![Chapter 2
Norms, Competition, and Visibility
in Contemporary Science: The Legacy
of Robert K. Merton
Massimiano Bucchi
Introduction
While numerous scholars have long recognized Robert K. Merton (1910–2003) as
one of the key figures of twentieth century sociology,1
his specific influence upon
sociological reflections concerning science has not always received equal recogni-
tion. Nevertheless, an interest in the analysis of scientific institutions and their
relationship with society lasted throughout Merton’s entire career, from his doctoral
studies to his last published work, the long afterword to The Travels and Adventures
of Serendipity (Merton and Barber 2004).
One of his earliest publications, in fact, was a review of Usher’s History of
Mechanical Invention, published by the historian of science George Sarton in Isis,
the journal which he edited. Besides Merton’s relationship with his tutor Sorokin, his
intellectual maturation at Harvard was marked by his attendance at Whitehead’s
course of lectures on the philosophy of science and those by the entomologist
Morton Wheeler, who taught a curious course on ‘comparative animal sociology’
(Storer 1973: xiv).
It would be myopic to dismiss this strand of ‘studies in science’ as a minor part of
Merton’s oeuvre. Merton’s sociological investigations into science repeatedly
intersected with some of his most central and best-known analyses: from those on
influence processes to those on deviance, from his concern with ‘unintentional
effects’ (which related to his specific interest in scientific serendipity2
), to his
M. Bucchi (*)
Università di Trento, Trento, Italy
e-mail: massimiano.bucchi@unitn.it
1
Among the most recent works devoted to Merton’s oeuvre see, for example, the volume edited by
Calhoun (2010).
2
Merton co-authored, with Elinor Barber, an entire book devoted to the historical vicissitudes of the
concept of serendipity: [. . .] if serendipity was originally coined to mean a quality of the actor in a
© Springer Nature Switzerland AG 2021
A. Delicado et al. (eds.), Communicating Science and Technology in Society,
https://doi.org/10.1007/978-3-030-52885-0_2
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![Cordially refer their Attainments to the glory of the Great Author of Nature, and to the
Comfort of Mankind (quot. in Merton 1938, repr. 1973: 234).3
Besides examination of the specific linkage between Puritanism and science,
Merton’s concern was to show that the institutionalization of science and the social
codification of the scientist’s role presupposed not only a series of distinct methods
and activities but also a set of social factors: that is, values and norms that configured
science as a social subsystem related to the rest of society but at the same time
endowed with its own autonomy. According to Merton, the study of these factors,
and therefore of the relationship between science and society, required a specific
branch of sociology: namely the sociology of science.
This stance found its most significant—or at least best known—expression in the
description of the ‘normative structure of science’. What values and norms of
behaviour, enquired Merton, ensure the functioning of science? His answer to this
question centred on four ‘institutional imperatives’ (Merton 1973b [1942]):
1. Universalism. Scientific claims and results are to be judged regardless of the
characteristics, such as class, race, or religion, of their proponents. Scientists are
to be rewarded solely on the basis of their results.
2. Communism. Results and discoveries are not the property of the individual
researcher. Rather, they belong to the scientific community and society as a
whole. This imperative is grounded on the assumption that knowledge is the
product of a collective and cumulative effort by the scientific community. Scien-
tists do not gain recognition for their work unless they render it public and thus
make it available to others.
3. Disinterestedness. Every researcher pursues the primary goal of the advancement
of knowledge, indirectly gaining personal recognition.
4. Organized scepticism. Researchers must be willing to subject all findings, includ-
ing their own, to critical appraisal, suspending definitive judgement until the
necessary proof has been obtained.
In enunciating these principles, Merton repeatedly emphasized the fact that they
should be considered valid from the institutional point of view, not from that of the
scientist’s individual motivations. In other words, he did not ingenuously assume
that scientists possess a moral stature superior to that of other professionals merely
because they are scientists. However, he believed that the functionality of these
norms with respect to the subsystem ‘science’ was demonstrated by the criticisms
and sanctions that the scientific community applied to those who breach them. The
existence of ‘deviant’ behaviour does not argue against those imperatives as such,
just as a theft does not question the recognized value of private property. After all, if
everybody complied with the norms, they would not be necessary.
Numerous criticisms have been brought against this aspect of Merton’s analysis
of science. His critics consider it paradigmatic of a traditionalist stance that the
3
Merton quotes this passage from G. Burnet, A Funeral Sermon Preached at the Funeral of the
Honourable Robert Boyle London, 1692, p. 25.
2 Norms, Competition, and Visibility in Contemporary Science: The Legacy of. . . 19](https://image.slidesharecdn.com/88271-250312013914-e879dc6b/85/Communicating-Science-and-Technology-in-Society-Issues-of-Public-Accountability-and-Engagement-Ana-Delicado-31-320.jpg)
![sociological analysis of science must supersede, and they claim that Merton’s
description of the normative structure of science is an idealization more prescriptive
than descriptive. Like certain philosophers of science, it is alleged, Merton described
how science should work, rather than how it actually does.4
A series of case studies
have subsequently sought to show, for example, the discrepancy between Merton’s
theory and the genuine behaviour of scientists (Barnes and Dolby 1970).
Yet, Merton himself subsequently revised his original formulation. He did this by
developing the concept of ‘sociological ambivalence’ to describe the situation of
particular social actors, including scientists, when called upon to handle conflicts
among different values, norms, and roles (Merton 1973c [1963]). In the early 1970s,
various studies sought to show that this ambivalence engendered a ‘dynamic alter-
nation of norms and counter-norms’ (Merton and Barber 1963: 104). The institu-
tional imperatives enunciated by Merton, in fact, were matched by counter-norms
such as ‘particularism, interestedness and organized dogmatism’ (Mitroff 1974). The
scientists interviewed by Mitroff attributed to themselves and their colleagues a
reluctance to make certain aspects of their research public: attachment to their own
hypotheses and an unwillingness to abandon them in the presence of contrary data
and a tendency to judge results or claims on the basis of the social characteristics
(nationality, academic position) of the scientists propounding them. However, as the
interviewees themselves recognized, these counter-norms may fulfil functions that
are beneficial to science. Taking into account the personal characteristics of
researchers, for example, may save time by focusing attention on the work of
scientists who offer greater guarantees of reliability. Adherence to one’s own
hypotheses may prevent the premature abandonment of lines of inquiry that may
prove fruitful—however indirectly—in the long term. Finally, the counter-norm of
‘secrecy’ may prevent the scientific community from being constantly paralyzed by
disputes over priority, or by pressures applied by the state and public opinion.
Of course, it is difficult to claim that either Merton’s imperatives or the specular
counter-norms identified by Mitroff accurately describe the concrete behaviour of
every scientist. Ben-David (1991) put the question in terms of the context of
scientific debate, arguing that disruptive situations such as controversies may lead
to detachment from the scientific ethos, with scientists ‘willing to transgress practi-
cally all the norms enumerated by Merton’ (p. 480). A further possibility is to
consider both norms and counter-norms as flexible ‘ideological-rhetorical’ reper-
toires that scientists can draw upon according to the situation in order to give sense to
their actions and justify them to colleagues, policy-makers, and public opinion
(Mulkay 1979). For instance, in certain circumstances, secrecy may be condemned
as misconduct toward one’s colleagues; in others, it may be justified by the need to
verify one’s results more carefully before making them public. The presentation of a
4
To understand this insistence upon norms as functional imperatives and, therefore, on science’s
capacity for self-regulation, one should remember that Merton first dealt with this topic during the
Second World War, at a time when the crucial attributes of science in a democratic society seemed
to be its autonomy and its capacity to resist political, economic, or religious pressures. This point is
also acknowledged by some of Merton’s critics, including Bourdieu (2004 [2001]).
20 M. Bucchi](https://image.slidesharecdn.com/88271-250312013914-e879dc6b/85/Communicating-Science-and-Technology-in-Society-Issues-of-Public-Accountability-and-Engagement-Ana-Delicado-32-320.jpg)
![repay the toil of an ascent. The mountain is of granite rock, like all others in this
country, but thickly wooded almost to the summit, and you come out quite
suddenly on the bare point before alluded to, so much resembling a pulpit. In
consequence of the tortuous formation of the streets, constructed round the base
of the hills, it is difficult to get more than a bird's-eye view of the city, on ground
made by encroachment on the sea; consequently, the streets are low, without
drainage, and in several of the back ones the water collects and stagnates, to the
great detriment of health and comfort. Rio itself is a bad copy of Lisbon—streets at
right angles, a large square facing the sea, and the suburbs extending up the hills
which everywhere meet your eye. In Lisbon the streets are tolerably wide, but
here they have built them so miserably narrow, that scarcely even one carriage
can pass through, much less pass each other; and it is evident that such vehicles
were never contemplated in the original formation of these streets. The only way
of getting over the difficulty is for carriages coming into the city to take one line of
streets, and those leaving it another, which they do, excluding omnibuses
altogether from the principal thoroughfares. Improvements in this way were what
I found most backward; indeed there was a marked falling-off in such respect
since I was last here, and there seems a great want of municipal government.[2]
In many places the pavement is execrable, and generally very bad, the difficulty
having been probably increased by laying down mains for water and gas, the latter
now in process of execution, and also to heavy rains having washed away many
parts of the road, and otherwise caused much damage. Once this troublesome job
is got through, it is to be hoped that some effective measures will be taken to put
the streets and branch roads in order; otherwise they will soon be rendered
impassable. Coach and coach-spring making must be thriving trades here,
especially with the immense increase that has taken place in the number of
carriages and omnibuses; and it is really wonderful how they stand the continual
shocks they have to endure.[3] Government seems at last alive to the absolute
necessity of doing something to improve the sanitary condition of the city, and
also its internal organization, as they have lately got out some good practical
English engineers, who I have no doubt will suggest an effective mode of dealing
with present difficulties. If they do not adopt decisive measures the rate of
mortality may be expected to augment fearfully in a dense population of 300,000
to 400,000 inhabitants, huddled together in some 15,000 houses, surrounded by
impurities of every kind, not the least being the stagnant water in the streets. No
exact census has ever been taken of the population of Rio Janeiro, which is
generally believed to be between the two figures above given. There is a
migratory population, but the accumulation of humanity of every race and colour,
contained in some of the large dwelling-houses, is something extraordinary. As
before observed, nature has done much for this country, and if the natural facilities
of Rio Janeiro were properly availed of, and local improvements carried out with
energy and spirit, it might be rendered one of the finest and most luxuriant places
within the tropics.[4] The opportunity is now open to them; the Government](https://image.slidesharecdn.com/88271-250312013914-e879dc6b/85/Communicating-Science-and-Technology-in-Society-Issues-of-Public-Accountability-and-Engagement-Ana-Delicado-36-320.jpg)
![looking well, but thinner than when I last saw him, fifteen years
since. The Palace is well situated, on a rising ground, with a good
prospect, and appears to be comfortable enough, but without any
gorgeous display. The Court is very simple in its habits, and the
democratic tendencies of the people render access to it
comparatively easy.
With regard to politics, the Government has generally an opposition
party to contend with, both in the Chamber and in the Senate, but
without impeding the regular proceedings of these bodies, which, on
the whole, are conducted with great decorum, and the speeches are
very fully and fairly reported,[5]
occupying whole pages of the daily
papers. The Jornal do Commercio still stands pre-eminent in the Rio
press—as the Times, in fact, of the Brazilian Empire.
The political discussions in the press, which are perfectly free, are
often pursued with considerable acrimony. At the same time there is
a degree of reticence observable which some of our newspaper
writers would do well to imitate. Brazil does not lack parliamentary
orators or able statesmen, but public business is trammelled with too
much of red tapery as at home. The current of popular feeling does
not run very deep from the fact that the bulk of the community are
too much absorbed in their business occupations to leave them
much time for political discussions, to which a large portion of
Englishmen devote themselves because they have little else to do. It
must not, however, be inferred from this remark that Brazilians are
indifferent to what passes inside the walls of the Senate or of the
Chamber. The support the Government has received in carrying on a
long and costly war proves that the honour and well-being of the
Empire is as dear to them as to the most patriotic people.
I am glad to have to record the abolition of passports in Brazil unless
specially asked for. I had occasion to notice the inconvenience
caused on a late trip to the River Plate, and it is gratifying to see
that Brazilian statesmen appreciate the march of events in this
respect, as I trust will also soon be the case in facilitating the
despatch of passengers' luggage. As a rule, passengers do not carry](https://image.slidesharecdn.com/88271-250312013914-e879dc6b/85/Communicating-Science-and-Technology-in-Society-Issues-of-Public-Accountability-and-Engagement-Ana-Delicado-43-320.jpg)
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- 5. Ana Delicado Fabienne CrettazVon Roten Katarina Prpić Editors Communicating Science and Technology in Society Issues of Public Accountability and Engagement
- 6. Communicating Science and Technology in Society
- 7. Ana Delicado • Fabienne Crettaz Von Roten • Katarina Prpić Editors Communicating Science and Technology in Society Issues of Public Accountability and Engagement
- 8. Editors Ana Delicado Instituto de Ciências Sociais da Universidade de Lisboa Lisbon, Portugal Fabienne Crettaz Von Roten University of Lausanne Lausanne, Switzerland Katarina Prpić Institute for Social Research Zagreb, Croatia ISBN 978-3-030-52884-3 ISBN 978-3-030-52885-0 (eBook) https://doi.org/10.1007/978-3-030-52885-0 © Springer Nature Switzerland AG 2021 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors, and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Switzerland AG. The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
- 9. Contents 1 Introduction: How the Sociology of Science and Technology Addresses Science and Society Relations . . . . . . . . . . . . . . . . . . . . . 1 Ana Delicado Part I Scientists’ Research Practices and Responses to Societal Demands 2 Norms, Competition, and Visibility in Contemporary Science: The Legacy of Robert K. Merton . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Massimiano Bucchi 3 Re-distributing Responsibility in Transdisciplinary Knowledge Production and Circulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 Thomas Völker 4 How Do Scientists Doing Animal Experimentation View the Co-evolution Between Science and Society? The Swiss Case . . . . . . 59 Fabienne Crettaz Von Roten 5 Science-Society Relations in a Context of Technological Change: How Scientists Working on Renewable Energy Technologies Perceive Their Role in the Energy Transition . . . . . . . . . . . . . . . . . . . . . . . . 79 Luís Junqueira Part II Science Communication and Citizen Participation in Science 6 Bringing Science to the Public: Is It a Matter for Scientific Associations? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97 Cristina Palma Conceição 7 Turning the Gaze on Ourselves: Public Communication of Sociology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 Ana Delicado v
- 10. 8 Technologies of Participation in Water Plans in Portugal: What Kind of Science–Society Relationship Are We Talking About? . . . . . . . . 137 Sofia Bento and Oriana Rainho Brás 9 Material Trajectories: How Issues Come to Matter in a Citizen Conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161 Guillem Palà and Miquel Domènech 10 Two Turtles: Children and Autonomy in Participatory Technological Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179 Núria Vallès-Peris and Miquel Domènech Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197 vi Contents
- 11. List of Figures Fig. 4.1 Distribution of the number of constraints accepted ................ 72 Fig. 4.2 Two-dimensional correspondence analysis map ................... 73 Fig. 6.1 Scientific associations in Portugal by year of foundation. Source: census of scientific associations in Portugal, 2012. Data not available for 60 associations ......................................... 102 Fig. 6.2 Researchers’ motivations for belonging to a Portuguese scientific association, by type of association (%). Source: survey of researchers working in Portugal, 2012; N ¼ 462 .................. 104 Fig. 6.3 Proportion of “non-scientists” among the Portuguese scientific associations’ members (%). Source: survey of the Portuguese scientific associations, 2012; N ¼ 86 ............................... 105 Fig. 6.4 Frequency of public communication of science activities (in the last 5 years), for young people and the general public, by type of scientific association (%). Source: survey of the Portuguese scientific associations, 2012; N ¼ 105 .............................. 106 Fig. 6.5 Collaboration with other institutions for the sake of public communication of science, by type of scientific association (%). Source: survey of the Portuguese scientific associations, 2012; N ¼ 77 ................................................................. 107 Fig. 6.6 Ciência Viva’s national summer campaign: number of institutions participating, by year (2003–2014) and type of institution (%). Source: Conceição (2011); updated with data from the Ciência Viva website ........................................................... 112 Fig. 6.7 Ciência Viva’s national summer campaign: average number of events per institution every year (2003–2014), by type of institution. Source: Conceição (2011); updated with data from the Ciência Viva website. Note: “Associations” includes a small number of events promoted by non-scientific associations (such as cultural or local development associations) ......................... 113 vii
- 12. Fig. 8.1 Modes of governance (based on Hagendijk et al. 2005) ........... 140 Fig. 8.2 Water plans, second cycle (source: APA 2015b) ................... 144 Fig. 9.1 Trajectory followed by the issue ..................................... 171 Fig. 10.1 Full life-cycle of the participatory process .......................... 185 Fig. 10.2 Turtle-design prototype. Note: Virtual design of the turtle robot made by the roboticists involved in the project after the children’s participative process .................................................. 188 Fig. 10.3 The posting episode. Note: Pictures of children doing the activity of phase 1 for sharing a workflow with roboticists and social scientists ............................................................... 190 Fig. 10.4 Prototypes kept in trays ............................................... 191 viii List of Figures
- 13. List of Tables Table 4.1 Socio-historic analysis of the issue of animal experimentation in Switzerland from the 1950s until today ........................ 62 Table 4.2 Demographics of respondents ...................................... 68 Table 4.3 General assessment of the course .................................. 70 Table 4.4 Attitudes toward the 3Rs principles ............................... 70 Table 4.5 Frequency of POE activities in the last 12 months ............... 71 Table 5.1 Profile of researchers interviewed ................................. 82 Table 7.1 Data on sociology research in Portugal ........................... 122 Table 10.1 Phases of the participative process for designing a social robot with children .................................................. 187 ix
- 14. Chapter 1 Introduction: How the Sociology of Science and Technology Addresses Science and Society Relations Ana Delicado An Overview The sociology of science and technology has been gradually broadening its scope of study. Early works paid particular attention to the functioning of the scientific system, such as the values and norms that regulate it, the rewards and the reputation of individual scientists, the competition and collaboration within the scientific community, the accumulation of scientific capital, and the strategies of reproduction or subversion (see, for instance, Hagstrom 1965, Merton 1973, Bourdieu 1975). It then moved toward an examination of scientific practices, how science is produced in the laboratories and in the field, how scientific claims are built and contested, and how scientific knowledge is set apart and raises boundaries with other forms of knowledge (see, for instance, Bloor 1976, Gieryn 1983, Latour and Woolgar 1986, Knorr-Cetina 2009).1 A third and more recent strand of research in the sociology of science concerns how the scientific field connects with other spheres of society. This strand derives partially from changes in science itself. Increasingly pushed to leave their “ivory tower”, to become accountable to taxpayers, to generate useful, marketable products, to take responsibility for negative impacts, to engage with the concerns of citizens and stakeholders and regain their trust, scientists are forced to establish ties with non-academic actors. Sociology of science and technology has generated many theoretical frameworks to understand these changes. For example, Actor-Network Theory connects experts and non-experts, humans, and non-humans, and examines the translations that A. Delicado (*) Instituto de Ciências Sociais da Universidade de Lisboa, Lisbon, Portugal e-mail: [email protected] 1 For a more in-depth analysis of the mutations in Science and Technology Studies, see Edge (1995), Martin et al. (2012) or Felt et al. (2016). © Springer Nature Switzerland AG 2021 A. Delicado et al. (eds.), Communicating Science and Technology in Society, https://doi.org/10.1007/978-3-030-52885-0_1 1
- 15. necessarily occur in their interactions (e.g. Callon 1984). Gibbons et al. (1994) put forward the Mode 2 of knowledge production, characterized by being socially distributed (with a strong orientation toward application and commercialization), transdisciplinary, and subjected to multiple accountabilities and instances of evalu- ation (see also Nowotny et al. 2003). Another example is the conceptualization of ‘Post-Normal Science’ by Funtowicz and Ravetz (1993), which postulates that when ‘facts are uncertain, values in dispute, stakes high and decisions urgent’ (mainly in relation to environmental crisis) science has to rely on extended peer communities and embrace the plurality of legitimate perspectives. The New Political Sociology of Science framework acknowledges that ‘the social structure of modern science is highly dependent upon the social, economic, and political organization of society, and extremely sensitive to changes in this environment’ (Blume 1974: 279) and thus focuses on ‘the intersection of rules and routines, meanings, organizations, and resource distributions that shape knowledge production systems’, by producing ‘research explaining why science works better or more often for some groups than for others, and the ways in which social attributes such as race, gender, class, and profession interact with and condition those particular outcomes’ (Frickel and Moore 2006: 7). More recently, this concern with openness to society has become enshrined in science policies, such as the RRI Responsible Research and Innovation framework promoted by the European Commission (Grunwald 2011). According to the defini- tion proposed by Schomberg, Responsible Research and Innovation is a transparent, interactive process by which societal actors and innovators become mutually responsive to each other with a view to the (ethical) acceptability, sustainability and societal desirability of the innovation process and its marketable products (in order to allow a proper embedding of scientific and technological advances in our society (Schomberg 2012, 47). Among other issues, RRI encompasses ethics, governance, and public engage- ment and has become a mandatory issue in research carried out with European funding. Conversely, science funding is increasingly dependent on demonstrating the societal impact of research, showing its economic and social value and usefulness, with significant consequences over assessment practices (Whitley 2010; Bornmann 2013). These trends have greatly multiplied the objects of study addressed by sociolo- gists of science and technology and led to increasingly porous borders with other sub-disciplines of sociology (environmental sociology, political sociology, sociol- ogy of social movements, sociology of health, sociology of communication, to name just a few). One such object may the relations between science and the policy sphere. Some sociological research has been focusing on scientific advice for policy, in the sense of ‘the use of knowledge to facilitate or improve decision-making’ (Pielke 2007: 79). This has been frequent in environmental issues and climate change in particular (Shackley and Wynne 1996; van der Sluijs et al. 1998; Hulme 2009). While some 2 A. Delicado
- 16. studies examine the use of scientific expertise by policy actors (Jasanoff 1990; Renn 1995; Weingart 1999), others address the theme of governance and participation of non-experts in decisions of a scientific-technological nature (Jasanoff 2003; Renn 2004; Felt et al. 2008; Lovbrand et al. 2010). Technology assessment, ‘a scientific, interactive, and communicative process which aims to contribute to the formation of public and political opinion on societal aspects of science and technology’ (Decker and Ladikas 2004: 14), is another often-examined policy making practice. Notable for adding reflexivity to governance ‘by integrating any available knowledge on possible side effects, by supporting the evaluation of technologies according to societal values and ethical principles, by elaborating strategies to deal with inevitable uncertainties, and by contributing to constructive solutions of societal conflicts around science and technology’ (Grunwald 2011: 14), it has been routinely applied in many European countries on diverse new technologies such as nanotechnology (Guston and Sarewitz 2002; Fiedeler 2008; Rip and te Kulve 2008), genetically modified organisms (Marris et al. 2008; Tavella 2016), and synthetic biology (Schmidt 2016). Sociological interest in these forms of participatory decision-making and consen- sus building stems also from its reverse. In the past few decades there have been a multitude of scientific controversies spilling out to the public sphere and embroiling citizens, and attracting the attention of sociologists. From mad-cow disease (Miller 1999) to the management of radioactive waste (Bickerstaff et al. 2008), from stem- cell research (Prainsack et al. 2008) to the Climategate (Jasanoff 2010), public controversies on scientific developments with environmental or health impacts are among the most-often researched subjects in science and society. Bauer (2015: 2) states that through controversies ‘public opinion has reasserted itself as a factor in the development of techno-science’ and ‘the level and scope of public controversy is an index of public resistance’. The study of controversies sheds light on public attitudes toward science, going beyond answers to closed-ended questions in questionnaires (more on that below), allows following different actors, their actions, and their pronouncements, highlights power relations, and demolishes a monolithic view of the scientific community, by underlining the roles of experts and counter-experts. Controversies are also closely linked to the issue of risk, inescapable in contempo- rary societies (Beck 1992), and a matter for a wealth of sociological research (Lidskog and Sundqvist 2012). The study of controversies has also promoted the emergence of new methodological tools, such as digital mapping (Venturini 2010, 2012; Beck and Kropp 2011). Less contentious but no less bountiful for sociological research is another kind of encounter between scientists and citizens, namely in the co-production of knowl- edge. Callon (1999) names co-production as Model 3 in the participation of non-specialists in scientific and technological debates, after Public Education Model (Model 1) and Public Debate model (Model 2). In the Model 3 ‘the dynamics of knowledge is the result of a constantly renewed tension between the production of standardised and universal knowledge on one hand, and the production of knowl- edge that takes into account the complexity of singular local situations, on the other hand’ (Callon 1999: 89). The generalized public becomes ‘concerned groups’, who 1 Introduction: How the Sociology of Science and Technology Addresses Science and. . . 3
- 17. play a relevant role in producing, orienting, and evaluating knowledge. Within these ‘hybrid collectives’ of scientists and citizens, ‘collective learning’ occurs. Early studies focused on the biomedical sciences, such as collaborations between patients and scientists in muscular dystrophy research (Rabeharisoa and Callon 2004) or lay involvement in research about the environmental causes of breast cancer (Brown 2006). But co-production studies have spilled over to other areas such as manage- ment and mitigation of environmental problems (Bäckstrand 2003; Hetland 2011; Cornwell and Campbell 2012; Hegger et al. 2012) or co-design of technological artefacts (Knot and Luiten 2006; Simonsen and Robertson 2012; Wherton et al. 2015). The public’s collaboration in research is also studied under a different label, citizen science, although here the participation dimension is usually questionable. From counting butterflies to identifying planets, from locating invading plants to catching stalled brain vessels, from measuring pollution to deciphering ancient manuscripts, there are plenty of ways citizens are currently contributing to the advancement of scientific knowledge (Cohn 2008; Silvertown 2009; Raddick et al. 2010; Nurmikko et al. 2012; Crall et al. 2013; Curtis 2015). However, in most cases, the citizens’ contribution is reduced to collecting data (crowdsourcing), under pro- tocols and research questions devised by scientists, who will also be the ones analysing and producing results and outputs (Shirk et al. 2012; Irwin 2015). Never- theless, there is an abundance of studies on motivations of citizens (Raddick et al. 2010; Edwards 2014; Nov et al. 2014), knowledge acquisition, and attitude change (Jordan et al. 2011; Crall et al. 2013), or how scientists envision citizen collaboration (Riesch and Potter 2014; Burgess et al. 2017). It should also be noted that most of these studies are authored not by social researchers but by natural scientists involved in citizen science projects and few are published in social sciences journals. Citizen science studies belong in the wider area of public engagement with science studies. This concept encompasses a wide array of practices studied by the sociology of science. Among these are different kinds of science communication, such as science museums (Durant 1996; Stocklmayer 2005; Schiele 2014), science festivals (Jensen and Buckley 2014; Riise and Alfonsi 2014), or, more recently, through the internet and online social media (Trench 2008; Brossard and Scheufele 2013; Peters et al. 2014). Another topic of study is scientific literacy, or knowledge of science by the public, usually measured through surveys (Miller 1998; Sturgis and Allum 2004; Miller and Pardo 2005; Allum et al. 2008). Scientific literacy has been heavily criticized for its narrow understanding of science and for equating knowl- edge with trust in science, in what is generally called the deficit model of public understanding of science (Irwin and Wynne 1996; Irwin and Michael 2003; Gregory and Lock 2008; Bucchi 2008). Surveys are also the most common method of assessing public attitudes toward science (Bauer et al. 2000, 2007; Bauer 2008), with the added-value of allowing cross-national and longitudinal comparisons (Mejlgaard and Stares 2009; Reyes 2015). One other prolific area of studies is the representation of science in the news (Suleski and Ibaraki 2010; Schäfer 2012) and in popular media, such as film and television (Lehmkuhl et al. 2012; Kirby 2014). 4 A. Delicado
- 18. The preceding paragraphs are just a cursory overview of how the sociology of science and technology has been addressing the issue of science and society rela- tions. Since this is a rapidly expanding field, new topics are bound to keep emerging, just as science continues transforming and engendering new connections, new tensions, and new challenges with the social environments in which it is situated. Sociology’s attention to these dynamics is undoubtedly pertinent for policy-making, but also for advising on scientists’ engagements with citizens and for enhancing more democratic, participatory, and socially equitable ways of producing science. About This Book This book is the result of a workshop held in Lisbon in the spring of 2016 under the aegis of the Research Network 24 Science and Technology (SSTNET) of the ESA European Sociological Association. Sociologists across Europe came together to discuss the latest research on science and society relations, presenting work on issues as diverse as biobanking, renewable energies, research evaluation, and citizen conferences. Methodological diversity also abounded, with papers based on quanti- tative surveys, in-depth qualitative interviews, ethnographic observation, and media analysis. Over the course of 2 days, 19 papers by authors from eight European countries (Portugal, Switzerland, Finland, Italy, Spain, The Netherlands, Germany, and Poland) and Canada, were presented, organized into six 2-h sessions, with never more than four papers each, giving ample time for discussion. The event also had two keynote speakers, Massimiano Bucchi, professor at the University of Trento and at the time editor of the journal Public Understanding of Science (2016–2019), on the first day, and Maja Horst, at the time Head of the Department of Media, Cognition, and Communication at the University of Copenhagen (currently Profes- sor of Responsible Technology at the Danish Technical University) on the second. Massimiano Bucchi delivered a lecture on the legacy of Robert K. Merton, addressing the role of Mertonian norms in contemporary post-academic science and the different meanings of reputation. Maja Horst talked about engaging publics in the discussion of scientific social responsibility, by drawing from the project Breaking & Entering (Glerup and Horst 2014). This book comprises nine articles expanding on papers presented at the workshop and one of the keynote lectures. Albeit there is an over-representation of Southern European countries (six out of the nine chapters address case studies in Portugal or Spain), this somewhat compensates the dearth of representation of these countries in other STS works. Also, all chapters include discussions that place each case study against the wider background of international literature and research. The work is divided into two parts. The first part addresses research practices and scientists’ responses to societal demands. These four chapters depart from the point of view of scientists and seek to assess how they respond to societal demands, be it pressures to restrict animal experimentation, incentives to pursue interdisciplinary work to deal with sustainability challenges, or requests from companies or civil society to set the path to energy transitions. 1 Introduction: How the Sociology of Science and Technology Addresses Science and. . . 5
- 19. In the first chapter of the book, Massimiano Bucchi seeks to identify useful insights in Robert K. Merton’s work in the sociology of science to understand key features, trends, and challenges of science in contemporary societies. The chapter first analyses the issue of values and norms in science to understand the organiza- tional changes that science has undergone in recent decades, as well as the persis- tence of the concept of ‘scientific community’. Bucchi then examines the issue of competition in science, in particular the dynamics of reputation and visibility of scientists, based on Merton’s classic study of the ‘Matthew effect’. The author ends by reflecting on the legacy of Merton on current social studies of science, namely how concepts coined by him are still useful tools for describing scientific endeavours. The third chapter is authored by Thomas Völker and addresses transdisciplinarity as a form of re-ordering of science-society relations in political decision-making and in the production and circulation of knowledge. By examining the case of an Austrian research funding programme in the area of sustainability research that explicitly required the application of transdisciplinary research methods, the author illustrates the move toward a ‘new science culture’ of ‘responsible care’ and of re-distribution of responsibility. The chapter focuses on concrete practices of pro- ducing and circulating anticipatory knowledge in transdisciplinary collaborations and how the programme’s vision is ‘translated’ by researchers through their actual projects and research practices. Fabienne Crettaz Von Roten’s chapter presents a socio-historical analysis of the co-evolution between animal science and society in Switzerland. The analysis highlights three constraints imposed on scientists of this field from 1950 until today: constraints placed on their training, on their scientific practice, and on their relationship with society. The chapter continues with the results of a survey of scientists who carry out laboratory animal experimentation in Switzerland, regarding how they view and cope with these constraints. The analyses examine the effect of socio-demographic and professional variables on acceptance of each constraint and the number of constraints accepted. This part of the book ends with the chapter by Luis Junqueira, which focuses on renewable energy researchers in Portugal and how they perceive the role of science in the key societal challenge of energy transition. Research plays a vital part in that transition effort since the ability to foster renewable energy adoption depends on developing more efficient and less expensive technology. Research communities working on renewable energy technologies and related fields of research are at the crossroads between public policies, powerful private interests, and social concerns often discussed in civil society and the media. Renewable energy research is seen mainly as a response to an economic challenge and public outreach as an effort to persuade the public about the inevitability of the transition to new energy technologies. The second part comprises five chapters addressing science communication and citizen participation in science, all concerning case studies in Portugal and Spain. Whereas the first of these chapters focus on the activities scientific institutions and researchers develop in order to communicate science to their publics, the last three 6 A. Delicado
- 20. chapters concern higher levels of public engagement in technoscientific issues, be it in the governance of water management, consultations on information and commu- nication technologies or the design of robots in medical contexts. Cristina Palma Conceição discusses the roles played by scientific associations in public communication and public engagement with science. ‘Older’ scientific soci- eties, mostly of a disciplinary nature, include science communication, often through one-way, top-down formats, as part of a wider array of actions and functions largely targeting their own members (mostly research professionals), although attributing them increased importance. ‘Newer’ associations focus exclusively on science dissemination (such as astronomy clubs and nature groups), having a more diverse range of members and opting for more diversified and innovative formats (e.g. ‘hands-on’, ‘citizen science’, etc.). This later kind is on the rise, signalling the upsurge of ‘scientific culture’, both as scientists’ concern and as a policy priority. Ana Delicado’s chapter focuses on the public communication of the social sciences. It examines how sociology in Portugal is finding novel ways to respond to this ‘new’ demand from policy and practice in the scientific field. It discusses how sociology can overcome the twin hurdles of familiarity with social issues (making sociology difficult to differentiate from lay knowledge) and distance from common science communication tools (museums and science coverage in the media, labora- tory and hands-on activities, and open days at research institutions). It addresses the response of research centres and researchers to science communication policies, the translation of sociological results to stakeholders and decision-makers, and actions geared toward youth in order to stimulate vocations, and reaching out to the wider public. Sofia Bento and Oriana Rainho Brás explore the concept of participation in Portuguese Water Planning to analyse the nature of the science-society relationship involved in the participatory process. The authors combine a multidimensional approach with non-causal perspectives on participation and typologies in the rela- tionship between science and society, through science governance, as well as on linguistic lenses to follow the links between institutions and society. The empirical work focuses on the process of public participation undertaken for the elaboration of the water plans of hydrological regions. The chapter examines the role of material elements, namely the framing of Significant Issues in Water Management, the implementation of actors’ roles by material configuration, and the affordance of counter discourses. Chapter 9, by Guillem Palà and Miquel Domènech, draws from the case of the Barcelona ICT Citizen Conference for Older People to discuss public engagement with science. The authors describe the complex process of determining concrete political recommendations for a given issue through successive translations, not all having to do with the discursive realm. Public concerns surrounding electromagnetic waves and proposals for addressing those concerns emerge from a precarious translation trajectory, and different assemblages (consisting not only of humans) are needed to sustain a specific issue. The chapter highlights how the specificity of each matter needs careful consideration. 1 Introduction: How the Sociology of Science and Technology Addresses Science and. . . 7
- 21. The final chapter of the book is authored by Núria Vallès-Peris and Miquel Domènech and explores a participatory process of technological design that brought together roboticists and children in the creation of social-robot prototypes for a hospital. The chapter introduces some critical theories concerning the ethics of care that emphasize responsibilities over rights and conceive care as a ground for conferring citizenship. Notions such as children’s citizenship and children’s auton- omy to decide and choose their “user” needs and desires are problematized. The chapter puts forward a political proposal for rethinking the debate on the responsi- bilities of technological design toward society and the role that participation plays, by reflecting on autonomy as an emergent quality and as a sustained network of intangibles and materiality. Concluding Remarks Overall, the chapters in this volume show that scientists are increasingly responsive to societal demands. Either working with children in designing care robots or publicizing the virtues of renewable energies, either collaborating with astronomy clubs or accepting the legal constraints placed on animal experimentation, the scientific community is routinely engaging with social actors outside the scientific sphere. Multiple factors underlie this outward-looking drive, and include funding rules, evolving social values and norms, the search for recognition and impact, regulatory frameworks that enforce public participation, and awareness of social concerns. What the book also shows is that citizens both drive and respond to this overture from the scientific community. Against a backdrop of generalized decline in public interest and trust in science, pockets of active engagement can be found. When given the opportunity to participate, citizens mobilize and take part in discussions about issues that concern them, be them the management of water resources, the unknown risks of electric magnetic fields, or how animals are treated in laboratories. The public here is far from a homogenous mass. Hospitalized children, businesses, environmental activists, farmers, amateur scientists, senior citizens, researchers from other scientific fields, they all have different expectations, needs, concerns, and abilities that bring them into their dealings with science. However, the chapters reveal that the terms of engagement are still very much dictated from above. Policy-makers, funding agencies, scientists, research institu- tions, and scientific societies are the ones building the frames for public participa- tion, setting boundaries, defining the acceptable language, and determining what the legitimate inputs from citizen and stakeholders are. These remain in a subordinate position, with little room for negotiation or transgression. In some cases social scientists find themselves in the middle, playing the role of mediators and translators between science and society. Methodologically, the book also makes the case for the value of suiting the approaches to the object. Whereas surveys and extensive analyses bring breadth 8 A. Delicado
- 22. and the reliability of statistical proof, uncovering connections between diverse vari- ables, interviews allow the opportunity of representing (and deconstructing) the actor’s own words, and ethnographic immersion provides depth and the peeling away of the multiple layers of social reality. This book thus offers multiple perspectives on science and society relations, seen through a sociological lens, in a number of European countries. It aims not only to contribute to an academic discussion of science’s entanglements with different social spheres and societal actors, but also to provide critical insights for improving science policies and other public policies, enhancing research and innovation engagement with stakeholders and publics and incorporating citizen concerns and contributions in scientific knowledge production. Acknowledgements The editors are grateful to the European Sociological Association for funding the SSTNET 2016 workshop and the language revision of the book, and to the Institute of Social Sciences of the University of Lisbon for hosting the workshop. The author also wishes to thank Fabienne Crettaz Von Roten and Katarina Prpić for their useful comments to this Introduction. We are also grateful for the useful comments of reviewers. References Allum, N., Sturgis, P., Tabourazi, D., & Brunton-Smith, I. (2008). Science knowledge and attitudes across cultures: a meta-analysis. Public Understanding of Science, 17, 35–54. Bäckstrand, K. (2003). Civic science for sustainability: Reframing the role of experts, policy- makers and citizens in environmental governance. Global Environmental Politics, 3(4), 24–41. Bauer, M. (2008). Survey research and the public understanding of science. In M. Bucchi & B. Trench (Eds.), Handbook of public communication of science and technology (pp. 111–130). London: Routledge. Bauer, M. W. (2015). Atoms, bytes and genes: Public resistance and techno-scientific responses. London: Routledge. Bauer, M. W., Petkova, K., & Boyhadjieva, P. (2000). Public knowledge of and attitudes to science: Alternative measures that may end the “science war”. Science, Technology and Human Values, 25(1), 30–51. Bauer, M. W., Allum, N., & Miller, S. (2007). What can we learn from 25 years of PUS survey research? Liberating and expanding the agenda. Public Understanding of Science, 16(1), 79–95. Beck, U. (1992). Risk society: Towards a new modernity. London: Sage. Beck, G., & Kropp, C. (2011). Infrastructures of risk: A mapping approach towards controversies on risks. Journal of Risk Research, 14(1), 1–16. Bickerstaff, K., Lorenzoni, I., Pidgeon, N. F., Poortinga, W., & Simmons, P. (2008). Reframing nuclear power in the UK energy debate: Nuclear power, climate change mitigation and radioactive waste. Public Understanding of Science, 17(2), 145–169. Bloor, D. (1976). Knowledge and social imagery. Chicago: University of Chicago Press. Blume, S. S. (1974). Towards a political sociology of science. New York: Free Press. Bornmann, L. (2013). What is societal impact of research and how can it be assessed? A literature survey. Journal of the American Society for Information Science and Technology, 64(2), 217–233. Bourdieu, P. (1975). La spécificité du champ scientifique et les conditions sociales du progrès de la raison. Sociologie et Societés, 7(June 2011), 91–118. 1 Introduction: How the Sociology of Science and Technology Addresses Science and. . . 9
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- 27. Ana Delicado is a Research Fellow at the Instituto de Ciências Sociais da Universidade de Lisboa. She has a PhD in Sociology (University of Lisbon, 2006) and specializes in social studies of science and technology. She has conducted research on science museums and exhibitions, public under- standing of science activities, environmental risks, international mobility of researchers, scientific associations, climate change, social acceptance of energy technologies, and disaster risk. She is vice-coordinator of ICS’s Observa Observatory of Environment, Territory, and Society. She currently coordinates the Executive Board of SSTNET (RN24) of the European Sociological Association (ESA) and is a member of the European Association for the Study of Science and Technology (EASST). 14 A. Delicado
- 28. Part I Scientists’ Research Practices and Responses to Societal Demands
- 29. Chapter 2 Norms, Competition, and Visibility in Contemporary Science: The Legacy of Robert K. Merton Massimiano Bucchi Introduction While numerous scholars have long recognized Robert K. Merton (1910–2003) as one of the key figures of twentieth century sociology,1 his specific influence upon sociological reflections concerning science has not always received equal recogni- tion. Nevertheless, an interest in the analysis of scientific institutions and their relationship with society lasted throughout Merton’s entire career, from his doctoral studies to his last published work, the long afterword to The Travels and Adventures of Serendipity (Merton and Barber 2004). One of his earliest publications, in fact, was a review of Usher’s History of Mechanical Invention, published by the historian of science George Sarton in Isis, the journal which he edited. Besides Merton’s relationship with his tutor Sorokin, his intellectual maturation at Harvard was marked by his attendance at Whitehead’s course of lectures on the philosophy of science and those by the entomologist Morton Wheeler, who taught a curious course on ‘comparative animal sociology’ (Storer 1973: xiv). It would be myopic to dismiss this strand of ‘studies in science’ as a minor part of Merton’s oeuvre. Merton’s sociological investigations into science repeatedly intersected with some of his most central and best-known analyses: from those on influence processes to those on deviance, from his concern with ‘unintentional effects’ (which related to his specific interest in scientific serendipity2 ), to his M. Bucchi (*) Università di Trento, Trento, Italy e-mail: [email protected] 1 Among the most recent works devoted to Merton’s oeuvre see, for example, the volume edited by Calhoun (2010). 2 Merton co-authored, with Elinor Barber, an entire book devoted to the historical vicissitudes of the concept of serendipity: [. . .] if serendipity was originally coined to mean a quality of the actor in a © Springer Nature Switzerland AG 2021 A. Delicado et al. (eds.), Communicating Science and Technology in Society, https://doi.org/10.1007/978-3-030-52885-0_2 17
- 30. reflections ‘on the relationship between knowledge and reality’ (Storer 1973: xxii) characteristic of concepts like that of the ‘self-fulfilling prophecy’. In this chapter I shall concentrate on two topics in particular. Addressing the general theme of values and norms in science (and the latter’s relationship with society) will enable me to explore some of the main organizational changes that have marked science in recent decades, as well as the resilience of the concept of ‘scientific community’ to those changes. Subsequently, using Merton’s historical study of the ‘Matthew effect’ as my premise, I shall analyse the theme of competition in science, with particular regard to the dynamics that characterize the reputation and visibility of scientists. Universalist Sceptics or Particularist Dogmatists? Values and Norms Within and Beyond Science According to Merton and His Critics The first theme which I shall address concerns what Merton termed, in perhaps his most celebrated (and most criticized) essay on science, the normative structure of science, which he framed within a broader context of those social values that are able, according to the circumstances, to either facilitate or hinder the development of science. In his doctoral thesis, Science, Technology and Society in Seventeenth-Century England, Merton (1938) connected the institutional development of science with the spread of particular religious values, just as Max Weber (1905) had done for the birth of capitalism. Drawing on a large body of historical data concerning, for example, the activities of the members of the Royal Society in the first decades since its foundation, Merton showed not only that a large number of individuals from the elite of British society devoted themselves to science, but also that a significant propor- tion of their work bore no particular practical fruit. Their scientific inquiries, therefore, must have been driven by something else. A systematic and methodical mentality; rationalism; diligence in the empirical and individualized study of nature as testimony to the greatness of God; concrete engagement in practical activities as a sign of personal salvation: all these virtues extolled by Puritanism encouraged the practice of science. Addressing fellow members of the Royal Society, in his will Robert Boyle wrote, Wishing them also a happy success in their laudable Attempts, to discover the true Nature of the Works of God; and praying that they and all other Searchers into Physical Truths, may happy accidental discovery, it has with use become coterminous with the whole event of accidental discovery, and even with the object of such a discovery (Merton and Barber 2004: 102). 18 M. Bucchi
- 31. Cordially refer their Attainments to the glory of the Great Author of Nature, and to the Comfort of Mankind (quot. in Merton 1938, repr. 1973: 234).3 Besides examination of the specific linkage between Puritanism and science, Merton’s concern was to show that the institutionalization of science and the social codification of the scientist’s role presupposed not only a series of distinct methods and activities but also a set of social factors: that is, values and norms that configured science as a social subsystem related to the rest of society but at the same time endowed with its own autonomy. According to Merton, the study of these factors, and therefore of the relationship between science and society, required a specific branch of sociology: namely the sociology of science. This stance found its most significant—or at least best known—expression in the description of the ‘normative structure of science’. What values and norms of behaviour, enquired Merton, ensure the functioning of science? His answer to this question centred on four ‘institutional imperatives’ (Merton 1973b [1942]): 1. Universalism. Scientific claims and results are to be judged regardless of the characteristics, such as class, race, or religion, of their proponents. Scientists are to be rewarded solely on the basis of their results. 2. Communism. Results and discoveries are not the property of the individual researcher. Rather, they belong to the scientific community and society as a whole. This imperative is grounded on the assumption that knowledge is the product of a collective and cumulative effort by the scientific community. Scien- tists do not gain recognition for their work unless they render it public and thus make it available to others. 3. Disinterestedness. Every researcher pursues the primary goal of the advancement of knowledge, indirectly gaining personal recognition. 4. Organized scepticism. Researchers must be willing to subject all findings, includ- ing their own, to critical appraisal, suspending definitive judgement until the necessary proof has been obtained. In enunciating these principles, Merton repeatedly emphasized the fact that they should be considered valid from the institutional point of view, not from that of the scientist’s individual motivations. In other words, he did not ingenuously assume that scientists possess a moral stature superior to that of other professionals merely because they are scientists. However, he believed that the functionality of these norms with respect to the subsystem ‘science’ was demonstrated by the criticisms and sanctions that the scientific community applied to those who breach them. The existence of ‘deviant’ behaviour does not argue against those imperatives as such, just as a theft does not question the recognized value of private property. After all, if everybody complied with the norms, they would not be necessary. Numerous criticisms have been brought against this aspect of Merton’s analysis of science. His critics consider it paradigmatic of a traditionalist stance that the 3 Merton quotes this passage from G. Burnet, A Funeral Sermon Preached at the Funeral of the Honourable Robert Boyle London, 1692, p. 25. 2 Norms, Competition, and Visibility in Contemporary Science: The Legacy of. . . 19
- 32. sociological analysis of science must supersede, and they claim that Merton’s description of the normative structure of science is an idealization more prescriptive than descriptive. Like certain philosophers of science, it is alleged, Merton described how science should work, rather than how it actually does.4 A series of case studies have subsequently sought to show, for example, the discrepancy between Merton’s theory and the genuine behaviour of scientists (Barnes and Dolby 1970). Yet, Merton himself subsequently revised his original formulation. He did this by developing the concept of ‘sociological ambivalence’ to describe the situation of particular social actors, including scientists, when called upon to handle conflicts among different values, norms, and roles (Merton 1973c [1963]). In the early 1970s, various studies sought to show that this ambivalence engendered a ‘dynamic alter- nation of norms and counter-norms’ (Merton and Barber 1963: 104). The institu- tional imperatives enunciated by Merton, in fact, were matched by counter-norms such as ‘particularism, interestedness and organized dogmatism’ (Mitroff 1974). The scientists interviewed by Mitroff attributed to themselves and their colleagues a reluctance to make certain aspects of their research public: attachment to their own hypotheses and an unwillingness to abandon them in the presence of contrary data and a tendency to judge results or claims on the basis of the social characteristics (nationality, academic position) of the scientists propounding them. However, as the interviewees themselves recognized, these counter-norms may fulfil functions that are beneficial to science. Taking into account the personal characteristics of researchers, for example, may save time by focusing attention on the work of scientists who offer greater guarantees of reliability. Adherence to one’s own hypotheses may prevent the premature abandonment of lines of inquiry that may prove fruitful—however indirectly—in the long term. Finally, the counter-norm of ‘secrecy’ may prevent the scientific community from being constantly paralyzed by disputes over priority, or by pressures applied by the state and public opinion. Of course, it is difficult to claim that either Merton’s imperatives or the specular counter-norms identified by Mitroff accurately describe the concrete behaviour of every scientist. Ben-David (1991) put the question in terms of the context of scientific debate, arguing that disruptive situations such as controversies may lead to detachment from the scientific ethos, with scientists ‘willing to transgress practi- cally all the norms enumerated by Merton’ (p. 480). A further possibility is to consider both norms and counter-norms as flexible ‘ideological-rhetorical’ reper- toires that scientists can draw upon according to the situation in order to give sense to their actions and justify them to colleagues, policy-makers, and public opinion (Mulkay 1979). For instance, in certain circumstances, secrecy may be condemned as misconduct toward one’s colleagues; in others, it may be justified by the need to verify one’s results more carefully before making them public. The presentation of a 4 To understand this insistence upon norms as functional imperatives and, therefore, on science’s capacity for self-regulation, one should remember that Merton first dealt with this topic during the Second World War, at a time when the crucial attributes of science in a democratic society seemed to be its autonomy and its capacity to resist political, economic, or religious pressures. This point is also acknowledged by some of Merton’s critics, including Bourdieu (2004 [2001]). 20 M. Bucchi
- 33. discovery at a press conference, before publication of the official article in a scientific journal, may be applauded—as happened when ‘wrinkles’ in cosmic background radiation were discovered by a team of astronomers in 1992 (Miller 1994)—or harshly criticized as reprehensible—as in the case of the alleged discov- ery of ‘cold fusion’ in 1989 (Lewenstein 1992). Knowledge as Property or a Gift, Between Academic Science and ‘Science 2.0’ The functional imperative of communism refers to a distinctive feature of science as it was defined upon its institutionalization and thereafter with its full development as ‘academic science’ and then ‘big science’ in the past two centuries. In this view, the dissemination of one’s work among scientists is regulated by what sociologists and anthropologists of science have called an economy of ‘gift- giving’ (Hagstrom 1982). Thus, researchers give (rather than sell) their papers to the journals in which they are published; they give copies of their articles to colleagues; more generally, they offer their findings to the scientific community, which acknowl- edges their value by accepting them. This free donation of one’s work is symbolized, according to Hagstrom, by the rich mythology which describes how scientists are often unable to profit from their success during their lifetimes, but are subsequently recompensed by their donations to posterity. The case of Copernicus is emblematic in this regard. The astronomer received a printed copy of his De Revolutionibus only in 1543 when he was on his deathbed. Since the scientific revolution, the importance attributed to communication and sharing—a research finding acquires value only if it is made public—has been starkly opposed to forms of knowledge valuation that emphasize secrecy and esotericism. We should note, however, that communism, like the other institutional impera- tives, does not impose a moral obligation in terms of altruism or generosity on the scientific community’s individual members; nor does it necessarily compel them to fully share their research results. As pointed out by the historian de Solla Price, the exchange of information with colleagues is only ‘incidental’ to the main forms of results dissemination—like publication in journals or books, whose essential pur- pose is to claim priority for one’s results.5 In substance, as an institution engaged in the production of original knowledge and its reward and recognition, science forces researchers to circulate their results. This circulation has a series of virtuous ‘unintentional effects’ such as the possibility of drawing on the results of others, or of receiving criticism useful for the development of one’s own beliefs, which contribute to the pursuit of both individual and institutional goals. 5 Price recalls that scientists like Kepler or Hooke not infrequently presented their results in encrypted form, so that they could establish their priority but without disclosing too much information to their rivals (De Solla Price 1963: 68). 2 Norms, Competition, and Visibility in Contemporary Science: The Legacy of. . . 21
- 34. Exploring the Variety of Random Documents with Different Content
- 35. THE CITY OF RIO DE JANEIRO. It cannot be said in this case, as in most others, that “'Tis distance lends enchantment to the view;”— for the nearer you approach this far-famed city, the more sensible are you to the beauties it unfolds. Strangers are always struck with the singularly picturesque appearance of the land approaching Rio de Janeiro, but once fairly in the bay they are bewildered at its great extent, surrounded on all sides by hills and mountains of every possible form, shape, and size, most of them clothed in luxuriant verdure to the summit. No picture or representation I have seen of the Bay of Rio does justice to the splendid panorama its scenery presents. Even those who have often approached it from the sea, so far from being tired of gazing, not only recognise old familiar points, but discover some new feature in the fairy-like landscape that had before escaped their notice. It varies very much according to the light and shade,—sunrise, noonday, and sunset each possessing peculiar marks of delighting beauty. In my former description of Rio occurs the following passage:— The city of Rio Janeiro extends some three miles along the south-west side of the bay, and being much intersected by hills, it is difficult to get a good view of the whole range, unless from the top of one of the mountains near the city, such as the celebrated “Corcovado,” which stands out like a pulpit on the plain below, and is some 2,500 feet perpendicular. The view from this pulpit on a clear day is superb, and I should almost say unequalled in the world: the city, with its numerous divisions and suburbs below you—the bay, extending as far as the eye can reach, until lost in the plain below the Organ Mountain—the sea, studded with numerous picturesque islands, with vessels looking like white specks upon it, and seen to a great distance—all together form a most enchanting picture, and amply
- 36. repay the toil of an ascent. The mountain is of granite rock, like all others in this country, but thickly wooded almost to the summit, and you come out quite suddenly on the bare point before alluded to, so much resembling a pulpit. In consequence of the tortuous formation of the streets, constructed round the base of the hills, it is difficult to get more than a bird's-eye view of the city, on ground made by encroachment on the sea; consequently, the streets are low, without drainage, and in several of the back ones the water collects and stagnates, to the great detriment of health and comfort. Rio itself is a bad copy of Lisbon—streets at right angles, a large square facing the sea, and the suburbs extending up the hills which everywhere meet your eye. In Lisbon the streets are tolerably wide, but here they have built them so miserably narrow, that scarcely even one carriage can pass through, much less pass each other; and it is evident that such vehicles were never contemplated in the original formation of these streets. The only way of getting over the difficulty is for carriages coming into the city to take one line of streets, and those leaving it another, which they do, excluding omnibuses altogether from the principal thoroughfares. Improvements in this way were what I found most backward; indeed there was a marked falling-off in such respect since I was last here, and there seems a great want of municipal government.[2] In many places the pavement is execrable, and generally very bad, the difficulty having been probably increased by laying down mains for water and gas, the latter now in process of execution, and also to heavy rains having washed away many parts of the road, and otherwise caused much damage. Once this troublesome job is got through, it is to be hoped that some effective measures will be taken to put the streets and branch roads in order; otherwise they will soon be rendered impassable. Coach and coach-spring making must be thriving trades here, especially with the immense increase that has taken place in the number of carriages and omnibuses; and it is really wonderful how they stand the continual shocks they have to endure.[3] Government seems at last alive to the absolute necessity of doing something to improve the sanitary condition of the city, and also its internal organization, as they have lately got out some good practical English engineers, who I have no doubt will suggest an effective mode of dealing with present difficulties. If they do not adopt decisive measures the rate of mortality may be expected to augment fearfully in a dense population of 300,000 to 400,000 inhabitants, huddled together in some 15,000 houses, surrounded by impurities of every kind, not the least being the stagnant water in the streets. No exact census has ever been taken of the population of Rio Janeiro, which is generally believed to be between the two figures above given. There is a migratory population, but the accumulation of humanity of every race and colour, contained in some of the large dwelling-houses, is something extraordinary. As before observed, nature has done much for this country, and if the natural facilities of Rio Janeiro were properly availed of, and local improvements carried out with energy and spirit, it might be rendered one of the finest and most luxuriant places within the tropics.[4] The opportunity is now open to them; the Government
- 37. possess ample means, and it is just a question whether measures of progress are to be effectively achieved, or the city to be abandoned to its fate. The great evil attending all improvement in Brazil is an undue appreciation of native capability and a disparagement or mistrust of those whose practical experience would enable them to grapple with the difficulties that surround them—a kind of little jealousy or distrust that prevents their availing themselves of opportunities thrown in their way to carry out undertakings necessary to the well-being of the country: nor can they understand the principle on which such things are regulated in England, still less the magnitude of operations carried on there and in many other parts of Europe. Yet the time seems to be coming when these principles will be better understood here, and when the application of English capital towards the improvement of the country may be safely and legitimately brought to bear. I quote this in order to point out the increase of population and improvements which have been carried out in the city since it was written, and amongst which may be enumerated:— The paving of streets, drainage works, &c. Lighting the city with gas. Increased number of omnibuses, private carriages, and conveyances of all kinds. Public gardens and ornamental squares. Railways and tramways. First, as regards the number of inhabitants, it is difficult to arrive at correct figures in the absence of a census, but according to the municipal authorities, the population of Rio and the suburbs (which comprise a circuit of many miles) is now about 600,000. If building be any criterion, the increase of population must be very considerable. Since the period to which I allude, the city has extended itself in every possible direction, for without actually climbing the mountains there is a limit to building ground. The new streets are wide, and many of the new buildings exhibit a beautiful style of architecture, very suitable to the climate, especially in the suburbs. The number of shops has largely increased, and they are generally nicely decorated. Some public markets have been built, such as the Gloria, Harmonia, &c. Property has also greatly risen in value, and fabulous prices have been paid for land in the city
- 38. favourably situated. The paving of the streets has also been carried out most efficiently. All the leading thoroughfares in and out of the city are now well paved, and in this respect the road from the Public Gardens to Bota Fogo would compare advantageously with any in Europe, that portion passing through the Cattete being a perfect specimen of good paving. As to the drainage works, they speak for themselves to those who recollect what Rio was twenty years back, and the names of Brassey and Gotto will long be remembered as public benefactors in this part of the world. I had not time to examine these great works in detail, but shall avail of an opportunity on my return to do so. Gas has been most successfully introduced, both as regards quantity, quality, and usefulness, and it must have been an enormous saving of trouble and expense in a country where so many lights are required, and which was formerly dependent on oil lamps and candles. Not only is the city well lighted, but every suburb, miles in extent, thereby greatly adding to comfort and security. Under these circumstances it will hardly be a matter of surprise that the gas company pays a very good dividend. It has rather a curious effect on some of the country roads to see gas lamps peeping out from the thick foliage of tropical plants, as if in competition with the fire-flies dancing about. Rio positively swarms with omnibuses, carriages, and Tilburys. The former are plain enough in appearance, but are drawn by four mules at a good speed. The carriages, which are manufactured on the spot, are generally very superior in quality, with a couple of mules or horses, and the Tilbury is a kind of cab with cover, to hold one person with the driver. The fares, considering the distances traversed, are on the whole moderate, although charges in this respect are complained of. The Public Gardens have been very much improved since I was last here, and under the shade of the trees it is very pleasant to sit and admire the beauty of the scenery presented by the surrounding hills, and the view of the bay in front, the busy city shutout, and everything in quiet repose save the rumble of carriages passing along the streets. Another public garden has been established in the square called Praça da Constituiçao, where there
- 39. is a fine statue of the first Emperor Dom Pedro proclaiming the independence of the Empire. A still larger square, called the Campo de Santa Anna, might advantageously be converted to a similar purpose, and would form probably the most extensive area of this kind in the world, affording shade and shelter from the rays of the sun to thousands of citizens who have to cross it. At present, near the public fountains, it is occupied by laundresses, and in certain spots rubbish is thrown, but other parts are being planted, especially near the Senate House, the War Office, and those of Public Works and Foreign Affairs, the Museum and the new Mint, the latter one of the finest buildings in Rio. The municipal taxes are few, and it is not easy to find a surplus to be employed in ornamental works. As regards the railways, I must reserve my notice of them till my return from the Plate, as at present my sojourn in the Empire is limited to a couple of days in the capital. The terrible ravages of the cholera in the River Plate brought me back to Rio de Janeiro sooner than I had contemplated, as there was nothing whatever to be done down there under such circumstances. At one period both town and country places were threatened with absolute decimation, and the daily tales of horror exceeded almost anything on record. In many cases, when no one could be found to bury the dead inside ranchos, or cottages, they were set fire to as the only way of disposing of the bodies therein. In the Province of Buenos Ayres alone the loss of life is computed at 25,000, and other provinces suffered almost in an equal ratio, so that the actual loss of life and property in the Argentine Republic must have been something enormous. In the Banda Oriental the losses were severe, and at one time the mortality at Monte Video itself was almost as great as at Buenos Ayres. Farms were in many cases abandoned, and sheep and cattle left to roam at large; crops rotted in the ground, growers of fruits and vegetables were ruined, the markets for these products being closed, and their entrance into the town prohibited. In fact it appeared as if the destroying angel was passing over the devoted land; nor do I believe, from all I could learn on the
- 40. spot, that cholera was the only form of disease. It rather resembled the fearful destruction of the Israelites, when Moses and Aaron “stood between the living and the dead.” How soon, however, such fearful visitations are forgotten. Except from the general appearance of mourning when I returned to the River Plate about three months later, and the crowded state of the cemeteries, no one could imagine that Buenos Ayres and Monte Video had gone through such a fearful ordeal. Everything went on as usual, and people looked after their farms and their merchandise as if nothing had happened, though doubtless many feared the return of the hot season, before which very little will have been done in the way of sanatary precaution. That the cholera will become a permanent visitor in the River Plate seems unlikely, if we are to judge from its erratic course in other parts of the world, but no one can say that the scourge will not prevail until the cities and towns are effectively sewered and drained. The climate itself is healthy enough, but then this is no safeguard against epidemics, which have their origin in impurities allowed to accumulate until cities become pest-houses. On my return from the River Plate, in the beginning of February, I availed myself of the opportunity to ramble about the city and suburbs, to visit old friends, and to go over the railways, an account of which will be found under its proper head. The weather was still very hot, with frequent heavy thunder storms, some terrifically grand —more so than I ever remember during a two years' residence here. From my room window, at the Hotel dos Estrangeiros, I could see the whole heavens lighted up with frequent flashes, and now and again portions of the bay and of the mountains stood out as if from a sea of fire. Then the awful crash of the thunder, followed by instant and utter darkness, and with reverberations shaking the house to its foundations, all combined to heighten the grandeur and sublimity of the scene. As for sleeping in the midst of such turmoil, it was simply impossible. Both February and March were very wet, stormy months, and on one occasion some large trees were blown down about the city, and much damage done to the roofs of houses, many of which are not
- 41. very well protected from such visitations. Similar weather followed me to San Paulo, but on my return to Rio, after again visiting the River Plate, the weather was delightfully cool, fine, and pleasant, equal to the most agreeable portion of our summer weather in Europe. There is no doubt the climate of Rio de Janeiro is a healthy one, and it is a striking fact that scarcely any cases of epidemic have occurred since the sewerage of the city was completed, nor any visitation of cholera, notwithstanding sick and wounded were constantly arriving from the seat of war, and that the quarantine was merely nominal. I am convinced the very thunder storms to which I have alluded tend to purify the atmosphere. The deluges of rain of course exercise a great cleansing power, and it has been noticed in years when thunder storms did not prevail that much sickness followed. One requires to go closely over the city before he finds out improvements which have been effected in Rio, which are nowhere so palpable as when passing through the great public thoroughfares. With such a number of narrow intersecting streets, no adequate idea of the size or extent of the city can be formed until some of the hills about it are ascended, such as that of Santa Theresa. It is, however, from the top of the Corcovado that its dimensions are most striking, from whence also the spectator can form a fair notion of the extent of the bay. I have before remarked on the defective state of the landing-places, that most used, near the custom-house, being a very dirty, dilapidated wooden jetty, about which the rabble of the city seems to collect, and it is always a scene of much uproar and confusion. There is quite a Babel among the boatmen and their black hangers- on. There are some other landing-places, with stone steps, in front of the large square, whence the ferry-boats across the bay take their departure, but these are not very convenient, and the untidy state of the public market which stands here is a disgrace to the municipality. Indeed nothing can be more derogatory to a large city like Rio de Janeiro, possessing the finest harbour in the world, than such landing places, which create a most unfavourable impression on strangers. The Custom-house, with its wharves and warehouse, the
- 42. Marine Arsenal and Building-yard, together with the private wharves, occupy a large portion of the water frontage, but there is still sufficient space left, if it were properly laid out, as I believe is intended before very long, for decent landing-places for the public. Speaking of the Custom-house, the source from whence a large portion of the revenue of the country is derived, it is an unsightly building, though immense sums of money have been spent, and are still being spent, in order to obtain adequate accommodation for the increasing trade of the port. Hydraulic lifts and machinery of every possible kind are in course of erection, and a few years will doubtless see the Rio Custom-house take its stand as the finest building of the sort in South America. The old Praça do Commercio, or Exchange, with its dismal vaulted roof, remains unchanged since my last visit, but when the Custom-house is completed I believe it is intended to construct an exchange more worthy of the place, with suitable accommodation attached. This, as well as a foreigners' club, is much required at Rio, where the foreign population is numerous and influential, and ought to be represented in a manner consistent with its importance. When I lived here in the years 1848 and 1849, there was much sociability,—amongst the English residents at all events—but this appears to have quite died out, and even ceremonial visits are now rarely exchanged. The only society worthy of the name existing in Rio is that associated with the diplomatic circle, which is of course more or less exclusive in its character. I must nevertheless notice one institution in which I found a great change for the better. I mean the English Church. A good deal of money has been spent in connection with this edifice, entirely raised by private subscriptions, and certainly it has been well spent. The recess built out for the communion table is very pretty, and the organ is well placed, in a line with the body of the church. There is a good choir, the whole arrangements being very complete, and the service efficiently performed. The Rev. Mr. Preston is chaplain. Whilst in Rio, I went to the Palace of Sao Christovao, and had the honour of being presented to the Emperor, whom I was glad to see
- 43. looking well, but thinner than when I last saw him, fifteen years since. The Palace is well situated, on a rising ground, with a good prospect, and appears to be comfortable enough, but without any gorgeous display. The Court is very simple in its habits, and the democratic tendencies of the people render access to it comparatively easy. With regard to politics, the Government has generally an opposition party to contend with, both in the Chamber and in the Senate, but without impeding the regular proceedings of these bodies, which, on the whole, are conducted with great decorum, and the speeches are very fully and fairly reported,[5] occupying whole pages of the daily papers. The Jornal do Commercio still stands pre-eminent in the Rio press—as the Times, in fact, of the Brazilian Empire. The political discussions in the press, which are perfectly free, are often pursued with considerable acrimony. At the same time there is a degree of reticence observable which some of our newspaper writers would do well to imitate. Brazil does not lack parliamentary orators or able statesmen, but public business is trammelled with too much of red tapery as at home. The current of popular feeling does not run very deep from the fact that the bulk of the community are too much absorbed in their business occupations to leave them much time for political discussions, to which a large portion of Englishmen devote themselves because they have little else to do. It must not, however, be inferred from this remark that Brazilians are indifferent to what passes inside the walls of the Senate or of the Chamber. The support the Government has received in carrying on a long and costly war proves that the honour and well-being of the Empire is as dear to them as to the most patriotic people. I am glad to have to record the abolition of passports in Brazil unless specially asked for. I had occasion to notice the inconvenience caused on a late trip to the River Plate, and it is gratifying to see that Brazilian statesmen appreciate the march of events in this respect, as I trust will also soon be the case in facilitating the despatch of passengers' luggage. As a rule, passengers do not carry
- 44. with them articles subject to duty, though, of course, a surveillance in this matter is quite necessary. At Buenos Ayres there is a custom station on the mole or landing place where passengers can bring their luggage, which is at once examined and passed, thus saving much time and trouble. The Post-office is on the whole pretty well managed and letters are promptly delivered on arrival of the mails. The building is, however, quite unsuited to the requirements of so large a city as Rio de Janeiro, and I learn that it is intended to erect a fine new post-office in a square facing the Bay, which will be a great convenience to the public. I found the population on the opposite side of the bay had not increased as much as I expected, although the facility of crossing by the large American ferry steamers is a great convenience. Nitherohy is a large straggling place, supposed to contain a population of about 20,000, but there are many houses uninhabited, nor do the Rio people show much partiality for a residence there even at a much less rent. Some handsome villas have been built there, and it is intended to light the place with gas, which would be a decided advantage to the residents. Some of the islands in the upper parts of the bay are now cultivated and inhabited, and numerous small craft ply between them and Rio de Janeiro, bringing down fruits and vegetables. In the appendix to this volume will be found sundry official documents and statistical information in reference to the resources and commerce of Brazil. The institutions of the Empire are very favourable to mercantile development, and the great progress made within the past half century is indicative of a highly prosperous future. 2. The Bank, Exchange, Custom House, and Arsenal (of late years greatly extended) are in the Rua Direita. Besides these, the chief public edifices and the Imperial Palace, a plain brick building; the Old Palace, on the shore, used for public offices; a public hospital, alluded to elsewhere, erected in 1841; a
- 45. national library, with 800,000 printed volumes, and many valuable MSS.; and a well-supported opera house, which has supplied Europe with some very popular performers, especially in the ballet line, as witness that general favourite, Madame Celeste, who came from Rio, in 1830, with her sister Constance, another danseuse, and appeared for the first time in England at Liverpool, in the divertissement in Masaniello, Sinclair being Auber's hero. The educational establishments are the Imperial College of Don Pedro II.; the College of St. Jose; Schools of Medicine and Surgery; Military and Naval Academy; and many public schools. It has also many scientific institutions; a museum rich in Ornithology, Entomology, and Mineralogy; and a fine botanic garden. Of churches there are upwards of fifty, not of much external elegance, but most sumptuously decorated in the interior. 3. The inhabitants of Rio Janeiro are fond of carriages, but the specimens generally seen would hardly do for Hyde Park, being chiefly old-fashioned coaches, drawn by four scraggy mules, with a black coachman on the box, and a postillion in jack- boots on the leaders, sitting well back, and with his feet stuck out beyond the mule's shoulders. The liveries are generally gorgeous enough, and there is no lack of gold lace on the cocked hats and coats; but a black slave does not enter into the spirit of the thing, and one footman will have his hat cocked athwartships, the other fore and aft; one will have shoes and stockings with his toes peeping through, the other will dispense with them altogether. But the old peer rolls on unconscious, and I dare say the whole thing is pronounced a neat turn out. The Brazilians are great snuff-takers, and always offer their box, if the visitor is a welcome guest. It is etiquette to take the offered pinch with the left hand. Rapé is the Portuguese for snuff, hence our word Rappee. They do not smoke much. The opera was good, the house very large, tolerably lighted, but not so thickly attended as it might be. The ladies look better by candle light, their great failing being
- 46. in their complexions, the tint of which may be exactly described by the midshipman's simile of snuff and butter. The orchestra was good, many of the performers being blacks or mulattos, who are excellent musicians. The African race seem to like music and generally have a pretty good ear. Both men and women often whistle well, and I have heard the washerwomen at their work whistling polkas with great correctness. I was amused one evening on going out of the opera when it was half over: offering my ticket to a decent- looking man, he bowed, but refused it, saying that men with jackets were not allowed in the house.—Elves. 4. The population of Rio, on the arrival of the royal family, did not amount to 50,000, but afterwards rapidly augmented; so that in 1815, when declared independent, the number had nearly doubled, and now is estimated at about 400,000 with the suburbs and the provincial capital of Nitherohy, on the opposite shore of the Bay. This increase is partly to be ascribed to the afflux of Portuguese, who have at different times left their country in consequence of the civil commotions which have disturbed its peace, as well as of English, French, Dutch, German, and Italians, who, after the opening of the port, settled here, some as merchants, others as mechanics, and have contributed largely to its wealth and importance. These accessions of Europeans have affected a great change in the character of the population, for at the commencement of the century, and for many years afterwards, the blacks and coloured persons far exceeded the whites, whereas now they are reduced to less than half the inhabitants. In the aggregate population of the empire, however, the coloured portion is still supposed to be treble the white. 5. The difference between reporting proceedings of the Brazilian and English legislatures is that the latter appear daily, whilst it takes many days before speeches in the Brazilian Chambers
- 47. are published, and frequently a large double sheet is issued to make up for arrears.
- 48. THE WAR IN PARAGUAY. Leaving for the moment the narrative form, I devote a chapter to this lamentable struggle, which has entailed such serious consequences on Brazil, and which at the time I am writing is yet undetermined. Writers have differed much as to the origin of the war, but none have shown how it could have been avoided. I may observe en passant that so far from having entertained any prejudices against Paraguay, my sympathies have always been in favour of that country as evinced during my visit to the River Plate in 1853, at which period the elder Lopez was alive, and there appeared to be dawning in the future, not only an era of internal development for a very fine, fertile territory, but also a relaxation of the iron rule under which the people had so long groaned, by encouraging, to a limited extent it might be, commercial relations with other countries. Lopez had joined Brazil in putting down the tyranny of Rozas and in restoring a free government to the Argentine provinces; the rivers were to be opened by treaty to all nations, and an era of peace and prosperity appeared to be the natural result of these arrangements. The visit of the younger Lopez to Europe, it was thought, would have instilled into his mind the fact that all the wealth he saw there emanated from commerce, and that his first object would be to render Paraguay a commercial country. Unfortunately, however, he seems to have become more enamoured with the martial attitude of France than anything else, and determined on his return home to develop the military instead of the commercial resources of Paraguay. His ambition was centered in organizing a large army, fortifying the river approaches to Asuncion, and creating a small but efficient steam fleet. The experience of the past was thrown away,
- 49. and on succeeding his father in the dictatorship, it became evident that his policy was to be one of aggrandisement, if it meant anything at all, and that, in other respects Paraguay was to continue isolated from her neighbours, and to stand aloof from participation in the business of the world. Paraguay had no enemies, nor was there any desire to trouble her; her territorial position secured her safety from attack, and it is impossible that all this military and naval preparation on the part of Lopez could have been merely intended for purposes of self-defence. The truth is, that Lopez had always coveted that portion of territory called the Missions, formerly a great stronghold of the Jesuits, but now part of the Argentine Confederation; and the possession of this would bring him close upon Uruguay, where the sea port of Monte Video afforded a tempting prize. At the same time, all this involved the prospect of a collision with other Powers, against which it was necessary to provide, and this I believe to be the true reason for the great military preparations of Lopez. I have already said that Paraguay joined with Brazil in putting an end to the tyranny of Rozas, and entered into a treaty by which the navigation of the upper rivers was to be free and the independence of Uruguay to be recognised. If ever Brazil had any sinister design on the latter State this was the time when she would have been most likely to assert it, but no such disposition was evinced. On the contrary, it was the wish as well as the interest of Brazil to keep Monte Video a free port, and the rivers open to the flags of all nations. Unfortunately for the peace of South America, Monte Video has never had a strong and independent Government, and during the presidency of Berro disorders broke out on the frontier. The persons and properties of Brazilian subjects were exposed to the inroads of lawless marauders from Uruguay, until at length the patience of the people of Rio Grande was exhausted, and they threatened to take up arms in their own defence, if the Imperial Government did not at once interfere for their protection. This statement has been personally confirmed to me by large landed proprietors who were themselves on the spot and suffered from the causes here referred to. Brazil was, therefore, compelled to send troops to the frontier and to follow the marauders into Uruguay, until such time as she could obtain fresh guarantees
- 50. from a Government which had proved itself totally incompetent to deal with the matter. Then came the Colorado movement, headed by Flores, and further complications ensued, which might have been settled by the timely intervention of foreign Governments, but the men in power were quite deaf to all friendly remonstrances. The flag of Brazil was grossly insulted, trampled on in the streets of Monte Video, and the treaty with her publicly burnt. Recent melancholy occurrences in that city have shown what excesses can be committed from party spirit, and how difficult it was at the period I allude to, to avoid an armed intervention. How these acts affected the interests of Paraguay it is not easy to conceive. Brazil agreed to recognise the independence of Uruguay, and she left it in that condition, stronger than it had been for some years previously. It is true that about this time Lopez had given notice to Brazil that any interference in the affairs of Uruguay, or the entry of Brazilian troops into Uruguayan territory, would be considered by him as a casus belli —a piece of impertinence that Brazil might well disregard, as the rights of nations allowed reprisals for injuries received, and this was all Brazil carried into effect. Up to the point mentioned Lopez had, therefore, no real or ostensible cause of war against Brazil, but she stood in the way of the consummation of his ambitious designs, and so he made what he termed an interference in Uruguay the pretext for setting his legions in motion. Without any declaration of war, he seized and took forcible possession of the steamer Marquis de Olinda whilst on a peaceable errand up the River, with Carneiro de Campos, the President of Matto Grosso on board, and has retained him prisoner ever since; he marched a division into Brazil, and occupied the frontier town of Uruguayana, simultaneously sending his fleet down, no doubt to co-operate with his troops, but this was prevented by the gallant action of the Riachuello, in which the Paraguayan navy was nearly destroyed by the Brazilians. The proceedings of Lopez towards Brazil were, therefore, offensive and insulting in the highest degree, and still more so towards the Argentine Republic, which had really given him no cause of offence beyond daring to remain neutral, and consequently refusing to allow the passage of troops through its territory. Upon the refusal of
- 51. General Mitre to grant such permission, he crossed the Parana and invaded Corrientes, seizing two Argentine vessels as well as the persons and property of Argentine subjects, on whom he levied black mail. These extreme measures taken by Lopez towards both countries were in pigmy imitation of the first Napoleon, whose tactics Lopez affected to follow by seizing the persons, property, and territory of his neighbours before it was possible for them to offer any opposition. Such an offence against the laws of nations could lead only to an alliance against him as a common enemy, with the condition that the aggrieved nations would not lay down their arms until the offender was punished by expulsion from Paraguay. In Europe this course was adopted against Napoleon I. and in South America, under nearly identical circumstances, an equally strong measure was rendered necessary for the future peace and security of the allies. If a case in point was required on the spot, Paraguay itself had joined in the expulsion of Rozas, because no security existed for any one so long as that tyrant dominated at Buenos Ayres. That neither Brazil nor the Argentine Republic anticipated such conduct on the part of Lopez is evident from the unprepared state of both, the latter being at the time literally without army or navy; indeed, the first check given to the advance of Lopez was by the late General Flores, at the head of a gallant little band of Oriental troops in conjunction with those of Brazil. No impartial person can question, therefore, that Lopez has been the sole cause of this long and bloody war, and that he committed a glaring act of violence towards his neighbours, who were compelled in self-defence to enter into a league for the expulsion of so dangerous a character. To have made peace on any other terms would have been only playing with a firebrand. It is not my purpose in this chapter to criticise the manner in which the war has been conducted, or to point out mistakes which may have been made. Intelligent Brazilians believe that, instead of sending a large army by sea, it would have been better to have made a diversion by marching across the country to the interior of Paraguay, direct to Asuncion, leaving Humaita blockaded. Thus a
- 52. large amount of money would have been expended in Brazilian territory. Whether this would have hastened the conclusion of the war it is difficult to say, but the direct advantages in other ways would no doubt have been considerable. However, Brazil is not the only country that has blundered in carrying on a distant war, as we know to our cost. That they did not anticipate so vigorous a resistance is certain, nor was it possible to suppose that any section of the Argentine people, whose nationality had been grossly insulted, would have been lukewarm, or have desired to make peace until the object of the struggle was accomplished.
- 53. THE PROVINCE OF SAN PAULO. Availing of an opportunity to accompany a friend to this province, we left Rio on Tuesday, the 18th of February, on board the steamer Ptolemy, with a remarkably smooth sea, and a light, but cool breeze. We reached Santos early the following morning. The steamer was at once moored alongside an iron wharf, facing the Custom House, and Mr. Miller, one of the railway officials, came on board with the unpleasant information that the railway was stopped, owing to the heavy rains, which appeared to have prevailed here as at Rio. The town did not look very inviting under the influence of a hot sun, but Mr. Miller kindly offered us rooms at the station, where he himself lived, and made us very comfortable. There was every prospect of our being obliged to walk up to the top of the Serra, but fortunately, on the 20th, a telegram came to announce that the line would be opened to San Paulo the next morning, when we started with a small train, arrived at 2.33, and drove to the Hotel d'Italia, where rooms had been engaged for us. The province of San Paulo has played a distinguished part in the history of Brazil, and has latterly attracted much notice from its production of cotton, in addition to the large quantity of coffee grown and shipped from the port of Santos, both of which articles are expected to be greatly increased by the railway facilities. There can be no doubt that the province offers splendid scope for emigration, if properly applied, and this important subject will be specially treated of after I have collected together the requisite materials. Certainly the size, extent, and evident prosperity of the city of San Paulo surprised me, no less than its superiority in most of the comforts and luxuries to places more favourably situated by their
- 54. proximity to the sea; but the large number of old churches, convents, colleges, and public institutions date its origin from the time of the Jesuits, who must have been very industrious and wealthy to have found the means for building such huge places, with the object of perpetuating their order, and for the spread of the Roman Catholic religion. I much regretted that the stoppage of the railway, and very unfavourable weather—constant thunder storms, with deluges of rain—prevented me travelling some distance into the interior, where the coffee and cotton plantations lie, but the accounts received from others, who possess a thorough knowledge of the localities, enable me to speak most highly of its resources. His Excellency, Saldanha Marinho, the President of San Paulo, and who by his affability and business habits has won the esteem and affection of the people, received me kindly during my stay here. He is a determined supporter of every practical measure having for its object the improvement of the city and of the province. Respecting the great work of the railway, on which so much of the future welfare of the province depends, I will endeavour to give a tolerably ample description; but to begin with, it may not be out of place to quote as follows from the work of Mr. Scully, entitled “Brazil and its Chief Provinces”:— “Passing over the Mugy river you arrive quickly at the foot of the gorge formed by the two out-jutting spurs of the buttress-like mountain, and the black defiant ravine is suggestive of anything but a railway course. Here the line climbs boldly up the side of the Mugy spur, at a usual ascent of one in ten, crossing mountain torrents, leaping gloomy chasms, cutting through solid rocks, holding hard on to every foot gained, until it attains a resting-place upon the table land, 2,600 feet high, after five miles of gigantic excavations, removing 1,100,000 cubic yards of granite rock and earth. “Here we must give a slight idea of how this daring plan is utilised, which was at one time laughed at as an engineering impossibility, and which even yet stands pre-eminent among similar works. “This entire and almost straight ascent of upwards of five miles is divided into four “lifts” of about a mile and a quarter each, having a level platform of some 400 feet in length between them. On these lifts, as in general on all the line, the track is single, except at the upper half, where it is doubled to admit of the ascending and descending trains passing each other. At the upper end of each platform is placed
- 55. a powerful stationary engine of 200 horse-power, whose two cylinders are 26 inches diameter and 5 feet stroke, calculated to haul up 50 tons at the rate of ten miles an hour, which are supplied by five Cornish boilers, three of which suffice for the duty. “A steel wire rope, tested to a strength far exceeding the requirements which will ever be made upon it, passes over a friction-wheel on each side of the fly-wheel drum upon which it is wrapped round, and, one end being attached to an ascending and the other to a descending train, it is intended to make the “lift” partially self-acting, as it now wholly is at one of the inclines which is not supplied with its stationary engine, the weight of the descending train drawing up the ascending one. Powerful brakes that will stop a train instantly are supplied to guard against a breaking down of any part of the machinery, or a rupture of the rope. From this short description our readers can form an idea of the mechanical contrivances for effecting the ascent. “Throughout these wonderful inclines the most majestic and wild scenery is observed along the slightly winding way. On the third lift occurs a ravine still more gloomy than the rest, which is called the Boca do Inferno (Mouth of Hell); that, having a width of 900 feet, is crossed by an iron viaduct, which lies on rows of iron columns resting on stone piers 200 feet below in the centre of the line.” I have great pleasure in endorsing all Mr. Scully says as to the excellent qualities of the railway officials, and can also affirm that to Mr. Aubertin and Mr. Hutchings is due the extraordinary development that has been effected in the production of cotton.
- 56. THE SAN PAULO RAILWAY. I will now proceed to describe the railway in my own terms, without reference to the statistics or the reports that have been published about it. My impression on leaving the station was that of setting off on an adventurous journey—not merely ensconcing oneself in the corner of a railway carriage and taking a comfortable nap. Curiosity was excited to the utmost, after the accounts I had heard, and the temporary stoppage of the line by recent heavy rains washing down some of the slopes of the cuttings rather added to the interest of a first visit. There was a tolerable amount of bustle at starting, but away we went about eleven o'clock, over low, swampy ground. For seven miles the rails run parallel with the old road to Santos, and the bridge at Cubitao (an arm of the sea) is passed, beyond which for a further distance of six and a half miles (making 13½ miles to the foot of the Serra) it becomes a dense mass of forest and jungle, which it must be difficult to convert to any useful purpose; indeed, the curse of the country is this mass of useless forest, only fit for the haunts of wild animals and reptiles. How they have hitherto been able to carry on the traffic between Santos and San Paulo is a mystery when we look at the country and miles of wood passed through. However, we are now in sight of the first rise of the mountain, which looks grim enough, and the train comes to a stop at the station, after passing an open space of ground, on which stands a house, built and formerly inhabited by the contractors, with almost a little village about it, occupied by their staff, &c., where, I understand, cricket was often played to while away the leisure hours after the labours of the day. Now everything is going to wreck, and if the land is not kept clear it will soon be a jungle again: such is the
- 57. quick growth of vegetation in this country and so rank does it become. The station at the foot of the Serra is a good substantial sort of house, the station master being a young German, with a wife and family, very comfortable adjuncts in so lonely a spot; and the house was surrounded by fowls and other live stock needful to family wants. We stood contemplating the height we had to be dragged with a certain kind of awe, and presently we saw the train descending, which it did steadily enough, bringing Mr. Aubertin, the general manager, Captain Burton, her Majesty's consul, and some other notabilities of San Paulo. The former gentlemen returned with us, adding materially to the interest and pleasure of the trip by their intelligent knowledge of all we had to see and pass through. Bridge Viaduct on the San Paulo Railway. Well, the signal is given, and we are off, mounting an incline of about 1 in 10 for a distance of some 800 yards, where there is a curve, and we are shut out from the lower level of the line, steadily
- 58. ascending the mountain, until we reach the first lift, about 1¼ miles. After a short delay, we were hooked on the second lift, and as we mount the scenery becomes grander, the shadows of the mountains deeper, and the work becomes heavier. I was surprised to find so many curves, which are an additional strain on the wire rope, as well as an additional risk, requiring close attention to the break, where we rode in order to have a good view of everything. Mr. Fox, engineer-in-chief, and Mr. Welby, locomotive superintendent, were with us, and we got down to look over Fairburn's splendid stationary engines, which are of 200 horse-power, embedded in a granite foundation, about 40 feet deep, with live boilers to each, three being generally used. The curves continue on the third lift, close to which, entering the fourth lift, is the wonderful viaduct across a chasm in the mountain, which makes your head giddy to look down. The bridge is certainly a great engineering achievement, resting on iron pillars with a stone foundation, the centre being nearly 200 feet deep. We are accustomed to great altitude of railway bridges at home and elsewhere, but there is a peculiar aerial look about this one which makes one glad to be over it. At one point in this fourth section is a fine view of a deep valley behind us, the opposite mountain one dense mass of forest, and the scene is inexpressibly grand. To have made the lifts straight would have necessitated frequent tunnelling and added another half million to the cost of construction. On reaching the top of the Serra, a distance of about five miles from its base, the break is detached, a locomotive takes hold of the six carriages which have come up in two lifts, and away we whisk for some time through a thickly wooded country, for a distance of about 48 miles, stopping at several stations. Some miles before reaching San Paulo are the Campos, or level plains, covered with a short grass, and rather swampy, but no cattle are to be seen, owing, I believe, to the number of insects which fasten on them, causing sores, and being otherwise injurious. It is, however, a great relief to the eye, after the dense forests passed through, to come upon plains.
- 59. From San Paulo the line passes on to Jundiahy, a distance of 44 miles, or a total length from Santos of 88 miles, the chief interest of course being centred in the gigantic works of the Serra. The San Paulo Railway is undoubtedly one of the grandest works yet made with English capital in Brazil, and it is destined to play a very important part in the future development of this fine province. Engineering mistakes have, undoubtedly, been made, and the want of a personal superintendence of the engineer-in-chief, at all events during the construction of the important works of the Serra, is amongst the complaints made by the Brazilian Government, as also the manner in which the contract was executed. It is also questionable whether another and less costly route could not have been selected to be worked by locomotives, instead of the old fashioned but dangerous lifts. However, for the present, this is mere matter of controversy or opinion. The railway is made, though far from being complete or perfect, and it is evident that a considerable expenditure has to be faced before sufficient traffic can be carried on to realise the expectations of directors and shareholders, few of whom know anything about the undertaking or are able to comprehend the difficulties it has still to pass through. It is curious that the real traffic is only tapped at the extreme end of the line (Jundiahy), where only commences cotton growing, and the great coffee plantations are some 30 miles further on, to which district a private company is now trying to get the line extended. One advantage possessed by the existing company will be in having their mileage rate for the bulk of their traffic over the whole of the line, and of course it will be an additional advantage to present shareholders if the line should be continued to Campinas, which is, I believe, a large and thriving place, the abode of many wealthy proprietors. Passenger traffic can only be limited for some time to come, from the absence of a resident population along the line; at the same time it will naturally increase between Santos, San Paulo, and the upper part of the Province, particularly when the line is extended in that direction. The stoppage of the line is between San Paulo and Jundiahy, where the cuttings have given way to some
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