The Cruel Choice: A New Concept in the Theory of Development

Table of contents :
Introduction 3
THE REBIRTH OF MORAL PHILOSOPHY 3
THE CONTEXT OF CHANGE 13
I / The Development Experience
1 The Shock of Underdevelopment 23
INERTIA AND COMPLACENCY 25
THE RUDE AWAKENING 28
2 Vulnerability, the K ey to Understanding and Promoting Development 38
THE VULNERABILITY OF THE WEAK 38
THE VULNERABILITY OF THE POWERFUL 51
AN ILLUSTRATIVE CASE: ITAPARICA 57
3 Development Goals: Promise Versus Performance 60
PLANS 61
AID DOCUMENTS 66
UNITED NATIONS DOCUMENTS 69
W HY THE GAP? 73
A CRITIQUE OF GOALS 83
4 Development as D ialectical Process 96
THE MEANING OF “DIALECTICAL” 98
THE DIALECTICS OF DEVELOPMENT IO I
II / Ethical Strategies Jor Development
5 General Requirements h i
Contents
6 Three Strategic Principles 12 3
f ir s t p r i n c i p l e : t o “h a v e e n o u g h ” i n o r d e r “ t o
BE MORE” 128
SECOND p r i n c i p l e : UNIVERSAL SOLIDARITY 138
THIRD PRINCIPLE: BROAD POPULAR PARTICIPATION IN
DECISIONS 144
7 Development Planning as D ialogue C53
THE PLANNER ’S OCCUPATIONAL HAZARDS 154
AN ALTERNATIVE: THE CAILLOT FORMULA l 6l
DEVELOPMENT POLES 164
THE DIFFUSION OF RESPONSIBILITY 167
8 Technical Cooperation in a New K ey 170
THE NATURE OF TECHNICAL TRANSFERS I 7I
DEFICIENCIES OF THE PRESENT SYSTEM 174
WORLD DEVELOPERS 178
9 Existence Rationality and the Dynam ics of V alue
Change 187
EXISTENCE RATIONALITY l 88
THE R E PR ES E N T A T IV E OF MARGINALS I$ 2
GYPSIES 195
IMPLICATIONS FOR RESEARCH 203
IMPLICATIONS FOR PLANNING 206
III / What Kind o f Development?
10 Anti-Developm ent and the Constraints upon D evelopment 215
ANTI-DEVELOPMENT 2 l6
SOURCES OF ANTI-DEVELOPMENT 22J
THE CONSTRAINTS 225
11 The Dimensions of Authentic Development 235
A THEORY OF NEEDS 236
DEVELOPMENT’S THREE DIMENSIONS 249
XIV
Contents
12 W orld Resources and Priority Needs 273
ECOLOGICAL CONTROL 27J
THE REQUIREMENTS OF OPTIM UM RESOURCE USE 2

Citation preview

The Cruel Choice

DENI S

GOULET

The Cruel Choice A New Concept in the Theory o f Development

C E N T E R F O R TH E ST U D Y OF D E V E L O PM E N T A N D SO C IA L C H A N G E Cambridge, Massachusetts

NEW YORK

Atheneum

1971

Portions of Chapter Three appeared originally in “Development for What?” by Denis A. Goulet in Comparative Political Studies, Volume I, Number 2 (July 1968), and are reprinted by permission of the publisher, Sage Publications, Inc. Copyright © 1971 by Denis Goulet All rights reserved Library of Congress catalog card number 73-145632 Published simultaneously in Canada by McClelland and Stewart Ltd. Manufactured in the United States of America by H. Wolff, New York Designed by Kathleen Carey First Edition

To Ana Maria, Andrea, and Sinane

PREFACE

The aim of this work is to thrust debates over economic and social development into the arena of ethical values.1 I state my own values explicitly so as to elicit from others further reflection, criticism, and experimentation. The premise underlying this work is that, for de­ veloped and underdeveloped societies alike, basic questions are neither economic, political, nor technological, but moral. What is the good life and what is the good society in a world of mass technology and global interdependence? Is fullness of good compatible with abundance of goods? Is human development something more than a systemic combination of modern bureaucracy, efficient technology, and pro­ ductive economy? I have studied the ethics of development by allying empirical ob­ servation, and experiences as a planner and anonymous participant in underdeveloped communities, to reflection on the findings of social scientists and on the testimony of “ simple folk” as well. This latter source is invaluable; indeed, I share Danilo Dolci’s view “that no study from the outside can equal the value of self-examination by a popula­ tion.” 2 M y theoretical analysis rests on two concepts: “ vulnerability” and “ existence rationality.” Vulnerability is exposure to forces one cannot control. In the present context it is the inability of underde­ veloped societies to determine the outcome of their own responses to pressing social forces. To state that “ vulnerability” is the key to under­ standing underdevelopment and promoting development is to imply that the diverse worlds of experience, symbol, and social structure can be fruitfully integrated around this concept. Moreover, “ vulnerability” provides a frame for viewing underdevelopment as an initial condition, and development both as change process and as terminal state. Vulner­ ability is expressed in the failure of many low-income countries to meet their development goals, and in the bitter harvest of mass aliena1 For the meaning of terms, cf. Appendix I, “The Terms ‘Ethics’ and ‘De­ velopment.’ ” 2Danilo Dolci, The Man Who Plays Alone (Pantheon, 1968), Introduction, p. x.

Preface

tion in certain societies where prosperity has already been achieved. “Existence rationality,” in turn, designates the strategies employed by all societies to process information and make practical choices de­ signed to assure survival and satisfy their needs for esteem and free­ dom. These strategies vary widely and are conditioned by numerous constraints. “ Existence rationality” is central to my claim that certain universal goals are common to developed and non-developed societies alike. Hence, under present constraints and levels of information, development is pursued or rejected depending on whether or not change is thought to enhance sustenance, esteem, and freedom. Vulnerability and existence rationality are closely linked. To the extent that a society is vulnerable to worldwide ecological, symbolic, and social forces, to that same degree are the constraints surrounding its “ existence rationality” increased. It is likewise with the ability to process information: groups which are technologically less vulnerable have greater capacities than others to process the information relevant to their survival and the satisfaction of perceived needs. B y centering his analysis on these two constructs one confers upon the development experience its full historical significance. Techno­ logical modernization, economic advance, and social transformation never occur in a historical vacuum. Centers of innovation, diffusion, and control exist whence flow certain stimuli; and it matters greatly at what time and in which space— geographical, political, and cultural — a society first launches its quest for “ development.” The present book, accordingly, analyzes diverse vulnerabilities and existence ra­ tionalities of societies in terms of a normative question which is central to development— namely: what are the requirements of the good life and of the good society in the modern world? A dialectical rhythm courses through this study. Powerful countries must become vulnerable in order to achieve reciprocity with weaker partners suffering from structurally imposed vulnerability. Austerity can be imposed on the poor only if it is also assumed by the rich. A cultural revolution must take place inside developed countries if under­ developed countries are to succeed in their own cultural revolution. M y basic contention is that prevailing images of development are de­ fective and that the standard view of its proper means and goals is erroneous. Not ethical theorists alone, but all those concerned with development must consider new possibilities. The vulnerability concept is central to my critique of development’s goals and to its presentation as a confiictual process. Since developviii

Preface

ment experiences are rooted in history, the traumatic character of much initial change also needs to be explained. A ny development ethic would be sterile, of course, unless it offered strategies for action. Ethics will be judged, finally, not on the elegance of its analysis, but on the realism of its prescriptions. The specific ethical strategies for development here proposed con­ form to three regulative principals expounded in Chapter 6. There­ after, the endless task is to thrust theory out toward the farthest frontiers of practice so as to generate critical conscience and the marriage of efficiency with justice. This essay is neither a manual nor a textbook. Although numerous development problems raise ethical issues and call for appropriate strategies, no attempt has been made to be exhaustive. Accordingly, the reader will search in vain for a detailed population strategy, al­ though the ecological implications of demography are discussed briefly in Chapter 12. The moral issues here are now evident: rational population policies must be tailored to differing needs of societies. Nevertheless, even massive birth control does not obviate the need for resource planning, selective investment, sound educational strate­ gies, incentive strategies respectful of popular wishes, and, above all, for the elimination of structures of domination. Population control, in short, is no panacea. Similarly, no formal treatment is given in this book to other important questions such as: which levels of tech­ nology ought to be adopted by economies now entering an industrial phase— vanguard technologies, advanced, intermediate, or newly ob­ solete technologies? Or what is the content of good interdisciplinary pedagogy for “ developers” ? Each of these themes— and many others — would require a lengthy book. Because of their urgency, however, illustrative strategies have been outlined in three domains: democratic planning, technical coopera­ tion, and the creation of value change. Planning is democratic when it is controlled by, and responsive to, all persons affected by its de­ cisions. Technical cooperation comes about when transfers of tech­ nological skills or information are achieved without producing or con­ solidating the dominant position of the more “ advanced” partner. Finally, changes in value must be obtained in a certain manner and in a proper sequence. Discussion of these three issues comprises much of the middle portion of this book. What kind of development would result from adopting these strate­ gies? Certainly not existing models of “ development,” since much of IX

Preface

what goes by that name is anti-development! What, then, constitutes authentic development? And how can world resources be used to meet the priority needs of all men? Finally, do ethicists have anything to say to revolutionaries who despair of all solutions short of guerrilla action? These are the questions treated in the book’s final chapters. In three appendices the terms “ ethics” and “ development” are defined, the influence of moral values on political power is discussed, and a method for conducting research on value changes is outlined. Development ethics borrows freely from the work of economists, political scientists, sociologists, planners, and spokesmen for other disciplines. Although each discipline supplies its own definition of development, ethics places all definitions in a broad framework wherein development means, ultimately, the quality of fife and the progress of societies toward values capable of expression in various cultures. Along with the late L. J. Lebret, I view development as a complex series of interrelated change processes, abrupt and gradual, by which a population and all its components move away from patterns of life perceived in some significant way as “less human” toward alternative patterns perceived as “more human.” How development is gained is no less important than what benefits are obtained at the end of the development road. In the process new solidarities, extend­ ing to the entire world, must be created. Moreover, cultural and eco­ logical diversity must be nurtured. Finally, esteem and freedom for all individuals and societies must be optimized. Although develop­ ment can be studied as an economic, political, educational, or social phenomenon, its ultimate goals are those of existence itself: to pro­ vide all men with the opportunity to five full human lives. Thus under­ stood, development is the ascent of all men and societies in their total humanity. This book was commissioned by the Center for the Study of De­ velopment and Social Change (Cambridge, Massachusetts), whose financial help from August 1968 through January 1969 is gratefully acknowledged. A n evaluation session organized by Center Director James Lamb around the initial outline proved helpful. I take this opportunity to thank all participants, as well as Denise Dreher for secretarial help. Later chapters of the manuscript were written during my stay as Visiting Fellow (February through July 1969) at the Center for the Study of Democratic Institutions in Santa Barbara, California. The Center provided a unique arena for stimulating dialogue on the book’s

x

Preface

major issues. Its secretarial staff aided cheerfully in typing several versions of the manuscript, but special thanks are due to Florence Givens for sustained attention to my typing needs. Financial assistance from the Research Institute for the Study of Man and the Sheinbaum Foundation enabled me to make extensive final revisions. Valuable suggestions have come from many colleagues. I am espe­ cially grateful to Joao da Veiga Coutinho and to Sheldon Gellar for criticizing several versions of the manuscript. Helpful comments have also come from A . A . Fatouros, William Gorman, Allen D. Grimshaw, Everett E. Hagen, Benjamin Higgins, Albert O. Hirschman, Irving Louis Horowitz, Ivan D. Illich, H. Merrill Jackson, Neil H. Jacoby, Helio Jaguaribe, Ileana Marculescu, Francisco Suarez, Marco Walshok and Donald P. Warwick. Since all suggestions were received in the same spirit of independence with which they were made, I bear full responsibility for the text as it now stands.

xi I

CONTENTS

3

Introduction THE REBIRTH OF MORAL PHILOSOPHY THE CONTEXT OF CHANGE

I 1

2

3

4

/

13

The Development Experience

T he Shock of Underdevelopm ent

23

INERTIA AND COMPLACENCY

25

THE RUDE AWAKENING

28

Vulnerability, the K e y to Understanding and P ro­ moting D evelopm ent

38

THE VULNERABILITY OF THE WEAK

38

THE VULNERABILITY OF THE POW ERFUL

51

AN ILLUSTRATIVE CASE: ITAPARICA

57

Developm ent G oals: Promise Versus Perform ance

60

PLANS

61

AID DOCUMENTS

66

UNITED NATIONS DOCUMENTS

69

W H Y THE GAP?

73

A CRITIQUE OF GOALS

83

D evelopm ent as D ialectical Process

96

THE M EANING OF “DIALECTICAL”

98

THE DIALECTICS OF DEVELOPMENT

II 5

3

/

IO I

Ethical Strategies Jor Development

G eneral Requirem ents

h i

Contents

6

12 3

Three Strategic Principles f ir s t

p r in c ip l e

:

to

“h a v e

enough”

in

order

“to

128

BE MORE” SECOND

p r in c ip l e

: UNIVERSAL SOLIDARITY

138

THIRD PRINCIPLE: BROAD POPULAR PARTICIPATION IN

144

DECISIONS

7

8

9

THE PLANNER’S OCCUPATIONAL HAZARDS

154

AN

l

ALTERNATIVE:

11

THE

CAILLOT

FORM ULA

6l

DEVELOPMENT POLES

164

THE DIFFUSION OF RESPONSIBILITY

167

T ech nical Cooperation in a N ew K ey

170

7I

THE NATURE OF TECHNICAL TRANSFERS

I

DEFICIENCIES OF THE PRESENT SYSTEM

174

WORLD DEVELOPERS

178

Existence R ationality and the D ynam ics of V alu e C hange

187

88

EXISTENCE RATIONALITY

l

THE R E P R E S E N T A T IV E OF MARGINALS

I$ 2

GYPSIES

195

IMPLICATIONS FOR RESEARCH

203

IMPLICATIONS FOR PLANNING

206

III 10

C53

D evelopm ent Planning as D ialogue

/

What Kind o f Development?

A nti-D evelopm ent and the Constraints upon D e ­ velopm ent

215

ANTI-DEVELOPM ENT

2 l6

SOURCES OF ANTI-DEVELOPM ENT

22J

THE CONSTRAINTS

225

T h e Dimensions of A uthentic D evelopm ent A THEORY

OF NEEDS

DEVELOPM ENT’S THREE DIMENSIONS

XIV

235 236 249

Contents

12

13

W orld Resources and Priority Needs

273

ECOLOGICAL CONTROL

27 J

THE REQUIREMENTS OF O PTIM UM RESOURCE USE

2