an era conventionally called "postwar." would make everyone better off, either because one group had won over all others or because they could come to an agreement. To further these ends, small localities coalesced into more or less unified kingdoms. As the size of a kingdom increased, the leader of the kingdom likely became more and more removed from the ordinary inhabitants. As this happened, the leader became closely identified with divinity, either as a god or as a delegate of a god, and a feature of these early M iddle Eastern countries was the king-god. The king-gods, in turn, appointed priests, and thus began pagan religious institutions. As the kings gained power, they also gained control of the ownership of land, which was in the process of being transferred from individuals who farmed the land to the nobility who protected the land. We see in this process the organization of society into a military aristoc­ racy, a priesthood, and, finally, a laboring class of landless peasants. Wars created the lowest class; the captured losers in a war became slaves. By about 3000 ll.C., this organization had be­ come stable and within it people, freed from the basic struggle merely to live another day, could begin to trust, create, and provide for the future. If we name the result civilization, we may say that by about 3800 B.C., a group called the Sumerians had civilized the Mesopotamian area, which is in modern-day Iraq. To have an organization requires codifying its rules. To do that, one must recognize that what has been going on has in fact been going on and that a certain order exists in those ac­ tivities. For example, when a child was murdered, the parents probably became angry and at­ tempted some type of revenge, which brought on revenge for revenge in a cycle of individual retribution. If rules that incorporated the revenge could somehow be established, impulsive /he stele ofHammurabi. /he ancient legislator is lwwn on the left. He is ,/rscussing his laws (carved /I('/ow) with the Sun God. killing could be avoided. To do that, someone had to record those rules so that they could be known and followed, by both the leaders and the subjects. The Code of Hammurabi is an early collection of rules, or laws, set up by King Hammurabi of Mesopotamia about 4,000 years ago. The code set up an "eye for an eye" system of retribution, combined with humanitarian rules such as prohibitions against defrauding the helpless. The Mesopotamian political organ ization did not last; another group of i n ­ dividuals, less civilized and more warlike, soon overran the Sumerians. This group was the Semites. Even though the Semites won their war, they did not win the cultural competition, and their culture was soon absorbed into the Sumerian culture. As the Semites were absorbed into the Mesopotamian culture, another culture, similar to the Mesopotamian , was flourishing in Egypt. Like Mesopotamian society, Egyptian society was ruled by a king-god. Because of the geography of the area, Egypt was free of hostile invasions (the sea and the desert made it difficult for at­ tackers to menace Egypt). Combined with the warm, predictable climate and the fertile farmland of the Nile, this led to an extremely productive society that gener­ ated significant agricultural surpluses. The pyramids, great funerary temples, and rock-cut tombs in which the kings and queens of Egypt were laid to an uneasy rest are evidence both of the power of the king-gods and of the enormous surpluses gen­ erated by that culture. 1 1 Almost every known burial site has been shorn of its contents, whether by ancient marauders or modern archaeologists. 52 clw.ptvv 3 Early Civilizations Origins of Western Society Development of the Greek Civilization Throughout southern Europe, parallel developments like those in Mesopotamia were taking place, although they did not reach into most of those regions until much later. In Crete, part of ancient Greece, pictographic writing was known as early as 3000 B.C., but what we have defined as the civilizing process did not flourish until later-its heyday there was from about 2000 B.C. to about 1 200 B.C., when physical Cretan civilization was suddenly destroyed, probably by an earthquake, tidal wave, volcanic eruption, some combination of these disasters, or even an invasion by the Doric tribes of the north. What exactly happened cannot be det¢rmined, sim­ ply because of the sheer finality of whatever it was that destroyed human constru From about 700 B.C. to 500 B.C., a new Greek civilization emerged, and many oN.De roots of Western civilization and institutions are to be found here. For example, Western pdl itical organizations have their foundations in the Greek polis, or political community. The Greek polis was originally an agricultural village. These villages or cities were also independent po­ litical units. The two most famous are Sparta and Athens ( today Sparta is a town of about 1 6,000 inhabitants, whereas Athens bustles with close to 5 million people and is the capital of modern Greece). The citizens of such a unit were seen as relatives of each other, theoretically descended from a common ancestor. The Greek philosopher Aristotle argued that the polis was a natural outgrowth of the human being's nature. He felt that without law and justice the human being was the worst of animals; with law and justice, the best. The concept of the polis and its increasingly skillful and sophisticated implementation resulted in the growth of such cities and in the growth of their contacts with each other and with other civilizations. With the development of trade, indust ry, and colonization, a new class of people, the merchants, became wealthy and important. This change caused trouble for the polis: division within the ruling aristocracy and the establishment of tyranny, or rule by a tyrant, a monarch or leader who had gained power in an unregulated but not necessar­ ily wicked way and who governed through one-man rule. This is one example among many in the history of economic changes and shifts in the distribution of wealth leading to changes in both politics and the social relations among people. Although the concept of "tyrant" was antithetical to the polis, and the custom of rule by tyrant lasted only about a hundred years, tyrants played a role in reducing civil wars among the polis and i n encour­ aging economic and social change necessary for the development of technology, the arts, and literature; reducing the grip of the aristocracy; and, paradoxically, giving more people the potential for roles in government. he Eastern Connection Monotheism (only one god, not multiple gods)-lran, In this chapter and throughout this book, we have con­ centrated on Western culture, institutions, and history. sixth century B.C. Sanskrit grammar, with 3,873 rules-India, 500 B.c. We have done so because we have to stop somewhere; Kite-China, 400 B.C. to include the East we would have to make the book Great Wall of China-begun in 209 B.c. twice as long. However, it would be inappropriate not Cable suspension bridg e-China, 100 B.c. to mention some of the multitudinous ideas in Western culture that first developed in the East. Sophisticated eye surgery, including cataract removal-India, before In terms of beginnings of civilizations, the East developed slightly later than the West, but once devel­ 33 A.D. Trade-by the second century A.D., China was trading with Rome oped, it quickly surpassed the West in political and economic organization, in technology, and in sophisti­ cated philosophy. Wheelbarrow-China, A.D. 231 A centralized nation-state-as early as the sixth L anguag e-India, five or six thousand years ago. The language is Indo-European, and today half the century A.D., Japan had a system of centralized government (borrowed from C hina) world's population speaks languages derived from it. These include Hindi, Lithuanian, Russian, Greek, Gaelic, Latin, German, all the Scandinavian languages, English, Italian, French, Spanish, Paper money-China, A.D. 811 (it was called flying cash because it could be transported so much more easily than silver or copper coins) Arabic numerals (0, 1, 2, 3, 4, etc.)-lndia, ninth Portuguese, Romanian. History-India dates the beginning of the modern era at 3102 B.C. Bronze casting-China, 1600 B.c. century A.D. Movable type (made of clay)-China, A.D. Movable type (made of metai)-Korea, 1045 A.D. 1302 made up the Persian Empire and, although conquered militarily, Greek culture won out over the Persian culture. Even the Persian Empire did not last long. After Alexander's sudden death in 323 B.C., the empire quickly collapsed. lt is the Greek, not the Persian, cultural legacy that most strongly influenced modern society. Many Greek ideas and institutions were revived almost 1 ,800 years later in what became known as the Renaissance. (Renaissance can be translated "rebirth," and Greek ideas were some of the concepts that were reborn.) Because of their predominance in the The Persian Empire I n the fifth century B.C., the Persian Empire arose in lower Mesopotamia, and in the fourth century B.C. the Macedonians conquered the various city-states that made up the world of Greece. The Macedonians had no polis and were ruled loosely by a king. A council of aris­ tocracy served as a check on the king's power, and by 338 B.C. one o f these kings, King Philip I I , had conquered Athens and other Greek city-states, a plan that he conceived and carried out over a period of thirty years. Philip was assassinated in 336 B.C., and his rule was assumed by his son, Alexander the Great, who was not yet twenty years old. By the time Alexander died, overcome by a sudden and unidentified disease when he was only thirty-three years old, he had solidified his father's conquest of Greece and then gone on to conquer Egypt, almost all of what we now call the M iddle East, and the greater part of I ndia. To Alexander is attributed the demand, " Bring me more worlds to conquer." Greek Civilization in the Persian Empire. Notice that in contrast to the previous sections, we titled the last section "The Persian Empire," not "The Development of the Persian Civilization." The reason is that the Persian legacy was not cultural; its legacy was primarily the creation of an empire. Alexander's empire did not end the cultures and civilizations that 53 LIBYA SAHARA DESERT SUDAN The Persian Empire (shown in the shaded area) at its height. Arabian Sea 54 �J Origins of Western Society the Greeks Tried Laughing All the Way to the Pea£e Talks In 413 B.c., Athens suffered a terrifying defeat: Its navy was destroyed. The opposing army, the Spartans, was nearby and well equipped. Allies not only deserted Athens but also joined the enemy. Aristophanes, a famous comic writer, chose to face this despair by writing a play. Lysistrata is about a unique way to enforce peace. The plot is simple: The heroine, Lysistrata, organizes the women of both sides to refuse sex with their hus­ bands and lovers until the men agree to end the war. Initially, most of the women are unwilling to give up sex. Lysistrata convinces them by rational arguments that her plan will work. She persuades the older women to join, giving them a vital task-guarding the public treasury so that no money can be disbursed for the war. She holds them together when they waver after suffering without men for a long period (well, five days-but it's clear Aristophanes thought that was a long time). She knows, and she makes them realize, that if they stick together, and if they can endure Early Civilizations 55 longer than the men can endure, they will win. When the men debate with her, she wins every point. The men give in first. And their reward is even more than they hoped, because the women remind them that both sides worship the same gods, both sides have in the past done noble deeds in aid of the other, and in this quarrel surely they can compromise. After a little bickering, the opposing armies do come to an agreement, after which both sides join in a satisfying feast of all domestic joys (including, but not limited to, eating and drinking). As you can see, the play is far more complex than it may have seemed at first. It is about sex, money, reason, greed, graft, war, politics, organization, cun­ ning, religion, prejudice, psychology, folly, resolve, accommodation, denial, and triumph. It is even about Ruins of the Roman Forum. love. In short, it is about the issues of social science. P.s. Lysistrata is a play. In real life, the Spartans did not attack Athens immediately, and while they hesitated, the Athenians were able to build a whole new navy, defend their city, and win an honorable peace. What part the women of Athens played in the real peace must be left to your imagination. Renaissance, the ideas of Greek society played a central role in the subsequent history of Western civilization. Roman Civilization As we mentioned earlier, individuals were organizing into social groups throughout southern and middle Europe in a period beginning about 4000 B.C. If we had thousands of pages to ex­ plain and you had hundreds of years to study, we could recount the history and interaction of these groups. We are forced to be selective, however, and the next civilization that we have time and room for is the Roman civilization, which developed in what is now Italy. It developed later than many of the others, and as late as 1 000 B.C. it remained a collection of unorganized tribes. About 1 000 B.C., Italy was invaded by its warlike neighbors who imposed their language and social organization on almost all of Italy. In the eighth century B.C., small villages were amalgamated into the city-state of Rome, and by the sixth century B.C., it had overthrown its foreign conquerors and become the center of Italy and Italian culture. Rome's dominance constituted what we call the Roman Empire, and it was to last almost a thousand years. The Roman state was one in which the king, or caesar, was elected, although the of­ fice appears to have tended to remain in the same fam ily. The ruler had extraordinary powers and could make arrests and even order capital punishment, but what was called the senate had veto power, and it was ultimately from the senate that the ruler derived his authority. I ndividuals in Rome fell into two categories: patricians and plebeians. The patricians had all the power and privilege; the plebeians could hold no public or religious office. However, the need for the plebeians to fight in the constant wars that Rome undertook gave them power, and by 450 B.C. they were strong enough to enforce their demand for a major codification of Roman law. As the patrician-plebeian distinction broke down, another class distinction-based on wealth, contacts, and birth-developed, and most of the Roman leaders came only from the few families in this new aristocracy. · Roman civilization endured until the fifth century A.D., but it did not remain static. The Roman republic was transformed into the Roman Empire, and pagan religion gave way to Christianity; by the fourth century A.D., Christianity was the state religion. The Romans exercised their power for centuries, and their influence pervades Western civil ization today. They overran Greek civilization and incorporated it into their own, so that when Roman influence is transmitted to us, Greek influence is transmitted to us. Here are some of the things that make us live as Romans today: • The dominance of the family • The custom of women to rule in household matters and to have certain legal property rights • Political patronage • The " network" system of contacts for social and professional advancement • Ingenuity in solving technical problems • Reliance on and practice of all manner of engineering and inventive art • The concept of empire • Existence of a military-industrial complex • Second homes and resorts • Large agricultural holdings • The lure of city life • A flexible legal system that is constantly changing to suit circumsta nces, relying on a body of precedent s to interpret and modify statutes • The names of all of our months and the organization of our calendar From the four phenomena that are the most striking in Roman history-military un­ dertakings, engineering, law, and political administration-we pick out the last as basic to all the rest. Roman political administration was efficient, reasonable, flexible, realistic, and humane. Because the government was so well organized, Rome was able to devote its ample excess energies to building, manufacture, agriculture, literature, trade, moral philosophy, and world conquest. Rome also had the leisure and Latin language to develop, refine, and express its thoughts, principles, discoveries, speculations, and decrees. Today, Latin forms the basis of hundreds of thousands of words in the English language, although semantically English is a Germanic language. However, Rome's success also had its negative side: Along 56 �3 The Middle Ages (A.D. 476-1453) Origins of Western Society with the benefits came complacenc y, ambitior(, greed, arrogance, and tyranny. Because these traits are more dramatic than the steady march of its well-ordered society, today we often think of ancient Rome in terms of the religious conflict, savage combat, extravagant public carn ivals, graft, brutal suppression of opposition, and dissolution that eventually weakened control over enormous territorl and caused popular uprisings, financial col­ lapse, and military defeat-in short, the fall of the Roman Empire, the enormous territory encompassi ng Great Britain, most of Europe, northern Africa, and the Middle East admin­ istered by the Romans. Rome was attacked by other groups from both the north and the south, and by about 500 A.l). the population of the empire had declined from an estimated 1 .5 million to about 300,000, and Rome, as a civilization, ended. Why did it end? It is hard to say, and maybe that is not even the right question. Edward Gibbon argues in The Decline and Fall of the Roman Empire that perhaps the question should not be, Why did Rome fall? but, Why did it last so long? The Middle Ages (A.D. 476-145;) With the fall of Rome came the advent of a period we now call the Middle Ages, from about A.D. 476 to A.D. 1453, between Roman civilization and modern civilization . The M iddle Ages began in 476 with the defeat of the Roman Empire by wandering 3 tribes that roamed over much of what is now northern and central Europe. Even though the northern tribes had conquered Rome, Roman culture at least partially conquered the northern tribal culture. The tribes began to adopt some of the technologic al, social, reli­ gious, and political structures that the Roman Empire had developed. As Roman culture spread north, Muslim culture spread across North Africa and into all of Spai n and Portugal. Muslim armies, formed of warriors known as Moors, attacked Europe, spread into Spain, and then moved into France. ln 732, they lost a major battle against the Frank tribe, but their i nfluence remained strong in Spai n and Portugal. Because Muslims controlled the Mediterran ean Sea and Europe's contacts with the Orient were curtailed, Europe was forced into a kind of isolation. The coastal cities became less prosperous , and workers were displaced from seagoing occupation s to agriculture . Wandering decreased, agricultura l activity increased, and life became centered on a manor, or feudal estate-an area ruled by a lord. The land on the feudal estate was worked by serfs, peasants who were bound to a particular manor ( feudal estate) and subject to their feudal lord's will. Christianity, which had been flourishing in the Roman Empire, retained and strengthen ed its influence partly because it had modeled its admin istrative structure on the efficient civil Roman organizatio n. The church consolidate d its political and military power by asserting its independe nce from civilian rulers and by fending off attempts by the Muslims to encroach further on Europe. It also had the time and energy to fight bitter quarrels within its own ranks on matters of religious doctrine. Meanwhile the holders of large manors quarreled, recon­ ciled, and rearranged their allegiances among themselves and the various kings and civil admin istrators. The local lords, the kings, and the church constantly jockeyed for power, wealth, and land as they all struggled to control these available resources and seize them from one another. A.D. but at its largest, about 2The empire was constantly conquering, annexing, and losing pieces of territory, Britain, and most of Great Spain, Africa, North East, Middle the today call we what 200, it included present-day Europe. Roman Empire in 395 A.D., 3The Eastern Empire, which had been officially divided from the western le. Today, Constantinople is the s urvived until 1453, when the Turks conquered its capital, Constantinop Turkish city of Istanbul. (!) riflins of Pakistani Society of the world's modern languages). The Mauryas's reli­ gion was Buddhism, different from the Hinduism of Although there isn't space here to discuss the origins of Eastern society, it is so important that you have me sense of Eastern culture that we offer brief 1ns1ghts into other countries' social, cultural, political, nd economic institutions throughout the book. Here, Pak1stan will be our example. the conquered people. Then in the eighth century A.D., the Arabs invaded north India and fostered the religion of Islam there. The Indian Empire was united by a Turkish dynasty, the Mughals, the greatest of whom was Akbar (1542-1605). He gave administrative unity As a nation-state, Pakistan has been around for bout sixty years, but it has origins that predate the b 1 rth of Islam (622 A.D.), the religion today of the ma­ JOnty of its inhabitants. By 5000 B.c., a civilization to the country; advanced the notion of secular as opposed to religious rule; promoted the concept of Indian indivisibility; encouraged tolerance among all races and religions; raised splendid monuments and was already flourishing in the Indus Valley, then still a cities; married Hindu princesses to solidify alliances; part of India. Excavations of its two greatest cities, and patronized poets, painters, and scholars. Akbar Mohenjo Daro and Harappa, show that it had an exten­ was a Muslim and under his rule much of India con­ IVe system of civic administration as well as sewage, drainage, and irrigation systems. verted to Islam. In 1757, India was conquered by the British, who this civilization was supplanted originally came as traders but who exploited internal by a group of Indo-European tribes from central Asia dissensions to take over the country. In 1947 British About 1500 B.c., 57 who established their own rule over India and insti­ rule ended. At that time, Pakistan was created, but tuted a caste system to maintain a permanent hold the new country was physically divided by a portion of over the conquered people, from whom, however, they north India that lay between Pakistan's eastern and ass1milated many things. In the fourth century western sections. This situation proved unworkable, B.c., when Alexander the Great advanced up the Indus and in 1971 the eastern section broke away to be­ R1ver, a group called Mauryas was already laying the come the independent state of Bangladesh. foundations of the first Indian Empire, which saw the Today, Pakistan is an independent, unitary country growth of economics, learning, and Sanskrit (Sanskrit located on the northwest border of India. Its other IS one of the earliest languages, the mother of dozens bordering neighbors are Afghanistan, Iran, and China. Manor life i n the early Middle Ages was relatively straightforward: You were born; you lived a life similar to that of your parents in the same place that they l ived, and you died, leaving your children to continue the process. The manor estate was owned by the feudal lord, although ownership was not defined in the way we define it today. Land was not thought of as something that could be bought and sold, but rather as something that be­ longed to the lord because it belonged to the lord. The peasants, or serfs, did the work on the farm and in return received protection from the lord and enough food to live. The lord provided some security from attack. What is simple has a tendency to become complex. As the lords became accustomed to managing the land, they began to feel like real owners and to act like owners. Toward the end of the tenth century, the concept of land ownership gained acceptance. This was logi­ cally followed by preoccupation with acquiring more and more land while concern for pre­ serving the old feudal way of life faded. At the end of the tenth century, a series of strong rulers in what are now the countries of France and Germany succeeded in imposing centralized government on parts of Europe. Administrative systems developed in which the interests of the various classes-the lords, the church, the peasants, and the townspeople-were represented. The decline of the feudal manor meant that many of the workers who had been attached to those manors went back into the towns looking for other kinds of jobs. Because of technological improvements hav­ ing to do with methods of plowing and rotating crops, it took fewer agricultural workers to provide more food. As the towns grew, their economies grew, too. People bought and sold within the town, towns traded with each other, regions had an interest in keeping the peace 58 �3 Origins of Western Society in order to protect trade, and Europe became strong enough even to venture into the Mediterranean Sea. Two motives interacted to begin the end of Europe's isolation: rel igion and commerce. In the Middle Ages, religion played a central role in all individuals' lives. In fact, the Catholic Church was the primary institution for people outside of the manor. It controlled educa­ tion and knowledge, and it told people how they should live their lives. Moreover, the church owned enormous amounts of land and had significant economic and political power. That power was demonstrated by the Crusades, a series of religious wars between the eleventh and thirteenth centuries that, the church said, were necessary to recover Jerusalem ( modern-day Israel) from the infidels. The contacts the Crusaders made with Arab culture introduced new products to Europe, taught the Europeans what Arabs had learned about science and mathematics, and revived interest in Greek culture. The Crusades stimulated trade and made the merchants of Venice, Pisa, and Genoa rich. This new merchant class changed the internal structure of the society of the Middle Ages because most merchants had been formerly landless adventur­ ers. Its growth and the growth of the cities in which trade prospered changed the nature of the social system. Whereas life on the manor was structured and individuals' roles were well defined, in the cities there was ambiguity about roles, and individuals had the freedom to choose what they could be. Although by modern standards the cities were merely small towns, they of­ fered the opportunity for wealth and the amusements and intellectual variety that we asso­ ciate with cities. The freedom of the cities had attracted many serfs and peasants, especially those whom new agricultural technology had dispossessed from manor lands. When this occurred, the landed nobility lost power and in their weakened state were taken advantage of by the merchants, who sided with the kings. The loose associations that had previously existed were solidified into modern nation-states, separate countries with defined borders and populations with the same language and more or less the same i nterests, administered by rulers who sought to foster the particular nation-state's economic, political, social, and cultural growth. As Europe grew richer, the nation-states and the church had more to fight about. All were rich and wished to be richer, were powerful and wished to be more powerful. The worst fight was between the English and the French and was called the Hundred Years' War. It raged from 1 337 until 1 453, more than a hundred years, but there were periods of peace, or at least periods of exhaustion when both sides rested. What was it about? It was about whether the French should rule in England or the English should rule in France. It was about prestige, about who was smarter and stronger, about boundaries and national iden­ tity. It was about what all wars are about. Worse even than the Hundred Years' War was the Black Death, or bubonic plague, a disease transmitted by rats. I n the 1 290s, bubonic plague arr ived i n Sicily, carried there by sick rats from ships in the Middle East trade. The plague was carried from country to coun­ try by commercial routes, attacking all of Europe as far as Norway, where it died out about 1350. It had probably just run out of victims. There are all kinds of estimates of how many people died, but a generally accepted figure is 40 percent of Europe. Population levels did not recover for 200 years. This population change had enormous social and economic consequences. For exam­ ple, so many people were killed by the plague that the surviving workers were able to com­ mand much higher wages. Cities grew wealthier. Even the Catholic Church profited because it received so many inheritances and religious fees. Landholders, on the other hand, suffered because their workers died off, the demand for food dropped (fewer people to eat it), and they had to pay higher prices for the things they bought. Struggles within the church went on all during this period. One of the questions was, Shall it be the pope or shall it be the individual churches who set policy? The papacy was weakened by these quarrels, and monarchs moved into the power vacuum. Religious life The Renaissance s a Modem Plague Possible? It was trade that made the West rich, but it was also trade that brought the bubonic plague to Europe. Can uch a calamity happen again? The answer is yes. One Indication that it can happen again was seen in 2003 59 when SARS, which killed approximately 10 percent of its victims, spread from China around the world. SARS had no cure, and it spread like the common cold. With the increased interconnections among coun­ tries that occur with globalization, it is becoming increasingly difficult to keep an illness geographically con­ strained. In 2003, it looked as if SARS was being contained, but new concerns were raised about a possible bird flu pan­ demic spreading throughout the world. In 2009, the rapid spread of the H 1 N1 virus­ commonly known as swine flu-from Mexico to more than seventy countries led the World Health Organization (WHO) to declare a global pandemic, demonstrating how easily a deadly disease can circle the world. So, in answer to the question: Is a modern day An engraving depicting victims of the plague. worldwide plague possible?the answer is yes. became subject to civil control. Althoug h the papacy still had a strongho ld in Rome, its power base shrank and it lost much of its unquest ioned authorit y over the rest of Europe. Religiou s debates had fostered new ways of looking at the world, and intellect ual Europe was ready for new ideas. New ideas were about to arrive. In 1 453, Constan tinople, which was under Ch ristian control, fell to the Turks, who were Muslim s. Among the refugees who escaped to Europe were Greek scholars , who brought with them learning and tradition s that fueled the Renaissa nce. he Renaissance The Middle Ages ended sometim e in the fifteenth century, when scholars of the time de­ cided that they were embark ing on a "new beginning." They called the new beginnin g the Renaissa nce. Renaissa nce means "rebirth ," and it occurred after the Middle Ages when the knowled ge of the ancient Greeks and Romans was reestabli shed and reason, critical think­ ing, and the arts flourishe d. Architec ture, sculpture, painting , and even enginee ring and critical investigation were created by artists such as Leonard o da V i nci, Raphael , Michela ngelo, and Donatel lo. The Renaissa nce encouraged critical thinking , and people no longer necessar ily accepted the dictates of the church elders on all topics under the sun. In 1 517, such critical thinking put i n motion a set of events that came to be known as the Protesta nt Reforma tion, when a German Augustin ian friar by the name of Martin Luther posted ninety-five theses against indulgen ces on the door of the castle church of Wittenb erg. Indulgences are reductio ns in, or even eliminat ion of, the time a sinner would 60 �J Origins of Western Society marco Polo's Travels The Development of Modern Economic and Political I nstitutions 61 earliest travelers from West to East. He reached Beijing on a trading mission in 1 275 and remained One of the ways in which the West learned about the in China for seventeen years. As late as the nine­ culture of the East was through the tales of explor­ teenth century, the book he wrote about his travels ers . One of the most famous was Marco Polo, who continued to be almost the only source of informa­ traveled throughout the East. The map traces Marco t i on the West had about the remote areas of central Polo's travels. His description of where he went isn't Asia. Some of the things the West learned about always easy to identify on modern maps, but he from Marco Polo were tattooing, coal, condensed followed this plan more or less. He was one of the milk, paper money, and fuel oil. Artist 's impression offifteen th-century Florence. '>-...r=-::!- HAINAN THAILAND VI ETNAM CAMBODIA MALAYSIA Throughout this period, the middle class, consisting of merchants and wealthier peas­ ants, contin ued to grow, but the focus on traditional life remained. Change was considered bad, and tradition remained the important focal point, governing the direction of society. he Deve lopm ent of Modern Economic and Political Institutio ns otherwise have to spend being punished in the next world. They are granted by the Catholic Church to sinners in return for actions such as saying certain prayers or visiting certain holy shrines. In Luther's day, the practice had been corrupted because the church sold indul­ gences for profit. Luther was outraged by this practice. He believed that human beings must be saved not by indulgences but by faith alone. Luther's posting of the theses was a direct challenge to the pope's absolute authority. With this challenge, Luther and other Protestant theologians began a forced retrenchment of church power and created a complex of hostil­ ities between groups that can still be seen today, for example, in the antagonisms between Protestants and Catholics in Northern I reland. The importance of free thinking and rationality to the events that shaped our world can be seen in the popular saying to the effect that the philosopher Erasmus ( 1 466- 1 536 ) , who was one o f the strongest advocates o f rationality, "laid the egg that Luther hatched." Throughout the Renaissance, the influence of religion remained strong. The Protestant Reformation challenged only those aspects of the Renaissance that paid obeisance to tradi­ tional rel igion. The Reformation replaced it with a religion that gave a stronger role to the individual. Other Renaissance values, such as the importance of education, religion , and obedience to God, were maintained. As we discussed earlier, until the latter part of the M iddle Ages the individual feudal lords had strong powers, and although they were tied together into loose confederations with a king or monarch, often the individual lords had more power than the monarch. The expansion of trade, the development of cities, and the creation of a new merchant class led to a new set of alliances that made possible the development of the modern state. The Renaissance solidified that development. The states continued to develop throughout the 1 700s, and by the end of that century, most of the states of Europe that we are now familiar with had been formed as monarchies. Throughout the Middle Ages and the feudal system, markets existed, b u t they were n ot the chief ways by which individuals acquired the goods they needed for existence. Markets and trade did, however, provide luxuries and a variety of goods, and throughout the M iddle Ages a set of fai rs developed during which individuals bartered these goods. Merchants acquired more and more i ncome fro m the trade at these fairs and gradually became strong enough to join with the king i n reducing the rights of the lords. These changes occu rred simultaneously with the Renaissance. I n the M i ddle Ages, people looked at the economy quite differently than we do today. Economic activity was not seen as necessarily good in itself; trad ition, rather than the profit motive, guided people's ac­ tions. Everyone knew one's place and roles were well defined. There were a few free indi­ viduals, such as the merchants, and as a byproduct of their traveling fro m place to place, a variety of cities or marketplaces sprang up where i n dividuals from the manors could go to trade with the merchants. But all of these events would not have brought much change were it not for the Crusades, which sped up and significantly i n c reased the breakdown of the manorial system . From Serfdom to Mercantilism Du ring this time, there was a gradua l transit ion from the system of serfdo m, feudal ob­ ligatio ns owed by vassals to their lords based on a percen tage of their agricultural outpu t or days of labor, i nto payme nts of money due for rent owed. Thus, the centra l econom y shifted from a system of traditi onal obligations to a system based on the exchan ge of produ cts and service s for money. The lords were in favor of this movem ent becaus e the expand i n g trade required them to have money in order to deal with the merch ants. The expand ed wants genera ted by this trade left many lords im poveri shed, and the 62 �3 Origins of Western Society The Development of Modern Economic and Political Institutions 9t You Hated Inquisition I, Wait until You See Inquisition II The phenomenon known as the Inquisition was not exclusively medieval and did not occur just once. Inquisition 1: The Medieval Inquisition The medieval Inquisition began in 1233 when the Roman Catholic pope replaced local bishops with his give up their heresy and be good. But if people were found guilty, they were turned over to the local ruler for punishment. The most common punishment was imprisonment, although once in a while one of these unfortunate people was burned alive at the stake. It was not until the 1800s that the custom was abol­ ished. Until then it was a fact of life in France, Italy, and Germany. own appointees. Their duty was to inquire into heresy Inquisition II: The Spanish Inquisition (theories of religion that differed from the official This is properly known as the " Spanish Inquisition, " Roman Catholic version). The inquisitors would give and it was much worse than I nquisition I. It was estab­ notice that they were coming to a locality and why. lished by the Spanish rulers Ferdinand and I sabella, People would have a month to come forward voluntar­ the same folks who brought you Christopher ily and swear they were not heretics. Usually the in­ Columbus, the New World, and America. (No one is all quisitors believed them and that was that. But some bad; but no one is all good, either.) Inquisition II was people did not come forward. In every age and country there are a bunch of nosy neighbors, and nosy neighbors would denounce this or harsher and tried many more people than the medieval Inquisition. It is the so-called Spanish Inquisition that When returning t o England from t h e Third Crusade at the end of the twelfth century, King Richard the Lion­ Hearted was taken captive by Henry VI of France, and the Engl ish were forced to pay a large ransom for him. In order to pay that ransom, Richard's younger brother, John, who was ruling England in Richard's absence, had to establish high taxes, which did not decline after R 1 chard's release. The high taxes, together with John's m 1l1tary and administrative failures, caused a revolt against the English monarchy. The English nobles, backed by the church and by solid citizens of the towns, forced John, who had come to the throne after R1chard's death, to accept the Magna Carta. The Magna Carta, "the great charter, " forced the king to agree that free men had rights and liberties that could not be trampled on. We quote from the Magna Carta to show how bad the conditions must have been that forced the revolt, and to show you why the Magna Carta is said to be the basis of some of the rights we ourselves take for granted today. No constable . . . shall take anyone's . . . chattels without . . . paying for them in money. No sheriff . . . shall take horses or wagons . . . except on permission. We . . . will not take the wood of another man . . . except by permission of him to whom the wood belongs. No free man shall be taken, or imprisoned, or dispossessed, or outlawed, or banished . . . except by the legal judgment of his peers, or by the law of the land. To no one will we sell, to no one will we deny or delay, right or justice. is famous for torturing both the accused and the un- that person to the inquisitors. Then the inquisitors 1ucky witnesses, for handing out guilty verdicts right would hold a trial. The accused could have legal coun­ and left, and for using the preferred punishment of sel and could appeal to the pope if the decision was burning at the stake. Because Inquisition I I was run adverse. However, the accused could not find out by the Spanish kings and queens, the Roman Catholic who had accused him or her (on the other hand, the pope did not really approve of it, but papal authority accused could give the inquisitors a list of his or her did not succeed in abolishing it until 1820. enemies, and if an enemy's name was the same as an Ripple from the Third Crusad e 63 P.s. People were usually heavily drugged before they accuser's name, the accusation of that enemy was were burned at the stake. Sometimes, though, the au­ thrown out). The pope's appointees were generally thorities were mean and nasty, and if they thought the willing to believe heretics who swore that they would accused was especially wicked, the drugs were omitted. merchants had incomes significantly exceeding those of the richest lords. At that point, the landed aristocracy began to view their ancestral man o rs not j ust as something that belonged to them but as possible sources of cash, and when sheep became profitable they began to enclose the land that had been previously held in common, so that the sheep could graze on it. This made it more and more difficult for the tenants to support themselves. Enclosure dispossessed many tenants and created a n ew type of labor force-individuals without land who moved i nto the cities and led a marginal existence or wandered from place to place. Although serfdom was not formally abolished in France until 1 789, and i n Germany not until the 1 850s, by the 1 700s the market economy was definitely emerging, although it had yet to receive full legal and political status. The new economic order was mercantilism, an early phase of capitalism in which private ownership and profits were important, but in which there was significant state control. In a mercantilist system, the king granted rights for individuals to conduct a variety of trades, the state was i ntricately involved in all aspects of commerce and business, and countries all tried to export more goods than they im­ ported and to build up their gold reserves. Technological developments continued through­ out this time, but in the 1 700s technological changes themselves fundamentally altered the methods of, and needs for, labor. The Emergence of Nation-States As the individual states grew and trade picked up, the monarchs attempted to consolidate and broaden their power by supporting the merchants in voyages to Africa (in search of gold) and I ndia ( in search of spices) . Such voyages avoided the Arab land routes by which gold had been making its way to Europe and the long, arduous overland route between western Europe and I ndia through which pepper, cloves, and other spices came. Thus we have a variety of voyages of discovery such as Columbus's that tremendously broadened possibilities for society. It was through these voyages in search of still better routes to I ndia that what became the United States enters the picture of Western development. -�· • Various coins. The shell could have been spent in Africa as recently as a hundred years ago. The next two are ancient Ch inese, and then we progress through time and space: North India, the Middle East, Rome, and Arabia-until we reach our own penny and quarter. 64 �3 Origins of Western Society Drawing of early Industrial Revolution factory, from Diderot's Encyclopedie. The emergence of nation-states led to numerous wars both within and among nations. These included the French Wars of Religion ( 1 562- 1 598), the Thirty Years' War ( 1 6 1 8- 1 648), the Glorious Revolution in England ( 1 688), the Great Northern War between Sweden and Russia ( 1 700), the War of the Spanish Succession ( 1 702- 1714), and many others. Such wars continue through much of history; and both conflict and the threat of conflict are the most important problems still facing the modern world. The Industrial and Political Revolutions of the lJSOs to the 1850s The period of time from 1 750 to 1 850 is often called the Age of Revolutions because of the enormous economic and political changes that occurred during that time. In the 1 750s, once again technological changes had enormous influence on all parts of so­ ciety. These technological changes were so important that the next significant period is called the Industrial Revolution, a period from 1 750 to about 1 900 characterized by the invention of machines that had the effect of greatly increasing total output and reorganizing work patterns and social relationships. Although the Industrial Revolution began in England, its influence soon spread throughout the world. The revolution was spurred by technological develop­ ments such as John Kay's flying shuttle4 ( 1 733 ), James Hargreaves's spinning jenny ( 1 765) , James Watt's steam engine ( 1 769), and Richard Arkwright's power loom ( 1 769). These inven­ tions made it possible to produce much more output than had hitherto been possible, and in doing so created the need to reorganize the types of work that individuals did. I n order to produce these machines and use the technology, individuals were needed in cities to work i n factories. Thus people leaving the rural manors had an alternative. Because pay was often i nitially higher in factories than on the farm, a migration began into the cities where people hoped to get jobs. The I ndustrial Revolution further strengthened the power of the merchants, who had allied themselves with the monarchy. 4Th is was a technological advance but not, like the U.S. shuttle, a space vehicle. The invention of the fly­ ing shuttle frustrated the textile ind ustry because it enabled workers to weave so m uch cloth that the spinners of thread from which it was woven could not keep up; it was a challenge to the textile ind ustry that was met by offering a prize to anyone who could invent something to increase the threadspinners' prod uctivity. The prize was won when the spinning jenny was invented. The Development of Modern Economic and Political I nstitutions 65 On the political front, this period witnessed both the American and French Revol utions. I n 1 776, the American Revolution began, weakening the English empire and establishing the rights of individuals relative to the state and ruler. The pressures that had erupted in the American Revolution were founded in the same conditions as those that later caused the French Revolution. Because of the wars that had marked much of the 1 700s, governments had significant debts on which they continually had to pay high interest. On the eve of the French Revolution ( 1 789), the interest paid on the French debt was more than half of France's total budget. As the merchants grew tired of paying this debt, the middle class aligned itself with some members of the aristocracy, leading to a revolution in the way societies were organized. The power of the king was eliminated, and there was a declaration of the rights of man and citizenship. The French Revolution, embodying the ideas of the emerging social sciences, changed the political and economic organization of society. The Industrial Revolution took hold in the 1 800s. The middle class grew enormously and, with its newfound political power, pursued an increasingly important role in running the economy. During this time, significant social experimentation took place as the state and the organization of society went through the process of reform and of throwing off tradition. Throughout this period, societies and individual countries became more clearly defined, and by 1 850 in western Europe the concept of a nation-state with parliamentary government ruled the day. But these nation-states had to learn to live together, and their failure to do so and to discover a way to negotiate settlements of disputes among them led to continued warfare and significantly changed the boundaries separating nation-states. As a result of wars, many new nation-states have sprung into being, whereas from time to time old ones have died out. During the nineteenth century, Turkish authority was expelled from most of Europe, and new states took its place on the Balkan Peninsula: Greece, Bulgaria, Serbia, Romania, Albania, and Montenegro. Approximately twenty new states were formed from the old holdings of Spain and Portugal in the New World. About the middle of the n ineteenth cen­ tu ry, China and Japan opened their doors to Western trade. They, too, entered the commu­ nity of nation-states, in 1 842 and 1 854, respectively. World War I was a war between Germany, Austria-Hungary, and Turkey on one side and Britain, France, Belgium, Italy, Luxembourg, Bulgaria, parts of Yugoslavia, Russia, Japan, and the United States on the other side that lasted from 1 9 1 4 to late in 1 9 1 8. It tore down the old multinational states of Austria-Hungary and Estonia, and redrew other parts of the European map. Lasting from 1 939 to 1 945, World War II was a much more interna­ tional war and was fought between Germany, Japan, and Italy on one side, and the United States, Canada, the British Empire, most of Europe, much of Asia including China, many of the Western Pacific countries, and the Union of Soviet Socialist Republics (USSR) on the other side. It led directly to the establishment of Israel, and the divisions of Korea and Germany. After World War II, a su rge of national ism took place in the colonial areas of Africa and Asia, and i n the 1 960s a number of African and Asian states emerged from the British and French empires. Beginning in the late 1 980s, additional dramatic changes took place. The USSR broke up, and political subdivisions within the USSR, such as Russia, Georgia, Uzbekistan, and the Ukraine, all became independent countries. The wall between East and West Germany was torn down, and those two countries reunited to become one Germany. Poland, Czecho�lovakia, Hungary, Romania, and other communist-dominated countries of eastern Europe changed their political systems, orienting themselves more toward the West than to the former USSR. In the late 1 990s, these changes made the United States the world's sole superpower, giving it the power to exert i ts will throughout the world. Whether it used that power wisely is much in debate. In any case, it is unlikely to continue as the sole superpower. Both the European Union ( E U ) and China are growing in economic and military power, and the fu­ ture will likely have power within the world more divided than it was in the past. 66 �3 Conclusion That's it: the history of Western civilization in a chapter-not the most thorough or com­ plete history, but one that will give you some sense of the origins of our society and the in­ stitutions we consider throughout much of the rest of the book. • • • I The development of agriculture and the domesti­ cation of animals played key roles in the establish­ ment of fixed communities, which were essential to modern civilization. Egypt and Mesopotamia formed the cradle of modern civilization. The Greek civilization that significantly influenced our own emerged from about 700 to 500 B.C. In the fifth century B.C., Roman civilization emerged and remained dominant until the fifth century A.D. • • • In the M iddle Ages, the church dominated l i fe. The Renaissance was a period when the arts flour­ ished and people were encouraged to question some church dictates. The Age of Revolutions, from about 1 750 to 1 850, led to the emergence of our modern economic and governmental systems. S ome Important Terms Age of Agriculture (49) Age of Revolutions ( 64) Black Death ( 5 8 ) Code of Hammurabi ( 5 1 ) Crusades (58) feudal estate (56) ' Identify some of the institutions that have grown up in Western society. How are they changing 'ociety today? I What is the most important problem facing Western '<Kiety today? What solutions can you think of? 1 4. Throughout the chapter, the i n fluence of the Muslim world has been brought into the discus­ sion. How do you think this i nfluence will play out over the next fifty years? nternet Questions /(ey Points • 67 For Further Study Origins of Western Soc iety I ndustrial Revolution (64) Magna Carta (63) mercantilism ( 62) M iddle Ages (56) nation-states (58) polis ( 5 2 ) Renaissance (59) Roman Empire (56) serfdom ( 6 1 ) serfs (56) World War I ( 65) World War II ( 65) or Further Study -- to.unond, jared, Collapse: How Societies Choose to Fail or Succeed, New York: Viking, 2006. toop, Cheikh Anta, The African Origin of Civilization: Myth or Reality?, Chicago: Lawrence H i l l Books, 1 994. ldlher, joann, Chron icle of a Pharaoh, New York: Oxford l l.u ris, Lee, Civilization and Its Enem ies: The Next Stage of Ifistory, New York: Free Press, 2004. Simon & Schuster, 1 980. \mb Lands, Bonfils Collection, University of Pennsylvania Museum, intra. by Douglas M. Haller, Cairo, Egypt: University of Cairo Press, 2000. •hnson, Steven, The Invention of Air: A Study of Science, Fa ith, Revolution, and the Birth of America, New York, NY: Riverhead, 2008. Black Death, the Most Devastating Plague of All Time, New York: HarperCollins, 2005. I .u ncr, john, Marco Polo and the Discovery of the World, New Haven, CT: Yale University Press, 2000. on Paradise, trans. Charles W. Smithson, The 1 0, 000 Years of Economic Crises, McFarland, 200 l . Modern West, trans. Margery ). Schneider, Cambridge, MA: Harvard University Press, 2000. Staloff, Darren, et al., Great Minds of the Western Intellectual audio/videotapes, Springfield, VA: The Teaching Company, 2000. Tritle, Lawrence, From Melos to My Lai: War and Survival (Down the Centuries), Cambridge, MA: Harvard University Press, 2000. WWW Ancient World Database http://eawc.evansville.edu/ eawcindex.htm WWW The Fertile Crescent Interactive www.mnsu.edu/ WWW Internet Modern History Sourcebook www.fordham .edu/halsall/pgc.asp?page=mod/modsbook.html WWW WWW Medieval Crusades www. medievalcrusades.com Timeline of Ancient Greece www.ancient-greece.org/ resources/timeline.html Asa Zatz, Willimantic, CT: Curbstone Press, 1 999. Htrgolis, Howard, Copernicus: How Turning the World Inside Out Led to the Scientific Revolution, New York: McGraw­ Hill, 2002. and emuseum/prehistory/middle_east/index.shtml .-lly, john, The Great Mortality: An Intimate History of the Assa ult S., Stanford, CA: Hoover I nstitution Press, 1 984. Tradition, h llbroner, R., The Worldly Philosophers, rev. ed., New York: Tatiana, Charles Doomsday Myth: Schiavone, Aldo, The End of the Past: Ancient Rome and the The Origins of Value, Oxford, UK: Oxford Press, 2005. coho, Maurice, Newman, Paul B., Daily Life in the Middle Ages, Jefferson, NC: •lll"l/mann, William N., and K. Geert Rouwenhorst, eds., 6. How did the Arab world i nfluence the develop­ ment of Western society in the M iddle Ages? Do you see any parallels with the situation in the Middle East today? 7. What did the peasant get from the feudal lord, and what did the feudal lord get in return? Do you think it was a fair exchange? 8. How did the church affect life in the M iddle Ages? Did its influence change in the Renaissance? 9. How did trade and commerce develop? What do you think your life would be like today i f the only things you could buy were those that were grown or manufactured within ten miles of your house? 1 0. What was revolutionized by the I ndustrial Revolution? 1 1 . Name some of the wars that altered the course of Western society. Why do you think they led to change? 3. Read about the Black Plague at www. eyewitnesstohistory.com/plague.htm. What were the symptoms? How did people try to avoid the disease? 4. What are the five major groupings in the Age of Revolutions ( 1 763- 1 848) ? Pick one and list the important events. You can use www. thenagain .info/webchron/WestEurope/agerevs.chron.html. 5. Go to www. mnsu.edu/emuseum/prehistory/aegean. Read about the ancient Greek civilization of the Mycenea. How did this civilization fall? -- University Press, 2000. Questions for Review and Discussion 1 . What are some of the developments that changed human beings from roving hunters to people liv­ ing in fixed communities? What responsibilities and functions did the towns grow to provide? 2. What are some of the legal systems that have ex­ isted in Western society? Do you think any of their provisions have relevance today? 3. What conditions enabled certain classes of society to grow wealthy? Do you think concentrations of wealth were a positive or a negative factor for the nature of society? 4. Name some human characteristics that persist over time in the development of Western society. 5. I n thinking about your life today, can you identify any ideas that may have come from the Greeks? From the Romans? From the Middle Ages? If so, what are they? ( If you prefer, choose some of the other periods discussed, such as the Reformation and the I ndustrial Revolution. ) Using thinkquest ( http://library.thinkquest.org/ C006522/life/) , read about the l ives of women and 'hildren during the Renaissance. Now go to www.youtube.com/watch?v=wL5CviNAhnk and watch the video. Compare aspects of everyday life 1 11 the M iddle Ages to that in the Renaissance. What stereotypes exist concerning women in the Middle Ages, and where did these stereotypes originate? ' ( ;o to http://industrialrevolution.sea.ca!impact .html and read about the industrial revolution. I l ow did the social structure change during the industrial revolution? WWW Timeline of Ancient Rome www.exovedate.com/ ancient_ ti mel i ne_one. h tml Part II Culture and Mu ltic u lturalism Culture and the Individual S ociety, Culture, ulture and Multiculturalism and Cultural Change After readifl!l this chapter, you should be able to: • Explain why culture is necessary to hold society together Culture is the sum of all the • List some important elements of culture forms of art, of love, and of • Summarize briefly three popular theories of cultural change • List five factors that cause culture to change • List three factors stabilizing culture • Discuss the cultural lag theory and its limitations • Explain the doctrine of cultural relativism thought, which, in the course of centuries, have enabled man to be less enslaved. -Andre Malraux Human beings are social beings. We cannot understand their nature independently of thei 1 social environment. That i s why we call our discipline social science. To understand human bei ngs' role as social beings, we must understand culture. To understand culture and its key role in social science, it is helpful to consider an analogy to physics. When we studied physics in high school, we were taught that there are elec trons, p rotons, and neutrons. Together, these made up atoms, atoms made up elements, and elements made up matter. Si nce that time, learning physics has become much morl' difficult. Physicists have discovered even smaller particles, which they tell us are thl· building blocks of all matter. These building blocks include qua rks, leptons, and ghostly pa rticles called gluons, whose existence is assumed by physicists because some thing has to hold matter together. Quarks and leptons make up matter; gluons hold matter together. Why are quarks, leptons, and gluons relevant to social science? Because j ust as physi cists need to assume the existence of gluons to hold matter together, social scientists must assume a force that holds society together. Without gluons, qua rks and leptons would fall apart and the world as we know it would not exist. Society has a similar force holding it together. Why don't you just haul off and clobber your neighbor when he or she doc' something wrong? Why don't countries always enter into war to get what they want? What sensibility makes it possible for society to continue to exist and to coordinate thl· individual wills of some 6.8 billion individuals? The answer is culture, and the social sci ence equivalent to the gluon is culture, embodied in social institutions, mores, conven tions, and laws. 68 69 Culture is the total pattern of human behavior and its products, embodied in thought, speech, action, and artifacts. It is the way of thinking and doing that is passed on from adults to children in their upbringing and can be thought of as the shared language, norms, and values of a society. Culture is dependent on the capacity for learning through the use of tools, language, and systems of abstract thought. It includes not only patterns of behavior as such but also the attitudes and beliefs that motivate behavior. Culture creates human beings and human societies. Reciprocally, by slow accumulation over many generations, culture is the product of human societies and of the individuals who compose them. Cultures as we know them have evolved through a long process of change. Cultural evolution is the name given to this gradual, accumulative process. Any modern culture is largely the product of the originality and initiative of great numbers of individuals in times past, though in most cases the contribution of any one person has been so small that it can­ not even be identified. Because culture is learned by association with other human beings, the character and personality of all human beings are in large part reflections of the society in which they l ive. Individuals acquire their knowledge, skills, customs, ideals, religion, and morals from their social environment. This is made possible through socialization. Socialization is the process that shapes the personality of individuals so that they can adjust to and become members of society. In the United States, most of us feel, think, and act like U.S. citizens because we have spent all our lives in a mainstream U.S. social environment. I f, from earli­ est childhood, we had associated only with a group of Inuits who never had any contacts with the mainstream U.S. culture, we probably would neither understand nor feel com­ fortable with that culture. This does not mean that all people in a culture are alike in their personalities. Significant differences in our family backgrounds and in many other aspects of our per­ sonal social environment. To develop human nature, we must be human beings and inherit human potentialities; no two people will ever react to the same environment in exactly the same way. Biologically inherited differences affect the intelligence and temperament of every person and therefore affect thinking and behavior. In any given individual, social in­ heritance and biological inheritance are so closely bound together that we can never be sure of the relative influence of each. However, for nearly all of us the general pattern of life is largely determined by our social environment. Almost everything we believe or know or do we learn from observing other people, from listening to other people, or from reading and thinking about what other people have written. Multiculturalism The United States does not have a single culture, but instead has a blend of overlapping cul­ tures. For example, urban black culture is different from Hispanic culture, which is different from Jewish culture, which is different from rural Midwestern culture, and so on. The blending of these various cultures is not always smooth, and at times is disruptive. Hip-hop, classical, and country music do not a symphony make. Nonetheless, the similarities of t�e various U.S. subcultures hold together, and allow us to speak of a single U.S. culture, which actually is a composite of various subcultures. Political debates about culture often focus on whether the government should support monoculturalism or multiculturalism. Technically, monoculturalism emphasizes the shared aspects of subcultures, whereas multiculturalism emphasizes the differences among subcul­ tures. However, the term multiculturalism has developed a somewhat different meaning. Specifically, the term was used in the 1 980s as a way to emphasize that most university 70 �4 C u l ture and the Nature of Society Society, Cu lture, and Cultural Change 71 themselves into a society.1 They would develop common ideas, interests, and techniques for living and working together. It is the sense of living together as a community that makes up a society. curricula reflected a Eurocentric bias at the expense of other U.S. subcultures. Thus, to support multiculturalism was to be against the Eurocentric bias in university curriculum\ As often happens when terms become part of a political debate, monoculturalism and mul ticulturalism were seen as opposites. We don't see it that way. We see both as supportabk Specifically, if the U.S. monoculture were committed to pluralism-the value that cultur,tl diversity is good-there would be no contradiction between the two. The debate is simp!} about getting the right mix. The advantage of monoculturalism is that shared culture ten(h to hold society together; the advantage of multiculturalism is that it incorporates diversit\ and lets subgroups revere their own history and view that history as a strong building blod of the larger culture. Culture and Its Role in Human Societies There is a problem in precisely defining culture because it has a variety of aspects. But our earlier definition of it is probably the best. Culture is the way of life that the people of a so­ ciety follow. I t includes all knowledge, beliefs, art, morals, law, customs, and any other capa­ bilities acquired by a human being as a member of society. In short, culture is the total pattern of human behavior and its products embodied in thought, speech, action, and artifacts. Culture is also dependent on the capacity for learning through the use of tools, language, and systems of abstract thought. As you can see, the culture of a society includes everything of human origin in the lives of its members-that is, everything they learn through their direct or indirect contacts with other people. It includes the customary ways of behaving in everyday life, religious beliefs, moral standards, the way family life is organized, the methods used to provide food and shelter, language, government, and forms of artistic expression. The Shared Beliefs in Culture Culture is an enormously vague concept that is difficult to grasp. Perhaps the easiest way to understand culture is to answer a few questions: 1 . Should children, age eleven to fifteen, sleep in the same beds as their parents? 2. Should women be allowed to drive? 3. Should females be circumcised? The Elements of Culture 4. Should people wear swimming suits on public beaches? Most of you from the United States, I suspect, answered the questions ( 1) no, (2) yes, (3) no. and ( 4) yes. Why do I suspect that? Because you come from a shared culture. But if you wen· from another country, or a part of the United States that is not affected by mainstream U.S. culture, your answers would likely be different. For example, according to Richard Shweder in his book, Why Do Men Barbecue? Recipes for Cultural Diversity, in Mali and Somali,t women are repulsed by the idea of not circumcising women. Similarly, in Saudi Arabia some women (although it is a decreasing number) see it as simply inappropriate for .1 woman to drive. Many more examples could be provided, but these should be sufficient to give you a sense of how culture is the shared beliefs of a society. Culture develops only through the association of human beings and thus presupposes society; at the same time, culture is what makes a human society possible. Only when people develop in some degree a common culture can they function as an organized group, for only then do they know what to expect of one another and how to behave to meet the requirements of the group. A society can exist because human beings have the capacity for creating culture and, what is equally important, for sharing it with their contemporaries· and transmitting it to succeeding generations. Culture creates soci­ eties and societies depend on culture. In short, culture embodies social norms (its conventions, mores, and laws) and institutions together with a society's technology, its material products, and its Society �� values. Figure 4. 1 presents the elements of culture upon which so­ ciety rests. Let us consider briefly some of the elements of culture. Culture and the Nature of Society Conventions are the simple, everyday customs of a group that represent the usual ways of behaving. Conventions change slowly, and many of them are very persistent. In our society, it is customary or conventional to sleep on a bed; to eat at a table; to handle our food with knives, forks, and spoons; and to greet an acquaintance on the street. All these are conventions. Conventions are established customs to which we attach little moral significance. We may think that people whose conventions are different from ours are themselves different, but we try to understand those differences, not ostracize people because of their differences. For example, we will probably wonder about a woman who shaves her head, but our social practice will be to try to act as if we notice nothing unusual. Social Norms: Conventions, Mores, and laws. Even though the personality of each individual is in large measure molded by society, it i' clear that society can have no existence apart from the people who constitute it. Society is,, group of individuals living as members of a community. The characteristics of every society are gradually shaped and changed over succeeding generations by innovations introduced by the people who belong to it. The influence of any one individual may be small, but thl contributions of many individuals over long periods of time can be great. It is important to pay close attention to our definition of society. A group of peopk does not necessarily constitute a society. A number of people who come together temporar ily, and perhaps accidentally, are merely a crowd, or an unorganized aggregate. To constitutl' a society, a group must be bound together by established relationships. It must, i n other words, be organized. Though the basis of any society is a group of individuals, equally important to its es tablishment is the continued existence of the group over a period of time. A crowd brought together for a football game is an aggregate, but it is not a society. Its members arc physically close together, and for the moment are united by a common interest. However any sense of unity they may have is superficial and temporary. When the game is over, the\ disperse. They are not together long enough to organize into a society. But if the same peo pie were marooned for a year on an uninhabited island, they would be forced to organin "' c:: .2 � t5 .!:: >0> 0 0 c:: .c '-' � ,·/c111ents of culture. 2 '-' ::: "0 0 a: � <1> "' ::2 Ill "' <1> ::: -;;; > 1The television program Survivor assembled a small group of people on an uninhabited island. The basic purpose was to allow viewers to watch the difficulties this group would have in making decisions. Had there tnily been no hope of rescue, and no need to "eliminate" individuals periodically, the group would probably have organized and cooperated in a much more socially beneficial manner. 72 �4 Society, Culture, and Cultural Change Culture and the Nature of Society Mores (pronounced mor-rays) are conventions that would h ave sen ous consequences if they were violated. They include those customs th,rt must generally be observed by all members of a society for the culture 11 survive. People who disregard mores are usually seen as more than slightly odd or eccentric-their character definitions are beyond weird Although a violation of a society's mores would not necessarily land person in jail, it would incur social punishment in the form of peer di' approval. For example, a claims adjuster who showed up at the insuran(\ office and completely disrobed would have violated one of society mores and, even if not arrested for indecent exposure, would neverthelc' face informal punishment. On the other hand, a person who wears infor mal clothing to a wedding reception is merely violating a convention. In contrast to mores and conventions, which are merely custom taken as understood in governing the conduct of the group, l aws an more exact, and are generally recorded, codified, and enforced as a mean of securing public obedience. Laws are the principles and regulations C\ tablished in a community by some authority and applicable to its peopk whether in the form of legislation or of policies recognized and enforcc.:d Punk dressers challenge s ocial n orms in by j udicial decision. Violations of laws may carry severe punishment Great Britain. and/or ramifications for the offender. Being caugh t speeding results in d small fine, whereas premeditated murder may be punishable, at least in some states, by death. What is against the law and the punishment for violation of laws van in different societies. For example, in some Islamic societies it may be against the law for .s woman to appear in public with her face uncovered, and stealing may be punished by thl· loss of one's hand. In the United States, there are no laws about covering one's face, and steal ing results in a jail sentence, at most. Social Institutions. A social institution is an established complex pattern of behavior in which a number of persons participate in order to further important group interest' Institutions are usually organized around some central interest or need. Government, for example, provides the necessary order and coordination among individuals. The school provides for formal education of the young while the family, one of the most basic of all soci.rl institutions, helps meet many of the needs of daily life, such as those for shelter, food, closl companionship, and affection. The church, temple, mosque, and synagogue are the institution' that enable people to express their religious beliefs by joining others in worshipping a deity or deities in established rituals. Social institutions not only provide order and coordination, the.:\ also provide for social change. For example, religious groups played a significant role in the civil rights movement in the United States, a movement that forced U.S. society to treat African Americans more equitably and to remove some of its blatantly discriminatory laws. Material Products. Strictly speaking, culture is never material. It is in the minds and personalities of people. It is what they have learned from their social environment­ attitudes, beliefs, knowledge, and ways of behaving. However, important in every culture j, knowledge of how to produce and use a variety of material products, including food clothing, houses, tools, machines, and works of art. Cultural objects (artifacts) are product' of human skill and effort that are essential to the functioning of a society. Cultural object are more than mere expressions of the culture that produces them; they become essential to its functioning because without them people could not carry on the necessary activities ol daily life. This is strikingly true in a modern industrial society. Such a society would bl· paralyzed if it could not use computers, airplanes, cars and trucks, telephones, power plants, factories and their machines, supermarkets, and fast-food outlets, to name a few. Language. Language is a body of words and the system for their use common to a people ol the same community or nation, the same geographical area, or the same cultural tradition 73 Language is intrinsic in the societies and cultures of humans. Benjamin Lee Whorf argued that each particular language embodies and propagates a worldview. Groups of people speaking the same language, therefore', communicate in the same cultural tone. Cultural assumptions and observations are locked into a society's language. For instance, communication between multilingual people transmits cultural differences between societies. Language plays a central role in the development and transmission of culture. It allows communication, which is essential for the coordination of activities. It allows cultures to save and transmit a knowledge of their h istory. Writing allows many further uses of lan­ guage, widening its ability to store and accumulate knowledge. Writing allows cultures to be preserved and passed on in expanded ways. But language also creates limitations. The struc­ ture of the language influences the way individuals look at issues and can therefore incor­ porate many hidden biases. Social values are the motivating power that makes institutions function effectively. They are the things that a given society considers desirable because they are believed to contribute to the good life and the general welfare. In our cultural environment, honesty, courage, justice, and respect for law and for the rights of others are highly regarded social values. So also, on a somewhat different level, are financial success, health, and education. Individuals' desires tend to reflect the values stressed in the societies to which they be­ long. U.S. society is often said to be materialistic. This may not be a wholly correct characteri­ zation, yet it contains an element of truth. In our modern United States, we have great respect for success in business, entertainment, and sports: and we place great emphasis on the impor­ tance of raising standards of living and abolishing poverty. Because we put such a high value on material welfare, many of our people have come to regard the earning of more and more money as their major l ife objective. Others, of course, look on money merely as a means to achieve more important objectives. These more important objectives may involve such "higher" social values as the education of one's children; charity; the appreciation and encour­ agement of art, science, and religion; and the rendering of public service. Social values make institutions function effectively. The church, temple, mosque, or syn­ agogue, for instance, will be a dynamic force in society only as long as a large portion of their members firmly believe in a supreme being or spiritual guide and have faith that their reliSocial Values. : -) t messaging by email , phone, and instant messenr programs is becoming more and more common-so . uch so that a new language is developing, both with bbreviations and acronyms, and with symbols that add otron . Below is a sampling of some of the abbrevians and emotions. Younger students wil l likely know em a l l , and more. Older students and professors can nd many more by searching the I n ternet. smiley face/happy ; -) wink :- ( frown/sad :-@ scream :-1 indifference :-/ perplexed ;-} l eer :-e disappointment 143 I love you :-> devilish grin 2G2BT Too good to be true :-D shock or surprise A3 Anytime, anywhere , anyplace :-P wry smile YSYD Yeah sure you do :-! foot in mouth SUITM See you in the morning :-& tongue tied TTYL Ta lk to you later FW I W For what it's worth >· female LOL Laughing out loud male 74 �4 Society, C u l ture, and C u ltural Change I � Fast-food restaurants have been integrated into They are as American as Old Glory. U.S. culture. Culture, Society, and Social Change gious organization is an essential instrument for t h growth o f the soul and the creation o f a good socict1 Where religion has a strong hold on a society, it is us11 ally a conservative force tending to preserve establish�, moral values. Social values are relative rather than absolute. Thl often vary widely from one culture to another, and ead individual acquires from his or her own culture ideas 1 what is desirable or undesirable, good or bad, right o wrong. l n some societies, sexual relations before m.11 riage are regarded as a cardinal sin; in others, they .11 permitted or even expected. In some societies, WOI11l'l must be very plump to be regarded as beautiful; 11 others, they must be rather slim. In most if not in ,, modern societies, the killing of infants is regarded wit I horror, but some nonliterate tribal societies see it ,, commendable under certain circumstances-for in stance, if the infants have physical disabilities. Cultural Integration Cultures or societies contain certain aspects that are similar among all cultures. These ,,, pects or traits are called universals. A cultural universal is an aspect of culture that 1 found in all cultures. Religion, for example, is a cultural universal, as is the existence o some form of government, family life, and national ideals. Cultural alternatives are thoso cultural characteristics not necessarily shared by other cultures. For example, some cui tures might place the elderly in a subordinate role, whereas others might place them in ,11 exalted role. Therefo re, exalting old age is a cultural alternative; not all societies do it. Traits differ not only among cultures; they also differ within cultures. Cultural integra tion is the degree to which a culture is internally consistent and homogeneous. In larg�· complex modern cultures such as the United States, there tends to be more diversity. l1 small, preliterate cultures such as the Amazon Indian culture of the Yahma tribe today thcr tends to be less diversity. Thus, these cultures are more unified. In U.S. culture, which greatly values freedom of choice with respect to both ideas a111 things, life is more complex and stressful. Many social problems such as crime, teenage n· bellion, alcohol and drug abuse, and emotional disorders result from our greater ability I• choose options. For example, if culture determined what job you would have when yo1 graduate, your life would probably be less stressful. Even cultures that place a h igh value 01 freedom must achieve some measure of balance between shared cultural traits and the po tentially disintegrative forces of nonshared traits. Since about 1 960, we have seen in t h United States a decline in the social behavioral consensus that was more typical of the earli, years of the twentieth century. Some social scientists believe that this flexible value systcn could cause serious trouble for our society. Whether they are right, and whether our societ will move toward more shared cultural traits, remains to be seen. As you can see, culture is the glue that holds society together, but like glue it can al" cause difficulties for society. The reason is that societies are in constant transition, and to h successful a society must adjust to new technologies and relations with other societies. Th glue that really held society together in one time period may be the sticky mess that in an other time period entraps some members of society. Therefore, to understand the role o culture in society, we must consider the process of social change, the factors that contribut to that change, and the effect that change has on culture. 75 llure, Society, and Social(hange The culture of a society is constantly evolving to fit new situations. For instance, wars can cre­ ate almost instantaneous change and can focus a society's interest, money, and energy on a single goal-winning. Total emphasis is placed on w:ar-related activities rather than on more diverse activities. Whether a country wins or loses, the postwar society will substantively differ from the prewar society. Some of these changes will be the result of an opponent's war effort, and others will be the result of interaction with members of other societies. The rate of social change has gradually gained momentum through the course of hu­ man social development. In early times, it started slowly. Many thousands of years ago, all human beings belonged to small, preliterate groups. Though the groups varied greatly in the nature and complexity of their cultures, as a rule the customs and traditions of each were so firmly established that its members tended to follow much the same way of life over a great many generations. Then the rate of social change increased. In effect, social change has behaved much like a snowball rolling down a hill. First, it starts out small and moves slowly; then, as it picks up more snow and gets larger, it gains momentum. Certain factors have been especially important in contributing to an increased rate of change. Outstanding among these is the development of agriculture. The growing of crops forced people to live in permanent dwellings. Increasing the food supply through storage brought about an increase in population and, ·gradually, the growth of towns and cities. Another important factor is the invention of writing, which made it possible to record hu­ man knowledge and to transmit it to future generations more adequately than ever before. As the sum total of human knowledge increased, the rate of its accumulation accelerated. Later developments that did much to speed up the rate of social change include the in­ vention of printing, the rise of modern science, and the Industrial Revolution, which began in England in the mid-1700s. The Industrial Revolution represented a shift in the methods of production; it entailed the replacement of hand tools by machines and power tools, and initiated the movement away from small-scale agriculture to the development of large-scale industry. This necessitated enormous numbers of workers for the factories, fewer workers in the fields, and therefore enhanced urbanization, the movement of people from rural to urban areas. A more recent factor of great importance in accelerating change has been the annihilation of distance through the development of rapid transportation and communica­ tion. Today, we can use satellite transmission to simulcast events and ideas all around the world while they are actually happening or being formulated. Not only is the rate of technological change increasing, but so is the interaction among cultures. This is especially true in developing countries. Western science and technology are now spreading throughout the world at an accelerating pace, and further westernization is a likely prospect for many developing countries. The Internet-an interconnected set of computers through which people can communicate and transfer information-has trans­ formed communication among individuals and is in the process of making our world one enormous community. With social interaction Internet sites such as MySpace and FaceBook proliferating, young people are interacting with others in ways that were previ­ ously impossible, changing what determines and constitutes a community. ( Older people often have a much harder time adapting to the avenues of social interaction that the new technology allows.) One result of increasingly close contacts with distant lands is that the peoples of the world are becoming more and more alike in their customs, the products they use, and the ways they earn a living. Wide cultural differences among peoples can still be found and may never completely disappear. Today, bitter enmities seem ineradicable within countries such as Bosnia and between countries such as India and Pakistan. However, cultural differences are, on the whole, diminishing, and at a more rapid rate than ever before. 76 chaptvv 4 Cu lture, Society, and Social Change Society, Culture, and Cu ltural Change We would be wrong, however, to see the diffusion of cultural traits as a one-way stre� Styles of dress, food specialties, art forms, and modes of thought in other continents and M' cieties are bringing changes to our own culture. Change i n itself is not necessarily good 1 bad. It only means that old situations are replaced with new ones. Evolution has more del nite implications than change. Evolution implies a gradual development from simpler forn of l ife, art, technology, or social organization to more complex forms. Social evolution is tl long and complex process of change and interaction by which cultures gradually develo1 Whether this change is desirable is debatable. From a Western, ethnocentric perspective, '' often think of change as progress, but from a broader perspective, change is not necessan progress-it may be regressive change. Change cannot be seen as progress unless we kno what the life goals are and how those changes help us meet those goals. Views of what Ill goals should be differ; hence, views of whether social evolution is progressive differ. Popular Theories of Social (han�e Human beings have a tendency to glorify the past. Some become firmly convinced that tl good old days of their youth and childhood were far superior to the present. One of the C<ll liest theories of social change was held by certain Greek philosophers who believed that ht mankind once lived in an ideal golden age. From this, we gradually descended to a silv� then a bronze, and finally an iron age. A quite opposite theory of social change has been popular in Europe and the Unit� States in the last century or two. This is the doctrine of inevitable progress, the belief th the world is getting better and better. Not even two world wars and a multitude of small wars have been able to shake the faith of those who firmly hold this doctrine. Another theory of social change, popularized by Oswald Spengler and Arnold Toynb� is that such change runs in cycles. According to their theory, institutions, societies, and Ci\ lizations pass through cycles of growth, climax, and decline. Modern civilization is no 1: ception and is bound ultimately to disintegrate. This cycle theory of social change is ba�l on the idea that history repeats itself. Some cycle theorists maintain that modern civili1 tion is now on the verge of a decline, and to support this contention they point to the fate 1 certain past civilizations, including ancient Greece and the Roman Empire. Cycle theon vary considerably, but they all tend to support the thesis that civilizations first advance, ult mately reach a peak, and finally decline. Other attempts to explain social change have relied on the sup�· natural, racial characteristics, economic conditions, cultural difft sion, or invention. Any given culture, however, is the result of tt many factors to be explained adequately by any simple formula.) one thing is sure: Change is inevitable. Humans' relationship to th� environment is dynamic, no matter where they live, and this dynam relationship produces change. ._ Factors (ausin� Cultural (han�e We now look at some of the most important social forces that cau cultural change, together with the problems that change has brougl about. We begin with a discussion of technological development; th� we examine the role of religion, ideologies, cultural diffusion, war planned group action, geography, and climate. Technological development begu A discovery is learning somethu invention. and with discovery about the physical or social environment that was not known befor I n the past, explorers have discovered new islands and continent Technological Robot replacing workers. This 1882 cartoon was called "Demon destroying the People." Development. 77 astronomers have discovered laws that regulate the motions of the heavenly bodies, and anthropologists have discovered many �""�-��-��""'- H<J :\',ow 1:11 interesting differences between the cultures of preliterate X peoples. Discoveries about the natural world often furnish the basis for inventions. For example, the discoveries about electricity from some of the great scientists made it possible for 't � � ., � Thomas Edison to invent the incandescent electric lightbulb --..' \u' 1 and other useful devices. fJ An invention is a new way of doing something or a new ob­ ' I •I ject or mechanical device developed to serve some specific pur­ w� fh•• b ..., 1 Pf � I pose. It is a cultural innovation devised by one or several individ­ :.:I·'*" II' 6 I ..2. I ( fT\"V ual members of a social group. Inventions may be either material • ., l ! "'V ' or nonmaterial. Familiar machines such as the lawn tractor and ' Lf / I I � v-·" .�. t. � I h II the airplane are material inventions. Old-age insurance and crop '' I .u �,u"' rotation are examples of nonmaterial inventions. One of the 'If _tJ ..r. � ) I L!)�I V J greatest of all nonmaterial inventions was the alphabet, which (-"' I·•· '>rr made possible our present system of writing and printing. I ��An invention is really a special kind of discovery, and hence ' "' 3 I• � no sharp line can be drawn between the two. We can call the ',.)1' � !" making of fire by striking together flint stones either a discov­ 'I .:.:� 'f ery or an invention All mechanical inventions involve the dis­ " 99<'111 covery that materials combined and used in certain ways will � produce certain desired results. Inventions bring about changes :JA in technology, and in modern societies technological change has been a powerful force behind social change. A good example is the computer, which is changing our s of different cultures, from Diderot's lifestyle and culture in many ways. Computerized robots are re­ •pt'die. placing workers in many jobs, tiny robots are being developed for medical uses, and the Internet is changing the way we shop and communicate with others. Similarly, developments in biotechnology are changing our lives and soon may make it possible for us to choose characteristics for our children and to influence medical treatment. Technological change has become so important to understanding society that we de­ vote an entire chapter, Chapter 6, to a deeper consideration of the issues. ' ,. :--.· : � I : F. � � )I X. :"I :,: �� \'I • • �y I I I i·!·'V � r�� loI '.1.- !' � J1 lit .• Once a new cultural element is well established in one society, it may spread to others. Cultural diffusion is the name given to the spread of cultural traits from one social group to another. I n other words, not all the elements found in the culture of a given group were invented or developed within that group. In most cases, the greater part of the content of any culture has been borrowed from other cultures. In most societies, cultural diffusion is an extremely important factor in social change. Societies isolated from outside contacts tend to be static, whereas those that can readily communicate with other groups constantly acquire new cultural elements. However, contact does not always lead to cultural diffusion. For example, the Amish society in the United States has significant contact with mainstream U.S. culture. Despite this contact, Amish society has maintained its separate cultural identity through careful nurturing and has shunned many modern technological developments. Cultural diffusion, more than any other factor, has been responsible for the develop­ ment of Western civilization. Western civilization was nurtured in Europe, and its center is still there. Yet most of the basic elements of this civilization did not originate in Europe but were borrowed from other peoples in other parts of the world. Our modern number system, so much more flexible than that of the Romans, was borrowed from the Arabs, who in turn borrowed it from the Hindus in India. Without this number system or a good substitute, it Cultural Diffusion. 78 �4 Society, Cu lture, and Cu ltural Change would be almost impossible for us to carry on the mathematical calculations now require• by both business and science. Again, our alphabet, which with modifications is used for wnt ing and printing all European languages, was borrowed originally from the Phoenicians 1 Africa. It seems probable that they, or a neighboring people speaking a similar Semitic Ian guage, were the original inventors. 2 Social change may also be initiated by new ideas. Relatively simp!, Ideas and Ideologies. practical ideas may result in inventions that soon are accepted and become a recogniu part of the cultural pattern-a new type of dance, a new kind of business corporation, or new mechanical gadget. However, not all new ideas are of this type. Some represcr important changes in social attitudes and basic social values. Such ideas may in time gain powerful hold on minds, as did the concepts of "liberty, equality, and fraternity" of t h French Revolution, o r the civil rights movement i n the United States in t h e 1 960s. Oft�· they come to represent hopes and aspirations that, though they can never be fully realizc1 can be approached in a variety of ways. Once ideas of this kind become well established 1 any society, they become a powerful force for continuing social change in directions that ar thought to lead toward their realization. Religions, which embody people's conception 1 what is good and what is bad, often are vital forces for social change. For example, as \\ stated earlier, religious groups played an important role in the civil rights movement, and 1 the early 2000s Christian churches were exerting pressure on government on issues •' diverse as abortion and foreign policy. Even in the modern world, it usually takes considerable time for major new ideas t gain a firm foothold. Various writers have maintained that social change is always mot vated by the discoveries or theories of great thinkers of a past generation. Karl Marx, for c ample, had little effect on society during his lifetime; British economist John Maynar Keynes's economic ideas of the 1 930s did not have any great impact on the public and o government policies until the 1 960s. An ideology is an organized system of ideas for remodeling society to bring it "near to the heart's desire." We may regard it as a composite of ideas, values, and emotions. Tho' who believe in an ideology often support it with religious fervor. Fascism, communisn socialism, and democracy are all ideologies. Each has its system of values, and each woul organize society-supposedly to further the common good-according to a somewh different pattern. No ideology ever achieves the ideal society that its adherents envision. \'\ regard our U.S. society as democratic, but we often are keenly aware that we fal l short of t h democratic ideal i n many ways. Most social changes take place gradually and are not planned an carried out by a central agency. At times, however, social changes of importance are brougl about more or less rapidly by planned group action. Group action by an entire society, SUl as a modern nation, usually means government action, because the government is the onl agency that can make and enforce rules that in theory apply to the whole social grout Japan is a nation that has experienced a great social transformation within the past I years. It has changed from a feudal society to a modern, highly industrialized democra( Much of this change has been brought about by government policies that were specificall designed to bring Japan into the modern world. The outstanding twentieth-century examples of drastic and far-reaching social chang carried out by governments on a vast scale are found in the former Soviet Union and 1 China. There, in two of the largest and most populous countries of the world, when t l communist leaders came into power they completely changed i n a relatively short tin Collective Action. 2The Phoenician alphabet contained only consonants. The Greeks, who were the first Europeam appropriate this alphabet, added vowels. Culture, Society, and Soc ial Change 79 many basic aspects of the political, social, and economic structure. In an attempt to create societies based on the communist ideology of Karl Marx, the state seized vast amounts of property from the middle- and upper-class owners, uprooted millions of peasants from their holdings and put them to work on collective farms or communes, and took over the operation and expansion of practically all productive enterprises. But the achievement of such broad and rapid changes was possible only through the establishment of powerful dic­ tatorships that had small regard for the rights and freedoms of individuals. In the 1 990s, many of these communist dictatorships ended. Eastern Europe went through dramatic upheavals: Several communist systems were overthrown; the Soviet Union broke up into various countries; and all of these countries experienced enormous political, social, and economic change. What the end result will be won't be known for many years. It may be an adoption of a Western-style market economy, or it may be the es­ tablishment of some new system. Important social changes can also be brought about in democratic countries through planned government action, but only if the action has popular support. However, such changes are implemented more slowly and are much less drastic than those that can be made by a communist society or a dictatorship. In democracies, social changes planned by government are usually embodied in legislation that is designed to meet certain social prob­ lems. For example, in the United States, acts of Congress and of state legislatures have al­ most eliminated the employment of child labor; at the same time, they have helped increase school attendance, both by providing free publicschools and by making school attendance compulsory. Legislation under the New Deal, from about 1 932 to 1 93 7, established in their original forms our farm income-support program and our Social Security system. It also stimulated the growth of labor unions by strengthening their legal position and their bar­ gaining power. Now, in the 2000s, those structures are being questioned. Legislation, however, has its limitations. To be effective in promoting social change in a democracy, it must either reflect the established beliefs of the people or it must change those beliefs relatively quickly. If legislation violates what the majority of citizens believe to be their just rights and privileges, it has little chance of success. For instance, the Prohibition amendment to the U.S. Constitution, legally in force from 1 9 1 9 to 1 932, failed and was finally repealed because the majority of Americans felt that outlawing the sale of liquor was an unreasonable violation of their personal liberties. When people live in a given region over a long period of time, they become adjusted to local conditions of geography and climate. A society, for example, set on the edge of an ocean would be more prone to utilize marine resources-fish for food, shells as jewelry, and perhaps greater trade owing to the oceanic access-than would a landlocked society. Changes in the natural environment can and do occur. In extreme cases, droughts, earthquakes, the exhaustion of important natural resources, changes in climate, and the like may require radical cultural adjustments. Geography and climate are also important factors in social change when people mi­ grate from one region to another. The European settlers who emigrated to the Americas, Africa, Australia, and New Zealand found many differences of climate, topography, and nat­ ural changes, especially in food, clothing, houses, and ways of earning a living. We consider these issues in more detail in Chapter 5. Geography and Climate. Language and Cultural Change Social change takes place over long periods of time and often is difficult to discern. Because our perceptions of the past are imperfect, our knowledge of the past is also limited and im­ perfect. We don't know what was; we only know what is. One way to get an idea of the change that takes place is to consider the evolution of languages. Some social scientists be­ lieve that all modern languages sprang from a single root-a tiny population that probably 80 �4 Society, Culture, and Cultural Cha nge lived i n Africa or Asia about twenty thousand years ago. A sense of this evolution i s showr in Figure 4.2. According to this theory, all differences in modern-day languages are the r� sult of independent evolution of varying branches of this root language. How much a language can evolve can be seen by comparing the Old Engli'l p hrase for " How are yo u?" in a book like Beowulf ( eighth century A . D. ) : " Ha l ! Gea 1 1 weal l a s ! " ( it reads like a foreign l anguage) t o that same ph rase in Shakespeare ( s i x teenth-seventeenth century A . D. ) : " How art thou?" t o a modern variant: " How y doin' ? " Given how much languages can change without o u r noticing, we should not h� surprised by how much cultures can change and how different cultures can be fro n one anothe r. Culture, Soc iety, and Social Change 81 Factors Stabilizing Culture The various factors of soda! change lead to a dynamic, continually altering society. Change and culture will often conflict, with culture providing strong resistance to social change. In the present-day United States, underlying the many changes constantly taking place in our culture is a great body of stabilizing elements that give continuity to our way of life. In spite of the high value that some industrial societies place on so-called progress, human beings appear basically conservative. The human mind and personality are so constituted that once people acquire certain beliefs, attitudes, and patterns of behavior, they have difficulty changing them. This is especially true of the basic elements in our culture that we acquire unconsciously in the impressionable years of early childhood. Our beliefs and attitudes may include some approval of change-for example, changes in fashions-but only within limits. The mores, the principal institutions of our society, and even many of its conventions are so firmly impressed on us that they become an essential part of our own personalities. For example, the tradition that women need to be protected from the harsh realities of commercial competition, the rough and tumble of military life, and the demands of heavy physical labor played a role in the failure of the passage of the Equal Rights Amendment to the U.S. Constitution. Stability of Social Norms. Habit. A chief reason for the persistence of conventions, mores, and social institutions is that they become largely habitual for all members of the social group. Habits are ways of behaving that have been learned so well that they can be carried on without conscious attention. Once acquired, however, they are difficult to change because they become a part of the individual's personality. Attachment. Another reason for the persistence of conventions, mores, and institutions is that we and our group attach values to them. I n the case of conventions, these values may be small, but in the case of mores and certain basic institutions they are great. When we believe that established patterns of behavior have high moral value and when, in addition, they arouse in us strong emotions, these patterns become resistant to change. Social changes of any importance, even though favored by the majority, are likely to meet opposition from many individuals and groups who have vested interests. A vested in­ terest is a privilege or advantage that an individual enjoys because of the status quo, which is the existing state of affairs. A skilled plasterer has a vested interest in the plastering trade, and is not likely to favor substituting wallboard for plaster. Various unions in the building industry, in order to protect the jobs of their members, have fought against prefabricated housing and have insisted on retention of slower, more expensive, on-the-spot building methods. Industry and labor are not alone in opposing, for selfish reasons, the introduction of new elements into our culture. Many people stand to lose by changes in the status quo, not only materially but in power or prestige. Theologians, philosophers, and scientists have again and again opposed new ideas and new knowledge for fear that their own established beliefs and theories would be discredited. Value PROTO­ I N DO­ E U R O PEAN Social Change versus Social Stability Figure 4.2 According to some linguists, all of our languages sprang from a single root of a mother language. The diagram shows the hypothesized language tree. Many of the things we value in our modern society-for example, our relatively high stan­ dards of living-could not have been brought about without a receptive attitude toward so­ cial change, because all change produces new situations. However, if change occurs very rapidly it may create new problems for which we are unprepared. Instead of introducing a better world, it can bring on periodic crises and give people a constant sense of uncertainty 82 �4 Social Change and Soc i a l Problems Society, C u lture, and Cultural Change and insecurity. Every social group feels the need for some degree of stability. If this stabilit \ is to be maintained, change in our basic institutions must be gradual. It must take place h\ evolution rather than by revolution. For any large modern society to meet the needs of its people requires a remarkabh complex organization; the organization can be challenged, it can be adapted, it can h changed, but any belief that it can be destroyed and quickly replaced with somethi ng bet ter is unrealistic. Social revolutions are never complete, and they bring few of the result that were envisioned. The communist revolution in Russia, after years of struggle an1 confusion, produced Stalin; and the National Socialist revolution in Germany produCCl Hitler. S,ocial (han!}e and Social Problems Although not all social scientists would agree on the exact nature of a social problem, for our purposes the following definition suffices. For a social problem to exist, two condr tions must be fulfilled. First, there must be wide recognition of some condition that ad versely affects the welfare of a significant number of people. Second, there must be a be lid that this condition can and should be changed. In other words, a social problem is a situ.1 tion that has been recognized as adversely affecting the welfare of large numbers of people and for which it is believed a solution exists. To admit the existence of a social problem clearly implies the possibility of change, for no matter how undesirable a situation may b� it is not a problem unless we believe there is a way to change it. In primitive societie' drought, famine, and pestilence may not have been regarded as problems because nothi n could be done about them. They were simply accepted. However, they became problems I I it was believed there were ways to avert them-for instance, by making adequate sacrifiet· to the gods. In a sense, social problems are always i n dividual problems, for it is individuals whll experience their adverse effects. We call them social problems for two reasons: fi rst, be cause they affect such a significant proportion of people as to constitute a threat to th� welfare or safety of the whole group; and second, because they cannot be adequate!) met by individuals. I f they are to be solved at all, it must be by some kind of group a tion. This becomes clear when we consider such maj or social problems as widespread poverty, d isease, recurrent periods of mass unemployment, crime, family disorganiza tion, and war. As would be expected, a large modern society is much more likely to possess complc� social problems than a smaller society. Larger societies often contain important subgroup with differing cultural patterns, and these subgroups are likely to be subject to inconsisten cies, strains, and conflicts that speed up social change and often are intensified by it. When we attempt to define and study any particular social problem, we encounter cer tain difficulties. For one thing, every social problem is closely related to a number of other social problems and is therefore highly complex. To fully understand one problem, we mu't know something about the others. Thus, to understand fully the problem of family disor ganization and divorce, we may, for example, need to know something about poor housing unemployment, and social classes. There is seldom any simple or complete solution for a major social problem. Thl' causes are always complex, and practical remedies are difficult to find or implement Moreover, the action necessary to solve or m itigate a social problem may be effective! blocked by public indifference and ignorance and by the opposition of vested interests. Thr' does not mean that all attempts at social improvement are useless. It does mean, however that a number of our major social problems are likely to remain with us in some form or degree for the indefinite future. 83 Cultural Lag and Social Problems Though some elements: in culture may change while others remain relatively constant, the various aspects of a given culture are by no means entirely independent of one another. To illustrate, religion may have a substantial influence on technological change. On the one hand, it may encourage technological change by teaching that material progress is in accord with the divine will; on the other hand, it may discourage such change by teaching that mechanical innovations are works of the devil. The late eminent sociologist William F. Ogburn assigned great importance to what he called cultural lag as a source of social disorganization. According to his theory, the culture of any society constitutes a pattern of interrelated elements. Once integration and stability have been ach ieved, a change in any one part of the pattern may create strains and distur­ bances in the closely related parts. Eventually, adj ustments will be made to restore harmony, but meanwhile there may be a considerable time lag during which tension persists. In mod­ ern industrial societies, it is technological change that sets the pace. According to Ogburn's theory, technological progress produces rapid changes in the material aspects of our cul­ ture, but the nonmaterial aspects fail to adjust, or they do so only after an excessive time lag. As a result, many troublesome social problems are created. Cultural lag is the slowness in the rate of change on one part of a culture in relation to another, resulting in a maladj ustment within society. A frequently cited cultural lag is the failure of political organizations to adjust tQ advances in transportation. To illustrate, the present system of counties and county governments in the United States was estab­ lished when the only way to travel to the county seat was by horse and buggy. Because twenty miles or so was the practical limit of a day's travel, larger units of local govern­ ment would have been difficult to administer. Today there is no such restriction on travel, Social change affects our everyday l ife. A recent example of this is the PC phenomenon, which has been much in debate on col lege campuses and elsewhere nee the early 1 990s. PC stands for " pol itica l ly cor­ t . " To be PC is to be attuned to some unstated but nonetheless strong and reasonably wel l -defined set of IOC i a l norms that e m phasizes m i nority rights, women's lghts, soc ial justice, and environmenta l ism. It is a derogatory term that was created i n response to the tocial pressure on i nd ividuals to meet those norms. In the early 1 980s, the pressures on many col lege ampuses for ind ividuals to be PC were rather strong, ut the phrase d i d not exist. New courses, course equ i rements, and departments were instituted at many schools i n women's stu d i es, eth nic stud ies, a nd the environment. The u nderlying p h i losophy of some of these pres­ ures went against the grai n of some i ndividuals, as did t h e someti mes strong"arm tactics (such as sit-ins and taki ng over b u i l d i ngs) supporters used to implement nd demand change. Su pporters justified these strong­ arm tactics on the grounds that ours is a repressive society and given that repression, the ends j ustify the means. This justification went against the gra i n of an­ other Western social norm-toleration and respect for others' rights-lead ing a n u m ber of people, i nc l u d i ng some who support the soc ial norms that the strong-arm tactics were meant to ach i eve, to repudiate the move­ ment. It also led to the creation of the term PC. T h is term that had been used by Nazis to describe i ndividu­ als who held the bel i ef that the white Aryan race was superior to a l l others. The Nazi association of the term brought out the dissonance between the strong-arm tactics used by some PC supporters and the norms of toleration and respect for ind ividual rights. The debate between PC supporters and opponents concerns confl icting social norms-toleration versus soci a l j ustice. PC supporters argue that one should not be tolerant of i njustice, and that if our society were truly tolerant and mai ntai ned respect for a l l others, the movement wou ldn't be needed . But because our soc i ­ ety isn't, it is necessary to b e intolerant o f i njustice and i n tolerance. Social sc ience doesn't tel l us whether the PC movement i s r ight or wrong, but it does help us put it in perspective and have a better appreciation for the i nevitable tensions that soc i a l change brings about. 84 �4 Society, Culture, and Cu ltural Change for by automobile we can travel more than 1 00 miles in two hours or less. Business can b( conducted by fax or through the Internet instantaneously. For example, I worked on thr book while teaching university professors in Bulgaria and communicating with my U.'\ publisher by phone and email. Students of government now maintain that most of our rural counties are far too small to be efficient units of local government. However, our governmental institutions are so resistant to change that any substantial modification o existing county lines is almost impossible. Limitations of the Cultural La� Theory The cultural lag theory is useful, provided we clearly understand its meaning and its limit,r tions. In the first place, we must not assume that changes in the material aspects of cultU I \ always precede changes i n the nonmaterial aspects. There i s a constant interaction betweL'I the two, and in the long run technological progress itself is largely dependent on certau nonmaterial factors such as social attitudes and forms of social organization. Most, if no all, of the material products of culture originate in the human mind, and new matena devices will not be invented and put to use unless the nonmaterial cultural atmosphere 1 favorable. The rapid material progress characteristic of present-day society is itself the r( suit of earlier changes in our nonmaterial culture, changes that made . possible the develop ment of modern machine technology. We have already called attention to some of the� earlier developments. One was the increased receptivity to change that was brought abou by historical movements such as the Renaissance, the Reformation, and the great voyages ,, discovery. Another closely related factor was the development of mental attitudes that mad it possible to apply the scientific method to the search for truth. In the second place, when changes occur in the material culture we may sometim( have difficulty in agreeing on the kinds of adjustments needed in the nonmaterial cultu r\' Consider, for example, the invention of the automobile and its widespread adoption as means of transportation. The automobile brought about many social changes, includin changes in the customs of courtship and dating. One of its effects was to enable dating cou pies to escape, to some degree, the close supervision of their elders. Did this represent ,u unsatisfactory adjustment of our nonmaterial culture to the automobile? Some observer maintained that it did. They considered it an example of cultural lag and argued that nn ways of supervising dating couples had to be devised to maintain moral standards. Other' however, regarded greater freedom in the relations between the sexes not as a problem bu as a development that represented social progress. But even if there is general agreement that the nonmaterial culture has not satisfactorrl adjusted to changes in the material culture, making the desired adjustments may be difficul or, conceivably, impossible. The word lag implies optimistically that the satisfactory solutior of social problems resulting from technological change is merely a matter of time, but 11 some cases this time may never come. Our society's increased medical knowledge of fct. abortive processes has only added to the social conflict surrounding that issue, for instanCL' Contrasts amon£l Cultures The interaction between culture and social change leads not only to social problems withu a society but also to problems among various societies. The reason is that different cultun often evolve along quite different paths. For example, in our culture women and men '" considered equal. In certain other cultures, a woman's role is fundamentally different fron a man's role. ( For example, in some Islamic societies a woman is not allowed to drive a car Archaic tribal societies often differ from one another greatly, but unless they '" brought into contact with powerful outside influences, they tend to be relatively stahl Contrasts among Cultu res 85 Industrial societies are much more subject to change. In them people's wants tend to multi­ ply rapidly, as do the products with which to satisfy them. From one culture to another, family relations, economic activities, government, religion, and art take on an endless vari­ ety of forms. The Interaction of Humans and Society Though we are all, in part, products of our cultural environment, no two persons will have exactly the same personal experiences. Furthermore, they will not inherit biologically the same physical and nervous constitutions, and these inherited differences will cause them to react differently to many of the elements in their cultural environ'l1ent. Thus, the study of humankind is a complicated one that moves from unique traits of individuals to general aspects of society and back again to unique aspects of individuals. Therefore, such a study must encompass a wide range of issues. Cultural Relativism The doctrine of cultural relativism asserts that all cultures are for the most part equally valid. That is, cultures develop in a way that best suits the population's needs, and the cul­ tural traits within a culture have a specific purpose. Today, few students of society would question the proposition that any culture that has enabled a group to meet its basic needs, and to survive over a long period of time, is worthy of respect, as are the individuals who practice its customs and follow its moral precepts. Cultures are not as a whole good, bad, right, or wrong; they simply exist and must be judged relative to their own value system. Therefore, to understand other cultures, we must try to look at them through the eyes of those who have been brought up under their influence rather than through our own eyes. If we do this, we may find that these cultures meet needs we have failed to recognize. For example, nineteenth-century missionaries to certain South Sea islands were shocked to find that the native women wore no clothing above the waist. Part of their mission was to convert the women to Wearing Mother Hubbards, shapeless dresses that kept their bodies well covered. To the missionaries, this seemed a great gain. But from a health standpoint, it may have been unfortunate. In the tropical rainy climate of the 1 60° 140° 1 20° oo Cultural regions of the world. 86 �4 I nternet Questions Soc iety, C u l t u re, and Cu ltural Change islands, the Mother Hubbards were wet much of the time, and they may have contributed 1 1 poor health. Ethnocentrism is the tendency to judge other cultures by a person's own culture and it standards, the belief of a group that its people and its way of life are superior to all other' An extreme example in the twentieth century was the Nazi doctrine that the Germans wcH a superrace. In modern societies, feelings of ethnocentrism and chauvinism increase durin times of insecurity or economic depression. Pre-Nazi Germany was in a severe depression which many believe enabled Adolf Hitler to rise to power. In the late twentieth century, w saw, or were forced to recognize, the power of religion as a divisive force. In countries sud as Northern Ireland, India, Pakistan, and the former Yugoslavia, opposing religious group have fought bitterly with each other within their own borders, and their internal differenCl' can affect their relations with foreign countries as they sometimes attempt to influence bl· liefs in other nations. Frequently, these religious convictions are mixed with political prob !ems, making the cultural issues complex and recalcitrant. At one time, ethnocentrism may have had a survival value for some nonliterate trib.t societies by giving them confidence in the superiority of their own people and own way ol life. But nowadays, although ethnocentrism still contributes to the cohesion of socict) survival is likely to depend on achieving understanding and cooperation amon races, peo pies, and nations. Although some ethnocentrism is necessary to hold a society ogether, the rejudice, il conscious cultivation of ethnocentrism generally results in misunderstand· feeling, and conflict. Approach to the Study of Society In this book we are primarily concerned with the nature of modern U.S. society. Most of the discussion is therefore centered on our own culture and its basic values and on the prob lems that arise in connection with efforts to achieve these values. However, we can undc1 stand our own society better if we see it in perspective. Hence, throughout the book we call attention to other societies and cultures, to the characteristics common to all cultures, and to the differences that distinguish them. Because it is not the function of science to determine social values, we simply assumt for the most part the validity of the basic ideals of our own democratic society, and occ.t sionally we attempt to clarify these ideals. But our principal efforts are concerned will giving a picture of the general character of U.S. society. We explain its values and its soci.t institutions. We also discuss its failures to achieve its goals and the frustration and confli(l that are sometimes the result, and we consider the nature of its major problems and explOi l the possibilities o f solving them through social action. 87 e Important Terms n t ions ( 7 1 ) r .d alternatives ( 74) r .d diffusion (77) u .d evolution (69) n.d integration ( 74) r .d lag (83) r .d objects ( artifacts) (72) r.d relativism (85) r .d universal ( 74 ) U ll' (69) discovery (76) ethnocentrism (86) habits (8 1 ) ideology (78) Internet (75) invention (77) language (72) laws ( 72 ) mores (72) multiculturalism ( 69) pluralism ( 70) social evolution ( 76) social institution ( 7 2 ) socialization ( 69) social problem (82) social values (73) society ( 70) vested interest ( 8 1 ) tions for Review and Discussion \\'hat is the definition of culture given in the text? \\'hat is cultural evolution? I lo the authors see monoculturalism and multi­ ult uralism as opposites? Why or why not? \\'hat are some examples of conventions, mores, 1 11d laws found in U.S. society? \\'hat are social institutions? \\'hat are social values? G ive some examples. Do mu think Americans could ever accept infanticide ' ' a positive social value? Why or why not? \\'hy are the cultures of primitive societies more rntcgrated than the cultures of modern industrial I ll ieties? I x plain the relationship between culture and society. What developments of the last five or six centuries do you think have been of greatest importance in �pccding up the rate of social change? Explain ,, hy in each case. 1 0. Distinguish between the concepts of social evolu­ tion and social change. 1 1 . Explain the relation to social change of the follow­ ing: discovery and invention, cultural diffusion, ideas and ideologies. 1 2. Why does social change usually encounter strong resistance? Is this fortunate or unfortunate? Explain. 1 3 . What is a social problem? Why is a particular social problem often difficult to define or isolate? 1 4. State the theory of cultural lag and discuss its limitations. 1 5. What is cultural relativism? How does this con­ cept relate to ethnocentrism? 1 6. Of today's major social problems, which three seem to you most critical? Defend your choices. 1 7. Sometimes we are dissatisfied with aspects of our social system. Should we therefore dismantle it completely and start over? Why or why not? et Questions Key Points • • • • Culture holds society together. Important elements of culture include social norms, social institutions, material products, lan­ guage, and social values. Three popular theories of cultural change include the "good old days" theory, "the world is getting bet­ ter" theory, and the "change runs in cycles" theory. F ive factors that cause culture to change are technology, cultural diffusion, ideas and ideolo- • • • gies, collective action, and geography and climate. Three factors stabilizing culture are stability ol social norms, habit, and value attachment. The cultural lag theory states that a change in an) one part of culture may create strains and distu1 bances in the closely related parts. The doctrine of cultural relativism states that .11 cultures are for the most part equally valid. I he site www. toolpack.com/culture.html discusses , u l t ural change at the organizational (business) kvcl. What is organizational culture? Name the fllur companies used as examples of successful , u l t ures. I ook through the website for the United States < .olf Association, www.usga.org. Is the USGA a 'ocial institution? Do golfers comprise a society? < .o to www.youtube.com/watch?v=Wy9wXCxVxhw .1nd watch part one of the video about the Navajo. What resulted from the interaction of Anglo­ \rnerican and Navajo cultures? What term from this chapter best illustrates the views of Civil War general William Sherman and the actions of the U.S. government concerning the education of Navajo children? 4. Go to www.youtube.com/watch?v=_HJNVPKRtzY &feature=related and watch the second part of the video about the Navajo. Why were the Navajo codes never broken by the Japanese? 5. According to www. bmezine.com/culture/A60524/ cltamode.html, what is the underlying reason that businesses often reject applicants with body pierc­ ings or tattoos? 88 � 4 Society, Culture, and Cultural Change 7-or Further Study ------ Eberstadt, M., Home-Alone America: The Hidden Toll of Day Care, Wonder Drugs, and Other Parent Substitutes, New York: Sentinel, 2004. Varmus, Harold, The Art and Politics of Science, New Yor NY: W. W. Norton, 2008. Twenty-First Century, Penguin/Allen Lane, 2006. of Slavery to the End of Caste, New York: K nopf, 2004. Tube Baby Sparked the Reproductive Revolution, New Our Past, Choosing Our Future, Charlottesville, \ Ecodem Press, 2000. WWW York: Houghton Mifflin, 2004. Mead, Margaret, Continuities in Cultural Evolution, New Haven, CT: Yale University Press, 1964. Adherents of Cultural Relativism www.quanton1 .com/Famous_CRites.html WWW Business Culture Guide www.executiveplanet.com O'Keefe, Kevin, The Average American: The Extraordinary WWW Center for Applied Linguistics www.cal.org Search for the Nation's Most Ordinary Citizen, New York: WWW Cultural Studies Central www.culturalstudies.nel Public Affairs, 2005. WWW Folklore and Mythology Electronic Texts www.p1 Perennial/ HarperCollins, 2004. Richard, �5 Zeigler, Alexis, Conscious Cultural Evolution: Understand11 Henig, Robin Marantz, Pandora's Baby: Ho w the First Test­ Shweder, ogy, and Society Weiner, Mark S., Black Trials: Citizenship from the Beginn111 Friedman, Thomas L., The World Is Flat: A Brief History of the Schlosser, Erik, Fast Food Nation, New York: eography, Demography, W hy Do Men Barbecue? Recipes for Cultural Diversity, Cambridge, MA: Harvard University .edu/-dash/folktexts.html WWW Internet Society www.isoc.org WWW Social Change Links gsociology.icaap.org ·ading this chapter, you should be able to: 1fy the major countries on a map of the world 11 why many people believe population growth is a problem the Malthusian theory and explain how technology can affect cdictions 11 111 how culture and environment interact how geography, population, culture, and the natural envi­ t interact-and affect the ecological balance Ecology is rather like sex-every new generation likes to think they were the first to discover it. -Michael Allaby Press, 2003. Suskind, Ron, The One Percent Doctrine: Deep Inside America's Pursuit of Its Enemies Since 9/11, New York: Simon & Schuster, 2006. In the last chapter, we discussed culture, the glue that holds society together. In this chapter, we look at society from three slightly different perspectives-geographic, demographic, and ecological-discussing each in terms of its interrelationships with culture. Each of these perspectives highlights certain problems that societies face and provides a foundation for a better understanding of those problems. •ography In 1988, the National Geographic Society commissioned a study called "Geography: An International Gallup Survey." It tested 10,820 people in nine countries on their ability to identify sixteen spots on a map of the world. U.S. citizens could identify about half the places, but citizens aged eighteen to twenty-four could identify fewer than seven. People in Sweden did the best. In the early 2000s, the situation hadn't changed; as a follow-up, National Geographic-Roper conducted a survey on geographic literacy among young adults and found that only 37 percent could find Iraq on a map, and less than half of the U.S. citizens could identify France or Japan; just one-half could find the state of New York. The survey also looked at the world's cultural, economic, and natural resources. U.S. citi­ zens were least likely to know that the Taliban was based in Afghanistan, and over one-third estimated the population of the United States to be ten times the actual number. (You can take an on-line version of the Roper test yourself by visiting www.nationalgeographic.com/ roper2006/html .) On the next page, you'll find a map of the world. To keep our quiz easy, we are asking you to identify only thirteen countries (leaving out the other three spots the National 89 90 �5 Demography Geography, Demography, Ecology, and Society 160° 120° 100° 60° 20° oo 20° 60° 100° 120° 140° 160° You Understand Space? 91 Where i s Popocateptl? Vesuvius i s another famous volcano. It erupted in a.d. 79, burying an entire phical facts are concerned with space. Where is York City, and how far is it from Wichita, Kansas? ( ( y� 200, oo I · I I I A.. � I ,ou had the time and money, could you drive from lllnlapore to Paris? H. \ · ) J I I I � 20°�-+---�---�� Here is a short quiz on such geographical facts. answers are below, but they are printed upside (a manipulation of space). What is the capital of California? In what country is the mouth of the river Nile? What is the largest city in the United States? What is the difference between the Arctic and the Antarctic? Japan is an archipelago. What is an archipelago? If you s uperimposed Indonesia on a map of the United States, it would be as wide as the conti­ A geography quiz. Can you n ame the coun tries n umbered on this map? Be careful-coun tries sometimes cha11� their n ames suddenly. Within the past twenty years, Burma ren amed itself Myan mar, Kampuchea changed its n ame back to Cambodia, and Zaire changed its n ame to Democratic Republic of the Congo (its n ame before it was called "Zaire" was "The Con go"). The an swers to our quiz follow (they're prin ted upside down). :JUfV zpn os .[[ O:J!XiJW '(I UIVUJiJ!i\ '[[ AUVUI.iiJE) ·z:r v uJpJMS '6Jdt<'J'3 ·g AfV1J ·L uv dv[ ·9 J:J uV.J:J s- mssn � ·v wop'Ju!)[ pJ1zun · nental United States. Where is Indonesia? Popocateptl is a volcano that had not erupted smce 1802, but in late 2000 it began to spew flames and ashes considered so dangerous the government evacuated more than 40,000 people from their homes along the base of the mountain. city in cinders and ashes. Where is Vesuvius? 8. What is the largest city in Canada? 9. What country or cou ntries border the Black Sea? 10. Venice is famous because so many of its "streets" are really canals. Can you name another city that is laced with waterways that serve as streets? ·sJatno awos JO >tU!4l ue :> Alqe qoJd noA ('e pe ue:J 'e tsa uopul 'pue11e41 'spuepa4laN 'ua paMS} i_AeM a4l !;q 'sa qt:> a s04l aJe aJa4M ·awos aJe JaAno:>ueA pue 'elJe >ter '>tO>tl3ues 'we pJalSWI;t 'WI04>t:JOlS ·f;uew aJe aJa4 1 ·ol ·e tuewoH pue 'e !Je l31ns '!;a>tJnl 'a uteJ>tn 'e tl3JOa8 'e tssnt� ·5 ·olUOJO! ·g ·aAq:>e IJl i S aJe 4l08 ·!;1el1 ut S ! sntAnSafl pue o:>txaV\1 ut st l l dale :>odod 'L ·e11eJlSn1;t JO lSaM4lJON ·g ·spUeiS! JO l3U!JlS V ·g ·a1doa d aAqe ulOU lnq SU! nl3ua d se4 :>tpJelUI;t a4l !sJe a qJe1od pue a1doa d se4 :>P ! JV a41 ·pue1 S! :>q:>JelUV a4l !JaleM S! :JIP JV a41 :sJa4lO 'PJO I M a4ll0 wonoq uJathnos a4lle st :>q:>JelUV a4l pue PIJOM a4l JO dol uJa4lJOu a4lle st :>q:>JV a4lle4l st :>qeweJp lSOW <l4llnq 'sa :>uaJawp JOlOI e aJe aJa41 ·v ·,�;l!:J >tJOA MaN·£ 'ldAl33 ·c ·oluaweJ:>es ·1 :sJaMsuv ·r vpvuv:J ·z sJW1S pi11!un . Let's ho1 Geographic asked about). The countries we ask you to name are numbered percent). 75 about scored (who Swedes you're as smart as the 1 Even if you scored 100 percent, you do not necessarily know geography.1 Geography that focust science social a is Geography are. places where of knowledge the than more far environ on the spatial interaction of human beings with each other and with their physical how th are, they where ment. Geography considers questions such as why cities are located h1 don't. others while develop environment shapes society's culture, and why some areas befor culture Western by touched little was example, one explanation why central Africa of its rivers are !(I twentieth-century technological advances in transportation is that most up the rivers inh boat a get to difficult and expensive too just difficult to navigate-it was the interior of the continent. I Where does such knowledge fit into the social sciences? As we emphasized in Chapter rs wh• enormous overlap exists among the social sciences. Therefore, it is not only geographe and why som have considered the location of cities, the effect of environment on culture, In fact, sou too. points, areas develop rather than others. Sociologists have considered these many of th raise to first the were rs ologists and some social scientists other than geographe that sociol say they this, about asked are s issues we discuss in this chapter. When geographer or equivocati science social of bit a be to seems claim ogists actually are geographers. That h is it than idea particular a had has science social which know but it is less important to know the idea itself. emography Societies are made up of people. Whereas geography approaches the study of society by means of a spatial dimension, demography approaches it through a people dimension. Demography is the study of the number and characteristics of a population. It is con­ cerned not only with the number of people in an area but also with the factors that may be causing their number to increase or decrease. These include matters such as the state of health care and sanitation, the extent to which birth control is practiced, and the availability of food and other resources. Further, demography concerns the distribution of people among countries and regions and the different kinds of people who make up any given population and their physical, mental, and cultural characteristics. In this connection, de­ mographers classify and count people on the basis of characteristics such as age, gender, marital status, occupation, income, nationality, and race. Population Estimates When we add up the population statistics for all countries, we conclude that there were slightly less than 7 billion people in 2010. Population is divided up unevenly among countries and regions (see Figure 5.1). China has the largest population of any country, 1 If you think you did well on our little quiz, remember that the places we chose were some of the mt obvious. If we had asked you for cities, rivers, and oceans, the quiz would have been more difficult. with about 1.3 billion people; and Asia, with about 4 billion people, has the largest popu­ lation of any region. 92 �5 Geography, Demography, Ecology, and Society Demography - 93 Death rate � r 1960 '62 '64 '66 '68 '70 '72 '74 '76 '78 '80 '82 '84 '86 '88 '90 '92 '94 '96 '98 '00 '02 '04 '06 '0 8. A global inventory of human settlements (taken by satellite). The lighted areas show dense settlements that have in come n ecessary to pay for lighting. "thrntes and death rates, , '• 1960 to 2008. (Sources: U.S. Bureau of the Cen sus; U.S. Departmen t of Health and Human National Vital Statistics Report.) (b) Growth in world population: 1950 to 2050 (a) The twenty most populous countries in 2009 (in millions) (estimnted) China India European Union United States Indonesia Brazil Pakistan Bangladesh Nigeria Russia japan Mexico Philippines Vietnam Ethiopia Egypt Germany Turkey 1,339 1 '166 492 307 240 199 176 156 149 140 127 111 98 87 85 83 82 77 Dem. Rep. of the Congo Iran 69 66 D D • • 6000 5500 5000 Determinants of Population Growth 1950 1975 2005 Est. 2050 4500 (;) 4000 c: 0 � 3500 -;;- 3000 E .� � 2500 � 2000 c. 1500 1000 500 0 1 Oceania with Australia c[(l dl_. I lUI d L. IIlii North Latin America America Europe Africa Asia with Caribbean Figure 5.1 The population s of the twenty largest coun tries are listed in (a). In (b), distribution of the world's population by regions lj given for 1950, 1975, 2005, an d estimates for 2050. (Some of the changes are due to chan ges as to which region countries 11 in cluded.) Note that Oceania in cludes Australia. (Sources: CIA World Factbook; Population Division of the Department P Econ omic an d Social Affairs of the United Nations Secretariat. ) Because two key determinants of the population of any country are its death rate and its birthrate, these deserve special consideration. Figure 5.2 shows the U.S. birthrates and death rates since 1960. The current world death rate is considerably lower than in the distant past. How much further the death rate will drop in coming years will depend both on changes in the age composition of the world population and on the rate of advance in medical science. Although some further reduction in the death rate can be predicted, unless we make great advances in controlling degenerative diseases and the aging process itself, the future of population growth will depend largely on the trend of the birthrate. As death rates decline, the world population will increase unless birthrates also fall. Developing countries have already seen their populations increase because of their declining death rates, despite the efforts of some of them to decrease their birthrates. In Europe and the United States, the birthrate has been declining since the nineteenth century, although upswings have occurred periodically in one country or another. In the United States, for example, although the birthrate rose slightly in the beginning of the 1990s, most demographers believed this was a temporary phenomenon, and the long-run decline of the birthrate will likely continue due to social and economic forces that make people less willing to accept the trouble, expense, and responsibility involved in raising large families. Birth control has been so effective in the United States, Japan, and western Europe that their population growth has slowed to a crawl or 94 �5 Geography, Demography, Ecology, and Society even begun to decline. In less developed countries where children play an important c�· nomic as well as social role in the family, the population growth has continued at a high r.t despite governmental attempts to slow it down. In India, a program to force sterilizatu was a factor in the fall of the government of Indira Gandhi in 1977. She was later reelectc and the program was significantly modified. In China, strong social and economic pressures to have only one child are applied families. These include peer pressure (families deciding to have more than one child oft are socially ostracized), economic pressure (families deciding to have more than one cht are deprived of certain rights to housing, whereas those agreeing to have only one child financially rewarded), and counseling (the party leaders visit and explain the reasons .11 need for birth control). The one-child program has not halted the rise in the birthrate l cause, despite official pressures and even fines of as much as $1,000 for families havu more than one child, many couples are choosing to have more children. Probably the most original approach to reducing the birthrate exists in Thailand, whl the head of the family planning services uses a condom as his calling card. There, rath than university names or slogans on T-shirts, many wear T-shirts with the message, Condom a Day Keeps the Doctor Away." Contraceptive information is printed on thin such as bottle caps, towels, and ice cream sticks. The Growth of Population over Time The past history of population has been one of significant but not continual growt Instead, it has been marked by periods of expansion and contraction. Since 1800, howev the world population has grown rapidly. Why Population Has Grown Rapidly since the 1800s. The great increase in wor population since 1800 has resulted directly from a continuing decline of the death rate. '1 \•. factors are responsible for this: first, great advances in sanitation and health care, .1 1 second, a relatively rapid increase in the per capita output of both food and manufacturl goods, so that for large numbers of people standards of living rose substantially ab<l subsistence level. In part, the increase in per capita output was made possible by tl opening up for trade and settlement of some of the undeveloped areas of the worl Principally, however, the increase was a result of the Industrial Revolution. The grc advances of science and technology in the nineteenth and twentieth centuries madl· possible for the world to support a rapidly rising population. Furthermore, in Westc• industrial countries, not only has it been feasible to support larger populations, but it h been possible to support them at higher standards of living than were known in the past Unequal Population Growth since the Late 1800s. In the latter part of the nineteen' century, some of the less developed parts of the world began to experience some of tl benefits of modern science, industry, and transportation. Sanitation and improved heal care began to reduce the death rate and to increase the rate of population growth. Some the less developed regions of the world, such as Asia and Latin America, made substanti.1 greater gains in population than Europe, the United States, and Canada. However, increases in population in the developing areas of the world often occurred the expense of standards of living. Birthrates remained high and production expand slowly. If an increase in the food supply temporarily put off famine or relieved malnutrit111 it was soon matched by a further increase in population. Since 1900, the population of A has increased fivefold; today, nearly 60 percent of the people of the world are found there Population Growth in the Future. As you can see in Figure 5.3, demographers believe tl world population will grow more and more slowly. They see the net gains in populatl• decreasing at the beginning of the twenty-first century and almost ending by the beginm Demography Net gains in world population 95 2,170 mil. 1,520 mil. Ill 1,780 mil. 1,067 mil. 600 360 mil. IT:J[J 1 9001925 19251950 UUU[J cb� 4 10 19501 975 1975- 2000- 2025- 2050- 2075- 2000 2025 2050 2075 2100 r Figure 5.3 Population growth's peak period. Curren t trends suggest that addition s to world population will come more slowly in the future. (Source: Population Division of the United Nation s. ) of the twenty-second century. That decrease will not help equalize the population among areas; the rate of population growth is, and will probably continue to be, much higher in some areas than in others. The Problem of Counting The population figures given in this chapter are estimates; some are not very good estimates. In fact, we have practically no population figures based on an actual census except for those of relatively recent years. A census is an official, systematic count of the number of people who live in a given area. Usually, when people are counted, other kinds of information about them, such as age and gender, are also gathered . Lacking any census figures, we can make only rough guesses about populations and population changes that occurred before the latter part of the eighteenth century. The first reliable census of a European country was taken by Sweden in 1749. In the United States, the first census was taken in 1790. About that time, several other European countries began to take censuses, and by 1850 reasonably accurate figures were available for western Europe, the United States, and some countries in other parts of the world. Today, we have fairly dependable population statistics for most countries, yet even the simplest numbers, such as how many people there are in a country, often are subject to debate. Although U.S. census figures are about the best in the world, after all the counting of our full 1990 census was done, there were still disputes about how many people were missed. The Census Bureau accepted that it actually missed about 12 million people in its count and that it double counted about 7 million people, making its count about 5 million (12 million minus 7 million) too low. Final compilation of the U. S. census of 2000 shows the total U. S. population at 281,421,906. This means that 33 million people were added to the total popu­ lation from 1990 to 2000, representing the largest increase ever in population from census to census. The U. S. Census Bureau believes that this may be because this time there was bet­ ter counting of undocumented immigrants. Why are the statistics not better? Ask yourself how you would work out a system to count more than 300 million people constantly on the move, including homeless people and illegal aliens, and you'll quickly see why. There is a significant debate about whether sampling techniques should be used to "fill in" for the numbers of people who are missed when they are not individually counted. The issue was politically charged because allocation 96 �5 Geography, Demography, Ecology, and Society of federal grants is often dependent on formal census counts. The moral of this story is th social scientists use census data, but they use them carefully. They use their own estimate' 1 the future even more carefully. The Malthusian Theory For more than a century, most discussions of the population problem have started from tl theory of Thomas Robert Malthus concerning the relationship of population to the mC<II of human subsistence. Malthus was a Church of England clergyman and an early Englt economist. In 1798, he published a short treatise called "An Essay on the Principle Population as It Affects the Future Improvement of Society." During the next thirty year' 1 more, he revised this treatise six times. The seventh and final edition was not publish\ until 1834, after the author's death. Throughout all these editions, the basic argum� remained the same, but in the second and later editions Malthus brought together a com11 erable amount of data to support his population doctrines. Population and Means of Subsistence Reduced to its simplest terms, the Malthusian theory is the belief that a population tend' outrun the means of subsistence. This was not a new idea, but Malthus developed it WI such clarity and force that his treatise attracted wide attention. He contended that people .1 impelled to increase their numbers by a powerful natural urge, the attraction between m.1 and female. As a result, if there are no obstacles population will increase rapidly and with11 limit. Furthermore, it will increase in geometric ratio-that is, by multiplication. By tl Malthus meant that if a population could double in, say, twenty-five years, it would doul again in the next twenty-five years, and so on indefinitely. He believed, however, that tl means of subsistence could be increased only in arithmetic ratio-in other words, slowly a1 to a limited extent. Consequently, population would alw.1 tend to press against the food supply. When the food supp became inadequate to support more people, any further i1 crease in population would be prevented by the "posith\ checks of malnutrition, famine, disease, and war. Malthus's belief that population growth would necl sarily tend to outrun means of subsistence was based on tl law of diminishing returns. In terms of the relationships I> tween land, labor, and food output, the law of diminishin returns means that if more and more people are employ' on a given area of land, even though total output 111 continue to expand, beyond a certain point average outp per worker will shrink. The amount of good farmland in the world is limit� Once all the undeveloped regions of the earth have been ,,. tied and cultivated more or less intensively, further attemp to increase food production will become less and less effl tive because they will bring into operation the law of dimu ishing returns. It will still be possible to increase output I employing more workers on the land already cultivated 1 by cultivating land that is less fertile. However, assuming 1 advances in agricultural technology, this will bring about decrease in the average output per worker, a decrease th will become greater and greater as attempts are made raise production to higher and higher levels. It is poss1l that advances in agricultural technology might, for a l<u Crowded street in New Delhi. Demography 97 time, more than offset this tendency toward diminishing returns, but they could not do so indefinitely if population continued to grow. Sooner or later, the amount of land per person would become impossibly small. Malthus recognized that certain preventive checks might conceivably slow population growth by reducing the birthrate. These preventive checks he summarized under the gen­ eral heading of "moral restraint." By this term he apparently referred to premarital chastity and late marriage. However, he did not believe that these preventive checks were likely to be practiced sufficiently to have much effect in keeping down births. Malthus apparently op­ posed both postmarital abstinence and contraception. He thought that marriage and its sexual satisfaction should carry with them the risks of bringing children into the world along with the responsibility to support them. Otherwise, people would get something for nothing and be deprived of their main incentive for economic improvement. Because Malthus had little hope that the preventive checks would be effective in keeping population from exerting pressure on the means of subsistence, he was pessimistic about the chances of greatly improving the economic condition of most people. However, in the final edition of his essay, he recognized that conditions in Europe were slowly improving in spite of the growth of population, and he expressed the hope that some way might yet be found to make possible the "gradual and progressive improvement" of human society. The Concept of Optimal Population Given the level of technological development, in any country growth of population beyond a certain point would mean lower standards of living. Relative shortages of farmlands, fuels, timber, metals, and other resources would develop. On the other hand, a very small popula­ tion would also have disadvantages. In very thinly populated areas, it is often difficult to maintain law and order, to provide medical and hospital services, or to provide schools. Also, there are not enough people to build adequate roads or to make it worthwhile to oper­ ate public transportation services. The optimal population is the population that would maximize welfare for its members. What, then, is the optimum, or best, size of population from the standpoint of maximizing welfare? Actually, there is no way of determining with even approximate accuracy what the op­ timal population of a country would be at any given stage in its development. Yet for any country, there is likely a point beyond which an increase in population would strain its re­ sources and reduce average output per worker, and hence reduce standards of living. This view, however, is disputed by Julian Simon, author of The Ultimate Resource, who argued that people are the ultimate resource and that there can be no such thing as too many people. People create ideas, and as they do they create the technology by which the world can support an ever-larger population. Most demographers do not share Simon's optimism. They believe that India, Pakistan, and China have already exceeded their optimal quantity and that the United States and western Europe are approaching theirs. But such views are primarily held by demographers from the United States and western Europe who have a Western cultural bias, and any state­ ments about optimal population are inevitably culturally determined. Poor have-not nations, for example, lay the blame for shortages of resources and other goods on the excessively wasteful policies of developed countries, with their emphasis on con­ sumption rather than conservation. Some critics claim that Western nations are using the pop­ ulation issue and the need for reduced birthrates in countries with high birthrates as another form of imperialist control over these areas, which were so recently freed from colonialism. The Question of Population Quality In the past, some students of human society have been concerned about the possibility that so­ cial forces would bring about a serious deterioration of the biological quality of human popu­ lations. They feared that the danger would be greatest in the countries that have made the most 98 chaptvv 5 Geography, Demography, Ecology, and Society social and economic progress. This deterioration, they felt, might take two forms: (l) a dcd1 of the physical quality and stamina of individuals, with an increasing incidence of physical 1 fects, and (2) a decline of native intelligence-that is, the capacity for mental development. Their arguments as to why this might happen were varied. One was that the advan� we have made in medicine and science have meant, among other results, that it is easier t children who are weak or have physical disabilites to survive, grow to maturity, and h. children of their own. Modern medicine makes the principle of the survival of the fittest 1 operative, or greatly weakened. In short, they argue that, in a worst-case scenario, hum,u tarianism and science, instead of saving the human race, will ultimately destroy it. A second argument being made today is a socioeconomic one. It goes as follows: 'A the development of the two-income family, intelligent individuals will choose careers m marriage and family and will have few children, leaving the less advantaged and less cd cated to bear the majority of the children. To support this view, they usually point to t difference in the birthrate between the upper and middle classes on the one hand and t less advantaged classes on the other. No one can be certain to what extent economic and social success result from inbo qualities that the upper classes possess in greater measure than the other classes. We km that individual success depends on both social environment and biological inheritall< There is always an interplay between the two. But to move from this obvious fact to a bd1 that we can determine whether society will be better or worse off when one socioeconon group has children while another does not is a difficult step that few are willing to t.1 Moreover, most people are unwilling even to consider the social measures required to�· sure that only certain groups have reproductive rights. Given modern developments in genetic engineering, these issues are likely to becor more and more important. For example, it is now possible with amniocentesis to check a fll for gender and for some birth defects long before it is born. Eggs from one woman can I transplanted into another, and sperm can be frozen to be used for artificial insemination. Sor time in this century, it may be possible to change the genetic characteristics of sperm and c� so that children's characteristics can be controlled. In principle, couples might go to a gen�· engineering company and order the type of child they want ("girl who will grow up to be 5 (, 7 inches tall and weigh 128 pounds, with an IQ of 217;·and so forth). The questions som faces are: Should such technological advances be allowed to continue? And if they are, wl should do the specifying? Some societies have taken an active role in trying control the genetic qualities of their population. For 1 stance, Singapore, whose government has successful administered severe laws against drug dealing, porn<• raphy, and littering, attempted in the 1980s to institut1 program whereby extra privileges were promised women university graduates who married and had ch dren. At the same time, it was proposed that bonusc' $5,000 be awarded to less educated mothers who su mitted to sterilization. The government's stated reaso for these proposals were that uneducated women w1· having twice the number of children as college grad ates were, and the prime minister claimed that th would "deplete the talent pool" and that the "level 1 competence would decline." However, women ,u others perceived the program as unfair; scientists qu1 tioned the assumptions on which it was based; k educated women did not want to be sterilized, even I< $5,000; women did not want to be treated as breed11 stock; and the experiment was withdrawn after about "Frankly, I think we'll regret introducing these organisms year and a half. into the environment." Ecology: The Interaction of Geography, Demography, and Environment 99 olo�y: The Interaction of Geo�raphy, mo�raphy, and Environment Geography and demography come together in a consideration of environmental issues and ecology. The environment is the sum of all the external influences that impinge on the human organism. These influences exert their effects through physical stimuli that produce sights, sounds, tastes, smells, and other bodily sensations. These sensations make us aware of our en­ vironment, and through them we are able to interpret this environment and react to it. The social environment is composed of the elements in our surroundings that are hu­ man or of human origin. The natural environment is composed of the nonhuman ele­ ments in our surroundings. The general character of our social environment depends chiefly on the culture of the group to which we belong. The character of our natural envi­ ronment depends primarily on the climate, water resources, soil, topography, plant and an­ imal life, and mineral resources of the part of the world we live in. However, once human beings have lived in an area for a long time, they are certain to have made changes, for bet­ ter or worse, in their environment. It then becomes difficult to draw a sharp line between the constructed physical environment and some aspects of the natural environment. The Ecological Balance Ecology is the science concerned with the interactions between living things and their envi­ ronment. The environment of each species of organism includes not only the inanimate world but also all other living species that affect it directly or indirectly. It includes the pop­ ulation density of its own members and the character of their behavior. Human ecology is the part of ecology that deals with the way in which human societies adjust to their environments. It considers the processes by which populations adapt to their surroundings, taking into account the technology and the types of social organization by which adjustment is achieved. Human ecol­ ogy applies some of the findings of the biological sciences to prob­ lems dealt with by the social sciences. In the world of nature, there is normally a movement toward ecological balance. Ecological balance is the term applied to the state achieved when each plant or animal species, with its own characteristics and needs, has adjusted to its environment and sur­ vived, and when other species, which have likewise adjusted to the environment, prevent it from expanding indefinitely and from crowding them out. Most species depend on other species for food or for meeting other needs. Though the natural ecological balance is not absolutely static, normally it changes slowly over long peri­ ods of time. New species that can make superior adjustments evolve and may destroy or crowd out old species and render the latter extinct, or changes in climate may occur such that some species cannot survive. Modern times have brought rapid changes in the ecological balance in many parts of the world. Sometimes, the results have been good from the human point of view, but sometimes they have been almost disastrous. W hen rabbits were introduced into Australia where they had no natural enemies and multiplied by the millions, they became a national problem. By building the St. Lawrence Seaway, engineers allowed lampreys to enter the Great Lakes, where they almost completely destroyed the whitefish. People 100 �5 Hometown , USA. Geography, Demography, Ecology, and Society have caused the introduction of insect pests from one part of th world to another, often with disastrous results. After World War II the nearly worldwide use of an insecticide called DDT did indcn control or eliminate undesirable insects, but it also destroyed 1 damaged other forms of animal life and even human health. Examples of threats to the ecological balance are many: glob warming, industrial pollution, smokestack emissions, acid ra111 depletion of water tables, and paving over of fertile soil and plan and animal habitats. These by no means exhaust the list, and w have not even attempted to describe ecological catastrophes 111 whole continents, such as Africa. Since the 1970s, the United Stat� has had to face the fact that many industrial, military, and agricul tural chemicals are not only lethally affecting animal life but ab• exercising long-term effects on human health, and that the cost < eliminating these chemicals and repairing their ravages (whc1 possible) is astronomical. The costs are incalculable of policin hazardous waste disposal, discovering and salvaging previou�l used sites, finding alternative chemicals to those that have cause trouble, and devising safe methods for disposal of wastes from in dispensable activities such as radioactive medical technolog\ Today, given snowballing technological growth, the possibility of irreversible change 1 enormous. For example, the explosion in worldwide commerce and travel has alread meant that plants, animals, and insects have traveled outside their natural habitats and <11 crowding out or eliminating plants and animals in the localities to which they emigratt Some scientists predict that, in that same way, the migration of viruses will spread nearl untreatable disease far from the sites to which such viruses were formerly confined. Pollution A major concern of ecologists is pollution-the destruction of our natural resource base h• the productive process. Over the past fifty years, there has been extensive pollution of river lakes, and forests by sewage and industrial wastes. As early as the 1950s, even in such a Jar� body of water as Lake Erie, pollution reached a level that destroyed commercial fishing an1 made most beaches unusable. Pure air also has become scarce in many of our urban center where the inhabitants often must breathe a mixture of air combined with auto fumes, dmt and various waste products from trash fires, incinerators, and the smokestacks and flares o industrial plants. Improperly disposed toxic chemicals and various noxious waste produ't have invaded the soil in some areas, and sometimes whole communities must be mOVl'l while their former homesites are cleaned up. In other communities, people suspect th.t· various illnesses are caused by this kind of problem, but no cleanup seems immediate!. practical. In the United States, a federal law enacted near the end of the twentieth centu1 mandated that by 2000 nuclear waste must be safely disposed of in sites where no leakag will occur for "thousands of years." This mandate has proved impossible to implement partly because it is seemingly beyond current technology, but principally because people de not want such a site anywhere near where they live, and we are seeing much vigorou disagreement as localities all strive to avoid being chosen. NIMBY (Not In My Back Yard has become a watchword of modern times. Some pollution is an inevitable consequence of production, presenting society with trade-off: Do we want more material things, or do we want a more pristine environment? II making that decision, both the costs and benefits must be considered. Although people can agree on the need for conservation and strong antipollutior efforts when costs are not considered, when costs are considered there is significantly b agreement. Let's consider some of these costs. They involve restrictions on individu.• Ecology: The Interaction of Geography, Demography, and Environment 101 actions, relocation of industry and jobs, new bureaucracy, and the development of expen­ sive new technology. In. assessing the issue of pollution, the costs as well as the benefits must be considered. Therefore, it is unlikely that we will decide to institute a "no pollution" policy; that would be impossible to implement. And even approaching a standard of"little" pollu­ tion would be too expensive. Instead we are likely to choose an "optimal level" of pollution. Since the 1960s, the United States has made considerable gains in fighting pollution, but it has not been easy. The central problem is what is called the "tragedy of the com­ mons." Because the environment belongs to society and not to specific individuals, no indi­ vidual has the incentive to care for it. A number of governmental antipollution agencies have been established. The Environmental Protection Agency (EPA) is the most important government antipollution agency; it directs antipollution efforts and monitors environ­ mental problems. Some of its gains have been impressive. In the early 1950s, Lake Erie was so polluted by untreated sewage from surrounding areas that many forms of animal life could not inhabit it. Today, it is well on the way to recovery. Sewage treatment plants were mandated, and firms were prevented from dumping industrial waste into the lake. Laws also were passed dealing with oil spills so that companies responsible for the spillage are responsible for cleaning them up. Similar laws have been passed concerning other types of pollution. Many environmental issues have international dimensions. An example is our recent effort to control global warming. The large majority of scientists believe that the emission of industrial waste gases is causing global warmfng and that this global warming could have dire consequences in the future. In 1997, delegates from 160 countries attended a ten-day conference on this subject in Kyoto, Japan. This conference resulted in the issuance of a document called the Kyoto Protocol, which provided that industrialized countries must cut emissions of these gases, especially carbon dioxide. Some in the United States were upset that only industrial countries would be required to reduce emissions and that developing countries such as China and India would not have to comply. The exception of developing countries was justified by the argument that they began emitting later than industrial countries, and they need to "catch up" economically. The Kyoto Protocol set 2000 as the date for its accomplishment. Unfortunately, no industrial nation met that deadline, and by 2000, U.S. emissions were about 13 percent above 1990 levels. The problems of the protocol, which has no enforcement mechanism, were dealt with by setting the deadline further and further ahead. Ultimately, the U.S. announced that it would not support the protocol because it believed it would be bad for the U.S. economy and, moreover, would not work even if attempted. Instead, President Bush declared the protocol fatally flawed: he set forth what he called the Clear Skies Initiative, which was a plan to combat global warming through voluntary measures, with a cap­ and-trade approach that rewards industries that reduce pollution. In a cap-and-trade approach, a total amount of pollution is deter­ mined (the cap) and new sources of pollution must buy the rights to pollute from existing polluters who agree to lower their pollution by an offsetting amount so that total pollution does not increase. With the election of President Barack Obama, the U.S. policies on climate change changed. Obama introduced a cap and trade system for the U.S., and demonstrated a willingness to work with other countries in the world to attempt to arrive at a world climate policy that would show global warming. The U.S. played an active role in the Copenhagen Climate Conference in 2009. Nonetheless, the political problems of achieving a meaningful climate change policy acceptable to all countries was immense, and there were enor­ mous fights in Copenhagen between developed and developing countries about who should pay the enormous costs to combat 102 �5 Internet Questions Geography, Demography, Ecol ogy, and Society global warming. So, even with a U.S. seemingly committed to the goal of fighting glob. warming, it is unclear whether the actual policies seen as politically feasible will be sufficirn to do the job or just "feel good window dressing" policies. Obama's decision in 2009 to alloc.rt hundreds of billions of dollars of pollution permits free to firms was not an encouraging sigr Conservation and the High Price of Gasoline With the extremely fast growth of the Chinese economy, and the overall growth of th world economy, demand for energy and raw materials has increased substantially over th past decade. This increase in demand has set in motion an increase in the price of many ra materials, the most noticeable of which has been oil. It has also led to many calls for U ' citizens to conserve energy and other natural resources. Many of those who favor conservation lament the high price of gas and oil, but econ1 mists point out that it is the way in which the market coordinates available supply with d�· mand. Specifically, the higher price leads to more exploration and research into alternat h technologies, such as hydrogen-based fuel cells, or cars designed to run on ethanol. Th leads to an increase in the supply of energy. Simultaneously, the increase in price cuts ba' on the quantity of the gas demanded. If $3 .00 a gallon gas does not end the U. S. consumer's desire for SUVs, $10. 00 a gallo1 gas probably will; and if China's economy continues to grow at its current rate, no new m.1 jor technological development occurs, and no new oil supplies are found, then such pri'' are possible, as the market does its job. In a market economy, if society resists adjusting 11 use of resources to the available supply through conservation, a rise in the price of the r sources will force society to conserve. Conclusion This chapter has reviewed geographic, demographic, and ecological problems that socirt faces and has shown some of the ways society meets them. Of the three types, the gco graphic problems are the most constant, but with new technologies even these can chang�· The Internet, for example, has made it possible for more individuals to work in more rur; areas and has increased the range of areas where businesses can operate. Demographic problems are constantly changing: As societies become richer, their pop ulation growth generally decreases on its own. Nonetheless, population problems play ccn tral roles in many countries' social problems. Whereas demographic problems generall decline as a country gets richer, ecological problems often become more severe. But th wealth of society also gives it the means to deal with those ecological problems. W hether I' actually does deal with them is a political issue; often, even though the means are there, t h political will i s not. Social scientists study such problems and work on alternative solutions that circum vent the political problems. Finding an acceptable alternative is seldom easy, but that wo1 generally leads to a better understanding of the problem and of alternative solutions. /(ey Points • • • K nowing the geography of the world is an impor­ tant skill. The world population has fluctuated over time, but since the 1800s it has grown substantially. The Malthusian theory is the belief that popula­ tion tends to outrun the means of subsistence. • The law of diminishing marginal returns: II more and more people are employed on a givo area of land, beyond a certain point-evt though the total output may continue I t expand-average output per worker will shrink. Ill' birthrate and the death rate interact to deter­ l l lle population growth. I h�· ecology of our world is affected by human 1 10 11 , the life and death of species, climate • 103 changes, productive changes that result in pollu­ tion, and conservation measures. There is often a trade-off between economic production goals and environmental goals. me Important Terms geography (90) human ecology (99) Kyoto Protocol ( 10 1 ) law of diminishing returns (96) Malthusian theory (96) natural environment (99) optimal population (97) pollution (100) social environment (99) tions for Review and Discussion What are some of the questions that geography is oncerned with? I l ow does geography interact with sociology? I low many people are there in the world? What is the world's most populous country? I· x p lain some of the problems that a country faces 111 trying to limit its population growth, including t he problems it will have if it is successful. What is the Malthusian doctrine? Have the pre­ dKtions of Thomas Mal thus come true? I dentify some of the reasons why the world popu­ J.rtion has grown in the past 200 years. What are some possible ways to limit population? �1cntion natural causes as well as those encour­ lj.\ed by government or other policies. I n practice, are all policies for limitation of popu­ l.ltion growth acceptable? If not, which ones would you argue against? 9. What are some of the costs of pollution? What are some of the gains from pollution? It is very expen­ sive to clean up areas that have been polluted. What are some ways you can think of to pay for such cleanups? 10. You are a government planner in the country of Growthlandia. You would like to know where to build new schools, where to close schools, and whether it makes sense to embark on an ambi­ tious program to expand the number of j ob op­ portunities. What would you like to know about the composition of Growthlandia's population now and how that population is likely to change in the next fifteen years? 11. How would your life be different if gas cost $10 per gallon? 1ternet Questions ( .o to an atlas site (for example, www.atlapedia. \ l lm) and look at a country or region. Look at its physical and political map. What borders it? Which borders are natural? < ;o to www.maxshores.com/kudzu and read .rbout kudzu. What is it? What are its benefits to the southeastern United States? What does the U. N. see as one of the most power­ l u i constraints on realizing women's rights and .�thieving the Millennium Development goals in its Progress of the World's Women Report for at http://www. unifem. org/progress/2008? 4. Go to www.geohive.com/earth. Looking at the lat­ est figures for populations of countries by sex, what two countries have the highest percentage of females? Of males? 5. W hat is the ozone layer according to the E PA, www. epa.gov/docs/ozon e/science/q_a.html#q 1? What is today's UV index value for your zip code ( www. epa.gov I sunwise/uvindex.html)? �5 104 Geogra phy, Demography, Ecology, and Society 'lor Further Study ---Bargmann, Julie, Toxic Beauty: A Field Guide to Derelict Terrain, Harrisburg, PA: Phaidon Press, 2 005. Bureau of the Census, Current Population Reports, Washington, DC: Population estimates for the United States issued monthly; special reports from time to time. Colbert, Elizabeth, Field Notes from a Catastrophe: Man, Nature, and Climate Change, New York: Bloomsbury, 2006. Simon, Julian, The Ultimate Resource, Princeton, N Princeton University Press, 1981. Smith, Norris, Changing U.S. Demographics, New York: II.\ Wilson, 2002. Speth, James Gustave, Red Sky at Morning, New Haven, l Yale University Press, 2 006. Statistical Abstract of the United States, Washington, DC: L.S Friedman, Thomas L., The World Is Flat: A Brief History of the Twenty-First Century, New York: Farrar, Straus and Giroux, 2 005. Friedman, Thomas L., Hot, Flat, and Crowded, New York, NY: Farrar, Straus & Giroux, 2008. Goodell, Jeff, Big Coal: T he Dirty Secret Behind America's Energy Future, Boston: Houghton Mifflin, 2006. Bureau of the Census, issued annually. WWW Ecology Global Network http://ecology.com/ind .php WWW The Environmental Protection Agency www.epa.gu Malthus, Thomas, An Essay on the Principle of Population, or, A View of its Past and Present Effects on Human Happiness, New York: Cambridge University Press, 1992 (first published in 1798). Mead, Margaret, ed., Cultural Patterns and Technical Change, New York: New American Library/Mentor, 1956. Newbold, K. Bruce, Six Billion Plus: Population Issues in the Twenty-First Century, Lanham, UK: Rowman & Littlefield, 2002. Riggs, Stan, and Dorothea V. Ames, Drowning the North WWW Foundation for Clean Air Progress w1• . cleanairprogress.org WWW GeoHive-Global Statistics www.geohive.con defaultl.aspx WWW Test your Geographic Knowledge www.mccollam.con fun/geoquiz WWW National Geographic Maps http://mJI .nationalgeographic. com/maps (accessed June 2 2 , 200'1 WWW www.nationalgeographic.com/roper2 006/pd FINALReport2 006GeogLitsurvey.pdf WWW The United Nations www. un.org WWW The U.S. Bureau of the Census www.census.gov (hnology and·SO(iety eading this £hapter, you should be able to: technology and explain its importance n how the Industrial Revolution significantly changed all of society uss the role that technology plays in social change nt both sides of the limits-to-growth debate some of the important technological developments of the past ulate on likely important technological developments in the Political activity is shadow­ play ...; technology is the underlying reality. Engineers, not poets, are the secret legislators of the world. -David Warsh Carolina Coast, College Park, MD: North Carolina Sea Grant, 2 003. Technology is the universe of tools, means, and methods through which we interact with our environment. We devote a separate chapter to technology because it is an integral cog in so­ cial and cultural change. It both causes social change and is itself influenced by culture. In our brief overview of history, we saw the importance of technology-in the initial establish­ ment of cities, made possible by crop cultivation; in the spread of population to overcome environmental limitation, through the use of fire; and in the evolution of our thinking about society, by means of printing. That evolution is continuing. Computers, robots, gene splic­ ing, nuclear research, interactive information systems-all are currently in the process of changing our society, presenting us with new problems and new horizons. Exactly how that technology will affect society is hard to predict, but it is certain to change. We begin our consideration of technology with a short quiz (p. 106). In the left column, we list six technological advances that have helped shape our society. In the middle column is a set of dates and in the right column a list of names. These are only some of the best-known discoveries; the list could go on and on. Moreover, each of these technological developments has a compelling story accompanying its introduction, and even more inter­ esting effects that it has caused. For example, the process of canning food was developed in 1810 by an enterprising Frenchman, Nicholas Appert. The stimulus for this invention came from Napoleon Bonaparte. As early as 1800, Emperor Napoleon recognized the im­ portance of preserving food after nearly losing the Battle of Marengo because of a lack of provisions. The emperor realized that a reliable method of food preservation would enhance his chances of military success. Therefore Napoleon offered a set of prizes for tech­ nological improvements, including food preservation, believing that France lagged behind its rival, Great Britain, in technology. 105 106 �6 Technology and Soc iety The In d u strial Revol ution Can You Mat(h the Date and Name replacing them with the modern supermarket and modern advertising, both of which c reated profound changes in urban, suburban, and rural society. Changes in refrigeration technology are ongoing. Thermal acoustic methods of cool­ ing, in which sound waves are used to do the cooling, and magnetic field cooling are being explored as more efficient and less harmful methods of achieving refrigeration. We recount these stories of the development of the food canning process and of refrig­ erators not because these inventions are unique-we could have chosen numerous other examples-but because seeing a particular instance gives us a better sense of the tremen­ dous and far-reaching influence that technological progress can have on society. with the Invention? 1. 2. 3. 4. 5. 6. 1876 Fi rst motorcar (a) Telephone (b) 1896 Incandescent l ight b u l b 1 854 1835 (e) 1876 (f) 1885 Radio Elevators Photography (aa) Alexander Gra ham B e l l (bb) Thomas Edison (c) (cc) Gugl ie l mo Marconi (d) (dd) El i sha Otis 107 (ee) Wil l ia m Henry Fox Ta l bot (ff) Karl Benz ·aa 'p-g !pp ':)-9 !:):) 'q--v !qq 'a JO e-t: !ee 'a JO e-z !H ·�-1 When Appert, a cook who had worked in a wine cellar as a champagne bottler, hear about the prizes, he began work on a method to preserve food. It was many years before h perfected his process. Drawing on his experience as a cook and a bottler, Appert had an idl that he might be able to preserve food in champagne bottles by filling them with food, se.tl ing them, and boiling the bottles. Although he did not know why the food in the bottles dt not spoil (we now know it was because he had sterilized the contents of the bottles), still h was successful, and soon bottled food (and later, canned food) allowed individuals to t.• vegetables in winter and to preserve meat over long periods. The desired result-better pro visioning of armies-was accomplished, along with the far more widespread benefits th. preserved food meant for public health. Canned food was important in the early 1800s because mechanical refrigerators dt not exist. At that time, the only way to refrigerate food was by storing ice, which was C\1 from ponds in the winter and kept till the next winter, insulated by hay in windowless strm tures known as icehouses. In the United States, some southern states imported ice all yc.1 from these icehouses. (As you can imagine, much of it melted, and one year in Apalachicol. Florida, the price rose to $1.25 a pound-about $50 in today's dollars.) John Gorrie, a doctor trying to solve the problem of malaria, which was rampant 11 Florida at the time, discovered that the disease occurred more frequently in hot, hum11 weather. He felt he could reduce its incidence if he could lower the temperature of h t hospital wards. A t first he did this b y blowing fans over blocks o f ice, but when an k shortage pushed the price to high levels, he decided there must be a better way. He we� aware of some recent discoveries in chemistry-specifically, that compressed gaSl' when expanding rapidly, will absorb heat from their surroundings. He constructed steam engine that would compress air (a gas) in a cylinder. As the piston withdrew, 1 would allow the air to escape and expand into another cylinder. Gorrie put a brine solu tion around this cylinder and found that it would get cold because the air inside th cylinder was cold. By pumping this cold air into his hospital wards, he invented the fir, air conditioner. Gorrie also discovered that by placing water around the brine solution, he could dnl\· heat from the water to such an extent that the water turned to ice. Gorrie realized the enor mous possibilities of the ice-making machine and tried to market it, but could not find an financial backing; he died a poor and broken man. For the next twenty years, people tried II perfect the invention, but with only moderate success. By the early 1900s, however, th process was sufficiently developed, and refrigerators became a commercial reality. The social effects of refrigerators were enormous. People could buy larger quantitit of food at lower prices. They no longer had to make as many trips to the store, whid meant that neighborhoods provided fewer social and commercial contacts. Eventually, n frigerators played an important role in destroying the basis for neighborhood stores an1 1e Industrial Revolution The technological developments chosen for the quiz at the beginning of this chapter date from the 1800s. In part, that is because the discoverers of many earlier inventions are un­ known. (Actually, historians often debate the origin of many technological discoveries, in­ cluding modern ones.) But it is also because in the nineteenth century there was simply an enormous number of technological improvements. We limited the quiz to a few items you are likely to be able to identify. Many eighteenth-century inventions have become so out­ dated that many people today have never seen them, such as the steam locomotive that used to pull railroad cars. After a lull, technological improvement began to expand enormously about 1760. The period after that date is called the Industrial Revolution. The Industrial Revolution is the name given to the sum of all the changes in economic and social organization characterized by the replacement of hand tools with power-driven machines and by the concentration of industry in large establishments. It had its beginnings in England around 1760. There, for the first time people began to employ power machines for industrial production and to build factories to house them. By 1800, this movement had made substantial progress. The English Industrial Revolution was brought about by a cumulation of inventions. A new invention in one industry was followed by improvements and inventions in related in­ dustries. This is well illustrated by the textile inventions of the eighteenth century. These inventions were first employed in the cotton goods industry, which was relatively small and new, and the machinery was operated by water power. When James Watt devised a greatly im­ proved steam engine, the revolution really took off. Machinery for producing cotton textiles was modified and applied to the production of woolen cloth, the output of which expanded by leaps and bounds. Costs and prices were so reduced that a great new demand developed for both wool and cotton products. The developments just described gave England an advantage over its competitors. Because England was able to mechanize its industries so much sooner than other countries, it was for many years the workshop of the world. Its production, trade, and wealth rose to what were then regarded as high levels. But in time industrialism began to spread to other nations. The Development of Industrialism in the United States In the early nineteenth century, the machine industry and factory system began to develop in the United States. The Napoleonic Wars ( 1803-1815) and the War of 1812 gave U.S. in­ dustrialization a strong push because they made it difficult for the United States to import English textiles. 1 To make up for the resulting shortage, many new textile factories were es­ tablished in this country. Employers had to pay higher wages than their counterparts in the 1Two ofthe adversaries in the Napoleonic Wars were France and England; two of the adversaries in the War of 1812 were the United States and England. Both wars disrupted U.S. trade with England. 108 �6 Technol ogy and Society The interior of a nineteenth-century cotton factory. English factories, but as long as English textiles were not available, they could operate pro itably. When peace came to Europe and normal trade was reestablished, many of these 11l factories were forced to close down. Others, however, survived, and from that time on tl United States gradually became more and more industrialized. In some respects, conditions in the United States favored industrialization. First, 011 domestic market was rapidly growing. Second, raw materials were plentiful. Third, lab1 was relatively scarce and wages were higher than in Europe, partly because workers kq leaving their jobs to settle on free or cheap land along the frontier. Although this raisl· costs of production, it also put a premium on the introduction of labor-saving machim To reduce costs, as many operations as possible were shifted to power machines. As a resul production increased much faster than the number of workers, standards of living gradu ally rose, and wealth began to accumulate. Standardization, Interchangeability, and Mass Production Early machines were crude by our standards. Because their parts did not fit together perfect! they ran with a great deal of noise and clatter and frequently broke down. Often their prod ucts were imperfect, so that further work had to be done on them by hand to make them '" ceptable. One of the greater advances in industrial technology was the gradual developmc1 of precision machines that would run smoothly and that could also turn out standardized, .ll curately made, and hence interchangeable parts for more or less complex finished prodult such as watches, guns, washing machines, and automobiles. This development made it phy' cally possible for a machine to produce thousands of units of a given part, all so nearly ali� that they could be freely substituted for one another. Standardization-the production 1 uniform, substitutable parts-was made possible by a humble but far-reaching developmcn the improvement of measurement devices. Similar small improvements have played larv roles in shaping our society, so it is worth describing this one in detail to give you a sense 1• the mundane aspect of technological development. To understand the problem of standardization, think of a car. If you blow a piston, yo go out and buy a new one. Getting the new piston is not cheap, but it is a lot cheaper than you had to have a machinist make a new piston to fit your individual engine. It would prol• ably cost twenty or thirty times as much. Extending this analogy to other areas, much of th The I n d ustria l Revol ution 109 machinery-for example, dishwashers, tractors, and photocopiers-we use today relies on interchangeability, the ability to substitute one part for another. Without it, there would be far fewer goods than we·now have, and those that we do have would be more expensive. So interchangeability is important; that's obvious. But if it is obvious that interchange­ ability has so many advantages, why weren't early machines bujlt with interchangeable parts? The reason is a technical one: To achieve interchangeability in machines, tolerances (variations in size and shape) must be less than one�thousandth of an inch. With the tools available in the 1700s and early 1800s, even the best, most skilled machinist could not approach such tolerances, so interchangeability was only a dream until some method of achieving those tolerances could be found. As has happened with many inventions, the strongest impetus for standardization came from the armed forces. Before and during the Civil War (1861-1865), each rifle had to be produced separately. If one broke, a skilled machinist or gunsmith was needed to repair it. These craftsmen, using a variety of tools, would fashion a musket or even a rifle. Each musket had to be built precisely; that is, all the parts, such as the stock, barrel, and lock, had to fit together and work as a coordinated whole (hence the phrase, "lock, stock, and bar­ rel"). But precision did not mean interchangeability. A gunsmith would work the individual components until they fitted together, but as he modified each part to fit the others, he made it specific to that weapon; the part worked in no other. To repair rifles, armies had to have their own musket makers who would fix individual muskets that had broken in the field. Armies would also keep armories where th�y made individual weapons, and armories were an important part of the defense capacity of any country. 2 In about 1820, one of the skilled musket makers, John Hall, argued that this procedure was inefficient and that armies would have a tremendous advantage if their muskets had in­ terchangeable parts. An army would only have to carry spare parts, which could easily be used to repair a broken weapon. It would not only be cheaper, but it would also be far more efficient. As we stated earlier, technological requirements for interchangeable parts were enormous because if all parts were to be interchangeable, each musket had to fit together precisely and be identical to every other in a way that two individuals each producing an entire musket could not accomplish. To meet the problem, Hall developed a method of precision machine production. The movement to precision machine production required a number of small but extremely im­ portant technological breakthroughs, which included measuring from a standard pattern rather than from each piece and the development of dies by which individual parts were compared and tested. With these developments, machines could reach a level of precision and consistency necessary for interchangeability, a level much higher than even the most skilled worker could achieve. Rather than a machinist measuring each part, a machinist could make an initial part, or die, and then a machine employing a micrometer could produce a duplicate, using a process similar to the one hardware stores use today to duplicate keys. The machine traces the orig­ inal and fashions the new part to conform. By means of this process, each part is sufficiently identical so that interchangeability is possible. There are, of course, some minute variations, but by making each part and measuring it relative to the original with a micrometer, a skilled machinist can keep the variations between the individual pieces at an acceptable level for interchangeability. Social and Economic Effects of Interchangeability. Once interchangeability was introduced, the production process quickly changed and the pace of the Industrial Revolution quickened. In the early 1900s, Henry Ford carried through this development with the introduction of the 2Later we discuss the modern military-industrial complex (the interconnection between the military and business) and its implications for society. It is important to remember that the military-industrial complex is not a new phenomenon but has existed for as long as societies themselves have existed. 1 10 A �6 Tec h nology and Society Technology a nd G lobal ization assembly line, a production technique in which c,t worker in a factory performs a single operation on item as it is passed along. Because of this innovation, 1 price of a car was lowered in the 1920s from abo $1,600 to $300. With standardization and machine produclto while one machine was making one part other 111 chines could be making other parts, and by using assembly line great quantities of the finished produ could be turned out by merely assembling the pn>t parts. Thus standardization led to mass productiu the use of standardized parts to construct great qu,u tities of a product on an assembly line. Naturally, it does not pay to make large amoun of a product if they cannot be sold. But when the m.a ket is large enough, the use of standard interchangeal . mass-produced robotic doll. parts makes mass production possible and subst.u tially reduces costs. To construct an expensive machu to make a standardized part would not pay if the machine could be used to produce onh few units of output, because the sale of these few units would have to co'ver the entire cos11 the machine. But if mass production is possible and a machine can be employed to produ thousands or hundreds of thousands of units, the portion of the cost that must be charged each unit becomes small or even negligible. It then pays to use a machine in place of hum labor whenever one can be devised to perform a necessary operation. When standardiH parts made by machines are combined into a finished product on a modern assembly line, in the automobile industry, mass production reaches a high level of efficiency. The effects on society of interchangeability and mass production were enormou Individual skilled workers were no longer held in high esteem; their pay fell, their social p1 sition fell, and the skill level necessary to produce goods fell. In response, they led mm ments against the use of new machines. As the status of skilled workers fell, the status of II owners of machines rose. Fortunes were built by industrialists, and high society had 1 make room for these newly rich. Business provided a way to move up the social ladder, at as businesspeople moved up, they brought their own values and worldview. Armies ar arms became less costly; war and killing increased. As the interchangeable-parts approach to production spread, these effects were multiplic• With the development of low-priced cars, the limitations geography placed on society chan1:w and the nature of cities changed. Low-priced tractors increased productivity in farming, lowerit food prices and forcing more and more people off the farms. None of these changes would h.1 occurred as early as they did if H all had not figured out a way to machine-tool more exactly. We could continue describing the myriad effects that flowed from the improved measur ing systems, but the previous discussion should be sufficient to start you thinking about th( and other technological developments. As you ponder these issues, remember that technolo� cal developments are still occurring. The development of gene-splicing techniques, robot computers, and the Internet has already changed our society and working habits significant!) For example, in early societies strength and physical ability were important characten tics necessary for the existing level of technology. Because women bore children, wet uniquely able to feed them, and on average were physically weaker than men, they generaII stayed home caring for the children while males hunted. The Industrial Revolution lessem· that division but did not eliminate it. The developments in technology, however, have dt minished the importance of an individual's physical strength, making the male-fem,tl roles based on them irrelevant, if they ever were relevant. (Some authorities claim th men's physical advantages over women are minimal.) Thus, many of the cultural aspects' society, such as the patriarchal family, have come into question. · 111 New technological developments can be expected to further this change, but they will also lead to new ways to deal with it. The technology of the Industrial Revolution, for exam­ ple, required individuals to work in a factory with everyone on hand at the same time. This technology eventually led to an eight-to-five workday with weekends off. With the develop­ ment of computers, fax machines, email, and the Internet, the need fQr a workplace separate from one's home has decreased, and more people are working at home or with flexible hours. Such changes have made work and family life easier for two-income families, and the movement toward flexible work schedules can be expected to continue. hnology and Globalization The development of technology is generally associated with specialization and increased trade because trade allows individuals and companies experiencing a technological change to become better at what they do (this is called learning by doing). As they become better at it, they can produce products at lower cost. Additionally, trade allows companies to take ad­ vantage of economies of scale-the bigger a firm's production facilities, the lower its per unit costs of the good. For example, making one car is extremely expensive; making many cars has a much lower per-car cost. If a company can produce something more cheaply, it can out-compete other firms and hence make enormous profits. With those profits, rt can spend more on research and devel­ opment and gain even more of the market, as long as other firms cannot duplicate that technology quickly. When this happens internationally, it falls under the heading globalization-the integration ofworld economies. Globalization has been occurring at a fast rate in recent years, and traditional societies are often shaken by change, as less expensive goods come in from more technologically advanced countries. Technology also affects traditional societies in another way. Firms are always looking for cheaper ways to produce goods. If they can hire workers in a traditional society at a lower rate than they can in their own society and are allowed to do so, they will often trans­ fer production facilities. Another aspect of globalization involves the movement of produc­ tion facilities and technology from one economy to another. In recent years, enormous amounts of manufacturing activity in the United States have been transferred to countries such as India and China, with profound effects on their economies and culture. It has made them better off materially, but has also introduced large income inequalities and western­ ization of their culture, which many people consider a loss. The Internet is speeding the process of globalization, making it possible for firms to easily compare prices of goods throughout the world and to communicate cheaply over long distances. U.S. service sector jobs, such as claim agents, suppliers of help-line support, X-ray technicians, and tutors, which previously had not experienced international competi­ tion, are now being outsourced-many U.S. high-wage workers have been replaced by low­ wage foreign workers. With continuing technological advances subjecting more and more jobs to outsourcing, and the large differential between U.S. wages and those in many foreign countries, the effects of globalization will likely be enormous over the coming decade. Modern Technolo�y and the Need for Skilled Workers A belief once widely held is that machines reduce the need for human skills. It was said that before the machine age the individual worker was an artisan who performed by hand all the operations on the product. The worker was a weaver, a shoemaker, a candlemaker, or a tailor. Standards of technique were high, and because one worker made the entire product, a high level of skills was demanded. After the advent of machines, individual skills became almost useless. Machines performed the principal operations required to make a product, and the 1 12 �6 Technol ogy and Soc i a l Cha nge Technol ogy and Soc iety worker became an automaton whose function was to operate or feed the machine, perh,tt doing nothing but moving a lever up and down or placing a piece of metal in a machine, 1 moving it when the machine had operated, and repeating this task all day long. Such wu required no skill, and so the typical worker became a common laborer instead of an artis.u The reasoning presented here is plausible but highly misleading. Before the age of t l machine, skilled craftspeople represented a tiny portion of the working population in m1 countries. The great majority of the people lived and worked on the land. The work w heavy, the hours long, and the returns small. I t is true that the introduction of machines p certain skilled artisans out of work or forced them to work in factories as unskilled labor. I example, after the introduction of the power loom in England in the eighteenth century, t l price of cloth dropped s o sharply that skilled handweavers could no longer make a livin� their trade. This does not mean, however, that the introduction of machinery reduced the I· tal demand for workers with special skill or training. Quite the contrary. The skills requir became different, but in the long run the machine industry made it necessary for a mu larger portion of the population than ever before to acquire specialized skills, training, 1 knowledge. Furthermore, in modern factories purely routine and mechanical jobs such feeding materials into a machine are continually disappearing because machines can be d vised to perform these operations automatically. An outstanding characteristic of modt·r automation is the constant shifting of routine activities from people to machines. To compensate for this loss of routine jobs, modern machine technology has creal great numbers of jobs that require specialized skills or knowledge: engineers, constructu workers, plumbers, electricians, machinists, and mechanics. There are people trained in t l organization and administration of industrial enterprises, in advertising and selling, and various phases of transportation. In addition, there are accountants and a great m,u skilled clerical workers. The development of robots has reduced the number of routine jobs even more but h increased the need for skilled technicians who assemble and repair them, the systems en neers who devise plans for using them to solve business problems, and the programm who put these plans into operation. Machines and Unemployment In addition to the belief that machines reduce the demand for skilled workers, there is .1 even more persistent notion that has little foundation in past experience-the idea that .IC vances in machine technology, by replacing labor, progressively decrease total job opportuw ties and total employment. This belief had a strong appeal in the 1930s when millions wcr out of work. At that time, many writers argued that our economy had become "mature" an that in order to provide enough jobs in the future, it would be necessary either to spread t l work around by progressively shortening the work week or else t o have the government ke� creating more jobs through an expanding program of public works. In addition to shorter ing the work week, it was often proposed that young people should be kept in school longt and that older workers should be retired at earlier ages. No one questions that machines displace individual workers from certain jobs and th. in the short run this often creates difficult problems. For example, the use of diesel engin and electric power by railroads has made obsolete the position of "fireman"-the employt who shoveled coal into the locomotive boiler that produced the steam for the train's ste<ll engine-but because of union support, railroads had to fill this position for many years aft steam power ceased being used by trains. However, such problems are temporary. Ultimat el advances in machine technology tend to reduce costs and prices (assuming a constant valu of the dollar) or to hold them down, and by enabling people to buy more goods, they cre.rt new employment opportunities. If some industries employ fewer workers, others empl(l more. At the same time, new products are introduced and new industries are established. 1 13 hnolo�y and Social (han�e As you can see from our discussion of the Industrial Revolution, technology plays an im­ portant role in determining a society's culture. The patterns of a society's daily activities are greatly influenced by its technology-that is, by the kinds of goods, including services, that it knows how to produce and by the methods it employs to produce them. In primitive soci­ eties, for example, production is carried on with the aid of simple hand tools, and people spend most of their time hunting, fishing, tilling the soil, preparing food, making clothing, and constructing crude shelters. On the other hand, in modern industrial societies such as ours, millions of men and women spend most of each week in offices, factories, or laborato­ ries, and often they travel long distances by automobile, bus, or train to reach their places of work. Therefore, to understand cultural and social change, we must understand its interac­ tion with technology. That technology has played a dominant role in shaping our modern world is beyond question. Culture, to be sure, is much more than technology. But modern civilization as we know it could not have developed without its technological base. Technology largely deter­ mines the way in which people use their habitat and the extent to which they can benefit from the potential resources it may contain. When Columbus came to America, the terri­ tory that is now the United States could probably support, by the methods of production known to the Native Americans, fewer than half a million people. Today the same territory supports more than 500 times as many and provides them with a much more plentiful and dependable supply of material goods. This difference cannot be explained in terms of the natural environment. It is explained mainly by the fact that our modern industrial technol­ ogy is vastly superior in productive efficiency to the technology the Native Americans had. Problems Created by Technolo!;!y Although technological progress has conferred great benefits on the human population, it also has created many problems. Work in the first factories took people away from their homes all day and disrupted the established pattern of domestic life. It also forced large numbers of people to live close to their new places of work, which in turn resulted in crowded industrial towns and cities. On the other hand, there is evidence that even the early factories gave the masses more opportunities to earn and a better chance of survival. One indication of this is the fall in the death rate and the increase in the rate of population growth that has occurred over time. The effects of technology on society are so pervasive that some social scientists claim that technology is the primary determinant of social and cultural relations. Some social sci­ entists argue that mass production and the assembly line, where each individual does one task repeatedly, developed not because they were more technically efficient, inasmuch as you can get more output from a certain amount of work, but because they established and fortified social divisions. For example, suppose two kinds of a machine can produce widg­ ets. One requires each individual to work on a part with no one supervising; the other re­ quires a supervisor directing individuals to perform specific tasks. Even if the first kind of machine provides a cheaper way to produce a widget, if the decision were left to the super­ visor, he or she would be unlikely to choose the one that eliminated the supervisor's job. Social scientists who use this line of reasoning argue that the social class structure of cap­ italism is inevitable with the capitalist means of production. They argue that even communist countries, which in theory attempted to avoid class divisions, nevertheless maintained the class divisions of capitalist society as long as they used capitalist technology and capitalist modes of production. When a technology is designed for a boss and a worker, unless these divisions are maintained the technology cannot be effective. Communism self-destructed 1 16 �6 Technology a n d Society Technology of the Past The key element in the process is that natural resources have meaning only in referl'll to technology. Because technology transforms natural resources into products that can \ isfy economic wants, the supply of natural resources depends on the type of technology have. If a technology develops that can turn sand into a steel-like substance cheaply, th there will be an almost unlimited amount of building material. If we can develop a technc ogy that can turn sunlight into energy cheaply, energy will be almost unlimited. Thus, ll'l nology holds the key to growth and the solution to shortages. 1 17 Despite these benefits, we still should be concerned about natural resource shortages. High prices can cause hardships, and the cultural change that accompanies relative price changes often is difficult'. To be aware of the need for change and to be careful with resources can lessen the impact of that change or at least reduce the problems associated with it. Global Warming Natural Resources and the Limits of Economic Growth With regard to natural resources, the United States is in a relatively fortunate position, fo1 is probably better supplied with them than any other similar area in the world. This endo ment of natural resources has provided the material basis for our phenomenal econon development and our present political and military strength. We have great areas of fcrt farmlands and forests. We are relatively well provided with sources of power such as pct1 leum, natural gas, coal, and sites for hydroelectric plants. We also have large reserves of in ore and other important minerals. True, we lack certain metals, such as nickel, chromiu and tin, but ordinarily we have no difficulty in importing these. Although our position is still strong with respect to most basic resources, the outlo for the future is not clear. Concern about future availability of resources reached a Ill point in the 1970s as ecologists argued that we were headed for doom. Their argument'' twofold: Either we were going to run out of natural resources, or the pollution resultu from production was going to destroy us. Most economists believe that much of the ecological concern at that time was overdo1 We still have vast reserves of low-grade iron ore; similarly, we have vast reserves of shall- c and sand oil. The problem is one of costs and developing the technology that makes ext u tion of these natural resources economically feasible. The remaining reserves involve a h1 cost of extraction and therefore cannot be utilized unless the price to the consumer is raisl' At 50 cents per gallon for gas, there would likely be a gasoline shortage; at $ 10 per gallon, thl· will likely be enough for many years to come. In fact, this is how the market system is designl to work. As a good becomes scarcer, its price rises. Because of that price increase, we use less c it and individuals devote more resources to designing new technologies to achieve the san result without using that resource. For example, plastics were developed during World Wa1 because of the shortage of natural rubber. Similarly, in response to higher prices for gasolu in the 1970s, the average size of automobiles decreased significantly. Then, as gasoline pm fell in the 1980s and 1990s, larger and more powerful cars once again came into vogue. In t l early 2000s, high demand for oil by China and the war in Iraq raised the price of gasolim· an average $3 per gallon. That increase and concern about the supply of gasoline has spark an interest in hybrid cars that derive at least part of their power from electricity. Goods can become scarce by other means than by being' used up. In the United Stall the federal government is pushing to have automobile manufacturers develop vehicles run on energy that is less polluting than gasoline. Therefore, in the early twenty-first Cl'l tury, we will see more vehicles designed to run on electricity and natural gas becau government policy has made gasoline "scarce" through limiting its use; it has also m.11 gasoline expensive, because people who won't give up gasoline engines will pay more to ol tain that scarce good. Over the long run, changes in the relative availability of natural resources have an en greater effect on our culture. For example, cities developed as an efficient means of bringm people together before the existence of automobiles and low-cost transportation. Whl gasoline was introduced, it stimulated the development and spread of automobiles, whll in turn reduced the relative advantages of cities. In the 1950s, we saw the result: a 1110\ ment back to the country to the areas around cities that became known as suburbia. 1n t l 1970s, as the price o f gasoline rose, the relative advantages of city life increased and m,u city areas were revitalized. · One of the ecological effects of modern society is global warming, the gradual warming of the earth's temperature due to the burning of fossil fuels. Most scientists are convinced that global warming is taking place, and we know that the average surface temperature of the earth is al­ ready higher than it was a hundred years ago. The Intergovernmental Panel on Climate Change, established by the United Nations, includes 2,000 scientists, and their consensus is that global warming is a significant potential problem. These conclusions were reinforced in later studies. In 2007, the Panel predicted that if nothing is done about global warming in the year 2100, the av­ erage surface temperature of the earth will be more than 10 degrees Fahrenheit warmer than it was in 1900. Contrast this projected increase over only 100 years with the estimate that in the thousands of years from prehistoric times until now the earth has warmed, at most, only 9 per­ cent. Not all scientists agree. A few scientists argue that such temperature changes are part of a natural fluctuation over thousands of years and may not be related to emissions of gases caused by fossil fuel burning but the large majority see global warning as a man made phenomenon.3 Nevertheless, the question remains: What should we do about global warming? At the 1992 Earth Summit in Brazil, most of the countries of the world signed treaties to cope with global warming and other environmental problems. Those treaties provided for worldwide reduction of polluting gases followed by periodic assessments of the economic conse­ quences. Despite the 1992 Summit agreement, by 2000 U.S. emissions of waste industrial gases rose significantly. Another attempt to limit polluting gases was the Kyoto Protocol, which was adopted in 1997 and initiated in 2005. This Kyoto Protocol required industrial countries agreeing to it to reduce greenhouse gas emissions. To encourage that to happen it established several "flexible mechanisms" such as a emissions trading market that created incentives to reduce emissions. Most observers consider the Protocol a step in the right direc­ tion, but too small a step to make a real difference in global warming. For one thing, it ex­ empted developing countries such as China and India, which led the United States, the largest industrial country in the world, to refuse to sign it, in part because it exempted devel­ oping countries. In December 2009, the U.N. organized a climate summit in Copenhagen to attempt to arrive at a new international treaty to attempt to slow down global warming. They did not arrive at a treaty, but some countries agreed to a non-binding agreement that they hoped would provide a framework for future efforts at a global climate treaty. Global warming remains a contentious issue, with political, economic, environmental, cultural, and health implications that mean the problem will be near the forefront of global concern for many years to come. · t•chnology of the Past At the beginning of this chapter, we gave you an easy quiz on technological developments. To put you in the right frame of mind to consider the technology of the future, for which we need to take a wider view of technological development, we now look further into the past and consider technology over a broader horizon. Remember that humans have become humans only through the developments of technology, some of which occurred within hu­ man beings through biological evolution. 3Carbon dioxide is the principal polluting gas, but environmentalists have also targeted five others: methane, nitrous oxide, hydrofluorocarbons, perfluorocarbons, and sulphur hexachloride. 1 18 �6 Tec hnol ogy of the Future Technology a n d Soci ety 1 19 Looking to that past and taking a b �oad view of technology, we can see that some mt�J• "technological" developments occurred thousands of years ago. Some are presented hen: Teeth. The ability to use teeth to crack hard foods such as nuts, seeds, and rind g.r Ramapithecines access to more foods than other early creatures had. Ramapithec11 appeared about 15 million years ago and some authorities class them as hominids; otl ers call them common ancestors to hominids and apes. Neanderthal teeth ( 100,000 1 36,000 years ago) show that they were used to hold objects. Hands. The ability to use their hands to throw and shake things gave an advantage I primates who stood on two feet. Anthropologists believe that primates began to St<ll on two feet at least 4 million years ago. Brains. About 2 million years ago, primate brains began to grow larger. Primates be�, to use their brains and hands not only to use objects as tools but also to make tool Some of the earliest made tools were for chopping and digging. Fire. Cave evidence that may be as old as 700,000 years shows by the charred remaim 1 cooked animals that hominids had learned to make and use fire. It seems that amor the animals they cooked were other hominids. 11 technology: (left) The International Space Station. (right) A virtual reality demonstration. Wooden shelters. As early as 400,000 years ago, hominids had begun to use trees to burl shelters. Spears. Cro-Magnons had spears by at least 35,000 years ago. They could hunt and ' large animals, if the large animals did not eat the Cro-Magnons first. Bows and arrows. By about 20,000 years ago, humans knew how to use bows and arrm to kill small, fleet animals from a distance. Hunters were safer and at the same time h.1 a wider choice of protein. As you can see from the list, technology ( the means by which humans interact wrt their environment) progressed slowly at first, as humans learned to use their physical attril utes in new ways. Then, as the human brain developed further, a new method of technolo�· ical change occurred-change brought about through thought and reasoning. This chang sped up the process of technological change, and by 7,000 years ago it had led to the dewl opment of cities, to writing, and to recorded history. We stopped our list at 20,000 years ago because we compiled it not in any attempt to I comprehensive, but to make you think about what technology is and what it can be used for What results can you think of that came from controlling fire and the energy it produces? Ho do combinations of one technology with others extend the range of human habitats? What d hunting and building imply about cooperation and planning? Do you draw any conclusion from the preponderance in the list of actions such as biting, throwing, chopping, burning, ant impaling? If you were to continue the list, what lifestyles would you see developing? Te chnology of the Future We considered past developments simply to set you thinking about technologies of the fu ture and the effects that the development of those technologies might have on society. Wh,rt we meant you to learn from our consideration of the past is that society fifty years fron now is likely to be quite different from society today, and the technologies we develop wrl play an important role in shaping that future. But what technologies will develop? Some seem obvious. Computers will progress a111 become more and more integrated with household appliances. Refrigerators will keep trad of what you need to order from the on-line grocery store and place your order for you On-demand television on the Internet will free people from having to watch a particul,u show at a particular time. Interaction with these new devices will be via voice recognition not keyboards. Likewise, discoveries in biotechnology will change entirely the way we inter­ act with our bodies; cures for cancer and other diseases will be found, our bones and tissues will be programmed to repair themselves, and we will have the ability to choose characteris­ tics of our offspring. In considering the effects of technology on the future, you will quickly see that predict­ ing the future is one of the most difficult but enjoyable activities of social science; it allows the imagination to roam. Will spaceships like the Enterprise develop out of our current space shuttle efforts? Will we find new technologies that totally change our lives, such as in­ stant transportation or intelligence transfers? The possibilities are endless and not always pleasant for specific individuals. For example, if a machine were developed to implant knowledge in students without the use of teachers, many educators would likely be out of a job, and rather than students going to school for sixteen years, they would merely attend school for information updates once a year. Tem perature rise on earth means snow and ice at the poles melt and oceans flood a l l low-lying Breakthrough i n med i c i ne; method delays agi ng areas. M ia m i i s n o more. process and extends a verage l i fe expectancy by Various com p l i cated l i fe-forms reproduced ten years (world popu l ation i n c reases; causes from orga n ic chemicals create sign ificant Social Security programs to fail) . debate about mora l i ty and mea n i n g . Developments with Buckeyba l ls redef i ne matter; M ajor v i r a l outbreak from genetic d i a monds a n d metals n o longer scarce. enginee ri ng experiment; h a l f the world Fusion reactor created that makes energy "too pop u lation d i es. cheap to meter" ; o i l com pan ies go broke; gas I nstant transportation created ; ol d-fashioned stations are e l i m i nated. means of transportation--cars, legs, and so Genetic engi n eering means fabricated h u m a n forth -no longer needed. replacement organs rol l off assembly li ne. H u m a n body shapes mod ified to e l i m i nate Amputated l i mbs can be regrown . useless append ages. H u man clon i ng perfected ; a l l parts of body can Life-forms d i scovered in d i fferent galaxies now now regenerate themse l ves. reac hable with i n stant transportation . Computer c h i ps developed to place in the human The starship Enterprise returns safely to head; e l i m i nates the need for teachi ng. home base. chaptvu 6 1 20 i rate banker dema nded that Alexander Graham Bel l remove "that toy" from h i s office . That toy was the telephone. A Hol lywood producer scrawled a c u rt rejection note on a m a n u scri pt that became "Gone with the W i n d . " He nry Ford's largest origi n a l i n vestor sold a l l h i s stock in 1 906. Roebuck sold out to Sears $25,000 in 1895. for Questions for Review and Disc ussion Tec hnology a n d Soci ety Such fanciful ideas are probably a long way off, but clearly lif� 2050 will be significantly different from life in 2 0 1 0. Early in this n tury, robot factories may be commonplace and you may have a rol helping you with both your housework and job. Gene-splicing and netic engineering could bring about even more changes. Numcn created l ife-forms could be kept in special areas and released for spl'\ purposes. For example, if there is an oil spill, oil-eating bacteria wm be released. If we need more gasoline, new organisms that improve l process of making gas would be sold to oil firms. Or if you need a 11 type of plant to decorate a room, you would design it and put in yt order. The technology of the future will probably involve changes tl are much more imaginative than those we have just speculated t Some imaginative technological changes and their potential effects listed in the box on the previous page. Each of these ideas is fancif but each has been advanced by futurists at one time or another. lh are placed here not because we expect them to materialize, but to m,t us reflect and think about their implications for society and cultur Each would change society in ways that are difficult to fathom. l·.,t would have social, economic, and cultural cons'e quences that in tu would affect society's ability to use that technology to its advant,t and not to its detriment. Seeing that society uses technology for got rather than evil is what social science is all about. 121 people out o f jobs and force them to seek types o f employment not to their liking. They cause some business enterprises to fail, even though others may be expanding rapidly. A so­ ciety that puts its whole emphasis on stability and security is not likely to look with favor on radical technological innovations. Future Shock? A pioneer in the field of futurology, Alvin Toffler, warned in his 1 97 1 book Future Shock of the "shattering stress and disorientation that we induce in individuals by subjecting them to too much change in too short a time." According to Toffler, the accelerating rate of change, particularly in technology, in the last part of the twentieth century had occurred so fast that it overwhelmed the adaptive powers of ordinary persons. He argues that we must learn to understand and control the rate of change at this "turning point in history at which people either vanquish the processes of change or vanish, at which point, from being the uncon­ scious puppets of evolution they become either its victims or its masters." Thus, Toffler became a leading advocate of controlled technological change. On the other side are the ad­ vocates of stronger reliance on the new technology. For them, the new technology is seen as a way of escaping economic problems such as high rates of unemployment and slow growth. Which of the two forces-the forces for change or the forces for preventing change­ will win out is unclear. Regardless of the outcome, their interaction will make the world of the future an exciting one to live in and an exciting one for social scientists to study. T he Social Basis for Technological Progress Because of the extensive social changes these new technological den opments involve, they may never come about. Technological progr� Today, Sears occurs only as long as social conditions encourage and make it po' may se l l ble; quite likely, someday conditions could change in such a way a' $25,000 worth stop it. There have been times and places in the history of the wot of goods when people have lost ground instead of making progress. i n 1 6 seconds. Many factors might in the long run greatly retard our technolo The next t i me cal progress. The costs of the research and equipment necessary lc somebody meeting certain problems of pollution are likely to be resisted by m,u offers you a n idea corporations and also, where government is directly involved, by m,t that leaves taxpayers. Technological progress also tends to be slowed by organit you cold, pressure groups that have an interest in l i miting the output of cert.1 put it on products and in opposing the introduction of new methods or pr(l< the back b u rner. ucts in order to maintain the demand and the prices for the things t h I t m ight sell. For example, labor unions often oppose the introduction o f met I warm u p . ods or materials that might reduce the jobs available to their membct and producers of building materials sometimes seek to discourage tl introduction of substitutes for their products, even though these 111 United Technologies advertisement. be better and cheaper and may use materials that are more plentift Again, many farmers demand that the government take measures to reduce farm output 1 order to raise farm prices and incomes. A more subtle influence that might slow up technological progress would be tl growth among our people of a less receptive attitude toward change. This might result 111 only from a lack of interest in consuming more goods but also from a feeling of indiffercth toward improving both the quality of goods and the quality of the environment; or it mig result from a gradual dilution of the spirit of adventure and from an increasing emph.1 on security. Change and progress often seem dangerous and disturbing. They put so11 , hnology comprises the tools, means, and td hods through which we interact with our ttv t ronment. l' hl· Industrial Revolution significantly changed II ,tspects of society through its introduction of ntachangeability and mass production of mate­ loll products. 1 (·, hnology influences culture, and culture in flu­ "' cs technology. me Important Terms thly line ( 1 1 0) tornic activities ( 1 1 5) Illation ( 1 1 1 ) I warming ( 1 1 7) • • • The limits-to-growth debate has two sides, and we will find out which side is correct only when it is too late to do anything about it. The development of teeth, hands, brains, fire, wooden shelters, spears, and bows and arrows are some of the important technological develop­ ments of the past. Potential technological developments in the future are limited only by the imagination. ------ Industrial Revolution ( 1 07) interchangeability ( 1 09) mass production ( 1 1 0) outsource ( 1 1 1 ) scarce goods ( 1 1 5) standardization ( 1 08) technology ( l OS) uestions for Review and Discussion an example of a technological advance that greatly influenced your own life and explain wh,tt its effect on you has been. "·"ne some technological change that took place '" the past and explain how you think it has h,tnged conditions ever since. • I VC h." 3. What was the Industrial Revolution? What are some of the reasons it was successful in the United States? 4. Why are standardization and interchangeability so important to mass production? 5. When it became possible for machines to make products formerly made by hand, what effects did 122 �6 Technology and Society this have on the number of people employed? On the level of wages? On the profit of employers? On the quality of the products? 6. Explain how the technology of the assembly line led to other technological and cultural changes. 7. If the use of robots in factories becomes wide­ spread, will this mean a loss of jobs and a rise in unemployment? Why or why not? 8. The jobs of some individuals are replaced by par­ ticular technological changes. What are some ways to deal with this problem? 9. Technology can be very expensive in terms of its ef­ fect on the quality of the air, water, soil, and general environment. How can this expense be dealt with? 10. Technology can be very expensive i n terms of I amount of money it costs. Where do you th1 this money comes from? 1 1 . Do you think the advantages of technology worth the disadvantages? Why or why not? 1 2 . Are there any technological changes you till should not be made? What are they? If you opp• a particular technological change, what alternat solution do you have for the problem that ch,u was meant to address? 1 3 . Try your hand at predicting a technolog• change that may occur in the future. What effi. on society might that change produce? technology may make Blu-ray discs obsok What earlier formatting war is mentioned in t article, and which brand came out on top then 4. Go to www.livescience.com/php/trivia/?qu• inventions and take the quiz. How do you scor� 5. Go to www. sierraclub.org/energy/overview. WI country is the largest emitter of carbon diox1 (C02)? Name one possible outcome of a 2°C 11 in temperature. and Lisa Heinzerling, Priceless: On Knowing the Price of Everything and the Value of Nothing, New York: New Press, 2004. Brown, David E., ed., Inventing Modern America: From the Microwave to the Mouse, Cambridge, MA: MIT Press, 2002. Essinger, )ames, Jacquard's Webb: How a Hand Loom Led to the Birth of the Information Age, Oxford: Oxford University Press, 2004. Mead, Margaret, ed., Cultural Patterns and Technical Change, New York: New American Library/Mentor, 1956. Menzel, Peter, and Faith D' Aluisio, Robo Sapiens: Evolution of a New Species, Cambridge, MA: MIT Press, 2000. Othmer, james P., The Futurist, New York: Doubleday, 2006. Shreeve, james, The Genome War: How Craig Ventner Tried to Wilmut, Ian, and Roger Highfield, After Dolly: The Uses ' Misuses of Human Cloning, New York: Norton, 2006. WWW Arts and Science Collaborations, Inc. www.asci.t• WWW T he Center for Democracy and Technology w1 cdt.org WWW EPA, Climate Change www (accessed june 22, 2009) National Institute of Standards and Technolt> WWW Science and Technology WWW Sierra Club .avs.org .sierraclub.org (accessed june 2009) WWW www Time 100, Builders and Titans www.time.com/t1n time 1 00/builder/index.html WWW Wired WWW World the Digital Divide, Cambridge, MA: MIT Press, 2003. www www .nist.gov/ (accessed june 22, 2009) Capture the Code of Life and Save the World, New York: Warshcauer, Mark, Technology and Social Inclusion: Rethinking .epa.gov/climatech,u WWW Knopf, 2004. Toffler, Alvin, Future Shock, New York: Bantam, 1971. www .wired.com (accessed june 22, 2009) Peace peacetour.org/ T hrough Technology htlp If I am not for myself, who will be? the id, ego, and superego 7-or Further Study Frank, n how culture and personality are related Maslow's hierarchy l. Using the website www. inventionfactory.com/ history/main.html, find out what the Brooklyn Bridge is suspended from. How thick are the cables? 2 . Go to www.usbr.gov/projects and look up the Hoover Dam. How large is the structure? Where is it located and when was it built? 3 . Go to www.npr.org/templates/story/story.php? storyld= 19 1 7 4580 and either read the article or listen to it. Who makes Blu-ray discs? What new �1 eadin� this chapter, you should be able to: the importance of positive and negative reinforcement Onternet Questions Ackerman, (hology, So(iety, d Culture n how IQ is calculated and the problems with its use And if I am only for myself, who ami? And if not now, when? -Rabbi Hil lel deviance and name five sociological theories about deviance Culture is created by the individuals within that culture, but individuals' personalities are shaped and molded by culture. In this chapter, we take a social psychology perspective and consider the relationship between the individual and society. Much of our discussion will center on personality. Personality is the total organization of the inherited and acquired characteristics of an individual as evidenced by the individual's behavior. Culture's role in shaping individual personality is major, whereas each individual's influence on culture is usually slight. As individuals, people must accept their culture much as they find it, and if they hope to lead satisfactory lives as human beings, they must adjust to it. This dependence of the individual on culture sometimes makes culture appear to be an independent entity, something that has an existence and continuity regardless of the people who are its carriers. This impression is strengthened when we view culture histor­ ically and note that many of its basic elements persist generation after generation. Two hundred years ago, the English language i n its essential characteristics was not very differ­ ent from what it is today. Yet, of all those who spoke English then, not a single person is now alive. For some purposes, it is convenient to think of culture as if it had an independent, ob­ jective existence. In the final analysis, however, this is untrue. All cultures have been created by people. When we analyze culture closely, we find only a series of patterned reactions characteristic of the individuals who belong to a given group. It is people who hold beliefs, have attitudes, practice customs, and behave in conformity with patterns accepted by the group. Cultures are built up so slowly and gradually that it is seldom possible to isolate the contributions made by particular individuals. In a large society, the individual is only one among millions. Furthermore, most individuals accept the social situation in which they find themselves and make little attempt to change it. 123 124 �7 Psychology, Society, and Culture The fact that people as individuals are shaped by their culture does not! mean th they a re deprived of all freedom to control their behavior, to choose their mode of Ill and even to affect the conditions that surround them. Any general cultural pattern flexible to a degree and permits some variations from the norms. I n simple prim i t 1 societies, the permissible variations may be rather limited, but in modern complex sm eties they are great. However, in any society the average individual is seldom aware oft extent to which culture restricts freedom. Culture becomes so internalized-so much basic part of personality-that most of the time people do not wish to behave in w other than those culturally approved. Only in special situations do they become kee1 aware of conflicts between their own desires and the kind of conduct that is soci,1 permissible. Socialization of the Individual Birth-2 years old Concern with physical objects 2 years old-6 years old Socialization or the Individual Socialization plays a major role in the development of human personality. This does n mean that a child's personality may not be greatly influenced by its biological inheritan and by contacts with the physical environment. For the most part, however, a child lear from people the patterns of behavior and the attitudes, beliefs, and expectations that mo vate behavior. All of these are largely cultural in origin, and therefore, as a child grows ,u develops, his or her behavior reflects to an ever-greater degree the culture of the society 111 which he or she was born. Si!lnificance of the Early Years of Childhood The experiences of the young child within the family group seem to have the greatest inti ence on the development of human personality. Very early a normal baby begins to reco nize familiar faces, sense approval and disapproval, seek attention, and i n other ways re.• to the social environment. Our personalities develop in this early childhood. Although tremendous gaps ex1 in our knowledge, we have discovered some of the ways in which children learn. Om· the leaders in this discovery was noted psychologist Jean Piaget who developed sewr widely accepted theories on the development of children. His first point is obvious: y, young children think differently from adults. For example, many children think tht shadow is a living entity that follows them wherever they go. Similarly, imaginary frien fly around the room at night, and inanimate objects, fro marbles to vacuum cleaners, have very human character 1 tics. Reality for them blends in with imagination. As we gn older, most of us learn to separate reality from imaginatio If, however, an individual lacks the right environment, he 1 she will not be able to do so and may go through an ent 1 lifetime living i n a semifantasy world. Piaget finds it useful to divide a child's life into four sta (shown in Figure 7. 1 ) . From birth to two years, a child primarily concerned with learning about physical objet From two to six or seven years, the youngster learns abo symbols in language, dreams, and fantasy. Next, he or she b gins to learn about abstract concepts such as numbers and tl relationships between them. Finally, from ages twelve to I teen, the child masters purely logical thought and learns to u derstand double messages, such as irony and double entend1 125 Concern with symbolism and fantasy 6 years old-12 years old �' Concern with abstract concepts 12 years old-15 years old Concern with logical thought and irony Figure 7.1 Piaget's four stages. In order to develop normally both emotionally and mentally, a child must be accepted and receive affection, but overprotection and overaffection are not desirable, for they tend to lead to dependency and immaturity. At the other extreme, parental rejection and lack of affection create feelings of insecurity and inferiority and often bring on compensatory reac­ tions such as aggressive, rebellious, or domineering behavior. As young children grow, they come into contact not only with parents, b rothers and sisters, and other members of the household, but also with outsiders such as neighbors and playmates. They acquire greater physical competence and greater skill in the use of language and continually make adjustments to new people and new situations. These early experiences leave nearly indelible impressions and influence the "set" of each one's personality. Si!lnificance of Differences in Individual Environment It is questionable whether any two individuals have precisely the same hereditary characteris­ tics, though in the case of identical twins there is a close approximation to this situation. Certainly, no two individuals have exactly the same social environment. Some of the differences in individual environments are obvious to the most casual observer, but other differences are not so easy to see. We are all aware that in a country such as the United States people often grow up in social environments that differ widely. To begin with, there are noticeable differences in the 126 �7 Psychology, Soci ety, and Culture Personality and Its Development 127 language, attitudes, and customs of the people in different regions. Also, even in the s.11 region there are differences between rural life and city life; and in a city of even moder size there can be found a great variety of more or less distinct social groups. Among 1 more important of these groups are those set off from one another by differences in in co and social prestige, religion, nationality, or race. But differences in individual social en ronment go further than this. In any given social group, families are likely to differ sign candy from one another in their modes of life, so that a child brought up in one family n have a quite different environment from that of a child reared in another. All these differences are fairly obvious. It is not quite so obvious, but nonetheless lr that two children brought up in the same family at the same time may have quite dissimr environments. This is because social environment depends not only on people, but also the nature of personal relations with them. One child in a family may be loved by the p ents, given every advantage, perhaps be overindulged, whereas another child may be d liked, neglected, even mistreated. Clearly, such children do not have at all the same envin ment, and the differences are sure to have deep and lasting effects on their mental .1 emotional development, on their personalities, and on their relations with other peopk later years. Effects of Extreme Isolation on Children The study of children who have been largely isolated from social contacts demonstrate' 1 importance of socialization by showing what happens in its absence. It also considers 1 possibility of compensating in later years for development that failed to take place earlil'r the normal time. It is impossible to find children who have been completely isolated from other hum beings from the time of birth. The reason is simple. The human infant is so helpless th.tl cannot possibly survive without receiving some care from older people who understand needs. However, cases have been reported of children who, in early life, have been parti.1 or completely isolated from human contact over considerable periods. These reports an two types: ( l) cases of feral children-children who have lived in a wild or untamed sl with animals-and (2) cases of children kept isolated in a room, basement, or attic ,1 given little attention except for being provided with food and drink. ( Less extreme examp of isolation occur with children who are merely neglected, or who are cared for, mon less impersonally, in institutions. ) Stories of feral children appeal t o the imagination. They have been told i n all ,, about children believed to have been cared for when very young by boars, wolves, bear\, other animals. These stories have nearly always been spread by hearsay, and it is doubt! whether any of them are based on fact. Perhaps the oldest of such tales is about the 1, endary founders of Rome, the twins Romulus and Remus, who are said to have been ab.1 doned as infants and suckled by a wolf. As you might have noticed, our history of the W<H skipped these legendary twins. The one report that has some credibility is of two children found in a wolf den in Ind They could not talk, and they are reported to have run on all fours and in other respect\ have exhibited animal-like behavior. Under human care, they responded very little to the tempts made to socialize and educate them, and both died at an early age. Most psycho! gists believe that they most likely suffered from infantile autism, a condition in whicl child is unable to respond emotionally to others. Most psychologists believe these childrl not very long before they were found, had been abandoned because they were autistic. Though stories of feral children should be regarded with skepticism, there appear be well-authenticated cases of children who for considerable periods of time have bt locked in basements, attics, or upstairs rooms and isolated from almost all normal hum; contacts. One case involved a girl named Isabelle who, because she was illegitimate, \ According to legend, the founders of Rome were human twins, Romulus and Remus, who were nurtured by a wolf kept secluded in a dark room with her deaf-mute mother until she was six and a half years old. In another case, a girl named Anna was kept in a room alone until she was about six. In each of these cases, when the girl was discovered her behavior in many respects resembled that of an infant or a wild animal. But Isabelle, when placed in a normal so­ cial environment and given special training, caught up rapidly. In a few years, she was making good progress in school and gave the impression of a bright, cheerful, energetic little girl. However, when Anna was placed in a normal environment, she made much less progress, and she was still considered mentally disabled when she died at the age of ten and a half. We have no way of knowing why Anna failed to develop as much as Isabelle. Perhaps Isabelle's close contact with her deaf-mute mother gave her a sense of being loved and se­ cure, and thus she enjoyed a great advantage over Anna in her emotional development, or it may be that she received more expert attention after she was removed from isolation. It is also possible that Isabelle's biological inheritance was superior to Anna's. In 1 970, a thirteen-year-old girl, who was given the name Genie, was found. She had been tied up and kept in a room without human contact by her elderly parents, who were psycho­ logically disturbed. She had been fed only milk and baby food and was never spoken to. She was incontinent, could not speak, and weighed only fifty-seven pounds. After she was brought to a hospital, she learned to communicate, but, although her mother said that she had been normal at birth, Genie's IQ was only 74 and her language ability never fully developed. •rsonality and Its Development To have a full understanding of the relationship between individuals and society, it is help­ ful to have a clear concept of the meaning of personality. It has been said that every human being is in some respects like all others, in some respects like some others, and in some re­ spects like no others. As we mentioned earlier, personality may be defined as the total organization of the in­ herited and acquired characteristics of an individual as evidenced by the individual's behavior. 128 �7 Personality and Its Development Psychology, Society, and Culture It is the product of the interaction between an individual's original biological nature and I or her social and natural environment. Therefore, it bears the imprint of four things: 1 . The inherited potentialities of the individual 2. Natural environment 3. The culture of the individual's society 4. Unique personal experiences However, once personality has begun to form it becomes an independent force tl may play a dominant part in its own future development and in the adjustment of the in, vidual to the total environment. The Nature/Nurture Debate The human baby is a helpless creature at birth. It cannot walk; it cannot talk; it cannot C\ sit up, turn itself over, or grasp an object it is offered. It is not equipped, as are most .11 mals, with a large number of hereditary instincts-inherited complex patterns of beha\'1 that do not have to be learned. Instincts enable animals to satisfy needs that arise at vario stages of their development. A good example is the nest-building instinct of birds. Human babies at birth have instincts, but they also have an innate capacity for gro\\ and development. Gradually, a baby learns to adjust to its environment, and in the pron it slowly becomes conscious of itself as a person, separate from its environment. As it de' ops physically, its power to learn keeps increasing, but all the patterns of behavior that " later characterize it as a normal human being must be learned, and the learning procc� not always easy. The drives that a baby inherits are urges to satisfy basic needs such as those for sleep food. When these are not satisfied, they are felt as tension or discomfort. These drives p1 vide the stimulus for learning. One of the most powerful of human drives is hunger. To sat1 hunger, a baby depends on its mother's breast or a bottle. But when it becomes hung1 nourishment is not always present, and as its discomfort increases, the baby cries. This m bring the breast or the bottle and with it the pleasure that is felt as hunger is satisfied. Bcft long, the baby associates crying with the appearance of the nourishment, and so it eric' soon as hunger begins in order to bring the satisfaction. This illustrates the beginning of t learning process and perhaps also the beginning of the development of personality. B. F. Skinner, a psychologist who did extensive research in this area, strongly emph sized the influence of society on the individual. He saw individuals' personalities shaped large part by conditioning. He believed that individuals' behaviors could be changed I operant conditioning-altering individuals' habits by behaviors (operants) that themsch have an observable effect on the environment affecting an individual. Operant conditionu often is discussed in terms of positive reinforcement, negative reinforcement, . 1 1 punishment. Procedures that strengthen behavior are called reinforcement; those that SliJ press behavior are called punishment. There are two types of reinforcement and two tyJ of punishment, as outlined in Table 7. 1 . It is important to note that punishment is not the same as negative reinforcement. If Y' speed and get a speeding ticket, you experience a positive punishment. If, however, the jud offers you the choice of attending a driver education class or losing your license, that's an exau pie of negative reinforcement. You attend the class to avoid a worse alternative-losing yolll cense. To summarize, positive and negative reinforcement are both procedures that strength behavior. Positive and negative punishment are both procedures that weaken behavior. The effects of reinforcement and punishment on personality leave individuals WI some hard choices. For example, should parents console or ignore a crying child? Consoh1 can reinforce negative crying behavior; on the other hand, ignoring might make the ch1 feel unloved and have a negative influence on the child's development. 129 Table 7.1 Types of Punishments and Reinforcements PROCEDURE STIMULUS EVENT EFFECTS EXAMPLES Praise Positive Applying a desirable Strengthens responses reinforcement stimulus that precede occurrence Negative Applying an Strengthens responses reinforcement undesirable stimulus that allow escape from Positive Applying an Weakens responses that punishment undesirable stimulus precede occurrence of Negative Loss of a desirable Weakens responses that punishment stimulus lead to loss of stimulus of stimulus Harsh criticism stimulus Speeding ticket stimulus "Time-out" Skinner did extensive work with laboratory animals such as rats and rabbits to test his theories. He and his adherents have shown that animals can be taught to do things such as push on a bar to receive food or water. Such laboratory work is, on the whole, noncontro­ versial (except when the experiments directly harm animals). But when Skinner's theories are extended to humans and to the way humans learn, they can be controversial. Some researchers have emphasized the influence of punishment and reinforcement so strongly that little room remains in their theories for any other determinants of personality. Moreover, they have derived from these theories a number of proposals for education and controversial rehabilitation programs. For example, Skinnerians developed programmed texts that provide fast positive reinforcement for students. Also, some sex criminals may submit themselves to a rehabilitation program in which whenever they are shown sexually arousing p ictures, they experience an electric shock ( negative reinforcement) designed to modify their behavior. Skinner's emphasis on the environment's role in shaping personality is disputed by many psychologists who emphasize instead the role of heredity, the genetic transmission of characteristics from parent to offspring. The debate between the two sides has often been called the nature/nurture debate. The nature/nurture debate focuses on whether heredity or environment is more important in determining the personality and the success in life of an individual. It is like asking, Which is more important in making an automobile run-the gasoline or the engine? Quite obviously, if the car is to run at all, both gasoline and an engine must be provided. Likewise, if a baby is to develop normally, it must have both a rea­ sonably adequate biological inheritance and a reasonably adequate social environment. If we could somehow take two identical individuals and place them in different envi­ ronments, we could answer the question. However, no two people are physiologically iden­ tical (even identical twins have some slight differences) , and no two people have the same environmental background. Instead, researchers must concentrate on groups of people to determine whether heredity or environment is more important. For example, are people's sexual desires determined by nature or nurture? This is an open question, but in 1991 a re­ spected researcher found distinct differences in the brains of homosexuals and the brains of heterosexuals, which suggests a stronger role for nature. He emphasized, however, that his study was tentative. Another study, by Anthony Bogaert of Brock University, found that boys with older brothers had a higher probability of being gay than those without, and that the more brothers one had, the higher the probability of being gay. That wasn't the case for stepbrothers, however, so the reason is more likely nature than nurture. He hypothesized 130 �7 Psychology, Society, and Culture that it had something to do with antibodies developed by the mother of boys that affc( the sexual orientation of future children. Despite these many provocative studies, we str have no definitive answer, but there is a leaning toward nature setting the scene for nurtur Surely, we will hear more about this debate in the future. Recently, a test of the nature/nurture question was conducted with respect to obestt The population studied consisted of adopted children, and the question posed was, Woul the children resemble their biological (nature) or their adoptive ( nurture) parents? In th study, it was found that children of obese biological parents tended to be obese. The ob sity of the adopted parents had little effect. In this case, nature seems more important th,t nurture. Recent discussions of the nature/nurture debate have tended to emphasize the com pi interaction between the two. For example, measures of the inheritability of intelligence n with age, from 40 percent in childhood to 60 percent in adulthood. James Flynn, a psycho ogist in New Zealand, suggests the reason is that a slight difference in intelligence birth leads caregivers to treat children differently, with the seemingly brighter child bein more strongly reinforced in learning, while the seemingly less bright child receives negatl\ reinforcement. Explanations of Behavior The nature/nurture debate is part of a larger debate in psychology about how best to undl·r stand behavior. We distinguish four general approaches: 1 . The cognitive approach focuses on nature; it sees thought as the initiator and det'r minant of behavior. In this approach, human actions represent reactions to physil.: processes in the brain. It looks to cognitive science-the scientific study of the m ind-f1 explanations of behavior. 2. The psychoanalytic approach also focuses on nature, but it does not look to cognt tive science. Rather, it takes a more mystical approach, focusing on certain i nnate tendenm of people. The most well-known of the psychoanalytic approaches is Freud's, which we di cuss later in this chapter. Freud's approach focuses on the unconscious and its relation tc conscious thoughts and actions. The psychoanalytic approach has produced a variety 1 therapeutic approaches besides that of Freud, one of which is Albert Ellis's "rational emo tive therapy," also discussed later. 3. The behavioralist approach focuses on actions, not thoughts. B. F. Skinner was ,u advocate of this approach. The behavioralist approach has a recent addition-what migh be called the biopsychological approach. Flowing from biology as much as it does from ps\ chology, this approach views behavior simply as responses to chemical stimuli in the bod (although its basis often is not put so bluntly) . In this approach, one's genetic structure 1 believed to determine the ranges of behavior one will display; the chemical messengers d�· termine specific behaviors within that general range. The mind is seen as just another p<ll of the physical world. 4. The humanist approach emphasizes the entire person and his or her interrelation ship with culture. Abraham Maslow's work, discussed later, is an example of this humani' approach. These approaches are not mutually inconsistent, and recently a group of therapi\t emphasizing a combination approach-a cognitive behavioralist approach-have bel'l gaining ground. The cognitive behavioralist approach emphasizes that thoughts can be "op erants of the mind." Thus cognitive approaches focusing on thought are opened up h behavioralist analyses focusing on behavior. Before we move on to discuss how these different approaches lead to different treatment of maladjustment, let us briefly consider Abraham Maslow's theory of the well-adjustl'l Personality and Its Development 13 1 individual and Freud's conception of the personality to give you a little bet­ ter idea of the differences that varying approaches can lead to. Self-Actualization The Well-Adjusted Individual Probably the most famous theory of the development of a healthy person­ ality is that of Abraham Maslow, known as Maslow's hierarchy. Maslow's Self-Esteem Needs hierarchy states that there are five levels of human achievement, each of which must be satisfied before the next is attempted. They are shown i n Figure 7.2. Love and Belonging Needs Self-actualization, the level of human achievement in which one is well adjusted to one's reality, is the highest level, according to Maslow. A person need not be famous, or the best in the field, in order to be self-actualized. Rather, we are self-actualized when content with life Safety and Security Needs and capable of handling the problems that all of us must face. Because each level of the hierarchy must be satisfied before the next can be at­ tempted, few of us reach self-actualization; even for those few who at­ Basic Physiological Needs (Food, Air, Shelter. tain that highest level, it is a constant effort to stay there and not slide and so on) back down. What do we mean by good social adjustment? There are dangers in setting up social adjustment as an ideal to be sought. If an individual were . perfectly adjusted to the environment in the sense of having no problems '•1111 Maslow's hierarchy. or tensions and not wishing that anything were different, that person would stagnate. On the other hand, if we mean by a well-adjusted person, someone who loves life and finds it interesting and stimulating, that per­ son must have dissatisfactions, problems to be dealt with, and goals to be achieved. Good adjustment must be a dynamic concept, and there is no simple formula for it that will apply equally well to everyone. The truly well-adjusted person has developed a strong and balanced personality that can suffer misfortunes and recover from them. It should be emphasized that disappointment, pain, and grief are common experiences of life that come to all of us from time to time. The well-ad­ justed person can deal with these without being crushed. Much research has gone into studying the genetic component of adjustment. In one study, psychologists David Lykken and Auke Tellegen surveyed 732 pairs of identical twins and found that their level of happiness was the same regardless of their surroundings. Another study reinforced this finding and discovered that the actual circumstances a person experiences have little to do with the satisfaction that person experiences. For example, peo­ ple in China were happier in measures of subjective well-being than people in Japan, even though people in Japan were ten times richer. In a book that attempted to pull all these ideas together, University of Pennsylvania psychologist Martin Seligman tried to explain what these findings meant for people search­ ing for the "good life." One of his suggestions gives a sense of the ideas he raises. Specifically, he suggests: Keep your illusions. For example, he argues that happy couples-the couples who stay together h appily-are ones who do not see their partner objectively, but instead see him or her through rose-colored glasses and think that the partner is better than he or she actually is. Other research, however, leads to different views. For example, research com­ paring people who have pessimistic personalities with people who have optimistic per­ sonalities found that those with pessimistic personalities are more attuned to reality and less stressed than people with optimistic personalities. We leave a consideration of these ideas to you as an optional research project, but we're sure you will do it (even though deep down we have our doubts) because, although we have underlying pessimistic personalities, we are trying to be optimists, which is another of Seligman's suggestions of how to have the good life. 132 �7 Psychology, Society, and Culture Adjustment and Normality Good adjustment and normality do not have precisely the same meaning when applil'l personality, but their relationship is close. Conversely, a normal person in any societ necessarily a reasonably well-adjusted person. In cultural terms, a normal person is c who has acquired the basic attitudes and behavior patterns of the culture sufficiently wd be accepted and approved by the group. In any society, a well-adjusted person is likely to recognized as a normal person. This normal person may not in all respects represent typical person in the group, or the statistical average, but the normal person's beha\ must not deviate too far from what is acceptable. Cultural norms are determined b} group. Types of behavior that in one culture would be quite normal might in another l ture be regarded as wholly abnormal. The Freudian Concept of Personality Probably the best-known name in psychology is Sigmund Freud, who lived from 1851 1939 and spent most of his life in V ienna, Austria. He was trained as a physician but spcl ized in neurology, and in those days this meant that most of his patients were people w emotional problems. Freud became famous as the originator of the system of psychotherapy known psychoanalysis, a method of analysis based on the exploration of unconscious men processes as manifested in dreams and disturbed relationships with others. Essent i,t the method of psychoanalysis is that of free association. A patient is induced to expt anything that comes to mind in the hope of uncovering memories or ideas of which I patient is unaware but that may be causing mental and emotional conflicts. For examJ perhaps a terrifying experience in early childhood has been repressed below the level consciousness. The psychoanalyst believes that if the patient can be helped to recall su an experience, the patient will be able to deal with it realistically, so that the mental d turbances it has been causing will disappear. But to bring unconscious mental procc' to the level of consciousness takes time and persistence on the part of both the psycho,, alyst and the patient. I n time, Freud became recognized as one of the great original thinkers in the field psychology, and today most psychologists believe he made important contributions to oc understanding of the human personality. But his theories have been the center of mu controversy. To Freud, personality consisted of three major system\ "structures," which he called the id, the ego, and the superego. In the normal person, th� three personality systems cooperate to enable the individual to satisfy basic needs ,11 desires within the environmental setting, but when they are in serious conflict with 11 another, various mental disorders will result. According to Freud, the id is the part of our personality controlled by the pleas1 pri nciple. It is driven by the goals to seek pleasure and avoid pain. It is the immatut selfish side of our personalities. Its counterpart, the superego, is our primitive Clll science, which develops as we grow older and is guided solely by our morals. The th1 major structure of the personality is the ego-the personality component that nw immediately controls behavior and is most in touch w ith external reality-which pl., referee between the other two systems, sometimes allowing us to seek pleasure, at oth times allowing the superego to guide us to more restrictive behavior. The id, ego, .11 superego are, of course, not independent entities. Rather, they are convenient term\ designate different groups of forces that interact within the human personality. The l d, Ego, and Superego. Personality and Its Development 133 Defense Mechanisms. Among the many elements of Freud's psychology are defense mechanisms-behaviors that individuals use to avoid facing issues. These include: • Displacement, in which one redirects one's anger away from the real target and toward an innocent target. For example, a frustrated worker kicks his dog. • Reaction formation, in which an individual connects an anxiety-causing impulse with an overemphasized opposite. For example, people who are unconsciously attracted to the same sex may develop an intense hatred of gays. • Projection, in which unacceptable urges in oneself are attributed to others. For exam­ ple, a spouse tempted to have an affair becomes unduly suspicious of his or her partner. • Rationalization, in which one gives excuses for one's shortcomings. For example, after you fail an exam and flunk out of school, you say it was all boring anyhow, and you pre­ fer doing active, not mental, work. • Fantasy, in which one avoids one's real worries by living in a fantasy world. For exam­ ple, you don't study but rather spend all day dreaming of the great job you will never get because you didn't study. • Sublimation, in which one transforms an unacceptable need into an acceptable ambi­ tion. You study hard because you hate the textbook author's stupid jokes. Defense mechanisms include other behaviors that we all follow to varying degrees, but this list should give you a good idea of what is meant-by defense mechanisms. Probably the best-known aspect of Freud's work is the Oedipus complex-a child's sexual attraction to the parent of the opposite sex-so called because of its analogy to the Greek myth about Oedipus, the man who unknowingly killed his father and married his mother. Freud's formulation of the Oedipus complex grew out of the fact that rather early in his career he believed he had uncovered, i n the unconscious mental processes of his neurotic patients, fantasies of sexual relations with the parent of the opposite sex, combined with jealous anger against the parent of the same sex. Later he came The Oedipus Complex. rfe£tion Blueprint the perfect child will make the perfect adult, the 1980s produced a recipe to satisfy society's ap­ for good adjustment. Judith Martin wrote two no-nonsense books that explained how to perfect the hild. Briefly stated, her rules are for parents to nag, o start early, to set a good example, and to keep at it. he based her system on the belief that if the child ts perfect, the child is perfect. She has no patience with uncertainties such as, Who is to decide what is right and wrong, what is proper and improper?" and "What difference does it make which spoon you choose for the soup?" If you :each your child to sit up straight and your child iearns to do that, then, Martin believes, your child will look nice, will seem to be paying attention in school, will be paying attention in school, will be learning lessons, and will be on the road to success nd perfection. She advocates advancing by increments, or steps. Say please and thank you to the baby; withhold the candy until the toddler says please; give the child a place at the dinner table when she no longer spits spinach around the kitchen; let the kid eat in a restau­ rant when he has learned not to interrupt adults' con­ versation; send the eighth-grader off to buy her own clothes when she has learned to polish her own shoes and press her shirt before starting out for school. There are old-fashioned sayings that summarize these ideas, such as "Manners maketh man" and "Handsome is as handsome does" and even "Go along to get along." Social scientists call this process socializing. Or it could be called civilizing. Whatever you may think of her meth­ ods, Martin has hold of a basic principle. If individuals can be molded to a standard set by the society in which chance has deposited those individuals, the standards will be preserved, the people will get along with each other, everyone will know what to expect, there will be no surprises, and the world will run smoothly. 134 �7 Psychology, Society, and Culture Motivational speakers such as Tony Robbins abound. They will tell you that you can do anything you want, if only you try their simple methods. to believe that a strong sexual attraction to the parent of the oppo�• sex, along with jealousy of the other parent, is a universal experienCl' childhood in the years before the age of five. After this period, t l Oedipus complex i s repressed and disappears from the conscious mu because of recognition of the impossibility of fulfilling the scxu wishes; also, in the case of a boy, because of fear of retaliation from t l father. At this stage, the child begins to identify with the parent of t l same sex. Freud believed that the Oedipus complex was a n essen11 factor in the development of every child's personality and hence determining the nature of all human societies. The Oedipus complex received much publicity and aroused wid spread opposition. Many people found it difficult to accept in the f01 in which Freud presented it. He made it clear that the Oedipus compl referred to a definite desire of the child for sexual relations with the p. ent of the opposite sex, and to jealousy of the other parent becausl.' 1 the sexual relationship, but in our society it seems doubtful that mo very young children have even a vague concept of the existence or nat u of sexual relations. Certainly many do not, and in that case it is hard 1 see how they can desire them or be jealous on account of them. Fn among psychoanalysts who subscribe to most of Freud's theories .11 those who question or reject the theory of the Oedipus complex. Pop Psychologies Modern scientific psychology is supplemented by what might be called pop psychology, 1 which the more scientific theories are translated and digested, making them available f1 popular consumption. One such translation is transactional analysis, or TA, which in son respects is similar to Freud's theories. It was made famous by Thomas A. Harris's be'' selling book I'm O.K., You're O.K., and it breaks down the human personality into thr� "parts"-parent, adult, and child-which roughly coincide with the superego, ego, and 1 of Freud. According to TA, when two people interact they must be using the same modi.' 1 personality (preferably the adult voice) . When one's parent mode attempts to addn another person's child mode but the receiver is thinking in the adult voice, confusion of t l message and frustration result. Other pop theories include ESP (extrasensory perception scream theory, and channeling. Most recent pop psychologies of the early 2000s havl common theme-the quick fix. These theories include psychohypnosis, neuro-linguist pn gramming (NLP) , timeline therapy, and emotional freedom techniques (EFT) , and ,1 though we do not discuss these here, they make interesting research topics. 9ntelligence, Personal Adjustment, and Normality Before we move on to discuss some of the approaches various psychological theories 11..' ,1 to, let us consider the issue of intelligence and its role in determining personal adjustmu and normality. Although this subject is not directly related to personal adjustment, it is ,1 important topic that often causes confusion. In every human society, individuals have varied intelli�ence, which is the ability of a pl·r son to understand the situations that confront him orjlef and to make satisfactory adju,· ments to them insofar as such adjustments depend on-1earning and thinking. Low intelligc111 has prevented some people from making an adequate adjustment to their environment. B1 only in recent decades have systematic efforts been made to define and measure intelligence 1 other mental qualities. Intelligence, Personal Adj ustment, and N ormality 135 Mental Tests Mental tests are i ntended to discover or to measure the mental characteristics of an individ­ ual. One of the earliest mental tests is described in Greek mythology. During the Trojan War, according to the story, a Greek named Ulysses paid no attention to the government's call to arms. The authorities visited him and found him plowing up the beach and sowing salt. Determined to see whether he was pretending to be insane, they placed Ulysses's only son in the plow's path. Ulysses quickly turned aside, and the test was deemed conclusive proof that he was sane. Modern mental tests are based on the assumption that we can predict the reactions of an individual in various situations by giving specially designed tests in which similar condi­ tions are involved. Furthermore, we assume that by presenting an individual with a large variety of sample situations, we can estimate how that person's abilities compare with those of other people. Psychologists employ various types of tests to determine the characteristics of an indi­ vidual. One type attempts to measure general intellectual ability; this is known as an intelli­ gence test. Another type explores the individual's basic interests by presenting various hypothetical choices and asking the subject to express preferences. A third type is intended to measure aptitudes for certain kinds of work. A fourth is known as a test of achievement and is essentially a test of how well certain skills have been learned or certain kinds of knowledge have been assimilated. A fifth is intended to discover special abilities or disabili­ ties and is generally given to children or adults with disabilities. Finally, a sixth type of test used by psychologists tries to determine the individual's personality structure and basic emotional needs. This type of test is known as a personality, or emotional adjustment, test. All these tests are used by clinical psychologists to diagnose the power and potentiali­ ties of the individual as they exist at any given stage of development. On the basis of such tests, psychologists are able to learn something about the mental difficulties of an individ­ ual and judge the possibilities of helping the individual to overcome them. Mental Age and the IQ. The best-known psychological test is the IQ, or general intelligence test, which attempts to reduce the many dimensions of intelligence to a single number that estimates a person's mental age. To do this, researchers devised a wide variety of test items, from the simple to the complex, and arranged them in order of difficulty. They then tried these items out on a large number of children at various grade levels. On the basis of this experience, they assigned a mental-age value to each item. Their procedure in assigning questions or problems to various ages was as follows: If a certain item was responded to correctly by as many as 65 to 75 percent of the children whose age was, say, eight years, but by a smaller percentage of children below that age, it was considered a test of eight-year-old intelligence. They then grouped several items of appropriate difficulty, usually five, to test children of each age. If a child could answer the questions for all levels up through those for eight-year-olds, but none of those for the years above that, mental age was considered to be eight regardless of actual or chronological age. But the child received proportionate credit for any questions actually answered. For example, if the child could answer all the questions for eight-year-olds, and three out of five of those for n ine-year-olds, mental age was considered 8 .6. If the child could also answer two out of five of the questions for age ten, a mental age of nine was assigned. Later, other psychologists refined the technique so that each mental year consisted of twelve men­ tal months. For example, each test item might represent two mental months, in which case six items would represent a mental year. Each person tested would then receive two months' credit toward a mental age for each item answered correctly. Once the concept of mental age was developed, it was only a step to the notion of ex­ pressing a ratio between the mental age and the chronological age of an individual. This ra­ tio was called the IQ, or intelligence quotient-an index of an individual's tested mental 1 36 �7 Psych ology, Society, and Culture Intel ligence , Personal Adjustment, and N ormality ability as compared to the rest of the population. IQ is calculated by dividing mental agl actual age and multiplying the resulting fraction by 1 00. Multiplying by 1 00 expressc� ratio or fraction as a percentage, but it is not customary to write "percent" after the numl expressing IQ. The formula for finding IQ may be written as follows: IQ = Mental Age/Chronological Age x 1 00. Let us see how this formula works in practice. A child eight years old having a ml't age of eight is an average child. IQ would be 8/8 x 1 00 = 1 00. It is apparent, therefore, 1 an IQ of 1 00 represents average intelligence. If a child eight years old had a mental agl twelve, as indicated by an intelligence test, that eight-year-old would obviously be ' bright. This would be indicated by IQ, which would be 1 2/8 x 1 00 1 50. Today it is often the practice to assign an individual a percentile rank rather than an I Percentile rank is a ranking of an individual with reference to other individuals in a cer 1 group when all individuals in the group are ranked in order from the most capable to least capable. The hundredth percentile consists of the 1 percent of the group who h made the highest scores. The first percentile consists of the 1 percent who have made 1 lowest scores. Similarly, the 50th and 5 1 st percentiles consist of those who have made "' age scores. Figure 7.3 shows the IQ rankings for society. Mental tests indicate that great differences exist in intelligence in our population. This I has long been known, but tests have made our knowledge more definite. Though these other psychological tests are used more widely than ever before in schools, in government, ,, = IQ Score Category Percentage 20 PROFOUND 30 40 Retarded SEVERE 0.4% 50 60 70 MODERATE 2% Mildly Retarded 80 Borderline 7% 90 Dull Normal 1 7% 1 00 110 Normal 1 20 B right Normal 1 30 Superior 1 25% 25% 1 7% 7% � 1 40 1 50 2% 1 60 l 1 70 Very Superior 1 80 1 85 200 Fi gure 7.3 Percentage ofchildren at different IQ groupings. 0.4% 137 in business, they are also subjected to increasing criticism because of cultural biases in the tests. Nevertheless, mental tests are probably the best means we have for comparing the mental pow­ ers of large numbers of individuals. Lim itations of IQ and Other Tests. Many of the early experimenters believed they had devised tests that did not depend on acquired knowledge but were essentially a measure of innate or inherited mental ability. Hence, they thought the scores of individuals on such tests could not be affected by any ordinary differences in environment. However, various studies and experiments have demonstrated beyond a reasonable doubt that factors such as differences in family environment and schooling may have a substantial effect on the scores individuals make on standard intelligence tests. For example, when identical twins are separated early and reared in different types of homes, the twin reared by parents of superior social, economic, and educational status almost invariably does better on an intelligence test than the other member of the pair, and sometimes the difference is fairly substantial. Another example is that people who take the same test thirty years after entering high school will score in direct relation to how much education they have received in that span of time. Yet another chink in the armor of IQ test infallibility comes from Robert Rosenthal of Harvard University and Lenore Jacobsen, an elementary school principal in San Francisco, who successfully convinced a group of teachers that certain students were gifted. According to Pygmalion in the Classroom, in which the study is published, the students, who actually were chosen at random, surpassed their classmates apd became high-level achievers. These "brighter" students scored an average of 1 2.22 points higher on achievement tests adminis­ tered at the beginning and end of the year, compared with only an 8 .42 point improvement from their classmates. The only difference between the two groups was in how the teachers responded to their learning needs. Another indication of the lim itation of the IQ test is the fact that scores on the same test have been increasing over time. Because it is almost impossible that intelligence is rising that fast, this suggests that there are sociological aspects to the test and that the test reflects those sociological aspects. In recent years, some social scientists have argued that standardized intelligence tests are racially biased as well. Again, this relates to the environment in which the child is raised. A black child raised in a low-income area may not know what the capital of Greece is, but the lack of that one bit of information does not indicate less learning ability than a child from a high-income background enjoys. Others disagree, arguing that it is not "white infor­ mation" that is tested. The conclusion we can draw from such studies is that the scores people make on intelli­ gence tests are a result of their previous experiences as well as of their inherited mental aptitudes. Where conditions of environment have been similar, differences in scores may be a rough indi­ cation of differences of innate mental aptitude. However, we must be cautious in assuming that any two given individuals have really had the same, or nearly the same, environment. Some educators say that these intelligence tests are knowledge tests, not necessarily tests of intelligence. Currently there is a trend to use different kinds of tests, such as assess­ ing a portfolio of a student's work or testing on a computer where the computer selects the next question based on how the test-taker has answered the preceding questions. However, it is expensive to develop new tests, to persuade schools to adopt them, and to train educa­ tors to administer and grade them. The standard IQ tests currently employed will probably continue to be widely used for many years. I nte l l igence Is Far More Than Mental M a n ipulation . All tests are useful only if we recognize their limitations. IQ tests tell us something about the probable intelligence of an individual at the time a test is taken, but they do not and cannot measure innate or inherited mental potentialities. A possibly more serious limitation grows out of the difficulty of defining intelligence in such a way that all the elements that enter into it can be 138 �7 Psychology, Society, and Culture r IQ Is HZ? So What? Is the intelligence level of people in the U nited States falling? If it is, why? Charles M urray, an author who treats various social and political issues, thinks the intelligence level in the U nited States is falling and that he has found out why. He explained h i s theories in a book called The Bell Curve (written with coauthor Bruce Herrnstein). In that book, he concludes that the average level of U . S. intelligence is fall i ng because some large groups of nonwhite Americans and some large groups of nonwhite i mm igrants to the U nited States have lower IQs than large groups of whites (but East Asians, he says, have higher IQs than whites). He reaches this conclusion because of the results of his research on IQs (the average IQ of some groups is lower than that of others) and because he takes the further step of treating IQ as the measure of intel l igence. Many social scientists consider Murray's arguments wrong and prejudiced. Murray insists they are not. He Deviance points out that although large groups may exhibit a particular average test score level, individuals in any the groups may vary widely in intelligence, and no as sumptions should be made about any individual's in telligence based on the overall scores for a particular group. Murray explains that his position is that one group is not inferior to another, just different. Whether M urray's research is prejudiced against or toward any particular group or individual, he is open to criticism just because he equates IQ with intelligence. The book claims that IQ measures intelligence and that IQ/intelligence depends primarily on what you're born with, rather than what you get from living. But althougr IQ scores are definitely measurable, and one group or another does on average score higher or lower than oth ers, there is a lot of doubt among social scientists as to what an IQ score means. So M urray's work is widely cnt icized. Still, M urray's controversial books on social polic topics are useful to consider; they f)1ake for spirited ana challenging discussion, whatever their effect on the real world of politics and social interaction may be. correctly rated by a test. It is doubtful whether the concept can be defined with 111 precision and whether the relative intelligence of different individuals, especially .11 higher levels, can be determined with much accuracy. Defining intelligence is problem,, but our earlier definition-that intelligence is the ability of a person to understand situations that confront him or her and to make satisfactory adjustments to them insof,1 such adjustments depend on learning and thinking-is probably the best we can do. The more intelligent a person is, the better able he or she is to do the following: • Perceive a situation as a whole rather than partially or incompletely • Learn quickly • Concentrate thought and learning in a desired direction • Find satisfactory solutions, either with or without help from others High intelligence probably requires considerable imagination and originality, for to soh difficult problem we may need to think of and to evaluate a number of novel approach� When we assume that a so-called mental test measures intelligence, we are assum that the mental abilities required for correct answers to its questions are the same as t h needed for solving the sometimes complex problems encountered in real life. This j ., always true, for mental tests have many limitations. For example, they must be compl within a limited period of time on the theory that this makes the scores of indivith more comparable. But some of the world's greatest achievements have been made by I' pie who have acquired the habit of thinking through difficult problems slowly, check i n every step t o avoid missing some important consideration. Furthermore, t o allow 01 mind and imagination to wander with a purpose, to take time to search for the unusu.ll unlikely aspects of a situation, is one kind of intelligent behavior. It is also an import ingredient in originality or creativity. IQ tests don't measure such abilities. Much resc.1 has been done on multiple intelligence models, which assume that there are several dlf ent dimensions of intelligence, and that these dimensions cannot be reduced to a si1 meaningful number such as is attempted with IQ. Researchers have yet, however, to w up with an acceptable alternative. ho Stands Stress Better: or Women? to be thought that women were more emotion­ nd psychiatrically disabled and had more symp­ of stress than men. However, in 1 984 the I Institute of Mental Health ( N IMH) completed a study of psychiatric ai lments and concluded although women tend to suffer more than men phobias and depression, men suffer more than •en from alcohol abuse, dependence on drugs, and term antisocial behavior. Taking all psychiatric dis­ mto account, the N IMH study found that both and women are about equally likely to be affected. 139 Even so, women have often continued to be perceived as more subject to psychiatric problems because the study also showed that women seek professional help twice as often as men do. In fact, though, it could be argued that wom.en have a healthier attitude than men because they do seek help, whereas, according to the study, men tend to mask their depression with alcohol. You can probably see the tendencies i n your own life. Women tal k with other women; they discuss their problems and they expose and examine their weak­ nesses. Men generally hide them and are far less likely to have close male friends with whom they discuss personal problems. Instead, male friends do things together. It is the "macho" thing to do. Intelligence and Personal Adjustment I ntelligence, especially if we mean intelligence measured by IQ tests, has little relation to one's ability to adjust except at the highest IQ levels ( above 1 50) and lowest IQ levels (below 60). Both of these extreme groups often have a harder time adjusting to society than do people in the middle ranges. The reason that IQ generally is not important is that personal adjustment has more to do with emotional stability and coming to terms with what one is as a person than it does with one's ability to score high on a test. Even if IQ tests did measure intelligence accurately, it should be pointed out that intel­ ligence and success are not synonymous. Many high-IQ individuals have difficulty coping with life; they might be able to solve a complicated mathematical problem, but they haven't the faintest idea how to interrelate with other people. Business leaders generally fall in the average (normal and bright normal) IQ category, not the superior or very superior cate­ gories. They have qualities such as internal fortitude, drive, ambition, ability to work with others, and imagination, which are necessary and probably more important than superior intelligence for business success. We can speak from experience; being at a university we're around people with high IQs all the time and, quite frankly, many of them can be real pains. One of society's tasks is to coordinate the actions of millions of individuals so that they fit together. Society's way of doing this is to develop norms-expectations about what consti­ tutes appropriate or acceptable behavior. By definition, most people follow those norms. Individuals' actions are called deviant when those actions conflict with society's norms. A number of things should be noted about the concept of deviance. The first is that it is a relative concept. An act can only be considered deviant relative to some norms, and there is enormous arbitrariness in setting those norms. Thus picking one's nose in public and wiping the result on one's hair would be considered somewhat deviant in the United States. In the Yanomamo tribe in South America, that is the norm; not following that norm is the deviant behavior. To make this relativity clear, some sociologists have emphasized that it is society's reaction to the act, not the act itself, that makes something deviant. Some societal norms are codified into law. A crime is a deviant behavior that violates legal norms. All crime is deviant behavior, but not all deviant behavior is crime. In this chapter, we concentrate on deviance. 140 �7 Psychology, Society, and Culture There has been extensive theorizing about deviance. Most of that theon quickly gets too compl icated for a general social science course, but in the remaind� this chapter we briefly introduce you to some of the broadest of these perspectivt deviance, surveying some psychological, biological, sociological, and economic e x 1 nations for deviance. Major Theories on Deviance ( ' All of us exhibit some deviant behavior. Every so often any well-adjusted person "Phooey on the norms!" and lets go, blowing off steam to release tension. Such linu deviant behavior is often condoned and even admired by society. It gives the perso11 identity, a personality. However, there is a line and if one crosses it, one's individualit) comes too much for society. Society wants you to be different, but not too different. There are a variety of perspectives on deviance and explanations of why people over the line. Psychologists tend to look within individuals-into their upbringing or 1 their genetic makeup. Sociologists, by contrast, tend to look for factors outside individu,1l such as social conditions within society. As soon as these explanations are explored more carefully, one quickly gets caught in competing perspectives, each of which has its own terminology and theoretical nuan We'll leave those issues for a sociology or psychology course and try here to introduCl' briefly to.some of the major perspectives and theories. Psychological and Biological Explanations of Deviance We do what we do because certain chemicals are released to the brain. These chemicals tdl what actions to perform. The chemicals that are released are themselves determined h combination of what we eat, our genetic makeup, and the way we are brought Psychological and biological explanations of deviance focus on such biological physiological explanations of criminal behavior. Some of the psychological explanations of deviance focus on personality disorders, normalities in individual personalities caused by hereditary factors or by upbringing. lh disorders might result, for example, from emotional deprivation-lack of love-in child he or from being brainwashed by television programs in which crime is glorified. Or, alternat l\ these explanations focus more on neurological and biological issues resulting from heredit\ psychological causes. Let's consider one of those subissues: the issue of genetic and biolOI!I predisposition to deviance and crime. Genetic and Biological Predisposition to Deviance. The idea that there is a criminal type has long been a popular belief among laypeople ,1 among some criminologists. For example, in the late nineteenth century, noted Italian cri1 nologist Cesare Lombroso claimed that criminals are less sensitive to pain and more subjet l epilepsy than normal individuals. He found criminals to have heads higher at the rear th,u the forehead, longer lower jaws, flattened noses, scanty beards, long ears, and other phy" peculiarities. He explained these peculiarities as atavistic reversions to the characteristk' early savage ancestors. Later studies have totally discredited Lombroso's theory. Modern approaches have not concentrated on body type but rather on genetic stn ture. Some studies have argued that a causal link exists between the presence in some m . 1 of an extra Y or "male-producing" chromosome (designated the XYY syndrome) and e m ina! behavior. Much of this work has been discredited, and in 197 1 Richard Fox labeled 1 modern myth. The advent of sociobiology has brought another resurgence of biological explana t u of criminal behavior. Sophisticated studies, such a s o n e b y Sarnoff Mednick and � Christiansen in 1977, have suggested some biological predisposition to criminal act i\'1 Psychological and Biological Explanations of Deviance 14 1 They found that boys adopted at birth whose biological parents were criminals were more likely to be criminals than those with noncriminal parents, even though neither group knew about their parents. Yet another attempt to establish a biological basis for crime took place in 1 985, when James Q. Wilson of Harvard and Richard Herrnstein of the University of California pub­ lished Crime and Human Nature, in which they argue that crime is a matter of relating costs (getting caught and punished) with the benefits of crime. The authors hold that for certain types of individuals, such as those with athletic builds and slightly lower than average I Q ( 9 2 ) , the costs are outweighed b y the immediate benefits; that i s , punishment for crime oc­ curs with a lag, whereas the benefits of crime are i mmediate. They hold that this means in­ dividuals' time preference (how much they value the present relative to the future) plays an important role i n determining whether a person is predisposed to crime. As with most the­ ories that focus on a biological basis for crime, these theories are much in debate. Sociolo!;!ical Explanations of Deviance The group that has had the most to say about deviance and crime is composed of sociolo­ gists. To introduce you to the sociologists' perspective, we will briefly discuss differential as­ sociation theory, control theory, labeling theory, strain theory, and illegitimate opportunity theory. These theories are part of two broad sociological perspectives: ( 1) a symbolic interactionist perspective, which sees individuals interpreting social life through symbols that we learn from the groups to which we belong, and ( 2 ) a functionalist perspective, which sees all activities in society as having a function. Differential association theory, con­ trol theory, and labeling theory fall within the symbolic interactionist perspective. Strain theory and illegitimate opportunity theory fall within the functionalist perspective. Differential Assoc iation Theory. Differential association theory argues that deviant behavior often is simply behavior that is conforming to norms. The difference is that they are deviant norms. For example, some groups develop a different set of values or norms-such as toughness and the ability to take chances-considered deviant from the dominant norms. This theory, put forward by sociologist Edwin Sutherland, argues that whether people deviate or conform is most influenced by the groups with whom they associate. Because different groups have different forms of deviant behavior, people who associate with differ­ ent groups experience an "excess of definition" and in some groups seem deviant. For ex­ ample, street gangs can require individuals to "stand up" to an insult, and if one is insulted one is expected to respond by defending one's honor with physical violence. Differential association theory comes more into play when significantly different cul­ tures interact. In the H mong culture of Southeast Asia, one of the ways one finds a wife is to "capture" her and forcibly have sex with her. In the United States, that is called kidnapping and rape, both of which are serious crimes. Most people will agree that differential association theory explains some deviant be­ havior, but most also argue that it should not be used to condone it. Society must have norms, and individuals must learn to conform to those norms and abide by those that have been codified into law. Label ing Theory. Labeling theory focuses on the significance of labels given to people ( such as names and reputational labels). These labels assigned by society to groups can tend to make the actions of certain groups criminal and the actions of certain other groups noncriminal. A classic study of the effects of labeling was done by sociologist William Chamblis. He studied two groups of adolescent lawbreakers in a high school. He labeled one group "the Saints" and the other group "the Roughnecks." Both groups were wild, into drinking, truancy, vandalism, and theft, but the Saints were seen by their teachers as headed for success whereas the Roughnecks were seen as headed for trouble. The cause of this distinction was family background and social class. The Saints came from respectable, 142 �7 Psychology, Society, and Culture Key Points middle-class families. The Roughnecks came from working-class families. This led h number of differences: The Saints had cars so their debauchery was spread over the l'lll town and was less conspicuous; the Roughnecks did not have cars and their actions, ttl� place in the same area day after day, made them conspicuous and drew the attention of police. They also had different "styles of interaction" when caught by police. The Saints '' seemingly apologetic and penitent; they showed a seeming respect for the police and gem•r were let go with warnings. The Roughnecks showed contempt for the police and consistrr had the book thrown at them. The results were predictable: The Saints became doctor� lawyers while the Roughnecks became criminals. The issues here are obviously more complicated than can be captured by this brief \ cussion of Chamblis's study, but the idea should be clear: Labels make a difference in h people are treated and in many cases can become self-fulfilling. Similarly, economists argue that lower-income individuals are more likely to commit an "equal payoff" crime than are high-income individuals because the cost to the higher-income individuals of going to jail is higher. Similarly, a rich person is less likely to be deterred by a fine than a poorer person because the same fine has less meaning to the rich person. Finland has an interesting application of this view. It makes all traffic fines income sensitive, so that a rich person pays a much higher fine than a poor person. Thus, a rich person might have to pay $200,000 if caught speeding. Even economists admit that much is left out of their cost-benefit approach to crime ( and to many issues). But they argue that its simplicity and clear statement often shed some light on an issue that is missed by other approaches, especially when the economic ap­ proach is combined with a good understanding of the strengths and weaknesses of other social science approaches. Control theory argues that the desire to rebel is more akin to our nat1 desires but that certain forces prevent us from doing so. Control theory argues that question is not, Why do people deviate from society's norms? Rather, the question is, \\ don't we deviate more than we do? To prevent such deviation, society has developed nor and institutions that subtly control us and our actions. Much of the subtle control instilled by parents during our childhood, and thus the type of family we come from • the type of friends we have in early childhood play major roles in determining how 1111 deviance we will exhibit. Control Theory. \ 143 Summary of Various Perspectives on Deviance Our discussion has only touched on the various theories of deviance. Many, I am sure, led to reactions from you such as "But how about.. . ." To really get into those issues, you'll have to take a psychology or sociology course on deviance. Before we move on, however, let us point out that the theories are not mutually exclusive, and our brief overview of them has not done them j ustice. Deviance is not a simple issue, and truly understanding that issue requires study beyond that which can be presented in an overview course such as this. Strain theory falls within the functionalist sociological perspective. Function,rl argue that deviance is a necessary part of a society; it clarifies moral boundaries and affi r norms; it promotes social unity and brings about necessary social change. Successful industrialized societies must arouse discontent in people to instill witl them the desire to advance and better themselves. Strain theory was developed by socio gist Robert Merton and other functionalists. Strain theory argues that when the SO\ structure does not provide equal access for economic success, but instills in all peopl functional striving for economic success, the result is a social strain. This social strain l result in a variety of reactions, one of which is crime. Notice the difference between str theory and the psychological theories. Strain theory sees deviance as a product of SOCil not of individuals. Society creates crime and criminals. Strain Theory. As you can see from the discussion in this chapter, and as you probably know from your own life, adjusting personality to fit society and adjusting society to fit personality are not easy. These adjustments involve a continual effort extending from birth to death. For many of us, it will seem an almost insurmountable effort in which the cards are stacked against us. It is precisely this feeling that leads so many into pop psychology. This chapter presents a variety of theories and therapies, and almost all of them have some value. Perhaps the most useful lesson here is not so much what the theories are ( al­ though this knowledge is necessary) as it is that psychological problems are prevalent among most members of society. It is all too easy to see ourselves as out of step and others as well adjusted (or vice versa) . In terms o f the course, the important lesson i s t o understand the processes b y which in­ dividuals and societies interrelate. Society is composed of individuals, but society as a whole is much more than the sum of those individuals. Thus individual development and societal development make up a two-way street. An evolving society will always have its adjustment problems, and each one of us who is a part of society plays a small role in that adjustment. As we adjust, so too does society. A slightly different take on the functionalist perspec 1 theory, put forward by sociologists Richard Clm opportunity on crime is the illegitimate and Lloyd Ohlin. This theory argues that crime is all around us but that different SOl classes have distinct styles of. crime. All individuals are imbued with the desire to achrl material success, but the lower social classes have significant barriers to achieving tl success legally. They are, however, presented with illegitimate opportunity structure' opportunities to make larger amounts of money through "hustles" such as drug deal tr pimping, and gambling. Society sees all these as crimes. The more privileged class does r face the barriers and its crimes are "white-collar crimes" such as tax evasion and f.r advertising, which are not prosecuted as much and are not so widely seen as bad. I l legiti mate Opportun ity Theory. Economic Explanations of Deviance Economists tend to see all issues through a prism of costs and benefits. Thus, their explar tion for crime and deviance is that the costs of crime exceed the benefits and that the wa decrease crime and deviance is to increase its costs. For example, the death penalty incrc,t the cost of a crime to an individual, and economists argue that having the death pen,r helps prevent killings. Critics argue that killing generally is an irrational act-a crim( passion in which the penalty plays only a very small role; thus, having the death penalty \ not significantly reduce killings. ( Both sides are still debating the empirical evidence.) y Points I 'ulture is created by the individuals within that l lllture, and individuals' personalities are in turn 'haped and molded by culture. Both nature and nurture affect personality and rndividual development. Positive and negative reinforcement help shape an rndividual's personality. • • • Self-actualization is the highest level of Maslow's hierarchy of needs. Freud saw personality as consisting of three major systems: the id, the ego, and the superego. Defense mechanisms are behaviors that individu­ als use to avoid facing issues. 144 • • �7 Psychology, Society, and Culture IQ tests can be useful, but only if their limitations are kept in perspective. Deviant behavior is not a crime unless there is a law against that behavior. For Further Study • F ive sociological explanations of crime are dill entia! association theory, control theory, labd1 theory, strain theory, and illegitimate opport u 1 theory. Some Important Terms behavioralist approach ( 1 30) cognitive approach ( 1 30) cognitive science ( 1 30) control theory ( 1 42) crime ( 1 39) defense mechanism ( 1 33) deviant ( 1 39 ) differential associa;ion theory ( 14 1 ) ego ( 1 32) feral childre ( l 26) functionalist perspective ( 1 4 1 ) heredity ( 1 29) humanist approach ( 1 30 ) � id ( 1 32) illegitimate opportunity structures ( 1 42) i nfantile autism ( 1 26) instincts ( 1 2 8 ) intelligence ( 1 34) interactionist perspective ( 1 4 1 ) I Q ( intelligence quotient) ( 1 35) labeling theory ( 1 4 1 ) Maslow's hierarchy ( 1 3 1 ) nature/nurture debate ( 1 29) negative reinforcement ( 1 28 ) normal person ( 1 32) norms ( 1 39) Oedipus complex ( 1 33) operant conditioning ( 1 28) percentile rank ( 1 36) personality ( 1 23 ) personality disorders ( 1 40) positive reinforcement ( 1 28) psychoanalysis ( 13 2) psychoanalytic approach ( 1 30) punishment ( 1 28) self-actualization ( 1 3 1 ) strain theory ( 1 42 ) superego ( 1 32) ,, to www. psych.umn.edu/psylabs/mtfs/special to answer the question: As twins grow older, o they become less similar to one another? 1 .1 kc a free IQ test, such as that found at www llltclligencetest.com. What aspect of i ntelligence o you believe the test is designed to evaluate? \VhJt other aspects of knowledge are there? tu m 1 . Does culture control people or do people control culture? Explain the relationship between the two. 2. Some outstanding individuals have made signifi­ cant contributions to our culture. Name someone who you think has done this, and discuss that per­ son's contribution. 3. Discuss some of the factors in childhood that in­ fluence an individual's personality. 4. Explain how, according to Skinner, operant con­ ditioning shapes personality. 5. Which is more important in the development of personality, environment or heredity? Explain the relationship between the two. 6. Contrast the four approaches to the determination of behavior: cognitive, psychoanalytic, behavioralist, and humanist. . l lenry, How To Live: A Search for Wisdom from Old l'c·ople ( While They Are Still on This Earth), New York, � Y: Twelve Publishers, 2009. •uf�hS, Augusten, Running with Scissors, 1 . Jung was a psychologist and a peer of Freud. The site www.terrapsych.com/jungdefs.html has a glossary of Jungian terms. What is an Electra complex? 2. The site www. indiana.edu/&sim;reading/ieo/digl' 1 d94.html is about home schooling/socialization t bates. Go to Stough, 1992. According to Stough\ 1 search, does home schooling limit socialization? London: Penguin UK, 2006. New York: Experiments of the Twentieth Century, New York: Norton, \\1,1yne W., The Power of Intention: Learning to Co-Create Small, Meredith F., Kids: How Biology and Culture Shape the "''" World Your Way, Aldershot, UK: Hay House, 2005. . J onathan, The Happiness Hypothesis, New York: Basic 1\ooks, 2006. n, Steven, Mind Wide Open: Your Brain and the .\',·11roscience of Everyday Life, New York: Scribner, 2004. �lonthly Press, 2006. 9nternet Questions Sen, Amartya, Identity and V iolence: The Illusion of Destiny, Slater, Lauren, Opening Skinner's Box: Great Psychological I'll ad or Press, 2004. 1 111, 7. According to Maslow, what are the five level' human achievement? 8. What are some of the characteristics of a w� adjusted individual? 9. Explain some of the contributions that Sigmu1 Freud made to the understanding of human p( sonality. 1 0. Explain the IQ test and what it tries to measur� 1 1 . Why may an act be a crime i n one society but 1 in another? 1 2 . Explain how crimi nal behavior could be beha\'1 conforming to a group norm. 1 3 . According to the strain theory, is crime necess.• for a successful industrial society? 1 4. In what way is the labeling theory similar to the 1l gitimate opportunity theory of criminal behavior 5. Pick a child from the list on www.feralchildren .com/en/index.php. What or who was the caregiver? Do you believe the story? For all the children listed, what was the most common caregiver? Where would she or he most likely be from? Further Study , Darrin M., Happiness: A History, New York: Atlantic Questions for Review and Discussion 145 judith, Miss Manners' Guide to Rearing Perfect 1 'hildren, New York: Atheneum, 1984. 1 hicago: Regnery-Gateway, 1 969. A. H., Psychology of Science: A Reconnaissance, ••rwirle In-Person Surveys of Adults, Chicago: National l<l·search Center and U.S. Bureau of the Census, 2005. . ';teven, How the Mind Works, New York: Norton, 1997. 2004. Way We Raise Our Children, New York: Doubleday, 200 1 . Thurman, Robert, Infinite Life: Seven V irtues for Living Well, Oxford: Oxford University Press, 2005. , B. F. Skinner Foundation www.bfskinner.org WWW WWW The Jean Piaget Society www.piaget.org WWW Library of Congress, Freud: Conflict and Culture www.loc.gov/exhibits/freud WWW Maslow's Hierarchy of Needs http://chiron.valdosta. edu/whuitt/col/regsys/maslow.html WWW Mental Help.net Personality Disorders www .mentalhelp.net/poc/center_index.php?id=8&cn=8 (accessed June 22, 2009) WWW Personality Tests www.2h.com/personality-tests.html WWW Social Psychology Network www.socialpsychology.org Part Ill Institutions and Society The Family Variations in the Family Pattern 147 society, when women married, they had to transfer all their property to their husband) and �s those legal codes form the civil or secular foundation of marriage. Marriage's religious rules differ among different religions. In the west, the history of marriage goes back to the Middle Ages when the Catholic church sanctioned marriage as a sacrament between a man, a woman, and God. Other religions took different views, and some religions saw marriage as s imply a government issue. The dual civil-religious aspect of marriage complicates debates about marriage and leads to the possibility of individuals being married in the eyes of a religion, but not in the eyes of the law, and vice versa. Polygamy and same-sex marriage in the United States are ex­ After readin� this (hapter, you should be able to: • • • • List four variations in family patterns and discuss where such vari­ amples of marriages accepted by some religions but not by most state laws. It is characteristic of man that ations can be found he alone has any sense of good List three functions of the family and explain how variations in and evil, or just and urljust, anti family patterns serve those functions the like, and the association of Discuss the state and problems of the U.S. family today Discuss the effects of technology on the family and what effect future changes in technology are likely to have on the family 1iations in the Family Pattern In addition to the two-parent family-mother, father, and one or more children-there are living things who have this sem also the single-parent family, consisting of either a mother or father, but not both, with one makes a family and a state. or more children; the extended family, consisting not only of parents and children, but also of other relatives such as grandparents, aunts, and uncles; and the gay family, consisting of -Aristotle two men or two women and their children. Number of Mates In the Western world, monogamy is the traditional, and in most places the only, legal form of matrimonial relationship. Monogamy is a form of marriage in which there is one hus­ band and one wife. This is by far the most widespread form o f marriage all over the world, even where other forms are allowed or encouraged. Given the increasing frequency of di­ Of all the institutions that shape our personalities and help us adjust to changing environment' the family-a group of persons closely related by marriage, blood, or some other bond whu deal as a unit with the outside world-is the most important. It is within the family that w1 are initially socialized. If our family unit isn't working, we are likely to have personal ant name-serial monogamy-to describe our standard formal relationship, which is marriage between one husband and one wife followed by a dissolution of that marriage and a subse­ quent marriage between that same husband or wife and another opposite-sex partner. social problems. In the United States, families are recognized by civil and religious authori Polygamy is the term used for plural marriage, but this is divided into two types: ties. Families typically are formed by m arriage-a social institution marking a commit polygyny, meaning one husband and two or more wives, and polyandry, meaning one wife ment between individuals to live as a family, which is recognized by civil and/or religiou authorities. families bound together because all the children have one parent in common. Some writers and two or more husbands. A polygamous family may be thought of as two or more nuclear In the United States, many still tend to think of the family in terms of a mother, fathl'r also recognize a form of plural marriage called group marriage, or cenogamy. Cenogamy is and one or more dependent children, often with the father working and the mother stayin a form of union in which several men are married to several women, but such relationships at home. This vision of the family is still strong, but that kind of family is now in th{ are uncommon. Same-sex marriage is a union between adults of the same gender. Around minority in the United States; in fact, fewer than 10 percent of our households meet this dl 1 970, at least in the United States, this last term began to be used as such relationships were scription. Moreover, the concept is by no means accepted in all parts of the world. formed more and more openly. These relationships and the question of their legal status Similarly, many of our other ideas about marriage and the family are not universal! \ held. For example, in the United States we have come to assume that everyone should havl' 1 free choice in selecting a mate, but this is definitely not a worldwide custom. Some societil create new social, legal, and political problems with which our society is still struggling. Where polygyny is sanctioned, it is generally practiced both for its prestige value and for its economic advantages. Among the Tupis of South America, for instance, as well as in have quite different ideas of marriage and fam ily. One stable point can be claimed, howevl'l sections of Africa, wealth and distinction are measured in terms of how many wives a man Throughout h istory, among all peoples in the world, the family has been the continuing and has. Often the wives not only perform domestic services but also work in the fields, and basic primary group. thus contribute to the support of the entire family group. Sometimes, as in the Trobriand With the recent political push by some in the United States to legalize same-sex marriag1· the history of marriage as an institution becomes important. Looking at that history, we 146 vorce in the United States, some researchers have suggested that we should develop a new �n Islands of Micronesia, the income of a chief depends on the annual endowments received fro m the families of his wives. The first wife usually has the responsibility of administering that it has both a religious and a secular component. Marriage's civil history goes back furthc\t the affairs of the household, but she is not necessarily the favorite wife. In many cases, each and, from early on, governments have adopted changing rules about what constitutes marria)!t wife keeps a separate household, and the husband rotates his attention among them. ( for example, whether polygamy is allowed) and the rights that individuals have in marriag{ Polyandry is comparatively rare. It is found mainly in some parts of Tibet and among These rules become built into society's legal code (for example, until recently, in Wester n some aboriginal tribes of India, where a woman may marry two or more brothers. There 148 �8 The Family Variations in the Family Pattern 149 by capture, perhaps in a raid on a neighboring tribe. Sometimes the kidnapping is genuine, and sometimes it is a ritual that carries out a previous understanding. The other principal'type of selection we call personal-choice mating. Personal-choice mating implies the custom of personal freedom in mating, with relatively little interference from others. This is the type of marriage we are familiar with in mainstream society. However, this freedom of choice is not restricted to our own country, nor indeed to our own time, although we again emphasize that mating activities are almost always be carried on within the framework of the prevailing local laws and mores. The techniques involved in personal-choice mating differ from one society to another, as do the moral and legal sanctions governing them. For example, among the polar Eskimos in earlier days there was not only complete freedom of choice by mutual agreement in the making of a permanent marriage, but before marriage there was also a sanctioned period of group living, during which experimental mating took place among the youth of the com­ munity. Children resulting from this arrangement were not considered illegitimate but be­ An arranged Indian wedding. longed to the mother and the man who eventually became her husband. One of the criteria often used by the man in choosing a wife was her demonstrated ability to bear children, just as one of the criteria for the woman in choosing her husband was his demonstrated ability to provide for her and her children. are also cases of polyandry among a certain few indigenous people of Canada, in tt Marquesas Islands, and among the Bahima in Africa, but it is the least common of the m,, forms of marriage. Family Control No one type of family control has ever been universal, but three main patterns have Selection or Mates The rules governing the choice of mates are as diverse as the societies in which they have d veloped. The rules differ not only from one society to another but also among subgrou1 such as social classes, within a society. They usually include various limitations on the p sons of the other sex who are eligible to marry any given individual. Let us first consider some of the rules governing eligibility. For instance, in India a p son of one caste finds it difficult to marry an individual from another, and until recently, a country such as South Africa a person of one race was not permitted to marry somco from another race. In some societies, one may never marry a blood relative, no matter ho distant, and in others one may marry only within the kinship group. 1 The governing facto on the one hand are the fear of incest, or sexual activity among people who are close k1 and the desire for alliances. At the other extreme is the fear of marrying anyone too unh the social group to which one belongs (in the case of certain small groups, this necessat 1 means marrying a relative). In the majority of modern societies, both forces operate, ,11 therefore most people find their search for acceptable marriage mates limited to perso1 not closely related but within the same general social group. Rules govern the actual choice of a marriage partner. Some societies have arran1: marriages, marriages that are arranged by one or more persons other than the marri.1 partners because it is believed that a marriage is as much the concern of the families a' the individuals involved. The arguments in favor of such marriages include alliance' wealth, property, or political power, or the belief that young people are too immature, int· perienced, and impulsive to consider properly all the factors necessary for an enduring ,11 successful marriage. Many Asian families in the United States still arrange marriages for their childrt'l many of whom are highly educated. In some societies, wives are obtained by kidnapping c prevailed: patriarchy, matriarchy, and the egalitarian family. A patriarchy is a form of social organization in which the father is the supreme authority. A matriarchy is a form of social organization in which the mother is the supreme authority. An egalitarian family is one with shared control, with neither the father nor the mother as superior. In a patriarchal culture, the father is not only the head of the family, but society also considers that the children belong to him and that he has authority over their lives, even, in some cases, the right to give or sell them in marriage. The patriarchal family was found among the early civilizations around the Mediterranean and has been carried down through Christian civilizations to modern times. Our colonial fathers maintained the patri­ archal system, and there are still many families in the United States, as well as in other parts of the world, in which the father is the recognized authority in the family, although with some modifications. Societies in which family control actually rests with the mother are exceptional. In most so-called matriarchal cultures, as among the Zuni Indians in the southwestern part of the United States, the mother usually does not have direct control, as one might suppose. More often, the mother's brother wields authority and controls the children. But the family takes the mother's name and usually lives with the mother's parents or other relatives. The husband may move in with them, but he is apt to spend more time with his own mother or his sisters' families, helping to control their children. Because he has no control status with his own children, he is more of a playmate and friend to them. Family control in the United States has gradually shifted toward the partnership, or egalitarian, form. As women have increasingly gained equal educational, economic, and po­ litical rights and privileges, the control of the family has more and more come to be shared by both marriage partners. Reckoning or Descent In the Western world, we u�e the bilateral method of reckoning descent, counting our ances­ 1 Marriage within the kinship or other social group is known as endogamy. Exogamy refers to mam outside the group. tors on both our father's and our mother's side because our biological inheritance comes from both. However, this is not the universal practice. Some societies use the unilateral method, in 150 �8 The Family \ Matching Family Patterns with Family Functions 15 1 Society relies on families to fulfill these functions, and when they don't succeed, other social institutions must adapt. Let's consider an example: the biological function of families, or the need to reproduce.. Until recently, few married couples were voluntarily childless, but in the last twenty years the number of families having no children has been increasing. During this time, many women, both married and unmarried, delayed childbearing and pursued professional educa­ tion, gaining a foothold in their careers. Often they married other professionals. The incomes of these professional couples tended to be high but so were their expenses and their ambi­ tions. They chose to put off having children, which they were able to do because, among other reasons, of advances in contraceptive techniques and increasing sanction of these techniques. A number of those couples who put off having children are experiencing what might be called the thirty-seven-year-old syndrome, in which couples approaching the end of the woman's childbearing years are opting to have at least one child before the woman reaches an age at which pregnancy is unwise or impossible. This countervailing trend became ap­ parent in the 1 980s and has continued through the early 2000s. A phenomenon surfacing at about the same time was that of unmarried women not only welcoming but actively seeking pregnancy, sometimes with partners selected only for this occasion or through any of a number of other fertilization methods. Figure 8.1 Reasons for desiring more or fewer children vary in different societies. In agricultural How to draw a family tree. societies, especially if land is plentiful, people are likely to desire large families because chil­ which an individual is deemed to belong to either the father's or the mother's family will have to find some other way to reproduce itself. For the United States, this may well ancestors are reckoned only in the male line of descent or in the female line. A patrilinear' mean an increase in immigration. dren tend to be an economic asset. In industrial societies, where children are more costly, families tend to have fewer of them. If the trend toward childless couples continues, society tern determines descent through the male line; a matrilinear system determines des. through the female line. This may not seem logical to us, but it does simplify matters for th who use it. Imagine being asked to name your ancestors for twenty generations back. . African chief who reckons his ancestry by patrilineal descent would know the twenty n,u required. In our society, we would have to remember 1 ,048,576 names. Few carry their fan tree back that far, but many families keep a family tree like the one in Figure 8. 1 . Names and naming systems are important symbols. I n the United States, although generally acknowledge our descent bilaterally, the name we carry usually is that of our tching Family Patterns with Family Functions What family structure best meets these functions? That's hard to say because it depends o n individuals' psychological development and t h e technology a n d exigencies of t h e society. Let's consider the variations of family groups in reference to modern Western society. ther or husband, emphasizing the patrilineal line of ancestry; however, in recent 1111 more married women have been keeping their birth names. The preceding examples illustrate the many diverse customs that prevail in famr Number or Mates throughout the world. Despite such diversity, are there basic points regarding marriage As we stated above, our society is primarily a monogamous one in which a family group in­ the family on which all societies agree? There must be some underlying reasons for the cludes a male and a female. Why? viva! of this institution through all the changes that h ave taken place over centuries. Pcrh One of the reasons is that this family grouping works well for reproduction. Given cur­ the answers can be found in the functions of the family, for although ways of carrying rent technology, that's the way society reproduces itself. If reproductive technology required these functions differ in every society, they remain the force motivating the family as an three (or only one) for reproduction, there would be pressure for a different number of mates. stitution. Another reason is that children take enormous amounts of time. A one-parent family has a difficult time meeting either the child's or the parent's psychological needs. As a mat­ ']unctions of the Family in Society The family has many functions: It must reproduce the species; otherwise the species will end. It must see to it that the young are reasonably well adjusted, so that they don't cause 111 ble for society and that they grow up to be productive in the biological and physical sen ter of fact, a two-parent family has a difficult time meeting the child's and the parents' psy­ chological needs, especially if both parents are working. This places two types of pressure on social institutions. One pressure is for an extension of the family, either by including a third mate or by extending the family and including grandparents, aunts, or uncles as part of the primary family unit. The second pressure is for society to develop institutions such as day care to remove part of the childrearing burden from the family. A third important reason the family group consists of a monogamous male and female is for the psychological adjustment of the individuals. According to some social scientists, "three's a crowd" is more than just a pat phrase. I ndividuals have psychological needs to be It must provide sufficient satisfaction for parents to keep them well adjusted so tl accepted and loved, making mates o f some type necessary, and the need for security argues don't make trouble for society. for a single mate. Some individuals might prefer more than one mate for themselves, but 152 chaptvv 8 \ The Family Matching Family Patterns with Family Functions few would prefer that their mate have more than one mate. The dewlc ment of strong friendships outside of marriage often results in stru feelings of jealousy. Those feelings are in part genetic; most species h developed instincts that encourage the propagation of the individu key role of the family is procreation. A society needs ren, but not too many. Maintaining the proper genes, and humankind is no exception. Recent work in evolutionary psychology emphasizes this psycholc ical aspect. Some experts claim that those traits leading to procrcat will be fostered in individuals and that there is a relationship betwc physiology and human characteristics. Thus, while there is a strong t dency toward one-to-one mating, there is also a strong tendency in h• the male and the female to stray and have other mates. Finally, a fourth reason is that from society's point of view 1 monogamous relationship provides a mate for most people bec:,u males and females are born in nearly equal numbers. As we stated above, although the majority of relationships monogamous, there is a frequency of turnover of mates-called The little darlings (sometimes). and Lovio!l Sl monogamy-and a certain amount of infidelity within some marri Thus, while our system is monogamous, it is not so in a strict sense. of numbers of children is a difficult social Take Singapore, for example, a small, rich in Asia. Singapore's population control incenwere very successful and reduced the birthrate a 4. 7 percent annual increase in 1965 to a 1.5 annual increase in the late 1980s. Then the le...r. nment began worrying that the country would too few young people to support the elderly, so it hed tactics and strongly encouraged marriage. The government established a number of programs encourage the 30 percent of college-educated men who were unmarried to get married. The proincluded dating services, "love classes," and to men about how to act on a date. One of the lprogram booklets lists "some nutty ideas" for dates, tuch as "playing Scrabble on the beach armed with Selection of Mates dictionary and a thesaurus."*! leave it to you to 153 decide whether this advice is transferable to the United States. Perhaps we could modify it some: Why not ask your date if he or she wants to go to the beach and discuss the questions at the end of this chapter? How about.. . . The measures didn't work so well in Singapore ei­ ther. After they were introduced, the birthrate contin­ ued to fall. In the early 2000s, Singapore established financial incentives for having children. A second child earns couples about $3,000, and a third child is worth about $6,000. Even countries that don't provide direct financial incentives for having children offer implicit subsidies. In the United States, taxpayers get a child tax credit, and in other countries parents get paid leaves and free child care, policies that are designed to make children less costly. *A thesaurus is a reference book set up like a dictionary, except it provides a I ist of synonyms. Western societies generally allow individuals to select their own mates. Such a seleclt process is by no means universal; families in Eastern societies generally choose mates for 1 children. The problem with family selection is the possible incompatibility of mates an• socially so that, on average, a woman is better able to deal with children than a man is, at failure to fulfill the psychological function of marriage, although as some of our Easll least until the child reaches the age of about three. Maternal instincts exist. But this patriar­ friends point out, given the number of divorces and unhappy marriages in the West, ' chal reality only suggests that the male will most likely maintain the uninterrupted income­ selection doesn't seem to do such a good job of meeting the psychological functions. earning activities, not that the male will have control of the fam ily. The advantage of family selection is that it is more likely to fulfill economic and SO\ What maintains the patriarchal system is, in large part, social and genetic inertia. Male stability goals. When hormones play an important role in mate selection, economic and dominance is built into the social and genetic structure of society. The fact that it is built in cia! considerations often are forgotten. does not mean that it cannot, or will not, be changed. It simply means that it will only be Of course, as we saw in Chapter 4, social stability is not necessarily a goal of socr changed through conscious effort and moral commitment to equality. Cultural diffusion is also necessary, and one of the reasons Western societies have adapt better than Eastern societies to 1 changing technologies may be tl self-selection of mates creates SO\ instability that allows and gencr,1 change. Other Western Family Characteristics and Functions of the Family We could go on listing Western family characteristics and discussing their function, but there isn't space, and besides, it is an activity best left to you. Think of other characteristics, such as the age at marriage. Estimate what the average age is (later in the chapter we give you the information), and then try to explain what functions are served by getting married Family (ontrol and Reckoninu of Descent Western societies generally are p.ll archal and use a bilateral method reckoning descent. These custor do not seem to fulfill significant A traditional family. at that age. Why not earlier, say at age thirteen or so, as soon as people are sufficiently developed sexually to have children? ao Arrao!led Marria!le n Your or Your Child's Future? parents. They want their parents to arrange marriages for them, often to people they never meet until the parents of the prospective bride and prospective groom any of the functions of the fam Dating is a pain, love is nonexistent, and romance is have settled things among themselves. Does this make other than the need for the psych for the birds. According to Ramdas Menon, a sociolo­ sense? Maybe it does. It takes pressure off the mates. logical &ist at Texas A&M University, more and more The custom also preserves culture, brings individuals adjustment of the n1.1 Society does need to fulfill the chrl Americans, especially those with Asian, African, and from similar backgrounds together, often unites and rearing fu nction, and it is true tl Middle Eastern backgrounds, are taking this view and strengthens economic ties, and keeps premarital women bear and nurse children ,11 leaving the problem of whom to marry up to their expectations low. have evolved both genetically .11 154 �8 The Family in the United States Today The Family 24 20 155 number of families in which both parents work-often earning two high incomes-have led to a return from the suburbs to city life, as D 85 years and older D 65 to 85 years many seek the distractions and satisfactions of the fast track. With women playing more vital roles away from home, their de­ pendence on males for survival has lessened. Moreover, many other 1.93 16 0> !S � 12 f::' 1.0 a... "' 1.2 1.6 satisfaction both in marriage and-outside of it. Today, both males and fe­ 6.05 1.85 "' forces have driven women toward more self-sufficiency and a search for males demand more of marriage and of each other, which adds to the stresses of modern life. The fully liberated man (of whom there are still 2.9 only a few) shares major decisions, roles, and work with his wife, but many women find that they continue to be allotted the major share o f 11.1 t h e domestic duties, even while working full time. I n other households, 8 4 0 .3 Mnnnn 1900 1910 1920 1930 1940 the patriarchal male finds great difficulty in accepting the wife's auton­ 7.7 omy, but a great many do, nevertheless, make the adjustment. Even with shared responsibilities, the two-earner family cannot !IIIli more women have entered I 1950 1960 1970 1980 1990 2000 2010 2020 2030 2040 20 Figure 8.2 The aging of the United States. By the year 2050, over 20 percent of Americans will be over the age of 65 and almost one-fifth of these will be over 85. (Source: U.S. Bureau of the Census.) jc1rce, fathers have had to 'lllrture providers, not always .- most finesse. provide full-time care for children. This situation has placed more re­ sponsibility on the schools, many of which provide not only lunches but breakfasts and may stay open beyond the normal school day to provide some place for the child to remain until the parents' workday is over. Fortunate families have found good day-care centers, but these are not equitably distributed and te 9d to be expensive. Moreover, most good centers have waiting lists. Many children come home after school to empty houses or apart­ ments and fend for themselves, sometimes even supervising younger brothers or sisters, un­ til a parent arrives. These children have become known as latchkey children-children who have their own house key and immediately lock themselves in once inside their homes. Another interesting question in relation to the functions of the family is what is I.� to happen to the family as the age structure of society changes. Consider Figure 8.2, wh shows the increase in the elderly as a percentage of the total population. What is like!\ happen to the family as this occurs? How will the family unit deal with the changes incu r by such a population shift? In the next section, we look at the U.S. family today. As you read, consider the functa of the family and how well the characteristics fulfill those functions. Th e Family in the United States Today One of the causes of the revolutionary changes in twentieth-century life in the United St was our massive transition from an agricultural, rural nation to one that is mainly commcrl industrial and urban. With the mass movement of people to cities throughout the I nineteenth and early twentieth centuries, housing costs increased and both family o1 home size shrank. People no longer worked mainly at home, although initially most won stayed home to care for the family. H owever, technological advances in labor-saving h(ll The sexual revolution of the 1 960s and the enhanced sense of independence experi­ enced by both men and women loosened many moral restraints. The mobility and easy anonymity of modern cities have made it possible for husbands and wives to widen their circle of friends. Often this freedom has caused them to become less content with one life­ long mate. A phenomenon described as serial marriage has resulted, in which people have several husbands or wives over the course of their lives, although not more than one at a time. Because each partner may bring to the new marriage one or more children and may be sharing the custody of those children with other former mates, family relationships can become complicated and challenging to emotional and material resources. to Be a Good Wife example, a 1960 home economics textbook ina section entitled "How to Be a Good Wife." It ties. Children's help around the house was no longer required as much as it was on Have dinner ready for him when he comes home farm; the number of children per family declined, and the city's recreational offerings ol1 from work; let him know you have been thinking drew parents and children in different directions. about him and his needs. Touch up your makeup and be refreshed when he 1 920s-served to make us an on-the-go nation; home became a place to sleep or to get,, from. The car itself and the two-car family helped in large measure to build the post-Wo Prepare the children; wash their hands and faces. War II commuter suburb. Postwar affluence, fed by commercial wealth, advertising, and T hey are little treasures and he would like to see credit economy, helped lure us away from the waste not, want not Puritan ethic of the 111 them play the part. teenth century, when debt meant disgrace. Smaller families and the dramatic increase in' Clean up the house before he arrives. Make him feel that he has reached a haven of rest and way to get an idea of the change that has occurred the nature of the family is to look at old textbooks. hold appliances and family planning freed women for leisure and market-oriented all Modern transport-the car in particular, which came into widespread use in 1 • order. • At the time of his arrival, eliminate all noise. Greet him with a warm smile. • Let him be the first to talk. • Never complain. Try to understand his world of strain and pressure and his need to be home and relax. When I showed the list to my wife, she smiled and reminded me to have dinner ready for her and the kids when she got home from work. 156 �8 The Family The Family in the United States Today Despite these changing roles, the family remains an important element of life in 157 Dating United States. In many ways, the family has merely adapted to the changing cultural clin in the United States, and, we suspect, most of you see marriage and a family somewhr11 Because U.S. custom allows self-selection of mates, peo­ your future. Many people who had moved away from family relationships are returninr ple who eventually marry must first meet. Some of the Table 8. 1 gives you an overview of some U.S. family characteristics. Notice that '' ways people meet are through school, work, religious about half of all U.S. households consist of married couples, and that there are morl' institutions, sports, walking the dog, amateur dramatic married female-headed households than there are male-headed households. The grl societies, networks of friends, and the Internet where number of female-headed households is in large part due to the fact that women live I on sites such as MySpace and Facebook allow people to than men. For a better sense of the changes that are occurring, in the next part of the ch meet others outside their immediate geographic area. ter we consider the issue of dating in the United States. Because much of the material ! sented about dating is familiar to you, we approach it in a slightly different way-as After two people meet, they get to know each 1 other better through were written by an anthropologist about people from another culture. This allows you take a more objective look at issues in which you are active. formal or informal dating. Dating allows people to get acquainted with each other on an intimate and, hopefully, a mature plane. It also gives them an opportunity to evaluate themselves in an interpersonal situation outside the family and Table 8.1 serves as a form of recreation. I n the 1 950s, dating was U.S. Family Household Characteristics often formal, with the boy picking up the girl and escorting her to a social event. Although TOTAL HOUSEHOLDS (In Thousands) CHARAC TERISTIC NUMBER· All 116,783 77,873 Nonfamily household 38,910 would have been in the 1 800s), he was obliged to see the parents and exchange some conversation when he came to the girl's house to pick her up. At these-often awkward­ meetings, the parents would "size up the lad" and .inform him that they expected their daughter home by a certain hour (say midnight if it were a weekend evening). In the 2000s, HOUSEHOLD TYPE Family household the boy was no longer required to ask her parents' permission to take the girl out (as he arranging a date is more informal. Often one person, male or female, will phone or speak to the other and suggest they get together and possibly do something, such as go to a movie or ride in a sports car. The ritualistic meeting of the parents can come later, or not at all, what­ ever seems to occur naturally. HOUSEHOLD TYPE Sometimes this relationship moves to formal dating, but often it does not, although Family household both individuals have a sense (often different) of how much freedom the relationship al­ HOUSEHOLD MEMBERS lows them in terms of seeing, talking to, and being with other individuals. A vocabulary 73,989 Family members only often develops to describe how individuals feel about relationships. For example, at my 3,884 Family and nonfamily members college some students who want a one-to-one relationship are described as " velcro." Most relationships are not necessarily expected to end in marriage. Usually an individ­ FAMILY TYPE ual has relationships with a variety of people before finding one that seems right. In fact, 58,370 Married Couple there are likely to be several right ones, or no right one. An eighth-grade girl explains: "Next 5,100 Male Householder year we'll be in high school, and then I'll ditch him to date a sophomore. No freshman girl 14,404 Female Householder ever dates a freshman!" Older individuals are likely to be less concerned about age or year in school and more concerned with emotional, economic, and social compatibility. The diffi­ Nonfamily household culty in finding a satisfactory mate is so great that singles ads in newspapers, in magazines, HOUSEHOLD MEMBERS and on the Internet are booming. Here's one such ad: 38,910 Nonfamily members only IS THERE A C ARING considerate, attractive, ambitious woman out there who seeks compan­ FAMILY TYPE Male Householder 17,872 Female Householder 21,038 ionship, fun, possible marriage? Considerate, attractive, ambitious M.D., 37, 5 ft. 8 in., tired of the singles race, divorced, two children, income in the $150 thousand range, looking for psy­ chologically aware, vibrant, professional, bikiniable woman to share opera, skiing, sailing, art galleries. She's blond, in her 20s, doesn't smoke, and wants me. Send photo/phone. (in thousands) Some make better reading than the preceding, and many are more interesting than the TYPE OF FAMILY NUMBER IN MILLIONS PERCENTAGE OF TOTAl Married couple 58,370 50 Male head of household 22,972 19.7 Female head of household 35,442 30.3 soaps. Sex and Singles There are enormous differences in sexual codes, even within the same town; the sexual rev­ olution that started in the 1 970s spread in a complicated pattern. The sexual revolution also Source: US Bureau of the Census, Current Population Survey, 2009. brought with it an increase in sexually transmitted diseases. Depending on the individual's 158 �8 The Family The Family in the United States Today upbringing, sexual relations can begin at any stage of the relationship. Prohibitions ·'f sexual relations are decreasing among college students, and "hooking up" in which on sex with someone else supposedly without any emotional commitment, has inctl Today, students often talk about "friends with benefits" rather than about their "girlfr or "boyfriend." In large cities and in suburban communities, sexual relations often begin as early ,, twelve, which as we stated earlier is an argument for starting marriage much earlier. In ilies in which religion or other organized moral standards prevail, however, the 'h "good girls don't" still carries some weight, and in such families, girls wait until the Sl 1 stage of a relationship, or later, before having intercourse. It should be noted that ,, standard still exists; there is a less strict guideline than "good boys don't." Over one-third of U.S. births are now to unmarried women, and for black womu proportion is even higher. Almost 70 percent of all black children are born to unm,r mothers. In the black community as a whole, over 50 percent of all one-parent familrl headed by mothers who have never been married. Through the 1 980s, the issue of teenage pregnancy was seen as a predominantly I issue, but beginning in the 1990s, with an increasing proportion of white teenage prefl cies, the issue now extends beyond racial lines. In the early 2000s, teenage birthrates declined across all race and ethnic lines, although rates for African American and Hisp teens continue to be higher than those for other groups, with abo llt 20 percent of Air American b irths being to teenage mothers compared to lO percent for whites. The birth is about 42 per l ,000 teenage women, and although this is a 33 percent decrease ovo last ten-year period, it is still the highest rate of all industrialized nations. (Both incr' use of contraception and increased abstinence are credited for the decline.) Another issue that confronts singles-indeed, anyone, married or single, who is nc a monogamous relationship-is sexually transmitted disease. In addition to centu ril· venereal diseases such as gonorrhea and syphilis, there are now herpes, chlamydia, gc.:r warts, and HIV, which can lead to acqui red immunodeficiency syndrome (AIDS), a br down in the immune system. Even intense relationships often do not lead to marriage. Individuals often have a 11 ber of serious relationships before they finally marry. It is also common for couples to together for periods of anywhere from a month to many years before making a decisior marry, and some decide never to marry. A Gallup poll taken in the 1 980s found that .11 50 percent of the responding college students thought it was helpful to live together hl Such an important shift of roles, even though desirable and pleasurable, involves a good deal of adjustment. This has not been made easier by the swift pace of social change in the United States. In a static society, the role expected of each spouse is well understood, but i n a dynamic society such as ours it is easy to be uncertain about just what is expected. This confusion may be increased in cross-marriages between faiths, nationalities, or races. Even if hazards are eliminated, our common heritage of diversity is constantly changing the so­ cial pattern for everyone. Hence, adaptability has become an important personality charac­ teristic in marital adjustment. Children As we stated earlier, for an increasing number of families marriage and having children are not necessarily linked. This has contributed to creating what is sometimes called an under­ class that has little chance of escaping the poverty it grew up with. This underclass has to deal with a different set of pressures than the middle class. People in the underclass often get a poor education and little encouragement to take advantage of the educational opportunities open to them. They find themselves in social environments that offer little hope for long-term advancement and build that into their world­ view and actions. Their immediate concerns are often for their safety and getting enough to eat, concerns generally far from the minds of middle-class (even lower-middle-class) individuals. Middle-class culture, although it has more or less condoned living together, tends to put pressure on middle-class individuals to get married if they have children or want to have children. Thus most middle-class couples choose marriage. Marriage establishes the economic responsibilities for both mother and father, and even if the parents split up, both retain legal responsibility for the children. Thus, the spouse who does not have legal custody is responsible for child support and possibly alimony. Later, when we consider divorce, we deal with these issues in more detail. The decision to have a child is not an easy one. Children involve major responsibilities and hard work. Often it means giving up one spouse's potential income or, if both parents work, worrying about child care, education, and privacy. Moreover, parenting is no longer eighteen years and out. Many adult children are coming home to live with their parents (see Figure 8.3). This trend tends to be strongest when economic times are tough. marriage; many thought it didn't matter one way or the other, and only about 27 pl·r 24 thought it was harmful. However, all but 2 percent thought it was extremely import.ll remain faithful to one's mate after marriage. In deciding whether (and whom) to marry, romantic love plays a role, but increasu 18 individuals are considering, in addition to love, other issues, especially in relationshlJ which both members are planning a career. Whose career will come first? What happlr they are assigned jobs in different locations? If one supports the other in order to fur his or her education, what obligations are incurred? To meet these complex issues a nun of couples are entering into formal marriage contracts (prenuptial agreements) that out the obligations and expectations of both so that the love relationship is not shatten After a period of decision, most individuals marry. Marriage is a more or less pl'J nent contract between a man and a woman under which they are expected to live togl·t "' c: 0 -� E .E 12 6 o I 6.8 and to provide a home for their children. The contract has legal, and in many cases gious, sanctions. Entering into this contract creates many new responsibilities involving not onh couple but also the families from which they came and various other social groups. 0 Ll_ 1970 II 9.8 1980 I I 10·9 1985 I I 10.4 I I 10.4 I I 10.0 I I 10.2 I 110.4131 110.7291 111.110 1990 1995 2000 2005 2006 2007 partners immediately assume new statuses: the husband/wife status, the in-law status Figure 8.3 the family status. Even if the parties have previously lived together, marriage invoh Adults ages eighteen to thirty-four living with parents. (Source: Current Population major change. 159 Reports, U.S. Bureau of the Census.) 2008 160 �8 The Fami l y 16 1 The Family in the United States Today In spite of the responsibility and hard work children bring to a couple, most peopll 16 15 14 that the rewards are compensatory. The number of children that couples are willing to h however, is smaller than two or three generations ago, and following a temporary rise i n 13 12 11 :0 1 0 c "' 9 "' ::I 8 0 1 940s a n d 1 950s, the average has been dropping. Senior Citizens :5 "' � As children grow up and leave home for college, for a job, or to establish their own h011 � .!! holds, the family dwindles in size to the original two. "' a: For the middle-class ideal family, a number of years then follow, perhaps as many ,1 teen or twenty, before retirement-years in which there is time for more active partil 7 6 5 Divorce rate * (left scale) 4 3 2 1 tion in social and civic affairs or, for spouses who have not worked outside the home bd for employment. Companionship is now the strong bond between the couple. Shared '' 0 riences throughout the childrearing years cement this bond, but a new and satisfactory 1 tern of life without the children at home must be developed if the couple is to rcn happy. Generally, couples are able to make the adjustment. In fact, research studies h '1 0 1 900 '05 '1 5 '20 ' 25 '30 '35 '40 '45 '50 '55 '60 '65 '70 '75 '80 '85 '90 '95 '00 '05 '06 '07 '08 • Rate per 1 ,000 population .. Rate per 1 ,000 population Figure 8.4 shown that a couple's happiness declines with the birth of a child and tends to renew '' the children leave. Thus, for the parents no less than for the children, maturing of the l dren represents a period of weaning or emancipation. When the children return on V I Marriages and divorces, 1 900 to 2008. (Source: U.S. Bureau of the Census, Statistical Abstract of the United States, and monthly Vital Statistics Rep ort. ) their relationship i s on an adult, companionable basis, a n d if there are grandchildren, I can provide the grandparents with a new interest in life. Statisticians have various methods for determining the number of marriages that end The family ideal is not always reached. I n the less-than-ideal family, the couple c stand each other but stay together because they don't have enough money to live apart in divorce. One study of a group of married couples over time indicates that nearly 40 percent of first marriages end in divorce, about 80 percent of those people enter a second marriage, one leaves or has already left the other in order to take up with someone else or just to alone. Whether they stay together when they want to be apart or one leaves and sets up other household, often there is a haunting loneliness for one or both members of the and almost 45 percent of the second marriages also end in divorce. Though we now have approximately one divorce for every two marriages, only about one in four households is a cc single-person household, because many divorced people marry again. pie. Another less-than-ideal family type is the one in which the parents aren't speakin1 the children because they have had to take second jobs to pay the kids' college loans, which · kids have defaulted on. There are countless variations of the less-than-ideal family. I the less-than-ideal family, retirement can mean being kicked out of a current job ,, shunted into a low-paying one that is necessary to make ends meet. As the Russian nOVl' There are almost as many reasons why people get divorced as there are divorces. Most can be combined into some type of incompatibility: One or both of the partners are not getting what they want out of the marriage. Sometimes a third party is involved whom one of the partners finds more attractive than his or her mate, but often Leo Tolstoy wrote in the opening sentence of his novel Anna Karen ina, " H appy familic' all alike; every unhappy family is unhappy in its own way." the marriage would have been in trouble even if there had been no third party. When we think about the institution of marriage, the number of divorces is not sur­ When the time finally comes for the couple to retire from their regular jobs, many cc pies, if in good health, still have years of activity ahead. Successful adjustment to retirem prising. Most friendships don't last a lifetime, so why should a marriage? Those marriages also depends on personal temperament. Some individuals welcome the release from rout1 and responsibility; they are flexible enough to have little trouble in finding interesting Why Do Peo ple Get Divorced? w that don't have serious problems often are with partners who share a common set of values arid who not only love each other but also respect each other's capabilities and integrity. Not many partners fit these characteristics, so there aren't many rock-solid marriages. to spend their time; others feel lost when deprived of their previous work. Health ,, money are also important factors. Table 8.2 Family Disorganization and Divorce Approximate Ratio of Divorces to Marriages, 1 890-2008 The preceding section described the development over time of a married couple who main married. More and more, this is a less typical chronology. Figure 8.4 gives the 111 riage rate and the divorce rate since 1 900. The marriage rate has fluctuated since 1 900 but RATIO YEAR RATIO YEAR 1890 1 to 18.0 1970 1 to 3 . 1 2008 has fallen to 7.0; in other words, 8.5 people out of every 1 ,000 get married in a gt\ 1910 1 to 12.0 1980 1 to 2.0 year. The divorce rate increased in the 1 970s but has been decreasing since the 1 980s. 1:11 1930 1 to 5.8 1990 1 to 2.1 8.2 shows the approximate ratio of divorces to marriages from 1 890 to 2005. We must 1 member several qualifications when considering the divorce rate. For instance, if in a g1\ year there is one divorce for every two marriages, it does not mean that half the marri.t in that year ended in divorce; rather, in that year some people got married and others, had been married for anywhere from one day to fifty years or more, got divorced. w 1950 I to 4.3 2000 1 to 2.0 1 960 1 to 3.9 2006 1 to 2.0 Source: U.S. Census Bureau the 2009 Statistical Abstract, International Statistics: Vital Statistics, Health, Education 162 �8 The Family in the United States Today The Family People often marry in the hope, belief, or expectation that their partner will chan maxim of marriage counselors is that people don't change, or if they do change, you l.ll 163 Singles pect it to be in the opposite direction from what the other partner wants. In word pm• The number of individuals choosing not to marry and the large number of divorces have cre­ ing, most personal computers use WYSIWYG (pronounced wizzywig)-what you ated the class called singles. These people live alone or as a parent in a single-parent family. As what you get-presentations. Most courtships involve WYSIBTWYG (pronounced a group, singles have increased substantially in the past twenty years. This group includes di­ knows how)-what you see is better than what you get-presentations. vorced people but also an increasing number of people who have never been married. As you Some Ca u t i o n about Divorce S tatistics. D ivorce statistics often are used as a ml'•' of family disorganization, and the present high divorce rate i s cited as proof th.ll U. S . family is in serious trouble. However, higher divorce rates today than in t h l' are not entirely the result of more fam ily unhappiness. I n earlier generations, 11 couples avoided divorce even though their married life was unhappy. They avoid because it meant social ostracism or, in the case of women, poverty, because there \ few opportunities for them to earn a good living. As the possibilities for divo people i ncreased and it became easier to get divorces, more u n h appy couples I chosen this route. Legal Grounds for Divorce. There are many legal grounds for divorce, and they vary the laws of each state. Among these are incompatibility, adultery, desertion, cru nonsupport, bigamy, felony conviction, and fraudulent contract. Although the I grounds for divorce are of some interest and significance, often they have little to do the real reason behind a couple's desire to end a marriage. Often a husband and wifl• wish to divorce cooperate to bring about real or apparent fulfillment of the necessary I conditions. Beginning in the 1 970s, many states introduced n o-fault divorces, i n which irrn cilable differences serve as sufficient grounds for divorce. Under these laws, a mart 1 partner need not be declared guilty or at fault as was previously required, makin�· can see in Table 8.3, more and more people are postponing marriage. As the number of singles has grown, so too has the number of activities designed for them. Health clubs for singles, sin­ gles clubs, singles bars, and video dating services have proliferated. Not only has there been a significant increase in the number of singles, but there has also been an important increase in the number of single-parent households. Whereas in 1 960 there were approximately 2 million single-parent families, in the early 2000s that number had grown to over 12 million, or about 34 percent of all families with children under age eighteen. Most of these are female-headed households. In theory, exhusbands or fathers are required to help support their children, but in practice many shirk this responsibility. Living Together In the 1 970s, statisticians documented a dramatic increase in the number of unmarried people living together. This trend has continued and in 2008, the number of unmarried couples living together was over 6.4 million. Some of the reasons,people live together without getting married are unwillingness to commit themselves to long-term relationships of any kind, desire to avoid legal complications when breakups they believe to be inevitable occur, experimentation, and the existence of an undissolved marriage of one or both partners. The practice, although traditionally frowned on, has gained acceptance, and many parents refer as casually to their children's living-together arrangements as they do to marriages. process of divorce much easier. In the 1 990s, the movement shifted back in some c i r � Louisiana introduced voluntary covenant marriages, i n which divorce as an optior harder for people to get. Other states are watching this process develop and if it's SUCl ful, the idea may spread. By 2003, legal covenant marriages were available i n Arkan Arizona, and Louisiana ( bills h ave been put up in many other states but have not pas' In most states, you do not h ave to be a state resident to get married in the state, or " upgrade" an existing marriage into a covenant marriage. So, when someone prop' marriage, he or she may now have to specify whether it is a covenant marriage prop' or a regular marriage proposal. Brea k i ng Up I s Hard to Do . Same-Sex Households Although acknowledgment of homosexuality is still not the norm, a more open attitude to­ ward this orientation, whether of men or women, is becoming increasingly common. Gays and lesbians have fought publicly since the late 1 960s for specific legal rights, including the legalization of same-sex marriage. Most such efforts, though, have concentrated on essen­ tials such as employment benefits, the right to adopt or receive custody of children, inheri­ tance rights, and visitation rights when one member is hospitalized. Same-sex marriage is legal in the Netherlands, Belgium Norway, Sweden, Spain, South Africa, and Canada. I n the Even if one is not in a covenant marriage, divorce ol United States, same-sex marriage is legal in a small number of states. In a few other states, presents serious difficulties, especially when a couple has joint property and children. parties must decide who gets what. Some of the problems are demonstrated by following four examples. l . A wife has put her husband through school and has not furthered her own educa l r One year after he becomes a lawyer, they decide to get divorced. They have no prop Table 8.3 Singles Who Have Never Been Married or children. 2. The same as ( l ) , only it is the husband who put the wife through school. 3 . A couple decides to break up after six years of marriage. They have two child rl'l house, a dog, and innumerable items of personal property. Both h ave careers b u t wife's is more successful, a n d h e r income is twice that of h e r husband's. 4. The same as ( 3 ) , only this time the husband's parents have given them the house. In these examples as in real life, there are no easy answers to what responsibilities 1 divorcing people have to each other, and couples often end up in court. Generally, hOWl' both parties are encouraged to come to a reasonable pretrial settlement. 1970 1980 1990 2000 2 5 to 29 years 19. 1 % 33. 1 o/o 45.2% 49. 1 o/o 59% 30 to 34 years 9.4% 1 5 .9% 27.0% 29.5% 34.5% 25 to 29 years I 0.5% 20.9% 3 1 . 1 o/o 34.5% 45.5% 30 to 34 years 6.2% 9.5% 1 6.4% 20.6% 26. 1 o/o 2008 Men Women Source: U.S. Bureau of the Census, Current Population Reports. 164 �8 The Family me-Sex Marriage and D i scrimination The recent push for legalizat ion of same-sex marriage i n the United States is an interest i n g example of how cultural norms evolve and i nteract with legal struc­ tures. O n e of the major arguments put forward for same-sex marriage is that not to allow same-sex mar­ riage discriminates against i n div iduals according to sexual preference. This is true, but it is also irrelevant because laws by their very nature discri m i n ate. A law must draw arbitrary l i nes somewhere, and the debate about legal i z i n g same-sex marriage concerns where to draw an arbitrary line, not necessar ily any deep-seated discrimi nation or homo phobia. The Family i n Transition 165 abuse of recreational drugs and alcohol, and some of the means of contraception them­ selves. Today medical science can deal effectively with a significant number of infertility For example, the U n i ted States has laws agai nst cases for both men and women. Treatments for men and women include medication and polygamy in all forms, and those laws are just as d r s criminatory a s laws aga i nst same-sex marriage. In fa· t surgery. There are also various methods of fertilizing a woman's egg outside the womb and the U n i ted States actively prosecutes polygyn ists, an• returning the fertilized egg to the womb. It is sometimes possible to use frozen sperm to fer­ that prosecution is sup ported by a large majority of H tilize the egg. Some of the medications, known as "fertility pills," are so successful that they populati o n . Were there to be no discrimination based result in multiple fertilized eggs-sometimes so ma.ny that one or more fertilized eggs must on sexual preference, all types of marriages, i ncludir be removed from the womb so that the remaining ones can survive. A fertilized egg fro m cenogamy, would have to be legalized. one woman c a n be placed in t h e womb of another woman, usually when a woman cannot, The point is not that same-sex marriage should or or does not want to, go through a pregnancy herself, and occasionally when the second should not be given legal stand i n g. The point is simp , woman wants to give birth to a child but cannot do so without receiving a fertilized egg. that laws i n ev itably i nclude arbitrary l i nes that dis­ There are several variations of these methods and many reasons that women use them. crimi nate. Whether a law should be changed does not Another influence of technology on the family has been the personal computer. It is depend on whether the law discr i m i nates, but on not unusual for families to own several personal computers; some workers run their own whether we, as a soci ety, want that type of discrimm businesses by way of the Internet, and some employers supply their workers with home tion i nherent in the law. computers. These people can work at home, and this alternative, both lucrative and attrac­ tive, has also meant flexible hours and the ability to supervise a home and children while working and earning a living. Labor-saving devices for the home have remained essentially unchanged for thirty years, but the ingenuity of manufacturers means that we can look forward to refinements in civil u n i o n s-legally recogn ized com m itme n ts of two individuals, which are not tec/1 111 these appliances. Some are liberating and some-are not: The convenience of the work that marriage but tha t provide many of the same benefits as marriage-are legal. The majont they do is sometimes offset by the difficulty of learning to operate and maintain them. The states, however, do not recognize civil unions or same-sex marriage, and the U.S. Fl·d robot that can do more than simple repetitive tasks and will clean the gutters, do the iron­ government has not recognized same-sex marriage on the federal level. Many state' ing, water the plants, mow the lawn, complain to the credit card company, rewire the tele­ h owever, reconsidering their laws on marriage. phone, fix the overhead door, and let the cat in is not in plain sight at this time. As we stated above, marriage has both religious and civil elements and some religion' l done same-sex marriage, whereas others specifically prohibit it. As with any issue that ha' I The Future of the Family secular and religious aspects, public debate is often rancorous as the various political parti� to stake out a position that gives them an edge in attracting voters. For example, those opp1 The changing role of the family has left society with hard questions. Who will guide future to same-sex marriage have pushed for a constitutional amendment that would define man generations? Who will be tomorrow's parents? What can prevent today's family crisis fro m as a union between a man and a woman, even though it has little chance of passing; tho becoming tomorrow's national disaster? Can adults please themselves as m u c h as they hope favor of same-sex marriage lobby in states and conduct same-sex marriages, even when thl'\ to while producing equally happy, well-adjusted offspring who will be the solid citizen not have the legal authority to do so, in order to gain publicity and to push their agenda. mothers and fathers we would wish for the next gener­ ation? Can both wife and husband find the satisfaction '!he Family in Transition The family has been and will continue to be a social institution in transition. A major they seek at home, at work, and in their leisure hours, combining the goals of personal freedom and success so compatible with "single-blessedness" with the emo­ r tional security and commitments of wedlock? son is its interdependence with technology. Many individuals and groups have suggested what they believe to be effective ways to reinvigorate the family. Some of their ideas include outlawing abortion, Technolo�y's Effect on the Family banning busing, allowing school prayer, and prohibit­ Apart from the general effects of technology on society, we can identify some specific tt ing sex education in the schools. Without taking a nological developments that have affected the family. Although the medical technolo� stand on any of these issues, we doubt that they will population control has had its failures, such as the intrauterine device, which led to i n contribute to the stability of families, although they tion and sterility i n some women, a s well a s its social upheavals, such a s that caused b� may well be desirable for other reasons. Society legalization of abortion and subsequent attempts to recriminalize, many safe and effrd changes and so too do the institutions in it. With new means of birth control have been developed. New ones, such as implantation of a cap technologies, the optimal economic division of labor under the woman's skin, a day-after pill, and female condoms are coming along as wd changes, and as it changes, so too do the functions of woman's ability to plan her pregnancies has revolutionized family life. families. Another aspect of the revolution is technology enabling infertile women to have ( dren. In the mid- l 980s, the infertility rate among women in prime childbearing year' almost tripled since 1 965, and much of the increase was attributed to smoking, poll u t 1 m ily can't d i sa ppear as a social u n it soon •' for me." Serious challenges to the family's survival are reali­ ties. With more women brought up to regard higher education and careers as their birthright, marriage will 166 �8 For Further Study The Family be only one of several paths they can choose. Many couples, deterred by high divorce r are deliberately opting not to marry or, if they do wed, not to have children, in view <ll staggering costs of parenthood. When they do have children, those children often an' much more on their own than in the past. Consequently, rather than deriving their v • 1 5. What is no-fault divorce? tributed to high divorce rates? social 1 6. What implications does the increase in single­ settes, magazines, the Internet, and peers. ( .111 you think of some major adjustments that a 1 7. How can family disorganization be reduced? By nl·wly married couple must make in their way of better marriage laws? By making divorce more achieve the goal of holding the family together. The family may take new forms as " 1 ,, compatibility and economic and parent homes have for society? hid What further adjustments would be required difficult? Or by other methods? 1 8 . Is the family likely to retain its present importance lw t he arrival of children? trends demand; it may bend with the winds of change. But the diagnosis of the family u 1 \\'hat are some of the problems a married couple as a social institution? Why or why not? Could a imminent death seems premature. m ust meet after the children have left home? satisfactory substitute be devised? /(ey Points Four variations in family patterns are determined • • control, and reckoning of descent. Technological change has significant effects o n family a n d will continue t o have such effelt Three functions of the family are the biological the future. function, the psychological function, and the eco­ • nomic function. The U.S. family today is quite different fro111 counterpart of fifty years ago. by the number of mates, selection of mates, family • 1 4. What are some of the factors that have con­ f,ll t ors? It seems likely that changes to adapt the family to the new realities-such as fk� 1 • I ll'\Cribe some types of families other than the hmband-wife-children household. I l oes marrying for love eliminate consideration from the family, these children acquire most of their values from films, television, vidl't working hours, more shared jobs, infant care, and familial leaves for both sexes-wi l l h • 167 The diagnosis of the family unit's imminent d is premature. Family patterns evolve to meet these functions. '\(cording to Charlotte Allen, http://adams. patriot latchkey children ( 1 55) polyandry ( 1 47) bilateral method ( 1 49) marriage ( 1 46 ) polygamy ( 1 47) cenogamy ( 1 47) matriarchy ( 1 49 ) polygyny ( 1 47) civil union ( 1 64) matrilinear system ( 1 50 ) serial monogamy ( 1 47 ) covenant marriage ( 1 62) monogamy ( 1 47 ) same-sex marriage ( 1 47) egalitarian family ( 1 49) no-fault divorce ( 1 62 ) single-parent family ( 1 47) extended family ( 1 47) patriarchy ( 1 49) two-parent family ( 1 47 ) family ( 146) patrilinear system ( 1 50) unilateral method ( 1 49) gay family ( 1 47) personal-choice mating ( 1 49) lated content. What is a non-Northeastern state ( ;o to the website that allows gay marriage? Which state most re­ www. answers.com/topic/ miscegenation. What does miscegenation mean? courts or new legislation (voted on by the state leg­ islatures) legalize gay marriage? Virginia ? hh-fam/cps2005.html, go to Table C4. How many children live in an extended family with one or both kature=related and watch the video on genealogy of their parents and at least one of their grandpar­ .111d DNA. How can DNA be used by genealogists or ents? How many live with their grandparent(s) people interested in their own ancestry? Can DNA without either of their parents present? he used to identify specific ancestors like Alexander the Great or Genghis Khan? r Further Study nky, Dalton, The Pecking Order: Wh ich Siblings Succeed and Why, New York: Pantheon, 2004. Questions for R eview and Discussion important of all social units? a mate. 3. What are some methods of family control? 4. Why is it easier to trace your descent under a uni­ lateral system than a bilateral system? 5. In today's circumstances, is the institution of the family really necessary for the propagation of the species? Defend your answer. 2004. 11 riage. Give some reasons for this. 7. What changes have the economic functions ol family undergone? Are they less important tl formerly? Why or why not? 8. What changes has the physical-care function the family undergone in the last few genera t u • I s i t still important? 9. Describe the custom of dating as practiced i n United States, and explain the purpose i t serVl Sarah, Aging Societies: Myths, Challenges 2006. Schlosser, Eric, Fast Food Na tion: The Dark Side of the All­ American Meal, New York: HarperCollins, 2003. r per, Perel, Esther, Mating in Captivity: Reconciling the Erotic and the Domestic, New York: HarperCollins, 1111d the Inner Life, London: Little Brown, 2. State some important considerations in choosing 5. From www.census.gov/population/\.vww/socdemo/ ( ;o to www.youtube.com/watch?v= p2LZl Aef7so& .. t.t, Karen, The American Family, New York: H . W. Wilson, 6. Monogamy is the most widespread form of cently allowed gay marriage? For each state, did the When did the first U.S. law appear against misce­ \ 1 a rneffe, Daphne, Maternal Desire: On Children, Love, 1 . Why is the family often regarded as the most www. npr.org/news/specials/gaymarriage/ manners and family structure give women more f reedom and fulfillment? I oving v. arranged m arriage ( 1 48) to map and look at the map and the articles under re­ �cnation? When did the Supreme Court decide Some Important Terms 4. Go nct/-crouch/artj/allen.html, why did old-fashioned and Opportunities, London: Hodder Arnold, 2006. ],·hart, Ronald, ed., Human Beliefs and Values: Cross Cultural 2004. WWW Diversity Forum www.diversityforum.com/ WWW Convenant Marriage Links www.divorce reform. org/cov.html WWW Divorcenet-Divorce Resources www.divorcenet .com Sourcebook, Ann Arbor: University of Michigan Press, WWW Gay Marriage News www.gaymarriagenews.com 2006. WWW Genealogy Sites www.cyndislist.com I lai n , Linda C., The Place of Families: Fostering Capacity, WWW National Council on Family Relations www.ncfr.org Eq uality, and Responsibility, Cambridge, MA: Harvard WWW National University Press, 2006. oynihan, Daniel Patrick, Family and Nation, New York: Harcourt Brace Jovanovich, 1 985. m a n , Suze, The Money Book for the Young, Fabulous & Broke, New York: Riverhead, Family and Parenting Institute www .familyandparenting.org 2006. WWW Single Scene www. azsinglescene.com/library.htm The Nature of Rei i gion �eligion �9 After rea din� this chapter, you should be able to: • • Explain why religion has existed in all societies State the problem that fundamentalist religions pose for the state • L ist the five great religions of today and summarize their beliefs • Discuss the role of religion in society The more I study science The more I believe in God. -Albert Einstein 169 thousands of houses of worship; the celebration of hol idays (holy days) such as those asso­ ciated w ith Christmas, E aster, Passover, Yom K ippur, and Ramadan; and those ceremonies that are both private and official, such as weddings and funerals, and r ites such as baptisms and bar mitzvahs. In this chapter, our purpose is not to show the truth or falsehood of the doctrines of any particular faith. Rather, it is: • To describe the nature of religion and the general character of certain major religions of the past and present. • To give some attention to the role that religion has played in the development of human societies, not only to integrate and stabilize them but also, at times, to create conflicts. • To consider the present-day influence of social change on religion and, conversely, the influence of religion on social change. , Nature of Religion Today, when we say that a person is religious we usually mean he or she believes in the exis­ tence of a supreme being and that this belief determines moral precepts and behavior to an important degree. Religious people believe that some things are of great value, or sacred, and they are likely to belong to a relig ious orga� ization such as a church or synagogue; at From A.D. 1095 to 1272, Europeans went to war to recapture territory, which had tradition,tll been controlled by Chr istians, from the Muslims. The Crusades, as those wars were call ( changed the nature of society. As evidenced in today's problems of worldwide terrorism .111 fighting in the M iddle East, religion is still leading to wars and still changing the naturl' society. The importance of relig ion to society cannot be overemphasized. If we think of relig ion as including all beliefs in supernatural powers, conceived of controlling people's l ives, and including var ious types of spirits and gods, then religu probably had its beginn ings in some of the earliest human societies. The findings of arch. ologists and anthropologists suggest that from time immemorial humans have sought l planations of their existence and of natural phenomena that went beyond the range of wh they could learn from the ordinary experiences of life or from observation of the natur world. An aspect of life that from very early on troubled people was the inevitability of dc.ll and religion often promised them a life beyond death. Also, as cultures and civilizations den oped, people longed to find purposes and satisfactions in life that would transcend the ncl·t and desires of everyday liv ing and thus give human existence greater dignity and meantn Religion helps satisfy this longing because of the concepts common to all of its forms: the 11 corporation of a code of ethics; the use of myths or stories; the organization of intellectu doctrine; the display and comfort of ritual; the fostering of community and regard for oth� r and the hope of some intense, personal experience such as the answering of prayer. That religious beliefs, institutions, and r ituals have been a major element in the cultut patterns of most societies cannot be doubted. Even in modern industrial societies man) r our oldest values and traditions are rooted in religion. In our own country, evidence of rd gious influence is rich. It includes the mill ions of people who attend religious services; tl the least, they attend relig ious services, even if on a sporadic or occasional schedule, where they commune w ith others whose beliefs are similar. Religions vary greatly. Most include a belief in God or gods, some concept of an after­ life, and some theory of salvation, either by earning the r ight of entry into heaven or the privilege of reincarnation in a h igher form of life or a higher social status. But some reli­ gions seem to h ave no God in any sense in which we ordinarily use that term. One of these is original Buddhism, which, unlike some later forms of this faith, is a religion w ithout a de­ ity, w ithout a personal concept of God, and without any theory of salvation except the bliss of escaping perpetual rounds of reincarnation and suffering by achieving N irvana, a state in which all desire and even all consciousness is lost. Religions can have both spiritual and civil elements. C ivil religion, a term that was first used by Rousseau, refers to religious beliefs that lead people to want to live by the laws of the land. It is a means of motivating people, out of fear of the divine power over them, to "subject themselves willingly to the governmental laws." This is in contrast to spiritual religion, which is only concerned w ith heavenly things and cares little what happens in this world. Neither civil nor spiritual religions are a threat to the state. However, when the two elements of religion combine, and the spiritual aspect of religion becomes interested in happenings of the world and unwilling to accept the laws of the land, the state and religion can come into conflict. Fundamentalist elements of religions, such as fundamentalist Christianity and fundamentalist Islam, often combine the two and hence come into conflict with the state. No longer does the individual subject himself or herself willingly to government laws, but is often in direct conflict with those laws. Sometimes this conflict becomes violent. We can see this in both fundamental­ ist Christian attacks on abortion centers and fundamentalist Islamic attacks on Western targets. It is not easy to give a formal definition of religion that is wholly satisfactory, but the one suggested by Hans- Joachim Schoeps in the Religions of Mankind is useful and is the one we will use. According to him, "religion may be defined, in its broadest sense, as the relationship between man and the superhuman power he believes in and feels himself to be dependent upon." Such a relationship is expressed in various ways, including feelings of trust or fear, legends, myths, prayer, rituals, and the application of religious precepts to the conduct of life. 170 �3 Religion The Great Rel i gions of Today 17 1 Protestant 6% 6% Other Christians 10% Other Christian 3% ·s\''?>"' C,'l\�\ (a) U.S. population (b) World population Figure 9.1 (a) Religious identification of U.S. population; (b) Religious identification of world population. Left: Sundial, or "The Hitching Post of the Sun," in the Temple of the Sun at Machu Picchu. It is (Source: The CIA World Factbook.) believed that the temples of the Incas did not have roofs because it was irnportant not to obstruct/ entrance of the sun, moon, and other deities. Right: The Great Sphinx and the Pyramid of Khajr11 W hat religions the earliest human beings practiced is a matter for speculation there are some tribal groups today, such as African bushmen, whose way of life is, or been until very recently, so removed from modern technology that it is tempting to lr their bel iefs to prehistoric ones. A graphic example can be seen in the classic film The ( Must Be Crazy. In the first fifteen m inutes of this film, Kalahari bushmen are seen livu life that we feel must have been unchanged for thousands of years. Suddenly, a Coke bo is tossed out of a plane passing overhead and lands among them. The bushmen vic1' bottle as a gift from the gods, but it causes changes, including tests of faith, which th selves celebrate the imagination of primal human spirit. Ult imately, the bushmen tk• they want to get rid of this "new technology" in order to preserve their way of life. 7h e Great Reli!lions of Today Today there are innumerable religions and sects, including the religions of people who live in tribal groups. But if we are to list the great relig ions of the world, each of which i' a vital force in the lives of many millions of human beings, we should include at least fl namely, Hinduism, Buddhism, judaism, Chr istianity, and Islam. In the world, about 70 1 cent of the population identifies itself with some organized religious group, although 111 people are only loosely affiliated. In the United States, Protestant or Catholic Christian' the largest groups, as you can see in F igure 9. 1a. T he Christian religion is also the largl the world, as you can see in Figure 9. 1 b. Unlike in the United States, however, the l.u percentage of Christians in the world is Roman Catholic rather than Protestant. Mu'l and Hindus are the next two largest religious groups in the world. Were we to look at w1 relig ious affiliation over time, we would see that since 1950 the largest change has been decreased importance of Buddhism. In large part, this decrease is due to the decline in 1 gion in China after the communists took control in the 1950s. W hether Confucianism and Tao ism in China and Shintoism in Japan should be in­ cluded in the great religions of today is questionable. Under the current regime, the status and future of China's ancient relig ions are uncertain. Furthermore, Confucianism often is said to be more a philosophy than a religion. Shintoism is the ancient religion of Japan but has had strong competition from Buddhism. In 1868 reformed Shintoism was made the of­ ficial relig ion, but after World War II religious freedom was declared. However, some calcu­ late that millions of Japanese still retain their faith in Shintoism. It is a m ixture of nature, ancestor, and emperor worship and is closely associated with Japanese nationalism, al­ though the concept of the emperor's divinity was officially abolished in 1945. Still, when Emperor Hirohito died in 1989, there was an outpouring of sadness in Japan and the intro­ duction of a new era and a new calendar beginning at year zero. Hinduism Hinduism is the religion and social system of the H indus, the majority of whom l ive in India. Since ancient times, it has had a strong hold in India, and even today it dominates the lives of the majority of its people. A m inority of Indians have been converted to foreign faiths such as Christianity or Islam, or to religions such as Buddhism, Jainism, or Sikhism, all three of which developed out of H induism itself. Unlike many religions, Hinduism has no founder, no distinct set of creeds, and, al­ though it has many clear-cut paths to salvation, no unique path. It holds that the soul inhab­ its successive bodies in its journey through the universe, and thus all life, including insect and plant life, has a soul. All beings, even the gods, must die and be reborn in an endless cycle. Some believe that this cycle can be escaped through asceticism, in which personality is lost and the believer becomes one with the Absolute. Although Hinduism claims to be monothe­ istic, its High God has many forms, of which the two best known are V ishnu the creator and preserver and Siva the destroyer. There are thousands of lesser gods. No one attempts to re­ member all of them, but each has its place in folk affection; the believer will tell you, "They are all the same god." In H induism all life is sacred because all life has a soul. The sacrifice of living creatures, a characteristic of some Hindu ceremonies, is explained by precisely this: Because life is sacred, 172 �9 Siva, a Hindu god. Religion its sacrifice to the gods is v itally meaningful. Today, however, 1 because of the economic value of animals, sacr ifices are almost .11 represented by flowers and food (the gods eat the spiritual portu the food; the material portion is consumed by the givers). Mam mals are sacred: The cow is revered because she represents f\!1 Earth. She is never to be injured or killed (sick and starv ing roam the countryside and crowded city streets; they haVL' known to attend the movies in Calcutta). Other sacred creat io1 monkeys, snakes, the banyan tree, the herb known as basil, all 111 tains and r ivers, and rocks of unusual shape. H indus are divided into four castes: ( 1) scholars and pr (Brahmans, a word meaning "source of life;' or "expansive fo1 (2) administrators of the state; (3) commercial and agricultu1 trepreneurs; and (4) workers who perform the tasks the three h1 classes shun-for example, sweeping floors, cleaning bathroom' repairing shoes. This caste system, in which indiv iduals are difll t iated in the jobs they can have, is hereditary, and although 11 been officially outlawed for decades, it has proved almost impo to eradicate and to transfer to a higher caste is very difficult. There are hundreds of kinds of H indus: of which the S ikh' I one of the most important in the modern world. Sikh is der ived a H indu word meaning "disciple," and Sikhs are disciples of a !' of gurus whose tenets are most easily expressed by naming prinl to which they are opposed: the caste system, the priestly hier ,1 and r itual, and idolatry. Sikhs are skilled farmers and shrewd businesspeople, and thl considered among the world's finest soldiers. They subscr ibe to such H indu beliefs '"I and rebirth and the transmigration of the soul. In India, intense religious hatred t between Sikhs and followers of the dominant H induism, and this enmity is fortified h\ litical and regional r ivalr ies. In 1984, after the Indian Pr ime M in ister Indira Gandht ordered a m ilitary attack on the sacred S ikh temple of Amr itsar (which resulted in 1 Sikh deaths and great damage to the edifice), she was assassinated on the grounds of Ill ficial residence; S ikhs are widely believed to have been responsible. S ince then then been ongoing tension in the Punjab region of India, where the majority of Sikhs resitk An outward sign of H induism is its concentration on count ing and classifying, en categor ies into which to fit indiv idual manifestations. This usually is explained as a m� of imposing order on a complicated world, but it can also be seen as a means of impc disorder, or of proving, by the endlessness of the effort, that the world cannot be c,\1 r ized. This characteristic enables H induism to incorporate diverse and even contradll principles if H indus find them good. H induism has been gaining popularity in the West under the auspices of moven such as Hare Krishna. Many Americans have become d isenchanted w ith modern-day ety and the principle of rationality on which it is based. They argue that rationality h,1 us into the mess we are in and that it is time to turn to faith and mysticism. Buddhism Although Buddhism, for the reasons outlined in this section, is now rare in India, it is prot the most widespread religion of the Eastern world, teaching that by r ight thinking and denial its followers can achieve Nirvana. It developed out of early H induism, and one 1 chief objectives is to free people from the endless cycle of reincarnations that is part of II doctr ine. Buddhism was founded more than 500 years before Christ by a young Nc]' prince, Shakyamuni Gautama, who later became known as Buddha ("the enlightened o He is also sometimes called Siddhartha, "the perfected" or "completed one." After observm The Great Religions of Today 173 troubles of his father's subjects, the prince became convinced that all life results in suffering and that the only escape is to overcome desire for l ife and its pleasures. Therefore, he left his parents and his princely existence and became a wandering as­ cet ic monk in order to seek a cure for suffering. He succeeded in entering a trance in which he remem­ bered his former incarnations and perceived h imself as hav­ ing already passed through so many stages that he had been ready to have himself born to his current circumstances in order to preach to others. Gautama had thus reached Enl ightenment and could be called Buddha. He emerged from this state of contemplation, or Nirvana, although tempted by evil forces to remain dally ing there, and went to Banaras, on the Ganges River in India, to explain how others could attain Nirvana-namely, by realizing that life is suffer­ ing, suffering springs from a burn ing thirst for material and spir itual riches, suffering ceases when the thirst is re­ nounced, and we cease to thirst by passing through eight stages: r ight v iews, r ight aspiration, r ight speech, r ight con­ duct, r ight l ivelihood, right effort, r ight m indfulness, and right contemplatipn. All of these concepts can be, and have been, div ided into their own subcategories, but the heart of Buddha's teaching is gentleness, compassion, rationality, and moderation. Everyone can become a Buddha, although very few actually . revered in the Far East. do so. More numerous than Buddhas are bodhisattvas, people who have given up or delayed entering Nirvana in order that they may stay to help others. The Buddha's preaching did not involve appeals to a higher being, because his experience of w idespread suffering rendered him incapable of believing in a beneficent creator. It d id involve contemplation and relinquishing; in an advanced state, one realizes "There is nothing." The Buddha's birthplace (Kapilavastu), the place of his Enlightenment (Bodh Gaya), the place where he gave h is first sermon (the deer park in Sarnath), and the place where he died (near Kapilavastu)-all in India or Nepal-are today the main destinations for Buddhist pilgr images. Nevertheless, Buddhism is not one of the major religions of India today, having declined for many reasons, but principally because Islam overtook it both ph ilosophically and materially, and in the eleventh century A.D. Muslims (also called Moslems) destroyed the Buddhist monaster ies and d ispersed the monks. Over the centur ies, as Buddhism gained converts and spread to other countries it un­ derwent many changes, some of which greatly increased its popular appeal. Also, a variety of sects developed. It spread to Tibet, China, Korea, Japan, Southeast Asia, and Sri Lanka, taking on markedly different forms in different areas. In the south of Asia, in countries such as Sr i Lanka, Myanmar, and Thailand, Buddhism is firmly established and is said to have retained more of its original character than in other regions. Although Buddhism is primarily an Asian religion, in the 1970s small Buddhist sects sprang up in the United States. Many of these sects disbanded in the late 1980s, but a few remain. The Buddhist monast ic community was founded by the Buddha h imself, and its organization and character are said to be the one element in Buddhism that has changed relatively little over the centur ies. Even to this day, Buddhist monks shave their heads and wear the traditional yellow robes. You are l ikely to see some sect members in the streets of a big city dressed in this tradit ional garb. Zen Buddh ism, transcendental meditation, and yoga, all Buddhist practices that do not require more than several hours of practice a day, have also spread. 174 �9 Rel igion Judaism We now turn to the three major monotheistic religions (religions with one god)-jud Christianity, and Islam-which all share a common history. We begin with Judaism, \\ although it has played an important role in world history, has a relatively small numl adherents. In 2008, the entire Jewish population of the world was probably only about million, compared with about 2 b illion Chr istians and 1.3 billion Muslims. Judaism developed out of the religion of the ancient Hebrew tribe. According h Bible story, a great leader of this tr ibe, Abraham, put his trust in a single God to guitk and his people in their migrations. During their wander ings, the Hebrews, or Israeht they came to be called (after Jacob, or Israel, the grandson of Abraham), moved into th tile Nile delta to escape famine. There they were eventually enslaved by the Egyptians. During the period of their slavery, probably sometime between 1450 B.C. and 1400 there arose a great leader, Moses. He led the Israelites to freedom, as God had directed and came to be commonly regarded as the real founder of Judaism. After the escape o Israelites from Egypt, Moses ascended Mount Sinai, where God appeared to him through him made a sacred covenant with what were by then the twelve tribes of I That covenant required that the Israelites acknowledge "the God of Israel" as ruler o' world and creator of heaven and earth. In return, God recognized the people of Israel ,, chosen followers. Moses had been instructed by God to call him Yahveh, or as it is '' times translated, Jehovah. When Moses came down from the mountain, he brought him two stone tablets on which were inscr ibed Yahveh's Ten Commandments. Thes� later amplified into the many commandments and prohibitions set forth in the Torah Pentateuch, or the Five Books of Moses-which is part of both Jewish scriptures and Christian Old Testament. Judaism has several unique characteristics. First, though it makes claims to univer' it was and still is primarily the religion of a group of people who can, with qualifica11 regard themselves as descendants of the ancient Israelites. Jews believe that they wen· sen by God, but they do not believe that being chosen by God makes them special. TIH· not understand why they were chosen, and they regard it as a burden as much as a bb In fact, in the Book of Exodus, God suggests to Moses that perhaps he should begin ,, with a less fractious tribe. According to Jewish theologians, God chose the Jews simph cause he had to begin somewhere. They do not see it as an honor or as a sign that thl·\ superior, attitudes that are attributed to them by some non-Jews. Second, Judaism has preserved much of its essential character for more than I years. It has done this in spite of the fact that for more than 1,900 years, ever since thcu major rebellion against Rome was crushed by the Emperor Hadrian in A.D. 135, Jews I been a widely scattered and often persecuted minority among alien peoples. Finally, most important, Judaism was the first great religion to develop a clear and unequl\ concept of a single God as the creator and ruler of the universe. Although some Jews believe in the resurrection of the dead and that people mtl\1 count beyond the grave for their good and evil deeds, unlike some other relit' Judaism is a world-affirming, not a world-denying, fa ith, and it requires that Jews � this life and use their abilities for the service of humankind. It looks for the coming ol Messiah-the expected deliverer of the Jews-and for a messianic age in which the � dom of eternal peace will prevail and all evil impulses w ill be removed from the hut heart. But it rejects the Christian belief that the Messiah has already come w ith his 11 sage of salvation. From the Middle Ages to early modern times, the rights of Jews in Europe were gn restricted, and they were forced to live in special sections of the cities called ghettos. French Revolution and Napoleon did much to free Jews from the ghettos. But later tl was a backlash, and it was not until after the social upheavals of 1848 that in most count Jews received full r ights of citizenship on a more or less permanent basis. But this did The Great Religions of Today 175 end their troubles, for the very success that many of them soon enjoyed in their professions stirred up new waves of anti-Semitism, or feelings of hatred and dislike toward Jews. The freeing of the Jews in the nineteenth century from their former restrictions brought about great changes in Judaism. Gradually Jews, not only in Europe but also in the United States, became divided into three major groups: the Orthodox, who resist change in beliefs and r itual; the Reform, who reject much of Jewish traditionalism and believe that Judaism should be regarded as a changing and developing religion; and the Conservatives, who cannot accept the orthodoxy but who object to an extreme break with traditions and therefore seek a middle way. Jews sometimes are called a race, but anthropologists remind us that this term is inac­ curate. Or iginally, they belonged to that branch of the Caucasoid race that inhabited the Arabian peninsula and spread into the fertile crescent to the north of it. They once formed a nationality, the ancient Hebrew nation. But later they were dispersed over almost the en­ tire world, and over the centuries they interbred to some extent with the non-Jews of the countries in which they lived. Also, they converted several non-Jewish peoples to Judaism. The word Jew comes from Judaism, which is their religion. After World War I I, some of them migrated to the ancient homeland and created the new nation of Israel. To determine the number of Jews in the United States with any great accuracy is impossi­ ble. This is partly because many persons of Jewish ethnic background maintain no affiliation with any temple or other Jewish organization, partly because there has been an appreciable amount of intermarriage between Jews and non�Jews, and partly because Jews disagree on who is a Jew. Tradition says anyone born to a Jewish mother is a Jew. However, in the 1980s the Reform rabbinate, representing about a quarter of U.S. Jews, extended recognition to those whose only Jewish parent is the father. There is an increasing emphasis on individual choice in Judaism, including rising num­ bers of conversions. Some Jews see these processes as endangering their traditional view of themselves as chosen by God, but others welcome these trends. At present, it is estimated that there are about 6 million people in this country who can be classified as Jews. More than one-third of all U.S. Jews live in metropolitan New York, and considerable numbers are concentrated in other large cities such as Los Angeles, Philadelphia, Chicago, and Miami. Jews are sometimes considered primarily a religious group, but in a poll taken by Newsweek only 43 percent of U.S. Jews said they considered themselves religious. According to political scientist Daniel Eleazar of Temple University, only 20 percent of the Jewish A Jewish family celebrates Passover seder. 176 � !J The Great R eligions of Today Rel igion population worships regularly. Of the others, 40 percent maintain nominal affiliation \ temple but usually attend services only on their high holy days of Rosh Hashanah and Kippur. On the average, U.S. Jews have markedly higher incomes than the rest of our po tion, though over half a million fall below the family poverty level as set by agencic� c federal government. Jews also, on average, have higher levels of education than other):' and, in proportion to their numbers, are much better represented in business and the fessions. Prejudice against the Jews, or anti-Semitism, has existed for centuries and ha' strong in certain countries. Sometimes it has been tied to religion; sometimes it h<l rationalized by dislike on the part of the majority of the population for certain cultu "racial" characteristics, largely imaginary, attributed to the Jews as a group. In som� of eastern Europe, anti-Semitism has at times gone to such extremes that thousarc Jews were killed, as in the pogroms, or organized massacres, that occurred in ( Russia. But it was in Nazi Germany that anti-Semitism reached its height, anc Holocaust, in which 6 million Jews were killed, has affected Jews and everyone el'l variety of ways. Partially because of feelings of guilt for allowing the Holocaust to occur Western nations supported the establishment of the state of Israel after World \\ Israel was established from lands over 50 percent of which were owned by Pale'l Arabs. After the 1948 war for control of this land, a huge number of Palestinian were displaced and moved to refugee camps in neighboring Arab states where thn their descendants still live. This area of the Middle East became a prime source of r national friction. In 1994, after almost fifty years of conflict, the Jews and the Palestinians oflr agreed to become reconciled and to live in peace. That agreement was meant to culm in a permanent peace treaty between the Palestinians and the Israelis, but disputes ,, 177 borders prevented any permanent agreement, and today the two sides remain engaged in fighting and serious disputes. Christianity Christianity, the principal religion of the Western world, developed from Judaism, and the greater part of the Christian Bible (the Old Testament) still con­ sists of Jewish sacred writings. The ancient Jews be­ lieved that at his chosen time God would confound their enemies and set up a new Jewish kingdom under a Messiah (deliverer) descended from King David. Later, some came to believe that the Messiah would come down from heaven at the end of the world, at the time of the resurrection of the dead, and would carry out the last judgment. Jesus of Nazareth, the founder of Christianity, was born in Bethlehem, about A.D. l. This date in itself is an example of the power of religion. In Western cul­ tures, events that took place before the birth of Christ ''"'children run for cover in front of an Israeli tank. are dated "s.'c.," meaning "Before Christ." For instance, in Chapter 3, we said that humans first appeared in China about 20,000 B.C. The term "A.D." stands for the Latin words a n na domini, which lit­ erally translated mean "in the year of our Lord." This term is used to begin numbering all over again, with A.D. 1 as the year of Christ's birth. The year A.D. 2000 means the two thou­ sandth year after Christ's birth. 1 At some point in Jesus' life, he became convinced that he was the Messiah, or Christ, and the divine son of God. Often he is called Jesus Christ, which simply means Jesus, the Messiah. Soon after he started his ministry, at about the age of thirty, he converted and gathered around him the Apostles, the twelve close associates who were to be his chief aides and who were to carry on his ministry after his death. Our knowledge of Jesus' teachings comes to us indirectly. He did not write them down but depended on his disciples to preach from memory what he had taught. Our chief sources are, first, the Gospels of the New Testament and, second, the Epistles. But these were prepared long after Jesus' death. The four Gospels are thought by historians to have been written between A.D. 65 and about A.D. 100. Presumably, they were based on documents in which some of his followers had recorded his sayings as they remembered them. But how accurately his sayings and the events of his life were recorded, or how much was changed or added by successive copiers or revisers of the Gospels, historical scholarship cannot tell us with any certainty. Jesus never doubted the reality of God or of his own special relationship to God. But he knew he had not been sent, as some of his hearers hoped, to deliver the Jews from Rome by reestablishing the earthly kingdom of David. Rather, he had been sent by his Father to show all of humanity, Jews and Gentiles alike, the way to heavenly salvation. Like many Jews of his day, he believed that the long-foretold messianic kingdom of God would come rather soon, but for him it was a kingdom in heaven, which was only for those who would believe in 1Twentieth-century scholarship indicates that Christ actually was born about 4 B.C. There will be no attempt to renumber dates, as that task would be impossible, and the Western world's dating system will con­ Former Nazi government women burying jews at a concentration camp after World War II. tinue to use and B.C. E. A.D. l as a reference point. An alternative way of designating (Before the Common Era). A.D. and B.C. is C.E. (Common Era) 178 �9 Religion him, who would truly repent of their sins, and who would surrender to the will ol before it was too late. Jesus taught that the most important things are to believe in God, do His will, and lieve in Jesus as the son of God. God is utterly good: supremely righteous and just, bu forgiving and merciful. Therefore, people should trust him completely and regularh spiritual aid through prayer. Jesus also taught that God demands we love one another, It and foe alike, and this has been one of the most difficult teachings for devout Christ1.1 interpret and to apply as a practical guide in daily conduct. Jesus also taught his discipl obey the Ten Commandments, which God transmitted to Moses on Mount Sinai, and lc low the golden rule. The latter states, " Do unto others as you would have them do unto Jesus' success in drawing crowds in Galilee soon attracted the attention of the leaders c two principal Jewish sects, or parties, in Jerusalem-the Sadducees and the Pharisees. Tht·\ their own differences, but both became enemies of Jesus because his teaching and his <ll" did not always follow the dictates of either Judaic law or tradition. After he had been preal for three or four years, Jesus decided to go to Jerusalem at the time of the Passover, when from a wide area would be assembled for the great annual festival. This gave the enemt Jesus an opportunity to stir up ill feeling against him among the people. Finally they �l him, made accusations against him, and denounced him to the Roman governor, Pilate, 01 ground that he claimed to be king of the Jews. Pilate doubted Jesus' guilt but when the 1.1 demanded death, the governor acquiesced and ordered his crucifixion 'at Golgotha. Three events reported in the Gospels and the Epistles are of crucial significantl Christianity: ( 1) the Last Supper of Jesus with his disciples on the evening before the crucili (2) his crucifixion, and (3) his resurrection on the third day after his death. Even before' ing to Jerusalem, Jesus had foretold his death and resurrection to the twelve apo A key belief of the Christian religion is that Jesus died to redeem the sins of humankind thus opened for them the way to salvation. In the sacrament of Communion, or the Euch which was first celebrated by Jesus with the twelve disciples at the Last Supper, devoul '' municants believe that they enter into a special relationship with Christ. The wine they d and the bread they eat symbolize, or in Catholic doctrine actually become, the blood body of Christ. The communicant is thus strengthened in his or her attempts to achieve \ 1 tion by the redemptive power that Christ achieved through his death and resurrection. The Great Rel i gions of Today century, however, administrative organization had begun to develop in Rome and elsewhere, and bishops began to assume authority not only to appoint priests to oversee local churches but also to settle disputes over doctrine. Gradually the primacy of the bishop of Rome became recognized throughout the empire, and by the end of the third century, he had taken the title of pope. Before the final collap·se of the Roman Empire in the West in 476, the Church of Rome had become strong enough to prevent the complete breakdown of order and civilization that might otherwise have resulted from the successive invasions of the empire by Germanic tribes. During the Middle Ages, the church dominated the religious and intellectual life of Europe and to a great extent its politics and economics. Meanwhile, the eastern Roman Empire with its capital at Constantinople (now known as Istanbul) still survived, and the Eastern Church, later known as the Orthodox Church, became increasingly independent of Rome. The final break, or schism, between the two parts of the church occurred in 1054 and remains to this day. The next great defection from the Church of Rome did not occur for several hundred years. In the fifteenth century, perhaps even earlier, many Christians felt that the church was undergoing moral decay. The Renaissance, which brought a renewal of interest in art, litera­ ture, and the works of classical antiquity, undoubtedly contributed to a general stir and unrest. Reformers began to urge that religion revert to its sources. The result was the Reformation, the Protestant revolt against traditional Catholicism, which began in 15 17 when Martin Luther posted his call for reform on the door of the church in Wittenberg, Germany. Other important leaders of the Reformation included Ulrich Zwingli and John Calvin in Switzerland and John Knox in Scotland. The Reformation led to a considerable period of religious and political turmoil, includ­ ing religious wars and repression of dissident groups in various countries, and though it did not win over the majority of Catholics to Protestantism, it did result in substantial defections from the Roman Catholic Church. But the Protestants who succeeded in gaining freedom from control by Rome did not succeed in joining to form a major independent church body. The Middle Ages and After. A.D. The Early Christians. The spread of Christianity after Jesus' death was relatively rapid the early Christian groups, or churches, were only loosely linked. By the end of tht• Christian worship. 179 The Cathedral of Notre Dame in Paris. 180 �9 Religion The Great Religions of Today Instead, they divided into a considerable number of sects, or denominations. Sevu these, including the Puritans and Quakers, played an important role in the settlement ol English colonies in America. European migration to the Americas and to areas such as South Africa, Australi.r New Zealand carried Christianity with it. In some areas, such as the United Stall'' Canada except Quebec, Protestant settlers from northwestern Europe were in the maJn In other areas, as in practically all of Latin America, settlers came largely from overwh ingly Catholic countries such as Spain, Portugal, and Italy. Christianity was also carnl other parts of the world by the strong missionary movement that developed in the r teenth century, but in most non-Christian countries missionaries succeed in convo only a small fraction of the people. Islam Islam, like Judaism and Christianity, is a religion based on divine revelation, and its ml'' ger, Muhammad, like Moses, made no claims to divinity for himself. He believed on!) he had been chosen by God, or Allah, to receive from the angel Gabriel revelations of '\I will. These revelations, which became frequent, he repeated in full to those who \\ listen, and shortly after his death they were assembled by his friend Abu Bakr to forn Qu'ran, the holy scriptures of the Muslims. Abu Bakr became the first successor, or c.rl to carry on Muhammad's work. The Qur'an begins as follows: In the name of Allah, the Beneficent, the Merciful. [ 1. 1] [ 1.2] [ 1.3] [ 1. 4] [ 1.5] [ 1.6] All praise is due to Allah, the Lord of the Worlds. The Beneficent, the Merciful. Master of the Day of Judgment. Thee do we serve and Thee do we beseech for help. Keep us on the right path. The path of those upon whom Thou hast bestowed favors. Not [the path] ol those upon whom Thy wrath is brought down, nor of those who go astray. The Qur'an is accessible on the Web in formats that are easily searchable for specific tn1 and, given the importance of Islam to modern world affairs, browsing through it is d nitely a worthwhile activity. Muhammad was born about A.D. 570 at Mecca, in the western part of what i� 11 Saudi Arabia. According to tradition, he was orphaned and became a ward of his gran ther and, later, of an uncle, both of whom were prominent members of the Koreish 1 1 Later he was a merchant, and at about the age of twenty-five he became the business ath to a rich widow, fifteen years his senior, whom he eventually married. Meanwhile, hl· I come into contact with the Arabian religion of his time, which was a mixture of anin1 and polytheism. Muhammad had also learned something about Judaism and Christ1.1 from his acquaintances in Mecca who were followers of both religions. His contacts \ Jews and Christians may have contributed to his dissatisfaction with the beliefs and p1 tices of his fellow Arab tribesmen. Though Muhammad himself initiated the religion of Islam, he was greatly influtll by Christianity and Judaism. He considered that he was completing and perfectiny work of Moses, Jesus, and other heavenly messengers whom he recognized as his forl'l ners. But Muhammad denied the Christian doctrine of the Trinity and the divinit Christ. According to the Qur'an, God is one and God is eternal. He neither begets nc begotten. In Arabic, Islam means "submission;' and Muslims are submitters to the will of < The devout Muslim's goal is fairly simple: It is to perform one's duties as outlined in Qu'ran and as exemplified by the acts of Muhammad in his lifetime. The Qur'an is infall1 18 1 The so-called Five Pillars of Islam state the indispensable religious duties of a believer: l. Acceptance and frequent repetition of the creed, "There is no God but Allah and Muhammad is his messenger" 2. The performance five times a day of prescribed rituals of prayer and devotion 3. The giving of alms to the needy 4. The fast during Ramadan, the month when the angel Gabriel appeared to Muhammad 5. The pilgrimage to the Kaaba stone at Mecca once in a lifetime by those who can afford it From the seventh century to the eighteenth century, Islam spread as far west as Spain and as far east as the Philippines. It was able to do this through its access to trade routes from its original home in Arabia and through military conquest. Islam's influ­ ence ebbed and flowed, but by the end of World War I in 19 18 it had reached a low. By the second half of the twentieth century, however, with political independence and na­ tional consciousness, Islam was enjoying a resurgence and again extending its influ­ ence. Today its principal distribution is in the Arabian peninsula, North and West Africa, the Middle East, Turkey, Afghanistan and the Indian subcontinent, parts of the former U S S R, and Indonesia. In the United States, the number of Muslims is growing, and some authorities predict that there will be more Muslims than Jews in the United States in this century. The Denominations of Islam. After Muhammad's death, Islam split into two factions: the Shiites (the sectarians, followers of Ali, cousin to the Prophet), who believed that Ali was the legitimate successor to Muhammad, and the Sunni (the traditionalists); who believed that Abu Bakr, the oldest companion of Muhammad, was the legitimate successor. Today Sunnis constitute about 85 percent of all Muslims and Shiites constitute about 15 percent. There are also smaller sects of Islam, including the Sufis and the Wahhabis, and though they are small in number, they can play important roles in the interaction between the Islamic world and the Western world. The difference between Sunnis and Shiites concerns who should be seen as the legitimate religious authority in society. Shiites follow a system of lmamah. They believe that the existing Imam is the true leader of Muslims, and that all true Muslims must submit to his rule. Imams are appointed by existing Imams, which means there is a line of succession that always A Palestinian Islamic family celebrates Eid al-Adha, the feast of sacrifice. 182 �51 The Role of Rel i gion in Soc iety Rel i gion assumes a living Imam as ruler. Because Imams carry enormous power among believers t people what to do, Imamah can, and often does, come in conflict with governments, '' also claim the right to tell people what to do. An example is Iran, which has a Shiite m,l)c Iran has both a religious authority-the Imam-and a democratically elected governu and there is often confusion about which authority is in charge. Sunnis do not follow a system of Imamah. This means that Sunnis gener ally are ' content with having a secular ruler as long as that secular ruler does not interfere witl spiritual dimension of religion. In Iraq there are both Sunnis and Shiites, with the Shut the majority. However, Iraq had never been a democracy, and up until 2004 the Sunn is \ in charge. It was in part to keep the Shiite majority out of power that the United Stak earlier supported Saddam Hussein in his war with Iran. After invading Iraq in 2003, the United States struggled w ith setting up a demo� r government, which the United States stated was one o f the goals of the invasion, i n a '' try w ith a Shiite majority whose bel iefs often put rel igious rule by an Imam above sn democratic rule. The type of problem the Shiite sect presents today was the kind of proh that led Ro usseau early on in his discussion of democracy to despair of the relationsh ip tween rel igion and government, and to call on government to set up a civil religion avoided the conflict. Isla m i c Funda menta l i s m . In recent years, there has been much discussion of wh somet imes called Islamic fundamentalism and its connection to terrorism and jihad Arabic, jihad means "striving," but it is commonly used by the western press to deno sacred war against the Western world. As with all fundamentalist religious groups, tho much dispute about what is meant by fundamentalist Islam and whether some gro should be considered as fundamentalist Muslims. According to the dictionary, fundament.tl consists of "strict maintenance of ancient or fundamental doctrines." The problem i s t there is generally ambiguity about what those doctrines are, and the issue comes dowr who is i nterpreting them. As interpreted by Osama bin Laden, these ancient doc t 1 1 require Muslims t o fight against the Western world and to reestablish an Islamic st regardless of the costs to society and humanity. Other Muslims interpret it quite differl'll and many simply want to be left alone to follow their spiritual beliefs, leav ing secular m,lll to government. Their concern is with religion, not government. For them, relig1 fundamental ism is simply strict adherence to the Five Pillars. The difference between thl' 1 views of fundamentalism has sometimes been called the difference between revivalists, ' want to be spiritually devout, and fanatics and extremists, who exploit this devotion political ends. For some fundamentalists, the empowerment of Islam, which they see as God's plan humanklnd, is a sacred end, and it can be achieved only through the establishment ol Islamic state. Ayatollah Khomeini, who led the Islamic revolution in Iran, combined fun men talism with the Shiite belief in the role of the Imam and argued that because Isl,u government is a government of law, and because a knowledge of law is necessary for a nyc to rule, the person who should rule is the person whose knowledge of the law surpaSSl' oth ers. Under this interpretation, it is appropriate to revolt against existing secular gov� ments and replace them with rule by Islamic clerics, such as himself. This view fit Slu views m uch better than it fit Sunni views, which preferred a separation between rel i�1 and secular government. Khomeini also claimed that the West was on a crusade to cl11 nate Islam from the world and that Western ways were evil. In so doing he portrayed 1 United States in particular as the great Satan, claiming that good Muslims would reject l tec hnology and way of life. More recent Islamic scholars such as Hasan alt-Turai and Sayyid Muhammad Hu' Fadlallah have argued that the problem is not that the West is on a crusade to elim111 Islam, b ut i nstead that the West has dispossessed Muslims. Unlike Khomeini, these schol argue that Islam could selectively borrow technology and institutions from the West. Th 183 debates are still going on in Islamic society, and the outcome will play an important role in the peace of the world. . • Role of Religion in Society There can be little doubt that in primitive societies and in the earliest civilizations religious beliefs and practices were a strong integrative factor in most societies. Because of these b e­ liefs and practices, people knew how they must behave individually and as a group to avoid the ill will of the gods and to win their favor. They knew certain things were sacred and that if the group was to avoid famine or other misfortunes, no one must be allowed to treat the gods with disrespect. Religious beliefs were tied to rules of behavior and usually gave strong support to custom and tradition. In the early history of c ivilization, almost every "nation" had its own gods and sometimes, as in ancient Egypt, the king himself was regarded as divine. Even in twentieth­ century Japan, up until 1945 Shinto doctrine held that the emperor w as a descendant of the sun goddess. As a result, the people were drawn together not only by their common beliefs but also by their participation in common r ituals of prayer, praise, and sacrifice. Not infrequently, however, in the more high,ly developed civilizations of the world, dif­ ferences in religious beliefs have been a source of social conflict, especially when groups with different religious beliefs have lived w ithin the same national borders. To get an idea of the potential problem, look, for example, at Northern Ireland, where Protestants and Catholics clash, and at India, where Hindus clash with Muslims. Reli�ion as a Source o f Moral Values and Social (han�e Religion, then, can be a socially disruptive force, but it seems clear that over the years its major influence has been to integrate and stabilize nations and cultures. In the Western world, where Christianity in its various forms is by a w ide margin the predominant faith, our ethical and moral values have over the centuries been modified and g iven greater vital­ ity by the teachings of the Christian religion. Religion's integrative force derives from the fact that it gives divine author ity to ethical and moral principles. Without people's adherence to such principles, it would be difficult to maintain an orderly society with free elections and a wide range of personal freedoms, to produce goods with enough efficiency to hope to eliminate poverty, and in general to main­ tain the level of civilization we have already achieved. Through its influence on individuals, religion also has an impact on economic and political institutions. The great German sociologist M ax Weber ( 1864-19 20) developed this thesis in his book The Protesta n t Ethic and the Spirit of Capitalism. According to his theory, the new Protestant sects that developed out of the Reformation, especially those that were influenced by the doctrines of Calv in, made a major contr ibution to the eco­ nomic prosperity of England and western Europe and to the development of modern in­ dustrial capitalism. They did so because they believed in the Protestant ethic, the theory that God expects good Christians to work hard, to save, to invest their savings, and to show business initiative. The Protestant ethic also played a major role in the develop­ ment of the American ideals of rugged individualism, private enterpr ise, and financial success. Putting a high value on work and on the k inds of behavior necessary for material progress was never a Puritan or Protestant monopoly. It is a characteristic found every­ where among people who are determined to improve their condition, and it can be found in all societies and cultures. 184 � 9 Questions for Review and Discussion Rel igion Because relig ion is a source of moral values, it can also be a source of " change. For ex ample, churches led the way in the c iv il r ights battle, just as the) earlier in the ant islavery movement. Churches have also been act ive in the pml more general economic and social equality, and for adding issues of mor ality I t p oli tical dialogue. of Christianity leading to war against Muslims, and recent jihad terrorist attacks are an ex­ ample of Islam leading to attacks against Western countries. Christianity and democratic government have made their peace w ith each other, with religion playing the spiritual role that Rousseau saw for it as a type of civil religion. The pope's decrees do not undermine Western governments, and a Catholic in government is seen as following his or her own judgment rather than the pope's decrees on issues such as gay rights or abortion. The same is true of many other religions. This is not the case, however, with Islam, and Islamic fundamentalism poses the threat of religion to secular government that Rousseau foresaw. How those theological decisions play out will make a significant difference in what happens in the War on Terror. I mpact of Religion on Education, the Arts, and Literature The influence of religion on education, the arts, music, and literature is pervasive. D1 the Middle Ages, the church and especially the monasteries preserved ancient literatur{ kept learn ing alive. In the United States, from colonial times until well into the ninctt centu ry, most of our colleges and universities were started and controlled by religious o r izations. Many of them are still church controlled, and some religious bodies operate t sive systems of secondary and primary schools. Many of the great works of art of an• Greece and the European Renaissance are representations of personalities or events with gious significance. In the field of religious music, we find such outstanding compo�o Bach and Handel, and in literature we have great poems such as Dante's Inferno and M r h Paradise Lost. Buddhism and Hinduism have inspired temples, paintings, and sculpture of sophistication, mystery, ferocity, and beauty; Particularly in India, these represent paralleled fecundity and v ital ity. In some countries such as Indonesia and China, tht tire history and development of the religions are carved over acres of temple strutt or w rested from vast rock-cut caves and cliffs, constituting some of the greatest art and hist orical monuments in the history of human ingenuity. In Japan, hund ml great gardens have been created to the quiet glory of Buddhism and Shintoism Islamic prohibition of representations of the h uman figure means that the classr1 t heir art are exhibited in architecture, caligraphy, and intricate floral and geometrit J terns. Sanskrit, which means "per fect language," w as developed in India to preser vt• 1 g i ous traditions. In fulfilling this function, Sanskrit also became a great literary lang1 and one of the Indo- European languages from which have derived most of the 111 languages spoken today in Europe, Iran, parts of Asia, and the Americas. In China, the poetry of the eighth-century figure Wang Wei is one of the reason Tang dynasty is called the golden age. It has some Buddhist undertones, but only sixty \ later the poetry of Han Shan became overtly Zen Buddhist. In India the Ramayana and Mahabharata embody nearly all of the religious stories and myths on which the count r nurtured. I n ) apan we might mention the Shingon Buddhist novel of the eleventh ccnl Ta le of Genji. Interfaith Efforts for Peace Despite the many d ifferences, significant similarit ies exist among religions. Relir leaders have attempted to build on these similarities by creating organizations of mull religious denominations committed to creating better understanding among the wo popul ation. In her book, The Mighty a nd the Almighty, former Secretary of .., Madel i ne Albright argues that because many of the major conflicts in the world havt· r gious roots, interfaith religious efforts are central to solv ing them. The Potential Conflict between Religion and Government The previous two sections discussed the positive elements of religion for society. But r gion also plays what some consider negative roles. Specifically, it can undermine the and lead people to fight others, all in the name of religion. The Crusades were an ex,u 185 lu mans have always been troubled by the in­ tl,lbility of death and the meaning of l ife; their rkrcst in these issues has led them to relig ion. Ill' five great religions of today are Hinduism, udtlhism, Judaism, Islam, and Christianity. n nrrrent soc iety, relig ion is a source of moral lues, and it significantly influences all aspects of k • • • Modern religions face serious questions. Disputes arise both within religions and among religions. Religion has played a central role in society for thousands of years and is l ikely to do so for thou­ sands of years in the future. Religion presents a potential problem for secular government if religion extends its influence be­ yond the spiritual realm. me I mportant Terms ..,l"mitism ( 175) tks ( 177) 'ystem ( 172) r digion ( 169) ( 1 82) .lh ( 174) monotheistic religions ( 174) Nirvana ( 169) pogroms ( 176) Protestant ethic ( 183) Qur'an ( 180) Reformation ( 179) religion ( 169) Shiites ( 18 1) Sikhs ( 1 72) Sunni ( 18 1) Torah ( 1 74) estions for Review and Discussion \\"hy has religion had a strong appeal to human hcings from earliest times? lo Westerners, Hinduism seems a strange faith.· \\"hy? l low did Pr ince Shakyamuni Gautama found Buddhism? \\"hat are the unique characteristics of Judaism? I low did Islam begin? What was the or igin of the l)ur'an? ..,l,lte some of the similarities of Islam to Judaism hristianity ; also state some of the more im­ portant differences. What are the Five Pillars of Islam? What potential problems does fundamentalist J ,Jam pose? 9. Why is our knowledge of Jesus' teachings indirect? 10. L ist as many as you can of the more important teachings of Jesus. l l . Explain how Islam spread from Arabia to other parts of the world from the seventh to the eigh­ teenth century. 1 2. Why are religious beliefs likely to strengthen the moral and ethical principles of a society? How are they likely to create dissension and war? 13. On balance, has religion been an integrative or divisive factor in today's society? Defend your answer. 14. Why did Rousseau believe that governments needed to create a civil religion? � !J 186 Rel igion 9nternet Questions 1. Go to www.tibet.com. What is a Dalai Lama? Who 2. Using information found in www. infoplease.com/ ipa/A0 193627.html, explain what the Dead Sea Scrolls are. Who wrote them? 3. Who were the Knights Templar, according to www .knightstemplar.org? 0 4. Go to www.pbs.org/mormons/etc/genealog}'.l Why are Mormons so interested in genealog) is the current Dalai Lama? What was their 5. Using the list of countries' religious m.t� http:/ /worldfactsandfigures.com/religion. ph p. countries have indigenous beliefs as their I. percentage? original ding this chapter, you should be able to: purpose? how schools serve as agents of social control 7-or Further Study brief history of the development of U.S. education ------- Albright, Madeline, The Mighty and the Almighty, New York, Slifkin, Nosson, Mysterious Creatures: Fantastic A11111 Torah and Scriptures, Brooklyn, NY: Yashar II HarperCollins, 2006. Eagleman, David, Sum, New York, NY: Pantheon, 2009. 2005. Evans, Michael D., The American Prophecies: Ancient Scriptures Stewart, Matthew, The Courtier and the Heretic: The I Reveal Our Nation's Future, Nashville, TN: Warner Faith, God in the Modern 2004. University Press, 2006. Hecht, jennifer Michael, Doubt: A History: The Great Doubters and Their Legacy of Innovation, San Francisco: HarperSan Francisco, 2004. WWW Adherents.com American Religion Data Archive www.theard.1 Poker and Bad Conscience in America, New York: Nation WWW Buddhist the West, New York: Norton, 2004. Scafi, Alessandro, Mapping Paradise: A History of Heaven on Earth, Chicago: University of Chicago Press, 2006. he is educated. why the methods of funding education contribute education -Horace Mann Academic Info Religion Gateway www.acadcnu WWW Paine, jeffrey, Re-Enchantment: Tibetan Buddhism Comes to rize the evolution of the college curriculum .net/religindex.html WWW New York: Farrar, Straus & Giroux, 2005. proper sense, a human being till Yusa, Michiko, Japanese Religions, London: Routledge, Dialogues on Politics, Sex, God, Boxing, Morality, Myth, Mishra, Pankaj, An End to Suffering: The Buddha in the World, the main problem facing our school system World, New Haven, Cl Mailer, Norman, and john Buffalo Mailer, The Big Empty: Books, 2006. n A human being is not, in any www. thearda.com Education and Information Nl'l www.buddhanet.net WWW Christianity Today WWW Islam Online www.islamonline.net/english/indcx WWW judaism 101 WWW World Council of Churches www.christianitytoday.com www.jewfaq.org www.wcc-coe.oru Everything you do involves, or should involve, learning or education. Education is a never­ ending process that begins with the socialization of the child and continues through all of adult life. In common usage, however, the term education has a more limited meaning. Education refers especially to efforts, usually by the more mature members of a society, to teach each new generation the beliefs, the way of life, the values, and some portion of the knowledge and skills of the group; it also refers to efforts to learn on the part of those who are the objects of teaching. In modern society, there is so much to learn that any one person can acquire, at most, only a very small part of the total knowledge. Therefore, individuals must specialize in particular fields. Furthermore, in many fields, such as medicine and engineering, the knowledge and skills required have multiplied until they not only take years to learn but also require highly specialized educational arrangements in colleges, universities, and re­ search institutions. Thus, as our modern industrial society increases in complexity, it be­ comes more and more dependent on formal education-that is, on a system of schooling­ both for transmitting and for developing its cultural heritage. In the United States, we have created a school system that provides more opportunities for more people than any the world has ever known. In 2008, we spent well over $800 billion to meet the needs of more than 75 million students at all levels of the educational ladder. In the early 2000s, there was enormous concern about what we are getting for that money. Are we simply credentializing individuals, which means using school diplomas as a way to limit entry into jobs but not to train people appropriately? Why do U.S. students rate so poorly when compared internationally? Should we be providing "schooling"-the teach­ ing of knowledge and skill-or should we be providing broader educational and social skills-the teaching of critical thinking and multicultural topics? And, finally, how can we get more for less? 187 188 � 10 Education The Development of U . S . Education Schools as Agencies of Social Control 189 physical, or emotional problems into the mainstream classrooms. Though going to school together will not necessarily make all children love one another, it does tend to create better understanding and to give all groups a keener sense of their common U.S. heritage. In her book, Miss Manners' Guide to Rearing Perfect Children, Judith Martin writes that 't child is born ignorant . . . and is civilized by two things, example and nagging." In man} 3. Our system of public support for education reduces inequalities of oppor­ \ tunity at all educational levels. The masses of our people, even at the example and nagging are education, and it is education that civilizes us. Put more form,1l lower income levels, are now receiving an education up through high is through education that society transmits to individuals the knowledge dealing with school. Large numbers are going on to college or technical and profes­ ways of life of the group. Education is a prime agency of social control, and decisions 1 sional schools, in part because they can attend publicly supported about how to educate play crucial roles in deciding the direction society will take. schools with low tuition and in part because there are many govern­ ment loan and grant opportunities. T he Dual Thrust of U.S. Education 4. Finally, and by no means least important, our public school system has enabled us as a nation to make much more effective use of our human In the United States, such socialization is deeply embedded in the schooling process, h resources. In the public schools, we discover many students who have un­ is modified by attempts to foster individuality and to maintain individual and acadtr usual ability, including those who come from unfavorable social back­ freedom-the freedom of students and teachers to pursue, discuss, and teach knowl grounds. The talents of most such students would never be brought to without hindrance or censorship. ln other countries, education concentrates more ot stilling discipline; individuality is frowned on (see box on "Real Education in Pah.t. light if it were not for free public schools. Once discovered, they often can be encouraged and helped to develop their capacities to the maximum. For example, in Japan and in other Eastern countries students face strict disciplinary cc Thus, not only do they themselves lead fuller lives, but as scholars, scien­ and according to international tests, they learn more. tists, or leaders in other fields, they also make a contribution to the welfare The dual thrust of U.S. education-both the development of individuality and the �� of the nation. Our public school system is by no means a perfect instru­ ization of students-leads to a tension in our attitude toward education. The tension �1 ment, either for achieving complete equality of educational opportunity itself in many ways. For example, some educational philosophies emphasize teamwor� or for enabling us to make maximum use of our human resources, but it cooperative learning, whereas others emphasize competition and individualism. The ten has helped us to take great strides toward both of these objectives. between these two approaches inevitably leads to debates: How much freedom should stud be given? Should government determine what is taught, or should teachers and parents d� at the local level? Should private schools be subsidized with government money? And if · are, should they be subject to government control? Private schools have pushed for governn financial support without control; public education advocates have resisted such moves. American interest in education goes back to earliest colonial times. W ithin about fifty years except Rhode Island had passed legislation making it mandatory for parents and the mas­ The dual thrust in education exists because the ed1 tion system not only educates people but also prep In spite of early beginnings in New England, the idea that all citizens of a democracy education serves as a fundamental building blol WOJ l. By teaching the masses of our citizens to be liter public education makes it possible for them communicate with one another more effect1 beyond the local community and to learn so1 thing of politics and public policy by read newspapers, magazines, and books. This en.1l people to vote more intelligently and to chc leaders more wisely. 2. The public schools teach children to get along 1 different kinds of people. In many areas, the on the quality of teaching in our schools. It's another thing entirely far you to stand up and call Mr. Castello a yo-yo." dents who attend these schools come from w11 varied social, economic, national, and racial b. grounds. Also, extensive efforts have been reading, writing, and religion. Before long, laws were passed making it compulsory for but they also charged tuition. rca U.S. democracy. It does so in the following four ters of apprentices to ensure that their charges learned both a trade and the elements of towns to establish elementary schools. These early schools received some public support, them to fit into society. It makes the many disp,t "It's one thing far the National Commission to comment Development of U.S. Education after the first settlement at Plymouth, Massachusetts, in 1620, all the New England colonies Education and U.S. Democracy parts of our population fit together. For that t! should be taught at least reading, writing, and arithmetic was slow to take hold. The founders of our republic were not thoroughly democratic in all senses of the word. Although the Declaration of Independence pronounced that all men are created equal, most of our early leaders had limited faith in the ability of the common citizen either to vote wisely or to profit from education. Everywhere, the right to vote was restricted to the few by property and other qualifications, and except perhaps in New England, only a small 1 minority of the people even learned to read and write. This situation did not change radically until well into the nineteenth century, when a new spirit of democracy began to be felt. It permeated the entire country but was especially strong in the recently settled regions west of the Alleghenies and along the rapidly advanc­ ing western frontier. This new surge of democratic sentiment brought about the election of Andrew Jackson to the presidency in 1828. Jackson was a product of the frontier, and he represented the new democracy of the expanding West. In the period from Jackson's election to the Civil War, Ill to integrate children who have special leamt 1Women were not allowed to vote in national elections untill920. 190 clu.ptvv 10 The Development of U.S. Education Education "�a( Education in Pakistan Education in Pakistan reflects the cou n try's h ierarchi­ cally structured society. In Pakistan, the concept of in­ d ivi dual freedom is subord i nated to the demands of self-di sc i p l i ne and obedience to elders. When your fa­ ther (men are given more respect than women) says to do someth i ng, you do it, or you get beaten. (Physical punishment is quite acceptab le in Pakistan.) When you enter school , norma l l y at the age of four, you have already been thorough ly i ndoctrinated by your parents to give the teacher that same respect and unquestion i ng obedience. The school day is rigidly or­ gan i zed; it has none of the free-form organ izational structure that permeates U.S. schools. School begins with a general assembly in which all students line up in rectangu l a r formations to recite the Qu r'an and sing the national anthem. If you refuse to sing, you ' re beaten-but nobody refuses. The dress code is strictly enforced, and improperly attired children are either p u n ished by the i r teachers or sent back home with a note tel l ing the parents to turn up the next day with thei r child . Students up to the th irteenth grade (the f i n al year of h igh school) are req u i red to stand up when a teacher enters the classroom, greet h im-the teachers are mostly men especi a l ly in the sen ior classes-and sit down o n l y when al lowed t o do s o b y t h e teacher. Throughout th lecture, all students are expected to sit in an u prigh position and preserve utter silence. Troublemakers ( noisy kids) are caned (i .e., beaten). Students are not 19 1 Since 1865, there has been a phenomenal expansion of education in this country. In 1870, five years after the end of the Civil War, the number of children attending elementary schools was less than 7 million, and enrollment in public high schools was only 80,000. Some children were also attending private grade schools and academies. In 2007, total enrollment in elemen­ tary schools, public and private, was 32.2 million, and enrollment in secondary schools was 17.1 million. In 1870, less than half the children five to seventeen years old were attending school, and the average number of days attended by each child was only 50. In the early 2000s, almost 100 percent of children from the ages of five to seventeen were in school at least some • q uestion what the teacher says; the teacher's word 1 supposed to be a lmost as sacrosanct as the Qur'an. After the eighth grade, students normal ly spl i t u� days every school year, and on the average, children attended school for about 165 days a year. The most striking expansion of education in the twentieth century was in the colleges and universities. In 1920, fewer than 600,000 students were enrolled in all of our institu­ i n to two streams, the science grou p and the arts group . The students have little choice in t h i s matter their grades and parental pressure are the two most i m portant deter m i n i ng factors. Generally, the bright students are channeled i n to science and the second raters are channeled into the arts. Most America n s would n 't l ike t h i s system ; they ' wou l d see it as demea n i ng to the students a n d i ncor sistent with U . S . cultura l mores. But i n Pakistan, 1t tions of higher learning. Enrollment in colleges and universities was less than 25 percent of high school enrollment. By 2007, the number of students in colleges and universities had increased more than twenty times, to nearly 18 million. The overall trends since 1970 are shown in Figure I 0.1. Until 1970, school enrollment rose at all levels. Then, in the 1970s, school enrollment began to decline. This trend was in large part caused by the completion of schooling of the children of the World War II baby boom. Enrollment in elementary schools started to rise again in the late 1980s due to the secondary baby boom (baby boomers' children). As the children of this secondary boom grew older, the enrollment in later grades also rose. Through all these trends, college educa­ tion enrollment has risen as higher percentages, of students go on to college and as older works. It i n st i l l s i n students a work eth ic a n d d i sci p l i n e that serves them wel l at the u n i versity level , bo• at home and abroad, and most Pakistani u n i versity students are glad they went through it, rather than through what they wou ld describe as the namby­ individuals decide to attend college. pamby U.S. educat ional system . Democratic Structure of the U.S. School System The school structure of the United States is quite different from what is traditional in most countries. Before World War I, nearly all European countries had a dual school system, and in spite of some changes since, European schools still retain much of this dual character. A dual school system separates, at an early age, the children who expect to go on to a college or a university from those who do not, and provides a different type of education for each group. In public elementary education became firmly established. In the 1830s, Alexis de Tocqm a French author, visited the United States and expressed astonishment at the ever-gro belief in and commitment to public education. In Europe, education was still restrictt Mexico, all children are given an exam at about the age of twelve, after completing six years of members of the wealthy class and the clergy. primary education. Students who do well are sent to special "secondary" or university prepara­ tory schools; others are sent to vocational, agricultural, or technical schools after completing By 1860, tax-supported elementary schools had opened in many states. During 1 years, some publicly supported high schools were also established, but for the most secondary education continued to be provided by the private academies that had succl the early colonial Latin grammar schools. These academies increased rapidly in nun 70 but not until some time after the Civil War did the idea of publicly supported high sch begin to gain wide acceptance. 60 .!!! 50 � "' 40 c: Q) "C c; � .5! � Elementary (K-8) 30 20 10 0 1970 1975 1980 1985 1990 1995 2000 2005 2008 Figure 10.1 The Country School, 1871, by Winslow Homer. School enrollment by level of instruction, 1970 to 2008. (Source: National Center for Education Statistics, Digest of Education Statistics Tables and Figures, 2008.) 192 chaptvv 10 The Development of U . S . Education Education their elementary education. This holds true in most European countries, too, although Formalization of the School System and grade level at which children are segregated varies from country to country. In (,l An institution as important as education quickly acquires a formal structure, and by 1880 the structure of schools in the United States had evolved into the 8-4-4 system-a graded eight-year elementary school, a four-year high school, and a four-year college. As inevitably the age at which the examination is usually taken is ten; in Great Britain, it is twelve. In the United States, we developed in the late nineteenth century a so-called unit tern. In a unitary school system, most children (unless they have dropped out along tl as a formal structure developed, so did the criticism and evolution of that structure. Increasing criticism of the 8-4-4 system after World War I Jed initially to the establishment of junior high schools in many communities. These schools took over the seventh and attend the same type of school and follow a course of study that eventually leads to grad from high school after twelve years. They are then ready, supposedly, to go on to a col university. The door to further education is, so far as possible, kept open all along the lu eighth years of schooling from the grade schools and the first year from the senior high schools. The junior high school made it possible to begin secondary education earlier and facilitated the introduction of new types of courses. In the 1970s, the evolution continued, and elementary school was reduced to five years, junior high was changed to three years of Of course, not all courses prepare students to enter a college or university. Even school system is fairly successful in keeping open the doors to further educational Jd ment because the student who has not taken a college preparatory course can often l for some type of college training by merely making up a few required admission lt middle school, and high school was extended to four years, making the 5-3-4-4 system common for most communities in the early 2000s. Education prior to the grade school years also changed. For example, in most Also, many colleges are flexible in their entrance requirements for students who g1 dence, by test scores or otherwise, that they have the ability to do good work in collq 8du£ation in Some Other Countries In this chapter we focus on the U . S . educational sys­ tem. O u r system is not the only way to educate. Let's take a brief l ook at how educational systems work in some other countries. Germany Schools are divided into three categories: grammar, technical, and vocatio n a l . The system grooms the gifted students and tests the abil ities of those who wil l become skil led workers. Equal emphasis and status are accorded the sciences and the arts. Adolescents are treated like adults, and students see how success in education is connected to earning a livi ng. Some weak­ nesses are that the grading system is not as disciplined as it is in some countries and that vocational training is seen by some as being too tradition a l , without encour­ aging future entrepreneurs. Denmark The general structure is sim ilar to that of Germany. I n Denmark, however, if parents are dissatisfied with the i r publ ic school , they can get together t o set u p their own school , and the government will pay 90 percent of the cost. At the u n iversity leve l , where students used to be able to take as long as they wanted to get a de­ gree, there are now detailed schedules to discourage students from wasting time. France Scientific and technical schools enjoy a high status. Adolescents understand the tradit ion of spending most of their time working for a rigorous general examination . Vocational tra ining has been weak, but recently the gov­ ernment has mandated employers to spend 1 percent of 193 U.S. communities a year of kindergarten was added at the bottom of the scale, preced­ ing the first grade. Later still, private nursery schools became common for very young children, and in more recent years, programs have been introduced for young children from disadvantaged backgrounds. For example, Head Start is a federal program that seeks to enhance the social and intellectual development of students as young as three their sales receipts for training workers. Simu l taneoL the government has encouraged vocational schools t expand, setting forth clear, ambitious goals. Britain has a national curric u l um, tested by nation exams. Parents can send their children to the best available school, and the government finances schorl on the basis of how many students they are able to tract. Exam results are published and schools are ranked comparatively, so parents can make informed decisions about which school to choose. Schools are encouraged to escape from supervisory bureaucrac1 and run themselves i ndependently. As in some other European countries, vocational schools need improv ment, but Britain is working on this task. years old. Mu£h Does It Cost? e countries spend more on education than do other The graph below shows the percentage of total l ll)ending that selected governments devote to education . 10 .5! is i n tense because students know their adult careers depend on how wel l they do in school . Also, the impor tance of education is demonstrated by the parental pressure exerted on children to exce l . Parents endure financial and other sacrifices to pay for extra school1n I n recent years, the Japanese Ministry of Education ha tried to discourage overly long hours, as they have beer embarrassed by the statistics on teenage suicide and nervous breakdowns attributed to overwork at school do wel l , a n d government support for choice a n d innovation combined with insistence on consiste n t standards. The amount of money spent doesn ' t necessarily easure the effectiveness of an education system . "' c Japan has what some call "a cult of education . " Students attend for long hours. Even after regu lar sch hours, many attend evening, holiday, and weekend "cramming" schools to get extra education. Schools ar run economical ly. Most of the school buildings are shabby and i l l-equipped by Western standards. Studer are required to hel p with some tasks, such as serving the cafeteria. These tasks are bel i eved to improve char acter, and they hel p keep school costs low. Competit1 What does seem to matter is the students' u n der­ standing that success in education leads to economic success, parents' determination that the students 8.3 � �0.. 8 c 0 G.J -"" ... ... ... _ :::1 c ., ., 6 ::g ..,_ .5! :0 !ii... 5.3 5.3 5.2 5.7 5.8 5.6 5.5 5.3 4.6 4 3.5 ., ... .s� :c; c ., ... )( w 2 0 1*- �"' s-� �:I;, � � v �.§ "'Q� �" '::,�� � Source: CIA World Factbook Reprinted by permission of OECD �I;,� c;, �<::'!::> l.\��'Q �<;,.V r'l>� . .Ac§.� ' " C:3 �"<:> �'Q �"' !::><:>� ��<::' {:>�� i$:-c§. �'?; ·"IS>"<::, �� �� \:)�� n �� '::,� 194 � 10 Education Examining the School System Evolution has also occurred at the college level. A good The Decline C\ is the community college movement, which developed slod first. In the early 1920s, only a few such schools existed throu of Standards the country. The first public community colleges were usually lished by school districts as a kind of extension of high A big city school system requires a student in the seventh grade Often, they were begun in high school buildings and their tional system and how it developed. It is a compulsory system through age eighteen, usually the l last year of high school, and it is a broad-based college system. It is also an expensive system costing hundreds of billions of dollars. Given education's significant role in modern society, it graduate school training. Just as some educators had argued l should not be surprising that there is a constant examination of the school system: how it deliv­ that the first two years of college should be moved down to th ondary level, some now regarded the community college as mining the S(hool System The preceding history of the school system should give you a good sense of the U.S. educa­ 'l were taught by high school teachers, preferably those with to be able to read as wel l as a fifth grader, 195 .11 tension of secondary education. In fact, however, most of thl ers its services, how it is paid for, what it teaches, and what its results are. These continuing efforts to understand and improve the system will inevitably introduce changes. community colleges followed rather closely the curricula of th Technological Change and Teaching two years of the four-year colleges and universities, and the\ who, by the way, m ust be a b l e t o read a s wel l a s a fourth grader, chiefly concerned with preparing their students to enter such As with other institutions, technology changes both the method of teaching and what needs tutions in their junior year. By the end of the 1930s, the numl to be taught. With the development of computers, for example, the process of writing is community colleges had substantially increased, and becausl' of them were established in areas where college edw\ation h.ll earlier been available, they gave many young people a better OJ who, in turn, m ust be able to read as wel l as a t h i rd grader. What's wrong with demanding tunity for getting at least some college training. After World War II, in response to the increased demand higher education, the number of two-year colleges, both privatl public, rose rapidly. In the early 2000s there were about 1,650 1 United States, with a total enrollment of nearly 6 million stud among whom were 38 percent of all undergraduates. Communit that a seventh grader stylistic mistakes. It is predicted that some time in this century these programs will expertly translate onto paper the words and ideas that a person speaks into them, making obsolete much of what is now taught in grammar and composition classes. Such changes would par­ allel those already accomplished in math by calculators, which have made nearly obsolete the necessity to do arithmetic mentally or on paper. Books will move online, and where full on-line bibliographies have become available through computers, many library skills are no longer necessary; we simply need to know how to use the relevant search program. What the long-range future holds is limited only by our imagination. Perhaps with the lege enrollments account for 45 percent of all black student advance in the analysis of the brain, by 2040 teachers and schools may be obsolete, and stu­ 52 percent of all Hispanic students. be req u i red to read l ike a seventh grader? How wou l d y o u like to be changing. Computer programs are now available that correct grammatical, spelling, and dents may simply hook up their brains to various data banks that directly translate knowledge Gradually, as community colleges multiplied and mor� more students crowded into them, their function changed to p.u from computer memory to student memory. Luckily for teachers, that time is not yet here. high school. Now community colleges are colleges designed to Private Schools and Home Schooling more closely the initial concept of such colleges as an extens1o 1 the diverse needs of students who could benefit from some nt operated on by a brain surgeon sion of their high school education. Community colleges <11 Private schools have always been a part of the U.S. educational system, and their total en­ longer regarded primarily as institutions preparing students to rollment includes about 10 percent of all schoolchildren. Schools defined as private or inde­ who graduated from a school that a l l owed its students to be a year and a half behind four-year colleges in the final two years. They still do this, but 1 pendent include religious schools, private nonsectarian schools, and home schools. In the design has been expanded to meet the needs of the commu111t early 2000s, there were about 30,000 independent schools. Of the country's 53 million which they are located. Especially for students who want to school-age children, over 6 million attended independent schools and about 1.5 million money, community colleges, dollar for dollar, are a wonderful were home-schooled, together representing about 14 percent of total school enrollment. gain. Various types of vocational training have been introdu • in thei r ski l ls? · 1 ech no 1ogres Unzted..,., · adver t.1sement. Figure 10.2 gives you a sense of how public school enrollment has compared to private some of them technical. Courses are offered to train auto 1m·d school enrollment. tants, laboratory technicians, and various other types of wo1 the religious schools is based on systematized programs, such as the one published by ics, beauty shop operators, salespeople, medical and dental ,, A large number of these private schools have religious affiliations. Instruction in some of The community college has become an institution that seeks to 1 Accelerated Christian Education, Inc., of Lewisville, Texas. The pool of students in religious vide training that not only will produce better citizens but that schools is estimated to be more than 1 million, and about half of these use the Accelerated will meet the needs of our economy for a greater number of tr.1l Christian Education method of silent, individual study using workbooks and cassette recorders. workers and the needs of young people for jobs that will yield both satisfaction .11 There are several thousand different workbooks compiled to be "distinctively Christian;' and reasonable level of income. each student goes through as many as sixty-five different workbooks in a school year. Exactly what that training should be is subject to debate. Some advocate traditu These systems are inexpensive and easy to set up. They use church space and incur no academic studies and others favor a vocational focus. Vocationalists argue that cou additional expenses for heat, utilities, and most equipment. Students from these schools should provide skills needed in business. Traditionalists argue that there is a dangl who have taken the California Achievement Test have, on average, scored above the national students becoming narrow job specialists without common interests. They feel norms in every subject. job-specific skills can be learned on the job and that colleges should be designn Despite the significant amount of such activity and the fact that the choice of inde­ teach people to think and understand the world around them. The debate is likd pendent schools is growing rapidly, the total number of students in and from these continue. schools is still statistically small. There is speculation that such schooling may lead to 196 � 10 Examining the School System Education Grades 9 through 12 Kindergarten through grade 8 2008· D method of equalizing tax burdens and available re­ College 2008. 2008· 0 197 sources. In Michigan, for example, the school property i tax was eliminated a few years ago and replaced with a sales tax. Recently, Vermont and New Hampshire were 20000 2005 0 2005 ••••:=:�• 19900 1990 0 1990 19800 1980 �-----· 1980 �·--- 19700 19700 1970 c=J both forced to deal with state court decisions mandat­ ing major changes in the way property could be as­ sessed for school purposes. Attempts to change these financing methods have • led to more dissension and to calls for privatizing education so that it is no longer supplied by govern­ ment, but is instead supplied by private, for-profit businesses. Under the typical privatization plan, stu­ dents are given a voucher worth, say, $5,000, which they can use to attend whichever school they want. Advocates push for such privatization programs using I I I I I I I I 0 5 10 15 20 25 30 35 0 2 4 6 8 10 12 14 16 School enrollment (in millions) • Public school D Private school I I I I the phrase "school choice," because students would I 0 2 I4 6 8 ··rulers pass through the hallway in a charter school. taking the easy-to-educate students and leaving the difficult and expensive-to-educate stu­ dents in public school. They also argue that it would significantly change the socialization ·Estimated function of the public schools and, hence, change the nature of U.S. society. Although a Figure 10.2 School enrollment from have a choice of schools. Opponents of such schemes argue that the private schools would "skim the cream," number of privatization initiatives have been put forward, in the early 2000s none had passed. 1970 to 2008. (Source: National Center for Educational Statistics.) One initiative that has passed in about thirty states is charter schools-decentral­ ized schools based on a charter between an individual or group (usually teachers, par­ ents, and others in a community) and its sponsor (usually the local or state school board). Charter schools are designed as an alternative to private and public schools. isolation, narrow interests, poor socialization, and alienation from the maimtl These conclusions have not been subjected to testing. The results from the Calif businesses, most of whose hopes to make a profit are fixed on the vague future. Their Achievement Test provide at least some evidence that alternate systems of schooltr structure minimizes bureaucracy and promotes innovative approaches to learning by providing acceptable academic results. As educators gain more experience from with these types of schools, we are likely to see many studies, reports, and recommt· tions on the subject. empowering teachers and parents to create the curriculum. Accountability is achieved by performance tests that determine whether the charter is renewed. Over the next few years, these schools will be watched closely so that the quality and breadth of the pro­ An alternative to private schools is home schooling, in which parents teach thc11 children at home. As concern about public schools has increased, so too has home Although largely controlled by parents and teachers, their financing usually is provided by the state in which they're located. About 10 percent of charter schools are run by grams that emerge can be measured. �l ing, but it remains uncommon. Textbool<s After systematic testing had been developed as a research tool beginning in the 1920s, edu­ Charter Schools, Privatization, and the Problem of School Finance cational testers reached the conclusion that the elementary curriculum was too hard, and Good schooling costs money, but it is not surprising that the taxpayers who pay for it oh they targeted the textbook. Since then, textbooks for elementary schools have tended to be­ to pay less. Historically, education in the United States has been paid for largely b) come less and less rigorous. Long words and complex grammatical constructions are property taxes-taxes on land, houses, and businesses in the school district. BecaUSl' 1 frowned on, as are connective words. According to Harriet Bernstein, textbook expert of the property owners do not have children in school, some of them object to increases in ' Council of Chief State School Officers, the word because does not appear in most U.S. taxes. This leads to periodic community dissension and failure of the voters to schoolbooks before the eighth grade. Some believe these simple books continue to be used school budgets. A second effect that local financing of schools has is significant differcn because overworked, undertrained teachers need something easy to teach from. tax burdens among school districts. School districts with large amounts of valuable t.r The situation is complicated by the claims of various ethnic, religious, political, and property find that they can support schools with a much lower tax rate per property o other pressure groups. For instance, nutritionists who believe that refined sugar is a health than can districts with little valuable taxable property. The result is significant differCIIl hazard have succeeded in some states in having removed from children's textbooks most availability of funds for schools. references to cake and candy. The results can sometimes be unintended; in one case, these The inequity in this funding method has come under attack in the courts, and a r ber of states face legal mandates to change school finance methods by instituting omissions resulted in stories about a child having a birthday-with no birthday cake. Textbooks developed for high schools and colleges have some of the same characteris­ tics. Open several and stand back so that you cannot read the print: You will find that they all 198 � 10 Education tend to look alike. Popular strategies include frequent subheads, charts and picture�. I material appearing in the middle of a page to relieve the blocks of print, and glosse� margins that enable the student to get the gist of the chapter without reading the mau Publishers demand these devices because that is what sells, and textbook writers comp In our view ( yes, it is true that textbook authors have views), textbooks coddle stt too much. We make learning too easy, so students don't have to think. Nevertheless, we H (a word that probably shouldn't be used because it is too unusual), although less than textbook writers do, because teachers and publishers say that a truly thought-provokin therefore painful) textbook wouldn't get published and wouldn't get read. Exa m i n i ng the School System 199 Together with a number of social scientists, he conducted research to find out why. He found that the cause had nothing to do with ability. The groups he was looking at (students at the University of California at Berkeley) had equal ability in math in their high schools and on standardized tests. The difference was more in the institutional structure of the program. He found that Asian students tended to work on problems together in informal social groups, so studying math became part of their social interaction. On the other hand, he found that black students' social activities did not include any such interaction, as they were drawn to black cul­ tural centers that did not include other math majors. Thus, they did not experience the type of collaborative learning that the Asian students did. He set about to change that and successfully instituted collaborative learning exercises that, together with other institutional reforms, signif­ School Dropouts When education becomes too painful, students drop out. According to data compd the U . S . Bureau of the Census, as many as 50 percent of high school students in some n cities drop out before graduating. The dropout rate has fallen somewhat over tlw decades, from about 14 percent nationwide in the 1 970s to less than l 0 percent in the )£ It remains higher for Hispanics at about 22 percent and blacks at about 1 1 percent lower number for blacks may look good, but this is partly because so many blad teenagers have ended up in jail and are not counted as being eligible for school or a\ 1 ping out. Boys drop out at a higher rate than girls ( 10 percent to 8 percent). The total t ber of students not graduating from high school is somewhat lower because many stuc who drop out go on to earn a G E D (General Educational Development) degree, wht considered a high school equivalency degree. In the early 2000s, about 63 pem· nt dropouts obtained a GED within eight years of dropping out. A number of programs have been established to deal with dropouts. In New York ! for example, workers for Operation Far Cry contact dropouts from high school by pi and attempt to persuade them to return to school. Other areas have tried flexible '>l scheduling, work-study plans, and identification and counseling programs. In a cash class project, one California school paid students to attend school. The high dropout rate is a problem not only for the individual student but also fot entire community. Education has a direct relat-ionship to crime, and in the long nu higher the average level of education, the lower the crime rate. Dropping out of high '>d also affects one's ability to get a job; the unemploy ment rate among dropouts is rou twice as high as the unemployment rate for high school graduates. M ulticulturalism, Collaborative Learning, and Institutional Fairness People learn in different ways, and various groups respond differently to alternative lc,u environments. Much of our current learning environment is what Peggy Mcintosh, an cation specialist at the Center for Research on Women at Wellesley College, calls "wu1 killer competitive," which she argues is not conducive to some minority culture'> women's backgrounds. The current system, she argues, is biased toward white mak does not provide a collaborative learning environment, in which students learn to wo1 gether, helping each other excel rather than competing with others to beat them down. Mcintosh's theories are highly controversial, but aspects of them are making thcu into mainstream educational practices in what is called the multiculturalism movcm the movement to make social institutions unbiased with respect to all ethnic and cuh groups. One example of this multicultural movement is Uri Treisman's work with black w math majors. Treisman is a mathematics professor at the University of Texas at Austin whc studied in depth the reasons why black students made up a disproportionately small numl college math majors, whereas Asian students made up a disproportionately large nun icantly increased the percentage of black math majors at the University of Texas. There are many more such examples at all levels of the educational system, and over the next ten years we can expect to hear much more about how institutional structure affects learning behavior. The ways in which discrimination occurs can be subtle, although sometimes when pointed out they are not so subtle after all. For example, Gary Mitchell, a New Jersey attor­ ney, sent his child to a progressive school and was struck by the awards given out in the child's kindergarten class. The awards given to students of one gender were for best thinker, most eager learner, most imaginative, most enthusiastic, most scientific, best friend, best personality, hardest worker, and best sense of humor. The other gender's awards were for all-around sweetheart, sweetest personality, cutest personality, best sharer, best artist, biggest heart, best manners, best helper, and �ost creative. I leave it to you to figure out which gender got which list of awards. How Good Are U.S. Schools? Probably the most important questions we can ask about our educational system are: Does it deliver? and, Are students receiving a good education? The answers are not a unanimous yes. Many argue that there has been a marked decline in the effectiveness of education over Boys Discriminated inst in School? i m i nation takes m a n y forms, a n d as one pe of d iscr i m i nation is corrected , others are reated . Ta ke the d iscri m i nation aga i nst girls i n ucation a l l uded t o i n t h e text . I n the 1 97 0s nd 1 980s, t h is topic was m uc h d i scussed , a n d a rge majority of t h e population felt that the ed uca­ onal structu re d i scr i m i nated aga i nst girls. T h at iew led to the passage of the G e n der E q u ity i n d ucation Act i n 1 994, w h i c h specifica l ly ban ned disc r i m i nation agai nst g i r l s in schoo l . Fifteen years ter, it is not g i r l s whom soc i a l scientists feel are bei ng d iscri m i nated aga i nst ; it is boys. The signs f discrimi nation are many. G i r l s , o n average, get higher grades t h a n boys; girls are more l i kely to be in advanced p lacement a n d honors courses; nd g i r l s atten d col lege in h igher percentages than boys. The suggested reasons are varied . Some include: • • Teachers tend to choose "fee l i ng" books that ap­ peal to girls rather than "action" books that appeal to boys, so boys don't learn to read . Math is being taught with words, with which girls excel , rather than with n u merical a lgorithms, with which boys excel . • Competition, which boys thrive o n , is portrayed as bad, and "cooperative learn i ng , " a lear n i ng style that girls do better with, is portrayed as good. Also varied are the suggested sol utions. Some want to make boys more l i ke girls, so that they relate to feel i ngs rather than to action. Others want to make school more conducive to masc u l ine ways of learn i ng. Sti l l others say we shou ld simply get rid of the Gender E q u i ty Act, which was too m u c h , too late; it went i nto effect when women had al ready achieved equ ity. Whatever the answer, we can expect to hear more about the issue in the future. 200 � 10 Education 520 � 510 ·� 500 -g 490 _g 480 L � 470 � 460 .E 450 � 440 :il 430 � 420 E 410 < 400 Exa m i n i ng the School System The tendency to pass students from grade t o grade o n the basis of little or n o achieve­ ment is strengthened in some schools by the policy of social promotion. This means pro­ 0 moting students along with their classmates regardless of whether they reach a minimum "' standard of achievement in their studies. The theory is that it is better for social reasons to keep them with their own age group, whether they learn anything or not, and at all costs to Math avoid stigmatizing them as failures. However, promotion on this basis does not help matters much. Students who have not learned elementary mathematics in the lower grades become "' completely frustrated or indifferent if they must attend math classes in the upper grades . Thus, so-called education consists only of going through the motions of attending classes. "' Not only do these students become a problem to the teachers and hinder the other students 0 from learning, but they also often feel their own inadequacy more keenly than if they had c:: been held back. Whether under these conditions students gain anything by remaining with "' their own age group or by staying in school at all is open to question. If this problem is to be solved, we probably must address it early in a child's life. "" a; 0"> 201 N 00 0"> M 00 0"> v oo m � ro m m oo m � oo m oo oo m m oo m o m m � m m N m m M m m v m m � m m m m m � m m oo m m m m m o o o N � a o N N o o N M o o N v o o N � o o N � o o N The Search for Excellence Figure 10.3 In response to many criticisms of the U.S. educational system, measures to stem what critics 1981-2005. In 1995 the scores were normed at a higher level. There was 110 sudden increase in unnormed scores. (1981-1994 scores are median scores; 1995-2008 scores are mean scores. II SAT scores for college-bound sen iors, call a tide of mediocrity have been instituted. The reforms have been mostly on the state are only small differences between the mean and the median scores; the jump is caused by the renonning. ) (So111 Based on information from the College Entrance Examination Board.) certification standards, given teachers more responsibility, and put in place frequent stan­ and local level and have increased salary scales, lengthened the school day, improved teacher dardized testing in a variety of grades and subjects so that students' performance will be monitored in a measurable way. On July 1, 1994, a federal law about national education standards was passed. This law, called the Goals 2000: E ducate America Act, recommends academic standards for grades 4, the last few decades; students graduate without knowing the fundamentals of reading, ' ing, spelling, and arithmetic, especially in depressed inner-city areas. Starting in 1995, 8, and 11 and encourages states to design new ways to measure student performance. The goals included the following six: scores rose substantially, as you can see in Figure 10.3. This was not because student � ' doing better, however, but because the test scores were normed, that is, adjusted to fit .1 1. All students will arrive at school ready to learn. determined scale. Whereas previously 450 had been the median score, after norming. was the median score. Thus someone who in 1997 received a verbal score of 505 would I 2. The nation's high school graduation rate will be at least 90 percent. received only a 428 in 1995. In other words, the scores were simply raised, on averagl both math and science, by 45 points. Why do this? Cynics suggest it is the only way to r scores. The SAT administrators say it is to give students a better sense of where they st,tn relation to other students. We leave you to decide which answer is the most persuasin be fair to the SAT, in reporting the scores, they also raised recent previous scores.) Starting in 2004, the SAT tests changed significantly: • Instead of two sections, there are three, with a two-part writing test being introdu This means that the highest score will be 2400, rather than 1600. • The verbal reasoning section was renamed "critical reading," and analogies w t ll dropped. • The math section added higher-level math problems. The hope in making these changes was that the test would better reflect what coli are looking for and give those students who take harder courses an edge. Educators justify the shortcomings in our schools in a variety of ways. They argm many modern-day students do not want to learn and have little ability to master traditu academ ic subjects. Teachers are then under pressure to lower standards. It seems unre,t able to give failing grades to, say, 50 percent of a class, no matter how poor it is; natur many principals and parents would blame the teacher. In addition, teenagers with I schooling now have trouble getting jobs. If they leave school, they may just wandl'l streets and get into trouble. So in many schools most marginal students are pron11 regardless of their lack of achievement. o You R ead This? 9 percent of adult Americans whose native i an­ is Engl ish can't read Engl ish . That's what the B u reau of the Census says. If we're talking about whose native language is not Engl ish, then the B ureau says 48 percent can't read Engl ish. these two groups together and they add u p to 27 m i l l ion people. Here are a few of the test q uestions that many le cou ldn't a nswer: 1 . Pick another word for sickness: The patient has the right to ask for i nformation about his sickness. benefits/payments/expenses/i I I ness 2 . Pick the best f i l l - i n for the b l a n k: Don't a l low your med ical i nformation card to ---- by any other person. be used/have destroy/go lose/get expired 3 . Choose the a nswer t h at means t h e same as the p hrase with a l i ne under it: We cannot see you today. When c a n you ret u r n ? W h e n w a s the last time you came? Who shou ld you cal l when you come? On what date can you come aga i n ? Are those the papers you can return? Of course, no test is perfect. For i nstance, a l l the preceding questions seem to i m ply that the person taking the test is sick. Some a uthorities have chal­ lenged the Census B u reau study by criticizing the test. But as one of the critics sa i d , "What does it matter if there are 10 m i l l ion or 20 m i l l ion? We're not even taking care of a sma l l fraction of them. There are 202 � 10 Education Exam i n i ng the School System 203 3. Students will be competent in English, history, geography, foreign languages, and tit Following the Fads. 4. U.S. students will lead the world in math and science. restructured their curricula to be relevant. Students in the 1960s were interested in the 5. All adults will be literate. social issues of their times. As the 1970s progressed, students became less interested in In the late 1960s and throughout tbe 1970s, colleges and universities social issues and more interested in money and how to get it. As a result, institutions of 6. Every school will be free of violence and drugs. higher learning experienced a demand for courses related to business and the professions such as law, medicine, engineering, and banking. Since 1985, the majority of college The year 2000 came and went and the goals were not met, although spend1 schools increased and there were pockets of improvement. In 200 1, Congress passl students have been majoring in business or business-related subjects. No Child Left Behind Act, a sweeping reform that redefined the federal govern1 From 1950 to the early 2000s, college enrollments quintupled, which contributed to role in K- 12 education. It was based on four principles: stronger accountabiht the relaxing of standards, the dropping of course requirements, and the introduction of creased local control, expanded parental options, and emphasis on proven t�. courses such as family food management and automobile ownership. In the early 2000s, methods. The most expensive and controversial aspect of this program was its e111 1 slightly less than half of the students who entered college as first-year students failed to get on standardized testing. One side saw high-stakes tests as defining accountabil lt degrees. other as stifling broader learning and forcing teachers to teach to a test, not to tt\ll understanding. The debate about this program is ongoing, with no definitive r Almost as soon as colleges began to allow flexible requirements and courses of study, and instituted courses and even whole departments in response to trendy demands, they started thinking about making the curriculum more rigorous. By the late 1970s, some col­ about its effectiveness. leges and universities were experiencing the equivalent of the back-to-basics movement in elementary and secondary school practice. This took the form of eliminating superficial Changes in the College Curriculum survey courses, returning to requirements of Greek and Latin, asking students to take more Until the middle of the nineteenth century, higher education consisted chiefly of k.t sidered part of a broad liberal education but that many students would not study unless the ancient languages, mathematics, philosophy, and theology. Some attention w.t given to modern foreign languages and the social sciences, but these held a place 1 i mportance. After the Civil War, however, the curriculum began to show the effects ol developments in science, technology, and other fields of knowledge. As enrollment creased and the interests of students became more and more diverse, scientific, tedu and vocational training were increasingly introduced at the college level. Subject courses of study multiplied until it became impossible for any student to take more t l very small portion of the total offerings. The Development of the Elective System . math, and trying to ensure that students had at least some knowledge of fields that are con­ they were required to. These tendencies were at once summed up and endorsed in 1984 when the National Endowment for the Humanities ( N E H ) made its report Excellence in Education. This report argued that colleges had not made good on "promises to make you better off culturally and morally," and that "colleges have been ripping off students." It attributed this to poor man­ agement and ill-conceived curricula, and suggested that the money invested in a college ed­ ucation would serve a more useful purpose if the parents would instead give that sum to a child to buy a small business. To meet this problem, the elective systen adopted. This permitted students, with some restrictions, to determine their own cou1 study. But the results were not always satisfactory, for often students chose a hodgepod unrelated subjects, and at the same time they frequently missed entirely any acquaint That report reinforced the existing tendency to make curricula more rigorous. Some colleges have thrown out their entire catalogs and redesigned their curricula from scratch; others have reshaped curricula to deal with both content and structure. For instance, responding to the report's complaint that colleges fail to give students "an adequate education in the culture and civilization of which they are members," some with some of the basic fields of human knowledge. schools have set up curricula in terms of fields of knowledge, which they variously desig­ to require students to major in one field of knowledge by taking a substantial pro port 11 tions for perspectives might include "science, society, and human values." Because employ­ The shortcomings of the elective system led to two developments. First, colleges I their work in this field. At the same time, they began to require students to spread so1 their courses in such a way that they became acquainted with at least several of thl· ' fields of knowledge. The expression liberal education came to be associated especial!) the attempt to give students breadth of understanding. nate as "perspectives," "ways of looking at the world," or "modes of inquiry"; the specifica­ ers want employees who can write and think, colleges are placing more emphasis on composition and math. It has now become acceptable to assert that faculty, not students, know more when it comes to deciding on course content. This attempt led to the rapid spread in the 1930s of survey courses covering h fields of knowledge such as physical science, biological science, social science, and th( manities. Sometimes all students were required in their freshman and sophomore Yl' take a core curriculum consisting of several of these survey courses. After World \'\ courses of this type continued to spread; this book originally was written for such a su or basic course in the social sciences. To this period belong terms such as general education, college programs intende broaden students' intellectual horizons. Sometimes the term is used merely as a subst for the older term liberal education. Both expressions refer to a type of training designl go much beyond narrowly practical or vocational objectives. But although liberal edm emphasizes the desirability of learning something about a variety of subjects, general cation puts more stress on the importance of not missing completely any of the major t of human knowledge. dal Science: No Fad tal sc ience has been around a long t i m e ; i t is no 11d course. It is one of the courses that provides stu­ nts with an education in their c u lture and c i v i l iza­ on . Various i ncarnations of t h i s particular book have bee n a staple of soc ial science courses si nce the 930s when n i ne C h i cago professors put their notes together and created a selection of readi ngs for their students. It has si nce been revised many t i mes to keep it c urrent. It has been " H unt and Colander" si nce the early 1 980s. As the soc i a l sciences have split i nto their various components, it's been harder and harder to find pro­ fessors with tra i n i ng and i n c l i nation to teach the course, but because it provides a necessary and broad overview of soci a l science t h i n k i ng, it is precisely the type of course that reformers are advocati ng. 204 � 10 Exa m i n i ng the School System Education 205 Is the U.S. Educational System Equal? the time that can be spent in acquiring a formal education. Where this limit is depends on Although the U.S. educational system provides greater opportunities for the mas�l any other country, it still perpetuates inequalities that are difficult to justify. The mo�t ing of these is found in comparing the situation of blacks with whites, as we alrc.HI !' tion available to the person, and on the costs that must be met by the student, the parents, and the community. cussed in earlier chapters. almost everyone. Also, there is general agreement in this country that a high school educa­ Figure 1 0.4, which shows the percentage of black adults compared to the total n u t of adults who have completed four years of high school, demonstrates some of thl· we have made since 1950, but also shows our need to make further gains. As discussed, a second inequality in education is based on wealth and income. B most localities finance their education with property taxes, variations of taxable w� th different regions and localities cause significant variations in educational opportuntl many poor areas, residents find it impossible to provide adequate school facilities fo children. ln the 1970s, a Supreme Court case determined that the use of the local p n tax to support education perpetuated inequality, and states were directed to explorl native ways of financing. Thus, over the past decades, we have seen some states shift local property taxation as their only school financing tax to statewide property tax·.l l t• state income or sales taxes as additional sources of funding for schools. We can expn the temperament, abilities, interests, and purposes of the individual, on the kinds of educa­ Today, few people would question that a grade school education is worth the cost for tion is desirable and worth the cost for the majority of young people, though perhaps for many of them we are not providing the most helpful kind of curriculum. The situation with respect to higher education is somewhat different, and we may well question whether it is desirable for the great majority of young people to complete four years of college. Many people believe we should set admission standards that would limit enrollments in four-year colleges and universities. But there seems to be increasing support for the point of view that eventually most young people should have at least the equivalent of a two-year commu­ nity/junior college degree. As you can see in Figure 10.5, the percentage of our population receiving a high school and college education has increased substantially since 1960. With junior colleges and community colleges becoming more adaptive to current needs, high school graduates today can more easily find the kind of further education that suits their abilities and needs. For those who have no liking for it, the indefinite extension of ther change over the coming decade. Even if all localities received equal support for education, inequality would still formal academic education holds no magic. But it is increasingly difficult for adolescents There is a close correlation between the amount of schooling received by children more vocational schools and more vocational courses in community colleges. However, this .11 without training to find jobs. This largely explains the increasing emphasis on providing income status of their families. The higher the family income, the greater the likelihoo� may also reflect both the recent conservative trend that has swept the country and a return a child will finish high school or go to college. to concern with developing skills that make the U.S. competitive in the world economy. How Much Education Should the Average Citizen Receive? cases may have little ability to benefit from a high level of vocational training? There is still How far should the formal education of the average citizen be carried? Grade school school? junior college? This basic question must be answered as our school system ch and develops, but there is no simple response. For every person, there is certainly a I t t pay if willing workers could be found at reasonable wages. One difficulty is that we have But what of individuals who are not interested in further schooling and who in some a great deal of relatively unskilled work that needs to be done and for which people would been downgrading the dignity of commonplace work, of jobs that are useful but provide only small or moderate pay and offer no glamorous future. In doing this, we have robbed many young people with limited ability of the chance to learn how to work and, by gaining confidence and experience, to find a useful and independent place in life. • Total D Black 195o IB•••• 1970 �---·--· 100 1990 ·------·- c � "' 2000 �-------IIIIIJIII2005 pm: "'f :; I 0 ·- 20 40 (I) ::i 0 "' 80 1;; a.. 100 Figure 10.4 Percentage of adults who have completed four years of high school or more, 1 950 to 2007. ( Source: U.S. Bureau Statistical Abstract of the U11ited States. ) of the Census, 50 en � c "' 1 60 I • High school graduate D College four years or more CL Cl CL 2006 �----------.. 2007 rm 75 r 25 0 1960 1970 1980 1990 2000 Figure 10. 5 Educa tional attainment (persons age twen ty-five years and over). ( Source: U.S. Bureau of the Census.) 2008 206 � 10 For Further Study Education 9nteraction of Economics, Politics, and Social Institutions me Important Terms m i c freedom ( 188) Most subjects in social science can be isolated for purposes of study, but in reality th not isolated. So it is with the educational system. Our educational system includes 207 I u1 credentializing ( 187) tn school ( 197) 1rative learning values and thereby plays an important role in shaping other social, economic, and pn \\ Ironment ( 198 ) institutions, but simultaneously it is shaped by them. The state of education in the 2! Head Start ( 193) dual thrust of U.S. education multiculturalism movement ( 198) ( 188) normed (200) education ( 187) nity college ( 194) a case in point. All agree that school systems could and should do a better job. The qul general education (202) dual school system ( 19 1) unitary school system ( 192) is, how? Some argue that the answer is to spend more-for instance, to improve ll'. pay and to provide schools with the latest technological equipment. Others argue t h ideal answer i s t o become more efficient-for teachers to work harder, for students to u estions for Review and Discussion harder, and for administrators to decide that schools do not need so much adminis11 and to eliminate their own jobs. But don't hold your breath waiting. Individuals in l ' plain the difference between education and tiona! institutions are likely to opt for the easy path. Students aren't going to be moll >l ialization. to study harder unless provided with incentives to do so. It's the same with teacher' there is almost no way administrators are going to eliminate their own jobs. The response of many parents to the problems in public education is to move thur school curricula over the past hundred years. I low does free public education contribute to the 8. What differences in educational opportunities exist? kvclopment of U . S. democracy? 9. How I l"cuss the development of U . S. education since dren to private schools, thus circumventing the culturally integrating role of the public ' \\'hat factors have contributed to increasing en­ widen. Those differences, in turn, lead to even less money being spent on public schools ollments at the primary and secondary levels? To o.ffset the reduced flow of federal money into the system, some people ha\ f low does the structure of the educational vanced ideas such as tuition tax credits to parents of children attending private schoc "'tem in the United States differ from that of federal income tax credits for certain education situations. But to the degree that tax u I urope? for private schools work, they further reduce the nation's pool of common experienu· I l"cuss the history of community colleges. there is disagreement as to whether targeted income tax credits would reach their targl can multiculturalism and collaborative learning improve the effectiveness of schools? 10. Discuss some types of schools that are alternatives olonial times. system. Different groups become more inwardly self-sufficient, and political diver 7. Discuss the changes that have taken place in to public schools. 1 1. What c;;onclusions can be drawn concerning the progress made in U.S. education over the past hundred years? Vv'hat still remains to be done? 12. Give an example of a political issue influencing an educational issue. would turn out to be economically insignificant. Another area in which the interaction of economics, politics, and social institution be illustrated is that of setting teacher standards. The concepts of setting standards, ccrt1l competence, and mandating the teaching of certain basic subjects are admirable, but all ernet Questions .1 able to abuse. Teachers are divided in their view on certification. Teachers who have I www. ericdigests.org/ 1995- 1/ 4. Go to www.notonthetest.com and watch the video multicultural.htm, what are the three basic types or just listen to the song. What current education ·\lcording teaching for years feel it is unfair for their competency suddenly to be questioned and ll New teachers feel that their own recent educations qualify them in the latest methods a111 to of multicultural education programs and what is t he focus of each? lieve that if the older teachers had nothing to fear, they would not protest competenC} 1 Both groups can unite in their scorn of agencies that set educational standards when tht• t .o to www.amshq.org. What is the Montessori of the agencies have no professional educational training. Yet taxpayers do not want lo • pproach to education? certification in the hands of the very people who are to be certified. I he The point of these discussions is twofold: ( 1) There are no easy answers to d i l l questions, and (2) what we d o in one area of society i s likely t o have significant efft•d other areas. Only by considering all those effects and recognizing the pitfalls in implcn• National Center policy is being criticized? Name three criticisms of this policy. 5. Go to www.edreform.com. According to the Center for Educational Reform, what are charter for Policy Analysis, schools? www.ncpa.org/pub/ba602 finds Hispanic dropout r .lles extraordinarily high; what is blamed? ing the easy solutions can we hope to develop wise social policy. r Further Study /(ey Points • •111, efficiently, inexpensively, and in a mannc1 The U.S. educational system has a dual thrust: It appropriately socializes the students. attempts to develop students' individuality and to socialize students. • • system with significant freedom and varied COl i history. • The main problem facing our educational system is how to provide excellent, equal education r • An important reason why our educational is not equal is the methods used to fund it. sv Keogh, Barbara Understanding \mils of Today's Students, New York: Simon & Schuster, Brookes, 2003. ..r, james G., Vouchers within Reason: A Child-Centered lpproach to Education Reform, Ithaca, NY: Cornell U n i versity Press, 2002. "on, K., Temperament Individual in the Differences, Classroom: Baltimore: No Child Left Behind, Public Law 1 07-1 1 0, Washington, DC: 1 987. The college curriculum has evolved from a system that taught specific subjects to an ck U.S. educational institutions are a product of their Allan D., The Closing of the American Mind: How I ilgher Education Has Failed Democracy and Impoverished Cynthia, Caffeine Will Not Help You Pass that Test, '-Jew York: Simon & Schuster, 2005. U.S. Department of Education, 2001 . School for Tomorrow: Think Scenarios, Re-Think Education, Centre for Educational and Resort and Innovation, Paris: Organization for Economic Cooperation and Development, 2006. � 10 208 Education Stern, Sol, Breaking Free: Public School Lessons and the Imperative of School Choice, New York: Encounter Books, 2005. Wagner, Tony, Making the Grade: Reinventing America's Schools, New York: Routledge/Falmer, 2002. Wolff, Edward N., Does Education Really Help? Skill, Work, and Inequality, New York: Oxford University Press, 2006. WWW American Association of Community Colleges www .aacc.nche.edu WWW Educational Resources Information Center w .ed.gov WWW Home Education Research Institute www.nh WWW Institute for Higher Education Policy www.1l WWW National Center for Education Statistics ww .ed.gov WWW United States Department of Education www WWW United States Distance Learning Associatio1 ocial and Economic tification �1 .usdla.org ,adinfl this chapter, you should be able to: the role of social mobility in making some social stratifica­ cceptable to society three sources of income inequality what the poverty threshold is in the United States six issues that any practical program for meeting the prob­ of economic inequality must take into account ... all the animals are equal here, but some are more equal than others. -George Orwell ·n what is meant by the U.S. class system and how it relates to The people of every society can be divided into groups-sometimes along clear-cut lines, sometimes only roughly. Stratification is the grouping of people according to differences in income, occupation, power, privilege, manner of living, region where they live, age, gender, or race; you can probably think of other categories. Stratification, in the sense of differenti­ ation, is not necessarily bad. People differ and that difference adds diversity to life. But when there is a hierarchy-when one group considers itself better, or maintains privileged access to society's resources-questions of social equity are raised. Many systems of social and economic stratification do create a hierarchy of superior, intermediate, and inferior groups; that hierarchical stratification is our primary concern in this chapter. Social stratification appears to be unavoidable. Some activities and some kinds of work are more important to a society than others. Some can be carried on only by people of out­ standing ability with special training or experience. Political offices must be filled, eco­ nomic activities must be organized, medical services must be provided, and military forces must be commanded. Those who play important roles in such activities acquire power and prestige. Usually they also acquire larger than average incomes and various special privi­ leges. In addition, because these individuals tend to associate principally with one another, they develop common attitudes and modes of living. Sometimes they entrench themselves in their positions by means of legal and religious sanctions, but even without these safe­ guards, they can often pass their superior status along to their children. When firmly established, social stratification contributes to social stability. lt means general acceptance of the fact that certain groups perform certain functions, as do their children after them. Competitiveness is reduced because people know their place in society and the paths they are expected to follow. When social stratification is less rigid and there are more opportunities for an individual to change status, dissatisfaction and conflict may 209 210 chaptvv 11 Types of Social Stratification Social and Economi c Stratification be more evident, even though the situation is objectively fairer in the sense that tl more social mobility. Thus a lessening of stratification often is accompanied by sou rest because that reduction focuses attention on the unfairness of the system. 7Ypes of Social Stratification There are three principal types of social stratification: estates, castes, and social cia" are chiefly interested in the last type because social classes represent the major f(, stratification found in modern industrial societies. However, some knowledge of est.t caste systems will contribute to our understanding of the nature of social classes. Estates When used in a discussion of stratification, the term estate refers not to land but to such as the nobility, the clergy, merchants, artisans, and peasants. The estate stratifa system developed in Europe under feudalism. The estate to which a person belonged,, place in the social hierarchy were determined chiefly by custom, occupation, right obligations with respect to land, and other legal sanctions. In an estate system, the position of an individual in society is nearly always t ited from parents; the lines between groups are clearly drawn, and almost en-· knows just where he or she belongs. They may even be required to dress in a parlt way to indicate their station in relation to others. The opportunity for mobility is but it is entirely possible within the framework of law and custom. In feudal times ble could free a serf from bondage to the land in return for a special service, or .t could bestow a title of nobility (the Queen of England still bestows titles today). Mtl service and the priesthood are also possible avenues of upward mobility in an l system. The medieval estate system, with its relatively rigid social categories, was better 1 to a static than to a dynamic society. It gradually disintegrated under the impact of ch such as the decline of feudalism, the Industrial Revolution, and the rise of democratic 11 ogy, with its strong emphasis on freedom and equality. · Castes Caste is a rigid class distinction based on birth, wealth, or some other distinguishing l acteristic. Within a discussion of stratification, the caste system is usually associated India, where until recently it had prevailed for about 3,000 years. In the 1980s, the leg,tl derpinnings of the caste system were removed in India, but the cultural legacy remain caste still plays an important role in Indian life. Under the caste system, an individu.t quires a social position at birth. The great vitality of the caste system seems to arise fron fact that, besides being firmly established by custom, it is an integral part of the Hindu gion. It is based on the doctrines of karma and transmigration. Karma is the belil'f every person should fulfill in this life the duties associated with membership in a castl· doctrine of transmigration holds that if a person fulfills duties sufficiently well in tht that person will in a future life be reborn or reincarnated into a higher caste. A caste�) is even more rigid than an estate system because in theory there is no way of movin!! higher status except through death and reincarnation. In practice, a very limited amoltl upward shifting occurs. Recently, the Indian government attempted to increase the up\ shifting by creating a quota system, which holds places open in universities for membl the lower castes. This move has been controversial as the higher-level castes argue that a quota system is unfair to them. 211 Social stratification systems having some of the character­ istics of the one in India have been found in other societies. In the United States, blacks, especially in the South, have been called a caste by some writers. To support this designation, they point out that blacks belong by birth to a socially underprivi­ leged group and that, at least in the past, it was very difficult for them to enter groups predominantly occupied by whites. Until 2000, it was technically illegal in some states for blacks and whites to intermarry. Alabama, in 2000, was the last state to repeal its law. (The law had not been enforced since the 1960s.) Despite these similarities, most observers believe the posi­ tion of U.S. blacks differed considerably from that of the mem­ bers of a low Hindu caste. In the first place, even before recent reforms, blacks were subject to no rigid occupational limita­ tions, and some achieved high positions in government, busi­ ness, and the professions. Even more important, their inferior social position was not based on religious sanctions; rather, it was and is contrary to most Americans' religious teachings and democratic ideals of freedom and equal opportunity for all human beings. A closer analogy to the caste system than the U.S. situation is the apartheid system-a separation of the races-in South Africa, where until recently blacks could not hold the same jobs or live in the same places as whites, and their interrelations with whites were severely limited. Apartheid was condemned by most other countries; in the early 1960s, it was overthrown alto­ gether in the southern African country of Zimbabwe, and in the 1990s it was abolished in South Africa. Social (lasses Although most modern industrial societies do not have formal stratification systems, they do have a type of social stratification called a social class system. Unlike estates and castes, these social classes are not supported by any legal or religious sanctions, and they are not clear-cut, definitely delimited, groups into which every person in the community can be placed. The fact that social classes are not perfectly clear-cut entities is proven by the inability of social scientists to come to any general agreement on just how many of them should be recognized as existing. In a democratic industrial society, social status is a continuum, with individuals and families scattered along it from top to bottom. If we divide people on this social scale into two, three, or more social classes, we must do so arbitrarily. Social scientists also have difficulty deciding just what criteria should be used in determining social status. Some would place an individual (or family) in a THIS NOTICE IS DISPLAYED IN ACCORDANCE WIT H T H E given class entirely on the basis of economic considera­ PRO�ISIONS OF THE SHOP HOURS ORDINANCE. 1959. tions. Those who take this point of view usually put their chief emphasis on income. Others, probably the majority, would determine the status of an individual HIERDIE KENNISGEWING IS VERTO ON OOREEN KOMSTIG by general social standing-that is, by whether the com­ DIE BE PALINGS VltN DIE ORDciNANSIE OP WINKELURE munity, on the basis of various criteria, places the indi­ vidual high or low on the social scale. Income would be only one factor. Some of the common stratification rmbol of apartheid in South Africa. ON·WHITE SHOP1 NIE·BLANKE WINKEl· 212 � 11 Social and Economic Stratification Education Types of Social Strati fi cation Occupation + '-{ nomv vvuuo Income ) Socioeconomic St + Work• Unde Clas� Figure 11.1 Socioeconomic hierarchies. hierarchies are shown in Figure ll.l. The combination of hierarchies-education, occ tion, and income-forms an individual's socioeconomic status.' Notice that the hierarchies shown in Figure 1 1. 1 are drawn as pentagons with '' I point at the top and a somewhat wider base. This shape represents a change from th earlier editions of the book have presented this material. Back in the 1930s when thi' I was first published, the shape was a pyramid-narrow at the top and wide at the bot This ret1ected the way social scientists had talked about income inequality for humin· years because the social stratification of European societies of the seventeenth and teenth centuries, with most people at the bottom and very few at the top, could ben,, ably well represented by a pyramid. In the 1950s and 1960s, that began to change; the lower classes decreased in relative �I more people moved into the middle class. The pyramid no longer was appropriate to n'l sent the situation. To capture that change, we shifted to a diamond shape, suggesting th,1t majority of people fell in the middle class, with smaller upper and lower classes. We m<td change to the diamond shape in the expectation that the lower class would continue to 'h as the members moved up the social ladder. Those expectations were wrong; the lower d have stopped shrinking as upward social mobility has slowed and as immigration h,1 creased. Hence, the need to expand the bottom of the hierarchies led to the pentagon sh.t Social Class Defined. A social class consists of those people in a community whc somewhat similar in their economic status, their attitudes and beliefs, their educattc attainments, their ways of living, the regard in which others hold them, and their p<)\' lack of power to influence community affairs. According to this definition, social class 1 some degree, a subculture. People whose social statuses are similar are not only likely 11 in the same neighborhoods, associate largely with one another, and marry one anotht·r they are also likely to show similarities of speech, manners, and moral standards as comp with people who are higher or lower on the social scale. 1There are many ways to classify the population. One imaginative survey undertook to see if ")o what you eat" is a defensible statement. The survey, covering some 13,000 households, identified fiR (I) meat and potatoes households (30 percent); (2) child-oriented households: hot dogs, peanut butt� soft drinks (25 percent); (3) seriously concerned over diet ( 15 percent); (4) natural-food enthusiasts (I cent); and (5) sophisticates: quiche, raspberry tofu, and instant gourmet dinner ( 15 percent). 213 Because social classes, like other types of stratification, rep­ resent superiority/inferiority relationships, some writers have compared the class structure of society to a layer cake. At the top of the cake is a thin layer consisting of a small group of people who have the highest economic and social status. At the bottom of the cake is another thin layer representing those whose economic and social status is very low and whom the community regards as of little account. Between these two ex­ tremes, at various levels, lie thicker layers, which represent the great majority of the population. The chief objection to this analogy is that the divisions between social classes are not as definite as those between the layers of a cake. Social classes are not organized groups like families or com­ munities. Rather, they are useful concepts. They are also social re­ alities, but only in the sense that the people of any complex society can be divided roughly into a few large groups in such a way that those in each group have about the same general social standing and other similarities. Because the lines of division among classes are both vague and arbitrary, many individuals are difficult to place. The more class layers, the greater the difficulty of distin­ guishing between them . and determining just where individuals fit. In order to classify individuals into socioeconomic classes, it tmcture in the United States. Shoe shines is generally necessary to average a variety of characteristics. This is most invariably given by minorities. Some thnt this is because society fails to offer normally done by a weighting system; points are allocated for var­ ious characteristics, these points are added up, and individuals within certain ranges of points are assigned to certain categories. For example, people with advanced education may get many points, but high income also confers many points, so somebody with high income and low education and somebody with low income and advanced education may fall into the same socioeconomic group after the weighting process. Using the weighting system allows us to organize people into upper class, upper middle class, middle class, lower middle class, and lower class. Some of the characteris­ tics looked at are occupation, sources of income, type of housing, and the area within which the subject lives. Figure 11.2 presents typical class divisions and characteristics. Most people do have some idea of the social class to which they belong, though they may not give it the same name that a sociologist would. For example, a family may think of themselves as ordinary people; a sociologist might classify them as belonging to the lower middle class. Members of a social class recognize that they have more in common with others at a similar social level than they do with those above or below them. Also, as we have noted, they are likely to live in those areas and do those kinds of work that bring them into especially close association with people like themselves. The Family Basis of Social Class. The primary unit of stratification is the family, for except in rare cases all members of a family are regarded as belonging to the same stratum, or layer. The same social status is shared by all members of the immediate family group. As a rule, the most important factors in determining social class are the occupation and the wealth and income of the breadwinners in the family. Such occupations as law and medicine, high government positions, and the manage­ ment of large business enterprises yield considerable prestige because they require more than average ability and training; other occupations, such as keeping small stores or working at skilled trades, are regarded as respectable; but some occupations, especially those that require unskilled manual labor, are looked down on by many members of the community. In general, the regard in which an occupation is held is closely correlated with the income it yields, although there are exceptions to this rule. A federal judge, for example, may have more prestige but less income than the owner of a catering service. 214 � 11 - Social and Economic Stratification Class levels Approximate percentage of population .... � 5 I. Upper class 20 35 Ill. Middle class IV. Lower middle class � 6 V. Lower class Approximate annual income (some overlap between classes) Residential neighborhood Newspar" reading Independently wealthy Seventeen or more Over 400,000 Some Lawyers Professionals Doctors Very elite neighbor· years of extremely high Much Inherited wealth hood Expensive Wall Sf, ·n Journ, New Yo • Time. school, elite college, and beyond middle class � ' likely education Accountants II. Upper Around businesspeople Teachers Lawyers sixteen Professors Managers of small firms college 15 Figure 11.2 years High-ranked High school and lower· ranked college Skilled labor Industrial workers Unskilled labor Unemployed � communities Between 125,000 and 500,000 Most earned Income by salary Good neigh· borhoods Moderately expensive homes Wai/St 1tl Jour• 1 New Yak Time� � Administrative Clerical Chain store Technicians Salespeople 25 houses Gated � Small managers : ; likely occupation . � �;;.:.... �..,..,. . .' __ � Between 30,000 and 125,000 Salary Private homes, medium Some tract homes Ten to twelve years GED 20,000 to 40,000 Apartments Small tract homes Eight to Under 20,000 Poverty and welfare twelve years - sized Some wages Hourly wages Local p; .111 Nation< EnQUif· Trailers � Blighted areas Poor None apartments --· --",_ Social classes: Sociologists do not completely agree about how many classes there are in the Unitn States because classes overlap considerably and there are not sharp breaks between them. It is generally possible, however, to identify five or six basic social classes. (Source: Authors' modificatr of U.S. Bureau of the Census, "Money Income and Poverty Status of Families and Persons in the United States.") Membership in social classes tends to be transmitted in the same family line from eration to generation because children are likely to acquire much the same attitude modes of living as their parents, to receive similar educational advantages, to enter ��� occupations, and to inherit whatever wealth their parents may possess. S,ocial Mobility Any class system is somewhat inconsistent with the democratic ideal of equal opportun for life, liberty, and the pursuit of happiness. Certainly, lower-class children do not han same opportunities as those in the upper classes. In the United States, we try to avoid th111 in terms of"low class" and "high class," but there is no escaping the fact that some peopl economically and socially better off than some other people. What made this situation <lCl able to most Americans was that the United States had an open class system-a sysll'l Social Mobility 215 which class lines are not definite, and for many people the possibilities of moving up are excel­ lent. The important element was not the size of the various groups or the disparity, but the ability of individuals to move among the groups. The degree of social mobility-the compar­ ative ease with which a person in a society can improve (or worsen) his or her social and eco­ nomic status-was considered quite large in the United States, so people at the bottom could imagine their kids moving to the top. Until recently, most observers viewed the United States as having significant social mobility. This view of a socially mobile U.S. society was captured by a nineteenth-century U.S. novelist who gave his name, Horatio Alger, to stories of ordinary Americans who have improved their social and economic status through commitment, dedi­ cation, hard work, education, thrift, moral rectitude, and, very often, help from family, friends, teachers, employers, and scholarships and government programs.2 Downward mobil­ ity is also a possibility, and although there is not much proof, many believe that the spoiled children of the idle rich will eventually land in the gutter. Fifty years ago, social scientists found that Alger was generally correct. In a 1960s study, Gerhard Lenski found that 33 percent of all males in the period from 1945 to 1965 were up­ wardly mobile. Downward mobility at that time was clearly present but its incidence was not well documented. However, in the 1970s, the U.S. expectation of upward mobility be­ gan to erode. A study by Featherman and Hauser in 1978 found that one-fourth of all per­ sons age twenty-one to fifty-three had slid to an occupational level below their first jobs. A study by Greg J. Duncan and colleagues compared mobility between the 1968-1979 and 1980- 1987 periods and found that the incidenc,e of upward mobility for those in the lower class declined while upward mobility for those at the upper income levels rose, leading to a shrinking middle class. In the early 2000s, social scientist Brent Bratsberg and his colleagues found further ero­ sion, and discovered that Europe had more social mobility than did the United States. Specifically, they ranked countries on a scale of 0 to 1, with 0 meaning perfect mobility (a child's income bears no relation to parental income) and 1 meaning no mobility (a child's in­ come is identical to parental income). They found that for sons Sweden scored a .2; Britain scored a .36 and the United States scored a .54, suggesting that the United States had only about half as much social mobility as did Sweden and Britain. The situation was worse at the bottom; children born to families in the bottom fifth of the U.S. income distribution were the least likely to move up. Further, this situation was exacerbated by the large increase in income and wealth inequality in the United States, where the rich have been getting much richer and the poor have been essentially treading water. Their incomes have hardly increased, or have even fallen. These changes in social mobility have the potential to undermine the political and social stability of the United States because much of that stability is based on a belief that a!� though there are large inequalities in the United States, such inequalities are acceptable since they reflect effort on the part of the rich. With hard work, people with low incomes can move up. In 2010, these findings had not become a political issue in the United States, but many so­ cial scientists expect that they will become one in the next decade. Who Are the Upwardly Mobile? While overall upward mobility has decreased, it is still possible to move up if a person has cer­ tain traits. Studies of people who have achieved upward mobility have identified certain related traits: race, gender, being an only (or first) child, and a belief in deferred gratification, which is when a person is willing to trade off an immediate pleasure for a future goal. The first and second of these are so important that we treat them in a separate chapter under the subject of 2Horatio Alger was born in 1834. He wrote hundreds of stories with titles such as Ragged Dick or Luck and Pluck in which his young heroes went "from rags to riches." Alger worked hard, saved up a fortune, and gave his money away. He died poor in 1899. 216 � 11 Social Mobility Social and Economic Stratification Up, Down, and Out discrimination. The third is probably rcl.11 income (it has been found that rich people <Ill likely to have only one child) and is not w11l If you pay $25,000, can you get your name in the individual's control. The last trait, however, Social Register? If you drop your subscription, can you and is probably the most important. How 111 get your name out of the Social Register? Should you belief in deferred gratification can be fostert•d let peopl e know you are in the Social Register? Do you batable. Your beliefs are, in large part, trarN use the Social Register for a phone book? Do you know from your parents through continually sup1 anyone who knows what the Social Register is? feedback, and by the time you reach collq To some people, these are important questions. The these beliefs are probably set. book comes out annually and tries to l imit the number Thus, for most of you, whether you an of names to around 33,000. Some people get into it upwardly mobile may have already been ' without trying; some peopl e have al ways been there mined and is partially built into your persw and can't get out; some people are in it by virtue of Of course, luck (such as being in the right pi their office (U.S. presidents, for instance). Marrying up the right time for a job) plays an importan won't get you in and might get your spouse deleted. and many people who have the traits asso If you get in and want to be sure to stay in, don't get with being upwardly mobile may find the111 divorced, start an acting career, or go to jail. disappointed. For example, if you had a Cll night before you took the college boards, ym ' have done poorly on them, which rna� played a role in whether you won a scholarship. Bad luck is not pleasant, but it is a I life and should not be considered unusual. No one ever said life is fair. Discussions of mobility often overlook one simple fact: Room at the top is alwa} ited. When we talk about social mobility, we are apt to think of opportunities to mo' ward on the social scale, but we must remember that as some people, or their chd move up, others, or their children, are likely to move down. Assuming no increaSl' 1 proportionate size of the upper class, a high degree of mobility means only that it is easy for some citizens who have ambition, energy, and intelligence to move up the ladder and displace those who are less ambitious or less capable. What are the conditions that contribute to social mobility? Probably most import.a all is social change. In a changing society, the old order is always being disturbed, and ways of achieving wealth or position keep appearing. For the past 200 years, industn tion, with its ever newer methods of production and types of business organization provided opportunities to climb the economic and social ladder. What's changing now for people is globalization. From a global perspective, U.S.\ ers, even poor ones, are on the high end of the income distribution ladder. People w,11 immigrate to the United States even if it means accepting a "low-wage" job becaus� low-wage U.S. job is a "high-wage" job for them. With U.S. companies increasingly WI to (or forced to because of global competition) shift production to low-wage cou1 throughout the world, and with low-wage countries increasingly developing their companies that compete with U.S. companies, the avenues for U.S. citizens at the botto the income/social scale to move up are decreasing. Thus we can expect that social mol will be of increasing concern over the coming years. Education and Social Mobility One of the best ways to advance from one class to another is through education Table 11.1). Education allows individuals access to job possibilities that otherwise"'' not be open to them, and in doing so it raises their income. One method that doesn't lead to class advancement is to increase income without .11 tion to other issues. Social scientist Susan Mayer developed a statistical model that pn:d1 what would happen to a child's prospects for success in life if the annual income ol child's family were doubled. She found that if the increased income were the only fath the life of a child in that family, the child's chances of becoming a successful adult w• 217 Table 11.1 Starting Salary Offers to New College Graduates in 2009, by Selected Fields of Study BUSINESS Accounting $48,377 Finance $49,754 Marketing $43,628 HUMANITIES, SOCIAL SCIENCES English $32,733 History $37,606 Psychology $34,942 ENGINEERING Chemical $65,403 Computer $61,017 Electrical $57,600 HI-TECH Computer science $57,693 Information systems $49,334 Source: NACE Salary Survey. hardly improve at all. Intelligence, determination, good health, and a willingness to cooper­ ate were far better predictors of advancement. (lass Consciousness in the United States Most Americans are not highly class conscious, that is, overly concerned about their status in society and the standing of other people in relation to them. Ambition usually takes the form of a desire for a more satisfying job, more income, or more personal prestige. Any re­ sulting change in social status usually is secondary or wholly incidental. Relatively few Americans have a strong desire to move into a higher social class except insofar as this may help them to achieve other objectives. Why are Americans so comparatively free of class consciousness? Partly, the reasons are historical. We never did have a hereditary nobility, and throughout our early history rapid growth and expansion resulted in considerable social mobility. It is more than a coincidence that, although a number of our presidents have come from wealthy or aristocratic families, some have had very humble origins. Throughout the 1980s, other factors tended to keep class consciousness at a low level. One was the general rise in standards of living. Even though people were not changing their position in the social scale, they felt they were making progress when their incomes rose and when they could improve their way of life. Another factor that has tended to reduce class consciousness and discontent is horizontal mobility, the opportunities that exist for moving from one job to another, and often to a better-liked job. Horizontal mobility is important because while U.S. citizens are not especially class conscious, they are group conscious and their desire to be in the "in group" is 218 � 11 Economic and Social Inequality Social and Economic Stratification strong. This desire begins early in life as cliques form in schools, and students are class! nerds, druggies, preppies, and jocks, for instance. Advertising takes advantage of ou1 consciousness, portraying goods as providing group cachet to the buyer. Celebrity c11 ments are common in advertising, under the assumption that if some movie or spor uses the product, if you also use it you will fit in with the group to which they belong. look at the shoes or clothes you are wearing. Did you buy them because they were the k pensive but still comfortable clothes you could find? Or did you buy them because thn you feel "in"? This horizontal mobility gives people the feeling of making progres though the change has little effect on income or social status. With globalization, the factors mitigating against class consciousness have been what reduced. Wages for lower-income individuals are not rising, and horizontal mol getting harder. To date, these changes have not led to an increase in class consciousm they may well do so in the future. (lass Consciousness, Marx, and Weber In his criticism of capitalist society, Karl Marx, the nineteenth-century father of cor nism and one of the founders of the field of sociology, divided the populations of imh societies into two classes-capitalists, or owners of the means ·of production, and proletariat, or workers, who were exploited by the capitalists. The proletariat's lahP used to further the capitalists' own profits, without consideration of the workers' r Marx felt that the increasing exploitation of workers would lead to an increasing clas sciousness among the proletariat. Marx believed that under capitalistic exploitation the condition of the worker� \' become worse and worse. Eventually they would rise up in revolt, seize the means ol duction, and establish a socialist state under the "dictatorship of the proletariat." All the standard of living of the working people in most industrial countries, quite contr.a Marx's prediction, tended to rise. Marx's division of the classes is not the only division. Max Weber, an outspoken m Marx's views, argued that property is not the sole basis of class. Instead class is determin the three p's-property, prestige, and power. Weber's more general concept of class is an by numerous sociologists, but their views of how to quantify prestige and power often substantially. We shall use Weber's concept. £conomic and Social Inequality Homeless women on the streets. We focus on an individual's money inco111 cause that is what we collect figures on. 'I inequality depends on much more. For l' pie, say you have a choice of poor healt h an income of $ 100,000 per year or good h and $25,000 per year. Which would choose? Probably the latter, for people\ income includes all aspects of their pm11 Because we cannot measure true income, r studies focus on monetary income and viduals' standard of living. Even if we focus on money incorm still have difficulty in determining I 219 much of a problem income inequality is. For example, how much poverty do we have in the United States today? That depends on how the word is defined. In terms of what poverty means in India or China, or even in terms of what it meant in this country or Europe a hundred years ago, we have very lit­ tle poverty. Almost no one here literally dies of starvation, but tens of thousands do in Africa. It is true that homeless persons sleep on the streets or in all kinds of makeshift shelters such as large packing cartons in the cities of the United States, but this is most often because of other kinds of social problems (a spirit of independence carried "' the United States. to psychotic extremes, for instance, or policies of releasing marginally competent peo­ ple from mental facilities). It is not because there are no programs or funds available to shelter this population. On the other hand, large numbers of peop.le depend on public assistance to live, and many who do not receive such payments have incomes so small that they must live in de­ pressing or unsafe surroundings, wear shabby clothes, and buy cheap food. They cannot afford to spend money for travel, entertainment, or education, and if they are out of work or if an emergency such as serious illness arises, their only recourse is public aid or charity. In 1996, Congress passed a welfare reform law designed to drastically reduce the num­ ber of people on long-term public assistance and to help them improve their economic status through measures such as education, job training, child care facilities, and medical assistance. Two results of this law have been to put millions of low-income people in jobs and to reduce public assistance rolls significantly. However, some of the people who have found jobs still do not make enough money to support themselves and their families; many people are somewhat worse off than they were under the previous system; and there is still a large population of low-income people. Although its effects are continuing to be monitored, most observers see public assistance reform as a success in reducing the num­ ber of people on welfare and in channeling them into more productive activities, especially if it is fine-tuned to eliminate some of its harshest effects, and is accompanied by labor market reforms that increase the upward potential for those who work. Causes of Income Inequality Differences in income arise directly from three sources: variations in earnings from personal services, differences in the amounts of property owned, and variations in transfer payments from government. Differences in the earnings of individuals are the most important. These dif­ ferences are based partly on occupation and partly on the personal qualities of those engaged in each occupation. The most basic of the fac­ tors that determine income variations between occupational groups is demand and supply. 220 � 11 Social and Economic Stratification Economic and Social Inequality In general, occupations that are not easy to enter because they require special aptll and long training are highly paid because the supply of workers is small relative to tl mand. On the other hand, occupations classified as common labor, which anyone c.u with relatively little ability or training, tend to be poorly paid. But within each occup 11 group, there are often great differences in individual earning power, especially at thl I professional and managerial levels. For example, in 2007, average hourly earnings of construction workers wer� $21.00, whereas the average hourly rate for retail trade workers was only about Although in recent years the average annual pay in New York was about $55,0 Mississippi, it was only about $31,000. The differences persist, in part, because of d ences in the cost of living. Farmers' average annual income (about $30,000 in the lat� is lower because it is cheaper to live in the country; the average pay in New York i� lit but so is the cost of a meal or an apartment. Tables 11.2a-11.2d show the distribution of income by percentage of families, gions of the country; by representative states; and by race, gender, and household st.1 you can see, income is distributed unequally in the general population and also ln where one lives, by race, by gender, and by occupation. Measuring Poverty In order to measure poverty in a country, we must define the term. It isn't easy to do the United States, the Social Security Administration and the Bureau of the Census .111 to do this by determining the poverty threshold, that is, the minimum amount of 111 needed to maintain a living standard above the poverty level. Obviously, the poverty thresh­ old will be lower for an individual than for a family, and it will differ for families of different size. It will also change with fluctuations in the cost of living. To be above the poverty level, an individual or family must have enough income to obtain food, clothing, and shelter that will maintain health, plus some margin for other necessary expenditures. Just what minimum income is essential at any given time and place cannot be determined with any great precision, and hence any specific poverty threshold is to some de­ gree arbitrary. However, after a careful and objective weighing of the facts, the determined cutoff can have enough meaning to be useful. Each year, the Bureau of the Census publishes poverty thresholds for single ("unrelated") individuals and for families of various sizes. The level at which the poverty level is set is important because that level determines which families receive government assistance. According to census estimates, the total number of Americans who lived in poverty in 2008 was about 39.1 million, or 13.1 percent. For a family of four (excluding Alaska and Hawaii), this represented an annual income of $21,050 in 2009. For a single person, it is about $11,000. As you can see in Figure 11.3, the percentage of people in poverty depends on race and ethnicity. Blacks and Hispanics are much more likely than whites to be poor. These measures of the number of Americans who live in poverty should be accepted with some reservations. Undoubtedly, many of those included had incomes that were only temporarily extremely low, or had savings with which to supplement current income, or owned homes and lived in communities where, they could get along reasonably well on a small income, or were young people getting help from parents. However, after all such al­ lowances are made, it is clear that a substantial amount of poverty exists in this country. Table 11.2b Table 11.2a Money Income of Families by Percentage in the United States, 2006 221 35 Median Family Income by Region, 2 Northeast 30 Under $15,000 8.4% Midwest 62 $15,000-$24,999 9.1% South 56 $25,000-$34,999 10.0% West 63 $35,000-$49,999 14.6% $50,000-$74,999 20.9% $75,000-$99,999 14.3% $100,000 and over 22.7% 25 Q) a> "' c Q) u 20 Q; Table 11.2d c.. Household Median Family Money Inc by Race, Gender, and Household Sta1u 15 2006 Table 11.2c Median Family Income in Four States, 2008 10 White Black 3!! Hawaii 67,214 Hispanic 40,1 New York 56,033 Single Male householder 41,! Oklahoma 42,822 Single Female householder 2!! West Virginia 37,989 Married couple 69 5 ��_L_L�L_��_L����_L_L��_L_L�L_��_L_L� 1976 1978 1980 1982 1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008 Figure 11.3 Percentage of poverty by race. (Data after Source: U.S. Bureau of the Census. American Community Survey. 1992 are not strictly comparable to earlier data.) (Source: Based on statistics from U.S. Bureau of the Census, Current Population Reports, and Statistical Abstract of the United States, 2009). 222 � 11 Soc ial and Econom i c Stratification Increas i ng Soc i al and Economi c I nequ al i ty 9nueasin!} Social and Economic Inequality It would seem that a country as rich as the United States should be able to cl n poverty, if what we mean by that is simply providing everyone with enough incor physical comfort and security.3 To do so, the United States has instituted a variety ' grams including public assistance, unemployment insurance, Medicare, Social Securrl Supplemental Security Income (SSI). In many ways, these programs have succecdt I they have also introduced new problems. Being poor in the United States is quite different from being poor in a devl country; it is consistent with having air conditioners and cable TV. That said, it shou be noted that most people view their positions in society relatively, not absolutely. A n tively, over the past twenty-five years inequality has been increasing substantially. t\ family income has risen by about 20 percent over those twenty-five years, but the 11 income of the top 1 percent has increased by 200 percent over that same period. Mor the median income of most families has risen over that period only because wom�·r entered the workforce in increasing numbers. The wage (adjusted for inflation ) worker makes has actually fallen. Table 11.3 gives you an idea of how U.S. income distribution has changed ovu In it you can see that the number of households earning over $ 1 00,000 has incr�:,r proportion, and the low-income groups have shrunk, but nowhere near as much high-income group's wealth has risen. In terms of wealth, the situation is even mor equal. The top 1 5 percent of the population controls 85 percent of the nation's '' The bottom 50 percent controls only 2 . 5 percent. In the early 2000s wealth becam� more unequal, but the recession that began in 2007 reversed that as the rich fount they lost wealth, while the poor didn't have any to lose. The reasons for these changes are both structural and policy related. Struct r global competition has hit low-income, nonspecialized workers hardest. They wca sented with a difficult choice: lower your wage or your job will be outsourced-trall\1 Table 11.3 Distribution of Money Income of Households in Constant Dollars, 1 971 - 2006 UN DER $1 5,000- $25,000- $35,000- $50,000- $75,000- $15,000 $24,999 $34,999 $49,999 $74,999 $99,999 18.0 1971 13.3 13.7 19.5 21.1 8.3 1976 16.8 14.0 13.3 17.7 21.7 9.6 198 1 17.0 13.8 13.0 16.8 20.7 10.2 1986 16.1 12.6 11.8 16.2 20.2 11.4 1991 15.8 12.8 12.1 15.8 19.6 11.2 1996 14.8 12.9 11.9 14.8 19.0 11.8 2001 13.7 11.7 11.5 14.7 18.3 12.1 2006 13.4 11.8 11.5 14.6 18.2 11.3 Source: U.S. Census Bureau. 3 1f we define poverty in relative terms, as many sociologists do, then to some degree the prohl always be with us. No matter how much incomes rise, if we assume the continuance of substantial incqt people with relatively low incomes will continue to be deprived of various things that the rest can enJu 223 to a low-wage worker outside the United States, or transferred to a low-wage recent immi­ grant willing to do the same work for much lower pay. High-wage workers with specialized skills are also now beginning to feel the pressure of global competitiveness, as new tech­ nologies have allowed more and more of their jobs to be outsourced. These structural forces pushing for inequality have been compounded by policy changes-the progressivity of the U.S. income tax has been significantly reduced, the inheritance tax has been reduced, and the capit-al gains tax-a tax on the increase in value of assets that falls mainly on the rich-has been reduced. Advocates for these policy changes claim that they kept the U.S. economy expanding, and that the focus of attention should not be on inequality, but on the overall health of the U.S. economy. Critics see the policy changes as giveaways to the rich-taking from the poor to give to the rich. With the election of Barack Obama as president in 2008, most observers believed that the progressivity of the U.S. tax structure was likely to increase in the coming years. Policies to Reduce Inequality The view that economic inequality should be reduced is widely shared. While there is noth­ ing inherently correct about this view, it is prominently held, which raises the question of how to do it. High progressive taxes are one W'!Y· but they tend to hurt entrepreneurial in­ centives. Moreover, they are hard to enforce and they tend to create numerous evasion and avoidance schemes that misdirect resources and cause economic inefficiency. As govern­ ment tries to prevent this evasion and avoidance, the taxes often become bureaucratic and legal nightmares. These serious problems with highly progressive taxes have led to the supply-side argument that in some cases lowering tax rates actually can raise tax revenues. That said, most economists believe it is technically possible to have an effective, more pro­ gressive tax system in the United States than we currently have, although the political process of implementing the system usually so distorts it from the ideal that the end result is often problematic. The bottom line: What can be achieved with a progressive tax system is limited. Another way for government to redistribute income involves government programs to help the poor, but these too tend to have serious negative incentive effects-for example, they usually have a cutoff so if you work or earn above a certain amount, you are no longer eligible. That cutoff discourages work-to stay eligible for the program, people don't work. It was such negative incentive effects that led to the welfare reforms in the 1 990s, which lim­ ited public assistance eligibility to a five-year window and placed a work requirement on those collecting public assistance benefits. Both these government approaches attempt to redistribute income after it has been dis­ tributed by the market. But because the government sets the laws that govern the economy, it can equalize income in other ways. Specifically, it can directly affect the way in which in­ come is distributed through legislation. For example, patents, copyrights, and intellectual property rights tend to create income inequality. Shortening the length for which these are given out would lead to less inequality, although it would also reduce the incentive to inno­ vate. All economists agree that an appropriate trade-off must be found between equity and incentives to innovate, but many economists believe that the current trade-off leans far too heavily toward those with intellectual property rights protected by government patents and copyrights. In developing countries, economist Hernando de Soto found that the lack of capitalizable property rights (property rights that can be used as collateral for loans) was a major reason why the poor stayed poor, and that a key element to reducing inequality would be for government to reduce the number of permits and restrictions on the poor's activities.. He also argued that governments should simultaneously formalize the titles to property of the poor. 224 � 11 For Further Study Social and Economic Stratification Some Conclusions about the U.S. Class System In spite of the statement in the Declaration of Independence that "all men arc ( equal," everyone knows that in many ways people are not equal. They are not bon equal potentialities for learning and achieving, nor are they born into equally favoral cia! environments. Nevertheless, equality before the law and equality of opportunr strongly cherished democratic ideals. Over the years, we have been striving in the l States to come closer to these ideals, and since the Declaration of Independence wa ten, we have made considerable progress toward them. Recent structural changes in tl economy have led some to be concerned about whether the country is providing equ. opportunity, and this issue may well become an important one in the next decade. /(ey Points • • • • Three types of social stratification are estates, castes, and social classes. The existence of social mobility allows people to move from one class to another and makes the so­ cial and economic stratification more acceptable to society. Three sources of income inequality are variations in earnings from personal services, differences in the amounts of property owned, and variations in transfer payments from government. The poverty threshold in the United States is that level of income needed to maintain a living standard • • above the poverty level. In 2009, the povert � was set at $20,050 for the average family of four Any practical program for meeting the prot of economic inequality must take into acl the poorest people, the ri eed for health car � tice, children's rights, and the need for savinf incentives. The U.S. economic class system is not strong! veloped, in part due to historical factors .1 1 part due to the market economy, the governr and the underlying U.S. ideology that sec.·' consciousness as a negative trait. S,ome Important Terms apartheid system (211) capitalists (218) caste (210) class conscious ( 217) estate (210) hierarchy (209) .111 you name any factors that, in your opinion, 1.1vc had the opposite effect? haracterize the U.S. class system from the stand­ oint of (a) the sharpness of class distinctions, (b) the degree of class consciousness, and (c) the amount of social mobility. 12. Is U.S. society becoming more stratified? Defend your point of view. l ''ing www.hindunet.org/varna, list the four so­ 4. Go to www.salary.com and use the Salary Wizard. In your area, what is the income range for the middle 50 percent of teacher's aides? What is the range for associate professors of economics? 5. Using the information found at www.census.gov/ did/www/saipe/, what is SAIPE? What statistics does the program produce for all individual counties of the United States? r.ll orders in India's caste system. In ancient India, were people born into their caste? l ooking at the U.S. Department of Health and I Iuman Services' poverty guidelines, http://aspe.hhs �ov/poverty/index.shtml, what is the most recent poverty threshold for a family of six? In Alaska? ( ;o to www.doi.gov/hrm/pmanager/st3f.html, the 1tc of the Department of the Interior, Upward �tobility Program. What is the purpose of this program? r Further Study 1,, Nick, Making Friends with Black People, New York: I )avina Press, 2006. 1rcich, Barbara, Nickel and D imed: On (Not) Getting By 111 America, New York: Holt, 2004. social class ( 212) social mobility (215) supply-side argument (223) stratification (209) transmigration (210) Questions for Review and Discussion l . Name the three principal types of social stratifica­ tion and briefly describe the nature of each. 2. How has the position of blacks in our society re­ sembled, and how has it differed from, the posi­ tion of a low Hindu caste? 3. Societies can be stratified in a variety of ways. What is the major form of stratification in mod­ ern industrial societies? 4. Why has the kind of class conflict Karl Marx pre­ dicted never developed anywhere? 5. Why are Americans not highly class conscious? 6. What difficulties are encountered when w� tempt to divide the people of an industrial ���· into clear-cut social classes? 7. Why is social class a family matter rather th,u individual matter? 8. What are some of the principal factors that 1 contribute to class mobility? 9. Why is upward social mobility necessarily liml in any society? 10. What factors have been operating in the un· States in recent years to reduce class distinc.trc Underhill, Paco, The Call of the Mall, New York: Simon & Schuster, 2004. Wilson, William julius, Being Black and Poor in the Inner City, New York, NY: Norton, 2009. lord, T im, The Undercover Economist: Exposing W hy the WWW Bureau of Labor Statistics www.bls.gov Uich Are Rich, the Poor Are Poor and W hy You Can Never WWW National Association of Colleges and Employers www H11y a Decent Used Car, New York: Little Brown, 2005. horizontal mobility (217) karma (210) open class system (214) outsourced (222) poverty threshold (220) proletariat (218) 225 .naceweb.org .1rt hy, Nolan, Keith T. Poole, and Howard Rosenthal, WWW Polarized America: The Dance of Ideology and Unequal WWW Occupational Outlook Handbook www.bls.gov/oco Uiches, Cambridge, MA: M IT Press, 2006. WWW U.S. Bureau of the Census, Income www.census.gov/ kr, David K., The Working Poor: Invisible in America, New York: Knopf, 2004. , Alvin, and Heidi Toffler, Revolutionary Wealth: How It Will Be Created and How It Will Change Our Lives, New York: Knopf, 2006. National Center for Children in Poverty www.nccp.org hhes/www/income.html WWW U.S. Bureau of the Census, Poverty www.census.gov/ hhes/www/poverty.html WWW U.S. Department of Health and Human Services www.os.dhhs.gov Race and Ethnicity Stratification, Minorities, and Discrimination List four reasons for ethnic and racial prejudice • Distinguish between minority and dominant groups • Discuss the race problem in the United States today • Distinguish Chicanos from Latinos and explain the problem of illegal Mexican immigration • Discuss briefly the problems of religious minorities • Discuss briefly the problems of sexual minorities • Give arguments for and against age discrimination Wrong never lies in uneq11•d rights, it lies in the pretell• of equal rights. -Friedrich Nietzsche In Chapter 1 1 , social stratification was considered primarily along economic and lines. Societies are also stratified along racial, ethnic, and cultural lines. Questions of crimination based on a person's race, religion, ethnicity, age, gender, or even sexual pr ences, and issues of busing, job quotas, and right to jobs-these issues are not of thl but rather appear daily in the media. Many of you may feel that you are well aware of the problems, either because you lived them or because they have been extensively discussed at home or in school. This l ter is necessary, nonetheless, both to provide you with a sense of the history and dimt'll of the issue and to give you a standard by which to judge your own views. The issu equality and discrimination are as pertinent today as they were fifty or sixty years ago,' social scientists first considered these issues. f<vace and Ethnicity Although all human beings belong to the same species, Homo sapiens, they exhibit 11 physical and cultural variations, including differences in height, weight, skin color, ant shape of the head and face. Any group of people, if isolated from others over a long p1 of time, will develop differentiating physical characteristics. Thus it is possible to dr guish groups of people by these characteristics and to call those groups a race. To classify the peoples of the world by race is problematic; there are few natural div11 lines and those dividing lines are arbitrary. In addition, a range of gradations within r can be found. One classification has divided most people into three groups based on pin variations-Caucasoids, Mongoloids, and Negroids. The problem with this classificatrc 2 26 twofold. First, it reflects social constructions loosely based on biological differences. However, the biological differences between so-called races often are far fewer than the bio­ logical differences between individuals of the same "race." What do we mean by social con­ struction? Consider hair color: There are redheads, brunettes, and blonds, yet because our social system doesn't distinguish among them, hair color does not delineate race. But skin color does, not because blacks and whites are inherently different, but because our social sys­ tem differentiates them. Second, over time migration has led to a mixing of the races, and ranges of gradation within races can be found. Thus race as a classification system is losing significance. The U.S. Bureau of the Census dealt with this classification problem when it prepared the 2000 census forms by listing a large number of ethnicities, such as black, white, Hispanic, of Hispanic origin, Pacific ]slander, and many others, including "Other," leaving people to classify themselves in any way they pleased. Golf star Tiger Woods, who is of Thai and African American descent, tried to devise a unique term for his heritage, and this may mark a trend. The year 2000 is not the first time the Census Bureau has changed its race classification system, and you should not be surprised to see more changes in the termi­ nology used to describe race. Some even argue that the government should be prevented from collecting information on race because hav ing that information leads the govern­ ment to be less race-neutral in its policies than many believe it should be. Why should the government care how many people consider themselves black or Hispanic? We are all Americans. A concept closely related to race is ethnicity, which is a more defensible way of classify­ ing groups of people. It is important to distinguish between race and ethnicity. The reason for doing so is the following: Whereas race is a biological classification system, ethnicity is a cultural classification. An ethnic group is a group of people who identify with each other on the basis of common ancestry and cultural heritage. In popular usage, ethnic differences often are confused with racial differences. Ethnic dif­ ferences between groups in matters such as nationality, language, and religion are important, but they do not constitute differences in race. It would be incorrect, for example, to speak of the French race or the German race. France and Germany are adjacent countries, and the people who live on one side of the border are physically little different from those who live on the other side. It is also misleading to call the Jews a race. They have no physical characteris­ tics by which they can be dependably distinguished from non-Jews in our population. What holds them together as a group primarily is religion, history, and social tradition-that is, ethnic ties. Racial and ethnic differences fall into distinct categories and largely are independent of each other. The frequently made assumption that race determines culture has little scientific or factual basis. Where different racial groups have lived in close association for some time, as in Hawaii, they are likely to have much the same culture; on the other hand, members of the same race living in different parts of the world often exhibit cultural patterns that are radically different. To see the truth of this last statement, we need only compare the culture of black Americans with that of blacks living in the Congo basin of Africa. · After read in� this chapter, you should be able to: • 227 Questions of Ethnic and Racial Superiority Some people believe that one race or one ethnic group is innately superior to others in intelligence and creativity, and that this superiority largely explains the high degree of civi­ lization certain groups have been able to achieve. This may seem superficially plausible because many of the recorded scientific and social advances (or at least the ones familiar to whites of European descent) in the last several hundred years have been made by the European-descended ethnic groups. 228 � 12 Race and Ethnicity Stratification, Minorities, and Discrimination Such a view would be extremely shortsighted. Over the centuries, the particular gnll•l have taken the lead in the advances of civilization have changed. First it was the Sumen the Egyptians; later the people of India and China, the Jews, the Phoenicians, and the l't still later the Greeks and Romans; then for a while the Arabs; and finally the peoples of no and western Europe. But we need go back only 2,000 years or less to find Roman writl looked on the then-primitive Britons and Germans as not only crude and uncivilized h• stupid. In other parts of the world, well-organized societies developed but they either d grated or were destroyed by invaders, disease, or natural disasters. These include the M.1 Inca civilizations in the Americas and various kingdoms in black Africa south of the Sa h. There is no convincing scientific evidence to support the contention that some n11. logically inherit a greater capacity for development than others. Which society leads tht development of civilization is the result of a combination of other factors such as f<l\• climate and soil, migrations that stimulated change by bringing together peoples with t ent cultural backgrounds, and fortuitous discoveries and inventions. Such advances It lead to further advances, a gradual accumulation of technical skills, an increase in foo put, a slow growth of population, and the development of towns and cities. Every gn people has its bright and dull individuals, its great intellects and its idiots. It is possible that, on average, there are some inherited mental and psychological• ences between ethnic groups, just as there are physical differences. Statistics colh t Richard Herrnstein and Charles Murray in a controversial book entitled The Bell Cun gest that in the United States, on average, Americans of Asian descent score a few 1 higher than whites on IQ tests, and blacks score about 1 5 points lower than whites. statistics, and the usefulness of IQ tests in measuring mental abilities, have been chall on a variety of levels. But even if the statistics are correct and I Q tests actually nH mental ability, it is not clear whether the difference in scores is inherent in ethnic grou is socially determined. Moreover, averages say nothing about individuals, so most sou• entists say that no policy inference can be drawn from such statistics. Even if some inborn mental and psychological differences exist, they do not neCl'' mean superiority or inferiority any more than do differences in skin color, hair textu head shape. In any case, such differences are minor compared with the great differenn exist among individuals in every ethnic group. Some social scientists argue that the concept of race is so socially determined that discussions do not belong in social science. The problem is that discussions of race art • emotionally charged and emotion is anathema to good science. We agree. The reason to discuss race include: oic Cleansing 1c divisions affect every country, and in many they are worse abroad than they are in the United . Let's consider two cases where they are partie­ bad: Bosnia and the countries of central Africa. ntry. The most numerous are Bosnians, Serbs, and Bosnians, who are primarily Muslims, make about two-fifths of the population; Serbs, who are amly Eastern Orthodox Christians, make up about third of the population; and Croats, who are pri­ Roman Catholic, make up about one-fifth of the This diversity in the area has existed for er a thousand years and has been the cause of con­ nuing tension. When Yugoslavia collapsed in 1991, IWtdesoread and devastating political, economic, and s fighting broke out. The various factions embarked on programs of ethnic cleansing." As one side or another was tem­ porarily victorious, the temporarily defeated were Ethnic relations vary greatly in different societies and in different social situations. In cases, relatively little friction exists among members of different ethnic groups. Prejud1 an adverse judgment or opinion formed beforehand or without knowledge or exam in of the facts-exists, but ethnic barriers are not sufficient to prevent considerable ' aroused and intensified by the ethnic cleansing has persisted as the factions flare up and violate the Dayton Accords: The political, economic, and religious In the early 1990s, the world became aware of a fierce tribal war in the central African country of Rwanda, where two principal tribes, the H utu and the Tutsi, tried to exterminate each other. In 1994, a group of militant H utus massacred over one million ethnic Tutsis (and moderate Hutus). Hundreds of thousands more managed to escape into the neighboring country of Burundi. Burundi could not support such a huge number of refugees, and worldwide assistance was only partially effective. In Burundi, the Hutu were in the majority but the Tutsi controlled the military, and so the warfqre continued. This led to hundreds of thousands of refugees escaping to the neighboring countries of Zaire and Uganda. The influx of refugees into Zaire upset the ethnic and tiled, tortured, or driven from their homes, causing political balance there between Hutus and Tutsis, and ,ty of the country and the fate of its people. Efforts by killed. In 1997, a radical change of government took most of the rest of the world to worry about the stabi 1many countries, including several European powers hundreds of thousands of members of both tribes were place, and even the country's name was changed (from Zaire to Democratic Republic of Congo). While interna­ tional organizations tried to find solutions, in 1997 the situation in Zaire became so intolerable for the Rwandan refugees that those who had survived the warfare made their way back to Rwanda. Because large numbers of members of these tribes live in all of the countries of central Africa, the Hutu-Tutsi conflict is not confined to any one of these countries. The Congo is mineral rich and the competi­ tion for the land and its resources exacerbates the rivalries in this politically unstable area. Political The race concept has a history of being inappropriately used. Ethnic and Racial Prejudice and Discrimination the worst of the incidents. However, the hatred Bosnia, significant hatred exists among the many lolllfferent factions that make up the population of the The term race is a social, not an important physical, construction. • Biological differences within a race t end to far exceed biological differences among r,t These reasons lead most social scientists to focus on other ways of classifying pl' We discuss the issue of race here not because we believe races are distinguishable 11 meaningful biological way, but simply because race is much discussed in our society .111 I believe it is necessary to address issues of societal concern. Regardless of whetha concept of race is a meaningful concept in a democracy, the important thing is to trt people as human beings, to judge people on their individual merits, and to provid� opportunity for people to develop and use whatever capabilities they possess. and the United States, resulted in a n international conference held in Dayton, Ohio, in 1995 that ended situation in Bosnia remains highly unstable. • • 229 alliances shift often. In 2002, the first Tutsi president of Rwanda signed a peace accord with the Congo, which agreed to a disarming of Hutu militiamen. The conflict is far from resolved and will continue to warrant interna­ tional concern into the indefinite future, but in the early Mass graves of victims ofgenocide in Bosnia. 2000s the ethnic ferocity had diminished from the heights it reached in the mid- and late 1990s. contact and frequent intermarriages. This seems to be the situation today in Hawaii, where the principal ethnic classifications are Caucasian and Asian/Pacific Islander. Though the various ethnic groups have not yet lost their sense of identity, residentially, economically, and educationally they are nearly integrated. But there are other places in the world where prejudice and discrimination-actions, behavior, or treatment based on prejudice-are intense and where racial segregation is the accepted pattern. 230 � 12 Stratification, Minorities, and Discrimination Minorities What is the explanation for these great variations? Many people feel that prCJll � inevitable, that it is an inherited aversion. But the belief that human beings inherit <It i1 has long been discredited by psychologists, and racial prejudice cannot be accoun tl'd any such simple explanation. Moreover, attitude and prejudice need not necessaril} I discriminatory actions. Writers have suggested various reasons for ethnic and racial prejudice. Pron among these are the following four: l. Influence of tradition 2. Psychological need of individuals to belong to a particular, identifiable group 3. Building up of the ego by cultivating a feeling of superiority 23 1 beginning there were non-Caucasian groups whose assimilation seemed impossible because they differed not only culturally but also racially from the majority of the American people. Today there are still unassimilated groups. The best known of these are blacks, but they also in­ clude Hispanics, who are largely Caucasian but who have come to this country rather recently; Asians, whose physical characteristics set them apart from white Causasians and who sometimes find themselves the subjects of economic and educational discrimination; and individuals of Middle Eastern descent, whose connections with Islam have subjected them to discrimination as the United States struggles to balance the "War on Terror" with individual liberties. 4. Usefulness of prejudice as an economic and political weapon Each of these could be expanded enormously, but we will leave that to sociology co Here, we simply want you to consider your own attitudes, to ask yourself whether th fleet prejudice, and if so to consider the reasons behind that prejudice. After you'n that, take the next step and ask yourself whether your prejudices show up in discrimtn actions. If they do, evaluate whether you find those actions justified. The Meltinl;! Pot Because of its heterogeneous population and the tendency of immigrant groups ultim.tl become assimilated, the United States often has been called a melting pot. Although th� colonial population was predominantly British, other nationalities were also reprc'l During the nineteenth century, this country received 30 million immigrants, and in thl twentieth century millions more arrived. A few came from almost every section of the 1 but the great majority were Caucasians from Europe. In the last thirty years, immigt from Asian countries to the United States has been high and will likely continue to bl through the early 2000s. Groups whose basic patterns of life were not too unlike those of the early British settkt came assimilated in a relatively short time; others were assimilated more slowly. But fron Stratification in the Former Soviet Union The United States is not the only country that has problems with prejudice and discrimination. These problems are universal. Take the former USSR, for example. It was a country with more than a hundred nationalities. The Russian nationality was the largest (about 50 percent of the population), and it controlled about 90 percent of the top posts in the Soviet Union. Many of the other nationalities were not happy about that Russian dominance. Until the late 1980s, the Soviet Union dealt with its minority problem by refusing to allow any dissent and by maintaining a secret police force to ensure sta­ bility. Joseph Stalin, for example, moved the Crimean Tatars from their native lands when he became dis­ pleased with their actions. The communist government kept the nationalist groups under control. When the communist structure collapsed in the late 1980s, sc did the communist government's solution to the nationality problem. The problems surfaced in the late 1980s, when Russia reduced the police-imposed limitations on individual action. The result has been unrest among a number of Soviet minority groups, such as that between the Armenians and the Azarbaijani. There w fighting and rioting between the two groups, but the Azarbaijani retained their domination over the Armenians, who, however, continued to grumble. In the 1990s, so many minority groups dem�nded reco nition that the entire political structure of the Soviet Union broke apart into a number of different coun­ tries. The Soviet Union was no longer a union and a major reason was the nationality problem. Ethnic conflicts persist in the 2000s in many of the former Soviet republics, especially Chechnya, Armenia, Azerbaijan, and Tajikistan. If various groups were different but essentially equal, prejudice and discrimination proba­ bly would not be a central concern of social scientists. But as was the case with social and economic stratification, racial and ethnic groups are not viewed equally: minority groups are groups of people singled out for unequal negative treatment and who regard themselves as objects of collective discrimination, and dominant groups are groups of people singled out for positive treatment. The term dominant group is used rather than majority because the dominant group may be a minority, as was the case with whites in South Africa. In the remainder of this chapter, we introduce you to the important minority groups in the United States. • Native Americans The Native Americans were the first settlers of what is now the United States. Although the date is uncertain, most anthropologists believe they came from Asia about 30,000 years ago. After Europeans began to colonize North America, Native Americans were slowly outnum­ bered and eventually conquered. Today, they are a relatively small minority, and for a long time they were the most isolated of all minority groups and perhaps the most deprived in education. Recently, Native Americans have taken the initiative in efforts to increase ties with the dominant U.S. culture, to improve their educational and employment opportuni­ ties, and in some cases to restore lands taken in the eighteenth and early n ineteenth cen­ turies by procedures that Native Americans have attacked in the courts. The policies of the dominant white population toward Native Americans have undergone changes in the past century from ( 1 ) enforced isolation and segregation; to (2) forced integra­ tion into U.S. society, with almost disastrous results for the Native Americans culturally, economically, and physically; to (3) a policy of much more gradual assimilation. The present government policy toward them is based on the Indian Reorganization Act of 1 934, which was designed to encourage Native American tribes to revive their traditions and to manage their own political and economic affairs. Although many Native Americans choose to live on land designated as Native American homeland, they can live where they like; they are U.S. citizens and can vote; they pay certain taxes, and they receive Social Security benefits; they may own private property; and they are free to seek employment anywhere they wish. But they some­ times encounter prejudice and have difficulty in adjusting to the dominant U.S. culture outside of areas designated as Native American lands. Also, some of them are handicapped by poor health, a lack of education and skills, and the language barrier. Each of the tribes has its own language or dialect, which usually is very difficult for a person who is not a member of the particular tribe to learn. According to the federal Bureau of Indian Affairs, there were orig­ inally about 300 different languages spoken by Native Americans in what is now the United States, and possibly as many as 200 still survive. If in addition the tribe is isolated, the processes of education and assimilation are extremely slow. For instance, it is still the case that many Navajos, one of the largest tribes in the United States, do not yet speak English. 232 � 12 Stratification, Minorities, and Discrimination Blacks (African Americans1) Blacks constitute approximately 38 million people, or 13 percent of the U.S. popu American blacks are for the most part descendants of slaves brought over to the l States in the seventeenth, eighteenth, and early nineteenth centuries. According to on mate, at least 14 to 1 5 million black slaves were landed in the Americas, North and from 1600 to the latter part of the nineteenth century. The main source of slaves in the seventeen! eighteenth centuries was the Gulf of Guinea in Africa. This area was more d populated than most of Africa, and as merchants had already established trade w1 outside world in ivory and gold, it was easy to provide slaves as well. The trade route\ Guinea people were evidence of a relatively advanced culture. Although they \ nonliterate people, the inhabitants of this area were among the leaders of black Af11 agriculture, metalwork, pottery, and sculpture. Slave trading has a long history. Muslim Berbers and Arabs exported black slave Africa as far back as the early 900s. In the fifteenth century, Spain and Portugal imp slaves from Africa, which they bought from other Africans. The first ship of slaves dt arrive in America until 1619, when it landed blacks in Virginia for labor in the It colonies. Plantation owners needed a large force of controllable workers, and black were the answer to this need. Although importation of slaves into the United States became illegal in 1808, th� for a workforce did not subside, and thousands of slaves were smuggled in despite tiH These practices continued until the Civil War, when, in 1863, Abraham Lincoln sigm Emancipation Proclamation. Abolitionists were a strong force in the North, but asid� h umanitarian concerns, political leaders also saw emancipation as a way to further u the South during the war. The Emancipation Proclamation and the 1 3th Amendment to the U.S. Consti t 1 changed the legal status o f slaves but not their social status. The systematic legal segre� of blacks was promoted by what were called Jim Crow laws, 2 and the voting rights of h were effectively blocked in the southern states. White supremacy propaganda becam tense and was often accompanied by violence. The African Origins of U.S. Blacks. The problems of blacks in the United .., today differ from those of any other minority group in this country. To begin with, bla( the United States are so far removed from their African homeland that much of cultural heritage is difficult to identify today. Though their cultural patterns may d Continuing Discrimination against Blacks. An illustration shows the cramped quarters on a slave sh ip. 1 Debate continues about whether "African American," "Afro-American," or "people of color" sho1 substituted for " black." 2The name Jim Crow is thought to have come from a character in a popular minstrel song writl Thomas D. Rice in 1832. Minorities vory and Ebony or Evory lbony? the years, there has been a considerable amount mixing of the black-skinned and white-skinned peajust as there has been mixing of people with many different physical attributes. Much of this mixing rred under slavery when slave owners fathered chil­ by black mothers. The great abolitionist leader L-A�rick Douglass was the son of a white father and a mother. Just how much white ancestry U.S. blacks cannot be determined with certainty, but some IMneticists have attempted to make an estimate. Most of the ancestors of U.S. blacks came from in areas in West Africa. By comparing the percent­ of the West African natives who carry a certain gene (the rhesus-factor allele R0) 233 with the percentage of U.S. blacks and U.S. whites who carry it, geneticists estimate that, on the average, the ancestry of U.S. blacks is probably about 30 percent white. Other researchers have estimated that about 7 5 percent of all U.S. blacks have at least one white ancestor. Similarly, it is estimated that about 25 percent of whites have at least one black ancestor. As intermarriage continues, these percentages will increase, making black- and white-skinned physical characteristics less noticeable. Perhaps, someday we will arrive at a society in which skin color will not comprise an ethnic grouping and will instead be just another physical characteristic on a par with hair color, eye color, and height, and in which it will be just as strange to think of a person as "black" as it is to think of a person as "green-eyed." somewhat from those of other Americans, they essentially are American by culture, as reflected in their language, customs, education, and religion. But the position of the black minority still is influenced unfavorably by the fact that it is the only minority in this country whose ancestors once served a long period of slavery to whites. No other minority groups have experienced the social and psychological upheavals caused by slavery, followed by sudden emancipation and then by a long period of discrimination and segregation, some of it enforced by law. In addition, blacks tend to differ from whites in skin color, hair, and features more than other minority ethnic groups, and this has contributed to the strong personal prejudice that sometimes exists between whites and blacks. Although the status of blacks has advanced in many ways in recent decades, they still suffer from prejudice and discrimination and from handicaps that are the legacy of past discrimination. Legal Discrimination and Segregation. We have already described briefly the rise of legal segregation in the South. The constitutionality of the state laws on which it was based was long a matter of dispute because the Fourteenth Amendment to the Constitution of the United States, adopted in 1868, provides that no state may deny any person equal protection under the laws. The question was whether segregation constituted denial of equal protection. Those who attempted to challenge these laws in the courts had no important success until 1954, when the U.S. Supreme Court, in the case of Brown v . Board of Education, outlawed segregation in public schools. The Brown decision reversed a decision made by the Court in 1896, when, in the case of Plessy v. Ferguson, it had issued a decision approving segregation of blacks and whites by state legislation. The decision in Plessy v. Ferguson was based on the so-called separate-but­ equal doctrine, that is, the theory that providing separate educational, recreational, and other public facilities for blacks was not denying equal protection under the laws if these fa­ cilities were equal to those for whites. In practice, this equality proved to be a myth. The Brown decision outlawing school segregation opened the way for challenging other segregation laws, and within a decade or so it became clear that they were all unconstitu­ tional. However, the breaking down of segregation, especially in the case of schools, has proved to be a slow and difficult process. Some confusion has resulted fro m disagreement about whether court decisions and civil rights acts passed by Congress merely annul laws and public policies that require or encourage attendance at segregated schools, or whether they also place an obligation on communities and school boards to take positive measures 234 � 12 Stratification, Minorities, and Discrimination Minorities 235 Table 12.1a Unemployment among Races, 1975-2008 YEAR ALL ETHNIC GROUPS(%) WHITE(%) 1975 8.5 1980 7.1 1985 1990 1995 5.6 2000 4.0 2005 5.1 2008 5.8 5.2 BLACK(%) HISPANIC(%) 7.8 14.8 Not available 6.3 14.3 10.1 7.3 6.5 14.0 10.6 5.5 5.1 12.0 8.7 4.9 10.4 9.3 3.9 8.5 7.0 4.4 10.0 7.1 10.1 7.6 Source: U.S. Bureau of Labor and Statistics, Employment and Earnings. Martin Luther King, Jr., at the 1963 civil rights march in Washington. to eliminate de facto segregation-segregation that occurs because of social and cui not legal, reasons. De jure segregation is segregation based on actual segregation Ia these decisions and acts make illegal the segregation that results because some restd areas are wholly black and others wholly white, or make illegal the segregation bt about partly because some parents, black as well as white, may prefer to have their chi attend segregated schools? Since 1954, many major pieces of civil rights legislation have been passed. For ex.t the Civil Rights Acts of the 1 950s and 1 960s enforced the voting rights of blacks anti hibited discrimination on the basis of "race" (as was then the terminology), sex, or n.tt origin in public accommodations, federally assisted programs, and housing. Despite all of this legislation, for many blacks thn been little progress, and the frustration level has at times led to riots and civil disturb,, Blacks' frustration is grounded in both social and economic conditions. Thou�) economic condition of blacks has, on the average, improved greatly, it has by no n caught up with that of whites. In the early 2000s, blacks earned a median income t h.1 only about 60 percent of that earned by whites. The reasons for this lower income are complicated and varied. They include dis'' nation, family structure, age structure, occupation, and education. Blacks make up a h proportion of the labor force for low-skilled jobs than their numbers would predict, lower percentage of managerial jobs. Additionally, their unemployment rates are ht Table 1 2 . 1 a shows that black unemployment rates have consistently remained at highl· els than those of the other major groups (whites and Hispanics). The unemployment 1 especially high among young black males, as can be see!) in Table 12.1b. Much of the problem can be attributed to past and present discrimination .1 blacks. Discrimination has robbed some blacks of the incentive to acquire the necessar ucation and training to fill jobs that require not only willingness to work but also mor� average skill, training, and education. They believe they will not be given such jobs l'' they are qualified to fill them. As a result, to them it makes no sense to acquire market skills. To make matters worse, especially in the North, a large proportion of blacks It neighborhoods where crime is rampant and housing substandard. Causes of Blacks' Frustration. toward Equality. Notwithstanding these problems, the average ecotu condition of blacks has improved. Many blacks have moved into career-level and .. � Progress Table 12.1b Unemployment by Age Group, 2008 AGE GROUP WHITE MALES(%) 16-19 19.1 35.9 20-24 10.2 19.3 25-34 5.3 11.8 35-44 4.3 7.7 BLACK MALES(%) 45-54 3.8 7.7 55-64 3.4 7.1 65 and over 4.1 9.5 Source: U.S. Bureau of Labor and Statistics, CPS. jobs. The major credit for the job advancement of blacks should probably go to those individuals among them who have had the ambition and the willingness to acquire education and training. But they have been helped by organized efforts to give blacks far greater opportunities than were available to them in the past. These efforts are made by government agencies, colleges and universities, corporations, and various other private groups including some organized by blacks themselves. They range all the way from trying to train the hard-core unemployed for specific jobs to providing qualified blacks with scholarships or fellowships for advanced study. In the past, a significant factor in restricting the economic progress of blacks has been discrimination by labor unions, many of which refused to accept them as members. Some still strongly resist admission of blacks, but the number of such unions that discriminate is declin­ ing. Building trade unions in large cities have been especially slow in accepting black appren­ tices except in token numbers, but under pressure they are adopting more liberal policies. In the past, black business or professional people were generally limited to their own community for a market for their services. Today the situation is changing. Many corpora­ tions are actively seeking qualified blacks to fill professional or administrative positions. This is not always easy, because there are still relatively few blacks with good college training and even fewer with degrees from graduate or professional schools, and the competition to 236 � 12 Stratification, Minorities, and Discrimination hire them is sometimes intense. But progress is being made, and black enrollment in and professional schools has risen significantly in the past decades. From 1960 to 2008, the percentage of b lacks completing four years of college ro about 3.5 p ercent to almost 20 percent. The percentage of blacks completing high rose from 23 percent in 1 960 to about 83 percent in 2008. In addition, as black 1 power has grown and the demands for equality have mounted, more and more proft and administrative jobs have been opened to blacks in public institutions such as ho schools, and state and local government agencies. Part of the reason for this increase was affirmative action programs, pn designed to favor minority groups. Such programs came under attack beginning in II 1 990s and early 2000s. For example, in California and Texas, affirmative action pro were overturned by the courts and replaced by need-based and race-neutral progr<l n result, the number of blacks in higher education decreased. This decline has led development of programs that seek diversity in other ways, such as admitting ,, percentage of the top students from public high schools. Though this has boosted m enrollments, many college officials remain opposed to ending affirmative action. Affirmative action continues to be much in the news. Much of the debate conccr r cisely what is meant by affirmative action and how it translates into policies. Does tt numerical quotas, and if so, what is the nature of those quotas? Does it require that 1 the major factor in decision making, or does it simply allow race to be considered a' the factors in decisions? And if it allows a consideration of race, how much weight given to race? Does it require or allow that specific preferences be given to minority (and if so, how strong can those preferences be), or must all groups be treated equalh As an example of the issues that can arise, let's consider the college admission proy the University of Texas. That program was changed after its affirmative action program, gave specific preferences to blacks, was one of the programs that the courts struck dm, program giving specific preferences to football players or to legacies-children of alunu admissions was not struck down.) In response, the University of Texas decided to allm' matic admission to the top 10 percent of all Texas high school students. Because many • inner-city high schools in Texas are predominantly black and, on average, score low on dardized tests, whereas suburban high schools are predominantly white and, on averag{ high on standardized tests, this new program gave blacks an advantage compared to chances of admission if only test scores had been considered. Was this new program all1• under an affirmative action plan that used a "top 10 percent" standard, or did it repn strategy to avoid the accusation that the schools were still giving preference to blacks? I it were allowable, is it desirable? (There were stories about some whites transferring rnl ner-city schools so that they would get admitted to the University of Texas.) The bigger tion is, What is reasonable discretion in admissions (discretion similar to the allowal tempt of colleges to have a geographic diversity in their student body) and wl unreasonable discretion when it comes to race? Many such issues will have to be dealt over the next decade. Another example involved the University of Michigan, where applicants were selcctl the basis of points. Applicants were given 20 points for being black and 20 points for attl·r a predominantly minority high school, out of a total of 150 points. (SATs accounted for 1 2 points.) Was this too much of a preference, and if so, what would not be too much?\ thinking about an answer to this, consider also that legacies, who are generally white and off, were given 1 to 4 points for their alumni relationships. Was that too much, and if so would not be too much? The U.S. Supreme Court, which has the ultimate power to r these decisions in the United States, decided that, at an undergraduate level, the point black students were too much like affirmative action. However, it held that colleges coul1 race into account in their admission decisions, thereby legalizing affirmative action. I decisions may, however, be different. The reason it is difficult to predict what the Cour decide is because the Court's composition changes over time, as judges retire, and are rep by others with different judicial philosophies. For example, the replacement of David S. Minorities 237 with Sonia Sotomayor in 2009 may make a difference. While both have liberal persuasions­ since he was a white male from New Hampshire, and she was a Hispanic woman from the Bronx-many expect her to take different views on some discrimination issues. A field in which blacks have as yet made limited progress is business ownership or control. Though corporations are more willing than formerly to hire those who qualify for administra­ tive positions, as yet blacks control comparatively few enterprises of any size. Principal excep­ tions are some insurance companies, banks, and publishing concerns that chiefly serve the black community. But even the larger black communities such as New York City's Harlem neighborhood are served for the most part by concerns owned and operated by whites. Eliminating the Vestiges of Discrimination. When we consider the extent to which discrimination against blacks prevailed throughout this country from early colonial times to World War II, the progress toward equal treatment since that war has been substantial, even though it has fallen far short of the hopes and expectations of many. Segregation in the armed forces, formerly the unchallenged rule in all branches of the service, was completely abandoned as a policy by the mid-1950s. Discrimination against blacks in hotels, motels, restaurants, and other public places has been virtually eliminated, partly because of changes in public attitudes and partly because of laws forbidding it. To be sure, not all the subtler forms of discrimination have disappeared, but at least they are on the defensive. Another area in which discrimination against blacks has been reduced is in the right to buy property. Formerly, the purchaser of a house might be required to sign a restrictive covenant in which he or she agreed not to rent or sell to members of specified racial or cul­ tural groups. This covenant sometimes made it impossible for blacks to buy or rent housing except in overcrowded black neighborhoods that were often slums. But in 1948, the Supreme Court ruled that restrictive covenants are contrary to public policy and may not be enforced by the courts. In 1968, Congress passed an Open Housing Act prohibiting racial discrimina­ tion in the sale or rental of about 80 percent of all housing, and in the same year the Supreme Court interpreted an 1866 federal law as banning racial discrimination in the sale or rental of any housing. Although these actions have not completely eliminated discrimination in the sale of housing, they have made it difficult, especially for real estate firms. One place where social scientists have found significant discrimination against blacks is in entry-level jobs and low-skilled positions. Researchers had young high school graduates with similar job histories apply for the same jobs. Thirty-four percent of the white applicants were called back; 14 percent of the blacks were called back. In another experiment, social sci­ entists had fictitious individuals apply for jobs on-line. Some had white-sounding names, such as Greg Kelly, and some had more African American names, such as Jamal Jackson. They found that the white-sounding names received many more callbacks and that the white­ sounding name was worth approximately eight years of experience. Thus a person with a black-sounding name had to have eight years more experience to have the same callback rate as an otherwise similar white. The discrimination was even greater when both black and white applicants had criminal records; in the first experiment, a black with a criminal record had only a 5 percent chance of getting a callback, whereas a white with a criminal record had a 17 percent chance of getting a· callback. Since almost one in five of all black men have served some time, this presents a serious problem for integrating them back into the community. Black-White Social Relations. In his classic book, An American Dilemma, economist Gunnar Myrdal observed that the area of strongest white prejudice against blacks had to do with intermarriage and other intimate social contacts. This seems still to be true. The great majority of whites believe that blacks should have equality of opportunity in employment, housing, education, health facilities, and legal rights, but many of them are still uneasy about intermarriage (just as many blacks are) and often are awkward in developing close social contacts. Among some groups, especially in the younger generation, there is a trend toward breaking down the obstacles to social contacts between the races, including those to interracial 238 � 12 The Obama family. Stratification, Minorities, and Discrimination marriages. After World War II, more than half states had laws prohibiting marriage between ,, person and anyone defined legally as a "Negr • in 1 967 the Supreme Court ruled that no st 11 ban interracial marriages. Still, today interrau pies constitute only about 4 percent of all l• and only 1 8 percent of those are between bla( whites. Opposition to these marriages, whethll blacks or whites, is diminishing, but it is still st r Discrimination occurs not only between I and whites but also among blacks, with d skinned blacks called derogatory names and tr differently by lighter-skinned blacks. Moreon discrimination that does occur by whites Sl'l be more pronounced the darker the skin thl person has. In a study of brothers from thl· family who differed by skin color, it was foun.l the lighter-skinned brothers tended to have h incomes and experience less discrimination. In 2008, the United States made a major step forward in race relations with the cl� of a light-skinned black president with a very African name-Barack Obama. That cl� was, to many, an indication that the United States has come a long way in solving thl problem. But it has a long way to go. Ultimately, we will know that the race problem has been solved if bringing ho black fiancee to a white family, or bringing home a white fiancee to a black family, ra1' more eyebrows than bringing a blond fiancee home to a brunette's family, or a brunet ancee to a blond's family. In the early 1 960s, some twenty years after IH· completed An American Dilemma, Myrdal was asked if he foresaw any solution to our problems. He replied, "Well, you can find solutions to technical problems; but in ' problems, particularly those that are so intrinsically difficult and mixed up as the [ hi problem, there is no solution in an absolute sense." In his study, Myrdal called the race problem in the United States a white problem bl'\ the whites are the great majority and hold the bulk of wealth and power. He saw progrl blacks to be dependent on white cooperation, on a lifting of the bars of discrimination. Bu clear that even if all whites (and blacks) could quickly and completely rid themselves of ltl prejudice, it would still take time for blacks as a group to overcome completely all the effi.'\ generations of slavery followed by decades of extreme discrimination. Some have even argued that blacks are owed reparations for the injustices of the past that such reparations are necessary to achieve equality. They have collected information al companies' and universities' pasts and have shown that a number of them profited fron1 slave trade and oppression of blacks. Others argue that reparations are precisely the wrong to achieve equality since reparations are unlikely to achieve significant results from a prac point of view. To hold people today accountable for wrongs of their ancestors is a highly tem proposition. Trying to do so will move the debate away from the more important issue of h(n provide better opportunities for blacks now and in the future. Regardless of what is dl'l l about reparations, no group can give equality to another group except in the sense of treat in members fairly and sympathetically and helping to provide them with opportunities. Nc1 disadvantaged blacks nor disadvantaged whites will achieve equality with the average Cit merely by being given jobs for which they are not qualified or by being admitted to coli whose academic standards they cannot meet. They can, however, be offered opportunitil job training and, if they have the will and ability, chances to make up academic deficiencies. The Future of Black Americans. Minorities 239 The debate over what to do about inequality has manifested itself in the debate about affirmative action programs. Advocates of affirmative action programs argue that they are necessary to offset past discrimination. Critics charge that such programs are unfair both to the minorities and to whites. They say that affirmative action programs place blacks in situ­ ations for which they are unqualified and that preference for blacks discriminates against needy whites. As we stated earlier, in response to criticism some states such as Texas and California have started substituting need for race and gender as the determining factor for preferential treat­ ment. For instance, in 1 996 California passed a law designed "to abolish affirmative action." According to this law, "The state shall not discriminate against, or grant preferential treatment to, any individual or group on the basis of race, sex, color, ethnicity, or national origin in the operation of public employment, public education, or public contracting." This statement demonstrates neutrality, and it abolished previous legislation that had favored preferential treatment for minorities and women. Some other states are considering similar legislation. Eliminating affirmative action on the basis of skin color will not necessarily mean an end to giving preference to blacks; it will simply be preference not solely based on skin color, so a white child and a black child of upper-middle-class families will be treated equally. However, because many blacks are poor and come from backgrounds without a strong focus on education, they, along with whites from similar backgrounds, can be given preference in admissions and hiring because, t<Y achieve what they have, they had to over­ come greater obstacles than a person from a rich, pro-education background. It is doubtful whether ethnic prejudice and discrimination can be completely elimi­ nated as long as blacks constitute a distinct ethnic group in our society. Discrimination is inherent to some degree in most social relationships all over the world. It occurs in the con­ tacts between individuals, between individuals and groups, and between groups of many types, including families. But, in the view of the textbook authors, to deny to an entire eth­ nic or cultural group equal civil rights and equal educational, political, and economic op­ portunities is a type of discrimination that a society should not tolerate. Hispanics The largest minority group in the United States is Hispanics, or individuals of Spanish-speaking origin. These include Latinos, who have historical and cultural ties to Latin America, and Chicanos, who have historical and cultural ties to Mexico. From 1 988 to 2000, the Hispanic population in the United States more than doubled and it has grown even faster since. About 46 million U.S. citizens (more than 15 percent of the population) identify them­ selves as being of Spanish origin. Of the total number, about 67 percent gave Mexico as their place of origin, about 9 percent gave Puerto Rico, about 4 percent gave Cuba, and the remainder gave other Latin American countries. However, of all who considered themselves of Spanish origin, about 63 percent were actually born in the United States or in Puerto R ico, all of whose natives have U.S. citizenship. Immigration, both legal and illegal, has been an important part of Hispanic population growth, and in 2008 there were an estimated 9 million undocumented Hispanics in the United States, 76 per­ cent of all undocumented immigrants. Chicanos. The Chicanos are of special importance because they are the largest of all Hispanic minority groups. But they differ from other Americans of 240 � 12 M i norities Stratification, Minorities, and Discrimination Spanish origin not only in their national origin but also in their racial background. " I • Mexican," says Philip D. Ortega, "is to be a member of Ia raza, the race of Mont� children. More than two-fifths of the Mexican population are pure-blooded Indians, than half have some Indian blood in them. Yet, despite Indian resilience, the languagt • conquerors dominated." Besides Native Americans, Mexicans, or Spaniards from Mexico, were the first ' of what is now the southwestern part of the United States. All of this area was a p Mexico before the United States annexed it in 1 848 after the Mexican War. When th settlers from the United States began moving into the Southwest, Mexicans were ,,1 there, and many of their descendants can be found there today, especially in Coloradc northern New Mexico, where a few villages are still composed almost entirely of d dants of Mexicans. The modern influx of Mexican immigration came after 1 900. It was not affected I quota restrictions, passed by Congress in 1 92 1 and 1 924, that greatly reduced the inflc immigrants from eastern and southern Europe, because these did not apply to the Wt hemisphere. Most Mexicans came as common laborers. Many were employed as sc,1 migratory workers in agriculture; others found jobs on road-building projects or as r;u workers. However, up until 1 964 many of our Mexican migratory workers were not Cll or residents of the United States. Rather, they were braceros, Mexicans who were allow enter this country seasonally as contract workers in agriculture. The law permitting ' contract workers was allowed to expire in 1 964, but it was reinstated in 1 986. I n addition to contract workers, a number of Mexicans are in the United States illt They come to the United States to find jobs offering wages and working conditions I than they can find in Mexico. Given the 2,000-mile-long border between Mexico a111 United States, limiting the flow of illegal immigration from Mexico is very difficult. In 1 986, Congress passed a law that was meant to deal with this problem. Among 1 things, it allowed certain illegal aliens who had been in the United States for at lea'! years to receive amnesty and to apply for U.S. citizenship. The requirements of this lav. quite strict, but millions of Mexican illegal aliens came forward to apply. The 1 986 Ia not resolve the problem. In 2007, a new immigration bill was proposed that would pre a path toward legalization for the millions of Mexicans living in the United States who still illegal and would establish a guest worker program but would also increase borde curity and increase penalties imposed on employers who hire illegal aliens. The bill did even make it far enough to get voted on. I n 2009, the Obama administration consid submitting its own immigration bill, which stirred up even more debate on the issue. Today, Chicanos are one of our most rapidly growing groups. Because of their birthrate, a large proportion of them are young. Four out of five Chicanos live 111 Southwest. The great majority are concentrated in Texas and California, but subst,t numbers are found in Arizona, New Mexico, and Colorado. They go where the work i' the U.S. economy's high demand for workers in states such as Iowa, Kansas, and Gt:c has meant that in the 1 990s and early 2000s many moved to those states. In fact, 11 farms throughout the United States have come to rely on illegal Mexican immigrant cause of the Mexicans' willingness to work for lower wages and do harder jobs than workers. Although some are of Spanish descent, most are of mixed Spanish and Indian cestry. They tend to live in segregated residential areas, to retain their own customs, a n continue to speak Spanish. They often lack the level of education of their U.S. neigh! and the parents often do not speak English fluently ( although the children who were I here do) . In states where they have previously been sparsely represented, they somctt are discriminated against not only by the long-established population but also by Mex t who have been i n the country longer than the newest arrivals. All these factors contribll" slow their economic and social progress. Though many Chicanos still live in the Southwest and are employed in agriculture, .1 relatively small number of them are still migrants, the great majority-dose to 85 perw 24 1 live in urban areas, where they sometimes form small colonies. In cities, Chicanos work in many job areas, but as yet relatively few are found in high-ranking occupations. As a group, their incomes are much lower than those of white Americans of European descent, and about 22 percent live below the poverty level. But like the descendants of earlier immigrant groups, some are finding their way up the social and economic ladder, and today about 34 percent of them hold white-collar jobs. Latinos. Another ethnic-culture group of Hispanics are Latinos. The largest subset of this group are Puerto Ricans who have come to the United States in the last fifty years. Though most Puerto Ricans are Caucasians, a substantial proportion of them are of black or m ixed ancestry. There are now more than 4 million Puerto Ricans scattered throughout the United States, although most live in New York City. Because Puerto Ricans are U.S. citizens, they have the same rights as all other U.S. citizens, but because of language difficulties, lack of skills, lack of education, and dis­ crimination , those living in the United States often earn low wages and are forced to live in blighted areas where health conditions are poor and crime rates are high. Also, many social difficulties arise because their cultural patterns are so different from those they encounter in the United States. Some return home, disappointed. Others "commute," staying only long enough to earn whatever amount of money they need to sustain them for a while. Another subset of Latinos are Cuban immigrants. Immediately after Fidel Castro came to power in Cuba in 1 959, several hundr"ed thousand refugees came to this country under special congressional legislation that created a Cuban refugee program. These first­ wave Cubans have done well in the United States and make up a large percentage of the middle class in Miami, for example. From 1 960 until 1 980, the influx of refugees de­ clined; in 1 980 another large group of Cuban refugees was admitted into the country as political refugees. Asians In the early 2000s, over 1 2 million Asians lived in the United States. They have spread throughout the country, but most live in large cities. Despite prejudice against them, many of them have done well both financially and socially. Chinese I mmigrants. The Chinese first came to this country in large numbers when gold was discovered in California. In the single year of 1 852, some 20,000 were admitted. They worked as cooks and launderers and as laborers in the mines. When the gold rush was over, many of them were employed in building the western portion of the transcontinental railroad. They also spread out into occupations such as agriculture and fishing. But to the white settlers, they were strange and unwelcome. As their numbers grew, antagonism increased and they endured many types of discrimination. There were even riots in which they were chased through the streets and beaten or lynched. Part of this antagonism resulted from the competition for j obs. The Chinese were willing to live on very little and, if forced to do so, would work for extremely low wages. Finally, in 1 882 Congress passed the Chinese Exclusion Act, which virtually suspended all Chinese immigration until 1 943. In 1 965, a revision of immigration laws ended discrimination against the Chinese and the immigrants from all other countries by abolishing quotas based on national origin. Due in part to U.S. response to the upheavals in Southeast Asia that began at least as early as 1 970, immigration laws have undergone several subsequent liberalizations, especially for highly trained individuals. Immigration law is complex, but at the present time we can say that it has permitted a significant increase in the number of Chinese and Southeast Asian immigrants to the United States. 242 � 12 M inorities Stratification, Minorities, and Discrimination Immigrants. After Congress 1 the Chinese Exclusion Act, the Japanesl U.S. liulafl? arriving on the West Coast in increasing nt l l On February 1 1, 1942, U.S. authorities began rounding Most of them settled in California, and up Japanese Americans and shipping them to internment long they, like the Chinese before them, b, camps simply because of their Japanese heritage. Fear encounter prejudice and discrimination. that these Americans would support Japan in that coun­ the Chinese, the feeling against them was try's war with the United States was the ostensible cause, based on conflicting economic interests but anger at the Japanese attack on Pearl Harbor in Japanese became truck gardeners (grow Hawaii on December 7 , 1941, and ethnic prejudice were fresh vegetables), and because whole famih major unstated reasons. Although these internment willing to work hard and live on very !itt camps were far more humane than the Soviet Gulag, in native California truck gardeners complain which prisoners were inhumanely treated and in which they could not meet Japanese competition. millions died, the fact that the U.S. government created was argued that the strong loyalty of the ).tJ these camps at all is considered a travesty by many. Just to their homeland made assimilation impo as angry people often strike out in vengeance without During World War I I , anti-Japanese f\ thinking, angry societies sometimes strike out in revenge increased. The U.S. government forcibly 1 and thoughtlessness. 1 1 7,000 people of Japanese birth or ancestn from the West Coast to relocation centers h inland. This move was explained as a Sl measure, but it is now generally recognized as an inexcusable injustice, for removal '' based on disloyalty but only on national origin, and it meant gross discrimination .1 thousands of loyal U.S. citizens. In 1 945, the evacuation order was rescinded, but Japanese did not return to the West Coast, preferring to live in areas where prejudice . 1 them was less marked. I n recent years, prejudice against the Japanese has disappeared or greatly dimin In 1 988, the U.S. government finally apologized to the surviving Japanese American had been interned and agreed to pay each of them $20,000. Japanese Over the years, there have been varying numbers of other immigrants. In the 1 970s, hundreds of thousands of Vietnamese immigrants were all• into the United States to escape political oppression in their native country. More re\ many highly trained Indians, Pakistanis, and other Southeast Asians have been aliO\\ because of a shortage of workers in high-tech fields. In a number of high-tech com p foreign-born workers outnumber U.S.-born workers. Asian American immigration has been highly self-selective. It has primarily con of highly educated individuals who have found it relatively easy to succeed in the l States. Often they have taken low-level jobs that were only loosely controlled as to 1 mum wage and hour requirements, and they have worked hard to advance. For eX<II many Indians worked in motels and then bought the motels, providing jobs for new II immigrants. Once they learned the business and saved enough money, the new immi� went out and bought their own motels. Today, many local motels are owned by Indiam same is true of doughnut shops and some other occupations; for example, most dou shops in California are owned by Indians. The success of Asian Americans has led to the stereotype of them as a "mod( I nority." Thus, even though they are a minority, they are not seen as being discrimin against in work opportunities and education, and thus not in need of affirmative " ' I f anything, they are discriminated against in education because they attend schw greater numbers and often achieve better results than other groups, including wl Thus, to maintain diversity some colleges, especially those located in areas with a I Asian population, discriminate against Asian Americans by making it more difficul them to get accepted into those colleges. Not all Asian Americans are rich, educated successful, however, Asian Americans still have higher poverty rates than whites. Other Asian Immigrants. 243 Arab Americans and Americans of Middle Eastern Descent The last minority we will discuss is Arab Americans, of whom there are over 3 million, more than 90 percent of whom live in urban areas. As a group, Arab Americans have done relatively well, and their average incomes are 22 percent higher than the U.S. national average. Traditional multicultural efforts often overlook this ethnic group, though they face stereotyping and prejudice. The first wave of immigration of Arabs from the Middle East took place between 1 875 through 1 920. Most of these early Arab immigrants were from Lebanon and Syria; most were Christians seeking economic opportunities. Immigration then slowed as the United States began imposing restrictions. The second wave began in the 1 940s because of the Arab-Israeli conflict and civil wars; this group came from a much more diverse area, and many practiced Islam. But l ike the earlier group, most were more financially secure when they came. The 2000s have been particularly difficult for Arab Americans. Because the 9/ 1 1 terrorists were of Middle Eastern descent, many Arab Americans have been subject to discrimination and prejudice, even though almost all of them strongly condemn the terrorists and consider themselves Americans. Although they may feel that U.S. policy in the Middle East is tilted in Israel's favor, that is a feeling shared with many other Americans, and with many individuals throughout the world, and is in no way unpatriotic. New Arab American immigrants are es­ pecially singled out. The U.S. government has implemented a mandatory registration for nonimmigrant aliens from the Arab and Muslim world. They are also profiled and subject to special surveillance by law enforcement. Thus, the "crackdown" on terrorism created discrim­ ination toward Arab Americans in travel, housing, and educational and work opportunities. Whether that discrimination was a necessary side effect of the government's need to provide security, or was an unacceptable form of discrimination, is currently debated. Immigration and Minorities I n the early 1 900s, when immigration into the United States reached its peak, some 1 mil­ lion persons were arriving every year, the great majority from Europe. Nationalities tended to group together. For a while, they became isolated islands of culture, continuing among themselves to speak their own language and to perpetuate their own traditions. At first, most immigrants took the unskilled jobs and occupied the lowest place in the class struc­ ture, consequently pushing into the upper classes a larger proportion of older immigrant residents than might otherwise have been found there. These older residents had the advan­ tage of being on high ground earlier, as a result of which they not only knew the language and customs, but also in many cases had accumulated property. In some ways, the situation of European immigrants was like that of a minority ethnic group. The difference lay in the fact that although most second- and third-generation indi­ viduals from ethnic groups were still set apart and considered unassimilable no matter how Americanized they became, those from the Caucasian nationality groups had little trouble, in a generation or two, in identifying with the major group. Restrictions on Immigration. Until 1 890, most immigrants to the United States were from northwestern Europe. Then immigration from southern and eastern Europe began to grow, and Mexican immigration also increased. Many "old" Americans, and even some of the earlier immigrants, were strongly prejudiced against southern and eastern Europeans. Demands for restrictive legislation led to laws limiting immigration. In 1 92 1 , the first I mmigration Quota Act, designed to reduce immigration to speci­ fied annual quotas for each national group, was passed. The quota for each country was 3 percent of the number of people living in the United States in 1 9 1 0 who were of that national origin. The effect of this legislation was a sharp reduction in immigration from the countries of central, eastern, and southern Europe. Later, the quotas were reduced, 244 � 12 Stratification, Minorities, and Discrimination 19 18 17 16 � Minorities 245 - Other rB1lll!ll Asia c::J The Americas c::J Europe 15 14 13 "' "C 12 11 :; "' "' :5 1 0 Q Illegal immigrants sometimes die during their attempts to sneak into the United States. and in 1 924 the maximum total number of immigrants to be admitted annually w to 1 50,000. The quota laws did not apply to countries in the Western hemisphere. During the years following World War II, Congress passed various immigration admit considerable numbers of immigrants over and above the quotas. Most of thcsl Europeans displaced from their homes by World War II or by the 1 956 Hungarian reb against communist rule. Later, as we have already mentioned, Cuban and Asian rd were admitted under special legislation. But in 1 965, under pressure from people who considered our immigration Ia\., criminatory, Congress passed an act that provided for the complete abandonment ,, tiona) quotas by m id- 1 968. Under this act, admittance is based not on national origu on the U.S. need for the training or skills of a would-be immigrant. Various special 11 gration laws applying to groups such as Cubans, Southeast Asians, Irish, and p(lh refugees have been passed since 1 965. In addition, many classes of immigrants are rx from any numerical limitations-such as immediate relatives of U.S. citizens. The chan the composition of immigration can be seen in Figure 1 2. 1 . In 1 989, the United States again changed the quotas, cutting the number of Asi,u lowed and increasing the number of Soviets. These actions created a political stir. In Congress overhauled the immigration laws, raising the quota of immigrants by ncar percent and allowing entry for a larger percentage of immigrants who were not relat U.S. citizens. It also created 30,000 slots for wealthy foreigners of any origin who \\ guarantee that they would invest at least $ 1 million in the United States. This led to ch that the United States was selling U.S. citizenship. In 1 997, the Illegal Immigration Act went into effect. It substantially deliberalizes thl ditions under which a U.S. citizen or legal resident can sponsor a would-be immigrant makes permanent residency much harder to achieve than under the older laws. It al" creases the requirements for various formal certificates, such as birth and marriage, that immigrant has to meet. This legislation makes it harder for immigrants to comply wit I formalities that the law directs employers to investigate before giving a job to an immigro� The effectiveness of our immigration laws, especially when we consider that somr to conflict with others, has been questioned. First, their application and enforcement not been consistent: leverage can and has been exerted for individuals or small gro Second, the crucial task of controlling illegal entry along our long northern and soutl borders and the approaches by sea (not to mention exotic tactics, such as parachutin� formidable one for the available authorities. Even legal admissions are difficult to cnt "' "C 9 "C c "' :z:: 8 � 7 6 1 830 '40 '50 '60 '70 '80 '90 1 900 '1 0 '20 '30 '40 '50 '60 '70 '80 '90 '95 2000 '05 '1 0 Figure 12.1 Legal immigrants by continent, 1 820 to 2008. The large jump in 1 990 is due to the legalization of many Mexican immigrants (later years on the time axis are extended for easier viewing of recent changes). (Source: U.S. Bureau of the Census, Statistical Abstract of the United States; BCIS, Yearbook of Immigration Statistics.) because there is insufficient monitoring of students and other visitors to see that they com­ ply with the restrictions of their visas or do not outstay their permissions. The Immigration and Naturalization Service ( INS) Dealing with Undocumented Aliens. estimates that about 12 million undocumented aliens live in the United States, a number that had increased by more than 500,000 a year for several years, but finally peaked in 2007. About 40 percent of undocumented aliens have entered the country legally but outstay their visas; the others primarily are unauthorized Mexicans. This 1 2 million does not include those immigrants folded into the population when in 1 986 the United States passed legislation imposing more restrictions on new illegal immigration while at the same time making provisions for legitimizing the status of some of the 2.7 million aliens already illegally living and working in the United States at that time. This law legalized a large group of formerly Undocumented aliens, but also made employers subject to penalties for employing illegal aliens. The resulting large one-time jump in Mexican immigration is evident in Figure 1 2 . 1 . The 1986 law was not highly successful. After the passage o f the law, illegal Mexican im­ migration initially held constant. However, until the 2007 recession, it increased as the 246 � 12 Minorities Stratification, Minorities, and Discrimination 247 demand for low-wage workers in the United States was high. In the 2000s, there h much debate about illegal immigration. There was a push for legislation that would c�t guest worker program and allow many undocumented workers to stay in the United while at the same time increasing border enforcement. The basic structure of that leg• had much in common with the 1 986 law. Since that time, similar legislation has been d. but none has passed. While discrimination on the basis of religion exists in the United States, relative to many other countries, the United States has a relatively good record. In China, a Christian is subject to persecution by the state. Even more severe persecution occurs in some Islamic countries. In Iran, for example, a person who converts from Islam to another religion may be subject to the death penalty. Religious Minorities Women A number of religious groups in this country espouse beliefs that lead them to follm of life somewhat different from the general pattern of U.S. culture. These include SCll as the Amish, the Seventh-Day Adventists, and the Jehovah's Witnesses. But their tot.ll ber is small. At one time, Mormons could have been included, but after they officialh cloned polygamy they became, in their relation to U.S. culture, not very different fro other Christian sect. Jews, however, form an important minority group whose influence on our sm greater than their numbers alone would seem to indicate. We have already consid··r nature of Judaism in Chapter 9, but we will take up here a brief discussion ol Semitism. Prejudice or severe discrimination against Jews, called anti-Semitism, has for centuries and has been strong in certain countries at certain periods. Sometime been tied to religion; sometimes it has been rationalized by dislike on the part of the 11 ity of the population for certain cultural or "racial" characteristics, largely imaginary, uted to Jews as a group. In some parts of eastern Europe, anti-Semitism has at timl taken to such extremes that thousands of Jews were killed, as in the pogroms, or org.1 massacres, that occurred in czarist Russia. But it was in Nazi Germany that anti-Sen reached its height, for Jews constituted 6 million of the more than 10 million peopk were murdered in Hitler's concentration camps. Anti-Semitism continues to exist, although in the United States it has slowly dim in• perhaps in part because it was overshadowed by the greater problem of black-whit1· tions. But in recent years, some Jews have felt that the level of prejudice was rising. Twc tors may have contributed to this. First, when the new nation of Israel was establishl't conflict with the Arabs began, the majority of Jews were drawn together by a sense of 1 and many gave their full support to Israel. Often non-Jews do not share their sen tin Second, as blacks have increased their demands for equality, some of them have tend identify the Jewish merchant in the black ghetto as the symbol of white oppression. In spite of such developments there is no clear evidence that in the country as a � anti-Semitism is increasing. The long-run trend appears to be in the other dirc1 Intermarriage seems to be more and more common, although according to polls tak recent years, Jewish opposition to it has fluctuated. Whether Jews in the United State' after a few generations, lose their identity as a separate cultural group remains to be.: But under modern conditions in our society, this may happen. At least there are no ct differences of the kind that make the complete assimilation of the blacks relatively difh Another religious minority that has been experiencing discrimination is the Mu population. Although we discussed discrimination against some Muslims earlier, it 1 portant to remember that not all Arabs are Muslims and not all Muslims are Arab' U.S. Muslim population, estimated to be more than 5 million (estimates vary signifi,, from 3 million to 9 million) , is diverse, with only about 1 2 . 5 percent ethnically Arab. A I percentage of Muslims are also blacks; they make up over 40 percent of all U.S. Mu'l The next largest percentage is South Asians at about 25 percent. Muslims can be fou n every U.S. state, with the largest numbers in California and New York. Since 200 1 , 1 1 U.S. citizens have associated Islam (the religion o f Muslims) with terrorism, even t h o only a small percentage o f Muslims are terrorists. But all too often i n recent times Mu' are judged guilty by association. I n today's society, the roles of men and women differ: Women are in some ways subordinated to men. Thus, although women make up a ma­ jority of the U.S. population, given this subordinate position they still are often referred to as a minority. Whether this subordinate position is acceptable is up to each one of us to decide, but in making that decision, we must be aware of the facts. One fact is that our society has decided that discrimination is not legally allowed on the basis of sex, age, ethnicity, or national origin. Despite the law, there is discrimination against women. This discrimina­ tion takes many forms. Sometimes it is disguised as protection: Women are not allowed to do things because they are perceived as the weaker sex; the prohibition against women serving in combat in almost all of the armed forces is an example. Other times, the discrimination is built into the way men treat women-as objects rather than as human beings; pornography is a good example. Still other times the discrimination is in women's access to jobs: The perception that firms have of women's abil­ ities often differs from the reality. The list goes on. We cannot provide a comprehensive list of the various practices of discrimination, partly be­ cause our space is limited and partly because the perception of discrimination varies from individual to individual. To deal with this complex, subtle discrimination, many people supported a constitu­ tional amendment, the Equal Rights Amendment ( ERA), which stated simply: "Equality of rights under the laws shall not be denied or abridged . . . on account of sex." It needed ratifi­ cation by three-fourths of the states, which it did not receive. Supporters point out that the state legislatures that defeated this amendment were all overwhelmingly staffed by males. History of the Women's Movement. We can trace the women's movement, sometimes called feminism, at least as far back as the early nineteenth century. In the late 1 800s and early 1 900s, the suffragist movement continued its work. Women whose primary aim in the women's movement was to win the right to vote were called suffragettes. The women won this campaign in 1 920. During World Wars I and I I , women were called on to assume many of the tasks that had been assigned to men until the men were called into military service, and the women reaped many of the satisfactions. They found it difficult and, indeed, absurd to give up the freedoms they had won just because the wars ended and the men came home. But, as can be seen in the movie Rosie the R iveter, the government exerted strong pressure on women to resume their so-called proper role at home and to give up their jobs to men. The principal permanent achievement marking women's contributions in World War I is the passage of the Nineteenth Amendment to the U.S. Constitution ( 1 920) that gave them the right to vote. During World War I I , women's performance in the civilian economy and their actual service in the armed forces gave them confidence to assert claims for greater equality. Their performance in the Persian Gulf War was superb, and following that war Congress passed a law authorizing women pilots to take part in combat. In the latest I raq war, women have served honorably in combat roles, and women have been captured and held as prisoners of war. Still, the army is far from sex-neutral, and it allows only limited 248 � 12 Minorities Stratification, Min orities, and Discrimination combat roles for women. Additionally, all men are required to sign up with the Sl'l Service System and thus may be drafted should the need arise. Women are not requ1r sign up and under present law cannot be drafted. The fact that women were in the past and are now an actual majority of our peopl yet have had a subordinate status similar to that of a minority makes their situation doxical. They are not a minority, but they are treated as one. In 1 848, Lucretia Mot Elizabeth Cady Stanton organized the first U.S. women's rights convention at Senec.1 New York. Then in 1 869 Stanton, together with Susan B. Anthony, founded the Nat Woman Suffrage Association, which became known as the suffragist movement. Mo cently, the push for women's equality has been known as women's liberation. Women have made significant gains in many areas. There are now more wom better-paying jobs; more women in colleges and graduate schools, in government c in corporate boardrooms, in the highest ranking positions of financial i nstitution more women i n professions such as medicine, the law, and engineering. Yet when \\ amine the record more closely, in many areas these gains seem to have little overall on equality. For example, only 20 to 2 5 percent of state legislators are female. I n only 77 out of the 4 3 5 members o f the House o f Representatives were women, and t were only 1 8 female senators. Thus, primarily men are both the lawmakers and th enforcers. The average earnings of a woman are still less than the average for a man, even equal work is performed. At managerial levels, women usually rise only to middle m.1 ment jobs, and they tend to stay there. Many women tend to be segregated into "pink jobs" such as teaching, nursing, and library work, which pay less than white-collar jol see how women's earnings compare with those of men, see Table 1 2.2. In addition, as women have comparatively recently entered occupations such ''' struction work, firefighting, and police forces, they tend to be the last hired and th fired. None of these acts i s necessarily discriminating on the individual or fi r m level. h ample, many companies have established a seniority system that governs their hirinl' firing. Thus they are required by the system to fire the last one hired, of which women stitute a larger percentage. With respect to pink-collar jobs, the schools, hospitals, n urns, and libraries that offer these positions say they merely hire from the pool of tho\� apply and that they are not directing women to take the jobs. Much of the gender discrimination occurs too early and is too subtle and built int system to attribute to specific individuals. I f you take a poll in your class, you may find the men have higher career aspirations than the women. Why? I t m ight be that in childhood the boy' pressured harder; it was made clear to the m Table 12.2 they would be ultimately responsible for t own lives. When a girl had difficulty compkt1 Earnings for Men and Women by Occupation, 2009 project, she m ight have been treated lenient! MEDIAN EARNINGS FOR VARIOUS FULL-TIME WORKERS BY it may have been a career counselor who gu OCCUPATION IN 2009 (WEEKLY, IN DOLLARS) girls i n a different direction from boys. A wo who was, say, a brilliant mathematician .1 Occupation Male Female straight A student may have been counseled education courses rather than to profes\1 Managerial, professional, and related 1258 907 schools of business, finance, or interna1 1 Office and administrative support 664 601 relations. Frustrated with teaching, she Service 411 516 leave that occupation to marry and have chil1 Farming, fishing, and forestry 413 404 The fact that she made that decision doc� Installation, maintenance, and repair 772 743 mean she is unhappy or that her life is aiW fulfilling ( it may be more ) , but it does shm Production 660 450 process by which women are channeled Source: Bureau of Labor Statistics, Economics News Releases. certain careers. 249 Former Congresswoman Patricia Schroeder women to enter the workforce when she for pinpointed one of the most important reasons numbers is that they have unprecedented such in so do they argued that the primary reason must work. For others, they because work women family Many families. their to maintain although families have become smaller, wants have become larger. Therefore, for these family women, work is not an actual necessity but it is a social need: It is the only way the family can meet its desires. However, for black and other minority females, work has been a necessity for much longer than for white females. Women in the workforce as a percentage of total women of working age rose from 32 percent in 1 972 to over 70 percent in the early 2000s. According to the 2000 census, 64.5 percent of two-parent families with children under age eighteen had both parents working. ( This percentage had risen from 33 percent in 1 976.) Analysts who study such trends say that the percentage of working women with children is expected to continue to grow even though some very high-income women may choose to stop working and stay home with their children. It is sometimes argued that for many women the decision to work is not as important as that for men because they work only to provide "extras;' often listed as a second car, a va­ cation home, restaurant meals-items that can be seen as frivolous or self- indulgent. If this is so, then women can be paid less because their earnings are not essential and their attach­ ment to the labor force is intermittent. Others argue that this argument is wrong for two reasons. First, not all women are one-half of a couple, and approximately half of all families headed by women live below the poverty level. Their need for income is as great as, or greater than, a man's. But, more important, the argument is wrong because it is both im­ moral and illegal to pay one individual less than another individual for the same work. The breakdown of the family has had its most telling impact on women. The outlook for women and their children who do not have their father living with them is not bright­ many absent fathers make no child support payments, or do so at a level substantially lower Reasons for Women Entering the Workforce. ne Woman's Stru!}!}le to her job. In fact, she never officially retired. She ification i s millions o f personal stories. What was eighty-eight. eaks down stratification is individual fortitude and 1 tnitiative. Here's one of those stories. Burnita S. Matthews, who was born in 1894, was first woman ever appointed as a judge to a U.S. eral court. She had to wait until she was sixty-four ars old to get that judgeship. Her father sent her brother to law school and Burnita to a music conservatory. On her own, she went to law school at night, graduating in 1919. She then pplied to the U.S. Veterans Administration for a llwyer's job; the Veterans Administration told her they would never hire a woman. She sent her membership dues to the Bar Association; they returned her check. She opened her own law office anyway. In 1949, President Harry S Truman appointed her to the judgeship. All the other judges in her court were men, of course. One of them made a public announce­ ment: " Mrs. Matthews would be a good judge, but there is one thing wrong-she's a woman. " The other udges agreed among themselves to give her the most boring work the court had. She did the work and stuck heard her last district court case in 1983, when she As the years went on after her appointment, things got better for women. Matthews eventually got impor­ tant cases on which to work. For instance, she ruled that Black Muslims had a right to attend religious services of their choice even though they were in jail. She ruled that people who receive disability benefits from Social Security can't have the money suddenly cut off just because the government decides they aren 't disabled anymore. The people are entitled to a hearing and a chance to show that the government is wrong, and they are allowed to keep their checks un­ less the government can justify stopping the money. A federal judge has younger lawyers working for her (or him). Matthews always employed women lawyers. She said, " I always chose women because often when a lawyer does well, the authorities say that some man did the work. I wanted everyone to know that when one of my lawyers did well, the work was done by a woman. " Burnita Matthews died in 1988, her life a symbol of overcoming barriers of stratification. 250 � 12 Stratification, Minorities, and Discrimination than the amounts ordered by the court. In t h thirty years, laws have been passed t o i mprove tht ation. For example, i n 1 984 Congress allowed .tt ment of wages in certain cases, and in 1 99 1 a f law authorizing wage attachment for all absent p who did not live up to their child support oblir was passed. Subsequent adjustments to feder have mandated additional measures such as t h,1 ployers must report newly hired employees to tiona! data bank to find out whether any of then child support payments. But it is still difficult for single parents (generally women) to collect. The situation for divorced women is also pr ous. It has been said that for a woman the sureM to poverty is divorce. The majority of women More and more women are doing "male" jobs. should receive alimony payments often do nc many men who are supposed to make these payn default (some, in all fairness, cannot meet these financial demands). The tendency to child custody to women still prevails, although more recently judges have been aw011 custody either jointly or solely to the father. Because most women earn less than m e r financial burden of a divorced woman with children can be overwhelming. We have been saying that women work for the same reasons men do: to make a I and provide for their families. But there are other reasons, which women share with ' for their desire to work: self-fulfillment and personal satisfaction. Apart from the basr, isfaction of seeing their work rewarded with money-the symbol of reward in our S< whatever opinion we may have of that symbol-women want to accept the challen� competition and the acquisition and manipulation of new skills, to associate with p and to make contributions to the success of projects and enterprises. Many men feel threatened or inconvenienced by the changes at home and at \ caused by new attitudes and conditions. Men who were raised by traditional patriarch thers are baffled and confused by what has amounted to a kind of social revolution. Yet the women's movement has affected men in several positive ways. Large numbt men, either married or divorced, have become househusbands, taking on household child care tasks and finding a new joy in being closer to their children. Although n women still end up with a larger share of the housework and the care of the children, for the most part are beginning to appreciate the burdens and drudgery that women I long handled alone. Significant numbers of men have found themselves liberated fron cient stereotypes that barred them from kitchens and nurseries at home and nursin� clerical work in the workplace. Some men have begun to realize that to equalize dutr also to free males from the superman image of sole provider and family mainstay, redu their tension. Not all men are willing or able to take on the duties of child care. Good day care is I to come by, and although some firms have established on-site day-care facilities, these l panies represent a tiny minority. One solution has been the classic method of changin problem instead of finding the answer: namely, to reduce the number of children. Espc\ among professional women earning high incomes and enjoying the exhilaration ol competitive business or professional world, childbearing has been postponed or specifically declared to be completely outside their plans. This tendency has been countered in recent years by a number of women finding · the desire to have at least one child is strong, resulting in an upsurge in the number of ' dren born to mothers between the ages of 35 and 45. Such a development brings us ful l de: Trying t o work a t a full-time job while simultaneously caring for a house and f,u even if the family work is shared, is demanding, requiring almost a superwoman to ach �- Minorit ies 25 1 it. As one woman said in a New York Times interview, "People say to me, 'You go to school, you have a great job, a wonderful child and a wonderful husband, and your house looks clean. Wow!' But what's interesting is that I 'm not planning to do that anymore. I 've done the superwoman thing. And now that I know that I can do it, my question is: Do I want to do it? Do I want to live like that? Do I want to set the alarm for two and study until four? And the answer is absolutely not!" Despite the problems, the issue of women's rights will not disappear-their proportion of the total workforce and their need to work and earn a decent wage cannot be denied. Many men remain unconvinced that helping women surmount the obstacles still in their path will probably be good for men. It is, however, quite possible that both sexes can gain from a more equitable policy toward women and that both men and women can find, through their less traditional roles, a new sense of trust, mutual respect, and cooperation. Discrimination Based on Sexual Preference. People are also discriminated against based on sexual orientation. Members of the Lesbian, Gay, Bisexual, and Transgendered Coalition argue that they experience enormous discrimination, both in the way people think about them and in finding work. For example, the U.S. armed forces had a rule that all homosexuals must resign from the army. Some homosexuals who have been discharged from the armed services have gone to court to try to gain reinstatement. In 1 99 1 , there were signs from the Secretary of Defense that this discriminatory barrier would be reconsidered. In 1 994, the Department of Defense agreed to a compromise policy allowing homosexuals to serve in the military-known as the "don't ask, don't tell, don't pursue;' rule which effectively allows those who do not reveal their sexual preference to serve in the military. I n 2009, that policy was found to b e in violation of the U.S. Constitution b y a lower federal appeals court, so we may see some change in it in the future. Other instances in which people with same-sex sexual preferences have tried to overcome discrimination by going to court include the case of the Boy Scouts of America. The Boy Scouts refused to let a scoutmaster continue in that work when they found out he was gay. He sued on his own behalf and on behalf of other gays, but he lost in every court to which he appealed, including the U.S. Supreme Court, which in 2000 decided that as a private organiza­ tion the Boy Scouts had a right to exclude persons based on their sexual orientation. To try to counteract that discrimination, gays have been pushing for explicit gay rights laws and hate-crime bills. Some of the proposed gay rights laws specifically prohibit dis­ crimination on the basis of sexual orientation, and the proposed hate-crime bills make crimes that reflect underlying prejudice subject to stronger than normal penalties. More re­ cently, a number of states, including Massachusetts, Connecticut, Vermont, Iowa, New Hampshire and Maine, began allowing state sanctioned same-sex marriage. California courts allowed it, but in response a referendum modified the California constitution disal­ lowing it. A number of other state legislatures and courts are reviewing the issue, so we are likely to see more changes in the future. Senior Citizens A final characteristic that plays an important role in our society is age. Age stratification must be considered on a slightly different basis from the other characteristics we have been discussing. Whereas we are born either male or female, the characteristics of aging are uni­ versal for both sexes. Aging is inevitable, and Ponce de Leon's fountain of youth remains a legend. Some stratification according to age is inevitable. As children, we are unable to care for ourselves and are thus separated from older age groups who productively contribute to society. As we grow old, our physical abilities decline and we are not able to do all that we once could, again creating a group separate from others. There is, however, no clear de­ marcation line as we move from youth to middle-age to being elderly. Chronological age, 252 � 12 Stratification, Minorities, and Discrimination or age measured in years, often does not reflect a person's mental age or capacity to and contribute to society. In primitive societies, few individuals live to an o because of poor health care systems and their difficult lifestyle in general. The few \\ live to old age are venerated as sources of information and wisdom. I n modern imh societies, because of advanced technology life expectancy has almost doubled sinn and the elderly are not a scarcity. Because in these societies, great value is placed on ph achievement, grace, and agility, the normal physical slowdown that characterizes agu been accompanied by decreased status for the elderly. Sometimes the output of workers has not been thought to be worth their wages. Even though it is against feder for employers to discriminate against older workers, businesses often have been suu in finding ways around the law to get rid of these workers. Most of the elder! productive and active lives, but when they can no longer do so they have retreat retirement communities if they can afford them, or, if they need a lot of care, they h,1, to enter nursing homes, some of which have been described as "waiting rooms for de,1 As medical technology advances, the perception of what it is to be an older pers01 what an older person can do, has changed. In the early 2000s, a significant number of people are reaching their mid-eighties or older in good health. The proliferation ofkncm about DNA and gene function has fostered so much research that previously unheard • creases in life expectancy have been predicted, although today the work is highly thcor and practical results, if any, are probably decades in the future. But it is not outside thl of possibility that in the coming decades life expectancy could increase by 20 or 30 1)( should the "aging gene" be found and science discover how to modify it. Senior Citizens' Role in Soc iety. As you can see in Figure I 2. proportion of the elderly population has been growing. In 1 900, less than 4 percent 1 total population was sixty-five years of age or older. In 20 1 0, they numbered about 39 1111 about 1 3 percent of the total population. Projections are that their number will rise to 70 million by the year 2030, or about 20 percent of the projected population. The grm more substantial for those over eighty-five. In 1 985, there were more than 2 million p over age eighty-five; in 2000, there were more than 4 million, and it is projected that by there will be about 2 1 million, or about 5 percent of the projected population. This growth of the elderly population is beginning to present significant economr social problems. For instance, the amount of Social Security benefits, including medi< surance payments, for the elderly has pl.tl strain on the Social Security system, and J 9.2 55.0 1 960 . 35.8 proportion of mostly nonworking elderly gro relation to the number of younger, working tributors, fewer and fewer workers will be sup1 1 980 60.6 ing more and more elderly. This causes .1 1 1 about the solvency of the fund and resentml'll the part of younger workers. 61 .9 2000 In the early 2000s, over 35 percent of the fl budget was spent on the elderly, and federal 'I 62.9 201 0 ing on the elderly is projected to be 42.8 pem the 20 1 0 budget, yet some studies show tha 65 years Under 1 8 years 18 to 64 years and over over-sixty-five group is financially better off Population Distribution (percent) younger groups, partly because of relatively � ous Social Security benefits and partly becau Figure 12.2 various tax advantages. Many younger wu believe they will find the Social Security fund � Resident population: age distribution. (Source: U.S. Bureau of when it is their turn to seek benefits as l"l the Census, Statistical Abstract of the United States. ) The Growth in the Proportion of Senior Citizens. Minorities 253 persons; in the meantime, they are making high Social Security tax payments-in many cases higher than their income tax liability-and some are bitter about this mix. They ask why they should pay for all of these giveaways. The problem of care for the elderly is increasing, along with the difficulty of provid­ ing older people with opportunities for a meaningful life. These problems have been worsened by changing family structures. With the decline of extended families, children often do not include their parents in social activities. These changing family structures are likely to continue for many years, and as they do the problems of finding a role for grandparents and great-grandparents in the family are likely to increase. To argue that a role for grandparents in the family is desirable does not mean that parents should be con­ sidered an appendage of their children's family. On the whole, the elderly prefer to live in­ dependently, yet at the same time contact with family and friends remains a vital part of their lives. Age D i scrimination. In reaction to the problems facing older people, the geron­ tological set has turned to political and social activism, demanding their rights as individuals and as workers. They have formed groups such as the Gray Panthers, who play an active role in the political arena. These groups helped to win passage of the Age Discrimination Act of 1 967, which prohibits discrimination against persons between the ages of forty and sixty- five. Moreover, in the Age D iscrimination in Employment Act of 1 978, the mandatory retirement age was raised from sixty-five to seventy, and in 1 986 it was eliminated for most occupations. The elderly are an effective political force; when the AARP (American Association of Retired Persons ) , which has more than 35 million members, speaks, lawmakers tend to listen. Because their numbers are expected to continue to grow at such an impressive rate, their influence can only increase over the next few decades. The issues involved in age discrimination are not simple ones. For example, a sixty­ year-old person differs from a twenty-five-year-old person; each relates to people in a dif­ ferent way. If a store believes customers prefer to have younger salespeople, should it be against the law if it "discriminates" on the basis of age? Under current laws, it is. Alternatively, some firms used the sixty-five or seventy retirement age to ease out employ­ ees who were unable to keep up, without having to state explicitly the reason for their release. Under the Age Discrimination in Employment Act, they cannot blame the change on a general rule and thus save face for both. Training older persons as new employees presents another problem. Many jobs require years of training, and in order to recoup an investment in a worker, a firm counts on that employee working for the firm for a suffi­ ciently long period of time. The argument can, of course, be reversed. Some firms have fired workers right before retirement in order to save pension payments. Others have merely fired older workers in order to have a better image, using "training" or "customers' perception" as an excuse. Age group con­ flicts are beginning to appear as the percentage of wage earners goes down and the number of pension recipients increases. The dilemma in many firms is in deciding whether to keep on older workers, who have had much experience, or to hire in their place a younger workforce with more energy and newer ideas. In fact, in the early 2000s as worker short­ ages developed, some firms began to welcome workers at and above retirement age because of their reliability and their work ethic. In the future, we are certain to hear more about the employment issues of age, whether discussing a young workforce or an older workforce, because, as discussed here and earlier in the chapter, they are indicative of an ongo­ •r activists march against age ing change in the structure of our society. . 254 � 12 Stratification, M i norities, and Discrimination For Further Study Conclusion At this point we end our discussion of stratification and the issues it raises, I• because we have exhausted the topics-we have only touched on many of tht end it because of the pressure of space and the variety of other topics to be l l l Most of these other topics-social institutions, econom ics, a n d politics-d�.� some of the same issues from a different perspective, and each perspective prov1 another insight into the problems of society and the workings of social SCI m inds. Our discussion of stratification was designed to encourage you to draw your O\\ elusions. Obviously, merely in the way the chapters are written, certain biases becam although we worked hard to keep the analyses as objective as possible. We can, however, conclude that stratification and discrimination do exist. Of th is little doubt. It also seems fair to say that the issues are far more complicated than I vocates of either side generally present, and we must be careful not to focus too stro1 one side's argument. We raise the methodology issue at this point because most of u' volved in some type of discriminatory action-either discriminating or being dt nated against. It is at precisely such instances when our objectivity leaves us and we h fairness or unfairness of the situation clear and beyond question. At this point, ration course breaks down. Whenever you seem to have such a strong belief, count to ten ,, to "walk a mile in the other person's shoes." /(;ey Points • • • • Four reasons for ethnic prejudice are the influence of tradition, psychological needs, ego, and eco­ nomic advantages. A minority group is a group of people singled out for unequal, negative treatment, whereas a domi­ nant group is singled out for positive treatment. Although the United States has made progress in dealing with the problem of prejudice against var­ ious ethnic groups, it still has a long way to go. Hispanics with historical and cultural ties to Latin America are called Latinos, whereas those with ties to Mexico are called Chicanos. • • • • • Undocumented Mexican immigration con to be a problem despite several recent law� 1 to deal with it. Anti-Semitism has been reduced, but it rem potential problem. Anti-Islamic discrimination is on the riSl' 1 United States. Women have made strides toward equaht still have a way to go before they achin equality. Senior citizens are likely to be a major force in the twenty-first century. Some Important Terms affirmative action programs (236) Chicanos (239) chronological age ( 25 1 ) de facto segregation (234) de jure segregation (234) discrimination ( 229) dominant groups (23 1 ) Equal Rights Amendment (ERA) (247) ethnic group (227) Hispanics (239) Immigration and Naturalization Service ( INS) (245) Immigration Quota Act (24: Latinos (239) minority groups (23 1 ) prejudice (228) separate-but-equal doctrint (233) 255 stions for Review and Dis(ussion y are racial and ethnic differences largely in de­ of each other? s it been proved that some ethnic groups are perior to others in their capacity for mental vclopment? H as it been proved that all ethnic oups are alike in their inborn capacities for ntal and emotional development? Explain. 1W would you explain the existence and the lt•nt of ethnic prejudice in the world? h,\t is the relationship of prejudice to discrimi­ l ion? hy is the position of the black minority differ1 from that of any other minority group? hat effect did the Supreme Court cases of Plessy Ferguson and Brown v. Board of Education have n legal segregation? hat are the obstacles to the elimination of de 4 to school segregation? low does the economic position of blacks com­ rc with that of whites? List the major factors h.tt have brought economic gains to blacks. hat advances have been made in protecting the 1vil and political rights of black Americans? hich do you think have been most significant? hscuss what still needs to be accomplished. u: blacks continuing to i mprove their social, po­ ll ical, and economic position? Defend your point 1l view. 1 1 . What does Gunnar Myrdal mean when he says that no social problem as complex as the U.S. race problem is ever solved in an "absolute" sense? 1 2 . Why are fri.endly relations between ethnic groups important to both the dominant and the minority groups? 1 3. What is the social and economic status of Latinos and Chicanos in U.S. society? 1 4. Discuss the history of Asian migration to the United States. 1 5 . How do you account for the existence of anti­ Semitism in both Europe and the United States? 1 6. Is discrimination against Muslims acceptable because of national security needs? 1 7 . What might be some of the reasons the average earnings for a woman are lower than the average earnings for a man? Does this necessarily imply discrimination by individuals or firms? 1 8 . What determined your career aspirations? Do those aspirations reflect institutional discrimi­ nation? 19. How is the growth in the proportion of people over age sixty-five in the population likely to affect our society? 20. What differentiates age discrimination from other types of discrimination? 2 1 . If a store prefers to hire younger salespeople, should it be allowed to do so? Why or why not? et Questions What is the National LGBT Bar Association www.lgbtbar.org)? ( .o to www.eeoc.gov, the website of the U.S. Equal hnployment Opportunity Commission. What is their latest news announcement? ( ;o to www.newsweek.com/id/ 1 4 1 1 65 and read the article. What group is the most satisfied in the ml itary? How does this compare to civilian occu­ p.lt ions? What is the likely reason for these results? Baz, \merican Near Black: Culture, Passing m University of White-to-Black Cambridge, MA: �1 assachusetts Press, 2009. t.ldt, Mary, Home-Alone America: The Hidden Toll of I lay Care, Wonder Drugs, and Other Parent Substitutes, <,eabrook, MD: Sentinel, 2004. 4. The Arab American Institute (www. aaiusa.org) identifies some famous Americans of Arab de­ scent. List the names familiar to you, perhaps through sports or entertainment. 5. Based on www.hrw.org/news, what does the Human Rights Watch organization list as one of the issues involving the United States and human rights? Ephron, Nora, I Feel Bad about My Neck: And Other Thoughts about Being a Woman, New York: Knopf, 2006. Gates, Henry Louis, Jr., America Behind the Color Line, New York: Warner Books, 2004. Malcomson, Scott L., One Drop of Blood: The American Mis­ adventure ofRace, New York: Farrar, Straus & Giroux, 2000. 256 � 12 Stratification, Minorities, and Discrimination McW horter, John, Winning the Race: Beyond the Crisis in Black America, New York: Gotham, 2006. Myrdal, Gunnar, An American Dilemma, 2 vols., New York: Pantheon, 1975. Obama, Barack, Dreams from My Father: A Story of Race and Inheritance, New York: Crown, 2004. to Achieve True Equality, New York: Free Press, I 9 WWW American Communications, 2004. Ghost Dancers and Identity: Prophetic Religion and American Indian Ethnogenesis, Berkeley: University of California Press, 2006. Anti-Defamation League www.adl.org Human Rights Watch www.hrw.org WWW National Association WWW National Organization for Women www.nu WWW It's the for the rnment Advanccn Colored People www.naacp.org WWW Lena, Retired WWW Children of Immigration, Cambridge, MA: Harvard W illiams, for WWW Swirez-Orozco, Carola, and Marcelo M. Suarez-Orozco, University Press, 2001. Association Public Broadcasting Service Race www .pb�.< U.S. Citizenship and Immigration ,adint,t this £hapter, you should be able to: http three contrasting views of government uscis.gov Little Things: The Everyday Interactions That Get under the Skin of Blacks and vyhites, New York: Harcourt, 2000. WWW 3 e Functions and Forms of Young, Cathy, Ceasefire! Why Women and Men Must /c> www.aarp.org Pelzer, Dave, A Child Called "It," Deerfield Beach, FL: Health Smoak, Gregory, Politics and Society Yalle, Victor M., and Rodolfo D. Torres, Latino M Minneapolis: University of Minnesota Press, 2{)( U.S. Department of Justice www.usdoj.gov in the liberal, conservative, radical, reactionary, and anarchist �sophies of government lllti nguish a democracy from an autocracy some distinguishing characteristics of a democracy · the democratic concept of the individual the common justifications for an autocracy Government after all is a very simple thing. -Warren G. Harding There never was a more pathetic misapprehension of responsibil­ ity than Harding's touching statement. -Felix Frankfurter four characteristics of an autocracy Are governments necessary? To answer this question, all we have to do is look around the world to what happens when an effective government does not exist: to Iraq, where, after the U.S. army moved in, the country was left without an effective government, and anarchy and looting were widespread; and to Somalia, where in 2009, because no effective govern­ ment existed, competing factions fought for control, spreading devastation throughout the countryside-looting, raping, and murdering almost indiscriminately. The list could go on, but these two examples make the point: Effective government is necessary. Government is the set of institutions by which a society is ruled. People often disagree violently about the role that government should play in society, which accounts for many of the political conflicts within a nation. Much of the controversy over the proper role of gov­ ernment in society arises from different conceptions of society and government, and any discussion of political and governmental concepts requires some common agreement on the meaning of these terms. In the first part of this chapter, we look at the various functions of government. Then in the second part we consider the various forms of government and how they operate. Finally, in the third section we examine various views of government. As with all social institutions, there is a presumption that if an institution exists it serves some function. Government is no exception. The functionalist approach to govern­ ment argues that what exists must exist as it is and not be tampered with because it serves a necessary function. That is too rigid a position for most social scientists but that does not mean that the Functionalist approach is not important. In this book we have emphasized change and how change modifies the role that institutions play in society. Thus we may find that institutions that once played a functional role may now play a quite different role, maybe functional, maybe dysfunctional. To decide that, we have to consider carefully the functions.government serves in our society. 257 258 � 13 The Functions and Forms of Government Th e Primary Functions of Government In every society of any size, some form of organized government develops due to th for an agency capable of exercising overall social control. The role of government 1 better understood if we examine the specific functions most governments perform or to perform. Maintaining Internal Order and External Security Though the functions of government are many and varied, its basic job is to protect izens from internal and external enemies. The highest value in every political SO(I self-preservation, and the government is the one agency equipped to protect a nat alone possesses the power to enforce obedience to the rules of life that the society h tablished, and it alone has at its disposal all the military might that the nation can to repel aggression. Government, as the guardian of internal social order, employs police, prison courts in its attempts to protect persons, property, rights, and whatever society design worthy of preservation. None of our other social institutions could exist without th mestic tranquility"-the peace and safety-that government provides. Wherever !,1, order break down, the government is unable to perform its other functions; the peop come fearful, and all aspects of society begin to disintegrate. Anarchy is a society w1 government or law. Anarchy generally is so injurious to society that, after a period of social confusion pie sometimes welcome as a blessing a dictator who can restore peace and order. Reco�u of this fact led Thomas Hobbes, the seventeenth-century English philosopher, to COil that government results from a contract among free men desirous of preserving life ,1 increasing its contentment-"that is to say, of getting themselves out from that m1' condition of war" that necessarily results from the absence of effective government. Most advanced modern nations have eliminated internal warfare and reduced int violence to such a low level that nearly all the conflicts that arise among their citizen settled in an orderly and peaceful manner. When countries have not succeeded in 1 this, bloodshed, destruction, and agony tear them apart, as we have seen clearly in 1 such as Iraq, Somalia, Rwanda, Sudan, the Republic of Congo, and others on a sad li't The Primary Functions of Government malia: A Failed State and ern Day Pirates ia has been essentially a stateless society since dictatorship of Siad Barre was overthrown in ry 1991. It was not replaced with an effective iMuernment and the result has been anarchy and civil . While a transitional federal government is in place, has no ability to collect taxes and no real power base IS only kept in power by support from the Ethiopian ment. That government has to contend with the amic Courts Union, which is another group vying for , as well as with local warlords. The results have been disastrous for Somalia, 1ch has had no effective economy and no legal re. Many now long for the stable days of the old rship. Life in Somalia is difficult; if you have ey, you have to pay protection to a warlord, and aid workers have been kidnapped so many and only let free when a ransom was paid that 259 many aids groups have stopped operating there even though the needs are enormous. Trying to drive 30 miles from the airport to Mogadishu can mean stop­ ping at seven or more "checkpoints" and each time paying a toll or an entry fee of up to $300, depending on the value of the goods you are transporting. Most schools have stopped functioning, and only about 15 percent of the children now go to primary school. About the only business that is thriving is crime such as kidnapping and piracy, and ships are now avoiding the coast of Somalia to prevent their being taken over by pirates, as happened to the Saudi oil tanker, the Sirius Star, which was taken over by Somali pirates even though it was more than 50 nau­ tical miles out at sea. Eventually, after the ships own­ ers paid a multimillion dollar ransom, the ship was released. Political philosopher Thomas Hobbes wrote that "life is solitary, poor, nasty, brutish and short" without government. Somalia seems to be making his point. Ensuring Justice The belief in justice appears to be universal, and every modern government professes 1 tion to it. Justice is the maintenance or administration of what is considered fair-by I. by judicial proceedings. It is a concept that involves the relationships of individual\ groups) both to society and to one another. Though justice means different things to d1 ent people and no one definition has been agreed on that describes its content, nearly society considers it to mean "to everyone their due." Not all governments strive for justice, although most generally profess to do so. All ernments based on popular support aspire to convince the people that they are I treated justly. In fact, justices of the peace, sheriffs, judges, and courts exist in soml' I almost everywhere, and their main function is to administer justice. People have confidence in their governments to the extent that they deal out re\• and punishment in accordance with the popular conception of justice. People willing!} mit their private disputes for public settlement when they have faith that justice WI done. For example, a person whose home has been burglarized is generally willing to the burglar prosecuted in a court of law, rather than attempting to secure personal ren Somali pirates. as long as that person is convinced the courts will deal fairly with the matter. When govern­ ment fails to perform this function adequately, or loses the ability to enforce its decisions, lawlessness begins to spread, and revolution may even result. Safeguarding Individual Freedoms Without some kind of government there can be no organized, stable society, and without a stable society there can be little real freedom for individuals. All governments profess to try to safeguard certain freedoms by maintaining law and order. But like the case of ensuring justice, 260 � 13 The Functions and Forms of Government not all governments actually do so. Democratic governments go further than nondcm governments; they have come to accept the defense of individual freedoms as a primar \ tion. For example, the Constitution of the United States declares that a fundamental p11 of the union is to "secure the Blessings of Liberty to ourselves and our Posterity." But in past times, when modern democracies were in the early stages of their dl ment, government was often considered the enemy of freedom. Faith in government defender of individual freedoms has developed slowly over the years, until now in m democracies there is a trend to look toward government for protection. Our federal �� ment, for example, has taken action against monopolies, corrupt political practin discrimination against ethnic minorities and women. There are, to be sure, two sides to this picture. Sometimes government regul unjustly or needlessly restrict personal freedom, and there is always the danger that �� ment may fall under the influence of special interests and fail to reflect the will of t h j ority. There i s also likely t o b e debate about how much individual freedom sho1 infringed on to protect society. For example, after the 9/ 1 1 attacks, the U.S. Congres� 1 the Patriot Act, which gave the government the right to detain people it felt might I rorists or others who might support them. The act greatly broadened the circumstam der which surveillance was permitted, especially with on-line activities. It required f111 institutions to provide information on client transactions and bookstores and librart provide information about what books individuals checked out or bought. Some f�' law went too far; others felt it didn't go far enough. These debates are healthy. The r is that individual freedoms can be safe only when large numbers of individuals, an•I organized groups, are dedicated to their defense. The preservation of these frn necessitates an active and responsible vigilance on the part of the people who enjO) Individual freedoms are responsibilities as well as rights, and as such, they mu defended to ensure their continued strength and legitimacy. Regulating Individuals' Actions In the growth of modern societies, many institutions and groups have developed to pu various functions. Some of these institutions and groups provide important social Sl'l but often they also have selfish interests that are contrary to the welfare of society. Whl·r is true, government may find it necessary to regulate their activities. Our great public t enterprises illustrate this well. Because of the nature of their business, they tend to h� nopolies, and, in the past, when they were left to themselves they often charged exl prices and gave poor service. Therefore, to protect the public the government estahl procedures for controlling them. Since the 1 980s, both in the United States and in ' countries, many public utilities have been privatized-that is, sold by the government h vate companies. Along with this has come some lessening of government regul However, some of the consequences of privatization and deregulation have been unex1 and undesirable. Examples include loose accounting regulations that played a role r Enron and Worldcom accounting scandals, and electricity deregulation in California th to an energy crisis and financial deregulation that contributed to the financial crisis of In such areas, governments are reinstituting controls and regulation. Promoting the General Welfare Government as the agency for overall social control cannot escape the task of promotrn general welfare in a variety of ways that go beyond the functions we have discussed. The g� welfare activities of government have multiplied many times in recent decades, but go ments have always to some degree undertaken by positive means to promote the material being of their citizens. Even the governments of antiquity carried on some welfare activit I times they gave aid to farmers, subsidized other private enterprises, and even controlled p Debates about the Nature of Government 261 The Bible relates how Joseph in Egypt supervised an extensive government program of buying and storing surplus grain to provide food in times of famine. The modern state extends and in­ tensifies this ancient function of government. Government provides the institutional structure within which economic and social in­ teraction can take place. It regulates the economy; levies taxes; and prohibits, protects, and provides services to benefit individuals, groups, and the whole of society. Whether we think about it or not, every person every day is affected by the demands of government and by the benefits it provides. Whenever citizens leave home in a car, they drive on streets and roads provided by government; they can enjoy parks set aside by government; they can send their children to government-supported schools; they can travel abroad on government-issued passports, and in case of trouble can go to the consular or diplomatic agents of their gov­ ernment for aid; they can receive help from the government when they are unemployed or disabled; and if accused of breaking a law, they can be heard in a court established by gov­ ernment. These are only a few of the ways in which individuals are taxed, controlled, or benefited by government, all for the purpose of promoting the general welfare. Welfare activities of government include health services, education, Social Security, and various other benefits. In the United States today there is debate about what kind of health insurance coverage the federal government should provide citizens, or about how to re­ structure the way it provides welfare services. Governments furnish these benefits to meet public demands and to increase their own strength. Even dictatorships find it in their inte.rest to provide workers with vacations and pensions on retirement. People who are deprived of their liberties are less likely to revolt against a government that appears to show consideration for their welfare. In democracies, where the political system makes public policy more directly responsive to public opinion, government has greatly broadened its welfare activities in response to the wishes of an en­ larged electorate. For centuries, students of politics have believed that if the masses were given the right to vote they would demand a redistribution of wealth and privileges. In modern democracies, wealth and income have been redistributed by such means as progressive income taxes, in­ heritance taxes, Social Security benefits, public assistance payments, and public housing projects. This redistribution has happened to varying degrees. For example, in the 1 960s, the income tax was highly progressive, inheritance taxes were high, and there were numerous government programs to help the poor. In the 1 980s and 1 990s that tendency toward redis­ tribution was reduced. For example, the degree of progressiveness of the income tax was lowered. Many of these changes were supported by the lower middle class, even though it did not help them economically. This support can be explained by a belief, held by many in the United States, that more effort should go into increasing total outputs-raising everyone's income-and less into redistribution of income. More recently, with new government pro­ grams such as health care expansion, the pendulum has been swinging the other way. ebates about the Nature of Government The preceding brief discussion summarized the various functions of government and de­ bates about those functions. As you can see, although a government serves definite func­ tions, there are spirited debates about these activities. In the evolution of the state over the centuries, the nature of government functions has in many ways remained the same. However, as other social institutions, such as the family and social mores, have evolved in response to technological change, the ways that governments carry out these functions have changed and so have the forms of government. Differences in culture have led different states down different paths and, therefore, to differing forms of government. We now turn to this issue. 262 � 13 Debates about the Nature of Government The Functions and Forms of Government Political Theory and Government Government is by far the most powerful of all social institutions. It controls resource• treme physical coercion, and it has taken over countless functions and responsibilities th resided in the family, religion, and business enterprises, such as education and variou services. For example, in earlier times children took care of elderly parents; today, the gc ment often does this through social programs such as Medicare. Although government h in a position to regulate and control all other social institutions, it is in turn controlled b� People's beliefs and attitudes and the ways they behave in the family, religion, and bt enterprises determine the kind of government they develop, and often the expansion 1• ernment functions results from the failure of other institutions to meet social needs. Politics is the means by which individuals affect government. Because of the 11 tance of government and politics, an immense area of study, called political theory, h veloped to study governments and politics. Political theory is that area of inquiry d with the nature of government and politics. Political theory has its origins in the writ11 Aristotle, but our current systems of government are founded more on the writings 1 litical theorists John Locke or Thomas Hobbes. Their alternative views of the relatio11 between the individual and the state form the basis of many modern political ideol deeply held beliefs in an idea-held so deeply and with such conviction that a per willing to die for those beliefs. For example, democracy-the rule of the people­ ideology of the United States, and it is rooted in the writings of John Locke. An altcrr ideology, fascism-the belief in the rule of an elite whose members have special abilitll the basis for what some people have argued is a preferable form of government as pared to democracy. When two political ideologies meet, there often is conflict. For example, World \\ was in some ways a conflict between fascism and democracy. Ideologies are closely n to various views of the nature of government. If we believe that there is no role in St for government, we will likely have a significantly different ideological position than �· one who believes that government has a positive role. Three Views of the Nature of Government To organize our thinking about these issues, it is helpful to differentiate the following 1 views of the nature of government: ( 1 ) government as a necessary evil; (2) government positive good; and ( 3 ) government as an unnecessary evil. Government as a Necessary Evil. Government follows us all through life, telling us' we can and cannot do. If we want to drive a car, we must first pass a govern• examination and buy a government license; then government forbids us to par convenient places and fines us for exceeding the speed limit. It forces us to stay in S(1 when we want to go to work. ( We are told that we are too young to work. ) It has the ri.�� take us out of school and compel us to enter military service. We can only become a 1.1' or a doctor by securing a license from the government. If we earn any money, govern• claims a share in taxes. If we are fortunate enough during our lifetime to accunu enough wealth to leave to our children, government may impose an inheritance tax. "t activities as these make government the object of complaint and abuse and cause n people to feel that, at best, government is a necessary evil. The very essence of government is to prohibit, to restrain, to regulate, to compel, an coerce. For example, government possesses the authority to pass laws and the power tn force them. Parents, therapists, and employers may cajole and condemn, but only go\ ment can legally imprison. It regulates the affairs of family and economic enterpn accordance with its conception of public security, morality, and welfare. Of all institut of social control, government is the most inclusive and the most powerful. Here, indeed power so great that no one can safely ignore it. 263 Another picture of government can also be painted. Many years ago, Supreme Court Justice Oliver Wendell Holmes was asked by a young law clerk, "Don't you hate to pay taxes?" Justice Holmes is reported to have answered, "No, young man, I like to pay taxes. With taxes I buy civilization." Some years later, when taxes were much higher, Supreme Court Justice William 0. Douglas made another classic statement about government. He wrote, Government as a Positive Good. Government is the most advanced art of human relations. It dispenses the various services that the complexities of civilization require or make desirable. It is designed to keep in balance the various competing forces present in any society and to satisfy the dominant, contemporary demands upon it. As a result it serves a high purpose; it is the cohesive quality in civilization. People such as those we have quoted think of government as a positive good. They real­ ize there is some truth in Thomas Paine's contention that government is necessary "to supply the defect of moral virtue;' to force us to do right when our moral weakness would lead us to injure one another. For these people, government is more than a "punisher"; it is a promoter of the common good. It is the proper social instrument for positive action to bring the essen­ tials of the good life to all the people. Writers of communist doctrine offered another picture of government. Communism is a theory of social organization based on the holding of all property in common, actual ownership being ascribed to the community or state. Marx, Lenin, 1 and Stalin, 2 for example, portrayed government as an instrument of oppression, "special machinery for the suppression of one class by another." All capitalist governments, so the argument runs, are tools of the rich used to enforce the exploitation of the poor. Capitalist democracy allows the people "once every few years, to decide which particular representatives of the oppressing class should be in parliament to represent and oppress them:' In communist theory, the bourgeoisie is the class that, in contrast to the proletariat or wage-earning class, is primarily concerned with property values. In this way of thinking, machinery for suppression will be necessary only until the inter­ nal and external enemies of communism are converted or destroyed. In general, communist theory pictures government, or at least the coercive powers of government, as an unnecessary evil, to be abolished as soon as possible. In this respect, communist theory resembles that of the anarchists. Communists have always considered government to be an unnecessary evil and have advocated the eventual abolition of all political authority and all instruments of coercion. It should be noted, how­ ever, that although Karl Marx, the early communist theoretician, wrote that there should be an end to the "coercive powers of government" and a "withering away" of the state, the for­ mer USSR and other communist nations found it difficult to follow their own ideology. Communist governments in the Soviet Union and a number of eastern European countries ended not because they withered away, but because they were removed by the very people whose interests, in theory, they were serving. Today there are very few purely communist governments. In China the Communist Party still rules, but it is reducing its pervasive role in the economy. The two countries that come the closest to having pure communist govern­ ments are Cuba and North Korea. In both, there are signs of change. Government as an Unnecessary Evil. Another way to classify people's views of government is by how strong a role they see government playing. Figure 1 3 . 1 represents various classifications of people's views, starting with those who see the least role for government and ending with those who see the strongest. How Powerful Should Government Be? 1V. I. .Lenin, State and Revolution. A good edition in English is the revised edition, New York: International Publishers, 1932. 2)oseph Stalin, Foundations of Leninism, New York: International Publishers, 1939. 264 � 13 Debates about the Nature of Government The Functions and Forms of Government Anarchists Libertarians Reactionaries Conservatives Progressives ��� Figure 13.1 Views of the role of government: Some exaggerated characterizations. Individuals who believe in the least role for government, such as anarchists and liber· ans, argue that government necessarily limits individual freedom in an unacceptable Anarchists are people who believe that the institutions of society, such as private proper!} the state, exploit and corrupt humans. If these authoritarian structures were removed, p� would be free to realize their intrinsic goodness and establish the communal lifestyle imt tive to all human beings. Libertarians are people who advocate greater freedom for indrvr als. They dislike arbitrary authority and argue for active freedom and the free expressior the individual personality. Libertarians, such as the philosopher Robert Nozick, see a rolt a minimal state. They disagree with the anarchists, arguing that we need the state to pn•• defense against other states, but that much of what modern states do is harmful. Next in our classification system come reactionaries. Reactionaries believe that n than a minimal government is necessary, but that the role government currently plays 111 ciety is much too large. They prefer turning back the clock and organizing under smaller role they believe the government played in earlier times. Anarchist, libertarian, and reactionary views are not widely held in the United St.a Most individuals accept the need for government in a form similar to that which we r have. They differ primarily in degree and in the role they see government playing. I most commonly used terms, with their generally accepted descriptions, are the follow Conservatives favor a smaller role for government than currently exists; moder.al favor about the same role for government as exists; and liberals favor a broader rot{ government than exists. These views of government are the predominant ones in 1 United States. By considering the three different views of the role of government, you can see that distinction between liberals and conservatives is not as clear-cut as the listing in the p11 ous paragraph implies. In actuality, liberals tend to see government as a necessary evil thus they favor limiting government's role of infringing on individual rights, emphas111 concepts such as freedom of speech and freedom to worship as one wishes. When liberah was founded, its focus was on limiting the role of government-the position we now conservatism. But over time, liberalism became associated with government establish111 framework within which individuals' freedoms have real meaning, and thereby it bec.t publicans, Democrats, Politicalldeolo!}ies text, we develop a number of classifications of of government, distinguishing conservatives, lib­ and moderates. Most of the political discussion news does not relate specifically to these groups, nstead to two political parties-Republican and Democrats are often classified as liberals Republicans as conservatives, but those classifica­ are misleading. The parties actually are coalitions oups developed to win elections, not to espouse a political ideology, unless doing so will help win elections. Thus, there is no close relationship the two parties and the classifications, the mgs of which are themselves changing. Because the difficulty of equating a political party with a ular ideology, more and more people in the States are classifying themselves as political in­ nts, who will support whichever candidate es­ positions most consistent with their overall at a particular time. 265 This tendency of moderates to pull away from the party affiliations has let small groups of political activists increasingly control the agendas of the two parties-social conservatives in the case of the Republicans and social liberals in the case of the Democrats. These groups often combine with private interest groups, who have no specific political ideology other than to design laws to channel more money to themselves, to control the parties. This leads candi­ dates on both sides to pander to the social activists and private interest groups during primary elections in which candidates are chosen. Then, once they win the primary, candidates portray themselves as more mod­ erate in the general election as they try to put together a winning coalition . W e saw this happening in the 2008 election where initially both John McCain and Barack Obama "played to their base" with McCain emphasizing his conserva­ tive views and Obama emphasizing his liberal views. Then, after Obama won the primary, he moved toward more moderate 'POsitions that were much closer to mid­ dle ground policies than his positions in the primary. associated with increasing the size of government, even though liberalism maintained its view of government as a necessary evil. When conservatism was founded, its focus was on a strong government because con­ servatives saw the government as a keeper of the public morals and, hence, as a potential public good. Therefore conservatives felt that it was proper for government to legislate morality and to tell people what was right and what was wrong. With the rise in the 1 980s of the Christian Coalition political groups in the United States, we can see some of these conservative positions being taken up again. The conservative viewpoint in the United States is also associated with policies such as lower taxes; elimination or reduction of regu­ lation, both of public and private activities; highly structured elementary and secondary ed­ ucation, with frequent tests to be sure students are learning the basics; and an emphasis on the family values of stable marriage and careful rearing of children by the parents. To illustrate, it is the conservatives who generally support the government's right to leg­ islate whether certain sexual activities such as sodomy are legal. Liberals generally oppose the government's right to control an individual's intimate life. In this example, liberals support less, not more, government. New Right conservatives generally support the government's right to control individual sexual practices, because these conservatives see the government as a positive good-as the keeper of the society's moral code. Therefore, on such issues con­ servatives favor a stronger government role whereas liberals favor a weaker government role. Over such issues the commonly accepted distinctions break down. Not all groups fit this classification. For example, you may often hear the term radical. Radicals believe that the existing government must be changed from what it is to something else. They do not necessarily favor a larger or smaller role for government-just a change from the existing situation. Progressives also advocate for change and reform of govern­ ment, but are considered less "radical" than radicals. Theodore Roosevelt was one of the United States' most prominent progressives, and when he ran as a Progressive Party candi­ date in 1 9 1 2, he won the largest share of votes for a third party candidate in U.S. history. 266 � 13 The Functions and Forms of Government Elements of Truth in Each of the Views Forms of Government ; All of these views of the role that government plays in society contain elements of 1 Differences of opinion arise in part from differences in governments and in part fr different functions that every government performs. Governments have been opJ and have exploited the masses; they have at times been almost exclusively concerrh restraining the unruly elements in human society; they have also been used by sm promote by positive means the common good. A rational evaluation of governmen be based on many considerations, and important among these is an examination of tl mary functions of government common to all modern societies. 7-orms of Government Of the many ways to divide governments, none is perfect. The first distinctions we dr democratic, nondemocratic, and partially democratic countries. Both the word and the concept of democracy come from the Greeks: demo5 1 "people" and kratos means "rule." Thus democracy means rule of the people. Demol are governments based on a popular vote; elections decide who will be in power. The map on this page shows one way in which the countries of the world could vided in the early 2000s. About 30 percent were democracies, 25 percent were 1 democracies, and 45 percent were autocracies. (The lines between the various chara(t tions are sometimes vague.) In later chapters, we discuss each in more detail. Here''' ply present a basic overview. Democratic, partially democratic, and nondemocratic governments of the world. There is some ambiguity abo111 democratic a number of countries are, and this list reflects judgments of the author over the last decade. Count/ 1 can change quickly if there is a coup. Almost all countries call themselves democratic. For example, North Komr itself the Democratic Peoples Republic. 267 Democracies Democracy is a word that means different things to different people. To the ancient Greek philosopher Plato, it meant mob rule, or anarchy. To some people today it means capital­ ism; to others it means socialism. Before the nineteenth century, few people in the world considered democracy desirable. But today, comparatively few people will admit opposition to democracy. Now almost every important nation, including the republics of the former Soviet Union, claim to be democratic. In pre- 1 990 Soviet terminology, communism, in which individuals' rights to undertake actions within the economy were limited, was the only true form of democracy. Soviet and some U.S. scholars argued that in capitalist coun­ tries control is actually in the hands of a small group of people-sometimes called the power elite (the wealthy and the autocracy)-and that the so-called democratic states of the West are in reality states serving the interests of the power elite. These arguments may have been correct, but they were discredited by the reality of most of these communist states. In these states, the communist parties were not the protec­ tors of the workers; often they were the exploiters. With their inefficient economic systems, to live well they had to exploit a lot, creating enormous animosity among the people. That's why most people in the Western democracies believed that the communist states were dic­ tatorships. Some people in the West even went so far as to maintain that democracy and any form of extensive governmental interference in the economy, such as they had in the Soviet Union, are in the long run incompatible-that we have one or the other, but not both. That's debatable, but what happened in the communist countries has been an enormously positive advertisement for democracy. As Winston Churchill aptly noted, "It has been said that democracy is the worst form of government except all the others that have been tried." Characteristics of a Democracy. Obviously, democracy cannot be defined in any precise way that satisfies everyone. However, we can clarify some of the concepts and opinions involved. For instance, we can distinguish between democracy as a form of government and democracy as a theory of economic and social relationships. We can describe the characteristics that the West includes under the term democracy and, having done this, we can distinguish between profession and practice and between democratic ideals and democratic realities. In thinking about a democracy, the first thing that usually comes to mind is the concept of popular sovereignty. Popular sovereignty is the right of individuals to select their leaders by voting for them. A state that does not have popular sovereignty cannot be a democracy. We use the com­ plicated term popular sovereignty rather than voting because the mere act of voting does not guarantee that the people decide who will be their leaders. In decid­ ing whether a government is really democratic, we must consider whether popular sovereignty prevails, or whether the voting is simply a matter of form. Universal adult suffrage is not sufficient to make a po­ litical system democratic if the voters have no real choice among candidates. The essential requisite for political democracy is that the people (not a king, an elite, or a class) are ulti­ mately sovereign. Not only are the people the source of all political power, but they also are the masters of any government they establish to serve their interests. The "consent of the governed" means more than passive 1ple demonstrates their belief in popular sovereignty acquiescence; it means the power to control. In order l1c'y demand a complete vote count in the 2000 U.S. for the people to control the government, there must be lential election. 268 � 13 The Functions and Forms of Government (1) freedom of speech, (2) effective legislative organs to represent the people, and ( elections in which the people may change the government by legal and hence p methods. Most modern democrats in the West consider freedom or liberty to be an esserllr ment of democracy. But popular sovereignty means, in effect, majority rule, and tho ways some tension or conflict between majority rule and the ideal of individual There is no way of completely resolving this conflict, but if the ruling majority is rea' tolerant, it attempts to limit personal freedom only in situations in which such fr� would seriously interfere with the freedom and rights of others. Key words that indicate important aspects of the democratic method are free 1 sian, accommodation, compromise, moderation, tolerance, and reconciliation. If these exist to a sufficient degree, the definition of democracy as majority rule is perhaps able. But democracy really means more than majority rule, for in the absence of methods of resolving conflict, a majority can be just as tyrannical as any absolute mo or modern dictator. It means that the majority will respect and guarantee the right' minorities, and that it will allow the minorities the right to try to become the ll1.tl Democracy means that the end, no matter how noble, cannot justify the means. It that no goal, however desirable, is worth the price of sacrificing democratic methods. Democratic Concept of the Individual. Every philosophical, social, and political syst based on ·certain assumptions about the nature of human beings, and no political s can be understood without a knowledge of the assumptions it makes about human their relationship to society and government. Democratic assumptions are world., from those made by dictatorships. Not all democratic assumptions can be scient rf demonstrated, but they are part of the democratic faith and the democratic ideal. I absence of these assumptions, democracy could not operate successfully, for no 1 system of government puts so much faith in the average person or depends so much u average person for its success. Democracy demands that the common people ex. sovereign authority over themselves, maintain freedom, and employ the judgment to secure the blessings of good government. Democratic theory assumes that peopl capable of developing a culture in which individuals will have learned to listen to discu and argument, and in which they will try to discover the truth by a rational weighing'' evidence. It assumes that a human society is possible in which the people will realill they cannot get all they want from government, and that it is therefore in everyone's int to make compromises. In a successful democracy, every important group must be willu make such concessions to the interests of others as are necessary. Forms of Government 269 sharing of respect and power that democracy implies depends on a broad distribution of economic goods and the means of intellectual enlightenment. Further movements toward equality of opportunity will bring closer to full realization the ideal of popular control of government and should improve the quality of popular political decisions. Primacy of the Individual. Democratic philosophy and democratic government put primary emphasis on the dignity and worth of the- individual. Government and society are considered to exist for the individual. The best organization of society-the best form of government-is regarded as the one that enhances the dignity of the individual and provides for the fullest and richest development of personality. The individual is considered to be the primary unit, one whose interests should be served by all social institutions. Individuals are not to be considered as means; they are the ends, for which all else exists. The primary values of liberal democracy are freedom for and respect for the individual personality, and these values provide the basis for resolving the apparent contradictions between other democratic values. For example, freedom and equality are permitted and pro­ moted insofar as they create the best environment for the development of individual person­ ality. Freedom that disrupts social order is prohibited because order in society is necessary for the fullest exercise of the kind of freedom that promotes the development of wholesome personality. Individual or group freedoms that seriously limit the freedoms of either the majority or minorities are curtailed because the g_oal is as much freedom as possible for all, in order that all may lead full and satisfying lives. Complete social equality is not enforced, because such enforcement would destroy the individual freedom required for personality development. The line between freedom and order is a difficult one to draw, and inevitably there will be differences of opinion. At times democracies may have exaggerated the value of individualism and failed to give full recognition to the value of social cooperation for the common good. In a world in which many nations glorify the state and tend to subordinate the individual completely, the democratic emphasis on the value, freedom, and dignity of the individual personality serves as a powerful bulwark to protect the social progress made in Western societies through cen­ turies of struggle. Rationality and the Democratic Way of Life. Equality. Democratic theory holds that all humans should be regarded as equal, 111 ability or in achievement, but in legal status and in their right to seek the good life. It not insist that people are equal in beauty, brawn, and brains; in money and morals; 1 power and prestige, but it does assert that all are equal before the law. It may even b that the basic assumption underlying democratic government is that all-or at least mo citizens potentially are capable of reaching wise political decisions. It follows, thereforl· all should be given equal opportunities to participate in the political process: to vot hold office, to have opinions, and to strive to make their opinions prevail. No indi>� group is regarded as having a monopoly on political wisdom. Equality implies that (H laws apply equally to all and that they will be impartially administered. The democratic ideal of equality has developed considerably in the United States the Declaration of Independence was written and has played an important role in elimin slavery, in expanding educational opportunities, and in stimulating efforts to eliminalt treme poverty. Its work is still unfinished and necessarily always will be, but the widesp Democracy is a Western ideology, and we often think that it is the solution to all political problems. Unfortunately, it is not. For democracy to work, one needs the right environment. The right environment includes a tradition of respect for individual rights, a commitment to solving problems peacefully, a relatively homogeneous population (in which subgroups of the population are not antagonistic to one another), a commitment to minority rights, a commitment to democracy over other obligations such as religion, a generally acceptable distribution of income and wealth, an educated population, a free press, and a commitment to law. In many countries of the world, this environment does not exist, making the establishment of a well-functioning democracy difficult if not totally impossible. Where Democracy Works Best. Alternative Forms of Democracy. The fundamental requirements of democracy are not to be confused with any precise type of governmental organization. Students of government agree that political democracy exists in many forms. It may be direct (as in a New England town meeting, which every citizen can attend) or representative (as it must be in all units with large populations). It may be presidential (as in the United States) or parliamentary (as in Britain, Canada, and Italy). It may be unitary (as in Britain and France) or federal (as in the United States). It may exist where there is either a written or an unwritten constitution, but there must be in some sense a constitution or fundamental law that the government respects. It may exist in a republic (as in the United States and France) or in a constitutional monarchy (as in Sweden and Britain). 270 � 13 Forms of Government The Functions and Forms of Government ng a Guilty Person Go Free The primacy of the individual can be seen in various aspects of life in the United States. One example is Miranda r ights, which were established by a decision of the U.S. Supreme Court in 1 966 ( Miranda v. Arizona). in that case, Ernesto M iranda had been convicted of kidnapping and rape after appearing in a police lineup, being questioned, and signing a state­ ment. The Supreme Court held that the courts cannot use statements obtained by the police whi le a suspect is in custody unless the suspect has been warned of the protection against self-incrimination provided by the First and Fifth Amendments to the Constitution. The Court laid out the points that must be covered. You may have heard them on television crime stories. The M iranda Warning: You have the right to ren silent. Anything you say can be used against you 1 court of law. You have the right to the presence of attorney. If you cannot afford an attorney, one will appointed for you prior to the questioning if you so desire. I f these individual rights are not read to the suspect, or are not understood by the suspect, th i ndividual's statement cannot be used as evidenc against him or her. Other examples of our concerr for the rights of the individual i nc l ude l i mitation on how evidence i s obtained: For instance, i llegal wi retapping and unwarranted search may also be grounds for letting a person who may be guilty go free. Autocracy In the preceding discussion, you saw that the term democracy was far more compl than you might have thought. The same is true of the term autocracy, a governm which a single person or a small group of people has or claims unlimited pOWl'r democracies, autocracies come in many varieties. Antiquity had rulers in the clan, city-state, and empire. The names of some of the great Roman dictators are well k1 Julius Caesar, Augustus Caesar, and Marcus Aurelius. The short-lived and limited dl racy of the Greek city-states was replaced by autocracies under men such as Pisistratu Athenian tyrant. The absolute monarchies that emerged from the disintegration of feudalism 1 Middle Ages constituted the type of authoritarian rule commonly found before the gence in the twentieth century of fascism and communism. Like many twentieth-n autocracies, these earlier absolute monarchies were marked by arbitrary rule, which at tended to become irresponsible. Nevertheless, many of their rulers provided "popul. "benevolent" government. Unlike most contemporary autocracies, the absolute mon.u were fairly stable because usually one hereditary ruler followed another without int n ing any basic changes in society. In modern societies, we generally do not have ah monarchies. Instead, we usually have limited monarchies in which the monarch pi ceremonial role but has little to say in the governing of the country. Despite the trend from monarchies, especially absolute monarchies, more than 25 national monarch remain, holding varying degrees of governing power. British Queen Elizabeth II can over 1 5 countries as her kingdoms, although her real power is effectively none. On the side of the spectrum, Swaziland, Brunei, Oman, Qatar, and Saudi Arabia are still rul almost monarchs. In the twentieth century, various types of autocracies developed in accordant( different conditions in different countries. The two basic types of autocracies that n are the authoritarian and the totalitarian. An authoritarian autocracy is one in which the society is ruled by a dictator or l that forbids all activities that threaten its position. Although this group ruthlessly gu.1 1 power, it generally is indifferent to activities that do not threaten its rule. It wants to because it likes ruling or because it likes the benefits of ruling, such as the enormous I" tial income. The societies of the eighteenth-century empress Catherine the Great of I 27 1 and, in the twentieth century, Francisco Franco of Spain are examples of past authoritarian autocracies, and the military juntas in a number of countries of Africa are examples of cur­ rent authoritarian autocracies. A totalitarian autocracy is one that wants to control all aspects of an individual's life. A totalitarian ruler is different from an authoritarian ruler who does not care who teaches in a school as long as he or she takes no political stand and does not threaten the ruler's power. Put simply, "an authoritarian wants obedience; the totalitarian wants worship." The concept of totalitarianism was not formally introduced until the twentieth century. The reason is that overwhelming dominance of the political authority emanating from a totalitarian na­ tion was not possible until twentieth-century technology succeeded in significantly increas­ ing the scope of the state's control. Most totalitarian autocracies are based on an ideology. With this ideology, they can jus­ tify their actions in terms of the goal of a better world. Nazism and Marxism are two exam­ ples of ideologies underlying totalitarian rule. An authoritarian autocracy is not necessarily better or worse than a totalitarian autocracy. For example, authoritarian autocrats often plunder their countries' wealth, living in splendor while the people they rule may starve. Because totalitarian autocracies are generally based on ideology, totalitarian leaders are often far less interested in wealth for themselves and are more interested in seeing that individuals in their society share their own ideology. Thus, in a totali­ tarian autocracy people can be better off financially but have fewer personal freedoms. Becaus� most of the countries that we classify as autocracies claim to be democracies, to gain a better sense of an autocracy we must consider their arguments about why they do not allow free elections. Here we find ongoing debate about what is meant by free. For instance, some communists argue that when workers depend on businesses for jobs they are not free to express their own will-that their will is just an expression of the capitalists' and power elite's will. They argue that the control of a government by the Communist Party is a temporary expedient necessary to prevent the existing vested interests (the bourgeoisie) from thwarting the state's movement to a higher, freer stage. The theory is that only by accepting some limitation on freedom in the present can citizens under communism achieve true freedom in the future. Given the Justifications Given for an Autocracy. A despot giving orders. 272 � 13 Forms of Government The Functions and Forms of Government upheavals that ended communist rule in most former communist count n justification did not satisfy many of those who lived under communism. In similar fashion, the autocracies of many underdeveloped countries claim t il are merely caretakers, that if they were not in charge, some other group far less ben and far less committed to democracy would take over and eliminate any possibiltt, country ever becoming a democracy. They argue that because the environment c country is not suitable for democracy, they must preserve order so that the envin can be made safe for democracy. They argue that they are not antidemocratic; on tl trary, they are protective of democracy. An example of a relatively beneficent caret,! tocracy is the African country of Uganda, where the president, Yoweri Musevent, I Uganda back from chaos and created the stability needed for economic growth wh it same time maintaining a relatively uncorrupt government. He has tried to be inclu his government, but nonetheless has not allowed significant political opposition, it that with the ethnic hatreds that are so pervasive in Uganda, the country is not yet r � Western-style democracy. This lesser-of-two-evils justification for autocracy goes I the political philosophy of Thomas Hobbes, who justified monarchy in this fashion. Each of these arguments has some validity. Democracy has its weaknesses. to. democracies were developed to reflect Western cultural values and social institution these may not flourish when transplanted. The will of the people is not well defined and concept can be manipulated. Moreover, democracies operate within certain legal framt that restrict individual liberties in certain areas. As recently as the 1 950s here in the l States, during what is called the McCarthy era,3 a congressional body, the House Comt on Un-American Activities, summoned people suspected of being communists or of "fellow travelers" (having friends who are communists) . As a result of their testimon}. fusal to testify, some lost their jobs or could not find work in their professions, and som even arrested and jailed. More recently, as part of the war on terrorism, individuals of I beliefs or origin are being singled out as possible terrorist supporters. They can lose then even be arrested or jailed for having contact with suspected terrorists. Some believe th treatment is a reasonable price to pay to root out terrorism. Others believe it has tram pi the rights of individuals that are supposed to be sacrosanct. Similarly, developing countries often have problems making democracy wor� country with two (or more) separate and opposing cultures, democracy is almost do to failure. Examples include Nigeria, with its many tribes and deep divisions betwc, Christians and Muslims; Iraq, with the Kurds, Shiites, and Sunnis; Afghanistan, w t · many tribes; and the Republic of the Congo, with its many ethnic divisions. Western countries have been frustrated with recent efforts to promote liberal dem1 in Asia, Africa, and Latin America. However, the leaders in the West need to realize and that it is difficult to impose the typical Western model of democracy on non-Western eties, which possess distinct (and often contrary) cultural and sociopolitical characte11 Therefore, classifying a country as an autocracy does not necessarily mean it is bad; it ml· is not responsive to the will of the people in the same way as Western democracies. As we stated earlier, an autocracy is a government that independently of, or beyond, the will of its citizens. It may or may not act contrary h wishes of those it governs. It is important to note that in an autocracy, the people limited means of calling the government to account. Its right to rule does not depen majority support but, rather, derives from power that for authoritarian autocracies c,a an end in itself. However, even in an autocracy, a leader who has lost the support ol people may find it difficult to stay in power. A dramatic overthrow of an autocratic dictator occurred in Romania in 1 989. Nt\ Cea�escu had ruthlessly governed Romania during the cold war and was responsibl 273 numerous human rights violations. When the tide of the pro-democracy movement engulfed eastern Europe in the late 1 980s, Romania was the stage for a massive revolt against the incumbent dictatorship. On December 1 6, 1 989, Ceau�escu declared a state of emergency after hundreds of protestors died during demonstrations in the city of Timisoara. The wave of protest spread rapidly throughout Romania and people openly marched into the capital, Bucharest, demanding Ceau�escu's dismissal. Army units joined the rebellion and on December 22, 1 989, a group calling itself the Council of National Salvation announced that it had overthrown the government. A bloody conflict followed between security forces still loyal to the dictator and the new government. The Council of National Salvation gained control and Ceau�escu and his wife were captured. After a speedy trial, they were found guilty of genocide and were executed on December 25, 1 989. On the same day, Ion Iliescu, the leader of the rebellion, was sworn in as the new president of Romania. In 1 99 1 , a new constitution set up a system by which the president and the legis­ lature are elected by popular vote. Whereas for authoritarian autocracies power is an end in itself (and possibly a tool for personal enrichment) , and they need claim no other justification, for totalitarian autocra­ cies the power is nearly always a means to a higher ideological end. There generally is some belief that the ruling elite possesses the "best brains," the "best blood," the "highest political insight," and the "capacity to rule."4 Autocrats do not expect people to know what is good for them; they tell the people what is best and hope the people will believe it. If the people do not believe it, the autocrats can try to do what is good for them anyway. Of course, they can also listen to the people and carry out popular wishes, either because they believe that is the right thing to do or because they fear an uprising or a coup. Thus, we can have autocra­ cies that are responsive to the general will. They remain autocracies because the decision to be responsive rests with the ruler, not the people. Autocracy and Power. "Frankly, it's no better or worse than any other form of government." 4For example, the classic totalitarian autocrat, Adolf Hitler, wrote, "A philosophy of life which, by reject­ ing the democratic concept of the mass- man, endeavors to give this earth to the best nation, the highest type of human beings, must in turn, logically, obey the same aristocratic principle within that nation and must secure 3Th is era takes its name from a U.S. senator of the time, Joseph McCarthy, who conducted an inf campaign against communists in government and in influential positions throughout U.S. society. leadership and greatest influence for the best brains. It rests on the basis of personality, not on that of major­ ity." Translated from Mein Kampf, Munich, 1938, p. 493 (earlier editions in 1925 and 1927). 274 � 13 The Functions and Forms of Government Forms of Government 275 The central characteristic of the totalitarian autu that came into power after World War I was their policy of controlling the total individuals and private groups. They employed whatever devices they could to possible the effective control by the state of all social activity. The sphere of private frc which democracy attempts to maximize, is narrowly restricted by totalitan Totalitarian government attempts to regulate all of life for state ends. Capital and press and religion, family and fraternal organizations, work and play, individu.1l society-all are subject to strict controls designed to promote the general welfare enhance the power and prestige of the state. Characteristics of an Autocracy. Totalitarian autocracies demand complete loyall obedience to the party and the state. Fascist theory glorified and exalted the state. Soml I of communism exalt the social revolution and require of the individual complete dedK to the objectives of the Communist Party. But under both systems, the political part direct control of the government and determines what government policy will be. Totaht communist states, for example, are the instrument for carrying out the policies 11 Communist Party. Both fascism and totalitarian communism demand that individuals, � there is any conflict, subordinate their own interests to those of the party and the state. In the 1 990s, there were signals of a possible resurgence of fascism in Europe, WII relative success of extremist parties in France, Germany, Italy, and Russia. These movc1 exist, but at least by the early 2000s they have generally remained without effective po Loyalty to the Party and the State. Hitler 's Germany embodied fascist theory. Rule by Leaders. Democracy emphasizes constitutionalism and rule by law; an auto is often characterized less by the rule of law and more by the rule of leaders. Until I England was a complete autocracy and no rule of law limited the ruler's power. In th,ll England adopted the Magna Carta, or "great charter," which forced King John to agrn free men had rights and liberties that could not be trampled on. After King John ace the Magna Carta, his rights were limited, and England took a step from autocrM democracy. As we have stated, autocracies differ from one another, and so do count However, where the power of the autocracy is strong and the ruler or ruling 1 unresponsive to the wishes of the citizens, the autocrat can change the political 1 arbitrarily to meet the purposes of the moment; no law or established procedu1 permitted to interfere with the continued existence and absolute rule of the power holt Under such circumstances, life, liberty, and property are insecure, for a person m.l\ found guilty on false charges without any genuine trial. One-Party Monopoly. Autocracy desires a monopoly on control; it generally toleratt organized opposition, but it sometimes makes use of a political party. The one h1 disciplined party that exists may have begun as a traditional political group strugglinf parliamentary control. Once in power, however, it loses its private character and becoml official control agency of the state. The purposes it serves are very different from those scr by parties in a democracy. It offers the people no alternatives and it gives them no opportu to participate in the formulation of public policy. Its purpose is to serve the organizatu needs of the autocratic leaders and their followers. It provides for close contact between rulers and the people, for the dissemination of the party line, and for the control regimentation of the people in the interest of the rulers. It may, as in China, possess a I 5Benito Mussolini, the fascist leader of Italy between the two world wars, wrote: "For Fascism the SJ an absolute before which individuals and groups are relative . . . . When one says Liberalism, one says thl· vidual; when one says Fascism, one says the State . . . . The Liberal State does not direct the interplay material and spiritual development of the groups, but limits itself to registering the results; the Fascist 1 an stJI a consciousness of its own, a will of its own." "The Doctrine of Fascism" quoted i n William Ebenstein, C Political Thinkers: Plato to the Present, New York: Holt, 195 1, pp. 597, 598. monopoly on the power to nominate candidates. Regardless of its legal position, the state party carries out the will of the autocratic leaders and prevents the people from forming a legal opposition party to challenge the present rulers. Thus the party becomes in practice synonymous with the state; its personnel, policies, and programs become those of the state. A Controlled Press. If a leader is to maintain control without resorting to elections, she or he often finds it necessary to control the press and the other media to ensure popular support for the regime. Propaganda is the product of the state controlling the press and structuring the flow of information to the people in order to make the state look good. Totalitarian autocracies often employ an elaborate propaganda machine designed to secure mass support through intellectual conformity. The people are denied the privilege of hearing any other side of an issue. For these reasons, autocracies often have strong public support, but without a free press and freedom of expression for individuals, it is difficult to say whether that support would exist if people were offered a wider range of choices. When thinking of autocracy, we often think of communism and fascism because the terms communism and fascist Nazism have sometimes been used synonymously with totalitarian autocracy. This is somewhat misleading because communism and fascism are not really types of government. Rather, they are different systems of social, economic, and political theory that have produced totalitarian governments of a similar character. The differences between them are largely matters of detail and ideology, but as we stated at the beginning of the chapter, ideological differences are important. Under communism the totalitarianism is meant to be temporary, and rule by the Communist Party is said to be a transition toward a higher stage of society in which "the State will wither away" because true equality and freedom have been achieved and totalitar­ ian rule no longer has any function. Fascism, originally developed as an ideology to combat communism, does not see itself as a mere stage; it sees itself as a complete system capable of withstanding all assaults. (Adolf Hitler, the German founder of fascist Nazism, proclaimed that the Third Reich, which he established, would last a thousand years-it lasted less than twenty. ) Communism, Fascism , and Autocracy. 276 � 13 Questions for Review and Discussion The Functions and Forms of Government 277 is far from simple. Understanding the role of government is not like understanding mathematics or logic. There is an art to government, and although the goals of govern­ ment may remain constant, the means of achieving those goals may vary with the tem­ per of the times. We could go on about the nature of governments, but you'll learn far more by consider­ ing examples. In the next chapter we look at five governments, some of which are autocracies and some of which are democracies; in Chapter 1 5 , -we consider the U.S. government more carefully. Authoritarian autocracy Right-wing autocracy Left-wing autocracy Com mun ist autocracy Totalitarian auto cracy Fascist autocracy Figure 13.2 Continuum of autocracies. The development of fascism in reaction to communism shows the problem th ologies present to society. The goals of communism (to each according to his need each according to his abilities) sound noble, but when that ideology conflicts with .1 l cratic ideology, one or the other must give. In the 1 930s, communist ideologists argul the democratic ideology must give. Once one group in a democracy no longer accq democratic ideology, it becomes more and more difficult for other groups to accept th itations democratic ideology places on them. For example, if you're playing cards .11 person you're playing with cheats, at some point you are likely either to cheat too u playing. In the 1 920s and 1 930s, fascists argued that because communists were not I' by the rules, fascists didn't have to play by the rules either. In Germany that argumc1 ried the day, and Germany became a fascist state to "protect itself from the commu The ultimate result was World War II. Often fascism and communism are seen as opposite ends of the spectrum-comrm on the left and fascism on the right. It is better to think of a circle, as depicted in Figur At the top of the circle are autocracies without any ideological commitment. Traveling way around the left side of the circle to the bottom would bring us to communism, an1 ing around the right side would end in fascism. Thus, almost at the bottom, but not touching, are communists and fascists. t;overnments Are Far from Simple v Having come to the end of this first chapter on political systems, we are in a better r tion to see why a former Supreme Court justice, Felix Frankfurter, attacked Prl' Warren Harding's view that government, after all, is a very simple thing. Govern w primary functions of government are main­ m i ng internal order and external security, enmng justice, safeguarding individual freedoms, �ulating individuals' actions, and promoting the ncral welfare. h rce contrasting views of government are gov­ n ment as a necessary evil, government as a posi­ w good, and government as an unnecessary evil. hl· liberal, conservative, reactionary, and anar­ lmt philosophies of government differ in their ll'W of how strong government should be. lhl' two primary forms of government are ll'llwcracy and autocracy. • • • • Three distinguishing characteristics of a democ­ racy are freedom of speech, effective representa­ tion of the people, and free elections. The democratic concept of the individual is that he or she is rational, equal to all others, and pnmary. Common justifications for an autocracy include the rep,ressiveness of markets, the need for a tem­ porary caretaker, and the lack of the requirements for a democracy. Four characteristics of an autocracy include loyalty to the party and state, rule by leaders, one­ party monopoly, and a controlled press. me Important Terms hists ( 264) hy (258) 'tarian autocracy ( 270) racy ( 270) ·sie (263) munism (263) rvatives ( 264) racy (262) J\lll (262) functionalist approach ( 257) government (257) justice ( 258) liberals ( 264) libertarians (264) Magna Carta ( 274) moderates ( 264) Patriot Act ( 260) political ideologies (262) political theory ( 262) politics (262) popular sovereignty ( 267) propaganda (275) radicals ( 265) reactionaries (264) totalitarian autocracy ( 27 1 ) estions for Review and Discussion \\'hat are some of the functions of government that make it such a powerful institution? I >istinguish between anarchists and libertarians. What three different attitudes toward government uc predominant in the United States? What are some of the reasons people disagree over the role government ought to play? What does equality mean to you? 6. How do you think a government can administer the ideal of individual freedom without infringing on the freedom of other individuals? 7. Some forms of government advocate individual liberty; some others advocate individual control. Name one or two ideologies on each side and describe what you think each would mean for a citizen under such a government. 278 � 13 The Fu nctions and Forms of Government 8. What are some of the differences between an au­ thoritarian autocracy and a totalitarian autocracy? Name a state governed under each of these systems, and give reasons for your choices. 9. In what ways can communism be said to advocate liberty? In what ways can democracy be said to lead to repression? 10. What kind of government provides opl 1 tions but with only one candidate on tht• t What kind might give voters a choice of dates but have soldiers stationed at the 1 place? tJ vernments he World dinfl this chapter, you should be able to: 9nternet Q uestions history and describe the key features of the French 1. Go to the Frontiers of Freedom website, www.ff.org. What is their mission statement? 2. May 4 marks two different riots/protests in the United States that ended in tragedy. What were the two riots? In each riot, who was protesting, and why were they protesting? What went wrong? 3. Looking at the Homeland Security threat and pro­ tection information at www.dhs.gov, what alert sta­ tus are we in right now, and what does that mean? 4. Who was Idi Amin? Go to http://video.Jo, video-detail/last-king-of-scotland-the-H I amin/285855676 and watch the video. 5. Take the "World's Smallest Political Quiz" 1 Libertarian Party website, www.theadvocat quizp/index.html (accessed June 10, 2009 do you score? If the gods should hand down to mortals, as mortals now are, a perfect system, it would be all banged up and skewed twist­ ways inside of ten years. a history and describe the key features of the Russian -Don Marquis history and describe the key features of the Saudi Arabian 'lor Further Study Aristotle, Politics, trans. H . Rackham, Cambridge, MA: Marx, Karl, and Friedrich Engels, The Communist Air (1848), ed. Samuel H. Beer, New York: Appleton- ( Harvard University Press, 1 944. Arsenault, Raymond, Freedom Riders: Beyond the Crisis in Black America, New York: Gotham, 2006. Crofts, 1955. Micklethwait, John, and Adrian Wooldridge, Th Diamond, Jared, Guns, Germs and Steel: W hy the West Triumphed, New York: Norton, 2006. Nation: Conservative Power Penguin, 2004. Ericson, Richard V., and Nico Stehr, eds., Governing Modern 9/11 Commission Report: Final Report of the lv Commission on Terrorist Attacks Upon the United Societies, Toronto: University of Toronto Press, 2000. Friedman, Thomas L., Longitudes and Attitudes: Exploring the World after September 11th, New York: Farrar, Straus & Philip Zelikow, Commission Executive Directur York: Norton, 2004. Roberts, Cokie, Founding Mothers: The Women Wlw Giroux, 2002. Hayek, Friedrich A., The Constitution of Liberty, Chicago: Our Nation, New York: Morrow, 2004. Tocqueville, Alexis de, Democracy in America ( 1835), < University of Chicago Press, 1 960. Hitler, Adolf, Mein Kampf (1927), Boston: Houghton Mifflin, City, NY: Doubleday, 1 969. WWW Advocates for Self Government www.theadvoc.ll Hobbes, T homas, Leviathan ( 1 651), Baltimore: Penguin, 1 982. WWW American Civil Liberties Union www.aclu.or Holzer, Harold, and Joshua Wolf Shenk eds., In Lincoln's Hand: WWW The Christian Coalition www.cc.org 1962. His Original Manuscripts with Commentary by Distinguished Americans. New York, NY: Bantam, 2008. Locke, John, Of Civil Government, Second Essay ( 1 690), Chicago: Henry Regnery, 1960. The idea behind governments is one thing-how the ideas work in practice is another. In this chapter we try to give some concreteness to the ideas in the previous chapter by provid­ ing a brief description of five governments: France, Mexico, Russia, Nigeria, and Saudi Arabia. Our goal in doing so is not to make you an expert on these governments, but to show you the diversity that exists in governments and to show how the historical context within which each country developed has shaped its specific form of government and how much variance there is among autocracies and among democracies. WWW Department of Homeland Security www.dh' WWW Directory of U.S. Political Parties www.politic' I parties.htm. ench Government France, the country where democracy was reborn, is a good country with which to begin our consideration of governments besides our own. The current system of French govern­ ment developed in reaction to the absolute monarchy that had become nonresponsive to the changing social conditions-specifically, the emerging middle class. Bastille Day is the equivalent of our Fourth of July and commemorates the storming of the Bastille prison in Paris. The French celebrate it every year on the fourteenth of July. The storming of the Bastille in 1789 marked an uprising of the people, the French Revolution-the revolt in France against the monarchy and aristocracy, lasting from 1789 to 1799-and led to a decade of chaos and terror, with the revolutionaries tearing down the political structure and other social institutions of the country but not replacing them. This chaos ended when dictator Napoleon Bonaparte took control. Although Napoleon reversed the process of democratization and returned France to an autocracy, after his reign there was a gradual evolution away from autocracy and toward a liberal parliamentary system that characterizes the French government today. In 1871, after France was defeated in a 279 280 � 14 French Government Governments of the World short war with Germany, the Franco-Prussian War, all vestiges of autocracy were end� the democratic French republic was established. Although the republics of France have always had a written constitution, the I constitution has never been as firmly established as the U.S. Constitution. In fact, thl•r been sixteen constitutions since the revolution of 1789. There is some continuity, ho and their present constitution refers to the Declaration of the Rights of Man, part ' preamble to the original constitution written in 1789. The lack of a stable constitution has made the French people regard laws diffc ·· than they are regarded in the United States, where for many people the law is the Ia· law is right. For the French people, laws are simply technical rules under which th( The difference is not so much in what actually happens in each country-in both people break the law. In the United States, if you break the law (for example, by C\ taxes) you probably feel guilty about it. In France, people often are proud of having h what they regard as mere rules made by people who made different ones last week an I make still different ones next month. The French Parliamentary System France is now organized under what is called the Fifth Republic. Each of its rep1 has had a different constitution. Ever since the Third Republic, established in France has had a modified parliamentary system, modeled after the British parli,t tary system. Perhaps the most distinctive aspect of French government and polit" been their instability. During the seventy years of the Third Republic (1871 I France had more than a hundred prime ministers, each one holding office less than months. This occurred because of the many political parties and the unwillingnc the members of the legislature to compromise. The Fourth Republic, established in after World War II, was even worse than the Third Republic. In response, on Septet 28, 1958, with the country on the brink of civil war, the Fifth Republic was institutl' the Fifth Republic, it is much more difficult for the parliament to vote on a censun r tion, a motion that, if successful, means the prime minister does not get a vote of'' dence and must resign or call for a new election. A vote of confidence is a form.tl constitutionally binding expression of preference in favor of the prime minister h� parliament. The legislative branch of French government is elected every five years and cons1 · two houses: the National Assembly, whose members are elected directly by all citizem age eighteen, and the Senate, which is chosen by an electoral college and provides stror representation for rural areas than does the other house. When there is disagreement tween the two houses, the National Assembly takes precedence. Compared with thl· Congress, however, neither of these legislative bodies has significant power. Once h,t elected executive officers, the executive branch can in many cases both legislate and l out the laws. The strength of the executive branch was a change made in the Fifth Rep1 and accepted because the previous governments had been so unstable. The French Executive Branch The executive branch of the French government has two leaders: a prime minister .11 president. Unlike many parliamentary systems, in France both leaders wield consider power. The president is the head of state and the executive head of government. He or \h elected every five years by direct popular vote. The president appoints the prime mint and together they choose the cabinet. In the 2007 election, Nicolas Sarkozy beat the Socialist party nominee, Segolene Ru and Sarkozy began implementing his pro-market reform. However, the contracting(, edaration or the Rights an and or the Citizen by the National Assembly during the French on August 26, 1789, and affirmed by the tion of 1958. presentatives of the French people, formed into a Assembly, considering ignorance, forgetfulness pt of the rights of man to be the only causes of misfortunes and the corruption of Governments, resolved to set forth, in a solemn Declaration, the , unalienable and sacred rights of man, to the that this Declaration, constantly present to all mem­ of the body politic, may remind them unceasingly rights and their duties; to the end that the acts legislative power and t hose of the executive since they may be continually compared with the of every political institution, may thereby be the respected; to the end that the demands of the citi­ founded h enceforth on simple and uncontestable may always be directed toward the mainteof the Constitution and the happiness of all. In consequence whereof, the National Assembly izes and declares, in the presence and u nder auspices of the Supreme Being, the fol lowing of Man and of the Citizen. Article 1-Men are born and remain free and equal ights. Social distinctions may be based only on derations of the common good. Article 2-The aim of every political association is preservation of the natural and imprescriptible of man. These rights are Liberty, Property, , and Resistance to Oppression. Article 3--T he source of all sovereignty lies essen­ in the Nation. No corporate body, no individual exercise any authority that does not expressly from it. Article 4--Liberty consists in being able to do ing that does not harm others; thus, the exercise the natural rights of every man has no bounds other those that ensure to the other members of society enjoyment of these same rights. These bounds be determined only by Law. Article 5--T he Law has the right to forbid only actions that are injurious to society. Nothing that not forbidden by Law may be hindered, and no one be compel led to do what the Law does not ordain. Article 6-The Law is the expression of the general . All citizens have the right to take part, personally through their representatives, in its making. It must the same for a l l , whether it protects or punishes. 281 A l l citizens, being equal in its eyes, shal l be equal ly eligible to a l l high offices, public positions and employments, according to their ability, and without other distinction than that of their virtues and talents. Article 7-No man may be accused, arrested or detained except in the cases determined by the Law, and following the procedure that it has prescribed. Those who solicit, expedite, carry out, or cause to be carried out ar­ bitrary orders must be punished; but any citizen sum­ moned or apprehended by virtue of the Law, must give instant obedience; resistance makes him guilty. Article 8-The Law must prescribe only the punish­ ments that are strictly and evidently necessary; and no one may be punished except by virtue of a Law drawn up and promulgated before the offense is committed, and lega l ly applied. Article 9-As every man is presumed innocent until he has been declared guilty, if it should be considered necessary to arrest him, any u ndue harshn ess that is not required to secure his person must be severely curbed by Law. Article 10-No one may be disturbed on account of his opinions, even religious ones, as long as the mani­ festation of such opinions does not interfere with the established Law and Order. Article 11-The free communication of ideas and of opinions is one of the most precious rights of man. Any citizen may therefore speak, write and publish freely, except what is tantamount to the abuse of this liberty in the cases determined by Law. Article 12-To guarantee the Rights of Man and of the Citizen a public force is necessary; this force is t herefore established for t h e benefit of a l l, and not for the particular use of those to whom it is e ntrusted. Article 13-For the maintenance of the public force, and for administrative expenses, a general tax is indispensable; it must be equally distributed among a l l citizens, in proportion to their ability to pay. Article 14--AII citizens have the right to ascertain, by t hemselves, or through their representatives, the need for a public tax, to consent to it freely, to watch over its use, and to determine its proportion, basis, collection and duration. Article 15--Society has the right to ask a public official for an accounting of his administration. Article 16-Any society in which no provision is made for guaranteeing rights or for the separation of powers, has no Constitution. Article 17-Since the right to Property is inviolable and sacred, no one may be deprived thereof, u n l ess public necessity, lega lly ascertained, obviously re­ quires it, and just and prior indemnity has been paid. 282 cJu.ptvv Governments of the World 14 Mexican Government Ethnic divisions: Celtic and Latin with Teutonic, Slavic, North African, Indochinese, and Basqu I Population: 62 million (2009) Area: 211,209 square miles (547,030 square km) Distribution: 77 percent urban; 23 percent rural Capital city: Paris National anthem: "La Marseillaise" Government leaders: President Nicolas Sarkozy (since minorities Literacy rate: 99 percent Religion: 83-88 percent Roman Catholic, 5-10 percent Muslim, others include Protestant and Jewish GOP: 2.097 trillion; per capita: 32,700 (2008) Currency unit: Euro Difference between rliamentary and a ential System �r:�cy has many forms. To hold meetings where = $1.4l(Jun. 200 Internet users: 30.8 million (2007) Cell phones: 55.4 million (2007) -·�ntation. The United States has a presidential , but most democratic countries in the world parliamentary system. The difference is found in college. In a parliamentary system, people elect members of the legislature and the legislators the executive leader, generally called a prime r. Thus, in a presidential system, the legislature the executive can be of opposing parties (as France and rising unemployment starting in 2008 led to large labor strikes and demonstr,11 against the pro-market reforms and forced the Sarkozy government to examine the pol ramifications of economic reforms. 11Ze xican Government The government of Mexico is particularly interesting for two reasons: It reveals the bh line between democratic and autocratic governments, and it demonstrates that govern• tal systems still are in the process of change. are of the same party or collection of parties. If the prime minister loses the support of the parliament, the government is said to fall and the prime minister must , the people elect the leader, called the presi­ M8dlterranean Sea controlled by the Republicans). In a parliamentary sys­ tem, the majority in the legislature and the executive call for a new election or resign. by direct election or indirectly through an elec­ North Atlantic Ocean Clinton, a Democrat, was president but Congress was when countries have millions of people. elects the leader of the country. In a presidential 2007) Prime Minister Francois Filion (since 2007) happened in the United States in the 1990s when Bill in the country can come and be heard is im­ every democracy must establish systems of Monetary conversion rate: 1 euro 283 Parliamentary systems also often have presidents, whether elected by the legislature or by popular vote. The job of a president in such a system usually is to be a functionary-that is, to attend receptions and play a largely ceremonial role. In Great Britain, the king or queen serves the function that a president serves in other parliamentary systems. France presents an exception to both the parliamentary and the presi­ dential system. In France, the president is elected by popular vote and then appoints the prime minister from the party or coalition of parties that rules the legislature. Mexico is ostensibly a democracy-it has multiple parties and holds popular elec­ tions-but until 1988 the nature of those elections left no doubt as to who would be the chosen leader, and Mexico was ruled as an autocracy. But in 1988 this changed, and in 2000 Vicente Fox, a politician from a non-ruling party, won the general election for president. To understand the current political situation in Mexico, we need to consider its history. Mexico won independence from Spain in 1821 and initially set itself up as a monarchy, but the monarchy was quickly overthrown and replaced with a republic marked by political and social confusion. In 1848, Mexico lost the Mexican-American War to the United States, and with that loss went about half its territory, including Texas, New Mexico, and parts of what are now eight other states. The loss of that war led to a civil war in Mexico and ultimately to the country's annexation by Napoleon III of France. In 1867, Mexico again won its inde­ pendence, and Porfirio Diaz established a liberal dictatorship known as the Porfiriato. It was conducted under the general ideas of the liberals who had won the civil war: the rule of law, a strong federal­ ist government, and the separation of church and state. These ideas are reflected in Mexico's current constitution as well. What the 1867 constitution did not provide was equity, and the growth of the Mexican economy at that time was marked by a major transfer of land from the peasantry to a group of rich landowners and by a labor force with few rights. This transfer resulted in significant social unrest, characterized by strikes and revolts that were suppressed by the government. Although Mexico called itself a democracy during this time, while Diaz was in power no one ever ran against him. However, the repressive measures of the early 1900s resulted in the growth of an opposition party that looked as though it had a chance of winning until the opposition leader was thrown in jail. The 284 � 14 Governments of the World Mexican Government jailing of this leader led to a revolution, the establishment of the modern Mexican stall new constitution in 1917. This new constitution reflected the social problems of the pr period. Specifically, the new constitution followed the old in maintaining a federal fl' but it took strong, definite social steps. For example, private ownership of land was no ' a right-it was a privilege that could be revoked by the state at will when land owner't not serve a positive social function. Labor was given the right to strike, an eight-hour W• day, and a minimum wage. Compared to the U.S. Constitution, this Mexican constitutrc much more specific and dealt more extensively with social and economic concerns. xi co Ethnic divisions: 60 percent Mestizo (lndian-Spanr 30 percent Amerindian or predominantly •I Population (approximate): 111 million (2009) Area: 761,605 square miles (1,972,550 square km) Distribution: 77 percent urban; 23 percent rural Capital city: Mexico City National anthem: " Mexicanos, al grito de Guerra" ("Mexicans, to the Cry of War") Government leader: President Felipe Calderon (since 2006) Amerindian; 9 percent white or predominantly white; 1 percent other Literacy rate: 91 percent Religion: 76.5 percent Roman Catholic; 6 percent Protestant GOP: $1.559 trillion; per capita: $14,200 (2008) Currency unit: Peso Monetary conversion rate: 1 peso (Jun. 2009) = $.076 Internet users: 23 million (2007) Cell phones: 68 million (2007) U.tTQ,UA'rU Pacific Ocean AMERICA 285 Politically, the constitution created an extremely powerful president who came close to choosing his or her successor. The legislative body consists of a Chamber of Deputies and a Senate, both of which are elected by popular vote. The president can serve only one (six­ year) term. To end the political turmoil that existed under the former constitution, the 1917 con­ stitution gave the president enormous power. The president has the line-item veto, which means the power to veto any part of a bill, leaving the rest of it intact. This line-item veto makes legislative compromises difficult because the president has the power to accept part of the compromise and reject another part of it. The president also has the power to declare a state of siege, which gives him enormous police power, and he can appoint a cabinet with­ out consulting the legislative body. Although the constitution guarantees a strong president, the actual bureaucracy and insti­ tutions have given the president almost dictatorial authority. With the government controlling so many economic rights, individuals are indebted to the president for their jobs. For example, to pick through garbage you must belong to a union, the leader of which is appointed by the president. The union leader's job is to deliver the members' votes to the government. As we stated earlier, the constitution gives individuals significant social and economic rights and gives the government-and hence the president-power to implement these rights. The result is a large, bureaucratic government structure with deep involvement in most aspects of economic and social life. The members of this bureaucratic structure are appointed by the government, to which they owe their allegiance. After the revolution, the Institutional Revolutionary Party (PRI), the political party that was by far the most important, took control of the bureaucratic apparatus and used it to stay in power. The PRI remained the ruling party for more than seventy years. It instituted land reform-the redistribution of land from the large landholders to the middle-sized farmers and the peasantry-that was carried out under Lazaro Cardenas, one of the most fa­ mous presidents of Mexico. He redistributed almost 50 million acres of land from rich land­ lords to peasants, but instead of giving ownership of the land directly to the peasants, he gave it to a communal ejido, or cooperative, the leader of which got much of his power from the government. The ejido leader delivered the votes and could maintain his or her little fiefdom. Similar fiefdoms existed in most industries, and there are about 200 decentralized joint government/private agencies such as Pemex, the agency that controls Mexico's oil industry. The dominance of the PRI began to wane in the late 1980s amid scandals, accusations of corruption, and even blatant electoral fraud. Politics in Mexico entered a transition period to a more American form. A severe recession in 1995 along with domestic unrest forced Mexico to adopt many financial and social reforms. These measures, meant to en­ courage international investment, further weakened the PRI. President Ernesto Zedillo, the PRI president in the late 1990s, made significant political concessions to the opposition. Congress was given a much greater role in the political process while the role of the presidency was significantly reduced. Electoral and judicial reforms were enacted to boost confidence in the Mexican political system. In recent years, Mexican elections have been fiercely competitive, the PRI, National Action Party (PAN), and the Party of the Democratic Revolution (PRD) are the three main parties. The very fact that elections have be­ come competitive means there have been major changes in the Mexican bureaucratic structure. The 2006 election represented a turning point in Mexican politics. It marked the first time Mexican politicians utilized mass media and an "American style" campaign to reach voters. It was a true election and suggested a shift away from a "who you know" system of government to a "how well you can campaign" system of government. The election repre­ sented a turning point because it was accepted as legitimate and all parties ultimately ac­ cepted the results. For a while, it didn't seem as if this would be the case. Specifically, when Felipe Calderon, a conservative PAN candidate, defeated Lopez Obrador, a liberal PDR can­ didate in a close election, Obrador supporters initially tried to overturn the results with sometimes violent demonstrations, riots and protests. Ultimately, these demonstrations 286 � 14 Governments of the World Nigerian Government 287 The British Influence The British became interested in West Africa at the time of the slave trade. British-based companies such as the Royal Niger Company occupied the region. As the companies slowly gained influence, so did the British Empire. This growth eventually climaxed in the establishment of the Protectorate of Nigeria at the beginning of the twentieth cen­ tury. Despite the revocation of the charters of several of the British companies, the influ­ ence of the British government in the region continued to grow. With colonization un­ der way, an influx of Christian missionaries brought churches and schools to the predominantly Muslim region. Within the first few years of the new century, several protectorates had been established, growing outward from the original stronghold in Lagos on the southern coast. Each protectorate came under the authority of a lieutenant-governor, whose job was to keep order and generate revenue for the British government. Slow steps toward unification of the separate regions were taken in 1906, with the incorporation of Lagos into the Southern Protectorate. Several ideas were proposed to unify the remaining regions, and Supporters of Mexican presidential candidate Andres Manuel Lopez Obrador Government leader: President Umaru Musa Yar'Adua demand a ballot-by-ballot recount of the 2006 election. (since 2007) Ethnic divisions: 29 percent Hausa and Fulani; 21 percent Yoruba; 18 percent lgbo; 10 percent ended, and Calderon was accepted by the large majority of the Mexican public as tht mate president. The acceptance of the vote was seen by many outside observers as triumph for the Mexican electoral system and a testament to the progress they mad the days when the PRI controlled government. ljaw; 4 percent Kanuri; 3.5 percent lbibio; 2.5 percent liv Literacy rate: 68 percent n (approximate): 149,229,090 (2009) : 356,668 square miles (923,768 square km) bution: 48% urban; 52% rural nigerian Government 10 percent indigenous beliefs GDP: $338.1 billion; per capita: $2,300 (2008) city: Abuja Currency unit: Naira I anthem: "Arise 0 Compatriots, Nigeria's Monetary conversion rate: 1 naira= $.0068 (Jun. 2009) Call Obey" The next country we consider, the African country called the Federal Republic of N provides a good example of the problems faced by many of the former African Eur colonies. To understand the problems and government of Nigeria, it is helpful to takl· look at the nation's precolonial and colonial history. The roots of Nigeria lie in it' foundations, with each tribe representing a unique blend of language, religion, and Cl The three main tribes occupied separate geographic areas in the region: Muslim tr il the North and Christian tribes in the south, but in Nigeria these religious differem tied to major cultural differences as well. Before British colonization, there were three distinct tribal regions with mam regions. But for administrative ease, the British grouped together these three regu Lagos, the Niger Coast, and the Northern Protectorate-into the area that came known as Nigeria. Today, it remains a country of more than 250 ethnic group varying languages and customs. Its official language is English, which was cho facilitate cultural and linguistic unity. Nigeria's other major languages are I I Yoruba, and Igbo. Since its early beginnings, through colonization, to the emergence of its first d cratic republic, to now, the history of Nigeria has been marked by ethnic conflict, civr and military rule. Since gaining independence from the British in 1960, Nigeria ha gressed through three separate republics and survived the aftermaths of their coli With intervention from Western powers, the most recent-the fourth republic-hoi mark the final chapter in the history of this important African country. Religion: 50 percent Muslim; 40 percent Christian; Internet users: lO million (2007) Cell phones: 40 million (2007) 288 � 14 Russian Government Governments of the World by 1914 the British had established the unified modern tions of Nigeria with Sir Frederick Lugard serving as its fit nor. He set up an advisory body known as the Nigerian 1 that featured representation from each former protectot limited input from the African natives. Meanwhile, the National Congress of British West AI tablished itself as a growing force in the region. Though 1 fights with the British government failed to establish this part of the legislative council, native Africans slowly gaint representation. In 1922, the British Empire ratified the fir�l tution of Nigeria. However, the constitution failed to gt\ weight to all of the former protectorates, and it contitH strategy of indirect rule of the northern and predom Muslim areas by the Christian southern areas. Over th Britain made numerous efforts to unite the northern and ern regions of Nigeria. At the same time, changes to the ll• tion combined with growing nationalism led to a push tO\\ tiona! sovereignty. The sixty years of British rule were marked by Will fights for independence. With each of these fights, Brtl President Olusegun Obasanjo lowed greater local Nigerian self-government, and creat< of Nigeria. ous constitutions that were meant to demonstrate the efti self-rule. Ultimately, Nigeria was given its independence 11 and it established a republican parlimentary system of government. However, Britain found it difficult to govern the diverse cultural areas that made up the coun too did the elected Nigerian government. It faced fighting among political partu compromising religious division, and a lack of cohesiveness between the former 1 torate regions. These problems set the stage for subsequent upheavals and constan sitioning through various governmental structures. A military coup in 1966 ovu the first republic, which led to civil war and enormous turmoil. Eventually, in 197f.J ond republic was created, this time as a presidential system, but in 1983 it too endt coup and military rule. At about that time, Western countries become interested in Nigeria, in large p cause it was becoming an important oil-producing country in the world. They playl·d in the establishment of a third republic, which resumed elections and attempted to C\1 a two-party system. Nigeria emerged as a somewhat stable democracy in 1999 with the creation fourth republic. While this republic has been marred by a pattern of violence and Ct\ rest that undid the first three republics, it has survived even though it is charactert many of the inefficiencies and problems that plagued previous republics. Still, it is WI and in the 2007 election Umaru Yar'Adua of the People's Democratic Party (PDI' elected president, even though his election was marred by claims of electoral frau criticisms from both candidates and from international observers. A couple of points are worth noting in this history. First, the geographic area th came Nigeria did not develop organically, but was imposed by the British to make co rule easier. The combination of diverse cultural regions is problematic because Ni11 often see themselves first as tribal members, then as Nigerian citizens. Second, Nigct oil wealth, which one would think is a blessing, but which, in many ways, is a cuN problem is that the oil wealth creates a prize to fight for, making it difficult for Nt non-oil-producing regions to accept a breakup in the country, because then they wou none of the wealth. At the same time, that oil wealth provides a strong reason for II producing regions to support a breakup because then they would reap the financial h1· from the oil. Oil wealth also means that outside interests will fund the side that pr11 289 them some of that wealth. Consequently, the civil unrest that has marked recent Nigerian political history may continue for a long time. Modern Nigeria's Government: The Fourth Republic Though British rule was not especially successful, the constitutions that Britain created to govern Nigeria became important guides for the development of the modern state of Nigeria. First, the legacy of British rule led to the creation of a government with both a leg­ islative and executive branch; second, it led to the establishment of a system of common law based on British common law; and third, it spurred the creation of political parties. In short, the constitutions embodying British ideas became integrated with domestic Nigerian traditions to create the modern structure of the Nigerian government. In addition to the national government, Nigeria has various regional governments, and is divided into 36 states and 774\ocal governments. This large number of local governments is an attempt to provide a degree of home rule to the many different tribes that make up Nigeria. The fourth republic can be considered a transition republic as control has shifted from the military rule of the third republic to civilian rule. Nigeria uses a presidential system in which the president serves as both chief of state and head of the government. Nigeria has a bicameral legislature. The Senate has 109 seats-three from each state plus one from Abuja, and its members are elected by popular vote to serve four-year terms. The House of Representatives has 360 seats with its members also elected by popular vote for four-year terms. There are two main parties, the People's Democratic Party (PDP) and the All Nigeria Peoples Party (ANPP). In the 2007 election, the PDP won the majority of the seats in both houses. Also in 2007, PDP candidate Umaru Yar'Adua was elected in a disputed election. He was the first civilian and university educated leader of Nigeria and has looked to increase development programs, establish peace in the Niger delta, and fight corruption. Nigeria's legal system is composed of four distinct systems of law: English law, common law, customary law, and Sharia'ah. Sharia'ah is a form of Islamic law that gets significant press in the West because its punishments are often considered harsh by Westerners. Sharia'ah is practiced primarily within the northern states of Nigeria, but it is being slowly introduced elsewhere in the country. The judicial system has a Federal Court of Appeals ap­ pointed by the federal government, and a Supreme Court whose members are appointed by the president. The history of the Nigerian government demonstrates the problems that multicultural­ ism presents for democracy. For a democracy to work, its people must share certain values, one of the most important of which is that people will not resort to armed conflict even when they feel they have been wronged. That value depends on a level of goodwill and be­ lief that others will not take advantage of situations when they are in power. Because of the diversity in Nigeria, that goodwill often doesn't exist, and Nigeria continues to struggle with the problems imposed on it by its colonial history. It is trying; on its website the Nigerian Embassy concluded its discussion of its government with the statement: The administration is determined to transform the country, in line with democratic princi­ ples, into a land of opportunity, equity, of government's use of dialogue and progress and prosperity for all. Outside observers can only hope that they succeed. ssian Government In 199 1, the Union of Soviet Socialist Republics (USSR) ended and the republics that made it up each became independent states, connected by history and a loose commonwealth. To 290 � 14 Russian Government Governments of the World understand the current government in Russia, we need to consider the history of thl Soviet government, which began in 1917. Before that time, the Soviet Union, then kru the Russian Empire, was a centralized autocracy ruled by czars. World War I created economic difficulties for the Russian Empire and led to political confusion and civil 1917, the Bolsheviks, members of the more radical majority of the Russian Democratic party, under the leadership of Vladimir Lenin took over the Russian ment and, after winning the civil war, established control over the country. In 1922 designed a federal type of constitution that incorporated republics surrounding Ru' publics that had previously been part of the Russian Empire. The constitution mar� beginning of the USSR. Although it was revised in 1936 and again in 1977, this const1 was, in many of its parts, the same one in force until the 1991 breakup of the Soviet l A key element of that constitution and the government of the Soviet Union was th tionship between the government and the Communist Party. Article 6 of the earlier constitution stated: "The Communist party of the Soviet Union is the leading and g1 force of the Soviet society and the nucleus of its political system and of all state and 1 organizations." The Communist Party's dominant control of the Russian government meant th government was largely a rubber stamp and administrative institution for carryin policies made by the party. There was a radical change in the Russian political system late 1980s when Soviet leader Mikhail Gorbachev introduced a number of liberaliw forms. These reforms reduced the power of the party and unleashed a wave of nation and economic upheaval. The chaos preceding the breakup of the union upset a number of communist k and in 1991 a group of them attempted a coup d'etat-an extraconstitutional takeoVl country. That coup failed because the military and a majority of the people in the ft Soviet Union resisted, and leaders such as Boris Yeltsin, the head of the Russian repubh fused to accept the coup and began a struggle against it. The coup leaders were arrestl't the Soviet Union ceased to exist. Each of the republics claimed its independence. II 1990s a number of the republics joined together in the Commonwealth of Indep<.:t States, but it was primarily a symbolic organization. Chaos reigned in the early 1990s in all the cou1 that made up the former Soviet Union. After the ahc coup, the Soviet Union broke apart. The legi'l branch of the government, the Congress of Pco Deputies, dissolved itself, and the republics ded themselves independent. Russia, the largest of tht publics, took control of most of the former Soviet ernment. Russia created a governmental system consisting president and a legislative branch, called the Congrl· People's Deputies. The two branches of government sh roughly equal powers, causing many gridlocks in polin cisions in the early years. A new constitution in 1993 crl a stronger president but also maintained a Federal ASSl'l composed of an upper Chamber of the Federation .11 lower State Duma with checks on presidential power. In 1999, Vladimir Putin was elected pres11l Throughout his eight years in office, he was an extrac narily popular president, in part because he brought st ity back to Russia, and in part because he brought 1 back to being Russian. Because of a two-term limitaticu service as president, he could not run for election in > Prime Minister and former President Vladimir Putin of Russia. but his handpicked successor, Dmitry Medvedev, won 29 are Armenia, Azerbaijan, Belarus, Estonia, Georgia, Kazakhstan, Kyrgyzstan, Latvia, Lithuania, Moldova, Tajikistan, Turkmenistan, Ukraine, and lation (approximate): 140,041,247 (2009) 6,592,800 square miles (17 ,075,200 square km) : 73.3 percent urban; 26.7 percent rural city: Moscow anthem: "Hymn of the Russian Federation" (for­ merly "The Patriotic Song" and "God Save the Tsar") Mrnment leaders: President Dmitry Medvedev (since 2008); Prime Minister Vladimir Putin (since 2008) Soviet Union: Russia is the largest country of the former Soviet Union. The other new countries Uzbekistan. Ethnic divisions: 80 percent Russian; 4 percent Tatar; 2 percent Ukrainian; 1 percent Bashkir; 1 percent Chuvash; 12 percent other Literacy rate: 99 percent Religion: 67 percent atheist; 15-20 percent Russian Orthodox; 10-15 percent Muslim; 2 percent other Christian GOP: $2.2 trillion; per capita: $15,800 (2008) Currency unit: Ruble Monetary conversion rate: 1 ruble= $.032 (June 2009) Internet users: 30 million (2007) · Cell phones: 170 million (2007) Pacific Ocean RUSSIA 292 � 14 Saudi Arabian Government Governments of the World he Russian Federation nationality, or religion�. The Constitution declar right to life, to freedom, to personal inviolability principles of freedom of movement, freedom of T he current Constitution o f the Russian Federation came into force in December 1993, following its approval by a majority of participants in a nationwide plebiscite. It replaced the Constitution (Fundamental Law) originally passed on April 12, 1978, but amended many times after 1 990. The Principles or the Constitutional System The Russian Federation (Russia) is a democratic feder­ ative, law-based state with a republican form of gov­ ernment. Its multiethnic people bear its sovereignty and are the sole source of authority. State power in the Russian Federation is divided between the legislative, executive, and judicial branches, which are independ­ ent from one another. Ideological pluralism and a multiparty political system are recognized. The Russian Federation is a secular state and all religious associations are equal before the law. All laws are made public and in accordance with universal l y acknowledged principles and with international law. pression, and freedom of conscience are uphel Censorship is prohibited. C itizens are guarante right to vote and stand for election in state and elections and to participate in referendums. The Or!,!anization or the Federation There are eighty-nine members (federal territorial units) of the Russian Federation. Russian is decl the state language, but all peoples of the Russian Federation are guaranteed the right to preserve th native tongue. The President or the Russian Federation The president is elected to office for a term of four years by universal, direct suffrage. The same ind1v• ual may be elected to the office of President for no more than two consecutive terms. T he president m appoint the Chairman of the Government of the Russian Federation, with the approval of the State Duma, and may dismiss the Deputy Chairmen and • federal ministers from office. Human and Civil Ri!,!hts and Freedoms T he basic human rights and freedoms of the R ussian Source: Eastern Europe and the Commonwealth of citizen are guaranteed regardless of sex, race, Independent States, London: Europa Publications, 1 994 landslide after hardly campaigning. After the election, Medvedev appointed Putin a� I Minister, and together they have been popular in Russia. T hey have remained less pt in the West, as they have tried to exert Russia's influence on the world political scene. Saudi Arabian Government Unlike the other four countries we have considered, all of which are, to varying d� democracies, Saudi Arabia makes no such claim. It is a monarchy, and it provides us W I example of an authoritarian autocracy. T he Saudi Arabian government is relatively modern; the present kingdom was lished in 1932. Before that time, what is now Saudi Arabia, like the other countries 1 Arabian peninsula, was a collection of tribes generally following Islamic religious tradll Life in the individual tribes and among the various tribes was governed by those trad1 and by the Qur'an, the primary Islamic religious body of writings. Until the twentieth tury, no single, long-term leader emerged from this collection of tribes. That changed in the early 1900s when Ibn Sa'ud conquered most of the tribes in n Arabia and became the political and spiritual leader of the Bedouin tribe. He extend�· authority during the first third of the twentieth century and created the kingdom of \ Arabia in 1932. T he kingdom has no written constitution, relying instead on historical precedent Qur'an, and royal decrees as its guides. T here are no legislative bodies and no political 293 ties. It is in a very real sense an absolute monarchy. But even absolute monarchies have their limits. Although the Saudi state has no con­ stitution and no laws that restrict the king's powers, the Qur'an and historical custom limit what the king does, and over time a quasi­ constitutional system has developed. T he ruler is chosen by mem­ bers of the royal family from among its members, subject to the ap­ proval of a group of Muslim leaders (the ulema). T he ulema can remove the ruler, and he is also dependent for support on tribal leaders and, more recently, on important businessmen. Notice that there is no question of female rule in Saudi Arabia, because Islam's view of women precludes them from taking any such role. Running a government is too much for any one person, and in 1953 King Sa'ud created a Council of Ministers to assist him, with a prime minister playing a significant role partially independent of the king. The prime minister appoints the Council, along with other advisory councils who assist him in both legislative and exec­ utive matters. T his dual power base created a tension between the king and the prime minister that was temporarily resolved when the prime minister, Prince Faisal, became king in 1964. King Faisal was assassinated in 1975 and the tension returned. King Faisal's successor was King Khalid, who died in 1982. Khalid was followed by King Fahd, who solved the tension by naming himself as prime minister. When King Fahd's health became frail, his cousin, Crown Prince Abdullah, was named prime minister. King Fahd died in 2005 and Abdullah became King. As is the case with many governments, especially those established in the twentieth cen­ tury, the Saudi system of government is still evolving. In 1980, a committee was established to define a basic system of rule based entirely on Islamic principles. In 1992, the committee reported to King Fahd, who set up a sixty-one-member Majlis Al-Shura, or Consultative Council. T his council could make recommendations to the king and prime minister but would have no ability to make law (the king retained that right). He also reorganized provincial administrations and formalized the existing system of government, keeping the throne in the al-Sa'ud family in perpetuity. Although King Fahd announced that the political system would be directed by Sharia (Islamic law), he recognized that the public expects the Majlis to be more than another rubber-stamping institution with the sole purpose of legitimizing the regime. Upon taking office, King Abdullah declared that he would like to see the Majlis and the thirteen regional councils ( composed of 210 appointed ministers) play a more influential role in policymak­ ing in the future. However, it is still uncertain how responsive the royal family will be to the advice of these ministers. People tolerate strong autocracies in which they have little or no power for numer­ ous reasons including military force wielded by the government, historical precedent, fear of the chaos that a change would bring, or satisfaction with the existing state of affairs. In the Saudi case, despite the enormous income taken by the Saudi monarchy, the Saudi people are relatively satisfied. The reason is the huge amount of oil income received by the government that allows it to undertake numerous social projects for the people. For example, all Saudis are entitled to free medical care. T hese projects are financed without significant taxation, even while providing lavish lifestyles for the Saudi royal family. T he Persian Gulf War of 1991 eroded the ability of the monarchy-led government to " buy its legitimacy." Low oil prices squeezed the government budget and led to severe austerity measures in the mid-1990s. Although those measures were somewhat relaxed by 1997, agitation against the absolute monarchy of the al-Sa'ud family has continued to increase. King Abdullah has continued modernizing and is in negotiation for member- 294 � 14 Governments of the World Saudi Arabia Future Changes in Governments Government leader: King and Prime Minister Abdullah bin Abdul Aziz ai-Sa'ud (since 200rs Ethnic divisions: 90 percent Arab; 10 percent Afro-Asian 29 5 the United States is the United States' strong support for Israel, which has fueled anti­ American feeling in Saudi Arabia and throughout the Middle East. If Saudi Arabia does evolve into a democracy, which the United States has stated that it ostensibly wants, the result will likely be a government far less supportive of U.S. policy than the current government. Literacy rate: 79 percent Population (approximate): 28,686,633 (2009) Area: 830,000 square miles (2, 150,000 square km) Distribution: 82 percent urban; 18 percent rural Capital c ity: Riyadh N ational anthem: "As-salaam al-malaki as-Sau d " ("Royal Salute o f Saud ") Religion: 100 percent Muslim GOP: $583 billion; per capita: $20,700 (2008) Currency unit: Riyal Monetary conversion rate: 1 riyal $0.267 (June = 2009) Internet users: 6 million (2007) Cell phones: 28 million (2007) me Lessons about Governments This survey of governments of the world should give you a sense of the variety and diversity of governments-both democratic and autocratic. From it you can see that there are many types of democracy and autocracy and that it is difficult to compare one with the other. A number of general points about governments can be made: 1. Governments reflect their history (for example, the Nigerian government reflects its British heritage, and the strong French government reflects its unstable history). 2. Governments are evolving. France, Nigeria, and Saudi Arabia do not have the same governmental structure they had fifty or sixty years ago, and the Soviet Union no longer exists. These countries are unlikely to have the same governmental structure fifty years from now as they have today. The rate of change depends on the historical tradition as current government practices become embodied in society and place limi­ tations on change. 3. Autocracies are more likely to change than long-standing democracies. The reason is that the process of change is easier. When the former Soviet Union decided to change governmental form, it could do so relatively easily compared with the United States. Saudi Arabia would be able to do so even more rapidly. 4. Changes in autocracies occur from within as much as from without. The changes in the Mexican and former Soviet governments are examples. Often the process of liberaliza­ tion brings about opposition that otherwise would have been silent or suppressed. More rules and insights are embodied in the examples, but we leave them for you to draw out. Arabian Sea Saudi Arabia ship in the World Trade Organization (WTO) and is trying to liberalize Saudi Aral policy toward foreign investment. The country's oil revenues constitute more th,u percent of its annual budget, and therefore its economic health goes up and down � oil prices. The Saudi government finds itself in a difficult position. Internally, the u l \ religious Sunni Muslims advocate a return t o more strict Islamic tradition while c � nally it faces intense criticism from human rights groups and Western-oriented S.u who call for increased democracy, less strict punishments for criminals than Shariah, and equal treatment for women under the law. In 2005, municipal elect1 were held, and were seen by some outside observers as a first step toward democral the kingdom. The westernization of Saudi Arabia has infuriated a number of Saudis, such as rich I nessman/terrorist Osama bin Laden, who masterminded the 9/ 1 1 attacks on the Un States. What makes it so difficult for Saudi Arabia and other Islamic states to be friendl y\ uture Changes in Governments What does the future hold for these and other governments? As usual, it is unclear. We are likely to see significant changes in the structure of government of the republics of the for­ mer Soviet Union and some Middle Eastern autocracies such as Kuwait and Saudi Arabia, as well as many eastern European countries. If the coming years hold prosperity and coun­ tries manage to avoid all-out war, the present forms of most other governments are likely to continue. If the economic and social conditions worsen, however, more changes can be expected. And if there is a major nuclear war, who knows what will remain of government, culture, or society? Obviously, we hope such major changes will not occur because of war, but current troublesome social and economic conditions could dash those hopes. Some of these social and economic conditions are high unemployment rates in many countries, including much of industrialized Europe; the proliferation of destructive weapons systems in areas of the world where social, political, economic, and religious quarrels are al­ ready disrupting ordinary life; repression and denial of opportunity to large populations in some countries; widespread financial hardship in some countries burdened with heavy debt they owe to more prosperous nations; and environmental pollution that threatens to change whole areas of the world. Fortunately not all of these conditions exist in any one country, and it is always possible that diplomacy and, ultimately, good sense exercised by governments will enable the compromises and adjustments necessary for peacekeeping to prevail. 296 � 14 For Further Study Governments of the World h Vladimir Putin. According to the reporter, was Putin chosen as the 2007 TIME Person of Year? According to Putin, what is a country's reign right? Key Points • • • The French government is a parliamentary democracy with both a president and a prime minister. The Mexican government has been a partial au­ tocracy ruled by the PRI, but it is moving toward a competitive democracy. The Nigerian government is a republic whose po­ litical instability in large part reflects its colonial heritage. • • • The governments of republics of the fu Soviet Union are in a state of transition. The Saudi government is an autocracy I largely on Islamic principles. Some lessons about governments that (,1 drawn from these examples include the folio governments reflect their history, governu are changing, autocracies can change quickly autocracies often change from within. r further Study Bastille Day (279) Bolsheviks (290) censure motion (280) coup d'etat (290) n, N., The Kingdom of Saudi Arabia, rev. ed., London: , Rachel, Thicker Than Oil: America's Uneasy Partnership 11/r Saudi Arabia, New York: Oxford University Press, Kathleen The Struggle Bruhn, for and Emilio Zebadua, Democratic Development, lkrkeley: University of California Press, 200 I . n, r T homas W., Understanding Islam: An Introduction the Muslim World, New York: Penguin Putnam, 2002. Michael, Nicolai Petrov, and Andrei Riabov, Between >rrtatorship and Democracy: Russian Post-Communist •litical Reform, Washington, DC: Carnegie Endowment •r International Peace, 2004. , Julia, and Samuel Dillon, Opening Mexico: The Making Questions for Review and Discussion 1. What is the relationship between the Decla­ ration of the Rights of Man and the French constitution? 2. How can the French prime minister be removed from office? 3. Is Mexico a democracy or an autocracy? 4. What are some differences between the Mexican constitution and the U.S. Constitution? 5. What is a line-item veto? 6. Explain how ejidos in Mexico worked to maintain the power of the PRI. 7. Why is it harder for Nigeria to maintain political stability than it is for many other countries? 8. What is the official language of Nigeria? Why was it chosen? a 9. What was the relationship between the Comn11 Party and the former Soviet government? 10. How does the new Russian Federation differ I the former Soviet Republic? 1 1 . What are some concerns about Russia's abihl deal with its problems? What are some cau' optimism? 12. Does the Saudi autocratic government unlimited power? 1 3. Why do the Saudi people tolerate the '> autocracy? 14. State five lessons about government that (,II derived from this chapter. 15. What do you believe would be the ideal systu government? 9nternet Questions 1. Look at the composition of the French government on the embassy site www.ambafrance-us.org/spip. php?article615 (accessed June 1 1 , 2009). What are the fourteen minister posts under the prime minister? 2. Go to www.nigeriaembassyusa.org/history.shtml. In terms of population, how does Nigeria rank compared to other African countries? How de rank in terms of physical size? 3. According to www.saudia-online.com/saudi bia.htm what does the legislative branch of '> Arabia's government consist of? 4. Go to www.time.com/time/specials/.ll personoftheyear/ and watch TIME's inter University Press, 1 996. WWW CIA World Factbook www.cia.gov/library/publications/ the-world-factbook! t•xico: line-item veto (285) Qur'an (292) vote of confidence (280) Soyinka, Wole, The Open Sore of a Conflict: A Personal Narrative of the Nigerian Crisis, Oxford, UK: Oxford ro�o.:ey International, 1 986. ! >.miel C., French Revolution (279) Institutional Revolutionary Party (PRI) (285) land reform (285) 5. Using the CIA World Factbook, https://www. cia. gov /library I publications/the-wo rid-fact book/, what are the administrative divisions of Mexico? ------ 106. Some Important Terms 297 Democracy, New York: Farrar, Straus & Giroux, 2004. WWW The French Prime Minister www.governement.fr/en WWW The Government of the Russian Federation www.gov.ru/main/page8.html WWW Mexico Online www.mexonline.com WWW Nigeria Direct www.nigeria.gov.ng WWW Partido Acci6n Nacional ( National Action Party) www.pan.org.mx WWW net The Royal Embassy of Saudi Arabia www.saudiembassy. The Structure of U.S. Government O emouatic Government in the United States These principles became the foundation of the U.S. form of government . The Decla ration of Independence formalized the war that had begun with the Battle of Bunker Hill in April 1775. It proclaimed the colonies "free and independent states." Having decla red themselves independent, the states faced the problem of establishing a workable form of government. This was done in a Constitutional Convention held in Philadelphia in May 1787. The Constitutional Convention succeeded because the delegates were willing to com­ p romise . The decision to have a fede ral government was probably the biggest compromise. It satisfied both supporters of a unitary government-a government in which all the power is centralized in the national government, and the central government is absolutely supreme over all other government within such a nation-and supporters of a federation, a number of separate states, each of which retains control of its own internal affairs. The fed­ eral system of government had aspects of both. States retained control of some issues; the central government retained control over othe rs. Other important compromises included: �l After read in� this chapter, you should be able to: • Give a brief account of the development of the U.S. government • List the five key elements in the Declaration of Independence • Outline the structure of the U.S. federal government • Explain the distribution of powers as set out in the U.S . Constitution • Describe the political process in the United States • Summarize the role of the fourth estate, the political elite, the military-industrial complex, and PACs in the political process An oppressive governmc11/ more to be feared than a t -Confucius 7-listorical Development of U.S. Government • 298 The people have the right to revolt against oppressive government. • Legitimate government must be based on the consent of the governed. • Both the ruler and the ruled are obligated to p reserve a government that legitimate purposes. • All men are created equal. • All men are endowed with certain inalienable rights, including life, liberty, pursuit of happiness. • The diffe rential representation in the House (by population) and Senate (two per state) . • The establishment of an Electoral College to choose the president. The Electoral College is a body of electors chosen by the voters in each state to elect the president and the vice p resident . In the Electoral College, each state is allowed to have as many elec­ tors as it has representatives and senators in Congress, and each state can determine the method of choosing its electors. • The direct election by all the people of a particular state of its House members and the selection by state legislatures of the two senators allowed each state.' In addition to those just mentioned, compromises on many other issues were necessary because of the extensive conflict of interests and opinions . In essence, the Constitution can be cha racte rized as a bundle of compromises. The U.S . Constitution-the foundation of the U.S . government and legal system-was signed on September 17, 1787, and forwarded to Congress with the recommendation that it be submitted to state conventions for ratification and that it become effective on acceptance by nine states, which it was after much struggle. ( The U .S. Constitution can be found at www.usconstitution.net/const.html if you want to see the full text.) Many of the states ratified the Constitution on the condition that amendments pro­ tecting p rivate rights be adopted as soon as the new government was formed. The first ten amendments, adopted in 1791, accomplished this insofar as the national government was conce rned. This B ill of R ights-a formal statement of the fundamental rights of the peo­ ple of a nation-forbade the national government to invade basic p rivate rights. In the previous chapter, we briefly considered the governments of five countries. chapter, we look specifically at the U.S . government and how it works . As you will '>t e rnment, like other aspects of your life, is in an ongoing p rocess of evolution. Because the United States sta rted as a colonial possession of Great Britain, it is natur our government reflects a British heritage. Initially, ties to Britain were strong, but Britain tried to tighten cont rol over colonial trade and to levy taxes on the colonists '' obtaining the consent of the colonial legislatures, the colonies took action to end Bri 11 and set up their own state. The most important event in the formation of the U .S . ment took place when the Second Continental Congress met in 1776, issued the Dccl of Independence, and resolved to draw up a plan for the United States of Ameri( 1 Declaration of Independence can be found at www.usconstitution.net/declar.html want to read the full text .) The Declaration of Independence states that : 299 • Structure of U.S. Government Because of the compromises in the Constitution, the United States has a federal govern­ ment. It operates on three levels: national, state, and local. Ove r time, the relative strengths of these various levels have changed. Specifically, the national government has been st rengthened in part by wa rs, in part by advances in communication and t ransportation, and in part by the increasing complexity and nationwide scope of social p roblems . Nevertheless, state and local governments are still of g reat impo rtance both to the individ­ ual and to our entire society. .1 1The election of senators by the people is one change that has taken place in the Constitution. 300 � 15 Democratic Government in the United States Each of the fifty states, with its independent constitution, its own supreme '' its own governmental agencies, exercises jurisdiction over most personal rehll s uch as those of husband and wife, parent and child, and employer and employct• over property and business matters, incl uding contracts, deeds, wills, corporatr partnerships. Each state regulates commerce within its borders; establishes and local government; protects health, safety, and public order; conducts elections; vides education. Local governments are subdivisions of the state, are incorporated by the 't possess varying degrees of autonomy. They include the county, city, town, townshiJ boro ugh, and school district and also incl ude special agencies such as park distr ic t' districts, and planning and zoning boards. Local governments are close to the ir11l who can hardly escape noticing the services they provide. The sidewalks, lights, scho• lie health service, police and fire protection, parks, beaches, and libraries are largely 1 by local governments. "' '0 � .s::: u c:: � ,-I� '(3 'i5 ::::l ...., ::d!! "'"' �c;; G>"CI Ea. roQJ � :5: .s �� a � � -� .2£3 -� § � "§ .E en �c � >- >­ :!:': O'l n:i.2 c �-5 8 E� §o -�o2 � -� L.U - .S: .2 E "''CO �� c: �» "1:1 ..----, I � = u c:: ·c;; c:: - "' '0 "' ·­ 'Cen - "' ·(/) � c:: � co .2 ] ltl � u "' X L.U "' = 1- l__j I L.., l:':?a.. a.. 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"' 0 g;'o­ �t ...., �g :g� ., � �­ s 8 V') ·.c -� "<::: <u: ... o_ c: o -c "'"' I- Et:-'= ... "'"' == "' � ... ;:: <u <u � ... E 'o­ :: E <u c:=>a3 E -. t: � O>Q) > c..S: "' "'en - c:: I__,E I "''0 o. "' o o::::> 0o ::c ;:: ., ;:: 'o-l) ... c:: c:-g� <U ca· I I E Q5 i:: ::::l --. t: E � "'o (l) g.::c 0 <::! -� V5 v;' :::l <u 0- a-E ...... <u . ,::: • 0 .,; <u ... ;:> s �V) "' a. O "' 0 E ] 0 0 c:: ::::l 0> ... ;:: - c:: � 0 co-, "'O> E� "' '0 Cl.LJ..J "' � � � � E"' t:g ������� uo 00 0 :2 "'::c E ::::l 0 ::c - c:: c:: 0 Q)� 0 0... (l,):=a.JQJ:=a.> �� � ="'"' 0 §U) <(Z �oo �o �a u coo en � -g ·:; �� 1--1� ..,..,c:: ...... -� "' "' Cl. Q) - _. · = 0 a> .:: '5 u a> !::::; -� m g. � o -� . "<:::: ;:: <::! "'C -� c:: > c:: .,..,� "' 0 � E "<:::: ;:: Q).L::: o- en 0 � 0 � ::::lO oc: � <i :g _. V) - :) ::::i::i:=i<( :::):::)=:)=:)::� c:: 0 :;::; O"' > Q.) :::3 Q) L.., .,_ "* -E �tuQj (/)=� c3 � 0 §'::::� c.. 5 OJ c� Q) t:: -(I) a> � (._) -� :: � � � t� � a>= o u g o o 8 o o 5 �t:o =t:::: t::: '-' � : t::: ·c t:: 1-C> t 5 � � 5 5 -� 5 5 � .-m 8 � (.) Cl (/) (_) c..:> .B c..:> (.) 1- .!: u:i � cr.i u:i cr.i u:> cr.i .E u:i u:i u) _§ =l � cu:= Structure of the National Government Because the national government has become most important, we describe it 1 detail. The national government of the United States as established by the Cons tll divided into three branches: the executive branch, the legislative branch, and tht· branch. Figure 15.1 is worth careful study; it provides an outline of the structur� national government. The executive branch, t he branch of government charged with the execution and the administration of p ublic affairs, is headed by the president, who is in ( h enforcing o r executing the laws. Under the president, t o whom all members of t hl tive branch are directly responsible, are t he vice president, who would become pre the president were unable to serve, and the Cabinet, the heads of the major adminr departments of government. These Cabinet members, called secretaries, are appou the president, subject to approval by the Senate. Wit hin the executive departmt'll are also a n umber of agencies and commissions such as the Environmental Pro Agency. The extent to whic h these are responsible to t he president is determined The executive branch of t he government is primarily concerned with enforcing tl and with carrying on daily the many activities in which a modern government 111 gage . However, the president also plays an important role in determining govern policies. The legislative branch is the branch of the government vested with the power to and legislate the law. It consists of the two houses of Congress: the House of Represtr and the Senate. The legislative branch is chiefly the policymaking agency of governr determines government policies by passing laws, or statutes . See Figure 15.2 and tht· page 308 for a better understanding of how a bill becomes a law. The judicial branch is the branch of government that interprets the laws as tl ply to partic ular cases that may arise. It consists of the Supreme Co urt and of t he' lower and special federal co urts. Once the meaning of a law has been decided in it cation to a case, a precedent is said to have been established, and similar cases arc lr be decided in the same way. The federal courts interpret not only the laws P''' Congress but also the Constitution itself. For legal p urposes, the Constit ution United States means whatever the Supreme Court says it means. If the Court s hou viously and persistently misinterpret the Constitution, the primary redress would the House of Representatives to impeach the justices responsible. Then the Senate try them and, if they were convicted, remove t hem from office. In the more t h years o f its existence, this has never happened to the U.S. Supreme Court. We now turn to the broad issues, clarifying our national government . _.!:Q� o � cn oc:­ E::::> .,en 2 � ,_. E t: ..,tCl. "' E "'� o.., en c:� -� � "t:"' _ en a.!:: "' c::'f= <l><l: cn -cc:: 1.1'\ cu ):::s tn 1"- ;:> c <::! <u .... "'<>;:: "'i:Cl � . ... V) 'a-::; E ;,.; � � "'<>;:: <::! c V) (:)'- ·- 301 302 � 15 Democratic Government in the United Stat es Introduction Committee Action Introduced in House Referred to House committee The Structure of U.S. Government Enactment into Law Floor Action House debates and passes Most legislation begins as similar proposals in both houses Committee holds hearings, recommends passage Committee holds hearings, recommends passage Introduced in Senate � House and Senate members confer, reach compromise / Senate debates and passes Referred to Senate committee - House and Senate approve compromise President signs into law All bills must go through both House and Senate before reaching president Figure 15.2 How a bill becomes law. This diagram illustrates the most typical way in which proposed legislation is enacted into law. There are more complicated, as well as simpler, routes. Most bills fall by the wayside and never become law. The Nature of Our National Government A short answer to the question, What kind of national government do we have? would tain as few as four words : democratic, republican, federal, and presidential. Our 11,11 government is democratic rather than dictatorial or oligarchical; it is republican rat hl'l monarchical; it is federal, in contrast to most of the governments of the world, w h1l unitary; and it is presidential rather than parliamentary. It should be noted that the go ments of all the fifty states have t he same basic characteristics as the national govern except that they are unitary rather than federal. Why Our Government Is Both a Democracy and a Republic. There is an old but fn argument as to whether the United States is a democ racy or a republic. Actually, the 1 has the essential characteristics of both of these forms, and therefore it may be descr il both democratic and republican. A republic is a form of government in which the hl the state, the president, does not inherit the office but is elected by those citizens wh qualified to vote . The United States is a republic acco rding to this definition. Our Su1 Court has expressed the American concept of a republic as follows: "The distingu1 feature of the republican form of government is the right of the people to choose it officers." This makes republic synonymous with democracy, which is the kind of go\' ment we have. Technically the United States has a representative democracy, a for government in which the people make most governmental decisions not directl\ through elected representatives, rather than a pure democracy, a political system 1 which all citizens vote directly on every piece of legislation. Pure democracy is possibll in very small communities. 303 The Meaning of Presidential G·overnment. We have noted that the U.S. national government is presidential. In a presidential form of government, the chief executive (usually called the president) is elected for a definite period of years independent of the legislative or lawmaking body and has certain powers derived directly from the Constitution. In contrast, under the parliamentary form of government, the executive branch is a committee, or cabinet, that represents the majority party in the legislative body and holds office only as long as it can command a majority in that body. Great B ritain presents a good example of parliamenta ry government. There the cabinet and its chief, the prime minister, are responsible to Parliament, and they can hold o ffice only as long as Parliament supports their policies. The Parliament may withdraw its sup­ port for the prime minister by approving or introducing a vote of no confidence against the government. This system makes for close coordination of the executive and legislative de­ pa rtments. Under the presidential system, as exemplified in the United States, it is possible for the president and the majority in Congress to represent different parties and therefore fail to cooperate. On many issues, however, party lines are not sharply drawn. In practice, the president usually takes the leadership in developing a legislative pro­ gram, and insofar as this lead is effective, our system of government operates somewhat like the parliamentary system . Unfortunately, there are times when the president and the major­ ity in Congress clash on major issues and are unable to resolve their differences. This may make it difficult for the president to take decisive and effective action to meet problems as they arise both at home and abroad. Clashes were the rule in the 1990s as Congress was controlled by one party and the presi­ dency by another. These clashes led to the impeachment of President Bill Clinton in 1998. In 2000, in an extraordinarily close election, P resident George W. Bush narrowly won the election but lost the popular vote. The election was heavily contested as only a few thousand votes sepa­ rated Bush and A lbert Gore, his opponent, in Florida, and all knew that whoever won Florida would win the election. After much legal wrangling, the Supreme Court issued a decision that essentially made Bush the winner. Many Gore supporters saw the election as unfair, but they accepted the outcome. Thus, in 2000, the Republicans won control of both houses of Congress and the presidency, and there were fewer clashes. In the 2004 elections, the Republicans again won control of both houses of Congress and the presidency, but in 2006, the Democrats won control of both the House and the Senate, and in 2008, the Democrats increased their majori­ ties in Congress and won the presidency with the election of Barack Obama. Democratic candidate Barack Obama celebrates victory in the 2008 presidential election. 304 � 15 The Structure of U.S. Government Democratic Government in the United States The president has two major functions: to take the lead in formulating policies .111 posing legislation to Congress, and the administrative task of keeping the vast and un government organization operating smoothly and efficiently to perform its various 1 1 duties. The latter involves many important responsibilities including acting as comn in chief of the nation's armed forces. Thus, when the United States went to war again it was President Bush who ultimately was responsible for making the decision to do so A broad view of the national Constitut originally devised and as it stands today reveals a wide distribution of political pow� founding fathers, though desiring a central government strong enough to govern, too great a concentration of power and therefore attempted to devise means for prcH the abuse of power. Broadly speaking, power is distributed in accordance witl Distribution of Powers by the Constitution. 305 In the final analysis, however, it is clear that in spite of a careful attempt to separate powers, national supremacy has become a principle of the U.S. constitutional system . This principle grows out of the supreme-law-of-the-land clause, which states that the Constitution, laws of Congress in pursuance thereof, and treaties are the supreme law of the land, despite anything to the contrary in state constitutions and laws . In case of conflict, the states must make the necessary changes to conform to national law. Moreover, a branch of the national government, the Supreme Court, decides the issue when a conflict exists, so that in effect the national government judges its own case . Separation of Powers of the Branches of Government. As an additional safeguard against tyranny, the founding fathers divided governmental powers on a functional basis in accordance with the principle of separation of powers. James Madison wrote, constitutional principles: 1. Federalism-power is divided between the national government and the sc: states. 2. Separation of powers-legislative, judicial, and executive powers are divided ,, three separate branches of the national government, each with its own duties and Uoited States of Europe? tations of power. 3. Checks and balances-the decisions of one branch must be ratified by d1fl branches of government. This system is designed so that no one branch of gove n can become too powerful. 4. Lim ited government-power is divided between the people and the government fourth principle includes the democratic doctrines of popular sovereignty, the in bility of personal rights, and constitutionalism. One of the great problem� 1 Division of Powers between the Nation and the States. federalism is how to divide powers between the central government and the states. I United States, the national government theoretically possesses only the powers deleg.11 it, and all others belong to the states . Powers delegated to our federal government ar c c1 kinds, enumerated and implied. The enumerated powers are expressly delegated h Constitution and include the grant of legislative powers to Congress (Article I, Sectu and 8), executive powers to the president (Article I I), and judicial powers to the Sup Court and other federal courts (Article I I I). In general, the enumerated powers deleg.ll the national government deal with all international affairs and domestic affairs of a nail· rather than merely state, concern . The implied p owers can only be inferred fron Constitution and have no explicit provision. They have, however, provided the flcx1l necessary for the national government to meet the new problems arising over the years I economic and social change. They have also, as some critics of expanding federal pOWl'l it, enabled the central government to encroach on the rights and functions of the state' implied powers are based on the so-called elastic clause (Article I, Section 8), which Congress the power "to make all laws which shall be necessary and proper for carryin execution the foregoing powers, and all other powers vested by this Constitution 11 government of the United States, or in any department or officer thereof." The constitutional provisions for the division of powers also distinguish, though very clearly, between exclusive and concurrent powers. Exclusive p owers belong only h national government or only to the states. Concurrent powers belong to both the nail and state governments, such as the power to tax, borrow, and spend. Many governn powers were not mentioned in the original Constitution, and the general understan was that these belonged to the separate states. The Tenth Amendment made it plain these reserved or residual powers "are reserved to the States respectively, or to the peopl 2In some federal systems (Canada, for example), the reserved powers belong to the national govern ten new countries joined the European Union: Cyprus, the Czech Republic, Estonia, Hungary, Latvia, Lithuania, M alta, Poland, Slovakia, and Slovenia. Two more countries, Bulgaria and Romania, joined in 2007. These additions brought the total membership to twenty-seven countries with a total population of almost 500 million. Other countries are negotiating for mem­ bership, so that number may well increase. The goals of the EU are virtually unprecedented for any regional organization in the international commu­ nity. The Maastricht Treaty established a tariff-free Europe; created a central bank to oversee banking in all member countries by 1997; and introduced a common currency, the euro, in some of the countries. In 2002 euro notes and coins went into circulation, with twelve of the member states adopting the currency. Further, 1958 a few western European states formed together a common economic market. In 1967 they •lrthened their mutual ties and forged the European unity, also establishing a European legislature the Council of Europe. Over the years, the commarket evolved into the European Economic unity {EEC), and after the historic Maastricht of 1992, it formed the European Union {EU), a IIVIf<>rlcration of sovereign member states. When the EU contained approximately 350 million from twelve member countries: Belgium, the nds, Luxembourg, Italy, Germany, Greece, Spain, Portugal, Denmark, Ireland, and Great in. On May 4, 1994, the European Parliament in favor of enlarging the EU's membership to six­ to include Austria, Finland, Norway, and Sweden, the voters of Norway voted against joining. In 2004, the EU had two other long-range objectives: first, the formation of a European Political Union {EPU), which would harmonize the foreign policy interests of the member states and give the union a common voice in international relations, including matters of defense and security; second, a joint action plan to regulate agricul­ ture, education, energy, the environment, public health, tourism, trade, and so on. Essentially it was a call for a far-reaching economic and political union that would eventually become the United States of Europe. In an attempt to implement that vision in 2004, European leaders created a European Defense Agency, which was meant to coordinate their defense policies. They also signed a revised Constitutional Treaty which would have further unified Europe. However, voters in both France and the Netherlands rejected that pro­ posed constitution. In response, the EU leaders cre­ ated the Treaty of Lisbon, which contained many of the changes in the Constitutional Treaty, but which was formulated as amendments to the original treaty, and thus did not have to be ratified by the voters. It went into effect December 1, 2009. 306 � 15 Democratic Government in the United States The Structure of U.S. Government 307 No political truth is certainly of greater intrinsic value, or is stamped with the auth more enlightened patrons of liberty, than that ... the accumulation of all powers, I� executive, and judiciary, in the same hands ... may justly be pronounced the very drh1 tyranny. The overconcentration of power in the colonial royal governors and the exaltl J t ion of the legislatures in the state governments of the Revolut ionar y War era h. proved unsatisfactor y. The founding fathers feared tyranny by a major ity of the cit as well as by a strong executive . Most of the fathers were conservatives who wanted other things, to safeguard property against the " ill-humor" of popular majorities. 'II cided to place legislat ive, executive, and judicial powers in three different branches, l dependent of the others. Each of the three branches of government was des igned to only independent of the others but also directly dependent on different sources for The president was to be chosen by the electors in the Electoral College for four year tors by state leg islatures for six years; representat ives directly by the people for tw1 and judges by the president and Senate for l ife. As a consequence, it would be difftl even the major ity of c itizens to "seize" complete control of the government and "tyr.r over the minority, even though these const itutional mechanisms might not fruslt, w ill of the majority forever. Checks and Balances. Supplementing and modifying the pr inciple of separall powers is that of checks and balances . Because of this pr inciple, there has never b pract ice a complete separation of executive, legislative, and judic ial powers. II speaking, the separation of powers is part of the checks-and-balances system, for it Madison's d ictum, "Ambition must be made to counteract ambition." Strictly Spl however, checks and balances refer to restraints placed on each branch by requ irin divide some of its powers w ith the others so that it cannot exercise independently thl functions allotted to it . Despite some popular opinion to the contrary, the author� • Constitution never intended t he three branches to be completely independent ot other. What they wanted to prevent was all legislative powers and all executive power falling into the same hands. The Constitution clearly provides for interdependence between the three br.u which Madison also said was essent ial to free government.3 Each branch of the govCII has some responsibility and power to influence the funct ions of the other two. Congn acts laws, but they are subject to the president's veto, and that veto can be overr idden by r thirds majority in each house. The Supreme Court can declare acts of Congress vort Congress determines the appellate jurisdiction of the Court, and the president and the appoint the judges. The president can make treaties, but only w ith the advice and con the Senate, and presidential appointments to government offices must receive Senate o mation. The president and two-thirds of the Senate can make a treaty, but the Hou Representatives must approve if any money is involved. The president administers th� but Congress must establish the departments and agencies and provide for their stq Many of the regulatory commissions (which are administrative agencies ) created by C01 actually exerc ise executive, legislative, and judicial powers . Congress, by investigative con tees and other means, attempts to secure the faithful administration of the laws. In a WI sense, all three branches participate in the making and the administration of public polrl The extent of the power of the various branches is continually being tested . For ( ple, the Constitution ( in Article I, Section 8, paragraph 11) specifically gives Congn: r ight to declare war, yet presidents have often entered government forces into battle Wit 3He wrote that "unless these departments be so far connected and blended as to give to each a consul\ control over the others, the degree of separation which the maxim requires, as essential to free governmt·• never in practice be duly maintained." The Capitol building in the early 1850s. having Congress declare war. When they do this, presidents say it isn't really a war but a "police action." The Vietnam conflict is the most vivid example. In response to the Vietnam "police action," Congress passed the War Powers Act, which was meant to define clearly when the president must consult Congress about a warlike action, but it hasn't worked out that way, as you can see by cons ider ing the invasion of Grenada, the act ions of U.S. ships in the Persian Gulf off Iran in the war between Iraq and Iran, and the bombing of Kosovo in 1999, all of which were done w ithout congressional approval. In the Persian Gulf War of 1991, President George Bush ( the father of George W. Bush) maintained h is r ight to commit forces to war unilaterally, as did President Clinton in Kosovo. However, usually pres idents do try to get congressional approval before entering into war ( as Pres ident George W. Bush did in the 2003 Iraq war ), even though they argue that they don't need it. An Independent Judiciary and Judicial Review. U.S . trad ition places great faith in an independent judiciar y, one free of all pressure and all fear of political reprisal. Democratic theor y has not demanded that the courts be directly subject to popular control. The U.S. Const itution provides for a Supreme Court relatively free of the executive and legislative branches, and once the judges are appointed, they can be removed only by impeachment and conviction by Congress. The function of the courts is to interpret the law and apply it in individual cases. For this task, independence is necessary in order to avoid decisions influenced by public sentiment or thoughts of job secur ity and patronage. The power to interpret the law is an enormous power. As you have seen throughout this book, concepts are often vague and somebody must g ive them specific meaning. Does "equal rights for all" require busing students to particular schools? Are segregated private clubs violating the rights of nonmembers? Do we have a constitutional right to doctor­ assisted suicide? How much newly presented evidence, and what k ind, is necessary to over ­ turn a death sentence? Making these decisions and others like them is the main function of the courts . As the Supreme Court has evolved, it has become a protector of the rights of the people ( as it interprets those rights). Every law passed in the United States is subject to judicial re­ view by the Supreme Court of the nation or the supreme court of the state in which it was enacted . Under judicial review, the Supreme Court passes judgment on the constitutionality of a legislat ive or executive act. If the Court decides a law is unconstitutional, it is no longer a law. This independent judicial review, the third in our system of checks and balances, is a 308 � 15 The Structure of U.S. Government Democratic Government in the United States 7- unny Things Happen to an Idea on Its Way to a Law So that you can get a sense of how the national gov­ ernment functions, let's briefly follow a fictional idea through the various stages from conception to law. Let's say the idea begins with a social science profes­ sor who figures out that if the government establishes a new reform of the public assistance system everyone will be better off. At a cocktail party, she meets a leg­ islative assistant for one of the congresspeople (con­ gresspeople have a number of assistants who analyze potential bills for them). The legislative assistant hears the idea, likes it, and decides to talk it over with some friends who work as assistants at the White House. If the White House staff like it, they may make it part of their proposals; if the White House doesn't like it, the congressperson or a senator may introduce it as a bill (a proposed law) on his or her own. If it is to get any further than that, other congresspeople or senators must be interested in it, and often, if they like it, several will become joint sponsors. If possible, a similar bill will be introduced in the other legislative body. Then the bill will be sent to the appropriate committee, which will decide whether to consider the bill. The committee chair has significant flexibility in deciding which bills to consider. The bill m ight also be sent to subcommittees. By now, if the committee has chosen to, it will consider the bill for a formal vote and bring it up to the House or Senate with its recommendation (many bills die in commit­ tee). At this stage, it is important that the bill have other backers. For example, if the bi II is part of tl president's program, the president can probably erate significant pressure to bring the bill to the floor-that is, to introduce the bill to the full Hou and Senate. Let's say one of the legislative bod1e� passes the bill. Then it is sent to the other legisla body. At each stage, the bill is subject to debate can be amended. Thus, even if the bill passes bot houses, it will probably be d ifferent from the orig1 proposed bill. If both houses of Congress pass the bill in som form-say, simple majority vote-it is sent to a res tion committee that irons out the differences betw the two versions (the one passed by the House of Representatives and the one passed by the Senate Once that's done, the bill is sent to the president, wt can either sign it, at which point it becomes law, or veto it. If the president vetoes it, Congress can over ride that veto with a two-thirds majority. But that IS rather hard thing to come by, and usually the polit1 cians will try to compromise on a bill so that the pr dent will agree to it in the first place. Now the professor's idea is a law. But it's still su ject to judicial review-an examination by the Supre1 Court to determine whether the law is in accordance with the Constitution when a case relevant to that law brought before it. If the Supreme Court holds that it 1 unconstitutional, that idea is no longer law. This is a fairly succinct description of how an idP becomes a law. In reality the process is more compl cated, but this summary should give you some idea'' what happens to a bill on its way to becoming a law unique U.S. contribution to government and it has served us well. The national Constill does not expressly grant or deny the Supreme Court the power of judicial review, but Court has exercised it since 1803, when Chief Justice John Marshall concluded in the''' Marbury v. Madison that the Court must do so to fulfill its expressed duty of exercising Jl diction over all cases arising under the Constitution. Whether the founding fathers intended it to be so is uncertain, but our system of ernment required that this function be performed by some agency, and the Court wa logical choice. Marshall's opinion may have been partially political, but it was logical has proved expedient. His basic assumption, which democratic theory endorses, is th,ll Constitution is superior to ordinary law. The necessity for judicial review arises from federalism, the separation of power' the inviolability of private rights. The Court decides whether the national government encroached on the powers reserved to the states, whether the states have exceeded their� stitutional powers, whether the president or Congress have encroached on the rigl sphere of the other, and whether the national or state governments have violated con't tionally guaranteed private rights. This, of course, provides no safeguards against encro ment by the Court on the allotted spheres of the other agencies, including the states. 309 The aspect of judicial review that has provoked the greatest opposition is the voiding of acts of Congress. To nullify acts of Congress is to frustrate the will of the people expressed by democratically elected representatives, or so the critics have argued. There is truth in this accusation, but most Americans prefer having the majority will occasionally frustrated to having a system of government in which the majority is free of constitutional restraints. If a measure really has powerful public support, the people can always resort to a constitutional amendment or new legislation, adjusted to meet the Court's objections. Over the years, the Supreme Court has gained great prestige by the manner in which it has protected the constitutional rights of national and state governments, Congress, the president, and individuals. However, its prestige has fluctuated greatly from time to time, and its decisions have never, of course, pleased everyone. In the 1960s, the Court was re­ garded as liberal. It found legal justification for giving the federal government greater power to deal with national problems, to expand its real or alleged welfare activities, and to protect individual rights when the states fail to do so. Then in the 1970s and 1980s, the Court be­ came more and more conservative and tended to limit federal governmental powers and follow a more conservative view of the role of government. In the early 1990s, the move­ ment of the Court to the right increased with the appointment of conservative justices such as Clarence Thomas. Many felt that his appointment would ensure a conservative majority in the courts for decades. President Clinton attempted to redress this perceived imbalance with his nominations to the Supreme Court; but President Bush shifted it back toward a more conservative stance and President Obama's appointment of Sonia Sotomayor swung it back to liberal. Federal judges, however, do not sit in an ivory tower rendering their decisions com­ pletely apart from public opinion. When the Court reverses a previous decision, this almost invariably reflects a basic change in public opinion. In 1954, the Supreme Court rendered a long-awaited decision on the constitutionality of "separate-but-equal" public school facili­ ties. It reversed a fifty-six-year-old decision and found segregation in public schools to be a denial of "equal protection of the laws." Some people of the South accused the Court of playing politics, but in this case the justices were making a reasonable interpretation of the Constitution that agreed with the contemporary evaluation of majority opinion in the United States. Our national government under the Constitution has limited Limited Government. power. First, it shares power with the states. Second, at fairly frequent intervals, the voters, in free elections, may reject those in office or extend their tenure. Third, every citizen has certain inalienable rights recognized by our Constitution. These include freedom of speech, assembly, and religion, and they also include the right not to be tried, convicted, and punished for crimes without due process of law-that is, without being given the benefit of certain procedures and privileges that the law provides for an accused person in order to assure a fair trial. Two characteristics of U.S. government, both of which are closely related to the subject of judicial review, require special comment at this point. One is the recognition by our laws and Constitution that every citizen has certain inalienable rights. The second is the fact that, though our federal Constitution is difficult to amend, the meanings ascribed to many of its clauses change gradually, as new situations arise, through the process of reinterpreta­ tion by the courts. For this reason it has sometimes been called a living constitution. Rights. The Preamble of our Constitution contains the great purposes of government is "to secure the blessings of the of one declaration that liberty to ourselves and our posterity." The U.S. concept of limited, constitutional government is based on the proposition that the people reserve to themselves certain areas of freedom that government may not invade, that people have inherent rights no political authority may either give or take away, "and among these are life, liberty, and the pursuit of Individuals' Inalienable 31 0 � 15 Democratic Government in the United States happiness." Democratic government assumes that the majority will rule but also minority has the right to dissent. In the United States, as in any democracy, the r rules legitimately only so long as it respects minority rights. The founding fathers considered government to be largely an enemy of freedon than a friend. As stated earlier, the original Constitution and its Bill of Rights provul guards against the national government, and the Fourteenth Amendment extended these to the states.4 We have learned through experience that government can be I enemy and the friend of freedom. Most of us do not regret that our government wa den the right to invade a wide sphere of private rights, though we may no longt:r that government is a necessary evil. We know that liberty and security are insepar that without the security provided by stable, effective government, there would be ll dams to enjoy. Thus the trend for more than a hundred years has been toward 1 dependence on government to promote basic human rights. Rights versus Duties. Rights are never absolute. Furthermore, rights involve dut1 right to freedoms involves the duty of respecting the freedoms of others, whethl concern their choices of religion, political party, economic philosophy, or p residence. Our freedoms are guaranteed only so long as we exercise them responsrl refrain from using them as a cloak for obscenity, slander and libel, murder. nuisances, incitement to riot and insurrection, and other unlawful acts. It is always tl of the courts to draw a line between the legitimate and the illegitimate exercise of fr l between controls essential for the welfare and safety of society and contn1 unnecessarily invade the area of protected personal freedoms. No duty of governr more important or more difficult than this one. The Structure of U.S. Government There is no simple way of drawing a hard and fast line between the inalienable rights and freedoms of the individual and the controls required to protect the rights and freedoms of others. Many people, including a number of respected lawyers and judges, feel that in recent years the Supreme Court, in its efforts to guard the civil rights of individuals, has shown more concern for the rights of those accused of crime than for the rights of their alleged victims. Other critics, equally respected, defend the Court's decisions on the ground that protection of accused persons who may be innocent requires strict adherence to cor­ rect legal procedures. Since 1985, however, the Supreme Court has begun to crack down on criminals by giving the police more rights. That push has been strengthened by new laws, such as the Crime Act of 1994, which imposed mandatory life imprisonment for three-time convicted felons. The 9/11 terrorist attacks on the United States led to the passage of the Patriot Act, which gives the government significant power to detain individuals suspected of terrorist motives. Under this law, it is possible to keep these detainees for an indefinite period without charging them with a specific crime nor allowing them to speak with a lawyer. The reviews on the Patriot Act are mixed. Some see it as undermining the basic rights of individuals; others see it as a necessary deterrent to terrorism. Figure 15.3 shows the basic rights that, under our U.S. system of government, are de­ signed to protect an accused person against an unfair trial. One great protection is the right to trial by jury. In criminal cases, conviction requires a unanimous decision. (Some states do not require unanimity for deciding civil cases.) U.S. government is constitutional government, and we Americans are proud of our written Constitution. In Great Britain, democratic government and the fundamental principles on which it is based developed slowly, so that no need was Growth of the Living Constitution. Proper arrest Petition for writ with warrants of habeas corpus Right to an if illegally detained attorney Protection against No excessive bail self-incrimination Confrontation Symbol of a dream, Abraham Lincoln, the president who freed the slaves, was present symbolically as participants in the 1963 March on Washington massed at the Lincoln Memorial to hear Rev. Martin Luther King, Jr. 4All responsible U.S. citizens would do well to acquaint themselves with the Bill of Rights and ih cance for their welfare. These rights include (I) substantive rights, such as freedom of religion, of tht· 1 of speech and the press, and of peaceable assembly; and (2) procedural rights, such as due process of I compensation for property taken for public use, specific warrant for arrest or search, writ of habea' l speedy and fair trial by jury, and freedom from excessive bail, unusual punishment, bills of attainder, jeopardy, compulsory self-incrimination, and ex post facto laws. 31 1 of witnesses Protection against No cruel or unusual punishment requires a unanimous verdict Figure 15.3 Civil liberties: An American heritage. second trial on same charge by same government 31 2 � 15 The Pol itical Proc Democratic Government in the United States felt for a for mal written document express ing these principles. But in the U n i tld new nation had to be suddenly created out of thir teen independent colonies o t the only solution for this problem was to draw up in writing a for mal agreement d the structure and powers of the new government and also expressing the prt n which it was based. Because of our long and successful experience with tl1 1 Constitution, we have perhaps come to feel that funda mental political principle\ , trusted to p rov ide a framework for government unless they have been formally and duly recorded. A written constitution is, however, rigid in that it cannot be easily amcl! amendment procedure stated in A rticle V of the U.S. Constitution prov ides for l\ ods of proposing and two methods of ratifying amendments . They may be pn•1 two-thirds of both houses of Congress ( the only method ever used to date) o r by . t tiona! convention called on the petition of two-thirds of the states. A number of \I, called for such a cons titutional convention, although most observers do not belien as two-thirds of the states would agree to petition Congress to call such a convent t' proposed, amendments may be ratified by legislatures in three-fourths of the \l method used all but once) or by conventions in three-fourths of the states (th, used to ratify the Twenty-first Amendment). The p rocedure was set up to ens ur� integrity of the document w ill not be v iolated by frequent revis ions prompted by 1 shifts in p ublic and governmental opinion. In spite of the difficulty in amending it, the Constitution has been a flexibl ment. It has changed, not so much through amendment as thro ugh reinterpretatio cour ts, to meet new practices and new s ituations that those who d rew up the Con could not have foreseen. It has thus become a living constitution in the sense t h been able to adjust in many ways to the changing beliefs and needs of the people. I o r ple, thro ugh custom the undemocratic elements of the Electoral College were largd nated. Originally, the people elected leading citiz ens to the college and these then the president. But the practice soon evolved for cand idates to the Electoral College h • themselves to a presidential candidate in advance, so that for all practical purpose' citizen voted for an elector, the vote was for a certain person for president. The rise of national political parties has helped bring about unity to our natim ernment in spite of the separation of powers provided for in the Constitution . A growth of national ism, the need for giving the exec utive great powers in times of c t t oth er influences have resulted in the emer gence of the presid ent as a strong unifying l in government. Much expansion of government functions has also been made po' new interpretations of the Constitution. When the people wanted the government h more vigorous role in the regulation of business activ ity, they and their SuprenH found the necessary authority implied in the enumerated powers of the Constitution new social p roblems arose and the people demanded more government services, thl· author ity was again found to exist, by i mplication, in the original document. If you look aga in at Figure 15. 1 and note the major agencies of the executive bt • the federal government, you will have some idea of the vast expansion in governmen tions that has taken place over the years. Whether that expansion should conlt whether i t should be reduced is a major issue that must be faced in the coming year' Th e Political Process Earlier, we descr ibed democracy as it works in theory. We also touched on some exa m1 its workings in practice. We would be remiss in stopping there because, as with ju\t everything else, practice is different from theory. In our large country, decisions can made by the institutions of democracy alone. Instead, they are made by a political proc' 1 includes n umerous influences, some of which have no lofty goals- onlr t h goal of establishing and using a power base. Others play a more bcndtu:nt role, but it is a role that was not foreseen by the early proponents of ucmm· racy. Political pressure groups and elites that have direct influence on govern mental decisions are prime examples of practices deviating from theory. Indiv iduals influence government in o ur democ racy through the political process. This political process includes numerous factors that determine policy formation, including public opinion, political pressure groups, the military-industr ial complex, political par ties, nominations and elections, and, finally, l egislation. We can' t give a complete d iscussion of each of these, but we can mention the most important. Political Parties Although political pa rties in the modern sense did not begin to develop until the middle or later par t of the eighteenth century, today they are universal in democrac ies . George Washington advised the new A merican nation to avoid d iv iding into par ties, and they a re not mentioned in the U.S. Constitution. But as democratic government developed, political par ties came into existence b ecause they f ulfilled two i mportant functions: interest aggregation and policy ­ mak ing. They are not the result of theory b ut of p ractical experience, and they are n ec es­ sities in rep resentative democracies . Compromising Conflicting Interests. Probably the most important role of political parties is in compromising conflicting interests. In a dynamic society, many conflicting interest groups compete for control of the government and for favorable legislation. The major ity of these sincerely believe that their programs represent justice, progress, and the general welfare, but they cannot all have their way. No government can provide at the same time for prohibition of and the right to manufacture, sell, and consume marijuana; for outlaw ing str ikes and the freedom to strike; for the complete separation of church and state and publicly supported church schools. If all the conflicting groups that arise f rom d ifferences in race, nationality, social class, creed, economic interest, and geographic location ref used to accept any compromises, a unified national policy would be i mpossible. In the United States and other countr ies w ith two-party systems, most of the necessary compromises are brought about within each political party. The political par ty, especially in the two-party system, acts as a med iator and cushion between, on the one hand, the individuals and groups that belong to it and, on the oth er hand, the government. Individuals and interest groups can bring pressure to bear on the party to adopt policies they favor. The organized pa rty then seeks to reach compromise agreements and to conver t them into legislation. Although the number of parties is not determined in the Constitution, the United States has generally operated on a two-party ( Rep ublicans and Democrats) system. Most observers believe that this p rov ides a more workable system than the alternative multiparty system. However, because of the necessary compromise on issues, a two-par ty system seldom shows sharp and clear-c ut d ifferences in progra m or p r inc iple, and often d iff erences that appear to exist before an election tend to d isappear once a party gets into power. The need of each of th e two majo r parties to appeal to a large segment of the population contributes to the development of relatively moderate ph ilosophic o rientations. Moreover, in their attempt to attract people f rom all interest groups, the two par ties tend to promise every th in g to everybody. Vo ters who want to influence some particular policy (s uch as extension of civil l ib er ties, more p ublic hous ing, gradual elimination of farm price suppor ts, o r a planned reduction of foreign The Two-Party System. 31 4 � 15 The Political Process Democratic Government in the United States aid) often feel fr ustrated because they cannot make their voices heard in t h P eriodically, there have been attempts t o establish a third party. T h e Refo rn candidate won significant votes in the 1992 p residential election and Ralph Na G reen Party candidate, won about 3 p ercent of the votes in the 2000 election. A II these votes were far f rom the n umber needed to win those elections, they were ' to influence the o utcome, and some Gore s uppo rters a rgued that Nader was rc'l for B ush's victory. The argum ent in favor of two parties is that in a nation as large and divc1 United States, unity is essential, and each of our major parties performs the valuahl tion of bringing together under one umbrella a n umber of groups whose interests v siderably. If a portion of the population is not happy with the policy alternatives p 1 by the two major parties, however, it is at liberty to create an alternative party. Th1 tial for the development of an alternative party helps k eep the two major parties rc.'l to the needs and demands of the people. An important t rend in party affiliation that has been inc reasingly evident is t h�: in the n umber of people who identify themselves with one or the other major par ty more than one-thi rd of the voters in the United States describe themselves as indep1:1 Some of the reasons for this are ( 1) people do not need to rely as much on favors c' to them by their party as they did seventy-five or one hundred y ears ago, when for lll port systems were less common; ( 2) they wish to split their votes among cand id different parties; (3) they are disillusioned with the party system or with some h 1 government activities; and ( 4) they have so many social and p rofessional interests t h n o longer see a political party as a kind of club. Relaxation of party ties does not however, that people have given up the privilege of voting, and of voting within thl· � offered by the two-party system. Elections Democratic government implies the wide extension of the franchise-the right t o Citizens of modern dictatorships also enjoy this privilege, though for them i t i s a I" ' stripped of power. The right to elect government of ficials and to vote on p ublic pol k1 b een achieved by centuries of effort. We have already noted how suffrage was res t n� early America by property and religious qualifications. Because of such requireml'l 1790 only about 15 percent of adult white males, and no women, could vote. Thus, " were not included in the suffrage at all. Over time, the United States has done away with property, rel igious, racial, and I' qualifications. The gradual trend throughout the world has been to extend the fr,u and make it universal for all responsible citizens. In the United States, black males wo right to vote in national elections in 1870, when the ballot was awarded them h Fifteenth Amendment to the Constitution. It was not until 1920, when the N in�:t Amendment to the Constitution was ratified, that women won the right to vote 111 national elections, although some individual states had granted them local rights mud lier. The most recent s uch movement in the United States was to reduce the voting agl twenty-one to eighteen, which was accomplished by the ratification of the Twent } Amendment to the Constitution in 1971. As we discussed earlier, one of the important compromises of the on Constit utional Convention was the establishment of the Electoral College. The p elect members of the Electo ral College, which then elects the p resident. In a nu ml elections, the most recent example b eing in 2000, the popular vote and the Eb College vote diff er. This led to calls for the elimination of the Electoral College, h1 are unlikely to see any s uch change b ecause constitutional change comes very slow ! \ small states, who would lose power, are likely t o block any effort t o abolish t h e E b Coll ege. 315 Obstacles to Effective Popular Control. The right to vote is not equivalent to the power to control the government. The electorates in democracies throug hout the world have had their ballot power weakened in many ways, including the following: • Overb urdening voters with a long ballot • Permitting voters to participate only in indirect elections • Forcing voters to declare their choices p ublicly • Providing inadequate voting facilities • Allowing nominations to be controlled by the p rivileged few • Limiting categories of those who can hold office • Conducting corrupt elections • Use of psychological methods to guide people to vote in certain ways • Placing on the ballot only candidates sponsored by the official government party Some of these limitations have existed and still exist in the United States and other democ­ racies. In the early 1990s, some electorates, s uch as those of Colorado and California, lim­ ited their own power by voting to limit the number of terms their elected representatives could serve. They did this because they disliked the idea that the representatives, once elected, tended to get reelected indefinitely. However, the voters were also p reventing them­ selves from constantly reel ecting individuals if they liked them well enough. The debate over whether term limits should be repealed or whether more electorates should adopt them is likely to be discussed well into the present century. The . Nonvoter. In the United States, perhaps 60 p ercent of the civilian population of voting age exercise their f ranchise in p residential elections; in the off-y ear congressional elections, only about 40 percent participate; and in local elections, a mere 15 p ercent is not uncommon . In Britain and the other democracies, the percentage is considerably higher ( it is over 75 percent in Britain). W hy do Americans fail to vote? The many reasons include the long ballot, the belief that politics are ir relevant to contemporary concerns, lack of interest, o r feelings that one vote can't matter. Probably the most important reason is indifference produced by lack of political education and experience. People simply feel no compulsion to participate in the electoral process. Many of them come from homes with a long tradition of nonparticipation in political affairs. Such peo­ ple are often considered selfish and unpatriotic, but in many cases ignorance of issues and candi­ dates is the main reason for not voting. Only increased education can improve the percentages of voters. One of the r easons p eople don't vote is the be­ lief that their vote cannot make a difference. Gen erally, they are right-one vote does not swing an election, b ut in the 2000 elections n umerous votes were extremely close, and a few votes either way could have changed the r esult in various House and Senate races. In the U.S. presidency race, the election came down to who would g et Florida's twenty-five electoral votes. After initial recounts of the votes, only about 900 out of 6 million votes sep­ arated the candidates, and there was much l egal w rangling about which votes could be counted. The n umber of partially p unched ballots in those coun­ ties that had punch card ballots far exceeded the 900 vote difference, so the presidential election hinged on decisions made about these ballots. Ultimately, George W. B ush was declared the winner, but only after a Supreme Court decision. Had a few more 316 � 15 Democratic Government in the United States rrymanderin�J and e U.S. House of Lords v Current 32nd Congressional District Propose d 32nd Congressional District Gerrymandering. The U .S. democracy doesn ' t work perfectly. Incumbents use their powers-PAC money, * free use of the postal service, perks of office, the large support budgets they are given to pay for staff-to vest them­ selves in office. These powers are suffici ently great that in the l ast forty years, 80 percent of all members of the House of Representatives who have run for reelection have i ndeed been reelected. In 1986, 98 percent of such members were reelected; in 1988, 99 percent were reelected, lea d i n g the Wall Street Journal to call this body "The House of Lords." More recently, the benefits of incumbency have been less clear, but the large majority of incumbents who de­ c i d ed to run d i d retain their seats. One of the ways incumbents win reelection is to have the districts from which they are elected gerry­ mandered, or drawn up in such a way that it is difficult for them to lose. For example, consider the strange shape of the Thirty-second District of California, shown on the left side of the drawing. Why does it have that shape? Why isn't it shaped like the proposed d istrict on the ri ght side of the drawing? Answer: Because de­ mographic characteri stics make the odd-shaped d is­ trict a safe d i strict for the incumbent; the "reformed " d i strict wouldn't be safe. Shaw v. Reno ( 1993) illustrated some of the problems that plague democracy in the U n i ted States. In that case, white voters claimed that a long, ski nn y North Carolina d i strict was un constitu­ tional because i t was d rawn to include blacks and exclude wh i tes. The Supreme Court sent the case back to the lower court for a review of the i ssues: the mea n i n g of the constitutional "ri ght" to vote and The Political Process the propriety of rac ially motivated state legis! d es i gned to benefit members of historically d1 vantaged racial mi nority groups. The lower cour sai d that the d i strict was constitutional becau helped remedy past d i scrimination and that it shape alone was not enough to voi d the legisla The wh ite voters appealed the d ec i sion by go1r bac k to the Supreme Court i n 1 995, this time case called Shaw v. Hunt. When the Supreme Court dec i d ed Shaw v. i n 1996, i t s a i d that the legi slation was i n de u nconstitutional because North Carolina had overcome the presumption that the use of rae the "predom i n a n t factor" in drawing d i strict I i s u n constitu t i o n al. In response, N orth Carol l n wrote a n e w vers i o n o f t h e sta tute, a n d the ca a ga i n worked i ts way up to the Supreme Court where i t appeared in 1999 as Hunt v. Cromart This time, the Court s a i d that to thi n k that stdl must absolutely elimi n ate the use of race in d i n g up the i r electoral d i stri c ts was to m i s i n terp the 1996 d ec i s i o n . Instea d , the Court s a i d , a I m i ght have other reaso n s , bes i d es foc u s i n g on blac k voters, for drawing a d i stri c t that happer to have large n u mbers of black voters, a n d that anyone challengi n g such a law must be prepar prove that the state's ma i n motive was to i sola!• favor black voters. Boi led down, the Court mear•l " Case not proved . " North Caro l ina was left to ponder yet again the reasons for the shape of tl d i str i c t. In 200 1, the case was ulti mately dec i <l a n d t h e Supreme Court ruled that r a c e c o u l d b u sed i n red istr i c t i n g, as long as i t was not the predom i n a n t factor. With the sign ificant redistricting that came w1tt 2000 census, this issue will rema in contentious. ;,, how contentious can be seen i n Texas. I n 2006, th• Supreme Court ruled that a mid-decade redistrict1r Texas, done spec ifically to i n crease the likelihood c·f mainta i n i ng a Republican majori ty, was legal as lor as that redistricting did not violate the rights of Hispa n ics and blacks. This ruling led to more red1 tricting attempts by both Democrats and Republic" but it also led to a bipartisan bill to eliminate such gerrymandering, through the creation of an i ndeper• ent federal commission that would make all red istr· i ng decisions, i n stead of having the state legislatur make them. "'For a further discussion of PACs (political action commttl• see p. 3 19. 31 7 Gore supporters voted , or even had they been more careful when they voted, AI Gore might have won. So individual votes do matter. Referendums, Recall Elections, and Di rect Democracy. In the United States , most elections are indirect-we elect a governor and a legislature and they then deter mine the laws. Decisions can, however, be more directly related to the voting p ublic if a referendum is held and the people decide directly what the law will be. These referendums avoid the governmental str ucture and allow direct voter input into a law. The direct approach is used most in California, which allows voter initiatives on a large number of issues, and these voter initiatives often play an i mportant role in the laws that are passed. For example, property taxes are limited due to a referend um, and in 2003 Governor Gray Davis was recalled and actor Arnold Schwarzenegger was elected. The California experience demonstrates both the benefits and the problems with direct democracy. To pass an issue by referendum requires large spending on advertising and or­ ganization, and this means that some special interest is usually behind those referendums that pass . So, whether these referendums lead to better government, or simply to another means through which special interests can achieve their desires is much in debate . The Fourth Estate Most politicians now acknowledge that what is often called the fourth estate-the journal­ istic profession or its members, including the print and broadcast media-is equal in im­ portance to the president , Congress , and the j udicial system. Public op inion is a general term that everyone talks about, but no one is quite sure what it is or what deter mines it. Nonetheless, it is extremely i mportant , and political leaders keep a close watch on the mood of the public by listening to feedback from their local representatives and through opinion polls. Politicians try to shape public opinion by giving speeches, selectively granting inter ­ views, and allowing infor mation leaks . As they do this, they must listen to the press and tel­ evision because these institutions control the infor mation that flows to the general popula­ tion. The ease of publicizing one's individual opinions by means of the Internet can also affect public opinion, but unlike print or television the Internet is not a good medium for political control because it doesn't organize concentrated action. Inherent in our Constitution is the guarantee of freedom of the press, but the press is not free from influence by private pressure groups and businesses. The media are important be­ cause they play such central roles in influencing public opinion. For example, consider our ear­ lier discussion of the process by which a bill becomes a law. If the social scientist who had the idea has good contacts with the media and can get it to cover stories on how wonderful the idea is, she will probably be much more effective in getting her idea considered by the political process. Similarly, if the media doesn't like the idea, the idea will probably disappear quickly. Despite the time, energy, and skill they devote to obtaining favorable media coverage, politicians are often not pleased with the results . For example, Presidents Nixon, Carter, and Clinton felt hounded by the press. Both Nixon and Carter believed it to have played an im­ portant role in their political defeats. On the other hand , President Reagan, whose career until well into middle age was based in radio announcing and film and television acting , was called "the Teflon president" beca use press criticism would not stick to him. His per­ sonality and experience served him well in politics, where he was also called "the great com­ municator" because he could get his points across to the A merican people so effectively. The Political Elite A basic assumption in the United States is that all individuals are created equal, b ut it would be a mistake to assume that practice follows that ideal . In practice , there is an elite in the United States whose feelings, aspirations, and influence carry more weight than those of 318 dtaptuv 15 The Political Process Democratic Government in the United States Another way in which groups interact is by means of pressure groups that have organized to influence the political process. Pressure groups play an important role in trying to shape public opinion. In addition to exerting indirect influence, they often try to influence legislators directly. Thus pressure groups fill a gap in a two-party system, enabling people with common interests to petition government for redress of gr ievances and to make their w ill known on many specific issues. Through the use of lobbyists, they keep national and state legislators and executives informed about what the people they represent really want from government. They also present a threat to well-functioning democracies in that certain special interests may be­ come so powerful that, unless the public is alert, they frustrate the will of the majority and thus obstruct government by and for the many. For tunately, one powerful interest group (such as organized labor) is often balanced by another powerful interest group (such as business ) . However, certain interest groups that lack effective organization, such as hired farm labor and consumers, tend to suffer from pressure-group government. But to say that consumers are likely to suffer from the activi­ ties o f pressure groups is only one way of saying that the public interest is likely to suffer, for everybody is a consumer. other groups, either because they can use money or power to influence events 0 1 they have direct access to those in power. If they don't like what is going on, they � h igh-rank ing U .S. official to let him or her know their concerns. Who are the political and economic elite in the United States? Any list would h. elude the president, U.S. senators and representatives, governors, state senators, st. sentatives , and high executives in government, which, using U. S. c ivil service ranki n be Grade Service Level 15 and above. To these we would need to add approximately I 20,000 executives who hold most of the power afforded by their positions as heads o facturing and e-commerce enterprises; the executives of the top financial organizat r firms, universities, and religious bodies; judges; and independent professionals such ers, doctors, and scientists. Roughly estimated, we would arrive at about 100,000 pl"t• would have to be considered the political and economic elite of our society. Does the political elite rule our country and thwart democracy? That's deba t.• example, consider the two presidential candidates in the 2000 election-one was th a former famous senator; the other was the son of a former pres ident. That suggest� elite tend to pass on their control to their children. The authors' view of the elite 1 certainly doesn't rule our country directly, but indirectly it holds a considerable d power. All agree , however, that there are limits to that power. The Military-Industrial Complex and Pressure Groups In a living democracy, the d ivis ion among the various groups is often not as clea r � seems . A good example of this is what is often called the military-industrial com pi nexus between the armed forces, the Pentagon, and defense industries. The term w.1 nated in 1961 by President Dwight D. Eisenhower, who had just ended his term of ol his farewell radio and television address, he said , This conjunction of an immense military establishment and a l arge arms industry 1 the American experience. The total influence-economic, political, even spiritual- r every city, every statehouse, every office of the federal government. We recognize thl· 1 tive need for this development. Yet we must not fail to comprehend its grave implicat11• toil, resources, and livelihood are all involved; so is the very structure of our society. In the councils of government, we must guard against the acquisition of unwarr.u fluence, whether sought or unsought, by the military-industrial complex . The potcn the disastrous rise of misplaced power exists and will persist. We must never let the weight of this combination endanger our liberties or den processes. We should take nothing for granted. Only an alert and knowledgeable citil( compel the proper meshing of the huge industrial and military machinery of defense 319 w peaceful methods and goals, so that security and liberty may prosper together. Eisenhower 's warning is no less relevant today than it was in 1961. The simpll· is that there is money to be made in defense (in 2008, defense spending totaled abou b illion ) , and when there is, firms and individuals will try to make money by exp.r their par ticular areas, using whatever political means they can to ensure political su1 This has continued to be true in the early 2000s even though most observers belin the enormous changes in the former Soviet Union have significantly reduced the m· defensive arms. Thus it is possible to have weapons systems that serve little purposl than to make profits for defense firms, jobs for their workers, and votes for congr� pie. This means that once the building of such a weapons system is begun , it is ext 1 hard to s top. Of course, it is not only industry and the military that combine to create p 1 groups for continuation of their programs. Advocates of other kinds o f progra m form pressure groups. But the potential damage from weapons systems is so great t h military- industr ial complex deserves special mention . Political Action Committees. The problems presented by special-interest pressure groups have surfaced in a new way with the advent of political ac tion committees ( PACs ) . PACs essentially are campaign committees established by individuals to raise money for par ticular political purposes. They sprang up as a result of the revised 1974 federal election laws that limited the amount of money individuals were allowed to contribute to a cand idate . Under the law, an individual contributor could give only $1,000 to a candidate's primary and general election campaigns, whereas a PAC could give $5,000 to each. In 2002, the Congress passed the B ipar tisan Campaign Reform Act ( B C R A). This law elim inated all soft money donations to the national par ties; however, it doubled the allow­ able hard money contribution . The act also addressed issue ads, placing a limit on adver­ tisements paid for with soft money-money contributed to political parties rather than to individuals. The act requires that any ad which supports a specific candidate a ired within thir ty days before a primary election and sixty days before a general election must be paid for w ith hard money. However, parties are free to spend whatever they want before that cut­ o ff. Although the BCRA was challenged in the Supreme Cour t the following year, the law was upheld there by a majority vote . Other recent advancements in campaign finance reform include the passage of "Clean Money" b ills in several U.S. c ities. A Clean Money election proposes to publicly finance can­ didates who can show enough public support through signatures and small donations . These candidates must agree to additional stipulations that limit outside donations or use of personal money to finance the election campaign . A voluntary funding system is in place for presidential elections in which taxpayers are allowed to check a box on the ir tax returns that allows a small amount of their tax payments to support presidential campaigns. In return for public money, candidates are required to adhere to spending limits. In the 2008 election, Barack Obama , who, as a primary candi­ date, had promised to abide by the limits and accept the federal money, dec ided not to accept the money when it became clear that he could ra ise far more through pr ivate dona­ tions. His challenger, John McCain , accepted the federal campaign money and the spending limits that went along with i t. Obama won the election dec isively, and the additional money he had may well have played a part in his election . Thus, we are likely to hear more about campaign finance reform in the future. Some writers maintain that the most effective defense against special-interest groups is the organization of still other groups to check and balance those that now exist. The weak­ ness of this theory is that if great numbers of people cannot organize effectively to protect themselves, the general interests of the public-which may constitute the most vital interests of every group-often are neglected. 320 � 15 Democratic Government in the U n ited States For Further Study £valuation of the Democratic Political Process estions for Review and Discussion The political process in the United States is complex, confusing, and challeng in election to a major office takes time, work, money, and patience; from an idea to t l ment of a law often i s a long journey. To reach such goals, mountains o f obstack scaled and arid deserts of electoral inertia must be crossed. Compromises are neCl'' concessions must be made by many conflicting interest groups, each of which ha' what different destination in mind. Ignorance and other human limitations must into account all along the route. Fraud and favoritism are constant dangers. But d offers ordinary people the challenge of the opportunity to r ule themselves. In the United States, the democratic way of life has become so firmly embl our culture and has bro ught us so many personal and social advantages that ft can really conceive of living under any other social system. No other system can such a high degree of personal liberty or protect o ur individ ual rights so well. If we complain about the faults of democracy and its failure to achieve perfectio n only being h uman. When we consider the alternatives, most of us believe that c brand of democracy is providing us with benefits that can be matched in f( countries, and we believe that if we meet our responsibilities, democracy w ill 1 these benefits in greater measure in the future. Most Americans believe that, on I our government is and will continue to be a government of the people, by thl and for the people. /(ey Points • • • The United States revolted from Britain in 1776 and became a new nation in 1787. The Declaration of Independence declared that the right to revolt is reserved by the people, con­ sent to be governed is necessary, governmental action is limited, and all people are created equal and are endowed with certa i n inalienable rights. The national government of the United States as established by the Constitution is divided into • • • three branches: the executive, the legisla11 the judicial. The Constitution provides for federalis m , tion o f powers, checks and balances, and government. The political process in the United States '' that works. The fourth estate , the political elite , the 111 I industrial complex, and PACs all play an 1 tant role in the political process. t he United States a democratic society ? Explain were made by the were made at the government with unitary are the three levels of government in the States, and how are they related to one are the three branches of our national gov­ ment, and what is the function of each? t are the four basic characteristics of the U.S. of government? presidential government with parlia- o o to the Federal Election Commission website, www. fec.gov/pages/elecvote.htm. Which states hJve more than twenty electoral votes? W hich ! Jtes have fewer votes now than in 1990? Who are your present senators and in what year were they first elected? Check www. congress. org. Use www.supremecourthistory. org to find out: Who rc the nine justices on the Supreme Court today ? Campaign finance, and Compromised Governance, Boulder, CO: S,ome Important Terms l .ynn Rienner, 2002. fourth estate (317) franchise (3 14) implied powers (304) judicial branch (300) judicial review (30 7 ) legislative branch (300) limited government (304) military-industrial complex (318) PACs (319) parliamentary form of government (303) presidential form of govern• (303 ) pressure groups (319) pure democracy (30 2 ) representative democracy ( republic (302) separation of powers (304 ) soft money (319) unitary government ( 299} 10. In what ways does the Constitution distribute power ? 11. How does the principle of checks and balances modify that of separation of powers? 12. What is the meaning and significance of j udicial review? 13. How is the "living constitution" related to the written one, and how does it keep pace with changing conditions and new problems? 1 4 . What role do political parties play in a democratic system? 15. What are the primary reasons people do not vote? 16. What is the "fourth estate"? How does it influence our government? 17. What is the military -industrial complex? How does it influence our government? 18. What role do PACs play in shaping legislation? Is it a positive or negative role? What is the Preamble to the United States Constitution? See www. usconstitution. net/const . html. 5. Using www. whitehouse.gov who is in the presi­ dent's advisory cabinet? 4. r Further Study �k. Peter, Cozy Politics: Political Parties, Bill of Rights ( 299) Cabinet ( 300 ) checks and balances (304) concurrent powers (304) elastic clause (304) Electoral College ( 299) enumerated powers (304) exclusive powers (304) executive branch (300) federalism (304) federation ( 299) 321 F. Tedeschi, Jr., 5th ed, Green Farms, CT: Oak Hill Publishing, 1 995. United States Government Organization Manual, Office of the , Theodore, The Right to Vote: The Contested History of Federal Register, National Archives and Records Service, l>emocracy in the United States, New York: Basic Books, Washington, DC: Government Printing Office, issued 2000. annually. ugall, Walter A., Freedom Just Around the Corner: A New American History, 1 585-1838 (vol. 1 of proposed 3 vols.), New York: HarperCollins, 2004. ick, Nathaniel, Mayflower: A Story of Courage, Wood, Gordon S., Revolutionary Characters: What Made the Founders Different, New York: Penguin, 2006. WWW WWW Reform Party www.reformparty.org USA.gov www.usa.gov Community, and War, New York: Viking, 2006. WWW The U.S. Constitution www.usconstitution.net National Security Council and Architects of American WWW The U.S. Senate www.senate.gov WWW The White House www.whitehouse.gov pf, David, Running the World: The Inside Story of the Power, New York: Public Affairs, 2006. Constitution and Fascinating Facts about It, full text of t he U.S. Constitution with supplemental facts by Robert WWW WWW The U.S. House of Representatives www.house.gov The U.S. Supreme Court www.supremecourtus.gov Part V Economics and Society The Nature of an Economy e Nature o f an Economy The Organization of Economic Activities After reading this chapter, you should be able to: • • political philosophers, bot when they are right and • Distinguish between a planned and an unplanned economy • r1 Discuss the evolution of our economy from feudalism, to mercantilism, to a market economy, and to a pragmatic market economy Summarize the historical development of socialist thought • The ideas of economists Define the great economic problem • Explain the terms supply and demand, and use them to explain how a market economy works Explain why all modern economies are pragmatic market economies 323 they are wrong, are mor.� ful than is commonly ur: stood. Indeed, the world r by little else. -John Maynard Key In modern industrial societies, economic relationships are complex. Almost nothing can be produced and made available to the final buyer without the help of a variety of economic in­ stitutions and the conscious or unconscious cooperation of great numbers of workers. This is true of almost every commodity, whether it be a shirt, a computer, a ballpoint pen, or frozen yogurt. Our ability to satisfy our daily economic wants depends on the existence of many highly systematized social arrangements. Without these organizations, our economic efforts would be largely futile, and most of us, especially in the cities, would soon starve to death. Taken together, all the complex social arrangements by which we satisfy economic wants constitute an economic system, or an economy. An economy may be defined as the social organization by means of which the people of a given society produce and distribute economic goods. Functions of an Economy An economy must perform at least four basic functions, and ideally it should perform them in such a way as to confer maximum benefits on the community. It must determine: l. The kinds of goods to be produced 2. The amount of each good to be produced 3. The resources that are to be allocated to a good's output 4. The ultimate division of the goods among those who are to enjoy them In addition, an economy should provide a favorable environment for economic progress. Traditionally, economics was that branch of social science concerned with the ways in people provided themselves with material goods and services. More recently, economr broadened its scope and sees itself as the science of choice. It considers how people ant eties allocate resources among alternative ends to achieve their wants. Thus, we will economics as the study of the social organization through which people satisfy their In the process of satisfying these wants, economic institutions develop that govern ind als' economic interactions in the same way that social institutions govern individual, interactions. These economic institutions include government organizations, businc�' I unions, and the laws that facilitate the production, distribution, and consumption of To understand how an economy operates, we must be well acquainted with these 11 tions. In this chapter, we consider how economies are organized. Before we do that, h1 economists tend to play a more active role as policy advisers than do other social Sell let's briefly consider how economists approach problems. Economists bring a unique analytical approach to looking at social problem approach that emphasizes rational choice and costs and benefits. They take as a st point that everything has to be paid for by someone and argue that society should explicit account of costs and benefits so that it can make rational decisions. Economi\1 ture a world populated by individuals doing precisely that-they search out benefit they weigh those benefits relative to the costs. If the benefits exceed the costs, they d11 not, they don't do it. Economists define rationality in relation to this cost/benefit appr Rational individuals are individuals who weigh the benefits and costs of decisions an d r decisions that have the largest benefits at the lowest costs. Economists extend that rea" when they analyze social problems, arguing that government and society need to est rules and institutions that require decision makers to take the costs of laws and regul.r into account as well as the benefits. 322 Economics and the Social Sciences Before we consider these issues, we need to consider how economic issues fit in with other issues in social science. Some economists argue that economic issues are at the center of all social science is­ sues. We disagree. While economic issues are important, we would not argue that they are the central elements of our lives. Often economic goods are wanted for only social and cul­ tural reasons (if you have enough money to buy that sports car, that cute girl or guy will go out with you; otherwise, she or he won't give you the time of day ). Ultimately, it is not money or economic goods that we desire-it is happiness, and recent research on happiness has found that after society has reached an annual income threshold (of about $ 15,000 per capita), additional income does not seem to make a society happier. Although economic wants are not the most important, they are important. If you're hungry or lack adequate clothing or shelter, you're probably not happy; and if all your friends have new cars, you probably aren't happy unless you have a new car, too. Thus, it is important to study economic needs and wants, and how societies fulfill them. Economic Wants and Economic Goods Economic wants are desires for things that can be obtained by labor or through exchange and on which, in a modern society, a money value can be placed. Not all wants are eco­ nomic. People want love and affection, respect, health, happiness, and many other things that cannot be measured in money. These things may be affected by the economic circum­ stances of the individual, but they are not primarily economic. A certain amount of money 324 � 16 The Evolution of Economic Systems The Organization of Economic Activities and the things that money can buy are necessary to sustain life and to make it worth but beyond that the relationship between money and happiness is not so clear. Economic goods are the things that money can buy and that are the objects of 1 1l1 nomic wants. If we possess such goods, we can obtain money or other valuable thi exchange for them. If we wish to acquire them, we can do so by offering enough llll pay the price demanded. In some cases we can produce them for ourselves if we arl \' to invest the necessary labor. Economic goods have monetary value because they are desirable and because t scarce. By scarce, we mean that if the goods were free, the amount that individuals want exceed the supply, the amount available. Because the whole supply is owned or contn people, if we want more of such goods than we already have, we must either produce th ourselves or offer something valuable in exchange to induce others to part with them. Economic goods are not necessarily material. They may consist of services those of a housekeeper or a doctor, and, more and more, services are becoming th important economic goods in the United States. Anything that offers benefits in cxd for a definite sum of money is an economic good. Economic goods in the form of� r can be obtained from things as well as from people. If people want to enjoy the bend house, they usually have a choice: They may buy the services of one in return for a n11 payment called rent, or they may buy one outright, thereby obtaining all the bend house is capable of yielding until it wears out or falls down. But when we wish to CllJ benefits of a housekeeper or a doctor, we can't buy this choice; we have to rent it, b� slavery is illegal. Wealth is what we call the material economic goods-the kind we can see, feel, '" cumulate. All economic goods take the form of either wealth or services. The Economic Aspects of Culture We have already emphasized many of the economic aspects of culture in earlier ch.tJ People's problems in adjusting to their physical environment are largely economic. 'I h lutions require producing the kinds of goods that the environment demands; for exat in a cold climate, warm clothing, fuel, and well-insulated housing are necessary gooth attempts to improve our economic situation motivate technological progress. Economic factors also play an important role in shaping the mores and the institul of every society. Many of our most firmly held beliefs of what is right and wrong haw 1 with pre>perty and property rights, as illustrated by our strong condemnation of theft bery, cheating, and embezzlement. Most of our social institutions, even those that ar usually regarded as primarily economic, have economic aspects of major importance family is an excellent example. When two people marry, they not only signify their 111 tion of living together and establishing a family, but they also undertake important nomic obligations to care for each other and, if they have them, their children. a much greater quantity and variety of consumer goods than would otherwise be possible, and often goods of a more desirable kind or quality. However, all productive resources-labor, natural resources, and capital-are limited in quantity, whereas in modern societies human wants seem practically unlimited. Our own society may be affluent in comparison with others, and a very small minority of its mem­ bers may have few wants of consequence that remain unsatisfied, but the vast majority find it difficult to stretch their incomes enough to provide all the things they desire. The great economic problem facing every modern society is how to make scarce resources satisfy as fully as possible the ever-expanding wants of its members. But, as we have noted in earlier chapters, we cannot continue indefinitely to satisfy greater and greater economic wants for an ever-increasing population without encountering shortages of resources and more and more environmental pollution. In the 1970s, the trend in thinking was that economic growth is undesirable and that "small is beautiful." By the 1980s and continuing into the twenty-first century, most people were seeking ways to have increasingly higher levels of economic growth without diminishing efforts to master pollution and conserve and extend resources. This led to serious concerns that the energy consumption associated with eco­ nomic activity was causing the global temperature to rise, which was bringing about some major physical changes to our world. Economizing-making the best possible use of the resources that we employ at any time, regardless of what we think of growth-is one of the most important functions of an economic system. Determining the best mechanism for economizing, or allocating re­ sources, is the fundamental task of economic policy. he Evolution of Economic Systems Throughout the Middle Ages, markets grew as trade among diverse areas expanded. Governments were not well developed in those times, and for the market to exist it was nec­ essary to work out agreements with leaders of the various towns. As the Western political system evolved, first controlled by local lords or nobility and then by monarchs, all individ­ uals who wanted to undertake economic activities were required to get permission from the noble or the royal head of state. Those who did not have permission were not allowed to undertake such economic activities. From Feudalism to Mercantilism The Great Economic Problem Producing economic goods to satisfy human wants requires resources. Factors of pr<ul tion are all the human and nonhuman resources that go into the production of mal goods. These resources are of three principal types: first, labor, or the efforts of human ings; second, natural resources, resources such as land, raw materials, and so on that an basis of all the material products that humans make; and, third, capital, or produ� equipment, which includes tools, machines, factory buildings, and all the things that man beings have made to help them produce more easily and efficiently the kinds of g1 they ultimately require to satisfy personal wants. Goods in the form of capital do directly satisfy human wants. Their importance is that they ultimately enable us to pmd 325 trading continues today, as this scene of a person selling in New York City's Chinatown demonstrates. As we discussed in Chapter 3, early on the eco­ nomic system of the Western world was feudalism, in which tradition ruled and most people were peasants tied to the land and their feudal lord. A few individuals escaped this pat­ tern; these included the workers who built the great medieval cathedrals of Europe (and who gave the term Freemason to our vocabulary) and traders who traveled in caravans they set up as temporary markets in or near feudal estates. These traveling workers and traders played a pivotal role in spreading culture and ideas from one estate to another and in establishing the po­ litical geography that evolved into our modern states. For example, many of the temporary mar­ kets became permanent and formed the centers 326 � 16 The Organization of Economic Activities around which towns and cities grew. Traders brought ideas as well as goods, provid111 ants with a view of the wider world. As trade progressed, people began living in to� producing goods full time for the market. As people moved into the city, the economic system evolved into the mercanllli tern, in which manufacturing or processing was favored above agriculture, and ments determined who could do what. The important aspect of the mercantilist syst that permission to engage in economic activity had to be obtained from local auth and as increasing trade fostered the development of the nation-state, traders soon they had to obtain permission from the evolving governments. From Mercantilism to a Pragmatic Market Economy I Adam Smith. Beginning in the eighteenth century, the Industrial Revolution brought about a l from artisan production to machine production, which required a large number of 11 uals to work at specific manufacturing tasks in a common place (instead of sc around in small enterprises). The Industrial Revolution was characterized by speciah of individuals in their work tasks. It unleashed an engine for material growth th growth in technology that transformed not only the economy and economic instill but also the social institutions of society. The Industrial Revolution placed an economic strain on the mercantilist system, wht incorporated so many limitations on individual enterprise that many who might have btl good at some economic activity were simply not allowed to undertake that activity; this l tension and opposition to the existing social structure. By the mid-eighteenth century, o tion to the limitations of the mercantilist system had grown important. In 1776, moral pi pher Adam Smith wrote The Wealth ofNations, in which he expressed the underlying eco• ideas that became central to the development of modern Western economic institutions. Smith argued that for the government to prevent individuals who were good at thing from doing it was not beneficial to society. Individuals, he held, should be fm what they want, and he argued that such freedom would not to chaos. Instead, the market's invisible hand-the rise and I prices that guide individuals' actions in a market-would individuals' choices, so that each individual pursuing his o own self-interest would simultaneously help society and crc,tl greatest wealth for the greatest number of people in that M For example, Smith argued that bakers will supply bread to 1 when they can make a profit, and this bread will satisfy pl't hunger. If the baker charges too high a price, as long as th competition others will enter and drive the price down to it of production. Alternatively, say there is too little bread. Thl· , of bread will rise, and as it does, as long as individuals are fr become bakers, more people will become bakers, more bread be produced, and there will no longer be too little bread. Tht price of bread will fall. People's needs are met by the markl" because people are nice or concerned about others' welfafl because people are selfish and pursue profit. But the m,a through changes in prices, guides individuals' choices like ,11 visible hand, so that what helps them personally also helps SOl Laissez-faire is a policy that allows the market to operall' a minimum of government regulation. The policy of laisse1 I was quite different from the mercantilist economic systtt which the government played an important role in determt who could and could not produce certain goods. The debatl· began between mercantilism and laissez-faire has continued.l The Evolution of Economic Systems 327 global scale, it is tied to the debate between planned and unplanned economies. Within the United States, we see it surfacing currently in the debates about how much government in­ volvement in, and regulation of, the market should exist. Laissez-faire advocates argue that the government should stay out of economic activities except to provide the framework within which individuals can themselves carry out those activities. Historically, opponents of the market have argued that the market causes people enor­ mous pain, and that government has to enter in to alleviate that pain. During the Industrial Revolution, wages were low, living conditions were poor, and often people were thrown out of work and left starving on the street. Whereas individuals under feudalism had a society with built-in supports to fall back on, they had none under capitalism. Many industrialists liked it that way: The fear of starvation kept wages low and profits high. The arguments against the market offered two alternatives. One was that the govern­ ment should intervene in the market to alleviate the worst problems and to see that the mar­ ket interactions achieved a degree of equity. They argued for keeping the market, but keeping it under control with laws and regulations. The second was much more radical. It called for an overthrow of the market economy and the establishment of socialism or communism. The complaints about laissez faire capitalism increased through the early 1800s, and by the mid-1800s when laissez-faire capitalism was at its peak, there were many groups devoted to exploring and instituting alternatives. Those interested in socialist alternatives turned to the writings of utopian socialists such as Charles Fourier and Robert Owen, who favored establishing new communities where all members would contribute to the output of the community and use whatever community resources they needed. There, the decision of the community rather than the decision of the market would be the determinant of the allocation and distribution of goods. Utopian socialists believed that the market system was flawed, but they did not see a need for revolution against the system, nor did they see the development of an inevitable class struggle between workers and the owners of the means of production. More radical reformers did see such needs and developments. These radical social re­ formers, such as Karl Marx and Friedrich Engels, saw the market system as inherently flawed. They argued that as the capitalists, or the owners of the means of production, ex­ ploited the workers, the workers would unite and establish a new form of economic organi­ zation called communism, under which each person would work according to his or her ability and each would consume according to his or her needs. Thus communism would evolve into somewhat the same type of economic system as that envisioned by the utopian socialists, but the path by which society would reach its destination was different. Under so­ cialism, the path would be peaceful, with everyone joining in for the good of society; under communism, the path would be one of revolution against the existing social structure. The Push for Socialism. Socialism and Communism. The terms socialism and communism are not easy to define; they developed slowly over time, and the nature of the concepts themselves has changed and is continuing to change. From the 1930s until about the Late 1980s, both were associated with what we now call Soviet-style socialism-an economic system in which the government, rather than the market, makes decisions about the allocation and distribution of goods. Communism was a type of Soviet-style socialism in which the Communist Party played a key role in the economy. In the 1990s, as the former Soviet -style socialist countries underwent tremendous upheavals, some socialists were suggesting different definitions ·under which socialism was compatible with the use of markets to distribute goods. Most people, however, still used the definition that associates socialism with government decisions about the allocation and distribution of goods. But a change in that definition would not be surprising; the definition of socialism has continually changed. In the mid-1800s, for example, the French writer and reformer Louis Blanc, one of the originators of socialism, argued that all individuals had an inherent right to a decent job. 328 � 16 Karl Marx. Planned and Unplanned Economies The Organization of Economic Activities Capitalism failed to achieve that goal and, therefore, violated individuals' rights. lr the right to a job was a central tenet of socialism. Having a right to a job means that somehow jobs must become available, and the principle expanded to include not only the right but also the means by which ment would supply jobs to all-through government ownership of the means of 1 tion. As this happened, government ownership of the means of production becam element in the definition of socialism. The focus on jobs also switched to a focus 011 ity of income, and the advocacy of equality of income became another key element cialist thought. Thus, programs designed to equalize income in a country are ofll'l socialistic. Given this evolution, there is no unambiguous description of socialism. Bec.r need some definition, however, we define socialism in the traditional way, as an en system under which society as a whole takes the primary responsibility for produur distributing economic goods. Using this broad definition, Soviet-style socialism is "I ular type of socialism. Although there is no inherent political system associated with ism, the focus on society as a whole as the producer and distributor of economr( quickly linked the theory of socialism to a comprehensive plan of government and I autocracy, although the relationship is subject to debate. In practice, socialism has taken on a variety of forms, and elements of socialist th have influenced the evolution of capitalist societies. For example, the establishment cia! security systems was originally a socialist goal, as were many of the social welf.u grams that we now regard as part of our capitalist economic system. We formally define communism as a type of autocratic or state socialism in whr Communist Party is the small group of people-not subject to elections-that deter society's goals. But communism also includes specific political elements and thus 1111 differentiated from socialism. Communism includes a set of beliefs following from munist writers such as Karl Marx and Vladimir Lenin. As we stated earlier, Marx's critr of capitalism were more widely focused than those of the socialist writers; he saw caprl as being doomed by the laws of history. He argued that history progressed in stages ar11 each stage had two opposing elements-thesis and antit,' Each stage played a role in history, but once the role was pi society would progress to the next stage. In capitalism, Marx saw one of the opposing forces ·• bourgeoisie-the capitalists who brought about growth h ploiting the workers. This exploitation, he argued, played .11 portant role in causing the economy to grow, but once that gr had brought society enough income, he believed that the w11 would unite to overthrow the capitalists who were no I needed. Then the workers would constitute a communist for economic organization, with the following creed: From ead cording to his ability, to each according to his need. Marx had little to s.ay about how a communist ecor would operate. In practice, it involved the same key poin socialism-a stated belief in the equality of income and a ccn ized system of distribution and production. Marx also argued under communism the state would wither away, which migl interpreted to mean not the complete disappearance of an adr istrative mechanism but the complete disappearance of any r for controlling people by force. Presumably, after the stall' withered away, production would be carried on by cooper groups of workers in complete harmony and without any ncct coercion. But in no country that we called communist h.1 state withered away. 329 The following list summarizes five reasons why Soviet-style socialism was abandoned: 1. Soviet-style economies weren't delivering goods. 2. Communist Party members were using their position to obtain desired goods and favorable treatment. 3. Socialist economies were significantly lagging behind capitalist economies. 4. New technological developments made it more difficult for the government to repress information and ideas that were contrary to the interest of the ruling parties. 5. Long-standing ethnic and cultural differences undermined the ability of the societies to form a national consensus. In response to these problems, socialism and communism underwent enormous changes. Most Soviet-style socialist countries dumped Soviet-style socialism completely; others, such as China, attempted to integrate the market into their socialist institutions, freeing up cer­ tain areas of the economy while keeping others under government control. Still others talked about following some as yet undefined third way-an alternative path that was nei­ ther socialist nor capitalist. As this occurred, the repressive nature of the Communist Party was made clear to all, and most pretense to maintaining a higher moral ground was lost. The Communist Party was not the protector of the working people; it was simply another group vying for political control. lanned and Unplanned Economies In the past, economies were differentiated by whether they were unplanned or market economies or planned socialistic economies. Unplanned economies were economies that relied primarily on the market to control economic decisions. Because they relied on pri­ vate capital markets to raise money for building production facilities such as factories, and because any profits or losses from production accrued to the owners of those facilities, these societies were also sometimes called private enterprise or capitalist economies. In an un­ planned or market economy, individuals have significant freedom to own and operate pro­ ductive enterprises, to produce economic goods, and to develop specialized institutions, such as banks and insurance companies, to fulfill their needs. The U.S. and Western European economies were given as examples. Planned economies were economies that relied on government-controlled production and distribution systems. In a planned economy, the money for building the production fa­ cilities came from government, and any profits or losses from production accrued to gov­ ernment. In a totally planned economy, some central governmental authority has the power to plan, own, and operate directly all productive activities. The former Soviet Union and China were given as examples. How Planned Economies Are Supposed to Work To understand the difference between planned and unplanned economies, let's consider how they are meant to work in theory. Let's start by considering how bread is produced in a planned economy. Wheat is raised on government-owned farms. The central planners decide on a set of production goals for a five-year period and determine what they will need in the way of equipment, seed, money, and other efforts to meet those goals. Once those decisions are made, the farms and central planners are responsible for meeting the goals. The farms do not calculate profit or loss (although the central planners do consider such issues), nor is there any necessary relation­ ship between the costs of production and the price of the wheat. Production goals are set in terms of quantities, not economic value. 330 � 16 The Organization of Economic Activities After the wheat is produced, the flour is sent to a bakery, which has also negoti.ll central planners about its own five-year plan. Wheat is one of the "inputs" for wl bakery planned. Thus, the bakery's goal might have been to produce 5 million It bread with 4.5 thousand tons of wheat. Having baked the bread, the bakery send government-owned retail store, which sells it to the consumer at whatever price thl.' ment tells the retailer to charge. In the Soviet planned economy in the 1980s, the 1 for bread was far lower than the price of a loaf of bread in the United States bel Soviet government wanted to make this essential food widely available. There is one other element, or input, in the production that we should mentu that is labor. Each of the government production facilities needs a certain number 11 ers. Once the planning commission has determined the labor requirements of the fi r government assigns individuals to various jobs in that facility. Thus, in the pre- 19\111 economy, when a Soviet citizen graduated from school, she or he was assigned h• However, students in the top 2 percent of their class were allowed to choose their jol government also set the wages that workers received. Why Central Planning Did Not Meet Its Goals The goals of socialist or communist economies are admirable. In the ideal socil.'t sioned by communist theorists, citizens would be completely free of coercion by tl and would be happy enough to accept all their social responsibilities. Social classc· disappear. Everyone would work, the entire product of the economy would go to Ia he all workers would have equal rights to share it. They would share, however, not equ. according to need. If money were used as a medium of exchange, presumably wagl.'' be paid to workers according to their needs. In any case, certain basic essential good' be provided free to all citizens. To some degree, communist countries achieved their goals. Basic necessities wc.:1 tively much cheaper in the former Soviet Union and China than they are in 11 economies; however, luxuries were much more expensive. For example, in 1986 an ,1 The cities in China have become modern, as this picture of Shanghai demonstrates. Planned and Unplanned Economies 331 two-room apartment in the former Soviet Union cost approximately $24 per month, and all workers were guaranteed a one-month holiday. Similarly, medical care and education were free. In China, the communist government made the provision of health care a top priority. It instituted a "barefoot doctor" program that sent doctors out to teach paramedics the basics of sanitation, hygiene, preventive medicine, and birth control. It similarly em­ barked on an educational program for all its people. Despite these impressive showings, both the Chinese and the Soviet systems often fell short. The $24-a-month apartments often required a ten-year wait, and consumer goods were generally rationed or impossible to get except on the black market, where they were enormously expensive. The medical care was inept. There were serious shortages of goods of all kinds. Productivity-the amount of output per worker-lagged and economic growth slowed. New technologies were not developed because no one had an incentive to develop them. One goal they did not meet was equity and fairness. The shortages did not fall on all peo­ ple equally. Through special commissaries, government leaders and Communist Party mem­ bers easily got the goods that were in short supply, while other people had to wait in long lines. By the 1980s, the general view of most social scientists and of many citizens in communist countries was that the planned economy was not delivering the goods. The people were be­ coming dissatisfied. In response, China introduced major modifications in its economic system, allowing the development of private markets while maintaining overall political control. The former Soviet Union and a number of the countries of eastern Europe took much more drastic measures. They essentially abandoned the socialist planned economy. How Market Economies Are Supposed to Work As you can see, planned economies have many problems. But so too do market economies. We can see some of the problems of the market economy in the United States by consider­ ing the recent plight of farmers who, in the recent recession, have lost their farms. In the planned economy, there might be losses, but they would not be suffered by the farmer, and the farm operation would continue uninterrupted. In the United States, some people grad­ uating from (or dropping out of) school cannot find a job, and they join the ranks of the unemployed. In the planned economy, all graduates have jobs. The complaints about market economies that led people to search for alternatives did not come from nowhere. As we stated previously, the complaints were rooted in suffering the market caused that people were unwilling to accept. To better understand how market economies are supposed to work, let's briefly consider economists' theory of a market economy. A market economy is an economic system that relies on the initiative of private citizens for the pro­ duction of economic goods. In the market economy, no production quotas are assigned. Farmers, bakers, and retail stores individually decide how much they want to produce on the basis of expected prices and costs of input. If they make a mistake, they-not the government-are responsible for the loss, and if they make a profit, they-not the government-receive that profit. Workers are not assigned to jobs; they seek their own. Those who organize and control produc­ tion must have incentives, and in a market economy economies were characterized by significant food causing people to line up to buy scarce goods. the chief incentive is the possibility of making profits. 332 � 16 The Organization of Economic Activities Planned and Unplanned Economies 333 Subject to the law of the land, anyone who chooses to is free to undertake the � ment of almost any kind of business enterprise. Businesspeople can choose both tl ucts to be produced and the methods to be employed in their production; they ' materials, labor, they managerial services; they can sell their products wherever p�·c buy them and at any price that customers are willing to pay. The chief problem in started is likely to be finding sufficient capital. If the new business is small, thc c capital plus personal credit or borrowing power may be sufficient. But if the bu larger, the owner must interest other people and induce them to contribute capital ners or, if a corporation is formed, as stockholders. There is no such thing as a 1 absolute free market economy in which the government plays no part at all- I freedom itself is always relative. When we sometimes describe the U.S. market econm free enterprise system, we do not mean that anybody can establish just any kind of h without meeting obstacles. We mean that in most cases it is quite feasible for pco1 can obtain capital, and who have the necessary personal qualities, to organize and c new business enterprises, and that they have a wide range of freedom in maku decisions involved. But in some industries, certain obstacles are difficult to overcomt automobile industry, for example, the capital required to establish a new company 1 and the risk of failure is great, and in the public utility industries, local monopol sometimes supported by law because this is believed to be in the public interc enterprise, however, means more than the right to start a business. Fully as important right of those who already own business enterprises to operate and control th� determine policies-subject only to laws and restrictions deemed necessary and rea'' by government. The government must provide the legal and economic framework and the gencr,c within which private enterprises operate. Although government participation in ew• affairs may be great or small, no government follows a complete policy of laissez-fai1 respect to the economic activities of private individuals. Figure 16. 1 provides an example of the interrelationships within a market econ(ll it we see that producers (firms) and consumers relate through the market. Workers c.1 come from firms and, in turn, spend their income on goods that the firms produce the workers don't spend they save in financial institutions that, in their turn, lend mo firms. The government enters the picture in two ways. It establishes the laws and regul that govern the interaction of individuals and producers, and it collects taxes and pn services for firms and consumers. GoVernment ffOdllctlve reaoarc11 Institutional Foundations of a Market Economy. Supply and Demand In a free enterprise system, markets and prices play a dominant role in organizing and trolling economic activities. Any commodity that cannot be sold in the market at ,, itable price will not be produced, at least not for long, whereas any commodity that � sold at a profit is probably going to be produced by someone sooner or later. When prices are not regulated and when markets are highly competitive, price ch keep adjusting production to consumption and consumption to production. For simp let us assume that by a competitive market we mean one in which there are many sm.1 dependent sellers of the same product and many independent buyers. Under these '' tions, if people wish to increase their purchases of a commodity, the resulting incr�· demand will cause the price to rise and production to be stimulated. Simultaneous! rise in price will restrict the increase of market demand. On the other hand, if people decide to decrease their purchases, the price will f,tl this will discourage production, but the lower price will tend to limit the decline in and consumption. As long as more of the commodity is still being produced and offert 1,..and Labor Capital Tim� Income Spending �· lllllitutlons Figure 16.1 Model of a market economy. sale than people are willing to buy, the price will continue to drop. In competitive markets, the price always tends to rise or fall until the amount of a commodity that is being pro­ duced and offered for sale is equal, at the market price, to the amount that consumers are willing to buy. This determines the equilibrium price, or the price at which demand exactly equals supply. Figure 16.2 is far too simple to take into account all the conditions in a real market, but it does illustrate the tendency under competition for the price of a commodity to rise or fall until demand, the amount of a product that people are willing to buy at a given price and time, equals supply, the amount that others are willing to sell. The vertical y-axis measures the price of potatoes per bushel; the horizontal x-axis measures the number of bushels. The demand curve, DD, shows the amount of a good buyers would be willing to purchase at dif­ ferent prices in the market on a certain day. The supply curve, SS, shows the amount of a good sellers would be willing to offer at different prices on the same day. 334 � 16 Modern Economies Are Pragmatic Market Economies The Organization of Economic Activities price. The higher price acted like a stick, leading people to decrease the quantity of oil tt used. Simultaneously, the higher price acted like a carrot, encouraging oil-producing fin to produce more and explore for more oil. Now let's consider the computer revolution, which represents a more pleasant side the market for consumers. Major technological breakthroughs in the development of co: puters increased supply, quality, and capacity. In response, prices of computers fell, and 1 dividuals, firms, and schools developed new ways to use computers, increasing the quant demanded. This revolution is continuing and will be an important phenomenon well ir the twenty-first century. An increase in supply causes prices to fall, giving individuals m< for less. Thus, not only does the market act as a stick as individuals are forced to char their ways because of higher prices, but it also acts as a carrot, causing individuals to fi new uses for goods and services whose prices have fallen. y s 0 8 � � 0 :;"' 0 3: 7 -;;; 0 c. 0 E 6 "' :::J .0 "' c. "' '-' d ern Econom ies Are Pragmatic Market Economies I ;t 5 - --- - � -- ..l I I I 0 I 1 00 200 300 400 500 600 700 X 800 900 Bushels of potatoes bought or sold Figure 16.2 Determination of equilibrium price. The point of intersection, P, shows that under the assumptions made in constt these curves, the market price would tend to be $6. The price could not, for example, $7, for then buyers would take only 300 bushels, whereas sellers would offer 600 h1 Because there are many competing sellers, some would soon reduce their prices as th sales lagging. Likewise, the price could not stay at $5, for in that case buyers would W<ll bushels, but sellers would offer only 300. As soon as buyers sensed that there Wl'! enough potatoes to go around, would raise their offers. Only equilibrium price of $6 woull forces of supply and demand be 1· ance, for at that price, buyers wm willing to purchase 500 bushels, ju amount that sellers would offer. To see the way markets wot � useful to consider two importan torical events: an oil "crisis" an computer revolution. Five times 1 last fifty years, there has been a s1 dramatic decrease in the supply c In each case, the market's reactio been a rise in the price of oil. Tl suiting price rise hurt consumers, made them change their consum habits. For instance, smaller, mor ergy-efficient cars were developed result was a decrease in the quant oil demanded, induced by the h The floor of the New York Stock Exchange. The preceding discussion should make i t clear that the distinction between planned a unplanned economies has broken down. First, those countries that had a planned econo1 in the strict sense of the word abandoned it. The Soviet Union dissolved, and its compont countries adopted markets. Similarly, China abandoned large portions of central planni and adopted markets as well. So, planned economies in the traditional sense are no lon1 of central importance. Second, the United States and western European countries adopl significantly more planning and government involvement in the economy than anythi envisioned by the theory of a market economy. In the U.S. economy today, governmen· involved in all levels of economic activity-either directly or indirectly. Consider the 2( financial crisis. When large U.S. banks and automobile companies were on the verge of 1 ing under, the government stepped in and bailed them out. It poured trillions of doll into the economy to support these companies. Our point is that, today, the distinctions among countries are much more nuan< than planned or unplanned. All modern economies, whatever their history, have evoh into pragmatic market eco nomies economies that use markets as a central way of allocat - resources, but which also regulate and control those markets and change market outcome5 varying degrees. Along with the downplaying of the differences in the planned and t planned nature of economies has gone a downplaying of the differences between capita economies and socialist economies. Modern economies are blends of both and are guic more by what works than by a strong ideological commitment to either. Today's econom reflect pragmatism more than the other "isms." Pragmatism, not ideology or economic tl ory, has become the primary driving force in determining how modern economies oper and the degree of government involvement. What really differentiates modern economies is their institutional and historical s tings, which affect how government interacts with markets. For example, in China, m people expect that the government will step in and change the results of markets if it d1 not favor those results. In China and Russia, property rights and the rule of law are far less established tt they are in the United States, which means that the Chinese and Russian governments < more easily step in and change a market outcome they do not like than can the U.S. gove ment. People's property rights are determined by the government, and a change in gove ment can change these property rights. In the United States, greater reliance on wha called the "rule of law," which stands above whatever government is in power, places restr tions on what government can do. Specifically, the rule of law limits any government's al ity to change property rights. This limitation allows businesses to plan ahead more ea: than they otherwise could. 336 � 16 The Organization of Economic Activities Questions for Review and Discussion Although we have also seen many examples of government intervention in th States, the law under which businesses are run is largely independent of who const11 government in power and therefore can be relied upon to be relatively stable. That 1 so in China and Russia. Because the rule of law is less established, the law and pr rights can be more easily changed by the specific government in power, if it choo' so. So, one's ownership of property is seen as at the will of government. This makl term planning more difficult and gives government a more important role in the n than in the United States. So, even though both China and Russia are now economies, they are different market economies than the United States. In Cht Russia, there is an implicit government control on economic activities that is stron in the United States. The difference is, however, nuanced, not the stark difference t l sometimes conveyed i n the past. Concl usion Fifty years ago, there were enormous debates about whether planned or unplanned, m nonmarket, socialist or capitalist economies were better. Some said that the collapse of Soviet-style socialist planned economies showed that the market is definitely prefc1 other ways of organizing economies and used that event as an argument for laissez 1;, against regulation. That argument is wrong. While the market certainly has its advant.l history of the U.S. economy reflects the serious problems markets can create, and th has survived is not a pure market economy, but a pragmatic market economy with eno government involvement. The United States has government-sponsored unemployml surance, government-regulated retirement programs (Social Security) , government 1 schools, and an enormous number of government regulations that limit our actiom market. We have a pragmatic market economy rather than a pure market economy. Today's economies in the world are almost all pragmatic market economic' government and the market interact in nuanced ways to solve problems that p themselves. There are problems with markets and there are problems with govern m e l ulation and government planning, and societies make pragmatic decisions about h handle these, at times relying more on markets, at other times relying more on govern In short, there is no perfect economic system. Organizing the economic affairs of lH of people is a difficult process and will be continually marked by problems. As new pro are faced, it is likely that economies will continually evolve, perhaps into types we have 1 classified. Economic systems, like culture and human beings, adapt to changes and cvt new ways of coordinating behavior are tried and as those new ways create new problem /(ey Points • • • The great economic problem that faces every modern society is to make the scarce resources available satisfy as fully as possible the ever­ expanding wants of its members. Our economy has evolved from feudalism to mercantilism to a market economy and finally to a pragmatic market economy. Socialist thought developed in reaction to the problems caused by a nonregulated market economy. • • • Unplanned economies rely on markets to n economic decisions; planned economies l l government. All modern economies have market econt that involve different amounts of govern involvement and planning. Pragmatism h.a come the primary driving force in detern1 the nature of the economy. Soviet-style socialism was abandoned becau economies weren't delivering the goods. M �oods were distributed unfairly, economic t\\ lh lagged behind that of capitalist countries, h nology in communications promoted dissent, I �thnic and cultural differences undermined l to nal unity. • 3� Markets create carrots and sticks when sup� differs from demand, leading the invisil hand to get people to do what is in societ interest. me Important Terms \24) u nism (328) 1 ( 333) curve (333) n11c goods (324) mics (322) 111ic wants (323) mizing (325) my (323) equilibrium price (333) factors of production (324) feudalism (325 ) great economic problem (325) invisible hand (326) labor (324) laissez-faire (326) market economy (331) mercantilist system (326) natural resources (324) planned economies (329) pragmatic market economy (33� socialism (328) Soviet-style socialism (327) supply (333) supply curve (333) unplanned economies (329) wealth (324) estions for Review and O is(ussion unomics studies the social organization through l11�h people satisfy their wants for scarce goods, duding services. Give some examples of onomic wants. ,\'h,lt four important functions must every econ­ ny perform? ,\"h.tt are economic goods? What are economic nls? What are economic wants? ,\'h,ll economic aspects does the family have? ,\'h,l t three factors o f production are necessary to roduce economic goods? ,\'hat is the great economic problem facing every tl l C t y? luw did the Industrial Revolution contribute to u nomic growth? 11 1 776, Adam Smith published the book The \l·alth of Nations. How did he believe a nation •uld become wealthy? In .1 planned or socialist economy, who is respon­ ahlc for building the factories and distributing hl' goods? In ,I n unplanned or market economy, who raises Ill' money and builds the factories? Who gets the •r ufits or suffers the losses? It the government controls the means of produc­ t run, what is produced, and how the goods are 12. 13. 14. 15. 16. 17. 18. 19. distributed, what are the advantages? What are t disadvantages? In a planned economy, if weather and plant d ease caused an agricultural disaster, would fan go out of production? Why or why not? What are some of the reasons that some co sumer goods are scarce and of poor quality ir socialist economy? If the price of Coca-Cola went up to $5 a c; what would you expect to happen to the quant of Coca-Cola demanded? Do you believe that everyone has a right to a jc If so, whose responsibility is it to provide tl many jobs? Give an example of how a socialist idea has be adopted in a market economy. Give an example of how a capitalist idea has be adopted in a socialist economy. In market economies, such as the United Sta and Sweden, taxes are quite high. How does t blur the distinction between the terms capita and socialist? W hy is the distinction between a planned and unplanned economy less relevant today? 338 � 16 The Organization of Economic Activities 9nternet Questions 1 . To construct a market economy, R. Vernon, at www. cipe.org/publications/ert/e20/E20.D2.pdf , states three lessons to learn from history. What are they? 2 . Using information found at www. auburn.edu/ -johnspm/gloss/index.html, what is the defini­ tion of a black market? 3. Go to www. res.org.uk/society/mediabriefings/pdfs/ 1 996/november/agell.asp and read about the wel­ fare state. What lesson can be learned from Sweden's experience? 4. Using http:// news.nationalgeographic .colll 2002/ 1 0/ 1 002_02 1 002_indiabirds.html, wl the seven practices determined to be rea't the large black market in exotic b irds in IJH 5. Go to: www.economist.com/displaystory.cfm id=l37433 1 0. What does the article mean visible hand, and how does it relate to a pt market economy? e Economy, Government, Economic Challenges ·ng the United States eadintJ this £hapter, you should be able to: 111 nguish government's indirect and direct roles in the economy the costs and benefits of regulation, and explain why should be seen as a continuous process 7-or Further Study Bishop, Essential Matthew, ------=- Economics, New York: 2006. Conspiracy of Fools: A True Story, New York: Basic Books, 2006. Friedman, Milton, Capitalism and Freedom, Galbraith, John Kenneth, Chicago: 1962. 1973. Wealth and Poverty, The Road to Serfdom, of Chicago Press, Capitalism, Socialism and Dr New York: Harper & Row, 1962. Twilight in the Desert: Tlu Saudi Oil Shock and the World Economy, Nl· Wiley, New York: Basic Books, 1981. Hayek, Friedrich, Press, 2004. Simmons, Matthew R . , Economics and the Public Purpose, Boston: Houghton Mifflin, Gilder, George, The Modern Firm: Organisational I> Performance and Growth, New York: Oxford l'1 Roberts, John, Schumpeter, Joseph A., University of Chicago Press, Chicago: University Jaffe, Adam B., and Josh Lerner, Innovation and Its The Wal-Mart Effect: How til Most Powerful Company Really Works-and I Transforming the American Economy, Ncl'l The Protestant Ethic and the Spirit of (11 Discontents: How Our Broken Patent System Is Endangering Innovation and Progress, and What to Do about It, Princeton, NJ: Weber, Max, WWW Capitalism.org www.capitalism.org Princeton University Press, 2006. WWW The Economist www.economist.com The Fortune at the Bottom of the Pyramid: Eradicating Poverty through Profits, Philadelphia: WWW Freedom Network WWW Informal Communist Discussion WWW Max Planck Institute of Economics Prahalad, C. K., 2006. Three Billion New Capitalists: The Great Shift of Wealth and Power to the East, New York: Basic Prestowitz, Clyde, Books, 2006. Other People's Money: The Corporate Mugging of America, New York: New Press, 2006. Prins, Naomi, -William Brainard (1904), New York: Scribner, 1958. http://thefreedomnetw1> a short summary of economists' view of the fiscal c risis, ..,alization, and global warming globalization, and explain the importance of the law Organization for Economic Development www.OECD.org As we discussed in the last chapter, our economic system is best thought of as a pragmatic market economy. That means we are continually searching for the right mix of government and market control to meet society's desires . In this chapter, we explore that mix and the challenges facing the U.S. economy in the coming decades. In talking about the government's role in the economy it is useful to distinguish gov­ ernment's indirect role-its role in specifying what individuals and bus inesses can and can­ not do through laws and regulation-from its direct role-its role in the economy as an in­ stitution that spends and taxes. Let's begin with government's indirect role. www.commun www jena.mpg.de WWW examples of two ways the government influences the of income -..h...;"" 2006. Walter, David Moberg, Penguin, 2004. 1944. Wharton School Publishing, If you don't know what you are doing, for God's sake, do it gently. two contentious roles of government Bloom berg/Economist Books, Eichenwald, Kurt, 1 Cooperatic111 ernment's Indirect Role in the Economy The government's indirect role in the economy is to provide a legal and institutional setting for the workings of the market by establishing and enforcing laws that regulate actions of individuals and businesses. Such laws have significant influence on who gets what, how people spend their money, and how people conduct economic activities. Let's first consider government's influence on who gets what. Say the government passes a law that people can freely share downloadable songs and movies, or even that they can provide a site that allows other people to share songs and movies . Such a law will trans­ fer income away from the producers of songs and movies to consumers of songs and mOVIeS. Alternatively, if the government establishes laws that prevent someone from practicing law or from teaching without a license-even if other people want to hire them despite 339 340 � 17 The Economy, Government, and Economic Challenges Fac i n g the Un ited States their lack of a license-that law will transfer income to licensed lawyers and lei!� away from consumers. The list of ways in which the government indirectly detcm distribution of income with such laws of regulation is long and can be extended .11 finitely. In other words, what someone earns reflects not only his or her efforts bu rules the government establishes that govern how the income is earned. The government's influence on how we conduct economic activities is just sive. For example, if you want to drive a car, most states require you to have car 111 You must wait until you are a certain age to begin to work, and when you do must keep certain records and file tax returns . Firms must abide by certain nond1 tory practices when hiring, provide proof of insurance, and ensure their produ certain standards. It is because of government's large indirect role that we called 1 nomic system a pragmatic market economy rather than a free market econonn sometimes called. A free market economy would be anarchy. The U.S. economy i� I anarchy; it is a highly regulated market economy where the regulations reflect pr considerations that reflect attempts to correct problems caused by markets and I' c aused by government. Both are problematic, and all societies continually search right combination. Govern men t's I ndirect Role i n the Economy Pesticides-No more than 5 parts of the pesticide DDT per million parts of fat in the meat. Fat-No more than Lettuce-Must be fresh, not soft, overgrown, burst, or "nbby." Bun-Enriched bun must contain at least 1.8 milligrams of thiamine, 1.1 milligrams of riboflavin, and at least 8 but not more than 12.5 milligrams of iron. Content-It must be fresh or frozen chopped beef and not contain added water, binders, or extenders. ____- Pic k les-Sl ices must be between 1/8 and ::::=.---3/8 inches thick. S..._,.,.,., . 2 ��--·' iill�___/ ' Ketchup-To be considered Grade A fancy, it must flow no more than 9 centimeters in 30 seconds at 69 degrees Fahrenheit. Growth promoters-Use of growth-stimulating drugs must end two weeks before slaughter. � �_) �- I c:;.J..�- w f -��"::' ....,, The Problem of Regulating the Economy All individuals agree that some regulation is needed. The questions are: How mm what type? One type of regulation that has come under specific attack is unfundl.t dates, or regulations by the federal government that impose significant costs on iml and states but do not provide the funds to pay those costs. One example of an u n mandate is the law passed b y the federal government t o make all public building United States accessible to all individuals, including people with physical and men abilities. Passing the law was easy and seemed right to many Americans. But the I posed serious costs on many businesses, and the law did not provide those busines�� way to pay for them. Governments pass many such laws and regulations every year t pose large costs on individuals and firms in the economy-costs that someone, citl firm or their customers, must pay. The debate over regulation is ongoing. Supporters of a particular regulation gl argue that the regulation serves an important purpose of protecting individuals and suring that economic activ ities are carried out in a way that the legal system considc Opponents of a particular regulation generally argue that the costs of the regulation high, citing examples such as the following, which appeared in the Wall Street ]om upstate New York nursing home had been cited by state officials as "a shining exam, what such an establishment ought to be. However, not long afterward, the owner 1 home closed it down with the following explanation: "It was just impossible. Thl·r eighteen state and federal agencies putting forms, questions, and statistical request' my desk. Medical reports . . . census figures . . . Social Security . . . unemployment ance . . . workers' compensation . . . withholding taxes . . . daily time sheets . . . work pl.11 was just one thing after another." According to the owner, she sometimes spent c1 hours a day just handling the government paperwork required for only twenty pa t ic n fourteen employees . The weight of the regulatory burden on firms is given a stark rep tation in Figure 17 . 1 . Such large-scale regulations have brought about a reaction on th of some people supporting the doctrine of laissez-faire, the theory that government interfere with business as little as poss ible. The problem for strong advocates of laissez faire is that while there are many ex,1 of large-scale and intrusive regulation, there are also many examples of regulatio n have helped society, and there are parts of society that most observers would co under-regulated-areas of the economy where the lack of regulation has caused sign• problems for the economy. Let's consider a couple of them. The first involves poll uti• 341 Mayonnaise-May be seasoned or flavored as long as the substances do not color it to look like egg yolk. � Tomat o- Must be � • mature but not overripe or soft. .----- Cheese-Must contain at least 50 percent milk fat and, if made with milk that is not pasteurized, must be cured for 60 or more days at a temperature of at least 35 degrees Fahrenheit. Inspections-As many as six inspections under Federal Meat Inspection Act can occur as meat is checked before and after slaughter and at boning, grinding, fabrication, and packaging stages. Figure 17.1 Your hamburger: More than 41,000 regulations. the past, firms and people have been able to pollute without facing any limitations on their actions. That pollution has often made s treams unusable, the air unbreathable, and has de­ stroyed beautiful areas and public lands. In economists' parlance, s uch problems are caused by externalities-the effects of a firm's actions or decisions that negatively affect others but that the firm does not consider when undertaking the action. When there are externalities, the situation is made worse for the majority of people by the action that caused the exter­ nality. Economists agree that even in a primarily market-based economy, regulation is needed to see that those creating negative externalities stop doing so at least to the degree that others would be willing to pay them not to undertake those activities. Another example of an area where lack of regulation causes problems involves financial firms that made loans and took in deposits without regulation. The lack of regulation allowed these firms to borrow enormous amounts of money to buy highly speculative mort­ gage backed securities (bonds backed by risky mortgages). When the value of those bonds fell, the firms could not pay back the loans, and they would have collapsed without govern­ ment intervention. Many felt that these financial institutions deserved to collapse. Unfortunately, their collapse would have brought down the entire United States, and proba­ bly world, economy along with it, which would h ave made the situation worse for everyone. They were considered "too big to fail;' which means that the U.S. government felt it necessary 342 � 17 Government's Direct Role i n the Economy The Economy, Government, and Econom ic Challenges Facing the United States to enter in and bail out the firms. The bailout, which occurred in 2008 and 2009, em the U.S. government trillions of dollars. The problem here is the fact that if a firm " to fail, it is too big not to be regulated; and in 2009 and 2 0 1 0, the United States was C\ ways to increase the regulation of financial firms in an attempt to avoid another fit cris is in the future. There are huge differences of opinion about how much and what kind of regul desirable. It is clear that many government regulations have served the public interc seems equally clear that some intended to do so have not. What makes finding the ri of regulation so difficult is that the problem of regulation cannot be solved once ,, all and then forgotten. Technology and social situations are continually changing means that regulations appropriate in the past may no longer be appropriate. Peo1 figure out ways to get around regulations, so that the regulations become less effecll time. Thus, regulation must be seen as a continual process, which requires regulator' ahead of the firms and the individuals regulated. Successfully doing so requires eno expertise and commitment-expertise that is expensive and often beyond the buc governments. Whose Desires Does the Government Reflect? If government always reflected "society's will," there would be far less debate about 1 tion and government's role. But it doesn't. "Society's will" is an artificial construct; tl no society that has a will of its own that can be specified separately from the collectl of the individuals within the society. Whose desires will be reflected by government ,, ety's desires is subject to enormous political infighting; it reflects the political power c ious groups-those with political power get their desires met, while those without pc power do not. Often, from many outside observers' perspectives, government laws and regulat io not designed to help the general public, but instead are designed to help special inh Consider the issues of patents and copyrights. All agree that some patent and cop protection is useful because it creates incentives for the development of new techno and products, but many argue that the length of time that patents and copyrights last longer than necessary to encourage such developments and that the length of patent copyrights in the United States could be shortened significantly, thereby benefiting th era! public with minimal negative effects on incentives . Why don't governments shorten these times? Critics claim that the reason is t would reduce the patent and copyright owners' income-and those owners lobby Co r hard to prevent that from happening. An example of this is the Copyright Term Extl Act of 1 998, often called the "Mickey Mouse Protection Act" because the ll Corporation was a big beneficiary of the law. Disney's copyright on Mickey Mou about to expire after 75 years. That would have let anyone produce Mickey Mouse without paying Disney. Disney lobbied Congress hard, and Congress extended the right for decades longer, essentially transferring billions of dollars from consumc Disney. Many similar examples exist. So while most people agree that in principle, regulations can improve the work111 an economy, there is far less agreement whether in the real world regulations can imJ the workings of the economy or whether regulation simply provides an alternative m through which special interests can improve their position. Fluctuating Attitudes toward Regulation U.S. attitudes toward regulation have fluctuated. In the 1 960s and early 1 970s, regul was seen as a necessary limit to private powers. About the mid- 1 9 70s and well inh 1 980s, the pendulum of public opinion shifted, and many believed that the U.S. ecor 34 was suffering from overregulation. This led to a belief that deregulation or the removal ul those excessive regulations would improve the workings of the economy. Then, in tht 2000s, the pendulum swung again as first accounting scandals, and then the financial crisi' of 2008-2009, rocked the economy and brought it to the verge of collapse because of finan cial risktaking by large banks and insurance companies. In response, public opinion shifted to favor more, or at least better, regulation. ernment's Direct Role in the Economy Besides its indirect role of making laws and regulations for the economy, government also plays a direct role in the economy. By that I mean that it is an active participant in the econ­ omy and that it collects and spends trillions of dollars a year. The reason government has a direct role in the economy is because some things are better done collectively than individ­ ually, and government is the natural institution in our society to carry out collective action. Let's consider one example of something best done collectively: defense. If each of us pro­ vided for our own defense for attack from another country, our country would likely be taken over by another country-each individual in our country couldn't afford to provide even one plane or one battleship. These collective consumption goods, sometimes called public goods, are more efficiently supplied by government than by individuals . Where the Government Spends Its Money Each year, the federal government spends over $3 trillion to fi nance its activities, and state governments spend more than $1 trillion to finance their activities. Figure 1 7.2a shows the division of federal government expenditures; Figure 1 7 .2b shows the division of state gov­ ernment expenditures . As you can see, the federal government spends the largest percentage of its tax revenue on income security programs. By contrast, after administration, state governments spend most of their money on education and income support. In addition to federal and state governmental activities, there are also local government activities . Local governments spend most of their budgets on education and roads. 20% 21% Social Security National Defense 24% Public Welfare 31.5% Education a Figure 17.2 b (Source: U.S. (a) Federal outlays by use, 2008. (b) State outlays by use, 2007. Treasury.) Department of Commerce, U.S. Department of the 344 � 17 Some Controversial Roles of the Government The Economy, Government, and Econom ic Challenges Facing the United States Where Government Gets Its Money If government is to supply a good, it has to pay for it. The three main options for P•• voluntary contribution, taxes, and borrowing. The most prominent of these is t have a government is to have taxes. Why not pay for those goods through voluntan butions? The reason is that people have a natural tendency to avoid contributin!' public goods, even when they are receiving the benefits. Therefore, all governmenb I power to tax-to force people to pay for the goods that government supplies. Born also used by government, but borrowing does not eliminate the need for governmc11 for the goods or for taxes; it simply puts it off until later. Moreover, borrowing m� the government not only has to pay the money back; it also has to pay interest on th, Each year, the U.S. federal, state, and local governments together collect over !!>I in taxes. Figures 1 7.3a and b show the divisions of tax revenues for the federal .u governments. As you can see, the federal government's primary sources of rev�• Social Security taxes, individual income taxes, and corporate income taxes. State .u governments' primary sources of revenue are a combination of two sources-s,ll and transfers from the federal government . Local governments get most of theit 1 from property taxes. 345 year-are excessive. Some reformers advocate a hybrid system-public funding but private provision-through vouchers given to parents, allowing families to choose which school to send their children to and to pay for at least part of the school cost with the government vouchers. Education is not the only good that can be paid for and supplied either by government, individuals, or private firms. For instance, health care and prescription drugs are goods that could be paid for and supplied privately but are actually paid for in part by the government, although in the United States, supply remains private. Some reformers are advocating a much larger role for government in paying for and supplying these goods. The direct role of government in the economy will always be an important issue of de­ bate in a pragmatic market economy. Economics gives guidance about problems that will likely develop if certain methods of supply are chosen over other methods, but economic theory does not say that one approach is better than another. Economic theory, and social science theory generally, provides insights into the consequences of adopting certain poli­ cies, but not the answer to the question of which policy should be adopted. That is a choice society must make. me Controversial Roles of the Government Alternative Methods of Supply in a Pra'lmatic Market Economy Once a government exists, the political process can decide which goods the gov( should provide, which goods should be supplied privately through the market , .111 other roles the government should have. Many different arrangements are 1� Consider education. It could be supplied privately with individuals paying for thl· t ion they want, in the same way that people pay for their cars. But this is not the w societies provide education. Most societies provide education for all students by p.l\ it with money collected in taxes. Why? Because they feel education benefits the SOCI whole as well as the individuals getting the educat ion. In the United States, tax-paid education ends with the completion of high school, although most states have colll universities that receive part of their budgets from tax money. Currently, there is a debate about whether public schools are doing an adequate providing a quality education and whether their costs-more than $ 1 0,000 per st ud r 2% Excise Tax 1% Other 14.6% Other 26% Insurance Trust a b Figure 17.3 (a) Federal revenue by source, 2008. (b) State revenue by source, 2007. (Source: U.S. Department of Commerce, U.S. Department of Treasury.) Let's now turn to some roles of government in the economy that combine the government's indirect and direct roles. First, we will look at income redistribution through government; and, second, we look at government's macroeconomic role. Income Redistribution throu'lh Government Perhaps government's most controversial role involves the redistribution of income. Redist ribution of income is achieved both through the government's direct and indirect roles. We have spoken of the indirect role's effect on distribution above. By allowing long­ term patents and copyrights, the government redistributes income from consumers of books and music to people who own those copyrights and patents. Another example of such indirect redistribution involves the allocation of the broadcast spectrum, which the government has given to a small number of corporations, providing billions of dollars in wealth for them and higher costs for the public. A third example concerns the recent pro­ posed allocation of C02 rights for the cap and trade policy by which the government is at ­ tempting to help fight global warming by reducing C02 emissions. Ignoring the advice of almost all economists, the government has proposed to give the majority of these rights to exist ing polluters rather than auctioning them off. The existing polluters will then be free to "sell" those rights if they cut their pollution. By allocating the rights in that manner, the government is creating a t ransfer of hundreds of billions of dollars to these companies and to the people who buy their outputs-and away from the government that would have received the income from auct ioning off these rights. A final example involves the licensing of professions such as lawyers, medicine, and real estate. Those licenses force suppliers of these services to go through an often expensive schooling before they are allowed to practice that profession. In doing so, the government limits certain activities to those who have gotten the credential. That limitation raises the price of the service considerably from what it would be if entry had been free. Consider a couple of examples-a person (even a medical doctor) is not allowed to charge for ad min­ istering a rabies shot to a dog, even though he or she might know how to do so from his or her training. Similarly, a person who has specialized in writing wills is not allowed to charge for writing a will for a friend. Doing either would be practicing a profession without a li­ cense, which is against the law. There are, of course, benefits of people having qualifications, 346 � 17 The Economy, Government, and Economic Challenges Faci ng the United States Some Controversial Roles of the Government but often the training doesn't really make someone qualified; it simply serves a' that people must meet to enter a profession. Government could let people know qualifications with a certification program, rather than a licensing program. Th( could decide if they wanted to hire a "certified" lawyer or an uncertified lawyer. such a program, it would be possible to have much more freedom of entry into pre than there currently is, while still giving people the option of hiring a certified prot Alternatively, government could provide narrower sublicenses i n which a non-law� be licensed to do particular types of activities-such as writing a will-but not otl of activities, such as defending a client i n court. Government also directly influences the distribution of income through its taxing power and its spending functions. Generally, this involves imposing relativd taxes on people who have high incomes and using that tax money to provide addu come to people whose income would otherwise be much lower. There are three W<� done in the United States: 1 . We have a progressive income tax system-people who earn high incomes ar( a high rate so that the government can use tax money to provide programs fc income people. Although our income tax is progressive, it is far less progreSS I\ has been in the past. During World War I I and for a short while thereafter, th� era! tax rate on high-income individuals was over 90 percent. Today, top b rates on earned income such as wages are about 35 percent. Some other incm as increases in the value of stock and stock dividends, is taxed at a lower ratl· these lower rates, however, there is still some redistribution of income. 2. We have low-income tax credits. Low-income people are given a tax credit," of paying taxes, they receive a direct payment from the government. 3. We have entitlement programs that favor the poor. The majority of incoml' our government provides is through entitlement programs such as Social Medicare, and Medicaid, which are designed to favor the poor somewhat. Fort the federal government pays the Medicare (health insurance) premiums for m income people. Each of these programs is complicated, and we could write a book about each om· ing to explain their intricacies; we won't do that here. We focus our discussion on ample, the Social Security program, the largest government expenditure program. The first comprehensive government-adm1 social insurance system was enacted by imperial Germany in 1 8 89, sponsored famous German chancellor Otto von Bismarck, who apparently conceived of it as , 1 allaying social unrest. Over the next three decades, similar plans were adopted I other major industrial nations. It was not until the Great Depression of the 1 930' United States passed the Social Security Act of 1 935, a broad program of social in Under pressure from President ·Franklin D. Roosevelt, Congress enacted the I Insurance Contributions Act (FICA), a plan providing a broad program of socialu funded by a tax levied half on employers and half on employees. The pl.11 compromise between liberals who wanted a much larger guarantee of government support and conservatives who opposed any such plan. The U.S. Social Security System , Social Security Is Not Insurance Because of the debate surrounding it, Social Secur described to the public as a type of contributory insurance plan, even though it a not meet that definition. A true insurance plan would collect money, invest it, ani the proceeds pay people who found themselves in the circumstances against whi were insuring themselves. As it developed, the Social Security system paid out tht almost as soon as it took it in. Thus, it was not funded like an insurance plan h1 347 system in which there was only a small reserve; benefits were paid from current contributions. Such a procedure does not necessarily mean the system is unsound. As long as new contributions at least equal expenditures, the system can continue forever. However, by calling it an insurance plan when it was actually something quite different, the government laid the foundation for future problems. Initially, the problems were not evident: The plan was a modest one, contributions were very small, and monthly benefit levels were very low. In those initial years, it was not planned as a retirement system but, rather, as a cushion against destitution in old age and as a supplement to whatever other plans workers made for retirement income. Through the 1 980s, the law was amended many times, almost always to increase the amount of an indi­ vidual's benefit and sometimes to increase the number of people who could become eligi­ ble. As legislated expenditures of the program have increased, the tax has greatly increased as well. Beginning in the 1 980s, fear about the stability of the system led to some cutbacks such as computing current benefits at slightly lower amounts and, for the future, setting the retirement age higher. Social Security Benefits and Taxes How much do people pay for Social Security? In 2009, individuals paid a tax of 6.2 percent on their wages up to $ 1 06,800 and an additional tax, dedicated to health benefits, of 1 .45 percent on their total wages. Businesses that hired them paid an equal amount. This is in addition to the income tax that individuals pay. How much do people get back for what they put in? That depends on how long they worked, how much they earned when they worked, and when they started claiming bene­ fits, along with a variety of other factors. To give you a rough idea of how much someone would get, say a worker earned $50,000 a year when he or she retired, and worked consis­ tently most of his or her life. That worker would receive about, $ 1,400 a month in 2009. (You can figure out what you might get when you retire by going to http://www. retirement­ income.net/social-security-calculator.html ) . That amount is indexed for inflation, so it will increase as inflation increases. T he Future of the Social Security System Because Social Security is a pay-as-you-go system, not an insurance system, how solvent it is depends on how many people are paying into it and how many are drawing out of it. When the program began, many paid in and few took out. In 1 9 50, for every one person drawing benefits, 1 6.5 people were paying in. In the early 2000s, that ratio had changed to about one person drawing out for every three people paying in, necessitating a much higher tax rate applied to a much higher base (in 1 937, the tax was just 1 percent and applied only to the first $3,000 of income). But the real crunch will come between 2020 and 2030, when a large majority of the baby boomers retire. At that time, the ratio of people paying in to people drawing out will be two to one. The Social Security Trust Fund, which has been built up by raising the FICA tax above what is necessary to fund the current benefits, provides some cushion against the future im­ balance between the number of people paying in compared to the number of people draw­ ing out. But the United States cannot escape the fact that in ten to twenty years, the Social Security system will be supporting many more retirees than it does now, while at the same time having many fewer contributors per retiree. Government's Macroeconomic Role Another important, but controversial, form of government involvement in the economy in­ volves its macroeconomic role which involves protecting and i ncreasing society's welfare based on a consideration of society's welfare as a whole. To understand government's macroeconomic role, it is useful to contrast it with government's microeconomic role-a role that involves protecting and increasing society's welfare based on the consideration of individuals' welfare. Both roles consider society, but microeconomics builds up from the 348 � 17 The Economy, Government, and Economic Challenges Facing the United States 1 individual, and macroeconomics starts with the whole and then breaks the whole The reason is it called macroeconomics is that it focuses its concerns on the a&: (macro) society-whereas microeconomics focuses its concerns on the individual categories consider the welfare of society, but they approach it differently. Thus , for economists, government's microeconomic role is concerned with imt. problems such as health care or old-age pensions. Government's macroeconomic concerned with the economy as a whole-seeing to it that the overall economy rem,w ble, does not fall into a depressio n, or experience runaway inflat ion. Over the past hundred years, there has been significant fluct ar� in unemployment, inflation, and output. These fluctuations in aggregate output period boom a has it 7.4; 1 Figure in shown is cycle business cycles. A typical business recession period. Up until the 1930s, most economists thought such business cycles were inc\ one\ Society should put up with them just as one endures minor aches and pains in eco the stabilizing So there was felt to be little macroeconomic role for government in hl ts Economis life. of Fluctuations and unemployment were seen as inevitable parts h out figuring and inflation, g that government should be concerned with preventin that do To . spending that for pay to control its tendency to spend without taxing 11 economists of the time supported government running balanced bud gets-except supply. money the in increases ods of wartime-and in limiting That view of the role of government changed in the 1 930s when the economy fell deep depressio n. A depression is a period of drast ic decline in an economy, charactcn decreasing business activity, falling prices, and unemployment . Most Americans, jud .11 today's standards of income and consumpt ion, were relatively poor in the middle u t comparis in for present, 1 920s, but we must be cautious in judging the past by the p• nted unprecede of period a anything they had known before, people were enjoying ity. True, some groups, including farmers, did not share in this prosperity, but Americans had achieved higher incomes than ever before. Furthermore, a great spcu rise in the prices of real estate and stocks had helped to create a general feeling of opt• This feeling was soon dissipated by some rude shocks. In October 1929, then spectacular break in the stock market, and this was only the first of a series of develop h that, by 1 932, brought the country to the greatest depths of depression in its entire h.• about by dropped From 1 929 to 1 932, industrial productio n and national income q unemployment rose from about 3 million to between 1 2 and 1 5 million, or about a ant! ement, discourag losses, brought ents of the nation's labor force. These developm hardship to millions of people. In response to that depressio n, in the 1930s the government instituted many ol come security programs . It also took a much greater role in maintaini ng the levclt I ployment in the economy and in stabilizing the economy. This change was closely Stabilizing the Economy. Peak Peak " c. � � r \ Contraction 1 )\ 1\ Trough Figure 17.4 Idealized business cycle. ' Expansion Time Some Controversial Roles of the Government 349 what has become known as the Keynesian view-the view that government can and should play a stabilizing role in the economy. It is named after John Maynard Keynes, the English economist whose work played a big role in bringing about the change. The widespread adoption of the Keynesian view of the economy created the field of macroeconomics as dis­ tinct from that of microeconomics. Monetary and Fiscal Policy. Government's macroeconomic role is performed by both the executive branch of government, which has responsibility for fiscal policy, and by the Central Bank of the United States , the Federal Reserve Bank, or Fed-a type of banker's bank that has responsibility for monetary policy. Let's discuss each in turn. Fiscal policy is a policy of using the government budget surplus or deficit to influence the level of spending and income in the economy. The economist's standard rule of thumb for fiscal policy is that if total spend ing in the economy is too low, the government should run a budget deficit; this deficit adds spending to the total flow of income and has a multi­ plied effect on the total level of spending. If total spending is too high, the government should run a budget surplus; this surplus subt racts spending from the total flow of income and has a multiplied downward effect on the total level of spending. This rule of thumb allows that some government budget deficits can be useful in stim­ ulating the economy out of a recession. Therefore, if the U.S. economy falls into a recession, we are likely to hear calls for increases in government spending or decreases in taxes in or­ der to stimulate the economy. That is p recisely what we heard in 2008 when the U.S. econ­ omy seemed to be in freefall. In response, the government ran a massive deficit and in doing so likely avoided a depression. But it also created an enormous problem-how to wean the U.S. economy from the deficit spending and the bailouts. A second macroeconomic tool to control the economy is monetary policy. Monetary policy is a policy in which the Central Bank (in the United States, the Federal Reserve Bank, or Fed ) varies the level of money and credit in the economy to affect the level of income. The Federal Reserve Bank (Fed) is a semiautonomous agency that is only indirectly respon­ sible to Congress and the president. It is run by a Board of Governors appointed by the president and serves as a bank to banks. It issues lOUs (also called notes ) that serve as the basis of our money supply. (If you look on a dollar bill, you will see that it is a Federal Reserve note. ) Whereas at one time gold backed the dollar, presently only trust in the fact that others will accept this dollar backs it . The government provides no backing for the dollar except its ability to tax. What gives money its value is that the Fed is committed to issuing only a limited quantity of its notes, or IOUs. Credit and the financial sector are the equivalent to an economy's heart . They are essential to the economy because a failure of the financial sector means its heart stops beat­ ing; if that happens, firms and individuals cannot borrow or pay their bills, and they have to cut production. These cuts in production can push the economy into a downward spiral that ends in a depression. The discussion of the technical operation of monetary policy is best left to economics courses. What you should know now is that monetary policy does not affect the level of in­ come directly; rather, it affects the interest rate by making it easier or harder for individuals and firms to borrow. When the Fed increases the money supply, it is called expansionary monetary policy. Expansionary monetary policy makes credit easier to get and lowers inter­ est rates; as interest rates fall, investment increases, which in turn has a multiplied effect ( upward) on the level of income. When the Fed decreases the money supply, it is called con­ tractionary monetary policy. Contractionary monetary policy makes credit harder to get and raises interest rates. As interest rates rise, investment decreases , which in turn has a multiplied effect (downward ) on the level of income. 2008-2009. We can see the macroeconomic role of government in action in the 2008-2009 financial crisis. The crisis began with a Government's Role in the Financial Crisis of 350 � 17 The Economy, Govern ment, and Economic Challenges Fac ing the U n i ted States sustained rise in housing prices, leading people to see home ownership as a way of 11 money. People reasoned that if housing prices are rising by 30 percent a year, and the) borrow $ 1 00,000 at 6 percent interest to buy a house, that they would pay $6,000 in in get a house to live in, and after a year they could sell i t for $ 1 30,000. They coult $24,000 minus commission by "flipping" that house. They then would do it agai n time borrowing $ 1 30,000. With prices of housing rising at 30 percent per year, o'' house was even better than a free lunch. It was a money machine. The housing boom was fueled by a relaxation of bank and government regulatu how much money people could borrow on a house. The relaxation of these regulatu duced the down payments and reduced the income they had to have in order to qu.tl a loan. In some instances, out right fraud was encouraged by mortgage brokers who h dividuals to put much higher incomes on their application forms than they actually I that they could qualify for a higher loan. For example, a grocery clerk checkout 1 might list her income at $2,000 per week, and the loan would be approved without ch up on the income. (These loans became known as liar loans.) As the boom continued, housing price rises became expected; more and more 1 entered the housing game-moving to bigger houses, taking equity out of their l houses with home equity mortgages, and buying two or three houses and renting th( "Flip That House" became a popular TV show. The process worked as long as housing prices kept rising. But when housing stopped rising and started falling, the free money disappeared . Now the people who I the house discovered that they had a house worth $90,000 and a mortgage of $ 1 which they couldn' t pay. They faced foreclosure. Someone, o f course, had t o pay, and of the discussion after the housing bubble burst concerned who should pay. [, wanted someone else to pay. The financial problems of the United States in 2008-2009 were not confined housing sector. The problems spread, like a cancer, through the entire financial systu reason why was that when the housing boom was in full progress, the mortgages 01 houses were combined together into financial derivatives-financial assets whose ' derived from another financial instrument-and sold as safe, secure assets that paid interest than other safe assets. Investment banks and large commercial banks bough numbers of these financial derivatives, paying for them with borrowed money. Thi' that highly insecure mortgages-many of which were going into default-were servi n curity for significant amounts of financial assets held by banks, individuals, and 1 funds. In turn, these financial institutions held people's savings and checking a(� which meant that the financial system was like a house of cards with defaulting hom( gages on the bottom line. When they crashed, the rest of the house of cards collapsed When housing prices stopped rising, it became clear that many of these mortgag� not going to be paid back. This meant that investment banks and commercial ban held these assets were holding assets worth far less than they had paid, and that they ,1 might go bankrupt. Because of fears of that happening, other firms did not want to dt ness with those banks and financial institutions. Financial flows in the economy, whid trade possible, came to an abrupt halt. It was as if the economy's heart stopped beatin As the effects of the financial crisis affected more and more sectors of the ell the entire U.S. economy began moving into a recession, and possibly a depressim production falling, people losing their jobs, which meant they bought less, which production fel l more . . . . . In response, the U.S. government stepped in and did two things. First, it insttt massive financial bailout of banks and financial institutions-buying some of the 1 tives that no one wanted, and guaranteeing many of the banks' loans. This quid saved the U.S. banking system from collapse. Second, the government instituted a 11 fiscal stimulus package, increasing its spending enormously, while cutting taxes. It the U.S. government ran a $ 1 .4 trillion deficit, which meant it spent $ 1 .4 trillion mm Economic Challenges Faci ng the U . S . i n the Future 351 it took in taxes. Those actions kept the U.S. economy going, and prevented a depression, but it left it in a weakened condition to meet important challenges in the future. mic Challenges Facing the U.S. in the Future In the remainder of this chapter, we introduce you to economists' thinking about three current and future challenges, the fiscal crisis, global warming, and surviving in a globalized economy. The Fiscal Crisis As discussed in the previous section, the government responded to the financial crisis by in­ creasing spending and cutting t axes. This created a huge fiscal deficit that is so large that it can reasonably be called a fiscal crisis-an increase of deficits and debt of a country to a level that can t hreaten the financial stability of the government. You can see the problem that the government faces in Figure 1 7-Sa, which shows U.S. budgets as a percentage of U.S. total output . Figure 1 7-Sb shows the size of the U.S. total debt relative to its total output. As you can see, the United States has run an almost continual deficit over the years, and that deficit has increased enormously in recent years. This means that even though total output has been increasing, total U.S. debt, which had declined as a percentage of total output after World War II, has been increasing for the last thirty years and has increased enormously in re­ cent years. To solve the fiscal crisis in the coming years, the government must figure out a way to eliminate much of that deficit and start paying back some of the debt it has accumulated. The reason it will have to eliminate that deficit is that i n order to finance it, it m ust sell bonds; and, if it accumulates too much debt, people will not be willing to hold government bonds. We're a long way fro m that now, but if the greater than trillion dollar deficit contin­ ues, we will get there relatively quickly. So the government will have to figure out a way to cut spending or to raise taxes. Economic theory does not say which must be done, but it does say that one, the other, or some combination of the two must be done for us to find a solution to the financial crisis. The accompanying box captures the key element of any solution to the fiscal crisis­ there's "no free lunch" and government's activities will have to be paid for. The "no free lunch" problem ( everything has a cost and m ust ultimately be paid for) facing government is the same problem facing individuals and businesses. One of the central policy proposi­ tions that economics has come to is that successful societies are those that have figured out - :::J � c.. :::J 0 'iii ;§ 0 "' en -E"' 0. :::J 10% 0% -10% 75 .!9 50 � 25 "' c.. </) "' ' .� -30% 0 0 c:: "' </) "' 1900 100% ;§ "' en � :g_ -20% � � 1920 1940 1960 1980 Years (a) Budget Deficits as Percentage of Total Output - 2000 .0 "' 0 0 1800 1840 1880 1920 1960 2000 Years (b) Debt as Percentage of Total Output Figure 17-5 Source: The Economic and Budget Outlook, Congressional Budget Office, 2009 (www.cbo.gov) U. S. Bureau of the Census, historical Statistics, and estimates. 352 � 17 here Is No Such Thing as a Free Lunch the econom i sts to red uce the information i n the book to one sentence within the next week. He t them he wou l d put them to death if they did not complete the task. After lamentin g their fate for a couple of hours, they decided the task was hopeless and that they might as wel l order one last meal before they wer to death . They cal led in their order for a thick-cru · It is sometimes said that economics is simply the application of some tautologies (statements that are true by definition ) to a consideration of social issues. One of those tautologies is captured by the followi n g a pocryphal story about a tyrannical k i n g w h o decided that he wanted a l l economic knowledge sum med up i n super-veggie pizza. When the delivery man came v. their pizza asked for h is money, the economists re ized that they didn ' t have a n y. The k i n g had taken away thei r checkbooks and credit cards. When they told the del ivery man that, he took the pizza back ' wal ked away, saying "you guys are economi sts; you should know that there a i n't no such th i n g as a fre l u n c h . " U pon heari n g this, the h u n gry economists looked at each other with a gri n, sayi n g in u nison , a ten-vol ume work, so that h e cou ld read i t a n d better ru le h i s cou n try. He assembled the best economists i n the nation a n d told them to complete the task i n four years. They set to work, and at the end of four years they had a l l ten vol umes completed. U n fortu n a te l y, the kin g had become busy with af­ fairs of state in the i n te r i m , and he no longer h a d time t o read t e n vol u mes. So he told t h e economists to reduce it a l l to one vol ume wi thin the next year. They d u t i fu l l y set to work d o i n g so. B u t at the end of one year, the king became m u c h busier and fe l t h e no longer h a d time to even read a book. Moreover, he had become a tyra n t , so he ordered "We're saved; that's it-that's economic knowledg· summed u p in one sen tence. " They ran and told th king, who than ked them , and sent them back to th respective u n iversities, where they began teac h i n g social science. \ Q I Economic C h a l l enges Fac i n g the U . S . i n the Future The Economy, Government, and Economic Chal le n ges Facing the U n i ted States ' \ t- R E. E"" TANSTAAFL! It is a fact of life that you don't get something just for nothing. That's all! 353 ways to build that tautology into the decision-making process for all decisions makers so that it occurs almost without thinking. That's an important reason why economists tend to like markets: Markets let people make voluntary trades that improve their lot. So when someone trades in the market, they believe that the benefits they get from the trade exceed the cost, which means that they are made better off by the trade; but, the trade also takes into account that something must be given up. So in the market, people are made better off even as the "no free lunch" principle is maintained. While the "no free lunch" proposition is a tautology for the entire system, it is not always true for an individual, government, or business. Someone can eat a lunch and leave the paying to others. Government, people, and businesses have a strong incentive to do precisely that, and much of economists' advice about the economic challenges facing the United States in­ volves instituting measures that build the "no free lunch" proposition into society's decisions. Of course, there are ways around the "no free lunch" tautology, and individuals, firms, governments and countries have figured out ingenious ways to get around that proposition, at least temporarily, by borrowing or running deficits. Thus, when you or government runs a deficit, you get to consume now but pay later. Because you are paying later, you are not ac­ tually getting around the "no free lunch" proposition, but you are getting around it tem­ porarily. Alternatively, if you can consume the good and get someone else to pay the tab, you get a free lunch and they end up paying. This happens all the time. Consider your or your kids' decisions as to what to buy. When we're shopping, my kids tell me they want this and that-they just have to have it. And if I'm paying, they actually do want it. But if they go shopping with their own money, somehow what they need or want changes. The same reasoning occurs in medical care. When we are talking about what we "need" in medical care when an insurance company or the government is paying, only the best medical care will do. But when people are paying out of their own pocket, they often decide a generic drug will do fine, or they didn't really need some surgical procedure, or that a medical test is superfluous. The reality is that more health care is demanded when it is pro­ vided by government, or by insurance, than when it is not. Notice that this is not an argument specifically against government provision of a good; it is simply an argument that says that whenever the payer is a different person than the person receiving the benefit, the amount demanded increases enormously, and the costs go up. So a policy proposition in economics is that, whenever possible, keep the beneficiary and the payer the same, because only the actual payer will make the hard decisions, building the "no free lunch" proposition directly into their decision. If you don't have the market to do it, then you need some other institutional structure that does. For example, there could be a constitutional requi rement that whenever the government spends on a new project or takes on a new obligation, it will have to simultaneously pay for that new project by increas­ ing taxes or by cutting other programs. The United States has such a law (it is called the pay­ as-you-go ( PAY G O ) law). Unfortunately, it is structured in such a way that it can easily be avoided, and it has not forced government to face the "no free lunch" tautology. If it were significantly tightened, government would be forced to make the hard decisions about costs that will have to be incurred to deal with the fiscal crisis. To summarize: economists' suggestion for the fiscal crisis is that whatever is decided po­ litically, the true economic solution will involve some mechanism that forces society to rec­ ognize that the costs cannot be passed on forever, and that a true solution will include a matching of the costs and benefits. That solution will include making some hard decisions, which will involve less spending than desired by some and more taxes than desired by others. The Globalization Crisis The U.S. is a rich country due to a variety of reasons-its i nstitutional structure that encourages initiative on the part of its people, its natural resources, its political cohesive­ ness, and its luck. For whatever reason, in the beginning of the twentieth century, the 354 � 17 Economic Chal lenges Faci ng the U . S . in the Future The Economy, Government, and Economic Chal lenges Fac ing the U n ited States U.S. became the world's dominant economic power; throughout the twentieth cot! had higher wages and much more industrial power than any other country in the w • That is in the process of change as industrial power is shifting from the U.S. I t developed countries. This shifting of production that is occurring in the world l< goes under the name globalization, which can be defined as the integration of economies. While the name, globalization, is fairly new, the phenomenon is not process that has been ebbing and flowing for centuries. For example, in the coloni.d period of the 1 600s and 1 700s, colonial "possessions" were integrated into the eco that controlled them, and there was much trade between the home country colonies. In 1 9 1 4, World War I ended the era of colonial globalization. Global trad� 1 begin to recover until the end of World War II. Since then, it has re-expanded great!\ is important to understand that globalization is not new to our generation, and thr 1 economies have been in a continual process of integration, segregation, and re-intcgr During the twentieth century, it became taken as given by many Americans that l capita income would be higher than world per capita income. In the period immedt,t ter World War II, U.S. power grew and U.S. wages rose far above those of other COl! U.S. technology also was far above others and U.S. economic might was unchallengl· globalization crisis involves coming to grips with the realization that U.S. economiC nance is not inherent and that very likely in the coming decades, its dominance will d The reason why U.S. dominance will decline is because this dominance was not a stahl ation to begin with. It violated what might be called the economic law of one price, states that if a free flow of resources and technology exists, equally productive facto tend to earn equal amounts, and tradable goods will tend to have the same price. According to the law of one price, eventually-assuming they are equally prodtll a Chinese, Indian, or African engineer will earn the same as a U.S. engineer. This (m, because if it isn't the case, firms will relocate production to areas with lower-cost wo This process of equalizing wages of equally productive workers is called factor price ization. It has been occurring since the end of World War II-first with the growth European, Japanese, and Korean economies and more recently with the growth of Indt China's economies relative to the U.S. An important condition to note is that the law of one price is dependent on a frn of resources and technology, and in many sectors of the economy that does not holl example, an American cannot get a haircut from someone in China or India, so haircu not tradable, which means that a Chinese haircutter can receive less than a U.S. hair, without the U.S. haircutter worrying about losing his or her job. Similarly, if U.S. firm access to better technology than Chinese and Indian firms, which they did for much c Twentieth century, they could earn higher profits and pay higher wages than Chinl'' Indian firms. In the late twentieth century and the beginning of the twenty-first century, I qualifiers-which made it possible for U.S. incomes of many U.S. workers to signift, exceed those of workers in other countries' incomes-have been fading away. One rca because technology has opened up new areas where trade can take place that did not before. This expansion of trade has occurred in both goods and services. It has expand terms of goods because of enormous technological changes in shipping and transport .I Modern containers allow much lower cost shipping of bulky items than was previous() sible. Today, the oceans are filled with gigantic containerized ships that are unload ports and sent on their way by computerized systems that have significantly lowen'l cost of shipping. Computers, the Internet, and modern communications technology have also aile instant contact with firms all over the world, which reduces much of the advant.t producing for U.S. consumers in the U.S. Simultaneously, countries previously host1 markets have adopted markets and thus have become trading partners, creating billio additional potential workers competing for a job. This has added enormous competittc • 355 the manufacturing sector in the U.S. and has changed its very nature, from one where most manufactured goods consumed by U.S. consumers were produced in the U.S., to one where most U.S. manufactured goods consumed by U.S. customers are produced abroad. Today, U.S. manufacturing specializes in certain niche and high-tech consumption goods and on re­ search and development. China is now the factory for the world much more than is the U.S. It is not only in goods that this movement has taken place. It is also in services, and the loss of service jobs to other countries goes under the name outsourcing-the shifting of jobs from the United States to lower-wage developing countries. Thus, while U.S. haircut­ ters do not face competition from abroad, people working in service support positions do. For example, call centers now are typically found in India, and when you call for technical support on your computer or with a question about your bill, the telephone call will likely be handled by someone in India. Similarly, accounting and bookkeeping for firms is more and more done in India. The areas of competition are expanding. Say you need some tutoring. Now you can go on-line and hire an Indian tutor to help you with your homework. We can expect much more such competition in the future. To maintain its dominance in a globalized economy, and the higher wages that go with that dominance, the United States will have to maintain a technological edge over other countries. Doing so will likely become increasingly difficult as India and China move up the technological ladder-just as Japan, Korea, and the European countries did earlier. This doesn't mean that U.S. income must fall from where it is now; it only means that the largest growth in income and output will likely be in countries such as China and India, and that the United States and Europe will experience relatively slower growth. What do economists have to offer to meet the globalization crisis? If you are looking for an easy fix, the answer is not much. They see globalization as an inevitable process, not a crisis. They argue that the best a country can do is to learn to live with it. It must concen­ trate on producing as efficiently as possible and must learn to no longer see itself as special. In an economy, you're only special to the degree that you can produce goods people want at a lower cost than others. Why shouldn't the U.S. impose tariffs to project our jobs? As we will discuss in Chapter 1 9, economists argue that imposing tariffs would lead to other countries imposing tariffs, which would reduce demand for U.S. goods, and which could enter the world economy into a trade war. With the globalization process, the market is doing precisely what it is designed to do­ channeling production to the lowest-cost area so that goods are produced as efficiently as possible. It is this globalization of goods and services that has allowed the United States to develop the high standard of living it enjoys today. So, economists' solution to the globalization crisis is that the U.S. should learn to live with it and compete as hard as it can to maintain its standard of living. Global Warminf,! Let's conclude with a consideration of a third problem-one that not only the U.S. but the entire world, is facing-global warming. Global warming is occurring because too much economic production is using carbon-based fuels, which increase the level of C02 in the at­ mosphere. In the words of economists, the use of carbon-based fuels is creating an external­ ity, which, as we stated above, is the result of a decision that is not taken into account by the decision maker. Thus, while the private decision maker balances the costs and benefits fac­ ing him or her, those private costs do not match the social costs that the action imposes on society. This is occurring so much in the consumption of carbon-based fuels that it is changing the world's atmosphere by increasing C02 levels and thereby increasing the aver­ age world temperature. The result is a rising sea level and significant weather changes for many areas. Low-lying areas face flooding, if as predicted, the sea rises by 3-5 feet over the next century. 356 � 17 The Economy, Government, and Economic C h a l lenges Faci ng t h e U n ited States The economic answer to the problem of global warming is to see that the costs o decision to use carbon-based fuel are taken into account by the decision maker. This l done either by placing a tax on carbon-based fuel so that people face the true social co by creating a cap-and-trade system-essentially creating property rights in pollution. Given the fiscal problems the U.S. government faces-and the need for addtta revenue-the tax-based approach is the one most economists favor, but imposing 1,1 difficult politically, and the U.S. chose the market-based approach. As they set it up question is: Who would get the property rights? Most economists favored governmcnl ceiving the property rights to the pollution rights because it would have meant hundrc, billions of dollars in revenue that the government needs. Initially, the U.S. government following the economists' suggestion, but it soon backed away from that and gave m1> the rights to existing polluters. This made the implementation of the cap and trade S} politically feasible, but problematic, because it would entrench existing companies, make creating new firms more costly. U.S. companies argued that they would lose their competitive edge if they were not •• the rights to pollute. What that argument misses is that new companies starting in th� will have to buy pollution permits from existing firms who reduce their C02 output, wl will place them at a competitive disadvantage. Because new firms often develop new techn• gies, this can actually work against the U.S. in its efforts to maintain a competitive edge. Economists also point out that the solution to global warming must occur at the glc level because, otherwise, firms will simply move to where restrictions are weakest, and 1 1 will b e a flight to the lowest level o f regulation. Thus, without a strict international a� ment, that all countries of the world abide by, it is almost inconceivable that a global W\1 ing solution will be achieved. So, the economists' perspective on global warming is that should expect a warmer world because effective solutions are beyond our current inter tiona! institutional structure, and voluntary measures do not work when dealing with pt !ems that involve costly solutions. Conclusion �ey Points • • Much more could be discussed on all of these issues, but we don't have time. However, spite the cursory structure, this chapter and the preceding chapter should give you a s� of economists' thinking and of the economic challenges facing the U.S. economy. S1 thinking involves an explicit consideration of both the costs and benefits of governm policy and actions. The goal is to minimize costs while maximizing the benefits that I and policies achieve. Imposing those policies is not easy, and is often politically diffiu which is why economics alone does not provide answers to problems. It simply provid1· framework. The answers have to be found in the realm of politics. Government plays both an indirect role in the economy-setting the rules and regulating the economy-and a direct role-spending and tax­ ing to pay for its spending. Regulation has both benefits and costs. It helps limit people from activities that might hurt oth­ ers, but in doing so restricts people's actions and often stops them from activities that would be beneficial to others. • • • Regulation is a continuous process because tn: nologies change and people learn how to 1 around existing regulations. Two contentious roles of the government an· income redistribution role and its macroc, nomic role. An important federal government expenditun the Social Security program, and financing I program may present problems in the future. I n ternet Questions lhe government influences the level of activity in 1hc economy with fiscal policy-using the govern­ ment budget surplus or deficit to control the level of spending in the economy-and by monetary policy-allowing the Federal Reserve Bank to con­ l rol the level of money and credit in the economy. lhe United States faces a number of economic 'hallenges in the coming years, including a fiscal l risis, globalization, and global warming • • • 357 To solve the fiscal crisis, the United States must come to grips with the reality that there is no free lunch. It is going to have to see that revenues match spending, either by cutting spending or by raising taxes. Globalization is the natural process of economic integration and is driven by the law of one price. To deal with global warming, the costs of activities that contribute to global warming will have to be raised considerably. orne Important Terms rcssion ( 348) rnalities ( 34 1 ) ral Reserve Bank ( Fed) (349) ral Insurance Contributions ·\ct ( FICA) (346) t ncial derivatives (350) .11 crisis ( 3 5 1 ) fiscal policy ( 349) globalization (354) Keynesian view (349) laissez-faire ( 340) law of one price (354) macroeconomic role (347) microeconomic role (347) monetary policy (349) "no free lunch" problem (35 1 ) outsourcing (355) progressive income tax system ( 346) public goods ( 343) unfunded mandates ( 340) estions for Review and Discussion About how much does the federal government 'pend each year to finance its activities? As a re­ sult, does it run a deficit or a surplus? What has the U.S. government done so far in re­ sponse to the issue of global warming, and why does this issue require an international solution? \. While spending more money on manufacturing goods is looked upon favorably, why do people feel uneasy about additional spending in health care and education? . On what major category do state governments spend the most money per year? . What is fiscal policy, and what entity conducts it? to. What is monetary policy, and what entity con­ ducts it? . What problems is the government likely to face in paying Social Security benefits in the future? 8. What is the Keynesian view? 9. Should the federal government allow an unli­ censed lawyer to practice law? Why or why not? 1 0. What problem will most likely arise when tariffs are imposed? 1 1 . What two measures did the U.S. government take to stop the 2008-2009 financial crisis? What effect will they have in the long run? 1 2. Will outsourcing ultimately lead to a shift of all U.S. manufacturing to lower-wage countries? 1 3 . Give two examples of how government laws can indirectly influence the distribution of income. 1 4 . What is the law of one price, and what does it mean for the wages of U.S. workers? 1 5. What is the Mickey Mouse Protection Act? Is it good public policy? nternet Questions I. 1. Go to www.taxadmin .org, the website of the Federation of Tax Administrators. Does your state have an income tax? Using the latest figures, what is the lowest and highest income tax rate for your state? Is it a progressive tax sys­ tem? Explain. Go to www. cbo.gov, the site of the Congressional Budget Office. How much has been spent on Social Security benefits for the current fiscal year thus far? What percentage is that of the total government outlays? 3. Go to www.publicdebt.treas.gov, the site of the Bureau of the Public Debt. What is the current amount of the national debt? What is the interest expense for the latest month? For the last com­ plete fiscal year? · 358 4. � 17 The Economy, Gove r n m ent, and Econom ic Ch a l l enges Facing the U n i ted States Using a quick calculator, www.ssa.gov/planners/ calculators.htm, estimate your Social Security benefits with the information you have now. Global Issues 5. According to the Federal Reserve, � federalreserve.gov/faqs.htm, what are its rc'l bilities? litical Relations 7-or Further Study Baumol, William J., Robert E. Litan and Carl. J. Schramm, Levitt, Steve D., and Steven Dubner, Freakonomics: ·\ Good Capitalism, Bad Capitalism, and the Economics of Economist Explores the Hidden Side of Evt'r, Growth and Prosperity, New Haven, CT: Yale University Press: 2007. London: Allen Lane, 2005. McKibben, Bill, Deep Economy: The Wealth of Econo1111 Bernstein, Jared, Crunch: W hy Do I Feel So Squeezed? (And Other Unsolved Economic Mysteries), San Francisco: Berrett-Koehler Publishers, 2008. the Durable Future, New York: Henry Holt & Co, U.S. Bureau United Blinder, Alan S., Hard Heads, Soft Hearts: Tough Economics for a Just Society, Reading, MA: Perseus Publishing, 1988. Citizens Against Government Waste, Pig Book: How the of the Census, Statistical Abstract ' States, Washington, WWW WWW Internal Revenue Service WWW Medicare Heilbroner, Robert, L., The Worldly Philosophers: The Lives, WWW Office and Freedom, University of Chicago Press, 1982. Times and Ideas of the Great Economic Thinkers, London: Allen Lane, 1969. Landsburg, Steven E., Armchair Economist: Economics & Gover . usdoj.gov/atr/overview. html Chicago: Capitalism U.S. Antitrust Division of the Department of Justi� Federal Reserve Milton, DC: Printing Office, 2010. WWW Government Wastes Your Money, New York: Viking, 2004. Friedman, 8 nternational www.federalreserve.gov www. irs.ustreas.gu www. medicare.gov of Budget Management www.aCC\' .gov/usbudget WWW Social Security Administration www.ssa.gov WWW U.S. Treasury readinfl this chapter, you should be able to: the role of the state in international relations power and explain why nothing is more basic to an llftderstanding of international relations foreign policy and discuss five issues that policymakers heed when forming foreign policy the three ideologies that have been prevalent since War II We are trying to make a society instead of a set of barbarians out of the governments of the world. -Woodrow Wilson the role of Congress and the president in conducting policy www. treas.gov Everyday Life, Free Press: New York, 1995. As transportation technology has improved, the world has shrunk. Whereas only a hundred years ago our community meant our town, today it means the entire world. To understand this community, with its component states and their objectives, its problems and their pos­ sible solutions, its history, its economy, its wars, and its processes of order and stability-all this is the task of those who aspire to understand contemporary international relations. Real as this world community is, you should be warned that it differs greatly from commu­ nities of individual persons because its units-states-are so different from the men and women who inhabit towns, cities, and nations. he State in International Relations The term state has a number of different meanings. In this country, it is most commonly used to refer to any one of the fifty members of our national union. But as the word is used in dis­ cussing international relations, and as we are using it in this chapter, a state is a body politic organized for civil rule and government. It is an independent political unit that can carry on negotiations or make agreements with other such units. In this sense, the United States quali­ fies as a state, but political entities such as Alabama, California, and Michigan do not. Consider the map of the world on pages 360-361, on which you can count a total of about 190 states. Not all of these states are completely sovereign or independent, nor are they fully comparable. There are extreme variations among them in both physical charac­ teristics and in cultural matters such as religion, education, ethnic background, industry, standards of living, and government. For instance, in area they range from Russia, with an area of 6.6 million square miles, down to Monaco, with less than 1 square mile, and tinyVatican City, with a mere 106 acres of land; only eight states possess more than a million square miles of territory. In population 359 360 � 18 The State i n I n ternational Re lations Internation a l Po l itical Re lations 361 oor----.�----�--�� 20ol · I I � .. / /,1/ ,f....., DUINEA IIERRA LEONE I LIBERIA IVORY COAST NAMIBIA �L I 40° \-----t----1-- I BOTSWANA 180° 140° 100° 60° 4 Nations of the world. A few of the smaller countries have been left out. See h<m many of them you can name. the largest states are China (over 1. 3 billion people) and India (over 1.1 billion); the sm.tl are Tuvalu ( 1 2,000) andVatican City (under 1 ,000). Some states are overwhelmingly Ron Catholic in faith (such as Spain and France); some are almost entirely Protestant (Denm and Sweden); others are both Catholic and Protestant (Germany); some accommod,tt wide variety of faiths (the United States). There are also states in which other religions p vail, including Islam, Buddhism, Judaism, and Hinduism. Income per capita ranges all way from more than $100,000 per year in Liechtenstein and Qatar to estimates of less tl $500 per year in some African countries. The Nation-State In this chapter, we use the terms state and nation more or less as synonyms. Strictly, howt\ they carry different meanings, and in the precise language of international law and diplom. only"state" is employed; this is true, for instance, in the Charter of the United Nations, in I Statute of the International Court of Justice, and in treaties generally. The characteristics 1 state, according to the Charter of the Organization of American States (1948) are (1) a 1 manent population, (2) a clearly defined territory, (3) a government, and (4) sovereignty tl requires a capacity for international relations. The term nation was originally applied groups of people with the same ethnic background, such as the Germans or the French, � of whom could point to a common language and a common cultural heritage. oo 40° 60° 1ooo 140° 180° The explanation of the modern popular practice of using state and nation as synonyms lies in the fact that for some centuries now the nation-state-a state that has tended to in­ clude substantially the same people as the ethnic nation-has been one of the most promi­ nent forms of state in existence. The French state, for instance, is for the most part made up of a French-speaking people with a common historical and cultural background. There are some nation-states, however-including Switzerland, India, Russia, and Canada-that do not have a common language or cultural background. These differences in language and in cultural and ethnic background can cause problems, as we have seen in recent years in Belgium, Sri Lanka, India, the emerging African states, the republics of the former Soviet Union, Nepal, and Kosovo. As we saw in Chapter 3, the structure of the modern nation-state was constructed on the ruins of feudalism in western Europe. In the conflicts among feudal lords, a certain lord within an area would emerge as victor, and eventually large areas where the people spoke similar dialects were brought together under a ruler who called himself king. England was one of the first nation-states, and by the latter part of the twelfth century, the authority of King Henry II extended over almost all of the country as well as over parts of what is now France. Most of France was unified a little later; by the middle of the fifteenth century, English authority had been forced off the continent. By the end of the reign of the French king Louis XI (1461-1483), France could claim to be a new nation-state. Other nation-states gradually emerged, so that in time the map of Europe showed a substantial group-England, France, Spain, Denmark, Hungary, Russia, Poland, Norway, and Sweden. The Treaty of Westphalia (1648) put its stamp of approval on the new system by recognizing that the political authority of the pope and of the old Holy Roman Empire was dead. 362 � 18 I nter national Pol itical Re lations The State in I nternational R e l ations 363 The Establishment and Disappearance of Nation-States Since 1 648, many new nation-states have sprung into being, and from time to time old 1 have died out. For example, during the nineteenth century, Turkish authority was exp from most of Europe, and new states took its place on the Balkan peninsula: Gt Bulgaria, Serbia, Romania, Albania, and Montenegro (later included in Yugoslavia). lh mid-1990s, several of these nation-states were again in political turmoil. Yugoslavia h apart. Change occurred in the western hemisphere in the 1800s. For example, approxim twenty new states were formed from the old holdings of Spain and Portugal in thr World. About the middle of the nineteenth century, China and Japan, ancient countn the Far East, opened their doors to Western trade. They, too, were admitted into the � munity of nation-states, in 1 842 and 1854, respectively. World War I tore down the old multinational state of Austria-Hungary and bUll several new states: Poland, Czechoslovakia, Austria, Hungary, Latvia, Lithuania, and Esh It also added to the territory of already existing states such as Romania. World War II snu out Latvia, Lithuania, and Estonia, but it led directly to the establishment of Israel and divisions of Korea and Germany into new political units. After World War II, a surge of nationalism took place in the colonial areas of AI and in the 1 960s a number of African and Asian states emerged from the British and hl empires. These countries combined different ethnic groups and experienced turmoil .11 turn of the century, not all of which has subsided. Their structure may yet ch.1 Significant areas of turmoil included the Congo, Somalia, and Zimbabwe. · The Rise of the European Union As you can see, states are constantly evolving. Another aspect of this evolution involw� building up of states through combinations of previously existing states. An example is tht going development of the European Union (EU). The beginnings of the EU go back to I when Belgium, West Germany, Luxembourg, France, Italy, and the Netherlands set lt European Coal and Steel Community. In 1957, this same group of countries expanded organization into the European Economic Community (EEC), and the countries beg,u remove trade barriers between them, forming a common market. In 1967, a Euro1 Parliament was created, and with it the beginnings of a political union, but the union wa' primarily economic. In 1 979, direct elections for members of the European Parliament ''· held, and in 1992 the Treaty of Maastricht was signed. This changed the EEC to the EU, wl was not only an economic union but also a political union. The countries were still indq dent, but there were forms of cooperation in defense, justice, and home affairs. Work tow common regulations and policies began, and European laws started to replace, override, sometimes conflict with laws within the countries. You can see the effect of these changes wl you travel among most European countries-you no longer have to go through a border ch In 1 992, the EU made another move toward greater cooperation when twelve countr adopted a common currency-the euro. Now, when you go to Germany, for example, no longer use German marks as your currency; you use the euro. As these changes occurred, membership expanded. Denmark, Ireland, and the U111 Kingdom joined in 1 973, followed by Greece, Spain, Portugal, Austria, Finland, and Swn in the years up until 1995. In 2004, ten new members joined and in 2007 two more cot tries, Bulgaria and Romania, joined. Currently, other countries including Croatia Turkey are negotiating membership. All these changes, however, leave the EU a long way from being considered a '' Attempts at consolidation have floundered. For example, a number of countries, sud1 Denmark and Britain, chose not to adopt the euro. Another example is the 2003 Treaty of!'. which laid down new rules governing the way the EU would work; it was to be a stepping \h North Atlantic Ocean RIO DE PORT. GUINEA European Possessions l223 f�:-::1 [[][I] E:;:;� D [·;tf.l I: ; .j ·. British French German South Atlantic Ocean Italian Portuguese Belgian Indian Ocean Spanish 0 250 Miles 500 ' Africa before World War II. to a new EU constitution. But voters in France and the Netherlands, two of the original mem­ bers, did not ratify the treaty. In response, the European Parliament instituted many of the provisions of the proposed constitution in a treaty called the Treaty of Lisbon, which did not require voter approval. The Treaty of Lisbon was signed in 2007 and went into force in 2009. Sovereignty of States All states are legally sovereign, which means they are not legally subordinate to any other state. In practice, however, their sovereignty is limited by economic and political realities. For example, some Latin American countries rely on aid from the International Monetary Fund and the United States. Therefore, they generally consider carefully the probable reaction of the United States and the Western"alliance" in determining their international position. Similarly, after the 9/ 1 1 attacks on the United States and former President Bush's war on terrorism policy of preemption-in which the United States claimed the right to attack a 364 � 18 Power i n the Wor l d Com m u n ity International Political Re lations 365 many dimensions: military, economic, moral, geographic, and political, and in the next sections we discuss some of them. North Atlantic Ocean The Nature and Sources of National Power EQUATORIAL. GUINEA CONGO REPUBLIC South Atlantic Ocean (1 MADAGASCAR u Africa today. country believed to be harboring, aiding, or abetting terrorists-countries such as Pa� or Syria needed to carefully consider the United States' views before undertaking any pc With the strongest military power in the world threatening you, it is hard to consider ' self fully sovereign and independent. Power in the World Community Nothing is more basic to an understanding of international relations than an apprec1,1 of the role of power-the capacity to compel another party to commit an action coni to its explicitly stated will. Countries have national goals, and to achieve those goab need power. Current expressions such as "power politics;' "the great powers," the •·, powers;' and the "balance of power" all attest to the importance of that role. Powc:• In the final analysis, the power of a state consists of the means it pos­ sesses for promoting its vital interests by influencing or controlling the behavior of other states. Although military force is the most obvious type of power, it is not the only one. The principal forms of pressure available to states in their dealings with each other are military power, power over opinion at home and abroad, economic power, and geo­ graphic power. Possession of any of these attributes tends to augment the power of an individual nation and thus increase its ability to realize its political, social, economic, and military goals. Of all the sources of power, military power is the most important. The parallel to individual relationships is clear: If you can beat up every­ one on the block, you are free to do pretty much what you want. There are, of course, limits if you want to maintain friendly, rather than fear­ ful, relations with others, but a nation with clear military superiority can generally boast control of its destiny. It is seldom the case, however, that has almost inevitably been based one country emerges as indisputably superior militarily. Instead, com­ itary might, as this monument peting spheres of military power develop, leading to a standoff. Cid memorializes. In historical terms, the beginning of the twenty-first century was unusual in terms of military power. The United States was a hegemon, a coun­ try with almost indisputable military superiority. That military might gave it enormous power, and its desires became much more important than those of other sovereign countries. It had the power to say: If you don't like it, tough-we're going to do what we want. Thus, when the United States wanted to use military force because it believed (incorrectly) that Iraq had weapons of mass destruction (biological, chemical, and nuclear weapons) and it wanted to rid Iraq of those weapons, it did so even though a majority of the world's countries felt that military force was not yet called for. There was no overwhelming cry for the United States to apply its mandate equally­ Israel had significant weapons of mass destruction, but when Arab countries tried to raise that issue, they were ignored by the United States. In fact, the very definition of weapons of mass destruction was itself a reflection of the U.S. point of view. Cruise missiles and Big Brother bombs, which the United States used against Iraq, were not classified as weapons of mass destruction, but chemical and biological agents, which the United States accused Iraq of developing, were. The United States (and some other countries that joined the U.S.) attacked Iraq and found no evidence of these weapons. After doing so, the U.S. was not condemned by the U.N. for an inappropriate preemptive war. Instead, the UN Security Council officially rec­ ognized the United States and Great Britain as legitimate occupying powers. Such is the power of a military hegemonic state. Military power depends on far more than weapons. Military power is also limited by so­ cial and cultural conventions. In its war with Iraq, the United States could have used nuclear weapons to achieve its objective much more quickly, but it was prevented from doing so by cultural, social, and political pressures. Thus, military power depends on the will to use that military power and the will to accept the losses that the use of military action entails. A country's will to use military power depends, in part, on its ability and willingness to accept criticism of its actions. By showing that the United States was willing to use its military might on grounds that it determined, and that it would not accept outside limitations on its power, including UN limitations, the United States changed the international political land­ scape. Thereafter, all countries were a bit more careful in their interactions with the United 366 � 18 Power i n the Wor l d Com m u n ity International Pol it i ca l Relations States. Thus, the war initially extended th' of the United States. But the U.S.'s "go tl attitude also undermined much of the view about its commitment to fairness. 'II ure of the United States to bring about p Iraq, and the loss of popular support for tl by the U.S. population, has undermin� power. Some of the hostility toward the l States has subsided with the election of Pr� Barack Obama. But his use of military po" necessarily reflect the lessons from the Ira Today, few countries believe that in the full United States will act as independently an laterally as it did in Iraq. The importance of social and cultut Israeli infantry troops march in southern Lebanon. tors means that the structure of goven plays a role in determining the military power of a country. In Western liberal deu cies, in which the press and individuals enjoy extensive freedoms, public opinion 1 significant role in determining governmental policy. Public opinion plays less of a 1 the policies of autocratic governments. Such governments can partially shape publi( ion through tight control of the media. If, in spite of such control, dissent develop can use secret police or other repressive organizations to ferret out and kill or imprt leaders and, in some cases, whole groups of dissenters. Saddam Hussein used this 1 ruthlessly in Iraq. Just how strong the control of the press was in Iraq is shown I briefings of the Iraqi Ministry of Information during the final days of the U.S. invasu U.S. tanks were driving through the city of Baghdad, the minister of informati01 briefing reporters on how Iraq was winning the war and driving back the Americam We should point out that while democracies have less control over public opinion can still influence it, and during times of war they directly control the flow of new reaches reporters. In the 2003 Iraq war, members of the press were "embedded" withu itary units, giving them a much closer look at the war. Critics pointed out that emb, was a way of shaping the reporter's view, because it is difficult to criticize individual are protecting you. The differl't control of the press in an aut! and in a democracy is one of d1 In an autocracy, the control OH press is often direct; in a demo\ it is generally indirect, with th� ernment relying on creating a1 propriate "spin" on the reporttn Although the government c autocratic state may be able to public opinion at home, it has 1 rect control over foreign opimo their attempts to influence op abroad, both autocratic and d cratic governments are likely to 1 to propaganda, and though thl'l no very dependable ways of 1111 ing its results, it is safe to ,,, that the large-scale propagand,t Anti-Iraq War protesters in England. paigns conducted by all strong n hy Do So Few Ameri(ans Have wuu,;u to AI Jazeera? n countries have n u merous news sou rces that prov i d e news from a Western s l a n t . W h i l e there are d i fferences-Fox News prov i d es a more conservative view t h a n C N N , which prov i d es a more l i beral v i ew than the BBC, wh i c h provides a more E u ropean liberal v i ew-the overa l l v i ew i s def i n itely Western. These news sources broadcast aro u n d the world, a n d e i n all co u n t r i es have access to these news rces. There are other vi ews, and a good sou rce for those other v i ews i s the A I Jazeera English l a nguage news network, w h i c h has offered its network free to U.S. cable compa n i es. Because o n e of p i l l a rs of U . S . democracy is free access to a l l viewpo i nts, i t wo u l d seem that the Un i ted States wou l d s u pport w i despread access to AI Jazeera. Yet, as of 2009, o n l y three cab l e providers in the Un i ted States- i n B u r l i ngton, Vermont; Tol ed o , Oh io; a n d Was h i ngton , DC-ca rried the network. The q uestion is why? 367 Sate l l ite and cable systems cite lim ited channel capacity as a reason for not provid i ng the AI Jazeera network, but many Arabs see political and social pressures as the true cause. Former Secretary of Defense Donald R umsfe ld called its broadcasts of the Iraq war "vicious, i naccurate and inexcusable." Many i n the Un ited States agree. The difficu lty for the Un ited States in m a i nta i n i ng that position and i nformally or formal ly restricting access to the AI Jazeera network is that the United States is also committed to free speech. To many observers, AI Jazeera, while prov i d i ng a signifi­ cantly different slant on the news, does not deviate from the truth sign ificantly more than other networks. Thus, Europeans have wide access to the AI Jazeera network, and many Arabs see it as m uch more objective than the i r state television networks and Western networks. Because the Internet is open and does not rely on a cab l e company to provide it, AI Jazeera is avai lable i n the Un ited States o n the I n ternet. You might want to take a look at its news coverage at http://english . a l jazeera.neUnews and decide for yourse l f if i t is objective. would not be undertaken unless they were thought to be effective, either in strengthening home morale and winning support abroad or else in undermining the morale of potential enemies. Following World War II, the United States enjoyed the confidence and respect of most other Western nations. This confidence reflected not so much propaganda and military might (although the United States had a good deal of the latter) but the appreciation of most countries for the U.S. role in the war. That confidence gradually eroded through the 1 980s. This erosion reflected the impact of issues such as our role in Vietnam and dissen­ sion at home. With the downfall of the Soviet Union, respect for U.S. military power returned, but the confidence that the United States would use that military might for the benefit of the world, and not for itself, did not. The 2003 Iraq war reinforced that reduced confidence. It remains to be seen whether that confidence can be restored by the Obama presidency. Other Sources of Power The usefulness of economic power in international relations has often been demonstrated. During the struggle against Napoleon Bonaparte in the early 1 800s, it enabled Great Britain not only to expand its own military forces but also to provide money and supplies for its allies. More than a century later, it enabled the United States to do likewise in both world wars; after World War II, it enabled the United States to make an important contribution to rebuilding the economies and the military forces of the countries of western Europe that had been over­ run by the Nazis and that later felt threatened by the expanded military power of the former Soviet Union. Though the sources of a nation's power are varied, some of them are more basic than others. For a state to generate great national strength, it helps to be large, both in area and 368 � 18 I nternat ional Pol it ical Relations population. Size is an advantage enjoyed by both Russia and the United States, and tl helps explain their importance. On the other hand, Japan is geographically small, b1 major economic power. Industrial might is another vital source of power, for in its f a country must produce the equipment for modern warfare, including tanks, ship-., missiles, and nuclear bombs. The high industrial output of the United States is a gn in the power game, and Japan's industrial output is what its strength is based on. II also be noted, however, that Japan's power is limited by its dependence on fom Japan's industrial needs require that it maintain friendly relations with the Unill'l and the Organization of Petroleum Exporting Countries (OPEC), and its power 1 conditional on the hold other countries have over its fuel supply. Another major source of economic power is dependable access to adequate sup1 raw materials because without these no nation can develop and maintain a large'" cient industrial complex. Yet another condition that is still a factor in national powc1 graphic location. This can, among other things, affect both access to raw materials degree to which a nation is vulnerable to a military attack. Geographic location is o ment of U.S. strength. We are separated by oceans from any other major power, and I these can be crossed in a few minutes by nuclear missiles, there are, as we have point strong deterrents to the use of such weapons. Meanwhile, the oceans still protect u-. attack by great armies using conventional weapons. However, given size, a well-developed industry, and dependable access to adequ materials, probably the most important source of a nation's power is the charactcn its people. Among the people there should be a substantial number of able scientists, educators, businesspeople, military leaders, politicians, and many highly skilled Will all types. In a democracy, perhaps the characteristic of a people that, if they have 1 tributes most to the power of the nation in dealing with others is a strong sense of 1 ism and loyalty that makes them willing to support their government in any poll� consider reasonable. But in dealing with foreign countries, the governments of dem< can face difficult problems at home. Negotiations cannot be carried on by all the 1 they must be conducted by those who represent them in government. This creates no great problem if those who represent the country are following 1 with which the vast majority of the people agree. Frequently, however, there are h11 senting minorities, or there may even be an almost equal division of public opinion wisdom of government policies. When such differences of opinion concern issue' which people have strong emotions, the power of a government to formulate clear h policies and to make satisfactory agreements with other countries is likely to be imp.•l Maintaining Security In a world community of sovereign nation-states, there are several ways in which could conceivably attempt to achieve security from attack without war and at the sam gain some of its other international objectives. If it is a large state, such as the United States, with adequate resources and indust1 velopment, it might attempt to make a unilateral-independent or one-sided-buill its military power to such a degree that no other state or probable combination ol would dare to challenge it. In the contemporary world, this would be a difficult .tv ment for any nation. First, it would mean diverting to military uses vast amou resources badly needed to improve the living conditions of its people and needed to various other social problems. Second, other nations, fearful for their safety and thci1 1 to control their own affairs, might form alliances to protect their interests. Thus, aft start of the 2003 Iraq war-a war that a majority of U.S. allies strongly opposed-a 111 of European nations began reconsidering their alliance with the United States and exploring the creation of a separate European defense organization that would opc1 dependently of the United States. Power i n the World Com munity 369 Another conceivable approach to the problem of security, one that a group of cooper­ ating states could attempt to implement, would be to organize all the states of the world into a system of world government. To have much chance of success, such a system or organization would have to include most of the states of the world, especially the more powerful ones. It would have to be a kind of federation or superstate, with courts for settling disputes between nations and with a military establishment capable of forcing a recalcitrant nation to accept court decisions. The chances of establishing such a system in the foreseeable future are small because most power is in the hands of several very large countries, many of whose interests appear to be in opposition. Furthermore, few nations seem willing to give up much of their sovereignty or their right to adopt any foreign policies they please. The United Nations, which we discuss in Chapter 21, may be regarded as a first step toward a system of world government, but actu­ ally it has very little power to protect its members or to prevent war. It does, however, perform many useful international services. The most common way of preventing or at least indefinitely delaying a disastrous war between the world's most powerful nations is to develop and, if possible, maintain a stable balance of power. The term balance of power means an equilibrium or adjustment of power that for the time being no nation is willing to disturb. The power of one nation prevents the other nation from using its power. During the century that followed the Congress ofVienna (1815), a fairly effective power balance was maintained, for though that era did witness some adjustments of power and even several sizable wars, until World War I no state attempted to radically challenge the existing balance. After World War I, the United States became a major power, and its power significantly increased during and right after World War II. After World War II, the balance of power was between the Western bloc (the United States, western Europe, Japan, and their allies) and the Eastern bloc (the Soviet Union, eastern Europe, and their allies) . This balance was structurally indicated by their membership in formal alliance organizations. In the 1990, that balance of power became unbalanced. The United States was the world's strongest military power, much stronger than any other country. Given that reality, there was talk of a new world order-an international order in which the United States would follow the dictum of right rather than might in its conduct of external and internal affairs-replacing the balance of power. As social scientists discussed the emergence of a new world order, a political theory emerged to fit the changing order. It is called the theory of complex interdependence, in which the largest nation's powers are limited by a variety of interdependencies. This new theory is in contrast to the realist theory, in which a balance of power with two competing nations was necessary to maintain the peace. As the world gradually moved toward a unipo­ lar system, with the United States as the primary superpower, without an equally as strong offsetting balancing force, the theory of complex interdependencies has gained acceptance. The question political scientists were asking was what interdependencies were limiting the United States' use of power. The emerging international realities are bringing into question the purpose of some international organizations. One example is the North Atlantic Treaty Organization (NATO), the organization responsible for the collective defense and protection of the West. Members of NATO included Belgium, Britain, Canada, Czech Republic, Denmark, France, Germany, Greece, Hungary, Iceland, Italy, Luxembourg, the Netherlands, Norway, Poland, Portugal, Spain, Turkey, and the United States (see Figure 18.1). In the 1990s, NATO lost much of its former purpose. But, like many organizations that have lost their purpose, it continued in existence, searching for a new purpose. As it searched, it expanded, adding some states that it had previously been established to counterbalance, such as Poland, Hungary, and the Czech Republic in 1997. Other states were also asking for membership, and NATO even worked out a cooperative agreement with Russia. In 2010, NATO had twenty-eight member states. 370 � 18 I n ternational Pol it i c a l R e l ations Albania Estonia Fore ign Po l ic i es Bulgaria Belgium m=c� Canada Croatia Czech Republic u� � =• France Germany Greece Hungary Iceland =•u u•� ·•· ·• ·+>2its<ih:· Lt'·� · latvia lithuania Romania Slovakia Denmark Italy � luxembourg Netherlands Norway Poland liiC-� Slovenia Spain Turkey United Kingdom Portugal 371 formula guaranteeing that the right foreign policy decisions will always be made. Debate is, therefore, inevitable. An example of the problems of foreign policy is the first Persian Gulf War of 1991. Here, Iraq, which the United States had supported in the Iran-Iraq war, invaded Kuwait, which was also a U.S. ally. In response, the United States aligned itself with Syria, which had been one of its major enemies, and kept its close ally, Israel, a country that was hated by Kuwait and Syria, out of the war while the United States simultaneously tried to establish closer ties with Iran. And who knows what secret agreements were made between the coun­ tries? The intrigue of soap operas pales in comparison with the intrigue of foreign policy. Geography and Foreign Policy Conspicuous among the facts and forces that act as determinants of foreign policy is, as we have pointed out, the geographic position of a nation. For the promotion of the country's security and prosperity, policymakers must give heed to matters such as the following: United States Figure 18.1 The members of NATO (as of2010). In light of recent events, NATO faces many challenges. Because of the 2003 war in lr a war that many NATO countries opposed, NATO scaled back its mission and began rcf,r ioning itself as an "all-purpose military and political toolbox that can be tapped at sh notice by ad hoc clusters of NATO counties." This change means that NATO can commit NATO forces to peacekeeping activities even if all NATO countries don't agree. The Berlin Plus Agreement in 2002 also saw the European Union further enhann military capabilities; it gave the European Union access to NATO resources should the l,rt decline to intervene in a crisis. The expansion of the EU's military role poses serious q11 tions about NATO's future. Unless NATO's members can find consensus in formulating 11 pursuing a shared security policy, NATO's future remains uncertain. Whereas with a balance of power each country limits its actions for fear of upsetting tl balance, in the new world order it is foreseen that each country will limit its actions acc01 ing to "what is right." How is "what is right" determined? It is determined by the m,u power who, for the new world order to work, must interpret "what is right" in a way tl seems right to most people regardless of what is in the countries' individual interests. Ma� r the new world order work is a tall order, an issue that we discuss further in Chapter 21. 1 orei!}n Policies Relationships between states that affect the national security or general welfare of each the core of international relations. The foreign policies of a nation are the courses of aCII a nation uses to achieve its international objectives. As a rule, the nation's primary purpn are to increase its own security and its own general economic welfare. Sometimes, howe\ a foreign policy may further the interests of some politically powerful pressure group rath than those of the nation as a whole. When this is so, those who support it usually attempt convince the majority that it benefits the entire nation. Generally speaking, the foreign policies of a state are designed to serve the natior interests as these are conceived by the public or by those in direct control. Security ,u prosperity are always major objectives; other objectives may include the spread of an idl·t ogy such as the expansion of national power and prestige. Unfortunately, there is no simt • • • • • The defensibility of the state's boundaries The effects of distance on its powers of offense and defense by means of long-range missiles The availability of ports for useful trade and for naval bases The attitudes of neighboring states and their size and power The state's own size and natural resources If a state is satisfied with its geographic lot in life, it can direct its efforts toward protect­ ing what it has; if it is dissatisfied, it will, if possible, maneuver its policies toward the elimi­ nation of its alleged handicaps, asserting itself dynamically, perhaps even aggressively, in order to get from others what it believes it needs. The term geopolitics refers to the relation between geography and security that foreign policymakers attempt to take into account. According to Nicholas Spykman, geopolitics is "the planning of the security policy of a country in terms of its geographic factors." No nation pursued the subject as seriously as did Germany in the 1930s. Under the Nazis, Germany embraced the theories of earlier geopoliticians, and it worked out a "scientific" policy of expansion calculated to secure Germany's position as a master power for an indef­ inite future, all at the expense of"decadent" neighbors. Without constructing a complicated theory of geopolitics comparable to that of the Nazis, most states nevertheless have exhibited their geographic aspirations in their foreign policies. Russia for centuries has sought good warm-water ports; it has wanted control over the Dardanelles, and it has tried to get buffer territory on its western frontier to make up for its lack of defensible boundaries there. Its activities in Iran and Afghanistan in the 1970s and 1980s re­ flected that desire. France long felt that its geographic position required it to seek a frontier on the Rhine River and to undermine the strength of its dangerous neighbor, Germany, which had several times invaded France's territory. In the Far East, Japan attempted before World War II to add to the security of its position by absorbing Korea, Manchuria, Taiwan, and many islands of the Pacific and by controlling China. Iraq's 1990 invasion of Kuwait was in part an attempt by Iraq to gain control of two of Kuwait's islands, which would give it better control of the ship­ ping lanes out of the Iraqi port of Basra, and the 2003 Iraq invasion was seen by some observers as an attempt by the United States to gain a strong military presence in the Middle East so that it could protect its oil interests and provide better protection for Israel. Values, Ideologies, and Foreign Policy A term that one often hears when discussing foreign policy is ideology-a deeply held vision of what the correct form of government should be. Since World War I, the three ide­ ologies that have been prevalent are the fascist ideology, the democratic capitalist ideology, and the communist ideology. 372 � 18 I nternational Pol it i c a l Re lations Fascist Ideology. The fascist ideology holds that a natural leader will arise in a cm tell the people what they want. It gives enormous power to a small group of leader means that it tends to overlook the rights of individuals and minority groups. Untk ideology, the leader will make the people, the nation, and their culture great. \'\ defeat of Hitler in Germany and Mussolini in Italy in World War II, fascism has de' an ideology, but you can still see support for fascist ideology in the small Nazi Part United States and in some countries where significant social turmoil exists. Democratic capitalist ideology. The dominant ideology today throughout the wod democratic capitalist ideology. It is an ideology that sees the people as making decisions through democratic elections of their government. The will of the pl dominant, and subject to the preservation of certain inalienable individual rights the right to hold property and the right to free speech. The working of the electro the inalienable rights are spelled out in either a formal or informal constitution whtl core of the laws of the country. In democratic capitalist ideology, all leaders are sub to the laws. Thus, democratic capitalism is supposed to involve a combination of thl law and the rule of people. Communist Ideology. Communist ideology is an ideology that sees people as t society's decisions through a set of leaders who have the best interests of the people .11 Thus, it places a small group of leaders above the political will of the people and ab• law. It gives less weight to inalienable rights, private property, and the law tl1.111 democratic capitalist ideology. The meaning of communist ideology is changing. When Karl Marx wrote Dm and The Communist Manifesto, he spent almost no time discussing how a commu n t ety would b e implemented o r would operate. I t was only through the experienn Soviet Union under its communist government after World War I and in the writing Soviet leader and practical theorist Vladimir Lenin, that the nature of what we t l l communist countries became clear. Because, according to Marx, communism involves the eventual withering awn) state, even so-called communist countries would agree that they are in a transition For many people, it is not communism that goes against these values; it is the tr.u stage. During the Stalin era, large numbers of Soviet people were liquidated. Stalinist cation for that policy-that the end justifies the means-was, and is, unacceptable h outside observers. They felt that nothing justifies such wholesale killing. The 1980s and 1990s saw an enormous change in communism. Many states, inl the formerly communist eastern European states such as East Germany and Polar many of the republics of the former Soviet Union, have simply abandoned it, and in • such as China, communism has evolved both economically and politically. This evnl to some, suggests a victory of capitalist and democratic ideology, and in many W<l) People in the former Soviet Union focused their demands for reforms on achieving 1 1 1 and democratic elections. Clearly, the totalitarian nature of Soviet communism and 1 voritism the Soviet Union showed to Communist Party members were highly problc:t But other observers point out that the Communist Party itself should also ha\ opposed by true communists. The party was meant to protect the rights of the we class, not to become the class of people with special privileges that it became. ThCSl' observers argue that communism failed because it abandoned communist ideals. Most social scientists accept the argument that communism abandoned its ideal� differ, however, on the question of whether that abandonment was inherent in the st 1 1 of communism-no society can ever give that much power to any group-or wheth communists simply didn't try hard enough to preserve their ideals. W hatever the an to that question, the reality is that communism is not yet dead. For example, comn parties still control the governments of China, North Korea,Venezulia, and Cuba. Foreign P o l i c ies 373 Ideologies and Foreign Policies. By emphasizing certain aspects of decisions, ideologies can be made to seem more or less desirable. A supporter of a certain ideology will likely provide a different spin on an ideology than an opponent of that ideology. If that supporter has rhetorical abilities, he can likely convince others to support it as well. Thus, a supporter of communism is likely to emphasize cases when property rights have led to what to most people would seem to be undesirable outcomes while a supporter of democratic capitalism is likely to emphasize cases when the small group of leaders have brought about undesirable outcomes. That's why societies generally come to share a certain ideology, and its implications for what is an acceptable form of government and action by government. We must, however, be extraordinarily careful about letting our emotions affect our considerations of those issues so that we do not become ideologues-individuals who are so fixated on certain ideologies that they cannot reasonably consider opposition arguments; they tend to insist on everyone looking at the world as they do. As I stated previously, the dominant global ideology today is democratic capitalism. It is an ideology that most people in the U.S. , including myself, support. While there is much to be said for the democratic capitalist ideology, care must be taken to see that we support­ ers do not become ideologues, and that our support is based on reasoned argument and that we are open to the weaknesses of democratic capitalism, and the positive aspects of other ideologies. Doing so is especially important in deciding on foreign policy. For exam­ ple, often when I hear of what occurs in other countries, my immediate reaction is one of abhorrence, and I wish our country would "do something." There have been numerous ex­ amples: the restriction of Soviet Jews' right to emigrate from the former Soviet Union; the practice of Idi Amin, former ruler of Uganda, of arbitrarily killing opponents (probably by the thousands); South Africa's apartheid policy; Latin American right-wing death squads; the systematic killing of millions in Cambodia under the Khmer Rouge; and the mass geno­ cide and ethnic cleansing in Bosnia and Rwanda, and more recently the terrible atrocities in the Darfur region of Sudan. These actions go against my ideological beliefs about what is acceptable action by a state. The question each of us must answer is: Do these actions rise to the level of contra­ dicting our values such that we would support the United States using its power to stop and prevent such activities occurring in another supposedly sovereign country? And if so, what powers should we use? Unfortunately, there is no easy answer to these questions. Not all cultures have the same regard for human rights as we do, and I also believe that we generally do not have the right to impose our personal values on others. In all cases, it is proper to use diplomatic channels and public channels to do what can be done to support human rights, but in doing so a country must apply the same criteria to friendly countries as to unfriendly countries, recognizing that countries have different social values. For instance, if a country has a mandatory military draft, that draft may violate the concept some have of human rights, but it would be wrong to assume that such opposition is a universally agreed-on human right. More difficult choices than one about a military draft confront us when issues such as forced labor camps for large minorities within a population, involuntary abortion, infanti­ cide, and apartheid surface. There comes a point when the offenses against human rights become too great to sit back and accept. Again, this is based on my particular value judg­ ments, which are not universally shared. Examples include the annihilation of the Jews in Germany in the 1930s and 1940s (to which the United States initially responded by restrict­ ing immigration visas for Jews) and Pol Pot's massacre of millions of his fellow citizens in Cambodia in the 1970s ( which the United States ignored, at least officially). The U.S. changing position in regard to Iraq shows the difficult choices. When Iraq used chemical weapons against Iran and the Kurds in the 1980s, Iraq was a U.S. ally and the United States said nothing; in fact, it shipped Iraq more weapons. However, in 2003 it used Iraq's previous use of chemical weapons as one of the reasons it should liberate Iraq from Saddam Hussein. 374 � 18 I nternat i o n a l Po l it i c a l Re lations The U n ited States i n the World Com m u n ity 375 7h e United States in the World Community The separation-of-powers doctrine, modified by a system of checks and balann· embodied in the U.S. Constitution of 1787 to prevent tyranny, and it applies to the Ill foreign affairs as well as to domestic politics. Although the judiciary has no hand in pt making and is confined in its work to the interpretation and application of treatk statutes, the other two branches of the government-the president and Congress (espl the Senate)-are both equipped with far-reaching authority to determine foreign po! Jl The President and Foreign Policy The president derives great power in foreign affairs from the right to appoint diplo (with the consent of the Senate) and to receive the diplomats of other countries, atH ultimate responsibility for the diplomatic messages our government transmits abroad for the operations of the Department of State generally. Presidential control of diplou gives the president a strong initiative in foreign affairs, for diplomatic correspondeml be a vehicle of policy, as in 1 899 when Secretary of State John Hay originated the ( Door policy in China by messages to selected governments. The president's prerogal t diplomacy confers, too, the right to deny or to extend recognition to a new governmct state, for it is usually by establishing diplomatic relationships that recognition is acwt President Carter demonstrated that policy when he established formal relations with People's Republic of China as the appropriate representative of the Chinese people and relations with Taiwan. The president has the initiative in treaty making, too, but here these actions requill approval of two-thirds of the senators present when a vote is taken. This arrangement deed, is a good example of the system of checks and balances that pervades all of gm ment in the United States. Much criticism has been aimed at the Senate for its obstrUl tactics in its consideration of treaties-notably the Treaty of Versailles (1919)-and sn proposals have been submitted to amend the Constitution to substitute a majon t both houses of Congress in place of two-thirds of the Senate in treaty making, but proposals have never had much support. Some of the problems that can develop from dual responsibility can be seen in the Law of the Sea Treaty negotiated between 1 974 1 980 under UN auspices. This treaty was signed by President Carter but was nevet proved by the Senate. When President Reagan was elected, he specifically disavowed treaty, leaving the United States in an ambiguous position. Former President George W. Bush took a strong position against U.S. involvemcn' international treaties, opposing multilateral cooperation, in which countries attempt to gotiate their differences through international treaties and organizations, and favoring 1 lateralism, in which each country goes it alone. Soon after being elected, he withdrew It or rejected numerous international treaties and organizations, including the Biolon Weapons Convention, the Kyoto Protocol, the Anti-Ballistic Missile Treaty, and International Criminal Court. These actions convinced many that under president Gco W. Bush, the United States saw itself as above the international community and was wtll to rely on its military power to achieve its ends. The president's authority in foreign affairs is augmented by some more general pO\n As commander in chief of the armed forces, the president can dispatch the Army, N, Marines, or Air Force to any part of the world to carry out a policy and can conclude ex� tive agreements by which bases abroad are placed at the disposal of the services. This gt the president enormous power, in effect, to enter into war without Senate approval. Fot ample, during President Kennedy's administration, the U.S. government supported the I of Pigs invasion of Cuba with no Senate approval. Similarly, in 1964 President John A scene from the Vietnam War, which challenged U. S. beliefs about the United States's role in the world. began the direct U.S. military role in Vietnam by ordering attacks on North Vietnamese military targets following attacks on U.S. warships in the Gulf of Tonkin. In response to the latter incident, Congress passed a series of laws that placed stricter limits on presidential actions. Because the Constitution explicitly gives Congress the powers to declare war and control military and naval expenditures, it was argued that the presi­ dent's discretionary powers as commander in chief had become too broad. These laws re­ moved the president's power to "wage war, sell arms, conduct covert operations, or enter into executive agreements with foreign governments." According to these laws, a president can deploy troops to protect our interest only for a limited time without the consent of Congress. In 1986, the president's National Security Council sold arms to Iran without informing Congress and used the proceeds to fund the Nicaraguan contras, thereby violating these laws and creating a scandal for the Reagan administration. In the 1 980s, when President Reagan considered increasing the U.S. military presence in trouble spots in Latin America, the Senate played an active role. The reduced power of the presidency has led some to sug­ gest that the president no longer wields any power at all. 1 Such suggestions were exaggerations, as was made clear by the first President George Bush's actions in the 199 1 Persian Gulf War, President Clinton's actions in the bombing of Yugoslavia, and President George W. Bush's decision to go to war against Iraq. In each case, some members of Congress argued that the president had to get congressional approval be­ fore actually starting a war, but the presidents denied that they were required to do so. The issues became academic when in each case Congress, faced with initial widespread public approval of the president's actions, authorized the president to use force. Thus, this ques­ tion of war powers remains unanswered. With such ambiguous divided powers between the presidency and Congress, coopera­ tion between the two branches of the government is essential to avoid paralyzing deadlocks. On occasion, cooperation has not been forthcoming and the nation has found itself seriously embarrassed. The president has signed treaties that the Senate would not approve, 1 Such complaints are not totally new. Harry Truman, who normally said what he thought, described the problem as follows: "People think I sit here and push buttons and get things accomplished. Well, I spent today kissing behinds." 376 � 18 The U n ited States i n the World Com m u n ity I nternational Pol it i c a l Relations and the president has dispatched troops overseas and then taken a broadside of cnl from Congress. Such conflicts are likely to continue, however, owing to the fundan structure of the U.S. democratic system. Outline of U.S. Foreign Poli£y* Throughout much of the nineteenth century, the United States was deeply committl policy of isolation. Isolationism, a policy according to which the United States madl· r liances abroad and kept as free as possible from the political embroilments of I 1 reigned supreme. Even after the Spanish-American War ( 1 898), the nation remained though the acquisition of scattered dependencies such as Hawaii as a result of the w widened U.S. interests a great deal. Isolationism broke down when the United States r n became a belligerent i n World War I , but i t was revived i n 1919- 1 920, when the Sen. jected membership in the new League of Nations. Although under attack in the 1 92! 1930s, isolationism continued to have strong support, as shown by U.S. neutrality It tion (1935 and later) and by the efforts from 1939 to 1 94 1 to keep the United State' becoming involved in World War II. But the Japanese attack on Pearl Harbor in 1 94 1 changed all this and moved us from riod of isolationism to internationalism. Internationalism refers to the belief that world can be realized by the friendly association of all nations. As a result, the United States q r became enmeshed in world politics and has continued to be deeply involved ever since Since World War II, the United States has made or affirmed a number of alliann maintained troops or military outposts in various parts of the world, especially in l r and the Far East. The United States has committed large military forces to the fightr four local undeclared wars: Korea,Vietnam, Iraq, and Afghanistan. Much of our foreign policy in the postwar era has been dedicated to the protect r• capitalism and"liberal" democracy. For example, our foreign policy immediately foil ing World War II revolved around the Truman Doctrine of 1947. Essentially, the Tru was willing 1 Doctrine stated that if any country threatene d by communist aggression This wa' aid. its to come would sist that threat and asked for help, the United States tiH called was what of part was and m referred to as a policy of containing communis an Union, Soviet former the as such countries, t war, the tension between communis w.r, cold the During 990s. 1 the until II War World following United States and its allies United States believed that if it did not take the lead in resisting the aggressive mm the Soviet Union and the other communist nations, there would probably be no cffl opposition, and a domino effect would occur, with one country after another falling 1 communists. The basis of the peace in the cold war was a nuclear standoff-a position of stalt brought about by the recognition that if attacked, the other party possesses sufficient .rl to launch a devastating nuclear counterattack. In a nuclear standoff, because each cor has the ability to destroy the other many times over, the concept of military superion t comes difficult to define. This was especially apparent in the 1980s when the United " and the former USSR negotiated a reduction of the arms buildup. Both sides claimed the other had military superiority; which side actually did was unclear. The containment approach to U.S. foreign policy lost favor following our involwr inVietnam in the 1960s and early 1970s, and a period of detente-an easing or relax of strained relations and political tensions between countries-replaced the cold Under detente, the U.S. involvement in world political affairs decreased, and the l r States reduced its expenditures on defense as a percentage of total output. That chan�t September 2001, when terrorists attacked the United States and the United States ded,r war on terrorism. That war on terrorism pitted the United States not against a particular cou but against an ambiguou s enemy who could be anywhere . A new Homelan d Sl'l 1 949-NATO. 1 9 50-Korean conf l i ct (even though U N : lsolation ism/u n i lateral ism, with the fol l ow­ U.S. Foreign Policies 377 exam p l es showing how we fol lowed this policy: 1 7 96-Washi ngton's Farewe l l Add ress: " Beware of entang l i ng a l l i a nces" (balance-of-power entanglements i n today's words). 1 834-Monroe Doct r i n e . U . S . promises not to i nterfere in E u ropean affa i rs and demands that E u rope not i nterfere in Lat i n America. sponsored ) . 1 96 1 - 1 9 73-l nvolvement i n Vietnam (rea l ly fol lowing tenets of the Tru m a n Doctr i n e ) . 1 9 7 2-Nixon Doctrine ( s o c a l led, a l though i t shou ld rightfu l ly b e cal led a corollary t o the Tru man Doctrine). 1 9 90-Fore ign pol icy d i rected at worki ng with rather than aga i nst R ussia. 1 99 1 -Persian Gulf War; begi n n i ng of new world order, or at least Western control. 1 993- U . S . tries to enforce its wi l l with UN back­ 1 898-Spa n ish-Ameri can War: events lead i ng to it i ng i n a vari ety of states such as H a i t i , Som a l i a , and resu lts/fru its of t h i s i ntervent i o n i s m . Bosnia, North Korea. T h e results are q u estionable. 1 9 1 7- U . S . i ntervention i nto World War I . 9 1 9- 1 94 1 : Return to isolat i on i sm/u n i lateral i s m as nation sees the result of i nterventionism . 1 9 1 9-U . S . Senate rejects j o i n i ng the League of 2000-2008: U n i l atera l ism and preem ption 200 1-91 1 1 attacks on U n i ted States and beg i n ­ n i ng o f w a r on terrorism. 2003-Bush Doctrine of Pree m pt i o n : President Nations. Bush declares the U n i ted States has the right to 1 930s-Neutra l ity Acts of 1 93 5 , 1937, and 1 93 9 wage preemptive war against countries that a l l ow as w e see E u rope hea d i n g toward war. terrorists on their soi l . 1 94 1- 1 94 5 : No spec i a l change i n po l icy neces­ sary; U n ited States s i m p ly responds to attac k . Any nation fol lows a s i m i l ar po l i cy of defe n d i ng itse l f . 945- 1 999: I nternationa l i s m . Actua l l y starts with the man Doctrine ( 1 94 7 ) , even though we join U N i n 1 945. 2009-Barack Obama becomes pres ident, a n d moves toward a more m u l t i l ateral fore ign po l icy and moves away from preempt i o n . *We are grateful to Prof. W. K . Callam for supplying an initial draft of this outline. Department was established in the United States, and military expenditures increased substantially. But exactly how this war on terrorism was to be fought remained open. Does the United States have the right to fight terrorism anywhere? Are preemptive wars truly justified? W hat limitations on individual rights are acceptable trade-offs for increased security? Does the United States have the right to eliminate governments it feels are harboring terrorists and developing weapons of mass destruction? W hat proof does it need to carry on such preemptive wars? And, finally, will fighting such a war do more harm than good, creating hatred for the United States that will lead to more terrorism? In 2009, Barack Obama became president and signaled to the world that his adminis­ tration would be less belligerent to other countries and work with them to arrive at a multi­ national solution to problems. However, at the same time, he promised that the United States would be vigilant against terrorism and would carry on and even expand the war against the Taliban in Afghanistan; further, he vowed to continue to attack the Taliban in Pakistan even though Pakistan was a sovereign country that publicly opposed such action by the United States. Thus, while the rhetoric was considerably different under Obama than it was under Bush, it was unclear to what degree the policies will differ when it comes down to the difficult issues that all presidents must address. 378 � 18 For Further Study I nternat ional Po l it i c a l Re lations 379 /(ey Points • • • • The state is the institution empowered to conduct international relations for its citizens. Power is the capacity to compel another party to commit an action contrary to its explicitly stated will. Ultimately, power determines whether a for­ eign policy will be successful. Governments use foreign policy to achieve their international objectives, but they must take geog­ raphy and other nations' strengths into considera­ tion when they make policy. • • In the past century, the three most P ' ' ideologies have been the communist ideol11 democratic capitalist ideology, and the fasl 1 ology. The president is responsible for foreign poll is commander in chief of the armed for� only Congress can declare war. In the early 2000s, the United States adoJ policy of unilateralism and preemption. Some Important Terms balance of power ( 369) cold war ( 376) detente ( 376) fascist ideology ( 372) foreign policies ( 370) geopolitics ( 371) hegemon (365) ideologues (373) internationalism ( 376) isolationism ( 376) nation ( 360) nation-state ( 361) new world order ( 369) North Atlantic Treaty Organization (NATO) ( 369) nuclear standoff (376) power (364) realist theory ( 369) state ( 360) theory of complex interdependence ( 369) Truman Doctrine ( 376) unilateral (368) weapons of mass destruction Pick a country to which you have never traveled. Using http://projectvisa.com/, find what type of travel visa you can get to enter the country and h ow to do so. ( ;o to http:/ /www. archives.gov/exhibits/charters/ lharters.html. What does Article II, Section 2, dauses 1 and 2 of the United States Constitution �tate? Watch the YouTube video at http://www.cnn.com/ video/#/video/world/2009/03/26/starr.china.military. r Further Study Peter, Border Games: Policing the U.S.-Mexico Divide, Ithaca, NY: Cornell University Press, 2000. Timothy Green, Free World: America, Europe and the Surprising Future of the West, New York: Random House, 1. In what sense do the nation-states of the world form a community? 2. List the more important differences between nations and states. 3. As the term is used in this chapter, which of the fol­ lowing are states: Alaska, Luxembourg, Scotland, Bavaria, Australia, Michigan, Hong Kong? On what basis did you make your selection? 4. Historically, how did nation-states develop? 5. Would the European Union have been a state if the Treaty of Nice had been ratified? Why or why not? 6. The effectiveness of a nation's military power in supporting its foreign policies depends on what factors in addition to the size, training, and equip­ ment of its armed forces? 7. Why are democratic governments more restricted in their actions by public opinion than are totali­ tarian governments? 8. What is a hegemon? 9. What factors make up a nation's economic power? 10. What are three possible approaches to the problem of achieving some degree of national security? Explain each. 11. Explain how the theory of complex dependence is becoming a substitute for t h ance of power in maintaining the peace in t o world. 12. How may foreign policies be influenced by (.1 ography and (b) an ideology? 13. W hat powers does the president of the t States have in foreign affairs? W hat power held by Congress? Point out the advan and disadvantages of this division of resp• bility. 14. Do you believe that the president of the t States should have more power or less p<m determine and carry out foreign policies? I >, your answer. 15. Was the 1991 Iraq war justified? Was the 200.• invasion justified? Why or why not? 16. What is the U.S. policy of preemption, and justified? 17. Explain the shift of U.S. foreign policy away an attitude of aloofness to one of active partr tion in world affairs. Sloan, Stanley R., NATO and Transatlantic Relations in the 2 1 st Century: Crisis, Continuity or Change? New York: Foreign Policy Association, 2002. Smith, Rupert, The Utility of Force: The Art of War in the Modern World, New York: Penguin/Allen Lane, 2005. 2004. Joseph, Friendship, New York: Houghton Mifflin, wwwwww Zunes, Stephen, Tinderbox: U.S. Foreign Policy and the Roots of Terrorism, Monroe, ME: Common Courage Press, 2003. 2006. i, Rashid, The Cold War and American Dominance in Questions for Review and Discussion cnn?iref=videosearch. What references to geopolitics can be found in the video? Do you think this video demonstrates a return to a balance of power? Defend your answer. 4. Using the website of the American Foreign Policy Council, www. afpc.org, describe one of their latest news stories. 5. Using the NATO site, www.nato.int, what is the Euro-Atlantic Partnership Council, and how many members are there? the Middle East, Boston, MA: Beacon Press, 2008. Henry, Years of Renewal, New York: Simon & 1999. lith olson, Philip Yale, W ho Do We Think We Are? Race and Nation in the Modern World, Armonk, NY: Sharpe, 2000. David, One World Divisible: A Global History since / 945, New York: Norton, 2000. WWW Council on Foreign Relations WWW The Electronic Embassy . cfr.org . embassy.org WWW Foreign Policy Association WWW Global Geopolitics http://globalgeopolitics.net WWW International Information Programs r/iip/ WWW League of Nations Archives www archives/archives.htm WWW NATO . nato.int www www.fpa.org www .state.gov/ . unog.ch/library/ T h e Terminology of Trade 9nternational unfriendly government would control a large portion of the world oil supply was a signifi­ cant factor in the quick reaction of the United States to the invasion of Kuwait by Iraq in 1990, and its continued strong role in the Middle East. International trade is fundamentally important to the U.S. economy. Economic Relations After readiof,! this chapter, you should be able to: • Differentiate between the balance of payments and the balance of trade • Compare the advantages and disadvantages of international trade • State the arguments in favor of and against protective tariffs • Distinguish between a fixed and a flexible exchange rate • State whether the United States is a debtor or a creditor nation and explain what that means • Discuss the advantages and disadvantages of limiting imports to protect U.S. jobs from the threat of globalization he Terminology of Trade One of the purest fallacies is trade follows the flag. Trad, lows the lowest price curre11t. a dealer in any colony wish buy Union Jacks, he would them from Britain's worst The expanding importance of international trade has led to the introduction of new terms and the increasing importance of others. For example, many corporations have become global corporations (also called multinational corporations), which have production and distribution facilities in a variety of countries. Another term that has become important is cartel, an organization of countries that produce a specific good and that agree to limit pro­ duction of that good in order to increase the price the countries in the organization get. Probably the most well known of these cartels is the Organization of the Petroleum Exporting Countries (OPEC), which played a significant role in international trade in the 1970s and 1980s and again in the early 2000s. he could save a sixpence. -Andrew Carnegie Can we be frank? Once we cut through many of the high-sounding moral positions 11.11 (and individuals) take, often there is a crass materialistic or economic motive undcrl those positions. Therefore, to understand international relations, we must understan ternational economics, which includes the study of international trade, determinatu foreign exchange rates, and foreign investment. In Chapter 3, we discussed the rise and importance of international trade in the d opment of society and the evolution of cultures. As nations developed, trade tram!� culture and made merchants rich, which helped break up the feudal system and led It modern nation-state. The modern role of international trade is no less important, but out the perspective of history we are less likely to see it. In the 1930s, the United States followed an isolationist policy toward trade. Sin(l 1 time, the importance of international trade for the United States has grown signifil 11 particularly over the last few decades, and now accounts for well over 10 percent of 0111 tal GDP. But even this percentage underestimates its importance. It fails to take inll count the fact that once export industries become established, people employed in 1 furnish a part of the market for industries producing products for domestic consump Hence, if exports decline, production and employment, in accordance with the multr principle, also fall off in other industries. That figure also does not take into account the importance of imports to us. A nu1 of our imports are necessary or desirable commodities that we cannot produce ourschl cannot produce as much of as we would like, such as coffee, bananas, natural rubber, 111 tin, and oil. The crisis and shortages in the U.S. economy as a result of the Arab oil eml in the 1970s demonstrate the importance of international trade. Similarly, the fear th The Balance oflrade and the Balance of Payments In discussing international trade, two terms are used frequently: the balance of trade and the balance of payments. Balance of trade refers to the relation of our total exports to our total imports. It tells us the dollar difference between exports and imports. Figure 19.1 shows that the U.S. balance of trade significantly worsened in the mid-1980s as the country ran 25 0 -50 -100 Trade balance on goods and services -150 -200 -250 � -300 "' 'E -= -350 c; -400 "' .§ -450 iii -500 -550 -600 -650 -700 -750 -800 -850 1960 1965 1970 1975 1980 1985 1990 1995 2000 2005 2010 Figure 19.1 U.S. trade balance (including services), 1950-2008. 380 381 (Source: Bureau of Economic Analysis.) 2015 382 � 19 International Economic Relations Advantages and Disadvantages of International Trade large deficits. The deficits improved somewhat in the early 1990s, but worsened a gail late 1990s and early 2000s. Balance of payments refers to the relation of total payments made abroad to to ments received from abroad. It includes not only traded goods and services but ,ll rency flows, such as loans and investments, among countries. Even though the bal trade has been in deficit recently, the balance of payments has not, because the tratk ance is being offset by large foreign capital inflows into the United States. The difference between the balance of payments and the balance of trade can l by considering the U.S. position in 2008 when it was running a significant balance· o deficit of over $700 billion. However, at that same time, foreigners were investing hl the United States, largely in the form of bonds. Therefore, because the balance of p.n includes flows of investment, even though the balance of trade was in deficit, the bal payments was not. That does not mean we don't have to worry about the international trade defiCit. foreign money is invested in the United States, foreigners acquire U.S. assets and \\1 profits from them and will control them in the future. They also can decide to no hold their assets in the United States, in which case the value of the dollar can fall sui tially, as it has over the last few years. Visible and Invisible Trade Many people, when they think of imports and exports, have in mind only the visibll 11 of trade-material goods such as wheat, pianos, or machinery. But to think of foreign as consisting of these alone is misleading, because the so-called invisible items may I as important. Invisible items of trade consist of services of all sorts for which the people ol country pay those of another. For example, in normal years, we pay British citizen other foreigners large amounts in freight charges for carrying U.S. goods on their shiJ planes. U.S. tourists also pay British citizens, French citizens, Italians, and others largl to buy hotel accommodations and transportation in their countries. Such items rcpr purchases abroad just as truly as do imports of coffee or shoes. Another important im item of trade is the interest Americans receive from foreign investments. This is p<l for permitting foreigners to use our capital, something that is just as truly a service <I' · permitting us to use their hotel rooms. he (han!;!in!;! Nature of International Trade In the 1960s, 1970s, and 1980s, international trade expanded in the developing countries, mainly in the area of manufacturing. One after another U.S. manu­ facturing plants moved abroad to take advantage of cheaper labor, and today the majority of goods you consume are manufactured abroad. T he 1990s marked a new dimension in the expansion of interna­ tional trade. Companies began dividing up their pro­ duction processes into components and looking for ways to shift the various subcomponents of production abroad. Each aspect of production was separated­ such as bookkeeping service, maintenance service, and advertising-and ways to achieve lower costs by outsourcing-contracting out for others to provide thu1 activity for the firm rather than having someone in th firm do it-were explored. Beginning in the 1990s, services began moving abroad. For example, accounting for some firms is done in India, where labor costs one-tenth what it d in the United States. Likewise with telephone servicu When you actually reach a service representative, it might well be a person in India, Pakistan, or Bangladesh who has been trained to speak "American" and who receives a wage that is a fractio of what a U.S. citizen would get. Such movement over seas of subcomponents of production is likely to con tinue and even increase in the coming years. 383 As far as the visible items of trade are concerned, before World War II we normally ex­ ported much more than we imported. But in respect to the invisible items, the reverse was true. Therefore, for the most part imports equaled exports, so that our money payments to other countries were offset by their payments to us. However, this balance was upset by World War II. From then until the 1960s, the United States ran a substantial balance-of­ trade surplus that was offset by foreign aid and loans that the United States made to other countries. Since the end of the 1960s, the flow has been reversed, and the United States has been running large balance-of-trade deficits that we have paid for by our previously accu­ mulated reserves. In the 1980s, the deficit became so large that the United States became a net debtor nation (a country that owes more than it is owed). The deficits continued in the early 2000s, and the United States now owes trillions of dollars more than it is owed. nta!les and Oisadvanta!les of International Trade Trade is the lifeblood of a modern economy, and the benefits of international trade are so great that it is inconceivable that a modern nation should adopt a policy of complete economic isolation. The full utilization of machinery, with its attendant specialization, requires mass production, and mass production calls for extensive trade in very wide mar­ kets. To limit the market of an industry to one country would often mean reduced effi­ ciency and higher costs. Also, modern society requires a great variety of goods, both for consumption and as raw materials for its industries, including tea, coffee, cotton, rubber, petroleum, iron, manganese, aluminum, nickel, coal-a complete list would be long indeed. No country has or can produce all of these products. The missing ones can be obtained only through trade. When trade flows freely between countries, the world tends to become more prosperous. When trade languishes, production lags, unemployment increases, and the world's income shrinks. Three Advantages oflrade There are three primary advantages of international trade. The first is that it enables a country to obtain products that cannot be produced at home at all or that cannot be pro­ duced in adequate quantities and at acceptable costs. Sometimes the inability of a country to produce certain things is a matter of climate, such as the difficulty in growing tea and coffee in the United States. In other cases, it is a lack of certain natural resources. Italy, for example, has no good coal deposits, and Britain does not have enough good farmland to meet its demands for food. The second advantage of international trade is that it often enables a country to get a better product than can be produced at home. This may be due to differences in climate and soil or to differences in natural resources. Sometimes, however, it is owing to the fact that the people of some foreign countries have, over a long period of time, acquired certain techniques that are not easily transferred. English factories for years produced finer woolens than most U.S. factories because they had specialized in fine woolens for generations. A third advantage of international trade is that it often makes products available at a lower price than would be possible if they were produced at home. This raises standards of living by increasing consumer purchasing power. Consider a country that, like Great Britain, produces only about half of its needed food supply. Conceivably, Britain might be able to raise enough food within its own borders to feed its people. However, any attempt to do this would mean inadequate amounts of many foods and the absence of commodities such as oranges, tea, and coffee. It would also mean high prices for the foods that could be produced. Britain has a large population relative to the amount of land available for cultiva­ tion. To raise all of its food, it would have to cultivate its good land more intensively, in spite 384 � 19 Restrictions on International Trade International Economic Relations 385 Why You Can't Get the Advantages without the Disadvantages U.S. exports being loaded onto a Panamanian-registered South Korean ship. of the tendency toward diminishing returns; it would also have to resort to inferior Jan really suitable for agriculture. Both methods are expensive and result in high prices. I long run, Britain can provide its people with better standards of living by selling indu goods and buying a substantial portion of its food supply abroad. Disadvantages oflrade If international trade had only advantages, there would be free trade among nations <Ill'I tie debate over what to do about international trade. There is significant debate, howe\ obviously there must be some disadvantages to international trade. To see these dis.nl tages, let's consider some examples. Say, for instance, that China began building aull biles that would sell in the United States for $4,000. This would benefit the Chine�t make the automobiles and U.S. consumers of automobiles, but it would hurt one gnu producers-U.S. automobile companies-and one group of workers-U.S. autom workers-a lot. Other examples abound. Importing potatoes helps U.S. consume• hurts Maine and Idaho potato producers; importing textiles from Bangladesh help� consumers but hurts textile firms here in the United States. When we look at both groups together, we see that the benefits of international I almost always outweigh the costs, but the benefits are spread over a large group of p� whereas the costs are imposed on a few. Those few who are hurt express their oppositu international competition loudly, and so in the United States, as in most countries, th often a tendency to encourage exports and discourage imports. The complainers something like the following: Just as it seems plain that exports give profits and wa� U.S. producers, so it seems equally plain that imports rob U.S. producers of the profit wages they might have received had these goods been purchased at home. Why Economists Generally Support Free Trade The notion that U.S. producers as a group are injured by foreign purchases is a fali.ll the long run, the United States can sell goods to other countries only if it also buys g• from them. Though we may gain home markets for the products of some U.S. workc1 do this only at the expense of losing foreign markets for the products of other U.S. wo 1 For the country as a whole, these two things cancel each other out, and the long-nu result is that U.S. consumers pay higher prices or receive inferior goods. Why is it that we can sell goods to other countries only if we also buy goods from them? Briefly, the reason is that, in the long run, foreign countries can pay for what they buy only with the goods they sell. Let us explain as simply as possible how imports pay for exports, and vice versa. For simplicity, we first assume that trade takes place only between Britain and the United States. Suppose that at a certain time a British importer wishes to buy $1 million worth of U.S. machinery. The U.S. firms that have this machinery for sale are unlikely to want British money, or pounds sterling. Rather, they want dollars. Therefore, in order to buy the machin­ ery, the British importer must find some way to change British money into dollars-that is, to find someone who has dollars and who is willing to sell them in exchange for pounds. Who will have dollars and be willing to exchange them for pounds? For the most part, they can be found in two groups: (1) Americans who want pounds in order to buy goods or services from Britain, and (2) British exporters who have accepted checks or drafts in dol­ lars for British goods that they have sold to Americans. In either case, the source of the dol­ lars available to the British to buy American goods is the payments Americans have made, or plan to make, for British goods. If for any reason U.S. imports of British goods should decline, the British would be forced to curtail their purchases of U.S. goods because they could no longer obtain suffi­ cient dollars to buy in the previous volume. The preceding explanation disregards certain complicating factors. Actually, British importers do not go directly to British exporters to obtain U.S. money. The banks act as middlemen. If British exporters accept in payment dollar-value checks drawn on U.S. banks, they do so because they can take them to their own banks and there exchange them for pounds sterling and deposit them to their own accounts. Their banks can then deposit these checks in New York banks and sell dollar drafts to British importers who need them in order to pay for U.S. goods. Another factor that our explanation disregards is that trade does not take place just between Britain and the United States. Other countries come into the picture. For example, British exporters might receive dollars for textiles sold in the United States, and British im­ porters might in turn use these dollars to buy beef in Argentina. The dollars would then be available to Argentine importers to buy machinery in the United States. In this case, the dol­ lars we spent for British textiles made it possible for Argentines to buy our machinery. A final qualification is the time dimension. In the long run, any country's imports must equal its exports. In the short run, however, this statement must be qualified. Over consid­ erable periods of time, one country may be able to buy substantially more from another country than it sells, or vice versa. This can happen for two reasons: (1) countries may have stocks of gold, other reserve currencies, or financial assets that they are willing to send us in payment for their purchases, and (2) countries may be willing to sell goods on credit. This is the position that the U.S. has been in for the last two decades. People outside the U.S. have been willing to hold dollars and dollar-denominated assets, which has allowed U.S. imports to greatly exceed U.S. exports. However, this cannot continue indefinitely, and we can expect the situation to change in the coming years, probably with a major international currency crisis. strictions on International Trade We have seen that there are significant advantages to international trade, and in most cases nations would derive the greatest economic advantage from international trade if they allowed free trade. This, however, is not the usual practice; instead, numerous controls are applied. These controls include subsidies on exports, tariffs, quotas, exchange controls, and bilateral barter agreements. In the past, tariffs have been the principal device for regulating 386 � 19 International Economic Relations trade, but in recent years other methods of control, especially quotas, have assumed increased importance. The reason for these controls has to do with how economics relates to politr\ benefits of trade are spread widely among consumers, who simply take these bencf1 granted. The costs fall on a relatively small group and often affect them rather sn causing firms that can't compete to go out of business and workers to lose their job' though the total costs are less than the total benefits, politicians will listen to, and makr to protect, the few who are hurt. Therefore there is continual pressure for trade restml We now consider some of these. Restrictions on International Trade January December February March November April Tariffs on Imports A tariff is a tax, or duty, usually on an imported commodity. When tariff duties are Jc, a fixed charge per barrel or yard, they are said to be specific. When they are levied as centage of the value of a commodity, they are said to be ad valorem (value-added). A generally has one of two purposes: either to raise revenue or to protect the market of mestic industry by keeping out the products of foreign competitors. To a degree, the purposes are incompatible because a tariff that would keep the foreign product out cut would raise no revenue at all. In practice, however, protective tariffs are seldom enough to exclude imports completely and hence do raise some revenue. But if th( purpose of a tariff is to raise revenue, it should not be high enough to discourage mo ports. Further, instead of being levied on a commodity produced both at home and ahr it should, if possible, be levied on one that cannot be produced at home. This eliminate possibility that imports and revenues may fall off because buyers turn to home prodm Although tariffs for revenue interfere with trade to some extent, that is not their pose, and such interference is usually kept at a minimum. Their use is in no sense irh patible with a policy of free trade. Whether they represent a desirable kind of tax is anc question, and we might point out that, unless they are levied chiefly on luxuries, they I the same drawback as a sales tax-namely, their burden falls more heavily on people o l income than on the well-to-do. O n the other hand, the only justification for a prot' tariff is a belief that it is in the public interest to keep people from buying goods abroad to force them to buy at home. Most economists oppose the levying of protective tariffs and the setting up of 1 trade barriers designed to limit competition and maintain or raise prices. Studies o f gressional hearings and debates indicate that protective tariffs are nearly always enacted result of political pressure from business and labor groups interested in the production certain product, and who expect to benefit from a reduction of foreign competition. The basic argument against protective tariffs is by restricting international trade, they rob us of part of its benefits. Further, we em ph again that free admission of imports is one of the most effective ways of expandin�· foreign markets of home industries because it is payments for our imports that fur foreigners with most of the funds with which to buy our exports. When one country institutes tariffs, it is likely that other countries will follow. result will be a contracting spiral of trade, making all countries worse off. That is prco what happened in the Great Depression from 1929 to 1933 (see Figure 19.2). As one cc· try after another instituted tariffs to protect jobs at home-the United States instrt1 the infamous Smoot-Hawley tariff-trade declined, and the entire world fell into a st•r economic depression. The Case against Protective Tariffs. The advocates of protective tariffs sup1 their point of view with a number of plausible arguments: the home-market argument high-wages argument, the infant-industry argument, and the self-sufficiency argument The Arguments in Favor of Protective Tariffs. May September 387 Home-Market Argument. One of the most effective of the claims made by the protectionists is the home­ market argument. According to this reasoning, a tariff that keeps out foreign goods increases the market for U.S. goods and thereby increases home profits and employment. Undoubtedly, there is some truth in this contention if we consider only short periods of time, but, as we have already pointed out, the final result is that a home market is created for some goods at the expense of losing a foreign market for others. This loss of the foreign market comes all the faster because, when we raise our tariffs on their goods, other countries retaliate by raising their tariffs on our goods. Meanwhile, as we have seen, U. S. consumers pay higher prices or receive inferior products. A second claim that pro­ tectionists make is expressed by the high-wages July argument. They assert that the tariff maintains the U.S. wage level and the U.S. standard of living by protecting our workers from having to compete with fire contracting spiral of world trade, 1929 to 1933. Total im­ cheap foreign labor. This argument is also plausible, parts of seventy-five countries (monthly values in terms of old but a little analysis and observation robs it of most of U.S. gold dollars in millions). (Source: Original diagram by its force. In the first place, if a tariff makes possible l.l'ague of Nations.) higher wages, it does so only by enabling producers to sell their products at a higher price. This may benefit one group of employers and workers, but it reduces the purchasing power and standard of living of all others who must buy the product. If this kind of price raising were applied to a great many products, the general reduction in standards of living might be serious. August June High-Wages Argument. Infant-Industry Argument. A third defense of the protective tariff is the infant-industry argument. Those who advance it often disclaim any wish to give permanent tariff protection to an industry not able to survive without it. But, they say, a small new industry in the United States cannot hope to produce at as low a cost as an old, established industry abroad. Let us give it protection until it can get established and grow. Eventually, it may become more efficient than its foreign competitors. If so, it can provide consumers with goods at reduced prices, and it will no longer need tariff protection. The infant-industry argument has been advanced in the United States at one time or another in support of tariffs to protect various industries. In theory it is sound, but it is dif­ ficult to find any clear case in which it has been successfully applied-that is, where an industry has been established as a result of tariff protection and then has continued success­ fully without such protection. A final argument for protective tariffs is that they make a country more self-sufficient and thus less dependent on foreign countries for essential commodities in time of war. This argument is sound in theory, but the situations to which it can usefully be applied in practice are probably rather limited. Though our experience in World War II emphasized the importance of having dependable supplies of vital raw materials, to keep such products out of the country by tariffs would not always result in building up home production. Moreover, many products once deemed essential are less so today because of greatly improved substitutes. Familiar examples are wool, tin, and natural rubber. Self-Sufficiency Argument. 388 � 19 International Economic Relations Restrictions on International Trade 389 When there is real danger of a shortage of strategic materials in time of war, the I solution is probably to build up stockpiles. The U.S. government has followed this p1 with a number of minerals and with oil, but many students of the problem believe tl much of this stockpiling has been unjustified and is a waste of the taxpayers' money. Import Quotas Another device for protecting home industries is the import quota. An import quota lu the quantity or the value of a commodity that can be brought into a country in a gt period of time. For example, the government may decide to limit sugar imports to 2 mtll tons a year, and it may decide to assign definite parts of this quota to specified foreign WI tries. Usually, import quotas, like protective tariffs, are imposed to keep out foreign good' the benefit of domestic producers, but sometimes they are imposed chiefly to limit paym to foreign countries in order to conserve limited supplies of foreign currency. Many advocates of freer trade consider quotas more objectionable than tariffs. For 1 thing, though quotas restrict trade, they bring no revenue to the government of the impo ing country as a tariff would. But for those who wish to restrict imports, quotas have cert advantages over tariffs. Often, they do not require special legislation but instead rna) imposed or changed by administrative decrees. Moreover, a quota can be fixed to adm definite amount of a commodity, whereas if a protective tariff is levied, there is no W<l\ knowing just how much of it will enter. Removing Trade Restrictions Most economists believe that if trade could flow freely and securely through the wor there would be a great expansion of its total volume and that in the long run all natio would be more prosperous. There would be less talk of have-not countries and less need I foreign aid because every country would have free access to the markets and raw mateo of the world. The average price of consumer goods would be lower everywhere. Notlu would contribute more to the expansion of world trade than removal of the great rna'' restrictions that have been placed on it by government action. But as we saw earh decreasing these restrictions will be a slow and tortuous process. Some steps have already been taken. The Reciprocal Trade Agreements Act of 1934 l"t powered the president to make reciprocal trade agreements and to reduce tariff duties lw much as 50 percent in return for trade concessions by other countries. This act extended in 1947 through the General Agreement on Trade and Tariffs (GATT), an agn ment in which most Western nations agreed to a mutual effort to reduce trade barm Countries met every so often under GATT in order to reduce trade restrictions. In the nu 1990s, GATT was replaced by the World Trade Organization (W TO), an internatiot organization designed to foster trade among countries. Every two years, a ministerial conference is held in which all the WTO member cou tries, close to 150, make decisions on all matters of trade agreements. This includes launl ing negotiations for new agreements, which begin when members see limits to their existt rules. Member countries negotiate, during a certain period of time, on many trade issues multaneously; this period of negotiation is called a "trade round." The ninth round, tl Doha Development Round, was started during the fourth WTO conference, held in Q.tt in 2001. This round is specifically meant to help poor countries; for the first time, develo, ment issues are at the core of a round. Negotiations in this round have been contentio and the successful completion of it looked doubtful in 2009. The slow going in decreasing world trade restrictions was accompanied by the creatu of a number of free trade areas, the most prominent of which are the European Unu (EU)-the economic and political union of a number of European states (see box, p. 391)­ and the North American Free Trade Agreement (NAFTA) involving the United States, Canada, and Mexico. These agreements eliminate trade barriers among member countries and establish common barriers against nonmember nations. Economists, who generally fa­ vor free trade, are of two minds about these associations. They favor associations because they reduce barriers among countries, but they fear that the associations make it harder to achieve a worldwide reduction in barriers. Globalization and Trade Restrictions The late 1990s and early 2000s were marked by significant demonstrations against globalization-the integration of various world economies in terms of production, distribu­ tion, and finances. In a fully globalized world, global firms can move across national borders with ease. We are a long way from this, but global firms have played a major role in expanding international trade, and in doing so they have significantly changed the interna­ tional economic environment. When workers in one country demand wages that are too high, these firms are in a position simply to transfer production to another country where workers are willing to work for lower wages. For instance, IBM closed many of its production facilities in the United States and moved them to Asia where labor costs were significantly lower. Then, in 2004, it sold its entire personal computer business to a Chinese company, Lenovo. Many other companies have done the same, and manufacturing in the United States has languished over the past decades. In the early 2000s, it was not only manufacturing 390 � 19 Foreign Exchange International Economic Relations industries that were transferring jobs abroad, but it was also service industries. Whet phone a company for technical assistance or to buy something, you are likely to spea� operator in the Philippines or India. Global corporations affect the trading environment in another way. Say, for in't 111 that the United States were to establish unilateral quotas for Japanese cars. By beco St.a United the in plants assembly or n global company and establishing productio Japanese company could avoid the quotas and sell as many cars in the United Stall wished. That is exactly what happened in the 1980s when a number of foreign-car pn 1 ers established assembly plants in the United States. In the late 1990s and early 2000�. Thi� . U.S.-based global firms that were establishing production facilities elsewhere I some U.S. workers who felt they were losing their jobs and others who felt that thl , .. worker� foreign their to were being imperialistic and paying unacceptably low wages beliefs led to demonstrations against globalization. To prevent the job loss from globalization, critics of globalization argue that we '' protect domestic jobs by establishing tariffs on imports, or limiting imports directly b) tas. Most economists oppose such policies, pointing out that job losses and other dis.11 111 tages of trade go along with the advantages of trade-the lower cost of goods. Were it teleph shirts, shoes, s, computer buy-the we goods the of many ion, globalizat and trade and so on-would cost two, three, or four times as much, making us much poorer. On age, trade benefits both countries involved; otherwise they wouldn't enter into the trad� The political difficulty for trade proponents is that the benefits of trade an: w stealth benefits-benefits affecting large numbers of consumers a little bit-but the Th.ll apparent. more are hence and region, a or trade are often localized in an industry economists' argument that trade is better on average for us does not mean that glob 1 tion does not present serious potential difficulties for the United States. The reality not consumed has States United the decades, last the over deficit trade large with our t1 the immediate benefits of trade but also many of the future benefits of trade. We have ht money, of form ferred to the world trillions of dollars of future trade benefits in the and other future promissory notes. Moreover, we continue to run trade deficits of hunt of billions of dollars per year. At some point, other countries are going to stop accq those promissory notes in return for goods and services and are going to ask for payn dti At that point, a difficult adjustment for the U.S. economy will occur. Before we can markets. exchange foreign discuss it, however, we must he European Monetary Union and the Euro Countries in the EU, including new members. The land mass known as Europe contains numerous countries, and usually the little group of islands off the western coast of France known as Great Britain is also included when we use the term Europe. These countries have joined together economically, and to a limited de­ gree politically, to form the European Union (EU). The EU began as an economic union in 1958. At that time, several governments of Europe, to expand their markets and increase competition, decided to form a common economic market, or customs union, in which the members agreed to allow free trade among themselves. In 1992, the EU attempted to increase co­ operation among its member countries by having the countries that chose to, and that met appropriate crite­ ria, join the European Monetary Union (EMU) and adopt a common currency-the euro. This common currency means that you can travel between these countries without changing the money you use. That seems an advantage, and it is, but it also involves costs for the countries. Specifically, the countries are no longer able to use a separate monetary policy to stimulate their economy if they feel it needs stimulation. For example, say that Italy's economy is lagging. Before, the Italian central bank could lower interest rates and increase the money supply, expanding the Italian economy. Now that it is a member of the European Monetary Union, it can­ not do that; all it can do is ask the European Central Bank to lower interest rates. Such concerns have kept a number of countries in the EU from joining the EMU. Presently only sixteen of the twenty-seven countries in the EU are members of the EMU. other receives depends in part on the rate at which their two currencies exchange. For ex­ ample, in 1980, when the price of a British pound in terms of dollars was $2.20, a setting of chinaware selling for 10 pounds in London would have cost a U.S. tourist $22. In 1985, when the pound had depreciated to $1.20, the same setting of chinaware would have cost a U.S. tourist only $12. In 2009, a pound cost about $1.60, so the chinaware would cost that tourist about $16.00. In studying foreign exchange, we are concerned first of all with exchange rates and how they are determined. It is desirable for exchange rates between two countries to be at a level that will encourage trade. They should also be reasonably stable. Erratic fluctuations in ex­ change rates are a handicap to trade because they increase the uncertainty and risk involved in transactions that require time for their completion. 1 oreign Exchange cou When the balance of payments is in imbalance, actual transfers of wealth from one rc'• onal internati an or goods of to another can usually be made only in the form ol> for payment final as accept to willing are currency-a currency that all countries em export cannot country a reason any for If dollar. tions owed to it-such as the U.S. b()f 1 goods to pay for its imports, it must settle the balance with a reserve currency or by foret be will it s, obligation nal internatio its meet cannot country a When ing abroad. ih depreciate its currency, which means it must lower the foreign exchange price of the 2000s early rency. In the 1990s, the dollar was the only reserve currency, but in the was becoming an alternative reserve currency. Fixed and Flexible Exchange Rate Systems The Meaning of Foreign Exchange th Foreign exchange refers to the process of exchanging the money of one country for exchan foreign called is another and to the monies themselves. Thus, the Japanese yen nal t the United States. Goods are generally paid for in terms of money, but in internatio ant pays one that price the so another, the buyer uses one kind of money and the seller 391 I For many years before World War I, the principal trading countries of the world maintained monetary systems based on fixed exchange rates, exchange rates in which the relative values of the various currencies are established by agreement. (Under flexible exchange rates, in contrast, the government allows the market forces of supply and demand to fix the exchange rate of that country.) A fixed exchange rate system was achieved during this time by using the gold standard, a fixed exchange rate system in which the prices of the various currencies are set in relation to the price of gold. During the war, this standard broke down in most countries, and though it was revived for a time after the war, it suffered a second general breakdown with the coming of the Great Depression in the early 1930s. 392 � 19 International Economic Relations Foreign Exchange W hen two or more countries are on the gold standard, only very small fluctu,tt can take place in the exchange rates between their currencies. Under the traditional standard, each country will exchange its paper money freely for a fixed amount of When paper money and gold are freely interchangeable in each of two countries, th� ative values of their currencies depend almost entirely on the relative amounts of they represent. Let us suppose that the French franc once represented 4 grains of gold and the U.S. lar 20 grains of gold. 1 Then a dollar would always exchange for approximately 5 fr Slight variations in the exchange rate could still occur because of the cost of shipping For example, though under the gold standard Americans could always exchange doll,, 1 this country for a fixed amount of gold, in order to use this gold to obtain francs in I they would first have to pay the cost of shipping it to France. The weakness of the gold standard was that, in order to maintain it, a government to keep on hand enough gold to meet all demands for redeeming its currency. The ath tage of this standard was that, as long as there was a determination to maintain it, it w effective check on inflation. It forced a government to limit the expansion of bank dep1 and the issue of paper money. Otherwise, demands for conversion of paper into gold Wl soon reach such a level that the government would be forced to stop redemption, thus ,t matically placing its money on a paper, or fiat, standard. supply and demand for U.S. currency fluctuates also, changing its relative price. Thus, one month you might be able to buy an English pound for $1.90, and the next month it might cost $2.00. If that happens, we say the exchange rate of dollars for pounds has fallen from 1.9/1 to 2.0/1. In a perfectly flexible exchange rate system, the balance of payments must always be in equilibrium. Put another way, the supply of currency must always equal the demand for that currency. This follows from the definition of balance of payments as the relation of total payments made abroad to total payments received from abroad. Actually, although the U.S. exchange rate system is generally a flexible rate system, it is not perfectly flexible. Every so often, the United States and other countries enter into the foreign exchange markets to attempt to raise or lower the value of the dollar. This makes our exchange rate system a dirty float-a partially flexible exchange rate system through which every so often the government enters into the foreign exchange market to affect the exchange rate. Problems of Flexible Exchange Rates. One of the problems facing the international flexible exchange rate system is the pressure of what can be called hot money. In the past, long-term investment has predominated, and capital flows among countries tended to be rather stable. With the continued development of computer technology for transfer of funds, however, in the last ten years short-term investments have become far more important. These short-term investments-hot money-will flow in or out of a country at the slightest change in relative interest rates. On an average day, more than $200 billion may be traded in this way. The last part of 1997 provides us with a vivid example of the problems hot money can present to countries. At that time, investors lost confidence in a number of Pacific Rim countries, such as Thailand and Korea, and moved their money out of those countries. This created a currency crisis in those countries. Emergency loans were arranged to prevent their exchange rates from falling precipitously, but these loans came with conditions that slowed growth in these countries for the remainder of the twentieth century. In 2003, the hot money was leaving the United States, increasing the demand for foreign currencies and de­ creasing the demand for dollars. The result was a significant fall in the value of the dollar. Fluctuations in the value of the dollar can be seen in Figure 19.3. You can see that the value of the dollar has recently been on a roller coaster ride. Paper Standards and the Gold Exchange Standard. A paper standard is a system ut which the basic monetary unit of a country is represented by engraved pieces of p.1 These have value only because they are limited in quantity and, in the country of issue legal tender and acceptable in trade. After World War II, the Western world initially went on a modified gold standard, der which countries were allowed to adjust their exchange rate (devalue) slightly (ln more than 10 percent), but no major devaluations were allowed without approval fr other countries. The approval came from the International Monetary Fund (IMF), au ternational organization set up just after World War II, both to aid in the adjustment stabilization of exchange rates and to bring about the development of free exchange n kets. The IMF could help its members meet temporary exchange difficulties by lend them limited amounts of gold or redeemable foreign currency. Though the IMF has not entirely lived up to the hopes of its founders, it has hd1 stabilize foreign exchange markets. The system worked well until 1958, when the Un States stopped running a balance-of-payments surplus and began running a balann payments deficit. This led to runs on the dollar in which foreign holders of dollars W<lll gold for them. In 1971, the fort demand for gold was so great that the United States stopped convertibility, and 1 international exchange mechanism moved from a fixed exchange rate and a gold stand to flexible exchange rates. Under the new system, our reserves are no longer held onh gold, but are instead held in reserve currencies and a type of paper gold, or special dra\\ rights. These special drawing rights can now be used, within limits, for meet international obligations, and they can be lent by the IMF to countries whose other reset are being rapidly reduced by an adverse balance of payments. Other countries can no longer get gold for dollars from the United States, but they l exchange dollars for U.S. goods. As the supply and demand for U.S. goods fluctuates, From a Fixed System to Our Current System: The Dirty Float. en § c:: ·- Q) en .!!:! (..) c:: Q) � �.... 50 �uo ocT""" "'0 .2> II c.r.i�C"') . 0" ::J-"' - o �� o ·ro .=! E "'­ > 0 aJ 1975 1980 1985 1990 1995 Year 1 Under the gold standard as it existed before World War l, U.S. gold coins actually contained 23.22 �� of pure gold per dollar, and French gold coins contained slightly less than one-fifth of this amount per It (A grain is equal to 1/7,000 of a pound.) 393 Figure 19.3 Fluctuations in the value of the dollar. (Source: Federal Reserve System.) 2000 2005 2010 2015 394 � 19 For Further Study International Economic Relations lobalization, Trade Imbalances, and Exchange Rates the fut Now that we've discussed exchange rates, we're ready to address the question of iml trade the and tion adjustment that the United States will experience due to globaliza not y promisar (U.S. dollars ances it has been running. Currently, countries are accepting allowed has so do to ss willingne their for their goods and services. As discussed earlier, in thl United States to run large trade deficits over the past few decades. At some point w instead and notes ry promisso and dollars U.S. these ture, countries will stop accepting doll.t the of value the happens, that When States. United the goods and services from and 1 likely to fall substantially, especially in reference to the Chinese currency, the yuan, bew will Indian currency, the rupee. At that point, Chinese- and Indian-produced goods goods more expensive in this country (making U.S. citizens less well off) and U.S. buy fn we As off). better become cheaper in India and China (making their citizens will l balance trade the exports, U.S. Chinese and Indian imports, and as they buy more st higher sly enormou the have longer no will appear, but in the process the United States enjoys. currently it that world dard of living over the rest of the Conclusion , and As you can see, there is much to be learned about international economic relations operate' and ted complica is economy have only touched the surface. The international gp faith and goodwill among nations. If countries each try to go their own way, institutin Thercfu suffer. likely will world entire the nism, tective tariffs and other forms of protectio economy. cooperation is as essential in the international economy as it is in the domestic close rc their is t importan more the all issues c economi onal internati What makes do 1 tionship to international political relations. Countries that trade together generally l' I determin fight wars. Thus, international economic and political relations will probably war. direction the world takes in moving toward peace or moving toward /(ey Points • • • Balance of trade refers to the relation of our total exports to our total imports. Balance of payments refers to the relation of total payments made abroad to total payments received from abroad. Trade enables a country to obtain better products cheaper, but trade can hurt the domestic produc­ ers of those products. Protective tariffs restrict international trade and rob us of part of its benefits. This argument is countered by the home-market argument, the high-wages argument, the infant-industry argument, and the self-sufficiency argument. • • • In a fixed exchange rate system, the relative vah of currencies are set by agreement; in a flexible change rate system, the relative values of c u r r cies are set by the market. The United States is the largest debtor nation the world; we owe trillions of dollars more to f, eigners than foreigners owe to us. The large U.S. trade deficit will likely lead to , I in the value of the dollar, which will eliminate t l trade imbalance. x ible exchange rate (391) n·ign exchange (390) n eral Agreement on Trade .tnd Tariffs (GATT) (388) •hal corporation (381) lization (389) gold standard (39 1 ) import quota (388) International Monetary Fund (IMF) (392) international reserve currency (390) What are the three main advantages of interna­ tional trade? What are some disadvantages? Exports depend on imports, and vice versa. Why is this true? Is it more desirable for a country to build up its visible or its invisible trade? Explain. Is a favorable balance of trade possible? Is it desir­ able? Explain. . State and evaluate the principal arguments for protective tariffs. The use of quotas to limit imports has been spreading recently. Are import quotas less damaging to consumers than tariffs? Why or why not? Explain the impact of the formation of OPEC on the international economy. I. Look up the exchange rate at www.econo magic.com/fedstl.htm for U.S. dollars to the euro for the latest date and then for a year before. How did the rate change? From U.S. census data at www.census.gov/ foreign-trade/balance/index.html, pick a country and find the U.S. trade balance with that country now, in 2008, and in 2000. Using http://dataweb.usitc.gov/scripts/tariff.asp, the U.S. International Trade Commission's data­ base, find out what the tariff is per liter of beer. Why are there two different tariff rates? or Further Study mcron, Maxwell A., and Brian W. Tomlin, The Making of balance of payments (382) balance of trade (38 1 ) NAFTA : How the Deal Was Done, Ithaca, NY: Cornell University Press, 2000. Using www.worldbank.org/data/countrydata/ countrydata.html, pick a country under Profile Tables. What are its exports and imports as a percentage of GDP for the latest year? What is the trend for the last three years? Compare it to another country. 5. Go to http:/ /newsweek. washingtonpost.com/ postglobal!america/2007 /07 /inside_an_indian_ call_center.html, read the article, and watch the video. In a typical day, how many sales does a sales representative make? Would you be willing to work for $ 1 0 per day? 4. ------ , Jagdish, In Defense of Globalization, New York: European Union (EU) (388) fixed exchange rate (39 1 ) 8. In what ways can a country meet an excess of for­ eign payments over foreign receipts? Can it meet such an excess indefinitely? Explain. 9. Besides the example of Japanese car assembly given in the text, can you think of some examples of foreign investment in the United States? 10. What is the nature and purpose of the European Union? 1 1 . Why were foreign exchange rates stable under the gold standard? 12. What is the purpose of the International Monetary Fund? 13. Why will the value of the U.S. dollar likely fall in the future, and what will that fall do to the relative standard of living in the United States and devel­ oping countries such as China and India? nternet Questions Oxford University Press, 2004. cartel (38 1 ) dirty float (393) invisible items of trade (382) paper standard (392) tariff (386) visible items of trade (382) World Trade Organization (WTO) (388) estions for Review and Discussion , Some Important Terms 395 Clissold, Tim, Mr. China: A Wall Street Banker, an Englishman, an ex-Red Guard and $41 8,000,000 Disappearing Day by Day, New York: Harper Business, 2006. DeSoto, Hernando, The Mystery of Capital: Why Capitalism Triumphs in the West and Fails Everywhere Else, New York: Basic Books, 2000. 396 � 19 International Economic Relations International Bank for Reconciliation and Development, annual reports, Washington, DC. tions in particular nations. Write to United N. Office of Public Information, New York, NY 100 I Kunstler, James Howard, The Long Emergency: Sur viving Yergin, Daniel, and Joseph Stanislaw,The Commanding lie the Emerging Catast rophe of the Twenty-Fir st Century, The Battle bet ween Government and the Marketpla!C New York: Atlantic Monthly Press, 2005. Is Remaking the Modern Wor l d , New York: SinlC Milner, Chris, and Robert Read, Trade Liberalisation, Competition, and the WTO, Cheltenham, UK: Edward Elgar, 2002. Schuster, 1998. Zachary, Pascal, G lobal Me: Comparative Edge and tlu Cosmopolitans, New York: Public Affairs, 2000. Pomeranz, Kenneth, and Stephen Topik, The Wor l d That WWW Bureau of Economic Analysis Trade C reated: Society, Cul ture, and the Wor l d Economy, WWW The European Union 1400--the Present, Armonk, NY: Sharpe, 2000. WWW Foreign Schmidt, Vivien, From State to Market? The Transfor mation of Trade www.bea.gov Statistics www.census.gov/11> trade/ www.iml WWW T he International Monetary Fund University Press, 2005. WWW Universal Exchange Rate Converter WWW U.S. International Trade Commission WWW T he World Trade Organization Lanham, MD: Rowman & Littlefield, 2002. United Nations: Various agencies of the UN from time to time publish reports and statistics on world economic condi- Developing Countries www.eurunion.org French Business and Gover nment , Cambridge: Cambridge Steger, Manfred B., G lobalism: The New Market Ideology, 0 he Politi(al [(onomies readio!} this chapter, you should be able to: ist six problems facing all developing countries www.xe.coc xplain why each of those problems is so difficult to solve www.u" ist three suggestions you might give to a potential leader fa developing country www.wto.or ist and discuss the various policy options of developing countries iscuss developing countries' problems with specific reference to he cases of China, Mexico, and Uganda A poor country is poor because it is poor. -Ragnar Nurske A country becomes rich because it is already rich. -P. Chaunu There are over 190 countries in the world; of these, about 56 might be considered devel­ oped. Others are called developing countries-countries still in various stages of eco­ nomic and political development. Developing countries are called developing because they have far lower incomes than developed countries. As a group, they make up about 80 percent of the world's population but consume only about 25 percent of the world's output. Table 20.1 shows some other dimensions of the schism between developed and developing countries. As you can see, people in developing countries live shorter lives and earn less money. Developing countries can be divided into a variety of groupings. The position of many Latin American countries, such as Mexico, Brazil, and Argentina, which have developed to some degree, is better than that of some others. A second group of developing countries, primarily those in the Pacific Rim, have managed to maintain rather rapid economic growth. These include South Korea, Taiwan, Singapore, and Hong Kong, which have had high growth rates (over 7 percent) over the last forty years. More recently China, India, and other neighboring countries have been experiencing fast growth. Because these countries have grown, they are sometimes considered to have left the developing country classifica­ tion and entered the "newly industrialized country" classification. The worst performers in terms of economic growth have been the countries of Africa, which for the most part have not grown. Some have even seen their total output per capita decline. To differentiate these less developed countries in the early 2000s, the United Nations created a new category, least developed country, which includes countries with per capita GDPs of under $900. The fifty countries on page 398 below fall into this category. For a profile of these countries, go to www. un.org/special-rep/ohrlls/ohrlls/countryprofile.htm. 397 398 � 20 The Political Economies of Developing Countries Problems of Developing Countries Table 20.1 Industrial countries 7 399 Developing countries 7 The Schism between Developed and Developing Countries in the Early 2000s HIGHER-INCOME LOWER-INCOME DEVELOPED COUNTRIES DEVELOPING COUNTRIES Population 1 billion Per capita GDP $37,000 5.5 billion $2,500 Life expectancy 79 years 67 years Literacy rate 99% 61% Djibouti Equatorial Guinea Eritrea Ethiopia Gambia Guinea Guinea Bissau Haiti Kiribati Lao People's Democratic Republic Lesotho Liberia Madagascar 6 "' "" c "' ..c '"' "' "" s c "' 2.9 Source: Projections and estimates based on World Bank data. Afghanistan Angola Bangladesh Benin Bhutan Burkina Faso Burundi Cambodia Cape Verde Central African Republic Chad Comoros Democratic Republic of Congo 6 I:! 2.54 2 Malawi Maldives Mali Mauritania Mozambique Myanmar Nepal Niger Rwanda Samoa Sao Tome and Principe Sierra Leone Senegal Solomon Islands Somalia Sudan Timor-Leste Togo Tuvalu Uganda United Republic of Tanzania Vanuatu Yemen Zambia The different performance of these various groups is a result, in part, of their coni ing policies. Asian countries, such as China and India, have generally adopted poliu promote exports and have worked hard to maintain competitive exchange rates. M,u the African countries have not. Another difference concerns the government and pol structure. Asian governments have been strong and stable; African governments haw weak and unstable; Latin American governments' stability has generally fallen betwc� two. Stable governments are a requirement of economic growth. The economic growth of developing countries has varied. Figure 20.1 show growth rates of developing countries compared with those of industrialized couu Since 1965, developing countries have grown at a faster rate than industrial countrit the gap between the two in absolute terms has grown larger. Developing countries were once called "backward," but, on belated recognition t value judgment inherent in that term, we began to call them "underdeveloped," ant belated recognition of the value judgment inherent in that term, we now call them ''tl oping." Although developing is preferable to backward, even the current term embm value judgment and suggests that some day developing nations will turn into, or th.ll want to turn into, developed nations. That is not necessarily the case-it is possihll some countries may not want to "develop." One of the reasons is that the term devrl refers primarily to economies, not cultures. So-called developing countries can have I refined cultures that are inconsistent with modern economies. It would be ethnoccnt 0 1965-1980 1980-1990 1990-2000 2.2 I 2000-2010* 5 4 "' Cl.. 3 = c c < 2 R; 0 1965-1980 1980-1990 1990-2000 2000-2010* *Estimated a-tmnmu: growth rate among regions of the world. (Source: International Monetary Fund.) us to think that their cultures are any less refined than ours, or that they should want to become like us. What is less developed are their economies and their systems of government. Those de­ veloping countries that do not develop do not have the stable governments and social sys­ tems that hold a country together. In another world, that would not necessarily present a problem, but in today's world, without stable governments it is unlikely that they will be able to maintain their culture or their society as they currently exist. They will simply be overrun by U.S. and other Western cultures. That is not good or bad; that's just the way it is. Thus developing countries find themselves at a point of choice. roblems of Developing Countries To summarize and review much of what we have previously written on politics, econom­ ics, and their interrelationship, in this chapter we consider some of the problems facing developing countries, both in terms of their choice of social, economic, and political sys­ tems and of their attempts to maintain whatever such systems they have chosen. Although these problems are not unique to developing countries-many of the same problems are faced by developed countries-their severity in developing countries makes them worth emphasizing. In looking at their choices, we would like to consider the full range of possibilities open to developing countries. Given that there are over 190 countries in the world, it would seem they have a wide range to choose from existing societies, but that is not the case. The various societies have not developed separately; they have been influenced by the other societies. Thus we now have two main economic systems, capitalism and socialism, and two main systems of government, democracy and autocracy. These systems do not necessarily span the range of possibilities, and probably many forms of society have not been tried. So we must keep an open mind about new possibilities. 400 � 20 Problems of Developing Countries The Political Economies of Developing Countries The Political Consensus Problem The central problem facing nonindustrial nations is what might be called the poll11 sensus problem. Political consensus means sufficient political order and governm cacy so that the leaders of the state are able to rule. The political consensus probll following: Any state that is to operate as a nation-state must have a political conscn ability to rule can be derived from military might, force of personality, or cultural <II mores, but it must exist if the country is to develop. In the United States, we have information availability, an educated public unity, and a long tradition of democracy. That tradition limits individuals' aclt holds our society together. For example, when a political party loses an election, ill declare the election null and void; it accepts the election results. Developing count dom have all of these qualities, and they often do not have any of them. In those Cl it is unlikely that the democratic model will serve them well in the present, althou�l provide a goal for the future. Generally, the developing state evolves into, at best, democracy, or an autocracy. When the ability of autocracy to rule is based on military might, the milit.u final say on what is and is not to be done. Haiti is an example. The regime of Pt Fran<;:ois Duvalier lasted for twenty-five years, and when he died in 1986 he was f, by his nineteen-year-old son, J. C. Duvalier, who called himself "President for life' 1 overthrown by the army within a year. The military tolerated a temporary governm til 1988, when a new president was chosen, who was overthrown the same year. Fro until 2007, Haiti has had more than ten presidents, including Jean Bertrand Arisltl has been in and out of office as political winds shifted and as he gained and lost f,,, the United States. Throughout this period, Aristide supporters regularly clashed wt opponents. Almost all the presidents were members of the military, or were initi.tl sen through strong military influence, and were overthrown by the military when th found them unsatisfactory. Aristide was a civilian, but it was through significant 11 influence that he was chosen, overthrown, replaced, returned, and again replaced. Both autocracy and democracy present problems for developing countries. Den11 often lead to continual changes of government, and the general population's wtl always what is best for a country. Autocracies often lead to arbitrary and capricim The old saying that power corrupts is not without merit. However, when leader\ strong, power bases often develop outside the state framework. These power b.t, their own means of enforcement; they might require payment for protection atH their own rules. Drug dealers in Colombia are an example. In 1985, when the Cole Supreme Court cracked down on drug dealers, the head of the Supreme Court nation was killed. Then one of the many terrorist groups in Colombia invaded thl· I Justice, and in a shoot-out with the military, twelve more justices were killed President Alvaro Uribe, the situation has improved and the terrorist rebels h<t\ largely defeated. However, the government's association with paramilitary grou, corruption of some politicians have led to difficulties. In 2008-2009, for exampll than sixty members of congress were under investigation and thirty lawmakers ' jail-for corruption. 401 oliti£allnstability in Afri£a Sudan Pro-government militias begin ethnic cleansing campaigns beginning a humanitarian crisis in 2004. The Darfur region is in serious trouble. Somalia Collapse of the military government in 1991 led to a civil war that killed thousands of citizens. Warlords continue to fight for power in a country of essential anarchy. In 2006 an Islamic leader declares a jihad on the Somali government, lead­ ing to civil war. Republic of Congo A series of wars One of many victims of internal political strife being removed from the shores of Lake Victoria. between ethnic and military power­ houses has marked the country's history. All elections are contested and the country remains mired by ethnic disputes and civil strife. Rwanda In the early 1990s, economic collapse led to African countries have experienced the slowest growth and a major reason for this is political instability. If a government does not offer effective control or protec­ tions for its citizens, its economy will not grow. Consider just some of the African political crises that existed in 2010. an outbreak of war. The country is still trying to come to grips with genocide that killed hundreds of thousand of citizens. Zimbabwe This formerly prosperous country has been marked by human rights abuses, political instability, and economic collapse. Hyperinflation has made the currency useless, and elections are marked by killing and violence. only about $6,000 per year. Either he was an awfully shrewd investor, or he was heavily involved in skimming money from the Philippine economy and government. T he examples of the corruption problem are wide ranging and are not tied to any par­ ticular country or party within that country. What we call corruption here may be simply accepted practice there. We see no easy answer to the problem of corruption, or even a com­ plicated answer. No system clearly offers a way around corruption. Only a deep-seated conviction built into the social mores offers some help, a conviction that regardless of the temptations, the leader will not take advantage of the situation to amass power and wealth. This is a bit like sitting you in a room of a hundred beautiful people of the opposite sex and telling you not to talk to any of them. The Economic Problem The Corruption Problem Closely associated with the lack of an established government, one that has inherent macy, is the problem of corruption. Corruption is a way of life in developing counttt example, in Mexico City, when you park your car, a police officer might ask you for <1 1 tion payment. If you want to import an item, you often must bribe the appropriate autI to obtain permission. No bribe, no importing. In the Philippines, former President amassed a fortune estimated at $5 billion to $10 billion, although his presidential salt When income is below the starvation level, some form of economic development seems necessary. At that point the question is not, Should a country develop? but, how? The an­ swer is unclear. To develop, a country requires savings and investment, but when you don't have enough to eat, how can you save or invest? Therefore, at below a certain level of in­ come, societies find themselves in a vicious cycle from which there is no easy escape-and sometimes no escape at all. They must try, somehow, to pull themselves up by their own bootstraps to reach a point where they begin to grow. 402 � 20 The Political Economies of Developing Countries To achieve takeoff into economic growth, a � needs to raise the level of investment to a certau mum proportion of the national income. What essential, and what must develop along with at stantial increase of savings and investment, is an standing on the part of the people of how a su� industrial society operates. The citizens must l · able and willing to develop the attitudes, the pall behavior, and the initiative required for vigorm nomic growth. Simply pouring in capital is not Ct Sometimes because of lack of understandin satisfy the pride of politicians, countries stri\ 11 economic growth spend their available capital wrong things. They may, for example, produce 11 sive government projects such as national airl In Cambodia in the late 1970s, the Khmer Rouge government power dams, when what would help most, 1 1 killed millions ofpeople as it attempted to force resettlement might be greater production of food. Economic to bring about economic and social change. will proceed faster if it is balanced, if a found,, gradually laid for a broad expansion of output. Before too many new airlines are fo or power plants are built, increased provision should be made for certain types of edu and training; basic transportation, communication, and banking facilities should I• vided; and efforts should be made to raise standards of living in order to increase h1 welfare and productivity of workers and also to make possible a significant amount1 ing and investment. As is always the case, social, political, and economic factors interact. For exampk companies simply will not invest in certain foreign countries because of the unstabl ernments there, and they are unwilling to pay the bribes necessary to carry on bmu such countries. Here, we can see the clash of two different cultures. U.S. firms wo1 breaking U.S. law if they were to pay bribes to foreign government officials, yet withm ing bribes they could not operate in some countries. When countries cannot pull themselves up by th, bootstraps by developing internal savings and investment, they have another option can seek foreign infusion of investment, which can come in the form of private h investment or governmental foreign aid, which consists of financial and practical as\t Foreign Aid and Trade Barriers. he World Bank Various international institutions have been developed to assist developing countries. One of these is the World Bank. The World Bank is an international or­ ganization whose goal is to foster development by making loans and giving out economic advice. It re­ ceives funds primarily from developed countries, and makes loans primarily to developing countries. The World Bank was formed in 1944, and si nee that time it has provided low-interest loans to many developing countries. It has a staff of about 11,000. The World Bank's initial loans focused on large proj­ ects such as dams and power plants. The World Bank re­ ceived strong criticism in the early 1990s for the nature of its loans. Critics said that the loans were too heavily focused on large projects that hurt the environment 1·1 1994, when the bank celebrated its fiftieth annivers.•• it responded to the criticisms by saying that it would change its lending practices. It reiterated its basic g1 .11 of promoting broad-based economic growth that ben• ' the poor, but it said that to achieve that goal it waul crease its investment in human, as opposed to physu resources. Specifically, it would increase its support t' educational, nutritional, and family planning program It also stated that it would concentrate on environmer tally sound physical investments, and that it would h fund programs that build on and expand the role of women in development. Since that time, it has chan�· its lending practices, but it has continued to be the t get of criticism because of its association with free tr ' and because protestors feel it is still not doing enou�· Problems of Developing Countries 403 Anti- WTO protests provide an example of how social, political, and economic factors interact. given by one country to another, especially by a technologically advanced country to a less developed one. Over the last sixty years, in response to the developing world's need for assistance, the United States has given foreign aid at the rate of about one-half of 1 percent of our total output. The results of that aid have been mixed. Much of it has not gone for humanitarian purposes; rather, it has had political and military purposes. The biggest recipient of U.S. foreign aid is Israel, and that aid has been provided out of blatantly political motives. Even aid that was given for humanitarian purposes has under­ gone strong criticism. Much of that aid was eaten up in bureaucracy and skimmed by foreign politicians; thus, it never reached its intended recipients. In response to these criti­ cisms, more and more aid is flowing to nongovernmental organizations, or NGOs-privately established agencies that attempt to help countries and channel aid to those who need it. Foreign aid and investment are only part of the answer. An equally, or even more im­ portant, part of the economic answer is removing developed countries' trade barriers. The reality is that developed countries are not very open to exports from developing countries. For example, the EU provides enormous subsidies to its farmers who then export subsi­ dized farm products to countries that could have produced them, but which can't compete with subsidized prices. In addition, the EU maintains tariffs against many farm imports. This combination of policies makes it difficult for developing countries to develop or ex­ pand their farm exports, countering much of the benefit of EU foreign aid. The United States is not as bad as the EU in this regard, but it still has significant trade barriers built into its farm policy. Combining all policies that help or hurt developing countries, the Centre for Global Development ranked twenty-one rich countries in a "Commitment to Development Index." The United States came in next to last. When Western governments' budgets are tight, the amount of foreign aid they give often comes under attack. Opponents of aid argue that the developed countries owe nothing to the developing countries. Supporters of aid, on the other hand, point to history in providing justification not only for giving aid, but also for giving even more than we do. The historical argument goes as follows: Western countries colonized the developing countries, creating artificial political entities that brought together incompatible ethnic groups and extracted what they could from those countries. These developing countries were not allowed to develop in their own way. In following The Historical Legacy of Colonialism. 404 � 20 The Political Economies of Developing Countries these policies, the West created the problems that developing countries face today. Given I West's role in creating many of the problems that developing countries face, supporter' foreign aid argue that the West has a moral obligation to assist them. The Debt Problem The reliance on private investment, including loans from U.S. and other banks, has crc,1 a new problem for many developing countries: the debt problem. Private investment loans must be serviced, which means that interest must be paid. In the 1980s, the problem of the international debt-the amount of outstanding lo among different nations-grew in importance. The large borrowings of the develop countries throughout the 1970s, together with high-interest rates, made it almost impo ble for a number of developing countries to meet their debt obligations. In the 1990s, that debt problem was greatly reduced by debt restructuring-aBo\' repayment of debt over extended periods of time-and a fall in the world interest rat' 200 1, the IMF granted debt relief for twenty-two countries, continuing the trend of d restructuring. In 2005, the Group of Eight agreed to cancel more than $40 billion in debt owed b} poorest countries, in part due to pressure from U-2's lead singer, Bono. It allows nation use the money they save to provide health care, education, and other social improveml However, in order to qualify for the program, the countries must comply with good goVl ing practices and transparency. Despite these restructurings, particular developing count had large debt overhangs, and paying off that debt will remain a problem through the ' decades of the 2000s. The Population Problem Even if they begin to grow, developing countries will not necessarily escape the vicious ' we have discussed, because they face another large problem. Put simply, as long as popul.ll continues to grow at current rates, these countries are going to have enormous, perhaps in mountable, difficulties in increasing their per capita output, the total output divided b} country's population. The vicious cycle that Thomas Malthus1 wrote about is very rl··• many developing countries. Although with sufficient technological development there 1 limit to the amount of production one can get from land, one must overcome the initi,1l vestment hurdle that will provide them with the means to make that technological progn· The Brain Drain Problem As bad as the preceding problems are, they do not leave developing countries without h The emergence of nation-states and their development show that the transition to dl oped states is possible. But before we say, We grew, why don't you? we should considc1 the nation-states of Western society enjoyed significant advantages over currently devl ing countries. In the 1700s, when Western economies developed, travel was limited and indivHI tended to stay home and to consider their life in relation to their society. The bright namic individuals modified their society, but because their lives were in their society, t modifications were generally small and consistent with that society's culture. That is ' not the way it happens in developing countries today. Developing countries have a hr drain, a process in which the individuals who could make a country develop leav' country. 1See Chapter 5 for a discussion of Thomas Malthus and his theories. Problems of Developing Countries 405 Having attended school in Great Britain and Germany, one of the authors came to know a number of the brightest and best students of a variety of developing countries. They were sent away to school because they were so outstanding. They often do well, but in doing so they become immersed in the developed culture. When they finish their studies, these students often are presented with a choice between two totally different economies and cultures. One offers enormous amounts of material goods, intellectual challenge for which their training has prepared them, and excitement. The other offers traditional values from which their foreign education has taught them to escape, material shortages, and enormous intellectual challenges for which they have no prepara­ tion. Faced with such choices, many decide to remain in the developed country or to join an international agency that pays as well as a good job in the United States. The result is the brain drain. Consider the brain drain problem from the perspective of an outside observer. Doctors trained in India, where doctors are in short supply, are constantly immigrating to the United States where there are many more doctors per capita; the same is true with engineers and computer experts. The United States benefits enormously from this immigration, and immigrants constitute nearly a fifth of all doctors and Ph.D.s. The UN estimates that India loses $2 billion a year just from computer expert emigration to the United States. In addi­ tion, many of the brightest students are going abroad for higher education, causing a for­ eign exchange outflow of $10 billion annually. Removing the best and the brightest from a society makes it that much harder for the society to develop. Mission Impossible: Advice to a Potential Leader What, then, should a developing country do? Neither we nor any other social scientist knows what to do. Advice has run the gamut of possibilities. The results have been so bad that we are going to deviate from standard textbook policy: We do not tell you what the experts think should be done. Instead, we are asking you what you think should be done. So, we hereby appoint you as social advisor to Hopelandia. (If you have foreign students in your class, you might find that the exercise is not so far-fetched. Many of them are the future leaders of their countries.) Your task, should you decide to accept, is to prepare a development plan and determine what set of policies a developing country should follow to solve the problems mentioned ear­ lier. To make the assignment easier, we begin by providing you with some general advice that we would give a potential leader, a set of policy options to help formulate your thinking about the problems, and some initial background information on three developing countries. Keep an Open Mind. The first piece of advice to an advisor to a developing country is don't rule out options arbitrarily and do use all available knowledge of the interrelationships of various aspects of social science. Don't try to emulate any specific developed country. Do what is right for your country, because what works for one country might not work for another. For example, in Uganda there are enormous tribal differences, and individuals' allegiance is to their tribe rather than to the larger society or to their country. Voting almost invariably means voting for whichever candidate is from one's tribe. Within such a situation, democracy is unstable. For democracy to succeed, the allegiance must be to the entire country, not to an individual subsection of that country. Recognize the Difficulties. The second piece of advice is to set goals and priorities with full recognition of the difficulties that the development plan will encounter. Should a country grow economically, or should it instead set different goals, such as maintaining its tradition and furthering its religion? In the Middle East, many Shiite Muslims tend to be more fundamentalist in their beliefs; they fear that economic growth means the infusion of Western values into their society and a worsening, not an improvement, of the society. 406 � 20 Case Studies The Political Economies of Developing Countries Therefore, the goals they choose have little to do with economics other than as a meam the end of preserving their religion and their way of life. In other countries, econon growth is weighted more heavily, and although maintaining tradition always plays SOl role, when faced with the inevitable trade-off, these countries, such as South Korea, make choices based on economic development. Maintain Your Idealism. A final and most important piece of advice is to maintain y1 idealism. Unless you love your country and are willing to use whatever power you have for 1 good of the country as well as you understand that good, and not for your own gain or th,lt your friends, then forget about being a leader and give your support to an individual who\\ Options of Developing Countries Developing countries have a variety of ways to deal with their almost impossible probkl Let's briefly consider their options. Political Options Political options include democracy, autocracy, and various shades in between the t Somehow the system chosen must be one that combines the various ethnic and regio groupings into a complete whole and makes them feel that they belong together, rat1 than that they are blood rivals who must continuously fight with each other. The pol" you suggest to meet this necessity will determine the type of policies you can advocate in gard to the economic problem. Economic Options The range of economic options goes from (l) a type of unfettered capitalism, in which · government enters into the economy as little as possible; to (2) socialism, in which indl\ uals can operate in certain areas, but the government plays a much stronger role in guid the choice of each individual decision; to (3) some new kind of economic organization t you think of. The choices are interrelated. Foreign Policy Options Countries do not develop in a vacuum. Other countries play a role, at times stabilizin regime, at other times destabilizing a regime, depending on whether the individuals guid these regimes are following the other country's goals, and on whether the particular m.• power can live with the operation of the regime to which it has lent support. Therefore, . have to choose a foreign policy. During the cold war, developing countries could play the former Soviet Union ag,, the United States. With the breakup of the Soviet Union, this strategy ended. The U111 States and its allies were about all there was left to flirt with. That's why in the early 21 most development plans have been democratic, market-oriented plans. However, the sir icant economic growth in China, and China's increasing international presence, is be ning to present developing countries with a variation of the "flirting" option. Population Options You need to ask yourself some questions about population. First, do you have a popul,ll problem? Facing this issue is one of the most difficult tasks confronting human bt'll 407 whether on a personal level, a national level, an international level, or-now that space col­ onization is not just a wild, science-fiction dream-a cosmic level. Second, if you have an overpopulation problem (and in the countries we are talking about here, let us hint that you may likely have overpopulation problems), do you then go in and direct people not to have children, or at least to limit the number to one or two? How would you do this? Third, hav­ ing made the decision which way to go, and how to go that way, what consequences can you foresee will have to be dealt with when the results of your policy begin to show up in the census figures? The Brain Drain Option Should you encourage your top students to go abroad? If you do, how can you be sure they'll come home again to use their new skills in the country that sent them to be edu­ cated? Suppose you decide the other way, that is, to keep your most promising youth at home. In that case, how will you foster new ideas, youthful enthusiasm, and the importa­ tion of valuable ideas and methods that have already been developed in other countries (you don't want to reinvent the wheel)? Who Will Be the Next Leader? What qualities do you want and what qualities does your country need in a leader? Should there be a committee or coalition of some kind, rather than a single leader? In either case, how will leadership qualities be developed? How will leadership qualities be recognized? What will the leader, or leaders, do once in power? How should the leadership be con­ trolled, if it should be controlled? How can you search for and pick out the leaders in your country? Perhaps that search won't be fruitful, or not as fruitful as you expect. Should you look for imported talent? Where should you look for it, if this is your choice? Ask the same questions about the imported talent that you asked about possible homegrown leaders. You could, of course, ask many other questions, but these few should start you on the way. ase Studies To really get a sense of the problems facing developing countries and their options, we need to look at specific experiences of real-world countries. Thus, we conclude this chapter with three case studies. China Of all the case studies to consider, China is a must. It is the largest and most populous de­ veloping country in the world, and it has approximately as large an area as the United States. Its main language is Mandarin Chinese, although there are eight separate dialects. Ostensibly, it is a federal republic with twenty-three provinces, five autonomous regions, and, since July 1997, Hong Kong. Its political regime rules a socialist state, with the Communist Party of China specifying the state ideology. In 1989, strong student pressures for democracy were crushed, and political control by the Communist Party has held firm into the early 2000s. The box on page 409 gives an overview of the statistics relevant to China. Since the late 1980s, China has undergone enormous economic liberalization with the introduction of markets and market incentives to try to encourage individual production without generating what China believes are the negative side effects of markets. It has 408 � 20 Case Studies The Political Economies of Developing Countries moved away from central planning, although in what it considers key goods, governm production still rules. The freeing of the market in many sectors has led to China becoming the wo1 fastest-growing economy at the turn of the century, creating a substantial middle class many "newly rich" people. This income growth has been highly skewed, and the large 1 jority of Chinese remain poor. The key to China's future will be the manner in which the Communist leadership 1 onciles political reform and liberalization with economic progress. If China can sustau economic performance, it will become a vital player in the international system: Given present trajectories, it seems set to join the United States as a genuine international Sll] power in the next twenty-five years. Background of China. China is surrounded by a variety of natural barriers: the sea to east, mountains and desert to the southwest and north. There are three natural regiom west, an area of high plateaus and desert; the north, an area of fertile plains; and the SOl mostly hills and valleys. The two main rivers, the Yangtze and the Yellow, are both extreme economic importance. Most of the population of China belongs to the Mongol race, and 95 percent are Chinese speaking, although there are many dialects and a varil't other languages. Though now officially atheist, most Chinese practice variants of Buddhism, Taoism Chinese folk religion. Even before that, Confucianism, based on patriarchal dominance, I established extraordinarily strong family and social ties based on male supremacy. As c result of the communist takeover in the 1940s and the establishment of communes, 111 409 of these ties were significantly deduced. As that occurred, the status of women in Chinese society improved greatly. The key to recent Chinese economic history is the communist takeover of the govern­ ment in 1945 and its attempt to introduce socialism into the Chinese system and culture. Then, in 1978, a change in leadership gradually introduced market-oriented reforms and decentralized economic decision making. Population growth remains a key problem, and the government has introduced a variety of rather strong policies to limit that growth. Birth control has been a national priority in China since 1971, when the government instituted a new program-an edict pronouncing as a norm the two-child family. Because of improved health and longer life spans, even this was projected to result in an enormous increase in population. In 1979, the two-child limit was cut to a one-child limit, and the system is backed by a variety of economic rewards for those who comply and penalties for those who do not. Families having more than one child lose rights, lose income, and are counseled by most of the leaders of their community that they are not doing the right thing. The initial results were significant. By 1982, the majority of newly formed families in the cities were having only one child. This was not the case, however, in the countryside, where the desire to have several children and, above all, to have boys, meant that families ignored the limit or, in some cases, killed newborn female babies. Recognizing the difficulty of policing these vast rural areas, in the late 1980s the authorities relaxed their one-child policy for those areas. In the largest cities, such as Shanghai and Beijing, the one-child policy prevails, but by the early 2000s economic conditions in parts of China had become so favorable that many families wanting to have more than one child simply do so and willingly risk having to pay China's Population Problem. RUSSIA China: Sele£ted Statisti£s MONGOLIA ,. ,, .,...\ SIIIIIAN6 ... , J - , Hullehol ... _ .. �- ,..-- ...... .,....� ' TI8ET } IMNEifiJONGOLIA 1,.- '' '-- ,: �· / :... ... _...� ,­ • , o / Beijing ,,' - .. Lanchou ......... • f' ' .. ,' CHINA East China Sea • Kunming • HAINAN South China Sea PHILIPPINE ISLANDS ~ �. '0 •. C:> t;:::.._ Population: 1.3 billion (2009) Urban: 43% Rural: 57% Sex distribution 1.1 males/females Age distribution Under 15: 19.8% 15-64: 72.1% Over 64: 8.1% Household size Rural: 4.6 Urban: 3.4 Birthrate per year per 1,000 population: 14 Death rate per year per 1,000 population: 7.03 (world average: 9.3) Infant mortality: 20.25 per 1,000 Life expectancy at birth Male: 71.61 Female: 75.52 Marriage rate per year per 1,000 population: 7.0 Divorce rate per year per 1,000 population: 1.5 Hospital Beds: 1 per 220 persons Religions Nonreligious: 59.2% Chinese folk: 20.1% Atheist: 12.0% Buddhist: 6.0% Muslim: 2.4% Christian: 0.2% Other: 0.1% Educational attainment among those aged 25 and older No schooling: 29.3% Incomplete primary: 34.3% Completed primary school: 34.4% Postsecondary: 2.0% Literacy rate among those aged 15 and older: 91% (2002) GDP per year: $7.8 trillion (2005) GDP per capita: $6,000 (ppp) Number of radios: 195 per 1,000 Number of television sets: 400 million Number of telephones: 312 million Cell phones: 335 million (2004) Personal computers: 60 per 1000 Internet users: 253 million (2007) Website: www.china-embassy.org 41 0 � 20 The Political Economies of Developing Countries moving off farms and into cities. Much of the growth has been focused on China's eastern seaboard, especially in the urban areas and in the southern part of China. The growth has been accompanied by an enormous increase in inequality. Local governments have often seized what was communal land from rural farmers, frequently with little compensation. The result has been significant unrest in the rural areas. The 2008 financial crisis threatened China's economy with stagnation. As the United States' and other countries' disposable incomes were washed away, China's export market slowed considerably. They saw a 17.5 percent drop in year over year exports and nearly 20 million migrant workers lost their city jobs. These workers, who may be forced back to their rural jobs, may see a halving of their wages as they revert back to farming and other occupations. The Chinese response was quick. They ran large deficits and expanded the money supply, creating internal demand to offset much of the loss in exports. Uneven economic growth has widened the gap between the rich minority and the millions of poor workers and peasants. Some observers believe it is likely that growing re­ sentment among the poor will have substantial repercussions in the near future. Official corruption has rapidly grown to become one of China's major problems. Another potential problem is China's relationship with Taiwan, an island off the coast of China, where the anti-communists fled in the 1940s and which once saw itself as the le­ gitimate government of China. China claims it as part of China, and thus there is always the chance for trouble if the differences cannot be resolved through diplomatic means. In 2008, the Beijing Summer Olympics was widely interpreted as a showcase of Chinese progress and ingenuity to the world. Many factors obscured this fact and demonstrated that China is still in the process of becoming a global leader. For example, both Taiwan and Tibet criticized the Chinese government for their political and social repression. In summary, China is emerging as a full-fledged superpower, but it remains to be seen whether its "market socialism" ideology-involving concurrent political repression and economic liberaliza­ tion-will be viable over the long haul. The old Shanghai overshadowed by the new Shanghai. a large fine. In some localities, government officials, eager to have the income from ' fines, even propose that families have a second or third child. This trend is thought h sufficiently offset by the vast numbers of families sticking to the one-child limit or optin have no children at all. In 2008, China's population was about 1.3 billion, remaining st at that level since the early 2000s, and is well within the goal of less than 1.4 billion by 21 As the population ages China has even relaxed its one-child policy, allowing many COli] who were single children to have two children of their own. Even though it is the third largest food producer in the world, because of its enorm population China still produces barely enough to feed its own people. All available Ian already under cultivation. One bright side of the Chinese economy is that it has relat1 rich mineral resources, and in recent years, with its introduction of a market econom has expanded production enormously. China's Political Problems. Politically, China remains controlled by the Communist I' although it is moving more and more toward a market economy. The way to its present has been a zigzag path. From 1966 until 1976, China was governed by a radical faction · engineered a Cultural Revolution and encouraged the youth to purge the economy society of excesses and external influences that it felt had adverse consequences for Ch Universities were torn apart and strong attempts were made to break down the vested r u interests. It is estimated by some that millions of people were killed in this movement 1976, after the death of Mao Ze-dong, the group that brought the Cultural Revolutio China was thrown out of power, and moderates, headed by Deng Xiaoping, took over. I started developing economic incentives and economic modernization. After Deng retired in 1986, Zhao Ziyang and Li Peng shared China's leadership. I cautiously continued Deng's economic modernization policies, while maintaining (• munist control. Economic modernization led to demands for political liberalizati<u well, and in 1989 the world saw millions of students and ordinary citizens clashing China's government. The uprising was repressed, and Zhao lost his post while Li ret.u leadership. In the late 1990s, President Jiang Zemin emerged as the leader of China an 2003, he was replaced with Ju Jintao. They have continued the economic reform pn and have been quick to suppress political dissension. Economically, since the early 2000s China has been growing at over lO percent per which means that the changes China is undergoing are incredible. Millions of peoplt 411 Case Studies Mexico Mexico is the third largest country in North America. It is bounded on the north by the United States and on the south by Guatemala and Belize. About 75 percent of Mexico is a Los Angeles San Diego BERMUDA (U.K.) ATLANTIC OCEAN t \ \ \ ']v... \9. \ • ..Monterrey � _ j, \ v G u l f ot Mex1co \-- - -�- - - - - - - - - - - - - . Guadae MEXICO * Mex1c C1ty • •· PACIFIC OCEAN �� OS ' SUR - / '\'\J oj Mm-� g. BAHAMAS � '\ ' ---� -- - - - �" YUCATAN <) BELIZE HONDURAS - � _ _ \; - i> - CUBA PENINSULA � _t_ --- <::;::::> JAMAICA "" o- - _/ PUERTO RICO (U.S. ) 0 �MINICAN � HAITI · REPUBLIC Caribbe a n Sea "' SOUTH AMERICA Mexico. / / 41 2 � 20 The Political Economies of Developing Countries Case Studies central plateau with low hills, basins, and mountains bounded by the Sierra M<ll Occidental and Sierra Madre Oriente. The southern edge has many volcanoes, and the 1 gion is subject to earthquakes. Much of southern Mexico is laced with swamps and lago01 and northern Mexico is arid and has few rivers. Mexico's population is about 11 1 million in an area of 76 1,605 square miles, for a pc ulation density of about 140 people to a square mile. The language is primarily Span1 although there are some Indian languages. The religion is overwhelmingly Roman Cathol Population has been increasing rapidly, and 77 percent of the population lives in towns o1 cities. About 60 percent of Mexicans are Mestizos (of mixed Indian and European anc try), 30 percent are pure Indian, and 9 percent are Caucasian. About 9 percent of the po1 lation is illiterate. The Mexican economy has expanded significantly since World War II. In addition has changed from an agricultural to an industrial and service economy. The present system of government in Mexico was established by the revolution of l i.:J in which most large estates were expropriated and land was redistributed among peas;u organized into landholding communities. A federal republic was created in 1924, and 1 Madera Revolution of 1910 had already established the political forces that are there '' rently. The central party, the National Revolutionary Party, was formed from all major 1 litical groups in 1929. It was later renamed the Institutional Revolutionary Party (PRI) ,, goes under that name today. In recent times, Mexico has had a stable government. 'I Mexican economy has expanded significantly since World War I I during its transition fn· an agricultural to an industrial and service economy. The system of government remain unchanged for nearly eighty years under stable PRI control. The long ruling period for 1 PRI, along with its strong government control of industry, established an entrenched h reaucracy that fostered corruption and bribery. In 1998, Carlos Salinas was elected and began the road to economic liberalization .11 democratic reform. He lessened government control of the economy, instituted anticorru, tion measures in business and the government, and instituted a controversial free tr<J �xico: Selected Statistics Population: 1 1 1 million (2006) Urban: 7 7% Rural: 23% Sex distribution 1 .05 males/females Age distribution Under 15: 29% 1 5-64: 65% Over 64: 6% Household size Average household size: 5 Birthrate per year per 1 , 000 population: 1 9. 7 Death rate per year p e r 1 , 000 population: 4.78 Life expectancy Male: 73.25 Female: 7 9 Marriage rate per 1 , 000 population: 7 . 7 Divorce rate p e r 1 ,000 population: 0.4 Religions (2000 census) Roman Catholic: 77% Protestant: 6% Other: 1 7% Educational attainment among those aged 15 and older No primary school: 1 4% Some primary school: 22% Completed primary school: 2 1 % Some secondary school: 1 0% Completed secondary school: 24% Some postsecondary school: 8% Literacy rate among those aged 15 and older: 9 1 % GOP: $ 1 . 1 43 trillion (2005) GDP per capita: $ 1 0,000 Number of radios: 329 per 1 ,000 Number of television sets: 25.6 million Number of telephones: 1 9.754 million Cell phones: 68.254 million (2007) Personal computers: 1 40 per 1000 Internet users: 22. 8 1 2 million. Website: www. inegi.gob.mx 41 3 agreement, NAFTA. These programs dramatically accelerated Mexico's economic modern­ ization but created many short term negative effects with Mexico's poor and working class citizens. The PRI slowly lost their grip on Mexican politics, and in 2000 the first non-PRI candi­ date, Vicente Fox, was elected president. However, partisanship in the congress limited Fox's ability to enact further reforms that were desperately needed. In 2006, another opposition PAN (National Action Party) candidate, Felipe Calderon, was elected president. Through 2009, Calderon's approval rating has stayed quite high. He implemented an anticorruption policy de­ signed to reform the police and military. One of his first acts as president was to increase police and military salaries to combat bribes and corruption. As part of this policy, he declared a war on drug cartels and their ability to flaunt the laws. This has led to significant conflict between the cartels and government, creating an enormously violent situation in some areas. Uganda Uganda has an area of 93, 070 square miles and a population of about 32 million. A variety of languages are spoken, including Bantu, Swahili, and English. Its religions are Christian, Muslim, and a variety of tribal sects. Uganda lies on the equator and has an average eleva­ tion of 4,000 feet above sea level. The fertile plateau is bounded by the Great Rift Valley. Annual rainfall is about 40 inches, and temperatures generally remain between 60°F and 85°F. Uganda's biggest problem is a lack of political coherence; it comprises a dozen major tribes, of which the Bantu-speaking groups form the majority. The Ugandan tribes, in the south, are now the most numerous and have given their tribal name to the whole country. Most people depend on agriculture for a living, although some of the northern tribes are also wandering herders. Illiteracy is extremely high. Most agriculture consists of subsistence and livestock farming, although Uganda remains one of the world's largest producers of coffee, which accounts for almost all of its export earnings. KENYA South Arlintic 0CIIfl � MADAGASCAR u � .... Africa (left); Uganda (right) Indian Ocean SWAZILAND 414 � 20 Key Points The Political Economies of Developing Countries In 2007, he gave an interview in which he stated that he wanted peace and that he was will­ ing to face trial in Uganda, but the fighting has continued throughout 2009. It should be noted that the commendable economic performance in Uganda has not led to political reform. In the elections of 1989, the ruling party, the NRM, was the only party. Museveni argues that while multiparty democracies suit Western societies, which di­ vide horizontally by class, they only deepen divisions within African societies, which are vertically split along ethnic or regional lines. He says that given the ethnic problems Uganda faces, Western-style democracy is not appropriate for Uganda or most other African nations and that Western countries should consider the results of his rule and not worry about whether it has a Western-style democracy. Uganda's arrangement of severely restricted, though not banned, political parties is known as the " Movement" system. Ten years after he came to power following the 1986 coup, Museveni was elected to a five-year term as president in 1996 amid complaints that he was virtually assured of vic­ tory because of the resources and apparatus of the Ugandan government backing him. In 2001, Museveni, though faced by a major challenger calling for political pluralism, won the presidential election. In 2003, Museveni indicated support for a multiparty system in the name of peace building, although in the election of 2006, which he won handily, his main opponent, Besigye, was arrested and charged with treason and rape just months prior to the election. Museveni's "Movement" system is a challenge to western scholars who support democ­ racy as it is practiced in Western countries. The problem is that in developing countries with many competing ethnic groups, Western-style democracy often leads to enormous corruption and civil war. Museveni argues that given that reality, developing African countries need an idealistic broad group committed to state stability and preventing corruption to oversee the playing out of political democracy. He sees his Movement as providing that for Uganda, and after he leaves office, he has called for the Movement to remain-not as a political party but as an organization overseeing state stability and preventing corruption. The problem is whether any group will be able to provide checks on the Movement if they lose their idealism. Uganda developed, in its current form, as a British protectorate in 1894 was extended to its present boundaries in 1914. It became independent in I and in 1971 Idi Amin deposed President Milton Obote in a military coup. In I Amin expelled Uganda's Asian population and launched a rule of terror. In 1979, Uganda was invaded by Tanzania, and Amin fled. (In 2000, he d ll exile in Saudi Arabia.) With Amin's exile, the ex-president, Obote, returned to the nation. Obote ruled for five years but favored his own tribe, the Langi, an mid-1985 was again deposed, being replaced by a military man, Tito Okd member of the Acholi tribe. In 1986, Okello was replaced by Yoweri Museveni, who turned what seemc be a hopeless situation-a country that existed more in name than in real! country that earlier editions of this book described as a basket case-into a 1 politically stable country that since 1987 has continued to grow impressively. How did he do this? First, he kept his idealism; he did not appropriate I amounts of the country's wealth to himself and his followers. Second, he opem·• President Yoweri Museven i government to other tribes and built a political alliance among tribes that, alth1 of Uganda. tenuous, allowed the fighting to stop. Third, he reduced major corruption i n ernment while leaving minor corruption in place to maintain the support of the governr workers. Fourth, he established a sufficiently stable system of laws that allowed internat1 and domestic investment to occur. Fifth, although he is a socialist, he established free 1 kets and reduced the number of government monopolies and government-controlled I nesses. And finally, he maintained a strong army under his control. Uganda still has serious problems. Northern Uganda cities, such as Kitgum, are c,1 up in a civil war; more than 200,000 people have died since 2000, and a large majority o population is afraid to leave the refugee camps to which they have fled. The reason 1 "Lord's Resistance Army" led by Joseph Kony, which has been trying to overtl Museveni. It has abducted an estimated 25,000 children and used them as soldiers, for them to kill a parent or sibling, or to serve as sex slaves. In 2005, the International Crin Court indicted Kony and other leaders of the Lord's Resistance Army, but he remaint hiding in the Democratic Republic of the Congo, which has almost no governn U11aoda: Sele£ted Statisti£s Population: 32 million (early 2006) 369558 Urban: 13% Rural: 87% Sex distribution 1.03 male/female Age distribution Under 15: 50% 15-64: 47.9% 65 and over: 2.1% Household size: 5 people Birthrate per year per 1,000 population: 4 7 . 84 Death rate per year per 1,000 population: 12.32 Infant mortality: 64.82 per 1,000 Life expectancy Male: 51.66 Female: 53.81 Religions Roman Catholic: 41.9% Protestant: 42% Muslim: 12 .1% Other: 4% Educational attainment: Percentage of population age 25 and over having No formal schooling or less than one year: 46.9° Primary school: 42.1% Secondary school: 10.5% Higher: 0.5% Literacy rate among those 15 and higher: 66.8% GDP: $35.88 billion (2008) GOP per capita: $1100 (2008) Number of radios: 5 million Number of television sets: 500,000 Number of telephones: 162,300 Cell phones: 4.795 million Personal computers: 20 per 1,000 Internet users: 2 million (2007) Website: www.ubos.org 41 5 In considering the choices a developing country must make, you will see the game of soci­ ety played in its entirety. The individuals who succeed in making the right choices launch their countries into prosperity and political stability. Those who make the wrong choices leave their countries in poverty. The preceding descriptions have been necessarily brief. You can find more information in the library, and you'll need a lot more information before you can make reasonable choices. Even if you don't take that step-for-social-science into the library, keep your eyes and ears open for stories about these and other countries in the newspapers; in news­ magazines such as Time, Newsweek, and U.S. News & World Report; and on television and the Internet-because these countries will be in the news. The issues of social science sur­ round you and will continue to surround you all your life. • Six problems facing all developing countries are the political consensus problem, the corruption problem, the economic problem, the debt prob­ lem, the population problem, and the brain drain problem. • • Each of these problems is interrelated with the others and is deeply ingrained in the culture of the society. Reasonable suggestions for a potential leader of a developing country include keeping an open 416 • � 20 For Further Study The Political Economies of Developing Countries mind, recognizing the difficulties, and maintain­ ing your idealism. Policy options for developing countries include political options, economic options, foreign • policy options, population options, and brai1 drain options. To truly understand the problems of developin countries, we must do case studies of specifil countries. or Further Study brain drain (404) Cultural Revolution (410) debt restructuring (404) developing countries (397) Akyuz, Yilmaz, ed., Developing Countries and World Tra de Performance, London: Zed Books, 2003. the Era o f Globaliza tion, Cheltenham, UK: Edward Elgar, 2004. f.pstein, Gerald, Capital Flight and Capital Controls in Developing foreign aid (402) international debt (404) least developed country (397) "Movement" system (415 ) Countries, Cheltenham, UK: Edward Elgar, 2005. NGO (403 ) per capita output (404) political consensus (400) World Bank (402) 1. What is the chief characteristic that identifies a country as developing? 2. Name three groups of developing countries, and state briefly what distinguishes one group from another. 3. If a developing country cannot find a way to hold itself together, what is likely to happen to it? 4. Why might democracy not be the best choice of political system for a developing country? 5. Are there any good things to be said for autocratic government? If so, what are some of them? 6. What are some of the abuses a corrupt govern­ ment indulges in? 7. A poor country might solve its problems by becom­ ing richer. How can a poor country save and invest? 8. Aid to developing countries from the governments of developed countries has been decreasing. Give some of the reasons. 1. What countries does the World Bank, http:/ I web. worldbank.org/WBSITE/EXTERNAL/ COUNTRIES/O,pagePK: 1806 19-theSitePK: 1369 17, 00.html, identify as developing in the South Asia region? 2. After watching Lennart Bage's (President of the International Fund for Agricultural Develop­ ment) video, http://www.youtube.com/watch? v=i-S-Oe3WoJI, what are the main reasons for supporting IFAP? Can you think of any costs? 3. According to the World Bank, http://web.world bank.org/WBSITE/EXTERNAL/COUNTRIES/ University Press, 2004. T he Chinese Embassy Economy and Environment Program for Southeast WTO, New York: Palgrave, 2002. .• York: Norton, 2002. Wolf, Martin, W hy Globalization Works, New Haven, CT : Yale WWW Cambridge University Press, 2004. LACEXT/JAMAlCAEXTN/O,menuPK:338341 pagePK:141159-piPK:14 1 11O&sim;theSitePK: 338335, 00.html, what are three of Jamaic ' economic problems? 4. What three criteria does the United Natio1 Conference on Trade and Development look when determining whether a country is an LD< http://www.unctad.org/Templates/Page.asp?intIt miD=3618&lang=1 5. Go to the International Monetary Fund p.1 www.imf.org/external/np/exr/glossary/index I \ J What is the HIPC Initiative? Penguin, 2004. Stiglitz, joseph E., Globalizatio n and Its Dis co ntents, New African Lives, Washington, DC: Smithsonian Books, 2004. Michalopoulos, Constantine, Developing Countries in the 9nternet Questions Stories About A f rica's Fa mous Township , New York: WWW l .omborg, Bjorn, ed., Global Crises, Global Solutions, London: 9. Some developing countries have borrowed '' much money from foreign banks that they a1 having great difficulty paying it back. What 1 likely to happen in such countries? 10. What problems does rapid population growt' present to a developing country? Are there any ad vantages to rapid population growth in develop ing countries? 11. How can a developing country acquire the hum.•· skills, training, and valuable ideas it needs in or der to compete in modern industrial society? 12. Are there guaranteed solutions to the problems t developing countries? If so, describe some of th solutions. 13. What were your proposals for the development ' the country of Hopelandia? Roberts, Adam, and joe T hioloe, eds., Soweto Inside Out: ( ;uest, Robert, The Shackled Continent: Power, Corruption, and hcfawa, Moses, S nakepit ( Uganda) , New York: Knopf, 2004. Questions for Review and Discussion -- -- Boyce, James, and Robert Pollin, eds., Huma n Development in Some Important Terms 41 7 Pollin, Robert, et al., eds., An Employment-Targeted Economic Program for South A frica, United Nations Development Program, Cheltenham, UK: Edward Elgar, 2006. Asia www.china-embassy.org www.eepsea.org WWW International Monetary Fund WWW Mexico Online www.imf.org www.mexonline.com WWW NAFTA www.mac.doc.gov/nafta WWW Uganda www.government.go.ug WWW United States Agency for International Development www.usaid.gov WWW T he World Bank Group www.worldbank.org The Problem of War 419 Winning the peace and establishing a functioning government in Iraq has been much International Institutions and the Search for Peace �2 more difficult than overthrowing Saddam Hussein. Since his overthrow, Iraq has experienced enormous civil strife, with different Iraqi groups vying for power. Trying to maintain order in Iraq has cost thousands of U.S. lives and hundreds of billions of dollars. Similarly with Afghanistan. While the ouster of the Taliban was fairly easy, establishing an effective demo­ cratic government in Afghanistan has not been easy, and the country remains in turmoil, and that turmoil has spilled over in neighboring Pakistan, creating major instability in that region. In the 2008 presidential election, Barack Obama made getting the United States out of Iraq one of his major campaign planks, and his election was seen as a popular endorsement of a U.S. pullback from Iraq. After reading this chapter, you should be able to: • The United States' difficulties in Iraq and Afghanistan led Iran and North Korea to take stronger stands against the U.S. demands. North Korea announced that it had nuclear Explain the statement, "War is merely a continuation of politics by weapons, and Iran looked to be developing them, despite protests from the United States other means" • Define the Bush policy of preemption and explain its implications Nothing is more important th for international harmony the war on war. • Describe the usefulness and limitations of international law • List the five principal organs of the United Nations • Summarize the United States' position on the United Nations • Summarize the current outlook for peace • Give a history of the Arab-Israeli conflict -Pope Leo XIII and other countries. As the United States struggles in Iraq and Afghanistan, the world order is changing. U.S. economic and political hegemony (dominance), which developed with the breakup of the former Soviet Union in the 1980s, is ending, and China and the European Union are beginning to fill the void. Even relatively small nations, such as Venezuela and Bolivia, have felt able to thumb their noses at the United States-calling it a paper tiger whose time has passed. These issues quickly become complicated by nuances, so we will stop the discussion here by drawing two likely conclusions: (l) the United States failed to take advantage of its role as the dominant superpower; and (2) the future world political scene will be one of highly complex interdependencies. In this chapter, we consider issues of war and peace in specific relation to the interna­ tional institutions that have developed to help maintain international relations and to allevi­ ate the primary trouble spots of the world. We also consider how the change in U.S. foreign policy challenges those institutions, whose main purpose is to prevent war and maintain the peace. Before we consider the role of these international institutions, let's consider the September 11, 2001, changed the way the United States relates to the rest of the worlt After a! Qaeda (a fundamentalist Islamic terrorist group) high jacked airliners and crash them into the New York World Trade Center and the Pentagon, the United States declart a war on terrorism. This war was different from previous wars in that it was not aimed specific countries, but against an ambiguous foe-terrorists. Soon after, the nature of th war was determined. Then President Bush decided that the United States would follow policy of preemption-a policy in which the United States would attack terrorists whcr ever they were before they commit acts of terrorism. This policy of preemption becam known as the Bush Doctrine. Two aspects of this change were highly controversial-th first was that the United States declared that it had the right to go into any soverei� country and fight terrorists, and if the country harbored terrorists, that country would I considered a terrorist country and thus subject to U.S. attack. Second, those attacks coul• be based on suspicions and clandestinely gathered information, which would be hard f11 any other country to verify. President Bush singled out four countries as an "Axis of Evil"-Iraq, Iran, Syria, an North Korea-and implied that if these countries did not change their ways, they woult be made to do so. The United States invaded Afghanistan to root out the Taliban fron power in retaliation for the 9/ 1 1 attack, and because of their support of terrorism, repla� ing it with a government more friendly to the United States. In 2003, he implemenll't that policy by attacking Iraq (assisted by what he called the "Coalition of the Willing," th most important country of the coalition being Great Britain) and deposing Saddan Hussein, even after the United Nations refused to directly sanction the attack. The "war ended in a month, but that left the United States with the problem of winning the peact and establishing a government in Iraq that would be friendly to the United States but no be seen as a U.S. "puppet" government by the Iraqi people and the world. 418 problem of war. he Problem of War Besides the thousands of lives and billions of dollars that are lost, war brings about enormous social and cultural changes. World War I paved the way for the success of communism in the former USSR, it helped to bring on the Great Depression of the 1930s, and it unleashed forces that produced fascism in Italy and national socialism (Nazism) in Germany. Similarly, World War II changed the nature of the world, bringing an end to the colonial empire system. Similarly, the U.S.-Iraq wars led to quite different results than anticipated by most in the U.S. government when they began them, and the full effects of those wars will not be known for many years. The (auses of War Few things are certain about war, but it seems that inevitably it is the other side who started it and that the stated cause of the war will mask other underlying causes. Analyzing the causes of war is not a task about which a person can afford to be dogmatic. We can point to many forces at work and can reason as to how the forces work, but we cannot with exactitude draft any formula that will fully explain, evaluate, and relate the many pressures, conditions, emotions, ambitions, and practices behind international discord. Karl von Clausewitz, an influential German general and military strategist of the nineteenth century, argued that "war is merely a continuation of politics by other means." When peaceful methods don't accomplish their objectives, countries consider force. 420 � 21 The Problem of War International Institutions and the Search for Peace 421 The existence of a power vacuum of sizable proportions is another hazardous condi­ tion in the world community, and it is frequently found when an empire has just been demolished or an alliance has broken down. Thus, the breakup of the Soviet Union, while reducing the ideological friction between the former Soviet Union and the United States, produced numerous tinderboxes in eastern Europe and in the former Soviet Union itself. It also changed international political dynamics, and there was no effective counterbal­ ance to the United States, allowing the United States to enter into small wars without any expectation of serious reprisals from other countries, although, in many observers' eyes, the United States's unbridled use of power has contributed to terrorism and to the scat­ tered support that terrorism gets in a number of countries. Thus, terrorism may be seen as a type of reprisal. Approaches to the Problem of War Throughout history, most people have probably desired peace, though in some tribal societies war, in combination with customs such as war dances, head hunting, and scalp collection, U.S. soldier tries to maintain peace after a car bomb explosion in Baghdad. became an integral part of the group culture. War helped to give life meaning by providing danger, excitement, and opportunities for winning prestige. Nevertheless, the quest for peace goes back at least to the biblical prophet Isaiah's long look ahead to the time when "nation Generally speaking, identifying forces that tend to bring about war is easier tl explaining or evaluating them. Factors that may contribute to bringing on war includl · desire of a nation for power, economic rivalries, religious and political divisions (sud those in Northern Ireland or India), social unrest, the ambitions of political and miht leaders, fanatical devotion to revolutionary ideologies (as in some Middle Eastern COl tties), intense ethnic rivalry among various groups, the desire for security or territory (,1 shall not lift up sword against nation, neither shall they learn war anymore." Ever since nation-states began to develop in the late Middle Ages, various poets, philosophers, and politicians have presented plans for maintaining peace. These peacemak­ ers include Dante, King Henry IV of France, William Penn, and Immanuel Kant. But none of the plans were practical, nor did they reach the masses or receive serious consideration from governments. Israel), the need to protect a country's national honor, or simply mistaken ideas ah• Diplomacy. another country's intentions. ninety-pound weaklings alike. The alternative to a slugfest is reasonable discussion, which on Because states are the work of human beings, inquiry into the causes of war goes ba' � the nature of human beings. Although psychologists and biologists admit that war may �' to reflect the impulses and emotions of humans-anger, fear, suspicion, and frustratio1 diplomats, usually with success. Occasionally, however, diplomacy fails. Because a serious the general opinion is that people are not so made that they require war for the satisfact1 of their basic drives. Their war making is believed to depend more on acquired attitud beliefs, and points of view than on their inherent nature. The nation-state, as typified by public opinion and by its leaders, may be sensit1 quick to take offense, and hasty to retaliate. In the 2003 Iraq war, once the United States I decided that Saddam Hussein was harboring "weapons of mass destruction," negotiatu proved fruitless, even though in the end it was clear that Iraq had no such weapons. Within states or within the community of states as a whole, certain conditions oil add to the chances of war at any given time. Poverty in a nation may produce a restlessn that breeds civil strife, and this in turn may result in international war or lead to dictat ships that foster warlike conditions. Dissension or economic depression within a state 11 cause governments to welcome war in order to establish national unity or to create a d1' sion from internal problems incapable of solution. When a spirit of militarism has he developed within a nation, as it had in Germany in the 1930s, touching off a war is relatl\ simple. That same spirit of militarism exists, although to a lesser extent, in the Middle I today, which is one of the reasons that area has been the site of numerous wars and is .1 Disputes are, or at least seem to be, inevitable among people, bullies and the international level is called diplomacy. The problems of states are first of all handled by dispute that gets out of hand can result in war, states genuinely anxious to stay at peace will keep their diplomats at work as long as any hope of a solution exists. Throughout the history of the nation-state, diplomacy has done much to avoid war. The contributions of diplomacy to peace include the efforts of third states as well as the parties to disputes. A disinterested state may try to get disputants together for further negoti­ ations when they reach a deadlock and when unfortunate developments appear imminent; or, injecting itself a little further into a controversy, a third state may attempt mediation,-a procedure that calls on the mediating government to make suggestions for solutions, thus concerning itself with the merits of the issues involved. For example, European countries tried to mediate a dispute between the United States and Iran about Iran's nuclear power program. Similarly, the United States has been trying to mediate the ongoing dispute between Israel and the Palestinian Authority. In recent years, a number of countries such as East Timor, Kenya, Nepal, Somalia, Sudan, and Nigeria-both independently and through the United Nations-have relied on outside mediation activities. When mediation breaks down, the mediators must choose whether to become actively involved by providing peacekeeping forces or military force to achieve what they consider to be a fair resolution to the problems, or, less frequently and why it is likely to be the site of more trouble in the future. very reluctantly, to give up, admitting that some situations are, at least for a time, immune Among conditions in the international community conducive to war is a sharp ideolt ical split, like the one that, up until the early 1990s, existed between the former Soviet Um and its allies on the one hand and the United States and its allies on the other. In the � 2000s, the religious differences among certain secular societies are turning into ideolOI!I to outside influence. splits that are highly conducive to war. International Government. As we have seen, governments, for all their problems, generally maintain order within their boundaries by providing alternative mechanisms for settling disputes. Thus, it is only natural that some of the proposals for preventing war between 422 � 21 The United Nations International Institutions and the Search for Peace nation-states have involved an international government, or at least some option other th,1 war, for settling disputes on an international level. These include the international court and the United Nations (UN), an organization of independent states that debate, an1 sometimes does something about, international problems. Together, these institutio11 comprise the rudimentary beginnings of world government, although when nations don like the decisions, they generally disregard them. Thus, when the United Nations failed h officially sanction war against Iraq, the United States attacked anyway, with some U "o government officials declaring the UN irrelevant. However, later when it wanted Iran to en its nuclear program, the United States relied on the authority of the UN as providing reason why Iran had to comply. 423 A bad reputation can be harmful to a state, even a powerful one such as the United States. The fact that nations constantly appeal to the standard of the law in their communications and negotiations with each other, both in claiming rights and in meeting their obligations, is evidence that they at least like to appear law abiding. In recent history, many states discovered the high costs of having a bad reputation (due to a consistent violation of international law). For example, South Africa finally ended over four decades of apartheid in response to significant pressure that included economic sanc­ tions and condemnations. Similarly, in 1999 Indonesia let one of its components, East Timor, declare independence after significant pressure from the international community. More recently, Burma and North Korea have undertaken actions that have led to interna­ tional condemnation and UN sanctions. International Law and International Courts. For centuries, the ideal of a world ordered b) unified system of law has persisted. The ancient Greek city-states applied among themselves .1 elemental body of rules relating to matters such as diplomacy, treaties, and war. In Rome thcr was a jus gentium, or forum, to regulate the relations of the diverse peoples within the empir As soon as the system of nation-states got under way centuries ago, it began constructing f, itself a body of law. Hugo Grotius, a Dutchman, usually is referred to as the founder of modcr international law-the system of rules on rights and duties of states in their mutual relations because of his systematic organization and discussion of the law of his day in his famous bo1 entitled The Law of War and Peace (1625). Often, however, emphasis was put on what natior ought to do rather than on their customary behavior. By the nineteenth century, the actual practices of states in their relations to one anoth began to be stressed more and more in discussions of international law, and less attenti11 was paid to what they ought to do from the point of view of abstract justice. Today, estal lished procedures in the form of custom, treaties, conventions, and formal agreements .u the chief basis of international law. Its subject matter is extensive, embracing items such ,, the recognition of new states and governments, diplomatic privileges and immunities, th acquisition of territory, nationality, extradition, the treatment of aliens, commerce, the jun diction of states, the responsibility of states, the beginning of war, the conduct of war, an the effect of war on treaties. A major issue recently has been how the United States will be seen by the world due to its disregard for the views of other countries in its conduct of foreign policy. To some de­ gree, the successful use of military power generates its own support-countries recognize they must live with the power realities. But the United States' recent use of military power to achieve its objectives, regardless of the views of other countries, has left a wake of hostility toward the United States throughout the world, not only among countries regarded as somewhat hostile to the United States, such as many of the Muslim countries, but also among states generally considered U.S. allies, such as Germany and France. With the elec­ tion of Barack Obama, and his more cooperative foreign policy, observers are hoping for improved relations. he United Nations The United Nations is the closest institution we have to a world government. The UN was formed in reaction to a surge of enthusiasm after World War II for a world organization able to keep the peace. On August 4, 1941, Prime Minister Winston Churchill of Great Britain and U.S. President Franklin Roosevelt announced in the famous Atlantic Charter the need for a "permanent system of general security." On January 1, 1942, soon after the United States entered the war, a United Nations Declaration was signed confirming the The Usefulness and the Limitations of International Law. The usefulness of internation objectives of the Atlantic Charter. This declaration gave the United Nations, which was law in the maintenance of order and peace among nations has always been limited. "' international system of criminal law and prosecution has been established to date, althouy established on October 24, 1945, its name. The primary purpose of the United Nations, ac­ cording to Article 1 of the Charter, is maintaining "international peace and security." the UN has established an International Court of Justice (commonly known as the Worl Court), an International Criminal Court, and a War Crimes Law, under which internation the peace. The first comprehensive approach to the problem of war by a group of states was tribunals can hold proceedings. War crimes in the former Yugoslavia were prosecut{ under one such tribunal. organization failed, however, to receive the international support necessary to make it a The United Nations is not the first attempt at a worldwide organization designed to keep written into the Covenant of the League of Nations in 1919 following World War I. This A country's submission to an international court's justice is voluntary, and there arc n effective means available to the community of states for the enforcement of the law. A viol tor may be threatened by the injured party, it may be the object of retaliatory measures, ar member, and in 1939, after numerous ineffective attempts to use the League as an arbitration in the last analysis it may be challenged in war. But these are not orderly procedures comp rable to the methods possessed by a state for enforcing laws internally. For example, in tl mid-1980s, when the United States was found to be in violation of international law wrl General Assembly, and the Secretariat. The Security Council-the legislative body that has viable world organization. Although the United States was cooperative, it never became a tool, it folded. The most important organs of the United Nations are the Security Council, the "primary responsibility for the maintenance of international peace and security"-is the its policy in Central America, and especially in Nicaragua, it simply ignored the rulin However, in the 1990s and early 2000s, the United States argued that Iraq was violating intu most powerful organ of the United Nations. The council deals with international disputes national law and should be punished for its violations. When in 2003 the UN punishml·r was insufficient from the U.S. point of view, the United States declared that it could atl,ll Iraq on its own. The moral: A country's view of international law depends on which side 1 the law it finds itself. posed of fifteen nations, of which five-the People's Republic of China, France, Russia Despite these deficiencies of the community of states, the usefulness of internation and decides when aggression is taking place or when there is a threat to the peace. It is com­ (which took over the seat of the former Soviet Union), the United Kingdom, and the United States-are permanent members. The other ten members are nonpermanent and are elected by the General Assembly for terms of two years, with the elections staggered so that five new countries come into office each year. law should not be underestimated. Nations may be able to violate the law and get away WII The Security Council must have the affirmative vote of nine of its members. When an it, but they much prefer not to do so, for they do not like to be regarded as lawbreakl'l issue is procedural in nature, any nine suffice, but in all other matters, the nine must include 424 � 21 The United Nations International Institutions and the Search for Peace 425 and the UN more often reflected U.S. desires. This agreement within the UN with regard to U.S. desires gave more legitimacy to U.S. actions in maintaining the peace and achieving its international goals. During the presidency of George W. Bush, the UN was not supportive of many U.S. positions, and the U.S. reaction was to withdraw, if not in fact, at least in principle, and look to other means of handling international disputes. That's precisely what it did in 2003. When it was clear that the UN would not sanction war against Iraq to eliminate weapons of mass destruction, but instead wanted to give UN weapons inspectors more time to deter­ mine whether Iraq had such weapons, the United States simply went to war on its own together with what it called the Coalition of the Willing. The United States also chose not to sign the Law of the Sea treaty developed by the UN, and it withdrew from the United Nations Educational, Scientific, and Cultural Organization (UNESCO) in 1984, claiming extraneous politicization and "an endemic hostility toward the institutions of free society, particularly those that protect the free press, free markets, and, above all, individual human rights." An assistant secretary of state said, "When UNESCO The Security Council of the United Nations adopting a resolution. returns to its original principles, the United States would be in a position to return to UNESCO." Since that time, UNESCO has reformed some of its practices, and the United States rejoined UNESCO in 2003. However, the funding for its membership has remained politically contentious. With the election of Barack Obama in 2008, the U.S. attitude toward all five permanent members of the council. On major questions, each of the five permane1 members has a veto,-a vote that forbids or blocks the making of a decision. This veto h.• been used relatively often, reducing the Security Council's ability to make decisions on co1 troversial issues. For example, in 2009, the United States wanted a resolution imposu strong sanctions on North Korea for its testing of nuclear weapons, so it turned to the L Security Council. However, it could not get the support of the other four permanent men• hers, any one of which had veto power, so it had to modify its resolution and settle fc· weaker sanctions. The General Assembly is a UN legislative body that includes representatives of all th member states. It meets annually and concerns itself "with any questions or matters with1 the scope of the present charter or relating to the powers and functions of any organs pre vided for in the present charter:' It has no legislative power, but it discusses a wide variety c international problems. When it arrives at a decision, it is in the form of a recommend. • the UN has become much more supportive and cooperative, and perhaps, in the next few years the United States's relationship with the UN will improve. Because the U.S. contribution is about one-fourth of the UN's budget (see Figure 2 1.1), the UN was forced to take notice of the U.S. position, and over the past twenty years, the UN has modified its organization in order to be more in accordance with U.S. desires. Despite this change, U.S. support for the UN has been only lukewarm in recent years. The United States is not alone in its concern about financing the UN. Japan is as well because it pays 20 percent of the costs, but has no permanent seat on the Security Council. Japan has argued that all permanent members of the Security Council should pay at least 3 percent, or even 5 percent, of the UN's costs. China and Russia do not meet that criterion. Russia 1.1% All other tion, either to states or to other organs. The Secretariat is the UN executive arm. It is headed by the secretary-general, who ' elected by the General Assembly and traditionally holds the post for a period of five years. Tl Secretariat carries out a variety of organizational, research, publication, and communicati11• functions, and the secretary-general plays an important role in diplomacy among states. Is the UN Worth It? When the UN began, there was great hope for using it as a vehicle for resolving disput among nations without resort to violence, and for discussion that could prevent war in tl future. Initially, the UN was dominated by the United States and its allies, with the form China 2.1% --..., countries 14.7% European Union countries 36.6 % Soviet Union the odd country out. Because it had different views, the Soviet Union used 11 veto to stop a wide variety of activities. As the UN expanded from its initial 55 members 1 its approximately 191 members today, the general tenor of the organization changed. ll new states tended to disagree with the United States, and in the 1970s and 1980s the L · was often at odds with U.S. policy. This change was reflected in U.S. voting in the Security Council. Whereas in the eat years of the UN the United States never used its veto, in the 1970s and 1980s the Unit States used its veto power relatively often to prevent action by the UN. In the late 1980s, tl nature of the UN changed from what it was in the 1970s and early to mid-1980s. Change' the former Soviet Union and China made agreement in the Security Council more likrl Jaoan 20.6% Figure 21.1 Approximate assessments for paying for the United Nations, 2009. 426 � 21 International Institutions and the Search for Peace The United Nations Not surprisingly, both China and Russia oppose Japan's proposal, and oppose Japan lH· given a permanent seat on the Security Council. Japan has said that it will ask for a largl 427 Impressive as the charter provisions regarding military sanctions may appear at first glance, in fact they have been of limited value. When the North Koreans attacked South Korea duction in its UN dues unless it is given a permanent seat on the Security Council. on June 25, 1950, the Security Council had no force on which it could draw because no agree­ ments had been reached about what members were expected to provide. The failure to make The UN's Role in Keepinfl the Peace those agreements had resulted from the inability of the Military Staff Committee to specify Supporters of the UN point out that for all its problems, the UN is still the only world fo definite obligation with respect to any possible joint military action. for peace that we have, and therefore it is worthwhile considering how it has kept peace the general principles that such agreements should embody; no nation had yet undertaken a J When the report came that South Korea had been invaded, a meeting of the Security Council was immediately called to deal with the problem. The council urgently asked for a how it can continue to do so. In the event of a "threat to the peace, breach of the peace, or act of aggression," I cessation of hostilities and a withdrawal of the invading troops. Because two days later the Security Council may invoke sanctions-diplomatic, economic, or military punitive acln cease-fire order had not been respected, the Security Council set to work to apply military undertaken through a collective security system-against the state that is to blame. ·1 sanctions against North Korea. This action would undoubtedly have been vetoed by the for­ mer Soviet Union had its delegates been present, but months earlier they had withdrawn from charter lists three types of coercive measures: the UN meetings in anger because Taiwan, rather than China, had been given the Chinese seat 1. Severance of diplomatic relations in the organization. Because the Soviet delegate was not present at the ensuing Security 2. The complete or partial interruption of economic relations with the dissident state Council meeting, the council was able to call for a cease-fire and authorize a UN-led military 3. The use of armed forces action-the Korean War, which lasted from 1950 to 1953. The amount of pressure that diplomatic sanctions produce would ordinarily be lim11 The more powerful economic sanctions are seldom tried, although in 1990 economic s.1 tions were imposed against Iraq after its invasion of Kuwait. All countries were forbiddl'll trade with Iraq, and the use of force was condoned. Because Iraq did not comply with I terms of the peace treaty, these sanctions continued until the beginning of the 2003 Iraq \• when the United States invasion led to the establishment of an alternative governmcnl Iraq. These sanctions caused considerable hardship for the Iraqi people but were not SUCCl ful in leading to the end of Saddam Hussein's rule, as some had hoped they would be. The military sanction is supposed to be the final recourse of the UN in its peacemal-1 efforts. To make the system function more smoothly, the charter imposes on each meml of the organization the duty of contributing to the UN military force, with the Secu1 Council responsible for defining each member's contribution to the joint effort should occasion for military sanctions arise. Since then, the UN has had some successes in keeping the peace-the Suez Canal Crisis, helping to end the Iran-Iraq war, and helping to end the internal conflict in Angola; it has also had failures. The largest of these failures involves its diplomatic attempt to keep the peace in the Middle East. When Iraq invaded Kuwait, the UN imposed economic sanctions against Iraq and authorized military force to achieve Iraq's withdrawal from Kuwait. These authorizations occurred in the Security Council and were supported by the former USSR and accepted by China (both of whom had veto power). The UN hoped the economic sanc­ tions and the threat of war would bring about a diplomatic solution. No diplomatic solution was found, and in 1991 the UN authorized the use of force to achieve the directives. However, instead of establishing a UN military force, the UN simply authorized the United States to lead a coalition in a war against Iraq. The U.S.-led forces quickly won the war, and the UN played a key role in establishing the framework under which Iraq surrendered. It· also played an important role in assisting refugees from the war and in undertaking weapons inspections. The UN did not maintain those weapons inspections, and in the early 2000s, Iraq expelled the UN inspectors, leading to intense diplomatic negotiations. In fall 2002, the United States pushed the UN to give Saddam Hussein an ultimatum, and in spring 2003, Hussein let the weapons inspectors back in to Iraq. Despite this concession, the United States was not satisfied with the progress made in finding weapons of mass destruction. The United States pushed the UN to declare Iraq in material breach of the earlier peace accord agreements and to allow the use of military force to assure compliance. When it became clear that the Security Council was not going to authorize force at this time, the United States, together with Great Britain, declared that a UN mandate was unneces­ sary and attacked Saddam Hussein to "eliminate weapons of mass destruction" and thereby help protect the world from terrorism. Initially, there were significant antiwar activities, espe­ cially in Europe, where a large majority of the population opposed the U.S. unilateral action. Once in control, the United States found little in the way of weapons of mass destruction­ the given reason for the war. Despite this, because the initial attack went well, and because Saddam Hussein was deposed, even many who opposed the war felt the outcome was a good thing because Hussein had been a brutal dictator. Immediately after Hussein's overthrow, a large majority of the U.S. population supported it-the "it dussint matter why we dundit as long as we wunnit" approach to war. After starting the war without UN approval, the United States took major control of the establishment of a new government in Iraq, freezing the UN out of much of the process. Essentially, it told the UN, "We will do what we want; if you condone it, we will let you play Bombed-out UN Headquarters in Iraq. a role; if you don't, we will do what we want anyway." 428 cJu.plvv 21 International Institutions and the Search for Peace The Outlook for Peace That U.S. attitude did not sit well with the rest of the worl\ and there were significant anti-U.S. feelings outside the Unitt States. But there was also an acceptance of the "realpolitik"-tl • United States has unsurpassed military power-and thus thl'l • was little that other countries could do if the United Statt decided to use that power. In many people's eyes, the UN h. lost any effective role in providing for peace and security in th world. The United States had usurped it. However, as the diCI culties of maintaining the peace have become enormous for tl United States, the United States has gone back to the UN, askin for its help and conveying a willingness to consider giving 11 some control. Barack Obama's election win in 2008 has rcu forced that more cooperative U.S. attitude. The United States again turned to the UN when wanted to limit Iran's nuclear program to ensure that In• did not develop nuclear weapons. Although it had to modtl its demands, the United States pushed through a resolutio for Iran to end its nuclear program, with possible sanctio1 resulting if it did not. However, when Israel bombl Lebanon in 2006 in response to Hizballah's militant (a pol tical group within Lebanon) capture of two of its soldict and most countries of the world wanted a resolution to sto the bombing and introduce a cease-fire, the United State delayed, giving Israel additional time to achieve its objl'\ tives. Eventually, even the United States and many in Isr<H became so concerned about the Israeli bombing that thc1 UN peacekeeping force in Lebanon. was a general feeling that it should end, and there was a Cil for UN peacekeeping. This led to an Israeli withdrawal an the introduction of a limited UN peacekeeping force. The failure of many UN peacekeeping attempts has led to a UN report calling for permanent UN-controlled army so that the UN will have "the tools" to address any conf1t\ situation. Because countries are reluctant to give up autonomy to the UN, there may I some increase in and modernization of the UN peacekeeping department, but the trOO] will likely remain "on loan" from individual nations. The problem is one of control. Th UN does not have the high-level military structure to successfully direct the operatio1 even if it gets the troops. Therefore control generally falls to one country. And, if a peacr keeping state becomes unhappy with the action, it can simply recall its troops, as India dt with its troops in Sierra Leone in 2000. In considering the UN, a key point to remember is that the UN is not a superstate. I cannot force individuals or states to accept its decisions, and often it simply lacks the abiht to impose its will on the member states. All it can do is impose sanctions, which are meth ods of exerting pressure on recalcitrant states. In imposing sanctions, two basic handica] limit its effectiveness: (l) its member states retain their sovereignty and (2) much of th power of the world is concentrated in a few powerful states, and unless these states concu and choose to use the UN as a vehicle to achieve their ends, the UN will not be effective. Other UN Approaches Some of the other approaches the UN has tried include the following: • • Registration of treaties in order to avoid obstructive secret treaties • Further development of international law • Promotion of education through the programs of UNESCO 429 Encouragement of regional arrangements devoted to the preservation of peace International control of nuclear energy Regulation of national armaments, includ ing missiles and nuclear weapons The practice of having treaties registered and published by the Secretariat has becom e firmly established, and although it does not guarantee that secret agreements will be elimi­ nated, it does reduce the chances of their existence. An International Law Commission has tried to promote the progressive developmen t of international law, and it has made headw ay slowly. The programs of UNESCO have aimed at the furtherance of fundamental educa tion, technical and vocational education, the excha nge of books between nations, the exchange of students, and many other objectives, all designed to produce a better internationa l outlook on the part of people every where. However, these methods for advancing the cause of peace are necessarily slow and their results somew hat uncertain. Efforts to establish international contro l of nuclear energy and national armam ents began in 1963 under the direction of Presid ent Kennedy, and they were formalized in 1968 with the Treaty on Nonproliferation of Nucle ar Weapons (NPT), which provided for nonnu ­ clear nations to forgo nuclear bomb develo pment in exchange for aid in building peace ful nuclear power programs. Nations with the bomb were ordered to reduce armam ents. Despite UN efforts, about fifty nations failed to sign the agreement. The UN's Internationa l Atomic Energy Agency (IAEA) has superv isory power over this treaty, but its autho rity and capabilities are limited. Thus, in 2003, when North Korea decided to develop a nuclear bomb, it simply expelled the UN observers who had been there expressly to ensure this did not happen. In 2006, Iran threatened to follow North Korea's lead. Given its limited sanctions and tools, the UN has not been especially successful in stop­ ping even small wars, and it certainly has not been capable of coercing the largest and most powerful members of the international comm unity. Even when dealing with small confli cts among member nations, the UN curren tly has no facility to force anyone to follow its pol­ icy. Thus, in the Iran-Iraq war in the mid-1 980s, the UN was unable to enforce a ceasefire for y ears simply because the countries refuse d to obey the order. Only in 1988, when both countries chose to have a cease-fire, could the UN "enforce" its policy. In the Kosov o conflict in the late 1990s, it was not the UN that organized the air campaign against Serbia . Instead, that task was undertaken by the North Atlantic Treaty Organization (NATO). NATO is an alliance of Western nations, one of whose purposes is joint military and economic coope ra­ tion. Finally, in the 2003 Iraq war, the Unite d States went to war without UN authorizatio n. Loyal supporters of the UN still hope that in time it will develop into an organizatio n capable of maintaining international law, order, and justice. As the world grows small er and smaller and as the range and deadliness of weapons increase, the need for such an organiza­ tion becomes ever greater. he Outlool< for Peace The beginning of the new millennium was marked by the end of the cold war and the begin­ ning of a period of U.S. domination in the world militarily and politically. This chang es the nature of the outlook for peace. The fears associated with the cold war and the "comm unist threat" that filled the United States in the 1950s and 1960s are gone. Today, the comm unist threat seems a long way behind us, and it is hard to believe that in the 1950s and early 1960s, U.S. schools conducted air raid drills in which students practiced what to do in case of a Russian attack and U.S. families built and stocked air raid shelters. For the United States , at least, such imminent threats are gone, but other threats have replaced them. Ironically, the decline of fear of a global nuclear disaster has increased the likelihood of regional confli cts and the possibility that those regional confli cts could be nuclear. Why? Because a decrea sed fear that any regional conflict will pit two superpowers against each other in unrec oncilable 430 � 21 International Institutions and the Search for Peace The Outlook for Peace positions frees nations from automatically expecting a small war to lead to a large war. Bu simply because the expectation of a large war is reduced, it is not necessarily the case that th actual probability of a large war is reduced, and regional conflicts might, in fact, lead to sud unreconcilable positions and the possibility of World War III. Just as fights between siblinu can erupt at any time, so too can disagreements among supposedly friendly nations. The rise of U.S. dominance has also provoked an anti-U.S. backlash and the develop ment of terrorists cells throughout the world whose goal is to inflict harm on the Unit1:1 States and make it pay for its "bullying ways." This is particularly true among Arab an1 Islamic individuals who feel that the United States has been biased in its support of Israelu the Israeli-Palestinian war. The power of these groups was seen in the 9/11 attacks on th Pentagon and the World Trade Center and in the terrorist bombing of the United States an1 U.S.-ally institutions around the world. To fight such threats, the United States has estah lished a war on terrorism, an ongoing war in which the United States claims the right II attack terrorists with preemptive strikes. Unfortunately, each of these strikes convince others of the United States' bullying ways and leads more to join the terrorist cause, or <I' least to implicitly or explicitly support the terrorist cause. What the right mix of strength ant understanding is for the United States to follow is still much in debate. Those countries that have been accused of harboring terrorists and of being part tl President Bush's Axis of Evil fear attacks by the United States, which leads them to aggw. sive policies that might prevent attack. In the case of North Korea and likely of Iran, th1 meant trying to increase its nuclear bomb capabilities, under the assumption that such capability, and a willingness to use it, would prevent a U.S. attack. The 2008 election o Barack Obama, who supported a more conciliatory and diplomatic approach to othc· countries, will give us a sense of whether reliance on diplomacy will reduce the tensions. The breakup of the Soviet Union has been marked by substantial ethnic unrest, ant significant political shifts are still possible. For example, in early 1993 an ethnic region in Russia, Chechnya, declared its independence, and in 1995 a long-lasting war betwec1 43 1 currently seen as a country willing to unilaterally impose its will on other count ries. Moreover, the failure of the U.S. military intervention in Iraq, and the difficulties it is expe­ riencing in Afghanistan, has reduced U.S. power. Few nations believe that the Unite d States will try another such invasion soon, unless it is directly attacked. That has left a power void in the world, which will likely see other countries pushing hard to achieve their goals, thereby bringing them into direct opposition with the United States. Trouble Spots of the World Recent events have changed the way the United States thinks of trouble spots and of war. The war on terrorism has less of a geogr aphic component than did previous wars. Terrorists could be anywhere-they could be living right next door to you. Similarly, the damage from terrorism is not limited to some far-off count ry. It could be right here in the Unite d States . Still, terrorism often has its roots in conflicts in particular geographic areas; thus, a consideration of these confli cts is important to any consideration of the search for peace. African Stability. During the post-World War II period, many African countries won their independence from European colon ial nations, but that independence has been marked by bloody internal strife, coups d'etat , and disputes over borders with neighborin g countries. Few of the countries have the underlying social infrastructure necessary for a democratic government, so the governments have generally been autocracies, and the fights have been over which and what type of autocr acy will rule. With the transfer of power to blacks in South Africa, most African nations are con­ trolled by blacks, but because of the histor ically imposed boundaries that combine com­ peting ethnic groups, there will likely be continuing internal wars and fights throu ghout Chechen independence supporters and the Russian army created havoc not only it Chechnya but also in Russia, where many opposed the Russian army's use of force to sub due the independence movement. That use of force also created tension between the United States and Russia. Still, in the early 2000s, the United States and Russia see eye to eye on many issues, and both are committed to peaceful coexistence. It is, however, an unea\\ alliance, and it is possible that a fight between Russia and some of its ethnic regions, or between Russia and some of the former republics of the Soviet Union, could break dowr that alliance or create tension between the United States and a former republic. A republi1 could have significant nuclear power, and the United States could find itself in a position ir which it felt compelled to stop the republic's leader. The result could be a war. Therefore it 1 vital to be vigilant in keeping the peace. Whatever happens, it is important to recognize that "right" is almost inevitably a gm area, and each side will often do what is politically and economically in its own interest. W1 can expect that any government with the power to do so will attempt to impose its will or its people and on the world. It is a maxim of politics that power corrupts and absolut1 power corrupts absolutely. The only way peace will have a chance is if those possessin power do not interpret to their advantage what is "right" in the large number of gray area' Unfortunately, there haven't been many examples of such objective interpretation of what 1 "right" in history. Instead, history has contained many more examples of the view that "might makes right." At the end of the 1990s there was much talk of a new world order, a relationship among the nations of the world governed by what all countries believe is right and enforced primarily by the military superiority of the United States. If this new world order was t< succeed, it depended on the United States being seen as an objective and fair arbiter Without that perception of fairness, the new world order is doomed. Given the recent ac tions of the United States, this is not the way it has worked out, and the United States 1 Some potential trouble spots. 1: African stabilit y. 2: Latin American and Caribbean Basin stabili ty. 3: Former Soviet Republics and eastern Europe stability. 4: Far East stability. 5: Middle East stability. 432 � 21 The Outlook for Peace International Institutions and the Search for Peace the 2000s. Examples include Somalia, where fighting between competing groups has led tc famine and civil war; Rwanda, where fighting between the Tutsi and Hutus has torn the country's social fabric apart; the Sudan, where rebel groups and government-backed milt tia have been involved in a bloody conflict; as well as in Zimbabwe, where the government of Robert Mugabe has clung to power through the use of intimidation and violence 01 opposition leaders. 43 3 Before the U.S. war on terrorism, the United States had strongly opposed Russian military action in Chechnya. After the war on terrorism began, Russia pointed out that the Chechen's were allied with terrorists, and U.S. opposition to Russian military action there decreased, allowing Russia to significantly reduce the fighting there. Other former Soviet republics, such as Uzbekistan and Turkistan in Central Asia, are also highly unstable politically, which make them potential threats to world peace. Of special concern for the rest of the world is what is happening to the nuclear arsenal and nuclear Latin America is no longer the troubled region it was twenty 01 thirty years ago, when it was a location for a proxy war between the competing superpower' An example of the problems caused by that competition between superpowers were tht Latin American Stability. bloody civil wars in Nicaragua and El Salvador in the early 1980s as both the United Stat� and the former Soviet Union jockeyed for position. Significant problems remain, however. Some of these problems are simply leftovc1 antagonisms from the earlier conflicts. Others result from the large disparities in incomt· within countries, the weak democratic traditions in many of them, and the powerful dn1" cartels. In the mid-2000s, Latin American countries are trying to figure out how to deal with these problems. The majority are following the U.S. suggestions, liberalizing their economic and relying on market forces to lead those economies forward. However, two oil rich coun tries, Venezuela and Bolivia, are trying to follow the example of Cuba, the one country in Latin America that remained tied to the Soviet Union before its breakup, and which wa' founded on the principles of communism, not capitalism. With the downfall of the Sovi�l Union, Cuba was left on its own, and the trade embargo imposed on it by the United State weapons experts of the former Soviet Union. Some of that arsenal has been secured through careful monitoring by joint Russian and world groups, but if even a small part of that arsenal ends up in the hands of terrorists, the probability of nuclear war or nuclear terrorism may have turned out to increase, rather than decrease, with the breakup of the Soviet Union and the end of the cold war. Stability in the Far East and Indochina. In the early 2000s, the border between North and South Korea still remains a trouble spot. Observers believe that the North Korean leadership worries that the United States will launch a preemptive war against them. To try to prevent such a war, North Korea has tried to increase the number of nuclear bombs it has, creating difficulties for the detente approach that South Korea has been following. Because most observers believed North Korea was willing to use nuclear weapons, they also believed that a preemptive war by the United States would lead North Korea to retaliate with an attack on Seoul, the capital of South Korea, killing hundreds of thousands of people. Unlike its approach to Iraq in 2002 and 2003, the United States has so far used diplomacy to achieve its ends even as North Korea has conducted nuclear tests as well as prevented it from growing. Many thought it was just a matter of time until its aging leader Fidel Castro, passed away and Cuba would either give up communism or succumb to tur moil in a post-Castro struggle for power. But despite being ill, and ceding power to hi' brother, Raul Castro, as of 2009, Fidel Castro remained an outside-the-government power tested missiles that have the potential for reaching the United States. Because the United and little rapprochement with the United States has occurred. With Hugo Chavez's victory in Venezuela's presidential elections, and Ivo Morale� victory in Bolivia's presidential elections, the Latin American calm changed. Both thest· leaders professed admiration for Fidel Castro, and set about to nationalize their oil in political reform, which are kept under control by repressive actions of the government. The dustries and to institute policies similar to Cuba's. This has led to internal tension' among Latin American countries as well as with the United States, and these turmoil' could escalate in upcoming years. Venezuela also faces a major problem at its borde1 with Colombia, an area of cross-border violence, kidnapping, smuggling, and dru� trafficking. Given these problems, there is real potential for strife between the two countries. Despite these problems, Latin America is not a major hotbed of instability relative to other parts of the world. A number of countries have had peaceful transmissions of powe1 from one democratically elected government to another, and a democratic tradition seem' to be taking hold. Whereas before coups d'etat would lead to political regime changes, in recent years elections have replaced violent overthrows. Thus, Hugo Chavez did not tak( power by military force; he won it in an election, and the losers, after some serious com plaints, accepted his victory. That is definitely a positive step forward, and gives observer' hope that Latin America will be able to maintain stability even as it undergoes significant change. The 2000s remain a time ol Stability in the Former Soviet Republics and Eastern Europe. potential instability for a number of the countries of eastern Europe and the former Soviet republics. Although in the 1990s explicit fighting between Croats, Muslims, and Serb\ ended in Bosnia and Kosovo, ethnic hatreds remain high. Nearby Albania remains unstable The situation in Russia and the republics of the former Soviet Union remain tenuous a' they struggle with transformation problems; the Chechen war is just one example there States has thousands of U.S. troops stationed in Korea, the Korean peninsula will likely remain a trouble spot. The status of China is also of some concern. In China, there are significant pressures for United States opposes those repressive measures, but wants to stay friendly with the Chinese government. Politically, China remains a communist state, but economically it is turning increas­ ingly to the market. Significant concern exists in the United States about political repression of groups such as the Fulong Gong. The Fulong Gong asserts that it is an "exercise club," but the Chinese government claims it is a subversive group and has outlawed it and jailed some of its members. Whether the political repression and liberal economic activity can both continue remains to be seen. Once the war on terrorism began, the concern about China diminished because the United States saw its main threat from small countries with weak governments where terrorists could operate. Because China opposed terrorists, the United States found itself closer to China after the war on terrorism began than before the war. Economically, China has become a market economy, and is growing enormously fast­ at about 10 percent per year. This growth means that China will need resources such as oil and metals, which means that it will be extending its economic reach throughout the world in an attempt to ensure supplies of these resources. Thus, it has developed ties with both Latin American and African countries-extending aid to them and developing long-term commercial contracts with them. Eventually, the economic competition between the United States and China will likely lead to political strife between the two. The relationship between China and Taiwan also remains a hot international issue. The United States has accepted a one-China policy, which states that Taiwan is part of China, not a separate country. At times China has suggested that it might try to forcibly take control of Taiwan. If that happened, the United States would probably extend aid to Taiwan because the Taiwanese have close ties with the United States despite the one-China policy. Most believe the issue will eventually be settled peacefully. 434 � 21 The Outlook for Peace International Institutions and the Search for Peace 43 5 RUSSIA Atlantic Ocean � Ar��ln Palestinian demonstrators throw stones at Israeli soldiers during a clash in the West Bank of the Palestinian territory. The Middle East and surrounding countries. share of Palestine but the Arab share as well. On May 14, the state of Israel was pro­ Stability in the M iddle East. Despite the problems and potential instability in other area' claimed. Since that time there has been continual strife between Israel and its surround­ of the world, none of them is considered the major trouble spot of the world. This dubiou ing Arab neighbors. The first outbreak of violence was the Suez War in 1956, when Israel honor goes to the Middle East. staged a surprise attack on Egypt in the Sinai area. In 1967, the tensions broke into war Practically since the beginning of history, the Middle East has been a virtual hotbed ol again, and in what is called the Six-Day War, Israel made large territorial gains, taking warring peoples. The countries of the area, such as Libya, Syria, Iraq, Israel, and Iran, haVl' land from Egypt and Jordan. Israel continued to occupy the territory it won in the war, periodically fallen under the influence of rulers from many different nations. During World citing the need for national security. In 1973, Arab forces attacked Israel in an attempt to War I, the area was occupied by French and British troops, and between 1922 and 1939 thr regain their land, and sporadic fighting continued until mid-1974 when both sides agreed Jewish population in Palestine (now Israel) rose from 84,000 to 445,000. The land the\ to a cease-fire. bought and occupied had been previously owned by absentee landlords, and the displacct In 197 4, the UN General Assembly passed what has come to be known as Resolution 242, Arabs who had previously rented the land remained hostile to the new settlers. The larw which called for the return of land and property taken by Israel during the wars and recog­ became disputed territory. nized the Palestine Liberation Organization (PLO), giving it permanent observer status in As the Jewish population increased, so did Zionist-individuals who support th the UN. Israel rejected this, citing security reasons and arguing that it could not give land establishment of a Jewish homeland-activities. During World War II, Zionist force back to a group committed to the annihilation of Israel. In response, Israel began to settle the fought on the side of the Allies, but continually reminded the Allied forces that their owr occupied land. central motive was to seek independence for a Jewish nation. The area in which the nation Some hope of accord existed in 1979 as Egypt and Israel agreed to a peace treaty call­ was proposed was a British protectorate, and in 1942 Britain passed the Biltmor ing for Israel's withdrawal from the Sinai Peninsula, but the more difficult Palestinian Resolution, which called for the first steps to be taken to secure Palestine for the Jews. I question was skirted. That question eventually led to continued fighting and war as Israel provided for unrestricted Jewish immigration into Palestine and eventual establishment invaded Lebanon in 1982 in an attempt to eliminate the PLO. As a result of this fighting, <> much of Beirut, the capital of Lebanon, fell into ruins as Israel, the PLO, and Syria strug­ a Jewish commonwealth. Palestinian Arabs, meanwhile, did not put up a united resistance to the Zionist gled for political power in the area. In Lebanon, the many internal groups are differenti­ Therefore, at the end of World War II, the Palestinian Arabs had only the League of Aral ated by intense religious, political, and economic rivalries, and they fight bitterly with each States (Egypt, Syria, Lebanon, Transjordan, Iraq, Saudi Arabia, and Yemen) to turn to. Th'·' other while at the same time outside interests, such as those of Syria and Israel, attempt to voiced opposition to the Biltmore Resolution. Britain, undecided about how the situati(ll enforce their own versions of order on the country. In the early 1990s, a Syrian-backed should be handled, called for the establishment of a binational state in Palestine, and refust'l faction took control, and it looked as though the long ordeal in Lebanon was finally com­ to admit some 100,000 European Jewish refugees to the area. Another outbreak of violem1 ing to an end. Conflict still existed, however, in south Lebanon, where Lebanese troops caused the UN to intervene. On September 1, 1947, the UN commission of inquiry called ((I attempted to regain land occupied by fighting PLO guerrillas and Israelis. The Golan the division of the territory into two states-one Arab and one Jewish. Heights, which was once part of Syria but was annexed by Israel in 1984 and settled by The Arabs, who constituted a majority in both the "states" the UN had created, n Israeli citizens, remained in dispute. fused the order and thus the Palestinian War began. The well-organized Zionist fom· In August 1993, Israeli Prime Minister Yitzhak Rabin and the chairman of the PLO, overcame the Arabs, and by May 1948 they had obtained control not only of the Jewi'l Yasser Arafat, signed a historic peace accord to bring to a conclusion almost five decades of 436 � 21 International Institutions and the Search for Peace he Most Elusive Gift of All incessant turmoil and conflict. Israel agreed to turn over specific Some Im portant Terms Because of its multiple hot areas, the Mideast remains the most likely place a new worldwide war might emerge. n: gions of the West Bank and Gaza Strip to the Palestinian Arabs, wh1 would administer them as autonomous divisions. The negotiation leading toward final settlement continued but with enormous fight The War on Global Terrorism and complaints on both sides. Those fights and complaints continued through the 1990s and in 2003; in retaliation for suicide bombing� As stated at the beginning of this chapter, the United States cur­ rently is engaged in a war on terrorism, and for U.S. citizens, this terrorism is very likely to disrupt aspects of their lives. The Israel sent in its army and occupied much of the West Bank and Gaza destroying and laying siege to PLO headquarters and houses of sus pected terrorists and their relatives. In 2003, the United States and other men and women throughout the world what they question is what to do about it. What drives people to be willing Western countries established a Roadmap to Peace, which required to commit terrorist acts, and what will stop them? Is it possible for a country to be so strong and forceful that it can prevent ter­ both Palestinians and Israelis to move simultaneously toward peace with the Palestinian police force stopping the militant Palestinians from rorist attacks, or does such force simply create more terrorists? Views differ enormously on these questions, and in the early 2000s the United States embarked on a policy based on the attacking Israelis and the Israeli forces withdrawing from Palestine and stopping settlements. Few believed that the Roadmap would work, but all believed that it was best to try. Bush Doctrine of preemption, which was designed to use U.S. economic and military power to rid the world of terrorism. That policy has not worked out; Iraq has become a festering In 2006, Israel conducted a unilateral withdrawal from part of th( Palestinian state, annexed other parts of the Palestinian territory that in a magnificent box with a fancy ribbon. They couldn't find it on a colorful page of a fat Christmas catalog. They wouldn't see it glistening out at them from a window of a smart boutique. Because it's the most precious and elusive gift of all . . . peace on earth. Israel had occupied in previous wars, and began building a war separat quagmire, fighting continues in Afghanistan, and the number of people throughout the world who hate the United States ing Palestinians from the annexed territories. Arafat's successor party Fatah signed a peace treaty with Israel and are committed to terrorism has increased, not declined. Supporters of preemption argued that, given time, the policy would work-we just had to stay the course. Opponents argued then lost an election to Hamas, which did not accept the existence of Israel and was far more militant. Hamas vowed never to accept Israel\ right to exist, leading Israel to break off peace negotiations and tu begin a policy of assassinating Hamas leaders. That led to further violence, and in 2006 Hizballah, a militant group in Lebanon, entered the fight. Israel attacked Lebanon as well as the Palestinian state, argu ing that the Lebanese government had not contained Hizballah. Israeli World Trade Center attacks, September 1 1 , 2001 . bombing raids killed thousands of Lebanese civilians, and Hizballah that we needed to follow a different course. In 2008, U.S. voters chose a different course by electing Barack Obama as president. Obama promised commitment toward a more cooperative for­ eign policy. The coming years will determine whether this dif­ ferent course will work. indiscriminantly launched thousands of missiles at Israel. Moderates were caught in the middle, as both sides became more and mort• radicalized. In 2009, President Obama reached out to the Arab and Palestine communities and took a strong stand against expansions of Israeli settlements in occupied territory of Palestine. This had alway� been the U.S.'s stated policy, but earlier it had looked the other way and /(,ey Points • not imposed any penalties on Israel, as it repeatedly violated the U.S.\ stated policy against expanding settlements. Whether Obama will im pose penalties, such as a reduction in aid or a withholding of military • equipment, remains to be seen. Whatever happens, this will likely United Technologies advertisement. 437 remain a highly troubled area. • Other Mideast areas also remain unstable. Islamic militants oppose the Saudi Arabian monarchy, and after the 2003 Iraq invasion, in which the Sunni leader Saddam Hussein was removed from Iraq, the Saudi monarchy worried that its Shiite majority would revolt against the monarchy. Two other countries in the area, Iran • If countries don't get what they want, and they have the power to do so, they often go to war to get what they want. ball away if he doesn't like the way the game is • International law is a good idea, but it lacks any way of enforcing its decisions. Three principal organs of the UN are the General Assembly, the Security Council, and the Secretariat. going. The new world order is to be determined collec­ tively by the major powers, primarily the United States. The U.S. policy of preemption makes it the ultimate arbiter of right and wrong in the world. • The United States didn't pay its dues for UNESCO for the same reason that Billy takes his The Arab-Israeli conflict has many dimensions and affects the area like a cancer that has metastasized. and Syria, were classified by President Bush as part of the Axis of Evil and, soon after the 2003 Iraq invasion, the United States started claiming that Iran was harboring terrorists and developing nuclear weapons. Most observers believed that Iran was not harboring major ter­ rorists, but they also believed that Iran learned the North Korean lesson-that the United States would not attack a country that has nuclear weapons and would use them. So Iran could very well be trying to develop such weapons in an attempt to forestall a U.S. preemp­ S,ome Important Terms al Qaeda ( 4 1 8) tive war. The possibility became more likely as Iran announced it was developing its nuclear General Assembly ( 424) energy program, which would give it a source of fuel for nuclear weapons. In response, Iran, international law ( 422) the United States, and the UN entered into tense negotiations about what Iran would and mediation (421) would not do in its nuclear energy program. As of 2009, these negotiations were continuing. new world order ( 430) North Atlantic Treaty Organization (NATO) (429) Secretariat ( 424) Security Council (423) policy of preemption ( 418) United Nations ( UN) (422) Resolution 242 ( 435) veto (424) sanctions ( 426) Zionist (434) 438 � 21 International Institutions and the Search for Peace Questions for Review and Discussion 1. How do you explain the prevalence of wars through­ out human history? 4. Explain the statement that war is "merely a contin­ world today? Can you think of ways to deal w any of these problems? 12. Give a brief history of the Arab-Israeli conflict 13. What is the new world order? Do you think thw uation of politics by other means:' 5. Explain how diplomacy is used to prevent war. 6. What are some of the reasons that international 14. What is the most significant problem the government cannot prevent all wars? 7. What are the three most important organs through 15. How would we know if the war on terrorism 2. Is the threat of war over with the end of the cold war? Explain your position. 3. Give what you think are some of the causes of war. which the UN acts? 8. What is the difference between the UN General Assembly and the UN Security Council? 9. How does the veto power of the Security Council hinder the search for peace? Are there any ways the veto power helps the search for peace? going to be more or less stability in the world un� this order? wu faces? justified? 16. If Mexico established a policy of preemption, h• would the United States likely respond? 17. If the amount of money now spent on weap1· systems could be used for something else, what are the current UN peacekeeping operations? 2. What is the mission statement of the International Committee of the Red Cross? Consult its website, www.icrc.org. 3. According to Gra�a Machel, the UN expert on the impact of war on children (see www.unicef.org/ graca), why are children particularly vulnerable to Nations Publications. Updated regularly. Carter, Jimmy, Palestine: Peace not Apartheid, New York: Simon and Schuster,2006. Diamond, Jared, Guns, Germs, and Steel: The Fates of Human Societies, New York: Norton, 1997. Ferguson,Niall, The War ofthe World: Twentieth-Century Conflict and the Descent ofthe West, New York: Penguin,2006. Kennedy, Paul, The Parliament of Man: The Past, Present, and Future of the United Nations, New York: Random House, 2006. Kuklick,Bruce,Blind Oracles: Intellectuals and War from Kennan to Kissinger, Princeton, NJ: Princeton University Press, 2006. Abu Bakr,and Islamic belief, 1 80- 1 8 1 Academic freedom,and education, 1 88 Academic standards,20 1 -202 and marriage, 158-159 and divorce, 1 62 to Women Building Peace, W\\ international-alert.org!women, what are som� the activities women can perform in order work toward constructing peace? 5. Using the International Peace Bureau site, W\\ ipb.org/web/index.php, what is the Hague ApJ for Peace program? Americans,236-237,238-239 Asians 24 1-243 as minority religion,246 Assembly line Anarchy authoritarian autocracy,270-2 7 1 and lawlessness, 258 Shultz, Richard H.,Jr.,and Andrea J. Dew,Insurgents, Terror and Militias, New York: Columbia University Press,201 WWW WWW WWW Center for War/Peace Studies www.cwps.org The International Court of Justice www.icj-cij.u Organization for Economic Co-Operation Development Australopithecus, 39 Animal habitat,and ecological Autocracy balance, 99-100 WWW The United Nations www.un.org/english WWW United Nations Charter. en.wikipedia.org/w• United Nations Educational,Scientific and Cultu Organization www. unesco.org WWW Women's Federation of Peace International . wfwp.org/home.html WWW The World Health Organization w· and French Revolution,279 human research, 128- 1 30 and individual insecurity,274 Anthropologists,and preliterate and liberalization,295 and its plunder,2 7 1 Anthropology,40--4 1 and loss o f power,273-274 Anti-Semitism,and discrimination, and the press,366 1 75-1 76,246-247 Apartheid,2 1 1 ,423 and its stability, 398,43 1 --432 Appert,Nicholas, 1 05-106 Arab Americans,243 and public opinion,293, 366 and Saudi Arabia,292-295 and socialism, 328 Automobile industry Arabia,and its number system,77-78 and assembly line, 1 09- 1 1 0 Arabians,and War on Terror,243 and geographical impact, 1 1 0 Arafat,Yasser,Palestinian leader, and hybrid cars, 1 1 6 435--436 Aristocracy and its development, 48--49 and organization of society,65 and the family, 152-154 in Roman civilization,54-55 and marriage, 158- 1 60 Armed force, and Uganda, 4 1 3--4 1 4 in Middle Ages,56-57 Armed forces and population size, 9 1 ,93-94 and technology, 1 20, 150 and women,247-248 Air pollution, 1 00 Arranged marriage, 1 48, 152-153 Alexander the Great,and world Art Horatio, 1 9th-century American author,2 1 5 and its risks, 332 Automobiles and cities, 1 1 6- 1 1 7 and the family, 154- 1 55 and pollution, 1 00 Axis of Evil,4 1 8--4 1 9, 430, 436 and sexual preference,25 1 and culture, 7 1 ,73 and religion, 1 84 Artifacts,and culture, 7 1 , 72 Asia United_Nations_charter. WWW defined,270- 275 Animal research,and application to and its nation states, 362 conquest,52-53 www.oecd.org and social divisions, 1 1 3- 1 15 Astronomy,and laws of the universe,77 Anarchy, 258, 263-264 developing countries, 397-398 Blacks) Press,2000. and automobile industry, 109- 1 1 0 and democracy, 267 peoples, 77 -Americans 232-239 (See also Rawls, John, The Law of Peoples, New York: Oxford Univcr 1 98- 1 99,242 and change, 77 Affirmative action,and African­ 4. According Asian students,and education, Amish and death sentence in Nigeria,289 ']-or Further Study -----� Boot, Max, The Savage Wars of Peace: Small Wars and the Rise ofAmerican Power, New York: Basic Books,2002. 292-294 of Nigeria,289 land mines? Basic Facts About the United Nations, New York: United American Revolution, 65 Absolute monarchy,and Saudi Arabia, you think the money should be spent on? 9nternet Questions 1. Go to www.un.org/Depts/dpko/dpko/ops.htm. What 9ndex 10. Discuss some of the accomplishments of the l · 11. What are some of the worst trouble spots in I and its nation states,362, B Balance of payments defined,382 and transfer of wealth,390-392 and U.S. capital inflows, 38 1-382 Balance of power,and world government, 369 Balance of trade and population statistics,9 1 ,94 defined, 3 8 1 and stable government,398 and developing countries, 383 www.who.in1 439 440 Index Balance of trade (Continued) Index Bono (U-2's lead singer),and cancella­ tion of foreign debt,404 and export-import activity, 3 8 1 -383 Boy Scouts of America,and sexual preference, 2 5 1 and services, 382-383 Balanced budget,and governments, Brain drain, and developing countries, 404-405,407 3 5 1-353 Barter,and restriction on international trade,385-386 Bedouin tribe,and Saudi Arabia, 292-293 Branches of U.S. government,299-302 Breast feeding,and childcare, 1 52- 1 54 standing behavior, 1 30 Belgium,and cultural problems, 3 6 1 Beliefs,and religion, 1 68-1 69, Childhood,and its stages, 1 2 4-125 development of,49-50, 52 and starting a business, 326-332 Children and growth of trade, 58 Capitalism Common sense,and research, 1 8 - 1 9 and personality development, Communal organization,and average number per family, 1 59-1 60 and child support, 1 5 9 and exploitation of workers, feral children, 126 327-328 and its progression,327-328 British influence,and Nigeria, and the right to a job,327-328 63, ll3 and markets, 325-326 and democracy, 267 and its origins,6 1-62 Columbus (Christopher),explorer, adult children at home, 1 60 and developing countries,406 Britain,and democracy, 269 and same-sex couples, 1 63-164 and single parents, 1 58- 1 5 9 and working parents, 1 54 China 125- 1 26 and technological development, 105, 1 1 8 Civil rights movement,and African­ Americans, 72 Civil rights Mexico,285 Communication,and modern life, 83-84 Communism and its characteristics, 275-276 and China,433-434 and social division, 1 1 3- 1 1 5 and the arts, 1 84 and church action, 1 83- 1 84 Bronze age,76 and its socialist influences, 327-3 and communism, 263, 372,74 and religion's role,78 defined,263,327,328 Buddha,his identity, 1 72- 1 73 and U.S. foreign policy, 376-377 and controlled elections, 274 and the Supreme Court, 233-234 and economic organization, 2 86-289 Behavior,69, 1 30 Behavioralist approach, and under­ and economic goods,324-325 Buddhism, 1 70, 1 72-173 and the arts, 1 84 Capitalist economies,and mixed economies, 326-330 and the Cultural Revolution, 1 1 4 as developing country,407-4 1 1 and developing country model, Civil unions,and same-sex couples, 1 63- 1 64 Civil war and Cuba,432 327-328 and European states, 372-373 and Muslims, 1 73 Capitalist economy, 325-326 Bigamy,and divorce, 1 62 and nation-state, 360 Capitalists,defined by Karl Marx,2 1 Bill of Rights, 299-300 and Siddhartha, 1 73 Careers,and women,248-249 and its geography, 408 Biology,and deviance, 1 40-1 4 1 and Zen, 1 73 Cartel,and foreign trade,38 1 and global warming, 1 0 1 , 1 1 7 Class consciousness 2 1 7-2 1 8 and ideology,372-373 Case method, 1 7 and globalization, 354-355 Class structure,and economic systems, and Karl Marx,2 1 8 Caste system,in India, 1 72 and its growth, 1 02,433 Castes, type of social stratification, and happiness, 1 3 1 1 7 1 - 1 74, 1 75-1 76, 1 78- 1 8 1 Biotechnology,and its possibilities,77, Bulgaria,and transitional economy, 3 3 1 1 1 8- 1 1 9 Birth control,and family technology, Bush, President George W.,43rd U.S. president, 246, 3 1 3 9 1 , 1 64-1 65 2 1 0-2 1 1 and Axis of Evil,4 37 Castro,Fidel,Cuban dictator,24 1 ,4.1 and China,409 as Commander in Chief, 303-304 Catholic church,and its organization and imperialism,97 and international relations,363-364 and Mexico, 4 1 2 and international treaties, 374 and population growth,93-97 and Iraq War of 2003, 307 and Uganda,4 1 4 and presidential power,374-375 Birthrate and Supreme Court appointments, Bisexuality, 2 5 1 307-308 Black Death,5 8 and U.S. presidential election,303 Black market,and planned and War on terrorism, 376-377,437 economies, 33 1 Black students,and math, 1 98- 1 99 Bush,George Herbert Walker,4 1 st U.S. president,and Persian Gulf Blacks War of 1 99 1 , 375 and affirmative action,236-237, 58-59 407-4 1 1 and hegemony,4 1 9 and integration o f the economy, 329 as nation-state,360 and its difficulty,79-8 1 and population growth,94 and the press, 3 1 7 and the family, 1 65- 1 66 and population statistics, 9 1 and Supreme Court Canada Body mass,and social value,74 Bolivia,and oil,432 Bolsheviks,and takeover of Russian government, 290 Bonaparte,Napoleon, French dictator, 1 05- 1 06,279 and cultural problems, 36 1 and democracy, 269 Capital gains tax, and income inequality,223 Capital,and balance of trade, 382-383 and Cuba, 263 and its decline as political system, 65 and North Korea, 263 and China, 263,4 1 0 and expediency, 271-272 and transportation, 84 president,432 Checks and balances,and U.S. government, 306-307 Chemicals, and ecological balance, 99-100 Child care 1 50- 1 54 and unemployment, 234-235 and U.S. foreign policy,376-377 Communist government Cognitive behavioralist approach, Chicanos,and education, 239-241 c 327-328 and social division, 1 1 3-1 1 5 and social change, 78-79 facilities,and welfare, 2 1 9 appointments,309 Communist Party and its social successes, 329-3 3 1 and understanding behavior, and its ideals,372 and status a s developing country, 1 30 and loyalty,274 and transfer of production, I ll and slavery,232 and its relationship to socialism, social, 74-83 Chavez,Hugo,Venezuelan and starting one,326-332 and planned economies, 325 and political control, 327-328 Cloning, 32-33 and Asians,242 and segregation,233-234,237 and peace,429-430 and religion, 1 70- 1 7 1 and Taiwan, 4 1 1 ,433 and right to vote, 3 1 4-3 1 5 Un-American Activities,272 and private markets, 3 3 1 Chauvinism, and cultural bias,86 and pressure groups,3 1 8-3 1 9 and House Committee on and governments,295 and African-Americans, 237 and reparations, 238 and its goals,330-3 3 1 and its rejection, 1 20- 1 2 1 as superpower,408, 4 1 1 and influence in Saudi Arabia,293 303,307 and presidential power, 375 Charter schools,and education, 1 96 and communication,83-84 and emigration,79 and political reform,433 Charity, as social value,73-74 and the professions, 237 and effect of changes, 99-100 and planned economy, 329 Business firms,and economics, 322 and social relations, 237-238 Climate reliability of data, 95 Change Business ownership 236-239 warming, 1 0 1- 1 02 and social change,79-81 and civil rights movement,72 Business Clear Skies Initiative,and global Clinton, Bill (U.S. President), and business ownership, 237 and discrimination,232-234, 1 1 3- 1 1 5 and optimal population,97 Channeling,and psychology, 1 34 and college,236 and Uganda,4 1 4-4 1 5 and Open Door Policy,374 Business cycle,defined,348-349 and African origin,232 and Nigeria, 287-288 defined,95 Census,U.S. 441 407-4 1 1 and Western technology, 1 1 3-1 1 5 Chinese,a s minority i n U.S.,241 Cold war and developing countries, 406-407 and peace,429 exploitation,267 Community college, 1 93-194 College education Comparative method,and under­ and its financial value, 203 Christian Coalition,U.S. political and income,2 1 7 group, 265 government, 290 Communist states,and Collaborative learning, 1 98-199 Christ, and Judaism, 1 74, 1 77 Christian religion and former Russian College loans, and family, 1 60 Colleges standing behavior, 1 7- 1 8 Competition and education, 1 88 and globalization, I ll, 3 3 1 and its administrative structure, 56 and admission policies,236-237 and Roman Empire, 54-55 and enrollment, 203 and market economy, 33 1-333 expansion of education, 1 9 1 and quotas, 388 and government,265 Christian tribes,in Nigeria,287-288 and men's role, 250 Christianity, 1 77-1 80, 1 83- 1 85 Colombia Child labor,and its elimination,79 Christians, 1 70- 1 7 1 and conflict with Venezuela, 432 Childbearing Cities and drug traffic, 400,432 and choosing a mate, 1 48-149 and the automobile, 1 1 6-1 1 7 and its postponement,250-2 5 1 and Black Death, 58 Colonialism,and developing countries, 403-404 and international trade,383-384 Compromise and democracy, 268 and U.S. government,3 1 3 Computer revolution,and markets, 334-335 442 Index Index Computers and culture,77 and education, 1 95 Crime detection, and college education, 1 1 5 Cyber crime, and technology, 1 1 5 Czech Republic,and transitional economy, 3 3 1 Crime Democrats,and their Demography and the family, 165 and deviance from norms, 1 39-140 and their future, 118-1 1 9 and education, 1 98 D and social change, 1 1 0 and hate-crime laws,25 1 Darwin, Charles,English scientist, and statistics,19 and rights of criminals, 3 1 1 and technology, 105, 335 and technology, 1 1 5 Dating system,and nomenclature, 1 77 Depression. Also see Great Depression and U.S. culture, 74 de Toqueville,Alexis, French author Depression, 348-349 Conditioning,and personality, 1 28 - 1 30 Conflict and Nigerian government instability, 288 U.S./China,433 Cro-�agnons, 43, 45 Cross-cultural method, 1 7 defined, 9 1 29-3 1 in U.S., 1 90- 1 9 1 Death penalty, and crime deterrence, 1 42-143 Death rate and China, 409 and balance of trade, 382 compared to developed countries, Confucianism, 1 7 1 , 408-409 and cultural effect, 58 and industrialism, 1 1 3 and �agna Carta, 63 and �exico,4 1 1 -4 1 2 Conservation,and its costs, 102 and �uslims, 1 84- 1 85 and population size, 93 Conservatives,264-265 Constitutional amendments,and same-sex couples, 163-164 Constitutional conventions, and U.S. government, 299 Constitution and formation of United States, 299-300,3 1 1 -3 1 2 of Russian federation,290 Constitutions, and France, 280 Consumers,and pressure groups, 3 1 8-3 1 9 and religion, 168 Cuba and communism, 263, 433 and Latinos,24 1 Cultural adjustment, 75 Cultural differences, 69-70, 125-126 Cultural diversity,69 Cultural integration,75 Cultural lag, and its operation, 83-84 Cultural norms,and their determination, 1 3 1 -132 Debt 397-398 and culture,398-399 and fluctuating foreign exchange rates, 392-393 and its value, 382, 393 development, 124- 1 25 Earnings, and women, 248-249 Earth Summit, and global warming, French constitution,280, 282 Deviance,from norms, 1 3 9- 1 43 382-383 Democracy and poor countries,97 Cultural transition,75-75 defined, 262 Continuity,and culture,8 1 Cultural universals,defined, 74 and developing countries, Control theory,and deviance, 142 Cultural values,and education, 206 Control Culture 399-400,405 and education, 1 88- 1 9 1 and government,274 and adaptation, 124 and equality,268-269 of the press, 275 and African-Americans,232-234 and its failures,272 and continuity, 8 1 and French government, 279-280 Economics. Also see Economic; Economy Economics, defined, 322 40 1-404 and subdivisions,397-398 Deficit,and international trade, Economic wants, 323-324 and deviant behavior, 1 42-143 and stable government, 398-399 of conflict, 1 3 3 Economic, upheaval,and Russia,290 and challenges facing U.S., 35 1-356 Declaration of the Rights of �an,and Defense mechanisms,and avoidance 4 1 3 -4 1 5 Economic stratification,209 and developing countries, 398-399, Early childhood,and personality 268-269,298-299 120- 1 2 1 Economic progress,and Uganda, Duties,compared to rights,3 1 0-3 1 1 and their political options, 406 and their problems, 399-405 366-368 Economic problems,and technology, Drug traffic,and Colombia,432 and the family, 1 54-1 55 Declaration of Independence, U.S., and China,407-408 1 17 of the family, 1 52 and great economic problem, 324-325 and international issues, 380-394 and inequality,222-223 Earth,and its importance,28 and mathematical models, 2 and social change,79 East Asian countries,and exports,398 and natural resources, 1 1 5-1 1 7 and war,420-42 1 Ecological balance,99-100 Dictatorship Diderot,Denis, French lexicographer,27 Differential association theory, and deviance, 1 4 1 Diplomacy and North Korea, 433 and U.S. president, 374 Dirty Float,and foreign exchange rate, 392-393 Discrimination and affirmative action, 236-237 and Asians 24 1-242 elements of, 68-7 1 and ideology,371 Blacks, 232-238 Cooperation, and education, 1 88 and environment,99 and the individual,268-269 and age,226,253 Coordination social,68,71 -72 Dollar (U.S.) E Cultural relativism, 85 and its diffusion,77-78 international trade, 388 and economies, 398-399 and economics, 322 and habit, 8 1 Doha Development Round, and and economic growth, 398-399 and its characteristics,267-268 Convention and descent of primates, 39-40 and developing countries,404 Cultural objectivity, 86-86 Consumption DNA,32-33 Developing countries and breakdown of feudal system,6 1 Confucius, religious leader,298 reasons for, 1 6 1 - 1 62 Descent,and family history, 1 49- 1 50 Desertion,and divorce, 1 6 1 - 1 62 and international relations,365, and legal grounds, 1 62 387-388 and laissez-faire,326 and foreign policy, 370 in Nigeria, 289 and family, 1 60-162 Dependency,on foreign countries, Economic power cultural, 74-75 Divorce and wealth, 102 Cruelty, and divorce, 1 62 Crusades,9,25 Diversity classification,265 organization of, 322-336 defined,99 and population quality, 97-98, and global warming effect, 1 1 7 and pragmatic market economy, and pollution, 1 00-102 335-336 Economic activities, defined, 1 1 5 and production, 322-323 Economic activity, and �ercantilism, and social arrangements,322-324 325-326 Economic challenges facing U.S., 3 5 1 -356 Economic change,and political revolution, 63-65 Economic development, and geography, 9 1 -93 Economic goods and social class,2 1 1 -2 1 2 and supply and demand, 332-335 and value of college education, 205 and war,4 1 9-42 1 Economy defined, 323 and Federal Reserve Bank of U.S. (the Fed),349 and capital,324-325 and market forces, 326-327 and ethnocentrism, 85-86 and multiculturalism, 289 and anti-Semitism, 1 75- 1 76,245 and economic goods,defined, 324 of �exico, 285,4 1 2-4 1 3 of activities, 72 and holding society together,68 and �exico,28 1 ,283-285 and Arab Americans,243 and factors of production, 324-325 planned, 327-3 3 1 in a democracy,268-269 and race,226-228 and military-industrial and education, 1 98- 1 99 and labor, 324 Copernicus,Nicolaus, Renaissance astronomer, 1 8 Corruption,and developing countries, and stratification, 226 complex, 3 1 8 and ethnicity,226-23 1 and survival, 86 and the political elite,3 1 8-3 1 9 and gender, 1 99,226 and women's health, 85-86 and popular sovereignty,267-268 and minority groups,23 1 Economic growth and developing countries,398-399, 40 1-402 Cultures,and their success,85-86 and the press, 366 and �uslims,243,246-247 in �iddle Ages, 58, 62 Curriculum and pressure groups, 3 1 8-3 1 9 and older workers, 253 and planned economies,329-3 3 1 and college education,202-203 and its supremacy in U.S., 320 and religion,226 and scarce resources,325 of community colleges, 1 94 and U.S. foreign policy,376 and sexual preference,226,25 1 and stable government, 398 Covenant marriage, 162 and its difficulty, 1 97 and U.S. government structure, 30 Creationism, 37-38 and education, 1 89-1 90, 19 1 - 1 92 and Uganda,4 1 5 Crick, Francis,and DNA and high school,204-205 and its weaknesses,272 and social science,204 and where it works,269 285,400-401, 414 Courage,and social value,73 Courts,and their function in U.S., 307-309 research,32 443 Disease,and population growth, 96-97 Disney Corporation,and copyright protection, 342 pragmatic market economies and government's direct role, 343-345 and government's indirect role, 339-342 and stabilization, 348-3 5 1 unplanned, 327-33 1 Education 1 87-206. Also see Schools Economic inequality,222-223 and accountability, 1 96 Economic institutions, 322-324 and alternative learning Economic liberalization, in China, 407-408 environments, 1 98-199 and Asian students,242 444 Index Education (Continued) and charter schools, 1 96 college, 1 9 1 , 1 92 and its cost, 1 87, 1 95,204-205 Index Experimental method,and under­ Emancipation Proclamation,and Emotional disorders,and U.S. culture,74 and curriculum, 1 88-1 89, 1 9 1- 1 92, Employment,and government defined, 1 87 and democracy, 1 88- 1 89 and discrimination, 1 99 and dropouts, 1 98 and dual school system, 1 9 1- 1 93 and elective system, 202-203 (EEC), 362-362 European Monetary Union,and the euro,39 1 slavery,232 and cultural values,206 202-203 European Economic Community standing behavior,9-1 1 policy, 348 England and Industrial Revolution, 1 07 as nation-state, 3 6 1 Enlightenment,and knowledge, 26-27 Environment European Union (EU), 305 and farm subsidies,403 and foreign aid,403 and its formation, 362-363 Evolution,29-45 Family size, 1 5 1 Family 1 40-166 and aging, 1 53- 1 54, 1 59-160 and agricultural transition, 1 54 and its characteristics in U.S., 1 56- 1 5 7 and college loans, 1 60 composition of, 1 8, 1 46- 1 47 and debt, 1 54 and apes,29 defined, 1 46 and the Bible, 37-38 and divorce, 1 60- 1 62 and climate, 32 and early childhood, 1 24 and creationism,37-38 and its functions, 1 50- 1 5 1 and its future, 1 65 - 1 66 and Japan,78 and markets,6 1 Finance,and Russian government,290 Financial crisis,342-343 and China,4 1 1 and government's role,349-35 1 Financing,of education,204 Finished products,and standardiza­ tion, 1 08- 1 09 Fire and its discovery,77 and pollution, 1 00 and technology, 1 05 and equality of opportunity,204 defined,99 cultural,69 evaluation of, 1 9 5 and personality, 1 29 and fossils,35-36 and the home, 1 54- 1 5 5 and technology, 1 0 5 of governments,295 Fishing,and pollution, 1 00 and how extensive i t should be,205 and male/female roles, 1 54- 1 55 and Gregor Mendel,30 and monogamy, 1 5 1- 1 52 Fixed exchange rate,and its operation, and financing, 1 0, 1 88, 1 89, 1 90,206 and the future, 1 1 9-1 20 Environmental Protection Agency (EPA), 1 0 1 Equal opportunity names and naming systems, 1 50 and intelligent design, 38 and patriarchal structure,250 operation,390-393 and social differences, 1 25- 1 26 Food supply,and population and Blacks, 237-238 and J.B. Lamarck,29 and influence of religion, 1 84 and social mobility,2 1 4-2 1 6 of languages,79-80 and social problems,82-83 and literacy, 1 88 in U.S.,222-224 and mutation,30 and social stability, 1 52, 1 56 and natural selection,29-30 and stratification,2 1 3-2 1 4 Equal Rights Amendment (ERA) and the nation-state,3 59-3 6 1 and discrimination,247 and punctuated equilibrium, 35 and technology, 1 64- 1 65 i n Pakistan, 1 90 and its failure,8 1-8 1 social,76 and types of control, 1 49, 1 55 and population quality,97-98 and social class,2 1 3 of society, 1 43 Equal rights,and U.S. judiciary, and sociobiology,34-35 307-308 and social control, 1 88- 1 89 Equalitarian control,and family, 1 49 and social mobility, 2 1 6-2 1 7 Equality Exchange rates foreign, 380, 390-393 Exchange theory,and understanding and social promotion,201 and African-Americans, 234-237 and socioeconomic status, 2 1 1 -2 1 4 and democratic theory,268-269 and state regulation, 299-300 in educational opportunity,204 and teaching evolution,37-38 of income,328 of French government,280-28 1 and reality,3 1 7-3 1 8 of U.S. government,300, and technology, 1 9 5 and textbooks, 1 96 and unemployment, 198 and U NESCO,428-429 Educational philosophies, 1 88 Egypt behavior, 1 6- 1 7 Executive branch 303-304 Estates,type of social stratification, 210 Experimental method,and understanding behavior, Ethnic conflict,and Nigeria,286 1 0- 1 1 Ethnic hatred,and Eastern Europe, 432-433 and early civilization,49-5 1 Ethnic superiority, 227-230 and religion, 1 83 Ethnicity Exploration, and discoveries,7 7 Exports and East Asian countries,398 Einstein,Albert, 1 , 22, 1 68 defined,227 and foreign trade,380-385 Eisenhower,President Dwight D.,and and discrimination,226,228-23 1 and imports,62 military industrial complex, and hatred,229 3 1 8-3 1 9 and the nation-state,360 Elections and money,3 1 9 and political process,3 1 3 Extrasensory perception,and psychology, 1 34 and its characteristics, 275-276 defined,262 and ideology,3 7 1 and its potential revival,274 Fascist theory,and obedience to the state,274 Fast food,and culture,72 Fax machines, and working hours, 1 1 1 Fed. See Federal Reserve Bank of U.S. Federal Insurance Contributions Act (FICA),and Social Security, 346-347 Federal Reserve Bank of U.S. Federalism,in U.S.,304-305,308-309 and war,420 Factories, and culture,72 Felony conviction,and divorce, 1 62 Feminism,its history,247-248 Families,and their formation, 1 46 in U.S.,3 1 4-3 1 7 Euro Family arrangements,and divorce, Electoral reform,in Mexico,285 Fascism F EU. See European Union 299,306,3 1 2,3 1 4-3 1 5 Farm income support,and the New Deal, 79 (the Fed),349 and Russia,430 and state regulation,299-300 Electoral College,and U.S. presidency, and unmarried couples, 1 58, 1 6 3 and women i n workforce,249-2 5 1 Famine,and population growth,96 and stratification,226 and European Monetary Union, 39 1 unit of currency, 362 Europe Electricity,and its usefulness,77 and its nation-states,36 1 -363 e-mail,and working hours, 1 1 1 and optimal population,97 390-393 and hominids,3 1 -32 and industrialization, 1 1 2 and Mexico,4 1 2-4 1 3 Fiscal policy,349 1 62- 1 63 Family history,and the family tree, 1 49- 1 50 Family relationships,and technology, 1 1 0-1 1 1 Flexible exchange rate,and its growth,96 Food and canning process, 1 05- 1 06 and population size,9 1 ,94-95 Ford, Henry,American industrialist, 1 09- 1 1 0 Foreign exchange rate,390393 Foreign policy and developing countries,406 and ideology,3 7 1 and international relations, 370-3 7 1 of the United States,376-377 French Revolution,and French government,65,279-280 Freud,Sigmund,and conception of personality, 1 30, 1 3 1 - 1 3 4 Friedrich Engels,and radical reform,327 Functionalist approach,to government,257 Functionalist theory, 1 6 Fundamentalism,and Islam, 1 82-1 83 Future,of governments,295 G Gasoline,and its price, 1 02 Gautama,Shakyamuni,the Buddha, 1 72-1 73 Gays,2 5 1 Gender and discrimination, 1 74, 1 99 and upward mobility,2 1 5 Gene splicing and the future, 1 20 and social change, 1 1 0 and technology, 1 05 General Agreement on Trade and Tariffs (GATT),and trade barriers,388 General Assembly,of U.N.,423-424 General Educational Development (GED), and high school equivalency, 1 98 Genetic engineering,32-33,98 Genetics, 30-34 Fossil fuels,and global warming, 1 1 7 and free will,34-35 Fossils,39-40,4 1-42 and social adjustment, 1 3 1 France and its government,269,279-28 1 Genes,32-33 Geography as nation-state,36 1 defined,8 and United Nations Security and emigration,79 Council,423-425 Fraudulent contract,and divorce, 1 62 Free will,and genetics,34 Freedom of speech,267 Freedom of the press and democracy,269 and its dilution,275 and its exercise,3 1 7 Freedom and foreign policy,37 1-37 1 and human environment, 1 1-29, 89-90 and national power,367-368 and political power, 365 and social change,77,79-80 and students' knowledge,89-90 and trade, 79 Geopolitics,and security, 3 7 1 Fertile soil,and ecological balance, 99-100 and controlling behavior, 1 23- 1 24 Global corporations,defined,3 8 1 and its curtailment in a democracy, Global warming Feudalism and its responsible exercise, and its breakdown,6 1 -62 268 3 1 0-3 1 1 development of,56-57 and U.S. culture,74-75 and its economic system,325-326 and U.S. government,259-260 445 and "cap-and-trade" approach, 1 0 1 - 1 02 and Clear Skies Initiative, 1 0 1- 1 0 2 and ecological effects,99-1 00, 1 1 7 446 Index Global warming (Continued) Index Greek civilization, and history of modern civilization, 52-54 and Kyoto Protocol, 1 0 1 and Copenhagen Summit, 1 1 7 Greek philosophy, and golden Gross domestic income, of developing countries, 398 defined, lll, 354 and the economy, 353-355 law, 422 Group living, as alternative to Growth Golden age, 76 and China, 408-4 1 1 , 433 Gore, Albert, and candidacy for U.S. and developing countries, 397-399 president, 303 Gospels, and Christianity, 1 77-1 78 and population, 9 1 -93 Gould, Stephen Jay, 35-37 and productive efficiency, 1 1 3 inequality, 223 ics, 326, 330-332, 340-342 Government. Also see World government Government Imports, 380-387 and exports, 62 Income distribution and factors affecting it, 2 1 9-220 Industrialism and crowding of cities, 1 1 3 and restrictions, 385-386 and mass production, 1 08-1 1 0 and its terminology, 380 and government, 345-346 Inequality, policies to reduce, 223 Holy Roman Empire, and its and oil in Saudi Arabia, 293 Infant industry, and tariffs, 387 and family life, 1 6 5 in U.S., 2 1 3, 222 Infanticide, and social values, 74-75 and flexible working hours, authority, 36 1 Home schools, 1 9 5 Homeland Security Department, and War on terrorism, 376-377 Hominids, 39-45 Homo erectus, 4 1-42 Homo habilis, 4 1 -42 Income inequality, and government policy, 223 Income redistribution, and poverty, 2 2 1 -223 inequality, 223 and range of workplace, 102 and social change, 1 1 0-1 1 1 and income inequality, 223 related to Social Security tax, 252-253 Income H Horizontal Mobility, 2 1 7 and African-Americans, 234 Haiti, and military power, 366 House Committee on Un-American and Arab Americans, 243 Activities, and political and Chicanos, 240-2 4 1 harassment, 272 and developing countries, 397-398 Instability, and French governments, 280 Institutional Revolutionary Party 73-74, 79-8 1 Intellectual property rights, and and subjective measurement, 1 3 1 Human Genome Project, 32-33 and education, 2 1 6-2 1 7 Intelligence tests, 1 35- 1 38 Invisible hand, and markets, 326-327 Intelligence, 69 IQ test (Intelligence Quotient), income inequality, 223 and average levels, 137-138 and communication, 83-84 Hazardous waste disposal, and and inequality, 2 1 9-223 and its measurement, 135-139 and social class,2 1 3-2 1 4 and nature/nurture debate, 1 30 and social mobility, 2 1 5 and its qualities, 1 38 ecological balance, 100 and evolution 37-45 Human resources, and public schools, 1 88- 1 89 Head Start, and U.S. education, 1 93- 1 94 Human rights, and social science, 373 Health care defined, 257 and its expense, 353 and direct role in economy, 343-345 and size of population, 9 1 , 94 Health insurance, and Human skills, and machines, 1 1 1- 1 1 2 Humanist approach, and understand­ ing behavior, 1 30 government, 26 1 Health Humans and socioeconomic status, 2 1 1 -2 1 2 and stratification, 2 1 5-2 16, 2 1 8-223 and upward mobility,2 1 5-2 1 6 and women's pay, 248-249 Interactive information systems, and technology, 105 Interchangeability, and production of machine parts, 108-1 1 0 344 and uniqueness, 44 and caste system, 1 7 1 - 1 72, 2 1 0-2 1 1 and religion, 78, 1 69-1 70, 1 84-1 85 and social culture, 85-86 Hundred Years' War, 58 and cultural differences, 75, 36 1 Intermarriage, and Jews, 246 and how it rules, 274 and social value, 73 Hungary, and transitional and domestic conflict, 86 International debt, and outstanding views of, 262-266 Grade school, 1 93 Granada, and U.S. invasion, 3 1 6 Gray Panthers, and senior citizens, 252 Great Britain and democratic government, 3 1 1 -3 1 2 Great Depression. Also see Depression and foreign trade, 386-387 and Social Security, 346 Greece and contribution to knowledge, 25 and its decline, 76 and international law, 422 426-428 environment, 1 25- 1 26 Heredity and its aftermath, 4 1 8-4 1 9 and internal unrest, 436 and the arts, 1 84 and population quality, 97-98 in transition, 6 1 -65 Iraq War of 2003 and European nations, 368-369 and its primary functions, 258-261 economy, 33 1 and Russia, 290 and United Nations, 422 Interest, and government expense, and birth control, 93-94 Hussein, Saddam, 258, 366, 4 1 8-4 1 9 , 436 Iraq War, India and language, 43 and sugar, 197 1 35-1 39, 142 Iran, and nuclear weapons, 4 1 9, 428, Interest rates, and monetary policy, 349 and old age, 252 Hereditary characteristics, and the and Uganda, 41 4 Incompatibility, and divorce, 162 local complexity in U.S., 83-84 and spread of ideas, 78 foreign, 380 and economy, 343-350 and happiness, 323 and its stability, 398 and developing countries, 40 1 -404 Housing, and social class, 2 1 3 and government redistribution, 2 6 1 and its forms, 266-276 107 Investment and economics, 323 Human origins, 29-37 and indirect role in economy, 339-345 society, 1 43 Invention,and Industrial Revolution, (PRI), and Mexico, 285 Institutions, and cultural stability, Human nature, its development, 69 and early civilization, 49-5 1 and stalkers, 1 1 5 Interrelation,of individuals with Instinct, and personality, 128 Hawaii, and U.S. acquisition, 376 345-35 1 and public opinion, 3 1 7 Insecurity, and social change,8 1 -82 Hate crimes, and their penalties, 2 5 1 as cultural universal, 7 4 and human interaction, 28 Income tax and progressive system in U.S., 346 and how to achieve it, 1 3 1 Inheritance tax, and income 1 1 0-1 1 1 and globalization,ttl Insecticide, and ecology, 99-100 Homosexual identity, and nature/ Happiness 1 64-165 Income tax credits, and education, 206 Homo sapiens, 42 nurture debate, 1 29-1 30 Internet Infertility, and family technology, and collective action, 78-79 and controversial roles in economy, and peace, 394 its development, 1 07- 1 1 1 and Code of Hammurabi, 50-5 1 and control, 274 and the economy, 382-383 Holocaust, and Judaism, 1 75- 1 76 Honesty, and social value, 73 Government policy, and income Government regulation, and econom­ 82, 86, 273, 275 marriage, 1 49 Gluons, 68 Gold standard 391 -393 Hitler, Adolph, German dictator, 25, Grotius, Hugo, and international and stratification, 2 1 6-2 1 7 and technology, 1 1 1- 1 1 2 History, 8-9, 48-66 age, 76 Globalization and balance of trade, 394 Historical method, 1 7, 1 49- 1 50 447 and global warming, 1 0 1 Intergovernmental Panel on Climate Change, and global warming, 1 1 7 loans,404 and international law, 422 and Saudi Arabia, 295 and U.N., 426 and U.S. objectives, 366-367 Iraq and early civilization, 49, 50-5 1 and Indian success in U.S., 242 International law and its number system, 77-78 defined, 422 and optimal population, 97 and enforcement, 422, 429 and lawlessness, 257 and geopolitics, 37 1-371 and internal dissention, 437 and deviance, 140- 1 4 1 I and religion, 1 7 1 - 1 73 and international courts, 422-423 and the press, 366 and personality, 1 2 9 Ideas, spread of, 77-78 and religious conflict, 86, 1 83 and UN, 428-429 and UN, 426-427 Identity theft, and technology, 1 1 5 and transfer of production, 1 1 1 and war, 422 Ideology and U.S. immigration, 242 Heterosexual identity, and nature/ nurture debate, 1 29-130 High school, 1 93- 1 94 defined, 78, 262 and curriculum, 205 and political parties, 265 and GED, 1 98 and war, 276, 420 Hinduism, 1 70- 1 7 2 and caste system, 2 1 0 Hirohito (Emperor), and Japanese religion, 1 7 1 Hispanics, 238-241 Institutions, social, 68, 72 Illegitimate Opportunity Theory, and deviance, 1 42 Immigration, 243-246 Asian 2 4 1 -242 Individual responsibility, and democracy, 268 Individuality, and education, 188 Industrial Revolution, 64-65 and population growth, 94-95 and status of women, 1 1 0- 1 1 1 and technological development, 107, 326 International Monetary Fund (IMF) and U.S. power, 430-43 1 Iron age, 76 and foreign aid, 363 Islam. Also see Muslims and foreign exchange markets, 392 Islam, 1 70, 1 80- 1 8 5 International relations and economics, 367-368, 380-394 and the nation-state, 359-364 International trade, and Islamic law, 292-294 and nation-state, 360 and terrorism,246, 272 Isolationism and its benefits, 382-385 and trade, 380 and its development, 380 and U.S. foreign policy, 376 448 Index Index Israel. Also see Judaism Khomeini (Ayatollah), Islamic Leadership, and developing countries, 405-407 leader, 1 82 Israel and anti-Semitism, 246 King John, English king,and Magna Knowledge and U.S. foreign aid, 403 categories of, I-3, and social change,78 and the Enlightenment,26-27 and U.S. support, 295 history of,6 and weapons of mass and the Renaissance, 25-26 destruction, 365 Israeli- Palestinian conflict, 434-436 Italy, and democracy,269 government, 376 Carta, 274 and geopolitics, 3 7 1 and Palestine, 1 76,42 1 , 434-436 League of Nations, form of world Least developed countries, and United Nations, 398 Legal rights, and same-sex couples, 1 63- 1 64 Legal status,of marriage, 146-147 Koran. See Qu'ran Legislation, and political process, 3 1 3 Korea, and economic growth, 354 Legislative branch, of U.S. government, 300 Korean War, 427 Kyoto Protocol Lenin, V ladimir, Communist leader, 290,328, 37 1 and global warming, I 0 I, I I 7 and its rejection, 374 J Leptons, 68 Lesbians, 2 5 1 Japan Liberals,defined, 264 and the arts, 1 84 L and birth control, 93 Laissez-faire, and government and economic power, 368 and happiness, 1 3 1 and religion, 1 7 1 and Shintoism, 1 8 3 and U N financing, 425-426 Japanese Immigrants, 242 Jehovah's W itnesses, as minority religion,246 Job market and African-Americans, 234-237 and Chicanos,240-24 1 and senior citizens,253 and women,247-25 1 regulation,326-327 Labeling theory, and deviance, I4 I - 1 42 Labor force, and transition from land attachment, 6 1 -63 Labor unions Libertarians,defined, 264 Lincoln, Abraham,and slavery, 232 Literacy, and U.S. education, 1 8 8 Longevity, 2 5 1 ,397-398 modern state, 6 I -62 Labor-saving devices, and family persecution, 272 and U.S. foreign policy, 377 Mores industrialization, 1 09 social, 68, 7 1 -72 technology, I65 rights, 63,274 Land ownership, and social unrest in Mexico, 285 Language theor�96-97, 404 Multiculturalism, and democracy, 69-70, 1 98, 289 and feudalism, 6 1 -62 and monotheism, 1 7 1 and cultural change, 79-80 and the roles of government, and its prominence, 1 70 and variety in China, 408 and democracy, 432 and developing countries, 397-398 and Hispanics, 239-24 1 339-35 1 and supply/demand, 332-335 Marriage with blood relatives, 1 48 and choice of mates, 48-149, 1 57,238 (NATO) and Western nations, 429 and world government, 369-370 North Korea and earth's importance, 1 8 and growth of knowledge, 25-26 and communist government,263 N and nuclear weapons, 4 I 9, history of,56-59 Napoleon. See Bonaparte, Napoleon and markets, 325 Nationalism, and Russia, 290 Nation-state Markets and trade restrictions, 389 North Atlantic Treaty Organization in U.S. and world, 170 Myrdal,Gunnar, sociologist, 237 Nations, development of, 58 and the nation-state,36 I Agreement (NAFTA) and Mexico, 389, 4 I 3 as minority, 243, 246 Middle class, and its development, 65 3 3 1 -335 North American Free Trade and Buddhism, 1 73 Middle East Market economy and how it works, systems, I3 I - I 3 2 Norms,69, 7 1 , I 24, I 40-I42 in Middle Ages, 56 Mao Ze-dong, Chinese leader, 1 1 4, 4 1 0 economy Developing countries Normal people, and personality Muslim culture, and spread to Europe Market economy, Also see Unplanned and influence of Latin, 55 Latin America, and Christianity, 1 78- 1 79 No-fault divorce, I62 Nonindustrial countries. See Muhammad,and Islam, 1 80-1 82 Mexico,4 1 1-4 1 3 Middle Ages Magna Carta,and our modern and War on terrorism, 376-377 Nixon,Richard and the press, 3I7 and convention,8 1 Medicare, 346 Macroeconomics, 348-3 5 1 and Islam, 180 and stability,434-437 defined, 36 1 and war, 4 1 8-42 1 and its development, 63-64 Military force,and UN, 426-428 Military power,365-367 and U.S., 427-428 Military-industrial complex, and political process,3 1 3 Minorities, 226-254 and Blacks, 232-239 and international relations, 429-430, 433 Northern Ireland and religious conflict, 86, I 83 and war, 420 Nuclear conflict, and its potential, 429-430 Nuclear research, and technology, 359-36 1,422 105 and political consensus,400 Nuclear waste,and pollution, 1 00 and warfare, 65 Nuclear weapons Native Americans and Eastern Europe, 432-433 and minority grouping, 2 3 1 and Iran, 42I,428 and their 1 6th-century resources, 1 I 3 and North Korea, 430,433 and Arab Americans, 243 Natural environment, 99 and their spread, 4 I 9, 42I and Asians, 241-242 Natural selection, 29-32 and UN, 428-429 and Hispanics, 239-24 1 Natural resources, 1 1 5- 1 1 7 and war deterrent,437 and covenant marriage, 1 62 and immigration, 243-246 Latinos 24I and the family, 1 46- 1 48 and Native Americans, 2 3 1 and international trade, 383 0 Law of diminishing returns, and and polyandry, 1 47 and religious groups, 246-247 and population growth, 97 Obama, Barack, and stability, 398, 432 Keynesian view, 349 Monroe [James], U.S. President, Microeconomics 347-348 and the Holocaust, 1 7 5- 1 76 economist, 78, 349 McCarthy era,and political M and culture,72-73 and nuclear weapons, 429 and terrorism, 4 I 8, 430 and its government, 2 8 1 -286 and unemployment, I I 2 and childhood, I 24- I 27 Keynes,John Maynard, British and U.S. relation to world, 4I8 Monogamy, 1 5 1- I 52 Muslims Laboring class, and development of and Osama bin Laden, 295 Monoculturalism in U.S., 70 Monotheism, and religion, 1 74 6 1-62, 325-327 363-364 (NGOs), 403 Muslims. Also see Islam and its history, 174- 1 75 and Cuban invasion, 374 and international relations, and corruption, 400 and Christianity, 1 77 Kennedy, John F., President of U.S. attacks,and government action, 260 and paper standard, 392 Matriarchy, and family control, 1 49 and distribution of income,222, 2 6 1 and multiple divisions, 272 9/II Nongovernmental Organizations and social divisions, 1 1 3 Measurement standards, and and government, 286-289 as medium of exchange, 6 1-62 and Chicanos,240 and the alphabet, 77 K individuals, 130- 1 3 1 Loyalty, to political entities, 274 and Christ, 1 74 Justice 257-259 and elections, 3 I 9 Maslow's hierarchy,and well-adjusted system, 249 Nigeria and economic wants,323-324 autocracy,271 Maththews, Burn ita S., and judicial personality, I28 New Deal, U.S. political movement, 79 Money Luther, Martin, religious leader, 59-60 Malthus,Thomas, and population 307-309 Monetary policy, 349-35 1 and African-Americans, 235 Laissez-faire,326-327, 340 Judicial review, and U.S. government, 60,270 Marxism,and totalitarian Mass production, 108- 1 1 1 Negative reinforcement, and Monarchy, as form of government, and social change, 79 Johnson,Lyndon B., U.S. President, and race, 175 327-328,372 Mercantilism,and economic activity, Majority rule, and democracy, 268 and its belief system, 1 74-175 and communism, 78-79, 2 1 8, Locke, John, political theorist, 262 Lombroso, Cesare, 1 40 Monaco, as nation-state, 359 Marx,Karl, 2 1 8 Mendel, Gregor,30 Labor unions,and unemployment, Il2 Judaism. Also see Israel rearing, 1 88 Living together, 1 63 Job training,and welfare, 2 1 9 and Vietnam War, 374-375 Martin, Judith,writer on child­ intangible components, 97 and prenuptial contracts, 1 58 and senior citizens,2 5 1 -253 Natural selection, 29-32 Law of one price,354 and religious customs, 1 46-147 and sexual minorities,247-2 5 1 Nature/nurture debate, 1 28- 1 30 Law,international. See and same-sex couples, 1 63-1 64,251 Minority groups, defined, 23 1 serial marriage, 1 55 Moderates,defined, 264 population growth, 96 International law 449 and geopolitics, 37I Neanderthals,43,45 and immigration, 240 and military power, 366-367, 4I9 and multilateralism and cooperation,377, 23, 25, 29, 30, 36 450 Index Index Obama,Barack, (Continued) and politics,265,03, 1 9 and race relations, 238 Obesity,and nature/nurture debate, 1 30 and North Atlantic Treaty Organization (NATO),429 and trouble spots,43 1-437 and UN,423-429 Pemex,and Mexico's oil industry, 285 Occupation,and social class, 2 1 1 -2 1 4 Personal choice marriage, 1 49, 152 Oedipus complex,and Freud's Personality disorders,and psychology, 1 33- 1 34 Oil crisis,and markets, 334-335 deviance, 140 Personality systems,in Freud's analysis, 1 32- 1 3 3 Oil and the future, 1 20 Personality Population statistics,and censuses, 95-96 Population,9 1 -98 and biological quality,97-98 and control in China,94, 409-4 1 0 and developing countries, and education, 1 96, 204 and state government, 344 Psychoanalysis,and unconscious and Venezuela,432 defined, 1 23 of the world,92 Oppression,and government,263 and development, 1 27- 128 Pornography,and women,247 Optimism,and happiness, 1 3 1 the nature/nurture argument, Positive reinforcement,and understanding behavior, 1 30 Psychology, and explanation of deviance, 1 39-1 4 1 personality, 1 2 8 and mental tests, 1 35- 1 3 9 Poverty threshold,determination and socialization, 1 24-1 34 of, 2 2 1 Poverty Public assistance,and income Osama bin Laden, 1 82,295 Plague. See Black Death Outsourcing Planned economy, 329-33 1 and Asians in U.S., 242 Plastics,and their development, 1 1 6 and Chicanos,241 Public debt,and its development,65 and globalization, 1 1 1 Pluralism, and culture,70 defined,221 Public goods,and government, and income inequality, 222-223 Poland,and transitional economy, 3 3 1 and democracy, 268-269 defined,355 Ozone layer,and pollution, 1 00 Political Action Committees (PACs), and pressure groups, 3 1 9 Political consensus,and developing p Pacific Rim,and developing countries, 397-398 Pakistan and cultural differences,75 and domestic conflict,86 and education, 1 90 and immigrants, 242 countries,400 Political elite, and its composition, 3 1 8-3 1 9 Political influence,and senior citizens, 253 Political organization,and Greek civilization, 52 and optimal population,97 Political parties,in U.S., 3 1 3-3 1 4 and religious fights, 86 Political power,364-370 Palestine, and Israel, 176,42 1 , 434-436 Paradigm, 1 1 Parliamentary government and its distribution in U.S. among branches,305-307 Political process,and pressure groups, 3 1 8-320 in France,280 Political theory,defined, 262 and Great Britain, 303 Politics and its origin,65 defined,262 and stratification, 220-222 inequality,222 343-344 Public opinion and political power, 365-366 Power elite,and government, 267 Power,political. See Political power Public schools and their development, 1 8 8- 1 9 1 Power, 364-368 and the press,3 1 7 Recession and economics, 348-350 Reformation (the) and Christianity, 1 79- 1 80 1 05- 1 06 Presidential power and technology, 1 1 3 Restrictive covenants,and African­ Americans, 23 7 Retirement and government,2 6 1 and senior citizens,252-253 Revenue, of U.S. government, 344,356 Regional governments,and Nigeria, 289 Revolutionary War,and American independence, 306 Regulation, and government,260-2 6 1 ,264-265 Right to vote,and women,247 economic,340-342 Rights,compared to duties, 3 1 0-3 1 1 and special interests,342 Religion, 1 68- 1 8 5 and Christian Coalition, 265 and Confucianism, 1 7 1 Roman Empire, 54-56,76 Romania and overthrow of autocracy,27-28 and transitional economy,3 3 1 Roosevelt, Franklin D.,U.S. president, 346,423 and control in Middle Ages, 58 and Christianity, 1 79- 1 80 and critical thinking,60 and material success, 1 83 and culture,69,74,78 Russia and ethnic unrest,430 and its government, 279,289-292 defined, 1 69 Presidential government,and U.S., 303-304 and power, 368 Protestant, 59-60 and civil rights, 1 84 marriage, 1 5 8 and economic goods, 324-325 Refrigeration, and food preservation, Punishment,and strengthening Puritans Resources and change,84 and war, 42 1 335-336 classification, 265 Residence,and social class, 2 1 3 Referendums,and elections, 3 1 5 and Christianity, 1 77-1 8 0 Prenuptial contracts,and Republicans,and their government,2 6 1 Puerto Rico 239-241 behavior, 1 28-1 29 and ethnic division, 272 and lawlessness, 258 Redistribution of wealth,and and autocracy,272-276 Pragmatic market economy,326, quality,97-98 Republic of Congo 227-228,230 and technology, 1 OS Psychoanalytic approach,and Americans, 238 Reproductive rights,and population Radicals,defined,265 Pseudostudies, 1 2 mental processes, 1 32 Reparations,and African­ and upward mobility, 2 1 5 Racial superiority,and its discredit, and power,368 and waste, 97 Philosophy,and social science,27 in Middle Ages, 56-58 Property taxes Reactionaries,and government, 264 and culture,69 Pessimism,and reality, 1 3 1 and unemployment, 235 Reagan,Ronald,U.S. President, and Mexico's oil industry, 285 368,38 1 and economic goods, 324 Protestant ethic,and success, 1 83 and Uganda,4 1 3-4 1 4 Countries (OPEC), and its power, and stratification,226 Protestants, 1 70- 1 7 1 , 1 79 397-398,404 and good adjustment, 1 30 1 28- 130 and poverty, 2 2 1 and early civilization, 50 and Malthusian theory, 96-97 and geopolitics, 37 1 Organization of Petroleum Exporting Property rights and discrimination, 226 Q Qu'ran,Islam's scriptures, 1 80- 1 8 1 , 451 Rwanda,and civil war, 258, 432 as divisive force, 86 and government, 1 69-1 70, 1 84- 1 85 s Quakers,and Christianity, 1 80 and human evolution, 37-38 Same-sex marriage,in U.S. Presidential system,in Nigeria, 289 Quarks, 68 and marriage, 146-147 Pressure groups Quotas, 388 and minority groups,246-247 Saudi Arabia, 292-295,436 Sayyid Muhammad Husayn Fadlallah, 292-293 in Mexico, 285 in U.S., 302-309 and political process,3 1 3,3 1 8-320 and globalization, 390 and private schools, 1 95 and technology, 1 20 and immigration, 243-244 and the Reformation, 59-60 and Shintoism, 1 7 1 1 63- 1 64 Islamic scholar, 1 82 School choice, 1 96 and economics,386 Prices,and tariffs, 387 and government regulation, 342 and foreign policy, 370-37 1 Private schools, 1 95-1 97 R and social change, 1 8 3- 1 84 School enrollment, 1 9 1 , 1 96 and income inequality,223,345 and war,4 1 9-420 Privatization Race and its social influence, 26 Schools. Also see Education; Private Patents Patriarchy,and family control, 1 49, 1 52-153 Patriot Act,and terrorism, 3 1 1 Peace and the cold war,376 and diplomacy,42 1 and Eastern Europe,432-433 Pollution, 1 00-102, 1 1 6, 1 20 and costs, 1 20 and economic goods, 325 Polygamy, 147 Popular sovereignty,in a democracy, 267-268 Population growth,93-95 and government order, 258 and Industrial Revolution,94 and international law,422-423 and senior citizens,252-253 of education, 1 96 and classification,226-227 and Taoism, 1 7 1 of public utilities, 260 and college admission, 236-237 and war, 1 68, 1 84-1 85,420 Professional opportunity, and AfricanAmericans, 237 Profit,and production, 326 Profits,and tariffs,387 and culture, 226-228 Renaissance and college curriculum, 202-204 and democratic structure, 1 9 1 - 1 92 and discrimination,226-23 1 and change, 84 and educational opportunity, and its characteristics, 59-6 1 and how good are they, 1 99-202 and Christianity, 1 79 and private schools, 1 95-1 97 204,236 Proletariat,defined by Karl Marx,2 1 8 and Judaism, 1 7 5 and its Greek origins, 53-54 Propaganda,and public opinion, and marriage, 233,237,2 3 8 and growth of knowledge,25-26 275,366 schools; Public schools Schools and mixtures of,2 3 3 ,237 Rent,and economics, 324 and U.S. system, 1 88- 1 94 Scopes, John, and human evolution, 37 452 Index Second Continental Congress, and U.S. government, 298 Secretariat, of U.N., 424 Security Council and peacekeeping, 426 and UN's members, 423-424 Security Index philosophy, 27 and property tax, 1 96 and age, 2 5 1 Transgender, 2 5 1 and supply-side argument, 223 and its terminology, 22 and caste system, 2 1 0-2 1 1 Transition, from planned to un­ and U.S. government, 30, 34, and value judgments, 373 Social Security, 346-347 233-235 Self-actualization, and healthy personality, 1 3 1 Separation of powers, and U.S. government, 305-309, 374-376 Seventh Day Adventists, as minority religion, 246 Sewage, and pollution, 1 00 Sexual codes, and their complexity, 1 57- 1 59 Sexual preference, and discrimination, 226 Sexually transmitted disease, and sexual codes, 1 57-1 58 and international law, 422-423 and agriculture, 48-49 and economic inequality, 209, and presidential power, 374 and class structure, 1 1 4-1 1 5 and UN, 429 Social values, and determination 2 1 8-223 by ethnicity, 226 U.S. Census Bureau, and classification of race, 227 U.S. Constitution and U.S. Treaties defined, 209 Social stratification, 209-2 1 4 Segregation, and African-Americans, 346-347 Technology, 1 05- 1 2 1 and government, 261 and geopolitics, 37 1 and government, 258 and class consciousness, 2 1 7-289 by culture, 226 planned economies, 3 3 1 and the New Deal, 79 and foreign policy, 370-37 1 and the nation-state, 368-370 Stratification and scientific method, 8 government, 260 U.S. dollar, as international reserve currency, 390 U.S.-Iraq wars, and their results, and computers, 335 Tribal foundations and ecology, 99-1 00 and Nigeria, 286 United States. Also see U.S. and Uganda, 4 1 3-4 1 4 United States 4 1 8-4 1 9 and family, 2 1 3-2 1 4 and economic goods, 324 Socialism, 1 1 4- 1 1 5, 327-329, 399, 406 and former Soviet Union, 230 and education, 1 9 5 Socialization and globalization, 2 1 6 and the family, 1 64- 1 6 5 and adjustment, 69, 1 23- 1 27 and mobility, 2 1 4-2 1 7 and Industrial Revolution, 64-65, defined, 69 and poverty, 220-222 and education, 1 88-1 89 and race, 226 and pollution control, 100- 1 0 1 and personality development, and T he Social Register, 2 1 6 and population growth, 94, 96-97 and wages, 2 1 7 and happiness, 1 3 1 and rapid change, 83 and global warming, 1 1 7 and the study of personality, and governmental structure, of their validity, 86 1 27- 1 30 Sociobiology, 3, 34-35, 1 40 Subsidies, and restriction o n international trade, 385-386 Somalia, and lawlessness, 258, 259 South Africa and international law, 423 Soviet government, and current Russian government, 290 Sudan, and civil war, 432 Sunni Muslims and Islam, 1 82, Supermarkets, 1 06-1 07, 295 Superpower, as political phenomenon, 65 Soviet Union (former) and cultural problems, 36 1 Supplemental Security Income, and income inequality, 222 and end of its existence, 290, 290 Tribal heritage, and Saudi Arabia, and Bill of Rights, 299 292 and its colonial roots, 298-299 Truman Doctrine of 1 947, and U.S. 1 07-1 1 1 , 326 and Declaration of Independence, foreign policy, 376-377 298 Twins and social change, 75-76, 1 05 and developing countries, 403 1 29- 1 30 299-3 1 2 Teenage pregnancy, and singles, 1 58 Ten Commandments, and religion, 1 74 Terrorism and Eastern Europe, 432-433 and income security, 342, 348 u and judiciary review, 307-309 U.S. president and military power, 365-365, and foreign policy, 374-376 365-366 and his/her powers, 374-375 and Iran, 436 U.S. Senate, and treaties, 374 and Islam, 246 U.S. society, and its goals, 86 and Osama bin Laden, 295 Uganda and political elite, 3 1 7-3 1 8 and political action committees, 319 and political process, 3 1 2-3 1 8 Shiite Muslims and Islam, 1 8 1- 1 82 and planned economy, 325 Supply and demand, 332-335 and Patriot Act, 3 1 1 and stratification, 230 Supply -side argument, and taxes, 223 and autocracy, 272 Shintoism, 1 7 1 , 1 8 3 and U.S. government, 260 and regulation, 340-342 and its characteristics, 4 1 3-4 1 5 and its revenue, 344 Shortages, and planned economies, 330-3 3 1 Siddhartha, and Buddhism, 172- 173 Singles, and family, 163 Slavery and Blacks, 232 Smith, Adam, and development of modern Western economies, 326 Social adjustment, and its meaning, 1 3 1 Social change, 75-80 and factors stabilizing culture, 8 1 and its problems, 82-84 Soviet-style socialism, and why it Special Drawing Rights, and foreign and test scores, 1 99-20 1 and ecology, 99 Republics), and its breakup, income inequality, 222 65, 289 Unemployment and African-Americans, 234 v and development of modern states, by race and age group, 235 Vatican City, as nation state, 360 Sri Lanka, and cultural problems, 36 1 Survival, and interaction of cultures, 86 Stalin ( Joseph), Soviet dictator, 82, 372 Switzerland, and cultural problems, Standardization and industrialism, 107- 1 1 1 Standards, for teachers, 206 Social science State and local government, 299-300, 304-306, 3 1 5-3 1 7 Symbolic interaction theory, 1 6 and Japan, 362 and laissez-faire, 327-328 in Middle Ages, 57-58 Viruses, and ecological balance, 1 00 T and machines, 1 1 2 and its origins, 52 Voting, 3 1 4-3 1 7 Taiwan, and China, 4 1 1 , 433 and stabilization, 348 and production of economic goods, and African-Americans, 232 and tariffs, 387 and the political process, 268 Taoism, 1 7 1 , 408 Tariffs defined, 386 325-326 Trade barriers, and developing countries, 403 and European Union, 403 Trade balance, 38 1-385 Trade restrictions, 388-390 and development of, 25-27 Statistics, 1 8-2 1 and prosperity, 1 0 evolving, 4 Steam engine, and Industrial and wages, 387 48-49 Vietnam war, and U.S. foreign and government regulation, 261 and "infant industry;' 387 Strain theory, and deviance, 1 42 Venezuela, 4 1 9, 432 Vested interest, and social change, 82 and education, 1 98 State, and nation-state, 360-362 Revolution, 107 and calculating rate of, 18 and depression, 348 international, 380 definition, 1 Stone Age, and technology, 45, 6 1 -64 and the European Union, 362 and isolationism, 380 361 Standard of living Social mobility, 2 1 4-2 1 7 methodology, 1 0- 1 6 Unemployment insurance, and and population theory, 97-98 and industrialism, 1 08 and humanities, 2-3 Trade Urban society, and the family, 1 54 USSR (Union of Soviet Socialist Speech, and culture, 69 and developing countries, 402 and Greek thinkers, 2 5 27 1 -273 Undocumented aliens, 245-46 University system, 4-5 and China, 362 and technology, 1 05, 1 1 3, 1 20- 1 2 1 history of, 4-5 Totalitarian autocracy, and its goals, 331 and evolution, 34 and social mobility, 2 1 6 alternative approaches, 6 and school financing, 204 Ukraine, and transitional economy, Specialization, and education, 1 87 and class consciousness, 2 1 7-2 1 8 Social inequality, 222-223 for intelligence, 1 35 Survival of the fittest, in U.S., 3 1 8-3 1 9, 342 Testing and civil rights, 233, 236-238, 25 1 in U.S., 307-309 exchange, 392 Special interest, and pressure groups and religion, 1 8 3- 1 84 Social class, 2 1 0-2 1 4 Supreme court failed, 330-33 1 453 Taxes. Also see Income tax Taxes and government, 2 6 1 , 263 and progressive system, 223 and General Agreement on Trade and Tariffs (GATT), 388 "Tragedy of the commons;' and pollution, 1 0 1 Transactional analysis, and personality, 134 and technology, 1 1 1 -1 1 2 Unfunded mandate, defined, 340 Unilateral method, and counting policy, 376 and popular sovereignty, 267-268 and women's right, 247 Vouchers, and public education, ancestors, 1 49-150 345 UN. See United Nations United Nations 423-429 And global warming, 1 1 7 w Wages and Middle East, 434-437 and globalization, 1 1 1- 1 1 2 and U.S. opposition, 426 and income inequality, 222 and world government, 369 and industrialism, 1 08 U.S. Also see United States and tariffs, 387, 388 454 I ndex War on Terror, 430, 437 and Arabians, 243 and Homeland Security Department, 376-377 and independent countries, 363-364 and individual liberties, 23 1 and Islamic supporters, 272 and Russia, 290 War Wealth of Nations, by Adam World government Smith, 326 and North Atlantic Treaty and Iraq,365, 427 and balance of power, 369 and its causes, 4 1 9-42 1 and the future,429-43 1 and League of Nations,423 ( ERA ) , 8 1 , 22 1 , 247 and Industrial Revolution, 1 1 0 and economic power,366-367 and Israel/Palestine, I 76- 1 77, and legislatures,248 and geopolitics,3 7 1 and Japanese i n U.S., 242 and right to vote,3 1 4 and U.N.,423 and nation states,58 and Saudi Arabia, 294 and U.S. involvement,376 Persian Gulf War of 1 99 1 , 293,307 and social change, 8 1 and Vietnam,3 16 , 374 Washington,George, U.S. Presidm.t, and foreign policy, 377 p. 1 73 photo by Robert Reiff; p. 1 75 © Lawrence Migdale/Photo Researchers, Inc.; pp. 1 77, 366 (bottom) © Reuters/CORBIS; p. 1 8 1 © Ami Vitale/Getty Images; p. 1 88 © James Stevenson/Conde Nast Publications./ www.cartoonbank.com; p. 1 90 The St. Louis Art Museum. Museum purchase ( # 1 23: 1 946 ) ; p. 1 93 Reprinted by permission of OECD; p. 1 97 © Fabian Falcon/Stock Boston; p. 2 1 1 © Pablo Bartholomew/ Getty Images; p. 2 1 8 © Lisa Law/The Image Works; p. 2 1 9 (bottom) © Flirt/SuperStock; p. 229 © Damir Sagoli/REUTERS; p. 234, 275 © Syndicated Features Limited/The Image Works; p. 238 © M. Spencer Green/AP Images; p. 244 © Eric Writing and workforce, 248-25 1 Gay/AP Images; p. 250 © Michael Newman/PhotoEdit; p. 259 © Xinhua/AP Images; p. 267 © Leslie Stone/The and the alphabet, 77 Women's liberation. See Women as Image Works; p. 273 © Dana Fradon/Conde Nast Publications/www.cartoonbank.com; p. 283 © Fernando and culture, 72-73 Vergara/AP Images; p. 286 © Marco Ugarte/AP Images; p. 288 © AFOLABI SOTUNDE/Reuters/Landov; p. 303 minority group © Dr. Billy Ingram/Wireimage/Getty Images; p. 3 1 3 © Steven Senne/AP Images; pp. 326, 328 Library of Woods,Tiger, and his heritage, 227 y Work week,and machines, 1 1 2 Yar'Adua, Umaru,President of Work Congress, Prints and Photographs Division,Washington, D.C.; p. 330 © Keren Su/CORBIS; p. 3 3 1 © Jeff Greenberg/PhotoEdit; p. 334 © Benoit Roland/ The Image Works; p. 341 "Your Hamburger; More Than 4 1 ,000 Nigeria, 287-289 Regulations" (Health and Nation and World) February 1 1 , 1 980 Copyright © 1 980 Reprinted by permission of and children, 1 54 and disruption of family life, 1 1 3 US News & World Report; p. 352 © z and illegal aliens, 245-246 Zionism, and Israel, 434 Watson, James, and DNA researa, 32 and modern industrial World governments, 295 society, 1 1 3 www.CartoonStock.com. Reprinted by permission; p. 366 (top) © ATEF SAFADI!epa/CORBIS; p. 375 © Mark Godfrey/The Image Works; p. 384 © Bob Daemmrich/The Image Works; Zen Buddhism, 1 7 , 1 84 Water resources, and pollution, 11)0 Wealth and social mobility, 2 1 5 © Laura Dwight/Stock Connection; p. 165 © 20 10: Reprinted courtesy of Bunny Hoest and Parade Magazine; units, 65 as minority group, 247-25 1 374-376 Springer- Verlag. Reprinted by permission; p. 148 © Dinodia Photo Library/The Image Works; p. 1 52 (bottom) and development of new political Mexican-American War,283 and U.S. presidential power, p. 136 From The Structure and Measurement of Intelligence, by Hans J. Eysenck. Copyright © 1 979 by and democracy vs. fascism, 262 and the family, I S S and U.S. invasion of Granada,l i 6 (right) © Roger Ressmeyer/CORBIS; p. 127 © Alinari/Art Resource, NY; p. 1 34 © Lara Jo Regan/Getty Images; and conflict of ideologies,275-276 and Islam, 1 82-1 83 and technology, 1 09 Olsen; p. 1 0 1 © Paul Fortin/Stock Boston; p. 1 1 0 © Peter Menzel/Photo Researchers,Inc.; p. 1 1 4 Reprinted through the courtesy of Harry J. Gray, Harry J. Gray Associates; p. 1 1 9 (left) NASA ( #STS I 1 2-E-05823 ) ; p. 1 1 9 World War II and international relations, 4 H--423 and religion, 1 68, 1 84- 1 85 Inc.; p. 98 © Lee Lorentz/Conde Nast Publications/www.cartoonbank.com; pp. 99, 325 photos by Lisa Emily and U.S. participation,376 and their earnings,248-249 and population growth, 96 Report. Reprinted with permission; p. 92 Courtesy of NASNJPL!Caltech; p. 93 © Bettye Lane/Photo Researchers, and the Russian Empire,290 and international law, 422-423 434-437 p. 80 "Language Tree" (Health and Nation and World) November 5, 1 990 Copyright 1 990 US News & World and European organization, 65 Women and Equal Rights Amendment p. 61 Culver Pictures; pp. 63, 1 72 photos by Helen Reiff; pp. 72, 1 76, 239, 253, 290, 293, 3 1 5, 424 AP Images; World War I 267-269 and armed forces, 247-248 1 79 (top), 1 89, 2 1 3, 2 1 9 (top), 247, 365 photos by the authors; pp. 59, 77, 96, 232, 3 1 0 © Bettmann/CORBIS; and Saudi Arabia,294 Western ideology,and democracy, and the cold war,3 76 (bottom) © Foto Marburg/Art Resource, NY; pp. 55, 74 (top) 1 00, 1 24, 1 52 (top), I S S , 1 57, 1 70 (left & right), and international trade, 388 295 and Christianity, 1 84- 1 85 Cohn/ The Gorilla Foundation/koko.org; p. 50 (top) American Museum of Natural History,#3 1 935; p. 50 World Trade Organization (WTO) diffusion, 77-78 and American Revolution, 306 McCarthy/CORBIS; p. 34 © Donald Reilly/Conde Nast Publications/www.cartoonbank.com; p. 44 © Ron and United Nations, 369, 423-429 Westernization, of Saudi Arabia, Western civilization, and cultural p. 1 3 © J.B. 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