NORBERT ELIAS
ENGLAND
One of the strangest aspects of the development of sociology during its
first century and a half or so as a relatively autonomous discipline is the
change from a long-term perspecive to a short-term perspective, a kind of
narrowing of the sociologists' interest to contemporary societies - and above
all to their own societies - as they are here and now, and a withdrawal of
interest from the problem how and why societies over the centuries have become
what they are. The narrowing of the focus has found its most striking expression
in the change in the dominant type of sociological theory. For the greater part
of the 19th century the most representative sociological theories were centred
on the long-term development of society, those of the second part of the 20th
century - except a few, among them my own - have completely abandoned the
concept of social development. For a time, it has disappeared from sociological
text-books. Instead, the concept "social system" has moved into the centre of
sociological theories and other concepts related to it, such as "social
structure" and "social function," conceived in such a manner that they can only
serve as theoretical tools for a study of society in a given state, at a given
time, whose changes are perceived as unstructured or, in other words, as
historical changes. The shift of interest from the long-term dynamics to the
short-term statics of society has many reasons which need not be discussed here,
at least not explicitly (I have discussed some of them elsewhere (1)). But the
fact that the plans of the 7th World Congress of Sociology include a Round Table
discussion on the theme ‘Grand Theories of Development' may perhaps be regarded
as a straw in the wind. There are a number of signs that the problem of the
long-term development of societies - sometimes mistakenly called evolution, for
this development is a sequential order sui generis and has nothing whatever to
do with the biological sequence called evolution - begins to move once more into
focus.
However, the restructuring of the sociological imagination that is needed in
order to redress, on a new level of the spiral, the balance between static and
dynamic approaches to the theory of society once more in favour of the latter,
is quite a formidable task. We have now many more facts about the long-term
development of societies to go on than ever before. To build integrating
theoretical models which fit all of them closely is far from easy. Moreover,
many current concepts, among them the concepts 'structure' and 'function', will
come to mean something very different from what they mean today among
structural-functionalists and other schools of static sociology if they are used
within the context of a developmental sociological theory.
On the empirical level studies in the development of societies have been on
the increase for some time, at least with regard to those societies which are
called today 'developing' or 'underdeveloped'. But the interest inthe
development of 'developing' societies as an empirical sociological problem has
as yet hardly found a response on the theoretical level. One can see why.
Expressions like 'underdeveloped' or 'developing' societies themselves point to
the peculiar twist in the perspective of those representatives of the wealthier,
the more developed societies who habitually use these terms. For their use
implies that the more highly industrialised societies themselves are not
developing or, for that matter, not 'underdeveloped'. In their case the present
stage of the development of society is widely perceived as a stage without a
future, as an end-stage. The customary restriction of the term 'developing' to
the poorer countries suggests that representative sections of the wealthier
countries, who thus perceive a development only in others, are satisfied with
themselves. Except in a very limited sense they do not attach any value to the
further development of their own society; hence interest in its development up
to their own time, too, has receded.While they can perhaps see that in the case
of the poorer countries their development is the structured backbone of their
history, the wealthier countries, the highly industrialised nations of this
world seem to have only a history, but not a development, most certainly not a
development that goes on, and ‘history' seems only marginally a sociologists's
concern/ Among the many reasons for the change from long-term developmental to
short-term static theories in sociology, this is certainly one: The present
conditions of ‘advanced' societies are in sociological theories treated almost
as if they were an unchanging final state. The short-term perspective of many of
the most prestigious sociological theories of our time finds its expression in
law-like abstractions from selected aspects of contemporary "advanced" societies
presented with the claim to be applicable to societies of all ages and regions.
Sociological theories woven around concepts such as "social system" are an
example. They reduce the long-term processes of structured and directional
changes, to which the concept of development applies and of which processes of
industrialisation, bureaucratisation, scientification, urbanisation or state and
nation building processes are examples, to an unchanging state as its permanent
condition, while these changes themselves are perceived, at the most, as an
unstructured flow, as 'history'.
A few preliminary remarks, I thought, might help clear the decks. For in
order to contribute to a Round Table discussion about 'Grand Theories of
Development' one has to decide what it is one sets out to discuss: historical
theories à la Toynbee or Spengler or sociological theories of long-term
development. As one can hardly take it for granted today that the difference
between an approach to changes of societies as history and an approach to these
changes as development is well understood, I thought it might be useful if I
state explicitly that I am concerned with the latter. It might help the
discussion along, I thought, if I set out, in continuation of my theory of
long-term state formation processes, some of the problems whichone encounters if
one studies nation building processes, the latest phase of a long line of state
formation processes at least in the development of European societies.
The problem itself is not uncharacteristic of the change in one's perception
implied in the change from a static to a developmental sociological paradigm.
One gains access to previously neglected problems. With the exception of
Reinhard Bendix, few sociologists have looked into the problem of nation
building and none, as far as I know, into those of long-term state formation
processes and their relevance for sociologists both on the empirical and the
theoretical level. The evidence for this type of processes is all around us. But
in order to bring it into one's conceptual net one requires a type of
theoretical paradigm which does not abstract from the flow of time and reduce,
in reflection, to static chunks that which one observes as a continuous
movement. Many contemporary sociological theory builders appear to take it for
granted that a type of abstraction modelled on classical physics, abstractions
in the form of law-like generalisations which exclude from the result of the
abstraction all that happens in the sequence of time is the true badge of a
scientific enterprise. Perhaps it has not been stated clearly enough that the
abstractions one encounters in biological theories and concepts are very
different from the law-like generalisations of classical physics. Some of them
include spatial figurations and time sequences of long duration. One can already
see very clearly that, in its own way, sociological theory making will have to
move in a similar direction. The difficulty is that the type of theory which
emerges in that case does not correspond to the ideal image of a theory which
the most prominent theoretical sociologists of our time appear to take for
granted and which is akind of philosophical hangover from the time of classical
physics.
Take one of the best known examples of an essentially static sociological
theory of our time, the theory which tries to come to grips with the problems of
society by presenting society as a "social system". I am glad to find that the
leading exponent of contemporary social system theories, Talcott Parsons, is
among us. I am critical of the intellectual system he has built up. A Round
Table discussion at a World Congress of Sociology is, it seems to me, the right
place for stating some of the reasons for my critical attitude, - only some, for
my time is severely limited, and I like to combine by critical remarks with at
least a few hints about the positive aspects of a developmental sociological
theory which alone can justify criticism. Moreover, my critical attitude towards
Parsons' intellectual system is qualified by my respect for his person. One may
disagree with him, but one cannot doubt his intellectual sincerity and
integrity. Nor the width of his power of synthesis which is one of the
qualifying gifts of the distinguished theory maker. However, I cannot persuade
myself that this gift has been used in the right cause. Even for analytical
purposes, the assumption that 'actions' form a kind of atoms of human societies
appears to me one of those barren formal generalizations too remote from
research tasks to be either confirmed or refuted by reference to observable
data. Why put 'actions' in the center of a theory of society and not the people
who act? If anything, societies are networks of human beings in the round, not a
medly of disembodied actions. Nor is it easy to see how the atomism of such a
sociological action theory can run in harness, as a horse from the same stable,
with a decidely not atomistic theory according to which everything in society is
a dependent part of a highly integrated and normally smoothly functioning whole.
This, too, the model of society as a 'social system' a normally well oiled
social machinery where all parts are harmoniously geared to each other, is
rather remote from the rough and tumble of men's social life, as one can
actually observe it.
It is certainly difficult to apply to the larger societies of the past which
were more integrated in terms of regions of social strata and even of
immigrants, than most of our contemporary European nation states. Parson's
theory of society as a normally well and highly integrated system appears to
claim the status of a general sociological theory applicable to all societies of
men. One cannot help wondering whether it is not in fact an over-extended and
rather idealising generalisation abstracted from modern nation states and
projected in all the world. Can the Parsonian model of a 'social system' with
its supposedly integrating unity of values and of culture really apply to the
slave states of antiquity where social distances, inequalities of social strata
and differences in their culture and their values were often very much greater
and regional integration often very much less great than our contemporary
industrial nation states? Does it apply for instance to the Assyrian or the
Roman Empire? Or to the Confederate States of the 18th and 19th Century with
their massive slave population? Or to dynastic Russia with her hierarchy of
privileged landowners and state officials and the mass of her peasant serfs?
If one looks around in the sociological literature of our time, it can
easily appear that nation-states as a specific type of social formation have no
place at all in the sociologists' field of enquiry. It takes some time before
one discovers that nation states make their appearance as a topic of
contemporary sociology in a characteristic disguise. The references to them are
masked by a specific type of abstraction. They are hidden behind such concepts
as 'the social whole' and 'total society' and above all 'the social system'.
Although these concepts can be applied to other relatively highly integrated
social formations, such as tribes, much that is said about society as a "whole"
or as a "social system" in sociological theories, such as that of Parsons, is
selected, abstracted and distilled from the most highly and closely integrated
societies of our own time- from nation states. As problems of nation states form
the main topic of my contribution to this discussion, I thought it might be
useful to indicate the connection between these problems and the most prominent
of the contemporary system theories. The latter have a purely descriptive
character often with stronf teleological undertones. In Parsons' model the
maintenance of a unified, equilibrated and well functioning social system often
appears as the purpose and aim towards which all part-events are directed. An
example - one of many - is the description of power as 'facility for the
performance of function in and on behalf of the society as a system'. Sentences
such as this show very clearly the abstractionin the service of a specific
ideal. As in many other cases, ideal types such as these, purely decriptive
law-like abtractions serve - without doubt unintentionally in this case - as
disguises for subject-centred values. Teleology serves as a substitute for
explanation. If one brings the 'system'-concept down to earth, if one asks how
and why long-term processes of integration of which state formation and
nation-building processes are examples, actually occurred and occur, one
prepares the way for an explanatory sociological model; one directs attention to
the probem why, in the course of time, relatively large 'systems' became and
become in these cases more highly integrated and their 'parts' functionally more
interdependent.
However, this type of question comes to life, it gains substance and
relevance only if one has at one's disposal a sufficiently wide and vivid
long-term knowledge which enables one to look back through the centuries and to
perceive the continuity of the development of societies which led, say, from the
multitude of relatively small, relatively loosely integrated dynastic states of
the 11th and 12 centuries, by way of a great number of integration and
disintegration spurts, gradually to larger, more populous and more closely
integrated social units in the form of the larger dynastic states and then to
the - so far - most highly integrated and interdependent large societies, the
industrial nation states, - unless one is able to perceive this long term
process, one does not become aware of the problem. How is it to be explained
that a development of societies went in this case for centuries, through all the
fissions and fusions, all the disintegration and integration spurts, in the
direction towards the formation of larger and more closely knit societies? How
can one account for the fact that, over the centuries, this change had a
specific direction, although it was unplanned? For who was there to plan it, and
to execute such a plan? I have given a part answer to this problem elsewhere.(2) It must be
enough here, as a contribution to our problem of sociological theories of
long-term developments, to concentrate on a few problems of the latest phase in
this process, of nation-building processes.
By neglecting long-term processes of integration and disintegration as a
theoretical and empirical topic of sociological enquiry, sociologists have
steered their discipline into a well known dilemma; the neglect has cemented
their division into two diametrically opposed schools, one of which places
collaboration, functional integration and interdependence into the center of its
model of society, the other tension, fission and conflict. Whatever the mode
ideological reasons for this division are, any long-term enquiry into state
formation and nation building processes can show that every spurt towards
greater interdependence, towards closer integration of human groups which were
previously independent, or less depedent, or less reciprocally dependent, on
each other, runs through a series of specific integration tensions and
conflicts, of balance of power struggles which are not accidental, but
structural concomitants of these spurts towards greater functional
interdependence of 'parts' within a 'whole'. For if two groups become more, or
more reciprocally, interdependent than they were before, each of them has reason
to fear that it may be dominated, or even annihilated, by the other. The
struggle may result after many tests of strength in a fusion. It may result in
the complete disappearance of one of them in the new unit emerging from their
struggles. There are many more possibilities. The complexity of these
integrations need not concern us here. It is enough to point out that every move
towards greater functional interdependence between human groups engenders
structural tensions, conflicts and struggles, which may or may not remain
unmanageable.
Nation building processes show that very clearly. Two main types of
integration processes stand out in their course, each with its specific
integration struggles: processes of territorial or regional integration and
processes of strata integration. Although one can distinguish them, they are
structurally connected. In discussing some of their aspects, therefore, one
often has to move from the one to the other. One of the first and one of the few
people who have asked directly and without circumlocution: "What is nation?" was
the great French savant Ernest Renan. Some of the observations and reflections
contained in his lecture, "Qu'est-ce qu'une Nation?"(3) are of
significance here. He saw, for instance, quite clearly a fact which today is
often concealed or forgotten, he recognized, that nations are something quite
new.(4)
National ideologies usually represent the nation as something very old, almost
eternal and immortal. In fact, state societies assumed in Europe the character
of nation states, broadly speaking, from the second part of the 18th century on.
Renan pointed out that none of the great powers of antiquity had the character
of nations. There were, he stated, no Chinese citizens. He could have pointed
out that even much later people were treated and in general perceived themselves
as subjects of Princes, not as fellow citizens of a nation. The term ‘citizen'
itself had for quite a time an oppositional, if not an outright revolutionary
ring. States assumed the characteristics of nation states, in other words, in
connection with specific changes in the distribution of power within a state
society. It was, on the one hand, a change in the distribution of power between
social strata as well as in the nature of social stratification itself. It was,
on the other hand, a change in the distribution of power between governments and
governed. The change in the nature of stratification is usually conceptualised
as a change from stratification in terms of different estates each with legally
entrenched privileges and disabilities to a stratification in the form of social
classes whose members were equals before the law and unequal only socially and
economically. This transition, like the nation-building process as such, was far
more gradual than is usually seen. Privileged groups of noble landowners with a
strong monopolistic foothold on the commanding positions of their country's
military forces, diplomacy, civil service departments and foreign affairs,
retained in most European countries their distinguishing character as a powerful
social strtum sui generis, as the European upper class, up to the First World
Wat in spite of the growing power of sections of the middle classes. The power
equation changed during the 19th century slowly in favour of the latter. But the
former, the European aristocracy and related groups bound together and
distinguished from other groups by a specific tradition, a stratum culture of
their own, retained until 1918 and in some countries, above all in England, much
longer not only their position as the highest status group, but also a special
access to privileged position within the country's establishment which secured
for them at least a modicum of their former power surplus in relation to middle
and lower classes.
It is useful to keep in mind the leading part which representative sections
of the traditional European upper classes continued to play in the affairs of
European societies at least up to the First World War, if one want to understand
the gradualness with which dynastic states transformed themselves into nation
states. Following Marx and perhaps slightly misinterpreting his model of the
development of European societies, many people have today an over-simplified
picture of the change in the stratification of European societies which plays so
large a part in the change from dynastic to national states. According to this
picture the French revolution represents an absolute caesura between an order in
which what Marx called a ‘feudal class' of princes, landed aristocrats and
related groups, formed the ‘ruling class'(5) of society
and a social order in which the bourgeoisie broke the power of the ‘feudal
class' and took its place as the ruling class of society. In actual fact princes
and aristocratic agrarian groups of one kind or the other continued to play a
very decisive part as specific foci of power in most European societies after
the French revolution. For the greater part of the 19th century, the main axis
of social tensions and conflict of European societies was not that between
workers and capitalists. The 19th century was and remained a period of
three-cornered struggles between landowning aristocratic and court elites,
rising industrial middle class groups and, behind them, the rising industrial
working classes. The expression ‘middle class' as a classifying term for the
entrepreneurial classes, which is hardly any longer appropriate today, refers to
their position in this three-cornered battle. As the industrial working classes
were during the first part of the 19th century and often much longer, still very
ineffectively organised, often hardly literate and very poor, the struggle of
the urban entrepreneurial classes for stronger participation in state affairs
and against the dominance of the traditional upper classes was for a time more
acute on the state level than that between groups of workers and entrepreneurs
which still remained often latent, which, if it came into the open, remained
largely sporadic, diffuse, intermittent and which was hardly fought out above
the local level with any degree of effectiveness prior to the second half of the
19th century. The slowly rising power of the organised industrial working
classes greatly contributed to the rapprochment between landed and industrial
interests. The decrease in the tension between them, often leading to compromise
and alliance in a common struggle against working class representatives, took a
different form in different societies; but it was usually the prelude to the
rise of men representing the traditions of the urban industrial middle classes
to the commanding positions of the state and the gradual retreat from these
positions of members of the old upper classes, who preserved a modicum of their
tradition and ideals. Whether the former had the face of Gladstone, Thiers or
Stresemann, their advent was symptomatic of the advance of sections of the
former middle classes, of the urban industrial classes, towards the position of
the core group of the state. The middle classes, one might say, ahd become
integrated into the state, or, as Parsons has put it, ‘included'. But this
conceptualisation is not wholly adequate. It gives the impression that a new
stratum has been ‘included' in a 'social system' which as such remains
unchanged.(6)
In actual fact the rise to a position of greater power within the state society
of representatives of the entrepreneurial classes was symptomatic of a
transformation of ‘the system' itself. It marked the point of no return at which
the vestiges of the dynastic-aristocaric order of society slowly faded into the
background and at which the state entered its first phase as a fully-fledged
national state - the first phase because the broadest strata of the nation still
remained largely excluded and outsiders. Disraeli speaking of ‘two nations'
found a telling word for it. It is perhaps not uncharacteristic of the
three-cornered tension figuration of societies in the second part of the 19th
century that in Germany as in England the leaders of conservative groups with
strong agrarian interests, Bismark and Disraeli, each in their own way tried to
improve the conditions of the working classes partly in the hope of winning them
over as allies in their struggle with parties more representative of urban
manufacturing and liberal groups, partly in order to counter the growth of
working class parties.
One can say, thus, that industrialisation and nation building are two facets
of the same transformation of societies. But one cannot clearly indicate the
connection unless one links both these processes to an overall change in the
distribution of power chances in society. There is a simple way to demonstrate
this change although it would require much greater elaboration to do it
convincingly. Dynastic states are characteristic of a stage in the development
of societies at which the resources of power are very unevenly distributed
between ruling elites and the mass of the population. In many cases 90% or more
of the population of a country have no institutional means, no regular channels
of communications which enable them to influence decisions of groups with access
to the commanding positions of the state which affect their lives. Even access
to estate assemblies, with very few exceptions, is, in practice, open only to
small elite groups. In many cases princes and government are able to rule for
long periods without allowing estate assemblies to meet. Nothing is more
characteristic of the change in the distribution of power indicated by the
transformation of dynastic into national states than the emergence of mass
parties as a regular institution of nation states. The widespread discontent
with mass parties which do not ensure a genuine participation of the groups
which they nominally represent obscures the basic sociological proble,s with
which one is faced by the great regularity with which mass parties are formed as
standing institutions in all the more advanced and even many less advanced
societies of our time. One usually fails to ask which developments, which
structures of societies account for the emergence of nation-wide political
parties and of party governments as regular institutions in the 19th and 20th
centuries? Ineffective or not, nation-wide parties and party government are
symptomatic of a stage in the development of societies, at which the integration
of a state-population has become closer, at which it is no longer possible to
take decisions affecting the lives of the population of a country entirely
without regular channels of communication between decision-makers and those
affected by their decisions. The balance of power between groups with access to
positions which enable them to take decisions over the lives of others and
groups with little or no access to these decisions is no longer quite as uneven
as it was in earlier stages of social development. The reciprocity of the
dependence of government on those they govern and of the governed on
governments, though still uneven enough, has become less uneven than it used to
be. The balance of parties in different countries is a fairly exact indicator of
this balance of power and its fluctuations.
One can see the connection between the social institution of parties and the
properties of nation states. Societies assume the characteristics of nations is
the functional interdependence between its regions and its social strata as well
as its hierarchic levels of authority and subordination becomes sufficiently
great and sufficiently reciprocal for none of them to be able to disregard
completely what the others think, feel or wish. Government by party leaders and
the adoption by both, governments and parties, of ideology designed to convince
the mass of the population that they regard the improvement of their conditions,
the advance of the welfare of the nation as their central task are symptomatic
of the very prononced change in the balance of power between governments and
governed of which I have spoken. There is no doubt that even the most advanced
of our contemporary industrial nation states are still in the early stages of
these processes of nation building. I have not been able here to explain the
reasons why they have got under way. Nor would I preempt the future and say they
must and will go further in that direction. But perhaps I have clarified some of
the connections between events which are academically often classified under
different headings. Political parties and even nations may not appear as a
sociologists' concern, social classes not as that of a political scientist,
while industrialisation may be regarded as the economist's preserve, and
dynastic states as that of the historian. Yet the connections are there for all
to see provided one has a longtime perspective and focusses attention on the
changing power relations between different social groups.
For the time being I have simply tried to put into perspective the problem
of nation building. The self-images of nations, for reasons about which I have
to say more, usually give the impression to themembers of each of them that
their nation existed, in essentials, unchanged for many centuries if not for
ever. What is today taught as history of one's own country, however many changes
it may show which have occurred among the inhabitants of that country over the
centuries, can usually be accomodated to the requirements of a national
self-image which represents one's own nation as unchanging throughout the ages
in its basic characteristics. Contemporary state-societies which are still in
the early stages of a state formation and nation building process, in many cases
are already beginning to construct a similar image of themselves - an image of
the national past with which present generations can identify themselves, which
gives them a feeling of pride in their own national identity and which can serve
as a catalyst in a nation building process that usually includes the integration
of disparate regional groups and different social strata around certain dominant
core groups.
There is much to be said for studying these processes factually. But in
order to do so, one muct be able to distinguish between national ideologies
which make a nation appear as an unchanging and well integrated social system of
great value, and the observable longterm processes of [284] integration and
distintegration in the course of which tensions and struggles between
centrifugal and centripetal tendencies and between established and outsider
groups occur as a regular feature characteristic of the structure of these
developments. One must be able to perceive nations as a specific type of
integration which requires explanation and which cannot be explained unless one
recognizes state formation processes, and, as one of their phases, nation
building processes, as long-term processes in the sequence of time, and
considers that nation building processes, far from representing the last and
ultimate spurt of a state formation process, may be followed by integrations on
a higher post-national level of which one can see the beginnings, for example,
in Western and Eastern Europe, among groups of Arab states and some of the
African states. Sociologically speaking the scientific exploration of these
contemporary integration and disintegration spurts can throw light on past
spurts of this type, on earlier state formation processes and vice versa. The
notion that sociological problems of our own time and those of past ages must or
can be pursued, as it were, in separate compartments by different academic
disciplines is greatly misleading. In fact, the study of long-term social
processes and especially of processes of integration and disintegration shows
very clearly the need for a unified and intgrating theoretical framework for the
social sciences. Their present boundaries and their incessant status struggles,
together with the effects of these struggles on theories and conventions of
research, have increasingly hampered their advance towards greater certainty and
adequacy of the knowledge they produce of their special field, of human society.
These boundaries and struggles reinforce the tendency towards short-term
perspectives that prevail in most of them. Sooner or later a re-examination of
their traditional relationship will become necessary.
1. See N. Elias, Über den Prozess der Zivilisation. Berne and
Munich, 1969, Introduction to the second edition.
2. N. Elias, Über den Prozess der Zivilisation, ibid.
3. Ernest Renan, Qu'est-ce qu'une Nation?. Paris, 1882.
4. ibid, p. 2.
5. Marx does not yet clearly distinguish between early medieval
types of nobles with no or little income in the form of money and the dominant
18th century types, the court aristocracy, living largely on a money income. To
call both 'feudal' is rather misleading. I have shown some of the differences
and some of the reasons for the transformation of a late feudal nobility into an
aristocracy centred on a Court, in 'Die Höfische Gesellschaft'. Soziologische
Texte, Neuwied and Berlin, 1969.
6. Parsons recognises very clearly that a 'system' can be divided
into superior and inferior classes. One can see, this, that system is a
sophisticated shorthand for a country such as France, England or the USA. He
explicitly mentions cases in which an upper class monopolizes the status of real
membership, treating a lower class class as second class citizenry. But he
evidently shrinks from the harshness of the struggles and conflicts which form
an integral part of the rise of the ‘second class' citizenry, of which the
struggle between the rising industrial middle classes against the aristocratic
upper classes is a good example. This is how Parsons formulates his concern (in
'Societies: Evolutionary and Comparative Perspectives', Prentice-Hall, 1966, p.
22): "For these reasons differentiation andupgrading processes may require (my
italics - N.E.) the inclusion in a status of full membership in the relevant
general community system of previously excluded groups which have developed
legitimate capacities to "contribute" to the functioning of the system."
Transactions of the 7th World Congress of Sociology 1970, Vol. 3 Sofia: ISA, 1972: 274-84