Francis Fukuyama (1992)
Source: The End of History and the Last Man (1992), publ. Penguin.
Just the Introduction reproduced here;
Transcribed: by Andy Blunden in 1998, proofed and corrected February 2005.
The distant origins of the present volume lie in an article entitled “The End of History?” which I wrote for the journal The National Interest in the summer of 1989. In it, I argued that a remarkable consensus concerning the legitimacy of liberal democracy as a system of government had emerged throughout the world over the past few years, as it conquered rival ideologies like hereditary monarchy, fascism, and most recently communism. More than that, however, I argued that liberal democracy may constitute the “end point of mankind’s ideological evolution” and the “final form of human government,” and as such constituted the “end of history.” That is, while earlier forms of government were characterised by grave defects and irrationalities that led to their eventual collapse, liberal democracy was arguably free from such fundamental internal contradictions. This was not to say that today’s stable democracies, like the United States, France, or Switzerland, were not without injustice or serious social problems. But these problems were ones of incomplete implementation of the twin principles of liberty and equality on which modern democracy is founded, rather than of flaws in the principles themselves. While some present-day countries might fail to achieve stable liberal democracy, and others might lapse back into other, more primitive forms of rule like theocracy or military dictatorship, the ideal of liberal democracy could not be improved on.
The original article excited an extraordinary amount of commentary and controversy, first in the United States, and then in a series of countries as different as England, France, Italy, the Soviet Union, Brazil, South Africa, Japan, and South Korea. Criticism took every conceivable form, some of it based on simple misunderstanding of my original intent, and others penetrating more perceptively to the core of my argument. Many people were confused in the first instance by my use of the word “history.” Understanding history in a conventional sense as the occurrence of events, people pointed to the fall of the Berlin Wall, the Chinese communist crackdown in Tiananmen Square, and the Iraqi invasion of Kuwait as evidence that “history was continuing,” and that I was ipso facto proven wrong.
And yet what I suggested had come to an end was not the occurrence of events, even large and grave events, but History: that is, history understood as a single, coherent, evolutionary process, when taking into account the experience of all peoples in all times. This understanding of History was most closely associated with the great German philosopher G. W. F. Hegel. It was made part of our daily intellectual atmosphere by Karl Marx, who borrowed this concept of History from Hegel, and is implicit in our use of words like “primitive” or “advanced,” “traditional” or “modern,” when referring to different types of human societies. For both of these thinkers, there was a coherent development of human societies from simple tribal ones based on slavery and subsistence agriculture, through various theocracies, monarchies, and feudal aristocracies, up through modern liberal democracy and technologically driven capitalism. This evolutionary process was neither random nor unintelligible, even if it did not proceed in a straight line, and even if it was possible to question whether man was happier or better off as a result of historical “progress.”
Both Hegel and Marx believed that the evolution of human societies was not open-ended, but would end when mankind had achieved a form of society that satisfied its deepest and most fundamental longings. Both thinkers thus posited an “end of history”: for Hegel this was the liberal state, while for Marx it was a communist society. This did not mean that the natural cycle of birth, life, and death would end, that important events would no longer happen, or that newspapers reporting them would cease to be published. It meant, rather, that there would be no further progress in the development of underlying principles and institutions, because all of the really big questions had been settled.
The present book is not a restatement of my original article, nor is it an effort to continue the discussion with that article’s many critics and commentators. Least of all is it an account of the end of the Cold War, or any other pressing topic in contemporary politics. While this book is informed by recent world events, its subject returns to a very old question: Whether, at the end of the twentieth century, it makes sense for us once again to speak of a coherent and directional History of mankind that will eventually lead the greater part of humanity to liberal democracy? The answer I arrive at is yes, for two separate reasons. One has to do with economics, and the other has to do with what is termed the “struggle for recognition.”
It is of course not sufficient to appeal to the authority of Hegel, Marx, or any of their contemporary followers to establish the validity of a directional History. In the century and a half since they wrote, their intellectual legacy has been relentlessly assaulted from all directions. The most profound thinkers of the twentieth century have directly attacked the idea that history is a coherent or intelligible process; indeed, they have denied the possibility that any aspect of human life is philosophically intelligible. We in the West have become thoroughly pessimistic with regard to the possibility of overall progress in democratic institutions. This profound pessimism is not accidental, but born of the truly terrible political events of the first half of the twentieth century – two destructive world wars, the rise of totalitarian ideologies, and the turning of science against man in the form of nuclear weapons and environmental damage. The life experiences of the victims of this past century’s political violence – from the survivors of Hitlerism and Stalinism to the victims of Pol Pot – would deny that there has been such a thing as historical progress. Indeed, we have become so accustomed by now to expect that the future will contain bad news with respect to the health and security of decent, liberal, democratic political practices that we have problems recognising good news when it comes.
And yet, good news has come. The most remarkable development of the last quarter of the twentieth century has been the revelation of enormous weaknesses at the core of the world’s seemingly strong dictatorships, whether they be of the military-authoritarian Right, or the communist-totalitarian Left. From Latin America to Eastern Europe, from the Soviet Union to the Middle East and Asia, strong governments have been failing over the last two decades. And while they have not given way in all cases to stable liberal democracies, liberal democracy remains the only coherent political aspiration that spans different regions and cultures around the globe. In addition, liberal principles in economics – the “free market” – have spread, and have succeeded in producing unprecedented levels of material prosperity, both in industrially developed countries and in countries that had been, at the close of World War II, part of the impoverished Third World. A liberal revolution in economic thinking has sometimes preceded, sometimes followed, the move toward political freedom around the globe.
All of these developments, so much at odds with the terrible history of the first half of the century when totalitarian governments of the Right and Left were on the march, suggest the need to look again at the question of whether there is some deeper connecting thread underlying them, or whether they are merely accidental instances of good luck. By raising once again the question of whether there is such a thing as a Universal History of mankind, I am resuming a discussion that was begun in the early nineteenth century, but more or less abandoned in our time because of the enormity of events that mankind has experienced since then. While drawing on the ideas of philosophers like Kant and Hegel who have addressed this question before, I hope that the arguments presented here will stand on their own.
This volume immodestly presents not one but two separate efforts to outline such a Universal History. After establishing in Part I why we need to raise once again the possibility of Universal History, I propose an initial answer in Part II by attempting to use modern natural science as a regulator or mechanism to explain the directionality and coherence of History. Modern natural science is a useful starting point because it is the only important social activity that by common consensus is both cumulative and directional, even if its ultimate impact on human happiness is ambiguous. The progressive conquest of nature made possible with the development of the scientific method in the sixteenth and seventeenth centuries has proceeded according to certain definite rules laid down not by man, but by nature and nature’s laws.
The unfolding of modern natural science has had a uniform effect on all societies that have experienced it, for two reasons. In the first place, technology confers decisive military advantages on those countries that possess it, and given the continuing possibility of war in the international system of states, no state that values its independence can ignore the need for defensive modernisation. Second, modern natural science establishes a uniform horizon of economic production possibilities. Technology makes possible the limitless accumulation of wealth, and thus the satisfaction of an ever-expanding set of human desires. This process guarantees an increasing homogenisation of all human societies, regardless of their historical origins or cultural inheritances. All countries undergoing economic modernisation must increasingly resemble one another: they must unify nationally on the basis of a centralised state, urbanise, replace traditional forms of social organisation like tribe, sect, and family with economically rational ones based on function and efficiency, and provide for the universal education of their citizens. Such societies have become increasingly linked with one another through global markets and the spread of a universal consumer culture. Moreover, the logic of modern natural science would seem to dictate a universal evolution in the direction of capitalism. The experiences of the Soviet Union, China, and other socialist countries indicate that while highly centralised economies are sufficient to reach the level of industrialisation represented by Europe in the 1950s, they are woefully inadequate in creating what have been termed complex “post-industrial” economies in which information and technological innovation play a much larger role.
But while the historical mechanism represented by modern natural science is sufficient to explain a great deal about the character of historical change and the growing uniformity of modern societies, it is not sufficient to account for the phenomenon of democracy. There is no question but that the world’s most developed countries are also its most successful democracies. But while modern natural science guides us to the gates of the Promised Land of liberal democracy, it does not deliver us to the Promised Land itself, for there is no economically necessary reason why advanced industrialisation should produce political liberty. Stable democracy has at times emerged in pre-industrial societies, as it did in the United States in 1776. On the other hand, there are many historical and contemporary examples of technologically advanced capitalism coexisting with political authoritarianism from Meiji Japan and Bismarckian Germany to present-day Singapore and Thailand. In many cases, authoritarian states are capable of producing rates of economic growth unachievable in democratic societies.
Our first effort to establish the basis for a directional history is thus only partly successful. What we have called the “logic of modern natural science” is in effect an economic interpretation of historical change, but one which (unlike its Marxist variant) leads to capitalism rather than socialism as its final result. The logic of modern science can explain a great deal about our world: why we residents of developed democracies are office workers rather than peasants eking out a living on the land, why we are members of labor unions or professional organisations rather than tribes or clans, why we obey the authority of a bureaucratic superior rather than a priest, why we are literate and speak a common national language.
But economic interpretations of history are incomplete and unsatisfying, because man is not simply an economic animal. In particular, such interpretations cannot really explain why we are democrats, that is, proponents of the principle of popular sovereignty and the guarantee of basic rights under a rule of law. It is for this reason that the book turns to a second, parallel account of the historical process in Part III, an account that seeks to recover the whole of man and not just his economic side. To do this, we return to Hegel and Hegel’s non-materialist account of History, based on the “struggle for recognition.”
According to Hegel, human beings like animals have natural needs and desires for objects outside themselves such as food, drink, shelter, and above all the preservation of their own bodies. Man differs fundamentally from the animals, however, because in addition he desires the desire of other men, that is, he wants to be “recognised.” In particular, he wants to be recognised as a human being, that is, as a being with a certain worth or dignity. This worth in the first instance is related to his willingness to risk his life in a struggle over pure prestige. For only man is able to overcome his most basic animal instincts – chief among them his instinct for self-preservation – for the sake of higher, abstract principles and goals. According to Hegel, the desire for recognition initially drives two primordial combatants to seek to make the other “recognise” their humanness by staking their lives in a mortal battle. When the natural fear of death leads one combatant to submit, the relationship of master and slave is born. The stakes in this bloody battle at the beginning of history are not food, shelter, or security, but pure prestige. And precisely because the goal of the battle is not determined by biology, Hegel sees in it the first glimmer of human freedom.
The desire for recognition may at first appear to be an unfamiliar concept, but it is as old as the tradition of Western political philosophy, and constitutes a thoroughly familiar part of the human personality. It was first described by Plato in the Republic, when he noted that there were three parts to the soul, a desiring part, a reasoning part, and a part that he called thymos, or “spiritedness.” Much of human behaviour can be explained as a combination of the first two parts, desire and reason: desire induces men to seek things outside themselves, while reason or calculation shows them the best way to get them. But in addition, human beings seek recognition of their own worth, or of the people, things, or principles that they invest with worth. The propensity to invest the self with a certain value, and to demand recognition for that value, is what in today’s popular language we would call “self-esteem.” The propensity to feel self-esteem arises out of the part of the soul called thymos. It is like an innate human sense of justice. People believe that they have a certain worth, and when other people treat them as though they are worth less than that, they experience the emotion of anger. Conversely, when people fail to live up to their own sense of worth, they feel shame, and when they are evaluated correctly in proportion to their worth, they feel pride. The desire for recognition, and the accompanying emotions of anger, shame, and pride, are parts of the human personality critical to political life. According to Hegel, they are what drives the whole historical process.
By Hegel’s account, the desire to be recognised as a human being with dignity drove man at the beginning of history into a bloody battle to the death for prestige. The outcome of this battle was a division of human society into a class of masters, who were willing to risk their lives, and a class of slaves, who gave in to their natural fear of death. But the relationship of lordship and bondage, which took a wide variety of forms in all of the unequal, aristocratic societies that have characterised the greater part of human history, failed ultimately to satisfy the desire for recognition of either the masters or the slaves. The slave, of course, was not acknowledged as a human being in any way whatsoever. But the recognition enjoyed by the master was deficient as well, because he was not recognised by other masters, but slaves whose humanity was as yet incomplete. Dissatisfaction with the flawed recognition available in aristocratic societies constituted a “contradiction” that engendered further stages of history.
Hegel believed that the “contradiction” inherent in the relationship of lordship and bondage was finally overcome as a result of the French and, one would have to add, American revolutions. These democratic revolutions abolished the distinction between master and slave by making the former slaves their own masters and by establishing the principles of popular sovereignty and the rule of law. The inherently unequal recognition of masters and slaves is replaced by universal and reciprocal recognition, where every citizen recognises the dignity and humanity of every other citizen, and where that dignity is recognised in turn by the state through the granting of rights.
This Hegelian understanding of the meaning of contemporary liberal democracy differs in a significant way from the Anglo-Saxon understanding that was the theoretical basis of liberalism in countries like Britain and the United States. In that tradition, the prideful quest for recognition was to be subordinated to enlightened self-interest – desire combined with reason – and particularly the desire for self-preservation of the body. While Hobbes, Locke, and the American Founding Fathers like Jefferson and Madison believed that rights to a large extent existed as a means of preserving a private sphere where men can enrich themselves and satisfy the desiring parts of their souls, Hegel saw rights as ends in themselves, because what truly satisfies human beings is not so much material prosperity as recognition of their status and dignity. With the American and French revolutions, Hegel asserted that history comes to an end because the longing that had driven the historical process – the struggle for recognition – has now been satisfied in a society characterised by universal and reciprocal recognition. No other arrangement of human social institutions is better able to satisfy this longing, and hence no further progressive historical change is possible.
The desire for recognition, then, can provide the missing link between liberal economics and liberal politics that was missing from the economic account of History in Part II. Desire and reason are together sufficient to explain the process of industrialisation, and a large part of economic life more generally. But they cannot explain the striving for liberal democracy, which ultimately arises out of thymos, the part of the soul that demands recognition. The social changes that accompany advanced industrialisation, in particular universal education, appear to liberate a certain demand for recognition that did not exist among poorer and less educated people. As standards of living increase, as populations become more cosmopolitan and better educated, and as society as a whole achieves a greater equality of condition, people begin to demand not simply more wealth but recognition of their status. If people were nothing more than desire and reason, they would be content to live in market-oriented authoritarian states like Franco’s Spain, or a South Korea or Brazil under military rule. But they also have a thymotic pride in their own self-worth, and this leads them to demand democratic governments that treat them like adults rather than children, recognising their autonomy as free individuals. Communism is being superseded by liberal democracy in our time because of the realisation that the former provides a gravely defective form of recognition.
An understanding of the importance of the desire for recognition as the motor of history allows us to reinterpret many phenomena that are otherwise seemingly familiar to us, such as culture, religion, work, nationalism, and war. Part IV is an attempt to do precisely this, and to project into the future some of the different ways that the desire for recognition will be manifest. A religious believer, for example, seeks recognition for his particular gods or sacred practices, while a nationalist demands recognition for his particular linguistic, cultural, or ethnic group. Both of these forms of recognition are less rational than the universal recognition of the liberal state, because they are based on arbitrary distinctions between sacred and profane, or between human social groups. For this reason, religion, nationalism, and a people’s complex of ethical habits and customs (more broadly “culture”) have traditionally been interpreted as obstacles to the establishment of successful democratic political institutions and free-market economies.
But the truth is considerably more complicated, for the success of liberal politics and liberal economics frequently rests on irrational forms of recognition that liberalism was supposed to overcome. For democracy to work, citizens need to develop an irrational pride in their own democratic institutions, and must also develop what Tocqueville called the “art of associating,” which rests on prideful attachment to small communities. These communities are frequently based on religion, ethnicity, or other forms of recognition that fall short of the universal recognition on which the liberal state is based. The same is true for liberal economics. Labor has traditionally been understood in the Western liberal economic tradition as an essentially unpleasant activity undertaken for the sake of the satisfaction of human desires and the relief of human pain. But in certain cultures with a strong work ethic, such as that of the Protestant entrepreneurs who created European capitalism, or of the elites who modernised Japan after the Meiji restoration, work was also undertaken for the sake of recognition. To this day, the work ethic in many Asian countries is sustained not so much by material incentives, as by the recognition provided for work by overlapping social groups, from the family to the nation, on which these societies are based. This suggests that liberal economics succeeds not simply on the basis of liberal principles, but requires irrational forms of thymos as well.
The struggle for recognition provides us with insight into the nature of international politics. The desire for recognition that led to the original bloody battle for prestige between two individual combatants leads logically to imperialism and world empire. The relationship of lordship and bondage on a domestic level is naturally replicated on the level of states, where nations as a whole seek recognition and enter into bloody battles for supremacy. Nationalism, a modern yet not-fully-rational form of recognition, has been the vehicle for the struggle for recognition over the past hundred years, and the source of this century’s most intense conflicts. This is the world of “power politics,” described by such foreign policy “realists” as Henry Kissinger.
But if war is fundamentally driven by the desire for recognition, it stands to reason that the liberal revolution which abolishes the relationship of lordship and bondage by making former slaves their own masters should have a similar effect on the relationship between states. Liberal democracy replaces the irrational desire to be recognised as greater than others with a rational desire to be recognised as equal. A world made up of liberal democracies, then, should have much less incentive for war, since all nations would reciprocally recognise one another’s legitimacy. And indeed, there is substantial empirical evidence from the past couple of hundred years that liberal democracies do not behave imperialistically toward one another, even if they are perfectly capable of going to war with states that are not democracies and do not share their fundamental values. Nationalism is currently on the rise in regions like Eastern Europe and the Soviet Union where peoples have long been denied their national identities, and yet within the world’s oldest and most secure nationalities, nationalism is undergoing a process of change. The demand for national recognition in Western Europe has been domesticated and made compatible with universal recognition, much like religion three or four centuries before.
The fifth and final part of this book addresses the question of the “end of history,” and the creature who emerges at the end, the “last man.” In the course of the original debate over the National Interest article, many people assumed that the possibility of the end of history revolved around the question of whether there were viable alternatives to liberal democracy visible in the world today. There was a great deal of controversy over such questions as whether communism was truly dead, whether religion or ultranationalism might make a comeback, and the like. But the deeper and more profound question concerns the goodness of Liberal democracy itself, and not only whether it will succeed against its present-day rivals. Assuming that liberal democracy is, for the moment, safe from external enemies, could we assume that successful democratic societies could remain that way indefinitely? Or is liberal democracy prey to serious internal contradictions, contradictions so serious that they will eventually undermine it as a political system? There is no doubt that contemporary democracies face any number of serious problems, from drugs, homelessness and crime to environmental damage and the frivolity of consumerism. But these problems are not obviously insoluble on the basis of liberal principles, nor so serious that they would necessarily lead to the collapse of society as a whole, as communism collapsed in the 1980s.
Writing in the twentieth century, Hegel’s great interpreter, Alexandre Kojève, asserted intransigently that history had ended because what he called the “universal and homogeneous state” – what we can understand as liberal democracy – definitely solved the question of recognition by replacing the relationship of lordship and bondage with universal and equal recognition. What man had been seeking throughout the course of history – what had driven the prior “stages of history” – was recognition. In the modern world, he finally found it, and was “completely satisfied.” This claim was made seriously by Kojève, and it deserves to be taken seriously by us. For it is possible to understand the problem of politics over the millennia of human history as the effort to solve the problem of recognition. Recognition is the central problem of politics because it is the origin of tyranny, imperialism, and the desire to dominate. But while it has a dark side, it cannot simply be abolished from political life, because it is simultaneously the psychological ground for political virtues like courage, public-spiritedness, and justice. All political communities must make use of the desire for recognition, while at the same time protecting themselves from its destructive effects. If contemporary constitutional government has indeed found a formula whereby all are recognised in a way that nonetheless avoids the emergence of tyranny, then it would indeed have a special claim to stability and longevity among the regimes that have emerged on earth.
But is the recognition available to citizens of contemporary liberal democracies “completely satisfying?” The long-term future of liberal democracy, and the alternatives to it that may one day arise, depend above all on the answer to this question. In Part V we sketch two broad responses, from the Left and the Right, respectively. The Left would say that universal recognition in liberal democracy is necessarily incomplete because capitalism creates economic inequality and requires a division of labor that ipso facto implies unequal recognition. In this respect, a nation’s absolute level of prosperity provides no solution, because there will continue to be those who are relatively poor and therefore invisible as human beings to their fellow citizens. Liberal democracy, in other words, continues to recognise equal people unequally.
The second, and in my view more powerful, criticism of universal recognition comes from the Right that was profoundly concerned with the leveling effects of the French Revolution’s commitment to human equality. This Right found its most brilliant spokesman in the philosopher Friedrich Nietzsche, whose views were in some respects anticipated by that great observer of democratic societies, Alexis de Tocqueville. Nietzsche believed that modern democracy represented not the self-mastery of former slaves, but the unconditional victory of the slave and a kind of slavish morality. The typical citizen of a liberal democracy was a “last man” who, schooled by the founders of modern liberalism, gave up prideful belief in his or her own superior worth in favour of comfortable self-preservation. Liberal democracy produced “men without chests,” composed of desire and reason but lacking thymos, clever at finding new ways to satisfy a host of petty wants through the calculation of long-term self-interest. The last man had no desire to be recognised as greater than others, and without such desire no excellence or achievement was possible. Content with his happiness and unable to feel any sense of shame for being unable to rise above those wants, the last man ceased to be human.
Following Nietzsche’s line of thought, we are compelled to ask the following questions: Is not the man who is completely satisfied by nothing more than universal and equal recognition something less than a full human being, indeed, an object of contempt, a “last man” with neither striving nor aspiration? Is there not a side of the human personality that deliberately seeks out struggle, danger, risk, and daring, and will this side not remain unfulfilled by the “peace and prosperity” of contemporary liberal democracy? Does not the satisfaction of certain human beings depend on recognition that is inherently unequal? Indeed, does not the desire for unequal recognition constitute the basis of a livable life, not just for bygone aristocratic societies, but also in modern liberal democracies? Will not their future survival depend, to some extent, on the degree to which their citizens seek to be recognised not just as equal, but as superior to others? And might not the fear of becoming contemptible “last men” not lead men to assert themselves in new and unforeseen ways, even to the point of becoming once again bestial “first men” engaged in bloody prestige battles, this time with modern weapons?
This books seeks to address these questions. They arise naturally once we ask whether there is such a thing as progress, and whether we can construct a coherent and directional Universal History of mankind. Totalitarianisms of the Right and Left have kept us too busy to consider the latter question seriously for the better part of this century. But the fading of these totalitarianisms, as the century comes to an end, invites us to raise this old question one more time.
Hegel | Master-Servant Relation | Hegel on Recognition | Kojève | Kant | Nietzsche
de Beauvoir on Master-Servant | Axel Honneth on Struggle for Recognition | Fukuyama on Trust and Recognition