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'''Social capital''' is an interdisciplinary [[social science]] concept that has been used to bring together aspects of social conduct, such as trust and cooperation, that may be expected to contribute to the well-being of a community. There have been attempts to quantify its influence upon community achievements, but there is no agreement concerning the weights that should be assigned to its components, and there have been reservations about the validity of any attempt to aggregate them.
'''Social capital''' is an interdisciplinary [[social science]] concept that brings together aspects of social behavior, such as [[trust]] and [[cooperation]], [[relationships]], [[networks]] and social [[solidarity]] that may be expected to contribute to the well-being of a community. In the past decade, sociologists, economists, political scientists, [[economic development|economic]] and [[community development|community developers]] and assorted other [[applied social science|applied social scientists]] working with [[nonprofit organization|nonprofit]] and [[nongovernmental organization]]s as well as [[government|governmental]] bodies, financial institutions, like the [[World Bank]] and others, have sought to harness what they see as a very powerful idea.
 
To date, the results of those efforts are unclear. Authors in non-economic disciplines have generally limited their efforts to linking variables like trust and networks of social ties to social or political outcomes, while many economists remain skeptical of the qualitative nature of the activity. There have been attempts to quantify the influence of social capital upon community achievements, but there is no agreement concerning how to measure the economic contributions of dimensions like trust or the strength of social ties, or the weight that should be assigned to these components, and there have been reservations about the validity of any attempt to aggregate them.


==Definition and implications==
==Definition and implications==


Though it was invoked by several political economists during the late nineteenth century and used in passing by [[John Dewey]] in 1900, the term "social capital" was first used extensively by [[L.J. (Lyda Judson) Hanifan|L.J. Hanifan]] in his 1916 and 1920 studies of the rural community center.<ref>Hanifan, L. J. (1916) "The rural school community center," ''Annals of the American Academy of Political and Social Science'' 67: 130-138; Hanifan, L. J. (1920)''The Community Center''. Boston: Silver, Burdett. On the significance of the concept's usage pre-Hanifan, see James Farr, "Social Capital: A Conceptual History," ''Political Theory'' 32:1 (2004) pp. 6-22.</ref> In the latter, he defined social capital as "that in life which tends to make ... tangible substances count for most in the daily lives of a people; namely, good will, fellowship, sympathy, and social intercourse among the individuals and families who make up a social unit."<ref>Hanifan (1920) p. 78.</ref> He further proposed that, just as financial capital must be amassed before a construction project can commence, social capital must be accummulated in order for meaningful community building to take place.<ref>''Ibid''.</ref>
Though it was invoked by several political economists during the late nineteenth century and used in passing by [[John Dewey]] in 1900, the term "social capital" was first used extensively by [[L.J. (Lyda Judson) Hanifan|L.J. Hanifan]] in his 1916 and 1920 studies of the rural community center.<ref>Hanifan, L. J. (1916) "The Rural School Community Center," ''Annals of the American Academy of Political and Social Science'' 67: 130-138; Hanifan, L. J. (1920)''The Community Center''. Boston: Silver, Burdett. On the significance of the concept's usage pre-Hanifan, see James Farr, "Social Capital: A Conceptual History," ''Political Theory'' 32:1 (2004) pp. 6-22.</ref> In the latter, he defined social capital as "that in life which tends to make ... tangible substances count for most in the daily lives of a people; namely, good will, fellowship, sympathy, and social intercourse among the individuals and families who make up a social unit." He further proposed that, just as financial capital must be amassed before a construction project can commence, social capital must be accummulated in order for meaningful community building to take place.<ref>Hanifan (1920) p. 78.</ref>
{{Image|Putnam Map.png|right|500px|Estimated state by state distribution of U.S. social capital, Robert Putnam, Bowling Alone, (2000), p. 293}}


Hanifan's contribution went unrecognized for many years and, as [[Robert Putnam]] notes, the concept of "social capital" was subsequently "independently invented" at least five more times.<ref>Robert D. Putnam, ''Bowling Alone: The Collapse and Revival of American Community'' (New York: Simon and Schuster, 2001) p. 19.</ref> In ''Foundations of Social Theory'', for example, the sociologist James Coleman credits the term to Glenn Loury, an economist who in 1977 defined social capital as a set of designated intangible resources in families and communities that help to promote the social development of young people.<ref>James S. Coleman. 1990. ''Foundations of Social Theory''. Cambridge, MA: Harvard University Press, p. 300; see also Loury, Glenn C. 1977. "A Dynamic Theory of Racial Income Differences", In ''Women Minorities and Employment Discrimination'', ed P.A. Wallace. Lexington MA. Health</ref> Loury himself has attributed it to [[Jane Jacobs]], an urban planner who used the term metaphorically in her 1961 book, ''The Death and Life of Great American Cities''.<ref>Glen C. Loury, "The Neumann Lecture," presented at Rajk László College, Corvinus University of Economic Science and Public Administration, Budapest, Hungary, September 30. 3005; full text available at [http://www.econ.brown.edu/fac/Glenn_Loury/louryhomepage/Loury's%20Budapest%20talk.pdf]. See also Jane Jacobs (1961) ''The Death and Life of Great American Cities''. New York: Vintage, p. 138.</ref>
Hanifan's contribution went unrecognized for many years and, as [[Robert Putnam]] notes, the concept of "social capital" was subsequently "independently invented" at least five more times.<ref>Robert D. Putnam, ''Bowling Alone: The Collapse and Revival of American Community'' (New York: Simon and Schuster, 2001), 19.</ref> In ''Foundations of Social Theory'', for example, sociologist James Coleman credits the term to Glenn Loury, an economist who in 1977 defined social capital as a set of designated intangible resources in families and communities that help to promote the social development of young people.<ref>James S. Coleman, ''Foundations of Social Theory'' (Cambridge, MA: Harvard University Press, 1990), 300; see also Glenn C. Loury, "A Dynamic Theory of Racial Income Differences", in ''Women Minorities and Employment Discrimination'', ed. P. A. Wallace (Lexington, MA: Health, 1977).</ref> Loury himself has attributed it to [[Jane Jacobs]], an urban planner who used the term metaphorically in her 1961 book, ''The Death and Life of Great American Cities''.<ref>Glen C. Loury, "[http://www.econ.brown.edu/fac/Glenn_Loury/louryhomepage/Loury's%20Budapest%20talk.pdf The Neumann Lecture]," presented at Rajk László College, Corvinus University of Economic Science and Public Administration, Budapest, Hungary, September 30. 3005. See also Jane Jacobs, ''The Death and Life of Great American Cities'' (New York: Vintage, 1961), 138.</ref>


There are many definitions of social capital in social and political science. One widely accepted version defines it as an “investment in social relations with expected returns in the marketplace.”<ref>Nan Lin: ''Social Capital; A Theory of Social Structure and Action''. Cambridge, Cambridge University Press, 2001.</ref> This definition is consistent with  interpretations by  Pierre Bourdieu, Nan Lin, James Coleman, Hendrik Flap, Ronald Burt, Robert Putnam, Jenny Onyx, Bonnie Erickson and others; nevertheless, it may seem a too narrow individualistic reading and remains a matter of controversy, as noted in the concluding section of this article. The sociologist Pierre Bourdieu defined the concept as “the aggregate of the actual or potential resources which are linked to possession of a durable network of more or less institutionalized relationships of mutual acquaintance or recognition” <ref>Pierre Bourdieu and Loic Wacquant: 1992. ''An Invitation to Reflexive Sociology'', Chicago, University of Chicago Press 1992. </ref>. He pointed out that “Social capital is the sum of the resources, actual and virtual, that accrue to an individual or a group by virtue of possessing a durable network of more or less institutionalized relationships of mutual acquaintances and recognition.”<ref>Pierre Bourdieu, "The forms of Capital" in ''Handbook of Theory and Research for the Sociology of Education'', ed. JG Richardson. New York, Greenwood 1985.</ref> [[Francis Fukuyama]] defined it as "a capability that arises from the prevalence of trust in a society." <ref>Francis Fukuyama: ''Trust: The Social Virtues of the Creation of Prosperity''. Free Press Paperbacks Simon and Schuster, 1996, p. 26.</ref> James Coleman defined social capital “as a variety of entities with two elements in common: They all consist of some aspect of social structure, and they facilitate certain action of actors-whether persons or corporate actors-within the structure.”<ref>James Coleman: "Social Capital in the Creation of Human Capital", ''American Journal of Sociology''. 94:S95-121 1988.</ref> To be capital a social structure must serve a function for individuals engaged in an activity. The actors exercise control over the resources in which they have an interest and at least partial control of others involved. Social relations are important to facilitating this action by the actors. [[The Social Capital Foundation]]'s approach to "social capital" is distinct from other, more socio-economic approaches in which the term "capital" approaches some of its conventional economic meanings.
There are many definitions of social capital in social and political science. One widely accepted version defines it as an “investment in social relations with expected returns in the marketplace.”<ref>Nan Lin, ''Social Capital: A Theory of Social Structure and Action'' (Cambridge, Cambridge University Press, 2001), <PAGES???>.</ref> This definition is consistent with  interpretations by  Pierre Bourdieu, Nan Lin, James Coleman, Hendrik Flap, Ronald Burt, Robert Putnam, Jenny Onyx, Bonnie Erickson and others; nevertheless, it may seem a too narrow individualistic reading and remains a matter of controversy, as noted in the concluding section of this article. The sociologist Pierre Bourdieu defined the concept as “the aggregate of the actual or potential resources which are linked to possession of a durable network of more or less institutionalized relationships of mutual acquaintance or recognition” <ref>Pierre Bourdieu and Loic Wacquant, ''An Invitation to Reflexive Sociology'' (Chicago: University of Chicago Press, 1992). </ref>. He pointed out that “Social capital is the sum of the resources, actual and virtual, that accrue to an individual or a group by virtue of possessing a durable network of more or less institutionalized relationships of mutual acquaintances and recognition.”<ref>Pierre Bourdieu, "The Forms of Capital" in ''Handbook of Theory and Research for the Sociology of Education'', ed. J. G. Richardson (New York: Greenwood, 1985).</ref> Francis Fukuyama defined it as "a capability that arises from the prevalence of trust in a society." <ref>Francis Fukuyama, ''Trust: The Social Virtues of the Creation of Prosperity'' (New York: Simon and Schuster; Free Press Paperbacks, 1996), 26.</ref> James Coleman defined social capital “as a variety of entities with two elements in common: They all consist of some aspect of social structure, and they facilitate certain action of actors-whether persons or corporate actors-within the structure.”<ref>James Coleman, "Social Capital in the Creation of Human Capital," ''American Journal of Sociology'' 94 (1988), S95-S121.</ref> To be capital a social structure must serve a function for individuals engaged in an activity. The actors exercise control over the resources in which they have an interest and at least partial control of others involved. Social relations are important to facilitating this action by the actors.  
The Social Capital Foundation (TSCF) promotes social capital defined as a set of mental dispositions and attitudes favoring cooperative behaviors within society.  World Bank researchers draw a distinction between  micro- and macro- levels of social capital, and between "structural social capital" - which facilitates information sharing, and collective action and decision making through established roles, social networks and other social structures supplemented by rules, procedures, and precedents - , and "cognitive social capital"  - which refers to shared norms, values, trust, attitudes, and beliefs<ref>[http://siteresources.worldbank.org/INTSOCIALCAPITAL/Resources/Social-Capital-Initiative-Working-Paper-Series/SCI-WPS-24.pdf Christiaan Grootaert and Thiery van Bastelaer: ''Understanding and Measuring Social Capital; A Synthesis of Findings and Recommendations From the Social Capital Initiative'', World Bank, 2001]</ref>.


[[The Social Capital Foundation]]'s (TSCF) approach to "social capital" is distinct from other, more socio-economic approaches in which the term "capital" approaches some of its conventional economic meanings. The Foundation promotes social capital defined as a set of mental dispositions and attitudes favoring cooperative behaviors within society.  World Bank researchers draw a distinction between  micro- and macro- levels of social capital, and between "structural social capital" - which facilitates information sharing, and collective action and decision making through established roles, social networks and other social structures supplemented by rules, procedures, and precedents - , and "cognitive social capital"  - which refers to shared norms, values, trust, attitudes, and beliefs<ref>[http://siteresources.worldbank.org/INTSOCIALCAPITAL/Resources/Social-Capital-Initiative-Working-Paper-Series/SCI-WPS-24.pdf Christiaan Grootaert and Thiery van Bastelaer, ''Understanding and Measuring Social Capital: A Synthesis of Findings and Recommendations From the Social Capital Initiative'', World Bank, 2001]</ref>.


The concept of social capital can be related to similar concepts of [[civil society]] that are drawn from the works of [[James Madison]] (in The [[Federalist Papers]]), [[Alexis de Tocqueville]] (in [[Democracy in America]]) and  [[John Stuart Mill]] (in [[On Liberty]]).
The concept of social capital can be related to similar characteristics of [[civil society]] that are drawn from the works of [[James Madison]] (in The [[Federalist Papers]]), [[Alexis de Tocqueville]] (in [[Democracy in America]]) and  [[John Stuart Mill]] (in [[On Liberty]]).


==The creation of social capital==
==The creation of social capital==
The creation of social capital has been analysed as a  personal investment  and as a community investment. As a personal investment it has been taken to  include social skills, charisma, and a networks of contacts, all of which can be used as a personal means of obtaining an economic return from interactions with others. A study combining  empirical evidence with the predictions of an  economic model of the personal investment decision<ref>[http://www.res.org.uk/economic/freearticles/nov2_02.pdf Edward Glaeser, David Laibson and Bruce Sacerdotum: "An Economic Approach to Social Capital", ''The Economic Journal'' November 2002]</ref>  has indicated, among other findings,  that higher levels of investment are made by people who also invest in other aspects of [[human capital]]. As a community investment, it has been suggested that it is created  by the process termed [[Emergence (biology)|emergence]] by which a [[complex interactive system]]<ref> defined at [http://en.citizendium.org/wiki/Complex_interactive_system/Definition]</ref>  can transform itself from chaos to order. The initial position is taken to be similar to the "state of nature" envisaged by [[Thomas Hobbes]] in which there is a constant "war of all against all". That condition is taken to be analogous to the [[prisoner's dilemma]] parable <ref> defined at [http://en.citizendium.org/wiki/Prisoner%27s_dilemma/Definition]</ref> of [[game theory]], in which both participants suffer unnecessarily because neither trusts the other. Computer simulations have demonstrated that when the two protagonists  interact repeatedly they can develop a mutually beneficial [[evolutionary stable strategy]] that once is established is likely to persist<ref> Robert Axelrod:''The Evolution of Cooperation'', Basic Books, 1984 </ref>. Case studies and experiments with human participants<ref>[http://www.neuroeconomics.net/pdf/materials/434.pdf Joyce Berg, John Dickhaut and Kevin McCabe ''Trust, Recprocity and Social History'', Games and Economic Behaviour 10, 1995]</ref>  
The creation of social capital has been analyzed both as a  personal investment  and as a community investment. As a personal investment it has been taken to  include social skills, charisma, and networks of contacts, all of which can be used as personal means of obtaining an economic return through interactions with others. A study combining  empirical evidence with the predictions of an  economic model of the personal investment decision<ref>Edward Glaeser, David Laibson, and Bruce Sacerdotum, "[http://www.res.org.uk/economic/freearticles/nov2_02.pdf An Economic Approach to Social Capital]," ''The Economic Journal'' November 2002.</ref>  has indicated, among other findings,  that higher levels of investment are made by people who also invest in other aspects of [[human capital]]. As a community investment, it has been suggested that social capital is created  by the process termed [[Emergence (biology)|emergence]] by which a [[complex interactive system]] can transform itself from chaos to order. The initial position is taken to be similar to the "state of nature" envisaged by [[Thomas Hobbes]] in which there is a constant "war of all against all". That condition is taken to be analogous to the [[prisoner's dilemma]] parable of [[game theory]], in which both participants suffer unnecessarily because neither trusts the other. Computer simulations have demonstrated that when the two protagonists  interact repeatedly they can develop a mutually beneficial [[evolutionary stable strategy]] that once is established is likely to persist.<ref>Robert Axelrod, ''The Evolution of Cooperation'' ( Basic Books, 1984).</ref> Case studies and experiments with human participants<ref>Joyce Berg, John Dickhaut, and Kevin McCabe, "[http://www.neuroeconomics.net/pdf/materials/434.pdf Trust, Reciprocity, and Social History]," ''Games and Economic Behaviour'' 10 (1995).</ref>  
show that mutually beneficial strategies involving trust do emerge spontaneously and that when they do, their stability often  tends to be promoted by an urge to punish [[default|defectors]].
show that mutually beneficial strategies involving trust do emerge spontaneously and that when they do, their stability often  tends to be promoted by an urge to punish [[default|defectors]].


Social capital can then emerge in the form of expectations that others will reciprocate in response to co-operative initiatives; and it can spread through the community as more and more people  become aware of the advantages of cooperation, and  Charles Darwin has suggested that it could be transmitted
Social capital can then emerge in the form of expectations that others will reciprocate in response to co-operative initiatives; and it can spread through the community as more and more people  become aware of the advantages of cooperation, and  Charles Darwin has suggested that it could be transmitted further by natural selection:
further by natural selection:
:"A tribe including many members who, from possessing in a high degree the spirit of patriotism, fidelity, obedience, courage,and sympathy, were always ready to aid one another, and to sacrifice themselves for the common good, would be victorious over most other tribes; and this would be natural selection''<ref>[[Charles Darwin]], ''[http://www.gutenberg.org/cache/epub/2300/pg2300.html The Ascent of Man]'', Chapter V, (first published 1874).</ref>
:"A tribe including many members who, from possessing in a high degree the spirit of patriotism, fidelity, obedience, courage,and sympathy, were always ready to aid one another, and to sacrifice themselves for the common good, would be victorious over most other tribes; and this would be natural selection''<ref>[http://www.gutenberg.org/cache/epub/2300/pg2300.html Charles Darwin: ''The Ascent of Man'', Chapter V, (first published 1874) Project Gutenberg]</ref>


==The components  of social capital==
==The components  of social capital==


===Organizational  components ===
===Organizational  components ===
Although they are interrelated, it is customary to distinguish the influence of a [[community]]'s [[social organization]] on the [[social act|social acts]] of its members from its influence on their individual attitudes. A community's social capital is generally considered to be determined as much by the collective traditions, beliefs and value systems that are part of its [[culture]], as by the [[cognition|cognitive]] characteristics and perceptions of its members. Similarly, the collectively-determined rules embodied in a community’s institutions, are considered to be as necessary to the development of social capital as the impulses and constraints created by the psychological drives that are experienced by its members. The institutions that are held to be capable of  contributing to social capital range from the state apparatus of law-making and enforcement, to the patterns of mutual obligation that are created by interpersonal networks. Interpersonal networks have been categorized by applying the terms "bonding", "bridging" and "linking" to, respectively, networks of family and  friends; networks of colleagues and associates; and networks that connect different networks.
It is customary to distinguish the influence of a [[community]]'s [[social organization]] on the [[social act|social acts]] of its members from its influence on their individual [[attitude]]s, although they are interrelated. A community's or [[organization]]'s social capital is generally considered to be determined as much by the traditions, beliefs and value systems that are part of its [[culture]], as by the [[cognition|cognitive]] characteristics and perceptions of its members. Similarly, the collectively-determined rules embodied in institutions, are considered to be as necessary to the development of social capital as the impulses and constraints created by the psychological drives that are experienced by its members. The institutions that are held to be capable of  contributing to social capital range from the [[state]] apparatus of [[legislation|law-making]] and [[law enforcement|enforcement]], to the patterns of mutual obligation that are created by interpersonal networks. Interpersonal networks have been categorized by applying the terms "bonding", "bridging" and "linking" to, respectively, networks of family and  friends; networks of colleagues and associates; and networks that connect different networks.


=== Cognitive  components ===
=== Cognitive  components ===
Social influences are considered to provide the principal components of people's social attitudes.  Trust, for example, is considered to be influenced mainly by the social institutions that have been referred to. However, there is evidence to suggest that a significant component may also come from the innate or “hard-wired” characteristics of the human brain.  [[Neuroeconomics]] experiments <ref>[http://www.neuroeconomicstudies.org/pdf/ZakNeuroeconomicspublished.pdf Paul Zak: ''Neuroeconomics'' The Royal Society “6th November 2004]</ref>   have revealed an association between the possession of a particular hormone and a propensity to trust others <ref>[http://www.neuroeconomicstudies.org/pdf/ZAK%20Trust%20chapter%20FINAL.pdf Paul Zak: ''The Neuroeconomics of Trust'' Loma Linda University Medical Center]</ref>.) Trust in the sense of believing most people to be trustworthy is referred to in the literature as "generalized trust" to distinguish it from trust in particular categories of people and trust concerning specific issues. Unsurprisingly, it has been found to be highest in communities where there are effective institutions that punish cheats; but it has also been found to be positively associated with education, civil liberties, and ease of communication (roads and telephones) and negatively associated with ethnic diversity and income inequality. Trust is generally held to be an essential component of social capital, as is willingness to conform to collectively-determined rules, but  other  cognitive characteristics have often been been included: notably the willingness to take actions that are for the exclusive benefit of others. Examples include charitable donations,  participation in voluntary collective activities, and many other forms of [[philanthropy]]. The exercise of such social attitudes has been held to be among the main characteristics of [[civil society]]. Beyond those essentials, however, attitudes that are generally conducive to social concord such as tolerance of unfamiliar customs, practices and beliefs  and a general preference for  negotiation over confrontation have sometimes been included.
Social influences are considered to provide the principal components of people's social attitudes.  Trust, for example, is considered to be influenced mainly by the social institutions that have been referred to. However, there is evidence to suggest that a significant component may also come from the innate or “hard-wired” characteristics of the human brain.  [[Neuroeconomics]] experiments <ref>Paul Zak, ''[http://www.neuroeconomicstudies.org/pdf/ZakNeuroeconomicspublished.pdf Neuroeconomics]'' The Royal Society, 6th November 2004.</ref> have revealed an association between the possession of a particular hormone and a propensity to trust others.)<ref>Paul Zak, ''[[http://www.neuroeconomicstudies.org/pdf/ZAK%20Trust%20chapter%20FINAL.pdf The Neuroeconomics of Trust]'' (Loma Linda University Medical Center).</ref> Trust in the sense of believing most people to be trustworthy is referred to in the literature as "generalized trust" to distinguish it from trust in particular categories of people and trust concerning specific issues. Unsurprisingly, it has been found to be highest in communities where there are effective institutions that punish cheats; but it has also been found to be positively associated with education, civil liberties, and ease of communication (roads and telephones) and negatively associated with ethnic diversity and income inequality. Trust is generally held to be an essential component of social capital, as is willingness to conform to collectively-determined rules, but  other  cognitive characteristics have often been been included: notably the willingness to take actions that are for the exclusive benefit of others. Examples include charitable donations,  participation in voluntary collective activities, and many other forms of [[philanthropy]]. The exercise of such social attitudes has been held to be among the main characteristics of [[civil society]]. Beyond those essentials, however, attitudes that are generally conducive to social concord such as tolerance of unfamiliar customs, practices and beliefs  and a general preference for  negotiation over confrontation have sometimes been included.


==Sociological Implications==
==Sociological Implications==


It has been  established by a variety of studies  that social capital  has a direct effect upon the well-being of members of a community in addition to the indirect effects that arise from its economic consequences
It has been  established by a variety of studies  that social capital  has a direct effect upon the well-being of members of a community in addition to the indirect effects that arise from its economic consequences.<ref>Studies of the social effects of social capital are surveyed in John Helliwell, "[http://www.csls.ca/repsp/1/03-helliwell.pdf Social Capital, the Economy and Well-Being]" in ''The Review of Economic Performance and Social Progress'' (2001), 43.</ref>  The connection between social capital and individual well-being has been used to explain the fact that, in many countries, and despite growing prosperity, subjectively–reported well being has not increased over the years&emsp;an observation that is often referred to as the “happiness paradox”.  The connection has been attributed to the psychological importance of interpersonal relationships<ref>Maurizio Pugno, ''[http://www.unitn.it/events/he/download/pugno.pdf The Happiness Paradox&emsp;A Formal Explanation from Psycho-economics]'', December 2004.</ref> and the decline in happiness in the United States has been related to measures of “relational social capital”<ref>Maurizio Pugno, et al, ''[http://www.hks.harvard.edu/saguaro/pdfs/BPP-didSKdeclinedecreasehappiness6-5-07draft.pdf Did the Decline in Social Capital Decrease American Happiness?'' May 2007.</ref>.
<ref>[http://www.csls.ca/repsp/1/03-helliwell.pdf Studies of the social  effects of social capital are surveyed in John Helliwell:  "Social Capital, the Economy and Well-Being" in ''The Review of Economic Performance and Social Progress'', 2001, page 43]</ref>. The connection between social capital and individual well-being has been used to explain the fact that, in many countries, and despite growing prosperity, subjectively – reported well being has not increased over the years an observation that is often referred to as the “happiness paradox”.  The connection has been attributed to the psychological importance of interpersonal relationships <ref>[http://www.unitn.it/events/he/download/pugno.pdf Maurizio Pugno: ''The Happiness Paradox A Formal Explanation from Psycho-economics'', December 2004]</ref> and the decline in happiness in the United States has been related to measures of “relational social capital”  
<ref>[http://www.hks.harvard.edu/saguaro/pdfs/BPP-didSKdeclinedecreasehappiness6-5-07draft.pdf Maurizio Pugno et al:  ''Did the Decline in Social Capital Decrease American Happiness?'' May 2007]</ref>.


Other  studies have examined social capital's effects upon health, longevity, suicide rates  and the incidence of crime. In a study sponsored by Britain’s National Health Service, low levels of survey-determined neighborhood attachment were found to be associated with higher risks of mental illness and marital breakdown
Other  studies have examined social capital's effects upon health, longevity, suicide rates  and the incidence of crime. In a study sponsored by Britain’s National Health Service, low levels of survey-determined neighborhood attachment were found to be associated with higher risks of mental illness and marital breakdown
<ref>[http://www.nice.org.uk/niceMedia/documents/socialcapital_issues.pdf David Pevalin : "Intra-household Differences in Neighbourhood Attachment and their Association with Health" Chapter 5 of - Antony Morgan and Catherine Swann (eds): ''Social Capital for Health: Issues of Definition, Measurement and Links to Health'', Health Development Agency , National Health Service, March 2004]</ref>.  A study of  crime among homeless youths in Toronto and Vancouver  established strong associations with social capital<ref>[http://www.questia.com/googleScholar.qst;jsessionid=L0MJxBmKpBDNtV02wvLydhJfPShw0dTVz7bJ4hG6p2HXYNh9k8Q6!1454331138?docId=5001287707 John Hagan and Bill McCarthy: ''Mean Streets: Youth Crime and Homelessness''. Cambridge University Press. 1998]</ref>. However,   it was found from a cross-country study sponsored by the World Bank that the only component of social capital that was   negatively associated with the incidence of murder,  was trust among community members  
<ref>David Pevalin, "[http://www.nice.org.uk/niceMedia/documents/socialcapital_issues.pdf Intra-household Differences in Neighbourhood Attachment and their Association with Health]," Chapter 5 of ''Social Capital for Health: Issues of Definition, Measurement and Links to Health'', ed. Antony Morgan and Catherine Swann (Health Development Agency, National Health Service, March 2004).</ref>.  A study of  crime among homeless youths in Toronto and Vancouver  established strong associations with social capital<ref>John Hagan and Bill McCarthy, ''[http://www.questia.com/googleScholar.qst;jsessionid=L0MJxBmKpBDNtV02wvLydhJfPShw0dTVz7bJ4hG6p2HXYNh9k8Q6!1454331138?docId=5001287707 Mean Streets: Youth Crime and Homelessness]'' (Cambridge University Press, 1998).</ref>. However, it was found from a cross-country study sponsored by the World Bank that the only component of social capital that was negatively associated with the incidence of murder,  was trust among community members  
<ref>[http://wbln0018.worldbank.org/LAC/LACInfoClient.nsf/1daa46103229123885256831005ce0eb/3330305cf82403ec85256c3600533526/$FILE/Socialk10.pdf Daniel Lederman, Norman Loayza  and Ana Menendez: ''Violent Crime: Does Social Capital Matter?''. World Bank, July 2000]</ref>.
<ref>Daniel Lederman, Norman Loayza, and Ana Menendez, ''[http://wbln0018.worldbank.org/LAC/LACInfoClient.nsf/1daa46103229123885256831005ce0eb/3330305cf82403ec85256c3600533526/$FILE/Socialk10.pdf Violent Crime: Does Social Capital Matter?]'' (World Bank, July 2000).</ref>.


However, Portes and Landolt have questioned the assumption that social capital is necessarily
However, Portes and Landolt have questioned the assumption that social capital is necessarily
beneficial<ref name=P&L>[http://wbln0018.worldbank.org/PRM/PREMHome.nsf/788610011854ce9c852565e70067772a/d7fdcaa2fa367edd8525681500702e97?OpenDocument Alejandro Portes and  Patricia Landolt: "The Downside of Social Capital", ''The American Prospect'' May/June 1996]</ref>, - recalling Mancur Olson’s   suggestion that the principle motive for the formation of an association is [[rent-seeking]] <ref>Mancur Olson''The Logic of Collective Action: Public Goods and the Theory of Groups'', Harvard University Press, 1971</ref> - in other words, an attempt by a group to gain an advantage at the expense of the community. (The assumption that social capital necessarily benefits even those groups that acquire it is contrary to the evidence of the “[[Robbers Cave Experiment]]s”, which demonstrated that  close-knit groups tend to acquire dangerously mistaken perceptions concerning their members and  others   
beneficial<ref name=P&L>Alejandro Portes and Patricia Landolt, "[http://wbln0018.worldbank.org/PRM/PREMHome.nsf/788610011854ce9c852565e70067772a/d7fdcaa2fa367edd8525681500702e97?OpenDocument The Downside of Social Capital]," ''The American Prospect'', May/June 1996.</ref>,&emsp;recalling Mancur Olson’s suggestion that the principle motive for the formation of an association is [[rent-seeking]]<ref>Mancur Olson, ''The Logic of Collective Action: Public Goods and the Theory of Groups'' (Harvard University Press, 1971).</ref>&emsp;in other words, an attempt by a group to gain an advantage at the expense of the community. (The assumption that social capital necessarily benefits even those groups that acquire it is contrary to the evidence of the “[[Robbers Cave Experiment]]s”, which demonstrated that  close-knit groups tend to acquire dangerously mistaken perceptions concerning their members and  others   
<ref name=sherif>[http://psychclassics.yorku.ca/Sherif/  Muzafer Sherif, O. J. Harvey, Jack White, William Hood and Carolyn Sherif''Intergroup Conflict and Cooperation: The Robbers Cave Experiments''Oklahoma University Book Exchange, 1961]</ref>.)
<ref name=sherif>Muzafer Sherif, O. J. Harvey, Jack White, William Hood and Carolyn Sherif, ''[http://psychclassics.yorku.ca/Sherif/ Intergroup Conflict and Cooperation: The Robbers Cave Experiments]'' (Oklahoma University Book Exchange, 1961).</ref>.)


==Economic implications==
==Economic implications==
Economists were writing about social capital before that term came into use. Writing in 1891, [[Alfred Marshall]] referred to economics as “a branch of biology, interpreted broadly”  and attributed differences between successful and unsuccessful economic activity to variations in "general enlightenment ... and habits of mutual trust", and in the willingness of people to “sacrifice themselves for the common wellbeing” <ref>[http://www.econlib.org/library/Marshall/marP.html. Alfred Marshall: "The Scope and Method of Economics" , Appendix C of ''Principles of Economics'', Macmillan 1964]</ref>. Similar statements have been attributed to [[Thorstein Veblen]], writing at about the same time. Some eighty years later the economist [[Kenneth Arrow]] remarked that much of the economic backwardness in the world could be explained as "lack of mutual confidence" <ref> Kenneth Arrow "Gifts and Exchanges" in ''Philosophy and Public Affairs'' Vol. 1, No. 4 1972 p 357</ref>. Until recently, however, social capital had been regarded as merely an [[exogenous]] factor that is necessary to a reasonable standard of economic efficiency in much the same way as a functioning monetary system; and little attention had been given to its creation or to its quantitative influence. The idea that collective action might be expected to promote economic performance had been specifically rejected in the writings of the economist Mancur Olson (whose views are summarised below under the heading ''objections and qualifications'')
Economists were writing about social capital before that term came into use. Writing in 1891, [[Alfred Marshall]] attributed differences between successful and unsuccessful economic activity to variations in "general enlightenment ... and habits of mutual trust", and in the willingness of people to “sacrifice themselves for the common wellbeing.”<ref>[[Alfred Marshall]], "[http://www.econlib.org/library/Marshall/marP.html The Scope and Method of Economics]," Appendix C of ''Principles of Economics'' (New York: Macmillan, 1964).</ref> Similar statements have been attributed to [[Thorstein Veblen]], writing at about the same time. Some eighty years later the economist [[Kenneth Arrow]] remarked that much of the economic backwardness in the world could be explained as "lack of mutual confidence."<ref>Kenneth Arrow, "Gifts and Exchanges," ''Philosophy and Public Affairs'' 1, no. 4 (1972), 357.</ref>. Until recently, however, social capital had been regarded as merely an [[exogenous]] factor that is necessary to a reasonable standard of economic efficiency in much the same way as a functioning monetary system; and little attention had been given to its creation or to its quantitative influence. The idea that [[collective action]] might be expected to promote [[economic performance]] had been specifically rejected in the writings of the economist [[Mancur Olson]] (whose views are summarised below under the heading ''objections and qualifications'')


Interest in the quantitative effects of social capital was stimulated by Robert Putnam’s 1993 study of  democracy in Italy, in which he attributed the  higher levels of [[Gross Domestic Product|GDP]] per capita in the North to previously higher levels of civic engagement, his measure of which gave weight to membership of voluntary organizations (which he referred to as "horizontal ties")  
Interest in the quantitative effects of social capital was stimulated by Robert Putnam’s 1993 study of  democracy in Italy, in which he attributed the  higher levels of [[Gross Domestic Product|GDP]] per capita in the North to previously higher levels of civic engagement, his measure of which gave weight to membership of voluntary organizations (which he referred to as "horizontal ties")  
<ref>[http://www.questia.com/read/108713745?title=Making%20Democracy%20Work%3a%20%20Civic%20Traditions%20in%20Modern%20Italy Robert Putnam: ''Making Democracy Work: Civic Traditions in Northern Italy'', Princeton University Press, 1993]</ref>; and later by his essay and best-selling book, "Bowling Alone" <ref> Robert Putnam ''Bowling Alone: The Collapse and Revival of American Community'' Simon and Schuster 2000)</ref>, in which he attached importance to the decline in membership of voluntary organizations in the United States, (of which he took the decline in membership of bowling clubs to be a typical example). Apparently prompted by Putnam's Italian study, several further examinations of the economic effects of various components of social capital have since been reported. A 1997 study using data collected by the [[World Bank]] for a sample of 29 market economies established a statistical association between economic performance and measures of trust and civic cooperation, but did not confirm Putnam's finding about the importance of horizontal ties<ref>[http://povlibrary.worldbank.org/library/view/6711/ Stephen Knack and Phillip Keever:  "Does Social Capital Have an Economic Payoff? A Cross-country Investigation", ''Quarterly Journal of Economics'', Vol. 112, No. 4 1997]</ref>. In a survey of economic growth studies by Robert Barro <ref>Robert Barro: ''Determinants of Economic Growth: A Cross-Country Empirical Study'', (Lionel Robbins LecturesMIT Press, 1997</ref> several components of social capital emerge as making significant contributions, notably education, the maintenance of law and the strength of [[Democracy|democratic]] institutions.
<ref>Robert Putnam, ''[http://www.questia.com/read/108713745?title=Making%20Democracy%20Work%3a%20%20Civic%20Traditions%20in%20Modern%20Italy Making Democracy Work: Civic Traditions in Northern Italy]'' (Princeton University Press, 1993).</ref>; and later by his essay and best-selling book, ''Bowling Alone'', in which he attached importance to the decline in membership of voluntary organizations in the United States, (of which he took the decline in membership of bowling clubs to be a typical example).<ref>Robert Putnam, ''Bowling Alone: The Collapse and Revival of American Community'' (New York: Simon and Schuster, 2000).</ref> Apparently prompted by Putnam's Italian study, several further examinations of the economic effects of various components of social capital have since been reported. A 1997 study using data collected by the [[World Bank]] for a sample of 29 market economies established a statistical association between economic performance and measures of trust and civic cooperation, but did not confirm Putnam's finding about the importance of horizontal ties.<ref>Stephen Knack and Phillip Keever, "[http://povlibrary.worldbank.org/library/view/6711/ Does Social Capital Have an Economic Payoff? A Cross-country Investigation]", ''Quarterly Journal of Economics'' 112, No. 4 (1997), .</ref>. In a survey of economic growth studies by Robert Barro several components of social capital emerge as making significant contributions, notably education, the maintenance of law and the strength of [[Democracy|democratic]] institutions.<ref>Robert Barro, ''Determinants of Economic Growth: A Cross-Country Empirical Study'', Lionel Robbins Lectures (Cambridge: MIT Press, 1997).</ref>


==Political implications==
==Political implications==
An early exponent of the political implications of social capital was the 19th century political historian [[Alexis de Tocqueville]]. After a visit to America he wrote with approval of the practice there of the "art of association":  
An early exponent of the political implications of social capital was the 19th century political historian [[Alexis de Tocqueville]]. After a visit to America he wrote with approval of the practice there of the "art of association":  
:"When the public govern, there is no man who does not feel the value of public goodwill or who does not endeavor to court it by drawing to himself the esteem and affection of those among whom he is to live.... Men learn at such times to think of their fellow men from ambitious motives; and they frequently find it, in a manner, their interest to forget themselves"<ref>[http://xroads.virginia.edu/~Hyper/DETOC/toc_indx.html Alexis de Tocqueville: ''Democracy in America'', ]</ref>.<br>
:"When the public govern, there is no man who does not feel the value of public goodwill or who does not endeavor to court it by drawing to himself the esteem and affection of those among whom he is to live.... Men learn at such times to think of their fellow men from ambitious motives; and they frequently find it, in a manner, their interest to forget themselves"<ref>Alexis de Tocqueville, ''[http://xroads.virginia.edu/~Hyper/DETOC/toc_indx.html Democracy in America]'', .</ref><br>
The subject has been extensively explored since then.
The subject has been extensively explored since then.
[[Robert Putnam]], writing in 1993 argued that the existence of social capital is necessary for the function of government  
[[Robert Putnam]], writing in 1993 argued that the existence of social capital is necessary for the function of government,<ref>Robert D Putnam, ''Making Democracy Work'' (Princeton: Princeton University Press, 1993.</ref> a claim that was later supported by Francis Fukuyama <ref>Francis Fukuyama, ''[http://papers.ssrn.com/sol3/papers.cfm?abstract_id=879582 Social Capital and Civil Society]'', IMF Workng Paper WP/00/74, April 2000.</ref>, and Carles Boix and Daniel Posner have set out the ways in which social capital can enhance government performance  by improving voter power, promoting rule compliance and increasing bureaucratic efficiency.<ref>Carles Bois and Daniel Posner, "[http://www.sscnet.ucla.edu/polisci/faculty/posner/pdfs/social_cap_explain.pdf Social Capital: Explaining Its Origins and Effects on Government Performance]," ''British Journal of Political Science'' 28 (1986).</ref>  Other writers have argued that Putnam's analysis fails to take account of the fact that social capital can be used to subvert government, and [[Mancur Olsen]] has even argued that [[interest group|organised pressure groups]] have had a damaging influence on government.<ref>Mancur Olson: ''The Rise and Decline of Nations'' (New Haven: Yale University Pres, 1982).</ref> [[Daniel Posner]] assigns two alternative roles to groups that are united by social capital: either to monitor government and hold it to account when its performance is unsatisfactory, or to act as a substitute for a failing government and so promote its downfall.<ref>Daniel Posner, "[http://www.sscnet.ucla.edu/polisci/faculty/posner/pdfs/civil_soc_recon.pdf Civil Society and the Reconstruction of Failed States]," in Robert Rotberg (ed.), "When States Fail: Causes and Consequences" (Princeton: Princeton University Press, 2004).</ref>  Others have argued that Putnam gives insufficient weight to the role of government as a sponsor of social capital. However, Bo Rothstein has pointed out that Government institutions come in many forms, and there is no reason to believe that all of them influence social capital in the same way or even in the same direction
<ref> Robert D Putnam: ''Making Democracy Work'', Princeton University Press, 1993</ref>, a claim that was later supported by [[Francis Fukuyama]] <ref>[http://papers.ssrn.com/sol3/papers.cfm?abstract_id=879582 Francis Fukuyama: ''Social Capital and Civil Society'', IMF Workng Paper WP/00/74, April 2000]</ref>, and Carles Boix and Daniel Posner have set out the ways in which social capital can enhance government performance  by improving voter power, promoting rule compliance and increasing bureaucratic efficiency<ref>[http://www.sscnet.ucla.edu/polisci/faculty/posner/pdfs/social_cap_explain.pdf Carles Bois and Daniel Posner: ''Social Capital: Explaining Its Origins and Effects on Government Performance'', British Journal of Political Science, 28, 1986]</ref>. Other writers have argued that Putnam's analysis fails to take account of the fact that social capital can be used to subvert government, and [[Mancur Olsen]] has even argued that [[interest group|organised pressure groups]] have had a damaging influence on government<ref>Mancur Olson: ''The Rise and Decline of Nations'', Yale University Pres, 1982</ref>. [[Daniel Posner]] assigns two alternative roles to groups that are united by social capital: either to monitor government and hold it to account when its performance is unsatisfactory, or to act as a substitute for a failing government and so promote its downfall<ref>[http://www.sscnet.ucla.edu/polisci/faculty/posner/pdfs/civil_soc_recon.pdf. Daniel Posner: ''Civil Society and the Reconstruction of Failed States'', in Robert Rotberg (ed) "When States Fail: Causes and Consequences", Princeton University Press, 2004]</ref>  Others have argued that Putnam gives insufficient weight to the role of government as a sponsor of social capital. However, Bo Rothstein has pointed out that Government institutions come in many forms, and there is no reason to believe that all of them influence social capital in the same way or even in the same direction
<ref>Bo Rothstein, "[http://www.colbud.hu/honesty-trust/Background.htm Social Capital and Quality of Government: The Causal Mechanism]," Paper presented at Collegium Budapest, Project on Honesty and Trust: Theory and Experience in the Light of Post-Socialist Experience Workshop 2: Formal and Informal Cooperation, November 22-23, 2002.</ref>
<ref>[http://www.colbud.hu/honesty-trust/Background.htm Bo Rothstein: ''Social Capital and Quality of Government:The Causal Mechanism", Paper presented at Collegium Budapest, Project on Honesty and Trust: Theory and Experience in the Light of Post-Socialist Experience Workshop 2: Formal and Informal Cooperation, November 22-23, 2002]</ref>
===Insurgency and counterinsurgency===
Even before a state failure, insurgency may flourish due to a lack of social capital, and [[counterinsurgency|counterinsurgents]] may need to rebuild it. Several studies have addressed it with respect to the [[Dinka]] and [[Nuer]] peoples of [[Sudan]], who have fought against one another and against the central government. E.E. Pritchard-Evans noted in 1940,<blockquote>There are three major forms of power in a society: coercive force, social capital, and authority. The power of coercion is the ability to compel a person through threat of harm or by use of physical force. ... Counterinsurgency forces must be aware of these groups, and understand the social role these coercive units play in the local political arena.
Social capital refers to the power of individuals and groups to utilize social networks of reciprocity and exchange to accomplish their goals...In many non-Western societies, patron-client relationships are an important form of social capital.  In a patronage system, an individual in a powerful position provides goods, services, security or other resources to followers in exchange for political support or loyalty, thereby amassing power. Counterinsurgency forces must identify, where possible, which groups and individuals have social capital and how they attract and maintain followers."<ref>{{citation
| url = http://smallwarsjournal.com/documents/coin-draft-excerpt.pdf
| title = The Nuer: A Description of the Modes of Livelihood and  Political Institutions of a Nilotic People
| publisher =  Clarendon Press | year=  1940
| author = E.E. Pritchard-Evans}}</ref> </blockquote> The Dinka and Nuer relationship was reexamined in 2010 by Luka Biong Deng, Minister of Presidential Affairs in the Government of South Sudan, who said that "exogenous" counterinsurgency increased social capital while "endogenous" counterinsurgency reduced it. <ref>{{citation
| url = http://afraf.oxfordjournals.org/cgi/content/abstract/109/435/231
| title = Social capital and civil war: The Dinka communities in Sudan’s civil war
| author = Luka Biong Deng 
| date = 11 February 2010
| journal = African Affairs | volume = 109 | issue = 43 | pages = 231-250 | doi = 10.1093/afraf/adq001 }}</ref>
 
Not all current insurgency is Islamic. South Asia is experiencing a resurgence of Maoist activity. <ref>{{citation
| title = Understanding Indian Insurgencies: Implications for Counterinsurgency Operations in the Third World
| date = February 2007
| author = Durga Madhab (John) Mitra
| url = http://www.strategicstudiesinstitute.army.mil/pdffiles/pub751.pdf
| publisher = Naval Postgraduate School}}</ref> Social capital is not only useful to the counterinsurgent, but helps the insurgents recruit &mdash; "trust based on social networks also plays a big role, because he or she risks everything, including life, by joining the insurgency." Sztompka explains how social capital—like social networks, family, friendship, and religion—helps in taking risk.<ref>Piotr Sztompka, ''Trust: A Sociological Theory'' ,Cambridge University Press, 1999, pp. 129-131, ''quoted by'' Mitra, p. 13</ref>
 
The principal U.S. Army and Marine Corps doctrinal manual on counterinsurgency echoes Pritchard-Evans' words above, <ref name = FM3-24>{{citation  | publisher = US Department of the Army 
|author = [[John Nagl]], [[David Petraeus]], [[James Amos]], [[Sarah Sewall]]
  | title = [[Field Manual 3-24:  Counterinsurgency]]
  | comment = While military manuals rarely show individual authors, generals [[David Petraeus]] (U.S. Army) and [[Jamese Amos]] (U.S. Marine Corps) are widely described as establishing many of this volume's concepts.
  | date = December 2006
  | url = http://www.fas.org/irp/doddir/army/fm3-24.pdf
  | accessdate = 2008-02-03}}, p. 3-10 </ref>
 
===Social capital and stability operations===
In U.S. doctrine, [[stability operations]] strengthen host nation governments, often with the intent of preventing insurgency by "establishing peace, democracy, and market economies in a secure, well-governed environment."  A research study at the U.S. Army War College discussed the role of social capital in stability operations:<blockquote>Social capital -- defined as an instantiated set of informal values or norms that permit cooperation between two or more individuals -- refers to community trust, norms, and networks that link justice, security and public safety, economic prosperity, governance, and social well-being to each other. A state’s levels of trust and reciprocity, the nature, extent, and types of its social networks, and the relationship and strength of those networks and institutions affect the ability of the USG to implement stability operations doctrine... social capital is the bridge between stability operations policy and implementation, a concept which – if considered – could prevent the failure of stability operations in weak, failed, or fragile states.<ref>{{citation
| url = http://www.dtic.mil/cgi-bin/GetTRDoc?Location=U2&doc=GetTRDoc.pdf&AD=ADA500576
| author = M. Annette Evans
| title =  Social Capital and Stability Operations
| publisher = U.S. Army War College
| date =  26 March 2008}}</ref></blockquote> Roger Myerson, of the [[University of Chicago]], described a "chicken and egg" problem between the U.S. [[Coalition Provisional Authority]] under [[L. Paul Bremer]], and Iraqi leaders including Grand Ayatollah [[Ali Sistani]]. Bremer insisted that a constitution was a necessary prerequisite for forming legitimate government, while Sistani believed that it was more essential that government be formed from popularly elected Iraqis. In the culture, however, Myerson suggests that to become a popular leader, a politician has to be able to dispense patronage. He echoed Pritchard-Evans' comment about Dinka leader patron-client relationships. <blockquote>When the fundamental problem is political, the most important benefit from a development project may be, not its investment in physical infrastructure, but its investment in social capital, if it augments the nation's scarce supply of leaders whom people can trust to manage public resources<ref>{{citation
| author = Roger Myerson
| title = A Field Manual for the Cradle of Civilization: Theory of Leadership and Lessons of Iraq
| journal = Journal of Conflict Resolution| volume = 53 | issue = 3 | year = 2009 | pages = 470-482}}</ref></blockquote>
===Connection to 'Failed States'===
There have been extensive studies of the relationship  between the existence (or lack)  of social capital and the emergence of failed states, including the work of the [[Harvard University]]'s Failed States Project and the [[World Bank]]'s Social Capital Initiative.


There have been extensive studies of the relationship  between the existence (or lack) of social capital and the emergence of [[failed state]]s, including the work of the [[Harvard University]]'s Failed States Project and the [[World Bank]]'s Social Capital Initiative.
In [[Somalia]], Robert Rotberg notes that, before the failure and collapse of the state its inhabitants had been well integrated with a cohesive cultural history, a common religion, and a common language.
<ref name=rotberg>Robert Rotberg, "The Failure of Nation States," in Robert Rotberg (ed), ''When States Fail'' (Princeton: Princeton University Press, 2004).</ref>. He attributes the destruction of social capital and consequent collapse of the state to the predatory behaviour of General [[Mohammed Siad Barre]], assisted by support from Russia and then the United States.<br>
In [[Rwanda]], Colletta and Cullen report that, historically, the communities involved in the Rwanda massacre had lived together in symbiotic harmony.<ref name=col>Nat Colletta and Michelle Cullen, "[http://siteresources.worldbank.org/INTSOCIALCAPITAL/Resources/Social-Capital-Initiative-Working-Paper-Series/SCI-WPS-23.pdf The Nexus Between Violent Conflict, Social Capital and Social Cohesion: Case Studies from Cambodia and Rwanda]," Social Capital Initiative Working Paper No. 23, The World Bank, September 2000.</ref>


In [[Somalia]],  Robert Rotberg notes that, before the failure and collapse of the state  its inhabitants had been well integrated with a cohesive cultural history, a common religion,  and a common language
In [[Cambodia]], Colletta and Cullen attribute the destruction of social capital by the [[Khmer Rouge]] to their systematic attacks on traditional culture, religion, organizations, and networks.<ref name=col />
<ref name=rotberg>Robert Rotberg: ''The Failure of Nation States'', in Robert Rotberg (ed), "When States Fail",  Princeton University Press ,2004</ref>. He  attributes the destruction of social capital  and  consequent collapse of the state to the predatory behaviour of General [[Mohammed Siad Barre]], assisted by support from Russia and then the United States.<br>
===Social capital and political geography===
In [[Rwanda]],  Colletta and Cullen report that, historically, the  communities involved in the Rwanda massacre had lived together in symbiotic harmony<ref name=col>[http://siteresources.worldbank.org/INTSOCIALCAPITAL/Resources/Social-Capital-Initiative-Working-Paper-Series/SCI-WPS-23.pdf  Nat Colletta and Michelle Cullen ''The Nexus Between Violent Conflict, Social Capital and Social Cohesion: Case Studies from Cambodia and Rwanda'', Social Capital Initiative Working Paper No. 23,The World Bank September 2000]</ref>.<br>
In Afghanistan and its neighbors, social capital is often strongest among ethnic groups such as the [[Pashtun people|Pashtun]], [[Tajik]]s, and [[Uzbek]]s, but the political geography of these groups does not correspond to national borders. In particular, the [[Durand Line]] dividing Afghanistan and Pakistan splits Pashtun groups and provides a base for cross-border conflict and hostility to both the Afghan and Pakistani central governments. In the early days of the [[Afghanistan War (1978-1992)]], the [[Taliban]] reconstituted social capital among largely Pashtun groups splintered by warlords, but then established its own alien control, also split among [[Taliban#Traditional taliban and Afghan leadership |Pashtun subgroups]]; prior to the war, the less militant traditional Taliban were something of an informal civil service.<br>
In [[Cambodia]], Colletta and Cullen attribute the destruction of social capital by the [[Khmer Rouge]] in [[Cambodia]] to their systematic attacks on traditional culture, religion, organizations, and networks<ref name=col />.<br>
In [[Afghanistan]] and its neighbors social capital is often strongest among ethnic groups such as the [[Pashtun people|Pashtun]], [[Tajik]]s, and [[Uzbek]]s, but the political geography of these groups does not correspond to national borders. In particular, the [[Durand Line]] dividing Afghanistan and [[Pakistan]] splits Pashtun groups and provides a base for cross-border conflict and hostility to both the Afghan and Pakistani central governments. In the early days of the [[Afghanistan War (1978-1992)]], the [[Taliban]] reconstituted social capital among largely Pashtun groups splintered by warlords, but then established its own alien control, also split among [[Taliban#Traditional taliban and Afghan leadership |Pashtun subgroups]]; prior to the war, the less militant traditional Taliban were something of an informal civil service.<br>
The [[Islamic Movement of Uzbekistan]] is strongest in the [[Ferghana Valley]] where the Uzbek, [[Kyrgyz]], and Tajik people each have social capital developed within their group, but not among one another.
The [[Islamic Movement of Uzbekistan]] is strongest in the [[Ferghana Valley]] where the Uzbek, [[Kyrgyz]], and Tajik people each have social capital developed within their group, but not among one another.


The results confirm the remarkable ambiguity of the relationship between the existence of social capital and the conduct and stability of the state. Although social capital can strengthen a state, its existence is no guarantee against weakness and failure.  The "Robbers Cave Experiments" had revealed its potentially dysfunctional aspect<ref name=sherif/>, and that aspect of social capital has  been instrumental in the failure of states. For example, the social capital that united the Rwandan Hutus is reported to have helped to persuade many of them that it was their civic duty to murder their neighbours, the Hutus. Conversely, other studies demonstrated that, although action by the state can foster the creation of social capital, it can alternatively be instrumental in its destruction. The importance of government performance in the restoration of social capital in failed states is brought out by Jennifer Widner's analysis of attitude surveys in three African countries<ref> Jennifer Widner: ''Building Effective Trust in the Aftermath of Severe Conflict'', in Robert Rotberg (ed), "When States Fail", Princeton University Press ,2004</ref>. Responses differed among the three countries and did not always conform to the Putnam thesis, but there was agreement about the importance of the trustworthiness of government, its delivery of public goods and the reduction of income inequalities.
The results confirm the remarkable ambiguity of the relationship between the existence of social capital and the conduct and stability of the state. Although social capital can strengthen a state, its existence is no guarantee against weakness and failure.  The "Robbers Cave Experiments" had revealed its potentially dysfunctional aspect<ref name=sherif/>, and that aspect of social capital has  been instrumental in the failure of states. For example, the social capital that united the Rwandan Hutus is reported to have helped to persuade many of them that it was their civic duty to murder their neighbours, the Hutus. Conversely, other studies demonstrated that, although action by the state can foster the creation of social capital, it can alternatively be instrumental in its destruction. The importance of government performance in the restoration of social capital in failed states is brought out by Jennifer Widner's analysis of attitude surveys in three African countries.<ref>Jennifer Widner, "Building Effective Trust in the Aftermath of Severe Conflict," in Robert Rotberg (ed), ''When States Fail'', (Princeton: Princeton University Press, 2004).</ref> Responses differed among the three countries and did not always conform to the Putnam thesis, but there was agreement about the importance of the trustworthiness of government, its delivery of public goods and the reduction of income inequalities.


The erosion of social capital usually precedes state failure and, although social capital does not figure explicitly in the various leading indicators that have been developed by the US Government's State Failures Task Force <ref>[http://www.cidcm.umd.edu/publications/papers/SFTF%20Phase%20III%20Report%20Final.pdf Jack A. Goldstone: "State Failure Task Force Report: Phase III Findings September 30, 2000]</ref>, the World Bank
The erosion of social capital usually precedes state failure and, although social capital does not figure explicitly in the various leading indicators that have been developed by the U.S. Government's State Failures Task Force<ref>Jack A. Goldstone, "[http://siteresources.worldbank.org/INTSOCIALCAPITAL/Resources/Social-Capital-Initiative-Working-Paper-Series/SCI-WPS-23.pdf State Failure Task Force Report]," Phase III: Findings, September 30, 2000.</ref>, the World Bank
<ref>[http://siteresources.worldbank.org/INTSOCIALCAPITAL/Resources/Social-Capital-Initiative-Working-Paper-Series/SCI-WPS-03.pdf Christiaan Grootaert: ''Social Capital: The Missing Link'' page 15, Social Capital Initiative Working Paper No. 3, World Bank, 1998]</ref> and others, indirect measures and estimates of its components figure in most of them. In the ''Failed State Index'', the [[Fund for Peace]] and [[Foreign Policy (magazine)|''Foreign Policy'']] define twelve indicators, the first four of which are explicitly social:<ref name=FSI>{{citation  
<ref>Christiaan Grootaert, "[http://siteresources.worldbank.org/INTSOCIALCAPITAL/Resources/Social-Capital-Initiative-Working-Paper-Series/SCI-WPS-03.pdf Social Capital: The Missing Link," Social Capital Initiative Working Paper No. 3 (World Bank, 1998), 15.</ref> and others, indirect measures and estimates of its components figure in most of them. In the "Failed State Index," the [[Fund for Peace]], and [[Foreign Policy (magazine)|''Foreign Policy'']] define twelve indicators, the first four of which are explicitly social:<ref name=FSI>{{citation  
  | url = http://www.fundforpeace.org/web/index.php?option=com_content&task=view&id=99&Itemid=140
  | url = http://www.fundforpeace.org/web/index.php?option=com_content&task=view&id=99&Itemid=140
  | title = Failed State Index 2009
  | title = Failed State Index 2009
Line 86: Line 125:


==Policy implications==
==Policy implications==
The economist Partha Dasgupta has argued that a personal investment in a reputation for trustworthiness  results in beneficial [[externality|externalities]]: that is to say benefits to others besides the person who makes the investment <ref>[http://www.econ.cam.ac.uk/faculty/dasgupta/soccap.pdf Partha Dasgupta:  "Social Capital and Economic Performance : Analytics" in Elinor Ostrom and TK Ahn (eds): ''Foundations of Social Capital, Critical Writings in Economic Institutions'', Edward Elgar 2003.]</ref>. It is a generally accepted  proposition of economic theory that [[market]]s tend to underprovide activities that generate beneficial externalities, and that it is to the benefit of the community for governments to make up the deficiency.  That proposition has been extended to suggest that [[welfare (economics)|economic welfare]] can be increased by government intervention in the provision of many of the components of social capital, and has led to a variety of policy studies. A range of policy proposals has been put forward by the   Saguaro Seminar in the United States
The economist Partha Dasgupta has argued that a personal investment in a reputation for trustworthiness  results in beneficial [[externality|externalities]]: that is to say benefits to others besides the person who makes the investment.<ref>Partha Dasgupta, "[http://www.econ.cam.ac.uk/faculty/dasgupta/soccap.pdf Social Capital and Economic Performance: Analytics]," in Elinor Ostrom and T. K. Ahn (eds), ''Foundations of Social Capital, Critical Writings in Economic Institutions'' (Edward Elgar, 2003).</ref>  It is a generally accepted  proposition of economic theory that [[market (economics)|market]]s tend to underprovide activities that generate beneficial externalities, and that it is to the benefit of the community for governments to make up the deficiency.  That proposition has been extended to suggest that [[welfare (economics)|economic welfare]] can be increased by government intervention in the provision of many of the components of social capital, and has led to a variety of policy studies. A range of policy proposals has been put forward by the Saguaro Seminar in the United States
<ref>[http://ec.europa.eu/employment_social/knowledge_society/docs/aldridge_b.pdf,  ''Social Capital a Discussion Paper'' Table 13 p56, UK Performance and Innovation Unit, April 2002]</ref>, and a research paper by Australia’s Productivity Commission lists some possible policy initiatives to promote social capital, some side-effects of existing policies, and some policies that already make use of the existing stock of social capital
<ref>"[http://ec.europa.eu/employment_social/knowledge_society/docs/aldridge_b.pdf Social Capital a Discussion Paper]," U.K. Performance and Innovation Unit, April 2002, Table 13, p. 56.</ref>, and a research paper by Australia’s Productivity Commission lists some possible policy initiatives to promote social capital, some side-effects of existing policies, and some policies that already make use of the existing stock of social capital.
<ref>[http://www.pc.gov.au/__data/assets/pdf_file/0018/8244/socialcapital.pdf ''Social Capital: Reviewing the Concept and its Policy Implications'', pages 55-66, Productivity Commission Research Paper, Commonwealth of Australia, 2003]</ref>. The World Bank has recently examined its own potential role, concluding that it needs to increase the extent to which it takes social
<ref>"[http://www.pc.gov.au/__data/assets/pdf_file/0018/8244/socialcapital.pdf Social Capital: Reviewing the Concept and its Policy Implications]," Commonwealth of Australia, Productivity Commission Research Paper, 2003, pages 55-66.</ref>. The World Bank has recently examined its own potential role, concluding that it needs to increase the extent to which it takes social
relationships and local and national networks and institutions into account in its project design and policy advice. Five areas were identified for action<ref>[http://siteresources.worldbank.org/INTSOCIALCAPITAL/Resources/Social-Capital-Initiative-Working-Paper-Series/SCI-WPS-03.pdf Christiaan Grootaert: ''Social Capital: The Missing Link'' page 19, Social Capital Initiative Working Paper No. 3, World Bank, 1998]</ref>. But, although potentially beneficial policies can be readily identified, the problem of quantifying the benefits of specific interventions, to enable them to be subjected to [[Cost-Benefit Analysis|cost/benefit assessments]], remains an obstacle to the  formulation of policies that can be expected to yield net benefits.
relationships and local and national networks and institutions into account in its project design and policy advice. Five areas were identified for action.<ref>Christiaan Grootaert, "[http://siteresources.worldbank.org/INTSOCIALCAPITAL/Resources/Social-Capital-Initiative-Working-Paper-Series/SCI-WPS-03.pdf Social Capital: The Missing Link]," Social Capital Initiative Working Paper No. 3, World Bank, 1998, page 19.</ref>. But, although potentially beneficial policies can be readily identified, the problem of quantifying the benefits of specific interventions, to enable them to be subjected to [[Cost-Benefit Analysis|cost/benefit assessments]], remains an obstacle to the  formulation of policies that can be expected to yield net benefits.


==Measuring social capital==
==Measuring social capital==
Measurements of the components of social capital have been undertaken by social researchers in many different countries.<ref> For an account of the  methods used to measure the components of social capital in different countries see [http://www.policyresearch.gc.ca/doclib/RD_SC_Measurement_200509_e.pdf Sandra Franke: ''Measurement of Social CapitalReference document for public policy research''. Policy Research Initiative, Government of Canada, September 2005]</ref> In the United States, the ''Social Community Benchmark Survey'' was a telephone survey of over 30,000 respondents conducted by a network of researchers in 40 communities in the year 2000.<ref>[http://www.hks.harvard.edu/saguaro/communitysurvey/index.html The Social Community Benchmark Survey 2000]</ref>. It was followed up in 2006 by a further selective survey <ref>[http://www.hks.harvard.edu/saguaro/communitysurvey/index.html The 2006 Social Community Survey]</ref> As of the beginning of 2008, over 50 studies have used the Social Benchmark Survey data.<ref>[http://www.hks.harvard.edu/saguaro/pdfs/SCCBSpapers0108.pdf List of studies using the SCBS data]</ref> The  European Union’s ''Active Citizen Composite Index'' combines 63 basic indicators, drawn mainly from the European Social Survey into a single index  by an arbitrary weighting regime. Composite indexes are also produced concerning the variously-defined topics of social cohesion, civil society, community cohesion, political life , human development, and corruption perceptions.<ref>[http://crell.jrc.ec.europa.eu/ActiveCitizenship/AC-Final%20Report-December%202006/measuring%20AC.pdf Bryony Hoskins et al: ''Measuring Active Citizenship in Europe'', European Commission Joint Research Centre, CRELL Research Paper 6, 2006]</ref>  
Measurements of the components of social capital have been undertaken by social researchers in many different countries.<ref> For an account of the  methods used to measure the components of social capital in different countries see Sandra Franke, "[http://www.policyresearch.gc.ca/doclib/RD_SC_Measurement_200509_e.pdf Measurement of Social Capital: Reference Document for Public Policy Research]," Government of Canada, Policy Research Initiative, September, 2005.</ref> In the United States, the "Social Community Benchmark Survey" was a telephone survey of over 30,000 respondents conducted by a network of researchers in 40 communities in the year 2000.<ref>[http://www.hks.harvard.edu/saguaro/communitysurvey/index.html The Social Community Benchmark Survey 2000].</ref>. It was followed up in 2006 by a further selective survey <ref>[http://www.hks.harvard.edu/saguaro/communitysurvey/index.html The Social Community Benchmark Survey 2006].</ref> As of the beginning of 2008, over 50 studies have used the Social Benchmark Survey data.<ref>[http://www.hks.harvard.edu/saguaro/pdfs/SCCBSpapers0108.pdf List of studies using the SCBS data].</ref> The  European Union’s "Active Citizen Composite Index" combines 63 basic indicators, drawn mainly from the European Social Survey into a single index  by an arbitrary weighting regime. Composite indexes are also produced concerning the variously-defined topics of social cohesion, civil society, community cohesion, political life, human development, and corruption perceptions.<ref>Bryony Hoskins, et al, "[http://crell.jrc.ec.europa.eu/ActiveCitizenship/AC-Final%20Report-December%202006/measuring%20AC.pdf Measuring Active Citizenship in Europe]," European Commission Joint Research Centre, CRELL Research Paper 6, 2006.</ref> The World Bank’s "Social Capital Assessment Tool" gathers information  by survey and interview as source data for the assessment of social capital.
The World Bank’s ''Social Capital Assessment Tool'' gathers information  by survey and interview as source data for the assessment of social capital.
<ref>Anirudh Krishna and Elizabeth Shrader, "[http://wbln0018.worldbank.org/LAC/LACInfoClient.nsf/0/30d4d766e3e24bd485256ab900770dd6/$FILE/SocCap%20Assess%20Tool.pdf Social Capital Assessment Tool]," World Bank, 1999.</ref>  Surveys conducted by national statistics agencies provide a further source of relevant statistics. British statistical surveys containing a social capital element have been listed by their Office of National Statistics.<ref>Dave Ruston, "[http://www.statistics.gov.uk/socialcapital/downloads/soccaplitreview.pdf Matrix of United Kingdom Surveys with a Social Element]," Appendix 2 of ''Social Capital: A Review of the Literature'', Social Analysis and Reporting Division Office of National Statistics, October 2001.</ref>  
<ref>[http://wbln0018.worldbank.org/LAC/LACInfoClient.nsf/0/30d4d766e3e24bd485256ab900770dd6/$FILE/SocCap%20Assess%20Tool.pdf Anirudh Krishna and Elizabeth Shrader: ''Social Capital Assessment Tool'', World Bank, 1999]</ref>. Surveys conducted by national statistics agencies provide a further source of relevant statistics. British statistical surveys containing a social capital element have been listed by their Office of National Statistics <ref>[http://www.statistics.gov.uk/socialcapital/downloads/soccaplitreview.pdf Dave Ruston: "Matrix of United Kingdom Surveys with a Social Element", Appendix 2 of ''Social Capital: A Review of the Literature'', Social Analysis and Reporting Division Office of National Statistics, October 2001]</ref>  


The problem of combining measures of the various components of social capital into a single index number has been tackled by a number of researchers <ref>[http://www.istr.org/conferences/bangkok/WPVolume/ For example Paul Bullen and Jenny Onyx: ''Social Capital: The Measurement Tool'', Conference Abstract, International Society for Third Sector Research 2006]</ref>, but as Francis Fukuyama has noted, there is no consensus as to how it should be done <ref>[http://portal.ku.edu.tr/~dyukseker/fukuyama-socialcapital.pdf Francis Fukuyama: "Social Capital, Civil Society and Development" page 12,  ''Third World Quarterly'', 2001]</ref>. Robert Putnam combined 13 different measures into a single measure, using [[factor analysis]] a technique that establishes weights related to evidence concerning the effects of each component upon a chosen outcome <ref>[http://www.oecd.org/dataoecd/25/6/1825848.pdf   Robert  Putnam:  "Social Capital: Measurement and Consequences", in ''Proceedings of OECD/HRDC Conference'', 2001]</ref>. Other attempts have been criticized on the grounds that invalid [[econometrics]] methods were used <ref>[http://www.ssc.wisc.edu/econ/archive/wp2001-03R.pdf Stephen Durlauf: ''On the Empirics of Social Capital'', 2002 ]</ref>.
The problem of combining measures of the various components of social capital into a single index number has been tackled by a number of researchers<ref>For example, Paul Bullen and Jenny Onyx, "[http://www.istr.org/conferences/bangkok/WPVolume/ Social Capital: The Measurement Tool]," Conference Abstract, International Society for Third Sector Research, 2006.</ref>, but as Francis Fukuyama has noted, there is no consensus as to how it should be done.<ref>Francis Fukuyama, "[http://portal.ku.edu.tr/~dyukseker/fukuyama-socialcapital.pdf Social Capital, Civil Society and Development]," ''Third World Quarterly'' (2001), 12.</ref> Robert Putnam combined 13 different measures into a single measure, using [[factor analysis]]&emsp;a technique that establishes weights related to evidence concerning the effects of each component upon a chosen outcome.<ref>Robert Putnam, "[http://www.oecd.org/dataoecd/25/6/1825848.pdf Social Capital: Measurement and Consequences]," in ''Proceedings of OECD/HRDC Conference'' (2001).</ref>  Other attempts have been criticized on the grounds that invalid [[econometrics]] methods were used <ref>Stephen Durlauf, "[http://www.ssc.wisc.edu/econ/archive/wp2001-03R.pdf On the Empirics of Social Capital]" (2002).</ref>.


==Objections and qualifications==
==Objections and qualifications==
There have been several disputes about the interpretation of the concept of social capital, and about how should be measured.  There have been objections to Robert Putnam’s approach to the concept on the grounds that it is logically inconsistent. Michael Woolcock has argued that to avoid tautological reasoning, any definition of social capital should focus on its  sources rather than its consequences, or "what it is, not what it does."<ref>[http://www.oecd.org/dataoecd/5/13/1824913.pdf Michael Woolcock: "The Place of Social Capital in Understanding Social and Economic Outcomes", ''Canadian Journal of Policy Research'' 2(1), 2001]</ref> In other words, if social capital is defined as a contributor to an outcome, it would be tautological to claim that it contributes to that outcome. Studies that relate single components of social capital to the outcome under investigation are not affected by that objection, but it raises doubts about the use of combinations of components, members of which are included  because of their expected contributions to that outcome. There have also been objections to the aggregation of organizational and cognitive components where the two categories are inter-related (since trust is promoted by law enforcement, a weighted sum those two components is difficult to interpret). Also, Portes and Landolt have questioned the assumption  that a community’s social capital is the sum of that of its members
There have been several disputes about the interpretation of the concept of social capital, and about how should be measured.  There have been objections to Robert Putnam’s approach to the concept on the grounds that it is logically inconsistent. Michael Woolcock has argued that to avoid tautological reasoning, any definition of social capital should focus on its  sources rather than its consequences, or "what it is, not what it does."<ref>Michael Woolcock, "[http://www.oecd.org/dataoecd/5/13/1824913.pdf The Place of Social Capital in Understanding Social and Economic Outcomes]," ''Canadian Journal of Policy Research'' 2 (1) (2001).</ref> In other words, if social capital is defined as a contributor to an outcome, it would be tautological to claim that it contributes to that outcome. Studies that relate single components of social capital to the outcome under investigation are not affected by that objection, but it raises doubts about the use of combinations of components, members of which are included  because of their expected contributions to that outcome. There have also been objections to the aggregation of organizational and cognitive components where the two categories are inter-related (since trust is promoted by law enforcement, a weighted sum those two components is difficult to interpret). Also, Portes and Landolt have questioned the assumption  that a community’s social capital is the sum of that of its members.<ref name=P&L/> James de Fillipis has described Robert Putnam’s methodology as "fundamentally flawed" and has argued for a return to the interpretation of the concept by Pierre Bourdieu.<ref>Pierre Bourdieu and Loic Wacquant, ''An Invitation to Reflexive Sociology'' (Chicago: University of Chicago Press, 1992). </ref>, and he rejects the idea that it is essentially about the power to attract and control physical capital.<ref>James De Fillippis, "[http://www.fanniemaefoundation.org/programs/hpd/pdf/HPD_1204_defilippis.pdf The Myth of Social Capital in Community Development]," ''Housing Policy Debate'' 12, no. 4, The Fanny Mae Foundation, 2001.</ref>
<ref name=P&L/>. James de Fillipis has described Robert Putnam’s methodology as "fundamentally flawed" and has argued for a return to the interpretation of the concept by Pierre Bourdieu <ref> Pierre Bourdieu and Loic Wacquant: ''An Invitation to Reflexive Sociology'', University of Chicago Press, 1992. </ref>, and he rejects the idea that it is essentially about the power to attract and control physical capital <ref> James De Fillippis: "The Myth of Social Capital in Community Development"''Housing Policy Debate'' Vol 12 Issue 4, The Fanny Mae Foundation, 2001 [http://www.fanniemaefoundation.org/programs/hpd/pdf/HPD_1204_defilippis.pdf]</ref>


==References==
==References==
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Social capital is an interdisciplinary social science concept that brings together aspects of social behavior, such as trust and cooperation, relationships, networks and social solidarity that may be expected to contribute to the well-being of a community. In the past decade, sociologists, economists, political scientists, economic and community developers and assorted other applied social scientists working with nonprofit and nongovernmental organizations as well as governmental bodies, financial institutions, like the World Bank and others, have sought to harness what they see as a very powerful idea.

To date, the results of those efforts are unclear. Authors in non-economic disciplines have generally limited their efforts to linking variables like trust and networks of social ties to social or political outcomes, while many economists remain skeptical of the qualitative nature of the activity. There have been attempts to quantify the influence of social capital upon community achievements, but there is no agreement concerning how to measure the economic contributions of dimensions like trust or the strength of social ties, or the weight that should be assigned to these components, and there have been reservations about the validity of any attempt to aggregate them.

Definition and implications

Though it was invoked by several political economists during the late nineteenth century and used in passing by John Dewey in 1900, the term "social capital" was first used extensively by L.J. Hanifan in his 1916 and 1920 studies of the rural community center.[1] In the latter, he defined social capital as "that in life which tends to make ... tangible substances count for most in the daily lives of a people; namely, good will, fellowship, sympathy, and social intercourse among the individuals and families who make up a social unit." He further proposed that, just as financial capital must be amassed before a construction project can commence, social capital must be accummulated in order for meaningful community building to take place.[2]

(CC) Map diagram: Robert D. Putnam
Estimated state by state distribution of U.S. social capital, Robert Putnam, Bowling Alone, (2000), p. 293

Hanifan's contribution went unrecognized for many years and, as Robert Putnam notes, the concept of "social capital" was subsequently "independently invented" at least five more times.[3] In Foundations of Social Theory, for example, sociologist James Coleman credits the term to Glenn Loury, an economist who in 1977 defined social capital as a set of designated intangible resources in families and communities that help to promote the social development of young people.[4] Loury himself has attributed it to Jane Jacobs, an urban planner who used the term metaphorically in her 1961 book, The Death and Life of Great American Cities.[5]

There are many definitions of social capital in social and political science. One widely accepted version defines it as an “investment in social relations with expected returns in the marketplace.”[6] This definition is consistent with interpretations by Pierre Bourdieu, Nan Lin, James Coleman, Hendrik Flap, Ronald Burt, Robert Putnam, Jenny Onyx, Bonnie Erickson and others; nevertheless, it may seem a too narrow individualistic reading and remains a matter of controversy, as noted in the concluding section of this article. The sociologist Pierre Bourdieu defined the concept as “the aggregate of the actual or potential resources which are linked to possession of a durable network of more or less institutionalized relationships of mutual acquaintance or recognition” [7]. He pointed out that “Social capital is the sum of the resources, actual and virtual, that accrue to an individual or a group by virtue of possessing a durable network of more or less institutionalized relationships of mutual acquaintances and recognition.”[8] Francis Fukuyama defined it as "a capability that arises from the prevalence of trust in a society." [9] James Coleman defined social capital “as a variety of entities with two elements in common: They all consist of some aspect of social structure, and they facilitate certain action of actors-whether persons or corporate actors-within the structure.”[10] To be capital a social structure must serve a function for individuals engaged in an activity. The actors exercise control over the resources in which they have an interest and at least partial control of others involved. Social relations are important to facilitating this action by the actors.

The Social Capital Foundation's (TSCF) approach to "social capital" is distinct from other, more socio-economic approaches in which the term "capital" approaches some of its conventional economic meanings. The Foundation promotes social capital defined as a set of mental dispositions and attitudes favoring cooperative behaviors within society. World Bank researchers draw a distinction between micro- and macro- levels of social capital, and between "structural social capital" - which facilitates information sharing, and collective action and decision making through established roles, social networks and other social structures supplemented by rules, procedures, and precedents - , and "cognitive social capital" - which refers to shared norms, values, trust, attitudes, and beliefs[11].

The concept of social capital can be related to similar characteristics of civil society that are drawn from the works of James Madison (in The Federalist Papers), Alexis de Tocqueville (in Democracy in America) and John Stuart Mill (in On Liberty).

The creation of social capital

The creation of social capital has been analyzed both as a personal investment and as a community investment. As a personal investment it has been taken to include social skills, charisma, and networks of contacts, all of which can be used as personal means of obtaining an economic return through interactions with others. A study combining empirical evidence with the predictions of an economic model of the personal investment decision[12] has indicated, among other findings, that higher levels of investment are made by people who also invest in other aspects of human capital. As a community investment, it has been suggested that social capital is created by the process termed emergence by which a complex interactive system can transform itself from chaos to order. The initial position is taken to be similar to the "state of nature" envisaged by Thomas Hobbes in which there is a constant "war of all against all". That condition is taken to be analogous to the prisoner's dilemma parable of game theory, in which both participants suffer unnecessarily because neither trusts the other. Computer simulations have demonstrated that when the two protagonists interact repeatedly they can develop a mutually beneficial evolutionary stable strategy that once is established is likely to persist.[13] Case studies and experiments with human participants[14] show that mutually beneficial strategies involving trust do emerge spontaneously and that when they do, their stability often tends to be promoted by an urge to punish defectors.

Social capital can then emerge in the form of expectations that others will reciprocate in response to co-operative initiatives; and it can spread through the community as more and more people become aware of the advantages of cooperation, and Charles Darwin has suggested that it could be transmitted further by natural selection:

"A tribe including many members who, from possessing in a high degree the spirit of patriotism, fidelity, obedience, courage,and sympathy, were always ready to aid one another, and to sacrifice themselves for the common good, would be victorious over most other tribes; and this would be natural selection[15]

The components of social capital

Organizational components

It is customary to distinguish the influence of a community's social organization on the social acts of its members from its influence on their individual attitudes, although they are interrelated. A community's or organization's social capital is generally considered to be determined as much by the traditions, beliefs and value systems that are part of its culture, as by the cognitive characteristics and perceptions of its members. Similarly, the collectively-determined rules embodied in institutions, are considered to be as necessary to the development of social capital as the impulses and constraints created by the psychological drives that are experienced by its members. The institutions that are held to be capable of contributing to social capital range from the state apparatus of law-making and enforcement, to the patterns of mutual obligation that are created by interpersonal networks. Interpersonal networks have been categorized by applying the terms "bonding", "bridging" and "linking" to, respectively, networks of family and friends; networks of colleagues and associates; and networks that connect different networks.

Cognitive components

Social influences are considered to provide the principal components of people's social attitudes. Trust, for example, is considered to be influenced mainly by the social institutions that have been referred to. However, there is evidence to suggest that a significant component may also come from the innate or “hard-wired” characteristics of the human brain. Neuroeconomics experiments [16] have revealed an association between the possession of a particular hormone and a propensity to trust others.)[17] Trust in the sense of believing most people to be trustworthy is referred to in the literature as "generalized trust" to distinguish it from trust in particular categories of people and trust concerning specific issues. Unsurprisingly, it has been found to be highest in communities where there are effective institutions that punish cheats; but it has also been found to be positively associated with education, civil liberties, and ease of communication (roads and telephones) and negatively associated with ethnic diversity and income inequality. Trust is generally held to be an essential component of social capital, as is willingness to conform to collectively-determined rules, but other cognitive characteristics have often been been included: notably the willingness to take actions that are for the exclusive benefit of others. Examples include charitable donations, participation in voluntary collective activities, and many other forms of philanthropy. The exercise of such social attitudes has been held to be among the main characteristics of civil society. Beyond those essentials, however, attitudes that are generally conducive to social concord such as tolerance of unfamiliar customs, practices and beliefs and a general preference for negotiation over confrontation have sometimes been included.

Sociological Implications

It has been established by a variety of studies that social capital has a direct effect upon the well-being of members of a community in addition to the indirect effects that arise from its economic consequences.[18] The connection between social capital and individual well-being has been used to explain the fact that, in many countries, and despite growing prosperity, subjectively–reported well being has not increased over the years an observation that is often referred to as the “happiness paradox”. The connection has been attributed to the psychological importance of interpersonal relationships[19] and the decline in happiness in the United States has been related to measures of “relational social capital”[20].

Other studies have examined social capital's effects upon health, longevity, suicide rates and the incidence of crime. In a study sponsored by Britain’s National Health Service, low levels of survey-determined neighborhood attachment were found to be associated with higher risks of mental illness and marital breakdown [21]. A study of crime among homeless youths in Toronto and Vancouver established strong associations with social capital[22]. However, it was found from a cross-country study sponsored by the World Bank that the only component of social capital that was negatively associated with the incidence of murder, was trust among community members [23].

However, Portes and Landolt have questioned the assumption that social capital is necessarily beneficial[24], recalling Mancur Olson’s suggestion that the principle motive for the formation of an association is rent-seeking[25] in other words, an attempt by a group to gain an advantage at the expense of the community. (The assumption that social capital necessarily benefits even those groups that acquire it is contrary to the evidence of the “Robbers Cave Experiments”, which demonstrated that close-knit groups tend to acquire dangerously mistaken perceptions concerning their members and others [26].)

Economic implications

Economists were writing about social capital before that term came into use. Writing in 1891, Alfred Marshall attributed differences between successful and unsuccessful economic activity to variations in "general enlightenment ... and habits of mutual trust", and in the willingness of people to “sacrifice themselves for the common wellbeing.”[27] Similar statements have been attributed to Thorstein Veblen, writing at about the same time. Some eighty years later the economist Kenneth Arrow remarked that much of the economic backwardness in the world could be explained as "lack of mutual confidence."[28]. Until recently, however, social capital had been regarded as merely an exogenous factor that is necessary to a reasonable standard of economic efficiency in much the same way as a functioning monetary system; and little attention had been given to its creation or to its quantitative influence. The idea that collective action might be expected to promote economic performance had been specifically rejected in the writings of the economist Mancur Olson (whose views are summarised below under the heading objections and qualifications)

Interest in the quantitative effects of social capital was stimulated by Robert Putnam’s 1993 study of democracy in Italy, in which he attributed the higher levels of GDP per capita in the North to previously higher levels of civic engagement, his measure of which gave weight to membership of voluntary organizations (which he referred to as "horizontal ties") [29]; and later by his essay and best-selling book, Bowling Alone, in which he attached importance to the decline in membership of voluntary organizations in the United States, (of which he took the decline in membership of bowling clubs to be a typical example).[30] Apparently prompted by Putnam's Italian study, several further examinations of the economic effects of various components of social capital have since been reported. A 1997 study using data collected by the World Bank for a sample of 29 market economies established a statistical association between economic performance and measures of trust and civic cooperation, but did not confirm Putnam's finding about the importance of horizontal ties.[31]. In a survey of economic growth studies by Robert Barro several components of social capital emerge as making significant contributions, notably education, the maintenance of law and the strength of democratic institutions.[32]

Political implications

An early exponent of the political implications of social capital was the 19th century political historian Alexis de Tocqueville. After a visit to America he wrote with approval of the practice there of the "art of association":

"When the public govern, there is no man who does not feel the value of public goodwill or who does not endeavor to court it by drawing to himself the esteem and affection of those among whom he is to live.... Men learn at such times to think of their fellow men from ambitious motives; and they frequently find it, in a manner, their interest to forget themselves"[33]

The subject has been extensively explored since then. Robert Putnam, writing in 1993 argued that the existence of social capital is necessary for the function of government,[34] a claim that was later supported by Francis Fukuyama [35], and Carles Boix and Daniel Posner have set out the ways in which social capital can enhance government performance by improving voter power, promoting rule compliance and increasing bureaucratic efficiency.[36] Other writers have argued that Putnam's analysis fails to take account of the fact that social capital can be used to subvert government, and Mancur Olsen has even argued that organised pressure groups have had a damaging influence on government.[37] Daniel Posner assigns two alternative roles to groups that are united by social capital: either to monitor government and hold it to account when its performance is unsatisfactory, or to act as a substitute for a failing government and so promote its downfall.[38] Others have argued that Putnam gives insufficient weight to the role of government as a sponsor of social capital. However, Bo Rothstein has pointed out that Government institutions come in many forms, and there is no reason to believe that all of them influence social capital in the same way or even in the same direction [39]

Insurgency and counterinsurgency

Even before a state failure, insurgency may flourish due to a lack of social capital, and counterinsurgents may need to rebuild it. Several studies have addressed it with respect to the Dinka and Nuer peoples of Sudan, who have fought against one another and against the central government. E.E. Pritchard-Evans noted in 1940,

There are three major forms of power in a society: coercive force, social capital, and authority. The power of coercion is the ability to compel a person through threat of harm or by use of physical force. ... Counterinsurgency forces must be aware of these groups, and understand the social role these coercive units play in the local political arena. Social capital refers to the power of individuals and groups to utilize social networks of reciprocity and exchange to accomplish their goals...In many non-Western societies, patron-client relationships are an important form of social capital. In a patronage system, an individual in a powerful position provides goods, services, security or other resources to followers in exchange for political support or loyalty, thereby amassing power. Counterinsurgency forces must identify, where possible, which groups and individuals have social capital and how they attract and maintain followers."[40]

The Dinka and Nuer relationship was reexamined in 2010 by Luka Biong Deng, Minister of Presidential Affairs in the Government of South Sudan, who said that "exogenous" counterinsurgency increased social capital while "endogenous" counterinsurgency reduced it. [41]

Not all current insurgency is Islamic. South Asia is experiencing a resurgence of Maoist activity. [42] Social capital is not only useful to the counterinsurgent, but helps the insurgents recruit — "trust based on social networks also plays a big role, because he or she risks everything, including life, by joining the insurgency." Sztompka explains how social capital—like social networks, family, friendship, and religion—helps in taking risk.[43]

The principal U.S. Army and Marine Corps doctrinal manual on counterinsurgency echoes Pritchard-Evans' words above, [44]

Social capital and stability operations

In U.S. doctrine, stability operations strengthen host nation governments, often with the intent of preventing insurgency by "establishing peace, democracy, and market economies in a secure, well-governed environment." A research study at the U.S. Army War College discussed the role of social capital in stability operations:

Social capital -- defined as an instantiated set of informal values or norms that permit cooperation between two or more individuals -- refers to community trust, norms, and networks that link justice, security and public safety, economic prosperity, governance, and social well-being to each other. A state’s levels of trust and reciprocity, the nature, extent, and types of its social networks, and the relationship and strength of those networks and institutions affect the ability of the USG to implement stability operations doctrine... social capital is the bridge between stability operations policy and implementation, a concept which – if considered – could prevent the failure of stability operations in weak, failed, or fragile states.[45]

Roger Myerson, of the University of Chicago, described a "chicken and egg" problem between the U.S. Coalition Provisional Authority under L. Paul Bremer, and Iraqi leaders including Grand Ayatollah Ali Sistani. Bremer insisted that a constitution was a necessary prerequisite for forming legitimate government, while Sistani believed that it was more essential that government be formed from popularly elected Iraqis. In the culture, however, Myerson suggests that to become a popular leader, a politician has to be able to dispense patronage. He echoed Pritchard-Evans' comment about Dinka leader patron-client relationships.

When the fundamental problem is political, the most important benefit from a development project may be, not its investment in physical infrastructure, but its investment in social capital, if it augments the nation's scarce supply of leaders whom people can trust to manage public resources[46]

Connection to 'Failed States'

There have been extensive studies of the relationship between the existence (or lack) of social capital and the emergence of failed states, including the work of the Harvard University's Failed States Project and the World Bank's Social Capital Initiative.

In Somalia, Robert Rotberg notes that, before the failure and collapse of the state its inhabitants had been well integrated with a cohesive cultural history, a common religion, and a common language. [47]. He attributes the destruction of social capital and consequent collapse of the state to the predatory behaviour of General Mohammed Siad Barre, assisted by support from Russia and then the United States.
In Rwanda, Colletta and Cullen report that, historically, the communities involved in the Rwanda massacre had lived together in symbiotic harmony.[48]

In Cambodia, Colletta and Cullen attribute the destruction of social capital by the Khmer Rouge to their systematic attacks on traditional culture, religion, organizations, and networks.[48]

Social capital and political geography

In Afghanistan and its neighbors, social capital is often strongest among ethnic groups such as the Pashtun, Tajiks, and Uzbeks, but the political geography of these groups does not correspond to national borders. In particular, the Durand Line dividing Afghanistan and Pakistan splits Pashtun groups and provides a base for cross-border conflict and hostility to both the Afghan and Pakistani central governments. In the early days of the Afghanistan War (1978-1992), the Taliban reconstituted social capital among largely Pashtun groups splintered by warlords, but then established its own alien control, also split among Pashtun subgroups; prior to the war, the less militant traditional Taliban were something of an informal civil service.
The Islamic Movement of Uzbekistan is strongest in the Ferghana Valley where the Uzbek, Kyrgyz, and Tajik people each have social capital developed within their group, but not among one another.

The results confirm the remarkable ambiguity of the relationship between the existence of social capital and the conduct and stability of the state. Although social capital can strengthen a state, its existence is no guarantee against weakness and failure. The "Robbers Cave Experiments" had revealed its potentially dysfunctional aspect[26], and that aspect of social capital has been instrumental in the failure of states. For example, the social capital that united the Rwandan Hutus is reported to have helped to persuade many of them that it was their civic duty to murder their neighbours, the Hutus. Conversely, other studies demonstrated that, although action by the state can foster the creation of social capital, it can alternatively be instrumental in its destruction. The importance of government performance in the restoration of social capital in failed states is brought out by Jennifer Widner's analysis of attitude surveys in three African countries.[49] Responses differed among the three countries and did not always conform to the Putnam thesis, but there was agreement about the importance of the trustworthiness of government, its delivery of public goods and the reduction of income inequalities.

The erosion of social capital usually precedes state failure and, although social capital does not figure explicitly in the various leading indicators that have been developed by the U.S. Government's State Failures Task Force[50], the World Bank [51] and others, indirect measures and estimates of its components figure in most of them. In the "Failed State Index," the Fund for Peace, and Foreign Policy define twelve indicators, the first four of which are explicitly social:[52]

  • Mounting Demographic Pressures
  • Massive Movement of Refugees or Internally Displaced Persons creating Complex Humanitarian Emergencies
  • Legacy of Vengeance-Seeking Group Grievance or Group Paranoia
  • Chronic and Sustained Human Flight

A pair of economic indicators also reflect social fragmentation or lack of social support:

  • Uneven Economic Development along Group Lines
  • Sharp and/or Severe Economic Decline

Policy implications

The economist Partha Dasgupta has argued that a personal investment in a reputation for trustworthiness results in beneficial externalities: that is to say benefits to others besides the person who makes the investment.[53] It is a generally accepted proposition of economic theory that markets tend to underprovide activities that generate beneficial externalities, and that it is to the benefit of the community for governments to make up the deficiency. That proposition has been extended to suggest that economic welfare can be increased by government intervention in the provision of many of the components of social capital, and has led to a variety of policy studies. A range of policy proposals has been put forward by the Saguaro Seminar in the United States [54], and a research paper by Australia’s Productivity Commission lists some possible policy initiatives to promote social capital, some side-effects of existing policies, and some policies that already make use of the existing stock of social capital. [55]. The World Bank has recently examined its own potential role, concluding that it needs to increase the extent to which it takes social relationships and local and national networks and institutions into account in its project design and policy advice. Five areas were identified for action.[56]. But, although potentially beneficial policies can be readily identified, the problem of quantifying the benefits of specific interventions, to enable them to be subjected to cost/benefit assessments, remains an obstacle to the formulation of policies that can be expected to yield net benefits.

Measuring social capital

Measurements of the components of social capital have been undertaken by social researchers in many different countries.[57] In the United States, the "Social Community Benchmark Survey" was a telephone survey of over 30,000 respondents conducted by a network of researchers in 40 communities in the year 2000.[58]. It was followed up in 2006 by a further selective survey [59] As of the beginning of 2008, over 50 studies have used the Social Benchmark Survey data.[60] The European Union’s "Active Citizen Composite Index" combines 63 basic indicators, drawn mainly from the European Social Survey into a single index by an arbitrary weighting regime. Composite indexes are also produced concerning the variously-defined topics of social cohesion, civil society, community cohesion, political life, human development, and corruption perceptions.[61] The World Bank’s "Social Capital Assessment Tool" gathers information by survey and interview as source data for the assessment of social capital. [62] Surveys conducted by national statistics agencies provide a further source of relevant statistics. British statistical surveys containing a social capital element have been listed by their Office of National Statistics.[63]

The problem of combining measures of the various components of social capital into a single index number has been tackled by a number of researchers[64], but as Francis Fukuyama has noted, there is no consensus as to how it should be done.[65] Robert Putnam combined 13 different measures into a single measure, using factor analysis a technique that establishes weights related to evidence concerning the effects of each component upon a chosen outcome.[66] Other attempts have been criticized on the grounds that invalid econometrics methods were used [67].

Objections and qualifications

There have been several disputes about the interpretation of the concept of social capital, and about how should be measured. There have been objections to Robert Putnam’s approach to the concept on the grounds that it is logically inconsistent. Michael Woolcock has argued that to avoid tautological reasoning, any definition of social capital should focus on its sources rather than its consequences, or "what it is, not what it does."[68] In other words, if social capital is defined as a contributor to an outcome, it would be tautological to claim that it contributes to that outcome. Studies that relate single components of social capital to the outcome under investigation are not affected by that objection, but it raises doubts about the use of combinations of components, members of which are included because of their expected contributions to that outcome. There have also been objections to the aggregation of organizational and cognitive components where the two categories are inter-related (since trust is promoted by law enforcement, a weighted sum those two components is difficult to interpret). Also, Portes and Landolt have questioned the assumption that a community’s social capital is the sum of that of its members.[24] James de Fillipis has described Robert Putnam’s methodology as "fundamentally flawed" and has argued for a return to the interpretation of the concept by Pierre Bourdieu.[69], and he rejects the idea that it is essentially about the power to attract and control physical capital.[70]

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