NaC ADA MBY Te AUG) BPOMPETING THEORIES (Opi DAS AAS LORIE Wee) IN| IP VOHN MARTINUSSENa the best treatise on development in existence ... Thorough, well weitten dnd easy 0 read ... a professional masterpiece, Frfesor Rate Lain Joba Macnussens work. distinguishes iself frm all previous into Iirions to development [by vie of] its comprehensiveness and mul solani. “Asa Profesor Jorge Dig Peden [A partiulae strength of this book is that it... combines discussion of ‘velopment economies with theories concerning political and cultural conditions Hans Ptr Degaard Frobably the ist book to deal with all the important contributions to theory concerning development in the Third World Float Winkel “This comprehensive introduction to development theory wil without doubt provide the baseline for research and teaching in the feld well nto the next nilleaium. Profeir Bjorn Hts ‘Awesome in its coverage and imaginative sweep. It not only portrays vividly tie plualty of approaches to development issues in the Taied World but iso sets out a convincing case for dscardiag any mono-economic of, for ‘that matter, mono-statist oF mono-societal perspective on the complex and challenging problems facing the majority of mankind atthe close of the 20th fentury. It should serve as an advanced undergraduate text or a tent for beginning graduate students ia the disciplines of economics, political science, sociology and as a foundation course in development studies. The mult disciplinary approach of the book and its lucid analysis of ch rival perspec- tives would be a geeat help to both the clasty of percepsion and imagination of the serious student of development studies. I do not know of any other ‘ook which can serve as an alternative text in the areas indicated Profisr Amiya Kumar Bagh Diretr, Contre for Sadie Sec Stinos, Cabata Joh Degnbol Marsinussen has written an extremely wide-ranging survey of development concepts, thcoties and strategies, His extensive knowledge ind his skills of concise explanation make him a trustworthy guide for both students and general readers. His text will be praised for is valuable treat ment of the social, political and international dimensions of development thought, as well as the economie aspects. raiser Jobm Toye, Direc, Inte of Deeopment Stu (IDS), SussxeAbout the Author Professor John Degenbol Mariussen has had a distinguished career in development studies. He is currently study director for International Development Studies at Roskilde University in Denmark. He is also former chairman of the Danish Social Science Reseasch Council and a former president of the Danish Association for International Cooperation (Mellemfolkelige Samvitke). He is currently chairman of the Council for International Development Cooperation in Denmatk Over the years he has acted as a consultant to various international ‘organisations, including the UNDP. South and South East Asia have been his primary geographical regions of specialisation and his research interests revolve around, inkr alia a eappraisal ofthe role of the state in develop. ‘ment, as well as appropriate methodological approaches and the growth of theory in development studies, His recent books in English include: Plaralism, Competition and Choc: Emerging Local Slt Goverament in Nepah, New Delhi: Sage Publications, 1995 The Theres! Heritage from Mare and Weber in Descopment Studie (dived), Roskilde: International Development Studies, 1994 New International Economics and thir Apphcbilty in a Third World Context (edited), Roskilde: International Development Studies, 1995. Transnational Corporations in a Devlping Country: The Indian Eperene, New Delhi: Sage Publications, 1988. Society, State and Market A guide to competing theories of development JOHN MARTINUSSEN Uusanaes Zed Books Ltd LONDON & NEW JERSEY Fernwood Publishing HALIFAX, NOVA SCOTIA HRSC RGN PRETORIASay Stat and Markt guide comptig sare 0 decgpment was Gs pl lished in English by Zed Books Ld, 7 Cyn Stet, London wt gyn, Ur, and 165 First Avenue, Adantc Highlands, New Jersey o7716, Usa, in 1997 Pblished in Canada by Ferewood Books Ltd, PO on 9409, Station A, Hale, [NorsSeots, Canada, nye 535 Published in South Ais by Human Sclences Research Counc, PO Bo 56, Preroria oot Originally published in Danish under the dle Sad tao mare Ex ise rman ftir om wag de. ron by Meller Samick Borwergade 14, Dx 1500 Kebenhayn Ky Dentnath,in 1993, Copyright © MelemfolkclgtSamvitk, 99) CCopyeghe © John Martiutsen 1999 ‘ranshtion and revision © John Mattinussen, 199) Cover designed by Andsew Corbett Set in Monotype Garamond by Evan Smith Pinte and bound inthe United Kingdom by Redwood Books Lid, Kennet House, Kennet Was, Trowbridge, Wis 8414 8x ‘The rgh of Jha Martinusse toe idenifcd a the autor of this work has been sere by him in accordance withthe Copysght, Designs and Patents Ace sot A catalogue record for this book is aviale from the Beth Libragy| Library of Congress Cataloging in-Publeation Dita ‘Marcnasso, Joba [Samed stat og matked. English) Sat, soriey, and marker gide to competing theories of development / Join Marsinssen pot cds bibliographical references and index ISBN 1-83645-441-« (Hb). — 2808 83645-4424 0D) +. Developing countiesBeonomie policy "s, Development cconomics—Developing counties 3. Deveoping counter “Dependency on foreign counties. 1. Tite s039.7.M326 1997 sstlioogrra'y—deso 96-24005 Canadian Cataloguing in Publication Data Martausen, Joo, Society, state and marke, Includes bibligeaphis references ad index rns 895686 925 +. Beonomie development. 1. Tite DTS.MS7 1997 3389) ISBN 85649 gat 1A sty 4 85649 442 X pb South Afsca ISHN 07969 4795 7 Canad 198% 3 895686 72 5 Contents List of Tables and Figures, Preface PART Tatroduction Development Studies as a Subject Area What is development research? /s Development research is more than economics In here a ern development research? /8 Does the Third World stil exist? /8 ‘The method of analysis /r2 The stractue ofthe book /16 ‘The Theoretical Heritage and Controversial Issues in Development Research “Theoretical origins of development economics /1g Theoretical origins of sociological and politieal development theosies /25 [Major controversial issues in development research /30 Conceptions and Dimensions of Development Economic growth /35 Increased welfare and human evelopment /37 Modernisation /38 Elimination of| ependeney /s9) Dialectical transformation /40 (Capacity building and development by people /41 Sustainable development /43 Development 2nd security /44 Development as history /4s PART Ir Economic Development and Underdevelopment Major Theoretical Currents in Development Economics “The emergence of competing schools of thought /s2 Different perspectives on economie development /52 8 34 4 49Theories of Growth and Modernisation Capital accumulation and balanced growth: Rosenstein-Rodan and Nurkse /57 Unbalanced growth and income distribution: Hirschman and Kuznets /59 Geowth poles: Perroux /62 ‘Modernisation and stages of growth: Lewis and Rostow /61 Patterns of development and obstacles to growth; Chenery, Syrquin and Laursen /66 Global interdependence /70 Structuralist ‘Theories and Industrial Development Latin American structuralists and Hans Singer /75 Neo-structualist theories /77_ Myrdal’ theory of societal development /78. Strategies for industzal development /82 Neo-Marxist Theories of Underdevelopment and Dependency Causes of underdevelopment: Baran /86 Metzopoles and satellites: Pank /88 Centre and periphery: Amin /99. ‘Theories of unequal exchange: Emmanuel nd Kay /91 Dependent development: Cardoso, Senghass and Menzel /93 The capitalise word system: Wallestein /96 Elimination of dependency: Warten /99 Modes of Production and Social Classes ‘The peripheral economy: a simplified model /101 Social classes as agents of change /103 Modes of production and social classes /ros lndustralstructute and foreign trade /108 ‘The International Division of Labour and ‘Transnational Corporations ‘The intcenationalisation of capital /114_ ‘The product life cycle: Hymer /115 The international division of labour in the 19708 /116 Causes and impact of internationalisation /117 Globalisation and regionalisation of the world economy in the 19998 /119 The role of trinsnational corporations in developing countries /s22 Focus on Agricultural Development Agriculture’ contribution to aggregate growth /150 Agriculture's distinctive features /133 Peasan¢ rationality: Schultz /135 Urban bis: Lipton /136 Tnstiruional reforms in agriuleure /158 ‘Technological ianovations and ‘the green evolution’ /140 Development with Limited Natural Resources Population growth ~ resource or problem? /144 Environment 56 B 8s 14 129 143 contents and development /147 Sustainable development: trade-offs and win-win situations /150 | Envitonment asa theoretical development problem /154 Natural resource management Blaikie, Hardins, Ostrom and Wade /156 PART 111 ‘Third World Polities and the State 165 Political Development and State Building 165 Classical political modernisation theory: Almond and Goleman /167 Dialectical modernisation theory: Gusfild and the Rudolphs /:72 Political order and state-building strategies: Huntington and Clapham /173 - The political dimension in dependency theories /176 Modernisstion, maspioalisation and Wiolence: Apter /178. Historial tajectores: Bayart /179 ‘The Political Heritage and Forms of Regime 182 “The colonial legacy: Alavi /182 Non-democratic forms of government /184_ Islamic conceptions of the state /19° Personal role and pateon-client relationships /191 Prospects For democratisation /194 Democracy and fgovernablity /299 Democracy and human rights /200 Social Forces and Forms of Regime 203 Social forces as regime form determinants /203 Social forces and forms of regime in India and Pakistan /205 Te national bourgeoisie asthe cxtical factor /207 Decentralisation and Local-level Polities 210 Different forms of decentealisation /2r0 | Decentelisation and development objectives /212 Strategies for decentalisation /213, huralism, competition and choiee /215 PART IV. ‘The State and Socio-economic Development 217 ‘The State and the Development Process 219 Society and state classification of basic conceptions /220 “The oft state: Myrdal /225 State-managed development and economic planning /227 Parscipatory planning /2}219 3 coNTENTS The Political Economy of Development ‘Strong and weak states: Evans Johnson and Sandbrook /238 State autonomy and state capacity /241 State, market and peasants: Popkin and Bates /243” The state and the economy Of affeccin: Hydén /246 New institutional economics /25¢ State or Marker? ‘The rationale behind state-managed development /258 Neoclassical entcism of the state: Bhagwati, Litle and Bauer /255 ‘Market and state: a question of division of labour /264 Markec-iiendly reforms /266 ‘The East Asian miracles /269 ‘The politcal feasibility of economic reforms /272 Development and Security ‘The three-dimensional sate /276 Development as s confit generating provess /278 Development asa peace-promoting process /280 Disarmament and evelopment /382 ‘The developing countries in the international system after the Cold War /284 PART V Civil Society and the Development Process Dimensions of Alternative Development Alternative development perspectives /a9t ‘Theoretical origins and emergence of alternative development theories /293 Poverty and Social Development Poverty and the basic needs approach /298 Social welfare and sustainable human development /303 Unobserved poverty Chambers /305 A note on gender and development /6 ‘The Political Economy of Civil Society Households and che whole-economy model: Friedmann /s10 The informal sector and jobless growth /315 "Citizen esstance Bailey and Scott /316 Politics as discourse /317 Ethnic Identities, Nationality and Conflict Nationalism and ethnic identities /321 Oxigins of collective ideattes and nationalism /323. Politcisation of ethnic idenciies: Brass /525 _Politicisation of the Sikh community an lluteaion /527 Ethnicity and development steategics /325 237 257 275 309) 320 1 j | | | 24 4 People-managed Development Criticism of bureaucratic governance: Gran /333 ‘Mass development through peoples participation /335, Decentralisation and people-managed development /337 Development catalysts /338 Global consciousness and accountability /340 PART vi ‘Theory Construction in Development Research. A Critical Assessment of Development Theories Characteristics of theory construction in development research /345 External factors influencing the construction of development theories /350 Concluding emarks /337 Bibliography Name Index Subject Index 33 343 345 358 374 377sa se 53 aa 8a 85 a ae iG mH er ‘Tables and Figures Tables Controversial issues in development research A comparison of different approsches Figures Development objective concept), theory and strategy ‘The structure of the book ‘Theoretical origins of development economics ‘Theoretical origins of sociological and politcal development theories ‘The vicious circles of sel replicating poverty Sources of economie growth Pe capita income and grovith rates ‘A simplified model of the reproduction processes in peripheral ‘economy [Rocmer's matrix of economic classes A simplified two-sector model of industrial structure and patterns of foreign trade AA simplified model of resource circulation within «transnational corporation ‘A simplified model of the incerelations between agricultural and industil sectors Easton model of a politcal sytem Social forces and thee primary aceess points within the state appacatases in India and Pakistan “The national bourgeoisie and the form of regime A classification of state concepts ‘The incentive structure in new institutional economics Government and private sector as buyer and producer of public [A functional approach to growth "The four domains of social practice The vicious circles of economie and politial poverty “The whole-economy model x ‘4 1s ” 30 8 167 109 ny ayn X65, 226 a8 as 34 26 on a2 299 snr Preface “This book is addressed to readers interested in a comprehensive introduction to development theories and international debates on development, mal: development and underdevelopment in Asia, Africa and Latin America over the last 4o years. It is written especially with two target audiences in mind, (Ore comprises students at university level and others who for study purposes wish to delve into the subjects of development research and the associated theories of why development or underdevelopment occur in different societal setings. For this group of readers, the book provides @ thorough and extensive introduction, together with guidance on how one can work further ‘with the various themes and theories The other primary target audience comprises administrators, decision makers, journalists, practitioners in international development work and others ‘who wish to delve into the book's themes our of a general interest. Common for this reader group is a need to acquite an overview and general knowledge of issues, approaches, concepts, theories and strategies which, combined, can contribute t0 a better understanding of what is bappening in Asia, Africa and Latin America and how dynamics in these parts of the world interact with developments in the highly industrialised countries. This group of readers ‘may ignore the several references to the literature given in the text and coscentrate on the review of the various concepts, approaches, modes of ressoning, theories and strategies presented, ‘There is no consensus on what should be understood by ‘development. [Neither is there agreement on how development can best be brought about no: why it has proved so difficule for most of the poor countries in the ‘Third World to achieve any kind of major improvements for the large majority of thei citizens The book therefore reviews a multiplicity of conflicting and competing conceptions and views on all these issues. However, to facilitate the forming of a general view and the acquisition of a broad understanding of the subject matter, emphasis has been given to revealing patterns and stages in both theary building and the international debates. The book further tries to trace the theoretical origins within the social sciences with a view to identify ing the more basic positions and intellectual similarities and differences. Pasticular attention is given to describing different conceptions of develop- ‘ment and underdevelopment. The underiving objective here is to add to the understanding of where, more exactly, gentine disagreements occur in thexi SOCIETY, STATE AND MARKET development debates and, a she same time, fate a more considered and substaed stance on the suc vole In selecting theories and sates for closer scrutiny, a muber of exten have been aed. Fi, views and thoes which have stony inicoced petal development co-operation or the inernasonal development debe fc included, Ser these views have changed sigueanly ove the eto year, the book abo gives an insight into these changes Second, theories ate included which deat expity with power saions and politcal spects of the development process In this way the Book Conctbates 0.1 bowder understanding of development problems than tat contained inthe more taiooal economic theores Third, theories have been chosen which place the individual Third Wot country own tations and inert soln plitea stuctares cently in the undertanding of the development process an in the elaboration of dctelopmene strategies Much space is given to theories which ackoowedye the disimilares berwcen Thid World counties. Furthermoe, theres ta discssions on the importance of ethni,eligious and othe Soto call scations have been include, Fourh, importance i plced on ich she global connection, Both the developing counties and the other nations of the worl ate part of 4 comprehensive and melfrouy neqwork of international and ansnasona reltons, which in the case of developing countries have colossal mportanee for this developmen opportunites, Fifth, theoretal and seat contemplation that ty to deaw in the eavironmentlprbiemn a inclied in recto tat the our evitns tment Se its for growth, and moreover has tiga influence the Course of the development process in the loner ern Sixth, especialy towards the end of the book, theories tha can pacw- lary concbue o adding new peopecented perspectives to the development dete are examined Throughout the book, the theories and suaeyjes ate put nto the phic sori an broaer theoreti comes in which they ave een foxmulatd. This impis tha many lines ave been dea backs tthe theories of ear dimes. However, the emphasis on the toe and sua debates of the last zo years As a consequence, coniderse steno is given themes sch ste vrs market, human development, emocracy, and seeury and ail policy ares following the dismantling of the Eastern Bloe~ in addon « the previously mentioned envionment problems. Ir should be noted, however, that high proity has been steno Sha cou be termed the theoresl misters within development sie, because they have ad a stong imps pon stat eaboraon, ad brestes they have provided conceptual Continty and 1 femework = even for ateroative approaches that have challenged dhe conventional wisdom Most of the thers presented and discussed were orginally formulated j i | j by scholars from the highly industaised countries. This is not an attempted le but rather a reflection of the acmal state of affairs in development eearch and theory construction. However, this bias has been reduced as fnvch as possible by including Thied World eootsibuions wherever feasible In some eases, theories and strategies are presented separately. This is doe when they have played independent and leading tole in theory forma- {ion or in development co-operation and the ensuing debates In other cases, the theories and strategies are treated as parts of thematic analyses of selected development isues. Th the course of the presentations Ihave added some of my own contibu tions to theory building within the feld of development studies In addition, T tave added personal assessments and considerations in order co highlight wwtere T see the strengths and weaknesses of he vatious theories and Thavegies. The assessments are based primarily on documented experience fai the development trends and pateras which can be observed over the fast 4o years. [have tried, naturally, to separate my own evaluations from the presentation of others’ views and arguments, bur in recognition of how Uiicalt this may sometimes be, i must be remembered that no discussion of social and cultural relations can be entielyvalue-fre. The reader is referred to Chaptce 25 for a discussion of these matters, “The approach and mode of presentation applied inthe book implies that, it may be read both as a presentation of the different theories and main concepts, and as a comprehensive intzoduetion to development and under- development problems and issues In che later connection the individual theories and thematie discussions Fanetion as pieces in a mosaic depicting the developing counties’ basie structures, their previous achievements, and their contemporary development options and obstacles. “An eatlir version ofthis hook was published in Danish in 1994, addressed to Scandinavian readers, Ie was published in both Denmark and Norway. The pesent version in English has been thoroughly revised with an international feadership in mind, The issues and themes dealt with are essentally the Sane, but most specific Scandinavian contbutions have been left oat and sone recent theories and international discussions have been added T most take full responsibilty for any possible misinteepretaions oF lack ‘of proportion embodied in the presentation. On the other hand, many others have contributed valuable clements w the book. This applies first and foremost to my colleagues atthe Department of Geogeaphy and laternational Development Studies at Roskilde University, Denmark. But it also applies very much to colleges abroad, pacticulaly ia India and the UK. The Library fof the Danish Association of ternational Co-operation (Mellemfolkeligt Samvitke) in Copenhagen and Roskilde University Library have given me txcelent help in connection with terture searches and requisitions. Ms ‘Anete Feldbek and Ms Kenja Henriksen have assisted me in tansating pits of the orginal Danish version of the book into English1 expect there to be a need for a revised edition of the book in the coming years. It was no easy task to cover theory formation and the international development debates so extensively. Therefore, much ca un- doubtedly be improved in farute editions, and I would be grateful for any form of criticism, not least from students and others who will come 10 work mote intensively with the text. Job Martinusen Roskilde Universi, Denmark TO VIBEKE PART I IntroductionCHAPTER 1 Development Studies as a Subject Area “There is no consensus on what the subject of development research covers. In fact there is not even agreement that development research is « distinct subject with its own approaches, methods and theories. Furthermore, many fesearchers have claimed that development studies in the last decade have been caught in a serious crisis, hecause mainstream theories have not been able propery to explain the patterns of transformation and stagnation in the developing countries. Moreover, there is disagreement on just how large a part of the world development research can or should cover — and in connection with this, to what extent it sill makes sense totale about a Third ‘World, or about developing countries as a special category of counties Lis necessary to examine these issues in order to outline a framework for review of the various development concepts, theories and strategies, This is what the present chapter is about. A separate section of the chapter describes the method of analysis and presentation applied in the book What is development research? Its common in international development co-operation to regard develop- ‘ment research a8 synonymous with developing country research, ie. a ‘collection of all types of research which have to do with developing countries = regardless of subject area, Based on this conception, botanical studies in tropical areas, for instance, becomes developing country research and thus evelopment research, 'A different, though not necessarily opposing concept, is found among many representatives of basic research, especially within economics. They take their staring point in the established disciplines and claim that the ‘methods and theories of these disciplines are essentially valid for all societies throughout the world, They thereby dismiss theory and! method which give developing countries or the Third World a separate status. To them there is rho development economics of ay other form of theory construction with special validity for what others call developing counties, the Third World, or pespheral societies (in this regard, see also Chapter 2 below), In itself it is understandable that che aid agencies ~ the multilateral as welli 4 INTRODUCTION 28 the bilateral ~ in a pragmatic way choose to regacd development reseatch sand developing country research as the same subject area, This follows logically from the geographic arcas of particular interest to these organisations, Problems arise, however, when the aid agencies’ work and strategy recom. ‘mendations ate based on the assumption that the theories, methods and strategies that have been shown to be useful in highly industrialised countries can be applied, without modifications, to countries with totally different structures, internal conditions, and relations to the international system, ‘These are exactly the differences one would expect to be discussed thoroughly in basic research 2t universities, in connection with determination ff the area of validity of the theories. Unfortunately this is not always the case. On the contrary, there is a widespread tendency to assume a kind of tuniversal applicability and validity, again especially within economies, Views like these seem open to criticism and they appear as ethnocentti, because they a priori give precedence to methods and theories which are developed with empirical foundations in Westera societies and eultute Evidently, other societies in the world may develop and change under different conditions and according to other ‘laws of motion’ than those which apply to the highly industrialised societies. This could be the ease for ‘Third World countries or different categories within that group. ‘The same could apply to the previously centaally planned economies of Eastern Europe and the former Soviet Union. These possibilities ate ignored if itis asserted ac the stare that theories and methods based on experiences from the North- Western region of the world, in Europe and North America, are applicable and valid everywhere. It is thereby also asserted, albeit implicitly, that che developing countries’ own traditions and inherited economic, social and political structures and institutions are of litte importance as determining factors for their societal development, Te seems more reasonable, 2s a starting point for defining the core areas ‘of development research, to proceed fom the hypothesis that the special features of the developing countries ate of critical importance — until the ‘opposite has been shown to be the case. This forms the basis in the present account, which more precisely defines the subject area of development studies tnd research as the societal production and transformation prosses of the developing ‘counts, in coniancton with the international factors that influence thee prose, This definition does not necessarily émbody an astertion that the con- ditions and laws governing development and change in Thied World counties Giffer qualitatively from those which apply to the highly industrialised coun. tries. But the definition does imply a need to be aware that the geographic and cultueal foundations of the existing theories may reduce or even eliminate their applicability to societies outside the North-Western region. That the ‘methods and theories of the established disciplines within the Noreh-Western region may be relevant and valuable in the various parts of the Thied World is aot precluded, but the suggested definition underlines that it remains an { ] | | DEVELOPMENT STUDIES 5 F— ee Development research is more than economics many years here wat a widespread tendency to seduce the problems of Swloping counties to eeono probleme, Thi ppd alo to development toa aus condoned inthe 19300 and the folowing couple of decades, tet ea docrning exten, Many of the ongoa theories of development were fst and foremot thet of economic growth and econome tansformadon, They revolved tround condone that researches thought promoted or obstructed economic pgs ho whoa »vc menson Coespondingy dnc be developmen states were monty concerned with economic sues, Ths pe gringo aateaie reagan ee til and devpment co-operion inthe begining. devopment theories carey concerned dents with polticl or culm comigemsions, On the one band they did aot rise thottons abou the eet to which polteal or cla factor inBueneed Srowomit development On the other band they did ao at ars concent om describing what actualy happsned to poi ot cual fe when 4 Cevioping county went trough an economic ert or expeienced rapid enone growth rom he start thee were a we shal lter tee, theores which did concern themselves vith pollce and calm, but te majority of these theo wee trad hen It came to eeonomie ara, Thesfore, the #0 fled to gi Toomprcbendreplemme “he sates, bused on the economic theore, which the Tnteroaonl Monetary Ford, the Wodd Bank and other orgaiaions recommended the6 INTRODUCTION developing countries to follow, were similarly devoid of polities and culture, ‘They paid very lice attention to prevailing power relations or other political preconditions for economic reform. They sarely concerned themselves with the political institutions through which policies were to be implemented, ‘This meant, among other things, chat they normally failed to consider whether the governments concerned had even the administrative capacity of the political will to implement the suggested strategies. Finally, understanding of the developing countries’ own, often vigorous and significant, social and cultural values. was often lacking Surprisingly, this underemphasising of aon-economic conditions was also embodied in the majority of strategies chat were drawn up by the developing countries’ own authorities. Not even in the otherwise comprehensive five. year plans did one find serious discussion of political or ealtural conditions, It was hardly @ coincidence that both development research and the international debate about the problems of developing countries were char acterised by these biases in the frst decades after the Second World War. The theories themselves often argued in favout of stressing economic aspects with reference to the fact that the developing countries were primarily poor in the economic sense, and that so many people in these countries were without the ‘most basic material necessities. Therefor, it seemed natural to start here, both ‘with the analyses and che strategies. The problems arose when this ~ in itself reasonable and convincing starting point ~ was combined with the assump- tion that if they succeeded in initiating economic growth and change processes then the other aspects of societal life would auromaticaly follow and adjust, ‘The dangers in attibuting the dominant role in societal development to economies was not so conspicuous in the industrialised countries, where the theories and strategies were frst worked out. In the North-Western region ncither political nor cultural considerations blocked the way for economic Drogeess and social reforms. In fact, there was not much that obstructed economic progress during the long period of growth that continued unt the end of the 1960s. Therefore, this period was also characterised by widespread optimism and a belief that economic progress would lead to better quality of life in every respect. ‘This attitude affected the discussion on the developing counteies’ com ditions for development, Because of this, many took it for granted that the [poor countries could make good use of the experience of the mote developed countries ~ again, in itself, a reasonable assumption. Meanwhile, in practice, ic was found that this assumption shifted, almost naturally, to the more ‘ideological conviction that the more developed countries constiuted ideal models for development even in the Thitd World. ‘The specific models proposed varied, but the same basic ideological conception characterised — explicitly or implicitly ~ most theories which were elaborated in the Notth Western industrialised countries and in the USSR and Eastern Europe for many years after the Second World War, DEVELOPMENT STUDIES 7 sa consequence of the dominance of the highly industiised counties eal Send Wore —watin seh wel econ *Saxordons and teolgil conceptions came to characte the develop” set omnes ow tesearch and scleuderstanding for several yeas i pore has, however, always existed a significant opposition to the prevailing shcents and states Resctrches pola and planner sro the wood we commtendy ted to reach a broader and deeper undertanding ofthe peShcme facing developing societies, Many examples can be given of theories egiatatgies which assumed such broader perspectives, bur it ony ii tee yea tha the mansteam of development esearch ha seioshy and to male the development processes both economic and polco- Sala procetes va Jeeping th the above ouned main stages in the itll itory af develapment research, the chapters in the flowing parts of shi book tte artnged to provide, fst a iattodcton t economic growth and SEelopment thconet and, second, a review and dcunion of polite and tteblopea teoses Only afer that ~ as 4 fefecton of cody prealing ‘Soarehpeoraes and emphases ~ vil we sn to the mitdiscplinay Pouches and theories 1Pi tara the satgis ae concerned, there is sil along way 10 g0 beioe the non-cconomie factors can be sail to have been systemasaly inepted in mainsteam thinking, but the tendencis ete ae in tha ice tion, both with cegard ro the recommendations of the World Bank and in the new approaches adopted in intentional development co-operation ‘long nthe increased attention to non-economie condon, we have abo observed over the st a0 yes moe interet inthe special creumances prealing in the individual developing counties, moe awareness about these oealcondivons; and beter uscranding of the importance of Shanges overtime, both in the individual counties, and inthe laonship te ihe word matket and world soy a whole. Moreover, neesed tcon ius been gen fo soil and cultural ferentiation inlding gender Gitereniaton, Finally the intemcton beoveen soit development 20d tcokogeal conditions has increasingly been bxovght into the theory com Staton proces a well sino the debate om development state Ail thete tends towards a broadening of the pempectre, andthe cone seat end to focus on selected conattet problems, ae reflected in this teak in that the farther one progresses through the tea, the broader I the peopective At the sume ime, Hower, individal secon of the various Gages concentrate on a parsiouar ae, refetng the changes inthe theory Construction proves avay from grand theories towards middle-level and thematic theoes — le those on the role of tansnatonal corporations, democratisation, or gender pce hues. The concluding chapter (Chapter) tales wp for dscsson dhe outined tres an prteras i theory constuction, Portes, factom which hive| | | 8 INTRODUCTION, influenced extensively the profiles and accentuations of development seseat are dealt with in chat chapter. | Is there a crisis in development research? During the ast decade much has been writen of tte in devopment research (eg Hen, tog Ch 1) In ths connection, as to be ee ledged tat the easier to domanan grand theories Mansit se aco ibealst = have not been able to provide adequate eapnnatns for he diferent Kinds and paterna of development and undetderclopnenr ghee have oceured inthe Thind Worl. In adon, these gencal cose Fare often resulted in ineonrect predictions. Pn to tas, the seeps onied oat on the basis ofthese theories have equendy beta ince rated Unintended results or no ress atl All ise cif the carer predominating theo and sttegen. At the same time, it can be seen as a crisis for development research inthe wider perspective in the sense tha no sustainable aernatnes ee se bere Tibor Teis somewhat ditching t have to acknowledge thi 30 many yeas of working with theory construction and strategies concerning he decloping Counts have brought about such modest rele. On the othe hand oe tcinowledgement has formed the sang point fr «very rial desing in both the industiaised counties and ‘he Thid Weal deere hich i fa less fered and much lest dogmatic than ued w be Phe Sow seer open dreminaton Yoo more deh ae seta endionsobaining inthe developing counties td the goal ses ‘The route can only be beter theoses und more adequne Soe eheaee enegien ‘One of the purpots of this book is to present some of the more open theories, espelly the theories tha are bused on eonetete igh its ake developing count” actul problems aod opportniice Ths tease ne ever, be done in isolation from the carer Pedominstng ieonee ty beeaute the new theoretical consbutons boteow a lot of ken aed corer, from thems paty eens, to 1 lnge extent thy are formed se neo ‘of the older theories. In addition, the older theories cannot be justifiably fected in tee ene. In some seas they gt sll cent sad seal descepions, interpretations and explanations The book theton commen, 2 review and dicuton of the older theo, long wih an vada ot Boh thir weskacees tnd the eng Does the Third World still exist? Part of the criticism against development economics and other kinds of development research is that there is no unambiguous research field in the DEVELOPMENT STUDIES 9 cographical sense. The vcw is that the Third Work, oF the so-called crroring counties do not cxet tal se homogeaous group which b Given fom the test of the counts in the wold. The ccc spore because tates the question sbout weber or not ts meaning Sh sppeopene to work with generieniony and theoie for developing ‘Shntres 18 2 spec group of counties and societies, No atenp wil be fine hereto anewer the ghesion with simple ye” o¢ "no". On the other, Fad, can be usefl to ty to aifeentiate the whole debate litle, and Ment out te ain perceptions which ae found inthe trata, and also to Rlne che atgumens pt forvaed forthe contadicng viewpoins. ‘The fase ep to diferemining the debate isto emparise that we are acrulyfcing too sepa questions ‘The ist question can be pu ‘Are the tocedes in the sovaled developing counties qualitatively different fom Saher soci ia the world Are these soceie Ongansed in away this tstenlly ferent from societies inthe Frc aad the Second World? Are the subject fo profoundly diferent condiions aad lavs of developmeat ted change? The second question can be summarised ss fe meaning tnd ppropsate to group topether al developing counts nto one extep0"7? Desi take seee to lump together the problems and circumstances of bate, Aftcan, and Latin Arercan societies as those of the Third Worl? Do these sos share the sume buse feats and ate they subject tatenaly onform conitions of development and transformation? To these, queionr can be aed a cine dimension by aking if any sigulicant changes have ecourred since the 19som expel air the di fuuning ofthe Eastern Bloc andthe breskup of the Soviet Union ito funber of independent sates, roaly speaking, three diferent answers have boen sugested tothe fist quson: (0) the developing counts are nox qualitatively dsane fom other, bcs inthe work; () the developing counts ate dsc from the fl developed market economies ithe highly industrialised members of the Omaniaon for Exonomie Co-operation and Development (OECD), but thoy have many features in common with the caer cently Planned eco- tries nthe East and (0) they are quately dint The fist notion can be Found, for instance, mong the neo-asial ccanomiss, whom John Toye hat descibed 36"the couaterrevoltonsry troup of economist (Toye, ig). One of these economist, PT. Bate, fas advanced the opinion thatthe only thing tat the Third Wood and al is smoayns ~ such as developing countries, underdeveloped counties, the South and 20 0m ~ have in common is that they request and secre delopment id, “The Third Word isthe craton of foreign ait: without fosgn at there s 0 Third Wedd? (Bauen php. #7). Aw a consequence ssp Bauer, the developing couric aed tte probleme must be subjected f> ties using the same theoreti ols iat economist wliae i the covnwies of the OECD (ef Chaper 18 below)10 INTRODUCTION Bauer’ opinions ate grounded in neo-classical economic theory. Cor cssponng theoretic foundations probaly cannot be found forthe second oton tha developing countess category shoul ncude all the former Cental planned economies However, it noteworthy thatthe World Bank ints test publicaons har gute simply located these cousin abet according to ther per capita income (ce, for example, Word Bank 199) ‘hey all sppea inthe categories ower midleincome economies ghet midaleincome economic’ In keeping vith this lumping together of the formerly Communistled sites withthe Thisd World couse, the Bale along with other national sad interoatonal aid organisations, have altered ther loan and ai policies so tha the former Fastern Bloc cots can be trted on par with developing countnes within the equllent income bracket ‘Opposing thete notions, mot development researchers maztain sat the socits of the Thind World ae qaltavaly eiferet from those of both the Second. and the Fist Wore and must be examined and ested ae. cordingly Thee ate minor vations inthe exact demaration ofthe Third ‘Word and significant vations with cepect to the employed caters = secching fom per capita income, through Inds production pet capita tnd industrial export per capita, to. more theoretally rounded cetera concerning production rratore and dependency claonsips, lowever, the tcsule i tht in mont cass development rescaches count a8 the Thied World or whatever oter label that might be wed ~ the cousin which neither belong to the OECD ror formerly belonged to Comecon, lad and South Asn, who would qualify by this definition as Third Woda cour, ate left out beaut they ate consieted by most tobe specalcasee Mesice although now a member of the OECD, is regarded by most as Thind Work county Tris worth noting thatthe South Commission, unde the chaiemacship of Tanzania former president, Juss Nyezere, in is tepow fom top, Pet geet emphasis on the Southern counter spec charter and eomaon ‘Gentigy "What the counties of the South hae in common tansends thee Aitference; gives them a hace wentiy and season to work together for omaon objectives’ South Repor, 1990 P. ) : By sessing both the unique andthe Gomnmon features ~ despite if ferences in any rexpets~ the South Commision took poson on the second of the above wo questions The Commision reson fot eos together all Third World counties ito. one category was, however, not theoretical but more a expresion of 2 fundamental, polly motted wish co nite them in joint efforts fora new and beter World dee The Commission id mension instances of actual pala cooperation becween the counties of the South for example the formation and expansion OF the ‘Group of 77 a loot allance within the United Nations Conference on rade and Deveopment (UNCTAD), which onal (the 1965) conse DEVELOPMENT STUDIES n of 77 member countries and has since grown to mote than 120 countries, fll som the Thied World. But neither this reference nor other notions in the feport can substiute for substantial arguments for lumping together the Countries of the South with 2 view to further elaborating theory. ‘Substantial arguments withia a theoretical framework can be found in the development literature, 5 will be shown later in this book. However, on this point there are great differences between old and more recent contributions fo the debate, Ia the literature from the 1950s and 1960s there was a tendency to 00k at the developing countries as so fundamentally similar chat it was deemed reasonable to generalise about them as one sype of society: This is ‘0 longer the dominant conception. On the contrary, the predominant notion today is that the developing counsties have always been too different ~ and subject to such great variation with regard to cheir internal as well as external development conditions ~ for them to be treated as a homogenous group in theory building and strategy formulation. Further the current prevailing ‘opinion today is that the dissimilarities have been continuously accentuated by the very different patterns of development and stagnation which have centred. Correspondingly, the differentiation in the Thied World has in- creised considerably. High-growth middle-income economies in the Far East fang extremely poor countries with negative geowth in Aftica constitute extreme cates in this differentiation process. As a result great caution is exercised now when considering the relevance and validity of all-embracing pereralisations Dn the other hand, there ace few development researchers who would go as Sar as, for example, Nigel Hacris, who has declared the Third World as a dead concept with reference precisely to the marked differences between the newly industrialised countries and other developing countries (Harts, 1987). Mest researchers instead maintain that it can be fruitfal ro compare and contrast development experiences from various countsies and regions within the Third World — though without assuming that these counties are more alile than they really are (ef, for example, Worsley, 1984; Hettne, 1990) Continued attention to the Third World as a particular group of countries is regarded as an appropriate basis for forming systematic descriptions of the great variety of basic problems facing the developing countries. It is farther claimed to be a suitable approach co evolving theories (in the plural) fon the reasons for the very different patterns of change and stagnation ‘observed in the ‘Third World over the last 40 years [a this book, we assume that it is meaningful to compare descriptions, interpretations and explanations concerning societal development in Asia, ‘Afiica and Latin America. However, we do not conceive of the Third World ‘as s homogenous group of societies that can be understood and theoretically reconstructed within one and the same conceptual framework. Rathes, itis taken for granted that a number of conceptual frameworks end theories will bbe required to cover the variations. Consequents, we shall frequently add to1 mvTRoDUETION the conceptual examination of the various theories particular references to the countries or regions 10 which we believe the specified theories have greatest relevance. Certin theories may be useful tools for describing and explaining growth and social teansformation in Far Eastern high-growth economies, while we may need completely different approaches in relation to stagnating economies in Sub-Saharan Africa, Some theories may be partculaly relevant for explaining democratisation in Latin America, while at the same time they may have litle 10 offer in relation to autocratic rule in Aftica, Possibly, some of the Far Eastern societies like South Korea and Taiwan, have been transformed to such an extent that they can no longer be treated 48 part of the Third World, but chis does not preclude theie past experiences being deale with in che context of conventional development theories, Before we leave the question of the Thied World's separate existence in the present context, it should be noted that criticism ean be directed against mainstream development research for even using legally defined counties as the principal units of analysis. By doing so, the researchers may ignore oF grossly underestimate the importance of internal differences. They may further distegard the significance of transnational processes which introduce dynamism into only certain sectors and segments within the individual ‘countries, while at the same time excluding others. This could apply to transnational cosporations which bring about significant industrial growth within certsin geographical enclaves and concomitant income growth for population segments within those enclaves, while atthe same time excluding, for maybe actually damaging the conditions in other areas and for other population groups (see Chapter 9), ‘The method of analysis ‘This book is not meant as an independent contribution to theory formation, It contains first and foremost a presentation of partially opposing conceptions tnd theories, competing to give the best descriptions, interpretations and explanations. However, at the same time the theories are discussed as pieces in a mosaic, where every piece contributes to an overall understanding of the circumstances affecting and determining development and underdevelop- ment in Asian, African and Latin American countries. ‘The tim throughout the book is to add to the understanding of what has happened in the Thied World, especially over the last 40 yeas ~ and why. Some of the guiding questions that form the basis for our discussion of | the various theories can be summatised as follows: + How have the developing countries changed according to the theosies? What has happened, and what is about to happen in these countries internally, and in their relationship to the rest of the world and the international system — again, according to the theories? DEVELOPMENT STUDIES 4 «+ Wat conditions are particularly crucial for the kinds of changes that may be called ‘development? What type of development concept is contained in each of the theories? 1+ Wat explanations do the theories offer for development, maldevelopment or underdevelopment and stagnation? In addition to economic factors, do they include also political, social, cultural and ecological factors and, if so, how? + How do the theories take into consideration internal diferent individual societies? + What development strategies are suggested in the various theories? Do the suggestions take into account the economic, political and cultural realities? Do they incorporate environmental or security problems and, if 0, how? ion within ‘The method of analysis uted in the book impli that the indivi theosts ave nvoduced and discussed only in contexts whete the offer ally interesting oF important answers the qpesons raised, The Foca is‘on the main teas embod in each ofthe theories presented. Howeves forthe most ineestng and forthe mos influential (noe nessa the mie) theories, a more comprchenve introduction ie provided. Tit incaee'seeview of the conception of developmen, their penpeciv, matted, cenual concep, evental hypothetes and desved satel "Taoughou the text references are gen 1 evant orga entre, whee the ierested rade can deve more deeply ito selected theres mower to provide an overview ofthe any different here aod eatgy propotls ve have grouped the vaio contabuoos imo a few main rons and tieoretea schools of thought. These groupings should be fete with caton, Development research is aot ~ ne the atl eens “Sgumnemrbed by few explely and well defined pardgn inthe seme propoted by Thorns Kuhn. Kn, 192). athe, what we may ently eraarch progmoes and pote whic, a cea extent only, eemble Puigms ia thee they conta corainchiacteite constant of vale Fremits, preconceived opinions and stomptions tat, ogether with «se UF popestions and metods, form the Intlectalfxmework for emp trol of deedopmentprocesis and ise Te should be stessed tha iis not an aim in lf to astgn label othe difeent theorists and tet work, This i done, at mentioned above, merely to falar the overview and fo rveal the more fundamental ines of oni in de intermasona development debate Or nother words: o Went subvandal differences which ac more intresting vo compare than tetmino™ loge or other minor difference ih part of the idendfeauon of the major tadons, Chaper 2 contin 1 beef summary of the theresa! hesage in slog term perspective. At fe eennion of tha munber of cxal tesa highlighted. Development14 INTRODUCTION sesearchets have been, and continue to be, in disagreement on how to deat with these issues. The list of controversial issues can ~ rogether withthe chapters overview of a number of opposing conceptions ~ provide the reader with some usefl tools oF benchmarks which may be valuable while reading the rest of the book. Another tool i introduced below: the set of distinctions between develop. rent concept, theory and strategy. Much of the debate on development has been characterised by an obseusing and rather confusing mixing of various dimensions of the issues. Values and individual preferences, in particular, have been mixed up with observations and analyses ~ to the detiment of the later. The alternative to this is not to avoid value premises and other normative elements; this is by the very nature of social science research Impossible (c. Myrdal, 1939). However, it ean be more explicitly stated when, and in what respects, interpretations and conclisions arrived at depend primarly on value premises and preferences sther than on empirical analyses, For this purpose, we shall employ throughout the book a now widespread set of distinctions berween (a) development concept (or development ob- jective) (b) development theory, and (@) development state A dvvopment concpt contains the answer to what development is. This answer can never be value-free;i¢ will always select notions of what ought to be understood by development. These notions ca be formulated as development objectives, either in tems of particular conditions which mast be achieved or in terms of a ceruin direction of change (Riggs, 1984), ‘To illustrate: development concept ~like the one embodied in modera- isation theory ~ may claim that che large industrialised counties, For example the USA, are developed, that is they have achieved certain, positively evaluated conditions, Aecording to chi conception, changes in Thitd World counties towards increasing similaiy with these industrialised counties are regarded 1s development. Other changes are not regarded as such. The dynamic change processes through which a country moves towards greater resemblance with the developed counties is ealled the dripmen prs, acconding Co tis notion Other concepts of development focus more on the giren conditions in “Third World societies and define development in terms of bringing out, unfolding, what is potentially contained in these societies. In this sense these concepts come closer to the original meaning of development asthe opposite of enveloping. Often, emphasis is given here to increasing the capacities for taking and implementing decisions in accordance with nationally or locally perceived priorities. Notions like these are also normative, albeit ina different manner 10 that in the above Deselepnunt theory seeks to answer questions such as the following: How can chosen and specified development objectives be promoted? What com dicions will possibly obstruct, delay or detract progress towards the objectives? What causal relationships and laws of motion apply to the societal change processes? What actors play dominant roles, and What interests do they have? DEVELOPMENT STUDIES 15 Development theory “hypotheses about promoting and obstructing conditions Development process —> ) Development strategy = means to promote change towards the objective Development objactiv Figure 1.1 Development objective (concept), theory and strategy How do the changes affect various social groups and various geographical "¥Guestions lke these are at vale-aeia but they st the stage for expounding, unlike 8 development coneeps, ow soci realy is acl Stctuted = g© opposed to how ie eghtr0 be stractred. Theos thus consi sgnfcant normative cements, but can none the less be subjected to Salestng or invalidating test trough empnel analyses of the actal Condions and histone experiences, While rae premier of a parila teoauchet may be understood by others, but not acepted or endorsed by them, the testing of theones mart ideal folow transparent and wnivesly teceted procedures which produce conlsions other teearcher have © feces ali “Dice sy a8 an abstact notion refers exsenialy tothe atons sod interventions tha can be appropriately ued to promote wily defined Gevepnentobjecives. Once again the basi is Realy vac loaded in that thor te ‘hose development gals ut ther is ~ atleast pane ~ the poscity of + materol fet Seighing of which stategie are the most Effecive and lat cost to promote the erablished objectives. In practic, though, decision makers as well ar researchers ofen have had too lie imight into the relevant contexts and causal icladonships ‘0 enwore in: fiopuablesuategy choces These ar, therefore, in many cases more ree. tons of preudes, ideologies and personal preferences This book wil tempt revea how sever! development satis sr pal eeeions of Such soaatie premises eather than fing solidly bated on empl analyses fd theoneeal insights. “The aster imtrelaonsip berveen development objective (development concep, development proces theory and wnegy maybe depicted a shown in Figure 1Ril 16 INTRODUCTION With the above definitions in mind, Chapter 3 provides a brief presentation ff some of the prominent development concepts with emphasis on concept definition, though also with reference to the theories and strategies that later in the book are taken up for discussion. During further reading it is important to keep in mind how the various theoretical approaches are grounded in certain basie development concepts. ‘The structure of the book Chapters 2 and 3 have been introduced above, A brief account of the rest ff the book’s contents now follows. The book consists of six parts. The first part, of which the current chapter is a component, gives a genetal introduction. The sixth part rounds off the account with some general con- siderations on development research and its theories. The several chapters in berween — the main substance of the book — contain a review and discussion of a large aumber of theories. There is ao chronological order to their presentation, rather an analytical structure, Briefly stated, Part II contains the theories which chiefly focus on economic conditions, that is production, marker and the organising of economic activ ities within companies. National and international perspectives are applied, and theoretical propositions regarding the economic foundation of social classes are included. Environmental issues aze also taken up in this part, based on the observation that these issues, to a large extent, deal with ‘economic development with limited natural resources. Part III contains theories which primarily concern themselves with polities and the state, including systems of government and theit interaction with social power structures and pressure groups. are IV presents and discusses the theories which, in one way or another, have tied to comprehend and explain both economic and political conditions and change processes. In this context, the role of the state in societal development is examined in greater detail, and the debate on state versus ‘market is reviewed. Chapter 19 concludes this pat, looking at the interplay ‘between national security issues and development in a holistic way, Finally, the theories in Part V shift attention away from the state, the ‘market and the large companies, to civil society, i, the life of the citizens and their interactions within households, local communities and the various other forms of social organisation which lie outside the formal politial system and the corporate economy. Chapter 23 is devoted t0 theories about ethnic identities, nationalities and conflict. igure 1.2 ~ with its references to parts and chapters — may provide an overview of the different perspectives applied in the various parts of the bbook. The figure is based on the assumption that, in any modern society, we will find at least four different types of structues, institutions and dynamics Of social behaviour and practice, corresponding to the four boxes shown. a =a rca Tames ata —— od = Figure 1.2 The sractre of the book addtion, several processes of interaction between the four societal components may be identified, as illustrated by the double arrows The parts and chapters referred to in the boxes deal primasily with conditions and processes internal co the respective components of society, but some of them also address interaction processes involving the other components. As for 2xtx-sociceal celations, these are included throughoat the book ~ providing the theories reviewed themselves include these relations. This is the case paticularly with regard to the theories dealt with in Parcs IT and IV. ‘The abstract conception of society depicted by Figure 1.2 is inspired by some of the approaches and theories presented later in this book, including the otherwise very different conceptual frameworks of historical materialism ‘and ew institutional economics, Other ways of presenting the diverse perspectives are reviewed later in the book. Tn the fist chapter of cach part, thete is a more elaborate introduction concerning the perspectives applied and how the subsequent chapters are lorginised, together with reference as to how the chosen perspectives relate to other parts of the book. In addition, the contents list may be used to saequire a preliminary understanding of the structure of the book,CHAPTER 2 ‘The Theoretical Heritage and Controversial Issues in Development Research Studies of Third World societies date back to the earliest European colonisa- tions of Latin America, Asia and Afsica. A large number of these studies, however, at least up 0 the middle of the nineteenth century, were 30 preoccupied with the unique that one must describe them as atheoretical and ideographic. Theit aim was not to idencify patterns and general determinants fof people's behaviour and societal development, but rather to deseribe local conditions without a theoretical framework, without a systematic comparative perspective, and without tying to generalise. Consequently, studies of this kind did not form schools of thought for method and theory construction. Teshould be added, hough, that in much of the historical writings about the colonies, and in many of the older ethnographic and sacio-anthropological descriptions, one can find a wealth of detailed information which has since been used extensively for re-analyses within subsequently elaborated theor- tical frameworks, Methodologically conscious and generalised approaches to studies of societies emerged primarily in Europe, and in connection with studies lof European societies, rather than their colonies. It is these approaches that form the major part of the theoretical heritage of present-day development reseatch and theory construction Development research embraces, as was stressed in the previous chapter, many social science disciplines and additional elements from the humanities, in pasticulat. The delineation of disciplines, like economics or political science, is of recent date. ‘The breaking-up of all-embracing society studies into mono disciplinary studies came about only in the twentieth century, primarily in the period following the Second World War. This specialisation did not character- ise the easiest and school-founding theorists of the nineteenth century. None the less, it is a characteristic of the modern disciplines that each has reconstructed its own theoretical heritage with emphases assigned to particular classical theorists. Therefore, it will be appropriate to divide the present review into at least two main streams of thinking: development economics and socio-political development theories. These are the two majot traditions 8 THEORETICAL HERITAGE AND ISSUES 19 from which contemporary development research has drawn considerable inspiration, ‘Theoretical origins of development economics Development economics first appeared as a distinct subject area during the gas and the beginning of the 19508, concurrently with the politcal de colonisation of Asia, the Middle Fast and, later, Africa. The main interest of {development economics was from the outset to uncover the causes for Continued poverty and underdevelopment of stagnation in the Thied World UAe the same time, the emerging analytical perspective drew attention to the “oppo-tunities and preconditions for economic growth in the former colonies. Hence, from the very outser close linkages were established between theory and strategy: ‘Development economics emerged as a special perspective and later as a sub-discipline within the field of economics. The focusing of development economics on the sources of, and obstacles to, long-term economic growth separited the subject area from the neo-classical mainstream which, since the tun of the twentieth century, had been increasingly taken up with short term economic equilibrium analyses and maximising of efficiency in resource allocation, However, economics in general as well as development economics have common roots in the so-called clasical politcal economy of the eighteenth and hineteenth centuries, represented primarily by Adam Smith (1723-1799), ‘Thomas Robert Malthus (1766-1834) and David Ricardo (1772-1823). To this group could later be added John Seuart Mill (1806—1873). “Adam Smith placed himself at the centse of the debate towards the end of the eighteenth century with his major work, Wealth of Nation (1776). Tn it be ‘undetlined che critical role of the market mechanisms, operating ~ as it later Decane known ~ 2s ‘the invisible hand’ which ensured that production in sociey was (in most cases) onganised in the best interests of all. Smith's ‘central argument can be summed up in one sentence: there may be producess ‘who will tey co tel inferior goods at high prices, buc if the producers are competing they will all eventually be forced co deliver proper goods at reasonable prices ‘Another important cle de act payed, aconding to Adam Smith, wat that of a growth source. The reasoning in this context was that when the market expanded as a result of population growth or territorial expansion {expmsion of the British Empire), then demand would increase and pro duction grow as a response to that. At the same time, specialisation would increase among the producers. This was a central element in Smith's theory of growth; he argued that specialisation would in itself, for a number of reasons, lead to higher productivity per working hour. A major precondition for this was an increased accumulation of wealth ~ which had to come from20 INTRODUCTION the rich, especially che industrialists and their profits from productive in vestments. The accumulated funds were requited for investment both iq ‘more working capital (to ensure employment of additional workers), and iq ‘more fixed capital (to increase mechanisation).It followed from this argu that the emeeging industrial sector should be considered as the most dynamic fone and as the one on which to base aggregate growth, This proposition contrasted with that of the Freach physiocrats who earlier in the eighteenth century bad argued in favour of agriculture as the main engine of growth, ‘Adam Smith’s idea about ‘the invisible hand’, a8 well as his hypotheses about accumulation and investment of profits as the most important determinants of economie growth, have played prominent roles in the debates ever since his time. The notion about the ‘invisible hand’ has been central in the debate about attaining equilibrium and in relation to the state-versus- market controversies (cf. Chapter 18). The theses about sources of growth have similasly had a steong impact upon discussions about causes of long- term growth. Since Smith's original theories were formulated, numerous refinements and qualification have been added, but it is remarkable that some of his basic notions can still be identified as core clements in the debate even after the Second World War. David Ricardo was one of the first who seriously elaborated on Sinith’s classical politcal economy, especially with « land-rent and distribution theory and with the theory of comparative advantages. Regarding the former, it should be mentioned that it has heavily inspired contemporary theories concerning the relationship between agriculture and industry. It enabled Ricardo to identify two other sources of growth in addition to capital, namely technical innovations and international trade ‘When Ricardo suggested mote sources of growth than did Adam Smith, this was nor the result of a mote optimistic view. On the contraty, Ricardo ‘was fundamentally pessimistic regarding long-term growth because his analyses Jed him to conclude that continued population growth and the corresponding increase in demand for food would result in the inclusion of all land for agricultural production ~ even the so-called manginal land with very low area productivity rates, Utilisation of poorer and poorer land would cause the land rent to go up, mainly due to the farmers’ competition for the beter, temporarily more profitable, land. This process would result in a redistribution of national income to the benefit of the landed aristocracy, but co the detriment of the industrialists, Simultaneously, the marginal costs in agricultural production would ese with the increased culsivation of marginal land. Food prices would then increas, leading to stronger pressure on wages ‘which would, in turn, ext into the profits of the industrialists from another side. ‘The final result would be a squeezing of the industrial profits ¢o 2e¢0, ‘whereby the whole foundation for economic growth would disappear. Only technical innovations and international trade could, according to Ricardo, prevent this sad outcome. THEORETICAL HERITAGE AND ISSUES oa a i ies ah tboveagamest as an atmpe fo evolve the best pose policy for sp wade Te bac at ach comsty tl ene tein in aces here ivhed comparative sGraiages in tla to oter aus with eect othe producy oft workers In acondance with th bat es soninstiined counties such 8 Portgl should tefn ton eying to bul vp indies andy insted, coninue to concent on tepeotcton oor nance, wine, Indstaised counties tke England, a rt—ia—C—t—sSCSsCOzSCrdsNCSCN a a | ceponingy ier cane to inp both al Mas ander neo caati Ceonmivs Read fone of the very fow thors who hat njoed Sibopread and ie eapest wikia both the Marist and the Uber Tomas Robt Matin s kaon pinay for hi petite theses on a .,,rrC—~sisCs=sCéséCC*ts Fat than ocd pecucton, If wut et constaned wih the poor porselar breeding tpi Thete would be lite tason for mentoning —.rti<“—i*~s~s~—~—~—C~C—C—CC pos debates population probleme (f Chapter). Vny few te dente fs th bench canny hve ten Matar execs forint Sf he progension in poplin growth and apcltial oot seo However be mton tat popton ccesaly gow mor ply than agile production hat plyed a cnt tole at hypotes that |—rrtr:~—-:—“‘<‘CCEUNUU age cising a |. er —=— ttethed fr bond the these of population growths: prime bar fo | i &###=é==-= e,rrrt~—~rs—Cs—S=CSCSCrs “tom Sina i cal be bachy mendoned before we leave the esi poli economy at so ach cae of his ew and onal con oe —Crs on the then tuitng theories in a widely disernated book, Pimple of Pied Enemy 88) Common to al the sal poical economists was 9 stong empha a. Sil thong andl of toon sang scl conta Int a ee ee tem Ink tse anal tenons that have ben posed down to preset ie. the man race of thinking, with Jeph Schumpeter on the sidelinePay INTRODUCTION ‘Adorn Smith (1728-3790) 1, Malus ~ (1766-1834) David Ricardo a meas 4.8. Mil 1806-1873) A. Marshall JM. Keynes J. Schumpeter (3e2-1924) (383-1846), ‘s8s-1950) Noosclassical Development Noo. Maria ard conan sppronchos Figure 2.1 Theoretical origins of development economics A is npn te scree dyer can sd on hoe ree et 8tc18y) rare om th ba of cca ole ceca but tanaformed ts body of theory ne sie ea eo en cui tte eae easton’ Oy 6 he eee a ea oes wi be dedi a cae ah ae development studies ee reer ar al Seamer es inerotd eo of sey ad te a Na ove log pes of Un Hs as on bs a ed Se ee ee Wane te iv fovea eed aed ce ew on, Fo ee ae ie of ren ante fring pen pee se eee according t Marx ~ the most important sourect of enone eee the lta td seumeadoe cutest ts bjt tT alse spree soni ers eee ee eee nee Stel hte eke an oe i THEORETICAL HERITAGE AND ISSUES 25 In addition to the valorisation compulsion, the capitalist (the individaal factory owner) has continuously to accumulate capital in order to survive in the competition with others, that is expand his capital apparatus ehrough the piling up of surplus value generated by the workers (capital concentration), find through merging with other companies (capital centralisation) ‘According to Marx, these processes embodied unavoidable tendencies towards increased technical and organic composition of capital, that is the continuous enlargement of technical productive assets in relation to labour and ¢ simultaneous increase of the value of fixed capital in relation to the sugplus value produced by the workers, Combined with population growth, this necessarily resulted in marginalisation of large segments of the potential ‘working, population and, consequently, the establishment of a large reserve amy of unemployed workers. This was, ina sense, che frst formulation of the hypothesis concerning jobless growth (ef. Chapter 23). For the capital owrets the outlined tendencies meant constant pressure on their sate of prot, because relatively fewer workers were available for surplus production as compared with the more rapidly growing capital assets. This tendency, however, could be neutralised in various ways, including through productivity. enhancing technical innovations, state interventions, and crises which elim inated the least competitive companies, ‘These basic laws of motion for the political economy under capitalism coud not be viewed in isolation from the class struggle, because a large and ‘wellorganised working class, according to Marx, had the power to lessen the tancomfortable effects for itself, and in the long run may also be able 10 overthrow capitalism and introduce first socialism, and later communism, (On the other hand, a weak working class confronted with a sttong and well- organised bourgeoisie would be forced to put up with miserable conditions, Tis obvious that these summary outlines of Marx's reasoning in no way do justice 10 his very comprehensive theory; but the same applies to the previous discussion of the classical political economists. It should be borne in mind, therefore, that the intention in the present contest is merely 10 indicate Some of the intellectual sources of inspiration for post-war develop- ment economics. Readers interested in a more comprehensive introduction ae referred to some of Marx's own presentations (Mars, 1972, especially vol. r, Chs 21~3; Mars, 1857-58: pp. 375-413; Mare, 19695 and Mars, 1965). Regarding the classical political economists the reader is referred to the major works cited above, plus a few summary accounts (Hunt, 1989: Ch, 3; Meier and Seers, 1984) ph Sebunpeter (1885-1950) was mentioned above as a theorist on the siddines of the thtee main streams of thinking; however, this is not to imply that he has had less influence on development economics. Sehumperet has, in fact, particularly with his main work, Tie Theory of Economic Development Gchumpeter, 1934; German edition 1912), left a considerable legacy in the Shape of hypotheses and ideas that continue to be debated. There is special4 INTRODUCTION ‘reason to mention his explicit distinction between ‘growth’ and ‘development, Growth, according to Schumpeter, was the gradual extension of the capital apparatus and increasing production. Here che classical growth theories were of interest. However, in contrast to these, Schumpetet asserted that develop. ‘ment could occur only when technical innovations introduced new production, techniques, new products, or new means of organising production ~ in other ‘words when the production factors were utilised ia new ways In this mennes, more fundamental changes would be brought about and new rules of play introduced into economic life . ‘The innovators, in Schumpeter’s conception, were the entrepreneurs, who a8 a category covered more than the industrialists or capitalists, and who, furthermore, did not themselves need to be capitalists. Schumpeter also. broke ranks with the classical conception of capitalist savings and accumula. tion as being the most important sources of growth. He believed instead that growth was driven by technical innovations, in association with the centrepreneurs’ mobilisation of credit in the economic system as a whole Gchumpetes, 1934), Several changes in the focus of economists preceded Schumpeter’s con- tributions, especially changes away from a primary interest in growth and growth-determining conditions, and towards equilibrium analyses. Around the tum of the twentieth century, long-term growth was taken for granted. and consequently attention was shifted co how to achieve the best possible utilisation of given resources ~ known as allocative effectiveness and ef ficiency. This implied the attival of the so-called neo-classical paradigm — and here the Kuhnian term ‘paradigm’ is more appropriate than in relation to most of the rest of the social sciences, because these neo-classcists really did, and continue to, elaborate a consistent and highly formalised (and mathematically formulated) theory with common assumptions, concepts and rules of validation. Itis this neo-classical paradigm that today dominates a very significant proportion of economic tesearch in both the industrialised counties and in many developing countries, One of the frst great theorists withia the paradigm was And Marshall (2842-1924) whose major work, Principles of Baonomicr, frst published in 1890, ‘came to replace Mill's Prinapls of Palitcal Economy as the most important standard work within mainstream economics, ‘We do not delve into the paradigm here, Rather the reader is efersed t© the discussion of the neo-classical contributions to development research in subsequent chapters (particularly Chapters 5 and 18), in addition to a few ‘major works and text books (Walras, 1954; Samuelson, 2967 or later editions). However, a brief noe may be useful at this point: some of the central featutes of neo-classical economics are certain explicit assumptions about the nature of the economic system and the determinants of ceonomic behaviour, These assumptions include one which stipulates that firms will ‘maximise profits. Another assumption is that consumers will maximise utility THEORETICAL HERITAGE AND 15SUES 4 Combined, these behaviour-determining factors are believed to produce an optimal allocation of production factors and, furthet, provide the best ceditions for economic geowth — provided that perfectly competitive markers txt Price distortions as a consequence of political interference with the market mechanisms will therefore inhibit economic growth Before we leave the historical roots of development economics we shall briely touch on the role that Jobx Maynard Keynes (18831946) has played Keynes, who wrote his main contributions daring the 1930s, including The Genaal Theory of Employment, Interest and Money (1936), was, like the mainstream ecoromists, not particulary interested in long,term growth or in conditions fn the colonies. This is why he did not leave behind any elaborate theory of yeth and development. On the other hand, he placed the question of the {elatonship between market and state so femly on the agenda that he thereby soyuired lasting significance for the ensuing development debate (see Toye, 1985 Ch. 2 for an excellent discussion of this). Probably Keynes's most significant contribution to theory formation and Jdebite concerned the question of the reasons for, and the possible solutions to, the unemployment problem. But he also left behind an important legacy with his analyses and propositions regarding institutional control of inte ‘national trade and Gnance, and the associated proposal for establishing what ‘was later to become the International Monetary Fund and the World Bank, Furthermore, Keynes achieved a considerable indizeet influence on develop. ment strategies through the work of two other economists, Roy Hastod and Eysey Domar, after whom the so-called Hatrod-Domar model was named. ‘Thi model informed the entire way of thinking about economic planning in the Thitd World during both the 1950s and 1960s (cf. Chapter 16) “After this brief survey of the intellectual roots of development economics, ‘ye san turn our attention to the theoretical legacy which has exerted a stroag influence on sociologieal and political development theories. ‘Theoretical origins of sociological and political development theories Secislogists normally trace the origins of their discipline back to the French author Auguste Comte (1789-1857), who was also the first to use the term ‘socology’. However, mote comprehensive contributions to theory con- steustion appeared later ~ from Emile Durkheim (18581917), Karl Mare and Max Weber (1864-1920). Each of these three theorists can be stid to have founded 2 major school of thought with considerable impact upon diffrent approaches within contemporary development studi, Emile Dirkisim acknowledged explicily Conte's contribution to estab lishing sociology as a scientific discipline, but asserted that Comte had not successfully achieved hhis objective. Durkheim wished to complete the work in accordance with a natural science model, which meant among other things26 INTRODUCTION that he would study social phenomena as ‘objects’ — as if they were as palpable as natural phenomena. Similar to the classical politieal economists, Dusleheim was concerned with social change processes in the long teem. This led him to study the develop. ‘ment of the division of labour in society as part of the industralsation process, Where economists concerned themselves with the impact tht the division of labour had upon growth, it was more important for Duckheim to study its social consequences. Durkheim believed that the division of labour would eventually come to replace religion as the most important social force of cohesion, but that the separation and specialisation of labour fanctions and other swift social changes would also cause widespread anemia By ‘anomie’, Durkheim meant a feling of rootlessness and aimlessness which, furthermore, was characterised by 2 lack of moral guidelines. ‘The breakdown of the traditional orders, which were supported by religion, would result in many people feeling thar thir lives hed lost meaning; they would feel isolated without clear guidelines for normal behaviour, Durkheim's approach in chese areas hat cleaely influenced post-wat ‘modernisation theory (¢£. Chapter 13). His reasoning atound the concept of anomie is found also in other contemporaty approaches like those applied to the study of ethnic and religious revivalism as responses to the breakdown | of traditional order (ef. Chapter 25), Durkheim also engaged himself thoroughly with the causes of suicide, He researched the causes of suicide, not by looking at the individual’ ‘motivation but by looking atthe external socal circumstances in which suicide ‘occurred with a markedly higher frequency. The method of analysing in dividual behaviour as determined significantly by social circumstances came. to influence the further development of sociological methods, ‘The theoretical heritage from Duskheim was transmitted through at least three main streams. The first one was via the founders of modern social anthropology, including particularly ALR. Radele-Brown (1881-1953) and. Bronislaw Malinowski (1884-1943), who were both pioneers in the evolution, of fieldwork methods with well-defined conceptual frameworks. The further development of these methods led to the present functionalist analysis at the ‘micro level, that is analyses based on the view that social conditions and. events in the local community are best understood and explained on the basis of their function — with reference to the part that they play for the local community and its maintenance. The second stream went mote directly for through lesser known theorists and researchers to functionalism and modernisation theory with a macro perspective. The third stream went via Talcott Parsons (see below). Karl Manes contsibution to theory formation in relation to the politica economy of capitalism has already been briefly mentioned. Hlece we shall add only a few more observations regarding his role in the context of sociological method and theory. Marx is the only one among the founding THEORETICAL HERITAGE AND ISSUES Fa furs of modern soca science who his Ife 4 strong impact upon both eppment economics and sociological and polite scence approaches "0 Gvdy of Third World development Toran toogh in weems of volume Marx wrote much moce about the al economy of capasm, hs analytic perspective and method atthe Pent dime impll! substantal contibuons to yocology, Ase mentioned, Slant penpecive embraced the whole of sciey, His method implied 4 a cma eacig ofthe interactions berween the basic economic steers Zar proceses on che one hang, and the poltcl, socal and ideologies “Eiks andInstations on the other, Mars in his analyses, ated to the Sonemic processes a cerain precedence over other societal processes beteving ar soci change was prompted primaty by economic inluencea The djeamixncrened by technoloialproges and the development of dhe foes of production wibin the famevort of a particular mode of pridaction woud, inthe final instance, aso determine the direction and Bae panera of socal changes in the socal and pola spheres, This fen put ofthe basi ea in ht maeriitconeepdon of society and history Feweve, ics imporant to ad thatthe primacy of economics applic only inthe long-dme perspective and at the macro level. Porcher, i importa, {Sot tha the cae stage under all ceumsances impacted Beary pon feral outcomes and ths mediated, 10 some extent thaped, impeded or fereonated economic determination of ructral change processes. Bot trseying all reservations and complestngctesmtancen Mar had a cee idea shout technological progress and development of the free of produc fon at constituting the core ofthe dynam that changed socks, He ao held the view tat socal and politcal confit which rai mattered ll ad ther oot in economic inequality and economic conf of interest. This tment with regard tothe methods forthe investigation of soe that che freche sould always ty to iden the ecomomic-maecial bas for other ‘oval phenomena and frtes expec, prio, that the bask stoctares were fat more important to the outcome of soca and poll procesey hen es motvaons and wishes, PPh respect xo both thee fundamental notion, Mes Wier advanced ing izes. He would nota prions asin tothe cconomic process tay primacy al, bat onthe other hand would not exude that they oul, under ferain circumstances, determine the outcome of the social and polical processes, In his woot, Weber didnot explicitly polemic against Mas, who Ee appurnty had deep respect for asa theo, but wen ndtectly aint tin for example ix hs famous book abou the Protestant ei in which be astcted the etal importance of Calvinism for the breakthrough of capt ism in Western Europe (Weber, 1963). This eas lke raring Mars on bi esd, lew as seta fom 4 sinple nerpreton of Marx A more thorough onparison of the two theoteal gaits within soc sient reench ws, towever, that it somewhat more complicated (Marinate, 1959)| | i | 28 INTRODUCTION Regarding the relationship berween structure and the individual actor, there is a stronger case for contrasting Marx and Weber. There is no consensus on exactly bop mach of individual behaviour the structures accounted for, accord. ing to Marx, However, there is general agreement that Weber in this respect assigned to man as an individual signficandly mote independence in society. ‘Therefore, Weber also worked much more than Marx with human motivation and rationality as determinants of behaviour as well 8 outcomes of social conflicts and other procestes ‘Weber has sometimes been taken to task, wrongly, for simple assumptions about rationality as something unequivocal. In reality, Weber worked with many types of rationality, of which the so-called bureaucratic rationality (which actually combined two forms) was only one among several (Bruun, 972: pp. 221ff). This was the form of rationality that Weber described as the analytical ideal type in his studies of modern buteaucracy. His approach in this regard did not imply support for bureaucracy and its rationality as an unconditional asset. Weber found bureaucracy unavoidable in a modern capitalist society. He also found this form of organisation and the associated bureaucratic forms of behaviour useful for solving many societal problems, But Weber emphasised strongly chat a buretueratie system which was not subject to democratic control or counterbalanced by charismatic or otherwise popular leaders, was an evil for society, ‘Whete Durkheim focused primarily on the division of labour as an integrated part of industrialisaion processes, Weber's main interest was ¢© describe, interpret and explain the emergence of the bureaucratic form of ‘organisation and the related rationality form. These two phenomena Weber viewed not just as dependent variables, but also as independent variables, in the sense thatthe modes of organisation and rationality, after being engrafted ‘upon modern societies, seemed to act as driving forces for subsequent socal change processes. It was in this context that Weber deemed it desirable to have some form of popular influence and control over bureaucracy. In addition to Weber's substantial contributions to social science theory building, he also lid the foundations for the methodological principle which is now known as scimtfc valve relatvim. This principle takes as its starting point that there is a logical gap becween ‘is’ and ‘ought’ — between society, as it exists, and society, as the researcher would like it to be. According t0 ‘Weber, ie was not possible to conduct value-free research. Normative elements would affect all stages in the research process, from choice of themes and methods through collection and interpretation of data to formulation of generalisations and theories. The researcher could, however — and should in the role of researcher ~ always try to reduce biases, that is the hidden and. ‘therefore manipulating influences from his or her own norms and values, by presenting these as explicitly as possible. This would allow other researchers to evaluate and re-test the research undertaken and its results. Value relativism was brought into development research primarily by ‘THEORETICAL HERITAGE AND ISSUES 29 Gunnar Myrdal (cf Myrdal, 1959; Myrdal, 1968: Ch. 2) and Paul Streten, put odserwise it has, unfortunately, never achieved recognition as a cencral methodological principle (¢f. Chapter 25) ‘Other aspects and elements of Weber's method and theory have been pased down through many channels, but often without the same explicit Reference to Weber as is found with cespect to Marx within the historical Iateralist tradition. Some of the explanations for this could be that another ominant, though less sophisticated, theorist of the twentieth century, Test Pare (2902-1979), Was instrumental in bringing Weber to the English: speiking world. Parsons reduced Weber's complex and open theory to fistionalism, into which he also adopted elements from Durkheim. Ie was tn ehacacterstic of Parsons that he found Weber and Marx totally incompatible ts theorists, even in the sense that Weber could essentially replace Mars, tvho had thus become superfluous (Parsons, 1957). This interpretation was adopted by the modernisation theorists in the 1950s and can be found even tory among many development esearchers, especially in the English-speaking pars of the world ‘However, other conceptions of the relationship between Marx and Weber do exist in the literature. Schumpeter, for example, suggested in the 1940s thatthe (wo theorists supplemented each other ~ that there were a number of areas where they were compatible Gchumpeter, 1947). In tecent years, this intexpretation has gained ground among development researchers who label themselves as Neo-Weberians or PostMarssts. The latter conceive of themselves as more authentic inheritors of Marxian theory and method than the so-called Neo-Marxists (¢f. Vandesgeest and Buttel, 1988; Corbridge, 1990) ‘A simplified overview of the intellectual roots of contemporary socio logical development research can be summarised as in Figure 2.2. To this should be added that within social anthropology there is a particular stevcturlist approach, and an approach which is sometimes termed ‘symbolic ineractionism’, Seeucturaism traces its roots back primarily to Ferdinand de Saacure (1857-1913); symbolic interactionism wo George Hlrberr Mead (3863— 1932) (for a concise overview, see Giddens, 1989: Ch. 22). ‘The sociological family tree depicted in Figute 2.2 may also be seen as an overview of the roots of political development theory, although the political Science approaches in the post-war pesiod increasingly separated themselves fiom sociology, developing their own schools of thought. Within the doninant non-Marxist tradition one could identify at least two important approaches: behaviouralism and functionalism, the later with branches of an insirutionalist-steucruralist approach. Behaviouralism focused on individual politcal behaviour and endeavoured through cross-national studies, which frequently included industrialised Countries, to uncover general behavioural parterns and establish general (explanations, Here the inspiration from Durkheim was obvious, even thougha on ea, fee sir an ee wei ne] ite voriseam | nettoia / ses Functonaliem and / Functionalsm and Anthropologie! ‘modernisation Tela methods ‘theory Post Marxist Figure 2.2 Theorescal origins of sociological and politcal ‘development theories the more sophisticated analyses implied considerable refinements in com: parison to his (eg. Lemer, 1958). Functionalism and the instiutionalis-structuralist approach were more preoccupied with political macro-phenomena such as the apparatus of govern- ‘ment, politieal parties, interest organisations, and mass media. The pertinent questions in many of che studies within these schools centred around the functions and structures necessary for the persistence and modeenisation of 4 given political system. In this case, the theoretical origins could be traced ‘back to, on the one hand, sociological functionalism or stcucturalfunctionalis analysis and, on the other hand, to the legal disciplines and particulaely their studies of the intertelaionships between political institutions. ‘Major controversial issues in development research Based on the above outines of the theoreti heritage and by ting int secount later theres development dimes, we ear now formulate some of the central and conten gacatons tht have dominated much Of fe theoreel dncnsion The sloston of ists in the prea come ih 00 way coves the whole tea of development esearch Other elise wil have to beaded and considred ler in tit book, But the quesions sod THEORETICAL HERITAGE AND ISSUES 3 "To provide clarity, the presentation is stylised and formally standardised pe ee of qualitatively different and competing answers32 INTRODUCTION, ‘Table 2.1 Contoversia issues in development reseatch Perptioe and math Which perspective facil ‘aces the best analyses Which conception of society provides forthe Dest analsex? Which method wil give the best and most robust result Which unit of analysis wil provide for the best results? Hopotbes and theory How does societal develop ment take place? Do Thied World counties follow the same path of development a the indastalised counties? What has been the primary impact of colonialism and impecialises upon the Third World? Does fe trade benefit developing countries? Do clos inks with the swodd marker promote development? (Can the sate act autonomously? Amico pespecive ~ A mio-aagi pe within macro thcoctcal pectne ort meso Framework of anges aayte perpecire, ‘A consensus conception ~ A canict conception sssuming a genuinely assuming contcts between ‘common radonal interest opposing interes Formalised mathematical Qualitative method model aay Historia! method iypotheicl deductive Hapot Inductive method Individual sctors — Structures and insiutions ‘assuming that ther actions ~ assuming that they are fe importa for important determinants of determining straceures behavior sd outcomes ‘Through a linear process —‘Theough « noetinear ss continuous evolution process Orin stages Yes thats assumed wot No thatis not assumed Aisponed Uns rendered probable Progress and soit _Underdevlopment or development maldevlopnen Obseicon of deveiop- Ye No Yes No Ye NNo~ stat ations and interventions are creed by prevaingcconomie structures and the most power interest THEORETICAL HERITAGE AND ISSUES 33 ‘able 21 Cont. a ‘potion ad hor (ont) Does highly iter No Yer ‘eionist ate promote evelopment? ‘Which economic sccroris The industal sector The agicultual sector the most dynamic? whats the elationship ‘Technologieal/economic A dialectic eeatonship purween technological/ changes determine ather where politieal and cultural Cronomie changes and aspects of soccta institutions shape Siher aspects oF societal transformation technologies] economic transformation? changes Which regime form isthe Democracy witha multi Authoritasian regimes rrost appropriate for Thid party system and universal which ean ensure national World development? adult franchise ‘co-ordination and long: tem planning ‘What role i played by civil Chil scicey traditions and Civil sociery embodies its society and its instiruions?instations restrain ‘own dynamism which {growth and modernisation provides the basis for survival for many citzens Srotay How isthe bes utilisation By leaving the allocation By leaving the allocation fof resources achieved? primarily to market primarily to the state mechanisms ‘Which economic sector ‘The industialsector~and_ ‘The agricultural sector— sould be given the lead gesoutces should be and resourees should be role in development? transferred to this sector transferred to this sector from the rest ofthe feom the rest of the economy economy Which actors would ithe Private companies and The state~ central best to ely on for entrepreneurs government and/or local promoting socio-economic Authorities (Citizens and their fvelopment? a community organisations) ‘What isthe best growth An outward-orented, An inward-oriened, strategy in an international exporeled growth rtrstegy_ import substituting strategy contest? “witha liberal foreign with protection ofthe trade regione ‘domestic marketCHAPTER 3 Conceptions and Dimensions of Development Over the last century, Westen conceptions of the world and history have been largely characterised by notions of progress cwoution, and development, Originally the emphasis was on progress and evolution, however, sie the Second World War ‘development’ has become the most widely used term Regardless of the more speifie definition, there is avery widespread tendency to associate something posiive, something desirable, with the word ‘develop. ‘ment This applies no matter whether development refers to societies, eyions or specified population groups, During the later half of the 1940s and the beginning of the 19508, various conceptions of development appeared, both in connection with the negotiations on the establishment of a new international economic order and in conjunction withthe formation of American foreign policy in relation to Europe. [Negotiations on a new economic ordes took place particularly among the 4 counties who met at Breton Woods in tga, The negotiations resulted in the establishment of the International Monetary Fund (IMF) and the International Bank for Reconstruction and Development, now geneally known as the World Bank (they started operating in 1947 and 1546, ter, pectively) The IMF was established to encourage international co-operation in the monetary feld and to remove foreign exchange restrictions, 10 stabilise exchange rates, and vo facilitate a muller payments system between member counties, The purpose of the World Bank was to encourage eapital investment for the reconstruction and development of is membee counties In continuation of this, American policy towards Europe put emphasis on economic reconstruction after the destruction of the war. The bese kaown element in this policy was the so-called Marshall Plan which, through loans and a massive wansfer of sesources to Europe, attempted to put this pate of the world back on its economic feet. The World Bank followed a similar steaegy during the same period Characteristic of both the official development conceptions and the im- plementation steategies pursued during the fist decade after the Second World ‘War was their focus on the industrialised counties and thir economic growth, in a aateow sease of the term 34 CONCEPTIONS AND DIMENSIONS 35 ssnce the mid-19505, the notion of development as something postive and good has been tied particularly ro countries and population groups in the Third World. Parallel t0 che decolonisation of Asia and Africa, he social {Conditions on these continents increasingly became the object of international freation, In the large industrialised countries as well as in che multilateral rganisatons, with the World Bank in the vanguard, these conditions were ved asthe result of lack of development or undevelopment. Countries the Third World — including Latin America ~ were labelled as being backward in comparison with the counties in Western Europe and North ‘Amorict, At the same time, it was taken for granted that both the ‘backward’ ourtries and the highly developed Western societies would benefit from ecoromic growth and modernisation in the Third World. Growth and ‘modernisation in this context were taken to mean a gradual change towards igexeer and greater similarity with the highly industrialised countries of the Noch West. “This conception of development, as change processes resulting in grea simibtey with the conditions prevailing in the USA and the great industrial courteies in Western Europe, was not vniverslly accepted in the +9508. On. the contrary, a consensus has never prevailed ~ either then oF now ~ on what deedopment is or should be. In a survey fom the mid-1980s, 72 different measings of the term were registered (Riggs, 1984). We shall not txy t0 reproduce this multiplicity. But as the explicit or implicit conceptions of ‘development ate very essential components of the theories and strategies disessed late inthis book, we shall attempt to summatise the most important ‘asic conceptions and ideas of development. ‘Tre order of presentation in the following paragraphs does aot reflect ‘aay chronological sequence, but should rather be seen as a series of com: peirg conceptions of development. Some of them are still widely used, fothe's have been given up by most researchers and practitioners ~ or they have been adjusted to incorporate new aspects. Over the last four decades the general tendency in this respect has been t0 abolish one-dimensional ‘conceptions focusing on economic growth and replace them with muli- dimensional notions incorporating non-economic aspects 28 well ‘More comprehensive descriptions of selected development concepts will appear in connection with the faller discussion of the various theories. The ‘trent chapter can be seen as a kind of overview of the various approaches, in the sense that the conceptions of development, o a large extent, define the special features of the various approaches, Economie growth Schanpeters previously mentioned distinction berween growth and develop- tien was not genenaly accepted within mainstream cevelopment economies ‘othe agsos (ce Chapter 3). Researcher inthis peiod were often not at all36 INTRODUCTION concerned with whether economie growth could at the stme time be seen development. They rather conceived of economic growth as the supres goal in itself; ie was economic growth that the poor countries needed. Th economic growth and its determinants and obstacles were natural foci f theory formation. ‘There was no broad agreement, though, on the exact meaning of the term ‘economic growth’. It is a bit of a myth, shen etties of the eat development economists maintain that they viewed growth as identical increasing per capita income. None of the major pioneer theorists conceived of the matter in such simple terms. However, it was necessaty at that time to be content with a relaively simple indicator of growth, because the dat, and staisties concerning Third World economies did not provide a basis for ‘more sophisticated measurements, ‘The core of the conceptions of growth among development economists fof the 19508 was increasing production and consumption, but also increasing employment and improved standards of living, They imagined that progres in these respects would be reflected in the national accounts figures f aggregate incomes. At the same time, they wanted t0 take into. accot population growth, because an inczease in production and consumption wh resulted from this growth or was just proportional to it could not conceived of as real growth, National income was therefore computed a average per capita income, ‘The World Bank, which had early on placed itself as the leading int ‘ational insnution in collection, analysis and publication of figaces concet economic conditions and growth in the developing countries, operated this aggregate measure during the entire period up to the beginning of 1970s. However, both the World Bank and development economists in gens ‘were fully aware thar measurements of growth in terms of increased capita incomes were faulty (reliability problems) and did not in all cases 1 correct impression of the conditions and changes (validity problems). With regard to the former ~ the question of seliability ~ che statis were often of low quality. The poor countries simply did not have the capaci to gather the necessary information, In addition, the entire national accou were based on measurements of production and consumption in prices whic assumed market exchange of all the products, But as large propottions the production of the developing countries were used in the houschol themselves, or were exchanged in other ways — through social networ patron-client relationships, or ocher kinds of exchange without pricing considerable sousees of inaccuracies for the national accounts were obvious in-built. These conditions have changed in some of the developing, coun buc generally the situation is much the same, especially in African count Regarding the validity of national accounts figures, the most seri problem was that they did nor seflect the distribution of incomes among. citizens in a society. Therefore, aggregate growth in the per eapita inc CONCEPTIONS AND DIMENSIONS 7 could be 4 seflection of; say, significant growth for the high-income groups hd at the same time a decline or stagnation for the low-income groups Precisely this question of distibuon became of eenteal concern among derelopment economists from around 1960. This new interest was also frempted by the fact that, at his ime, figures began to appeae which indicated Bar growth was frequently very unevenly distributed soci, geographically and berween the different economic sectors. The result was a readjustment of the original conceptions in order to take into account the impact upon ddsribution. At che same time, mainstram conceptions were extended to cower both growth and economic changes in other respects (€f Chapter 5) "There is stil no general agreement on how to define economic growth an development goals; nor on how best co measure socio-economic changes in developing societies. Yet wide approval has currealy been gained for a notion which defines economic development as « pratt wbiriby the real por aha income of contr increases ovr along perad of time wile sintonouy pry is reduced and the inequality in sci is geal dined ~ of a least ot fncreased (ef Meet, 1989: p. 6) ‘oneeptions of this kind have also been adopted in World Bank analyses Further, they have informed Bank stateges since the carly 19708, Howeven, corsderable fluctuations overtime ean be observed. Und around 1980, the ‘World Bank was mainly imerested in combining growth in per eapita income with special assistance to the poor. One of the stateyies was described as “redistribution with growth; another went under the name ‘the basic needs seategy’.In the r98os, the focus shifted towards aggregate growth ia con- junction with restoration of macro-economic balances, structural adjustment, 4c increased foreign-exchange earnings. Since 1990, the Bank has again fxphasised growth for the poor and resource-weak groups ~ along with areyate growth ~ in its overall conception of development (ef. World Beak, 1986 1990). Increased welfare and human development ‘The above definition of economic development embodies a wish, in principle, to-mprove the living conditions and the welfare of all citizens of a sociesy However, the indicators for this remained in most of the literature, and the international debate was still limited to income measurements of one kind for the other. As a corollary, it was asserted that growth in teal incomes was the main target. This was disputed by prominent economists such as Amartya Son, Paul Siraen, Mobbub 1! Hep, and others who believed that increased incomes sheuld’ be regarded as a means to improve human welfare, aot as an end ia lisdf (Sen, 1988; Steeten, 1981; 1994). To these economists, human welfare ‘ea the overall objective ~ the essence of development. Increased incomes anc national economic growth were crucial preconditions for improvements38 INTRODUCTION in standards of living, but aot the only preconditions. This could be easly demonstrated, for example by comparing per capita incomes with indicators ‘of education or health standards. Figures from the mid-ig8es thus showed. that the average life expectancy in many countries was considerably lower than one would expect from the income figures. Sri Lanka, with an average income of US$360, had an average life expectancy of 70 years, whereas Brazil, with over US$1700, had an average life expectancy of only 64 years (Gen, 1988: p. 12). With the first Human Deselopment Report from 1990, prepared under the leadership of Mahbub ul Hag, the United Nations Development Programme (UNDP) adopted this basic criticism of income measurements and presented & more comprehensive concept of bumay development (UNDP, 1996). ‘The report defined human development as a process of enlarging peoples chess. At fist, attention was concentrated around the choices in three essential areas: the opportunity to lead a long and healthy life; the opportunity to acquire knowledge; and the opportunity to have access to resources needed for a decent standard of living (cf. Chapter 21). Ta these were later added con. siderations regarding political freedom and human rights; human development for women as well as for men; environmental and other aspects of sustain- ability and themes regarding citizens’ participation and opporunities to affect the political decisions in sociey ‘What was originally launched as an alternative goal of development in this way gradually became a new framework for research as well as develop- ment co-operation ~ often referred to by its adherents as the new ‘paradigm for sucteinabe human development (Haq, 1995; Banuti et al, 1995), Some of the aspects and themes included in this new ‘paradigm’ resemble the conception Of development which we shall diseuss below as “development by people’ ‘Other aspects will be discussed later (see Chapter 21). Modernisation The basic notions of development mentioned above centre around economic and material conditions, although the concept of human development has recently been extended to include non-economic aspects, However, as was briefly mentioned ar the beginning of this chapter, in the 19qos and 19505 there were also widespread conceptions of development as 2 process of ‘modernisation, that is a structural change Provts whereby the trdtonal ond bane Third World countries developed towards greater cimilarity with the Wasterm, or rather, ‘the North-Wevtrn world (Bye, 1966; Apter, 1965). ‘Among the features of the imitation-worthy modern societies which were specially highlighted were: an extensive division of labour and specialisation, high productivity, sel-sustaining economic growth, « well-functioning and active state apparatus, a democratic form of government and equality before the law (¢£ Chapter 12). The conception of development as « modernisation CONCEPTIONS AND DIMENSIONS 39 process with these characteristics has survived the last go years of debates {nd empitical analysis ~ particularly outside the research community. The fanie applies to the idea that economic growth is the core feature of development in the Third World. However, several other development con- ‘ceptions have emerged as contenders in the debate Elimination of dependency Ascarly asin the 1960s, a number of Neo-Marxist and Marsst development cosceptions were elaborated as explicit alternatives to the normative theories about modernisation. Basically, they presented wo different sypes of object- ives for the development process. One type had to do with the developing counttes’ position i the international system; the other with the internal conditions in Thied World societies (¢f. Chapter 7) With respect to the developing countries’ position in world society, many cof the Neo-Mardst theorists held the view that development implied the ging of real national independence and slfcentred economic progres. The so-called ddpendeney Svorsts, in particular, were of the opinion that the colonial powers and imperialism had actively underdeveloped the Third World or at least lmpeded independent development there. The political decolonisation had ‘ot chafiged this in any essential respect ~ according to these theorists’ own andlyses. Therefore, there was a need for further de-linking and dissociation from the sich countries (Frank, 1967). The dissociation was not an end in asdf, bur rather an instrument for gaining the desited ational independence. In fact, not all the theorists within this mainstream believed that dissociation foom the world market was the best means ta achieve independence. On this point the modes of reasoning among researchers were, as we shall see later, sexy dissimilar Regaeding the desiced internal, self-centeed economic progrest in Third Weeld societies, the conceptions among the Neo-Marxists and related theorists vated considerably. There was overall agreement that backward countries had to base theie efforts on their own particular preconditions, including their own resources. There was also widespread agreement thatthe final objeive 1s the intraducion of sails, because this was the only mode of production ‘hae could ensure the economic progress attained was transformed into Improvements for the suppressed classes and the many marginalised and cextemely resource-weak groups. However, when it etme to the formulation of specific development objectives in the short- and medium-term perspective, there was much disageeement. This continues to be the case in the debate tamang the theorists of this school. ‘tone extreme one could identify Marxist economists who believed that ‘Be best results would be achieved by allowing capitalism, with its strong market forces, to operate freely and penetrate society for a period, claiming ‘har this would bring about the necessary material preconditions for socilisen40 INTRODUCTION, in the shape of highly developed forces of production (Warren, 1975, 1986), Apart from the long-term and final goals being different, there was in this ‘way of thinking a remarkable resemblance to modernisation theory, in the sense that both asserted imitation of the highly industrialised countries as desirable, To the modernisation theorists this was the end goal; to Bill Wartea and other Marxists it was a medium-term goal on the road to socialism, Another extreme position was represented by theorists for whom the decisive factor was the above-mentioned distociation from the world marker and 4 simultaneous introduction of some form of socialism or at least a state-controlled and centrally planned economy as a fist step to reorganising the production structure towards socialism. A special Soviet Marxist version Of thi line of seasoning emphasised, during the 1960s and early 19728, the possibility of a non-capitalise path to socialism, that is development of the forces of production under state guidance and without having (0 rely on the capitalist forces of valorisation, accumulation and market mechanisms Golodovaiko and Bogoslovsky, 1973) ‘A thizd type of Neo-Marxist approaches was more preoccupied than the above with historical and empirical analyses of social classes and the state in the Third World (cf. Chapter 14). They tended to give more emphasis to. ifferentiation and thus formulated a variety of development objectives, with specific reference to the varying conditions prevailing in exch of the councries studied. For many theorists within this Neo-Marxist tradition it could still be the long-term goal to bring about socialism, but at the sme time they recognised that such a revolutionary transformation was not, in the foresee- able future, on the agenda in the vast majority of developing countries ~ perhaps in none of them at all ‘Therefore, attention was focused on other, more realistic, development. scenatios such as democratisation of politcal life, decentralisation of decision ‘making, formation of co-operatives and general provisions for @ more equal diuriowion of devopmens benefits. These theorists remained critical of a powerful ccenteal state and 2 dominant public sector. They envisaged instead a general empowerment of the people through local self-government, collective owner ship at the community level, and co-operative societies as appropriate goals ‘On these ~ as well as a number of other points ~ the short: and medium: term development goals resembled some of the goals that had been form: lated within the Uberalise development theories with a focus on non-economic conditions. Here, the general tendency since the 1950s has otherwise been a lever more differentiated and culture specific definition of development, Dialectical transformation ‘This transformation actually started with the so-called diaetical modernisation ‘sory, which had asserted itself within anthropology, sociology and political science way back at the beginning of the 1960s. This very complex approach CONCEPTIONS AND DIMENSIONS a ssined, from the classical modernisation theory, the division of social Fees eno coo cangorey titoal und moder. 1 fret ceed Presi idea of development asa provis wbereby sci apis more and more ere ehent, But atthe same time, the dialectical modernisation cheory tiled number of suances and a more dynamic understanding. Ie undelined attadtion peed not be development impeding oF ia opposition to develop- ‘Boar at all Conversely it was stressed that modern institutions can a times Bporuct development and pethaps ot even Function properly, precisely feeaine they are not compatible withthe tadtions of che societies conceened Fortiermore, the approach emphasised that taitional societies can in fact fe very dynamic, heterogeneous and capable of surviving under a modera- acon process This led to the central idea of the traitional and the modern seeecal phenomena in a dike! rlationsip where luther of plenomene ‘hong tbe proces, and where the re of ney ita fyb (Rudolph and Radolph, 1967; Gusfild, 1976), ‘the dialectical modernisation theory conveyed to all notions and theories more respect for the developing counties” unique circumstances and, more tres ted the conception of development to these. This implied a dismissal of he notion that development is something universal, defined solely by its fae goal the greatest posible similaty to the North-Western industrial fourttes, Instead an open conception of development was proposed, the fonents of which had to be decided in accordance with eich individual Soviet’ pacticular circumstances and the preferences ofits citizens. Prthes fvor the dialectical modernisation theory stressed quite stongly the non- fcoromic coniltions, both as facors in the economic processes and. as Importast determinants in their own right of societal life and its tans- formation (ef. Chapters 13 and 17) Capacity building and development by people Jn the more sophisticated development concepts that appeared during the ig6ce and the 19765 ~ also within development economies ~ the emphasis ‘was shifted avay from the simple copying, of the industrial countries and fom the one-sided Focus on economic factors as the determining ones ia focctal transformation. Instead, aumerous definitions of development 2p- peard with a focus on the expaciy to make and implment devoes. According fo these more recent notions of development, a sociey exhibits development primarily in che form of better abilities and greater capacity to make decisions 4nd implement them effectively. The previously mentioned idea of human development as the main goal can be seen as a variant of the development enneept presented here ‘The attention given to building autonomous capacity ~ of political author lies and/or the citizens of Thied World countries — can be viewed as an aitempr to reduce the ethnocentrism that so strongly characterised most of2 INTRODUCTION

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