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EUI Working Paper SPS No. 96/9

In a Permanent State of Transition Theorising the East European Condition

ArpAd Sza k o lc za i

EUI WORKING PAPERS

© The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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EUROPEAN UNIVERSITY INSTITUTE 3 0001 0026 6951 5 © The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research

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E U R O P E A N U N IV E R S IT Y IN S T IT U T E , F L O R E N C E

D E P A R T M E N T OF P O L IT IC A L A N D S O C IA L SCIENCES

EUI Working Paper SPS No. 96/9

In a Permanent State o f Transition: Theorising the East European Condition

Ar p Ad Sz a k o l c z a i

S &

EU

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B A D IA F IE S O L A N A , S A N D O M E N IC O (F I) © The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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N o part o f this paper may be reproduced in any form without permission o f the author.

© Arp&d Szakolczai Printed in Italy in May 1996 European University Institute

Badia Fiesolana I - 50016 San Domenico (F I) Italy © The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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T h e aim o f this p a p er is to re fle c t th e o retica lly on the cu rrent East-Central European "situ ation". Before proceedin g, h ow ever, it is necessary to make two cla rifyin g comm ents. First, it is evid en tly true that no g e n era lly va lid theoretical fram ew ork can be applied to all countries o f the region, due to their differen ces. Still, both a som ew hat sim ilar h istorical path b efore VV.W.I1 and esp ecia lly the co m m on ex p e rie n c e o f com m u n ism w arrants the search fo r a com m on in terp reta tive fram ew ork, even though exceptions must be ackn ow led ged. Second, the aim is not to p ro v id e an abstract theory , but to present th eoretical reflections that take th eir point o f d e p a r tu r e in p e r s o n a l e x p e r ie n c e s . A c c o r d in g to the m e th o d olo gic a l p ersp ective to w hich this p a p er belon gs to, and w hich can be m arked by the names o f W eber, Simmel, Goffm an, Foucault, Elias and V o eg elin , am on g others, thou gh n ot that o f D urkheim , H aberm as and Marx, it is o n ly in this m an n er that e x is te n tia lly re le v a n t k n o w le d g e can be g a in e d a b ou t social processes. This, h ow ever, im plies that the trap o f the irrelevan ce o f scholastic th e o ry has been tra d e d fo r the d a n g e r o f being dependent on an initial configuration.

On the w ord "transition"

In the litera tu re p rod u ced a ro u n d the East European even ts o f 1989, the w o rd "tran sition " n o dou bt played a predom in an t role. It has been im m ed ia tely taken up as the label and was endlessly used in the press, in conferen ces and in course titles. This can also be su pported by its increased use in social science publications. A ccordin g to the SSCI, the w ord occured in about 340-350 titles in each y e a r betw een 1986 and 1989. In 1990 and 1991, there was an im m ed ia te increase to about 400 titles p er year, w h ile from 1992 onw ard, a new eq u ilib riu m p o in t was reached arou n d 570 titles. T h e o v e r a ll in crease in use du e to the 1989 eve n ts is therefore about 66%.

H ow ever, as all fads and fashions, "tra n s ito lo gy" has also had its critics. T h e y cam e from two m ajor sources. In the W est, criticism was e s p e c ia lly stron g a m on g sch olars associated w ith critic a l theory. But East European intellectuals also w on dered w heth er the

© The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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m ain stream paradigm had much use in d es crib in g the actual p r o b le m s a n d t h e ir e x p e r ie n c e s . T h e s e c o n c e rn s w e re p a ra d ig m a tica lly v o iced in a w ell-kn ow n p a p er by D avid Stark w ho d e v e lo p e d the concept o f path d ep en d en cy and suggested to replace "transition" with "transform ation". (1)

This paper argues that in spite o f everyth in g, the term "transition" has a particular relevance fo r the cu rren t East European situation. Th e w ord, how ever, must be first freed from present connotations. W e must start this by a historical re view o f its past usage.

The first thing to notice is that, even though the prom inence o f the w o rd o n ly cam e a fte r 1989, its c a re e r started ea rlier. A lre a d y since the late 1970s, "transition to dem ocra cy" was established as the d o m in an t in paradigm describin g the events in South Europe and then Latin Am erica. This fram ew 'ork was elaborated by such w ell-kn ow n political scientists as Philip Schm itter, A lfre d Stepan and Juan Linz. However, to make things com plicated, in the 1960s, th ere was a n o th e r kind o f lite ra tu re in w h ich "tra n s itio n ", "passage" and sim ilar expressions w ere freq u e n tly used. This was Marxism, both in its classical and neo-M arxist version, though the context and aims w ere v e r y d ifferen t. This indicates that we have to g o fu rth er back in h istory i f w e w ant to understand and go beyon d the current use o f the w ord "transition".

T h e thinking o f historical events as transitions is con n ected to a p a rticu la r p h ilosp h y o f h istory. W ith o u t go in g in to too much historical detail, (2 ) w e can safely anchor this type o f thinking in late Enlightenm ent thought, in its transition from p h ilosop h y to s o c io lo g y . (3 ) T h ere is a d ir e c t passage fro m T u rg o t and Condorcet, through Saint-Simon, to Comte and Spencer, in thinking in term s o f the stages o f h istory. T h e first m a jor in flu en ce on c o n te m p o ra ry teleo lo g ica l th in kin g in term s o f tran sition was therefore Enlightenment thought.

T h e secon d fo llo w s d ir e c tly fro m the p reviou s. Th is was the m anner in w hich Marx took up, am ong others, the w ork o f Saint- Simon and d ev elo p ed his ow n version o f the stages o f h istory and

© The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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-o f the transiti-ons betw een these stages. It was this idea that gave rise to one o f the m ajor lasting scholastic debates in Marxism, the ex citin g th eoretica l qu estion w h eth er the "tra n sito ry " stage o f absolu tism was the last stage o f feu dalism o r a lrea d y the first stage o f capitalism. (4 )

Finally, the third influence on recent theories o f transition was the post-1945 situ a tio n o f d e c o lo n ia lis a tio n . A t that tim e, the discourse was inserted in a liberal-dem ocratic context, assuming that the eco n o m ic and p o litic a l d e v e lo p m e n t o f the fo rm e r colonies w ou ld sim ply follow the Western historical road. (5 )

T h e discou rse o f transition cu rren tly in use is th e refo re d e e p ly ro o ted in a determ inistic, teleo logica l ph ilosoph y o f the stages o f h is to ry that can be lo ca ted at the p o in t o f in te rs e c tio n o f Enlightenm ent, liberal, and socialist thought. It is this m anner o f thinking that w e have to o verc o m e in o rd e r to reflect seriou sly upon the current East European experience as a specific situation o f transition.

Thinking transitions bevond teleology

In o rd e r to d o so, one must go beyon d the hidden assum ptions o f the standard th in kin g on tran sition s in tw o steps. First, an y transitory situation has two limit-points, the starting configuration fro m w hich tran sition started and the en d p o in t to w h ich it proceeds. P rio rity so far has been assigned to the second, w h ile the fo r m e r was o n ly c o n s id e re d as the o ld , the d isc a rd ed . H ow ever, in o u r view , the "o ld " is im p ortan t not s im p ly to the exten t that it p rovid es a "starting poin t" (p ath d ep en d e n c y ), o r that it su rvives in traces eve n in the new, but that em phasis should be placed on the m anner in which a society enters a stage o f transition, on the m odality o f the dislocation, the collapse, the d iss o lu tio n o f the previous o r d e r o f things. In o th er w ords, the p a p er suggests a w h olesale reversal o f the te le o lo g ic a l view : a tra n sitory stage does not com e about because a "n e w " stage o f history' appears on the horizon, superseeding the old, h eralded by a short, tem p o ra ry tran sition p erio d that m ay en ta il certain

© The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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"n ecessary" adju stm ent costs, but can o n ly happen if, by some reason, the o ld o rd er o f things collapses. Once this happens, much o f not o n ly the transition period, but also the eventual outcom e, w ill d ep en d not o n ly on the starting co n figu ra tion , but on the exact circumstances o f the collapse as well. This is the perspective o f the Nietzschean genealogy, with its emphasis on the conditions o f em erg en c e (6 ). T h e teleo lo g ica l v ie w about the p rogress o f history in stages is to be replaced by a view o f history as a series o f d issolu tion o f order. This is also close to the W eberian view o f h istorical d e v e lo p m e n t as a series o f ch arism atic in novation s, fo llo w e d b y the co m p le m en ta ry processes o f rou tinisation and rationalisation . It is the dissolu tion o f o rd e r that com pletes the circle, from routine back to charisma. (7 )

The first suggestion to overcom e the m aistream conceptualisation o f tra n sition s is th e re fo re to c o n c e iv e it as the resu lt o f a dissolution o f order, and not a lin ear historical develop m en t with a desired end-point. Th e second point, conn ected to the first, w ill be that a situ ation o f tra n sition thus com e abou t m ay not necessarily be short. The collapse o f o rd e r is a d ifficu lt challenge, can lead to a serious crisis. Th e answer m ay o n ly com e after a long period o f trials and errors, o r even not at all, as the disappearance o f m any cultures and civilisations dem onstrate it. If the answer to the crisis does not com e quickly, the tem p orary transition period can becom e prolon ged, and a society o r a w h ole civilisa tion may rem ain stuck in a p ro lo n g e d p e rio d o f tran sition , w h e re the temporary', the transitory', the extraordinary', the eph em eral, the em ergen cy becom es standard, normal, regular, taken fo r granted. T h is is exactly' w h at h ap p en ed in the re gio n o f East-Central Europe. If so m any intellectuals reacted so stron gly against the d escrip tio n o f the post-1989 events as a situation o f transition, this was not sim ply because o f the teleological im plications o f the term , but also because they d id not n otice a genu ine break with respect the previous state o f affairs, as they w ere alrea d y livin g in a period o f transition; they have taken this experience as a normal state o f affairs. © The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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-Such a claim abou t a state o f perm an en t transition, instead o f sounding strange, should rath er be considered trivial. First o f all, it is in line w ith the self-description o f the fo rm er regim es. W hile th ey w ere c a lled "C om m u n ist" fro m the ou tsid e, th ey alw ays d es crib e d th em selves as "so cia list", b ein g on the w a y tow ard C om m u nism , but n ot fu lly th ere. (8 ) T h o u g h this m ay be discard ed as just part o f the id e o lo g y o f Com m unism , it h elped m uch to makes sense o f u n in te llig ib le u n d er these regim es. S eco n d , th e e s ta b lis h m e n t o f th e so c ia lis t re g im e a lm o st e v e ry w h e re was p reced e d by a w o rld w ar, a m a jo r p e r io d o f transition and a collapse o f o rd er. One cou ld even argue that the establishm ent o f a com m unist system could o n ly have happened in such a state o f confusion ; and that the pow er, the en ergy o f Comm unism relied upon the a rtificial prolongation o f such a post­ w ar situation. (9 ) Finally, the transitory' situation also a pplies to the Great Crisis o f 1929-1933 that in the region was n ever really s o lved o r stabilised, as it d ir e c tly led to the b u ild in g up o f a m ilita ry industry and W.W.II. Thus, using a not v e r y con troversial series o f argum ents, on e can safely argue that at least since six o r seven decades, the East European region is in a perm anent state o f transition, h aving left a regular state o f affairs and n ever arrivin g to a p o in t o f safe repose that in the "W est" in a certain sense h appen ed, fo r e.g., w ith the New Deal, the Marshall plan, o r the establishm ent o f the EC. (1 0 )

Livin g in a perm an ent state o f transition is a pecu liar experience. Its analysis requires first o f all the realisation, the diagnosis, the re c o g n itio n o f the situation, that can o n ly com e on the basis o f distancing experiences. It also calls fo r a theoretical fram ew ork in w h ich it is possible to re fle c t upon it; that takes the state o f transition seriously. Fortunately, som e m ajor steps have alrea d y been taken in this direction.

© The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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Transition as lim inalitv

In the literatu re on the East European transition process, this has been a tte m p ted b y Zygm u n t Bauman, w h o in an 1992 article ca lled atten tion to the works o f A rn o ld van G ennep and V ictor Turner. (1 1 ) A rn old van Gennep (187 3 -1 9 5 7 ) was an eth nologist w ith an unu su ally in ter-cu ltu ral backgrou nd, (1 2 ) o n e o f the m ain c o n te m p o ra ry o p p o n e n ts o f D u rkh eim , w h o se w orks rem a in ed classics in fo lk lo r studies, but little known elsewhere. (1 3 ) In his main w ork, van G ennep studied the rituals by which in d ivid u a ls passed through the m a jor events o f th eir life (birth, you th to adulthood, m arriage, birth giving, death) in pre-historical societies, and also those by w hich the w h o le com m unity' w ent throu gh its cu ltu rally d efin e d seasons. (1 4 ) In o rd e r to analyse these events, he d e v e lo p e d a d yn a m ic sequence m odel o f three phases, consisting o f the rites o f separation from the routines o f mundane eve ryd a y life; the lim inal position, the actual, suspended w o rld o f the transition rites, and the eventu al rein tegration into the regu lar, n orm al d a ily rou tin e b y the rites o f in corporation . A m o n g the three phases, van G ennep placed the em phasis on the m id d le on e, as he also d e n o te d the first and th ird phases as "p re lim in a l" and "p o stlim in a l" rites. (1 5 ) Th is fra m ew ork was d e v e lo p e d in stark co n trast w ith the D u rkh eim ian (o r neo- Kan tian) reliance upon dichotom ous categories.

Due to the dom in atin g in flu ence o f D urkheim ian sociology, these ideas fa iled to play a m ajor role until they w ere taken up again, in the e a rly 1960s, by the British a n th rop ologist V icto r Turner. The co n d itio n s u n d er w h ich T u rn e r re d is c o v e re d van G en nep are w o r t h m e n tio n in g , g iv e n th e t h e o r e t ic a l- m e t h o d o lo g ic a l p ersp ective o f the paper. In 1963, w h ile T u rn er was transferring fro m M anchester to Cornell U n iversity and, alrea d y having given up his p osition and hom e, u n exp ected ly had to spend a rather len g th y p e rio d w a itin g fo r the a rriva l o f his A m erica n visa, he happened to read van Gennep in a library, and im m ediately made the con n ection betw een his personal exp erien ce and the general th e o re tic a l re leva n c e. From this m om en t, he e la b o ra te d the

© The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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c o n c e p t o f lim in a lity in a series o f th e o re tic a l pa p ers and em pirical investigations. (1 6 )

A ccordin g to Turner, "the essence o f lim inality is to be found in its re le a s e fr o m n o r m a l c o n s tr a in ts , m a k in g p o s s ib le th e decon stru ctio n o f the "u n in terestin g" constru ction s o f com m on sense, the "m ea n in g fu ln e ss o f o r d in a r y life " , d iscu ssed by ph en om en ological sociologists, into cultural units which m ay then be reconstructed in a novel way, some o f them bizarre to the point o f m on strosity ... Lim inality is the dom ain o f the "in terestin g", or o f "uncom m on sense". (1 7 ) Furthermore, the liminal condition not o n ly has an in n o va tive potential, but it also creates a fee lin g o f com m on alty am ong participants that Tu rn er called "com m unitas": "C om m unitas" o r "social antistructure" is a "rela tio n a l q u a lity o f fu ll u n m ed ia ted co m m u n ica tion , eve n co m m u n io n , b etw een d efin ite and determ in ate identities, which arises spontaneously in all kinds o f groups, situations and circum stances. It is a lim inal p h e n o m e n o n w h ic h c o m b in e s th e q u a litie s o f lo w lin e s s , sacredness, h om ogen eity and c o m ra d esh ip .... Com m unitas breaks in to so ciety through the interstices o f structure, in lim in ality; at the edges o f structure, in m arginality; and from beneath structure, in in feriority." (1 8 )

T u rn er's w o rk p rovid es a th e o re tic a lly and c o n c ep tu a lly m ore soph isticated approach than van Gennep's. Yet, fo r the stu dy o f the East European tran sition process, his p ersp ec tiv e must be m o d ifie d . First, as an an th rop ologist, T u rn er assum ed a stable, lasting tra d ition a l o rd e r as the backgrou nd o f a lim in al "crisis" situ a tion . For o u r pu rposes, h o w e v e r, th e sta rtin g p o in t is p ro vid ed not sim ply by a partial and tem p orary suspension o f the re g u la r state o f a ffa irs, but the w h o lesa le d issolu tion o f the existin g o rd e r o f things. Th is has tw o consequences. First, the duration o f the liminal phase is extended. Van Gennep and Tu rn er placed the em phasis on a short lim inal period, as they considered it p a rticu la rly im p ortan t fo r the renewal, the revitalisatio n , the spiritual regen eration o f individu als o r the w h ole com m un ity. In the case o f East-Central Europe, h ow eve r, the lim in a l phase becom es extended, and w h ole societies are captu red in the long

© The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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run in a state o f lim in a lity . (1 9 ) Second, du e to this, the evalu ation o f the regu lar - lim inal cou plet is in verted. T h e search fo r the in n o va tive poten tia l o f lim in ality, the re lie f from the dull rou tines o f the e ve ry d a y , is rep la ced by a lon gin g fo r stability, n orm a lity, regu la rity; fo r the ru le o f fo rm and o rd er. It is not a ccid e n ta l that the fo u n d in g fig u res o f the p h e n o m e lo g ic a l approach w hich is T u rn e r’s c h ie f th eoretical ad versa ry, Husserl a n d Schütz w e re both C en tra l E uropeans o f Jew ish o rig in , th e o ris in g and w a n tin g to escap e th e ir at o n ce lim in a l and m arginal position. (2 0 ) The contrasting o f Turner's w ork with that o f the p h e n o m e n o lo g ic a l so cio log ists, fo r the East European situation, by incorporating the conditions o f em ergence o f ideas in a s e lf-r e fle x iv e m an n er, t h e r e fo r e o ffe r s new p o te n tia l fo r thought.

In spite o f the in n o va tive poten tial o f the idea, Bauman's article fa iled to accom plish a breakthrough. This m ay have had several reasons. It cam e a bit too late, when the con ven tion a l use o f the term has b ecom e c o n s o lid a ted a lre a d y fo r the re gio n . It also a r r iv e d ju st at the m o m en t w h en the w o rd tra n sitio n was a tta ck ed fr o m the p e r s p e c tiv e o f "tr a n s fo r m a tio n ". But a th eoretica lly m ore pertin en t reason m ay have been that Bauman com bin ed lim in a lity w ith the discourse o f social classes. However, i f a lim inal situation can be characterised b y the break-up o f the existing, stable arrangements, then the language o f "m assification" (M a n n h e im ), o f the flu id , e v e n sim p listic (2 1 ) elite-m ass distinction seems to be m ore applicable than the language o f class structure that assumes long term stability.

Transitions and elites

Th is holds true fo r both sides o f the elite-m ass d ich otom y. First, m asses as such n o rm a lly d o n ot exist in h istory. In regu lar, o r d e r ly situations, a so ciety is d iv id e d in to stable grou p s like classes, castes, o r orders (Stande). Masses o n ly com e into existence in period s o f dissolu tion o f ord er. (2 2 ) Even m ore im p ortan tly, situations o f transition enhance the role o f the elite; in lin e with the p re v io u s co n s id era tio n s, o n e can e v e n cla im th a t such

© The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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-situations create the elite, a kind o f leadership that is not based on establish ed, a scribed social positions, but that has been c a lle d fo rth by the special qu alities o f single individuals, the a b ility to solve new, extraordinary, em ergen cy situations. (2 3 )

In sum, a dissolu tion o f o rd e r and the p erio d o f transition that follow s alters fu n dam en tally the stratification o f a society goin g throu gh such a specific situation. It breaks dow n a crucial part o f th e e s ta b lis h e d o r d e r o f th in g s , th e s y stem o f s o cia l d ifferen tia tio n , by levellin g large groups o f peop le into a m ore o r less an o n ym o u s mass, and b y liftin g up a certain n u m ber o f in dividu als into special, elected positions, w ho are called forth to p ro vid e re lie f and guidance fo r the population at large, m ade into a mass, under conditions o f crisis and distress. (2 4 )

In ligh t o f this fact, it is not surprising that the study o f elites has becom e w idesp read a fter 1989. (2 5 ) This paper does not want to argu e again st the use o f the term elite, ra th er p o in ts ou t an elem en t o f reality' that has been o verlo o k ed so far. Th e problem is not that there is an excessive reliance on elite politics, but that the region suffers from the opposite sickness, a serious lack o f elite. If a situation o f transition, especially a state o f perm anent transition calls especially fo r the presence o f an elite, then the region suffers from the fact that it does not possess genuine elites.

W e can repeat the same claim that has been vo iced b efore about the diagn osis o f a perm an en t transition: though it m ay sound surprising, it is alm ost self-eviden t. T h e regio n can not h ave an e lite , as in th e past 50-6 0 y e a rs, the ex istin g e lite s w ere elim in ated in series o f waves, and everyth in g was done to preven t the possibility o f an elite form ation.

T h e historical facts are w ell-know n. T h e transition to m o d ern ity presented a d ifficu lt challenge to the ruling orders and classes in an y cou ntry. The m ore w e go tow ard the East, the less successful was the response, im p ly in g that starting from G erm an y, but esp ecia lly in the Eastern part o f Europe, foreign n ationalities and eth nic grou ps pla yed an increasing role, took up elite positions.

© The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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Th is first created tensions, and then co n tribu ted to the fact that the su fferin gs and the consequences o f W .W .Ii (the Holocaust, the rep atriation o f Germans, and the w aves o f em igration ) hurt these countries especially deeply. But this was o n ly the beginning. These losses w ere d ee p en ed and in a wav- m ade irre v e rs ib le by the com m unist strategy that aim ed at the systematic elim ination o f all th e so cia l elites, in clu d in g , as a last step, the e lite o f the Com m unist party' itself. Th ou gh in itself this could have rem ained a single blow, the Comm unist party' consolidated and m ade all but irreversib le the destruction o f the elite, the regen erative capacity o f a s o c ie ty b y in sta llin g in th e lo n g run the p rocess o f counterselection by which it ensured that the leading positions in these countries w ould be filled by peop le w ho show not so much a p a rtic u la r a b ility , but lo y a lity to the party'. T h is m ade the fo r m a tio n o f an e lit e d o u b ly , fo r m a lly and s u b s ta n tiv e ly im p ossible. Form ally, because those p e o p le had to accep t an im possible m echanism o f selection, the m echanism that selected them : and substantively, as it im plied that a m ajor criterion o f the elite, its eth ica l co m p osu re and in d ep en d en cc e w o u ld n ot be guaranteed.

One co u ld say that this represents a biased d escrip tio n o f elite selection u nder Com m unism ; that on the one hand, m an y able in d ividu als w ere p rom oted to in flu en tia l positions; and on the oth er, there w ere p eo p le w ho a c tiv e ly and even p u blicly resisted the regim e, an "alternative elite". These two categories became the strongholds o f the reform com m unists and the dissidents, the two grou ps that, indeed, have p la yed an im portan t role in 1989 and becam e cen tral figures after. (2 1 ) H ow ever, these grou ps could n ot d e v e lo p in to a gen u in e elite. Som ethin g fu n dam en tal was m issing in them - an absence w hose tragic consequences w e are o n ly just now beginning to see.

A 1942 a rticle o f the perhaps best known 20th cen tu ry non- M arxist Hungarian thinker, Istvan Bibo can help us to see better co n cern in g this point. (2 2 ) A c c o rd in g to him, the "calm and crea tive" a ctivity o f the elite requ ires two things: the existence o f a social consensus behind the elite selection mechanisms, and the

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11

-actual assignm ent o f m em bers o f the elite to the p rop er places in the social structure. Bibo fu rth erm ore stated that the perform ance o f his tasks requires that the elite be self-confident, self-conscious and im p artial, w ith o u t being co n ceited . In sum, the e lite o f a so ciety can o n ly p e rfo rm its tasks if it is given stable and calm co n d itio n s fo r its a ctivity, and if his values, his "chosenness" is gen era lly recognised both by the others and by itself. (23)

it d oes not requ ire much space to argue that none o f this existed du rin g the past 50-60 years in East Europe - it also follow s from the previous considerations o f the paper. T h e selection criteria fo r the actual lea d in g strata w ere n ot recogn ised co m m on ly, able people did not gain positions, therefore they did not have a proper security and self-con fidence (th e y lacked it o r had an excess), and th e ir p o ssib le s e lf-id e n tific a tio n as a p o te n tia l e lite was not m atched by a public recognition either. Th e long durance o f such a situation w ith ou t an elite, just like the co n d itio n o f a perm anent transition, does not sim ply disturb the hearts and minds o f people and im p airs the solu tion o f cu rren t problem s, but u ltim a tely seriou sly en dangers even the v ita lity o f a given society, its ab ility to solve the problem s it encounters. (2 4 )

A last rem ark

A re gio n in a state o f a perm an ent transition w ith o u t a p ro p e r e lite that co u ld gu id e it to safer w aters do es n ot g iv e a v e r y prom isin g sight. Th e nature o f the p roblem explains that it is not possible to com e up with quick and easy suggestions fo r solution. T h e p a p er o n ly hopes that it m ay contribu te to the recogn ition o f the p rob lem and help to orien t thinking tow ard the establishm ent o f those co n d itio n s o f sta b ility that are necessary to en d the perm anent state o f transition.

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N o te s

(1 ) David Stark, 'Path Dependence and Privatization Strategies in East Central Europe'. East European Politics and Societies 6

(1 9 9 2 ), 1:17-54. See also Laszlo Bruszt, 'Tran sform ative Politics: Social Cost and Social Peace in East Central Europe', in the same issue, pp.55-72.

(2 ) Th e historical origins o f this thinking can be located in the secularisation o f Christian teleology. Pre-Christian secular concepts o f h istory w ere dom in ated by the m ythical, cyclical vie w o f history', according to w hich history does not go ahead, but passes through a certain fixed set o f patterns. An ea rly version o f this view', w h ere the m ythical im pact is still visible, can be seen in Plato's Republic , Book 9. Th e same view' is still present in Vico's New S cien ce. It is im portant to em phasise that up to the

Enlightenment, secular philosophies o f history' always rem ained cyclical, "pagan" (another exam ple could be the thought o f M ach iavelli), w h ile lin ear d evelop m en tal teleo lo g y was always restricted to d ifferen t, orthodox o r heretic Christian currents. About this, see Eric V oegelin, The New Science o f Politics (Chicago,

Chicago U niversity Press; 1953), Reinhard Koselleck,'"Neuzeit’': Remarks on the Semantics o f the M o d em Concepts o f M ovem ent', in Futures Past: On the Semantics o f Historical Time (Cambridge,

MA, Th e M IT Press, 1985), and Karl Lowith, Meaning in History

(Chicago, Chicago University' Press: 1949). For an opposite view poin t, see Hans Blumenberg, The Legitimacy o f the Modern Age (Cam bridge, MA, The M IT Press, 1985).

(3 ) See G eo ffrey Hawthorn, Enlightenment and Despair: A History o f Social T h e o ry , 2nd ed. (Cam bridge U niversity Press,

1987).

(4 ) See fo r e.g. the works o f Perry A nderson and Maurice Dobb. (5 ) For political science, see the recent revisitation o f the concept o f "political develop m en t" in M yron W einer and Samuel P. Huntington (eds) Understanding Political Development (Boston,

Little, Brown & Co, 1987); fo r econom ics, see the classic w ork o f W alt W. Rostow, The Stages o f Economic Growth (Cam bridge

U niversity Press, 1960).

(6 ) See the Genealogy o f Morals (N.Y., Vintage, 1966 [1887])

Preface, No.6. © The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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13

-(7 ) This points to the tight connections between Nietzsche and W eber. A fte r decades o f neglect, the extent to w hich Nietzsche was a fo rm a tive in flu ence on W eb er is by now w ell established in the literature; fo r the best accounts, see W ilhelm Hennis, 'Th e Traces o f N ietzsche in the W ork o f Max W eber', in Max W eber Essays in Reconstruction (London, A llen & Unwin, 1988), and

Lawrence Scaff, 'From Political Econom y to Political Sociology': Max W eber's Early W ritings', in Ronald M. Glassman and V atro M urvar (eds.), Max Weber's Political Sociology (W estport, Ctc, Greenwood

Press, 1984). H ow ever, the argum ent can even be m ade even stron ger by dem onstrating the tight links betw een the dynam ics o f W eber's life-w orks and his read in g o f N ietzsche. A d etailed analysis could show that the posthumous publications o f Nietzsche's works, especially the Will to Power and Ecce Homo

w ere m ajor instrum ents in W eber's re c o v e ry a fter his illness (1 9 0 1 ), and his relapse (1908).

(8 ) One o f the best known jokes about Communism is a perfect illustration o f the perm anent state o f lim inality. Th e joke is told in endless varieties. Accordin g to one, the participants o f a party- reunion in a rem ote district w ere rep ea ted ly told by the com rade from the Central Com m ittee that Communism is already on the horizon. T h ey d id not understand the w ord, but w ere afraid to ask questions. A t hom e, they im m ediately picked up the dictionary', o n ly to d iscover the follow in g definition: horizon - som ething the

closer w e get to it, the m ore it recedes.

(9 ) See Jan T. Gross, 'Social Consequences o f Was: Preliminaries to the Study o f Im position o f Comm unist Regimes in East Central Europe', East European Politics and Societies 3 (198 9), 2: 198-214;

and Agnes Horvath, 'Konfliktus nelkiili teriilet' (A rea w ithout conflict), manuscript, 1993.

(1 0 ) One should em phasise that the differen ce between East and W est Europe even in this respect is o n ly a m atter o f degree, not o f kind. In fact, the theory o f a perm anent state o f transition,

mutatis mutandis , could be extended even to the "W est” . Such an

analysis could be p erform ed by an explicit elaboration o f som e o f the main u nderlying W eberian m etaphores o f m odernity: the monastery, pilgrim age, and the Crusades Concerning the latter, especial attention is to be paid on the m anner w ar communism, especially the figh tin g orders (those religious o rders that took part a ctively in the Crusades), in flu enced W eber's thinking, especially the d evelop m en t o f his concept o f charisma. Concerning

pilgrim age, it is to be n oted that when V icto r Turne extended his w ork to the West, he focused on the phenom enon o f pilgrim age.

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(1 1 ) Zygm unt Bauman, 'T h e Polish Predicament: A M odel in Search o f Class interests', Telos 1992 (8 2 ): 113-30; fo r a m ore

recent version, see 'A fte r the Patronage State: A M odel in Search o f Class Interests', in G. A. Bryant and Edmund M okrzycki (eds.).

The New Great Transformation? Change and Continuity in East- Central Europe (London, Routledge, 1994).

(1 2 ) Van Gennep was born in W ürttenberg from a Dutch father and a French mother. Though educated in France, he never had a p rop er u niversity career, com bining w ork in French governm ental and cultural organisations with academ ic positions elsew here (he taught in Neuchâtel, O xford and Cam bridge) a bit ressem bling the m ore recent life trajectories o f M ichel Foucault and Philippe Aries. See A rn old Van Gennep, The Semi-Scholars (London, Routledge,

1967), ix-xii.

(1 3 ) This seems to have been a com m on fate o f the intellectual opponents o f Durkheim and his circle. The oth er main figure, the sociologist Gabriel Tarde, has also fallen into an almost com plete o blivion , even though his works had much a ffin itity with the perspective o f Simmel, and w ere indeed used by the Chicago school togeth er w ith Simmel. For a recent resurgence o f interest in Tarde, stim ulated by the works o f D eleuze and Girard, see the Introduction by Bruno Karsenti to the new edition o f Les Lois de l'im itation (Paris, Kimé, 1993 [2nd ed. 1895]) , and the

Introduction by Dom inique Reynié to the new edition o f L'Opinion et la foule (Paris, P.U.F., 1989 [1901]). On the manner in which the

Durkheim school m anaged to build up its own influence within French intellectual life and the w ay it dealt with its opponents, see T erry N. Clark, Prophets and Patrons: The French University' and

the Emergence o f the Social Sciences (H arvard U niversity Press,

1973), especially the story o f the prom otion o f Durkheim's protégé, Bouglé, on pp. 69-71 and 177-8.. This points out a peculiar sim ilarity - not betw een Durkheim and W eber, but a main opponen t o f the latter, Gustav Schmoller. w ho has becom e a "university pope" by getting his students into influential position through his personal contacts in the Prussian m inistry o f

education (about this see Paul Honigsheim, On Max Weber (N.Y.,

Th e Free Press, 1968), pp.5-6).

(1 4 ) A rn old Van Gennep, Les rites de passage (Paris, Picard,

1981 [19 0 9 ]), English translation The rites o f passage published

by U niversity o f Chicago Press, 1960. (1 5 ) Van Gennep, 1960, p. 11. © The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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15

-(1 6 ) See fo r e.g. V ic to r Turner, 'Betwixt and Between: T h e Liminal Period in Rites de Passage ', in The Forest o f Symbols (N.Y., Cornell

U niversity Press, 1987 [1967); The Ritual Process (Chicago,

Aldine, 1969); On the Edge o f the Bush (Tucson, Arizona, Th e

U niversity o f A rizo n a Press, 1985); and V icto r and Edith Turner,

Image and pilgrimage in Christian Culture (N.Y., Columbia U.P.,

1978). Th e story o f the reading experience o f van Gennep is told b y his w ife, Edith Tu rn er in her 'Prologu e' to Turner, 1985. For a critical assessment o f Tu rn er's w ork, see Kathleen M. A sh ley (e d ),

Victor Turner and the Construction o f Cultural Criticism

(Bloom ington, Indiana U niversity Press, 1990). (1 7 ) Turner, 1985, p.160.

(1 8 ) Tu rn er and Turner, 1978: 252-3.

(1 9 ) In his later works, T u rn er extended the con cept o f lim inality to W estern civilisation, talking about "lim in oid" phenom ena, focusing especially on theatre (see fo r e.g. 'Lim inal to Lim inoid, in Play, Flow, Ritual', in From Ritual to Theatre (N.Y., PAJ

Publications, 1982), pp.20-60), and has also introduced the concept o f "perm anent transition" earlier (see The Ritual Process,

pp. 107, 116). This paper argues that in the specific case o f contem porary East-Central Europe, it is necessary to com bin e the two, by returning to the original concept o f lim inality in a m odern setting and in terpretin g it a perm anent state o f lim inality.

(2 0 ) Th ere is a great deal o f sim ilarity between "lim in a lity" and "m arginality". Th e "lim inal" can be conceived o f as a dynam isation o f the "static" term m arginality. A bou t this, see V icto r Turner,

Dramas, Fields and Metaphors (N.Y., Cornell U niversity Press,

1974), p.233.

(2 1 ) A ccordin g to Turner, the sim plification o f social-structural relationships is one o f the fundam ental characteristics o f a liminal position. See Turner, 1985, p.293.

(2 2 ) Th ere is a analogy in the w ay T u rn er’s concept o f lim in ality has an a ffin ity w ith crow ds (carnevals, theaters and pilgrim ages w ere the main crow d events o f the M iddle A ges), and ou r

application o f the concept to a transition follow in g a dissolution o f o rd e r in linked to the em ergence o f massification.

(2 3 ) This em phasis on the individual qualities o f the elite has been singled out by Pareto in his classic writings. This point has

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also played a cen tral role fo r Max W eber. As the notes m ade by Tonn ies during the famous 1917 Lauenstein meetings show, in the first tim e W eb er talked with students in a public m eeting a fter a break o f almost two decades, du rin g the last period o f the war, the central concern fo r W eber, concerning the reconstruction o f Germany, was exactly the qu ality o f leadership, (see Zur Politik im Weltkrieg , Max W eber Gesamtausgabe 1/15 (Tubingen, J.C.B.

Mohr, 1984), p.707. Though often interpreted in the opposite sense, the later d evelop m en ts o n ly p ro ve d how w ell W eber's point was taken.

(2 4 ) Such a situation recalls again Tu rner's characterisation o f lim inality. A ccording to him, in a lim inal situation, "there exists a set o f relations that com pose a social structure o f a v e ry simple kind: between instructors and neophytes there is often com plete au thority and com plete submission; am ong neophytes there is often com plete equ ality", (p.99). It is not accidental that the m em bers o f the com m unist party apparatus w ere called

"instructors". About this, see Agnes Horvath And A rpad Szakolczai,

The Dissolution o f Communist Power (London, Routledge, 1992).

This perspective also helps to shed new light on the period o f totalitarian terror as a special kind o f "initiation rite".

(2 5 ) W hile the w ord "elites" was central to classical sovietology, focussing on the activity o f CP leaders and cadres, and was criticised much by the neglect o f the social dim ension, recently, mainstream political science has abandoned elite theory' fo r the "transition to d em ocracy" fram ew ork, w h ile elite theory' was picked up by sociologists.

(2 6 ) Th e current Hungarian ruling coalition o f the Socialists and the Free Democrats epitom ises w ell this configuration.

(2 7 ) Istvan Bibo, 'Elit es szocialis erzek' (Elite and social

sen sibility), in Valogatott tanulmanyok, I (Selected works, vo l I)

(Budapest, M agveto, 1986), pp. 223-41.

(2 8 ) These points are close to the view s o f the o th er m ajor classic o f elite theory', Gaetano Mosca. See his Elementi di scienza politica ,

especially the tw o-volu m e second edition, published first in 1923, a fter the experience o f W.W.I (Bari Laterza, 1953). For the English version, see The Ruling Class (N.Y., MacGraw-Hill, 1939).

(2 9 ) This is exactly the sense in w hich Nietzsche used the expression "h ostility to life" in The Genealogy o f M ora ls. In fact,

the peculiar twist o f vital statistics in alm ost all countries o f the

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17

-region, the sharp decreases in fertility and increases in mortality rates, con firm in g and not reversing the previous, unique m ortality trends in the region, m ay be a reflections o f this phenom enon. See Nicholas Eberstadt, 'Health and M ortality in Eastern Europe, 1965- 85', Communist Economies 2 (199 0), 3:347-71; James C. Riley,

'T h e Prevalence o f Chronic Diseases during M ortality Increase: Hungary in the 1980s', Population Studies 45 (199 1), 3:489-96;

Juris Krumins and Peteris Zvidrins, 'Recent M ortality T rends in the T h ree Baltic Republics', Population Studies 46 (199 2), 2:259-73;

Nicholas Eberstadt, 'Dem ographic Shocks in Eastern Germany',

Europe-Asia Studies 46 (199 4), 3:519-33; "Central and Eastern

Europe in Transition: Public Policy and Social Conditions." Regional M onitoring Report N o .l, N ovem ber 1993. UNICEF, Florence.

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Sociological History: Theory and Practice

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Roberta S A S S A T E L L I Power Balance in the Consumption Sphere: Reconsidering Consumer Protection Organizations SPS No. 95/6

Stefano B A R T O L IN I

Electoral Competition: Analytical Dimensions and Empirical Problems

SPS No. 95/7

Stefano BARTOLINI/Roberto D ’ A L IM O N T E

Plurality Competition and Party Realignment in Italy: The 1994 Parliamentary Elections

SPS No. 96/1 Yossi SHAVIT/ Karin W ESTERBEEK Stratification in Italy: An Investigation o f Failed Reforms SPS No. 96/2

Adrienne HÉRITIER

The Accommodation o f Diversity in European Policy Making and its Outcomes: Regulatory Policy as a Patchwork * out of prim © The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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SPS No. 96/3 Daniel VERDIER

Gerschenkron on his Head: Banking Structures in 19th- Century Europe, North America, and Australasia

SPS No. 96/4 Daniel VERDIER

Democratization and Trade Liberalization in Industrial Capitalist Countries

SPS No. 96/5 Daniel VERDIER

Democratic Convergence and Free Trade

SPS No. 96/6 Christian JOPPKE

Nation-Building after World War Two: Postcolonialism,

Postcommunism, and Postfascism Compared

SPS No. 96/7 Takis S. PAPPAS

Grand Design, Narrow Choices: Conservatives and Democracy in Southern Europe

SPS No. 96/8

Aipâd SZ A K O LC ZA I/Lâszl6 FÜSTÛS

Value Systems in Axial Moments: A Comparative Analysis of 24 European Countries

SPS No. 96/9

Arpâd S ZA K O L C ZA I

In a Permanent State of Transition: Theorising the East European Condition * out of print © The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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© The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research

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© The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research Repository.

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© The Author(s). European University Institute. version produced by the EUI Library in 2020. Available Open Access on Cadmus, European University Institute Research

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