4.2: The Self and Socialization

4.2.1: Dimensions of Human Development

Learning Objective

Analyze the differences between the various stages of human life – prenatal, toddler, early and late childhood, adolescence, early and middle adulthood and old age

Key Points

• The stages of human development are: prenatal development, toddler, early childhood, late childhood, adolescence, early adulthood, middle adulthood, and old age.
• Prenatal development is the process in which a human embryo gestates during pregnancy, from fertilization until birth. From birth until the first year, the child is referred to as an infant. Babies between ages of 1 and 2 are called “toddlers”.
• In the phase of early childhood, children attend preschool, broaden their social horizons and become more engaged with those around them.
• In late childhood, intelligence is demonstrated through logical and systematic manipulation of symbols related to concrete objects.
• Adolescence is the period of life between the onset of puberty and the full commitment to an adult social role.
• In early adulthood, a person must learn how to form intimate relationships. Middle adulthood refers to the period between ages 40 to 60.The final stage is old age, which refers to those over 60–80 years.
• In early adulthood, the person must learn how to form intimate relationships, both in friendship and love.
• Middle adulthood generally refers to the period between ages 40 to 60. During this period, middle-aged adults experience a conflict between generativity and stagnation.
• The last and final stage is old age, which refers to those over 60–80 years.

Key Terms

diurnal

Happening or occurring during daylight, or primarily active during that time.

Prenatal development

Prenatal development is the process in which a human embryo gestates during pregnancy, from fertilization until birth.

The dimensions of human development are divided into separate but consecutive stages in human life. They are characterized by prenatal development, toddler, early childhood, late childhood, adolescence, early adulthood, middle adulthood, and old age.

Prenatal development is the process during which a human embryo gestates during pregnancy, from fertilization until birth. The terms prenatal development, fetal development, and embryology are often used interchangeably. The embryonic period in humans begins at fertilization and from birth until the first year, the child is referred to as an infant. The majority of a newborn infant’s time is spent in sleep. At first, this sleep is evenly spread throughout the day and night but after a couple of months, infants generally become diurnal.

Human Embryogenesis

The first few weeks of embryogenesis in humans begin with the fertilizing of the egg and end with the closing of the neural tube.

Babies between ages of 1 and 2 are called “toddlers. ” In this stage, intelligence is demonstrated through the use of symbols, language use matures, and memory and imagination are developed. In the phase of early childhood, children attend preschool, broaden their social horizons and become more engaged with those around them. In late childhood, intelligence is demonstrated through logical and systematic manipulation of symbols related to concrete objects. Children go through the transition from the world at home to that of school and peers. If children can discover pleasure in intellectual stimulation, being productive, seeking success, they will develop a sense of competence.

Adolescence is the period of life between the onset of puberty and the full commitment to an adult social role. In early adulthood, the person must learn how to form intimate relationships, both in friendship and love. The development of this skill relies on the resolution of other stages. It may be hard to establish intimacy if one has not developed trust or a sense of identity. If this skill is not learned, the alternative is alienation, isolation, a fear of commitment, and the inability to depend on others

Middle adulthood generally refers to the period between ages 40 to 60. During this period, middle-aged adults experience a conflict between generativity and stagnation. They may either feel a sense of contributing to the next generation and their community or a sense of purposelessness. The last and final stage is old age, which refers to those over 60–80 years. During old age, people frequently experience a conflict between integrity and despair.

4.2.2: Sociological Theories of the Self

Learning Objective

Interpret Mead’s theory of self in term of the differences between “I” and “me”

Key Points

• One of the most important sociological approaches to the self was developed by American sociologist George Herbert Mead. Mead conceptualizes the mind as the individual importation of the social process.
• This process is characterized by Mead as the “I” and the “me. ” The “me” is the social self and the “I” is the response to the “me. ” The “I” is the individual’s impulses. The “I” is self as subject; the “me” is self as object.
• For Mead, existence in a community comes before individual consciousness. First one must participate in the different social positions within society and only subsequently can one use that experience to take the perspective of others and thus become self-conscious.
• Primary Socialization occurs when a child learns the attitudes, values, and actions appropriate to individuals as members of a particular culture.
• Secondary socialization refers to the process of learning the appropriate behavior as a member of a smaller group within the larger society.
• Group socialization is the theory that an individual’s peer groups, rather than parental figures, influences his or her personality and behavior in adulthood.
• Organizational socialization is the process whereby an employee learns the knowledge and skills necessary to assume his or her organizational role.
• In the social sciences, institutions are the structures and mechanisms of social order and cooperation governing the behavior of a set of individuals within a given human collectivity. Institutions include the family, religion, peer group, economic systems, legal systems, penal systems, language and the media.

Key Terms

community

A group sharing a common understanding and often the same language, manners, tradition and law. See civilization.

socialization

The process of learning one’s culture and how to live within it.

generalized other

the general notion that a person has regarding the common expectations of others within his or her social group

The self

The self is the individual person, from his or her own perspective. Self-awareness is the capacity for introspection and the ability to reconcile oneself as an individual separate from the environment and other individuals.

Example

• The processes of socialization are most easily seen in children. As they learn more about the world around them, they begin to reflect the social norms to which they are exposed. This is the quintessential example of socialization, though the same process applies to any newcomer to a given society.

Sociological theories of the self attempt to explain how social processes such as socialization influence the development of the self. One of the most important sociological approaches to the self was developed by American sociologist George Herbert Mead. Mead conceptualizes the mind as the individual importation of the social process. Mead presented the self and the mind in terms of a social process. As gestures are taken in by the individual organism, the individual organism also takes in the collective attitudes of others, in the form of gestures, and reacts accordingly with other organized attitudes.

George Herbert Mead

George Herbert Mead (1863–1931) was an American philosopher, sociologist, and psychologist, primarily affiliated with the University of Chicago, where he was one of several distinguished pragmatists. He is regarded as one of the founders of social psychology and the American sociological tradition in general.

This process is characterized by Mead as the “I” and the “me. ” The “me” is the social self and the “I” is the response to the “me. ” In other words, the “I” is the response of an individual to the attitudes of others, while the “me” is the organized set of attitudes of others which an individual assumes. The “me” is the accumulated understanding of the “generalized other,” i.e. how one thinks one’s group perceives oneself. The “I” is the individual’s impulses. The “I” is self as subject; the “me” is self as object. The “I” is the knower, the “me” is the known. The mind, or stream of thought, is the self-reflective movements of the interaction between the “I” and the “me. ” These dynamics go beyond selfhood in a narrow sense, and form the basis of a theory of human cognition. For Mead the thinking process is the internalized dialogue between the “I” and the “me. “

Understood as a combination of the “I” and the “me,” Mead’s self proves to be noticeably entwined within a sociological existence. For Mead, existence in a community comes before individual consciousness. First one must participate in the different social positions within society and only subsequently can one use that experience to take the perspective of others and become self-conscious.

4.2.3: Psychological Approaches to the Self

Learning Objective

Discuss the development of a person’s identity in relation to both the Kohut and Jungian self

Key Points

• The earliest formulation of the self in modern psychology derived from the distinction between the self as I, the subjective knower, and the self as Me, the object that is known.
• Heinz Kohut, an American psychologist, theorized that the self was bipolar, and was comprised of two systems of narcissistic perfection, one of which contained ambitions and the other of which contained ideals.
• In Jungian theory, derived from the psychologist C.G. Jung, the Self is one of several archetypes. It signifies the coherent whole, unifying both the consciousness and unconscious mind of a person.
• Social constructivists claim that timely and sensitive intervention by adults when a child is on the edge of learning a new task could help children learn new tasks.
• Attachment theory focuses on open, intimate, emotionally meaningful relationships.
• The nativism versus empiricism debate focuses on the relationship between innateness and environmental influence in regard to any particular aspect of development.
• A nativist account of development would argue that the processes in question are innate, that is, they are specified by the organism’s genes. An empiricist perspective would argue that those processes are acquired in interaction with the environment.

Key Terms

archetype

according to the Swiss psychologist Carl Jung, a universal pattern of thought, present in an individual’s unconscious, inherited from the past collective experience of humanity

affective

relating to, resulting from, or influenced by the emotions

cognitive

the part of mental functions that deals with logic, as opposed to affective functions which deal with emotions

Example

• One can see how developmental psychology has become de rigeur in changes in parenting tactics. Since the publication of these studies, parents and caregivers pay even more attention to affection and encouraging hands on play. Encouraging a child to complete an art project and hugging her upon its completion is an example of how these theories are implemented in everyday life.

Psychology of the Self

The psychology of the self is the study of the cognitive or affective representation of one’s identity. In modern psychology, the earliest formulation of the self derived from the distinction between the self as “I,” the subjective knower, and the self as “me,” the object that is known. Put differently, let us say an individual wanted to think about their “self” as an analytic object. They might ask themselves the question, “what kind of person am I? ” That person is still, in that moment, thinking from some perspective, which is also considered the “self. ” Thus, in this case, the “self” is both what is doing the thinking, and also, at the same time, the object that is being thought about. It is from this dualism that the concept of the self initially emerged in modern psychology. Current psychological thought suggests that the self plays an integral part in human motivation, cognition, affect, and social identity.

The Kohut Self

Heinz Kohut, an American psychologist, theorized a bipolar self that was comprised of two systems of narcissistic perfection, one of which contained ambitions and the other of which contained ideals. Kohut called the pole of ambitions the narcissistic self (later called the grandiose self). He called the pole of ideals the idealized parental imago. According to Kohut, the two poles of the self represented natural progressions in the psychic life of infants and toddlers.

The Jungian Self

In Jungian theory, derived from the psychologist C.G. Jung , the Self is one of several archetypes. It signifies the coherent whole, unifying both the conscious and unconscious mind of a person. The Self, according to Jung, is the end product of individuation, which is defined as the process of integrating one’s personality. For Jung, the Self could be symbolized by either the circle (especially when divided into four quadrants), the square, or the mandala. He also believed that the Self could be symbolically personified in the archetypes of the Wise Old Woman and Wise Old Man.

Carl Gustav Jung

According to Jung, the Self is one of several archetypes.

In contrast to earlier theorists, Jung believed that an individual’s personality had a center. While he considered the ego to be the center of an individual’s conscious identity, he considered the Self to be the center of an individual’s total personality. This total personality included within it the ego, consciousness, and the unconscious mind. To Jung, the Self is both the whole and the center. While Jung perceived the ego to be a self-contained, off-centered, smaller circle contained within the whole, he believed that the Self was the greater circle. In addition to being the center of the psyche, Jung also believed the Self was autonomous, meaning that it exists outside of time and space. He also believed that the Self was the source of dreams, and that the Self would appear in dreams as an authority figure that could either perceive the future or guide an individual’s present.

4.3: Theories of Socialization

4.3.1: Theories of Socialization

Socialization is the means by which human infants begin to acquire the skills necessary to perform as functioning members of their society.

Learning Objective

Discuss the different types and theories of socialization

Key Points

• Group socialization is the theory that an individual’s peer groups, rather than parental figures, influences his or her personality and behavior in adulthood.
• Gender socialization refers to the learning of behavior and attitudes considered appropriate for a given sex.
• Cultural socialization refers to parenting practices that teach children about their racial history or heritage and, sometimes, is referred to as pride development.
• Sigmund Freud proposed that the human psyche could be divided into three parts: Id, ego, and super-ego.
• Piaget’s theory of cognitive development is a comprehensive theory about the nature and development of human intelligence.
• Positive Adult Development is one of the four major forms of adult developmental study that can be identified. The other three forms are directionless change, stasis, and decline.

Key Term

socialization

The process of learning one’s culture and how to live within it.

Example

• Primary Socialization occurs when a child learns the attitudes, values, and actions appropriate to individuals as members of a particular culture. For example if a child saw his/her mother expressing a discriminatory opinion about a minority group, then that child may think this behavior is acceptable and could continue to have this opinion about minority groups.

“Socialization” is a term used by sociologists, social psychologists, anthropologists, political scientists, and educationalists to refer to the lifelong process of inheriting and disseminating norms, customs, and ideologies, providing an individual with the skills and habits necessary for participating within his or her own society. Socialization is thus “the means by which social and cultural continuity are attained.”

Socialization is the means by which human infants begin to acquire the skills necessary to perform as a functioning member of their society and is the most influential learning process one can experience. Unlike other living species, whose behavior is biologically set, humans need social experiences to learn their culture and to survive. Although cultural variability manifests in the actions, customs, and behaviors of whole social groups, the most fundamental expression of culture is found at the individual level. This expression can only occur after an individual has been socialized by his or her parents, family, extended family, and extended social networks.

The looking-glass self is a social psychological concept, created by Charles Horton Cooley in 1902, stating that a person’s self grows out of society’s interpersonal interactions and the perceptions of others. The term refers to people shaping themselves based on other people’s perception, which leads people to reinforce other people’s perspectives on themselves. People shape themselves based on what other people perceive and confirm other people’s opinion on themselves.

George Herbert Mead developed a theory of social behaviorism to explain how social experience develops an individual’s personality. Mead’s central concept is the self: the part of an individual’s personality composed of self-awareness and self-image. Mead claimed that the self is not there at birth, rather, it is developed with social experience.

Sigmund Freud was an Austrian neurologist who founded the discipline of psychoanalysis, a clinical method for treating psychopathology through dialogue between a patient and a psychoanalyst. In his later work, Freud proposed that the human psyche could be divided into three parts: Id, ego, and super-ego. The id is the completely unconscious, impulsive, child-like portion of the psyche that operates on the “pleasure principle” and is the source of basic impulses and drives; it seeks immediate pleasure and gratification. The ego acts according to the reality principle (i.e., it seeks to please the id’s drive in realistic ways that will benefit in the long term rather than bringing grief). Finally, the super-ego aims for perfection. It comprises that organized part of the personality structure, mainly but not entirely unconscious that includes the individual’s ego ideals, spiritual goals, and the psychic agency that criticizes and prohibits his or her drives, fantasies, feelings, and actions.

Different Forms of Socialization

Group socialization is the theory that an individual’s peer groups, rather than parental figures, influences his or her personality and behavior in adulthood. Adolescents spend more time with peers than with parents. Therefore, peer groups have stronger correlations with personality development than parental figures do. For example, twin brothers, whose genetic makeup are identical, will differ in personality because they have different groups of friends, not necessarily because their parents raised them differently.

Gender socialization Henslin (1999) contends that “an important part of socialization is the learning of culturally defined gender roles” (p. 76). Gender socialization refers to the learning of behavior and attitudes considered appropriate for a given sex. Boys learn to be boys, and girls learn to be girls. This “learning” happens by way of many different agents of socialization. The family is certainly important in reinforcing gender roles, but so are one’s friends, school, work, and the mass media. Gender roles are reinforced through “countless subtle and not so subtle ways,” said Henslin (1999, p. 76).

Cultural socialization refers to parenting practices that teach children about their racial history or heritage and, sometimes, is referred to as “pride development. ” Preparation for bias refers to parenting practices focused on preparing children to be aware of, and cope with, discrimination. Promotion of mistrust refers to the parenting practices of socializing children to be wary of people from other races. Egalitarianism refers to socializing children with the belief that all people are equal and should be treated with a common humanity.

4.3.2: Cooley

In 1902, Charles Horton Cooley created the concept of the looking-glass self, which explored how identity is formed.

Learning Objective

Discuss Cooley’s idea of the “looking-glass self” and how people use socialization to create a personal identity and develop empathy for others

Key Points

• The looking-glass self is a social psychological concept stating that a person’s self grows out of society’s interpersonal interactions and the perceptions of others.
• There are three components of the looking-glass self: We imagine how we appear to others, we imagine the judgment of that appearance, and we develop our self (identity) through the judgments of others.
• George Herbert Mead described self as “taking the role of the other,” the premise for which the self is actualized. Through interaction with others, we begin to develop an identity about who we are, as well as empathy for others.

Key Terms

George Herbert Mead

(1863–1931) An American philosopher, sociologist, and psychologist, primarily affiliated with the University of Chicago, where he was one of several distinguished pragmatists.

Looking-Glass self

The looking-glass self is a social psychological concept, created by Charles Horton Cooley in 1902, stating that a person’s self grows out of society’s interpersonal interactions and the perceptions of others.

Charles Horton Cooley

Charles Horton Cooley (August 17, 1864-May 8, 1929) was an American sociologist and the son of Thomas M. Cooley. He studied and went on to teach economics and sociology at the University of Michigan, and he was a founding member and the eighth president of the American Sociological Association.

Example

• An example of the looking-self concept is computer technology. Using computer technology, people can create an avatar, a customized symbol that represents the computer user. For example, in the virtual world Second Life the computer-user can create a humanlike avatar that reflects the user in regard to race, age, physical makeup, status and the like. By selecting certain physical characteristics or symbols, the avatar reflects how the creator seeks to be perceived in the virtual world and how the symbols used in the creation of the avatar influence others’ actions toward the computer-user.

The looking-glass self is a social psychological concept created by Charles Horton Cooley in 1902. It states that a person’s self grows out of society’s interpersonal interactions and the perceptions of others. The term refers to people shaping their identity based on the perception of others, which leads the people to reinforce other people’s perspectives on themselves. People shape themselves based on what other people perceive and confirm other people’s opinion of themselves.

There are three main components of the looking-glass self:

• First, we imagine how we must appear to others.
• Second, we imagine the judgment of that appearance.
• Finally, we develop our self through the judgments of others.

In hypothesizing the framework for the looking glass self, Cooley said, “the mind is mental” because “the human mind is social. ” In other words, the mind’s mental ability is a direct result of human social interaction. Beginning as children, humans begin to define themselves within the context of their socializations. The child learns that the symbol of his/her crying will elicit a response from his/her parents, not only when they are in need of necessities, such as food, but also as a symbol to receive their attention. George Herbert Mead described the self as “taking the role of the other,” the premise for which the self is actualized. Through interaction with others, we begin to develop an identity about who we are, as well as empathy for others.

An example of the looking-self concept is computer technology. Using computer technology, people can create an avatar, a customized symbol that represents the computer user. For example, in the virtual world Second Life, the computer-user can create a human-like avatar that reflects the user in regard to race, age, physical makeup, status, and the like. By selecting certain physical characteristics or symbols, the avatar reflects how the creator seeks to be perceived in the virtual world and how the symbols used in the creation of the avatar influence others’ actions toward the computer user.

4.3.3: Mead

For Mead, the self arises out of the social act of communication, which is the basis for socialization.

Learning Objective

Discuss Mead’s theory of social psychology in terms of two concepts – pragmatism and social behaviorism

Key Points

• George Herbert Mead was an American philosopher, sociologist, and psychologist and one of several distinguished pragmatists.
• The two most important roots of Mead’s work are the philosophy of pragmatism and social behaviorism.
• Pragmatism is a wide-ranging philosophical position that states that people define the social and physical “objects” they encounter in the world according to their use for them.
• One of his most influential ideas was the emergence of mind and self from the communication process between organisms, discussed in the book, Mind, Self and Society, also known as social behaviorism.

Key Terms

symbolic interactionism

Symbolic interactionism is the study of the patterns of communication, interpretation, and adjustment between individuals.

social behaviorism

Discussed in the book, Mind, Self and Society, social behaviorism refers to the emergence of mind and self from the communication process between organisms.

pragmatism

The theory that problems should be met with practical solutions rather than ideological ones; a concentration on facts rather than emotions or ideals.

Example

• In Pragmatism, nothing practical or useful is held to be necessarily true, nor is anything which helps to survive merely in the short term. For example, to believe my cheating spouse is faithful may help me feel better now, but it is certainly not useful from a more long-term perspective because it doesn’t accord with the facts (and is therefore not true).

George Herbert Mead was an American philosopher, sociologist, and psychologist, primarily affiliated with the University of Chicago, where he was one of several distinguished pragmatists. He is regarded as one of the founders of social psychology and the American sociological tradition in general.

The two most important roots of Mead’s work, and of symbolic interactionism in general, are the philosophy of pragmatism and social behaviorism. Pragmatism is a wide ranging philosophical position from which several aspects of Mead’s influences can be identified. There are four main tenets of pragmatism: First, to pragmatists true reality does not exist “out there” in the real world, it “is actively created as we act in and toward the world. Second, people remember and base their knowledge of the world on what has been useful to them and are likely to alter what no longer “works. ” Third, people define the social and physical “objects” they encounter in the world according to their use for them. Lastly, if we want to understand actors, we must base that understanding on what people actually do. In Pragmatism nothing practical or useful is held to be necessarily true, nor is anything which helps to survive merely in the short term. For example, to believe my cheating spouse is faithful may help me feel better now, but it is certainly not useful from a more long-term perspective because it doesn’t align with the facts (and is therefore not true).

Mead was a very important figure in twentieth century social philosophy. One of his most influential ideas was the emergence of mind and self from the communication process between organisms, discussed in the book, Mind, Self and Society, also known as social behaviorism. For Mead, mind arises out of the social act of communication. Mead’s concept of the social act is relevant, not only to his theory of mind, but also to all facets of his social philosophy. His theory of “mind, self, and society” is, in effect, a philosophy of the act from the standpoint of a social process involving the interaction of many individuals, just as his theory of knowledge and value is a philosophy of the act from the standpoint of the experiencing individual in interaction with an environment.

Mead is a major American philosopher by virtue of being, along with John Dewey, Charles Peirce, and William James, one of the founders of pragmatism. He also made significant contributions to the philosophies of nature, science, and history, to philosophical anthropology, and to process philosophy. Dewey and Alfred North Whitehead considered Mead a thinker of the first rank. He is a classic example of a social theorist whose work does not fit easily within conventional disciplinary boundaries.

George Herbert Mead

George Herbert Mead (1863–1931) was an American philosopher, sociologist, and psychologist, primarily affiliated with the University of Chicago, where he was one of several distinguished pragmatists. He is regarded as one of the founders of social psychology and the American sociological tradition in general.

4.3.4: Freud

According to Freud, human behavior, experience, and cognition are largely determined by unconscious drives and events in early childhood.

Learning Objective

Discuss Freud’s “id”, “ego” and “super-ego” and his six basic principles of psychoanalysis and how psychoanalysis is used today as a treatment for a variety of psychological disorders

Key Points

• Psychoanalysis is a clinical method for treating psychopathology through dialogue between a patient and a psychoanalyst.
• The specifics of the analyst’s interventions typically include confronting and clarifying the patient’s pathological defenses, wishes, and guilt.
• Freud named his new theory the Oedipus complex after the famous Greek tragedy Oedipus Rex by Sophocles. The Oedipus conflict was described as a state of psychosexual development and awareness.
• The id is the completely unconscious, impulsive, child-like portion of the psyche that operates on the “pleasure principle” and is the source of basic impulses and drives.
• The ego acts according to the reality principle (i.e., it seeks to please the id’s drive in realistic ways that will benefit in the long term rather than bringing grief).
• The super-ego aims for perfection. It comprises that organized part of the personality structure.
• The super-ego aims for perfection. It comprises that organised part of the personality structure

Key Terms

Oedipus complex

In Freudian theory, the complex of emotions aroused in a child by an unconscious sexual desire for the parent of the opposite sex.

the unconscious

For Freud, the unconscious refers to the mental processes of which individuals make themselves unaware.

Example

• The most common problems treatable with psychoanalysis include: phobias, conversions, compulsions, obsessions, anxiety, attacks, depressions, sexual dysfunctions, a wide variety of relationship problems (such as dating and marital strife), and a wide variety of character problems (painful shyness, meanness, obnoxiousness, workaholism, hyperseductiveness, hyperemotionality, hyperfastidiousness).

Sigmund Freud was an Austrian neurologist who founded the discipline of psychoanalysis. Interested in philosophy as a student, Freud later decided to become a neurological researcher in cerebral palsy, Aphasia, and microscopic neuroanatomy. Freud went on to develop theories about the unconscious mind and the mechanism of repression and established the field of verbal psychotherapy by creating psychoanalysis, a clinical method for treating psychopathology through dialogue between a patient and a psychoanalyst. The most common problems treatable with psychoanalysis include phobias, conversions, compulsions, obsessions, anxiety, attacks, depressions, sexual dysfunctions, a wide variety of relationship problems (such as dating and marital strife), and a wide variety of character problems (painful shyness, meanness, obnoxiousness, workaholism, hyperseductiveness, hyperemotionality, hyperfastidiousness).

The Basic Tenets of Psychoanalysis

The basic tenets of psychoanalysis include the following:

• First, human behavior, experience, and cognition are largely determined by irrational drives.
• Those drives are largely unconscious.
• Attempts to bring those drives into awareness meet psychological resistance in the form of defense mechanisms.
• Besides the inherited constitution of personality, one’s development is determined by events in early childhood.
• Conflicts between conscious view of reality and unconscious (repressed) material can result in mental disturbances, such as neurosis, neurotic traits, anxiety, depression etc.
• The liberation from the effects of the unconscious material is achieved through bringing this material into the consciousness.

Psychoanalysis as Treatment

Freudian psychoanalysis refers to a specific type of treatment in which the “analysand” (the analytic patient) verbalizes thoughts, including free associations, fantasies, and dreams, from which the analyst induces the unconscious conflicts. This causes the patient’s symptoms and character problems, and interprets them for the patient to create insight for resolution of the problems. The specifics of the analyst’s interventions typically include confronting and clarifying the patient’s pathological defenses, wishes, and guilt. Through the analysis of conflicts, including those contributing to resistance and those involving transference onto the analyst of distorted reactions, psychoanalytic treatment can hypothesize how patients unconsciously are their own worst enemies: how unconscious, symbolic reactions that have been stimulated by experience are causing symptoms.

The Id, The Ego, Super-Ego

Freud hoped to prove that his model was universally valid and thus turned to ancient mythology and contemporary ethnography for comparative material. Freud named his new theory the Oedipus complex after the famous Greek tragedy Oedipus Rex by Sophocles. The Oedipus conflict was described as a state of psychosexual development and awareness. In his later work, Freud proposed that the human psyche could be divided into three parts: Id, ego, and super-ego. The id is the completely unconscious, impulsive, child-like portion of the psyche that operates on the “pleasure principle” and is the source of basic impulses and drives; it seeks immediate pleasure and gratification. The ego acts according to the reality principle (i.e., it seeks to please the id’s drive in realistic ways that will benefit in the long term rather than bringing grief). Finally, the super-ego aims for perfection. It comprises that organized part of the personality structure, mainly but not entirely unconscious, that includes the individual’s ego, ideals, spiritual goals, and the psychic agency that criticizes and prohibits his or her drives, fantasies, feelings, and actions.

4.3.5: Piaget

Piaget’s theory of cognitive development is a comprehensive theory about the nature and development of human intelligence.

Learning Objective

Analyze the differences between accommodation and assimilation, in relation to Piaget’s stages

Key Points

• Jean Piaget was a French-speaking Swiss developmental psychologist and philosopher known for his epistemological studies with children. His theory of cognitive development and epistemological view are together called “genetic epistemology,” the study of the origins of knowledge.
• Piaget argued that all people undergo a series of stages and transformations. Transformations refer to all manners of changes that a thing or person can experience, while states refer to the conditions or the appearances in which things or persons can be found between transformations.
• Piaget identified four stages of cognitive development: sensorimotor, pre-operational, concrete operational, and formal operational. Through these stages, children progress in their thinking and logical processes.
• Piaget’s theory of cognitive development is a comprehensive theory about the nature and development of human intelligence that explains how individuals perceive and adapt to new information through the processes of assimilation and accommodation.
• Assimilation is the process of taking one’s environment and new information and fitting it into pre-existing cognitive schemas. Accommodation is the process of taking one’s environment and new information, and altering one’s pre-existing schemas in order to fit in the new information.
• Object permanence is the understanding that objects continue to exist even when they cannot be seen, heard, or touched.
• Object permanence is the understanding that objects continue to exist even when they cannot be seen, heard, or touched.
• The concrete operational stage is the third of four stages of cognitive development in Piaget’s theory.
• The final stage is known as formal operational stage (adolescence and into adulthood): Intelligence is demonstrated through the logical use of symbols related to abstract concepts.

Key Terms

accommodation

Accommodation, unlike assimilation, is the process of taking one’s environment and new information, and altering one’s pre-existing schemas in order to fit in the new information.

object permanence

The understanding (typically developed during early infancy) that an object still exists even when it disappears from sight, or other senses.

genetic epistemology

Genetic epistemology is a study of the origins of knowledge. The discipline was established by Jean Piaget.

Jean Piaget was a French-speaking Swiss developmental psychologist and philosopher known for his epistemological studies with children. His theory of cognitive development and epistemological view are together called “genetic epistemology. ” He believed answers for the epistemological questions at his time could be better addressed by looking at their genetic components. This led to his experiments with children and adolescents in which he explored the thinking and logic processes used by children of different ages.

Piaget’s theory of cognitive development is a comprehensive theory about the nature and development of human intelligence. Piaget believed that reality is a dynamic system of continuous change and as such, it is defined in reference to the two conditions that define dynamic systems. Specifically, he argued that reality involves transformations and states. Transformations refer to all manners of changes that a thing or person can undergo. States refer to the conditions or the appearances in which things or persons can be found between transformations.

Piaget explains the growth of characteristics and types of thinking as the result of four stages of development. The stages are as follows:

• The sensorimotor stage is the first of the four stages in cognitive development that “extends from birth to the acquisition of language. ” In this stage, infants construct an understanding of the world by coordinating experiences with physical actions–in other words, infants gain knowledge of the word from the physical actions they perform. The development of object permanence is one of the most important accomplishments of this stage.
• The pre-operational stage is the second stage of cognitive development. It begins around the end of the second year. During this stage, the child learns to use and to represent objects by images, words, and drawings. The child is able to form stable concepts, as well as mental reasoning and magical beliefs.
• The third stage is called the “concrete operational stage” and occurs approximately between the ages of 7 and 11 years. In this stage, children develop the appropriate use of logic and are able to think abstractly, make rational judgments about concrete phenomena, and systematically manipulate symbols related to concrete objects.
• The final stage is known as the “formal operational stage” (adolescence and into adulthood). Intelligence is demonstrated through the logical use of symbols related to abstract concepts. At this point, the person is capable of hypothetical and deductive reasoning.

When studying the field of education Piaget identified two processes: accommodation and assimilation. Assimilation describes how humans perceive and adapt to new information. It is the process of taking one’s environment and new information and fitting it into pre-existing cognitive schemas. Accommodation, unlike assimilation, is the process of taking one’s environment and new information and altering one’s pre-existing schemas in order to fit in the new information.

Jean Piaget

Jean Piaget was a French-speaking Swiss developmental psychologist and philosopher known for his epistemological studies with children.

4.3.6: Levinson

Daniel J. Levinson was one of the founders of the field of positive adult development.

Learning Objective

Summarize Daniel Levinson’s theory of positive adult development and how it influenced changes in the perception of development during adulthood

Key Points

• As a theory, positive adult development asserts that development continues after adolescence, long into adulthood.
• In positive adult development research, scientists question not only whether development ceases after adolescence, but also a notion, popularized by many gerontologists, that a decline occurs after late adolescence.
• Positive adult developmental processes are divided into at least six areas of study: hierarchical complexity, knowledge, experience, expertise, wisdom, and spirituality.

Key Terms

positive adult development

Positive adult development is one of the four major forms of adult developmental study that can be identified.

stasis

inactivity; a freezing, or state of motionlessness

decline

downward movement, fall

Daniel Levinson

Daniel J. Levinson, an American psychologist, was one of the founders of the field of positive adult development. He was born in New York City on May 28, 1920, and completed his dissertation at the University of California, Berkeley, in 1947. In this dissertation, he attempted to develop a way of measuring ethnocentrism. In 1950, he moved to Harvard University. From 1966 to 1990, he was a professor of psychology at the Yale University School of Medicine.

Levinson’s two most important books were Seasons of a Man’s Life and Seasons of a Woman’s Life, which continue to be highly influential works. His multidisciplinary approach is reflected in his work on the life structure theory of adult development.

Positive Adult Development

Positive adult development is one of the four major forms of adult developmental study. The other three are directionless change, stasis, and decline. Positive adult developmental processes are divided into the following six areas of study:

• hierarchical complexity
• knowledge
• experience
• expertise
• wisdom
• spirituality

Research in this field questions not only whether development ceases after adolescence, but also the notion, popularized by many gerontologists, that a decline occurs after late adolescence. Research shows that positive development does still occur during adulthood. Recent studies indicate that such development is useful in predicting things such as an individual’s health, life satisfaction, and ability to contribute to society.

Now that there is scientific proof that individuals continue to develop as adults, researchers have begun investigating how to foster such development. Rather than just describing, as phenomenon, the fact that adults continue to develop, researchers are interested in aiding and guiding that development. For educators of adults in formal settings, this has been a priority in many ways already. More recently, researchers have begun to experiment with hypotheses about fostering positive adult development. These methods are used in organizational and educational setting. Some use developmentally-designed, structured public discourse to address complex public issues.

Positive Adult Development

Research in Positive Adult Development questions not only whether development ceases after adolescence, but also the notion, popularized by many gerontologists, that a decline occurs after late adolescence.

4.4: Learning Personality, Morality, and Emotions

4.4.1: Sociology of Emotion

The sociology of emotions applies sociological theorems and techniques to the study of human emotions.

Learning Objective

Examine the origins of the sociology of emotions through the work of Marx, Weber, and Simmel, and its development by T. David Kemper, Arlie Hochschild, Randall Collins, and David R. Heise

Key Points

• Emotions impact society on both the micro level (everyday social interactions) and the macro level (social institutions, discourses, and ideologies).
• Ethnomethodology revealed emotional commitments to everyday norms through purposeful breaching of the norms.
• We try to regulate our emotions to fit in with the norms of the situation, based on many, and sometimes conflicting demands upon us.

Key Terms

ethnomethodology

An academic discipline that attempts to understand the social orders people use to make sense of the world through analyzing their accounts and descriptions of their day-to-day experiences.

The sociology of emotions

The sociology of emotion applies sociological theorems and techniques to the study of human emotions.

Examples

• An example of individuals emotions’ impacting social interactions and institutions is how a Board of Directors will fail to be productive if the members are angry with one another.
• An example of the operations of a guilt society is how Americans expect a husband to feel guilty if he forgets his wife’s birthday. This expectation is the product of a guilt society.
• According to doctrine, many members of the Catholic church believe that people should feel shame for masturbating. This expectation is the product of a shame society.

The sociology of emotions applies sociological theorems and techniques to the study of human emotions. As sociology emerged, primarily as a reaction to the negative affects of modernity, many normative theories deal in some sense with “emotion” without forming a part of any specific subdiscipline: Marx described capitalism as detrimental to personal “species-being,” Simmel wrote of the deindividualizing tendencies of “the metropolis,” and Weber’s work dealt with the rationalizing effect of modernity in general.

Emotions operate on both micro and macro levels. On the micro level, social roles, norms, and feeling rules structure’s everyday social interactions. On a macro level, these same emotional processes structure social institutions, discourses, and ideologies. We try to regulate our emotions to fit in with the norms of the situation, based on many, and sometimes conflicting demands upon us. Systematic observations of group interaction found that a substantial portion of group activity is devoted to the socio-emotional issues of expressing affect and dealing with tension. Simultaneously, field studies of social attraction in groups revealed that feelings of individuals about each other collate into social networks, a discovery that still is being explored in the field of social network analysis.

Ethnomethodology revealed emotional commitments to everyday norms through purposeful breaching of the norms. In one study, a sociologist sent his students home and instructed them to act as guests rather than family members. Students reported others’ astonishment, bewilderment, shock, anxiety, embarrassment, and ange and family members accused the students of being mean, inconsiderate, selfish, nasty, or impolite.

Important theories and theoreticians relating to the sociology of emotion include:

• T. David Kemper: He proposed that people in social interaction have positions on two relational dimensions: status and power. Emotions emerge as interpersonal events, change or maintain individuals’ status and power.
• Arlie Hochschild: She proposed that individuals manage their feelings to produce acceptable displays according to ideological and cultural standards.
• Peggy Thoits: She divided emotion management techniques into implementation of new events and reinterpretation of past events. Thoits noted that emotions also can be managed with drugs, by performing faux gestures and facial expressions, or by cognitive reclassifications of one’s feelings.
• Thomas J. Scheff: He established that many cases of social conflict are based on a destructive and often escalating, but stoppable and reversible shame-rage cycle–when someone results or feels shamed by another, their social bond comes under stress.
• Randall Collins: He stated that emotional energy is the main motivating force in social life, for love and hatred, investing, working or consuming, and rendering cult or waging war.
• David R. Heise. He developed the Affect Control Theory, which proposes that social actions are designed by their agents to create impressions that befit sentiments reigning in a situation.

For more information on emotions, watch this video:

Social Significance of Emotion

The sociology of emotion suggests that individual emotional reactions, such as this girl’s happiness and excitement, impact social interactions and institutions.

4.4.2: Informal Social Control

Social control refers to societal processes that regulate individual and group behaviour in an attempt to gain conformity.

Learning Objective

Give examples of the difference between informal and formal means of social control

Key Points

• Informal control typically involves an individual internalizing certain norms and values. This process is known as socialization.
• Formal means of social control typically involve the state. External sanctions are enforced by the government to prevent chaos, violence, or anomie in society. Some theorists, such as Émile Durkheim, refer to this form of control as regulation.
• The social values present in individuals are products of informal social control, exercised implicitly by a society through particular customs, norms, and mores. Individuals internalize the values of their society, whether conscious or not of this indoctrination.
• Contemporary Western society uses shame as one modality of control, but its primary dependence rests on guilt, and, when that does not work, the criminal justice system.

Key Terms

sanction

a penalty, or some coercive measure, intended to ensure compliance; especially one adopted by several nations, or by an international body

conformity

the ideology of adhering to one standard or social uniformity

compliance

the tendency of conforming with or agreeing to the wishes of others

Example

• An example of affect control theory in practice is how people behave at funerals. Even if someone didn’t know the person who passed away particularly well, the social situation encourages one to comport himself as if he were grieving.

Social Control

Social control refers to societal and political mechanisms that regulate individual and group behaviour in an attempt to gain conformity and compliance to the rules of a given society, state, or social group. Sociologists identify two basic forms of social control – informal control and formal control.

Formal Control

Formal social control typically involves the state. External sanctions are enforced by the government to prevent chaos, violence, or anomie in society. An example of this would be a law preventing individuals from committing theft. Some theorists, like Émile Durkheim, refer to this type of control as regulation.

Informal Control

Informal control typically involves an individual internalizing certain norms and values. This process is called socialization. The social values present in individuals are products of informal social control, exercised implicitly by a society through particular customs, norms, and mores. Individuals internalize the values of their society, whether conscious or not of this indoctrination.

Informal sanctions may include shame, ridicule, sarcasm, criticism, and disapproval, which can cause an individual to conform to the social norms of the society. In extreme cases, sanctions may include social discrimination, exclusion, and violence. Informal social control has the potential to have a greater impact on an individual than formal control. When social values become internalized, they become an aspect of an individual’s personality.

Informal sanctions check ‘deviant’ behavior. An example of a negative sanction is depicted in a scene in ‘The Wall,’ a film by Pink Floyd. In this scene, a young protagonist is ridiculed and verbally abused by a high school teacher for writing poetry in a mathematics class. Another example occurs in the movie ‘About a Boy. ” In this film, a young boy hesitates to jump from a high springboard and is ridiculed for his fear. Though he eventually jumps, his behaviour is controlled by shame, not by his internal desire to jump.

Informal means of control

At funerals, people tend to comport themselves to look as if they are grieving, even if they did not know the person who passed away. This is example of a social situation controlling an individual’s emotions.

4.5: Agents of Socialization

4.5.1: Family

A family serves to reproduce society biologically, through procreation, and socially, through the socialization of children.

Learning Objective

Analyze the pivotal role a family plays in the socialization of children and the continuation of society through procreation

Key Points

• Although a family can fulfill a variety of other functions, not all of these are universal or obligatory.
• The incest taboo, which prohibits sexual relations between family members, is a form of exogamy and may help promote social solidarity.
• The family of orientation refers to the role of the family in providing children with a position in society and socialize them.
• From the parents’ perspective, the family of procreation refers to the family’s role is to produce and socialize children.
• Exogamy is a social arrangement according to which marriages can only occur with members outside of one’s social group.
• Exogamy is a social arrangement according to which marriages can only occur with members outside of one’s social group.

Key Terms

exogamy

Marriage to a person belonging to a tribe or group other than your own as required by custom or law.

bridewealth

Bridewealth is the amount of money, wealth, or property paid by the family of the groom to the bride’s parents upon the marriage of the couple. The amount paid generally indicates the perceived value of the bride.

family of procreation

the idea that the goal of a family is to produce and enculturate and socialize children

family of orientation

This refers to the family in which an individual grows up.

The primary function of the family is to reproduce society, both biologically through procreation and socially through socialization. Given these functions, the individual’s experience of his or her family shifts over time. From the perspective of children, the family is a family of orientation: the family functions to locate children socially, and plays a major role in their socialization. From the point of view of the parent(s), the family is a family of procreation: The family functions to produce and socialize children. In some cultures, marriage imposes upon women the obligation to bear children. In northern Ghana, for example, payment of bridewealth, which is an amount of money, wealth, or property paid to the bride’s parents by the groom’s family, signifies a woman’s requirement to bear children, and women using birth control face substantial threats of physical abuse and reprisals.

Producing offspring is not the only function of the family. Marriage sometimes establishes the legal father of a woman’s child; establishes the legal mother of a man’s child; gives the husband or his family control over the wife’s sexual services, labor, and/or property; gives the wife or her family control over the husband’s sexual services, labor, and/or property; establishes a joint fund of property for the benefit of children; establishes a relationship between the families of the husband and wife. None of these functions are universal, nor are all of them inherent to any one society. In societies with a sexual division of labor, marriage, and the resulting relationship between a husband and wife, is necessary for the formation of an economically productive household. In modern societies, marriage entails particular rights and privileges which encourage the formation of new families even when there is no intention of having children.

In most societies, marriage between brothers and sisters is forbidden. In many societies, marriage between some first cousins is preferred, while at the other extreme, the medieval Catholic Church prohibited marriage even between distant cousins. The present day Catholic Church still maintains a standard of required distance for marriage.

These sorts of restrictions can be classified as an incest taboo, which is a cultural norm or rule that forbids sexual relations between family members and relatives. Incest taboo may serve to promote social solidarity and is a form of exogamy. Exogamy can be broadly defined as a social arrangement according to which marriages can only occur with members outside of one’s social group. One exception to this pattern is in ancient Egypt, where marriage between brothers and sisters was permitted in the royal family, as it was also the case in Hawaii and among the Inca. This privilege was denied commoners and may have served to concentrate wealth and power in one family.

Family

Families have strong ties and, therefore, are powerful agents of socialization.

4.5.2: Neighborhood

A neighborhood is a geographically localized community within a larger city, town, or suburb.

Learning Objective

Justify the importance of neighborhoods and communities as units of socialization, especially when specialized, such as by ethnicity or religion

Key Points

• Ethnic neighborhoods were important in many historical cities, and they remain common in modern cities.
• Rural-to-urban migration contributed to neighborhood distinctiveness and social cohesion in historical cities.
• A community is a group of interacting people, living in some proximity. Community usually refers to a social unit—larger than a household—that shares common values and has social cohesion.
• Social capital refers to a sense of connectedness due to the formation of social networks in a given community.

Key Terms

community

A group sharing a common understanding and often the same language, manners, tradition and law. See civilization.

ethnic enclave

An ethnic enclave is an ethnic community which retains some cultural distinction from a larger, surrounding area, it may be a neighborhood, an area or an administrative division based on ethnic groups.

social capital

The good will, sympathy, and connections created by social interaction within and between social networks.

Example

• Chinatown is an example of an ethnic neighborhood.

A neighborhood is a geographically localized community within a larger city, town, or suburb. Neighborhoods are often social communities with considerable face-to-face interaction among members. Neighborhoods are typically generated by social interaction among people living near one another. In this sense, they are local social units larger than households, but not directly under the control of city or state officials. In some preindustrial urban traditions, basic municipal functions such as protection, social regulation of births and marriages, cleaning, and upkeep are handled informally by neighborhoods and not by urban governments; this pattern is well documented for historical Islamic cities. In addition to social neighbourhoods, most ancient and historical cities also had administrative districts used by officials for taxation, record-keeping, and social control.

Specialization and Differentiation

Neighborhoods in preindustrial cities often had some degree of social specialization or differentiation. Ethnic enclaves were important in many past cities and remain common in cities today. Economic specialists, including craft producers, merchants, and others could be concentrated in neighborhoods. Other neighborhoods were united by religious persuasion. One factor contributing to neighborhood distinctiveness and social cohesion was the role of rural to urban migration. This was a continual process for preindustrial cities in which migrants tended to move in with relatives and acquaintances from their rural past.

On another level, a community is a group of interacting people, living in some proximity. Community usually refers to a social unit—larger than a household—that shares common values and has social cohesion. The sense of community and formation of social networks comprise what has become known as social capital.

Chelsea

This image is of Chelsea neighborhood of Manhattan in New York City.

4.5.3: School

Education is the process by which society transmits its accumulated knowledge, skills, customs and values from one generation to another.

Learning Objective

Explain the role of both formal and informal education in the socialization process, such as learning norms and expectations, as well as gaining social equality

Key Points

• The sociology of education is the study of how public institutions and individual experiences affect education and its outcomes.
• A systematic sociology of education began with Émile Durkheim’s work on moral education as a basis for organic solidarity.
• Socialization is the process by which the new generation learns the knowledge, attitudes and values that they will need as productive citizens.
• The hidden curriculum is a subtler, but nonetheless powerful, indoctrination of the norms and values of the wider society.

Key Terms

hidden curriculum

A curriculum that goes beyond the explicit demands of the formal curriculum. The goals and requirements of the hidden curriculum are unstated, but inflexible. They concern not what students learn but how and when they learn.

the sociology of education

The sociology of education is the study of how public institutions and individual experiences affect education and its outcomes.

socialization

The process of learning one’s culture and how to live within it.

Example

• When teaching kindergarten, a teacher may assign students to practice addition with one another. This lesson both educates children in basic mathematics and in the social values of teamwork and reciprocity. In this example, teamwork and reciprocity are examples of the “hidden curriculum. “

Education is the means through which the aims and habits of a group of people is transmitted from one generation to the next. Generally, it occurs through any experience that has a formative effect on the way one thinks, feels, or acts. In its narrow, technical sense, education is the formal process by which society deliberately transmits its accumulated knowledge, skills, customs and values from one generation to another. The sociology of education is the study of how public institutions and individual experiences affect education and its outcomes. It is most concerned with the public schooling systems of modern industrial societies, including the expansion of higher, adult, and continuing education.

Education has often been seen as a fundamentally optimistic human endeavor characterized by aspirations for progress and betterment. It is understood by many to be a means of overcoming limitations, achieving greater equality and acquiring wealth and social status. Education is perceived as an endeavor that enables children to develop according to their unique needs and potential. It is also perceived as one of the best means of achieving greater social equality. Some take a particularly negative view, arguing that the education system is intentionally designed to perpetuate the social reproduction of inequality.

A systematic sociology of education began with Émile Durkheim’s work on moral education as a basis for organic solidarity. It was after World War II, however, that the subject received renewed interest around the world: from technological functionalism in the US, egalitarian reform of opportunity in Europe, and human-capital theory in economics. These all implied that, with industrialization, the need for a technologically-skilled labor force undermines class distinctions and other ascriptive systems of stratification, and that education promotes social mobility.

Structural functionalists believe that society leans towards social equilibrium and social order. Socialization is the process by which the new generation learns the knowledge, attitudes and values that they will need as productive citizens. Although this aim is stated in the formal curriculum, it is mainly achieved through “the hidden curriculum”, a subtler, but nonetheless powerful, indoctrination of the norms and values of the wider society. Students learn these values because their behavior at school is regulated until they gradually internalize and accept them. For example, most high school graduates are socialized to either enter college or the workforce after graduation. This is an expectation set forth at the beginning of a student’s education.

Education also performs another crucial function. As various jobs become vacant, they must be filled with the appropriate people. Therefore, the other purpose of education is to sort and rank individuals for placement in the labor market. Those with high achievement will be trained for the most skilled and intellectually tasking jobs and in reward, be given the highest income. On the other hand, those who achieve the least, will be given the least demanding jobs, and hence the least income.

School

School serves as a primary site of education, including the inculcation of “hidden curricula” of social values and norms.

4.5.4: Day Care

Day care, in which children are cared for by a person other than their legal guardians, contributes to their socialization.

Learning Objective

Discuss how the use of day care (ranging from relative care to preschools) impacts the socialization of children in both a positive and negative way

Key Points

• Studies have shown that while bad day care can result in physical and emotional problems, good day care is not harmful to noninfants and may even lead to better outcomes.
• The day care industry is a continuum from personal parental care to large, regulated institutions.
• Early childhood education is the formal education and care of young children by people other than their family in settings outside of their homes and before the age of normal schooling.

Key Term

early childhood education

The formal teaching and care of young children by people other than their family in settings outside of the home and before the age of normal schooling.

Example

• Examples of day care range from the next door neighbor watching one’s children to hiring a babysitter to large day care facilities that resemble preschools.

Day care is the care of a child during the day by a person other than the child’s legal guardians, typically performed by someone outside the child’s immediate family. Day care is typically a service during specific periods, such as when parents are at work . Child care is provided in nurseries or crèches, or by a nanny or family child care provider caring for children in their own homes. It can also take on a more formal structure, with education, child development, discipline, and even preschool education falling into the fold of services.

Day Care

A mother who works in construction drops her child off at daycare prior to work.

The day care industry is a continuum from personal parental care to large, regulated institutions. The vast majority of childcare is still performed by the parents, in house nanny, or through informal arrangements with relatives, neighbors, or friends. Another factor favoring large corporate day cares is the existence of childcare facilities in the workplace. Large corporations will not handle this employee benefit directly themselves and will seek out large corporate providers to manage their corporate daycares. Most smaller, for-profit day cares operate out of a single location.

Independent studies suggest that good day care for non-infants is not harmful. Some advocate that day care is inherently inferior to parental care. In some cases, good daycare can provide different experiences than parental care does, especially when children reach two and are ready to interact with other children. Bad day care puts the child at physical, emotional, and attachment risk. Higher quality care is associated with better outcomes. Children in higher quality child care had somewhat better language and cognitive development during the first 4½ years of life than those in lower quality care. They were also somewhat more cooperative than those who experienced lower quality care during the first three years of life.

As a matter of social policy, consistent, good daycare may ensure adequate early childhood education for children of less skilled parents. From a parental perspective, good daycare can complement good parenting. Early childhood education is the formal teaching and care of young children by people other than their family in settings outside of the home. “Early childhood” is usually defined as before the age of normal schooling – five years in most nations, though the U.S. National Association for the Education of Young Children (NAEYC) instead defines “early childhood” as before the age of eight.

4.5.5: Peer Groups

A peer group, whose members have interests, social positions, and age in common, have an influence on the socialization of group members.

Learning Objective

Analyze the importance of the peer group in terms of childhood and adolescent socialization

Key Points

• This is where children can escape supervision and learn to form relationships on their own.
• The influence of the peer group typically peaks during adolescence.
• However, peer groups generally only affect short term interests unlike the family, which has long term influence.
• Peer groups can also serve as a venue for teaching members gender roles.
• Adolescent peer groups provide support for children and teens as they assimilate into the adult society decreasing dependence on parents, increasing feeling of self-sufficiency, and connecting with a much larger social network.
• The term “peer pressure” is often used to describe instances where an individual feels indirectly pressured into changing their behavior to match that of their peers.

Key Terms

Peer group

A peer group is a social group whose members have interests, social positions, and age in common.

gender roles

Sets of social and behavioral norms that are generally considered appropriate for either a man or a woman in a social or interpersonal relationship.

peer pressure

Peer pressure is the influence exerted by a peer group, encouraging individuals to change their attitudes, values, or behaviors in order to conform to group norms.

Example

• Teenagers encouraging their friends to smoke, drink, or engage in other risky behavior is an example of peer pressure. Peer pressure can also work in positive ways by encouraging teenagers to practice, study, or engage in other positive behaviors.

A peer group is a social group whose members have interests, social positions, and age in common. This is where children can escape supervision and learn to form relationships on their own. The influence of the peer group typically peaks during adolescence. However, peer groups generally only affect short term interests unlike the family, which has long term influence.

Unlike the family and the school, the peer group lets children escape the direct supervision of adults. Among peers, children learn to form relationships on their own. Peer groups also offer the chance to discuss interests that adults may not share with their children (such as clothing and popular music) or permit (such as drugs and sex).

Peer groups have a significant influence on psychological and social adjustments for group individuals. They provide perspective outside of individual’s viewpoints. Members inside peer groups also learn to develop relationships with others in the social system. Peers, particularly group members, become important social referents for teaching members’ customs, social norms, and different ideologies.

Peer groups can also serve as a venue for teaching members gender roles. Through gender-role socialization group members learn about sex differences, social and cultural expectations. While boys and girls differ greatly there is not a one to one link between sex and gender role with males always being masculine and female always being feminine. Both genders can contain different levels of masculinity and femininity.

Adolescent peer groups provide support for children and teens as they assimilate into the adult society decreasing dependence on parents, increasing feeling of self-sufficiency, and connecting with a much larger social network. Peer groups cohesion is determined and maintained by such factors as group communication, group consensus, and group conformity concerning attitude and behavior. As members of peer groups interconnect, and agree, a normative code arises. This normative code can become very rigid deciding group behavior and dress. Peer group individuality is increased by normative codes, and intergroup conflict. Member deviation from the strict normative code can lead to rejection from the group. The term “peer pressure” is often used to describe instances where an individual feels indirectly pressured into changing their behavior to match that of their peers. Taking up smoking and underage drinking are two of the best known examples. In spite of the often negative connotations of the term, peer pressure can be used positively.

4.5.6: Mass Media and Technology

Since mass media has enormous effects on our attitudes and behavior, it contributes to the socialization process.

Learning Objective

Analyze the connection between media, technology and society

Key Points

• Mass media is the means for delivering impersonal communications directed to a vast audience.
• The term media comes from Latin meaning, “middle,” suggesting that the media’s function is to connect people.
• Media bias refers to the bias of journalists and news producers within mass media. Bias exists in the selection of events and stories that are reported and how they are covered.
• A technique used to avoid bias is the “round table,” an adversarial format in which representatives of opposing views comment on an issue.
• A technique used to avoid bias is the “round table”, an adversarial format in which representatives of opposing views comment on an issue.

Key Terms

mass media

Collectively, the communications media, especially television, radio, and newspapers, that reach the mass of the people.

media bias

A political bias in journalistic reporting, in programming selection, or otherwise in mass communications media.

round table

A conference at which participants of similar status discuss and exchange views

Example

• Television programs, movies, magazines, and advertisements are all examples of different forms of mass media.

Mass media is the means for delivering impersonal communications directed to a vast audience. The term media comes from Latin meaning, “middle,” suggesting that the media’s function is to connect people. Since mass media has enormous effects on our attitudes and behavior, notably in regards to aggression, it contributes to the socialization process.

Media Bias

Media bias refers the bias of journalists and news producers within the mass media. Bias exists in the selection of events and stories that are reported and how they are covered. The term “media bias” implies a pervasive or widespread bias contravening the standards of journalism, rather than the perspective of an individual journalist or article. The direction and degree of media bias in various countries is widely disputed .

Media Bias

A panel in the Newseum in Washington, DC shows the September 12 headlines in America and around the world. Note the different treatment of 9/11 by different sources.

A technique employed to avoid bias is the “round table,” an adversarial format in which representatives from opposing views comment on an issue. This approach theoretically allows diverse views to appear in the media. However, the person organizing the report still has the responsibility to choose people who really represent the breadth of opinion, to ask them non-prejudicial questions, and to edit their comments fairly. When done carelessly, a point/counterpoint can be as unfair as a simple biased report, by suggesting that the “losing” side lost on its merits.

The apparent bias of media is not always specifically political in nature. The news media tend to appeal to a specific audience. This means stories that affect a large number of people on a global scale often receive less coverage in some markets than local stories, such as a public school shooting, a celebrity wedding, a plane crash, or similarly glamorous or shocking stories. Millions of deaths in an ethnic conflict in Africa might be afforded scant mention in American media, while the shooting of five people in a high school is analyzed in-depth. The reason for these types of bias is a function of what the public wants to watch and/or what producers and publishers believe the public wants to watch.

Video Game Violence

Debates have been going on for years about the problem and effect of violent video games. Many people believe that violent video games, when played regularly, lead to real-life violence. In fact, video game violence can lead to an increase in a person’s thoughts and behaviors. There have been incidents of children acting out the violence they see in a game, often with dire consequences. The key is being involved in other activities; when teenagers who played violent video games also participated in sports or clubs, there was less indication they would become violent in any potential situation.

4.5.7: Workplace

The workplace performs its socialization process through onboarding, through which employees acquire skills to adjust to their new role.

Learning Objective

Analyze the process of onboarding as it relates to workplace socialization

Key Points

• Tactics used in the onboarding process include formal meetings, lectures, videos, printed materials and computer-based orientations.
• Employees with certain personality traits and experiences adjust to an organization more quickly. These include employees with a proactive personality, “Big Five” personality traits, curiosity, and greater experience levels.
• Information seeking occurs when new employees ask questions of their co-workers to learn about the company’s norms, expectations, procedures and policies.
• Also called networking, relationship building involves an employee’s efforts to develop camaraderie with co-workers and even supervisors.
• Employee experience levels also affect the onboarding process such that more experienced members of the workforce tend to adapt to a new organization differently from, for example, a new college graduate starting his or her first job.
• Information seeking occurs when new employees ask questions of their co-workers and superiors in an effort to learn about their new job and the company’s norms, expectations, procedures, and policies.
• Also called networking, relationship building involves an employee’s efforts to develop camaraderie with co-workers and even supervisors.

Key Terms

networking

the act of meeting new people in a business or social context.

curiosity

Inquisitiveness; the tendency to learn about things by asking questions, investigating or exploring.

onboarding

The process of bringing a new employee on board, incorporating training and orientation.

The workplace performs its socialization function through onboarding. This is the mechanism through which new employees acquire the necessary knowledge, skills and behaviors to become effective organizational members. Tactics used in this process include formal meetings, lectures, videos, printed materials, or computer-based orientations. Research has demonstrated that these socialization techniques lead to positive outcomes for new employees including higher job satisfaction, better job performance, greater organizational commitment, and reduction in stress. These outcomes are particularly important to an organization looking to retain a competitive advantage in an increasingly mobile and globalized workforce .

Employees with certain personality traits and experiences adjust to an organization more quickly. These traits are a proactive personality, the “Big Five” traits, curiosity and greater experience levels. “Proactive personality” refers to the tendency to take charge of situations and achieve control over one’s environment. This type of personality predisposes some workers to engage in behaviors like information seeking that accelerate the socialization process. The Big Five personality traits—openness, conscientiousness, extraversion, agreeableness, and neuroticism—have been linked to onboarding success. Specifically, new employees who are extraverted or particularly open to experience are more likely to seek out information, feedback, acceptance and relationships with co-workers.

Curiosity also plays a substantial role in the newcomer adaptation process. It is defined as the “desire to acquire knowledge” that energizes individual exploration of an organization’s culture and norms. Individuals with a curious disposition eagerly seek out information to help them make sense of their new organizational surroundings, which leads to a smoother onboarding experience. Employee experience levels also affect the onboarding process. For example, more experienced members of the workforce tend adapt to a new organization differently from a college graduate starting his or her first job. This is because seasoned employees can draw from past experiences to help them adjust to their new work settings. They may be less affected by specific socialization efforts because they have (a) a better understanding of their own needs and requirements at work and (b) are more familiar with what is acceptable in the work context.

Employees that build relationships and seek information can help facilitate the onboarding process. Newcomers can also speed up their adjustment by demonstrating behaviors that assist them in clarifying expectations, learning organizational values and norms, and gaining social acceptance. Information seeking occurs when new employees ask questions in an effort to learn about the company’s norms, expectations, procedures and policies. Also called networking, relationship building involves an employee’s efforts to develop camaraderie with co-workers and supervisors. This can be achieved informally through talking to their new peers during a coffee break, or through more formal means like pre-arranged company events. Research has shown relationship building to be a key part of the onboarding process, leading to outcomes like greater job satisfaction, better job performance and decreased stress.

Organization Socialization Model

A model of onboarding (adapted from Bauer & Erdogan, 2011).

4.5.8: Religion

Religion is a collection of cultural systems, belief systems, and worldviews that relate humanity to spirituality and moral values.

Learning Objective

Explain how people come to be socialized in terms of religion and how parental influence is a key factor in religiosity

Key Points

• Sociology of religion is the study of the beliefs, practices, and organizational forms of religion using the tools and methods of the discipline of sociology.
• Agents of socialization differ in effects across religious traditions. Some believe religion is like an ethnic or cultural category, making it less likely for the individuals to break from religious affiliations and be more socialized in this setting.
• Belief in God is attributable to a combination of the above factors, but is also informed by a discussion of socialization. The biggest predictor of adult religiosity is parental religiosity; if a person’s parents were religious when he was a child, he is likely to be religious when he grows up.
• In their thesis, Altemeyer and Hunsberger found some interesting cases where secular people converted to religion, and religious people became secular.

Key Terms

religion

an organized collection of belief systems, cultural systems, and world views that relate humanity to spirituality and, sometimes, to moral values

sociology of religion

Sociology of religion is the study of the beliefs, practices, and organizational forms of religion using the tools and methods of the discipline of sociology.

agents of socialization

Agents of socialization, or institutions that can impress social norms upon an individual, include the family, religion, peer groups, economic systems, legal systems, penal systems, language, and the media.

parental religiosity

The biggest predictor of adult religiosity is parental religiosity; if a person’s parents were religious when he was a child, he is likely to be religious when he grows up.

Example

• In Catholic confession, a churchgoer confesses his sins to a member of the clergy. This ritual, in which the clergy responds to the churchgoer’s conduct, socializes the churchgoer to the faith’s perspective on his actions. This is an example of socialization through religion.

Religion is a collection of cultural systems, belief systems, and worldviews that relate humanity to spirituality and, sometimes, to moral values. Many religions have narratives, symbols, traditions, and sacred histories that are intended to give meaning to life or to explain the origin of life or the universe. They tend to derive morality, ethics, religious laws, or a preferred lifestyle from their ideas about the cosmos and human nature.

Sociology of religion is the study of the beliefs, practices, and organizational forms of religion, using the tools and methods of the discipline of sociology. This objective investigation may include the use of both quantitative methods (surveys, polls, demographic, and census analysis) and qualitative approaches, such as participant observation, interviewing, and analysis of archival, historical, and documentary materials.

Agents of socialization differ in effects across religious traditions. Some believe religion is like an ethnic or cultural category, making it less likely for the individuals to break from religious affiliations and be more socialized in this setting. Parental religious participation is the most influential part of religious socialization–more so than religious peers or religious beliefs. For example, children raised in religious homes are more likely to have some degree of religiosity in their lives. They are also likely to raise their own children with religion and to participate in religious ceremonies, such as baptisms and weddings.

Belief in God is attributable to a combination of the above factors but is also informed by a discussion of socialization. The biggest predictor of adult religiosity is parental religiosity; if a person’s parents were religious when he was a child, he is likely to be religious when he grows up. Children are socialized into religion by their parents and their peers and, as a result, they tend to stay in religions. Alternatively, children raised in secular homes tend not to convert to religion. This is the underlying premise of Altemeyer and Hunsberger’s main thesis–they found some interesting cases where just the opposite seemed to happen. Secular people converted to religion and religious people became secular. Despite these rare exceptions, the process of socialization is certainly a significant factor in the continued existence of religion.

Socialization through Religious Ceremonies

Religious ceremonies, such as Catholic mass, socialize members of the faith to the practices and beliefs of the religion.

4.5.9: The Division of Labor

Division of labor is the specialization of cooperative labor in specific, circumscribed tasks and similar roles.

Learning Objective

Interpret Durkheim’s division of labor theory in terms of mechanical and organic solidarity, as well as progression from primitive to advanced societies

Key Points

• An increasingly complex division of labor is historically closely associated with the growth of total output and trade, the rise of capitalism, and of the complexity of industrialization processes.
• Durkheim classified societies as primitive or advanced based on their division of labor.
• According to Durkheim, in primitive societies where there is little or no division of labor, people act and think alike with a collective conscience. In advanced societies with high division of labor, social ties are relatively homogeneous and weak.
• Labor hierarchy is a very common feature of the modern workplace structure.
• It is often agreed that the most equitable principle in allocating people within hierarchies is that of true competency or ability. This important Western concept of meritocracy could be interpreted as an explanation or as a justification of why a division of labor is the way it is.

Key Terms

labor hierarchy

Labor hierarchy is a very common feature of the modern workplace structure, but of course the way these hierarchies are structured can be influenced by a variety of different factors.

meritocracy

Rule by merit, and talent. By extension, now often used to describe a type of society where wealth, income, and social status are assigned through competition.

industrialization

A process of social and economic change whereby a human society is transformed from a pre-industrial to an industrial state

Example

• An assembly line is an example of the division of labor.

Division of labor is the specialization of cooperative labor in specific, circumscribed tasks and roles. Historically, an increasingly complex division of labor is closely associated with the growth of total output and trade, the rise of capitalism, and of the complexity of industrialization processes. Division of labor was also a method used by the Sumerians to categorize different jobs and divide them between skilled members of a society.

Emilie Durkheim was a driving force in developing the theory of the division of labor in socialization. In his dissertation, Durkheim described how societies maintained social order based on two very different forms of solidarity (mechanical and organic), and analyzed the transition from more “primitive” societies to advanced industrial societies.

Durkheim suggested that in a “primitive” society, mechanical solidarity, with people acting and thinking alike and sharing a collective or common conscience, allows social order to be maintained. In such a society, Durkheim viewed crime as an act that “offends strong and defined states of the collective conscience”. Because social ties were relatively homogeneous and weak throughout society, the law had to be repressive and penal, to respond to offenses of the common conscience.

In an advanced, industrial, capitalist society, the complex division of labor means that people are allocated in society according to merit and rewarded accordingly; social inequality reflects natural inequality. Durkheim argued that in this type of society moral regulation was needed to maintain order (or organic solidarity). He thought that transition of a society from “primitive” to advanced may bring about major disorder, crisis, and anomie. However, once society has reached the “advanced” stage, it becomes much stronger and is done developing.

In the modern world, those specialists most preoccupied with theorizing about the division of labor are those involved in management and organization. In view of the global extremes of the division of labor, the question is often raised about what manner of division of labor would be ideal, most efficient, and most just. It is widely accepted that the division of labor is to a great extent inevitable, simply because no one can perform all tasks at once. Labor hierarchy is a very common feature of the modern workplace structure, but the structure of these hierarchies can be influenced by a variety of factors.

Division of Labor

An assembly line is a good example of a system that incorporates the division of labor; each worker is completing a discrete task to increase efficiency of overall production.

4.5.10: The Incest Taboo, Marriage, and the Family

An incest taboo is any cultural rule or norm that prohibits sexual relations between relatives.

Learning Objective

Analyze the different constructs of the incest taboo, ranging from biological (the Westermarck effect) to cultural (endogamy and exogamy)

Key Points

• Incest taboo is a cultural norm or rule that forbids sexual relations between relatives.
• Inbreeding is reproduction resulting from the mating of two genetically-related individuals.
• The Westermarck effect is essentially a psychological phenomenon that serves to discourage inbreeding. Through this effect, people who have grown up together are less likely to feel sexually attracted to one another later in life.
• Exogamy is a social arrangement in which marriage is permitted only with members from outside the social group.
• Endogamy is a social arrangement in which marriage can occur only within the same social group.

Key Terms

inbreeding

Breeding between members of a relatively small population, especially one in which most members are related.

exogamy

Marriage to a person belonging to a tribe or group other than your own as required by custom or law.

endogamy

The practice of marrying or being required to marry within one’s own ethnic, religious, or social group.

Example

• The vast majority of people tend to feel disgust when considering incest. This emotional reaction is an example of how powerfully the incest taboo socializes individuals against interfamilial relations.

An incest taboo is any cultural rule or norm that prohibits sexual relations between relatives. All human cultures have norms regarding who is considered suitable and unsuitable as sexual or marriage partners. Usually certain close relatives are excluded from being possible partners. Little agreement exists among cultures about which types of blood relations are permissible partners and which are not. In many cultures, certain types of cousin relations are preferred as sexual and marital partners, whereas others are taboo.

One potential explanation for the incest taboo sees it as a cultural implementation of a biologically evolved preference for sexual partners without shared genes, as inbreeding may have detrimental outcomes . The most widely held hypothesis proposes that the so-called Westermarck effect discourages adults from engaging in sexual relations with individuals with whom they grew up. The existence of the Westermarck effect has achieved some empirical support. The Westermarck effect, first proposed by Edvard Westermarck in 1891, is the theory that children reared together, regardless of biological relationship, form a sentimental attachment that is by its nature non-erotic.

Inbreeding

An intensive form of inbreeding where an individual S is mated to his daughter D1, granddaughter D2 and so on, in order to maximise the percentage of S’s genes in the offspring. D3 would have 87.5% of his genes, while D4 would have 93.75%.

Another school argues that the incest prohibition is a cultural construct that arises as a side effect of a general human preference for group exogamy. Intermarriage between groups construct valuable alliances that improve the ability for both groups to thrive. According to this view, the incest taboo is not necessarily a universal, but it is likely to arise and become stricter under cultural circumstances that favor exogamy over endogamy; it likely to become more lax under circumstances that favor endogamy. This hypothesis has also achieved some empirical support.

Societies that are stratified often prescribe different degrees of endogamy. Endogamy is the opposite of exogamy; it refers to the practice of marriage between members of the same social group. A classic example is seen in India’s caste system, in which unequal castes are endogamous. Inequality between ethnic groups and races also correlates with endogamy. Class, caste, ethnic and racial endogamy typically coexists with family exogamy and prohibitions against incest.

4.5.11: Ideology

Ideology is a coherent system of ideas that constitutes one’s goals, expectations, and actions.

Learning Objective

Explain the purpose of an ideology and how it is used in various contexts (i.e. religion or politics) to create change or conformity in society

Key Points

• Ideology can be used either to initiate change in society or to encourage continued adherence to a set of ideals in a situation where conformity already exists.
• According to Karl Marx, ideology is an instrument for social reproduction, as those who control the means of production (the ruling class) are able to establish the dominant ideology within a society.
• Louis Althusser proposed a materialistic conception of ideology using the concept of Ideological State Apparatus.
• Ideological State Apparatuses are institutions, such as the family, media, religious organizations, education system, etc., that together comprise ideological practice, the sphere which has the defining property of constituting individuals as subjects.
• Many political parties base their political action and program on an ideology. Political ideology consists of two dimensions: goals and methods.

Key Terms

superstructure

The ideas, philosophies, and culture that are built upon the means of production.

ideology

the doctrine, philosophy, body of beliefs or principles belonging to an individual or group

An ideology is a set of ideas that constitute one’s goals, expectations, and actions. An ideology can be thought of as a comprehensive vision, as a way of looking at things, as in several philosophical tendencies, or a set of ideas proposed by the dominant class of a society to all members of this society. The main purpose behind an ideology is to offer either change in society, or adherence to a set of ideals where conformity already exists, through a normative thought process. Ideologies are systems of abstract thought applied to public matters and thus make this concept central to politics.

In the Marxist account of ideology, it serves as an instrument of social reproduction. In the Marxist economic base and superstructure model of society, base denotes the relations of production, and superstructure denotes the dominant ideology (religious, legal, political systems). The economic base of production determines the political superstructure of a society. Ruling class-interests determine the superstructure and the nature of the justifying ideology—actions feasible because the ruling class control the means of production. Similarly, Louis Althusser proposed a materialistic conception of ideology using the concept of the ideological state apparatus. For Althusser, beliefs and ideas are the products of social practices, not the reverse. What is ultimately important for Althusser are not the subjective beliefs held in the “minds” of human individuals, but rather the material institutions, rituals, and discourses that produce these beliefs.

Many political parties base their political action and program on an ideology. A political ideology is a certain ethical set of ideals, principles, doctrines, myths, or symbols of a social movement, institution, class, or large group that explains how society should work and offers some political and cultural blueprint for a certain social order. A political ideology largely concerns itself with how to allocate power and to what ends it should be used. Some parties follow a certain ideology very closely, while others may take broad inspiration from a group of related ideologies without specifically embracing any one of them.

4.5.12: Resocialization and Total Institutions

A total institution is a place where a group of people is cut off from the wider community and their needs are under bureaucratic control.

Learning Objective

Review Goffman’s five types of social institutions and their functions, including their processes of resocialization

Key Points

• The term total institution was coined by the American sociologist Erving Goffman.
• Resocialization is defined as radically changing an inmate’s personality by carefully controlling his or her environment.
• Resocialization is a two-part process. First, the staff of the institution tries to erode the residents’ identities and independence. Second, the resocialization process involves the systematic attempt to build a different personality or self.

Key Terms

total institution

It is an institution that controls almost all aspects of its members’ lives. Boarding schools, orphanages, military branches, juvenile detention, and prisons are examples of total institutions.

Erving Goffman

Erving Goffman (June 11, 1922 – November 19, 1982) was a Canadian-born sociologist and writer. The 73rd president of American Sociological Association, Goffman’s greatest contribution to social theory was his study of symbolic interaction in the form of dramaturgical analysis. This began with his 1959 book, The Presentation of Self in Everyday Life.

Resocialization

Resocialization is defined as radically changing an inmate’s personality by carefully controlling the environment.

A total institution is a place of work and residence where a great number of similarly situated people, cut off from the wider community for a considerable time, lead an enclosed, formally administered life together. The term was coined by the American sociologist Erving Goffman. Within a total institution, the basic needs of a entire bloc of people are under bureaucratic control. These needs are handled in an impersonal and bureaucratic manner.

Goffman divided total institutions into five different types:

1. Institutions established to care for harmless or incapable people, including orphanages, poor houses and nursing homes
2. Institutions established to care for people that are incapable of looking after themselves and are also a threat to the community, including leprosarium, mental hospitals, and tuberculosis sanitariums
3. Institutions organized to protect the community against perceived intentional dangers, with the welfare of the sequestered people not the immediate issue, including concentration camps, prisoner of war camps, penitentiaries and jails
4. Institutions purportedly established to pursue some task, including colonial compounds, work camps, boarding schools, and ships
5. Institutions designed as retreats from the world while also often serving as training stations for the religious, including convents, abbeys, and monasteries

The goal of total institutions is resocialization, the radical alteration of residents’ personalities by deliberately manipulating their environment. Key examples include the process of resocializing new recruits into the military so that they can operate as soldiers. Resocialization is a two-part process. First, the staff of the institution tries to erode the residents’ identities and independence. Second, resocialization involves the systematic attempt to build a different personality or self. This is generally done through a system of reward and punishment. The privilege of reading a book, watching television, or making a phone call can be a powerful motivator to conform. Conformity occurs when individuals change their behavior to fit in with the expectations of an authority figure or the expectations of a larger group.

Total Institutions

Prisons are examples of total institutions.

4.6: Gender Socialization

4.6.1: Gender Socialization

Gender socialization is the process of teaching people how to behave as men or women.

Learning Objective

Analyze how the process of gender socialization has an impact on the lifespan development of a person, specifically related to stereotypes between men and women

Key Points

• Gender socialization begins even before a baby is born.
• Gender is socialized through media messages, school instruction, family expectations, and experiences in the workplace.
• The process of gender socialization continues as adolescents enter the workforce. Research has found that adolescents encounter stereotypes of gendered performance in their first jobs.

Key Term

gender

The socio-cultural phenomenon of the division of people into various categories such as male and female, with each having associated roles, expectations, stereotypes, etc.

Examples

• Disney movies present clear narratives of how men and women are supposed to behave, socializing young children.
• Disney movies present clear narratives of how men and women are supposed to behave, socializing young children.

Sociologists and other social scientists generally attribute many of the behavioral differences between men and women to socialization. Socialization is the process of transferring norms, values, beliefs, and behaviors to future group members. In regards to gender socialization, the most common groups people join are the gender categories male and female. Even the categorical options of gender an individual may choose is socialized; social norms act against selecting a gender that is neither male or female. Thus, gender socialization is the process of educating and instructing potential men and women how to behave as members of that particular group.

Socialization Before Birth

Preparations for gender socialization begin even before the birth of the child. One of the first questions people ask of expectant parents is whether the baby will be a boy or girl. This is the beginning of a social categorization process that continues throughout life. Preparations for the birth of the child often take the expected sex into consideration, such as painting the infant’s room pink or blue.

Early Life Socialization

One illustration of early life gender socialization can be seen in preschool classrooms. Children in preschool classrooms where teachers were told to emphasize gender differences saw an increase in stereotyped views of what activities are appropriate for boys or girls, while children with teachers who did not emphasize gender showed no increase in stereotyped views. This clearly demonstrates the influence of socialization on the development of gender roles; subtle cues that surround us in our everyday lives strongly influence gender socialization.

Adolescent Socialization

The process of gender socialization continues as adolescents enter the workforce. Research has found that adolescents encounter stereotypes of gendered performance in the workforce in their first jobs. First jobs are significantly segregated by sex. Girls work fewer hours and earn less per hour than boys. Hourly wages are higher in job types dominated by boys while girls are more frequently assigned housework and childcare duties. The impact of these first experiences in the professional world will shape adolescents’ perspectives on how men and women behave differently in the workforce.

Gender Socialization in Infants

Preparations for the birth of the child often take the expected sex into consideration, such as painting the infant’s room pink or blue.

4.6.2: Learning the Gender Gap

The gender pay gap, or the difference between male and female earnings, is primarily due to discriminatory social processes.

Learning Objective

Discuss the impact the gener pay/wage gap can have on both men and, in particular, women, in the economic world

Key Points

• There is a debate as to what extent the gender pay gap is the result of gender differences, implicit discrimination due to lifestyle choices, or because of explicit discrimination.
• The unadjusted wage gap refers to a measure of the wage gap that does not take into account differences in personal and workplace characteristics between men and women.
• We can assume that the adjusted wage gap represents the gap due to implicit discrimination. In other words, the social forces that cause women to stay home with children more frequently than men or to be less aggressive, are responsible for this part of the wage gap.
• The difference between the unadjusted and the adjusted wage gap is due to explicit discrimination or the fact that on average, a woman will make less than an identical man in the exact same occupation.
• Studies have shown that the majority of the gender wage gap is due to implicit, not explicit, discrimination.

Key Terms

The gender pay gap

The gender pay gap is the difference between male and female earnings expressed as a percentage of male earnings, according to the OECD.

glass ceiling

An unwritten, uncodified barrier to further promotion or progression for a member of a specific demographic group.

Example

• Men are paid more per hour and are promoted more frequently than women, both examples of the gender pay gap.

The gender pay gap is the difference between male and female earnings expressed as a percentage of male earnings, according to the Organisation for Economic Co-operation and Development (OECD). The European Commission defines it as the average difference between men and women’s hourly earnings. There is a debate as to what extent this is the result of gender differences, implicit discrimination due to lifestyle choices, or because of explicit discrimination. If it is a result of gender differences, then the pay gap is not a problem; men are simply better equipped to perform more valuable work than women. If it is a result of implicit discrimination due to lifestyle choices, then women’s lower earnings result from the fact that women typically take more time off when having children or choose to work fewer hours. If it is explicit discrimination, then the pay gap is a result of stereotypical beliefs, conscious or unconscious, from those who hire and set salaries.

Most who study the gender wage gap assume that it is not due to differences in ability between genders – while in general men may be better at physical labor, the pay gap persists in other employment sectors as well. This implies that the gender gap stems from social, rather than biological, origins.

In order to determine whether the gender gap is a result of implicit or explicit discrimination, we can look at the adjusted and unadjusted wage gap. The unadjusted wage gap refers to a measure of the wage gap that does not take into account differences in personal (e.g., age, education, the number of children, job tenure, occupation, and occupational crowding) and workplace (e.g., the economic sector and place of employment) characteristics between men and women. Parts of the raw pay gap can be attributed to the fact that women, for instance, tend to engage more often in part-time work and tend to work in lower paid industries. The remaining part of the raw wage gap that cannot be explained by variables that are thought to influence pay is then referred to as the adjusted gender pay gap and may be explicitly discriminatory.

The total wage gap in the United States is 20.4 percent. A study commissioned by the United States Department of Labor, prepared by Consad Research Corp, asserts that there are “observable differences in the attributes of men and women that account for most of the wage gap. Statistical analysis that includes those variables has produced results that collectively account for between 65.1 and 76.4 percent of a raw gender wage gap of 20.4 percent, and thereby leave an adjusted gender wage gap that is between 4.8 and 7.1 percent. ” Thus, only a relatively small part of the wage gap is due to explicit discrimination .

Gender Pay Gap in the United States, 1980-2009

This graph depicts the female-to-male earnings ratio, median yearly earnings among full-time, year-round workers from 1980 to 2009.

We can assume that the remainder (the gap attributed to the measured variables) is the result of implicit discrimination, that is, social forces that pressure women into working part time, to stay home with their children, to be less aggressive in pursuing promotions or raises, etc. A 2010 report by the European Foundation for the Improvement of Living and Working Conditions, for example, pointed out that “the major reasons for this gap are very often related to both horizontal and vertical segregation – or the fact that women tend to choose lower-paid professions, reach a ‘glass ceiling’ in their careers, or have their jobs valued less favourably. The origins of these factors could be judged as being discriminatory in themselves, that is, when they are rooted in gender stereotypes of male and female occupations . “

4.6.3: Gender Messages in the Family

Gender role theory posits that boys and girls learn the appropriate behavior and attitudes from the family with which they grow up.

Learning Objective

Justify how the family acts as the most important agent of gender socialization for children and adolescents

Key Points

• Primary socialization – the socialization that occurs during childhood and depends mostly on a child’s family members – is typically the most long-lasting and influential phase of socialization. Therefore, the gender roles learned from family will endure.
• The family is the most important agent of socialization because it serves as the center of the child’s life.
• The division of labor between men and women contributes to the creation of gender roles, which in turn, lead to gender-specific social behavior.
• In the adult years the demands of work and family overwhelm most peer group relations and the influence of peers seriously declines as an agent of socialization, only to return during the elderly years.
• The division of labor creates gender roles, which in turn, lead to gendered social behavior.

Key Terms

primary socialization

The socialization that takes place early in life, as a child and adolescent.

Division of labor

A division of labour is the dividing and specializing of cooperative labour into specifically circumscribed tasks and roles.

gender role theory

The idea that boys and girls learn the behavior and attitudes about how to perform one’s biologically assigned gender.

Example

• Families divide responsibilities between parents. In many American families, the father serves as the breadwinner, while the mother maintains the household. This teaches their children that the expected gender roles for men and women require the father to work and the mother to remain in the domestic sphere.

Gender role theory posits that boys and girls learn the appropriate behavior and attitudes from the family and overall culture in which they grow up, and that non-physical gender differences are a product of socialization. Social role theory proposes that social structure is the underlying force behind gender differences, and that the division of labor between two sexes within a society motivates the differences in their respective behavior. Division of labor creates gender roles, which in turn, lead to gender-specific social behavior.

Family is the most important agent of socialization because it serves as the center of a child’s life. Socialization theory tells us that primary socialization – the process that occurs when a child learns the attitudes, values and actions expected of individuals within a particular culture – is the most important phase of social development, and lays the groundwork for all future socialization. Therefore, the family plays a pivotal role in the child’s development, influencing both the attitudes the child will adopt and the values the child will hold. Socialization can be intentional or unintentional; the family may not be conscious of the messages it transmits, but these messages nonetheless contribute to the child’s socialization. Children learn continuously from the environment that adults create, including gender norms.

For example, a child who grows up in a two-parent household with a mother who acts as a homemaker and a father who acts as the breadwinner may internalize these gender roles, regardless of whether or not the family is directly teaching them. Likewise, if parents buy dolls for their daughters and toy trucks for their sons, the children will learn to value different things.

4.6.4: Gender Messages from Peers

Peer groups can serve as a venue for teaching gender roles, especially if conventional gender social norms are strongly held.

Learning Objective

Discuss how peer groups can have a major impact on the gender socialization of a person, particularly children and adolescents

Key Points

• Gender roles refer to the set of social and behavioral norms that are considered socially appropriate for individuals of a specific sex in the context of a specific culture.
• Through gender-role socialization, group members learn about sex differences, and social and cultural expectations.
• Early on, children begin to almost restrict themselves to same-gendered groups. Boys tend to participate in more active and forceful activities in larger groups, away from adults, while girls were more likely to play in small groups, near adults.
• The stereotypes are less prominent when the groups are mixed-gendered, because the difference is not salient.
• A girl who wishes to take karate class instead of dance lessons may be called a “tomboy,” facing difficulty gaining acceptance from both male and female peer groups.

Key Terms

gender roles

Sets of social and behavioral norms that are generally considered appropriate for either a man or a woman in a social or interpersonal relationship.

stereotype

A conventional, formulaic, and oversimplified conception, opinion, or image of a group of people or things.

Peer groups

Peer groups can serve as a venue for teaching members gender roles.

Example

• If a boy acts “too feminine,” he may be called a sissy and have difficulty gaining acceptance from other boys. If a girl acts “too masculine,” she may be called a tomboy and have difficulty gaining acceptance from other girls.

Gender role theory posits that boys and girls learn the appropriate behavior and attitudes from the family and overall culture in which they grow up, and so non-physical gender differences are a product of socialization. Social role theory proposes that the social structure is the underlying force for gender differences. Social role theory proposes that sex-differentiated behavior is motivated by the division of labor between two sexes within a society. Division of labor creates gender roles, which in turn lead to gendered social behavior.

Peer groups can serve as a venue for teaching members gender roles. Gender roles refer to the set of social and behavioral norms that are considered socially appropriate for individuals of a specific sex in the context of a specific culture, and which differ widely across cultures and historical periods.

Through gender-role socialization, group members learn about sex differences, and social and cultural expectations. Biological males are not always masculine and biological females are not always feminine. Both genders can contain different levels of masculinity and femininity. Peer groups can consist of all males, all females, or both males and females.

Peer groups can have great influence on each other’s gender role behavior depending on the amount of pressure applied. If a peer group strongly holds to a conventional gender social norm, members will behave in ways predicted by their gender roles, but if there is not a unanimous peer agreement, gender roles do not correlate with behavior. There is much research that has been done on how gender affects learning within student peer groups. The purpose of a large portion of this research has been to see how gender affects peer cooperative groups, how that affects the relationships that students have within the school setting, and how gender can then affect attainment and learning. One thing that is an influence on peer groups is student behavior.

Knowing early on that children begin to almost restrict themselves to same-gendered groups, it is interesting to see how those interactions within groups take place. Boys tend to participate in more active and forceful activities in larger groups, away from adults, while girls were more likely to play in small groups, near adults. These gender differences are also representative of many stereotypical gender roles within these same-gendered groups. The stereotypes are less prominent when the groups are mixed-gendered.

When children do not conform to the appropriate gender role, they may face negative sanctions such as being criticized or marginalized by their peers. Though many of these sanctions are informal, they can be quite severe. For example, a girl who wishes to take karate class instead of dance lessons may be called a “tomboy,” facing difficulty gaining acceptance from both male and female peer groups. Boys, especially, are subject to intense ridicule for gender nonconformity.

Female Peer Groups

Teenage cliques exert influence upon their members to conform to group standards, including group mores about gender.

4.6.5: Gender Messages in Mass Media

In mass media, women tend to have less significant roles than men, and are often portrayed in stereotypical roles, such as wives or mothers.

Learning Objective

Discuss the types of gender socialization people get from viewing various types of media

Key Points

• Gender socialization occurs through four major agents: family, education, peer groups, and mass media.
• Television commercials and other forms of advertising reinforce inequality and gender-based stereotypes.
• Particularly concerning are instances when women are depicted in dehumanizing, violent, and oppressive ways, especially in music videos.
• The mass media is able to deliver impersonal communications to a vast audience.

Key Terms

Gender socialization

The process of educating and instructing males and females as to the norms, behaviors, values, and beliefs of group membership as men or women.

impersonal communications

The mass media are the means for delivering impersonal communications directed to a vast audience, and include radio, advertising, television, and music.

television commercials

Television commercials and other forms of advertising also reinforce inequality and gender-based stereotypes.

Example

• An example of a music video spreading gender norms is the video for 50 Cent’s “Pimp. ” Much like most other rap music videos, women appear as servile, scantily-clad objects that exist chiefly to serve men.

Gender socialization occurs through four major agents: family, education, peer groups, and mass media. Because mass media has enormous effects on our attitude and behavior, notably in regards to aggression, it is an important contributor to the socialization process. This is particularly true with regards to gender. In television and movies, women tend to have less significant roles than men. They are often portrayed as wives or mothers, rather than as main characters. When women are given a lead role, they are often one of two extremes: either a wholesome, saint-like figure or a malevolent, hyper-sexual figure. This same inequality is similarly pervasive in children’s movies. Research indicates that among the 101 top-grossing, G-rated movies released between 1990 and 2005, three out of every four characters were male. Out of those movies, only seven films were even close to having a balanced cast of characters, with a ratio of less than 1.5 male characters per 1 female character.

Television commercials and other forms of advertising reinforce inequality and gender-based stereotypes. Women almost exclusively appear in ads that promote cooking, cleaning, or childcare-related products. In general, women are underrepresented in roles, or ads, that reference leadership, intelligence, or a balanced psyche. Particularly concerning are instances when women are depicted in dehumanizing, oppressive ways, especially in music videos. The music video for “Pimp,” a song by 50 Cent, Snoop Dogg, and G-Unit, demonstrates how harmful gender messages can be disseminated through mass media. In the video, women are objectified and portrayed as only existing to serve men. They wear little clothing and are walked around on leashes by men, as if they were dogs and not humans.

Gender Messages in Mass Media

Traditional images of American gender roles reinforce the idea that women should be subordinate to men.

4.7: Socialization Throughout the Life Span

4.7.1: Socialization Throughout the Life Span

Socialization is the lifelong process of preparing an individual to live within his or her own society.

Learning Objective

Discuss the concept of both primary and secondary socialization as a lifelong process which begins in infancy and continues into late adulthood

Key Points

• Socialization is the lifelong process of inheriting and disseminating norms, customs and ideologies, providing an individual with the skills and habits necessary for participating within his or her own society.
• Socialization is the process by which human infants acquire the skills necessary to perform as a functioning member of their society, a process that continues throughout an individual’s life.
• The socialization process can be divided into primary and secondary socialization. Primary socialization occurs when a child learns the attitudes, values and actions appropriate to individuals as members of a particular culture. This is mainly influenced by the immediate family and friends.
• Secondary socialization is the process of learning what is the appropriate behavior as a member of a smaller group within the larger society. It is the behavioral patterns reinforced by socializing agents of society. like schools and workplaces.
• The life course approach was developed in the 1960s for analyzing people’s lives within structural, social and cultural contexts.

Key Terms

socialization

The process of learning one’s culture and how to live within it.

agent

One who exerts power, or has the power to act; an actor.

Example

• Any study that focuses on how cultural context influences individual development is an example of the life course approach. An example would be Erving Goffman’s work Asylum, which discusses how individuals are molded by institutions.

Socialization refers to the lifelong process of inheriting and disseminating norms, customs and ideologies that provide an individual with the skills necessary for participating within society. Socialization is a process that continues throughout an individual’s life. Some social scientists say socialization represents the process of learning throughout life and is a central influence on the behavior, beliefs and actions of adults as well as of children.

George Herbert Mead (1902–1994) developed the concept of self as developed with social experience. Since social experience is the exchange of symbols, people find meaning in every action, and seeking meaning leads people to imagine the intention of others from the others’ point of view. In effect, others are a mirror in which we can see ourselves. Charles Horton Cooley (1902-1983) coined the term “looking glass self;” the self-image based on how we think others see us. According to Mead, the key to developing the self is learning to take the role of the other. With limited social experience, infants can only develop a sense of identity through imitation. Children gradually learn to take the roles of several others. The final stage is the generalized other; the widespread cultural norms and values we use as a reference for evaluating others.

Primary and Secondary Socialization

The socialization process can be divided into primary and secondary socialization. Primary socialization occurs when a child learns the attitudes, values and actions appropriate to individuals as members of a particular culture. This is mainly influenced by the immediate family and friends. Secondary socialization is the process of learning what is the appropriate behavior as a member of a smaller group within the larger society. It is the behavioral patterns reinforced by socializing agents of society like schools and workplaces. For example, as new employees become socialized in an organization, they learn about its history, values, jargon, culture and procedures.

The Life Course Approach

The life course approach was developed in the 1960s for analyzing people’s lives within structural, social and cultural contexts. Origins of this approach can be traced to such pioneering studies as Thomas’s and Znaniecki’s “The Polish Peasant in Europe and America” from the 1920s or Mannheim’s essay on the “Problem of generations. ” The life course approach examines an individual’s life history and how early events influence future decisions.

Life Course Approach

The life course approach studies the impact that sociocultural contexts have on an individual’s development, from infancy until old age.

4.7.2: The Life Course

The life course approach analyzes people’s lives within structural, social, and cultural contexts.

Learning Objective

Explain the life course perspective as it relates to a person’s development from infancy to old age, in terms of structural, social and cultural contexts

Key Points

• The life course approach refers to an approach developed in the 1960s for analyzing people’s lives within structural, social, and cultural contexts.
• The life course approach examines an individual’s life history and sees for example how early events influence future decisions and events, giving particular attention to the connection between individuals and the historical and socioeconomic context in which they lived.
• In a more general reading of the life course, human life is seen as divided into stages, which are somewhat arbitrary, but capture periods of life that are similar across cultures. These stages of life often inform and are reinforced by legal definitions of life stages.

Key Terms

life course

the sequence of events, roles and age categories that people pass through from birth until death, all of which are culturally defined

age

Mature age; especially, the time of life at which one attains full personal rights and capacities.

socioeconomic

Of or pertaining to social and economic factors.

The life course approach, also known as the life course perspective, or life course theory, refers to an approach developed in the 1960s for analyzing people’s lives within structural, social, and cultural contexts. Origins of this approach can be traced to pioneering studies such as Thomas’s and Znaniecki’s “The Polish Peasant in Europe and America” from the 1920s or Mannheim’s essay on the “Problem of generations”.

The life course approach examines an individual’s life history and sees for example how early events influence future decisions and events, giving particular attention to the connection between individuals and the historical and socioeconomic context in which they have lived. It holds that the events and roles that are part of the person’s life course do not necessarily proceed in a given sequence, but rather constitute the sum total of the person’s actual experience.

In a more general reading, human life is seen as often divided into various age spans such as infancy, toddler, childhood, adolescence, young adult, prime adulthood, middle age, and old age . These divisions are somewhat arbitrary, but generally capture periods of life that reflect a certain degree of similarity in development across cultures.

Old Age

This man is well into his later years and depicts life in its final stages.

In many countries, such as Sweden and the United States, adulthood legally begins at the age of eighteen. This is a major age milestone that is marked by significantly different attitudes toward the person who undergoes the transition. This is an example that demonstrates the influence of developmental stages on legal determinations of life stages, and thus, attitudes towards people at different stages of the human life course.

Infant

This picture depicts an individual at the earliest of life stages.

4.7.3: Anticipatory Socialization and Resocialization

Anticipatory socialization comes from an individual’s desire to join a group while resocialization is imposed upon an individual by a group.

Learning Objective

Explain the two steps associated with the resocialization process and how people use anticipatory socialization as a means to gain entrance into desired social groups

Key Points

• Anticipatory socialization is the process of changing one’s attitudes and behaviors in preparation for a shift in one’s role.
• The process of anticipatory socialization is facilitated by social interactions with the group they aspire to join.
• Resocialization is radically changing an inmate’s personality by carefully controlling their environment.
• Resocialization is a two-part process. First, the staff of the institution tries to erode the residents’ identities and independence. Second, there is a systematic attempt to build a different personality or self.

Key Terms

Anticipatory socialization

Anticipatory socialization is the process, facilitated by social interactions, in which non-group-members learn to take on the values and standards of groups that they aspire to join, so as to ease their entry into the group and help them interact competently once they have been accepted by it.

Social interactions

It refers to a relationship between two (i.e. a dyad), three (i.e. a triad) or more individuals (e.g. a social group).

Example

• An example of anticipatory socialization includes law school students learning how to behave like lawyers. An example of resocialization is the process of bringing new recruits into the military.

Anticipatory Socialization

Anticipatory socialization is the process by which non-group-members adopt the values and standards of groups that they aspire to join, so as to ease their entry into the group and help them interact appropriately once they have been accepted. It involves changing one’s attitudes and behaviors in preparation for a shift in one’s role. Practices commonly associated with anticipatory socialization include grooming, play-acting, training, and rehearsing. Examples of anticipatory socialization include law school students learning how to behave like lawyers, older people preparing for retirement, and Mormon boys getting ready to become missionaries.

Anticipatory socialization was first defined by sociologist Robert K. Merton. It has its origins in a 1949 study of the United States military which found that privates who modeled their attitudes and behaviors on those of officers were more likely to be promoted than those who did not.

When people are blocked from access to a group they might have wanted to join, they reject that group’s values and norms. Instead, they begin an anticipatory socialization process with groups that are more receptive to them. One example of this is the case of economically disadvantaged teenagers who seek to become drug dealers rather than professionals. While some critics would claim that these individuals lack motivation, some sociologists say they are simply making a pragmatic adjustment to the opportunities available to them.

Resocialization

Resocialization is defined as radically changing someone’s personality by carefully controlling their environment. Total institutions aim to radically alter residents’ personalities through deliberate manipulation of their environment. Key examples include the process of resocializing new recruits into the military so that they can operate as soldiers (or, in other words, as members of a cohesive unit) and the reverse process, in which those who have become accustomed to such roles return to society after military discharge. Resocialization may also be required for inmates who come out of prison and need to acclimate themselves back into civilian life.

Resocialization is a two-part process. First, the staff of the institution tries to erode the residents’ identities and sense of independence. Strategies include forcing individuals to surrender all personal possessions, cut their hair in a uniform manner, and wear standardized clothing. Independence can be eroded by subjecting residents to humiliating and degrading procedures. Examples include strip searches, fingerprinting, and replacing residents’ given names with serial numbers or code names. Second, resocialization involves the systematic attempt to build a different personality or self. This is generally accomplished through a system of rewards and punishments. The privilege of reading a book, watching television, or making a phone call can be powerful motivation to conform. Conformity occurs when individuals change their behavior to fit the expectations of an authority figure or the expectations of a larger group.

Guitar Lessons

The young woman is interacting with her professor in anticipation of being associated with other guitarists

4.7.4: Stages of Socialization Throughout the Life Span

The socialization process can be separated into two main stages: primary socialization and secondary socialization.

Learning Objective

Give examples of how the socialization process progresses throughout a person’s life

Key Points

• The life process of socialization is generally divided into two parts: primary and secondary socialization.
• Primary socialization takes place early in life, as a child and adolescent. This is when an individual develops their core identity.
• Secondary socialization takes place throughout an individual’s life, both as a child and as one encounters new groups. This involves more specific changes in response to the acquisition of new group memberships and roles and differently structured social situations.
• Some of the more significant contributors to the socialization process are: parents, guardians, friends, schools, siblings or other family members, social clubs (like religions or sports teams), life partners (romantic or platonic), and co-workers.

Key Terms

primary socialization

The socialization that takes place early in life, as a child and adolescent.

secondary socialization

The socialization that takes place throughout one’s life, both as a child and as one encounters new groups that require additional socialization.

Socialization is a life process, but is generally divided into two parts: primary and secondary socialization.

Primary Socialization

The nuclear family serves as the primary force of socialization for young children.

Primary socialization takes place early in life, as a child and adolescent. Secondary socialization refers to the socialization that takes place throughout one’s life, both as a child and as one encounters new groups that require additional socialization. While there are scholars who argue that only one or the other of these occurs, most social scientists tend to combine the two, arguing that the basic or core identity of the individual develops during primary socialization, with more specific changes occurring later—secondary socialization—in response to the acquisition of new group memberships and roles and differently structured social situations. The need for later-life socialization may stem from the increasing complexity of society with its corresponding increase in varied roles and responsibilities.

Secondary Socialization

By the time individuals are in their preteen or teenage years, peer groups play a more powerful role in socialization than family members.

Mortimer and Simmons outline three specific ways these two parts of socialization differ:

1. Content: Socialization in childhood is thought to be concerned with the regulation of biological drives. In adolescence, socialization is concerned with the development of overarching values and the self-image. In adulthood, socialization involves more overt and specific norms and behaviors, such as those related to the work role as well as more superficial personality features.
2. Context: In earlier periods, the socializee (the person being socialized) more clearly assumes the status of learner within the context of the initial setting (which may be a family of orientation, an orphanage, a period of homelessness, or any other initial social groups at the beginning of a child’s life), the school (or other educational context), or the peer group. Also, relationships in the earlier period are more likely to be affectively charged, i.e., highly emotional. In adulthood, though the socializee takes the role of student at times, much socialization occurs after the socializee has assumed full incumbency of the adult role. There is also a greater likelihood of more formal relationships due to situational contexts (e.g., work environment), which moderates down the affective component.
3. Response: The child and adolescent may be more easily malleable than the adult. Also, much adult socialization is self-initiated and voluntary; adults can leave or terminate the process at any time if they have the proper resources (symbolic, financial, and social) to do so.

Socialization is, of course, a social process. As such, it involves interactions between people. Socialization, as noted in the distinction between primary and secondary, can take place in multiple contexts and as a result of contact with numerous groups. Some of the more significant contributors to the socialization process are: parents, guardians, friends, schools, siblings or other family members, social clubs (like religions or sports teams), life partners (romantic or platonic), and co-workers. Each of these groups include a culture that must be learned and to some degree appropriated by the socializee in order to gain admittance to the group.

4.7.5: Childhood

Childhood has been constructed in different ways over time, though modern childhood is often defined by play, learning and socializing.

Learning Objective

Evaluate the importance of childhood (early, middle and adolescence) in terms of socialization and acceptance in society

Key Points

• Contemporary conceptions of childhood generally divide the period into three main stages: early childhood (toddlerhood), middle childhood, and adolescence.
• Childhood is not an absolute concept defined by age and experience. Instead, childhood as a concept has been conceived in very different manners over time.
• American culture figures outdoor play as an essential part of childhood, though the reality is that children are increasingly playing indoors.

Key Terms

middle childhood

It is the school age and begins at around seven or eight.

adolescence

The transitional period of physical and psychological development between childhood and maturity.

toddlerhood

The period of one’s life in which one is a toddler

Childhood is the age span ranging from birth to adolescence. In developmental psychology, childhood is divided up into the developmental stages of toddlerhood (learning to walk), early childhood (play age), middle childhood (school age), and adolescence (puberty through post-puberty).

Age Ranges of Childhood

The term childhood is non-specific and can imply a varying range of years in human development, depending on biological, personal, religious, cultural, or national interpretations. Developmentally and biologically, it refers to the period between infancy and puberty. In common terms, childhood is considered to start from birth. Some consider that childhood, as a concept of play and innocence, ends at adolescence. In the legal systems of many countries, there is an age of majority at which point childhood officially ends and a person legally becomes an adult. Globally, the age of majority ranges anywhere from 15 to 21, with 18 being the most common.

Developmental Stages of Childhood

Early childhood follows the infancy stage and begins with toddlerhood, reached when the child begins speaking or taking steps independently. Toddlerhood ends around age three when the child becomes less dependent on parental assistance for basic needs and early childhood continues approximately through years seven or eight. According to the National Association for the Education of Young Children, early childhood spans the from birth to age eight.

In most western societies, middle childhood begins at around age seven or eight, approximating primary school age and ends around puberty, which typically marks the beginning of adolescence.

Adolescence is usually determined by the onset of puberty. However, puberty may also begin in preadolescents. The end of adolescence and the beginning of adulthood varies by country. Even within a single nation-state or ethic group there may be different conceptions of when an individual is considered to be (chronologically and legally) mature enough to be entrusted by society with certain tasks.

Modern Concepts of Childhood

The concept of childhood appears to evolve and change shape as lifestyles change and adult expectations alter. Some believe that children should not have any worries and should not have to work; life should be happy and trouble-free. Childhood is generally a time of playing, learning, socializing, exploring, and worrying in a world without much adult interference, aside from parents. It is a time of learning about responsibilities without having to deal with adult responsibilities.

Childhood is often retrospectively viewed as a time of innocence. According to this view, children have yet to be negatively influenced by society and are naive, rather than ignorant. A “loss of innocence” is a common concept, and is often seen as an integral part of coming of age. It is usually thought of as an experience or period in a child’s life that widens their awareness of evil, pain or the world around them. This theme is demonstrated in the novels To Kill a Mockingbird and Lord of the Flies. The fictional character Peter Pan is the embodiment of a childhood that never ends.

Play

Play is essential to the cognitive, physical, social, and emotional well-being of children. It offers children opportunities for physical (running, jumping, climbing, etc.), intellectual (social skills, community norms, ethics, and general knowledge) and emotional development (empathy, compassion, and friendships). Unstructured play encourages creativity and imagination and allows children to interact with the world around them. Playing and interacting with other children, as well as with some adults, provides opportunities for friendships, social interactions, practicing adult roles, and resolving conflicts.

Play

Play is essential for the cognitive, physical, and social wellbeing of children.

Undirected play allows children to learn how to work in groups, to share, to negotiate, to resolve conflicts, and to learn self-advocacy skills. However, when play is controlled by adults, children acquiesce to adult rules and concerns and lose some of the benefits play offers them, particularly in developing creativity, leadership, and group skills.

Play is considered to be so important to optimal child development that it has been recognized by the United Nations High Commission for Human Rights as a right of every child. Raising children in a hurried and pressured style may limit the benefits they would gain from child-driven play.

American culture considers outdoor play as an essential part of childhood. However, the reality is that children are increasingly playing indoors. Nature Deficit Disorder, a term coined by Richard Louv in his 2005 book Last Child in the Woods, refers to the alleged trend in the United States that children are spending less time outdoors, resulting in a wide range of behavioral problems. With the advent of the computer, video games, and television, children have more reasons to stay inside rather than outdoors exploring. On average, American children spend forty-four hours per week with electronic media. Parents are also keeping children indoors in order to protect them from their growing fear of stranger danger.

Kids playing in the street

Children street culture transforms seemingly normal places into imaginative worlds

4.7.6: Adolescence

Adolescence is a period of significant cognitive, physical and social development, including changes in family and peer relationships.

Learning Objective

Discuss the influences on, and significance of, adolescent socialization and development, culminating in the development of autonomy

Key Points

• In addition to biological and social development, adolescents are also subject to a varied experiences across cultures depending on norms and expectations around sexuality, autonomy and occupation.
• Today, media has a significant influence on the experience and conceptions of adolescents, particularly in Westernized societies.
• The experience of adolescence is influenced by external factors like cultural norms and the media.

Key Terms

adolescence

The transitional period of physical and psychological development between childhood and maturity.

puberty

the age at which a person is first capable of sexual reproduction

Adolescence is a transitional stage of physical and psychological human development, generally occurring between puberty and legal adulthood. Though the period of adolescence is most closely associated with the teenage years, chronological age provides only a rough marker of adolescence, and scholars have found it difficult to agree upon a precise definition. Thus, a thorough understanding of adolescence depends on information from various perspectives, most importantly from the areas of psychology, biology, history, sociology, education, and anthropology. Within all of these disciplines, adolescence is viewed as a transitional period between childhood with the purpose of preparing children for adult roles.

The end of adolescence and the beginning of adulthood varies by country and by function. Even within a single nation-state or culture, there can be different ages at which an individual is considered to be (chronologically and legally) mature enough to handle certain tasks. In the west, such “coming of age” milestones include driving a vehicle, having legal sexual relations, serving in the armed forces or on a jury, purchasing and drinking alcohol, voting, entering into contracts, completing certain levels of education, and marrying. Adolescence is usually accompanied by increased independence and less supervision by parents or legal guardians.

The study of adolescent development often involves interdisciplinary collaborations. For example, researchers in neuroscience or bio-behavioral health might focus on pubertal changes in brain structure and its effects on cognition or social relations. Sociologists interested in adolescence might focus on the acquisition of social roles (e.g., worker or romantic partner) and how this varies across cultures or social conditions. Developmental psychologists might focus on changes in relations with parents and peers as a function of school structure and pubertal status.

Peer Relationships

Peer groups are especially important during adolescence, a period of development characterized by a dramatic increase in time spent with peers and a decrease in adult supervision. Adolescents also associate with friends of the opposite sex much more than in childhood and tend to identify with larger groups of peers based on shared characteristics.

Peer groups offer members the opportunity to develop various social skills like empathy, sharing and leadership. They can have positive influences on an individual, including academic motivation and performance. They can also have negative influences and lead to an increase in experimentation with drugs, drinking, vandalism, and stealing. Susceptibility to peer pressure increases during early adolescence, peaks around age 14, and declines thereafter.

During early adolescence, adolescents often associate in cliques; exclusive, single-sex groups of peers with whom they are particularly close. Toward late adolescence, cliques often merge into mixed-sex groups as teenagers begin romantically engaging with one another. These small friend groups break down even further as socialization becomes more couple-oriented. Despite the common notion that cliques are an inherently negative influence, they may help adolescents become socially acclimated and form a stronger sense of identity.

Romance and Sexual Activity

Romantic relationships tend to increase in prevalence throughout adolescence. By age 15, 53 percent of adolescents have had a romantic relationship that lasted at least one month over the course of the previous 18 months. A 2002 American study found that the average age of first sexual intercourse was 17 for males and 17.3 for females. As individuals develop into mature adolescents, there is an increase in the likelihood of a long-term relationship, which can be explained by sexual maturation and the development of cognitive skills necessary to maintain a romantic bond (e.g. caregiving, appropriate attachment). Long-term relationships allow adolescents to gain skills necessary for high-quality relationships later in life and contribute to development of feelings of self-worth.

Adolescence marks a time of sexual maturation, which impacts the types of social interactions adolescents maintain. While adolescents may engage in casual sexual encounters (often referred to as hookups in the United States), most sexual experience during this period of development takes place within romantic relationships.

Autonomy

Adolescents strive for autonomy. According to McElhaney et al., there are three ways in which autonomy can be described:

1. Emotional autonomy is the development of more adult-like close relationship with adults and peers
2. Behavioral autonomy, is the ability to make independent decisions and follow through with them
3. Cognitive autonomy is characterized as the manifestation of an independent set of beliefs, values and opinions

Adolescent Flirtation

Adolescence is a time of social and sexual exploration.

4.7.7: Transitional Adulthood

Coming of age traditions, while different across the world, are seen in almost every society.

Learning Objective

Discuss how a young person “comes of age”, particularly in the context of religion or rituals

Key Points

• In many cultures, the transition from childhood to adulthood is marked by a coming of age tradition. In some, such traditions are associated with the arrival of sexual maturity in early adolescence; in others, it is associated with the arrival of new religious responsibilities.
• Often, coming of age traditions are religious, and signify that the individual is taking on a different role in his or her religious life, such as the Jewish bar mitzvah or Hindu ceremonies celebrating maturity.
• Other times these traditions are secular in nature and can range from legal benefits to extravagant parties.

Key Term

coming of age

A person’s journey from childhood or adolescence to adulthood.

“Coming of age” refers to a young person’s transition from childhood to adulthood. The age at which this transition takes place varies among different societies, as does the nature of the transition. It can be a simple legal convention or can be part of a larger ritual. In some societies today, such changes are associated with the arrival of sexual maturity in early adolescence; in others, it is associated with the arrival of an age at which point one carries religious responsibilities. In western societies, legal conventions stipulate points in late adolescence or early adulthood that mark the age of maturity are the focus of the transition. Still, many cultures retain ceremonies to confirm the coming of age and benefits come with the change.

Religion

Religion is often a determinant of when and how individuals come of age.

When members of the Baha’i faith turn 15, they reach the “age of maturity” and are considered spiritually mature, and are responsible for individually determining whether they wish to remain members of Baha’i. Those who declare that they wish to remain members of Baha’i are expected to begin observing certain Baha’i laws, such as obligatory prayer and fasting.

In many Christian churches, a young person celebrates his or her coming of age with the Sacrament of Confirmation. Some traditions withhold the rite of Holy Communion from those not yet at the age of accountability on the grounds that children do not understand what the sacrament means. In some denominations, full membership in the church, if not bestowed at birth, often must wait until the age of accountability, and is frequently granted only after a period of preparation known as catechesis. The time of innocence before one has the ability to understand truly the laws of God, and during which God sees one as innocent, is also seen as applying to individuals who suffer from a mental disability which prevents them from ever reaching a time when they are capable of understanding the laws of God. These individuals are thus seen as existing in a perpetual state of innocence by the grace of God.

In Hinduism, coming of age generally signifies that a boy or girl are mature enough to understand his responsibility towards family and society. Hinduism also has the sacred thread ceremony for Dvija (twice-born) boys that marks their coming of age to do religious ceremonies. Women often celebrate their coming to age by having a ceremony. This ceremony includes dressing themselves in saris and announcing their maturity to the community

In Islam, children are not required to perform any obligatory acts of Islamic teachings prior to reaching the age of puberty, although they should be encouraged to begin praying at the age of seven. Before reaching puberty it is recommended to pray in obeisance to Allah and to exemplify Islamic customs, but as soon as one exhibits any characteristic of puberty, that person is required to perform the prayers and other obligations of Islam.

In the Jewish faith, boys reach religious maturity at the age of 13, signified by their bar mitzvah ceremony. Girls are believed to mature earlier and can have their bat mitzvah at the age of 12. Once the ritual is done, the new men and women are looked upon as adults and are expected to uphold the Jewish commandments and laws.

Professional Initiatory Rituals

Coming of age initiation rituals can occur in various professional organizations. In many universities of Europe, South America and India, first year students are made to undergo tests or humiliation before being accepted as students. Perhaps the oldest of these is “Raisin Monday,” which is still ongoing is at the University of St. Andrews in Scotland. A senior student will take a new student and show him or her around the university. In gratitude, the new student will give the senior student a pound of raisins, for which the senior student gave receipts. If a new student later fails to produce the receipt that demonstrated his gift upon command, he could be thrown into a fountain.

Universities in Chile follow an annual ritual called “Mechoneo” (the act of pulling somebody’s hair). First year students are initiated by theatrical “punishment. ” Freshmen are tied together while upperclassmen throw them eggs, flour, water, etc. Some universities have traditional ways of initiating freshmen. In the United States, these sorts of initiation rituals are most commonly found in fraternities and sororities. Greek organizations may have different processes for associate members, also known as pledges, to become a member.

Bar Mitzvah

This thirteen-year-old boy is dressed in the religious garb and symbols of the Jewish faith on the day of his bar mitzvah. He is about to be recognized as an adult by the Jewish community.

4.7.8: Marriage and Responsibility

People marry for love, for socioeconomic stability, to start a family, and to create obligations between one another.

Learning Objective

Assess the importance of the institution of marriage, as well as the various reasons why people enter into a marriage

Key Points

• Marriage rituals and traditions have changed significantly over time and vary across cultures.
• Marriage is a personal and sentimental act as well as one that often has religious and legal implications and significance.
• As of 2003, one’s level of educational attainment was a significant predictor of the educational attainment of one’s spouse.

Key Terms

marriage

The union of two (or sometimes more) people, usually to the exclusion of all others.

same-sex marriage

A marriage that unifies two people of the same sex either legally or only symbolically.

procreation

The sexual activity of conceiving and bearing biological offspring.

Marriage is a governmentally, socially, or religiously recognized interpersonal relationship, usually intimate and sexual, that is often created as a form of contract. The most frequently occurring form of marriage is between a woman and a man, where the feminine term wife and the masculine husband are generally used to describe the parties to the contract. Some countries and American states recognize same-sex marriage, but gaining recognition for these unions is a legal battle occurring around the world .

Same-Sex Marriage

In some states and countries, homosexual couples can get legally married.

The ceremony in which a marriage is enacted and announced to the community is called a wedding. The reasons people marry vary widely, but usually include publicly and formally declare their love, the formation of a single household unit, legitimizing sexual relations and procreation, social and economic stability, and the education and nurturing of children. A marriage can be declared by a wedding ceremony, which may be performed either by a religious officiator or through a similar government-sanctioned secular process. The act of marriage creates obligations between the individuals involved and, in some societies, between the parties’ extended families. Marriages are perpetual agreements with legal consequences, terminated only by the death of one party or by formal dissolution processes, such as divorce and annulment.

Schwartz and Mare examined trends in marriage over time and found that the old maxim “opposites attract” is less accurate of marriage than the maxim “birds of a feather flock together. ” Their research focused on one specific similarity in marital partners: education. They found that the correlation of educational levels of American married couples decreased in similarity slightly after World War II, but has since increased substantially. As of 2003, one’s level of educational attainment was a significant predictor of the educational attainment of one’s spouse. People without a high school diploma are unlikely to marry someone with more educational attainment and people with a college degree are likely to marry people with a similar level of educational attainment. Part of the reason why education is so influential in determining the level of education of one’s spouse is because people tend to form groups based on levels of education. First, there are the groups formed in the process of becoming educated; many people meet their spouses at school. But jobs after one completes his or her education also tend to be grouped by level of education. As a result, people spend more time with individuals of a similar level of educational attainment. As most people tend to marry or partner with individuals with whom they spend a lot of time, it is not surprising that there is significant educational similarity between spouses.

One well-known attribute of marriage is that it tends to have health benefits. Happily married people tend to be healthier than unmarried people. However, unhappily married couples may not receive the same health benefits and may actually be less healthy than their single peers.

Wedding

In many countries, heterosexual weddings have the women dress in traditional white with a veil and the men in a tuxedo.

4.7.9: The Middle Years

Middle adulthood is generally accompanied by a decline in physical health and fertility, and an increase in ability to cope with stress.

Learning Objective

Discuss the implications of middle age in terms of fading physical health and mortality concerns

Key Points

• There is much debate over the definition of the period in a person’s life called “middle years” or “middle adulthood,” but is generally thought to be experienced between the ages of 40 and 65.
• During this time, health begins to decline, but the middle-aged benefit from greater life experiences and less volatile responses to stress.
• Both male and female fertility begin to decline with middle age. Additionally, in developed countries, mortality begins to increase more noticeably each year from age 40 onwards.

Key Terms

middle age

The period of life between youth and old age; midlife.

aging

The process of becoming older or more mature.

advanced maternal age

Increases the risk of a child being born with some disorders, such as Down syndrome.

Middle age is the period of age beyond young adulthood but before the onset of old age. Various attempts have been made to define this age, which is around the third quarter of the average life span. The U.S. Census lists middle age as including people aged from 35 to 54, while developmental psychologist Erik Erikson argues that middle adulthood occurs from the age of 40 until 65.

Middle-aged adults often show visible signs of aging such as the loss of skin elasticity and the graying of hair. Physical fitness usually wanes, with a 5–10 kg (10-20 lb) accumulation of body fat, reduction in aerobic performance and a decrease in maximal heart rate. Strength and flexibility also decrease throughout middle age. However, people age at different rates and there can be significant differences between individuals of the same age.

Both male and female fertility declines with advancing age. Advanced maternal age increases the risk of a child being born with some disorders, such as Down syndrome. Advanced paternal age sharply increases the risk of miscarriage, as well as Down syndrome, schizophrenia, autism, and bipolar disorder. Middle aged women will experience menopause, which ends natural fertility, in their late 40s or early 50s.

In developed countries, mortality begins to increase more noticeably each year from age 40 onwards, mainly due to age-related health problems, such as heart disease and cancer. However, the majority of middle-age people in industrialized nations can expect to live into old age. In general, life expectancy in developing countries is much lower and the risk of death at all ages is higher.

However, well-being involves more than merely physical factors, and middle age is not experienced as a “time of decline” for healthy people. Middle-aged people benefit from greater life experience than they had when they were young; this contributes to happiness and makes emotional responses to stress less volatile.

Middle Age

Diana DeGette, a politician from Colorado, was born in 1957 and is in the middle age stage of life.

4.7.10: Parenthood

Parenting is the process of supporting the physical, emotional, social, and intellectual development of a child from infancy to adulthood.

Learning Objective

Contrast the four parenting styles: authoritarian, authoritative, permissive, and uninvolved

Key Points

• Parenting is defined by a range of different skills and styles. It is also a continuously changing process as the child grows and develops.
• Parenting challenges and techniques transform continuously over the lifespan of a child.
• Parenting is guided by different philosophies and practices, which inform parenting styles and family structure.
• Developmental psychologist Diana Baumrind identified three main parenting styles in early child development; these were later expanded to four: authoritarian, authoritative, permissive, and uninvolved.
• It is important to realize that parenting doesn’t end when a child turns 18. Support is needed in a child’s life well beyond the adolescent years and continues into middle and later adulthood.

Key Terms

authoritarian parenting style

Parenting styles can be very rigid and strict. Parents who practice authoritarian style parenting have a strict set of rules and expectations and require rigid obedience.

family planning

Birth control, especially when carried out by monogamous heterosexual couples.

parenting

Process of raising and educating a child from birth until adulthood.

Parenting is the process of promoting and supporting the physical, emotional, social, and intellectual development of a child from infancy to adulthood. Parenting refers to the aspects of raising a child aside from the biological relationship. Parenting is usually carried out by the biological parents of the child in question, although governments and society take a role as well.

Social class, wealth, and income have the strongest impact on what methods of child rearing parents use. Understanding parenting styles help us understand how those styles contribute to the behavior and development of children.

Parenting Styles

Developmental psychologist Diana Baumrind identified three main parenting styles in early child development: authoritarian, authoritative, and permissive. These parenting styles were later expanded to four, including an uninvolved style. These four styles of parenting involve combinations of acceptance and responsiveness on the one hand, and demand and control on the other.

• Authoritarian parenting styles can be very rigid and strict. If rules are not followed, punishment is most often used to ensure obedience. There is usually no explanation for punishment except that the child is in trouble and should listen accordingly.
• Authoritative parenting relies on positive reinforcement and infrequent use of punishment. Parents are more aware of a child’s feelings and capabilities, and they support the development of a child’s autonomy within reasonable limits. There is a give-and-take atmosphere involved in parent-child communication, and both control and support are exercised in authoritative parenting.
• Permissive or Indulgent parenting is most popular in middle class families in Western culture. In these family settings, a child’s freedom and autonomy are valued and parents tend to rely mostly on reasoning and explanation. There tends to be little if any punishment or rules in this style of parenting and children are said to be free from external constraints.
• An uninvolved parenting style is when parents are often emotionally absent and sometimes even physically absent. They have no little to no expectation of the child and regularly have no communication. They are not responsive to a child’s needs to do not demand anything of them in their behavioral expectations.

There is no single or definitive model of parenting. What may be right for one family or one child may not be suitable for another, although research shows that the authoritative parenting style is extremely effective and yields self-reliant, cheerful, and friendly children.

Various Parenting Practices

• Attachment Parenting: working strengthen the intuitive, psychological, and emotional bond between the primary caregiver and the child
• Helicopter Parenting: over-parenting; parents are constantly involving themselves, interrupting the child’s ability to function on their own
• Narcissistic Parenting: parents are driven by their own needs; their children are an extension of their own identity; use their children to live out their dreams
• Positive Parenting: unconditional support, guiding them and supporting them for healthy development
• Slow Parenting: allowing the child to develop their own interests and allowing them to grow into their own person; lots of family time; allowing children to make their own decisions; limit electronics, simplistic toys
• Spiritual Parenting: respecting the child’s individuality; making space for child to develop a sense of their own beliefs through their personality and their own potentials
• Strict Parenting: focused on strict discipline; demanding, with high expectations from the parents
• Toxic Parenting: poor parenting; complete disruption of the child’s ability to identify one’s self and reduced self-esteem; neglecting the needs of the child and abuse is sometimes seen in this parenting style
• Unconditional Parenting: giving unconditional positive encouragement

Parenting across the Lifespan

Family planning is the decision whether and when to become parents, including planning, preparing, and gathering resources. Parents should assess whether they have the required financial resources (the raising of a child costs around $16,198 yearly in the United States). They should also assess whether their family situation is stable enough and whether they themselves are responsible and qualified enough to raise a child. Reproductive health and preconceptional care affect pregnancy, reproductive success, and maternal and child physical and mental health. During pregnancy, the unborn child is affected by many decisions that his or her parents make, particularly choices linked to their lifestyle. The health and diet decisions of the mother can have either a positive or negative impact on the child in utero.

It is important to realize that parenting doesn’t end when a child turns 18. Support is needed in a child’s life well beyond the adolescent years and continues into middle and later adulthood. Parental support is crucial in helping children figure out who they are and where they fit in the world. Parenting is a lifelong process.

Parenting

Parents have to tend more to children’s basic needs when they are young.

4.7.11: Career Development: Vocation and Identity

A vocation is an occupation to which an individual is particularly drawn.

Learning Objective

Define the meaning of the word “vocation” and how it impacts the choices people make as far as occupations are concerned

Key Points

• The word “vocation” is often used in a Christian religious context where a vocation is a call by God to the individual.
• A person’s vocation is a profession that helps define a person’s identity and directs a person’s interests.
• Since the origination of Vocational Guidance in 1908, by the engineer Frank Parsons, the use of the term ‘vocation’ has evolved to include the notion of using our talents and capabilities to good-effect in choosing and enjoying a career.

Key Terms

career

One’s calling in life; a person’s occupation; one’s profession.

vocation

An occupation for which a person is suited, trained, or qualified.

Example

• Any profession, such as a doctor, lawyer, or social worker, is an example of a vocation.

A vocation is a term for an occupation to which a person is especially drawn or for which he or she is suited, trained, or qualified. Though now often used in non-religious contexts, the meanings of the term originated in Christianity.

Use of the word “vocation” before the sixteenth century referred firstly to the “call” by God to the individual, or calling of all humankind to salvation, particularly in the Vulgate, and more specifically to the “vocation to the priesthood,” which is still the usual sense in Roman Catholicism.

The idea of vocation is central to the Christian belief that God has created each person with gifts and talents oriented toward specific purposes and a way of life. This idea of vocation is especially associated with a divine call to service to the Church and humanity through particular vocational life commitments, such as marriage to a particular person, consecration as a religious, ordination to priestly ministry in the Church, and even a holy life as a single person. In the broader sense, Christian vocation includes the use of one’s gifts in their profession, family life, church, and civic commitments for the sake of the greater common good.

Since the origination of Vocational Guidance in 1908, by the engineer Frank Parsons, the use of the term “vocation” has evolved to include the notion of using our talents and capabilities to good effect in choosing and enjoying a career. This semantic expansion has meant some diminishment of reference to the term’s religious meanings in everyday usage.

Professional Vocations

In common parlance, a vocation refers to one’s professional line of work or career, such as being a doctor.

4.7.12: The Older Years

Old age cannot be exactly defined, but it is often associated with certain activities, such as becoming a grandparent or entering retirement.

Learning Objective

Discuss some of the implications of old age, particularly in relation to Erikson’s “Eight Stages of Life” and age discrimination

Key Points

• Erik Erikson characterizes old age as a period of “Integrity vs. Despair,” during which a person focuses on reflecting back on their life. Those who are unsuccessful during this phase will feel that their life has been wasted and will experience many regrets.
• Those who feel proud of their accomplishments will feel a sense of integrity. Successfully completing this phase means looking back with few regrets and a general feeling of satisfaction.
• Old age presents some social problems, such as age discrimination. Elderly people are more likely to be victims of abuse, and negative stereotypes are also very common.

Key Terms

self-neglect

It refers to behaviors that threaten the person’s own health and safety.

abuse

Physical or verbal maltreatment; injury.

Example

• An example of self-neglect would be an elderly person who forgets to take his medication. An example of a stereotype of an elderly people is that they are weak and incapable.

The boundary between middle age and old age cannot be defined exactly because it does not have the same meaning in all societies. People can be considered old because of certain changes in their activities or social roles. For example, people may be considered old when they become grandparents, or when they begin to do less or different work (retirement). Traditionally, the age of 60 was generally seen as the beginning of old age. Most developed world countries have accepted the chronological age of 65 years as a definition of an “elderly” or older person.

According to Erik Erikson’s “Eight Stages of Life” theory, the human personality is developed in a series of eight stages that take place from the time of birth and continue on throughout an individual’s complete life. He characterizes old age as a period of “Integrity vs. Despair,” during which a person focuses on reflecting back on their life. Those who are unsuccessful during this phase will feel that their life has been wasted and will experience many regrets. The individual will be left with feelings of bitterness and despair. Those who feel proud of their accomplishments will feel a sense of integrity. Successfully completing this phase means looking back with few regrets and a general feeling of satisfaction. These individuals will attain wisdom, even when confronting death.

Age discrimination is a prevalent social problem facing the elderly. While discrimination toward the young is primarily visible through behavioral restrictions, discrimination toward the elderly ranges from behavioral restrictions to physical abuse. Abuse of the elderly is a serious problem in the U.S. There are nearly two million cases of elder abuse and self-neglect in the U.S. every year. Abuse refers to psychological/emotional abuse, physical abuse, sexual abuse, and caregiver neglect or financial exploitation, while self-neglect refers to behaviors that threaten the person’s own health and safety.

4.7.13: Are We Prisoners of Socialization?

Who we are as people is determined by both our genes (nature) and our socialization (nurture).

Learning Objective

Discuss socialization in terms of the nature (biology) versus nurture (social) debate

Key Points

• Some experts assert that who we are is a result of nurture—the relationships and caring that surround us—while others argue that who we are is based entirely in genetics, or “nature.”
• Twin studies can provide useful insight into how much a certain trait is due to nurture vs. nature.
• Research demonstrates that who we are is affected by both nature (our genetic and hormonal makeup) and nurture (the social environment in which we are raised). Sociology is most concerned with the way that society’s influence affects our behavior patterns, made clear by the way behavior varies across class and gender.

Key Term

socialization

The process of learning one’s culture and how to live within it.

Some experts assert that who we are is a result of nurture—the relationships and caring that surround us. Others argue that who we are is based entirely in genetics. According to this belief, our temperaments, interests, and talents are set before birth. From this perspective, then, who we are depends on nature.

One way that researchers attempt to prove the impact of nature is by studying twins. Some studies followed identical twins who were raised separately. The pairs shared the same genetics, but, in some cases, were socialized in different ways. Instances of this type of situation are rare, but studying the degree to which identical twins raised apart are the same and different can give researchers insight into how our temperaments, preferences, and abilities are shaped by our genetic makeup versus our social environment.

For example, in 1968, twin girls born to a mentally ill mother were put up for adoption. However, they were also separated from each other and raised in different households. The parents, and certainly the babies, did not realize they were one of five pairs of twins who were made subjects of a scientific study (Flam 2007).

In 2003, the two women, then age 35, reunited. Elyse Schein and Paula Bernstein sat together in awe, feeling like they were looking into a mirror. Not only did they look alike, but they behaved alike, using the same hand gestures and facial expressions (Spratling 2007). Studies like these point to the genetic roots of our temperament and behavior.

Though genetics and hormones play an important role in human behavior, sociology’s larger concern is the effect that society has on human behavior, the “nurture” side of the nature versus nurture debate. What race were the twins? From what social class were their parents? What about gender? Religion? All of these factors affect the lives of the twins as much as their genetic makeup and are critical to consider as we look at life through the sociological lens.

Nature or Nurture?

“Nature versus nurture” describes the debate over the influence of biological versus social influences in socialization.

Sociologists all recognize the importance of socialization for healthy individual and societal development. But how do scholars working in the three major theoretical paradigms approach this topic? Structural functionalists would say that socialization is essential to society, both because it trains members to operate successfully within it and because it perpetuates culture by transmitting it to new generations. Without socialization, a society’s culture would perish as members died off. A conflict theorist might argue that socialization reproduces inequality from generation to generation by conveying different expectations and norms to those with different social characteristics. For example, individuals are socialized differently by gender, social class, and race. As in the illustration of Chris Langan, this creates different (unequal) opportunities. An interactionist studying socialization is concerned with face-to-face exchanges and symbolic communication. For example, dressing baby boys in blue and baby girls in pink is one small way that messages are conveyed about differences in gender roles.

Socialization is important because it helps uphold societies and cultures; it is also a key part of individual development. Research demonstrates that who we are is affected by both nature (our genetic and hormonal makeup) and nurture (the social environment in which we are raised). Sociology is most concerned with the way that society’s influence affects our behavior patterns, made clear by the way behavior varies across class and gender.

4.8: Childhood Socialization

4.8.1: Child Socialization

Primary and secondary socialization are two forms of socialization that are particularly important for children.

Learning Objective

Justify the importance of socialization for children, in terms of both primary and secondary socialization

Key Points

• Socialization refers to the lifelong process of inheriting and disseminating norms, customs, and ideologies, providing an individual with the skills and habits necessary for participating within his or her own society.
• Primary socialization for a child is very important because it sets the groundwork for all future socialization.
• Primary socialization occurs when a child learns the attitudes, values, and actions appropriate to individuals as members of a particular culture.
• Secondary socialization refers to the process of learning what is the appropriate behavior as a member of a smaller group within the larger society.
• Sigmund Freud’s psychosexual stages describe the progression of an individual’s unconscious desires.
• Lawrence Kohlberg’s stages of moral development describe how individuals develop in and through reasoning about morals.
• Jane Loevinger developed a theory with stages of ego development.
• Margaret Mahler’s psychoanalytic developmental theory contained three phases regarding the child’s object relations.
• Jean Piaget’s theory of cognitive development describes how children reason and interact with their surroundings.
• James Marcia’s theory focuses on identity achievement and has four identity statuses.

Key Terms

primary socialization

Primary socialization in sociology is the acceptance and learning of a set of norms and values established through the process of socialization.

secondary socialization

Secondary socialization refers to the process of learning what is the appropriate behavior as a member of a smaller group within the larger society.

socialization

Socialization is the process of transferring norms, values, beliefs, and behaviors to future group members.

Socialization is a term used by sociologists, social psychologists, anthropologists, political scientists, and educationalists to refer to the lifelong process of inheriting and disseminating norms, customs, and ideologies, providing an individual with the skills and habits necessary for participating within his or her own society. Socialization is thus “the means by which social and cultural continuity are attained. ” There are many different forms of socialization, but two types are particularly important for children. These two types are known as primary and secondary socialization.

Primary socialization in sociology is the acceptance and learning of a set of norms and values established through the process of socialization. Primary socialization for a child is very important because it sets the groundwork for all future socialization. Primary socialization occurs when a child learns the attitudes, values, and actions appropriate to individuals as members of a particular culture. It is mainly influenced by the immediate family and friends. For example if a child saw his or her mother expressing a discriminatory opinion about a minority group, then that child may think this behavior is acceptable and could continue to have this opinion about minority groups.

Secondary socialization refers to the process of learning what is the appropriate behavior as a member of a smaller group within the larger society. Basically, it is the behavioral patterns reinforced by socializing agents of society. Secondary socialization takes place outside the home. It is where children and adults learn how to act in a way that is appropriate for the situations they are in . Schools require very different behavior from the home, and children must act according to new rules. New teachers have to act in a way that is different from pupils and learn the new rules from people around them. Secondary socialization is usually associated with teenagers and adults, and involves smaller changes than those occurring in primary socialization.

Girl on a Playground

Playgrounds and other social situations contribute to secondary child socialization.

4.8.2: Theoretical Perspectives on Childhood Socialization

Theories of childhood socialization and development study the elements of the cognitive and social development that occur in childhood.

Learning Objective

Contrast the various theories of childhood development, such as Freud’s psychosexual theory, Piaget’s stages of development and ecological systems theory

Key Points

• Childhood is a unique time period of accelerated development and has been studied by many theorists.
• Sigmund Freud developed a psychosexual theory of human development that describes how sexual fixation and satisfaction moves psychological development forward.
• Jean Piaget developed a theory of cognitive development that explains how children learn differently at different stages in development.
• Urie Bronfenbrenner developed ecological systems theory that explains how human development is influenced by the context of the developing child.

Key Terms

Ecological Systems Theory

Ecological systems theory, also called development in context or human ecology theory, specifies four types of nested environmental systems, with bi-directional influences within and between the systems.

Theory of Cognitive Development

Piaget’s theory of cognitive development posits that children learn by actively constructing knowledge through hands-on experience.

Psychosexual Theory of Human Development

This theory is divided into five stages, each association with sexual satisfaction through a particular body part.

Since the nineteenth century, childhood has been perceived as a unique phase in an individual’s life, and sociological theories reflect this. The main theories that psychologists and social scientists rely on today were developed in the twentieth century and beyond. These theories seek to understand why childhood is a unique period in one’s life and the elements of the cognitive and social development that occur in childhood. This chapter seeks to give a brief introduction to various theoretical perspectives on childhood.

Twentieth-century Austrian psychologist Sigmund Freud was one of the first psychologists to theorize childhood and the significance of developmental stages. Freud believed that sexual drive, or libido, was the driving force of all human behavior and, accordingly, developed a psychosexual theory of human development. Children progress through five stages, each association with sexual satisfaction through a particular body part.

Sigmund Freud

Sigmund Freud developed the psychosexual theory of human development.

One of the most widely applied theories of childhood is Jean Piaget’s theory of cognitive development. Piaget posited that children learn actively through play. He suggested that the adult’s role in helping a child learn is to provide appropriate materials for the child to interact and construct. He encouraged adults to make childhood learning through play even more effective by asking the child questions to get them to reflect upon behaviors. He believed it was instructive for children to see contradictions in their explanations. His approach to childhood development has been embraced by schools, and the pedagogy of preschools in the United States.

Piaget’s Four Stages of Development

Piaget outlined four stages in one’s development to adulthood:

• The first of Piaget’s stages of development is the sensorimotor stage, which lasts from birth until about age two. During this stage, the child learns about himself and his environment through motor and reflex actions. The child learns that he is separate from his environment and that aspects of his environment, such as his parents or a toy, continue to exist even though they may be outside of his sensory field. This observation is called object permanence.
• The sensorimotor stage is followed by the preoperational stage, which begins about the time that the child begins to talk and lasts until about age seven. The developments associated with the preoperational phase all extend from the child learning how to deploy his new linguistic capabilities. The child begins to use symbols to represent objects. Children absorb information and fit it into preexisting categories in their minds.
• Next, children progress to the concrete operational phase, which lasts from about first grade to early adolescence. During this stage, children more easily accommodate ideas that do not fit their preexisting worldview. The child begins to think abstractly and make rational decisions based on observable or concrete phenomena.
• Finally, children enter the formal operational stage, which begins in adolescence and carries them through adulthood. This person no longer requires concrete objects to make rational judgements and is capable of hypothetical and deductive reasoning.

Ecological Systems Theory

In 1979, psychologist Urie Bronfenbrenner published The Ecology of Human Development, setting forth his theory known as ecological systems theory. Also called development in context theory or human ecology theory, the ecology systems theory specifies five different types of nested environmental systems: the microsystem, the mesosystem, the exosystem, the macrosystem, and the chronosystem. Each of these systems exerts influence on an individual, particularly children as they are robustly socialized.

• The microsystem refers to the institutions and groups that most immediately and directly impact the child’s development, including the child’s family, school, religious institution, neighborhood, and peer group.
• The mesosystem recognizes that no microsystem can be entirely discrete and refers to the relationship between microsystems. For example, a child who has been completely abandoned by his family might find it difficult to bond with teachers.
• The exosystem describes the link between a social setting in which the individual does not have an active role an the individual’s immediate context. For example, a child’s experience at home may be impacted by a mother’s experience at work.
• The macrosystem refers to the culture in which individuals live. A child, his school, and his parents are all part of a cultural context whose constituents are united by a sense of common identity, heritage, and values. Microsystems, and therefore mesosystems and exosystems, are impossible to understand when divorced from their macrosystemic context.
• The chronosystem refers to the patterning of environmental events and transitions over one’s life course, as well as broader sociohistorical developments. For example, the impact of divorces on children has varied over history. When divorce was more culturally stigmatized, it had a different effect on children than today, when many children have divorced parents.

4.8.3: Identity Formation

Identity formation is the development of an individual’s distinct personality by which he or she is recognized or known.

Learning Objective

Discuss the formation of a person’s identity, as well as the ideas of self-concept and self-consciousness

Key Points

• Cultural identity is the feeling of identity with a group or culture, or of an individual as far as he or she is influenced by his or her belonging to a group or culture.
• An ethnic identity is an identification with a certain ethnicity, usually on the basis of a presumed common genealogy or ancestry.
• National identity is an ethical and philosophical concept whereby all humans are divided into groups called nations.
• A religious identity is the set of beliefs and practices generally held by an individual, involving adherence to codified beliefs and rituals and study of ancestral or cultural traditions.
• Self-concept is the sum of a being’s knowledge and understanding of his or her self.
• Cultural identity is the feeling of identity of a group or culture, or of an individual as far as he or she is influenced by his or her belonging to a group or culture.
• An ethnic identity is the identification with a certain ethnicity, usually on the basis of a presumed common genealogy or ancestry.
• National identity is an ethical and philosophical concept whereby all humans are divided into groups called nations.
• A religious identity is the set of beliefs and practices generally held by an individual, involving adherence to codified beliefs and rituals and study of ancestral or cultural traditions

Key Terms

religious identity

The set of beliefs and practices generally held by an individual,involving adherence to codified beliefs and rituals and study of ancestral or cultural traditions, writings, history, and mythology, as well as faith and mystic experience.

cultural identity

One’s feeling of identity affiliation to a group or culture.

national identity

An ethical and philosophical concept whereby all humans are divided into groups called nations.

Example

• An example of national identity is the way in which Americans are united on the Fourth of July. In celebrating national independence, one feels a connection to all other Americans. Indeed, the holiday would make little sense if one did not possess a sense of national identity. An example of religious identity would be if someone identifies as belonging to a particular religious faith.

Identity formation is the development of an individual’s distinct personality, which is regarded as a persisting entity in a particular stage of life by which a person is recognized or known. This process defines individuals to others and themselves. Pieces of the individual’s actual identity include a sense of continuity, a sense of uniqueness from others, and a sense of affiliation. Identity formation clearly influences personal identity by which the individual thinks of him or herself as a discrete and separate entity. This may be through individuation whereby the undifferentiated individual tends to become unique, or undergoes stages through which differentiated facets of a person’s life tend toward becoming a more indivisible whole.

Individuals gain a social identity and group identity by their affiliations. Self-concept is the sum of a being’s knowledge and understanding of himself. Self-concept is different from self-consciousness, which is an awareness of one’s self. Components of self-concept include physical, psychological, and social attributes, which can be influenced by the individual’s attitudes, habits, beliefs, and ideas. Cultural identity is one’s feeling of identity affiliation to a group or culture.

Similarly, an ethnic identity is the identification with a certain ethnicity, usually on the basis of a presumed common genealogy or ancestry. Further, national identity is an ethical and philosophical concept whereby all humans are divided into groups called nations. Members of a nation share a common identity and usually a common origin in their sense of ancestry, parentage, or descent. Lastly, a religious identity is the set of beliefs and practices generally held by an individual, involving adherence to codified beliefs and rituals and study of ancestral or cultural traditions, writings, history, and mythology, as well as faith and mystic experience.

National Identity

Fourth of July celebrations, during which Americans dress in red, white, and blue, are manifestations of national identity. Fourth of July is only meaningful as a celebration of independence for individuals who share a sense of national identity as Americans.

3.2: The Symbolic Nature of Culture

3.2.1: The Symbolic Nature of Culture

Learning Objective

Relate the idea that culture is symbolically coded to arguments about the dynamism of cultures

Key Points

• A symbol is any object, typically material, which is meant to represent another (usually abstract), even if there is no meaningful relationship.
• Culture is based on a shared set of symbols and meanings. Symbolic culture enables human communication and must be taught.
• Symbolic culture is more malleable and adaptable than biological evolution.
• The belief that culture is symbolically coded and can be taught from one person to another means that cultures, although bounded, can change.
• According to sociologists, symbols make up one of the 5 key elements of culture; the other key elements are language, values, beliefs, and norms.

Key Terms

Max Weber

(1864–1920) A German sociologist, philosopher, and political economist who profoundly influenced social theory, social research, and the discipline of sociology itself.

symbol

Any object, typically material, which is meant to represent another (usually abstract), even if there is no meaningful relationship.

Example

• Although language is perhaps the most obvious system of symbols we use to communicate, many things we do carry symbolic meaning. Think, for example, of the way you dress and what it means to other people. The way you dress could symbolically communicate to others that you care about academics or that you are a fan of your school’s football team, or it might communicate that you have adopted an anarchist philosophy or are a fan of punk music. In certain urban environments, the symbolic meaning of people’s clothes can signal gang affiliation. Other gang members use these symbolic sartorial signals to recognize enemies and allies.

A symbol is any object, typically material, which is meant to represent another (usually abstract) object, even if there is no meaningful relationship. Anthropologists have argued that, through the course of their evolution, human beings evolved a universal human capacity to classify experiences, and encode and communicate them symbolically, such as with written language . Since these symbolic systems were learned and taught, they began to develop independently of biological evolution (in other words, one human being can learn a belief, value, or way of doing something from another, even if they are not biologically related). That this capacity for symbolic thinking and social learning is a product of human evolution confounds older arguments about nature versus nurture.

The Polish Alphabets

Cultures are shared systems of symbols and meanings. Alphabets are one example of a symbolic element of culture.

This view of culture argues that people living apart from one another develop unique cultures. Elements of different cultures, however, can easily spread from one group of people to another. The belief that culture is symbolically coded and can, therefore, be taught from one person to another, means that cultures, although bounded, can change. Culture is dynamic and can be taught and learned, making it a potentially rapid form of adaptation to changes in physical conditions. Anthropologists view culture as not only a product of biological evolution, but as a supplement to it; culture can be seen as the main means of human adaptation to the natural world.

This view of culture as a symbolic system with adaptive functions, which varies from place to place, led anthropologists to conceive of different cultures as defined by distinct patterns (or structures) of enduring (although arbitrary) conventional sets of meaning. These meanings took concrete form in a variety of artifacts such as myths and rituals, tools, the design of housing, and the planning of villages. Anthropologists distinguish between material culture and symbolic culture, not only because each reflects different kinds of human activity, but also because they constitute different kinds of data that require different methodologies to study.

The sociology of culture concerns culture as it is manifested in society: the ways of thinking, the ways of acting, and the material objects that together shape a people’s way of life. According to Max Weber, symbols are important aspects of culture: people use symbols to express their spirituality and the spiritual side of real events, and ideal interests are derived from symbols. According to sociologists, symbols make up one of the five key elements of culture, the others being language, values, beliefs, and norms.

3.2.2: The Origins of Language

Learning Objective

Compare and contrast continuity-based theories and discontinuity-based theories about the origin of language

Key Points

• There is no consensus on the ultimate origin or age of human language.
• Continuity-based theories stress that language is so complex that it must have evolved from earlier pre-linguistic systems among pre-humans.
• Discontinuity-based theories stress that language is a unique human trait that appeared fairly suddenly in the transition from pre-hominids to early man.

Key Terms

symbolic

Referring to something with an implicit meaning.

language

A form of communication using words either spoken or gestured with the hands and structured with grammar, often with a writing system.

prehistory

The history of human culture prior to written records.

Example

• Examples of languages that are specific systems of communication include English, French, and Mandarin.

The origin of language in the human species is a widely discussed topic. There is no consensus on ultimate origin or age. Empirical evidence is limited, and many scholars continue to regard the whole topic as unsuitable for serious study.

Language in daily life

The origin of language in the human species is a widely discussed topic.

Theories about the origin of language can be divided according to their basic assumptions. Some theories are based on the idea that language is so complex that one cannot imagine it simply appearing from nothing in its final form, but that it must have evolved from earlier pre-linguistic systems among our pre-human ancestors. These theories can be called continuity-based theories.

The opposite viewpoint is that language is such a unique human trait that it cannot be compared to anything found among non-humans and that it must therefore have appeared fairly suddenly in the transition from pre-hominids to early man. These theories can be defined as discontinuity-based.

Similarly, some theories see language mostly as an innate faculty that is largely genetically encoded, while others see it as a system that is largely cultural—that is, learned through social interaction. Currently the only prominent proponent of a discontinuity theory of human language origins is Noam Chomsky.

Continuity-based theories are currently held by a majority of scholars, but they vary in how they envision this development. Those who see language as being mostly innate, such as Steven Pinker, hold the precedents to be animal cognition, whereas those who see language as a socially learned tool of communication, such as Michael Tomasello, see it as having developed from animal communication, either primate gestural or vocal communication. Other continuity-based models see language as having developed from music.

Because the emergence of language is located in the early prehistory of man, the relevant developments have left no direct historical traces and no comparable processes can be observed today. Theories that stress continuity often look at animals to see if, for example, primates display any traits that can be seen as analogous to what pre-human language must have been like. Alternatively early human fossils can be inspected to look for traces of physical adaptation to language use or for traces of pre-linguistic forms of symbolic behaviour.

3.2.3: Language

Learning Objective

Compare the different ways in which language can be studied

Key Points

• The word “language” has at least two basic meanings: language as a general concept, and “a language” (a specific linguistic system, e.g. “French”), a distinction first made by Ferdinand de Saussure.
• Languages, understood as the particular set of speech norms of a particular community, are also a part of the larger culture of the community that speak them.
• Humans use language as a way of signalling identity with one cultural group and difference from others.
• The organic definition of language sees language primarily as the mental faculty that allows humans to undertake linguistic behavior–to learn languages and produce and understand utterances.
• The structuralist view of language sees language as a formal system of signs governed by grammatical rules of combination to communicate meaning.
• The functional theory of language sees language as a system of communication that enables humans to cooperate.
• Humans use language as a way of signalling identity with one cultural group and difference from others.
• The organic definition of language sees language primarily as the mental faculty that allows humans to undertake linguistic behaviour: to learn languages and produce and understand utterances. These kinds of definitions are often applied by studies of language within a cognitive science framework and in neurolinguistics.
• The structuralist view of language sees language as a formal system of signs governed by grammatical rules of combination to communicate meaning. This definition stresses the fact that human languages can be described as closed structural systems consisting of rules that relate particular signs to particular meanings.
• The functional theory of language sees language as a system of communication that enables humans to cooperate. This definition stresses the social functions of language and the fact that humans use it to express themselves and to manipulate objects in their environment.

Key Terms

semiotics

The study of signs and symbols, especially as means of language or communication.

linguistics

The scientific study of language.

Examples

• Examples of languages that are specific systems of communication include English, French, and Mandarin.
• An example of how language can define a group of people and act as the basis for identity is Mexico’s 1900s census policy of counting indigenous groups as groups of people who speak one of a set of official indigenous languages.

Language may refer either to the specifically human capacity for acquiring and using complex systems of communication, or to a specific instance of such a system of complex communication. The scientific study of language in any of its senses is called linguistics.

The word language has at least two basic meanings: language as a general concept, and a specific linguistic system (e.g. French). Ferdinand de Saussure first explicitly formulated the distinction, using the French word langage for language as a concept, and langue as the specific instance of language.

One definition sees language primarily as the mental faculty that allows humans to undertake linguistic behaviour–to learn languages and produce and understand utterances. These kinds of definitions are often applied by studies of language within a cognitive science framework and in neurolinguistics.

Another definition sees language as a formal system of signs governed by grammatical rules of combination to communicate meaning. This definition stresses the fact that human languages can be described as closed structural systems consisting of rules that relate particular signs to particular meanings.

Yet another definition sees language as a system of communication that enables humans to cooperate. This definition stresses the social functions of language and the fact that humans use it to express themselves and to manipulate objects in their environment.

When described as a system of symbolic communication, language is traditionally seen as consisting of three parts: signs, meanings, and a code connecting signs with their meanings. The study of how signs and meanings are combined, used, and interpreted is called semiotics.

Languages, understood as the particular set of speech norms of a particular community, are also a part of the larger culture of the community that speaks them. Humans use language as a way of signalling identity with one cultural group and difference from others. Human languages are usually referred to as natural languages, and the science of studying them falls under the purview of linguistics. Human language is unique in comparison to other forms of communication, such as those used by animals, because it allows humans to produce an infinite set of utterances from a finite set of elements.

A Bilingual Sign

Members of a culture usually share a common language. Here, a bilingual sign in Wales tells both English and Welsh speakers that smoking is prohibited.

3.2.4: Language and Perception

Learning Objective

Explain the Sapir-Whorf hypothesis

Key Points

• The principle of linguistic relativity holds that the structure of a language affects the ways in which its speakers conceptualize their world (i.e., world view), or otherwise influences their cognitive processes.
• A main point of debate in the discussion of linguistic relativity is the strength of correlation between language and thought. The strongest form of correlation is linguistic determinism, which holds that language entirely determines an individual’s range of possible cognitive processes.
• The hypothesis of linguistic determinism is now generally agreed to be false, although many researchers still study weaker forms of correlation, often producing positive empirical evidence for a correlation.
• The crucial question is whether human psychological faculties are mostly universal and innate, or whether they are mostly a result of learning, and, therefore, subject to cultural and social processes that vary between places and times.

Key Terms

Perception

(cognition) That which is detected by the five senses; not necessarily understood (imagine looking through fog, trying to understand if you see a small dog or a cat); also that which is detected within consciousness as a thought, intuition, deduction, etc.

relativity

The state of being relative to something else.

Various theories assume that language fundamentally shapes our perception. One example is the principle of linguistic relativity. This principle holds that the structure of a language affects the ways in which its speakers conceptualize his or her world (worldview) or otherwise influences their cognitive processes. Popularly known as the Sapir–Whorf hypothesis, or Whorfianism, the principle is often defined as having two versions:

1. The strong version states that language determines thought and emotions/feelings, and linguistic categories limit and determine cognitive categories
2. The weak version argues that linguistic categories and usage influence thought and certain kinds of non-linguistic behavior .

The concept of linguistic relativity describes different formulations of the principle that cognitive processes, such as thought, emotion/feelings and experience, may be influenced by the categories and patterns of the language a person speaks. Empirical research into the question has been associated mainly with the names of Benjamin Lee Whorf, who wrote on the topic in the 1930s, and his mentor Edward Sapir, who did not himself write extensively on the topic.

A main point of debate in the discussion of linguistic relativity is the strength of correlation between language and thought and emotion/feelings. The strongest form of correlation is linguistic determinism, which holds that language entirely determines the range of possible cognitive processes of an individual. The hypothesis of linguistic determinism is now generally agreed to be false, though many researchers are still studying weaker forms of correlation, often producing positive empirical evidence for a correlation .

The centrality of the question of the relation between thought or emotions/feelings and language has brought attention to the issue of linguistic relativity, not only from linguists and psychologists, but also from anthropologists, philosophers, literary theorists, and political scientists. For example, can people experience or feel something they have no word to explain it with?

The crucial question is whether human psychological faculties are mostly universal and innate, or whether they are mostly a result of learning, and, therefore, subject to cultural and social processes that vary between places and times. The Universalist view holds that all humans share the same set of basic faculties, and that variability due to cultural differences is negligible. This position often sees the human mind as mostly a biological construction, so that all humans sharing the same neurological configuration can be expected to have similar or identical basic cognitive patterns.

The contrary position can be described in several ways. The constructivist view holds that human faculties and concepts are largely influenced by socially constructed and learned categories that are not subject to many biological restrictions. The idealist view holds that the human mental capacities are generally unrestricted by their biological-material basis. The essentialist view holds that there may be essential differences in the ways the different individuals or groups experience and conceptualize the world. The relativist position, which basically refers to a kind of Cultural relativism, sees different cultural groups as having different conceptual schemes that are not necessarily compatible or commensurable, nor more or less in accord with the external reality.

Edward Sapir

Empirical research into the question of linguistic relativity has been associated mainly with the names of Benjamin Lee Whorf, who wrote on the topic in the 1930s, and his mentor Edward Sapir, who did not himself write extensively on the topic.

3.2.5: Symbols and Nature

Key Points

• Human language is thought to be fundamentally different from and of much higher complexity than that of other species as it is based on a complex system of rules that result in an indefinite number of possible utterances from a finite number of elements.
• Written languages use visual symbols to represent the sounds of the spoken languages, but they still require syntactic rules that govern the production of meaning from sequences of words.
• Human language differs from communication used by animals because the symbols and grammatical rules of any particular language are largely arbitrary, so that the system can only be acquired through social interaction.
• The study of how signs and meanings are combined, used, and interpreted is called semiotics.
• Signs can be composed of sounds, gestures, letters, or symbols, depending on whether the language is spoken, signed, or written.
• Language is traditionally seen as consisting of three parts: signs, meanings, and a code connecting signs with their meanings.

Key Terms

written language

A written language is the representation of a language by means of a writing system.

human language

Human language is typically used for communication, and may be spoken, signed, or written.

semiotics

The study of signs and symbols, especially as means of language or communication.

Example

• Semiotics is the study of signs. A sign is a symbol that stands for something else. In English, the word “car” is the sign we use to refer to a common personal vehicle. In French, the sign for the same object is “voiture”.

Language is traditionally thought to consist of three parts: signs, meanings, and a code connecting signs with their meanings. Semiotics is the study of how signs and meanings are combined, used, and interpreted. Signs can consist of sounds, gestures, letters, or symbols, depending on whether the language is spoken, signed, or written.

Language as a whole, therefore, is the human capacity for acquiring and using complex systems of communication. A single language is any specific example of such a system. Language is based on complex rules relating spoken, signed, or written symbols to their meanings. What results is an indefinite number of possible innovative utterances from a finite number of elements.

Human language is thought to be fundamentally different from and of much higher complexity than the communication systems of other species (). Human language differs from communication used by animals () because the symbols and grammatical rules of any particular language are largely arbitrary, meaning that the system can only be acquired through social interaction. ()

A Barking Dog

Animal sounds, like a dog’s bark, may serve basic communication functions, but they lack the symbolic elements of human language.

A Sentence Diagram

Human language’s grammatical structure makes it unique.

Written language is the representation of a language by means of a writing system. Written language exists only as a complement to a specific spoken language. Written languages use visual symbols to represent the sounds of the spoken languages, but they still require syntactic rules that govern the production of meaning from sequences of words.

A sign language is a language which, instead of acoustically conveying sound patterns, uses manual communication and body language to convey meaning. This can involve simultaneously combining hand shapes; orientation and movement of the hands, arms or body; and facial expressions to fluidly express a speaker’s thoughts. Sign languages, like spoken languages, organize elementary units into meaningful semantic units.

3.2.6: Gestures

Learning Objective

Explain the role of gestures in the communication process

Key Points

• Gestures allow individuals to communicate a variety of feelings and thoughts, from contempt and hostility to approval and affection, often together with body language in addition to spoken words.
• The most familiar categories of gestures are the so-called emblems or quotable gestures. These are conventional, culture-specific gestures that can be used as replacement for words, such as the handwave used in the U.S. for “hello” and “goodbye”.
• Another broad category of gestures comprises those gestures used spontaneously when we speak. These gestures are closely coordinated with speech.
• Gestural languages such as American Sign Language and its regional siblings operate as complete natural languages that are gestural in modality.
• Gesturing is probably universal; there have been no reports of communities that do not gesture. Gestures are a crucial part of everyday conversation such as chatting, describing a route, or negotiating prices on a market.

Key Terms

gestural languages

A gestural language is a language which, instead of acoustically conveyed sound patterns, uses manual communication and body language to convey meaning. This can involve simultaneously combining hand shapes, orientation and movement of the hands, arms or body, and facial expressions to fluidly express a speaker’s thoughts.

gesture

A motion of the limbs or body, especially one made to emphasize speech.

quotable gestures

Quotable gestures are conventional, culture-specific gestures that can be used as replacement for words.

Example

• Gestures are culturally specific. For example, the quotable gesture for “come along” varies among cultures. In the United States, the gesture is made with the arm outstretched, palm facing up. The gesturer then bends the arm up at the elbow and curls the fingers toward the body. In China, however, the gesture is made differently. The arm is dropped to the side, only slightly outstretched, with the palm facing down and fingers dangling. The gesturer then waves the fingers in toward the body.

A gesture is a form of non-verbal communication in which visible bodily actions communicate particular messages, either in place of speech or together and in parallel with spoken words. Gestures include movement of the hands, face, or other parts of the body. Gestures differ from physical non-verbal communication that does not communicate specific messages, such as purely expressive displays, proxemics, or displays of joint attention. Gestures allow individuals to communicate a variety of feelings and thoughts, from contempt and hostility to approval and affection, often together with body language in addition to spoken words.

The most familiar categories of gestures are the so-called emblems or quotable gestures. These are conventional, culture-specific gestures that can be used as replacement for words, such as the handwave used in the U.S. for “hello” and “goodbye. ” Another broad category of gestures comprises those gestures used spontaneously when we speak. These gestures are closely coordinated with speech. Gestural languages such as American Sign Language and its regional siblings operate as complete natural languages that are gestural .

Gestural Language

American Sign Language, or ASL, is a gestural language. This is how to sign the letters A-S-L.

Many animals, including humans, use gestures to initiate a mating ritual. This may include elaborate dances and other movements. Gestures play a major role in many aspects of human life. Gesturing is probably universal; there have been no reports of communities that do not gesture. Gestures are a crucial part of everyday conversation such as chatting, describing a route, or negotiating prices on a market; they are ubiquitous. Gestures have been documented in the arts such as in Greek vase paintings, Indian Miniatures, and European paintings.

Hand Gestures

Military air marshallers use hand and body gestures to direct flight operations aboard aircraft carriers.

Pointing

Pointing at another person with an extended finger is considered rude in many cultures.

3.2.7: Values

Learning Objective

Contrast values and norms

Key Points

• The values of a society can often be identified by noting which people receive honor or respect.
• Values are related to the norms of a culture, but they are more global and abstract than norms.
• Norms are rules for behavior in specific situations, while values identify what should be judged as good or evil.
• Members take part in a culture even if each member’s personal values do not entirely agree with some of the normative values sanctioned in the culture.
• Values clarification is helping people clarify what their lives are for and what is worth working for.
• Cognitive moral education is based on the belief that students should learn to value things like democracy and justice as their moral reasoning develops.

Key Terms

subculture

A portion of a culture distinguished from the larger society around it by its customs or other features.

culture

The beliefs, values, behavior, and material objects that constitute a people’s way of life.

norm

A rule that is enforced by members of a community.

Example

• Values are general principles or ideals upheld by a society. For example, in the United States, hard work and independence are fundamental values.

Values can be defined as broad preferences concerning appropriate courses of action or outcomes. Values reflect a person’s sense of right and wrong, or what “ought” to be. Some examples of values are the concepts of “equal rights for all,” “excellence deserves admiration,” and “people should be treated with respect and dignity. ” Values tend to influence attitudes and behavior.

Cultures have values that are largely shared by their members. Different cultures reflect different values. Noting which people receive honor or respect can provide clues to the values of a society. In the US, for example, some professional athletes are honored (in the form of monetary payment) more than college professors.

Values are related to the norms of a culture, but they are more global and abstract than norms. Norms are rules for behavior in specific situations, while values identify what should be judged as good or evil. Flying the national flag on a holiday is a norm, but it reflects the value of patriotism. Wearing dark clothing and appearing solemn are normative behaviors at a funeral; in certain cultures, this reflects the values of respect for and support of friends and family. Different cultures reflect different values.

Members take part in a culture even if each member’s personal values do not entirely agree with some of the normative values sanctioned in the culture. This reflects an individual’s ability to synthesize and extract aspects valuable to them from the multiple subcultures to which they belong. If a group member expresses a value that is in serious conflict with the group’s norms, the group’s authority may encourage conformity or stigmatize the non-conforming behavior of its members .

Punk

Punk social groups are often considered marginal and are excluded from certain mainstream social spaces.

Declaration of Independence

Independence and freedom are fundamental values in the U.S.

Punks as non-conformists

Members of the punk movement refused to conform to some of the normative values prevalent in Western culture.

The Liberty Bell

Many consider liberty to be a fundamental American value.

3.2.8: Norms

Learning Objective

Explain the origin, reinforcement, and significance of social norms in a society or group

Key Points

• Norms can be defined as the shared ways of thinking, feeling, desiring, deciding, and acting which are observable in regularly repeated behaviours and are adopted because they are assumed to solve problems.
• Social norms are neither static nor universal; they change with respect to time and vary with respect to culture, social classes, and social groups.
• Social norms can be enforced formally (e.g., through sanctions) or informally (e.g., through body language and non-verbal communication cues).
• One form of norm adoption is the formal method, where norms are written down and formally adopted. However, social norms are more likely to be informal and emerge gradually (e.g., not wearing socks with sandals).

Key Terms

social norms

Social norms are described by sociologists as being laws that govern society’s behaviors.

social group

A collection of humans or animals that share certain characteristics, interact with one another, accept expectations and obligations as members of the group, and share a common identity.

social classes

Social class (or simply “class”) is a set of concepts in the social sciences and political theory centered on models of social stratification in which people are grouped into a set of hierarchical social categories.

Examples

• An example of an explicit social norm is a law, such as a law that prohibits alcohol use by anyone under the age of 21. Explicit norms are often enforced by formal sanctions. In this case, the formal sanction may be a fine or jail time.
• An implicit social norm is an expectation that, though unstated, is commonly accepted by members of a group. An example is the use of deoderant. People are not required to wear deoderant, but most people in the United States expect others to do so and do so themselves. Implicit norms are usually enforced by informal sanctions. In this case, informal sanctions might include dirty looks or avoidance.

Social norms are the explicit or implicit rules specifying acceptable behaviors within a society or group. They define the expected or acceptable behavior in particular circumstances. Social norms can also be defined as the shared ways of thinking, feeling, desiring, deciding, and acting which are observable in regularly repeated behaviors and are adopted because they are assumed to solve problems.

Social norms are neither static nor universal; they change with respect to time and vary with respect to culture, social classes, and social groups. What is deemed acceptable dress, speech, or behavior in one social group may not be acceptable in another.

Deference to social norms maintains one’s acceptance and popularity within a particular group. Social norms can be enforced formally (e.g., through sanctions) or informally (e.g., through body language and non-verbal communication cues) . By ignoring or breaking social norms, one risks facing formal sanctions or quiet disapproval, finding oneself unpopular with or ostracized from a group.

Formal Sanctions

Norms may be enforced through informal sanctions, such as derision, or formal sanctions, such as arrest.

As social beings, individuals learn when and where it is appropriate to say certain things, use certain words, discuss certain topics, or wear certain clothes, and when it is not. Groups may adopt norms in two different ways. One form of norm adoption is the formal method, where norms are written down and formally adopted (e.g., laws, legislation, club rules). Social norms are much more likely to be informal and to emerge gradually (e.g., not wearing socks with sandals) .

Groups internalize norms by accepting them as reasonable and proper standards for behavior within the group. That said, while it is more likely that a new individual entering a group will adopt the group’s norms, values, and perspectives, newcomers to a group can also change a group’s norms.

Same-Sex Marriage and Social Norms

In most Western countries, norms have prohibited same-sex marriage, but those norms are now changing.

3.2.9: Sanctions

Learning Objective

Differentiate between methods of formal and informal social control

Key Points

• Sanctions can either be positive (rewards) or negative (punishment).
• Sanctions can arise from either formal or informal control.
• With informal sanctions, ridicule or ostracism can realign a straying individual towards norms. Informal sanctions may include shame, ridicule, sarcasm, criticism, and disapproval.
• Groups, organizations, and societies of various kinds can promulgate rules that act as formal sanctions to reward or punish behavior. For example, government and organizations use law enforcement mechanisms and other formal sanctions such as fines and imprisonment.
• To maintain control and regulate their subjects, authoritarian organizations and governments use severe sanctions such as censorship, expulsion, and limits on political freedom.

Key Terms

Informal sanctions

These are the reactions of individuals and groups that bring about conformity to norms and laws. These can include peer and community pressure, bystander intervention in a crime, and collective responses such as citizen patrol groups.

sanction

a penalty, or some coercive measure, intended to ensure compliance; especially one adopted by several nations, or by an international body

social control

any control, either formal or informal, that is exerted by a group, especially by one’s peers

Example

• Internal controls are a form of social control that we impose on ourselves. For example, you may choose to wear nice clothes to class instead of pajamas, not because there is a rule against pajamas or because anyone has directly exercised social sanctions against you, but because you have internalized the norm of dressing when you leave home.

Sanctions

Sanctions are mechanisms of social control. As opposed to forms of internal control, like cultural norms and values, sociologists consider sanctions a form of external control. Sanctions can either be positive (rewards) or negative (punishment), and can arise from either formal or informal control .

Informal Social Control and Deviance

The social values present in individuals are products of informal social control. This type of control emerges from society, but is rarely stated explicitly to individuals. Instead, it is expressed and transmitted indirectly, through customs, norms and mores. Whether consciously or not, individuals are socialized. With informal sanctions, ridicule or ostracism can cause a straying individual to realign behavior toward group norms. Informal sanctions may include shame, ridicule, sarcasm, criticism, and disapproval. In extreme cases, sanctions may include social discrimination and exclusion. If a young boy is caught skipping school, and his peers ostracize him for his deviant behavior, they are exercising an informal sanction on him. Informal sanctions can check deviant behavior of individuals or groups, either through internalization, or through disincentivizing the deviant behavior.

As with formal controls, informal controls reward or punish acceptable or unacceptable behavior, otherwise known as deviance. Informal controls are varied and differ from individual to individual, group to group, and society to society. To maintain control and regulate their subjects, groups, organizations, and societies of various kinds can promulgate rules that act as formal sanctions to reward or punish behavior. For example, in order to regulate behavior, government and organizations use law enforcement mechanisms and other formal sanctions such as fines and imprisonment . Authoritarian organizations and governments may rely on more directly aggressive sanctions. These actions might include censorship, expulsion, restrictions on political freedom, or violence. Typically, these more extreme sanctions emerge in situations where the public disapproves of either the government or organization in question.

A Prison Cell Block

Incarceration is a type of formal sanction.

Shame

Shame can be used as a type of informal sanction.

3.2.10: Folkways and Mores

Learning Objective

Differentiate between folkways and mores

Key Points

• Societal norms, or rules that are enforced by members of a community, can exist as both formal and informal rules of behavior. Informal norms can be divided into two distinct groups: folkways and mores.
• Both “mores” and “folkways” are terms coined by the American sociologist William Graham Sumner.
• Mores distinguish the difference between right and wrong, while folkways draw a line between right and rude. While folkways may raise an eyebrow if violated, mores dictate morality and come with heavy consequences.

Key Terms

William Graham Sumner

An American academic with numerous books and essays on American history, economic history, political theory, sociology, and anthropology.

mores

A set of moral norms or customs derived from generally accepted practices. Mores derive from the established practices of a society rather than its written laws.

folkway

A custom or belief common to members of a society or culture.

Example

• Different regions of the United States have different folkways that govern how people greet one another. In many rural regions, people crossing paths in the street nod and say “hello” or “how are you? ” Drivers meeting one another on remote country roads give each other a quick wave. But in most urban regions, neither walkers nor drivers acknowledge one another unless provoked. Urban residents who travel to remote places may notice the difference and find the folkways unusual. The local residents may find the urban newcomers strange or a little cold if they do not offer greetings, but they will probably not sanction them formally or informally. Likewise, in the city, residents may think newcomers from the country a bit odd if they give unsolicited greetings, but those greetings will probably not draw sanctions.

Societal norms, or rules that are enforced by members of a community, can exist as both formal and informal rules of behavior. Informal norms can be divided into two distinct groups: folkways and mores. Folkways are informal rules and norms that, while not offensive to violate, are expected to be followed. Mores (pronounced more-rays) are also informal rules that are not written, but, when violated, result in severe punishments and social sanction upon the individuals, such as social and religious exclusions,.

William Graham Sumner , an early U.S. sociologist, recognized that some norms are more important to our lives than others. Sumner coined the term mores to refer to norms that are widely observed and have great moral significance. Mores are often seen as taboos; for example, most societies hold the more that adults not engage in sexual relations with children. Mores emphasize morality through right and wrong, and come with heavy consequences if violated.

William Graham Sumner, 1840-1910

William Graham Sumner coined the terms “folkways” and “mores. “

Sumner also coined the term folkway to refer to norms for more routine or casual interaction. This includes ideas about appropriate greetings and proper dress in different situations. In comparison to the morality of mores, folkways dictate what could be considered either polite or rude behavior. Their violation does not invite any punishment or sanctions, but may come with reprimands or warnings.

An example to distinguish the two: a man who does not wear a tie to a formal dinner party may raise eyebrows for violating folkways; were he to arrive wearing only a tie, he would violate cultural mores and invite a more serious response.

3.3: Culture and Adaptation

3.3.1: The Origins of Culture

Culture is a central concept in anthropology, encompassing the range of human phenomena that cannot be attributed to genetic inheritance.

Learning Objective

Paraphrase what is currently thought to be the reason for the development of language and complex culture

Key Points

• The term “culture” has two meanings: (1) the evolved human capacity to classify and represent experiences with symbols, and to act creatively; and (2) the distinct ways that people living in different parts of the world acted creatively and classified or represented their experiences.
• Distinctions are currently made between the physical artifacts created by a society, its so-called material culture and everything else, including the intangibles such as language, customs, etc. that are the main referent of the term “culture”.
• The origin of language, understood as the human capacity of complex symbolic communication, and the origin of complex culture are often thought to stem from the same evolutionary process in early man.
• Language and culture both emerged as a means of using symbols to construct social identity and maintain coherence within a social group too large to rely exclusively on the pre-human ways of building community (for example, grooming).

Key Terms

community

A group sharing a common understanding and often the same language, manners, tradition and law. See civilization.

horticulture

The art or science of cultivating gardens; gardening.

Example

• Adaptation is necessary for our continued survival, but biological adaptation can be slow. Culture allows humans to more quickly adapt. For example, humans face dangers from food-born illnesses, such as trichinosis from pork. A biologically adaptive strategy could emerge over many generations if humans developed immunity to trichinosis, but a culturally adaptive strategy could emerge more quickly if a group of people enforced a norm against eating pork.

Culture (Latin: cultura, lit. “cultivation”) is a modern concept based on a term first used in classical antiquity by the Roman orator, Cicero: “cultura animi. ” The term “culture” appeared first in its current sense in Europe in the 18^th and 19^th centuries, to connote a process of cultivation or improvement, as in agriculture or horticulture. In the 19^th century, the term developed to refer first to the betterment or refinement of the individual, especially through education, and then to the fulfillment of national aspirations or ideals. In the mid-19^th century, some scientists used the term “culture” to refer to a universal human capacity.

In the 20^th century, “culture” emerged as a central concept in anthropology, encompassing the range of human phenomena that cannot be attributed to genetic inheritance. Specifically, the term “culture” in American anthropology had two meanings: (1) the evolved human capacity to classify and represent experiences with symbols, and to act imaginatively and creatively; and (2) the distinct ways that people living in different parts of the world acted creatively and classified or represented their experiences. Distinctions are currently made between the physical artifacts created by a society, its so-called material culture and everything else, including the intangibles such as language, customs, etc. that are the main referent of the term “culture. “

The origin of language, understood as the human capacity of complex symbolic communication, and the origin of complex culture are often thought to stem from the same evolutionary process in early man. Evolutionary anthropologist Robin I. Dunbar has proposed that language evolved as early humans began to live in large communities that required the use of complex communication to maintain social coherence. Language and culture then both emerged as a means of using symbols to construct social identity and maintain coherence within a social group too large to rely exclusively on pre-human ways of building community (for example, grooming).

However, languages, now understood as the particular set of speech norms of a particular community, are also a part of the larger culture of the community that speak them. Humans use language as a way of signalling identity with one cultural group and difference from others. Even among speakers of one language, several different ways of using the language exist, and each is used to signal affiliation with particular subgroups within a larger culture.

Nomads

Anthropologists rejected the idea that culture was unique to Western society and adopted a new definition of culture that applied to all societies, literate and non-literate, settled and nomadic.

3.3.2: Mechanisms of Cultural Change

The belief that culture can be passed from one person to another means that cultures, although bounded, can change.

Learning Objective

Describe at least two mechanisms which foster cultural change

Key Points

• Cultures are internally affected by both forces encouraging change and forces resisting change. These forces are related to social structures and natural events, and are involved in the perpetuation of cultural ideas and practices within current structures, which are themselves subject to change.
• Cultural change can have many causes, including the environment, technological inventions, and contact with other cultures.
• In diffusion, the form of something (though not necessarily its meaning) moves from one culture to another.
• Acculturation has different meanings, but in this context it refers to replacement of the traits of one culture with those of another, such has happened to certain Native American tribes and to many indigenous peoples across the globe during the process of colonization.
• “Direct Borrowing” on the other hand tends to refer to technological or tangible diffusion from one culture to another.
• Griswold suggests that culture changes through the contextually dependent and socially situated actions of individuals; macro-level culture influences the individual who, in turn, can influence that same culture.
• In anthropology, diffusion theory states that the form of something moves from one culture to another, but not its meaning. Acculturation theory refers to replacement of the traits of one culture with those of another.

Key Terms

habit

An action performed repeatedly and automatically, usually without awareness.

assimilation

The adoption, by a minority group, of the customs and attitudes of the dominant culture.

Example

• An invention that substantially changed culture was the development of the birth control pill, which changed women’s attitudes toward sex. Prior to the introduction of the birth control pill, women were at a high risk of pregnancy as a result of sex. After the introduction of the pill, their risk of pregnancy was substantially reduced, increasing their willingness to engage in sexual activity outside of wedlock.

Fundamentally, although bounded, cultures can change. Cultures are internally affected by both forces encouraging change and forces resisting change. These forces are related to social structures and natural events, and are involved in the perpetuation of cultural ideas and practices within current structures, which are themselves subject to change . Resistance can come from habit, religion, and the integration and interdependence of cultural traits. For example, men and women have complementary roles in many cultures. One sex might desire changes that affect the other, as happened in the second half of the 20^th century in western cultures (see, for example, the women’s movement), while the other sex may be resistant to that change (possibly in order to maintain a power imbalance in their favor).

Biology versus Culture

These two avatars illustrate the basic concept of culture. One is simply a reflection of his biology; he is human. The other is a reflection of his biology and his culture: he is human and belongs to a cultural group or sub-culture.

Cultural change can have many causes, including the environment, technological inventions, and contact with other cultures. Cultures are externally affected via contact between societies, which may also produce—or inhibit—social shifts and changes in cultural practices. War or competition over resources may impact technological development or social dynamics. Additionally, cultural ideas may transfer from one society to another, through diffusion or acculturation.

Discovery and invention are mechanisms of social and cultural change. Discovery refers to the finding of new knowledge within an existing realm. Generally, it relates to discovering new understanding of a particular behavior or ritual. Invention is the creation of a new device or process. New discoveries often lead to new inventions by people.

In diffusion, the form of something (though not necessarily its meaning) moves from one culture to another. For example, hamburgers, mundane in the United States, seemed exotic when introduced into China. “Stimulus diffusion” (the sharing of ideas) refers to an element of one culture leading to an invention or propagation in another .

The Change of Symbolic Meaning Over Time

The symbol of the ankh has its roots in Egyptian religious practice, but the symbol diffused over time and was adopted by other groups, including pagans, as a religious symbol.

Acculturation has different meanings, but in this context it refers to replacement of the traits of one culture with those of another, such has happened to certain Native American tribes and to many indigenous peoples across the globe during the process of colonization. Related processes on an individual level include assimilation (adoption of a different culture by an individual) and transculturation.

3.3.3: Cultural Lag

The term “cultural lag” refers to the fact that culture takes time to catch up with technological innovations, resulting in social problems.

Learning Objective

Produce an example of cultural lag using an example of the tension between material and non-material culture

Key Points

• Cultural lag is not only a concept, as it also relates to a theory and explanation in sociology.
• It helps identify and explain social problems and also predict future problems.
• According to Ogburn, cultural lag is a common societal phenomenon due to the tendency of material culture to evolve and change rapidly and voluminously while non-material culture tends to resist change and remain fixed for a far longer period of time.
• Due to the opposing nature of these two aspects of culture, adaptation of new technology becomes rather difficult.

Key Terms

non-material culture

In contrast to material culture, non-material culture does not include any physical objects or artifacts. Examples of non-material culture include any ideas, beliefs, values, and norms that may help shape our society.

material culture

In the social sciences, material culture is a term, developed in the late 19th and early 20th century, that refers to the relationship between artifacts and social relations.

innovation

The act of innovating; the introduction of something new, in customs, rites, and so on.

Example

• Cultural lag can occur when technological innovation outpaces cultural adaptation. For example, when cars were first invented, there were not yet any laws to govern driving: no speed limits, no guidelines for who had the right of way at intersections, no lane markers, no stop signs, and so on. As you can imagine, the result was chaos. City streets became incredibly dangerous. Laws soon were written to address this problem, closing the gap.

The term cultural lag refers to the notion that culture takes time to catch up with technological innovations, and that social problems and conflicts are caused by this lag. Cultural lag is not only a concept, as it also relates to a theory and explanation in sociology. Cultural lag helps to identify and explain social problems and to predict future problems.

The term was coined by the sociologist William F. Ogburn in his 1922 work “Social Change with Respect to Culture and Original Nature. ” According to Ogburn, cultural lag is a common societal phenomenon due to the tendency of material culture to evolve and change rapidly while non-material culture tends to resist change and remain fixed for a far longer period of time. His theory of cultural lag suggests that a period of maladjustment occurs when the non-material culture is struggling to adapt to new material conditions.

Due to the opposing nature of these two aspects of culture, adaptation of new technology becomes rather difficult. As explained by James W. Woodward, when material conditions change, changes are felt in the non-material culture as well. But these changes in the non-material culture do not match exactly with the change in the material culture. This delay is the cultural lag.

Cultural lag creates problems for a society in different ways. Cultural lag is seen as a critical ethical issue because failure to develop broad social consensus on appropriate uses of modern technology may lead to breakdowns in social solidarity and the rise of social conflict . The issue of cultural lag tends to permeate any discussion in which the implementation of some new technology can become controversial for society at large.

Human Embryonic Stem Cells

As example of cultural lag is human embryonic stem cells. We have the necessary technology to turn stem cells into neurons but have not yet developed ethical guidelines and cultural consensus on this practice.

3.3.4: Animals and Culture

Animal culture refers to cultural learning in non-human animals through socially transmitted behaviors.

Learning Objective

Formulate a thesis which defends the idea that non-human animals have culture

Key Points

• Much cultural anthropological research has been done on non-human primates, due to their close evolutionary proximity to humans.
• One of the first signs of culture in early humans was the use of tools. Chimpanzees have been observed using tools such as rocks and sticks to obtain better access to food.
• The acquisition and sharing of behaviors correlates directly to the existence of memes, which are defined as “units of cultural transmission” by the evolutionary biologist Richard Dawkins.
• Though the idea of culture in animals has only been around for just over half of a century, scientists have been noting social behaviors of animals for centuries.
• Aristotle was the first to provide evidence of social learning in the bird songs. Charles Darwin first attempted to find the existence of imitation in animals when trying to prove his theory that the human mind had evolved from that of lower beings.

Key Terms

meme

Any unit of cultural information, such as a practice or idea, that is transmitted verbally or by repeated action from one mind to another.

social behaviors

In physiology and sociology, social behavior is behavior directed towards society, or taking place between, members of the same species.

cultural anthropological research

Cultural anthropology is a branch of anthropology focused on the study of cultural variation among humans, collecting data about the impact of global economic and political processes on local cultural realities.

Animal culture refers to cultural learning in non-human animals through socially transmitted behaviors. The question of the existence of culture in non-human societies has been a contentious subject for decades due to the inexistence of a concise definition for culture. However, many scientists agree on culture being defined as a process, rather than an end product. This process, most agree, involves the social transmission of a novel behavior, both among peers and between generations. This behavior is shared by a group of animals, but not necessarily between separate groups of the same species .

Animal Culture

A chimpanzee mother and baby.

Tools and Learned Activities

One of the first signs of culture in early humans was the use of tools. Chimpanzees have been observed using tools such as rocks and sticks to obtain better access to food. There are other learned activities that have been exhibited by animals as well. Some examples of these activities that have been shown by varied animals are opening oysters, swimming, washing food, and unsealing tin lids. The acquisition and sharing of behaviors correlates directly to the existence of memes, which are defined as “units of cultural transmission” by the evolutionary biologist Richard Dawkins. It especially reinforces the natural selection component. These learned actions are mechanisms for making life easier, and therefore longer.

History of Animal Culture

Though the idea of culture in animals has only been around for just over half of a century, scientists have been noting social behaviors of animals for centuries. Aristotle was the first to provide evidence of social learning in the bird songs. Charles Darwin first attempted to find the existence of imitation in animals when trying to prove his theory that the human mind had evolved from that of lower beings. Darwin was also the first to suggest what became known as ‘social learning’ in explaining the transmission of an adaptive behavior pattern throughout a population of honey bees.

Much cultural anthropological research has been done on non-human primates, due to their close evolutionary proximity to humans. In non-primate animals, research tends to be limited, so the evidence for culture is lacking. The subject has become more popular recently, prompting more research in the field.

3.4: Culture Worlds

3.4.1: Subcultures

A subculture is a culture shared and actively participated in by a minority of people within a broader culture.

Learning Objective

Give examples for subcultures by using Gelder’s proposed criteria

Key Points

• Subcultures incorporate large parts of the broader cultures of which they are part; in specifics they may differ radically.
• The study of subcultures often consists of the study of symbolism attached to clothing, music, and other visible affectations by members of subcultures. Sociologists also study the ways in which these same symbols are interpreted by members of the dominant culture.
• Cultural appropriation is the process by which businesses often seek to capitalize on the subversive allure of subcultures in search of “cool,” which remains valuable in the selling of any product.

Key Terms

cultural appropriation

Cultural appropriation is the adoption of some specific elements of one culture by a different cultural group.

subculture

A portion of a culture distinguished from the larger society around it by its customs or other features.

symbolism

Representation of a concept through symbols or underlying meanings of objects or qualities.

Example

• Religious minorities could be considered subcultures. For example, Mormons might be considered a subculture. Within Mormon culture, there may be yet more subcultures (or sub-subcultures), such as those who continue to practice polygamy.

In sociology, anthropology, and cultural studies, a subculture is a group of people with a culture that differentiates themselves from the larger culture to which they belong. A culture often contains numerous subcultures, which incorporate large parts of the broader cultures of which they are part; in specifics they may differ radically. Subcultures bring together like-minded individuals who feel neglected by societal standards and allow them to develop a sense of identity.

Subcultures and Symbolism

The study of subcultures often consists of the study of symbolism attached to clothing, music, and other visible affectations by members of subcultures. Additionally, sociologists study the ways in which these symbols are interpreted by members of the dominant culture. Some subcultures achieve such a status that they acquire a name. Members of a subculture often signal their membership through a distinctive and symbolic use of style, which includes fashions, mannerisms, and argot. Examples of subcultures could include bikers, military personel, and Star Trek fans .

Trekkies

The hand gesture meaning ‘live long and prosper’ has spread beyond the subculture of Star Trek fans and is often recognized in mainstream culture.

Identifying Subcultures

It may be difficult to identify certain subcultures because their style—particularly clothing and music—may be adopted by mass culture for commercial purposes. Businesses often seek to capitalize on the subversive allure of subcultures in search of “cool,” which remains valuable in selling of any product. This process of cultural appropriation may often result in the death or evolution of the subculture, as its members adopt new styles that appear alien to mainstream society.

In 2007, Ken Gelder proposed six key ways in which subcultures can be identified:

1. Through their often negative relations to work (as ‘idle’, ‘parasitic’, at play or at leisure, etc.)
2. Through their negative or ambivalent relation to class (since subcultures are not ‘class-conscious’ and don’t conform to traditional class definitions)
3. Through their association with territory (the ‘street’, the ‘hood’, the club, etc.), rather than property
4. Through their movement out of the home and into non-domestic forms of belonging (i.e. social groups other than the family)
5. Through their stylistic ties to excess and exaggeration (with some exceptions)
6. Through their refusal of the banalities of ordinary life

3.4.2: Countercultures

Counterculture is a term describing the values and norms of a cultural group that run counter to those of the social mainstream of the day.

Learning Objective

Apply the concept of counterculture to the rise and collapse of the US Hippie movement

Key Points

• Examples of countercultures in the U.S. could include the hippie movement of the 1960s, the green movement, polygamists, and feminist groups.
• A counterculture is a subculture with the specific characteristic that some of its beliefs, values, or norms challenge or even contradict those of the main culture with which it shares a geographic region and/or origin.
• Countercultures run counter to dominant cultures and the social mainstream of the day.

Key Terms

counterculture

Any culture whose values and lifestyles are opposed to those of the established mainstream culture, especially to western culture.

culture

The beliefs, values, behavior, and material objects that constitute a people’s way of life.

mainstream

Purchased, used, or accepted broadly rather than by a tiny fraction of a population or market; common, usual, or conventional.

Example

• Modern American Marxist political groups are examples of countercultures — they promote a worldview and set of norms and values that are contrary to the dominant American system.

“Counterculture” is a sociological term that refers to a cultural group or subculture whose values and norms of behavior run counter to those of the region’s social mainstream; it can be considered the cultural equivalent of political opposition.

In the United States, the counterculture of the 1960s became identified with the rejection of conventional social norms of the 1950s. Counterculture youth rejected the cultural standards of their parents, especially with respect to racial segregation and initial widespread support for the Vietnam War.

As the 1960s progressed, widespread tensions developed in American society that tended to flow along generational lines regarding the war in Vietnam, race relations, sexual mores, women’s rights, traditional modes of authority, and a materialistic interpretation of the American Dream. Hippies became the largest countercultural group in the United States. The counterculture also had access to a media eager to present their concerns to a wider public. Demonstrations for social justice created far-reaching changes affecting many aspects of society .

Hippies at an Anti-Vietnam Demonstration, 1967

A female demonstrator offers a flower to military police on guard at the Pentagon during an anti-Vietnam demonstration.

The counterculture in the United States lasted from roughly 1964 to 1973 — coinciding with America’s involvement in Vietnam — and reached its peak in 1967, the “Summer of Love. ” The movement divided the country: to some Americans, these attributes reflected American ideals of free speech, equality, world peace, and the pursuit of happiness; to others, the same attributes reflected a self-indulgent, pointlessly rebellious, unpatriotic, and destructive assault on America’s traditional moral order.

The counterculture collapsed circa 1973, and many have attributed its collapse to two major reasons: First, the most popular of its political goals — civil rights, civil liberties, gender equality, environmentalism, and the end of the Vietnam War — were accomplished. Second, a decline of idealism and hedonism occurred as many notable counterculture figures died, the rest settled into mainstream society and started their own families, and the “magic economy” of the 1960s gave way to the stagflation of the 1970s.

3.5: Culture and the Dominant Ideology in the U.S.

3.5.1: An Overview of U.S. Values

Despite certain consistent values (e.g. individualism, egalitarianism, freedom, democracy), American culture has a variety of expressions.

Learning Objective

Defend the notion that America has both consistent values and a variety of expressions

Key Points

• Values are related to the norms of a culture, but they are more global and abstract than norms. Norms are rules for behavior in specific situations, while values identify what should be judged as good or evil.
• American culture includes both conservative and liberal elements, scientific and religious competitiveness, political structures, risk taking and free expression, materialist and moral elements.
• American culture has a variety of expressions due to its geographical scale and demographic diversity.
• Since the late 1970’s, the term “traditional values” has become synonymous with “family values” in the U.S., and implies a congruence with mainstream Christianity. However “family values” is arguably a modern politicized subset of traditional values, which is a larger concept.

Key Terms

conservative

A person who favors maintenance of the status quo or reversion to some earlier status.

liberal

Open to political or social changes and reforms associated with either classical or modern liberalism.

traditional

Of or pertaining to tradition; derived from tradition; communicated from ancestors to descendants by word only; transmitted from age to age without writing; as, traditional opinions; traditional customs; traditional expositions of the Scriptures.

Example

• Achievement and success are typical American values. These values may explain why so many Americans pursue higher education in order to get better jobs and earn more money, as well as why Americans are given so few vacation days compared to other countries.

Cultures have values that are largely shared by their members. The values of a society can often be identified by noting that which people receive, honor or respect.

Values are related to the norms of a culture, but they are more global and abstract than norms. Norms are rules for behavior in specific situations, while values identify what should be judged as either good or evil. Flying the national flag on a holiday is a norm, but it reflects the value of patriotism. Wearing dark clothing and appearing solemn are normative behaviors at a funeral; in certain cultures, they reflect the values of respect and support for friends and family.

The Statue of Liberty

The Statue of Liberty symbolizes freedom, a fundamental American value.

Different cultures reflect different values. American culture includes both conservative and liberal elements, such as scientific and religious competitiveness, political structures, risk taking and free expression, materialist and moral elements. Aside from certain consistent ideological principles (e.g. individualism, egalitarianism and faith in freedom and democracy), American culture’s geographical scale and demographic diversity has spawned a variety of expressions. The flexibility of U.S. culture and its highly symbolic nature lead some researchers to categorize American culture as a mythic identity, while others recognize it as American exceptionalism.

Declaration of Independence

Many fundamental American values are derived from the Declaration of Independence.

Since the late 1970’s, the terms “traditional values” and”family values” have become synonymous in the U.S., and imply a congruence with mainstream Christianity . However, the term “family values” is arguably a modern politicized subset of traditional values, which is a larger concept, anthropologically speaking. Although It is also not necessarily a political idea, it has become associated with both the particular correlation between Evangelicalism and politics (as embodied by American politicians such as Ronald Reagan, Dan Quayle and George W. Bush), as well as the broader Christianity movement (as exemplified by Pat Robertson).

Traditional values as “family values”?

“Family values” is arguably a modern politicized subset of traditional values.

3.5.2: Value Clusters

People from different backgrounds tend to have different value systems, which cluster together into a more or less consistent system.

Learning Objective

Evaluate the separation of world values into the categories of ‘self-expression’ and ‘survival’

Key Points

• The World Values Survey is used to identify different clusters of values around the world.
• Traditional and survival values tend to cluster in developing countries.
• With industrialization, countries shift from traditional to secular values.
• With the rise of knowledge economies, countries tend to shift from survival to self-expression values.
• With the rise of knowledge economies, countries tend to shift from survival to self-expression values.

Key Terms

Traditional Values

Traditional values emphasize the importance of religion, parent-child ties, deference to authority and traditional family values. People who embrace these values also reject divorce, abortion, euthanasia, and suicide. These societies have high levels of national pride and a nationalistic outlook.

Secular Values

Secular values, as opposed to traditional values, base morality on human faculties such as logic, reason, or moral intuition, rather than on purported supernatural revelation or guidance (which is the source of religious ethics).

Example

• In the 1970s, the United States economy underwent a major shift. Before the 1970s, most people worked in manufacturing. After the 1970s, more people worked in the service sector, and the knowledge economy took off. With this economic shift, values began to change, too. For example, the 1970s saw the blossoming of the environmental movement, which put less emphasis on survival values. Rather than focusing on putting enough food on the table, people became concerned with how that food was produced, packaged, and transported. They began to make consumption decisions based on self-expression; they bought organic produce or free range beef to express their belief that sustainability and environmental protection mattered.

People from different backgrounds tend to have different sets of values, or value systems. Certain values may cluster together into a more or less consistent system. A communal or cultural value system is held by and applied to a community, group, or society. Some communal value systems are reflected in legal codes and laws.

World Values Survey

Some sociologists are interested in better defining and measuring value clusters in different countries. To do so, they have developed what is called the World Values Survey, a survey of questions given to people around the world and used to identify different clusters of values in different regions. Over the years, the World Values Survey has demonstrated that people’s beliefs play a key role in defining life in different countries—defining anything from a nation’s economic development to the emergence of democratic institutions to the rise of gender equality .

World Values Survey

The World Values Survey is administered to people around the world. Their responses are aggregated and can be used to reveal regional value clusters, like those displayed in this map.

Trends

In general, the World Values Survey has revealed two major axes along which values cluster: (1) a continuum from traditional to secular values and (2) a continuum from survival to self-expression. Traditional values emphasize the importance of religion, parent-child ties, deference to authority, and traditional family values. People who embrace these values also reject divorce, abortion, euthanasia, and suicide. These societies have high levels of national pride and a nationalistic outlook. Secular values have the opposite preferences to the traditional values. These societies place less emphasis on religion, traditional family values, and authority. Divorce, abortion, euthanasia, and suicide are seen as relatively acceptable. Industrialization tends to bring a shift from traditional values to secular ones.

With the rise of the knowledge society, cultural change moves in a new direction. The transition from industrial society to knowledge society is linked to a shift from survival values to self-expression values. In knowledge societies, such as the United States, an increasing share of the population has grown up taking survival for granted. Survival values place emphasis on economic and physical security. It is linked with a relatively ethnocentric outlook and low levels of trust and tolerance. Self-expression values give high priority to environmental protection; tolerance of foreigners, gays, and lesbians; gender equality; and participation in decision-making as it relates to economic and political life.

3.5.3: Value Contradictions

Although various values often reinforce one another, these clusters of values may also include values that contradict one another.

Learning Objective

Analyze a scenario in which a value system, either individual or collective, is shown to be internally inconsistent, and then resolve the conflict

Key Points

• Value systems may contain value contradictions. A value system by itself is internally inconsistent if its values contradict each other, and its exceptions are highly situational and inconsistently applied.
• Value contradictions can also arise within systems of personal or communal values.
• Often, conflicts arise due to value systems contradictions. Society tries to resolve value contradictions in order to reduce conflict.
• Society tries to resolve value contradictions.

Key Terms

Value Consistency

A value system in its own right is internally consistent when its values do not contradict each other, and its exceptions are abstract enough to be used in all situations and consistently applied.

Value Contradictions

A value system by itself is internally inconsistent or contradictory if its values contradict each other, and its exceptions are highly situational and inconsistently applied.

Communal Values

A communal or cultural value system is held by and applied to a community/ group/society. Some communal value systems are reflected in the form of legal codes or law.

Examples

• An example of conflict would be a value system based on individualism pitted against a value system based on collectivism. Society might try to resolve that conflict in various ways, such as the using the following guideline: Individuals may act freely unless their actions harm others or interfere with others’ freedom or with functions of society that individuals need, provided those functions do not themselves interfere with these prescribed individual rights and were agreed to by a majority of the individuals.
• Individuals may act freely unless their actions harm others or interfere with others’ freedom or with functions of society that individuals need, provided those functions do not themselves interfere with these prescribed individual rights and were agreed to by a majority of the individuals.
• A society (or more specifically the system of order that enables the workings of a society) exists for the purpose of benefiting the lives of the individuals who are members of that society. The functions of a society in providing such benefits would be those agreed to by the majority of individuals in the society.
• A society may require contributions from its members in order for them to benefit from the services provided by the society. The failure of individuals to make such required contributions could be considered a reason to deny those benefits to them, although a society could elect to consider hardship situations in determining how much should be contributed.
• A society may restrict behavior of individuals who are members of the society only for the purpose of performing its designated functions agreed to by the majority of individuals in the society, only insofar as they violate the aforementioned values. This means that a society may abrogate the rights of any of its members who fails to uphold the aforementioned values.

Although value clusters generally work together so that various values reinforce one another, at times, these clusters of values may also include values that contradict one another. Value contradictions can arise between individual and communal value systems. That is, as a member of a society, group, or community, an individual can hold both a personal value system and a communal value system at the same time. In this case, the two value systems (one personal and one communal) are externally consistent provided they bear no contradictions or situational exceptions between them.

Value contradictions can also arise within individual or communal value systems. A value system is internally consistent (value consistency) when its values do not contradict each other and its exceptions are abstract enough to be used in all situations and consistently applied. Conversely, a value system by itself is internally inconsistent if its values contradict each other and its exceptions are highly situational and inconsistently applied. A value contradiction could be based on a difference in how people rank the value of things, or on fundamental value conflict. For example, although sharing a set of common values, such as hockey is better than baseball or ice cream is better than fruit, two different parties might not rank those values equally. Also, two parties might disagree as to whether certain actions are right or wrong, both in theory and in practice, and find themselves in an ideological or physical conflict.

Conflicts are often a result of differing value systems. An example conflict would be a value system based on individualism pitted against a value system based on collectivism. A rational value system organized to resolve the conflict between two such value systems might take this form: Individuals may act freely unless their actions harm others or interfere with others’ freedom or with functions of society that individuals need, provided those functions do not themselves interfere with these proscribed individual rights and were agreed to by a majority of the individuals.

Protestors clash with police at the 1999 WTO summit in Seattle

People whose personal values conflict with communal values may try to change communal values through protest.

Life of George Washington–The farmer

This picture, by French artist Régnier, shows George Washington standing among African American field workers. The practice of slavery represents a value contradiction between wealth and liberty.

3.5.4: Emerging Values

Values tend to change over time, and the dominant values in a country might shift as that country undergoes economic and social change.

Learning Objective

Criticize materialist values for the sake of argument

Key Points

• Millennials and Baby Boomers grew up under different conditions and therefore have different values.
• People who grow up worrying about meeting their basic material needs will tend to have materialist values that emphasize survival and meeting basic needs.
• People who grow up without having to worry about meeting basic material needs will tend to have post-materialist values such as self-expression.

Key Terms

values

A collection of guiding principles; what one deems to be correct and desirable in life, especially regarding personal conduct.

autonomy

Self-government; freedom to act or function independently.

Example

• The difference between materialist and post-materialist values can often be witnessed in family dinner conversations, which reveal how generational change leads to value change. A father, who grew up with only the bare necessities, may work very hard to provide for his family. He ensures that his children have what he never had: the security of having every basic need and most of their desires satisfied. But his children, growing up with such material security, develop different values. Rather than being concerned with earning a living, they are concerned with making a difference and following their dreams. At family dinners, the father may urge his children to pursue practical courses in college that will prepare them for dependable jobs, whereas the children may argue in favor of pursuing interesting courses that may lack practical application.

Values tend to change over time. The dominant values in a country may shift as that country undergoes economic and social change. Often, such value change can be observed in generational differences. For example, most young adults today share similar values. They are sometimes referred to as Generation Y or Milliennials. This generation was born in the 1980s and 1990s, and raised in a much more technologically advanced environment.

Millennials (Generation Y)

This generation was born in the 1980s and 1990s, a time of major technological advancement.

Milliennials tend to have different values than the previous generation. Some common, notable tendencies are:

• wanting to “make a difference” or have purpose
• wanting to balance work with the rest of life
• excessive seeking of fun and variety
• questioning authority or refusal to respond to authority without “good reason”
• unlimited ambition coupled with overly demanding, confrontational personality
• lack of commitment in the face of unmet expectations
• extreme sense of loyalty to family, friends, and self

By contrast, their parents or grandparents tend to belong to the Baby Boom generation, born between 1946 and 1964. Baby Boomers did not grow up with the same technologies as today’s youth. Instead, they came of age during the 1960s and 1970s, and their values were often formed in support of or reaction to the political and social issues of the time. Whereas the generation before the Baby Boom was concerned with economic and physical security, Boomers tend to have what are referred to as post-materialist values.

Civil Rights Movement

The right to assembly protects citizens’ rights to gather together to peacefully protest. This right was frequently exercised during the Civil Rights Movement (depicted here).

Post-materialist values emphasize non-material values like freedom and the ability to express oneself. The rising prosperity of the post-WWII years fostered these values by liberating people from the overriding concern for material security. Sociologists explain the rise of post-materialist values in two ways. First, they argue that individuals pursue various goals in order of basic necessity. While people may universally aspire to freedom and autonomy, the most pressing material needs like hunger, thirst, and physical security have to be satisfied first, since they are immediately linked with survival. These materialistic goals will have priority over post-materialist goals like belonging, esteem, and aesthetic and intellectual satisfaction. Once satisfaction has been achieved from these material survival needs, focus will gradually shift to the nonmaterial.

Second, sociologists suggest that people’s basic values are largely fixed when they reach adulthood, and change relatively little thereafter. For example, those who experience economic scarcity in childhood may as adults place a high value on meeting economic needs (such as valuing economic growth above protecting the environment) and on safety needs (such as supporting more authoritarian styles of leadership or exhibiting strong feelings of national pride—e.g., maintaining a strong army or willingness to sacrifice civil liberties for the sake of law and order). On the other hand, those who mainly experienced sustained material affluence during youth might give high priority to values such as individual improvement, personal freedom, citizen input in government decisions, the ideal of a society based on humanism, and maintaining a clean and healthy environment. Because values are set when people are young, value change can be slow. The values we see emerging today may depend on material conditions nearly a generation ago.

3.5.5: Culture Wars

In American usage, “culture war” refers to the claim that there is a conflict between those conservative and liberal values.

Learning Objective

Support the notion of a culture war by giving an example from your own contemporary society

Key Points

• A culture war is a struggle between two sets of conflicting cultural values.
• Italian Marxist Antonio Gramsci argued for a culture war in which anti-capitalist elements seek to gain a dominant voice in the mass media, education, and other mass institutions.
• Members of the religious right accused their political opponents of undermining tradition, Western civilization, and family values.
• James Davison Hunter argued that on an increasing number of “hot-button” defining issues, such as abortion, gun politics, separation of church and state, privacy, recreational drug use, homosexuality, and censorship issues, there existed two definable polarities.
• James Davison Hunter argued that on an increasing number of “hot-button” defining issues — abortion, gun politics, separation of church and state, privacy, recreational drug use, homosexuality, censorship issues — there existed two definable polarities.

Key Terms

kulturkampf

A conflict between secular and religious authorities, especially the struggle between the Roman Catholic Church and the German government under Bismarck.

progressive

Favoring or promoting progress; advanced.

religious right

The religious or Christian right is a term used in the United States to describe right-wing Christian political groups that are characterized by their strong support of socially conservative policies. Christian conservatives principally seek to apply their understanding of the teachings of Christianity to politics and public policy by proclaiming the value of those teachings and/or by seeking to use those teachings to influence law and public policy.

Example

• At the 1992 Republican National Convention, conservative pundit Patrick Buchanan gave a landmark speech that is now often referred to as his “culture war speech. ” In it, he defined the battle lines between the two sides in the culture war, which he claimed was being fought by Republicans and Democrats. On one side, Republicans (and their 1992 presidential candidate George H.W. Bush) believed in the importance of religion and traditional family values. They wanted parents to have the option of sending children to private, religious schools (at state expense), and they opposed legalized abortion or equal rights for gay and lesbian people.

A culture war is a struggle between two sets of conflicting cultural values. This can be framed to describe west versus east, rural versus urban, or traditional values versus progressive secularism. The concept of a culture war has been in use in English since at least its adoption as a calque (loan translation) to refer to the German “Kulturkampf.”

Italian Marxist Antonio Gramsci presented in the 1920s a theory of cultural hegemony. He stated that a culturally diverse society can be dominated by one class who has a monopoly over the mass media and popular culture, and Gramsci argued for a culture war in which anti-capitalist elements seek to gain a dominant voice in the mass media, education, and other mass institutions.

As an American phenomenon, it originated in the 1920s when urban and rural American values came into clear conflict. In American usage, the term culture war is used to claim that there is a conflict between those values considered traditionalist or conservative and those considered progressive or liberal. In the 1980s, the culture war in America was characterized by the conservative climate during the presidency of Ronald Reagan. Members of the religious right often criticized academics and artists, and their works, in a struggle against what they considered indecent, subversive, and blasphemous. They often accused their political opponents of undermining tradition, Western civilization and family values.

The expression was introduced again by the 1991 publication of Culture Wars: The Struggle to Define America by James Davison Hunter, a sociologist at the University of Virginia. Hunter described what he saw as a dramatic realignment and polarization that had transformed American politics and culture. He argued that on an increasing number of “hot-button” defining issues, such as abortion, gun politics, separation of church and state, privacy, recreational drug use, homosexuality, and censorship issues, there existed two definable polarities. Furthermore, not only were there a number of divisive issues, but society had divided along essentially the same lines on these issues, so as to constitute two warring groups, defined primarily not by religion, ethnicity, social class, or even political affiliation, but rather by ideological world views.

Culture Wars

So-called red state/blue state maps have become popular for showing election results. Some suggest that the red state/blue state divide maps the battle lines in the culture wars.

3.5.6: Values as Binders

Cultures hold values that are largely shared by their members, thereby binding members together.

Learning Objective

Compose a scenario which illustrates a potential clash between personal and cultural/societal values

Key Points

• Values and value systems are guidelines that determine what is important in a society, reflecting a person’s sense of right and wrong, or what “ought” to be.
• Types of values include ethical/moral value, doctrinal/ideological (religious or political) values, social values, and aesthetic values.
• While a personal value system is held by and applied to one individual only, a communal or cultural value system is held by and applied to a community/group/society.
• Cultures have values that are largely shared by their members, thereby binding members together. Members take part in a culture even if each member’s personal values do not entirely agree with some of the normative values sanctioned in the culture.
• Values are related to the norms of a culture, but they are more global and abstract than norms.
• Values can act as blinders if people take their own personal values (or their society’s values) as universal truths and fail to recognize the diversity of values held across people and societies.

Key Terms

value system

a set of consistent personal and cultural values used for the purpose of ethical or ideological integrity.

value

The degree of importance given to something.

Example

• In the 1950s, few women worked outside the home. Most people, men and women alike, believed that the proper roles of women were as homemaker and mother. Gradually, though, economic necessity drove more and more women to seek jobs. As they did, many women confronted hostility, both at work and at home. They were accused of undermining the stability of the American family. Critics worried that, without mothers at home, children would grow up to be criminals. But no such catastrophe came to be. It was only the values of the time, acting as blinders, which prevented people from imagining the stability of a society in which women worked outside the home. Of course, today, the value of work has become so entrenched for women that some criticize those women who choose to stay at home instead of working. They are likewise using values as blinders.

Values and value systems are guidelines that determine what is important in a society. They can be defined as broad preferences concerning appropriate courses of action or outcomes. Values reflect a person’s sense of right and wrong, or what “ought” to be. “Equal rights for all,” “Excellence deserves admiration,” and “People should be treated with respect and dignity” are representative of values. Types of values include ethical/moral value, doctrinal/ideological (religious, political, etc.) values, social values, and aesthetic values.

Values tend to influence attitudes and behavior. For example, if you value equal rights for all and you work for an organization that treats some employees markedly better than others, this may cause internal conflict. A value system is a set of consistent personal and cultural values used for the purpose of ethical or ideological integrity. While a personal value system is held by and applied to one individual only, a communal or cultural value system is held by and applied to a community/group/society. Some communal value systems are reflected in the form of legal codes or law. As a member of a society, group, or community, an individual can hold both a personal value system and a communal value system at the same time. In this case, the two value systems (one personal and one communal) are externally consistent provided they bear no contradictions or situational exceptions between them.

Cultures have values that are largely shared by their members, thereby binding members together. Members take part in a culture even if each member’s personal values do not entirely agree with some of the normative values sanctioned in the culture. This reflects an individual’s ability to synthesize and extract aspects valuable to them from the multiple subcultures to which they belong. Values vary across individuals and cultures, and change over time; in many ways, they are aligned with belief and belief systems. Noting which people receive honor or respect can often identify the values of a society. In the US, for example, professional athletes at the top levels in some sports are honored (in the form of monetary payment) more than college professors. Surveys show that voters in the United States would be reluctant to elect an atheist as a president, suggesting that belief in God is a value.

Values are related to the norms of a culture, but they are more global and abstract than norms. Normsare rules for behavior in specific situations, while values identify what should be judged as right or wrong. Flying the national flag on a holiday is a norm, but it reflects the value of patriotism. Wearing dark clothing and appearing solemn are normative behaviors at a funeral. In certain cultures, they reflect the values of respect and support of friends and family. If a group member expresses a value that is in serious conflict with the group’s norms, the group’s authority may carry out various ways of encouraging conformity or stigmatizing the non-conforming behavior of its members. For example, transgender individuals hold the value of freedom to identify and express their gender as they choose; however this value is not shared by much of society, and discriminatory laws and practices prevent this freedom.

Values can act as blinders if people take their own personal values (or their society’s values) as universal truths and fail to recognize the diversity of values held across people and societies. They may believe their values determine the only way to understand and act in the world, when, in fact, different people and different societies may have widely divergent values.

Blinders

Values can act as blinders if people fail to recognize the diversity of values held across people and cultures, and assume their own society’s values are universal truths.

3.5.7: Ideal vs. Real Culture

Any given culture contains a set of values that determine what is important to the society; these values can be idealized or realized.

Learning Objective

Compare the idea of an idealized and a realized value system

Key Points

• Ideal values are absolute; they bear no exceptions. These values can be codified as a strict set of proscriptions on behavior.
• A realized value system contains exceptions to resolve the contradictions between ideal values and practical realities in everyday circumstances.
• Whereas we might refer to ideal values when listing American values (or even our own values), the values that we uphold in daily life tend to be real values.

Key Terms

real values

values that contain exceptions to resolve the contradictions inherent between ideal values and practical realities.

ideal values

absolute values that bear no exceptions and can be codified as a strict set of proscriptions on behavior.

Example

• In America, ideal values include marriage and monogamy based on romantic love. But in reality, many marriages are based on something other than romantic love: money or convenience, for instance. And in reality, few marriages endure for life as monogamous couplings. Many spouses have affairs or divorce. None of this is to say that monogamous marriages based on romantic love do not exist. But such marriages are not universal, despite our value ideals.

Any given culture contains a set of values and value systems that determine what is important to the society as a whole. When we talk about American values, we often have in mind a set of ideal values. Ideal values are absolute; they bear no exceptions. These values can be codified as a strict set of proscriptions on behavior, and those who hold to their idealized value system and claim no exceptions are often referred to as absolutists.

An example of an ideal value is the idea of marriage and monogamy based on romantic love . In reality, many marriages are based on things other than romantic love (such as money, convenience, or social expectation), and many end in divorce. While monogamous marriages based on romantic love certainly do exist, such marriages are not universal, despite our value ideals.

The Ideal Marriage?

In ideal culture, marriage is forever, but in real culture, many marriages end in divorce.

Few things in life exist without exception. Along with every value system comes exceptions to those values. Abstract exceptions serve to reinforce the ranking of values; their definitions are generalized enough to be relevant to any and all situations. Situational exceptions, on the other hand, are ad hoc and pertain only to specific situations. With these exceptions, real values emerge. A realized value system, as opposed to an ideal value system, contains exceptions to resolve the contradictions between ideal values and practical realities in everyday circumstances.

Whereas we might refer to ideal values when listing American values (or even our own values), the values that we uphold in daily life tend to be real values. The difference between these two types of systems can be seen when people state that they hold one value system, yet in practice deviate from it, thus holding a different value system. For example, a religion lists an absolute set of values, while the practice of that religion may include exceptions.

2.2: Research Models

2.2.1: Surveys

Learning Objective

Assess the various types of surveys and sampling methods used in sociological research, appealing to the concepts of reliability and validity

Key Points

• The sample of people surveyed is chosen from the entire population of interest. The goal of a survey is to describe not the smaller sample but the larger population.
• To be able to generalize about a population from a smaller sample, that sample must be representative; proportionally the same in all relevant aspects (e.g., percent of women vs. men).
• Surveys can be distributed by mail, email, telephone, or in-person interview.
• Surveys can be used in cross-sectional, successive-independent-samples, and longitudinal study designs.
• Effective surveys are both reliable and valid. A reliable instrument produces consistent results every time it is administered; a valid instrument does in fact measure what it intends to measure.

Key Terms

sample

A subset of a population selected for measurement, observation or questioning, to provide statistical information about the population.

cross-sectional study

A research method that involves observation of a representative sample of a population at one specific point in time.

successive-independent-samples design

A research method that involves observation of multiple random samples from a population over multiple time points.

longitudinal design

A research method that involves observation of the same  representative sample of a population over multiple time points, generally over a period of years or decades.

Selecting a Sample to Survey

The sample of people surveyed is chosen from the entire population of interest. The goal of a survey is to describe not the smaller sample but the larger population. This generalizing ability is dependent on the representativeness of the sample.

Nuclear Energy Support in the U.S.

This pie chart shows the results of a survey of people in the United States (February 2005, Bisconti Research Inc.). According to the poll, 67 percent of Americans favor nuclear energy (blue), while 26 percent oppose it (yellow).

There are frequent difficulties one encounters while choosing a representative sample. One common error that results is selection bias—when the procedures used to select a sample result in over- or under-representation of some significant aspect of the population. For instance, if the population of interest consists of 75% females, and 25% males, and the sample consists of 40% females and 60% males, females are under represented while males are overrepresented. In order to minimize selection biases, stratified random sampling is often used. This is when the population is divided into sub-populations called strata, and random samples are drawn from each of the strata, or elements are drawn for the sample on a proportional basis.

For instance, a Gallup Poll, if conducted as a truly representative nationwide random sampling, should be able to provide an accurate estimate of public opinion whether it contacts 2,000 or 10,000 people.

Modes of Administering a Survey

There are several ways of administering a survey. The choice between administration modes is influenced by several factors, including

• costs,
• coverage of the target population,
• flexibility of asking questions,
• respondents’ willingness to participate and
• response accuracy

Different methods create mode effects that change how respondents answer, and different methods have different advantages. The most common modes of administration can be summarized as:

• Telephone
• Mail (post)
• Online surveys
• Personal in-home surveys
• Personal mall or street intercept survey
• Hybrids of the above

Participants willing to take the time to respond will convey personal information about religious beliefs, political views, and morals. Some topics that reflect internal thought are impossible to observe directly and are difficult to discuss honestly in a public forum. People are more likely to share honest answers if they can respond to questions anonymously. 

Questionnaire

Questionnaires are a common research method; the U.S. Census is a well-known example.

Types of Studies

Cross-Sectional Design

In a cross-sectional study, a sample (or samples) is drawn from the relevant population and studied once. A cross-sectional study describes characteristics of that population at one time, but cannot give any insight as to causes of population characteristics.

Successive-Independent-Samples Design

A successive-independent-samples design draws multiple random samples from a population at one or more times. This design can study changes within a population, but not changes within individuals because the same individuals are not surveyed more than once. Such studies cannot, therefore, identify the causes of change over time necessarily. 

For successive independent samples designs to be effective, the samples must be drawn from the same population, and must be equally representative of it. If the samples are not comparable, the changes between samples may be due to demographic characteristics rather than time. In addition, the questions must be asked in the same way so that responses can be compared directly.

Longitudinal Design

A study following a longitudinal design takes measure of the same random sample at multiple time points. Unlike with a successive independent samples design, this design measures the differences in individual participants’ responses over time. This means that a researcher can potentially assess the reasons for response changes by assessing the differences in respondents’ experiences. However, longitudinal studies are both expensive and difficult to do. It’s harder to find a sample that will commit to a months- or years-long study than a 15-minute interview, and participants frequently leave the study before the final assessment. This attrition of participants is not random, so samples can become less representative with successive assessments.

Reliability and Validity

Reliable measures of self-report are defined by their consistency. Thus, a reliable self-report measure produces consistent results every time it is executed.

A test’s reliability can be measured a few ways. First, one can calculate a test-retest reliability. A test-retest reliability entails conducting the same questionnaire to a large sample at two different times. For the questionnaire to be considered reliable, people in the sample do not have to score identically on each test, but rather their position in the score distribution should be similar for both the test and the retest.

Self-report measures will generally be more reliable when they have many items measuring a construct. Furthermore, measurements will be more reliable when the factor being measured has greater variability among the individuals in the sample that are being tested. Finally, there will be greater reliability when instructions for the completion of the questionnaire are clear and when there are limited distractions in the testing environment.

Contrastingly, a questionnaire is valid if what it measures is what it had originally planned to measure. Construct validity of a measure is the degree to which it measures the theoretical construct that it was originally supposed to measure.

2.2.2: Fieldwork and Observation

Learning Objective

Explain the goals and methods of ethnography

Key Points

• Ethnographic work requires intensive and often immersive long-term participation in the community that is the subject of research, typically involving physical relocation (hence the term fieldwork).
• In participant observation, the researcher immerses himself in a cultural environment, usually over an extended period of time, in order to gain a close and intimate familiarity with a given group of individuals and their practices.
• Such research involves a range of well-defined, though variable methods: interviews, direct observation, participation in the life of the group, collective discussions, analyses of personal documents produced within the group, self-analysis, and life-histories, among others.
• The advantage of ethnography as a technique is that it maximizes the researcher’s understanding of the social and cultural context in which human behavior occurs.
• The advantage of ethnography as a technique is that it maximizes the researcher’s understanding of the social and cultural context in which human behavior occurs. The ethnographer seeks out and develops relationships with cultural insiders, or informants, who are willing to explain aspects of their community from a native viewpoint. A particularly knowledgeable informant who can connect the ethnographer with other such informants is known as a key informant.

Key Terms

qualitative

Of descriptions or distinctions based on some quality rather than on some quantity.

ethnography

The branch of anthropology that scientifically describes specific human cultures and societies.

Example

• Key informants are usually well-connected people who can help an ethnographer gain access to and better understand a community. For example, Sudhir Venkatesh’s key informant, JT, was the leader of the street gang Venkatesh was studying. As the leader of the gang, JT had a privileged vantage point to see, understand, and explain how the gang worked, as well as to introduce Venkatesh to other members.

Fieldwork and Observation

Ethnography is a qualitative research strategy, involving a combination of fieldwork and observation, which seeks to understand cultural phenomena that reflect the knowledge and system of meanings guiding the life of a cultural group. It was pioneered in the field of socio-cultural anthropology, but has also become a popular method in various other fields of social sciences, particularly in sociology.

Ethnographic work requires intensive and often immersive long-term participation in the community that is the subject of research, typically involving physical relocation (hence the term fieldwork). Although it often involves studying ethnic or cultural minority groups, this is not always the case. Ideally, the researcher should strive to have very little effect on the subjects of the study, being as invisible and enmeshed in the community as possible.

Participant Observation

One of the most common methods for collecting data in an ethnographic study is first-hand engagement, known as participant observation . In participant observation, the researcher immerses himself in a cultural environment, usually over an extended period of time, in order to gain a close and intimate familiarity with a given group of individuals (such as a religious, occupational, or sub-cultural group, or a particular community) and their practices.

Fieldwork and Observation

One of the most common methods for collecting data in an ethnographic study is first-hand engagement, known as participant observation.

Methods

Such research involves a range of well-defined, though variable methods: interviews, direct observation, participation in the life of the group, collective discussions, analyses of personal documents produced within the group, self-analysis, and life-histories, among others.

Interviews can be either informal or formal and can range from brief conversations to extended sessions. One way of transcribing interview data is the genealogical method. This is a set of procedures by which ethnographers discover and record connections of kinship, descent, and marriage using diagrams and symbols. Questionnaires can also be used to aid the discovery of local beliefs and perceptions and, in the case of longitudinal research where there is continuous long-term study of an area or site, they can act as valid instruments for measuring changes in the individuals or groups studied.

Advantages

The advantage of ethnography as a technique is that it maximizes the researcher’s understanding of the social and cultural context in which human behavior occurs. The ethnographer seeks out and develops relationships with cultural insiders, or informants, who are willing to explain aspects of their community from a native viewpoint. The process of seeking out new contacts through their personal relationships with current informants is often effective in revealing common cultural common denominators connected to the topic being studied.

2.2.3: Experiments

Learning Objective

Compare and contrast how hypotheses are being tested in sociology and in the hard sciences

Key Points

• Experiments are controlled tests designed to prove or disprove a hypothesis.
• A hypothesis is a prediction or an idea that has not yet been tested.
• Researchers must attempt to identify everything that might influence the results of an experiment, and do their best to neutralize the effects of everything except the topic of study.
• Since social scientists do not seek to isolate variables in the same way that the hard sciences do, sociologists create the equivalent of an experimental control via statistical techniques that are applied after data is gathered.
• A control is when two identical experiments are conducted and the factor being tested is varied in only one of these experiments.

Key Terms

experiment

A test under controlled conditions made to either demonstrate a known truth, examine the validity of a hypothesis, or determine the efficacy of something previously untried.

control

A separate group or subject in an experiment against which the results are compared where the primary variable is low or nonexistent.

hypothesis

Used loosely, a tentative conjecture explaining an observation, phenomenon, or scientific problem that can be tested by further observation, investigation, or experimentation.

Example

• To conduct an experiment, a scientist must be able to control experimental conditions so that only the variable being studied changes. For example, a scientist might have two identical bacterial cultures. One is the control and it remains unchanged. The other is the experimental culture and it will be subjected to a treatment, such as an antibiotic. The scientist can then compare any differences that develop and safely assume those differences are due to the effects of the antibiotic. But social life is complicated and it would be difficult for a social scientist to find two identical groups of people in order to have both an experimental and a control group. Imagine, for instance, that a sociologist wants to know whether small class size improves academic achievement. For a true experiment, she would need to find identical students and identical teachers, then put some in large classes and some in small classes. But finding identical students and teachers would be impossible! Instead, the sociologist can statistically control for differences by including variables such as students’ socioeconomic status, family background, and teachers’ evaluation scores in a regression. This technique does not make the students or teachers identical, but it allows the research to calculate how much of the difference in students’ achievement is due to background factors like socioeconomic status and how much is actually due to differences in class size.

Scientists form a hypothesis, which is a prediction or an idea that has not yet been tested. In order to prove or disprove the hypothesis, scientists must perform experiments. The experiment is a controlled test designed specifically to prove or disprove the hypothesis . Before undertaking the experiment, researchers must attempt to identify everything that might influence the results of an experiment and do their best to neutralize the effects of everything except the topic of study. This is done through the introduction of an experimental control: two virtually identical experiments are run, in only one of which the factor being tested is varied. This serves to further isolate any causal phenomena.

An Experiment

An experiment is a controlled test designed specifically to prove or disprove a hypothesis.

Of course, an experiment is not an absolute requirement. In observation based fields of science, actual experiments must be designed differently than for the classical laboratory based sciences. Due to ethical concerns and the sheer cost of manipulating large segments of society, sociologists often turn to other methods for testing hypotheses.

Since sociologists do not seek to isolate variables in the same way that hard sciences do, this kind of control is often done via statistical techniques, such as regressions, applied after data is gathered. Direct experimentation is thus fairly rare in sociology.

Scientists must assume an attitude of openness and accountability on the part of those conducting an experiment. It is essential to keep detailed records in order to facilitate reporting on the experimental results and provide evidence of the effectiveness and integrity of the procedure.

2.2.4: Documents

Learning Objective

Describe different kinds of documents used in sociological research

Key Points

• This kind of sociological research is generally considered a part of media studies.
• Unobtrusive research involves ways of studying human behavior without affecting it in the process.
• Documents can either be primary sources, which are original materials that are not created after the fact with the benefit of hindsight, or secondary sources that cite, comment, or build upon primary sources.
• Typically, sociological research involving documents falls under the cross-disciplinary purview of media studies, which encompasses all research dealing with television, books, magazines, pamphlets, or any other human-recorded data. The specific media being studied are often referred to as texts.
• Sociological research involving documents, or, more specifically, media studies, is one of the less interactive research options available to sociologists. It can provide a significant insight into the norms, values, and beliefs of people belonging to a particular historical and cultural context.
• Content analysis is the study of recorded human communications.

Key Terms

media studies

Academic discipline that deals with the content, history, meaning, and effects of various media, and in particular mass media.

content analysis

Content analysis or textual analysis is a methodology in the social sciences for studying the content of communication.

documentary research

Documentary research involves the use of texts and documents as source materials. Source materials include: government publications, newspapers, certificates, census publications, novels, film and video, paintings, personal photographs, diaries and innumerable other written, visual, and pictorial sources in paper, electronic, or other “hard copy” form.

Documentary Research

It is possible to do sociological research without directly involving humans at all. One such method is documentary research. In documentary research, all information is collected from texts and documents. The texts and documents can be either written, pictorial, or visual in form.

The material used can be categorized as primary sources, which are original materials that are not created after the fact with the benefit of hindsight, and secondary sources that cite, comment, or build upon primary sources.

Media Studies and Content Analysis

Typically, sociological research on documents falls under the cross-disciplinary purview of media studies, which encompasses all research dealing with television, books, magazines, pamphlets, or any other human-recorded data. Regardless of the specific media being studied, they are referred to as texts.

Media studies may draw on traditions from both the social sciences and the humanities, but mostly from its core disciplines of mass communication, communication, communication sciences, and communication studies.

Researchers may also develop and employ theories and methods from disciplines including cultural studies, rhetoric, philosophy, literary theory, psychology, political economy, economics, sociology, anthropology, social theory, art history and criticism, film theory, feminist theory, information theory, and political science .

Government Documentary Research

Sociologists may use government documents to research the ways in which policies are made.

Content analysis refers to the study of recorded human communications, such as paintings, written texts, and photos. It falls under the category of unobtrusive research, which can be defined as ways for studying human behavior without affecting it in the process. While sociological research involving documents is one of the less interactive research options available to sociologists, it can reveal a great deal about the norms, values, and beliefs of people belonging to a particular temporal and cultural context.

2.2.5: Use of Existing Sources

Learning Objective

Explain how the use of existing sources can benefit researchers

Key Points

• Archival research is the study of existing sources. Without archival research, any research project is necessarily incomplete.
• The study of sources collected by someone other than the researcher is known as archival research or secondary data research.
• The importance of archival or secondary data research is two-fold. By studying texts related to their topics, researchers gain a strong foundation on which to base their work. Secondly, this kind of study is necessary in the development of their central research question.

Key Terms

primary data

Data that has been compiled for a specific purpose, and has not been collated or merged with others.

Archival research

An archive is a way of sorting and organizing older documents, whether it be digitally (photographs online, e-mails, etc.) or manually (putting it in folders, photo albums, etc.). Archiving is one part of the curating process which is typically carried out by a curator.

secondary data

Secondary data is data collected by someone other than the user. Common sources of secondary data for social science include censuses, organizational records, and data collected through qualitative methodologies or qualitative research.

Example

• Harvard sociologist Theda Skocpol is well known for her work in comparative historical sociology, a sub-field that tends to emphasize the use of existing sources because of its often wide geographical and historical scope. For example, in her 1979 book States and Social Revolutions, Skocpol compared the history of revolution in three countries: France, Russia, and China. Direct research methods such as interviews would have been impossible, since many of the events she analyzed, such as the French Revolution, took place hundreds of years in the past. But even gathering primary historical documents for each of the three countries would have been a daunting task. Instead, Skocpol relied heavily on secondary accounts of the histories of each country, which allowed her to analyze and compare hundreds of years of history from countries thousands of miles apart.

Using Existing Sources

The study of sources collected by someone other than the researcher, also known as archival research or secondary data research, is an essential part of sociology . In archival research or secondary research, the focus is not on collecting new data but on studying existing texts.

Existing Sources

While some sociologists spend time in the field conducting surveys or observing participants, others spend most of their research time in libraries, using existing sources for their research.

By studying texts related to their topics, researchers gain a strong foundation on which to base their work. Furthermore, this kind of study is necessary for the development of their central research question. Without a thorough understanding of the research that has already been done, it is impossible to know what a meaningful and relevant research question is, much less how to position and frame research within the context of the field as a whole.

Types of Existing Sources

Common sources of secondary data for social science include censuses, organizational records, field notes, semi-structured and structured interviews, and other forms of data collected through quantitative methods or qualitative research. These methods are considered non-reactive, because the people do not know they are involved in a study. Common sources differ from primary data. Primary data, by contrast, are collected by the investigator conducting the research.

Researchers use secondary analysis for several reasons. The primary reason is that secondary data analysis saves time that would otherwise be spent collecting data. In the case of quantitative data, secondary analysis provides larger and higher-quality databases that would be unfeasible for any individual researcher to collect on his own. In addition, analysts of social and economic change consider secondary data essential, since it is impossible to conduct a new survey that can adequately capture past change and developments.

2.3: Ethics in Sociological Research

2.3.1: Confidentiality

Sociologists should take all necessary steps to protect the privacy and confidentiality of their subjects.

Learning Objective

Give examples of how the anonymity of a research subject can be protected

Key Points

• When a survey is used, the data should be coded to protect the anonymity of subject.
• For field research, anonymity can be maintained by using aliases (fake names) on the observation reports.
• The types of information that should be kept confidential can range from a person’s name or income, to more significant details (depending on the participant’s social and political contexts), such as religious or political affiliation.
• The kinds of information that should be kept confidential can range from relatively innocuous facts, such as a person’s name, to more sensitive information, such as a person’s religious affiliation.
• Steps to ensure that the confidentiality of research participants is never breached include using pseudonyms for research subjects and keeping all notes in a secure location.

Key Terms

confidentiality

Confidentiality is an ethical principle of discretion associated with the professions, such as medicine, law, and psychotherapy.

research

Diligent inquiry or examination to seek or revise facts, principles, theories, and applications.

pseudonym

A fictitious name, often used by writers and movie stars.

In any sociological research conducted on human subjects, the sociologists should take all the steps necessary to protect the privacy and confidentiality of their subjects. For example, when a survey is used, the data should be coded to protect the anonymity of the subjects.

In addition, there should be no way for any answers to be connected with the respondent who gave them . These rules apply to field research as well. For field research, anonymity can be maintained by using aliases (fake names) on the observation reports.

Cuyahoga County U.S. Census Form from 1920

Following ethical guidelines, researchers keep individual details confidential for decades. This form, from 1920, has been released because the information contained is too old to have any likely consequences for people who are still alive.

The types of information that should be kept confidential can range from something as relatively mundane and innocuous as a person’s name (pseudonyms are often employed in both interview transcripts and published research) or income, to more significant details (depending on the participant’s social and political contexts), such as religious or political affiliation.

Even seemingly trivial information should be kept safe, because it is impossible to predict what the repercussions would be in the event that this information becomes public. Unless subjects specifically and explicitly give their consent to be associated with the published information, no real names or identifying information of any kind should be used. Any research notes that might identify subjects should be stored securely. It is the obligation of the researcher to protect the private information of the research subjects, particularly when studying sensitive and controversial topics like deviance, the results of which may harm the participants if they were to be personally identified. By ensuring the safety of sensitive information, researchers ensure the safety of their subjects.

2.3.2: Protecting Research Subjects

There are many guidelines in place to protect human subjects in sociological research.

Learning Objective

Identify the core tenet of research ethics, the importance of research ethics, and examples of ethical practice

Key Points

• Sociologists have a responsibility to protect their subjects by following ethical guidelines. Organizations like the American Sociological Association maintain, oversee, and enforce a code of ethics for sociologists to follow.
• In the context of sociological research, a code of ethics refers to formal guidelines for conducting sociological research, consisting of principles and ethical standards.
• The core tenet of research ethics is that the subjects not be harmed; principles such as confidentiality, anonymity, informed consent, and honesty follow from this premise.
• Institutional review boards are committees designated to approve, monitor, and review research involving people. They are intended to assess such factors as conflicts of interest and potential emotional distress caused to subjects.
• Institutional Review Boards are committees designated to approve, monitor, and review research involving people. They are intended to assess such factors as conflicts of interest–for instance, a funding source that has a vested interest in the outcome of a research project–and potential emotional distress caused to subjects.

Key Terms

institutional review board

An institutional review board (IRB), also known as an independent ethics committee or ethical review board, is a committee that has been formally designated to approve, monitor, and review biomedical and behavioral research involving humans.

confidentiality

Confidentiality is an ethical principle of discretion associated with the professions, such as medicine, law, and psychotherapy.

informed consent

Informed consent is a phrase often used in law to indicate that the consent a person gives meets certain minimum standards. In order to give informed consent, the individual concerned must have adequate reasoning faculties and be in possession of all relevant facts at the time consent is given.

Examples

• Today’s ethical standards were developed in response to previous studies that had deleterious results for participants. One of the most infamous was the Stanford prison experiment. The Stanford prison experiment, conducted by researchers at Stanford in 1971, was funded by the military and meant to shed light on the sources of conflict between military guards and prisoners. For the experiment, researchers recruited 24 undergraduate students and randomly assigned each of them to be either a prisoner or a guard in a mock prison in the basement of the Stanford psychology department building. The participants adapted to their roles well beyond expectations, as the guards enforced authoritarian measures and ultimately subjected some of the prisoners to psychological torture. Many of the prisoners passively accepted psychological abuse and, at the request of the guards, readily harassed other prisoners who attempted to prevent it. Two of the prisoners quit the experiment early and the entire experiment was abruptly stopped after only six days. The experiment was criticized as being unethical and unscientific. Subsequently-adopted ethical standards would make it a breach of ethics to conduct such a study.
• The Stanford prison experiment, conducted by researchers at Stanford in 1971, was funded by the military and meant to shed light on the sources of conflict between military guards and prisoners. For the experiment, researchers recruited 24 undergraduate students and randomly assigned each of them to be either a prisoner or a guard in a mock prison in the basement of the Stanford psychology department building. The participants adapted to their roles well beyond expectations, as the guards enforced authoritarian measures and ultimately subjected some of the prisoners to psychological torture. Many of the prisoners passively accepted psychological abuse and, at the request of the guards, readily harassed other prisoners who attempted to prevent it. Two of the prisoners quit the experiment early and the entire experiment was abruptly stopped after only six days. The experiment was criticized as being unethical and unscientific. Subsequently-adopted ethical standards would make it a breach of ethics to conduct such a study.

Ethical considerations are of particular importance to sociologists because sociologists study people. Thus, sociologists must adhere to a rigorous code of ethics. In the context of sociological research, a code of ethics refers to formal guidelines for conducting research, consisting of principles and ethical standards concerning the treatment of human individuals.

The most important ethical consideration in sociological research is that participants in a sociological investigation are not harmed in any way. Exactly what this entails can vary from study to study, but there are several universally recognized considerations. For instance, research on children and youth always requires parental consent . All sociological research requiresinformed consent, and participants are never coerced into participation. Informed consent in general involves ensuring that prior to agreeing to participate, research subjects are aware of details of the study including the risks and benefits of participation and in what ways the data collected will be used and kept secure. Participants are also told that they may stop their participation in the study at any time.

Ethical Guidelines for Research Involving Children

Sociologists must follow strict ethical guidelines, especially when working with children or other vulnerable populations.

Institutional review boards (IRBs) are committees that are appointed to approve, monitor, and review research involving human subjects in order to make sure that the well-being of research participants is never compromised. They are thus intended to assess such factors as conflicts of interest–for instance, a funding source that has a vested interest in the outcome of a research project–and potential emotional distress caused to subjects. While often primarily oriented toward biomedical research, approval from IRBs is now required for all studies dealing with humans.

2.3.3: Misleading Research Subjects

If a researcher deceives or conceals the purpose or procedure of a study, they are misleading their research subjects.

Learning Objective

Identify two problems with intentionally deceiving research subjects

Key Points

• Although deception introduces ethical concerns because it threatens the validity of the subjects’ informed consent, there are certain cases in which researchers are allowed to deceive their subjects.
• Some studies involve intentionally deceiving subjects about the nature of the research, especially in cases in which full disclosure to the research subject could either skew the results of the study or cause some sort of harm to the researcher.
• In most instances, researchers are required to debrief (reveal the deception and explain the true purpose of the study to) subjects after the data is gathered.
• Some possible ways to address concerns are collecting pre-consent from participants and minimizing deception.

Key Terms

subject

A human research subject is a living individual about whom a research investigator (whether a professional or a student) obtains data.

debrief

To question someone, or a group of people, after the implementation of a project in order to learn from mistakes.

Example

• Asch’s study of conformity is an example of research that required deception. Asch put a subject in a room with other participants who appeared to be normal subjects but who were actually part of the experiment. All participants were shown three lines of different length and asked to identify which was the same length as a fourth line. All experimenters would answer correctly until the last question, at which point they would choose the wrong answer. In most cases, the subject would conform and agree with the others, choosing a line that was clearly incorrect. If subjects knew beforehand that the study was investigating conformity, they would have reacted differently. In this case, deception was justified.

Some sociology studies involve intentionally deceiving subjects about the nature of the research. For instance, a researcher dealing with an organized crime syndicate might be concerned that if his subjects were aware of the researcher’s academic interests, his physical safety might be at risk . A more common case is a study in which researchers are concerned that if the subjects are aware of what is being measured, such as their reaction to a series of violent images, the results will be altered or tempered by that knowledge. In the latter case, researchers are required to debrief (reveal the deception and explain the true purpose of the study to) subjects after the data is gathered.

Dangerous Elements

Researchers working in dangerous environments may deceive participants in order to protect their own safety.

The ethical problems with conducting a trial involving an element of deception are legion. Valid consent means a participant is aware of all relevant context surrounding the research they are participating in, including both risks and benefits. Failure to ensure informed consent is likely to result in the harm of potential participants and others who may be affected indirectly. This harm could occur either in terms of the distress that subsequent knowledge of deception may cause participants and others, or in terms of the significant risks to which deception may expose participants and others. For example, a participant in a medical trial could misuse a drug substance, believing it to be a placebo.

Two approaches have been suggested to minimize such difficulties: pre-consent (including authorized deception and generic pre-consent) and minimized deception. Pre-consent involves informing potential participants that a given research study involves an element of deception without revealing its exact nature. This approach respects the autonomy of individuals because subjects consent to the deception. Minimizing deception involves taking steps such as introducing words like “probably” so that statements are formally accurate even if they may be misleading.

2.3.4: Research Funding

Research funding comes from grants from private groups or governments, and researchers must be careful to avoid conflicts of interest.

Learning Objective

Examine the process of receiving research funding, including avoiding conflicts of interest and the sources of research funding

Key Points

• Most research funding comes from two major sources: corporations (through research and development departments) and government (primarily carried out through universities and specialized government agencies).
• If the funding source for a research project has an interest in the outcome of the project, this represents a conflict of interest and a potential ethical breach.
• A conflict of interest can occur if a sociologist is granted funding to conduct research on a topic, which the source of funding is invested in or related to in some way.

Key Terms

research

Diligent inquiry or examination to seek or revise facts, principles, theories, and applications.

conflict of interest

A situation in which someone in a position of trust has competing professional or personal interests.

Example

• A conflict of interest can occur when a sociologist is given funding to conduct research on an issue that relates to the source of the funds. For example, if Microsoft were to fund a sociologist to investigate whether users of Microsoft’s product are happier than users of open source software (e.g., Linux, Openoffice.org), the sociologist would need to disclose the source of the funding as it presents a significant conflict of interest.

Money for sociological research doesn’t grow on trees. Many researchers fund their work by applying for grants from private groups or governments, but they must be careful to avoid a conflict of interest . Research funding is a term generally covering any funding for scientific research, in the areas of both “hard” science and technology and social sciences. The term often connotes funding obtained through a competitive process, in which potential research projects are evaluated and only the most promising receive funding. Such processes, which are run by government, corporations, or foundations, allocate scarce funds.

Funding and Conflicts of Interest

Money for sociological research doesn’t grow on trees. Many researchers fund their work by applying for grants from private groups or governments, but they must be careful to avoid conflicts of interest.

Most research funding comes from two major sources: corporations (through research and development departments) and government (primarily carried out through universities and specialized government agencies). Some small amounts of scientific research are also carried out (or funded) by charitable foundations. In the United States, the government funding proportion in certain industries is higher, and it dominates research in social science and humanities.

Government-funded research can either be carried out by the government itself, or through grants to academic and other researchers outside the government. An advantage to government sponsored research is that the results are publicly shared, whereas with privately funded research the ideas are controlled by a single group. Consequently, government sponsored research can result in mass collaborative projects that are beyond the scope of isolated private researchers.

Funding of research by private companies is mainly motivated by profit, and are much less likely than governments to fund research projects solely for the sake of knowledge. The profit incentive causes researchers to concentrate their energies on projects which are perceived as likely to generate profits.

Research funding is often applied for by scientists and approved by a granting agency to financially support research. These grants require a lengthy process as the granting agency can inquire about the researcher’s background, the facilities used, the equipment needed, the time involved, and the overall potential of the scientific outcome. The process of grant writing and grant proposing is a somewhat delicate process for both the granter and the grantee. The granter wants to choose the research that best fits their scientific principles, and the grantee wants to apply for research in which he has the best chances but also in which he can build a body of work toward future scientific endeavors. This interplay can be a lengthy process. However, most universities have research administration offices to facilitate the interaction between the researcher and the granting agency.

If the funding source for a research project has an interest in the outcome of the project, this can represent a conflict of interest and a potential ethical breach. In other words, when research is funded by the same agency that can be expected to gain from a favorable outcome, there is a potential for biased results. The existence of a conflict of interest, or a potential one at that, can call into question the integrity of a sociologist’s research and findings.

2.3.5: Value Neutrality in Sociological Research

Value neutrality is the duty of sociologists to strive to be impartial and overcome their biases as they conduct their research.

Learning Objective

Reconstruct the tension surrounding the idea of value neutrality in sociological research

Key Points

• Assigning moral values to social phenomena is an inescapable result of being part of society, rendering truly value-free research inconceivable. Despite this fact, sociologists should still strive for value neutrality.
• Value neutrality, as described by Max Weber, is the duty of sociologists to identify and acknowledge their own values and overcome their personal biases when conducting sociological research.
• In order to be value-neutral, sociologists must be aware of their own moral judgments and values, and avoid incorporating them into their research, their conclusions, and their teaching.
• Many sociologists believe it is impossible to set aside personal values and retain complete objectivity. They caution readers, rather, to understand that sociological studies may, by necessity, contain a certain amount of value bias.

Key Term

Max Weber

(1864–1920) A German sociologist, philosopher, and political economist who profoundly influenced social theory, social research, and the discipline of sociology itself.

Assigning moral values to social phenomena is an inescapable result of being part of society. This inevitably renders truly value-free research inconceivable; however despite this, sociologists should strive for value neutrality. According to Max Weber, a German sociologist and philosopher who profoundly influenced social theory, value neutrality is the duty of sociologists to strive to be impartial and overcome their biases as they conduct their research, analyze their data, and publish their findings . Weber understood that personal values could distort the framework for disclosing study results. While he accepted that some aspects of research design might be influenced by personal values, he declared that it was entirely inappropriate to allow them to shape the interpretation of the responses.

Max Weber

Max Weber was a German sociologist, philosopher, and political economist who profoundly influenced social theory, social research, and the discipline of sociology itself.

Sociologists, Weber stated, must establish value neutrality, a practice of remaining impartial, without bias or judgment, during the course of a study and in publishing results. To do this, they must be conscious of their own personal values. Sociologists are obligated to disclose research findings without omitting or distorting significant data, even if results contradict personal views, predicted outcomes, or widely accepted beliefs. Furthermore, and perhaps more importantly, it is the duty of sociologists to avoid bringing their ideology into their roles as instructors.

Is value neutrality possible? Many sociologists believe it is impossible to set aside personal values and retain complete objectivity. They caution readers, rather, to understand that sociological studies may, by necessity, contain a certain amount of value bias. It does not discredit the results but allows readers to view them as one form of truth rather than as a singular fact. Some sociologists attempt to remain uncritical and as objective as possible when studying cultural institutions. However, this is difficult to obtain. Being a human and studying human subjects results in some degree of subjectivity, due to cultural influences. This is not necessarily negative, but it should be reported in any study being done so people can interpret the results as clearly as possible.

Value neutrality does not mean having no opinions, however. It just means that sociologists must strive to overcome personal biases, particularly subconscious biases, when analyzing data. It also means that sociologists must avoid skewing data in order to match a predetermined outcome that aligns with a particular agenda, such as a political or moral point of view. Although subjectivity is likely in almost any sociological study, with careful consideration, a good sociologist can limit its effect on any particular study.

1.2: The History of Sociology

1.2.1: Tradition vs. Science

Learning Objective

Distinguish positivist from interpretive sociological approaches

Key Points

• Beginning in the 17th century, observation-based natural philosophy was replaced by natural science, which attempted to define and test scientific laws.
• Social science continued this trend, attempting to find laws to explain social behavior, which had become problematic with the decline of tradition and the rise of modernity and industrialization.
• Sociology is not a homogeneous field; it involves tensions between quantitative and qualitative sociology, positivist and interpretive sociology, and objective and critical sociology.
• The first thinkers to attempt to combine scientific inquiry with the exploration of human relationships were Emile Durkheim in France and William James in the United States.
• Social science adopted quantitative measurement and statistical methods from natural science to find laws of social behavior, as demonstrated in Emile Durkheim’s book Suicide. But sociology may also use qualitative methods.
• Positivist sociology (also known as empiricist) attempts to predict outcomes based on observed variables. Interpretive sociology (which Max Weber called verstehen, German for “understanding”) attempts to understand a culture or phenomenon on its own terms.
• Sociology embodies several tensions, such as those between quantitative and qualitative methods, between positivist and interpretive orientations, and between objective and critical approaches.
• Social science adopted quantitative measurement and statistical methods from natural science to find laws of social behavior, as demonstrated in Emile Durkheim’s book Suicide. But sociology may also use qualitative methods.
• Positivist sociology (also known as empiricist) attempts to predict outcomes based on observed variables. Interpretive sociology (which Max Weber called Verstehen, German for “understanding”) attempts to understand a culture or phenomenon on its own terms.
• Objective sociology tries to explain the world; critical sociology tries to change it.

Key Terms

Positivist sociology

The overarching methodological principle of positivism is to conduct sociology in broadly the same manner as natural science. An emphasis on empiricism and the scientific method is sought to provide a tested foundation for sociological research based on the assumption that the only authentic knowledge is scientific knowledge, and that such knowledge can only arrive by positive affirmation through scientific methodology.

scientific method

A method of discovering knowledge about the natural world based in making falsifiable predictions (hypotheses), testing them empirically, and developing peer-reviewed theories that best explain the known data.

Critical sociology

Critical theory is a school of thought that stresses the examination and critique of society and culture, drawing from knowledge across the social sciences and humanities.

Examples

• Following the quantitative approach, an individual’s social class can be understood by measuring certain variables and fitting the individual into a defined category. That is, social class can be divided into different groups (upper-, middle-, and lower-class) and can be measured using any of a number of variables: income, educational attainment, prestige, power, etc.
• Quantitative and qualitative methods can be complementary: often, quantitative methods are used to describe large or general patterns in society while qualitative approaches are used to help explain how individuals understand those patterns. For example, a sociologist might use quantitative survey methods to find that, on average, single mothers are more likely to receive welfare even if they could earn more working. To find out why, the sociologist may need to employ qualitative methods, such as interviews. During interviews, the sociologist can ask women why they choose not to work, and may find the answer is surprising. A common sense explanation of the quantitative findings might be that welfare recipients are lazy and prefer not to work, but using qualitative methods and the sociological imagination, the investigator could find that women strategically choose not to work because the cost of childcare would mean less net income.

In ancient philosophy, there was no difference between the liberal arts of mathematics and the study of history, poetry, or politics; only with the development of mathematical proofs did there gradually arise a perceived difference between scientific disciplines and the humanities or liberal arts. Thus, Aristotle studied planetary motion and poetry with the same methods, and Plato mixed geometrical proofs with his demonstration on the state of intrinsic knowledge.

However, by the end of the 17^th century, a new scientific paradigm was emerging, particularly with the work of Isaac Newton in physics. Newton, by revolutionizing what was then called natural philosophy, changed the basic framework by which individuals understood what was scientific. While Newton was merely the archetype of an accelerating trend, his work highlights an important distinction. For Newton, mathematical truth was objective and absolute: it flowed from a reality independent of the observer and it worked by its own rules. Mathematics was the gold standard of knowledge. In the realm of other disciplines, this created a pressure to express ideas in the form of mathematical relationships, or laws. Such laws became the model that other disciplines would emulate.

In the late 19^th century, scholars increasingly tried to apply mathematical laws to explain human behavior. Among the first efforts were the laws of philology, which attempted to map the change over time of sounds in a language. At first, scientists sought mathematical truth through logical proofs. But in the early 20^th century, statistics and probability theory offered a new way to divine mathematical laws underlying all sorts of phenomena. As statistics and probability theory developed, they were applied to empirical sciences, such as biology, and to the social sciences. The first thinkers to attempt to combine scientific inquiry with the exploration of human relationships were Emile Durkheim in France and William James in the United States . Durkheim’s sociological theories and James’s work on experimental psychology had an enormous impact on those who followed.

William James

William James was one of the first Americans to explore human relations scientifically.

Quantitative and Qualitative Methods

Sociology embodies several tensions, such as those between quantitative and qualitative methods, between positivist and interpretive orientations, and between objective and critical approaches. Positivist sociology (also known as empiricist) attempts to predict outcomes based on observed variables. Interpretive sociology attempts to understand a culture or phenomenon on its own terms.

Early sociological studies considered the field to be analogous to the natural sciences, like physics or biology. Many researchers argued that the methodology used in the natural sciences was perfectly suited for use in the social sciences. By employing the scientific method and emphasizing empiricism, sociology established itself as an empirical science and distinguished itself from other disciplines that tried to explain the human condition, such as theology, philosophy, or metaphysics.

Early sociologists hoped to use the scientific method to explain and predict human behavior, just as natural scientists used it to explain and predict natural phenomena. Still today, sociologists often are interested in predicting outcomes given knowledge of the variables and relationships involved. This approach to doing science is often termed positivism or empiricism. The positivist approach to social science seeks to explain and predict social phenomena, often employing a quantitative approach.

Understanding Culture and Behavior Instead of Predicting

But human society soon showed itself to be less predictable than the natural world. Scientists like Wilhelm Dilthey and Heinrich Rickert began to catalog ways in which the social world differs from the natural world. For example, human society has culture, unlike the societies of most other animals, which are based on instincts and genetic instructions that are passed between generations biologically, not through social processes. As a result, some sociologists proposed a new goal for sociology: not predicting human behavior, but understanding it. Max Weber and Wilhelm Dilthey introduced the concept of verstehen, or understanding. The goal of verstehen is less to predict behavior than it is to understand behavior. It aims to understand a culture or phenomenon on its own terms rather than trying to develop a theory that allows for prediction.

Sociology’s inability to perfectly predict the behavior of humans has led some to label it a “soft science. ” While some might consider this label derogatory, in a sense it can be seen as an admission of the remarkable complexity of humans as social animals. And, while arriving at a verstehen-like understanding of a culture adopts a more subjective approach, it nevertheless employs systematic methodologies like the scientific method. Both positivist and verstehen approaches employ a scientific method as they make observations and gather data, propose hypotheses, and test their hypotheses in the formulation of theories.

1.2.2: Early Thinkers and Comte

Learning Objective

Recall Auguste Comte’s most important accomplishments

Key Points

• Auguste Comte was one of the founders of sociology and coined the term sociology.
• Comte believed sociology could unite all sciences and improve society.
• Comte was a positivist who argued that sociology must have a scientific base and be objective.
• Comte theorized a three-stage development of society.
• In sociology, scientific methods may include quantitative surveys or qualitative cultural and historical analysis.
• One common scientific method in sociology is the survey.

Key Terms

positivism

A doctrine that states that the only authentic knowledge is scientific knowledge, and that such knowledge can only come from positive affirmation of theories through strict scientific method, refusing every form of metaphysics.

Law of Three Stages

The Law of Three Stages is an idea developed by Auguste Comte. It states that society as a whole, and each particular science, develops through three mentally conceived stages: (1) the theological stage, (2) the metaphysical stage, and (3) the positive stage.

Auguste Comte

Isidore Auguste Marie François Xavier Comte (19 January 1798 – 5 September 1857), better known as Auguste Comte was a French philosopher. He was a founder of the discipline of sociology and of the doctrine of positivism.

Auguste Comte is considered one of the founders of sociology. He coined the term “sociology” in 1838 by combining the Latin term socius (companion, associate) and the Greek term logia (study of, speech). Comte hoped to unify all the sciences under sociology. He believed sociology held the potential to improve society and direct human activity, including the other sciences.

His ambition to unify the sciences was not unique. Other thinkers of the nineteenth century (for example, Herbert Spencer) held similar goals. This period was a key turning point in defining disciplinary boundaries. In sociology’s early days, disciplinary boundaries were less well defined than today. Many classical theorists of sociology (including Karl Marx, Ferdinand Toennies, Emile Durkheim, Vilfredo Pareto, and Max Weber) were trained in other academic disciplines, including history, philosophy, and economics. The diversity of their trainings is reflected in the topics they researched and in the occasional impulse to unify the sciences in a universal explanation of human life.

One of Comte’s central questions was how societies evolve and change, which is known as social dynamics. He also studied the trends in society which do not change, which is known as social statics. Sociology today draws on these categories, though few sociologists have continued on Comte’s theoretical work in this line.

While his theory is no longer employed in sociology, Comte, like other Enlightenment thinkers, believed society developed in stages. He argued for an understanding of society he labeled “The Law of Three Stages. ” The first was the theological stage where people took a religious view of society. The second was the metaphysical stage where people understood society as natural rather than supernatural. Comte’s final stage was the scientific or positivist stage, which he believed to be the pinnacle of social development. In the scientific stage, society would be governed by reliable knowledge and would be understood in light of the knowledge produced by science, primarily sociology. While Comte’s approach is today considered a highly simplified and ill-founded way to understand social development, it nevertheless reveals important insights into his thinking about the way in which sociology, as part of the third stage, would unite the sciences and improve society.

Neither his vision of a unified science nor his three-stage model have stood the test of time. Instead, today, Comte is remembered for imparting to sociology a positivist orientation and a demand for scientific rigor. As explained in the previous section, early sociological studies drew an analogy from sociology to the natural sciences, such as physics or biology. Many researchers argued that sociology should adopt the scientific methodology used in the natural sciences. This scientific approach, supported by Auguste Comte, is at the heart of positivism, a methodological orientation with a goal that is rigorous, objective scientific investigation and prediction.

Since the nineteenth century, the idea of positivism has been extensively elaborated. Though positivism now has wider range of meanings than Comte intended, belief in a scientifically rigorous sociology has, in its essence, been carried on. The scientific method has been applied to sociological research across all facets of society, including government, education, and in the economy.

Today, sociologists following Comte’s positivist orientation employ a variety of scientific research methods. Unlike natural scientists, sociologists rarely conduct experiments, since limited research resources and ethical guidelines prevent large-scale experimental manipulation of social groups. Still, sometimes sociologists are able to conduct field experiments. Though quantitative methods, such as surveys, are most commonly associated with positivism, any method, quantitative or qualitative, may be employed scientifically.

Auguste Comte

Auguste Comte was one of the founding figures of sociology.

1.2.3: Early Social Research and Martineau

Learning Objective

Recall Harriet Martineau’s most important accomplishments

Key Points

• Although today Martineau is rarely mentioned, she was critical to the early growth of sociology.
• Martineau is notable for her progressive politics. She introduced feminist sociological perspectives in her writing and addressed overlooked issues such as marriage, children, domestic life, religious life, and race relations.
• In 1852, Martineau translated the works of Auguste Comte, who had coined the term sociology. Through this process, she both clarified his work and made it accessible to English readers.
• Martineau’s reflections on Society in America, published in 1837, are prime examples of her approach to what would later be known as sociological methods.

Key Terms

Whig

a member of a 19th-century US political party opposed to the Democratic Party

laissez-faire

a policy of governmental non-interference in economic or competitive affairs; pertaining to free-market capitalism

Harriet Martineau

Harriet Martineau (12 June 1802 – 27 June 1876) was an English social theorist and Whig writer, often cited as the first female sociologist.

Harriet Martineau

Harriet Martineau (12 June 1802 – 27 June 1876) was an English social theorist and Whig writer, often cited as the first female sociologist . Although today Martineau is rarely mentioned, she was critical to the early growth of the sociological discipline. Martineau wrote 35 books and a multitude of essays from a sociological, holistic, religious, domestic, and, perhaps most significantly, feminine perspective. She earned enough to be supported entirely by her writing, a challenging feat for a woman in the Victorian era. As a theorist, she believed that a thorough societal analysis was necessary to understand the status of women. She is notable for her progressive politics. Martineau introduced feminist sociological perspectives in her writing and addressed overlooked issues such as marriage, children, domestic life, religious life, and race relations.

Harriet Martineau, 1802-1876

Harriet Martineau introduced Comte to the English-speaking world by translating his works.

Translating Comte

Although Auguste Comte is credited with launching the science of sociology, he might have been forgotten were it not for Martineau, who translated Comte’s 1839 text, Cours de Philosophie Positive, from French into English. As she translated this piece, she also condensed Comte’s work into clearer, more accessible terms. In 1853, her translation was published in two volumes as The Positive Philosophy of Auguste Comte. Her translation so dramatically improved the work that Comte himself suggested his students read her translations rather than his original work. Most significantly, her translation brought Comte’s works to the English-speaking world.

Martineau’s Writing

As early as 1831, Martineau wrote on the subject of “Political Economy” (as the field of economics was then known). Her goal was to popularize and illustrate the principles of laissez faire capitalism, though she made no claim to original theorizing.

Martineau’s reflective writing, published in Society in America in 1837, are prime examples of her approach to what would eventually be known as sociological methods. Her ideas in this field were set out in her 1838 book, How to Observe Morals and Manners. She believed that some very general social laws influenced the life of any society, including the principle of progress, the emergence of science as the most advanced product of human intellectual endeavors, and the significance of population dynamics and the natural physical environment.

1.2.4: Spencer and Social Darwinism

Learning Objective

Analyze the concept of “progress” in Herbert Spencer’s synthetic philosophy

Key Points

• According to Spencer’s synthetic philosophy, the laws of nature applied without exception to the organic realm as much as the inorganic, and to the human mind as much as the rest of creation.
• Spencer conceptualized society as a “social organism” that evolved from a simpler state to a more complex one, according to the universal law of evolution.
• Spencer is perhaps best known for coining the term “survival of the fittest,” later commonly termed “social Darwinism.”

Key Terms

positivism

A doctrine that states that the only authentic knowledge is scientific knowledge, and that such knowledge can only come from positive affirmation of theories through strict scientific method, refusing every form of metaphysics.

Social Darwinism

a theory that the laws of evolution by natural selection also apply to social structures.

survival of the fittest

Natural selection.

Example

• Social Darwinism explains individuals’ success by attributing it to their greater fitness. For example, a social Darwinist might argue that students who receive higher grades are more academically fit than others. Thus, their success in school is the result of their own qualities.

Though Auguste Comte coined the term “sociology,” the first book with the term sociology in its title was written in the mid-19^th century by the English philosopher Herbert Spencer. Following Comte, Spencer created a synthetic philosophy that attempted to find a set of rules to explain everything in the universe, including social behavior.

Spencer’s Synthetic Philosophy

Like Comte, Spencer saw in sociology the potential to unify the sciences, or to develop what he called a “synthetic philosophy. ” He believed that the natural laws discovered by natural scientists were not limited to natural phenomena; these laws revealed an underlying order to the universe that could explain natural and social phenomena alike. According to Spencer’s synthetic philosophy, the laws of nature applied to the organic realm as much as to the inorganic, and to the human mind as much as to the rest of creation. Even in his writings on ethics, he held that it was possible to discover laws of morality that had the same authority as laws of nature. This assumption led Spencer, like Comte, to adopt positivism as an approach to sociological investigation; the scientific method was best suited to uncover the laws he believed explained social life.

Spencer and Progress

But Spencer went beyond Comte, claiming that not only the scientific method, but scientific knowledge itself was universal. He believed that all natural laws could be reduced to one fundamental law, the law of evolution. Spencer posited that all structures in the universe developed from a simple, undifferentiated homogeneity to a complex, differentiated heterogeneity, while being accompanied by a process of greater integration of the differentiated parts. This evolutionary process could be found at work, Spencer believed, throughout the cosmos. It was a universal law, applying to the stars and the galaxies as much as to biological organisms, and to human social organization as much as to the human mind. Thus, Spencer’s synthetic philosophy aimed to show that natural laws led inexorably to progress. He claimed all things—the physical world, the biological realm, and human society—underwent progressive development.

In a sense, Spencer’s belief in progressive development echoed Comte’s own theory of the three-stage development of society. However, writing after important developments in the field of biology, Spencer rejected the ideological assumptions of Comte’s three-stage model and attempted to reformulate the theory of social progress in terms of evolutionary biology. Following this evolutionary logic, Spencer conceptualized society as a “social organism” that evolved from a simpler state to a more complex one, according to the universal law of evolution. This social evolution, he argued, exemplifed the universal evolutionary process from simple, undifferentiated homogeneity to complex, differentiated heterogeneity.

As he elaborated the theory, he proposed two types of society: militant and industrial. Militant society, structured around relationships of hierarchy and obedience, was simple and undifferentiated. Industrial society, based on voluntary behavior and contractually assumed social obligations, was complex and differentiated. Spencer questioned whether the evolution of society would result in peaceful anarchism (as he had first believed) or whether it pointed to a continued role for the state, albeit one reduced to minimal functions—the enforcement of contracts and external defense. Spenser believed, as society evolved, the hierarchical and authoritarian institutions of militant society would become obsolete.

Social Darwinism

Spencer is perhaps best known for coining the term “survival of the fittest,” later commonly termed “social Darwinism.” But, popular belief to the contrary, Spencer did not merely appropriate and generalize Darwin’s work on natural selection; Spencer only grudgingly incorporated Darwin’s theory of natural selection into his preexisting synthetic philosophical system. Spencer’s evolutionary ideas were based more directly on the evolutionary theory of Lamarck, who posited that organs are developed or diminished by use or disuse and that the resulting changes may be transmitted to future generations. Spencer believed that this evolutionary mechanism was necessary to explain ‘higher’ evolution, especially the social development of humanity. Moreover, in contrast to Darwin, Spencer held that evolution had a direction and an endpoint—the attainment of a final state of equilibrium. Evolution meant progress, improvement, and eventually perfection of the social organism.

Criticism

Though Spencer is rightly credited with making a significant contribution to early sociology, his attempt to introduce evolutionary ideas into the realm of social science was ultimately unsuccessful. It was considered by many to be actively dangerous. Critics of Spencer’s positivist synthetic philosophy argued that the social sciences were essentially different from the natural sciences and that the methods of the natural sciences—the search for universal laws was inappropriate for the study of human society.

Herbert Spencer

Herbert Spencer built on Darwin’s framework of evolution, extrapolating it to the spheres of ethics and society. This is why Spencer’s theories are often called “social Darwinism.”

1.2.5: Class Conflict and Marx

Learning Objective

Relate Marx’s concept of class to his view of historical change

Key Points

• Marx sees society evolving through stages. He focuses on dialectical class conflict to control the means of production as the driving force behind social evolution.
• According to Marx, society evolves through different modes of production in which the upper class controls the means of production and the lower class is forced to provide labor.
• In Marx’s dialectic, the class conflict in each stage necessarily leads to the development of the next stage (for example, feudalism leads to capitalism).
• Marx was especially critical of capitalism and foresaw a communist revolution.
• Marx predicted that class conflict between the bourgeoisie and the proletariat would lead to capitalism’s downfall.
• According to Marx, under capitalism, workers (the proletariat) must alienate their labor.
• The bourgeoisie try to preserve capitalism by promoting ideologies and false consciousness that keep workers from revolting.
• Marx’s understanding of history is called historical materialism because it focuses on history and material (versus ideas).

Key Terms

false consciousness

A faulty understanding of the true character of social processes due to ideology.

bourgeoisie

The capitalist class.

proletariat

the working class or lower class

dialectical

Of, relating to, or of the nature of logical argumentation.

Examples

• For Marx, society was characterized by class conflict. In the United States, class conflict periodically comes to the fore of public awareness. For instance, the Occupy Wall Street movement has emphasized class conflict by highlighting wealth disparities between the richest 1% of the population and the remaining 99%, much of which is currently encumbered by debt. The movement faces the significant hurdle of uniting the so-called 99%.
• Marx argued that establishing class solidarity was difficult because most people were blind to their true class position. Instead, they embraced a false consciousness composed of ideology disseminated by the ruling class. In his book, What’s the Matter with Kansas, Thomas Frank describes the modern political situation in the United States by referring to this concept. According to Frank, rural voters in the United States (like in Kansas) tend to vote against their economic interests. Although many of these voters are poor and in debt and would benefit from more liberal economic policy, they vote for fiscally conservative Republicans because Republican ideology has duped them into prioritizing cultural issues over their economic interests.

Marx, one of the principle architects of modern social science, believed that history was made of up stages driven by class conflict. Famously, Marx wrote in The Communist Manifesto, “The history of all hitherto existing society is the history of class struggles. ” Class struggle pushed society from one stage to the next, in a dialectical process. In each stage, an ownership class controls the means of production while a lower class provides labor for production. The two classes come into conflict and that conflict leads to social change. For example, in the feudal stage, feudal lords owned the land used to produce agricultural goods, while serfs provided the labor to plant, raise, and harvest crops. When the serfs rose up and overthrew the feudal lords, the feudal stage ended and ushered in a new stage: capitalism.

Means of Production, Relations of Production

According to Marx, the way society is organized depends on the current means of production and who owns them. The means of production include things that are necessary to produce material goods, such as land and natural resources. They also include technology, such as tools or machines, that people use to produce things. The means of production in any given society may change as technology advances. In feudal society, means of production might have included simple tools like a shovel and hoe. Today, the means of production include advanced technology, such as microchips and robots.

At different stages in history, different groups have controlled the means of production. In feudal times, feudal lords owned the land and tools used for production. Today, large corporations own many of the means of production. Different stages have different relations of production, or different forms of social relationships that people must enter into as they acquire and use the means of production. Throughout history, the relations of production have taken a variety of forms—slavery, feudalism, capitalism—in which employees enter into a contract with an employer to provide labor in exchange for a wage.

Modes of Production

Together, the means of production and the relations of production compose a particular period’s mode of production. Marx distinguished different historical eras in terms of their different modes of production. He believed that the mode of production was the defining element of any period in history, and he called this economic structure the base of that society. By contrast, he believed that the ideas and culture of a given stage were derived from the mode of production. He referred to ideas and culture as the “superstructure,” which grew up from the more fundamental economic “base. ” Because of his focus on the economic base over culture and ideas, Marx is often referred to as an economic determinist.

In Marx’s dialectic, the class conflict in each stage necessarily leads to the development of the next stage.

Marx was less interested in explaining the stable organization of any given historical stage than in explaining how society changed from one stage to the next. Marx believed that the class conflict present in any stage would necessarily lead to class struggle and, eventually, to the end of that stage and the beginning of the next. Feudalism ended with class struggle between serfs and lords, and gave rise to a new stage, capitalism.

Instabilities in Capitalism

Marx’s work focused largely on explaining the inherent instabilities present in capitalism and predicting its eventual fall and transition to socialism. Marx argued that capitalism was unstable and prone to periodic crises. Marx believed that economic growth would be punctuated by increasingly severe crises as capitalism went through cycles of growth, collapse, and more growth. Moreover, he believed that in the long-term this process would necessarily enrich and empower the capitalist class, while at the same time it would impoverish the poorer laboring class, which he referred to as the proletariat.

Eventually, the proletariat would become class conscious—aware that their seemingly individual problems were created by an economic system that disadvantaged all those who did not own the means of production. Once the proletariat developed a class consciousness, Marx believed, they would rise up and seize the means of production, overthrowing the capitalist mode of production, and bringing about a socialist society. Marx believed that the socialist system established after the proletariat revolution would encourage social relations that would benefit everyone equally, abolish the exploitative capitalist, ending their exclusive ownership of the means of production, and introduce a system of production less vulnerable to cyclical crises. For Marx, this eventual uprising was inevitable, given the inherent structural contradictions in capitalism and the inevitability of class conflict .

1.2.6: Durkheim and Social Integration

Learning Objective

Contrast the different modes of social integration according to Durkheim

Key Points

• Durkheim believed that society exerted a powerful force on individuals. According to Durkheim, people’s norms, beliefs, and values make up a collective consciousness, or a shared way of understanding and behaving in the world.
• The collective consciousness binds individuals together and creates social integration.
• Durkheim saw increasing population density as a key factor in the advent of modernity. As the number of people in a given area increase, so does the number of interactions, and the society becomes more complex.
• As people engage in more economic activity with neighbors or distant traders, they begin to loosen the traditional bonds of family, religion, and moral solidarity that had previously ensured social integration. Durkheim worried that modernity might herald the disintegration of society.
• Simpler societies are based on mechanical solidarity, in which self-sufficient people are connected to others by close personal ties and traditions. Modern societies are based on organic solidarity, in which people are connected by their reliance on others in the division of labor.
• Although modern society may undermine the traditional bonds of mechanical solidarity, it replaces them with the bonds of organic solidarity.
• In the Elementary Forms of Religious Life, Durkheim presented a theory of the function of religion in aboriginal and modern societies and described the phenomenon of collective effervescence and collective consciousness.
• Durkheim has been called a structural functionalist because his theories focus on the function certain institutions (e.g., religion) play in maintaining social solidarity or social structure.

Key Terms

organic solidarity

It is social cohesion based upon the dependence individuals have on each other in more advanced societies.

mechanical solidarity

It normally operates in “traditional” and small scale societies. In simpler societies (e.g., tribal), solidarity is usually based on kinship ties of familial networks.

Examples

• In his book The Lexus and the Olive Tree, Thomas L. Friedman discussed the Golden Arches Theory of Conflict Prevention, also known as “the McDonald’s Doctrine. ” In short, Friedman asserted: “No two countries that both had McDonald’s had fought a war against each other since each got its McDonald’s. ” This logic is primarily based on the idea that McDonald’s countries have established such strong economic interdependence among themselves that they would have too much to lose to ever wage a war against one another. Though the theory turns out not to be true, the logic follows that of Durkheim’s explanation of organic solidarity.
• In modern society, collective effervescence continues to play a role in cementing social solidarity. It is not only experienced among the religious. Think about the last time you were at a football game or a rock concert. As a member of the crowd, cheering along with others, you may yourself have experienced a feeling of excitement or felt a special energy that seemed to infect the crowd. That feeling was collective effervescence!

Along with Marx and Weber, French sociologist Emile Durkheim is considered one of the founders of sociology. One of Durkheim’s primary goals was to analyze how how modern societies could maintain social integration after the traditional bonds of family and church were replaced by modern economic relations.

Durkheim believed that society exerted a powerful force on individuals. People’s norms, beliefs, and values make up a collective consciousness, or a shared way of understanding and behaving in the world. The collective consciousness binds individuals together and creates social integration. For Durkheim, the collective consciousness was crucial in explaining the existence of society: it produces society and holds it together. At the same time, the collective consciousness is produced by individuals through their actions and interactions. Society is a social product created by the actions of individuals that then exerts a coercive social force back on those individuals. Through their collective consciousness, Durkheim argued, human beings become aware of one another as social beings, not just animals.

Formation of Collective Consciousness

According to Durkheim, the collective consciousness is formed through social interactions. In particular, Durkheim thought of the close-knit interactions between families and small communities, groups of people who share a common religion, who may eat together, work together, and spend leisure time together. Yet all around him, Durkheim observed evidence of rapid social change and the withering away of these groups. He saw increasing population density and population growth as key factors in the evolution of society and the advent of modernity. As the number of people in a given area increase, he posited, so does the number of interactions, and the society becomes more complex. Population growth creates competition and incentives to trade and further the division of labor. But as people engage in more economic activity with neighbors or distant traders, they begin to loosen the traditional bonds of family, religion, and moral solidarity that had previously ensured social integration. Durkheim worried that modernity might herald the disintegration of society.

Durkheim and Modernity

Following a socioevolutionary approach reminiscent of Comte, Durkheim described the evolution of society from mechanical solidarity to organic solidarity. Simpler societies, he argued, are based on mechanical solidarity, in which self-sufficient people are connected to others by close personal ties and traditions (e.g., family and religion). Also, in such societies, people have far fewer options in life. Modern societies, on the other hand, are based on organic solidarity, in which people are connected by their reliance on others in the division of labor. Modernization, Durkheim argued, is based first on population growth and increasing population density, second on increasing “moral density” (that is, the development of more complex social interactions), and third, on the increasing specialization in work (i.e., the division of labor). Because modern society is complex, and because the work that individuals do is so specialized, individuals can no longer be self-sufficient and must rely on others to survive. Thus, although modern society may undermine the traditional bonds of mechanical solidarity, it replaces them with the bonds of organic solidarity.

Organic versus Mechanical Solidarity

Further, Durkheim argued, the organic solidarity of modern societies might have advantages over traditional mechanical solidarity. In traditional societies, people are self-sufficient, and therefore society has little need for cooperation and interdependence. Institutions that require cooperation and agreement must often resort to force and repression to keep society together. Traditional mechanical solidarity may tend, therefore, to be authoritarian and coercive. In modern societies, under organic solidarity, people are necessarily much more interdependent. Specialization and the division of labor require cooperation. Thus, solidarity and social integration are necessary for survival and do not require the same sort of coercion as under mechanical solidarity.

In organic solidarity, the individual is considered vitally important, even sacred. In organic solidarity, the individual, rather than the collective, becomes the focus of rights and responsibilities, the center of public and private rituals holding the society together—a function once performed by the religion. To stress the importance of this concept, Durkheim talked of the “cult of the individual. ” However, he made clear that the cult of the individual is itself a social fact, socially produced; reverence for the individual is not an inherent human trait, but a social fact that arises in certain societies at certain times .

1.2.7: Protestant Work Ethic and Weber

Learning Objective

Summarize Weber’s view on the relationship between Protestantism and capitalism

Key Points

• Max Weber was a German sociologist and political economist who profoundly influenced social theory, social research, and the discipline of sociology itself.
• In The Protestant Ethic and the Spirit of Capitalism, his most enduring text, Weber proposed that ascetic Protestantism was one of the major “elective affinities” associated with the rise of capitalism, bureaucracy, and the rational-legal nation-state in the Western world.
• Weber argued that Protestantism, and especially the ascetic Protestant or Calvinist denominations, had redefined the connection between work and piety.
• Weber tried to explain social action in modern society by focusing on rationalization and secularization.
• Weber also developed a theory of political authority and the modern state, defining three types of authority: traditional, charismatic, and rational-legal.

Key Terms

predestination

The doctrine that everything has been foreordained by a God, especially that certain people have been elected for salvation, and sometimes also that others are destined for reprobation.

Protestant Ethic and the Spirit of Capitalism

A book written by Max Weber, arguing that the rise in ascetic Protestantism, particularly denominations like Calvinism, was associated with the rise of modern capitalism in the West.

secularization

The transformation of a society from close identification with religious values and institutions toward non-religious (or “irreligious”) values and secular institutions.

rationalization

the process, or result of rationalizing

Max Weber

Max Weber was a German sociologist and political economist who profoundly influenced social theory, social research, and the discipline of sociology itself. In 1919, he established a sociology department at the Ludwig Maximilian University of Munich.

Along with Marx and Durkheim, Weber is considered one of the three principal forefathers of modern social science. That being said, Weber developed a unique methodological position that set him apart from these other sociologists. As opposed to positivists like Comte and Durkheim, Weber was a key proponent of methodological antipositivism. He presented sociology as a non-empiricist field whose goal was not to gather data and predict outcomes, but instead to understand the meanings and purposes that individuals attach to their own actions.

The Protestant Ethic and the Spirit of Capitalism

In The Protestant Ethic and the Spirit of Capitalism, his most famous text, Weber proposed that ascetic Protestantism was one of the major “elective affinities” associated with the rise of capitalism, bureaucracy, and the rational-legal nation-state in the Western world. Although some consider Weber’s argument to be a study of religion, it can also be interpreted as an introduction to his later works, especially his studies of the interaction between various religious ideas and economic behavior. In contrast to Marx’s “historical materialism,” Weber emphasized how the cultural influences embedded in religion could be a means for understanding the genesis of capitalism. Weber viewed religion as one of the core forces in society.

Weber proposed that ascetic Protestantism had an elective affinity with capitalism, bureaucracy, and the rational-legal nation-state in the Western world. By elective affinity, Weber meant something less direct than causality, but something more direct than correlation. In other words, although he did not argue that religion caused economic change, Weber did find that ascetic Protestantism and modern capitalism often appeared alongside one another in societies. Additionally, Weber observed that both ascetic Protestantism and capitalism encouraged cultural practices that reinforced one another. He never claimed that religion was the complete, simple, isolated cause of the rise of capitalism in the West. Instead, he viewed it was part of a cultural complex that included the following:

• rationalism of scientific pursuit
• the merging of observation with mathematics
• an increasingly scientific method of scholarship and jurisprudence
• the rational systemization of government administration and economic enterprise
• increasing bureaucratization

In the end, the study of the sociology of religion, according to Weber, focused on one distinguishing fact about Western culture, the decline of beliefs in magic. He referred to this phenomena as the “disenchantment of the world. “

Weber’s Evidence and Argument

As evidence for his study, Weber noted that ascetic Protestantism and advanced capitalism tended to coincide with one another. Weber observed that, after the Reformation, Protestant countries such as the Netherlands, England, Scotland, and Germany gained economic prominence over Catholic countries such as France, Spain, and Italy. Furthermore, in societies with different religions, the most successful business leaders tended to be Protestant.

To explain these observations, Weber argued that Protestantism, and especially the ascetic Protestant or Calvinist denominations, had redefined the connection between work and piety . Historically, Christian religious devotion had been accompanied by a rejection of mundane affairs, including economic pursuits. In contrast, Weber showed that certain types of Protestantism, notably Calvinism, supported worldly activities and the rational pursuit of economic gain. Because of the particularly Calvinist view of the world, these activities became endowed with moral and spiritual significance. In these religions, believers expressed their piety towards God through hard work and achievement in a secular vocation, or calling. Because of this religious orientation, human effort was shifted away from the contemplation of the divine and towards rational efforts aimed at achieving economic gain. Furthermore, the Protestant ethic, while promoting the pursuit of economic gain, eschewed hedonistic pleasure. Thus, believers were encouraged to make money, but not to spend it. This motivated believers to work hard, to be successful in business, and to reinvest their profits rather than spend them on frivolous pleasures. The Calvinist notion of predestination also meant that material wealth could be taken as a sign of salvation in the afterlife. Predestination is the belief that God has chosen who will be saved and who will not.

John Calvin, the first capitalist?

Weber saw an elective affinity between capitalism and Protestantism, especially Calvinism.

Protestant believers thus reconciled, even encouraged, the pursuit of profit with religion. Instead of being viewed as morally suspect, greedy, or ambitious, financially successful believers were viewed as being motivated by a highly moral and respectable philosophy, the “spirit of capitalism. ” Eventually, the rational roots of this doctrine outgrew their religious origins and became autonomous cultural traits of capitalist society. Thus, Weber explained the rise of capitalism by looking at systems of culture and ideas. This theory is often viewed as a reversal of Marx’s thesis that the economic “base” of society determines all other aspects of it.

1.2.8: The Development of Sociology in the U.S.

Learning Objective

Discuss Lester Ward’s views on sociology’s role in society

Key Points

• Ward was a positivist who saw sociology as a scientific tool to improve life.
• He criticized laissez-faire theories and Spencer’s survival of the fittest theory and developed his own theory of social liberalism.
• Ward believed that in large, complex, and rapidly growing societies, human freedom could only be achieved with the assistance of a strong, democratic government acting in the interest of the individual.
• Ward had a strong influence on a rising generation of progressive political leaders, including on the administrations of Presidents Theodore Roosevelt, Woodrow Wilson, and Franklin D. Roosevelt and on the modern Democratic Party.

Key Terms

Social liberalism

The belief that the legitimate role of the state includes addressing economic and social issues, such as unemployment, health care, and education while simultaneously expanding civil rights; this belief supports capitalism but rejects unchecked laissez-faire economics.

laissez-faire

a policy of governmental non-interference in economic or competitive affairs; pertaining to free-market capitalism

American Sociological Association

The American Sociological Association (ASA), founded in 1905 as the American Sociological Society, is a non-profit organization dedicated to advancing the discipline and profession of sociology.

Lester Ward is generally thought of as the founder of American sociological study. He served as the first president of the American Sociological Society, which was founded in 1905 (and which later changed its name to its current form, the American Sociological Association), and was appointed Chair of Sociology at Brown University in 1906.

Works and ideas

Like Comte and the positivist founders of sociology, Ward embraced the scientific ethos. In 1883, Ward published his two-volume,1,200 page Dynamic Sociology, Or Applied Social Science as Based Upon Statistical Sociology and the Less Complex Sciences, with which he hoped to establish the central importance of experimentation and the scientific method to the field of sociology.

But for Ward, science was not objective and removed, but human-centered and results-oriented. As he put it in the preface to Dynamic Sociology:

“The real object of science is to benefit man. A science which fails to do this, however agreeable its study, is lifeless. Sociology, which of all sciences should benefit man most, is in danger of falling into the class of polite amusements, or dead sciences. It is the object of this work to point out a method by which the breath of life may be breathed into its nostrils. “

Thus, Ward embodied what would become a distinctive characteristic of American sociology. Though devoted to developing sociology as a rigorous science, he also believed sociology had unique potential as a tool to better society. He believed that the scientific methodology of sociology should be deployed in the interest of resolving practical, real-world problems, such as poverty, which he theorized could be minimized or eliminated by systematic intervention in society.

Criticism of laissez-faire

Ward is most often remembered for his criticism of the laissez-faire theories advanced by Herbert Spencer and popular among his contemporaries. Spencer had argued that society would naturally evolve and progress while allowing the survival of the fittest and weeding out the socially unfit. Thus, social ills such as poverty would be naturally alleviated as the unfit poor were selected against; no intervention was necessary. Though originated by Spencer, these ideas were advanced in the United States by William Graham Sumner, an economist and sociologist at Yale. Ward disagreed with Spencer and Sumner and, in contrast to their laissez-faire approach, promoted active intervention.

As a political approach, Ward’s system became known as “social liberalism,” as distinguished from the classical liberalism of the 18th and 19th centuries. While classical liberalism (featuring such thinkers as Adam Smith and John Stuart Mill) had sought prosperity and progress through laissez-faire policies, Ward’s “American social liberalism” sought to enhance social progress through direct government intervention. Ward believed that in large, complex, and rapidly growing societies, human freedom could only be achieved with the assistance of a strong democratic government acting in the interest of the individual. The characteristic element of Ward’s thinking was his faith that government, acting on the empirical and scientifically based findings of the science of sociology, could be harnessed to create a near Utopian social order.

Ward had a strong influence on a rising generation of progressive political leaders, including on the administrations of Presidents Theodore Roosevelt, Woodrow Wilson, and Franklin D. Roosevelt and on the modern Democratic Party. He has, in fact, been called “the father of the modern welfare state. ” The liberalism of the Democrats today is not that of Smith and Mill, which stressed non-interference from the government in economic issues, but of Ward, which stressed the unique position of government to effect positive change. While Roosevelt’s experiments in social engineering were popular and effective, the full effect of the forces Ward set in motion came to bear half a century after his death, in the Great Society programs of President Lyndon B. Johnson and the Vietnam war.

Influence on academic sociology

Despite Ward’s impressive political legacy, he has been largely written out of the history of sociology. The thing that made Ward most attractive in the 19th century, his criticism of laissez faire, made him seem dangerously radical to the ever-cautious academic community in early 20th century America. This perception was strengthened by the growing socialist movement in the United States, led by the Marxist Russian Revolution and the rise of Nazism in Europe. Ward was basically replaced by Durkheim in the history books, which was easily accomplished because Durkheim’s views were similar to Ward’s but without the relentless criticism of lassiez faire and without Ward’s calls for a strong, central government and “social engineering”. In 1937, Talcott Parsons, the Harvard sociologist and functionalist who almost single-handedly set American sociology’s academic curriculum in the mid-20th century, wrote that “Spencer is dead,” thereby dismissing not only Spencer but also Spencer’s most powerful critic.

Lester Ward

Lester Ward, the first president of the American Sociological Association, is generally thought of as the founder of American sociological study.

1.3: Theoretical Perspectives in Sociology

1.3.1: Theoretical Perspectives in Sociology

Social theories draw the connections between seemingly disparate concepts in order to help us understand the world around us.

Learning Objective

Analyze why theory is important for sociological research

Key Points

• Theories have two components: data, and and the explanation of relationships between concepts that are measured by the data.
• A theory is a proposed relationship between two or more concepts, often cause and effect.
• Sociologists develop theories to explain social phenomena.
• Sociological theory is developed at multiple levels, ranging from grand theory to highly contextualized and specific micro-range theories.

Key Terms

sociological theory

A theory is a statement as to how and why particular facts are related. In sociology, sociological perspectives, theories, or paradigms are complex theoretical and methodological frameworks, used to analyze and explain objects of social study, and facilitate organizing sociological knowledge.

cause and effect

Cause and effect (also written as cause-effect or cause/effect) refers to the philosophical concept of causality, in which an action or event will produce a certain response to the action in the form of another event.

anomie

Alienation or social instability caused by erosion of standards and values.

Sociologists develop theories to explain social phenomena. A theory is a proposed relationship between two or more concepts. In other words, a theory is an explanation for why a phenomenon occurs.

Sociological theory is developed at multiple levels, ranging from grand theory to highly contextualized and specific micro-range theories. There are many middle-range and micro-range theories in sociology. Because such theories are dependent on context and specific to certain situations, it is beyond the scope of this text to explore each of those theories.

Sociological Theories at Work

An example of a sociological theory comes from the work of Robert Putnam. Putman’s work focused on the decline of civic engagement. Putnam found that Americans involvement in civic life (e.g., community organizations, clubs, voting, religious participation, etc. ) has declined over the last 40 to 60 years. While a number of factors that contribute to this decline, one of the prominent factors is the increased consumption of television as a form of entertainment. Putnam’s theory proposes:

The more television people watch, the lower their involvement in civic life will be.

This element of Putnam’s theory clearly illustrates the basic purpose of sociological theory. Putnam’s theory proposes a relationship between two or more concepts. In this case, the concepts are civic engagement and television watching. This is an inverse relationship – as one goes up, the other goes down; it is also an explanation of one phenomenon with another: part of the reason for the decline in civic engagement over the last several decades is because people are watching more television. In short, Putnam’s theory clearly encapsulates the key ideas of a sociological theory.

Importance of Theory

Theory is the connective tissue that bridges the connection between raw data and critical thought. In the theory above, the data showed that that civic engagement has declined and TV watching has increased. Data alone are not particularly informative. If Putnam had not proposed a relationship between the two elements of social life, we may not have realized that television viewing does, in fact, reduce people’s desire to, and time for participating in civic life. In order to understand the social world around us, it is necessary to employ theory to draw the connections between seemingly disparate concepts.

Another example of sociological theorizing illustrates this point. In his now classic work, Suicide, Emile Durkheim was interested in explaining a social phenomenon, suicide, and employed both data and theory to offer an explanation. By aggregating data for large groups of people in Europe, Durkheim was able to discern patterns in suicide rates and connect those patterns with another concept (or variable), religious affiliation. Durkheim found that Protestants were more likely than Catholics to commit suicide. At this point, Durkheim’s analysis was still in the data stage; he had not proposed an explanation for the different suicide rates of the two groups. When Durkheim introduced the ideas of anomie and social solidarity, he began to explain the difference in suicide rates. Durkheim argued that the looser social ties found in Protestant religions lead to weaker social cohesion and reduced social solidarity. The higher suicide rates were the result of weakening social bonds among Protestants.

While Durkheim’s findings have since been criticized, his study is a classic example of the use of theory to explain the relationship between two concepts. Durkheim’s work also illustrates the importance of theory: without theories to explain the relationship between concepts, we would not be able to understand cause and effect relationships in social life. The discovery of the cause and effect relationship is the major component of the sociological theory.

Theories: Are Some Better than Others?

There are many theories in sociology, but there are several broad theoretical perspectives that are prominent in the field. These theories are prominent because they are quite good at explaining social life. They are not without their problems, but these theories remain widely used and cited precisely because they have withstood a great deal of criticism.

You might be inclined to ask, “Which theories are the best? ” As is often the case in sociology, just because things are different doesn’t mean one is better than another. In fact, it is probably more useful and informative to view theories as complementary. One theory may explain one element of society better than another. Or, both may be useful for explaining social life. In short, all of the theories are correct in the sense that they offer compelling explanations for social phenomena.

Ritzer’s Integrative Micro-Macro Theory of Social Analysis

The theoretical perspectives in sociology use both micro- and macro-perspectives to understand sociological and cultural phenomenon.

1.3.2: The Functionalist Perspective

The functionalist perspective attempts to explain social institutions as collective means to meet individual and social needs.

Learning Objective

Apply the functionalist perspective to issues in the contemporary world

Key Points

• In the functionalist perspective, societies are thought to function like organisms, with various social institutions working together like organs to maintain and reproduce societies.
• According to functionalist theories, institutions come about and persist because they play a function in society, promoting stability and integration.
• Functionalism has been criticized for its failure to account for social change and individual agency; some consider it conservatively biased.
• Functionalism has been criticized for attributing human-like needs to society.
• Emile Durkheim’s work is considered the foundation of functionalist theory in sociology.
• Merton observed that institutions could have both manifest and latent functions.

Key Terms

latent function

the element of a behavior that is not explicitly stated, recognized, or intended, and is thereby hidden

social institutions

In the social sciences, institutions are the structures and mechanisms of social order and cooperation governing the behavior of a set of individuals within a given human collectivity. Institutions include the family, religion, peer group, economic systems, legal systems, penal systems, language, and the media.

functionalism

Structural functionalism, or simply functionalism, is a framework for building theory that sees society as a complex system whose parts work together to promote solidarity and stability.

manifest function

the element of a behavior that is conscious and deliberate

Examples

• Before the 19th century, higher education was primarily training for clergy and the elite. But in the late 19th century, higher education transitioned to become a center for science and the general education of the masses. In other words, education began to serve a new function; it had not always served the function of preparing individuals for the labor force (with the exception of the ministry and the elite). Functionalists might respond that this transition can be explained by looking for other institutional changes that precipitated this change. For example, the 19th century also saw the blossoming of the industrial revolution. The industrial revolution and the rise of capitalism increasingly demanding technological innovation to increase profit. Technological innovation and advanced industry both required a more educated workforce. As the industrial revolution changed one aspect of society (the economy and production), it required a parallel change in other institutions (e.g., the educational system), thus bringing social life back into equilibrium. Yet critics might reply that this explanation only raises more questions: in particular, what change sparked the industrial revolution?
• Education also provides an example of Merton’s theory of manifest and latent functions. The manifest purpose of public education is to increase the knowledge and abilities of the citizenry to prepare them to contribute in the workforce. A latent function of the public education system is the development and maintenance of a class hierarchy. The most educated are often also the most affluent and enjoy privileged access to the best jobs, the best schools, the best housing, and so on. Thus, while education’s manifest function is to empower all individuals to contribute to the workforce and society, its latent function is to create and maintain inequality.

Functionalism

The functionalist perspective attempts to explain social institutions as collective means to meet individual and social needs. It is sometimes called structural-functionalism because it often focuses on the ways social structures (e.g., social institutions) meet social needs.

Functionalism draws its inspiration from the ideas of Emile Durkheim. Durkheim was concerned with the question of how societies maintain internal stability and survive over time. He sought to explain social stability through the concept of solidarity, and differentiated between the mechanical solidarity of primitive societies and the organic solidarity of complex modern societies. According to Durkheim, more primitive or traditional societies were held together by mechanical solidarity; members of society lived in relatively small and undifferentiated groups, where they shared strong family ties and performed similar daily tasks. Such societies were held together by shared values and common symbols. By contrast, he observed that, in modern societies, traditional family bonds are weaker; modern societies also exhibit a complex division of labor, where members perform very different daily tasks. Durkheim argued that modern industrial society would destroy the traditional mechanical solidarity that held primitive societies together. Modern societies however, do not fall apart. Instead, modern societies rely on organic solidarity; because of the extensive division of labor, members of society are forced to interact and exchange with one another to provide the things they need.

The functionalist perspective continues to try and explain how societies maintained the stability and internal cohesion necessary to ensure their continued existence over time. In the functionalist perspective, societies are thought to function like organisms, with various social institutions working together like organs to maintain and reproduce them. The various parts of society are assumed to work together naturally and automatically to maintain overall social equilibrium. Because social institutions are functionally integrated to form a stable system, a change in one institution will precipitate a change in other institutions. Dysfunctional institutions, which do not contribute to the overall maintenance of a society, will cease to exist.

In the 1950s, Robert Merton elaborated the functionalist perspective by proposing a distinction between manifest and latent functions. Manifest functions are the intended functions of an institution or a phenomenon in a social system. Latent functions are its unintended functions. Latent functions may be undesirable, but unintended consequences, or manifestly dysfunctional institutions may have latent functions that explain their persistence. For example, crime seems difficult to explain from the functionalist perspective; it seems to play little role in maintaining social stability. Crime, however, may have the latent function of providing examples that demonstrate the boundaries of acceptable behavior and the function of these boundaries to maintain social norms.

Social Institutions

Functionalists analyze social institutions in terms of the function they play. In other words, to understand a component of society, one must ask, “What is the function of this institution? How does it contribute to social stability? ” Thus, one can ask of education, “What is the function of education for society? ” A complete answer would be quite complex and require a detailed analysis of the history of education, but one obvious answer is that education prepares individuals to enter the workforce and, therefore, maintains a functioning economy. By delineating the functions of elements of society, of the social structure, we can better understand social life.

Criticism of Functionalism

Functionalism has been criticized for downplaying the role of individual action, and for being unable to account for social change. In the functionalist perspective, society and its institutions are the primary units of analysis. Individuals are significant only in terms of their places within social systems (i.e., social status and position in patterns of social relations). Some critics also take issue with functionalism’s tendency to attribute needs to society. They point out that, unlike human beings, society does not have needs; society is only alive in the sense that it is made up of living individuals. By downplaying the role of individuals, functionalism is less likely to recognize how individual actions may alter social institutions.

Critics also argue that functionalism is unable to explain social change because it focuses so intently on social order and equilibrium in society. Following functionalist logic, if a social institution exists, it must serve a function. Institutions, however, change over time; some disappear and others come into being. The focus of functionalism on elements of social life in relation to their present function, and not their past functions, makes it difficult to use functionalism to explain why a function of some element of society might change, or how such change occurs.

1.3.3: The Conflict Perspective

Conflict theory sees society as a dynamic entity constantly undergoing change as a result of competition over scarce resources.

Learning Objective

Identify the tenets of and contributors to conflict theory, as well as the criticisms made against it

Key Points

• Conflict theory sees social life as a competition, and focuses on the distribution of resources, power, and inequality.
• Unlike functionalist theory, conflict theory is better at explaining social change, and weaker at explaining social stability.
• Conflict theory has been critiqued for its inability to explain social stability and incremental change.
• Conflict theory derives from the ideas of Karl Marx.

Key Terms

functionalism

Structural functionalism, or simply functionalism, is a framework for building theory that sees society as a complex system whose parts work together to promote solidarity and stability.

conflict theory

A social science perspective that holds that stratification is dysfunctional and harmful in society, with inequality perpetuated because it benefits the rich and powerful at the expense of the poor.

Examples

• A conflict theorist might ask, “Who benefits from the current higher educational system in the U.S.? ” The answer, for a conflict theorist attuned to unequal distributions of wealth, is the wealthy. After all, higher education in the U.S. is not free. The educational system often screens out poorer individuals, not because they are unable to compete academically, but because they cannot afford to pay for their education. Because the poor are unable to obtain higher education, they are generally also unable to get higher paying jobs, and, thus, they remain poor. Such an arrangement translates into a vicious cycle of poverty. While a functionalist might say that the function of education is to educate the workforce, a conflict theorist might point out that it also has an element of conflict and inequality, favoring one group (the wealthy) over other groups (the poor). Thinking about education in this way helps illustrate why both functionalist and conflict theories are helpful in understanding how society works.
• In his 1982 book Power and Powerlessness: Quiescence and Rebellion in an Appalachian Valley, John Gaventa used conflict theory to explain why coal miners in Appalachia accepted such low pay and poor working conditions. Although miners belonged to unions, and although unions occasionally called strikes and even used violence, the status quo prevailed. Gaventa theorized that power does not only operate through overt force and oppression. Rather, power also operates in hidden ways. The absentee mine owners manipulated complaints and debates to downplay concerns and refocus attention on other issues. In that way, they were able to avoid any real challenges to their power.

The Conflict Perspective

The conflict perspective, or conflict theory, derives from the ideas of Karl Marx, who believed society is a dynamic entity constantly undergoing change driven by class conflict. Whereas functionalism understands society as a complex system striving for equilibrium, the conflict perspective views social life as competition. According to the conflict perspective, society is made up of individuals competing for limited resources (e.g., money, leisure, sexual partners, etc.). Competition over scarce resources is at the heart of all social relationships. Competition, rather than consensus, is characteristic of human relationships. Broader social structures and organizations (e.g., religions, government, etc.) reflect the competition for resources and the inherent inequality competition entails; some people and organizations have more resources (i.e., power and influence), and use those resources to maintain their positions of power in society.

C. Wright Mills is known as the founder of modern conflict theory. In his work, he believes social structures are created because of conflict between differing interests. People are then impacted by the creation of social structures, and the usual result is a differential of power between the “elite” and the “others”. Examples of the “elite” would be government and large corporations. G. William Domhoff believes in a similar philosophy as Mills and has written about the “power elite of America”.

Sociologists who work from the conflict perspective study the distribution of resources, power, and inequality. When studying a social institution or phenomenon, they ask, “Who benefits from this element of society? “

Conflict Theory and Change

While functionalism emphasizes stability, conflict theory emphasizes change. According to the conflict perspective, society is constantly in conflict over resources, and that conflict drives social change. For example, conflict theorists might explain the civil rights movements of the 1960s by studying how activists challenged the racially unequal distribution of political power and economic resources. As in this example, conflict theorists generally see social change as abrupt, even revolutionary, rather than incremental. In the conflict perspective, change comes about through conflict between competing interests, not consensus or adaptation. Conflict theory, therefore, gives sociologists a framework for explaining social change, thereby addressing one of the problems with the functionalist perspective.

Criticism of Conflict Theory

Predictably, conflict theory has been criticized for its focus on change and neglect of social stability. Some critics acknowledge that societies are in a constant state of change, but point out that much of the change is minor or incremental, not revolutionary. For example, many modern capitalist states have avoided a communist revolution, and have instead instituted elaborate social service programs. Although conflict theorists often focus on social change, they have, in fact, also developed a theory to explain social stability. According to the conflict perspective, inequalities in power and reward are built into all social structures. Individuals and groups who benefit from any particular structure strive to see it maintained. For example, the wealthy may fight to maintain their privileged access to higher education by opposing measures that would broaden access, such as affirmative action or public funding.

1.3.4: The Symbolic Interactionist Perspective

Symbolic interactionism looks at individual and group meaning-making, focusing on human action instead of large-scale social structures.

Learning Objective

Examine the differences between symbolic interactionism and other sociological perspectives

Key Points

• Symbolic interactionism has roots in phenomenology, which emphasizes the subjective meaning of reality.
• Symbolic interactionism proposes a social theory of the self, or a looking glass self.
• Symbolic interactionists study meaning and communication; they tend to use qualitative methods.
• Symbolic interactionism has been criticized for failing to take into account large-scale macro social structures and forces.

Key Terms

role theory

assumes that people are primarily conformists who try to achieve the norms that accompany their roles; group members check each individual’s performance to determine whether it conforms with that individual’s assigned norms, and apply sanctions for misbehavior in an attempt to ensure role performance.

behaviorism

an approach to psychology focusing on behavior, denying any independent significance for mind, and assuming that behavior is determined by the environment

phenomenology

A philosophy based on the intuitive experience of phenomena, and on the premise that reality consists of objects and events as consciously perceived by conscious beings.

Example

• A good example of the looking glass self is a person trying on clothes before going out with friends. Some people may not think much about how others will think about their clothing choices, but others can spend quite a bit of time considering what they are going to wear. While they are deciding, the dialogue taking place inside their mind is usually a dialogue between their “self” (that portion of their identity that calls itself “I”) and that person’s internalized understanding of their friends and society (a “generalized other”). An indicator of mature socialization is when an individual quite accurately predicts how other people think about him or her. Such an individual has incorporated the “social” into the “self. “

Symbolic interactionism is a theoretical approach to understanding the relationship between humans and society. The basic notion of symbolic interactionism is that human action and interaction are understandable only through the exchange of meaningful communication or symbols. In this approach, humans are portrayed as acting, as opposed to being acted upon. The main principles of symbolic interactionism are:

• Human beings act toward things on the basis of the meanings that things have for them
• These meanings arise out of social interaction
• Social action results from a fitting together of individual lines of action

This approach stands in contrast to the strict behaviorism of psychological theories prevalent at the time it was first formulated (the 1920s and 1930s). According to symbolic interactionism, humans are distinct from infrahumans (lower animals) because infrahumans simply respond to their environment (i.e., a stimulus evokes a response or stimulus ⇒ response), whereas humans have the ability to interrupt that process (i.e., stimulus ⇒ cognition ⇒ response). Additionally, infrahumans are unable to conceive of alternative responses to gestures. Humans, however, can. This understanding should not be taken to indicate that humans never behave in a strict stimulus ⇒ response fashion, but rather that humans have the capability of responding in a different way, and do so much of the time.

This perspective is also rooted in phenomenological thought. According to symbolic interactionism, the objective world has no reality for humans; only subjectively defined objects have meaning. There is no single objective “reality”; there are only (possibly multiple, possibly conflicting) interpretations of a situation. Meanings are not entities that are bestowed on humans and learned by habituation; instead, meanings can be altered through the creative capabilities of humans, and individuals may influence the many meanings that form their society. Human society, therefore, is a social product.

The Looking Glass Self

Neurological evidence, based on EEGs, supports the idea that humans have a “social brain,” meaning, there are components of the human brain that govern social interaction. These parts of the brain begin developing in early childhood (the preschool years) and aid humans in understanding how other people think. In symbolic interactionism, this is known as “reflected appraisals” or “the looking glass self,” and refers to our ability to think about how other people will think about us. In 1902, Charles Horton Cooley developed the social psychological concept of the looking glass self. The term was first used in his work, Human Nature and the Social Order. There are three main components of the looking glass self:

Charles Cooley

Cooley developed the idea of the looking glass self.

• We imagine how we must appear to others
• We imagine the judgment of that appearance
• We develop our self through the judgments of others

Cooley clarified this concept in his writings, stating that society is an interweaving and interworking of mental selves.

In hypothesizing the framework for the looking glass self, Cooley said, “the mind is mental” because “the human mind is social. ” As children, humans begin to define themselves within the context of their socializations. The child learns that the symbol of his/her crying will elicit a response from his/her parents, not only when they are in need of necessities, such as food, but also as a symbol to receive their attention.

George Herbert Mead described self as “taking the role of the other,” the premise for which the self is actualized. Through interaction with others, we begin to develop an identity about who we are, as well as empathy for others. This is the notion of, “Do unto others, as you would have them do unto you. ” In respect to this, Cooley said, “The thing that moves us to pride or shame is not the mere mechanical reflection of ourselves, but an imputed sentiment, the imagined effect of this reflection upon another’s mind. “

It should be noted that symbolic interactionists advocate a particular methodology. Because they see meaning as the fundamental component of the interaction of human and society, studying human and social interaction requires an understanding of that meaning. Symbolic interactionists tend to employ more qualitative, rather than quantitative, methods in their research.

The most significant limitation of the symbolic interactionist perspective relates to its primary contribution: it overlooks macro-social structures (e.g., norms, culture) as a result of focusing on micro-level interactions. Some symbolic interactionists, however, would counter that the incorporation of role theory into symbolic interactionism addresses this criticism.

The Looking Glass Self

This drawing depicts the looking-glass self. The person at the front of the image is looking into four mirrors, each of which reflects someone else’s image of himself.

1.3.5: The Feminist Perspective

Feminist theory is a conflict theory that studies gender, patriarchy, and the oppression of women.

Learning Objective

Identify the main tenets of the feminist perspective and its research focus, distinguishing the three waves of feminist theory

Key Points

• Feminist theory has developed in three waves. The first wave focused on suffrage and political rights. The second focused on social inequality between the genders. The current, third wave emphasizes the concepts of globalization, postcolonialism, post-structuralism, and postmodernism.
• Third wave feminist theory critiques generalizations about sex and gender.
• Feminist critiques of heterosexism and is closely allied with queer theory and the work of Michel Foucault.
• Feminist theory also studies the intersections of sex, gender, sexuality, race, nationality, and economic status.
• Feminism may conflict with multiculturalism. While muticulturalism necessitates the tolerance of foreign cultural practices, some of those practices might maintain an oppression of women that feminists find essentially intolerable and unacceptable.

Key Terms

multiculturalism

A characteristic of a society that has many different ethnic or national cultures mingling freely. It can also refer to political or social policies which support or encourage such a coexistence. Important in this is the idea that cultural practices, no matter how unusual, should be tolerated as a measure of respect.

poststructuralism

an extension of structuralism influenced by the effort to deconstruct or challenge traditional categories

postmodernism

any style in art, architecture, literature, philosophy, etc., that reacts against an earlier modernist movement

Example

• When was the last time you walked into a toy store? Next time you do, pause to take a look at the shelves. Most toy stores use gendered displays to market different toys to boys and girls. The section targeting girls will often be bathed in pink, with dolls, model kitchens, fake makeup sets, and other toys focused on child rearing, domestic chores, or personal hygiene and beauty. The section targeting boys will often be filled with violent toys, guns, action figures, toy monsters and aliens. It may also have toy sets for building structures, models, and robots. No formal rules keep girls from shopping in the boys section or vice versa, but the gendered marketing nevertheless reinforces gender stereotypes.

Feminism

The feminist perspective has much in common with the conflict perspective. However, instead of focusing broadly on the unequal distribution of power and resources, feminist sociology studies power in its relation to gender. This topic is studied both within social structures at large and at the micro level of face-to-face interaction, the latter of which incorporates the methodology of symbolic interactionism (popularized by Erving Goffman). Feminist scholars study a range of topics, including sexual orientation, race, economic status, and nationality. However, at the core of feminist sociology is the idea that, in most societies, women have been systematically oppressed and that men have been historically dominant. This is referred to as patriarchy.

Three Waves of Feminism

Feminist thought has a rich history, which is categorized into three waves. At the turn of the century, the first wave of feminism focused on official, political inequalities and fought for women’s suffrage. In the 1960s, second wave feminism, also known as the women’s liberation movement, turned its attention to a broader range of inequalities, including those in the workplace, the family, and reproductive rights. Currently, a third wave of feminism is criticizing the fact that the first two waves of feminism were dominated by white women from advanced capitalist societies. This movement emphasizes diversity and change, and focuses on concepts such as globalization, postcolonialism, poststructuralism, and postmodernism. Contemporary feminist thought tends to dismiss essentializing generalizations about sex and gender (e.g., women are naturally more nurturing) and to emphasize the importance of intersections within identity (e.g., race and gender). The feminist perspective also recognizes that women who suffer from oppression due to race, in addition to the oppression they suffer for being women, may find themselves in a double bind. The relationship between feminism and race was largely overlooked until the second wave of feminists produced literature on the topic of black feminism. This topic has received much more attention from third wave scholars and activists.

Feminism and Heterosexism

The feminist perspective also criticizes exclusive understandings of sexuality, such as heterosexism. Heterosexism is a system of attitudes, bias, and discrimination that favor male-female sexuality and relationships. At one point, heterosexual marriage was the only lawful union between two people that was recognized and given full benefits in the United States. This situated homosexual couples at a disadvantage, and made them ineligible for many of the government or employer-provided benefits afforded heterosexual married couples. However, heterosexism can extend far beyond government validation, as it describes a set of paradigms and institutionalized beliefs that systematically disadvantage anyone who does not fit into a normative mold. Like racism, heterosexism can operate on an institutional level (e.g., through government) and at an individual level (i.e., in face-to-face interactions). Feminist critiques of heterosexism thus align with queer theory and the ideas of Michel Foucault, who studied the relationship between power and sexuality.

Feminism and Multiculturalism

Though the feminist perspective focuses on diversity and liberation, it has been accused of being incompatible with multiculturalist policy. Multiculturalism aims to allow distinct cultures to reside together, either as distinct enclaves within ostensively Western societies, or as separate societies with national borders. One possible consequence of multiculturalism is that certain religious or traditional practices, that might disadvantage or oppress women, might be tolerated on the grounds of cultural sensitivity. From the Feminist perspective, such practices are objectionable to human rights and ought to be criminalized on those grounds. However, from a multiculturalist perspective, such traditions must be respected even if they seem to directly violate ideas about freedom or liberty. Controversies about this have arisen with both arranged marriages and female genital mutilation.

First-wave feminists fight for women’s suffrage

Over the years, feminist demands have changed. First-wave feminists fought for basic citizenship rights, such as the right to vote, while third wave feminists are concerned with more complex social movements, like post-structuralism.

1.3.6: Theory and Practice

Sociologists use both theory and practice to understand what is going on in the social world and how it happens.

Learning Objective

Recognize the relationship between theory and practice in sociological research

Key Points

• There is a reciprocal relationship between theory and practice in sociology.
• In practice, sociologists use an empirical approach that seeks to understand what is going on in the social world and how it happens.
• Practice, or empirical analysis, cannot stand on its own without underlying theoretical questions (the why) that guide the research.
• A theory is a proposed relationship between two or more observed phenomena.
• Grounded theory is an inductive research method that involves working upward from the data to generate a theory. Grounded theory is hinged upon the relationship between practice and theory.
• Starting from theory runs the risk of interpreting data strictly according the the perspective of that theory, which can create false results.
• Starting from theory runs the risk of interpreting data strictly according the the perspective of that theory.
• Grounded theory is an inductive research method that involves working from the data upward to generate a theory.

Key Terms

theory

A coherent statement or set of ideas that explains observed facts or phenomena, or which sets out the laws and principles of something known or observed; a hypothesis confirmed by observation, experiment, etc.

scientific method

A method of discovering knowledge about the natural world based in making falsifiable predictions (hypotheses), testing them empirically, and developing peer-reviewed theories that best explain the known data.

practice

Actual operation or experiment, in contrast to theory.

Examples

• An example of a sociological theory is the work of Robert Putnam on the decline of civic engagement. Putnam found that Americans’ involvement in civic life (e.g., community organizations, clubs, voting, religious participation, etc. ) has declined over the last 40 to 60 years. While there are a number of factors that contribute to this decline (Putnam’s theory is quite complex), one of the prominent factors is the increased consumption of television as a form of entertainment. Putnam’s theory proposes:
• The more television people watch, the lower their involvement in civic life will be.
• This element of Putnam’s theory clearly illustrates the basic purpose of sociological theory: it proposes a relationship between two or more concepts. In this case, the concepts are civic engagement and television watching. The relationship is an inverse one – as one goes up, the other goes down. What’s more, it is an explanation of one phenomenon with another: part of the reason why civic engagement has declined over the last several decades is because people are watching more television. In short, Putnam’s theory clearly encapsulates the key ideas of a sociological theory.
• Another sociologist might choose to test this theory. For example, someone might seek to explore if the same correlation could be observed in China, where in the past couple decades watching television has become an integral part of urban life.

There is a reciprocal relationship between theory and practice in sociology. In practice, sociologists use an empirical approach that seeks to understand what is going on in the social world and how it happens. These practices, however, cannot stand on their own without underlying theoretical questions (the why) that guide the research. Without theory, interesting data may be gathered without any way to explain the relationships between different observed phenomena. Sociologists go back and forth between theory and practice as advances in one require modification of the other.

Theory and Practice Explained

Practice refers to the actual observation, operation, or experiment. Practice is the observation of disparate concepts (or a phenomenon) that needs explanation. A theory is a proposed explanation of the relationship between two or more concepts, or an explanation for how/why a phenomenon occurs.

Grounded Theory Method

Sociologists often work from an already existing theory, and seek to test that theory in new situations. In these cases, theory influences the practice of empirical research – it shapes what kinds of data will be gathered and how this data will be interpreted. This data may confirm the theory, lead to modifications of it, or disprove the theory altogether in that particular context. These changes to the theory then lead to further research.

When working from theory, sociological observation runs the risk of being directed by that theory. For example, if one is working from the perspective of a Marxist conflict theory, one might tend to interpret everything as a manifestation of bourgeoisie domination, from the patterns of seating at a school cafeteria to presidential election results.

A response to this problem was developed by two sociologists, Barney Glaser and Anselm Strauss, called grounded theory method; it is a systematic methodology in the social sciences involving the discovery of theory through the analysis of data. Grounded theory method is mainly used in qualitative research, but is also applicable to quantitative data.

Grounded theory method operates almost in a reverse fashion from traditional research, and at first sight may appear to be in contradiction to the scientific method. Rather than beginning with a hypothesis, the first step is data collection through a variety of methods. Using the collected data, the key points are marked with a series of codes, which are extracted from the text. The codes are grouped into similar concepts in order to make them more workable. From these concepts, categories are formed, which are the basis for the creation of a theory, or a reverse engineered hypothesis. This contradicts the traditional model of research, where the researcher chooses a theoretical framework and only then applies this model to the phenomenon to be studied.

Scientific Method: Practice and Theory

Social scientists begin with an observation (a practice), then they develop a hypothesis (or theory), and then, devise an empirical study to test their hypothesis.

1.4: The Sociological Approach

1.4.1: Sociology Today

Contemporary sociology does not have a single overarching foundation—it has varying methods, both qualitative and quantitative.

Learning Objective

Describe how the discipline of sociology has expanded since its foundation

Key Points

• The traditional focuses of sociology have included social stratification, social class, culture, social mobility, religion, secularization, law, and deviance.
• Sociology has gradually expanded its focus to include more diverse subjects such as health, medical, penal institutions, the Internet, or the role of social activity in the development of scientific knowledge.
• The linguistic and cultural turns of the mid-twentieth century led to increasingly interpretative, hermeneutic, and philosophic approaches to the analysis of society.

Key Terms

secularization

The transformation of a society from close identification with religious values and institutions toward non-religious (or “irreligious”) values and secular institutions.

hermeneutic

Something that explains, interprets, illustrates or elucidates.

paradigm

A system of assumptions, concepts, values, and practices that constitutes a way of viewing reality.

Although sociology emerged from Comte’s vision of a discipline that would subsume all other areas of scientific inquiry, that was the future of sociology. Far from replacing the other sciences, contemporary sociology has taken its place as a particular perspective for investigating human social life.

The traditional focuses of sociology have included social stratification, social class, culture, social mobility, religion, secularization, law, and deviance. As all spheres of human activity are affected by the interplay between social structure and individual agency, sociology has gradually expanded to focus on more diverse subjects such as health, medical, military and penal institutions, the Internet, and the role of social activity in the development of scientific knowledge.

The range of social scientific methodology has also expanded. Social researchers draw upon a variety of qualitative and quantitative techniques. The linguistic and cultural turns of the mid-twentieth century led to increasingly interpretative, hermeneutic, and philosophic approaches to the analysis of society. Conversely, recent decades have seen the rise of new analytically, mathematically, and computationally rigorous techniques such as agent-based modelling and social network analysis.

Presently, sociological theories lack a single overarching foundation, and there is little consensus about what such a framework should consist of. However, a number of broad paradigms cover much modern sociological theorizing. In the humanistic parts of the discipline, these paradigms are referred to as social theory, often shared with the humanities. The discipline’s dominant scientifically-oriented areas generally focus on a different set of theoretical perspectives, generally referred to as sociological theory. These include new institutionalism, social networks, social identity, social and cultural capital, toolkit and cognitive theories of culture, and resource mobilization. Analytical sociology is an ongoing effort to systematize many of these middle-range theories.

American Sociological Association

The American Sociological Association annual meetings are a way for contemporary sociologists to share their work and discuss the future of the discipline.

1.4.2: Levels of Analysis: Micro and Macro

Sociological study may be conducted at both macro (large-scale social processes) and micro (small group, face-to-face interactions) levels.

Learning Objective

Analyze how symbolic interactionism plays a role in both macro and micro sociology

Key Points

• Macro-level sociology looks at large-scale social processes, such as social stability and change.
• Micro-level sociology looks at small-scale interactions between individuals, such as conversation or group dynamics.
• Micro- and macro-level studies each have their own benefits and drawbacks.
• Macrosociology allows observation of large-scale patterns and trends, but runs the risk of seeing these trends as abstract entities that exist outside of the individuals who enact them on the ground.
• Microsociology allows for this on-the-ground analysis, but can fail to consider the larger forces that influence individual behavior.

Key Terms

microsociology

Microsociology involves the study of people in face-to-face interactions.

symbolic interactionism

Symbolic interactionism is the study of the patterns of communication, interpretation, and adjustment between individuals.

macrosociology

Macrosociology involves the study of widespread social processes.

Examples

• There are many examples of both micro- and macrosociological studies. One of the most famous early micro-sociological studies was, “The Cab Driver and His Fare,” published in 1959 by Fred Davis. Davis spent six months working as a taxi driver in Chicago, and observed the interactions between himself and his fares (the people who hired his taxi services). He found that the relationship between taxi driver and fare was unique because it was so short, random, and unlikely to be repeated. Given these characteristics of the relationship, how could riders trust that drivers would take them where they wanted without cheating them, and how could drivers trust that riders would pay and tip them fairly at the end of the trip? Davis suggested that much of the interaction between driver and rider boiled down to resolving these issues and attempting to ensure trust.
• Dramaturgical analysis can be used to explain many types of social interactions. Consider, for example, how front and back stage spaces are managed during a visit to the doctor. When you arrive at the doctor’s office, you are on stage as you present yourself to the receptionist. As you are shown to an exam room, you are briefly ushered into a back stage space. The attendant leaves and you briefly relax as you change into an exam gown and prepare yourself for your next performance, which begins when the doctor enters the room or pushes back the curtain. Once again, you are on stage.

Sociological approaches are differentiated by the level of analysis. Macrosociology involves the study of widespread social processes . Microsociology involves the study of people at a more interpersonal level, as in face-to-face interactions.

The macro-level study of widespread social processes has been the more dominant approach, and has been practiced since sociology’s origins in the founding work of figures like Emile Durkheim. Durkheim, for example, studied the large-scale shift from homogenous traditional societies to industrialized societies, where each individual played a highly specialized role. The tendency toward macrosociology is evident in the kinds of questions that early sociologists asked: What holds societies together? How are norms (and deviance) established and handled by societies? What factors lead to social change, and what are the results of this change? Macrosociologists focus on society as a whole, as something that is prior to, and greater than, the sum of individual people.

Studying social life on the micro-level is a more recent development (in the early and mid-twentieth century) in the history of the field, and was pioneered by proponents of the symbolic interactionism perspective, namely George Herbert Mead, Herbert Blumer, and Erving Goffmann. Mead was a pragmatist and behaviorist, which means several things.

1. To pragmatists, true reality does not exist “out there” in the real world. It “is actively created as we act in and toward the world. “
2. People remember and base their knowledge of the world on what has been useful to them, and are likely to alter what no longer “works. “
3. People define the social and physical “objects” they encounter in the world according to their use for them.
4. If we want to understand actors, we must base that understanding on what people actually do.

Blumer built on Mead’s work. He believed that individuals create their own social reality through collective and individual action, and that the creation of social reality is a continuous process. Goffman elaborated on both Mead and Blumer by formulating the dramaturgical approach . He saw a connection between the acts people put on in their daily life and theatrical performances. In social interaction, like in theatrical performance, there is a front region where the “actors” (individuals) are on stage in front of the audience. This is where the positive aspect of the idea of self and desired impressions is highlighted. There is a back region, or stage, that can also be considered a hidden or private place where individuals can be themselves and step out of their role or identity in society. Face-to-face interactions are, thus, a stage where people perform roles and practice impression management (i.e. “saving face”). Other scholars have since developed new research questions and methods for studying micro-level social processes.

Micro- and macro-level studies each have their own benefits and drawbacks. Macrosociology allows observation of large-scale patterns and trends, but runs the risk of seeing these trends as abstract entities that exist outside of the individuals who enact them on the ground. Microsociology allows for this on-the-ground analysis, but can fail to consider the larger forces that influence individual behavior.

A Taxonomy of Sociological Analysis

Sociological analysis can take place at the macro or micro level, and can be subjective or objective.

1.4.3: Applied and Clinical Sociology

Applied or clinical sociology uses sociological insights or methods to guide practice, research, or social reform.

Learning Objective

Identify ways sociology is applied in the real world

Key Points

• Sociological research can be divided into pure research and applied research. Pure research has no motive other than to further sociological knowledge, while applied research has a direct practical end.
• Applied research may be put into the service of the corporate world, governmental and international agencies, NGOs, or clinical work. In all these instances, they apply sociological theories and methods to further the goals of the organization they are working under.
• One budding area in modern retail firms is site selection, or the determination of the best locations for new stores. Site selection requires understanding human ecology and consumer spending patterns, both of which are addressed using the sociological imagination.
• Clinical sociology involves the study of groups of people using learned information in case and care management towards holistic life enrichment or improvement of social and life conditions. Clinical sociologists usually focus on vulnerable population groups, such as children, youths or elderly.

Key Terms

Site Selection

Site selection indicates the practice of new facility location, both for business and government. Site selection involves measuring the needs of a new project against the merits of potential locations.

clinical sociology

Clinical sociology courses give students the skills to be able to work effectively with clients, teach basic counseling skills, give knowledge that is useful for careers, such as victims assisting and drug rehabilitation, and teach the student how to integrate sociological knowledge with other fields. They may go into such areas as marriage and family therapy, and clinical social work.

Sociotherapist

A sociotherapist practices sociotherapy, which is a social science and form of social work and sociology that involves the study of groups of people, its constituent individuals and their behavior, using learned information in case and care management towards holistic life enrichment or improvement of social and life conditions.

Example

• Applied sociologists work in all kinds of fields. One example is applied demography and population control. During the mid-twentieth century, the population of developing nations was growing rapidly and policymakers the world over were concerned about the effects of overpopulation. To address this problem, governments and international organizations, such as the UN, worked with sociologists and demographers (sociologists who study population) to devise strategies to reduce population growth. Sociologists led campaigns to distribute contraception, modernize countries, and encourage education and equal rights for women. Together, these efforts began to slow population growth. The strategies were based on sociological findings that fertility rates are lower in modern industrial or post-industrial economies, where people put off having children in order to pursue education and economic opportunities. They were also based on sociological findings that fertility rates are lower when women have opportunities to pursue education and work outside the home. Thus, applied sociologists took findings from pure research and applied them to solving real-world problems.

Researchers often differentiate between “pure” and “applied” research. Presumably, pure research has no direct ends than adding to the knowledge pool, whereas applied research is put toward some practical end, such as working for a marketing firm to understand the relationship between race and consumption patterns or working for a government agency to study the reasons why poverty continues to exist. Of course, the line between pure and applied research is often blurred. For example, “pure” researchers in a university might get government funding to do their research projects, which somewhat complicates their commitment to do pure research. Outside the academic world, sociologists apply their skills in a variety of settings. Here, we will discuss the possibilities of applied sociology and one subfield, clinical sociology.

Sociologists can be found working in a wide range of fields, including organizational planning, development, and training; human resource management; industrial relations; marketing; public relations; organizational research; and international business .In all these instances, they apply sociological theories and methods toward understanding social relations and human behavior to further the goals of the organization they are working under, whether this is a business, a governmental agency, or a non-profit organization.

The Corporate World

Some sociologists find that adapting their sociological training and insights to the business world is relatively easy. Corporations want and need to understand their customers’ habits and preferences in order to anticipate changes in their markets. This drive to understand consumers is called consumer research and is a growing interest of corporations. Sociologists are particularly well suited to apply their quantitative and qualitative understanding of human behavior to this field.

Another budding area in modern retail firms is site selection, or the determination of the best locations for new stores. Site selection requires understanding human ecology and consumer spending patterns, both of which are addressed using the sociological imagination. Some additional direct applications of sociology include concept and product testing (which will put to good use training in research methods), the evaluating of global market opportunities (which will draw upon understandings of various cultures), long-range planning and forecasting (which draws on both statistics and futurist perspectives), marketing and advertising (which applies consumer studies directly), and human resource management (which relies on studies of organizational behavior).

Governmental and International Agencies

Outside of the corporate world, sociology is often applied in governmental and international agencies such as the World Bank or United Nations. For example, a sociologist might work compiling and analyzing quantitative demographic data from the U.S. Census Bureau to understand patterns of population change. Or a sociologist might work for the United Nations to research global health trends and the efficacy of current public health initiatives.

Non-Governmental Organizations

Non-Governmental Organizations (or NGOs) are legally constituted organizations created by private persons or organizations with no participation or representation of any government. Examples of NGOs include Oxfam , Catholic Relief Services , CARE International , and Lutheran World Relief . Many NGOs are concerned with the very social problems and social issues that sociologists study, from poverty to gender stratification to world population growth. Sociologists play important roles in the work of NGO’s from community organizing to direct relief to lobbying, as they are able to apply sociological approaches (for example, the conflict approach) to understand structural patterns that have led to current social problems.

Clinical Sociology

Clinical sociology involves the study of groups of people using learned information in case and care management towards holistic life enrichment or improvement of social and life conditions. A clinical sociologist, who might also be called a sociotherapist or life enrichment therapist, is usually concurrently a member of another relevant profession: medical doctor, psychiatrist, psychologist, nurse, social worker, criminologist, or activity and recreational professionals, among others. Clinical sociologists usually focus on vulnerable population groups, such as children, youths or elderly, and are employed in various settings such as treatment facilities or life care communities like nursing homes. They are directly involved in case management and care planning .

Jane Addams, Applied Sociologist

Jane Addams is considered by many to be one of the earliest sociologists, though her contributions were mostly to the application of sociology to social work.

1.4.4: The Significance of Social Inequality

Sociologists study many types of inequality, including economic inequality, racial/ethnic inequality, and gender inequality.

Learning Objective

Describe different types of social inequality

Key Points

• People experience inequality throughout the life course, beginning in early childhood.
• Inequality early in life can affect life chances for the rest of one’s life.
• Inequality means people have unequal access to scarce and valued resources in society. These resources might be economic or political, such as health care, education, jobs, property and land ownership, housing, and ability to influence government policy.

Key Terms

social stratification

The hierarchical arrangement of social classes, or castes, within a society.

inequality

An unfair, not equal, state.

When we are growing up, we might hear our parents talk about others as being from the “wrong side of the tracks,” or not being “our kind. ” We also become aware of what kind of toys they have (or don’t have), the way others dress, what kind of house they live in, what jobs their parents have, and due to this, some are treated differently and have better opportunities than others. We see differences in elementary schools and high schools in our city. If our parents belong to the upper class, we have a good chance of graduating high school and entering higher education. The more education we have, the more active we will be in political life, the more traditional and conservative our religious affiliation, the more likely we will marry into a family with both economic and social capital, and the more likely we will eat better food, will be less exposed to unhygienic conditions, and be able to pay for good health care. Social stratification and inequality are everywhere and impact us throughout our lives.

Sociology has a long history of studying stratification and teaching about various kinds of inequality, including economic inequality, racial/ethnic inequality, gender inequality, and other types of inequality. Inequality means people have unequal access to scarce and valued resources in society. These resources might be economic or political, such as health care, education, jobs, property and land ownership, housing, and ability to influence government policy.

Statistics on United States and global inequality are alarming. Consider this:

• Just 400 Americans have the same wealth as half of all Americans combined.
• Just 25 Americans have a combined income almost as great as the combined income of 2 billion of the world’s poor.
• In 2007, more than 37 million U.S. citizens, or 12.5% of the population, were classified as poor by the Census Bureau.
• In 2007, CEOs in the Fortune 500 received an average of $10.5 million, 344 times the pay of the average worker.
• Four of the wealthiest people in the world come from one family, the Walton’s. They are the four children who inherited Sam Walton’s company Wal-Mart. Together, they are worth $83.6 billion.
• Half of American children will reside in a household that uses food stamps at some point during childhood.
• Life expectancy in Harlem is shorter than in Bangladesh.

Although inequality is everywhere, there are many controversies and questions about inequality that sociologists are interested in, such as where did inequality come from? Why does it continue? Do we justify inequality? Can we eliminate inequality? Can we make a society in which people are equal? The sociological approach gives us the methodological and theoretical tools to begin to answer these questions.

Cape Verde Water

The water situation in Cape Verde, an island country in the central Atlantic, is a poignant illustration of global social inequality. Most of the population in Cape Verde collects water at public water channels.

Income inequality

This chart shows the proportion of total income that goes to the richest 1% of Americans. After the Great Depression, this proportion fell as New Deal policies helped distribute income more evenly. But since the 1980s, the proportion rose rapidly, so that by 2007, the richest 1% of Americans earned almost a quarter of total income in the United States.

1.4.5: Thinking Globally

Increasingly, sociologists are turning their attention to the world at large and developing theories of global processes.

Learning Objective

Discuss different sociological approaches to the study of global processes

Key Points

• World systems theory refers to the international division of labor among core countries, semi-periphery countries, and periphery countries and argues that inequality among countries comes not from inherent differences but from relationships of domination.
• Sociologists also study the globalization of norms and culture through dynamics such as world society.
• Sociologists may also study globalization from below, or grassroots mobilization, including glocalization and hybridization.
• Sociologists may also study globalization from below, or grassroots mobilization, including glocalization and hybridization.

Key Terms

globalization

A common term for processes of international integration arising from increasing human connectivity and interchange of worldviews, products, ideas, and other cultural phenomena. In particular, advances in transportation and telecommunications infrastructure, including the rise of the Internet, represent major driving factors in globalization and precipitate the further interdependence of economic and cultural activities.

glocalization

The global distribution of a product or service that is tailored to local markets.

international division of labor

The international division of labor is an outcome of globalization. It is the spatial division of labor which occurs when the process of production is no longer confined to national economies.

Examples

• Immanuel Wallerstein intended world systems theory to explain the entirety of world history, but it can also be applied to specific examples. Consider China’s current investments in Africa, which many observers have characterized as neocolonial. Chinese companies have invested in Africa, building infrastructure, hiring workers, and obtaining rights to extract oil and minerals. On the one hand, these investments could be considered free market trade: after all, China has paid for labor and mining rights. On the other hand, these investments can be seen as a relationship of domination. China has more wealth and more power than many African countries. In that sense, African countries are dependent on outside investment. They lack the capital to adequately exploit and market their own resources or to adequately provide for citizens, so they turn to outside investors to develop and extract resources. But the profit from this enterprise flows to China, not Africa. And although Africans may gain some capital from the exchange, they lack the domestic industries to build many of the consumer goods people desire, so much of the capital is returned to China as payment for goods like clothing or electronics. In this example, China is the core country, which gathers resources from and sells goods back to Africa, the periphery.
• John Meyer argued that, in world society, norms and values spread across the globe. Thus, we find similar institutions in far-flung places. But, when norms are cross-applied to new contexts, they may be implemented in strange ways. For example, the value of democracy and the norm of elections has spread widely and elections are now held across the globe. These elections appear similar on the surface: people go to polling places, cast votes, and elect leaders. But on close inspection, superficially similar global practices are inconsistent with local culture. Thus, in traditionally authoritarian countries, leaders may be elected with upwards of 90% of the vote, preserving, in effect, the local tradition of authoritarianism while adopting the global norm of elections.

Thinking Globally

Historically, sociologists have tended to focus their work on individual countries, studying the social processes and structures within a single country. Some current scholars criticize that approach as “methodological nationalism” because it fails to consider the global connections and patterns that shape local and national situations. In addition, sociology has traditionally focused on Western societies, but has recently expanded its focus to non-Western societies. These shifts illustrate the fact that it is no longer possible to study social life without thinking globally. Contemporary societies have become so porous and interconnected (a process that scholars have termed globalization) that to ignore the global patterns would be to present an incomplete picture of any social situation .

Globalization

Global processes touch all corners of the world, including this mall in Jakarta, Indonesia, where the fast-food business model originating in the United States is now a part of everyday life.

World Systems Theory

Thinking globally in sociology could entail a variety of different approaches. Some scholars use world systems theory. World systems theory stresses that the world system (not nation states) should be the basic unit of social analysis. The world-system refers to the international division of labor, which divides the world into core countries, semi-periphery countries, and the periphery countries. Core countries focus on higher-skill, capital-intensive production, and the rest of the world focuses on low-skill, labor-intensive production, and the extraction of raw materials. This constantly reinforces the dominance of the core countries. Nonetheless, the system is dynamic, and individual states can gain or lose their core (semi-periphery, periphery) status over time. For a time, some countries become the world hegemon; throughout the last few centuries, this status has passed from the Netherlands to the United Kingdom and, most recently, to the United States.

The most well-known version of the world system approach has been developed by Immanuel Wallerstein in 1970s and 1980s. Wallerstein traces the rise of the world system from the 15^th century, when the European feudal economy suffered a crisis and was transformed into a capitalist one. Europe (the West) utilized its advantages and gained control over most of the world economy, presiding over the development and spread of industrialization and the capitalist economy, indirectly resulting in unequal development.

Other approaches that fall under world systems theory include dependency theory and neocolonialism. Dependency theory takes the idea of the international division of labor and states that peripheral countries are not poor because they have not adequately developed, but rather are poor because of the very nature of their relationship with core countries. This relationship is exploitative, as the resources needed by peripheral countries to develop are funneled to core countries. Poor countries are thus in a continual state of dependency to rich countries .

Dependency Theory

According to dependency theory, unequal exchange results in the unequal status of countries. Core countries accumulate wealth by gathering resources from and selling goods back to the periphery and semi-periphery.

Neocolonialism (also known as neoimperialism) also argues that poor countries are poor not because of any inherent inadequacy. Neocolonialism emphasizes the unequal relationships between former colonizing countries and colonized regions. Domination (not just economic, but also cultural and linguistic) still continues to occur even though poor countries are no longer colonies.

Global Institutions

The top-down approach is not only used to study the global economy, but also social norms. Sociologists who are interested in global social norms focus their attention on global institutions, such as the United Nations, the World Health Organization, the International Monetary Fund, or various other international organizations, such as human rights groups.

John Meyer, a Stanford sociologist, is one of these. Meyer coined the term “world society” (or “world polity”) to describe scripts, models, and norms for behavior that originate from global institutions and that transcend the nation state. These norms form a global civil society that operates independently of individual nations and to which individual nations often strive to conform in order to be recognized by the international community.

Globalization from Below

Another approach to studying globalization sociologically is to examine on-the-ground processes. Some sociologists study grassroots social movements, such as non-governmental organizations which mobilize on behalf of equality, justice, and human rights. Others study global patterns of consumption, migration, and travel. Still others study local responses to globalization.

Two ideas that have emerged from these studies are glocalization and hybridization. Glocalization was a term coined by a Japanese businessman in the 1980s and is a popular phrase in the transnational business world. It refers to the ability to make a global product fit a local market. Hybridization is a similar idea, emerging from the field of biology, which refers to the way that various sociocultural forms can mix and create a third form which draws from its sources, but is something entirely new.

The possibilities for thinking globally in sociology are as varied as the world we live in: global finance, global technology, global cities, global medicine, global food. The list is endless. If we examine any social situation closely, the global patterns and linkages behind it will undoubtedly emerge.

18.2: Who Makes U.S. Foreign Policy?

18.2.1: The President

Learning Objective

Explain the President’s authority as Commander-in-Chief of the United States

Key Points

• Throughout the course of their time in office, most presidents gravitate towards foreign policy. It is often argued that the president has more autonomy in foreign policy as compared to domestic policy.
• The president is commander-in-chief of the armed forces, but only Congress has authority to declare war and provide funding. The War Powers Act attempted to limit the president’s war-waging powers.
• The president has the power to make treaties, with a two-thirds vote of the Senate, and has the power to make international agreements.
• The president is the chief diplomat as head of state. The president can also influence foreign policy by appointing US diplomats and foreign aid workers.

Key Terms

congressional-executive agreements

An accord made by joint authority of the Congress and the President covering areas of International Law that are not within the ambit of treaties.

War Powers Act

A federal law intended to check the President’s power to commit the United States to an armed conflict without the consent of Congress.

treaty

A binding agreement under international law concluded by subjects of international law, namely states and international organizations.

Example

• Sometimes, presidents amass several different ways of authorizing the use of force. In his last press conference before the start of the invasion of Iraq in 2003, President Bush invoked the congressional authorization of force, UN resolutions, and the inherent power of the president to protect the United States derived from his oath of office.

The President’s Influence on US Foreign Policy

Presidents have more power and responsibility in foreign and defense policy than in domestic affairs. They are the commanders in chief of the armed forces; they decide how and when to wage war. As America’ chief diplomat, the president has the power to make treaties to be approved by the Senate. And as head of state, the president speaks for the nation to other world leaders and receives ambassadors.

Presidents almost always point to foreign policy as evidence of their term’s success. Domestic policy wonk Bill Clinton metamorphosed into a foreign policy enthusiast from 1993 to 2001. Even prior to 9/11, the notoriously untraveled George W. Bush underwent the same transformation. President Obama has been just as involved, if not more, in foreign policy than his predecessors. Congress—as long as it is consulted—is less inclined to challenge presidential initiatives in foreign policy than in domestic policy. The idea that the president has greater autonomy in foreign than domestic policy is known as the “Two Presidencies Thesis.”

The President and Waging War

The President is the Commander-in-Chief of the United States Armed Forces and as such has broad authority over the armed forces. However, only Congress has authority to declare war and decide the civilian and military budget.

War powers provide a key avenue for presidents to act in foreign policy. After the 9/11 attacks, President Bush’s Office of Legal Counsel argued that as commander in chief President Bush could do what was necessary to protect the American people. Since World War II, presidents have never asked Congress for (or received) a declaration of war. Instead, they relied on open-ended congressional authorizations to use force, United Nations resolutions, North American Treaty Organization (NATO) actions, and orchestrated requests from tiny international organizations like the Organization of Eastern Caribbean States.

Congress can react against undeclared wars by cutting funds for military interventions. Such efforts are time consuming and not in place until long after the initial incursion. Congress’s most concerted effort to restrict presidential war powers, the War Powers Act, passed despite President Nixon’s veto in 1973. It was established to limit presidential war powers, but it gave presidents the right to commit troops for sixty days with only the conditions being to consult with and report to Congress—conditions presidents often feel free to ignore. Since Vietnam, the act has done little to prevent presidents from unilaterally launching invasions.

President Obama did not seek congressional authorization before ordering the US military to join attacks on the Libyan air defenses and government forces in March 2011. After the bombing campaign started, Obama sent Congress a letter contending that as Commander-in-Chief he had constitutional authority for the attacks. White House lawyers used the distinction between “limited military operation” and “war” to justify this.

The President, Treaties, and Agreements

Article II, Section 2 of the United States Constitution grants power to the president to make treaties with the “advice and consent” of two-thirds of the Senate. This is different from normal legislation which requires approval by simple majorities in both the Senate and the House of Representatives. .

President Wilson

Wilson had disagreements with Congress over how the peace treaty ending World War I should be handled. Presidents often have a wide range of influence on US foreign policy.

Throughout U.S. history, the President has also made international “agreements” through congressional-executive agreements (CEAs) that are ratified with only a majority from both houses of Congress, or sole-executive agreements made by the President alone. The Supreme Court of the United States has considered congressional-executive and sole-executive agreements to be valid, and they have been common throughout American history.

The President and Diplomacy

Another section of the Constitution that gives the president power over foreign affairs is Article II, Section 2, Clause 2 of the United States Constitution, known as the Appointments Clause. This clause empowers the President to appoint certain public officials with the “advice and consent” of the Senate. This clause also allows lower-level officials to be appointed without the advice and consent process. Thus, the President is responsible for the appointment of both upper- and lower-level diplomats and foreign-aid workers.

For example, the United States Secretary of State is the Foreign Minister of the United States and the primary conductor of state-to-state diplomacy. Both the Secretary of State and ambassadors are appointed by the President, with the advice and consent of the Senate .

Hillary Rodham Clinton

Hillary Clinton served as Secretary of State, which is the US’s Foreign Minister. The President has the power to appoint diplomats (such as the Secretary of State), giving him or her substantial influence in US foreign policy.

As head of state, the President serves as the nation’s top diplomat. Presidents are often depicted as speaking for and symbolically embodying the nation: giving a State of the Union address, welcoming foreign leaders, traveling abroad, or representing the United States at an international conference. All of these duties serve an important function in US foreign policy.

18.2.2: The Cabinet

Learning Objective

Compare and contrast the roles of the Secretary of State and Secretary of Defense in U.S. foreign policy

Key Points

• The secretary of state assists the president in foreign affairs and advises him on representatives and international relations.
• The secretary of defense, among other things, advises the president on military affairs and hot spots throughout the world.
• Since 9/11 many functions of the secretary of state has been shifted to other departments so the secretary can focus on pressing foreign matters.

Key Term

commander-in-chief

A commander-in-chief is the person exercising supreme command authority over a nation’s military forces or significant element of those forces.

The presidential cabinet has several secretaries who aid the president in foreign affairs. This includes the secretary of state and the secretary of defense.

The United States Secretary of State is the head of the United States Department of State, which is concerned with foreign affairs. The Secretary is a member of the cabinet and the highest-ranking cabinet secretary both in line of succession and order of precedence. The current Secretary of State is John Kerry, the 68^th person to hold the post. The specific duties of the Secretary of State include:

• Organizes and supervises the entire United States Department of State and the United States Foreign Service.
• Advises the President on matters relating to U.S. foreign policy, including the appointment of diplomatic representatives to other nations, and on the acceptance or dismissal of representatives from other nations.
• Participates in high-level negotiations with other countries, either bilaterally or as part of an international conference or organization, or appoints representatives to do so. This includes the negotiation of international treaties and other agreements.
• Responsible for overall direction, coordination, and supervision of interdepartmental activities of the U.S. Government overseas.
• Provides information and services to U.S. citizens living or traveling abroad. Also provides credentials in the form of passports and visas.
• Supervises the United States immigration policy at home and abroad.
• Communicates issues relating the United States foreign policy to Congress and U.S. citizens.

Most of the domestic functions of the Department of State have been transferred to other agencies. Those that remain include storage and use of the Great Seal of the United States, performance of protocol functions for the White House, and the drafting of certain proclamations. The Secretary also negotiates with the individual states over the extradition of fugitives to foreign countries. Under Federal Law, the resignation of a President or of a Vice-President is only valid if declared in writing in an instrument delivered to the office of the Secretary of State. Accordingly, the resignations of President Nixon and of Vice-President Spiro Agnew, domestic issues, were formalized in instruments delivered to the Secretary of State.

As the highest-ranking member of the cabinet, the Secretary of State is the third-highest official of the executive branch of the Federal Government of the United States, after the President and Vice President. The Secretary of State is fourth in line to succeed the Presidency, coming after the Vice President, the Speaker of the House of Representatives, and the President Pro Tempore of the Senate. Six Secretaries of State have gone on to be elected President.

As the head of the United States Foreign Service, the Secretary of State is responsible for managing the diplomatic service of the United States. The foreign service employs about 12,000 people domestically and internationally. It supports 265 United States Diplomatic missions around the world, including ambassadors to various nations.

The Secretary of Defense is the head and chief executive officer of the Department of Defense, which is an Executive Department of the Government of the United States of America . This position corresponds to what is generally known as a defense Minister in many other countries. The Secretary of Defense is appointed by the president with the advice and consent of the senate. The individual is by custom a member of the cabinet and by law a member of the National Security Council.

Flag of the Secretary of Defense

The flag of the secretary of defense.

Secretary of Defense is a statutory office. It is the general provision in administrative law that provides that the Secretary of Defense has “authority, direction and control over the Department of Defense. ” The Secretary of Defense is further designated by the same statute as “the principal assistant to the President in all matters relating to the Department of Defense. ” Ensuring civilian control of the military, an individual may not be appointed as Secretary of Defense within seven years after relief from active duty as a commissioned officer of a regular (i.e., non-reserve) component of an armed force.

The Secretary of Defense is in the chain of command and exercises command and control, subject only to the orders of the President, over all Department of Defense forces (Army, Navy, Air Force, and Marine Corps) for both operational and administrative purposes. Only the Secretary of Defense (or the President) can authorize the transfer of operational control of forces between the three Military Departments and between the combatant commands. Because the Office of Secretary of Defense is vested with legal powers which exceeds those of any commissioned officer, and is second only to the Office of President in the military hierarchy, it has sometimes unofficially been referred to as a de facto “deputy commander-in-chief. ” The Chairman of the Joint Chiefs of Staff is the principal military adviser to the Secretary of Defense and the President. While the Chairman may assist the Secretary and President in their command functions, the Chairman is not in the chain of command.

18.2.3: The Bureaucracy

Learning Objective

Compare and contrast the roles of the State Department, the Defense Department, and the Central Intelligence Agency in shaping U.S. foreign policy.

Key Points

• The State Department’s responsibilities include protecting and assisting U.S. citizens living or traveling abroad; assisting U.S. businesses in the international marketplace; and coordinating and providing support for international activities of other U.S. agencies.
• The Department of Defense is the executive department of the U.S. government concerned directly with national security and the U.S. armed forces.
• The Central Intelligence Agency (CIA) is an independent civilian intelligence agency of the U.S. government that provides national security intelligence assessments to senior U.S. policymakers.

Key Terms

tactical

of, or relating to military operations that are smaller or more local than strategic ones

diplomatic immunity

A diplomat’s immunity to prosecution and/or litigation under local law.

There are several bureaucratic organizations that are actively involved in shaping U.S. foreign policy. Prominent among them are the State Department, the Defense Department, and the Central Intelligence Agency.

The United States Department of State (DoS), often referred to as the State Department, is the U.S. federal executive department responsible for the international relations of the United States, equivalent to the foreign ministries of other countries. The Department was created in 1789 and was the first executive department established. The Department is led by the Secretary of State, who is nominated by the President, confirmed by the Senate, and is a member of the Cabinet. As stated by the Department of State, its purpose includes:

U.S. State Department

The State Department is one bureaucratic agency that shapes U.S. foreign policy

• Protecting and assisting U.S. citizens living or traveling abroad;
• Assisting U.S. businesses in the international marketplace;
• Coordinating and providing support for international activities of other U.S. agencies (local, state, or federal government), official visits overseas and at home, and other diplomatic efforts.
• Keeping the public informed about U.S. foreign policy and relations with other countries and providing feedback from the public to administration officials.
• Providing automobile registration for non-diplomatic staff vehicles and the vehicles of diplomats of foreign countries having diplomatic immunity in the United States

The Department of Defense (also known as the Defense Department, USDOD, DOD, DoD or the Pentagon) is the executive department of the U.S. government charged with coordinating and supervising all agencies and functions of the government concerned directly with national security and the U.S. armed forces. The Department – headed by the Secretary of Defense – has three subordinate military departments: the Department of the Army, the Department of the Navy, and the Department of the Air Force. The Military Departments are each headed by their own Secretary, appointed by the President, with the advice and consent of the Senate.

The Central Intelligence Agency (CIA) is an independent civilian intelligence agency of the U.S. government. It is an executive agency that reports directly to the Director of National Intelligence with responsibility for providing national security intelligence assessments to senior U.S. policymakers. Intelligence-gathering, a core function of the agency, is performed by non-military commissioned civilian intelligence agents, many of whom are trained to avoid tactical situations. The CIA also oversees and sometimes engages in tactical and covert activities at the request of the U.S. President. Often, when such field operations are organized, the U.S. military or other warfare tacticians carry these tactical operations out on behalf of the agency while the CIA oversees them.

18.2.4: Congress

Learning Objective

Evaluate the War Powers Clause and how the United States’ process of declaring and entering into war has changed over time, identifying the general role that Congress plays in making and coordinating foreign policy

Key Points

• The War Power clause states that only Congress can declare war. This has been evoked five times in American history.
• Sometimes, this clause directly conflicts with what the president wants to do. As a result, the president will create a “police action” in a hostile territory instead of declaring war.
• Trade is also an important policy-making tool. Congress has the power to regulate foreign trade.

Key Term

police action

Police action in military/security studies and international relations is a euphemism for a military action undertaken without a formal declaration of war.

Congress is given several powers to engage in foreign policy, but also to check the president’s actions foreign policy, especially in the event of war. Perhaps the most important powers are in the War Power Clause which was given to Congress in the Constitution and Foreign Commerce Clause. This clause provides Congress with the power to regulate commerce overseas. Five wars have been declared under the Constitution: the War of 1812, the Mexican-American War, the Spanish-American War, World War I, and World War II.

In the instance of the Mexican-American War, President James Polk explained that Texas was about to become a part of United States of America. Mexico threatened to invade Texas. The President gathered troops near Corpus Christi. U.S. troops moved into an area in which the new international boundary was being disputed. Mexican troops moved into the same area and the two forces clashed. The President claimed that Mexico had passed the boundary into the United States. Some individuals in Congress, including Abraham Lincoln, wondered if this was true.

However, U.S. presidents have not sought formal declarations of war often. Instead, they maintain that they have the Constitutional authority, as commander in chief to use the military for “police actions. ” According to historian Thomas Woods, “Ever since the Korean, Article II, Section 2 of the Constitution — which refers to the president as the ‘Commander in Chief of the Army and Navy of the United States’ — has been interpreted to mean that the president may act with an essentially free hand in foreign affairs, or at the very least that he may send men into battle without consulting Congress. ” Some people have argued this could pass as offensive actions, although historically police actions fell mostly under the purview of protecting embassies, U.S. citizens overseas, and shipping such as the quasi war.

The Korean War was the first modern example of the U.S. going to war without a formal declaration. This has been repeated in every armed conflict since that time. However, beginning with the Vietnam, Congress has given other forms of authorizations to declare war . Some debate continues about whether the actions are appropriate. The tendency of the Executive Branch to engage in the origination of such a push, its marketing, and even propagandizing or related activities to generate such support is also highly debated.

Johnson and His Advisors

Johnson being shown a map of an area in Vietnam. The police action spiraled into a war-like situation quickly, although it was one war never waged by Congress.

Therefore, in light of the speculation concerning the Gulf of Tonkin and the possible abuse of the authorization that followed, Congress passed the War Powers Resolution in 1973. It requires the president to obtain either a declaration of war or a resolution authorizing the use of force from Congress within 60 days of initiating hostilities with a full disclosure of facts in the process. The constitutionality of the resolution has never been settled. Some presidents have criticized it as an unconstitutional encroachment upon the president.

Some legal scholars maintain that offensive, non-police military actions, while a quorum can still be convened, taken without a formal Congressional declaration of war is unconstitutional. They believe this because no amendment with two-thirds majority of states has changed the original intent to make the War Powers Resolution legally binding. However, the Supreme Court has never ruled directly on the matter and to date no counter-resolutions have come to a vote. This separation of powers stalemate effect creates a “functional,” if not unanimous, governmental opinion and outcome on the matter.

The Commerce Clause in the Constitution also give Congress the power to regulate trade between nations. The Commerce Clause is an enumerated list in the United States Constitution. The clause states that the United States Congress shall have power “to regulate Commerce with foreign Nations, and among the several States, and with the Indian Tribes. ” These powers are sometimes discussed as separate powers, but they are essentially important because trade is considered to be an important form of economic diplomacy between the United States and foreign nations.

18.2.5: Interest Groups

Learning Objective

Illustrate how interest groups influence U.S. foreign policy

Key Points

• In order to build and maintain their influence, they use tactics such as framing the issue and shaping the terms of debate, offering information and analysis to elected representatives, and monitoring the policy process and reacting to it.
• Foreign policy interest groups often overlap with so-called “ethnic” interest groups, as they try to influence the foreign policy of the United States for the benefit of the foreign “ethnic kin” or homeland with whom respective ethnic groups identify.
• Though ethnic interest groups have existed for many decades, they have become a particularly influential phenomenon since the end of the Cold War.

Key Term

advocacy

The act of arguing in favor of, or supporting something.

Foreign policy interest groups, which are domestic advocacy organizations seeking to directly or indirectly influence the government’s foreign policy, are a key player in U.S. foreign policy.

According to U.S. scholar John Dietrich, these interest groups have mobilized to represent a diverse array of business, labor, ethnic, human rights, environmental, and other organizations. In order to build and maintain their influence, they use tactics, such as framing the issue and shaping the terms of debate; offering information and analysis to elected representatives (who may not have the time to research the issue himself or herself); and monitoring the policy process and reacting to it through disseminating supplementary information, letter-writing campaigns, calling for additional hearings or legislation, and supporting or opposing candidates during elections.

Foreign policy interest groups often overlap with so-called “ethnic” interest groups, as they try to influence the foreign policy and, to a lesser extent, the domestic policy of the United States for the benefit of the foreign “ethnic kin” or homeland with whom respective ethnic groups identify. Though ethnic interest groups have existed for many decades, they have become a particularly influential phenomenon since the end of the Cold War.

According to political scientist Thomas Ambrosio, this is a result of growing acceptance that ethnic identity groups have the right to mobilize politically for the purpose of influencing U.S. policies at home and abroad. Prominent examples of these organizations include the American Israel Public Affairs Committee, the Cuban American National Foundation, the Armenian Assembly of America, the U.S.-India Political Action Committee, and the National Iranian American Council.

the American Israel Public Affairs Committee

The American Israel Public Affairs Committee is a prominent foreign policy interest group

18.2.6: The Media

Learning Objective

Explain the media’s role in setting the agenda for foreign policy debate

Key Points

• The media is most influential when it covers foreign policy that directly affects Americans, especially affairs with which Americans are not acquainted.
• Vietnam was a time when many people watched the horrors of war on television. This helped the popularity of the war sink.
• After these viewings, the military founds itself involved in politics and having to do damage control to ease the public’s and the politicians’ concerns.

Key Terms

media bias

A bias in journalistic reporting, in programming selection, etc., in mass communications media.

media

Means and institutions for publishing and broadcasting information.

Agenda-Setting in Foreign Policy

One way in which the media could set the agenda is if it is in an area in which very few Americans have direct knowledge of the issues. This applies to foreign policy. When American military personnel are involved, the media needs to report because the personnel are related to the American public. The media is also likely to have an interest in reporting issues that have substantial effects on American workers, such as major trade agreements with Mexico during the NAFTA negotiations in the 1990’s.

David McKay, author of American Politics and Society, lists as one of the three main distortions of information by the media, “Placing high priority on American news to the detriment of foreign news. And when the U.S. is engaged in military action abroad, this ‘foreign news’ crowds out other foreign news. “

News Media and the Vietnam War

In the media’s most famous case in involvement on foreign affairs was its involvement in the Vietnam War. From 40 press corpsmen in 1964, the number in South Vietnam had grown to 282 by January 1966. By August that number had jumped to 419. Of the 282 at the beginning of the year, only 110 were Americans. 67 were South Vietnamese, 26 Japanese, 24 British, 13 Korean, 11 French, and seven German. The media caught many combat events, usually on live television, which prompted many American citizens to be concerned about foreign policy .

Soldier in Vietnam

Graphics like this helped contribute to Americans’ concern over foreign policy in Vietnam.

The U.S. Mission and the MACV (Military Assistance Command) also installed an “information czar,” the U.S. Mission’s Minister-Counselor for Public Affairs, Barry Zorthian, advised General William Westmoreland on public affairs matters. He had theoretical responsibility under the ambassador for the development of all information policy. He maintained liaison between the embassy, MACV, and the press; publicized information to refute erroneous and misleading news stories; and sought to assist the Saigon correspondents in covering the side of the war most favorable to the policies of the U.S. government. Zorthian possessed both experience with the media and a great deal of patience and tact while maintaining reasonably good relations with the press corps. Media correspondents were invited to attend nightly MACV briefings covering the day’s events that became known as the “Five O’Clock Follies. ” Most correspondents considered these briefings to be a waste of time. The Saigon bureau chiefs were also often invited to closed sessions at which presentations would be made by a briefing officer, the CIA station chief, or an official from the embassy who would present background or off-the-record information on upcoming military operations or Vietnamese political events.

According to Daniel Hallin, the dramatic structure of the uncensored “living room war” as reported during 1965–1967 remained simple and traditional: “the forces of good were locked in battle once again with the forces of evil. What began to change in 1967 was the conviction that the forces of good would inevitably prevail. ” During late 1967 the MACV had also begun to disregard the decision it had made at the Honolulu Conference that the military should leave the justification of the war to elected officials in Washington. The military found itself drawn progressively into politics, to the point that it had become as involved in “selling” the war to the American public as the political appointees it served. This change would have far-reaching detrimental effects.

Media Bias

A self-described liberal media watchdog group, Fairness and Accuracy in Reporting (FAIR), in consultation with the Survey and Evaluation Research Laboratory at Virginia Commonwealth University, sponsored an academic study in which journalists were asked a range of questions about how they did their work and about how they viewed the quality of media coverage in the broad area of politics and economic policy. “They were asked for their opinions and views about a range of recent policy issues and debates. Finally, they were asked for demographic and identifying information, including their political orientation.” They then compared to the same or similar questions posed with “the public” based on Gallup, and Pew Trust polls. Their study concluded that a majority of journalists, although relatively liberal on social policies, were significantly to the right of the public on economic, labor, health care, and foreign policy issues.

18.3: The History of American Foreign Policy

18.3.1: Isolationism

Isolationism or non-interventionism was a tradition in America’s foreign policy for its first two centuries.

Learning Objective

Explain the historical reasons for American isolationism in foreign affairs

Key Points

• President George Washington established non-interventionism in his farewell address, and this policy was continued by Thomas Jefferson.
• The United States policy of non-intervention was maintained throughout most of the nineteenth century. The first significant foreign intervention by the United States was the Spanish-American War, which saw it occupy and control the Philippines.
• In the wake of the First World War, the non-interventionist tendencies of U.S. foreign policy were in full force. First, the United States Congress rejected President Woodrow Wilson’s most cherished condition of the Treaty of Versailles, the League of Nations.
• The near total humiliation of Germany in the wake of World War I, laid the groundwork for a pride-hungry German people to embrace Adolf Hitler’s rise to power. Non-intervention eventually contributed to Hitler’s rise to power in the 1930s.

Key Terms

isolationism

The policy or doctrine of isolating one’s country from the affairs of other nations by declining to enter into alliances, foreign economic commitments, foreign trade, international agreements, etc..

brainchild

A creation, original idea, or innovation, usually used to indicate the originators

non-interventionism

Non-interventionism, the diplomatic policy whereby a nation seeks to avoid alliances with other nations in order to avoid being drawn into wars not related to direct territorial self-defense, has had a long history in the United States.

Background

For the first 200 years of United States history, the national policy was isolationism and non-interventionism. George Washington’s farewell address is often cited as laying the foundation for a tradition of American non-interventionism: “The great rule of conduct for us, in regard to foreign nations, is in extending our commercial relations, to have with them as little political connection as possible. Europe has a set of primary interests, which to us have none, or a very remote relation. Hence she must be engaged in frequent controversies the causes of which are essentially foreign to our concerns. Hence, therefore, it must be unwise in us to implicate ourselves, by artificial ties, in the ordinary vicissitudes of her politics, or the ordinary combinations and collisions of her friendships or enmities.”

No Entangling Alliances in the Nineteenth Century

President Thomas Jefferson extended Washington’s ideas in his March 4, 1801 inaugural address: “peace, commerce, and honest friendship with all nations, entangling alliances with none. ” Jefferson’s phrase “entangling alliances” is, incidentally, sometimes incorrectly attributed to Washington.

Non-interventionism continued throughout the nineteeth century. After Tsar Alexander II put down the 1863 January Uprising in Poland, French Emperor Napoleon III asked the United States to “join in a protest to the Tsar. ” Secretary of State William H Seward declined, “defending ‘our policy of non-intervention — straight, absolute, and peculiar as it may seem to other nations,'” and insisted that “the American people must be content to recommend the cause of human progress by the wisdom with which they should exercise the powers of self-government, forbearing at all times, and in every way, from foreign alliances, intervention, and interference. “

The United States’ policy of non-intervention was maintained throughout most of the nineteenth century. The first significant foreign intervention by the United States was the Spanish-American War, which saw the United States occupy and control the Philipines.

Twentieth Century Non-intervention

Theodore Roosevelt’s administration is credited with inciting the Panamanian Revolt against Colombia in order to secure construction rights for the Panama Canal, begun in 1904. President Woodrow Wilson, after winning re-election with the slogan, “He kept us out of war,” was nonetheless compelled to declare war on Germany and so involve the nation in World War I when the Zimmerman Telegram was discovered. Yet non-interventionist sentiment remained; the U.S. Congress refused to endorse the Treaty of Versailles or the League of Nations.

Non-Interventionism between the World Wars

In the wake of the First World War, the non-interventionist tendencies of U.S. foreign policy were in full force . First, the United States Congress rejected president Woodrow Wilson’s most cherished condition of the Treaty of Versailles, the League of Nations. Many Americans felt that they did not need the rest of the world, and that they were fine making decisions concerning peace on their own. Even though “anti-League” was the policy of the nation, private citizens and lower diplomats either supported or observed the League of Nations. This quasi-isolationism shows that the United States was interested in foreign affairs but was afraid that by pledging full support for the League, it would lose the ability to act on foreign policy as it pleased.

Wake Up America!

At the dawn of WWI, posters like this asked America to abandon its isolationist policies.

Although the United States was unwilling to commit to the League of Nations, they were willing to engage in foreign affairs on their own terms. In August 1928, 15 nations signed the Kellogg-Briand Pact, brainchild of American Secretary of State Frank Kellogg and French Foreign Minister Aristride Briand. This pact that was said to have outlawed war and showed the United States commitment to international peace had its semantic flaws. For example, it did not hold the United States to the conditions of any existing treaties, it still allowed European nations the right to self-defense, and stated that if one nation broke the pact, it would be up to the other signatories to enforce it. The Kellogg-Briand Pact was more of a sign of good intentions on the part of the United States, rather than a legitimate step towards the sustenance of world peace.

Non-interventionism took a new turn after the Crash of 1929. With the economic hysteria, the United States began to focus solely on fixing its economy within its borders and ignored the outside world. As the world’s democratic powers were busy fixing their economies within their borders, the fascist powers of Europe and Asia moved their armies into a position to start World War II. With military victory came the spoils of war –a very draconian pummeling of Germany into submission, via the Treaty of Versailles. This near-total humiliation of Germany in the wake of World War I, as the treaty placed sole blame for the war on the nation, laid the groundwork for a pride-hungry German people to embrace Adolf Hitler’s rise to power.

18.3.2: World War I and the League of Nations

The League of Nations was created as an international organization after WWI.

Learning Objective

Explain the historical rise and fall of the League of Nations after World War I

Key Points

• The League of Nations was suggested in Wilson’s 14 points.
• The League of Nations’ functions included arbitration and peace-keeping. However, it did not have an army to enforce power.
• The League of Nations was the precursor to the United Nations.

Key Terms

arbitration

A process through which two or more parties use an arbitrator or arbiter (an impartial third party) in order to resolve a dispute.

World Trade Organization

an international organization designed by its founders to supervise and liberalize international trade

disarmament

The reduction or the abolition of the military forces and armaments of a nation, and of its capability to wage war

intergovernmental

Of, pertaining to, or involving two or more governments

An Early Attempt at International Organization

The League of Nations was an intergovernmental organization founded as a result of the Paris Peace Talks that ended the First World War. The form and ideals were drawn to some extent from US President Woodrow Wilson’s 14 Points. The League was the first permanent international organization whose principal mission was to maintain world peace. Its primary goals, as stated in its Covenant, included preventing wars through collective security and disarmament, and settling international disputes through negotiation and arbitration. Other issues in this and related treaties included labor conditions, just treatment of native inhabitants, human and drug trafficking, arms trade, global health, prisoners of war, and protection of minorities in Europe. At the height of its development, from 28 September 1934 to 23 February 1935, it had 58 member nations.

Map of League of Nations

The countries on the map represent those that have been involved with the League of Nations.

A Lack of Leverage

The diplomatic philosophy behind the League represented a fundamental shift from the preceding hundred years. The League lacked its own armed force, and depended on the Great powers to enforce its resolutions, keep to its economic sanctions, or provide an army when needed. However, the Great Powers were often reluctant to do so. Sanctions could hurt League members, so they were reluctant to comply with them.

Failure of the League

After a number of notable successes and some early failures in the 1920s, the League ultimately proved incapable of preventing aggression by the Axis powers. In the 1930s, Germany withdrew from the League, as did Japan, Italy, Spain, and others. The onset of World War II showed that the League had failed its primary purpose, which was to prevent any future world war. The United Nations (UN) replaced it after the end of the war and inherited a number of agencies and organizations founded by the League.

18.3.3: World War II

Although isolationists kept the U.S. out of WWII for years, the interventionists eventually had their way and the U.S. declared war in 1941.

Learning Objective

Compare and contrast the arguments made by interventionists and non-interventionists with respect to American involvement in World War II

Key Points

• Fascism was becoming a growing fear in the United States, and after Germany invaded Poland, many wondered if the US should intervene.
• Many famous public figures called for isolationism, such as professors and even Charles Lindburg.
• The Lend Lease program was a way to ease into interventionism, though the US stayed out militarily.

Key Term

Neutrality Act

The Neutrality Acts were passed by the United State Congress in the 1930’s and sought to ensure that the US would not become entangled again in foreign conflicts.

As Europe moved closer and closer to war in the late 1930s, the United States Congress was doing everything it could to prevent it. Between 1936 and 1937, much to the dismay of the pro-British President Roosevelt, Congress passed the Neutrality Acts. In the final Neutrality Act, Americans could not sail on ships flying the flag of a belligerent nation or trade arms with warring nations, potential causes for U.S. entry into war.

On September 1, 1939, Germany invaded Poland, and Britain and France subsequently declared war on Germany, marking the start of World War II . In an address to the American people two days later, President Roosevelt assured the nation that he would do all he could to keep them out of war. However, he also said: “When peace has been broken anywhere, the peace of all countries everywhere is in danger. “

germany invades poland

Germany invading Poland caused the United States to reconsider intervening.

The war in Europe split the American people into two distinct groups: non-interventionists and interventionists. The basic principle of the interventionist argument was fear of German invasion. By the summer of 1940, France had fallen to the Germans, and Britain was the only democratic stronghold between Germany and the United States. Interventionists were afraid of a world after this war, a world where they would have to coexist with the fascist power of Europe. In a 1940 speech, Roosevelt argued, “Some, indeed, still hold to the now somewhat obvious delusion that we … can safely permit the United States to become a lone island … in a world dominated by the philosophy of force. ” A national survey found that in the summer of 1940, 67% of Americans believed that a German-Italian victory would endanger the United States, that if such an event occurred 88% supported “arm[ing] to the teeth at any expense to be prepared for any trouble”, and that 71% favored “the immediate adoption of compulsory military training for all young men.”

Ultimately, the rift between the ideals of the United States and the goals of the fascist powers is what was at the core of the interventionist argument. “How could we sit back as spectators of a war against ourselves? ” writer Archibald MacLeish questioned. The reason why interventionists said we could not coexist with the fascist powers was not due to economic pressures or deficiencies in our armed forces, but rather because it was the goal of fascist leaders to destroy the American ideology of democracy. In an address to the American people on December 29, 1940, President Roosevelt said, “…the Axis not merely admits but proclaims that there can be no ultimate peace between their philosophy of government and our philosophy of government.”

However, there were still many who held on to the age-old tenets of non-interventionism. Although a minority, they were well organized, and had a powerful presence in Congress. Non-interventionists rooted a significant portion of their arguments in historical precedent, citing events such as Washington’s farewell address and the failure of World War I. In 1941, the actions of the Roosevelt administration made it clearer and clearer that the United States was on its way to war. This policy shift, driven by the President, came in two phases. The first came in 1939 with the passage of the Fourth Neutrality Act, which permitted the United States to trade arms with belligerent nations, as long as these nations came to America to retrieve the arms and paid for them in cash. This policy was quickly dubbed “Cash and Carry. ” The second phase was the Lend-Lease Act of early 1941. This act allowed the President “to lend, lease, sell, or barter arms, ammunition, food, or any ‘defense article’ or any ‘defense information’ to ‘the government of any country whose defense the President deems vital to the defense of the United States.’ He used these two programs to side economically with the British and the French in their fight against the Nazis.

On December 7, 1941, Japan attacked the American fleet at Pearl Harbor, Hawaii. The attack was intended as a preventive action in order to keep the U.S. Pacific Fleet from interfering with military actions the Empire of Japan was planning in Southeast Asia against overseas territories of the United Kingdom, the Netherlands, and the United States. The following day, the United States declared war on Japan. Domestic support for non-interventionism disappeared. Clandestine support of Britain was replaced by active alliance. Subsequent operations by the U.S. prompted Germany and Italy to declare war on the U.S. on December 11, which was reciprocated by the U.S. the same day.

During the final stages of World War II in 1945, the United States conducted atomic bombings of the cities of Hiroshima and Nagasaki in Japan. These two events represent the only use of nuclear weapons in war to date.

18.3.4: Interventionism

After WWII, the US’s foreign policy was characterized by interventionism, which meant the US was directly involved in other states’ affairs.

Learning Objective

Define interventionism and its relation to American foreign policy

Key Points

• In the period between World War I and World War II, the US’s foreign policy was characterized by isolationism, which meant it preferred to be isolated from the affairs of other countries.
• The ideological goals of the fascist powers in Europe during World War II and the growing aggression of Germany led many Americans to fear for the security of their nation, and thus call for an end to the US policy of isolationism.
• In the early 1940s, US policies such as the Cash and Carry Program and the Lend-Lease Act provided assistance to the Allied Powers in their fight against Germany. This growing involvement by the US marked a move away from isolationist tendencies towards interventionism.
• After World War II, the US became fully interventionist. US interventionism was motivated primarily by the goal of containing the influence of communism, and essentially meant the US was now a leader in global security, economic, and social issues.

Key Terms

interventionism

The political practice of intervening in a sovereign state’s affairs.

isolationism

The policy or doctrine of isolating one’s country from the affairs of other nations by declining to enter into alliances, foreign economic commitments, foreign trade, international agreements, etc..

Abandoning Isolationism

As the world was quickly drawn into WWII, the United States’ isolationist policies were replaced by more interventionism. In part, this foreign policy shift sprung from Euro-American relations and public fear.

On September 1, 1939, Germany invaded Poland; Britain and France subsequently declared war on Germany, marking the start of World War II. In an address to the American People two days later, President Roosevelt assured the nation that he would do all he could to keep them out of war. However, even though he was intent on neutrality as the official policy of the United States, he still echoed the dangers of staying out of this war. He also cautioned the American people to not let their wish to avoid war at all costs supersede the security of the nation.

The war in Europe split the American people into two distinct groups: non-interventionists and interventionists. The two sides argued over America’s involvement in this Second World War. The basic principle of the interventionist argument was fear of German invasion. By the summer of 1940, France had fallen to the Germans, and Britain was the only democratic stronghold between Germany and the United States. Interventionists feared that if Britain fell, their security as a nation would shrink immediately. A national survey found that in the summer of 1940, 67% of Americans believed that a German-Italian victory would endanger the United States, that if such an event occurred 88% supported “arm[ing] to the teeth at any expense to be prepared for any trouble”, and that 71% favored “the immediate adoption of compulsory military training for all young men”.

Ultimately, the ideological rift between the ideals of the United States and the goals of the fascist powers is what made the core of the interventionist argument.

Moving Towards War

As 1940 became 1941, the actions of the Roosevelt administration made it more and more clear that the United States was on a course to war. This policy shift, driven by the President, came in two phases. The first came in 1939 with the passage of the Fourth Neutrality Act, which permitted the United States to trade arms with belligerent nations, as long as these nations came to America to retrieve the arms, and pay for them in cash. This policy was quickly dubbed ‘Cash and Carry.’ The second phase was the Lend-Lease Act of early 1941 . This act allowed the President “to lend, lease, sell, or barter arms, ammunition, food, or any ‘defense article’ or any ‘defense information’ to ‘the government of any country whose defense the President deems vital to the defense of the United States.’ He used these two programs to side economically with the British and the French in their fight against the Nazis.

President Roosevelt signing the Lend-Lease Act

The Lend Lease Act allowed the United States to tip-toe from isolationism while still remaining militarily neutral.

Policies of Interventionism

After WWII, the United States took a policy of interventionism in order to contain communist influence abroad. Such forms of interventionism included giving aid to European nations to rebuild , having an active role in the UN, NATO, and police actions around the world, and involving the CIA in several coup take overs in Latin America and the Middle East. The US was not merely non-isolationist (i.e. the US was not merely abandoning policies of isolationism), but actively intervening and leading world affairs.

Marshall Plan and US Interventionism

After WWII, the US’s foreign policy was characterized by interventionism. For example, immediately after the end of the war, the US supplied Europe with monetary aid in hopes of combating the influence of communism in a vulnerable, war-weakened Europe. This label was posted on Marshall Aid packages.

18.3.5: The Cold War and Containment

Truman’s Containment policy was the first major policy during the Cold War and used numerous strategies to prevent the spread of communism abroad.

Learning Objective

Discuss the doctrine of Containment and its role during the Cold War

Key Points

• Containment was suggested by diplomat George Kennan who eagerly suggested the United States stifle communist influence in Eastern Europe and Asia.
• One of the ways to accomplish this was by establishing NATO so the Western European nations had a defense against communist influence.
• After Vietnam and détente, President Jimmy Carter focused less on containment and more on fighting the Cold War by promoting human rights in hot spot countries.

Key Terms

deterrence

Action taken by states or alliances of nations against equally powerful alliances to prevent hostile action

rollback

A withdrawal of military forces.

The Cold War and Containment

Containment was a United States policy using numerous strategies to prevent the spread of communism abroad. A component of the Cold War, this policy was a response to a series of moves by the Soviet Union to enlarge its communist sphere of influence in Eastern Europe, China, Korea, and Vietnam. It represented a middle-ground position between détente and rollback.

The basis of the doctrine was articulated in a 1946 cable by United States diplomat, George F. Kennan (below). As a description of United States foreign policy, the word originated in a report Kennan submitted to the U.S. defense secretary in 1947—a report that was later used in a magazine article.

George F. Kennan

George F. Kennan was the diplomat behind the doctrine of containment.

The word containment is associated most strongly with the policies of United States President Harry Truman (1945–53), including the establishment of the North Atlantic Treaty Organization (NATO), a mutual defense pact. Although President Dwight Eisenhower (1953–61) toyed with the rival doctrine of rollback, he refused to intervene in the Hungarian Uprising of 1956. President Lyndon Johnson (1963–69) cited containment as a justification for his policies in Vietnam. President Richard Nixon (1969–74), working with his top advisor Henry Kissinger, rejected containment in favor of friendly relations with the Soviet Union and China; this détente, or relaxation of tensions, involved expanded trade and cultural contacts.

President Jimmy Carter (1976–81) emphasized human rights rather than anti-communism, but dropped détente and returned to containment when the Soviets invaded Afghanistan in 1979. President Ronald Reagan (1981–89), denouncing the Soviet state as an “evil empire”, escalated the Cold War and promoted rollback in Nicaragua and Afghanistan. Central programs begun under containment, including NATO and nuclear deterrence, remained in effect even after the end of the war.

18.3.6: Détente and Human Rights

Détente was a period in U.S./Soviet relations in which tension between the two superpowers was eased.

Learning Objective

Explain the significance of the Helsinki Accords for the history of human rights in the 20th century and define the doctrine of Détente and its use by the United States during the Cold War

Key Points

• Détente was an effort by the super powers to ease tensions in the Cold War.
• The Nixon and Brezhnev administrations led the way with détente, talking about world issues and signing treaties such as SALT I and the Anti-Ballistic Missile Treaty.
• The Carter administration ushered in a human rights component to détente, criticizing the USSR’s poor record of human rights. The USSR countered by criticizing the US for its own human rights record, and for interfering in USSR domestic affairs.
• During the Carter administration, the Conference on Security and Cooperation in Europe created the Helsinki Accords, which addressed human rights in the USSR.
• Détente ended in 1980 with Soviet interference in Afghanistan, the US boycott of the 1980 Moscow Olympics, and Reagan’s election.

Key Terms

Warsaw Pact

A pact (long-term alliance treaty) signed on May 14, 1955 by the Soviet Union and its Communist military allies in Europe.

Détente

French for “relaxation,” détente is the easing of tense relations, particularly in a political situation. The term is often used in reference to the general easing of geo-political tensions between the Soviet Union and the US, which began in 1971 and ended in 1980.

Helsinki Accords

A declaration in an attempt to improve relations between the Communist bloc and the West. Developed in Europe, the Helsinki Accords called for human rights improvements in the USSR.

Détente

Détente, French for “relaxation”, is an international theory that refers to the easing of strained relations, especially in a political situation. The term is often used in reference to the general easing of relations between the Soviet Union and the United States in 1971, a thawing at a period roughly in the middle of the Cold War.

Treaties Toward Peace

The most important treaties of détente were developed when the Nixon Administration came into office in 1969. The Political Consultative Committee of the Warsaw Pact sent an offer to the West, urging to hold a summit on “security and cooperation in Europe”. The West agreed and talks began towards actual limits to the nuclear capabilities of the two superpowers. This ultimately led to the signing of the treaty in 1972. This treaty limited each power’s nuclear arsenals, though it was quickly rendered out-of-date as a result of the development of a new type of warhead. In the same year that SALT I was signed, the Biological Weapons Convention and the Anti-Ballistic Missile Treaty were also concluded.

A follow up treaty, SALT II was discussed but was never ratified by the United States. There is debate among historians as to how successful the détente period was in achieving peace. The two superpowers agreed to install a direct hotline between Washington DC and Moscow, the so-called “red telephone,” enabling both countries to quickly interact with each other in a time of urgency. The SALT II pact of the late 1970s built on the work of the SALT I talks, ensuring further reduction in arms by the Soviets and by the US .

Nixon and Brezhnev

President Nixon and Premier Brezhnev lead in the high period of détente, signing treaties such as SALT I and the Helsinki Accords.

The Helsinki Accords and Human Rights in the USSR

The Helsinki Accords, in which the Soviets promised to grant free elections in Europe, has been seen as a major concession to ensure peace by the Soviets. The Helsinki Accord were developed by the Conference on Security and Cooperation in Europe, a wide ranging series of agreements on economic, political, and human rights issues. The CSCE was initiated by the USSR, involving 35 states throughout Europe.

Among other issues, one of the most prevalent and discussed after the conference was the human rights violations in the Soviet Union. The Soviet Constitution directly violated the declaration of Human Rights from the United Nations, and this issue became a prominent point of dissonance between the United States and the Soviet Union.

Because the Carter administration had been supporting human rights groups inside the Soviet Union, Leonid Brezhnev accused the administration of interference in other countries’ internal affairs. This prompted intense discussion of whether or not other nations may interfere if basic human rights are being violated, such as freedom of speech and religion. The basic differences between the philosophies of a democracy and a single-party state did not allow for reconciliation of this issue. Furthermore, the Soviet Union proceeded to defend their internal policies on human rights by attacking American support of countries like South Africa and Chile, which were known to violate many of the same human rights issues.

Détente ended after the Soviet intervention in Afghanistan, which led to America’s boycott in the 1980s Olympics in Moscow . Ronald Reagan’s election in 1980, based on an anti-détente campaign, marked the close of détente and a return to Cold War tension.

1980 Moscow Olympics

After the Soviet invasion of Afghanistan, many countries boycotted the 1980 Olympic Games, held in Moscow. This photograph depicts Olympic runners in the 1980 games in front of Saint Basil’s Cathedral in Moscow.

18.3.7: Foreign Policy After the Cold War

The post-Cold War era saw optimism, and the balance of power shifted solely to the United States.

Learning Objective

Explain the origins and elements of the New World Order after the end of the Cold War

Key Points

• The post-Cold War era saw the United States as the sole leader of the world affairs.
• The Cold War set the standard for military-industrial complexes which, while weaker than during the Cold War, is a legacy that continues to exist.
• The new world order as theorized between Bush and Gorbachev saw optimism and democratization for countries.

Key Terms

military-industrial complex

The armed forces of a nation together with the industries that supply their weapons and materiel.

new world order

The term new world order has been used to refer to any new period of history evidencing a dramatic change in world political thought and the balance of power. Despite various interpretations of this term, it is primarily associated with the ideological notion of global governance only in the sense of new collective efforts to identify, understand, or address worldwide problems that go beyond the capacity of individual nation-states to solve. The most widely discussed application of the phrase in recent times came at the end of the Cold War.

War on Terror

The war on terror is a term commonly applied to an international military campaign begun by the United States and the United Kingdom with support from other countries after the September 11, 2001 terrorist attacks.

Post-Cold War Foreign Policy

Introduction

With the breakup of the Soviet Union into separate nations, and the re-emergence of the nation of Russia, the world of pro-U.S. and pro-Soviet alliances broke down. Different challenges presented themselves, such as climate change and the threat of nuclear terrorism. Regional powerbrokers in Iraq and Saddam Hussein challenged the peace with a surprise attack on the small nation of Kuwait in 1991.

President George H.W. Bush organized a coalition of allied and Middle Eastern powers that successfully pushed back the invading forces, but stopped short of invading Iraq and capturing Hussein. As a result, the dictator was free to cause mischief for another twelve years. After the Gulf War, many scholars like Zbigniew Brzezinski claimed that the lack of a new strategic vision for U.S. foreign policy resulted in many missed opportunities for its foreign policy. The United States mostly scaled back its foreign policy budget as well as its cold war defense budget during the 1990s, which amounted to 6.5% of GDP while focusing on domestic economic prosperity under President Clinton, who succeeded in achieving a budget surplus for 1999 and 2000.

The aftermath of the Cold War continues to influence world affairs. After the dissolution of the Soviet Union, the post–Cold War world was widely considered as unipolar, with the United States the sole remaining superpower. The Cold War defined the political role of the United States in the post–World War II world: by 1989 the U.S. held military alliances with 50 countries, and had 526,000 troops posted abroad in dozens of countries, with 326,000 in Europe (two-thirds of which in west Germany) and about 130,000 in Asia (mainly Japan and South Korea). The Cold War also marked the apex of peacetime military-industrial complexes, especially in the United States, and large-scale military funding of science. These complexes, though their origins may be found as early as the 19^th century, have grown considerably during the Cold War. The military-industrial complexes have great impact on their countries and help shape their society, policy and foreign relations.

New World Order

A concept that defined the world power after the Cold-War was known as the new world order. The most widely discussed application of the phrase of recent times came at the end of the Cold War. Presidents Mikhail Gorbachev and George H.W. Bush used the term to try to define the nature of the post Cold War era, and the spirit of a great power cooperation they hoped might materialize . Historians will look back and say this was no ordinary time but a defining moment: an unprecedented period of global change, and a time when one chapter ended and another began.

Bush and Gorbachev

Bush and Gorbachev helped shape international relation theories after the cold war.

War on Terrorism

A concept that defined the world power after the Cold-War was known as the new world order. The most widely discussed application of the phrase of recent times came at the end of the Cold War. Presidents Mikhail Gorbachev and George H.W. Bush used the term to try to define the nature of the post Cold War era, and the spirit of a great power cooperation they hoped might materialize . Historians will look back and say this was no ordinary time but a defining moment: an unprecedented period of global change, and a time when one chapter ended and another began.

Furthermore, when no weapons of mass destruction were found after a military conquest of Iraq, there was worldwide skepticism that the war had been fought to prevent terrorism, and the continuing war in Iraq has had serious negative public relations consequences for the image of the United States.

Multipolar World

The big change during these years was a transition from a bipolar world to a multipolar world. While the United States remains a strong power economically and militarily, rising nations such as China, India, Brazil, and Russia as well as a united Europe have challenged its dominance. Foreign policy analysts such as Nina Harchigian suggest that the six emerging big powers share common concerns: free trade, economic growth, prevention of terrorism, and efforts to stymie nuclear proliferation. And if they can avoid war, the coming decades can be peaceful and productive provided there are no misunderstandings or dangerous rivalries.

18.3.8: The War on Terrorism

The War on Terror refers to an international military campaign begun by the U.S. and the U.K. after the 9/11 terrorist attacks.

Learning Objective

Identify the main elements of U.S. foreign policy during the War on Terror

Key Points

• The campaign’s official purpose was to eliminate al-Qaeda and other militant organizations, and the two main military operations associated with the War on Terror were Operation Enduring Freedom in Afghanistan and Operation Iraqi Freedom in Iraq.
• The Bush administration and the Western media used the term to denote a global military, political, legal and ideological struggle targeting both organizations designated as terrorist and regimes accused of supporting them.
• On 20 September 2001, in the wake of the 11 September attacks, George W. Bush delivered an ultimatum to the Taliban government of Afghanistan to turn over Osama bin Laden and al-Qaeda leaders operating in the country or face attack.
• In October 2002, a large bipartisan majority in the United States Congress authorized the president to use force if necessary to disarm Iraq in order to “prosecute the war on terrorism. ” The Iraq War began in March 2003 with an air campaign, which was immediately followed by a U.S. ground invasion.

Key Terms

Islamist

A person who espouses Islamic fundamentalist beliefs.

War on Terror

The war on terror is a term commonly applied to an international military campaign begun by the United States and the United Kingdom with support from other countries after the September 11, 2001 terrorist attacks.

terrorism

The deliberate commission of an act of violence to create an emotional response through the suffering of the victims in the furtherance of a political or social agenda.

Introduction

The War on Terror is a term commonly applied to an international military campaign begun by the United States and United Kingdom with support from other countries after the September 11, 2001 terrorist attacks . The campaign’s official purpose was to eliminate al-Qaeda and other militant organizations. The two main military operations associated with the War on Terror were Operation Enduring Freedom in Afghanistan and Operation Iraqi Freedom in Iraq.

9/11 Attacks on the World Trade Center

The north face of Two World Trade Center (south tower) immediately after being struck by United Airlines Flight 175.

The phrase “War on Terror” was first used by U.S. President George W. Bush on 20 September 2001. The Bush administration and the Western media have since used the term to denote a global military, political, legal, and ideological struggle targeting organizations designated as terrorist and regimes accused of supporting them. It was typically used with a particular focus on Al-Qaeda and other militant Islamists. Although the term is not officially used by the administration of U.S. President Barack Obama, it is still commonly used by politicians, in the media, and officially by some aspects of government, such as the United States’ Global War on Terrorism Service Medal.

Precursor to 9/11 Attacks

The origins of al-Qaeda as a network inspiring terrorism around the world and training operatives can be traced to the Soviet war in Afghanistan (December 1979–February 1989). The United States supported the Islamist mujahadeen guerillas against the military forces of the Soviet Union and the Democratic Republic of Afghanistan. In May 1996 the group World Islamic Front for Jihad Against Jews and Crusaders (WIFJAJC), sponsored by Osama bin Laden and later reformed as al-Qaeda, started forming a large base of operations in Afghanistan, where the Islamist extremist regime of the Taliban had seized power that same year. In February 1998, Osama bin Laden, as the head of al-Qaeda, signed a fatwā declaring war on the West and Israel, and later in May of that same year al-Qaeda released a video declaring war on the U.S. and the West.

U.S. Military Responses (Afghanistan)

On 20 September 2001, in the wake of the 11 September attacks, George W. Bush delivered an ultimatum to the Taliban government of Afghanistan to turn over Osama bin Laden and al-Qaeda leaders operating in the country or face attack. The Taliban demanded evidence of bin Laden’s link to the 11 September attacks and, if such evidence warranted a trial, they offered to handle such a trial in an Islamic Court. The US refused to provide any evidence.

Subsequently, in October 2001, US forces invaded Afghanistan to oust the Taliban regime. On 7 October 2001, the official invasion began with British and U.S. forces conducting airstrike campaigns over enemy targets. Kabul, the capital city of Afghanistan, fell by mid-November. The remaining al-Qaeda and Taliban remnants fell back to the rugged mountains of eastern Afghanistan, mainly Tora Bora. In December, Coalition forces (the U.S. and its allies) fought within that region. It is believed that Osama bin Laden escaped into Pakistan during the battle.

U.S. Military Responses (Iraq)

Iraq had been listed as a State Sponsor of Terrorism by the U.S. since 1990, when Saddam Hussein invaded Kuwait. Iraq was also on the list from 1979 to 1982; it had been removed so that the U.S. could provide material support to Iraq in its war with Iran. Hussein’s regime proved a continuing problem for the U.N. and Iraq’s neighbors due to its use of chemical weapons against Iranians and Kurds.

In October 2002, a large bipartisan majority in the United States Congress authorized the president to use force if necessary to disarm Iraq in order to “prosecute the war on terrorism. ” After failing to overcome opposition from France, Russia, and China against a UNSC resolution that would sanction the use of force against Iraq, and before the U.N. weapons inspectors had completed their inspections, the U.S. assembled a “Coalition of the Willing” composed of nations who pledged support for its policy of regime change in Iraq.

The Iraq War began in March 2003 with an air campaign, which was immediately followed by a U.S.-led ground invasion . The Bush administration stated that the invasion was the “serious consequences” spoken of in the UNSC Resolution 1441. The Bush administration also stated that the Iraq War was part of the War on Terror, a claim that was later questioned.

Baghdad, Iraq’s capital city, fell in April 2003 and Saddam Hussein’s government quickly dissolved. On 1 May 2003, Bush announced that major combat operations in Iraq had ended. However, an insurgency arose against the U.S.-led coalition and the newly developing Iraqi military and post-Saddam government. The insurgency, which included al-Qaeda affiliated groups, led to far more coalition casualties than the invasion. Iraq’s former president, Saddam Hussein, was captured by U.S. forces in December 2003. He was executed in 2006.

18.4: Challenges of Foreign Policy

18.4.1: Trade

U.S. foreign policy is characterized by a commitment to free trade and open borders to promote and strengthen national interests.

Learning Objective

Discuss the historical institutional arrangements that created the current framework of international trade and criticisms of it

Key Points

• While international trade has been present throughout much of history, its economic, social, and political importance have increased in recent centuries, mainly because of industrialization, advanced transportation, globalization, the growth of multinational corporations, and outsourcing.
• During the World War II, 44 countries signed the Bretton Woods Agreement, a system of monetary management that established the rules for commercial and financial relations among the world’s major industrial states.
• This Agreement resulted in the creation of organizations such as the the International Monetary Fund (IMF) and the International Bank for Reconstruction and Development (later divided into the World Bank and Bank for International Settlements).
• The World Trade Organization (WTO) is an organization that was formed in 1995 to supervise and liberalize international trade.
• International trade greatly contributes to the process of globalization, the processes of international integration arising from the interchange of world views, products, ideas, and other aspects of culture.
• The anti-globalization movement has grown in recent decades in reaction to the unequal power dynamics of globalization and international trade, and the policies that are used to exploit developing countries for the profit of the developed Western world.

Key Term

globalization

The process of international integration arising from the interchange of world views, products, ideas, and other aspects of culture; advances in transportation and telecommunications infrastructure, including the rise of the Internet, are major factors that precipitate interdependence of economic and cultural activities.

International Trade

International trade is the exchange of goods and services across national borders. In most countries, it represents a significant part of the Gross Domestic Product (GDP). While international trade has been practiced throughout much of history, its economic, social, and political importance have become increasingly relevant in recent times, mainly due to industrialization, advanced transportation, globalization, the growth of multinational corporations, and outsourcing .

The Bretton Woods Agreement

During World War II, 44 countries signed the Bretton Woods Agreement. This system of monetary management established the rules for commercial and financial relations among the world’s major industrial states, and was the first example of a fully negotiated monetary order intended to govern monetary relations among independent nation-states. The agreement was intended to prevent national trade barriers that could create global economic depressions. The political basis for the Bretton Woods Agreement was in the confluence of two key conditions: the shared experiences of the Great Depression, and the concentration of power in a small number of states which was further enhanced by the exclusion of a number of important nations due to ongoing war.

The agreement set up rules and institutions to regulate the international political economy, resulting in the creation of organizations such as the the International Monetary Fund (IMF) and the International Bank for Reconstruction and Development (later divided into the World Bank and Bank for International Settlements). These organizations became operational in 1946 after enough countries ratified the agreement. Currently, the Doha round of World Trade Organization negotiations aims to lower barriers to trade around the world, with a focus on making trade more favorable for so-called “developing” countries, though talks have faced a divide between “developed” countries and the major “developing” countries.

The World Trade Organization (WTO)

The World Trade Organization (WTO) is an organization that was formed in 1995 to supervise and liberalize international trade . The organization deals with regulation of trade between participating countries; it provides a framework for negotiating and formalizing trade agreements, and a dispute resolution process aimed at enforcing participants’ adherence to WTO agreements which are signed by representatives of member governments and ratified by their parliaments.

WTO Logo

The WTO, succeeding GATT in 1995, is an organization that seeks to liberalize international trade.

Trade, Globalization, and the Anti-Globalization Movement

International trade greatly contributes to the process of globalization, the processes of international integration arising from the interchange of world views, products, ideas, and other aspects of culture. Advances in transportation and telecommunications infrastructure, including the rise of the telegraph and its posterity the Internet, are major factors in globalization, generating further interdependence of economic and cultural activities. In 2000, the International Monetary Fund (IMF) identified four basic aspects of globalization: trade and transactions, capital and investment movements, migration and movement of people, and the dissemination of knowledge.

Globalization has been criticized in recent decades for the unequal power dynamics of international trade, and the policies that are used to exploit developing countries for the profit of the developed Western world. The anti-globalization movement is critical of the globalization of corporate capitalism for these reasons. Many anti-globalization activists, however, call for forms of global integration that provide better democratic representation, advancement of human rights, fair trade and sustainable development and therefore feel the term “anti-globalization” is misleading.

In general, the anti-globalization movement is especially opposed to the various abuses which are perpetuated by globalization and the international institutions which are believed to promote neoliberalism without regard to ethical standards. Common targets include the World Bank (WB), International Monetary Fund (IMF), the Organisation for Economic Co-operation and Development (OECD) and the World Trade Organization (WTO) and free trade treaties like the North American Free Trade Agreement (NAFTA), Free Trade Area of the Americas (FTAA), the Trans Pacific Trade Agreement (TPPA), the Multilateral Agreement on Investment (MAI) and the General Agreement on Trade in Services (GATS). In light of the economic gap between rich and poor countries, movement adherents claim “free trade” without regulations in place to protect the environment, the health and well being of workers, and the economies of “developing” countries contributes only to strengthening the power of industrialized nations (often termed the “global North” in opposition to the developing world’s “global South”).

The anti-globalization movement is considered a rather new and modern day social movement, as the issues it is fighting against are relevant in today’s time. However, the events that occurred which fuels the movement can be traced back through the lineage of the movement of a 500-year old history of resistance against European colonialism and U.S. imperialism, in which the continent of Africa and many other areas of the world were colonized and stripped of their resources for the profit of the Western world.

One of the most infamous tactics of the movement is the Battle of Seattle in 1999, where grassroots activists organized large and creative protests against the World Trade Organization’s Third Ministerial Meeting in order to gain the attention towards the issue of globalization. It is still one of the most significant and memorable social movement protests in the past 20 years.

Contemporary Issues in International Trade

Issues currently associated with international trade are: intellectual property rights, in that creations of the mind for which exclusive rights are recognized in law are considered essential for economic growth; smuggling, especially as it relates to human and drug trafficking; outsourcing, the contracting out of business processes to another country, generally one with lower wages; fair trade, which promotes the use of labor, environmental, and social standards for the production of commodities; and trade sanctions, in which punitive economic measures are taken against a defaulting country.

18.4.2: Immigration and Border Security

Immigration and border security are two important issues for United States policy.

Learning Objective

Identify the relationship between immigration issues and national security

Key Points

• Illegal immigrants are those non-citizens who enter the United States without government permission and in violation of United States nationality law or stay beyond the termination date of a visa, also in violation of the law.
• Illegal immigrants who come generally for economic opportunities or to escape political oppression continue to outpace the number of legal immigrants – a trend that has held steady since the 1990s.
• The challenge of illegal immigration is closely linked with that of border security, the concept of which is related to the persistent threat of terrorism.

Key Term

visa

A permit to enter and leave a country, normally issued by the authorities of the country to be visited.

Immigration and border security are two important issues for U.S. policy.

Though immigration to the United States has been a major source of economic growth and cultural change throughout American history, the recent discourse surrounding immigration deals mostly with illegal immigration. Illegal immigrants are those non-citizens who enter the United States without government permission and are in violation of United States nationality law or stay beyond the termination date of a visa, also in violation of the law.

The illegal immigrant population in the United States in 2008 was estimated by the Center for Immigration Studies to be about 11 million people, down from 12.5 million people in 2007. Other estimates range from 7 to 20 million. According to a Pew Hispanic Center report, in 2005, 56% of illegal immigrants were from Mexico; 22% were from other Latin American countries, primarily from Central America; 13% were from Asia; 6% were from Europe and Canada; and 3% were from Africa and the rest of the world.

Immigration to the U.S.

Rate of immigration to the United States relative to sending countries’ population size, 2001–2005

Illegal immigrants who come generally for economic opportunities or to escape political oppression, continue to outpace the number of legal immigrants – a trend that has held steady since the 1990s. While the majority of illegal immigrants continue to concentrate in places with existing large Hispanic communities, an increasing number of them are settling throughout the rest of the country.

The challenge of illegal immigration is closely linked with that of border security, the concept of which is related to the persistent threat of terrorism. Border security includes the protection of land borders, ports, and airports and after the September 11, 2001 terrorist attacks, many questioned whether the threat posed by the largely unchecked 3,017 mile Canadian border, the 1,933 mile Mexican border, and the many unsecured ports.

18.4.3: Terrorism

The threat of terrorism is one of the greatest challenges facing the United States and the international community.

Learning Objective

Discuss the War on Terror campaign against religious fundamentalist groups and individuals who engage in terrorism

Key Points

• Terrorism generally refers to those violent acts that are intended to create fear (terror). The acts are perpetrated for a religious, political, and/or ideological goal. They deliberately target or disregard the safety of civilians in order to gain publicity for a group, cause, or individual.
• In current international affairs, the threat of Islamic terrorism, a form of religious terrorism committed by Muslims for the purpose of achieving varying political and/or religious ends, has been particularly prevalent.
• The September 11, 2001 terrorist attacks, committed by members of Al-Qaeda, left nearly 3,000 people dead and would mark the beginning of the War on Terror.

Key Term

revolutionary

Of or pertaining to a revolution in government; tending to, or promoting, revolution; as, revolutionary war; revolutionary measures; revolutionary agitators.

The threat of terrorism is one of the greatest challenges facing the United States and the international community. Common definitions of terrorism refer to those violent acts that are intended to create fear (terror). The acts are perpetrated for a religious, political, and/or ideological goal. They deliberately target or disregard the safety of civilians in order to gain publicity for a group, cause, or individual. Terrorism has been practiced by a broad array of political organizations, including right-wing and left-wing political parties, nationalistic groups, religious groups, revolutionary groups, and ruling governments.

Islamic Terrorism

In current international affairs, the threat of Islamic terrorism, a form of religious terrorism committed by Muslims for the purpose of achieving varying political and/or religious ends, has been particularly prevalent. Islamic terrorism has taken place in the Middle East, Africa, Europe, South Asia, Southeast Asia, and the United States since the 1970’s. Islamic terrorist organizations have been known to engage in tactics including suicide attacks, hijackings, kidnappings, and recruiting new members through the Internet. Well-known Islamic terrorist organizations include Al-Qaeda, Hamas, Hezbollah, and Islamic Jihad.

The 9/11 Attacks and the War on Terror

The September 11, 2001 terrorist attacks, in which members of Al-Qaeda under the leadership of Osama bin Laden hijacked and crashed four passenger jets in New York, Virginia, and Pennsylvania, left nearly 3,000 people dead. These attacks marked the beginning of the “War on Terror,” an international military campaign led by the United States and the United Kingdom (with the support of NATO and non-NATO allies) against Al-Qaeda and other associated militant organizations with the stated goal of eliminating them. The War on Terror would include the military campaigns in Afghanistan and Iraq .

September 11, 2001 attacks

The attack on the World Trade Center in New York City on September 11, 2001.

18.4.4: Nuclear Weapons

The proliferation of nuclear weapons, explosive devices which derive force from nuclear reactions, is a key challenge of foreign policy.

Learning Objective

Identify the history of nuclear weapons and international efforts to regulate them

Key Points

• Only two nuclear weapons have been used in the course of warfare, both by the United States against Japan near the end of World War II.
• In 1957, the International Atomic Energy Agency (IAEA) was established under the mandate of the United Nations to encourage development of peaceful applications for nuclear technology, provide international safeguards against its misuse, and facilitate the application of safety measures in its use.
• Currently, the prospect of nuclear technology falling into the hands of rogue states and terrorist organizations is considered a major threat to international security.

Key Terms

fission

The process of splitting the nucleus of an atom into smaller particles; nuclear fission

fusion

A nuclear reaction in which nuclei combine to form more massive nuclei with the concomitant release of energy

The proliferation of nuclear weapons, explosive devices which derive their destructive force from nuclear reactions (either fission or a combination of fission and fusion), is an important challenge of foreign policy.

Only a few nations possess such weapons or are suspected of seeking them. The only countries known to have detonated nuclear weapons—and that acknowledge possessing such weapons—are (chronologically by date of first test) the United States, the Soviet Union (succeeded as a nuclear power by Russia), the United Kingdom, France, China, India, Pakistan, and North Korea. In addition, Israel is also widely believed to possess nuclear weapons, though it does not acknowledge having them. One state, South Africa, fabricated nuclear weapons in the past, but has since disassembled their arsenal and submitted to international safeguards.

Only two nuclear weapons have been used in the course of warfare, both by the United States near the end of World War II. On August 6, 1945, a uranium gun-type fission bomb was detonated over the Japanese city of Hiroshima. Three days later, on August 9, a plutonium implosion-type fission bomb was exploded over Nagasaki, Japan. These two bombings resulted in the deaths of approximately 200,000 Japanese people—mostly civilians—from acute injuries sustained from the explosions.

Since the bombings of Hiroshima and Nagasaki, nuclear weapons have been detonated on over two thousand occasions for testing purposes and demonstrations. Because of the immense military power they can confer, the political control of nuclear weapons has been a key issue for as long as they have existed; in most countries the use of nuclear force can only be authorized by the head of government or head of state. In 1957, the International Atomic Energy Agency (IAEA) was established under the mandate of the United Nations to encourage development of peaceful applications for nuclear technology, provide international safeguards against its misuse, and facilitate the application of safety measures in its use.

By the 1960s, steps were being taken to limit both the proliferation of nuclear weapons to other countries and the environmental effects of nuclear testing. The Partial Test Ban Treaty (1963) restricted all nuclear testing to underground facilities, to prevent contamination from nuclear fallout, while the Nuclear Non-Proliferation Treaty (1968) attempted to place restrictions on the types of activities signatories could participate in, with the goal of allowing the transference of non-military nuclear technology to member countries without fear of proliferation. Currently, the prospect of nuclear technology falling into the hands of rogue states and terrorist organizations is considered a major threat to international security.

18.4.5: Iraq

Particularly since the beginning of Operation Iraqi Freedom in 2003, U.S. relations with Iraq have been central to its foreign policy.

Learning Objective

Discuss the history of U.S.-Iraq relations and the U.S. Occupation of Iraq

Key Points

• After the September 11, 2001 attacks, the governments of the United States and the United Kingdom claimed that Iraq’s alleged possession of weapons of mass destruction (WMD) posed a threat to their security and that of their coalitional and regional allies.
• On March 20, 2003, a U.S.-led coalition conducted a military invasion of Iraq, referred to as Operation Iraqi Freedom, without declaring war.
• The last U.S. troops left Iraqi territory on December 18, 2011 after Barack Obama announced an eighteen month withdrawal window for combat forces.

Key Terms

Shia

the second largest denomination of Islam; “followers”, “faction”, or “party” of Muhammad’s son-in-law Ali, whom the Shia believe to be Muhammad’s successor

sectarian

Of, or relating to a sect.

Sunni

The branch of Islam that believes that the Qur’an is the final authority, and that their leaders have no special sacred wisdom.

Since the United States recognized an independent Iraq in 1930, relations with that nation have been an important aspect of U.S. foreign policy.

After the September 11, 2001 attacks, the governments of the United States and the United Kingdom claimed that Iraq’s alleged possession of weapons of mass destruction (WMD) posed a threat to their security and that of their coalitional and regional allies. Some U.S. officials also accused Iraqi President Saddam Hussein of harboring and supporting al-Qaeda, but no evidence of a meaningful connection was ever found. Other proclaimed accusations against Iraq included its financial support for the families of Palestinian suicide bombers, Iraqi government human rights abuses, and an effort to spread democracy to the country.

On March 20, 2003, a U.S.-led coalition conducted a military invasion of Iraq without declaring war. The invasion, referred to as Operation Iraqi Freedom, led to an occupation and the eventual capture of President Hussein, who was later tried in an Iraqi court of law and executed by the new Iraqi government. Violence against coalition forces and among various sectarian groups soon led to the Iraqi insurgency, strife between many Sunni and Shia Iraqi groups, and the emergence of a new faction of al-Qaeda in Iraq.

Operation Iraqi Freedom

A U.S. Marine tank in Baghdad during the Iraq War.

The “One weekend a month, two weeks a year” slogan has lost most of its relevance since the Iraq War, when nearly 28% of total US forces in Iraq and Afghanistan at the end of 2007 consisted of mobilized personnel of the National Guard and other Reserve components. [35] In July 2012, the Army’s top general stated his intention to increase the annual drill requirement from two weeks per year to up to seven weeks per year.

As public opinion favoring troop withdrawals increased and as Iraqi forces began to take responsibility for security, member nations of the Coalition withdrew their forces. In late 2008, the U.S. and Iraqi governments approved a Status of Forces Agreement, effective through January 1, 2012. The Iraqi Parliament also ratified a Strategic Framework Agreement with the U.S., aimed at ensuring cooperation in constitutional rights, threat deterrence, education, energy development, and in other areas.

In late February 2009, newly-elected U.S. President Barack Obama announced an eighteen month withdrawal window for combat forces, with approximately 50,000 troops remaining in the country “to advise and train Iraqi security forces and to provide intelligence and surveillance. ” On October 21, 2011, President Obama announced that all U.S. troops and trainers would leave Iraq by the end of the year, bringing the U.S. mission in Iraq to an end. The last U.S. troops left Iraqi territory on December 18, 2011.

18.4.6: Afghanistan

The relationship between the United States and Afghanistan has become an integral aspect of U.S. foreign policy.

Learning Objective

Discuss the nature of the U.S. foreign policy toward Afghanistan since 2001

Key Points

• Following the attacks of September 11, 2001– thought to be orchestrated by Osama bin Laden, who was residing in Afghanistan under asylum at the time– the United States launched and led Operation Enduring Freedom.
• The United States has taken a leading role in the overall reconstruction of Afghanistan by investing billions of dollars in national roads, government and educational institutions, and the Afghan military and national police force.
• U.S. forces are scheduled to begin leaving between mid-2011 to the end of 2014. Concerns remain regarding the Taliban insurgency, the role of Pakistan in training those insurgents, and the risk of Afghanistan degenerating into a failed state after the withdrawal.

Key Terms

insurgency

rebellion; revolt; the state of being insurgent

Taliban

A Sunni Islamic student movement in Afghanistan; organized in 1994 by the radical mullah “Mohammad Omar”

The relationship between the United States and Afghanistan has become an integral aspect of U.S. foreign policy.

Following the attacks of September 11, 2001– thought to be orchestrated by Osama bin Laden, who was residing in Afghanistan under asylum at the time– the United States launched and led Operation Enduring Freedom. This major military operation was aimed at removing the Taliban government from power and capturing Al-Qaeda members, including Osama bin Laden himself. Following the overthrow of the Taliban, the U.S. supported the new government of Afghan President Hamid Karzai by maintaining a high level of troops in the area, as well as by combating Taliban insurgency. Afghanistan and the United States resumed diplomatic ties in late 2001.

The United States has taken a leading role in the overall reconstruction of Afghanistan by investing billions of dollars in national roads, government and educational institutions, and the Afghan military and national police force. In 2005, the United States and Afghanistan signed a strategic partnership agreement, committing both nations to a long-term relationship.

The U.S. Armed Forces has been gradually increasing its troop level in Afghanistan since 2002, reaching about 100,000 in 2010. They are scheduled to begin leaving between mid-2011 to the end of 2014. In 2012, Presidents Obama and Karzai signed a strategic partnership agreement between their respective countries, designating Afghanistan as a major non-NATO ally. Concerns remain regarding the Taliban insurgency, the role of Pakistan in training those insurgents, the drug trade, the effectiveness of Afghan security forces, and the risk of Afghanistan degenerating into a failed state after the withdrawal.

Operation Enduring Freedom

An American soldier on patrol in Afghanistan

18.4.7: China

Three issues of particular importance in Chinese-American relations are economic trade, the contested status of Taiwan, and human rights.

Learning Objective

Examine the social, political and economic issues that are significant for U.S.-China relations

Key Points

• China, which became the world’s second largest economy in 2010, may overtake the United States and become the world’s largest economy by 2030, if current trends persist.
• American support for the island nation of Taiwan, which China claims as one of its provinces and has threatened to take over by force, is another source of tension.
• The Chinese government’s stance toward human rights, which has been criticized by international humanitarian groups, is another source of controversy.

Key Terms

joint venture

A cooperative partnership between two individuals or businesses in which both profits and risks are shared

one child policy

A policy of population control in China that officially limits married, urban couples to having only one child

The political, economic, and military rise of China, with its enormous population of more than 1.3 billion people, is a key foreign policy challenge for the United States. Within current U.S.-China relations, three issues of particular importance stand out: economic trade, the status of Taiwan, and human rights.

U.S.-China relations

President Obama and Chinese Premier Wen Jiabao

Since China and the United States resumed trade relations in 1972 and 1973, U.S. companies have entered into numerous agreements with Chinese counterparts that have established more than 20,000 equity joint ventures, contractual joint ventures, and wholly foreign-owned enterprises. The American trade deficit with China exceeded $350 billion in 2006, and is the U.S.’ s largest bilateral trade deficit.

China, which became the world’s second largest economy in 2010, may overtake the United States and become the world’s largest economy by 2030, if current trends continue (although this growth might be limited by domestic challenges facing China, including income inequality and pollution). Among foreign nations, China holds the largest amount of U.S. public debt and has been a vocal critic of U.S. deficits and fiscal policy. In turn, the United States has criticized China’s undervaluation of its currency, the Renminbi.

American support for the island of Taiwan, which China claims as one of its provinces and has threatened to take over by force, is another source of tension. The U.S. maintains sympathy for a independent Taiwan due to its liberal, pluralistic democracy, and gives Taiwan extensive political and military support. This support has resulted in threats of retaliation from China.

The Chinese government’s policy toward human rights is another source of controversy. International human rights organizations have identified a number of potential violations in China, including the use of capital punishment, the application of the one child policy, the denial of independence to Tibet, the absence of a free press, the absence of an independent judiciary with due process, the absence of labor rights, and the absence of religious freedom.

18.4.8: Israel and Palestine

The conflict between the State of Israel and the Palestinians is an important issue affecting American and international policy.

Learning Objective

Explain the importance of the Israeli-Palestinian conflict for American foreign policy in the Middle East

Key Points

• Many currently consider the central foreign policy issue in the conflict to be the creation of an independent Palestinian state next to the existing Jewish state of Israel.
• The Oslo Accords of 1993 allowed the Palestinian National Authority to have autonomy over large parts of the West Bank and the Gaza Strip, although terrorism from Palestinian extremist groups and the assassination of Israeli Prime Minister Yitzhak Rabin in 1995 would derail further negotiations.
• Current issues for negotiations include: mutual recognition, borders, terrorism and security, water rights, control of Jerusalem, Israeli settlements, Palestinian incitement, and finding a solution for Palestinian refugees from Israel’s War of Independence in 1948.

Key Term

Palestinian

An inhabitant of the West Bank and Gaza Strip, legally governed by the Palestinian National Authority.

The conflict between the State of Israel and the Palestinians is an important issue affecting American and international policy. While the United States has a longstanding policy of political, military, and economic support for Israel, it often must balance such support with its relations with Arab nations and its commitment to a Palestinian state.

The conflict dates back to early Arab opposition to Jewish national sovereignty and numerous wars fought between Israel and neighboring Arab states. However, many currently consider the central foreign policy issue to be the creation of an independent Palestinian state next to the existing Jewish state of Israel. Most of the West Bank and the Gaza Strip, territories taken by Israel during the Six-Day War in 1967, are considered acceptable locations for a future Palestinian state.

Numerous efforts have been made to achieve peace through a negotiated settlement between the Israeli government and its Palestinian counterparts. Most prominently, the Oslo Accords of 1993 allowed the Palestinian National Authority to have autonomy over large parts of the West Bank and the Gaza Strip, although a campaign of terrorism from Palestinian extremist groups and the assassination of Israeli Prime Minister Yitzhak Rabin in 1995 would derail further negotiations.

The Oslo Accords

The signing of the Oslo Accords in 1993

Current issues for negotiations include: mutual recognition, borders, terrorism and security, water rights, control of Jerusalem, Israeli settlements, Palestinian incitement, and finding a solution for Palestinian refugees from Israel’s War of Independence in 1948. Another challenge is the lack of unity among Palestinians, reflected in the political struggle between Fatah, which controls the Palestinian areas of the West Bank, and the terrorist group Hamas, which has controlled the Gaza Strip since Israel’s withdrawal from that territory in 2005.

18.4.9: Humanitarian Efforts

Humanitarian aid is material or logistical assistance in response to crises including natural and man-made disasters.

Learning Objective

Compare and contrast humanitarian aid with development aid

Key Points

• The primary objective of humanitarian aid is to save lives, alleviate suffering and maintain human dignity.
• The humanitarian community has initiated a number of inter-agency initiatives to improve accountability, quality and performance in humanitarian action.
• Prominent humanitarian organizations include Doctors Without Borders, Mercy Corps and the International Red Cross.

Key Terms

humanitarian

Concerned with people’s welfare and the alleviation of suffering; humane or compassionate.

socioeconomic

Of or pertaining to social and economic factors.

Humanitarian aid is material or logistical assistance in response to crises including natural and man-made disasters. The primary objective of humanitarian aid is to save lives, alleviate suffering and maintain human dignity. Humanitarian aid differs from development aid, which seeks to address the underlying socioeconomic factors leading to a crises.

Aid is funded by donations from individuals, corporations, governments and other organizations. The funding and delivery of humanitarian aid has become increasingly international in scope. This makes it much more responsive and effective in coping with major emergencies. With humanitarian aid efforts sometimes criticized for a lack of transparency, the humanitarian community has initiated a number of inter-agency initiatives to improve its accountability, quality and performance.

The People in Aid initiative, for example, links seven areas that would improve the operations of aid organizations – health, safety and security learning; training and development; recruitment and selection; consultation and communication; support management and leadership; staff policies and practices; and human resources strategy.

Prominent humanitarian organizations include Doctors Without Borders, Mercy Corps and the International Red Cross. Major humanitarian projects include the Berlin Airlift, in which U.S. and U.K governments flew supplies into the Western-held sectors of Berlin during the Soviet blockade of 1948-1949. Another example is the aid efforts for refugees felling from the fighting in Bosnia and Kosovo in 1993 and 1999, respectively .

Humanitarian aid

Aid for refugees of the Kosovo War

18.5: Modern Foreign Policy

18.5.1: Diplomacy

Standard diplomacy involves government-to-government communication; modern diplomacy has begun to emphasize public diplomacy as well.

Learning Objective

Compare and contrast public diplomacy with standard diplomacy

Key Points

• Through diplomacy, governments of one country engage governments of another country. Usually this is accomplished by diplomats (e.g. ambassadors) in an official, U.S. government capacity in order to improve relationships between two countries, negotiate treaties, etc.
• Through public diplomacy, governments attempt to influence and communicate with the societies of another country. Film, music, arts, social and educational exchange programs, direct radio broadcasts, and the Internet can all be used to achieve public diplomacy.
• Public diplomacy has increased in importance since 9/11. The U.S. government has actively sought to use public diplomacy to improve their reputation abroad, particularly in the Middle East.
• Increasing globalization has caused public diplomacy to grow in importance in modern foreign policy. People– not just states– matter in an increasingly interconnected world.

Key Terms

diplomacy

The art and practice of conducting international relations by negotiating alliances, treaties, agreements, etc., bilaterally or multilaterally, between states and sometimes international organizations or even between policies with varying statuses, such as those of monarchs and their princely vassals.

foreign policy

A government’s policy relating to matters beyond its own jurisdiction: usually relations with other nations and international organisations.

public diplomacy

The communication between foreign societies, intended primarily to establish a dialogue designed to inform and influence.

Public Diplomacy

Public diplomacy has become increasingly important in modern foreign policy. Public diplomacy– or people’s diplomacy, broadly speaking– is the communication between foreign societies, intended primarily to establish a dialogue designed to inform and influence. It is practiced through a variety of instruments and methods ranging from personal contact and media interviews to the Internet and educational exchanges.

Public Diplomacy Versus Standard Diplomacy

Standard diplomacy can be described as the way in which government leaders communicate with each other at the highest levels; it is the elite diplomacy we are all familiar with. By contrast, public diplomacy focuses on the way in which a country (or multi-lateral organization such as the United Nations) communicates with citizens in other societies . A country may be acting deliberately or inadvertently, and through both official and private individuals and institutions. Effective public diplomacy begins with the premise that dialogue, rather than a sales pitch, is often central to achieving the goals of foreign policy: public diplomacy must be seen as a two-way street. Furthermore, public diplomacy advocates many differing views as represented by private American individuals and organizations in addition to the official views of the US government.

Ambassadors and Fulbright Scholars

Eric G. John, the U.S. Ambassador to Thailand from 2007-2010, speaks at a reception for Fulbright Grantees in Thailand. As an ambassador and formal representative of the U.S. government, John addresses traditional, elite-to-elite diplomacy, while the Fulbright program emphasizes public diplomacy.

Traditional diplomacy actively engages one government with another government. In traditional diplomacy, U.S. embassy officials represent the U.S. government in a host country primarily by maintaining relations and conducting official U.S. government business with the officials of the host government, whereas public diplomacy primarily engages many diverse, non-governmental elements of a society .

US Embassies

Maintaining an embassy in every recognized country is an important traditional diplomatic task. Depicted here is the U.S. embassy in London, England.

Avenues for Public Diplomacy

Film, television, music, sports, video games and other social/cultural activities are seen by public diplomacy advocates as enormously important avenues for otherwise diverse citizens to understand each other, as well as integral to international cultural understanding, considered a key goal of modern public diplomacy. This goal involves not only shaping the messages that a country wishes to present abroad– by developing the necessary tools of conversation and persuasion– but also analyzing and understanding the ways that the message is interpreted by diverse societies.

Instruments used for practicing public diplomacy include broadcasting stations (The Voice of America, Radio Free Europe, Radio Liberty), exchange programs (Fulbright, the International Visitor Leadership Program), American arts and performances in foreign countries, the Internet, and personal contact .

Voice of America

Pictured is the Voice of America headquarters in Washington, DC. Media such as Voice of America seek to influence foreign societies by making American policy seem more favorable. This is a key component of modern public diplomacy.

Globalization and Increase in U.S. Public Diplomacy

Public diplomacy has been an essential element of American foreign policy for decades. It was an important tool in influencing public opinion during the Cold War. Since the attacks of September 11, 2001, the term has come back into vogue and the practice has increased in importance as the United States government works to improve their reputation abroad, particularly in the Middle East and among those in the Islamic world. Numerous panels, including those sponsored by the Council on Foreign Relations, have evaluated American efforts in public diplomacy since 9/11 and have written reports recommending that the United States take various actions to improve the effectiveness of its public diplomacy.

This traditional concept is expanded on with the idea of adopting what is called “population-centric foreign affairs” within which foreign populations assume a central component of foreign policy. Since people, not just states, are of global importance in a world where technology and migration increasingly face everyone, an entire new door of policy is opened.

18.5.2: The United Nations

The United Nations is the most important and influential international, intergovernmental organization.

Learning Objective

Analyze the United States position toward the United Nations

Key Points

• The United Nations was established in 1945 to replace the failed League of Nations, with the goal of promoting peace by establishing a forum for cooperation, dialogue, and humanitarian response.
• The UN’s main bodies include the Security Council, the General Assembly, the Economic and Social Council, the Secretariat, and the International Court of Justice. The U.S. is a permanent member of the UN Security Council, which is arguably the most influential body of the UN.
• The UN’s main objectives include peacekeeping and security, disarmament, human rights protection and humanitarian assistance, and social and economic development.
• The U.S. led the creation of the UN, and has been an influential player in the UN’s work since its beginning.
• Since the U.S. has taken on the role of the world’s sole superpower, the UN and the U.S. have often conflicted. In particular, the UN and the U.S. have conflicted over the U.S.’ s debts to the UN, as well as the U.S.’ s 2003 near-unilateral invasion of Iraq.

Key Terms

multilateral

Involving more than one party (often used in politics to refer to negotiations, talks, or proceedings involving several nations).

international organization

Often referred to as intergovernmental organization; organizations that are made up primarily of sovereign states (referred to as member states).

Universal Declaration of Human Rights

A declaration adopted by the United Nations General Assembly after World War II that represents the first global expression of rights to which all human beings are inherently entitled. It includes economic, political and social rights.

What is the United Nations?

The United Nations (UN) is an intergovernmental, international organization consisting of all 193 states in the world, whose stated aims are facilitating cooperation in international law, international security, economic development, social progress, human rights, and the achievement of world peace. The UN was founded in 1945 to stop wars between countries and to provide a platform for dialogue. It contains multiple subsidiary organizations to carry out its missions.

History of the UN

After World War II, most government leaders recognized that humankind could not afford a third world war. The United Nations was established to replace the flawed League of Nations, in order to maintain international peace and promote cooperation in solving international economic, social and humanitarian problems.

In 1945, the UN officially came into existence upon ratification of the United Nations Charter by the five then-permanent members of the Security Council—France, the Republic of China, the Soviet Union, the United Kingdom and the United States—and by a majority of the other 46 signatories.

Organization of the UN

The organization’s principle organs are as follows:

1. The General Assembly is the main deliberative assembly and is composed of all United Nations member states.
2. The Security Council (UNSC) is charged with maintaining peace and security among countries. It is composed of 15 member states, including 5 permanent members–China, France, Russia, the UK, and the US.
3. The Economic and Social Council promotes international economic and social progress through cooperation and development.
4. The Secretariat, headed by the Secretary-General, provides studies, information and facilities needed by the UN bodies.
5. The International Court of Justice is the primary judicial organ of the UN.

Other prominent UN agencies exist to work on particular issues. Some of the most well-known agencies are the International Atomic Energy Agency, the World Bank, the World Health Organization (WHO), the World Food Programme (WFP), and the United Nation’s Children’s Fund (UNICEF). It is through these agencies that the UN performs most of its humanitarian work.

The UN is financed from assessed and voluntary contributions from member states. The General Assembly approves the regular budget and determines the assessment for each member.

Objectives of the UN

One of the main objectives of the UN is peacekeeping and security . With approval from the Security Council, the UN sends peacekeepers, voluntarily provided by UN member states, to regions where armed conflict has recently ceased. The goal of the peacekeepers is to enforce the terms of peace agreements and to discourage combatants from resuming hostilities.

UN Peacekeepers

A UN peacekeeper carries out operations in Haiti. Peacekeeping and security are primary objectives of the UN, and UN peacekeepers have been deployed around the world.

The UN is a world leader in human rights protection and humanitarian assistance. The Universal Declaration of Human Rights, though not legally binding, was adopted by the General Assembly in 1948 as a common standard of achievement for all. The UN and its agencies are central in upholding and implementing the principles enshrined in the Declaration, from assisting countries transitioning to democracy, to supporting women’s rights, to providing humanitarian aid.

Lastly, the UN also focuses on social and economic development through the UN Development Program (UNDP) and other agencies like the WHO and the World Bank.

The United States and the UN

The United States is a charter member of the United Nations and one of five permanent members of the UN Security Council. The most important American contribution to the United Nations system is perhaps the Bretton Woods conference. This conference took place in 1944, and its goal was “to create a new international monetary and trade regime that was stable and predictable.” This new system opened world markets, promoted a liberal economy and was implemented through different institutions, such as the World Bank and the International Monetary Fund.

Since 1991 the United States has been the world’s dominant military, economic, social and political power (plus it hosts the UN Headquarters itself in New York City ). The United Nations was not designed for such a unipolar world with a single superpower, and conflict between an ascendant U.S. and other UN members has increased.

UN Building in New York

This picture shows the UN Secretariat’s headquarters in New York City.

One of such conflicts occurred when the U.S. refused to pay its arrears in order to force UN compliance with U.S. wishes, as well as to cause the UN to reduce the U.S. assessment.

Another conflict between the U.S. and some UN members arose in 2003 over the issue of Iraq. U.S. President Bush maintained that Iraqi President Saddam Hussein possessed weapons of mass destruction (WMDs) in violation of his post-Gulf War obligations. In order to find these WMDs, Bush and a “coalition of the willing” invaded Iraq without explicit UN Security Council approval, causing friction within the multilateral UN .

2003 Invasion of Iraq

President George W. Bush addresses the nation in 2003, announcing the beginning of Operation Iraqi Freedom. The U.S.’ s near-unilateral invasion of Iraq caused tension in the multilateral UN.

18.5.3: The International Monetary Structure

The international monetary structure involves international institutions, regional trading blocs, private players, and national governments.

Learning Objective

Explain the role played by the United States over the history of the international monetary structure

Key Points

• The International Monetary Fund (IMF) is one of the most prominent institutions in the international monetary structure. The IMF oversees the global financial system and offers assistance to states.
• Another international institution, the World Bank, is important in the global monetary structure as it provides assistance and loans to developing nations.
• The World Trade Organization is an international institution that helps settle trade disputes and negotiate trade arrangements among states.
• Other important institutions in the international monetary structure include private participants (such as banks or insurance companies), regional trading blocs (such as the Eurozone or NAFTA), and national governments.
• Some argue that because of the U.S.’ s economic power and global influence, the international monetary structure has been created to match the U.S.’ s preferences and national interests.
• The U.S. helped establish the current structure of the international monetary system by leading the creation of the Bretton Woods system in 1944.

Key Terms

Washington Consensus

A term that refers to a set of ten relatively specific economic policy prescriptions that constitute the “standard” reform package promoted for crisis-wracked developing countries.

World Bank

A group of five financial organizations whose purpose is economic development and the elimination of poverty.

International Monetary Fund

The international organization entrusted with overseeing the global financial system by monitoring foreign exchange rates and balance of payments, as well as offering technical and financial assistance when asked. Abbreviated as IMF.

Major Components of the International Monetary Structure

The main components in the international monetary structure are global institutions (such as the International Monetary Fund and Bank for International Settlements), national agencies and government departments (such as central banks and finance ministries), private institutions acting on the global scale (such as banks and hedge funds), and regional institutions (like the Eurozone or NAFTA).

International Institutions

The most prominent international institutions are the International Monetary Fund (IMF) , the World Bank, and the World Trade Organization (WTO). The IMF keeps account of the international balance of payments accounts of member states, but also lends money as a last resort for members in financial distress. Membership is based on the amount of money a country provides to the fund relative to the size of its role in the international trading system.

IMF Headquarters

The headquarters of the International Monetary Fund in Washington, DC.

The World Bank aims to provide funding, takes up credit risk, or offers favorable terms to developing countries for development projects that couldn’t be obtained by the private sector.

The World Trade Organization settles trade disputes and negotiates international trade agreements in its rounds of talks (currently the Doha Round) .

Members of the WTO

This map depicts the member states of the World Trade Organization (WTO). Dark green states are members; light green are members of the EU and thus members of the WTO as well; blue states are observer states; and gray states have no official interaction with the WTO. Notice the global reach of organizations like the WTO.

Private Participants

Also important to the international monetary structure are private participants, such as players active in the markets of stocks, bonds, foreign exchange, derivatives, and commodities, as well as investment banking. This includes commercial banks, hedge funds and private equity, pension funds, insurance companies, mutual funds, and sovereign wealth funds.

Regional Institutions

Certain regional institutions also play a role in the structure of the international monetary system. For example, the Commonwealth of Independent States (CIS), the Eurozone, Mercosur, and North American Free Trade Agreement (NAFTA) are all examples of regional trade blocs, which are very important to the international monetary structure .

Bill Clinton Signs NAFTA

In this picture, President Bill Clinton signs the North American Free Trade Agreement into law. NAFTA, a free trade area between Canada, the U.S., and Mexico, is an example of the importance of regional trade blocs to the international monetary structure. NAFTA is also an example of the U.S.’ s disproportionate power in determining the direction of the international monetary structure.

Government Institutions

Governments are also a part of the international monetary structure, primarily through their finance ministries: they pass the laws and regulations for financial markets, and set the tax burden for private players such as banks, funds, and exchanges. They also participate actively through discretionary spending. They are closely tied to central banks that issue government debt, set interest rates and deposit requirements, and intervene in the foreign exchange market.

Perspectives on the International Monetary Structure

The liberal view of the international monetary structure holds that the exchange of currencies should be determined not by state institutions but instead individual players at a market level. This view has been labelled as the Washington Consensus. The social democratic view challenges the liberal view, advocating for the tempering of market mechanisms and the institution of economic safeguards in an attempt to ensure financial stability and redistribution. Besides the liberal and social democratic views, neo-Marxists are highly critical of the modern financial system in that it promotes inequality between state players, particularly holding the view that the wealthier countries abuse the financial system to exercise control of developing countries’ economies.

U.S. Influence on the International Monetary Structure

The most important American contribution to the global financial system is perhaps the introduction of the Bretton Woods system. The Bretton Woods system of monetary management, created at a conference in 1944, established the rules for commercial and financial relations among the world’s major industrial states in the mid-20^th century. The Bretton Woods system was the first example of a fully negotiated monetary order intended to govern monetary relations among independent nation-states. Setting up a system of rules, institutions, and procedures to regulate the international monetary system, the planners at Bretton Woods established the IMF and the International Bank for Reconstruction and Development (IBRD), which today is part of the World Bank Group.

Besides the influence of the U.S. on the Bretton Woods system, it is often claimed that the United States’s transition to neoliberalism and global capitalism also led to a change in the identity and functions of international financial institutions like the IMF. Because of the high involvement and voting power of the United States, the global economic ideology could effectively be transformed to match that of the U.S. This is consistent with the IMF’s function change during the 1970s after a change in President Nixon’s policies (when the Nixon Shock ended the Bretton Woods gold standard). Others also claim that, because of the disproportionate economic power of the United States, allies of the United States are able to receive bigger loans with fewer conditions.

18.5.4: Collective Military Force

A collective military force (when multiple countries pool their militaries) involves both collective security and collective defense.

Learning Objective

Compare and contrast the concepts of collective security and collective defense

Key Points

• Collective security is more far-reaching than collective defense as it addresses a broader range of threats.
• States usually establish an organization in order to pursue collective security. The UN is the most prominent example of a collective security organization.
• In collective defense (usually formalized by a treaty or an organization) states agree to come to the defense of another state; an attack on one state is considered an attack on all.
• The North Atlantic Treaty Organization (NATO) is one of the most prominent collective defense organizations. The US is a prominent and leading member of NATO.
• The 1991 Gulf War is an example of states successfully creating and deploying a collective military force.

Key Terms

collective defense

An arrangement, usually formalized by a treaty and an organization, among participant states that commit support in defense of a member state if it is attacked by another state outside the organization.

collective security

The concept of maintaining peace among all nations or members of a group by making the security concerns of one member important to all members. This is broader than mere military alliances; a primary example of collective security is the UN.

North Atlantic Treaty Organization

An intergovernmental military alliance based on the North Atlantic Treaty which was signed on 4 April 1949. The organization constitutes a system of collective defense whereby its member states agree to mutual defense in response to an attack by any external party.

Collective Military Force

A collective military force is what arises when countries decide that it is in their best interest to pool their militaries in order to achieve a common goal. The use of collective military force in the global environment involves two primary concepts: collective security and collective defense. These concepts are similar but not identical.

Collective Security

Collective security can be understood as a security arrangement, regional or global, in which each state in the system accepts that the security of one is the concern of all, and agrees to join in a collective response to threats to, and breaches of, the peace. Collective security is more ambitious than collective defense in that it seeks to encompass the totality of states within a region or indeed globally, and to address a wide range of possible threats.

Collective security is achieved by setting up an international cooperative organization, under the auspices of international law. This gives rise to a form of international collective governance, albeit limited in scope and effectiveness. The collective security organization then becomes an arena for diplomacy.

The UN and Collective Security

The UN is often provided as the primary example of collective security. By employing a system of collective security, the UN hopes to dissuade any member state from acting in a manner likely to threaten peace, thereby avoiding any conflict.

Collective Defense

Collective defense is an arrangement, usually formalized by a treaty and an organization, among participant states that commit support in defense of a member state if it is attacked by another state outside the organization .

NATO and Collective Defense

The North Atlantic Treaty Organization (NATO) is the best known collective defense organization . Its now famous Article V calls on (but does not fully commit) member states to assist another member under attack. This article was invoked after the September 11 attacks on the United States, after which other NATO members provided assistance to the US War on Terror in Afghanistan . As a global military and economic superpower, the US has taken charge of leading many of NATO’s initiatives and interventions.

NATO in Afghanistan

In 2003, NATO took command of ISAF (International Security Assistance Force), which was the group of international troops operating in Afghanistan. This picture depicts a commander passing the NATO flag during a change of command in Afghanistan.

September 11 and Collective Defense

The 11 September attacks in the United States caused NATO to invoke its collective defense article for the first time.

NATO Coverage

This map depicts current members of the North Atlantic Treaty Organization, one of the primary examples of a collective defense organization.

Benefits and Drawbacks to Collective Defense

Collective defense entails benefits as well as risks. On the one hand, by combining and pooling resources, it can reduce any single state’s cost of providing fully for its security. Smaller members of NATO, for example, have leeway to invest a greater proportion of their budget on non-military priorities, such as education or health, since they can count on other members to come to their defense, if needed.

On the other hand, collective defense also involves risky commitments. Member states can become embroiled in costly wars in which neither the direct victim nor the aggressor benefit. In the First World War, countries in the collective defense arrangement known as the Triple Entente (France, Britain, Russia) were pulled into war quickly when Russia started full mobilization against Austria-Hungary, whose ally Germany subsequently declared war on Russia.

Using Collective Military Force: The 1991 Gulf War

The Gulf War (2 August 1990 – 28 February 1991), codenamed Operation Desert Storm, was a war waged by a UN-authorized coalition force from 34 nations led by the United States, against Iraq in response to Iraq’s invasion and annexation of Kuwait. This invasion is often given as an example of the successful deployment of a collective military force.

In August, 1990, Iraqi troops invaded Kuwait. This invasion met with unified international condemnation, and brought immediate economic sanctions against Iraq by members of the UN Security Council. U.S. President George H. W. Bush deployed American forces into Saudi Arabia, and an array of nations joined the coalition. In this conflict, the UN, the US, and other nations were united into a military force that successfully propelled the Iraqi aggressor out of sovereign Kuwait.

18.5.5: Economic Aid and Sanctions

States can give economic aid to help another country, or implement economic sanctions to try and force another country to change policies.

Learning Objective

Analyze criticisms of the institutions, practices and policies of economic aid

Key Points

• Economic aid is given, at least partly, with the motivation of helping the recipient country. Aid can also be a tool of foreign policy given to show diplomatic approval, reward a government, or gain some other benefit.
• Economic aid is often given with conditions, meaning that in order to receive the aid, the recipient country must change economic policies, agree to spend the aid only on certain items, etc.
• Economic aid is often criticized for being motivated more by donor concerns than recipient concerns, for being a form of neocolonialism, and for simply not being effective.
• Economic sanctions are a foreign policy tool in which one country places trade penalties on another country, and may include trade barriers, duties, or quotas.
• Economic sanctions can be put in place as a foreign policy measure designed to make another country change some sort of human rights or political policy (for example, the US has sanctions against Iran).
• One country can declare sanctions against another country in protest of unfair trading practices.

Key Terms

conditionality

A condition applied to the access of a government to credit facilities and other international financial assistance, especially from the IMF and the World Bank.

neocolonialism

The control or domination by a powerful country over weaker ones (especially former colonies) by the use of economic pressure, political suppression and cultural dominance.

sanction

A penalty, or some coercive measure, intended to ensure compliance; especially one adopted by several nations, or by an international body.

Economic Aid and Sanctions

As part of foreign policy, states can use money and monetary policies to either help or penalize other states. Economic aid is a voluntary transfer of resources from one country to another, given at least partly with the objective of benefiting the recipient country . Sanctions, on the other hand, are penalties (usually in the form of trade policies) that are applied to one country by another.

Development Aid

States can give economic aid to help another country’s economic development. In this picture, the US government has supplied water pumps to a village in Afghanistan.

Economic Aid

Aid may have other functions besides humanitarian: it may be given to signal diplomatic approval, strengthen a military ally, reward a government for behavior desired by the donor, extend the donor’s cultural influence, provide infrastructure needed by the donor for resource extraction from the recipient country, or gain other kinds of commercial access. The threat of withdrawing aid can be another means by which a state can pursue its national interest. Humanitarianism and altruism are, nevertheless, significant motivations for the giving of aid.

A major proportion of aid from donor nations is based on conditionality, meaning that the aid comes with conditions. For example, some donors mandate that a receiving nation must spend the aid on products and expertise originating only from the donor country. Similarly, the World Bank and the International Monetary Fund, as primary holders of developing countries’ debt, attach structural adjustment conditionalities to loans which generally include eliminating state subsidies and the privatizing state services.

Criticisms of Economic Aid

Aid is seldom given from motives of pure altruism; instead, it is often used as a tool of foreign policy. It may be given as a means of supporting an ally in international politics. It may also be given with the intention of influencing the political process in the receiving nation. Aid to underdeveloped countries is often more in the interest of the donor than the recipient, or even a form of neocolonialism. In recent decades, aid by organizations such as the International Monetary Fund and the World Bank has been criticized as being primarily a tool used to open new areas up to global capitalists, and being only secondarily, if at all, concerned with the well-being of the people in the recipient countries.

Economic aid is often criticized for simply not being effective: it does not do what it was intended to do or help the people it was intended to help. Statistical studies have produced widely differing assessments of the correlation between aid and economic growth, and no firm consensus has emerged to suggest that foreign aid boosts growth. It has also been argued that foreign aid harms recipient governments, often because aid distributed by local politicians finances the creation of corrupt government.

Economic Sanctions: Resolving Trade Disputes

Economic sanctions are domestic penalties applied by one country or group of countries on another for a variety of reasons. Economic sanctions include, but are not limited to, tariffs, trade barriers, import duties, and import or export quotas.

Sanctions can arise from an unresolved trade or policy dispute, such as a disagreement about the fairness of a policy affecting international trade. For instance, one country may conclude that another is unfairly subsidizing exports of one or more products, or unfairly protecting some sector from competition from imported goods or services. The first country may retaliate by imposing import duties on goods or services from the second.

For example, in March 2010, Brazil introduced new sanctions against the US. These sanctions were on the basis that the US government was paying cotton farmers for their products, an action not allowed by the WTO. The WTO is currently supervising talks between the states to remove the sanctions.

Economic Sanctions: Achieving Policy Goals

Economic sanctions also can be a coercive foreign policy measure used to achieve particular policy goals related to trade, governance, or humanitarian violations. For example, the United States has imposed economic sanctions against Iran for years on the basis that the Iranian government sponsors groups who work against US interests . The United Nations imposed stringent economic sanctions on Iraq after the first Gulf War, partly as an attempt to make the Iraqi government cooperate with the UN weapons inspectors’ monitoring of Iraq’s weapons programs.

Iran and Sanctions

The US has long upheld economic sanctions against Iran, arguing that Iran pursues policies that are contrary to US national interest.

18.5.6: Arbitration

Arbitration is a form of dispute resolution that can be used to resolve international commercial, investment, and interstate conflicts.

Learning Objective

Explain the advantages of international commercial and investment arbitration

Key Points

• Arbitration is a form of alternative dispute resolution in which a third party reviews evidence in a dispute and makes a decision that is legally binding for all involved.
• International arbitration has frequently been used in resolving international commercial or investment disputes.
• International commercial and investment arbitration is popular primarily because it avoids the uncertainties and problems that come with litigating in a foreign, national court, and arbitration is confidential and enforceable.
• The main legal instrument that governs international commercial arbitration is the 1958 New York Convention, which was created under the auspices of the UN and has been signed by more than 140 countries.
• Arbitration can also be an important tool of foreign policy, as it provides a way for states to resolve their conflicts peaceably. For example, in 1903, arbitration settled a border dispute between the United States and Canada.

Key Terms

New York Convention

Widely considered the foundational instrument for international arbitration, this agreement requires the courts of states who signed the agreement to give effect to private arbitration agreements and to recognize and enforce arbitration awards made in other contracting states.

alternative dispute resolution

Resolution of a dispute through negotiation, mediation, arbitration, or similar means, as opposed to litigation

arbitration

A process through which two or more parties use an arbitrator or arbiter (an impartial third party) in order to resolve a dispute.

What is Arbitration?

Arbitration, a form of alternative dispute resolution, is a legal technique for the resolution of disputes outside the courts, where the parties to a dispute refer it to one or more persons by whose decision they agree to be bound. It is a resolution technique in which a third party reviews the evidence in the case and imposes a decision that is legally binding for both sides and enforceable.

Arbitration is often used for the resolution of commercial disputes, particularly in the context of international commercial transactions. Arbitration can be an important tool of foreign policy, as it allows states a forum to resolve disputes.

International Arbitration

International arbitration is a leading method for resolving disputes arising from international commercial agreements and other international relationships. As with arbitration generally, international arbitration is a creature of contract. In other words, the parties’ agree to submit disputes to binding resolution by arbitrators, usually by including a provision for the arbitration of future disputes in their contract. The practice of international arbitration has developed so as to allow parties from different legal and cultural backgrounds to resolve their disputes, generally without the formalities of their respective legal systems.

Advantages to International Arbitration

International arbitration has enjoyed growing popularity with business and other users over the past 50 years. There are a number of reasons that parties elect to have their international disputes resolved through arbitration. These include: the desire to avoid the uncertainties and local practices associated with litigation in national courts, the desire to obtain a quicker, more efficient decision, the relative enforceability of arbitration agreements and awards, the commercial expertise of arbitrators, the parties’ freedom to select and design the arbitral procedures, confidentiality of arbitration, and other benefits.

The New York Convention

The principal instrument governing the enforcement of commercial international arbitration agreements and awards is the United Nations Convention on Recognition and Enforcement of Foreign Arbitral Awards of 1958 (the “New York Convention”). The New York Convention was drafted under the auspices of the United Nations and has been ratified by more than 140 countries, including most major countries involved in significant international trade and economic transactions . The New York Convention requires that the states that have ratified it to recognize and enforce international arbitration agreements and foreign arbitral awards issued in other contracting states, subject to certain limited exceptions. These provisions of the New York Convention, together with the large number of contracting states, has created an international legal regime that significantly favors the enforcement of international arbitration agreements and awards.

New York Convention Signatories

This map depicts all of the countries who have signed on to the New York Convention. This extensive treaty is often recognized as the most important instrument governing international commercial arbitration.

International Commercial and Investment Arbitration

The resolution of disputes under international commercial contracts is widely conducted under the auspices of several major international institutions and rule making bodies. Specialist dispute resolution bodies also exist, such as the World Intellectual Property Organisation (WIPO), which has an arbitration and mediation center and a panel of international neutrals specializing in intellectual property and technology related disputes.

The last few decades have seen the promulgation of numerous investment treaties such as the Energy Charter Treaty, which are designed to encourage investment in signatory countries by offering protections to investors from other signatory states.

Interstate Arbitration

Arbitration has been used for centuries for the resolution of disputes between states and state-like entities. The 1899 and 1907 Hague Conferences addressed arbitration as a mechanism for resolving state-to-state disputes, leading to the adoption of the Hague Conventions for the Pacific Settlement of International Disputes. The Conventions established the Permanent Court of Arbitration and a rudimentary institutional framework for international arbitration of inter-state disputes .

Members of the Permanent Court of Arbitration

These states are parties to the Permanent Court of Arbitration (the green states signed on to the 1907 agreement and the blue ones to the 1899 agreement).

For example, in 1903, arbitration resolved a dispute over the Canada-Alaska border. The Alaska Purchase of 1867 drew the boundary between Canada and Alaska in ambiguous fashion. With the gold rush into the Yukon in 1898, miners had to enter through Alaska and Canada wanted the boundary redrawn to obtain its own port. The issue went to arbitration and the Alaska boundary dispute was resolved in US favor by an arbitration in 1903 . In recent years, international arbitration has been used to resolve a number of disputes between states or state-like entities, thus making arbitration an important tool in modern foreign policy.

Alaska Boundary Dispute

Blue is the border as was claimed by the United States, red is the border as was claimed by Canada. The Canadian province of British Columbia claimed a greater area, shown in green. Yellow shows the current border, after the boundary dispute was resolved by arbitration in 1903. Arbitration can be an important tool in solving interstate disputes.

17.2: Social Policies

17.2.1: Education Policy

Learning Objective

Identify the main issues and institutions behind education policy

Key Points

• Towards the 20th century, states started passing laws to make schooling compulsory, and by 1910, 72 percent of children were attending school. Private schools continued to spread during this time, as well as colleges and—in the rural centers—land grant colleges.
• The landmark Supreme Court case Brown v. Board of Education made the desegregation of elementary and high schools a national priority, while the Pell Grant program helped poor minorities gain access to college.
• The resulting No Child Left Behind Act of 2001 was controversial and its goals proved to be unrealistic. A commission established in 2006 evaluated higher education, but its recommendations are yet to be fully implemented.
• School districts are usually separate from other local jurisdictions, with independent officials and budgets. State governments usually make educational standards and standardized testing decisions.
• The reliance on local funding sources has led to a long history of court challenges about how states fund their schools. These challenges have relied on interpretations of state constitutions after a U.S. Supreme Court ruling that school funding was not a matter of the U.S. Constitution.
• At the college and university level, student loan funding is split in half; half is managed by the Department of Education directly, called the Federal Direct Student Loan Program (FDSLP).

Key Terms

standardized

A designed or constructed in a standard manner or according to an official standard

compulsory

Required; obligatory; mandatory

Background

Government supported, free public schools was introduced after the revolution, and expanded in the 19^th century as a result of the efforts of men like Horace Mann and Booker T. Washington. By 1870, all states had free elementary schools, but only in urban centers. Towards the 20^th century, states started passing laws that made schooling compulsory. By 1910, 72 percent of children were attending school. Private schools continued to spread during this time, as well as colleges and—in the rural centers—land grant colleges. The year of 1910 also saw the first true high schools.

During the rest of the 20^th century, educational efforts were centered on reducing the inequality in the school system. The landmark Supreme Court case Brown v. Board of Education made the desegregation of elementary and high schools a national priority, while the Pell Grant program helped poor minorities gain access to college. Special education was made into federal law in 1975.

The Elementary and Secondary Education Act of 1965 made standardized testing a requirement, and in 1983, a commission was established to evaluate their results and propose a course of action. The resulting No Child Left Behind Act of 2001 was controversial and its goals proved to be unrealistic. A commission established in 2006 evaluated higher education, but its recommendations are yet to be fully implemented.

Education in the United States is mainly provided by the public sector, with control and funding coming from three levels: local, state, and federal, in that order. Child education is compulsory. There are also a large number and wide variety of higher education institutions throughout the country that one can choose to attend, both publicly and privately administered.

Public education is universally available. School curricula, funding, teaching, employment, and other policies are set through locally elected school boards with jurisdiction over the school districts. The districts receive many directives from the state government. School districts are usually separate from other local jurisdictions, with independent officials and budgets. State governments usually set educational standards and standardized testing decisions.

Statistics in Education

Among the country’s adult population, over 85 percent have completed high school and 27 percent have received a bachelor’s degree or higher. According to a 2005 study by the U.S. Census Bureau, the average salary for college or university graduates is greater than $51,000, exceeding the national average of those without a high school diploma by more than $23,000. The 2010 unemployment rate for high school graduates was 10.8%; the rate for college graduates was 4.9%. The country has a reading literacy rate at 99% of the population over age 15, while ranking below average in science and mathematics proficiency compared to other developed countries. In 2008, the high school graduation rate was 77%, below that of most developed countries.

The poor performance has pushed public and private efforts such as the No Child Left Behind Act. In addition, the ratio of college-educated adults entering the workforce to general population (33%) is slightly below the mean of other developed countries (35%) and rate of participation of the labor force in continuing education is high.

Funding for Education

The reliance on local funding sources has led to a long history of court challenges about how states fund their schools. These challenges have relied on interpretations of state constitutions after a U.S. Supreme Court ruling that school funding was not a matter of the U.S. Constitution (San Antonio Independent School District v. Rodriguez, 411 U.S. 1 (1973)). The state court cases, beginning with the California case of Serrano v. Priest, 5 Cal.3d 584 (1971), were initially concerned with equity in funding, which was defined in terms of variations in spending across local school districts. More recently, state court cases have begun to consider what has been called ‘adequacy. ‘ These cases have questioned whether the total amount of spending was sufficient to meet state constitutional requirements.

At the college and university level student loan funding is split in half; half is managed by the Department of Education directly, called the Federal Direct Student Loan Program (FDSLP). The other half is managed by commercial entities such as banks, credit unions, and financial services firms such as Sallie Mae, under the Federal Family Education Loan Program (FFELP). Some schools accept only FFELP loans; others accept only FDSLP. Still others accept both, and a few schools will accept neither, in which case students must seek out private alternatives for student loans. The federal Pell Grant program provides funding for students who demonstrate financial need.

College Tuition Rising

Cost of US college education relative to the consumer price index (inflation).

17.2.2: Employment Policy

Learning Objective

Illustrate how employment policy is driven by federal, state and local law

Key Points

• Federal law not only sets the standards that govern workers’ rights to organize in the private sector, but also overrides most state and local laws that attempt to regulate this area.
• Federal and state laws protect workers from employment discrimination. In most areas these two bodies of law overlap. Federal law permits states to enact their own statutes barring discrimination on the basis of race, gender, religion, national origin and age.
• The NLRA and RLA displace state laws that attempt to regulate the right to organize, to strike and to engage in collective bargaining. The NLRB has exclusive jurisdiction to determine whether an employer has engaged in an unfair labor practice and to decide what remedies should be provided.
• US private-sector employees thus do not have the indefinite contracts traditionally common in many European countries, Canada and New Zealand.
• Public employees in both federal and state government are also typically covered by civil service systems that protect them from unjust discharge.
• The Fair Labor Standards Act of 1938 (FLSA) establishes minimum wage and overtime rights for most private sector workers, with a number of exemptions and exceptions. The FLSA does not preempt state and local governments from providing greater protections under their own laws.

Key Terms

statutory protections

Protections received by the statue of law set by the legislature.

safety standards

Providing state regulations to set the standards of a safe work environment.

minimum wage

The lowest rate at which an employer can legally pay an employee; usually expressed as pay per hour.

Background

United States labor law is a heterogeneous collection of state and federal laws. Federal law not only sets the standards that govern workers’ rights to organize in the private sector, but also overrides most state and local laws that attempt to regulate this area. Federal law also provides more limited rights for employees of the federal government. These federal laws do not apply to employees of state and local governments, agricultural workers and domestic employees; any statutory protections these workers have derived from state law.

Federal law establishes minimum wages and overtime rights for most workers in the private and public sectors; state and local laws may provide more expansive rights. Federal law provides minimum workplace safety standards, but allows the states to take over those responsibilities and to provide more stringent standards.

Federal and state laws protect workers from employment discrimination. In most aspects, these two bodies of law overlap. Federal law permits states to enact their own statutes barring discrimination on the basis of race, gender, religion, national origin and age, so long as the state law does not provide less protections than federal law would. Federal law, on the other hand, preempts most state statutes that would bar employers from discriminating against employees to prevent them from obtaining pensions or other benefits or retaliating against them for asserting those rights.

Regulation of Unions and Organizing

The Taft-Hartley Act (also known as the “Labor-Management Relations Act”), passed in 1947, loosened some of the restrictions on employers, changed NLRB election procedures, and added a number of limitations on unions. The Act, among other things, prohibits jurisdictional strikes and secondary boycotts by unions, and authorizes individual states to pass “right-to-work laws”, regulates pension and other benefit plans established by unions and provides that federal courts have jurisdiction to enforce collective bargaining agreements.

For the most part, the NLRA and RLA displace state laws that attempt to regulate the right to organize, to strike and to engage in collective bargaining. The NLRB has exclusive jurisdiction to determine whether an employer has engaged in an unfair labor practice and to decide what remedies should be provided. States and local governments can, on the other hand, impose requirements when acting as market participants, such as requiring that all contractors sign a project labor agreement to avoid strikes when building a public works project, that they could not if they were attempting to regulate those employers’ labor relations directly.

Regulation of Wages, Benefits and Working Conditions

The Fair Labor Standards Act of 1938 (FLSA) establishes minimum wage and overtime rights for most private sector workers, with a number of exemptions and exceptions. The FLSA does not preempt state and local governments from providing greater protections under their own laws. A number of states have enacted higher minimum wages and extended their laws to cover workers who are excluded under the FLSA or to provide rights that federal law ignores. Local governments have also adopted a number of “living wage” laws that require those employers that contract with them to pay higher minimum wages and benefits to their employees. The federal government, along with many state governments, also requires employers to pay the prevailing wage to workers on public works projects, a practice which typically reflects the standards established by unions’ collective bargaining agreements in the area.

History of the Minimum Wage

This graph of the minimum wage in the United States shows the fluctuation in government guarantees for minimum standards of labor.

Job Security

While most state and federal laws start from the presumption that workers who are not covered by a collective bargaining agreement or an individual employment agreement are “at will” employees who can be fired without notice and for no stated reason, state and federal laws prohibiting discrimination or protecting the right to organize or engage in whistleblowing activities modify that rule by providing that discharge or other forms of discrimination are illegal if undertaken on grounds specifically prohibited by law. In addition, a number of states have modified the general rule that employment is at will by holding that employees may, under that state’s common law, have implied contract rights to fair treatment by their employers. US private-sector employees thus do not have the indefinite contracts traditionally common in many European countries, Canada and New Zealand.

Public employees in both federal and state government are also typically covered by civil service systems that protect them from unjust discharge. Public employees who have enough rights against unjustified discharge by their employers may also acquire a property right in their jobs, which entitles them in turn to additional protections under the due process clause of the Fourteenth Amendment to the United States Constitution.

The Worker Adjustment and Retraining Notification Act, better known by its acronym, the WARN Act, requires private sector employers to give sixty days’ notice of large-scale layoffs and plant closures; it allows a number of exceptions for unforeseen emergencies and other cases.

17.2.3: Health Care Policy

Learning Objective

Compare and contrast the provision of healthcare by private and public providers

Key Points

• The government primarily provides health insurance for public sector employees. 60-65% of healthcare provision and spending comes from programs such as Medicare, Medicaid, TRICARE, the Children’s Health Insurance Program, and the Veterans Health Administration.
• In May of 2011, the state of Vermont became the first state to pass legislation establishing a single-payer health care system.
• The Patient Protection and Affordable Care Act (PPACA), commonly called Obamacare (or the federal health care law), is a United States federal statute signed into law by President Barack Obama on March 23, 2010.
• According to the World Health Organization (WHO), total health care spending in the U.S. was 15.2% of its GDP in 2008, the highest in the world.
• Most Americans under age 65 (59.3%) receive their health insurance coverage through an employer (which includes both private as well as civilian public-sector employers) under group coverage, although this percentage is declining.
• Public spending accounts for 45% to 56.1% of U.S. health care spending.

Key Terms

Medicare

Guarantees healthcare for people older than 65 and younger people with disabilities and other physical ailments.

Medicaid

Guarantees healthcare for low income families.

TRICARE

A public healthcare program for the U.S. military.

Background

Health care in the United States is provided by many distinct organizations. Health care facilities are largely owned and operated by private sector businesses. The government primarily provides health insurance for public sector employees. 60-65% of healthcare provision and spending comes from programs such as Medicare, Medicaid, TRICARE, the Children’s Health Insurance Program, and the Veterans Health Administration. Their family member’s employer insures most of the population under 65, some buy health insurance on their own, and the remainder is uninsured.

In May of 2011, the state of Vermont became the first state to pass legislation creating a single-payer health care system. The legislation, known as Act 48, establishes health care in the state as a “human right” and lays the responsibility on the state to provide a health care system which best meets the needs of the citizens of Vermont. The state is currently in the studying phase of how best to implement this system.

The Patient Protection and Affordable Care Act (PPACA), commonly called Obamacare (or the federal health care law), is a United States federal statute signed into law by President Barack Obama on March 23, 2010. Together with the Health Care and Education Reconciliation Act, Obamacare represents the most significant regulatory overhaul of the U.S. healthcare system since the passage of Medicare and Medicaid in 1965.

PPACA is aimed primarily at decreasing the number of uninsured Americans and reducing the overall costs of health care. It provides a number of mechanisms—including mandates, subsidies, and tax credits—to employers and individuals in order to increase the coverage rate.

Spending

According to the World Health Organization (WHO), total health care spending in the U.S. was 15.2% of its GDP in 2008, the highest in the world . The Health and Human Services Department expects that the health share of GDP will continue its historical upward trend, reaching 19.5% of GDP by 2017. Of each dollar spent on health care in the United States, 31% goes to hospital care, 21% goes to physician/clinical services, 10% to pharmaceuticals, 4% to dental, 6% to nursing homes and 3% to home health care, 3% for other retail products, 3% for government public health activities, 7% to administrative costs, 7% to investment, and 6% to other professional services (physical therapists, optometrists, etc.).

International Comparison for Healthcare spending as % GDP

This graph shows the fraction of gross domestic product (GDP) devoted to health care in a number of developed countries in 2006.According to the Organization for Economic Cooperation and Development (OECD), the United States spent 15.3 percent of its GDP on health care in 2006.The next highest country was Switzerland, with 11.3 percent.In most other high-income countries, the share was less than 10 percent.

Increased spending on disease prevention is often suggested as a way of reducing health care spending. Whether prevention saves or costs money depends on the intervention. Childhood vaccinations, or contraceptives save much more than they cost. Research suggests that in many cases prevention does not produce significant long-term cost savings. Some interventions may be cost-effective by providing health benefits, while others are not cost-effective. Preventive care is typically provided to many people who would never become ill, and for those who would have become ill, it is partially offset by the health care costs during additional years of life.

Private Healthcare

Most Americans under age 65 (59.3%) receive their health insurance coverage through an employer (which includes both private as well as civilian public-sector employers) under group coverage, although this percentage is declining. Costs for employer-paid health insurance are rising rapidly: since 2001, premiums for family coverage have increased 78%, while wages have risen 19% and inflation has risen 17%, according to a 2007 study by the Kaiser Family Foundation. Workers with employer-sponsored insurance also contribute; in 2007, the average percentage of premium paid by covered workers is 16% for single coverage and 28% for family coverage. In addition to their premium contributions, most covered workers face additional payments when they use health care services, in the form of deductibles and copayments.

Public Healthcare

Government programs directly cover 27.8% of the population (83 million), including the elderly, disabled, children, veterans, and some of the poor, and federal law mandates public access to emergency services regardless of ability to pay. Public spending accounts for 45% to 56.1% of U.S. health care spending.

There are also various state and local programs for the poor. In 2007, Medicaid provided health care coverage for 39.6 million low-income Americans (although Medicaid covers approximately 40% of America’s poor). Also in 2007, Medicare provided health care coverage for 41.4 million elderly and disabled Americans. Enrollment in Medicare is expected to reach 77 million by 2031, when the baby boom generation is fully enrolled.

It has been reported that the number of physicians accepting Medicaid has decreased in recent years due to relatively high administrative costs and low reimbursements. In 1997, the federal government also created the State Children’s Health Insurance Program (SCHIP), a joint federal-state program to insure children in families that earn too much to qualify for Medicaid but cannot afford health insurance.

17.2.4: Health Care Reform

Learning Objective

Explain the elements and provisions of the Patient Protection and Affordable Act and discuss the history of health-care reform in the 20th century

Key Points

• Health care reform was a major concern of the Bill Clinton administration, headed by First Lady Hillary Clinton; however, the 1993 Clinton health care plan was not enacted into law.
• The Health Security Express was a bus tour that started in late July of 1994. It involved supporters of President Clinton’s national health care reform.
• Barack Obama called for universal health care and the creation of a National Health Insurance Exchange that would include both private insurance plans and a Medicare-like government run option.
• In 2010, the Patient Protection and Affordable Care Act was enacted by President Obama, providing for the introduction, over four years, of a comprehensive system of mandated health insurance with reforms designed to eliminate some of the least-desirable practices of the insurance companies.

Key Term

pilot

Something serving as a test or trial.

Background

The issue of health insurance reform in the United States has been the subject of political debate since the early part of the 20^th century. Recent reforms remain an active political issue. Alternative reform proposals were offered by both of the two major candidates in the 2008 presidential election and President Obama’s plan for universal health care was challenged in the 2012 presidential election.

Clinton Initiative

Health care reform was a major concern of the Bill Clinton administration, headed by First Lady Hillary Clinton; however, the 1993 Clinton health care plan was not enacted into law.

The Health Security Express was a bus tour that started in late July of 1994. It involved supporters of President Clinton’s national health care reform. Several buses leaving from different points in the United States stopped in many cities along the way to the final destination of the White House. During these stops, each of the bus riders would talk about personal experiences, health care disasters, and why they felt it was important for all Americans to have health insurance. When the bus tour ended on August 3^rd, the riders were greeted by President Clinton and the First Lady on the White House South lawn for a rally that was broadcast all over the world.

Changes under George W. Bush

In 2003 Congress passed the Medicare Prescription Drug, Improvement, and Modernization Act , which President George W. Bush signed into law on December 8, 2003. Part of this legislation included filling gaps in prescription-drug coverage left by the Medicare Secondary Payer Act that was enacted in 1980. The 2003 bill strengthened the Workers’ Compensation Medicare Set-Aside Program (WCMSA) that is monitored and administered by CMS.

Debate in the 2008 Presidential Election

Barack Obama called for universal health care and the creation of a National Health Insurance Exchange that would include both private insurance plans and a Medicare-like government run option. Coverage would be guaranteed regardless of health status and premiums would not vary based on health status. Obama’s plan required that parents cover their children, but did not require that adults buy insurance.

In 2010, the Patient Protection and Affordable Care Act (PPACA) was enacted by President Obama, providing for the introduction, over four years, of a comprehensive system of mandated health insurance with reforms designed to eliminate some of the least-desirable practices of the insurance companies (such as precondition screenings, rescinding policies when illness seemed imminent, and annual and lifetime coverage caps). The PPACA also set a minimum ratio of direct health care spending to premium income, created price competition bolstered by the creation of three standard insurance coverage levels to enable like-for-like comparisons by consumers, and also created a web-based health insurance exchange where consumers can compare prices and purchase plans. The system preserves private insurance and private health care providers and provides more subsidies to enable the poor to buy insurance.

Effective as of 2013

• A national pilot program is established for Medicare on payment bundling to encourage doctors, hospitals, and other care providers to better coordinate patient care. The threshold for claiming medical expenses on itemized tax returns is raised from 7.5% to 10% of adjusted gross income. The threshold remains at 7.5% for the elderly through 2016.
• The Federal Insurance Contributions Act tax (FICA) is raised to 2.35% from 1.45% for individuals earning more than $200,000 and married couples with incomes over $250,000. The tax is imposed on some investment income for that income group.
• A 2.9% excise tax is imposed on the sale of medical devices. Anything generally purchased at the retail level by the public is excluded from the tax

Effective as of 2014

• State health insurance exchanges open for small businesses and individuals.
• Individuals with income up to 133% of the federal poverty level qualify for Medicaid coverage.
• Healthcare tax credits become available to help people with incomes up to 400 percent of poverty purchase coverage on the exchange.
• Premium cap for maximum “out-of-pocket” pay will be established for people with incomes up to 400 percent of the Federal Poverty Line.
• Most people will be required to obtain health insurance or pay a tax.
• Health plans can no longer exclude people from coverage due to preexisting conditions.
• Employers with 50 or more workers who do not offer coverage face a fine of $2,000 for each employee if any worker receives subsidized insurance on the exchange. The first 30 employees are not counted for the fine.
• Effects on insurance premiums
• The Associated Press reported that, as a result of PPACA’s provisions concerning the Medicare Part D coverage gap (between the initial coverage limit and the catastrophic coverage threshold in the Medicare Part D prescription drug program), individuals falling in this “donut hole” would save about 40 percent. Almost all of the savings came because, with regard to brand-name drugs, PPACA secured a discount from pharmaceutical companies. The change benefited more than two million people, most of them in the middle class

17.2.5: Housing Policy

Learning Objective

Explain the implications of national and local housing policy

Key Points

• Originally, public housing in the U.S. consisted of one or more blocks of low-rise and/or high-rise apartment buildings operated by a government agency.
• Subsidized apartment buildings in the U.S. are usually called housing projects, and the slang term for a group of these buildings is “the projects”.
• In 1937, the Wagner-Stegall Housing Act established the United States Housing Authority Housing Act of 1937.
• In the 1960s, across the nation, housing authorities became key partners in urban renewal efforts, constructing new homes for those displaced by highway, hospital, and other public efforts.
• The Housing and Community Development Act of 1974 created the Section 8 Housing Program to encourage the private sector to construct affordable homes.
• The city housing authorities or local governments generally run scattered-site housing programs. They are intended to increase the availability of affordable housing and improve the quality of low-income housing, while avoiding problems associated with concentrated subsidized housing.

Key Terms

middle-class

occupying a position between the upper class and the working class.

retail price

A price given to any item influenced by the behaviors of the market demand.

subsidized housing

A form of housing that is subsidized by the government for people with low-incomes.

Background

Public housing in the United States has been administered by federal, state, and local agencies to provide subsidized assistance for low-income people and those living in poverty. Now increasingly provided in a variety of settings and formats, originally public housing in the U.S. consisted of one or more blocks of low-rise and/or high-rise apartment buildings operated by a government agency. Subsidized apartment buildings in the U.S. are usually called housing projects, and the slang term for a group of these buildings is “the projects”.

Public Housing

In 1937, the Wagner-Stegall Housing Act established the United States Housing Authority Housing Act (USHA) of 1937. Building on the Housing Division’s organizational and architectural precedent, the USHA built housing in the build-up to World War II, supported war-production efforts, and battled the housing shortage that occurred after the end of the war. In the 1960s, across the nation, housing authorities became key partners in urban renewal efforts, constructing new homes for those displaced by highway, hospital, and other public efforts.

One of the most unique U.S. public housing initiatives was the development of subsidized middle-class housing during the late New Deal (1940–42) under the auspices of the Mutual Ownership Defense Housing Division of the Federal Works Agency under the direction of Colonel Lawrence Westbrook. The residents purchased these eight projects after the Second World War and as of 2009 seven of the projects continue to operate as mutual housing corporations owned by their residents. These projects are among the very few definitive success stories in the history of the U.S. public housing effort.

Public housing in its earliest decades was usually much more working-class and middle-class and white than it was by the 1970s. Many Americans associate large, multi-story towers with public housing, but early projects, like the Ida B. Wells projects in Chicago, were actually low-rise towers. Le Corbusier superblocks caught on before World War II, as seen in the (union built) Penn South houses in New York.

Hylan Houses Bushwick, Brooklyn NY

The 20-story John F. Hylan Houses in the Bushwick section of Brooklyn, New York City.

The Housing and Community Development Act of 1974 created the Section 8 Housing Program to encourage the private sector to construct affordable homes. This kind of housing assistance helps poor tenants by giving a monthly subsidy to their landlords. This assistance can be ‘project based,’ which applies to specific properties, or ‘tenant based,’ which provides tenants with a voucher they can use anywhere vouchers are accepted. Virtually no new project based Section 8 housing has been produced since 1983. Effective October 1, 1999, existing tenant based voucher programs were merged into the Housing Choice Voucher Program, which is today the primary means of providing subsidies to low-income renters.

Public Policy and Implications

The city housing authorities or local governments generally run scattered-site housing programs. They are intended to increase the availability of affordable housing and improve the quality of low-income housing, while avoiding problems associated with concentrated subsidized housing. Many scattered-site units are built to be similar in appearance to other homes in the neighborhood to somewhat mask the financial stature of tenants and reduce the stigma associated with public housing.

Where to construct these housing units and how to gain the support of the community are issues of concern when it comes to public housing. Frequent concerns of community members include potential decreases in the retail price of their home, and a decline in neighborhood safety due to elevated levels of crime. Thus, one of the major concerns with the relocation of scattered-site tenants into white, middle-class neighborhoods is that residents will move elsewhere – a phenomenon known as white flight. To counter this phenomenon, some programs place tenants in private apartments that do not appear outwardly different. Despite these efforts, many members of middle-class, predominantly white neighborhoods have fought hard to keep public housing out of their communities.

There are also concerns associated with the financial burden that these programs have on the state. Scattered-site housing provides no better living conditions for its tenants than traditional concentrated housing if the units are not properly maintained. There are questions as to whether or not scattered-site public facilities are more expensive to manage because dispersal throughout the city makes maintenance more difficult.

17.3: Social Policy Demographics

17.3.1: The Elderly

There are several social policy challenges relating to the elderly, who are generally over the age of 65 and have retired from their jobs.

Learning Objective

Discuss government policies that affect the elderly

Key Points

• Within the United States, senior citizens are at the center of several social policy issues, most prominently Social Security and Medicare.
• Social Security is a social insurance program consisting of retirement, disability, and survivors’ benefits.
• In 1965, Congress created Medicare under Title XVIII of the Social Security Act to provide health insurance to people age 65 and older, regardless of income or medical history.

Key Terms

social insurance

a program where risks are transferred to and pooled by an organization, often governmental, that is legally required to provide certain benefits

New Deal

The New Deal was a series of economic programs enacted in the United States between 1933 and 1936. They involved presidential executive orders or laws passed by Congress during the first term of President Franklin D. Roosevelt. The programs were in response to the Great Depression, and focused on what historians call the “3 Rs”: Relief, Recovery, and Reform.

The elderly, often referred to as senior citizens, are people who are generally over the age of 65 and have retired from their jobs. Within the United States, senior citizens are at the center of several social policy issues, most prominently Social Security and Medicare.

Social security is a social insurance program consisting of retirement, disability, and survivors’ benefits. To qualify for these benefits, most American workers pay Social Security taxes on their earnings, and future benefits are based on the employees’ contributions. The Social Security Administration was set up in 1935 as part of President Franklin D. Roosevelt’s “New Deal. ” Social Security is currently the largest social welfare program in the United States, constituting 37% of government expenditure and 7% of GDP. In 2010, more than 54 million Americans received approximately $712 billion in Social Security benefits

Social Security

Social Security card, which grants certain benefits to citizens.

In 1965, Congress created Medicare under Title XVIII of the Social Security Act to provide health insurance to people age 65 and older, regardless of income or medical history. Medicare spreads the financial risk associated with illness across society in order to protect everyone. Thus, it has a somewhat different social role from for-profit private insurers, which manage their risk portfolio by adjusting their pricing according to perceived risk.

The Medicare population differs in significant ways from the general population. Compared to the rest of Americans, Medicare enrollees are disproportionately white and female (due to women’s greater longevity). They also have a comparatively precarious economic situation, which is usually exacerbated by the high cost of health care for the elderly.

17.3.2: The Middle Class

The middle class consists of people in the middle of a societal hierarchy, which varies between cultures.

Learning Objective

Identify the central features of the middle-class in the United States

Key Points

• The following factors are often ascribed to someone in the middle class: having a college education; holding professional qualifications, including academics, lawyers, engineers and doctors; a belief in bourgeois values; and identification culturally with mainstream popular culture.
• Within the United States, the broader middle class is often described as divided into the upper-middle class (also called the “professional class”) and the lower-middle class.
• Recently, the typical lifestyle of the American middle class has been criticized for its “conspicuous consumption” and materialism, as Americans have the largest homes and most appliances and automobiles in the world.

Key Terms

bourgeois

Of or relating to the middle class, especially its attitudes and conventions.

inflation

An increase in the general level of prices or in the cost of living.

materialism

Constant concern over material possessions and wealth and a great or excessive regard for worldly concerns.

The middle class is a category of people in the middle of a societal hierarchy, though common measures of what constitutes middle class vary significantly between cultures.

The size of the middle class depends on how it is defined, whether by education, wealth, environment of upbringing, social network, manners or values, etc. However, the following factors are often ascribed in modern usage to someone in the middle class: having a college education; holding professional qualifications, including academics, lawyers, engineers, and doctors; a belief in bourgeoisvalues, such as high rates of home ownership and secure jobs; a particular lifestyle; and the identification culturally with mainstream popular culture (particularly in the United States).

Within the United States, the broader middle class is often described as divided into the upper-middle class (also called the “professional class”) and the lower-middle class. The upper-middle class consists mostly of white-collar professionals, most of whom are highly educated, salaried professionals whose work is largely self-directed and typically involves conceptualizing, creating, consulting, and supervising. Many have graduate degrees, with educational attainment serving as the main distinguishing feature of this class. Household incomes commonly exceed $100,000. The lower-middle class consists mainly of people in technical and lower-level management positions who work for those in the upper middle class. Though they enjoy a reasonably comfortable standard of living, they are often threatened by taxes and inflation.

Recently, the typical lifestyle of the American middle class has been criticized for its “conspicuous consumption” and materialism, as Americans have the largest homes and most appliances and automobiles in the world. Another challenge to the stability of the middle class within the United States is increasing income inequality, as middle class Americans have seen their incomes increase at a much slower rate than the wealthiest 1% in the country .

Suburban Middle Class Home

An upscale home in suburban California, an example of the “conspicuous consumption” of the American middle class.

17.3.3: The Working Poor

The working poor are working people whose incomes fall below a given poverty line.

Learning Objective

Define the working poor in the United States

Key Points

• Of the 8.8 million US families below the poverty line (11.1% of all families), 5.19 million, or 58.9%, had at least one person who was classified as working.
• Within the United States, since the start of the War on Poverty in the 1960s, scholars and policymakers on both ends of the political spectrum have paid an increasing amount of attention to the working poor.
• Some of the obstacles that working poor people may face include finding affordable housing, arranging transportation to and from work, buying basic necessities, arranging childcare, having unpredictable work schedules, juggling two or more jobs, and coping with low-status work.

Key Term

Poverty line

The threshold of poverty below which one’s income does not cover necessities.

The working poor are working people whose incomes fall below a given poverty line. While poverty is often associated with joblessness, the wages of the working poor are usually insufficient to provide basic necessities, causing them to face numerous obstacles that make it difficult for many of them to find and keep a job, save up money, and maintain a sense of self-worth. In 2009, according to the U.S. Census Bureau’s official definition of poverty, 8.8 million US families were below the poverty line (11.1% of all families). Of these families, 5.19 million, or 58.9%, had at least one person who was classified as working

The Working Poor

Percentage of the working and nonworking poor in different countries

Within the United States, since the start of the War on Poverty in the 1960s, scholars and policymakers on both ends of the political spectrum have paid an increasing amount of attention to the working poor. One of the key ongoing debates concerns the distinction between the working and the nonworking (unemployed) poor. Conservative scholars and policymakers often attribute the prevalence of inequality and working poverty to overregulation and overtaxation, which they claim constricts job growth. In contrast, liberal scholars argue that the government should provide more housing assistance, childcare, and other kinds of aid to poor families, in order to help them overcome the obstacles they face.

Some of these obstacles may include finding affordable housing, arranging transportation to and from work, buying basic necessities, arranging childcare, having unpredictable work schedules, juggling two or more jobs, and coping with low-status work. Many scholars and policymakers suggest welfare state generosity, increased wages and benefits, more vocational education and training, increased child support, and increased rates of marriage as probable remedies to these obstacles.

17.3.4: The Nonworking Poor

The nonworking poor are unemployed people whose incomes fall below a given poverty line.

Learning Objective

Discuss the nonworking poor and the obstacles they face in the United States

Key Points

• Many conservative scholars tend to see nonworking poverty as a more urgent problem than working poverty because they believe that non-work is a moral hazard that leads to welfare dependency and laziness, whereas work, even poorly paid work, is morally beneficial.
• In order to help the nonworking poor gain entry into the labor market, liberal scholars advocate that the government should provide more housing assistance, childcare, and other kinds of aid to poor families.
• Many policies that have been proposed to alleviate the obstacles that working poor people face may also be applied to the nonworking poor, including welfare state generosity, increased wages, increased vocational education and training, child support assurance, and increased rates of marriage.
• Since the start of the War on Poverty in the 1960s, scholars and policymakers on both ends of the political spectrum have paid an increasing amount of attention to working poverty.

Key Terms

welfare state

a social system in which the state takes overall responsibility for the welfare of its citizens, providing health care, education, unemployment compensation and social security

Poverty line

The threshold of poverty below which one’s income does not cover necessities.

Introduction

The working poor are working people whose incomes fall below a given poverty line. Conversely, the nonworking poor are unemployed people whose incomes fall below a given poverty line . The main difference between the working and the nonworking poor, liberal policymakers argue, is that the nonworking poor have a more difficult time overcoming basic barriers to entry into the labor market, such as arranging for affordable childcare, finding housing near potential jobs, or arranging for transportation to and from work. In order to help the nonworking poor gain entry into the labor market, liberal scholars advocate that the government should provide more housing assistance, childcare, and other kinds of aid to poor families.

The Working Poor

Percentage of the working and nonworking poor in different countries

Distinctions

Since the start of the War on Poverty in the 1960s, scholars and policymakers on both ends of the political spectrum have paid an increasing amount of attention to tackling poverty. One of the key ongoing debates concerns the distinction between the working and the nonworking poor. Many conservative scholars tend to see nonworking poverty as a more urgent problem than working poverty because they believe that non-work is a moral hazard that leads to welfare dependency and laziness, whereas work, even poorly paid work, is morally beneficial. On the other hand, liberal scholars and policymakers often argue that most working and nonworking poor people are quite similar.

Many of the policies that have been proposed to alleviate the obstacles that working poor people face may also be applied to the nonworking poor. These policies include: welfare state generosity, including unemployment and child benefits; increased wages and benefits, which may have a positive effect on unskilled workers who are likely to be among the nonworking poor; increased vocational education and training for the same demographic; child support assurance, especially for families headed by a single parent; and increased rates of marriage, although a lack of good employment opportunities may not lower the poverty rate among low-income people.

Obstacles to uplift

The working poor face many of the same everyday struggles as the nonworking poor, but they also face some unique obstacles. Some studies, many of them qualitative, provide detailed insights into the obstacles that hinder workers’ ability to find jobs, keep jobs, and make ends meet. Some of the most common struggles faced by the working poor are finding affordable housing, arranging transportation to and from work, buying basic necessities, arranging childcare, having unpredictable work schedules, juggling two or more jobs, and coping with low-status work.

Housing

Working poor people who do not have friends or relatives with whom they can live often find themselves unable to rent an apartment of their own. Although the working poor are employed at least some of the time, they often find it difficult to save enough money for a deposit on a rental property. As a result, many working poor people end up in living situations that are actually more costly than a month-to-month rental.

Transportation

Given the fact that many working poor people do not own a car or cannot afford to drive their car, where they live can significantly limit where they are able to work, and vice versa. Given the fact that public transportation in many US cities is sparse, expensive, or non-existent, this is a particularly salient obstacle.

Basic Necessities

Like the unemployed poor, the working poor struggle to pay for basic necessities like food, clothing, housing, and transportation. In some cases, however, the working poor’s basic expenses can be higher than the unemployed poor’s. For instance, the working poor’s clothing expenses may be higher than the unemployed poor’s because they must purchase specific clothes or uniforms for their jobs.

Childcare

Working poor parents with young children, especially single parents, face significantly more childcare-related obstacles than other people. Oftentimes, childcare costs can exceed a low-wage earners’ income, making work, especially in a job with no potential for advancement, an economically illogical activity. However, some single parents are able to rely on their social networks to provide free or below-market-cost childcare. There are also some free childcare options provided by the government, such as the Head Start Program. However, these free options are only available during certain hours, which may limit parents’ ability to take jobs that require late-night shifts.

17.3.5: Minorities, Women, and Children

Minorities, women, and children are often the target of specific social policies.

Learning Objective

Discuss government social policy toward minorities, women and children in the United States

Key Points

• A minority group is a sociological category within a demographic that is differentiated from those who hold the majority of positions of social power in a society.
• While in most societies, numbers of men and women are roughly equal, the status of women as a subordinate group has led some (especially within feminist movements) to equate them with minorities.
• One major, particularly controversial policy targeting minority groups is affirmative action.
• People with disabilities continue to be an especially vulnerable minority group in modern society. 

Key Term

affirmative action

A policy or program providing advantages for people of a minority group with the aim of creating a more racially equal society through preferential access to education, employment, health care, social welfare, etc.

Minorities, Women, and Children

Minorities, women, and children are often the target of specific social policies. A minority group is a sociological category within a demographic that is differentiated and defined by the social majority. That is, those who hold the majority of positions of social power in a society.

The differentiation can be based on one or more observable human characteristics that include ethnicity, race, gender, wealth, or sexual orientation. Usage of the term is applied to various situations and civilizations within history, despite its popular wrongful association with a numerical, statistical minority. In the social sciences, the term minority is used to refer to categories of persons who hold few positions of social power .

Minorities

The Civil Rights Movement attempted to increase rights for minorities within the U.S.

While in most societies, numbers of men and women are roughly equal, the status of women as a subordinate group has led some (especially within feminist movements) to equate them with minorities. Children can also be understood as a minority group in these terms, as they are economically non-active and not necessarily given all the rights of adult citizens.

One major, particularly controversial policy targeting minority groups is affirmative action. This can be, for example, a government program to provide immigrant or minority groups who primarily speak a marginalized language with extra teaching in the majority language, so they are better able to compete for places at universities or for jobs. These may be considered necessary because the minority group in question is socially disadvantaged. Another form of affirmative action is quotas, where a percentage of places at university, or in employment in public services, are set aside for minority groups (including women) because a court has found that there has been a history of exclusion as it pertains to certain groups in certain sectors of society.

16.2: The History of Economic Policy

16.2.1: The Nineteenth Century

Learning Objective

Summarize the main currents of economic thought in the 19th-century

Key Points

• The beginning of the 19th century was dominated by classical economists, who concerned themselves with the transformation brought by the Industrial Revolution including rural depopulation, precariousness, poverty, and apparition of a working class.
• Karl Marx’s combination of political theory, represented in the Communist Manifesto and the dialectic theory of history inspired by Friedrich Hegel, provided a revolutionary critique of capitalism as he saw it in the 19th century.
• In the 1860’s, a revolution took place in economics.
• This current of thought was not united. There were three main schools working independently.

Key Terms

industrialization

A process of social and economic change whereby a human society is transformed from a pre-industrial to an industrial state

capitalism

A socio-economic system based on private property rights, including the private ownership of resources or capital, with economic decisions made largely through the operation of a market unregulated by the state.

As the century most associated with industrialization and capitalism in the West, the 19^th century looms large in the history of economic policy and economic thought.

The beginning of the 19^th century was dominated by “classical economists,” a group not actually referred to by this name until Karl Marx. One unifying part of their theories was the labor theory of value, contrasting to value deriving from a general equilibrium of supply and demand. These economists had seen the first economic and social transformation brought by the Industrial Revolution: rural depopulation, precariousness, poverty, and apparition of a working class. They wondered about the population growth because the demographic transition had begun in Great Britain at that time. They also asked many fundamental questions about the source of value, the causes of economic growth, and the role of money in the economy. They supported a free-market economy. They argued that it was a natural system based upon freedom and property. However, these economists were divided and did not make up a unified group of thought.

A notable current within classical economics was the under-consumption theory, as advanced by the Birmingham School and Malthus in the early 19^th century. The theory argued for government action to mitigate unemployment and economic downturns. It was an intellectual predecessor of what later became Keynesian economics in the 1930’s.

Just as the term “mercantilism” had been coined and popularized by its critics like Adam Smith, so was the term “capitalism” or Kapitalismus used by its dissidents, primarily Karl Marx. Karl Marx (1818–1883) was, and in many ways still remains, the pre-eminent socialist economist. His combination of political theory represented in the Communist Manifesto and the dialectic theory of history inspired by Friedrich Hegel provided a revolutionary critique of capitalism as he saw it in the 19^th century. The socialist movement that he joined had emerged in response to the conditions of people in the new industrial era and the classical economics which accompanied it. He wrote his magnum opus Das Kapital at the British Museum’s library .

Das Kapital

Karl Marx’s definition and popularizing of the term “capitalism” or Kapitalismus, as defined in “Das Kapital,” first published in 1867, remains one of the most influential works on the subject to this day.

In the 1860’s, a revolution took place in economics. The new ideas were that of the Marginalist school. Writing simultaneously and independently, a Frenchman (Léon Walras), an Austrian (Carl Menger), and an Englishman (Stanley Jevons) were developing the theory that had some antecedents. Instead of the price of a good or service reflecting the labor that has produced it, it reflected the marginal usefulness (utility) of the last purchase. This meant that in equilibrium, people’s preferences determined prices including, indirectly, the price of labor.

This current of thought was not united. There were three main schools working independently. The Lausanne school, whose two main representatives were Walras and Vilfredo Pareto, developed the theories of general equilibrium and optimality. The main written work of this school was Walras’ Elements of Pure Economics. The Cambridge school appeared with Jevons’ Theory of Political Economy in 1871. This English school developed the theories of the partial equilibrium and insisted on markets’ failures. The main representatives were Alfred Marshall, Stanley Jevons, and Arthur Pigou. The Vienna school was made up of Austrian economists Menger, Eugen von Böhm-Bawerk, and Friedrich von Wieser. They developed the theory of capital and tried to explain the presence of economic crises. It appeared in 1871 with Menger’s Principles of Economics.

16.2.2: The Progressive Era

Learning Objective

Discuss the economic policies of the Progressive Era in the United States.

Key Points

• The weakened economy and persistent federal deficits led to changes in fiscal policy including the imposition of federal income taxes on businesses and individuals and the creation of the Federal Reserve System.
• The progressives voiced the need for government regulation of business practices to ensure competition and free enterprise.
• By the turn of the century, a middle class had developed that was leery of both the business elite and the radical political movements of farmers and laborers in the Midwest and West.

Key Terms

tariff

a system of government-imposed duties levied on imported or exported goods; a list of such duties, or the duties themselves

laissez-faire

an economic environment in which transactions between private parties are free from tariffs, government subsidies, and enforced monopolies with only enough government regulations sufficient to protect property rights against theft and aggression.

fiscal policy

Government policy that attempts to influence the direction of the economy through changes in government spending or taxes.

The Progressive Era was one of general prosperity after the Panic of 1893; a severe depression that ended in 1897. The Panic of 1907 was short and mainly affected financiers. However, Campbell (2005) stresses the weak points of the economy in 1907–1914, linking them to public demands for more progressive interventions. The Panic of 1907 was followed by a small decline in real wages and increased unemployment, with both trends continuing until World War I. This resulted in stress on public finance and impacted the Wilson administration’s policies. The weakened economy and persistent federal deficits led to changes in fiscal policy, including the imposition of federal income taxes on businesses and individuals and the creation of the Federal Reserve System. Government agencies were also transformed in an effort to improve administrative efficiency.

In the Gilded Age (late 19^th century) the parties were reluctant to involve the federal government too heavily in the private sector, except in the area of railroads and tariffs. In general, they accepted the concept of laissez-faire, which was doctrine opposing government interference in the economy except to maintain law and order. This attitude started to change during the depression of the 1890’s when small business, farm, and labor movements began asking the government to intercede on their behalf.

By the turn of the century, a middle class had developed that was leery of both the business elite and the radical political movements of farmers and laborers in the Midwest and West. The progressives voiced the need for government regulation of business practices to ensure competition and free enterprise. Congress enacted a law regulating railroads in 1887 (the Interstate Commerce Act) and one preventing large firms from controlling a single industry in 1890 (the Sherman Antitrust Act). However, these laws were not rigorously enforced until 1900 to 1920, when Republican President Theodore Roosevelt (1901–1909), Democratic President Woodrow Wilson (1913–1921), and others sympathetic to the views of the Progressives came to power . Many of today’s U.S. regulatory agencies were created during these years including the Interstate Commerce Commission and the Federal Trade Commission. Muckrakers were journalists who encouraged readers to demand more regulation of business. Upton Sinclair’s The Jungle (1906) was influential and persuaded America about the supposed horrors of the Chicago Union Stock Yards (though Sinclair himself never visited the site); a giant complex of meat processing that developed in the 1870’s. The federal government responded to Sinclair’s book and The Neill-Reynolds Report with the new regulatory Food and Drug Administration. Ida M. Tarbell wrote a series of articles against Standard Oil, which was perceived to be a monopoly. This affected both the government and the public reformers. Attacks by Tarbell and others helped pave the way for public acceptance of the breakup of the company by the Supreme Court in 1911.

Anti-Trust Legislation

President Wilson uses tariff, currency, and anti-trust laws to prime the pump and get the economy working.

When Democrat Woodrow Wilson was elected President with a Democratic Congress in 1912, he implemented a series of progressive policies in economics. In 1913, the 16^th Amendment was ratified and a small income tax was imposed on high incomes. The Democrats lowered tariffs with the Underwood Tariff in 1913, although its effects were overwhelmed by the changes in trade caused by the World War that broke out in 1914. Wilson proved especially effective in mobilizing public opinion behind tariff changes by denouncing corporate lobbyists, addressing Congress in person in highly dramatic fashion, and staging an elaborate ceremony when he signed the bill into law. Wilson helped end the long battles over the trusts with the Clayton Antitrust Act of 1914. He managed to convince lawmakers on the issues of money and banking by the creation in 1913 of the Federal Reserve System, a complex business-government partnership that to this day dominates the financial world.

In 1913, Henry Ford adopted the moving assembly line, with each worker doing one simple task in the production of automobiles. Taking his cue from developments during the progressive era , Ford offered a very generous wage—$5 a day—to his (male) workers. He argued that a mass production enterprise could not survive if average workers could not buy the goods.

16.2.3: The Great Depression and the New Deal

Learning Objective

Describe the Great Depression, the Roosevelt administration’s economic response to it in the New Deal, and its lasting effects

Key Points

• The programs focused on what historians call the “3 Rs”: Relief, Recovery, and Reform.
• The New Deal produced a political realignment.
• By 1942–43 the Conservative Coalition had shut down relief programs such as the WPA and CCC and blocked major liberal proposals.

Key Terms

economic depression

In economics, a depression is a sustained, long-term downturn in economic activity in one or more economies. It is a more severe downturn than a recession, which is seen by some economists as part of the modern business cycle.

political realignment

Realigning election (often called a critical election or political realignment) is a term from political science and political history describing a dramatic change in the political system.

regulation

A law or administrative rule, issued by an organization, used to guide or prescribe the conduct of members of that organization; can specifically refer to acts in which a government or state body limits the behavior of businesses.

The Great Depression was a severe worldwide economic depression in the decade preceding World War II. It was the longest, most widespread, and deepest depression of the 20^th century. In the 21^st century, the Great Depression is commonly used as an example of how far the world’s economy can decline. The depression originated in the U.S., after the fall in stock prices that began around September 4, 1929, and became worldwide news with the stock market crash of October 29, 1929 (known as Black Tuesday).

Cities all around the world were hit hard, especially those dependent on heavy industry. Construction was virtually halted in many countries. Farming and rural areas suffered as crop prices fell by approximately 60%. Facing plummeting demand with few alternate sources of jobs, areas dependent on primary sector industries such as cash cropping, mining, and logging suffered the most. Some economies started to recover by the mid-1930s. In many countries, the negative effects of the Great Depression lasted until the end of World War II.

Great Depression in Unemployment

Unemployment rate in the US 1910–1960, with the years of the Great Depression (1929–1939) highlighted; accurate data begins in 1939.

Great Depression in GDP

USA annual real GDP from 1910 to 1960, with the years of the Great Depression (1929–1939) highlighted.

The New Deal was a series of economic programs enacted in the United States between 1933 and 1936. The programs were in response to the Great Depression, and focused on what historians call the “3 Rs”: Relief, Recovery, and Reform. That is, Relief for the unemployed and poor; Recovery of the economy to normal levels; and Reform of the financial system to prevent a repeat depression.

The New Deal produced a political realignment, making the Democratic Party the majority (as well as the party that held the White House for seven out of nine Presidential terms from 1933 to 1969). Its basis was liberal ideas, the white South, traditional Democrats, big city machines, and the newly empowered labor unions and ethnic minorities. The Republicans were split, with conservatives opposing the entire New Deal as an enemy of business and growth, and liberals accepting some of it and promising to make it more efficient. The realignment crystallized into the New Deal Coalition that dominated most presidential elections into the 1960s, while the opposing Conservative Coalition largely controlled Congress from 1937 to 1963.

From 1934 to 1938, Roosevelt was assisted in his endeavors by a “pro-spender” majority in Congress. Many historians distinguish a “First New Deal” (1933–34) and a “Second New Deal” (1935–38), with the second one being more liberal and more controversial. It included a national work program, the Works Progress Administration (WPA), which made the federal government by far the largest single employer in the nation. The “First New Deal” (1933–34) dealt with diverse groups, from banking and railroads to industry and farming, all of which demanded help for economic survival. The Federal Emergency Relief Administration, for instance, provided $500 million for relief operations by states and cities, while the short-lived CWA (Civil Works Administration) gave localities money to operate make-work projects in 1933-34.

The “Second New Deal” in 1935–38 included the Wagner Act to promote labor unions, the Works Progress Administration (WPA) relief program, the Social Security Act, and new programs to aid tenant farmers and migrant workers. The final major items of New Deal legislation were the creation of the United States Housing Authority and Farm Security Administration, both in 1937, and the Fair Labor Standards Act of 1938, which set maximum hours and minimum wages for most categories of workers.

The economic downturn of 1937–38, and the bitter split between the AFL and CIO labor unions, led to major Republican gains in Congress in 1938. Conservative Republicans and Democrats in Congress joined in the informal Conservative Coalition. By 1942–43 they shut down relief programs such as the WPA and CCC and blocked major liberal proposals. Roosevelt himself turned his attention to the war effort, and won reelection in 1940 and 1944. The Supreme Court declared the National Recovery Administration (NRA) and the first version of the Agricultural Adjustment Act (AAA) unconstitutional, although the AAA was rewritten and then upheld. As the first Republican president elected after FDR, Dwight D. Eisenhower (1953–61) left the New Deal largely intact, even expanding it in some areas. In the 1960s, Lyndon B. Johnson’s Great Society used the New Deal as inspiration for a dramatic expansion of liberal programs, which Republican Richard M. Nixon generally retained. After 1974, however, the call for deregulation of the economy gained bipartisan support. The New Deal regulation of banking (Glass–Steagall Act) was suspended in the 1990s. Many New Deal programs remain active, with some still operating under the original names, including the Federal Deposit Insurance Corporation (FDIC), the Federal Crop Insurance Corporation (FCIC), the Federal Housing Administration (FHA), and the Tennessee Valley Authority (TVA). The largest programs still in existence today are the Social Security System and the Securities and Exchange Commission (SEC).

16.2.4: Social Regulation

Learning Objective

Summarize the broad periods of regulation and deregulation in American history

Key Points

• Social policy aims to improve human welfare and to meet human needs for education, health, housing, and social security.
• Important areas of social policy are the welfare state, social security, unemployment insurance, environmental policy, pensions, health care, social housing, social care, child protection, social exclusion, education policy, crime, and criminal justice.
• With regard to economic policy, regulations may include central planning of the economy, remedying market failure, enriching well-connected firms, or benefiting politicians.
• Informal social control is often not sufficient in a large society in which an individual can choose to ignore the sanctions of an individual group, leading to the use of formal, usually government control.
• With regard to economic policy, regulations may include central planning of the economy, remedying market failure, enriching well-connected firms, or benefiting politicians.

Key Terms

laissez-faire

an economic environment in which transactions between private parties are free from tariffs, government subsidies, and enforced monopolies with only enough government regulations sufficient to protect property rights against theft and aggression.

social policy

Social policy primarily refers to guidelines, principles, legislation, and activities that affect the living conditions conducive to human welfare.

Example

• The Malcolm Wiener Center for Social Policy at Harvard University describes it as “public policy and practice in the areas of health care, human services, criminal justice, inequality, education, and labor. “

Social Policy

Social policy primarily refers to guidelines, principles, legislation and activities that affect the living conditions conducive to human welfare. The Malcolm Wiener Center for Social Policy at Harvard University describes it as “public policy and practice in the areas of health care, human services, criminal justice, inequality, education, and labor. “

Types of Social Policy

Social policy aims to improve human welfare and to meet human needs for education, health, housing and social security. Important areas of social policy are the welfare state, social security, unemployment insurance, environmental policy, pensions, health care, social housing, social care, child protection, social exclusion, education policy, crime, and criminal justice.

The term ‘social policy’ can also refer to policies which govern human behavior. In the United States, the term ‘social policy’ may be used to refer to abortion and the regulation of its practice, euthanasia, homosexuality, the rules surrounding issues of marriage, divorce, adoption, the legal status of recreational drugs, and the legal status of prostitution.

Economic Policy

With regard to economic policy, regulations may include central planning of the economy, remedying market failure, enriching well-connected firms, or benefiting politicians. In the U.S., throughout the 18^th and 19^th centuries, the government engaged in substantial regulation of the economy. In the 18^th century, the production and distribution of goods were regulated by British government ministries over the American Colonies. Subsidies were granted to agriculture and tariffs were imposed, sparking the American Revolution.

The United States government maintained high tariffs throughout the 19^th century and into the 20^th century, until the Reciprocal Trade Agreement was passed in 1934 under the Franklin D. Roosevelt administration. Other forms of regulation and deregulation came in waves: the deregulation of big business in the Gilded Age, which led to President Theodore Roosevelt’s trust busting from 1901 to 1909; more deregulation and Laissez-Faire economics in the 1920’s, which was followed by the Great Depression and intense governmental regulation under Franklin Roosevelt’s New Deal; and President Ronald Reagan’s deregulation of business in the 1980s.

The Seal of the SEC

Seal of the U.S. Securities and Exchange Commission.

16.2.5: Deregulation

Learning Objective

Analyze arguments in favor of deregulation

Key Points

• The stated rationale for deregulation is often that fewer and simpler regulations will lead to a raised level of competitiveness, therefore higher productivity, more efficiency and lower prices overall.
• Opposition to deregulation usually involves apprehension regarding environmental pollution and environmental quality standards (these issues are protected against by certain regulations, such as those that limit the use of hazardous materials), financial uncertainty, and constraining monopolies.
• Regulatory reform is a parallel development alongside deregulation.
• Deregulation can be distinguished from privatization, because privatization involves taking state-owned service providers into the private sector.

Key Terms

privatization

The transfer of a company or organization from government to private ownership and control.

deregulation

The process of removing constraints, especially government-imposed economic regulations.

regulation

A law or administrative rule, issued by an organization, used to guide or prescribe the conduct of members of that organization; can specifically refer to acts in which a government or state body limits the behavior of businesses.

Deregulation is the act or process of removing or reducing state regulations. It is therefore the opposite of regulation, which is the process in which the government regulates certain activities. Laissez-faire is an example of a deregulated economic environment in which transactions between private parties are free from government restrictions, tariffs, and subsidies, with only enough regulations to protect property rights. The phrase laissez-faire is French and literally means “let [them] do,” broadly implying “let it be” or “leave it alone. “

The rationale for deregulation, as it is often phrased, is that fewer and simpler regulations will lead to a raised level of competitiveness between businesses, which itself will generate higher productivity, higher efficiency and lower prices. The Financial Times Lexicon states that deregulation, in the sense of a substantial easing of government restrictions on industry, is normally justified in order to promote competition.

Opposition to deregulation usually stems from concerns regarding environmental pollution and environmental quality standards, both of which are protected against by certain types of regulations, such as those that limit the ability of businesses to use hazardous materials. Opposition has also stemmed from fears that a free market, without protective regulations, would become financially unstable or controlled by monopolies.

Regulatory reform is a parallel development alongside deregulation. Regulatory reform refers to efforts, by the government, to review regulations with a view towards minimizing them, simplifying them, and making them more cost effective. Such efforts, given impetus by the Regulatory Flexibility Act of 1980, are embodied in the U.S. Office of Management and Budget’s Office of Information and Regulatory Affairs, and the United Kingdom’s Better Regulation Commission. Cost-benefit analysis is frequently used in such reviews. Another catalyst of reform has been regulatory innovations (such as emissions trading), usually suggested by economists..

Deregulation can be distinguished from privatization, because privatization involves moving state-owned service providers into the private sector.

History

Many industries in the United States became regulated by the federal government in the late 19^th and early 20^th century. Entry to some markets was restricted to stimulate and protect private companies as they made initial investments into an infrastructure that provided essential public services, such as water, electric and communications utilities. Because the entry of competitors was highly restricted, monopoly situations were created. The government responded by instituting more regulations, this time price and economic controls aimed at protecting the public from these monopolies. Other forms of regulation were motivated by what was seen as the corporate abuse of the public interest by businesses that already existed. This occurred with the railroad industry following the era of the so-called “robber barons”. In the first instance, as markets matured to a point where several providers could be financially viable offering similar services, prices determined by that ensuing competition were seen as more economically efficient than those set by the regulatory process. Under these conditions, deregulation became attractive.

One phenomenon that encouraged deregulation was the fact that regulated industries often controlled the government regulatory agencies and used them to serve the industries’ interests. Even when regulatory bodies started out functioning independently, a process known as regulatory capture often saw industry interests come to dominate those of the consumer. A similar pattern has been observed within the deregulation process itself, which is often effectively controlled by the regulated industries through lobbying the legislative process. Such political forces, however, exist in many other forms for other special interest groups.

After a several decade hiatus, deregulation gained momentum in the 1970s, influenced by research at the University of Chicago and the theories of Ludwig von Mises, Friedrich von Hayek, and Milton Friedman, among others . Two leading ‘think tanks’ in Washington, the Brookings Institution and the American Enterprise Institute, were also active, holding seminars and publishing studies that advocated deregulatory initiatives throughout the 1970s and 1980s. Alfred E. Kahn played an unusual role, because he published as an academic and also participated in the Carter Administration’s efforts to deregulate transportation.

Friedrich Von Hayek

Austrian economist Friedrich von Hayek, along with University of Chicago economist Milton Friedman are two classic liberal economists attributed with the return of laissez-faire economics and deregulation.

The deregulation movement of the late 20^th century had substantial economic effects and engendered substantial controversy.

16.3: Economic Policy

16.3.1: Monetary Policy

Monetary policy is the process by which the monetary authority of a country controls the supply of money.

Learning Objective

Describe how central banking authorities use monetary policy to achieve the twin economic goals of relatively stable prices and low unemployment

Key Points

• Expansionary policy is traditionally used to try to combat unemployment in a recession by lowering interest rates in the hope that easy credit will entice businesses into expanding.
• Contractionary policy is intended to slow inflation in hopes of avoiding the resulting distortions and deterioration of asset values.
• Monetary policy differs from fiscal policy, which refers to taxation, government spending, and associated borrowing.
• The primary tool of monetary policy is open market operations. This entails managing the quantity of money in circulation through the buying and selling of various financial instruments, such as treasury bills, company bonds, or foreign currencies.

Key Terms

Expansionary policy

Expansionary policy increases the total supply of money in the economy more rapidly than usual.

monetary policy

Monetary policy is the process by which the monetary authority of a country controls the supply of money, often targeting a rate of interest for the purpose of promoting economic growth and stability.

Contractionary policy

Contractionary policy expands the money supply more slowly than usual or even shrinks it.

Monetary Policy

Monetary policy is the process by which the monetary authority of a country controls the supply of money, often targeting a rate of interest for the purpose of promoting economic growth and stability. The official goals usually include relatively stable prices and low unemployment. Monetary theory provides insight into how to craft optimal monetary policy. It is referred to as either being expansionary or contractionary, where an expansionary policy increases the total supply of money in the economy more rapidly than usual, and contractionary policy expands the money supply more slowly than usual or even shrinks it. Expansionary policy is traditionally used to try to combat unemployment in a recession by lowering interest rates in the hope that easy credit will entice businesses into expanding. Contractionary policy is intended to slow inflation in hopes of avoiding the resulting distortions and deterioration of asset values.

Monetary policy differs from fiscal policy, which refers to taxation, government spending, and associated borrowing.

Monetary policy rests on the relationship between the rates of interest in an economy, that is, the price at which money can be borrowed, and the total supply of money. Monetary policy uses a variety of tools to control one or both of these, to influence outcomes like economic growth, inflation, exchange rates with other currencies and unemployment. Where currency is under a monopoly of issuance, or where there is a regulated system of issuing currency through banks which are tied to a central bank, the monetary authority has the ability to alter the money supply and thus influence the interest rate to achieve policy goals. The beginning of monetary policy as such comes from the late 19^th century, where it was used to maintain the gold standard.

Monetary policies are described as follows: accommodative, if the interest rate set by the central monetary authority is intended to create economic growth; neutral, if it is intended neither to create growth nor combat inflation; or tight if intended to reduce inflation.

There are several monetary policy tools available to achieve these ends: increasing interest rates by fiat; reducing the monetary base; and increasing reserve requirements with the effect of contracting the money supply; and, if reversed, expand the money supply.

Within almost all modern nations, special institutions, central banks, (the Federal Reserve System in the United States) have the task of executing the monetary policy and often independently of the executive .

The Federal Reserve Board Building

The Federal Reserve Board Building in Washington D. C.

The primary tool of monetary policy is open market operations. This entails managing the quantity of money in circulation through the buying and selling of various financial instruments, such as treasury bills, company bonds, or foreign currencies. All of these purchases or sales result in more or less base currency entering or leaving market circulation.

Usually, the short term goal of open market operations is to achieve a specific short term interest rate target. In other instances, monetary policy might instead entail the targeting of a specific exchange rate relative to some foreign currency or else relative to gold. For example, in the case of the USA the Federal Reserve targets the federal funds rate, the rate at which member banks lend to one another overnight; however, the monetary policy of China is to target the exchange rate between the Chinese renminbi and a basket of foreign currencies.

The other primary means of conducting monetary policy include:

1. Discount window lending (lender of last resort)
2. Fractional deposit lending (changes in the reserve requirement)
3. Moral suasion (cajoling certain market players to achieve specified outcomes)
4. “Open mouth operations” (talking monetary policy with the market).

16.3.2: Fiscal Policy

Fiscal policy is the use of government revenue collection or taxation, and expenditure (spending) to influence the economy.

Learning Objective

Review the United States’ stances of fiscal policy, methods of funding, and policies regarding borrowing

Key Points

• There are three main stances of fiscal policy: neutral fiscal policy, expansionary fiscal policy, and contractionary fiscal policy.
• Governments can use a budget surplus to do two things: to slow the pace of strong economic growth and to stabilize prices when inflation is too high.
• However, economists debate the effectiveness of fiscal stimulus. The argument mostly centers on crowding out.
• In the classical view, the expansionary fiscal policy also decreases net exports, which has a mitigating effect on national output and income.

Key Terms

Neoclassical Economists

Neoclassical economists generally emphasize crowding out; when government borrowing leads to higher interest rates that may offset the stimulative impact of spending.

fiscal policy

In economics and political science, fiscal policy is the use of government revenue collection or taxation, and expenditure (spending) to influence the economy.

Keynesian Economics

Keynesian economics suggests that increasing government spending and decreasing tax rates are the best ways to stimulate aggregate demand, and only to decrease spending & increase taxes after the economic boom begins.

Fiscal Policy

In economics and political science, fiscal policy is the use of government revenue collection or taxation, and expenditure (spending) to influence the economy. Changes in the level and composition of taxation and government spending can impact the following variables in the economy: aggregate demand and the level of economic activity; the pattern of resource allocation; and the distribution of income.

Stances of Fiscal Policy

There are three main stances of fiscal policy:

• Neutral fiscal policy is usually undertaken when an economy is in equilibrium. Government spending is fully funded by tax revenue and overall the budget outcome has a neutral effect on the level of economic activity.
• Expansionary fiscal policy involves government spending exceeding tax revenue, and is usually undertaken during recessions.
• Contractionary fiscal policy occurs when government spending is lower than tax revenue, and is usually undertaken to pay down government debt.

However, these definitions can be misleading as, even with no changes in spending or tax laws at all, cyclic fluctuations of the economy cause cyclic fluctuations of tax revenues and of some types of government spending, altering the deficit situation; these are not considered to be policy changes. Thus, for example, a government budget that is balanced over the course of the business cycle is considered to represent a neutral fiscal policy stance.

Methods of Funding

Governments spend money on a wide variety of things, from the military and police to services like education and healthcare, as well as transfer payments such as welfare benefits. This expenditure can be funded in a number of different ways: taxation, printing money, borrowing money from the population or from abroad, consumption of fiscal reserves, or sale of fixed assets (land).

Borrowing

A fiscal deficit is often funded by issuing bonds. These pay interest, either for a fixed period or indefinitely. If the interest and capital requirements are too large, a nation may default on its debts, usually to foreign creditors, while public debt or borrowing refers to the government borrowing from the public.

Economic Effects of Fiscal Policy

Governments use fiscal policy to influence the level of aggregate demand in the economy, in an effort to achieve economic objectives of price stability, full employment, and economic growth. One school of fiscal policy developed by John Maynard Keynes suggests that increasing government spending and decreasing tax rates are the best ways to stimulate aggregate demand, and only to decrease spending & increase taxes after the economic boom begins. Keynesian Economics argues this method be used in times of recession or low economic activity as an essential tool for building the framework for strong economic growth and working towards full employment. In theory, the resulting deficits would be paid for by an expanded economy during the boom that would follow; this was the reasoning behind the New Deal.

John Maynard Keynes and Harry Dexter White

Keynes (right) was the father and founder of Keynesian economics.

Governments can use a budget surplus to do two things: to slow the pace of strong economic growth and to stabilize prices when inflation is too high. Keynesian theory posits that removing spending from the economy will reduce levels of aggregate demand and contract the economy, thus stabilizing prices.

However, economists debate the effectiveness of fiscal stimulus. The argument mostly centers on crowding out; whether government borrowing leads to higher interest rates that may offset the stimulative impact of spending. When the government runs a budget deficit, funds will need to come from public borrowing (government bonds), overseas borrowing, or monetizing the debt. When governments fund a deficit with the issuing of government bonds, interest rates can increase across the market, because government borrowing creates higher demand for credit in the financial markets. This causes a lower aggregate demand for goods and services, contrary to the objective of a fiscal stimulus. Neoclassical economists generally emphasize crowding out while Keynesians argue that fiscal policy can still be effective especially in a liquidity trap where, they argue, crowding out is minimal.

In the classical view, the expansionary fiscal policy also decreases net exports, which has a mitigating effect on national output and income. When government borrowing increases interest rates it attracts foreign capital from foreign investors. This is because, all other things being equal, the bonds issued from a country executing expansionary fiscal policy now offer a higher rate of return. To purchase bonds originating from a certain country, foreign investors must obtain that country’s currency. Therefore, when foreign capital flows into the country undergoing fiscal expansion, demand for that country’s currency increases. The increased demand causes that country’s currency to appreciate. Once the currency appreciates, goods originating from that country now cost more to foreigners than they did before and foreign goods now cost less than they did before. Consequently, exports decrease and imports increase.

16.3.3: Income Security Policy

Fiscal policy is considered to be any change the government makes to the national budget in order to influence a nation’s economy.

Learning Objective

Analyze the transformation of American fiscal policy in the years of the Great Depression and World War II

Key Points

• The Great Depression showed the American population that there was a growing need for the government to manage economic affairs. The size of the federal government began rapidly expanding in the 1930s, growing from 553,000 paid civilian employees in the late 1920s to 953,891 employees in 1939.
• FDR was important because he implicated the New Deal, a program that would offer relief, recovery, and reform to the American nation. In terms of relief, new organizations (such as the Works Progress Administration) saved many U.S. lives.
• In 1971, at Bretton Woods, the U.S. went off the gold standard, allowing the dollar to float. Shortly after that, OPEC pegged the price of oil to gold rather than the dollar. The 70s were marked by oil shocks, recessions, and inflation in the U.S.
• Fixed income refers to any type of investment under which the borrower/issuer is obliged to make payments of a fixed amount on a fixed schedule: for example, if the borrower has to pay interest at a fixed rate once a year, and to repay the principal amount on maturity.
• Fixed-income securities can be contrasted with equity securities, often referred to as stocks and shares, that create no obligation to pay dividends or any other form of income.
• Governments issue government bonds in their own currency and sovereign bonds in foreign currencies. Local governments issue municipal bonds to finance themselves. Debt issued by government-backed agencies is called an agency bond.

Key Terms

fiscal

Related to the treasury of a country, company, region, or city, particularly to government spending and revenue.

fixed income

Fixed income refers to any type of investment under which the borrower/issuer is obliged to make payments of a fixed amount on a fixed schedule: for example, if the borrower has to pay interest at a fixed rate once a year, and to repay the principal amount on maturity.

Background

Any changes the government makes to the national budget in order to influence a nation’s economy is considered fiscal policy. The approach to economic policy in the United States was rather laissez-faire until the Great Depression. The government tried to stay away from economic matters as much as possible and hoped that a balanced budget would be maintained.

Fixed income refers to any type of investment under which the borrower/issuer is obliged to make payments of a fixed amount on a fixed schedule: for example, if the borrower has to pay interest at a fixed rate once a year, and to repay the principal amount on maturity. Fixed-income securities can be contrasted with equity securities, often referred to as stocks and shares, that create no obligation to pay dividends or any other form of income. In order for a company to grow its business, it often must raise money: to finance an acquisition, buy equipment or land or invest in new product development. Governments issue government bonds in their own currency and sovereign bonds in foreign currencies. Local governments issue municipal bonds to finance themselves. Debt issued by government-backed agencies is called an agency bond.

The Great Depression

The Great Depression struck countries in the late 1920s and continued throughout the entire 1930s. It affected some countries more than others, and the effects in the U.S. were detrimental. In 1933, around 25% of all workers were unemployed in America. Many families starved or lost their homes. Some tried traveling to the West to find work, also to no avail. Because of the prolonged recovery of the United States economy and the major changes that the Great Depression forced the government to make, the creation of fiscal policy is often referred to as one of the defining moments in the history of the United States.

Crowds outside the New York Stock Exchange in 1929.

A solemn crowd gathers outside the Stock Exchange after the crash.

Another contributor to changing the role of government in the 1930s was President Franklin Delano Roosevelt. FDR was important because he implicated the New Deal, a program that would offer relief, recovery, and reform to the American nation. In terms of relief, new organizations (such as the Works Progress Administration) saved the lives of many U.S. citizens. The reform aspect was indeed the most influential in the New Deal, as it forever changed the role of government in the U.S. economy.

FDR

FDR’s “New Deal” policies were based on the principle of government intervention and regulation of the economy.

World War II and Effects

World War II forced the government to run huge deficits, or spend more than they were generating economically, in order to keep up with all of the production the U.S. military needed. By running deficits, the economy recovered, and America rebounded from its drought of unemployment. The military strategy of full employment had a huge benefit: the government’s massive deficits were used to pay for the war, and ended the Great Depression. This phenomenon set the standard and showed just how necessary it was for the government to play an active role in fiscal policy.

Modern Fiscal Policy

In 1971, at Bretton Woods, the U.S. went off the gold standard, allowing the dollar to float. Shortly after that, OPEC pegged the price of oil to gold rather than the dollar. The 70s were marked by oil shocks, recessions, and inflation in the U.S.

In late 2007 to early 2008, the economy would enter a particularly bad recession as a result of high oil and food prices, and a substantial credit crisis leading to the bankruptcy and eventual federal takeover of certain large and well-established mortgage providers. In an attempt to fix these economic problems, the United States federal government passed a series of costly economic stimulus and bailout packages. As a result of this, the deficit would increase to $455 billion and is projected to continue to increase dramatically for years to come, due in part to both the severity of the current recession and the high spending fiscal policy the federal government has adopted to help combat the nation’s economic woes.

16.3.4: Regulation and Antitrust Policy

Antitrust laws are a form of marketplace regulation intended to prohibit monopolization and unfair business practices.

Learning Objective

Assess the balance the federal government attempts to strike between regulation and deregulation

Key Points

• A number of governmental programs review regulatory innovations in order to minimize and simplify those regulations, and to make regulations more cost-effective.
• Government agencies known as competition regulators, as well as private litigants, apply antitrust and consumer protection laws in the hopes of preventing market failure.
• Large companies with huge cash reserves and large lines of credit can stifle competition by engaging in predatory pricing, in which they intentionally sell their products and services at a loss for a time, in order to force smaller competitors out of business.

Key Terms

Antitrust Law

The United States antitrust law is a body of law that prohibits anti-competitive behavior (monopolization) and unfair business practices. Antitrust laws are intended to encourage competition in the marketplace.

regulation

A regulation is a legal provision that creates, limits, or constrains a right; creates or limits a duty; or allocates a responsibility.

A regulation is a legal provision with many possible functions. It can create or limit a right; it can create or limit a duty; or it can allocate a responsibility. Regulations take many forms, including legal restrictions from a government authority, contractual obligations, industry self-regulations, social regulations, co-regulations, and market regulations.

State, or governmental, regulation attempts to produce outcomes which might not otherwise occur. Common examples of this type of regulation include laws that control prices, wages, market entries, development approvals, pollution effects, employment for certain people in certain industries, standards of production for certain goods, the military forces, and services.

The study of formal (legal and/or official) and informal (extra-legal and/or unofficial) regulation is one of the central concerns of the sociology of law. Scholars in this field are particularly interested in exploring the degree to which formal and legal regulation actually changes social behavior.

Deregulation, Regulatory Reform, and Liberalization

According to the Competitive Enterprise Institute, government regulation in the United States costs the economy approximately $1.75 trillion per year, a number that exceeds the combined total of all corporate pretax profits. Because of this, programs exist that review regulatory initiatives in order to minimize and simplify regulations, and to make them more cost-effective. Such efforts, given impetus by the Regulatory Flexibility Act of 1980 in the United States, are embodied in the United States Office of Management and Budget’s Office of Information and Regulatory Affairs. Economists also occasionally develop regulation innovations, such as emissions trading.

U.S. Department of Justice

The Department of Justice is home to the U.S. anti-trust enforcers.

U.S. Antitrust Law

U.S. antitrust law is a body of law that prohibits anti-competitive behavior (monopolization) and unfair business practices. Intended to encourage competition in the marketplace, these laws make it illegal for businesses to employ practices that hurt other businesses or consumers, or that generally violate standards of ethical behavior. Government agencies known as competition regulators, along with private litigants, apply the antitrust and consumer protection laws in hopes of preventing market failure. Originally, these types of laws emerged in the U.S. to combat “corporate trusts,” which were big businesses. Other countries use the term “competition law” for this action. Many countries, including most of the Western world, have antitrust laws of some form. For example, the European Union has provisions under the Treaty of Rome to maintain fair competition, as does Australia under its Trade Practices Act of 1974.

Antitrust Rationale

Antitrust laws prohibit monopolization, attempted monopolization, agreements that restrain trade, anticompetitive mergers, and, in some circumstances, price discrimination in the sale of commodities.

Monopolization, or attempts to monopolize, are offenses that an individual firm may commit. Typically, this behavior involves a firm using unreasonable, unlawful, and exclusionary practices that are intended to secure, for that firm, control of a market. Large companies with huge cash reserves and large lines of credit can stifle competition by engaging in predatory pricing, in which they intentionally sell their products and services at a loss for a time, in order to force smaller competitors out of business. Afterwards, with no competition, these companies are free to consolidate control of an industry and charge whatever prices they desire.

A number of barriers make it difficult for new competitors to enter a market, including the fact that entry requires a large upfront investment, specific investments in infrastructure, and exclusive arrangements with distributors, customers and wholesalers. Even if competitors do shoulder these costs, monopolies will have ample warning and time in which to either buy out the competitor, engage in its own research, or return to predatory pricing long enough to eliminate the upstart business.

Federal Antitrust Actions

The federal government, via the Antitrust Division of the United States Department of Justice, and the Federal Trade Commission, can bring civil lawsuits enforcing the laws. Famous examples of these lawsuits include the government’s break-up of AT&T’s local telephone service monopoly in the early 1980s, and governmental actions against Microsoft in the late 1990s.

The federal government also reviews potential mergers to prevent market concentration. As a result of the Hart-Scott-Rodino Antitrust Improvements Act, larger companies attempting to merge must first notify the Federal Trade Commission and the Department of Justice’s Antitrust Division prior to consummating a merger. These agencies then review the proposed merger by defining what the market is, and then determining the market concentration using the Herfindahl-Hirschman Index and each company’s market share. The government is hesitant to allow a company to develop market power, because if unchecked, such power can lead to monopoly behavior.

Exemptions to Antitrust Laws

Several types of organizations are exempt from federal antitrust laws, including labor unions, agricultural cooperatives, and banks. Mergers and joint agreements of professional football, hockey, baseball, and basketball leagues are exempt. Newspapers run by joint operating agreements are also allowed limited antitrust immunity under the Newspaper Preservation Act of 1970.

16.3.5: Subsidies and Contracting

A subsidy is assistance paid to business, economic sectors, or producers; a contract is an agreement between two or more parties.

Learning Objective

Discuss the aims of subsidies and their effects on supply and demand

Key Points

• Subsidies are often regarded as a form of protectionism or trade barrier by making domestic goods and services artificially competitive against imports. Subsidies may distort markets and can impose large economic costs.
• A subsidy may be an efficient means of correcting a market failure. For example, economic analysis may suggest that direct subsidies (cash benefits) would be more efficient than indirect subsidies (such as trade barriers).
• Government procurement in the United States addresses the federal government’s need to acquire goods, services (including construction), and interests in real property.
• The authority of a contracting officer (the Government’s agent) to contract on behalf of the Government is set forth in public documents (a warrant) that a person dealing with the contracting officer can review.

Key Terms

Contract

An agreement entered into voluntarily by two or more parties with the intention of creating a legal obligation, which may have elements in writing, though contracts can be made orally.

subsidy

Assistance paid to a business, economic sector, or producers.

Subsidy

A subsidy is assistance paid to a business, economic sector or producers. Most subsidies are paid by the government to producers or distributed as subventions in an industry to prevent the decline of that industry, to increase the prices of its products, or simply to encourage the hiring of more labor. Some subsidies are to encourage the sale of exports; some are for food to keep down the cost of living; and other subsidies encourage the expansion of farm production.

Subsidies

This graph depicts U.S. farm subsidies in 2005.

Subsidies are often regarded as a form of protectionism or trade barrier by making domestic goods and services artificially competitive against imports. Subsidies may distort markets and can impose large economic costs. Financial assistance in the form of subsidies may come from a government, but the term subsidy may also refer to assistance granted by others, such as individuals or non-governmental institutions.

Examples of industries or sectors where subsidies are often found include utilities, gasoline in the United States, welfare, farm subsidies, and (in some countries) certain aspects of student loans.

Types of Subsidies

Ways to classify subsidies include the reason behind them, the recipients of the subsidy, and the source of the funds. One of the primary ways to classify subsidies is the means of distributing the subsidy. The term subsidy may or may not have a negative connotation. A subsidy may be characterized as inefficient relative to no subsidies; inefficient relative to other means of producing the same results; or “second-best;” implying an inefficient but feasible solution.

In other cases, a subsidy may be an efficient means of correcting a market failure. For example, economic analysis may suggest that direct subsidies (cash benefits) would be more efficient than indirect subsidies (such as trade barriers); this does not necessarily imply that direct subsidies are bad, but they may be more efficient or effective than other mechanisms to achieve the same (or better) results. Insofar as they are inefficient, subsidies would generally be considered bad, as economics is the study of efficient use of limited resources.

Effects

In standard supply and demand curve diagrams, a subsidy shifts either the demand curve up or the supply curve down. Subsidies that increase the production will tend to result in lower prices, while subsidies that increase demand will tend to result in an increase in price. Both cases result in a new economic equilibrium. The recipient of the subsidy may need to be distinguished from the beneficiary of the subsidy, and this analysis will depend on elasticity of supply and demand as well as other factors. The net effect and identification of winners and losers is rarely straightforward, but subsidies generally result in a transfer of wealth from one group to another (or transfer between sub-groups).

Government Procurement

Government procurement in the United States addresses the federal government’s need to acquire goods, services (including construction), and interests in real property. It involves the acquiring by contract, usually with appropriated funds, of supplies, services, and interests in real property by and for the use of the Federal Government. This is done through purchase or lease, whether the supplies, services, or interests are already in existence or must be created, developed, demonstrated, and evaluated.

The authority of a contracting officer (the Government’s agent) to contract on behalf of the Government is set forth in public documents (a warrant) that a person dealing with the contracting officer can review. The contracting officer has no authority to act outside of his or her warrant or to deviate from the laws and regulations controlling Federal Government contracts. The private contracting party is held to know the limitations of the contracting officer’s authority, even if the contracting officer does not. This makes contracting with the United States a very structured and restricted process. As a result, unlike in the commercial arena, where the parties have great freedom, a contract with the U.S. Government must comply with the laws and regulations that permit it, and must be made by a contracting officer with actual authority to execute the contract.

16.3.6: The Public Debt

Government debt, also known as public debt, or national debt, is the debt owed by a central government.

Learning Objective

Describe how countries finance activities by issuing debt

Key Points

• Government debt is one method of financing government operations but not the only method. Governments can also create money to monetize their debts, thus removing the need to pay interest. However, this practice simply reduces government interest costs rather than truly canceling government debt.
• As the government draws its income from much of the population, government debt is an indirect debt of the taxpayers.
• Lending to a national government in the country’s own currency is often considered risk free and is done at a so-called risk-free interest rate. This is because, up to a point, the debt and interest can be repaid by raising tax receipts, a reduction in spending, or by simply printing more money.

Key Terms

Public Debt

Government debt, also known as public debt, or national debt, is the debt owed by a central government.

Sovereign Debt

Sovereign debt usually refers to government debt that has been issued in a foreign currency.

Government Bond

A government bond is a bond issued by a national government. Such bonds are often denominated in the country’s domestic currency.

Government Debt

Government debt, also known as public debt, or national debt, is the debt owed by a central government. In the U.S. and other federal states, “government debt” may also refer to the debt of a state or provincial government, municipal or local government. Government debt is one method of financing government operations, but it is not the only method. Governments can also create money to monetize their debts, thereby removing the need to pay interest. However, this practice simply reduces government interest costs rather than truly canceling government debt. shows each country’s public debt as a percentage of their GDP in 2011.

Global Public Debt

This map shows each country’s public debt as a percentage of their GDP.

Governments usually borrow by issuing securities, government bonds and bills. Less creditworthy countries sometimes borrow directly from a supranational organization (the World Bank) or international financial institutions. As the government draws its income from much of the population, government debt is an indirect debt of the taxpayers. Government debt can be categorized as internal debt (owed to lenders within the country) and external debt (owed to foreign lenders). Sovereign debt usually refers to government debt that has been issued in a foreign currency. A broader definition of government debt may consider all government liabilities, including future pension payments and payments for goods and services the government has contracted but not yet paid.

Government and Sovereign Bonds

A government bond is a bond issued by a national government. Such bonds are often denominated in the country’s domestic currency. Most developed country governments are prohibited by law from printing money directly, that function having been relegated to their central banks. However, central banks may buy government bonds in order to finance government spending, thereby monetizing the debt.

Bonds issued by national governments in foreign currencies are normally referred to as sovereign bonds. Investors in sovereign bonds denominated in foreign currency have the additional risk that the issuer may be unable to obtain foreign currency to redeem the bonds.

Denominated in Reserve Currencies

Governments often borrow money in currency in which the demand for debt securities is strong. An advantage of issuing bonds in a currency such as the US dollar, the pound sterling, or the euro is that many investors wish to invest in such bonds.

Risk

Lending to a national government in the country’s own sovereign currency is often considered “risk free” and is done at a so-called “risk-free interest rate. ” This is because, up to a point, the debt and interest can be repaid by raising tax receipts (either by economic growth or raising tax rates), a reduction in spending, or failing that by simply printing more money. It is widely considered that this would increase inflation and reduce the value of the invested capital. A typical example of this is provided by Weimar Germany of the 1920s which suffered from hyperinflation due to its government’s inability to pay the national debt deriving from the costs of World War I.

In practice, the market interest rate tends to be different for debts of different countries. An example is in borrowing by different European Union countries denominated in euros. Even though the currency is the same in each case, the yield required by the market is higher for some countries’ debt than for others. This reflects the views of the market on the relative solvency of the various countries and the likelihood that the debt will be repaid.

A politically unstable state is anything but risk-free as it may cease its payments. Another political risk is caused by external threats. It is mostly uncommon for invaders to accept responsibility for the national debt of the annexed state or that of an organization it considered as rebels. For example, all borrowings by the Confederate States of America were left unpaid after the American Civil War. On the other hand, in the modern era, the transition from dictatorship and illegitimate governments to democracy does not automatically free the country of the debt contracted by the former government. Today’s highly developed global credit markets would be less likely to lend to a country that negated its previous debt, or might require punishing levels of interest rates that would be unacceptable to the borrower.

U.S. Treasury bonds denominated in U.S. dollars are often considered “risk free” in the U.S. This disregards the risk to foreign purchasers of depreciation in the dollar relative to the lender’s currency. In addition, a risk-free status implicitly assumes the stability of the US government and its ability to continue repayments during any financial crisis.

Lending to a national government in a currency other than its own does not give the same confidence in the ability to repay, but this may be offset by reducing the exchange rate risk to foreign lenders. Usually small states with volatile economies have most of their national debt in foreign currency.

16.4: Taxes

16.4.1: The Federal Tax System

The United States is a federal republic with autonomous state and local governments with taxes imposed at each level.

Learning Objective

Describe the various levels of the tax structure in the United States

Key Points

• Taxes are imposed on net income of individuals and corporations by federal, most state, and some local governments. Federal tax rates vary from 10% to 35% of taxable income. State and local tax rates vary widely by jurisdiction, from 0% to 12.696% and many are graduated.
• Payroll taxes are imposed by the federal and all state governments. These include Social Security and Medicare taxes imposed on both employers and employees, at a combined rate of 15.3% (13.3% for 2011).
• Property taxes are imposed by most local governments and many special purpose authorities based on the fair market value of property. Sales taxes are imposed on the price at retail sale of many goods and some services by most states and some localities.

Key Terms

tariff

a system of government-imposed duties levied on imported or exported goods; a list of such duties, or the duties themselves

autonomous

Self-governing. Governing independently.

The Federal Tax System

The United States is a federal republic with autonomous state and local governments. Taxes are imposed at each of these levels. These include taxes on income, payroll, property, sales, imports, estates and gifts, as well as various fees. The taxes collected in 2010 by federal, state and municipal governments amounted to 24.8% of the GDP.

U.S. Tax Revenues

U.S. Tax Revenues as a Percentage of GDP

Taxes are imposed on net income of individuals and corporations by the federal, most state, and some local governments. Citizens and residents are taxed on worldwide income and allowed a credit for foreign taxes. Income subject to tax is determined under tax rules, not accounting principles, and includes almost all income. Most business expenses reduce taxable income, though limits apply to a few expenses. Individuals are permitted to reduce taxable income by personal allowances and certain non-business expenses that can include home mortgage interest, state and local taxes, charitable contributions, medical, and certain other expenses incurred above certain percentages of income. State rules for determining taxable income often differ from federal rules. Federal tax rates vary from 10% to 35% of taxable income. State and local tax rates vary widely by jurisdiction, from 0% to 12.696% and many are graduated. State taxes are generally treated as a deductible expense for federal tax computation. Certain alternative taxes may apply. The United States is the only country in the world that taxes its nonresident citizens on worldwide income or estate, in the same manner and rates as residents.

Payroll taxes are imposed by the federal and all state governments. These include Social Security and Medicare taxes imposed on both employers and employees, at a combined rate of 15.3% (13.3% for 2011). Social Security tax applies only to the first $106,800 of wages in 2009 through 2011. Employers also must withhold income taxes on wages. An unemployment tax and certain other levies apply.

Property taxes are imposed by most local governments and many special purpose authorities based on the fair market value of property. School and other authorities are often separately governed, and impose separate taxes. Property tax is generally imposed only on realty, though some jurisdictions tax some forms of business property. Property tax rules and rates vary widely.

Sales taxes are imposed on the retail price of many goods and some services by most states and some localities. Sales tax rates vary widely among jurisdictions, from 0% to 16%, and may vary within a jurisdiction based on the particular goods or services taxed. Sales tax is collected by the seller at the time of sale, or remitted as use tax by buyers of taxable items who did not pay sales tax.

The United States imposes tariffs or customs duties on the import of many types of goods from many jurisdictions. This tax must be paid before the goods can be legally imported. Rates of duty vary from 0% to more than 20%, based on the particular goods and country of origin.

Estate and gift taxes are imposed by the federal and some state governments on property passed by inheritance or donation. Similar to federal income taxes, federal estate and gift taxes are imposed on worldwide property of citizens and residents and allow a credit for foreign taxes.

16.4.2: Federal Income Tax Rates

Federal income tax is levied on the income of individuals or businesses, which is the total income minus allowable deductions.

Learning Objective

Summarize the key moments in the development of a national income tax

Key Points

• In order to help pay for its war effort in the American Civil War, the federal government imposed its first personal income tax on August 5, 1861 as part of the Revenue Act of 1861.
• In 1913, the Sixteenth Amendment to the Constitution made the income tax a permanent fixture in the U.S. tax system.
• Taxpayers generally must self assess income tax by filing tax returns. Advance payments of tax are required in the form of withholding tax or estimated tax payments.
• The 2012 marginal tax rates for a single person is 10 percent for $0–8,700, 15 percent for $8,701–35,350, 25 percent for $35,351–85,650, 28 percent for $85,651–178,650, 33 percent for $178,651–388,350 and 35 percent for $388,351 and up.
• In the United States, payroll taxes are assessed by the federal government, all fifty states, the District of Columbia, and numerous cities.
• The United States social insurance system is funded by a tax similar to an income tax.

Key Term

net

The amount remaining after expenses are deducted; profit.

Federal income tax is levied on the income of individuals or businesses. When the tax is levied on the income of companies, it is often called a corporate tax, corporate income tax or profit tax. Individual income taxes often tax the total income of the individual, while corporate income taxes often tax net income. Taxable income is total income less allowable deductions.

Income is broadly defined. Most business expenses are deductible. Individuals may also deduct a personal allowance and certain personal expenses. These include home mortgage interest, state taxes, contributions to charity, and some other items. Some of these deductions are subject to limits. Capital gains are taxable, and capital losses reduce taxable income only to the extent of gains. Individuals currently pay a lower rate of tax on capital gains and certain corporate dividends.

U.S. Income Taxes out of Total Taxes

This graph shows the revenue the U.S. government has made purely from income tax, in relation to all taxes.

In order to help pay for the American Civil War, the federal government imposed its first personal income tax on August 5, 1861 as part of the Revenue Act of 1861. The tax rate was 3 percent of all incomes over $800 ($20,693 in 2011 dollars). This tax was repealed and replaced by another income tax in 1862.

In 1894, Democrats in Congress passed the Wilson-Gorman tariff, which imposed the first peacetime income tax. The rate was 2 percent on income over $4,000 ($107,446.15 in 2011 dollars). This meant fewer than 10 percent of households would pay the tax. The purpose of Wilson-Gorman tariff was to make up for revenue that would be lost by other tariff reductions.

In 1895 the Supreme Court, in Pollock v. Farmers’ Loan & Trust Co., ruled that a tax based on receipts from the use of property was unconstitutional. The Court held that taxes on rents from real estate, interest income from personal property, and other income from personal property were treated as direct taxes on property, and had to be apportioned. Since apportionment of income taxes was impractical, this decision effectively prohibited a federal tax on income from property.

In 1913, the Sixteenth Amendment to the Constitution made the income tax a permanent fixture in the U.S. tax system. The United States Supreme Court, in Stanton v. Baltic Mining Co., ruled that the amendment conferred no new power of taxation. They ruled that it simply prevented the courts from taking the power of income taxation from Congress. In fiscal year 1918, annual internal revenue collections for the first time passed the billion-dollar mark, rising to 5.4 billion by 1920. With the advent of World War II, employment increased, as did tax collections—to 7.3 billion. The withholding tax on wages was introduced in 1943 and was instrumental in increasing the number of taxpayers to $60 million and tax collections to $43 billion by 1945.

Taxpayers generally must self-assess income tax by filing tax returns. Advance payments of tax are required in the form of withholding tax or estimated tax payments. Taxes are determined separately by each jurisdiction imposing tax. Due dates and other administrative procedures vary by jurisdiction. April 15 is the due date for individual returns for federal and many state and local returns. Tax, as determined by the taxpayer, may be adjusted by the taxing jurisdiction.

Social Security Tax

The United States social insurance system is funded by a tax similar to an income tax. Social Security tax of 6.2% is imposed on wages paid to employees. The tax is imposed on both the employer and the employee. For 2011 and 2012, the employee tax has been reduced by 6.2% to 4.2%. The maximum amount of wages subject to the tax for 2009, 2010, and 2011 was/is $106,800. This amount is indexed for inflation. A companion Medicare Tax of 1.45% of wages is imposed on employers and employees, with no limitation. A self-employment tax in like amounts (totaling 15.3%, 13.3% for 2011 and 2012) is imposed on self-employed persons.

Payroll Tax

Payroll taxes generally fall into two categories: deductions from an employee’s wages and taxes paid by the employer based on the employee’s wages. In the United States, payroll taxes are assessed by the federal government, all fifty states, the District of Columbia, and numerous cities. These taxes are imposed on employers and employees and on various compensation bases and are collected and paid to the taxing jurisdiction by the employers. Most jurisdictions imposing payroll taxes require reporting quarterly and annually in most cases, and electronic reporting is generally required for all but small employers.

16.4.3: Tax Loopholes and Lowered Taxes

Tax evasion is the term for efforts by individuals, corporations, trusts and other entities to evade taxes by illegal means.

Learning Objective

Describe the legal and illegal ways individuals and corporations avoid paying some or all taxes owed

Key Points

• The “term tax mitigation” has also been used in the tax regulations of some jurisdictions to distinguish tax avoidance foreseen by the legislators from tax avoidance, which exploits loopholes in the law.
• The United States Supreme Court has stated that “The legal right of an individual to decrease the amount of what would otherwise be his taxes or altogether avoid them, by means which the law permits, cannot be doubted”.
• Tax evasion is the general term for efforts by individuals, corporations, trusts, and other entities to evade taxes by illegal means. Both tax avoidance and evasion can be viewed as forms of tax noncompliance, as they describe a range of activities that are unfavorable to a state’s tax system.
• The Internal Revenue Service has identified small business and sole proprietorship employees as the largest contributors to the tax gap between what Americans owe in federal taxes and what the federal government receives.
• When tips, side-jobs, cash receipts, and barter income is not reported, it is illegal cheating because no tax are paid by individuals. Similarly, those who are self-employed or run small businesses may not declare income and evade the payment of taxes.

Key Terms

evasion

The act of eluding or avoiding, particularly the pressure of an argument, accusation, charge, or interrogation; artful means of eluding.

loophole

A method of escape, especially an ambiguity or exception in a rule that can be exploited in order to avoid its effect.

mitigation

relief; alleviation

Example

• In the United States, the IRS estimate of the 2001 tax gap was $345 billion. For 2006, the tax gap is estimated to be $450 billion. A more recent study estimates the 2008 tax gap in the range of $450-500 billion, and unreported income to be approximately $2 trillion. Thus, 18-19% of total reportable income is not properly reported to the IRS.

Tax Avoidance

Tax avoidance is the legal utilization of the tax regime to one’s own advantage, to reduce the amount of tax that is payable by means that are within the law. The term tax mitigation’s original use was by tax advisors as an alternative to the pejorative term tax avoidance. The term has also been used in the tax regulations of some jurisdictions to distinguish tax avoidance foreseen by the legislators from tax avoidance which exploits loopholes in the law. The United States Supreme Court has stated that “The legal right of an individual to decrease the amount of what would otherwise be his taxes or altogether avoid them, by means which the law permits, cannot be doubted. “

Tax Evasion

Tax evasion is the general term for efforts by individuals, corporations, trusts and other entities to evade taxes by illegal means. Both tax avoidance and evasion can be viewed as forms of tax noncompliance, as they describe a range of activities that are unfavorable to a state’s tax system. Tax evasion is an activity commonly associated with the underground economy, and one measure of the extent of tax evasion is the amount of unreported income, namely the difference between the amount of income that should legally be reported to the tax authorities and the actual amount reported, which is also sometimes referred to as the “tax gap. “

Taxes are imposed in the United States at each of these levels. These include taxes on income, payroll, property, sales, imports, estates, and gifts, as well as various fees. In 2010, taxes collected by federal, state and municipal governments amounted to 24.8% of GDP . Under the federal law of the United States of America, tax evasion or tax fraud is the purposeful illegal attempt of a taxpayer to evade payment of a tax imposed by the federal government. Conviction of tax evasion may result in fines and imprisonment.

U.S. Income Taxes out of Total Taxes

This graph shows the revenue the U.S. government has made purely from income tax, in relation to all taxes.

The Internal Revenue Service has identified small business and sole proprietorship employees as the largest contributors to the tax gap between what Americans owe in federal taxes and what the federal government receives. Rather than W-2 wage earners and corporations, small business and sole proprietorship employees contribute to the tax gap, because there are few ways for the government to know about skimming or non-reporting of income without mounting more significant investigations. When tips, side-jobs, cash receipts, and barter income is not reported it is illegal cheating, because no tax is paid by individuals. Similarly, those who are self-employed or run small businesses may not declare income and evade the payment of taxes.

Examples of Tax Evasion

An IRS report indicates that, in 2009, 1,470 individuals earning more than $1,000,000 annually faced a net tax liability of zero or less. Also, in 1998 alone, a total of 94 corporations faced a net liability of less than half the full 35% corporate tax rate and the corporations Lyondell Chemical, Texaco, Chevron, CSX, Tosco, PepsiCo, Owens & Minor, Pfizer, JP Morgan Saks, Goodyear, Ryder, Enron, Colgate-Palmolive, Worldcom, Eaton, Weyerhaeuser, General Motors, El Paso Energy, Westpoint Stevens, MedPartners, Phillips Petroleum, McKesson, and Northrup Grumman all had net negative tax liabilities. Additionally, this phenomenon was widely documented regarding General Electric in early 2011. A Government Accountability Office study found that, from 1998 to 2005, 55% of United States companies paid no federal income taxes during at least one year in a seven-year period it studied. A review in 2011 by Citizens for Tax Justice and the Institute on Taxation and Economic Policy of companies in the Fortune 500 profitable every year from 2008 through 2010 stated these companies paid an average tax rate of 18.5%, and that 30 of these companies actually had a negative income tax due.

In the United States, the IRS estimate of the 2001 tax gap was $345 billion. For 2006, the tax gap is estimated to be $450 billion. A more recent study estimates the 2008 tax gap in the range of $450–$500 billion, and unreported income to be approximately $2 trillion. Thus, 18-19 percent of total reportable income is not properly reported to the IRS.

16.5: Politics and Economic Policy

16.5.1: Fiscal Policy and Policy Making

Fiscal policy is the use of government revenue collection (taxation) and expenditure (spending) to influence the economy.

Learning Objective

Identify the central elements of fiscal policy

Key Points

• The two main instruments of fiscal policy are government taxation and expenditure.
• There are three main stances in fiscal policy: neutral, expansionary, and contractionary.
• Even with no changes in spending or tax laws at all, cyclic fluctuations of the economy cause cyclic fluctuations of tax revenues and of some types of government spending, which alters the deficit situation; these are not considered fiscal policy changes.

Key Terms

fiscal policy

Government policy that attempts to influence the direction of the economy through changes in government spending or taxes.

taxation

The act of imposing taxes and the fact of being taxed

expenditure

Act of expending or paying out.

In economics and political science, fiscal policy is the use of government budget or revenue collection (taxation) and expenditure (spending) to influence economic. The two main instruments of fiscal policy are government taxation and expenditure. Changes in the level and composition of taxation and government spending can impact the following variables in the economy: (1) aggregate demand and the level of economic activity; (2) the pattern of resource allocation; and (3) the distribution of income.

The three main stances of fiscal policy are:

• Neutral fiscal policy, usually undertaken when an economy is in equilibrium. Government spending is fully funded by tax revenue and overall the budget outcome has a neutral effect on the level of economic activity.
• Expansionary fiscal policy, which involves government spending exceeding tax revenue, and is usually undertaken during recessions.
• Contractionary fiscal policy, which occurs when government spending is lower than tax revenue, and is usually undertaken to pay down government debt .

These definitions can be misleading however. Even with no changes in spending or tax laws at all, cyclic fluctuations of the economy cause cyclic fluctuations of tax revenues and of some types of government spending, which alters the deficit situation; these are not considered to be policy changes. Therefore, for purposes of the above definitions, “government spending” and “tax revenue” are normally replaced by “cyclically adjusted government spending” and “cyclically adjusted tax revenue”. Thus, for example, a government budget that is balanced over the course of the business cycle is considered to represent a neutral fiscal policy stance.

Methods of Funding

Governments spend money on a wide variety of things, from the military and police to services like education and healthcare, as well as transfer payments such as welfare benefits. This expenditure can be funded in a number of different ways:

• Taxation
• Seigniorage, the benefit from printing money
• Borrowing money from the population or from abroad
• Consumption of fiscal reservesSale of fixed assets (e.g., land)
• Borrowing: A fiscal deficit is often funded by issuing bonds, like treasury bills or consols and gilt-edged securities. These pay interest, either for a fixed period or indefinitely. If the interest and capital requirements are too large, a nation may default on its debts, usually to foreign creditors. Public debt or borrowing : it refers to the government borrowing from the public.
• Consuming prior surpluses: A fiscal surplus is often saved for future use, and may be invested in either local currency or any financial instrument that may be traded later once resources are needed; additional debt is not needed. For this to happen, the marginal propensity to save needs to be strictly positive.

Fiscal Policy

Comparison of National Spending Per Citizen for the 20 Largest Economies is an example of various fiscal policies.

16.5.2: Deficit Spending, the Public Debt, and Policy Making

Deficit spending and public debt are controversial issues within economic policy debates.

Learning Objective

Describe government debt and how it is formed

Key Points

• Whereas, public debt refers to debt owed by a central government, deficit spending refers to spending done by a government in excess of tax receipts is known as deficit spending.
• As the government draws its income from much of the population, government debt is an indirect debt of the taxpayers.
• Deficit spending may, however, be consistent with public debt remaining stable as a proportion of GDP, depending on the level of GDP growth.
• The mainstream economics position is that deficit spending is desirable and necessary as part of counter-cyclical fiscal policy, but that there should not be a structural deficit.
• The mainstream position is attacked from both sides – advocates of sound finance argue that deficit spending is always bad policy, while some Post-Keynesian economists, particularly Chartalists, argue that deficit spending is necessary, and not only for fiscal stimulus.

Key Terms

deficit

A situation wherein, or amount whereby, spending exceeds government revenue.

debt

The state or condition of owing something to another.

financing

A transaction that provides funds for a business.

Government debt is the debt owed by a central government. In the United States and other federal states, government debt may also refer to the debt of a state or provincial government, municipal or local government. By contrast, the annual government deficit refers to the difference between government receipts and government spending in a single year, that is, the increase in debt over a particular year. Government debt is one method of financing government operations, but it is not the only method. Governments can also create money to monetize their debts, thereby eliminating the need to pay interest. Doing this, however, simply reduces government interest costs, rather than truly fixing the government debt. Governments usually borrow by issuing securities, government bonds, and bills. Less creditworthy countries sometimes borrow directly from a supranational organization, like the World Bank, or international financial institutions.

Public Debt

National Debt Clock outside the IRS office in NYC, July 1, 2010.

Because the government draws its income from much of the population, government debt is an indirect debt of the taxpayers. Government debt can be categorized as internal debt (owed to lenders within the country) and external debt (owed to foreign lenders). Sovereign debt usually refers to government debt that has been issued in a foreign currency. Government debt can also be categorized by duration until repayment is due. For instance, short term debt is generally considered to last for one year or less, while long term debt is for more than ten years. Medium term debt falls between these two boundaries. A broader definition of government debt may consider all government liabilities, including future pension payments and payments for goods and services the government has contracted, but not yet paid.

Government deficit, on the other hand, refers to a situation when the government’s expenses, including its purchases of goods and services, its transfers (grants) to individuals and corporations, and its net interest payments, exceed its tax revenues. Deficit spending occurs when government spending exceeds tax receipts. Governments usually issue bonds to match their deficits. Bonds can be bought by the Central Bank through quantitative easing. Otherwise the debt issuance can increase the level of (i) public debt, (ii) private sector net worth, (iii) debt service (interest payments) and (iv) interest rates. Deficit spending may, however, be consistent with public debt, remaining stable as a proportion of GDP, depending on the level of GDP growth.

Public Debt as a Percentage of GDP

General government debt as a percent of GDP in USA, Japan, and Germany.

Deficit Reduction Debate: Differences between the two Parties

In the United States, taxes are imposed on net income of individuals and corporations by the federal, most state, and some local governments. One of the largest budget expenditures for state governments is Medicaid. The United States public debt is the outstanding amount owed by the federal government of the United States from the issue of securities by the Treasury and other federal government agencies. US public debt consists of two components:

1. Debt held by the public includes Treasury securities held by investors outside the federal government, including that held by individuals, corporations, the Federal Reserve System and foreign, state and local governments.
2. Debt held by government accounts or intragovernmental debt includes non-marketable Treasury securities held in accounts administered by the federal government that are owed to program beneficiaries, such as the Social Security Trust Fund. Debt held by government accounts represents the cumulative surpluses, including interest earnings, of these accounts that have been invested in Treasury securities.

Democrats and Republicans mean very different things when they talk about tax reform. Democrats argue for the wealthy to pay more via higher income tax rates, while Republicans focus on lowering income tax rates. While both parties discuss reducing tax expenditures (i.e., exemptions and deductions), Republicans focus on preserving lower tax rates for capital gains and dividends, while Democrats prefer educational credits and capping deductions. Political realities make it unlikely that more than $150 billion per year in individual tax expenditures could be eliminated. One area with more common ground is corporate tax rates, where both parties have generally agreed that lower rates and fewer tax expenditures would align the U.S. more directly with foreign competitioIn addition to policies regarding revenue and spending, policies that encourage economic growth are the third major way to reduce deficits. Economic growth offers the “win-win” scenario of higher employment, which increases tax revenue while reducing safety net expenditures for such things as unemployment compensation and food stamps. Other deficit proposals related to spending or revenue tend to take money or benefits from one constituency and give it to others, a “win-lose” scenario. Democrats typically advocate Keynesian economics, which involves additional government spending during an economic downturn. Republicans typically advocate Supply-side economics, which involves tax cuts and deregulation to encourage the private sector to increase its spending and investment.

16.5.3: Monetary Policy

Monetary policy is the process by which a country controls the supply of money in order to promote economic growth and stability.

Learning Objective

Recognize the importance of monetary policy for addressing common economic problems

Key Points

• The official goals of monetary policy usually include relatively stable prices and low unemployment.
• A policy is referred to as “contractionary” if it reduces the size of the money supply, increases money supply slowly, or if it raises the interest rate.
• An expansionary policy increases the size of the money supply more rapidly or decreases the interest rate.
• Within almost all modern nations, special institutions exist that have the task of executing the monetary policy, often independently of the executive.

Key Terms

monetary policy

The process by which the government, central bank, or monetary authority manages the supply of money or trading in foreign exchange markets.

contractionary

Tending to reduce the size of the money supply.

expansionary

Tending to increase the total supply of money in the economy.

Monetary policy is the process by which the monetary authority of a country controls the supply of money, often targeting a rate of interest for the purpose of promoting economic growth and stability. The official goals usually include relatively stable prices and low unemployment. Monetary theory provides insight into how to craft optimal monetary policy. It is referred to as either being expansionary or contractionary. An expansionary policy increases the total supply of money in the economy more rapidly than usual. A contractionary policy expands the money supply more slowly than usual or even shrinks it. Expansionary policy is traditionally used to try to combat unemployment in a recession by lowering interest rates in the hope that easy credit will entice businesses to expand. Contractionary policy is intended to slow inflation in hopes of avoiding the resulting distortions and deterioration of asset values.

Monetary policy differs from fiscal policy. Fiscal policy refers to taxation, government spending, and associated borrowing.

Monetary policy uses a variety of tools to influence outcomes like economic growth, inflation, exchange rates with other currencies and to control unemployment. When currency is under a monopoly of issuance or when there is a regulated system of issuing currency through banks which are tied to a central bank, the monetary authority has the ability to alter the money supply and therefore influence the interest rate (to achieve policy goals). The beginning of monetary policy was introduced in the late 19^th century, where it was used to maintain the gold standard.

A policy is referred to as “contractionary” if it reduces the size of the money supply, increases the money supply slowly, or if it raises the interest rate. An expansionary policy increases the size of the money supply more rapidly or decreases the interest rate. Furthermore, monetary policies are described as “accommodative” if the interest rate set by the central monetary authority is intended to create economic growth. Policies are referred to as “neutral” if it is intended neither to create growth nor combat inflation. Policies are called “tight” if they are intended to reduce inflation.

There are several monetary policy tools available to achieve these ends including increasing interest rates by fiat, reducing the monetary base, and increasing reserve requirements. All of the tools have the effect of contracting the money supply and, if reversed, expanding the money supply. Since the 1970’s, monetary policy has generally been formed separately from fiscal policy. Even prior to the 1970’s, the Bretton Woods system still ensured that most nations would form the two policies separately.

Within most modern nations, special institutions (such as the Federal Reserve System in the United States, the Bank of England, the European Central Bank, the People’s Bank of China, the Reserve bank of India, and the Bank of Japan) exist which have the task of executing the monetary policy, often independently of the executive. In general, these institutions are called central banks and usually have other responsibilities such as supervising the smooth operation of the financial system .

Federal Reserve System

The Federal Reserve System acts as the central mechanism for federal intervention in the U.S. economy.

The primary tool of monetary policy is open market operations. This entails managing the quantity of money in circulation through the buying and selling of various financial instruments, such as treasury bills, company bonds, or foreign currencies. All of these purchases or sales result in more or less base currency entering or leaving market circulation.

Usually, the short term goal of open market operations is to achieve a specific short term interest rate target. In other instances, monetary policy might entail the targeting of a specific exchange rate relative to some foreign currency or gold. For example, in the case of the United States, the Federal Reserve targets the federal funds rate, which is the rate at which member banks lend to one another overnight. However, the monetary policy of China is to target the exchange rate between the Chinese renminbi and a basket of foreign currencies.

The other primary means of conducting monetary policy include: (i) Discount window lending (lender of last resort); (ii) Fractional deposit lending (changes in the reserve requirement); (iii) Moral suasion (cajoling certain market players to achieve specified outcomes); (iv) “Open mouth operations” (talking monetary policy with the market).

16.5.4: Income Security Policy and Policy Making

Income security policy is designed to provide a population with income at times when they are unable to care for themselves.

Learning Objective

Define income security policy in the United States

Key Points

• Income maintenance is based on a combination of five main types of program: social insurance, means-tested benefits, non-contributory benefits, discretionary benefits, and universal or categorical benefits.
• The fact that a compulsory government program, not the private market, provides unemployment insurance can be explained using the concepts of adverse selection and moral hazard.
• The amount of support is enough to cover basic needs, and eligibility is often subject to a comprehensive and complex assessment of an applicant’s social and financial situation.

Key Terms

demogrants

Non-contributory benefits given to whole sections of the population without a test of means or need.

discretion

The freedom to make one’s own judgements

Income Security Policy is usually applied through various programs designed to provide a population with income at times when they are unable to care for themselves. Income maintenance is based in a combination of five main types of program

1. Social insurance.
2. Means-tested benefits. This is financial assistance provided for those who are unable to cover basic needs (such as food, clothing, and housing) due to poverty or lack of income because of unemployment, sickness, disability, or caring for children. While assistance is often in the form of financial payments, those eligible for social welfare can usually access health and educational services free of charge. The amount of support is enough to cover basic needs and eligibility is often subject to a comprehensive and complex assessment of an applicant’s social and financial situation.
3. Non-contributory benefits. Several countries have special schemes, administered with no requirement for contributions and no means test, for people in certain categories of need (for example, veterans of armed forces, people with disabilities, and very old people).
4. Discretionary benefits. Some schemes are based on the discretion of an official, such as a social worker.
5. Universal or categorical benefits, also known as demogrants. These are non-contributory benefits given to whole sections of the population without a test of means or need, such as family allowances or the public pension in New Zealand (known as New Zealand Superannuation).

That a compulsory government program, not the private market, provides unemployment insurance can be explained using the concepts of adverse selection and moral hazard.

Adverse selection refers to the fact that “workers who have the highest probability of becoming unemployed have the highest demand for unemployment insurance.” Adverse selection causes profit maximizing private insurance agencies to set high premiums for the insurance because there is a high likelihood they will have to make payments to the policyholder. High premiums exclude many individuals who otherwise might purchase the insurance. “A compulsory government program avoids the adverse selection problem. Hence, government provision of UI has the potential to increase efficiency. However, government provision does not eliminate moral hazard.”

“At the same time, those workers who managed to obtain insurance might experience more unemployment other than what would have been the case.” The private insurance company would have to determine whether the employee is unemployed through no fault of their own, which is difficult to determine. Incorrect determinations could result in the payout of significant amounts for fraudulent claims, or alternately failure to pay legitimate claims. This leads to the rationale that if the government could solve either problem, then government intervention would increase efficiency.

16.5.5: The Changing Federal Role in the Economy

The role of the federal government in the economy has been a central debate among economists and political scientists for two centuries.

Learning Objective

Explain the role and the historical origins of the Federal Reserve System in the early 20th century

Key Points

• In the United States, the Federal Reserve System (also known as the Federal Reserve, and informally as the Fed) serves as the central mechanism for understanding federal intervention (and de-entanglement) with the economy.
• Over time, the roles and responsibilities of the Federal Reserve System have expanded and its structure has evolved.
• Events such as the Great Depression were major factors leading to changes in the system.

Key Terms

monetary policy

The process by which the government, central bank, or monetary authority manages the supply of money or trading in foreign exchange markets.

bank regulation

Bank regulations are a form of government regulation which subject banks to certain requirements, restrictions and guidelines.

The role of the federal government in the economy has been a central debate among economists and political scientists for over two centuries. Classic liberalism and Right-libertarian arguments argue for limited or no role for the federal government in the economy, while welfare economics argue for an increased role of the federal government.

In the United States, the Federal Reserve System (also known as the Federal Reserve, and informally as the Fed) serves as the central mechanism for understanding federal intervention (and de-entanglement) with the economy. The central banking system of the United States, the Fed was created on December 23, 1913, with the enactment of the Federal Reserve Act. This was largely in response to a series of financial panics, particularly a severe panic in 1907. Over time, the roles and responsibilities of the Federal Reserve System have expanded, and its structure has evolved. Events such as the Great Depression were major factors leading to changes in the system.

Federal Reserve System

The Federal Reserve System acts as the central mechanism for federal intervention in the U.S. economy.

The Congress established three key objectives for monetary policy—maximum employment, stable prices, and moderate long-term interest rates—in the Federal Reserve Act. The first two objectives are sometimes referred to as the Federal Reserve’s dual mandate. Its duties have expanded over the years, and today, according to official Federal Reserve documentation, include conducting the nation’s monetary policy, bank regulation, maintaining the stability of the financial system and providing financial services to depository institutions, the U.S. government, and foreign official institutions. The Fed also conducts research into the economy and releases numerous publications, such as the Beige Book.

16.5.6: Politics and the Great Recession of 2008

Global political instability is rising fast due to the global financial crisis and is creating new challenges that need to be managed.

Learning Objective

Explain the causes and consequences of the 2008-2012 Global Recession

Key Points

• Economic weakness could lead to political instability in many developing nations.
• Globally, mass protest movements have arisen in many countries as a response to the economic crisis.
• The bursting of the U.S. housing bubble, which peaked in 2006, caused the values of securities tied to U.S. real estate pricing to plummet, damaging financial institutions globally.
• The U.S. Senate’s Levin–Coburn Report asserted that the crisis was the result of “high risk, complex financial products; undisclosed conflicts of interest; the failure of regulators, the credit rating agencies, and the market itself to rein in the excesses of Wall Street.
• The 1999 repeal of the Glass–Steagall Act effectively removed the separation between investment banks and depository banks in the United States.
• Most governments in Europe, including Greece, Spain, Italy, have faced austerity measures that include reduced government spending, elimination of social programs in education and health, and the deregulation of short-term and long-term capital markets.

Key Terms

recession

A period of reduced economic activity

financial crisis

A period of economic slowdown characterised by declining productivity and devaluing of financial institutions often due to reckless and unsustainable money lending.

secession

Secession (derived from the Latin term secessio) is the act of withdrawing from an organization, union, or especially a political entity. Threats of secession also can be a strategy for achieving more limited goals.

The Global Recession

The 2008–2012 global recession is a massive global economic decline that began in December 2007 and took a particularly sharp downward turn in September 2008. No economic recession since The Great Depression of the 1930s has affected economic input, production and circulation of capital like the current global recession. The global recession affected the entire world economy, hitting some countries more than others. It is a major global recession characterized by various systemic imbalances sparked by the outbreak of the Financial crisis of 2007–2008. shows the trend in international trade that reflects the recession in 2008.

World Trade

Evolution of international trade since 2000. There exists a dip in 2009 that corresponds to the recession of 2008.

Beginning February 26, 2009 an Economic Intelligence Briefing was added to the daily intelligence briefings prepared for the President of the United States. This addition reflects the assessment of United States intelligence agencies that the global financial crisis presents a serious threat to international stability.

Causes

The bursting of the U.S. housing bubble, which peaked in 2006, caused the values of securities tied to U.S. real estate prices to plummet, damaging financial institutions globally. The financial crisis was triggered by a complex interplay of government policies that encouraged home ownership, providing easier access to loans for subprime borrowers, overvaluation of bundled sub-prime mortgages based on the theory that housing prices would continue to escalate, questionable trading practices on behalf of both buyers and sellers, compensation structures that prioritize short-term deal flow over long-term value creation, and a lack of adequate capital holdings from banks and insurance companies to back the financial commitments they were making.

Several causes of the financial crisis have been proposed, with varying weights assigned by experts. The U.S. Senate’s Levin–Coburn Report asserted that the crisis was the result of “high risk, complex financial products; undisclosed conflicts of interest; the failure of regulators, the credit rating agencies, and the market itself to rein in the excesses of Wall Street. ” The 1999 repeal of the Glass–Steagall Act effectively removed the separation between investment banks and depository banks in the United States. Critics argued that credit rating agencies and investors failed to accurately price the risk involved with mortgage-related financial products, and that governments did not adjust their regulatory practices to address 21st-century financial markets. Research into the causes of the financial crisis has also focused on the role of interest rate spreads.

Political Consequences

In March 2009, Business Week stated that global political instability is rising fast due to the global financial crisis and is creating new challenges that needed to be addressed. The Associated Press reported in March 2009 that: United States “Director of National Intelligence Dennis Blair has said the economic weakness could lead to political instability in many developing nations. ” Even some developed countries are experiencing political instability. NPR reports that David Gordon, a former intelligence officer who now leads research at the Eurasia Group, said: “Many, if not most, of the big countries out there have room to accommodate economic downturns without having large-scale political instability if we’re in a recession of normal length. If you’re in a much longer-run downturn, then all bets are off.”

In January 2009, the government leaders of Iceland were forced to call elections two years early after the people of Iceland staged mass protests and clashed with the police due to the government’s handling of the economy. Hundreds of thousands protested in France against President Sarkozy’s economic policies. Prompted by the financial crisis in Latvia, the opposition and trade unions there organized a rally against the cabinet of premier Ivars Godmanis. The rally gathered some 10-20 thousand people. In the evening the rally turned into a Riot. The crowd moved to the building of the parliament and attempted to force their way into it, but were repelled by the state’s police. In late February many Greeks took part in a massive general strike to protest the economic situation and they shut down schools, airports, and many other services in Greece. Communists in Moscow also rallied to protest the Russian government’s economic plans. Protests have also occurred in China as demands from the west for exports have been dramatically reduced and unemployment increased. Beyond these initial protests, the protest movement has grown and continued in 2011. In late 2011, the Occupy Wall Street protest took place in the United States, spawning several offshoots that came to be known as the Occupy movement.

In 2012 the economic difficulties in Spain have caused support for secession movements to increase. In Catalonia support for the secession movement exceeded 50%, up from 25% in 2010. On September 11, a pro-independence march, which in the past had never drawn more than 50,000 people, pulled in a crowd estimated by city police at 1.5 million..

16.5.7: Business and Labor in the Economy

The relationship between business and labor has been at the center of economic and political theory for the last two centuries.

Learning Objective

Explain the relationship between labor and business in the economy

Key Points

• The late nineteenth century saw many governments starting to address questions surrounding the relationship between business and labor, primarily through labor law or employment law.
• Labor law is the body of laws, administrative rulings, and precedents which address the legal rights of, and restrictions on, working people and their organizations.
• Labor law arose due to the demand for workers to have better conditions, the right to organize, or, alternatively, the right to work without joining a labor union, and the simultaneous demands of employers to restrict the powers of workers’ many organizations and to keep labor costs low.
• Workers’ organizations, such as trade unions, can also transcend purely industrial disputes, and gain political power. The state of labor law at any one time is therefore both the product of, and a component of, struggles between different interests in society.
• Commercial law is the body of law that applies to the rights, relations, and conduct of persons and businesses engaged in commerce, merchandising, trade, and sales. It is often considered to be a branch of civil law and deals with issues of both private law and public law.

Key Terms

labor law

This is the body of laws, administrative rulings, and precedents which address the legal rights of, and restrictions on, working people and their organizations.

capitalism

A socio-economic system based on private property rights, including the private ownership of resources or capital, with economic decisions made largely through the operation of a market unregulated by the state.

labor union

A continuous association of wage earners for the purpose of maintaining or improving the conditions of their employment; a trade union.

Example

• The Fair Labor Standards Act of 1938 set the maximum standard work week to 44 hours and in 1950, this was reduced to 40 hours. A green card entitles legal immigrants to work just like U.S. citizens, without requirement of work permits. Despite the 40-hour standard maximum work week, some lines of work require more than 40 hours to complete the tasks of the job. For example, if you prepare agricultural products for market, you can work over 72 hours a week, if you want to, but you cannot be required to.

Introduction

The relationship between business and labor has been at the center of some of the major economic and political theories about capitalism over the last two centuries. In his 1867 work, Das Kapital, Karl Marx argued that business and labor were inherently at odds under capitalism, because the motivating force of capitalism is in the exploitation of labor, whose unpaid work is the ultimate source of profit and surplus value. In order for this tension to be resolved, the workers had to take ownership over the means of the production, and, therefore, their own labor–a process that Marx explained in his other major work, The Communist Manifesto.

The late nineteenth century saw many governments starting to address questions surrounding the relationship between business and labor, primarily through labor law or employment law. Labor law is the body of laws, administrative rulings, and precedents which address the legal rights of, and restrictions on, working people and their organizations. As such, it mediates many aspects of the relationship between trade unions, employers, and employees.

Labor and Business

Labor strikes, such as this one in Tyldesley in the 1926 General Strike in the U.K., represent the often fraught relationship between labor and business.

Labor Law

Labor law arose due to the demand for workers to have better conditions, the right to organize, or, alternatively, the right to work without joining a labor union, and the simultaneous demands of employers to restrict the powers of the many organizations of workers and to keep labor costs low. Employers’ costs can increase due to workers organizing to achieve higher wages, or by laws imposing costly requirements, such as health and safety or restrictions on their free choice of whom to hire . Workers’ organizations, such as trade unions, can also transcend purely industrial disputes and gain political power. The state of labor law at any one time is, therefore, both the product of, and a component of, struggles between different interests in society.

Palmer Carpenter

1942 photograph of a carpenter at work on Douglas Dam, Tennessee (TVA). Encyclopedic both as a document of carpentry during that era and as a historic example of early color photography. Supersaturation was popular in the United States during that era; a fine example of the esthetics of its place and time.

The Fair Labor Standards Act of 1938 set the maximum standard work week to 44 hours and in 1950, this was reduced to 40 hours. A green card entitles legal immigrants to work just like U.S. citizens, without requirement of work permits. Despite the 40-hour standard maximum work week, some lines of work require more than 40 hours to complete the tasks of the job. For example, if you prepare agricultural products for market, you can work over 72 hours a week, if you want to, but you cannot be required to work these many hours. If you harvest products you must get a period of 24 hours off after working up to 72 hours in a seven-day period. There are exceptions to the 24-hour break period for certain harvesting employees, such as those involved in harvesting grapes, tree fruits, and cotton. Professionals, clerical (administrative assistants), technical, and mechanical employees cannot be terminated for refusing to work more than 72 hours in a work week. These high-hour ceilings, combined with a competitive job market, often motivate American workers to work more hours than required. American workers consistently take fewer vacation days than their European counterparts and on average, take the fewest days off of any developed country.

Commercial Law

Commercial law is the body of law that applies to the rights, relations, and conduct of persons and businesses engaged in commerce, merchandising, trade, and sales. It is often considered to be a branch of civil law and deals with issues of both private law and public law.