Social Exclusion and Social Capital: A Comparison and Critique
Author(s): Mary Daly and Hilary Silver
Source: Theory and Society, Vol. 37, No. 6 (Dec., 2008), pp. 537-566
Published by: Springer
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TheorSoc (2008) 37:537-566
DOI 10. 1007/s11186-008-9062-4
Social exclusionand social capital: / comparison
and critique
Mary Daly • HilarySilver
Publishedonline:18 April2008
Science+ BusinessMedia B.V. 2008
© Springer
AbstractSocial exclusionandsocialcapitalarewidelyusedconceptswithmultiple
Theirmeanings
andindicators
andambiguousdefinitions.
partially
overlap,andthus
used
the
are
sometimes
to
refer
to
inter-relations
of economy
interchangeably
they
and society.Bothideas couldbenefitfromfurther
and
differentiation.
specification
The causesof socialexclusionand theconsequencesof socialcapitalhavereceived
to therelativeneglectof theoutcomesof social exclusion
thefullestelaboration,
and the genesis of social capital. This articleidentifiesthe similaritiesand
betweensocialexclusionand socialcapital.We comparetheintellectual
differences
ofeachterm,
orientations
theirempirical
histories
andtheoretical
manifestations
and
theirplaceinpublicpolicy.The articlethenmoveson toelucidatefurther
eachsetof
is thattheconflation
ofthesenotionspartlyemergesfrom
ideas.A centralargument
but
also
from
insufficient
oftheprocessesin
a sharedtheoretical
tradition,
theorizing
is implicated.A numberof suggestionsare made for
whicheach phenomenon
theirexplanatory
better
betweencause
focus,in particular
differentiating
sharpening
and consequence,contextualizingsocial relationsand social networks,and
subjectingthe policy 'solutions'thatfollow fromeach perspectiveto critical
of
scrutiny.
Placingthetwo in dialogueis beneficialforthefurther
development
each.
M. Daly(El)
Schoolof Sociology,Social Policyand Social Work,Queen's University,
Ireland
BelfastBT7 INN, Northern
e-mail:[email protected]
H. Silver
Box 1916 MaxcyHall, Providence,
of Sociology,BrownUniversity,
Department
RI 02912, USA
e-mail:[email protected]
& Springer
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538
TheorSoc (2008) 37:537-566
In bothnationaland international
in the
interest
policycircles,thereis increasing
In reaction
to thelimitations
confluence
ofsocialandeconomicphenomena.
ofstrict
neo-liberal
andof the"Washingon consensus,"1
and
bureaucrats,
theory
politicians,
academicsare rethinking
theways in whicheconomiclifeintertwines
withsocial
structures
and practices.Social excl sion and social capital are the two most
that are providingframeworks
for re-envisioning
the
prominent
terminologies
interrelations
betweeneconomyandsocietyunderconditions
ofsocialchange.They
are influential
in different
locations.Social exclusionis prominent
in debatesin
and
Latin
whereas
is
framework
social
the
America,
Europe
capital
preferred
in
the
States
and
United
countries.
concept
developing
ofthesetermsabound.Kadushinbelievesthattheissuesraisedbysocial
Critiques
areas old as sociology.Anomie,forexample,isjustan earliertermfor
capitaltheory
a lackofsocialcapital.Examining
a rangeofempirical
he suggeststhatthe
findings,
termmaybe unnecessary,
andquestionswhether
is clarified
"thisapparent
potpourri
or mystified
all
these
and
issues
under
the
by placing
phenomena
singleheadingof
'social capital."'2Withrespectto social exclusion,Silverhas similarly
commented
thattheterm"is so evocative,ambiguous,
and
elastic
thatit can
multidimensional,
be definedin manydifferent
Both
terms
are
and
ways."3
polysemic vague.
We contendthatthereis a pressing
needtoclarify
thedefinitions
andindicators
of
these terms,and that contrasting
them is a fruitful
to
this.
way
accomplish
Comparisonshouldrevealmoreclearlytheconstituent
compass,and
assumptions,
theoretical
ofeach.In whatfollows,we drawupontheliteratures
orientation
on both
to
similarities
and
differences.
the
intellectual
histories
We
discuss
concepts identify
ofeachapproach,including
in EuropeanandAmerican
theirrespective
provenances
social thought.
where
do
Then,recognizing
they overlap,we drawa numberof
and
distinctions
between
theterms.4
We go on to clarify
the
conceptual operational
of
with
makers
who
have
each
before
divergent
agendas policy
engaged
concept,
a seriesofconceptual
The articleconcludeswitha
movingon to identify
challenges.
discussionon how theoretical
and empiricalclarification
can proceed.For this
some
are
for
the
made
theoretical
of
purpose,
suggestions
strengthening
propositions
theconceptsindividually
and vis-a-viseach other.
The termdepicts an approach dominantin the discourse and policies of Washington-basedinternational
financialinstitutionsin the 1980s, which advocated forcrisis-riddeneconomies a reformpackage of trade
and financial liberalization,deregulation,privatizationof state enterprises,reductionin public spending,
and macroeconomic adjustment. The term developed especially to highlighta move away from the
interventionist
approach advocated by the World Bank under Robert McNamara. See Ben Fine, Social
Capital versus Social Theory: Political Economy and Social Science at the Turn of the Millenium
(London: Routledge, 2001). See also Francis Fukuyama, "Social capital and development: the coming
agenda," SAIS Review XXI 1/1(Winter-Spring2002): 23-37.
2
Charles Kadushin, "Too much investmentin social capital?" Social Networks261\ (2004): 77.
3
Hilary Silver, "Social exclusion and social solidarity:Three paradigms," InternationalLabour Review
133/5-6 (1994): 536.
4
We recognize thatcomparingand contrastingthe two concepts carriesthe riskof representingthemas if
each were singlyconceptualized. It is obvious to us thattheyare not. We endeavor throughoutto treatthe
two concepts as differentiated,
but forthe kind of comparativeexercise thatis undertaken,it is necessary
to focus on the broad themes and general tendencies in the literaturetaken as a whole.
£>Springer
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TheorSoc (2008) 37:537-566
539
Conceptualand otherconvergences
intellectual
Social exclusionand social capitaleach have multiple(if differing)
genealogies(see Fig. 1).
in
social exclusiondrawsupona diverseset of roots.Originating
Theoretically,
under
of
and
in
the
1970s
in
the
France
diffusing
rapidly Europe,mainly
patronage
the EU, and more recentlyin Latin Americaas an extensionof the studyof
withfullparticipation
in all aspects
is concerned
theframework
"marginalization,"
can be tracedto a
of social lifeas an end in itself.The concept'scentralreferents
in Europe,in particular,
thathavebeeninfluential
numberof politicalphilosophies
FromFrench
and social democracy.5
social Catholicism,
FrenchRepublicanism,
of
the
role
the
stateas the
an
of
takes
the
understanding
Republicanism, concept
and socialCatholic
of socialdemocratic
The influence
of social solidarity.
architect
redistributive
state
is to be seen in theconcept'sinterest
in, respectively,
thought
social
ties
and
and
of
the
and
obligations.The
strength familial,group,
policies
but
social
as
delimited
ills
not
social
views
problems, as partof the
clearly
concept
that
of
relation
social
fundamental
most
belongingor not belongingto one's
can
take many forms:abandonment,
the
social
bond
of
The
rupture
society.6
As theEuropeanusage
and
discrimination.7
assistance,
marginalization,
segregation,
ithas becomea guidingconceptin a widerange
of socialexclusionhas intensified,
and inequalities.Its emphasison social relationships,
of researchon deprivation
of
and
way of lifedistancestheconceptfromthetradition
participation, customary
and
workon povertywhichfocusesmoreon financialwell-being,
consumption,
incomeinadequacy.8
have
Social capital,too,has a numberof pedigrees.Amongthemostproximate
on the
networkanalysis,and rationalchoicetheory,
been social exchangetheory,
on the other.The lattertradition,
liberalside, and communitarianism,
especially
andtheneed
whenitdrawsuponTocqueville'sconcernwithexcessiveindividualism
withRepublicannotionsof socialexclusion.UnlikeLin
flirts
forcivicengagement,
networks
to ego-centric
socialcapital,referring
an
individual's
of
who
speaks
(2001)
5 Silver
In thefirst,
FrenchRepublican
(1994) elaboratessocial exclusionin termsof threeparadigms.
in thesocial bond(lien social)
social exclusionis theexpressionof a rupture
of solidarisme,
tradition
frameof
whichis situatedin theindividualist
and society.The secondparadigm,
betweentheindividual
when
sees exclusionas occurring
and whichSilvernames"specialization,"
liberalism
Anglo-American
the "monopoly
people lack access to economicand social exchanges.In the thirdapproach-termed
exclusionoccursbecause insidersearnrentsby excludingoutsiders.The solidarity
paradigm"-social
and moral
locatessocialexclusionin thefailureof integrating
processes,especiallythecultural
paradigm
orgroupdistinctions
In thespecialization
andgroupsolidarity.
infrastructure
view,discrimination
prevent
In the monopoly
people fromexercisingtheirchoices as regardsexchangesand social interactions.
of keyresourcesby
themonopolization
social exclusionresultsfromsocial closurethrough
paradigm,
of class,status,and politicalpower.
interest
groupsand theinterplay
powerful
6 AlisonWoodwardand Martin
in AlisonWoodward
Kohli,"Europeansocieties:Inclusions/exclusions?"
Inclusionsand Exclusionsin EuropeanSociety(London:Routledge,
and MartinKohli,editors,
2001), 2.
7 Jean-Francois
and
An
of
historical
"Inclusion/exclusion:
Ravaud and Henri-Jacques
Stiker,
analysis
D. Seelman,and MichaelBury,editors,Handbookof
Katherine
in GaryAlbrecht,
culturalmeanings,"
Disability(ThousandOaks,CA: Sage, 2001).
8 Graham
ofanalysis,"
inEurope:Competing
PolicyandPolitics23/2(1995): 103Room,"Poverty
paradigms
114.
& Springer
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540
TheorSoc (2008) 37:537-566
Social Exclusion
Social Capital
Focus
Normative
andparticipative
membership/engagement
innetworks/exchanges,
Connectedness
trust
Dominant
orientations
The"socialproblem'"
Social progress
Theoretical
referentsFrenchRepublicanism,
social
socialdemocracy
Catholicism,
socialexchange
Communitarianism,
rational
choice
theory,
Regionalapplication Europe,LatinAmerica
countries
UnitedStates,developing
socialproblems
and
Purposeof concept To (re)frame
forpolicy
statereform
welfare
promote
for
To instrumental
ize socialrelations
economicgrowth
anddemocratic
functioning
Desiredoutcomes
Includedindividuals,
cohesivesocieties Collectiveaction,economic
democratic
functioning
growth,
Persistent
ofmemberships,
attitudinal
Empirical
Quantity
poverty,
long-term
oftrust
orcorruption,
operationalization unemployment,
degreeof involvement measures
insocialrelations
ethniceconomies
networks,
overviewof thetwoconcepts
Fig. 1 Comparative
like Putnamarguethat
linkingpeople to otherswithresources,communitarians
socialcapitalis a collectiveattribute
thatinheresin thoseaspectsof social lifethat
enable people to co-operate.For Colemantoo, social capitalis associatedwith
of social structure
features
and is a collectivegood in thatthebenefits
particular
conferred
extendto thegroupat large
by reciprocalobligationsand expectations
hispreferred
unitsof analysisarecalculating
(although
individuals).9
Tocquevilleis
an important
albeitthathis manyinsights
on civicrelationships
are
bridging
figure,
missedwhenreducedto social capital.10
in his
matters,
Bringingin Bourdieucomplicates
giventhattheguidinginterest
workis how socialcapitalis implicated
in processesof exclusion.Bourdieushares
withLin the idea thatsocial networks
producesocial capitalthroughthe many
contacts they generate.For Bourdieu, though,social capital connotes the
mobilization
and
by social actorsof resources.Connections,
groupmemberships,
9 See Nan
and Action(Cambridge:Cambridge
Lin, Social Capital: A Theoryof Social Structure
between
of relations
Press,2001). Colemanarguesthat"socialcapitalinheresin thestructure
University
ofproduction."
norin physicalimplements
personsandamongpersons.It is neither
lodgedin individuals
JColeman,"Social capitalin thecreationof humancapital,"American
JournalofSociology94 (1988):
100. Putnamalso holds thatsocial capitalis foundin "the featuresof social organization,
such as
normsand socialtrust,
thatfacilitate
coordination
and cooperation
formutualbenefit."
Robert
networks,
Putnam,"Bowlingalone: America'sdecliningsocial capital,"Journalof Democracy6 (1995): 67. See
also Putnam,
(New York:Simonand
BowlingAlone:TheCollapseand RevivalofAmericanCommunity
Schuster,
2000).
10Paul
"Social capitalorgroupstyle?RescuingTocqueville'sinsights
on civicengagement,"
Lichterman,
Theoryand Society35/5-6(2006): 529-563; Bob Edwards,MichaelFoley,and Mario Diani, editors.
BeyondTocqueville:CivilSocietyand theSocial CapitalDebate in Comparative
(Medford,
Perspective
MA: TuftsUniversity
Press,2001).
£) Springer
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TheorSoc (2008) 37:537-566
54 1
Bourdieusees socialnetworks
socialnetworks
yieldpowerandshapelifechances.11
in social capitalprimarily
forhow
as exclusive,oftenclass-based,and is interested
that
to
are
both
of and
lead exchanges
reflective
socialresourcesand "distinctions"
is
most
for
fordomination.
Social capital
affect
theconstant
interesting how
struggle
into
of
or
converted
other
forms
it can be "transubstantiated"
capital(especially
in
who are equal in material
economicor cultural).Individuals
capitalbutdifferent
can
social
to
dominate
the
cultural
use
other.
and
termsoftheirsocial
capital
capital
social relations,
WherePutnamviewssocial capitalmainlyin termsof quantifiable
in
its
is
Coleman
interested
Bourdieu(and
emotional,social, and cultural
too)
the
of
social capital is a key to
for
Bourdieu,
analysis
quality.12However,
of
of
different
the
usage
types resourcesin thecontextof
understanding strategic
A
life.
lack
of
access
to different
social
typesofcapitalcan
hierarchically
organized
of
exclusion.
constitutive
be
bothmakereference
to selfofprocessesovertime,thetwoconcepts
In conceiving
in
dimensions
are
inter-related.
virtuous
which
or
vicious
cycles
multiple
reinforcing
froma stateof
moves individuals
Thus,Paugam'sprocessof social disaffiliation
or
as
a
of
zone
through
precariousnessvulnerability
alongmanydimensions,
integration
and
social
until
of
exclusion
or
more
one
occur,
multiple
deprivations
ruptures
types
in thelanguageof
forPutnam,
tore-enter
makeitdifficult
writing
society.13
Similarly,
ofcivicengagement
andnetworks
rational
choice,"Normsof generalized
reciprocity
reduce
incentives
to defect,
because
trust
and
social
they
co-operation
encourage
Stocks
of social
for
future
models
and
reduceuncertainty, provide
cooperation....
and
cumulative.
tend
to
be
and
as
such
norms, networks,
trust,
self-reinforcing
capital,
civic
withhighlevelsofcooperation,
circlesresultinsocialequilibriums
Virtual
trust,
of
this
internal
set
of
inter-relations
Because
collective
and
well-being."14
engagement,
Theoriginsof
toidentify
causeandeffect.
itbecomesdifficult
within
eachframework,
mustbe soughtoutsidesuchsystems.
theseprocessesand theirconsequences
concernsas well.The
Social exclusionand socialcapitalsharesomesubstantive
andbothstress
andqualityofsocialrelations,
delveintothedensity
twoframeworks
to social
as againstthecontemporary
ofactiveparticipation
theimportance
tendency
has
an
intuitive
to
so
or
therefore,
isolation, "beingalone,"
speak.15Activation,
in
social
social
activation
In
case
of
the
in
both.
resources;
multiplies
capital,
appeal
the case of social exclusion,it combats isolationand encourageseconomic
the two conceptscontaina strongnormative
element,
Furthermore,
integration.
a
as
Schuller,Baron,and Field
viewingparticipation meansof social integration.
in political
a revalorization
of social relationships
assertthatwe are witnessing
11Pierre
editor,Handbookof Theoryand
Bourdieu,"The formsof capital,"in John.G. Richardson,
CT: Greenwood,1986).
ResearchfortheSociologyofEducation(Westport,
12Gunnar Lind Haase Svendsen and Gert
TinggaardSvendsen, "On the wealth of nations:
and social capital,"Theoryand Society32/4(2003): 607-631.
Bourdieuconomics
13
sociale.Essai surla nouvellepauvrete(Paris:PressesUniversitaires
SergePaugam,La disqualification
Franceses,1991).
14Robert
Princeton
Press,1993), 177.
Putnam,
University
MakingDemocracyWork(Princeton:
15Some even definesocial exclusionas a "lack of social
in
participation
capital,"and considergreater
to be an "antidoteto social exclusion."JaniePercy-Smith,
Policy Responsesto Social
community
Exclusion(Buckingham:
Press,2000), 6.
Open University
£} Springer
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542
TheorSoc (2008) 37:537-566
discourse.16Indeed, both frameworkshave an interestin agency,especially as it is
associated with integrativeprocesses. For example, Coleman developed the idea of
social capital partlyto counterbalancehuman capital's focus on the individualagent
with agency at the collective level. Social exclusion likewise seeks to confirm
marginalizedindividualsand groups as active ratherthan passive, having a role in
theirown "inclusion." Because of the emphasis on participationand agency,both
termscall fora new division betweenrightsand responsibilities.
- theirpopularityamongpolicymakers.In some
This leads to a further
commonality
welfare
social
exclusion
has been one of themostinfluential
ideas in
states,
European
the continuingreformof social policy,even to the point of establishinggovernment
agenciesto tacklesocial exclusionin France,theUnitedKingdom,and Ireland.But itis
theEuropeanUnion (EU) thatis now mostassociatedwiththeconcept.Adoptedas its
social policyflagshipin 2000, thefightagainstsocial exclusionhas overseenone of the
most expansive periods in the historyof EU social policy.17By comparison,social
capitalhas infiltrated
policy circlesin a morediffuseway. Construedas a fragileifnot
diminishingresource, policy makers seek ways to "generate" social capital.18
Recognizing that neighborhoods,villages, and ethnic communitiesin the global
Northand South can spearheadbusiness start-upsand leverageotherassets, many in
thepolicy worldregardit as an economic developmenttool and a strategyforpoverty
alleviation.Emergingfromcivil societyand sparingof stateintervention,
social capital
is favoredalso as a source of good governanceand a well-functioning
democracy.
Clearly,both are conceptswithpoliticalsignificance.
at
Overall, withoutthinkingmuch about it, many use the termsinterchangeably,
least in some contexts. For instance, the European Commission writes: "the
developmentof local social capital is also supportedby the European Social Funds
in the framework
of social inclusionactivities."19
A recentoverviewof Britishsocial
indicators
"Social
is
a
contested
and oftenindistinctly
defined
capital
begins,
capital
Social
runs
discussions
about
social
the
cohesion
and
concept.
capital
throughout
of
and
who
are
excluded
from
relations
integration deprived
minoritygroups
socially
withmainstreamsociety."20One mightassume thatthe antidoteto social exclusionis
social capital, and equally thatsocial exclusion depletes the stock of social capital.
However, we suggest thatthe similaritiesbetween the two notions requiredeeper
16Tom
Schuller,StephenBaron,and JohnField,"Social capital:A reviewand critique,"in Stephen
Baron,JohnField,and Tom Schuller,editors,Social Capital: CriticalPerspectives(Oxford:Oxford
Press,2000), 13.
University
17Itis
tonotethatsocialexclusionhadappearedin EU discourseforat least10 yearsbeforethe
important
Lisbonagreement.
See MaryDaly,"EU social policyafterLisbon,"Journalof CommonMarketStudies
44/3(2006): 461-481.
18See David
Halpem,Social Capital(Cambridge:
PolityPress2005); see also MarcHoogheandDietlind
Social Capital: Civil Societyand Institutions
in ComparativePerspective
Stolle,editors,Generating
(Basingstoke:
PalgraveMacmillan,2003).
19
and UpdateReportson
EuropeanCommission,Social Inclusionin Europe 2006- Implementation
2003-2005NationalActionPlans on Social Inclusionand UpdateReportson 2004-2006NationalAction
Plans on Social Inclusion(Luxembourg:
OfficeforOfficialPublications
of theEuropeanCommunities,
2006), 33.
20Adam
in theUK:
Courts,PedroRamosPinto,Ben Cave,andIchiroKawachi,Social CapitalIndicators
A ResearchProjectfor theCommission
for Racial Equality(London:Ben Cave Associates,2007).
& Springer
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TheorSoc (2008) 37:537-566
543
themin termsofconceptual,
Thenextsectionscontrast
investigation.
methodological,
andusages,drawing
outsomecriticalshortcomings
of each.
andpolicydimensions
Conceptualcontrasts
withsocialrelations
andsocialcapitalmaysharea generalconcern
and
Socialexclusion
buttheframeworks
have verydifferent
of
what
activeparticipation,
understandings
in them.In Coleman,thecentralsocial
theseare and whywe shouldbe interested
In Putnam,relationsprimarily
relationsare reciprocalexchangeswithinnetworks.
in the contextof civic engagement,
interactions
while for
consistof face-to-face
with
associated
the
are
interactions
transubstantiation
of
Bourdieu,they
unequal
inthesocialexclusionframework
socialrelations
ofcapital.In contrast,
forms
different
andobligations
thatknit
orthemoralbondsofrights
tosocialsolidarity,
refer
cohesion,
in thisapproachhavemoralandsymbolic
Social relations
a broadersocietytogether.
whereasfrom
theperspective
ofsocial
andrecognition
elements,
respect
encompassing
and
are
manifested
relations
social
trust, exchanges.
byconnectedness,
capital
The first
The sourcesor originsof theideasalso differ.
usagesof theterm"social
in
with
social
socialcapitalhasseen
academic
were
exclusion,
and, comparison
capital"
endeavor.As a result,social capitalis moredevelopedin
intellectual
muchgreater
whichhas notonlyhad itsmostsustained
termsthanis socialexclusion,
conceptual
lacksan independent,
intellectual
trackrecord
inpolicycirclesbutarguably
elaboration
in politicaldiscourse.Rene
As a termifnotas a concept,it originated
and identity.
thetermin Frenchand
Lenoirand JacquesDelorsare creditedwithdisseminating
to
be the case thatsocial
It
has
continued
Europeanpolicycircles,respectively.21
thanacademic
moretopolicymaking
andpromulgation
exclusionowesitselaboration
on
social
exclusion
makers
of
With
the
needs
scholarship
uppermost,
policy
activity.
towards
the
constituent
directed
hada strong
orientation,
mainly
identifying
empirical
of social exclusion.
of the phenomenon
elementsand empiricalmanifestations
thananalytic,with
remains
more
social
exclusion
work
on
Therefore,
descriptive
is
so as to
measurement
exclusion
somenotableexceptions.22
prioritized
Perfecting
and
successful
to
towards
monitor
policies.23
identify
policytargets
progress
21
See H. Silver, "Social exclusion and social solidarity"(1994), and Serge Paugam, "Introduction:La
constitutiond'un paradigme," in Serge Paugam, editor, L 'exclusion: L'Etat des saviors (Paris: La
Decouverte, 1996).
22 Ruth
Levitas, The Inclusive Society? Social Exclusion and New Labour (Basingstoke: Palgrave, 1998);
Robert Castel, Les metamorphoses de la question social (Paris: Fayard, 1995); S. Paugam, La
disqualificationsociale. Essai sur la nouvelle pauvrete (1991); David Byrne, Social Exclusion, second
edition (Maidenhead, Berks: Open UniversityPress, 2005).
23
The EU has devoted considerable resources to benchmarkingand measurementof social exclusion.
This has been a primarytask of the Social ProtectionCommittee,the expert body that, consisting of
delegates fromeach member state, serves as a vehicle for cooperative exchange between the European
Commission and the member states in regard to modernizingand improvingsocial protectionsystems.
The Committee established an Indicators' Sub-Group to work on the development of indicators and
statisticsin supportof its tasks. Measurementand monitoringwere also prioritizedby the Luxembourg
Presidency of the European Union during the firstsix months of 2005. A number of academics were
commissioned to write a review, around which a Presidency conferencewas later convened (on 13-14
June2005). See AnthonyAtkinson,Bea Cantillon,Eric Marlier,and Brian Nolan, TakingForward theEU
Social Inclusion Process (Luxembourg: Ministerede la Familie et de 1'Integration,2005).
4y Springer
This content downloaded from 193.0.118.39 on Tue, 7 Oct 2014 17:30:56 PM
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544
TheorSoc (2008) 37:537-566
and
Ofthetwoconcepts,
ofsocialcapitalarethemoremanifold
conceptualizations
as
others
diverse.Someconceiveitas a consequence
ofrational
self-interested
behavior,
that
asset
derives
Lin treatssocialcapitalas an individual
disinterested
civicvirtue.24
withLin's approach,Bourdieutoo
fromsocial relations.
Despiteotherdifferences
of theactualor
stressessocial capitalas a resource:"socialcapitalis theaggregate
ofmoreorless
resources
whicharelinkedtopossessionofa durablenetwork
potential
- in other
institutionalized
of
mutual
and
recognition
relationships
acquaintance
with
the
that
of
its
in
a
each
members
words,membership group
backing
provides
of thecollectivity-owned
whichentitles
themto credit,in the
capital,a 'credential'
varioussenses of the word."25Bourdieuemphasizesthe exclusivenatureof the
in contrast,
networks
socialcapitalis a
uponwhichsocialcapitalrests.ForPutnam,
of communities,
nations.26
collectiveasset,beinga property
and
even
cities,
As mentioned,
tosocialexclusion.Liberalconceptions
thereareseveralapproaches
ofexclusionemphasizediscrimination,
ortheunequaltreatment
ofequal citizenson
A moreWeberian
tradition
thebasisofirrelevant
socialcharacteristics.
placespoverty
and inequality
at thecenter.The twoapproachesowe muchto thesocialproblems,
orientation
of Britishsocial science.In whatis probablyan oversimplifiempiricist
cationofthedifferences
betweenthetwo,RoomsuggeststhattheBritish
approachis
the
moreconcernedwithdistributional
whereas
issues,
Europeanapproachemphasizessocialrelations.27
setof
A further
difference
betweenthetwoconceptsis in theirrespective
driving
has
a
social
interests.
both
examine
socioeconomic
relations,
strong
capital
Although
resonancewitheconomicsociologyin thatthedrivingpowerbehindtheidea is the
social
social embeddednessof economicaction; havingfriendsand influential
to
a
different
networks
economic
situation.
Social
exclusion
speaks
improvesyour
shiftsin
set of sociologicalinterests,
namely,thesocial consequencesof structural
how
and
the
can
of
rob
friends
and
society
economy
you your
acquaintances
as
has
to
for
understands
them.
policy
responded
example,
poverty a
Paugam,
resultin the
that
stems
and
that
can
from
labor
market
process
disadvantage
in relational
of materialand relationaldeprivation,
accumulation
and ultimately
is
at
one
and
thesame
and
full-scale
social
disaffiliation.28
Social
exclusion
poverty
timea processof economicinstability
and social isolation.Relationsof social
exclusiontranspire
in the contextof large-scaleshiftsin social and economic
24To theextent
thatPutnam'scommunitarianism
drawsuponTocqueville'scivicrepublicanism,
explicitly
disinterested
civic virtuealso inhabitssocial capitaldiscourse.However,Putnam'sapolitical,state-less,
and relentlessly
On the
misconstrues
positiveaccountof civicengagement
Tocqueville'srepublicanism.
"What'sthecivilin civilsociety?
of Putnam'spurported
see PerMouritsen,
shortcomings
republicanism,
RobertPutnam,Italy,and therepublican
PoliticalStudies51(2003): 650-668.
tradition,"
25P.
Bourdieu,"The formsof capital"(1986), 248-249.
26GordonJohnston
"In searchofsocialcapital,"Policyand Politics31/3(2003):
andJaniePercy-Smith,
321-334.
27Graham
in
and social exclusion:The new Europeanagendaforpolicyand research,"
Room,"Poverty
GrahamRoom,editor,
TheMeasurement
andAnalysisofSocial Exclusion(Bristol:
BeyondtheThreshold:
The PolicyPress,1995),5.
28See
A multidimensional
SergePaugam,"Thespiralofprecariousness:
approachto theprocessofsocial
and
in France,"in GrahamRoom, editor,Beyondthe Threshold:The Measurement
disqualification
AnalysisofSocial Exclusion(Bristol:The PolicyPress,1995).
£} Springer
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TheorSoc (2008) 37:537-566
545
associatedwiththe changingdemandforlabor,and the reduced
circumstances,
capacityof thepolityto generatea setof normsand valuesto whichall sectorsof
societycan givetheirloyalty.29
thethrust
ofbothapproachesis to bringsocialrelations
to theforefront
Although
of analysis,theydo so in different
ends. Social exclusion
ways,and fordifferent
comes out of a debate about the factorsthatmake for social fragmentation,
and downwardmobility,
while social capitalis rootedin concerns
disaffiliation,
about status attainment,
upward mobility,and social progress.Scholarship
sometimesimpliesthatone can speak of a continuumof more or less social
exclusionor socialcapital.Indeed,additiveindicesdo justthat,counting
thenumber
ofexclusionorsocialcapitalorassigning
themweightsthrough
ofdimensions
factor
them
to
a
in
to
reduce
dimension.30
order
the
or
extent
However,
single
analyses
to
of
social
refers
social
the
capitalusually
"bonding"
quantity
capital, degreeto
and
work
with
whichmembers
ofa grouptrust,
one
another.
Thesebonds
cooperate,
one
ties
are
at
the
constitute
that,
mightimagine,
"strong"
oppositeend of a
from"weak"ties.However,itturnsoutthatthisdistinction
continuum
is notone of
In
Granovetter
to
but
refers
the
of
weak
ties,which
strength
quantity, quality. fact,
socialcapital,expanding
the
arethebasisfor"bridging"
resources
potential
through
distant
In
draw
to
the
social
exclusion
upon
acquaintances.31 contrast,
opportunity
of an attenuation
of the social bond.
framework
treatsweak ties as a reflection
andbe actively
in
all
Individuals
shouldhavesocialsupport
ofthenormatively
engaged
from
the
bottom
or
local
to
activities
of
national
society,
up
prescribed
politics.
social capitaldrawsout theeconomicand governance
In its different
framings,
andtheeffects
ofparticular
inshort,
ofcivilsociety
the
typesofsocialrelations,
impacts
and participation.
One couldsay,then,thatthe
to be gainedby cooperation
benefits
in thesubject.One of
of socialcapitalarethemainreasonforinterest
consequences
intheconceptis to instrumentalize
socialrelations,
thekeytendencies
themas
treating
Whether
the
meansto an(other)end. Even friendsand familyare "investments."
orevenBourdieu,
of socialcapitalis fromColeman,Putnam,
theemphasis
definition
socialcapitalas a coinorcurrency.
ortransubstantiation,
Relations
is on its"payoffs"
withothersserveas assetsor mediaof exchangethatareconvertible
andinteractions
to thesetheorists
to otherformsof capital.Social tiesareinteresting
mainlyforhow
and
function
as
resources.
facilitate
collective
Bonds, networks, exchanges
they
and
deficits
other
market
overcome
information
and
inefficiencies, ultimately
action,
29
See especially D. Byrne,Social Exclusion (2005).
30
For the factoranalysis across fourdimensions (freedom,perceived corruption,civic participation,and
generalized trust)in 25 countries,see Gert Svendsen and ChristianBjornskov,"How to constructa robust
measure of social capital: Two contributions,"Journal of Comparative Policy Analysis 9/3 (2007): 275292. For the multipleindicatorapproach, see Panos Tsakloglou and Fotis Papadopoulos, "Aggregate level
and determiningfactorsof social exclusion in twelve European countries,"Journal of European Social
Policy 12/3 (2005): 211-225. Those who are deprived on at least 2 of 4 dimensions (income poverty,
living conditions, necessities of life, and social relations) at least twice in a period of threeyears were
classified as being at "high risk of social exclusion." When aggregated to the national level, countries
varied froma high rate of social exclusion in Italy,Greece, and the UK to a low rate in Denmark and the
Netherlands,correspondingwith welfare regime types.
31
Mark Granovetter,"The strengthof weak ties," American Journal of Sociology 78/4 (1973): 13501380.
& Springer
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546
TheorSoc (2008) 37:537-566
can be transformed
into economic resourcesand socioeconomic mobility.Thus, the
centralpolicy application of the social capital literatureis its use as a tool for
economicdevelopment.32
Normsof reciprocity
and trustare valued fortheireconomic
investment
in
in
outcomes,encouraging
people the expectationof return.
Whenitcomesto social exclusion,itscauses, especiallyas theyresidein theeconomy
and social policy,have so farreceivedthemostattention
in theliterature.
Most studiesof
social exclusionemphasizeits originsand dynamicsin capitalistdevelopment.As the
marketexpands,economic and politicalrestructuring
producenew formsof inequality
and injustice.Poverty,economic deprivation,and unequal treatment
are construedas
social problemsin theirown right,ratherthan as factorsthat impaireconomic or
democraticfunctioning.
The '^problem"of social exclusion,then,is maintainingthe
fabricof social life itself.Exclusion threatenssocial cohesion and order.Unlike social
capital,social exclusion stressesobligationsto others,notjust to individualsof one's
not
familyor group,but to societyas a whole. Moreover,inclusiveacts are performed
in
the
of
a
but
of
sometimes
in
self-interest.
necessarily
expectation personalpayoff
spite
Reflectingthe concept'sRepublicanroots,the generalwill may trumpthe good of all
individualscombined.Durkheim'scollectiveconsciencecannotbe reducedto the sum
of individualvalues since it is externaland constrainsindividualbeliefsand actions.
A further
differencebetweenthetwo conceptsis in theirtreatment
of context.The
benefitsof social capital are mainlyassumed to be universal.They can be reaped in
trusthas no cultural
Bangladesh or Brixton,Sicily or South Chicago. Furthermore,
content.It is "apparentlythe same social factin theranksof extremerightmilitiasas
in a civil rights association."33 Given this, one can say that the "under what
conditions?"questionis under-exploredin the social capital literature.34
In his work,
Putnam's
best
for
social
in
Alone,
Bowling
explanation
declining
capital the United
States is a residual effectthathe mainlyattributesto televisionwatching.Investing
in social relations should vary by the local culture and stock of resources. As
Kadushin maintains,social capital should depend upon social structure.35
Putnam's
civic and voluntaryassociations ignore the class-based and political organizations
thatare more likely to mobilize participationof low-incomepopulations.36Putnam
32Trustand civic normsare associatedwithbettereconomic
in formal
but membership
performance,
orimproved
economicperformance.
Trustandcivicnormsarestronger
groupsis notassociatedwithtrust
in countries
withhigherand equal incomes,institutions
thatrestrain
elites,and better-educated
predatory
and ethnically
homogeneous
populations.
StephenKnackand PhilipKeefer,"Does socialcapitalhavean
economicpayoff?
A cross-country
JournalofEconomics112/4(1997): 1251investigation,"
Quarterly
1288.
33P.
"What'sthecivil in civil society?RobertPutnam,Italy,and therepublican
tradition"
Mouritsen,
(2003), 660. Indeed,theOklahomaCitybombersbelongedto a bowlingleague.Margaret
Levi,"Social
and unsocialcapital,"Politicsand Society241\ (1996): 45-55.
34
definition
of socialcapitalas "whatever
facilitates
individual
Foleyand Edwardsnotethata functional
or collectiveaction"makes it "verycontext-dependent"
in thatsocial capitalhas to have a desired
consequenceor itis notsocialcapital.MichaelW. FoleyandBob Edwards,"Editors'Introduction
Escape
fromPolitics?Social theoryand thesocial capitaldebate,"AmericanBehavioralScientist40/5(1997):
550-561.
35C.
in social capital?"(2004).
Kadushin,"Too muchinvestment
36See James
ofsocialcapitalincommunity
DeFilippis,"Themyth
development,"
HousingPolicyDebate
MIA(2001): 781-806; MargitMayer,"The onwardsweepof socialcapital:Causes andconsequencesfor
and urbanmovements,"
International
Journalof Urbanand Regional
cities,communities
understanding
Research27/1(2003): 110-132.
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TheorSoc (2008) 37:537-566
547
notequality,a sufficient
considersparticipation,
goal. The social capitalapproach
of
what
notion
civic
a
has biased,apolitical
is, anditencompasses
participation
only
- unions,
a partof civil society.Explicitlypoliticaland oppositional
organizations
- are ignoredor downplayedin comparisonto civic
parties,and movements
watches.
like
associations, bowlingleaguesand neighborhood
is generallyassumed.By
In the social exclusionliterature,
context-specificity
or
included
relative
to others.Yet, the
can
be
excluded
definition,
only
people
in
this
what?"
is
under-elaborated
literature.
from
Thereis a
"exclusion
question
to
on
who
are
the
relative
the
those
"excluded"
to
focus
neglectof
spotlight
tendency
or dominant
"habitus"
the"included."Assumedis theexistenceof a "mainstream"
thetaken-for-granted
criteria
to whichpeopleaspireto belong.In anygivencontext,
and
are
and
forintegration membership hegemonic implicit.
Empiricalindicatorsand analyses
As newconcepts,initialmeasuresof socialcapitaland socialexclusionreliedupon
thatresearchers
in
sourcesofdata.Thus,itis notso surprising
available,pre-existing
the
as
for
of
the
same
items
some
bothframeworks
proxies
survey
respective
employ
concepts.For example, membershipin associations,clubs, or organizations,
of social
or relativesare keyindicators
and meetingfriends
speakingto neighbors,
the
social
dimensions
of
exclusion.37
measures
for
used
as
that
also
are
capital
tendstofocusonthe
andmeasured
Socialcapitalas itis operationalized
empirically
evidencethat
is
some
cross-national
trust.
There
and
triadofnetworks,
norms,
empirical
Trustis mostfrequently
areorthogonal.38
thesedimensions
bytheuse
operationalized
from
In othercases, trustis inferred
and dispositions.
of surveydata on attitudes
Two
and
life.
associational
on
of
data
the
basis
on
sociability
survey
usually
practices,
Those
to
measures.
rise
alternative
to
social
capitalgive
approaches
contrasting
who emphasizesocial cohesion
and communitarians
Durkheimians,
Tocquevillians,
whereasthe
and
ofsocialcapitalinnorms,
lookforindicators
trust, civicparticipation,
to both
and
resources
available
networks
seek
the
theorists
rational-choice
liberal,
We discussthelatterin a latersectionof thisarticle.
and collectivities.
individuals
Despite some attemptsto develop a single index,39most empiricalwork
underlinesthe complexityof social capital.40Messner,Baumer,and Rosenfeld
identifyno fewer than twelve dimensionsof social capital with potential
37For
example,Tsakloglouand Papadopoulos(2005); EleniAposporiand JaneMillar,TheDynamicsof
Greece,Portugaland theUK (Cheltenham,
Social Exclusionin Europe:Comparing
Austria,Germany,
UK: EdwardElgar,2003).
38Christian
facetsofsocialcapital,"EuropeanJournalofPoliticalEconomy22
'The multiple
Bjornskov,
(2006): 22-40.
39G. Svendsenand C.
Bjornskov,"How to constructa robustmeasureof social capital: Two
contributions"
(2007).
40As B. Fine
2001: 63) pointsout,theliterature
proceedsbytaking
(Social CapitalversusSocial Theory,
it intospecifictypes(ratherthanfollowing
a generalizednotionof social capitaland disaggregating
of
of socialcapitalas a particular
Bourdieu'sspecification
typesor dimensions
typeofcapital).Different
socialcapitaloperatedifferently.
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TheorSoc (2008) 37:537-566
548
(in thiscase, homicide).Of these,someare "only
consequencesforsocialrelations
This pattern...
inverselyrelated....
weaklycorrelatedand some are significantly
among the various dimensionsof social capital consideredunderscoresthe
Claude
ofexamining
construct...."41
socialcapitalas a multidimensional
importance
Fischerfinds,on thebasis of his empiricalworkin theUnitedStates,thatseven
or over time.His
different
indicatorsdo not varytogetherin the cross-section
are: trustof mostpeople; votingin the previouspresidential
indicators
election;
frequentattendanceat church services; membershipin a large numberof
withneighbors;frequently
getting
organization
types;frequently
gettingtogether
withfriends
outsidetheneighborhood;
and givingmoneyto manytypesof
together
forage,education,
maritalstatus,and race,the
Evenaftercontrolling
organizations.
thatthereis no
low correlations
amongthesemeasuresof socialcapitaldemonstrate
the
order
to
the
taken
to
the
underlying
phenomena
depict concept."Disaggregating
a
better
would
now
social
Fischer
concludes,
"yield
topics
capital,"
lumpedunder
a comparison
ofwhathas beengoingon."42Morerecently,
empirical
understanding
of the ONS data, the Social Capital BenchmarkSurvey in 40 diverse US
and otherdata bases concludedthatsocial capitalclearlyhad two
communities,
This
dimensions.
but
(trust)and structural
(network)
separate, interrelated,
cognitive
has led someto suggestthatin future
the
research, bonding/
homogeneous/
bridging,
need to be preserved
ties distinctions
within/between,
heterogeneous,
strong/weak
and considered
at once.43
It is difficult
to claimconstruct
validityforsocialcapitalwhenthereareso many
of it. Li, Pickles,and Savage arguethat"overdistinct
manifestations
empirically
ambitionin social capitalresearchhas led to theconceptbeingdefinedin generic
kindsof
to thesociallydistinct
ways thatare inattentive
ways in whichdifferent
social consequences....
networks
have different
social determinants
and different
Mostsocialcapitaltheorists
in an indiscriminative
eitherrunthesetogether
[sic]way
orjust focuson civic engagement
as a surrogate
forall kindsof social capital."44
factors(class,
Studyingthe UnitedKingdom,theseauthorsuse "socio-cultural"
index
of social
marital
and
ward-level
status,age,
education,income,gender,
with
associated
a
contextual
variable
to
fallacies"
ameliorate
"atomistic
deprivation,
in
to
three
dimensions
of
social
usingmicro-data) "predict"
capital membership
found
that
were
formal
and
social
networks
relations,
organizations,
neighborhood
to be empirically
and to exertdifferent
effectson social trust.They
independent
that
different
social
classes
draw
different
report
typesof social capital
upon
41
Stephen F. Messner, Eric P. Baumer, and Richard Rosenfeld,"Dimensions of social capital and ratesof
criminalhomicide," American Sociological Review 69/6 (2004): 882-903.
42
Claude Fischer,"Bowling Alone: What's the score?" Social Networks27/2 (2005): 155-167.
43
However, the same studyalso identified"four main, and overlapping,ingredients"in the definitionof
social capital: "social trust/reciprocity;
collective efficacy;participationin voluntaryorganizations; and
social integrationfor mutual benefit."A. Courts et al., Social Capital Indicators in the UK: A Research
Project for the Commission for Racial Equality (2007, 5); Roger Patulny and Gunnar Svendsen,
"Exploring the social capital grid: Bonding, bridging,qualitative,quantitative,"InternationalJournal of
Sociologyand Social Policy27, 1/2(2007): 32-51.
Yaojun Li, Andrew Pickles and Mike Savage, "Social capital and social trustin Britain," European
SociologicalReview21(2) (2005), 120.
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TheorSoc (2008) 37:537-566
549
whileadvantageduse formalcivic
networks,
(disadvantaged
groupsuse informal
Bourdieu's
argumentthat social capital reproduces
engagement),confirming
economiccapitaland inequality.
The studyof social exclusionleads much more directlyto the poor and
A primaryimpetushas been to elaboratesocial exclusionas a
marginalized.
cumulative
Studiestypically
consider
of multi-dimensional
condition
disadvantage.
suffer
from
forms
of
social
thedegreeto whichtheeconomically
multiple
deprived
in
various
have
of
domains
been
the
focus
Levels
of
participation
deprivation.
with
and
for
work
four
sets
of
Le
attention.
Burchardt, Grand, Piachaud, example,
and
of "participation":
indicators
production,
politicalengagement,
consumption,
as lackofsupport).45
Barnes'sindicators
consider
socialinteraction
(operationalized
social exclusionin termsof seven dimensions:financialsituation,
ownershipof
durablegoods, the qualityof housing,neighborhood
perception,
personalsocial
as
social
and
support),
physicalhealth, psychological
(operationalized
relationships
in
Barneset al. measuredexclusionas multi-dimensional
disadvantage
well-being.46
and participation,
theareas of housing,health,education,social relations,
finding
increaseswithlivingalone,buthas littleeffecton social isolationand
thatpoverty
socialexclusionas a
socialrelations.47
Room,who in hisrecentworkhas elaborated
thegradient
ofa
considers
or
in,livingconditions,
of, degradation
rupture
catastrophic
of
social
as
discusses
the
much
downward
disqualification.48
Paugam
process
spiral,
A second strandof social exclusionresearchis what mightbe called "the
but
indicators,
debate,"whichconsidersnotjust theappropriate
operationalization
of exclusion.Mostof thiswork
indicators
forquantitative
or cut-offs
thethresholds
and national
has been carriedon withinthe auspicesof the EU, by researchers
theoretical
To the extentthatit drawsupon some of theoriginating
statisticians.
to theanalysisof the
concernsaboutsocial exclusion,theworkmainlycontributes
has notreallylaunched
resources.
of material
distribution
However,thisscholarship
a debate about social bonds and what constitutessocial inclusionfromthe
Carriedon in theshadowof research
and obligations.
of relationships
perspective
focuson income),researchon social
on poverty(withthe impliedpredominant
of whichindicators
of
on thematter
exclusionin theEU contexthas concentrated
within
and
national
to
measure
across
are
feasible
and
marginalization precariousness
of income,access to thelabor
has gone to thedistribution
borders.So far,priority
andjoblessnessas a
of
in
terms
market
rates,unemployment
employment
(measured
in
oftheeducational
theperformance
ofhouseholds),
characteristic
system(measured
of health(as measuredby life
termsof earlyschoolleaving)and thedistribution
45Tania
JulianLe Grand,and David Piachaud,"Degreesofexclusion:Developinga dynamic,
Burchardt,
multidimensional
measure,"in JohnHills,JulianLe Grand,and David Piachaud,editors,Understanding
Social Exclusion(Oxford:OxfordUniversity
Press,2002).
46 Matt
Barnes, Social Exclusion in Great Britain An Empirical Investigationand Comparison with the
EU (Aldershot:
2005).
Avebury,
47Matt
JaneMillar,GrahamRoom,FotisPapadopoulos,and
Barnes,Christopher
Heady,Sue Middleton,
EdwardElgar,2002).
and Social Exclusionin Europe(Cheltenham:
PanosTsakloglou,
Poverty
48Graham
of social exclusion:The widercontextforthethirdand first
worlds,"in
Room,"Trajectories
BreadlineEuropeTheMeasurement
David Gordonand PeterTownsend,
editors,
ofPoverty(Bristol:the
sociale. Essai sur la nouvellepauvrete(1991).
PolicyPress,2000); S. Paugam,La disqualification
& Springer
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550
TheorSoc (2008) 37:537-566
Thisworkhas donewellinidentifying
ofconditions
bothconjunctures
expectancy).49
andthethresholds
thatsignify
is to
theirexistence.
Whatithasnotachieved,
however,
a
between
two
of
social
the
"social"
and
the
exclusion
provide bridge
understandings
"material."
Thereis, furthermore,
thefactthatthiskindofresearch
ignoresquestions
aboutwhotheexcluders
areandhowsomegroupsseektorestrict
othergroups'access
to resourcesin orderto maximizetheirown welfare,
thusgivingriseto powerand
hierarchy.
Policyusages and implications
As the foregoing
implies,social exclusionand social capitalare widelyused in
international
and some domesticdiscussionsabout social policy.Broad umbrella
conceptssuch as thesehave highappeal in a contextwheresingle-focus
policies
and housing)do not seem to workas theyshould.50
(e.g., poverty,
employment,
Social policymakerstendto use theconceptsin theserviceof a relatively
loose
of
and
to
fashion
a
set
of
for
how
social
analysis existing
dysfunctions
prescriptions
factorscan be mobilizedforthepurposesof economicand social reform.
Social
and
social
are
deal
with
inclusion
to
market
failure
capital
ways
(highunemployment
Social exclusionand
despiteeconomicgrowth)and statefailure(poorgovernance).
thelack of social capitalare "deficits"forpolicyto address.The factthatthetwo
termsare popularin policy-making
circleshas been a mixedblessing.On the
in
makers'
interest
socialconceptsthatserve
positiveside,policy
finding
integrative
as broadtemplates
forpolicyhas meantthattherehas beenconsiderable
investment
in theseconcepts.In an age of decliningunionization
and leftist
parties,theyhave
social
issues
on
the
table.
inclination
to promote
some
However,policymakers'
kept
over
others
and
to
the
has
been
rein.
free
emphases
politicize concepts
given
Of the two, social exclusionis the favoredtermin Europeansocial policy
discourse.FrenchRepublicanleadersuse it extensively,
and it has moreor less
in
the
It
discourse
of
is
in the EU thatsocial
the
UK.
displacedpoverty
policy
exclusionhas been mostdevelopedas a templateforsocial policy,however.The
"Lisbonsocialprocess,"initiated
in 2000,has overseena number
of elaborations
of
social exclusionas a social policy idea forEurope.The inherent
are
meanings
and unstable,but,forthe firsttimeever,memberstatesare enjoinedto
shifting
designor repackagetheirpolicieswithsocial inclusionas therubric.In thefirst
phaseof theLisbonprocess(whichlastedfrom2000 to 2004), thiswas interpreted
to meandesigning
andbasic
policythatseeksto enableaccessbyall to employment
the risksof social exclusion,giving
resources,goods and services,preventing
assistanceto thosemostaffected,
and mobilizingthemand theorganizations
and
interests
thatgivethem"voice"forparticipation
in publiclife.Although
ithas been
slow to be acceptedby somenationalmemberstates,thisEU visionwas one that
of social policytowardsnew categories,
emphasizedsocial rights,the targeting
49
50
See A. Atkinsonet al., TakingForward the EU Social Inclusion Process (2005).
Jane Jenson,Mapping Social Cohesion: The State of Canadian Research (Ottawa: StrategicResearch
and AnalysisDirectorate,
of CanadianHeritageand CanadianPolicyResearchNetworks,
Department
CPRN StudyNo. F/03,1998).
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551
in policymaking.51
and institutional
innovation
categories,
especiallyidentity-based
to concentrate
on
More recently-as the Lisbon processhas been reconfigured
attributed
to social exclusionby EU
growthand jobs- themeaningand priority
Theoriginal
havebeen"watered
objectives
policymakershas changedconsiderably.
inthelabormarket,
involvement
accesstoa basiclevelof
down"tofocusonpromoting
bettercoordination
of
policyefficiency
through
rightsand services,and improving
economicand social policies.Social inclusionis now to followfromsuccess in
withthe increasing
emphasison
achievinggrowthand jobs targets.Furthermore,
Council
have
shifted
EU
Commission
and
social
inclusion
the
"activation,"
gradually
to
of
social
and
economic
one
and the
a
of
from matter
functioning
employment
have
References
to
"social
exclusion"
benefit
fallen
of
systems.
gradually
sustainability
and
over
in
the
"social
inclusion"
time,especially
initially,
pastfew
away,in favorof
to
an
sound
The
switch
cohesion."
suggests,first, attempt
"positive"
years,"social
a goal rather
thandescribing
a problem.Second,
insteadof "negative,"
pronouncing
butinfactmayconnotesomething
ofexclusion,
is theimpliedantonym
inclusion
quite
and opennessof
to
the
calls
attention
Inclusion
different.
supposed"opportunity"
mechanisms
outsiders
in,whereasexclusionpointsat exclusionary
beckoning
society,
or
incoherence.
itspotential
ofsociety,
breakdown,
disorder,
a
For EU policymakerswhose legitimacy
rests,at least in part,on offering
has
is
and
a
social
exclusion
the
reforming
program,
problem
diagnosisof what
for
and moralargument
serveda numberof ends.It has,first,
provideda pragmatic
the
of
and
individuals
on
policychange,focusing failingsregarding participation
for
groupsin economicand politicallife and providinga strongjustification
it
has
enabled
as
a
social
Secondly,
polysemicconcept,
protection."
"modernizing
as contextand
setof meaningsand references
policymakersto shifttheunderlying
in social exclusionthe EU has a conceptthatis
In particular,
occasionwarrant.
thatis especiallycrucialin
andyetvagueas a politicalidea(l),something
persuasive
it.At thesametime,
mobilize
around
actors
to
for
EU
context
an
allowingpolitical
and accessto social
issues
on
social
welfare
the
EU
exclusion
social
purchase
gives
leftto nationoutside
its
otherwise
be
that
would
market
the
issuesbeyond
purview,
social
exclusionas
For
of
under
the
states
principle subsidiarity.52 example,utilizing
matters
as pension
social
access
to
such
the
EU
has
idea
a leading
policy
given
51See M.
Daly, "EU social policyafterLisbon,"(2006). See also DeborahMabbett,"Learningby
of social inclusionpoliciesin Europe,"Journalof
in thecoordination
The use of indicators
numbers?
EuropeanPublic Policy 14/1(2007): 79-96. For an assessmentof the impactof the social inclusion
Zeitlinand PhilippePochet(withLars Magnusson),editors,TheOpen Methodof
process,see Jonathan
andSocial InclusionStrategies
inAction:TheEuropeanEmployment
Coordination
(Brussels:PeterLang,
2005).
52
in EU law by theTreatyof Maastricht
whichwas enshrined
of subsidiarity,
to theprinciple
According
in 1992,the EU mayonlyact (i.e., makelaws) wherememberstatesagreethatactionof individual
servesthefunctions
The principle
is insufficient.
countries
of,on theone hand,setting
up a divisionof
the
of themember
the
states
and
on
and
member
the
EU
between
other,
primacy
endorsing
competence
intheEU remainsthatcoreareas
statesinsomedomains,one ofwhichis socialpolicy.The legalsituation
and hencerequireunanimousvoting.These
of social policycontinueto be governedby subsidiarity
whentheircontract
theprotection
ofworkers
ofworkers,
andthesocialprotection
includesocialsecurity
the
of workersand employers,
and collectivedefenseof interests
the representation
is terminated,
andfinancial
nationalslegallyresidinginCommunity
ofthird-country
ofemployment
conditions
territory,
andjob creation.
of employment
forthepromotion
contributions
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552
TheorSoc (2008) 37:537-566
reform,health care, minimumincome provision,childcare and women's participaraised as
tion in the labor market.The threeissues thathave been most consistently
fromthe
partof thesocial exclusionprocess itselfare the"inclusion"of thosefurthest
If Social Europe has a
labor market,child poverty,and the integration
of immigrants.
it
in
the
of
these
as
common
and pressingsocial
distinctiveidentity, is
emergence
concerns
for
states.53
As
this
set
of
issues
EU member
indicates,the EU
policy
in
differs
from
the
US
"workfare"
approach,notleast in thatit
approach
manyrespects
restson a participatory
model of activationthathas a contractualratherthana punitive
logic and emphasizesthe reciprocalobligationsof stateand benefitrecipient.54
Social capital discourse has a very differenthistoryand is to be found in
developmentpolicy circles. It was widespread in World Bank discussions in the
1990s, as well as some urban and communitydevelopmentapproaches. The World
Bank uses the conceptto mobilize civil societyand "private"relationsand resources
for the purposes of market enhancementand expansion and good governance.
Studies sponsoredby the WorldBank are especially interestedin the positiveeffects
of social capital, many being organized as case studies of grassrootsinstitutions,
such as rotatingcreditassociations or micro-enterprises,
self-helpopportunitiesfor
the poor, and participationof the poor as part of "good governance."55Such lowcost, mainly private-sectorand self-helpsolutions to economic problems mobilize
the poor, women, and potentiallyentrepreneurial
ethnicgroups to solve theirown
is
Sometimes
social
problems.56
capital representedas a tool thatmakes governance
more effective,civil society servingto maximize the returnon investment,improve
inefficiencies,or monitorgovernmentsforcorruption.There is a general "deprioritizing" of the role of the state.Indeed, the World Bank sees social capital eitheras
complementaryto the stateor as a substituteforit.57Building on rationalchoice or
economic approaches,social capital is also promotedas a technicaltool, a means of
overcomingcontractualand information
problems.
Considerationsof how institutional
and policy design can serve these ends lead to
questionsabout whethersocial capital can be generatedfromthe top down or only
percolates"naturally"fromthebottomup. Because social capitaltendsto be associated
"
53See MartinaDieckhoff
andsocialexclusionpolicy,
andDuncanGallie,"TherenewedLisbonStrategy
Industrial
RelationsJournal38/6(2007): 480-502.
54Fora discussionoftheFrenchandUK
cases,see DanielBeland,"Thesocialexclusiondiscourse:Ideas
and policychange,"Policyand Politics35/1(2007): 123-39.
55See Tine
and Empirical
RossingFeldmanand Susan Assaf,Social Capital: ConceptualFrameworks
Evidence:AnAnnotated
WorldBankSocial Development
1999).
Department,
Bibliography
(Washington:
AnneRademacher
For theWorldBank approach,see also Deepa Narayan(withRaj Patel,Kai Schafift,
and SarahKoch-Schulte),
Voicesof thePoor: Can AnyoneHear Us? (New York:The WorldBankand
OxfordUniversity
Press,2000), and Michael Woolcock,"Social capitaland economicdevelopment:
Towardsa theoretical
and policyframework,"
Theoryand Society27 (1998): 151-208. For a
synthesis
strongcritiqueof theWorldBankapproach,see B. Fine,Social CapitalversusSocial Theory:Political
(200 1).
Economyand Social Scienceat theTurnoftheMillenium
56M.
Mayer,"The onwardsweepof social capital"(2003: 115) pointsoutthevirtualabsenceof actors
such as politicalinstitutions,
and trade unions fromthe World Bank's
employerorganizations,
prescriptions.
57M.
Mayer,"The onwardsweepof social capital"(2003: 122); B. Fine,Social CapitalversusSocial
Theory(2001), 171.
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TheorSoc (2008) 37:537-566
553
withprivilegedcommunities(forBourdieuitis, indeed,an eliteproperty),
policymakers
assumethatthereis a deficitofsocial capitalin low-incomecommunities.Hence, microcreditand communitybanking,NGOs and othergrassrootsorganizations,and ethnic
commercialenclaves are promotedfortheireconomic and political benefits.58Yet,
institutions
as microfinance
organizationsare
empiricallyspeaking,such widely-touted
donors
or
and
subsidized
almostalways
states,
by global
many,thoughnot all, trade
offsocial outreachand povertyreductionfortheimperativesof financialperformance,
profitability,and sustainability.59Similarly, American community development
corporationsand otherlocal non-profitactors receive public or foundationsupport
could not survivewithoutit.60
fortheiractivities,and, like microfinanceinstitutions,
called "corporations")said to draw prototypically
The veryassociations(significantly
upon social capitalto promoteeconomicdevelopmentare,in fact,deeplyimplicatedin
politicsand statepolicies. One cannotsubsiston social capital alone. However,to the
extent that social capital is generatedwithin communitiesfrom grassrootscivic
engagement,policy has but a limitedrole in producingits positiveoutcomes.Indeed,
social capital can providea rationaleforthe stateto exit poor communitiesand leave
to civil societyor individualaction.61
the problem-solving
the stateis a key actor,althoughit
In contrast,forthe social exclusion framework,
is not the only one. In Republican thought,the state (just like other insider
is underan obligationto enable outsidersto participatefully.Economic
institutions)
redistributionand passive social benefits are no longer considered sufficientto
accomplish this multi-dimensionaltask. The social policy implicationsof social
exclusion call for multi-pronged,joined-up programs, anti-discriminationsafeguards, social dialogue and stakeholder involvement in decision-making and
programprovision. Among these, "activation" of policies, programs,and participantsis receivingthe most attentionin Europe today.
locations,
Why have social exclusionand social capitalprovedpopularin different
the formerin Europe and the latterin the Anglo-Americancountries?Each concept
resonateswithnationalor regionaldebates and concerns.Americanssense dangerin
excessive individualism,while Europeans fear declining solidarity.Social capital
debatesin theUnitedStatesabout thehealthof thedemocratic
refresheslong-standing
and
of voluntaryassociations,local communities,
and
the
contributions
politicalsystem
58
See Susan Saegert, J. Phillip Thompson, and Mark R. Warren,Social Capital in Poor Communities
(New York: Russell Sage Foundation,2001).
59
Bernd Balkenhol, editor, Microfinance and Public Policy: Outreach, Performance, and Efficiency
(Geneva: ILO, 2007).
60
Avis C. Vidal. Rebuilding Communities: A National Study of Urban CommunityDevelopment
Corporations (New York: Community Development Research Center, New School University,1992);
MarilynGittell,Limits to Citizen Particpation: The Decline of CommunityOrganizations (Beverly Hills:
Sage, 1980); Ronald F. Ferguson and William T. Dickens, editors, Urban Problems and Community
Development.(Washington,D.C.: The Brookings Institution,1999); Randy Stoecker,"The CDC model of
urban redevelopment:A critique and an alternative,"Journal of Urban Affairs19/1 (1997): 1-22, and
rejoindersby Rachel Bratt and W. Dennis Keating. CDCs have shiftedfromadvocacy and community
organizingto business management,and are runby professionalsratherthanresidents.It is difficultto see
these organizationsas inclusive schools of deliberativedemocracy.The staff,funding,and controlare all
externalto the communitywhose social capital is disparaged when CDCs performpoorly.
61
M. Mayer, "The onward sweep of social capital" (2003).
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TheorSoc (2008) 37:537-566
554
thefundamental
actors
In Europe,bycontrast,
civicengagement
toa pluralistic
society.
The
and
communities.
are classes and states,ratherthanindividuals,
associations,
on
the
debates
center
relationship
questionsthathavepre-occupied
Europeanpublic
of
andboundaries
thedistribution
thenature
between
ofresources
andsocialintegration,
of
in
a
and
and
social
institutions
context
economic,
citizenship, theroleof political,
it
is
and
state
and
how
overinequality.
Thechanging
nature roleofthewelfare
struggles
of
atoncetheproduct
to
the
andarchitect
ofdeclining
the
solidarity
analysis
opens way
anddivided.
societyas increasingly
fragmented
Continuingconceptualchallenges
Thereare groundsto be criticalof bothperspectives.
of bothsocialexclusionand
Scholarsof inequality
arewaryof theterminologies
income
fromever-increasing
socialcapitalon thegroundsthattheydeflectattention
on
and
class
conflict.
On
the
one
the
excluded
hand, emphasis socially
inequality
or levelingclasseson the
groupsis perceivedto carrythedangerof homogenizing
"inside"of mainstream
and
that
the
society
growingreservearmyof
presupposing
labor is excludedfromsocietyand has no impacton workers.62
Analytically
betweenthem.On the
theincludedandexcludedmaydisguisetheconflict
separating
sincethepoor
otherhand,socialcapitalmightimplythatredistribution
is unnecessary,
assets.As
to
and
turn
social
into
economic
need
bond
their
resources
simply
together
of
rationalactorstheyare chargedwithmaximizing
theirstockand deployment
The instrumentalist
has beenthesubject
resources.
orientation
of socialcapitaltheory
ofheavycriticism.63
mostpeopleare
Evenifpeopledo callon theirfriends
forfavors,
withtheirfriends
fornon-instrumental
reasons.Kadushinbelievesthat"theanalogyto
in "real"capitalis theweakestaspectof socialcapitaltheorizing."64
"investment"
definition
of social
critics
functionalist
Many
tautological,
pointto thecircular,
It
said
to
cause
and
how
the
is
has
confound
causal.65
been
capital, question
concept
Its
and effectand explainthephenomenon
of social capitalby itsconsequences.66
and
Portes
existenceis inferred
fromthepositiveoutcomesit supposedly
produces.
Landoltarguethatit is a conceptualstretch
to confusethesourcesof social capital
withthebenefits
This leads to circularreasoningbecausethe
derivedfromthem.67
social
orgroup
of
is
often
inferred
fromtheassetsthatan individual
presence
capital
62For leftist
social,
critiquesof social exclusion,see EtienneBalibar,"Inegalites,fractionnement
de
exclusion:Nouvellesformesde Fantagonisme
de classe?" in JoelleAffichard
and Jean-Baptiste
Foucauld,editors,JusticeSociale et Inegalites(Paris: EditionsEsprit,1992), and RobertCastel,Les
de la questionsocial (1995).
metamorphoses
63M.
ofsocialcapital's
"The
onwardsweepofsocialcapital"(2003),givesa verygoodexposition
Mayer,
appealin thiscontext.See also B. Fine,Social CapitalversusSocial Theory(2001).
64C.
in social capital?"(2004), 87.
Kadushin,"Too muchinvestment
65
in socialcapital?"(2004); M. Mayer,"Theonward
See, interalia,C. Kadushin,"Too muchinvestment
in modern
sweepofsocialcapital"(2003); AlejandroPortes,"'Social capital':Itsoriginsandapplications
AnnualReviewofSociology24 (1998): 1-24.
sociology,"
66A.
Portes,"Social capital"(1998).
67See
ProspectII
AlejandroPortesand PatriciaLandolt,"Thedownsideofsocialcapital,"TheAmerican
26 ( 1996) http://www.prospect.org/web/page.ww?section=root&name=ViewPrint&articleId=4943
.
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TheorSoc (2008) 37:537-566
555
themultipledimensions
of social capitalare
acquiresor possesses.As mentioned,
in causal virtuouscircles.For example,social capitalcan give riseto
interrelated
of as an outcomeof network
so trustis bestthought
trust,
exchangesand normsof
ratherthanan indicatorof social capitalitself.Similarly,
normsand
mutuality,
of socialcapital.For thisreason,Lin does not
institutions
arebothcause and effect
considertrustor normsto be indicators
of social capital,restricting
the termto
rationalcost-benefit
calculations
aboutthevalueof exchanges.68
Fischerarguesthatthemerefactthatsocialrelations
haveeconomiceffects
does
notwarrant
We do notlabel otherproductivity-enhancing
callingthem"capital."69
in this manner.Nor are the payoffsto social relationsalways
characteristics
It
financial. seemssimplerand clearerjustto referto "bridging"
and "bonding"ties
thanto two kindsof social capital.Indeed,Putnam'sagenda would seem to be
"rising individualismand privatism"ratherthan "decliningsocial capital."
muchresearchhas refuted
Putnam'sclaimsaboutdecliningassociaFurthermore,
and
tionalmembership.
churchassociationsmay have fewer
Unions,veterans,
there
are
new
of
but
members,
types groupsthatPutnamignored.Similarly,
of politicalactivity
and
some
other
kinds
have increased.70
volunteering
A second problemwith the literature
on social capital is thatthe positive
receivemoreattention,
whileits"darkside,"thoughacknowledged,
is
consequences
can
have
manydysfunctions,
includingsectarianism,
downplayed.Social capital
and inequality.
Groupswithstrongsocial capital,like mafiasor youth
corruption,
fromoutsiders.
gangs,can conspireagainstthe public,closingoffopportunities
in
can
can
become
themselves
enclaves
or gated
They
They
nepotistic.
segregate
communities.
resourcesto the
They can demandthattheirmembersredistribute
not facilitating,
individualmobility.And they can become
group,preventing,
and
like
small
towns
parochialgroupsthatinsistuponconformity.71
stifling, many
or
to
bad
friends
relativesdo notalwaysgiveriseto
us
Networks
demanding
tying
in
detract
from
Thisleadsbackto the
trustworthiness,
and, fact,may
productivity.72
The linkageof social capitalto the
of how social capitalengagesinequality.
matter
ofa side issue,especiallyforcommunitarians.
economicsystemis something
Social
to
it
in
work
considers
the
that
is
Putnam's
extent
a
only
inequality
capital
potential
is a given,and individuals
use socialcapital
negativeoutcome.The social structure
to findtheirplace withinit. Anyonecan supposedlyenjoythebenefitsof social
capital, which are in theoryreadily available to all. There is littleif any
of thefactthatresourcesare unequallydistributed.
Recentwork
problematization
to
and
Pickles
underlines
how
access
social
conceived
capital,
mainly
byLi, Savage,
68N.
Lin,Social Capital(2001).
69C.
Fischer,"BowlingAlone:What'sthescore?"(2005).
70
See, interalia, EverettC. Ladd, TheLadd Report(New York:FreePress,1999); PamelaPaxton,"Is
AmericanJournalof
social capitaldecliningin the UnitedStates?A multipleindicatorassessment,"
Loose Connections(Cambridge,MA: Harvard
Sociology 105/1(1999): 88-127; RobertWuthnow,
Press,2002).
University
71See A. Portesand P.
Landolt,"The downsideof social capital"(1996) and also A. Portes,"'Social
in modernsociology"(1998).
capital':Itsoriginsand applications
72C.
Fischer,"BowlingAlone:What'sthescore?"(2005).
£} Springer
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556
TheorSoc (2008) 37:537-566
in termsof civic participationand associational membership,is stronglyundercutby
social inequalities,especially those derivingfromsocial class.73 Social boundaries
are more than spans thatsocial capital can bridge.
Not only does the approach oftenneglect or downplay the variationin types of
participation
by social class, butitignoresthepossibilitythatsocial capitalmayactually
increasesocial exclusion.Nowhereis thedifference
as starkas
betweentheframeworks
here. Exclusionaryzoning and homeownerassociations bond groups togetherwhile
keeping otherpeople out of neighborhoodsand artificiallyraisingpropertyvalues.
Membership in clubs and voluntaryassociations, a quintessentialsocial capital
indicator,can be exclusionaryas well as unequally distributedacross social classes.
"Social capital can divide as well as unify,"Li, Savage, and Pickles write,providing
empiricalevidenceoftheformerinBritain.74As Bourdieuemphasized,social capitalis
a means forexclusive groups to hoard resourcesand is thus a factorin inequality.75
Conversely,"social inclusion"may implycoercionto join and assimilateto a group's
practicesand values. Activationmay be seen as a punitiveformof "workfare."There
is a "dark side" to social inclusion,too.
Scholarshipon social capital operates with many units: individuals,households,
communities,firms,regions,nations,and even the global system.A key outstanding
challengeforsocial capital is to explain how theaggregationof individualexchanges
transposesto themacro level. There are two issues here:therelationshipbetweenthe
microand the macro,and how self-interested
exchanges among individualstranslate
intoa social structure
thatis essentiallycooperative.In regardto the former,the key
unresolvedquestion is how social capital as a propertyof individualor group social
relationsand interactionsis aggregatedto a societal level. In regardto the natureof
agency,while some streamsof workare concernedabout theresourcesnecessaryfor
individual or collective purposive agency (e.g., Coleman), thereis the assumption
thatthe "choices" made in micro-levelinteractionsacquire a collective,cooperative
- interestbecomes
character as they cumulate to higher levels of aggregation
disinterest.How is solidaritygeneratedby self-interest?
Is therea "social invisible
hand"? In summary,the old questions of "what is society?" and "how is society
possible?" are problematicin thiswork. Putnamused a shorthandof "economically
successful, democraticsociety," while Coleman viewed society eitheras a set of
facilitatingstructuresor as the aggregation of rational actions on the part of
individualsor groups.
The social exclusion frameworkis "otherregarding"in a way thatsocial capital is
not. However, social exclusion has its own tensionsand inherentcontradictions.A
key sociological issue is whethertheconcept,withits recourseto an insider/outsider
logic, promulgatesa dichotomous view of society. There is a binary logic to it,
which can give rise to essentialism.Moreover, the causal agency is unclear. This
gives groundforLevitas to argue thatthe idea of the "social"- in the sense of social
73
Yaojun Li, Mike Savage and AndrewPickles,"Social capitaland social exclusionin Englandand
Wales(1972-1999)/'British
JournalofSociology54/4(2003): 497-526.
74
Ibid.,500.
75P.
Bourdieu,"The formsof capital,"(1986).
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557
- is underdeveloped in social exclusion.76 As with social capital, the
conflict
relationshipof social exclusion to labor- or class-based- inequalities ("older"
is notclear.77Some of theclaims made forsocial exclusionformsof stratification)
it
that can incorporatedifferent
typesof oppositions,such as being at the centeror
the peripheryof society,or being placed high up as against low down on the social
- have not been realized. Relatively littletheoreticalprogress has been
hierarchy
made in elaboratinghow horizontaland verticalsets of inequalitiesare interlinked.
Up to now thishas been treatedlargelyas an empiricalquestion,78withthe focus of
much research activity devoted to devising a summary set of indicators and
investigatingthe links between them.More theorizingis needed on the question of
whether"separate" or "poor" is necessarily'excluded."
to social exclusion.Whatconstitutes
A further
challengecenterson thecounterfactual
exclusion?Whilethe
an inclusivesociety?Is itsimplyan absenceof structurally-induced
actors
to
use
the
terms
inclusion
and
exclusion
other
tend
and
EU
interchangeably,
policy
does not,out of concernwiththematterof theantonymof social
theacademic literature
exclusion.Afterall, social exclusionis essentiallya relationalconceptthatimpliesan
ofsomekind.On theone hand,inclusionis too activeorcoercivea
absenceordeprivation
as theantidoteto social exclusion,
term.On theotherhand,Goodinconsidersparticipation
that
the
is the "larger"
is
and
of
that
too
inclusion
two,participation
"passive"
aiguing
for
demand
the
inclusion
of
the
in
that
previously
arguments participation
concept
excluded.79Woodward and Kohli maintainthat social exclusion and inclusionare
paradigms.80Social inclusionis located in a
analyticallydistinct,if not fromdifferent
and institutions
of social membership,
whereas
contextof social integration
theoretical
social exclusiondrawsupon a discourseof social problems.Indeed,EtienneBalibarand
RobertCastel bothrejecttheidea of social exclusionon thegroundthatit is impossible
for human beings to live outside society,and because the policies directedat the
as
excludedlabel themwitha special status,makingit impossibleforthemto participate
in
equals society.81
thereis the matterof agency or causality.Who are the excluders?
Furthermore,
While most discussions of exclusion construe it broadly as an outcome of
globalization,mass immigracomprehensivesocial change economic restructuring,
of thewage earning
tion- theprimarycausal agentremainsunclear.Is it a destruction
contractand of the welfareregimebased on it? Is it the growthof new formsof
inequality(based on categoriesof social ascription,forexample, gender,age, ethnic
identity)?Is it due to more proximatefactorslike "monopolization"of resourcesand
power by privilegedinsidersseeking to protecttheirvested interestsin the face of
such vast changes?Agencyis problematicin anothersense as well. While manysocial
76Ruth
Levitas,"Whatis social exclusion?"in David Gordonand PeterTownsend,editors,Breadline
ofPoverty(Bristol:PolicyPress,2000), 359.
EuropeTheMeasurement
77A. Woodwardand M.
Inclusionsand Exclusionsin EuropeanSociety(2001), 3.
Kohli,editors,
78A notable
is CharlesTilly,"Social boundary
mechanisms/'
oftheSocial Sciences
Philosophy
exception
34/2(June2004): 211-236.
79RobertE.
Goodin,"Inclusionand exclusion,"EuropeanJournalofSociology37 (1996): 343-371.
A. Woodward and M. Kohli, editors,Inclusions and Exclusions in European Society (2001), 4.
81See E.
de
fractionnement
social,exclusion"(1992), R. Castel,Les metamorphoses
Balibar,"Inegalites,
la questionsocial (1995).
& Springer
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558
TheorSoc (2008) 37:537-566
to
exclusionscholarsare bullishabout the concept'sinherent
set of references
in
in
which
structural
exclusion
a
social
is
often
as
condition
factors, practice
depicted
thansomething
thatis doneto them.82
The challengeis to get
peopleare in,rather
- "nominalism"
a
label
as
to
beyond
applied particular
"sociallyexcluded"groups
it
calls
to
address
like
who
are
the
the
Byrne
specificagentsdoing
questions
VeitWilson'sdistinction
betweentheweak and strongversionsof the
excluding?83
idea of socialexclusionis relevant
In theformer,
here.84
thesolutionslie in altering
into
excludedpeople'shandicapping
characteristics
and enhancing
theirintegration
mainstream
In
the
and
as
causal
in
holders
are
identified
latter,
society.
power
power
boththegeneration
of socialexclusionand itselimination.
The way forward
This articlehas so far identified
severalcommonalities
and many differences
betweentheconceptsof social exclusionand social capital.To be sure,theseare
aboutthem.
evolvingconceptsso we shouldnotbe too sweepingin ourconclusions
their
value
has
not
becauseof
to
be
least
However,
assessed,
critically
explanatory
thedangerof confusing
outcomesand causal factors.Insofaras thetwoconcepts
have been popularizedin the media,policy,and everydaydiscourse,theoretical
In
clarification
is essentialto helpthemachievetheoretical
substanceandcoherence.
the
fact
that
both
and
are
home
to
sets
of
literatures
addition,
concepts
quitevarying
of theirintegrity.
sociologicalconcernsraisesthematter
Ourmaingoal hereis,through
sustained
tomovetheorizing
forward.
comparison,
It seemsto us thatsocial exclusionand social capitalare concepts,rather
thanfulldifference
between
notes,thereis an important
fledgedtheories.As Goldthorpe
"nominal"propositions
social
or
most
social
exclusion
(how
capital
usefully
might
be understood),
and "real"propositions
aboutthecauses or consequencesof these
in whichtheseconceptsareembeddedarenotfully
The propositions
phenomena.85
articulated
in
sense
the
of a systemof logicallyinter-related
causal
theories,
In
the
first
each
attend
to
its
needs
to
framework.
instance,
propositions.
analytical
As pointedout,the consequencesof social capitalare best-known:
economic
sound
democratic
a
and
to
lesser
extent
growth,
governance,
good health,
"negative
outcomes"suchas intolerance
andsocialexclusion.Therearefarfewerpropositions
aboutthecauses of social capital.We knowwho has social capital(e.g., educated,
Northern
Italians,Bangladeshiwomen),butnothowtheycametohaveitorwhereit
comes fromin thefirstplace. Sometimes,
thesimplefactof sustainedinteraction
to
social
and
the
reverse:
socialcapital,use itor lose it.We
appears generate
capital,
82
reachesthisconclusionfroman analysisof thelinguistic
formsof social exclusion(along
Fairclough
withotherconcepts)utilizedby thegoverning
New Labourpartyin theUK in its firstyearsin office.
itto theusage in some EU documents,
he notesthatin theUK, social exclusiontendsto be
Comparing
usedadjectivally,
whereastheEU was morelikelyto use itbothas a verbandan adjective.See Norman
NewLabour,NewLanguage(London:Routledge,
Fairclough,
2000).
83D.
Byrne,Social Exclusion(2005), 81.
84JohnVeitWilson,SettingAdequacyStandards(Bristol:The PolicyPress,1998).
85John
"Globalization
and social classes,"WestEuropeanPolitics25/3(July2002): 1-28.
Goldthorpe,
& Springer
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TheorSoc (2008) 37:537-566
559
needsto tellus moreaboutwho social capitalists
are,how
suggestthatscholarship
and reproduced,
and how largestructural
social capitalis generated,
transmitted,
is exceedingly
socialcapital.The literature
shiftsin societyaffect
vagueaboutall of
of
Putnam's
Southern
reached
back centuries,tracingcivic
this.
Italy
study
to the self-governing
of the Renaissance,while the South
city-states
community
in
and
mired
But thereare many
was conquered
feudalism,
givingriseto mistrust.
in
not
to
anomalies
this
mention
alternative
historical
of the
account,
explanations
The assertionof regionalpathdependencyover such a long
regionaldifference.
likeItaly'sfascism,
class politics,andweakcentral
periodfliesin thefaceoffactors
of Rome to weakencivil networksin southern
state.It also neglectsthe efforts
Ifstatescannoteasilygenerate
socialcapital,theymaybe able todestroy
it.87
Italy.86
on
the
other
in termsof its causes,
Social exclusion,
hand,is best understood
and state retrenchment.
Researchon social
especiallyeconomicrestructuring
dimension.
exclusionalmostalwayscontainsa strongeconomicor material
Income
in
are
and
this
literature.
To
be
sure,
poverty unemployment especiallyprominent
causalfactors,
butthereareother,
moreimplicit
ones.Unspokenis
theseareimportant
or integrationist
whatone mightcall a functionalist
bias, in whichsocial exclusion
to
the
social
order
and
lead
conflict.
Justas theriseof the
threatens
may
implicitly
about
revolution
and
led
to
the
class
concerns
institutionalization
of
working provoked
so
the
discontent
of
free-floating
unorganized
groupsof
organizedlabor, today,
of
often
cultural
can
riots
the
seen
inthe
homeless,
minorities, spark
unemployed,
type
thedynamicmechanisms
of becomingexcludedare
Parisianbanlieue.Furthermore,
Workon exclusionis
less well exploredthansocial exclusionas a set of risks.88
Butiftheprocessis
in multiple
that
accumulate
over
time.89
interested
disadvantages
it
be
does
unfold?
Outcomes
interrelated
in
how
cumulative,
may
non-recursively
As
reminds
"exclusion
is
a
for
that
us,
primarilyprocess
cycles, example. Paugam
and can sometimes
end in thebreaking
of socialties,butwhich
startsfromfragility
effectsor of an
does not on the surfaceappearto be the resultof deterministic
while
one
should
not
unidirectional
rut."90
Therefore,
positanyparticular
inescapable
orderto thelinkagesovertimeamong,say,unemployment,
becomingcutofffrom
the
cumulative
anddeveloping
of
socialnetworks,
ill-health,
spiralacrossdimensions
In
too
little
understood.
individual-level
is
still
of
observing
disadvantage
trajectories
research
In addition,
exclusionovertime,life-course
mayofferimportant
insights.91
86P.
"What'sthecivilin civilsociety?"(2003).
Mouritsen,
87MartinPaldamandGert
Svendsen,"An essayon socialcapital:Lookingforthefirebehindthesmoke,"
EuropeanJournalofPoliticalEconomy16/2(2000): 339-366.
88
HilarySilver,TheProcessofSocial Exclusion:TheDynamicsofan EvolvingConcept(ChronicPoverty
October2007).
ResearchCentre,Working
Paper95, Manchester,
89
See, interalia, D. Byrne,Social Exclusion(2005).
andsocialexclusion:A sociologicalview,"in MartinRhodesandYves Meny,
SergePaugam,"Poverty
A NewSocial Contract?(Basingstoke,
UK: Macmillan,1998),
editors,TheFutureofEuropeanWelfare
43.
91On thelife
course,see Karl UlrichMayer,"The paradoxof global social changeand nationalpath
inadvancedsocieties,"inAlisonWoodward
and MartinKohli,editors,
Lifecoursepatterns
dependencies:
Inclusionsand Exclusionsin EuropeanSociety(London: Routledge,2001): 90-110; Glen Elderand
in WilliamDamonand RichardLerner,
MichaelShanahan,"The lifecourseand humandevelopment,"
vol. 1, 6thed: Theoretical
ModelsofHumanDevelopment
HandbookofChildPsychology,
editors,
(New
York:Wileyand Stone,2006), 665-715.
£} Springer
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560
TheorSoc (2008) 37:537-566
further
workis neededto developcomplexindicators
thatsimultaneously
measure
socialexclusionas a processof material
and otherformsof disadvantage,
including
normative
social detachment,
and migration.
disengagement,
spatialsegregation,
these
should
over
indicators
be
tracked
time.
Then,
complex
A focuson thedynamicsof socialcapitalmayalso be fruitful.
On theone hand,
social capitalappearsto reproduce
rise
to
in certain
itself,giving
pathdependency
social settings.
On theotherhand,Putnamhypothesized
a trendtowardsdeclining
social capitalassociatedwithrisingindividualism.
Reconcilingthesedynamicsof
and
essential.
Network
to socialcapitalmaintain
stability changeappears
approaches
thatsocial ties can be eithershort-term
or enduring,
so thatnormsof trustand
are
Networksthemselves
reciprocity
mayvaryin timeframeand enforceability.92
notstablestructures,
butfluid,contingent,
to
andchanging.93
A third
related
process
social capital concerns the interactionsamong trust,tolerance,and social
whichcannotbe takenforgranted.Cross-national
researchsuggests
participation,
thatgeneralizedsocial trustis farmoreimportant
in producing
positiveoutcomes,
and subjectivelifesatisfaction,
thanare otherdimensions
of
e.g., good governance
social capital,suchas associationalactivities
or social,other-regarding
norms.94
a second strategyfor
Focusingmore closely on social networksconstitutes
The
has
to
be
of
whether
advancingscholarship.
question
posed
workingwith
networks
or "ties"- whether
or
weak
or
bridging bonding,
strong maybe clearer
thanusing eitherof the two concepts.95
Since the 1950s, networkanalysishas
allowedsociologiststo map ties,identify
or
configurations,
analyzedirectionality
and
attribute
to
the
social
structure:
reciprocity,
density,multiplexity,
qualities
and bridges.Social exclusionmightbe
holes,leadership,
boundaries,
segregation,
as isolationin a network.Social capital,in contrast,
manifested
could be seen in
networks
ofmutualorreciprocal
links
to
individuals
have
orlackresources
who
ties,
of variouskindsand tiesthatbridgeacrossdenselyboundedclusters.Indeed,some
havesuggested
theimportance
of collecting
of socialnetworks
dataon composition
to allowforanalysisofbothbondingandbridging
socialcapitalas sourcesof social
However,takenalone, a structural
integration.
approachmisses the substance,
and historicaland culturalcontextof social relations.96
This calls for
intentions,
data
on
networks
to
for
contextual
ormultiallow
qualitative
collecting
comparisons
level analysis.Social capitaltheory,
at least in the bondingvariant,emphasizes
ties and strongly
It restson particularism,
boundednetworks.
dense,overlapping
and
exclusion.
Whether
thesesocial ties give
and
where
selectivity,
parochialism,
- tiesto resources,
riseto additionalbenefits
"weak
ties"bridging
across
multiplex
92MariaPatricia
"Social and culturalcapitalin theurbanghetto:Implications
forthe
Fernandez-Kelly,
economicsociologyof immigration,"
inAlejandroPortes,editor,TheEconomicSociologyofImmigration
(New York:RussellSage Foundation,
1995),213^7.
CeciliaMenjivar,
Ties:SalvadoranImmigrant
Networks
inAmerica(Berkeley:University
Fragmented
of California
Press,2000), 155,231.
94C.
"The multiple
facetsof social capital"(2006).
Bjornskov,
95C.
Fischer,"BowlingAlone:What'sthescore?"(2005).
96A. Courtset Social
in theUK: A ResearchProjectfortheCommission
al.,
CapitalIndicators
forRacial
Benchmark
dataina wide
Equality(2007). The2001 Social CapitalCommunity
Surveycollectednetwork
rangeof Americancommunities.
£} Springer
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TheorSoc (2008) 37:537-566
561
and the like- or negative
groups,and in turn,trust,tolerancefor difference,
of
consequences social exclusion,forexample are empiricalhypotheses
worthy
testing.
Indeed,network
analysesrevealdifferent
consequencesof social ties,depending
upon context.Contextmay refernot only to the spatiallocationwithinwhich
butalso to sociallocation:definitions
ofmembership
networks
carryoutexchanges,
forexample,are
and social distanceor hierarchy
amongmembers.Immigrants,
bothmoraland practical,
and enforceable
normsof
renownedforethnicsolidarity,
This social closuremaygive insidersadvantagesfromwhichoutsiders
reciprocity.
are excluded,allowingat least some groupmembersto advance up the social
and resourcesthatcirculate
ladder.97
Dense ethnicnetworkscaptureinformation
social
networks
within
the
maygeneratechainmigration
by
group.Although
only
cannot
newcomers
resourcesand tangible
information,
they
guarantee
transmitting
and family
should
fromfriends,
co-ethnics,
uponarrival."Supportnetworks
support
social
so
as
to
avoid
all
broader
that
from
be distinguished
networks,
assuming
A
common
constant
and
shared
social tiesare supportive....
contact,
background,
breed cohesiveand supportivenetexperiencesdo not automatically
migration
contexts
havedifferent
resources
and
Different
works."98
migrant
groupsin different
with
share
them
members.
to
abilities
thus,different
group
and isolated,so their
of thelowerclassesare oftenclustered
members
Similarly,
fewer
who
resemble
themselves.
have
tiestomembers
to
others
are
ties mainly
They
less
social
or
contact
withthe
and
have
classes
resource-rich
of
thus,
bridging
capital
into
truncation
not
thelack
In suchcontexts,
"socialnetwork
mainstream.
translates,
trust
but
into
a
diminished
on
relations
of
and
based
social
of
reciprocity,
capital
capacityto gain access to resourcescontrolledby largersocial groupings."99
Emotionalsupportand information
may be abundant,but materialresourcesare
social
the
that
To
extent
scarce.
exchangesand
capital rests upon recurring
With
of
duress.
fewresources
under
conditions
it
is
to
difficult
interactions,
generate
areputunderstress,whichcan
to share,existingsocialbondsoftrustandmutuality
erodeor dissolvethem.This setsa processof social exclusionin motion.In turn,
whilestrongtiesto familyand close friends
maysometimes
yieldmaterialsupport,
those"weakties"
in
networks
lack
situated
excluded
homogeneous
people
socially
for
scarce
information
that
be
more
valuable
networks
social
to other
obtaining
may
and
other
abouthousing,employment,
opportunities.
Even if networksdo offermembersaccess to resources,it is unclearwhich
to whatdegree,and underwhichcircumstances.100
in thenetwork
members
benefit,
The existenceof social capitalin a groupsays nothingaboutinequality
amongits
to thepotential
for
members.
The "ethnicenclave"debatecalls attention
constituent
97
Roger Waldinger,Still the Promised City? AfricanAmericans and New Immigrantsin Post-Industrial
and MichaelLichtei;How the
New York(Cambridge:HarvardUniversity
Press,1996); RogerWaldinger
of California
OtherHalf Works
Press,2003).
(Berkeley:University
98
Ties(2000), 31, 34.
Fragmented
C.Menjivar,
99M.
and cultural
"Social
capitalin theurbanghetto"(1995).
Fernandez-Kelly,
100
ofexploitation,"
Social Problems52/3(2005): 379-97; VictorNee,Jimy
"Networks
Cranford,
Cynthia
in an immigrant
AmericanSociologicalReview
Sanders,and ScottSemau,"Jobtransitions
metropolis,"
59/6(1994): 849-72.
£} Springer
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562
TheorSoc (2008) 37:537-566
co-ethnicexploitation.101
Bonds to familyand community,
especiallyin contexts
can createcumulative
forthemost
wheremigrants
lack legal rights,
disadvantages
themintofinancial
andemotional
debtand
marginalized
groupmembers,
propelling
Networks
notonlyhelpmigrants
findjobs, buttheyalso can setoffa
dependency.
of
social
"Rather
than
exclusion.
exclusionary
process
upwardmobility,
producing
networks
closurewas partof a downgrading
process... theclosureof immigrant
from
in
a
as
as
excluded
affect
workers
included
well
those
network,
maynegatively
it.-102
Social closureis a relationship,
and it calls forstudyingthe actionsof both
Bourdieu's
of
social
Weber'sdiscussionofsocial
notion
parties.103
capitalresembles
of
closureand thus,comes close to a theoryof social exclusion.The importance
that
members
of
accrue
from
the
all
carefiil
profits
groupmembership,
guarding
by
on
with
institutions
excluding
groupboundaries,groupmonopolies exchanges,
ones and producing
occasions,places,and practicesto bringhomogeillegitimate
- theseareall partof socialexclusion
neouspeopletogether
to reproduce
thegroup
To
the
extent
that
theorists
drawuponWeber'swork,thereis
social
theory.
capital
commongroundbetweensocialcapitalandsocialexclusion.Although
theemphasis
in Bourdieu'soeuvreis on symbolicpowerand culturalcapitaland theirrelationto
how
economiccapital,morerecentelaborations
ofsocialclosuretheory
demonstrate
in social stratification.104
social exclusionand social capitalare deeplyimplicated
A further
policy
way of developingthe conceptsis to subjecttheirinherent
As
"solutions"and therole(ifany)thattheyascribeto thestateto criticalscrutiny.
of
social
the
sources
of
exclusion
are
elaborated
than
those
social
better
mentioned,
has achievedprominence
as a consequence
capital.Indeed,thewholephenomenon
of economicand staterestructuring,
and policiesto fightexclusionand insertthe
excludedin societyare widespreadin Europe.The originsof social capital,in
are vagueand difficult
instead
to manipulate.
themselves,
contrast,
Groupsmonitor
of relyingon thirdpartyenforcement.
Institutional
conditionslike a decentralized
stateappearto encourage,or at leastnothinder,
thedevelopment
of social capital.
Externalsupportby nation-states
or global organizations
even
may
disruptpresocialtiesandundermine
beneficial
trust
andcooperation.
existing
Providing
"gentle
such as donoraid to scale-upthe operationsof the
supportto local initiative,"
and
grassrootsGrameenBank, may underminethe democratic,participatory,
as
of
assessed
these
manifestations
of
"social
Whether
bottom-up
quality
capital."
source
of
or
the
welfare
state
seen
as
an
effective
redistributive
is
bad,
good
rarely
socialcapital.At best,itcan be an "enabling"state.In contrast,
thesocialexclusion
101
The family
as socialcapitalandthevalue
JimySandersandVictorNee,"Immigrant
self-employment:
ofhumancapital,"American
SociologicalReview61 (1996): 231-249; AlejandroPortesand LeifJensen,
theenclavehypothesis:
"Disproving
Reply,"AmericanSociologicalReview57/3(1992): 418-420.
102C.
"Networks
of
Cranford,
(2005), 393, 395.
exploitation,"
103
On social closure, see Raymond Murphy, Social Closure: The Theory of Monopolization and
Exclusion(New York:OxfordUniversity
Press, 1988); FrankParkin,Marxismand Class Theory:A
Press, 1979); CharlesTilly,Durable Inequality
BourgeoisCritique(New York:ColumbiaUniversity
of California
Press,1998).
(Berkeley:University
104F.
Social Closure(1988); C. Tilly,Durable
Parkin,Marxismand Class Theory(1979); R. Murphy,
(1998).
Inequality
& Springer
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563
idea appealsto collectivist-minded
can everbe
Europeanswhodenythatindividuals
totallydivorcedfromsocietyand who see theriskof social isolationas a problem
foreveryone,insidersand outsidersalike. Social inclusionthuscalls forpublic
solutionsthatactivateall the major social interests,
includingexcludedgroups
andprovidesan efficient
themselves,
way to speakabouttheincreasing
importance
of gender,nationalorigin,language,and othersocialcleavagesbesidesclass.
shouldturnto (the role of) context.Scholarshipon social
attention
Fourthly,
has
withcontext.105
proceededwithouta sustainedengagement
capital
Despite
claims
for
a
social
that
universal
generic
capital
supposedlyworksthe same in
andat different
sociallevelsacrossa longswathofhistory,
different
thereis
settings
it
in
micro-finance
and
institutions,
clearlyvariation how operates.Cooperatives,
foundfertile
othercivicorcommunity-based
initiatives
soil onlyin selectregionsof
such variablesolidarityto "culture"begs the question.
the world.To attribute
need
to extendbeyondspecificregions,e.g.,Northern
and
comparisons
Systematic
exclusion
Social
countercase herein that
SouthernItaly.
providesan interesting
It makeslittlesenseto
and measuresof it are contextually
definitions
contingent.
there
racial
or
exclusion
where
is
racial
orlinguistic
linguistic
speakof
homogeneity.
withthe setting.In the UnitedStates,for
The meaningof exclusioninteracts
example,race is a salientdimensionof social exclusionand correlateswith
In Belgium,languagemaybe moresalient,and
economicand otherdisadvantages.
in Northern
Ireland,religion.Hence,a fully"scientific"
theoryof social exclusion,
in
not
be
attainable.
If social relationsare
works
all
social
that
one
contexts,
may
the
lose
valuable
content
thatmakesstructures
reducedto "ties"or "networks,"
they
distinctive.
Whilecontextmightbe moreto theforein workon socialexclusion,thereis for
bothconceptsthe issue of how "context"is to be interpreted.
Drawingon the
and
social
Fine
about
of
Edwards
observations
Foley
capital,
pointsouttherearetwo
The
context.106
to
different
first,
drawingon Bourdieu's
approaches understanding
or
of
social
exclusion
is
itselfdependent
on the
is
that
the
meaning
capital
approach,
in whichit is locatedand mobilized.The second
circumstances
socialandhistorical
is thatits actualfunctioning,
use, and distribution
(ratherthanits meaning)are
of
tooseldomprevails
contextspecific.The former,
"strong"
understandingcontext,
in workon social capital,butis foundin analyticdiscussionsof social exclusion.
The secondneeds greaterempiricalstudyacrosscontexts.When,where,and for
whomdo social tiesproducepositiveor negativeconsequences?
while a fruitful
Workingto elaboratehow the two conceptsare inter-related,
not
be
taken
should
to
extremes.
for
them
Figure2 shows
strategy clarifying further,
ofillustrative
Itdemonstrates
interms
socialcategories.
thatthelinks
their
co-variation
andthatone is notthemirror
betweensocialexclusionandsocialcapitalarevariable,
imageof each other.The sociallyexcludeddo notalwayslack social capital(e.g.,
One implication
is thatsocial
enclavesor the gay community).
ethnic/immigrant
to
It
is
to
think
an
antidote
social
exclusion.
aboutthe
is
not
insightful
always
capital
105Johnston
and Percy-Smith
(2003), 329.
106See B.
Fine,Social CapitalversusSocial Theory(2001), chapter7, and MichaelW. Foleyand Bob
Edwards,"Is ittimeto disinvestin social capital?,"JournalofPublicPolicy19/2:963-971.
fi Springer
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564
TheorSoc (2008) 37:537-566
socialplacement
of thosewithlow socialcapital.Some are full-fledged
in
members
whereasothersare
isolatedsuburbanites),
society(such as marriedhomemakers,
scornedoutsiders
(e.g.,singlemothers,
drugaddicts).Thiskindofexerciselaysbare
someofthecausalprocessesatwork.Whensocialcapitalis absent,
itis mostoftenseen
as a failure
oftheindividual
orcommunity
without
it,sincesocialcapitalis assumedas a
latent
mobilized.
Whensocialinclusion
itis attributed
toa
is absent,
resource,
costlessly
ofthelargersocietyas a wholeandso,callsforstateintervention.
failure
to recognizeone further
Finally,Fig. 2 also suggeststhatitis instructive
implicit
sharedpoint of referencefor both concepts,namely,a "mainstream"
whose
characteristics
are takenforgranted.107
is conceivedas
Althoughthemainstream
the includedmajorityin social exclusiontheory,it is not so clear that,as
individualism
is still high in social
progresses,the majorityor the mainstream
These
considerations
a
need
to
ftirther
the
boundaries
capital.
suggest
probe
dividing
theexcludedfromtheincluded,themainstream
fromthemarginal,
and separating
thosewhoarerichandpoorin socialcapital.Social relations
betweenthe"insiders"
andthe"outsiders"
a
whole
series
of
social
boundaries
and
which
"distances,"
shape
in turninfluence
bothsocial capitaland social exclusion.
Concludingthoughts
As thisarticleargues,social exclusionand social capitalare oftenconflated
both
and
Some
of
the
confusion
the
two
around
conceptually empirically.
conceptsmay
thevernacular
with
areunfamiliar
simplyreflect
meaningsof eachterm.Americans
thewidersocial scientific
of
the
term
"social
exclusion,"confining
understandings
itsapplication
to thefewcontexts
likeracerelations
whereitmakesobvioussenseto
them.In Europe,withitssocialisttradition,
theremaybe resistance
to theidea that
kind
of
is
Bourdieu's
more
elaboration
of
thetermhas
any
'capital' good.
political
resonancewithEuropeanconcernsaboutclass hierarchies.
We have suggestedthat
thereare a numberof substantive
reasonswhytheseconceptsmightbe confused.
Forone,theirmeaningsareambiguousandvague.Copioustheoretical
interests
and
the
for
and
confusion.
link
both
applicationsopen
way
overlap
Secondly,they
thefact
sociologyand publicpolicy,especiallypovertyreduction
policy.Thirdly,
thatboth of thesemulti-dimensional
ideas have been definedin multipleways
increasesthelikelihoodof conflation.
Thereis also thefactthatas new ideas,they
drawuponexisting
datasetsformeasures.However,partofourargument
is that,far
frombeingsuperficial,
theconflation
has theoretical
roots.Some definitions
ofboth
drawuponthesame theoretical
in classicalsociology.Social exclusion's
traditions
in cohesion,integration,
interest
and people's involvement
in solidaristicsocial
has
bonds,whichit draws fromsocial Catholicismand FrenchRepublicanism,
resonancewiththe communitarian,
of
social
Toquevillianunderstanding
capital.
Some of theirmeaningssignificantly
overlap,then,becausethetwobodiesofwork
havesharedantecedents
in classicalsociologyand philosophy.
107
J. Goldthorpe,"Globalization and Social Classes," (2002). He argues thatthe divergentideas of what
exclusion is from leads to widely differentestimatesof the size of the excluded population.
£l Springer
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TheorSoc (2008) 37:537-566
565
betweensoFig. 2 Co-variation
cial exclusionand socialcapital
HighSocial Capital
Low Social Capital
SociallyIncluded
"Mainstream"
Homemakers
Couchpotatoes
Lone bowlers
Socially
3 Excluded
enclaves Addicts
Ethnic/immigrant
Gays
Singlemothers
class communities Prostitutes
Working
Isolatedsuburbanites
Thisarticlehas soughtto indicatesomewaysin whichworkon thetwoconcepts
can proceed.Greaterattention
is neededto explanatory
factors,
dynamicprocesses,
and policyprescriptions.
The natureand effectsof contextalso requiregreater
attention.
We also see potentialfora conversation
betweenthe two perspectives
further
researchon theconstituents
and operation
of social networks.
Both
through
frameworks
assertthatthepotential
fora positivecontribution
of social bondsand
activecivilsocietyto economic,political,andcommunity
lifeis undeniable,
butnot
socialinclusionand socialcapitalcan havenegative
Indeed,sometimes,
guaranteed.
of
outcomes,
depending
greatly
upontime,place,and,mostimportantly,
inequalities
and
resources,
power
Delineatingtheseconditions,
especiallythrough
comparative
is a scholarly
research,
agendarichin significance.
To conclude,one mustask whythepopularity
of ideas like social capitaland
social exclusionhas increasedpreciselyat a timeof global marketexpansion,
welfarestateretrenchment,
and privatization.
The factthattwonovel"social"ideas
have gainedwidespreadcurrency
at a timeof global economicrestructuring,
the
of statefunctions
to transnational
and local levels,and rapidmobility
reassignment
of populationsreflects
a commonattempt
to understand
thesocial re-organization
thatis underway.
Of course,thisdoes notadd up to another
"GreatTransformation"
on a par withindustrialization.
One shouldnotoverstate
eitherthenoveltyor the
structural
has recently
warnedagainst
impactsof thesetrends.Indeed,Goldthorpe
sucha "fallacyof discontinuity."108
It has beentempting
to exaggerate
thescopeof
social exclusionand thepotential
benefits
of social capital.The dangerin adopting
both conceptsis that,as they directattentionto disadvantagedgroups,the
fundamental
willbe lost.
context,
especiallytherisein inequality,
to theTheoryand Societyreviewers
fortheirveryhelpful
AcknowledgmentsThe authorsare grateful
on thisarticle.
comments
108J.
"Globalization
and Social Classes,"(2002), 21.
Goldthorpe,
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566
TheorSoc (2008) 37:537-566
ofSociologyattheSchoolofSociology,Social PolicyandSocial WorkatQueen's
MaryDalyisProfessor
welfarestate,gender,
Belfast.Amongthefieldsinwhichshehas publishedarepoverty,
family,
University
include:"EU
and labormarket.
Her current
researchis on EU social policy.Some relevant
publications
EU Social
social policyafterLisbon,"Journalof CommonMarketStudies44/3(2006); and "Whither
intheLisbonSocial InclusionProcess,"Journalof
ofDevelopments
Policy?An AccountandAssessment
Social Policy,37/1(2008).|
and a NEHof Sociologyand UrbanStudiesat BrownUniversity
HilarySilverisAssociateProfessor
Herresearch
MemberoftheSchoolof Social Science,Institute
forAdvancedStudy,Princeton.
supported
focuseson social exclusionand urbanpoverty.
Her mostrecentwork,Social Exclusion:Comparative
was publishedby theBrookingsInstitution.
AnalysisofEuropeand MiddleEast Youth,
& Springer
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