Gabriel Palma - Dependency (1978)

World Development VoL 6 pp. 881-924 030S-7SOX/78/0701-0881 SOl.
00/0
Cl Pergamon Press Ltd. 1978. Printed. in Great Britain
Dependency:
A Formal Theory of Underdevelopment
or a Methodology for the Analysis of
Concrete Situations of Underdevelopment?
GABRIEL PAL\IA *
Institute of Latin American Studies,
University of London
Para Magdalena
1. INTRODUCTION and the post-1948 ECLA critique of the con-
ventional theory pf international trade and
May one talk of a 'theory of dependency"? If economic development.
so, what general implications does it have for The complex roots of the dependency
contemporary development strategy? Do we analyses and the variety of intellectual tradi:-
find under the 'dependency' label theories of tions on which they draw make any attempt at
such a diverse nature that it would be more a comprehensive survey difficult. The difficulty
appropriate to speak of a 'school of depen- is further compounded by the fact that in one
dency'? ls it even correct to describe as theories way or another the dependency penpective bas
the diffe~nt approaches within that school? so dominated work in the social sciences in
And if so, what general implications might each Latin America and elsewhere in recent years
one have for contemporary development stra- that it would be liten.lly impossible to review
tegy? the overwhelming mass of writing that has
Some writers within the dependency school appeared, aimed at either supporting or refuting
argue that it is misleading to look at depen-
dency as a formal theory, and that no general
implications for development can be abstracted Tue initial stimulus for this paper came from a
from its analyses. Some of those who argue that workshop on dependency organized in the Latin
there is such a theory flatly assert that it leads American Centre, St. Antony's College, Oxford, by
inescapably to the conclusion that development my colleagues Rosemary Thorp and Sanjaya Lall, of
is impossible within the world capitalist system, the institute of Economics and Statistics, and myself.
thus making development strategies irrelevant, I am extremely indebted to them both, and to the
at least within that system. Others, on the other participants in that workshop, and particularly to Paul
hand, who speak in terms of a theory of Cammack, Fenw\do Henriq~ Cardoso, Emeato
dependency, argue that it can be operationa- Laclau and Philippe Reichsml for discussing UI eadier
draft of the papcr with me. I would also like to thank
lized into a practical development strategy for Alan Angell, Mariana Oiudnovsky, Rafael Echevettia,
dependent countries. . Marla Alicia Ferrera, Luil Ortega, Cristobal Palma,
If the problem of extracting direct lessons Hilda Sabatc, Elizabeth Spillius, Bob Sutcliffe and
from the dependency analyses is a difficult one, Margaret Weirunan:n for their help and support, and
it is no less difficult to survey what has been a the World Univetsity Service and the Institute of La.tin
diffuse and at times contradictory movement, American Studies of London University for maldDg it
inextricably a part of the recent history of posa"ble for me to devote myself fully to this m:ea:rch-
Latin America itself, of individual nations, and Finally, I would like to express gratitude greats
than words can adequately convey to Paul Cammack,
of the post-war development of international for transforming the original manuscript into polished
capitalism, and drawing its inspll:ation from English, for clarifying my own ideas on a number of
such diverse intellectual traditions as the long points in so doing, and for editing the essay down to
and involved Marxist debate concerning the manageable proportions. despite my frequent protests.
development of capitalism in backward nations, The responsibility for what is left is of course my own.
881
882 WORLD DEVELOPMENT
its major theses, or simply reflecting its sudden 2. SALIENT FEATURES OF THE MARXIST
ascendancy in academic and institutional circles DEBATE ON CAPIT AUST DEVELOPMENT
hitherto relatively closed to radical critiques of IN BACKWARD NATIONS
current orthodoxy. Added to this is the fact
that in one way or another those who have The Marxist debate on capitalist develop
contributed to the dependency school have ment in backward nations is located in the
been directly and actively involved in the mirjor broader theoretical context of the debate on
political struggles and controversies of post-war imperialism. At a first level of approximation,
Latin America. Not only has this left an close to its etymological meaning, imperialism
indelible mark on their own work, but it has denotes a particular relationship, 'a relationship
often led their opponents to cloud the issues by of a hegernonical state to people or nations
carrying the debate to purely ideological ter- under its control' (Lichtheim, 1971, p. 10). At
rain, thus adding to the confusion surrounding this level the essence of imperialism is domina
the dependency analysis itself by promoting an tion and subordination, and the concrete ways
increasingly sterile discussion with little in which the sovereignty of lesser political
thorough consideration of its theoretical and bodies can be infringed may be manifested in
historical roots. very dissimilar manners, as direct and visible as
I believe that previous surveys of depen- in colonialism, or as complex and diffuse as in a
dency writings have in particular failed to system of international relations of dependency
clarify sufficiently its roots in the tradition of which distorts the economic development of
Marxist thought on the development of capi- nations.
talism in backward nations, thus giving rise to a From this point of view imperialism neither
great deal of misunderstanding.. l have therefore is nor has to be a phenomenon exclusive to
attempted particularly to place it within this capitalism, for close and asymmetric relation-
tradition; Marxism is a highly complex subject, ships are not peculiar to capitalism; what is
and its contribution to the analysis of the peculiar to it is the form in which this type of
development of capitalistn in backward nations relationship is developed and made manifest.
is no less so: an attempt to incorporate it into Even more, the concrete ways in which the
the analysis here is however essential, in order backward countries have furnished the needs of
to the advanced countries within the system also
( l) clarify the conceptual issues around vary, in accordance with the changing neces-
which the debate revolves, sities of the latter in their different stages of
(2) show how many of the debates among development. For this reason it is not very
dependency writers echo similar debates useful to remain at this f:irst level; we must
which took place earlier within the Marxist progress further, and analyse the way in which
tradition, although in some cases their rele- these relations of domination and subjection
vance has not been duly appreciated, and are situated in the context in which they
(S) show the problems involved in seeking develop; if not, we shall find ourselves making
'implications for contemporary development only
strategy' from the dependency writers.
general disq Wsitions on imperialism, which ignore,
I complement this analysis with a discussion or put into the background, the fundamental
of the other major source of inspiration behind difference between soc:io~nomic systems, and
dependency, the ECLA (United Nations Eco- which inevitably degenerate into the most vapid
nomic Commission for Latin America) school banality or bragging, like the comparison: 'Greater
and the attempts to reformulate its thinking Rome or Greater Britain' (Lenin, 1916. p. 97).
which followed the apparent failure of ECLA
inspired policies of import-substituting in- a. The Marxist concept of imperialism1
dustrialization.
I distinguish three approaches within the The essential characteristic which distin-
dependency school, and conclude that the most guishes the way in which Marxism places this
successful analyses are those which resist the relationship of domination and subiection with
temptation to build a formal theory, and focus in the context in which it develops (as it does in
on 'concrete situations of dependency'; in all other social activities and historical develop-
general terms I have elected to stress that the ments) is its basis in the material conditions of
contribution of dependency has been up to production, while non-Marxist interpretations
now more a critique of development strategies may be based equally, and at times jointly, on
in general than an attempt to make practical ideological, political, economic, social or cul
contributions to them. tural factors. Nevertheless, the Marxist analysis
DEPENDENCY: FORMAL THEORY OR METHOOOLOOY 883
and interpretation of imperialism does not deny corner-stone of social activity and historical
in any way the superstructural elements that development (and hence of imperialism) relates
may have been present in the different stages of back to the fact that for him labour is the
unperialism, 2 for the elements of the super fundamental human activity. Throuah it man
structure may and do assume an autonomy of not only satisfies the primordial need to subsist,
their own, which in tum .reacts upon the but also develops his potential; this activity,
material base; to deny the importance of the which consists of an interaction With nature
superstructural elements is to fail to understand and With one's fellow men, contributes an
the important feedback of human conscious- essential element to Marx's understanding of
ness into the material world. What is peculiar to man and his history, and it is this which leads
Marxist interpretations of imperialism is the Engels to call this approach 'Historical Materia
reference in the final analysis of these and other lism'.
superstructural elements to the material base in The essence of Marx's analysis of the process
which they develop. 3 . of labour is to be found in Capital (1867, pp.
Nevertheless, it is not sufficient to postulate 130-13 8); once he had demonstrated the
that the elements of the superstructure can be impossibility of explaining the process of extrac-
related in the final analysis to the material base tion of surplus value at the level of the circula-
in which they develop: we also need to know tion of capital, he decided to take the analysis
the concrete forms in which the two are to a deeper level, to that of production. Making
connected. This has been one of the most this transition, he develops the concept of
controversial themes within Marxism, and Marx labour fll'St at an abstract level (that is, indepen
himself did not make the task any easier, saying dent of any historical process), and later in the
sometimes that the one 'determines' the other, particular forms in which it develops in the
sometimes that it 'conditions' it, and sometimes capitalist mode of production:
that it 'corresponds' to it. There is at least Labour is a process in which both man and nature
agreement among Marxists that changes in the participate, and in which man of hh. own accord
base are necessary but not sufficient for starts, regulates and controls the material reactions
changes in the superstructure, That is to say, between himself and nature .... By thua acting on
changes in the superstructure are related to the external world and changing it, he at the same
changes in the material base of society, but do time changes his own nature. He develops his
not occur as a simple mechanical reflex. 4 slumbering PowetS and compels them to act in
obedJence to his sway (186 7, p. 130).
If Marx uses different terms to refer to this
relationship, there are nevertheless passages in The clearest statement of the importance
his works which offer the necessary elements which Marx attached to the material conditions
for a clear understanding of his position. In the of the productive process is found in the
preface to the second edition of The Eighteenth preface to A Contribution to the Critique of
Brumaire of Louis Bonaparte for example, Political Economy {1859):
written in 1869, he explains that conditioning ln the social production of their life, men enter
historical circumstances (that is, those external into definite relations that are indispemable and
to the will of individuals) determine only the independent of their will, relations of production
possibilities in historical situations, not the Which correspond to a det"'mite state of develop-
details of their future development. In the ment of their material productive forces. The sum
analyses which he made of the Russian situa- total of these relations of production constitutes
tion in the last years of his life (and to which I the economic structure of society, the real founda-
shall return later) he is very explicit in this tion, on which rises a legal and political superstruc-
ture and to which correspond definite forms of
respect. Lenin for his part constantly debated social consciousness. The mode of production of
with the Mensheviks their deterministic view of material life conditions the social, political and
history: intellectual life process in general. lt is not the
The Mensheviks think that history is the product consciousness of men that determines their being,
of material forces acting through the processes of but, on the contrary, their social being that
evolution. I think, with Marx, that man makes determines their consciousness.
history, but within the conditions, and with the It is important to stress that from this
materials, given by the corresponding period of method of historical analysis it cannot be
civilization. And man can be a tremendous social deduced that man is simply a product of
force (quoted in Horowitt, 1969, p. 10).
material conditions; Marx criticizes Feuerbach
The importance of the material conditions for adopting this view, which leaves out the
of the process of production, which leads Marx subjective, creative side of man's interaction
to make of this aspect of human activity the with nature. 6 What Marx wishes to stress is that
to understand man, we must begin with the (i) the rate of profits for capitalists would
material conditions of the productive process; tend to decrease, thus forcing them to
this does not imply economic determinism, engage in a continual struggle to avoid this
although Engels later recognized some respon- fall, marked among other things by the need
sibility for the diffusion of this view: for the geographic expansion of their econo-
Marx and I are ourselves partly to blame for the mies;
fact that the younger people sometimes Jay more (ii) the working class would be totally ex-
stress on the economic side than is due to it. We cluded from 'objective wealth';9
had to emphasize the main principle vis..Z-vis our (iii) the system as a whole would be shaken
adversaries, who denied it, and we had not always as a result of these and other factors by a
the time. the place, or the opportunizy to give their series of crises that would culminate in a
due to other elements involved in the interaction transition to a higher system.
(quoted in McLellan. 1975, p. 41).
The development of this system of produc-
As regards Marx's method of analysis, he tion first in the United Kingdom and later in
emphasized that any science had to penetrate other countries led them to develop between
from the apparent movement of things to. their themselves and with the rest of the world
real underlying causes. This involved a distinc- relationships different from those which had
tion between appearance and essence, going prevailed before, and dictated primarily by
back a long way from Hegel through Spinoza their particular economic needs. These relation
and Aristotle. 7 As regards economics, he con ships in turn tend to evolve in accordance with
ceives it as the core of any scientific view of the transformation of the economies of these
society, and criticizes those economists who countries and of those in the rest of the world.
The relationships among the advanced countries
dealt only with the market sy&tem (appearance) in the system, and those between the advanced
without considering the social foundation (essence) countries and the backward countries (the
in which the market is based (McLellan, 1975, p. forms in which the latter furnish the needs of
58).
the former) are not static, but evolve through
The essential elements of Marx's view of the history.
capil.alist system are found in Capital, but it is Within the Marxist tradition the term 'im-
studied there only from the point of view of perialism' was initially applied to the relations
the mode of production, without relating it to between advanced and backward countries
any social formation in which it develops. This within the capitalist system, and later to the
part of Marx'e work was incomplete at his totality of a particular phase (the monopoly
death. It is generally argued that the funda- phase) in the development of that system,
mental elements of the methodology of Marx's characterized by a particular form of relation-
economic doctrines are found in the general ships among the advanced countries, and
introduction to his Grundrisse (1859, pp. between them and the backward countries. The
100-108), and in the preface to the second fact that the concept has been used to define
edition of Capital (1867, pp. xvii-exxiv), and both those aspects of capitalist development
that the methodology relates to Hegel, the which have related the fonunes of advanced
economic analysis to Smith and Ricardo. Never- and backward areas, and the monopoly phase
theless, a recent study of Marx's method of of the development of that system, has pro-
analysis in Capital has contributed new ideas to duced a certain degree of confusion regarding
the debate (Echeverria, forthcoming) the provenance of the concept and its proper
The fundamental theoretical nucleus of concerns.1 0 This confusion is also related to
Marx's analysis is the labour theory of value;8 the fact that if one of the fundamental tenets
from this it follows that the capitalist mode of of Marxism is that different aspects of the
production is governed by the drive to extract theory of capitalist society and development
surplus value from a class of wage labourers, to are indivisible strictu sensu, it may appear to be
realize this surplus value by finding a market impossible to speak of a Marxist theory of
for the commodities in which it is embodied, imperialism; we could only look at it as an
and to turn this surplus value into capital for aspect of the theory of capitalism. In that case,
investment in new means of production to imperialism could be referred to as a theory
maintain and expand the process. only in Lenin's sense of the term - a stage in
From the point of view of our analysis, the the development of capitalism. Despite this, I
principal implications of the labour theory of believe that it is absolutely legitimate to use the
value for the long-term future of capitalism are concept of imperialism to designate only those
that aspects of capitalist development which have
DEPENDENCY: FOllMAL THEORY Oil METHODOLOGY 885
related the fortunes of the advanced and competition for supplies of raw materials and the
backward areas within the world capitalist growth oi monopoly. The third involves a more
system, and even to speak of a 'theory of complex, post-colonial. dependency oi the pen-
imperialism' in this sense, so long as we accept pheral countries, In which foreign capital (inter-
national corporations), profit repatriation. adverse
that different theories can have different changes in the terms of trade (unequal exchange)
status. 1 1 In this case the theory of imperialism all play a role in confining, distorting or halting
would be part of a wider theoretical field, that economic development and industrialisation
of the Marxist theory of capitalism, and, in the (1972a, p. 172). (The emphasis is mine.)
end, the problem would simply be one of
In each of these phases of imperialist rela-
specifying with clarity whether the term
tions the peripheral areas would have furnished
'imperialism' is used and understood in its
the needs, in different ways, of the advanced
wider or more restricted sense, and whether it is
capitalist nations: in the first, by assisting
understood as a theory in both cases or only in
the first. ' primary accumulation and allowing those
nations to carve out their essential initial
markets; in the second, by playing a role in the
b. The field of study of the Marxist
partial 'escape' of a more mature capitalism
from the consequences of its contradictions (as
theory of capitalism
analysed by Luxemburg. 1913 ;. Bukharin, 1915;
and Lenin, 1916); and in the third, the least
For analytical purposes we may distinguish
well-defined, advanced mature capitalism
between three concerns in the Marxist theory
appears to attempt to secure itself against the
of capitalism; according to the form in which
emergence of competition which could threaten
imperialism is understood it will cover one or
all of these concerns: 1 ~ its stability, organization and growth.
(i) the development and the economic and
I shall attempt to demonstrate that to the
analysis of each of these three phases in the
class structure of advanced capitalist socie-
relationships between the advanced and peri-
ties (especially the factors which drive them
pheral countries in the capitalist world postu-
to geographical expansion of their econo-
lated above there corresponds a particular
mies), and the relations between them
analysis of the development of capitalism in
(ii) the economic and political relations
backward nations. The first, essentially that of
between advanced nations and backward or
Marx and Engels, analyses capitalism as a
colonial nations within the world capitalist
system; historically progressive system, which will be
transmitted from the advanced countries
(ill) the development and economic and class
(through colonialism, free trade, etc.) and
structure in the more backward nations of
which will spread through. the backward nations
the capitalist system (particularly the way in
by a continual process of destruction and
w~ch their dynamic is generated through
replacement of pre-capitalist structures. As a
their particular modes of articulation with
result of this process a series of new capitalist
the advanced countries).
societies would arise, whose development
The Marxist analysis of the capitalist system
would be similar, in the post-colonial period.' to
attempf:8 to ~ake these three concerns together,
that of the advanced countries themselves; this,
and build with them a theory of its develop-
then, would be followed by the development of
ment. If one uses the concept of imperialism in
its widest sense, the theories of capitalism and the series of contradictions inherent to the
capitalist system, which would tend to lead to a
imperialism become identical; if one uses it in
higher system of development.
its more restricted sense, its analysis relates
primarily to the historical development of the The second approach to the development of
capitalism in backward nations, found primarily
second concern. From this last point of view we
in the writings of the so-called 'classics of
can distinguish in the theory of imperialism
with Sutcliffe, ' imperialism', concerned itself first with the
peculiarities of the development of Russian
three quite distinct phases (defined logically rather capitalism, and afterwards with that of other
tha_n temporally). in the relations between capi-
talism and the penpheral countries and areas of the
more backward areas of the world in the
world. One (prominent in Marx's and Engels's 'monopolistic' phase of the world capitalist
writings) involves plunder (of wealth and slaves) system. As regards the development of Russian
and exports of capitalist manufactures to the capitalism, (as we shall see in detail below) its
perip~eral .~untries. The second (uppermost in historically progressive character is stressed but
Lenin s wnting) involves the export of capital, this development is no longer analysed. s~ply
as a process of destruction and replacement of dependency school emerge, although they are
its pre-capitalist structures, but as a far more not confined to this phase, but relate to the
complex process of interplay between its inter forms of articulation of the economies and
nal and external structures. These analyses politics of the Latin American nations with the
. stress the difficulties resulting from 'late' advanced nations throughout the whole period
industrialization, the ambiguous role of foreign covered by the three phases I have enumerated.
capital (from Western Europe), and the great The core of these analyses is the study of the
capacity for survival of pre-capitalist structures. dynamics of individual Latin American societies
As regards capitalist development in other more through the concrete forms of articulation
backward regions of the world, we may distin- between 'external factors' (the general deter
guish two major historical stages in the analyses minants of the capitalist system) and 'internal
of the 'classics of imperialism'. The first was factors' (the specific determinants of each of
characterized by its analysis (following Marx) these societies). They are therefore a part of the
of capitalist development in the colonies as theory of imperialism, if this is understood as
historically progressive, but (qualifying Marx's the study of the capitalist system as a whole, or
analysis) limited by the new imperatives of the complementary to it, if it is understood as
advanced economies in their monopoly phase. concerning itself with the political and eco-
Faced with these imperatives the advanced nomic relations between advanced and back
nations were, in the view of these writers, ward areas of the capitalist world. In both cases
succeeding in restricting modern industrializa it is intimately connected with the theory of
tion in the colonies. Nevertheless, they stress imperialism, and in no way intended as an
that once the colonial bonds are broken alternative to it, as some of its critics have
modern industrialization could eventually take wrongly argued. 1 3
place. Thus the capitalist development of back As the majority of dependency studies are
ward nations would take on a similar character intimately connected with the development of
to that of the advanced nations. At the same Marxist thought in regard to the development
time they insist that this process of post- of capitalism in backward nations, and as these
colonial industrialization would in no way be analyses refer to the development of Latin
free from political and economic difficulties America throughout the whole period covered
and contradictions; on the contrary, the emerg- by the three phases we have discussed, we shall
ing national bourgeoisies would face the diffl- begin by examining the first two phases of
cult but by no means impossible political task discussion concerning capitalist development in
of developing their own bourgeois revolutions, backward countries.
and the no less difficult but equally possible
task of 'late' industrialization.
It was at the beginning of the 1920s that this c. Mar.:x and Engels on the development of
approach was transformed as emphasis was capitalism in backward nations
placed on a different set of difficulties (parti
cularly of a political nature) hindering the It is not easy to analyse Marx's and Engels's
process of post-colonial industrialization. approach to the development of capitalism in
The third approach was first developed in the backward regions of the world, as their
the 1950s, and 'took off with the publication remarks on the subject are scattered throughout
in 1957 of Baran's The Political Economy of their respective works. In Marx's case, although
Growth; it is characterized by the acceptance, the analysis of the capitalist mode of produc-
almost as an axiomatic truth, of the argument tion in Capital is a work of profound and
that no Third World country can now expect to systematic brilliance, his specific references to
break out of a state of economic dependency the concrete forms in which this mode of
and advance to an economic position beside the production is developed in backward regions
major capitalist industrial powers. This is a very are not found there, but in various of his other
important proposition since it not only estab- works. Of relevance among his political writings
lishes the extent to which capitalism remains is the Communist Manifesto (1848); among his
historically progressive in the modern world, theoretical writinp, the preface to A Contribu-
but also thereby defines the economic back- tion to the Critique of Politica.J Economy
ground to political action. Yet, too often, the (1859); among his correspondence, that with
question is illdefined; it is not self-evident; its his contacts among the Russian left; and among
intellectual origins are obscure; and its actual his articles to newspapers, those in the New
foundations are in need of a fuller analysis. It is York Daily Tribune between 1853 and 1859.
in this third phase that the analyses of the Unfortunately, his concrete references are al
DEPENDENCY: FORMAL THEORY OR METHODOLOGY 887
most all concerned with India and China, with which will enable society to allow for the free
only superficial references made to Latin development of every member according to his
America. This is unfortunate not only because capacity; and capitalism can only develop in
we are ourselves interested in Latin America, them through its penetration and imposition
but more significantly because the sub-- from abroad. Only on the basis of this dialecti-
continent would have provided Marx with a cal understanding of capitalism can we under-
backward region already developing in a way stand the famous affirmation in the preface to
which would be typical of post-colonial socie- the fl.rst edition of Capital that
ties in later years, with the exception of those the backward country suffers not only from the
of European settlement. While formally free, development of capitalist production, but also
the countries of Latin America were economi- from the incompleteness of that development
cally backward and dependent. (1867, p. xiv).
In a letter written in the closing years of his In general terms we may say that it is
life, Marx stressed that in Capital he had analytically convenient to distinguish two
studied only the genesis of capitalism in intimately connected levels in Marx's analysis
Western Europe (Marx, 1877, p. 253). Never of the development of capitalism in backward
theless, it is from that same work that we can nations. One relates to the neces:ity (both
deduce with clarity his analysis of the ten political and economic) of capitalism as an
dencies which would guide the expansion of the essential step towards higher forms of develop-
capitalist economies towards the backward ment of productive forces, the other to the
regions of the world. The most relevant chap- possibility and viablltty (both political and
ters are those concerning primary accumulation economic) of its development. These two levels
(1867, Ch. XXIV) and foreign trade (1894, Ch. of analysis are present in the Marxist tradition
XIV). with differing degrees of emphasis. In Marx's
The central element behind the need of the writings on the subject the central concern is
advanced capitalist economies to expand is the with the necessity for capitalist development,
need to develop an effective means of counter- with its feasibility taken completely for
ing the tendency for the rate of profit to fall; granted. In the present day however the em-
such expansion makes it possible to expand the phasis is placed more on the second level of
scale of production, to lower the costs of raw analysis, that of the feasibility of capitalist
materials and of the products needed to main- development in the periphery. 1 5
tain and reproduce the labour force at home As regards the first aspect, the necessity of
(making it possible to keep salaries low), and capitalist development, Marx states very clearly,
thus to increase the surplus by helping to at least until the important change which comes
preserve the low organic composition of capital. towards the end of his life, that socialism can
Furthermore, for a period of time the capitalist only be attained through capitalist develop-
in an advanced country can gain a higher rate of ment, and that this will not be produced in the
profits by selling backward regions of the world by the develop-
in competition with commodity producers in other ment of their own productive forces, as was the
countries with lesser facilities for ptoduction ... in case in Western Europe, but by the impact
the aame way that a manufacturer exploits a new upon them of the capitalism of Westem Europe
invention before it has become general (1894, itself.
Section S).' 4
Marx is overtly hostile to the modes of
Nevertheless, Marx did not confine himself production in existence in non-European socie-
to the analysis of the driving forces which lead ties, chiefly on the grounds of their unchanging
to the expansion of capitalism. In his analysis nature, which he saw as a drag on the process of
of the effect of this upon the backward regions, history, and thus a serious threat to socialism.
following the Hegelian tradition, he distin- This led him, while condemning the brutality
guishes between the subjective motivations for and hypocrisy of colonialism, to regard it as
this expansion and "its objective historical re historically necessary.
suits. On the one band he condemns this Initially, in the Communist Manifesto Marx
expansion as the most brut.a.lizing and de- and Engels appear to refer to the backward
huma.niz.ing that history has ever known, but on nations en muse as 'barbarians', 'semi-
the other he argues that it is necessary if the barbarians', 'nations of peasants', and 'the
backward societies are to develop. Only capi- East', in a manner which contrasts strikingly
talism, he argues, can provide the necessary With their meticulous study of European
economic and technological infrastructure society and history, and is particularly unsatis-
factory in a work which makes the strongest Such an expansion would have a destabilizing
possible claim to be based upon a universally and disintegrating effect on the Asiatic mode of
applicable scientific interpretation of history. production, re-stabilizing and re-integrating
However, 11 years later, in the preface to A such societies in a capitalist mode of develop-
Contribution to the Critique of Political ment which would bring with it the develop
Economy, Marx made a more serious attempt ment of productive forces and generate an
to relate the socio-economic conditions of the internal dynamic which would lead such socie-
non-European world to ms general theory of ties towards higher stages of development.
history, but he did so elliptically, and in a way It is essential to note here that Marx makes
that has bedevilled Marxism ever since. Discus- no distinction between endogenous capitalist
sing the stages of economic development, he development (such as occurred in Western
strongly brings out the dialectical tensions Europe) and that which is introduced from
inherent in every period, saying, in a passage outside. Irrespective of its origins, capitalism
that has become classic: once implanted in a society will develop in a
no social order ever disappears before all the certain way. If one of its central characteristics
productive forces for which there is room in it have is to develop both objective wealth and poverty,
been developed; and new, higher relations of this would exist within each society, rather
production never appear before the material con- than between societies.
ditions of their existence have rnature4 in the Only fleetingly in the case of China and with
womb of the old society (1859, p. 337). much greater clarity, towards the end of his
Pro<;eeding to analyse the four modes of life, in the case of Russia, docs Marx recognize
production, Asiatic, Ancient, Feudal and Capi- the possibility that different traditional struc-
talist, he leaves the Asiatic mode in a form tures could be capable of serving as a starting
which is difficult to understand. There is a clear point for movement towards more advanced
perception of a kind of continuity (its move- stages of development; in the first case he
ment produced by the development of contra- speaks ironically of the possibility of a bour-
dictions) between the Ancient, Feudal, Capita- geois revolution, in the second of a socialist
list and Socialist modes of, production, but the revolution.
Asiatic mode is left disconnected, as if it had In February 1850 there was a wave of
neither past nor future. 1 6 agrarian unrest in China, and Marx wrote:
If Marx never directly discusses this problem when our European reactionaries, on their next
in his work he does so indirectly, stressing time flight tluough Asia will have rmally re:ached the
and again that it should not be forgotten that Chinese Wall, the gates that lead to the seat of
the horizon of his work on the discussion of primeval reaction and conservatism - who knows,
historical development is essentially European. perhaps they will read the following inscription on
In a letter written to a Russian Socialist journal the Wall: Republique Chinoise - Llbert.6, Egalite,
Fraternlte! {quoted in Averini. 1976, p. 2S 1).
in 18 77, and already mentioned on page 8 8 7, he
warns his readers not to Regarding the Russian case, in reply to a
letter from the Russian Mal'Xist, Vera Sassou-
metamorphose [hisl historical sketch of the gene- lit ch, in February 18 81 (to which we shall
sis of capital in Western Europe into a historical-
philosophical theory of the general path every return later) Marx stresses the possibility that
people is fateci to treaci, whatever the historical the particular traditional agrarian structures of
circumstances in which it finds itself. Russia ,could serve as a starting-point for socia-
list development. He reaffirms this point of
and goes on to criticize any approach which view together with Engels, in the preface to a
seeks to understand history new Russian edition of the Communist Mani
by using as one's master Ikey a general historical- f esto in 1882.1 7
philosophical theory, the supreme virtue of which Passing now to the analysis of Marx's atti-
consists in being supra-historical. tude regarding the possibility of capitalist deve-
The problem of the Asiatic mode of produc- lopment in the non-European world, it must be
tion is not merely the academic one of estab- stated that Marx leaves no room for misinter-
lishing how far Marx's theory of history is pretation; the dynamism and capacity for
consistent and universal; it is that as it does not expansion of the youthful capitalism of his
i;ossess a dialectic of internal development it period would be reproduced in any society
can only evolve through the penetration of which it penetrated; furthermore, he seemed to
European capitalism. For this reason Marx expect a proliferation of autonomous capitalist
analyses European expansion in India as brutal, societies, fundamentally similar to those in
but 'a necessary step towards Socialism' ( 1853). Western Europe. There are three particular
excerpts which have become obligatory points concentrate on those aspects which ate most
of reference, and to which we need refer only relevant to the issues under discussion.
briefly. In the Communist Manifesto Marx and Rosa Luxemburg's The Accumulation of
Engels argue that the development of capitalism Capital ( 1 913) was the first Marxist analysis of
in Western Europe will the world capitalist economy in the light of the
compel all nations, on pa.in of extinction, to adopt three concerns outlined earlier in this paper,
the bourgeois mode of production, and remains among the most complete; it is
certainly the only one of the classic writings on
and 5 years later, in his article on the Future imperialism which sets out to provide a syste-
Results of British Rule in India (1853), Marx matic analysis of the effect which imperialism
argues that English imperialism will not be able would have on the backward countries. Unfor-
to avoid the industrialization of India: tunately, the rigour, profundity and creativity
when you have once introduced machinery into of the analysis are limited by the fact that,
the locomotion of a country which possesses iron following the Marxist tradition of the period,
and coals you are unable to withhold it from its she underestimates both the increase in real
fabrications (the emphasis is mine). wages which takes place as capitalism develops
Finally, 14 years later, in the preface to the in the advanced countries, and the internal
first edition of Capital we fmd his famous inducement to invest provided by technological
statement: progress. Consequently she overplays and mis-
the country that is more developed industrially understands the role of the 'periphery in the
only shows, to the less developed, the image of its process of accumulation of capital in the
own future. developed countries, for these two factors have
played a vital role in rescuing capitalism from
We may then conclude, with Kierman, that the difficulties and contradictions which it
So far as can be seen, what he [Marx J had in mind creates for itself. Thus the periphery has played
was not a further spread of Western imperialism, a role both qualitatively different and quanti-
but a proliferation of autonomous capitalism. such tatively less im{:ortant than that which her
as he expected in India and did witness in North analysis depicts. 8
America (1967, p. 183).
Nikolai Ivanovitch Bukharin contributed to
Without doubt, the attitude of some depen- the analysis of imperialism principally in his
dency writers today that capitalist industriali- works of 1915 and 1926. In the first he
zation in the periphery is no longer feasible analyses the two most important tendencies in
goes against the spirit and letter of Marx's the world economy of the time, tendencies
writings. What is important, as Sutcliffe has which were made manifest jointly and in
argued, is to ask whether the difference is one contradiction to each other. These were the
of circumstance or diagnosis (1972a, p. 180): rapid process of internationalization of eco-
that is to say, whether capitalism has been nomic life (the integration of the different
transformed in such a way that the industriali national economies into a world economy) and
zation of the periphery cannot take place the process of 'nationalization' of capital (the
within the capitalist system, or whether it is withdrawing of the interests of the national
that Marx's analysis is itself ovet-optimistic bourgeoisies within their respective frontiers).
regarding the possibilities of industrialisation in The most interesting feature of the second
the backward areas of the world. We shall work is its polemic ap.inst Luxemburg's The
return to this point as the analysis proceeds. Accumulation of Capital From the point of
view of our interest, it is unfortunate that
although Bukharin stresses continually through-
d. Discussions on the development of out the course of his work that imperialism is a
capitalism in backward nations by the phenomenon which connects the advanced and
'classic writers' on imperialism the backward economies, and criticizes Luxem-
burg's views on the subject, in no part of his
If Hilferding ( 1910) had already provided an work does he analyse in concrete terms the
important Marxist study of imperialism, it is in effect of imperialism upon the backward
Luxemburg ( 1913 ), Bukharin ( 19 l 5) and Len.in countries. 1 9
(1916) that we find the most important contri- When one is analysing Lenin's work it is
butions from the period in which capitalism particularly important to bear in mind (as with
was moving through its monopoly phase. I shall the work of any political leader who is not
refer only briefly to the works of Luxemburg writing for purely academic reasons, but with
and Bukharin; as regards Lenin's work, I shall specific and concrete political ends in view), the
political context in which the works were To prepare himself for his difficult task
written. In fact it is necessary not only to Lenin re-read Marx and Hegel with great care,
consider the usual problems concerning the and produced his Philosophical Notebook
separation of 'history' and 'concept', 'theory' (I 915) as a result. In it he stresses the necessity
and 'practice', and the 'role' of ideology, but to understand Hegel's logic (and to give due
also to be aware that the relative emphases in importance to the subjective element of the
these works are frequently functions of tactical dialectic) in order to understand the develop-
moves related to factional disputes. 20 Further ment of capitalism in advanced countries. After
more, in the case of Lenin's Imperialism, The this, now settled in Zurich, he wrote, between
Highest Stage of Capitalism (1916) he himself January and July 1916, his own study of
was careful to point out that he wrote it imperialism, emphasizing in the 191 7 preface to
with an eye to the Tsarist censorship, ... with the Russian edition and the 1920 prefaces to
extreme caution, by !tints, in an allegorical. lan- the French and German editions the dual
guage (1916, p. 1). political purpose I have mentioned above. He
thus makes it clear that his purpose in writing
The political situation within which and as a
the work is different to that of Bukharin or
contribution to which Lenin wrote his analysis
Luxemburg. 2 2
of imperialism was characterized by the out
For analytical purposes we may distinguish
break of the First World War and the subse-
three major themes in Lenin's work.23 The first
quent collapse of the Second International.
is the description of the most important politi
Within a week of Austria's declaration of
cal and economic changes in the advanced
war on Serbia on 28 July 1914, the whole of
countries of the capitalist system, the second
Europe was at war. Lenin himself arrived in
the analysis of the changes in international
Switzerland on S September after a long odys-
relations which had resulted, and particularly
sey, and set himself up in Berne. He was faced
the role played by international capital, and the
with a difficult double task - firstly to explain third the discussion of the future tendencies of
to the international socialist movement the
the capitalist system in its monopoly or im-
nature of the forces which had unleashed the
perialist phase, and above all the effect these
war, and secondly to account for the position would have on its historical progressiveness.
adopted by the working class parties of the
There is no systematic analysis of the effect
advanced capitalist countries (which had led to
that this phase of the development of capi
the collapse of the Second International). If for
talism will have on the backward regions of the
the first of these tasks he could avail himself of
world (the third concern to which I referred
the analysis provided by Marx of the tendencies
earlier). However, as we shall see later, it is
of capitalist development, and the later contri- possible to deduce from the analysis of the
butions of Marxists such as Hilferding, for the
development of capitalism in the advanced
second he could draw on no previous analyses,
countries in the system an implicit account of
and he was faced with a complex task. Tradi-
the effects it will tend to have in those
tional Marxist analysis could not be applied
backward regions. Nevertheless, in order to
simply and directly to explain why the prole-
understand this implicit account it is necessary.
tariat of the advanced capitalist countries in to go back 17 yea.rs to the Development of
general, and the social-democratic parties of the
Capitalism in Russia, which is intimately con-
left in particular, had placed themselves along
nected with the analysis in the later work.24
side their respective bourgeoisies and against
one another when the war broke out. 2 1
It was no easy task to explain the capacity,
unforeseen by Marx, of capitalism to extend to e. Lenin's 'Development of
important sectors of the working classes some Capitalism in Russia
of the benefits of its development; nor was it
simple to derive the relevant political con- Within the Marxist tradition it is in Lenin's
clusions. This would in fact be the most work that we find the first systematic attempt
important contribution of Imperialism, The to provide a concrete analysis of the develop-
Highest Stage of Capitalism, and would make of ment of capitalism in a backward nation. In his
it Lenin's most important theoretical work, just analysis he
as the Development of Capitalism in Russia formulated "With simplicity what would be the core
(1899) is his most important study of the of the dependency analyses: the forms of articu
development of capitalism in a backward lation between the two pans of a single mode of
nation, and is in my view the pioneering classic production, and the subordination of one mode of
of dependency studies. production to another (Cardoso, 1974a, p. 325).
In this work then, we fmd a detailed and Only when the bourgeoisie and the pro-
profound study of the forms in which develop- letariat, together or apart, are incapable of
ing capitalism in Russia is articulated both to carrying out the bourgeois revolution and the
the economies of Western Europe and to the overthrow of feudalism would it be permissible
other existing modes of production in Russia to support the peasantry and its political
itself. That is to say, the way in which Russia - organizations, let alone to fight for its interest
its classes, state and economy - is articulated in individual ownership of the land.
to the corresponding elements in the countries At the end of the J 860s, attracted by the
of Western Europe. The essay was written as development of the left in Russia, Marx and
part of a profound controversy in Russia itself Engels learnt Russian and threw themselves into
regarding the necessity and the feasibility of the current debates there. In 1875 Engels was
capitalist development there. Discussion of this stressing the necessity for capitalist develop-
controversy is particularly relevant, as it was in ment, though less as a necessity of an absolute
the context of an identical controversy in Latin nature than as a result of the tact that the
America in the 1950s and 1960s that the Russian system of communal property was
contribution of the dependency studies was already decadent. For this reason it was impos-
made. sible to 'leap over' the capitalist stage through
Given that Russia was the first backward the transformation of the communal institu-
country in which Marxism developed, it is not tions of the feudal past into the fundamental
surprising that it should have been the setting bases of the socialist future. On the other hand,
for the fust Marxist debates regarding the he argued, the triumph of the socialist revolu-
feasibility of capitalist development, and as I tion in the advanced capitalist countries would
have stated, Lenin's Development of Capitalism help Russia itself to advance rapidly towards
in Russia was part of this debate and of his socialism (see Carr, Vol. 2, 1966, p. 385).
constant polemic with the Narodniks. 2 5 Two years later Marx entered the debate
The central argument of the Narodniks was with the letter I have already discussed (page
that capitalist development was not necessary 887). In it he expresses a position similar to that
for the attainment of socialism in Russia, and of Engels, arguing that the possibility that a
that from an economic point of view it was by different transition to socialism might take
no means clear that capitalism was a viable place in Russia no longer appeared to exist:
system for a backward country such as Russia. lf Russia continues on the path which she has been
They laid great stress upon the problems following since 1861 [the emancipation of the
created by 'late' entry into the process of serfs I she Will be deprived of the finest chance ever
capitalist industrialization. offered by history to a nation of avoiding all the
Regarding the necessity for capitalist deve- ups and dowm of the capitalist order.
lopment in Russia, the Narodniks were con- In the following year a group of young
vinced that the Rus.Wm peasant commune2 6 Narodniks led by Plekhanov broke with the rest
with its system of communal ownership was and headed for Switzerland; their differences
essentially socialist, and capable of foxming the were both political and theoretical, in that they
basis of a future socialist order; hence Russia opposed the use of terrorism and embraced the
might indeed lead the rest of Europe on the spirit and letter of the Communut Manifesto.
road to socialism. Nevertheless, they. came to adopt positions
From what Marx and Engels had written 'more Marxist than those of Marx himself , and
before they became interested in the Russian in 1881 Vera Sassoulitch wrote to Marx seeking
case it is possible to deduce a priori their a clarification of his views regarding the peasant
disagreement with the Narodniks. It was a commune. After composing three long drafts
central point of their analysis that the peasan- which are among his papers he contented
try, fundamentally on account of its feudal himself with a brief response. His analysis of
origins, was a backward element in European Capita~ he stated, was based upon conditions in
society, in relation to the capitalist bourgeoisie Western Europe, where communal property had
and, a f ortiori; in relation to the proletariat. long since disappeared; this analysis was by no
Wherever capitalism was advanced, the peasan- means mechanically applicable to Russia, whert~
try was a decadent class. 2 7 On this account it isc such forms of property still survived in the
placed in the Communist Manifesto alongside a peasant communes. Nevertheless, for these to
number of petty bourgeois groups, as. Marx and serve as a starting-point for a 'socialist regenera-
Engels speak of tion of Russia' they would require a series of
the small manufacturers, the shopkeepers, the conditions which allowed them to develop
artiSan and the peasant. ... freely. Nowhere in his reply does Marx express
any doubt that capitalist development is pos- Narodniks who exert every effort to shaw that an
sible in Russia; his argument is that perhaps - admission of the htstoricall progressive nature of
given the specificity of the Russian situation - capitalism means an apology for CtJpitalism ....
the price of capitalist development in human The ptogrenive historical role of capita.li.smmay be
terms would be too high for it to be counted as summed up in two brief propositions: increase in
the productive forces of social Jabour, and the
a progressive development. l 8 socialization of that labour (1899, pp. 602-603).
Regarding the other facet of the controversy (The emphasis is mine.)
with the Narodniks, that of the possibility of
capitalist development in Russia, it is in the Their differences were not only at a theoreti-
writings of the Narodniks that it is first cal level however; for Lenin the Narodniks were
suggested that capitalism may not be viable in a in error over basic matters of fact. Lenin shows,
backward nation. Thus the Narodnik writer after a long and detailed study of the labour
Vorontsov artued that market in Russia, that capitalism was already
devel9ping rapidly, and that it should already
the more belated is the process of industrialization,
be considered as essentially a capitalist country,
the more difficult it is to carry it on along the
capitalist lines (quoted in Walicki, 1969, p. 121). although
very backward as compared with other capitalist
For the Narodniks, furthermore,
countries in her economic development(1899, p.
backwardness provided an advantage in that the 507).
technological benefits of modem capitalism could
be used, while its structure rejected (Sutcliffe, Furthermore, regarding the 'obstacles' to the
1974a, p. 182). development of capitalism in Russia identified
by the Narodniks, such as unemployment and
For these reasons then, for the Narodniks it underemployment, he states that these are the
was not only possible but economically impera- characteristics of capitalist development, and
tive to escape from the capitalist stage and that the Narodniks are guilty of transforming
move directly towards socialism. This same
position will be found, as we shall see, in the the basic conditions for the development of capita
1960s in Latin America in the writings of one I.ism into proof that capitalism is impossible (1899,
pp. 589-590).
group of dependency writers.
In the last decade of the 19th century, along For Lenin what was indispensable was the
with the first industrial strikes in Russia, there profound study of why the development of
appeared a number of Marxist groups, while the capitalism in Russia, while rapid in relation to
Narodnik.s, caught in the blind alley of ter- development in the pre-capitalist period, was
rorism, were beginning to lose influence. One of slow in comparison to the development of
these was the 'League of Struggle fot the other capitalist nations. It is in his approach to
Liberation of the Working Class', which this question that, in my opinion, we find his
appeared in Petrograd in 1895; among its most important contribution to the study of the
members was a disciple of Plekhanov, who development of capitalism in backward nations.
wrote successively under the pseudonyms of His analysis of the slowness of capitalist
'Petrov', 'Frei' and 'Lenin', the -latter after development in Russia (which some depen-
1902. The young Lenin entered vigorously into dency writers would still insist on describing as
the debate with the Narodniks, writing his 'the development of Russian underdevelop-
major contribution towards it, the Develop ment') has three inter-related themes:
ment of Capitalism in Russia. between 1896 (i) the weakness of the Russian bourgeoisie
and 1899. as an agent for the furthering of capitalist
Lenin agreed with the Narodniks only in one development;
respect - that capitalism was a brutalizing and (ii) the effect of competition from Western
degrading economic system. Nevertheless, like Europe in slowing the growth of modern
Marx, he distinguished clearly between this industry in Russia; and
aspect of capitalism and the historical role {ill) the great and unexpected capacity for
which it played in Russia: survival of the traditional structures of
Recognition of the progressiveness of capitalism is Russian society.
quite compatible with the full recognition of
iu negative and dark sides. .. , with the full Regarding the weakness of the Russian
recognition of the profound and all around social bourgeoisie, Lenin was taking up a theme
contradictions which are inevitably inMrent in already discussed by the Russian left. 21> The
capitalism, and which reveal the historically tran- interesting feature of his analysis is that he
sient nature of this economic regime. Ir is the relates this weakness to the ambiguous role
played by foreign capital (from Western talist development, both it and the bourgeois
Europe) in the development of Russian capi- revolution which would accompany it would
talism.. On the one hand it accelerates the eventually develop and become relatively
process of industrialization, while on the other similar to that of Western Europe. (The
it lies behind the weak and dependent nature of development of capitalism in Russia would
the small Russian bourgeoisie. therefore be a kind of 'slow-motion replay'
In what he says in relation to the second of the same development in Western
factor which explains the slower pace of Europe.)
Russian capitalist development, Lenin stresses I shall now go on to examine the relation
that as Russia was industrialiting 'late', the ship between this analysis of Russian capitalism
development of its modern industry had to and Lenin's theory of imperialism.
compete not only with the production of
traditional artesanal industry (as the first
countries to industrialize had had to do) but f. The later development of Lenin~ thought
also with the far more efficient industrial regarding the development of capitalism in
production of advanced countries within the backward nations
capitalist system.
Finally, Lenin places great emphasis and The two historical events which had a
explanatory value upon the great capacity for profound influence upon the future develop-
survival of traditional structures in Russia: ment of Lenin's thought in all its aspects were
In no single cai>italist countrY has there Men such the revolution of 1905 and the collapse of the
an abundant survival of ancient institutions that Second International. If the second of these
are incompatible with capitalism, producers who showed that it was by no means clear that the
[quoting Marx] 'suffer not only from the develop- development of capitalism led necessarily and
ment of capitalist production, but also from the 'inevitably' to socialism, the first had shown the
incompleteness of that development' (1899, p. concrete possibility of interrupting capitaliJ!t
607). development, avoiding its potential risks, and
An important aspect of Lenin's analysis of transferring to the proletariat the task of
the survival of traditional structures ; and one completing the democratic-bourgeois revolu-
that is particularly relevant to the present tion.
situation in Latin America) is his treatment of The collapse of the Second International
the interconnections which develop between showed that as it developed, capitalism also
the different modes of production which created an unforeseen capacity to assimilate
existed in Russia: important sectors of the proletariat, and that
the tacts utterly refute the view widespread here in therefore the development of its internal con
Russia that 'factory' and 'handicraft' industry are tradictions would take a more complex path
isolated from one another. On the contrary, such a than had hitherto been realized.
division is purely artificial (1899, p. 547). Marx had emphasized that capita.list develop-
ment was condemned by its own nature to
Lenin's view of capita.list development in
Russia can be summarized as follows: resolve its difficulties and contradictions
through transformations which would neces-
(i) in conformity with the central tradition sarily lead to the creation of others even
of classical Marxist analysis he sees it as greater. Nevertheless, there seemed to be one
politically necessary and economically fea- aspect of capitalist development which at least
sible; in the medium term was acting in the opposite
(ii) through a concrete analysis he shows direction: rising real wages. These, essentially a
that its development is fully underway; result of the organization and struggle of the
(ill) the development of capitalism in back- working class, played a crucial role in the
ward nations is seen for the first time not development of capitalism, both from the point
simply as a process of destruction and of view of its political stability, and of the
replacement of pre-capitalist structures, but increase in effective demand, so essential for
as a more complex process of interplay the realization of surplus value.
between internal and external structures; in In explaining both this capacity of capi-
this interplay, the traditional structures play talism to increase real wages much more than
an important role, and their replacement will had been foreseen, and the political effect
be slower and more difficult than previously which it had upon the working class in the
supposed; and advanced capitalist countries, Lenin placed
(iv) despite the complexity of Russian capi- great emphasis upon the 'superprofits of im-
perialist exploitation' ( 1916, p. 9). Not long developed all the productive forces it could
afterwards, Henry Ford, following the analysis contain, and that higher relationships of pro-
already proposed by Hobson (1902, 1911), duction would not appear until the old order
stated: had run its full course. The events of 1905
If we can distribute high wages, then that money is showed both the limitations of the develop-
going to be spent and it will serve to make ment of capitalism in Russia and the concrete
storekeepers and dlsut'butors and manufacturersin possibility of interrupting it, transferring to
other lines more prosperous and tlUs prosperity the proletariat the task of completing the
will be reflected in our sales. Country-wide high , democratic-bourgeois revolution. Nevertheless,
wqes spell country-wide prosperity (1922, p. Engels had argued (seep. 891) that for this to
124). happen there would have to be a revolution in
Kalecki (1933, 1934, 1935) and Keynes Western Europe. Russia could play the role of
(l 936) would later incorporate this insight into the weakest link in the capitalist chain, and
a new theoretical conceptualization of the deve- with the help of more developed socialist
lopment of capitalism; 2 years later, Harold societies could follow the path towards socia-
Macmillan would refer as follows to the enor- lism more rapidly. Therefore the socialist revo-
mous political importance of extending to the lution could begin in a country such as Russia,
working class some of the material benefits of but it could not be completed there. 3 0
capitalist development: However, the events of l 90S did not only
show Lenin and the Bolsheviks the path to
Democracy can live only so long as it is able to follow; they also showed Nicolas II and his
cope satisfactorily with the problems of social life. brilliant Minister, Stolypin, the need to embark
While it ia able to deal with these problems, and upon a rapid process of social, economic and
secure for its people the satisfaction of their political restructuring if revolution was to be
reasonable demands. it will retain the vigoro11s
support sufficient for its defence (1938, p, 375;
avoided. Of the transformations which they
quoted in Kay, 1975, p. 174). initiated Lenin Said:
our reactionaries are distinguished by the extreme
In this context it is important to recall that clarity of their class consciousness. They know
although Marx's expectations regarding the very well what they want, where they are going,
standard of living of the working class under and on what forces they can count (quoted in
capitalism are not entirely clear (see note 9), it Conquest, 1972, p. 61 ).
seems evident that he did not expect an
By this time Lenin's attitude towards the
increase of the magnitude which eventually necessity for capitalist development was dif
occurred. It emerged later that capitalism was
ferent than it had been in I 899. Should the
going to provide rising real wages at a rate
policies of Stolypin succeed, and Russia enter
relatively similar to the rhythm of its develop-
definitively onto the capitalist path, the revolu-
ment but only after a considerable 'time-lag' tion would have to be postponed for a long
(See Hicks, 1969, pp. 148-159). In 1923, in
time. As early as 1908 Lenin saw the dangers of
what would be his last article, Lenin wrote: Stolypin's policies:
but the Western European countries are not com-
the Stolypin constitution and the Stolypin agrarian
pleting this development [towards socialism] as we
previously expected they would. They are complet- policy mark a new phase in the breakdown of the
old semipatriuchal and semi..fe11dal system of
ing it not through a steady 'maturing' of socialism,
Tsarism, a new movement towards its transforma
but through the exploitation of some states by
tion into a middle-class monarchy ... It would be
others (quoted in Fester-Carter, 1974, p. 67). empty and stupid democratic (sic) phrase
The train of history was not going to drop " mongering to say that the success of such a policy
its passengers off at the station of their choice, is 'impossible' in Russia .. It is possible! If Stoly-
socialism, unless they took charge of it at an pin's policy continues, Russia's agrarian structure
earlier stage. The contribution of the events of will become completely bourgeois (quoted in
Laclau, 1972, p. 69, my translation).
1905 in Russia was precisely that it showed
that it was possible, though by no means The events of the subsequent period, which
necessarily economically feasible. ended with the assumption of power by the
From 1905 onwards, first in Trotsky and Bolsheviks in October 1917, are the subject of
Parvus and later in Lenin, there began a change one of the great controversies of modern
of position regarding the necessity of continu- history. On the one hand the policies initiated
ing with capitalist development. As we saw by Stolypin showed clearly that Lenin's analy-
earlier (pp. 887), Marx had stated that no 'Sis of the potential of capitalist development
social order would disappear before having was correct; during that period Russia enjoyed
a considerable industrial boom; and by 1917 periods and in other backward regions of the
the peasants were owners of more than three- world, it remains true that in Lenin's analysis
quarters of Russian farmland. Perhaps it was especially we find the essential road to follow
factors such as these which led Lenin to this is the study of the concrete forms of
conclude a lecture given in Zurich on 9 January articulation between the capitalist sectors of
l 91 7, only months before he was to come to the backward nations and the advanced nations
power, with the words in the system, and of the concrete forms taken
we of the old generation will per~ not live to by the subordination of pre-capitalist forms of
see the decisive battles of our own revolution production to the former, and to the rest of the
(1917. p. 158, my translation).' 1 system. It is essentially the study of the
dynamic of the backward nations as a synthesis
But on the other hand it was precisely that
of the general determinants of the capitalist
industrial boom which strengthened the left in
general and the Bolsheviks in particular. As the system (external factors) and the specific deter
minants of each (internal factors).
Mensbevi.ks exercised political control over the
older proletariat, the Bolsheviks needed a new But if neither Lenin, Bukharin nor Luxem-
proletariat to strengthen them - the industrial burg studied the concrete development of
capitalism in other backward regions of the
boom supplied them with it.
This already lengthy analysis can be pursued world, it is possible to derive from their
no further here. I have tried to extract from it analyses of imperialism the 'general deter-
minants of the capitalist system' or the 'exter-
its most important contributions to the debate
nal factors' as they are generally labelled, which
which would later develop concerning the
development of capitalism in other backward those regions will confront in their attempts to
pursue capitalist development. These are essen-
nations.
tially the driving forces which ~pelled the
Russia then had a series of characteristics in
common with countries which would later
advanced capitalist countries towards the
domination and control of the backward
attempt capitalist development, such as those
regions of the world: the specific determin-
related to 'late' industrialization, and to the ants. or 'internal factors' as they are generally
leading role played by foreign capitalism and
called, will depend upon the characteristics of
technology, and those linked to the emergence the particular backward societies.
of a social class structure somewhat different
The driving forces behind the economic
~rom that resulting from capitalist development
expansion of the advanced capitalist countries
in Western Europe, and more complex in its
composition, with a relatively weak and depen-
are identified, with differences of emphasis in
each analysis, in the financial and in the
dent bou11i7oisie, a smallbut strong proletariat,
productive spheres. The two are intimately
and a relatively large 'sub-proletariat' which is
its potential ally.32 connected, and are the result of a single process
of transformation in the advanced capitalist
Equally however, there are also significant
countries. The financial driving forces are re-
differences: Russia was never the colony of a
lated to the need to find new opportunities for
Western European power; late industrialization
investment, due to the fact that their own
is not always the same if it occurs at different
economies are incapable of generating them at
stages of development of the world capitalist
the same rate as they generate capital; those of
system; and as Lenin demonstrates brilliantly
the productive sphere are related to the neces-
for the Russian case, the particular features of
sity of ensuring a supply of raw materials, and
the development of capitalism in any backward
continued markets for manufactured products.
region will depend significantly on the charac-
Thus it is that Bukharin and Preobrazhensky
teristics of the pre-capitalist mode of produc-
define imperialism as:
~ion. In the case of Latin America for example,
if there were countries (such as Brazil Mexico the policy of conquest which financial capital
Chile and Argentina) which were atte~pting t~ pursues in the struggle for markets, for the sources
industrialize in the same period as indusmali- of raw material. and for places in which capiUl can
zation was taking place in Russia, the social be invested (1919, p, lSS}.
formations of those countries, inherited from The result of this would be a tendency
P?rtuguese and Spanish colonization, were very towards a greater integration of the world
different to those of Russia itself. In any case economy, a considerable degree of capital
if it is clear that the analyses of Lenin and ~ movement, and an international division of
contemporaries cannot be applied mechanically labour which would restrict the growth of
to the development of capitalism in other backward economies to the production of
mineral and agricultural primary products. For countries. Discussing their writings, I showed
these primary products to be supplied cheaply, how for them the Asiatic mode of production
the labour force in the backward countries was characterized by its lack of internal ten-
would have to be kept at subsistence level. sions, which bestowed upon it an unchanging
As a result of the effects of the expansion of nature. The penetration of capitalism from
the advanced capitalist economies as they enter abroad would therefore perform the task of
the monopoly phase of their development, the 'awakening' them. It follows directly that the
economies of the backward countries will tend concrete forms which the process would adopt
to be characterized by increasing indebtedness would necessarily depend upon the type of
and by a productive structure which leads them capitalism involved.
to consume what they do not produce, and to Marx expected that the process which began
produce what they do not consume. The with the development of railways in India
fundamental characteristics of the development would necessarily end with the placing of that
of such economies will obviously depend upon country on the path towards industrialization.
the particular characteristics of the export For the classical writers on imperialism on the
sectors they develop, and the terms on which other hand, while capitalism continued to be
they exchange products and obtain capital. progressive in the backward nations of the
If these relationships were shaped within a world, it was precisely its progressiveness which
colonial context, they would clearly be un- would create contradictions with the needs of
equal, and therefore for the colonial nation the monopoly capitalism in the advanced countries;
possibilities of development would be very within a colonial context the imperialist
restricted. If they were shaped within a post- countries can and will hinder the industriali-
colonial context, the possibilities of develop- zation of the colonies. Once the colonial bonds
ment would depend upon the capacity of the are broken the incipient national bourgeoisies
national bourgeoisies and other dominant can proceed with the development. which was
groups to establish a more favourable relation hindered by the colonial bonds, completing the
ship with the advanced countries in the system, bourgeois revolution and attempting to in
or upon their capacity to transform the eco- dustrialize. These writers did not of course
nomic structure of their respective countries, in mean to suggest in any way that such attempts
an effort to develop through a different type of at post-colcnial industrialization would be free
integration into the world economy. of problems and contradictions; they felt that
We may summarize the classical writers' as in the Russian case such countries would be
conception of what capitalist development in able to overcome such problems and industria-
the backward regions of the world would tend lize. Should that prove to be the case, there
to be as follows: imperialism would tend to would appear in the post-colonial period new
hinder industrial development, but once the capitalist societies relatively similar to those in
colonial bonds had been broken the backward Western Europe (as in the United States and the
countries would be able to develop their econo- regions of European settlement).
mies in a different way, and eventually to Nevertheless, the political independence of
industrialize. This industrialization, given its the backward nations has not been followed by
'late' start and probably with the presence of development, contrary to the expectations of
foreign capital and technology, would face the authors I have been discussing. Even more,
problems and contradictions, but as in the in the case of Latin America it is p1eciseJy in
Russian case, these would not be insuperable. the post-colonial period that the development
In the words of Rosa Luxemburg: of individual nations (with the due economic
the Imperialist phase of capital accumu- and political variations) has taken upon itself
lation ... comprises the industrialisation, and capi- the articulations with the advanced capitalist
talist emancipation of the hinterland ... [bour- countries which the classical writers on imperia-
geois J revolution is an essential for the process of lism noted in the colonies - the growth of their
capitalist emancipation. The backward communi- productive sectors concentrated on primary
ties must shed their obsolete political organisa- products, whether mineral or agricultural; the
tions, and create a modern State machinery adap- degree of industrialization was limited; and
ted to the purpose of capitalist production (quoted their financial dependence grew enormously. 3 3
in O'Brien, 1975, p. 16).
Only around 1920 did a new vision of
This description of the role of capitalism in capitalist development in the backward nations
the colonies clearly differs from that of Marx begin to be developed within Marxist thought
and Engels, as it refers to different stages of (see Lenin, 1920). It would be formulated
capitalist development in the advanced explicitly at the Sixth Congress of the Com-
munist International (the Comintem) in 1928. such policies as, for example, th0$e of free
This approach diffm from that which preceded trade which it sought to impose.
it in that in its analysis it gives more importance This double contradiction in capitalist deve-
to the role played by the traditional dominant lopment in Latin America (particularly in the
classes of the backward countries (generally process of industrialization} which would tend
termed oligarchies). The power of these elites to be transformed into a single contradiction
was seen to be in contradiction with the through the alliance of the groups in question,
transformations of internal structures which figures prominently in the political and eco-
would necessarily be brought about by capita- nomic analysis of large sectors of the Latin
list development in general and industrialization American left (including the Communist parties
in particular (the 'bourgeois revolution'). There of the sub-continent), right into the 1960s.34
would therefore exist objectiVe conditions for Furthermore, it seems to have had an influence
alliances between these groups and imperialism. (albeit naturally an unacknowledged one) upon
destined to avoid such transformations. the ECLA analysis of the obstacles facing Latin
In the 1928 Congress then, Kusinen intro- American development, as we shall see later;
duced new 'Theses on the Revolutionary Move- the attempt to go beyond the terms of this
ment in Colonial and Semicolonial Countries' analysis would be the common starting-point of
(Degras, 1960, pp. 526-548). In them he the different approaches that I shall distinguish
argues that within the dependency school
the progressive consequences of capitalism, on the On this analysis then, the major enemy was
contrary, are not to be seen there {despite the identified as imperialism (in one way or another
increase in foreign investment]. When the domi- the omnipresent explanation of every social and
nant imperialist power needs social support in the ideological process that occurred), and the
colonies it makes an alliance first and foremost principal target in the struggle was unmistak-
with the dominant classes of the old pre-capitalist able: North American imperialism. The allied
system, the feudal-type commercial and money- camp, on the same analysis, was also clear:
lending bouigeoisic (sic), against the majority of everyone, minus those internal groups allied
the people. with that imperialism (and in particular those
In my opinion this Congress may be con- groups linked to the traditional export sector).
sidered the turning point in the Marxist ap- Thus the anti-imperialist 'struggle was at the
proach to the concrete possibilities of the same time the struggle for industrialization. The
historical progressiveness of capitalism in back- local state and national bourgeoisie appears as
ward countries. From this point onwards, the the potential agent for the development of the
emphasis will be placed not only on the capitalist economy, which in turn was looked
obstacles which imperialism can and (toes im- upon as a necessary stage. The popular fronts
pose on the process of industrialization during would draw on this analysis both of the
the colonial period (obstacles which could be historical role 'Which capitalism should play in
overcome once the colonial bonds had been Latin America, and of the obstacles which it
broken), nor simply on the obstacles to any would find in its path.
process of industrialization which starts . late This simple analysis of Latin American
(the technological gap, the ambiguous role of capitalist development would be maintained by
foreign capital, and so on), which could be the majority of Latin American left-wing
overcome, as had been demonstrated during the groups until the time of the Cuban Revolution
Stolypin period in Russia; now the historical (1959). The discrepancies which originally
progressiveness of capitalism in the backward existed between the guerrilla movement and the
regions of the world - in the colonial and old Cuban Communist Party (the Partido Socia
post-colonial periods - is analysed as being lista Popular) regarding the character which
limited by the previously mentioned alliance that revolution should assume are well known,
between imperialism and traditional elites, the with the former arguinf for an immediate
so-called 'feudal-imperialist alliance'. transition to socialism, 3 the latter for the
As the process of industrialization in the process previously analysed, which was t:l'lldi
backward countries was seen in contradiction tionally sought in Latin America.
not only with imperialism, but also with some The Second Declaration of Havana ( 1962)
internally dominant groups, the ability of the and the declarations and resolutions of the first
incipient national bourgeoisies to develop it in conference of OLAS (the Latin American Soll-
the post-colonial phase would depend upon clarity Organization) of 1967 left no doubt
their political capacity to assert themselves over regarding the path which was chosen: the
that alliance, and to impede the adoption of democratic and anti-imperialist revolution
which the continent required could only take a respect to the capitalism of the centre.
socialist form: While I accept that this classification is
The so-called Latin American bourgeoisie, because adequate from a certain perspective, I feel that
of its origins and because of its economic connec- on a more profound analysis it is less than
tions and even kinship-links with landowners, satisfactory. In my opinion, the differences
forms a part of the oliprchies which rule our which divide dependency analyses go further
America and is in consequence incapable of acting than discrepancies regarding simply the pos-
independently .... It would be absurd to suppose sibility of development within a capitalist con-
that ... the so-called Latin American bourgeoisie is text in Latin America.
capable of developing a political line ~depen For my part (and with the necessary degree
dent ... of imperialism. in defence of the utterest
and aspiration of the nation. The contradiction
of simplification which every. classification of
within which it is objectively trapped is, by its intellectual tendencies entails) I shall distin-
nature, inescapable (quoted in Booth, 1975, pp. guish three major approaches - not mutually
65-66). exclusive from the point of view of intellectual
history - in depend.ency analyses. The first is
It is precisely within this framework, and that begun by Frank and continued by the
with the explicit motive of developing theoreti 'CESO school' (CE&O being the Centro de
cally and documenting empirically this new
Estudios Sociales of the Universidad de Chile),
form of analysis of the Latin American revolu-
and in particular by dos Santos, Marini, Caputo
tion that Frank enters the scene, initially with and Pizarro, with contributions by Hinkelam
his article in the Monthly Review (1966) and
mert, of CE REN (Centro de Estudios de la
later in a more elaborated form in his well- Realidad Nacional of the Universidad Catolica
known study of the development (or under de Chile). Its essential characteristic is that it
development) of Chile and Brazil (1967). attempts to construct a 'theory of Latin
In this way Frank was to initiate one of the American underdevelopment' in which the de-
most imponant lines of analysis within the pendent character of these economies is the
dependency school. At the same time, both hub on which the whole analysis of underdeve
within and outside ECLA, there began the
lopment turns: the dependent character ?f
development of the other two major ap- Latin American economies would trace certam
proaches which I shall distinguish in this type
processes causally linked to its underdevelop-
of analysis of Latin American development. ment. The second approach, found printipally in
Sunkel and Furtado, is that which is charac-
terized by the attempt to reformulate the
3. THE DEPENDENCY ANALYSES ECLA analyses of Latin American development
from the perspective of a critique of the
obstacles to 'national development'. This
The general field of study of the dependency attempt at reformulation is not a simple process
analyses is the development of Latin Am_e~ca~ of adding new elements (both political and
capitalism. Its most important cha.r&:ctens~ is social) which were lacking in the ECLA analy-
its attempt to analyse it from the point of Vlew sis but a thorough-going attempt to proceed
of the interplay between internal and external be~ond that analysis, adopting an increasingly
structures. Nevertheless, we find this interplay different perspective. Finally, I distinguish that
analysed in different ways. . . approach which deliberately attempts not to
The majority of the survey articles which develop a mechanico-formal theory of depen-
have been written regarding these analyses tend dency (and much less, a mechanico-formal
to distinguish between three major approaches theory of Latin Amencan underdevelopment
within them. The first is that of those who do based on its dependent character) by concen-
not accept the pos.iibility of capitalist develop trating its analysis on what have been called
ment in Latin America, but only of the 'concrete situations of dependency'. In the
'development of underdevelopment', or the words of Cardoso:
'underdevelopment of development'; the
second, of those who concentrate upon the The question which we should ask ourselves is
why, it being obvious that the capitalist economy
obstacles which confront capitalist develop- tends towards a growing internationalization, that
ment in those countries (particularly market societies are divided into antagonistic classes, and
constrictions); and the third, of those who that the particular Is to a certain extent con-
accept the possibility of capitalist development ditioned by the general, with these premises we
in Latin America, placing the emphasis upon have not gone beyond the partial - and thcrefore
the subservient forms which it adopts with abstract in the Marxist sense - characterization
DEPENDENCY: FOR.\tAL THEORY OR MEntOOOLOGY 899
of the Latin American situation and historia.l surplus they generated would be expropriated
process {Cardoso, 1974, pp. 326-327). in large part by foreign capital, and otherwise
squandered on luxury consumption by tradi-
What would be needed therefore is the study tional elites. Furthermore, not only would
of the concrete forms in which dependent re- resources destined for investment thereby be
lationships develop; that is to s.ay, the specific drastically reduced, but so would their internal
forms in which the economies and polities of multiplying effect, as capital goods would have
Latin America are articulated With those of the
to be purchased abroad. This process would
advanced nations.
necessarily lead to economic stagnation, and
It is not that this approach does not recog-
the only way out would be political.
nize the need for a theory of capitalist develop- Starting out with this analysis Frank attempts
ment in Latin America, but that (in part a.s a
to develop the thesis that the only political
reaction to the excessive theorizing in a vacuum solution is a revolution of an immediately
characteristic of other analyses of dependency) socialist character; for Within the context of
it places greater emphasis upon the analysis of the capitalist system there could be no alter-
concrete situations. The theoretical reasoning native to underdevelopment (Fr.ank, 1967).
which can be developed at present concerning
For the purpose of this analysis we may
capitalist development in Latin America is
. distinguish three levels in Frank's 'model of
strictly limited by the lack of case studies; the
underdevelopment'. The first is that in which
Beed at the moment is for 'analyt.1c' rather than
he attempts to demonstrate that Latin America
'synthetic' work.
and other areas in the periphery have been
That is, Without a considerable number of
incorporatea into the world economy since the
concrete studies any new theory which may be
early stages of their colonial periods. The
elaborated concerning capitalist development in
second is that in which he attempts to show
Latin America will necessarily fall into the trap
that such incorporation into the world
of the 'dialectic of thought', which consists of
economy has transformed the countries in
the working out upon itself of an abstract
question immediately and necessarily into capi-
dialectic, starting from previously constructed
talist economies. Finally, there is a third level,
concepts.
in which Frank tries to prove that the integra
ti.on of these supposedly capitalist economies
into the world economy is necessarily achieved
a. Dependency as the 'theory of Latin through an interminable metropolis-satellite
A merican underdevelopment' chain, in which the surplus generated at each
stage is successively drawn off towards the
There is no doubt that the 'father' of this centre. On account of this he develops a
approach is Paul Baran. His principal contribu- subsidiary thesis:
tion to the general literature on development If it is satellite status which generates underdeve-
(Baran, 19 S 7) continues the central line of lopment, then a weaker or lessez degree of metro-
Marxist thought regarding the contradictory polis-satellite relations may generate less deep
character of the needs of imperialism and the structural underdevelopment and/or allow for
process of industrialization and general eco- more possibility of loc:al development (Frank,
nomic development of the backward nations. 3 7 1967, p. 11).
Thus he affirms at the outset that But as the weakening of the satellite-
What is decisive is that economic development in metropolis network can, according to Frank,
underdeveloped countries is profoundly inimica.l to only take place for reasons external to the
the dominant interests in the advanced capita.list satellite economies, of a necessarily transient
countries (1957, p. 28).
nature, it follows that there is no real possi-
To avoid such development the advanced bility of sustained development Within the
nations will form alliances with pre-capitalistic system. 3 8 According to this analysis, the only
domestic elites (who will also be adversely alternative becomes that of breaking com
affected by the transformations of capitalist pletely with the metropolis-satellite network
development}, intended to inhibit such trans through socialist revolution or continuing to
formations. In this way the advanced nations 'underdevelop' within it.
would have easy access tp domestic resources In my opinion, the value of Frank's analysis
and thus be able to maintain traditional modes is his magisterial critique of the su;posedly dual
of surplus extraction: Within this context the structure of peripheral societies. 3 Frank shows
possibilities of economic growth in dependent clearly that the different sectors of the eccno-
countries would be extremely limited; the mies in question are and have been since very
early in their colonial history linked closely to to the emergence of a system of free wage
the world economy. Moreover, he has correctly labour.
emphasized that this connection has not auto- Although Frank did not go very far in his
matically brought about capitalist economic analysis of the capitalist system as a whole, its
development, such as optimistic models (deri- origins and development, Immanuel Wallerstein
ved from Adam Smith) would have predicted, tackled this tremendous challenge in his re-
by means of which the development of trade markable book, The Modem World System:
and the division of labour inevitably would Capitalist Agriculture and the Origins of the
bring about economic development. Neverthe- European World - Economy in the Sixteenth
less Frank's error (shared by the whole tradi- Century (l 974a).
tion of which he is part, including Sweezy and Frank has reaffirmed his ideas in a series of
Wallerstein among the better known) lies in his articles published jointly in 1969; a year later
attempt to explain this phenomenon using the he sought to enrich his analysis with the
same economic determinist framework of the introduction of some elements of Latin
model he purports to transcend; in fact, he American class structure (Frank, 1970).
merely turns it upside-down: the development Frank has been criticized from all sides, and
of the 'core' necessarily requires the underdeve- on almost every point in his analysis.40 Promi-
lopment of the 'periphery'. Thus he criticizes nent among his critics is Laclau ( 1971 ), who
both the alternative proposed by the traditional provides an excellent synthesis of Frank's
Latin American left (the possibility of a demo- theoretical model, and shows that the only way
cratic bourgeois revolution, because in this in which Frank can 'demonstrate' that all the
context the only political solution is a revolu- periphery is capitalist and has been since the
tion of an immediately socialist character), and colonial period is by using the concept of
the policies put forward by ECLA. capitalism in a sense which is erroneous from a
Nevertheless, his critique is not directed Marxist point of view, and useless for his
towards the real weaknesses in the analysis central proposition, that of showing that a
made by the Latin American left - the bourgeois revolution in the periphery is impos-
mechanical determination of internal by exter- sible. As regards this point then, Laclau con-
nal structures; on the contrary, he strengthens cludes that Frank makes no contribution, leav-
that mechanical determination in his attempt to ing the analysis exactly where it started.41
construct a model to explain the mechanisms Robert Brenner (1977) takes Laclau's analy-
through which the expropriation of the surplus sis of Frank (as well as Dobb's critique of
takes place. Probably still unduly influenced by Sweezy), and demonstrates how the work of
his training as an economist at the University of Sweezy, Frank and Wallerstein - brilliantly
Chicago, he constructs a mechanico-formal summarized and analysed by him - are doomed
model which is no more than a set of equations to negate the model put forward first by Adam
of general equilibrium (static and unhistorical), Smith in The Wealthof Nations, Book 1, but
in which the extraction of the surplus takes because they have failed ... to discard the under
place through a series of satellite -metropolis lying individualistic-aeehanist presuppositions of
relationships, through which the surplus gene- this model. they have ended up by erecting an
rated at each stage is syphoned off. alternative theory of capitalist development which
It is not surprising that his method leads is, in its central aspects, the mirror Image of the
Frank to displace class relations from the centre 'progressist' thesis they wish to surpass. Thus, very
of his analysis of economic development and much like those they criticize, they conceive of
(changing} class relations as emerging more or less
underdevelopment. Thus he develops a circular directly from the (changing) requirements for the
concept of capitalism; although it is evident generation of surplus and development of produc-
that capitalism is a system where production tion, under the pressures and opportunities en-
for profit via exchange predominates, the op- gendered by a growing world market. Only, where-
posite is not necessarily true: the existence of as their opponents tend to see such market-
production for profits in the market is not determined processes [the development of ttade
necessarily a signal of capitalist production. For and the division of labour I , as setting off, auto-
Frank, this is a sufficient condition for the matically, a dynamic of economic development,
existence of capitalist relations of production. they see them as enforcing the rise of economic
baclcWardness. As result, they fail to take into
Thus for Frank, the problem of the origins of account either the way in which class tSttuctures,
capitalism (and therefore the origins of the once established, will in fact determine the coune
development of the few and the underdevelop- of economic development or underdevelopment
ment of the majority) comes down to the over an entire epoch, or the way in which these
origins of the expanding world market and not class structures themselves emerge: as the outcome
of class sttugglm whose results are inccmprehen- tertzed Frank's work. One perceives initially in
sible In terms merely of market forces (Brenner, his analysis the perception not only that both
1977. p. 27). structures are contradictory, but that move-
Thus the way in which Frank uses the ment is produced precisely through the dy
concepts 'development' and 'underdevelop- namic of the contradictions between the two.
ment' seems incorrect from a Marxist point of Nevertheless, as he proceeds in the analysis he
View; furthermore, they do not seem useful for re-establishes, little by little, the priority of
demonstrating what Frank attempts to demon external over internal structures, sepaxating
strate. But as this critique can also be applied to almost metaphysically the two sides of the
other authors who adopt the same approach I opposition - the internal and the external -
shall reserve discussion on this point to page 903. and losing the notion of movement through the
To summarize, Frank's direct contribution dynamic of the contradictions between these
to our understanding of the process of Latin structures. The analrsill which begins to emerge
American development is largely limited to his is again one typified by 'antecedent causation
critique of dualist models for Latin America.42 and inert consequences'. The culmination of
Nevertheless, his indirect contribution is con- this process is his well-known formal definition
siderable. By this I mean that his work has of dependency, which because of its formal
inspired a significant quantity of research by nature is both static and unhistorical; it is
others {whether to support or rebut his argu- found in his 1970 article in the American
ments), in their respective disciplines, parti- Economic Review:
cularly in the sociology of development. Dependence is a conditiomng situation in which
The central line of Frank's thought regarding the economies of one group of countries are
the 'development of underdevelopment' is con- conditioned by the development and expansion of
tinued, though from a critical point of view, by others. A relationship of interdependence between
the Brazilian sociolo&ist Theotonio dos San- two or more economies or between such econo-
mies and the world trading system becomes a
tos, 43 for whom
dependent relationship when some countries can
the process under consideration [Latin American expand through self-impulsion while others, being
development I rather than being one of satellization in a dependent position, can only expand as a
a.s Frank believes, is a case of the formation of l! reflection of the dominant countries, which may
certain type of internal structures conditioned by have positive or negative effects on their immediate
international relationships of dependence' (1969, development (1970, pp. 289-290).
p. 80).
A further anaJysis along the same lines of
Dos Santos distinguishes different types of Frank's 'accumulation of backwardness' and
relations of dependency (essentially colonial, the 'development of underdevelopment' is that
industrial-financial and industrial-technologi- of Rui Mauro Marini (1972b). His work, which
cal, the latter having J?Own up since the Second is fundamentally an attempt to develop a far
World War), and consequently distinguishes more sophisticated model than that of Frank or
different kinds of internal structures generated dos Santos, can be summarized as primarily an
by them. Dos Santos emphasizes the differences attempt to apply Luxemburg's schema (1913)
and discontinuities between the different types to the Latin American situation.44
of dependency and between the internal struc- Finally, Caputo and Pizarro, starting from
tures which result from them, while Frank the same declaration of principles that 'it is
himself stresses the continuity and similarity of impossible to develop our countries within the
dependency relations in a capitalist context. In capitalist system' (1974, p. 51), attempt to
other words, while Frank wishes to emphasize analyse the international economic relations of
the similarities between economic structures in Latin America within the context of the theory
the times of Cortez, Pizarro, Clive and Rhodes, of dependency. While their work contains an
and between those and the structures typified interesting critique of the orthodox theory of
by the activity of multinational corporations, international trade, and a very full summary of
dos Santos is more concerned with the dif- the classical theory of imperialism, they do not
ferences and discontinuities between them. integrate their analysis of the intemalional
There is within dos Santos's analysis the economic relations of Latin America, discussed
beginnings of an interesting attempt to break in the second chapter of their book, with their
with the concept of a mechanical determination analysis of the contemporary world capitalist
of internal by external structures which domi- system, which they leave until the last chapter.
nated the traditional analysis of the left in Although they stress there the recognized fact
Latin America, and which particularly charac- that 'after 19 50 ... the new orientation of
North American investment ... is directed basi- If crucial features of 'dependence' can be
cally towards the manufacturina sector' ( 1974, found in both dependent and 'non-dependent'
p. 256), they do not even sugest the possibility economies, the whole conceptual schema is
that such a process could produce in some defective. And if it does not satisfy the second
countries at least a process of dependent criterion, that is, if particular features of
capita.list development. The only aspect of this dependency cannot be demonstrated to be
process which they feel able to emphasize is causally related to underdevelopment, we
that such investment is 'profoundly destabiliz- would be faced not with a 'theory of Latin
ing for national economies' ( 1974, p, 258), as if American underdevelopment' but simply with a
the development of modern industry With or catalogue of social, political, economic and
without foreign capital was not always destabi- cultural indicators, which will not help us to
lizing in economies which still have important understand the dynamic of underdevelopment
traditional manufacturing sectors. in Latin America.
At CE REN meanwhile, Hinkelammert ( 1970 Lall goes on to analyse the principal charac-
a,b,c) was making an interesting attempt to teristics commonly associated With dependent
connect the economic structure of the depen- economies and concludes that it appears that
dent countries with their class structure, and to the technique is
analyse the way in which the alliance between to pick off some salient features of modem
the traditional dominant elites and imperialism capitaUsm as it affects some less developed
develops. However, he also falls into the 'stag- countries and put them into a distinct category of
nationist trap' and develops his thesis of the dependence (1975, p. 806).
dynamic staP,ation (sic) of Latin American He goes on to consider the possibility that
economies." Even so, in his analysis of the the characteristics associated with the depen-
dependent economies he treats creatively the dent economies could have a particular cumula-
role of the 'technological gap' in the relation- tive effect when occurring together, but fmd.s
ship between these and the advanced countries no conclusive evidence. He concludes then that
in the system. such a concept of dependency applied
This type of approach has inspired an
unending stream of works, mostly theoreti- to less developed countries is lmposst'ble to define
cal;4 6 the most thorough-going critiques of this and cannot be shown to be causally related to a
continuance of underdevelopment (1975. p. 808).
type of 'theory of underdevelopment', in addi-
tion to that of Laclau already discussed, have It is not surprising then that
come from Cardoso (1974), Lall (1975) and one sometimes gets the impression on reading the
Weisskopf ( 1976). I myself am presently en literature that 'dependence' is defined in a circular
gaged upon a further contribution to this manner: lea developed countries are poor because
critical effort, which should be completed they are dependent. and any characteristics that
shortly. they display signify dependence (1975, p, 800).
L,a1l (1975) offers an interestin.f critique of a Thomas Weisskopf ( 1976) takes Lall's anaiy
number of dependency studies. 1 He argues sis as a starting-point and provides empirical
that the characteristics to which underdevelop- data to substantiate it 48 He shows that in
ment in dependent countries is generally attri terms of general economic growth many 'de-
buted are not exclusive to these economies, but pendent' countries grow more rapidly than
are also found in so-called 'non-dependent' 'non-dependent' countries, and that this is
economies, and that therefore they are properly particularly true as regards industrial growth.
speaking characteristics of capitalist develop- He therefore finds no empirical support for the
ment in general and not necessarily only of 'dependency' theses of stagnation. He con-
dependent capitalism. He further argues that cludes
such analyses are not surprisingly unable to my main point is that these aspects of.underdeve-
show causal relationships between these charac- lopment (those which some attn'bute to depen-
teristics and underdevelopment. dency] cannot simply be attributed to dependency
Lall argues that any concept of dependency per 1e, for they are inherent in the operation of the
which claims to be a theory of underdevelop- capitalist mode of production whether or not it
ment should satisfy two criteria: takes a dependent form. It is more appropriate to
view dependence as aggravating conditions' of
(i) it must lay down ce:rWn characteristics of
underdevelopment that are inevitable under c:api--
dependent economies which are not found in talism than to view dependence as a ma,jor cause of
non-dependent one~ underdevelopment (1976, p, 21).
(ii) these characteristics must be shown to affect
adversely the coune and pattern of developmentof The most systematic critique is that of
the dependent countries (1975, p. 800). Cudoso. who argues that these 'theories a.re
based on five interconnected erroneous theses covers the period from 1910 to 1970) I have
concerning capitalist development in Latin shown that Lenin's criteria for assessing the
America. These are: prol!'essiveness of capitalism - increase in the
{i) that capitalist development in Latin productive forces of social labour and in the
America is impossible, socialization of that labour - were both met
(ii) that dependent capitalism is based on during the period under study.
the extensive exploitation of labour and tied Now, if the argument is that such processes
to the necessity of underpaying labour, have been manifested differently than in other
(iii) that local bourgeoisies no longer exist as capitalist countries, particularly those of the
an active social force, centre, or in diverse ways in the different
(iv) that penetration by multinational firms branches of the Chilean economy, or that they
leads local states to pursue an expansionist have generated inequality at regional levels and
policy that is typically 'sub--imperialist', and in the distribution of income, have been accom-
(v) that the political path of the sub-con- panied by such phenomena as underemploy-
tinent is at the crossroads, with the only ment and unemployment, and have benefited
conceivable options being socialism or fas~ the elite almost exclusively, or again that they
cism. have taken on a cyclical nature, then it does no
After rejecting one by one these erroneous more than affmn that the development of
theses upon which this line of analysis of capitalism in Latin America, as everywhere else
dependency is based, and showing that they and at all times, has been characterized by its
have been developed in order to support one contradictory and exploitative nature. The
another, Cardoso argues that in the case of specificity of capitalist development in Latin
Brazil the Writers in question have in fact America stems precisely from the particular
identified some of the conditions which give ways in which these contradictions have been
capitalist development its specificity. He shows, manifested, and the different ways in which
in his own words that some 'pieces of the many Latin American countries have faced and
puzzle are the same, but the way they go temporarily overcome them, the ways in which
together ... is different' (1973, p. 21). this process has created further contradictions,
For my part (see Palma, forthcoming), I and so on. It is through this process that the
would argue, following Cardoso's analysis, that specific dynamic of capitalist development in
these theoriesofdependency Ihave been examia- different Latin American countries has been
ing are mistaken not only because they do not generated. In this connection we should recall
'fit the facts', but also - and more importantly that the whole of Lenin's analysis of the
- because their mechanico-f; ormal nature ren development of capitalism in Russia was a
den them both static and unhistorical detailed study of the specific ways in which
The central nucleus around which the analy- capitalism there temporarily overcame its eon-
sis of these dependency writers is organized is tradictions, and that he criticized the Narodniks
that capitalism, in a context of dependency, for transforming those contradictions into a
loses its historical progressive character, and can proof that capitalism was impossible itr Russia,
only generate underdevelopment. In this re- and for failing to understand that the same
spect, I would argue that though it is not diffi contradictions were the very ones which were
cult to see that the specific forms of develop- basic to capitalist development, and which took
ment adopted by capitalism in dependent specific forms in Russia.
countries are different from those of advanced In this context, I would also argue that the
countries (this development is marked by a form in which the concepts 'capitalist develop-
series of specific economic, political and ment' and 'capitalist underdevelopment' are
social contradictions - many of which have used by these dependency writers does not
been correctly identified by these Writers - seem adequate. (I now take up the point dis
and these contradictions appear to have be- cussed on p. 901.)
come sharper with the passage of time), to Capitalist development is essentially a pro
J.eap from that assertion to the claim that for cess of capital accumulation which produces as
that reason capitalism has lost, or never even it evolves modifications in the composition of
bad, a historically progressive role in Latin the productive forces, in resource allocation, in
America, is to take a leap into the dark. We class relations, and in the character of the state;
need only recall Lenin's critique of the Narod- that is, which produces as it evolves modifies-
nilcs(see pp. 892-893): their contemporaries are tions in the different structures of society.
equally 'wrong in their facts'; for example, In Whether the cyclical nature of capital accumu-
my own analysis of the Chilean case (which lation or the modifications and contradictions
which this accumulation produces are or are viable there. In other words it seems that they
not 'desirable' or 'optimal' is another question deduce that if one accepts that capitalist
entirely. development is feasible on its own terms one is
To deny, as the 'contemporary Narodniks' automatically bound to adopt the political
do, that capitalist development is taking place strategy of awaiting and/or facilitating such
in some countries in Latin America and in some development until its full productive powers
parts of the rest of the periphery is no less than have been exhausted, and only then to seek to
absurd. To recognize it on the other hand, as move towards socialism. As it is precisely this
Lenin told the Narodniks, is quite compatible option which these writers wish to reject (as for
with the full recognition of the negative side of them the revolution must take on an im-
capitalism, and in no way an apology for it. mediately socialist character), and as they seem
My personal judgement is that in theit to believe that they would be forced to adopt it
oompletely justifiable eagerness to denounce if they accepted the possibility of any kind of
the negative side of capitalist development - its capitalist development, they have been obliged
enormous social cost - to the analysis of which to make a forced march back towards a purely
they have made significant contributions, they, and simplistically ideological position, and to
like the Narodniks, have been unable to see the make every analytical effort to deny dogmati
specificity of its historical progressiveness in cally any possibility of capitalist development.
Latin America. They have therefore thrown out In my judgement this option is a false one.
the baby with the bath water. To take only one example, we may recall
The place which should have been occupied Marx's position regarding the development of
in their analyses by the study of this specificity capitalism in Russia. The viability of capitalism
of capitalist development in Latin America has there did not preclude an immediate move
unfortunately been occupied by easy but mis- towards socialism, for viability did not in itself
leading concepts such as 'active development of imply necessity, any more than the mere
ultra-underdevelopment', 'sub-imperialism', and existence of necessity, in any situation, implies
'lumpen-bourgeoisie'. Furthermore, they have viability.
disregarded the cyclical nature of capitalist Without wishing to undertake a prolonged
accumulation, and to demonstrate their thesis analySis, I should like to suggest that the choice
of 'stagnation' they have taken empirical evi- facing Latin America today regarding the
dence mainly from the period from the mid character which the revolutionary struggle
19 5 Os to the mid-1960s, one of recession not should adopt is much more complicated than
only in Latin America but also in the whole of the simplistic and apocalyptic 'now Qr never',
the periphery, and projected it as if it were a 'all or nothing' approach of some dependency
permanent characteristic of capitalism; that is, writers. It is precisely this retreat to a purely
they treat a conjunctural ~henomenon as if it and simplistically ideological position, neces-
were a permanent feature.4 sary if they were to deny the possibility of
The crucial point is that these errors of capitalist development and thus force the con-
analysis have not only disfigured an important clusion that the struggle should take on an
part of the production of social scientists in immediately socialist nature, which has caused
Latin America, but have also led to a great deal these analyses, despite the important contribu-
of distorted political analysis, along the lines tions they have made to some aspects of the
that the local bourgeoisie no longer exists as an Latin American social sciences, to fail in their
active social force, but has become 'lumpen', attempt to establish a new paradigm. 5 1
incapable of rational accumulation and rational If one agrees with Cardoso (1976, p. 1) that
political activity, dilapidated by its con the standard that one has to use to assess the
sumerism, and blind to its 'real' interest, and analytical adequacy, the interpretative and pre-
that as there is no possibility of capitalist dictive capacity and the creative strength of
development in Latin America the sub- new explanatory schema in the social sciences
continent is necessarily at the crossroads, is the sensitivity with which they detect new
forced to choose between an immediate soeia- social processes and rhe precision with which
list revolution or a p.ermanent state of capitalist they are able to explain mechanisms of social
underdevelopment. 0 reproduction and modes of social trans/or
Reading their political analysis one gets the mation, one should agree that the dependency
impression that the whole problem around analyses which have attempted to construct a
which the question of what course the revolu- fonnal theory of Latin American underdeve-
tion should take in Latin America revolves is lopment are of relatively low standard; they
that of whether or not capitalist development is have been unable to meet these requirements
in their study of the economic development This critique is by no means directed at the
and political domination of Latin America. use of quantitative methods in the social
To use their own language, by transforming sciences (after all, many studies which have
dependency into a mechanico-formal theory of attempted to make analyses of concrete situa
Latin American underdevelopment - thus tions of dependency, including my own, con-
losing the richness that a dialectical analysis tain detailed quantitative work). The problem is
would provide - these writers have under not whether or not to measure; it is that,
developed the theory of dependency. despite the horror that it provokes among
logical positivists, there are fundamental dif.
(i) Empirical work related to this
ferences between methodology in the social and
approach to dependency the natural sciences. The differences are not
only quantitative (e.g., minutes of computer
The attempt to transform dependency into a
'throry of Latin American underdevelopment', time per printed page), but qualitative, concern-
and in some cases even into a theory of ing
underdevelopment in the whole of the peri- what and how to measure u well as the methodo
phery, was bound to succumb to the tempta- logical status of measuring (Cardoso and Faletto,
tion to elaborate a corpus of formal and 1977, p. 7).
testable propositions which could by them For these reasons the criticism of these quan-
selves explain 'the laws of motion of dependent titative studies is not that they are quantitative,
capitalist underdevelopment'. Similarly, the but that they have fallen into the same trap as
attempt to construct a theory of this nature the dependency writers that I have discussed so
was bound to appear a seductive challenge for far, that of understanding dependency as a
that part of the North American academic formal concept that can be made uniform and
world which is ever anxious to consume unidi- reduced to operational dimensions.
mensional hypotheses referring to clearly estab- Undoubtedly the most sophisticated empiri-
lished variables. While some are concerned to cal study of this kind published so far is that of
contribute to making the theory of underdeve- Chase-Dunn (1975). It is an attempt to test
lopment consistent and operational, and there the effects of 'dependency' on economic deve-
fore seek to identify as clearly as possible a set lopment and income inequality. Chase-Dunn
of empirically testable hypotheses, with the aid uses 'investment dependency' and 'debt depen-
of which they could construct a continuum dency' as measures of a country's dependent
running from 'dependence' to 'independence', position, and finds strong support for the
others wish to demonstrate that this 'theory' hypothesis that investment dependency inhibits
has no 'scientific status', as it has not construe economic development, but less support for the
ted to date a model whose hypotheses pass the hypothesis that debt dependency does the
various tests of significance. As Cardoso has same. He also finds support for the hypothesis
said that dependency is related to income inequali-
instead of making a dialectical analysis of hiStorical ties, although he finds that the relationship is
processes and of conceiving them as the result of insufficiently statistically significant. He con
struggle between cl.a.sRs and groups that deflne eludes that theories of dependency predict the
their interest and values in the process of the effects of inputs from advanced nations to less
expansion of a mode of production, history is developed ones better than nee-classical
formalized and ... the ambiguity, the contradic- theories of international economy, or sociologi-
tions and the disjunctions of the real are reduced cal theories of modernization.
to 'operational dimensions', which are by <lefmi
tion uniform but static (1976b, p. 15). A different attempt to test the theory is
Kaufman et al ( 1975). The authors test several
If one accepts (as I do) that the basic feature of propositions from the literature of dependency,
the dependency analyses is their conception of and find that some results show some support
the dynamic of the societies in question in while others furnish negative evidence; there-
terms of the specific form of their articulation fore, they conclude, the study
into the world economy, then the mixing of
data from different situations of dependency permits no definitive conclusions to be drawn
about dependency theory one way or the other
can be at" most of secondary interest, if not of (1975, p. 329).
mere curiosity value; it can neither validate nor
invalidate statements which should be pre Pockenham (1976) attempts to study the
sented as characteristic of specific situations of Brazilian situation in terms of degrees of
dependency. independence (sic), while Tyler and Wogart
(19 73) inquire into Sunkel's hypothesis that conventicnal theory of economic development,
increasing international integration leads to just as Keynesianlsm had set out to do with the
greater national disintegration in the less den central body of conventional economic
loped countries, and conclude that 'there is theory.53 Baran (1957, p. 24) summarizes
insufficient evidence to reject it' (1973, p. 42). Keynes's contribution as demonstrating that
Schmitter (1971, 1974) rejects the proposi- strong tendencies towards instability, economic
tion that dependency ls the cause of all the ills stagnation and chronic under-utilization of re-
of Latin America, but accepts that the theory sources, both human and material, are intrinsic
of dependency has contributed a basis for a to the market economy. For Keynes these are
more subtle, differentiated and empirically test only 'tendencies', for he always stresses that
able theory. Finally, McGowan and Smith they can be managed if the adequate counter-
(1976) test the relevance of the theory of acting measures are taken. That is, if individual
dependency for black Africa, and conclude that and anonymous decisions tend to produce a
a modified conventional model would be more series of dlsequilibria (with consequences as
appropriate. serious as the depression of the 1930s), they
To summarize these essays in their own can be avoided by the collective decisions of
terms, if we plotted the findings of this group individuals through the state (Keynes, 1932, p.
of empirical studies of the 'theory of depen- 318). In this way Keynes was opposed not only
dency' we should obtain a curve whose mean to the conception of the 'harmony of unregu-
would be that the theory ls relatively accep- lated classical liberal capitalism', but also to the
table, whose median would be the use of data traditional Marxist view that the growing and
drawn from a mix of different situations of cumulative contradictions of capitalism would
dependency, and whose interval in respect of necessarily become unmanageable in the end.
the mean in terms of standard deviation would The Keynesian tradition did not only empha-
go from those who affirm that there is insuf size the need for corrective state intervention in
ficicnt evidence to accept the theory to those the economy, but also introduced into conven-
who affirm that there is not enough to reject it. tional economic analysis a series of variables
Finally, the range of the curve would run from previously considered 'exogenous' or 'irra-
those who on the basis of empirical evidence tional', such as income distribution, the in-
would accept the theory unhesitatingly to those terests of individuals, roups and nations, and
who would reject it out of hand. market imperfections. 5
That the ECLA analyses should have drawn
their inspiration from Keynesianlsm in no way
b. Dependency as a reformulation of the den.ies their originality; this lay in the way in
ECLA analysis of Latin American which they applied the Keynesian analysis to
development the Latin American situation, and to the theory
of economic development, to which the Key-
Towards the middle of the 1960s the ECLA nesian tradition had hitherto paid little atten-
analyses were overtaken by a gradual decline, in tion. The ECLA analysts produced the fll'St
which many factors intervened. The statistics major Latin American contribution to the
relating to Latin American development in the social sciences, and furthermore went beyond
period after the Korean War presented a the merely theoretical level to make concrete
gloomy picture (see Booth, 1975, pp. 62-64} policy proposals on the basis of their theoreti-
which was interpreted in different ways as cal work.
indicating the failure of the policies ECLA had The nucleus of the ECLA analysis was the
been proposing since its foundation. Further- critique of the conventional theory of inter
more, the first attempts to introduce into the national trade (as expressed in the Hecksher-
traditional ECLA analysis a number of 'social Ohlin-Samuelson5 5 model of Ricardo's theory
aspects' (Prebisch, 1963 ), far from strengthen- of international trade); it aimed to show that
ing the analysis, revealed its fragility (see the international division of labour which con-
Cardoso, 1977, p. 32). ventional theory claimed was 'naturally' pro-
One of the results of the relative decline in duced by world trade was of much greater
the influence of ECLA's analyses was the benefit to the centre (where manufacturing
emergence of an attempt to reformulate its production is concentrated) than to the peri-
thought. Before this can be discussed, a brief phery (which was destined to produce primary
review of the ECLA analyses themselves will be products, be they agricultural or mineral).
necessary. 5 2 There were according to ECLA two reasons for
ECLA itself attempted to reformulate the this: first, that factor and commodity markets
were more oligopolistic at the centre than in mediate and at times ferocious; ECLA's policy
the periphery, and that therefore the benefits recommendations were totally heretical from
of trade were unequally distributed, leading to the point of view of conventional theory, and
a long-term decline in the terms of trade for the threatened the political interests of significant
periphery; and second, that as those writers sectors, A leading critic in academic circles wu
who la.id considerable emphasis upon the role Haberler (1957), who accused ECLA of failing
of 'extemalities'5 6 suggested, there were a to take due account of economic cycles, and
number of benefits associated with industrial argued that single factorial terms of trade
production itself. That is, an international would be a better indicator than the simple
division of labour which concentrated industrial relationship between the prices of exports and
production at the centre and inhibited it in the imports.
periphery not only worked against the latter On the political front, the liberal tight
through its effect on the long-term trend in the accused ECLA of being the 'Trojan horse of
terms of trade, but also because of the loss of a Marxism', on the strength of the degree of
series of benefits proper to a process of coincidence between both analyses. Without
industrialization. s 7 doubt there was a significant degree of coinci-
In other words, to achieve accelerated and dence - both ideological and analytical -
sustained economic growth in Latin America a between the thought of ECLA and the post
necessary condition (and, some ECLA writings 1920 Marxist view of the obstacles facing
seemed to suggest, a sufficient one) was the capitalist development in the periphery, despite
development of a process of industrialization. the fact that the language that they used and
But this process of industrialization could not the premises from which they started were
be expected to take place spontaneously, for it different. As I have shown, the central line of
would be inhibited by the international division Marxist thought after 1920 argued that capita
of labour which the centre would attempt to list development in Latin America was neces-
impose, and by a series of structural obstacles sary, but hindered by the 'feudal-imperialist'
internal to the Latin American economies. a.lliance; thus the anti-imperialist and 'anti-
Consequently, a series of measures were pro- feudal' struggle had become at the same time a
posed, intended to promote a process of 1ieli struggle for industrialization, with the state and
berate or 'forced' industrialization; they in the 'national bourgeoisie' depicted as potential
eluded state intervention in the economy both historical agents in this necessary capitalist
in the formulation of economic policies orien- development. In the case of ECLA, as with the
ted towards these ends and as a direct produc- Marxists, the principle obstacle to development
tive agent. Among the economic policies sug- (ECLA chose to speak of the 'principal ob-
gested were those of 'healthy protectionism', stacle' rather than the 'principal enemy') was
exchange controls, the attraction of foreign located overseas, and ECLA shared with the
investment into Latin American industry, the Marxists the conviction that without a stren-
stimulation and orientation of national invest- uous effort to remove the internal obstacles to
ment, and the adoption of wage policies aimed development (the traditional sectors) the pro-
at boosting effective demand. The intervention cess of. industrialization would be greatly im
of the state in directly productive activity was peded.59
recommended in those areas where large Furthermore, the- coincidence between cru-
amounts of slow-maturing investment were cial elements in the analysis of the two respee-
needed, and particularly where this need coin- tive lines of thought is made more evident by
cided with the production of essential goods or the fact that the processes of reformulation in
services. 5 8 each occurred simultaneously. Thus when it
It is not particularly surprising that ECLA became evident that capitalist development in
should have attracted its share of criticism, Latin America was ta.king a path different from
particularly as it went beyond theoretical pro- that expected, a number of ECLA members
nouncements to offer packages of policy re- began a process of reformulation of the tradi
commendations. It was criticized from sectors tional thought of that institution, just at the
of the left for failing to denounce sufficiently time that an important sector of the Latin
the mechanisms of exploitation within the American left was breaking with the traditionai
capitalist system, and for criticizing the conven- Marxist view that capitalist development was
tional theory of international trade only from both necessary and possible in Latin America,
'within' (see for example Frank, 1967, and but hindered by the 'feudal-imperialist' al
Caputo and Pizarro, 1974). On the other hand, liance. Not only did the different processes of
from the liberal right the reaction was im- reformulation take place at the same time, but
despite the apparently growing divergencies of agricultural and mineral products, and some
(particularly seen in the vocabulary adopted), countries were able to take advantage of the
they had one extremely important element in favourable situation and accelerate rapidly the
common: pessimism regarding the possibility of rhythm of their economic development. Thus,
capitalist development. as Cardoso (1977, p. 33) remarks, 'history had
As regards the attempt to reformulate the prepared a trap for pessimists'.
thought of ECLA, it was undoubtedly the Perhaps the other distinctive aspect of this
sombre picture presented by their own statistics line of Latin American thought was that it
on Latin America (ECLA, 1963) which made a basically ethical distinction between
wrought the effect which the Cuban revolution 'economic growth' and 'economic develop-
had had on thinking within the other group. In ment'. According to this, development did not
the terminology of Kuhn ( 1962, 1972) they take place when growth was accompanied by:
sought to change their paradigm. The process of (i) increased inequality in the distribution
import-substituting industriallz.ation which of its benefits;
ECLA recommended seemed to aggravate (ii) a failure to increase social welfare, in so
balance-of-payments problems, instead of alle- far as expenditure went to unproductive
viating them; foreign investment was not only areas - or even worse to military spending -
in part responsible for that (as after a certain or the production of unnecmarily refmed
period of time there was a net flow of capital luxury consumer durables;
away from the sub-continent),60 but it did not (iii) the failure to create employment oppor-
seem to be having other positive effects that tunities at the rate of the growth in popula-
ECLA had expected; real wages were not rising tion, let alone in urbanization; and
sufficiently quickly to produce the desired (iv) a growing loss of national control over
increase in effective demand - indeed, in economic, political, social and cultural life.
several countries income distribution was By making the distinction in these terms,
worsening; the problems of unemployment were their research developed along two separate
also growing more acute, in particular as a lines, one concerned with the obstacles to
result of rural-urban migration; industrial pro- growth {and in particular to industrial growth),
duction was becoming increasingly concen- the other concerned with the perverse character
trated in products typically consumed by the taken by development. The fragility of such a
elites, and was not having the 'ripple effect' formulation consists in its confusing a socialist
upon other productive sectors of the economy, critique of capitalism with the analysis of the
particularly the agricultural sector. obstacles of capitalism in Latin America. For a
The bleak panorama of capitalist develop- review of these issues see Faria ( 1976, pp.
ment in Latin America led to changes in the 37-49).62
'pre-theoretical entity' (to return to the Ian But if the attempt at reformulation which
guage of Kuhn) in ECLA thinkers, but it followed the crisiS in the ECLA school of
strengthened the convictions of the dependency thought did not succeed in grasping the trans-
writen I reviewed earlier. 6 1 The former were formations which were occurring at that
faced with the problem of trying to discover moment in time in the world capitalist
why some of the expected consequences of system,6 3 it did in time produce together with
industrialization on the course of development the abandonment of stagnationist theories, a
were not being produced, the latter denied with movement towards a more structural-historical
greater vehemence the least possibility of de analysis of Latin America.64 The first substan-
pendent capitalist development. tial critique of stagnationist theories came from
The pessimism with regard to the possibili- Tavares and Sem (1970). Pinto (1965, 1974)
ties of capitalist development in Latin America in his tum, less seduced throughout by those
which was the keynote of the works written by theories, discussed the concept of structural
both groups during this period was in each case heterogeneity, and the process of 'marginali-
accompanied by the same error: the failure to zation of the periphery' (Pinto and Knakel,
take duly into account the cyclical pattern 1973). Vuscovich (1970) studied the 'concen-
characteristic of capitalist development. trated and exclusive' character of Latin
The irony was that while both groups were American development, and later ( 1973) ana-
busy writing and publishing different versions lysed the way in which the economic policy of
of stagnationist theories (the most sophisticated the Unidad Popular government had to adjust
perhaps being Furtado, 1966), international itself to the constraints. both political and
trade was picking up, the terms of trade were economic, facing Chile at that moment in
changing in favour of Latin American exporters time.6 5 Sunkel (l973a; Sunkel and Paz, 1970)
studied the relationship between internal eco- decisive stages of development and the theory
nomic problems and the world capitalist sys- failed to keep up with them. The depression of
tem, in an attempt to show that development the 1930s, the Second World War, the emer-
and underdevelopment were two sides of the gence of the United States as the undisputed
same coin. His most significant contribution is hegemonic power in the capitalist world, the
his analysis of the process by which inter- challenge of the growing socialist bloc, and its
national integration leads to greater national attendant creation of new demands on the
disintegration in the less developed countries; capitalist world if its system were to be
this work was complemented by analyses of the maintained, the decolonization of Africa and
effects of multinational corporations in Latin Asia, and the beginning of the process of the
America (1972, 1973b, 1974). He later went on transnationalization of capitalism had all contri-
to write with Cariola a revealing analysis of the buted to create a world very different from that
relationship between the expansion of nitrate which had confronted Lenin. A! the theory of
exports and socio-economic transformations in impenalism once again began to place itself at
Chile between 1860 and 1930 (1976), and the the centre of Marxist analysis this failure to
effects which this had on class formation in make any theoretical advance began to make
Chile (1977). itself felt; the transformations which had occur-
red and which continued to occur were slowly
if at all incorporated into its analysis. Contribu-
c. A methodology for the analysis of tions as important as those of Gramsci6 6 and
concrete situations of dependency Kalecki have remained almost unintegrated
until very recently.6 1
In my critique of the dependency studies One characteristic of the third approach to
reviewed so far I have already advanced the dependency, and one which hlls been widely
fundamental elements of what I understand to recognized, has been to incorporate more sue-
be the third of the three approaches within the cessfully into its analysis of Latin American
dependency school. It is primarily related to development the transformations which are
the work of the Brazilian sociologist Fernando occurring and have occurred in the world
Henrtque Cardoso, dating from the completion capitalist system, and in parneuiar the changes
in 1967 of Dependencia y Desarrollo en which became significant towards the end of
America Latina, written with the Chilean his the 1950s in the rhythm and the fonn of
torian Enzo Faletto. capital movement, and in the international
Briefly, this third approach to the analysis of division of labour. The emergence of the
dependency can be expressed as follows: so-called multinational corporations progres-
(i) In common with the two approaches sively transformed centre-periphery relation
discussed already, this third approach sees ships, and relationships between the countries
the Latin American economies as an integral of the centre. As foreign capital has increasingly
part of the world capitalist system, in a context been directed towards manufacturing industry
of increasing internationalization of the system in the periphery ,6 8 the struggle for industriali
as a whole; it also argues that the central zation, which was previously seen as an anti-
dynamic of that system lies outside the peri- imperialist struggle, has become increasingly the
pheral economies and that therefore the op- goal of foreign capital. Thus dependency and
tions which lie open to them are limited by the industrialization cease to be contradictory, and
development of the system at the centre; in this a path of 'dependent development' becomes
way the particular is in some way conditioned possible.6 9
by the general. Therefore a basic element for (ii) Furthermore, the third approach not
the understanding of these societies is given by only accepts as a starting-point and improves
the 'general determinants' of the world capita- upon the analysis of the location of the
list system, which is itself changing through economies of Latin America in the world
time; the analysis therefore requires primarily capitalist system, but also accepts and enriches
an understanding of the contemporary charac- their demonstration that Latin American socie-
teristics of the world capitalist system. How ties are structured through unequal and antago-
ever, the theory of imperialism, which was nistic patterns of social organization, showing
originally developed to provide an understand the social asymmetries and the exploitative
ing of that system, had remained practically character of social organization which arise
'frozen' where it was at the time of the death of from its socio-economic base, giving con-
Lenin until the end of the 19 50s. During this siderable importance to the effect of the
period, capitalism underwent significant and diversity of natural resources, geographic loca-
tion, and so on of each economy, thus extend- nal groups and forces oppose this domination,
ing the analysis of the 'internal determinants' of and in the concrete development of these
the development of the Latin American econo- contradictions the specific dynamic of the
mies. society is generated. It is not a case of seeing
(iii) But while these improvements are im- one part of the world capitalist system as
portant, the most significant feature of this 'developing' and another as 'underdeveloping',
approach is that it goes beyond these points, and or of seeing"imperialism and dependency as two
insists that from the premises so far outlined sides of the same coin, with the underdeveloped
one arrives only at a partial, abstract and or dependent world reduced to a passive role
indeterminate characterization of the Latin determined by the other, but in the words of
American historical process, which can only be Cardoso and Faletto,
overcome by understanding how the ieneral We conceive the relationship between external and
and specific determinants interact in particular internal forces as forming a complex whole whose
and concrete situations. It is only by under- structUral links are not based on mere external
standing the specificity of movement in these forms of exploitation and coercion, but are rooted
societies as a dialectical unity of both, and a in coincidences of interests between local domi-
synthesis of these 'Internal' and 'external' fac- nant clasles and international ones, and, on the
ton, that one can explain the particularity of other side, are challenged by local dominated
groups and classes. In some circumstances, the
social, political and economic processes in the networks of coincident or reconciliated interests
dependent societies. Only in this way can one might expand to include segments of the middle
explain why, for example, the single process of class, if not even of alienated parts of working
mercantile expansion should have produced in classes. In other circumstances, segments of domi-
differe'ht Latin American societies slave labour, nant classes might seek internal alliance with
systems based on the exploitation of indigenous middle classes, working classes, and even peasants,
populations, and incipient forms of wage labour. aiming to protect themselves from foreign penetra-
What Is important is not simply to show that tion that contradicts its interests (1977, pp.
mercantile expansion was the basis of the 10-11}.
transformation of the Latin American econo- There are of course elements within the
mies, and less to deduce mechanically that that capitalist system which affect all the Latin
process made them capitalist, but to avoid American economies, but it is precisely the
losing the specificity of history in a welter of diversity within this unity which characterizes
vague abstract concepts by explaining how the historical processes. Thus the effort of analysis
mercantilist drive led to the creation of the should be oriented towards the elaboration of
phenomena mentioned, and to show how, concepts capable of explaining how the general
throughout the history of Latin America, dif trends in capitalist expansion are transformed
ferent sectors into specific relationships between men, classes
of local classes allled or c::lashed with foreign and states, how these specific relations in turn
interests, organ.iud different forms of state, sus react upon the general trends of the capitalist
tained distinct ideologies or tried to implement system, how internal and external processes of
various policies or defined alternative strategies to political domination reflect one another, both
cope with imperialist challenges in diverse in their compatibilities and their contradictions,
moments of history (Cardoso and Faletto, 1977, p. how the economies and polities of Latin
12). America are articulated with those of the
The study of the dynamic of the dependent centre. and how their specific dynamics are
societies as the dialectical unity of internal and thus generated.
external factors implies that the conditioning Nevertheless, I do not mean to support a
effect of each in the movement of these naive expectation that a correct approach to
societies can be separated only by making a the analysis of dependency would be capable of
static analysis. Equally, if the internal dynamic explaining everything; or that if it does not yet
of the dependent society is a particular aspect do so, it is necessarily due to the fact that the
of the general dynamic of the capitalist system, method was wrongly applied, or has not yet
that does not imply that the latter produces been developed enough. I do not have any
concrete effects in the former, but finds con illusions that our findings could explain every
crete expression in them. detail of our pa.st history, or should be capable
The system of 'external domination' re-- of predicting the exact course of future events,
appears as an 'internal' phenomenon through because I do not have any illusions that our
the social practices of local groups and classes, fmdings can take out from history all its
who share its interests and values. Other inter ambiguities, uncertainties, contradictions and
surprises. As it has done so often in the past, works of Laclau (1969), Pinto (1965, 1974),
history will undoubtedly continue to astonish Cariola and Sunkel (1976, 1977), and Singer
us with unexpected revelations - as unexpected (1971 ).
as those that astonished Lenin in 191 7 (see
page 894).
It is interesting to note that Cardoso's work 4. BYWAY OF A CONCLUSION
on ilependency was preceded by a series of
concrete analyses of aspects of Brazilian history Throughout this survey of dependency
and contemporary sociology which fore- studies relating to Latin America 7 I have
shadowed in many ways his later positions. shown that there is no such thing as a single
Cammack ( 1977) argues that his analysis of 'theory of dependency'; under the dependency
slavery in southern Brazil (Cardoso, 1960, label we find approaches so different that we
1962) provides an explicit characterization of may at best speak of a 'school of dependency'.
the specific contradictions of subordinated The principal common element in these ap-
development, although within the context of a proaches is the attempt to analyse Latin
single nation, and for a time at least under American societies through a 'comprehensive
conditions of colonial rule. He states that social science', which stresses the socio-political
the characterization of capitalist development in a nature of the economic relations of production;
peripheral economy (the description given to the in short, the approach is one of political
south of Brazil) snesses that it is dynamic, but that economy, and thus an attempt to revive the
the process of capital accumulation is incomplete, 19th and early 20th century tradition in this
and marked by contradictions not found in classi- respect.
cal forms of ~pitalist development (Cammack, From this perspective there is a critique of
1977, p. 10). those who divide reality into dimensions ana-
Cammack thus shows how these early works lytically independent of each other and of the
provide the basiS for a rejection of the stagna- economic structures of a given society, as if
tionist theses; he also demonstrates that there is these elements were in reality separable. Thus
in the discussion of the contradictory nature of the dependency school offers an important
slave labour an implicit rejection of the 'feudal' critique of such approaches as Rostow's 'stages
and 'super-exploitation of labour' theses con of growth', 'modern-traditional' sociological
cerning Latin American development. However, typologies, aualism, functionalism, and in gene
it was research conducted in the early 1960s ral all those which do not integrate into their
into the political position of the 'national analysis an account of the sccio-polineal con
bourgeoisie' that convinced Cardoso that the text in which development takes place.
class structure of Brazil was essentially different Nevertheless, as I have attempted to show,
from that which had served as its implicit not all the approaches within the dependency
model, derived from classical Marxist analysis school are successful in showing how these
of the development of class relations in the distinct spheres - social, economic and political
advanced countries of Western Europe. - are related.
It is thus through concrete studies of specific I have criticized those who fail to under-
situations, and in particular of class relations stand the specificity of the historical process of
and class structure in Brazil that Cardoso the penetration of capitalism into Latin
formulates the essential aspects of the depen- America, and only condemn its negative as
dency analysis. As Cammack notes, Cardoso pects, complementing their analysis with a
denies elsewhere, in Althusserismo o mantis- series of stagnationist theses, in an attempt to
mo? A proposito del concepto de clases en build a formal theory of underdevelopment.
Poulantzas' (in Cardoso, 1972b), a critique of These are mistaken not only because they do
Poulantzas ( 1972), that there are any 'general not 'fit the facts', but because their mechanico
categories' within Marxism. 70 formal nature renders them both static and
In my view, some of the most successful unhistorical. They have thus developed schemas
analyses within the dependency school have unable to explain the specificity of economic
been those which analyse specific situations in development and political domination in Latin
concrete terms. A case in point is Chudnovsky America; indeed, their models lack the sensi-
(1974), who after analysing the effect of tivity to detect the social processes of Latin
multinational corporations in Colombia, goes America, and are unable to explain with preci-
on to relate it to the theory of imperialism. For sion the mechanisms of social reproduction and
other successful attempts at concrete analysis, modes of social transformation of these
one should consult the already mentioned societies. This leads them to use vague and
imprecise concepts, as vague and imprecise as Attention to the social and political context
those used at the other end of the political in which development takes place (or fails to
spectrutlb as for example the 'Brazilian take place) may avoid the investment of time
miracle'. 72 and energy in the preparation of strategies
I have also criticized those who fail to which stand little chance of being properly put
understand that capitalist development will to the test. 73 How can this be avoided? Perhaps
necessarily take place on its own terms, 'warts by benefiting from the insights of the best work
and all', and who hope that it could produce a of the dependency school, re-uniting quannta-
just distribution of income, wealth and power. tive studies with historical-structural analysis,
Finally, I have shown that we find in these thus ending the 'dialogue of the deaf'74 and
analyses a methodology adequate for the study recognizing the truth, in its broadest sense, of a
of concrete situations of dependency, from comment made by Dudley Seers (1963): 'Eco-
which concrete concepts and theories can be nomics is the study of economies'. After all,
developed; and from which strategies of deve- development strategists have one thing at least
lopment can be set up in terms of specific in common with Marx - they want not only to
situations of each society, with economic analy understand reality, but also to transform it. 74
sis placed within clear social and political
coordinates.
NOTES
1. Those who are already familiar with the basic 9. Marx has generally been interpreted as predicting
tenets of Marxism will excuse a brief and necessarily that the relative standard of living of the workingclass
superficial digression here. would tend to decline, in the sense that the percentage
of the GNP accruing to the working class would tend
2. As for example the subjective or psychological to fall (see for example McLellan, 1975, pp. 53-56). I
elements dillcUSted by Schumpeter (1919), such as the would ugue that when Marx analysed capitalism's
existence of a decadent military aristocracy, or an need to separate the property of the means of
underemployed middle class of the supposedly mysti- production from the workingclass, he was specifically
cal aims of a Catholic Empire. predicting their condemnation to 'absolute poverty',
and not necessarily to a decline in their standard of
3. lt is for this reason that to accept and recognize living - either relative or absolute - or in his words,
this interaction between base and superstructure does to 'absolute poverty: poverty not as shortap, but as
not lead to a circular explanation of human relations, total exclusion of objectivewealth' (1859, p. 296).
nor to the deduction that these are the product of
'separable' factors among which the economic factor is 10. For a classification of different Marxist and
the 'detemtinant'. non-Marxist approaches to imperialism, see Field
house, 1961.
4. A concrete expression of this fact is that so
much emphasis is placed upon the creatton of revolu 11. Althusser, 1967, distinguishes between a general
tionary consciousness and the importance of a van- theory, regional theories, and sub-regional theories;
guard party. examples have been provided in Hameclcer,1969, pp.
227-231.
5. For an analysis of Marx's discussion of the
process of labour in general and the alienation of 12. I am hell! closely following Sutcliffe, 1972b, p.
labour under capitalist relations of production in 320.
partic1datsee Echevenia {forthcoming}.
13. See for example Fernandez and Ocampo, 1974.
6. Marx himself recognizes the poSSlbility of 'un-
equal relationships' between, for eltllmple,a.rt and the 14. In this respect see Lenin, 1899, pp. 65-68; Dos
development of material production at some stages of Sames, 1968; Barrat-Brown, 1972, pp. 43-47; Sut-
history. cliffe, 1972a, pp. 180-185; Caputo and Pizarro, 1974,
pp. 118-123.
7. For a discussionof Marx's scientific method see
Sweezy, 1942; Meek, 1956; Ryan, 1972; Vygodslci, 15. This is due in part to the experience of the
1974; Carver, 1975; Howardand KJng, 1975. transitions of socialism,and to the existence today of
developed socialist economies which can provide what
8. For a further discussionof this, see Dobb, 1937; otherwise would have been obtained from capitalist
Robinson. 1942; Sweezy, 1942; Meek, 1956; Horo- development.
witz, 1968; Mandel, 1970; Freedman, 1971; Howard
and Kina. 1975. 16. For further d.isc::ussions of the Asiatic: mode of
DEPENDENCY: FORMAL TIIBORY OR METHODOLOGY 913
production sec Hobsbawm, 1964; Dos Santos, 1968; wnunary of it sec Sutcliffe, 1972b, pp. 370-375.
Averini, 1968, 1976; D'Encausse and Schram, 1969;
Batra. 1971; Foster-Cartee, 1974. 23. I am here following Rudenko, 1966.
17. The gxeat Importance of these statements to- 24. Fot further dlscusaions of Lenin's work and its
wards the end of Marx's life is that they show that he relation to other work on imperialism see Vazga and
saw history not as a mechanic:al. continuum of discrete Mendelson (eds.), 1939; Kruger, 1955; Kemp, 1967,
stages through which each society must pass, but as a 1972; L. Shapiro and P. Redd.away, 1967; Horowitz,
process in which the paxticularlty of each historical 1969; Pailloix, 1970; Hinkelammert, 1971; Lichtheim,
situation had an important role to play. His position 197l;B.mat-Brown, 1972, 1974.
regarding the Russian case illustmtes wen the fleXi-
bility of hls approach, which was informed by the 25. The Narodniks were a group of intellectuals and
dialeciical unity of subjective and objective factors. a series of terrorist groups who were the leading
Stalin {1934, p. 104) would later pervert this ap- Russian revolutionaries during the last three decades
proach, stating that the Soviet form of diet;.totship of of the 19th century, reaching their peak in the 1870s.
the proletariat was 'suitable and obligatory for all From this group emerged later the 'Social Revolu
countries without exception, including those where tionanes', a paxty which played an important role in
capitalism is developed'. thus condemning all countries the period from FebtuarY to October 1917, and of
except the USSR to have no history of their own, which Kerensky was a member. The base of the party
was fundamentally peasant, although it had some
18. On Rosa Luxemburg see Sweezy, 1942, pp. strength in the towns. dominating the first democratic
124-129; Robinson, 1963; Lichtheim, 1971, pp. municipalities, many soViets, and some sectors of the
117-125; BarratBrown, 1974, pp. 50-52; Caputo army. The Narodniks were a complex group of 18th
and Pizano, 1974, pp. 148-166;Furtado, 1974,pp. century Enlightenment materialists and radicals in the
229-233; Nettl, 1975; Bradby. 1975, p. 86. tradition of the French Revolution; their theoretical
roots were in Marxism, their political practice was
19. For a further discussion, see Caputo and Pizano, inspired by anarchism. The first translation of Capital,
1974, pp. 135-145; O'Brien, 1975, p. 21. by a Narodnik, appeared as early as 18 72.
20. Similarly, Lukacs stresses, in his preface to the 26. The peasant commune, a system of common
1967 edition of Geschidtte und Klassenbewusstetn land tenure with periodic:al. redistnoution of individual
(1923), that his work should be read wifr an eye to allotments, prevailed under serfdom and survived its
the factional dispuu:s of the time at which he wrote it. abolition in 1861.
21. Even less could it explain why it was precisely 27. They went on to explain the ambiguity of the
the Social Democratic groups of France, Italy, class position of the peasant as follows: 'If by a chance
Germany and England who were the first to break the they are revolutionaries, they are so only in the view
agreemenu taken in Congress after Congress during of their impending transfer to the proletariat; they
the Second International to oppose the war on thus defend not their present, but their fllture interest;
account of its imperialist nature. The only ones to they desert their own standpoint to place themselves
stand by those agreements were the Russians, both at that of the proletariat'.
Bolsheviks and Men&heviks, and some minority groups
in other countries, such as Luxemburg's followers in 28. A year later, and only a year before he died,
Germany. The Russian left opposed the grmting of Marx (with Engels) returned to the theme in a new
war crediu in the Duma. Later. the Mensheviks preface to the Russian edition of the Communist
followed the line of Social Democrats elsewhere, as Manifesto, using similar arguments. Ten years later,
did some Bolshevik groups. Those in Paris enrolled in Engels would affirm that if there had ever been a
the French Army, and Plekhanov, the 'father of possibility of avoiding capitalist development in Russia
Russian Marxism' and collaborator with Lenin for there was no longer. The Russian commune was by
many years, went so far in their support, according to then part of the past, and Russia could therefore not
Lenin's widow, Krupskaya, (1930, p. 247) to 'make a escape passage through the stage of capitalism.
farewell speech in their honour'.
29. Thll! for example a year before (in February
22. This point is emphasized by Lukacs, 1924, p. 75; 1898) in the founding Congress of the 'Russian Social
it is important not to seek in the essay what Lenin did Democratic Workers' Party' {the first concerted
not set out to provide, an 'economic theory' of attempt to create a Russian Marxist party on Russian
imperialism; in this respect Lenin is largely content to soil, and the forerunner of the Russian Communist
follow Hobson. 1902, and Hilferding, 1910. The Party (Bolshevik), delegates stressed that the principal
substantive element of his contn"bution is in the dilemma of the Russian revolution was the incapacity
analysis of the effect which economic changes have on of the bourgeoisie to make its own revolution; from
the world capitalist system in general, and on the class that they derived the consequent need to extend to
struggle in individual countries in particular. AP" the proletariat to leadership in the bourgeois demo-
proaches to Lenin's work from different points of cratic revolution. In this context they stated, 'The
view have led to some misdirected criticism; for a farther east une goes in Europe, the weaker, meaner
914 WORLD DEVELOPME!'ff
and more cowardly in the political sense becomes the work (F.mnk, 1972, 1974, 1977). Hem we would only
bourgeoisie, and the greater the cultural and political mention a critique commonly made of l'rank, of other
tasks which fall to the lot of the proletariat' (cited in dependency writers, and of Marxists in general, regard-
Carr, 1966, Vol. I, p. 15). ing the role of' ideology in their analysis (see for
example Nove, 1974 j. Marxist analysis, as a general
30. It was only some years later that Stalin deve- rule, springs simultaneously from political and in tellec
loped his well-known thesis of 'SocialislTI in one tl.tal praxis., and therefore only on a logical level is it
countrY'. possible to make a clear distinction between 'concept'
and 'history', and between 'theory' and 'practice'.
31. Lenin's widow herself has testif'ied to the great From this point of view it is only of formally
surprise with which Lenin received the news of the scholastic: Interest to claim that a concept is generated
February revolution. See Krupskaya, 1930, p. 286. 'impure', and 'stained' with ideology. nus is how any
theory emerges in the social sciences. As Cardoso
32. For a general discussion of the problems of late (1974, p. 328) states, 'ideology reflects the real
industrialization see Gerschenlcron, 195 2; for a discus inversely and at times perversely'. To criticize Frank
sion of the impact of the expansion of capitalism into and other authors because their concepts are 'Impreg-
backward nadons, see Rey, 1971. nated' with ideology is only to state the obvious; to
criticize them because their ideology reflects reality
33. In 1824 the British Olancellor, Lord Canning, perve:nelY may be an important element of a critique
made an oft.quoted statement: 'Spanish America is of their work. For further ideas relating to this subject
free, and if we do not badly 111.ismanageour affairs. she see Lanain, 1977.
is English'. Hbtory would prove that his optimism was
justified. 41. Lac.lau (1971) points out that by restricting his
analysis to the circulation of capital Frank fails to
34. It is surprising that other lines of Marxist realize that integration into the world economy
analysis ware practic:ally absent in the debate; Trotsky's sometimes even strengthens pre-capitalist relations of
work. for example, was not intluential, or at least, not production; it does not follow however that if such
acknowledged as intluential, despite his important relations were not capitalist they were feudal (Car
contributions, and in particular that of 1930, in which doso, 1974b). In my judgement. the frequent use of
he insisted that the specific historical circumstances of the term 'feudal' to characterize pre-capitalist relations
individual countries would preclude their repeating the of production in Latin America illustrates the folly of
path to capitalist development traced out by the ad- purely theoretical analysis. It is precisely the lack of
vanced nations. concrete analysis which leaves a vacuum, and there is a
tendency to fill it with concepts developed for other
35. It should be noted that this did not preclude, for situations. It is time to attempt to analyse the Latin
example, an alliance with small .nual producers, For a American experience in terms of categories derived
full account of the whole controversy mentioned from iU own history, rather than continue to squeeze
briefly here see Suarez, 1967. her history into Western European categories. For
interesting studies of pre-capitalist relations in Latin
36. A characterization is absttact in the Marxist sense America see Cardoso, 1960, 1962; Glaucor, 1971;
when it is based on partial or indeterminate relation BarbosaRamirez, 1971.
ships. See Luporini, 1965, and Sassoon, 1965.
42. Frank of course also criti<:ized models of eco-
3 7. Baran enriches the theoretical framework of this nomic development such as that of Rostow, which
line of Marxist thought. See alsc Baran and Sweezy, claimed that all nations could and should follow the
1966, and Mandel, 1968. same path. For a discusa~n of Frank and Rostow, see
Foster.Carter, 1976.
38. Hence, according to Frank, the continual failure
of attempts, such as those in Latin America ln the 43. For an analysis of the work of Dos Santos see
1830s, to weaken the metropolis-satellite chain. See Fausto, 1971.
Frank, 1967, pp. 57-66.
44. For a critique of Marini. see Lac.lau, 1971, pp.
39. For the presentation of dualist analyses see 83-88; Cardoso, 1973, pp. 7-11. See also Marini's
Lewis. 1954, 1958; Jorgenson. 1961, 1967; Fei and earlier works (Marini, 1969, 1972a).
Rallis, 1964. Other critiques of dualism have come
from Griff"m, 1969; La.clau, 1969; Novack, 1970; 45. Th.is consists. according to Hinkelammert, of
Singer, 1970; Rweyemamu, 1971; Cole and Saunders, two factors: (1) the capacity to import is determined
1972; and Seligson, 1972. The thesis that Latin by the sale of raw materials to the countries of the
America had been capitalist since colonial times had developed world, and (2) it is impossible to substitute
previously been advanced by Bagu, 1949, and Vitale, the exporting of raw materials with exports of
1966. manufactured good&.
40. Frank himself hu kept his audionc:e up to date 46. See (among othen) Lebedinsky, 1968; Galeno,
with the growing bibliography relating to his OWJI 1969; Peuas, 1969, 1970; Cecena Cervantes, 1970;
DEPENDENCY: FORMAL THEOR. Y OR METHODOLOGY 915
Fernandez, 1970; De la Pei'la., 1971; Bagcbi, 1972; continued by Young, 1928. It was later taken up by
Cockroft, Frank and Jolwon (eds.), 197:2, Malave Sdtovsk:y, 1954; Nurlcse, 1955; Rosenstein-Rodan,
Mata, 1972; Mceropol, 1972; Alschuler, 1973; Mllller, 1957; Myrdal, 195/, etc.
1973.
57. For Di Tella, 1973, this traditional emphasis
4 7. Although Lall (and later. Weissk.opf) appears to upon 'externalities' is no more than an attempt, not
direct his critique at the whole dependency school, it always conscious. to reconcile t\Vo contradictory
is applicable in fact only to those whom I classify as phenomena - the constant fall in industrial produc-
attempting to build a mechanico-formal theory of tion costs and the noceuity to work with a rising cost
dependent underdevelopment. curve at the level of the firm - ii one wishes to assume
the possi'bility of the existence of perfect competition.
48. We should note here that the figures for indus- Di Tella attempts to show that the only way in which
trial gxowth of many less developed countries should both phenomena can be reconciled is through the
be regarded with caution. 'Ibey may be inflated due to addition of a fl1rther element to the analysis: exter-
monopoly pricing; the industrial sector may be so nallties. He argues that if one acupta that the cause of
small as to make its rate of growth appear misleadingly decreasing costs lies in internal eccnomies of scale, it
high; the repatriation of profits canied by foreign must follow that the type of competition intrinsic to
capital may be high, and in that case the growth rate industrial production is oligopolistic, not perfect (p.
of industrial production may overstate, in some cases 26). It would therefore be pointless to attempt to
significantly, the growth in national income derived reconcile decTeasing costs with a scheme of perfect
from industry. competition 'through a theoretical interpretation of
external economieS, of dubious relevance to the
49. This error is the reverse of that committed by modem world' (,P. 27). If' one -aeeepts Di Tella 's
others, who (as we shall see later) focus upon the high argument. one should conclude that the two points on
point of the cycle and project it as a permanent state which the ECLA critique was based are basically one
of affairs. Both forget that the basic permanent and the same.
features which capitalism has shown are the cyclical
character of c:a.pit.al accumulation and the spontaneous 58. This is the case for example with steel, where
tendency towards the concentration of income and heavy investment is called for with no prospect of an
wealth, particularly when the state docs not take early return, where the productive process involved
measures to avoid this. and particuia.rly the c:rudal importanee of internal
economiel of scale, practically "1\SUte that the market
SO. See for example the works of Regis Debray, will be dominated if not monopoli%od by a single
1970. producer, and where the strategic role of the product
as an essential input for a \\oid.l'J range of industrial
51. See Kuhn, 1962, 1972. production makes it particula.rly important that a
producer should not exploit his monopoly or oli-
52. . Among the many analyses of the thought of . gopoly position; it was therefore considered an ideal
ECLA the best are Hirschman, 1961, 1967, and case for state invesunont.
Cardoso, 1977. ECLA itself has contributed a good
synthesis, in ECLA. 1969. 59. Among the structural obstacles to which atten-
tion was repeatedly drawn from the very beginnjng of
53. It is not coincident.al that Prebisch published a the ECLA analyses were archaic patterns of land
study of Keynes before he made his first contn'butions ownership, the low effective demand due to the low
to ECLA. For a short and systematic exposition of level of wages, and rigidities in the tax system which
Prebisch's maJn ideas see Bacha, 1974; for a full made it difficult to increase public revenues. See
bibliography, see Di Marco (ed.), 1972. ECLA. 1949, and Prebisch, 1950.
54. That is, instead. of initiating analy&is from a 60. One of the chamcterlstic elements.of the critique
perspective such as that of Hicks (1969, p. 160): 'if of ECLA policies regarding foreign capital is its
there were no nations ... the absorption of the whole Insistence that there is a tendency in Latin America to
human race into the ranks of the developed world a net outflow of capital (for empirical evidence on this
would be relatively simple', Keynesian analysis takes point see Caputo and Pizano, 1974, and Booth,
the existence of nations as the starting-point for 1975). ThU criticism is generally correct, but mis-
economic arudysis, not as an obstacle to it (Robinson, directed; for if the effect of fomign capital is analysed
1970; Knapp, 1973, etc.) For an interesting analysis of only from the paint of view of capital flow, and
the different perspectives of neo-classical, Keynesian supposing that au its profits are repatriated, the point
and Marxist economics, see Bunt-Brown, 1974. is an obvious one. For the net flow of capital to be
into Latin America, the rate of growth of foreign
55. See Hecksher, 1919; Ohlin, 1933; and Samuel- investment would have to be not simply geometric,
son, 1939. For a full account of the theorr see but hypergeometric (see Palma, forthcoming). The
Bhagwati, 1969. essential problem is to analyse the effect of foreign
capital from a perspective which looks beyond cattital
56. A tradition inaugurated by Marshall. 1890, and flows and also as.ks why foreign capital tends to
916 WORLD DEVELOl>MENT
repatriate profits, and not to reinvest them. For a dence has been followed by a process of strong
revealing analysis of this point, see Griffin, 1974. economic and social 'dependence' (Amin, 1972;
Fanon, 1967; Jorgenson, 1975; Okumu, 1971); and
61. In other words, if the Cuban revolution provided how these relationships of dependence have developed
the baais for the adoption by other sectors of the left in an inctcaalngly complex franuiwork (Bretton, 1973;
of the analysis which called for an immediate traiW- Rothchild and Curry, 1975; Selwyn 1975 b and c);
tion to socialism. it was the 'bleak panorama of and considerable attention has been given to the
capitalist development' in the early 1960s which particular role that the ruiw ruling classes have played
rmany brought them into that camp. in it (Cronjc, Ling and Cronje, 1976; Green, 1970;
Markovitz, 1977; Shaw, 1975; Shaw and Newbury,
62. For the discussion of stagnationist theses, see pp. 1977; Wallerstein, 1973 and 1975; and Zartman,
37-41; for that regarding 'distorted' development, pp. 1976).
42-49. The possibilities of a capitalist development for the
African countries are analysed from all points of view
63. And thus lacking what wu perhaps the most (Amin, 1973; David.son, 1974; Fa.non, 1970 a and b;
important element of the creative and original aspects Nyeroie, 1973; Wallerstein, 1973 and 1974b); and
of the iust ECLA analyses. special empha.llis has been placed on the problem
involved in the elaboration of alternative development
64. In the meantime, furthmnore, ECLA as an strategies (Falk, 1972; Green, 1975; Ghai, 1972 and
institution continued to produce weightY reports, of 1973; Huntington and Nelson, 1976; Rood, 1975;
which the most outstanding is that of 1965. Schumacher. 1975; Seidman, 1972; Selwyn, 1975a;
Thomu, 1974, 1975 and 1976; Vernon, 1976; Waller-
6 5. For a collection and discussion of a.rticles con- stein 1971and1974b). Finally, for analysis of specific
cerning the different aspects of the government of the African countries, see Callaway, 1975; Cliffe and Saul
Unidad Popular, see Palma (ed.). 1973. (eds.), 1972; Godfrey and Langdon, 1976; Green,
1976; Grundy, 1976; Johns, 1971 and 1975; Mc
66. For a good collection of Cramsci's work (the Henry, 1976; Pratt, 1975; Rweyemanu, 1973; Sand-
most original contn'bution to Ma.."Xist thought since brook, 1975; Saul, 1973; Seidman, 1974; and Shaw,
Lenin), see Gramsci, 1971. 1976.-
67. For attempts to up-date the theory of imperia 72. It is not surprising therefore that the most
I.ism, see Rhodes (ed.), 1970; Owen and Sutcliffe penetrating analyses of Brazilian economic develop-
(eds.), 1972; Barrat-Brown, 1974; and Radice (ed.), ment are found in dependency analyses a.llcady cited,
1975. or in those which place the post-1967 boom in its
historical context. For example, Bacha (1977) shows
68. For empirical evidence on this point see how the aggregate Brazilian economic growth from
O'Connor, 1970; Bodenheimer, 1970; Quijano, 1971; 1968 to 1974 is not a 'miracle', but conforms i:ather
Fajnzylber, 197l;Cardoso, 1972;BarratBrown, 1974; closely to the cycLical growth pattern of the Brazilian
and Warren, 1973. economy in the post-war period.
69. This does not mean, as Warren (1973) seems to 73. In this context we might recall a comment
argue, that it became possible throughout the peri- quoted by Sanyaja Lall in a 1976 essay. The comment,
phery. from a World &nk/lDS stUdy, is a poignant admission
of the fate of many 'fairytale' development strategies:
70. Cardoso has always stressed that the funda 'There are a number of regimes for which the strategy
mental issue {at a logical. level) ls above all theoreti- proposed in this volume is "out of court". Some are
cal-methodological (See Cardoso, 1974, 1976b, 1977 dominated by entrenched elites who will relinquish
(with Faletto)). nothing to the underprivileged except under duress of
armed force. Others have attacked succ:essfully the
71. For other surveys of dependency literature, see cause of povcny by means far more direct and radical
Chilcote, 1974 and O'Brien, 1975. For a survey of the than those 'i:Uscusscd here. Yet that still leaves a
literature relating to the Caribbean, sec Girvan. 1973. considerable range of societies for which the strategy
I have not attempted in this essay to integrate the is at least plausi'ble, even though in some of them the
growing literature related to Africa. For a recent likelihood that it will be adopted with any vigour is
survey article on this subject, see Shaw and Grieve, remote' (quoted in Lall, 1976, p. 192).
1977; see also Hanis, 1975. I would just like to
mention that from the point of view of the subject 74. See Cardoso, 1976b, p. 15.
covered, this litemture has placed particular emphasis
on the analysis of the way in which political indepen 75. See Feuerbach Theees, No. 11, in Marx, 1845.
DEPENDENCY: FOR.MAL THEORY OR METHODOLOGY 917
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