
Encyclopedia of SociologyVol._4
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SOCIAL SECURITY SYSTEMS
government to invest some contributions in stock funds. The stunning upward movement in the stock market in the mid-1990s brought enormous returns to those with private pension investments and highlighted the low returns provided by the current system of using surplus contributions to buy government bonds. Controversy over government involvement in the stock market has, however, slowed action on the commission’s recommendations.
Economists have taken the initiative in making policy recommendations for social security, while sociologists have aimed more to defend the current system against attacks. More than sociologists, economists tend to view the low rates of return on old-age contributions and the work disincentive effects of social assistance with alarm. Sociologists, in contrast, highlight the threats of privatization to social equality and universalism in public benefits (Minkler and Estes 1991), the government’s role in social protection (Quadagno 1996), and the widespread sense of generational solidarity that citizens share in their attitude toward Social Security (Bengtson and Achenbaum 1993). Their contribution will continue to come from studies of the consequences of varied social security policies across the high-income nations for social equality (Esping-Andersen 1990; Korpi and Palme 1998), generational relations (Cohen 1993; Marmor et al. 1994; Myles and Quadagno 1991; Pampel 1994), and economic well-being (Rainwater and Rein 1993; Crystal and Waehrer 1996).
(SEE ALSO: Government Regulation; Public Policy Analysis;
Retirement; Social Gerontology)
REFERENCES
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Achenbaum, W. Andrew 1986 Social Security: Visions and Revisions. Cambridge, UK: Cambridge University Press.
——— 1989 ‘‘Public Pensions as Intergenerational Transfers in the United States.’’ In Paul Johnson, Christoph Conrad, and David Thomson, eds., Workers versus Pensioners: Intergenerational Justice in an Aging World. Manchester, UK: Manchester University Press.
Aldrich, Jonathan 1982 ‘‘The Earnings Replacement Rate of Old-Age Benefits in Twelve Countries, 1969– 80.’’ Social Security Bulletin 445(12):3–11.
Bengtson, Vern L., and W. Andrew Achenbaum, eds. 1993 The Changing Contract across Generations. New York: Aldine de Gruyter.
Cates, Jerry R. 1983 Insuring Inequality: Administrative Leadership in Social Security, 1935–53. Ann Arbor: University of Michigan Press.
Cohen, Lee M., ed. 1993 Justice across Generations: What Does it Mean? Washington DC: Public Policy Institute, American Association of Retired Persons.
Coughlin, Richard M. 1980 Ideology, Public Opinion, and Welfare Policy. Berkeley: Institute of International Studies, University of California.
Crystal, Steven, and K. Waehrer, 1996 ‘‘Later-Life Economic Inequality in Longitudinal Perspective.’’ Journal of Gerontology: Social Sciences 51B:S307–S318.
Danziger, Sheldon, Robert H. Haverman, and Robert Plotnick 1981 ‘‘How Income Transfer Programs Affect Work, Savings, and the Income Distribution: A Critical Review.’’ Journal of Economic Literature
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Esping-Andersen, Gosta 1985 ‘‘Power and Distributional Regimes.’’ Politics and Society 14:222–255.
———1989 ‘‘The Three Political Economies of the Welfare State.’’ Canadian Review of Sociology and Anthropology 26:10–35.
———1990 The Three Worlds of Welfare Capitalism. Princeton, N.J. Princeton University Press.
Glazer, Nathan 1988 The Limits of Social Policy. Cambridge, Mass.: Harvard University Press.
Goldthorpe. John H. 1984 ‘‘The End of Convergence: Corporatist and Dualist Tendencies in Modern Western Societies.’’ In John H. Goldthorpe, ed., Order and Conflict in Contemporary Capitalism. Oxford, UK: Clarendon.
Graebner, William 1980 A History of Retirement. New Haven, Conn: Yale University Press.
Hicks, Alexander, Duane Swank, and Martin Ambuhl 1989 ‘‘Welfare Expansion Revisited: Policy Routines and Their Mediation by Party, Class, and Crisis, 1959–1982.’’ European Journal of Political Research
4:401–430.
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Jenkins, J. Craig, and Barbara G. Brents 1989 ‘‘Social Protest, Hegemonic Competition, and Social Reform: A Political Struggle Interpretation of the Ori-
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gins of the American Welfare State.’’ American Sociological Review 54:891–909.
Kingson, Eric R., and Edward D. Berkowitz 1993 Social Security and Medicare: A Policy Primer. Westport, Conn.: Auburn House.
Korpi, Walter 1989 ‘‘Power, Politics, and State Autonomy in the Development of Social Citizenship: Social Rights during Sickness in Eighteen Countries since 1930.’’ American Sociological Review 54:309–328.
———, and Joachim Palme 1998 ‘‘The Paradox of Redistribution and Strategies of Equality: Welfare State Institutions, Inequality, and Poverty in the Western Countries.’’ American Sociological Review
63:661–687.
Kotlikoff, Laurence J. 1992 Generational Accounting: Knowing Who Pays, and When, for What We Spend. New York: Free Press.
Levy, Frank 1987 Dollars and Dreams: The Changing
American Income Distribution. New York: Russell Sage
Foundation.
Light, Paul 1985 Artful Work: The Politics of Social Security Reform. New York: Random House.
Marmor, Theodore R., Jerry L. Mashaw, and Philip L. Harvey 1990 America’s Misunderstood Welfare State: Persistent Myths, Enduring Realities. New York: Basic Books.
———, Timothy M. Smeeding, and Vernon L. Greene, eds. 1994 Economic Security and Intergenerational Justice: A Look at North America. Washington D.C.: Urban Institute.
Marshall, T. H. 1964 Class, Citizenship, and Social Developnient. Chicago: University of Chicago Press.
Midgley, James 1984 Social Security, Inequality, and the Third World. New York: Wiley.
Minkler, Meredith, and Carroll L. Estes, eds. 1991 Critical Perspectives on Aging: The Political and Moral Economy of Growing Old. Amityville N.Y.: Baywood.
Munnell, Alice H. 1977 The Future of Social Security. Washington D.C.: Brookings Institution.
Myers, Robert J. 1981 Social Security, Rev. ed. Homewood, Ill.: Irwin.
Myles, John 1984 Old Age in the Welfare State: The Political Economy of Public Pensions. Boston: Little, Brown.
———, and Jill Quadagno, eds. 1991. States, Labor Markets, and the Future of Old Age Policy. Philadelphia: Temple University Press.
O’Connor, James 1973 The Fiscal Crisis of State. New York: St. Martin’s.
Organization for Economic Cooperation and Development 1988 The Future of Social Protection. OECD
Social Policy Studies No. 6. Paris: Organization for Economic Cooperation and Development.
Orloff, Ann Shola 1993 ‘‘Gender and the Social Rights of Citizenship: The Comparative Analysis of Gender Relations and Welfare States.’’ American Sociological Review 58:303–328.
———, and Theda Skocpol 1984 ‘‘Why Not Equal Protection? Explaining the Politics of Public Social Spending in Britain, 1900–1911, and the United States, 1880–1920s.’’ American Sociological Review 49:725–750.
Pampel, Fred C. 1994 ‘‘Population Aging, Class Context, and Age Inequality in Public Spending.’’ American Journal of Sociology 100:153–195.
———, and John B. Williamson 1989 Age, Class, Politics, and the Welfare State. Cambridge, UK: Cambridge University Press.
———, ———, and Robin Stryker 1990 ‘‘Class Context and Pension Response to Demographic Structure.’’
Social Problems 37:535–550.
Preston, Samuel H. 1984 ‘‘Children and the Elderly: Divergent Paths for America’s Dependents.’’ Demography 21:435–457.
Quadagno, Jill S. 1984 ‘‘Welfare Capitalism and the Social Security Act of 1935.’’ American Sociological Review 49:632–647.
———1988 The Transformation of Old Age Security: Class and Politics in the American Welfare State. Chicago: University of Chicago Press.
———1996 ‘‘Social Security and the Myth of the Entitlement Crisis.’’ The Gerontologist 36:391–399.
Rainwater, Lee, and Martin Rein 1993 ‘‘Comparing Economic Well-Being of Older Men in Six Countries.’’ In A. B. Atkinson and Martin Rein, eds., Age, Work and Social Security. New York: St. Martins.
Rimlinger, Gaston 1971 Welfare Policy and Industrialization in Europe, America, and Russia. Toronto: Wiley.
Schulz, James 1988 The Economics of Aging. Dover, Mass.:
Auburn House.
Sherman, Sally R. 1987 ‘‘Fast Facts and Figures about Social Security.’’ Social Security Bulletin 50(5):5–25
Simmons, Leo 1960 ‘‘Aging in Preindustrial Societies.’’ In Clark Tibbits, ed., Handbook of Social Gerontology. Chicago: University of Chicago Press.
Skocpol, Theda, and John Ikenberry 1983 ‘‘The Political Formation of the American Welfare State in Historical and Comparative Perspective.’’ Comparative Social Research 6:87–148.
Smeeding, Timothy, Barbara Boyle Torrey, and Martin Rein 1988 ‘‘Patterns of Income and Poverty: The Economic Status of Children and the Elderly in Eight Countries.’’ In John L. Palmer, Timothy Smeeding,
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and Barbara Boyle Torrey, eds., The Vulnerable. Washington D.C.: Brookings Institution.
Stephens, John D. 1979 The Transformation from Capitalism to Socialism. London: Macmillan.
Social Security Administration 1985 Social Security throughout the World. Washington D.C. U.S. Government Printing Office.
——— 1989 ‘‘Actuarial Status of the OASI and DI Trust Funds.’’ Social Security Bulletin 52(6):2–7.
Thurow, Lester C. 1996 The Future of Capitalism. New York: William Morrow.
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3:217–272.
Treas, Judith 1983 ‘‘Trickle-Down or Transfers? Postwar Determinants of Family Income Inequality.’’ American Sociological Review 48:546–559.
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Wilensky, Harold 1975 The Welfare State and Equality. Berkeley: University of California Press.
Williamson, John B. 1997 ‘‘A Critique of the Case for Privatizing Social Security.’’ The Gerontologist 37:561–571.
———, Linda Evans, and Lawrence Powell 1982 The Politics of Aging. Springfield, Ill.: Charles C Thomas.
Wolff, Nancy 1987 Income Redistribution and the Social Security Program. Ann Arbor: University of Michigan Press.
FRED C. PAMPEL
SOCIAL STRATIFICATION
In all complex societies, the total stock of valued resources is distributed unequally, with the most privileged individuals and families receiving a disproportionate share of power, prestige, and other valued resources. The term ‘‘stratification system’’ refers to the constellation of social institutions that generate observed inequalities of this sort. The key components of such systems are (1) the institutional processes that define certain types of goods as valuable and desirable, (2) the rules of allocation that distribute those goods across various positions or occupations (e.g., doctor, farmer, ‘‘housewife’’), and (3) the mobility mechanisms that link individuals to positions and generate
unequal control over valued resources. The inequality of modern systems is thus produced by two conceptually distinct types of ‘‘matching’’ processes: The jobs, occupations, and social roles in society are first matched to ‘‘reward packages’’ of unequal value, and the individual members of society then are allocated to the positions defined and rewarded in that manner.
There are, of course, many types of rewards that come to be attached to social roles (see Table 1). The very complexity of modern reward systems arguably suggests a multidimensional approach to understanding stratification in which analysts specify the distribution of each of the valued goods listed in Table 1. Although some scholars have advocated a multidimensional approach of this sort, most have opted to characterize stratification systems in terms of discrete classes or strata whose members are similarly advantaged or disadvantaged with respect to various assets (e.g., property and prestige) that are deemed fundamental. In the most extreme versions of this approach, the resulting classes are assumed to be real entities that predate the distribution of rewards, and many scholars therefore refer to the ‘‘effects’’ of class on the rewards that class members control (see the following section for details).
The goal of stratification research has thus devolved to describing the structure of these social classes and specifying the processes by which they are generated and maintained. The following types of questions are central to the field:
1.What are the major forms of class inequality in human history? Is such inequality an inevitable feature of human life?
2.How many social classes are there? What are the principal ‘‘fault lines’’ or social cleavages that define the class struc-
ture? Are those cleavages strengthening or weakening with the transition to advanced industrialism?
3.How frequently do individuals cross occupational or class boundaries? Are educational degrees, social contacts, and ‘‘individual luck’’ important forces in matching individuals to jobs and class positions? What other types of social or institutional forces underlie occupational attainment and allocation?
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Types of Assets, Resources, and Valued Goods Underlying Stratification Systems
Asset Group |
Selected Examples |
Relevant |
|
1.Economic |
Ownership of land, farms, factories, professional practices, |
Karl Marx, Erik Wright |
|
|
|
businesses, liquid assets, humans (i.e., slaves), labor power (e.g., serfs) |
|
2. |
Political |
Household authority (e.g., head of household); |
Max Weber, Ralf Dahrendorf |
|
|
workplace authority (e.g., manager); party and societal authority |
|
|
|
(e.g., legislator); charismatic leader |
|
3. |
Cultural |
High-status consumption practices; “good manners”; privileged lifestyle |
Pierre Bourdieu, Paul DiMaggio |
4. |
Social |
Access to high-status social networks, social ties, |
W. Lloyd Warner, James Coleman |
|
|
associations and clubs, union memberships |
|
5. |
Honorific |
Prestige; “good reputation”; fame; deference and derogation; |
Edward Shils, Donald Treiman |
|
|
ethnic and religious purity |
|
6. |
Civil |
Rights of property, contract, franchise, and membership |
T H. Marshall, Rogers Brubaker |
|
|
in elective assemblies; freedom of association and speech |
|
7. |
Human |
Skills; expertise; on-the-job training; experience; |
Kaare Svalastoga, Gary Becker |
|
|
formal education; knowledge |
|
Table 1
4.What types of social processes and state policies maintain or alter racial, ethnic, and sex discrimination in labor markets? Have these forms of discrimination been weakened or strengthened in the transition to advanced industrialism?
5.Will stratification systems take on new and distinctive forms in the future? Are the stratification systems of modern societies gradually shedding their distinctive features and converging toward a common (i.e., postindustrial) regime?
These questions all adopt a critical orientation to human stratification systems that is distinctively modern in its underpinnings. For the greater part of history, the existing stratification order was regarded as an immutable feature of society, and the implicit objective of commentators was to explain or justify that order in terms of religious or quasi-religious doctrines. During with the Enlightenment, critical ‘‘rhetoric of equality’’ gradually emerged and took hold, and the civil and legal advantages of the aristocracy and other privileged status groupings were accordingly challenged. After these advantages were largely eliminated in the eighteenth and nineteenth centuries, that egalitarian ideal was extended and recast to encompass not only such civil assets voting rights but also economic assets in the form of land, property, and the means of production. In its most radical form,
this economic egalitarianism led to Marxist interpretations of human history, and it ultimately provided the intellectual underpinnings for socialism. While much of stratification theory has been formulated in reaction against these early forms of Marxist scholarship, the field shares with Marxism a distinctively modern (i.e., Enlightenment) orientation that is based on the premise that individuals are ‘‘ultimately morally equal’’ (see Meyer 1994, p. 733; see also Tawney 1931). This premise implies that issues of inequality are critical in evaluating the legitimacy of modern social systems.
BASIC CONCEPTS
The five questions outlined above cannot be addressed adequately without first defining some of the core concepts in the field. The following definitions are especially relevant:
1.The degree of inequality in a given reward or asset (e.g., civil rights) depends on its dispersion or concentration across the individuals in the population. Although many scholars attempt to capture the overall level of societal inequality in a single parameter, such attempts obviously are compromised insofar as some types of rewards are distributed more equally than others are.
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2.The rigidity of a stratification system is characterized by the continuity over time in the social standing of its members. If the current wealth, power, or prestige of individuals can be predicted accurately on the basis of their prior statuses or those of their parents, then there is much class reproduction and the stratification system is accordingly said to be rigid.
3.The process of stratification is ascriptive to the extent that traits present at birth (e.g., sex, race, ethnicity, parental wealth, nationality) influence the subsequent social standing of individuals. In modern societies, ascription of all kinds usually is seen as undesirable or ‘‘discriminatory,’’ and much state policy is therefore directed toward fashioning a stratification system in which individuals acquire resources solely by means of their own achievements.
4.The degree of status crystallization is characterized by the correlations among the assets listed in Table 1. If these correlations are strong, the same individuals (i.e., the ‘‘upper class’’) will consistently appear at the top of all status hierarchies, while other individuals (i.e., the ‘‘lower class’’) will consistently appear at the bottom of the stratification system.
These four variables can be used to characterize differences across societies in the underlying structure of stratification. As the discussion below reveals, there is great cross-societal variability not only in the types of inequality that serve as the dominant stratifying forces but also in the extent of such inequality and the processes by which it is generated, maintained, and reduced.
FORMS OF STRATIFICATION
It is useful to begin with the purely descriptive task of classifying the various types of stratification systems that have appeared in past and present societies. Although the staple of modern classification efforts has been the tripartite distinction between class, caste, and estate (e.g., Svalastoga 1965), there is also a long tradition of Marxian typological work that introduces the additional categories of primitive communism, slave society, and socialism (Marx [1939] 1971; Wright 1985). As is shown in
Table 2, these conventional approaches are largely but not entirely complementary, and it is therefore possible to fashion a hybrid classification that incorporates most of the standard distinctions (see Kerbo 1991 for related work).
For each of the stratification forms listed in Table 2, it is conventionally assumed that certain types of assets emerge as the dominant stratifying forces (see column 2) constitute the major axis around which social classes, strata, or status groupings are organized (see column 3). If this assumption holds, the rigidity of stratification systems can be indexed by the amount of class persistence (see column 5) and the degree of crystallization can be indexed by the correlation between class membership and each of the assets listed in Table 1 (see column 6). The final column in Table 2 rests on the further assumption that stratification systems have reasonably coherent ideologies that legitimate the rules and criteria by which individuals are allocated to positions in the class structure (see column 7).
The first panel in Table 2 pertains to the ‘‘primitive’’ tribal systems that dominated human society from the beginning of human evolution until the Neolithic revolution of 10,000 years ago. Although tribal societies assumed various forms, the total size of the distributable surplus was in all cases limited, and this cap on the surplus placed corresponding limits on the overall level of economic inequality. Also, customs such as gift exchange, food sharing, and exogamy were practiced commonly in tribal societies and had some redistributive effects. In fact, many observers (e.g., Marx [1939] 1971) treated these societies as examples of ‘‘primitive communism,’’ since the means of production (e.g., tools and land) were owned collectively and other types of property were distributed evenly among tribal members. This does not mean that a perfect equality prevailed; after all, the more powerful medicine men (i.e., shamans) often secured a disproportionate share of resources, and the tribal chief could exert considerable influence on political decisions. However, these residual forms of power and privilege were never inherited directly and typically were not allocated in accordance with such simple ascriptive traits as ethnicity, race, or clan. The main pathway to political office or high status and prestige was through superior skills in hunting, magic, or leadership (see Lenski 1966 for further details). While
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Basic Parameters of Stratification for Eight Ideal-Typical Systems
System |
Principal |
Major Strata |
Inequality |
Rigidity |
Crystallization |
Justifying |
|
Assets |
or Classes |
|
|
|
Ideology |
(1) |
(2) |
(3) |
(4) |
(5) |
(6) |
(7) |
|
|
|
|
|
|
|
A. Hunting and |
|
|
|
|
|
|
gathering society |
|
|
|
|
|
|
1. Tribalism |
Human |
Chiefs, shamans, |
Low |
Low |
High |
Meritocratic |
|
(hunting and |
and other tribe |
|
|
|
selection |
|
magic skills |
members |
|
|
|
|
B. Horticultural and |
|
|
|
|
|
|
agrarian society |
|
|
|
|
|
|
2. Asiatic mode |
Political |
Officeholders |
High |
Medium |
High |
Tradition |
|
(i.e., incumbency |
and peasants |
|
|
|
and religious |
|
of state office) |
|
|
|
|
doctrine |
3. Feudalism |
Economic (land |
Nobility, clergy, |
High |
Medium-high |
High |
Tradition |
|
and labor power) |
and commoners |
|
|
|
and Roman |
|
|
|
|
|
|
Catholic doctrine |
4. Slavery |
Economic |
Slave owners, |
High |
Medium-high |
High |
Doctrine of |
|
(human property) |
slaves, “free men” |
|
|
|
natural and |
|
|
|
|
|
|
social inferiority |
|
|
|
|
|
|
(of slaves) |
5. Caste society |
Honorific and |
Castes and |
High |
High |
High |
Tradition and |
|
cultural (ethnic purity |
subcastes |
|
|
|
Hindu religious |
|
and “pure” lifestyles) |
|
|
|
|
doctrine |
C. Industrial society |
|
|
|
|
|
|
6. Class |
Economic |
Capitlaists and |
Medium-high |
Medium |
High |
Classical |
system |
(means of production) |
workers |
|
|
|
liberalism |
7. State |
Political (party and |
Managers and |
Low-medium |
Low-medium |
High |
Marxism and |
socialism |
workplace authority) |
managed |
|
|
|
Leninism |
8. “Advanced” |
Human |
Skill-based |
Medium |
Low-medium |
Medium |
Classical |
industrialism |
(i.e., education, |
occupational |
|
|
|
liberalism |
|
expertise) |
groupings |
|
|
|
|
Table 2
meritocratic forms of allocation often are seen as prototypically modern, they were present in an incipient form at very early stages of societal development.
With the emergence of agrarian forms of production, the economic surplus became large enough to support more complex systems of stratification. The ‘‘Asiatic mode,’’ which some commentators regard as a precursor of advanced agrarianism, is characterized by (1) the absence of strong legal institutions recognizing private property rights (with village life taking on a correspondingly communal character), (2) a state elite that extracts the surplus agricultural production through rents or taxes and expends it on ‘‘defense, opulent living, and the construction of public works’’ (Shaw 1978, p. 127), and (3) a constant flux in elite personnel
resulting from ‘‘wars of dynastic succession and wars of conquest by nomadic warrior tribes’’ (O’Leary 1989, p. 18). This mode thus provides the conventional example of how a ‘‘dictatorship of officialdom’’ can flourish in the absence of private property and a well-developed proprietary class. The parallel with modern socialism looms so large that various scholars have suggested that Marx downplayed the Asian case for fear of exposing it as a ‘‘parable for socialism’’ (Gouldner 1980, pp. 324–352).
Whereas the institution of private property was underdeveloped in the East, the ruling class under Western feudalism was very much a propertied one. The distinctive feature of feudalism was the institution of personal bondage; that is, the nobility not only owned large estates, farms, or
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manors but also held legal title to the labor power of its serfs (Table 2, line B3). If a serf fled to the city, this was considered a form of theft: the serf was stealing the portion of his or her labor power owned by the lord (Wright 1985, p. 78). As such, the statuses of serf and slave differ only in degree, with slavery constituting the ‘‘limiting case’’ in which workers lose all control over their own labor power (line B4). At the same time, it would be a mistake to reify this distinction, since the history of agrarian Europe reveals ‘‘almost infinite gradations of subordination’’ (Bloch 1961, p. 256) that blur the conventional dividing lines between slavery, serfdom, and freedom. While the slavery of Roman society provides the best example of complete subordination, some slaves in the early feudal period were bestowed with ‘‘rights’’ of real consequence (e.g., the right to sell surplus product), and some nominally free men were obliged to provide rents or services to a manorial lord. The social classes that emerged under European agrarianism thus were structured in quite diverse ways, but in all cases rights of property ownership were firmly established and the life chances of individuals were defined largely by their control over property in its differing forms. Unlike the ideal-typical Asiatic case, the nation-state was peripheral to the feudal stratification system, since the means of production (i.e., land and humans) were controlled by a proprietary class that emerged independently of the state.
The historical record shows that agrarian stratification systems were not always based on strictly hereditary forms of inequality (Table 2, panel B, column 5). The case of European feudalism is especially instructive in this regard, since it suggests that stratification systems often become more rigid as the underlying institutional forms mature and take shape (Mosca 1939; Kelley 1981). Although it is well known that feudalism after the twelfth century (i.e., ‘‘classical feudalism’’) was characterized by a ‘‘rigid stratification of social classes’’ (Bloch 1961, p. 325), the feudal structure appears to have been more permeable in the period before the institutionalization of the manorial system and the associated transformation of the nobility into a legal class. In this transitionary period, access to the nobility was not legally restricted to the offspring of nobility and marriage across classes or estates was not prohibited, at least not formally. The case of ancient Greece provides
a complementary example of a relatively open agrarian society. As Finley (1960) and others have noted, the condition of slavery was heritable under Greek law, yet manumission (the freeing of slaves) was so common that the slave class had to be replenished constantly with new captives secured through war or piracy.
The most extreme examples of hereditary closure are found in caste societies (Table 2, line B5). While some scholars have argued that American slavery had ‘‘caste-like features’’ (Berreman 1981), it is Hindu India which clearly provides the defining case of caste organization. The Indian caste system is based on (1) a hierarchy of status groupings (i.e., castes) that are ranked by ethnic purity, wealth, and access to goods or services, (2) a corresponding set of ‘‘closure rules’’ that forbid all forms of intercaste marriage or mobility and thus make caste membership both hereditary and permanent, (3) a high degree of physical and occupational segregation enforced by elaborate rules and rituals governing intercaste contact, and (4) a justifying ideology (Hinduism) that successfully induces the population to regard such extreme forms of inequality as legitimate and appropriate. What makes this system distinctive is not only its welldeveloped closure rules but also the fundamentally honorific (and noneconomic) character of the underlying social hierarchy. As is indicated in Table 2, the castes of India are ranked on a continuum of ethnic and ritual purity, with the highest positions in the system reserved for castes that prohibit behaviors that are seen as dishonorable or ‘‘polluting.’’ In some circumstances, castes that acquired political and economic power eventually advanced in the status hierarchy, yet they usually did so after mimicking the behaviors and lifestyles of higher castes.
The defining feature of the industrial era (Table 2, panel C) has been the emergence of egalitarian ideologies and the consequent ‘‘delegitimation’’ of the extreme forms of stratification found in caste, feudal, and slave systems. This can be seen in the European revolutions of the eighteenth and nineteenth centuries that pitted the egalitarian ideals of the Enlightenment against the privileges of rank and the political power of the nobility. In the end, these struggles eliminated the last residue of feudal privilege, but they also made new types of inequality and stratification possible. Under the class system that ultimately emerged (line C6), the
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estates of the feudal era were replaced by purely economic groups (i.e., ‘‘classes’’) and the old closure rules based on hereditary principles were supplanted by formally meritocratic processes. The resulting classes were neither legal entities nor closed status groupings; consequently, the emergent class-based inequalities could be represented and justified as the natural outcome of economic competition among individuals with differing abilities, motivation, or moral character (i.e., ‘‘classical liberalism’’). This class structure had such a clear ‘‘economic base’’ (Kerbo 1991, p. 23) that Marx ([1894] 1972) of course defined classes in terms of their relationship to the means of economic production. The precise contours of the industrial class structure are nonetheless a matter of continuing debate; for example, a simple (‘‘vulgar’’) Marxian model focuses on the cleavage between capitalists and workers, whereas more refined Marxian and neo-Marxian models identify additional intervening or ‘‘contradictory’’ classes (Wright 1985) and other (non-Marxian) approaches represent the class structure as a continuous gradation of socioeconomic status or ‘‘monetary wealth and income’’ (Mayer and Buckley 1970, p. 15).
Regardless of the relative merits of these models, the ideology underlying the socialist revolutions of the nineteenth and twentieth centuries was explicitly Marxist. The intellectual heritage of these revolutions and their legitimating ideologies ultimately can be traced to the Enlightenment; that is, the egalitarianism of the Enlightenment was still very much in force, but now it was deployed against the economic power of the capitalist class rather than against the status and honorific privileges of the nobility. The evidence from eastern Europe and elsewhere suggests that these egalitarian ideals were only partially realized. In the immediate postrevolutionary period, factories and farms were collectivized or socialized and fiscal and economic reforms were instituted expressly to reduce income inequality and wage differentials among manual and nonmanual workers. Although these egalitarian policies subsequently were weakened or reversed through the reform efforts of Stalin and others, this does not mean that inequality on the scale of prerevolutionary society was ever reestablished among rank-and-file workers. At the same time, it has long been argued that the socialization of productive forces did not have the intended effect of empowering workers,
since the capitalist class was replaced by a ‘‘new class’’ of party officials and managers who continued to control the means of production and allocate the resulting social surplus. This class has been variously identified with intellectuals or the intelligentsia (e.g., Gouldner 1979), bureaucrats or managers (e.g., Rizzi 1985), and party officials or appointees (e.g., Djilas 1965). Whatever the formulation adopted, the assumption is that the working class ultimately lost out in contemporary socialist revolutions, just as it did in the so-called bourgeois revolutions of the eighteenth and nineteenth centuries.
Whereas the means of production were socialized in the revolutions in eastern Europe and the former Soviet Union, the capitalist class remained largely intact throughout the process of industrialization in the West. The old propertied class may, however, be weakening in the West and the East alike as a postindustrial service economy diffuses and technical expertise emerges as a ‘‘new form of property’’ (Berg 1973, p. 183). It follows that human and cultural capital may be replacing economic capital as the principal stratifying force in advanced industrial society (Table 2, line C8). According to Gouldner (1979) and others (e.g., Galbraith 1967), a dominant class of cultural elites is emerging in the West, much as the transition to state socialism allegedly generated a new class of intellectuals in the East. This does not mean that all theorists of advanced industrialism posit a grand divide between the cultural elite and a working mass. In fact, some commentators (e.g., Dahrendorf 1959, pp. 48–57) have argued that skill-based cleavages are crystallizing throughout the occupational structure, resulting in a continuous gradation or hierarchy of socioeconomic classes. In nearly all models of advanced industrial society, it is further assumed that education is the principal mechanism by which individuals are sorted into such classes, and educational institutions thus serve in this context to ‘‘license’’ human capital and convert it to cultural currency.
SOURCES OF STRATIFICATION
Although the preceding sketch indicates that a wide range of stratification systems emerged over the course of human history, it remains unclear whether some form of stratification or inequality is an inevitable feature of human society. In ad-
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dressing this question, it is useful to consider the functionalist theory of Davis and Moore (1945), which is the best-known attempt to understand ‘‘the universal necessity which calls forth stratification in any system’’ (p. 242). The starting point for any functionalist approach is the premise that all societies must devise some means to motivate the best workers to fill the most important and difficult occupations. This ‘‘motivational problem’’ can be addressed in a variety of ways, but the simplest solution may be to construct a hierarchy of rewards (e.g., prestige, property, power) that privileges the incumbents of functionally significant positions. As noted by Davis and Moore (1945, p. 243), this amounts to setting up a system of institutionalized inequality (i.e., a ‘‘stratification system’’), with the occupational structure serving as a conduit through which unequal rewards and perquisites are disbursed. The stratification system therefore may be seen as an ‘‘unconsciously evolved device by which societies insure that the important positions are conscientiously filled by the most qualified persons’’ (Davis and Moore 1945, p. 243). Under the Davis–Moore formulation, it is claimed that some form of inequality is needed to allocate labor efficiently, but no effort is made to specify how much inequality is sufficient for this purpose. The extreme forms of stratification found in existing societies may well exceed the ‘‘minimum . . . necessary to maintain a complex division of labor’’ (Wrong 1959, p. 774).
The Davis–Moore hypothesis has come under criticism from several quarters. The prevailing view among postwar commentators is that the original hypothesis cannot adequately account for inequalities in ‘‘stabilized societies where statuses are ascribed’’ (Wesolowski 1962, p. 31). Whenever vacancies in the occupational structure are allocated on purely hereditary grounds, there is no need to attend to the ‘‘motivational problems’’ that Davis and Moore (1945) emphasized, and one cannot reasonably argue that the reward system is serving its putative function of matching qualified workers to important positions. It must be recognized, however, that a purely hereditary system is rarely achieved in practice; in fact, even in the most rigid caste societies, talented and qualified individuals typically have some opportunities for upward mobility. Under the Davis–Moore formulation (1945), this slow trickle of mobility is regarded as so essential to the functioning of the
social system that elaborate systems of inequality have evidently been devised to ensure that the trickle continues. Although the Davis–Moore hypothesis therefore can be used to explain stratification in societies with some mobility, the original hypothesis becomes wholly untenable in societies with complete closure (if such societies could be found).
The functionalist approach also has been criticized for neglecting the ‘‘power element’’ in stratification systems. It has long been argued that Davis and Moore (1945) failed ‘‘to observe that incumbents [of functionally important positions] have the power not only to insist on payment of expected rewards but to demand even larger ones’’ (Wrong 1959, p. 774). In this regard, the stratification system may be seen as self-reproducing: The holders of important positions can use their power to influence the distribution of resources and preserve or extend their own privileges. It would be difficult, for instance, to account fully for the advantages of feudal lords without referring to their ability to enforce their claims through moral, legal, and economic sanctions. The distribution of rewards thus reflects not only the ‘‘latent needs’’ of the larger society but also the balance of power among competing groups and their members.
Whereas the early debates addressed conceptual issues of this kind, subsequent researchers shifted their emphasis to constructing ‘‘critical tests’’ of the Davis–Moore hypothesis. This research effort continued throughout the 1970s, with some commentators reporting evidence consistent with functionalist theorizing (e.g., Cullen and Novick 1979) and others providing less sympathetic assessments (e.g., Broom and Cushing 1977). The 1980s was a period of relative quiescence, but Lenski (1994) recently reopened the debate by suggesting that ‘‘many of the internal, systemic problems of Marxist societies were the result of inadequate motivational arrangements’’ (p. 57). That is, Lenski argues that the socialist commitment to wage leveling made it difficult to recruit and motivate highly skilled workers, while the ‘‘visible hand’’ of the socialist economy could never be calibrated to mimic adequately the natural incentive of capitalist profit taking. These results lead Lenski to conclude that ‘‘successful incentive systems involve . . . motivating the best qualified people to seek the most important positions’’ (p. 59). It remains to be seen whether this reading of
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the socialist ‘‘experiments in destratification’’ (Lenski 1978) will generate a new round of functionalist theorizing and debate.
THE STRUCTURE OF MODERN
STRATIFICATION
The recent history of stratification theory is in large part a history of debates about the contours of class, status, and prestige hierarchies in advanced industrial societies. These debates may appear to be nothing more than academic infighting, but among the participants they are treated as a ‘‘necessary prelude to the conduct of political strategy’’ (Parkin 1979, p. 16). For instance, considerable energy has been devoted to drawing the correct dividing line between the working class and the bourgeoisie, since the task of identifying the oppressed class is seen as a prerequisite to devising a political strategy that might appeal to it. In such mapmaking efforts, political and intellectual goals are often conflated and debates in the field are accordingly infused with more than the usual amount of scholarly contention. While these debates are complex and wide-ranging, it will suffice here to distinguish between four major schools of thought.
Marxists and Post-Marxists. The debates within the Marxist and neo-Marxist camps have been especially contentious not only as a result of such political motivations but also because the discussion of class in Capital (Marx [1894] 1972) is too fragmentary and unsystematic to adjudicate between competing interpretations. At the end of the third volume of Capital, one finds the famous fragment on ‘‘the classes’’ (Marx [1894] 1972, pp. 862–863), but this discussion breaks off at the point where Marx appeared to be ready to advance a formal definition of the term. It is clear, nonetheless, that his abstract model of capitalism was resolutely dichotomous, with the conflict between capitalists and workers constituting the driving force behind further social development. This simple two-class model should be viewed as an ideal type designed to capture the developmental tendencies of capitalism; after all, whenever Marx carried out concrete analyses of existing capitalist systems, he acknowledged that the class structure was complicated by the persistence of transitional classes (i.e., landowners), quasi-class groupings (e.g., peasants), and class fragments (e.g., the lumpen
proletariat). It was only with the progressive maturation of capitalism that Marx expected these complications to disappear as the ‘‘centrifugal forces of class struggle and crisis flung all dritte Personen [third persons] to one camp or the other’’ (Parkin 1979, p. 16).
The recent history of modern capitalism suggests that the class structure has not evolved in such a precise and tidy fashion. As Dahrendorf (1959) points out, the old middle class of artisans and shopkeepers has declined in relative size, yet a new middle class of managers, professionals, and nonmanual workers has expanded to occupy the vacated space. The last fifty years of neo-Marxist theorizing can be seen as the intellectual fallout from this development, with some commentators attempting to minimize its implications and others putting forward a revised mapping of the class structure that explicitly accommodates the new middle class. In the former camp, the principal tendency is to claim that the lower sectors of the new middle class are in the process of being proletarianized, since ‘‘capital subjects [nonmanual labor] . . . to the forms of rationalization characteristic of the capitalist mode of production’’ (Braverman 1974, p. 408). This line of reasoning suggests that the working class may gradually expand in relative size and therefore regain its earlier power.
At the other end of the continuum, Poulantzas (1974) has argued that most members of the new intermediate stratum fall outside the working class proper, since they are not exploited in the classical Marxian sense (i.e., surplus value is not extracted). This approach may have the merit of keeping the working class conceptually pure, but it reduces its size to ‘‘pygmy proportions’’ (see Parkin 1979, p. 19), and hence dashes the hopes of those who see workers as a viable political force in advanced industrial society. There is, then, much interest in developing class models that fall between the extremes advocated by Braverman (1974) and Poulantzas (1974). For example, the neo-Marxist model proposed by Wright (1978) describes an American working class that is acceptably large (approximately 46 percent of the labor force), yet the class mappings in this model still pay tribute to the various cleavages and divisions among workers who sell their labor power. That is, professionals are placed in a distinct ‘‘semi-autonomous class’’ by virtue of their control over the work process, while upper-level supervisors are located in a ‘‘mana-
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