Eurosphere Working Paper 2 Kocan
Eurosphere Working Paper 2 Kocan
Eurosphere Working Paper 2 Kocan
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EUROSPHERE, 2008
http://www.eurosphere.uib.no
Grcan Koan
Istanbul Technical University
Department of Humanities and Social Sciences
[email protected]
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public sphere there are two emerging streams of thought and both have something
different to say on the concept public sphere. One major dividing line goes between
those who have micro meanings, i.e. those who analyze public sphere as micro
practices of interaction that occurs between individuals, between individuals and their
social, political and economic environment in the context of shaping, criticizing and
reproducing norms, meanings, values and identities and those who have a macro
meanings, i.e. those who focus on public sphere as a whole with interconnections of
actors, institutions and structures. Interconnections exist within and among these
structures, and individuals and groups are constrained by these structures.
What is macro and micro, therefore, would depend on the explanatory purposes of
theories; it is possible to analyze the public sphere using micro- or macro meanings.
Another possible way of making this distinction has to do with relative size; for
example, the citizens are micro in relation to the politics and macro in relation to the
individuals that interact within its structure. But the central problem that stimulates
current theoretical development about the macro-micro connection is that of the
relationship between individuals and public sphere or, to put it differently, the issue of
the function of people in public sphere or relationship between structure and agency in
the realm of public sphere.
There are two different major theoretical stances about the macro-micro
relationship: descriptive and normative. Descriptive conceptualization of public sphere
aims at reaching an abstract or general idea inferred or derived from specific instances
that are products of historical development process of political society. This way of
conceiving public sphere seeks to explain what the public sphere is and why it is that
way, and how the public affects the political and social life. Normative
conceptualization of public sphere is an act of creating a concept by thinking and
reasoning. It attempts to describe what the public sphere ought to be. Thus, a
descriptive theory of public sphere might seek to explain what causal forces have
produced the structures of the public sphere, whereas a normative theory of public
sphere would tell us what structures of political and social life in connection to would
be best, right, or justifiable. Or more simply: descriptive theories of public sphere are
about facts and normative theories of public sphere are about principles and values.
Descriptive Theorization of Public Sphere
Sometimes, a descriptive theory of public sphere is presented in an oversimplified
wayas if there were a single, well-defined type of public spheres that can be counted
as a fact. In fact, the phrase "public sphere" is used in a variety of ways. The one thing
that descriptive analyses of public sphere have in common is that they are intended to
explain what the public sphere is and how public spheres have an effect on the social
and political way of life of a people. Nonetheless, there are three characteristic forms of
descriptive theorization of public sphere that can be identified:
The first kind of descriptive theory of public sphere, which can be called "fact
based", is quite simply a theory of what the content is of a particular ground of truth
that either confirmable by experience or true by definition. Here public sphere might be
understood as circumstances or states of affairsthat is, things that obtain. Thus, a
theory of the democracy might simply seek to explore the main character of existing
public sphere as a principle that can contribute development of democracies. Reality
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based theories are responsive to questions like, "What are the principles that form this
area of the public sphere?" or "Can these cases be explained by some underlying series
of principles?"
The second kind of descriptive public sphere theory refers to "explanatory"
approaches that attempts to explain the why the public is the way it is. For example, a
very simple deliberative democratic theory might state that the content of the public
sphere can best be explained by the structures of communicative action.
The third kind of public sphere theories that are referred to as "descriptive" are theories
about the consequences that will be produced by a given structure of public sphere.
This is the sense of "descriptive theory" that is most frequently invoked by democratic
theories. The question "What effects will a dialogical structure of communication (as
opposed to a monologic) regime have on the democratic outcomes?"can be answered
by a public sphere theory that is descriptive in the sense that it calculates
communicative actions but does not explicitly evaluate the desirability of the
regulation.
Normative Theory of Public Sphere
Normative theories of public sphere are by their character evaluative. In this sense, a
normative theory of public sphere would take a stand on the question whether active
participation in public sphere is better than regulation. These theories tend to be
entwined with more general normative theories, e.g. moral or political theories,
although this is not necessarily the case. Utilitarianism, deontology and teleology are
three of the most important general normative theories that have had an influence on
theories of public sphere. There are two other distinctions that are important to
understanding the general idea of a normative theory of public sphere.
Ideal versus Non-ideal Theory
Some normative public sphere theories are "ideal"that is, they are theories about
what the best public sphere would be in the world in which everything was politically
possible, the public sphere could be adequately enforced, and other structures that
interact with the subject of the theory could be adjusted to produce the best overall
political and social system. Other normative public sphere theories are "nonideal"
that is, they are theories that assume a variety of constraints on the option of public
sphere. For example, a nonideal theory might take into account political feasibility or it
might take into account the possibility that the system would not provide an optimal
level of enforcement for the public sphere that would otherwise be best.
Justificatory Theories and Critical Theories
Normative public sphere theories also vary in their "attitude" towards the political and
social system. One is likely to encounter normative public sphere theories that start
with the question, "What is the justification that be given actions for such and such a
public sphere?" These justificatory theories have a limited purpose. They do not
address the ultimate question, "What is the best political and social system?" On the
other hand, many public sphere theories have the opposite purposethe critique of
existing notions of public sphere. Thus, a critical theory might enumerate all of the
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criticisms that could be made of an existing public sphereeven though some of the
criticisms may rest on inconsistent premises.
The Intersection of Positive and Normative Theory
So far, we have been assuming a fairly sharp distinction between descriptive and
normative public sphere theories. And for many purposes, assuming that there is a
sharp line that separates normative and descriptive public sphere theories is a good
working hypothesis. Even assuming there is such a sharp line, however, there are
relationships between descriptive and normative theories.
Descriptive Theory in the Service of Normative Theory
One relationship is clear and straightforward. Many normative theories underdetermine
what the public sphere should be in the absence of substantial information about the
effects of the social and political life. This is most obvious in the case of utilitarian
theories, where information about consequences does all the real work of determining
which public sphere is best. For normative theories like utilitarianism, descriptive
theory performs an essential service. Without a descriptive account of the effects of a
given public sphere choice, utilitarianism has nothing to say about what public sphere
is best.
Descriptive Theory as a Constraint on Normative Theory
Another relatively non-controversial relationship between descriptive and normative
public sphere theories arises when a descriptive theory that explains why the public
sphere has the structure that it does, is taken as imposing a constraint on normative
theory. Some structures of public sphere that might be justified by ideal normative
public sphere theory may be considered "unrealistic" in light of descriptive theory. In
cases like this, descriptive theory provides constraints that limit the options available to
normative theory.
Concepts of Public sphere
The public sphere is both a historical and a critical idea. As a historical idea, it refers to
historical processes of emergence and development of publics in Western democratic
politics. In his book of the "Politics", Aristotle situated public sphere within city-state
polis as related to the public life of the political community as opposing it to the private
realm of the household (oikos). Aristotle described public sphere as public life
constituted in spatial-temporal setting of market place (agora) where citizens as equals
gather to discuss (lexis) matters of common concern in polis.
The idea of public sphere from writings of Aristotle is transferred into publicus in
the Roman ruling system. Romans referred to publicus as a signifying realm of a
collective body of citizens or subjects in contrast to privatus as denoting to the domain
of the private household. Then, this distinction between publicus and privatus in
Roman ruling carried to through Middle Ages for separating the King or Feudal Lord's
representations from oikodespotes/paterfamilias. In the Middle Ages, the king or feudal
lord represents himself before another people; the King or Feudal lord was the only
public representation, and all others were viewers. This means there is no sharp
separation of the public from private realms. Public sphere is represented by only
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King's public representations. With capitalist economic developments and the rise of
the bourgeoisie the meaning and context of public sphere is changed once more in the
17th and 18th centuries. The public sphere became representative publicity as
independent domain in relation to the state and private life. In the] 18th century, the
most important characteristics of the public sphere was the communicative use of
public reason. It is argued that the communicative use of public reason occurred within
the bourgeois reading public, in response to literature, and in institutions such as salons
and coffee-houses became the centre of debate. Then the public sphere become to
emerge out of the private institution of the family to "literary sphere", where discussion
of art and literature play the most important role (Habermas, 1989: 60). The importance
of this lies in the process of discussion, which take the form of public communication.
This public communication has a set of rules for exchange of points of view
around issues of political concern. One main characteristics of this communication is
that participants have a common interest in truth, which meant that they bracketed
status differentials.
The public sphere as it was by description requires active participation, but access
depended on one's communicative skills and knowledge. In this period, public spheres
had become a means for civil society to articulate interests. The growths of the political
public sphere took place first in the political and social life of Britain. Later, the public
sphere became instituted within the European bourgeois constitutional states as a way
of monitoring state authority via informed and critical discourse of the people.
Although with differences, the theoretical frameworks of Aristotle, Hanna Arendt,
Jurgen Habermas, Nancy Fraser, Charles Taylor, John Keane, Robert D. Putnam locate
the public sphere in civil society stirred by exchange of meanings and points of views
towards deliberative and associative democratic process of decision making. In viewing
the public sphere as the first intermediary between citizens and state, they emphasize
the importance of public sphere to rules and functions of modern democratic political
systems.
The roots of the idea of public sphere goes back to Aristotle whose model of the
politics tends to see public sphere as a legal and political realm of the polis, state, and
city in contrast to the private realm defined by the loci of family, home, and individual
identity. From Aristotelian point of view, people need to think of political society as
consisting of two spheres: the public sphere in which the rule of the citizens is
unconditional (people obey the political ruling as established by the themselves here
because they have agreed to and because the citizens have status of being sovereign)
and the private world as outside of the political ruling through which each citizen
becomes a person to freely pursue their own best interests.
For Aristotle "man is by nature a political animal" and can only achieve the good
life by living as a citizen in a polis. The polis provides the best ground for citizens to
actualize his or her potential to have a good life. Taking into account having the good
life as the highest end, both for the political community as a whole and for each of us
individually (Aristotle, 1992: 186-189, 1278b), people make every effort from private
life which is the primary and immediate unit of society, persistent through labor acting
upon nature and producing basic goods and services towards the establishment of the
public life because public life is a necessary condition for the final and perfect
association and realization of the highest good (Eudemoni) (Aristotle 1958, 1280a).
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Public life is a defining feature of polis. It is the domain of active citizenship and
political action as aiming to establish a good life. In this context, public sphere refers
more to a political state in which citizens rationally deliberate on matters of what
makes their political societies "good."
In the Politics, Aristotle particularly distinguished between two realms of
existence what is private ipikos) and what communal (koinon). The private realm is
associated with the family and household. Aristotle associated koinon with the concepts
of common life, community, association, relationship and city state. In this context,
Aristotle does not puts oikos as a innate independence from the polis. It is part of it. It
enables individuals to become not only members of a family or household but also
members of common life and city-state as well (Aristotle, 1992: 53-62 or 1252a1253a29). It is from this standpoint that Aristotle regards the oikos primarily as an
political and social institution that not only empower natural ties of association and
love with meaning and value, but also adjust the connection between private individual
and public citizen, family and society and society and state in order to impel to protect
and guarantee common good of the whole society.
Thus, in Aristotelian account of politics oikos is realm of common life. It is
necessary for constitution of common good and polis. Aristotle states that unity is
necessary to the polity but argues that polis requires diversity. Aristotle states:
[A] household is a more self-sufficient thing than the individual, the state than the
household; and the moment the association comes to comprise enough people to be self
sufficient, effectively we have a state. Since, then, a greater degree of self-sufficiency is
to be preferred to a lesser, the lesser degree unity is to be preferred to the greater
(Aristotle, 1992: 107-108 or 1261b6).
Yet oikos is separated from common life; yet, not wholly separated. This means private
individuals are autonomous from the state to a certain extent. It is only in such a
separated domain of oikos that the "private individual" could become independent from
public authority and then establishes a "private citizen" within common life (koinon),
which is connected each as other as public with common good rising above purely
personal interests.
In her book, the Human Condition, Hanna Arendt modeled the idea of public
sphere upon an Athenian city, where in principle public space was characterized, by the
'arena' accessible to all citizens. The majority of participators of this arena formed the
"public body" comprising of private citizens. The main function of public sphere is not
to form rational-critical consensus and public opinion through discussion, but rather an
autonomous space composed of private citizens who have a competitive, resistant and
critical stance not only to each other but also public policies. In other words, the notion
of public sphere as being grounded in the realization of "the common good" through
"rational" debate has been replaced by a notion of arena as consisting of numerous and
heterogeneous conversations and arguments, never finally resolved, between competing
interests and competing notions of the good. This means that the public sphere is
agonism (Arendt, 1998: 34-41). Agonism refers to discursive contestation. It underlies
the importance of a dynamic social and political space in which individuals
representing various traditions and worldviews meet to engage and contest one another
in argument with agonal spirit. In this context, Arendt perspective public sphere
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and influencing those who receive it. Today, newspapers and magazines, radio and
television are the media of the public sphere. (Habermas, 1989a:136)
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point of view, Nancy Fraser describes public sphere is as parallel discursive arenas. She
says:
Parallel discursive arenas where members of subordinated social groups invent and
circulate counter discourses to formulate oppositional interpretations of their identities,
interests and needs (Fraser 1992:123)
Frasers theory of the public sphere draws more attention to the risk of insisting on one
public sphere as it could potentially be an instrument of domination rather than an
ideal of democracy. With particular reference to womens marginalization in modern
democratic societies, she argues that we need to recognize the existence of multiple
spheres, or competing counterpublics or subaltern counterpublics, as more
egalitarian conditions of modern societies. She argues:
In stratified societies, subaltern counterpublics have a dual character. On the one
hand, they function as spaces of withdrawal and regroupment; on the other hand, they
also function as bases and training groups for agitational activities directed toward
wider publics (Fraser 1992: 124)
Fraser writes of the presence of weak publics and strong publics, highlighting the
challenges and the stakes. A strong public is completely separate from the state and
only engages in critical deliberation and discussion-orientated institutionalised
deliberation and decision-making (will formation) in the political social system. A
weak public refers to engaging in deliberation and opinion formation without decisionmaking power (Fraser 1992: 125).
Robert Putnam, author of Bowling Alone: America's Declining Social Capital
describes the public sphere as having to do with social capital. The social capital is a
process between people, whether it be through bowling clubs or the elks based on
voluntary association participation of individuals who are civically engaged with each
other on some impartial public ground of associativeness whereby everyone is equal.
And it is precisely within the domain of what it is described as social capital (the social
space which includes intimate relationships, friendship, associations and social
movements) that the public sphere is produced and worn-out. Social capital is like that:
it develops with the civic engagement of citizens spending time together, working cooperatively and enjoying. As a basis for public sphere, it establishes networks, norms
and social trust in society and facilitates co-ordination and cooperation for mutual
benefit among individual citizens. In the case of contemporary societies, Putnam
however, has put forth one of the more persuasive explanations for the decline in public
sphere. After carefully considering numerous characteristics of modern society, Putnam
has argued that television and internet with their emphasis on consumption is one of the
main factors responsible for the decline of public sphere.
These theoretical frameworks of public sphere sees public sphere both actual and
ideal. There are differences in regards to the depiction of what is actual. Aristotle,
Hannah Arendt and Habermas have emphasized public sphere as a single shared
discursive sphere; Charles Taylor and Nancy Fraser described public sphere as a
multiple segmented sphere; John Keane portrayed multiple and multilevel overlapping
public spheres; Robert Putnam has revealed bases of multilayered and complex public
spheres. Establishing normative framework, all of the theories saw public as a
necessary condition for democracy. Due to their understanding of democracy (i.e.,
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different cases. At this level, the public sphere develops in various historical domains
as well as in the concrete instances, with different ideas and realities stemming from
other ideas.
It appears to be common to most ideal types of public sphere to accept a
dichotomy between ends and means, a distinction that is deeply embedded in their
ethical and political conceptualization, rooted in presumption regarding not only the
basic characteristics of human action but the very nature of public sphere. In these ideal
types of the public sphere, differentiations have been consistently generated between
immediate and essential, diverse and common, individual and common, necessary and
desirable ends of the public sphere, as also between achievable and ideal goals of the
public sphere. Distinctions about means have been also made about their moral
implications and respectability or their theoretical and conditional suitability with
shared values of political society. In this context, it is possible to divide ideal types of
public sphere between two main strands in regard to means and ends: the end-oriented
and the act-agent-oriented.
The end-oriented public sphere theories have generally understood to be
teleological and consequentialist models of public sphere. End-oriented public sphere
theories seek to show how the public sphere can play a decisive role for determining
policies that may contribute to certain ends of political society. They have argued that
public sphere is a goal-directed process while they have tried to explain the idea of
public sphere by reference to political objectives. In this context, the end-oriented
public sphere theories have attempted to identify common ends that the public sphere
should appeal before its communicative process is initiated. These ends are considered
vital not only for the public sphere, but also for all social and cultural activities of the
democratic society. After defining ends, they pragmatically try to define means and
ways of achieving such ends and objectives in the context of public sphere. Endoriented ideal types see public as simply instrumental. The central task of public
sphere is the instrumental one. It deploys means to guide public action toward public
opinion and will-formation. Will formation occurs not by each individual pursuing
diverse ends in accordance with their individual interest conception but by conscious
cooperation or deliberately pursuing a common end. End-oriented theories of the public
sphere are concerned not only with defining with discursive conditions for building
cooperation for will formation, but with identifying ethically important norms or
principles for processes of the public sphere.
In end-oriented public sphere theories, the discursive condition of the public
sphere (autonomy and mutual respect) is given a twofold function. On the one hand,
they are regarded as the basic preconditions for reaching a valid consensus within the
public sphere. As such, they work as the basic validity condition of public sphere. On
the other hand, they are also agents of a normative idea that alter the conditions of
public sphere into bases of understanding and consensus oriented interaction. By
defining the conditions of reaching a valid understanding and consensus, end-oriented
public sphere, theories are explicating the provisional conditions that must be justified
within the realm of public sphere, if a valid consensus is to prevail. At the ideal level,
these conditions can be put together in a harmonious way. In this context, Habermas,
whose account of public sphere is one of the representatives of an end-oriented ideal
public sphere, maintains that validity-claims of the discourse refer to the persuasive
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activity of the public sphere. This also means that how the public sphere achieve its
ends is always more important than what it achieves.
Act oriented theories often state that the public sphere is a collective effect of
individual action, performed by virtue of common good or public communication in
which reaching consensus (or ultimate agreement) may or may not be result of the
process. This means that all participants gave up their particularistic interests in favor
of pursuit of common good. They held that public sphere is itself is the sole good that it
is achieved by active participation of citizens. Act oriented theorizations have directed
their understanding to a type of communicative act that is perfected for its own sake
and not for the tasks which it could have performed. Their focus is directed towards
maintaining public sphere as self-regulative communicative performance built up in
public situation. The act-oriented accounts of public sphere focuses public sphere as
space of dissidence rather than consent. They often emphasize the preservation of
forms and spaces of spontaneous individual action from encroaching bureaucratic
structures while they built strong correlation between public sphere and a confirmation
of incommensurable plurality (Arendt 1958).
Summary of end and act oriented public sphere theories
Means-ends
dimension
Regulative Dimension
Time dimension
Spatial Dimension
Organizational Dimension
Participative Dimension
Communicative Dimension
Operational Dimension
Outcome Dimension
Entity Dimension
Structural Dimension
Metaphysical Dimension
Political Dimension
Representative Theorists
End oriented
Imposed goals
Unavoidable goals
Goal-oriented
Formal: Procedural
Future-oriented
Ends beyond itself
Particular
Homogenous
Deliberate/restrictive
Popular Inclusion
Closed
Discursive
Conditioned
Harmonious
Persuasive and Reason based
Action
Consent-Agreement
Singular
Linear
Centralizing: Homogeneity and
unifying
Rationalism and Idealism
Liberal/Deliberative
Individual Rights
Negative Freedom
Habermas
Act-oriented
No essential goals
Freely-chosen goals
Avoidable goals
Reflexive: Self-regulation
Present-oriented
End in itself
General
Heterogeneous
Contingent/Spontaneous
Radical Active Inclusion
Open
Dialogical
Unconditioned
Unharmonious
Contestative, Agonistic
Value based action
Civic identity and aporia
Multiple/multilayered
Horizontal
Decentralizing: Plurality and
diversity
Pragmatism and Realism
Communitarian/Republican
Collective/Performative Rights
Positive Freedom
Arendt, Taylor, Fraser
Instead of focusing on single homogeneous public sphere, they conceive public sphere
as multiple spheres as each of them comprised of several public forums or arenas,
isolated by their subject issues and developmental social and economical histories.
Such arenas include local, national and global one as well as official ones versus
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unofficial ones in the context of economical, political, cultural and social life. All
arenas have a certain quasi self-determinacy because there is continuous interaction
between these arenas, they constantly influence each other. At this point, it is important
to mention that all the representations in all different arenas or different public spheres
are results of the function of one or another core of public sphere.
Public Communication and End and Act Oriented Public Sphere Theories
Both act end oriented and act oriented public sphere theories develop the idea of the
public sphere as a normative notion, which is an important part of both social and
political life affording citizens the opportunity to discuss matters of importance for the
common good, helping to form public opinion. Rather than conceiving public sphere as
a state, they shift their point toward functional and structural understanding of
communicative action as the basis of public sphere. Their theories consider
communicative action among free and equal citizens who behave as a public body,
whereby communicative action involves specific means for transmitting meanings and
influencing those who receive them.
In their conceptualizations, public sphere is defended as concrete interactive
relations of public communication. Public communication is a basis for public sphere.
As Aristotle emphasized, humans are political beings as most of their activity is based
on interaction with one another making it a basic human quality. However, each
individual partially includes others in his/her interaction with the surrounding
environment even when they are acting individually; they do so with an awareness of
others. Being awareness of others is part of their self identity and identification. They
always bring elements of their identity to the context of their interaction. Their identity
and identification always seek to relate to others in space and time and to seek social
and political relationships or communication. The main factor that brings people
together is this ongoing, recalled, repetitive action of communication. Public
communication is not only an intrinsic part of the community life but also a basis for
the public sphere.
Communication in public sphere is governed by rules, social norms and the values
of the culture and political order within which the public sphere takes place. In the
public sphere, communication is voluntary or voluntaristic - while being constrained by
a restricted set of communicative choices available in the situation or context. In other
words, public communication involves an active, conscious individual participant, who
may have particular goals or ends that he/she is attempting to contribute. Individual
participants in public communication may take steps in a rational manner, considering
objective factors (structures, choices available, responses of others), but they also have
a subjective frame of reference (personal values, preferences, views).
In other words, communicative acts of the participants are oriented by his/her
preferences and attempts to meet individual goals. At this point, it is important to focus
on the reason why people become involved in communication and how they respond to
matters that are important. This focus leads us to ask questions about characteristics of
participants who are actively involved in an exchange of views, their purposes in
communicating and how they will respond in communicative situations to those
matters. In a corollary, people as a group of similar individuals, with their
complexities, desires and needs are communicating with each other to arrive at
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agreeable terms in a given situation. They are persuaders who are seeking to reach
addressees to come to terms with a situation of understanding. They are responders to
the stimuli of communication. They are actors of communication and both agents of
change and agency of change. They have more than one end they wish to achieve with
any given target addressee. Their ends are multiple. They may have different ends with
different target addressee. The characteristics of their ends often relates to complex
situations. Their ends can be instrumental to achieve other ends (Layered ends). The
addresser's explicit ends may be only a facade for implicit and more important ends
(explicit and implicit ends). That is, ends are often a function of the communicative
situation and the addresser's relationship to it.
This kind of communicative action comes into being when, the action can be
motivated by a certain type of rationality. Max Weber described action within the
paradigm of rationality: instrumental, expressive, affective and habitual (Weber, 1978).
Firstly, the instrumental characteristics of communicative acts refer to the goal
attainment and adaptation aspects of communication. Some communicative acts are
purposive-rational. They are chosen as the most effective means for accomplishing
immediate practical ends. Secondly, communicative acts of an individual contain
expressive characteristics through which communication appears as an end in itself
rather than a means. In this case, the communicative actor is self-aware of his meaning
in the sense of using effective means to achieve a given end, but the end is one that the
individual participant has a pledge. These ends relate to ethical, political, religious
contexts. Thirdly, communicative acts consist of specific affects and feeling states of
individual participants. In the context of spontaneity and reflexivity, it unites ends with
means. Fourthly, communicative acts involve habitual elements. In this case, custom,
tradition, or habits determine the source of communicative acts.
Public communication involves not only acts of an active, conscious agent, who
may or may not have particular goals or ends, but also a dynamic interplay of meanings
in the process of transaction. Acts of participants of communication are continuously
formed and reformed through such interactions; they are not fixed acts for individual
participants, but one that is constantly changing to how others act and respond. That is,
through interaction with others, the individual understands the meaning coupled with
the communicative acts, but may modify and change this, in a referential and reflexive
way. The same communicative acts may have different meanings in different contexts,
for different individuals, and depending on how the one interprets the contexts because
the world does not have inherent meaning in and of itself, but the meaning is socially
formed and developed through experience with the world as one interacts with other
individuals in society. Communication is always joint action with the mutual response
and changes of the acts individual and others a necessary aspect to consider. An
individual participant does not develop his or her communicative acts in isolation, but
the communicative acts emerge from responses of others to one, and from the way that
one responds to and develops his or her own responses to others. In this context,
communication appears as a learned quality of human beings.
The quality and nature of the social and political contexts in which public
communication occurs are considered to have a great influence on the main
characteristics of communicative acts. This means that the development of
communication is facilitated by a bi-directional, reciprocal interaction between the
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individual and the social and political environment. A change in the view point of
participants may trigger a change in the social and political environment, which in turn
affects the actions of individual citizens and so on. In this way, both the citizens and
the social and political environment change over time and affect each other in a
reciprocal fashion and early attainments pave the way for subsequent individual and
social development. For this reason, communication appears as a multi-layered
complex process (Taylor 2004, 83-99). It is the way people interact with the
environment around them and the way they exchange meanings through the process of
receiving, processing and transmitting meanings. The content of public communication
can be both the exchange of thoughts or ideas from one person to another and nonexchanged structured meanings. Public communication in and among people occurs
many different waysthrough touching, seeing hearing, smelling, talking, writing,
gesturing, and reading. Speaking, writing, listening and reading are the most common
ways they communicate. There are many but not unlimited ways of communicating
about any subject matter.
Public communication is a type of association formed by the exchange of ideas
(Taylor, 2004: 94). Public communication, as a relationship association, begins by
transmitting meanings both in words and other methods such as observation, speaking,
writing, body language, tone of voice, looks that go along with words, and so on. In the
process of transmitting meaning, the roles of transmitting meaning (addresser) and
those receiving the meaning (addressee) constantly change between one person and
another (dialogue). However, sometimes the roles between the addresser and addressee
can be fixed and there cannot be an exchange of roles (monologue). In this context,
there are two important ways to categorize the means in which communication occurs.
Firstly, participants of this process communicate internally to themselves in a covert
manner (in their minds) that others cannot understand but simultaneously as the
conversation with the other person ensues, in order to imagine themselves in the
position of other participants of the process and to consider what the other individual
imagines, they contemplate what the reaction of the other individual is likely to be.
While participants engage in communication with other participants, there are
unlimited ways of communicating about any subject matter with the other participants.
Communication with others includes: 1) the meanings that the addresser actually
intends to send, 2) the meanings that the addresser actually wants to send, 3) the
meanings that the addressee interprets. This process has three phases. First, meanings
must be obtained for the readers themselves. Second, meanings are 'transmissive',
passed from an addresser to an addressee. Third, as meanings pass from the addresser
to the addressee, the process of communication becomes more like a process of
communicative action, dialogue, discussion, conversation, negotiation, debate or
construction. During this process, according to their understanding of the meanings that
are communicated, people either separate themselves from each other, in the case of
conflict, or unite forming a community. They share and develop their understanding by
exchanging meanings.
From this perspective, reaching a shared understanding in public communication
requires that the participants are ready to engage in the activity itself and that they see
the relevance of accepting different and contrary meanings to their own. (Gadamer,
1975: 388) This happens on a reciprocal basis, and each participant puts his/her own
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views and thoughts into play on an interactive field, holding their ground yet
simultaneously assessing and addressing counterpoints. The mutual recognition, within
the interplay of meanings, is manifested in a 'fusion of horizons' wherein views and
thoughts emanating from one conceptual world are translated into clauses relevant for
the other.1 As a result, the understandings of each participant are not merged into
singleness, but transformed without necessarily losing their identity in the process.
Openness, as self-disclosure of personal feelings, knowledge or evaluative views
about particular issues is also important for eliciting and provoking understandings. It
occurs in the dynamic process of the possibility of revealing information about oneself
while trying to see the world through the eyes of others. (Bakhtin, 1986: 6-7) This
requires the distancing of oneself from oneself and from one's private rationale, which
allows for a knot of connection that inextricably intertwines the worlds of interlocutors
with many social, cultural and political contexts for understanding. The rise of a knot
of connection contributes to a sense of fluid boundaries among participants with
recognition of the separate and non-merged voices within the chorus of them. (Ostram,
1997: 151-65) At this moment, the process of understanding connects self and other in
an ever-changing joint world of dialogue.
This notion of the joint world of public communication refers to a reciprocal
exchange relation. Interlocutors are dependent on each others wordings or actions for
formation of their utterances, but rather interact spontaneously in response to one
another and in reference to the surroundings and momentous occasions, jointly giving
rise to an understanding of views, ideas or issues that neither interlocutor had earlier
considered. Such openness serves as a starting point for self-transformation or
differentiation of the participant from previous positions. The emergent understandings
are available as new potentials and new possibilities that fuse different perspectives
found in one and the same participant.1
This is a case of a rise of a mutual understanding or new understanding that
involves a unity of what is said at the beginning and what is not uttered. This means
that every understanding in the communication process is not only a response to
preceding messages of the given context but also a prompter of understanding.
Participants of public communication are determinant to the extent that they can alter
one anothers responses from their baseline levels. Each response refutes affirms,
supplements, and relies upon other responses, presupposes them to be known, and
somehow considers them. Therefore, each kind of response is filled with various kinds
of reactions to other messages as responsive understanding of the given context of the
1
A similar viewpoint is also expressed by Bakhtins analysis of dialogue. For Bakhtin, the key quality of
dialogue is that it simultaneously represents unity of the participants perspectives as fusion of one with
another, on the one hand, and completes divergence of views, on the other. In this context, the whole
dialogical process can be viewed with Bakhtinian terms which underlines social process of dialogues as
polyphonic, involving multiple voices, representing dynamic interplay between centripetal (i.e., drive of
unity) and centrifugal (drive of difference) forces as many-sided, variegated and kaleidoscopic immediate
conditions of particular moment. The social and political reality of these forces is produced and reproduced
by dialogical actions of participants. Furthermore, the ongoing dialogue of voices as interplay of
contradictory forces opens up dialogical fields to multi-vocal complexity. For this reason, the most
important thing about the dialogue is not only what kind of different view and idea is exchanged through
dialogue but also what kind of new views transpire through the exchange. The difference produces
difference through dialogue. (Bakhtin, 1981: 272-273) I shall elaborate on this further in the chapters two
and five.
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Bakhtin's ideas of responsive and creative understanding are crucial at this point in the discussion. For
Bakhtin, responsive understanding is important for the continuation of dialogue because response aligned to
interaction between what has been voiced before and to what can be voiced. Responsive understanding
necessarily elicits dialogue in reciprocal form: the listener becomes the speaker. In dialogical situation, the
fact is that when the listener perceives particular the meaning, one simultaneously takes an active,
responsive position toward it. One who has either the same opinion with it or different from particular
understanding (totally or to some extent) adopts these responsive positions for the entire duration of the
process of listening and understanding, from the very beginning. (Bakhtin, 1986: 68) Even when overt
responses are delayed, Bakhtin insists that understanding is actively responsive: sooner or later, what is
heard and actively understood will find its response in the subsequent speech or behavior of the listener.
Thus, all dialogical understanding is actively responsive, and constitutes nothing other than the initial
preparatory stage of a reply.
Some philosophers have claimed that the meaning of dialogical act is not something that is relative to the
interpreter; rather the meaning of a dialogical act always is in the act itself. This implies that the meaning of
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interpretation. Thus, the meaning of an utterance arises out of the relation between the
intended act and the attempt to understand it. This relation is both multitudinous and
two-sided: multitudinous because meanings depend on the conceptual world of the
addressee; and two-sided because meanings emerge out of interaction between the
addresser and addressee.
In public communication when a reply is made, it places value on the views
expressed. If the reply were to be merely mechanical with no intention involved, it
would be one that belongs properly to the original addresser. That is, the mechanical
reply confirms or closes off exchange in favor of the original utterance. (Bakhtin, 1997:
110) What takes place, then, is monologue. Bakhtin (1997: 292-293) suggests:
Monologism, at its extreme, denies the existence outside itself of another
consciousness with equal rights and equal responsibilities, another I with equal rights
(thou). With a monologic approach (in its extreme pure form) another person remains
wholly and merely an object of consciousness, and not another consciousness. No
response is expected from it that could change anything in the world of my
consciousness. Monologue is finalized and deaf to others response, does not expect it
and does not acknowledge in it any force. Monologue manages without the other, and
therefore to some degree materializes all reality. Monologue pretends to be the ultimate
word. It closes down the represented world and represented persons.
As Bakhtin mentions, in a monologue, the addressee remains wholly and merely
an object of the others understanding, and does not embodies another autonomous
understanding. Monologue is hearing-impaired to the others autonomous reply; s/he
does not expect it and does not acknowledge in it any decisive force.
In contrast, in dialogue, the utterances become only understandable when one
places them in a specific interpretative context. (Gadamer, 1975: 350) At the same
time, ones interpretation cannot privilege a particular content as a given or selfverifying part separate from the whole, from other contents or from the activities of the
addressee. The meanings of utterances do not represent a property of reality but an
interactive field of interpretation and understanding as it relates to its participants. This
implies that the meanings of utterances and their understanding will vary as the
interpretative horizons of addresses change over time or from one participant to
another. The meanings of utterances can never be definitively fixed. What that suggests
is that understanding moves in what Gadamer calls a hermeneutic circle.4
To produce meaning in a dialogue, one must always move around from the
meaning of a particular (single utterance) to the meaning of the whole or general (chain
of utterance), and vice versa from whole to part. (Gadamer, 1975: 190-92) The whole
may represent the entire meaning of utterances that are expressed in dialogue, the
particular message that passed to the other, and a shared linguistic space to which
utterance belongs a historical period, personal experiences of participants, and so
on.5 This whole, then, provides the horizon against which one gives significance to
dialogical or its products derive from the intentions of its producer. For further discussion of the theory
intentionalism through a consideration of verstehen, see W. Outhwaite, 1975.
4
For more detailed discussion of Hermeneutic Circle, See Gadamer, 1975; and Charles Taylor, 1987: 15-57.
5
For example, utterances attain their meaning through the contexts of pronouncement they generate, (as
similar words gain their meaning through the context of sentences), pronouncements through correlative
relations of the dialogue they help to produce and vice versa.
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the particular. The meaning of the utterance itself cannot be immediately apparent, if
one attempts to see and understand in the larger context. The contextually retained
meaning of the utterance then changes the meaning of the wholei.e., dialogue.
When the hermeneutic circle is applied to the parts-whole relations in
understanding the processes of public communication, the understanding of each
message depends on not only the interpretation of the whole but also on previous
messages and the context in which they occurred. In other words, the interaction
between a message and recipient is not a one-off event of communication. New
interpretations help to reconstitute the universe of understanding of the recipients, and
the newly shaped universe of understanding allow recipients to reinterpret the meaning
of the previous message once more. The result of this circularity is a constantly
evolving process of dialogue in which the meaning of both previous message and the
universe of understanding of recipients is altered.
This implies that understanding is always already underway and never completely
finished. For this reason, the understandings of the participants are partial and never
complete, because their horizons are always limited and incomplete, and they exist
inside and not outside dialogue. (Gadamer, 1975: 490-92) Incompleteness of
understanding, however, does not drain the possibility for public communication,
because there is always a difference, which slips away from the comprehension of
participants. Thus, incompleteness becomes a driving force for communication along
with the possibilities of further interpretative efforts at understanding. The
incompleteness and weakness of understanding also make communication exist in flux.
It is this state of flux that makes the interaction of participants multi-sided and
contingent.
Conceptions of Public communication
Public communication, as a necessitated and contingent form of understanding, has
multiple functional and instrumental notions with respect to both its structures and
modes. (Bakhtin, 1997: 125) Functional and instrumental notions of public
communication serve public sphere through the reconciliation of differences, the
promotion of mutual respect, the cooperative pursuit of ends. All these functional and
instrumental notions of public communication depend on the way that dialogue is
structured, or the way that dialogue moves, grows, develops and functions.
Now, the focus will be turned on brief overview three conceptions of communication
based on the way that communication is structured, or the way that dialogue moves,
grows, develops and functions. These are regulative, truth-oriented and storytelling
categories, each of which is informed by different structures and functions of
communication.6
6
There can be more than three type of communication if they are categorized according to the interplay
rationalities of the participants and the goal that they are directed. For example, Walton describes eight type
of communication: Critical discussion, debate, inquiry, negotiation, planning committee, pedagogical,
quarrel and expert consultation. See Walton, 1990: 413. In fact, communication can be divided into more
than eight types, if we consider different criteria for judging various aspects (participation, the use of
language, power relations, creativity) of dialogue. In this context, we can categorize communication as
fictional, open, closed, persuasive, dramatic, elitist, vernacular, verisimilitude, teaching, commentative,
carnivalistic, expository, spontaneous, reasoned, historical, future oriented and momentous and so on.
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Regulative Communication
The regulative communication embodies communicative action systems that are
designed to achieve certain ends such as agreement. Therefore, it is constitutive of
identities, norms and relations between those participated in communicative process. It
has also coordinating character in that it builds shared regulatory norms as to
communicative relations and social practices, which then shapes the basis of
communicative action. Therefore, it establishes operational categories that shift
propositions to the context of regulation. It forms regulation in that produces shared
understanding, common meanings for description of issues and acceptable appropriate
responses. It has functional, coordinative and constitutive categories that are studied by
Jurgen Habermas (Habermas (1984). According to Habermas, communicative action
which consists of the comprehensibility of the utterance, the truth of its propositional
component, the correctness and appropriateness of its performatory component,
authenticity of the speaking subjectinvolves a regulative model to guide
communication, which is oriented toward the formation of a rational consensus and
mutual understanding. (Habermas, 1973: 18) That model governs the interaction of
participants who are capable of speech and action and who can follow validity
conditionality (i.e. comprehensibility, truthfulness, rightness and truthfulness) claims in
order to connect speech acts to mutual understanding and agreements. (Habermas 1991:
58-59 and Bernstein, 1983: 163) This model of communication can be called as
regulative dialogue or what Habermas calls an ideal speech situation. Ideal speech
situation, in turn, point to the notion of mutually recognized a validity claims that are
constitutive for three basic types of speech acts: a claim to truth rose in constantive
speech acts, a claim to normative rightness raised in regulative speech acts, and a claim
to truthfulness rose in expressive speech acts. The three aspects of validity claims,
rightness of normative context, truth claim of evidential basis, truth claim of expression
characterize different categories of a regulation embodied in speech acts. (Habermas
1991: 56-57) This means that regulative dialogue presupposes agreement about
implicitly raised validity claims as background consensus because of common meaning
of a situation. In order for any consensus to be regulative, each of the implicit validity
claims must be acceptable by rational argumentation, open to questioning of
assumptions, addressed by interlocutress free from inequality, coercion, and
domination. (Habermas, 1996c: 161). Rational argumentation is not only central to the
legitimization but also regulative notion of dialogue. Regulation is coming to a
common meaning of a subject or rule.
Focusing on mutually recognized validity claims as basis of regulation in the
sphere of communication creates a situation for strong idealization of agreement in the
communicative situation. More specifically, these validity claims reflect the regulative
functions of speech acts: (a) external nature: the interlocutors must make a true
statement, or make correct truth claims (b) internal nature: interlocutors must be
truthful in expressing their beliefs, intentions, feelings etc. and (c) society: interlocutors
must perform a speech act that is right with respect to a given normative context.
The dialogical processes by which different validity claims of speech acts are brought
to a satisfactory resolution appeals to these three levels to set regulative basis (as
common values, customs, roles and guidelines) for what constitutes the right or
appropriate kind of action. (Held, 1980: 338) Valid are only those norms or procedures
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that meet (or can meet) the goal of common understanding, with the approval of all
affected in their capacity as participants of dialogue. (Habermas, 1996b: 296-99)
Regulative communication, which is oriented to achieving and sustaining,
reviewing consensus, rests on the recognition of two conditions: equality and freedom.
The first is equality. In this context, equality refers the equal rights of participants and
equal respect for personal dignity. (Habermas, 1991: 200) This means that all
participants have an equal voice in the decision-making process for equal consideration
of their interests. All concerned agree upon whatever consensus emerges. The second
condition concerns the freedom of all participants to accept or reject any proposal. Any
proposal to be considered valid must meet the condition that all affected parties can
freely accept the consequences and side effects of the consensus that is implemented.
In essence, this situation means that participants of dialogue should have continuous
mutual reference to an agreed set of rules or meanings in order to strengthen the
regulative quality of that exchange. (Habermas 1991:84-86)
Regulative communication requires coherent, consistent and persuasive arguments
on the part of its participants, who each make his/her own case. The aim here is not to
assess particular propositions simply in terms of whether they are true or false, but to
discuss critically various propositions in order to establish consensus. Regulative
communication represents a reflective rationality or a process of inference. Every
reasoned case can be inferred (i.e., justified or refused) by another reasoned case.
(Habermas, 1996c: 188-189) As a result, the proposal supported by the best arguments
should not only prevail but can give rise to new ones.
Regulative communication has a pragmatist notion of discursive justification. This
idea refers to the moral and political validation of the plurality of claims and
differences among participants. In essence, regulative dialogue does not acknowledge
differences without approving all differences as morally and politically valid.
Regulative communication does not deny our embodied and embedded differences, but
aims at developing moral capabilities and dispositions and encouraging transformations
that can yield a point of view suitable to all. In regulative dialogue, difference serves as
a starting point for reflection and action, but it must be settled rationally. (Habermas,
1996c: 121) Persuasion and agreement are necessary conditions for this settlement.
(Habermas, 1996c: 194-195)
Truth-oriented Communication
It is confrontational communication in that it exposes discrepancies, contradictions,
rifts in meanings and understandings. It contains communicative means (i.e. rhetoric)
to test people and ideas, including ones own ideas. It begins with an interlocutors
claims. Once one interlocutor makes a claim, the other interlocutor tries to elicit further
perspectives and proceeds to show that series of claim are inconsistent and
contradictory. The result of truth-oriented communication, however, is not truth or
definitive conclusions, but a kind of perplexity that allows the rise of new
understanding. Therefore, truth-oriented communication can be described as the joint
undertaking for proposing claims, opposing claims, formulating arguments and putting
forth counter-arguments for discovery of the truth. It is the union of questioning and
answering, which frees one from ones own particular limitations and situations
through the invention, and reinvention of ones self-understanding. Hence, truth-
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throughout their whole way of life. (Bakhtin, 1997: 279) Carnival is the open-ended
dialogue and by its very nature is an interactive live event played out at a point of
dialogical meeting among multiple actions. In this sense, it is promotes a type of
freedom. In promoting a sense of freedom, liberation, and creativity, carnivals
celebratory dialogue satirically and paradoxically undermined the formal, the abstract,
the ideological, and the spiritual and released people temporarily from official
restraints. In giving expression to the world turned upside down theme of celebratory
dialogue, participants engaged in many forms of criticism in erasing old hierarchies,
producing new equalities. It has been noted. (Bakhtin, 1984: 10) that the erase of
hierarchy had especially profound effects, as it allowed free and familiar contact
between people otherwise completely separated by social designation.
[S]uch free, familiar contacts were deeply felt and formed an essential element of
the life of the carnival spirit. People were, so to speak, reborn for new, purely human
relations. These truly human relations were not only a fruit of imagination or abstract
thought; they were experienced. The utopian ideal and the realistic merged in this
carnival experience, unique of its kind.
Bakhtin elucidates the significance of carnival to illuminate the celebratory public
communication not as dyadic, much less a binary phenomenon but as a manifold
phenomenon that allows for unusual combinations: the sacred with the profane, the
lofty with the low, the great with the insignificant, and the wise with the stupid.
Bakhtin (1997:132) suggest: Folk-carnival debates between life and death, darkness
and light, winter and summer, etc., permeated with the pathos of change and the joyful
relativity of all things, debates which did not permit thought to stop and congeal in a
one-sided seriousness or in a stupid fetish for definition or singleness of meaning.
In this context, celebratory public communication represents a way of challenging
hierarchies existing in religious, political, and moral values, norms, and prohibitions. It
brings a critical sprit, instead of strictly maintained hierarchy of official culture. It tries
to reflect absolute equality and means for promoting empathy and understanding
among the diversity of voices. It is a mode of mutual examination, a therapeutic
engagement of self- and other-exploration; and a basis for shaping uncoerced social
and political conditions for freeing human consciousness, thought, and imagination for
new potentialities. (Bakhtin, 1984: 10) It prepares the way for social political and
cultural change without creating divisions between performers and spectators because
its participants do not watch but live in it. (Bakhtin, 1997: 122 and 1984: 7) It creates
change not with mechanical or rhetorical use of language but through parody and
satire. Therefore, it is language free from a presupposed truthfulness of values. It does
not distinguish between virtues and vice. Its discourses are comprised of contrastsof
virtues and non-virtues that are both free and enslaved. It does not have end but it is
end in itself. It defies the sources of power by ridiculing truths and teasing authorities,
and in such a way makes the political life closer and more familiar while it shakes
conventions of social life.
It has indirect, ironic language use and discourse that combines the new with the
old, death with birth; end with beginning. (Bakhtin, 1981: 75) Its indirect discourse is
double-voiced, at least insofar as one discourse represents anothers discourse with two
or more different response. Embracing double voicedness, celebratory dialogue resides
in a system of multiplicity in which a meaning simultaneously stands two different, and
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single overarching sphere. For these theories, single overarching sphere is better for
coordinated communicative action (ideal speech situation) and consensus building.
These theories also suggest that public communication in public sphere should be
confined to persuasive argumentation about common interest. Other sets of theories
hold that public sphere can better be envisaged of as a plurality of overlapping,
intersecting, and competing communicative spaces. These groups of theory argue that
since one cannot presume common interest in advance of public communication that
occurs in the realm of public sphere. One should not restrict the end of public sphere
with preconceived goals. They argue that end-oriented theories minimize the function
of public sphere in political society because they structure public sphere solely for the
purpose of structuring it. If public sphere is to be fully open and free for participation
of people then the end of the public sphere must be an end in itself.
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