Ethnicity: Theory and Experience

Ethnicity Theory and Experience Ethnicity T h e o r y and Experience Edited by Nathan Glazer and Daniel P. Moynih...

Author: Nathan Glazer | Daniel Patrick Moynihan

358 downloads 2519 Views 8MB Size Report

This content was uploaded by our users and we assume good faith they have the permission to share this book. If you own the copyright to this book and it is wrongfully on our website, we offer a simple DMCA procedure to remove your content from our site. Start by pressing the button below!

Report copyright / DMCA form

DOWNLOAD PDF

Ethnicity

Theory and Experience

Ethnicity

T h e o r y and Experience

Edited by Nathan Glazer and Daniel P.

Moynihan

with t h e assistance of C o r i n n e Saposs Schelling

Harvard

University Press

Cambridge, Massachusetts, and London,

England

C o p y r i g h t © 1975 by t h e P r e s i d e n t a n d Fellows of H a r v a r d C o l l e g e All r i g h t s r e s e r v e d Fifth

printing,

1981

Library of Congress Catalog C a r d N u m b e r 74-21230 I S B N 0 - 6 7 4 - 2 6 8 5 5 - 5 (cloth) ISBN 0-674-26856-3 (paper) P r i n t e d i n t h e U n i t e d States o f A m e r i c a

(

Acknowledgments

T h i s b o o k i s t h e p r o d u c t of a c o n f e r e n c e , c o n v e n e d w i t h t h e s u p p o r t of the Ford Foundation at the American A c a d e m y of Arts a n d Sciences in Brookline, Massachusetts, in O c t o b e r 1972. F o r t h a t c o n f e r e n c e , w e a s k e d s e v e r a l i n d i v i d u a l s t o p r e p a r e s h o r t p a p e r s that m i g h t s e r v e as a basis of d i s c u s s i o n . Following" t h e c o n f e r e n c e , we a s k e d t h o s e w h o h a d p r e p a r e d p a p e r s for t h e c o n f e r e n c e t o e x p a n d t h e m ; we asked others, some of w h o m had been present at the conference, some not, to p r e p a r e additional papers. O u r intention w a s t o p r e s e n t s o m e ( h a r d l y all) t h e o r e t i c a l a p p r o a c h e s , a s well a s s o m e m o r e e m p i r i c a l p a p e r s d e s c r i b i n g t h e v a r i e t y of s i t u a t i o n s i n which ethnic g r o u p s distinguish themselves in different countries of the world. N o t h i n g , we realize, is covered in detail: for E u r o p e o u t s i d e Russia, w e h a v e o n e c h a p t e r c o v e r i n g s o m e d e v e l o p m e n t s i n S w i t z e r l a n d . B e l g i u m , a n d t h e N e t h e r l a n d s (William P e t e r s e n ) . F o r all o f Latin A m e r i c a , w e h a v e o n e c h a p t e r d e a l i n g with P e r u ( F r a n c o i s B o u r r i c a u d ) : l o r all o f A f r i c a , t h e r e i s o n e c h a p t e r o n a n a s p e c t o f e t h n i c r e l a t i o n s i n U g a n d a (Ali M a z r u i . ) O n e c h a p t e r a p i e c e d e a l s w i t h t h e vast c o m p l e x i t i e s o f t h o s e t h r e e s u b c o n t i n e n t a l r e a l m s , Soviet R u s s i a . C h i n a , a n d I n d i a ( R i c h a r d P i p e s , L u c i a n P v e , a n d J y o t i r i n d r a Das G u p t a . ) M i l t o n F s m a n reviews t h e s i t u a t i o n i n S o u t h e a s t Asia. A u s t r a l i a , w h i c h lias r e c e n t l y b e c o m e e t h n i c a l l y r e m a r k a b l y diversified o w i n g t o p o s t - W o r l d W a r I I i m m i g r a t i o n , i s u n f o r t u n a t e l y i g n o r e d . O n e c h a p t e r takes u p e t h n i c i t y i n C a n a d a (John Porter): there is one on that amazing m u s e u m of ethnicity, the

A

VI

cknowledgments

W e s t I n d i e s , w h i c h d e a l s with o n e of t h e s m a l l e r g r o u p s of t h a t a r e a ( O r l a n d o P a t t e r s o n ) ; a n d t w o p a p e r s t o u c h o n d i f f e r e n t a s p e c t s of ethnicity in the United States ( A n d r e w Greeley a n d William C. M c C r e a d y a n d M a r t i n Kilson.) W e a r e all t o o a w a r e t h a t t h e c o n f e r e n c e a n d t h e book that followed d r e w heavily f r o m t h e b a n k s of the Charles River, a n d that m a n y o t h e r p e r s o n s u n r e p r e s e n t e d in this b o o k e x c e p t i n f o o t n o t e s h a v e b e e n w o r k i n g f o r m a n y y e a r s i n developing o u r u n d e r s t a n d i n g of ethnicity. NG DPM

4

Contents

Introduction N A T H A N GLAZER A N D D A N I E L P. M O Y N I H A N

1

TOWARD A GENERAL THEORY 1 Basic G r o u p Identity: T h e Idols o f the T r i b e H A R O L D R. ISAACS

29

2 Some Theoretical Considerations on the Nature a n d T r e n d s of C h a n g e of Ethnicity TA

LCOTT

PARSO

N

S

5S

3 T o w a r d a G e n e r a l T h e o r y o f Racial a n d Ethnic G r o u p Relations M I L T O N M. G O R D O N

84

4 Ethnic Identity D O N A L D L. H O R O W I T Z

11I

5 E t h n i c i t v a n d Social C h a n g e D A N I E L BELL

14 1

V111

Contents

T H E OLD WORLD AND T H E NEW 6 On the Subnations of Western E u r o p e WILLIAM PETERSEN

177

T h e Transmission of Cultural Heritages: T h e Case of the Irish a n d the Italians A N D R E W M. GREELEY A N D W I L L I A M C. M c C R E A D Y

209

8 B l a c k s a n d N e o - E t h n i c i t v i n A m e r i c a n Political Life M A R T I N KILSON

236

9 Ethnic Pluralism in Canadian Perspective J O H N PORTER

267

10 C o n t e x t a n d Choice in Ethnic Allegiance: A Theoretical F r a m e w o r k a n d Caribbean Case Study ORLANDO PATTERSON 11 I n d i a n , Mestizo, and Cholo as Symbols in the P e r u v i a n Svstem of Stratification FRANCOIS BOURRICAUD

305

350

T H E NEW STATES 12 C o m m u n a l Conflict i n S o u t h e a s t Asia M I L T O N J. ESMAN

391

13 E t h n i c Stratification a n d the Military A g r a r i a n C o m p l e x : T h e U g a n d a Case A LI A. M A Z R U I

420

Contents

T H E OLD EMPIRES 14 Reflections on t h e Nationality P r o b l e m s in t h e Soviet U n i o n R I C H A R D PIPES

453

15 Ethnicity, L a n g u a g e D e m a n d s , a n d National Development in India J Y O T I R I N D R A DAS G U P T A

466

16 China: Ethnic Minorities a n d National Security L U C I A N W. PYE

489

List o f C o n t r i b u t o r s

513

Index

5H

Ethnicity

Theory and Experience

N A T H A N GLAZER AND DANIEL P. M O Y N I H A N

Introduction

Ethnicity seems to be a new t e r m . In the sense in which we use it—the c h a r a c t e r o r quality o f a n ethnic g r o u p — i t d o e s not a p p e a r in t h e 1 9 3 3 e d i t i o n of t h e Oxford English Dictionary, b u t it m a k e s its a p p e a r a n c e i n t h e 1 9 7 2 Supplement, w h e r e t h e f i r s t u s a g e r e c o r d e d is t h a t of D a v i d R i e s m a n in 1 9 5 3 . It is i n c l u d e d in Webster's Third New International, 1 9 6 1 , b u t d i d n o t f i n d its way i n t o t h e R a n d o m H o u s e Dictionary of the English Language of 1 9 6 6 , n o r t h e American Heritage Dictionary of the English Language, 1 9 6 9 . It d i d , h o w e v e r , m a k e t h e 1 9 7 3 e d i t i o n of t h e American Heritage Dictionary, w h e r e it is defined as " 1 . T h e condition of belonging to a particular ethnic g r o u p ; 2 . E t h n i c p r i d e . " O n e s e n s e s a t e r m still o n t h e m o v e . T h e f i r s t o f t h e s e t w o d e f i n i t i o n s f i t s well w i t h o u r o w n : a n o b j e c t i v e c o n d i t i o n . The second, h o w e v e r , is decidedlv subjective, that of " p r i d e . " H o w very different from an old m e a n i n g , "obs. r a r e " as t h e O E D h a s it, " h e a t h e n d o m : h e a t h e n s u p e r s t i t i o n . " A t t h e v e r y least, a c h a n g e o f r e l a t i v e s t a t u s i s g o i n g o n h e r e . All o f w h i c h m a y p r o m p t t h e r e a d e r t o ask h o w u s e f u l this " n e w " t e r m is. A n y s u c h c a t e g o r i z a t i o n t a k e n u p a n d g i v e n c u r r e n c y b y sociologists suffers from a certain p r e s u m p t i o n of disutility. Does it mean a n y t h i n g n e w , or is it s i m p l y a n e w way of s a v i n g s o m e t h i n g o l d ? D o e s i t m a k e for g r e a t e r p r e c i s i o n i n d e s c r i b i n g t h e w o r l d , o r d o e s i t m e r e l y c o m p o u n d t h e c o n f u s i o n , fuzz f u r t h e r t h e f u z z i n e s s ? Is it t h e result of insight,«or t h e resort of b e w i l d e r m e n t ? A r e a d e r o f t h i s v o l u m e for e x a m p l e m i g h t well ask a n y o r all o f t h e s e q u e s -

2

Nathan

Glazer

and

Daniel

P.

Moynihan

t i o n s a s h e e n c o u n t e r s this s i n g l e t e r m a p p l i e d t o p h e n o m e n a a s various as the survival of psychological differences b e t w e e n Italian a n d I r i s h A m e r i c a n s i n t h e U n i t e d S t a t e s ; b l a c k politics h e r e ; t h e difficult e f f o r t t o f i n d a s a t i s f a c t o r y p l a c e f o r t h e F r e n c h - s p e a k i n g element in an undivided Canada; the restrained but devastating conflict b e t w e e n F l e m i n g a n d W a l l o o n i n B e l g i u m ; t h e l o o m i n g n a t i o n a l i t i e s issue i n S o v i e t R u s s i a ; t h e l a n g u a g e p r o b l e m i n I n d i a ; b o r d e r m i n o r i t i e s i n C h i n a ; t h e s t a t u s o f I n d i a n a n d mestizo i n P e r u ; t h e a l l - i m p o r t a n t issue in Africa of which tribes got r e c r u i t e d for the m o d e r n armies there. T h e p h e n o m e n o n seems e v e r y w h e r e to be e n c o u n t e r e d , b u t s o m e h o w , e v e r y w h e r e , also, v a r i o u s . Does a single t e r m help? W o u l d it not be better to describe s u c h varied p h e n o m e n a as linguistic, national, religious, tribal, racial, a n d t h e like, d e p e n d i n g o n t h e i r n a t u r e ? W o u l d i t n o t b e b e t t e r t o s e p a r a t e t h e very d i f f e r e n t p r o b l e m s o f old n a t i o n s f r o m t h o s e o f t h e n e w ? of the developed world from those of the developing? of heterogeneous empires from h o m o g e n e o u s nation-states? Are these not, in t r u t h , age-old h u m a n characteristics a n d sentiments, expressing themselves, p e r h a p s , in new settings, but in themselves n o t h i n g n e w ? I s n ' t this r e a l l y w h a t w e a r e d e a l i n g w i t h h e r e ? N o , it is not. Such, in any event, is o u r c o n t e n t i o n . S o m e t h i n g n e w has a p p e a r e d . T h e object o f this v o l u m e — t h e w o r k o f m a n y m e n n o o n e o f w h o m n e e d s u b s c r i b e t o t h e views o f t h e e d i t o r s — i s t o p r e s e n t c e r t a i n t h e o r e t i c a l e x p l a n a t i o n s f o r this a p p e a r a n c e a n d to provide a n u m b e r of concrete illustrations. We c a n n o t h o p e to b e c o n c l u s i v e i n o u r e f f o r t , t o s e t t l e t h e m a t t e r o n c e a n d f o r all. T h e p h e n o m e n o n is too new a n d , doubtless, o u r own r a n g e too l i m i t e d . H e n c e w e d o n o t ask a n y f i n a l a s s e n t f r o m t h e r e a d e r . Y e t we do h o p e for a certain o p e n n e s s to the idea that t h e r e may indeed be s o m e t h i n g new here. A r e a d e r of the early n i n e t e e n t h c e n t u r y , e n c o u n t e r i n g the assertion that industrialization was s h a p i n g d i s t i n c t i v e social classes, c o u l d well h a v e s h r u g g e d i t o f f w i t h t h e t h o u g h t t h a t t h e r e h a d a l w a y s b e e n social r a n k s , a l w a y s diff e r e n t w a y s o f e a r n i n g a living. Yet t o h a v e d o n e s o w o u l d h a v e b e e n t o m i s s a b i g e v e n t o f t h a t a g e . S i m i l a r l y , w e feel t h a t t o s e e only w h a t is familiar in the ethnicity of o u r time is to miss t h e e m e r g e n c e o f a n e w social c a t e g o r y a s significant f o r t h e u n d e r -

Introduction

3

s t a n d i n g o f t h e p r e s e n t - d a y w o r l d a s t h a t o f social class itself. F o r in the welter of contemporary forms of g r o u p expression a n d g r o u p conflict t h e r e i s b o t h s o m e t h i n g n e w a n d s o m e t h i n g c o m m o n : there has been a p r o n o u n c e d a n d sudden increase in tendencies b y p e o p l e i n m a n y c o u n t r i e s a n d i n m a n y c i r c u m s t a n c e s t o insist o n t h e s i g n i f i c a n c e o f t h e i r g r o u p d i s t i n c t i v e n e s s a n d i d e n t i t y a n d o n n e w rights that derive f r o m this g r o u p c h a r a c t e r . Despite the e n o r m o u s diversity a m o n g the g r o u p s a n d situations in which such tendencies have become evident, and a m o n g the issues a n d d e m a n d s raised by e a c h g r o u p , it is possible to e x p l o r e t h e s e v a r i o u s e x a m p l e s o f g r o u p a s s e r t i v e n e s s a n d conflict i n t e r m s of what they have in c o m m o n . Each, of course, arises in a distinctive h i s t o r i c a l a n d social s e t t i n g a n d m u s t b e t r e a t e d a s u n i q u e i n t h e s e n s e t h a t e v e r y t h i n g i n h u m a n a f f a i r s i s u n i q u e . Y e t i t i s also necessary, we a r e convinced, to search for c o m m o n sectors. Perh a p s t h e s e a r e d e e p l y felt h u m a n n e e d s t h a t h a v e a l w a y s b e e n p r e s e n t b u t o n l y r e c e n t l y f o c u s e d b y c e r t a i n political a n d social d e v e l o p m e n t s t h a t h a v e g i v e n r i s e t o n e w c o m m o n social c i r c u m stances in m a n y countries in the postwar world. Merely to begin s p e c u l a t i o n i s t o e n c o u n t e r t h e r a n g e o f possibilities. I n o t h e r c i r c u m s t a n c e s i t w o u l d b e t h e task o f a n i n t r o d u c t i o n t o a v o l u m e o f s o m e h a l f - d o z e n t h e o r e t i c a l essays o n a g i v e n social p h e n o m e n o n , a n d eleven accounts of how the p h e n o m e n o n exp r e s s e s itself i n a v a r i e t y o f n a t i o n s a n d p a r t s o f t h e w o r l d , t o a d d r e s s key q u e s t i o n s , i n this c a s e q u e s t i o n s c o n c e r n i n g e t h n i c i d e n t i t y , a s s e r t i v e n e s s , a n d conflict t o d a y : w h e t h e r t h e y a r e d e e p l y f o u n d e d i n h u m a n n e e d s , o r i n n e w social d e v e l o p m e n t s , o r i n t h e c h a r a c t e r i s t i c s o f m o d e r n s t a t e s , a n d s o f o r t h . T h e o b j e c t o f t h i s int r o d u c t i o n — a n d of the volume—is m o r e modest: not a t h e o r y , b u t a b u n d l e o f p a r t i a l t h e o r i e s ; n o t a n e x h a u s t i v e s o u r c e , b u t a n illustrative o n e ; not definitiveness, b u t m e r e l y the assertion that h e r e is a p h e n o m e n o n t h a t must be s t u d i e d . T h e claim is m o d e s t but is not u n i m p o r t a n t , h o w little a t t e n t i o n e t h n i c i t y a s a p h e n o m e n o n tics h a s r e c e i v e d u n t i l t h e last few y e a r s . T h u s , a p p r o p r i a t e definition and characterization a v a i l a b l e h a n d b o o k s . G. D u n c a n M i t c h e l l ' s .4

when one considers in society a n d poliin o u r search for an we reviewed some Dictionary of Sociology

4

Nathan

(Chicago, Aldine,

1968)

Glazer

does

and

Daniel

P.

Moynihan

not contain an entry

for "ethnic

g r o u p s " or "ethnicity"—although it does contain an e n t r y for "ethn o c e n t r i s m . " ( T h e s a m e i s t r u e o f t h e m u c h o l d e r Handbook o f Sociology b y E d w a r d B y r o n R e u t e r , N e w Y o r k , D r y d e n P r e s s , 1 9 4 1 . ) A Modern Dictionary of Sociology by G e o r g e A. a n d A c h i l l e s G. T h e o d o r s o n ( N e w Y o r k , T h o m a s Y . C r o w e l l , 1969) d o e s c o n t a i n a n e n t r y f o r " e t h n i c g r o u p " b u t o n e w h i c h reflects a s o m e w h a t o l d e r u s a g e ("a g r o u p w i t h a c o m m o n c u l t u r a l t r a d i t i o n a n d a s e n s e o f i d e n t i t y w h i c h exists as a subgroup [ o u r italics] of a l a r g e r s o c i e t y " ) . B u t do we not now tend increasingly to apply the t e r m "ethnic g r o u p " to any g r o u p of distinct cultural tradition a n d origin, e v e n if it is t h e m a j o r i t y e t h n i c g r o u p w i t h i n a n a t i o n , t h e Staatsvolk? T h u s , in t h e U n i t e d States we increasingly c o n s i d e r old A m e r i c a n s , descendants of Anglo-Saxons, as themselves an ethnic group>—and the o d d t e r m WASP, coined o n e assumes in jest, is often used to describe them. A d m i t t e d l y , this i s n o t u n i v e r s a l u s a g e , n o t e v e n i n t h i s v o l u m e (see t h e essay b y O r l a n d o P a t t e r s o n ) . I n t h e c a r e f u l l y p r e p a r e d Dictionary of the Social Sciences by J u l i u s G o u l d a n d W i l l i a m L. K o l b (New York, T h e F r e e Press o f G l e n c o e - M a c m i l l a n , 1964), Melvin T u m i n follows t h e m o r e l i m i t e d u s a g e a l s o : " a social g r o u p w h i c h , w i t h i n a l a r g e r c u l t u r a l a n d social s y s t e m , c l a i m s o r i s a c c o r d e d special status in t e r m s of a c o m p l e x of traits (ethnic traits) w h i c h it e x h i b i t s o r i s ijlelieved t o e x h i b i t . " B u t t h e fact t h a t — a s w e b e l i e v e — social s c i e n t i s t s t e n d t o b r o a d e n t h e u s e o f t h e t e r m " e t h n i c g r o u p " t o r e f e r n o t o n l y t o s u b g r o u p s , t o m i n o r i t i e s , b u t t o all t h e g r o u p s of a society c h a r a c t e r i z e d by a d i s t i n c t s e n s e of d i f f e r e n c e o w i n g to c u l t u r e a n d d e s c e n t , itself reflects t h e s o m e w h a t b r o a d e r significance that ethnicity has taken up in recent years. I t also t o o u r m i n d reflects s o m e t h i n g m o r e i m p o r t a n t : a shift i n the general u n d e r s t a n d i n g about ethnic groups. Formerly seen as sunnvals f r o m a n e a r l i e r a g e , t o b e t r e a t e d v a r i o u s l y w i t h a n n o y a n c e , toleration, or mild celebration, we n o w have a g r o w i n g s e n s e t h a t t h e y m a ) ' b e forms o f social life t h a t a r e c a p a b l e o f r e n e w i n g a n d t r a n s f o r m i n g t h e m s e l v e s . A s s u c h , p e r h a p s , t h e h o p e of d o i n g w i t h o u t e t h n i c i t y i n a society a s its s u b g r o u p s a s s i m i l a t e t o t h e m a -

Introduction

5

j o r i t y g r o u p m a y b e a s Utopian a n d a s q u e s t i o n a b l e a n e n t e r p r i s e a s t h e h o p e o f d o i n g w i t h o u t social classes i n a s o c i e t y . T h i s is n o t an assertion to be p a s s e d lightly. If t r u e , a v e r y g r e a t deal of radical a n d even liberal d o c t r i n e of t h e past c e n t u r y a n d a half i s w r o n g . T o r e p e a t o n e f i n a l time for fear o f b e i n g m i s u n d e r stood, we do not assert that it is t r u e , a l t h o u g h we suspect it to be. I n a n t i c i p a t i o n o f a l a t e r p o i n t , let i t also m o s t e x p l i c i t l y a n d e m phatically be stated that we neither welcome n o r d e p l o r e the phen o m e n o n . W h e n , years ago, M a r g a r e t Fuller a n n o u n c e d that she accepted

the universe,

Carlyle c o m m e n t e d that she h a d

better.

T h i s , a n d only this, is o u r p u r p o s e , a n d , for w h a t interest it m a y h a v e , it is a l s o o u r view. It is a view we find we h a v e h e l d to w i t h fair consistency for t h e fifteen years since we first c o l l a b o r a t e d on 1

Beyond the Melting Pol,

a s t u d y of e t h n i c g r o u p s of N e w Y o r k C i t y

which a p p e a r e d at a time w h e n in theory they were s u p p o s e d to be disappearing. W e a r e s u g g e s t i n g t h a t a n e w w o r d reflects a n e w r e a l i t y a n d a n e w u s a g e reflects a c h a n g e in t h a t reality. T h e n e w w o r d is "ethnicity," a n d t h e new u s a g e is t h e s t e a d y e x p a n s i o n of t h e t e r m " e t h nic g r o u p " from minority a n d m a r g i n a l s u b g r o u p s a t t h e e d g e s o f society—groups expected to assimilate, to disappear, to c o n t i n u e as survivals, exotic or t r o u b l e s o m e — t o m a j o r e l e m e n t s of a society. Suggestive as usage and language may be, however, they are not an a r g u m e n t . Let us consider s o m e of the questions that a r e inevitably raised w h e n o n e tries t o m a k e t h e a r g u m e n t that t h e r e i s s o m e t h i n g n e w a f o o t i n t h e w o r l d , a n d t h a t w e m a y label i t " e t h n i c i t y . " 1. tween tige,

What, after all, is new about conflicts between ethnic groups and be"majority" and respect,

civil

"minority" ethnic gioups,

lights,

political power,

Haven't there alzuays been such conflicts?

based on

access to

demands for pres-

economic

opportunity?

F i r s t of all, we w o u l d s u g g e s t ,

t h e r e s e e m o f l a t e t o b e far m o r e of s u c h c o n f l i c t s , a n d t h e y a r e m o r e i n t e n s e . W a l k e r C o n n o r has u n d e r t a k e n t h e i n v a l u a b l e task of

recording

the

rise

and

extent

of

what

he

calls

"ethnona-

tionalism." which he dates to the French revolution. He reports 1. N a t h a n Glazer a n d Daniel P. M o y n i h a n , Bexomt the Melting Pot ( C a m b r i d g e , Mass., H a r v a r d University Press a n d M I T Press. 1963, 1970).

6

Nathan

Glazer

and

Daniel

P.

Moynihan

that nearly half of the i n d e p e n d e n t countries of the world have b e e n t r o u b l e d i n r e c e n t y e a r s b y s o m e d e g r e e o f " e t h n i c a l l y inspired dissonance." We do not have b e n c h m a r k s for earlier p e r i o d s , b u t i f w e c o m p a r e s o m e specific k n o w n c a s e s , t h e r e h a s c l e a r l y also b e e n a r i s e in intensity in g i v e n e t h n i c conflicts in t h e last d e c a d e o r so. A s s o m e e x a m p l e s , c o n s i d e r t h e conflicts b e t w e e n A n g l o p h o n e a n d F r a n c o p h o n e in Canada, Catholic and Protestant in N o r t h e r n Ireland, Walloon and Fleming in Belgium, Bengali a n d n o n - B e n g a l i in Pakistan, C h i n e s e a n d Malay in Malaysia, Greek and T u r k in Cyprus, Jews and other minorities on the o n e h a n d a n d G r e a t Russians o n the o t h e r i n t h e Soviet U n i o n , a n d I b o a n d H a u s a a n d Yoruba in Nigeria. A n d , we may add, between black a n d white in the U n i t e d States. If we h a d m e a s u r e m e n t s of i n t e n s i t y w e w o u l d n o t n e c e s s a r i l v f i n d t h a t every e t h n i c conflict h a s become uniformly m o r e intense—some of them seem happily to h a v e p e a k e d ( s o m e t i m e s i n w a r a n d v i o l e n t conflict), a n d m e a s u r e s o f h a r m o n i z a t i o n a n d a c c o m m o d a t i o n s e e m t o h a v e h a d s o m e effect s i n c e t h e s e p e a k s w e r e r e a c h e d (in N i g e r i a , t h e U n i t e d S t a t e s ) . I n o t h e r cases—Pakistan—conflict has r e a c h e d t h e point o f s e p a r a tion, a n d has subsequently declined in intensity to be succeeded p e r h a p s by a rise in e t h n i c discord in t h e two successor states of Pakistan. But we think it can hardly be disputed that there has b e e n a g r e a t e r d e g r e e o f e t h n i c conflict i n t h e last t e n o r t w e n t y y e a r s t h a n mo«j» i n f o r m e d o b s e r v e r s e x p e c t e d . I f t h e o r i g i n s o r c a u s e s o f e t h n i c conflicts a r e n o t n e w , i t i s c e r t a i n l y t r u e t h a t t h e i r e x t e n t , scale a n d i n t e n s i t y a r e . 2

2. But old lines of division can be found between most of the groups now in conflict, divisions of culture, religion, language, political affiliation. Is there anything about these conflicts that permits us with any legitimacy to give them all a single label, "ethnic"? We t h i n k t h e r e is. P e r h a p s t h e b e s t w a y of s u g g e s t i n g w h a t is c o m m o n is to r e f e r to t h e expectations o f m o s t social s c i e n t i s t s s o m e t i m e a g o a n d e v e n t o d a y a s t o t h e c o u r s e o f m o d e r n social d e v e l o p m e n t . I n o n e o f t h e c h a p t e r s t h a t follow, M i l t o n G o r d o n r e f e r s t o a " l i b e r a l e x p e c t a n c y " — t h e e x p e c tation that the kinds of features that divide o n e g r o u p from an2. W a l k e r C o n n o r , " T h e Politics of E t h n o n a t i o n a l i s m , " Journal of International Affairs, 27.1 (1973), 1-21.

Introduction

7

o t h e r w o u l d i n e v i t a b l y lose t h e i r w e i g h t a n d s h a r p n e s s i n m o d e r n a n d m o d e r n i z i n g societies, t h a t t h e r e w o u l d b e i n c r e a s i n g e m p h a s i s on achievement rather than ascription, that c o m m o n systems of edu c a t i o n a n d c o m m u n i c a t i o n w o u l d level d i f f e r e n c e s , t h a t n a t i o n a l l y u n i f o r m e c o n o m i c a n d political s y s t e m s w o u l d h a v e t h e s a m e effect. U n d e r t h e s e c i r c u m s t a n c e s t h e " p r i m o r d i a l " ( o r i n a n y c a s e antecedent) differences between g r o u p s would be e x p e c t e d to bec o m e of lesser significance. T h e "liberal e x p e c t a n c y " flows into the " r a d i c a l e x p e c t a n c y " — t h a t class c i r c u m s t a n c e s w o u l d b e c o m e t h e m a i n line of division b e t w e e n p e o p l e , e r a s i n g t h e e a r l i e r lines of tribe, language, religion, national origin, a n d that t h e r e a f t e r these class d i v i s i o n s w o u l d t h e m s e l v e s , a f t e r r e v o l u t i o n , d i s a p p e a r . T h u s K a r l M a r x a n d his f o l l o w e r s r e a c t e d w i t h i m p a t i e n c e t o t h e h e r i t a g e o f t h e p a s t , a s t h e y s a w it, i n t h e f o r m o f e t h n i c a t t a c h m e n t s . Interest s h o u l d g u i d e r a t i o n a l m e n — o r d r i v e t h e m — i n social a c t i o n ; a n d interest was d e t e r m i n e d by e c o n o m i c position. O n e e l e m e n t t h u s t h a t i s n e w i n t h e p r e s e n t s i t u a t i o n i s t h a t interest is p u r s u e d effectively by ethnic groups t o d a y as well as by interestdefined g r o u p s : i n d e e d , p e r h a p s i t c a n b e p u r s u e d e v e n m o r e effectively. A s a g a i n s t c l a s s - b a s e d f o r m s o f social i d e n t i f i c a t i o n a n d conflict—which of course c o n t i n u e to exist—we h a v e b e e n surprised by the persistence a n d salience of ethnic-based f o r m s of social i d e n t i f i c a t i o n a n d conflict. O n e o f t h e s t r i k i n g c h a r a c t e r i s t i c s o f t h e p r e s e n t s i t u a t i o n i s indeed the extent to which we find the ethnic g r o u p defined in terms of interest, as an interest g r o u p . T h u s , whereas in t h e past a religious conflict, s u c h a s t h a t w h i c h i s t e a r i n g N o r t h e r n I r e l a n d a p a r t , was b a s e d o n such issues as t h e free a n d public p r a c t i c e of a religion, t o d a y it is based on t h e issue of which g r o u p shall gain benefits or h o l d p o w e r of a wholly secular sort. L a n g u a g e conflicts—as i n I n d i a — t o d a y h a v e little t o d o w i t h t h e r i g h t t o t h e public use of the language, as did so m a n y struggles of t h e ninet e e n t h c e n t u r y w h e n , for e x a m p l e , t h e r e w e r e e f f o r t s t o R u s s i f y t h e Russian e m p i r e a n d Magyarize t h e H u n g a r i a n k i n g d o m . T o d a y they h a v e m o r e t o d o with which l a n g u a g e u s e r shall h a v e t h e best opportunity to get which job. O n e should not m a k e the distinction too s h a r p : certainly the prestige of one's religion a n d l a n g u a g e is

8

Nathan

Glazer

and

Daniel

P.

Moynihan

i n v o l v e d i n conflicts w h e r e o n e a d v o c a t e s t h e r i g h t o f p u b l i c u s e o f religion a n d language and w h e r e o n e advocates the right to econ o m i c o r political a d v a n t a g e s o f t h e i n d i v i d u a l a d h e r e n t s o f a r e ligion or u s e r s of a l a n g u a g e . B u t n e v e r t h e l e s s it is clear t h e w e i g h t o f t h e s e k i n d s o f conflicts h a s s h i f t e d : f r o m a n e m p h a s i s o n c u l t u r e , l a n g u a g e , r e l i g i o n , a s such, i t shifts t o a n e m p h a s i s o n t h e interests b r o a d l y d e f i n e d o f t h e m e m b e r s o f t h e g r o u p . It is n o t easy to k n o w how to i n t e r p r e t this. T a l c o t t P a r s o n s , in a c h a p t e r w h i c h follows, u s i n g a t e r m o f D a v i d S c h n e i d e r , r e f e r s t o t h e " d e s o c i a l i z a t i o n " o f e t h n i c g r o u p s : t h e c u l t u r a l content o f e a c h e t h n i c g r o u p , in the U n i t e d States, s e e m s to h a v e b e c o m e very similar to that of o t h e r s , b u t the e m o t i o n a l significance of a t t a c h m e n t to t h e e t h n i c g r o u p seems to p e r s i s t . In this respect t h e "liberal exp e c t a n c y " was r i g h t : t h e c u l t u r a l d i f f e r e n c e s b e t w e e n g r o u p s h a v e been worn d o w n by the institutions a n d circumstances of m o d e r n society. B u t s i n c e e a c h g r o u p h a d a d i f f e r e n t h i s t o r y , t h e s e g r o u p s w e r e d i f f e r e n t i a l l y d i s t r i b u t e d i n t h e v a r i o u s social p o s i t i o n s o f socie t y . A s a r e s u l t , t h e e t h n i c g r o u p could b e c o m e a f o c u s o f m o b i l i z a tion for t h e p u r s u i t o f g r o u p o r i n d i v i d u a l interests. P e r h a p s t h e n , in answer to o u r second question, we might hazard the hypothesis t h a t e t h n i c conflicts h a v e b e c o m e o n e f o r m i n w h i c h i n t e r e s t c o n flicts b e t w e e n a n d w i t h i n states a r e p u r s u e d . 3

4

We would suggest there are two, related e x p l a n a t i o n s t h a t acc o u n t for this d e v e l o p m e n t . T h e first is t h e e v o l u t i o n of t h e welfare state in the m o r e advanced economies of the world a n d the a d v e n t o f t h e socialist s t a t e i n t h e u n d e r d e v e l o p e d e c o n o m i e s . I n e i t h e r c i r c u m s t a n c e , t h e state b e c o m e s a c r u c i a l a n d d i r e c t a r b i t e r o f e c o n o m i c w e l l - b e i n g , a s well a s o f p o l i t i c a l s t a t u s a n d w h a t e v e r flows f r o m that. In such a situation it is n o t usually e n o u g h , or n o t e n o u g h for long e n o u g h , to assert claims on behalf of large b u t loosely a g g r e g a t e d g r o u p s s u c h a s " w o r k e r s , " " p e a s a n t s , " " w h i t e 3. In an essay n o w m o r e t h a n twenty years old N a t h a n Glazer, r e f e r r i n g to t h e way in which e t h n i c g r o u p s in the U n i t e d States w e r e b e c o m i n g " g h o s t " n a t i o n s , had s o m e t h i n g similar in m i n d : "Ethnic G r o u p s in A m e r i c a : F r o m N a t i o n a l C u l t u r e t o Ideology," i n M o r r o e B e r g e r . T h e o d o r e Abel, a n d C h a r l e s H . P a g e , e d s . . Freedom and Control in Modern Society (New Y o r k , D. V a n N o s t r a n d , 1954), p p . 158-173. 4. T h i s was s u g g e s t e d by t h e a u t h o r s in G l a z e r a n d M o y n i h a n , Beyond the Melting Pot.

9

Introduction

c o l l a r e m p l o y e e s . " C l a i m s o f t h i s o r d e r a r e t o o g e n e r a l t o elicit a very satisfactory response, a n d even w h e n they d o , t h e benefits are necessarily diffuse a n d often evanescent, h a v i n g t h e quality of an across-the-board wage increase which p r o d u c e s an inflation which l e a v e s e v e r y o n e a b o u t a s h e w a s . A s a m a t t e r o f s t r a t e g i c efficacy, i t b e c o m e s necessary to disaggregate, to m a k e claims for a g r o u p small e n o u g h to m a k e significant concessions possible a n d , equally, small e n o u g h to p r o d u c e s o m e gain from the concessions m a d e . A British p r i m e minister w h o d o e s " s o m e t h i n g for t h e w o r k e r s " p r o b a b l y d o e s n ' t d o m u c h a n d a l m o s t c e r t a i n l y d o e s e v e n less f o r his p a r t y . D o i n g s o m e t h i n g for t h e S c o t s , h o w e v e r , b e c o m e s a n i n c r e a s i n g l y a t t r a c t i v e a n d r e a l o p t i o n f o r W e s t m i n s t e r . That m u c h i n t h e w a y o f r e s o u r c e s c a n b e f o u n d , a n d t h e Scots a r e likely t o k n o w a b o u t i t a n d t o c o n s i d e r i t a p o s i t i v e g a i n , a t least p a s t t h e p o i n t o f t h e n e x t g e n e r a l election. O n e c a n win votes that way, it b e i n g a n o t a b l e q u a l i t y o f e t h n i c i t y i n o u r t i m e t h a t i t involves itself r e l a t i v e l y easily w i t h d e m o c r a t i c g o v e r n m e n t a l s y s t e m s . (It m a y b e n o t e d t h a t n i n e t e e n t h - c e n t u r y l i b e r a l i s m w a s a t a loss t o d e c i d e w h i c h w a s t h e m o r e o f f e n s i v e a s p e c t o f t h e n e w l y r i s e n u r b a n , w o r k i n g - c l a s s political " m a c h i n e s " : t h e d i s t r i b u t i o n o f g o v e r n m e n t a l l a r g e s s e o r t h e int r o d u c t i o n of ethnic categories as a distributive principle. It c o m e s t o a m a t t e r o f s t r a t e g i c efficacy i n a s s e r t i n g claims.) T h e w e l f a r e s t a t e a n d t h e socialist s t a t e a p p e a r t o b e especially r e s p o n s i v e t o ethnic claims. T h i s is e v e r y w h e r e to be e n c o u n t e r e d : an Indian minister assuring

his

parliament

that

"Muslims,

o t h e r m i n o r i t i e s " will r e c e i v e t h e i r " d u e a n d railroad jobs;

Christians

and

proper share" of

a Czech g o v e r n m e n t choosing a Slovak l e a d e r ; a

Chinese p r i m e minister in Singapore choosing an Indian foreign minister; a n d so on. 5.

5

L e a d e r s of g r o u p s a r e a w a r e t h a t p o l i t i c a l skills in p r e s s i n g s u c h c l a i m s v a r y

a n d occasionally voice their c o n c e r n , as r e p o r t e d in a recent Associated

Press

dispatch from Los Angeles: US-Asians allege exploitation. T h e A s i a n - A m e r i c a n c o m m u n i t y leaders have accused the U.S. D e p a r t m e n t of Labor of exploiting their i n e x p e r i e n c e in "the political g a m e " to e x c l u d e t h e m w h e n allocating federal funds. "We Asians h a v e always b e e n a quiet minority. We've always been a quiet minority. We've always b e e n taken for granted, and we always get the crumbs." Miss a l e a d e r of the C h i n e s e C o m m u n i t y Council, told n e w s m e n . Miss was referring to the distribution of S 3 1 4 . 0 0 0 in federal f u n d s for career c o u n s e l i n g projects. T h e council leaders a c c u s e d the U.S. m a n p o w e r area p l a n n i n g council

10

Nathan

Glazer

and

Daniel

P.

Moynihan

T h e s t r a t e g i c efficacy o f e t h n i c i t y a s a basis f o r a s s e r t i n g c l a i m s a g a i n s t g o v e r n m e n t h a s its c o u n t e r p a r t i n t h e s e e m i n g e a s e w h e r e b y g o v e r n m e n t e m p l o y s e t h n i c c a t e g o r i e s a s a basis f o r d i s t r i b u t i n g its r e w a r d s . N o t h i n g w a s m o r e d r a m a t i c t h a n t h e r i s e o f this p r a c t i c e o n t h e p a r t o f t h e A m e r i c a n g o v e r n m e n t i n t h e 1 9 6 0 s , at the very instant when such practice was declared abhorrent and illegal. T h e Civil R i g h t s A c t o f 1 9 6 4 w a s t h e v e r y e m b o d i m e n t o f t h e libe r a l e x p e c t a n c y . " R a c e , c o l o r , r e l i g i o n , s e x , n a t i o n a l o r i g i n " : all s u c h a s c r i p t i v e c a t e g o r i e s w e r e outlawed. N o o n e w a s t o b e classified in such primitive offensive t e r m s . In particular, g o v e r n m e n t was to become color blind. However, within h o u r s of the e n a c t m e n t of the s t a t u t e , i n o r d e r t o e n f o r c e it, t h e f e d e r a l g o v e r n m e n t , f o r t h e f i r s t time, b e g a n to require ever m o r e detailed accountings of subgroups of every description—job trainees, kindergarten children, k i n d e r g a r t e n t e a c h e r s , u n i v e r s i t y f a c u l t i e s , f r o n t office s e c r e taries—in t e r m s of race, color, a n d sex. ( W e s e e m n o t yet to h a v e p r o c e e d e d t o religion a n d national o r i g i n . A n d yet a n a p p l i c a t i o n f o r m o f t h e G r a d u a t e Faculty o f A r t s a n d Sciences o f H a r v a r d University now states: "It is to y o u r a d v a n t a g e to state if you a r e a m e m b e r o f a n e t h n i c m i n o r i t y . " T h e q u e s t i o n i s a fuzzy o n e — i s i t a d v a n t a g e o u s r e g a r d l e s s o f w h e t h e r t h e a n s w e r i s yes o r n o — b u t invites a n e x p a n s i o n o f r e f e r e n c e . H e n c e , a r e Catholics a n e t h n i c m i n o r i t y f o r H a r v a r d p u r p o s e s ? P o r t u g u e s e ? T h e r e is, f o r example, a P o r t u g u e s e c o m m u n i t y in C a m b r i d g e a n d in Mass a c h u s e t t s q u i t e u n d i s c o v e r e d b y e q u a l o p p o r t u n i t y offices.) T h e expectancy that such things would not be k n o w n — i n the i m m e d i a t e p o s t w a r y e a r s g o v e r n m e n t s w e r e b u s \ ' e l i m i n a t i n g all r e f e r e n c e s t o r a c e a n d r e l i g i o n f r o m official f o r m s , e v e n f o r b i d d i n g u n i v e r s i ties t o r e q u e s t p h o t o g r a p h s o f a p p l i c a n t s f o r a d m i s s i o n — w a s instantly r e p l a c e d by t h e r e q u i r e m e n t that they n o t only be k n o w n b u t t h e facts a s t o d i s t r i b u t i o n b e j u s t i f i e d . S k e w e d d i s t r i b u t i o n s

of d o i n g "a t r e m e n d o u s wrong" in giving the f u n d s away entirely to Black a n d C h i c a n o g r o u p s , w h o s e project proposals w e r e more professionally drafted.

Not all Asians in t h e U n i t e d States a r e well off, b u t A m e r i c a n s of C h i n e s e a n d J a p anese descent r e c u r r e n t l y c o m e out at t h e t o p of c e n s u s based r a n k i n g s of A m e r i can racial g r o u p s in t e r m s of social a n d e c o n o m i c status. No m a t t e r : such a claim has a p r i m a facie legitimacy.

Introduction

11

w o u l d n o t d o : q u o t a s a p p e a r e d i n A m e r i c a n society. T h e i n s t r u m e n t o f n a t i o n a l social policy d e s i g n e d o s t e n s i b l y t o p r e v e n t discrimination inevitably w e n t b e y o n d that to positive efforts on b e h a l f o f t h o s e p r e s u m p t i v e l y d i s c r i m i n a t e d a g a i n s t , a list w h i c h i n short order commenced to lengthen. Statutes b e g a n to reflect this n e w strategy. A small e x a m p l e : t h e D r u g Abuse E d u c a t i o n Act of 1970 provides "for t h e use of adeq u a t e p e r s o n n e l f r o m s i m i l a r social, c u l t u r a l , a g e , e t h n i c a n d r a c i a l backgrounds as those of the individuals served u n d e r any such p r o g r a m . " In o t h e r w o r d s , the federal g o v e r n m e n t was n o t only to know the peculiar ethnic patterns of various kinds of d r u g abuse b u t was t o m a t c h t h e t h e r a p i s t s with t h e p a t i e n t s : Azerbaijani j u n k y , Azerbaijani c o u n s e l l o r . In a variation of folk m e d i c i n e , it was j u d g e d that w h e r e v e r a m a l a d y was f o u n d , t h e r e , too, w o u l d a r e m e d y reside. Which may or m a y not be nonsense: what is not to be d e n i e d is t h a t t h e statute a p p r o p r i a t e d m a n y millions of dollars f o r social s e r v i c e s w h i c h w e r e g o i n g t o e n d u p i n t h e p o c k e t s o f those who dispense t h e m , a n d these could be c o n c e n t r a t e d on specific e t h n i c g r o u p s . I f g o v e r n m e n t w a s d o i n g a g r o u p a s e r v i c e b y p r o v i d i n g special t h e r a p e u t i c services, it could c o m p o u n d t h e favor by concentrating the p a t r o n a g e involved within the same g r o u p or groups. W e h a v e s u g g e s t e d t h e r e a r e t w o r e l a t e d r e a s o n s t h a t c o u l d acc o u n t f o r t h e d e g r e e t h a t e t h n i c conflicts a p p e a r t o h a v e b e c o m e t h e f o r m i n w h i c h i n t e r e s t conflicts b e t w e e n a n d w i t h i n s t a t e s a r e p u r s u e d . T h e f i r s t h a d t o d o w i t h t h e s t r a t e g i c efficacy o f e t h n i c i t y in m a k i n g legitimate claims on t h e resources of the m o d e r n state. ( T h i s i s l a r g e l y a n i n t e r n a l m a t t e r , a s i s e t h n i c conflict itself, b u t a s s o m e t h i n g like i n t e r n a t i o n a l social policy t a k e s s h a p e i n s e t t i n g s such as that of t h e U n i t e d N a t i o n s , e t h n i c claims a r e also m a d e in s u c h f o r a a n d w i t h effect.) T h e s e c o n d o f o u r t w o s u g g e s t i o n s h a s t o d o w i t h t h e social d y n a m i c s t h a t l e a d t o s u c h c l a i m s a n d c o n c e r n s t h e fact a n d t h e n a t u r e o f i n e q u a l i t y . M e n a r e n o t e q u a l ; n e i t h e r a r e e t h n i c g r o u p s . T h a t t h e y s h o u l d b e , o r s h o u l d n o t b e , is, o f c o u r s e , a wholly d i f f e r e n t q u e s t i o n . If o n e is to d e s c r i b e t h e way t h e w o r l d is, o n e d e s c r i b e s m e n e v e r y w h e r e r a n k e d i n s y s t e m s o f social s t r a t i f i c a t i o n w h e r e o n e p e r s o n i s b e t t e r o r w o r s e o f f t h a n

Nathan

12

Glazer

and

Daniel

P.

Moynihan

a n o t h e r . T h i s i s t h e e m p i r i c a l fact. A s w i t h i n d i v i d u a l s , s o w i t h g r o u p s o f i n d i v i d u a l s , w i t h social g r o u p s d e f i n e d b y e t h n i c i d e n t i t y . A s t o t h e o r i g i n s o f this i n e q u a l i t y , w e follow R a l f D a h r e n d o r f i n h o l d i n g t h a t i t a r i s e s f r o m d i f f e r e n t i a l s u c c e s s i n a c h i e v i n g social norms.

6

D a h r e n d o r f accounts

for individual

inequality

in

these

t e r m s : w e a d a p t his t h e s i s t o g r o u p i n e q u a l i t y . H i s t h e s i s i s t h a t every

society

establishes

norms—socially

established

values—

selected from a universe of such values. T h e r e s e e m s no e n d to h u m a n ingenuity in

thinking of characteristics that can be de-

scribed as desirable or undesirable. It can be t h o u g h t a g o o d thing to be wealthy, alternatively to be p o o r ; to be d a r k or to be light; g e n e r o u s o r m e a n ; religious o r atheistic; fun-loving o r d o u r ; p r o miscuous or chaste. H o w e v e r , o n c e a selection is m a d e as to w h a t is good

and

what

is

bad,

individuals—and,

we

now

add,

ethnic

g r o u p s — h a v e d i f f e r e n t levels o f s u c c e s s i n a t t a i n i n g t h e d e s i r e d c o n d i t i o n . W o e to t h e e c t o m o r p h in a society which sets g r e a t store o n p l u m p n e s s i n t h e f e m a l e . O r p i t y t h e fat girl i n t h e a g e o f D i o r a n d of b l u e j e a n s . W o e to blacks in R h o d e s i a which sets g r e a t store o n b e i n g w h i t e . Pity t h e w h i t e i n U g a n d a . Pity ( p e r h a p s ) t h e N e p a lese i n B h u t a n w h o l a b o r s o n c o n s t r u c t i o n g a n g s b e f o r e t h e e y e s o f a l a n d - o w n i n g p e a s a n t r y which despises such servility. W o e to t h e Malay facing the o n s l a u g h t of C h i n e s e i n d u s t r i o u s n e s s . A B u r m e s e showing one of the present editors a r o u n d Mandalay c o m m e n t e d t h a t b e f o r e I n d e p e n d e n c e I n d i a n s a n d C h i n e s e h a d o w n e d all t h e land. "Do you see," he c o n t i n u e d , "why we h a d to have socialism?" B y w h i c h h e m e a n t s i m p l y e x p e l l i n g t h e s e s e t t l e r s w h o h a d followed the British. In Dahrendorf's account the individual encounters the n o r m s of his society and t h e " s a n c t i o n s d e s i g n e d t o e n f o r c e t h e s e p r i n c i p l e s " (p. 3 2 ) . S o m e d o b e t t e r t h a n o t h e r s a n d r e a p t h e r e w a r d s ; s o m e suffer the p u n i s h m e n t s . T h i s is a d y n a m i c process which forms g r o u p s (classes), t h o s e w h o d o b e t t e r a n d t h o s e w h o d o w o r s e . Equally, it can be a process which begins with g r o u p s , a n d helps f o r m t h e m f u r t h e r . D a h r e n d o r f clearly anticipates this: " T h e selection of n o r m s always involves d i s c r i m i n a t i o n , n o t only against per6 . Ralf D a h r e n d o r f , " O n t h e O r i g i n o f I n e q u a l i t y a m o n g M e n , " i n A n d r e Beteille, e d . . Social Inequality ( B a l t i m o r e , P e n g u i n Books, 1969). /

13

Introduction

sons

holding

sociologically

random

moral

convictions,

but

also

a g a i n s t social p o s i t i o n s t h a t m a y d e b a r t h e i r i n c u m b e n t s f r o m c o n formity with established values" (p. 33). W h a t k i n d o f social p o s i t i o n s ? T h o s e o f social class, p e r h a p s , c o m e q u i c k e s t t o a E u r o p e a n m i n d . ( O r d i d . ) Eliza D o o l i t t l e i s o f a social class i n w h i c h o n e d o e s n o t l e a r n t h e d i c t i o n o f p o l i t e E n g l i s h society: only w h e n she has b e e n t a u g h t it d o e s t h e possibility of o w n i n g h e r o w n florist s h o p o p e n f o r h e r . B u t a n A m e r i c a n — a n d p e r s o n s i n m a n y o t h e r p a r t s o f t h e w o r l d — i s a s likely t o a s s o c i a t e p o o r diction with ethnicity: f i r s t a n d second g e n e r a t i o n difficulties with

English, and

persist long after.

patterns of g r a m m a r and pronunciation " W h e r e d'ya worka, J o h n ? O n t h e

that

Delaware

L a c k a w a n . " Similarly, a E u r o p e a n m i g h t associate wealth with social class. A n A m e r i c a n — a n d , a g a i n , p e r s o n s i n m a n y o t h e r p a r t s o f t h e w o r l d — i s a s likely t o a s s o c i a t e w e a l t h w i t h e t h n i c i t y . T o a child of t h e s l u m s of N e w Y o r k City a g e n e r a t i o n a g o it was " J e w s " w h o w e r e " r i c h , " a p o i n t o f view t h a t e v i d e n t l y p e r s i s t s i n t h e s l u m s of the present. In Dar es Salaam, in Singapore, in Sao Paulo the s a m e , b u t d i f f e r e n t , p e r c e p t i o n s a r e e x t r a o r d i n a r i l y p o w e r f u l social facts. A n d w h y i s t h i s ? W e s u g g e s t i t i s b e c a u s e s o m u c h o f t h e m i x ture of ethnic g r o u p s in the m o d e r n world is the result of m o r e or less s h a r p l y d e f i n e d a n d n o t i n f r e q u e n t l y o r g a n i z e d m o v e m e n t s o f people from one part of the world to another to meet new, and, again, often o r g a n i z e d d e m a n d s for labor. T h e plantation e c o n o mies of the e i g h t e e n t h a n d n i n e t e e n t h centuries m o v e d Africans and Asians to the farthest reaches of the globe. O t h e r e c o n o m i c forces led

to

mass

European

migration

to the Western

Hemi-

s p h e r e a n d Asia a n d A f r i c a . M i g r a t i o n w a s n o t h i n g n e w , b u t s p e e d was n e w . N o r t h Africa p r e s u m a b l y a b s o r b e d the V a n d a l s b u t p r e sumably because they came over generations. T h e nineteenth-century French came suddenly a n d were never absorbed. In the e n d t h e y w e r e e x p e l l e d a f t e r a b l o o d y e t h n i c civil w a r . S o e q u a l l y i n dozens a n d dozens of situations:

peoples thrown together quite

s u d d e n l y a n d t h e r e a f t e r trying t o d e a l o n e with the o t h e r . H e r e t h e m a t t e r o f n o r m s c o m e s into play. T h e r e a r e n o r m s w i t h i n a social g r o u p : s o m e i n d i v i d u a l s a r e b e t t e r t h a n o t h e r s a r e a t achieving them, some are worse. But as between different ethnic

14

Nathan

Glazer

and

Daniel

P.

Moynihan

g r o u p s , which have m a d e quite different selections from the univ e r s e o f possibilities, t h e n o r m s o f o n e a r e likely t o b e q u i t e diff e r e n t f r o m t h o s e o f a n o t h e r , s u c h t h a t i n d i v i d u a l s w h o a r e successful b y t h e s t a n d a r d s o f t h e i r o w n g r o u p s will b e f a i l u r e s b y those of the other. In a situation of mixed ethnic g r o u p s w h e r e o n e g r o u p i s d o m i n a n t , w h i c h i s t o say t h a t its n o r m s a r e s e e n a s n o r m a l n o t j u s t f o r it, b u t f o r o t h e r s a l s o , t h e r e follows a n a l m o s t a u t o matic consignment of other g r o u p s to inferior status. But some g r o u p s may discover that they are quite good at achieving the n o r m s o f t h e d o m i n a n t g r o u p : e v e n b e t t e r t h a n t h e g r o u p t h a t laid d o w n those "laws." T h i s is to be e n c o u n t e r e d almost e v e r y w h e r e : in s o m e i n s t a n c e s c h e e r f u l l y a c c e p t e d , i n o t h e r s b i t t e r l y r e s e n t e d . Afr i c a n s a r e t r a d e r s , s o a r e I n d i a n s . I n K e n y a t h e I n d i a n s w e r e evidently b e t t e r t h a n the Africans, a n d so the I n d i a n s a r e b e i n g expelled. Jews have known the experience, J a p a n e s e , Chinese: which g r o u p has not? T h e r e are, of course, situations in which no o n e g r o u p is d o m i n a n t , such that differing n o r m s c o m p e t e with o n e a n o t h e r , b u t this m a k e s i f a n y t h i n g for less social p e a c e , a s n o o n e i s e v e r q u i t e c e r t a i n w h a t c o n s t i t u t e s success o r f a i l u r e . We offer these assertions in quest of a theory of ethnicity. T h e y a r e s u b j e c t t o e m p i r i c a l test, a n d w e b e l i e v e t h e c h a p t e r s t h a t follow offer suggestive evidence from m a n y a n d varied settings. In the U n i t e d S t a t e s , a t all e v e n t s , a r g u m e n t s t h a t follow f r o m this "theory'" are increasingly p u t f o r w a r d by p e r s o n s d e a l i n g with day t o d a y e t h n i c issues. T h u s , c o n s i d e r this p a s s a g e i n a l e t t e r f r o m a U.S. A r m y colonel, director of A r m y Equal O p p o r t u n i t y P r o g r a m s , w h i c h a p p e a r e d i n t h e Washington Post o f M a r c h 2 1 , 1 9 7 4 , a n d w a s l a t e r d i s t r i b u t e d b y t h e U . S . Civil S e r v i c e C o m m i s s i o n : As a black I do not believe it is fair or meaningful to call [actions to correct racial imbalances] "reverse discrimination." Let's e x a m i n e what is m e a n t by racial discrimination and then apply the word " r e v e r s e " to the t e r m after the examination. Please accept as an operational definition that racial discrimination is the relationship between two g r o u p s of people, wherein one group has defined the ruks by which the other group must act.

Such

has always been the relationship between the white majority a n d t h e minorities in this country. Moreover, t h e meaningful a n d political, economic and social p o w e r to maintain that relationship in America has b e e n consistently vested in the white majority. ( O u r italics.) ^

Introduction

15

H e r e i n lies t h e d y n a m i c e l e m e n t i n t h e s y s t e m . D a h r e n d o r f w r i t e s t h a t i n e q u a l i t y " s e r v e s t o k e e p social s t r u c t u r e s a l i v e . " T h i s i s b e c a u s e "inequality always implies the gain of o n e g r o u p at t h e exp e n s e o f o t h e r s ; t h u s e v e r y s y s t e m o f social s t r a t i f i c a t i o n g e n e r a t e s p r o t e s t a g a i n s t its p r i n c i p l e s a n d b e a r s t h e s e e d s o f its o w n s u p p r e s s i o n . " It is n o t p e r h a p s n e c e s s a r y to a s s e r t that every s y s t e m of social s t r a t i f i c a t i o n g e n e r a t e s p r o t e s t a g a i n s t its p r i n c i p l e s . S o m e m a y n o t . B u t m o s t t h a t w e r u n i n t o i n t h e t w e n t i e t h c e n t u r y s e e m t o d o so. T h i s is to say t h a t a different set of n o r m s is set f o r t h as d e s i r a b l e . Struggle ensues. C h a n g e s occur, not infrequently changes that f a v o r t h o s e p r e v i o u s l y u n s u c c e s s f u l . T h i n g s they a r e g o o d a t c o m e t o b e l a b e l e d g o o d . T h a t a t least i s t h e t y p i c a l o b j e c t o f s u c h s t r u g gles. H e r e a g a i n w e c o m e t o t h e s t r a t e g i c efficacy o f e t h n i c i t y a s a n organizing principle. Different groups do have different n o r m s . In the m o s t n a t u r a l way the unsuccessful g r o u p has t h e best c h a n c e of c h a n g i n g t h e s y s t e m if it b e h a v e s as a group. It is as a gioup t h a t its struggles b e c o m e s not merely negative, but positive also, not merely against the norms of some other g r o u p , but in favor of the a l r e a d y e s t a b l i s h e d n o r m s o f its o w n . O n e o f t h e difficulties o f social class a s a n o r g a n i z i n g p r i n c i p l e s u r e l y i s t h a t t h e r e j u s t i s n o t t h a t m u c h conflict o f norm b e t w e e n m o s t social c l a s s e s . I n t h e W e s t i n t e l l e c t u a l s a n d o t h e r s a t t h e t o p o f t h e social s t r a t i f i c a t i o n will fantasize a b o u t the differences between the values of those at the bottom a n d those in the middle—always to the a d v a n t a g e of the f o r m e r — b u t it usually t u r n s o u t that those at the b o t t o m pretty m u c h share notions of desirable a n d undesirable with those in the m i d d l e . E t h n i c d i f f e r e n c e s , h o w e v e r , are d i f f e r e n c e s , o r a t least a r e seen as such. Marxists t h o u g h t they would d i s a p p e a r . W h y on e a r t h w o u l d o n e wish t o b e a P o l e w h e n o n e c o u l d b e a w o r k e r ? ' W e l l , f o r s o m e r e a s o n o r set o f r e a s o n s , t h e r e i s a d e s i r e t o b e P o l i s h . A n d n o t t h e least o f t h e s e , t o c o n c l u d e t h i s p o i n t , i s t h a i b e i n g a P o l e , or a S i k h , or a mestizo f r e q u e n t l y i n v o l v e s a d i s t i n c t i v e a d v a n t a g e or disadvantage, a n d that r e m a i n i n g a Pole, or a Sikh, or a mestizo is j u s t as f r e q u e n t l y a h i g h l y effective w a y e i t h e r to d e f e n d the advantage or to overcome the disadvantage. Some individuals opt otherwise. T h e y "pass" out of their ethnic

16

Nathan

Glazer

and

Daniel

P.

Moynihan

( o r social, o r r e g i o n a l ) g r o u p i n t o a n o t h e r , typically o n e t h a t o f f e r s greater advantages. This process of absorption is extremely powerful: p r o b a b l y i n t h e U n i t e d S t a t e s still q u i t e t h e m o s t i m p o r t a n t social p r o c e s s . A m e r i c a n s b e c o m e m o r e " A m e r i c a n " a n d less e t h n i c all t h e t i m e . B u t i n t h e c o u r s e o f p a r t i c i p a t i n g i n t h i s p r o c e s s , t h e y m a y a l s o — s i m u l t a n e o u s l y — b e c o m e m o r e "ethnic." T h i s was most dramatically the experience of N e g r o Americans d u r i n g the 1960s—they even c h a n g e d their n a m e to "blacks" to establish that n e w assertion of distinctiveness—and o t h e r g r o u p s followed t h e m , or a c c o m p a n i e d t h e m on parallel tracks. As with s t u d e n t activism, this was a p h e n o m e n o n whole p a r t s of t h e w o r l d w e r e e x p e r i e n c i n g s i m u l t a n e o u s l y , a n d a n y e x p l a n a t i o n t h a t d e p e n d s solely o n local e l e m e n t s i s n o t likely t o r e m a i n s a t i s f a c t o r y f o r l o n g . S o m e t h i n g l a r g e r was g o i n g o n . S o m e t h i n g s o large t h a t Ralf D a h r e n d o r f has recently r e f e r r e d t o t h e " r e f e u d a l i z a t i o n " o f society, t h e r e t u r n of ascribed as against achieved characteristics as determ i n a n t s o f social s t r a t i f i c a t i o n . I t m a y b e e t h n i c i t y i s m e r e l y p a r t o f this l a r g e r d e v e l o p m e n t . I t i s a d e v e l o p m e n t w o r t h c o n s i d e r i n g , j u s t a s i t i s w o r t h n o t i n g t h a t D a h r e n d o r f t o o k b u t little p l e a s u r e i n c a l l i n g a t t e n t i o n t o it. In a m o s t tentative way o n e f u r t h e r suggestion may be a d v a n c e d c o n c e r n i n g the m o d e r n i t y of ethnicity. D a h r e n d o r f notes that for almost two centuries—"from Locke to L e n i n " — " p r o p e r t y d o m i n a t e d s o c i a l t a n d political t h o u g h t : a s a s o u r c e o f e v e r y t h i n g g o o d o r evil, a s a p r i n c i p l e t o b e r e t a i n e d o r a b o l i s h e d . " Y e t , h e c o n tinues, in societies such as those in t h e Soviet U n i o n , Yugoslavia, Israel, w h e r e p r i v a t e p r o p e r t y has b e e n r e d u c e d to "virtual insign i f i c a n c e , " social s t r a t i f i c a t i o n — c l a s s — p e r s i s t s , e v e n f l o u r i s h e s . F u r t h e r , we w o u l d a d d , the new stratification is to a c o n s i d e r a b l e e x t e n t c o r r e l a t e d with ethnicity. It p r o b a b l y always was, but t h e preoccupation with property relations obscured ethnic ones, which, typically, w e r e s e e n e i t h e r a s d e r i v a t i v e o f t h e f o r m e r , o r s u r v i v a l s from a p r e c o n t r a c t u a l age. Now, as Yugoslav C o m m u n i s t s struggle hopelessly—or so it would s e e m — t o achieve s o m e equity of d e v e l o p m e n t a n d living s t a n d a r d as b e t w e e n B o s n i a - H e r z e g o v i n a , Croatia, M a c e d o n i a , M o n t e n e g r o , Serbia, a n d Slovenia, as Israeli Socialists l o o k w i t h a l a r m a t t h e p e r s i s t i n g d i f f e r e n c e s i n t h e "social

17

Introduction

class s t a t u s " o f " E u r o p e a n " J e w s a s a g a i n s t " O r i e n t a l " J e w s i n t h e i r h o m e l a n d , as Great Russians prattle on about the equality of ethnic g r o u p s i n t h e S o v i e t U n i o n , w h i l e U k r a i n i a n s i n W a s h i n g t o n rally i n p r o t e s t a t t h e Russian E m b a s s y , a n d J e w s i n M o s c o w d e m a n d t o b e a l l o w e d t o e m i g r a t e t o I s r a e l , i t i s property t h a t b e g i n s t o s e e m derivative, a n d ethnicity that seems to b e c o m e a m o r e f u n d a m e n t a l s o u r c e of stratification. W h y is this? To r e p e a t , o u r h y p o t h e s i s is t h a t e t h n i c g r o u p s b r i n g d i f f e r e n t n o r m s t o b e a r o n c o m m o n circumstances

with

gioup d i f f e r e n c e s

consequent

different

levels

of

success—hence

i n s t a t u s . T h i s p h e n o m e n o n i s likely t o b e a s

m u c h in e v i d e n c e in an a d v a n c e d capitalist society w h e r e p r o p e r t y r e l a t i o n s a r e a t t e n u a t e d , a s i n a C o m m u n i s t o r S o c i a l i s t society where they are abolished. A note of caution. As quantitative studies o f t h e s e issues b e g i n t o p r o v i d e d a t a , t h e y will c e r t a i n l y s h o w t h a t w h a t i s c o m m o n t o , say, all Y u g o s l a v i a n s m u s t b e a c c o r d e d m u c h g r e a t e r weight t h a n w h a t is d i s p a r a t e , b u t of this it m a y simply be said that t h e C r o a t i a n s d o n ' t s e e m t o k n o w t h e " d a t a . " In any event, C o m m u n i s t nations have s h o w n a c o n c e r n with e t h n i c m a t t e r s far m o r e p r o n o u n c e d t h a n m o s t o t h e r s ,

possibly

b e c a u s e e t h n i c reality is so at o d d s with M a r x i s t - L e n i n i s t t h e o r y . T h e r e a r e s c o r e s o f official n a t i o n a l i t i e s i n t h e S o v i e t U n i o n , a n d e v e r y c i t i z e n , a t a g e 16, m u s t o p t f o r o n e s u c h i d e n t i t y , w h i c h h e r e t a i n s f o r life. S i m i l a r l y , t h e C h i n e s e , w i t h t h e i r g r e a t , c e n t r a l H a n culture, find themselves paying considerable heed to "minority nationalities." A recent news dispatch from P e k i n g r e a d s surprisingly like a r e p o r t o f a n A m e r i c a n political p a r t y i n t h e a g e o f N e w Politics: China

Has

More

Minority

Nationality

Communist

Party

Members—More

than

143,000 p e o p l e of minority nationalities in the a u t o n o m o u s r e g i o n s of Sinkiang, T i b e t . I n n e r Mongolia. Kwangsi a n d Ningsia a n d t h e Province of Y u n n a n have been a d m i t t e d into the C o m m u n i s t Party of C h i n a since the Ninth Party Congress in 1969. T h e y include T i b e t a n s , M o n g o l i a n s , U i g h u r s , C h u a n g s , Huis. Koreans, Kazakhs, Yaos a n d Miaos. Most of t h e new part) m e m b e r s a r e workers a n d f o r m e r p o o r and lower-middle peasants or h e r d s m e n . T h e r e is a certain n u m b e r of revolutionary intellectuals. T h e new m e m b e r s a r e both m e n a n d w o m e n a n d r a n g e in age from y o u n g to old. Many of t h e new party m e m b e r s from national minorities a r e e m a n 1

18

Nathan

Glazer

and

Daniel

P.

Moynihan

cipated slaves or serfs, or children of f o r m e r slaves or serfs. T h e y warmly love C h a i r m a n Mao, die Party a n d t h e New Society, a n d hate t h e old society. I t m a y b e n o t e d t h a t t h e f l a g o f t h e P e o p l e ' s R e p u b l i c o f C h i n a features o n e large star, a n d four smaller o n e s , r e p r e s e n t i n g t h e H a n people a n d the four principal minority peoples. But to r e t u r n to o u r question: religion, language, a n d concrete c u l t u r a l d i f f e r e n c e s d i d , i n o u r j u d g m e n t , d e c l i n e , a t least i n t h e W e s t , a s specific foci o f a t t a c h m e n t a n d c o n c e r n . B u t t h e g r o u p s defined by these cultural characteristics were differentially distribu t e d t h r o u g h t h e social s t r u c t u r e . T h e o l d b a s e s o f d i s t i n c t i o n , e v e n as t h e i r cultural characteristics w e r e modified by m o d e r n social t r e n d s , b e c a m e , o n e m a y say, i n c r e a s i n g l y m e r e l y " s y m b o l i c " — n e v e r t h e l e s s t h e y c o u l d s e r v e a s a basis f o r m o b i l i z a t i o n . T h u s t h e r e is s o m e legitimacy to finding that forms of identification b a s e d o n social r e a l i t i e s a s d i f f e r e n t a s r e l i g i o n , l a n g u a g e , a n d n a t i o n a l o r i g i n all h a v e s o m e t h i n g i n c o m m o n , s u c h t h a t a n e w t e r m i s c o i n e d t o r e f e r t o all o f t h e m — " e t h n i c i t y . " W h a t t h e y h a v e i n c o m m o n i s t h a t t h e y h a v e all b e c o m e e f f e c t i v e foci f o r g r o u p m o b i l i z a t i o n f o r c o n c r e t e political e n d s c h a l l e n g i n g t h e p r i m a c y f o r s u c h m o b i l i z a t i o n o f class o n t h e o n e h a n d a n d nation o n t h e o t h e r . C l a s s was e x p e c t e d in the m o d e r n world to b e c o m e t h e focus for the mobilization of g r o u p interests—it related directly to the rational c h a r a c t e r 01 s o c i e t y a n d t h e w a y i t g e n e r a t e d d i f f e r e n t i n t e r e s t s . Nation was the o t h e r great pole a r o u n d which g r o u p interests could be mobilized. We do not in any way suggest that these a r e n o t the central categories for u n d e r s t a n d i n g m o d e r n societies; b u t i t i s also t r u e t h a t w e m u s t a d d e t h n i c i t y a s a n e w m a j o r f o c u s f o r t h e mobilization of interests, t r o u b l e s o m e b o t h to t h o s e w h o wish to e m p h a s i z e t h e p r i m a c y o f class, a n d t h o s e w h o w i s h t o e m p h a s i z e the primacy of nation. 7

3.

But is not ethnicity more than simply a means of seeking advantage?

7. For a particularly subtle a c c o u n t a n d analysis of h o w this h a p p e n s , see Michael H e c h t e r , " T h e Persistence of Regionalism in t h e British Isles, 1 8 8 5 - 1 9 6 6 , " American Journal of Sociology, 79.2 ( S e p t e m b e r 1973), 3 1 9 - 3 4 2 ; a n d H e c h t e r , " T h e Political E c o n o m y of Ethnic C h a n g e , " American Journal of Sociology, 7 9 . 5 (March 1974), 1 1 5 1 - 1 1 7 8 .

Introduction

19

W e m u s t m o d i f y t h e b a l d a s s e r t i o n t h a t e t h n i c i t y b e c o m e s a means of a d v a n c i n g i n t e r e s t s — w h i c h it d o e s — b y i n s i s t i n g t h a t it is n o t only a m e a n s of advancing interests. O n e reason ethnicity becomes an effective m e a n s in the m o d e r n world of a d v a n c i n g interests is that i t i n v o l v e s more t h a n i n t e r e s t s . A s D a n i e l Bell w r i t e s i n his c h a p t e r , " E t h n i c i t y h a s b e c o m e m o r e s a l i e n t [ t h a n class] b e c a u s e i t c a n c o m b i n e a n i n t e r e s t w i t h a n affective t i e " , ( p . 169). W h i l e , o n t h e o t h e r h a n d , i n t h e c a s e o f class, " W h a t h a d o n c e b e e n a n ideology h a d n o w b e c o m e a l m o s t l a r g e l y a n interest" ( p . 167, italics a d d e d ) . W h a t i s this s o m e t h i n g m o r e t h a n i n t e r e s t , w h a t i s t h e s o u r c e o f t h e a f f e c t i v e tie? H a r o l d I s a a c s , i n h i s c h a p t e r , d e s c r i b e s t h e m a k i n g o f a basic g r o u p i d e n t i t y . H i s a n a l y s i s d e a l s w i t h t h i n g s a s i m m e d i a t e a s b o d y i m a g e . C l e a r l y t h a t , a s well a s l a n g u a g e a n d i m m e d i a t e l y t r a n s m i t t e d , i n t i m a t e , c u l t u r e , all p l a y a r o l e i n p e r m i t t i n g e t h n i c i t y t o c o m b i n e affectivity w i t h i n t e r e s t . B u t i n a w o r l d o f r a p i d c h a n g e a n d s h i f t i n g i d e n t i t y , w e t e n d t o shy a w a y f r o m a n y f i x e d n o t i o n o f t h e " p r i m o r d i a l , " o f basic ties a n d c o n n e c t i o n s t h a t create g r o u p s , as against any rational interest. O n e p r o b l e m with the primordial is that we know how m a n y of the g r o u p s that have e n g a g e d i n " p r i m o r d i a l " conflict a r e t h e m s e l v e s r e c e n t h i s t o r i c a l creations. We know to what degree attachment to one g r o u p or a n o t h e r , or the intensity of a t t a c h m e n t to any g r o u p , d e p e n d s on accidental circumstances. O n e should, even in dealing with ethnicity, resist a n y d i v i s i o n o f h u m a n b e i n g s i n t o f i x e d c o m p a r t m e n t s , m o n a d s , b e t w e e n w h i c h s o m e b a s i c s e p a r a t i o n o r conflict i s i n e v i t a b l e . T h a t i s n o t w h a t h i s t o r y tells u s . T h e v a r i e t y o f c i r c u m stances that m e m b e r s of a given g r o u p can m e e t in different situat i o n s d o e s l e a d t o r a d i c a l l y d i f f e r e n t o u t c o m e s . (See O r l a n d o P a t t e r s o n ' s a n a l y s i s i n t h i s b o o k o f t h e d i f f e r e n t fates o f C h i n e s e identity in Jamaica a n d Guyana.) T h e t w o p o l e s o f analysis b y w h i c h w e t r y t o e x p l a i n t h e p e r s i s tence or revival or creation of e t h n i c identities seem to w a v e r bet w e e n w h a t w e m a y call " p r i m o r d i a l i s t s " : " M e n a r e d i v i d e d t h u s a n d so, t h e r e a s o n s for their division a r e d e e p i n history a n d e x p e rience, a n d they must in some way be taken into account by those w h o g o v e r n s o c i e t i e s " ; a n d w h a t w e m a y call " c i r c u m s t a n t i a l i s t s " : " W e a r e d o u b t f u l o f a n y s u c h b a s i c d i v i s i o n a n d look t o specific a n d

20

Nathan

Glazer

and

immediate circumstances to explain

Daniel

why

P.

Moynihan

groups

maintain

their

i d e n t i t y , w h y e t h n i c i t y b e c o m e s a basis o f m o b i l i z a t i o n , w h y s o m e s i t u a t i o n s a r e p e a c e f u l a n d o t h e r s f i l l e d w i t h conflict." We have taken o u r stance s o m e w h a t uneasily between these two p o s i t i o n s . T o r e p e a t , w e d o n o t celebiate e t h n i c i t y a s a b a s i c a t t r i b u t e o f m a n , w h i c h w h e n s u p p r e s s e d will a l w a y s rise a g a i n : s u c h a p o s i t i o n i s f o r a d v o c a t e s , n o t f o r a n a l y s t s . N o r d o w e dismiss e t h n i c i t y a s a n a b e r r a t i o n o n t h e r o a d t o a r a t i o n a l society i n w h i c h all s u c h h e r i t a g e s o f t h e p a s t will b e c o m e i r r e l e v a n t t o social a n d p o l i t i c a l action. As a political idea, as a mobilizing p r i n c i p l e , ethnicity in o u r t i m e has s p r e a d r o u n d the world with the c u r i o u s c o n s e q u e n c e of s a m e ness a n d difference that is e n c o u n t e r e d with o t h e r such p h e n o m e n a . A c o m m o n r h e t o r i c attaches to widely d i s p a r a t e c o n d i t i o n s , w i t h l u x u r i a n t l y v a r i e d r e s u l t s . T h u s , i n t h e U n i t e d S t a t e s t h e risi n g d e m a n d s a m o n g b l a c k s first f o r civil r i g h t s , t h e n e q u a l i t y o f o p p o r t u n i t y , f i n a l l y s o m e e q u a l i t y o f p a r t i c i p a t i o n i n t h e social, e c o n o m i c , a n d political i n s t i t u t i o n s o f t h e c o u n t r y , c a n b e u n d e r s t o o d in t e r m s of the distinctive history of the U n i t e d States. B u t it is striking t h a t the organization a n d d e m a n d s o f blacks f o u n d response a m o n g other ethnic groups in the United

States—Latin

American, American Indian, Oriental, and eventually white ethnic g r o u p s . T h e c i r c u m s t a n c e s o f each o f these g r o u p s was d i f f e r e n t . Some h l u been conquered, some

had emigrated from colonies,

s o m e from free countries, s o m e h a d m e t substantial prejudice a n d discrimination, others nothing much m o r e than the inconvenience of a new country. T h e form of the mobilized ethnic g r o u p s e e m e d , i n s o m e d e g r e e , t o satisfy i n d i v i d u a l s i n e a c h : b y d e f i n i n g i n d i v i d u a l i d e n t i t y , b y s u g g e s t i n g f o r m s o f o r g a n i z a t i o n a n d specific d e m a n d s , b y p e r h a p s ( t h o u g h this i s still m o s t u n c l e a r ) s u g g e s t i n g a s o m e w h a t d i f f e r e n t a c c o m m o d a t i o n b y t h e political o r d e r t o e t h n i c difference. W e d o not assert that some c o m m o n need, s o m e c o m m o n distress, existed

in everybody

ready to be evoked.

We do

not

s u g g e s t t h a t e t h n i c i t y i s s o m e t h i n g like t h e i d e n t i t y o f p a r e n t s i n Victorian

novels:

that

must

be

discovered

lest

some

nameless

distress follow. B u t o n the o t h e r h a n d n e i t h e r d o w e s u g g e s t t h a t the

new

intensity

of ethnic

identification

among

a

number

of

Introduction

2I

g r o u p s w a s merely a m a t t e r o f i m i t a t i o n o f b l a c k s , o r m e r e l y a m a t ter of protective mimicry. Some combination of need a n d imitation s e e m s to be closer to the reality. T h e black m o v e m e n t h a d as surprising a r e s o n a n c e a b r o a d as at h o m e . A "black power" m o v e m e n t developed in the West Indies, a "civil

rights"

movement in

Northern

Ireland,

"black

panthers"

f o r m e d in Israel, and some French Canadians explained they were "white niggers." Once again, w h e n we consider the real p r o b l e m s affecting v a r i o u s g r o u p s in each of these settings, it w o u l d be idle to s u g g e s t t h a t w h a t was b o r r o w e d was m o r e t h a n a n a m e , a t e r m . Y e t i n social m a t t e r s t h e r i g h t n a m e , t h e r i g h t t e r m , i s m o r e t h a n t e r m i n o l o g y . It suggests a c o m p a r i s o n of situation, it m a y p r o p o s e a similar political c o u r s e , it m a y f o r e s h a d o w similar s c e n a r i o s of action. T h e F r e n c h C a n a d i a n s did not n e e d the blacks o f t h e U n i t e d States to teach them that they w e r e c o n q u e r e d a n d that Anglop h o n e s d o m i n a t e d their nation, n o r did the Catholics of N o r t h e r n I r e l a n d n e e d t h e black e x a m p l e — t h e i r miseries g o b a c k r a t h e r fart h e r i n history t h a n e v e n t h o s e o f A m e r i c a n blacks: n o r yet d i d the O r i e n t a l J e w s of Israel n e e d the black e x a m p l e to r e m i n d t h e m s o m e t h i n g was amiss with t h e i r position. In e a c h case, t h e r e was a r e a s o n for g r i e v a n c e — b u t t h e r e was also t h e influence, t h r o u g h the ever m o r e pervasive world mass media, of another's e x a m p l e , a teaching. T h e e x c h a n g e is rarely o n e way only. To the English-speaking peoples of t h e world, the struggle to p u t an e n d to British rule has been a p r i m e source of ethnic invention, a d a p t e d by e x a m p l e in widely varied climes by virtue, no d o u b t , of the s h e e r inventiveness i n v o l v e d , b u t also a c o n s e q u e n c e o f t h e p r e s t i g e o f t h i n g s B r i t i s h a n d , by extension, anti-British. (A prestige now largely passed to t h i n g s A m e r i c a n . ) T h e A m e r i c a n civil r i g h t s m o v e m e n t a v o w e d l y a n d explicitly a d o p t e d t e c h n i q u e s d e v e l o p e d in t w e n t i e t h - c e n t u r y India. T h e m o r e recent (and, one hopes, marginal) incidents of u r b a n t e r r o r i s m i n t h e U n i t e d S t a t e s follow, a l b e i t w i t h o u t a n y evid e n t a w a r e n e s s o f t h e fact, a m o d e l o f r e s i s t a n c e d e v e l o p e d b y t h e I r i s h i n t h e n i n e t e e n t h c e n t u r y a n d still p r e s e n t t h e r e . ( T h e civil rights m o v e m e n t i n N o r t h e r n I r e l a n d lasted m o n t h s : i n n o time t h e I.R.A. was active again, a s w e r e t h e O r a n g e m e n , a n d t h e pri-

Nathan

22

Glazer

and

Daniel

P.

Moynihan

mal struggle r e s u m e d , u n c h a n g e d save for the g r e a t e r convenience of plastic bombs.) U n d e r g r o u n d " c o m m a n d a n t s " in San Francisco issuing "execution" o r d e r s against deviant revolutionaries are only acting out the d r a m a of Dublin in 1916. N o r t h Africans picked up t h e t e c h n i q u e o r else i n v e n t e d i t o n t h e i r o w n . A n I t a l i a n m a d e a m o v i e , The Battle of Algiers. S o o n p e r s o n s in S a n F r a n c i s c o w e r e acti n g o u t s c e n e s f r o m The Informer. A n d s o e x c h a n g e s p r o c e e d , w i t h , i n o u r t i m e , e v e r m o u n t i n g violence. Hijacking was i n v e n t e d 'we believe by the Palestinians—but A m e r i c a n blacks, C r o a t i a n w o r k e r s r e s i d e n t i n S w e d e n , E r i t r e a n d i s s i d e n t s i n E t h i o p i a (to r e f e r o n l y t o s o m e o f t h o s e w h o h a v e a c t e d o u t o f s o m e e t h n i c i n t e r e s t ) h a v e all m a d e u s e o f it. We h a v e n o t e d the role of the welfare state in raising the strat e g i c efficacy o f e t h n i c d e m a n d s , a n d o f i n t e r n a t i o n a l e c o n o m i c d e v e l o p m e n t s t h a t led to g r e a t m i g r a t i o n s of l a b o r in t h e s e v e n t e e n t h , eighteenth and nineteenth centuries, creating many multi-ethnic states in t h e process. T h i s process h a s n o t s t o p p e d . N e v e r in history did Western E u r o p e import as much labor as in the postwar years. A new colored population of West Indians, Indians, and Pakistanis was a d d e d t o E n g l a n d . O n e third o f t h e l a b o r force o f S w i t z e r l a n d , o n e e i g h t h of the labor force of G e r m a n y , a n d substantial parts o f the labor force of France, Belgium, the N e t h e r l a n d s , S w e d e n c a m e t o b e m a d e ^ i p o f f o r e i g n w o r k e r s . T h e legal c i r c u m s t a n c e s o f e a c h of these waves of new i m m i g r a n t s varied: s o m e were p e r m a n e n t , a n d h a d all t h e r i g h t s o f c i t i z e n s h i p , s u c h a s t h e n e w c o l o r e d groups of England. Some were from neighboring members of the E u r o p e a n E c o n o m i c C o m m u n i t y , a n d h a d c l a i m s t o full social b e n efits i n a n y o t h e r s t a t e o f t h e C o m m u n i t y . S o m e — a s t h e A l g e r i a n s in

France—came

from

former colonies

under

special

arrange-

ments. But many—e.g., T u r k s a n d Yugoslavs in G e r m a n y — c a m e u n d e r p e r m i t s t h a t t h e o r e t i c a l l y a t least g a v e n o r i g h t t o a n y p e r m a n e n t settlement. In o t h e r cases, such as S w e d e n , an egalitarian p h i l o s o p h y o f g o v e r n m e n t t r e a t e d all n e w c o m e r s , w h e t h e r I t a l i a n o r F i n n i s h , g e n e r o u s l y , a s far a s social b e n e f i t s w e r e c o n c e r n e d . T h e p a t t e r n s a r e e x t r e m e l y various, t h o u g h w e see e v e r y w h e r e two d i f f e r e n t a p p r o a c h e s i n conflict: o n t h e o n e h a n d , t h e c o m m o n p h i l o s o p h y o f e g a l i t a r i a n i s m a s s e r t s t h a t all s h o u l d b e t r e a t e d a l i k e ;

Introduction

23

not only those within a nation, but those w h o c o m e to w o r k a n d settle t h e r e . O n t h e o t h e r , W e s t e r n E u r o p e a n s h a v e l e a r n e d t h a t new a n d p e r m a n e n t settlements of other ethnic g r o u p s m e a n ethn i c conflict, a n d t h e y m e a n t o a v o i d i t i f t h e y c a n . F o r G r e a t B r i t a i n i t i s t o o l a t e . I t s c o l o r e d p o p u l a t i o n i s p e r m a n e n t , w i t h t h e full rights of citizenship, and that 2 percent of the population already f o r m s a n i s s u e i n B r i t i s h politics t h a t f a r o u t w e i g h s its p r o p o r t i o n . F u r t h e r i m m i g r a t i o n has virtually b e e n halted. T h e N o r t h Africans, Spanish, a n d Portuguese in France, a n d the Italians, Yugoslavs, a n d T u r k s i n G e r m a n y a r e n o t c i t i z e n s , b u t o n e w o n d e r s w h e t h e r t h e y will a c t u a l l y b e a less p e r m a n e n t p a r t o f t h o s e c o u n tries.

O n e s e e s t h e d e v e l o p m e n t o f c o m m o n i s s u e s — i n conflicts

over housing, schooling, jobs. T h e process of the creation of multiethnic

European

states

through

immigration

may

be

slowing

d o w n , p u r s u a n t t o a n i n t e r n a l logic o f its o w n . F o r w e l f a r e s t a t e s a r e g e n e r o u s t o t h e i r citizens a n d t e n d i n t h a t m e a s u r e t o b e c a r e ful a s t o w h o i s a l l o w e d t o b e c o m e o n e . B u t t h e h e r i t a g e o f t h e recent

p e r i o d of mass

immigration

is

n o w b e i n g felt, a n d

one

wonders w h e t h e r the new heterogeneity of E u r o p e a n nations can r e a l l y b e s e t t l e d b y s i m p l e m a s s e x p u l s i o n s , legal a s t h a t m a y b e . I n any case, this o p t i o n exists. Almost continues

alone to

among

accept

the

large

major numbers

nations,

the

United

of permanent

States

immigrants.

M o r e o v e r , t h e s e i m m i g r a n t s - a r e .of q u i t e d i f f e r e n t " s t o c k "

from

those of the past. Many are Asian, a n d the new i m m i g r a n t s a r e to an

u n p r e c e d e n t e d degree professional,

u p p e r m i d d l e class

per-

s o n s . W h a t t h i s m e a n s i s t h a t t h e p r o c e s s o f g a i n i n g political i n f l u ence as a small g r o u p , a process which took even the most successful o f e a r l i e r g r o u p s two g e n e r a t i o n s a t least, i s likely t o b e r a p i d f o r t h e s e m o s t r e c e n t n e w c o m e r s . I t i s o d d h o w little t h i s p h e n o m e n o n figures in A m e r i c a n public discussion: it is n e i t h e r hailed n o r challenged, but simply ignored. Without too m u c h exaggeration it could be stated that the i m m i g r a t i o n process is the single m o s t imp o r t a n t d e t e r m i n a n t o f A m e r i c a n f o r e i g n policy. T h i s p r o c e s s r e g ulates the ethnic composition of the A m e r i c a n electorate. Foreign policy r e s p o n d s t o t h a t e t h n i c c o m p o s i t i o n . I t r e s p o n d s t o o t h e r t h i n g s a s well, b u t p r o b a b l y f i r s t o f all t o t h e p r i m a l facts o f e t h -

24

Nathan

Glazer

and

Daniel

P.

Moynihan

nicity. I n a m u l t i - e t h n i c society t h e r e a r e o f t e n c o n f l i c t i n g e t h n i c loyalties, a n d o u r history r e c o r d s sufficient instances o f j u s t that, s u c h t h a t n o o b v i o u s , s i m p l e r e d i r e c t i n g o f f o r e i g n policy i s i n t h e o f f i n g . B u t o u r f u t u r e will r e c o r d e v e n m o r e s u c h conflicts a s K o r e a n s , Filipinos, I n d i a n s , Pakistanis, S i n g a p o r e a n s , a n d d o z e n s m o r e m a k e t h e i r i n t e r e s t s k n o w n . F o r e i g n policy will b e a f f e c t e d i n d i v e r s e a n d p r o f o u n d w a y s . Yet o d d l y , t h e U n i t e d S t a t e s D e p a r t m e n t o f State almost wholly ignores t h e i m m i g r a t i o n process. T h e fact t h a t i m m i g r a t i o n policy is f o r e i g n policy is a s e e m i n g l y i n e x p l i cable t h o u g h t in Foggy Bottom. H o w e v e r m u c h W e s t e r n E u r o peans a n d others may succeed in protecting themselves from the e t h n i c s t o r m s o f t h e t w e n t i e t h c e n t u r y , w e m a y b e s u r e t h e y will c o n t i n u e to buffet the Great Republic. " C a n t h e Blacks Do for A f r i c a W h a t t h e J e w s Did f o r I s r a e l ? " a s k s a r e c e n t a r t i c l e i n Foreign Policy. T h e a n s w e r , i n t h e view o f t h e a u t h o r M a r t i n W e i l , i s y e s , t h e y c a n , a n d y e s , t h e y o u g h t . T h e view o f t h e A c t i o n C o m m i t tee on A r a b - A m e r i c a n Relations, or the recently f o r m e d National A s s o c i a t i o n o f A r a b A m e r i c a n s i s u n r e c o r d e d a s o f t h i s w r i t i n g , alt h o u g h t h e y m a y well w e l c o m e t h e p r o s p e c t o f g r e a t e r A m e r i c a n participation in pan-Islamic adventures. A n d so r o u n d the globe. If o t h e r n a t i o n s wish to lessen e t h n i c d i v e r s i t y , it is c l e ? r t h a t this is n o t y e t t h e view o f A m e r i c a n s , c e r t a i n l y n o t o f G r e e k - A m e r i c a n s , w h o s e n u m b e r s , militance, a n d c o n g r e s s i o n a l s t r e n g t h b e c a m e evid e n t w i t h t h e o n s e t o f t h e C y p r u s crisis o f t h e s u m m e r o f 1 9 7 4 . N o r , o f c o u r s e , c a n t h e r e m a i n i n g n a t i o n - s t a t e s easily s u c c e e d i n a v o i d i n g t h e i r s h a r e o f s u c h difficulties. S i n c e W o r l d W a r I I a l m o s t e v e r y n e w n a t i o n , a n d t h e y far o u t n u m b e r t h e o l d e r n a t i o n s , h a s c o m e i n t o e x i s t e n c e w i t h a n u m b e r o f s e r i o u s e t h n i c conflicts w a i t ing, as it were, their t u r n to be the focus of p o s t - i n d e p e n d e n c e p o litical life. T h e o l d E u r o p e a n s t a t e s , w h i l e b e c o m i n g s o m e w h a t m o r e d i v e r s e , w i t h t h e a d d i t i o n o f n e w g r o u p s , a r e still i n t h e p r o cess o f f i n d i n g o u t j u s t h o w d i v e r s e h i s t o r y h a d a l r e a d y m a d e t h e m . A d d t o this t h e fact—still g i v e n s u r p r i s i n g l y little a t t e n t i o n — t h a t i n a w o r l d i n w h i c h e a c h society b e c o m e s e t h n i c a l l y m o r e d i v e r s e , w e have h a d , since W o r l d W a r II, a surprisingly s t r o n g prejudice against a d j u s t i n g a n y b o u n d a r y , for a n y r e a s o n . As S a m u e l H u n t i n g t o n h a s w r i t t e n , " T h e t w e n t i e t h c e n t u r y bias a g a i n s t political

Introduction

25

d i v o r c e , t h a t is, s e c e s s i o n , i s j u s t a b o u t a s s t r o n g a s t h e n i n e t e e n t h c e n t u r y b i a s a g a i n s t m a r i t a l d i v o r c e . " S i n c e 1 9 4 8 r e m a r k a b l y few international frontiers have been altered, and those that have remain very unstable. 8

C e r t a i n l y t h e s e political r e a l i t i e s a l o n e s e e m t o p r o v i d e a g o o d n u m b e r of t h e i n g r e d i e n t s f o r a g r e a t e r d e g r e e o f e t h n i c conflict than, for e x a m p l e , in the world of the G r e a t Depression. F u r t h e r , as we have suggested, the international mass media network r a p idly s p r e a d s t h e s t o r y a n d s y m b o l s o f e t h n i c d i s c o n t e n t . N o t e t h a t this set of reasons that m i g h t explain why ethnicity has b e c o m e a f o c u s f o r political m o b i l i z a t i o n — t h e r i s e o f t h e w e l f a r e s t a t e , t h e conflict b e t w e e n e g a l i t a r i a n i s m a n d t h e d i f f e r e n t i a l a c h i e v e m e n t o f n o r m s , t h e g r o w i n g h e t e r o g e n e i t y o f s t a t e s , t h e int e r n a t i o n a l s y s t e m o f c o m m u n i c a t i o n — d o e s n o t easily d i f f e r e n t i a t e new nations from old, or developed from u n d e v e l o p e d ones; a n d this is why t h e r e is r e a s o n to c o n s i d e r ethnicity as n o t only a p h e n o m e n o n of new states, c o n c e r n e d a b o u t "nation-building," but of old states, too. T h e f o r e g o i n g scarcely c o m p r i s e s a " t h e o r y " e x p l a i n i n g why ethnic identity h a s b e c o m e m o r e salient, e t h n i c self-assertion s t r o n g e r , e t h n i c conflict m o r e m a r k e d , i n t h e p a s t t w e n t y y e a r s . I n d e e d , w e k n o w t h a t t h e facts a s s u m e d i n t h e last s e n t e n c e t h e m s e l v e s c a n b e — a n d a r e — d i s p u t e d : s o m e say t h a t e t h n i c conflict i s s i m p l y t h e form t h a t class conflict h a s b e e n t a k i n g o n c e r t a i n o c c a s i o n s i n r e c e n t d e c a d e s , a n d w i t h o u t t h e m o t o r o f class e x p l o i t a t i o n n o t h i n g e l s e w o u l d follow. O t h e r s say t h a t e t h n i c conflicts m u s t b e d e c o m p o s e d i n t o a v a r i e t y of e l e m e n t s : c o l o n i a l conflicts; t h e u p r i s i n g <>l the "internally" colonized; the ambition of individuals organizing f o l l o w i n g s ; f a s h i o n s a n d f a d s : t o cite b u t s o m e a s s e r t i o n s r a n g i n g f r o m t h e m o s t s e r i o u s t o t h e m o s t trivial. Little i n this f i e l d h a s b e e n r e s o l v e d . W e a r e all b e g i n n e r s h e r e . W e c o n s i d e r t h i s v o l u m e v e r y m u c h a n initial c o n t r i b u t i o n i n a n e n t e r p r i s e t o b e c o n t i n u e d . I t i s o u r h o p e t h a t t h i s b o o k p r e s e n t s a m o r e c a t h o l i c view o f e t h nicity t h a n i s g e n e r a l l y c u r r e n t : o n e t h a t e x t e n d s b e y o n d t h e m o r e (S. In t h e f o r e w o r d to Eric A. N o r d l i n g e r , Conflict Regulation in Divided Societies, Occasional P a p e r s in I n t e r n a t i o n a l Affairs, n o . 29 ( C a m b r i d g e , H a r v a r d University, C e n t e r for I n t e r n a t i o n a l Affairs, J a n u a r y 1972).

26 limited

Nathan

categories

of race,

Glazer

and

nationality,

Daniel

and

P.

Moynihan

minority

group;

that

i n c l u d e s d e v e l o p e d a s well a s d e v e l o p i n g n a t i o n s ; t h a t p r e s e n t s a variety

of theoretical

approaches

(though

scarcely

all

that could

m a k e a c a s e f o r t h e m s e l v e s ) ; a n d t h a t t h i s a p p r o a c h will s u g g e s t t o r e a d e r s t h a t t h e r e i s a p h e n o m e n o n h e r e t h a t is, i n w a y s n o t y e t explicated, no m e r e survival but intimately a n d organically b o u n d u p with m a j o r t r e n d s o f m o d e r n societies.

REFERENCES T h i s v o l u m e is only o n e of a n u m b e r of r e c e n t books which a r e d e v e l o p i n g a c o m p a r a t i v e view of ethnicity. S o m e of the o t h e r s f r o m which we have benefited are: Michael B a n t o n , Race Relations (New York, Basic Books, 1967). F r e d r i k B a r t h , ed., Ethnic Groups and Boundaries: The Social Organization of Culture Difference ( L o n d o n , G e o r g e Allen 8c U n w i n , 1969). W e n d e l l Bell a n d W a l t e r E. F r e e m a n , eds., Ethnicity and Nation-Building: Comparative, International and Historical Perspectives (Beverly Hills, Sage Publications, 1974). E r n e s t Q . C a m p b e l l , ed., Racial Tensions and National Identity (Nashville, V a n d e r b i l l University Press, 1972). C y n t h i a H. S n l o e , Ethnic Conflict and Political Development ( B o s t o n . Little, B r o w n , 1973). Leo K u p e r a n d M. G S m i t h , e d s . . Pluralism in Africa (Berkeley, University of California Press, 1969). Philip M a s o n . Patterns of Dominance ( L o n d o n . O x f o r d University Press, 1970). Eric A. N o r d l i n g e r , Conflict Regulation in Divided Societies, Occasional P a p e r s in Int e r n a t i o n a l Affairs, n o . 29 ( C a m b r i d g e . H a r v a r d University, C e n t e r for Int e r n a t i o n a l Affairs, J a n u a r y 1972). Alvin R a b u s h k a a n d K e n n e t h A. Shepsle, Politics in Plural Societies: A Theory of Democratic Instability ( C o l u m b u s , C h a r l e s E. Merrill, 1972). R. A. S c h e r m e r h o r n , Comparative Ethnic Relations: A Framework for Theory and Action (New Y o r k , R a n d o m H o u s e , 1970). P i e r r e L. van d e n B e r g h e , Race and Racism: A Comparative Perspective (New York, J o h n Wiley, 1967); a n d Race and Ethnicity: Essays hi Comparative Sociology (New Y o r k , Basic Books, 1970).

/

T O W A R D A GENERAL T H E O R Y

1 H A R O L D R . ISAACS

Basic G r o u p Identity: T h e Idols of the Tribe

Y o u r typical ultra-abstractionist fairly s h u d d e r s at concreteness: o t h e r things e q u a l , he positively prefers t h e pale a n d t h e spectral. If t h e two universes were offered, he would always choose t h e skinny outline r a t h e r t h a n t h e rich thicket of reality. It is so m u c h p u r e r , clearer, nobler. —William J a m e s . . . the u n s e t t l e d , indecisive c h a r a c t e r of t h e situation with which inquiry is c o m p e l l e d to deal affects all of t h e subject m a t t e r s that e n t e r into all inquiry. It affects, on t h e o n e h a n d , t h e observed existing facts . . , On t h e o t h e r side, it affects all of t h e suggestions, surmises, ideas that a r e e n t e r t a i n e d as possible solutions of t h e p r o b l e m . — J o h n Dewey T h e Idols of t h e T r i b e have their f o u n d a t i o n in h u m a n n a t u r e itself, a n d in t h e tribe or race of men . . . All perceptions, as well as t h e sense of t h e m i n d , a r e according to the m e a s u r e of t h e individual a n d not acc o r d i n g to t h e m e a s u r e of the universe. A n d t h e h u m a n u n d e r s t a n d i n g is like a false m i r r o r , which, receiving rays irregularly, distorts a n d discolors t h e n a t u r e of things by mingling its o w n n a t u r e with it. —Francis Bacon

T h e p u r p o s e h e r e is to offer a sketch of w h a t is i n t e n d e d to become a

full-feature

p o r t r a i t of basic group identity.

This

is t h e

Note: T h e m a t e r i a l in this c h a p t e r has b e e n e x p a n d e d to book l e n g t h in Idols of the Tribe, Group Identity and Political Change ( N e w Y o r k , H a r p e r & Row, 1975).

30

Harold

R.

Isaacs

identity d e r i v e d from b e l o n g i n g to w h a t is generally a n d loosely called an " e t h n i c g r o u p . " It is c o m p o s e d of w h a t have b e e n called " p r i m o r d i a l affinities a n d a t t a c h m e n t s . " I t i s t h e i d e n t i t y m a d e u p o f w h a t a p e r s o n i s b o r n with o r a c q u i r e s a t b i r t h . I t i s d i s t i n c t f r o m all t h e o t h e r m u l t i p l e a n d s e c o n d a r y i d e n t i t i e s p e o p l e a c q u i r e b e c a u s e u n l i k e all t h e o t h e r s , its e l e m e n t s a r e w h a t m a k e a g r o u p , i n Clifford Geertz' phrase, a "candidate for n a t i o n h o o d . " T h i s m a y s o u n d like a c l a i m t o h a v e c a u g h t u p w i t h t h e s n o w m a n of "ethnicity," whose footprints have been a r o u n d us for so long b u t w h i c h h a s b e e n s o c u r i o u s l y difficult f o r a c a d e m i c h u n t e r s t o t r a c k d o w n . B u t n o t h i n g s o d r a m a t i c i s i n d i c a t e d , b e c a u s e t h e face a n d f o r m o f this c r e a t u r e h a v e b e e n i n full view all t h e t i m e . T h e difficulty h a s b e e n t o " s e e " i t b y itself, t o d i s t i n g u i s h i t f r o m all t h e o t h e r " g r o u p s " a n d "identities" with which it has b e e n so c o m m o n l y l u m p e d o r c o n f u s e d o r e v e n c o v e r e d f r o m view. In a previous p a p e r I have described the setting and m a r k e d the s t a r t i n g p o i n t s o f m y o w n i n q u i r y i n t o this m a t t e r . I t d i s c u s s e d t h e p r e s e n t p e r v a s i v e c o n d i t i o n o f g r o u p f r a g m e n t a t i o n i n all o u r current politics, post-colonial, post-imperial, post-revolutionary, a n d — i n the United States—post-illusionary. T h i s condition a m o u n t s i n effect t o a m a s s i v e retribalization.- r u n n i n g s h a r p l y c o u n t e r t o all t h e g l o b a l i z i n g effects o f m o d e r n t e c h n o l o g y a n d communications. T h e evidence seems strongly to suggest that the H o u s e of M u u m b i — t h e h o m e of the progenital mother of the K i k u y u t r i b e i n K e n y a , u s e d h e r e a s a s u r r o g a t e n a m e f o r all t h e r o o m s — a l l t h e w o m b s ? — i n all t h e t r i b a l m a n s i o n s — i s w h e r e h u m a n b e i n g s still m o s t l y live. I t i s t h e r e f u g e t o w h i c h , i n a n y c a s e , g r e a t m a s s e s a r e r e t r e a t i n g a n d w i t h d r a w i n g i n t h e face o f t h e b r e a k d o w n o r i n a d e q u a c y o f all t h e l a r g e r c o h e r e n c e s o r s y s t e m s o f p o w e r a n d social o r g a n i z a t i o n . T o g e t s o m e b e t t e r u n d e r s t a n d i n g o f its t r e m e n d o u s p o w e r o f s u r v i v a l a n d p e r s i s t e n c e , i t w a s n e c e s s a r y , I s u g g e s t e d , t o d e t a c h this basic g r o u p i d e n t i t y f r o m t h e b l u r 1

)

I. H a r o l d R. Isaacs. " G r o u p Identity a n d Political C h a n g e : T h e H o u s e s of M u u m b i , " S e p t e m b e r 1971. Published in p a r t as " T h e H o u s e s of M u u m b i , " Washington Monthly 3 ( D e c e m b e r 1971), 10; a n d as " G r o u p Identity a n d Political C h a n g e : T h e Politics of Retribalization," Bulletin of the International House of Japan 31 (Tokyo, April 1973).

Basic G r o u p Identity

/ >.•-•••

1 ;

'

•

:

31

i n w h i c h s o m a n y social s c i e n t i s t s a n d p s y c h o l o g i s t s — u n l i k e t h e p o e t s , a r t i s t s , a n d h i s t o r i a n s — s e e m t o p r e f e r t o l e a v e it, t o s o r t o u t a n d e x a m i n e t h e e l e m e n t s of which it is m a d e , to see t h e ways t h e y relate to each other, what functions they p e r f o r m a n d what needs t h e y m e e t , t o t r y t o l o o k , i n s h o r t , a t w h a t i t i s t h a t g i v e s i t its e x t r a o r d i n a r y s t r e n g t h . I f this s e e m s e l e m e n t a r y , i t c o u l d b e b e c a u s e o u r p a s t a w a r e n e s s o f this p h e n o m e n o n o f basic g r o u p i d e n t i t y h a s clearly n o t p r e p a r e d us for the s h a p e s a n d roles it has a s s u m e d in o u r p r e s e n t a f f a i r s a n d b e c a u s e all t h a t w a s e v e r a s s u m e d a b o u t i t as " g i v e n " h a s n o w b e e n t a k e n away. We h a v e to try to " s e e " it n o w , I believe, as if we h a d never seen it before. T h e only place to begin, t h e r e f o r e , is at the b e g i n n i n g . T o b e g i n w i t h , t h e n , basic g r o u p i d e n t i t y c o n s i s t s o f t h e r e a d y m a d e set o f e n d o w m e n t s a n d i d e n t i f i c a t i o n s w h i c h e v e r y i n d i v i d u a l shares with o t h e r s from the m o m e n t of birth by the c h a n c e of the family into which he is b o r n at that given time in that given place. T h e r e i s f i r s t t h e n e w b a b y ' s b o d y itself, all t h e s h a r e d p h y s i c a l characteristics of the g r o u p acquired t h r o u g h the long process of selection, t h r o u g h what R e n e D u b o s has called the "biological r e m e m b r a n c e of things

past,"

plus

whatever else—we

still a r g u e

a b o u t how m u c h e l s e — c o m e s t h r o u g h t h e p a r e n t a l m e m b r a n e s t o g i v e e a c h n e w p e r s o n t h e o r i g i n a l s h a p e o f h i s o r h e r u n i q u e self.

2

2 . T w o r e m a r k s h e r e r e g a r d i n g t h e " h i s " a n d t h e " h e r " o f this m a t t e r : a. T h e only t h i r d p e r s o n singular possessive p r o n o u n in English besides " h i s " a n d " h e r s " i s t h e n e u t e r "its." I f t h e u s e o f " h i s " w h e n w e m e a n b o t h " h i s " a n d " h e r s " — l i k e t h e use o f " m e n " w h e n w e m e a n " h u m a n b e i n g s " o r " m e n and wom e n " — d o e s c o m e to be seen simply as male sexist a r r o g a n c e instead of a c c e p t a b l e s u r r o g a t e u s a g e a n d e x t e n s i o n of m e a n i n g , t h e n , as in t h e case of t h e d e e p l y imb e d d e d uses o f t h e w o r d "black," t h e l a n g u a g e m a y n e e d s o m e revising. M e a n while, a feminist from way back, w h o finds sexless n e u t e r i s m j u s t as offensive as sexist m a l e or female c h a u v i n i s m , must k e e p on t r y i n g to write a b o u t t h e s e m a t t e r s w i t h o u t m a n g l i n g sensibilities or, as far as possible, t h e p r o s e . b . W o m e n obviously s h a r e c o m m o n characteristics a n d s o m e c o m m o n c o n d i tions with o t h e r w o m e n across m a n y c u l t u r e s . B u t t h a t d o e s not m e a n t h a t t h e y s h a r e t h e s a m e basic g r o u p identity as women a n y m o r e t h a n m e n do as men, n o t in t h e sense of basic g r o u p identity as I am t r y i n g to specify it h e r e . T h e physical a n d o t h e r differences b e t w e e n m e n a n d w o m e n , m a r v e l o u s a s they a r e , d o n o t m a k e m e n a n d w o m e n c a n d i d a t e s a s such for s e p a r a t e n a t i o n h o o d . Every basic g r o u p identity is s h a r e d by t h e m e n and w o m e n in t h e g r o u p , with its p a r t i c u l a r t e r m s , r u l e s , c o n d i t i o n s f i x i n g t h e relationships b e t w e e n t h e m . T h e s t r u g g l e for equality

32

Harold

R.

Isaacs

B u t e v e n a s i t d r a w s its first b r e a t h , h e a r s its f i r s t s o u n d , feels its first touch, the new infant begins to be e n d o w e d with everything else t h a t a w a i t s i t i n t h a t family a t t h a t t i m e i n t h a t p l a c e . T h e s e a r e the c o m m o n holdings of the g r o u p of which the baby becomes a m e m b e r , t h e social f e a t u r e s , t h e " s h a r e d s a m e n e s s e s " t h a t e n t e r i n all t h e i r c o m p l e x w a y s i n t o t h e m a k i n g o f t h e i n d i v i d u a l e g o i d e n tity. It is q u i t e a s t o c k of e n d o w m e n t s . T h e b a b y a c q u i r e s a name, a n i n d i v i d u a l n a m e , a f a m i l y n a m e , a g r o u p n a m e . H e a c q u i r e s t h e history and origins o f t h e g r o u p i n t o which he is born. T h e group's culture-past automatically endows h i m , a m o n g o t h e r t h i n g s , w i t h his nationality o r o t h e r c o n d i t i o n o f n a t i o n a l , r e g i o n a l , o r t r i b a l affiliation, h i s language, religion, a n d value system—the i n h e r i t e d c l u s t e r s o f m o r e s , e t h i c s , a e s t h e t i c s , a n d t h e a t t r i b u t e s t h a t c o m e o u t o f t h e geography o r topography o f h i s b i r t h p l a c e itself, all s h a p i n g t h e o u t l o o k a n d w a y o f life u p o n w h i c h t h e n e w i n d i v i d u a l e n t e r s f r o m his f i r s t d a y . T h e s e legacies c o m e t o t h e c h i l d b e a r i n g t h e i m m e n s e w e i g h t o f t h e w h o l e p a s t a s his family h a s r e c e i v e d it. T h e y s h a p e t h e o n l y r e ality i n his e x i s t e n c e a n d a r e m a d e p a r t o f h i m b e f o r e h e h a s b a r e l y a n y c o n s c i o u s n e s s a t all. T h i s i s d o n e f o r m a l l y a n d r i t u a l l y a t o r s o o n after birth, as in b a p t i s m , circumcision, a n d similar rites of entry into the world of the g r o u p , a n d again, after the conditioning o f t h e c h i l d h o o d y e a r s , i n t h e v a r i e t i e s o f p u b e r t y r i t e s o r initiat i o n s b y w h i c h y o u n g p e r s o n s b e c o m e fully a d m i t t e d m e m b e r s o f the group. T h e n e w m e m b e r o f t h e g r o u p c o m e s n o t o n l y i n t o his i n h e r i t a n c e o f t h e p a s t b u t also i n t o all t h e s h a p i n g c i r c u m s t a n c e s o f t h e p r e s e n t : the conditions of status that c o m e or do not c o m e with t h e s e l e g a c i e s , his family's r e l a t i v e w e a l t h o r p o v e r t y , its r e l a t i v e position in the larger g r o u p to which it belongs, a n d the group's p o s i t i o n r e l a t i v e t o o t h e r g r o u p s i n its e n v i r o n m e n t — a l l t h e politic a l - s o c i a l - e c o n o m i c c i r c u m s t a n c e s t h a t i m p i n g e o n t h e family a n d t h e g r o u p , with all t h e i n w a r d a n d o u t w a r d e f f e c t s t h e s e c o n d i t i o n s of status for w o m e n is b e i n g fought with different d e g r e e s of success in d i f f e r e n t societies as part of t h e g e n e r a l c u r r e n t r e n o v a t i o n of social a n d political systems. It h a s its p r o b l e m s , b u t as in t h e fight for racial justice in t h e A m e r i c a n society, separ a t i o n does not seem to be a m o n g t h e viable solutions.

Basic G r o u p

Identity

33

have on the s h a p i n g of the individual's personality a n d the m a k i n g o f his life. O f t h e s e m o s t d e c i s i v e a r e t h e political c o n d i t i o n s i n which the g r o u p identity is held, the measure of power or powerl e s s n e s s t h a t i s a t t a c h e d t o it. H o w d o m i n a n t o r h o w d o m i n a t e d i s t h e g r o u p t o w h i c h this i n d i v i d u a l b e l o n g s ? H o w static o r h o w c h a n g i n g is this c o n d i t i o n , a n d how, t h e n , is he g o i n g to be able to see a n d b e a r himself in relation to others? T h i s is t h e cardinal q u e s t i o n a n d it is essentially the q u e s t i o n of the g o v e r n i n g politics, the p u s h a n d pull of p o w e r a m o n g the g r o u p s w h o share the scene. S u c h a r e t h e h o l d i n g s t h a t m a k e u p t h e basic g r o u p i d e n t i t y . H o w they a r e seen a n d celebrated has provided the substance of most of w h a t we k n o w as history, mythology, folklore, art, literat u r e , r e l i g i o u s beliefs a n d p r a c t i c e s . H o w t h e h o l d i n g s o f o t h e r s a r e seen has p r o v i d e d most of the u n e n d i n g grimness of the w e - t h e y c o n f r o n t a t i o n i n h u m a n e x p e r i e n c e . Raised high o r held low, t h e s e a r e t h e i d o l s o f all o u r t r i b e s . T h e s e e l e m e n t s o f t h e basic g r o u p i d e n t i t y invite f r e s h s c r u t i n y , e a c h i n itself. F o r a s f a r a s I m a y d a r e s t r e t c h t h e p r e s c r i b e d l e n g t h o f t h i s c h a p t e r , I will i n c l u d e s o m e a d d i t i o n a l i n c o m p l e t e n o t e s o n two^ o f t h e m — t h e m o s t s y m b o l i c , ( h a m e } a n d t h e m o s t p a l p a b l e , body)—if o n l y f o r p u r p o s e s o f i l l u s t r a t i o n . B u t a s f a r a s this k i n d o f dissection c a n take o n e — q u i t e f a r — t h e way invariably leads back to t h e c l u s t e r i n g o f all t h e s e e l e m e n t s i n i n t i m a t e r e l a t i o n t o e a c h o t h e r . I will b e d e s c r i b i n g s e v e r a l s u c h c l u s t e r s o f g r o u p i d e n t i t y elements as I have f o u n d t h e m a r r a n g i n g themselves in different c o m b i n a t i o n s i n d i f f e r e n t s e t t i n g s . M y o w n case s t u d y i n t e r v i e w material deals with black A m e r i c a n s , A m e r i c a n J e w s in Israel, I n d i a n e x - U n t o u c h a b l e s , E n g l i s h - e d u c a t e d C h i n e s e M a l a y a n s , Filipinos, J a p a n e s e . T h e public prints a r e f i l l e d every day with m a t e rial b e a r i n g o n o t h e r e x a m p l e s f r o m a l m o s t e v e r y w h e r e o n e a r t h . E a c h c a s e , o n e f i n d s , d e v e l o p s its o w n s h a p e s , its o w n d y n a m i c s , its o w n p e c u l i a r i n t e n s i t i e s . T h e r e i s n o t m u c h a b o u t t h e s t u d y o f basic g r o u p identity t h a t c a n b e r e d u c e d t o single f o r m u l a s o r b e symmetrically a r r a n g e d . T h e various elements show up in different r e l a t i o n s h i p s t o e a c h o t h e r a n d w i t h q u i t e d i f f e r e n t specific g r a v i ties. S k i n c o l o r a n d p h y s i c a l c h a r a c t e r i s t i c s m a y b e a t t h e h e a r t o f t h e g r o u p identity cluster of t h e black A m e r i c a n but only at t h e

34

Harold

R.

Isaacs

m a r g i n s in t h e case of the blacker African, the core of w h o s e g r o u p i d e n t i t y m a y lie i n his t r i b a l affiliation. H i s t o r y a n d o r i g i n s c a n a p p e a r a s t h e m o s t p o w e r f u l l y p o s i t i v e c e n t e r p i e c e , say, f o r t h e C h i n e s e w i t h h i s G r e a t Past, a n d a s t h e m o s t c r u s h i n g l y n e g a t i v e c e n t e r p i e c e for the e x - U n t o u c h a b l e in I n d i a w h o w a n t s to blot his past out altogether. In Ulster it is being "Catholic" or "Protest a n t " — w i t h t h e m i x o f h i s t o r y a n d r e l i g i o n t h a t gives t h e s e i d e n t i ties t h e i r c o n t e n t — t h a t g o v e r n s e v e r y t h i n g a b o u t t h e t e r m s o n w h i c h a p e r s o n i n t h a t c o u n t r y n o w i s g o i n g t o live o r d i e . T h e c o m m o n h o l d i n g of Islam a n d fear-hate of the H i n d u s t h r u s t East B e n g a l into a n a t i o n with t h e Punjabis, P a t h a n s , Sindis, a n d o t h e r M u s l i m p e o p l e s of India's west: g e o g r a p h y , physical differences, l a n g u a g e , history p a r t e d t h e m a g e n e r a t i o n later in o n e of o u r curr e n t history's bloodier a m p u t a t i o n s . y~ B u t v a r i e d as s u c h p a r t i c u l a r s c a n b e , I do b e l i e v e it is p o s s i b l e to say t h a t i n all c a s e s , t h e f u n c t i o n o f basic g r o u p i d e n t i t y h a s t o d o m o s t c r u c i a l l y w i t h t w o key i n g r e d i e n t s i n e v e r y i n d i v i d u a l ' s p e r s o n a l i t y a n d life e x p e r i e n c e : his s e n s e o f b e l o n g i n g n e s s ,and_ the^ quality of his self-esteem. T h e s e c o m e defined in m a n y ways a n d the needs they serve are met in m a n y degrees of plus-ness a n d minus-n^jgs i n d i f f e r e n t c a s e s , s h a p i n g t h e r e b y m u c h o f t h e b e h a v ior of the m e m b e r s of the g r o u p . O b v i o u s l y — a n d this is precisely t h e point at which m u c h b l u r r i n g t a k e s p l a c e — t h e s e n e e d s c a n b e a n d o f t e n a r e satisfied i n s o m e m o r e purely interpersonal context, or in one or more of the many o t h e r multiple a n d secondary g r o u p identities individuals acquire i n t h e c o u r s e o f t h e i r lives i n all t h e d i f f e r e n t collectivities t o w h i c h t h e y c o m e t o b e l o n g — c l a s s , social, e d u c a t i o n a l , o c c u p a t i o n a l , p r o fessional, even recreational. But these s e c o n d a r y sources of bel o n g i n g n e s s a n d s e l f - e s t e e m s e r v e o n l y w h e r e basic g r o u p i d e n t i t y d i f f e r e n c e s do n o t get in t h e way. T h i s does o c c u r in s o m e m u l t i - g r o u p s i t u a t i o n s — m o r e today in t h e A m e r i c a n society, for e x a m p l e , than it did only yesterday, as Catholics, Jews, blacks, a n d o t h e r s s o well k n o w — b u t t a k e s p l a c e m o s t c o m m o n l y i n t h e e n c l o s u r e o f h o m o g e n e o u s g r o u p s , w h e r e t h e basic g r o u p i d e n t i t y i s a g i v e n , s h a r e d b y all. I n m o s t s u c h c a s e s i n m i x e d societies, h o w e v e r , the "outside" is quite nearby and out there it becomes necessary to

Basic G r o u p

Identity

35

face w h a t K u r t L e w i n c a l l e d t h e " u n c e r t a i n t y o f b e l o n g i n g n e s s , " the c h a l l e n g e to self-esteem, in dealings with m e m b e r s of o t h e r g r o u p s , b e t h e y m o r e p o w e r f u l o r less. H e r e o n c e m o r e t h e basic g r o u p identity and the conditions of that particular pecking o r d e r d e t e r m i n e h o w far these n e e d s a r e m e t o r n o t m e t . A) A n i n d i v i d u a l b e l o n g s t o his basic g r o u p i n t h e d e e p e s t a n d m o s t ' l i t e r a l s e n s e t h a t h e r e h e i s n o t a l o n e , w h i c h i s w h a t all b u t a v e r y few h u m a n b e i n g s m o s t fear t o be. H e i s n o t o n l y n o t a l o n e , b u t , , , h e r e , a s l o n g a s h e c h o o s e s t o r e m a i n i n a n d o f it, h e c a n n o t b e d e nied or rejected. It is an identity he might want to a b a n d o n , but it is the identity that no o n e can take away from him. It is h o m e in t h e s e n s e o f R o b e r t F r o s t ' s l i n e , t h e p l a c e w h e r e , w h e n y o u ' v e got. to go there, they've got to take you in—the H o u s e of M u u m b i , the w o m b , t h e e m o t i o n a l h a n d h o l d s of childhood, sometimes t h e physical p l a c e itself. O r , i n this a g e o f m a s s i v e m i g r a t i o n s , f o r g r e a t n u m b e r s t r a n s p o r t e d great physical a n d cultural distances, it is the a r k they c a r r y with t h e m , the t e m p l e of w h a t e v e r rules one's f o r e b e a r s lived b y , t h e " t r a d i t i o n " o r " m o r a l i t y " o r w h a t e v e r f o r m o f c r e e d o r b e l i e f i n a g i v e n set o f a n s w e r s t o t h e u n a n s w e r a b l e s . W i t h t h i s b e l o n g i n g n e s s t h e r e g o e s , all b u t i n s e p a r a b l y , t h e m a t ter of self-esteem, the s u p p o r t i n g m e a s u r e of self-acceptance, of s e l f - r e s p e c t , t h a t e v e r y i n d i v i d u a l m u s t h a v e t o live a t o l e r a b l e e x i s t e n c e . S o m e individuals d e r i v e sufficient self-esteem o u t o f the stuff of their individual personalities alone. O t h e r s have to d e p e n d on their g r o u p associations to supply what their o w n individualities may often d e n y t h e m . Most people, we can probably agree, need all t h e y c a n g e t f r o m b o t h s o u r c e s . A g a i n , like h e a l t h o r m o n e y , this m a t t e r of self-esteem derived from g r o u p identity p r e s e n t s little o r n o p r o b l e m w h e n t h e g r o u p i d e n t i t y a n d t h e s e l f - a c c e p tance it generates is an assured given, an u n q u e s t i o n e d p r e m i s e of life a n d t h e r e f o r e n o t i n itself a s o u r c e o f conflict. T h i s c a n b e t h e c a s e i n a t i g h t l y h o m o g e n e o u s society o r g r o u p , o r i n a s t a b l e society i n w h i c h all g r o u p s f r o m t o p t o b o t t o m i n t h e p e c k i n g o r d e r n o t o n l y k n o w t h e i r p l a c e b u t a c c e p t it. All, i n c l u d i n g t h e m a s t e r g r o u p s a t t h e t o p a n d t h e lowest a t t h e b o t t o m — f o r e x a m p l e , t h e U n t o u c h a b l e s in t h e H i n d u caste s y s t e m — a c c e p t t h e m s e l v e s as they a r e told they a r e a n d accept t h e belief system t h a t fixes t h e

Harold

36

R.

Isaacs

c o n d i t i o n s o f t h e i r lives. S u c h f r o z e n p e c k i n g o r d e r s h a v e e x i s t e d for p e r i o d s of t i m e in d i f f e r e n t societies. B u t it is precisely this n e e d f o r s e l f - e s t e e m , t h e n e e d t o a c q u i r e it, feel it, a s s e r t it, t h a t h a s i n o u r o w n t i m e u p s e t all s u c h o r d e r s a n d b e c o m e o n e o f t h e m a j o r d r i v e s b e h i n d all o u r v o l c a n i c politics. T h e d r i v e t o selfa s s e r t i o n , t o g r o u p p r i d e , -has f u e l e d all t h e n a t i o n a l i s t m o v e m e n t s that b r o k e the rule of the empires. It stoked up the national/racial chauvinisms that have characterized both the Russian and Chinese revolutions. M o r e t h a n a n y t h i n g else, i t g e n e r a t e d t h e p o w e r that b r o k e the system of white s u p r e m a c y in the U n i t e d States. We have b e c o m e familiar with w h a t is called identification with the a g g r e s s o r , with the p a t t e r n s of self-rejection a n d self-hate c o m ing

out

of

negative

group

identities

successfully

imposed

by

s t r o n g e r on w e a k e r g r o u p s . B u t it is precisely w h e n m e m b e r s of such g r o u p s s t o p s u b m i t t i n g t o this c o n d i t i o n t h a t g r o u p identities b e c o m e a p r o b l e m b o t h t o v i c t i m i z e r s a n d v i c t i m s a n d , a s all o u r c u r r e n t a f f a i r s s h o w ^ o o n e r o r l a t e r e r u p t i n t o social a n d p o l i t i c a l conflict a n d crisis. T h i s i s t h e p o i n t a t w h i c h b a s i c g r o u p i d e n t i t y a n d politics m e e t . I t has b e e n t h e s t a r t i n g p o i n t o f m a n y n o t a b l e lives, m u c h n o t a b l e h i s t o r y , a n d h a r d l y a n y m o r e n o t a b l e t h a n t h e history of o u r o w n time. T h i s b r i n g s us back to t h e task of m a k i n g a detailed e x a m i n a t i o n o f t h e e l e m e n t s t h a t m a k e u p this basic g r o u p i d e n t i t y . F o r t h e p u r poses of this c h a p t e r , a n d to illustrate t h e b e g i n n i n g of a s u g g e s tion of w h a t such an e x a m i n a t i o n involves, h e r e a r e some notes on just two of these elements, body and n a m e . BODY T h e body is the most palpable element of which identity—individual or group—is m a d e . It is the only ingredient that is u n a r g u a b l y b i o l o g i c a l i n o r i g i n , a c q u i r e d i n m o s t o f its e s s e n t i a l c h a r acteristics by i n h e r i t a n c e t h r o u g h t h e g e n e s . P r i m a r y as t h e y m a y b e , all t h e o t h e r t h i n g s t h a t g o i n t o t h e m a k i n g o f g r o u p i d e n t i t y a r e t r a n s f o r m a b l e . A n individual can c h a n g e his n a m e , i g n o r e o r c o n c e a l his o r i g i n s , d i s r e g a r d o r r e w r i t e his h i s t o r y , a d o p t a diff e r e n t n a t i o n a l i t y , l e a r n a n e w l a n g u a g e , a b a n d o n his f a m i l y ' s r e ligion o r c o n v e r t t o a n e w o n e , e m b r a c e n e w m o r e s , e t h i c s , p h i -

Basic G r o u p

37

Identity

l o s o p h i e s , t a k e o n n e w styles o f life. B u t t h e r e i s n o t m u c h h e c a n d o t o c h a n g e his b o d y . S o m e body c h a n g e can result from cultural c h a n g e : for example, Japanese are

growing

taller because

of changes

in

diet.

Some

aspects of the body's a p p e a r a n c e can be c h a n g e d by cosmetic or o t h e r m e a n s . T h i s has often been d o n e in the effort to become m o r e " b e a u t i f u l " o r less " u g l y " a n d this h a s f r e q u e n t l y b e e n associated with t h e effort to s h e d

physical identification with o n e

g r o u p o r gain closer identification with a n o t h e r g r o u p . H a i r can b e d y e d , c u r l e d , s t r a i g h t e n e d , w e i g h t g a i n e d o r lost, m u s c l e s h a r d ened

or

laxed,

skin

can

be

bleached

(up

to

a

point),

breasts

inflated o r f l a t t e n e d , eyelids d o u b l e d a n d noses o r o t h e r features altered by plastic s u r g e r y . B u t by a n d large a n d for m o s t p e o p l e , the b o d y r e m a i n s essentially u n a l t e r a b l e . T h e color a n d t e x t u r e o f its s k i n a n d h a i r , t h e s h a p e , size, a n d m u t u a l a r r a n g e m e n t s o f its m a i n f e a t u r e s c o m e t o u s a t b i r t h a n d stay w i t h u s u n t i l w e d i e . T h e body is at once the most intimate and inward a n d most obvious and o u t w a r d aspect of how we see ourselves, how we see others, how o t h e r s see us. M u c h lore a n d sacred d o c t r i n e has held that t h e spirit or soul of m a n i s s o m e e s s e n c e t e m p o r a r i l y h o u s e d i n his b o d y , s u r v i v i n g — i n d e e d , finally f r e e d — w h e n t h e b o d y w a s t e s a w a y a n d c o n t i n u i n g its independent

existence

in

all

the

other-worlds

that

have

been

c r e a t e d t o s e r v e t h e n e e d n o t t o d i e . All t h e a n c i e n t r e l i g i o n s o f I n d i a s a w life i n t h e b o d y a s a n i n t e r l u d e o f s u f f e r i n g . T h e b o d y is a s t r o n g h o l d m a d e o f b o n e s , a n o l d B u d d h i s t s u t r a s a i d , "covered w i t h f l e s h a n d b l o o d , a n d t h e r e d w e l l i n i t o l d a g e a n d d e a t h , pride, a n d d e c e i t . " W i t h t h a t m o r e p u n g e n t c o n c r e t e n e s s a c q u i r e d during its p a s s a g e t h r o u g h C h i n a , Z e n B u d d h i s m c a l l e d t h e b o d y " a stink ing b a g o f skin." T h i s i m a g e a n d t h e idea o f ascetic mortification t h a t w e n t with it g o v e r n e d m u c h of I n d i a n religiosity b u t did not get far in C h i n a w h e r e , as in so m u c h else, e a r t h i e r n o t i o n s p r e v a i l e d . H a j i m e N a k a m u r a q u o t e s a n o l d C h i n e s e t e x t : " W e get o u r b o d y , h a i r , a n d s k i n f r o m t h e p a r e n t s . T o k e e p i t f r o m r u i n a n d inj u r y is the b e g i n n i n g of filiaj piety."

3

F o r P l a t o t o o , t h e b o d y was

3. H a j i m e N a k a m u r a , Ways of Thinking of Eastern People: India-China—THbtt fapan ( H o n o l u l u , E a s t - W e s t C e n t e r Press, 1964), p p . 1 6 2 - 1 6 3 . 180.

38

Harold

R.

Isaacs

s o m e t h i n g t o b e left b e h i n d w h e n , h i g h e n o u g h u p t h a t l a d d e r o f love, t h e h u m a n s p i r i t c o u l d rise r i g h t o u t o f its b o d y a n d o u t o f t h e w o r l d into t h e w o n d r o u s r e a l m o f p u r e beauty. Aristotle, i n his m o r e C h i n e s e - l i k e w a y , t h o u g h t t h a t m i n d a n d b o d y h a d t o live with each o t h e r in a knowable world w h e r e p u r e b e a u t y — p e r f e c t e d m a n — w o u l d not be readily f o u n d . In later times, even Descartes, w h o c o n t i n u e d t o t h i n k h e was b e c a u s e h e t h o u g h t , o n c e a c k n o w l e d g e d : " I d o n o t o n l y r e s i d e i n m y b o d y (like) a p i l o t i n h i s s h i p , but am intimately c o n n e c t e d with it a n d the m i x t u r e is so b l e n d e d t h a t s o m e t h i n g like a s i n g l e w h o l e is p r o d u c e d . "

4

It has b e e n m o r e in the m o d e r n t e m p e r to think of t h e "single whole"—"the soul is not m o r e than the body," sang W h i t m a n , "the body is n o t m o r e t h a n the soul"—going on to think of t h e soul (or "spirit" or " m i n d " or "personality") as i m b e d d e d in a c o m p l e x of w h i c h t h e self a n d t h e b o d y a r e i n t e g r a l a n d i n s e p a r a b l e p a r t s a n d j o i n e d all b u t indivisibly t o t h e society o f w h i c h t h e i n d i v i d u a l i s p a r t . O n e s t u d e n t o f this " I n a t t e r s u g g e s t s t h a t t h e b o d y " p l a y s a f u n d a m e n t a l r o l e i n o u r i m p e r s o n a l s e n s e o f social i d e n t i f i c a t i o n with 'fellow-citizens' w h o m w e m a y n e v e r h a v e m e t " a n d h e p r o v o c atively calls t o w i t n e s s " t h e i r r e p r e s s i b l e m e t a p h o r f o r society a s ' t h e b o d y p o l i t i c , ' " u s e d , h e p o i n t s o u t , b y P l a t o , A r i s t o t l e , St. T h o m a s , H o b b e s , H e g e l , a n d S p e n c e r , s u g g e s t i n g " t h a t t h e feat u r e s o f civil society m a y reflect t h o s e o f o u r i n d i v i d u a l b o d y . "

5

C o m i n g a t this a l o n g q u i t e a n o t h e r d i s c i p l i n a r y d i m e n s i o n , t h e psychoanalyst Paul Schilder joins "world, body, a n d personality," the p r o b l e m always b e i n g to see in every individual case h o w each r e l a t e s t o t h e o t h e r . " T h e b o d y i m a g e i s a social p h e n o m e n o n . O u r o w n b o d y i m a g e i s n e v e r i s o l a t e d , always a c c o m p a n i e d b y t h e b o d y images of others." Or as extended by Helen Lynd: "One's body image helps to shape one's image of the world and one's image of t h e w o r l d affects t h e i m a g e s o n e h a s o f o n e ' s o w n b o d y ; b o t h p a r t s are essential."

6

4 . Q u o t e d b y S a m u e l J . T o d e s , " T h e H u m a n Body a s t h e Material Subject o f t h e W o r l d , " P h . D . diss., D e p a r t m e n t o f Philosophy, H a r v a r d University, C a m b r i d g e , 1963. 5. Ibid., p. 7. 6. H e l e n Lynd, On Shame and the Search for Identity (New York, H a r c o u r t , Brace, 1958), p. 3 7 .

Basic G r o u p

Identity

39

M o r e t h a n any n a m e , physical characteristics serve as a b a d g e of i d e n t i t y . T h e y f i g u r e w i t h h i g h visibility a n d p o w e r f u l g l a n d u l a r effect i n r e l a t i o n s b e t w e e n g r o u p s , n e v e r m o r e s o t h a n i n o u r o w n t i m e w h e n all s u c h r e l a t i o n s a r e b e i n g r e v i s e d a s t o p o w e r , s t a t u s , a n d p a t t e r n s o f m u t u a l b e h a v i o r . T h e grossest e x a m p l e o f this has been the relation between "white" and "nonwhite" in the making a n d u n m a k i n g o f E u r o p e a n w o r l d e m p i r e a n d o f t h e white sup r e m a c y system in t h e A m e r i c a n society. In t h e U n i t e d States especially, t h e e x p e r i e n c e o f c h a n g e h a s o p e n e d a p e r i o d o f a c u t e g r o u p i d e n t i t y crisis f o r b l a c k s w h o m u s t t r a n s f o r m t h e i r b l a c k n e s s f r o m t h e c r u s h i n g n e g a t i v e t h e w h i t e w o r l d m a d e o f i t i n t o a n acc e p t e d p o s i t i v e fact i n t h e i r lives. S i m i l a r p r e s s u r e h a s c o m e u p o n s o m e w h i t e s — n o t only in the U n i t e d States by any m e a n s — f o r w h o m "whiteness" r e m a i n s a p a r a m o u n t identification a n d whose g r o u p identity behavior is s h a p e d by their need to maintain their m y t h s a b o u t it. B u t t h i s i s h a r d l y a m a t t e r t h a t lies o n l y b e t w e e n " w h i t e n e s s " a n d "nonwhiteness" or only between f o r m e r "white" masters a n d f o r m e r " n o n w h i t e " subjects. N o w that the m a n t l i n g mythology of w h i t e s u p r e m a c y h a s b e e n p u l l e d a w a y a n d " w h i t e " political p o w e r r e d i f f u s e d a m o n g " n o n w h i t e s , " l o n g - s u b m e r g e d p a t t e r n s o f attitudes a n d b e h a v i o r a b o u t skin color have been r e a p p e a r i n g in v a r y i n g i n t e n s i t i e s a l o n g t h e e n t i r e c o l o r s p e c t r u m a n d i n m a n y diff e r e n t p a r t s o f t h e w o r l d . W h e n " r a c i s t " b e h a v i o r e r u p t s sufficiently to c o m e to t h e world's a t t e n t i o n — a s it does with p o i g n a n t a n d b l o o d y effect i n c o u n t r y a f t e r c o u n t r y — a n e f f o r t i s o f t e n m a d e t o e x p l a i n i t a w a y a s a l e g a c y o f W e s t e r n w h i t e d o m i n a n c e . B u t evid e n c e o f social a n d a e s t h e t i c v a l u e s a t t a c h e d t o " l i g h t n e s s " a n d " d a r k n e s s " of skin color a p p e a r s in t h e history, art, a n d literature o f n u m e r o u s c u l t u r e s w i d e l y s e p a r a t e d i n s p a c e a n d t i m e , i n all parts of the globe, a n d in times long before the spread of the power of white E u r o p e a n s beyond E u r o p e . Nor, moreover, are the critically e f f e c t i v e p h y s i c a l d i f f e r e n c e s c o n f i n e d t o s k i n c o l o r . B e tween the Watutsi a n d the H u t u , w h o have been slaughtering each o t h e r in R w a n d a a n d B u r u n d i ever since they received their "ind e p e n d e n c e " from t h e Belgians, t h e m a j o r physical difference is b e t w e e n tallness a n d s h o r t n e s s , b a d g e s o f g r o u p indentity t h a t can

Harold

40

R.

Isaacs

h a r d l y b e m i s s e d w h e n t h e g r o u p s o f killers f r o m b o t h s i d e s s e e k each o t h e r o u t . A c o m m o n feature of prejudice p a t t e r n s built up between g r o u p s is the notion that m e m b e r s of other g r o u p s are "dirty" o r h a v e s o m e peculiarly offensive smell. Also c o m m o n a r e attribution of u n u s u a l sexual powers or characteristics. 7

B e c a u s e t h e b o d y i s t h e m o s t p r i m o r d i a l o f all f e a t u r e s o f basic g r o u p identity, extraordinarily powerful taboos and sanctions have been attached in many groups to exogamous unions or marriages t h a t t h r e a t e n t h e i r physical s a m e n e s s , their "racial purity." U n t o u c h a b i l i t y i n I n d i a i s g u e s s e d b y s o m e t o h a v e h a d its o r i g i n i n the imagined efforts of light-skinned " A r y a n " invaders to p u n i s h a n d outlaw m i x i n g with the d a r k - s k i n n e d peoples w h o m they overr a n . Physical characteristics a r e a l m o s t as i m p o r t a n t as t h e G r e a t Past i n t h e m a k e u p o f C h i n e s e c h a u v i n i s m . T h e J a p a n e s e , for their part, hardly n e e d e d Spencer's injunction to them a century a g o : " N e v e r i n t e r m a r r y ! " ^ m o n g J a p a n e s e generally, physical h o m o g e n e i t y i s o n e o f t h e m o s t h i g h l y p r i z e d o f all a t t r i b u t e s . 8

9

Taboos a n d sanctions notwithstanding, there are of course large n u m b e r s of people in the world who are products of mixed marriages o r u n i o n s b e t w e e n m e m b e r s o f physically q u i t e d i f f e r e n t 7. " O n e w o m a n w h o a r r i v e d at a . . . hospital h a d h a d both h e r h a n d s h a c k e d off with a m a c h e t e . T h a t is a c o m m o n reprisal, for w h e n t h e s h o r t H u t u find t h e tall T u t s i , they often cut off t h e i r legs at t h e a n k l e s . " The New York Times, J u n e 17, 1973. 8 . C h i n e s e a b r o a d h a v e i n t e r m a r r i e d with o t h e r g r o u p s m u c h m o r e c o m m o n l y t h a n in t h e h o m e l a n d , b u t e v e n overseas C h i n e s e r e m a i n heavily subject to s t r o n g feelings a b o u t m i x i n g with " o u t s i d e r s " o f almost any d e s c r i p t i o n , o r m o r e especially a b o u t t h e c h i l d r e n o f such u n i o n s . C h i n e s e v e r n a c u l a r t e r m s for n o n C h i n e s e almost always refer to physical features or characteristics. 9. W h i l e in s o m e sections of J a p a n e s e society d u r i n g t h e o c c u p a t i o n , p o p u l a r c u l t u r e fads a n d a d o p t i o n of A m e r i c a n b e a u t y s t a n d a r d s led to a c e r t a i n c u r r e n c y for d o u b l e eyelid o p e r a t i o n s , m o s t J a p a n e s e have g u a r d e d themselves jealously against d i l u t i o n . A g l i m p s e of this a p p e a r s in the interview a c c o u n t of a y o u n g J a p a n e s e w o m a n with two i m p e c c a b l y J a p a n e s e p a r e n t s w h o r e m e m b e r s that as a small girl b e t w e e n t h e late 1940s a n d t h e early '50s, h e r " b i g " — t h a t is, s o m e w h a t less t h a n a l m o n d - s h a p e d — e y e s , a faint c o p p e r y tint in h e r black hair, a n d h e r slightly-fairer-than-usual skin led classmates to t a u n t h e r as an ainoko, a m i x e d child, a n e x p e r i e n c e t h a t b r o u g h t u p o n h e r s h a m e a n d l o a t h i n g that she has n e v e r f o r g o t t e n . Cf. H i r o s h i W a g a t s u m a , " T h e Social P e r c e p t i o n of Skin C o l o r in J a p a n , " Daedalus 96.2 ( S p r i n g 1967), 4 0 7 - 4 4 3 .

Basic G r o u p

groups.

41

Identity

A c r o s s c o l o r a n d o t h e r a s s o r t e d lines o f d i s t i n c t i v e n e s s ,

t h e y c o m b i n e d i f f e r e n t sets o f g e n e s a n d b o d y c h a r a c t e r i s t i c s . A t t h e two e n d s of the given physical s p e c t r u m , such individuals c o u l d often f a d e into t h e physically n e a r e s t p a r e n t a l g r o u p , if t h a t is w h a t they w a n t e d o r w e r e allowed t o d o . T h i s clearly h a s b e e n h a p p e n i n g f o r m a n y g e n e r a t i o n s a t t h e m a r g i n s o f all k i n d s o f g r o u p s . I n s o m e cases, this has actually b r o u g h t a b o u t a c h a n g e in t h e physical c a s t a n d / o r i n t h e r a n g e o f socially o r a e s t h e t i c a l l y a c c e p t a b l e p h y s i cal t y p e s . T h i s h a s h a p p e n e d , f o r e x a m p l e , a m o n g t h e m o r e o p e n a n d mobile s e g m e n t s of t h e highly diverse A m e r i c a n society, to t h e e x t e n t t h a t s o m e o f its racist critics h a v e c a l l e d i t " m o n g r e l . " T h i s wide—though never total—acceptance of blending tended to take p l a c e , h o w e v e r , w i t h i n c e r t a i n limits o f d i f f e r e n c e , f o r e x a m p l e , north-south

European,

blonde-brunette.

In

many

other

cases,

however, the difference r e m a i n e d too wide, usually a l o n g t h e color line, t o o v e r c o m e t h e g o v e r n i n g taboos a n d sanctions. O n e result was

automatic

identification

downward

into

the

lower

status

group—that famous "one d r o p of Negro blood" that m a d e a person

a

Negro

under

the

laws

and customs

of white-supremacy

A m e r i c a . A n o t h e r result was rejection by both p a r e n t a l g r o u p s a n d r e l e g a t i o n to a special m a r g i n a l i n b e t w e e n n e s s t h a t often a c q u i r e d its o w n l e g a l , social, a n d g r o u p c h a r a c t e r , f o r e x a m p l e , t h e A n g l o I n d i a n s in India, t h e " C o l o r e d s " in S o u t h Africa, a n d o t h e r such Eurasian or Eurafrican g r o u p s that came into being d u r i n g the colonial e r a . I n colonial times, such g r o u p s w e r e o f t e n able, u n d e r the p a t r o n a g e of the master race, to move into s o m e n a r r o w place of their own, usually as m i n o r b u r e a u c r a t s , policemen, jailers, a n d s o o n , o r , a s i n B r i t i s h I n d i a , a s skilled r a i l r o a d l a b o r . M o s t o f t h e m w e r e left p a i n f u l l y , s o m e t i m e s t r a g i c a l l y p l a c e l e s s w h e n t h e c o l o n i a l m a s t e r s left a n d t h e n e w m a s t e r s t o o k o v e r . I n t h e m o r e r e c e n t a n d particularly poignant example of the children fathered by American soldiers in J a p a n ,

Korea, a n d V i e t n a m , especially by black

A m e r i c a n soldiers, t h e very c o m m o n fate has b e e n a b a n d o n m e n t a n d r e j e c t i o n b y t h e local societies, i s o l a t i o n i n o r p h a n a g e s e n d e d i n o n l y a s m a l l n u m b e r o f cases b y a d o p t i o n b y A m e r i c a n f a m i l i e s . In s o m e instances in the colonial period, t h e m i x e d g r o u p bec a m e t h e t o p elite o f t h e l o w e r u n m i x e d o r less m i x e d m a s s , e n j o y -

42

Harold

R.

Isaacs

i n g social a n d e c o n o m i c a d v a n t a g e s f r o m t h e g r e a t e r c l o s e n e s s t o t h e m a s t e r r a c e , a s t h e so-called " m u l a t t o s " o r l i g h t e r - s k i n n e d N e groes did in the Americas a n d the Caribbean, or even eventually b e c a m e t h e e l i t e o f t h e society a s a w h o l e , a s t h e m e s t i z o s d i d i n most of Latin America a n d the Philippines after the e n d of Spanish r u l e . T h i s i n v a r i a b l y t o o k p l a c e o n t h e basis o f c u l t u r a l a s s i m i l a t i o n t o t h e h i g h e r s t a t u s g r o u p , t h e a d o p t i o n o f its styles a n d its r a c i a l attitudes. Such g r o u p s usually s o o n e r o r later c a m e u n d e r t h e counterattack of their own lower orders, as lighter-skinned Neg r o e s d i d i n A m e r i c a a t t h e h a n d s o f M a r c u s G a r v e y a n d his call for "race p u r i t y " a n d again m o r e recently in t h e t e n d e n c y of s o m e separationist blacks to identify black nationalism with " r a c e p u r i t y " a n d integratioriist ideas with " h o u s e n i g g e r i s m , " t h e " f i e l d - h a n d " versus the "house servant" s y n d r o m e carried d o w n from the days of slavery. In Mexico s o m e a t t e m p t was m a d e to give t h e political revolution the color of an I n d i a n reassertion. S o m e intellectuals, if not the mass of Indians, began trying to restore the pre-Colombian sources of the Mexican identity. In the Philippines similarly, s o m e i n t e l l e c t u a l s h a v e b e e n u r g i n g a n e w view o f t h e h i t h e r t o d e s p i s e d a b o r i g i n a l hill p e o p l e s w h o s e p a g a n " p u r i t y " c o u l d b e c o n t r a s t e d t o t h e u n c e r t a i n p h y s i c a l a n d c u l t u r a l m i x e d n e s s o f t h e l o w l a n d Filipino Christians. But w h e t h e r it takes place t h r o u g h i n t e r m a r r i a g e or otherwise, t h e d e g r e e o f mobility b e t w e e n g r o u p s i n m o s t societies d e p e n d s h e a v i l y o n t h e d e g r e e o f p h y s i c a l d i f f e r e n c e b e t w e e n t h e m . I n all societies, s o m e i n d i v i d u a l s will t r y t o " p a s s " f r o m o n e g r o u p t o a n o t h e r , to bridge status differences, to b e c o m e m o r e "like" the highly rated g r o u p . W h e r e the physical a p p e a r a n c e s involved a r e v a r i e d e n o u g h o r s i m i l a r e n o u g h , this k i n d o f p a s s i n g , n e v e r e a s y , b e c o m e s a t least p o s s i b l e . I t h a p p e n s all t h e t i m e , e v e n i n c a s t e I n d i a . B u t w h e r e p l a i n l y visible b o d y d i f f e r e n c e s a r e a critical feat u r e of t h e g r o u p d i f f e r e n c e s , i t r e m a i n s all b u t i m p o s s i b l e . E v e n w h e r e all o t h e r c o n d i t i o n s a r e o r c a n b e m a d e e q u a l , t h e p h y s i c a l characteristics themselves r e m a i n the barrier to status a n d belonging. T h i s is why, i n d e e d , s o m e g r o u p s without distinctive physical

Basic G r o u p

Identity

43

features to m a r k t h e m apart from other groups have deliberately c r e a t e d t h e m . T h u s circumcision, scarifying, tattooing, f i l i n g teeth, piercing or otherwise changing the shape of nose, ears, tongue, l i p s , all b e c o m i n g b a d g e s b y w h i c h t o i d e n t i f y t h o s e w h o b e l o n g a n d t h o s e w h o do not, s o m e t i m e s with highly complicated effect. 10

L e s s p e r m a n e n t b u t h a r d l y less d i s t i n c t i v e a r e t h e c h a n g e s m a d e for this s a m e p u r p o s e in t h e body's extensions, b e g i n n i n g with the hair, for e x a m p l e , t h e scalplock o f s o m e N o r t h A m e r i c a n I n d i a n s , the monk's tonsure, the sideburns of the Hasidic Jew, the uncut hair a n d beard of the S i k h — m i r r o r e d m o r e recently, a n d m o r e t r a n s i e n t l y , i n t h e a d o p t i o n o f l o n g h a i r a s t h e b a d g e o f t h e socalled y o u t h c o u n t e r - c u l t u r e , the shaved h e a d s of s o m e of Lond o n ' s c o u n t e r - c o u n t e r c u l t u r i s t s o r o f s o m e y o u n g A m e r i c a n s seeki n g t o b e like H i n d u h o l y m e n , a n d s o o n . T h e n t h e r e a r e all t h e distinctive m a r k s that can be m a d e on the body's surfaces, caste m a r k s in I n d i a , p a i n t e d p a t t e r n s on the skin, as in p a r t s of Africa a n d Oceania. Beyond these c o m e clothes, dress used to distinguish b o d i e s t h a t w o u l d all l o o k a l i k e — m o r e o r l e s s — u n d r e s s e d , all t h e "native costumes" which occur from nation to nation, g r o u p to g r o u p , s o m e t i m e s f r o m village t o n e a r b y village, g i v i n g t o e a c h o n e t h e i d e n t i f y i n g d i s t i n c t i v e n e s s i t n e e d s t o feel. C l o t h e s , o f c o u r s e , a l s o b e c o m e t h e i d e n t i f y i n g b a d g e f o r all k i n d s o f s e c o n d a r y g r o u p i n g s i n all c u l t u r e s , all t h e s p e c i a l c o s t u m e s o r u n i f o r m s w o r n d o w n t h r o u g h time b y the holy a n d the u n h o l y , priests, j u d g e s , lawyers, policemen, firemen, messengers, artisans of every description, a n d — p e r h a p s m o s t representatively of all—by the soldiers e a c h g r o u p d r e s s e s i n t h e i r i d e n t i f y i n g g a r b t o g o o u t t o kill t h e sold i e r s o f o t h e r g r o u p s d r e s s e d i n their i d e n t i f y i n g g a r b . Besides serving as the b a d g e of identity in so m a n y g r o u p s , the 10. C o n s i d e r what S h a k e s p e a r e writes for O t h e l l o the M o o r to say in his final s p e e c h (Act V, Sc. 2): . . . I n Aleppo once Where a malignant and turban'd T u r k Beat a V e n e t i a n a n d t r a d u c e d t h e State, I took by t h e t h r o a t the circumcised d o g a n d s m o t e h i m , thus—[stabs h i m s e l f ]

44

Harold

R.

Isaacs

b o d y i s f o r all g r o u p s t h e m a i n basis f o r its s t a n d a r d s o f b e a u t y , t h e m a i n subject by far of most a r t in m o s t cultures. T h i s b e g i n s with w h a t is p e r c e i v e d in any g r o u p as sexually attractive. O n e c a n find in anthropological literature some remarkable examples of what never pales or withers in the eyes of various beholders in different places. B u t the portrayal of the idealized h u m a n body as an object o f a r t a l s o i n c o r p o r a t e s all t h e o t h e r c o m p l i c a t e d p e r c e p t i o n s a n d values that go into the m a k i n g of any culture's aesthetics. Much waits t o b e l e a r n e d f r o m a c o m p a r a t i v e e x a m i n a t i o n o f t h e b o d y i n t h e a r t o f d i f f e r e n t c u l t u r e s , w i t h all t h a t i t c a n tell u s a b o u t s o m a n y aspects of each one a n d of the points at which they meet or part. T h e s e perceptions a n d values a p p e a r in o n e form or a n o t h e r a m o n g all t h e s t r a n d s o f e x p e r i e n c e t h a t g o i n t o h o w m e m b e r s o f a n y g r o u p a n y w h e r e s e e w h a t t h e y like i n t h e h u m a n b o d y — i d e a l o r r e a l — f a i r o r d a r k , b l o i * ^ e o r b r u n e t t e , tall o r s h o r t , classic o r c r u d e , r o u n d or lean, b r o a d or narrow, smooth or craggy, muscul a r o r soft, h a i r y o r b a r e , l a r g e - b r e a s t e d o r s m a l l , r o u n d - b e l l i e d o r fiat, s m a l l b u t t o c k s o r l a r g e . T h e s e b e c o m e , t h e n , t h e p r e f e r r e d s h a p e s i n w h i c h " w e " see ourselves, a n d they d e t e r m i n e h o w " w e " d e a l w i t h t h e n e g a t i v e s o f all t h e s e p o s i t i v e s t h a t " t h e y " — i n all t h o s e o t h e r g r o u p s — h o l d differently in view. T h e physical e l e m e n t i n basic g r o u p identity h a s t o d o n o t only w i t h b o d y b u t also w i t h p l a c e , t h e l a n d , t h e soil t o w h i c h t h e g r o u p is a t t a c h e d , literally, historically, mythically. O c t a v i o Paz identifies solitude n o t only with t h e "nostalgic l o n g i n g for t h e b o d y f r o m w h i c h we w e r e cast o u t " b u t also for the place from which t h e b o d y c a m e o r t o w h i c h i n d e a t h i t will r e t u r n , s e e n b v m a n y a n c i e n t s a s "the c e n t e r of t h e world, t h e navel of the universe," as " p a r a d i s e w h e r e t h e spirits of the d e a d dwell" a n d as "the g r o u p ' s real or m y t h i c a l p l a c e o f o r i g i n . " H e cites f r o m L e v y - B r u h l a p r i m i t i v e b e l i e f t h a t t o l e a v e o n e ' s p l a c e i s t o d i e , i l l u s t r a t e d b y a n A f r i c a n ritual in which m o v e m e n t f r o m a place is c o u n t e r a c t e d by c a r r y i n g a n d e a t i n g every day s o m e ^ f _ t h e _ s o i l o f t h e place t h a t was h o m e , t h u s g i v i n g t h e social s o l i d a r i t y o f t h e g r o u p " a vital o r g a n i c c h a r a c ter" a n d m a k i n g each i n d i v i d u a l in t h e g r o u p "literally p a r t of a b o d y . " A l m o s t all t h e r i t e s c o n n e c t e d w i t h t h e f o u n d i n g o f cities o r h o u s e s , Paz notes, "allude to a search for that holy c e n t e r f r o m

45

Basic G r o u p Identity

which we were driven out." T h u s "the great sanctuaries—Rome, Jerusalem, Mecca—are at the center of the world or symbolize and p r e f i g u r e it." Such

is

1 1

some

of the

underpinning

of "love

of

country"—

s c o u n d r e l l y love or real l o v e — t h a t gets i m b e d d e d in t h e individual c o n s c i o u s n e s s a b o u t o n e ' s b i r t h p l a c e . I n C h i n a — t h e C h i n e s e namem e a n s "central c o u n t r y " — p e o p l e c o n t i n u e to identify themselves with family birthplaces f r o m which they m a y actually be m a n y gene r a t i o n s r e m o v e d . In s o m e cases t h e ancestral h o m e l a n d , d i s t a n t in t i m e a s well a s i n s p a c e , b e c o m e s a c r i t i c a l i n g r e d i e n t i n t h e p r o b l e m of existence. Blacks in A m e r i c a struggle with t h e p l a c e m e n t of Africa

in

their redefinition

of who and

what they are.

Martin

B u b e r , w h o was m o r e c o n c e r n e d with a Jewish state of grace t h a n w i t h t h e politics o f s t a t e h o o d , s a w " t h e p h y s i c a l l i n k w i t h t h e l a n d " of Israel as crucial to t h e mystical a n d historical identity of J e w s ; this link is of c o u r s e t h e m y s t i q u e on which t h e state of Israel is b a s e d . B y s o m e r e a d i n g s t h e a t t a c h m e n t o f t h e g r o u p t o its " t u r f " is seen as s o m e t h i n g that h u m a n beings share with animals, a n d t h e r e i s little q u e s t i o n j h a t t h e d e f e n s e o r s e i z u r e o f t e r r i t o r y h a s a c c o u n t e d f o r s o m e o f t h e m o s t i n h u m a n c h a p t e r s in. h u m a n . h i s ; t o r y . T e r r i t o r y is, a t t h e l e a s t , a critical f a c t o r i n m a i n t a i n i n g g r o u p s e p a r a t e n e s s ; w i t h o u t it a n a t i o n a l i t y h a s difficulty b e c o m i n g a n a tion a n d a nation c a n n o t b e c o m e a state. I n all t h e v a r i e t i e s o f t h i s i n t e r a c t i o n o f p e o p l e a n d l a n d , i t i s o b v i o u s t h a t t h e e n v i r o n m e n t itself p o w e r f u l l y s h a p e s t h e h i s t o r y , m o r e s , a n d c h a r a c t e r o f t h e g r o u p a n d t h e life p a t t e r n s o f its i n d i v i d u a l m e m b e r s . T h u s , all t h e f e a t u r e s a t t a c h e d o r a t t r i b u t e d t o p e o p l e b e c a u s e t h e y a r e ( o r o n c e w e r e ) m o u n t a i n p e o p l e o r plains p e o p l e or desert p e o p l e , lake, river, or island p e o p l e , seacoast or l a n d l o c k e d p e o p l e , a r c t i c , t e m p e r a t e o r t r o p i c a l z o n e p e o p l e , lowland or highland, rural or urban, delta or dry land people, and so o n . T h e s e d i f f e r e n c e s t o o , i n all t h e i r infinitely v a r i e d w a y s , a r c p a r t o f t h e stuff o f w h i c h b a s i c g r o u p i d e n t i t y i s m a d e . 11. Octavio Paz, The Labyrinth of Solitude (New Y o r k , G r o v e Press, 1961), p p . 205-206, 208.

46

Harold

R.

Isaacs

NAME N a m e s s e e m t o b e t h e simplest, m o s t literal, a n d m o s t o b v i o u s o f all s y m b o l s o f i d e n t i t y . B u t like all s i m p l e m a t t e r s , t h i s i s c o m p l i cated. T h e q u e s t for t h e m e a n i n g o f n a m i n g goes back t o t h e f i r s t f r a m i n g o f t h o u g h t , t h e b e g i n n i n g o f l a n g u a g e , t h e first h o l d i n g o f k n o w l e d g e , a n d f o r w a r d a g a i n t o all its p e r s i s t i n g r i d d l e s . Naming, J o h n D e w e y h a s r e m i n d e d u s , i s k n o w i n g , " t h e d i s t i n c tive c e n t r a l p r o c e s s o f k n o w l e d g e . " All p h i l o s o p h y h a s w r e s t l e d w i t h v i e w i n g k n o w l e d g e a s fast o r fluid, p e t r i f i e d o r p l a s t i c , c o m ing—from Heraclitus and the Chinese through to James and Dewey—to t h e effort to c a p t u r e t h e elusive actuality of things by seeing t h e m in c q n s t a n t motion, always being t r a n s f o r m e d , c h a n g ing m o r e rapidly than the w ^ r d s — t h e n a m e s — u s e d to describe t h e m . Because of the " m a n y traditional, speculatively evolved a p p l i c a t i o n s o f t h e w o r d ' n a m e ' . . . m a n y o f t h e m still r e d o l e n t o f ancient magic," Dewey looked for greater precision in o t h e r terms—designation, cue, characterization, specification, sign, s y m b o l — h o p i n g this w o u l d h e l p m a k e i t p l a i n e r t h a t " w e t a k e n a m e s a l w a y s a s n a m i n g s , a s living b e h a v i o r s i n a n e v o l v i n g w o r l d of m e n and things." But words and names used to represent " t r u t h " have t h e i r o w n history, successfully i m p o s i n g themselves o n t h e p r o c e s s a n d u s u a l l y g r o w i n g , a s J a m e s p u t it, "stiff w i t h y e a r s o f v e t e r a n s e r v i c e , " n o t easily f l e x e d o r d i s p l a c e d . 1 2

1 3

" O n e o f t h e difficulties o f t h e h i s t o r y o f i d e a s , " w r o t e A l f r e d C o b b a n , "is t h a t n a m e s a r e m o r e p e r m a n e n t t h a n t h i n g s . I n s t i t u tions c h a n g e , b u t the t e r m s used to describe t h e m r e m a i n the same." T h e s a m e difficulty b o t h e r e d t h e C h i n e s e p h i l o s o p h e r s w h o s o m e 25 c e n t u r i e s a g o b e l o n g e d to what was called t h e "School o f N a m e s " — M i n g Chia—so c a l l e d b e c a u s e i t w a s c o n c e r n e d w i t h the distinctions to be m a d e between " n a m e s " a n d "actualities." T h e r e w e r e a t least t w o t e n d e n c i e s , F u n g Y u - l a n tells u s , o n e " e m p h a s i z i n g t h e relativity o f actual t h i n g s a n d t h e o t h e r t h e absoH

12. J o h n Dewey (with A r t h u r F. Bentlev), Knowing and the Known (Boston, Beacon Press, 1949), p. 147. Cf. A n s e l m Strauss, Mirrors and Masks (Glencoe, T h e F r e e Press, 1959). c h a p . 1. 13. Dewey, Knowing and the Unknown, p p . 156 ff. 14. Alfred C o b b a n , The Nation State and National Self-Determination (New York, Crowell Co., 1969, 1970), p. 2 2 .

Basic G r o u p

Identity

47

1 5

luteness of names." T h e t h e m e o f "rectification o f n a m e s " r e c u r s t h r o u g h the debates on the issue—which went on for several cent u r i e s — h a v i n g to do essentially with the idea that "things in actual fact s h o u l d b e m a d e t o a c c o r d w i t h t h e i m p l i c a t i o n a t t a c h e d t o t h e m b y n a m e s . " O n e o f t h e s e a n c i e n t s , H s u n T z u (ca. 2 5 0 B . C . ) f o u n d t h r e e fallacies i n t h e w o r k s o f t h e S c h o o l o f N a m e s : " t h e fallacy o f c o r r u p t i n g n a m e s w i t h n a m e s . . . t h e fallacy o f c o r r u p t i n g n a m e s w i t h a c t u a l i t i e s . . . t h e fallacy of c o r r u p t i n g a c t u a l i t i e s with n a m e s . " Obviously t h e r e has been m o r e of the s a m e t h a n of c h a n g e i n t h e s e m a t t e r s i n all t h e t i m e s i n c e . 1 6

T h e stretch is not great either between another leader of that anc i e n t S c h o o l o f N a m e s , L u n g K u n g - S u n g (ca. 2 8 0 B . C . ) , w h o said t h a t he " w i s h e d to . . . c o r r e c t the relations b e t w e e n n a m e s a n d actualities, so as thus to t r a n s f o r m the whole world," a n d this p a s sage f r o m William J a m e s : " T h e universe has always a p p e a r e d t o t h e n a t u r a l m i n d a s a k i n d o f e n i g m a , o f w h i c h t h e key m u s t b e sought in the shape of some illuminating word or name. T h a t word n a m e s t h e u n i v e r s e ' s p r i n c i p l e a n d t o p o s s e s s i t is, a f t e r a f a s h i o n , t o p o s s e s s t h e u n i v e r s e itself." T h u s the taboo on uttering or even writing the n a m e of J a h v e h a m o n g the Jews—the founder of t h e m y s t i c a l H a s i d i c sect o f J e w s i n e a r l y e i g h t e e n t h - c e n t u r y 1 7

1 8

E u r o p e called himself "Baal S h e m T o v , " "Master of t h e N a m e . " A similar taboo existed on the personal n a m e of the reigning m o n a r c h in old C h i n a . In t h e I n d i a n epics, no o n e of lower r a n k ever a d d r e s s e d a n y o n e o f h i g h e r r a n k b y his p e r s o n a l n a m e , o r u s e d t h e personal p r o n o u n when speaking to him. Names themselves over s o m u c h t i m e i n s o m a n y c u l t u r e s c a r r i e d with t h e m t h e p o w e r o f m a g i c a n d i n c a n t a t i o n , t h e p o w e r t o solve m y s t e r i e s , g r a n d l y u n i v e r s a l o r o b s c u r e l y p e r s o n a l . I n t h e b e g i n n i n g was t h e w o r d , followed immediately by the tabooed word. "But—" James went o n , "if y o u follow t h e p r a g m a t i c m e t h o d , y o u c a n n o t l o o k o n a n y 1 H

15. F u n g Yu-lan, Short History of Chinese Philosophy (New Y o r k , Macmillan, 1948), p . 8 3 . 16. Ibid., p. 153. 17. Ibid., p. 92. 18. William J a m e s , Pragmatism: A New Way for Some Old Ways of Thinking (New Y o r k , L o n g m a n s , 1907, 1949), p . 52. 19. J. G. Frazer, The Got/ten Bough: A Study in Magic and Religion ( T o r o n t o , Macmillan, 1969), c h a p . 22, " T a b o o e d W o r d s . "

48

Harold

R.

Isaacs

such word as closing y o u r quest. You m u s t b r i n g o u t of each w o r d its p r a c t i c a l c a s h v a l u e , set i t a t w o r k w i t h i n t h e s t r e a m o f y o u r e x p e r i e n c e . I t a p p e a r s less a s a s o l u t i o n , t h e n , a n d m o r e p a r t i c u larly a s a n i n d i c a t i o n o f t h e w a y s i n w h i c h e x i s t i n g r e a l i t i e s m a y b e changed." 2 0

I n t h e s t r e a m o f o u r c u r r e n t e x p e r i e n c e , t h e cash value o f n a m e s h a s c l e a r l y b e e n f l u c t u a t i n g with g r e a t a n d u n u s u a l v i o l e n c e . T h e m a t t e r o f n a m e s k e e p s t u r n i n g u p i n o n e f o r m o r a n o t h e r i n all t h e o n g o i n g rediscoveries, revisions, r e m a k i n g s , a n d reassertions of g r o u p i d e n t i t y n o w t a k i n g p l a c e all a r o u n d u s . I t i s c l e a r t h a t q u i t e b y itself t h e n a m e — o f i n d i v i d u a l , o f g r o u p , o f n a t i o n , o f r a c e — c a r r i e s a h e a v y f r e i g h t o f m e a n i n g . I t i s s e l d o m itself t h e h e a r t o f the m a t t e r b u t it often points directly to w h e r e the h e a r t can be f o u n d . M a k i n g o u r way t h r ^ t g h the thickets o f reality o f g r o u p i d e n t i t y p r o b l e m s , w e c a n d o w o r s e t h a n t o follow w h e r e t h e n a m e alone takes us, for it can lead d e e p into t h e history, t h e relationships, the emotions that make up so m u c h of the present tangle of affairs. Each of my o w n case studies of particular g r o u p s has i n c l u d e d a c h a p t e r called "A N a m e to Go Bv," dealing with t h e shifting use a n d m e a n i n g of " N e g r o " a n d "colored" a n d "black," a n d so on, a m o n g black A m e r i c a n s , t h e b u r d e n s o f s h a m e a n d pollution carr i e d i n t o e v e r y m o m e n t o f e v e r v d a y life b y g r o u p a n d i n d i v i d u a l n a m e s a m o n g e m e r g e n t I n d i a n e x - U n t o u c h a b l e s , t h e new pools o f m e a n i n g forming a r o u n d the terms "Jew" a n d "Israeli" and the m a n y o t h e r terminological ironies a n d curiosities that t u r n up so bountifullv now in Israel, w h e r e Jews from America a n d C a n a d a b e c o m e "Anglo-Saxons," Jews from Poland b e c o m e "Poles," a n d Jews from Morocco and Yemen become "Moroccans" and "Yemeni t e s . " I n t h e A m e r i c a s , t h e p e o p l e called " I n d i a n s " b y E u r o p e a n s w h o t h o u g h t they h a d l a n d e d in the Indies held to their distinctive tribal n a m e s for themselves until they h a d b e e n wholly c o n q u e r e d a n d h a d t o s u b m i t t o the identitv i m p o s e d o n t h e m , a l o n g with t h e n a m e , by their c o n q u e r o r s . In N o r t h Carolina quite recently, a nameless a n d "raceless" g r o u p of Indian-Negro-white mixed ori-

20. J a m e s , Pragmatism, p. 5 3 .

Basic G r o u p

Identity

49

gins, always previously l u m p e d with N e g r o e s for p u r p o s e s of segregation u n d e r the white s u p r e m a c y system, won recognition as a distinct " I n d i a n " g r o u p b y g e t t i n g t h e state legislature t o give t h e m a n a m e , t h e " H a l i w a s " — m a d e u p o f syllables o f H a l i f a x a n d W a r r e n c o u n t i e s w h e r e m a n y o f t h e m live. I n I n d i a , m e a n w h i l e , t h e effort t o give s u b s t a n c e a n d u s a g e t o t h e national identity " I n d i a n " m a k e s o n l y slow h e a d w a y a g a i n s t all t h e s e p a r a t e r e g i o n a l a n d linguistic g r o u p s b e a r i n g the s e p a r a t e n a m e s by which most p e o p l e i n I n d i a still i d e n t i f y t h e m s e l v e s . T h e l e x i c o n o f v e r n a c u l a r o r i n formal names that g r o u p s apply to each o t h e r — a n d sometimes in a complex transference to themselves—gives the most direct and p u n g e n t expression to the feelings that m e m b e r s of most g r o u p s m o s t c o m m o n l y h a v e a b o u t o t h e r g r o u p s : c o n t e m p t , hostility, fear, e n v y , h a t r e d . T h e f a m i l i a r list i n A m e r i c a n E n g l i s h — n i g g e r , m i c k , w o p , kike, chink, j a p , spic, h o n k y , polack, gook, a n d so o n — c a n be safely a s s u m e d t o h a v e its c o u n t e r p a r t i n e v e r y t o n g u e i n e v e r y place in every c u l t u r e w h e r e d i f f e r i n g g r o u p s exist or t h e r e is a n y a w a r e n e s s a t all o f h u m a n d i f f e r e n c e s . B u t i n f o r m a l o r f o r m a l , all g r o u p n a m e s carry with t h e m a heavy store of past a n d p r e s e n t history. T h e t e r m for w h i t e m e n a m o n g s o m e Eskimos i s "gosseks" because t h e first white m e n they ever saw w e r e Cossacks from Russia. I n S o u t h A f r i c a t h e r e i s a h e a v y c a r g o of h i s t o r y i n t h e twist o f usages that have g o n e f r o m "kaffirs" (an Arabic w o r d that originally c a r r i e d o n l y t h e m e a n i n g o f " u n b e l i e v e r s " ) a n d " n i g g e r s " t o "Natives" a n d "Nonwhites" a n d , now, "Bantu." In the Philippines, there is m u c h to be learned by tracing the passage from the t e r m "Indio"—the Spanish gave the same n a m e to the people they f o u n d in these islands that C o l u m b u s gave to those he f o u n d in the C a r i b b e a n — t o "Filipino." T h e n a m e o f t h e P h i l i p p i n e s itself—like e v e r y c o u n t r y n a m e — o p e n s a f r u i t f u l v e i n o f i n q u i r y . S i m i l a r l y i n J a p a n , t h e u s e o f Nikon o r Nippon a s t h e style, w h i c h i n e i t h e r v e r s i o n i d e n t i f i e s i t a s t h e l a n d w h e r e the s u n rises, in t h e o n e case s u g g e s t i n g a certain softness of spirit a n d in t h e o t h e r a h a r s h muscularity. T h e n a m e C h i n a — C h u n g Kuo—identifies i t a s t h e " c e n t r a l c o u n t r y , " C h i n a being, as Chinese have always k n o w n , the t r u e center of the univ e r s e , t h e o n l y civilized l a n d i n a w o r l d o f b a r b a r i a n s . S o m e n o t a b l e

50

Harold

R.

Isaacs

c o u n t r y n a m e s , t o b e s u r e , h a v e less s e l f - c o n s c i o u s , m o r e a c c i d e n t a l o r i g i n s . A m e r i c a , a s e v e r y s c h o o l b o y k n o w s o r u s e d t o k n o w , g o t its n a m e from the explorer A m e r i g o Vespucci, a c o n t e m p o r a r y of C h r i s t o p h e r C o l u m b u s w h o v e n t u r e d less, i t s e e m s , b u t w r o t e more, and who—according to o n e provocative analysis—had a n a m e t h a t h a d very special r e s o n a n c e s , psychoanalytically s p e a k i n g , f o r t h e m a n w h o q u i t e literally f i r s t p u t t h e n a m e A m e r i c a o n t h e map. In the recent g r e a t multiplication of new states in t h e world, however, the r e a p p e a r a n c e of long-submerged names—for e x a m p l e , V i e t N a m , G h a n a , M a l i , Z a m b i a , Sri L a n k a — m a r k e d t h e self-conscious r e o p e n i n g of veins of identification with the r e m o t e past. T h e different attitudes a n d usages i n N o r t h a n d S o u t h K o r e a i n v o l v i n g t h e a n c i e n t n a m e o f Chosen reflect s t r o n g l y felt c u r r e n t views a b o u t s o m e v e r y o l d a f f a i r s . O r , i n q u i t e a d i f f e r e n t k i n d o f case, c o n s i d e r the synthetic c r e a t i o n o f the n a m e Pakistan, m a d e u p as an a c r o n y m of the n a m e s of the main regions from which that remarkably synthetic state was c a r v e d — P u n j a b , Afghanistan, Kashm i r , a n d s o o n — o m i t t i n g a n y initial f o r B e n g a l , a n o m i s s i o n f i n a l l y c o n f i r m e d by reality, 25 y e a r s later, by the s e v e r a n c e of B e n g a l from Pakistan a n d the e m e r g e n c e of a b r a n d new Bengali state with the old n a m e of the Bengali h o m e l a n d , Bangladesh. 2 1

Individual n a m e s u s u a l l y — t h o u g h not always—also serve as b a d g e s o f t h e basic g r o u p i d e n t i t y . B y l a n g u a g e a n d style, t h e y tell us a great deal about an individual's origins a n d probable present associations. T h e individual n a m e , to be sure, r e m a i n s primarily t h e s y m b o l f o r t h e s i n g l e a n d u n i q u e p e r s o n w h o b e a r s it, t h a t o n e a n d only u n d u p l i c a t a b l e individual w h o is distinct a n d different f r o m all o t h e r i n d i v i d u a l s . W e h a v e m a d e m u c h o f this u n i q u e n e s s in o u r own culture, t h o u g h p e r h a p s not as m u c h as is suggested by t h e fact t h a t o n t h e i s l a n d o f T r u k e v e r y s i n g l e l i v i n g p e r s o n h a s a distinctive n a m e , no duplications allowed. A person's o w n n a m e in s o m e w a y s e s t a b l i s h e s t h e fact o f his e x i s t e n c e . T h e s a n c t i o n o f namelessness imposed on bastardy in o u r culture is one of the most fearful that a g r o u p can i m p o s e . Namelessness of any kind, indeed, 2 1 . W . G . N i e d e r l a n d , " T h e N a m i n g o f A m e r i c a — P s y c h o a n a l y t i c Study o f a n Historic Event," in Mark K a n z e r , e d . , The Unconscious Today (New York, I n t e r n a tional Universities Press, 1972).

Basic G r o u p

Identity

51

is almost b e y o n d bearing; "nameless fear" is worse t h a n any o t h e r k i n d o f f e a r . N a m e s , like social n o r m s , p r o v i d e a c e r t a i n m i n i m u m s e c u r i t y , b e a r i n g s t h a t e v e r y i n d i v i d u a l m u s t feel a r o u n d h i m o r else b e lost. A s H e l e n L y n d s o a c u t e l y p u t it: " T h e w o o d i n Through the Looking Glass w h e r e no c r e a t u r e b e a r s a n a m e is a p l a c e of t e r r o r . " I n m o s t , i f n o t all, c u l t u r e s a n d l a n g u a g e s , w e n o t o n l y h a v e names, but we acquire "good" names or "bad" names. Good names a r e i n h e r i t e d , w o n , p r o t e c t e d , b e s m i r c h e d , lost, a n d — w o r s t o f all, t h e p o e t h a s t o l d u s — f i l c h e d . G o o d o r b a d , w e see t h a t t h e y a r e k e p t i n view o n a n c e s t r a l t a b l e t s o r g r a v e n , a s d e e p a s m a y b e , i n s t o n e , a d e s p e r a t e e f f o r t t o k e e p t h e n a m e alive t o s t a n d f o r t h e p e r s o n w h o b o r e it for as long as possible after t h e p e r s o n has gone. B u t r e g a r d l e s s o f all t h a t o u r i n d i v i d u a l n a m e s m a y c o m e t o signify, t h e y d o m o s t g e n e r a l l y also i d e n t i f y t h e g r o u p t o w h i c h w e belong or from which we come, by nationality, p e r h a p s , or by religion. W h e r e b e h a v i o r b e a r i n g o n g r o u p status i s involved, t h e n a m e a l o n e c a n serve as an instant signal for t h e indicated r e s p o n s e — o p e n or closed, welcome or repulse, inclusion or exclusion. H e n c e , in so m a n y different settings, the familiar business of n a m e - c h a n g i n g b y i n d i v i d u a l s w h o w a n t t o m i t i g a t e o r c o n c e a l inferior status, to be m o r e "like" t h e m o r e favored g r o u p , to gain s o m e m o r e c o m f o r t a b l e a n o n y m i t y b y s h a r i n g , a t least i n n a m e , t h e i d e n t i t y o f t h e d o m i n a n t g r o u p . I n t h e e x - c o l o n i a l w o r l d , t h e shift i n political p o w e r r e l a t i o n s h a s b r o u g h t a b o u t a r e v e r s a l o f this p r o cess. E u r o p e a n given n a m e s w e r e in m a n y cases a c q u i r e d by colonial s u b j e c t s b y b a p t i s m , b y b e s t o w a l , o r b y c h o i c e , r e f l e c t i n g a m b i tion a n d / o r t h e n e e d t o a c c o m m o d a t e t o the m a s t e r c u l t u r e . T h e s h e d d i n g o f t h e s e n a m e s , like c h a n g i n g t h e i r c o u n t r y n a m e s , h a s b e e n o n e o f t h e e a s i e r , m o r e o b v i o u s , a n d m o r e s y m b o l i c w a y s for ex-colonial subjects to assert their i n d e p e n d e n c e a n d to reassert their own national/cultural identities. In the ex-Belgian C o n g o now 2 2

2 2 . In o n e case, u n i q u e as far as I know, in t h e Philippines, w h e r e Christian given n a m e s Itad long b e e n in use via b a p t i s m in t h e c h u r c h , Spanish s u r n a m e s — t a k e n pageful by pageful from a M a d r i d d i r e c t o r y — w e r e simply "given" to large n u m b e r s of p e o p l e by a m i d - n i n e t e e n t h - c e n t u r y Spanish g o v e r n o r for t h e g r e a t e r c o n v e n i e n c e of his tax collectors.

52

Harold

R.

Isaacs

r e n a m e d Zaire, President M o b u t u recently followed t h e e x a m p l e of o t h e r n a t i o n a l i s t l e a d e r s , n o t o n l y b y c h a n g i n g his o w n C h r i s t i a n g i v e n n a m e s , b u t legally o u t l a w i n g all s u c h n a m e s i n t h e c o u n t r y a n d fixing penalties for a n y priest w h o baptized a child with a n y b u t a Z a i r i a n n a m e . R e g a i n i n g a lost i d e n t i t y t a k e s a p a r t i c u l a r f o r m in Israel, w h e r e t h e Zionists raised t h e H e b r e w l a n g u a g e from the dead and returning Jews often m a r k e d the shedding of their Diaspora past by a d o p t i n g new H e b r e w names to fit their new Israeli identities. For s o m e blacks in the U n i t e d States, the drive to re-establish m o r e prideful self-accepting identities for themselves has involved n o t only r e p l a c i n g t h e g r o u p n a m e " N e g r o " a n d "colo r e d " w i t h " b l a c k " o r " A f r o - A m e r i c a n " b u t also c h a n g i n g i n d i v i d ual n a m e s , a b a n d o n i n g those a c q u i r e d from the time of slavery a n d r e p l a c i n g t h e m with Afi^ran o r — f o r reasons that invite e x a m i nation a n d reflection—Arabic n a m e s . Perhaps boldest and harshest o f all w e r e t h e B l a c k M u s l i m s , w h o s h e d w h a t t h e y saw a s s l a v e m a s ters' s u r n a m e s a n d substituted a plain X, as t h o u g h to proclaim that while they would no longer go by the n a m e s that the hated w h i t e w o r l d h a d g i v e n t h e m , t h e y d i d n o t yet k n o w w h o t h e y w e r e .

2 T A L C O T T PARSONS

Some Theoretical Considerations on the N a t u r e and T r e n d s of C h a n g e of Ethnicity I t s e e m s t o b e g e n e r a l l y a g r e e d t h a t w h a t w e call e t h n i c i t y i s a p r i m a r y f o c u s o f g r o u p i d e n t i t y , t h a t is, t h e o r g a n i z a t i o n o f p l u r a l p e r s o n s into distinctive g r o u p s a n d , second, of solidarity a n d the l o y a l t i e s o f _ i n d i v i d u a l m e m b e r s t o s u c h g r o u p s . I t is, h o w e v e r , a n e x t r a o r d i n a r i l y e l u s i v e c o n c e p t a n d v e r y difficult t o d e f i n e i n a n y precise way.

1

P e r h a p s t h e best way to i n t r o d u c e t h e p r o b l e m is in

t e r m s of a sketch of s o m e of t h e principal historic a n d c o n t e m p o rary contexts in which the conception has figured prominently. F o l l o w i n g t h i s w e will u n d e r t a k e a m o r e c a r e f u l c o n s i d e r a t i o n o f the definitional question. Clearly o n e p r i m a r y reference point is to the ideal-type concept i o n o f t h e p o p u l a t i o n o f a " n a t i o n - s t a t e , " m e a n i n g a politically o r g a n i z e d society which has historically e n j o y e d a legitimate claim 2

t o i n d e p e n d e n t e x i s t e n c e . T h e i d e a l t y p e calls f o r a c o i n c i d e n c e o f w h a t i n a b r o a d s e n s e w e m a y call c o m m o n c u l t u r e a n d t e r r i t o r y o f r e s i d e n c e . F o r t h e t y p i c a l i n d i v i d u a l b o t h his r e s i d e n c e w i t h i n t h e t e r r i t o r y a n d his s h a r i n g o f t h e c o m m o n c u l t u r e h a v e b e e n c o n c e i v e d a s g i v e n b y b i r t h , t h a t is, h e h a s a c q u i r e d t h e e t h n i c i d e n tification o f h i s p a r e n t s . E t h n i c i t y , t h e n , h a s v e r y g e n e r a l l y b e e n in1. S e e , f o r e x a m p l e , H . S . M o r r i s . " E t h n i c C r o u p s . " i n D . I.. S i l l s , e d . , Interna-

tional Encyclopedia of the Social Sciences ( N e w Y o r k . M a c m i l l a n a n d t h e F r e e Pies;;, 1968). V, 167-172.

2. C i . H a n s K o h n , The Idea of Nationalism: A Study in Its Origins and Background ( N e w York, Macmillan. 1944).

•

54

Talcott

Parsons

t e r p r e t e d as h a v i n g a biological base s o m e t i m e s explicitly stated in t e r m s of racial distinctiveness.

3

If we take, however, the popula-

t i o n s of a v a r i e t y of t h e classical n a t i o n - s t a t e s , it is to a v e r y v a r y i n g d e g r e e t h a t t h e y c a n b e c a l l e d racially d i s t i n c t . B u t s o m e k i n d o f relative h o m o g e n e i t y has generally been p r e s u m e d . O n t h e m o r e specifically c u l t u r a l s i d e a g a i n r e l i g i o u s u n i f o r m i t y has historically played an i m p o r t a n t part, t h o u g h in the W e s t e r n w o r l d s i n c e t h e R e f o r m a t i o n f o r m o s t n a t i o n s i t h a s b e c o m e increasingly problematical.

4

A particularly p r o m i n e n t aspect of cul-

tural identity, then, has b e e n l a n g u a g e . Even t h o u g h what is essentially t h e s a m e l a n g u a g e , a s i n t h e c a s e o f E n g l i s h , m a y b e s p o k e n in m o r e t h a n o n e n a t i o n , linguistic uniformity has served as o n e of t h e p r i m a r y c r i t e r i a . L a n g u a g e , i n t u r n , h a s b e e n closely a s s o c i a t e d with a relatively diffuse c o n ^ p t i o n of a c o m m o n cultural tradition. This, of course, has been both oral tradition

and in the more

evolved societies a t r a d i t i o n e m b o d i e d in d o c u m e n t s of w r i t t e n lang u a g e ; i n t h e b r o a d e s t s e n s e , a " l i t e r a t u r e . " I t is, h o w e v e r , e x c e e d i n g l y difficult t o s p e c i t y s u c h a c o m m o n c u l t u r a l t r a d i t i o n m o r e p r e c i s e l y . A t a c e r t a i n c o m m o n s e n s e level, h o w e v e r , w e t h i n k w e k n o w fairly d e f i n i t e l y w h a t i s m e a n t b y r e f e r r i n g t o F r e n c h c u l t u r e or English culture or Italian culture. C e r t a i n l y t h e d e v e l o p m e n t o f w h a t w e call n a t i o n a l s t a t e s was o n e of the primary processes involved in the establishment of m o d e r n societies, t h o u g h t h e E u r o p e a n system c a n n o t be said e v e r to have e v e n c o m e v e r y close t o u n i v e r s a l i z i n g t h e i d e a l t y p e o f w h a t i n t h e a b o v e imprecise sense w o u l d be called an ethnically h o m o g e n e o u s p o p u l a t i o n . T h e p r e m i e r classical e x a m p l e s o f E n g l a n d a n d F r a n c e a r e p e r h a p s t h e b e s t a p p r o x i m a t i o n s , b u t n e i t h e r of t h e m h a s e v e r b e e n c o m p l e t e l y p u r e . T h u s t h e politically o r g a n i z e d E n g l a n d h a s not b e e n confined to " A n g l o - S a x o n " populations, but has included Celtic c o m p o n e n t s in Wales, Scotland, a n d , of c o u r s e , I r e l a n d . In 3. C a r l e t o n C o o n , w i t h York, Knopf,

Edward

E.

H u n t . J r . , The Living Races of Man

(New

1965).

4. W i l b u r K. J o r d a n , The Development of Religious Toleration in England, 4 v o l s . (Cambridge,

Harvard

University

Press,

1932-1940).

Also, James

Hastings, ed.,

w i t h t h e a s s i s t a n c e o f J o h n A . S e l b i e , Encyclopedia o f Religion and Ethics ( N e w Y o r k , Scribner's Sons, 1 9 0 8 - 1 9 1 5 ) .

Change

of Ethnicity

55

t h e c a s e o f F r a n c e t h e r e h a s b e e n s h a d i n g off i n t o t h e G e r m a n c u l tural world t o w a r d the east, as, for e x a m p l e , in Alsace a n d Lorraine, a n d t o w a r d t h e Italian world in the south. At the o t h e r ext r e m e , t h e r e h a v e b e e n m a j o r h i s t o r i c a l political u n i t s , s u c h a s t h e A u s t r o - H u n g a r i a n e m p i r e , which have never even a p p r o a c h e d being an ethnically h o m o g e n e o u s entity, but were p u t t o g e t h e r o u t of a considerable variety of different ethnic g r o u p s for the most part, h o w e v e r , territorially c o n c e n t r a t e d as in t h e case of G e r m a n speaking Austria, Czech-speaking Bohemia and Moravia, a n d Hungarian-speaking Hungary. T h e various c o m p o n e n t s which have f i g u r e d historically i n t h e ethnic complex have by no m e a n s been uniformly involved over t i m e . A n o t a b l e case h a s b e e n t h a t of religion. T h e r e w e r e , to be s u r e , m a n y c e n t u r i e s o f i n t e g r i t y o f W e s t e r n , t h a t is, R o m a n C a tholicism in E u r o p e , with only very small enclaves of D i a s p o r a J e w s who were not Catholics. Since the Reformation, however, that has c h a n g e d , a n d t h o u g h for a time t h e famous formula of the Peace of W e s t p h a l i a , cuis regio eius religio, h e l d , it h a s g r a d u a l l y b e e n attenuated and most of the populations of E u r o p e a n nation-states h a v e b e c o m e religiously pluralistic with Protestants, Catholics, a n d Jews represented in varying proportions. T h e establishment of the A m e r i c a n r e p u b l i c c o n s t i t u t e d a m a j o r s t e p i n this p r o c e s s t h r o u g h the institutionalization of the separation of C h u r c h a n d State. In the n i n e t e e n t h a n d p a r t of t h e twentieth centuries t h e r e w e r e imp o r t a n t a t t e m p t s to identify ethnicity a n d nationality with race. T h e most sensational a n d d i s t u r b i n g was t h e a t t e m p t o f G e r m a n Nazism to purify the " A r y a n " composition of the G e r m a n people, a n d t o i n c l u d e s o f a r a s p o s s i b l e all e t h n i c G e r m a n s i n t h e R e i c h . By contrast t h e J e w s w e r e also alleged to constitute a distinctive race and cultural characteristics of both g r o u p s were held to be d e r i v a b l e f r o m t h e i r r a c i a l n a t u r e s . T h i s p a r t i c u l a r set o f v i e w s , h o w e v e r , h a s lost g r o u n d m o s t c o n s p i c u o u s l y . 5

A m e r i c a n society, o n t h e o n e h a n d b y v i r t u e o f its p o l i t i c a l c o n s t i tution, on the o t h e r h a n d by virtue of the history of immigration, p i o n e e r e d in t h e e s t a b l i s h m e n t of a m u l t i - e t h n i c society. If t h e r e is a 5. S t e p h e n H. R o b e r t s , The House That Hitler Built (New Y o r k a n d L o n d o n , H a r p e r a n d B r o t h e r s , 1938).

56

Talcott

Parsons

single f o r m u l a for ethnic identity in t h e A m e r i c a n p o p u l a t i o n , probably the conception of "national origin" is the most accurate designation for most g r o u p s . Certain kinds of exceptions have to be m a d e w h e r e color is a major factor, b u t in t h e case of t h e socalled blacks t h e r e is the c o m m o n g e o g r a p h i c a l origin f r o m Subsah a r a n Africa. T h e J e w s constitute a n o t h e r distinctive case because of the religio-ethnic character of the historic Jewish c o m m u n i t y . B r o a d l y s p e a k i n g , e t h n i c p l u r a l i s m o n s o m e t h i n g like t h e A m e r i can m o d e l has been coming to be increasingly characteristic of m o d e r n societies. 6

A notable recent d e v e l o p m e n t has taken place in E u r o p e with t h e e s t a b l i s h m e n t o f t h e C o m m o n M a r k e t a n d , a s o n e o f its p r i mary features, the removal of m a n y previous restrictions on the g e o g r a p h i c a l m o b i l i t y o f labcfti H e n c e , a p r o c e s s o f i n - m i g r a t i o n o f "foreign" elements into the most i m p o r t a n t E u r o p e a n industrial societies h a s o c c u r r e d o n a b i g scale, c r e a t i n g s i t u a t i o n s w h i c h i n s o m e respects are parallel to that of the U n i t e d States in an earlier period occasioned by mass immigration from diverse E u r o p e a n sources. Finally, with t h e e m e r g e n c e o f t h e so-called T h i r d W o r l d , new nation-states have b e e n c r e a t e d with p o p u l a t i o n s ethnically diverse in o n e or a n o t h e r sense. A GENERAL CHARACTERIZATION OF T H E ETHNIC GROUP I n s p i t e o f t h e difficulty o f b e i n g specific a b o u t c r i t e r i a ! f e a t u r e s a n d c o m p o n e n t s , w h a t social scientists h a v e c a l l e d e t h n i c g r o u p s d o b e l o n g to a relatively d i s t i n c t i v e s o c i o l o g i c a l t y p e . T h i s is a g r o u p t h e m e m b e r s of which h a v e , both with respect to t h e i r o w n sentiments a n d those of n o n - m e m b e r s , a distinctive identity which is r o o t e d in s o m e k i n d of a d i s t i n c t i v e s e n s e of its h i s t o r y . It is, m o r e o v e r , a d i f f u s e l y d e f i n e d g r o u p , sociologically q u i t e d i f f e r e n t f r o m collectivities w i t h specific f u n c t i o n s . F o r t h e m e m b e r s i t c h a r a c t e r izes w h a t t h e i n d i v i d u a l i s r a t h e r t h a n w h a t h e does. T h u s w e say, w h e t h e r resident in Ireland or not, he may be ethnically Irish; 6. O s c a r Hancllin a n d Mary H a n d l i n , A Century of Jewish Immigration to the USA (New Y o r k , A m e r i c a n Jewish C o m m i t t e e , 1949).

C h a n g e of Ethnicity

57

w h e t h e r r e s i d e n t in Israel or not, ethnically Jewish; a n d so o n . T h i s is to say it is a p r i m a l ) ' collective a s p e c t c o n c e r n i n g t h e i d e n t i t y of w h o l e p e r s o n s , n o t o f any p a r t i c u l a r aspect o f t h e m . C o m m o n cult u r e is probably the most i m p o r t a n t g e n e r a l core, b u t it is a c u l t u r e which has some feature of t e m p o r a l continuity often r e a c h i n g into a n i n d e f i n i t e p a s t . A n e t h n i c g r o u p is, o f c o u r s e , a l w a y s a g r o u p c o n s i s t i n g o f m e m b e r s o f all a g e s a n d b o t h s e x e s a n d e t h n i c i t y i s a l w a y s s h a r e d by f o r e b e a r s at s o m e level. It is t h u s a transgenerational t y p e o f g r o u p . Ethnic g r o u p s are traditionally mutually exclusive. T h i s w o u l d be rigorously a n d uniformly the case, however, only insofar as they a r e consistently e n d o g a m o u s . T h e r e a r e m a n y cases, h o w e v e r , o f the marriage of m e m b e r s of different ethnic groups. T h e question therefore of the ethnic a d h e r e n c e of a married couple can become indefinite a n d the s a m e is of c o u r s e t r u e for their c h i l d r e n a n d for t h e i r f u r t h e r d e s c e n d e n t s . I n d e e d i n s u c h cases t h e r e m a y b e a c e r tain o p t i o n a l r a t h e r t h a n ascriptive c h a r a c t e r to e t h n i c identity. F u n c t i o n a l l y d i f f u s e t i m e - e x t e n d e d s o l i d a r y g r o u p i n g s a r e ind e e d n o t exclusively r e c r u i t e d b y birth, a n d this h a s b e c o m e conspicuously t r u e of the p o p u l a t i o n of the m o d e r n state in the existence of appreciable n u m b e r s who have become m e m b e r s or c i t i z e n s by, t o u s e t h e A m e r i c a n p h r a s e , " n a t u r a l i z a t i o n . " T h i s p o i n t s t o t h e fact t h a t n a t i o n a l c o m m u n i t i e s s h a r e w i t h e t h n i c g r o u p s the involvement of a c o m p o n e n t of voluntary a d h e r e n c e . T h i s h a s b e e n classically f o r m u l a t e d i n social a n d p o l i t i c a l t h e o r y u n d e r t h e c o n c e p t i o n o f t h e social c o n t r a c t ; a c o n c e p t i o n w h i c h h a s r e c e n t l y b e e n r e v i v e d b y t h e p h i l o s o p h e r J o h n R a w l s i n his i n f l u e n tial b o o k A Theory of Justice.' Politically o r g a n i z e d s o c i e t i e s do h a v e o n o c c a s i o n specific p o i n t s o f o r i g i n s u c h a s f o r t h e U n i t e d S t a t e s t h e c o m b i n a t i o n o f i n d e p e n d e n c e f r o m G r e a t B r i t a i n a n d t h e setting up by the recently i n d e p e n d e n t g r o u p of a distinctive aut o n o m o u s c o n s t i t u t i o n o f its o w n . " T h i s k i n d o f t h i n g i s t h e n e a r e s t to a g e n e r a l social c o n t r a c t e s t a b l i s h i n g a n a t i o n a l c o m m u n i t y w h i c h i s e m p i r i c a l l y p o s s i b l e . B u t a s a n a n a l y t i c a l c o n c e p t , t h e es1

7 . J o h n R a w l s . A Theory o f Justice ( C a m b r i d g e . B e l k n a p P r e s s o f H a r v a r d U n i v e r s i t y P r e s s , 1 9 7 1). 8 . S e y m o u r M . L i p s e t , The First New Nation ( N e w Y o r k . B a s i c B o o k s ,

1963).

58

Talcott

Parsons

tablishment of solidarity by voluntary a d h e r e n c e is an e x t r e m e l y i m p o r t a n t social p h e n o m e n o n . E v e r y social s y s t e m o f t h e v e r y i m p o r t a n t t y p e w e call a s o c i e t y i s i n o n e o f its p r i m a r y a s p e c t s w h a t m a y b e c a l l e d a societal c o m m u nity. A t o n e t i m e t h i s w a s i d e n t i f i e d ideally a t least w i t h w h a t i s c a l l e d e t h n i c i t y — a societal c o m m u n i t y was a l m o s t b y d e f i n i t i o n a n e t h n i c e n t i t y . I t i s e x c e e d i n g l y i m p o r t a n t t o b e a w a r e t h a t this i s n o l o n g e r t h e case even as an ideal type for a n u m b e r of the i m p o r t a n t n a t i o n a l societies, m o s t c o n s p i c u o u s l y o f c o u r s e for t h a t o f t h e U n i t e d States. At the s a m e time it is extremely i m p o r t a n t that any societal c o m m u n i t y , s o f a r a s i t h a s t h e c e n t r a l p r o p e r t y o f s o l i d a r ity, e s s e n t i a l l y in D u r k h e i m ' s s e n s e , is of t h e s a m e generic s o c i o l o g i cal c h a r a c t e r as is t h e e t h n i c g r o u p . T h i s is to say t h a t it is a diffusely d e f i n e d collectivity w h i ^ i h a s t h e p r o p e r t y o f s o l i d a r i t y a n d i s a m a j o r p o i n t o f r e f e r e n c e f o r d e f i n i n g t h e i d e n t i t y o f its m e m b e r s . T o b e i d e n t i f i e d a s a n A m e r i c a n is n o t t o h a v e o n e ' s e t h n i c s t a t u s i d e n t i f i e d , b u t it v e r y d e f i n i t e l y is a p r i m a r y a s p e c t of t h e "identity" of any given individual so designated. 9

T h e g e n e r i c sociological type t o which r e f e r e n c e s h e r e a r e m a d e has the two p r i m a r y aspects: first, that of a c o m m o n distinctive cult u r a l t r a d i t i o n a p p l y i n g t o a " p o p u l a t i o n " o f m e m b e r s ; a n d seco n d , s o m e t h i n g o f t h e e q u i v a l e n t o f a social c o n t r a c t , t h a t is, a c o m p o n e n t of m e m b e r s h i p status which is in some essential respect v o l u n t a r y . T h i s i s t o say i t i s t h e c r e a t i o n o f t h e m e m b e r s i n d e p e n d e n t o f r i g i d a n d c o m p l e t e d e t e r m i n a t i o n b y past t r a d i t i o n . T h e m o d e r n c o m m u n i t y i s c h a r a c t e r i z e d bv a b a l a n c e b e t w e e n t h e s e t w o vital c o m p o n e n t s , t h a t o f t r a d i t i o n a n d t h a t o f " c o n t r a c t . " T H E COLLECTIVITY W I T H "DIFFUSE ENDURING SOLIDARITY" We have reached the point of cardinal importance that in the c o n t e m p o r a r y w o r l d w h a t w e h a v e b e e n c a l l i n g societal c o m m u n i 9. Talcott P a r s o n s , Societies: Evolutionary and Comparative Perspectives (Englewood Cliffs, N.J., Prentice-Hall, 1966), c h a p . 2, p p . 5 - 2 9 ; a n d T. P a r s o n s . The System of Modern Societies (Englewood Cliffs, N.J., Prentice-Hall. 1971), c h a p . 2, p p . 4 - 2 8 . Both c h a p t e r s r e p r i n t e d in T a l c o t t P a r s o n s , Politics and Social Structure (New York, T h e F r e e Press, 1969), as c h a p s . 1 a n d 2.

Change

59

of Ethnicity

ties o r " n a t i o n s " a r e t o a d e c r e a s i n g d e g r e e e t h n i c a l l y h o m o g e n e o u s entities. A significant aspect, h o w e v e r , of t h e i m p o r t a n c e of t h e e t h n i c g r o u p a s a social p h e n o m e n o n lies i n t h e fact t h a t i t i s o n e p r i m a r y e x a m p l e o f a l a r g e g e n u s o f t y p e s o f social c o l l e c t i v e o r g a n i z a t i o n w h i c h m i g h t b e c a l l e d t h e diffusely s o l i d a r y collect i v i t y . I s h o u l d like to d e v o t e t h i s s e c t i o n to a b r i e f o u t l i n e of this generic organizational type before r e t u r n i n g to some further cons i d e r a t i o n s specifically a b o u t e t h n i c i t y . 10

T h e best s i n g l e e m p i r i c a l p o i n t o f r e f e r e n c e s e e m s t o b e w h a t m a y b e c a l l e d t h e societal c o m m u n i t y . T h i s i s o n e p r i m a r y a s p e c t o f the structure and functioning of the extremely important type of social s y s t e m w e call a s o c i e t y . I t i s t h a t a s p e c t o r s u b s y s t e m w h i c h h a s p r i m a r i l y i n t e g r a t i v e f u n c t i o n s f o r t h e society a s a w h o l e . T h e societal c o m m u n i t y p r e s u m e s a relatively definable p o p u l a t i o n of m e m b e r s h i p , w h i c h a t t h i s level w e o r d i n a r i l y call c i t i z e n s f o r t h e m o d e r n c a s e , a n d p r e s u m e s a s well t h a t t h e collective o r g a n i z a t i o n of r e f e r e n c e is politically o r g a n i z e d on a t e r r i t o r i a l b a s i s , t h a t is, it m a i n t a i n s n o r m a t i v e o r d e r a n d c e r t a i n political d e c i s i o n - m a k i n g processes covering the h u m a n events which occur within a defined t e r r i t o r i a l a r e a . F i n a l l y , a s a t h i r d p r i m a r y c r i t e r i o n , a t s o m e level it is c h a r a c t e r i z e d by a c o m m o n c u l t u r a l tradition, the n a t u r e of w h i c h will b e f u r t h e r d i s c u s s e d p r e s e n t l y . 1 1

1 2

O n e o f t h e p r i m a r y c h a r a c t e r i s t i c s o f a societal c o m m u n i t y i s t h a t it has t h e p r o p e r t y which David S c h n e i d e r , with special r e f e r e n c e to A m e r i c a n kinship, has called "diffuse e n d u r i n g solidarity." We s h o u l d , h o w e v e r , u n d e r s t a n d t h a t solidarity in this sense is not a m a t t e r of presence or absence, but varies in d e g r e e a n d in type in i m p o r t a n t ways. Solidarity in this sense s h o u l d be c o n s i d e r e d to be 10. See David M. S c h n e i d e r , American Kinship: A Cultural Account ( E n g l e w o o d Cliffs, N.J., Prentice-Hall, 1968); a n d David M. S c h n e i d e r , " K i n s h i p , Religion a n d Nationality,'" in V. T u r n e r , eA.. Forms of Symbolic Action, Proceedings of the 1969 Spring Meeting of the American Ethnological Society (Seattle, University of W a s h i n g t o n Press. 1969).' I 1. Talcott Parsons, " D u r k h e i m ' s C o n t r i b u t i o n to the T h e o r y of I n t e g r a t i o n of Social Systems." c h a p . 1 in Sociological Theory and Modern Society (New York, T h e f r e e Press, 1967), p p . 3 - 3 4 . 12. Cf. T. H. Marshall, Class, Citizenship and Social Development ( G a r d e n City, N.Y., D o u b l e d a v & Co., 1964).

60

Talcott

Parsons

a p r o p e r t y of the system. T h e c o r r e s p o n d i n g p r o p e r t y of individual m e m b e r s which

may be called dispositional or motivational

s e e m s b e s t c a l l e d loyalty. C l e a r l y t h e s o l i d a r i t y o f t h e collective syst e m i s a m o n g o t h e r t h i n g s a f u n c t i o n o f t h e level a n d d i s t r i b u t i o n o f loyalty o f its m e m b e r s b u t n o t s y n o n y m o u s w i t h it. F o l l o w i n g t h e c u l t u r a l s t r u c t u r e w h i c h S c h n e i d e r has e l u c i d a t e d for t h e case of k i n s h i p , we m a y stress two culturally symbolic e l e m e n t s of o u r gen e r i c t y p e o f collectivity w h i c h c o r r e s p o n d t o t h e r o l e s o f " b l o o d " a n d "law" as symbolic definitions of a kinship u n i t .

1 3

T h e equiva-

lent of blood is the transgenerational tradition to which reference h a s b e e n m a d e a b o v e . A s I h a v e p o i n t e d o u t , i t i s e x c e e d i n g l y diff i c u l t t o s p e c i f y e x a c t c r i t e r i a l c o m p o n e n t s o f its c o n t e n t . I t i s e s s e n tial t h e n to c o n s i d e r it first as d e f i n i t e l y c u l t u r a l . S e c o n d , it is to be considered as broadly shared in c o m m o n by the whole population of a societal c o m m u n i t y . T h i s t r a n s g e n e r a t i o n a l t r a d i t i o n could be b r o k e n d o w n d o w n into t h r e e p r i m a r y elements. T h e first is a comm o n l a n g u a g e which has b e e n i n h e r i t e d by the c u r r e n t m e m b e r s of t h e c o m m u n i t y f r o m its p a s t a n d t h o s e a s p e c t s o f t h e c u l t u r a l t r a d i tion w h i c h a r e m o s t closely associated with l a n g u a g e . L a n g u a g e is n o t , h o w e v e r , a n infallible c r i t e r i o n a s s u c h c a s e s a s t h e m u l t i lingual societal c o m m u n i t y of S w i t z e r l a n d r e m i n d us.

A second

primary reference may be r e f e r r e d to as the "cultural history" of the c o m m u n i t y . This concerns a series of events a n d symbolic outputs of the

past which

h a v e c o n t e m p o r a r y significance because

those w h o experienced or p r o d u c e d them were "our" forebears. This sense of a shared history applies to those w h o themselves or whose i m m e d i a t e forebears have j o i n e d the c o m m u n i t y long after certain o t h e r crucial events took place. T h u s the A m e r i c a n achievem e n t o f i n d e p e n d e n c e a n d t h e e s t a b l i s h m e n t o f t h e C o n s t i t u t i o n involved a p o p u l a t i o n of nearly two centuries ago w h o w e r e actual ancestors of what is (probably) only a minority of the c o n t e m p o r a r y population of the American c o m m u n i t y . Nevertheless, those whose f o r e b e a r s w e r e i m m i g r a n t s m u c h m o r e r e c e n t l y still c o n s i d e r this to be p a r t of "their" history. T h i r d , the extension of the temporal continuity of tradition is 13.

S c h n e i d e r , American Kinship.

61

C h a n g e of Ethnicity

o p e r a t i v e not only retrospectively with r e f e r e n c e to the past, b u t also prospectively with r e f e r e n c e to t h e f u t u r e . A m a j o r aspect of s o l i d a r i t y i n t h e p r e s e n t s e n s e i s t h e s h a r i n g o f a c o m m o n fate b y v i r t u e o f c o m m o n m e m b e r s h i p i n t h e p a r t i c u l a r societal c o m m u n i t y . S o l o n g a s t h e c o m m u n i t y itself p e r s i s t s , t h i s c o n t i n u i t y will b e a c e n t r a l f e a t u r e o f it. A m a j o r a s p e c t o f t h e d i f f u s e n e s s o f t h e solid a r i t y s y s t e m lies i n t h e fact t h a t i t i s i m p o s s i b l e t o i s o l a t e t h e s y m bolic m e a n i n g f u l n e s s o f t e m p o r a l l y specific e v e n t s a n d p r o s p e c t s from the temporally extended continuum. Just as in the kinship c o n t e x t an i n d i v i d u a l is ascriptively t h e child of his p a r e n t s , so in a s o c i e t a l c o m m u n i t v t h e c i t i z e n i s a s c r i p t i v e l y o n e o f t h e h e i r s o f his f o r e b e a r s i n t h e societal c o m m u n i t y a n d will b e o n e o f t h e " p r o g e n itors" of the future c o m m u n i t y so that m a n y of the consequences of the

actions

of contemporaries cannot be

escaped

by

future

m e m b e r s in new generations. T h e t y p e s o f social s t r u c t u r e j u s t u n d e r d i s c u s s i o n b e l o n g t o a g e n e r a l type t h e n a t u r e a n d significance of which has recently b e e n s u b s t a n t i a l l y clarified i n m y o w n m i n d .

1 4

T h i s t y p e I h a v e called the

"fiduciary association." T h e adjective fiduciary derives mainly from t h e e l e m e n t o f t r a n s g e n e r a t i o n a l " t r a d i t i o n " t h a t has j u s t b e e n discussed. At any given time the c u r r e n t m e m b e r s h i p exercises, a n d is e x p e c t e d to do so, a fiduciary responsibility for t h e m a i n t e n a n c e or d e v e l o p m e n t o f s u c h a t r a d i t i o n i n its p l a c e i n t h e l a r g e r s o c i e t y , i n c l u d i n g t h o s e i n s i d e its b o u n d a r i e s w h o c a n n o t b e e x p e c t e d t o a s s u m e t h e h i g h e s t levels o f s u c h r e s p o n s i b i l i t y . I t b e c o m e s a " m o r a l c o m m u n i t y " in Durkheim's sense. I h o l d that, in a highly d i f f e r e n t i a t e d society, t h e r e a r e f o u r p r i n cipal subtypes of fiduciary association, the kinship association, the societal or similar c o m m u n i t y , t h e religious association a n d the e d u c a t i o n a l - c u l t u r a l association. In the m o d e r n t y p e of family, t h e u n i t is e s t a b l i s h e d bv a c o n t r a c t in t h e a b o v e s e n s e , t h a t is, a m a r riage, but if the couple has children they as p a r e n t s a s s u m e a fiduciary responsibilitv

for their welfare a n d

proper "bringing up."

Parties to the m a r r i a g e also a s s u m e such responsibilities for each o t h e r a n d t h e p r o p e r m o d e o f m a r r i e d life, o b l i g a t i o n s w h i c h o f 14. See T a l c o t t Parsons a n d G e r a l d M. Piatt, The American University ( C a m b r i d g e , H a r v a r d University Press, 1973), e s p . c h a p s . 2 a n d 3.

Talcotl

62

Parsons

c o u r s e obtain even for childless couples. In t h e c o m m u n a l type s p e c i a l f i d u c i a r y r e s p o n s i b i l i t i e s d e v o l v e u p o n h o l d e r s o f associat i o n a l office a n d t h o s e m e m b e r s of t h e c o m m u n i t y o r a s s o c i a t i o n w h o e x e r c i s e m o r e t h a n t h e a v e r a g e levels o f i n f l u e n c e , b o t h f o r t h e w e l f a r e o f less p o w e r f u l a n d i n f l u e n t i a l g r o u p s a n d f o r t h e integrity of t h e tradition. In t h e case of t h e religious association it is a b o v e all w h a t w e call t h e c l e r g y a n d o t h e r specially c o m m i t t e d g r o u p s on which such responsibility focuses. Finally in r e f e r r i n g to t h e e d u c a t i o n a l - c u l t u r a l s u b t y p e I h a v e h a d i n m i n d a b o v e all t h e university or o t h e r institution of h i g h e r education, but various o t h e r types of culturally oriented institutions such as m u s e u m s or m u s i c a l o r g a n i z a t i o n s c a n also b e i n c l u d e d . I n t h e u n i v e r s i t y c a s e a particularly conspicuous focus of fiduciary responsibility is m e m b e r s o f f a c u l t i e s , b o t h vis-a-vis s t u d e n t s w h o d o n o t y e t c o m m a n d t h e s a m e level o f c o r l f p e t e n c e a n d e x p e r i e n c e , a n d vis-a-vis t h e i n t e g r i t y o f t h e t r a d i t i o n itself, i n this c a s e w i t h a s p e c i a l c o n c e r n f o r t h e " a d v a n c e m e n t o f k n o w l e d g e . " I h a v e t e n d e d t o int e r p r e t t h e s e f i d u c i a r y r e s p o n s i b i l i t i e s o f f a c u l t i e s a s t h e set o f o b l i g a t i o n s w h i c h u n d e r l i e a n d l e g i t i m a t e t h e e l e m e n t s o f special privilege which a r e often r e f e r r e d to as "academic f r e e d o m . " 1 5

1 6

I t h i n k o f t h e e t h n i c g r o u p a s b e l o n g i n g b y a n d l a r g e t o this s a m e c a t e g o r y o f f i d u c i a r y a s s o c i a t i o n , e s p e c i a l l y b y v i r t u e o f t h e ele m e n t of continuing tradition which has been emphasized above. It does not seem, however, to belong unequivocally to any one of the a b o v e f o u r s u b t y p e s . My i n c l i n a t i o n is to t r e a t it as a k i n d of " f u sion" of the c o m m u n i t y and kinship types. This would m e a n that t h e t w o h a v e n o t vet c o m e t o b e c l e a r l y d i f f e r e n t i a t e d f r o m e a c h 15. It s e e m s to me that t h e r e is a m a j o r s e n s e in w h i c h t h e fulfillment of fiduciary responsibilities i n the p r e s e n t s e n s e o n t h e part o f b o t h e l e c t i v e officials, n o t a b l y t h e P r e s i d e n t , a n d t h o s e h o l d i n g a p p o i n t i v e o f f i c e , n o t a b l y t h o s e o n h i s staff, constitutes t h e m o s t i m p o r t a n t focus o f c o n c e r n i n t h e r e c e n t a n d c u r r e n t activities o f t h e H o u s e o f R e p r e s e n t a t i v e s Judiciary C o m m i t t e e , a n d t h e office o f t h e Special Prosecutor. 1 6 . O n t h i s last p o i n t a g a i n s e e P a r s o n s a n d P i a t t , The American University, e s p . chap. 3. I am greatly indebted to David M. Schneider, especially in the course of a c o l l a b o r a t i v e s e m i n a r a t t h e U n i v e r s i t y o f C h i c a g o , Fall Q u a r t e r 1 9 7 3 , f o r c l a r i f i c a tion of the n a t u r e of what I am h e r e calling fiduciary associations.

Change

63

of Ethnicity

other w h e r e ethnicity is involved. been going on in recent times.

1 7

Such differentiation has clearly

SOME PRIMARY FEATURES OF T H E CURRENT SITUATION OF ETHNIC GROUPS In o r d e r to drive h o m e the relevance of the above theoretical s k e t c h i t m a y b e w o r t h w h i l e i n t h e r e m a i n d e r o f this c h a p t e r t o s p e a k fairly b r i e f l y o f t h r e e e m p i r i c a l t o p i c s . T h e first c o n c e r n s c e r tain d e v e l o p m e n t s i n t h e relatively a d v a n c e d m o d e r n societies with special r e f e r e n c e to e t h n i c relations in t h e U n i t e d States w i t h o u t special c o n c e r n for t h e status of the blacks. Second, in light of the fact t h a t a

tenth

a n n i v e r s a r y of t h e Daedalus

study

entitled

The

Negro American is a p p r o a c h i n g , it m i g h t be w o r t h w h i l e to u n d e r t a k e a brief stock-taking review of w h e r e some of the problems of that s t u d y s t a n d in t h e light of d e v e l o p m e n t s since it was m a d e .

1 8

Fi-

n a l l y , t h i r d , i t s e e m s w o r t h w h i l e t o say s o m e t h i n g a b o u t d e v e l o p m e n t s in t h e so-called "new nations." I h a v e a l r e a d y s t r o n g l y e m p h a s i z e d t h a t i n s p i t e o f its o r i g i n a s what has s o m e t i m e s b e e n called a W A S P c o m m u n i t y , the A m e r i c a n societal c o m m u n i t y i s n o l o n g e r i n t h e o l d e r s e n s e o f its o w n h i s t o r y a n d o f t h e classical p a t t e r n o f t h e n a t i o n a l s t a t e a n e t h n i c c o m m u n i t y . T h i s i s n o t t o say t h a t e t h n i c g r o u p s h a v e c e a s e d t o h a v e significance. In certain respects quite the contrary is t r u e . T h e most salient point, h o w e v e r , is that it is an ethnically pluralistic c o m m u nity w h e r e e v e n t h e p r e v i o u s v a g u e a n d i n f o r m a l s t r a t i f i c a t i o n o f e t h n i c s u b g r o u p s h a s c e a s e d t o h a v e its p r e v i o u s i m p o r t a n c e .

1 9

At the s a m e time the c o m p l e t e assimilation leading to the disapp e a r a n c e o f e t h n i c i d e n t i t i e s a n d s o l i d a r i t i e s , w h i c h was m u c h d i s 17. As we shall see below, in r e c e n t d e v e l o p m e n t s the v o l u n t a r y " c o n t r a c t " elem e n t is by no m e a n s a b s e n t f r o m t h e c u r r e n t p i c t u r e of ethnicity. 18. T a l c o t t P a r s o n s a n d K e n n e t h C l a r k , eds., The Negro American (Boston, H o u g h t o n Mifflin, 1966); first p u b l i s h e d as Daedalus 94.4 (Fall 1965) a n d 95.1 ( W i n t e r 1966). 19. F o r t h e situation of t h e 1920s, see A n d r e Siegfried, America Comes of Age: A French Analysis, t r a n s . H. H. H e m m i n g a n d D. H e m m i n g (New York, H a r c o u r t a n d C o . , 1927). T h e p r e s e n t v o l u m e will p r o v i d e a g e n e r a l review of t h e c u r r e n t situation.

64

Talcott

Parsons

cussed in the earlier part of the present century a n d greatly feared b y s o m e g r o u p s , h a s also n o t i n a n y s i m p l e s e n s e t a k e n p l a c e . I n d e e d , full a s s i m i l a t i o n , i n t h e s e n s e t h a t e t h n i c i d e n t i f i c a t i o n h a s virtually d i s a p p e a r e d a n d b e c o m e a b s o r b e d within t h e single c a t e g o r y o f " A m e r i c a n , " i s v e r y little t h e c a s e . F o r e x a m p l e , S c h n e i d e r r e ports as o n e of t h e c o n s p i c u o u s findings of the recent study of families i n t h e C h i c a g o a r e a , o n w h i c h his t h e o r e t i c a l b o o k , American Kinship, i s b a s e d , t h a t " A l m o s t e v e r y family i d e n t i f i e s w i t h s o m e e t h n i c u n i t — t h e y w e r e Italians, J e w s , B o h e m i a n s , Polish, Czechs, and so on." T h o s e w h o identified themselves as A n g l o - S a x o n on S c h n e i d e r ' s a n d o t h e r e v i d e n c e o f t e n also u s e r e g i o n a l c a t e g o r i z a tion a n d s o m e t i m e s that in t e r m s of a type of c o m m u n i t y as in the case of being " o r d i n a r y Midwestern farmers" or various types of Southerners. 2 0

Schneider goes on to m a k e , s o m e exceedingly interesting observat i o n s a b o u t t h i s s i t u a t i o n , saving " I t was t r u e t h a t w h e n t h e y [ t h a t is, t h e i n t e r v i e w e r s o n his p r o j e c t ] c o l l e c t e d t h e g e n e a l o g i e s o f those w h o m o s t v e h e m e n t l y a n d affirmatively claimed they w e r e Italian, they discovered a succession going backwards of Irish a n d Polish m o t h e r s a n d g r a n d m o t h e r s . T h a t is, u p w a r d l y m o b i l e I t a l ians m a r r y ' b l o n d ' Irish a n d Polish Catholics. T h i s is a well-known p h e n o m e n o n . Yet, despite this i n t e r m a r r i a g e , the affirmation of Italian identity was q u i t e clear, affirmative, a n d positive f r o m even t h e Irish a n d Polish m o t h e r s a n d g r a n d m o t h e r s . T h e y h a d 'bec o m e ' I t a l i a n a n d p r o v e d it, f o r i n s t a n c e , b y c o o k i n g a c c o r d i n g t o t h e I t a l i a n style, e a t i n g a c c o r d i n g t o d i s t i n c t I t a l i a n t r a d i t i o n s (elbows on tables, eat, eat)." This seems to be a notable confirmation of the general point we m a d e earlier in the chapter about the optional and voluntary comp o n e n t o f e t h n i c i d e n t i f i c a t i o n , a t least i n t h e U n i t e d S t a t e s . I t s e e m s to be especially the family h o u s e h o l d which t e n d s to a d o p t 2 0 . S c h n e i d e r , American Kinship. T h i s q u o t a t i o n a n d t h e o n e s that follow a r e taken from an informal m e m o r a n d u m written by Professor David S c h n e i d e r , D e p a r t m e n t of A n t h r o p o l o g y , University of Chicago (1972) a n d q u o t e d with his permission. He a n d I have also h a d l o n g discussions a n d c o r r e s p o n d e n c e o v e r these topics, c u l m i n a t i n g in a j o i n t s e m i n a r on cultural symbolism held at t h e University of C h i c a g o in t h e Fall Q u a r t e r of 1972.

Change

of Ethnicity

65

such an identification a n d in the process to pass over the actual ethnic o r i g i n s o f v a r i o u s o f its m e m b e r s a n d m e m b e r s o f r e c o g n i z e d e x t e n d e d kin g r o u p i n g s . H o w , h o w e v e r , is this possible? S c h n e i d e r goes on to m a k e two extremely interesting observations. T h e first of these is that, however strongly affirmative these ethnic identifications are, the ethn i c s t a t u s i s c o n s p i c u o u s l y d e v o i d o f "social c o n t e n t . " A g a i n , a s S c h n e i d e r p u t s it, " I t d o e s n o t r e q u i r e t h e l e a r n i n g o f a t o t a l l y n e w social r o l e f o r t h e I r i s h girl t o m a r r y t h e I t a l i a n ; t h e y a r e b o t h C a t h o l i c a t least a n d s h e p i c k s u p s o m e I t a l i a n , l e a r n s s o m e c o o k i n g styles, a n d , lo, t h e s y m b o l i c i d e n t i f i c a t i o n i s s e t . " H e g o e s o n t o say, " T h e m a r k s of identity a r e in a very i m p o r t a n t sense 'empty symb o l s . ' S y m b o l s e m p t y o f e l a b o r a t e social d i s t i n c t i o n s , a n d t h u s t h e y a r e a b l e t o f u n c t i o n f r e e l y a n d s m o o t h l y i n t h i s m u l t i - e t h n i c social system while m a i n t a i n i n g a distinct cultural-symbolic identity as m a r k e r s . " P e r h a p s i t i s l e g i t i m a t e t o i n t e r p r e t this a s s a y i n g t h a t t h e s y m b o l i z a t i o n o f e t h n i c i d e n t i f i c a t i o n i s p r i m a r i l y f o c u s e d o n style o f life d i s t i n c t i v e n e s s w i t h i n t h e l a r g e r f r a m e w o r k o f m u c h m o r e n e a r l y u n i f o r m A m e r i c a n social s t r u c t u r e . T h i s social s t r u c t u r e i s d i f f e r e n t i a t e d b y class, b y r e g i o n , a n d b y t y p e o f c o m m u n i t y , f o r e x a m p l e , m e t r o p o l i t a n c o n t r a s t e d with small town, b u t n o t very greatly o n a n e t h n i c basis. S c h n e i d e r r e c o u n t s a n o t h e r e x a m p l e o f a family of G r e e k origin w h o w e r e visited by t h e p a r e n t s of o n e m e m b e r of the married couple who, after a brief sojourn in the United States, had r e t u r n e d to Greece. T h e y o u n g e r couple, as S c h n e i d e r says, " w e r e v e h e m e n t l y , i n d e e d belligerently G r e e k , a n d e x p l a i n e d all s o r t s o f s p e c i a l G r e e k t r a i t s a n d c u s t o m s t o u s . " T h e old c o u p l e from Greece, o n t h e o t h e r h a n d , " c o m p l a i n e d bitterly t h a t t h e s e y o u n g p e o p l e c l a i m e d t h e y w e r e G r e e k a n d m a d e all kinds of noises a b o u t b e i n g t r u e G r e e k , b u t they w e r e n o t h i n g but c o m m o n A m e r i c a n s u n d e r n e a t h all t h a t e m p t y t a l k . " Schneider's second pertinent observation is particularly interesti n g a t t h e r o l e level. H e r e p o r t s t h a t h e a n d his staff w e r e r e p e a t edly told in r e s p o n d e n t s ' e x p l a n a t i o n s of what u n d e r l a y their ethnic identity t h a t if t h e identity was Irish, it c o u l d be u n d e r s t o o d only if o n e u n d e r s t o o d "the Irish m o t h e r . " T h e interesting point, however, is that the assertion a b o u t the crucial role of the m o t h e r

66

Talcott

Parsons

was r e p e a t e d f o r g r o u p a f t e r g r o u p . Y o u c o u l d n o t u n d e r s t a n d J e w i s h family life u n l e s s y o u u n d e r s t o o d t h e J e w i s h m o t h e r , s i m i larly w i t h I t a l i a n , s i m i l a r l y w i t h P o l i s h , a n d s o o n . W h a t e v e r t h e situ a t i o n with respect to cultural relativity in t h e s e respects a n d , h e n c e , differences in definition of m o t h e r roles in the various ethnic g r o u p s , t h e r e s e e m s to be a striking u n i f o r m i t y with r e s p e c t to focusing on the m o t h e r as the symbolic g u a r d i a n of the ethnic identity. T h e s e observations clearly indicate that t h e d e v e l o p m e n t of w h a t we h a v e called e t h n i c p l u r a l i s m in A m e r i c a n society has involved major changes in the character of the ethnic groups themselves, c o m p a r e d t o w h a t t h e y w e r e , f o r e x a m p l e , a s e m b o d i e d i n t h e life of the first-generation immigrants in question. As Schneider puts it, t h e r e i s a c e r t a i n s e n s e i n w h i c h t h e y h a v e b e e n " d e s o c i a l i z e d " and t r a n s f o r m e d into primarily cultural-symbolic g r o u p s . T h i s d o e s n o t p r e c l u d e s o l i d a r i t y a t certain*"levels s u c h , f o r e x a m p l e , a s p r e f e r e n c e s for residential contiguity o r , if n o t t h a t , selective relatedness. T h u s , p e o p l e w h o identify as Italian in S c h n e i d e r ' s sense m a y well feel m o r e c o m f o r t a b l e i n a s s o c i a t i n g i n a v a r i e t y o f re? s p e c t s w i t h o t h e r s w h o also i d e n t i f y t h e m s e l v e s a s I t a l i a n , w h e t h e r or n o t they reside in p r e d o m i n a n t l y Italian n e i g h b o r h o o d s . Similarly, m e m b e r s o f s u c h g r o u p s m a y c r y s t a l l i z e t h e i r s o l i d a r i t i e s , f o r e x a m p l e , a b o u t political i n t e r e s t s , b u t h e r e i t s h o u l d b e k e p t c l e a r l y i n m i n d t h a t t h e r e i s a n e l e m e n t o f v o l u n t a r y selectivity. E s p e c i a l l y for t h e case o f t h e non-Italian m o t h e r s a n d g r a n d m o t h e r s t o w h o m S c h n e i d e r refers, t h e r e is o p t i o n with respect to what identity to e m p h a s i z e for particular p u r p o s e s . Very i m p o r t a n t h e r e is the relation b e t w e e n e t h n i c i t y a n d r e l i g i o n . A g a i n , a s S c h n e i d e r n o t e s , I r i s h , I t a l i a n s , a n d Poles i n t h e c u r r e n t A m e r i c a n e t h n i c s e n s e a r e all p r e d o m i n a n t l y C a t h o l i c . O n q u e s t i o n s i n v o l v i n g t h e r e l a t i o n o f Catholicism to o t h e r d e n o m i n a t i o n a l religious g r o u p s , obviously P r o t e s t a n t s a n d Jews, a c e r t a i n c r o s s - e t h n i c s o l i d a r i t y is p o s s i b l e . It s h o u l d n o t b e f o r g o t t e n t h a t t h i s a p p l i e s also t o t h e J e w s , s i n c e f r o m t h e u s u a l p o i n t o f view, A m e r i c a n J e w s a r e f a r f r o m b e i n g ethnically h o m o g e n e o u s , a l t h o u g h they hold special allegiances to the wider international Jewish community. On such matters as supp o r t f o r I s r a e l t h e y w o u l d b e likely t o b e r a t h e r h i g h l y s o l i d a r y i n

Change

67

of Ethnicity

spite of their o w n i n t e r n a l divisions a n d differences. F u r t h e r m o r e , there are m a n y distinct Protestant d e n o m i n a t i o n s . T h e p h e n o m e n a w e h a v e called "desocialization" o f e t h n i c g r o u p i n g s do not stand alone. A good m a n y observers have cont e n d e d t h a t i n r e c e n t y e a r s , e v e n a p a r t f r o m specifically d i s a d v a n t a g e d g r o u p s , t h e r e h a s t e n d e d t o b e s o m e t h i n g like a n intensification of e t h n i c solidarity a n d a certain t o n e of militancy in t h e defense or p r o m o t i o n of what are conceived to be ethnic interests. I f s u c h a t e n d e n c y exists i n t h e U n i t e d S t a t e s , t w o f u r t h e r p o i n t s n e e d t o b e m a d e a b o u t it. F i r s t , i t i s a t least i n p a r t o f a p i e c e w i t h p a t t e r n s o f t h e i n t e n s i f i c a t i o n o f f e e l i n g s o f b o t h e t h n i c solidarity a n d "rights" that have b e e n involved in a n u m b e r of recent m o v e m e n t s in o t h e r countries, some of which a p p r o a c h the boundary line of political s e p a r a t i s m . O u r n e i g h b o r , C a n a d a , p r o v i d e s a c o n s p i c u o u s e x a m p l e , t h o u g h the intensity of the F r e n c h C a n a d i a n m o v e m e n t seemed to have subsided somewhat in the most recent p e r i o d . A n o t h e r c a s e o f w h i c h s o m e w h a t s i m i l a r t h i n g s m a y b e said h a s b e e n t h e conflict b e t w e e n t h e F r e n c h - s p e a k i n g W a l l o o n s a n d the Flemish-speaking population of Belgium, which at certain points has been very acute i n d e e d in recent years. Even t h o u g h it is less i n t h e i n t e r n a t i o n a l n e w s t h a n i t was f o r s o m e t i m e , r e c e n t l y w e h a d t h e v e r y s t r i k i n g a n n o u n c e m e n t t h a t t h e F r e n c h - s p e a k i n g sec2 1

7

tor of the University of Louvain has not only become separated in local o p e r a t i o n s f r o m t h e F l e m i s h - s p e a k i n g s e c t o r b u t h a s d e c i d e d a c t u a l l y t o m o v e its l o c a t i o n t o a n o t h e r c o m m u n i t y . F i n a l l y , w e a r e all e x c e e d i n g l y c o n s c i o u s o f t h e s i t u a t i o n i n N o r t h e r n I r e l a n d w h i c h h a s s e e m e d s o v e r y difficult t o c o p e w i t h . T h e second extremely important point is that the accentuation of g r o u p solidarity a n d militancy in insistence on rights has not been confined to ethnic groups. T h o u g h trade union m o v e m e n t s in general have not been particularly militant in recent times, an interesti n g p r o b l e m i s c r e a t e d b y c e r t a i n cases a m o n g w h i c h u r b a n civil service g r o u p s s e e m quite c o n s p i c u o u s . T h e time w h e n the right t o s t r i k e w a s effectively d e n i e d t o a l m o s t all classes o f g o v e r n m e n t e m p l o y e e s a t w h a t e v e r level s e e m s f a r b e h i n d i n d e e d . S u c h d i s t u r 21.

Cf.

Nathan Glazer and

D a n i e l P.

M o y n i h a n , Beyond the Melting Pot ( C a m -

b r i d g e , H a r v a r d University Press a n d M I T Press, 1963).

Talcott

68

Parsons

b a n c e s h a v e , of c o u r s e , often b e e n c o n n e c t e d with ethnic issues, t h u s i n t h e c a s e o f t h e N e w Y o r k City T e a c h e r s U n i o n o f a few years

ago,

the

fact t h a t s u c h

a

large

proportion

of unionized

t e a c h e r s i n t h e city w e r e J e w i s h c e r t a i n l y p l a y e d a p a r t i n t h e s i t u a tion, p r o d u c i n g what m a n y would consider the somewhat bizarre p h e n o m e n o n of a wave of black a n t i - S e m i t i s m .

2 2

We think it important to emphasize that the p h e n o m e n a u n d e r discussion a r e n o t related to t h e political position of m e m b e r s of t h e g r o u p s i n q u e s t i o n i n a n y s i m p l e way. T h e y a r e p r o b a b l y p a r t i c u l a r l y c o n s p i c u o u s b o t h o n t h e R i g h t a n d o n t h e Left, b u t e v e n this identification n e e d n o t be infallible. M a n y m o v e m e n t s such as that backing G o v e r n o r Wallace of Alabama in recent presidential elections h a v e a baffling c o m b i n a t i o n of w h a t by o r d i n a r y standards

would

b e called

radicalism

and

conservatism.

There

are

m a n y features in c o m m o n between such movements: the discont e n t o f u r b a n g o v e r n m e n t e m p l o y e e s a n d s o m e o f t h e m o r e milit a n t m o v e m e n t s o f t h e Left, p a r t i c u l a r l y i n t h e a c a d e m i c w o r l d . T h e blacks h a v e o c c u p i e d a very special position on which a special c o m m e n t will b e m a d e . Finally, in e n u m e r a t i n g t h e above types of g r o u p s , those organized a b o u t s o m e kind of religious solidarity should not be forgotten. S u c h p h e n o m e n a a r e m o s t c o n s p i c u o u s in t h e case of Protestant

Fundamentalist

groups,

but

the

militant

right-wing Jewish

g r o u p l e d b y R a b b i K a h a n e s h o u l d n o t b e left o u t o f t h e p i c t u r e . M a n y o f t h e P r o t e s t a n t F u n d a m e n t a l i s t s w h o a r e militant i n this sense a r e in p a r t motivated by a W A S P identification a n d of course the Jewish g r o u p just r e f e r r e d to is both ethnic a n d religious in identification. A p a r t i c u l a r l y i m p o r t a n t p h e n o m e n o n in this w h o l e c o n n e c t i o n may be c o n s i d e r e d to be the obverse of the desocialization of ethnic solidarity a n d identification which I have discussed. U n d e r condit i o n s o f r a p i d social c h a n g e a n d c e r t a i n t e n d e n c i e s t o a n o m i c social d i s o r g a n i z a t i o n a n d a l i e n a t i o n ,

intensification of " g r o u p i s m "

a n d the high emotional loading of the status of g r o u p m e m b e r s h i p a n d identity i s o n e major t y p e o f r e a c t i o n . Like m a n y o t h e r such 22.

D a n i e l B e l l , The Coming of Post-Industrial Society: A Venture in Social Forecast-

ing ( N e w Y o r k , B a s i c B o o k s ,

1973).

Change

69

of Ethnicity

p h e n o m e n a it may involve a c o m p l e x c o m b i n a t i o n of potential a n d , t o a c e r t a i n d e g r e e , a c t u a l d i s r u p t i v e c o n s e q u e n c e s f o r social solidarity a n d , at the s a m e time, a kind of a constructive m o d e of reintegration of population

elements into structures

which are

less

anomic a n d alienative t h a n their m e m b e r s m i g h t otherwise be exposed to. In a t t e m p t i n g to analyze a n d a p p r a i s e the forces involved in such p h e n o m e n a , it is very i m p o r t a n t not to identify w h a t is f o u n d t o o closely w i t h a c t u a l h i s t o r i c a n t e c e d e n t c o n d i t i o n s , i f b y that w o u l d be m e a n t for the e t h n i c case t h e r e s t o r a t i o n of a p a t t e r n o f life a n d o f v a l u e s a n d s e n t i m e n t s w h i c h i s i d e n t i c a l w i t h t h a t which t h e f i r s t waves o f i m m i g r a n t s b r o u g h t with t h e m . O n e w o u l d expect some kind of a c o m p r o m i s e formation between tendencies t o s u c h r e s t o r a t i o n i s m a n d t h e r e c o g n i t i o n o f m a n y o f t h e facts o f c u r r e n t life i n m o d e r n s o c i e t y w h i c h a r e i n c o m p a t i b l e w i t h t h e o l d patterns. T h e r e does seem to be a c o m m o n feature which is conspicuous i n t h e e t h n i c f i e l d a n d also m o r e b r o a d l y o f social p r o c e s s e s w h i c h bears a certain analogy to the p h e n o m e n o n of regression in the psychological sense a n d which, in terms of motivational dynamics, is u n d o u b t e d l y associated with r e g r e s s i o n , b u t b y n o m e a n s identical t o it. I h a v e f o u n d i t u s e f u l t o r e f e r t o t h i s c o m m o n f a c t o r a s " d e d i f f e r e n t i a t i o n . " Its n a t u r e a n d s i g n i f i c a n c e s h o u l d b e s e e n a g a i n s t the b a c k g r o u n d of the very powerful incidence, in recent developm e n t s o f social s t r u c t u r e , o f u n i v e r s a l i s t i c s t a n d a r d s o f m o b i l i t y a n d of the d e v e l o p m e n t of relatively e n h a n c e d f r e e d o m s , which, howe v e r , c a n easily t u r n o v e r i n a n o m i c d i r e c t i o n s . P e r h a p s t h e m o s t important

focus, however, is the pluralization of m o d e r n

social

s t r u c t u r e by v i r t u e of which t h e typical i n d i v i d u a l plays m u l t i p l e r o l e s , n o o n e o f w h i c h c a n a d e q u a t e l y c h a r a c t e r i z e his i d e n t i f i c a tion as a "social" personality. T h e d e - d i f f e r e n t i a t i n g t e n d e n c y is to select p a r t i c u l a r c r i t e r i a a n d u s e t h e s e a s i d e n t i f y i n g s y m b o l s f o r w h a t t h e p e r s o n s w h o c o n s t i t u t e t h e g r o u p a c t u a l l y are. T h i s , f o r e x a m p l e , h a s b e e n particularly c o n s p i c u o u s in t h e racial c o n t e x t . B u t a s D a n i e l Bell a d r o i t l y p o i n t s o u t , w h a t a r e w e t o t h i n k o f t h e identity e x p r e s s e d by a r e f e r e n c e to a "black w o m a n sociologist"? In s o m e c o n n e c t i o n s t h e salient f e a t u r e of h e r identity w o u l d be h e r r a c i a l p o s i t i o n , i n o t h e r s i t w o u l d b e h e r s e x , a n d i n still o t h e r s

Talcott

70

it would be h e r occupational role.

Parsons

For certain subcategories of

e a c h t h e s e d o g o t o g e t h e r , b u t f r o m t h e p o i n t o f view o f t h e l a r g e r social s t r u c t u r e t h e y a r e v e r y f a r f r o m b e i n g i d e n t i c a l o r , i n g e n eral, ascribed t o e a c h o t h e r . T h e r e a r e white sociologists a n d t h e r e a r e m a l e sociologists a s well a s b l a c k a n d f e m a l e , a n d t h e r e a r e m a n y b l a c k s a n d m a n y f e m a l e s w h o a r e n o t s o c i o l o g i s t s , t o say n o t h i n g o f t h e r e b e i n g m a n y females w h o a r e white a n d n o t black. T h e s e are very e l e m e n t a r y c o n s i d e r a t i o n s , b u t it is e x t r e m e l y important that their relevance should not be overlooked. O n e further general consideration should be c o m m e n t e d upon i n t h e p r e s e n t c o n t e x t . A m o n g v a r i o u s o t h e r s , D a n i e l Bell i n p a r t i c u l a r h a s r e c e n t l y e m p h a s i z e d t h e p r o b l e m s o f t h e shift i n m a n y quarters from emphasis on equality of o p p o r t u n i t y to equality of result. T h i s is particularly conspicuously m a n i f e s t e d in public policy w i t h r e s p e c t t o s o - c a l l e d " a f f i r m a t i v e a c t i o n " i n r e l a t i o n t o m i nority g r o u p s . I n o n e p r o m i n e n t c o n t e x t , for e x a m p l e , e i t h e r academic admissions or a p p o i n t m e n t s to teaching positions, there is strong p r e s s u r e to assert s o m e kind of quota-defined right of " r e p r e s e n t a t i o n , " t h a t is, e s s e n t i a l l y t h e s a m e p r o p o r t i o n o f m e m b e r s o f a m i n o r i t y g r o u p in a given status s u c h as s t u d e n t s or t e a c h e r s in a given institution of h i g h e r e d u c a t i o n as t h e r e a r e in s o m e p r o b a b l y v a g u e l y d e f i n e d l a r g e r c o m m u n i t y . T h e shift i s f r o m t r e a t i n g a d mission or a p p o i n t m e n t as a selective process g u i d e d by criteria of u n i v e r s a l i s t i c a l l y d e f i n e d q u a l i f i c a t i o n s i n d i v i d u a l - b y - i n d i v i d u a l to a collective g r o u p r i g h t . T h e r e f o r e , i t g i v e s a n e n h a n c e d l e g i t i m a c y to particularistic criteria. T h i s t e n d e n c y seems to us quite definitely to fit in the general c a t e g o r y o f p r o c e s s e s of d e - d i f f e r e n t i a t i o n . D i f f e r e n t i a t i o n o f r o l e a n d o p p o r t u n i t y a m o n g t h e m e m b e r s o f a g i v e n g r o u p o n t h e basis of universalistically defined qualifications of p r o m i s e or achievement tends to be played d o w n in favor of some criterion of identity, s u c h a s m e m b e r s h i p i n a m i n o r i t y o r o t h e r s u c h g r o u p b a s e d o n r a c e , s e x , o r e t h n i c i t y , f o r e x a m p l e . I t c a n also b e e x t e n d e d t o religious g r o u p s , c o m m u n i t y o f r e s i d e n c e , a n d o t h e r such criteria. T h e r e i s a n i m p o r t a n t b e a r i n g h e r e o n t h e p r o b l e m of e q u a l i t y . Equality is by no m e a n s a s i m p l e entity which is e i t h e r p r e s e n t or absent or which varies only in d e g r e e a l o n g a linear c o n t i n u u m . It

Change

of Ethnicity

71

i s a m a t t e r o f q u a l i t a t i v e l y d i f f e r e n t c o m p o n e n t s . A s Bell n o t e s , o n e of these c o m p o n e n t s which is very generally called equality of o p p o r t u n i t y i s t e n d i n g t o b e sacrificed t o c e r t a i n o t h e r s s u c h a s g r o u p m e m b e r s h i p status, as ascertained independently of the universalistic c r i t e r i a t o w h i c h w e h a v e j u s t r e f e r r e d , s o t h a t i t c o m e s t o b e t h a t o p p o r t u n i t i e s s h o u l d b e e q u a l b y groups, n o t f o r i n d i v i d u a l s .

2 3

RECENT DEVELOPMENTS IN THE SITUATION OF AMERICAN

BLACKS

N e a r l y a d e c a d e a g o I a s well a s s e v e r a l o t h e r c o n t r i b u t o r s t o this b o o k w a s a p a r t i c i p a n t i n a m a j o r s t u d y o f w h a t was t h e n c a l l e d "The Negro American."

2 4

I t s e e m s p e r t i n e n t t o the t h e m e o f this

c h a p t e r t o c o n s i d e r briefly t h e s t a t u s o f m y o w n c o n t r i b u t i o n t o t h a t e n t e r p r i s e a n d p e r h a p s i n t r o d u c e a few c o n s i d e r a t i o n s w h i c h were not taken account of at that time. First, a t t e n t i o n m a y b e c a l l e d t o t w o i n t e r e s t i n g a n d I t h i n k sign i f i c a n t shifts i n s y m b o l i s m a s a p p l i e d t o this p a r t i c u l a r " m i n o r i t y " g r o u p i n A m e r i c a n society. T h e f i r s t h a s b e e n i n t r o d u c e d o n t h e i n i t i a t i v e o f m e m b e r s o f t h e g r o u p itself b u t h a s s p r e a d m u c h m o r e widely,

namely,

the

adoption

of the

term

"black"

in

place of

" N e g r o . " T h e l a t t e r t e r m was u s e d n o t o n l y i n t h e title, The Negro American,

but

pretty

consistently

throughout

the

discussion

and

p a p e r s of the project. In going back to my own contribution, I have b e e n struck by the consistency with which I used t h e t e r m " N e g r o " a n d did not use "black."

2 5

T h e new t e r m stands in a very frank

a n d explicit contrast, of c o u r s e , to white, a n d is a g o o d A n g l o Saxon w o r d in contrast to N e g r o which has a Latin origin. T h e second symbolic c h a n g e is the introduction of the reference t o A f r i c a n o r i g i n s o t h a t , b y s h a r p c o n t r a s t with t h e s i t u a t i o n a d e cade ago, we now have frequent references to "Afro-Americans." T h i s h a s t h e i n t e r e s t i n g effect o f i n t r o d u c i n g a n e w p a r a l l e l i s m b e 23. Daniel

Bell. "Meritocracy a n d

E q u a l i t y , " The Public Interest,

n o . 29 (Fall

1972), 2 9 - 6 8 . 2 4 . Daedalus

94.4

(Fall

1 9 6 5 ) ; Daedalus 9 5 . 1

(Winter

1966); and Parsons and

C l a r k , The Negro American. 2 5 . T a l c o t t P a r s o n s , "Full C i t i z e n s h i p f o r t h e N e g r o A m e r i c a n ? A S o c i o l o g i c a l P r o b l e m , " i n P a r s o n s a n d C l a r k , The Negro American, p p . 7 0 9 - 7 5 4 .

Talcott

72

Parsons

t w e e n t h e s t a t u s o f t h e black g r o u p a n d o t h e r e t h n i c g r o u p s i n terms of what we have referred to above as "national origin." T h u s s y m m e t r y is established b e t w e e n t h e definition of black A m e r i c a n s a s a n e t h n i c g r o u p a n d o t h e r w h i t e A m e r i c a n s . I f this i n t e r p r e t a t i o n is correct, it is c o n n e c t e d with an i n t e r e s t i n g c h a n g e o f p e r s p e c t i v e . I recall t h e f r e q u e n c y w i t h w h i c h i t h a s b e e n c o n t e n d e d , e s p e c i a l l y i n t h e d i s c u s s i o n s a t t h e t i m e o f t h e Daedalus study, that the " p r o b l e m " of the status of the black or N e g r o A m e r ican was i n h e r e n t l y a n d f u n d a m e n t a l l y d i f f e r e n t f r o m t h a t of white ethnic g r o u p s a n d that any a t t e m p t to treat it comparatively with t h e o t h e r s u n d e r t h e s a m e g e n e r a l a n a l y t i c a l s c h e m e was i n h e r e n t l y i l l e g i t i m a t e . I n m y o w n c o n t r i b u t i o n , I b e g g e d t o d i f f e r w i t h this v e r y p r e v a l e n t view, a n d m i g h t c o n s i d e r this s y m b o l i c c h a n g e t o b e a c e r t a i n s t r a w i n t h e w i n d o f v i n d i c a t i o n o f m y o w n view. 2 6

T h e r e p l a c e m e n t of the t e r m " N e g r o " by "black," however, seems in a certain sense to have t h e o p p o s i t e significance in t h a t it v e r y e x p l i c i t l y a c c e n t u a t e s t h e racial f o c u s o f t h e i d e n t i t y o f members of the g r o u p as somewhat distinguishable from the g r e a t e r relative i m p o r t a n c e o f t h e c u l t u r a l c o m p o n e n t i n the case of the principal white ethnic g r o u p s . A f u r t h e r interesting c h a n g e since the o l d e r stereotypes of the status of blacks c a m e to be established has b e e n the c h a n g e of s t a t u s o f o n e set o f g r o u p s w h o a r e o f d i f f e r e n t r a c i a l o r i g i n f r o m t h e p r e d o m i n a n t l y E u r o p e a n m a j o r i t y . T h e s e a r e , i n t h e f i r s t instance, t h o s e w h o s e forebears m i g r a t e d f r o m East Asia, m o s t p r o m 26.

At

a Daedalus

conference subsequent

to

the

Xegro

American

enterprise,

which was held in C o p e n h a g e n in 1965. I distinctly r e m e m b e r raising the question in a d i s c u s s i o n of t h e a p p a r e n t a n o m a l y that N e g r o A m e r i c a n s did not r e l e t to themselves nor were they frequently referred to in terms of any equivalent of the c o n c e p t o f n a t i o n a l o r i g i n . I s u g g e s t e d t h e p o s s i b i l i t y t h a t t h i s g a p w o u l d b e filled a n d that t h e m o s t likely way of d o i n g so was a r e f e r e n c e to A f r i c a as t h e area of origin. S o m e w h a t t o m y surprise, this s u g g e s t i o n was not t a k e n s e r i o u s l y b y t h e o v e r w h e l m i n g majority of other participants in the conference. I think the feeling was that Africa was an area inhabited p r e d o m i n a n t l y by "primitive" p e o p l e s a n d that black A m e r i c a n s w o u l d not wish to be identified with it in this respect. It was n o t v e r y m a n y y e a r s , h o w e v e r , b e f o r e t h e i d e n t i f i c a t i o n i n fact b e c a m e c o m m o n . N o t least i s t h e m o v e m e n t w h i c h s w e p t t h e i n s t i t u t i o n s o f h i g h e r e d u c a t i o n f o r t h e establishment

of what

have

usually

been

called

"Afro-American

programs

of

s t u d y . " T h e p a p e r s i s s u i n g f r o m this c o n f e r e n c e w e r e p u b l i s h e d i n Daedalus 9 6 , no.

2

(Spring

1967), and

H o u g h t o n Mifflin,

1968).

in J o h n

Hope

F r a n k l i n , e d . , Color and Race

(Boston,

Change

of Ethnicity

73

i n e n t l y t h e C h i n e s e a n d J a p a n e s e . I t will b e r e m e m b e r e d t h a t w h e n they first arrived in substantial n u m b e r s , the indigenous American white p o p u l a t i o n s h o w e d quite violent a n t a g o n i s m to t h e m with such d r a m a t i c e p i s o d e s as t h e C h i n e s e Exclusion Act and m u c h later the World W a r II i n t e r n m e n t of J a p a n e s e A m e r i c a n s . If I r e m e m b e r correctly, it was in p a r t i c u l a r Daniel P. M o y n i h a n w h o i n t h e 1 9 6 4 Daedalus c o n f e r e n c e s s t r o n g l y e m p h a sized t h a t b e i n g o f C h i n e s e o r J a p a n e s e o r i g i n w a s n o l o n g e r c o n s i d e r e d to be a stigma for t h e m o s t p a r t in this c o u n t r y . T h e r e s e e m s to be a c e r t a i n c o n g r u e n c e b e t w e e n this d e v e l o p m e n t a n d t h e process by which A f r o - A m e r i c a n s , if we m a y use this t e r m , b e c a m e a c c e p t i n g of an a c c e n t u a t i o n of t h e salience of a category of race as the p r i m a r y identification s y m b o l . T h e r e is probably also a c e r t a i n c o n n e c t i o n b e t w e e n t h i s a n d t h e r e c e n t e m e r g e n c e o f concern with the American I n d i a n s as a n o t h e r minority ethnic g r o u p , after a long period of relative neglect by nearly everyone e x c e p t a n t h r o p o l o g i s t s . T h u s w e m a y s p e a k o f a r a c i a l , a s well a s i n more general terms an ethnic, pluralism of the American population consisting o f black p e o p l e , yellow p e o p l e , r e d p e o p l e , a n d white people. 2 7

2 8

2 9

I t also s e e m s c l e a r t h a t t h e s e s y m b o l i c c h a n g e s w i t h r e f e r e n c e t o 27. See

Alexander

H.

Leighton,

The

Governing of Men:

General Principles and

Recommendations Based on Experience at a Japanese Relocation Camp ( P r i n c e t o n , K.J., Princeton University Press, 28.

I). P .

1945).

Moynihan in "Transcript of the American Academy

the N e g r o A m e r i c a n . May

14-15,

1 9 6 5 , " Daedalus 9 5 . 1

Conference on

(Winter 1966), 343.

2 9 . Cf. T a l c o t t P a r s o n s , " T h e P r o b l e m o f P o l a r i z a t i o n o n t h e A x i s o f C o l o r . " i n John

Hope

F r a n k l i n , Color and Race.

T h i s a r t i c l e w a s w r i t t e n a f t e r t h e Daedalus

c o n f e r e n c e in C o p e n h a g e n , referred to in note 27 above, and was not included in the issue of the j o u r n a l which resulted. It is c o n c e r n e d with a rather general analysis o f t h e p h e n o m e n o n o f p o l a r i z a t i o n , w i t h e x a m p l e s f r o m t h e f i e l d s of r e l i g i o n a n d class as well as race. It is also w o r l d - w i d e in r e f e r e n c e a n d not c o n f i n e d to t h e United States a n d is h e n c e particularly pertinent to the concerns of the present volume. O n e of the principal

polemical targets is the paper "Color, Racism and

C h r i s t i a n i t y " b y R o g e r B a s t i d e i n Color and Race. ( T h e a r t i c l e b y E d w a r d S h i l s i n the s a m e v o l u m e should also be c o m p a r e d . ) As in the present p a p e r I a r g u e there t h a t , w h i l e f o r t h e s h o r t r u n t h e A m e r i c a n p a t t e r n b y w h i c h a p e r s o n i s either b l a c k or white with no i n t e r m e d i a t e status c a t e g o r y m a y i m p e d e inclusion of blacks, or i n t e g r a t i o n of blacks a n d whites, for t h e l o n g e r run a case can be m a d e that the A m e r i c a n pattern is m o r e favorable. T h a t this is the case is a m a j o r a r g u m e n t of the p r e s e n t s e c t i o n o f this article.

Talcott

74

Parsons

A m e r i c a n ethnic designations w h e r e a criterion of race can be relev a n t h a v e b e e n a f f e c t e d i n a n i m p o r t a n t way b y e v e n t s o u t s i d e t h e U n i t e d States. With respect to East Asia, in the case of the J a p a n e s e we can speak of a course of A m e r i c a n attitudes c h a n g i n g from a kind of indifference mixed with romanticism to a phase of acute hostility c u l m i n a t i n g i n t h e S e c o n d W o r l d W a r a n d b a c k t o a p h a s e of p r o n o u n c e d favorable attitudes strongly reinforced by the great? r e c e n t e c o n o m i c a n d social a c h i e v e m e n t s o f t h e J a p a n e s e n a t i o n . T h e C h i n e s e case is s o m e w h a t different, b u t t h e consolidation of r e v o l u t i o n a r y C h i n a i n t h e r e c e n t p e r i o d h a s m a d e i t m u c h less plausible to think of the C h i n e s e in the old t e r m s of a certain kind o f social i n c o m p e t e n c e , a s " t h e sick m a n o f E a s t A s i a , " c o m p a r a b l e with T u r k e y i n t h e p e r i o d o f t h e First W o r l d W a r . T h e consolidation of the revolutionary regime, of course, provoked acute hostility i n t h i s c o u n t r y w h i c h h a s o n l y r e c e n t l y g i v e n way t o a n e w o r i entation which seems to be associated with a w i d e s p r e a d attitude of respect. T h i r d , t h e g r e a t d e v e l o p m e n t i n S u b s a h a r a n Africa, o f course, h a s b e e n t h e a c h i e v e m e n t o f i n d e p e n d e n c e b y a n u m b e r o f formerly colonial societies. H e r e also a certain c o n t r a s t b e t w e e n these p r e d o m i n a n t l y black n e w n a t i o n s a n d t h e racism of t h e white min o r i t y - d o m i n a t e d U n i o n of S o u t h Africa a n d S o u t h e r n Rhodesia has t e n d e d t o g i v e t h e black A f r i c a n n a t i o n s s o m e t h i n g o f a g o o d press. Similarly, the case of t h e A m e r i c a n I n d i a n has probably b e e n h e l p e d b y social c h a n g e s i n L a t i n A m e r i c a i n t h o s e c o u n t r i e s i n which a very large p r o p o r t i o n of t h e p o p u l a t i o n consists of p e r s o n s o f I n d i a n o r i g i n w h o h a v e r e c e n t l y b e c o m e politically a c t i v e o n n e w levels. Finally, with r e s p e c t t o t h e distinction b e t w e e n race a n d cultural tradition, it is pertinent to point o u t that the designations of racial g r o u p s b y c o l o r a r e t h e m s e l v e s c u l t u r a l s y m b o l s . W h e n t h e four colors j u s t m e n t i o n e d , black, yellow, red, a n d white, are u s e d in this c o n n e c t i o n it is c l e a r l y in m a j o r p a r t a cultural p h e n o m e n o n . T h i s is t r u e in a sense parallel to t h a t in which the symbol, blood, as 3 0

30.

T h u s S h i l s ( i n F r a n k l i n , Color and Race) i s a t l e a s t p a r t i a l l y w r o n g i n d e s i g -

nating color as an a l m o s t purely "primordial" criterion with the implication that it has virtually no o t h e r significance t h a n biological characterization.

1

Change

of Ethnicity

75

used by S c h n e i d e r in the context of k i n s h i p analysis, is a cultural s y m b o l a n d n o t s i m p l y t h e n a m e f o r a p h y s i o l o g i c a l e n t i t y . I n this connection it is worth noting that the "blood relationship" p a r excellence is that of a m o t h e r a n d h e r o w n child. Physiologically s p e a k i n g , h o w e v e r , t h e y d o not s h a r e t h e s a m e b l o o d s t r e a m ; t h e child's b l o o d s t r e a m develops i n d e p e n d e n t l y a n d what passes to it from the maternal organism t h r o u g h the placenta includes a great m a n y o t h e r e l e m e n t s , b u t definitely n o t b l o o d . " B l o o d r e l a t i o n s h i p " h e r e is a s y m b o l , n o t a d e s c r i p t i o n , of a p h y s i o l o g i c a l r e l a t i o n s h i p . 3 1

Precisely in this kind of context t h e symbol black has certain p a r ticularly i n t e r e s t i n g features. As is t r u e of African p o p u l a t i o n s , a certain proportion of members of the American ethnic g r o u p who a r e n o w c a l l e d a n d call t h e m s e l v e s b l a c k s h a v e s k i n c o l o r w h i c h i s a close a p p r o x i m a t i o n t o t h e p h y s i c a l c o l o r o f b l a c k . U n l i k e A f r i c a n s , h o w e v e r , t h e black A m e r i c a n s w h o a p p r o x i m a t e this s k i n c o l o r i n fact a r e c l e a r l y a m i n o r i t y o f t h e w h o l e g r o u p . T h e p r e d o m i n a n t r e a s o n for this is the history of w h a t u s e d to be called " m i s c e g e n a t i o n , " t h a t is, racial m i x i n g a s b e t w e e n b l a c k a n d w h i t e p e o p l e w i t h t h e o f f s p r i n g a s i n this s e n s e a h y b r i d g r o u p . I n A m e r i c a , h o w e v e r , sociologically t h e d e f i n i t i o n o f a N e g r o i s n o t , a n d h a s n o t b e e n historically, i n t e r m s o f s k i n c o l o r , b u t i n t e r m s o f p a r e n t a g e . A n y p e r s o n , o n e o f w h o s e p a r e n t s was socially classified a s N e g r o o r b l a c k , h a s b e e n b y social a s c r i p t i o n N e g r o o r b l a c k . E v e n i n S o u t h A f r i c a t h e r e is a distinctive g r o u p called " c o l o r e d " as d i s t i n g u i s h e d from e i t h e r white o r black. T h e s e a r e d e s c e n d a n t s o f m i x e d u n i o n s o f o n e kind or another; there is no such category on the A m e r i c a n scene. 3 2

The

designation

of

3 1 . S c h n e i d e r , Amerkan

Negroes

or

blacks

as

an

ethnic

group

Kinship.

3 2 . O n e a s p e c t of t h e m e a n i n g o f t h e s y m b o l b l a c k c a m e o u t i n c l a s s r o o m d i s cussions held u n d e r the impact of the assassination of Martin Luther King, Jr. 1 h a d r e m a r k e d o n the e m e r g e n c e o f this s y m b o l a n d asked for s u g g e s t i o n s o f e x planation. A black w o m a n , a m e m b e r of t h e class, m a d e t h e f o l l o w i n g i n t e r e s t i n g point:

it c o n c e r n e d , s h e said, the internal stratification of t h e black c o m m u n i t y

a n d t h e correlation b e t w e e n lightness o f c o l o r a n d high status. S h e t h e n said that o n e o f t h e r e a s o n s f o r i d e n t i f i c a t i o n o f all a s b l a c k s w a s t o c o u n t e r a c t t h i s t e n d e n c y t o s t r a t i f i c a t i o n a n d b e s u r e that t h e l e a s t a d v a n t a g e d m e m b e r s o f t h e g r o u p w e r e fully i n c l u d e d . I n a s e n s e this is a case of m a k i n g a v i r t u e of necessity.

Talcott

76

Parsons

t h r o u g h a symbol d e s i g n a t i n g color is a tag which has m a d e it possible o r e a s i e r t o a t t r i b u t e b i o l o g i c a l l y h e r e d i t a r y c h a r a c t e r i s t i c s t o the g r o u p . I think particularly of the allegations, which have been especially p r o m i n e n t in S o u t h e r n racist ideology, to t h e effect t h a t b l a c k s a r e e i t h e r like c h i l d r e n o r like a n i m a l s .

3 3

Quite apart from

the m o r e general question of whether there is a hereditary c o m p o n e n t in the differences of races which bears on capacity for perform a n c e a c c o r d i n g t o the s t a n d a r d s o f c u r r e n t society, this ideology flies i n t h e face o f t h e m a s s i v e fact o f t h e h e t e r o g e n e i t y o f o r i g i n , precisely in terms of inherited genes, of t h e m e m b e r s of t h e black c o m m u n i t y . O n e is r e m i n d e d in this case of S c h n e i d e r ' s c o m m e n t o n t h e I r i s h a n d Polish m o t h e r s a n d g r a n d m o t h e r s o f e t h n i c I t a l ians.

3 4

T h e black c o m m u n i t y in a c e r t a i n sense

has chosen to

forget or in a symbolic sense to " d e n y " t h e relevance of t h e white c o m p o n e n t i n its a n c e s t r y . O n e m i g h t s p e a k o f t h i s a s " g e t t i n g back" for the obverse denial of the relevance of p a r e n t h o o d w h e r e a white

person,

notably a father, was a biological

p a r e n t of a

"black" child. I t h a s , o f c o u r s e , long b e e n k n o w n t o sociologists a n d o t h e r s t h a t e v e n w i t h i n d e l i b l e visibility o f s k i n c o l o r , f o r a c e r t a i n f r a c t i o n o f m e m b e r s o f t h e black c o m m u n i t y , t h e r e a r e o p t i o n s o f c h o i c e o f ethnic

identity

through

the

phenomenon

known

as

"passing."

Cases, for e x a m p l e , have b e e n k n o w n w h e r e a n i n d i v i d u a l passed as white in an e m p l o y m e n t situation, b u t with r e f e r e n c e to residential a s s o c i a t i o n s f u n c t i o n e d a s a m e m b e r o f t h e b l a c k c o m m u n i t y .

3 5

It has b e e n a l m o s t a sociological c o m m o n p l a c e , a n d was strongly e m p h a s i z e d i n m y o w n Daedalus p a p e r , t h a t a p r i m a r y f e a t u r e o f t h e status ascribed to the blacks has b e e n t h e stigma of s o m e h o w inherent inferiority.

3 6

T h a t there should be a g r o u p thus stigma-

tized s e e m s i n t u r n t o b e t o a n i m p o r t a n t d e g r e e a f u n c t i o n o f a s o ciety i n w h i c h t h e a c h i e v e m e n t c o m p l e x , w i t h its i n h e r e n t c o m p e t i 3 3 . T h o m a s P e t t i g r c w , A Profile of the Negro American Nostrand,

( P r i n c e t o n , N . J . , D. V a n

1964).

34. D. Schneider, informal m e m o . See note 22. 35. T h e o b v e r s e is also k n o w n to occur,

namely, the "passing" of whites as

hlack. T h i s has b e e n true by m a r r i a g e , but also o t h e r w i s e . 36.

P a r s o n s , "Full C i t i z e n s h i p for t h e N e g r o A m e r i c a n ? "

C h a n g e of Ethnicity

77

tive a s p e c t s , h a s b e e n s o p r o m i n e n t . T h i s a l s o g o e s a c o n s i d e r a b l e d i s t a n c e t o w a r d m a k i n g it u n d e r s t a n d a b l e t h a t racial p r e j u d i c e has c e n t e r e d r a t h e r m o r e in t h e lower r a n g e s of t h e stratification of t h e white c o m m u n i t y t h a n i n t h e u p p e r . N o m a t t e r how relatively " u n successful" s u c h p e o p l e m a y s e e m to be a n d t h i n k of themselves as, t h i s view p r o v i d e s a f l o o r b e l o w w h i c h t h e y c a n n o t fall, t h a t is, t h e y c a n n o t b e i d e n t i f i e d w i t h t h e l o w e s t g r o u p o f all, t h e b l a c k s . I n o r d e r t o m a i n t a i n this f i c t i o n o f b l a c k i n f e r i o r i t y i t c a n b e s e e n t h a t it has b e e n exceedingly i m p o r t a n t to maintain the salience of a single i d e n t i f y i n g c h a r a c t e r i s t i c o f t h e g r o u p w h i c h i s b o t h visible a n d indelible, namely, color.

3 7

This has not, however, prevented a

certain a m o u n t of differentiation a m o n g other things because the c o l o r c h a r a c t e r i s t i c is, a s w e h a v e j u s t n o t e d , e m p i r i c a l l y n o t u n i form. Inferiority of status, h o w e v e r , has b e e n to a substantial d e g r e e a self-fulfilling p r o p h e c y . T h e a l l e g a t i o n t h a t b l a c k s a s s u c h w e r e inc a p a b l e o f t h e h i g h e r o r d e r s o f a c h i e v e m e n t h a s b e e n a m a j o r factor in

preventing them

from

having the opportunity

for such

a c h i e v e m e n t . I n A m e r i c a n s o c i e t y , a t least, a c t u a l d e v e l o p m e n t o f w h a t i s u s u a l l y c a l l e d u p w a r d social m o b i l i t y , w h i c h i s l i n k e d w i t h personal achievement, therefore becomes particularly important in b r e a k i n g t h e s y m b o l i c r i g i d i t y o f t h e o l d s t e r e o t y p e s . I t is, t h e r e fore, a m a t t e r of p r o f o u n d interest that, in spite of a g o o d deal of u n e v e n n e s s , t h e last d e c a d e o r s o s i n c e t h e Civil R i g h t s M o v e m e n t g a t h e r e d force has seen a pretty massive process of u p w a r d mobility a m o n g b l a c k s . A m o n g s p e c i a l i s t s t h e r e i s c o n s i d e r a b l e s k e p ticism o f t h e s t a t e m e n t s m a d e b v W a t t e n b e r g a n d S c a m m o n i n their

r e c e n t a r t i c l e i n Commentary

that

it can

now

be said that

s l i g h t l y o v e r h a l f o f t h e black p o p u l a t i o n (52 p e r c e n t ) s h o u l d b e classified a s m i d d l e c l a s s .

3 8

For e x a m p l e , a very knowledgeable a n d

j u d i c i o u s s t u d e n t o f t h e p r o b l e m , T h o m a s F . P e t t i g r e w , h a s es37.

See E d w a r d Shils, "Color, the Universal

Afro-Asian

Intellectual,"

i n Daedalus

96.2

Intellectual C o m m u n i t y , and the

(Spring

1967),

279-295;

this

article

a l s o a p p e a r s in F r a n k l i n , Color and Race. 38.

B e n J . W a t t e n b e r g a n d R i c h a r d M . S c a m m o n . "Black P r o g r e s s a n d Liberal

R h e t o r i c , " Commentary ( A p r i l ress;

B e n J. Wattenberg ana

(August

1973), 4 - 2 2 .

1973). Also. "Letters, An E x c h a n g e on Richard

Black Prog-

M . S c a m m o n a n d C r i t i c s , " Commentary,

56.2

Talcott

80

Parsons

the s t r u c t u r e of t h e total society a r e to be f o u n d in d i f f e r e n t f o r m with t h e s a m e c o m p o n e n t s o c c u r r i n g in d i f f e r e n t c o m b i n a t i o n s in other types of society. 42

We m a y e m p h a s i z e in this a r e a t h r e e aspects of the p r o b l e m f i e l d . T h e f i r s t h a s t o d o w i t h t h e fact t h a t i t i s r a r e t h a t a n e w n a tion is c o m p o s e d of a p o p u l a t i o n that in a n y s i m p l e sense a p p r o a c h e s e t h n i c h o m o g e n e i t y . T h e c o m m o n e s t f o r m u l a use^i t o d e s c r i b e t h e lack o f s u c h h o m o g e n e i t y i s " t r i b a l " d i v e r s i t y . S e c o n d , for t h e m o s t p a r t the definition of n a t i o n a l b o u n d a r i e s which has r e s u l t e d f r o m i n d e p e n d e n c e f r o m t h e c o l o n i a l p o w e r s h a s failed t o c o i n c i d e w i t h t e r r i t o r i a l - e t h n i c b o u n d a r i e s a n d h a s t e n d e d t o include diverse tribal g r o u p s a n d to cut m a n y i m p o r t a n t such g r o u p s in two or m o r e pieces by placing t h e m on d i f f e r e n t sides of a political b o u n d a r y . T r i b a l diversity, to c o n t i n u e , is in t u r n associated with a g o o d d e a l o f d i v e r s i t y with r e f e r e n c e t o a n u m b e r o f t h e f a c t o r s I h a v e discussed which tend to be used to define ethnic identity. A p r o m i n e n t case is l a n g u a g e a n d it is n o t o r i o u s t h a t a large p r o p o r t i o n of these societies have very c o m p l i c a t e d l a n g u a g e p r o b l e m s . T h e linguistic diversity of the " c o m m o n p e o p l e " is a p t to be so g r e a t that the most convenient m e d i u m of c o m m u n i c a t i o n for the leading strata involved in g o v e r n m e n t a n d o t h e r such affairs has cont i n u e d o n a l a r g e scale t o b e t h e l a n g u a g e o f t h e f o r m e r c o l o n i a l p o w e r . C e n t r a l Africa i s t h u s v e r y b r o a d l y d i v i d e d i n t o a r e a s w h e r e the "elite" a r e English-speaking on the o n e h a n d , F r e n c h - s p e a k i n g o n t h e o t h e r . N a t u r a l l y , this d e p e n d e n c e o n t h e l a n g u a g e o f a previously h a t e d colonial p o w e r creates substantial a m b i v a l e n c e . T h i s i s c o m p o u n d e d b y t h e fact t h a t t h e c u l t u r e o f t h e elites h a s been, in respects other than language, strongly influenced by the colonizing nation, a n d as o n e i m p o r t a n t manifestation, m a n y of the g e n e r a t i o n which have taken political a n d o t h e r responsibility in the new nation have been educated in the "metropolitan" country, to use the French term. It should thus not be forgotten that the two g r e a t e m a n c i p a t i n g h e r o e s o f I n d i a n i n d e p e n d e n c e , G a n d h i a n d N e h r u , w e r e b o t h B r i t i s h - e d u c a t e d . I n d i a h a s b e e n a focus o f 42.

Cf. R e i n h a r d B e n d i x . Nation-Building and Citizenship ( N e w Y o r k , W i l e y a n d

Sons, 1964).

Change

of Ethnicity

81

i n t e n s e conflict o v e r l a n g u a g e p r o b l e m s w i t h a n a t t e m p t t o i n s t i t u tionalize the general usage of i n d i g e n o u s languages which, however, has r u n into very severe difficulties. English r e m a i n s t h e lingua franca of the substantial majority of the u p p e r g r o u p s . 4 3

To stress t h e t h i r d p r o b l e m , it is clear that the p r o b l e m of ethnic diversity a n d the threats it poses to s o m e kind of "national unity" is a u b i q u i t o u s p r o b l e m i n a l m o s t all t h e n e w n a t i o n s . T h o u g h c e r t a i n p e r s o n n e l w h o have, as it were, i n h e r i t e d their status from previous colonial regimes have retained s o m e kind of residence a n d functions in m a n y of these societies. In Africa a n d I n d i a , for exa m p l e , t h e racial factor is not a p r i m a r y o n e in this diversity. It is simply a c o n s e q u e n c e of the particularistic localism of so m u c h of t h e i n d i g e n o u s society. T h e o b v e r s e p r o b l e m d e r i v e s f r o m t h e h i s t o r i c a l l y a r b i t r a r y divis i o n o f e t h n i c g r o u p s a s b e t w e e n t w o o r i n s o m e cases e v e n m o r e politically o r g a n i z e d s o c i e t i e s . T h i s c l e a r l y i s a p h e n o m e n o n w h i c h has also b e e n exceedingly p r o m i n e n t in E u r o p e a n history. In a nat i o n a l s o l i d a r i t y s e n s e a r e t h e F r e n c h - s p e a k i n g c o m p o n e n t s o f Swit43.

T h a t these p r o b l e m s do not o p e r a t e only at

political a n d g o v e r n m e n t a l

levels is illustrated by an interesting p h e n o m e n o n . Dr. Bennetta Jules-Rosette in her recently submitted doctoral dissertation analyzed a new religious m o v e m e n t called the Apostles, which, from a Protestant missionary b a c k g r o u n d , has spread in Zaire, the f o r m e r Belgian C o n g o , a n d certain n e i g h b o r i n g countries, notably Kenya. T h e b o u n d a r y with which Dr. J u l e s - R o s e t t e was most c o n c e r n e d was bet w e e n the f o r m e r B e l g i a n C o n g o a n d a n e i g h b o r i n g f o r m e r British c o l o n y w h i c h c m across e t h n i c lines. S h e o b s e r v e d a n d d e s c r i b e d , h o w e v e r , a n e x c e e d i n g l y interesting linguistic p h e n o m e n o n . In certain of the rituals of the A p o s t l e s t h e r e is alternate "preaching" a n d "singing" introduced by various m e m b e r s of the g r o u p p a r t i c i p a t i n g . T h e i n t e r e s t i n g p o i n t i s t h a t t h e r i t u a l i s c o n d u c t e d i n s e v e r a l different languages. others used

S o m e of the participants

chose to

speak or sing

in

French;

n o t o n e , b u t s e v e r a l , d i f f e r e n t i n d i g e n o u s tribal l a n g u a g e s , m o s t o f

w h i c h are, h o w e v e r , sufficiently closely r e l a t e d as to be with s o m e a p p r o x i m a t i o n m u t u a l l y u n d e r s t a n d a b l e . T h e religious m o v e m e n t , as s u c h , is clearly a cross-tribal p h e n o m e n o n w h i c h i s f o r m i n g l i n k s o f s o l i d a r i t y i n d e p e n d e n t o f tribal a f f i l i a t i o n s . I t is, h o w e v e r , a s i t w e r e , p a v i n g its r e s p e c t s t o tribal i d e n t i t i e s b y i n s t i t u t i o n a l i z i n g t h e u s e o f p l u r a l tribal l a n g u a g e s i n t h e s a m e ritual p e r f o r m a n c e . I t s e e m s legitim a t e t o i n t e r p r e t t h i s a s a c a s e of m a i n t a i n i n g a d e l i c a t e b a l a n c e b e t w e e n t h e c r e ation of n e w solidarities and respectful

r e c o g n i t i o n o f tribal d i v e r s i t y .

See

Ben-

netta J u l e s - R o s e t t e , "Ritual C o n t e x t s a n d Social A c t i o n : A S t u d y of the A p o s t o l i c Church

of John

Marangue."

Cambridge, Mass., June 1973.

Unpublished

doctoral

thesis,

Harvard

University,

Talcott

82

Parsons

zerland or Belgium m e m b e r s of the French nation or not? Or are t h e G e r m a n - s p e a k i n g Swiss m e m b e r s o f t h e " G e r m a n n a t i o n " ? I t i s clear from the historical r e c o r d that the a n s w e r s to these questions a r e s e l d o m simple. Even w h e r e geographical location is very distant i n d e e d , t h e s a m e p r o b l e m h a s a r i s e n w i t h r e s p e c t t o w h a t significantly is called the " F r a n c o p h o n e " g r o u p in C a n a d a . S o m e of t h e separatist-oriented French Canadians, egged on by de Gaulle, have m a d e a great deal of the definition of their ethnic identity as F r e n c h a n d t h u s in s o m e symbolic sense as inherently p a r t of the same French ethnic community as metropolitan France, and hence to be separated from "Anglophone" Canada. Political r e a l i t i e s , h o w e v e r , a r e s u c h t h a t i t i s n o m o r e likely i n the new nations t h a n it has been in E u r o p e a n history that neat corr e s p o n d e n c e s b e t w e e n t r a d i t i o n a l e t h n i c i t y a n d political a l l e g i a n c e can be w o r k e d o u t for the system as a whole. T h e r e are, therefore, powerful incentives toward c o m m i t m e n t tc e t h n i c a l l y p l u r a l i s t i c n a t i o n a l societal c o m m u n i t i e s i n a s e n s e w h i c h i n v o l v e s a t least s o m e r e s e m b l a n c e s t o t h e p r o b l e m o f t h e e v o l u t i o n o f a t y p e o f c o m m u n i t y like t h e r e c e n t l y e m e r g e d A m e r i c a . I t i s alm o s t a c o m m o n p l a c e t h a t a n i m p o r t a n t f a c t o r u n d e r l y i n g t h e intensity of "nationalistic" s e n t i m e n t s in m a n y new nations is a funct i o n o f t h e t e n s i o n s o c c a s i o n e d b y t h i s d i v e r s i t y a n d t h e fact t h a t the n e w n a t i o n is i n c o m p a t i b l e with m a n y of t h e traditional c o n c e p t i o n s o f s u b - e t h n i c i n d e p e n d e n c e . I s u p p o s e i t c o u l d b e said t h a t t h e r e c e n t civil w a r i n N i g e r i a , w h i c h was s t r u c t u r e d m a i n l y o n this k i n d o f b a s i s , i s a classic e x a m p l e f r o m t h e f i e l d o f t h e n e w n a t i o n s , but, of course, t h e r e are many o t h e r s . 4 4

I t i s a n i m p o r t a n t fact b e a r i n g o n t h e possibilities o f d e v e l o p m e n t in pluralistic directions that, i m p o r t a n t as race a n d color have b e e n i n m a n y i n s t a n c e s , this s y m b o l i c f o c u s o f e t h n i c i d e n t i t y i s very w i d e l y c r o s s - c u t with o t h e r s , t h u s p r o d u c i n g , e v e n f r o m t h e beginning, the kind of structural pluralism which in the long r u n strongly inhibits polarization. 44.

R o b i n L u c k h a m , The Nigerian Military: A Sociological Analysis of Authority and

Revolt ( C a m b r i d g e , E n g l a n d , C a m b r i d g e U n i v e r s i t y P r e s s .

1971).

C h a n g e of Ethnicity

83

CONCLUSION It is q u i t e clear that in this c h a p t e r it was possible to d e a l with only a small part of the p r o b l e m s a n d topics which are relevant to the t h e m e of ethnicity on a w o r l d - w i d e basis. I h o p e , h o w e v e r , that it has b e e n helpful to try to show not only h o w d e e p - r o o t e d are the forces which m a k e for stress on an e t h n i c type of solidarity, b u t also s o m e o f t h e r e l a t i o n s o f e t h n i c i t y t o d i f f e r e n t b u t r e l a t e d m o d e s of establishing solidary g r o u p i n g s : Finally, I h o p e that the differences between the various relevant g r o u p s in the United States, notably white a n d black, a n d the d i f f e r e n c e s a n d similarities between A m e r i c a n developments a n d those g o i n g on in o t h e r parts o f t h e w o r l d will p r o v e i l l u m i n a t i n g . I t i s h o p e d t h a t t h i s c h a p t e r can serve as a m o d e s t c o n t r i b u t i o n to the d e v e l o p m e n t of a m o r e general theory of the n a t u r e , variety, a n d functions of g r o u p s in w h i c h d i f f u s e e n d u r i n g , t h a t is, t r a n s g e n e r a t i o n a l , s o l i d a r i t y i s a s a l i e n t c h a r a c t e r i s t i c . I f so, c o m p a r a t i v e s o c i o l o g y i n t h i s a r e a w o u l d b e g r e a t l y facilitated a n d t h e r e s o r t t o t h e m e r e a s s e r t i o n o f u n i q u e n e s s less n e c e s s a r y o r t e m p t i n g .

3 M I L T O N M. GORDON

Toward a General T h e o r y of Racial and Ethnic G r o u p Relations

In Assimilation in American Life,

p u b l i s h e d in

1964,

1

I presented a

multidimensional model of the assimilation process a n d applied it to the A m e r i c a n scene historically a n d c o n t e m p o r a n e o u s l y . T h i s model

distinguished

cultural,

structural,

seven marital,

assimilation

dimensions

identificational,

or variables:

attitude

receptional

(absence of prejudice), behavior receptional (absence of discrimin a t i o n ) , a n d civic ( a b s e n c e o f v a l u e a n d p o w e r conflict). C e r t a i n h y potheses about the relationship of these variables were advanced; t h e s e w e r e (1) t h a t i n m a j o r i t y - m i n o r i t y g r o u p c o n t a c t c u l t u r a l ass i m i l a t i o n o r a c c u l t u r a t i o n w o u l d o c c u r f i r s t ; (2) t h a t a c c u l t u r a t i o n may take place even w h e n n o n e of the o t h e r types of assimilation has o c c u r r e d ; a n d this situation o f " a c c u l t u r a t i o n only" m a y continue

indefinitely;

and

(3)

that

if structural

assimilation occurs

a l o n g w i t h o r s u b s e q u e n t t o a c c u l t u r a t i o n , all t h e o t h e r t y p e s o f ass i m i l a t i o n will i n e v i t a b l y follow. T h i s t h e o r e t i c a l m o d e l o f v a r i a b l e s a n d p r o p o s i t i o n s was u s e d t o a n a l y z e t h e m e a n i n g o f the tradiNote: I w i s h t o t h a n k W , C l a r k R o o f f o r a c a r e f u l r e a d i n g o f a n e a r l i e r d r a f t o f this p a p e r a n d f o r s o m e u s e f u l s u g g e s t i o n s . 1.

M i l t o n M . G o r d o n , Assimilation i n American Life ( N e w Y o r k , O x f o r d U n i v e r -

sity P r e s s , 1 9 6 4 ) . I n t w o e a r l i e r p u b l i c a t i o n s , o n e g o i n g b a c k t o 1 9 5 4 , I h a d m a d e the distinction b e t w e e n cultural a n d structural assimilation w h i c h is basic to t h e model.

See

my

"Social

Structure

and

Goals

in

Group

Relations,"

in

Morroe

B e r g e r , T h e o d o r e A b e l , a n d C h a r l e s H . P a g e , e d s . , Freedom and Control i n Modern Society ( N e w Y o r k , D . V a n N o s t r a n d C o . , I n c . , 1 9 5 4 ) , p p . 1 4 1 - 1 5 7 ; a n d " A s s i m i l a t i o n i n A m e r i c a : T h e o r y a n d R e a l i t y , " Daedalus ( S p r i n g

1961), 2 6 3 - 2 8 5 .

T h e o r y o f Racial a n d E t h n i c G r o u p Relations

tional

American

ideologies of "Anglo-conformity,"

85

the "melting

pot," a n d "cultural pluralism," a n d the historical a n d c u r r e n t realities o f A m e r i c a n r a c i a l a n d e t h n i c g r o u p life. I t w a s c o n c l u d e d t h a t massive

(although

not complete

nor

uniform)

acculturation

to

A n g l o - S a x o n n o r m s a n d p a t t e r n s h a d i n fact t a k e n p l a c e h i s t o r i cally, w h i l e s t r u c t u r a l s e p a r a t i o n o f r a c i a l a n d r e l i g i o u s g r o u p s , a n d t o s o m e d e g r e e n a t i o n a l o r i g i n s g r o u p s , still r e m a i n e d . O n e i m p o r t a n t e x c e p t i o n t o this g e n e r a l i z a t i o n w e r e i n t e l l e c t u a l s a n d a r t i s t s among whom a

new subsociety a p p e a r e d

to be

forming which

largely i g n o r e d ethnic considerations in the f o r m a t i o n of p r i m a r y g r o u p r e l a t i o n s h i p s a n d o r g a n i z a t i o n a l m e m b e r s h i p . T o this overall p i c t u r e o f A m e r i c a n racial a n d e t h n i c r e l a t i o n s i n t h e e a r l y 1960s, which it s e e m e d to me would c o n t i n u e indefinitely, I applied t h e t e r m "structural pluralism." T h i s analysis c o n t r i b u t e d to the u n f o l d i n g realization a m o n g students of race a n d ethnicity that the o p t i m i s m of an earlier g e n e r a t i o n of sociologists c o n c e r n i n g the inevitable assimilation or "melting" of A m e r i c a n minority g r o u p s into s o m e c o m m o n f r a m e w o r k which w o u l d effect t h e i r d i s a p p e a r a n c e was distinctly u n w a r r a n t e d a n d that, in the w o r d s of Glazer a n d M o y n i h a n , " t h e p e r s i s t i n g facts o f e t h n i c i t y d e m a n d a t t e n t i o n , understanding, and accommodation."

2

Subsequent events in American i n t e r g r o u p relations d u r i n g the l a t t e r h a l f o f t h e 1 9 6 0 s a n d i n t o t h e 1 9 7 0 s , t h e d e e p e n i n g o f racial a n d e t h n i c conflicts t h r o u g h o u t t h e w o r l d d u r i n g this p e r i o d , a n d m y c o n c u r r e n c e i n t h e c o g e n c y o f t h e call t o b o t h c o m p a r a t i v e research

and

the

formulation

of more

general

theories

o f in-

t e r g r o u p relations by such writers as van d e n B e r g h e , Blalock, a n d S c h e r m e r h o r n h a v e led m e t o r e e x a m i n e t h e assimilation p r o c e s s in a context s o m e w h a t m o r e e x p a n d e d t h a n that of my previous formulation.

3

T h e domestic events referred to above center partic-

ularly o n t h e rise o f t h e "black p o w e r " m o v e m e n t , A f r o - A m e r i c a n 2. N a t h a n G l a z e r a n d

Daniel

P a t r i c k M o y n i h a n . Beyond the Melting Pot

(Cam-

b r i d g e , Mass.. H a r v a r d University Press a n d M I T Press. 1963), p. v.

3. P i e r r e L. v a n d e n B e r g h e . Race and Racism: A Comparative Perspective ( N e w York. J o h n W i l e y a n d S o n s . Inc.,

1 9 6 7 ) ; H. M.

B l a l o c k , J r . . Toward a Theory o f

Minority-Group Relations ( N e w Y o r k , J o h n W i l e y a n d S o n s , I n c . ,

1967); R. A. Scher-

m e r h o r n , Comparative Ethnic Relations ( N e w Y o r k . R a n d o m H o u s e ,

1970).

Milton

86

M.

Gordon

c u l t u r a l n a t i o n a l i s m , r i o t i n g b y b l a c k s i n m a j o r A m e r i c a n cities, efforts to institute c o m m u n i t y control o v e r public institutions in black n e i g h b o r h o o d s , a n d t h e p r e s u m e d effects o f t h e s e d e v e l o p m e n t s o n t h e h e i g h t e n i n g o f g r o u p c o n s c i o u s n e s s a n d collective action a m o n g M e x i c a n - A m e r i c a n s a n d P u e r t o Ricans, a n d possibly "white e t h n i c " g r o u p s as well.

f*

T h e b a l a n c e o f this p a p e r will first c o n s i d e r t h e r e l a t i o n s h i p o f a s s i m i l a t i o n a n a l y s i s t o t h e c o n c e p t s o f p o w e r a n d conflict w h i c h w e r e r e l a t i v e l y i g n o r e d (or, m o r e a c c u r a t e l y , p e r h a p s , t a k e n f o r g r a n t e d ) i n m y p r e v i o u s s t u d y , a n d s e c o n d , will a t t e m p t t o p l a c e c o n s i d e r a t i o n s of assimilation, p l u r a l i s m , p o w e r , a n d t h e like, into the m o r e general framework of a multi-causal m o d e l for the p r e diction

of particular outcomes in

m a j o r i t y - m i n o r i t y g r o u p rela-

t i o n s . T h e a s s i m i l a t i o n p a r a d i g m itself a n d its a p p l i c a t i o n t o t h e A m e r i c a n historical e x p e r i e n c e up until t h e early 1960s I find no reason to materially alter. Blalock has m a d e a useful distinction b e t w e e n competitive res o u r c e s a n d p r e s s u r e r e s o u r c e s a n d , d r a w i n g u p o n social p s y c h o logical t h e o r y , h a s c o n c e p t u a l i z e d p o w e r a s a p r o d u c t o f r e s o u r c e s a n d the mobilization of those resources.

4

We may, then, speak of

c o m p e t i t i v e p o w e r — t h e ability t o c o m p e t e a s i n d i v i d u a l s i n t h e r e w a r d s system of the society—and p r e s s u r e p o w e r — t h e p o w e r to e f f e c t c h a n g e in t h e society in a c o l l e c t i v e f a s h i o n . I find it a d d i t i o n a l l y u s e f u l t o s u b d i v i d e p r e s s u r e p o w e r i n t o t w o s u b t y p e s : (1) political p r e s s u r e , n a r r o w l y d e f i n e d , in t h e f o r m of action by m e a n s o f v o t i n g a n d litigation t o i n d u c e favorable action o n t h e p a r t o f the legislature, the courts, a n d the executive branches of governm e n t , a n d (2) d i s r u p t i v e p r e s s u r e , c o n s i s t i n g o f a c t s w h i c h d i s r u p t n o r m a l a n d e x p e c t e d r o u t i n e s o f social i n t e r c o u r s e ; t h e s e c o u l d r a n g e from peaceful nonviolent d e m o n s t r a t i o n s at o n e e n d of the spectrum through angry and violence-threatening confrontations, u p t o s p o r a d i c r i o t i n g , a n d f i n a l l y t o t h e u l t i m a t e e x t r e m e o f violent revolution. With these distinctions in m i n d , I t u r n now to a r e c o n s t r u c t i o n of t h e e x p e c t a n c i e s a b o u t t h e m a n n e r of social c h a n g e i n t h e a r e a o f 4.

B l a l o c k , Toward a Theory of Minority-Group Relations, c h a p . 4.

T h e o r y o f Racial a n d

87

Ethnic G r o u p Relations

racial a n d e t h n i c relations in t h e U n i t e d States which p r e v a i l e d in this c o u n t r y a r o u n d t h e m i d d l e o f the t w e n t i e t h c e n t u r y a m o n g ihe liberal l e a d e r s h i p o f t h e m o v e m e n t for racial equality, b o t h N e g r o a n d w h i t e , a n d a m o n g m e n o f g o o d will g e n e r a l l y . T h e s e e x p e c t a tions w e r e a p p r o x i m a t e l y as follows: that b e c a u s e of w h a t a p p e a r e d to be overwhelming white d o m i n a n c e , demographically, econonii cally, a n d p o l i t i c a l l y , t h e a t t e m p t t o i m p r o v e t h e lot o f r a c i a l a n d e t h n i c minorities w o u l d h a v e to be m a d e by a massive effort to activate t h e consciences o f white A m e r i c a n s t o i m p l e m e n t t h e A m e r i can creed of democracy a n d equalitarianism, to eliminate J i m Crow laws i n t h e S o u t h t h r o u g h l i t i g a t i o n a t t h e S u p r e m e C o u r t level, (o f i g h t f o r l e g i s l a t i o n i n t h e N o r t h ( a n d n a t i o n a l l y ) t o legally b a r d i s c r i m i n a t i o n i n e m p l o y m e n t a n d h o u s i n g , t o b r e a k d o w n t h e extra legal b a r r i e r s t o v o t i n g b y N e g r o e s i n t h e S o u t h a n d t o e n c o u r a g e t h e u s e o f t h e b a l l o t b y m i n o r i t y g r o u p m e m b e r s g e n e r a l l y f o r the a c h i e v e m e n t o f e q u a l r i g h t s , a n d finally t o w o r k f o r f e d e r a l a n d o t h e r g o v e r n m e n t a l efforts

t o d e a l effectively w i t h

poverty and

u r b a n b l i g h t i n a m a n n e r w h i c h w o u l d b e n e f i t all t h e p o o r i n t h e p o p u l a t i o n impartially, b u t which w o u l d , clearly, h a v e particulai impact,

because

of generations

of past discrimination, on

sub-

m e r g e d racial g r o u p s . E v e n t h e p e a c e f u l d e m o n s t r a t i o n s o f civil d i s o b e d i e n c e whii h b e c a m e a p a r t o f t h e civil r i g h t s m o v e m e n t i n t h e e a r l y sixties d i d not, on the whole, challenge these expectancies. T h e d e m o n . n . i tions, while often d r a w i n g violent reactions

from

hostile while..

w e r e , a t least s o f a r a s t h e d e m o n s t r a t o r s w e r e c o n c e r n e d , g e n e r ally n o n v i o l e n t a n d w e r e a i m e d a t o b t a i n i n g r i g h t s f o r N e g r o e s w h i c h h a d a l r e a d y b e e n g r a n t e d b y law i n t h e w a k e o f t h e S u p r e m e C o u r t decision against segregated public education

in

1954, 01

w e r e o t h e r w i s e well w i t h i n t h e b o u n d a r y o f p r a c t i c e s s a n c t i o n e d b) American democratic values. I n s u m m a r y , t h e p r o c l a i m e d g o a l o f b o t h b l a c k s a n d w h i l e lib e r a l s w a s e q u a l t r e a t m e n t b y t h e law, i n t e g r a t i o n , t h e r a i s i n g ol I h e competitive resources of blacks by the corrective m e a n s of govern m e n t a l a i d p r o g r a m s a n d t h e o p e n i n g u p o f w h i t e i n s t i t u t i o n s lo all, r e g a r d l e s s o f r a c e , w h o c o u l d n o w o r l a t e r q u a l i f y b y meeting universalistic s t a n d a r d s — i n short, t h e use of competitive resources

Milton

88

M.

Gordon

p l u s political r e s o u r c e s , w i t h n o n v i o l e n t d e m o n s t r a t i o n s v i e w e d n o t s o m u c h i n t e r m s o f d i s r u p t i o n a s a call t o t h e c o n s c i e n c e o f A m e r i c a , a n d with t h e pace of p r o g r e s s s e e n as inevitably d e t e r m i n e d by the overwhelmingly g r e a t e r p o w e r of the white majority. W i t h i n this c o n t e x t , t h e p r e d i c t i o n o f i n d e f i n i t e l y c o n t i n u i n g s t r u c tural s e p a r a t i o n , or structural pluralism, was seenips a concession t o t h e r e a l i t i e s o f b o t h e x i s t i n g ( t h o u g h h o p e f u l l y l e s s e n i n g ) attitudes of prejudice a n d avoidance, a n d t h e factual presence of an already built-up institutional structure within the communities of racial minorities. W h a t actually h a p p e n e d , o f c o u r s e , i n t h e s u b s e q u e n t p e r i o d was not only an intensification of structural s e p a r a t i s m , but, along with some o f t h e d e v e l o p m e n t s m e n t i o n e d a b o v e i n w h a t m i g h t b e c a l l e d " t h e liberal e x p e c t a n c y , " the generally u n a n t i c i p a t e d e m e r g e n c e of t h e black p o w e r m o v e m e n t , black c u l t u r a l nationalism, s p o r a d i c r i o t i n g i n t h e black g h e t t o e s , a n d t h e g r a d u a l s u p p l a n t i n g ( t h o u g h n o t c o m p l e t e l y ) o f o l d - s t y l e l i b e r a l b l a c k l e a d e r s h i p b y a m o r e militant type advocating and using disruptive pressure resources. T h u s , t h e r e h a s d e v e l o p e d , i n a p l u r a l i s t c o n t e x t , s o m e t h i n g close to a real p o w e r struggle with both potential a n d actual o u t b r e a k s of conflict s i g n i f y i n g t h e u n e a s y r a c e r e l a t i o n s c l i m a t e o f t h e c u r r e n t A m e r i c a n s c e n e a n d w h i c h c o u l d c o n c e i v a b l y , a l t h o u g h n o t inevit a b l y , r e a c h t h e s t a g e o f w h a t Lewis Killian h a s c a l l e d " t h e i m p o s s i ble r e v o l u t i o n . " At t h e s a m e t i m e , s o m e of t h e processes e n c o m passed in t h e "liberal e x p e c t a n c y " also c o n t i n u e to o p e r a t e so that t h e p i c t u r e is a m i x e d o n e . F o r an analysis of this c o m p l e x situation t h e v a r i a b l e s o f p o w e r a n d conflict m u s t b e a t t a c h e d o r b u i l t i n t o a s s i m i l a t i o n t h e o r y . T h i s , h o w e v e r , i s o n l y a n o t h e r way o f s a y i n g t h a t assimilation theory must, for purposes of achieving greater explanatory power, be placed in the framework of a larger theoretical context which helps explain the general processes of racial and ethnic group relations. 5

6

5. L e w i s

M.

Killian,

The

Impossible

Revolution?

(New

York.

Random

House.

1968). 6.

It s h o u l d g o w i t h o u t s a y i n g t h a t a s s i m i l a t i o n t h e o r y , a s p r e s e n t e d i n m y e a r -

lier m o d e l , w a s n e v e r m e a n t t o a d v a n c e t h e t h e s i s t h a t c o m p l e t e a s s i m i l a t i o n i n e v i tably o c c u r r e d i n c o n t a c t b e t w e e n e t h n i c a l l y d i v e r s e p o p u l a t i o n g r o u p s — q u i t e t h e contrary: the multidimensional approach to assimilation provided by my model allowed the various subtypes of assimilation to be conceptuallv distinguished from

T h e o r y of

Racial a n d

Ethnic G r o u p Relations

W h a t is required, then, is a m o r e general theory of i n t e r g r o u p or racial a n d e t h n i c g r o u p relations, o n e w h i c h i n c l u d e s n o t only s o c i o l o g i c a l b u t also p s y c h o l o g i c a l v a r i a b l e s , a c o n s i d e r a t i o n o f p o w e r r e l a t i o n s h i p s , a n d a n e x a m i n a t i o n o f r e l e v a n t basic socialpsychological processes of h u m a n interaction. In the n e x t portion o f this c h a p t e r , I shall a t t e m p t t o s u g g e s t t h e o u t l i n e s o f w h a t , a s i t seems to me, such a theory should contain. T h e first task in c o n s t r u c t i n g a causal t h e o r y is to d e s i g n a t e t h e effect, o r d e p e n d e n t v a r i a b l e . W h i l e this a t t e m p t t o e x t r a c t s u c h a t e m p o r a r i l y static p h e n o m e n o n f r o m t h e c e a s e l e s s e b b a n d flow of h u m a n i n t e r a c t i o n i s b o u n d t o b e less t h a n p e r f e c t l y successful b e c a u s e o f b o t h " c h a i n " a n d " f e e d b a c k " effects, such a n a t t e m p t m u s t , c l e a r l y , b e m a d e i f a n y t h e o r y a t all i s t o b e d e v e l o p e d . T h e p r o b l e m i s also m a d e m o r e difficult b y t h e fact t h a t o f t e n t h e effect w e a r e i n t e r e s t e d i n i s n o t a s i n g l e o r u n f a c t o r a b l e v a r i a b l e but a c o m p l e x of v a r i a b l e s , w h o s e t o t a l v a r i a t i o n is a f u n c t i o n of varying c o m b i n a t i o n s of p o s i t i o n s of its c o m p o n e n t s . In s u c h a s i t u a t i o n , it is entirely possible that no overall quantitative m e a s u r e of position o n a u n i d i m e n s i o n a l scale i s p o s s i b l e a t all, a n d t h e v a r y i n g p o s s i b l e o u t c o m e s m u s t be designated as a qualitative typology in which the s u b t y p e s o f effects a r e s e p a r a t e d n o t b y q u a n t i t a t i v e u n i t s but b y differences in kind. Such m u s t certainly be t h e case in a first ap p r o x i m a t i o n of the designation of the d e p e n d e n t variable in a theory of intergroup relations. 7

My thesis, t h e n , is t h a t t h e m o s t useful d e p e n d e n t variable or attribute in a t h e o r y of racial a n d e t h n i c i n t e r g r o u p relations is a c o n s t r u c t w h i c h c o n s i s t s o f f o u r s u b v a r i a b l e s . T h e s e a r e : (1) Type o f

each other, advanced

hypotheses about the interrelationships of these subtypes

a l l o w e d f o r t h e possibility o f v a r y i n g rales o f p r o g r e s s t o w a r d a s s i m i l a t i o n among t h e v a r i o u s d i m e n s i o n s , o r o n s o m e d i m e n s i o n s v i r t u a l l y n o p r o g r e s s a t all, a n d , i n fact, p r e d i c t e d t h e i n d e f i n i t e c o n t i n u a n c e o f s t r u c t u r a l l y s e p a r a t e e t h n i c g r o u p s o n the American scene.

N o r d i d m y d i s c u s s i o n o f a s s i m i l a t i o n a s s i g n a b s o l u t e positive

valuation to either the assimilationist or pluralist e n d s of t h e c o n t i n u u m .

It did,

h o w e v e r , p r e s e n t t h e h y p o t h e s i s that t h e r e w e r e b o u n d a r i e s t o t h e p r o c e s s ol s e p a r a t i o n o f e t h n i c g r o u p s w i t h i n t h e s a m e s o c i e t y b e y o n d w h i c h d i s f u n c t i o u a l el fects w e r e likely to occur. 7.

See, for instance, the t y p o l o g y d e v e l o p e d by S c h e r m e r h o r n in R. A. Scher-

merhorn.

Comparative

Ethnic

Relations.

90

Milton

M.

Gordon

assimilation, with t h e m a j o r d i s t i n c t i o n b e i n g t h a t b e t w e e n c u l t u r a l a n d structural assimilation. Each type can, in theory, of course, be t h o u g h t o f a s q u a n t i f i a b l e a l o n g a s i n g l e scale o r d i m e n s i o n r a n g i n g f r o m c o m p l e t e a s s i m i l a t i o n o n o n e e n d o f t h e scale t o c o m p l e t e p l u r a l i s m on t h e o t h e r . (2) Degree of total assimilation. T h i s v a r i a b l e w o u l d c o n s i s t o f a n i n d e x c o m b i n i n g s c o r e s f o r e a c h % u b t y p e o f assimilation. Theoretically, such scores could be assigned for each of the seven assimilation subtypes in my original assimilation m o d e l . For purposes of research economy, cultural a n d structural subtypes a l o n e m i g h t be used, or m o r e desirably, f o u r subtypes: cultural, structural, marital, a n d identificational. T h e r e might be good theoretical reasons for assigning variable weights to scores on t h e d i f f e r e n t t y p e s , a l t h o u g h this i s n o t a n i s s u e t h a t n e e d c o n c e r n u s h e r e . (3) Degree of conflict e x i s t i n g in t h e s o c i e t y b e t w e e n t h e m i n o r ity g r o u p o r g r o u p s i n t h e society a n d t h e m a j o r i t y g r o u p a n d a m o n g e a c h o t h e r . (4) Degree of access to societal rewards—economic, political, i n s t i t u t i o n a l , a n d s o o n — f o r t h e m i n o r i t y g r o u p o r g r o u p s in c o m p a r i s o n with t h e majority g r o u p . T h i s . i s an equality d i m e n sion. For p u r p o s e s of expository economy, we may arbitrarily trichoto m i z e e a c h o f t h e c o n t i n u o u s v a r i a b l e s i n this c o m p l e x i n t o h i g h , m o d e r a t e , a n d low t o i l l u s t r a t e s o m e p o s s i b l e o u t c o m e s . O n e o u t c o m e f o r m i n o r i t y g r o u p A m i g h t b e h i g h c u l t u r a l a s s i m i l a t i o n , low s t r u c t u r a l a s s i m i l a t i o n , m o d e r a t e d e g r e e o f total a s s i m i l a t i o n , h i g h d e g r e e o f conflict, a n d low d e g r e e o f a c c e s s t o societal r e w a r d s . A n o t h e r o u t c o m e for m i n o r i t y g r o u p B m i g h t be high cultural ass i m i l a t i o n , m o d e r a t e s t r u c t u r a l a s s i m i l a t i o n , m o d e r a t e total a s s i m i l a t i o n , low d e g r e e o f conflict, a n d h i g h d e g r e e o f access t o societal r e w a r d s . T h i s type of constellation or profile, in my o p i n i o n , identifies t h e e s s e n t i a l f e a t u r e s o f t h e m i n o r i t y g r o u p ' s p o s i t i o n i n t h e society a t a g i v e n t i m e . T h e r e s e a r c h s t r a t e g i e s f o r o b t a i n i n g t h e r e q u i s i t e m e a s u r e s , w h i l e p o s i n g difficulties, o f f e r n o i n s u p e r a b l e theoretical obstacles. T h e i r discussion, h o w e v e r , is n o t within the s c o p e o f t h i s c h a p t e r . I t will b e n o t e d t h a t this s c h e m e , w h i l e i t inc o r p o r a t e s t h e v a r i a b l e o f conflict i n t h e d e p e n d e n t v a r i a b l e c o m plex, by implication places p o w e r on t h e i n d e p e n d e n t variable side of t h e c a u s a l e q u a t i o n .

T h e o r y o f Racial a n d E t h n i c G r o u p Relations

91

Let us t u r n now to a consideration of t h e m o r e importanl in d e p e n d e n t v a r i a b l e s r e l e v a n t f o r a g e n e r a l t h e o r y o f racial a n d e t h n i c g r o u p r e l a t i o n s . I n fact, w h a t I shall a t t e m p t t o d o i s t o m a k e a classification o f t h e t y p e s o f a p p r o p r i a t e v a r i a b l e s , list s o m e d i a l b e l o n g i n e a c h t y p e , a n d d i s c u s s o n e o r t w o f r o m e a c h list t h a t s e e m t o d e s e r v e p a r t i c u l a r a t t e n t i o n . F i n a l l y , o n t h e basis o f the f o r e g o i n g , I shall a t t e m p t t o i l l u s t r a t e t h e p o s s i b l e n a t u r e o f s u c h a g e n e r a l t h e o r v b y s u g g e s t i n g s e v e r a l h y p o t h e s e s a n d questions w h i c h w o u l d p r o p e r l y d e r i v e f r o m it. I w o u l d classify t h e r e l e v a n t i n d e p e n d e n t v a r i a b l e s u n d e r t h r e e rubrics: bio-social development variables, interaction process variables, a n d societal variables. Bio-social d e v e l o p m e n t v a r i a b l e s r e f e r t o t h o s e r e l a t i n g t o t h e b i o l o g i c a l o r g a n i s m w h i c h i s m a n , a n d t h e shaping o f t h a t b i o l o g i c a l o r g a n i s m , w i t h i n c o n c e i v a b l e limits, b y t h e social e n v i r o n m e n t in the process of attaining adulthood. Interaction p r o c e s s v a r i a b l e s r e f e r t o social p s y c h o l o g i c a l p r o c e s s e s o f i n t e r a c t i o n a m o n g a d u l t s , a n d societal v a r i a b l e s r e f e r t o collective s t r u c tures a n d p h e n o m e n a p e r t a i n i n g t o the d e m o g r a p h i c , ecological, institutional, valuational, cultural, a n d stratificational features of a society w h i c h a r e t h e s o c i o l o g i s t s ' s t o c k i n t r a d e a n d n e e d n o f u r ther definition h e r e . 8

Bio-social development variables. T h e b i o l o g i c a l o r g a n i s m of m a n c o n t a i n s c a p a c i t i e s , i n d e e d i m p e r a t i v e s , f o r a c t i n g o n t h r e e levels: t h e s a t i s f a c t i o n o f p h y s i o l o g i c a l d e s i r e s , c o g n i t i o n , a n d emotional o r a f f e c t i v e r e s p o n s e . T h i s b u n d l e o f i m p e r a t i v e s i s a c t e d u p o n by t h e social e n v i r o n m e n t i n t h e a t t e m p t t o effect a s o c i a l i z a t i o n w h i c h will allow t h e d e v e l o p e d p e r s o n t o f u n c t i o n w i t h i n t h e b o u n d s o f societal a n d s u b s o c i e t a l d e m a n d s . T h i s p r o c e s s , I b e l i e v e , i s rarely c o m p l e t e l y successful a n d t h e r e s u l t i n g t e n s i o n s a n d d y n a m i c s both m a k e a n d r e c o r d t h e r e l a t i o n o f m a n t o h i s social m i l i e u . In this o n g o i n g p r o c e s s t h e h u m a n o r g a n i s m d e v e l o p s a s e n s e o f sell Since society is constantly a n d , in my o p i n i o n , inevitably evaluative a n d v a l u e - g i v i n g , t h e p r o t e c t i o n o f t h e self, n o t o n l y i n t h e physical a n d p h y s i o l o g i c a l s e n s e , b u t a t least a s i m p o r t a n t l y , i n t h e social 8.

Obviously, interaction processes lake place a m o n g children and a d o l e s c e n t ,

a s w e l l . "The d i s t i n c t i o n m a d e h e r e i s f o r t h e p u r p o s e o f s e p a r a t i n g o u t t h e develo p m e n i a l s t a g e f r o m a later s t a g e .

Milton

92

M.

Gordon

psychological sense, becomes the d o m i n a t i n g t h e m e of personality d e v e l o p m e n t a n d h u m a n interaction. T h e capacities to be both coo p e r a t i v e a n d a g g r e s s i v e , a l t r u i s t i c a n d 'selfish, a r e all c o n t a i n e d w i t h i n t h i s f r a m e w o r k . T h e s i g n i f i c a n c e o f t h i s v i e w p o i n t f o r int e r g r o u p r e l a t i o n s i s t h a t t h e s e n s e o f e t h n i c i t y (in t h e l a r g e r d e f i n i tion of racial, religious, or national origins identification), b e c a u s e i t c a n n o t b e s h e d b y social m o b i l i t y , a s f o r i n s t a n c e social class b a c k g r o u n d c a n , s i n c e s o c i e t y insists o n its i n a l i e n a b l e a s c r i p t i o n f r o m c r a d l e to g r a v e , becomes incorporated into the self.

This process

would a p p e a r to account for the w i d e s p r e a d , p e r h a p s ubiquitous presence

of

ethnocentrism,

and

perhaps

even

more

crucially

m e a n s t h a t i n j u r y t o t h e e t h n i c g r o u p i s s e e n a s i n j u r y t o t h e self, a n d t h e i n t e n s i t y o f t h e p a s s i o n s e n g e n d e r e d b y e t h n i c conflict becomes threats

to

of a

magnitude

the

individual.

comparable 9

to

those

In other words,

man

engendered

by

defending the

h o n o r o r w e l f a r e o f his e t h n i c g r o u p i s m a n d e f e n d i n g h i m s e l f . A c o n s i d e r a t i o n o f t h e r o l e o f self i n t h e p r o c e s s o f bio-social d e v e l o p m e n t inevitably raises q u e s t i o n s a b o u t t h e c o n c e p t o f " h u m a n n a t u r e " a n d its p o t e n t i a l c o n n e c t i o n t o a t h e o r y o f r a c i a l a n d e t h n i c i n t e r g r o u p r e l a t i o n s . V i r t u a l l y s i n c e its i n c e p t i o n , t h e d i s c i p l i n e o f s o c i o l o g y , a t t e m p t i n g t o c a r v e o u t a d i s t i n c t f i e l d o f i n q u i r y f o r itself, r e a c t i n g a g a i n s t a n a i v e b i o l o g i c a l d e t e r m i n i s m t h a t h a d t r a d i tionally d o m i n a t e d

man's thinking about h u m a n

behavior, and,

later, rejecting the proliferating "instinct" theories of s o m e early p s y c h o l o g i s t s , h a s w i t h few e x c e p t i o n s r e s o l u t e l y t u r n e d its b a c k o n t h e q u e s t i o n o f h u m a n n a t u r e , a s s u m i n g implicitly o r e x p l i c i t l y e i t h e r t h a t m a n w a s infinitely p l a s t i c a n d m a l l e a b l e , a n d t h u s basically f o r m e d f o r b e t t e r o r w o r s e b y t h e p a r t i c u l a r social a n d c u l tural e n v i r o n m e n t in which he was socialized, or a l t e r n a t e l y , t h a t the question was not r e l e v a n t .

1 0

It has b e c o m e m o r e a n d m o r e a p p a r e n t , however, that the question of h u m a n n a t u r e is r e l e v a n t — t h a t it must be faced—since any 9 . S e e t h e r o l e o f e t h n o c e n t r i s m i n D o n a l d L. N o e l ' s p a p e r , " A T h e o r y o f t h e O r i g i n o f E t h n i c S t r a t i f i c a t i o n , " Social Problems,

16 (Fall 1 9 6 8 ) , 1 5 7 - 1 7 2 .

10. A n e a r l y critic o f a l l e g e d o v e r e m p h a s i s o n cultural c o n d i t i o n i n g i n t h e s o c i o l o g i c a l d i s c i p l i n e w a s A.

H.

H o b b s i n The Claims o f Sociology ( H a r r i s b u r g , P a . ,

T h e S t a c k p o l e C o . , 1951). See, particularly, his c h a p t e r 3 o n "Personality."

T h e o r y of Racial a n d E t h n i c G r o u p Relations

93

t h e o r y o f social a c t i o n m u s t i n e v i t a b l y d e a l w i t h t h e n a t u r e o f t h e social a c t o r , h o w e v e r f o r m e d ; a n d s o m e o b s e r v e r s , i n c l u d i n g m y self, h a v e b e c o m e i n c r e a s i n g l y s t r u c k b y t h e p e r s i s t e n t s i m i l a r i t i e s i n h u m a n b e h a v i o r across cultural lines a n d historical e p o c h s a n d have b e g u n t o w o n d e r w h e t h e r t h e r e a r e n o t biological constants o r p r o p e n s i t i e s i n h u m a n b e h a v i o r w h i c h fall s h o r t o f t h e " i n s t i n c t " category but which predispose the actor to certain kinds of behavior in a m o r e forceful fashion t h a n t h e t e n e t s of c o n v e n t i o n a l cultural d e t e r m i n i s m w o u l d allow. T h u s a p a i r o f c o n t e m p o r a r y a n thropologists

speak

of

a

biologically

programmed

"behavioral

i n f r a s t r u c t u r e o f h u m a n s o c i e t i e s , " a n d p o i n t o u t t h a t " T h i s view o f human behavior .

.

.

m a k e s t h e o r g a n i s m an active, searching, a n d

stubborn participant in the learning process, r a t h e r than just a receiver; it suggests t h a t t h e t e a c h e r is as m o v e d to teach in a cert a i n w a y a s t h e p u p i l i s t o l e a r n . T h e s l a t e [ t h e f a m i l i a r tabula rasa] h e r e i s n o t b l a n k a t all; i t i s d o i n g a lot o f its o w n w r i t i n g . "

1 1

A t least t w o i m p o r t a n t s o c i o l o g i c a l w o r k s o f t h e p a s t f e w y e a r s , i n w h i c h t h e a u t h o r s d e a l t w i t h s t a n d a r d t h e o r e t i c a l i s s u e s i n sociology, have r e c o g n i z e d the necessary link b e t w e e n t h e p r o b l e m s they were respectively d e a l i n g with a n d t h e q u e s t i o n o f h u m a n n a t u r e , Gerhard

Lenski

in Power and Privilege:

A

Theory

of Social Stratifi

cation i n t e g r a t e s i n his t h e o r y o f w h y social s t r a t i f i c a t i o n e x i s t s a n d a t w h a t m a g n i t u d e i t exists u n d e r v a r y i n g c o n d i t i o n s a v a r i e t y o f c u l t u r a l , social, a n d e n v i r o n m e n t a l v a r i a b l e s w i t h c e r t a i n p o s t u l a t e s or "constants" concerning man a n d society.

12

O n e o f these postu-

lates i s t h a t m a n i s p r e d o m i n a n t l y selfish o r s e l f - s e e k i n g w h e n i t comes to areas of choice of large i m p o r t a n c e to group.

1 3

h i m s e l f o r his

T h i s postulate plays a decisive p a r t in Lenski's t h e o r y ,

since h e c o n c e i v e s o f i t a s t h e m a j o r m o t i v a t i o n a l f o r c e i n t h e dif11.

L i o n e l T i g e r a n d R o b i n F o x , The Imperial Animal ( N e w Y o r k , H o l t , R i n e h a r t

a n d W i n s t o n , 1 9 7 1 ) , p p . 13, 15. 12.

N e w York, McGraw-Hill,

13. Lenski's e x a c t s t a t e m e n t

1966. reads as

follows:

"Thus,

when

one

surveys the

h u m a n s c e n e , o n e i s forced t o c o n c l u d e that w h e n m e n are c o n f r o n t e d with important decisions w h e r e they are o b l i g e d to c h o o s e b e t w e e n their o w n , or their group's,

interests

former—though

and often

the

interests

seeking to

of others,

hide

this

fact

they

nearly

from

(Power and Privilege, p. 3 0 ; p a r t l y i t a l i c i z e d in o r i g i n a l . )

always

themselves

choose and

the

others."

Milton

94

M.

Gordon

f e r e n t i a l a p p r o p r i a t i o n o f economic s u r p l u s w h i c h p r o d u c e s social stratification. Similarly, T a u s k y , in his analysis of m a j o r t h e o r e t i c a l p e r s p e c tives a b o u t t h e b e h a v i o r o f m e n i n w o r k o r g a n i z a t i o n s , c o m p a r e s t h e classical o r scientific m a n a g e m e n t t h e o r y o f F r e d e r i c T a y l o r , based on a conception of m a n as m o t i v a t e d by self-interest, with t h e " h u m a n relations perspective" which focuses the worker's m o tivation by m e a n s of affective r e l a t i o n s h i p s a n d "self-actualizing" o n o r g a n i z a t i o n a l goals, a n d himself o p t s for t h e " s t r u c t u r a l i s m p e r s p e c t i v e , " a s o m e w h a t i n t e r m e d i a t e view w h i c h , h e n o t e s , i s " c l o s e r t o t h a t o f scientific m a n a g e m e n t t h a n t o h u m a n r e l a t i o n s . " W h i c h view o n e t a k e s , T a u s k y p o i n t s o u t , i s p r e d i c a t e d t o a c o n s i d erable extent u p o n one's conception of h u m a n nature as either based primarily on self-interest a n d t h u s essentially indifferent to organizational needs, or the contrary. " T r y as I might," Tausky states, "I r e m a i n skeptical a b o u t h u m a n relations. R e s e a r c h which a t t e m p t s to validate the h u m a n relations perspective has not, in my j u d g m e n t , successfully clone so. L e t m e s t a t e b a l d l y t h e basis for m y skepticism. It is simply that I do not s h a r e the o p t i m i s m about h u m a n nature e m b e d d e d in h u m a n relations writings." 1 4

1 5

Any attempt to formulate a conception of h u m a n nature which c a n b e u s e d a s a p r i m a r y b u i l d i n g b l o c k i n a t h e o r y o f social a c t i o n m u s t deal n o t only with a selfish-altruistic d i m e n s i o n b u t also with t h e c r u c i a l a n d u b i q u i t o u s p h e n o m e n o n o f h u m a n a g g r e s s i o n . Psychoanalysts, psychiatrists, psychologists, a n d sociologists h a v e struggled with this issue for several g e n e r a t i o n s with indecisive results. S o m e see m a n a s basically n o n - a g g r e s s i v e b u t s e d u c e d i n t o a g g r e s sive b e h a v i o r b y c o r r u p t i n s t i t u t i o n s a n d d e f e c t i v e s o c i a l i z a t i o n . O t h e r s , following F r e u d , find aggression to be d e e p l y e m b e d d e d in the early d e v e l o p m e n t of the psyche as a result of incorporation into a " d e a t h wish" or t h r o u g h a relationship with sexuality. S o m e e t h o l o g i s t s p o s i t a specific i n s t i n c t f o r a g g r e s s i o n as a f u n c t i o n of m a n ' s c l o s e e v o l u t i o n a r y r e l a t i o n s h i p t o o t h e r a n i m a l s p e c i e s (this a s s u m e s , of c o u r s e , the p r e s e n c e of an instinct for a g g r e s s i o n in 14. C u r l

Tausky,

1970). 15.

I b i d . , p. \ iii.

Work

Organizations

(Itasca.

111.,

F.

E.

Peacock

Publishers,

T h e o r y o f Racial a n d Ethnic G r o u p Relations

95

t h e s e o t h e r s p e c i e s ) . Still o t h e r s , i n a t h e m a t i c d e v e l o p m e n t w h i c h g o e s b a c k t o t h e w o r k , a g e n e r a t i o n a g o , o f J o h n D o l l a r d , a n d also has

roots

in

Freudian

psychology,

consider

aggression

among

h u m a n b e i n g s t o b e a likely r e s p o n s e t o s i t u a t i o n s o f f r u s t r a t i o n . T h e theory of the origins of aggression in man, however, which I find m o s t p e r s u a s i v e a n d c o n g r u e n t w i t h m y o w n o b s e r v a t i o n s h a s recently b e e n brilliantly stated in a new b o o k by t h e psychiatrist Gregory Rochlin.1 closely

related

to

6

In a sense, Rochlin's formulation a p p e a r s to be the

frustration-aggression

theory

mentioned

above; however in Rochlin's h a n d the frustration-aggression mechanism is p u t i n t o a l a r g e r f r a m e w o r k with an o r g a n i z i n g p r i n c i p l e o f its o w n . Briefly s t a t e d , R o c h l i n ' s t h e s i s i s t h a t a g g r e s s i v e b e h a v i o r a m o n g h u m a n b e i n g s i s n o t i n s t i n c t i v e , b u t r a t h e r d e r i v e s f r o m t h e fact that m a n , unlike o t h e r a n i m a l species, has a distinct psychological c o n c e p t o f self; t h a t love o f t h e self, o r n a r c i s s i s m , i s t h e m o s t basic h u m a n f e e l i n g ; a n d t h a t i n j u r i e s o r t h r e a t s t o t h e self, w h i c h a r e o m n i p r e s e n t i n h u m a n life, e v o k e a g g r e s s i v e r e s p o n s e s . I n s h o r t , aggression is the inexorable response to continually embattled narcissism. " N e i t h e r m e t a p h o r n o r a m e r e label," writes R o c h l i n , " n a r cissism,

this

love

t h r o u g h which

o f self,

is

the

human

psychological

p r e s e r v i n g t h e self i s a s s u r e d .

process

In infancy, child

h o o d , m a t u r i t y a n d o l d a g e , t h e n e c e s s i t y o f p r o t e c t i n g t h e self may r e q u i r e all o u r c a p a b i l i t i e s . A n d , w h e n n a r c i s s i s m i s t h r e a t e n e d , w e are

h u m i l i a t e d , our self-esteem

is injured,

a n d aggression

appears."

17

A n d in a m o r e rhetorical vein he declares: T h e compelling imperative for self-preservation is self-love. It e x presses itself in an endless lust for a r e w a r d i n g image of oneself, w h e t h e r that image is seen in a glass or in a n o t h e r ' s eye. T h e f u r t h e r passion for praise, h o n o r a n d glory makes for an endless m a r a t h o n . W e e n t e r it remarkably early in o u r existence a n d leave it only when we e x p i r e . S e l l love . . . is a g o v e r n i n g tyrannical principle of h u m a n e x p e r i e n c e , to which aggression r e s p o n d s as a b o n d e d s e r v a n t . 18

16. Man's Aggression: 17.

The Defense of the Self ( B o s t o n , G a m b i t ,

1973).

I b i d . , p. 1. I t a l i c s as in o r i g i n a l .

18. Ibid. R o c h l i n . like m o s t social scientists, a c k n o w l e d g e s that h u m a n a g g r e s s i o n is n o t a l w a y s d e s t r u c t i v e — t h a t , in f a c t , it c a n p l a y a c r e a t i v e r o l e in s o c i e t a l af-

96

Milton

M.

Gordon

A n o t h e r area of h u m a n functioning, as we h a v e m e n t i o n e d before, is the cognitive o n e . While emotional t e n d e n c i e s a n d predisp o s i t i o n s m a y well b e o f g r e a t e r ^ i m p o r t a n c e i n t h e f o r m a t i o n o f r a c i a l a n d e t h n i c p r e j u d i c e , still i t w o u l d a p p e a r t h a t t h e ability t o avoid stereotyping by noting distinctions a m o n g p e o p l e in an outg r o u p , to discern connections between historico-cultural experience and g r o u p behavior, to think of groups in terms of the distribution of individuals along the normal or bell-shaped curve, to imagine the functional value of cultural diversity, to foresee t h e disfunct i o n a l c o n s e q u e n c e s o f u n c h e c k e d a n d e x a c e r b a t e d c o n f l i c t — a r e all characteristics r e l a t e d in s o m e m e a s u r e to level of intellectual funct i o n i n g . W e s h o u l d all like t o b e l i e v e t h a t t h e g e n e r a l o r a v e r a g e level o f h u m a n i n t e l l e c t u a l c a p a c i t y i s q u i t e s u f f i c i e n t t o e n c o m p a s s all t h e s e t a s k s ; b u t t h e d o m i n a n t r o l e o f r a c i s m a n d i n t e r g r o u p conflict i n t h e W e s t e r n w o r l d i n t h e s e v e r a l c e n t u r i e s u s h e r e d i n b y t h e E n l i g h t e n m e n t s h o u l d give u s a t least s o m e p a u s e b e f o r e m a k i n g this a s s u m p t i o n w i t h e x t r e m e c o n f i d e n c e . T o h y p o t h e s i z e o r t o a s s e r t a s p o s t u l a t e s t h a t m a n i s basically selfish, narcissistic a n d p e r p e t u a l l y p o i s e d o n t h e e d g e o f a g g r e s sion, a n d intellectually s o m e w h a t w a n t i n g , is not, of c o u r s e , to p r o v e t h e s e c o n c e p t i o n s o f t h e h u m a n c o n d i t i o n . N u m e r o u s illust r a t i v e e x a m p l e s i n life, l i t e r a t u r e , a n d h i s t o r y c a n b e q u i c k l y a d d u c e d , but so can s o m e e x a m p l e s on t h e o t h e r side. We a r e clearly d e a l i n g h e r e w i t h m a t t e r s o f statistical f r e q u e n c y , c e n t r a l t e n d e n c y , m o r e o r less, m o s t l y o r p a r t l y , d i f f e r e n c e s o f d e g r e e , a n d s o o n . M o r e o v e r , as I h a v e m e n t i o n e d b e f o r e , t h e r e a r e socializing forces a n d i n s t i t u t i o n s i n society w h i c h b e g i n t h e p r o c e s s o f c o n t r o l l i n g , t a m i n g , a n d s h a p i n g m a n from t h e d a y o f his b i r t h o n w a r d d e s i g n e d t o p r e d i s p o s e h i m t o d i s p l a y c o o p e r a t i o n , a l t r u i s m , a n d socially b e n e f i c i a l b e h a v i o r t o w a r d his fellow h u m a n b e i n g s a n d t o develop attitudes of sympathy, concern, a n d responsibility which w o u l d m a k e s u c h b e h a v i o r a f u n c t i o n o f i n t e r n a l a t t i t u d e s a s well as external sanctions. Even here, however, o n e m u s t reckon with c e r t a i n c a p a c i t i e s o f t h e i n d i v i d u a l , classically i d e n t i f i e d i n t h e psyc h o l o g i c a l l i t e r a t u r e , for ( a m o n g o t h e r s ) r a t i o n a l i z a t i o n , selffairs. N e v e r t h e l e s s , i t i s t h e d e s t r u c t i v e a s p e c t s o f a g g r e s s i o n w h i c h o c c u p y m o s t o f his a t t e n t i o n .

T h e o r y of Racial a n d E t h n i c G r o u p Relations

d e l u s i o n , s e l e c t i v e p e r c e p t i o n , a n d h y s t e r i c a l r e p r e s s i o n , which allow, in F r e u d i a n t e r m s , t h e id to outwit t h e s u p e r e g o while ostensibly a c c e p t i n g t h e socially c e r t i f i e d c o m f o r t o f t h e l a t t e r ' s h e g e mony. In any event, the process is a dialectic o n e . W h e r e to categorize t h e p r e s u m e d statistical r e s u l t d e t e r m i n e s o n e ' s j u d g m e n t about the character of the individual actor whose multiple interactions m a k e u p t h e social p r o c e s s . U n f o u n d e d o p t i m i s m i n t h i s m a t t e r will d o n o s e r v i c e f o r t h e c a u s e o f i m p r o v e d i n t e r g r o u p r e l a t i o n s a n d will i n h i b i t t h e scientific u n d e r s t a n d i n g o n w h i c h t r u e a n d lasti n g p r o g r e s s m u s t b e b a s e d . T o t a l p e s s i m i s m w o u l d f o r e c l o s e all actions d e s i g n e d to alleviate racial a n d e t h n i c t e n s i o n s , a n d s e e m s to m e also u n j u s t i f i e d a s a scientific j u d g m e n t . I t i s m y v i e w , h o w e v e r , t h a t t h e c o n c e p t i o n o f m a n a s basically m o t i v a t e d b y s e l f - i n t e r e s t , i r r e s i s t i b l y n a r c i s s i s t i c a n d p r o t e c t i v e o f t h e self, r e a d y t o d e f e n d t h e self b y a g g r e s s i v e b e h a v i o r ( h o w e v e r d e f i n e d a n d h o w e v e r circumscribed), a n d possessed of not unlimited intellectual capacity, is a m o r e plausible portrait of the h u m a n being t h a n any others which h a v e a s yet b e e n a d v a n c e d . W h e n w e a d d t o this c o n c e p t i o n o f t h e r e s o l u t e d e f e n d e r o f t h e self a n d t h e v i g i l a n t w a t c h e r o v e r its well-being the hypothesis which I stated earlier—namely, that the s e n s e o f e t h n i c i t y , b y v i r t u e o f its t o t a l l y a s c r i p t i v e n a t u r e , b e c o m e s i n c o r p o r a t e d into the self—we a r e t h e n r e a d y to insert into a theory o f racial a n d e t h n i c c o n t a c t t h e a c t o r w h o , w i t h his fellow a c t o r s , i s a t o n e t i m e p a r t o f t h e c a u s e a n d a t a n o t h e r t i m e , o r p e r h a p s sim u l t a n e o u s l y , p a r t of t h e effect in t h e e v e r r e c u r r e n t d r a m a of in t e r g r o u p relations. Interaction process variables. T h o s e t h a t s e e m p a r t i c u l a r l y i m p o i tant with r e g a r d to i n t e r g r o u p relations would i n c l u d e stereotyping, which stems from w h a t w o u l d a p p e a r to be r a t h e r w i d e s p r e a d c o g n i t i v e i n a d e q u a c i e s r e i n f o r c e d b y a f f e c t i v e t e n d e n c i e s a n d lack of equal-status primary g r o u p contact between g r o u p s ; frustrationa g g r e s s i o n m e c h a n i s m s i n w h i c h a g g r e s s i o n i s easily p r o d u c e d b y f r u s t r a t i o n a n d d i r e c t e d , d e p e n d i n g u p o n accessibility, e i t h e r t o w a r d t h e p e r c e i v e d s o u r c e o r t o w a r d s c a p e g o a t s ; felt d i s s a t i s f a c t i o n p h e n o m e n a b a s e d o n t h e m e c h a n i s m s o f r e l a t i v e d e p r i v a t i o n , risi n g e x p e c t a t i o n s , s t a t u s i n c o n s i s t e n c y , a n d c o g n i t i v e d i s s o n a n c e (it

98

Milton

M.

Gordon

is this cluster which has b e e n most successfully a d d u c e d to d a t e to e x p l a i n t h e rise o f t h e N e g r o P r o t e s t ^ n d B l a c k P o w e r m o v e m e n t i n t h e late 1 9 6 0 s ) ; calculation of success c h a n c e s in goal-attainm e n t based o n conflict—an intellectual o r cognitive p h e n o m e n o n w h i c h i s n o t u n a f f e c t e d b y e m o t i o n a l c o n s i d e r a t i o n s b u t w h i c h also operates in the context of estimation of the a m o u n t a n d kind of res t r a i n t o r p u n i t i v e f o r c e s w h i c h a r e likely t o b e b r o u g h t t o b e a r ; a n d , finally, a process which a p p e a r s to me to be well-nigh universal i n h u m a n i n t e r a c t i o n , n a m e l y , t h a t o f conflict e s c a l a t i o n — t h e t e n d e n c y f o r p a r t i e s i n conflict t o r e a c t t o e a c h o t h e r ' s t h r e a t s a n d r e p r i s a l s b y e s c a l a t i n g t h e level o f a g g r e s s i o n , p u n i s h m e n t , a n d revenge unless checked by either overwhelming power, exhaustion, or conflict-reducing mechanisms which we at present know too little a b o u t . 1 9

2 0

Stereotyping a n d the frustration-aggression dynamic have received c o n s i d e r a b l e a t t e n t i o n in t h e sociological a n d psychological literature on i n t e r g r o u p relations. I t i s t h e last t h r e e p r o c e s s e s : felt d i s s a t i s f a c t i o n p h e n o m e n a , c a l c u l a t i o n of s u c c e s s c h a n c e s , a n d conflict e s c a l a t i o n — a n d p a r t i c u l a r l y t h e i r i n t e r r e l a t i o n s h i p s — w h i c h I s h o u l d like t o e x p l o r e i n g r e a t e r d e t a i l i n this c h a p t e r . 2 1

19. S e e t h e e x c e l l e n t a n d g r o u n d b r e a k i n g d i s c u s s i o n o f t h e s e p h e n o m e n a i n James A. G e s c h w e n d e r , "Explorations in t h e T h e o r y of Social

Movements and

R e v o l u t i o n s , " Social Fones, 4 7 ( D e c e m b e r 1 9 6 8 ) , 1 2 7 - 1 3 5 . 2 0 . S e e Lewis C o s e r ' s c o m m e n t that "In t h e state o f n a t u r e , t o use H o b b e s i a n t e r m i n o l o g y , conflict, w h e t h e r it be w a g e d for gain, for safety, or for glory, 'ceaseth only in death.'

H o b b e s ' philosophical vision can be translated into m o d e r n

sociological t e r m i n o l o g y w h e n w e n o t e that social conflicts t e n d t o c o n t i n u e o r to e s c a l a t e , a n d t o e n d w i t h t h e total d e s t r u c t i o n o f a t l e a s t o n e o f t h e a n t a g o n i s t s , w h e n u n c h e c k e d by societal regulation a n d by d e l i b e r a t e actions of t h e c o n t e n d ers. Social s t r u c t u r e s always c o n t a i n o r c r e a t e m e c h a n i s m s that h e l p c o n t r o l a n d channel conflicts t h r o u g h n o r m a t i v e regulation. Vet the d e g r e e to which conflicts a r e so r e g u l a t e d v a r i e s c o n s i d e r a b l y . " Continuities in the Study of Social Conflict ( N e w Vork, T h e Free Press, 1967), p. 37. T h e r e is a g r o w i n g a n d i n t e r e s t i n g literature that e m b r a c e s conflict escalation from the point of view of g a m e theory a n d / o r the analysis of war and international relations.

See,

for e x a m p l e ,

Herman

K a h n , O n Escalation

(New

Vork,

Praeger,

1 9 6 5 ) ; T h o m a s C . S c h e l l i n g , The Strategy o f Conflict ( C a m b r i d g e , H a r v a r d U n i v e r sity P r e s s , Books, 21.

1 9 6 0 ) ; a n d A m i t a i E t z i o n i , The Hard Way to Peace ( N e w V o r k , C o l l i e r

1962). For a

classic s t a t e m e n t ,

(Cambridge, Addison-Wesley,

see

1954).

Gordon

W.

A l l p o r t , The Nature of Prejudice

T h e o r y of Racial a n d E t h n i c G r o u p Relations

99

2 2

Man is a p p a r e n t l y a n d irretrievably a c o m p a r e r . T h a t is, h e m a k e s j u d g m e n t s a b o u t his o w n n e e d s a n d t h e i r satisfaction n o t o n l y o n t h e basis o f a b s o l u t e c r i t e r i a — I a m h u n g r y ; I a m f e d a n d t h u s s a t i s f i e d — b u t o n t h e basis o f c o m p a r i s o n s w i t h o t h e r s — h e i s b e t t e r fed t h a n I ; o r I a m b e t t e r fed t h a n h e . T h i s m e c h a n i s m a p p l i e s , o f c o u r s e , n o t o n l y t o m a t e r i a l s a t i s f a c t i o n s , b u t also t o s t a t u s issues w h e r e t h e r a n g e o f p o s s i b l e p o s i t i o n s i s v i r t u a l l y limitless. T h e p o i n t s o f r e f e r e n c e i n t h i s e n d l e s s p r o c e s s m a y b e n o t o n l y t h e i n d i v i d u a l a n d o t h e r i n d i v i d u a l s , b u t his g r o u p o r g r o u p s a n d o t h e r g r o u p s . Empirically, the individual a n d g r o u p referents a r e likely t o b e c o m e i n e x t r i c a b l y i n t e r t w i n e d . T h u s t h e i n d i v i d u a l i s p o t e n t i a l l y i n t h e s i t u a t i o n o f c o m p a r i n g t h e m a t e r i a l o r s t a t u s posit i o n o f h i m s e l f a n d his e t h n i c g r o u p w i t h t h e m a t e r i a l a n d s t a t u s a c h i e v e m e n t s o f m e m b e r s o f o t h e r e t h n i c g r o u p s a n d o f t h e other ethnic g r o u p s as entities. W i t h t h e i s s u e p o s e d i n this way, t h e q u e s t i o n w e n e e d t o a s k i s why such endless invidious c o m p a r i s o n s a n d their implicit strivings d o n o t p r o d u c e a level o f conflict a m o n g i n d i v i d u a l s a n d g r o u p s which b u r s t s t h e b o n d s o f societies a s u n d e r . T h e a n s w e r , i t s e e m s t o m e , i s t h a t t h e t r a n s m u t i n g o f felt d i s s a t i s f a c t i o n i n t o conflict d e p e n d s on t h r e e o t h e r factors, t w o of which play a s t r o n g r o l e in d e t e r m i n i n g t h e level o f felt d i s s a t i s f a c t i o n itself, a n d t h e t h i r d o f w h i c h p o w e r f u l l y d e t e r m i n e s w h e t h e r felt d i s s a t i s f a c t i o n will a c t u ally t u r n i n t o o v e r t conflict. L e t u s e x a m i n e t h e s e s t a g e s i n t h e p r o cess serially. T h e t w o f a c t o r s w h i c h p r o d u c e t h e level o f felt d i s s a t i s f a c t i o n itself a r e t h e v a l u e s y s t e m , a n d t h e a t t e n d a n t i d e o l o g i e s , o f t h e r e spective c o m p a r i n g individuals o r g r o u p s a n d t h e actual n a t u r e o r profile o f t h e r e w a r d s y s t e m . E v e n t h e s e t w o f a c t o r s i n t e r a c t w i t h each o t h e r in m y r i a d ways, since t h e values a n d ideologies c o n c e r n i n g t h e j u s t d i s t r i b u t i o n o f r e w a r d s will i n f l u e n c e f e e l i n g s a b o u t t h e reward system, w h a t e v e r it may be. An individual in a low economic a n d status position in a caste or estate f o r m of society may a c c e p t his p o s i t i o n w i t h e q u a n i m i t y a s f o r e o r d a i n e d b y t h e g o d s o r 22.

S e e R o b e r t K. M e r t o n , c h a p s . 8 a n d 9 o n r e f e r e n c e g r o u p b e h a v i o r i n Social

Theory and Social Structure ( G l e n c o e , T h e F r e e P r e s s , collaboration with A l i c e S. Rossi.)

1 9 5 7 ) . ( C h a p . 8 w a s w r i t t e n in

100

Milton

M.

Gordon

t h e d i v i n i t y . O r o n e i n a n o p e n class s o c i e t y m a y b e l i e v e t h a t h e h a s a s t u r d y c h a n c e for u p w a r d mobility if he i s % i d u s t r i o u s a n d thrifty o r a c q u i r e s t h e r e q u i s i t e e d u c a t i o n a l skills. I n t h e s e t w o i n s t a n c e s felt d i s s a t i s f a c t i o n is k e p t at a low level by a c c e p t a n c e of t h e p r e v a i l i n g i d e o l o g y b y all p a r t i e s . A n d i n t h e l a t t e r c a s e w h e r e t h e r e w a r d system actually provides p e r c e i v e d cases of u p w a r d mobility, this p e r c e p t i o n a d d s t o t h e f o r c e s w h i c h m i n i m i z e felt d i s s a t i s f a c t i o n . T r a n s l a t e d into g r o u p t e r m s , a s u p p r e s s e d e t h n i c g r o u p in a racist society w h i c h a c c e p t e d t h e u s u a l l y p r e v a l e n t i d e o l o g y i n s u c h a s o ciety w h i c h s t i g m a t i z e d i t a s i n f e r i o r w o u l d c o n c e i v a b l y h a v e a low d e g r e e of dissatisfaction (scholars a r e c o m i n g to q u e s t i o n the actual substantive existence of such acceptance historically, b u t h e r e we a r e for t h e m o m e n t c o n c e r n e d with t h e o r e t i c a l possibilities in a m o d e l ) , or a s u p p r e s s e d e t h n i c g r o u p in a s o m e w h a t o p e n society with substantial u p w a r d mobility o p p o r t u n i t i e s which in practice w e r e c o n t i n u a l l y b e i n g e x e r c i s e d b y m e m b e r s o f all g r o u p s w o u l d p r e s u m a b l y also h a v e r e l a t i v e l y low r a t e s o f d i s s a t i s f a c t i o n . If the value systems of the respective individuals a n d g r o u p s do not simultaneously legitimate the given r e w a r d s system, however, o r i f t h e r e w a r d s s y s t e m i s s o e x t r e m e i n its m a n i f e s t a t i o n s o f i n equality that any value consensus would be continually t h w a r t e d by t h e s h e e r p r e s s u r e o f lack o f s a t i s f a c t i o n o f h u m a n n e e d s a t a b e a r a b l e level, t h e n t h e t h i r d f a c t o r , i f p r e s e n t i n t h e s i t u a t i o n , will c o m e i n t o play t o r e d u c e o v e r t conflict; t h a t f a c t o r i s t h e s y s t e m o f perceived sanctions based on force or p o w e r a i m e d at s u p p r e s s i n g revolt, t h r e a t e n i n g physical attacks on the system, d i s r u p t i v e d e m o n s t r a t i o n s , a n d s o o n . I n o t h e r w o r d s , t h e r e is, t o u s e m y p r e viously s u g g e s t e d p h r a s e , a "calculation of success c h a n c e s " p r i o r to t h e p r o j e c t e d a c t i o n w h i c h will play a p o w e r f u l r o l e i n d e t e r m i n i n g w h e t h e r t h e a c t i o n will, i n fact, b e u n d e r t a k e n . T h e e n t i r e p r o c e s s of c o m b i n i n g value i m p e t u s with a j u d g m e n t of t h e probability of carrying out the action without incurring prohibitive p u n i s h m e n t is s o m e w h a t similar to the concept of t h e " d y n a m i c assessment" imm e d i a t e l y p r i o r to t h e initiation of action w h i c h was a d v a n c e d by M a c l v e r a g e n e r a t i o n a g o i n his a n a l y s i s o f a c t i o n a n d c a u s a l i t y . 2 3

23.

R . M . M a c l v e r , Social Causation ( B o s t o n , G i n n a n d C o . , 1 9 4 2 ) . S e e p a r t i c u -

l a r l y c h a p s . 11 a n d 1 2 .

T h e o r y of Racial a n d Ethnic G r o u p Relations

101

T h e r e is a p r o n o u n c e d t e n d e n c y in r e c e n t sociological writings to minimize the role of perceived sanctions in h u m a n action a n d to conceive of the h u m a n actor as r e s p o n d i n g largely to valuations, ideology, a n d e m o t i o n a l forces in actualizing behavior. While these f o r c e s c l e a r l y d o m a k e u p a s i g n i f i c a n t p o r t i o n o f t h e f i e l d of s t i m uli w h i c h p r o p e l b e h a v i o r a l r e s p o n s e s , g i v e n t h e p e r p e t u a l t e n s i o n b e t w e e n h u m a n desires a n d societal r e s t r a i n t s , it s e e m s illusory to me to ignore the i m p o r t a n t role which perceived p o w e r sanctions play in g o v e r n i n g t h e passions of m e n .

2 4

T h i s formula applies, I

b e l i e v e , b o t h a t t h e m i c r o level o f i n d i v i d u a l a c t i o n a n d t h e m a c r o level o f g r o u p a c t i o n . I t i s c e r t a i n l y t r u e t h a t b o t h i n d i v i d u a l s a n d g r o u p s m a y a t t i m e s u n d e r s i t u a t i o n s o f e x t r e m e s t r e s s act v i o l e n t l y or disruptively to relieve their a n g e r or frustrations, or their sense o f b e i n g u n f a i r l y t r e a t e d , r e g a r d l e s s of p e r c e i v e d p r o b a b l e c o n s e q u e n c e s . B u t o u r h y p o t h e s i s i s t h a t , statistically s p e a k i n g , p e r c e i v e d p o w e r s a n c t i o n s s u b s t a n t i a l l y r e d u c e t h e level o f o v e r t v i o l e n t c o n flict b e t w e e n c o m p e t i n g o r p o t e n t i a l l y c o n f l i c t i n g i n d i v i d u a l s a n d g r o u p s . It s h o u l d go w i t h o u t saying t h a t this is a sociological statem e n t , not a value j u d g m e n t b e a r i n g on the question of the desirability o r u n d e s i r a b i l i t y o f u s i n g v i o l e n c e o r d i s r u p t i o n t o r e d r e s s grievances u n d e r particular circumstances. T h e attempt here is to suggest a processual m o d e l of h u m a n b e h a v i o r which actually has application to both micro and macro situations of h u m a n contact a n d t o m a n y f i e l d s b e s i d e s t h a t of racial a n d e t h n i c r e l a t i o n s . I f conflict d o e s e r u p t b e t w e e n c o n t e n d i n g i n d i v i d u a l s o r g r o u p s , i t h a s a d i s t i n c t t e n d e n c y t o e s c a l a t e , all o t h e r t h i n g s b e i n g e q u a l . T h i s p r o p o s i t i o n follows f r o m o u r d i s c u s s i o n o f t h e o v e r r i d i n g n a ture of the propensity to defend the self—and the ethnic g r o u p w h i c h b e c o m e s i n c o r p o r a t e d i n t o t h e self. C o n f l i c t , v i r t u a l l y b y definition, is viewed, usually quite correctly, by each of the c o n t e n d i n g p a r t i e s as e i t h e r a p h y s i c a l a t t a c k on t h e self, a t h r e a t of p h y s i c a l att a c k o n t h e self, o r a p s y c h o l o g i c a l a t t a c k o n t h e self. T h e e m o tional a n g e r e n g e n d e r e d by this attack s y n d r o m e dictates a c o u n 24.

T h e s e s a n c t i o n s m a y , o f c o u r s e , b e e i t h e r legal o r illegal. For a n i m p o r t a n t

recent and m o r e extensive statement of a similar viewpoint, see William J. G o o d e , " T h e P l a c e o f F o r c e i n H u m a n S o c i e t y . " American Sociological Review, ber 1972), 5 0 7 - 5 1 9 .

37.5 (Octo-

102

Milton

M.

Gordon

t e r a t t a c k of s o m e k i n d , w h i c h i s t h e n v i e w e d b y * t h e o t h e r o f t h e c o n t e n d i n g p a r t i e s a s a n a t t a c k o n his s e n s e of s e l f h o o d . T h i s first p a r t y will t h e n r e a t t a c k w i t h e v e n g r e a t e r v e h e m e n c e . A n d s o t h e e s c a l a t i o n o f conflict p r o c e e d s . I f e s c a l a t i n g conflict i s n o t t o r e a c h the point of annihilation of one or both of the contending parties, some conflict-reducing mechanism or mechanisms must be b r o u g h t into play. S u c h m e c h a n i s m s consist of institutional a r r a n g e m e n t s s u p p o r t e d b y societal p o w e r f o r t h e r e s o l u t i o n o f c e r t a i n k i n d s o f conflict—for i n s t a n c e , legal a d j u d i c a t i o n , a r b i t r a t i o n , decision by t h e r u l e s , s o t o s p e a k ( b u t t h e r u l e s s u p p o r t e d b y a u t h o r i t y , o r legal p o w e r ) , i n t e r n a l c o n t r o l s i n t h e p e r s o n a l i t y i m p l a n t e d b y t h e socialization process, or by t h e signalized retreat or submission, h o w e v e r t e m p o r a r y , o f o n e o f t h e c o n t e s t i n g p a r t i e s i n t h e face o f p o w e r "calculated" to be

for t h e t i m e b e i n g i n s u r m o u n t a b l e a n d e v e n

m o r e t h r e a t e n i n g t o t h e self, p h y s i c a l l y o r p s y c h o l o g i c a l l y , t h a n c o n t i n u a n c e o f t h e conflict. I n t h e c a s e o f d i s a d v a n t a g e d e t h n i c g r o u p s i n a g i v e n society, u n d e r s t a n d a b l y d i s s a t i s f i e d w i t h t h e i r d i s a d v a n t a g e d p o s i t i o n , if t h e y can c o u n t on a favorable ideological climate a n d o p e r a t e t h r o u g h legitimated p a r l i a m e n t a r y c h a n n e l s to press their claims for an e n d t o d i s c r i m i n a t i o n a n d p r e j u d i c e a n d for special p r o g r a m s o f aid t o effect t h e i r n o r m a l d i s t r i b u t i o n i n t o t h e e c o n o m i c a n d political ins t i t u t i o n s o f t h e s o c i e t y , t h e e r u p t i o n o f o v e r t p o w e r conflict w i t h its e s c a l a t i n g t e n d e n c i e s c a n p r o b a b l y b e a v o i d e d . I f t h e d o m i n a n t tendency in

ethnic

relations

becomes an

overt

power struggle,

h o w e v e r , t h e escalating t e n d e n c i e s in s u c h a struggle project a p r e c a r i o u s f u t u r e — o n e i n which the costs a r e u n k n o w n a n d t h e benefits u n c e r t a i n . Societal graphic

variables.

These

phenomena

variables

such

as

include

absolute

a

cluster

size o f t h e

of

demo-

majority

and

m i n o r i t y g r o u p s , t h e i r r e l a t i v e size, a n d t h e i r c o m p a r a t i v e r a t e s o f n a t u r a l i n c r e a s e . I n c l u d e d i n this g r o u p a r e a l s o t e r r i t o r i a l d i s p e r s i o n a n d c o n c e n t r a t i o n of m i n o r i t y g r o u p s b y r e g i o n , r u r a l - u r b a n r e s i d e n c e , a n d section of city.

25

A n o t h e r c l u s t e r o f societal v a r i a b l e s

2 5 . S e e , f o r i n s t a n c e , K a r l E . T a e u b e r a n d A l m a F . T a e u b e r . Negroes i n Cities (Chicago, Aldine Publishing Co., dential Segregation on

Ethnic

1965); Stanley L i e b e r s o n . " T h e I m p a c t of ResiA s s i m i l a t i o n , " Social Forces,

40

(October

1961),

T h e o r y o f Racial a n d

Ethnic G r o u p Relations

103

consists o f value c o n s e n s u s o r dissensus b e t w e e n t h e majority a n d minority

groups

and

specifies

the

particular

areas

where

such

c o n s e n s u s o r dissensus exists. T h i s cluster has a l r e a d y b e e n e x a m i n e d in c o n n e c t i o n w i t h its r o l e in felt d i s s a t i s f a c t i o n p h e n o m e n a . Still a third g r o u p of variables is m a d e up of cultural differences between the majority a n d contact.

m i n o r i t y g r o u p s e x i s t i n g a t t h e t i m e o f initial

For instance, differences in language or religion which

existed at the

time of first meeting p r e s u m a b l y would

have a

cumulative influence on the e x t e n t of cultural assimilation conceptualized as a d e p e n d e n t variable at the time of study. A fourth variable is t h e n a t u r e of ideologies a b o u t racial, religious, a n d ethnic groups present in the general population a n d concerns the degree of e q u a l i t a r i a n i s m a n d h u m a n i t a r i a n i s m p r e s e n t in these ideological s y s t e m s a n d also t h e d e g r e e a n d t y p e o f a s s i m i l a t i o n o r p l u r a l i s m desired.

A

fifth

major g r o u p of variables devolves a r o u n d

the

distribution of power between majority a n d minority g r o u p s . T h e d i s t r i b u t i o n o f c o m p e t i t i v e p o w e r , political p o w e r , a n d d i s r u p t i v e p o w e r q u i t e c l e a r l y affects t h e o u t c o m e o f o u r d e s i g n a t e d d e p e n d e n t variable profile. H e r e , however, the analysis b e c o m e s even m o r e c o m p l e x , since the mobilization of p o w e r r e s o u r c e s d o e s not o p e r a t e in a structural vacuum but d e p e n d s on the perception of threatened restraints,

punishment, and application of countervailing

power

which h e l p to m a k e up what m i g h t be called " t h e field of p o w e r vectors." Frustration a n d perceived n e e d provide the motive power for action t o w a r d d e s i r e d goals, b u t such action, as I h a v e p o i n t e d out, also h a s a c o g n i t i v e c o m p o n e n t o f e s t i m a t i o n o f t h e p r o b a b l e d e g r e e of negative sanctions. S i x t h , t h e d e g r e e o f access t o societal

r e w a r d s (the equality-

i n e q u a l i t y d i m e n s i o n ) a v a i l a b l e t o t h e m i n o r i t y e t h n i c g r o u p affects t h e d e g r e e o f felt d i s s a t i s f a c t i o n o f t h e g r o u p a n d t h u s affects t h e d y n a m i c s o f social c h a n g e w h i c h d e t e r m i n e t h e - o u t c o m e a t a n y given time. T h a t this variable t h u s a p p e a r s o n b o t h t h e d e p e n d e n t a n d i n d e p e n d e n t variable sides o f t h e causal c h a i n s h o u l d p r o d u c e no g r e a t m e t h o d o l o g i c a l d i s q u i e t u d e , since this simply attests to t h e 5 2 - 5 7 ; a n d W. C l a r k R o o f , " R e s i d e n t i a l S e g r e g a t i o n o f B l a c k s a n d Racial I n e q u a l ity i n S o u t h e r n C i t i e s ; T o w a r d a C a u s a l M o d e l , " Social Problems, 1 9 ( W i n t e r 1 9 7 2 ) , 393-407.

Milton

104

M.

Gordon nfe.

c o n s t a n t feedback a n d interaction effects of factors in societal p r o cesses. S e v e n t h , t h e political n a t u r e o f t h e society with r e g a r d t o t h e d e m o c r a t i c - t o t a l i t a r i a n scale o r d i m e n s i o n s h o u l d b e r e c o g n i z e d a s a n i m p o r t a n t variable for o u t c o m e s i n i n t e r g r o u p r e l a t i o n s . T h i s v a r i a b l e i n t e r a c t s w i t h t h e p o w e r v a r i a b l e , s i n c e its p o s i t i o n d e t e r mines w h e t h e r ideological a n d value positions a n d their behavioral implications for ethnic g r o u p relations can be fought o u t in the legislative a n d p u b l i c o p i n i o n a r e n a s b y c o n c e r n e d c i t i z e n s ' g r o u p s , or w h e t h e r such decisions a r e m a d e by a small g r o u p of rulers at the top a n d handed down and enforced by the concentrated power of g o v e r n m e n t a l control in the h a n d s of t h e totalitarian state. 2 6

I have already discussed the "distribution of p o w e r " variable at s e v e r a l p o i n t s a n d n o t e d its u s e f u l c a t e g o r i z a t i o n i n t o c o m p e t i t i v e , political, a n d d i s r u p t i v e s u b t y p e s . A n o t h e r d i m e n s i o n o f p o w e r which it is necessary to isolate a n d subclassify, with r e g a r d to t h e ethnic g r o u p context, is whether the power of the g r o u p , whatever its d e g r e e , c o m e s e x c l u s i v e l y f r o m i n s i d e t h e s o c i e t y i n w h i c h i t i s l o c a t e d ( e i t h e r f r o m its o w n p o w e r b a s e o r w i t h i n t e r n a l allies), o r w h e t h e r its p o w e r i s a u g m e n t e d b y allies f r o m o u t s i d e t h e s o v e r e i g n h o s t society. M a n y o r m o s t e t h n i c g r o u p s w i t h i n a g i v e n socie t y o r s t a t e h a v e a n c e s t r a l ties o f l a n g u a g e , r e l i g i o n , r a c e , o r n a tional origins with s o m e o t h e r s o v e r e i g n state. If t h e ancestral sovereign state is militarily p o w e r f u l , or h a s strategic interests or ideology in c o m m o n with t h e host s o v e r e i g n society, t h e latter m a y be constrained to attenuate or eliminate discriminatory measures a g a i n s t t h e m i n o r i t y e t h n i c g r o u p w i t h i n its b o r d e r s . I n o t h e r words, ethnic g r o u p relations in the m o d e r n interconnected world o p e r a t e w i t h i n a n i n t e r n a t i o n a l a s well a s a n i n t e r n a l c o n t e x t ( u n d e r c o n d i t i o n s o f a c t u a l i n t e r n a t i o n a l c o n f l i c t — t h a t is, w a r — t h i s fact c a n o p e r a t e , o f c o u r s e , t o h i n d e r a s well a s h e l p a g i v e n m i n o r i t y — i n this case o n e w h i c h is ancestrally d e r i v e d f r o m the n o w defined "enemy"). We may thus distinguish between "inside power" derived from the minority's o w n p o w e r position plus that o f i n t e r n a l allies, i f a n y , a n d " o u t s i d e p o w e r " — t h a t a u g m e n t a t i o n 2 6 . S e e S c h e r m e r h o r n , Comparative Ethnic Relations, c h a p . 5 , a n d p a r t i c u l a r l y pp.

186-187.

T h e o r y o f Racial a n d E t h n i c G r o u p Relations

105

of p o w e r s t e m m i n g f r o m t h e f r i e n d l y i n t e r e s t i n t h e m i n o r i t y ' s welfare of a n o t h e r sovereign state, or, conceivably, an international b o d y (for e x a m p l e , t h e U n i t e d Nations), t h e d e g r e e o f s u c h augm e n t a t i o n b e i n g a function of t h e actual p o w e r such a state or body has a n d is willing to use in o r d e r to influence relevant events in t h e host society. T h e final p o i n t w h i c h I s h o u l d like t o r a i s e a n d d i s c u s s briefly i n this c o n s i d e r a t i o n of societal variables takes us back to t h e issue of i d e o l o g i e s a b o u t racial a n d e t h n i c g r o u p r e l a t i o n s p r e s e n t i n t h e society

and

held

respectively

by

the

majority

and

the

minority

groups. As I have indicated, these can be categorized along an equality-inequality dimension. very

roughly

between

In this sense, we c a n distinguish

ideologies

which

are

essentially

inequali-

t a r i a n o r racist a n d t h o s e which a r e essentially e q u a l i t a r i a n a n d non-racist. Within the latter g r o u p , however, t h r e e subtypes seem to have particular relevance in the c o n t e m p o r a r y world. O n e is an a s s i m i l a t i o n i s t s t r u c t u r e i n w h i c h t h e p r e s u m e d logical g o a l w o u l d be eventual c o m p l e t e assimilation along the various dimensions previously distinguished in the assimilation process. T h e two o t h e r s a r e essentially pluralist s t r u c t u r e s which n e e d to be carefully disting u i s h e d f r o m each o t h e r , since their differences constitute crucial points of c u r r e n t controversy in m a n y pluralistic settings over the w o r l d , a n d t h e i r a c t u a l r e s p e c t i v e i m p l e m e n t a t i o n s c o u l d well h a v e differential c o n s e q u e n c e s for o u t c o m e s in

intergroup relations.

2 7

T h e f i r s t t y p e I w o u l d call " l i b e r a l p l u r a l i s m . " It i s c h a r a c t e r i z e d b y t h e a b s e n c e , e v e n p r o h i b i t i o n , o f a n y legal o r g o v e r n m e n t a l r e c o g n i t i o n of racial, religious, l a n g u a g e , or national origins g r o u p s as c o r p o r a t e entities with a s t a n d i n g in t h e legal or g o v e r n m e n t a l p r o cess, a n d a p r o h i b i t i o n o f t h e u s e o f e t h n i c c r i t e r i a o f a n y t y p e f o r d i s c r i m i n a t o r y p u r p o s e s , or conversely for special or favored treatment.

Many m e m b e r s of such g r o u p s would, of course, receive

benefits p r o v i d e d by legislation a i m e d at t h e g e n e r a l p o p u l a t i o n in c o n n e c t i o n with p r o b l e m s p r o d u c e d b y lack o f e f f e c t i v e e c o n o m i c p a r t i c i p a t i o n in t h e society: 27.

for e x a m p l e , anti-poverty m e a s u r e s ,

S o m e of the distinctions n o t e d below are insightfully discussed by

Daniel

B e l l i n h i s e s s a y " O n M e r i t o c r a c y a n d E q u a l i t y . " The Public Interest, n o . 2 9 ( F a l l 1972), 2 9 - 6 8 .

106

Milton

M.

Gordon

housing, e d u c a t i o n a n d welfare measures, a n d so o n . M e m b e r s of disadvantaged ethnic g r o u p s would thus benefit as individuals u n d e r social p r o g r a m s i n r e l a t i o n t o t h e i r i n d i v i d u a l eligibility, b u t not in a c o r p o r a t e sense as a function of t h e i r e t h n i c b a c k g r o u n d . Structural pluralism u n d e r these circumstances would exist voluntarily, a s a n unofficial societal reality i n c o m m u n a l life, a s w o u l d also s o m e m e a s u r e o f c u l t u r a l p l u r a l i s m , a t t h e will o f t h e e t h n i c g r o u p m e m b e r s , a n d subject to the pressures t o w a r d c o n f o r m i t y to g e n e r a l societal n o r m s i m p l i c i t i n w h a t e v e r d e g r e e o f i n d u s t r i a l i z a t i o n a n d u r b a n i z a t i o n was p r e s e n t i n t h e society. E q u a l i t a r i a n n o r m s i n s u c h a society w o u l d e m p h a s i z e e q u a l i t y o f o p p o r t u n i t y a n d t h e e v a l u a t i o n o f i n d i v i d u a l s o n t h e basis o f u n i versalistic s t a n d a r d s o f p e r f o r m a n c e . S u c h a m o d e l o f society i s v e r y close, it will be r e c o g n i z e d , to t h a t implicitly e n v i s a g e d by t h e "liberal e x p e c t a n c y " m e n t i o n e d earlier in this c h a p t e r . T h e c o n t r a s t i n g pluralistic s t r u c t u r e m a y b e called " c o r p o r a t e pluralism." Under corporate pluralism racial and ethnic g r o u p s a r e f o r m a l l y r e c o g n i z e d a s legally c o n s t i t u t e d e n t i t i e s w i t h official s t a n d i n g i n t h e society. E c o n o m i c a n d political r e w a r d s , w h e t h e r i n t h e p u b l i c o r p r i v a t e s e c t o r , a r e a l l o c a t e d o n t h e basis o f n u m e r i c a l q u o t a s w h i c h i n t u r n rest o n r e l a t i v e n u m e r i c a l s t r e n g t h in the population or on some other formula e m a n a t i n g from the political p r o c e s s . E q u a l i t a i ian e m p h a s i s i s o n e q u a l i t y o f c o n d i t i o n r a t h e r t h a n e q u a l i t y of o p p o r t u n i t y , a n d u n i v e r s a l i s t i c c r i t e r i a o f reward operate only in restricted spheres themselves d e t e r m i n e d in a m o r e p a r t i c u l a r i s t i c m a n n e r . S t r u c t u r a l p l u r a l i s m i s officially e n c o u r a g e d , a n d i n d e e d b e c o m e s t h e n e c e s s a r y s e t t i n g for i n d i v i d u a l action, a n d cultural pluralism tends to be reinforced even in u r b a n a n d in industrial settings. P u t t i n g t o g e t h e r t h e e q u a l i t y d i m e n s i o n with t h e s t r u c t u r a l d i m e n s i o n , w e m a y t h u s d i s t i n g u i s h f o u r t y p e s of societies w i t h r e g a r d to e t h n i c o r i e n t a t i o n : (1) racist, (2) a s s i m i l a t i o n i s t , (3) l i b e r a l p l u r a l i s t , a n d (4) c o r p o r a t e p l u r a l i s t . I n p r a c t i c e , of c o u r s e , e l e m e n t s o f s e v e r a l t y p e s m a y exist a t a n y g i v e n t i m e i n c o m b i n a t i o n . Nevertheless, in a theoretical sense, these f o u r types n e e d to be distinguished from each o t h e r . Both as ideological goals of either min o r i t y o r m a j o r i t y , a n d a s a c t u a l c o n d i t i o n s o f g i v e n societies i n a

T h e o r y of R a c i a l a n d E t h n i c G r o u p R e l a t i o n s

107

particular p e r i o d , they may influence t h e o u t c o m e of racial a n d ethnic g r o u p relations in the n e x t stage of t h e society's existence. APPLICATIONS: SOME T H E O R E T I C A L PROPOSITIONS W i t h i n t h e a p p r o p r i a t e limits o f this c h a p t e r , I s h a l l b e a b l e t o select o n l y a few m a j o r v a r i a b l e s w h i c h s e e m t o m e m o s t s a l i e n t a n d c o n s t r u c t s o m e p l a u s i b l e c a u s a l c h a i n s . A s a n initial s t r a t e g y , I shall consider s o m e actual historical situations of i n t e r g r o u p relations a n d apply the variables previously a d u m b r a t e d . Most observers would agree that the two most d e v a s t a t i n g a n d h o r r e n d o u s exa m p l e s of i n t e r g r o u p r e l a t i o n s i n t h e p a s t f o u r h u n d r e d y e a r s w e r e the e n s l a v e m e n t of four million N e g r o e s of African d e s c e n t in the A m e r i c a n c o l o n i e s a n d A m e r i c a n s t a t e p r i o r t o t h e Civil W a r a n d t h e m u r d e r o f six m i l l i o n J e w s b y t h e N a z i s i n t h e t w e n t i e t h c e n tury. We begin with the bio-social d e v e l o p m e n t variables (or relative c o n s t a n t s , i f o n e p r e f e r s ) o f t h e h u m a n b e i n g c o n c e i v e d a s essentially a n a r c i s s i s t i c d e f e n d e r o f t h e self, a g g r e s s i v e l y r e a d y t o d e f e n d t h e self, i n c o r p o r a t i n g t h e s e n s e o f e t h n i c i t y i n t o t h e self a n d displaying the usual ethnocentrism. In the interaction process w e f o c u s o n t h e t e n d e n c y t o c o m p a r e t h e self i n v i d i o u s l y w i t h o t h e r s , t h e t e n d e n c y t o conflict e s c a l a t i o n , a n d t h e p o t e n t i a l t e m p e r i n g o f this p r o c e s s b y t h e f i e l d o f p o w e r v e c t o r s w h i c h p r o d u c e s a calculation of success c h a n c e s p r i o r to t h e initiation of a given contemplated action. T h e s e relative "givens" may be t h o u g h t of as p r e s e n t i n all t h e c a u s a l c h a i n s I shall a d d u c e b e l o w , a l t h o u g h for p u r p o s e s o f c o n s e r v i n g s p a c e I shall n o t n e c e s s a r i l y r e f e r t o t h e m again in the formal propositions. W i t h i n t h e A m e r i c a n c o l o n i e s , f r o m a n i d e o l o g i c a l p o i n t o f view-, a l t h o u g h d e m o c r a t i c a n d relatively e q u a l i t a r i a n values a p p l i e d to whites, they distinctly were not c o n s i d e r e d r e l e v a n t to blacks. T h e o v e r w h e l m i n g l y p r e v a l e n t view o f w h i t e s t o w a r d b l a c k s w a s racist. With r e g a r d to p o w e r , the blacks h a d virtually n o n e . Internally, t h e y w e r e f r a g m e n t e d , socially a n d c u l t u r a l l y , c a r e f u l l y k e p t u n e d u c a t e d , a n d u n a b l e t o a c q u i r e b y v i r t u e o f t h e i r b o n d a g e t h e miliu m technology w h i c h w o u l d h a v e e n a b l e d t h e m t o revolt with any possibility o f s u c c e s s a g a i n s t t h e i r m a s t e r s . E x t e r n a l l y , t h e s o c i e t i e s i n Africa f r o m w h i c h t h e y h a d b e e n seized h a d n e i t h e r t h e o r g a n i -

108

Milton

M.

Gordon

z a t i o n a l u n i t y n o r t h e m i l i t a r y t e c h n o l o g y w i t h .jvhich t o e v e n attempt the m o u n t i n g of a power threat against the technologically a d v a n c e d w h i t e civilization. T h e u s e o f b l a c k slave l a b o r i n t h e S o u t h w a s e c o n o m i c a l l y a d v a n t a g e o u s . T h u s w e m i g h t say i n s u m m a t i o n : A m e r i c a n c o l o n i a l w h i t e s , i n f u s e d w i t h a racist i d e o l o g y (equalitarian a n d d e m o c r a t i c values a p p l y i n g to whites only), finding it economically a d v a n t a g e o u s a n d thus self-enhancing to enslave blacks, u n o p p o s e d b y c o u n t e r v a i l i n g p o w e r o n this issue f r o m t h e o u t s i d e w o r l d , m o v e d i n e x o r a b l y into the e n s l a v e m e n t o f t h e black p o p u l a t i o n . I n p r o p o s i t i o n a l t e r m s , this historical e x a m p l e suggests the following: Racist ideology p e r v a d i n g t h e majority g r o u p plus low d e g r e e of "inside" minority ethnic power, plus low d e g r e e of " o u t s i d e " minority ethnic power plus feit o p p o r t u n i t y to e n h a n c e t h e self t h r o u g h economic m e a n s by massive discrimination leads to low d e g r e e of access to societal r e w a r d s by the minority ethnic g r o u p r a n g i n g from second class citizenship to slavery plus m i n i m a l conflict (at least, in the s h o r t r u n ) . In the case of t h e J e w s in Nazi G e r m a n y , we n o t e the presence of an e n d e m i c racism (anti-Semitism), again a m i n o r i t y relatively powerless internally in e i t h e r a n u m e r i c a l or potentially military sense, a quickly e m e r g i n g totalitarian state, a n d

no t h r e a t of effective

countervailing military sanctions from the outside (World W a r II d i d n o t b e g i n u n t i l G e r m a n y i n v a d e d P o l a n d ) . I n this s i t u a t i o n , a r

g e n o c i d a l i d e o l o g y w as p r o m u l g a t e d b y t o t a l i t a r i a n r u l e r s w h o m a d e use o f b o t h e n d e m i c anti-Semitism a n d t h e o v e r w h e l m i n g l y effective social c o n t r o l m e c h a n i s m s a n d i n s t i t u t i o n s o f t h e m o d e r n i n dustrialized

totalitarian state to e n g e n d e r s u p p o r t a n d terrorize

any potential opposition

t o t h e i r policy o f e x t e r m i n a t i o n o f t h e

J e w s . In p r o p o s i t i o n a l t e r m s , we e m e r g e with t h e following: I n t e r m e d i a t e d e g r e e of racist ideology p e r m e a t i n g t h e majority g r o u p plus low d e g r e e of "inside" minority ethnic g r o u p p o w e r plus low d e g r e e of "outside" minority e t h n i c g r o u p power plus totalitarian g o v e r n m e n t leads to low d e g r e e of access to societal r e w a r d s by t h e minority e t h n i c g r o u p , quick and intense mobilization of h a t r e d toward the minority g r o u p at g o v e r n m e n t a l will, plus massive a n d quickly t e r m i n a t e d conflict r a n g i n g in o u t c o m e to t h e point of expulsion or e x t e r m i n a t i o n .

T h e o r y o f Racial a n d E t h n i c G r o u p Relations

109

I t will b e n o t i c e d t h a t f o r t h e p u r p o s e o f b r i e f e x p o s i t i o n h e r e I h a v e c h o s e n t o focus, a m o n g t h e d e p e n d e n t variables, o n access t o societal r e w a r d s a n d d e g r e e o f conflict, a n d a m o n g t h e i n d e p e n d e n t variables on ideology, p o w e r (both "inside" a n d "outside"), a n d t h e political n a t u r e o f t h e s o c i e t y o n t h e d e m o c r a t i c - t o t a l i t a r i a n scale. I s h o u l d like t o a d d a f u r t h e r c o m m e n t o n t h e i n d i v i d u a l a n d s i m u l t a n e o u s effects o f i d e o l o g y a n d p o w e r o n p a r t i c u l a r o u t c o m e s in i n t e r g r o u p relations. In both e x a m p l e s I have used to suggest t h e o r e t i c a l p r o p o s i t i o n s , t h e m i n o r i t y h a d low " i n s i d e " p o w e r . I n t h e face o f a d i s t i n c t l y racist i d e o l o g y c o n v e r t e d i n t o a c t i o n o n t h e p a r t of a highly discriminatory majority, an e t h n i c minority clearly needs a u g m e n t e d power in o r d e r to redress the balance and secure its r i g h t f u l o p p o r t u n i t y for a n e q u i t a b l e d i s t r i b u t i o n o f r e w a r d s a n d respect. It m i g h t be i n f e r r e d from this that I am s u g g e s t i n g t h a t a n o p t i m a l s i t u a t i o n i n all p l u r a l i s t i c s o c i e t i e s i s a n e q u a l d i s t r i b u t i o n o f p o w e r a m o n g all g r o u p s , m a j o r i t y a n d m i n o r i t y . I d o n o t , i n fact, a d v a n c e t h i s h y p o t h e s i s f o r t h e f o l l o w i n g r e a s o n , o r c o m p l e x of r e a s o n s .

In a p l u r a l i s t i c s o c i e t y w h i c h o p e r a t e s in a

democratic ethos and present

modest

with

degrees

equalitarian

ideals,

of ethnocentrism,

a

albeit with e v e r situation

of equal

p o w e r f o r all g r o u p s i n t h e society, g i v e n t h e v o l a t i l e a n d e s c a l a t i n g n a t u r e o f e t h n i c p a s s i o n s , will p r o b a b l y b e i n h e r e n t l y u n s t a b l e a n d conflict p r o d u c i n g . T h e o p t i m a l s i t u a t i o n i n a d e m o c r a t i c - e g a l i tarian pluralistic society, I w o u l d h y p o t h e s i z e , is o n e in which t h e m i n o r i t y g r o u p h a s an intermediate degree of power—less t h a n t h a t of t h e m a j o r i t y , s o t h a t i t c a n n o t d i s r u p t t h e society c o m p l e t e l y , b u t enough

so

that

rights—"cause

it

can

levy

strategic

influence

to

protect

its

trouble," so to speak, in areas of discriminatory

t r e a t m e n t , a n d i n w h i c h i t i s s u p p o r t e d b y " o u t s i d e " p o w e r i n t h e face of a v i o l e n t t h r e a t o f a t t a c k b y t h e m a j o r i t y o n its e x i s t e n c e a n d l e g i t i m a t e a s p i r a t i o n s . " O u t s i d e " p o w e r — t h a t is, p o w e r w i e l d e d b y another sovereign entity—cannot, in the very nature of things, be wielded often or indiscriminately, or on every or e v e n most day-tod a y i s s u e s of p o t e n t i a l conflict i n e v i t a b l y a r i s i n g in a p l u r a l i s t i c society. I t c a n s e r v e , h o w e v e r , a s a " b a c k u p " t h r e a t i n t h e face o f e x t r a o r d i n a r y d a n g e r to the minority, a n d , p e r h a p s m o r e usually, in t h e f o r m o f s p e c i a l d i p l o m a t i c n e g o t i a t i o n s r e l a t i n g t o specific i s s u e s

110

Milton

M.

Gordon

of u n u s u a l l y grave c o n c e r n . A latter r e c e n t case in point w o u l d be the p r e s u m p t i v e influence of A m e r i c a n d e t e n t e a n d t r a d e relations with t h e Soviet U n i o n on that country's relaxation of e m i g r a t i o n restrict i o n s o n its J e w i s h p o p u l a t i o n . O n e final point. I have deliberately refrained from inserting into any causal hypothesis which I have hitherto a d v a n c e d the influence of t h e type of pluralism ideologically s u p p o r t e d by e i t h e r majority or m i n o r i t y g r o u p , o r e x p e r i e n c e d b y t h e society t o d a t e . T h e s e two types, in the equalitarian setting, a r e t h e liberal type a n d t h e c o r p o r a t e type. Most nations in the world e i t h e r a r e now or a r e b e c o m i n g pluralistic in n a t u r e . Even if the battle against o u t r i g h t a n d o v e r t r a c i s m c a n b e w o n , a conflict b e t w e e n policy c h o i c e s t e n d i n g t o w a r d e i t h e r liberal p l u r a l i s m o r c o r p o r a t e p l u r a l i s m will c o n s t i t u t e a significant portion of t h e d y n a m i c s of racial a n d ethnic g r o u p relations in the decades ahead. Which type produces better outcomes in t e r m s of the g e n e r a l w e l f a r e — t h e welfare of all—we do n o t as yet k n o w . N o t e n o u g h o f t h e d a t a h a s yet t r a n s p i r e d , m u c h less b e e n s t u d i e d . My o w n g u e s s — a n d it is o n l y a g u e s s — i s t h a t , f o r r e a s o n s I do n o t have space to elucidate h e r e , t h e liberal variety p r o m i s e s b e t t e r r e s u l t s . B u t I m a ) ' b e w r o n g . H i s t o r y will w r i t e its a n s w e r . S o c i o l o g i s t s will r e a d it, o n e h o p e s , c o r r e c t l y . O r , a s i s s a i d , t i m e will teil.

4 DONALD L. H O R O W I T Z

Ethnic Identity

In t h e foothills of the w e s t e r n H i m a l a y a , in t h e I n d i a n state of Himachal Pradesh, three ethnic groups are caught in a process of close

interaction.

The

Chamialis

are centered

on

the

town

C h a m b a ; they are, as Frances L. Nitzberg describes t h e m ,

1

of

more

highly e d u c a t e d , m o r e urbanized, a n d m o r e o r t h o d o x i n H i n d u caste a n d m a r r i a g e ritual t h a n t h e o t h e r two g r o u p s o f c o n c e r n h e r e . T h e i r a d v a n c e d a n d u r b a n p o s i t i o n i s r e f l e c t e d i n t h e i r domin a t i o n o f g o v e r n m e n t e m p l o y m e n t . E a s t o f C h a m b a live t h e B r a l i m a u r i s , p a s t o r a l i s t s a n d s e a s o n a l m i g r a n t s i n close c o n t a c t w i t h t h e Chamialis. T h e B r a h m a u r i s a r e u n d e r stress. T h e i r land is overp o p u l a t e d , t h e r e is less of it a v a i l a b l e , a n d w h a t is a v a i l a b l e is ol declining quality. Many B r a h m a u r i s have taken to e m p l o y m e n t in C h a m b a T o w n . B u t , w i t h i n t h e B r a h m a u r i c o m m u n i t y , t h e impact of employment

in

town

has

been

differential.

The

Brahinauri

B r a h m a n s have b e e n involved m o r e t h a n the B r a h m a u r i C a d d i s , a g r o u p that is actually an a m a l g a m of several high-caste s u b g r o u p s . T h e result is that the Gaddis, despite their high status, are increas ingly a d e p r e s s e d c o m m u n i t y . T h e t e r m " G a d d i s " has b e c o m e p e jorative in C h a m b a T o w n , and the Gaddis seem to be reverting m o r e a n d m o r e to their subcaste identities. Note: I a m i n d e b t e d t o M a r t i n D o o r n b o s f o r c o m m e n t s o n t h i s p a p e r . 1.

"Changing Patterns c f Multiethnic

Interaction in the Western

Himalaya,"

unpublished paper presented at the Annual Meeting of the American Anthropological Association,

November 20,

1 9 7 1 . T h e d e s c r i p t i o n that follows i s d r a w n

f r o m this p a p e r . R e s p o n s i b i l i t y for t h e s u b s e q u e n t i n t e r p r e t a t i o n i s m i n e .

112

Donald

L.

Horowitz

At the same time, the B r a h m a u r i B r a h m a n s , w h o were formerly on t e r m s of virtual equality with the G a d d i s , h a v e b e g u n to sever t h e i r ties w i t h t h e i r d e p r e s s e d c o u s i n s . T h e y a r e n o l o n g e r w i l l i n g to d i n e with Gaddis, a n d have b e g u n to a d o p t o r t h o d o x practices, such as abstention from meat a n d h a r d drink, that distinguish t h e m from the G a d d i s a n d identify t h e m with t h e u r b a n Chamialis. D e p e n d e n c e o n C h a m b a T o w n h a s l e d , o n t h e o n e h a n d , t o increasing assimilation by the B r a h m a n s a n d , on the o t h e r , to their d i f f e r e n t i a t i o n f r o m t h e G a d d i s , a s well a s t o h e i g h t e n e d i n t e r n a l Gaddis cleavages previously declining in significance. If these are the consequences of severe d e p e n d e n c e , m o r e modest d e p e n d e n c e s e e m s t o h a v e p r o d u c e d t h e o p p o s i t e r e s u l t f o r t h e t h i r d e t h n i c g r o u p , t h e C h u r a h i , l a r g e l y s e d e n t a r y folk w h o live i n t h e hills n o r t h o f C h a m b a . T h e C h u r a h i h a v e s u f f e r e d f e w e r p o p u l a t i o n p r e s s u r e s , a n d t h o s e o n l y r e c e n t l y . T h e y h a v e h a d c r o p failures and other economic problems, and they have experienced g r e a t e r contact with C h a m b a . B u t their r e s p o n s e has b e e n t o solidify t h e i r g r o u p i d e n t i t y a n d d e c r e a s e t h e i m p o r t a n c e o f i n t r a C h u r a h i differences. Intercaste m a r r i a g e , e v e n high caste-low caste m a r r i a g e , occasionally occurs a n d is tolerated. F o r the C h u r a h i , d e p e n d e n c e has not b e e n a s p u r to g r o u p disintegration a n d e m u l a t i o n o f a n e x t e r n a l m o d e l , a s i t h a s f o r t h e B r a h m a u r i s , b u t instead has g e n e r a t e d g r e a t e r solidarity a n d e t h n o c e n t r i s m . T h e e x t e n t o f t h e e m e r g i n g shifts i n g r o u p b o u n d a r i e s i n C h a m b a i s w o r t h u n d e r s c o r i n g . G r o u p i d e n t i t i e s a r e i n flux n o w a n d w e r e i n t h e p a s t . T h e G a d d i s , for i n s t a n c e , a r e a n a m a l g a m o f discernible, formerly separate segments. Moreover, the present m o v e m e n t goes in no fewer than five different directions. T h e B r a h m a u r i s are losing internal cohesion a n d dividing into c o m p o nent parts. S o m e of these parts are accepting a new identity model, the Chamiali identity, while o t h e r s , the G a d d i s , a r e f u r t h e r s u b dividing into ancient s u b g r o u p s . At the s a m e time, the Chamiali are e x p a n d i n g their boundaries to absorb the B r a h m a u r i Brahmans, provided they in t u r n r e n d e r their practices m o r e o r t h o d o x . T h e C h u r a h i , for t h e i r p a r t , steadfastly r e f u s e t o allow d e p e n d e n c e to diminish their identity, but instead h e i g h t e n their b o u n d a r i e s while r e d u c i n g their internal cleavages.

Ethnic

113

Identity

This, then, is a capsule of the complexity that prevails a m o n g only t h r e e o u t of seven ethnic g r o u p s in only o n e district in only o n e state in N o r t h India. T h e e x a m p l e is parochial, b u t t h e r e is no reason to think it is unique. Quite the contrary. G r o u p b o u n d a r i e s 2

a r e often fluid. Yet most research in e t h n i c relations has t e n d e d to t a k e t h e g r o u p s a s i t f i n d s t h e m , a s i f t h e y all e x i s t e d i n t h e i r p r e s e n t f o r m since time o u t o f m i n d . I d o n o t say t h a t t h e fluidity o f b o u n d a r i e s i s s o m e n e w " d i s c o v ery": it is not. T h e point is rather that the extent a n d i m p o r t a n c e of b o u n d a r y change have generally been u n d e r r a t e d . T h e matter is of more

than

p u r e l y scholastic significance.

How,

for e x a m p l e ,

m i g h t a n y o n e evaluate the prospects for assimilationist solutions to ethnic conflict—the kind implied in the once-fashionable p h r a s e "nation-building"—without s o m e systematic u n d e r s t a n d i n g of the c o n d i t i o n s u n d e r which g r o u p s obliterate t h e lines b e t w e e n t h e m ? N o r d o I p r o p o s e t o set t h e m a t t e r a r i g h t i n a s h o r t essay. W h a t I a i m to do is merely to identify s o m e of the directions b o u n d a r y c h a n g e can take, s o m e of the forces that s e e m to influence t h o s e directions, and some of the other movements that may a c c o m p a n y boundary change. VARIETIES OF ETHNIC CHANGE E t h n i c g r o u p s c a n b e c o m e l a r g e r o r s m a l l e r , m o r e o r less e x c l u sive. " M e m b e r s h i p i n a n e t h n i c g r o u p i s a m a t t e r o f social d e f i n i tion, an interplay of t h e self-definition of m e m b e r s a n d t h e definition

of other

groups."

:i

Most

groups

change

their

boundaries

slowly a n d i m p e r c e p t i b l y , b u t s o m e c h a n g e q u i c k l y , d e l i b e r a t e l y , a n d n o t i c e a b l y . A s c r i p t i o n is, o f c o u r s e , t h e key c h a r a c t e r i s t i c t h a t d i s t i n g u i s h e s e t h n i c i t y f r o m v o l u n t a r y affiliation. E t h n i c i d e n t i t y i s g e n e r a l l v a c q u i r e d a t b i r t h . B u t this i s a m a t t e r o f d e g r e e . I n t h e first place, in g r e a t e r or lesser m e a s u r e , t h e r e a r e possibilities for c h a n g i n g i n d i v i d u a l i d e n t i t y . L i n g u i s t i c o r r e l i g i o u s c o n v e r s i o n will 2.

For e x a m p l e s of s o m e a n a l o g o u s trends in U g a n d a , see May Edel, "African

Tribalism: tember 3.

Some

Reflections

on

U g a n d a , " Political Science Quarterly,

I m m a n u e l Wallerstein, "Ethnicity and

Africaines,

80.3

(Sep-

1965), 3(37-370. 1.3 ( J u l y 1 9 0 0 ) , 1 3 1 .

N a t i o n a l I n t e g r a t i o n , " Cahiers d'Etudes

Donald

114

L.

Horowitz

suffice i n s o m e cases, b u t i n o t h e r s t h e c h a n g e s m a y r e q u i r e a g e n e r a t i o n o r m o r e t o a c c o m p l i s h b y m e a n s of i n t e r m a r r i a g e a n d p r o c r e a t i o n . I n t h e s e c o n d place,, collective a c t i o n , i n t h e s e n s e o f c o n scious modification o f g r o u p b e h a v i o r a n d identification, m a y effect shifts o f b o u n d a r i e s , a s i n t h e C h a m b a c a s e . I t is, t h e r e f o r e , a putative ascription, rather than an absolute o n e , that we are dealing with. T h e r e are fictions about, a n d exceptions to, the birth principle for most ethnic g r o u p s . Ethnicity t h u s differs from volunt a r y affiliation, n o t b e c a u s e t h e two a r e d i c h o t o m o u s , b u t b e c a u s e they occupy different positions on a c o n t i n u u m . T h e r e are so m a n y related processes of ethnic c h a n g e that it b e c o m e s i m p o r t a n t t o specify e x a c t l y t h e p h e n o m e n a i n q u e s t i o n , distinguishing them from others. H e r e we are focusing on changes in group boundaries-—changes n o t in i n d i v i d u a l b u t c o l l e c t i v e i d e n t i t y . A g r o u p m a y b e c o m e m o r e o r less a s c r i p t i v e i n its c r i t e r i a f o r m e m b e r s h i p , m o r e o r less a c c u l t u r a t e d t o t h e n o r m s o f s o m e o t h e r g r o u p , m o r e o r less i n t e r n a l l y c o h e s i v e , a n d m o r e o r less e t h n o c e n tric o r h o s t i l e t o o t h e r g r o u p s . A l t h o u g h all t h e s e p o s s i b l e c h a n g e s may b e a r on questions of g r o u p boundaries, they a r e not quite the same thing. 4

5

Also c o n f u s e d f r e q u e n t l y with b o u n d a r y e x p a n s i o n a n d c o n t r a c tion a r e c h a n g e s i n t h e social s t a t u s o f g r o u p s a r r a n g e d i n a n ascriptive hierarchy. In India, status c h a n g e a n d b o u n d a r y c h a n g e have often gone together a n d often been confused. A portion of a c a s t e m a y f i n d itself m o r e p r o s p e r o u s t h a n t h e r e m a i n d e r a n d t h e n p r o c e e d t o s e v e r its ties i n t h e i n t e r e s t o f a d v a n c i n g its c o l l e c t i v e positioTi, t h e r e b y p r o d u c i n g t w o g r o u p s w h e r e b e f o r e t h e r e w a s o n e . " U n i f i c a t i o n , a s well a s s e p a r a t i o n , h a s o c c u r r e d w i t h i n t h e 4.

F o r e x a m p l e , if

a g r o u p l o s e s its i n t e r n a l c o h e s i o n , ii m a y ai s o m e p o i n t

d i v i d e i n t o c o m p o n e n t s . II i t c o n s i s i e n t l v b e c o m e s l e s s a s c r i p t i v e i n its c r i t e r i a f o r m e m b e r s h i p , i t i s likelv t o w i d e n its b o u n d a r i e s c o n s i d e r a b l y , a s w e l l a s t o e x p a n d its n u m b e r s . 5 . C I . E r i c h R o s e n t h a l . " A c c u l t u r a t i o n w i t h o u t A s s i m i l a t i o n ' - " American Journal o f Sociology.

66.3 ( N o v e m b e r

1 9 6 0 ) . 275—288.

I

discuss s o m e oi the

relations be-

tween cultural c h a n g e and identity c h a n g e below. (i.

D a v i d ('..

M a n d e l b a u m , Socirty in India ( B e r k e l e y , U n i v e r s i t y of

P r e s s , 1 9 7 0 ) . 11. 4 8 8 .

California

Ethnic

Identity

115

caste system. S o m e formerly s e p a r a t e castes have m e r g e d , a n d the n e w u n i t h a s o f t e n s o u g h t u p w a r d m o b i l i t y b y d i s c a r d i n g t h e att r i b u t e s o f i n f e r i o r r a n k . A s a m a t t e r o f fact, c o l l e c t i v e m o b i l i t y i s o f t e n a m o t i v e f o r m e r g e r , i n t h e h o p e t h a t a l a r g e r u n i t will s t a n d a b e t t e r c h a n c e o f a t t a i n i n g h i g h e r r i t u a l a n d social s t a t u s . W h i l e b o u n d a r y c h a n g e is sometimes associated with a t t e m p t e d r a n k c h a n g e , it is i m p o r t a n t to note h e r e that n e i t h e r process is necessary to t h e o t h e r . 7

8

A s w e have a l r e a d y s u g g e s t e d , g r o u p b o u n d a r i e s can b e c o m e eit h e r w i d e r o r n a r r o w e r . S o m e g r o u p i d e n t i t i e s m a y b e lost b y assimilation, t h e p r o c e s s o f e r a s i n g t h e b o u n d a r y b e t w e e n o n e g r o u p a n d a n o t h e r . T h e r e a r e two principal varieties o f assimilation. T w o o r m o r e g r o u p s may unite to form a new g r o u p , larger a n d different f r o m a n y o f t h e c o m p o n e n t p a r t s . T h i s w e r e f e r t o a s amalgamation. In C h a m b a , the B r a h m a u r i s and their s u b g r o u p , the Gaddis, are both a m a l g a m s that resulted from such a process. Alternatively, o n e g r o u p m a y l o s e its i d e n t i t y b y m e r g i n g i n t o a n o t h e r g r o u p , w h i c h r e t a i n s its i d e n t i t y . T h i s w e call incorporation. T h e B r a h m a u r i B r a h m a n s in C h a m b a are apparently in the process of being abs o r b e d in this way by the Chamialis. Differentiation i s t h e n a r r o w i n g o f b o u n d a r i e s b y t h e c r e a t i o n o f a d d i t i o n a l g r o u p s . A g r o u p m a y s e p a r a t e i n t o its c o m p o n e n t p a r t s . T h i s , o b v i o u s l y , i s division. I n C h a m b a , t h e B r a h m a u r i s w e r e d i v i d i n g i n t o c o m p o n e n t p a r t s , o n e o f w h i c h , t h e G a d d i s , was f u r t h e r s u b d i v i d i n g i n t o its c o m p o n e n t p a r t s . O n t h e o t h e r h a n d , t h e r e i s t h e possibility o f proliferation: a n e w g r o u p c o m e s i n t o e x i s t e n c e w i t h o u t its " p a r e n t g r o u p " ( o r g r o u p s ) l o s i n g its ( o r t h e i r ) i d e n t i t y . T h e r e i s n o c a s e o f t h i s r e p o r t e d for C h a m b a , b u t t h e p h e n o m e n o n e x i s t s e l s e w h e r e . I n c e r t a i n W e s t I n d i a n s o c i e t i e s u n d e r slavery, "whites" a n d "blacks" (themselves amalgams) p r o d u c e d sepa7. F. G. B a i l e y , " C l o s e d S o c i a l S t r a t i f i c a t i o n in I n d i a , " European Journal of Sociology, 4 ( 1 9 6 3 ) ,

107-124;

R o b e r t L.

Hardgrave, "Caste:

F i s s i o n a n d F u s i o n , " Eco-

nomic and Political Weekly ( B o m b a y ) , S p e c i a l N u m b e r ( J u l y 1 9 6 8 ) ,

1065-1070.

8 . M a n d e l b a u m , Society i n India, I I , 4 9 6 — 4 9 9 ; cf. M a h a d e v I.. A p t e , " V o l u n t a r y Associations and

Problems of Fusion and

Fission

in a

Minority C o m m u n i t y in

South India," u n p u b l i s h e d paper presented at the A n n u a l M e e t i n g of the A m e r i can Anthropological Association, N o v e m b e r 1972, p. 5.

Donald

116

rate

"mulatto"

or

"brown"

groups

through

L.

Horowitz

procreation.

9

In

c o n t e m p o r a r y Bosnia, in Yugoslavia, t h e r e is said to be an e m e r g ing "Muslim" ethnic g r o u p .

1 0

T h o s e now b e g i n n i n g t o b e called

Muslims w e r e formerly identified as either Serb or C r o a t (or some combination). But most Serbs are O r t h o d o x Christians, a n d most Croats a r e R o m a n Catholics;

heavy emphasis on these religious

affiliations as attributes d e f i n i n g e t h n i c identity has b e g u n to g e n e r ate a n e w identity on the p a r t of those w h o do not possess t h e s a m e religious a t t r i b u t e s . " T h e s e possible b o u n d a r y c h a n g e s a r e s u m m a r i z e d in t h e following table. Processes of Ethnic Fusion a n d Fission Differentiation

Assimilation Amalgamation

A

+B-+C

A

A-*B

+B-*A

Proliferation

Division

Incorporation

A-*A + B (A + B^A +B +C)

+C

One or more groups

Two or more

One group

One group

groups unite

assumes the

divides into

(often two) p r o d u c e an

to f o r m a n e w ,

identity of

two or m o r e

additional g r o u p from

larger g r o u p

another

c o m p o n e n t parts

within their ranks

D e s p i t e t h e m a n i f o l d possibilities f o r c h a n g e s i n g r o u p i d e n t i t y , s o m e g r o u p s seem able to retain their traditional identity m o r e or less i n t a c t o v e r l o n g p e r i o d s o f t i m e . T h e S a m a a l e a n d S a b o f Somalia, with their historical antipathies a n d their clan subdivisions, seem to be g r o u p s of r a t h e r early v i n t a g e . T h e Sinha1 2

9. D o n a l d L. H o r o w i t z . "Color Differentiation in the A m e r i c a n S y s t e m s of Slave r y , " Journal of Interdisciplinary

History,

3.3

(Winter

1973),

509-541.

10. To be distinguished from the Albanian Muslims in Kosovo. 11.

C o m p a r e the e m e r g e n c e of a "Jurassien" identity a m o n g Swiss of the J u r a

region w h o are both French-speaking and R o m a n Catholic. Manfred W. W e n n e r , " A C o m p a r a t i v e Analysis o f M o d e r n Separatist M o v e m e n t s : E x a m p l e s f r o m Weste r n E u r o p e a n d the M i d d l e East," u n p u b l i s h e d p a p e r p r e s e n t e d a t the A n n u a l M e e t i n g o f t h e A m e r i c a n Political S c i e n c e A s s o c i a t i o n , S e p t e m b e r 2 - 6 ,

1969. For

t h e r e l a t i o n b e t w e e n t h e Y u g o s l a v M u s l i m i d e n t i t y a n d c e n s u s c a t e g o r i e s a n d official p o l i c y , s e e New York Times, A p r i l 8 , 1 9 7 4 , p . 2 . 12. S e e I. M. Lewis. "Integration in the Somali Republic," in A r t h u r Hazelw o o d , e d . , African Integration and Disintegration 1967), pp. 2 5 1 - 2 8 4 .

( L o n d o n , O x f o r d University Press,

Ethnic Identity

117

lese k i n g d o m s o f Sri L a n k a ( C e y l o n ) e m b r a c e d a v a r i e t y o f c a s t e subgroups a n d from time to time absorbed new migrant g r o u p s from India, such as the Salagama.

1 3

T h e result was a n o v e r a r c h i n g

Sinhalese identity which has persisted for a considerable time. T h e sheer longevity of such g r o u p s , however, does not m e a n that their inclusiveness r e m a i n s constant. S o m e g r o u p s w h o s e c o r p o r a t e history is m e a s u r e d in centuries a r e not now the highly o p e n a n d absorptive entities they once were. T h e T o n g a o f Z a m b i a a n d the B a g a n d a of U g a n d a customarily welcomed and incorporated ethnic s t r a n g e r s on a c o n s i d e r a b l e scale; n e i t h e r d o e s , at least to t h e same extent, any longer.

1 4

T h e g r o u p identity is traditional, but

t h e r e h a v e b e e n subtle c h a n g e s i n t h e solidity o f t h e b o u n d a r i e s a n d the extent to which m e m b e r s h i p can be acquired only by birth. O t h e r g r o u p s a r e simply new. Until relatively recently, t h e Sikhs, m a n y of whose m e m b e r s were the sons of H i n d u families, could h a r d l y b e c a l l e d a d i s t i n c t e t h n i c g r o u p a t all. S i k h i s m w a s a n offshoot of H i n d u i s m , a religious a n d military protest against Muslim rule in the Punjab.

1 5

In the terms of the table, the Sikhs are the

p r o d u c t o f p r o l i f e r a t i o n . T h e Kikuyu likewise h a d n o real g r o u p coherence in

pre-colonial

remain important.

1 6

K e n y a , a n d s t r o n g s u b g r o u p loyalties

T h e Kikuyu are an amalgam. Many o t h e r eth-

nic g r o u p s i n A f r i c a a n d Asia h a v e also b e e n c a l l e d " a r t i f i c i a l , " i n t h a t t h e y h a d little o r n o s e n s e o f collective c o n s c i o u s n e s s 5 0 o r 1 0 0 years ago. A m o n g these are some of the most clearly identifiable a n d c o h e s i v e a c t o r s i n t h e c o n t e m p o r a r y politics o f t h e i r r e s p e c t i v e s t a t e s — g r o u p s like t h e I b o o f N i g e r i a a n d t h e M a l a y s o f M a l a y s i a . It seems somewhat inappropriate to use the frequently e m p l o y e d 1 3 . B . H . F a r m e r , Ceylon: A Divided Nation ( L o n d o n , O x f o r d U n i v e r s i t y P r e s s , 1963), pp. 26, 31. 14. Elizabeth Colson, " T h e Assimilation of Aliens a m o n g Zambian T o n g a , " in

R o n a l d C o h e n a n d J o h n M i d d l e t o n , e d s . . From Tribe to Nation in Africa: Studies in Incorporation Processes ( S c r a n t o n , C h a n d l e r P u b l i s h i n g C o . , 1 9 7 0 ) , p p . 3 9 , 5 1 - 5 2 ; E d e l , " A f r i c a n T r i b a l i s m , " p . 3 6 8 ; cf. A . I . R i c h a r d s , " T h e A s s i m i l a t i o n o f t h e I m -

m i g r a n t s , " in R i c h a r d s , e d . . Economic Development and Tribal Change ( C a m b r i d g e , E n g l a n d , VV. H e f f e r & S o n , 1 9 5 4 ) , p p . 1 6 1 - 1 8 8 . 1 5 . B a l d e v Raj N a y a r , Minority Politics in the Punjab ( P r i n c e t o n . P r i n c e t o n U n i versity Press, 1966), pp. 5 7 - 7 4 . 1 6 . P.

H.

Gulliver,

Introduction

to G u l l i v e r ,

ed.,

Tradition

East Africa ( B e r k e l e y , U n i v e r s i t y o f C a l i f o r n i a P r e s s , 1 9 6 9 ) . p . 2 2 .

and

Transition

in

118

Donald

L.

Horowitz

term "primordial" to describe g r o u p s that are products of

such

r e c e n t f i s s i o n o r fusion or, for t h a t m a t t e r , g r o u p s w h i c h have 1

b e c o m e far m o r e ascriptive than they ever were b e f o r e . ' I

have spoken of these processes of e x p a n d i n g or contracting

identity as if a person could hold m e m b e r s h i p in only o n e such g r o u p a t a t i m e . N a t u r a l l y , this i s n o t so. M a n y o l d i d e n t i t i e s a r e i n t h e p r o c e s s o f slowly b e i n g a b a n d o n e d f o r n e w , a n d f o r t h i s r e a s o n m o r e t h a n o n e identity is often claimed. Even without such a transitional situation, multiple ascriptive identities are the rule, particularly w h e r e t h e s e v e r a l i d e n t i t i e s a r e a t d i f f e r e n t levels o f g e n e r a l ity.

A

person

who

identifies

h i m s e l f as

a

m e m b e r of a

small

k i n - g r o u p o r c l a n f o r s o m e p u r p o s e s m a y also c o n s i d e r h i m s e l f a m e m b e r of a larger ethnic aggregation or "nationality" or "race" for o t h e r s .

1 8

Ascriptive identity is heavily c o n t e x t u a l .

It e m b r a c e s

multiple

levels o r t i e r s , a n d i t c h a n g e s w i t h t h e e n v i r o n m e n t . A n A f r i c a n s t u d e n t i n F r a n c e will i d e n t i f y h i m s e l f i n o n e w a y ; a t h o m e , i n another.

1 9

U n d e r s o m e c i r c u m s t a n c e s , a L e b a n e s e will c o n t e n t h i m -

self w i t h his s e c t a r i a n affiliation ( M a r o n i t e o r O r t h o d o x , S u n n i t e o r S h i i t e , f o r e x a m p l e ) ; u n d e r o t h e r c i r c u m s t a n c e s , h e will b e c o m pelled to consider himself broadly as a Christian or M u s l i m .

2 0

Not-

w i t h s t a n d i n g t h e m u l t i p l i c i t y o f a s c r i p t i v e i d e n t i t i e s , all levels d o n o t r e m a i n e q u a l l y s i g n i f i c a n t , i f o n l y b e c a u s e all c o n t e x t s d o n o t r e m a i n so. What,

then, determines which are t h e

most significant m e m -

berships or, to put it m o r e accurately, which of many potential i d e n t i t i e s will b e a c t i v a t e d m o s t f r e q u e n t l y ? M o r e o r less p e r m a -

Ethnic

Identity

n e n t shifts i n t h e " c e n t e r o f g r a v i t y " o f e t h n i c i d e n t i t y s e e m r e l a t e d to t h e persistence of certain e x t e r n a l stimuli. ( W h a t kinds of stimuli w e s h a l l c o n s i d e r s h o r t l y . ) A s t h e s t i m u l i a t a c e r t a i n level persist a n d o u t w e i g h t h o s e a t o t h e r levels, o n e c a n b e g i n t o t h i n k o f h i m s e l f a s p r i m a r i l y a n I b o b u t a l s o a n O n i t s h a I b o a n d also g N i g e r i a n , o r p r i m a r i l y a T a m i l b u t also a m e m b e r o f t h e Vellala c a s t e a n d a l s o a C e y l o n e s e . T h e r e is, t h e n , t h e possibility of B " s p i l l o v e r e f f e c t . " A t a c e r t a i n p o i n t , a n i d e n t i t y m a y b e c o m e in d e p e n d e n t o r "functionally a u t o n o m o u s " o f t h e stimuli thai p r o d u c e d it a n d m a y b e c o m e so i n t e r n a l i z e d as t o b e i n v o k e d e v e n i n c o n t e x t s q u i t e d i f f e r e n t f r o m t h e o n e i n w h i c h i t w a s formed ' T h e s e s p i l l o v e r effects o r f u n c t i o n a l a u t o n o m i e s c o n s t i t u t e a limits t i o n o n t h e g e n e r a l p r o p o s i t i o n t h a t i d e n t i t i e s v a r y w i t h c h a n g e s in t h e c o n t e x t . T h e fact t h a t e t h n i c i d e n t i t y i s f o r m e d b y a p r o c e s s o f l e a r n i n g provides a b r a k e on the rapidity with which it can c h a n g e . T h e r e is an additional distinction that must be d r a w n before considering the dynamics of b o u n d a r y c h a n g e . T h e distinction is bet w e e n t h e criteria o f i d e n t i t y , o n w h i c h j u d g m e n t s o f c o l l e c t i v e liken e s s a n d u n l i k e n e s s a r e b a s e d , a n d t h e o p e r a t i o n a l indicia o f i d e n t i t y , o n w h i c h r e a d y j u d g m e n t s o f i n d i v i d u a l m e m b e r s h i p are m a d e . I f t h e s l i g h t e s t d e g r e e o f k n o w n A f r i c a n a n c e s t r y r e n d e r s .1 p e r s o n a " N e g r o " i n t h e U n i t e d S t a t e s , t h a t i s t h e c r i t e r i o n o f memb e r s h i p . T h e indicia a r e , o f c o u r s e , color, p h y s i o g n o m y , a n d s o o n — n o o n e o r e v e n all o f t h e s e b e i n g d e t e r m i n a t i v e o f t h e c r i t e r i a l q u e s t i o n o f a n c e s t r y . L i k e w i s e , i n N o r t h e r n I r e l a n d , g r o u p mem b e r s h i p i s b a s e d o n I r i s h ( a n d C a t h o l i c ) v e r s u s S c o t t i s h o r English ( a n d P r o t e s t a n t ) o r i g i n . A s i n m a n y o t h e r c a s e s , h o w e v e r , surname! a r e f r e q u e n t l y e m p l o y e d i n d i c i a o f m e m b e r s h i p , r e l i a b l e foi the vast m a j o r i t y o f g r o u p m e m b e r s . ' 2 2

T h e d i s t i n c t i o n , c l e a r i n p r i n c i p l e , i s e l u s i v e i n p r a c t i c e . Indicia 21.

On

functional

autonomy,

Kent State University Press, Hovland,

Social Judgment:

tude

(New

Change

T e u n e , "The Toscano, Co.,

eds.,

The

Assimilation Vale

and

B.

Madsen,

Theories

o f Motivation

(Keiu.

1 2 1 - 1 2 2 . Cf. M u z a f e r S h e r i f a n d Carl Contrast

University

Integrative

Integration

K.

Effects

Press,

Habits."

in

of Political Communities

in

1961),

Communication p.

78.

See

and

also Henry

Philip E. Jacob and J a m e s (Philadelphia,

j.B.

I

Atti V

l.ippincott

1 9 6 4 ) , pp. 2 4 7 - 2 8 2 .

22. tics,

Haven.

L e a r n i n g of

see

1 9 6 8 ) . pp.

See

Walker Connor,

2 4 . 3 (April

1972). 340.

" N a t i o n - B u i l d i n g or

Nation-Destroying?"

World I'uli

120

Donald

L.

Horowitz

a r e e v i d e n c e o f i d e n t i t y ; u n l i k e c r i t e r i a , t h e y d o n o t d e f i n e it. T h e y are s h o r t h a n d ; they develop after criteria have b e e n a d o p t e d (howe v e r tacitly). A s s u r r o g a t e s , i n d i c i a o f i d e n t i t y a r e p r o b a b i l i s t i c a n d subject to contradiction, m u c h as t h e w e a r i n g of a u n i f o r m or t h e insignia of an organization can be contradicted by reference to the authoritative roster of m e m b e r s . - T h e confusion b e t w e e n the two a r i s e s i n p a r t b e c a u s e l o n g u s a g e o f a n i n d i c i u m m a y r e s u l t i n its b e i n g t r e a t e d increasingly as criterial, a possibility t h a t t h e e m e r g e n c e of the new "Muslim" g r o u p in Bosnia may exemplify. 3

As new identities take hold, then, j u d g m e n t s of individual m e m b e r s h i p a r e g e n e r a l l y m a d e o n t h e basis o f s y m b o l s t h a t p e r m i t d i s c r i m i n a t i o n s with a significant d e g r e e of reliability, t h e d e g r e e of reliability v a r y i n g w i t h t h e i m p o r t a n c e o f t h e m e m b e r s h i p s a n d t h e e x t e n t t o w h i c h t h e y a r e t i g h t l y a s c r i p t i v e . T h e less i m p o r t a n t t h e b o u n d a r i e s b e t w e e n e t h n i c g r o u p s , t h e less r e l i a b l e t h e i n d i c i a n e e d h e a n d t h e e a s i e r i t m a y b e t o falsify o r m i s t a k e m e m b e r s h i p . 2 4

I d e n t i t i e s t h u s t e n d t o crystallize o r , i n G o r d o n A l l p o r t ' s l a n g u a g e , " c o n d e n s e " a r o u n d symbols or c u e s . Allport has suggested t h a t t h e c u e s a r e u s u a l l y visible. I n d e e d , t h e y o f t e n a r e , f o r v i s u a l c u e s h a v e c o n s i d e r a b l e reliability a n d r e l a t i v e i m m u t a b i l i t y , e s p e cially i f t h e y a r e b o d i l y c u e s . Yet t h e c u e s o r i n d i c i a n e e d n o t b e visible. If t h e d i f f e r e n c e is specially s i g n i f i c a n t , t h e r e is " i n c r e a s e d efficiency i n t h e d e t e c t i o n o f i d e n t i f y i n g c u e s , " whether or not t h o s e c u e s a r e visible. F u r t h e r m o r e , t h e s y m b o l s e m p l o y e d t o differentiate g r o u p from g r o u p may be of widely d i v e r g e n t c h a r a c t e r s a t d i f f e r e n t levels o f i d e n t i t y . A n o v e r a r c h i n g i d e n t i t y m a y b e i n d i c a t e d b y l a n g u a g e , w h i l e a lesser o n e m a y b e e v i d e n c e d b y a b e h a v 2 5

2 6

23.

F o r t h e u s e of m a r k s o f i d e n t i t y i n d e l i n e a t i n g o r g a n i z a t i o n a l b o u n d a r i e s ,

s e e H e r b e r t K a u f m a n . Why Organizations Behave as They Do: An Outline of a Theory ( A u s t i n . U n i v e r s i t y o f T e x a s . 1 9 0 1 ) . p . 4 0 . 2 4 . S e e , e . g . , t h e f l e x i b l e i n d i c i a o f g r o u p m e m b e r s h i p f o r " I n d i a n s " a n d "lad i n o s " in A n d e a n A m e r i c a . M a r v i n H a r r i s . Patterns of Race in the Americas ( N e w York, Walker & Co., 1964), pp. 3 8 - 3 9 . 25. Gordon

W.

A l l p o r t . The Nature oj Prejudice

(Cambridge,

Addison-VVesley,

1954). 26.

Henri Tajfel, "Perception:

Social

Perception," in

David

S i l l s , e d . . Interna-

tional Encyclopedia of the Social Sciences ( N e w Y o r k . M a c m i l l a n , 196.S), X I , 5 7 0 . F o r e x a m p l e s of such efficiency, see Donald L. Horowitz, " T h r e e D i m e n s i o n s of Ethn i c P o l i t i c s , " World Politics, 2 3 . 2 ( J a n u a r y

1971), 2 4 0 - 2 4 4 .

Ethnic Identity

121

2 7

i o r a l t r a i t a n d a still l e s s e r o n e by a visual o n e . F i n a l l y , ii almost g o e s w i t h o u t s a y i n g t h a t a s y m b o l of i d e n t i t y t h a t i s o f t h e h i g h e s t i m p o r t a n c e i n o n e s o c i e t y m a y b e i g n o r e d o r i n t e r p r e t e d q u i t e dif f e r e n t l y i n t h e n e x t , d e p e n d i n g o n t h e s h a p e a n d s i g n i f i c a n c e "I t h e u n d e r l y i n g criteria of identity. IDENTITY, EXPANDED AND CONTRACTED On

what

precise

basis

previously

unrelated

groups

conic

i<>

r e g a r d themselves as possessing a c o m m o n identity while excluding o t h e r s f r o m s h a r i n g it r e m a i n s an essentially u n r e s e a r c h e d question. Put starkly, we may k n o w that the indicia of identity tend i n follow t h e c r i t e r i a o f i d e n t i t y , b u t w h a t d o t h e c r i t e r i a follow? G e n e r a l l y , t w o t y p e s of v a r i a b l e s e e m t o b e m o s t i n f l u e n t i a l in s h a p i n g a n d a l t e r i n g g r o u p b o u n d a r i e s . T h e first i s c o n t a c t with ethnic s t r a n g e r s perceived as possessing varying d e g r e e s of likeness a n d d i f f e r e n c e . T h e s e c o n d i s t h e size a n d i m p o r t a n c e of t h e political u n i t w i t h i n w h i c h g r o u p s find t h e m s e l v e s . T h e s e t w o a r e , o f c o u r s e , r e l a t e d . Political b o u n d a r i e s t e n d t o set t h e d i m e n s i o n s of t h e field w i t h i n w h i c h g r o u p c o n t a c t o c c u r s . T h a t contact, in t u r n , r e n d e r s it necessary for g r o u p s to sort out affniities a n d d i s p a r i t i e s . I t i s n o t r e a l l y a c c u r a t e t o d e s c r i b e t h i s s i f t i n g p r o c e s s a s o n e of "choice" in the sense that o n e chooses friends or allies,

28

for ilu-

etic! r e s u l t o f t h e p r o c e s s i s t h e c o n c l u s i o n t h a t s o m e g r o u p s a r c a l i k e b y v i r t u e o f i m p u t e d c o m m o n a n c e s t r y . T h a t i s n o t t o r u l e 0U1 I n strumental o r strategic considerations entirely, but, where

t h e s e are

involved, they a r e heavily e n t a n g l e d with p e r c e p t u a l j u d g m e n t s o f t h e r e l a t e d n e s s of s o m e g r o u p s ( b u t n o t o t h e r s ) w i t h i n t h e sei i< •, e n c o u n t e r e d in a specific c o n t e x t . 27. the

CI. Michael M o e r m a n . "Ethnic Identity in a C o m p l e x Civilization: W h o

L n e ? " American Anthropologist,

28.

This discussion does

strumental,

usually

67.4

(October

1965),

not. therefore, refer to the kinds of deliberate,

temporary,

coalitions

described

by

William

H.

Riker,

Tlicon of Political Coalitions ( N e w H a v e n . Y a l e U n i v e r s i t y P r e s s , 1 9 6 2 ) . o r , f o i m a t t e r , b y L l o y d 1. R u d o l p h a n d S u s a n n e H . R u d o l p h , Political Dei'elopment i n

India

\n

1225.

(Chicago.

in I he

• li.it

The Modernity of Tradition

U n i v e r s i t y of C h i c a g o

Press.

1967),

pp

9 8 - 1 0 1 , w h o u s e t h e t e r m s " f u s i o n " a n d " f i s s i o n " f o r s h o r t - t e r m a l l e g i a n c e s mil necessarily regarded as ascriptive.

122

Donald

L.

Horowitz

A s t h i s way o f p u t t i n g t h e p r o b l e m s u g g e s t s , w h a t i s e n t a i l e d i s a n a s p e c t o f t h e g e n e r a l s t u d y o f social p e r c e p t i o n a n d t h e specific p h e n o m e n a of assimilation a n d contrast effects. In matters of social a s well a s p h y s i c a l j u d g m e n t , scales o f j u d g m e n t t e n d t o d e v e l o p , a n d s t i m u l i a r e p l a c e d o n t h e scale i n p o s i t i o n s r e l a t i v e t o t h o s e a l r e a d y in t h e s e r i e s . If, f o r e x a m p l e , a s u b j e c t is p r e s e n t e d with a series of weights, he begins to assign t h e m values relative to e a c h o t h e r . T h e e n d v a l u e s o f t h e s e r i e s s e r v e a s " a n c h o r s . " T h a t is, they exert greater influence on j u d g m e n t than do the o t h e r values o n t h e scale, a n d j u d g m e n t s t e n d t o b e m o r e a c c u r a t e ( w h e r e t h e v a l u e s a r e objectivelv verifiable) a n d less v a r i a b l e t h e n e a r e r t h e s t i m u l i a r e t o t h e s e a n c h o r s . Shifts i n j u d g m e n t a r e a s s o c i a t e d w i t h c h a n g e s i n t h e r a n g e o f s t i m u l i ( w h i c h i s t o say, c h a n g e s i n t h e location of the anchors) a n d in the frequency distribution of the stimuli ( w h i c h i s t o say, c h a n g e s i n t h e m e d i a n o f t h e s t i m u l i ) . W h e n t h e differences b e t w e e n an a n c h o r a n d a series of stimuli a r e great, c o n t r a s t effects a r e o b s e r v a b l e : t h e d i f f e r e n c e s t e n d t o b e e x a g g e r ated beyond the r a n g e of the actual discrepancy, p r o d u c i n g a s h a r p contrast. H o w e v e r , w h e n s o m e items in a series begin to a p p r o x i m a t e t h e l o c a t i o n o f a n a n c h o r , a s s i m i l a t i o n effects a r e o b s e r v able: the differences t e n d to be minimized to a point b e n e a t h the r a n g e of t h e a c t u a l d i s c r e p a n c y , p r o d u c i n g a m e r g e r . 29

T h e relevance of these p h e n o m e n a to the e m e r g e n c e of new i d e n t i t i e s s e e m s c l e a r e n o u g h . H e r e t h e scale r e l a t e s t o g r o u p liken e s s a n d u n l i k e n e s s r a t h e r t h a n w e i g h t o r size. T h e e n d p o i n t s o r anchors refer to the range of groups represented: the g r o u p s in the particular context constitute the series: a n d the j u d g m e n t a l q u e s t i o n i s w h e r e p a r t i c u l a r g r o u p s will b e p l a c e d o n t h e s c a l e . N o t m e r e l y t h e r a n g e b u t t h e f r e q u e n c y d i s t r i b u t i o n — t h a t is, t h e n u m b e r s of particular g r o u p s represented at various points in the series—influences the placement process. A n d assimilation a n d c o n t r a s t effects a r e likely t o o c c u r . W h a t l o o k s like a m a j o r c h a r a c terological or behavioral deviation in a parochial e n v i r o n m e n t with 29.

For the most t h o r o u g h treatment o f this subject, see Shcril a n d H o v l a n d ,

Social Judgment. A s u m m a r y , c r i t i q u e , a n d u p d a t i n g a r e c o n t a i n e d i n C h a r l e s A . K i e s l e r , B a r r y E. C o l l i n s , a n d N o r m a n M i l l e r , Altitude Change: A Critical Analysis of Theoretical Approaches ( N e w Y o r k , J o h n W i l e y ,

1 9 6 9 ) , c h a p . 6.

Ethnic

123

Identity

a r e s t r i c t e d r a n g e o f d i f f e r e n c e m a y b e g i n t o l o o k trivial w h e n t h e range is e x p a n d e d . Groups which may have been separate a n d even m u t u a l l y hostile in o n e e n v i r o n m e n t m a y be identified or identify themselves as o n e in a new e n v i r o n m e n t of g r e a t e r h e t e r o geneity. T h e underlying mechanism is the general perceptual tend e n c y to simplify n u a n c e s of d i f f e r e n c e , i g n o r i n g small d i f f e r e n c e s a n d e x a g g e r a t i n g large ones, w h e n these begin to a s s u m e an unm a n a g e a b l e d e g r e e o f c o m p l e x i t y . I n s h o r t , a s s i m i l a t i o n a n d differentiation, as we have r e f e r r e d to t h e m , m a y simply be special c a s e s o f a s s i m i l a t i o n a n d c o n t r a s t effects. I f this i s a m o d e l o f t h e g e n e r a l p r o c e s s o f i d e n t i t y c h a n g e , i t still leaves t h e major substantive q u e s t i o n s u n a n s w e r e d . R e s e a r c h o n scales o f j u d g m e n t h a s a l w a y s p r o c e e d e d w i t h t h e s t i m u l u s p r o p e r t y ( w e i g h t , size, a n d s o o n ) s p e c i f i e d i n a d v a n c e , b u t t h a t i s t h e t h i n g m o s t at issue i n b o u n d a r y c h a n g e : w h a t a r e t h e criteria o f l i k e n e s s a n d u n l i k e n e s s ? F u r t h e r m o r e , social j u d g m e n t i s h e a v i l y i n f l u e n c e d b y i n t e r n a l i z e d r e f e r e n c e scales, t h o s e d e v e l o p e d e a r l i e r t h r o u g h l e a r n i n g . W h a t k i n d s o f collective e x p e r i e n c e a r e likely t o have an impact on j u d g m e n t s of identity in a new milieu? T h e s e , it seems to m e , a r e two of the principal questions for research investigation/"' Despite these crucial omissions, s o m e clues to the bases of identity c h a n g e a r e p r o v i d e d b y social j u d g m e n t t h e o r y . F o r o n e t h i n g , j u d g m e n t s t e n d t o shift t o w a r d r e w a r d e d v a l u e s i n a s e r i e s . On t h i s basis, i t i s r e a s o n a b l e t o s u p p o s e t h a t s o m e w h a t m o r e p r e s t i g i o u s e t h n i c g r o u p s will act a s m a g n e t s f o r i n c o r p o r a t i o n . T h i s , o f c o u r s e , h a s b e e n t h e c a s e f o r p r e s t i g i o u s g r o u p s like t h e B a g a n d a . M o r e o v e r , in an a m b i g u o u s series, the evidence is s t r o n g that t h e j u d g m e n t s o f o t h e r s b e c o m e specially influential; the m o r e a m b i g u o u s the stimuli, the m o r e suggestible the subjects of e x p e r i m e n t s a r e t o t h e views o f t h o s e a r o u n d t h e m . ' T h i s c o n f i r m s t h e i n t e r p l a y o f self-definition a n d other-definition i n b o u n d a r y c h a n g e , a n d 3 1

2

30.

h s h o u l d p e r h a p s be a d d e d d i a l t h e laboratory s e e m s less well a d a p t e d to

j u d g m e n t s o f ethnic b o u n d a r i e s t h a n t o areas o f social p e r c e p t i o n w h e r e t h e res p o n s e s of casual g r o u p s are to be e x a m i n e d . 31. Sherif and 32.

H o v l a n d , Social Judgment,

Ibid., pp. 8 6 - 8 7 .

pp.

74-75.

124

Donald

L.

Horowitz

focuses attention on the question of w h o those o t h e r s a r e . Finally, casting the

problem

in

the

relativistic

t e r m s of shifting scales,

series, a n d a n c h o r s plants the seeds of d o u b t a b o u t c o n v e n t i o n a l formulations of g r o u p boundaries in terms of cultural content or i s o m o r p h i s m . C u l t u r a l c h a n g e m a y follow o r a c c o m p a n y , r a t h e r t h a n p r e c e d e , identity c h a n g e . If so, t h e significance of a certain c u l t u r a l m i x a s a d e t e r m i n a n t o f i d e n t i t y h a s p r o b a b l y b e e n vastly overemphasized.

3 3

Assimilation may t h u s n o t always be d e p e n d e n t on p r i o r accult u r a t i o n , as has so often b e e n s u g g e s t e d . T h e relation of c u l t u r a l c h a n g e to identity c h a n g e , a n d especially t h e s e q u e n c i n g of t h e two, m a y d e p e n d on the type of assimilation involved. Because of t h e f r e q u e n t a s s e r t i o n s t h a t o n e o f t h e c h a r a c t e r i s t i c s t h a t defines a n e t h n i c g r o u p i s a d i s t i n c t i v e c u l t u r e , this p o i n t i s w o r t h y o f e l a b o ration. With respect to cultural conformity, t h e r e may be a substantial d i f f e r e n c e b e t w e e n i n c o r p o r a t i o n a n d a m a l g a m a t i o n . T o b e "eligib l e " f o r i n c o r p o r a t i o n , t h e g r o u p t o b e m e r g e d ( g r o u p B i n t h e seco n d cell o f t h e t a b l e ) will p r o b a b l y b e r e q u i r e d t o d e m o n s t r a t e its a c c e p t a b i l i t y bv m o d i f y i n g its b e h a v i o r i n a d v a n c e s o a s i n c r e a s i n g l y to assume the modal attributes of members of the incorporating g r o u p . T h a t is what the B r a h m a u r i B r a h m a n s in C h a m b a have in fact b e e n d o i n g . A t least s o m e a c c u l t u r a t i o n , t h e r e f o r e , m a y b e a precondition of incorporation. T h e s a m e may not b e t r u e for a m a l g a m a t i o n . T o t h e e x t e n t t h a t a n e w i d e n t i t v i s e m e r g i n g f o r all t h e c o m p o n e n t g r o u p s , n o o n e s u b g r o u p is in the same position as an incorporating g r o u p to imp o s e its o w n c h a r a c t e r i s t i c p a t t e r n s o f b e l i e f a n d b e h a v i o r . I n t h i s situation, t h e r e f o r e , the inclusive, e m e r g i n g identity m a y subseq u e n t l y be t h r e a t e n e d by significant cultural deviations as s o m e of t h e m e r g e d s u b g r o u p s discover a t closer r a n g e traits a m o n g o t h e r s u b g r o u p s which thev r e g a r d as highly u n u s u a l a n d in n e e d of c h a n g e . To prevent d i s r u p t i o n of the new identity, centripetal forces b e g i n t o b r i n g c u l t u r a l v a r i a t i o n s i n t o basic h a r m o n y . T h a t i s n o t t o say t h a t n o d i f f e r e n c e s a r e t o l e r a t e d . T h e r e i s 33.

C f . F r e d r i k B a r t h , I n t r o d u c t i o n t o B a r t h , e d . , Ethnic Groups and Boundaries

( B o s t o n , Little, B r o w n ,

1969), p p .

14,

P r o b l e m s C o n c e r n i n g Ethnicity," p. 2 7 9 .

18, 3 2 - 3 3 ; D o o r n b o s , " S o m e C o n c e p t u a l

Ethnic

125

Identity

e v e r y r e a s o n t o t h i n k t h a t a m a l g a m s h a v e little p o w e r t o f o r c e t h e same kinds of homogeneity on c o m p o n e n t parts as incorporating g r o u p s d o . W h a t seems to e m e r g e is a "least c o m m o n d e n o m i n a t o r " c u l t u r e of t h e a m a l g a m . T h e g r o s s e s t d e v i a t i o n s a r e f i l t e r e d o u t , a n d certain m o d a l traits, that m a y o r m a y n o t h a v e b e e n associated p r o m i n e n t l y with p a r t i c u l a r s u b g r o u p s , s e e m t o b e c o m e p r o m i n e n t . T h u s , the Islam of Muslims in

Mauritius is heavily

" s u n n i f i e d " ; "local a n d s e c t a r i a n p r a c t i c e s " h a v e b e e n a b a n d o n e d "in favor of a u n i f o r m o r t h o d o x practice"

3 4

— t h i s very m u c h the

result of the a m a l g a m a t i o n of sectarian s u b g r o u p s . Similarly, Muslims f r o m t h e N o a k h a l i district o f East B e n g a l a r e often r e g a r d e d as especially

pious,

certainly

m o r e so

than

men

of o t h e r

East

Bengal districts. E v i d e n c e of religious practices a n d values a m o n g Noakhali cultivators s u p p o r t s the image. But e x p e r i e n c e d u r b a n factory w o r k e r s from N o a k h a l i show no especially religious o r i e n tation.

H o w a r d S c h u m a n concludes that rural-to-urban

migrants

f r o m N o a k h a l i m a y b e less r e l i g i o u s t h a n t h o s e w h o s t a y b e h i n d , b u t h e a l s o s u g g e s t s t h a t " o n c e i n t h e city t h e y r e s p o n d t o n o r m s t h a t e n c o u r a g e still m o r e r e l a x a t i o n . piety, the

As the 'deviant' g r o u p in

N o a k h a l i m e n w o u l d b e m o s t likely t o c h a n g e i n a n

u r b a n work situation w h e r e transethnic n o r m s c o m e to prevail." O t h e r s i g n i f i c a n t d e v i a t i o n s , a r e p r o b a b l y also

3 5

minimized. T h e

Malays o f N e g r i S e m b i l a n , W e s t Malaysia, a r e often m e m b e r s o f t h e M i n a n g k a b a u s u b g r o u p ; this g r o u p is atypical in that it p r a c tices m a t r i l i n e a l i t y . O t h e r M a l a y s s e e this "as a n o d d d e v i a t i o n f r o m the 'normal'

Malay p a t t e r n . "

M . G . Swift s u r m i s e s t h a t , i n t h e

c o u r s e of interaction, " N e g r i Sembilan Malays t e n d to a c c o m m o d a t e to majority cultural standards."

3 6

In Nigeria, too, it has been

observed: T h e cultural renaissance, an integral part of t h e nationalist m o v e m e n t , has t e n d e d to p r o d u c e g r e a t e r uniformity within each ethnic g r o u p a n d so differentiate it m o r e sharply from n e i g h b o r i n g g r o u p s . T h u s a m o n g 34. Burton

B e n e d i c t , Mauritius: The Problems of a Plural Society ( L o n d o n , Pall

Mall Press, 1965), pp. 3 8 - 3 9 . 3 5 . " S o c i a l C h a n g e a n d t h e V a l i d i t y o f R e g i o n a l S t e r e o t y p e s i n East P a k i s t a n , " Sociometry, 2 4 . 4 ( D e c e m b e r 1 9 6 6 ) , 4 3 6 - 4 3 7 .

3 6 . Malay Peasant Society in felebu ( L o n d o n , A t h l o n e P r e s s , 1 9 6 5 ) , p. 1 3 4 . F o r an e x a m p l e o f N e g r i S e m b i l a n Malays w h o b r o u g h t majority s t a n d a r d s back t o their village, see ibid., p p . 9 6 - 9 8 .

Donald

126

L.

Horowitz

the Y o r u b a , for instance, a s t a n d a r d dialect is e m e r g i n g a n d dress styles, both for rich a n d poor, have a similarity that did not exist a c e n t u r y or two ago. T h e r e is in fact a consciousness of being Yoruba which is rec e n t — t h e t e r m Yoruba applied formerly only to the Oyo K i n g d o m . 37

T h e r e t h u s seems to be a general t e n d e n c y to s m o o t h off r o u g h edges in the behavior of subgroups as amalgamation proceeds. 3 8

I n a m a l g a m a t i o n , a s i n i n c o r p o r a t i o n , c u l t u r a l c h a n g e i s fost e r e d . B u t in t h e f o r m e r it is likely to be a lesser c o n f o r m i t y t h a t is d e m a n d e d , a n d it is likely to be d e m a n d e d at a l a t e r t i m e — n o t as a p r e r e q u i s i t e t o i d e n t i t y c h a n g e , b u t a s a n o u t c o m e o f it. I f t h i s i s s o , i t a g a i n casts i n t o q u e s t i o n t h e r o l e o f p e r c e p t i o n s o f c u l t u r a l affinities i n b o u n d a r y c h a n g e . A s p e c t s o f g r o u p c u l t u r e (we d o n o t k n o w which) may certainly be criterial, but, once j u d g m e n t s of likeness a n d u n l i k e n e s s a r e m a d e , c u l t u r a l a d j u s t m e n t s m a y t h e n b e effected to suit the new b o u n d a r i e s . L e t u s n o w look m o r e closely a t t h e i m p a c t o f c h a n g e s i n t h e " s e r i e s " a n d o f t h e i n t e r a c t i o n o f self- a n d o t h e r - d e f i n i t i o n s o f g r o u p i d e n t i t y o n e t h n i c b o u n d a r y c h a n g e . All else b e i n g e q u a l , t h e w i d e r t h e s e r i e s , t h e w i d e r t h e b o u n d a r i e s o f g r o u p s w i t h i n it. S t u d e n t s o f Africa h a v e o f t e n c a l l e d a t t e n t i o n t o t h e i m p o r t a n c e o f migration a n d urbanization in widening ethnic identities. T h e g r o w t h of small, previously discrete ethnic g r o u p s into larger agg l o m e r a t i o n s , s o m e t i m e s c a l l e d " s u p e r - t r i b e s , " h a s b e e n well d o c u mented. T h e s e n e w e r identifications grew as rural-to-urban mig r a n t s i n t e r a c t e d w i t h s t r a n g e r - g r o u p s f o r t h e first t i m e i n t h e towns, discovered c o m m o n a l i t i e s that h a d n o t been evident back 3 9

37.

P. C.

L l o y d . '"The E t h n i c B a c k g r o u n d t o t h e N i g e r i a n C r i s i s . " i n S .

K.

P a n t e r - B r i c k , e d . , Nigerian Politics and Military Rule: Prelude to the Civil War ( L o n d o n , U n i v e r s i t y o f L o n d o n Press, 1 9 7 0 ) , p . 12. 38.

For another e x a m p l e

of cultural

synthesis, see

A b n e r C o h e n , Custom and

Politics in Urban Africa: A Study of Hausa Migrants to Yoruba Towns ( L o n d o n , R o u t l e d g e , 1969), p. 159.

3 9 . S e e A n d e r s o n , v o n d e r M e h d e n , a n d Y o u n g , Issues o f Political Development, c h a p . 2 . S e e a l s o C r a w f o r d Y o u n g , Politics in the Congo ( P r i n c e t o n , P r i n c e t o n U n i versity Press, 1965), chap. 11: J o h n N. Paden, " U r b a n Pluralism, Integration, a n d Adaptation of C o m m u n a l Identity in Kano, Nigeria," in C o h e n and Middleton, e d s . , / - f o m Tribe t o Nation, p p . 2 4 5 - 2 4 6 ; I m m a n u e l W a l l e r s t e i n , " M i g r a t i o n i n W e s t A f r i c a : T h e P o l i t i c a l P e r s p e c t i v e , " i n H i l d a K u p e r , e d . , Urbanization and Migration i n West Africa ( B e r k e l e y , U n i v e r s i t y o f C a l i f o r n i a P r e s s , 1 9 6 5 ) , p . 1 5 6 .

Ethnic

127

Identity

home, and then returned to their rural ize t h e n e w l y d i s c o v e r e d collectivity-, t o into "vicarious contact" with m e m b e r s to reinforce the new identification by signed to e m b r a c e the entire g r o u p . 4 0

areas of origin to popularput rural g r o u p members of other g r o u p s , a n d often political o r g a n i z a t i o n d e -

T h a t the towns have been the crucibles of g r o u p e n l a r g e m e n t in m u c h o f A f r i c a d o e s n o t m e a n t h a t specifically urban c o n t a c t i s n e c essary for t h e e x p a n s i o n o f g r o u p b o u n d a r i e s . T h e h e t e r o g e n e o u s u r b a n s e t t i n g m e r e l y e x p a n d s t h e e t h n i c s e r i e s , p a v i n g t h e w a y foi t h e b l u r r i n g o f d i s t i n c t i o n s b e t w e e n s o m e g r o u p s a n d t h e sharpen i n g o f d i s t i n c t i o n s b e t w e e n o t h e r s . T h a t this i s s o c a n b e s e e n f r o m similar results in rural or territory-wide settings. As exhibits, t h r e e cases—one African, o n e Asian, a n d o n e C a r i b b e a n — c a n be cited. T h e first is the widening of boundaries of the "Shirazi" g r o u p in Zanzibar. T h e Shirazi were formerly c o m p o s e d o f those Zanzibaris w h o claimed m i x e d Afro-Persian a n c e s t r y ; h e n c e t h e y did n o t i n c l u d e A f r i c a n s r e s i d e n t i n Z a n z i b a r . W i t h a l a r g e i n f l u x ol m a i n l a n d Africans, however, the g r o u p definition e x p a n d e d . As t h e contrasts with t h e m a i n l a n d e r s b e c a m e a p p a r e n t , Shirazi bec a m e a t e r m a p p l i e d t o all " i n d i g e n o u s " ( t h a t is, l o n g r e s i d e n t ) Africans on Zanzibar, r e g a r d l e s s of claims to Persian ancestry. T h e S h i r a z i - m a i n l a n d e r cleavage that developed has had considerable political s i g n i f i c a n c e , m a n i f e s t e d , f o r e x a m p l e , i n p a r t y politics b e fore the overthrow of the parliamentary r e g i m e in 1964. 4 1

A second e x a m p l e comes from Malaya (now West Malaysia). At t h e t i m e of t h e B r i t i s h i n t e r v e n t i o n i n M a l a y a i n t h e 1 8 7 0 s , t h e " M a l a y " p o p u l a t i o n was e x c e e d i n g l y v a r i e d , c o m p r i s i n g g r o u p s t h a t o r i g i n a t e d f r o m a s f a r afield a s S u m a t r a , t h e C e l e b e s , B o r n e o , a n d J a v a , a s well a s a s p r i n k l i n g o f A r a b s . T h e s e g r o u p s t e n d e d t o speak separate languages, to be e n d o g a m o u s a n d often mutually hostile a n d violent. - T h e C h i n e s e w h o arrived on the scene, in 4

40.

G. William Skinner, " T h e N a t u r e of Loyalties in Rural I n d o n e s i a , " in Skin-

n e r , e d . . Local, Ethnic, and National Loyalties in Village Indonesia ( N e w H a v e n , Y a l e University, Southeast Asia Studies. 41.

1959). pp. 7-8.

M i c h a e l F. L o f c h i e , Zanzibar: Background to Revolution ( P r i n c e t o n , P r i n c e t o n

U n i v e r s i t y P r e s s . 19(55), p p . 8 1 - 8 2 .

4 2 . J. M . G u l l i c k . Indigenous Political Systems vf Western Malaya ( L o n d o n , A t h l o n e Press, 1958).

128

Donald

L.

Horowitz

especially large n u m b e r s after t h e a d v e n t of large-scale tin m i n i n g i n t h e n i n e t e e n t h c e n t u r y , w e r e t h e m s e l v e s n o less d i v i d e d b y p l a c e o f o r i g i n . S o - c a l l e d d i a l e c t d i f f e r e n c e s d e f i n e d t h e p r i n c i p a l lines o f c o n t r a s t a m o n g C h i n e s e , a s well a s t h e l i n e s o f i n t e r n e c i n e s t r i f e . Within several decades, h o w e v e r — a n d certainly by the e n d of W o r l d W a r II—strong, c o h e r e n t Malay a n d C h i n e s e identities had, for m o s t p u r p o s e s , s u p e r s e d e d these lesser loyalties. T h i s develo p m e n t was p r o m p t e d by the j u x t a p o s i t i o n of these g r o u p s t h r o u g h o u t most of the Malay Peninsula. 4 3

44

T h e t h i r d illustration o f n o n - u r b a n g r o u p fusion involves the e v o l u t i o n o f o v e r r i d i n g i d e n t i t i e s a m o n g t h e A f r i c a n slaves a n d , later, t h e i n d e n t u r e d East I n d i a n laborers in t h e f o r m e r colonial t e r r i t o r i e s o f B r i t i s h G u i a n a ( n o w G u y a n a ) a n d T r i n i d a d . A s i s well k n o w n , a wide a r r a y of e t h n i c g r o u p s was r e p r e s e n t e d a m o n g the Africans w h o were transported to the New World. In spite of the c o n t i n u i n g i n f u s i o n f r o m A f r i c a f o r t w o c e n t u r i e s , a s well a s s u g g e s t i o n s t h a t t h e v^hite p l a n t e r s c o n s i d e r e d i n t r a - A f r i c a n h o s t i l ity t o b e u s e f u l f o r t h e i r o w n s e c u r i t y b y i m p e d i n g c o n c e r t e d eff o r t s t o r e v o l t , this f o r m i d a b l e d i v e r s i t y w a s h o m o g e n i z e d i n t o a single identity. Principally, this was d u e to t h e o v e r r i d i n g labor r e q u i r e m e n t s of the estates, which m a d e it impossible to p e r p e t u a t e e t h n i c differences d e r i v i n g from Africa, a n d t o t h e t r e m e n d o u s brutality of the plantation experience, which m a d e it inescapable t h a t t h e slaves w o u l d a c c e p t t h e e t h n i c d e f i n i t i o n s o f t h e m a s t e r s . 4 5

A s i m i l a r , t h o u g h less c o m p l e t e , f u s i o n o c c u r r e d a m o n g t h e E a s t I n d i a n s i m p o r t e d to work on the estates after t h e e m a n c i p a t i o n of t h e slaves i n 1 8 3 4 . F o r t h e w h i t e p l a n t e r s , t h e m o s t s i g n i f i c a n t g r o u p d i s t i n c t i o n s w e r e b e t w e e n t h o s e w h o w e r e vital t o t h e s u g a r 4 3 . F o r t h e C h i n e s e d i v i s i o n s , s e e V i c t o r P u r c e l l , The Chinese i n Southeast Asia ( L o n d o n , O x f o r d University Press, 1968), p p . 2 6 9 - 2 7 2 . 44.

As is attested by any general study of Malaysian politics. N e v e r t h e l e s s , intra-

M a l a y a n d i n t r a - C h i n e s e d i v i s i o n s still h a v e s o m e f o r c e . O n t h e C h i n e s e s i d e , s e e i b i d . O n t h e M a l a y s i d e , s e e S w i f t , Malay Peasant Society i n Jelebu, p p . 2 2 , 8 8 ; P e t e r J.

Wilson, A

Malay

Village and Malaysia

(New

Haven,

HRAK

Press.

1967),

pp.

18-24. 4 5 . S e e C h a r l e s L e s l i e , ,-f New History o f Jamaica ( L o n d o n , J . H o d g e s . 1 7 4 0 ) , p p .

3 1 0 - 3 1 1 . C o m p a r e W i n t h r o p D. J o r d a n , White over Black: American Attitudes toward the Negro, 1550-1812 ( B a l t i m o r e , P e n g u i n B o o k s .

1969), pp.

Ill,

185.

Ethnic

Identity

129

e c o n o m y a n d those w h o were not. T h e personal qualities t h a t were t h o u g h t b y local w h i l e s t o b e a s s o c i a t e d with effective p e r f o r m a n c e o f e s t a t e l a b o r (at v e r y low w a g e s ) w e r e i m p u t e d t o I n d i a n s a s a g r o u p . T h e o p p o s i t e attributes were ascribed to the African exslaves. Despite religious, linguistic, a n d caste h e t e r o g e n e i t y a m o n g t h e I n d i a n i m m i g r a n t s , the I n d i a n p o p u l a t i o n was t r e a t e d as if it w e r e c o m p o s e d of essentially fungible entities, with no significant ascriptive differences recognized. T h i s was t h e t r e a t m e n t m o s t c o m p a t i b l e with t h e r e q u i r e m e n t s of m a n a g i n g a relatively undiff e r e n t i a t e d l a b o r f o r c e . C o l o n i a l policies a n d s t e r e o t y p e s t h u s h e l p e d t o solidify t h e I n d i a n i d e n t i t y a s a g a i n s t c o m p e t i n g s u b g r o u p identities a n d to d e m a r c a t e it sharply from the N e g r o or Creole identity. 4 i !

E v e n t h e d i v i s i o n b e t w e e n H i n d u s a n d M u s l i m s lost m u c h o f its significance in the process. Elsewhere in overseas I n d i a n c o m m u n i ties, t h e p a r t i t i o n o f I n d i a i n s t a n t l y d i v i d e d t h e i m m i g r a n t s i n t o " I n d i a n s " a n d " P a k i s t a n i s . " I n E a s t Africa, t h e e n t i r e g r o u p w a s neutrally r e n a m e d the "Asian" c o m m u n i t y . By contrast, Guyanese a n d T r i n i d a d i a n Indians c a m e to regard H i n d u i s m a n d Islam as a p p r o p r i a t e alternatives to the Creole religion, Christianity, a n d so m e r e l y as "alternative ways of being I n d i a n . " Such divisions e l s e w h e r e were partly a p r o d u c t of the closer a n d c o n t i n u i n g c o n t a c t t h o s e I n d i a n c o m m u n i t i e s h a d with I n d i a . B u t , i n l a r g e m e a s u r e , t h e relatively u n d i v i d e d I n d i a n identitv in G u y a n a a n d T r i n i d a d c a n b e a t t r i b u t e d t o t h e l e v e l i n g effects o f t h e b r u t a l a n d intense West Indian plantation experience. 4 7

4 8

T h e M a l a y a n a n d W e s t I n d i a n e x a m p l e s o f a m a l g a m a t i o n illustrate, not merely the role of new g r o u p juxtapositions in p r o d u c i n g n e w g r o u p s , b u t also t h e r o l e o f t h i r d - p a r t } ' j u d g m e n t s o f affinities a n d disparities in defining the e m e r g i n g situation. In both, the 4 6 . S e c , e . g . , E d w a r d J e n k i n s , The Coolie: His Rights and Wrongs ( N e w Y o r k , G e o r g e R o u d e d g e X: S o n s . 1 8 7 1 ) . 4 7 . S e e G e o r g e D e l f . Asians i n East Africa ( L o n d o n . O x f o r d U n i v e r s i t y P r e s s , 1963).

4 8 . C h a n d r a J a v a w a r d e n a , Con/lid and Solidarity in a Guianese Plantation ( L o n d o n , A l h l o n e P r e s s , 1 9 6 3 ) . p . '23. S e e a l s o M o n o n K l a s s , East Indians i n Trinidad: A Study oj Cultural Persistence ( N e w Y o r k . C o l u m b i a U n i v e r s i t y P r e s s . 1 9 6 1 ) , p p . 1 5 6 ,

Donald

130

L.

Horowitz

B r i t i s h w e r e heavily i n f l u e n t i a l in t h e p r o c e s s of f u s i o n . In a signific a n t w a y , i t was t h e c o l o n i a l p e r c e p t i o n o f g r o u p b o u n d a r i e s t h a t prevailed. Rather crude stereotypes were e m p l o y e d in decision m a k i n g e v e n i n t h e relatively l a t e c o l o n i a l i s m o f M a l a y a . I n d i a n s a n d C e y l o n e s e ( w h o h a d also i m m i g r a t e d t o M a l a y a ) w e r e felt t o b e i n d i s p e n s a b l e t o t h e m a n a g e m e n t o f t h e r a i l w a y s a n d p o s t a n d teleg r a p h offices. " S u b o r d i n a t e p o s t s r e q u i r i n g i n t e l l i g e n c e a n d f i n a n cial skill i n t h e h o l d e r s w e r e best f i l l e d b y C h i n e s e . " T h e Malays w e r e said to be "unquestionably o p p o s e d to steady c o n t i n u o u s work"; hence the e n c o u r a g e m e n t given to i m m i g r a t i o n . By channeling motivation and recruitment in preconceived directions, colonial policy g a v e t h e e x i s t e n c e o f t h e e m e r g i n g g r o u p s a f i r m e r basis in the groups' own perceptions than it might otherwise have had. T h e r e s u l t was t o m a k e e a c h g r o u p i n c r e a s i n g l y c o n s c i o u s o f t h e a p t i t u d e s a n d disabilities, v i r t u e s a n d vices it s u p p o s e d l y h e l d i n common. 4 9

5,1

I f this was t r u e i n M a l a y a , i t was, o f c o u r s e , m a n y t i m e s m o r e t r u e i n t h e W e s t I n d i e s . A l t h o u g h t h e initial d i s p a r i t i e s w i t h i n t h e African a n d Indian g r o u p s in Guyana a n d T r i n i d a d may have b e e n g r e a t e r than the c o m p a r a b l e disparities w e r e in Malaya, far m o r e c o m p l e t e fusion was p r o d u c e d in t h e f o r m e r t h a n t h e latter. W h i l e M a l a y s a n d C h i n e s e still e v i d e n c e t h e i r i n c o m p l e t e a m a l g a mation, Caribbean Creoles and Indians are each m o r e firmly b o n d e d . F o r this r e s u l t , t h e m o r e t h o r o u g h g o i n g a n d o p p r e s s i v e c o l o n i a l i s m o f t h e W e s t I n d i e s m u s t b e c i t e d . T h e views o f t h e E u r o p e a n s a n d t h e i r u n i m p e d e d ability t o act o n t h e m w e r e s u r e l y an i m p o r t a n t reason for the greater assimilation within the Caribbean groups. T h i s s q u a r e s very well with e x p e r i e n c e e l s e w h e r e a n d w i t h social j u d g m e n t theory. For t h e C o n g o . C r a w f o r d Y o u n g has richly d o c u m e n t e d the central role of Belgian missionaries, military c o m m a n d e r s , a n d colonial a d m i n i s t r a t o r s i n forging, a m o n g o t h e r s , t h e Bangala and Mongo communities a m o n g colonized peoples lacking a p r e v i o u s s e n s e of c o m m o n a l i t y . I p o i n t e d o u t e a r l i e r t h a t , in 5 1

4 9 . F r a n k S w c t t e n h a m . British Malata ( L o n d o n . G e o r g e A l l e n & U n w i n , L t d . , 1948), p. 247. 50.

Ibid., p. 139.

5 1 . Politics in the Congo, p p . 2 4 2 - 2 4 5 . 2 4 7 - 2 4 9 .

Ethnic

131

Identity

j u d g i n g a m b i g u o u s s t i m u l i , t h e views o f o t h e r s a r e p a r t i c u l a r l y inf l u e n t i a l . T h e r e i s a d d i t i o n a l e x p e r i m e n t a l e v i d e n c e t h a t t h e inllu ence of the o t h e r s varies with their prestige; the h i g h e r their status a n d p o w e r , t h e less v a r i a n c e i n t h e j u d g m e n t scales t h a t e m e r g e . O n this b a s i s , w e w o u l d c e r t a i n l y e x p e c t e t h n i c a l l y d i f f e r e n t i a t e d s u p e r i o r s (in t h e s e c a s e s , t h e c o l o n i a l i s t s ) t o e x e r c i s e a f o r m i d a b l e i m p a c t o n t h e definition o f g r o u p b o u n d a r i e s . T h e m o r e rigidly r a n k e d the system, the greater the influence of r a n k e d superiors. 5 2

5 3

T w o further points regarding changing g r o u p b o u n d a r y perceptions s h o u l d be n o t e d h e r e . T h e first relates to the interaction of self- a n d o t h e r - d e f i n i t i o n s ; t h e s e c o n d i n v o l v e s s p i l l o v e r e f f e c t s . S e l f - d e f i n i t i o n s a n d o t h e r - d e f i n i t i o n s d o n o t n e c e s s a r i l y a d j u s t al the s a m e rate, s i m u l t a n e o u s l y p r o d u c i n g a n e w identity. Especially i f t h e n e w i d e n t i t y i s w i d e r t h a n t h e o l d , o t h e r - d e f i n i t i o n s a r e likely t o b e " a h e a d o f " ( t h a t is, w i d e r t h a n ) s e l f - d e f i n i t i o n s f o r s o m e t i m e . T h e e x i s t e n c e o f i n t e r n a l i z e d r e f e r e n c e scales o f t e n m e a n s t h a t a n e m e r g i n g g r o u p i n a n e w c o n t e x t m a y still b e p s y c h o l o g i c a l l y tied t o t h e o l d , n a r r o w e r c o n t e x t . If, h o w e v e r , o t h e r s h a v e h a d l i t t l e previous e x p e r i e n c e with t h e e m e r g i n g g r o u p , their j u d g m e n t s will b e less h a m p e r e d b y k n o w l e d g e o f t h e o l d c o n t e x t , a n d h e n c e t h e y will b l u r s u b g r o u p s t o g e t h e r m o r e r e a d i l y . W h a t o f t e n h a p p e n s , t h e r e f o r e , is t h a t t h e r e is a l a g in i d e m if i< a tions. O t h e r s a t f i r s t perceive t h e e m e r g i n g g r o u p a s m o r e h o m o g e n e o u s t h a n i t s e e s itself. E x a m p l e s o f t h i s a r e n o t lacking " T h u s t h e F o n , S a v , a n d P o p o p e o p l e w h o w e n t t o t h e I v o r y Coasl were not distinguished o n e from a n o t h e r by t h e Ivory Coast people, but w e r e l u m p e d t o g e t h e r as D a h o m e y a n s a n d treated as such. L i k e w i s e , t h e Mossi a n d r e l a t e d b u t d i s t i n c t g r o u p s f r o m t h e n o r t h such as the Busani a n d G u r u n s i were often l u m p e d together as 'Moshi' by the Ghanaians." T h e " B i h a r i s " o f East Bengal were b y n o m e a n s all f r o m B i h a r ; t h e y w e r e M u s l i m m i g r a n t s f r o m s e v e r a l s t a t e s i n N o r t h I n d i a w h o s e collective i d e n t i t y t h e B e n g a l i s h a d 5 4

52.

Sherif

53.

For an e x a m p l e of a highly ranked system, see

and

H o v l a n d , Social Judgment,

pp.

89-90. Horowitz, "Color Differen-

tiation." 54. ber

Elliott P. S k i n n e r , " S t r a n g e r s in

1963), 315.

W e s t A f r i c a n S o c i e t i e s , " Africa,

33.4 (Octo-

132

Donald

compressed.

5 5

Batak

Horowitz

T h e s a m e t e n d e n c y has been observed a m o n g Batak

in B a n d u n g , Java. dating

L.

5 6

Back h o m e in S u m a t r a , the Muslim

differentiate

themselves

from

the

Christian

ManToba

B a t a k . I n B a n d u n g , h o w e v e r , t h e S u n d a n e s e fail t o o b s e r v e t h e d i s tinction a n d m e r g e the two into the category of Batak. T h i s leads the

Mandailing to

reemphasize what separates

them

from

the

T o b a , b u t they have also c o m e to realize that, in t h e n e w context, t h e w i d e r i d e n t i t y h a s s o m e validity o r a t least utility; a n d , o n o c c a s i o n , t h e y , t o o , h a v e b e g u n t o e m p l o y it. O n c e self-definitions "catch u p , " h o w e v e r , the s a m e internalized scales h a v e a d i f f e r e n t effect. T h e n e w i d e n t i t y m a y b e i n v o k e d even w h e r e the context is not quite the same as the new context in w h i c h b o u n d a r i e s w e r e r e - f o r m e d . W h e r e a s earlier t h e effect o f l e a r n e d i d e n t i t i e s w a s t o r e t a r d c h a n g e , n o w its e f f e c t i s t o a c c e l e r a t e a n d c o m p l e t e it. I n M a l a y a , f o r e x a m p l e , a s t h e M a l a y i d e n t i t y s u p e r s e d e d the identities of t h e c o m p o n e n t s u b g r o u p s , it was inv o k e d e v e n in a r e a s w h e r e contact with t h e C h i n e s e was of a relatively low o r d e r o f m a g n i t u d e . POLITICAL BOUNDARIES AND IDENTITY CHANGE T e r r i t o r i a l b o u n d a r i e s d e f i n e t h e "social s p a c e " i n w h i c h g r o u p c o n t a c t o c c u r s . I n t e r m s o f social j u d g m e n t t h e o r y , t h e y t e n d t o set the r a n g e of the e t h n i c series within which g r o u p s a r e "placed." T h e i r b r e a d t h o r n a r r o w n e s s m a y also s u g g e s t s o m e o f t h e r e w a r d s of e x p a n d e d or contracted identities.

5 7

T h e c a s e o f t h e I b o u n d e r s c o r e s t h e i m p o r t a n c e o f f o r m a l political b o u n d a r i e s a n d p r o v i d e s a r a t h e r c l e a r i n s t a n c e o f t h e g r a f t i n g of n e w layers of identity into old, each available to be invoked as the context seems to require. While the Ibo have o p e r a t e d r a t h e r c o h e s i v e l y a s Ibo a t t h e n a t i o n a l level o f N i g e r i a n politics, t h e y h a v e divided

u p a t l o w e r levels a l o n g lines d e t e r m i n e d v a r i o u s l y b y

5 5 . S e e A. F. A. H u s a i n a n d A. F a r o u k , The Social Integration of Industrial Workers i n Khulna ( D a c c a , B u r e a u o f E c o n o m i c R e s e a r c h , U n i v e r s i t y o f D a c c a , 56.

1963).

E d w a r d Bruner, " T h e Expression of Ethnicity in Indonesia," u n p u b l i s h e d

p a p e r . Southeast Asia D e v e l o p m e n t Advisory G r o u p , N e w York, 1972, p . 2 1 . S e e a l s o Y o u n g , Politics i n the Congo, p p . 2 4 0 - 2 4 1 . 5 7 . B a i l e y , " C l o s e d S o c i a l S t r a t i f i c a t i o n , " 1 2 1 - 1 2 2 ; M a n d e l b a u m , Society i n India, II, c h a p . 2 6 .

Ethnic

133

Identity

region of origin, lineage, a n d so on. In the f o r m e r Eastern Region of Nigeria, colonial administrative units g e n e r a t e d new identities t h a t b e c a m e i n c r e a s i n g l y r e l e v a n t a s m i g r a n t s f r o m t h e s e a r e a s met in t h e u r b a n setting of Port H a r c o u r t , an I b o - m a j o r i t y t o w n . In this contracted context, the Ibo identified themselves by r e f e r e n c e to place of o r i g i n — t h i s defined by the colonially i m p o s e d " i n t e r m e d i ate c o m m u n i t i e s of administrative division a n d

province," even

t h o u g h , it should be emphasized, these units were distinguished from each o t h e r "primarily by the arbitrary p l a c e m e n t of colonial 5 8

b o u n d a r i e s a n d only secondarily by cultural variations." Survey data

from

pre-Bangladesh

East Bengal

reveal

equally

s t r o n g district-level allegiances. A s k e d t o n a m e t h e i r " c o u n t r y , " two t h i r d s o f a n East Bengali s a m p l e n a m e d t h e i r d i s t r i c t .

5 9

A m o n g the

T o n g a o f s o u t h e r n Z a m b i a , local i d e n t i t i e s b a s e d l a r g e l y o n k i n s h i p h a v e g r a d u a l l y g i v e n way t o a n i n c l u s i v e T o n g a i d e n t i t y . H o w e v e r , t h e " n e w sense of T o n g a h o o d has clashed on occasion with the exi s t e n c e o f t h e t h r e e political d i v i s i o n s c r e a t e d b y t h e a d m i n i s t r a t i o n : P l a t e a u T o n g a . Valley T o n g a , a n d T o k a L e y a t h e n view o n e a n o t h e r as threatening aliens."

6 0

nificant cleavage

numerically

among

the

I n S a r a w a k , E a s t M a l a y s i a , a sigpredominant

Ibans

is

b a s e d o n r i v a l r i e s b e t w e e n " d i v i s i o n s . " D u r i n g t h e e a r l y y e a r s o f ind e p e n d e n c e , a p e r s o n ' s p a r t y loyalties w e r e d e t e r m i n e d t o s o m e e x t e n t b y w h e t h e r h e w a s a S e c o n d Division I b a n o r a T h i r d Divis i o n I b a n ; t h e c o m p e t i t i o n w a s s o m e t i m e s f r e n e t i c . T h e f i v e divisions were administrative units imposed by the colonial regime."

1

A n d in Kinshasa, Zaire (then Leopoldville, the C o n g o ) , s o m e of the m a j o r e t h n i c associations o f t h e p r e - i n d e p e n d e n c e p e r i o d w e r e actually based on r u r a l a d m i n i s t r a t i v e d i v i s i o n s .

02

D e s p i t e t h e " a r b i t r a r i n e s s " a n d "artificiality" o f t h e s e territorial b o u n d a r i e s , they have c o m e to constitute i n t e r n a l i z e d a n c h o r s for 5 8 . H o w a r d W o l p e , " P o r t H a r c o u r t : I b o P o l i t i c s i n M i c r o c o s m . "Journal o f Mod-

ern African Studies, 7 . 3 ( S e p t e m b e r 1 9 6 9 ) , 4 8 6 . 59. Schuman,

"Social

Change

and

the

Validity

of

Regional

Stereotypes,"

pp. 429-430. 60. Colson, " T h e Assimilation of Aliens A m o n g Zambian T o n g a . " p. 37. 6 1 . S e e R. S.

M i l n e . Government and Politics in Malaysia ( B o s t o n , L i t t l e , B r o w n ,

1967), p. 100.

6 2 . Y o u n g , Politics in the Congo, p p . 2 4 5 - 2 4 6 .

Donald

134

L.

Horowitz

g r o u p identity. A colonial administrative u n i t is n o t too superficial a basis for e t h n i c identitv. I n t e r p r e t i n g his survey d a t a on East Bengal, Howard Schuman comments that to an outside observer t h e districts s e e m to be merely a d m i n i s t r a t i v e units, b u t to t h e Bengalis they also r e p r e s e n t distinct regions, a n d a m a n tends to identify a n d be identified in t e r m s of the District he "belongs t o " — m e a n i n g the o n e from which he originates . . . From a theoretical s t a n d p o i n t , the Districts can usefully be r e g a r d e d as "ethnic g r o u p s " in t h e generic sense of " p e o p l e h o o d , " similar in n a t u r e (though less sharply a n d deeply defined) to nationality g r o u p s in the West and to m a n y of t h e so-called tribal g r o u p s in Africa. 63

T h e tenacity of the intra-Ibo provincial rivalries of the s a m e kind, b o t h b e f o r e a n d a f t e r t h e N i g e r i a n civil w a r ,

6 4

reinforces the same

interpretation. S o f a r w e h a v e b e e n chiefly c o n c e r n e d w i t h t h e e x p a n s i o n o f g r o u p i d e n t i t y , with n e w a n d h i g h e r levels b e i n g s u p e r i m p o s e d o n o l d a n d l o w e r levels, f t i s q u i t e t r u e , o f c o u r s e , t h a t i n t h e d e v e l o p ing world d u r i n g the colonial period, as in E u r o p e m u c h earlier, the principal thrust of g r o u p contact and colonywide boundaries was to c r e a t e l a r g e r e t h n i c g r o u p s , m a n y c a p a b l e of a c t i n g with a c o n s i d e r a b l e m e a s u r e of cohesion even at t h e colonial (later the nat i o n a l ) level of politics. B u t it is a l s o t r u e , as I h a v e i n d i c a t e d , t h a t t h e m o r e inclusive identities did not always displace entirely or r e n d e r vestigial t h e less i n c l u s i v e i d e n t i t i e s . W i t h t h e m u l t i p l i c a t i o n o f c o n t e x t s , t h e r e was typically a m u l t i p l i c a t i o n o f levels, a n d s o m e o f t h e l o w e r levels o f i d e n t i t v o f t e n r e m a i n e d q u i t e p o w e r f u l .

6 5

T h o u g h t h e g e n e r a l thrust was u p w a r d , that was n e i t h e r t h e universal n o r t h e exclusive t e n d e n c y for a n y given c o u n t r y . S o m e of 6 3 . S c h u m a n , " S o c i a l C h a n g e a n d t h e V a l i d i t y of

Regional Stereotypes," pp.

4 2 9 - 4 3 0 (footnotes omitted). 64.

F o l l o w i n g t h e civil

war.

the

f e d e r a l official a p p o i n t e d

to administer the

f o r m e r s e c e s s i o n i s t s t a t e w a s a c c u s e d of f a v o r i n g h i s o w n " s u b g r o u p , " t h e O n i t s h a I b o . Washington Post, 65.

Nov. 30.

1 9 7 0 . p. A - 2 0 .

For a deadly e x a m p l e , see the role of the southern

s a c r e of

Tutsi p r e c e d i n g t h e m a s -

H u t u in B u r u n d i . Victor D. D u B o i s , " T o Die in B u r u n d i — P a n I: T h e

E r u p t i o n of Intertribal Strife:

Spring

1972,"

Reports, C e n t r a l & S o u t h e r n A f r i c a S e r i e s ,

American

Universities

16.3 ( S e p t e m b e r

1972). 4-5.

Field Staff

Ethnic

135

Identity

t h e most significant ethnic interactions in the post-colonial p e r i o d i n Asia a n d A f r i c a , a n d t h e p o s t - W o r l d W a r I I p e r i o d i n t h e W e s t a s well, h a v e i n v o l v e d d o w n w a r d shifts i n t h e f o c u s o f g r o u p i d e n tity. E v e n d u r i n g t h e c o l o n i a l p e r i o d s o m e g r o u p s w e r e d i f f e r e n tiating themselves from others w h o had earlier been r e g a r d e d as m e m b e r s of t h e s a m e g r o u p . In n i n e t e e n t h c e n t u r y India, for exa m p l e , o n e o f t h e effects o f r e l i g i o u s r e v i v a l m o v e m e n t s w a s t o s h a r p e n t h e lines b e t w e e n H i n d u s a n d M u s l i m s .

6 6

A side-effect was to

differentiate Sikhs from H i n d u s . T h e r e f o r m i s m of the H i n d u Arya Samaj

was

not

very

different

in

content

from

the

Sikhs'

own

m o v e m e n t , the Singh Sabha. But the Arya Samaj emphasized Hindi as t h e l a n g u a g e of a revitalized H i n d u culture, whereas the Sikhs were a t t a c h e d to the Punjabi l a n g u a g e . Gradually, the Sikh m o v e m e n t s o u g h t t o " p u r i f y " S i k h i s m bv e x c i s i n g H i n d u i n f l u e n c e s , t h e r e b y c r e a t i n g a sense of a distinctive Sikh i d e n t i t y .

6 7

T h i s , i t s h o u l d b e said,

w a s a d e v e l o p m e n t t h a t p r o c e e d e d i n t h e face o f c e n t u r i e s o f r i t u a l a n d social i n t e r a c t i o n , a s well a s i n t e r m a r r i a g e a n d c o n v e r s i o n , between Sikhs a n d

Hindus.

I n s h o r t , t h e earlier b o u n d a r y was

e x c e e d i n g l y fluid, a n d n o w , f o r t h e f i r s t t i m e , a n a s c r i p t i v e S i k h identity e m e r g e d . T h e alacrity with which g r o u p s a r e able to adjust their identity d o w n w a r d a s well a s u p w a r d d e m o n s t r a t e s t h a t c h a n g i n g c o n t e x t s c a n w o r k f o r f i s s i o n a s easily a s f o r f u s i o n . I n d e e d , i n s o m e w a y s m o r e s o , f o r t h e availability o f l o w e r o r " s u b e t h n i c " levels o f i d e n tity p r o v i d e s a c o n v e n i e n t , p r e e x i s t i n g basis of c o h e s i o n to w h i c h a g r o u p can shrink.

repair if the context in which

Hardly

had the

it o p e r a t e s seems to

Indo-Pakistani subcontinent been parti-

tioned along what were thought to be hard-and-fast Hindu-Muslim l i n e s w h e n , i n 1 9 4 8 . M o h a m m e d Ali J i n n a h , w h o h a d d o n e s o m u c h t o foster s u b n a t i o n a l identities in u n d i v i d e d India, ironically f o u n d it necessary to warn against the "curse of provincialism" in undivided Pakistan.

6 8

T h e P a k i s t a n case, i n fact, e x e m p l i f i e s w h a t a p p e a r s i n r e t r o s p e c t t o 6 6 . H u g h T i n k e r , India and Pakistan ( N e w Y o r k , P r a e g e r , 19(38), p p . 1 0 - 1 2 .

6 7 . N a y a r , Minority Politics in the Punjab, p p . 6 2 - 6 3 , 7 1 - 7 3 . 6 8 . Q u o t e d i n t h e Far Eastern Economic Review ( H o n g K o n g ) , M a y p. 3 7 5 .

15,

1969,

136

Donald

L.

Horowitz

h a v e b e e n a s t r i k i n g p a t t e r n o f d o w n w a r d shifts i n t h e c e n t r a l f o c u s o f ethnic identity in a score or m o r e countries a r o u n d the time of i n d e p e n d e n c e . It is s o m e t i m e s said that t h e colonial p o w e r s "contained," "suppressed," or " m u t e d " ethnic animosities—though it is also a s s e r t e d t h a t t h e y " u s e d " e t h n i c d i f f e r e n c e s t o " d i v i d e a n d r u l e . " A l t h o u g h it is d i f f i c u l t to h a v e it b o t h w a y s , it is n o t n e c e s s a r y h e r e to pause over these contrasting interpretations. For the more theoretically i n t e r e s t i n g p o i n t a b o u t t h e r i s i n g i n c i d e n c e o f e t h n i c conflict a s c o l o n i a l r u l e n e a r e d its e n d i s t h a t i t r e f l e c t e d t h e i n c r e a s i n g i m p o r t a n c e o f t h e local c o n t e x t . W h i l e c o l o n i a l d o m i n a t i o n l a s t e d , t h e c o l o n y - w i d e u n i t w a s a level o f i d e n t i f i c a t i o n o f s o m e i m p o r t a n c e . A m a n m i g h t be an Ibo, but, so far as t h e E u r o p e a n s w e r e c o n c e r n e d , he was also a Nigerian, a n d , in c o n s e q u e n c e , both identities w e r e significant u n d e r different c i r c u m s t a n c e s . T h e nationalist m o v e m e n t s , w h i l e t h e y d i d n o t a l w a y s e m b r a c e all e t h n i c g r o u p s p r o p o r tionately, a t t e m p t e d to reinforce the wider identity by e m p h a s i z i n g the c o m m o n condition i f f subordination which the colonial powers h a d i m p o s e d . A s l o n g a s t h e e x t e r n a l c o n t e x t r e t a i n e d its i m p o r t a n c e , b o t h levels o f i d e n t i t y w e r e s a l i e n t . W h e n t h e c o l o n i a l p o w e r s r e t r e a t e d , t h e e x t e r n a l c o n t e x t lost m u c h o f its m e a n i n g , a n d t h e d u a l i t y i n levels o f i d e n t i t y d e c l i n e d . 6 9

H o w d r a m a t i c a l l y this o c c u r r e d c o u l d b e o b s e r v e d i n t h e e v e n t s t h a t t r a n s p i r e d i n t h e f i r s t few A s i a n a n d A f r i c a n s t a t e s t o r e c e i v e i n d e p e n d e n c e . With the precipitous partition of India in 1947, s e v e r a l h u n d r e d t h o u s a n d lives w e r e lost i n a n o u t b r e a k of c o m m u n a l m u r d e r that s p r e a d from Baluchistan in the west to Bengal in t h e e a s t . T h e b l o o d was b a r e l y d r y w h e n , w i t h t h e n e w t e r r i t o r i a l b o u n d a r i e s fixed, a further contraction of identity o c c u r r e d , a n d the " p r o v i n c i a l i s m " d e p l o r e d b y J i n n a h set in, n o t o n l y i n P a k i s t a n , b u t also i n I n d i a . B u r m a , g r a n t e d i n d e p e n d e n c e a y e a r l a t e r , slid i n t o civil a n d secessionist wars from which, m o r e t h a n a q u a r t e r c e n t u r y later, i t h a s n o t y e t fully e m e r g e d ; w h i l e C e y l o n , also i n d e p e n d e n t i n 1 9 4 8 , t o o k e i g h t y e a r s t o r e a c h a n u p s u r g e of hostility b e t w e e n S i n h a l e s e a n d T a m i l s , but w h e n it c a m e , it was exceedingly brutal. T h e S u d a n , 69.

It s h o u l d be m a d e clear that t h e r e was surely e t h n i c a n t i p a t h y a n d violence

e v e n a t t h e h e i g h t o f c o l o n i a l r u l e , b u t t h e r e w a s m u c h m o r e a f t e r t h e first s m a l l steps w e r e taken toward decolonization.

137

Ethnic Identity

o n e o f t h e first o f t h e A f r i c a n states t o b e d e c o l o n i z e d , f o l l o w e d t h e B u r m e s e p a t h . O n t h e eve o f i n d e p e n d e n c e , S o u t h e r n t r o o p s m u t i n i e d , extensive rioting o c c u r r e d , a n d a w a r of secession followed. A t t h e t i m e , e a c h o f t h e s e a n d o t h e r c a s e s w a s v i e w e d a s sui generis. O f c o u r s e , e a c h c a s e h a s its o w n v a r i a t i o n s , b u t e a c h a l s o i l l u s t r a t e s a g e n e r a l a n d powerful t e n d e n c v : as identity t e n d s to e x p a n d with an e x p a n d i n g context, often shaped by e x p a n d i n g territorial b o u n d aries, it t e n d s to c o n t r a c t with a c o n t r a c t i n g c o n t e x t , a g a i n often defined by contracting territorial b o u n d a r i e s . Self-determination, by definition, r e n d e r s the contracted context the i m p o r t a n t one. S e l f - d e t e r m i n a t i o n t h u s raises t h e q u e s t i o n o f t h e " s e l f " — i t d e t e r m i n e s v e r y little. 7 0

T h e m o v i n g force of assimilation a n d differentiation is the sense of similarity a n d difference from others s h a r i n g the s a m e space. As t h e i m p o r t a n c e o f a g i v e n political u n i t i n c r e a s e s , s o d o e s t h e i m p o r t a n c e o f t h e h i g h e s t a v a i l a b l e level o f i d e n t i f i c a t i o n i m m e d i a t e l y beneath t h e level o f t h a t u n i t , f o r t h a t i s t h e level a t w h i c h j u d g m e n t s of likeness are m a d e and contrasts take hold. T h e r e seems to be a kind of " P a r k i n s o n ' s Law" at work, by which g r o u p identity t e n d s t o e x p a n d o r c o n t r a c t t o f i l l t h e political s p a c e a v a i l a b l e f o r its expression. CONCLUSION T h e r e are

many questions about ethnic boundary change to

which there are not, as things now stand, even r u d i m e n t a r y answers. Not only is the formulation of the criteria by which g r o u p s 70.

It is t h e s i g n i f i c a n c e , as m u c h as t h e l o c a t i o n , of territorial b o u n d a r i e s that

affects the

relative i m p o r t a n c e attached

t o v a r i o u s l e v e l s of

identity.

For s o m e

newly i n d e p e n d e n t states, the external context r e m a i n e d i m p o r t a n t e v e n after the c o l o n i a l i s t s left.

I n S o m a l i a , f o r i n s t a n c e , t h e first s e v e r a l y e a r s o f i n d e p e n d e n c e

were m a r k e d by irredentism as the Somalis sought to retrieve their brothers in Ethiopia and

Kenya.

E v e n d u r i n g this p e r i o d , S o m a l i p o l i t i c s w a s h e a v i l y i n f l u -

e n c e d b y t h e i n t e r e s t s o f c o n t e n d i n g ascriptive g r o u p s , but a policy o f e x t e r n a l d e t e n t e really o p e n e d t h e way for internal disintegration. In

1909 the precarious

e t h n i c b a l a n c e was d e s t r o y e d in an election m a r k e d by v i o l e n c e , t h e s u b s e q u e n t ass a s s i n a t i o n o f t h e p r e s i d e n t , a n d a c o u p w h i c h b r o u g h t t o p o w e r a S u p r e m e Military C o u n c i l E. A.

chosen

carefully to

reconstruct

the balance of ethnic

B a y n e , "Somalia's Myths Are Tested." American

Reports, N o r t h e a s t A f r i c a S e r i e s , 16.1 ( 1 9 6 9 ) .

groups. See

Universities Field Staff

Donald

138

L.

Horowitz

j u d g e likeness a n d unlikeness a wholly u n e x p l o r e d process, but e v e n t h e basic d i s t i n c t i o n s b e t w e e n a m a l g a m a t i o n a n d i n c o r p o ration or division a n d proliferation r e m a i n in d o u b t . O n e s u s p e c t s , for e x a m p l e , t h a t a m a l g a m a t i o n a n d d i v i s i o n m a y be m o r e "mechanical" processes than incorporation a n d prolifera t i o n . T h a t is, specific collective g o a l s — s u c h a s e c o n o m i c o r p r e s tige g a i n s — a l m o s t p u r p o s e f u l l y e s p o u s e d , o f t e n s e e m t o b e o f c o n siderable importance in incorporation a n d proliferation, whereas a m a l g a m a t i o n a n d division mav b e m o r e d e p e n d e n t u p o n p u r e l y e x t e r n a l c i r c u m s t a n c e s , s u c h a s a b r u p t c h a n g e s i n t h e size a n d sign i f i c a n c e o f political b o u n d a r i e s . I t i s i n t e r e s t i n g t h a t i n c o r p o r a t i o n a n d proliferation, once accomplished, usually entail a r e n u n c i a t i o n of the earlier identity—perhaps because instrumental considerations a r e o f t e n i n v o l v e d — w h i l e a m a l g a m a t i o n a n d d i v i s i o n t e n d t o involve a multiplication of identities, r a t h e r t h a n a m e r e e x c h a n g e of o n e i d e n t i t y for a n o t h e r . - T h i s ma}' l e a v e t h e l a t t e r p r o c e s s e s m o r e flexible for ajDOtential r e v i s i o n d o w n w a r d o r u p w a r d a s n e w c o n t e x t s i m p i n g e o n p e r c e p t i o n s . T h a t , a t least, i s a p l a u s i b l e h y pothesis. 7 1

7

Equally uncertain are the d e t e r m i n a n t s of variations within part i c u l a r p r o c e s s e s . W h v d i d t h e B a g a n d a qualify t h e i r p r a c t i c e o f inc o r p o r a t i n g less p r e s t i g i o u s m i g r a n t s t o B u g a n d a , w h e r e a s a s i m i lar p r o c e s s u n d e r w a y i n w e s t e r n U g a n d a was t e r m i n a t e d , n o t b y t h e prestigious i n c o r p o r a t i n g g r o u p , the B a t o r o , b u t b y t h e Bak o n j o , w h o h a d b e e n actively a b a n d o n i n g t h e i r oyvn c u s t o m s , p r a c tices ( i n c l u d i n g c i r c u m c i s i o n ) , a n d l a n g u a g e i n f a v o r o f t h e B a t o r o model? W h a t v a r i a b l e s will d e t e r m i n e w h e t h e r t h e C h a m i a l i s 7,1

71.

For an

example,

see

Barth. "Pathan

B a r t h , e d . . Ethnic Groups and Boundaries,

pp.

Identity

and

Its

Maintenance,"

in

124—125.

O f c o u r s e , i n s t r u m e n t a l calculations are not

necessarily always e x c l u d e d

from

a m a l g a m a t i o n a n d division. See notes 6 - 8 and a c c o m p a n y i n g text, above. 7 2 . T o l a k e a c c o u n t o f t h e full r a n g e o f p o s s i b i l i t i e s .

Herbert Kaufman pro-

poses a threefold, rather than twofold, typology of b o u n d a r y e x p a n s i o n for o r g a nizations, by d i v i d i n g a m a l g a m a t i o n into m e r g e r a n d f e d e r a t i o n : in the latter, "the participating organizations retain their o w n identity a n d b o u n d a r i e s , but by a g r e e m e n t e s t a b l i s h a n o t h e r o r g a n i z a t i o n w h o s e b o u n d a r i e s e n c o m p a s s t h e m all." Why

Organizations Behave as They Do. p. 5 5 . 73.

Martin

R.

Doornbos. "Kumanvana and

Rwenzururu:

Two

Responses to

E t h n i c I n e q u a l i t y , " i n R o b e r t 1 . R o t h e r g a n d A l i A . M a z r u i , e d s . , Protest and Power

Ethnic Identity

139

continue to receive the B r a h m a u r i B r a h m a n s or whether the Brahm a n s will c o n t i n u e t o p u r s u e t h e i r r e l a t i v e l y r e c e n t p r o c l i v i t y t o m o v e t o w a r d t h e C h a m i a l i identity? H e r e a r e t h r e e cases o f partial i n c o r p o r a t i o n with no a p p a r e n t e x p l a n a t i o n for d i v e r g e n c e in "outcome." I t i s p e r h a p s c u r i o u s , i n view o f t h e s e basic g a p s i n o u r u n d e r s t a n d i n g , that t h e r e are clues in the study of identity c h a n g e to s o m e l a r g e r i s s u e s o f p o l i c y i n e t h n i c a l l y d i v i d e d s o c i e t i e s . I shall t o u c h briefly—and b r o a d l y — o n t h r e e such issues. F i r s t o f all, w e n o t e d a t v a r i o u s p o i n t s t h a t t h e g e n e r a l e f f e c t o f a m a l g a m a t i o n was to s u p e r i m p o s e new layers of identity on old, w i t h o u t d i s p l a c i n g t h e o l d levels. O n l y r a r e l y a n d o n l y o v e r v e r y long periods of time has amalgamation succeeded in p r o d u c i n g so complete a fusion as to obliterate the c o m p o n e n t s u b g r o u p s . T h e destruction of diversity within the Creole a n d I n d i a n ethnic g r o u p s i n t h e W e s t I n d i e s t o o k a h e a v y h u m a n toll a n d w a s p o s s i b l e o n l y b e c a u s e these w e r e slave or, later, semi-slave societies. Few states today can r e p r o d u c e the degree of subordination, coercion, and pressure on the c o m p o n e n t g r o u p s which m a d e the West Indian f u s i o n p o s s i b l e , a n d few will f i n d t h e m e t h o d a p p e a l i n g i n a n y c a s e . T h e b r u t a l i t y o f t h e W e s t I n d i a n e x p e r i e n c e p o i n t s t o t h e h i g h costs o f a s s i m i l a t i o n i s t o r , m o r e a c c u r a t e l y , a m a l g a m a t i o n i s t policies o f " n a t i o n - b u i l d i n g " in e i t h e r t h e n e w states or t h e old. W i t h i n p r e s e n t p o l i t i c a l b o u n d a r i e s , m o s t will h a v e t o c o n t e n t t h e m s e l v e s with at best i n c o m p l e t e results if fusion is t h e goal. S e c o n d , a t least e q u a l d o u b t i s cast o n s e c e s s i o n i s t o r p a r t i t i o n i s t " s o l u t i o n s " t o e t h n i c conflict. If t h e a i m i s t o e x c i s e e t h n i c d i v e r s i t y by dividing o n e state into two or m o r e , the contextual c h a r a c t e r of e t h n i c i d e n t i t y will h a v e t o b e f a c e d . T o t h e e x t e n t t h a t t h e r e a r e residual s u b g r o u p s , a region that a p p e a r s to be h o m o g e n e o u s w h i l e it is p a r t of a l a r g e r e n t i t y is n o t likely to r e m a i n so if it is

in

Black Africa

(London,

Oxford

University

Press,

1970);

Doornbos,

"Protest

M o v e m e n t s i n W e s t e r n U g a n d a : S o m e P a r a l l e l s a n d C o n t r a s t s , " Kroniek van Afrika ( 1 9 7 0 / 3 ) , p p . 2 1 3 - 2 2 9 . It s h o u l d b e s a i d t h a t t h e B a k o n j o m o s t i n v o l v e d i n t h e e m ulation a n d later rejection o f B a t o r o c u s t o m w e r e largely m e m b e r s o f a n a s p i r i n g elite. This is n o t surprising, since m o v e m e n t s for i n c o r p o r a t i o n o f t e n b e g i n at the elite level.

140

Donald

L.

Horowitz

c a r v e d o u t a n d set o n its o w n . M o s t g r o u p m e m b e r s r e s p o n d t o d o w n w a r d shifts i n s i g n i f i c a n t political b o u n d a r i e s b y d o w n w a r d shifts i n t h e f o c u s o f g r o u p i d e n t i t y , a n d t h e p r o b a b i l i t y i s t h a t s e c e s s i o n a n d p a r t i t i o n will r e s u l t i n c o n t r a c t e d g r o u p b o u n d a r i e s b u t n o t n e c e s s a r i l y less e t h n i c d i v e r s i t y . T h i r d , t h e r e i s t h e o p p o s i t e o p t i o n : e x p a n s i o n o f political b o u n d aries t h r o u g h "international regional integration" or federation. All e l s e b e i n g e q u a l , t h i s s h o u l d p r o d u c e a s t r o n g p u l l t o w a r d amalgamation.

Conceivably,

a

skillful

multiplication

o f political

b o u n d a r i e s a t v a r i o u s levels c o u l d also m u l t i p l y s i g n i f i c a n t levels o f e t h n i c i d e n t i f i c a t i o n s o t h a t n o o n e level r e m a i n s s o s a l i e n t a s t o c r e a t e u n m a n a g e a b l e conflict. T h i s i s e s s e n t i a l l y t h e n o t i o n o f c o n t r o l l i n g conflict b y a p p o r t i o n i n g it. I d o n o t k n o w w h e t h e r E u r o p e c a n save Belgium. B u t it does seem clear from the e x p a n s i o n a n d c o n t r a c t i o n o f g r o u p b o u n d a r i e s w i t h political b o u n d a r i e s t h a t a f r e s h l o o k a t t h e i m p a c t o f c h a n g i n g t e r r i t o r i a l b o u n d a r i e s i s well w a r r a n t e d . T h i s kind of p r o p o s a l is very m u c h — t o o m u c h — o u t of v o g u e a t t h e m o m e n t , b e c a u s e social s c i e n c e , a n d e s p e c i a l l y political s c i e n c e , c o n t i n u e s t o r e b e l a g a i n s t t h e e x c e s s i v e f o r m a l i s m o f an earlier period. Nevertheless, the contextual character of ethnic identity suggests t h a t t h e s t r o n g links b e t w e e n f o r m a l a n d informal processes can hardly be ignored.

5 DANIEL BELL

Ethnicity and Social Change

I n t h e last d e c a d e , t h e r e h a s b e e n a r e s u r g e n c e o f e t h n i c i d e n t i f i c a t i o n as t h e basis f o r e f f e c t i v e political a c t i o n in w i d e l y d i v e r g e n t s o c i e t i e s . U n l i k e t h e w o r l d - w i d e s t u d e n t m o v e m e n t s of'thfi 1 9 6 0 s , t h e r e d o e s n o t s e e m t o h a v e b e e n a n y c o h e r e n t liaison b e t w e e n t h e s e d i v e r s e e t h n i c e v e n t s , o r a c o n t a g i o n o f e f f e c t s i n t h e s e eihni< stirrings. N o r would t h e r e seem to be a c o m m o n ideological c u r r e n t , a s was p r o b a b l y t h e case i n t h e s t u d e n t s i t u a t i o n . O n e w o u l d s u p p o s e , h o w e v e r , t h a t t h e r e a r e s o m e c o m m o n structural s o u r c e s which derive from c o m m o n underlying trends in the different societies for t h e u p s u r g e o f ethnicity, e v e n t h o u g h each national i n s t a n c e p r o d u c e s its o w n i d i o s y n c r a t i c c o n s e q u e n c e s . 1

T h e s i n g l e m o s t i m p o r t a n t fact a b o u t t h e s e v a r i e d movements, t h a t t h e y h a v e t a k e n political f o r m , w o u l d i n d i c a t e t h a t c e r t a i n basit 1.

In t h e U n i t e d Stales, the e t h n i c stirrings a n d the s t u d e n t m o v e m e n t

tool

p l a c e a l m o s t s i m u l t a n e o u s l y , b u t t h e r e w a s n o o r g a n i z a t i o n a l a n d i d e o l o g i c a l link a g e b e t w e e n t h e two. T h e r e a s o n i s that t h e y h a d totally d i f f e r e n t foci. T h e stud e n t m o v e m e n t w a s d i f f u s e , e x p r e s s i v e , m o r a l i s t i c ; its t a r g e t s , t h e w a r a n d t h e . H I thority structure in the university a n d the society. T h e ethnic m o v e m e n t s wenf o c u s e d l a r g e l y o n s t a t u s a n d p o l i t i c a l g a i n s within t h e s o c i e t y a n d , t o t h e e x t e n t t h e ) w e r e a w a r e o f t h e s t u d e n t s , t h e y w e r e h o s t i l e t o t h e s t u d e n t s a s a m i d d l e < lata m o v e m e n t , w h i c h t h e y s a w a s a t t a c k i n g o r u n d e r m i n i n g a s t r u c t u r e f r o m w h i c h the) w e r e able, by ethnic organization, to m a k e gains. Yet, paradoxically, there was a c o m m o n s t r u c t u r a l f e a t u r e i n t h a t s u c h e t h n i c g a i n s c o u l d o n l y c o m e a l s o when t h e traditional elite a n d authority structure of the U n i t e d States—that of the while Anglo-Saxon Protestants—was being eroded; and the student b u t e d heavily to that e r o s i o n .

movement c o n m

Daniel

142

Bell

shifts i n p o w e r a n d v a l u e s a r e o c c u r r i n g i n w h i c h ethnic

(rather

t h a n s o m e o t h e r f o r m o f g r o u p ) identification h a s a n e f f e c t i v e ( t h a t is, i n s t r u m e n t a l a n d e x p r e s s i v e ) q u a l i t y , a n d h a s b e c o m e s a l i e n t . I n this c h a p t e r ,

I

intend

to relate ethnicity

to

major macro-social

t r e n d s in the world today in o r d e r to see w h a t may be illuminated thereby. I b e g i n w i t h a s c h e m a t i c o u t l i n e o f m a j o r social t r e n d s w h i c h a r e r e w o r k i n g t h e s t r u c t u r e s o f society; g o o n d i d a c t i c a l l y t o a n i n v e n t o r y o f t h e m a c r o - s o c i a l u n i t s i n a society i n o r d e r t o i d e n t i f y t h e conditions u n d e r which o n e or a n o t h e r of these units becomes salient; a n d finally, c o n s i d e r the relation of ethnic g r o u p s to t h e o t h e r social u n i t s , a n d t o t h e s e m a j o r social t r e n d s . MAJOR SOCIAL TRENDS T h e simple a n d truistic starting point is t h a t a n u m b e r of m a j o r social t r e n d s — c o n v e r g e n t , o v e r l a p p i n g , a n d d i v e r g e n t — a r e f o r c i n g t h e r e w o r k i n g o f e x i s t i n g societal a r r a n g e m e n t s . T h e s e a r e t h e e n l a r g e m e n t o f political b o u n d a r i e s a n d a r e n a s ; t h e i n c r e a s e i n t h e n u m b e r o f a c t o r s a n d c l a i m a n t s i n a political a r e n a ; t h e c h a l l e n g e s to t h e present-day distribution of place a n d privilege;

and

the

q u e s t i o n i n g of the n o r m a t i v e justifications a n d legitimations which h a v e sanctified t h e status q u o . I s t h i s more t r u e t o d a y t h a n a t a n y p r e v i o u s t i m e i n t h e last o n e h u n d r e d a n d seventy-five years? " M o r e " i s a n elusive w o r d , a n d t h e r e is no metric to pin d o w n the n u m b e r and extent of the u p heavals. I think it is m o r e t r u e b e c a u s e of a s i m p l e a n d f u n d a m e n tal s t r u c t u r a l c h a n g e i n

the world c o m m u n i t y :

new a n d larger

n e t w o r k s a n d ties w i t h i n a n d b e t w e e n s o c i e t i e s h a v e b e e n w o v e n b y c o m m u n i c a t i o n a n d t r a n s p o r t a t i o n , s h o c k s a n d u p h e a v a l s a r e felt m o r e readilv and immediately, and the reactions a n d feedbacks c o m e m o r e q u i c k l y i n r e s p o n s e t o social c h a n g e s . T h i s d o e s n o t m e a n a n i n c r e a s e i n t h e pace o f c h a n g e ; t h a t t e r m i s t o o l o o s e . T h e e f f e c t o f " m o r e " c h a n g e i s p r i m a r i l y a n e n l a r g e m e n t o f \Xiescale o f a n a c t i o n o r institution, and the foreshortening of response time. A n d c h a n g e of scale b e c o m e s a c h a n g e i n i n s t i t u t i o n a l f o r m ; a c h a n g e i n r e s p o n s e time becomes a c h a n g e in intensity. 2.

2

As to the pace of c h a n g e : within the lifetime of a n y single c o m m u n i t y , a

h u n d r e d years a g o the c h a n g e s i n t r o d u c e d b y railroad, electricity, a n d t e l e p h o n e

Ethnicity a n d Social C h a n g e

143

T h e following, t h e n is an inventory of what I would r e g a r d as m a j o r social c h a n g e s i n t h e w e s t e r n w o r l d , p a r t i c u l a r l y i n a d v a n c e d industrial society, which create n e w p r o b l e m s a n d force new realignments. The tendency toward more inclusive identities. T h i s is, a f t e r all, o n e of t h e most p e r s i s t e n t t e n d e n c i e s in t h e w e s t e r n world. W i t h i n each civilization, w e h a v e s e e n m o v e m e n t s f r o m t r i b e t o city, f r o m city t o empire, or from region to nation and from nation to world. For s m a l l classes o f p e r s o n s — s c r i b e s , i n t e l l e c t u a l s , a r t i s t s — t h e q u e s t i o n of p r i m a r y a t t a c h m e n t has always b e e n p r o b l e m a t i c as they m o v e d from the geographical p e r i p h e r y to the cultural center, from the p r o v i n c i a l c l u b s t o t h e c o s m o p o l i t a n s a l o n . D e r a c i n a t i o n i s a n historical e x p e r i e n c e . W h a t is different today, h o w e v e r , in t h e contrasting t e r m s of " t r a d i t i o n " a n d " m o d e r n i t y , " is t h e way large masses of p e r s o n s find i n h e r i t e d ways a n d old c r e e d s " o u t d a t e d , " a n d n e w m o d e s a n d c r e e d s o f u n c e r t a i n validity; a n d t h e r e f o r e t h e sense o f u p r o o t e d n e s s s p r e a d s t h r o u g h o u t e n t i r e societies. T h e e x t e n s i o n o f w i d e r i n c l u s i v e i d e n t i t i e s o p e r a t e s i n all t h e r e a l m s . I n t h e c u l t u r e t h e r e i s m o r e a n d m o r e s y n c r e t i s m , f o r witli t h e g r e a t e r m i n g l i n g a n d j o s t l i n g o f p e o p l e s t h e r e i s m o r e stylistic b o r r o w i n g a n d e x c h a n g e ; a n d this is p r o b a b l y the s t r o n g e s t pull in t h e b r e a k u p of o l d e r p a r o c h i a l beliefs. While n o t as pervasive, t h e i n s t i t u t i o n a l p u l l s for w i d e r a n d m o r e i n c l u s i v e e c o n o m i c a n d polii ical ties a r e s t r o n g : t h e r e a r e t h e m u l t i - n a t i o n a l c o r p o r a t i o n s , e c o n o m i c r e g i o n a l i s m s , a n d t h e g r e a t p o w e r p e n u m b r a s w i t h t h e i r satellite s h a d o w s . I n Africa, t h e r e i s t h e e f f o r t o f n a t i o n s t o o v e r c o m e tribal identifications; in E u r o p e , t h e r e is the C o m m o n Market; in t h e A r a b w o r l d , t h e e f f o r t s t o s t r e n g t h e n political f e d e r a l ion ( E g y p t , L i b y a , S y r i a ) o r s o m e c o m m o n c u l t u r a l loyalty. A n d , o n a n

m a y have b e e n as u p s e t t i n g as t h o s e i n t r o d u c e d a c e n t u r y later by aviation, transit tors, a n d t e l e v i s i o n . A n d for t h o s e w h o e x p e r i e n c e d , say, t h e R u s s i a n R e v o l u t i o n , f i f t y - f i v e years a g o , life has b e e n m o r e i n t e n s e t h a n a n y c o n c e n t r a t e d period i n the l i v e s o f m o s t p e o p l e s . T h e " n e w " f a c t o r t o d a v i s n o t t h e fact o f c h a n g e ( a l m o s t nil p e o p l e s historically h a v e e x p e r i e n c e d "shock" a n d u p h e a v a l , u s u a l l y wars) but the multiplicity, simultaneity, a n d scale of c h a n g e , and the crucial c o n s e q u e n c e s for t h e c h a n g e s i n i n s t i t u t i o n a l f o r m . F o r a f u r t h e r d i s c u s s i o n o f t h e s e p o i n t s s e e The Coming o f Post-Industrial Society ( N e w Y o r k .

Basic B o o k s .

ture,

American

Technology

385-404.

and

Society,"

The

1 9 7 3 ) . c h a p . 3, a n d "Na-

Scholar,

42.2

(Summer

1973),

144

Daniel

Bell

i n t e r n a t i o n a l b a s i s , t h e r e i s t h e U n i t e d N a t i o n s , w i t h its t e n u o u s , b u t still i m p o r t a n t s y m b o l i c i m a g e o f o n e w o r l d , o n e p e o p l e . T h e m o s t i m p o r t a n t f o r m o f i n c l u s i v e n e s s i s political, f o r c o m m o n s o v e r e i g n t y p r o v i d e s a c o m m o n set o f laws a n d c o m m o n r u l e s f o r t h e r e g u l a t i o n o f conflict. H i s t o r i c a l l y , t h o s e t e n d e n c i e s t o w a r d w i d e r , i n c l u s i v e p o l i t i c a l ties h a v e b e e n s t r o n g e s t w h e r e t h e r e h a s b e e n a powerful military force to impose an allegiance, or w h e r e t h e r e h a s b e e n a "civil t h e o l o g y " t o p r o v i d e a l o c u s f o r i d e n t i f i c a t i o n ( f o r e x a m p l e , R o m e , a s a s y m b o l ; t h e "city o f G o d " o f A u g u s t i n e ; t h e n a t i o n a l m o n a r c h s ; " A m e r i c a n i s m " a s a civil r e l i g i o n ; a n d so on). T o d a y there are strong tendencies toward wider economic a n d social u n i t i e s , y e t n o r e a l "civil t h e o l o g y " t o b i n d t h e m . I n fact, i t i s w h e r e t h e "civil t h e o l o g y " h a s b r o k e n d o w n , o r w h e r e i t c a n n o t be created, that o n e finds the centrifugal forces of separatism gaini n g s t r e n g t h . I n t h e s e i n s t a n c e s o n e w o u l d e x p e c t t h e rise o f p a r o chial forces to p r o v i d e psychological a n c h o r a g e s for individuals; a n d ethnicity is o n e of these. 3

The shift from market to political decision. A " p u r e " m a r k e t e c o n o m y is o n e w h e r e d e m a n d s (purchases) are m a d e by individuals acting i n d e p e n d e n t l y of each other, a n d where the responses by the prod u c e r s o f g o o d s a n d services a r e a n a g g r e g a t e o f multiple, c o m p e t i tive s u p p l y d e c i s i o n s a t r e l a t i v e p r i c e s . T o t h e e x t e n t t h e r e i s a n y c o m m o n a l i t y , i t i s p r i m a r i l y c u l t u r a l : t h e t a s t e s a n d life-styles o f d i f f e r e n t social classes s h a p e t h e p a t t e r n o f d e m a n d s a n d t h u s t h e k i n d s of g o o d s that a r e p r o d u c e d . B u t this p a t t e r n is u n o r g a n i z e d , a n d for that reason the m a r k e t remains u n c o o r d i n a t e d and atomized. Yet the efforts of g r o u p s in the e c o n o m y to e x e m p t themselves from t h e h a z a r d s of c o m p e t i t i o n lead to quasi-monopolistic behavior, principally in the c o m m o d i t y a n d l a b o r m a r k e t s : for e x a m p l e , a d m i n i s t e r e d prices by business firms; u n i o n s h o p , or restriction of 3.

S e e E r i c V o e g e l i n , The New Scie7ice of Politics ( C h i c a g o . U n i v e r s i t y of C h i c a g o

Press, 1 9 5 2 ) . T h e idea of a Civil T h e o l o g y was f o r m u l a t e d by the Stoic p h i l o s o p h e r V a r r o i n 4 7 B.C. a n d e l a b o r a t e d b y C i c e r o . T h e [ u n c t i o n o f t h e Civil T h e o l o g y was to c e m e n t a sacramental b o n d between the citizenry a n d to create a c o m m o n a l l e g i a n c e t h r o u g h a political m y t h . In the case of R o m e , it was the auspices o f R o m u l u s a n d t h e H i e s of Leviathan

N u m a that laid t h e f o u n d a t i o n s o f t h e state. T h e

of H o b b e s , if o n e follows V o e g e l i n , was an e f f o r t to create a "public

t r u t h " b y " e s t a b l i s h i n g C h r i s t i a n i t y . . . a s a n E n g l i s h Theologi/i civilis ill t h e V a r ronic sense." Ibid., pp. 8 1 - 8 3 , 155.

Ethnicity a n d Social C h a n g e

145

e n t r y i n t o a t r a d e , b y l a b o r . I n t h e s e i n s t a n c e s , key d e c i s i o n s b e c o m e n e g o t i a t e d , p r i v a t e l y o r politically, b y t h e s e g r o u p s . T h e n a t u r e o f t h e n e g o t i a t e d d e c i s i o n s s h a p e s t h e c h a r a c t e r o f t h e organizations in t h e m a r k e t . More and more, however, both economic and non-economic decisions w h i c h p r e v i o u s l y h a d b e e n left e i t h e r t o t h e m a r k e t , o r t o privately negotiated bargains, now c o m e u n d e r the purview of political e n t i t i e s ( f r o m t h e local c o m m u n i t i e s t o t h e f e d e r a l g o v e r n m e n t ) . T h e s e political decisions m a y e i t h e r b e g o v e r n m e n t f u n d i n g (of s c h o o l e x p e n d i t u r e s , h e a l t h , h o u s i n g , r e s e a r c h a n d d e v e l o p ment, a n d so on) or direct interventions to reshape e n v i r o n m e n t a l o r social p a t t e r n s ( l a n d u s e , a i r p o r t l o c a t i o n , m a s s t r a n s i t o r h i g h ways, b u s i n g , a n d s o on), o r t h e setting o f s t a n d a r d s for p o l l u t i o n , p r o d u c t s a f e t y , o r t h e like. T h e e s s e n t i a l p o i n t a b o u t t h e c h a n g e from m a r k e t or n e g o t i a t e d to political decisions is t h a t in t h e latter i n s t a n c e e v e r y o n e knows w h e r e t h e d e c i s i o n will b e m a d e , a n d w h o s e o x will b e g o r e d . A m a r k e t i s d i s p e r s e d , a n d t h e a c t o r s l a r g e l y " i n v i s i b l e . " I n politics, d e c i s i o n s a r e m a d e i n a c o c k p i t , a n d c o n f r o n t a t i o n is d i r e c t . Inevitably, t h e r e f o r e , t h e s p r e a d of political decision-making forces the organization of persons into c o m m u n a l a n d interest g r o u p s , defensively to protect their places a n d privileges, o r a d v a n t a g e o u s l y t o gain place a n d privilege. T h e m u l t i p l i c a t i o n o f g r o u p s i n c r e a s e s c o m m u n i t y conflict; i n s e l f - p r o t e c tion, m o r e a n d m o r e p e r s o n s a r e impelled t o j o i n o n e o r a n o t h e r of the g r o u p s in o r d e r not to be excluded from the decisions. What we have witnessed in the past thirty years—I take America as my chief e x a m p l e — i s t h e "politicization" of t h e society in a way no o n e h a d entirely anticipated; n o t on single polarized issues, such a s n a t i o n a l e c o n o m i c class conflict, b u t o n m u l t i p l e c o m m u n i t y issues at all levels of society. In e f f e c t , t h e r e is p r o b a b l y more p a r t i c i p a t i o n i n p o l i t i c a l life t o d a y t h a n i n p r e v i o u s p e r i o d s . A n d y e t , i n c o n s e q u e n c e o f t h i s , m o r e a n d m o r e g r o u p s act a s v e t o p o w e r s a n d c h e c k e a c h o t h e r ' s p u r p o s e s . A n d w h e n t h i s t a k e s p l a c e w i t h o u t effective p o l i t i c a l b a r g a i n i n g , i t l e a d s t o f r u s t r a t i o n a n d d e l a y i n "getting things d o n e , " thus increasing the sense of helplessness or anger on the part of individuals w h o t h o u g h t that their own participation w o u l d lead to the kind of action they w a n t e d . One of the

major sources of t h e salience of e t h n i c g r o u p s in

Daniel

146

Bell

A m e r i c a n life in r e c e n t y e a r s , I w o u l d a r g u e , is t h e rise of a " c o m m u n a l society," a n d w i t h o u t t h e i m p o r t a n c e o f status a n d c o m m u nity i s s u e s a l o n g s i d e e c o n o m i c p r o b l e m s . The re-definition of a major value—equality. E q u a l i t y h a s b e e n t h e central value of the A m e r i c a n system a n d the legitimating a g e n t — particularly w h e n tied with the value of a c h i e v e m e n t — o f t h e A m e r i c a n p o l i t y — i f n o t o f all d e m o c r a t i c s o c i e t i e s . O n e o n l y h a s t o t u r n to t h e o p e n i n g p a g e s of T o c q u e v i l l e ' s Democracy in America, to r e a l i z e t h e s u s t a i n e d p o w e r o f this c o m m i t m e n t . T h e difficulty w i t h t h i s c o m m i t m e n t h a s b e e n its a m b i g u i t y . T o c q u e v i l l e s p o k e o f t h e " e q u a l i t y o f c o n d i t i o n s . " W h a t this s e e m e d to m e a n was that no p e r s o n s h o u l d "lord it over o t h e r s " or take on airs. ( T h i s persists even t o d a y in t h e easy informality a n d t h e quick "first n a m e " basis b e t w e e n p e o p l e w h o s c a r c e l y k n o w e a c h o t h e r . ) W h e n t h e i d e a was t r a n s l a t e d i n t o policy t e r m s , e q u a l i t y was i n v a r i a b l y d e f i n e d t o m e a n " e q u a l i t y of o p p o r t u n i t y , " o r o p e n mobility based u p o n talent. Yet i n t h e r e c e n t e f f o r t t o " i n c l u d e " t h e b l a c k c o m m u n i t y i n t o t h e A m e r i c a n polity, t h e c o n c l u s i o n was r e a c h e d t h a t " e q u a l i t y o f opportunity," if defined formally, would work to the disadvantage of a g r o u p long culturally d e p r i v e d ; hence the J o h n s o n administrat i o n , i n its " a f f i r m a t i v e a c t i o n " p r o g r a m s , s o u g h t t o p r o v i d e c o m p e n s a t i n g m e c h a n i s m s to allow s u c h a g r o u p to catch u p , in o r d e r t o h a v e a " t r u e " e q u a l i t y of o p p o r t u n i t y . T h e d i s m a y i n g fact f o r social p o l i c y , h o w e v e r , h a s b e e n t h e a r g u m e n t t h a t i f e d u c a t i o n i s the m e c h a n i s m to gain equality, such a c a t c h - u p is n o t possible, since t h e schools, as the C o l e m a n r e p o r t indicated, a r e ineffective in these p u r p o s e s ; a n d that e c o n o m i c a d v a n c e m e n t b e t w e e n individuals m a y largely be a "lottery," since luck a n d p e r s o n a l qualities a r e m o r e d e c i s i v e t h a n a n y o t h e r s — t h e t h r u s t of t h e r e c e n t a r g u m e n t by C h r i s t o p h e r J e n c k s a n d associates. T h i s empirical argum e n t receives n o r m a t i v e s u p p o r t in a p o w e r f u l philosophical disc u s s i o n by J o h n Rawls (in h i s Theory of Justice), w h o c l a i m s t h a t " i n h e r i t e d " a d v a n t a g e o r e v e n " n a t u r a l " ability a r e a s a r b i t r a r y , say, a s h e i g h t i n d e t e r m i n i n g p r i v i l e g e a n d t h a t social policy a s a m a t t e r o f j u s t i c e h a s t o give p r i o r i t y t o t h e d i s a d v a n t a g e d . 4

4.

I discuss t h e j e n c k s findings a n d t h e Rawls a r g u m e n t in an essay, "Meri-

tocracy

and

Equality"

in

The

Coming of

Post-Industrial

Society.

Ethnicity a n d Social C h a n g e

147

T h e p r e s u m e d failure of the idea of equality of o p p o r t u n i t y has s h i f t e d t h e d e f i n i t i o n of t h a t v a l u e to equality of result; a n d by fiat if necessary. T h e increasing thrust by disadvantaged groups, or their i d e o l o g i c a l m e n t o r s , h a s b e e n f o r d i r e c t r e d i s t r i b u t i v e policies i n o r d e r t o e q u a l i z e i n c o m e s , living c o n d i t i o n s a n d t h e like; a n d o n a g r o u p basis. I n t h e s h o r t h a n d o f g a m e t h e o r y , e q u a l i t y o f o p p o r t u nity i s a n o n z e r o - s u m g a m e i n w h i c h i n d i v i d u a l s c a n w i n i n diff e r e n t i a l w a y s . B u t e q u a l i t y o f r e s u l t , o r r e d i s t r i b u t i v e policies, e s sentially a r e z e r o - s u m g a m e s , in which t h e r e a r e distinct losers a n d w i n n e r s . A n d i n e v i t a b l y t h e s e c o n d i t i o n s l e a d t o m o r e o p e n political c o m p e t i t i o n a n d conflict. If o n e m o v e s to w e s t e r n society, generally, we find a subtle b u t pervasive c h a n g e , namely, that the revolution of rising expectations, which has been even m o r e tangible in the a d v a n c e d industrial s o c i e t i e s t h a n i n t h e u n d e r d e v e l o p e d c o u n t r i e s , h a s b e c o m e a s u s t a i n e d d e m a n d for e n t i t l e m e n t s . T o b e a " c i t i z e n " h a s u s u a l l y m e a n t t o s h a r e fully i n t h e life o f t h e society. I n t h e e a r l i e s t y e a r s , this m e a n t t h e c l a i m t o l i b e r t y a n d t h e full p r o t e c t i o n o f t h e law. I n t h e l a t e n i n e t e e n t h a n d e a r l y t w e n t i e t h c e n t u r i e s , this w a s d e f i n e d a s political r i g h t s , p r i n c i p a l l y t h e full r i g h t t o v o t e o r h o l d office b y all a d u l t citizens, a status which was a c h i e v e d only fifty years a g o in m o s t western societies. B u t the major claim in recent d e c a d e s has b e e n for social r i g h t s : t h e r i g h t t o a j o b , i n s u r a n c e a g a i n s t u n e m p l o y m e n t a n d old age i n d i g e n c e , a d e q u a t e health care, a n d a m i n i m u m , d e c e n t s t a n d a r d o f living. A n d these a r e n o w d e m a n d e d from t h e c o m m u n ity as e n t i t l e m e n t s . Distributive justice is o n e of the oldest a n d thorniest p r o b l e m s f o r political t h e o r y . W h a t h a s b e e n h a p p e n i n g i n r e c e n t y e a r s i s that e n t i t l e m e n t s , equity, a n d equality have b e c o m e confused with o n e a n o t h e r , a n d t h e s o u r c e o f r a n c o r o u s political d e b a t e . Vet t h e y a r e also t h e c e n t r a l v a l u e i s s u e s o f t h e t i m e . The onset

of a post-industrial society.

In

the

western

societies

the

e m e r g e n c e of a large a n d rapidly g r o w i n g technical a n d professional s t r a t u m h a s p l a c e d a g r e a t e r e m p h a s i s o n skill a s t h e basis o f p o s i t i o n a n d p r i v i l e g e , a n d e d u c a t i o n a s t h e m o d e o f access t o t h e s e p o s i t i o n s , t h a n e v e r b e f o r e . I n t u r n , t h i s h a s led t o a g r o w i n g e m phasis on "credentials" a n d on "certification," as t h e b a r r i e r s t h r o u g h which individuals must pass in o r d e r to get a h e a d .

148

Daniel

Bell

T h e r e a r e m a n y c o n s e q u e n c e s for t h e stratification system in this r e w o r k i n g o f t h e o c c u p a t i o n a l o r d e r , b u t for o u r p u r p o s e s the essential point is that, as t h e m e c h a n i s m s for occupational advancem e n t b e c o m e i n c r e a s i n g l y s p e c i a l i z e d a n d f o r m a l i z e d , t h e political r o u t e b e c o m e s almost the only major m e a n s available for individu a l s a n d g r o u p s w i t h o u t specific t e c h n i c a l skills t o " u p g r a d e " t h e m selves i n society. F o r s u c h p e r s o n s , t h e r e f o r e , t h e political a r e n a b e c o m e s m o r e s a l i e n t i n t h e society a s a m e a n s o f g a i n i n g place a n d a d v a n t a g e . A n d this b e c o m e s o n e m o r e r e a s o n w h y political d e c i sion m a k i n g , r a t h e r t h a n t h e m a r k e t , b e c o m e s m o r e central for t h e society. The decline of authority. In a v a r i e t y of i n s t i t u t i o n s , c u t t i n g a c r o s s t h e society, the old a u t h o r i t y s t r u c t u r e s a r e b e i n g c h a l l e n g e d a n d t h e b a s e s o f a u t h o r i t y b e c o m i n g e r o d e d . T o wit: 1. In the status system of the society. T h e fact t h a t t h e a c r o n y m W A S P is n o w u s e d so freely, a n d has b e c o m e a s y m b o l of faint d e r i s i o n a n d m o c k e r y , i n d i c a t e s t h a t t h e i d e a o f " o l d family" a n d n a t i v e d e s c e n t m a y b e l o s i n g its h o l d i n t h e s o c i e t y . D o e s b e i n g a m e m b e r o f t h e D . A . R . c o u n t f o r m u c h n o w ? P e r h a p s i n a few cities o r t o w n s , b u t n o t i n t h e s o c i e t y a s a w h o l e . I n fact, h o w m a n y p e r s o n s i n t h e society w o u l d e v e n r e c o g n i z e t h e initials D . A . R . ? D o e s a n y o n e d e f e n d the Establishment? Does the Establishment even d e f e n d i t s e l f ? I f o n e l o o k s a t t h e m a j o r i n s t i t u t i o n s o f t h e Establishm e n t — t h e Council on Foreign Relations, the major foundations, H a r v a r d U n i v e r s i t y — o n e finds only a defensiveness about their position a n d a r e a d i n e s s , e v e n , to abdicate a n y idea that they f o r m an elite. 2. In organizational life. In few i n s t i t u t i o n s d o e s o n e s e e effective o n e - m a n authority. In most, t h e r e are committees a n d consultations, even at the top of m a n y business corporations w h e r e there is o f t e n n o l o n g e r a P r e s i d e n t , b u t t h e Office o f t h e P r e s i d e n t , o r a dual authority between a chairman of the executive committee and the p r e s i d e n t . T h e idea of chains of c o m m a n d or bureaucratization i s b e i n g r e p l a c e d b y d i v e r s e k i n d s o f task f o r c e o r c o n s u l t a t i v e g r o u p s . I n o r g a n i z a t i o n a l life, t h e r e a r e f e w e r " b o s s e s . " 3. In professional life. H e r e , t h e w i d e s p r e a d p o p u l i s t attack on "elitism" has carried over into an attack on professionalism as such,

E t h n i c i t y a n d Social C h a n g e

449

as the source of authority, a n d the d e m a n d , even, that in such techn i c a l a n d scientific a r e a s a s m e d i c i n e , p h y s i c i a n s s h o u l d a b d i c a t e t h e i r a u t h o r i t y i n clinics a n d h o s p i t a l s , o r t h a t i n s c h o o l s , t e a c h e r s s h o u l d a b a n d o n t h e i r p r o f e s s i o n a l " d i s t a n c e " f r o m s t u d e n t s a n d ack n o w l e d g e an equality of roles based on a c o m m o n a l i t y of p u r p o s e . 4 . I n cultural life.

T h e attack on a u t h o r i t y goes h a n d in h a n d

with b r o a d e r c u r r e n t s in the c u l t u r e : in t h e arts, the denial of standards of j u d g m e n t , and the destruction of the idea of g e n r e ; in the value system, the denial of respect for age a n d experience, a n d the a r g u m e n t t h a t since t h e society is c h a n g i n g so quickly t h e old do n o t k n o w a s m u c h a s t h e y o u n g . All t h i s p r o d u c e s a s e n s e o f d i s o r i e n t a t i o n i n t h e society a n d t h e f e e l i n g t h a t t r a d i t i o n a l m o d e s n o l o n g e r hold. Sociologists h a v e m a d e a distinction b e t w e e n a u t h o r i t y a n d p o w e r . A u t h o r i t y is a s u p e r i o r position which rests on a technical c o m p e t e n c e o r t r a d i t i o n a l c r i t e r i a ( f o r e x a m p l e , a g e ) a n d i s recognized in the ready assent of others. Power is the issuance of c o m m a n d which is backed u p , e i t h e r implicitly or explicitly, by force. W h e r e t h e r e is no a u t h o r i t y , p e o p l e r e s o r t to force. A n d this, t o o , i s o n e o f t h e s o u r c e s o f i n s t a b i l i t y i n t h e c o n t e m p o r a r y polity. The shift in ideology.

In a b o o k

published almost

fifteen

years

a g o , e n t i t l e d The End of Ideology, I a r g u e d t h a t in t h e w e s t t h e o l d e r n i n e t e e n t h - c e n t u r y i d e o l o g i e s w e r e e x h a u s t e d . T h e title p e r h a p s was s o m e w h a t m i s l e a d i n g , n o t b e c a u s e t h a t thesis was w r o n g — I think it was n o t — b u t for the i n f e r e n c e d r a w n by those w h o k n o w a b o o k o n l y b y its title, t h a i all i d e o l o g i e s w e r e f i n i s h e d . I n t h e c o n c l u d i n g e s s a y t o t h e b o o k I specifically a r g u e d t h a t a m o n g i n t e l l e c t u a l s t h e r e i s a l w a y s t h e h u n g e r f o r i d e o l o g y , a n d t h a t t h e new i d e o l o g i e s o f t h e last t h i r d o f t h e t w e n t i e t h c e n t u r y w o u l d b e d r a w n from the third world. I n t h e m i d d l e a n d late sixties t h e r e w a s a f l a r e - u p o f i d e o l o g i c a l hope particularly because of the student outbursts. In large meas u r e , h o w e v e r , t h e c o n t e n t o f t h e s t u d e n t ideologies i n t h e west were d r a w n from "third world" ideas, r a t h e r than from the circumstances in the h o m e c o u n t r y . T h i s consisted, first, of t h e fanciful notion that " t h e s t u d e n t s " w o u l d be a r e v o l u t i o n a r y force a n d s e c o n d , a n identification with F a n o n , D e b r a y , C h e , a n d t h e a d v e n t u r i s t i c a n d r o m a n t i c m o v e m e n t s tied t o t h i r d w o r l d liberation.

Daniel

150

Bell

T h e y o u t h m o v e m e n t s , w i t h t h e p o s s i b l e e x c e p t i o n of W e s t G e r m a n y , h a v e l a r g e l y s u b s i d e d , a s a m a z i n g i n t h e r a p i d i t y o f its b u r n i n g o u t a s i n its e r u p t i v e f l a r e - u p ; a n d p r o b a b l y for t h e s a m e r e a son. T h e largest o r g a n i z e d left-wing force in t h e western world today is the C o m m u n i s t labor m o v e m e n t . where they are strongest,

Italy a n d

Yet in

France,

the countries

they have become

m o v e m e n t s w i t h o u t passion o r d r i v i n g ideology. A n d i n t h e Soviet U n i o n itself, o n e c a n say t h a t a s a s e r i o u s f o r c e , i d e o l o g y h a s e n d e d ; apart from the party functionaries (and even they may be t h e m o s t c y n i c a l ) , few p e r s o n s t a k e s e r i o u s l y t h e C o m m u n i s t r h e t o ric a n d , as a p r a c t i c a l fact, t h e S o v i e t U n i o n is less a n d less of a socialist s o c i e t y , w h i c h m a k e s i t all t h e m o r e d i f f i c u l t t o s q u a r e i d e ology with reality. T h e chief ideological

passion

in

the

world

today

is anti-im-

p e r i a l i s m . T h i s i s a i m e d , i n t h e first i n s t a n c e , a t t h e U n i t e d S t a t e s , even t h o u g h the United States has had

few " c o l o n i e s " (for e x -

a m p l e , P u e r t o R i c o , t h e P h i l i p p i n e s ) , a n d t h e m a j o r i t y o f its f o r e i g n i n v e s t m e n t s , p a r t i c u l a r l y i n r e c e n t y e a r s , h a s b e e n i n a d v a n c e d ind u s t r i a l e c o n o m i e s a n d n o t i n t h e " b a c k w a r d " o r " d e v e l o p i n g " nat i o n s . Y e t , if i m p e r i a l i s m is less an e c o n o m i c fact, it is clearly a p o litical a n d s y m b o l i c r e a l i t y \ a n d r e p r e s e n t s t h e

perceived power

h e g e m o n y , a n d f e a r e d cultural p a r a m o u n t c y , o f t h e U n i t e d S t a t e s . To that extent, anti-imperialism becomes the c o m m o n rhetorical cry f o r A r a b f e u d a l s h e i k s , A f r i c a n n a t i o n a l l e a d e r s , a n d L a t i n A m e r i c a n m i l i t a r y d i c t a t o r s , a s well a s f o r l e f t - w i n g r e v o l u t i o n a r i e s . F o r s o m e individuals a n t i - i m p e r i a l i s m is e q u a t e d with b e i n g socialist. T h e difficulty i n c a r r y i n g o u t t h a t e q u a t i o n , h o w e v e r , i s t h a t t h e r e i s little i n c o m m o n b e t w e e n t h e "Socialist" c o u n t r i e s — t h e c e n t r a l i z e d s t a t i s m o f t h e S o v i e t U n i o n , t h e K o r a n i c socialism o f Algeria or

Libya,

the

patchwork

statist

economy of Cuba,

the

s t r u g g l i n g collectives of T a n z a n i a , t h e m a r k e t socialism of Yugoslavia, a n d t h e c o m m u n e c o l l e c t i v i s m .of C h i n a — o t h e r t h a n t h e w o r d "Socialist." 5.

s

W h a t " s o c i a l i s m " m e a n s as a p o s i t i v e s o c i o e c o n o m i c

C u r i o u s l y e n o u g h , w h a t i s c o m m o n t o all t h e s e " s o c i a l i s t " r e g i m e s i s a h o s t i l -

ity t o all c u l t u r a l r a d i c a l i s m : t o e x p e r i m e n t a l i s m in t h e a r t s , f r e e r s e x u a l m o r e s , a n d the use of d r u g s . Vet it has b e e n cultural radicalism, m o r e often than not, that

Ethnicity a n d

Social C h a n g e

151

p r o g r a m , or as ideology or doctrine, has b e c o m e h a r d to define. A n d w h e t h e r i t c a n h a v e a vivifying effect i n t h e a d v a n c e d i n d u s trial s o c i e t i e s as a m e a n s of p r o v i d i n g a p o l i t i c a l p a s s i o n f o r p e o p l e i s e v e n m o r e difficult t o tell. Vet i t r e m a i n s a n i m p o r t a n t s y m b o l , e v e n i n this n e g a t i v e s e n s e , a g a i n s t c a p i t a l i s m . The "external" proletariat. T h e i n t e r n a t i o n a l o r d e r t o d a y is, m o r e t h a n e v e r b e f o r e , a n i n t e r d e p e n d e n t w o r l d e c o n o m y , with a c o r e o f a d v a n c e d i n d u s t r i a l societies i n t h e " W e s t , " a n d a p e r i p h e r y o f a g r a r i a n a n d newly industrializing societies in Latin A m e r i c a , A f r i c a , a n d Asia. T h e i n t e r d e p e n d e n c e d e r i v e s f r o m a d v a n c e d technology a n d resources (agricultural, energy, and mineral), a n d n o society c a n e s c a p e its n e t . N o t e v e n t h e S o v i e t U n i o n , vast a s i t is, c a n b u i l d " s o c i a l i s m i n a s i n g l e c o u n t r y " a n d it, t o o , h a s t o e n t e r the international trading network. W h e t h e r China can develop an e c o n o m i c self-sufficiency r e m a i n s t o b e s e e n . T h e r e a r e t h r e e c o n s e q u e n c e s t o this n e w i n t e r d e p e n d e n t system: 1. T h e " d i v i s i o n o f l a b o r " b e t w e e n t h e c o r e a n d t h e p e r i p h e r y has t e n d e d to favor t h e a d v a n c e d i n d u s t r i a l societies so that t h e relative g a p b e t w e e n "rich" a n d " p o o r " nations has b e c o m e m o r e obvious. 2. Nations with strategic resources can n o m i c s t r e n g t h for political a d v a n t a g e a n d A r a b i a n g u l f c o u n t r i e s w i t h oil; t h e S o v i e t a n d m i n e r a l s ; t h e U n i t e d States with food (for e x a m p l e , c o m p u t e r s ) .

seek to use their ecotechnological gain: the U n i o n with n a t u r a l gas a n d technological items

3 . T h e r a p i d e x p a n s i o n o f industry a n d t h e shifting technological b a s e s of p r o d u c t i o n act as a h u g e s u c t i o n f o r vast m i g r a t i o n s of u n s k i l l e d a n d s k i l l e d l a b o r : w i t h i n c o u n t r i e s f r o m r u r a l a r e a s t o cities; b e t w e e n c o u n t r i e s f r o m l a b o r - s u r p l u s t o l a b o r - s c a r c e e c o n o mies. F o r o u r p u r p o s e s , t h e r e a r e t w o c o n s e q u e n c e s t o t h e s e sets o f changes which are s u m m e d up in the p h r a s e "the external proletariat." has fueled the political passions of middle-class "rebels" in the western industrial societies.

Daniel

152

Bell

First, within E u r o p e t h e r e has b e e n a h u g e m i g r a t i o n of southern

Europeans—Yugoslavs,

Greeks and

Italians—into

Germany,

France, Switzerland, and n o r t h e r n E u r o p e , resulting in the creation of large foreign minorities w h o are at the b o t t o m r u n g s of t h e s o c i e t y a n d a r e effectively e x c l u d e d f r o m p a r t i c i p a t i o n i n t h e p o l i t i c a l life o f t h e s e h o s t c o u n t r i e s . ( F o r e i g n w o r k e r s c o m p r i s e 1 0 p e r c e n t o f t h e w o r k i n g p o p u l a t i o n i n G e r m a n y , 9.7 p e r c e n t i n F r a n c e , 7 p e r c e n t i n B e l g i u m , a n d 2 5 p e r c e n t i n S w i t z e r l a n d . I n all t h e r e a r e a b o u t 9 million " f o r e i g n w o r k e r s " in W e s t e r n E u r o p e , a n d t h e U . N . f o r e c a s t s a n a d d i t i o n a l 4 m i l l i o n b y 1980.) W h i l e C o m m o n M a r k e t policies t e n d to p r o v i d e an e q u a l i z a t i o n of benefits, a n d t h e rapidly growing Mediterranean e c o n o m y may reverse the migrations i n t h e n e x t d e c a d e s , t h e fact r e m a i n s t h a t i n t h e a d v a n c e d i n d u s t r i a l societies t h e r e has b e e n a n e n o r m o u s c h a n g e i n t h e c h a r a c t e r o f t h e labor force with t h e new divisions b e i n g a l o n g national or e t h n i c lines. S e c o n d , t h e international g a p b e t w e e n c o r e a n d p e r i p h e r y , rich a n d p o o r , h a s c r e a t e d a m e n t a l i t y , i f n o t t h e political fact, o f a " T h i r d W o r l d " — a t h i r d w o r l d w h i c h h a s t h o u g h t o f itself a s a " p r o l e t a r i a t " i n r e l a t i o n t o t h e a d v a n c e d i n d u s t r i a l societies a s a whole. W h e t h e r this " T h i r d W o r l d " h a s t h e capacity for c o m m o n action r e m a i n s to be seen. In 1965, Lin Piao, t h e n Mao's designated successor, in a striking, speech virtually declared war on the advanced industrial nations in the n a m e of the "external proletariat." W i t h t h e d o w n f a l l o f Lin, t h a t t h e m e i s n o l o n g e r h e a r d f r o m C o m m u n i s t C h i n a . Yet f r o m B a n d u n g i n 1 9 5 6 t o A l g i e r s i n 1 9 7 3 , t h e e f f o r t s t o o r g a n i z e t h e t h i r d w o r l d i n s o m e political b l o c p e r sist; a n d w h i l e t h e division b e t w e e n a d v a n c e d i n d u s t r i a l a n d d e v e l o p i n g or backward nations is nominally economic, the passions behind the attack on economic exploitation often disguise color, e t h n i c , a n d c u l t u r a l i n t e r e s t s a s well a s p o l i t i c a l a n d i d e o l o g i c a l p u r poses. T H E MACRO-SOCIAL UNITS OF SOCIETY T h o u g h w e live i n a n i n t e r n a t i o n a l e c o n o m y , t h e social u n i t o f effective a c t i o n i s t h e political s o c i e t y , p r i m a r i l y t h e n a t i o n - s t a t e . T h e n a t i o n i s t h e u n i t o f c o m p e t i t i o n b e t w e e n states i n t h e i n t e r n a t i o n a l o r d e r ; t h e n a t i o n a l society i s t h e d o m e s t i c a r e n a f o r political

E t h n i c i t y a n d Social C h a n g e

153

c o m p e t i t i o n b e t w e e n g r o u p s to gain a d v a n t a g e a n d to claim or enforce rights a n d p r o t e c t i o n s .

6

W h i l e o n e i s a c i t i z e n o f t h e n a t i o n ( a l e g a l a n d political s t a t u s ) , t h e s o c i o l o g i c a l fact i s t h a t m o s t p e r s o n s h a v e m u l t i p l e social a t t a c h m e n t s w h i c h cross-cut o n e a n o t h e r , a n d t h e s e sociological d e s i g n a tions can b e e m p h a s i z e d o r m i n i m i z e d d e p e n d i n g u p o n t h e situat i o n i n w h i c h a n i n d i v i d u a l f i n d s h i m s e l f . All t h i s i s s u m m e d u p i n t h e t e r m s identity o r belonging.

Identity has psychological c o n n o t a -

t i o n s , w h i l e b e l o n g i n g o r g r o u p m e m b e r s h i p (in t h e D u r k h e i m i a n sense) is sociological. I do n o t t h i n k o n e c a n readily assimilate psychological a n d sociological categories t o each o t h e r , a n d t h e r e a r e d i s t i n c t c o n s e q u e n c e s in u s i n g e i t h e r identity or group membership as o n e ' s o r g a n i z i n g c o n c e p t . S i n c e m y f o c u s , h e r e , i s o n p o l i t i c a l act i o n , t h e t e r m I shall u s e is group membership, t h o u g h i d e n t i t y is e s sential for individual motivation. Q u e s t i o n s a b o u t m u l t i p l e g r o u p m e m b e r s h i p s always raise t h e q u e s t i o n : " W i t h w h o m c a n I act, a n d f o r w h a t ? " I n t h e p a s t , t h i s question

was

rarely

problematic.

The

answer

to "Where

do

I

b e l o n g ? " w a s a given fact, in w h i c h a p r i m a r y a t t a c h m e n t w a s s t i p u lated by one's clan, religion, or race, d e p e n d i n g on the historical c o n t e x t i n w h i c h rival g r o u p m e m b e r s h i p s w e r e d e f i n e d . I t i s o n l y i n m o d e r n t i m e s , u n d e r c o n d i t i o n s o f r a p i d social c h a n g e , o f m o bility a n d m o d e r n i z a t i o n , t h a t o n e c a n choose o n e ' s i d e n t i f i c a t i o n o r a t t a c h m e n t i n a s e l f - c o n s c i o u s w a y . I t i s f o r this r e a s o n t h a t t h e k i n d s of sociological units which a r e c a p a b l e of being salient for psychological

identification

or g r o u p

action

become

important;

a n d i t i s u s e f u l , a t t h i s p o i n t , t o r e v i e w t h e m a j o r social c a t e g o r i e s i n o r d e r t o s e e h o w " e t h n i c " m e m b e r s h i p s f i t in. Nation. A n a t i o n i s a n effective u n i t o f i d e n t i f i c a t i o n w h e r e t h e r e is a c o n g r u e n c e between the nation a n d a single primordial g r o u p , since such c o n g r u e n c e r e d u c e s a n y a m b i g u i t y as to w h o b e l o n g s or d o e s not. B u t few nations today h a v e this c o n g r u e n c e . O n e m i g h t say t h a t Y u g o s l a v i a i s a n a t i o n , b u t i n d i v i d u a l s w i t h i n t h e c o u n t r y 6.

Capitalism

is

an

international

economic

system,

and

Marx

said

that the

"workers k n o w no country"; yet what is striking is that the d e g r e e of international political c o o p e r a t i o n

between

workers in

advanced

industrial

p r o b a b l y less t h a n a t a n y t i m e i n t h e past h u n d r e d y e a r s .

societies

today

is

154

Daniel

Bell

identify themselves m o r e readily as Serbians, Croatians, Slovenians, a n d so f o r t h , d e s i g n a t i o n s which c o m b i n e s u b n a t i o n a l with ethnic characteristics. T h u s m e m b e r s h i p in a "larger" nation may be amb i g u o u s , s i n c e i t c o n f u s e s political s o v e r e i g n t y w i t h p r i m a r y o r seco n d a r y i d e n t i f i c a t i o n s . I n a s s e s s i n g t h e n a t i o n a s a n affective political u n i t , t h a t is, o n e c a p a b l e o f a r o u s i n g a f i e r c e e m o t i o n a l loyalty, o n e has to distinguish the c o m p o n e n t national identities from the l a r g e r political u n i t . Religion. R e l i g i o u s d i f f e r e n c e s , h i s t o r i c a l l y , h a v e b e e n o n e o f t h e m o r e p o t e n t a n d destructive forms o f rivalry w h e r e " c o r p o r a t e " identifications have been possible: for e x a m p l e Christianity versus Islam in the C r u s a d e s ; Catholic versus Protestant in the sixteenth a n d seventeenth centuries. T o d a y , in most instances, these corp o r a t e identifications, particularly of "universal" religion, a r e crosscut by national and other memberships which make the corporate a t t a c h m e n t o n a t r a n s n a t i o n a l , basis m o r e difficult. I t i s d o u b t f u l , f o r i n s t a n c e , w h e t h e r F r e n c h ^ I t a l i a n , a n d S p a n i s h C a t h o l i c s act a s Catholics, r a t h e r t h a n as F r e n c h m e n or Italians or S p a n i a r d s . (In t h e S p a n i s h Civil W a r , t h o u g h , F r a n c o d i d g e t s o m e s u p p o r t byr a i s i n g t h e b a n n e r o f C a t h o l i c i s m v e r s u s leftist a t h e i s m . ) W i t h i n t h e U n i t e d S t a t e s , o n e w o u l d q u e s t i o n w h e t h e r I r i s h , P o l i s h , a n d Itali a n C a t h o l i c s act p r i m a r i l y a s C a t h o l i c s ( a n d i f s o , o n w h a t k i n d s o f issues) r a t h e r t h a n i n t h e i r m o r e p a r o c h i a l " e t h n i c " i n t e r e s t s . T h e fact t h a t s o m e r e l i g i o n s a r e p a r t i c u l a r i s t i c , r a t h e r t h a n u n i versal, d o e s n o t necessarily m a k e for close e m o t i o n a l identification. J e w s , a s a c u l t u r a l g r o u p , d o h a v e a h i g h d e g r e e o f affective i d e n tification w h i c h c u t s a c r o s s n a t i o n a l l i n e s , b u t this d e r i v e s m o r e from a sense of p e o p l e h o o d , from fate, t h a n from religion. Shint o i s m , w h e n f u s e d with e m p e r o r w o r s h i p , h a s b e e n a p o t e n t r e i n f o r c e m e n t of national feeling in J a p a n , b u t t h e e m p h a s i s t h e r e was the nation, not religion. In Sweden a n d England, the existence of national c h u r c h e s , in which the h e a d s of the c h u r c h e s are chosen by the h e a d s of state, has n o t b r o u g h t any effective r e i n f o r c e m e n t of religious feeling, t h o u g h in E n g l a n d , to s o m e extent, the c h u r c h has served as an E s t a b l i s h m e n t in t h e sense of b e i n g t h e formal arbiter of m o r a l c o n d u c t . I n s t i t u t i o n a l r e l i g i o n , b y a n d l a r g e , h a s lost its ability t o b e a n

Ethnicity and

Social C h a n g e

155

overrriding g r o u p m e m b e r s h i p (though individuals may retain s t r o n g e m o t i o n a l identifications with t h e religion) a n d this is w h y t h e i n t e n s i t y o f t h e r e l i g i o u s conflict i n N o r t h e r n I r e l a n d c o m e s a s s u c h a s u r p r i s e t o d a y . B u t e v e n t h o u g h t h e r e l i g i o u s affiliation t h e r e is salient, it has to be u n d e r s t o o d against a national backg r o u n d in which t h e Catholics a r e in a m i n o r i t y in a land t h a t was arbitrarily partitioned to provide a Protestant-dominated country, a n d t h a t t h e C a t h o l i c I r i s h still r e g a r d t h e U l s t e r m e n a s " o u t s i d e " settlers from E n g l a n d or Scotland, even t h o u g h m a n y of t h e Prote s t a n t families h a v e l i v e d t h e r e f o r s e v e r a l h u n d r e d y e a r s . W i t h o u t t h e n a t i o n a l i s t s e n t i m e n t t o fuel t h e conflict, i t i s q u e s t i o n a b l e w h e t h e r the religious division a l o n e would have created that intensity of f e e l i n g . Communal. T h r o u g h o u t t h e w o r l d t o d a y , t h e l a r g e s t a n d m o s t i m p o r t a n t c a t e g o r y o f g r o u p m e m b e r s h i p ( p a r t i c u l a r l y i n its ability t o r o u s e e m o t i o n a l f e e l i n g s ) i s t h a t b r o a d set w h i c h w e call " c o m m u n a l " — i n d i v i d u a l s w h o feel s o m e c o n s c i o u s n e s s o f k i n d w h i c h i s not contractual, a n d which involves s o m e c o m m o n links t h r o u g h p r i m o r d i a l o r c u l t u r a l ties. B r o a d l y s p e a k i n g , t h e r e a r e f o u r s u c h ties: r a c e ; c o l o r ; l a n g u a g e ; e t h n i c i t y . R a c e , i n t e r m s o f " b l o o d , " i s a n i n e t e e n t h - c e n t u r y c o n c e p t (like n a t i o n a n d class, t h o u g h i t d e v e l o p e d e a r l i e r t h a n t h e s e t w o ) a n d i t is striking h o w c e n t r a l it was to so m a n y writers—Carlyle, F r o u d e , Kingsley, J . F . G r e e n , M a t t h e w A r n o l d , S t e n d h a l , M a d a m e d e S t a e l , T a i n e , R e n a n , S a i n t B e u v e , all o f w h o m u s e d t h e i d e a t o d e s ignate "peoples" who had some c o m m o n descent. But the concept was b r o u g h t into d i s r e p u t e by writers such as G o b i n e a u , H o u s t o n Stewart C h a m b e r l a i n , Richard W a g n e r , a n d Treitschke, who m a d e 7

7. was

In t h e e i g h t e e n t h c e n t u r y , b e g i n n i n g w i t h L i n n a e u s , t h e e f f o r t t o d e f i n e r a c e principally

in

physical

anthropological

terms,

on

the

basis

of color,

skull

s h a p e , hair, a n d s o o n . L i n n a e u s d i v i d e d t h e w o r l d into A m e r i c a n s , E u r o p e a n s , Asians, a n d A f r i c a n s o n t h e basis, principally, o f t h e c o n t i n e n t s . O t h e r s d i v i d e d t h e h u m a n r a c e i n t o five g r o u p s a n d s o m e w e n t a s far a s t o i d e n t i f y s e v e n t e e n groups and twenty-nine races.

In

E u r o p e , a conventional division was b e t w e e n

b l u e - e y e d tall N o r d i c , t h e d a r k e r s h o r t - h e a d e d A l p i n e , a n d t h e s h o r t , l o n g - h e a d e d M e d i t e r r a n e a n . W h i l e c l a s s i f i c a t i o n e f f o r t s still p e r s i s t i n p h y s i c a l a n t h r o p o l o g y , t h e idea of race as " c o m m o n blood" b e c a m e t h e p r e d o m i n a n t t h e m e in t h e n i n e t e e n t h century, and a m o n g the authors cited.

Daniel

156

Bell

i t t h e basis o f a c l a i m o f A r y a n s u p e r i o r i t y o v e r o t h e r w h i t e r a c e s , a n d o f t h e w h i t e a s a g a i n s t all o t h e r s . R a c e t o d a y i s a d i s c r e d i t e d i d e a , b u t t h a t v e r y fact n o w gives i t a p o w e r f u l n e g a t i v e affect i n the accusation of racism which can be h u r l e d against g r o u p s or even e n t i r e societies, such as t h a t white c u l t u r e in A m e r i c a is "racist," o r t h a t m a j o r i n s t i t u t i o n s a r e " r a c i s t , " a n d s o o n . I n t h a t n e g a tive w a y , r a c i s m , a g a i n , h a s b e c o m e a b l a n k e t t e r m . Color, which o n c e played a m i n o r a n d s u b m e r g e d role (and was e v e n a negative identification, since in t h e U n i t e d States or I n d i a , o r o t h e r m i x e d societies, o n e usually m a r r i e d " u p " t o lighter color), t o d a y is u s e d in a p o s i t i v e , b i n d i n g r o l e — i n t h e c o n c e p t of negritude, o r t h a t " b l a c k i s b e a u t i f u l . " T h e g r e a t " s c a r e " o f t h e A r y a n theorists in the early p a r t of the twentieth c e n t u r y was that the n e x t c e n t u r y w o u l d see a "color w a r " b e t w e e n p e o p l e s . Paradoxically, the t h e m e of a color war, to the extent it is voiced, now comes from b l a c k e x t r e m i s t s w h o s e e k t o u s e t h e i d e a a s a way o f b r i n g i n g a social g r o u p t o g e t h e r , o r t o m a k e s c a r e d e m a n d s o n d o m i n a n t groups and nations. L a n g u a g e i d e n t i f i c a t i o n /finds its s t r e n g t h w h e r e g r o u p s h a v e d i s tinct cultural identification t h r o u g h l a n g u a g e , but find themselves c o m m i n g l e d n a t i o n a l l y a n d politically:

for example, India w h e r e

t h e r e a r e large linguistic g r o u p s s u c h as t h e Bengalis, Gujeratis, Marathis,

whose

Belgium,

split

language

between

is

spoken

Flemish

and

by

tens

of

Walloons;

or

millions;

in

where

the

linguistic identification serves to identify a s u b m e r g e d g r o u p , for e x a m p l e , T a m i l i n Sri L a n k a , F r e n c h i n C a n a d a , a n d s o o n . G i v e n t h e s e m u l t i p l e o v e r l a p p i n g c o m p o n e n t s , t h e t e r m ethnicity is clearly a c o n f u s i n g o n e .

It m a y be e i t h e r a residual c a t e g o r y ,

d e s i g n a t i n g s o m e c o m m o n g r o u p tie not i d e n t i f i e d d i s t i n c t i v e l y b y l a n g u a g e , color, or religion but r a t h e r by c o m m o n history a n d coherence t h r o u g h c o m m o n symbols, for e x a m p l e , the WASPs as e t h n i c s ; o r i t m a y b e a generic t e r m w h i c h allows o n e t o i d e n t i f y loosely any minority g r o u p w i t h i n a d o m i n a n t p a t t e r n , e v e n t h o u g h t h e particular unit of identification may be national origin (Irish, I t a l i a n , P o l e i n t h e U n i t e d S t a t e s ) , l i n g u i s t i c , racial, o r r e l i g i o u s . S o m e sociologists h a v e s o u g h t to e s c a p e t h e s e confusions by t a l k i n g of primordial groups

as

the

sociological

category

for p r i m a r y

ties,

Ethnicity a n d Social C h a n g e

157

r e s e r v i n g t h e p a r t i c u l a r d e s i g n a t i o n o f n a t i o n a l , linguistic, o r relig i o u s g r o u p s f o r t h e specific h i s t o r i c a l c o n t e x t . T h e t e r m primordial, h o w e v e r , also includes clans a n d tribes, or e v e n e x t e n d e d families, a n d t h u s h a s its o w n l i m i t a t i o n s . T h e t e r m ascriptive groups h a s b e e n p r o p o s e d f o r t h o s e w h o s e ties a r e " b o u n d " o r g i v e n i n s o m e w a y , a s against achievement

groups;

but

the

term

is

embedded

in

an

analytical sociology t h a t is too a u s t e r e to be u s e d for s o c i o g r a p h i c p u r p o s e s . T h o u g h t h e r e i s a n o b v i o u s difficulty i n u s i n g t h e t e r m ethnic i n a n y c o n s i s t e n t w a y , t h a t c o m m o n d e s i g n a t i o n for a c u l t u r a l l y defined " c o m m u n a l g r o u p " is too pervasive to escape, a n d by a n d l a r g e , i t will h a v e t o s e r v e . Class. C l a s s i s a n e c o n o m i c a l l y b a s e d g r o u p , d e f i n e d i n i d e o l o g i cal o r i n t e r e s t t e r m s , i n r e l a t i o n t o t h e s t r u c t u r e o f p r o d u c t i o n , o r o c c u p a t i o n , o r t h e m a r k e t . T h e c o n d i t i o n s u n d e r w h i c h a class c a n b e c o m e a highly effective symbolic a n d c o r p o r a t e unit d e p e n d on t h e c o n t e x t o f c o n f l i c t . I d e n t i f i c a t i o n w i t h a class (as w i t h all o t h e r social u n i t s ) c o m p e t e s w i t h t h e w i d e a r r a y o f o t h e r m o d e s o f a t t a c h m e n t o p e n t o a n i n d i v i d u a l . T h e s t r e n g t h o f t h e class tie lies i n t h e fact t h a t i t i s d e r i v e d f r o m a n i n t e r e s t ; a n d t h i s h a s b e e n t h e e f f e c tive basis o f c o m m o n a c t i o n . Yet t h e v e r y n o t i o n o f class, w i t h its o v e r t o n e s o f social d i f f e r e n t i a t i o n , a l s o c a r r i e s w i t h it, f o r e v e r y class b u t t h e h i g h e s t , a l o w e r e d social r a n k i n g a n d e s t e e m a n d a sense of inferiority which, if reinforced by distinctions in l a n g u a g e ( a c c e n t ) , m a n n e r s , a n d t a s t e s , r e d u c e s t h e ability o f a class i d e n tification t o b e a n e f f e c t i v e s o u r c e o f c o h e s i o n . T h e e m b o u r g e o i s e m e n t o f t h e w o r k i n g class i n a d v a n c e d i n d u s trial s o c i e t i e s , p l u s , i n t h e e a r l i e r y e a r s o f t h e t w e n t i e t h c e n t u r y , a sense of s t r o n g national identification, has t e n d e d to diminish the p o w e r o f c o r p o r a t e class c o n s c i o u s n e s s .

In

the

first h a l f o f t h e

t w e n t i e t h c e n t u r y i t w o u l d n o t h a v e b e e n u n c o m m o n for a w o r k e r i n E n g l a n d o r S w e d e n t o say, " I will r i s e with m y class, n o t out o f it." It is doubtful that o n e would h e a r such sentiments stated widely t o d a y . T h e r e d u c t i o n i n class s e n t i m e n t i s o n e o f t h e f a c t o r s o n e a s sociates with t h e rise of e t h n i c identification. Sex. A h a l f d o z e n y e a r s a g o , o n e w o u l d n o t h a v e listed g e n d e r a s a m a j o r m a c r o - s o c i a l u n i t , yet i n t h e U n i t e d S t a t e s a n d t o a l e s s e r e x t e n t i n o t h e r w e s t e r n s o c i e t i e s , i d e n t i f i c a t i o n o n t h e basis o f s e x i s

Daniel

158

Bell

r e l e v a n t i n t h e d e m a r c a t i o n o f effective a c t i n g u n i t s i n t h e social a r e n a . J u s t as with color, sexual identification ( w o m e n ' s liberation) c u t s a c r o s s class o r r e l i g i o n a s a n a c t i o n u n i t i n c l a i m i n g g r o u p rights. T h e i n t e n t i o n o f this b r o a d classification s h o u l d b e a p p a r e n t b y n o w . T h e r e a r e few, i f a n y , i d e n t i f i c a t i o n s of a b r o a d social c h a r a c ter that a r e exclusive as a m o d e of emotional a t t a c h m e n t . T h e r e is such a multiplicity of interests a n d identities that inevitably they cross-cut each o t h e r in extraordinary fashions. In India, an original d e m a r c a t i o n was r e l i g i o u s b e t w e e n H i n d u s a n d M u s l i m s ; a n d a f t e r i n d e p e n d e n c e t h e c o u n t r y w a s p a r t i t i o n e d p r i m a r i l y o n t h a t basis i n t o I n d i a a n d P a k i s t a n . Y e t t h e r e was e q u a l l y a c u l t u r a l a s well a s g e o g r a p h i c a l d e m a r c a t i o n a m o n g the Pakistani b e t w e e n Bengalis a n d West Pakistanis (and the latter include a m o n g themselves a half d o z e n distinct linguistic a n d cultural g r o u p s ) which finally led t o a s e p a r a t i s t r e v o l t b y t h e B e n g a l i s t h a t itself r a i s e d o t h e r q u e s t i o n s . I n e a s t e r n I n d i a , i s t h e axis o f d e m a r c a t i o n t o b e c u l t u r a l a n d linguistic ( c o m b i n i n g Dacca a n d Calcutta) in a c o m m o n Bengali state, or do the Bengalis r e m a i n divided religiously b e t w e e n Muslim a n d H i n d u , resulting in an i n d e p e n d e n t B a n g l a d e s h a n d a B e n g a l i s t a t e w i t h i n I n d i a ? I n I s r a e l a n d t h e M i d d l e E a s t , i s i t class or national feeling ( a n d w h a t is J o r d a n ? ) or revolutionary i d e o l o g y t h a t i s t h e o v e r r i d i n g i d e n t i f i c a t i o n ? A t o n e t i m e , l e f t - w i n g Zionists h o p e d t o u n i t e J e w i s h w o r k e r s a n d A r a b w o r k e r s i n o n e class f r o n t a g a i n s t t h e " b o u r g e o i s i e . " B u t t h a t e f f o r t failed. A n d t h o u g h t h e r e is a J e w i s h C o m m u n i s t p a r t y in I s r a e l , it finds itself c o n s t a n t l y t o r n a p a r t by the national issue. I d e n t i t y — a n d g r o u p definition—is not only immediately "spatial," t h a t is, t h e r e l a t i o n w i t h o n e ' s i m m e d i a t e n e i g h b o r s , b u t involves levels o f i n c l u s i v e n e s s a s w e l i . I n S p a i n , o n e c a n t h i n k o f o n e s e l f a s a B a s q u e o r C a t a l a n , o r Castillian o r A n d a l u s i a n ; yet o u t side S p a i n , o n e is a S p a n i a r d as against a F r e n c h m a n or Italian, a n d , i n a t h i r d level, a s a E u r o p e a n a s a g a i n s t t h e A m e r i c a n . O n e may be an A r g e n t i n i a n , or a Chilean, or a Brazilian, b u t o n e is also s

8.

I o w e this p o i n t to I m m a n u e l Wallerstein f r o m his i n t e r v e n t i o n at t h e A c a d -

e m y discussion in October 1972.

Ethnicity a n d Social C h a n g e

159

a Latin A m e r i c a n as against a N o r t h A m e r i c a n . A n d in the larger modalities,

the

entire

American

and

European

worlds

may

be

t h o u g h t of as Occidental, as against Oriental. T h e q u e s t i o n o f w h a t o n e is, i s n o t o n l y a m a t t e r o f o n e ' s o w n c h o i c e , b u t t h e label o f o t h e r s a s w e l l , a s i t u a t i o n s u m m e d u p m e t a p h o r i c a l l y , in t h e linguistic distinction of the subject " I " a n d the object " m e " : " w h o am I," a n d " w h o is the m e , as r e g a r d e d by w h a t o t h e r s . " At p a r t i c u l a r t i m e s — b u t usually in relation to an adversa?y,

which

gives

it

its political character—one

specific

identification

becomes primary a n d overriding a n d p r o m p t s o n e to join a particular g r o u p ; or, o n e is forced into a g r o u p by the action of others. B u t t h e r e is no g e n e r a l rule to state which identification it m i g h t be. I n p a r t i c u l a r societies, a n d i n d i f f e r e n t r e g i o n s , t h e r e a r e differe n t polarizing issues, r o o t e d in t h e d o m i n a n c e structures of these societies, a n d only t h e historical n a t u r e o f t h e s e s t r u c t u r e s a n d the

issues

at

hand

define

tions in those societies. 9.

t h e specific d i v i s i o n s

and

confronta-

9

S i n c e the i n t e n t i o n of this section is to indicate t h e r a n g e of diverse identities

a v a i l a b l e , i t m i g h t b e u s e f u l t o m o v e b e l o w t h e m a c r o - s o c i a l l e v e l a n d list a s w e l l t h e multiplicity of s u b o r d i n a t e identities that also act in cross-cutting f o r m . B e c a u s e t h e g e n e r a l a r g u m e n t h a s a l r e a d y b e e n m a d e , I will c o n t e n t m y s e l f w i t h a s i m p l e listing o f s o m e o f these units i n o r d e r t o illustrate the range o f interests and identities which unites and divides peoples.

Intermediate Social Units 1. P o l i t i c a l p a r t i e s 2. Functional

groups

a. Major e c o n o m i c interests: business, farm, labor b. S e g m e n t e d e c o n o m i c interest: for e x a m p l e , professional associations c. E c o n o m i c c o m m u n a l g r o u p s : f o r e x a m p l e , t h e p o o r , t h e a g e d , t h e d i s a b l e d 3.

Armies

4 . V o l u n t a r y a s s o c i a t i o n s (for e x a m p l e , c o n s u m e r , civic) 5. A g e - g r a d e d g r o u p s (for e x a m p l e , y o u t h , students) 6 . E t h o s c o m m u n a l g r o u p s (for e x a m p l e , t h e " c o m m u n i t y " o f science) 7. Symbolic a n d expressive identifications a. Regional (for e x a m p l e , T e x a n s ) b. Socially "deviant" (for e x a m p l e , d r u g cultures, h o m o s e x u a l ) T h e lines b e t w e e n " m a c r o " a n d " i n t e r m e d i a t e " units, necessarily, are n o t h a r d a n d fast.

In g e n e r a l , t h e "macro" unit w o u l d signify an a t t a c h m e n t at a level a b o v e

t h e organizational. T h u s , m e m b e r s h i p in a political party or trade u n i o n while important for particular purposes is not, usually, the overriding criterion of one's identity or g r o u p m e m b e r s h i p .

I n r e c e n t t i m e s , y o u t h , like s e x , h a s b e c o m e a

Daniel

160

Bell

T H E ROLE OF THE ETHNIC GROUP Most societies in t h e w o r l d t o d a y a r e " p l u r a l societies." By p l u r a l societies, I simply m e a n t h e e x i s t e n c e of s e g m e n t e d sociological g r o u p s w h i c h c a n e s t a b l i s h e f f e c t i v e c u l t u r a l a n d political c o h e s i o n w i t h i n t h e society a n d m a k e c u l t u r a l , e c o n o m i c , o r political c l a i m s o n t h e society, o n t h e basis o f t h a t g r o u p i d e n t i t y . Sometimes these cohesions are direct a n d primordial; sometimes these cohesions a r e c r e a t e d o u t o f a d v e r s a r y conflicts. 1 0

I n m o s t c o u n t r i e s , a n d this has b e e n t r u e historically, t h e p l u r a l society w a s a p r o d u c t o f c o n q u e s t i n w h i c h v a r i o u s m i n o r i t y g r o u p s w e r e s u b j u g a t e d b y f o r c e a n d i n c o r p o r a t e d i n t o a society. I n N o r t h A m e r i c a , h o w e v e r , t h e p l u r a l society was c r e a t e d largely o u t o f t h e free m i n g l i n g of p e o p l e s t h r o u g h i m m i g r a t i o n , a n d with imp r e s s e d b l a c k slaves b r o u g h t b y t r a d e r s . 1 1

primary identification a n d for certain p u r p o s e s o n e m i g h t want to include y o u t h a m o n g the macro-social units.

Micro-Social 1.

Units

Families

2.

Clans

3.

F r i e n d s h i p circles

4.

Neighborhood groups

\ V

10. T h e r a n g e a n d e x t e n t o f s u c h plurality a r e striking. T h e largest c o u n t r i e s i n the world, India, t h e Soviet U n i o n , the U n i t e d States, a n d China, are plural socie t i e s , a s a r e m o s t c o u n t r i e s i n A s i a , A f r i c a , a n d Latin A m e r i c a . I n fact, t h e relatively h o m o g e n e o u s society is the rare e x c e p t i o n in the w o r l d — J a p a n ( t h o u g h it has a d e s p i s e d caste, the Eta), the S c a n d i n a v i a n c o u n t r i e s , France ( t h o u g h with a s t r o n g B r e t o n separatist m o v e m e n t ) , Italy (if w e i n c l u d e Sicily a s culturally "Italian" a n d if we minimize regional particularism)—and even w h e r e there have been strong a n d e s t a b l i s h e d national political i n s t i t u t i o n s , as in C r e a t Britain, we find distinctive nationalist m o v e m e n t s s u c h a s t h e Scottish a n d t h e W e l s h , a n d the p r e d i c t i o n s that within a d e c a d e t h e r e m a y be a n e w f e d e r a l s t r u c t u r e to British political life, rather than the p r e s e n t - d a y control f r o m W e s t m i n s t e r . For a review of the probl e m s o f p l u r a l s o c i e t i e s , s e e t h e i s s u e of International Social Science Journal, " D i m e n sions of the

Racial S i t u a t i o n , " 2 3 . 4 ( 1 9 7 1 ) , e s p e c i a l l y the review

article by L e o

K u p e r , "Political C h a n g e i n Plural S o c i e t i e s , " 5 9 4 - 6 0 7 . 11. A s

Pierre L. van d e n

B e r g h e has written:

"The

plural societies of Asia,

Africa and Spanish A m e r i c a m o r e recently studied by sociologists and anthropolo g i s t s h a v e , i n fact, b e e n far m o r e typical o f c o n q u e s t states than t h e f r o n t i e r i m migrant and/or slave plantation societies which u n d e r p i n n e d m u c h of the previous e t h n i c relations literature. In the m o r e classical case of the c o n q u e s t state, t h e in-

Ethnicity a n d Social C h a n g e

161

U n t i l fairly r e c e n t l y , t h e r e w a s little o v e r t c o m p e t i t i o n b e t w e e n t h e s e p l u r a l g r o u p s . I n c o l o n i a l c o u n t r i e s o r e m p i r e s , a n o p e n system of overt domination kept most of the indigenous peoples subj e c t e d . I n m u l t i g r o u p societies s u c h a s t h e U n i t e d S t a t e s , t h e o l d e s t s e t t l e r s e g m e n t e x e r c i s e d c u s t o m a r y social a n d e c o n o m i c d o m i n a n c e . B u t with t h e destruction of imperialist rule in f o r m e r colonial c o u n t r i e s , a n d t h e e r o s i o n o f t h e o l d e r a u t h o r i t y s t r u c t u r e s i n t h e industrial west, c o m p e t i t i o n b e t w e e n t h e plural g r o u p s t o d a y has become the n o r m . Except w h e r e minorities (or majorities even) a r e o p e n l y rep r e s s e d (for e x a m p l e , S o u t h A f r i c a , A n g o l a ) , c o m p e t i t i o n b e t w e e n p l u r a l g r o u p s t a k e s p l a c e l a r g e l y i n t h e political a r e n a . T h e r e a s o n is s i m p l e . S t a t u s c o m p e t i t i o n is d i f f u s e a n d lacks a specific site. E c o nomic competition is dispersed between interests and occupations. B u t political c o m p e t i t i o n i s direct a n d t a n g i b l e , t h e r e w a r d s a r e specified t h r o u g h l e g i s l a t i o n o r b y t h e d i r e c t a l l o c a t i o n o f j o b s a n d p r i v i l e g e s . T h e v e r y n a t u r e o f i n t e r e s t - g r o u p rivalry, w h e r e t h e p l u r a l g r o u p s a r e evidently distinct, m a k e s it c e r t a i n that t h e political a r e n a b e c o m e s t h e m o s t s a l i e n t i n t h e c o m p e t i t i o n f o r t h e c h i e f values of the society. T h e r e i s a s e c o n d g e n e r a l r e a s o n w h y t h e political a r e n a h a s b e c o m e so salient. T h i s is the " s h r i n k a g e " of the economic o r d e r in d i g e n o u s population is subordinated and exploited but neither exterminated nor enslaved; the d o m i n a n t g r o u p remains a minority and is not s u p p l e m e n t e d by m a s s i v e a n d c o n t i n u o u s i m m i g r a t i o n after t h e c o n q u e s t ; cultural a n d social plurali s m o f t h e v a r i o u s e t h n i c g r o u p s i s fairly s t a b l e a n d l o n g - l a s t i n g ; a n d m u c h o f t h e i m m i g r a t i o n w h i c h t a k e s p l a c e s u b s e q u e n t t o t h e c o n q u e s t i s likely t o l a k e t h e f o r m of an interstitial pariah m e r c h a n t class, ethnically distinct from both t h e ind i g e n e s and the politically d o m i n a n t minority. T h i s is the pattern characteristic of most empires, i n c l u d i n g most of the colonial territories of the European p o w e r s in Asia

and

Africa.

The

United

States,

Canada,

Australia,

Argentina,

Uruguay,

C h i l e , Brazil a n d t h e W e s t I n d i e s are t h e e x c e p t i o n s , m a d e possible b y t h e low p r e - c o n q u e s t p o p u l a t i o n density, low level o f i n d i g e n o u s military a n d p r o d u c t i v e technology, a n d sensitivity of the natives to i m p o r t e d e p i d e m i c diseases." "Ethnicity: T h e A f r i c a n

E x p e r i e n c e , " International Social Science Journal,

23.4 (1971),

508. To these patterns, o n e would have to add the Russian empire which represented

a combination

of conquest and

amalgamation

and

which, in the Soviet

f o r m , d e s p i t e t h e f o r m a l e q u a l i t y o f t h e m u l t i p l e p e o p l e s , still s e e s a G r e a t R u s s i a n d o m i n a t i o n b o t h p o l i t i c a l l y (in t h a t R u s s i a n s o c c u p y t h e k e y p o l i t i c a l p o s i t i o n s i n m o s t of the constituent Republics) and culturally.

Daniel

162

Bell

a d v a n c e d industrial societies. For two c e n t u r i e s , as Emile D u r k h e i m p o i n t e d o u t s e v e n t y y e a r s a g o , " E c o n o m i c life h a s t a k e n o n a n expansion it never knew before. F r o m being a secondary function, d e s p i s e d a n d left t o i n f e r i o r c l a s s e s , i t p a s s e d o n t o o n e o f first r a n k . W e see t h e military, g o v e r n m e n t a l a n d religious functions f a l l i n g b a c k m o r e a n d m o r e i n face o f it." I n effect, t h e e c o n o m i c o r d e r " s w e l l e d u p " a s i f t o e n c o m p a s s , a l m o s t , t h e e n t i r e life o f s o ciety a n d t h e " h o r i z o n t a l " d i v i s i o n s o f t h e e c o n o m i c o r d e r , t h a t o f capitalist a n d w o r k e r , b e c a m e t h e c e n t r a l socio-political division of t h e society a s well. B u t n o w , a s I h a v e p o i n t e d o u t e a r l i e r , t h e e c o n o m i c o r d e r i n a l m o s t all a d v a n c e d i n d u s t r i a l societies h a s b e c o m e i n c r e a s i n g l y s u b o r d i n a t e d t o t h e political s y s t e m : f i r s t , b e c a u s e o f the need to m a n a g e the economic system; a n d second, because the rise of n o n e c o n o m i c values ( e n v i r o n m e n t , ecology, health, c u l t u r e , freer personal styles—elements s u b s u m e d u n d e r that phrase "the q u a l i t y o f life") h a s l e d t o t h e d e m a n d f o r t h e c o n t r o l o f e c o n o m i c production. 1 2

T h e t h i r d m a j o r r e a s o n f o r t h e c e n t r a l i t y o f t h e political o r d e r i s that the major processes of m o d e r n i z a t i o n — t h e transformation of societies—in Africa, Asia, t h e Soviet U n i o n , a n d to s o m e extent, Latin A m e r i c a , a r e b e i n g c a r r i e d o u t " f r o m t h e t o p , " b y elites, a n d t h r o u g h t h e f o r c e a n d c o e r c i o n a v a i l a b l e o n l y t h r o u g h t h e political s y s t e m . M a r x m a y h a v e felt t h a t social c h a n g e i s i n i t i a t e d i n society i n t h e e c o n o m i c s u b s t r u c t u r e , b u t t h e m o s t s t r i k i n g fact o f t h e ind u s t r i a l i z a t i o n o f t h e Soviet U n i o n a n d t h e t r a n s f o r m a t i o n o f p e a s ant agriculture into c o m m u n e s in C h i n a is that these are "dir e c t e d " efforts, c a r r i e d o u t by political m e a n s . B u t politics i s m o r e t h a n j u s t t h e a r e n a of i n t e r e s t s o r o f social t r a n s f o r m a t i o n s . Politics i s also t h e a r e n a o f p a s s i o n s , w h e r e e m o tions can be readily mobilized b e h i n d one's own flag, a n d against a n o t h e r g r o u p . T h e " r i s k s " o f s u c h i n f l a m e d political c o m p e t i t i o n i s t h a t i s s u e s m a y n o t b e n e g o t i a b l e (as t h e y a r e w h e n t i e d t o i n t e r ests a l o n e ) , b u t b e c o m e " c a u s e s " t h a t i n v i t e v i o l e n t conflict a n d e v e n civil w a r . 12.

Emile

D u r k h e i m , Professional Ethics and Civic Morals ( G l e n c o e , T h e F r e e

Press, 1958), p p . 1 0 - 1 1 .

Ethnicity a n d Social C h a n g e

163

In the western world, up to the seventeenth and the eighteenth centuries, s u c h passions w e r e e x p r e s s e d largely in religious t e r m s , e v e n w h e r e , a s i n t h e r e l i g i o u s r h e t o r i c o f t h e E n g l i s h civil w a r , they m a s k e d a political c o n t e n t . T o d a y the clashes a r e in o v e r t p o litical t e r m s , t h o u g h b e h i n d s o m e o f t h e political r h e t o r i c l u r k t h e p a s s i o n s o f s e c u l a r r e l i g i o n s , t h e n a t i o n a l , class, o r e t h n i c e m b o d i m e n t s of ideological politics. In the nineteenth century, particularly in Europe, the most pot e n t ideology was n a t i o n a l i s m . N a t i o n a l i s m j o i n s c u l t u r e a n d politics i n a c o m m o n p u r p o s e . I t b r i n g s t o g e t h e r t h e h i g h - b o r n a n d t h e low a n d gives t h o s e , e v e n o f t h e m e a n e s t c i r c u m s t a n c e , a p r i d e i n b e i n g a b l e t o feel a t o n e w i t h t h e h i g h e s t classes i n t h e c o u n t r y , a n d in a c o m m o n culture a n d history. Nationalism has the appeal of u n i f y i n g a c o u n t r y b e h i n d a c o m m o n loyalty, a n d f o c u s i n g e m o t i o n a l a g g r e s s i o n a g a i n s t a n o u t s i d e n e i g h b o r . F o r this o b v i o u s r e a s o n , w h e r e t h e r e h a s b e e n a s t r o n g , a g g r e s s i v e n a t i o n a l i s m , class a n d ethnic rivalries have b e e n s u b d u e d or m u t e d . As W o r l d W a r I a n d o t h e r w a r s h a v e s h o w n , c o u n t r y r a t h e r t h a n class h a d t h e o v e r riding appeal, even a m o n g workers. It is questionable w h e t h e r in the western world today that kind of inclusive nationalism a n y l o n g e r has such a compelling p o w e r . It may be that nationalism has an emotional power within Yugoslavia, o r i n e a s t e r n E u r o p e , o r i n N o r t h e r n I r e l a n d , b u t t h e s e a r e almost entirely instances of national g r o u p s subordinated to a larger political e n t i t y w h o s e c u l t u r a l a n d social d o m i n a n c e i s r e s e n t e d . T h e r e i s m u c h less e m o t i o n a l n a t i o n a l i s m i n t h e s t a t e o f E i r e itself, than in N o r t h e r n Ireland. T h e nationalism of Ukrainians a n d Uzbeks within t h e S o v i e t - d o m i n a t e d w o r l d is a w e a p o n for ind e p e n d e n c e ; u n d e r conditions of i n d e p e n d e n c e , would the passions r e m a i n ? If o n e takes t h e western powers, those a l o n g the Atlantic littoral, is t h e r e m u c h emotional patriotism in G r e a t Britain, France, Weste r n G e r m a n y , I t a l y , o r t h e U n i t e d S t a t e s ? F o r o n e c r u c i a l fact, n a tionalism was an ideology f a s h i o n e d by intellectuals w h o c r e a t e d the consciousness of a c o m m o n culture o u t of the myths, folklore, s o n g s , a n d l i t e r a t u r e o f a p e o p l e . N a t i o n a l i s m , to t h a t e x t e n t , w a s a p r o d u c t o f r o m a n t i c i s m , w i t h its e m p h a s i s o n h i s t o r y a n d n a t u r e ,

164

Daniel

Bell

a g a i n s t t h e r a t i o n a l i s m o f m o d e r n life. B u t t h a t k i n d o f r o m a n ticism is no l o n g e r a t t a c h e d to t h e mystical n o t i o n of an " o r g a n i c " nation, a n d the intellectuals have d e c a m p e d from patriotism. 1 3

T h e s e c o n d fact i s t h a t a l m o s t all t h e s e w e s t e r n societies a r e "fatigued." Nations a n d peoples, w h e r e circumstances are favorable, often display "historical energies" which drive t h e m forward to seek a place on the stage of history. T h e s e are the u p s u r g e s which r e f l e c t a m i l i t a r y o r e c o n o m i c vitality o f a p e o p l e . T h e h i s t o r i c d r i v e o f t h e w e s t e r n p o w e r s t o o k p l a c e i n t h e c e n t u r y b e t w e e n 1850 a n d 1950, largely in industrialization a n d imperialism, a n d took pride i n technological a c h i e v e m e n t a n d e m p i r e . Yet those forces n o w seem spent, frayed by internal problems or exhausted in intern e c i n e w a r s ; a n d few o f t h o s e c o u n t r i e s d i s p l a y t h a t s e n s e o f " n a t i o n a l will," w h i c h i s w h a t u n i t e s h i s t o r i c a l d e s t i n y w i t h n a t i o n a l p u r p o s e . N a t i o n a l i s m i n t h e s e c o u n t r i e s i s a t a low e b b . A n d t h a t c r e a t e s a p r o b l e m for t h e m . T h e historical lesson is that s o c i e t i e s u n d e r g o i n g r a p i d social c h a n g e , o r n a t i o n b u i l d i n g , o r t e r ritorial o r political e x p a n s i o n , can e s c a p e o r p o s t p o n e internal p o litical d i f f i c u l t i e s — t h e f e a r o f e s t a b l i s h e d g r o u p s f o r t h e loss o f privilege, t h e d e m a n d o f d i s a d v a n t a g e d g r o u p s for the reallocation of p r i v i l e g e — b y mobilizing t h e society a g a i n s t s o m e " e x t e r n a l " f o r c e , o r f o r s o m e c o m m o n i d e o l o g i c a l p u r p o s e . Yet b o t h e n d s a r e spent. I n t h e A m e r i c a n h e m i s p h e r e , t h e e x t e r n a l f o r c e , initially, w a s " n a t u r e , " a n d t h e e n e r g i e s o f t h e society w e r e c h a n n e l e d into t h e o p e n i n g a n d d e v e l o p i n g of a large new continent. Later, the source of i n t e r n a l c o h e s i o n b e c a m e s o m e ideologically defined outside e n e m y . I n t h e U n i t e d S t a t e s , i n t h e 1 9 5 0 s , t h e r e was a l a r g e d e g r e e o f social u n i t y b e c a u s e t h e society w a s m o b i l i z e d d u r i n g t h e K o r e a n war a n d after, against the threat of c o m m u n i s m . W h e n that ideological t h r e a t , w h i c h h a d b e e n d e f i n e d i n m o n o l i t h i c t e r m s , b e g a n to dissipate ( t h o u g h great p o w e r rivalry r e m a i n e d ) , the internal social d i v i s i o n s i n t h e society t h a t h a d b e e n h e l d i n b o u n d e r u p t e d . A large n u m b e r of s t r u c t u r a l c h a n g e s h a d been taking place in t h e society—the c r e a t i o n of a national society a n d a c o m m u n a l so13.

T h a t r o m a n t i c i s m , of course, is now c h a n n e l e d into the idea of "liberation"

and the r e n e w e d mystique of "revolution."

Ethnicity a n d Social C h a n g e

165

c i e t y — a n d t h e c l a i m s o f d i s a d v a n t a g e d social g r o u p s , s u c h a s t h e blacks a n d the p o o r .

1 4

T h o s e now, inevitably, c a m e t o t h e fore, a n d

they, too, w e r e e x p r e s s e d in political t e r m s . T h e c r u c i a l q u e s t i o n f o r all politics i s w h a t a r e t h e social b a s e s o f c o h e s i o n a n d c l e a v a g e — t h e o b j e c t i v e basis f o r c o h e s i o n ( i n t e r e s t s ) , a n d t h e s u b j e c t i v e basis f o r a c o m m o n s y m b o l i s m a n d s h a r e d c o n s c i o u s n e s s ( e m o t i o n a l tie); w h a t d e t e r m i n e s t h e c o m p o s i t i o n a n d c h a r a c t e r o f c o r p o r a t e g r o u p s ? Analytically s p e a k i n g , t h e r e a r e two k i n d s o f social m o v e m e n t s : s y m b o l i c a n d e x p r e s s i v e m o v e m e n t s w h o s e ties a r e p r i m a r i l y a f f e c t i v e ; a n d i n s t r u m e n t a l g r o u p s w h o s e a c t i o n s a r e b o u n d b y a set o f c o m m o n , u s u a l l y m a t e r i a l , i n t e r e s t s . Social u n i t s t h a t a r e e n t i r e l y s y m b o l i c - e x p r e s s i v e a r e o f t w o s o r t s : t h e y m a y b e s i m p l y f r a t e r n a l , s u c h a s v e t e r a n s ' o r g a n i z a t i o n s reliving old

giories,

and

thus

become

attenuated;

or,

if they

are

o r i e n t e d t o a c t i o n , t h e i r life m a y b e t r a n s i e n t , s i n c e t h e n e e d t o h e i g h t e n a n d mobilize feelings—in o r d e r t o k e e p their zeal alive— drives t h e m t o e x t r e m e s (for e x a m p l e , t h e W e a t h e r m e n i n s t u d e n t politics). W h e r e social u n i t s a r e e n t i r e l y i n s t r u m e n t a l , i t b e c o m e s difficult t o e x t e n d t h e i r r a n g e b e y o n d t h e l i m i t e d i n t e r e s t w h i c h i m p e l l e d t h e o r g a n i z a t i o n , s o , l a c k i n g a n y e m o t i o n a l basis f o r c o h e sion, either n e w interests h a v e to be f o u n d , or the a t t a c h m e n t s a n d purposes of the organization

become diminished.

In short,

the

p r o b l e m for s y m b o l i c - e x p r e s s i v e g r o u p s i s t h a t w h i l e t h e y c a n b e mobilized quickly in p e r i o d s of stress a n d peak e x p e r i e n c e , w i t h o u t a sustained, c o n t i n u i n g interest which is real, a n d which has tangible p a y o f f s f o r t h e m e m b e r s , t h e m o v e m e n t s b u r n t h e m s e l v e s o u t . T h e p r o b l e m for i n s t r u m e n t a l organizations is the n e e d to r e a d a p t themselves

to

new

purposes

when

the old

goals h a v e

become

realized. T h o s e social u n i t s a r e m o s t h i g h l y e f f e c t i v e , clearly, w h i c h c a n c o m b i n e symbolic a n d i n s t r u m e n t a l p u r p o s e s . I n the political history of o u r times, it is clear that "class" a n d "ethnicity" have b e e n the two such d o m i n a n t m o d e s o f c o h e r e n t g r o u p feeling a n d ac14.

For a detailed discussion of the u n d e r l y i n g structural c h a n g e s in A m e r i c a n

society a n d the e m e r g e n c e o f n e w social g r o u p s a n d c o n s t i t u e n c i e s , s e e m y essay, "Unstable

A m e r i c a , " Encounter

34

(June

1970),

11-26.

Daniel

166

Bell

tion, a n d w e can raise the g e n e r a l q u e s t i o n , u n d e r w h a t c o n d i t i o n s has o n e or the o t h e r b e c o m e most salient for action, or u n d e r what conditions m i g h t the two be fused? C l a s s , i n i n d u s t r i a l society i n t h e last t w o h u n d r e d o r s o y e a r s , h a s j u s t l y b e e n d e f i n e d i n t e r m s o f p r o p e r t y r e l a t i o n s , a n d class issues a s t h e conflicts b e t w e e n t h o s e w h o h a v e t o sell t h e i r l a b o r p o w e r a n d t h o s e w h o b u y it. W o r k i n g class politics, i n t h a t p e r i o d o f t i m e , h a s b e e n o r i e n t e d e i t h e r t o t h e c o m p l e t e c h a n g e o f t h e syst e m , o r a s h a r i n g o f p o w e r w i t h i n it. T h e f u n d a m e n t a l fact i s t h a t few w o r k i n g class m o v e m e n t s i n t h e a d v a n c e d i n d u s t r i a l societies i n r e c e n t y e a r s h a v e h a d a r e v o l u t i o n a r y p u r p o s e . E v e n t h o s e w h i c h , r h e t o r i c a l l y , still s e e k s u c h a change, such as the C o m m u n i s t - d o m i n a t e d labor m o v e m e n t s in F r a n c e a n d Italy, n o l o n g e r act t h a t w a y i n p r a c t i c e . T h e i r c h i e f eff o r t i s t o h a v e a n e f f e c t i v e voice o v e r t h e c o n t r o l o f w o r k i n g c o n d i t i o n s . S i n c e t h e e n d o f W o r l d W a r I I , i n d u s t r i a l conflict i n m o s t countries has been institutionalized. T h i s does not m e a n , necessarily, t h a t all m i l i t a n c y v a n i s h e d , n o r t h a t s o m e o f t h e e c o n o m i c c o n flicts m a y n o t spill o v e r i n t o politics, a s i n I t a l y , w h e r e p a r l i a m e n tary impasses t h r e a t e n t o polarize t h e society, o r E n g l a n d , w h e r e t h e successive g o v e r n m e n t s , L a b o r a n d T o r y , h a v e s o u g h t t o restrict t h e activities o f t h e u n i o n s . B u t i t d o e s m e a n t w o t h i n g s : t h a t s o m e r o u g h a n d r e a d y rules o f t h e g a m e h a v e t e n d e d t o limit t h e conflict, a n d t o f o r c e s o m e n e g o t i a t e d s o l u t i o n s ; a n d t h a t t h e s e c o n flicts, a s R a l f D a h r e n d o r f h a s p u t it, h a d b e c o m e " i n s t i t u t i o n a l l y i s o l a t e d " s o t h a t t h e r e was little c a r r y - o v e r f r o m t h e j o b t o o t h e r a r e a s o f life; t h e o c c u p a t i o n a l m i l i e u lost its ability t o m o l d t h e p e r s o n a l i t y a n d b e h a v i o r o f t h e w o r k e r ; a n d t h e i n d u s t r i a l issues w e r e n o l o n g e r t h e o v e r r i d i n g issues t h a t p o l a r i z e a s o c i e t y . 15.

What

modern

society d o e s , writes

Dahrendorf,

is

15

to separate industrial

conflict f r o m political conflict. O r , a s A n t h o n y G i d d e n s writes, i n e m e n d a t i o n o f this idea, " 'conflict c o n s c i o u s n e s s ' is in a certain s e n s e i n h e r e n t in t h e o u t l o o k of the worker in

capitalist society;

'revolutionary consciousness' is not." S e e

Ralf

D a h r e n d o r f , Class and Class Conflict in Industrial Society ( S t a n f o r d , S t a n f o r d U n i v e r sity Press,

1 9 5 9 ) , p p . 2 7 1 - 2 7 7 ; a n d A n t h o n y G i d d e n s , The Class Structure of the Ad-

vanced Societies ( L o n d o n . H u t c h i n s o n U n i v e r s i t y L i b r a r y , 1 9 7 3 ) , p p . 2 0 1 - 2 0 2 . W h a t is striking in G i d d e n s ' e f f o r t to r e f o r m u l a t e a t h e o r y of class in a d v a n c e d industrial

societies is

the

total

absence of any discussion of ethnicity or ethnic

divisions within the class s t r u c t u r e s .

Truly, a o n e - e y e d vision of m o d e r n society.

Ethnicity a n d Social C h a n g e

167

T h e s e c o n d fact i s t h a t s t r u c t u r a l c h a n g e s i n t h e society h a v e t e n d e d to r e d u c e the role of p r o p e r t y a n d introduce a new criter i o n , t h a t o f t e c h n i c a l skill, a s t h e basis o f class p o s i t i o n . I n m o r e i m m e d i a t e t e r m s , t h e c h a n g e o v e r i n m o s t w e s t e r n societies f r o m a g o o d s p r o d u c i n g to a service e c o n o m y e x p a n d s the p r o p o r t i o n of white-collar j o b s a n d e m p h a s i z e s e d u c a t i o n as t h e m o d e of access to t h e e x p a n d i n g technical a n d professional vocations. T h e w o r k i n g class, a s a p r o p o r t i o n o f t h e l a b o r f o r c e , i s s h r i n k i n g , a n d t h e n e w service o c c u p a t i o n s a n d professional positions rarely carry t h e hist o r y o r t r a d i t i o n s o f t h e o l d e r w o r k i n g class f o r m s o f activity. T h u s , t h e r e is n o t a s i n g l e b u t a d o u b l e - b a s e d e c o n o m i c class s y s t e m , of p r o p e r t y a n d skill, i n t h e s o c i e t y .

16

O n e i m p o r t a n t consequence of the institutional change is that " c l a s s " n o l o n g e r s e e m e d t o c a r r y a n y s t r o n g affective tie. T o p u t i t m o s t b a l d l y , w h a t h a d o n c e b e e n a n i d e o l o g y h a d n o w b e c o m e almost largely an interest. T h e labor m o v e m e n t s in western i n d u s t r i a l s o c i e t y h a v e a l w a y s b e e n a cleft stick. O n t h e o n e e n d , t h e y h a v e b e e n p a r t o f a "social m o v e m e n t " w h i c h s e e k s t o t r a n s f o r m s o ciety; on t h e o t h e r , a " t r a d e u n i o n " s e e k i n g a p l a c e w i t h i n it. As a social m o v e m e n t , l a b o r s o u g h t t o m o b i l i z e affect a s a m e a n s o f m a i n t a i n i n g a p e r m a n e n t hostility t o a n e m p l o y e r class, h u s b a n d i n g its zeal u n t i l t h e "final conflict." A s a t r a d e u n i o n , i t h a s h a d t o live o n a d a y - t o - d a y r e l a t i o n w i t h p a r t i c u l a r e m p l o y e r s a n d e v e n , a t t i m e s , a d o p t t h e i r p o i n t o f view a n d i n t e r e s t , i n o r d e r t o s a v e t h e i r j o b s against competitive employers a n d o t h e r unions. T h e institu16.

W h e t h e r t h e s t r u c t u r a l c h a n g e s — t h e e m e r g e n c e of

k n o w l e d g e o r skill a s

t h e basis o f class—will b r i n g a c o h e r e n t class i d e n t i t y o n t h e part o f t h e n e w t e c h nical classes is an o p e n q u e s t i o n . T h e k n o w l e d g e elites h a v e l o n g h a d a specific e t h o s , defined usually as "professionalism." A n d this c o n c e p t i o n of their role in t h e p a s t h a s m i l i t a t e d a g a i n s t a t r a d i t i o n a l c l a s s i d e n t i f i c a t i o n . Vet e v e n t h o u g h t h e s e g r o u p s are d e f i n e d by a c o m m o n e t h o s , in t h e post-industrial society, as 1 h a v e a r g u e d , i t i s l i k e l y t h a t t h e situs, o r l o c a l e o f w o r k , s u c h a s a b u s i n e s s c o r p o r a tion, the university, the g o v e r n m e n t , or the military, m a y be more important than . the stratum a s t h e s o u r c e f o r p o l i t i c a l o r g a n i z a t i o n a n d p o l i t i c a l c l a i m s f o r t h e e l i t e constituencies

so

that

politics,

more

likely

than

not,

would

be on corporative

r a t h e r t h a n c l a s s l i n e s . A m o n g t h e " s e m i - s k i l l e d i n t e l l e c t u a l s . " like t e a c h e r s , o n e finds an increasing readiness to accept trade u n i o n i s m and forego the traditional g u i l d a n d p r o f e s s i o n a l identification a n d this m a y r e p r e s e n t a n e w kind o f class organization.

But it is doubtful

w h e t h e r this " e d u c a t e d

States, at least, w o u l d b e c o m e an active i d e o l o g i c a l f o r c e .

labor." in t h e

United

168

Daniel

Bell

tionalization of bargaining, necessarily, has m e a n t a lowering of ideological sights. (One interesting indicator is the decline of "labor songs" as a m e a n s of inspiring e m o t i o n s ; the only such songs in r e c e n t y e a r s h a v e b e e n t h o s e o f t h e b l a c k civil r i g h t s m o v e m e n t . ) T h e "social m o v e m e n t " a s p e c t o f l a b o r , w i t h all t h e a t t e n d a n t aspects that the ideology sought to stimulate—fraternal organizations, cooperatives, theater a n d cultural groups—is no longer a " w a y o f life" f o r its m e m b e r s . T h e u n i o n h a s f o c u s e d o n t h e j o b , a n d little m o r e . T h e f u r t h e r fact, i n t h e U n i t e d S t a t e s a t least, i s t h a t t h i s " i n t e r est" o f t e n has b e e n c o n v e r t e d into a q u a s i - m o n o p o l y j o b position— e i t h e r by t h e direct exclusion of blacks f r o m c e r t a i n o c c u p a t i o n s (a situation largely true in the building trades until recently), the o p e r a t i o n of a " m e r i t " system as in teaching, which t e n d s to restrict the o p p o r t u n i t i e s of l a t e c o m e r blacks for r a p i d a d v a n c e m e n t , or even the n o r m a l "seniority" system in most u n i o n a g r e e m e n t s , w h i c h acts t o k e e p b l a c k s a n d o t h e r m i n o r i t i e s i n t h e l o w e r p a y i n g positions. F o r these reasons, o n e finds blacks often hostile to t r a d e u n i o n s a n d , even t h o u g h the o v e r w h e l m i n g majority of t h e m are workers, we find them in the unions emphasizing the "ethnic" as against t h e i r "class" identities. F o r t h e blacks, particularly, a n d m o r e so for the radical blacks, the q u e s t i o n w h e t h e r they o r g a n i z e i n " r a c e " o r " c l a s s " t e r m s - i s a c r u c i a l o n e . G i v e n t h e fact t h a t t h e i r a d v a n c e m e n t h a s c o m e l a r g e l y t h r o u g h political p r e s s u r e , a n d t h e ability t o m a k e g a i n s b y m o b i l i z i n g v o t e s , t h e e m p h a s i s , o v e r w h e l m ingly, h a s b e e n in race or nationalist t e r m s . I n a p l u r a l s o c i e t y , class c u t s a c r o s s e t h n i c l i n e s . S o m e t i m e s class b e c o m e s c o n g r u e n t with ethnicity, w h e r e t h e r e is a bipolar situation in which o n e ethnic g r o u p is economically p r e d o m i n a n t a n d a n o t h e r ethnic g r o u p economically exploited. M o r e often than not, i n t h e a d v a n c e d c o u n t r i e s a t least, e t h n i c i t y c u t s a c r o s s class lines and m e m b e r s of the different ethnic g r o u p s are both in the econ o m i c m a j o r i t y a n d e c o n o m i c m i n o r i t y . W h e r e class issues b e c o m e a t t e n u a t e d , a n d c o m m u n a l questions c o m e t o the fore, u n d e r s t a n d a b l y , t h e e t h n i c tie b e c o m e s m o r e s a l i e n t . T h e c o n v e r s i o n o f t h e w o r k i n g class i n t o a n " i n s t i t u t i o n a l i n t e r e s t , " w i t h a n e l a b o r a t e b u r e a u c r a t i c s t r u c t u r e o f its o w n , i s a p r o -

E t h n i c i t y a n d Social C h a n g e

169

c e s s t h a t h a s t a k e n p l a c e p r i m a r i l y w i t h i n t h e last t w e n t y - f i v e y e a r s . D u r i n g t h a t t i m e t h e e c o n o m i c l o c u s o f conflict d i m i n i s h e d . A n d w h e r e interests became institutionalized a n d instrumental, the adv e r s a r y conflicts w h i c h t e n d t o p o l a r i z e e m o t i o n s also d i m i n i s h e d ; f o r t h i s r e a s o n t h e s a l i e n c y o f a n i d e n t i t y a s a w o r k e r t e n d e d t o att e n u a t e . A t t h e s a m e t i m e , w i t h i n this p e r i o d , t h e political a r e n a b e c a m e m o r e c e n t r a l . W h e r e t h i s h a s t a k e n p l a c e o n t h e local a n d c o m m u n i t y level, a s h a s b e e n e v i d e n t i n this p e r i o d , i n t e r e s t - g r o u p u n i o n i s m h a s b e c o m e less i m p o r t a n t a n d o t h e r g r o u p m e m b e r s h i p s h a v e c o m e t o t h e f o r e . F o r this d o u b l e r e a s o n , e t h n i c i t y h a s b e c o m e m o r e s a l i e n t i n t h e last d e c a d e . 1 7

E t h n i c i t y h a s b e c o m e m o r e s a l i e n t b e c a u s e i t c a n c o m b i n e a n int e r e s t w i t h a n a f f e c t i v e tie. E t h n i c i t y p r o v i d e s a t a n g i b l e set o f c o m m o n identifications—in language, food, music, n a m e s — w h e n other social r o l e s b e c o m e m o r e a b s t r a c t a n d i m p e r s o n a l . I n t h e c o m p e t i t i o n f o r t h e v a l u e s o f t h e society t o b e r e a l i z e d politically, e t h n i c i t y can b e c o m e a m e a n s of claiming place or a d v a n t a g e . Ethnic

groups—be

munal—are,

it

they

should

religious,

be

pointed

linguistic,

racial,

o u t , pre-industrial

or

com-

units

that,

w i t h t h e r i s e o f i n d u s t r y , b e c a m e c r o s s - c u t b y e c o n o m i c a n d class interests. In trying to account for t h e u p s u r g e of ethnicity today, o n e c a n s e e this e t h n i c i t y a s t h e e m e r g e n t e x p r e s s i o n o f p r i m o r d i a l feelings, l o n g s u p p r e s s e d but now r e a w a k e n e d , or as a "strategic site," c h o s e n b y d i s a d v a n t a g e d p e r s o n s a s a n e w m o d e o f s e e k i n g political r e d r e s s i n t h e society. Two

historical

factors a r e

relevant

here.

O n e , which

I

have

p o i n t e d t o , i s t h e loss o f social d o m i n a n c e o f t h e o l d social e l i t e s , a s i t u a t i o n w h i c h d e r i v e s f r o m t h e b r e a k u p o f t h e "family c a p i t a l i s m , " w h i c h j o i n e d family d i r e c t l y t o e c o n o m i c p o w e r i n t h e w e s t ern world. 17.

1 8

W i t h i n t h e family s y s t e m t h e r e h a s b e e n a n e r o s i o n o f

I n v o l v e m e n t b e y o n d t h e b o r d e r s of t h e c o u n t r y — t h e J e w s with

Israel, the

blacks with A f r i c a , t h e " n e w left" with n a t i o n a l l i b e r a t i o n m o v e m e n t s — h a s b e e n a c o n s p i c u o u s f e a t u r e o f t h e last d e c a d e , a n " i n t e r n a t i o n a l i s m , " a g a i n w h i c h c o n trasts with the small d e g r e e o f i n t e r n a t i o n a l i s m o f t h e t r a d e - u n i o n m o v e m e n t s i n working-class issues. 1 8 . F o r a d i s c u s s i o n o f t h i s q u e s t i o n s e e m y e s s a y , " T h e B r e a k - u p o f FamilyC a p i t a l i s m , " i n m y The End o f Ideology ( G l e n c o e , T h e F r e e P r e s s , 1 9 6 0 ) .

170

Daniel

Bell

t h e social a u t h o r i t y , o f t h e m a j o r " f a m i l y " n a m e s i n h i g h society, p a r t i c u l a r l y o f t h e W A S P s . O n e f i n d s less o f " s o c i e t y " a n d m o r e o f " c e l e b r i t y , " less e m p h a s i s o n l a r g e social e s t a t e s a n d g r e a t h o u s e s , a n d m o r e o n m o v e m e n t a n d t r a v e l . I f t h e r e i s a "social h i e r a r c h y " i n t h e U n i t e d S t a t e s , i t t e n d s t o h i d e itself, r a t h e r t h a n f l a u n t its position as in the Gilded Age. T h e s e c o n d h i s t o r i c a l fact i s t h e b r e a k u p o f i m p e r i a l i s m , w h i c h I d i s c u s s e d p r e v i o u s l y f r o m t h e p o i n t o f v i e w o f its s i g n i f i c a n c e f o r ideological d e v e l o p m e n t s . I m p e r i a l i s m h a s b e e n looked at largely in e c o n o m i c a n d political t e r m s , b u t c l e a r l y i t h a d a c u l t u r a l c o m p o nent which emphasized the superiority of the older nations and which h a d e x t r a o r d i n a r y psychological effects o n t h e personalities o f t h o s e w h o lived u n d e r i m p e r i a l i s t r u l e . T h e r e s u r g e n c e o f e t h nicity, i n t h a t r e s p e c t , i s p a r t o f t h e b r o a d e r h i s t o r i c a l u p s u r g e against i m p e r i a l i s m , reflected n o w , on t h e c u l t u r a l side. Since no g r o u p can n o w claim explicit s u p e r i o r i t y , each g r o u p can e m p h a size its o w n l a n g u a g e , r e l i g i o n , a n d c u l t u r e a s o f i n t r i n s i c v a l u e a n d can assert a pride in the aggressive declaration of one's own ethnicity. E t h n i c i t y b e c o m e s a b a d g e t h a t o n e c a n w e a r m o r e o p e n l y a n d show as a m o d e of personal self-assertion. T h e s e t w o facts, social a n d c u l t u r a l , m e r g e w i t h t h e c h a n g e d c o n text o f e c o n o m i c a d v a n c e m e n t a n d political o r g a n i z a t i o n . I n i n d u s trial s o c i e t i e s , access t o e c o n o m i c a n d p r o f e s s i o n a l p o s i t i o n b e c o m e s defined increasingly by technical criteria. In the modernizing w o r l d , a s well, a c h i e v e m e n t b e c o m e s l i n k e d w i t h t e c h n i c a l c o m p e t e n c e , w h i c h i n v o l v e s h i g h e r e d u c a t i o n , s p e c i a l i z e d skills, a n d p r o f e s s i o n a l a c h i e v e m e n t . T h e o n e r o u t e l a r g e l y o p e n i s t h e political o n e . O n e can m o v e a h e a d by mobilizing a following, b e c o m e e l e c t e d t o office o r g e t a j o b b y s u p p o r t i n g a v i c t o r i o u s c a n d i d a t e ; or o n e can m a k e d e m a n d s for quotas or s o m e o t h e r m e a n s of enforcing an allocation of position on s o m e criterion o t h e r than the technical a n d professional. I n this c o n t e x t , claims a r e m a d e o n t h e basis o f ascriptive o r g r o u p i d e n t i t y r a t h e r t h a n i n d i v i d u a l a c h i e v e m e n t , a n d this i s r e i n f o r c e d b y t h e n a t u r e o f t h e political p r o c e s s w h i c h e m p h a s i z e s s o m e g r o u p c o h e r e n c e as a m e a n s of b e i n g effective in that a r e n a . What takes place, then, is the wedding of status issues to political demands

Ethnicity and Social Change

171

through the ethnic groups. In t h e r e c e n t h i s t o r i c a l s i t u a t i o n , e t h n i c groups, being both expressive and instrumental, become sources of political s t r e n g t h . I n s u m , t h e r e w o u l d b e t h r e e r e a s o n s f o r t h e u p s u r g e of t h e salience of ethnic identification: 1. I n t h e g r e a t e r m i n g l i n g o f p e o p l e s , w i t h t h e e x p a n s i o n o f m o r e inclusive, yet a t t e n u a t e d , identities, in the s i m u l t a n e o u s d e v e l o p m e n t o f a c u l t u r e t h a t i s m o r e s y n c r e t i s t i c a n d a social s t r u c t u r e that is m o r e bureaucratic, the desire for some particular or p r i m o r d i a l a n c h o r a g e becomes intensified. People want to belong to "smaller" units, a n d find in ethnicity an easy a t t a c h m e n t . 2. T h e b r e a k u p of the traditional authority structures and the p r e v i o u s a f f e c t i v e social u n i t s — h i s t o r i c a l l y , n a t i o n a n d c l a s s — i n t u r n m a k e the ethnic a t t a c h m e n t m o r e salient. 3 . T h e p o l i t i c i z a t i o n o f t h e d e c i s i o n s t h a t affect t h e c o m m u n a l lives o f p e r s o n s m a k e s t h e n e e d f o r g r o u p o r g a n i z a t i o n m o r e n e c essary, a n d ethnic g r o u p i n g becomes a ready means of d e m a n d i n g g r o u p rights or p r o v i d i n g defense against o t h e r g r o u p s . W h a t I t h i n k is c l e a r is t h a t e t h n i c i t y , in this c o n t e x t , is b e s t u n d e r s t o o d not a s a p r i m o r d i a l p h e n o m e n o n i n w h i c h d e e p l y h e l d identities have to r e e m e r g e , b u t as a strategic choice by individuals who, in other circumstances, would choose other g r o u p memberships as a m e a n s of g a i n i n g s o m e p o w e r a n d privilege. In short, it is the salience n o t t h e persona w h i c h h a s t o b e t h e a x i a l line f o r e x p l a n a t i o n . A n d because salience may be the decisive variable, the a t t a c h m e n t to e t h n i c i t y m a y H u s h o r f a d e v e r y q u i c k l v d e p e n d i n g o n political a n d economic circumstances. T h e p a r a d o x i s t h a t with m o r e s y n c r e t i s m a n d i n t e r m i n g l i n g , formal ethnic attachments may weaken, as evidenced by the high d e g r e e o f i n t e r m a r r i a g e b e t w e e n g r o u p s , yet, i f o n e wants to, o n e c a n n o w identify o n e s e l f m o r e readily, a n d without lessened est e e m , i n e t h n i c t e r m s , a n d m a k e c l a i m s o n t h a t basis o f t h a t i d e n tity. T h e s i m p l e p o i n t , t h e n , i s t h a t e t h n i c i t y h a s b e c o m e fully legitim a t e — a n d s o m e t i m e s necessary-—as a n i d e n t i t y , a n d this c a r r i e s o v e r , i n a political s i t u a t i o n , i n t o a g r o u p a t t a c h m e n t . 1 9

19.

I b i s c h a p t e r has dealt generally with

broad

sociological trends, but

has

d r a w n t h e i m p l i c a t i o n s l a r g e l y for a d v a n c e d i n d u s t r i a l societies with e s p e c i a l ref-

172

Daniel

Bell

A CODA As a p o s t s c r i p t I w o u l d like to n o t e t h r e e q u a l i f i c a t i o n s . F i r s t , t h e f o c u s o f this c h a p t e r i s e t h n i c i t y a n d t h e a t t e m p t t o acc o u n t f o r its u p s u r g e a n d s a l i e n c e a t t h e p r e s e n t t i m e , i n t e r m s o f structural determinants a n d precipitating situations.

Ethnicity is

o n e response, in m a n y instances of hitherto disadvantaged g r o u p s , t o t h e b r e a k u p o f o l d e r , a n d h i s t o r i c a l l y f u s e d social a n d c u l t u r a l , p o l i t i c a l a n d e c o n o m i c d o m i n a n c e s t r u c t u r e s , a n d r e p r e s e n t s a n effort by these g r o u p s to use a cultural m o d e for e c o n o m i c a n d political a d v a n c e m e n t . Y e t this s h o u l d n o t b e t a k e n t o m e a n t h a t e t h e r e n c e t o t h e U n i t e d States. I h a v e less c o m p e t e n c e a s t o o t h e r a r e a s , yet w o u l d venture these observations. In d e v e l o p i n g nations, w h e r e rapid and sustained e c o n o m i c d e v e l o p i n g is u n d e r way, class m a y b e t h e m o r e salient sociological u n i t b e c a u s e s u c h d e v e l o p m e n t , r e q u i r i n g h e a v y capital a c c u m u l a t i o n , creates large e c o n o m i c d i s p r o p o r t i o n s in the p o p u l a t i o n . In Latin A m e r i c a , w h e r e e c o n o m i c d e v e l o p m e n t is tied with t h e i d e o l o g i c a l h i s t o r y o f i m p e r i a l i s m , c l a s s w o u l d still s e e m t o b e m o r e s a l i e n t , p a r t i c u l a r l y in t h e m o r e E u r o p e a n i z e d societies s u c h as A r g e n t i n a , C h i l e a n d Brazil. I n A f r i c a , h o w e v e r , w h e r e a l m o s t all p o l i t i c a l b o u n d a r i e s h a v e b e e n a r t i f i c i a l l y d r a w n , t h e e x i s t e n c e o f plural tribal g r o u p s h a s t e n d e d

to emphasize ethnicity

m o r e than any o t h e r factor. O n e m e a n s has b e e n t h e w h o l e s a l e e x p u l s i o n o f n o n African g r o u p s that h a d d o m i n a t e d s o m e of the mercantile a n d professional sectors s u c h a s t h e A r a b s i n Zanzibar o r t h e I n d i a n s f r o m U g a n d a , a n d t o restriction of the n u m b e r of whites in the country. But even then, the existence of multitribal g r o u p s b e c o m e s a n i n e s c a p a b l e fact a n d w h i l e s o c i o l o g i s t s , a d e c a d e b e f o r e , h a d e x p e c t e d , simplistically, that t h e m o d e r n i z i n g situation w o u l d p r o d u c e a n e m phasis on individual a c h i e v e m e n t and universalism, the politicization of these societies has l e d , i n fact, t o a r e i n f o r c e m e n t o f t r i b a l i s m . A s P i e r r e van d e n B e r g h e has superbly s u m m a r i z e d the situation: "A polity of universalism based on merit is r e s e n t e d b y t h e ' b a c k w a r d ' g r o u p s a s a c l o a k t o m a i n t a i n t h e h e a d start o f t h e ' a d vanced' groups .

.

of ethnic cleavages,

. G i v e n this restricted o p p o r t u n i t y s t r u c t u r e , a n d t h e e x i s t e n c e it can

be expected

that c o m p e t i t i o n

within

the

privileged

classes w o u l d be a l o n g ethnic lines. In the scramble for salaried positions in the civil s e r v i c e , t h e a r m y , t h e s c h o o l s a n d U n i v e r s i t i e s , t h e S t a t e c o r p o r a t i o n s , a n d t h e private bureaucracies, the easiest way to eliminate the majority of one's c o m p e t i tors i s b y m a k i n g a n e t h n i c claim t o t h e j o b a n d b y m o b i l i z i n g political s u p p o r t o n a n e t h n i c b a s i s . O n c e t h e p r a c t i c e o f e t h n i c c o n f l i c t i s e s t a b l i s h e d i t b e c o m e s a n alm o s t i n e s c a p a b l e v i c i o u s circle. E v e r v o n e e x p e c t s e v e r y b o d y e l s e t o b e a 'tribalist,' a n d t h u s f i n d s i t e a s y t o j u s t i f y his o w n e t h n i c p a r t i c u l a r i s m o n d e f e n s i v e o r p r e e m p t i v e g r o u n d s , o r o s t e n s i b l y t o r e - e s t a b l i s h t h e b a l a n c e d e s t r o y e d b y t h e 'tribalism' of others." "Ethnicity: T h e African

ence Journal, p. 5 1 5 .

E x p e r i e n c e , " International Social Sci-

Ethnicity a n d Social C h a n g e

173

nicity i s t h e c e n t r a l c o n c e p t t o a n a l y z e social c h a n g e i n t h e w o r l d t o d a y . T h e f o r c e s o f n a t i o n a n d class a r e l a t e n t a n d o t h e r c i r c u m stances could readily bring t h e m to the fore. Second, ethnicity is an aspect of the fusion of the status o r d e r w i t h t h e p o l i t i c a l o r d e r , a s class i s a d i m e n s i o n o f t h e r e l a t i o n s h i p o f t h e e c o n o m i c o r d e r t o t h e political o r d e r . Status politics, h o w ever, usually b e c o m e salient d u r i n g p e r i o d s of prosperity, w h e n m e n have a d v a n c e d economically a n d a r e c o n c e r n e d with a sense of possessions a n d place in t h e society. E c o n o m i c issues, h o w e v e r , become m o r e relevant d u r i n g periods of r e t r e n c h m e n t , w h e n the cost b u r d e n s o f t h e s o c i e t y , e i t h e r d e p r e s s i o n o r i n f l a t i o n , a r e levi e d d i f f e r e n t i a l l y o n social g r o u p s . T h e fact t h a t e c o n o m i c g r o w t h in

western

societies

has

been

slowed drastically because of the

c h a n g e d costs o f e n e r g y a n d r a w m a t e r i a l s , a n d t h a t t h e i n d u s t r i a l w o r l d i s i n for a p e r i o d o f b o t h s c a r c i t y a n d i n f l a t i o n , m a y m a k e e c o n o m i c class i s s u e s c e n t r a l a g a i n t o t h e p o l i t i c a l c o n c e r n s o f t h e society.

20

T h e s o c i o l o g i c a l fact t h a t , t h r o u g h o u t t h e w e s t e r n w o r l d , t h e ind u s t r i a l w o r k i n g class i s s h r i n k i n g , r e l a t i v e t o o t h e r classes, a n d o n e c a n say t h a t , " h i s t o r i c a l l y " i t i s m o v i n g o f f t h e s t a g e o f w o r l d h i s t o r y a s h a v e f a r m e r s ( t h o u g h n o t f a r m i n g ! ) i n a d v a n c e d i n d u s t r i a l socie t y , i g n o r e s t h e q u e s t i o n o f t i m e . S o c i a l s y s t e m s a n d social g r o u p s , as I a r g u e d in my b o o k on post-industrial society, take a long time to " e x p i r e . " ( W o r l d W a r I d i d n o t so m u c h s o u n d the d e a t h knell o f c a p i t a l i s m a s t h e final e c l i p s e , i n t h e p o l i t i c a l r e a l m , o f t h e f e u dal

order—in

the

overthrow

of the

monarchies

in

Germany,

A u s t r i a - H u n g a r y , a n d R u s s i a — t h r e e h u n d r e d y e a r s a f t e r t h e rise o f t h e b o u r g e o i s i e . ) T h e m o s t i m p o r t a n t fact a b o u t t h e w o r k i n g - c l a s s p a r t i e s a n d t r a d e u n i o n s i s t h a t t h e y a r e still t h e b e s t o r g a n i z e d g r o u p s in

t h e s o c i e t y , a n d i n a society w h i c h i s b e c o m i n g i n c r e a s i n g l y 20.

F o r a d i s c u s s i o n o f t h e d i s t i n c t i o n o f status p o l i t i c s a n d class politics, s e e t h e

e s s a y s b y H o f s t a d t e r , L i p s e t , a n d B e l l , i n D a n i e l B e l l , e d . , The Radical Right ( N e w York, Doubleday-Anchor,

1962).

I have dealt with the questions of growth a n d

inflation in an essay, " T h e N e x t T w e n t y - F i v e Years," a p a p e r for the C I B A F o u n dation conference on T h e Future of Foundations ( J u n e 1974), to be published by Elsevier in

1975. T h e crucial point, o n e s h o u l d n o t e , a b o u t any inflation, a n d t h e

rise in taxes, is the u n s e t t l i n g effects on t h e m i d d l e classes a n d the reactions of the m i d d l e classes which m a y result in the b r e a k u p of e x i s t i n g party systems.

Daniel

174

Bell,

a m o r p h o u s , with the multiplication of s t r u c t u r e s a n d constituencies, t h a t v e r y fact o f o r g a n i z a t i o n gives t h e t r a d e u n i o n s (like t h e m i l i t a r y i n u n d e r d e v e l o p e d societies) a n e n o r m o u s i m p o r t a n c e , p a r t i c u l a r l y i n a p e r i o d o f crisis. T o t h a t e x t e n t , t h e r e f o r e , o n e w o u l d h a v e t o say that while ethnicity has b e c o m e m o r e salient t h a n before, saliency is n o t p r e d o m i n a n c e , a n d that for m a n y political issues, functional i n t e r e s t g r o u p s a n d classes m a y b e m o r e i m p o r t a n t t h a n t h e e t h n i c a n d c o m m u n a l g r o u p s i n t h e society. T h i r d , I w o u l d like t o s o u n d a n o t e o f n o r m a t i v e c a u t i o n o n t h e r o l e of ethnicity in politics. T h e u p s u r g e of ethnicity is a c u l t u r a l gain in t h a t . i t allows i n d i v i d u a l s w h o s e i d e n t i t i e s h a v e b e e n s u b m e r g e d , o r whose status has been denigrated, to assert a sense of p r i d e in what they r e g a r d as their o w n . In e q u a l m e a s u r e , it is a m e a n s for d i s a d v a n t a g e d g r o u p s t o c l a i m a set o f r i g h t s a n d p r i v i l e g e s w h i c h t h e existing p o w e r structures have d e n i e d t h e m . Yet if o n e looks d o w n t h e d a r k r a v i n e s o f h i s t o r y , o n e s e e s t h a t m e n i n social g r o u p s n e e d some other g r o u p to hate. T h e strength of a primordial attachment is that emotional cohesion derives not only from some inner "consciousness of kind," but from s o m e external definition of an a d v e r s a r y a s well. W h e r e t h e r e a r e Gemeinde, t h e r e a r e also Fremde. A n d s u c h d i v i s i o n s , w h e n t r a n s l a t e d i n t o p o l i t i c s , b e c o m e , like a civil w a r , politique a I'outrance. It w a s o n c e h o p e d t h a t t h e politics of i d e o l o g y m i g h t b e r e p l a c e d b y t h e p o l i t i c s o f civility, i n w h i c h m e n w o u l d l e a r n t o live i n n e g o t i a t e d p e a c e . T o r e p l a c e t h e politics o f i d e o l o g y w i t h t h e politics o f e t h n i c i t y m i g h t o n l y b e t h e c o n t i n u a t i o n of war by o t h e r m e a n s . A n d those are the drawbacks of ethnicity as well. 2 1

21.

A s S i g m u n d F r e u d h a s r e m a r k e d : "Homo homini lupus. W h o , i n t h e f a c e o f

all h i s e x p e r i e n c e o f life a n d o f h i s t o r y , w i l l h a v e t h e c o u r a g e t o d i s p u t e t h i s a s s e r t i o n ? . . . It i s a l w a y s p o s s i b l e t o b i n d t o g e t h e r a c o n s i d e r a b l e n u m b e r o f p e o p l e i n l o v e , s o l o n g a s t h e r e a r e o t h e r p e o p l e left o v e r t o r e c e i v e t h e m a n i f e s t a t i o n s o f t h e i r a g g r e s s i v e n e s s . " Civilization and Its Discontents ( L o n d o n , H o g a r t h P r e s s , X X I . 111. 114.

1961),

T H E OLD WORLD AND T H E NEW

6 WILLIAM PETERSEN

On the Subnations of Western E u r o p e

I n E u r o p e , nation i s o r d i n a r i l y u n d e r s t o o d literally, a s a c o m m u nity b a s e d o n c o m m o n d e s c e n t . M a n y A m e r i c a n s c h o l a r s , o n t h e contrary, seem reluctant to use the very terms of genetic different i a t i o n : t h e y a r e likely t o i n t e r p r e t nation a s m e a n i n g " s t a t e , " t o e s c h e w race a l t o g e t h e r a n d s u b s t i t u t e t h e p r e s u m a b l y less s u l l i e d "ethnic g r o u p " (from the Greek r a t h e r t h a n the Latin for the same concept).

It

m a y be significant that o n e can

speak

o f "la

race

francaise," "die franzosische Rasse," "het Franse ras," a n d even, in Britain, "the French race," but in m o d e r n A m e r i c a n English the p h r a s e w o u l d b e s e e n a s a n a f f e c t a t i o n . A n d few E u r o p e a n i n t e l l e c tuals s e e m able t o u n d e r s t a n d t h a t t h e n o t i o n o f " u n - A m e r i c a n activities" s t e m s f r o m t h e c o n c e p t of n a t i o n as an obviously h e t e r o g e n e o u s p o p u l a t i o n t h a t d e r i v e s its u n i t y f r o m a s h a r e d p o l i t i c a l f a i t h . O n t h e o t h e r h a n d , i t i s difficult f o r a n y A m e r i c a n , r e a r e d i n a convictional nation, to u n d e r s t a n d sympathetically the constraints imposed

by

the

E u r o p e a n concept.

Why should

the

French or

Swiss d e m o c r a c i e s m a k e n a t u r a l i z a t i o n s o d i f f i c u l t ; w h y s h o u l d t h e small colored

minority of Britain b e c o m e so explosive a public

issue? A s t h e A m e r i c a n o b s e r v e r i s likely t o n o t i c e , t h e m y t h o f Note: S o m e o f t h e b a c k g r o u n d m a t e r i a l f o r t h i s p a p e r w a s c o l l e c t e d

under a

travel-research grant from the Ford Foundation in 1971. 1 am happy to acknowle d g e this assistance.

Valuable c o m m e n t s on an earlier draft were given m e by

Professors H a n s E. Keller of O h i o State University, Aristide R. Zolberg of the U n i versity of Chicago, a n d Lucien H u y s e of the Catholic University of Leuven.

178

William

Petersen

c o m m o n d e s c e n t from a putative ancestor has generally survived t h e p a l p a b l e genetic variation t h a t exists in even t h e s m a l l e r nations of Western E u r o p e . O n e c o m m o n m o d e of resolving the contradiction is to delineate an ethnic s t r u c t u r e of "ideal" or c o n s t r u c t e d t y p e s : " t h e " S w e d e i s tall a n d fair, " t h e " F r e n c h m a n s h o r t a n d d a r k . A p p a r e n t l y s u c h a q u a s i - e m p i r i c a l classification c a n p e r s i s t ( t h o u g h w i t h s o m e s t r a i n , a f t e r t h e N a z i s ) s o l o n g a s t h e a c t u a l int e r n a l d i f f e r e n t i a t i o n h a s n o t b e c o m e t o o g r e a t . W i t h t h e rise o f Scots a n d W e l s h n a t i o n a l i s m s , t h e distinction b e t w e e n " E n g l i s h " a n d "British" is now m o r e pointed, a n d it is doubtful w h e t h e r the s m a l l m i n o r i t i e s f r o m t h e W e s t I n d i e s o r I n d i a a n d P a k i s t a n will s o o n a c q u i r e a full E n g l i s h i d e n t i t y , n o m a t t e r w h a t t h e i r p a s s p o r t status. W h e n c i r c u m s t a n c e s i n d u c e E u r o p e a n s t o shift f r o m t h e g e n e t i c concept of nation, they do not usually take over the American ( a n d , i n s p i t e o f t h e d i f f e r e n c e s , also t h e S o v i e t ) c o n c e p t o f a n e n tity u n i t e d b y p o l i t i c a l f a i t h . T h e y s p e a k r a t h e r o f a cultural h e r i tage, a n d p e r h a p s the most frequent symbol of a supposed comm o n descent is a c o m m o n language. E u r o p e does contain such isolated e t h n i c pockets as, for e x a m p l e , t h e B a s q u e s , w h o deviate markedly from their neighbors in both blood groups a n d language. M o r e generally, the r o u g h association b e t w e e n the two kinds of h e r i t a g e i s f a r less t h a n m o s t p e r s o n s a s s u m e , a n d s c h o l a r s h a v e long tried to break the b o n d in the p o p u l a r m i n d between race a n d language. For Max Muller, as a prime e x a m p l e , "An ethnologist w h o speaks of Aryan race, Aryan blood, Aryan eyes a n d hair, is as g r e a t a s i n n e r as a l i n g u i s t w h o s p e a k s of a d o l i c h o c e p h a l i c d i c tionary or a brachycephalic g r a m m a r . " A m e r i c a n s n e e d but look a r o u n d a t t h e i r E n g l i s h - s p e a k i n g fellow A m e r i c a n s t o k n o w t h a t a t least i n t h e i r c o u n t r y l a n g u a g e a n d e t h n i c i t y a r e d i s j u n c t i v e . A n d c e r t a i n l y E u r o p e a n s a r e also well a w a r e t h a t , u n t i l P r e s i d e n t Wilson's principle of s e l f - d e t e r m i n a t i o n was p a r t l y realized in the treaties f o l l o w i n g t h e First W o r l d W a r , n e i t h e r e t h n i c i t y n o r l a n g u a g e was a n i m p o r t a n t o r g a n i z i n g p r i n c i p l e o n t h e c o n t i n e n t . I n a s t i m u lating b u t h a l f - f o r g o t t e n essay, M a x W e b e r n o t e d the g e n e r a l l y slight political s a l i e n c e o f a s h a r e d l a n g u a g e i n n i n e t e e n t h - c e n t u r y

Subnations of Western

Europe

179

1

E u r o p e . T h e ethnic G e r m a n s of the east then had no interest, in his view, i n j o i n i n g a g r e a t e r R e i c h ; a n d " U n t i l a s h o r t t i m e a g o m o s t P o l e s in U p p e r Silesia . . . w e r e loyal if p a s s i v e ' P r u s s i a n s , ' but they were not 'Germans.' " In Western E u r o p e , on the o t h e r h a n d , " T h e t e r m nationality does not s e e m to be quite fitting" for such multilingual states as B e l g i u m a n d Switzerland. T o c q u e v i l l e a l s o saw S w i t z e r l a n d a s a n o n - n a t i o n , w h i c h , " p r o p e r l y s p e a k i n g , has never had a federal government." In his o p i n i o n , s u c h diverse c a n t o n s as U r i a n d V a u d c o m p r i s e d a u n i o n that "exists only o n t h e m a p , " a s w o u l d b e c o m e e v i d e n t "if a n a t t e m p t w e r e m a d e b y a c e n t r a l a u t h o r i t y t o p r e s c r i b e t h e s a m e laws t o t h e w h o l e c o u n try." 2

H o w e v e r m a n y s c h o l a r s like M a x M u l l e r h a v e t r i e d t o s e p a r a t e g e n e t i c f r o m l i n g u i s t i c classifications, i n a p r a c t i c a l s e n s e t h e c o m m o n m a n w h o p e r s i s t s i n c o n t u s i n g t h e t w o is h a l f - r i g h t , f o r t h e effect o n c u r r e n t b e h a v i o r of a b e l i e f i n e i t h e r t y p e o f h e r i t a g e i s likely t o b e t h e s a m e . I n d e e d , w h a t e v e r c h a r a c t e r i s t i c i t i s t h a t m a r k s t h e s e p a r a t i o n o f " e t h n i c " g r o u p s h a s u s u a l l y m a d e little diff e r e n c e in their intensity of feeling, t h e i r typical d e m a n d s , or e v e n their symbols of c o m m u n a l a d h e r e n c e . Recent disputes in Western E u r o p e have been based on differences in both race ( E n g l a n d or F r a n c e ) a n d l a n g u a g e ( B e l g i u m o r N o r w a y ) , b u t also i n r e l i g i o n (Netherlands or N o r t h e r n Ireland), nationality (Switzerland), a n d r e g i o n ( G e r m a n y ) . Most of the analyses that t r a n s c e n d case studies, h o w e v e r , g e n e r a l i z e i n t e r m s of o n l y o n e o f t h e s e p a t t e r n s , a n d e v e n the supposedly generic t e r m s a r e not m u c h b r o a d e r . T o reject t h e s e designations is not m e r e p e d a n t r y , for each of t h e m has taken on m e a n i n g s that are the m o r e insidious for being half-hidden. O n e o f t h e m o r e c o m m o n t e r m s , minority group, i s o r d i n a r i l y linked to an alleged c e n s u r a b l e s u b o r d i n a t i o n ; t h u s , entities n o t ass o c i a t e d w i t h a "social p r o b l e m " ( s u c h a s , i n t h e U n i t e d S t a t e s , N e w 1. M a x W e b e r , Economy and Society: An Outline of Interpretive Sociology ( N e w Y o r k , B e d m i n s t e r P r e s s . 1 9 6 8 ) , I . 3 8 5 ff. 2. 176.

A l e x i s d e T o c q u e v i l l e , Democracy i n America ( N e w Y o r k , V i n t a g e ,

1959), I,

180

William

Petersen

Englanders or Lutherans) are not ordinarily included u n d e r the rubric. On the other hand, if the egalitarian n o r m is c o n t r a v e n e d , t h e n t h e r e l a t i v e size o f t h e g r o u p i s d e e m e d t o b e u n i m p o r t a n t ; a s L o u i s W i r t h p u t it, " T h e p e o p l e w h o m w e r e g a r d a s a m i n o r i t y m a y a c t u a l l y , f r o m a n u m e r i c a l s t a n d p o i n t , be a m a j o r i t y . "

3

This

extension is not only semantically inelegant but conceptually impermissible, for W i r t h thus glossed over t h e f u n d a m e n t a l distinction b e t w e e n d e m o c r a t i c a n d n o n d e m o c r a t i c societies. O n l y in t h e f o r m e r does o n e f i n d w h a t Tocqueville called " t h e t y r a n n y o f t h e majority."

4

I n m o s t o f h i s t o r y , a s well a s i n m o s t o f t h e n o n - W e s t -

e r n w o r l d t o d a y , t h e o v e r w h e l m i n g social d i v i s i o n h a s b e e n b e t w e e n a small r u l i n g elite a n d a vast r u l e d m a s s , w i t h t h e l a t t e r n o t significantly d i f f e r e n t i a t e d b y t h e

p o s s e s s i o n o r t h e lack o f civil

rights. Any delineation of a "minority," moreover, can be both amb i g u o u s a n d t h e r e f o r e a r b i t r a r y . I n t h e B r i t i s h Isles t h e I r i s h a r e a w i d e l y d i s p e r s e d m i n o r i t y ; i n all o f I r e l a n d t h e P r o t e s t a n t s a r e a 5

m i n o r i t y ; i n t h e Six C o u n t i e s t h e C a t h o l i c s a r e a m i n o r i t y . S i m p l y by d r a w i n g the a p p r o p r i a t e b o u n d a r y a n d stressing the self-serving portion of Europe's inordinately complex history, any sector can r e p r e s e n t itself a s v i c t i m i z e d . F o r e x a m p l e , s o m e s p o k e s m e n f o r D u t c h Catholicism have until recently d e m a n d e d " e m a n c i p a t i o n , "

6

t h o u g h the Catholic plurality—about 40 p e r c e n t of t h e total p o p u l a t i o n — h a s f o r m o s t o f this c e n t u r y , a t least, c o n s t i t u t e d t h e l a r g e s t a n d most powerful cultural-political sector of the N e t h e r l a n d s . S o m e a n a l y s t s h a v e p r e f e r r e d t h e t e r m interest group, w h i c h s u b stitutes

for t h e

persecution of Wirth's "minority" a competition

a m o n g many minorities.

7

For most of the ethnic patterns in the

U n i t e d S t a t e s o r W e s t e r n E u r o p e , t h i s i s a f a r less d i s t o r t i v e c o n c e p t , b u t i t also f o c u s e s t h e analysis o n p o w e r r e l a t i o n s . A g a i n , i n 3 . L o u i s W i r t h , " T h e P r o b l e m o f M i n o r i t y G r o u p s , " i n R a l p h L i n t o n , e d . , The Science of Man in the World Crisis ( N e w Y o r k , C o l u m b i a U n i v e r s i t y P r e s s , 1 9 4 5 ) .

4. T o c q u e v i l l e , Democracy in America, I, 2 6 9 ff. 5. Cf. R o b e r t E. K e n n e d y , j r . , The Irish: Emigration, (Berkelev, University of California Press,

6: cum, 7.

Marriage,

and Fertility

1973).

W. G o d d i j n , Katholieke minderheid en Protestantse dominant ( A s s e n , V a n G o r 1957). F o r e x a m p l e , N a t h a n G l a z e r a n d D a n i e l P . M o y n i h a n , Beyond the Melting Pot

(Cambridge, Harvard University Press a n d M I T Press, 1963).

Subnations of Western

Europe

181

most contexts New Englanders a n d Lutherans are hardly "interest g r o u p s , " yet they illustrate i m p o r t a n t p a r t s of a c o m p l e t e e t h n i c classification.

Moreover, the term

passes over the

f r e q u e n t dis-

sensus between the ideologues who speak in the n a m e of interest g r o u p s a n d the individuals that they supposedly r e p r e s e n t . T h i s 8

d i s j u n c t i o n , w h i c h O l s o n a r g u e d i n g e n e r a l t e r m s , i s likely t o a p p l y d o u b l y to ethnic relations. In Belgium, for e x a m p l e , t h e m o s t notable victories that the Flemish m o v e m e n t has recently achieved displaced the French language from areas a n d institutions now designated as Flemish. However, many of the Flemings w h o moved to the bilingual area a r o u n d Brussels eventually r e p r e s e n t themselves simply as francophones,

for the l a n g u a g e t h a t they u s e d at first

only in b u s i n e s s a n d public affairs e v e n t u a l l y b e c a m e a s y m b o l of their new position. Many individuals, in short, are caught between a p r i d e in the new status they have been realizing as o n e of a rapidly advancing Flemish subnation and a reluctance to pay the personal c o s t i n v o l v e d i n this r e a r r a n g e m e n t o f social g r o u p s . Ethnic group

would

be

unobjectionable

except

that

it

is

used

precisely to d e s i g n a t e a variety of entities: s o m e w o u l d i n c l u d e a religious d e n o m i n a t i o n u n d e r the rubric, others not; some would identify a race as an e t h n i c g r o u p , while for o t h e r s t h e latter is a s m a l l e r s u b d i v i s i o n o f r a c e s ; a n d s o o n . Community i s e t y m o l o g i c a l l y excellent,

for it suggests

the commonality

that

all

these

terms

c o n n o t e ; but the association with a particular g e o g r a p h i c a l location h a s b e c o m e t o o s t r o n g to c h a l l e n g e s u c c e s s f u l l y . Basic group identity, i n t r o d u c e d b y I s a a c s , i s e s s e n t i a l l v p s y c h o l o g i c a l , a n d o n e n e e d s still a social c o r r e l a t i v e .

9

W h a t is lacking is a t e r m similar in m e a n i n g to t h e E u r o p e a n c o n c e p t of nation b u t a p p l i c a b l e to a s m a l l e r p o p u l a t i o n — t h a t is, a p e o p l e , a folk, h e l d t o g e t h e r b y s o m e o r all o f s u c h m o r e o r less i m m u t a b l e characteristics as c o m m o n d e s c e n t , t e r r i t o r y , history, lang u a g e , r e l i g i o n , way o f life, o r o t h e r a t t r i b u t e s t h a t m e m b e r s o f a g r o u p have from birth o n w a r d . In earlier writings, I

have pro-

8. M a n c u r J. O l s o n , The Logic of Collective Action: Public Goods and the Theory of Groups ( N e w Y o r k , S c h o c k e n , 9.

1968).

H a r o l d R . Isaacs, " G r o u p I d e n t i t y a n d Political C h a n g e : N a t i o n a l i s m R e v i s -

i t e d , " Survey,

no. 69 (1968), 7 6 - 9 8 .

William

182

1 0

p o s e d t h e t e r m subnotion f o r t h e s e s m a l l e r u n i t s .

Petersen

T h e concept is

p u r p o s e f u l l y v a g u e b o t h i n t h e specific c h a r a c t e r i s t i c s t h a t d e f i n e t h e g r o u p a n d , t h u s , i n its p r e c i s e b o u n d a r i e s . S u c h r e c u r r e n t diff i c u l t i e s m u s t b e r e s o l v e d b y a n y o n e u s i n g e t h n i c statistics, b u t a t a c o n c e p t u a l level i t i s p r e f e r a b l e t o d e f i n e t h e g e n u s w i t h o u t c o n c e r n a b o u t how o n e species in it is differentiated from a n o t h e r . Subnotion i s s e t a g a i n s t t h e o t h e r p r i n c i p a l classificatory s y s t e m o f a n y s o c i e t y — n a m e l y , social class. It is t r u e t h a t if a M a r x i a n class consciousness develops or particularly if in the c o u n t r y u n d e r disc u s s i o n o n e c a n s p e a k realistically o f a " c u l t u r e o f p o v e r t y , " t h e t w o s t r u c t u r e s , c u l t u r a l a n d social, m i g h t o v e r l a p . I n g e n e r a l , h o w e v e r , t h e d i f f e r e n t i a t i o n i s e m p i r i c a l l y well b a s e d a n d n o less u s e f u l t h a n Ralph

Linton's apt division of an

individual's statuses

between

"ascribed" a n d "achieved." To measure the m o v e m e n t of a person u p t h e social l a d d e r , o r o f a n a t i o n t o w a r d full e c o n o m i c d e v e l o p m e n t , analysts use c h a n g e s in occupation, education, income, a n d r u r a l - u r b a n - m e t r o p o l i t a n r e s i d e n c e — a l l a s i n d i c e s o f social class. A n d t o m a r k off t h e r e l a t i v e l y u n c h a n g i n g g r o u p s i n t h e s a m e societies, analysts use race, origin, l a n g u a g e , citizenship, religion, region

(in

t h e sense of a cultural

rather

than

a

political

sub-

division), a n d so on—all as indices of a second g e n u s , the subnation. TRENDS IN EUROPEAN NATIONALISM N a t i o n a l i s m , o n e o f t h e s t r o n g e s t i d e a t i o n a l f o r c e s of

modern

times, was a E u r o p e a n i n v e n t i o n . As it s p r e a d t h r o u g h the rest of t h e w o r l d , social a n d political a n a l y s t s r e p e a t e d l y p r o p h e s i e d a n i m m i n e n t d e m i s e o n its c o n t i n e n t o f b i r t h . I n fact, t h e r e h a s b e e n a k i n d o f cyclical rise a n d fall i n n a t i o n a l i s t c o h e s i o n . ticism of

the early

The r o m a n -

n i n e t e e n t h c e n t u r y — t h e historical

n o v e l s of

W a l t e r S c o t t a n d his i m i t a t o r s , t h e a c c u m u l a t i o n o f b a l l a d s a n d M a r c h e n , the quest in l a n g u a g e or folklore of the cultural roots of o n e ' s o w n a n c e s t o r s , t h e g r a d u a l a c c r e t i o n , i n a w o r d , of m o d e r n nationalist s e n t i m e n t — c a n reasonably be i n t e r p r e t e d as a reaction against the rationalistic, sometimes arid cosmopolitanism of the 10.

For e x a m p l e ,

William

H o u s e . 1 9 7 1 ) , c h a p . 10.

P e t e r s e n , Japanese Americans

(New

York,

Random

Subnations of Western

Enlightenment. ingly bellicose

In

183

Europe

spite o f the

subsequent vigorous and

competition a m o n g European

powers,

seem-

they con-

structed an elaborate international system (comprising the balance of power,

the

gold

standard,

and

similar institutions)

efficient

e n o u g h to b r i n g about what Karl Polanyi t e r m e d the h u n d r e d years' p e a c e .

1 1

F r o m 1 8 1 5 t o 1 9 1 4 , a p a r t f r o m t h e " m o r e o r less c o -

lonial e v e n t " o f t h e C r i m e a n W a r , t h e m a j o r E u r o p e a n n a t i o n s fought o n e a n o t h e r d u r i n g only eighteen m o n t h s , as contrasted w i t h sixty t o s e v e n t y y e a r s i n e a c h o f t h e t w o p r e c e d i n g c e n t u r i e s . A c c o r d i n g t o t h e p r o g r a m s o f p r e - 1 9 1 4 Socialists, t h i s r e l a t i v e a b sence of war was to be m a d e absolute: the w o r k e r k n e w no fatherl a n d , a n d class conflict w o u l d also b e c o m e a m e r e m e m o r y o f a n obsolete past. E u r o p e a n nationalism reached a new peak in the subsequent g e n e r a t i o n . Its m o s t f r e n e t i c e x p r e s s i o n s , h o w e v e r , r e f l e c t e d less a folk e b u l l i e n c e t h a n a r e l a t i v e l y w e a k c o h e s i o n o f s t a t e s t h a t h a d achieved formal unity as recently as the late n i n e t e e n t h c e n t u r y . It w a s n o t m e r e c o i n c i d e n c e t h a t Fascist m o v e m e n t s w e r e g e n e r a l l y unsuccessful; that in Spain, for e x a m p l e , t h e Falangist p a r t y h a d to share

its

control

with

the

army,

the

church,

and

the

upper

b o u r g e o i s i e ; b u t t h a t i n Italy a n d G e r m a n y , w h e r e d i v i s i v e r e g i o n a l loyalties p e r s i s t t o this d a y , t h e Fascists w e r e a b l e t o t a k e full p o w e r . After the c a r n a g e of two world wars a n d t h e n a u s e a t i n g excesses particularly

of G e r m a n

nationalism,

the continent again

sought

r o u t e s t o a W e s t E u r o p e a n c o o p e r a t i o n , a m o o d t h a t initially w a s r e i n f o r c e d b y t h e serious t h r e a t o f Soviet a g g r e s s i o n . E u r o p e m a y b e , a s i n t h e title o f C a r l F r i e d r i c h ' s s u r v e y o f r e c e n t i n t e r n a tionalist

sentiment

and

institutions,

"an

emergent

nation?,"

1 2

t h o u g h the p h r a s e (even with t h e q u e s t i o n m a r k ) h a r d l y r e p r e s e n t s t h e W e s t E u r o p e a n c o n s e n s u s . S i n c e t h e b o o k w a s w r i t t e n t h e Six have become the

Nine, and other integrative

t i n u e d even after the Soviet-Western d e t e n t e .

t r e n d s have conBut the economic

crisis, d e v a s t a t i n g i n Italy a n d s e r i o u s e v e r y w h e r e , h a m p e r e d t h e earlier sometimes easygoing c o o p e r a t i o n . In 1974 t h e British L a b o u r 1 1. 12. Row,

K a i l P o l a n y i , The Great Transformation ( N e w Y o r k , R i n e h a r l , 1 9 4 4 ) . Carl 1969).

J.

F r i e d r i c h , Europe:

An

Emergent

Nation?

(New

York,

Harper

&

184

William

Petersen

party w o n an election based in p a r t on a p r o m i s e to s u b m i t the terms of Britain's m e m b e r s h i p in the C o m m o n M a r k e t to a refere n d u m , a n d t h e possibility o f e x t e n d e d r e n e g o t i a t i o n o r e v e n o f withdrawal reverberated through the international bureaucracy. I n t h e r e c u r r e n t shifts b e t w e e n a g r e a t e r a n d a l e s s e r u n i t y a m o n g E u r o p e a n nations, those t r y i n g to set a n e w style c o m m o n l y j u m p e d over the immediately prior generation to earlier models. T h e r e i s n o n e c e s s a r y political i m p l i c a t i o n , h o w e v e r , i n t h i s t e m poral ordering: the humanists are not d u b b e d "reactionary" because they sought new stimulation from Greek a n d Latin writers. N o r i s i t g e n e r a l l y a p p r o p r i a t e t o classify n a t i o n a l i s t m o v e m e n t s p e r se as e i t h e r "reactionary" or " p r o g r e s s i v e . " In their usual stereotype, Scottish a n d Welsh nationalisms, for instance, c o m p r i s e a quaint hodgepodge of amateurish antiquarianism and ultraconservative politics, which hostile c o m m e n t a t o r s h a v e e x e m p l i f i e d with h i l a r i o u s , i f h i g h l y selective, t i d b i t s . I n fact, t h e s e n a t i o n a l i s t s h a v e n o t o n l y c o m p e t e d w i t h Socialists b u t h a v e c o m p e t e d o n t h e basis of similar a p p e a l s : d e m a n d s for a b e t t e r e c o n o m i c r e t u r n to relatively i m p o v e r i s h e d a r e a s a n d f o r a m o r e s a t i s f a c t o r y c o m m u n a l life. " T h e S c o t t i s h N a t i o n a l P a r t y h a s f l o u r i s h e d m o s t i n t h e middle-class suburbia, a n d notably in the New T o w n s , " partly bec a u s e t h e n e w m i d d l e classes a r e " r e a d y t o a d o p t n e w i d e a s a n d n e w values" b u t also p a r t l y , o n e w o u l d s u p p o s e , b e c a u s e t h e s e a g g l o m e r a t i o n s o f freshly c o n s t r u c t e d h o u s e s n e e d a social b o n d . T h e restlessness, the anomie, that frequently seem to be fostered by the c o m p l e x i t i e s o f m o d e r n society c a n s o m e t i m e s b e c o u n t e r e d b y a r e n e w e d relation to a s i m p l e r past, e v e n a partly mythical past. T h i s q u e s t for c o m m u n i t y , a s R o b e r t N i s b e t c a l l e d i t , h a s n o n e c e s s a r y political c o l o r a t i o n , a n d i n d e e d d e f i e s a c l a s s i f i c a t i o n b a s e d o n " r i g h t " a n d "left" p o i n t e r s f r o m a n o t h e r c e n t u r y . I n t h e Swiss J u r a , a l e a d e r of t h e n a t i o n a l i s t m o v e m e n t w a s c o m p l e t e l y c o m f o r t a b l e w i t h his m e l a n g e o f s e v e n t e e n t h - c e n t u r y local h e r o e s a n d 1 3

1 4

13. H. J.

H a n h a m , Scottish Nationalism

(Cambridge,

H a r v a r d University Press,

1969), p. 24.

1 4 . R o b e r t A. N i s b e t , The Quest for Community: A Study in the Ethics of Order and Freedom ( N e w Y o r k , O x f o r d

University Press,

1953).

Subnations of Western

Europe

185

L e n i n , a n d with his p r o g r a m of a c h i e v i n g a new a r c a d i a t h r o u g h u l t r a m o d e r n terrorist means. Correlative with the d e v e l o p i n g E u r o p e a n federalism that Friedrich analyzed

1 5

there has been a beginning disintegration of the

separate nations. In some respects, it would seem, the countries o f E u r o p e a r e b o t h too small a n d too l a r g e — t o o small t o afford t h e m a x i m u m efficiency i n e c o n o m i c p r o d u c t i o n a n d d i s t r i b u t i o n , b u t in m a n y instances too large to give their h e t e r o g e n e o u s p o p u l a t i o n s a full a n d " n a t u r a l " s e n s e o f i d e n t i t y . T h e c o n t i n e n t ' s t r a d i tional e l e m e n t s a r e being attacked, as it were, at both e n d s , by a partial transfer of nations' prerogatives to both international a n d subnational units. "Ethnicism is becoming o n e of the incontestable e x p r e s s i o n s o f f e d e r a l i s m , " for " o n l y a f e d e r a l society p r o v i d e s t h e c o n d i t i o n s i n w h i c h a c o m p l e t e f r e e d o m c a n b l o s s o m for all e t h n i c g r o u p s , large o r small, c o m p a c t o r d i s p e r s e d . "

1 6

W h e t h e r by genetic stock, language-dialect, or any o t h e r c h a r a c t e r i s t i c t h a t s u b n a t i o n s u s e t o m a r k t h e i r s e p a r a t i o n f r o m all o t h e r s , t h e potential n u m b e r of self-conscious e t h n i c units in E u r o p e is staggering.

1 7

M o r e o v e r , since nationalist aspirations a r e b o u n d e d

b y n o i n h e r e n t limit, a y i e l d i n g t o t h e f i r s t d e m a n d s i s a s likely t o e x c i t e t h e a p p e t i t e a s t o s a t i a t e it. T h e farcical t r e n d i n t h e U n i t e d Nations, which has been overrun by delegates from postcolonial states

too small

to exert a

genuine

force

in

any other arena,

s u g g e s t s t h e possibilities, h a p p i l v n o t vet r e a l i z e d , i n E u r o p e . H o w e v e r , t h e successes o f two m i n u t e g r o u p s , the R o m a n s h a n d t h e Frisians, may be indicative. R o m a n s h (also c a l l e d R h a e t o - R o m a n c e o r L a d i n ) i s s p o k e n b y t i n y p o p u l a t i o n s , m o s t l y i n t h e Swiss p r o v i n c e o f O r i s o n s b u t also i n p o r t i o n s of the South T y r o l a n d of Friuli, t h e n e i g h b o r i n g area of I t a l y . In O r i s o n s it is d i v i d e d i n t o f o u r official a n d six s c h o o l d i a lects, a n d t h e t o t a l n u m b e r s p e a k i n g all o f t h e s e c o n s t i t u t e s less 1 5 . F r i e d r i c h , Europe: An Emergent Xatwn? 1 6 . G u y H e r a u d , L'Europe des ethnies ( P a r i s . P r e s s e s d ' E u r o p e . 1 9 6 3 ) , p r e f a c e b y A l e x a n d r e M a r c , p . 19.

1 7 . Cf. J o h n

G e i p e l , The Europeans:

gins and Interrelations ( N e w Y o r k ,

The People—Today and Yesterday—Their Ori-

Pegasus,

1970).

William

186

Petersen

1 K

t h a n 1 p e r c e n t of t h e Swiss p o p u l a t i o n . Even so, in 1938 Rom a n s h was r e c o g n i z e d as the f o u r t h national l a n g u a g e of t h e C o n federation—according to o n e interpretation, as an expression of t h e Swiss n a t i o n a l i s m r e s u r g e n t a f t e r t h e First W o r l d W a r . This g e s t u r e did n o t halt the decline of the l a n g u a g e , for m i g r a n t s cont i n u e d t o leave t h e i s o l a t e d valleys a n d t h e y ( o r , a t l a t e s t , t h e i r children) forgot the language a n d spoke G e r m a n or F r e n c h . T h e m a i n c o n s e q u e n c e o f t h e policy f o r t h e m , o r f o r t h e R o m a n s h m i nority as a whole, has b e e n to a g g r a v a t e their cultural isolation a n d t o m a k e i t c o n s i d e r a b l y m o r e difficult f o r p e a s a n t s ' s o n s t o a d v a n c e t h e m s e l v e s . T h e n a t i o n a l i s t s p o k e s m e n a r e i n c l i n e d t o view s u c h u p w a r d mobility as disastrous; for t h e m , t h e survival of t h e g r o u p is a c a u s e to w h i c h t h e w e l f a r e of t h e i n d i v i d u a l s in it m u s t be sacrificed. I S

A n o t h e r e x a m p l e i s t h e D u t c h policy t o w a r d F r i s i a n , a n a n c i e n t Germanic language surviving a m o n g some inhabitants of the Dutch p r o v i n c e o f Friesland, a n a r e a o f G e r m a n y close t o t h e D u t c h b o r d e r , a n d t h e G e r m a n o r D a n i s h i s l a n d s off S c h l e s w i g - H o l s t e i n . A c c o r d i n g to a recent survey, most Dutch Frisians can speak the l a n g u a g e b u t m o r e t h a n 3 0 p e r c e n t c a n n o t r e a d i t a n d 6 9 p e r c e n t c a n n o t w r i t e it; m o r e o v e r , the differences by age a n d rural-urban residence suggest a continuing decline. " W h a t e v e r e n c o u r a g e m e n t T h e H a g u e has g i v e n t h e s e l f - c o n s c i o u s n a t i o n a l i s t s w h o w o u l d like t o r e v e r s e t h e t r e n d a n d establish Frisian as t h e first l a n g u a g e of Friesland has s t i m u l a t e d f u r t h e r d e m a n d s . A s i n G r i s o n s w i t h R o m a n s h , local s c h o o l a d m i n i s t r a t o r s c o u l d b e g i n classes i n F r i s i a n a n d shift t o Dutch from the fourth year o n w a r d ; and the m o v e m e n t ' s principal d e m a n d — t h a t , a s a m e a n s o f t e a c h i n g all c h i l d r e n " t h e i r " l a n g u a g e , this p a t t e r n be m a d e c o m p u l s o r y t h r o u g h o u t the p r o v i n c e — h a s n o w b e c o m e law. A n y p e r i o d i c a l t h a t m a n a g e s t o g e t a t least 2 5 0 s u b s c r i b e r s c a n t h e r e a f t e r shift s o m e o f its costs t o t h e c e n t r a l 2

1 8 . E r i c h G r u n e r a n d B e a t J u n k e r . Burger, Slant unit Palitik in tier Schweiz ( B a s e l , Lehrmittelverlag, 1968). pp. 9 - 1 0 . 19.

F r a n c k J o l t e r a n d . "La p o l i t i q u e c u l t u r e l l e . " i n E r i c h G r u n e r , e d . . Die Schweiz

sett 1945: Beilrtige zur Zeitgeschichte ( B e r n , F r a n c k e , 1 9 7 1 ) , p p . 2 8 1 - 2 8 2 . 2 0 . L. 1 ' i e t e r s e n . De Friesen en hun taal ( D r a c h t e n , L a v e r m e n N . V . , 1 9 6 9 ) .

Subnations of Western

Europe

187

g o v e r n m e n t , w h i c h n o w s u b s i d i z e s a t least f o u r F r i s i a n p u b l i c a t i o n s a n d m a y soon be p a y i n g for several m o r e . T h e r e is a d e v e l o p i n g s e n t i m e n t t h a t t h e p r o v i n c e m u s t h a v e its o w n t a x - s u p p o r t e d university, t o s u p p l e m e n t t h e regional m u s e u m a n d archival society. Obviously these concessions to what had been seen as o n e regional dialect h a v e r e v e r b e r a t e d to o t h e r p o r t i o n s of this small c o u n t r y . G r o n i n g e n , the province adjacent to Friesland, is b u i l d i n g a regional l i t e r a t u r e , a n d in e a s t e r n Overijsel a n d G e l d e r l a n d a small g r o u p is p r o p o u n d i n g a regional ideology. I n t h e s e t w o cases t h e c e n t r a l g o v e r n m e n t s o f S w i t z e r l a n d a n d t h e N e t h e r l a n d s seem to have b e e n g u i d e d , within the spirit of t h e i r d e m o c r a t i c i n s t i t u t i o n s , m a i n l y b y w h a t o n e c o u l d call t h e p r e p o s t e r o u s d e m a n d s o f s e l f - a p p o i n t e d s p o k e s m e n for m i n u s c u l e g r o u p s . A s a s o m e w h a t b e t t e r g u i d e t o s u c h policy, o n e m i g h t s u g g e s t a n o p t i m u m size o f a s u b n a t i o n , w h i c h s h o u l d b e s m a l l e n o u g h t o f o s t e r a g e n u i n e social i d e n t i t y a n d y e t l a r g e e n o u g h t o f u r n i s h its m e m b e r s w i t h m o r e t h a n a p a r o c h i a l c u l t u r e . I t i s t r u e that the term, as in the parallel concepts of the o p t i m u m populat i o n o f a c o u n t r y o r a city, c a n n o t b e d e f i n e d p r e c i s e l y , yet o n e c a n w i t h s o m e a s s u r a n c e d e n o t e e i t h e r e n d o f a size c o n t i n u u m t o b e beyond the o p t i m u m range. T h e R o m a n s h a n d t h e Frisians, it is also t r u e , r e p r e s e n t e d in themselves no conceivable t h r e a t to the nations that gave t h e m s p e c i a l r i g h t s , for t h e y a r e n o t o n l y s m a l l b u t also w i t h o u t a n y l i n k to foreign powers. Many of the ethnic minorities in Europe, on the c o n t r a r y , speak the language of a n e i g h b o r i n g state a n d thus, irrespective of other characteristics, are often r e g a r d e d as potential fifth-columnists. Hitler's a p p e a l s for s u p p o r t f r o m e t h n i c " b r o t h e r s " i n E a s t e r n E u r o p e g o t little r e s p o n s e , f o r e x a m p l e , f r o m t h e S u d e t e n G e r m a n s , m o s t o f w h o m w e r e Social D e m o c r a t s , b u t t h e C z e c h o s l o v a k s t a t e s h a r p e n e d its c o n t r o l o f t h e a r e a a n d i n all p r o b a b i l i t y facilitated t h e N a z i i n f i l t r a t i o n o f t h e G e r m a n - s p e a k i n g m i n o r i t y . T h e s m a l l e r e n c l a v e s o f e t h n i c Slavs i n W e s t e r n E u r o p e w e r e t h e object of a s i m i l a r a t t e n t i o n d u r i n g S t a l i n ' s Drang nach Westen. U n t i l d i p l o m a t s a n d j o u r n a l i s t s h a d t h e i r c u r i o s i t y p i q u e d b y t h e m a n y Soviet r e f e r e n c e s t o " t h e W e n d s , " c e r t a i n l y few o f

188

William

Petersen

t h e m h a d e v e r h e a r d o f this r e m n a n t , s e v e r a l t e n s of t h o u s a n d s living along the u p p e r reaches of the S p r e e who speak a variety of Slavic d i a l e c t s collectively k n o w n a s " S o r b i a n . " More generally, many of Europe's problem areas—Alsace a n d B r i t t a n y , U p p e r Silesia a n d S c h l e s w i g , a n d s o o n — a r e a t t h e f r o n tier of c o n t i g u o u s states. T h e m y t h of a c o r e national t y p e has b e e n r e i n f o r c e d b y t h e fact t h a t t h e m o s t o b v i o u s d e v i a t i o n s a r e l o c a t e d at the periphery. Many E u r o p e a n nations have no natural frontiers, a n d t h o s e t h a t exist a r e often i n h a b i t e d by t h e s a m e p e o p l e s o n b o t h sides. A m o n g m o u n t a i n r a n g e s , for e x a m p l e , t h e P y r e n e e s divide

Basques

from

Basques a n d

Catalans

from

Catalans, and

even so obvious a barrier as B r e n n e r has G e r m a n Tyrolese to the s o u t h a s well a s t o t h e n o r t h .

2 1

T h e e x p e r i m e n t after the First

World W a r of liquidating alien enclaves t h r o u g h mass p o p u l a t i o n transfers

usually,

however

unexpectedly,

heightened

nationalist

f e e l i n g s : t h e d i s p o s s e s s e d m i n o r i t i e s , typically g i v e n g o o d r e a s o n t o h a t e t h e i r p r i o r host c o u n t r y , t r a n s f e r r e d this s e n t i m e n t with t h e i r few r e m a i n i n g p o s s e s s i o n s . I n d e e d , a n y policy b a s e d o n a willful s i m p l i f i c a t i o n o f W e s t e r n E u r o p e ' s f a s c i n a t i n g c o m p l e x i t y i s likely to b o o m e r a n g , for with the revival of nationalist s e n t i m e n t a n y n e w affronts stimulate it and thus exacerbate old disputes. T h e most recent changes in West Europe's ethnic structure are t o o v a r i e d t o s u m m a r i z e easilv, p a r t i c u l a r l y s i n c e a n y n e w p a t t e r n c a n b e satisfactorily a n a l y z e d o n l y a g a i n s t t h e specific h i s t o r i c a l b a c k g r o u n d . T h e r e s t o f this p a p e r , t h u s , c o m p r i s e s t w o s e c t i o n s o n t h e m o r e significant t r e n d s i n S w i t z e r l a n d a n d B e l g i u m . T h e p r e s e n t i n s t i t u t i o n s o f t h e s e c o u n t r i e s reflect t h e a c c r e t i o n o f t h e i r common

history:

the confrontation of R o m a n legions and Ger-

manic peoples, of the Catholic a n d Protestant churches, of u r b a n a n d r u r a l w a y s o f life. B y a w o r l d s t a n d a r d , b o t h a r e s m a l l ; t h e i r p o p u l a t i o n s i n m i d - 1 9 7 3 w e r e e s t i m a t e d , r e s p e c t i v e l y , t o b e 6.5 a n d 9.8 million. B o t h a r e relatively p r o s p e r o u s ; t h e i r respective gross national p r o d u c t s p e r capita in 1970, c o n v e r t e d to U.S. dollars, w e r e 3,320 and

2,720.

Yet u n d e r l y i n g t h e s e c o m m o n e l e m e n t s i s a

r e m a r k a b l e diversity not only b e t w e e n the two nations themselves 21.

Cf.

Alfred

C o b b a n , The Nation

York, Crowell, 1969), p. 296.

State and National Self-Determination

(New

Subnations of Western

189

Europe

b u t a m o n g t h e s u b n a t i o n s within t h e m , a n d this h e t e r o g e n e i t y is in s o m e w a y s b e c o m i n g still g r e a t e r . SWITZERLAND T h e n u c l e u s o f t h e Swiss f e d e r a t i o n was a u n i o n t h a t t h e " f o r e s t c a n t o n s " — U r i , Schwyz, a n d U n t e r w a l d e n — f o r m e d in 1291 to d e fend themselves against the H a p s b u r g s . O v e r the following cent u r i e s t h e s e t h r e e w e r e j o i n e d b y s u r r o u n d i n g c a n t o n s , all o f w h i c h w e r e c a r e f u l t o r e t a i n t h e i r local a u t h o r i t y . F o r a b r i e f m o m e n t a fully c e n t r a l i z e d g o v e r n m e n t was i m p o s e d i n N a p o l e o n ' s H e l v e t i c R e p u b l i c , w h i c h d i d n o t last, h o w e v e r , e v e n a s l o n g a s t h e e m p e r o r himself. I n the p o s t - N a p o l e o n i c settlement, every o n e o f t h e cantons sent a separate delegate to the Congress of Vienna, a n d the Allied representatives struggled to u n t a n g l e their c o m p e t i n g c l a i m s . T h e s e t t l e m e n t t h a t w a s finally r e a c h e d ( t h o u g h still o p p o s e d b y f o u r o f t h e t h e n n i n e t e e n c a n t o n s ) e s t a b l i s h e d less a n a tion t h a n an a r e n a for ideological dispute. W h e n several u r b a n cantons sought to extend the central government's power so as to i n c l u d e t h e rights to tax c h u r c h p r o p e r t y , establish secular schools, and

guarantee

freedom

of worship,

seven

Catholic cantons

re-

s p o n d e d by s e t t i n g up a s o - c a l l e d Sonderbund ("special u n i o n " ) , a h a l f - s e c e s s i o n t h a t i n t h e i r view r e n e w e d t h e i r m e d i e v a l f e d e r a t i o n a n d t h e p r o t e c t i o n of their ancient liberties. In 1847 this c o n f r o n t a tion b e t w e e n Catholics a n d Liberals, between t h e c o u n t r y ' s rural n u c l e u s a n d u r b a n r a d i c a l s , c l i m a x e d i n a t h r e e - w e e k civil w a r i n w h i c h t h e Catholic forces w e r e decisivelv d e f e a t e d . F o r t u n a t e l y it was not t h e radicals but m o d e r a t e Liberals w h o f a s h i o n e d a new constitution, which with a m e n d m e n t s r e m a i n s the c o u n t r y ' s basic law. A c c o r d i n g t o v a r i o u s a c c o u n t s , t h e m o d e l u s e d i n a c c o m m o d a t i n g n a t i o n a l u n i t y t o d i s p a r a t e local r i g h t s a n d t r a d i tions was the U.S. C o n s t i t u t i o n ,

2 2

but the result a p p r o x i m a t e s r a t h e r

t h e e a r l i e r a n d far l o o s e r A r t i c l e s o f C o n f e d e r a t i o n .

Indeed, the

1 8 4 8 c o n s t i t u t i o n e s t a b l i s h e d o n e Swiss c i t i z e n s h i p i n a n a t i o n w i t h o n e f o r e i g n policy, o n e n a t i o n a l e c o n o m y w i t h a s i n g l e c u s t o m s u n i o n , a n d t h e r i g h t o f a n y Swiss t o settle i n a n y c a n t o n . A p a r t 22.

For example, Hans

K o h n , Nationalism and Liberty: The Swiss ExampU

d o n , Allen and Unwin, 1956), p. 111.

(Lon-

William

190

Petersen

f r o m a n u m b e r o f a n t i - C a t h o l i c p r o v i s i o n s (in p a r t i c u l a r , t h e p r o h i bition of n e w monasteries a n d the b a n n i n g of the Jesuit o r d e r ) , t h e constitution relegated to the cantons the governance of c h u r c h state relations. It recognized the three m a i n l a n g u a g e s — G e r m a n , F r e n c h , a n d I t a l i a n — a s official t h r o u g h o u t t h e c o u n t r y a n d t h e t h r e e l a n g u a g e g r o u p s as equal; but the schools, the i n s t r u m e n t s of cultural continuity, stayed u n d e r t h e c a n t o n s ' jurisdiction. T h e g e n e r a l allocation of p o w e r is s u g g e s t e d by Article I of t h e constitut i o n : " T h e p e o p l e s o f t h e t w e n t y - t w o s o v e r e i g n c a n t o n s o f Switz e r l a n d f o r m t o g e t h e r t h e Swiss C o n f e d e r a t i o n . " M o s t o f t h e prerogatives of statehood, in short, were reserved to the cantons. "If it is t h e function of a national state to g u a r a n t e e t h e political m e a n s b y w h i c h a p e o p l e u n i t e d t h r o u g h its c o m m o n c h a r a c t e r istics a n d e n v i r o n m e n t c a n f u r t h e r its p a r t i c u l a r n e e d s a n d i n t e r e s t s , this c a n b e c a r r i e d o u t n o w h e r e b e t t e r t h a n i n t h e Swiss c a n tons." 2 3

T h e Swiss C o n f e d e r a t i o n r e e s t a b l i s h e d i n t h e 1 8 4 8 c o n s t i t u t i o n was r e m a r k a b l y successful. As we h a v e s e e n , scholars as p e r c e p t i v e as Tocqueville and Max Weber wondered whether so heterogen e o u s a p o p u l a t i o n could ever constitute a viable nation. Yet it d e v e l o p e d , t h o u g h w i t h o u t coal, i r o n , oil, o r c o l o n i e s , a t r u l y s t a r t l i n g p r o s p e r i t y ; a n d , f r o m its u n m i t i g a t e d d i v e r s i t y t h e r e a r o s e a n a t i o n a l c u l t u r e o f t h e h i g h e s t q u a l i t y . F r o m 1901 t o 1 9 6 0 , t h e n u m b e r o f N o b e l l a u r e a t e s p e r m i l l i o n i n h a b i t a n t s was 2 . 6 2 f o r S w i t z e r l a n d , w h i c h r a n k e d f i r s t i n t h e w o r l d a n d a l m o s t twice a s high as D e n m a r k , which r a n k e d s e c o n d . A c h i e v e m e n t s of this o r d e r f o s t e r a n o v e r a l l n a t i o n a l p r i d e t h a t i n h i b i t s i n t e r n a l divis i o n s . Y e t S w i t z e r l a n d c o n s t i t u t e s a n a n o m a l y , a m i r a c l e o f int e r g r o u p h a r m o n y , which d e p e n d s on a complex and sometimes p r e c a r i o u s i n s t i t u t i o n a l b a l a n c e o f still h o s t i l e f o r c e s . T h e w i s d o m o f t h e n i n e t e e n t h - c e n t u r v s t a t e s m e n was r e i n f o r c e d b y a n u m b e r o f 2 4

2 3 . H e r m a n n W e i l e n m a n n , Pax Helvetica, oder die Dcmokratie der kleinen Gruppen (Zurich, E u g e n Rentsch, 1951). p. 288. 24.

Denis

de

Rougemont.

"Swiss

Federalism,"

in

Theo

Chopard,

e d . , Swit-

zerland, Present and Future: A Small Country Re-examines Itself ( B e r n , N e w H e l v e t i c Society,

1963).

Subnations of Western

fortuitous circumstances, t i o n h o o d possible.

which

Europe

in

sum

191

have

made

Swiss

na-

T h e three language communities, each speaking a t o n g u e comm o n with a c o n t i g u o u s foreign c o u n t r y , inevitably s h a r e these alien c u l t u r e s i n s o m e r e s p e c t s ; y e t t h e f i s s i p a r o u s e f f e c t h a s b e e n less than o n e might have anticipated. According to H a n s Kohn, in the m i d d l e o f t h e n i n e t e e n t h c e n t u r y " m a n y G e r m a n - s p e a k i n g Swiss felt a d u a l loyalty: t h e Swiss c a n t o n was t h e i r p o l i t i c a l f a t h e r l a n d , t h e still i l l - d e f i n e d G e r m a n y t h e i r c u l t u r a l h o m e l a n d . " S t r a n g e l y , this a d h e r e n c e t o t h e l a r g e r entity was r e i n f o r c e d b y G e r m a n r a d i cals w h o f o u n d r e f u g e i n S w i t z e r l a n d a f t e r h a v i n g f o u g h t , a n d lost, a g a i n s t G e r m a n a u t o c r a c y . A s late a s 1 9 0 2 a p r o f e s s o r a t B e r n U n i versity, o n e F e r d i n a n d Vetter, m a r k e d t h e o p e n i n g of a G e r m a n i c m u s e u m i n N u r e m b e r g with t h e assertion, " W e a r e h a p p y t o celeb r a t e this G e r m a n institution a m o n g G e r m a n s , b e c a u s e w e G e r m a n Swiss a r e s p i r i t u a l l y G e r m a n s a n d h o p e t o r e m a i n s o . " T h i s v i e w , h o w e v e r representative it m a y have b e e n , was dissipated by the First W o r l d W a r ; a n d e v e n b e f o r e t h a t t h e c a n t o n s ' f i e r c e i n d e p e n d e n c e , w h i c h i m p e d e d t h e i r a s s i m i l a t i o n t o Swiss u n i t y , also blocked any even quasi-political a d h e r e n c e t o G e r m a n y . T h e p o e t a n d novelist Gottfried Keller, of far greater i m p o r t a n c e t h a n any p r o f e s s o r , offered a c o n c e p t of Switzerland significantly similar to the A m e r i c a n idea of nationality: "a c o m m u n i t y not d e t e r m i n e d p r i m a r i l y by biological factors b u t r e p r e s e n t i n g t h e idea of p e r sonal liberty." With t h e rise o f Prussia a n d particularly after t h e Nazis took p o w e r , t h e c u l t u r a l b o n d with G e r m a n y was n e g a t e d by g r o w i n g political a l i e n a t i o n . T h e r e was e v e n a m o v e m e n t i n t h e 1930s to d r o p the G e r m a n l a n g u a g e a n d substitute "Allemanic"; it c a m e t o n o t h i n g p r i n c i p a l l y b e c a u s e t h e v a r i o u s d i a l e c t s o f Swiss G e r m a n a r e both too different a n d too precious to their users to be easily c o n s o l i d a t e d . 2 5

H o w a n d w h y d o t h e f r a n c o p h o n e Swiss d i f f e r e n t i a t e t h e m s e l v e s f r o m t h e F r e n c h , R o u g e m o n t a s k e d , a n d his r e p l y i s a n a p t s t a t e m e n t of o n e side of a similarly ambivalent relation. 25.

K o h n , Nationalism and Liberty, p p . 8 9 , 9 4 . 1 2 7 .

192

William

Petersen

Culture in our cantons is not linked with the state and has never been used as a means of power by the state. Culture in our country exists within small natural or historical compartments, which have never been unified or standardized by a central power . . . Protestantism is predominant in French-speaking Switzerland . . . We are not only neighbors of the Germanic world, but we are in an osmotic relationship with it. 26

On the other hand, there has been a mood in France to bolster its hegemony with cultural dependencies, to take the place of lost colonies and waning political influence. President de Gaulle himself ended a speech in Montreal with the slogan "Vive le Quebec libre!" and there are movements to "liberate" French-speaking minorities from non-French "oppressors" in Canada, Belgium, Italy, and Switzerland—though in the last case not in the principal francophone area. Apart from the factors listed by Rougemont, a French-speaking population is more likely to accept cultural (or even political) guidance from Paris if it lacks self-confidence. One index of the relation of language to provincial cultures is the work of professional linguists, who it so happens differ fundamentally between French Switzerland and Walloon Belgium. In both areas, as one would expect, the study of local dialects has been a dominant concern, but the significance of this topic has not been the same. Ferdinand de Saussure, a native of Geneva and professor at its university, founded a school in linguistics important enough to transcend national boundaries but strongest among his own students. In Belgium, on the contrary, one of the main interests has been in "preserving 'le bon usage'; as peripheral users of French they are more than conscious of regional differences in their language, and locked as they are in an ethno-linguistic struggle with their Flemish co-citizens, they fear to lose grip of linguistic standards." The contrast is not limited to philologists. Rougemont reflects a typical stance when he writes of the French and the Swiss francophones simply that "we speak more or less the same language." In Belgium 2 7

26.

R o u g e m o n t , "Swiss F e d e r a l i s m . "

27.

Rebecca Posncr. "Thirty Years On." s u p p l e m e n t to lorgu Jordan and John

O r r , An Introduction to Romance Linguistics: Its Schools and Scholars ( B e r k e l e y , U n i versity of California Press, 1 9 7 0 ) , p. 4 1 9 .

Subnations of Western

a book

Europe

t i t l e d Chasse mix Belgicismes,

193

published

by an

Bon Langage," became something of a bestseller.

28

" O f f i c e du

T h e Belgicisms

t o b e " h u n t e d d o w n " include especially t h e r e g i o n a l accent a n d also those elements, particularly if they derived from the Dutch, of voc a b u l a r y a n d idiom that distinguish the W a l l o o n dialects from cultured Parisian. T h e g e n e r a l i z a t i o n s a b o u t F r e n c h - s p e a k i n g Swiss d o n o t p e r t a i n , h o w e v e r , to t h e inhabitants of the J u r a , w h o s e d e m a n d for a canton of their own has become the country's most explosive ethnic i s s u e . T h e r a t i o n a l e f o r t h e d e m a n d , a t least i n t h e p u b l i c a t i o n s o f t h e militants, goes back to the T h i r t y Years' W a r . T h e m a i n separatist o r g a n i z a t i o n sent a m e m o r a n d u m to each of the signatory states at the C o n g r e s s of Vienna, which h a d g r a n t e d jurisdiction of t h e a r e a t o B e r n c a n t o n r a t h e r t h a n its e a r l i e r r u l e r , a n a u t o c r a t i c P r i n c e - B i s h o p o f t h e P r i n c i p a l i t y o f B a s e l . T h e p r e s e n t cycle o f conflict b e g a n w i t h s o m e r o u t i n e p o l i t i c k i n g i n

1947; three years

later an o v e r w h e l m i n g majority of the canton's electorate revised its c o n s t i t u t i o n t o specify F r e n c h a s t h e sole official l a n g u a g e o f t h e six f r a n c o p h o n e d i s t r i c t s a n d t o g u a r a n t e e t h e J u r a t w o s e a t s o n the canton's executive council. It was even d e c r e e d that the new J u r a s i a n flag b e f l o w n n e x t t o t h e B e r n e s e o n e . N e i t h e r t h e s e c o n c e s s i o n s n o r s u b s e q u e n t o n e s satisfied t h e r e b e l s . T h e i s s u e , a s alw a y s , is less s i m p l e t h a n a o n e - t o - o n e c o n f r o n t a t i o n .

In the Bernese constitution the Jura is viewed as a single entity under the designation "the Jurasian people," but in fact the Jura is divided into three parts: North Jura, which according to the 1959 vote is inclined to be separatist; South Jura, inclined to be antiseparatist; and the district of Laufon, whose population speaks German. One must take this division into account if one wants to try to propose a durable solution to the Jurasian problem. " 2

T h e situation exemplifies a general proposition: w h e n s u b n a t i o n s differ by not o n e but several o v e r l a p p i n g characteristics, t h e c o m b i n e d divisive force is of c o u r s e g r e a t e r t h a n f r o m any o n e of 28. J o s e p h Plisnier.

H a n s e e t a l . . Chaise aux Belgicismes

(Brussels,

Fondation

Charles

1971).

2 9 . M a x P e t i t p i e r r e el al.. Premier rapport
13 Mai 1969 ( B e r n ,

1969).

William

194

Petersen

t h e m . Most of the population of Bern canton are G e r m a n - s p e a k i n g Protestants, and Jurasians who either speak G e r m a n or a d h e r e to Protestantism have generally been content with the status q u o . It is a m o n g the Catholic francophones that the separatist m o v e m e n t has d e v e l o p e d . " Its p r i n c i p a l o r g a n i z a t i o n , t h e R a s s e m b l e m e n t J u r a s s i e n , d e r i v e d its n a m e f r o m d e G a u l l e ' s " R a s s e m b l e m e n t d u P e u p l e F r a n c a i s , " a n d its j o u r n a l , Le Jura Libre, reflects t h e s a m e i d e o l o g y . T w o terrorists from more extremist organizations escaped abroad a n d w e r e g r a n t e d political a s v l u m b y F r a n c e a n d S p a i n , r e s p e c tively. O n t h e o t h e r s i d e t h e r e a r e s e v e r a l o v e r l a p p i n g a n t i s e p a r a t ist o r g a n i z a t i o n s ( U n i o n d e s P a t r i o t e s J u r a s s i e n s , G r o u p e m e n t I n terpartis p o u r l'Unite Cantonale, J e u n e s s e s Civiques d u J u r a Bernois, G r o u p e m e n t des J e u n e s Ajoulots), which t o g e t h e r r e p r e sent a substantial opposition to the p r o p o s e d new canton a n d especially t o t h e a r s o n a n d b o m b i n g s u s e d t o a c h i e v e it. T h e R a s s e m b l e m e n t J u r a s s i e n d o e s n o t s u p p o r t t e r r o r i s m , b u t its n o t i o n o f d e m o c r a c y i s also c u t t o its o w n p r o g r a m ; b y its view, all G e r m a n s p e a k i n g i n h a b i t a n t s o f t h e J u r a s h o u l d b e d e n i e d a v o t e , a n d all French-speaking "Jurasians," including even those who have emig r a t e d p e r m a n e n t l y , s h o u l d b e g i v e n it. T h e v o t e (by m o r e t h a n six to one) in favor of a c o m p r o m i s e that t h e federal g o v e r n m e n t a n d B e r n c a n t o n had jointly p r o p o s e d , thus, was rejected by the separatists because these "jurassiens de l'exterieur" h a d n o t b e e n polled. I n t h e s u m m e r o f 1 9 7 4 a n o t h e r v o t e was t a k e n , o v e r w h e l m i n g l y i n favor of the formation of a twenty-third c a n t o n in the f r a n c o p h o n e Catholic a r e a but o p p o s e d to it or a m b i v a l e n t in the o t h e r s . At t h e t i m e o f w r i t i n g , t h e issue i s m o r e o r less r e s o l v e d , with t h e s e p a r a t i o n o f t h e J u r a a s s u r e d b u t with its p r e c i s e b o u n d a r i e s yet t o b e determined. 3

T h e s u p p o r t o f the J u r a ' s status q u o a m o n g F r e n c h - s p e a k i n g P r o t e s t a n t s i l l u s t r a t e s a s t r u c t u r a l f e a t u r e o f m u c h b r o a d e r significance. During the nineteenth century, as nationality gradually replaced religion as the d o m i n a n t ideology of Switzerland's s u b n a t i o n s , i t s o h a p p e n e d t h a t sizable p r o p o r t i o n s o f b o t h C a t h o l i c s a n d Protestants were included a m o n g both the G e r m a n and the 30.

K u r t B . M a y e r , " T h e J u r a P r o b l e m : E t h n i c C o n f l i c t i n S w i t z e r l a n d , " Social

Research 3 5 ( 1 9 6 8 ) . 7 0 7 - 7 4 1.

Subnations of Western

195

Europe

French-Italian sectors. Whatever antipathy arose either between r e l i g i o u s o r b e t w e e n l a n g u a g e g r o u p s , t h e n , was m i t i g a t e d b y t h e fact t h a t t h e a d v e r s a r i e s i n o n e c o n t e x t c o u l d b e t h e allies i n a n other. Moreover, the p r o p o r t i o n s of the several subnations rem a i n e d m o r e o r less t h e s a m e f o r o v e r a c e n t u r y . N o t h i n g i s s o likely t o e x a c e r b a t e i n t e r e t h n i c a n t a g o n i s m a s w h a t t h e F r e n c h C a n a d i a n s call " l a r e v a n c h e d e s b e r c e a u x " — t h e v e n g e a n c e o f t h e c r a d l e s : with a differential g r o w t h rate every s e t t l e m e n t is tentative, i n f o r c e o n l y till t h e d a y — e a g e r l y a w a i t e d o r f e a r f u l l y d r e a d e d — w h e n the minority a n d the majority c h a n g e places. By a f o r t u n a t e h a p p e n s t a n c e , t h e g r e a t e r n a t u r a l i n c r e a s e o f t h e G e r m a n Swiss was offset by their h i g h e r net e m i g r a t i o n . N o r did m o v e m e n t w i t h i n t h e c o u n t r y d i s t u r b its s t r u c t u r a l b a l a n c e , f o r s i n c e t h e l a n g u a g e o f t h e s c h o o l s i s set locally, c h i l d r e n t y p i c a l l y a d o p t t h e l a n g u a g e of t h e c a n t o n into which their p a r e n t s h a d m o v e d . In short, t h e d i v i s i v e f o r c e a l o n g a n y o n e d i m e n s i o n is less if it c u t s a c r o s s a division by a n o t h e r characteristic. 3 1

T h e b a l a n c e t h a t was r e a c h e d b y t h e s e m o r e o r less f o r t u i t o u s circumstances seems now to be e n d a n g e r e d , a n d not merely by the m a i n l y local c o n t r e t e m p s i n t h e J u r a . T h e p r i n c i p a l t h r e a t t o t h e t r a d i t i o n a l e q u i l i b r i u m has c o m e f r o m t h e very l a r g e influx o f foreign laborers, w h o are m o r e n u m e r o u s relative to the native population than in any other E u r o p e a n country. In mid-1970 there w e r e a b o u t 6 6 0 , 0 0 0 aliens with w o r k p e r m i t s p l u s a b o u t 160,000 p e r m a n e n t alien residents. In a c o u n t r y with a total p o p u l a t i o n of o n l y 6 . 5 m i l l i o n , t h e i s s u e o f w h a t i s c a l l e d Uberfremdung ( h y p e r f o r e i g n i z a t i o n ) was p e r h a p s i n e v i t a b l e . O n e h o r n o f t h e c o u n t r y ' s d i l e m m a is that the rapid postwar development of the economy was built on a b r o a d base of i m p o r t e d labor, which c a n n o t now be r e p l a c e d entirely by natives. In t h e s u m m e r of 1971 t h e g o v e r n m e n t officially r e p o r t e d a t o t a l o f o n l y 5 1 u n e m p l o y e d i n t h e w h o l e c o u n t r y ; retail shops a n d o t h e r small e s t a b l i s h m e n t s w e r e restricti n g t h e i r activities o r c l o s i n g d o w n c o m p l e t e l y f o r lack o f w o r k e r s . O n t h e o t h e r h a n d , m a n y Swiss s e e i n t h e l a r g e b l o c o f f o r e i g n e r s a d a n g e r t o t h e society, p a r t l y b e c a u s e m a n } ' c o m e f r o m a r e a s q u i t e 31.

K u r t B . M a y e r , The Population o j Switzerland ( N e w Y o r k , C o l u m b i a U n i v e r -

sity P r e s s , 1 9 5 2 ) , c h a p . 8 .

196

William

Petersen

d i s t i n c t f r o m Swiss c u l t u r e ( s o u t h e r n I t a l y , S p a i n , a n d o t h e r M e d i t e r r a n e a n c o u n t r i e s ) , p a r t l y b e c a u s e t h e legal i m p e d i m e n t s t o n a t u ralization are so great that they are unassimilable almost by definit i o n . N a t u r a l i z a t i o n is difficult e v e n f o r a S w i s s - b o r n c h i l d of a l i e n p a r e n t s , a n d o n e c a n n o t a p p l v for e v e n t h e r i g h t o f p e r m a n e n t r e s i d e n c e u n t i l a f t e r t e n y e a r s o f r e n e w e d t e m p o r a r y visas. I n t h i s t h o r o u g h l y m i d d l e - c l a s s society, w h e r e t h e e m b o u r g e o i s e m e n t o f w o r k e r s a n d o f Socialists i n p a r t i c u l a r h a s b e e n all b u t t o t a l , t h e foreign laborers have introduced a new type of proletariat. T h u s , t h e r e m a r k a b l e i n d u s t r i a l p e a c e — a full g e n e r a t i o n w i t h o u t a s i n g l e strike or l o c k o u t — h a s b e e n b r o k e n (for e x a m p l e , by Spanish workers constructing the new ILO building in Geneva). A very s h a r p c o n f r o n t a t i o n b e t w e e n t h e two halves of this dil e m m a was a v o t e i n J u n e 1 9 7 0 t o a m e n d t h e c o n s t i t u t i o n s o a s t o limit t h e alien r e s i d e n t s to 10 p e r c e n t b o t h of t h e w h o l e c o u n t r y a n d o f e a c h c a n t o n (except G e n e v a ) separately. T h e m o v e was sponsored by Senator James Schwarzenbach and opposed by o t h e r political p a r t i e s a n d bv l a b o r , b u s i n e s s , a n d c h u r c h l e a d e r s . E v e n s o , i t w a s d e f e a t e d b y o n l y 9 6 , 8 7 4 v o t e s o u t o f 1 , 2 1 2 , 3 0 2 cast, a n d by that small m a r g i n mainly because s o m e m o n t h s before t h e p l e b i s c i t e t h e g o v e r n m e n t h a d t a k e n n e w s t e p s t o r e s t r i c t t h e inflow of foreign w o r k e r s . T h e c o n s e q u e n c e of the new system is somewhat paradoxical: fewer foreign w o r k e r s are admitted, but those t h a t do i m m i g r a t e stay l o n g e r on t h e a v e r a g e a n d c o m e closer to a full p a r t i c i p a t i o n i n Swiss society. I n d e m o g r a p h i c fact, t h o u g h n o t in citizenship, several h u n d r e d t h o u s a n d " t e m p o r a r y " i m m i g r a n t s a r e a l r e a d y affecting t h e country's c u l t u r e . A c c o r d i n g t o t h e 1960 c e n s u s , m o r e o v e r , 4 1 . 7 p e r c e n t o f Swiss c i t i z e n s w e r e a g e d 4 0 a n d o v e r , b u t o n l y 13.1 p e r c e n t o f t h e a l i e n s w i t h t e m p o r a r y p e r mits. T h e t r e n d d u r i n g the following d e c a d e certainly did not greatly c h a n g e this imbalance in t h e a g e s t r u c t u r e in e i t h e r direct i o n . N o r h a s t h e o p p o s i t i o n t o Uberfremdung l e s s e n e d . L a t e i n 1972 D r . S c h w a r z e n b a c h ' s f o r m e r p a r t y , t h e N a t i o n a l e A k t i o n f u r Volk u n d H e i m a t (the National M o v e m e n t for People a n d H o m e ) , b e g a n t o c o l l e c t s i g n a t u r e s for a vet m o r e d r a s t i c p r o p o s a l . U n d e r its t e r m s a b o u t t w o o u t o f e v e r y f i v e o f t h e 5 4 0 , 0 0 0 n o n - S w i s s r e s i dents would have been expelled by the year 1978. T h e r e f e r e n d u m

Subnations of Western

Europe

197

w a s p u t to a v o t e a full t w o y e a r s l a t e r , in t h e fall of 1 9 7 4 , w h e n u was d e f e a t e d by a b o u t two to o n e . Almost half of t h e electorate w e r e w i l l i n g t o d a m a g e t h e e c o n o m y t o h a l t t h e inflow o f for e i g n e r s , a n d a t h i r d c o u r t e d e c o n o m i c d i s a s t e r i n o r d e r t o reduce t h e i r n u m b e r . O n e can s u p p o s e that t h e issue i s n o t d e a d . C u t t i n g t h e n u m b e r of a l i e n s is less p e r t i n e n t t h a n t h e effei i <>l the foreigners' presence on the relations between the religious and l a n g u a g e g r o u p s o f t h e Swiss t h e m s e l v e s . I n 1 9 6 0 , 7 9 . 7 p e r e c n i <>l t h e a l i e n s , b u t o n l y 4 1 . 9 p e r c e n t o f Swiss c i t i z e n s , g a v e t h e n

n

l i g i o n a s C a t h o l i c . B y t h e s a m e c e n s u s , t h e r e s p e c t i v e percentage! o f Swiss c i t i z e n s a n d a l i e n s s p e a k i n g t h e c o u n t r y ' s m a i n l a n g u a g e s w e r e a s f o l l o w s : G e r m a n , 7 4 . 4 a n d 2 7 . 5 ; F r e n c h , 2 0 . 2 a n d 7 . 8 ; and I t a l i a n , 4 . 1 a n d 5 4 . 1 . I t a l i a n , w h i c h o n c e w a s m o r e o r less r e s t r i c t e d t o t h e s i n g l e c a n t o n o f T i c i n o , h a s b e c o m e a n i m p o r t a n t sc< l a n g u a g e especially in

t h e cities o f G e r m a n

Switzerland,

I

where

m o s t of t h e i m m i g r a n t s w o r k . B u t if t h e y a r e allowed to stay, they a n d p a r t i c u l a r l y t h e i r c h i l d r e n will a d a p t t o t h e l a n g u a g e ol

tin-

area. T h u s , the large immigration of Italians, which has reduced G e r m a n s p e a k e r s t o t h e l o w e s t p r o p o r t i o n i n Swiss h i s t o r y , m a y i n t h e l o n g r u n h a v e t h e c o n t r a r y effect, g r e a t l y r e i n f o r c i n g t h e < •< -i man ascendancy over French.

3 2

I n s u m , S w i t z e r l a n d ' s f a m o u s e t h n i c h a r m o n y i s t o o well CItablished in t h o r o u g h l y rooted institutions to be b r o k e n allogrlhei b u t s e v e r a l t r e n d s h a v e b e e n t r o u b l e s o m e . T h e m o s t n o t o i ion-, i-pi s o d e , t h e d e m a n d o f F r e n c h - s p e a k i n g C a t h o l i c s i n t h e J u r a foi

an

a u t o n o m o u s c a n t o n o f t h e i r o w n , i s less i m p o r t a n t t h a n t h e d i s p a i i t \ b e t w e e n t h e e c o n o m i c n e e d f o r f o r e i g n w o r k e r s a n d t h e unwilling n e s s of

m a n y Swiss c i t i z e n s t o h a v e t h e m a s s i m i l a t e d

i n t o ili<

p o p u l a t i o n . I n s p i t e o f t h e fact t h a t m o r e f o r e i g n e r s a r e p e r i n i i i n I t o c o m e i n t h a n r e s t r i c t i o n i s t s w o u l d p r e f e r , t h e l a c k o f low-skill woi I STt has squeezed the economy. I t i s m o r e difficult t o g a u g e t h e effects o f c o n s t i t u t i o n a l revision! on c a n t o n a l patriotism. At E x p o

1 9 6 4 , t h e s i x t h o f t h e nit

til

fairs h e l d e v e r y q u a r t e r - c e n t u r y , t h e u s u a l c o m m e r c i a l emphasil 32.

Kurt B. Maver, "Postwar I m m i g r a t i o n a n d Switzerland's D e m o g r a p h y

S o c i a l S t r u c t u r e , " in millan.

1972).

W i l l i a m P e t e r s e n , e d . , Readings in Population

( N e w York,

Und Ml<

William

198

Petersen

gave way to a g r a n d a t t e m p t at national self-appraisal. T r u e , t h e avant-garde a n d e x p e r i m e n t a l exhibits were not p o p u l a r , so that t h e fair i n c u r r e d a deficit e s t i m a t e d a t 1 0 - 1 2 m i l l i o n f r a n c s , b u t t h e m o o d p e r s i s t e d . I n 1971 a c o n s t i t u t i o n a l a m e n d m e n t finally g a v e w o m e n t h e v o t e o n f e d e r a l issues (only t h r e e c a n t o n s a n d t w o halfc a n t o n s still l a c k e d local f e m a l e s u f f r a g e ) . N o s i g n i f i c a n t c h a n g e took place in the composition of the Parliament, b u t with the first nationwide r e f e r e n d u m in which w o m e n could vote t h e federal g o v e r n m e n t acquired new powers to c o m b a t air a n d water pollut i o n — p e r h a p s an issue on which the two sexes differ. In t h e past several decades the p o w e r of the federal g o v e r n m e n t has b e e n ext e n d e d also w i t h r e s p e c t t o t h e p r o t e c t i o n o f t h e f a m i l y , t h e n a tional e c o n o m y , atomic energy, national r o a d s , t h e m o v i e i n d u s t r y , oil p i p e l i n e s , u n i v e r s i t y s c h o l a r s h i p s , t h e p r o t e c t i o n o f n a t u r e , a n d regional zoning. T h e miscellany i s m a d e u p o f m a t t e r s that clearly t r a n s g r e s s c a n t o n a l b o u n d a r i e s (a c o n t i n u a t i o n , as it w e r e , o f t h e c u s t o m s u n i o n e s t a b l i s h e d i n t h e 1 8 4 8 c o n s t i t u t i o n ) b u t also issues t h a t h a v e o n l y r e c e n t l y b e c o m e i m p o r t a n t . I f m o s t o f t h e problems of modernity are to be assigned to the federal governm e n t , t h e f u n c t i o n s o f t h e c a n t o n s will g r a d u a l l y s h r i n k . I t w o u l d s e e m , t h u s , t h a t t h e h e i g h t e n e d hostility b e t w e e n l a n g u a g e a n d possibly e v e n r e l i g i o u s g r o u p s h a s b e e n c o u n t e r e d b y a n i n c r e a s e d central a u t h o r i t y . T h e equilibrium is delicately b a l a n c e d , as it always has b e e n . 3 3

BELGIUM A f t e r C h a r l e m a g n e d i e d i n t h e y e a r 8 1 4 , h i s vast d o m a i n was divided into three parts, one in m o d e r n France, o n e in m o d e r n G e r m a n y , a n d t h e t h i r d , called L o t h a r i n g i a , l y i n g a t h w a r t t h e R o m a n c e - T e u t o n i c l a n g u a g e b o u n d a r y . P a r t l y j u s t b e c a u s e o f its p o p u l a t i o n ' s h e t e r o g e n e i t y , L o t h a r i n g i a s o o n d i s s o l v e d i n t o its c o m p o nent parts. T h e s e were reassembled, however, by the Counts of Flanders; a n d after they were joined by m a r r i a g e with t h e H o u s e of B u r g u n d y , the area developed into one of the showpieces of medieval c u l t u r e . T h e s e v e n t e e n p r o v i n c e s o f t h e " B u r g u n d i a n Cir3 3 . J e a n - F r a n c o i s A u b e r t , " H i s t o i r e c o n s t i t u t i o n n e l l e . " i n E r i c h G r u n e r , e d . , Die

Schweiz seit 1945.

Subnations of Western

cle"

(present

Belgium,

Europe

Netherlands,

199

and

part of France)

were

b r o u g h t i n t o t h e H o l y R o m a n E m p i r e , a n o t h e r vast s t r u c t u r e t h a t a g a i n d i s i n t e g r a t e d u n d e r Philip I I o f Spain. U n d e r the treaties e n d i n g the T h i r t y Years' War, two n e w republics were r e c o g n i z e d a s i n d e p e n d e n t o f t h e E m p i r e : t h e Swiss C o n f e d e r a t i o n a n d t h e U n i t e d N e t h e r l a n d s . C o n t r o l over t h e s o u t h e r n half o f t h e L o w Countries, however, merely passed from the Spanish to the A u s trian H a p s b u r g s . In the next century France's revolutionary gove r n m e n t a n n e x e d t h e a r e a i n toto, a n d N a p o l e o n t r i e d t o c o m p l e t e its

assimilation

by

forcibly

introducing

the

French

language

t h r o u g h o u t t h e Flemish provinces. In t h e p o s t - N a p o l e o n i c settlem e n t , a buffer state comprising present Belgium a n d the N e t h e r l a n d s w a s set u p u n d e r W i l l e m I o f t h e H o u s e o f O r a n g e . M u c h t h a t W i l l e m d i d w a s well i n t e n t i o n e d a n d e v e n wise, b u t h e w a s also o p i n i o n a t e d a n d stubborn e n o u g h eventually to alienate m o s t of his B e l g i a n s u b j e c t s . A r e v o l t in 1 8 3 0 d e v e l o p e d i n t o a d e s u l t o r y w a r of i n d e p e n d e n c e , a n d the m o d e r n state thus came into being. W h a t p a r t i c u l a r s t r a i n s o f this c o m p l i c a t e d b a c k g r o u n d c o n s t i t u t e the a u t h e n t i c history of Belgium is a question, obviously, to w h i c h t h e c u r r e n t n a t i o n a l i s t m o v e m e n t s give d i f f e r e n t a n s w e r s . T h e country's n a m e comes from Belgae, an ancient people about w h o m C a e s a r w r o t e briefly. T h e first t i m e i t was u s e d w i t h its present meaning, rather than to designate either the area p o p u lated by t h a t tribe or the whole of t h e Low C o u n t r i e s , was in 1790, when assembled deputies declared a short-lived republican federat i o n : t h e U n i t e d S t a t e s o f B e l g i u m . T h e c o u n t r y ' s limits c o n f o r m t o n o n a t u r a l o r cultural b o u n d a r i e s . T h e Dutch are o n both sides o f t h e S c h e l d t e s t u a r y t o t h e n o r t h , a n d D u t c h L i m b u r g p r o j e c t s like a giant

pendant

into

territory

physically

and

culturally

indistin-

g u i s h a b l e f r o m it. T h e p l a i n s o f F l a n d e r s s t r e t c h with n o visible divider into France, and on the eastern b o r d e r the one or two perc e n t o f t h e p o p u l a t i o n w h o s p e a k G e r m a n p o i n t u p t h e lack o f a n y .distinct s e p a r a t i o n also o n t h a t s i d e .

If the b o u n d a r y had been

d r a w n a l o n g the language frontier, half of Belgium would have b e e n i n c l u d e d with F r a n c e : i f i t h a d b e e n d r a w n b y r e l i g i o n , t h e southern,

solidly C a t h o l i c t h i r d o f t h e

Netherlands would

have

been Belgian. "Belgium is the most contrived country in West-

William

200

Petersen

ern Europe . . . Belgium's frontiers—like those of some colonial territories—were imposed, not by force of the country's own arms but by the great powers." The cultural-social-political division between the language sectors, which in retrospect is now viewed as a basic theme during Belgium's entire existence, has become both sharper and more pervasive in the decades since 1945. During the wartime occupation, the German administration had tried, with some success, to exacerbate regional hostilities by favoring the "Aryan" Flemish, but it accepted deference as well from the Rexists, a pro-Nazi, predominantly French-speaking group. In truth, neither in Flanders nor in Wallonia were there many who either collaborated with the occupying force or actively opposed it, but in subsequent recriminations much was sometimes made of the pro-Nazi activities of small minorities. Moreover, some of the most important political struggles after the war, in particular over whether King Leopold III should return to the throne and whether schools should be secularized, reinforced the overall division. That "the relation between the two language communities," as the issue is termed in official writings, continued to deteriorate in the 1960s also reflected the frustrations that the whole nation was suffering. The surplus of coal on hand in 1959 was estimated at 7 million tons; some mines were closed, and miners worked part-time. The Congo, which attained its independence in 1960, quickly degenerated into chaos, leaving Belgium with neither its prior financial stake nor even the moral satisfaction of having relinquished it to a responsible successor state. The government's austerity measures were answered with widespread strikes in 1961, followed by one of physicians in 1963 that gained notoriety throughout the world. Even without such political aggravations of ethnic divisions, it is not likely that the Flemish would long have remained satisfied with their inferior status. Walloon industry, based in part on obsolescent factories and mines either soon to be depleted or becoming marginal to the European market, has been in relative decline, while in Flanders, at least comparatively, commerce and industry 3 4

34.

F r a n k E . H u g g e t t , Modem Belgium ( L o n d o n , Pall M a l l ,

19(39), p p . 1 - 2 .

Subnations of Western

Europe

201

have b o o m e d . Flemings are no longer only peasants or industrial workers; increasing n u m b e r s have become owners or m a n a g e r s of l a r g e b u s i n e s s f i r m s o r h i g h - l e v e l civil s e r v a n t s . A l w a y s a m a j o r i t y o f t h e p o p u l a t i o n , t h e F l e m i s h h a v e b e e n g r o w i n g a t a slightly faster rate than the Walloons: the Flemings' considerably h i g h e r fertility

had

been

largely canceled, as

in

Switzerland,

by their

greater emigration a n d their acculturation to the Walloon sector in the Brussels a r e a .

3 5

Nevertheless the Flemish increased at a faster

r a t e t h a n t h e W a l l o o n s , a n d i n t h e m o s t r e c e n t p e r i o d this h a s c o n tinued because the mortality in Flanders is lower t h a n in Wallonia. With

demographic and economic ascendancy,

the Flemish

have

resented the superiority accorded to the French language and the i m p l i c i t political p o w e r t h a t W a l l o o n s a c q u i r e d t h e r e b y , s e e m i n g l y as their natural right. Paradoxically, as the two languages b e c a m e m o r e a n d m o r e an issue of public policy, d a t a on t h e i r use b e c a m e e v e r h a r d e r to assemble and analyze.

3 6

T h e last c e n s u s t o i n c l u d e a q u e r y o n l a n -

g u a g e was i n 1947, a n d s o m e c h a r g e d t h a t t h a t q u e s t i o n was u n fairly w o r d e d . F o r t h e t w o m a i n r e g i o n s i t i s n o w u s u a l l y p r e s u m e d t h a t t h e l e g a l d e f i n i t i o n r e p r e s e n t s r e a l i t y — t h a t is, t h a t t h e n o r t h i s Dutch-speaking a n d the south French-speaking. But none of the s e v e r a l a l t e r n a t i v e s o u r c e s o f l a n g u a g e d a t a f o r t h e n i n e t e e n bilingual t o w n s h i p s of the Brussels a g g l o m e r a t i o n are satisfactory. In a n u m b e r o f s i t u a t i o n s e a c h p e r s o n o s t e n s i b l y selects e i t h e r l a n g u a g e free!}', b u t a c t u a l l y t h e c h o i c e m a y b e d i s t o r t e d b y e x t r a n e o u s factors. For e x a m p l e , the identity c a r d that e v e r y o n e is r e q u i r e d to h a v e c a n b e i n e i t h e r l a n g u a g e , b u t s i n c e i t u s e d t o b e t h a t m o s t off i c i a l s i n t h e B r u s s e l s a r e a w e r e W a l l o o n s , a F l e m i n g w a s likely t o be given a "carte d'identite" unless he m a d e a point of d e m a n d i n g a n " i d e n t i k e i t s k a r t . " S i m i l a r l y , civil m a r r i a g e c e r e m o n i e s c a n b e p e r 35.

R. Cliquet, "On the Differential Population D e v e l o p m e n t of the Flemings

a n d t h e W a l l o o n s a n d Its I n f l u e n c e o n t h e F l e m i s h - W a l l o o n R e l a t i o n s , " Homo 11 (I960). 67-88;

Frans Van

Mens e n Maatschappij 3 8

Mechelen, "De d e m o g r a f i s c h e 'taalgrens' in

(1963), 444-457; Jean

Morsa,

"Fecondite,

Belgie,"

nuptialite et

c o m p o s i t i o n p a r a g e , " Bevolkhig e n Gezin 5 ( 1 9 6 5 ) , 8 3 - 1 1 2 . 3 6 . Paul

M.

G.

Science Politique,

L e v y , L a querelle d u recensement

(Brussels,

Institut

B e i g e de

1 9 6 0 ) ; L e v y , "La m o r t d u r e c e n s e m e n t l i n g u i s t i q u e , " Revue Nou-

velle 1 8 ( 1 9 6 2 ) , 1 4 5 - 1 5 4 .

William

202

Petersen

formed in either language at the couple's option, but many of the b u r g o m a s t e r s have been so deficient in Dutch that the Flemish, w h o i n t h e B r u s s e l s a r e a a r e typically b i l i n g u a l , s e l e c t t h e less inconvenient m e d i u m for an occasion they w a n t to go smoothly. In t h e B e l g i a n a r m y officers m u s t b e c o m p e t e n t i n b o t h l a n g u a g e s , b u t soldiers may choose a unit using o n e or the other. Many of the Flemish draftees, however, used to serve their t e r m in a Walloon u n i t i n o r d e r t o perfect t h e i r school F r e n c h . T w o sociologists, f i nally, recently s u r v e y e d the Brussels p o p u l a t i o n a n d issued their findings in a m i m e o g r a p h e d r e p o r t , since b e c o m e " t i e s c h a u d , " as it is called in intentional franglais. To the e x t e n t that I could j u d g e , i t w a s a c o m p e t e n t j o b , a n d a n y bias o f t h e t w o a u t h o r s , b o t h of Flemish o r i g i n , was p r e s u m a b l y not p r o - W a l l o o n . B u t since only 17.7 p e r c e n t o f t h e i r s a m p l e r e p o r t e d t h e i r current l a n g u a g e t o b e D u t c h ( o r f a r less t h a n a l m o s t e v e r y o n e h a d g u e s s e d f r o m e s t i m a t e s a b o u t t h e n u m b e r o f i n - m i g r a n t s w h o s e original l a n g u a g e was Flemish), t h e survey was a t t a c k e d by Flemish nationalists in P a r l i a m e n t a n d the press. T h e two a u t h o r s , w h o have since shifted to m a r k e t research, do not w a n t even to discuss their earlier w o r k . T h a t n o f i g u r e s a r e a c c e p t e d a s valid b y b o t h s i d e s h e l p s , o f course, to lower the tone of the debate. 3 7

T h e g a t h e r i n g o f l a n g u a g e statistics, i n s u m , e n c o m p a s s e s a n inescapable dilemma. A m o n g upper-class Flemings of the ninet e e n t h c e n t u r y , it was r o u t i n e to speak D u t c h to the servants a n d F r e n c h a m o n g themselves. W i t h the d e m o c r a t i z a t i o n o f Belgian soc i e t y , t h i s a s s o c i a t i o n b e t w e e n l a n g u a g e a n d social s t a t u s d i d n o t d i s a p p e a r b u t , o n t h e c o n t r a r y , s p r e a d t h r o u g h t h e o t h e r classes. S i n c e F r e n c h i s still t h e d o m i n a n t m e d i u m o f c o m m u n i c a t i o n i n t h e B r u s s e l s a r e a a n d i n t e r n a t i o n a l l y , f o r a m b i t i o u s F l e m i s h (or, a l t e r n a t i v e l y , t h e i r c h i l d r e n ) t h e a c q u i s i t i o n o f a facile a n d a c c e n t l e s s F r e n c h is a m e a n s of u p w a r d mobility. T h o s e w h o e i t h e r are truly b i l i n g u a l o r w o u l d like t o c o n s i d e r t h e m s e l v e s t o b e s u c h o n c e acquired prestige by reporting themselves as "francophones." T h u s , i f W a l l o o n officials s o m e t i m e s u s e d t h e i r b u r e a u c r a t i c p o w e r t o 37.

P. Kluft a n d F. V a n der Vorst, " E n q u e t e a B r u x e l l e s : Le p r o b l e m e linguis-

tique et politique" (Brussels, Institut de Sociologie, Universite Libre de Bruxelles, n.d.).

Subnations of Western

Europe

203

i m p r o v e t h e r e c o r d f r o m t h e i r p o i n t o f view, s o m e o f t h e F l e m i s h , t h r e a t e n e d w i t h t h e loss o f a n i m p o r t a n t r o u t e u p , w e r e q u i t e willi n g t o c o o p e r a t e i n this half-falsification. T h e statistics, i n s h o r t , c o u l d be a c c u r a t e if they w e r e n o t used, b u t since they h a v e bec o m e a p a r t o f m a n y political d e c i s i o n s , s o m e citizens r e s p o n d less i n t e r m s o f o b j e c t i v e fact t h a n a s a m e a n s o f c a s t i n g a v o t e . 3 8

T h e antagonism between the language communities is aggrav a t e d b y t h e fact t h a t b o t h look t o n e i g h b o r i n g c o u n t r i e s f o r c u l tural guidance. In o t h e r countries nationalist m o v e m e n t s generally seek roots in t h e speech a n d customs of the c o m m o n people, using f o l k l o r e as a s t e p to folk h i s t o r y , t r v i n g to r e d e f i n e a d i a l e c t as another national language, and so on. In contrast, Walloon nationalists t a k e P a r i s a s t h e i r m o d e l , a n d F l e m i s h t a k e T h e H a g u e . T h i s c u l t u r a l s u b s e r v i e n c e m a y h a v e political implications, w h i c h those on the o t h e r side often e x a g g e r a t e . T h e concept of Groot-Nederland, "Greater Netherlands," t h o u g h still d e n i g r a t e d o n b o t h s i d e s o f t h e B e l g i a n - D u t c h b o r d e r , r e p r e s e n t s a n i m p o r t a n t e l e m e n t o f c u l t u r a l (if n o t yet political) r e ality a n d will n o t d i s a p p e a r . T h e b e s t p r e s e n t a t i o n h a s b e e n i n t h e works of Pieter Geyl, p e r h a p s the most e m i n e n t Dutch historian of t h e p a s t g e n e r a t i o n , w h o t o o k a s his m a i n t a r g e t t h e life w o r k o f his n o less e m i n e n t B e l g i a n p r e d e c e s s o r , H e n r i P i r e n n e . T r a c i n g t h e history of a fictive "Belgium" back t h r o u g h centuries, P i r e n n e h a d a c c o m p l i s h e d this r e c o n s t r u c t i o n with such c o n s u m m a t e a t t e n t i o n to detail as to m a k e a plausible case for t h e existence of a Belgian p a t r i o t i s m a n t e d a t i n g B e l g i u m . F o r G e y l , t h e t r u e h i s t o r i c a l division w a s a l o n g t h e l a n g u a g e b o u n d a r y , v i r t u a l l y u n c h a n g e d f o r a m i l l e n n i u m a n d a h a l f ; t h e s o u t h e r n s e c t o r of D u t c h s p e a k e r s w a s c u t o f f b y h i s t o r i c a l a c c i d e n t s , f r o m t h e fact t h a t t h e i n v a s i o n i n t h e 38.

A l a w w a s p r o p o s e d t o set a s p e e d l i m i t o f 9 0 k i l o m e t e r s o n o r d i n a r y t w o -

lane roads b e t w e e n towns, retaining the prior absence of any limitation only on t h e m a j o r f o u r - l a n e h i g h w a y s with limited access a n d o t h e r safety f e a t u r e s . B u t a s o n e Walloon m e m b e r of Parliament pointed out, most of these better roads are in Flanders,

whose

inhabitants

would

F r e n c h - s p e a k i n g m o t o r i s t s . S o m e of

thus

enjoy

the

right

to

drive

faster

than

the older roads of Wallonia were therefore

e x e m p t e d f r o m t h e s p e e d limit, i n o r d e r t o e x t e n d t h e p r i v i l e g e o v e r a n e q u a l d i s t a n c e i n b o t h s e c t i o n s o f t h e c o u n t r y e v e n t h o u g h this w o u l d p r e s u m a b l y m e a n a h i g h e r d e a t h toll a m o n g W a l l o o n d r i v e r s a n d their f a m i l i e s .

204

William

Petersen

s i x t e e n t h c e n t u r y was s t o p p e d a t t h e R h i n e a n d t h e M e u s e t o t h e cooperation of the great powers in fashioning a composite Belgium in 1830 in o r d e r to insulate the r e s u r g e n t revolution in F r a n c e . E v e n o n e w h o a d m i r e s P i r e n n e ' s c r a f t s m a n s h i p m i g h t well f i n d G e y l ' s t h e s i s m a r k e d l y m o r e p l a u s i b l e . Its p r e s u m e d c o n s e q u e n c e s for t h e L o w C o u n t r i e s of the p r e s e n t d a y a r e p r o p a g a t e d in such j o u r n a l s a s Streven ( " S t r i v i n g " ) , e d i t e d b y s e v e r a l D u t c h - s p e a k i n g J e s u i t s o n b o t h s i d e s o f t h e b o r d e r , a n d Neerlandia, p u b l i s h e d i n G h e n t , t h e site o f a F l e m i s h u n i v e r s i t y . T h e most i m p o r t a n t effort to develop cultural unity pertains to t h e l a n g u a g e itself, w h i c h i s n o l o n g e r c a l l e d Vlaams ( t h a t is, F l e m ish) b u t Nederlands o r s o m e t i m e s Zuid-Nederlands ( S o u t h e r n D u t c h ) . Radio a n d television p r o g r a m s in the two c o u n t r i e s take pains to use a u n i f o r m p r o n u n c i a t i o n , a n d books published in t h e N e t h e r lands r e p o r t e d l y find a third of their m a r k e t in Flanders. Several binational commissions have labored to reform the spelling on both sides of t h e b o r d e r . A n u m b e r of books have b e e n p u b l i s h e d in Flanders offering an exposition of "Algemeen Beschaafd Nederl a n d s " ( G e n e r a l C u l t u r e d Dutch) in place of the several regional dialects, a n d t h e r e is an association of schoolteachers, the V e r e n i g i n g v o o r B e s c h a a f d e O m g a n g s t a a l , with t h e s a m e p u r p o s e . T h e words a n d expressions that are most to be avoided, according to these precepts, are of course those that derive from the French. O n e o f t h e r e m a i n i n g differences b e t w e e n t h e tvpical i d i o m s , t h u s , i s t h a t t h e D u t c h s p o k e n i n t h e N e t h e r l a n d s i s full o f F r e n c h w o r d s a n d p h r a s e s . S o m e of the o l d e r acquisitions a r e h a l f - h i d d e n (for e x a m p l e , krant, " n e w s p a p e r , " f r o m t h e F r e n c h courant, a s c o n t r a s t e d w i t h dagblad, m o r e c o m m o n i n F l a n d e r s ) , b u t m a n y n e w o n e s a r e b r o u g h t i n a s well, f o r i n t h e N e t h e r l a n d s F r e n c h r e p r e sents not a c o m p e t i n g s u b n a t i o n b u t a symbol of chic cosmopolitanism. T h e r e are Walloon counterparts, as we have suggested, to every o n e of these efforts. A nonprofit organization f o u n d e d in 1966, the Centre d'Action Culturelle de la C o m m u n a u t e d'Expression Francaise, publishes a review of the Belgian a n d foreign press on matters of interest to francophones everywhere. In the s u m m e r of 1970 r e p r e s e n t a t i v e s of F r e n c h - s p e a k i n g m i n o r i t i e s m e t in G e n e v a

Subnations of Western

Europe

205

t o lay o u t a j o i n t p r o g r a m o f a c t i o n ; d e l e g a t e s a t t e n d e d f r o m t h e Swiss J u r a , t h e V a l l e e d ' A o s t a i n I t a l y , a n d W a l l o n i a . S o m e o f t h e s e international manifestations of f r a n c o p h o n e unity go beyond m e r e c u l t u r a l e x c h a n g e s a n d v e r g e o n political a l l i a n c e s a g a i n s t t h e n o n F r e n c h sectors of E u r o p e a n populations. In

Belgium

(contrary to the crosscutting equilibrium that we

noted in Switzerland), differences in language have been partly reinforced by those in religion. In a c o u n t r y that is nominally c o m pletely C a t h o l i c , o n e n e e d s d a t a (which a p p a r e n t l y d o n o t exist) o n what proportions attend mass, perform their Easter duties, a n d so on in o r d e r to j u d g e t h e actual influence of the c h u r c h . In the past t h e a s s o c i a t i o n o f l a n g u a g e w i t h social class m e a n t t h a t t h e u p p e r levels o f t h e h i e r a r c h y w e r e F r e n c h - o r i e n t e d a n d o n l y s o m e o f t h e local p r i e s t s i n F l a n d e r s f a v o r e d t h e F l e m i s h m o v e m e n t . I t w a s o p p o s e d by t h e h i e r a r c h y generally, especially in s e c o n d a r y e d u c a t i o n . N e v e r t h e l e s s t h e r e h a s b e e n a c o n t r a s t b e t w e e n solidly C a t h o lic F l a n d e r s , w h e r e a t l e a s t t h e l o w e r c l e r g y h a v e b e e n s y m p a t h e t i c to

nationalist

demands,

and

predominantly

Socialist

Wallonia,

w h e r e C a t h o l i c i s m i s w e a k e r a n d likely t o b e a n t i c l e r i c a l . I n t h e past d e c a d e o r so, h o w e v e r , t h e Flemish m o v e m e n t h a s b e c o m e n o t i c e a b l y m o r e s e c u l a r . A t its 1 9 6 8 c o n v e n t i o n , t h e D a v i d s f o n d s , t h e l a r g e s t o f t h e F l e m i s h c u l t u r a l - w e l f a r e o r g a n i z a t i o n s , c h a n g e d its s l o g a n f r o m " G o d s d i e n s t , T a a l , V a d e r l a n d " ( r e l i g i o n , l a n g u a g e , fat h e r l a n d ) to " G o d s d i e n s t , T a a l , Volk," t h u s in effect c h a n g i n g the o b j e c t o f its f o r m a l a l l e g i a n c e f r o m B e l g i u m t o F l a n d e r s . T w o y e a r s later a sizable m i n o r i t y t r i e d — t h i s time unsuccessfully—to cut the tie t o t h e c h u r c h , a p r o p o s a l t h a t w o u l d h a v e left o n l y t h e link t o the language community. Of the

several

issues

that

have

divided

nationalists

from

the

church hierarchy, the most important concerned the future of the Catholic University of Louvain. Because Louvain (Flemish:

Leu-

ven) is in F l a n d e r s , t h e nationalist s t u d e n t s d e m a n d e d t h a t this be entirely a Dutch-speaking institution, a n d their rioting s p r e a d to A n t w e r p a n d o t h e r Flemish cities. F o r a while t h e e p i s c o p a t e resisted t h e p r e s s u r e a n d s u p p o r t e d t h e b i l i n g u a l s t a t u s q u o . T h e a c a d e m i c c o u n c i l o f L o u v a i n - F r e n c h , f e e l i n g itself u n d e r s i e g e , p e titioned

the

national g o v e r n m e n t to impose a solution,

but the

William

206

Petersen

prime minister u n d e r s t a n d a b l y replied that an institution governed b y t h e C a t h o l i c c h u r c h was o u t s i d e its j u r i s d i c t i o n . E v e n so, t h e g o v e r n m e n t fell i n 1 9 6 8 , w i t h t h e m o u n t i n g crisis a t L o u v a i n a s t h e p r o x i m a t e cause. T h e following year f u n d s w e r e p r o v i d e d for the transfer of t h e F r e n c h section s o m e miles south to Wallonia, at a c a m p u s n o w b e i n g c o n s t r u c t e d . (At t h e s a m e t i m e t h e D u t c h s e c t i o n o f t h e F r e e U n i v e r s i t y o f B r u s s e l s was m a d e e n t i r e l y a u t o n o m o u s . ) L o u v a i n ' s v a l u a b l e l i b r a r y h o l d i n g s w e r e d i v i d e d i n half, b o o k s with an even catalogue n u m b e r to o n e section, those with an o d d o n e to t h e o t h e r ; b u t t h i s w a s o n l y t h e basis f o r p r o t r a c t e d n e g o t i a t i o n s t h a t c o n t i n u e d u n t i l all t h e o n c e j o i n t p r o p e r t y w a s a p p o r t i o n e d . T h e university, o n e of the oldest a n d most distinguished in E u r o p e , will u n d o u b t e d l y s u r v i v e its b i f u r c a t i o n , b u t p r e s u m a b l y n o t w i t h o u t s i g n i f i c a n t losses i n a c a d e m i c s t a n d a r d s . T h e a c r i m o n y p e r v a d i n g the negotiations diverted scholars from m o r e productive activities, a n d t h e m o n e y s p e n t o n b u i l d i n g a n d o p e r a t i n g n e w facilities a t O t t i g n i e s will r e d u c e b u d g e t s f o r o t h e r f u n c t i o n s . T h e national election of 1968 m a r k e d , in retrospect, a t u r n i n g p o i n t o f p o s t w a r politics. F r o m 1 9 2 0 , w h e n u n i v e r s a l s u f f r a g e was e s t a b l i s h e d , t o t h e m i d - 1 9 6 0 s ( e x c e p t i n g o n l y 1 9 3 6 ) , t h e p a r t y syst e m h a d b e e n v e r y s t a b l e , a n d all p a r t i e s w e r e g i v e n i m p o r t a n t t h o u g h a different s u p p o r t in each r e g i o n . T h e p r i o r coalition b e t w e e n Socialists a n d Social C a t h o l i c s , h o w e v e r , h a d b e e n s u f f e r ing from nationalist threats: A n d r e R e n a r d acquired a considerable f o l l o w i n g i n t h e t r a d e u n i o n s a n d Socialist p a r t y a r o u n d a W a l l o o n p r o g r a m , a n d the Catholic-Flemish quarrels we have noted obviously w e a k e n e d t h e Social C a t h o l i c p a r t y . F r o m 1961 t o 1 9 6 8 , t h u s , t h e n u m b e r o f seats h e l d b y t h e Social C a t h o l i c s fell f r o m 9 6 t o 6 9 , t h a t o f t h e Socialists f r o m 8 4 t o 5 9 . I n e a r l i e r local elect i o n s , s i m i l a r losses h a d r e s u l t e d i n g a i n s b y t h e L i b e r a l s a n d C o m m u n i s t s , b u t in 1968 the victors were nationalist parties on both 3 9

4 0

sides: t h e V o l k s u n i e w e n t f r o m 12 seats to 20, t h e F r o n t D e m o c r a 39. Aristide R.

Zolberg, " T h e Making of Flemings and

Walloons:

Belgium.

1830-1914." Unpublished manuscript, 1973.

4 0 . Cf. L u c i e n H u y s e , Passiviteit, paeificatie en verzuiling in de Belgisc/iepolitick: Een iocwlogi.sc/ieitudie ( A n t w e r p , S t a n d a a r d W e t e n s c h a p p e l i j k e U i t g e v e r i j ,

1970).

Subnations of Western

Europe

207

tique des F r a n c o p h o n e s from 3 to 5, a n d the R a s s e m b l e m e n t Walt o n f r o m 2 t o 7 . F r o m 1 9 7 1 t o 1 9 7 4 , h o w e v e r , b o t h n a t i o n a l i s t factions

lost

votes,

semblement cophones

the

Wallon

together

Volksunie and

the

about

about

Front

110,000.

4 1

51,000

and

the

Ras-

Democratique

des

Fran-

This

may

have

reversal

reflected i n c r e a s e d c o n c e r n a b o u t m o r e g e n e r a l issues, in p a r t i c u lar t h e i n f l a t i o n a n d t h e w e a k e c o n o m y . M o r e f u n d a m e n t a l l y , i t r e f l e c t e d t h e facts t h a t t h e r e g i o n a l s t r u c t u r e d e m a n d e d o r i g i n a l l y by Flemish nationalists h a d been i n c o r p o r a t e d into the p r o g r a m s of b o t h t h e Social C a t h o l i c a n d t h e Socialist p a r t i e s a n d t h a t , i n d e e d , o u t s i d e the Brussels a r e a it h a d b e e n largely realized. U n d e r t h e 1932 law t h a t m a d e D u t c h official i n t h e n o r t h a n d F r e n c h in the south, with the two languages c o m p e t i n g in t h e B r u s sels m e t r o p o l i t a n a r e a , t h e d e c e n n i a l c e n s u s w a s s u p p o s e d t o d e t e r m i n e w h e t h e r a n y villages a l o n g t h e f r o n t i e r s h o u l d b e s h i f t e d . B u t thereafter, only o n e c e n s u s — i n 1 9 4 7 — i n c l u d e d a question on language; a n d both that a n d every other count were controversial. No m a t t e r what the results, they were not accepted by the losing side. In 1963, after some 85,000 p e r s o n s were shifted f r o m Flemish to Walloon territory and about 20,000 in the opposite direction, the m a i n b o u n d a r y b e t w e e n t h e l a n g u a g e a r e a s was fixed. A c o m m i s sion established to resolve the r e m a i n i n g differences l a b o r e d for a y e a r t o b r i n g f o r t h t w o tiny o f f s p r i n g : u n i f o r m b i l i n g u a l i d e n t i t y cards a n d a Dutch translation of the constitution of 1831. T h e d i s p u t e d o m i n a t e d politics f o r t h e r e s t o f t h e d e c a d e , a n d u n d e r a c o m p r o m i s e a d o p t e d in

1971

full c u l t u r a l a u t o n o m y i n t h e t w o

p r i n c i p a l r e g i o n s was r e a l i z e d . T h e n e w s y s t e m s u p p o s e d l y e l i m i n a t e d l i n g u i s t i c c o m p e t i t i o n i n m o s t o f t h e n a t i o n ; all p r i m a r y i n s t r u c t i o n , for e x a m p l e , i s o n l v i n t h e l a n g u a g e o f t h e a r e a , s o t h a t (as i n S w i t z e r l a n d ) n e w a r r i v a l s o r t h e i r c h i l d r e n will p r e s u m a b l y a c c u l t u r a t e t o this p e r m a n e n t m e d i u m . E v e n m o r e t h a n b e f o r e , t h e n , t h e Brussels a g g l o m e r a t i o n b e c a m e the d o m i n a n t a r e n a , for the Flemish nationalists are d e t e r m i n e d to establish t h e i r l a n g u a g e as

truly 41.

coordinate

Vincent

in

the

Goffart, " C o m m e n t

Nouvelle 5 9 ( 1 9 7 4 ) , 4 0 5 - 4 1 9 .

nation's

capital—working,

les B e i g e s o n t vote le

10 mars

however, 1 9 7 4 , " Revue

208

William

Petersen

against the "denationalization" of many of the Flemish in-migrants a n d t h e d o m i n a n c e of F r e n c h (or even English) in t h e g r o w i n g n u m b e r of West E u r o p e a n organizations established there. T h e most interesting general feature of the language dispute in Belgium is that it contradicts the conventional wisdom a b o u t what d e t e r m i n e s ethnic identity. Subnations, we have b e e n told, are a manifestation of backwardness: they look to the past, thrive on f o l k l o r e a n d folk h i s t o r y , m a i n t a i n t h e m s e l v e s b e s t i n a villageb a s e d c u l t u r e . I n this c a s e (as i n m a n y o t h e r s t h r o u g h o u t t h e w o r l d ) , t h e v e r y m o v e m e n t o f m o r e F l e m i s h i n t o u p p e r levels o f a fully u r b a n society, with a n a c c o m p a n y i n g p a r t i a l s e c u l a r i z a t i o n o f s o m e i m p o r t a n t institutions, seemingly r e s u l t e d in a s h a r p rise of s u b n a t i o n a l s e n t i m e n t . W a l l o o n n a t i o n a l i s m c a n b e r e a s o n a b l y int e r p r e t e d as mainly defensive: parity for D u t c h m e a n s a relative decline of French. I n s u m , t w o o f t h e m o s t civilized c o u n t r i e s o f t h e W e s t , B e l g i u m a n d S w i t z e r l a n d , with full d e m o c r a t i c r i g h t s b r e d i n t h e m a r r o w , m a n i f e s t e d a n i n c r e a s e i n w h a t w e call " p a r o c h i a l " f e e l i n g s a s p a r i s h e s a n d t h e i r n o n r e l i g i o u s c o u n t e r p a r t s w e r e m o r e fully a b s o r b e d i n t o t h e g r e a t e r society. O b v i o u s l y , o u r g e n e r a l t h e o r y o f ethnic relations is badly in n e e d of repair, a n d W e s t e r n E u r o p e can offer m a n y new insights.

7 A N D R E W M. GREELEY A N D W I L L I A M C. M C C R E A D Y

T h e Transmission of Cultural Heritages: T h e Case of the Irish and Italians T h e r e i s a p l e t h o r a o f t h e o r i z i n g , o r a t least s p e c u l a t i o n , a b o u t t h e p e r s i s t e n c e o f e t h n i c i t y i n A m e r i c a n society, w i t h a g o o d d e a l o f it highly moralistic (ethnicity is e i t h e r a " g o o d " t h i n g or " b a d " t h i n g , d e p e n d i n g o n y o u r v i e w p o i n t ) , b u t a p a u c i t y o f h a r d (by w h i c h a social s c i e n t i s t u s u a l l y m e a n s m e d i u m soft) d a t a t o p r o v e o r disprove such speculations. As in most other controversial matters, people

with

strong opinions—even

social

scientists

with

strong

o p i n i o n s — n e e d scarcely be b o t h e r e d by evidence. W e p r o p o s e i n this c h a p t e r t o a s k o n e q u e s t i o n a n d t o p r o v i d e for t h e q u e s t i o n a limited a n d i m p e r f e c t a n s w e r , as p a r t of the h e w i n g o f o n e b u i l d i n g b l o c k f o r t h e c o n s t r u c t i o n of, i f n o t a g r a n d t h e o r y o f A m e r i c a n e t h n i c i t y , a t least a b e t t e r u n d e r s t a n d i n g o f t h a t p h e n o m e n o n i n o u r society. T h e q u e s t i o n is: d o t h e c u l t u r a l h e r i t a g e s o f t h e O l d W o r l d p e r sist a m o n g c h i l d r e n a n d g r a n d c h i l d r e n o f t h e i m m i g r a n t s f r o m t h e v a r i o u s E u r o p e a n c o u n t r i e s ? W e shall c h o o s e t w o e t h n i c g r o u p s — the Irish Catholics a n d the Italians—about whose c o u n t r y of origin t h e r e exists a substantial a n t h r o p o l o g i c a l a n d sociological l i t e r a t u r e . F r o m t h i s l i t e r a t u r e w e will d e r i v e a c o n s i d e r a b l e n u m b e r o f hypotheses a b o u t their respective differences from the Anglo-Saxon A m e r i c a n n o r m a n d from one a n o t h e r . To the extent that these h y p o t h e s e s a r e s u s t a i n e d b y t h e a v a i l a b l e e v i d e n c e , w e will b e a b l e to assert that t h e r e is a persistence of diversity of cultural h e r i t a g e w i t h i n t h e U n i t e d S t a t e s , p r e d i c t a b l e o n t h e basis o f t h e c u l t u r e o f

210

Andrew

M.

Greeley

and.

William

C.

McCready

t h e c o u n t r i e s o f o r i g i n . W e will also h a v e , i n c i d e n t a l l y , e s t a b l i s h e d t h e fact o f e t h n i c c u l t u r a l d i v e r s i t y i n t h e U n i t e d S t a t e s , a fact w h i c h m a n y social scientists a r e n o t y e t p r e p a r e d t o c o n c e d e . It is necessary before we begin to p r o v i d e s o m e kind of a d e scription of an American ethnic g r o u p , t h o u g h we must note that w e m a k e n o c l a i m t h a t this d e s c r i p t i o n h a s a n y v a l i d i t y b e y o n d t h e b o r d e r s o f t h e U n i t e d S t a t e s . A n e t h n i c g r o u p i s a l a r g e collectivity, b a s e d o n p r e s u m e d c o m m o n o r i g i n , w h i c h is, a t least o n o c c a s i o n , p a r t of a s e l f - d e f i n i t i o n of a p e r s o n , a n d w h i c h also acts as a b e a r e r of cultural traits. I n this c h a p t e r w e a r e c o n c e r n e d w i t h t h e s e c o n d e l e m e n t o f t h e definition. A r e s p o n d e n t may think of himself as Irish or Italian o n l y w h e n o u r s u r v e y i n t e r v i e w e r a s k s h i m w h a t his n a t i o n a l i t y b a c k g r o u n d is. W e a s s u m e t h a t s u c h a r e s p o n s e i n d i c a t e s t h e p o s s i ble p r e s e n c e o f p r e d i s p o s i t i o n s t o a t t i t u d e s , v a l u e s , n o r m s , a n d b e haviors, which are part of the baggage the immigrant groups b r o u g h t f r o m their c o u n t r y o f origin a n d passed o n largely t h r o u g h a n implicit socialization process, t h r o u g h their c h i l d r e n a n d t h e n to their g r a n d c h i l d r e n . O u r main c o n c e r n is not with the explicit a w a r e n e s s of ethnic heritage ( w h e t h e r t h e r e is a difference between those Irish w h o are frequently conscious of being Irish a n d t h o s e I r i s h w h o a r e not), n o r with t h e decline o f e t h n i c attitudes a n d behaviors t h r o u g h the generations. We are merely conc e r n e d w i t h t h e facts o f t h e e x i s t e n c e o f e t h n i c d i v e r s i t y a n d t h e predictability of s o m e aspects of this diversity from k n o w l e d g e of the culture of the land of origin. 1

N o t all d i f f e r e n c e s a m o n g e t h n i c g r o u p s a r e t o b e a t t r i b u t e d t o the cultural heritages whence they came. T h e s e groups arrived in A m e r i c a a t d i f f e r e n t t i m e s i n t h a t n a t i o n ' s d e v e l o p m e n t ; t h e y settled in d i f f e r e n t r e g i o n s of the c o u n t r y , a n d they have e x p e r i e n c e d different histories since their arrival. T h u s , time of arrival, place of s e t t l e m e n t , a n d h i s t o r y m a y also a c c o u n t f o r s o m e o f t h e dif1.

In fact, t h e r e is s o m e e v i d e n c e available that w o u l d s u g g e s t that c o n s c i o u s -

ness of ethnicity d o e s increase, but o n l y very slightly, the levels of ethnically linked behavior, a n d there is also e v i d e n c e that these levels do not decline very rapidly across g e n e r a t i o n s . B u t in o r d e r to k e e p this c h a p t e r within r e a s o n a b l e limits, we will d e f e r t o a n o t h e r o c c a s i o n a n e x t e n d e d t r e a t m e n t o f t h e s e q u e s t i o n s .

T h e Transmission of Cultural

Heritages

211

f e r e n c e s t h a t a r e t o b e o b s e r v e d a m o n g e t h n i c g r o u p s . W e will l i m i t ourselves to the differences that can be predicted from cultural p a t t e r n s which existed in the country of origin, simply because these differences a r e m u c h easier to sort o u t in the absence of elabo r a t e social h i s t o r i e s o f t h e v a r i o u s i m m i g r a n t g r o u p s . 2

T h e r e are four principal weaknesses in the strategy we are pursuing: 1. T h e a n t h r o p o l o g i c a l l i t e r a t u r e u p o n w h i c h w e a r e r e l y i n g w a s w r i t t e n a f t e r m o s t o f t h e i m m i g r a n t s left I t a l y a n d I r e l a n d a n d c a m e to t h e U n i t e d States. T h e r e is a sufficient a m o u n t of historical i n f o r m a t i o n available t o p e r s u a d e u s t h a t s o u t h e r n Italy a n d weste r n Ireland, as they a r e described in o u r literature, a r e similar e n o u g h t o t h o s e r e g i o n s 5 0 t o 100 years a g o , b u t t h e r e obviously have been some changes in C o n n a u g h t a n d the Mezzogiorno bet w e e n t h e t i m e t h e i m m i g r a n t s left a n d t h e a r r i v a l o f A r e n s b e r g a n d Kimball in the o n e , a n d E d w a r d Banfield in the other. 2 . T h e r e m a y well b e d e f i c i e n c i e s i n t h e l i t e r a t u r e o n I r e l a n d a n d I t a l y , o f w h i c h w e a s A m e r i c a n social s c i e n t i s t s a r e n o t a w a r e . T h e l i t e r a t u r e o n I t a l y i s m o r e e x t e n s i v e a n d , a s far a s w e k n o w , h a s n o t b e e n subject t o critical d i s a g r e e m e n t . T h e l i t e r a t u r e o n I r e l a n d is m o r e limited a n d has b e e n t h e subject of s o m e enthusiastic critical d i s a g r e e m e n t o n t h e p a r t o f I r i s h s c h o l a r s . 3. S o m e of t h e h y p o t h e s e s to be d e r i v e d f r o m r e a d i n g t h e literat u r e o n Italy a n d I r e l a n d a r e o f m u c h g r e a t e r value t h a n o t h e r hypotheses because they are based on observations that are at the core o f t h e d e s c r i p t i o n o f t h e two societies. T h u s , o u r h y p o t h e s i s s u g g e s t i n g t h a t I t a l i a n A m e r i c a n s w o u l d b e m o r e fatalistic t h a n Anglo-Saxons is i n d e e d substantiated. T h i s validation is of considerably m o r e i m p o r t a n c e than the failure of o t h e r hypotheses because t h e t h e m e of fatalism in the M e z z o g i o r n o is of capital i m p o r 2.

Many researchers seem surprised by the p h e n o m e n o n of a correlation be-

tween ethnic b a c k g r o u n d and attitudes a n d behavior in the absence of a strong explicit e t h n i c c o n s c i o u s n e s s . H o w e v e r , i t s h o u l d b e n o t e d t h a t t h e c u l t u r a l p a t t e r n s of the old c o u n t r y existed before the ethnic g r o u p s c a m e into being. T h e ethnic g r o u p as a self-conscious collectivity is the result of the A m e r i c a n e x p e r i e n c e , but Irish b e h a v i o r with the values ol United States.

both

regard

to drink,

Italian behavior with regard

to sex,

g r o u p s a b o u t family life e x i s t e d b e f o r e i m m i g r a t i o n

and

to the

212

Andrew

M.

Greeley

and

William

C.

McCready

t a n c e i n all t h e w r i t i n g s o n t h a t a r e a . S i m i l a r l y , g i v e n b o t h h i s t o r i c a l a n t h r o p o l o g i c a l e v i d e n c e o n d r i n k i n g b e h a v i o r i n I r e l a n d , t h e difference between the A m e r i c a n Irish a n d others in d r i n k i n g behavior o u t w e i g h s m a n y " n o n - d i f f e r e n c e s " b a s e d o n less i m p o r t a n t o b servations a b o u t Irish peasant culture. 4.

Finally, i n o u r c o m p a r i s o n o f t h e I t a l i a n s w i t h t h e I r i s h , w e

h a d t o m a k e c e r t a i n d e c i s i o n s o n t h e basis o f d e s c r i p t i o n s t h a t w e r e s c a r c e l y w r i t t e n t o facilitate s u c h c o m p a r i s o n s . F o r e x a m p l e , w e predicted that the Irish would score h i g h e r on a m e a s u r e of trust than the Italians because t h e r e s e e m e d to be s o m e w h a t m o r e e m p h a s i s o n t h e i m p o r t a n c e o f r e l i g i o n a s g e n e r a t i n g a t least u l t i m a t e trust in the Irish literature t h a n in the Italian literature. Similarly, we predicted that the Italians would score h i g h e r t h a n the Irish on m e a s u r e s of fatalism, because t h e t h e m e of fatalism s e e m e d to us to be m o r e obvious in the Italian literature t h a n in t h e Irish. While these decisions then were not completely arbitrary, they c a n n o t be justified as possessing the precision that w o u l d be desirable in the b e s t o f all p o s s i b l e w o r l d s ( t h e w o r l d i n w h i c h , i n c i d e n t a l l y , n e i t h e r t h e I t a l i a n s n o r t h e I r i s h s e e m t o live). T h e literature on southern

Italy (see,

for e x a m p l e ,

Banfield.

C r o n i n , I a n n i , a n d P a r s o n s ) d e s c r i b e s a s o c i e t y i n w h i c h t h e social structure is c l o s e to a s t a t e of c o l l a p s e , w h i l e t h e culture p o s t u l a t e s an e x t e n d e d f a m i l y v a l u e s y s t e m . T h e e x t r e m e p o v e r t y o f d a i l y life p r e c l u d e s t h e effective o p e r a t i o n o f t h e e x t e n d e d f a m i l y a n d ind e e d d i c t a t e s t h a t i n d i v i d u a l s h a v e a s little t o d o w i t h a n e x t e n d e d family a s p o s s i b l e , lest t h e y b e c a u g h t i n t h e a n c i e n t w e b o f o b l i g a tion, which they now no longer h o n o r .

3

While Banfield's "amoral familism" m a y have a value connotation t h a t i s u n f o r t u n a t e , t h e r e a l i t y t o w h i c h h e a t t a c h e s t h a t label i s r e c o r d e d b y all o t h e r o b s e r v e r s . L i t t l e , i f a n y , t r u s t p e r s i s t s b e y o n d t h e n u c l e a r f a m i l y . I t i s difficult e n o u g h t o h o n o r t h e o b l i g a t i o n s t o one's s p o u s e a n d children w i t h o u t r u n n i n g the risk o f e n t a n g l e m e n t in a n y o t h e r sort of r e l a t i o n s h i p . H e n c e , t h e society is p e r meated by distrust a n d suspicion. Anxiety a n d fear are at a very 3.

C r o n i n ' s s t u d y of Italian i m m i g r a n t s in Australia s h o w s that w h e n it b e c o m e s

e c o n o m i c a l l y possible t o sustain the v a l u e s a n d n o r m s o f t h e e x t e n d e d family system, the e x t e n d e d family reemerges.

T h e Transmission of Cultural

Heritages

213

high level. Men and women are caught in the grip of a fatalism which tells them that none of their efforts really matter very much. The principal proof of a man's quality as a father is his ability to protect the chastity of the female members of his family. An unfaithful wife or promiscuous daughter becomes an absolutely intolerable social disgrace and the virgin symbol of the Italian version of Catholicism is central to the southern Italian belief system, both because it emphasizes the importance of biological integrity and because it stresses the automatic and fatalistic elements of life. Relationships between man and woman tend to be formal and tense. The behavior of girls is rigidly controlled, while the behavior of boys is less closely supervised. Young men learn early the need to prove their maleness by being superior to women, which means protecting the chastity of one's own family and threatening the chastity of other families—insofar as one can get away with it and not get caught. The peasant society of Ireland (Arensberg, Kimball, Humphreys, Messenger and Jackson) is not so grim and disorganized as that of Italy. While both societies have known poverty and oppression, one compares the literature on the two countries and concludes that the social structure of western Ireland was much less traumatized than that of the Mezzogiorno. Both the demands and the support of the extended family are much more evident. The nuclear familydisplays a higher level of trust and indeed a capacitv for political organization of rather a sophisticated variety (dating at least from Daniel Connell's Catholic Association of the early nineteenth century). In the west of Ireland there is a great concern about the transmission of family property, and indeed marriage contracts concerning the exchange of property in dowries are of the highest importance. The rearing of children and the planning of marriage, the assumption of the roles of wife and husband, retirement from active direction of one's family farm, all are decisively affected by the property contract at the time of marriage. Such concern would seem to indicate a more prosperous and better organized culture than that described in Sicily and in southern Italy. On the other hand, there seems to be even more sexual repression in Ireland than in Italy and hence a very high level of frustra-

Andrew

214

M.

Greeley

and

William

C.

McCready

tion, repression, a n d suppressed anger, which find outlets in prod i g i o u s feats o f a l c o h o l c o n s u m p t i o n . P r e c i s e l y b e c a u s e t h e west o f I r e l a n d i s a p p a r e n t l y less d i s o r g a n i z e d t h a n t h e s o u t h o f Italy, t h e r e a r e e x t e r n a l m e a n s o f social c o n t r o l i n t h e f o r m e r t h a t d o n o t exist in t h e latter, particularly the highly skilled ridicule of ext e n d e d family a n d local c o m m u n i t y a n d t h e h a r s h , p u n i t i v e a n d o m n i p r e s e n t moralism of Irish Catholicism.

4

W h i l e t h e I r i s h c o u n t r y family is, w i t h s o m e e x c e p t i o n s , a l m o s t a s p a t r i a r c h a l a s t h a t o f Italy, s t u d i e s o f c o u n t r y families m i g r a t i n g t o Dublin indicate that m a t r i a r c h y e m e r g e s r a t h e r quickly in the large c i t i e s — m u c h m o r e q u i c k l y t h a n i n s o u t h e r n I t a l i a n cities s u c h a s Naples. While m o t h e r s "spoil" their sons by waiting on t h e m t h e m selves a n d c o n s t r a i n i n g t h e i r d a u g h t e r s t o w a i t o n t h e m , t h e I r i s h m a l e s e e m s t o h a v e less f r e e d o m a n d i n d e p e n d e n c e t h a n d o e s t h e I t a l i a n m a l e , if o n l y b e c a u s e it is f o r all p r a c t i c a l p u r p o s e s i m p o s s i b l e f o r h i m t o m a r r y w i t h o u t p a r e n t a l a p p r o v a l . T h e family s t r u c t u r e i n I r e l a n d l o o k s s o m e w h a t less r i g i d t h a n t h a t o f I t a l y , b u t i t i s still r i g i d e n o u g h . W h i l e C o n n a u g h t m a y n o t b e a s h a r s h a n d r e p r e s s i v e a p l a c e as t h e M e z z o g i o r n o , t h e r e is still s u b s t a n t i a l evid e n c e i n t h e a v a i l a b l e l i t e r a t u r e t h a t t h e life o f t h e p e a s a n t s i n t h e west of I r e l a n d is filled with anxiety, insecurity, r e p r e s s i o n , a n d p o w e r f u l c o n f o r m i t y - o r i e n t e d n o r m s . B o t h Italy a n d I r e l a n d t h e n a r e p r e s e n t e d i n t h e l i t e r a t u r e a s p e a s a n t s o c i e t i e s w i t h all t h e n a r r o w n e s s a n d c o n s e r v a t i s m c h a r a c t e r i s t i c o f p e a s a n t societies a n d t h e s p e c i a l p r o b l e m s t h a t c o m e w i t h p o v e r t y , o p p r e s s i o n , a n d less t h a n e n l i g h t e n e d r e l i g i o u s w o r l d views. We n o w t u r n to a n u m b e r of h y p o t h e s e s a b o u t Italian a n d Irish A m e r i c a n s d e r i v e d f r o m this l i t e r a t u r e . T h e s e v e n a c c o m p a n y i n g t a b l e s a r e a r r a n g e d in s u c h a way t h a t in e a c h t a b l e a c o m p a r i s o n is m a d e b e t w e e n the Irish a n d the Anglo-Saxons, the Italians a n d the A n g l o - S a x o n s , a n d the Irish a n d Italians. In t h e first c o l u m n the d i r e c t i o n o f t h e h y p o t h e s i s i s i n d i c a t e d , t h e s e c o n d a n d t h i r d colu m n s p r o v i d e t h e s c o r e s o f t h e t w o g r o u p s . T h e n e x t c o l u m n ind i c a t e s w h e t h e r t h e h y p o t h e s i s i s s u s t a i n e d a n d i n t h e first f o u r tables 4.

the

level

of statistical s i g n i f i c a n c e

is

i n d i c a t e d in

t h e final

For a brilliant, historical a c c o u n t o f t h e d e v e l o p m e n t o f c o n t e m p o r a r y Irish

Catholicism see I i m m e t t Larkin's " D e v o t i o n a l R e v o l u t i o n in Ireland, The American Historical Review 7 7 . 3 ( J u n e 1 9 7 2 ) , 6 2 5 - 6 5 2 .

1850-1875,"

T h e Transmission of Cultural

215

Heritages

c o l u m n . ( I n T a b l e 5 t h e size o f t h e s a m p l e s m a k e s e v e n t h e s m a l l e s t differences "significant.") PERSONALITY SCALES I n T a b l e 1, t h e t h r e e g r o u p s a r e c o m p a r e d o n seven personality variables, which are described in the a p p e n d i x , derived from a survey o f a n a t i o n a l s a m p l e o f A m e r i c a n m a l e s .

5

T a b l e 1. P e r s o n a l i t y V a r i a b l e s Variable

Hypothesis

Score

Confirmed

Significance

Irish a n d A n g l o - S a x o n

/ risk

Angio-Saxon

Trust

Anglo

2.50

' 0.24

No

(•01)

Fatalism

I rish

1.97

-1.34

Yes

.01

Authoritarianism

Irish

-1.24

-1.01

No

(.05)"

Anxiety

Irish

-2.10

-0.01

No

(.05)

Conformity

Irish

1.00

0.01

No

Moralistic

Irish

2.24

1.45

No

Anglo

2.03

0.40

No

a

a

I n d e p e n d e n c e for children Italian a n d A n g l o - S a x o n Italia n

A ngto-Saxon

Trust

Anglo

0.05

0.24

Fatalism

Italian

0.54

-1.34

Yes

Authoritarianism

Italian

1.52

-0.01

No

Anxiety

Italian

1.10

-0.01

No

Conformity

Italian

-1.30

0.01

No

Italian

1.40

1.45

No

Anglo

-2.30

0.40

Yes

.01

lash

Italian .05

Moralistic Independence

No .01

for

children Irish a n d Italian

Trust

Irish

2.50

0.50

Yes

Fatalism

Italian

1.97

0.54

No

Authoritarianism

Italian

-1.24

1.52

Yes

Anxietv

Italian

-2.10

1.10

Yes

.01

Conformity

Irish

1.00

-1.30

Yes

.01

Moralistic

Irish

2.24

1.40

Yes

.05

Irish

2.03

-2.30

Yes

.05

.01

I n d e p e n d e n c e for children a

5.

Differences are significant in the o p p o s i t e direction to t h e o n e h y p o t h e s i z e d . F o r a c o m p l e t e d e s c r i p t i o n of the s a m p l i n g p r o c e d u r e s e e Melvin L. K o h n ,

Class and Conformity ( H o m e w o o d , 111., D o r s e y P r e s s ,

1969), pp. 236-238.

216

Andrew

M.

Greeley

and

William

C.

McCready

T h e f o l l o w i n g h y p o t h e s e s w e r e g e n e r a t e d o n t h e basis o f t h e lite r a t u r e w e e x a m i n e d . 1. T h e r i g i d f a m i l y s t r u c t u r e s , v a l u e s y s t e m s , a n d religious n o r m s o f b o t h Italy a n d I r e l a n d s h o u l d m a k e both t h e I r i s h a n d t h e I t a l i a n s less " t r u s t i n g , " m o r e "fatalistic," m o r e "authoritarian," more "anxious," m o r e "conformist," more "moralistic," a n d less c o n c e r n e d a b o u t " i n d e p e n d e n c e f o r c h i l d r e n " t h a n A n g l o - S a x o n A m e r i c a n s — w h o r e p r e s e n t t h e statistical " n o r m " o f A m e r i c a n society. H o w e v e r h a r s h a n d r i g i d A m e r i c a n P r o t e s t a n t i s m m a y b e i n s o m e o f its m a n i f e s t a t i o n s , i t c e r t a i n l y d o e s n o t s e e m to c o m p a r e with the situation as described in either s o u t h e r n Italy or t h e west of I r e l a n d . 2 . T h e I r i s h will b e h i g h e r t h a n on "conformity" and "moralism." on "fatalism," " a u t h o r i t a r i a n i s m , " a r e p r o b a b l y s o m e w h a t m o r e likely p e n d e n c e for children."

t h e I t a l i a n s o n " t r u s t , " b u t also T h e I t a l i a n s will s c o r e h i g h e r a n d "anxiety," a n d the Irish t h a n t h e Italians to stress " i n d e -

O u r h y p o t h e s e s h a v e o n l y a l i m i t e d a m o u n t o f s u c c e s s a s far a s the comparisons between the two Catholic i m m i g r a n t g r o u p s a n d the Anglo-Saxons a r e c o n c e r n e d . Both the Irish a n d the Italians a r e significantly h i g h e r t h a n t h e A n g l o - S a x o n s i n " f a t a l i s m , " t h u s confirming in the United States o n e of the principal t h e m e s of the literature on the two countries, b u t significant differences between I t a l i a n s a n d A n g l o - S a x o n s e x i s t o n l y o n o n e o t h e r scale. A s p r e d i c t e d , t h e A n g l o - S a x o n s a r e m o r e likely t o e m p h a s i z e t h e i n d e p e n d e n c e for c h i l d r e n t h a n Italians. B u t o n l y t h e f a t a l i s m h y p o t h e s i s i s v a l i d a t e d for d i f f e r e n c e s b e t w e e n t h e A m e r i c a n I r i s h a n d t h e i r A n g l o - S a x o n fellow c i t i z e n s . I n d e e d , i n f o u r cases ( " t r u s t , " " a u t h o r i t a r i a n i s m , " " a n x i e t y , " a n d " i n d e p e n d e n c e for children"), t h e d i f f e r e n c e s b e t w e e n the Irish a n d the A n g l o - S a x o n s a r e in t h e o p p o s i t e of t h e h y p o t h e s i z e d direction a n d i n t h r e e o f these, t h e d i f f e r e n c e s a r e significant. T h e I r i s h a r e , d e s p i t e o u r h y p o t h e s i s , s i g n i f i c a n t l y less " a n x i o u s " a n d " a u t h o r i t a r i a n , " a n d m o r e " t r u s t i n g . " A n o t h e r d i f f e r e n c e , slightly less t h a n s i g n i f i c a n t , i n d i c a t e s t h e I r i s h a r e m o r e likelv t h a n t h e Anglo-Saxons to value " i n d e p e n d e n c e for children." 6

6.

O u g h t o n e t o b e c o n c e r n e d a b o u t t h e possibility that t h e Irish m a y b e m o r e

"cute" (to use their w o r d ) in a n s w e r i n g q u e s t i o n s than o t h e r r e s p o n d e n t s ? May it

T h e Transmission of Cultural

Heritages

217

O n t h e o t h e r h a n d , o n all b u t o n e o f t h e scales, t h e d i f f e r e n c e s b e t w e e n t h e Irish a n d the Italians a r e significant in t h e direction h y p o t h e s i z e d . T h e I t a l i a n s t u r n o u t t o b e less fatalistic t h a n t h e Irish, but in every o t h e r respect, t h e predicted differences do, in fact, e x i s t . O n e w a y t o s u m m a r i z e T a b l e 1 w o u l d b e t o say t h a t w i t h t h e e x c e p t i o n o f fatalism, t h e Italians a n d t h e A n g l o - S a x o n s a r e relatively similar to o n e a n o t h e r , while t h e Irish a r e significantly d i f f e r e n t f r o m b o t h , with t h e d i f f e r e n c e b e t w e e n the Irish a n d t h e Italians being in the direction predicted by o u r hypothesis, a n d the differences b e t w e e n t h e Irish a n d the A n g l o - S a x o n s b e i n g in t h e opposite d i r e c t i o n s f r o m t h o s e p r e d i c t e d b y o u r h y p o t h e s i s . K n o w l edge of the culture of land of origin, then, is of some help in und e r s t a n d i n g the differences between the two ethnic g r o u p s , but of r a t h e r little h e l p i n u n d e r s t a n d i n g t h e i r d i f f e r e n c e s f r o m t h e A n g l o - S a x o n s — a t least w i t h r e g a r d t o o u r p e r s o n a l i t y scales. B u t t w o q u e s t i o n s r e m a i n a f t e r a n e x a m i n a t i o n o f T a b l e 1: W h y are the Irish different in the opposite direction from that which we had predicted? P e r h a p s t h e r e are aspects of the Irish personality that are more complex than the field workers in the west o f I r e l a n d w e r e a b l e t o r e p o r t . W h y are the Irish—a g r o u p that c a m e to the United States bef o r e t h e I t a l i a n s — m o r e likely t o b e significantly d i f f e r e n t f r o m Anglo-Saxons on personality m e a s u r e s t h a n a r e the Italians? Perh a p s Irish Catholicism provides a m u c h s t r o n g e r structural a n d c u l t u r a l f o c u s a r o u n d w h i c h t h e I r i s h c a n rally a n d s u s t a i n t h e i r v a l u e s a n d w o r l d view t h a n d o e s t h e I t a l i a n v e r s i o n o f C a t h o l i c i s m . POLITICAL P ART ICIPATION We now turn to differences a m o n g the three ethnic g r o u p s on political p a r t i c i p a t i o n m e a s u r e s d e v e l o p e d b y o u r c o l l e a g u e s N o r m a n Nie a n d Sidnev V e r b a . ' T h e following hvpotheses were d e b e p o s s i b l e t h a t a m o n g t h e c u l t u r a l traits t h a t h a v e s u r v i v e d t h e i m m i g r a t i o n i s t h e facility a t b l a r n e y , w h i c h has b e e n d e f i n e d a s t h e c a p a c i t y n e v e r t o m e a n w h a t o n e savs a n d

n e v e r to say what o n e m e a n s ? A n v o n e w h o has a t t e m p t e d

to get a

straight a n s w e r w h e n w a n d e r i n g t h r o u g h t h e w e s t of I r e l a n d must be at least alive to this possibility. 7. Row,

S i d n e y V e r b a a n d N o r m a n N i e , Participation i n America ( N e w Y o r k , H a r p e r & 1972).

Andrew

218

M.

Greeley

and

William

C.

McCready

r i v e d . G i v e n t h e h i g h level o f political activity a n d s o p h i s t i c a t i o n r e p o r t e d b y h i s t o r i a n s a n d c o n t e m p o r a r y political scientists i n I r e l a n d (for e x a m p l e , see t h e w o r k o f C h u b b ) , o n e w o u l d p r e d i c t t h a t t h e I r i s h w o u l d b e m o r e likely t o e n g a g e i n v o t i n g a n d political c a m p a i g n i n g t h a n A n g l o - S a x o n s , t h o u g h less likely t o e n g a g e i n t h e o r g a n i z a t i o n - j o i n i n g "civic a c t i v i t y " - t y p e of political b e h a v i o r (which V e r b a a n d Nie r e p o r t to be a " P r o t e s t a n t " m o d e of particip a t i o n ) . G i v e n a lack of a v i a b l e political c u l t u r e in s o u t h e r n Italy a n d Sicily, o n e w o u l d e x p e c t t h a t b o t h t h e I r i s h a n d t h e A n g l o S a x o n s w o u l d s c o r e h i g h e r o n political p a r t i c i p a t i o n t h a n t h e Itali a n s . T h i s e x p e c t a t i o n w o u l d b e r e i n f o r c e d b y t h e fact t h a t t h e I r i s h l e a r n e d t h e i r politics a s p a r t o f a n A n g l o - S a x o n s y s t e m a n d that after 1875 most of the Irish i m m i g r a n t s s p o k e English as their first l a n g u a g e . 8

T a b l e 2 i n d i c a t e s t h a t i n six o f t h e n i n e c a s e s h y p o t h e s e s a r e s u s t a i n e d a t a s i g n i f i c a n c e level of .01. T h e I r i s h i n d e e d a r e m o r e likely t o v o t e a n d t o c a m p a i g n t h a n t h e A n g l o - S a x o n s , b u t d e s p i t e T a b l e 2. Political Participation Variable

Hypothesis

Score

Confirmed

Significance

Irish a n d A n g l o S a x o n

Irish

Anglo-Saxon

Voting

Irish

30.6

06.2

Yes

.01

Campaigning

Irish

42.4

06.8

Yes

.01

Civic activity

Anglo

22.3

13.7

No

Italian a n d A n g o - S a x o n

Italian

Anglo-Saxon

Voting

Anglo

06.2

No

Campaigning

Anglo

-15.4

06.8

Yes

.01

Civic activity

Anglo

-32.5

13.7

Yes

.01

17.6

Irish a n d Italian

Irish

Italian 17.6

No

15.4

Yes

.01

-32.5

Yes

.01

Voting

Irish

30.6

Campaigning

Irish

42.4

-

Civic activity

Irish

22.3

8.

L a r k i n p o i n t s o u t that m a n y o f t h e " f a m i n e " Irish p r o b a b l y d i d n o t s p e a k

E n g l i s h a s t h e i r f i r s t l a n g u a g e a n d s o m e o f t h e m m a y n o t h a v e s p o k e n i t a t all, since the principal famine migration was from the west of Ireland w h i c h , in the m i d d l e o f t h e last c e n t u r y , w a s a p r i m a r i l y I r i s h - s p e a k i n g r e g i o n .

T h e Transmission of Cultural Heritages

219

o u r prediction and despite the expectations of the work of Verba a n d N i e t h e y a r e also m o r e likely t o e n g a g e i n civic activities t h a n the A n g l o - S a x o n s . Similarly, b o t h the Irish a n d the Anglo-Saxons a r e s i g n i f i c a n t l y m o r e likely t o c a m p a i g n a n d e n g a g e i n civic activity t h a n a r e t h e I t a l i a n s . T h e I r i s h a r e also m o r e likely t o v o t e t h a n t h e I t a l i a n s , b u t t h e d i f f e r e n c e h e r e i s n o t significant. T h e I t a l i a n s , o n t h e o t h e r h a n d , a r e s o m e w h a t m o r e likely t o v o t e t h a n t h e A n g l o - S a x o n s , b u t o n c e again t h e difference is not significant. O u r p r e d i c t i o n s , t h e n , t u r n o u t t o b e m u c h m o r e successful when we are dealing with participation behavior than w h e n we are dealing with personality variables, a p h e n o m e n o n which has some c o n s o l a t i o n in it b e c a u s e p o l i t i c a l p a r t i c i p a t i o n is, as social s c i e n c e m e a s u r e s g o , s o m e t h i n g m u c h " h a r d e r " t h a n r e s p o n s e s t o social p s y c h o l o g i c a l p e r s o n a l i t y scales. T h e r e are a n u m b e r of important questions, of course, about these d i f f e r e n c e s i n political p a r t i c i p a t i o n . W e h a v e a d d r e s s e d o u r selves t o s o m e o f t h e s e q u e s t i o n s e l s e w h e r e a n d w e r e t u r n t o t h e m in the conclusion h e r e . 9

MORAL ISSUES T h e n e x t issue to be raised is w h e t h e r k n o w l e d g e of the c u l t u r e of the country of origin can enable us to predict attitudes toward sexuality a n d d r i n k i n g b e h a v i o r in the t h r e e g r o u p s that we are s t u d y i n g . I t c a n b e h y p o t h e s i z e d o n t h e basis o f t h e l i t e r a t u r e t h a t t h e I r i s h will b e m o r e likely t o d r i n k t h a n t h e A n g l o - S a x o n s a n d w o u l d b e also m o r e likely t o h a v e s e r i o u s d r i n k i n g p r o b l e m s . I t also could be h y p o t h e s i z e d that t h e Irish w o u l d be m o r e restrictive t h a n the Anglo-Saxons in their attitudes toward both male a n d female sexual behavior. 1 0

A l t h o u g h little i s said a b o u t d r u n k e n n e s s i n s o u t h e r n Italy i n t h e l i t e r a t u r e , o n e m i g h t c o n c l u d e t h a t t h e v e r y fact t h a t i t i s n o t m e n tioned would indicate that it is a p r o b l e m that does not p l a g u e that otherwise p r o b l e m - b u r d e n e d r e g i o n . H e n c e , the Italians, we exp e c t , will h a v e l o w e r s c o r e s o n t h e a l c o h o l q u e s t i o n t h a n d o t h e 9. A.

M.

G r e e l e y , " P o l i t i c a l A t t i t u d e s a m o n g A m e r i c a n W h i t e E t h n i c s , " Public

Opinion Quarterly

(Summer

1972), 2 1 3 - 2 2 0 .

10. T h e s e d a t a a r e f r o m t h e N O R C s t u d y o f 1 9 6 1 c o l l e g e g r a d u a t e s .

220

Andrew

M.

Greeley

and

William

C.

McCready

A n g l o - S a x o n s . We w o u l d also e x p e c t that b e c a u s e of t h e sexual double

standard,

the

I t a l i a n s will s c o r e l o w e r o n

restrictiveness

toward male sexual behavior, but h i g h e r in restrictiveness toward female sexual behavior. Finally, we h y p o t h e s i z e a g r e a t e r alcohol p r o b l e m for t h e Irish t h a n for t h e Italians, m o r e sexual restrictiveness for the Italians w i t h r e g a r d t o f e m a l e s e x u a l i t y , b u t m o r e r e s t r i c t i v e n e s s for t h e Irish with r e g a r d to male sexuality. O u r hypotheses about

the differences between

the

Irish

and

Anglo-Saxons on alcohol a n d sexuality are simply not s u p p o r t e d in any way, b u t t h r e e of the four h y p o t h e s e s a b o u t t h e differences between the Italians a n d the Anglo-Saxons are s u p p o r t e d (Table 3). O u r only mistake was to a s s u m e that Italian sexual restrictiveness w o u l d b e l i m i t e d t o f e m a l e s e x u a l b e h a v i o r . I n fact, t h e I t a l i a n s a r e also s e x u a l l y r e s t r i c t i v e for m a l e s . T h e I t a l i a n s a r e also s i g n i f i c a n t l y less likely t o h a v e a l c o h o l p r o b l e m s t h a n t h e I r i s h a n d a r e m o r e

Table

3.

Moral

Variable

Issues Confirmed

Score

Hypothesis

Significance

Irish a n d A n g l o -S a x o n

Irish

A nglo-Saxon

Drink

Irish

1.63

1.64

No

Drunk

Irish

4.17

4.05

No

Anglo

3.53

3.71

No

Anglo

3.87

3.93

No

Male sex

a

Female sex

Italian a n d A n g ]o - S a x o n

Italian

Anglo-Saxon

Drink

Anglo

0.43

1.64

Yes

.01

Drunk

Anglo

1.69

4.05

Yes

.01

Male sex

Anglo

4.06

3.71

No

Female sex

Italian

4.14

3.93

Yes

.01

(.01)"

Irish a n d Italian

Irish

Italian

Drink

Irish

1.63

1.43

Yes

.01

Drunk

Irish

4.17

1.69

Yes

.01

Male sex

Irish

3.53

4.06

No

.01

Female sex

Italian

3.87

4.14

No

a

T h e score m e a s u r e s restrictiveness in attitudes toward male sexual behavior.

b

Differences are significant in the o p p o s i t e direction to the o n e h y p o t h e s i z e d .

T h e Transmission of Cultural

Heritages

221

likely t o b e s e x u a l l y r e s t r i c t i v e t h a n t h e I r i s h i n t h e c a s e o f m a l e sexual behavior. T a b l e 3 t h e n p r e s e n t s a p i c t u r e that is exactly the o p p o s i t e of T a b l e 1 . O n t h e p e r s o n a l i t y scales t h e I r i s h w e r e s i g n i f i c a n t l y different from the Italians a n d the Anglo-Saxons, w h o were quite similar t o o n e a n o t h e r ( s a v e o n f a t a l i s m ) . O n e w o u l d h a v e c o n c l u d e d from T a b l e 1 that the Italians h a d "assimilated" a n d the Irish h a d not. However, in T a b l e 3 the Irish a n d the Anglo-Saxons are the o n e s t h a t a r e s i m i l a r a n d b o t h a r e d i f f e r e n t , i n m o s t c a s e s , significantly

so,

from

Italians.

O n e concludes

with

what must surely

s o u n d like a t r u i s m ; t h e p r o c e s s e s o f d i f f e r e n t i a t i o n a n d a c c u l t u r a tion a m o n g the A m e r i c a n ethnic g r o u p s a r e far m o r e c o m p l i c a t e d than we might have expected. RESPECT FOR T H E DEMOCRATIC PROCESS O n l y o n e scale is p r e s e n t e d in T a b l e 4, a m e a s u r e m e n t of t h e r e s p o n d e n t ' s respect for certain e l e m e n t s in t h e d e m o c r a t i c p r o c e s s . I r e l a n d b e c a m e a political d e m o c r a c y l o n g a f t e r m o s t o f t h e i m m i g r a n t s h a d left, a n d w h i l e t h e I r i s h w e r e a politically i n v o l v e d p e o p l e , t h e i r i n v o l v e m e n t was n o t s u c h a s t o incline t h e m t o r e s p e c t the

niceties of d e m o c r a t i c

process

(one

need

only

look at

the

p r e s e n t s i t u a t i o n i n U l s t e r t o s e e w h y ) . S i m i l a r l y political d e m o c r a c y w a s n e v e r e f f e c t i v e l y e s t a b l i s h e d i n Sicily o r t h e M e z z o g i o r n o and the processes of the democratic g o v e r n m e n t seemed to m e a n Table

4.

Respect

for

Democratic

Hypothesis

Processes

Score

Confirmed

Significance

Irish a n d A n g l o - S a x o n Irish Anglo

.60

A

nglo-Saxon .05

No

(.01

Italian a n d A n g l o - S a x o n Italian Anglo

Anglo-Saxon

.05

-.16

Irish

Italian

.60

-.16

Yes

.01

Yes

.01

Irish a n d Italian Irish

Differences are significant in the o p p o s i t e direction to the o n e hypothesized.

222

Andrew

M.

Greeley

and

William

C.

McCready

relatively little i n s u c h a n i m p o v e r i s h e d society. F u r t h e r m o r e , t h e levels o f t r u s t a n d o p e n n e s s r e p o r t e d i n t h e a n t h r o p o l o g i c a l l i t e r a t u r e o n b o t h c o u n t r i e s w o u l d l e a d o n e t o e x p e c t less c o n c e r n f o r civil l i b e r t i e s a m o n g t h o s e a f f e c t e d b y s u c h c u l t u r e s t h a n a m o n g A n g l o - S a x o n A m e r i c a n s . Finally, t h e allegedly a u t h o r i t a r i a n p r o clivities o f R o m a n C a t h o l i c i s m m i g h t also ill e q u i p I t a l i a n s a n d Irish to respect the democratic processes. H e n c e o n e would predict that the Anglo-Saxons would be higher on the democratic process scale t h a n e i t h e r t h e I r i s h o r t h e I t a l i a n s a n d t h a t t h e I r i s h w o u l d probably be h i g h e r t h a n the Italians. Table 4 indicates two of these expectations are s u p p o r t e d . Both the Irish a n d the Anglo-Saxons have h i g h e r scores on the d e m o c r a t i c p r o c e s s scale t h a n d o t h e I t a l i a n s . H o w e v e r t h e e x p e c t a t i o n of a h i g h e r score for the A n g l o - S a x o n s t h a n for t h e Irish is d r a m a t i ically d i s p r o v e n . T h e I r i s h a r e s i g n i f i c a n t l y a n d i n d e e d o v e r w h e l m i n g l y h i g h e r o n a d e m o c r a t i c p r o c e s s scale t h a n a r e t h e Anglo-Saxons. Mr. Greeley has pointed out elsewhere that the American Irish are m o r e "liberal" t h a n m u c h of the mythology a b o u t t h e m w o u l d h a v e l e d o n e t o b e l i e v e . I t m a y well b e t h a t a t h o u s a n d - y e a r r e v o l u t i o n a r y tradition d o e s g e n e r a t e a respect for political d e m o c r a c y , w h i c h s u r v i v e s e v e n e m b o u r g e o i s e m e n t . 1 1

FAMILY S T R U C T U R E A T T I T U D E S A M O N G COLLEGE WOMEN STUDENTS O u r f i n a l set o f h y p o t h e s e s h a s t o d o w i t h a t t i t u d e s t o w a r d family s t r u c t u r e m e a s u r e d in the m i d d l e 1960s a m o n g a r e p r e s e n t a t i v e s a m p l e o f 1961 c o l l e g e a l u m n a e . I t s h o u l d b e n o t e d t h a t t h e r e a r e b o t h a d v a n t a g e s a n d d i s a d v a n t a g e s i n l o o k i n g a t this s u b p o p u l a t i o n . A n a d v a n t a g e i s t h a t a g e a n d e d u c a t i o n a l level a r e h e l d c o n s t a n t ; a d i s a d v a n t a g e i s t h a t g i v e n t h e fact t h a t t h e I t a l i a n s a r e still less likely t o g o t o c o l l e g e t h a n t h e I r i s h , t h e I t a l i a n r e s p o n d e n t s m a y b e far less t y p i c a l o f t h e i r g e n e r a t i o n t h a n a r e t h e I r i s h r e spondents. T h e following h y p o t h e s e s a r e g e n e r a t e d for t h e differences between the Irish a n d the Anglo-Saxons: T h e Irish would b e m o r e 11.

Greeley, " P o l i t i c a l A t t i t u d e s a m o n g A m e r i c a n W h i t e E t h n i c s . "

T h e Transmission of Cultural

223

Heritages

likely t h a n t h e A n g l o - S a x o n s t o t h i n k t h a t t h e p r i n c i p a l c a r e e r o f a wife i s t o s u p p o r t h e r h u s b a n d ' s p u r s u i t o f h i s c a r e e r . T h e A n g l o S a x o n s w o u l d b e m o r e likely t h a n t h e I r i s h t o v a l u e i n d e p e n d e n c e for their d a u g h t e r s .

The

Irish

would

be

m o r e likely

than

the

A n g l o - S a x o n s to stress security. Similarly t h e Irish would be m o r e o p p o s e d t o w o r k i n g m o t h e r s , m o r e likely t o m a i n t a i n c o n t a c t w i t h p a r e n t s a n d i n - l a w s , m o r e likely t o r e p o r t t e n s e r e l a t i o n s h i p s w i t h p a r e n t s a n d less likely t o r e p o r t g o o d h e a l t h . Exactly the s a m e differences would be predicted between t h e Anglo-Saxons a n d the Italians, a n d in a c o m p a r i s o n between the Irish a n d Italians, o n e would expect the Irish to value i n d e p e n d e n c e for d a u g h t e r s s o m e w h a t m o r e t h a n t h e Italians, t o r e c o r d m o r e overt tension with parents t h a n the Italians a n d p e r h a p s to assert m o r e frequently that they enjoy good health. O f t h e t e n p o s s i b l e c o m p a r i s o n s i n t h e first p a n e l o f T a b l e 5 , t h e i m p o r t a n t d i f f e r e n c e s (of six p e r c e n t a g e p o i n t s o r m o r e ) a r e i n t h e e x p e c t e d d i r e c t i o n six t i m e s . I r i s h w o m e n r e s p o n d e n t s a r e i n d e e d

Fable

5.

Attitudes

toward

Family

Structure

of College

Alumnae Con-

Variable

Hypothesis

Irish a n d A n g l o - S a x o n W o m a n primarily helps husband Daughter's

Percent

Anglo-Saxon

firmed

Percent Difference

Irish 41

Yes

9

49

33

Yes

16

53

48

No

Irish

31

45

Yes

14

Irish

42

58

Yes

16

Irish

45

34

No

Irish

45

33

No

Irish

20

21

No

Irish

47

61

Yes

Anglo

27

26

No

Irish

32

Anglo Irish

independence

important Security important Working mother frequently harmful to children Principal role w i f e / m o t h e r only K e e p up relationships with parents a n d in-laws Family contacts important

a

( - H ) (-12)*

Relationship with m o t h e r was tense Relationship with father was tense H e a l t h very g o o d A' =

(838)

(163)

14

224

Table

Andrew

5.

Attitudes

toward

M.

Greeley

Family

Variable

and

Structure

Hypothesis

William

of College

C.

McCready

Alumnae

Percent

(Continued) Con-

Percent

firmed

Difference

(-12) =

Italian a n d A n g l o - S a x o n

Anglo-Saxon W o m a n primarily helps husband Daughter's

32

20

No

Anglo

49

63

No

(-14) =

Italian

53

33

No

(-20) •

Italian

31

20

No

(-11) =

Italian

42

48

No

Italian

45

52

Yes

7

Italian

45

54

Yes

9

Italian

20

18

No

Italian

47

33

No

(14) =

Anglo

27

16

Yes

9

independence

important Security

Italian

Italian

important

Working mother frequently harmful to children Principal role wife/mother only K e e p u p relationships with parents a n d in-laws Family contacts important R e l a t i o n s h i p with m o t h e r was tense Relationship with father was tense Health very good

N =

(838)

(54)

Irish a n d Italian W o m a n primarily helps husband Daughter's

Irish

Italian

Italian

41

26

No

(-15) =

Irish

33

63

No

(-30) =

Italian

48

33

No

(-15) =

Italian

45

20

No

(-25) •

Italian

58

48

No

(-10)"

Italian

34

54

Yes

20

Italian

33

52

Yes

11

Irish

21

18

No

Irish

61

33

Yes

28

Irish

26

16

Yes

10

independence

important Security important Working mother frequently harmful to children Principal role wife/mother only K e e p up relationships with parents a n d in-laws Family contacts important Relationship with m o t h e r was tense Relationship with father was tense Health very good A' =

(163)

(54)

Differences are important (more than 6 percent) in opposite of predicted direction.

The Transmission of Cultural

Heritages

225

m o r e likely t o view t h e w o m a n ' s r o l e a s a h e l p m a t e , t o p l a c e less emphasis on i n d e p e n d e n c e of daughters, to think working mothers could h a v e a b a d i m p a c t on t h e i r c h i l d r e n , to see a w o m a n ' s role primarily

that

as

wife

and

mother,

and

to

report

tense

rela-

tionships with their fathers. On the o t h e r h a n d , the differences between the

Irish a n d Anglo-Saxons on valuing frequent contacts

with f a m i l y r u n i n a d i r e c t i o n o p p o s i t e t o t h a t w h i c h w e e x p e c t e d . W e w e r e less s u c c e s s f u l i n p r e d i c t i n g d i f f e r e n c e s b e t w e e n y o u n g Anglo-Saxon a n d y o u n g Italian w o m e n . Italians a r e , as p r e d i c t e d , m o r e likely t o d i s c u s s family r e l a t i o n s h i p s a n d less likely t o r e p o r t g o o d health. T h e y a r e m o r e i n s y m p a t h y with i n d e p e n d e n c e for c h i l d r e n a n d w o r k i n g m o t h e r s a n d less likely t o s e e t h e i r r o l e a s a t r a d i t i o n a l l y f e m i n i n e o n e . T h e y a r e a l s o less likely t o r e p o r t t e n sion i n t h e i r r e l a t i o n s h i p s w i t h t h e i r f a t h e r s . I t i s q u i t e c l e a r f r o m the

second

panel

of Table

5

that

the

young

Italian-American

w o m e n in this s a m p l e do not fit in any way the s t e r e o t y p e of t h e s o u t h e r n Italian female. T h e y a r e also, as we n o t e in the t h i r d p a n e l of T a b l e 5, substantially d i f f e r e n t f r o m t h e i r I r i s h C a t h o l i c a g e p e e r s i n t h e o p p o s i t e direction to that predicted on attitudes t o w a r d the role of w o m e n . H o w e v e r , f o u r differences in the e x p e c t e d direction do exist bet w e e n t h e I r i s h a n d t h e I t a l i a n s . T h e l a t t e r a r e m o r e likely t o s t r e s s family r e l a t i o n s h i p s w h i l e t h e f o r m e r a r e b o t h m o r e likely t o c l a i m g o o d h e a l t h a n d m o r e likely t o r e p o r t t e n s i o n b e t w e e n t h e m s e l v e s a n d t h e i r f a t h e r s . T h e v e r y h i g h level o f t e n s i o n , i n c i d e n t a l l y , r e ported between

Irish d a u g h t e r s a n d their fathers is a subject to

which we h o p e to r e t u r n on a n o t h e r occasion. f a b l e 5 p r e s e n t s yet a n e w p a t t e r n o f d i v e r s i t y a m o n g t h e t h r e e ethnic g r o u p s . T h e Italian college-educated w o m e n are even m o r e likely t h a n A n g l o - S a x o n w o m e n t o h a v e b r o k e n f r o m t h e t r a d i t i o n a l view o f w o m e n ' s r o l e , w h i l e t h e I r i s h i n t h i s c a s e a r e s u b s t a n t i a l l y less " p r o g r e s s i v e . " O n t h e o t h e r h a n d , y o u n g I r i s h w o m e n a r e less likely t o v a l u e t r a d i t i o n a l family ties t h a n a r e A n g l o - S a x o n s a n d t h e A n g l o - S a x o n s , i n t u r n , a r e less likely t o v a l u e t h e m t h a n y o u n g Italian w o m e n . T h e Italians, t h e n , a r e m o r e traditional o n family ties, t h e I r i s h m o r e t r a d i t i o n a l o n t h e r o l e o f w o m e n .

226

Andrew

M.

Greeley

and

William

C.

McCready

SUMMARY OF PREDICTIONS AND TESTS OF HYPOTHESES On the whole, o u r efforts to predict differences in attitudes a n d behavior a m o n g the three American ethnic g r o u p s has been mode r a t e l y s u c c e s s f u l . O f 7 5 h y p o t h e s e s , w e h a v e b e e n r i g h t a t a statistically s i g n i f i c a n t level 3 4 t i m e s ( a s s u m i n g t h a t f o r o u r c o l l e g e a l u m n i a six p e r c e n t a g e p o i n t d i f f e r e n c e i s o n e w o r t h w r i t i n g about). On t h e o t h e r h a n d , in 18 cases (mostly d e a l i n g with e i t h e r Irish p e r s o n a l i t y o r I t a l i a n a n d I r i s h family s t r u c t u r e ) t h e r e w e r e statistically s i g n i f i c a n t ( o r n u m e r i c a l l y i m p o r t a n t ) d i f f e r e n c e s i n t h e d i r e c t i o n opposite t o t h e o n e p r e d i c t e d . W i t h t h e e x c e p t i o n o f "fatali s m " t h e I t a l i a n s w e r e basically s i m i l a r t o t h e A n g l o - S a x o n s i n personality, but different in the predicted direction from the Irish. T h e Irish, on the o t h e r h a n d , were different from the Anglo-Saxons, but in the opposite of the predicted direction. We were most successful i n p r e d i c t i n g political p a r t i c i p a t i o n , w i t h t h e I r i s h t h e m o s t politically a c t i v e a n d t h e I t a l i a n s t h e l e a s t a c t i v e , t h o u g h b o t h g r o u p s w e r e significantly d i f f e r e n t f r o m t h e A n g l o - S a x o n m e a n . T h e I r i s h w e r e r a t h e r like t h e A n g l o - S a x o n s i n t h e i r s e x u a l a t t i t u d e s a n d t h e i r d r i n k i n g b e h a v i o r , b u t t h e I t a l i a n s w e r e b o t h less likely t o d r i n k a n d m o r e likely t o b e s e x u a l l y r e s t r i c t i v e t h a n e i t h e r of the other groups, as the literature on the country of origin would h a v e led u s t o believe. T h e I r i s h , u n e x p e c t e d l y , w e r e m o r e likely t o r e s p e c t t h e d e m o c r a t i c p r o c e s s e s t h a n t h e A n g l o - S a x o n s , w h i l e t h e l a t t e r , e x p e c t e d l y , w e r e m o r e likely t o r e s p e c t s u c h p r o cesses t h a n t h e I t a l i a n s . Finally, t h e I r i s h , a s p r e d i c t e d , t o o k m o r e c o n s e r v a t i v e views o n t h e r o l e o f w o m e n t h a n t h e A n g l o - S a x o n s , b u t w e r e less " c o n s e r v a t i v e " o n family ties, w h i l e t h e I t a l i a n s w e r e less " c o n s e r v a t i v e " o n t h e r o l e o f w o m e n a n d m o r e " c o n s e r v a t i v e " o n family ties. Or to put the matter somewhat differently, on some 52 of the 75 comparisons m a d e a m o n g the t h r e e e t h n i c g r o u p s i n o u r tables, "significant" differences are to be f o u n d . If o n e k n o w s s o m e t h i n g of the culture of the countries of origin, o n e can correctly predict

T h e Transmission of Cultural Heritages

227

the direction of the difference a b o u t two thirds of the time. T h i s is a d e g r e e o f p r e d i c t a b i l i t y t h a t i s a t least s o m e w h a t s u p e r i o r t o f l i p p i n g a c o i n (in w h i c h c a s e w e w o u l d b e c o r r e c t h a l f t h e t i m e ) . H o w s u c c e s s f u l o u r e n t e r p r i s e h a s b e e n d e p e n d s o n w h a t t h e ass u m p t i o n s were with which we started. If o n e begins by believing that there are no i m p o r t a n t differences a m o n g Anglo-Saxon Americans, Irish Americans a n d Italian Americans, then o u r ent e r p r i s e will p r o d u c e a s h o c k i n g s u r p r i s e . I f o n t h e o t h e r h a n d o n e b e g i n s w i t h t h e c o n v i c t i o n t h a t o u r s i s a d i v e r s e society i n w h i c h differences a m o n g the three groups in question are to be expected on almost every variable, then the enterprise has been a disappointm e n t . T h e t r u t h s e e m s t o lie s o m e w h e r e i n b e t w e e n . T h e t h r e e g r o u p s a r e i n m a n y ways similar a n d i n m a n y ways different. If o n e begins t h e e x p l o r a t i o n with the a s s u m p t i o n that virtually all d i f f e r e n c e s t h a t d o i n fact e x i s t a m o n g t h e t h r e e e t h n i c g r o u p s being considered can be explained in terms of the cultural herit a g e s w h e n c e t h e y , o r m o r e likely t h e i r p a r e n t s o r g r a n d p a r e n t s c a m e , t h e n o u r s e a r c h h a s b e e n s o m e t h i n g less t h a n a c o m p l e t e s u c c e s s . T h e m a j o r i t y o f d i f f e r e n c e s a r e i n fact o f t h e s o r t t h a t could be p r e d i c t e d by a study of the literature of the two countries of origin, b u t a substantial minority of the differences are exactly opposite to the predictions such a literature would lead us to m a k e . On the other h a n d , if one assumes (and many commentators on A m e r i c a n life s e e m t o h a v e m a d e this a s s u m p t i o n ) t h a t t h e E u r o pean heritages of the American ethnic groups are irrelevant to an understanding of the present attitudes and behavior of such g r o u p s , o n e c a n find v e r y little c o n s o l a t i o n i n t h e tests r e p o r t e d i n this p a p e r . T h e E u r o p e a n h e r i t a g e m a y n o t b e all i m p o r t a n t , b u t i t i s still i m p o r t a n t , a n d i n d e e d , i f o n e m a y h a z a r d t h e s t a t e m e n t , probably m o r e important than most of us would have thought. T H E R E L A T I O N S H I P B E T W E E N S O C I A L CLASS, GENERATIONAL, AND ETHNIC DIFFERENCES Some

final q u e s t i o n s

need to be

asked. "Are the differences

a m o n g A m e r i c a n g r o u p s d i m i n i s h i n g a s social class d i f f e r e n c e s d i m i n i s h a n d a s t h e n u m b e r o f y e a r s t h e family h a s b e e n i n t h e

228

Andrew

M.

U n i t e d States increases?"

Greeley

1 2

and

William

C.

McCready

Tables 6 a n d 7 provide data with which

to fashion a r e s p o n s e to this q u e s t i o n . In T a b l e 6 we p r e s e n t t h e z e r o - o r d e r c o r r e l a t i o n s b e t w e e n ethnicity a n d political

participa-

tions for each of the t h r e e c o m p a r i s o n s a n d t h e n t h e s t a n d a r d i z e d c o r r e l a t i o n w i t h r e g i o n a n d e d u c a t i o n a l level h e l d c o n s t a n t . I f a n increase in e d u c a t i o n is l e a d i n g to a decline in t h e differences in political b e h a v i o r , t h e s t a n d a r d i z e d coefficient s h o u l d b e smaller t h a n t h e z e r o - o r d e r coefficient. H o w e v e r , t h e d a t a in T a b l e 6 m a k e Table

Zero-Order and Standardized

6.

Coefficients

between

Ethnicity

a n d Political Participation Standardized for Region and Education

Zero Order

Variable Irish a n d A n g l o - S a x o n Campaigning

.10

Civic participation

.03

.11

a

.04

Italian a n d A n g l o - S a x o n Campaigning

-.07

Civic participation

-.1 1

-.06

b

-.11

Irish a n d Italian Campaigning

.27 *

.28

Civic participation

.28

.31

a

Positive correlation with Irish.

b

Positive correlation with A n g l o - S a x o n .

it perfectly clear that even taking into account the regional a n d educational

differences

among

the

three

ethnic

groups,

the

dif-

ferences i n political p a r t i c i p a t i o n r e m a i n e d u n c h a n g e d . I n T a b l e 7 w e ask w h e t h e r g e n e r a t i o n i n t h e c o u n t r y ( f o r e i g n b o r n is t h e first g e n e r a t i o n , native b o r n with f o r e i g n p a r e n t s is the

second

generation,

native

born

with

native

parents

is

the

t h i r d g e n e r a t i o n ) h a s a n y effect o n p o l i t i c a l p a r t i c i p a t i o n . T h e a s similationist t h e o r y would lead us to believe that the l o n g e r t h e imm i g r a n t family i s i n t h e c o u n t r y , t h e m o r e likely i t i s t o p a r t i c i p a t e i n political activity. T h e h i g h level o f I r i s h p o l i t i c a l p a r t i c i p a t i o n a n d t h e low level o f I t a l i a n political p a r t i c i p a t i o n t h e n w o u l d b e seen as a function of the time the two i m m i g r a n t g r o u p s h a v e b e e n 12.

G . L e n s k i , The Religious Factor ( N e w Y o r k , D o u b l e d a y , 1 9 6 1 ) . S e e t h i s b o o k

f o r t h e initial f o r m u l a t i o n o f t h e s e q u e s t i o n s .

T h e Transmission of Cultural Heritages

Table

7.

C o r r e l a t i o n s b e t w e e n G e n e r a t i o n a n d Political B e h a v i o r

Variable

I rish

Italian

Jewish

Campaigning

.04

.04

.30

Civic participation

.04

.08

.34

a

229

a

A positive correlation indicates that t h e l o n g e r a res } o n d e n t ' s family has b e e n

i n t h e U n i t e d S t a t e s , t h e m o r e l i k e l y h e s to p a r t i c i p a t e

in the U n i t e d States. H o w e v e r , as T a b l e 7 m a k e s clear, t h e r e are o n l y very small c o r r e l a t i o n s b e t w e e n g e n e r a t i o n a n d political participation for t h e Italians a n d t h e Irish. H o w e v e r , so far as t h e relationship b e t w e e n g e n e r a t i o n a n d active

political

participation is

c o n c e r n e d , the assimilationist m o d e l m a y be relevant for Jewish Americans. T h e d i f f e r e n c e s b e t w e e n I r i s h a n d I t a l i a n A m e r i c a n s i n political p a r t i c i p a t i o n , i n o t h e r w o r d s , h a s v e r y little t o d o w i t h g e n e r a t i o n o r w i t h social class, a n d w h i l e t h e a s s i m i l a t i o n i s t m o d e l m a y b e t e s t e d w i t h m a n y o t h e r v a r i a b l e s , o n e c a n say w i t h s o m e c o n f i d e n c e t h a t as far as t h e relatively " h a r d " v a r i a b l e of political p a r t i c i p a t i o n is c o n c e r n e d , the differences a m o n g the Irish, the Italians a n d the A n g l o - S a x o n s s h o w no signs of g o i n g away. CONCLUDING

REMARKS

T h i s c h a p t e r b e g a n with a very simple q u e s t i o n . "Does a knowledge of the cultural heritage of an i m m i g r a n t g r o u p help us und e r s t a n d its p r e s e n t b e h a v i o r ? " O n t h e b a s i s o f t h e e v i d e n c e p r e s e n t e d , w e t h i n k i t c a n b e safely s a i d t h a t i t w o u l d b e v e r y difficult to understand the present behavior of American immigrant groups without k n o w i n g s o m e t h i n g of the cultural heritage from which they c a m e . T h e h e r i t a g e may not explain e v e r y t h i n g , but it is clear that much cannot be explained without investigating the cultural b a c k g r o u n d o f t h e c o u n t r y o f o r i g i n . T h e critical q u e s t i o n b e c o m e s not one of choosing between the culture of origin, on the one hand, and the immigration and post-immigration experiences on the other, but of asking rather how the interaction between the Old World culture a n d the New World experience shaped the p h e n o m e n o n o f A m e r i c a n e t h n i c g r o u p c u l t u r e s . W h y i n the i m m i g r a n t experience were some parts of the Old W o r l d culture ignored, others

Andrew

230

M.

Greeley

and

William

C.

McCready

rejected, others p e r h a p s vigorously reinforced a n d maintained w i t h little c o n s c i o u s e f f o r t a n d still o t h e r s v i g o r o u s l y a n d t e n a ciously r e i n f o r c e d ? T o p u t t h e m a t t e r m o r e c o n c r e t e l y , w h y d o y o u n g w o m e n o f Italian b a c k g r o u n d w h o g r a d u a t e d from college i n t h e e a r l y 1 9 6 0 s t e n d t o c l i n g t o a n O l d W o r l d view o f t h e i m p o r t a n c e o f m a i n t a i n i n g ties w i t h p a r e n t s a n d i n - l a w s , w h i l e v i g o r o u s l y a s s e r t i n g t h e m o d e r n view o f t h e r o l e o f w o m e n , w h i l e t h e I r i s h Catholic c o u n t e r p a r t s e n d o r s e exactly t h e o p p o s i t e values? Somet h i n g s t r a n g e , f a s c i n a t i n g , a n d a s social s c i e n c e c o n c e r n s g o , q u i t e possibly i m p o r t a n t h a s h a p p e n e d i n t h e s o c i a l i z a t i o n e x p e r i e n c e s o f t h o s e girls a n d t h e i r p a r e n t s a n d t h e i r g r a n d p a r e n t s s i n c e t h e i r families left b e h i n d t h e s u n - d r e n c h e d hills o f Sicily o r C a l a b r i a a n d the soggy peat bogs of Clare, Kerry, or Mayo.

APPENDIX Scales

1.

Used

in

Personality

This

Study

Scales

T h e seven personality measures used r e p r e s e n t e d a n u m b e r of the factors that e m e r g e d from a battery of 57 items. We p r e s e n t below the items which had a factor loading of over .200 for each scale. Conforming

According to y o u r general impression, how often do your ideas a n d opinions a b o u t i m p o r t a n t matters differ from those of your relatives? How often do y o u r ideas and opinions differ from those of your friends? How about from those of o t h e r people with y o u r religious background? How about from those of most people in the country? How often do you feel that you can't tell what o t h e r people a r e likely to d o , at times w h e n it matters? Anxious

I feel useless at times. At times I think I am no good at all.

T h e Transmission of Cultural Heritages

231

On t h e whole I think I am quite a h a p p y person. H o w often do you feel that t h e r e isn't m u c h p u r p o s e in being alive? H o w often do you find that you can't get rid of some t h o u g h t or idea that keeps r u n n i n g t h r o u g h y o u r h e a d ? H o w frequently do you find yourself anxious or worrying a b o u t something? How often do you find yourself c o u n t i n g u n i m p o r t a n t things, such as t h e n u m b e r of cars passing by? H o w often do you find that you a r e really enjoying yourself? H o w often do you feel b o r e d with everything? H o w often do you feel powerless to get what you want o u t of life? H o w often do you feel so restless that you c a n n o t sit still? H o w often do you feel that the world j u s t isn't very u n d e r s t a n d a b l e ? H o w often do you feel downcast a n d dejected? H o w often do you feel that you a r e a b o u t to go to pieces? H o w often do you feel guilty for having d o n e s o m e t h i n g w r o n g ? H o w often do you feel uneasy a b o u t s o m e t h i n g without knowing why? Authoritarian Y o u n g people should not be allowed to r e a d books that confuse them. In this complicated world t h e only way to know what to do is to rely on leaders a n d e x p e r t s . People who question the old a n d accepted ways of d o i n g things usually j u s t e n d u p causing trouble. T h e r e a r e two kinds of people in t h e world, t h e weak a n d the s t r o n g . Prison is too good for sex criminals; thev should be publicly w h i p p e d or worse. T h e most i m p o r t a n t thing to teach children is absolute o b e d i e n c e to their p a r e n t s . No decent m a n can respect a w o m a n w h o has had sex relations before m a r r i a g e . MoraUsm W h e n you get right down to it, no o n e cares m u c h what h a p p e n s to you. If s o m e t h i n g works, it doesn't m a t t e r w h e t h e r it's right or w r o n g . It's all right to get a r o u n d t h e law as long as you don't actually b r e a k it. O n c e I've m a d e up my mind I seldom c h a n g e it. You should obey y o u r superiors w h e t h e r or not you think they a r e right.

232

Andrew

M.

Greeley

and

William

C.

McCready

It's all right to do a n y t h i n g you want if you stay o u t of trouble. It generally works o u t best to k e e p d o i n g things the way they have been d o n e before. Do you believe that it's all right to do whatever t h e law allows, or a r e t h e r e some things that are w r o n g even if they are legal? Fatalism

To what e x t e n t would you say you a r e to blame for t h e p r o b l e m s you have—mostly, partly, hardly at all? Do you feel that most of t h e things that h a p p e n to you a r e the results of y o u r own decisions or things over which you have no control? W h e n things go w r o n g for you, how often would you say it's y o u r own fault? H o w often do you feel that you a r e really enjoying yourself? H o w often do you feel b o r e d with everything? H o w often do you feel guilty for having d o n e s o m e t h i n g wrong? Trust

It's all right to get a r o u n d the law so long as you d o n ' t actually break it. H u m a n n a t u r e is really cooperative. You should be able to obey your s u p e r i o r s w h e t h e r or not you think they a r e right. If you don't watch out, people will take a d v a n t a g e of you. Do you think most people can be trusted? How often do you feeLthat you can't tell what o t h e r people a r e likely to d o , at times w h e n it matters? Independence

for

Children

(Positive loadings) Considerate of o t h e r s Interested in how a n d why things h a p p e n Responsible Self-control Good sense a n d s o u n d j u d g m e n t (Negative loadings) Good m a n n e r s Neat and clean Good s t u d e n t Obey his p a r e n t s

The Transmission of Cultural

2.

Political

Participation

Heritages

233

Variables

T h e voting variable was composed of four items: voting in t h e last two presidential elections, last .congressional election, frequency of voting in local elections. T h e campaigning scale was c o m p o s e d of four items: a t t e n d i n g political meetings, c o n t r i b u t i n g m o n e y to a c a m p a i g n , working for a candidate, trying to p e r s u a d e o t h e r s to vote for a c a n d i d a t e . T h e communal (or civic) scale was c o m p o s e d of items indicating m e m bership in civic organizations and w o r k i n g for c o m m u n i t y "improvement." T h e particularized contact scale was c o m p o s e d of two items indicating direct a p p r o a c h to public officials either in p e r s o n or t h r o u g h mail. 3 . Moral

Items

T h e items in the drink scale were: I neglect my r e g u l a r meals when I am d r i n k i n g . L i q u o r has less effect on me t h a n it used to. I awaken next day n o t being able to r e m e m b e r some of the things I had d o n e while I was d r i n k i n g . I d o n ' t n u r s e my d r i n k s ; I toss t h e m d o w n pretty fast. I stay intoxicated for several days at a time. O n c e I start d r i n k i n g it is difficult for me to stop before I b e c o m e completely intoxicated. W i t h o u t realizing what I am d o i n g , I e n d up d r i n k i n g m o r e than I had p l a n n e d to. T h e items in the drunk scale were: H a s an e m p l o y e r ever fired you or t h r e a t e n e d to fire you if you did not cut down or quit d r i n k i n g ? Has y o u r spouse ever left you or t h r e a t e n e d to leave you if you didn't d o s o m e t h i n g about y o u r drinking? Has your spouse ever complained that you s p e n d too much money on alcoholic beverages? H a v e you ever been picked up or arrested by t h e police for intoxication or o t h e r charges involving alcoholic beverages? Has your physician ever told you that d r i n k i n g was injuring your health? T h e permissiveness for men items w e r e : I believe that kissing is acceptable for t h e male before marriage w h e n he is e n g a g e d to be m a r r i e d . I believe that kissing is acceptable for the male before marriage when he is in love.

234

Andrew

M.

Greeley

and

William

C.

McCready

I believe that kissing is acceptable for the male before m a r r i a g e when he feels s t r o n g affection for his p a r t n e r . I believe that kissing is acceptable for t h e male before m a r r i a g e even if he does not feel particularly affectionate toward his p a r t n e r . I believe that petting is acceptable for t h e male before m a r r i a g e when he is e n g a g e d to be m a r r i e d . I believe that petting is acceptable for t h e male before m a r r i a g e when he is in love. I believe that petting is acceptable for t h e male before m a r r i a g e when he feels s t r o n g affection for his p a r t n e r . I believe that petting is acceptable for the male before m a r r i a g e even if he does n o t feel particularly affectionate toward his p a r t n e r . I believe that full sexual relations a r e acceptable for the male before m a r r i a g e w h e n he is e n g a g e d to be m a r r i e d . I believe that full sexual relations a r e acceptable for the male before m a r r i a g e when he is in love. I believe that fuii sexual relations a r e acceptable for the male before m a r r i a g e w h e n he feels strong affection for his p a r t n e r . I believe that full sexual relations a r e acceptable for the male before m a r r i a g e even if he does not feel particularly affectionate toward his partner. ( T h e w o m e n items were the same with "female" substituted for "male.") 4.

Democratic

Processes

T h e items in t h e democratic process scale were: If the g o v e r n m e n t makes a decision that most people think is a good o n e , do you think o t h e r people should be allowed to criticize it—always, sometimes, or never? Do you think people should be allowed to circulate petitions to ask the g o v e r n m e n t to act on some issue, always, sometimes, or never? Do you think people should be allowed to vote even if they a r e not well i n f o r m e d a b o u t the issues—always, sometimes, or never?

BIBLIOGRAPHIC

REFERENCES

Ireland A r e n s b e r g , C, a n d

K i m b a l l , S.

T . Family and Community i n Ireland.

Cambridge,

Harvard University Press, 1948. Jackson,

Kenneth

H.

The

Oldest

Irish

Tradition:

A

bridge, C a m b r i d g e University Press, 1964.

Window

on

the

Iron

Age.

Cam-

T h e Transmission of Cultural

Heritages

235

H u m p h r e y s , A l e x a n d e r . The New Dubliners. N e w Y o r k , F o r d h a m U n i v e r s i t y P r e s s , 1966. L a r k i n , E m m e t . " D e v o t i o n a l R e v o l u t i o n i n I r e l a n d , 1 8 5 0 - 1 8 7 5 , " The American Historical Review, 7 7 . 3 ( J u n e 1 9 7 2 ) , 6 2 5 - 6 5 2 . M a c L y s a g h t , E d w a r d . Irish Life in the Seventeenth Century. C o u n t y C o r k , C o r k U n i versity Press, 1950. M e s s e n g e r , J. C. "Sex a n d Repression

in an

Irish

Folk C o m m u n i t y , " in D. S.

M a r s h a l l a n d R o b e r t S u g g s , e d s . , Human Sexual Behavior.

N e w York, Basic

Books, 1970. M e s s e n g e r , J o h n C . Inis Beag, Isle o f Ireland. N e w Y o r k , H o l t , R i n e h a r t a n d W i n ston, 1969. S t e i n , R i t a . Disturbed Youth and Ethnic Family Patterns. A l b a n y , N e w Y o r k S t a t e U n i versity Press, 1 9 7 2 . Italy Banfield,

E d w a r d . The Moral Basis

of a

Backward Society.

New

York, T h e

Free

Press, 1958. C h a p m a n , G . C . Milocca: A Sicilian Village. C a m b r i d g e , S c h e n c k m a n , 1 9 7 1 . C r o n i n , C o n s t a n c e . " T h e Sicilians." U n p u b . diss. University o f C h i c a g o , 1 9 7 1 . H a n d l i n , O . The Uprooted.

B o s t o n , Little, B r o w n , 1 9 5 1 .

I a n n i , F r a n c i s J . , w i t h E . R . l a n n i . A Family Business. N e w Y o r k , R u s s e l l S a g e , 1 9 7 2 . P a r s o n s , A n n . Belief, Magic and Anomie. N e w Y o r k , T h e F r e e P r e s s , 1 9 7 0 . S t e i n , R i t a . Disturbed Youth and Ethnic Family Patterns. A l b a n y , S U N Y P r e s s , T o m a s i , L y d i o . The Italian-American Family. ies, 1972.

1971.

N e w York, Center for Migration Stud-

8

S c "J-/.

fl'/(''

J>:

MARTIN KILSON

Blacks and Neo-Ethnicity in American Political Life

I n t h e p a s t d e c a d e o n l y a f e w A m e r i c a n c u l t u r a l g r o u p s h a v e escaped the influence of neo-ethnicity. Irish, Italians, Jews, Negroes, Poles

and

middle-class either

the

Americans)

or

ample,

Irish

even

Protestants—especially

Protestants—have revilalization

of

the

rehabilitation

Catholics,

weak

ethnic of

fews,

been

working-class

affected.

By

collectivities

dwindling

(for

ethnic

and

neo-ethnicity

lower I

example,

cohesiveness

mean Negro

(for

ex-

Italians).

N e g r o A m e r i c a n s initiated the c u r r e n t flurry of neo-ethnicity in A m e r i c a n p o l i t i c a l life. T h e y d i d s o , i r o n i c a l l y , i n a p e r i o d w h e n , f o r t h e w h i t e m a j o r i t y , t h e t r a d i t i o n a l p a t t e r n o f e t h n i c i t y w a s ju>_ t e n u a t i n g N , C o m p a r e d w i t h t w o g e n e r a t i o n s a g o , all m a j o r w h i t e ethnic g r o u p s a r e e x p e r i e n c i n g significant a t t e n t u a t i o n of their e t h nic

cohesiveness.

More Jews

marry

gentiles,

more

Protestants

m a r r y Catholics, m o r e Irish m a r r y Italians, a n d m o r e whites m a r r y Orientals a n d N e g r o e s t h a n a t a n y p e r i o d i n m o d e r n A m e r i c a n history. Religion, a central attribute in the h o l d of ethnic constraints u p o n i n d i v i d u a l c h o i c e , h a s likewise w e a k e n e d . For Afro-Americans,

the

formal attributes of their distinctive

cultural p a t t e r n s , such as religion, h a v e also b e e n in decline. B u t Note:

I

am

indebted

to

the

Ford

Foundation,

and

especially

its

president,

M c G e o r g e B u n d y , for financial assistance w h i c h h e l p e d s u p p o r t the research o n w h i c h this p a p e r rests.

N a t h a n G l a z e r a n d A r t h u r M a a s s , a s w e l l as m y w i f e ,

Marion Dusser de B a r e n n e Kilson, read the p a p e r in manuscript and provided me with invaluable c o m m e n t s .

Blacks a n d Neo-Ethnicity in America

237

the salient factor in N e g r o b e h a v i o r is r a t h e r the historical refusal by white s u p r e m a c i s t A m e r i c a n society to accord N e g r o e s a quality of ethnic characterization comparable to that accorded white ethnic g r o u p s . T h e _ ^ e 2 v _ W a c k _ e d r n i c i ^ _ i s , t h e n , initially a n e f f o r t t o U jj

r e d r e s s this i n f e r i o r e t h n i c c h a r a c t e r i z a t i o n . W h a t is m o r e — a n d

"

w h a t l e n d s a s p e c i a l f o r c e toj_black_ n ^ o ^ e t h n i c i t y ^ N e g r o e s t h e m selves s h a r e t h e b e l i e f t h a t i n s o m e basic w a y , t h e y d o n o t p o s s e s s a full m e a s u r e o f e t h n i c a t t r i b u t e s ^ an ethnocentric namic,

both

1

T h i s gives b l a c k n e o - e t h n i c i t y , a s

revj]alizj^jgai_iBQyfin>ent,

within

the

Afro-American

a c o m p l e x conflict d y subsystem

and

between

blacks a n d whites. A m o n g b l a c k s t h e r e i s a v a r i a b l e view o f t h e i n f e r i o r e t h n i c characterization.

II y

a

negre

el

negre:

s o m e blacks have a qualified

self-doubt about their ethnicity a n d are thus capable of i n f o r m i n g t h e m o v e m e n t o f black e t h n o c e n t r i c revitalization/with m o r e t h a n identity-fulfilling p u r p o s e s or goals—especially with p o w e r - m u s t e r i n g g o a l s . O t h e r b l a c k s ( t h e vast m a j o r i t y ) i n f e c t e d w i t h s e l f - d o u b t seek

through

the

movement

of e t h n o c e n t r i c revitalization

thor-

o u g h g o i n g identity-re-formation, catharsis, and therapeutic benefits. T h i s situation shapes the major cleavages that have characteri z e d n e o - e t h n i c i t y i n A m e r i c a n p o l i t i c a l life i n t h e p a s t d e c a d e . A m o n g blacks it has p r o d u c e d a m o d e r a t e - m i l i t a n t cleavage w h i c h , i n t u r n , h a s h a d a s i g n i f i c a n t i m p a c t u p o n t h e political c h a r a c t e r istics o f w h i t e n e o - e t h n i c i t y . T h e militants i n t h e black e t h n o c e n t r i c m o v e m e n t t e n d t o influence those aspects of the m o v e m e n t that a r e readilv perceived by t h e w h i t e m a j o r i t y — p a r t i c u l a r l y its a n t i - w h i t e a t t r i b u t e s . T h e militants d e t e r m i n e , therefore, the n a t u r e of the black-white polarizat i o n t h a t h a s a c c o m p a n i e d t h e r i s e o f b l a c k n e o - e t h n i c i t y . T h e formation

of a

white

neo-ethnicity

thus

acquires

a

rationale

for

militancy (largely a n t i - N e g r o ) t h a t m i g h t o t h e r w i s e be h a r d e r to d e v e l o p . T h r o u g h o u t t h e 1950s a n d early 1960s t h e traditional fervor of white anti-Negro attitudes h a d attenuated somewhat, even t h o u g h a r e s t r a i n e d f o r m of black assertion h a d a p p e a r e d u n d e r 1.

For the classic s t u d y of t h e N e g r o ' s n e g a t i v e or inferior characterization of

black ethnicity, see K e n n e t h Press, 1955).

B . C l a r k , Prejudice and Your Child ( B o s t o n , B e a c o n

'

Martin

238

Kilson

Dr. Martin L u t h e r King's l e a d e r s h i p from the late 1950s to the m i d d l e 1 9 6 0 s . B u t f r o m 1 9 6 6 o n w a r d w i t h t h e rise o f a fullfledged anti-white m o v e m e n t of black e t h n o c e n t r i c revitalizatibn, militant a n d violent, the f o r m a t i o n of a militant white neo-ethnicity, a n t i - N e g r o i n o u t l o o k , b e c a m e p o s s i b l e , j 2

T h e m o d e r a t e section o f the black m o v e m e n t — c o m p r i s i n g some established bourgeois blacks, a l o n g with t h e e n t r e p r e n e u r i a l a n d political s e c t o r s o f t h e n e w c o m e r s t o t h e b l a c k e l i t e s — c o u l d n o t prevail over the militants in the years following the m u r d e r of Dr. K i n g b y a w h i t e assassin. O r r a t h e r t h e r e w a s a s i g n i f i c a n t l e a d - t i m e before the m o d e r a t e section could redefine t h e b e h a v i o r of the r e v i t a l i z a t i o n m o v e m e n t a l o n g political ( u n i v e r s a l i s t i c ) r a t h e r t h a n p u r e l y e t h n o c e n t r i c (particularistic) lines. T h i s redefinition asserted its p r e s e n c e i n 1 9 7 0 a n d i s c u r r e n t l y a s c e n d a n t . Paradoxically, at the point w h e r e t h e black e t h n o c e n t r i c movem e n t is j n j r a n s i t i o n to_a_pj3litical_rather t h a n m a i n l y p a r t i c u l a r i s t i c m o v e m e n t , w h i t e n e o - e t h n i c i t y i s a c q u i r i n g its o w n p a r t i c u l a r i s t i c (ritualistic a n t i - b l a c k ) a t t r i b u t e s . E q u a l l y i r o n i c , w h e r e a s t h e f e d e r a l government u n d e r the Kennedy-Johnson administrations aided t h e t r a n s f o r m a t i o n o f b l a c k n e o - e t h n i c i t y f r o m a ritualistically a n t i w h i t e m o v e m e n t t o a political m o v e m e n t ( o r p u t a n o t h e r way, aided the ascendance of the m o d e r a t e s over the militants in the black m o v e m e n t ) , the federal g o v e r n m e n t u n d e r Richard N i x o n has played a different role with r e g a r d to white neo-ethnicity, s h a r p e n i n g its p a r t i c u l a r i s t i c a t t r i b u t e s vis-a-vis b l a c k s . I n d e e d , n o s m a l l p a r t o f t h e n e o - c o n s e r v a t i v e political r e a l i g n m e n t w h i c h h a s p r o v i d e d s u p p o r t f o r t h e R e p u b l i c a n a d m i n i s t r a t i o n s since 1968 w a s p r o d u c e d i n this f a s h i o n . 3

N A T I O N A L POLITICS AND BLACK E T H N I C I T Y R i c h a r d N i x o n ' s e l e c t i o n i n 1 9 6 8 p r e p a r e d t h e w a y for a f u n d a m e n t a l redefinition of t h e relationship of national institutions—especially the federal g o v e r n m e n t — t o the m o v e m e n t of 2. See (Winter

Paul

B.

Sheatsley, "White Attitudes toward the

N e g r o , " Daedalus

95

1966), 2 1 7 - 2 3 2 .

3 . Cf. G a r y J a c o b s o n , " R a c e b y A n y O t h e r N a m e . " Social Policy ( J u l y - A u g u s t 1973), 3 6 - 4 1 .

Blacks a n d Neo-Ethnicity in A m e r i c a

239

black e t h n o c e n t r i c revitalization. U n d e r t h e K e n n e d y - J o h n s o n a d m i n i s t r a t i o n s t h e f e d e r a l g o v e r n m e n t w a s s y m p a t h e t i c t o t h e political g o a l s o f t h e m o v e m e n t a s d e f i n e d b y its m o d e r a t e s e c t o r . T h e appointment of Dr. Robert Weaver, a Negro, to President J o h n son's cabinet, the a p p o i n t m e n t by L y n d o n J o h n s o n of T h u r g o o d Marshall, a N e g r o , to the S u p r e m e Court, the Economic O p p o r t u nity A c t o f 1 9 6 4 , t h e Civil R i g h t s A c t o f 1 9 6 4 , a n d t h e V o t i n g R i g h t s A c t o f 1 9 6 5 all a d d e d u p t o a n u n p r e c e d e n t e d a l i g n m e n t o f n a t i o n a l political p r o c e s s e s w i t h t h e n e e d s — s y m b o l i c a s well a s s u b stantive—of Afro-Americans. Within two years of the 1968 election, t h e N i x o n a d m i n i s t r a t i o n began a fundamental redefinition of the relationship between the federal g o v e r n m e n t a n d N e g r o e s . T h e W a r o n P o v e r t y was t r e a t e d a s a c a r r y - o v e r f r o m t h e K e n n e d y - J o h n s o n e r a , n o t a s a policy o f intrinsic value.

4

I t w a s killed o u t r i g h t a f t e r t h e 1 9 7 2 e l e c t i o n . T h e

N i x o n a d m i n i s t r a t i o n f o r m u l a t e d policies w h i c h attacked violence a n d r i o t s a s s u c h , r e g a r d l e s s o f t h e i r social c a u s e s a n d t h e i r r o o t s i n t h e racist p a t t e r n s o f b l a c k - w h i t e r e l a t i o n s h i p s . I t l a u n c h e d , i n fact, a veritable anti-crime c r u s a d e . However, o n e u n i n t e n d e d result of this was a modification of white A m e r i c a n s '

perceptions of the

b l a c k s ' political g o a l s i n c u l t u r a l t e r m s . T h u s i n t h e e y e s o f m i l l i o n s o f w h i t e s — p e r h a p s a m a j o r i t y — s u c h g o a l s o f b l a c k m i l i t a n t s a s cessation of police brutality, c o m m u n i t y c o n t r o l of police, prison r e form, e x p a n d e d welfare coverage, g o v e r n m e n t responsibility for reducing Negro unemplovment, and so on, were no longer to be t r e a t e d a s l e g i t i m a t e p o l i t i c a l issues d e s e r v i n g a c t i o n b y political decision makers. Instead, these goals b e c a m e in s o m e sense intrinsically

Negro

goals,

hence

un-American. T h r o u g h

t h e m millions o f

N e g r o e s s o u g h t t o c o n t i n u e a life o f c r i m e , a v o i d a p p r e h e n s i o n b y officers o f t h e law, f r e e l o a d o n w e l f a r e a g e n c i e s , a n d e v a d e h o n e s t labor—or, in Nixon's t e r m , shirk responsibility to the "work ethic." T h u s t h r o u g h a process that might b e called

ethnicization

o f racial

perceptions the Nixon administration has helped attach to Afro4.

An e x c e p t i o n to this was P r e s i d e n t N i x o n ' s a b o r t i v e p r o g r a m for a g u a r a n -

t e e d i n c o m e , c o n c e i v e d by a liberal presidential a d v i s e r , D a n i e l P. M o y n i h a n . S e e Daniel 1973).

P.

M o y n i h a n , The Politics of a Guaranteed Income

( N e w York, Basic Books,

Martin

240

Kilson

Americans a variant of an ethnic label—albeit negative in charact e r . B u t t h i s d i d n o t significantly m o d i f y w h i t e p e r c e p t i o n s f o r few whites a c c o r d N e g r o e s those positive societal a n d cultural attributes a s s o c i a t e d w i t h t h e t e r m " e t h n i c g r o u p s " — a t t r i b u t e s that attract historical celebration in time, ancestry, and heritage. I t will r e q u i r e t h e g r o w i n g political influence o f t h e m o v e m e n t o f black e t h n o c e n t r i c renascence, aided by Democratic administrations, before whites jgrudgingly accord blacks the cultural r e g a r d given an "ethnic group."

LEGITIMATION OF ETHNICITY T h e p o w e r - m u s t e r i n g dimension of ethnicity a p p e a r s to e n d o w it w i t h l e g i t i m a c y i n A m e r i c a n life. S o c i a l g r o u p l e g i t i m a t i o n i n A m e r i c a n s o c i e t y — e s p e c i a l l y f o r n o n - W A S P social g r o u p s — i s inc o m p l e t e until the ethnic d i m e n s i o n s have realized, t h r o u g h whatever mechanisms, their.^owerj-j^atingTcapaMity. Negroes, Ameri c a n I n d i a n s , a n d S p a n i s h - s p e a k i n g g r o u p s a r e t h e last sizable e t h n i c g r o u p s t o u n d e r g o this t r a n s i t i o n t o l e g i t i m a c y . W h a t has d e p r i v e d A f r o - A m e r i c a n s of this essential a t t r i b u t e of v i a b l e social s t a t u s i n A m e r i c a n life h a s b e e n t h e a u t h o r i t a r i a n r e strictions u p o n political p a r t i c i p a t i o n . F o r a s R o b e r t M e r t o n has t a u g h t u s , e f f e c t i v e political p a r t i c i p a t i o n — e s p e c i a l l y t h r o u g h city political m a c h i n e s , that special f o r m o f political o r g a n i z a t i o n — p r o v i d e s A m e r i c a n social g r o u p s b o t h m a n i f e s t a n d l a t e n t f u n c t i o n s . T h e l a t e n t f u n c t i o n s o f p o l i t i c a l m a c h i n e s a r e , i n fact, o f m o r e salience to the l o n g - r u n institutionalization of ethnic g r o u p s t h a n t h e m a n i f e s t functions such as political i n f o r m a t i o n a n d vot5

5.

T h e d y n a m i c s o f a n t i - N e g r o a u t h o r i t a r i a n i s m i n A m e r i c a n politics, both o u t -

side a n d within the S o u t h , h a s yet t o r e c e i v e a d e q u a t e a t t e n t i o n f r o m social scientists. Parties a n d p o l i c e s y s t e m s h a v e b e e n t h e m a i n i n s t r u m e n t s o f this a u t h o r i tarianism. S o m e material on the role of police systems is f o u n d in G u n n a r Myrdal, A n American Dilemma Westley,

(New

Violence and

York,

Harper,

the Police: A

( C a m b r i d g e , M I T Press,

1 9 4 4 ) , a n d especially in William

Sociological Study

of Law,

Custom,

A.

and Morality

1970), which has excellent data on the Gary, Indiana,

police system's a n t i - N e g r o behavior in the

1930s and

1 9 4 0 s . T h e classic s t u d y o f

the constraints of the lily-white party system of the S o u t h on N e g r o participation, t h o u g h f a r f r o m a d e q u a t e , is V. O. K e y , Southern Politics in Stale and Nation ( N e w York, Knopf,

1949).

Blacks a n d Neo-Ethnicity in A m e r i c a

241

6

i n g . T h e Irish. J e w s , Poles, Italians, a n d o t h e r s realized b o t h the substantive a n d symbolic m e a n s of l e g i t i m a t i o n by u s i n g political m a c h i n e s t o politicize ethnicity. N o small p a r t o f t h e political strate g i e s o f t h e s e social g r o u p s i n A m e r i c a n cities i n t h e e r a 1 8 7 0 s t o 1940s was d i r e c t e d to this p u r p o s e . 7

T h e weak opposition from the Protestant majority is f u n d a m e n tal t o t h e l e g i t i m a t i o n o f e t h n i c i t y . I t a l l o w s social g r o u p s w h o m Protestants perceive as highly alien to gain s o m e attributes of p o w e r t h r o u g h w h a t m i g h t b e called e t h n i c r e n o v a t i o n . W h y the relatively w e a k P r o t e s t a n t o p p o s i t i o n ? First, for m u c h of t h e Protestant leadership—especially on the East Coast—the greater timed e p t h a n d t h u s , i f y o u will, t h e d e e p e r social h e r i t a g e o f P r o t e s tants e n a b l e s t h e m to e n t e r t a i n f e w e r status anxieties. B u t this h a r d l y applies t o t h e vast majority o f P r o t e s t a n t s . T h e s u b - e t h n i c diversity o f the P r o t e s t a n t g r o u p — o n the surface u n i m p o r t a n t b u t actually p r o f o u n d (for e x a m p l e , f u n d a m e n t a l i s t Christian versus cosmopolitan Christian, Southern WASPs versus Northern, and so o n ) — r e s t r i c t s t h e P r o t e s t a n t c a p a c i t y f o r a u n i f i e d political r e sponse. T h i s , a m o n g o t h e r things, explains t h e failure o f the major national effort by Protestants to c u r b the legitimation of ethnicity by a l i e n social g r o u p s — t h e P r o h i b i t i o n m o v e m e n t i n t h e 1 9 2 0 s . 8

B u t w h e n t h e a l i e n social g r o u p s p u s h t o o h a r d a n d fast in legiti m a t i n g e t h n i c i t y t h r o u g h political m a c h i n e s — a s t h e y d i d m o s t n o tably with t h e n o m i n a t i o n of an Irish C a t h o l i c p r e s i d e n t i a l cand i d a t e for t h e D e m o c r a t i c p a r t y in 1 9 2 8 — t h e P r o t e s t a n t majority s u r m o u n t s its s u b - e t h n i c d i v i s i o n s . I n 1 9 2 8 i t s q u a s h e d t h e b i d b y t h e " a l i e n " social g r o u p s f o r t h e full c o m p l e m e n t , s u b s t a n t i v e l y a n d symbolically, of national p o w e r . Ironically, t h e failure of Alfred S m i t h ' s c a n d i d a c y w a s o f l o n g - r u n s i g n i f i c a n c e t o political stability. I n t h e d e p r e s s i o n o f t h e 1 9 3 0 s t h e a l i e n social g r o u p s w e r e t o p r o v e of major i m p o r t a n c e in t h e victory of a reformist Democratic

6. S e e R o b e r t K. M e r t o n , Social Theory and Social Structure ( G l e n c o e , T h e F r e e Press, 1949). 7. C f . H a r o l d Z i n k , City Bosses in the United States ( D u r h a m , D u k e U n i v e r s i t y Press,

1 9 3 0 ) . Cf. O s c a r H a n d l i n , The Uprooted ( B o s t o n , L i t t l e , B r o w n ,

1951).

8. Cf. D a v i d B u r n e r , The Politics of Provincialism: The Democratic Party in Transition, 1918-1932 ( N e w Y o r k , K n o p f ,

1968), pp. 9 5 - 9 6 , passim.

242

Martin

Kilson

administration, j o i n e d of course by i m p o r t a n t s e g m e n t s of Protestant voters w h o s h a r e d with the Irish, Poles, J e w s , Italians, a n d so o n , a c o m m o n lot o f e c o n o m i c a n d social d i s l o c a t i o n . H a d t h e Smith candidacy succeeded in 1928 a n d b e e n followed by the depression, it is doubtful that the Protestant majority—despite the d e p r e s s i o n — w o u l d have s u p p o r t e d a reformist regime in 1932. T h e anxieties g e n e r a t e d by a Smith victory, I suggest, w o u l d have b e e n seen by t h e Protestant majority as a p r e m a t u r e p o w e r outc o m e of the politicization of ethnicity by n o n - P r o t e s t a n t g r o u p s . In 9

a

word,

response—a

a

premature

backlash,

power

if you

consolidation will—by

the

of

ethnicity

majority

provokes social

a

normalcy

groups.

T h e N i x o n victories in 1968 a n d 1972 a r e n o t dissimilar in funct i o n t o t h e H o o v e r v i c t o r y i n 1 9 2 8 . T h e r e l a t i v e l y s u c c e s s f u l politicization of black ethnicity t h r o u g h t h e aid of t h e federal (not the local) c o m p o n e n t s o f A m e r i c a n politics i n t h e K e n n e d y - J o h n s o n e r a w a s p e r c e i v e d b y t h e m a j o r i t y w h i t e social g r o u p s a s a p r e m a t u r e consolidation of ethnicity. It is ironic that a m o n g the majority w h i t e social g r o u p s a r e f o r m e r l y s t i g m a t i z e d e t h n i c g r o u p s like I r i s h , P o l e s , I t a l i a n s , a n d J e w s ; b u t this d o e s n o t affect t h e i r p e r c e p t i o n . I n fact, t h i s p e r c e p t i o n i s i n t e n s i f i e d b e c a u s e N e g r o e s a r e the most stigmatized o r alien o f A m e r i c a n e t h n i c g r o u p s . T h e u k r a - s t i g m a t i z a t i o n o f b l a c k s , m o r e o v e r , r e d u c e s t h e c h a n c e o f eit h e r e m p a t h y o r p l a i n objectivity i n w h i t e s ' p e r c e p t i o n o f t h e i r p l i g h t . T h u s a H a r r i s Poll i n D e c e m b e r 1 9 7 2 s h o w s o n l y 4 0 p e r c e n t of whites agreeing that Negroes are discriminated against in t e r m s o f " g e t t i n g full e q u a l i t y , " a n d e v e n a s m a l l e r p r o p o r t i o n ( 3 8 p e r c e n t ) c o n s i d e r N e g r o e s d i s c r i m i n a t e d a g a i n s t i n t h e "wayt r e a t e d a s h u m a n b e i n g s . " (See T a b l e 9.) T h e 1968 a n d 1972 presidential elections w e r e s h a p e d i n n o s m a l l w a y b y t h i s s i t u a t i o n . N i x o n s t r a t e g i s t s c o n c e i v e d t h e 1972 c a m p a i g n partly as a subtle attack not only u p o n the p r e m a t u r e p o w e r c o n s o l i d a t i o n o f b l a c k e t h n i c i t y b u t o n its l e g i t i m a c y . I n t h e m i n d s of millions of whites, N i x o n identified black ethnicity with a life o f c r i m e , w e l f a r e f r e e l o a d i n g , a n d e v a s i o n o f t h e " w o r k e t h i c . " T h i s was not w i t h o u t influence u p o n t h e o u t c o m e o f the elections; 9.

Cf. I b i d . , c h a p s . 8 - 9 .

Blacks a n d Neo-Ethnicity in A m e r i c a

243

v o t e r s o f f o r m e r l y s t i g m a t i z e d e t h n i c g r o u p s like J e w s , I r i s h , I t a l i a n s , a n d P o l e s v o t e d o n e o f few t i m e s i n t w o g e n e r a t i o n s b e t w e e n 4 0 - 6 0 percent Republican. For blacks, t h e n , t h e r o u t e to a g r e a t e r p o w e r c o n s o l i d a t i o n o f t h e i r e t h n i c i t y will, like o t h e r t r a n s f o r m a t i o n s t h e y face i n A m e r i c a n life, b e s i g n i f i c a n t l y m o r e difficult t h a n t h e c o m p a r a b l e e x p e r i e n c e o f w h i t e social g r o u p s .

1 0

BLACK ETHNIC LEGITIMATION: CONCEPTUAL N O T E U n l i k e t h e e t h n i c i t y o f w h i t e social g r o u p s , b l a c k e t h n i c i t y l a c k e d u n t i l r e c e n t l y t h e q u a l i t y o f a u t h e n t i c i t y — t h a t is, a t r u e a n d v i a b l e h e r i t a g e , u n q u e s t i o n a b l e i n its c a p a c i t y t o s h a p e a n d s u s t a i n a c o h e sive i d e n t i t y o r a w a r e n e s s . A n t i - A f r i c a n a t t i t u d e s , w i d e s p r e a d a m o n g most Afro-Americans until recently, were f u n d a m e n t a l to this s i t u a t i o n . T h u s b l a c k e t h n i c i t y h a s t h e s t a t u s i n A m e r i c a n s o ciety o f a c u r i o u s l y d e p e n d e n t c u l t u r a l c l u s t e r : i t b o r r o w s f r o m w h i t e society m u c h , t h o u g h b y n o m e a n s all, o f its c u l t u r e - j u s t i f y i n g ingredients. I n d e e d , R a l p h Ellison s u g g e s t s p e r s u a s i v e l y t h a t , o w i n g t o close b l a c k - w h i t e c u l t u r a l i n t e r d e p e n d e n c e , t h i s m i g h t remain the crux of the Afro-American's plight. A n d perhaps too o f o t h e r blacks i n t h e i d i a s p o r a ^ 1 1

1 2

1 3

4

I n o r d e r t o g a i n g r e a t e r viability, b l a c k e t h n i c i t y b e c o m e s curiously w e d d e d t o politics, m o r e intricately d e p e n d e n t u p o n poli1 0 . F o r a s o m e w h a t d i f f e r e n t p e r s p e c t i v e , cf. N a t h a n G l a z e r , " B l a c k s a n d E t h nic G r o u p s : T h e

D i f f e r e n c e , a n d t h e Political

Difference It Makes," in

Nathan

H u g g i n s , M a r t i n K i l s o n . a n d D a n i e l F o x , e d s . , Key Issues in the Afro-American Experience ( N e w York, Harcourt Brace Jovanovich, 1971). 11.

An e x c e l l e n t s t u d y of this i s s u e is

Americans ( N e w Y o r k . D a y ,

Harold

I s a a c s , The New World o f Negro

1963).

1 2 . M y c o n c e p t i o n o f t h i s i s i n f l u e n c e d b y R i c h a r d W r i g h t , Native Son York, Harper,

(New

1 9 4 0 ) . S e e a l s o A l l i s o n D a v i s a n d J o h n D o l l a r d , Children o f Bondage:

The Personality Development of Negro Youth in the Urban South ( W a s h i n g t o n , D . C . , A m e r i c a n Council on E d u c a t i o n , 1940), and E. Franklin Frazier (with Harry Stack

S u l l i v a n ) , Negro Youth at the Crossways: Their Personality Development in the Middle States ( W a s h i n g t o n , D . C . , A m e r i c a n C o u n c i l o n E d u c a t i o n , 13. Ralph

E l l i s o n , Shadow and Act

Ralph

Ellison,

1970).

54—55;

"What E.

America

Franklin

( N e w York, R a n d o m

Would

Be

Like without

F r a z i e r , The Negro in

the

1940). House,

1964). See also

B l a c k s , " Time

United States

(April 6,

(New

York,

Macmillan. 1948). 1 4 . Cf. O r l a n d o P a t t e r s o n , " T o w a r d a F u t u r e T h a t H a s N o P a s t : R e f l e c t i o n s o n t h e F a t e o f B l a c k s i n t h e A m e r i c a s , " The Public Interest ( S p r i n g 1 9 7 2 ) .

244

Martin

Kilson

tics t h a n t h e e a r l i e r e t h n i c l e g i t i m a t i o n o f w h i t e social g r o u p s . A t t h e elite level o f N e g r o society, m i d d l e - c l a s s b l a c k s — s e e k i n g legiti m a t i o n in t h e n e w era of black e t h n o c e n t r i c r e v i t a l i z a t i o n — h a v e little b u t politics t o o f f e r . O t h e r l e a d e r s h i p a t t r i b u t e s i m p o r t a n t t o such revitalization are in short supply a m o n g middle-class N e g r o e s , f o r i n t h e p r e - r e v i t a l i z a t i o n p e r i o d t h e y w e r e , a f t e r all, h i g h l y d e p e n d e n t u p o n w h i t e society f o r t h e i r o r i e n t a t i o n a n d l i f e s t y l e s .

15

Politics a f f o r d s t h e m , as it w e r e , a c o r r e c t i v e f o r p a s t l i m i t a t i o n s . T h u s t h e black b o u r g e o i s i e a d o p t s t h e anti-white activism a n d t h e ideology of white cultural denigration which have characterized the black revitalization

m o v e m e n t since the late

1960s b e c a u s e they

s e r v e a s effective political tools i n u n i f y i n g b l a c k s . H a d t h e N e g r o elites r e f u s e d t o p l a y a l e a d i n g r o l e i n t h e i d e o l o g y o f w h i t e c u l t u r a l d e n i g r a t i o n t h e i r l e g i t i m a c y a s a l e a d e r s h i p class w o u l d h a v e b e e n seriously w e a k e n e d . BLACK ETHNIC LEGITIMATION: T H E DYNAMICS Politics h a v e b e e n c e n t r a l t o t h e n e w d y n a m i c s o f b l a c k e t h n o c e n t r i c r e v i t a l i z a t i o n . A t o n e level t h i s p r o c e s s e n t a i l s t h e s h a r p p o l a r ization of black-white p e r c e p t i o n s a n d relationships: to be m o r e p o s i t i v e l y o r viably b l a c k , e t h n i c a l l y s p e a k i n g , r e q u i r e s b o t h a n t i w h i t e activism a n d

t h e d e n i g r a t i o n o f white society a n d values.

T h u s since the 1960s a majority of A m e r i c a n N e g r o e s h a v e b e e n willing to participate in a wide r a n g e of anti-white activities. T h e y o u n g a n d m i d d l e class h a v e b e e n m o r e m i l i t a n t t h a n o t h e r s . F o r example, in

1969 only 25 p e r c e n t of low-income N e g r o e s in the

N o r t h w e r e willing to "take p a r t in a sit-in," w h e r e a s s o m e 53 p e r c e n t o f middle-class N e g r o e s w e r e willing t o d o so; only 2 8 p e r c e n t of low-income N e g r o e s would " m a r c h in a d e m o n s t r a t i o n , " while 62 percent of m i d d l e - i n c o m e N e g r o e s would; a n d while only 16 p e r c e n t o f l o w - i n c o m e N e g r o e s w o t d d risk " g o i n g t o j a i l , " 4 3 p e r c e n t o f m i d d l e - i n c o m e N e g r o e s w o u l d . ( S e e T a b l e 1.) 15.

For an intellectually incisive but e x a g g e r a t e d a n d empirically d u b i o u s char-

a c t e r i z a t i o n o f t h i s s i t u a t i o n , s e e E . F r a n k l i n F r a z i e r , Black Bourgeoisie ( G l e n c o e , T h e Free Press,

1957). A first-rate sociological analysis of t h e black b o u r g e o i s i e

r e m a i n s t o b e d o n e . F o r a c r i t i q u e of t h e a p p r o a c h i n i t i a t e d b y F r a z i e r , s e e M a r t i n K i l s o n , " M i l i t a n t R h e t o r i c a n d t h e B o u r g e o i s i e , " The New York Times Book Review, s e c . 7 , pt. 2 ( F e b r u a r y 2 1 , 1 9 7 1 ) , 2 , ' 2 8 - 2 9 .

Blacks a n d Neo-Ethnicity in A m e r i c a

Table

1.

1969

(by

Negro

Attitudes

toward

Militancy,

2 4 5

by A g e and

Income,

1963,

1966,

percent)

1963

T o t a l S a m pic-

1966

1969

T a k e part in a sit-in

49

52

40

M a r c h in a d e m o n s t r a t i o n

51

54

44

Picket a store

46

49

41

S t o p b u y i n g at a s t o r e

62

69

57

G o to jail

47

45

33

Under North

Total

30

30-19

50 and Older

Low Income

Low Middle

Middle Income

T a k e p a r t i n a sit-in

43

57

47

27

25

45

53

M a r c h in a d e m o n s t r a t i o n

49

63

51

36

28

51

62 55

Picket a store

43

59

47

25

29

46

S t o p b u y i n g at a store

56

67

56

44

44

57

66

G o to jail

32

45

35

19

16

31

43

Source: P e t e r G o l d m a n ( a n d G a l l u p Poll), Report from Black America ( N e w Y o r k , Simon and Schuster, 1970), p. 242.

T h e g r e a t e r p a r t i c i p a t i o n of m i d d l e - c l a s s N e g r o e s i n a n t i - w h i t e a c t i v i s m c a n n o t b e o v e r e m p h a s i z e d : for e t h n o c e n t r i c r e v i t a l i z a t i o n requires, wherever it occurs, the strong s u p p o r t of the leadership s t r a t a . T h e local-level l e a d e r s h i p — h e a d s o f c o m m u n a l a s s o c i a t i o n s and

networks—are particularly prominent

class b l a c k s w h o

p r o f f e r s t r o n g s u p p o r t of

a m o n g those

middle-

anti-white militancy,

favoring it m o r e than do the cosmopolitan or established middleclass l e a d e r s h i p .

l f i

T h e local-level l e a d e r s h i p i s e s p e c i a l l v e s s e n t i a l

t o t h e p r o c e s s o f s h a r p e n i n g t h e c o m m u n a l n e x u s a n d t h e we-they i d e m i t y axis o f m o v e m e n t s o f e t h n o c e n t r i c r e v i t a l i z a t i o n .

17

T h e d e n i g r a t i o n of w h i t e c u l t u r e a n d v a l u e s is, of c o u r s e , t h e logical c o r o l l a r y o f a s t r o n g p r e f e r e n c e f o r a n t i - w h i t e political ac1 6 . C f . W i l l i a m M c C o r d , e t a l . , Lifestyles i n the Black Ghetto ( N e w Y o r k . N o r t o n , 1969).

17. S e e , f o r e x a m p l e , A l e x G o t t f r i e d , Boss Cermak of Chicago: A Study of Political Leadership ( S e a t t l e , U n i v e r s i t y o f W a s h i n g t o n

Press.

1962): Lloyd Wendt and Her-

m a n K o g a n , Lords of the Levee: The Story of Bathhouse John and Hinky Dink ( I n d i a n apolis.

Dodd-Mead.

(New York. Oxford

States.

1943):

H u m b e r t S.

University Press,

N e l l i . The Italians in Chicago,

1880-1930

1 9 7 0 ) : a n d Z i n k , City Bosses in the United

246

Martin

Kilson

tivism. S u p p o r t for t h e latter implies s y m p a t h y for t h e f o r m e r . H e r e , too, middle-class Negroes display stronger preferences than l o w - i n c o m e N e g r o e s . F o r e x a m p l e , i n 1 9 6 9 s o m e 5 4 p e r c e n t o f all N e g r o e s believed that " N e g r o e s have a special spirit or soul that most white people have not experienced," but only 38 percent of l o w - i n c o m e N o r t h e r n b l a c k s (33 p e r c e n t S o u t h e r n ) b e l i e v e d t h i s , c o m p a r e d with 6 7 p e r c e n t o f m i d d l e - i n c o m e N o r t h e r n blacks (56 p e r c e n t S o u t h e r n ) . (See T a b l e 2.) I n r e g a r d t o n e w g r o u p n o m e n c l a t u r e , 19 p e r c e n t o f all N e g r o e s f a v o r e d t h e t e r m " b l a c k " i n 1 9 6 9 (nearly two thirds in

1972) b u t o n l y

17 p e r c e n t of low-income

Northern Negroes (6 percent Southern)

favored this nomencla-

t u r e , c o m p a r e d with 3 4 p e r c e n t o f m i d d l e - i n c o m e N o r t h e r n Neg r o e s (17 p e r c e n t S o u t h e r n ) . A n d i n r e g a r d t o t h e w e a r i n g o f t h e " A f r o " h a i r style, 4 5 p e r c e n t o f all N e g r o e s f a v o r e d t h i s style i n 1969, b u t 5 8 p e r c e n t o f m i d d l e - i n c o m e N o r t h e r n N e g r o e s d i d (50 p e r c e n t S o u t h e r n ) c o m p a r e d with 4 2 p e r c e n t l o w - i n c o m e N o r t h e r n N e g r o e s (26 p e r c e n t S o u t h e r n ) . T a b l e 2. most

In

white

your opinion, do people

have

Finally, with r e g a r d t o t h e politi-

Negroes have a

not experienced?

(by

special spirit or soul

that

percent)

1969

1966

1963

Total Sample

most

1 8

Yes

X

X

54

No

X

X

22

Not sure

X

X

24

50 and Older

Low Income

Low Middle

Middle Income

Total

Under 30

Yes

60

79

62

39

38

62

67

No

20

8

19

32

27

25

Not sure

20

13

19

29

35

14

13 20

Yes

48

59

50

39

33

49

56

No

24

22

25

24

22

27

26

Not sure

29

20

25

37

45

24

18

North

30-49

South

Source: G o l d m a n , Report jrom Black America, p. 2 6 3 . 18.

P e t e r G o l d m a n ( w i t h G a l l u p P o l l ) . Report from Black America

S i m o n and Schuster, 1970), pp. 2 6 2 - 2 6 3 .

( N e w York,

Blacks a n d Neo-Ethnicity in A m e r i c a

Table

3.

Do you

favor

Total Sample

o f bl ack

power,

1963

1966

1969

X

25

42

X

37

31

X

38

27

Favor Don't

the idea

favor

Not sure

or

247

not? (by

percent)

Total

U nder 30

Favor

50

68

47

38

31

46

59

Don't favor

28

16

30

40

39

27

27

Not sure

22

16

24

22

30

27

14

Favor

34

49

42

17

19

30

52

Don't favor

34

21

31

45

52

33

24

Not sure

32

30

27

38

29

37

24

North

30-49

50 and Older

Low Income

Low Middle

Middle Income

South

Source: G o l d m a n , Report from Black America, p. 2 6 4 .

cal i d e a s a s s o c i a t e d w i t h black e t h n o c e n t r i c r e v i t a l i z a t i o n , s o m e 4 2 p e r c e n t o f all N e g r o e s f a v o r e d " B l a c k P o w e r " i n 1 9 6 9 ( a t w o - f o l d increase over 1966), b u t only 3 1 p e r c e n t o f l o w - i n c o m e N o r t h e r n Negroes

did

(19

percent

Southern)

compared

with

nearly

two

t h i r d s o f m i d d l e - i n c o m e N o r t h e r n N e g r o e s (52 p e r c e n t S o u t h e r n ) . ( S e e T a b l e 3.) T h e m i d d l e - c l a s s r o l e i n black e t h n o c e n t r i c r e v i t a l i z a t i o n is, h o w e v e r , r i d d e n with p a r a d o x . I t o w e s a s m u c h t o p s v c h o l o g i c a l a s t o political factors. E t h n o c e n t r i c revitalization m o v e m e n t s — o f w h i c h m o d e r n nationalist m o v e m e n t s are a variant—always entail a perplexing

admixture

of psychological-cultural

political (universalistic) p r o c e s s e s .

1 9

(particularistic)

and

For t h e black m o v e m e n t , t h e

particularistic m u s t d e r i v e s t r e n g t h t h r o u g h politics: t h e w e a k n e s s o f b l a c k e t h n i c i t y i n A m e r i c a n societv m e a n s i t c a n n o t o f itself g e n e r a t e t h e m e a n s o f g r e a t e r e t h n i c viability. T h i s d e p e n d e n c e o f t h e p a r t i c u l a r i s t i c u p o n p o l i t i c s , h o w e v e r , i s n o t fully s a t i s f y i n g , b e c a u s e b l a c k s w o u l d like t o b e l i e v e t h a t t h e i r e t h n o c e n t r i c r e v i t a l i z a 19.

Cf. T a l c o t t P a r s o n s , Structure and Process in Modern Societies ( G l e n c o e , T h e

Free Press, 1960), pp. 1 2 6 - 1 2 8 .

248

Martin

Kilson

t i o n i s fully r e a l i z a b l e w i t h o u t t h e m o d i f i c a t i o n s o r c o n c e s s i o n s t h a t politics p e r f o r c e r e q u i r e . B u t t h i s i s n o t t h e c a s e . In themselves particularistic forces sustain only ritualistic t e n d e n cies, w h i c h a r e h i g h i n c a t h a r t i c effect b u t p r o d u c t i v e o n l y o f a e t h n o c e n t r i c cul-de-sac—the e q u i v a l e n t o f K a r l M a r x ' s o p i a t e o f t h e m a s s e s . T h e political ( u n i v e r s a l i s t i c ) f o r c e s m u s t b e u t i l i z e d , w h i c h means that they must be borrowed or adapted from the adversary society o r g r o u p . T h e resultant d i l e m m a i s e x c e e d i n g l y t r o u b l e s o m e for t h e l e a d e r s h i p of m o v e m e n t s of e t h n o c e n t r i c revitalization. B u t t h e l e a d e r s h i p o f successful m o v e m e n t s o f e t h n o c e n t r i c revitalization—which the c u r r e n t black m o v e m e n t clearly ' i s — d o w h a t they m u s t : modify t h e particularistic t h r o u g h politics while p r o c l a i m i n g belief in t h e particularistic—a p r o c l a m a t i o n w h i c h their identity, legitimacy, a n d control r e q u i r e . 2 0

O n e e x a m p l e of the p a r a d o x e s in the m o v e m e n t of black ethnocentric revitalization—a m o v e m e n t whose psychological-cultural p r o c e s s e s a r e p o s e d a s a n t i t h e t i c a l t o w h i t e A m e r i c a — i s t h e fact t h a t t h e federal g o v e r n m e n t is o v e r w h e l m i n g l y r e s p o n s i b l e , dir e c t l y a n d i n d i r e c t l y , for t h e e x t r a o r d i n a r y o c c u p a t i o n a l m o b i l i t y o f middle-class N e g r o e s in the past decade—precisely those blacks w h o now supply l e a d e r s h i p to the revitalization m o v e m e n t . T h i s m o b i l i t y , w h i c h b e g a n i n t h e e a r l y 1960s u n d e r t h e K e n n e d y - J o h n s o n a d m i n i s t r a t i o n s , h a s s u f f e r e d less t h a n o n e m i g h t h a v e e x pected u n d e r the Nixon administration. T h e mobility of m i d d l e class N e g r o e s i s o n e o f t h e few a r e a s o f c o m p r o m i s e b e t w e e n t h e neo-conservative Republican administration a n d blacks, o w i n g partly to Nixon's reelection organization's willingness to bid for middle-class N e g r o voters. A n o t h e r factor is also involved in this crucial c o m p r o m i s e between the Republican administration a n d middle-class Negroes. For the sake of maximizing federal g o v e r n m e n t benefits, m a n v middle-class N e g r o e s w h o w e r e identified with 20.

T h i s p r o b l e m has p l a g u e d t h e black revitalization m o v e m e n t f r o m t h e start

a n d has b e g u n to attenuate onlv since

1971. See Martin Kilson, "Black Power:

A n a t o m y of a P a r a d o x . " Harvard Journal oj Negro Affairs,

2.1

(1968).

N e g r o col-

l e g e s t u d e n t s h a v e t e n d e d t o insist o n t h e p a r t i c u l a r i s t i c d i m e n s i o n s o f t h e b l a c k revitalization m o v e m e n t m o r e than o n e w o u l d have e x p e c t e d . S e e Martin Kilson, " B l a c k S t u d e n t M i l i t a n t s . " Encounter ( S e p t e m b e r a n d O c t o b e r

1971), and Martin

K i l s o n , " B l a c k s a t H a r v a r d . " The Harvard Bulletin ( A p r i l a n d J u n e

1973).

Blacks a n d Neo-Ethnicity in America

the black revitalization

249

forces modified t h e i r anti-white activism.

T h o s e e l e m e n t s i n v o l v e d i n black c a p i t a l i s m h a v e s h r e w d l y t r a n s lated e t h n o c e n t r i c revitalization into f r e e - e n t e r p r i s e t e r m s which are acceptable to a Republican administration.

2 1

This strategy has

also b e e n successful for white-collar w o r k e r s , as can be seen in t h e f o l l o w i n g r e p o r t f r o m a r e c e n t Civil S e r v i c e C o m m i s s i o n s u r v e y o f white-collar jobs held by Negroes in the federal g o v e r n m e n t : T h e n u m b e r of blacks in federal jobs r a n k e d GS-9 a n d a b o v e — t h e t o p half of t h e g o v e r n m e n t ' s j o b s — h a s risen 2 8 % since May 1970, t h e new Civil Service Commission survey shows. As of last N o v e m b e r blacks held 29,796 or 4 . 7 % of t h e j o b s in the GS g r a d e s 9 to 18 r a n g e . Much of the gain reflects workers hired in the 1960s who are " p r o g r e s s i n g nicely up t h e l a d d e r , " a s p o k e s m a n says. Negroes hold 15.3% of all federal j o b s , t h e figures show. O t h e r minorities fill a n o t h e r 4 . 7 % of t h e positions. Of 5,712 j o b s at t h e highest GS g r a d e s 16 to 18. blacks hold 145 or 2.5%; Spanishs u r n a m e d hold 3 3 , A m e r i c a n Indians 12, a n d O r i e n t a l s 2 3 . T h e gains in minority hiring c o m e at a time when federal e m p l o y m e n t is falling; fullt i m e federal j o b s d e c r e a s e d bv 31,703 in the year e n d e d N o v e m b e r 30th. 22

T h e strategy that p r o d u c e d these results e m e r g e d from a highly d i v i d e d m o v e m e n t of black e t h n o c e n t r i c revitalization. In the form a t i v e p e r i o d o f this m o v e m e n t , two e l e m e n t s within t h e black m i d d l e classes c o a l e s c e d t o e n s u r e t h a t t h e m o v e m e n t ' s o u t c o m e w o u l d i n c l u d e s u b s t a n t i v e o r m a t e r i a l , a s well a s s y m b o l i c a n d i d e n t i t y - o r i e n t e d , benefits. T h i s coalition, t h e m o d e r a t e s in t h e revitaliz a t i o n m o v e m e n t , c o m p r i s e s t h e f o l l o w i n g : (1) t h e i n n o v a t i v e s e c t o r o f t h e e s t a b l i s h e d b l a c k b o u r g e o i s i e , t h a t is, t h o s e c a p a b l e o f s e i z i n g 21.

S o p h i s t i c a t e d l e a d e r s h i p o f this s t r a t e g y h a s b e e n p r o v i d e d for f o u r y e a r s

b y t h e b l a c k b u s i n e s s j o u r n a l Black Enterprise.

It i s p u b l i s h e d b y a h i g h l y a b l e

N e g r o b u s i n e s s m a n , Earl G . G r a v e s , a n d c o n t r o l l e d b y a B o a r d o f A d v i s o r s u n d e r the

chairmanship

of

Henry

Parks,

head

of the

Parks

Sausage

Corporation—

probably the largest N e g r o m a n u f a c t u r i n g f i r m — a n d m a d e up of leading business a n d political f i g u r e s like W i l l i a m H u d g i n s . V i c e C h a i r m a n of t h e F r e e d o m N a tional B a n k in H a r l e m , Shirley C h i s h o l m . C o n g r e s s w o m a n f r o m Brooklyn, Senator E d w a r d tatives.

For

Brooke, and Julian an

example

of

Bond,

this

style

member of Georgia of

politicizing

the

House of Represenblack

revitalization

m o v e m e n t , s e e Black Enterprise ( A u g u s t 1 9 7 0 a n d M a y 1 9 7 1 ) , e s p e c i a l l y t h e s e c t i o n s e n t i t l e d , s u g g e s t i v e l y , " M a k i n g It."

2 2 . The Wall Street Journal, J u l y 17, 1 9 7 3 . p. 1.

250

Martin

Kilson

n e w o p p o r t u n i t i e s ; (2) t h e e n t r e p r e n e u r i a l a n d l a w y e r - p o l i t i c i a n n e w c o m e r s t o t h e black b o u r g e o i s i e . T h e s e t w o s e c t o r s o f t h e b o u r g e o i s i e c o a l e s c e e i t h e r i n a c t i o n o r policy, d i f f e r e n t i a t i n g t h e i r positions in t h e e t h n o c e n t r i c revitalization m o v e m e n t from those w h o m i g h t be t e r m e d the militants—mainly deviant intellectuals ( u s u a l l y f i r s t - g e n e r a t i o n c o l l e g e - e d u c a t e d like I m a m u B a r a k a ) , p a r a - p r o f e s s i o n a l s (social w o r k e r s , s c h o o l t e a c h e r s , a n d s o o n ) , a n d self-educated leaders or what I describe elsewhere as para-intellect u a l s . T h i s d i s t i n c t i o n b e t w e e n c o a l e s c e n c e i n a c t i o n a n d i n policy is i m p o r t a n t : i n t e r e s t g r o u p s w h o coalesce in action d o so, o f c o u r s e , visibly; b u t coalescence in policy is o f t e n i m p l i c i t o r m u t e d — t h r o u g h discreet political cues e m i t t e d by t h e leaders or articulate p e r s o n s i n t h e c o a l e s c i n g i n t e r e s t g r o u p s . C o a l e s c e n c e i n policy i s h i g h l y s u i t a b l e to s i t u a t i o n s w h e r e e s t a b l i s h e d a n d parvenu s e c t i o n s o f t h e elites b e c o m e allies; i t allows b o t h s e c t i o n s d i s c r e t i o n ( w h i c h i s i m p o r t a n t to their control or authority over their own s u p p o r t struct u r e ) b u t d o e s not j e o p a r d i z e t h e p u r s u i t of their objective intere s t s . S u c h d i s c r e t i o n is e s p e c i a l l y i m p o r t a n t as a political o p t i o n f o r t h e n e w black capitalists a n d lawyer-politicians. Fledgling in aut h o r i t y a n d l e g i t i m a c y , t h e y a r e v u l n e r a b l e o n t h e left-Hank, a n d susceptible to anomic thrusts by the N e g r o masses, which of course i s w h a t t h e b l a c k g h e t t o r i o t s o f t h e late 1 9 6 0 s w e r e . 2 3

T h e s u c c e s s o f this s t r a t e g y for m a x i m i z i n g t h e s u b s t a n t i v e g o a l s o f t h e black e t h n o c e n t r i c revitalization d e p e n d s u p o n t h e m o d e r a t e l e a d e r s h i p ' s ability t o m a n i p u l a t e t h e s y m b o l i c o r r i t u a l d i m e n s i o n s o f t h e m o v e m e n t . C h a r i s m a t i c l e a d e r s h i p a n d t h e u n i q u e legitim a c y a t t a c h e d t o i t b y N e g r o e s a r e e s p e c i a l l y significant i n this r e g a r d . Successful symbolic a n d ideological m a n i p u l a t i o n by the m o d e r a t e s (exemplified in the use of militant speech a n d wearing t h e A f r o h a i r s t y l e ) s h e l t e r s t h e basically e s t a b l i s h m e n t goals t h e y s e e k — n a m e l y , t o b r i n g t h e black b o u r g e o i s i e a n d b l a c k s g e n e r a l l y m o r e firmly into the American power structure. Such manipulation also r e d u c e s t h e division between the m o d e r a t e s a n d militants: it e n a b l e s t h e m i l i t a n t s t o view t h e m o d e r a t e s ' e s t a b l i s h m e n t goals a s s o m e t h i n g o t h e r than a threat to the particularistic attributes of black e t h n o c e n t r i c revitalization. 23.

1969).

Sec

Martin

Kilson.

"The

New

Black

I n t e l l e c t u a l s , " Dissent

(July-August

251

Blacks a n d Neo-Ethnicity in America

I t i s a n e x t r a o r d i n a r y f e a t u r e o f this m o v e m e n t t h a t t h e m o d e r ates' strategy has b e e n t h u s far relatively successful. T h e success o f this s t r a t e g y h a s also b e e n f u n c t i o n a l t o t h e m o v e m e n t . No such 24

movement

can

out

aid

the

approximate of

the

its substantive

particularistic

or

benefits

derived

identity-focused from

politics

goals

with-

and

power.

W i t h o u t such benefits, the particularistic d i m e n s i o n s of m o v e m e n t s o f e t h n o c e n t r i c r e v i t a l i z a t i o n turn in on themselves: t h e y b e c o m e ritualistically s e l f - i n d u l g e n t , m e s s i a n i c , a n d m i l l e n a r i a n . The m o v e m e n t of black e t h n o c e n t r i c revitalization faced such an o u t come throughout its formative and middle period (say, 1 9 6 6 - 1 9 7 0 ) . H a d the revitalization militants (the d e v i a n t intellect u a l s , social w o r k e r s , t e a c h e r s , a n d p a r a - i n t e l l e c t u a l s ) v a n q u i s h e d the alliance of the old bourgeoisie and the middle-class n e w c o m e r s i n this p e r i o d , t h e o u t c o m e w o u l d h a v e b e e n m a r k e d l y d i f f e r e n t f r o m w h a t i t is. S o t o o w o u l d t h e c u r r e n t conflict d y n a m i c b e t w e e n blacks a n d whites. 2 5

CONFLICT, CLEAVAGES, AND T H E POLITICS OF BLACK ETHNICITY T h e conflict s u r r o u n d i n g m o v e m e n t s o f e t h n o c e n t r i c r e v i t a l i z a tion is highly contentious a n d not infrequently bloody. T h i s is especially t r u e o f m o v e m e n t s w h o s e culture indigene is ideologically diff u s e - o r poorly d i f f e r e n t i a t e d f r o m _ ^ n _ a d y e r s a r y (often t h e d o m i n a n t ) c u l t u r e . T h e A f r o - A m e r i c a n s u b c u l t u r e is of this varie t y : so m u c h o f w h a t it m e a n s t o b e black in A m e r i c a is i n t r i c a t e l y l i n k e d t o w h i t e society, a n d t h e f o r m a t i o n o f b l a c k i d e a s , v a l u e s , a n d institutions o c c u r s in c o m p l e x dialectical i n t e r a c t i o n with this society. " 2

24.

See

the data

in

Ben J.

Wattenberg and

P r o g r e s s a n d L i b e r a l R h e t o r i c . " Commentary ( A p r i l 25.

Richard

M.

S c a m m o n , "Black

1973).

Black revitalization m o v e m e n t s , i n c l u d i n g nationalist m o v e m e n t s , have b e e n

p l a g u e d with this p r o b l e m t h r o u g h o u t t h e w o r l d , always b o r d e r i n g o n m i l l e n a r i a n disorientation.

For a West

Indian variant, see the novel by O r l a n d o Patterson,

Children o f Sisyphus ( L o n d o n . N e w

A u t h o r s Ltd.. 1 9 6 4 ) . A s p e c t s of this p r o b l e m in

A f r i c a n n a t i o n a l i s t m o v e m e n t s a r e c o n s i d e r e d i n M a r t i n K i l s o n , Political Change i n a West African State ( C a m b r i d g e , H a r v a r d U n i v e r s i t y P r e s s , 1 9 6 6 ) . '

26.

Cf. F r a z i e r , The Negro in the United States. T h e r e i s , of c o u r s e , l i t t l e c o n s e n s u s

o n t h e c h a r a c t e r i z a t i o n of

t h e culture indigene o f b l a c k A m e r i c a n s . T h e d e b a t e

b e g i n s w i t h M e l v i l l e J. H e r s k o v i t z . The Myth of the Negro Past ( N e w Y o r k , H a r p e r , 1 9 4 1 ) a n d p r o g r e s s e s t h r o u g h F . Franklin Frazier. R a l p h Ellison, a n d m o r e r e c e n t

252

r

.

i,

A

^

Martin

k ) C - L»C

Kilson

\

V.

T h e p r i m a r y cleavage within t h e m o v e m e n t o f black e t h n o c e n tric

revitalization

has

evolved

against

this

background

of am-

b i v a l e n c e b e t w e e n b l a c k a n d w h i t e i n A m e r i c a n life. T h i s c l e a v a g e exists, in t h e first instance, b e t w e e n t h e established or old black b o u r g e o i s i e a n d t h e b o u r g e o i s n e w c o m e r s . R e l a t i v e l y well sociali z e d i n t o A m e r i c a n politics a n d a c c u l t u r a t e d t o m i d d l e - c l a s s lifestyles f o r t w o g e n e r a t i o n s , t h e e s t a b l i s h e d b l a c k b o u r g e o i s i e w a s initially

marginal

to

black

infrequently o p p o s e d to it.

ethnocentric 27

revitalization,

and

not

Only with the effective politicizatiqn

of black e t h n o c e n t r i c revitalization by t h e b o u r g e o i s n e w c o m e r s — t h e n e w N e g r o m i d d l e class o f t h e 1 9 5 0 s a n d e a r l y 1 9 6 0 s — d i d a section of t h e old black bourgeoisie discover t h e m o v e m e n t of e t h nocentric revitalizatiom Dr. Martin L u t h e r King, Jr., m e m b e r of an e s t a b l i s h e d b o u r g e o i s N e g r o family, l e d t h i s d i s c o v e r y , o r g a n i z i n g it t h r o u g h the Southern Christian Leadership Conference (SCLC). T h e S C L C p i o n e e r e d a v a r i a n t of/ b l a c k e t h n o c e n t r i c r e v i t a l i z a tion, casting it within a framework of r e s t r a i n e d b l a c k - w h i t e c o n flict, b u f f e r e d by a n o n v i o l e n t ideology. W h i l e D r . K i n g lived, his u n i q u e l e g i t i m a c y — l a r g e l y c h a r i s m a t i c — i m p o s e d a c e i l i n g u p o n effective c o m p e t i t i o n f o r l e a d e r s h i p o f t h e r e v i t a l i z a t i o n m o v e m e n t from the bourgeois newcomers.

2 8

A m e a s u r e of this situation can

b e s e e n f r o m t w o H a r r i s polls o f N e g r o o p i n i o n t o w a r d t h e i r p o l i t i cal l e a d e r s i n 1 9 6 3 a n d 1 9 6 6 . I n b o t h polls 8 8 p e r c e n t o f N e g r o e s g a v e D r . K i n g a n " a p p r o v i n g " v o t e , w h i l e o n l y 15 p e r c e n t g a v e a n " a p p r o v i n g " v o t e i n 1 9 6 3 t o Elijah M u h a m m a d , l e a d e r o f t h e B l a c k Muslims, a n d 12 percent in 1966.

2 9

F u r t h e r m o r e , u n t i l his d e a t h i n

contributions by N a t h a n I. H u g g i n s a n d H o u s t o n Baker. T h e latter contributions are

found

in

Huggins,

Kilson, a n d

F o x , e d s . . Key Issues in Ike Afro-American Experi-

ence. 27.

See

Harold

F.

G o s n e l l , Negio

Politicians:

(Chicago, University of C h i c a g o Press,

The

Rise

of Negro

1935). See also Martin

Politics

in

Chicago

K i l s o n , "Political

C h a n g e i n t h e N e g r o G h e t t o , 1 9 0 0 - 1 9 4 0 s . " i n H u g g i n s , K i l s o n , a n d F o x , e d s . , Key Issues

in

28. On

the Afro-American the

appeal

former—among Chicago Press,

Experience, of the

Negroes,

see

pp.

167-192.

charismatic Charles

figure—the

Keil,

Urban

individual

(Chicago,

per-

University of

1966). T h e best analysis of King's strategy is A u g u s t Meier, "On

t h e R o l e o f M a r t i n L u t h e r K i n g , " New Politics ( W i n t e r 29. William

virtuoso

Blues

Brink and

Louis

1965).

H a r r i s , Black and White: A

ies Today ( N e w Y o r k , S i m o n a n d S c h u s t e r ,

1967), p. 5 4 .

Study of U.S.

Racial Stud-

iS r

•

Blacks a n d Neo-Ethnicitv in America

(fx

\$J

253

1968 D r . King's S C L C r a n k e d h i g h i n t h e "excellent" r a t i n g colu m n of t h e H a r r i s polls, with a 30 p o i n t lead o v e r t h e Black M u s lims in 1963 a n d 1966, a n d a 22 point lead over the S t u d e n t N o n V i o l e n t C o o r d i n a t i n g C o m m i t t e e ( S N C C ) i n 1 9 6 3 a n d a n 11 p o i n t lead in 1966. (See T a b l e s 4 - 6 . ) M o r e o v e r , t h e S C L C ' s s t r o n g e s t s u p port came from 1960s

was

4.

Table 1963,

Negro

1966

t h e m i d d l e class, t h e m a j o r i t y o f w h i c h i n t h e

parvenu.

Ranking

(by

of

Southern

Christian

Leadership

Conference

percent) Non-South Total

Middle

all

Total

inter-

non-

views Rank

South

1966

1963

1966

Excellent

34

32

36

Pretty g o o d

21

24

24

O n l y fair

5

9

Poor

1 39

Not sure Source:

William

1963

Lower

and

Low

middle

upper

income

income

1966

1963

1966

40

28

31

25

25

25

6

9

9

7 2

2

3

33

31

27

35

income

1963

1966

1963

30

40

41

42

24

25

23

21

6

7

5

7

9

-

-

2

3

2

39

28

26

26

38

B r i n k a n d L o u i s H a r r i s , Black and White: A Study of U.S. Racial

Attitudes Today ( N e w Y o r k , S i m o n a n d S c h u s t e r , 1 9 7 0 ) , p . 2 5 0 .

Table 1963,

5.

Negro

1966

Ranking

(by

of

Student

Non-violent

Coordinating

Committee

percent) Non-South Middle

Total

Rank

all

Total

inter-

non-

views

South

Lower

and

Low

middle

upper

income

income

income

1966

1963

1966

1963

1966

Excellent

23

10

25

13

Pretty g o o d

21

8

26

Only

10

3

9

9 2

4

1

6

1

42

78

34

75

fair

Poor Not sure

1963

1966

1963

1966

28

8

26

14

25

7

25

13

24

9

29

9

81

7

9

9

5 2

3

1

6

9

40

74

31

84

-

38

Source: B r i n k a n d H a r r i s , Black and White, p. 2 5 0 .

1963

254

Table

Martin

6.

Kilson

M u s l i m s 1 9 6 3 , 1 9 6 6 (by p e r c e n t )

N e g r o Ranking of Black

Non-South Total

Middle

all

Total

inter-

non-

views Rank

1966

Low

South

1963

1966

income

1963

1966

Lower

and

middle

upper

income

1963

1966

income

1963

1966

1963

Excellent

4

4

4

5

3

8

3

5

2

5

Pretty g o o d

5

7

6

8

3

13

8

7

6

14

O n l y fail-

6

6

7

8

3

6

11

7

6

14

Poor

43

38

52

43

57

25

47

43

60

49

Not sure

42

45

31

36

34

50

31

38

26

18

Source: B r i n k a n d H a r r i s , Black and White,

p. 2 5 4 .

B u t less t h a n t w o y e a r s b e f o r e D r . K i n g ' s d e a t h a t t h e h a n d s o f a white assassin, the SCLC's n o n v i o l e n t m e t h o d of black e t h n o c e n t r i c r e v i t a l i z a t i o n b e g a n t o lose g r o u n d t o a m o r e racially s t r i d e n t a p p r o a c h . T h e S N C C leadership—especially Stokely Carmichael—initiated t h e strategy of "Black P o w e r " in 1965, giving it a p o w e r f u l a d v a n t a g e . I t i n c r e a s e d its " e x c e l l e n t " r a t i n g f r o m 10 t o 2 0 p e r c e n t and

reduced

its c o m p a r a t i v e

position

with

the SCLC

from

22

p o i n t s b e l o w S C L C i n 1 9 6 3 t o 11 p o i n t s b e l o w i t i n 1 9 6 6 . A m o n g middle-class blacks, the S N C C ' s "excellent" r a t i n g increased nearly f o u r - f o l d : f r o m 7 p e r c e n t i n 1 9 6 3 t o 2 5 p e r c e n t i n 1 9 6 6 . T h e sign i f i c a n c e o f t h i s c a n b e j u d g e d bv t h e fact t h a t f r o m 1 9 6 6 o n w a r d t h e m o v e m e n t of black e t h n o c e n t r i c revitalization e n t e r e d a n e w p h a s e ; i t s h e d t h e r e s t r a i n t o n racial conflict t h a t c h a r a c t e r i z e d D r . King's leadership

of the

movement,

with

any

middle-class

Ne-

g r o e s a c q u i r i n g a n explicit i n t e r e s t i n s h a r p f i s s i o n w i t h w h i t e socie t y a n d c u l t u r e , m a n i p u l a t i n g this f i s s i o n a s a p r i m a r y i n s t r u m e n t of massive p o p u l a r mobilization of N e g r o e s , often in violent ways. T h u s by the time of Dr. King's death in

1968 a new militant

p h a s e o f b l a c k e t h n o c e n t r i c r e v i t a l i z a t i o n w a s well u n d e r w a y , p o s s e s s i n g t w o s a l i e n t p o l i t i c a l f e a t u r e s : o n e , b o t h t h e o l d a n d newblack

bourgeoisie

had

been

extensively

politicized

and

radical-

i z e d — a t l e a s t w i t h r e g a r d t o racial a s s e r t i o n ; t w o , a political n e x u s b e t w e e n t h e m i d d l e classes a n d t h e black w o r k i n g a n d l o w e r classes w a s c r e a t e d a n d b e g a n t o d i s p l a v basic p o l i t i c a l i n s t i t u t i o n a l i z a t i o n

255

Blacks a n d Neo-Ethnicity in America

Table 7. by

Do you

banding

will

never

agree or disagree that N e g r o e s can get what they want only

together help

as

black

Negroes?

people

1963

Total Sample

against the

whites,

because

the

whites

(by p e r c e n t )

1966

1969

Agree

X

25

27

Disagree

x

64

59

Not sure

X

11

14

North

Total

Under 30

Agree

30

45

26

25

22

34

32

Disagree

54

43

57

61

47

56

53

Not sure

16

13

17

14

32

10

15

50 and Older

30^9

Low Income

Middle Income

Low Middle

Source: G o l d m a n , Report from Black America, p. 2 6 0 .

t h r o u g h t h e rise o f n u m e r o u s e l e c t e d middle-class N e g r o politicians. In short, by the e n d of the 1960s a n d early 1970s, a militant ethnocentric

revitalization

of N e g r o e s

had

produced

a

political

transformation of the Afro-American subsystem. Yet as T a b l e 7 shows, in 1969 s o m e 59 p e r c e n t of N e g r o e s polled d i s a g r e e d with the statement that " N e g r o e s can get w h a t they want only by b a n d i n g t o g e t h e r

as

against the whites, because

black people

t h e w h i t e s will n e v e r h e l p N e g r o e s . " T h i s o u t l o o k p r e v a i l e d , m o r e o v e r , d e s p i t e t h e fact t h a t i n 1 9 6 6 a n d 1 9 6 9 o n l y 2 7 a n d 2 0 p e r c e n t o f N e g r o e s r e s p e c t i v e l y felt t h a t w h i t e s w i s h e d a " b e t t e r b r e a k " for b l a c k s , w h i l e a s m a n y a s 3 8 a n d 4 3 p e r c e n t r e s p e c t i v e l y felt t h a t w h i t e s w i s h e d " t o k e e p blacks d o w n . "

3 0

W h y this a m b i v a l e n c e ?

T h e key' t o t h i s a m b i v a l e n c e i s t h a t b l a c k e t h n o c e n t r i c r e v i t a l i z a tion

occurs

Negroes

but

and

whites

in

within of

steady

American

a

framework modification

society.

The

not of

of the

rigid

socio-political

social

proportion

constraints

upon

dividing

blacks

parameters

of N e g r o e s

who

were

p o o r o r l o w e r class d e c l i n e d f r o m 4 8 p e r c e n t i n 1 9 5 9 t o a b o u t 3 0 percent in

1971; a n d the n u m b e r of blacks in white-collar a n d

craftsmen-cum-skilled occupations increased 76 percent d u r i n g the p a s t d e c a d e , f r o m 2 . 9 m i l l i o n i n 1 9 6 0 t o 5.1 m i l l i o n i n 1 9 7 0 , c o m p a r e d with a 24 p e r c e n t increase for whites. T h e s e o c c u p a t i o n a l 3 0 . G o l d m a n , Report from Black America, p. 2 5 0 .

256

Martin

Kilson

shifts a r e a s s o c i a t e d w i t h s i g n i f i c a n t e d u c a t i o n a l c h a n g e : m e d i a n school years c o m p l e t e d for N e g r o e s a g e d 2 5 - 2 9 increased from 7 years in 1940 to 12 years in 1970; f u r t h e r m o r e , 10 p e r c e n t of N e g r o e s a g e d 18-24 were e n r o l l e d in college in 1965 (26 p e r c e n t w h i t e s ) a n d 1 8 p e r c e n t i n 1971 (27 p e r c e n t w h i t e s ) , r e d u c i n g t h e b l a c k - w h i t e differential to only 9 p e r c e n t . Also blacks a r e n o w 6 p e r c e n t of the college p o p u l a t i o n . 3 1

T h e r e is, m o r e o v e r , c o n s i d e r a b l e a m b i v a l e n c e a m o n g b l a c k s a b o u t h o w far anti-white activism—the p r e c o n d i t i o n of black e t h n o c e n t r i c revitalization—should be c a r r i e d . T h i s a m b i v a l e n c e is a stablizing factor in two respects: it sustains the coalition of the est a b l i s h e d b l a c k b o u r g e o i s i e a n d t h e n e w m i d d l e class; a n d , i t c o n strains black-white polarization, allowing r o o m for consensus a n d f u s i o n . Y e t b l a c k s p e r c e i v e a c a u s a l r e l a t i o n s h i p b e t w e e n t h e social a d v a n c e s n o t e d above a n d t h e m o v e m e n t o f e t h n o c e n t r i c revitalization: the latter seems to p r o d u c e t h e f o r m e r . T h e intensification of anti-white activism a n d white cultural d e n i g r a t i o n seems, t h e r e f o r e , f r o m o n e p o i n t o f view, a p r o d u c t i v e tactic f o r b l a c k social a d v a n c e ment. . . I n t h e ^ m a t u r e p h a s e j p f b l a c k jstjhnjocentric. r e v i t a l i z a t i o n Jd96j9J m o r e Negroes considered white churches " m o r e h a r m f u l " than helpful to black a d v a n c e m e n t t h a n in 1 9 6 6 — 2 0 a n d 16 p e r c e n t respectively. S o m e 2 5 p e r c e n t c o n s i d e r e d white businesses " m o r e h a r m f u l " in 1969, c o m p a r e d with 19 p e r c e n t in 1966, with 35 perc e n t o f m i d d l e - c l a s s N e g r o e s i n t h e N o r t h e x p r e s s i n g t h i s view a n d o n l y 14 p e r c e n t o f l o w e r - i n c o m e b l a c k s . F u r t h e r m o r e , s o m e 1 6 p e r c e n t felt J e w s " m o r e h a r m f u l " i n 1 9 6 9 , c o m p a r e d w i t h 5 p e r cent in 1966—with 24 percent middle-class Negroes in the N o r t h a n d o n l y 4 p e r c e n t l o w - i n c o m e e x p r e s s i n g this v i e w . Finally, 2 0 p e r c e n t c o n s i d e r e d labor u n i o n s " m o r e h a r m f u l " in 1969 comp a r e d w i t h 13 p e r c e n t i n 1 9 6 6 — w i t h 4 0 p e r c e n t m i d d l e - c l a s s a n d 18 p e r c e n t l o w - i n c o m e N e g r o e s i n t h e N o r t h h o l d i n g t h i s v i e w . I n 3 2

short,

31.

though

partly

reducing

the

racial-conflict

element

in

the

movement

of

T h e s e data are f r o m W a t t e n b e r g a n d S c a m m o n , "Black P r o g r e s s a n d Lib-

eral Rhetoric," p p . 3 7 - 3 9 . 3 2 . G o l d m a n , Report from Black America,

p p . 254—255.

Blacks a n d

black within

ethnocentric the

movement,

Neo-Ethnicity in America

revitalization the

social

and gains

of

facilitating Negroes

also

257

cleavage pull

in

stabilization the

opposite

direction.

Politically t h i s e n t a i l s , i n o n e r e s p e c t , a f o r m o f false c o n s c i o u s ness: blacks' p e r c e p t i o n of the relationship of ethnicity to p o w e r is distorted.

3 3

For e x a m p l e , the trade union m o v e m e n t , t h o u g h very

slow t o a d m i t N e g r o w o r k e r s , a c t u a l l y h a d b y 1 9 7 0 a b l a c k m e m bership of 12 percent—a proportion equal to the percentage of N e g r o e s i n t h e p o p u l a t i o n . O n t h e o n e h a n d , t h i s false c o n s c i o u s ness is functional to the e x t e n t that it g e n e r a t e s a m e a s u r e of antiw h i t e a c t i v i s m w h i c h i s e s s e n t i a l t o black e t h n o c e n t r i c r e v i t a l i z a t i o n . On the o t h e r h a n d , it is dysfunctional in that it distorts perception by N e g r o e s of real advances, causing blacks to persist in hostile s t a n c e s t o w a r d w h i t e g r o u n s a n d i n s t i t u t i o n s w h o t o d a v a r e less guilty of resistance to blacks t h a n they w e r e in the past. T h i s s i t u a t i o n p o s e s e n o r m o u s tactical p r o b l e m s f o r N e g r o l e a d e r s h i p t o d a y , especially t h e newly elected black politicians—the inevitable heirs to t h e l e a d e r s h i p of the black r e n a s c e n c e m o v e m e n t insofar as this m o v e m e n t can realize substantive benefits for blacks o n l y t h r o u g h t h e e s t a b l i s h e d political p r o c e s s e s . T h e g r o w t h o f t h e n e w b l a c k p o l i t i c i a n class, b a s e d u p o n e s t a b l i s h e d o r n e w l y fashi o n e d p o l i t i c a l m a c h i n e s r a t h e r t h a n u p o n civil r i g h t s o r g a n i z a t i o n s a n d t h e c l i e n t a g e ties w i t h liberal w h i t e s o f t h e o l d e r N e g r o l e a d e r ship, has b e e n e x t r a o r d i n a r v . In the early 1960s t h e r e w e r e a r o u n d 600 elected

N e g r o politicians in the U n i t e d States; t o d a y (1974)

there are 3,500. T h e e n o r m o u s increase of Negroes in medium-size a n d b i g cities ( s o m e 2 0 s u c h cities n o w h a v e 2 0 - 5 0 p e r c e n t N e g r o p o p u l a t i o n ) i s a t t h e basis o f t h e n e w b l a c k p o l i t i c i a n class. T h e r e a r e n o w 5 8 c o n g r e s s i o n a l districts with 2 5 p e r c e n t o r m o r e N e g r o voters, a n d 20 of these are outside the South. F u r t h e r m o r e , in the 1972 p r e s i d e n t i a l election t h e r e w e r e 52 c o n g r e s s i o n a l districts in w h i c h t h e N e g r o p o p u l a t i o n o f v o t i n g a g e w a s a t least twice t h e 33.

C f . K e n n e t h B . C l a r k a n d J e a n n e t t e H o p k i n s , A Relevant War against Poverty

( N e w Y o r k , H a r p e r &r R o w ,

1 9 7 0 ) . p. x. Clark o b s e r v e s that " S e p a r a t i s m . . . is

n o w d e s i r e d a n d f o u g h t for by a g r o w i n g n u m b e r of y o u n g black militants o u t of . . . false perceptions."

258

Martin

successful white c a n d i d a t e ' s m a r g i n of v i c t o r y .

34

Kilson

O t h e r factors as-

s o c i a t e d w i t h t h e n e w b l a c k politician class a r e s h o w n i n T a b l e 8 . I t n o w r e m a i n s f o r t h e n e w black p o l i t i c i a n class, t h e b e n e f i c i a r y of t h e m o v e m e n t of black e t h n o c e n t r i c revitalization, to translate the e m e r g e n t p o w e r - m u s t e r i n g capacity of N e g r o e s into public policies t h a t will r a i s e t h e s t a n d a r d s o f t h e N e g r o social s y s t e m t o levels c o m p a r a b l e t o t h o s e o f w h i t e A m e r i c a . T h e r e a r e n u m e r o u s o b s t a c l e s i n face o f s u c h a t r a n s f o r m a t i o n , b u t n o n e i s a s p e r p l e x ing as t h e role of racial p e r c e p t i o n s in b l a c k - w h i t e r e l a t i o n s h i p s .

3 5

It is a m a j o r p a r a d o x of t h e m o v e m e n t of black e t h n o c e n t r i c revitalTable

8.

Political A t t r i b u t e s

City

Population "

of

Negro Population

in

S e l e c t e d Cities

Negro

N e g r o Percent

Percent

p~;-cent

City C o u n c i l

Negro

VAP

b

Seats

c

N e g r o Percent Police Force

905,759

46.4

43.7

26.3

13

1,51 1 , 4 8 2

43.7

39.4

33.3

12

Cincinnati

452,524

27.6

24.4

37.5

4.9

Cleveland

750,903

38.3

36.6

36.6

Buffalo

462,768

20.4

17.8

20

7.7 o

7,867,760

2 1.2

19

382,417

54.2

48.6

33.3

Baltimore Detroit

New

York

Newark

5.4

7.5 15

Camden

102,551

39.1

34

28.6

-

J e r s e y City

260,545

21

17.4

11.1

5.4

Kansas City, Mo.

507,087

22.1

18.8

33.3

St. L o u i s

622,236

40.9

35.9

20.6

14

7.5

1,948,609

33.6

31.1

17.6

18.6

Pittsburgh

520,117

20.2

18.4

22.2

6.4

Oakland

361.561

34.5

29.4

12.5

Chicago

3,366.957

32.7

28.2

28

16.5

80,386

43.6

36.7

41.7

11.5

Philadelphia

Wilmington

7

Source: Reports o f J o i n t C e n t e r f o r P o l i t i c a l S t u d i e s , W a s h i n g t o n , D . C . ''Total population figures from

1970 census.

V A P d e n o t e s " V o t i n g A g e Population." Figures for 1970. c

City c o u n c i l seats figures for 1 9 7 2 .

" B l a c k p o l i c e f i g u r e s f o r 197(1. 3 4 . T h e s e d a t a a r e f r o m J o i n t C e n t e r f o r Political S t u d i e s , Focus ( M a r c h

1973).

t a b l e s 1-11, p p . 4 - 5 . 35.

F o r a c a s e s t u d v o f t h e p o l i t i c s o f this d i l e m m a , s e e M a r t i n

K i l s o n , Political

Dilemmas of the Black Mayor: Carl Stokes in Cleveland, W a s h i n g t o n , D . C , J o i n t C e n t e r ( o r Political S t u d i e s , f o r t h c o m i n g .

Blacks a n d Neo-Ethnicity in America

259

ization in t h e 1970s t h a t at t h e p o i n t w h e r e the influence of antiw h i t e a c t i v i s m i s b e g i n n i n g t o a t t e n u a t e , o r a t least b e c o m i n g s u s c e p t i b l e t o p o l i t i c a l c o n t r o l b y t h e black p o l i t i c i a n class, a p o l i t i c i z e d white neo-ethnicity is evolving. Moreover,

this

convergence-in-time

of

politicized

black

and

w h i t e n e o - e t h n i c i t y h a s c o n s e r v a t i v e n a t i o n a l political i m p l i c a t i o n s . T h e r e a s o n s f o r t h i s a r e s e v e r a l . First, t h e t h r u s t o f a p o l i t i c i z e d black e t h n i c i t y i s basically a t t h e left o f t h e political s p e c t r u m ; a n d d u r i n g its f o r m a t i v e p h a s e , b e f o r e i t w a s h a r n e s s e d b y t h e n e w b l a c k p o l i t i c i a n class, i t w a s e v e n a n a r c h i s t i c , a s e v i d e n c e d b y t h e riots o f t h e late 1 9 6 0 s .

3 6

T h e neo-ethnicity of u r b a n whites, on the

o t h e r h a n d , i s basically c o n s e r v a t i v e . T h i s i s p a r t l y b e c a u s e t h e r e s o r t t o n e o - e t h n i c i t y reflects a d e s i r e o f m a n y u r b a n w h i t e s t o r e g a i n a f i r m e r s e l f - o r i e n t a t i o n i n a n e r a o f s h a r p societal s h i f t s , a s exemplified

by the spread of neo-ethnicity a m o n g Jews. At the

s a m e t i m e t h a t e n o r m o u s u p w a r d social m o b i l i t y h a s p l a c e d 8 0 p e r c e n t o f J e w s f i r m l y i n t h e m i d d l e classes—a p r o p o r t i o n w i t h o u t equal a m o n g American ethnic g r o u p s — m a n y Jews exhibit a strong n e e d for the identity-sustaining benefits of neo-ethnicity. It seems that, for J e w s at least, a cost of u p w a r d mobility has b e e n a g r o w t h in ethnic decomposition. For e x a m p l e , intermarriage of J e w s (especially m a l e s ) w i t h g e n t i l e s i s a t a n a l l - t i m e h i g h , a n d t h e J e w i s h s e p aration a n d divorce rate is high. For example, a sample retake of c e n s u s for B o s t o n b y t h e H a r v a r d - M I T J o i n t C e n t e r for U r b a n Studies found that there were m o r e Jewish female heads of households t h a n N e g r o . In this situation, neo-ethnicity has conservative implications; it is being cultivated by n u m e r o u s established Jewish organizations such as rabbinical associations, the A m e r i c a n Jewish Committee, the American Jewish Congress, some of which have t u r n e d t h e i r backs o n their liberal principles, o p p o s i n g for e x a m p l e a

p o p u l a r television

p r o g r a m about a Jewish and

Irish couple

( " B e r n i e L o v e s B r i d g e t " ) , t h e r e b y c a u s i n g its t e r m i n a t i o n . W h e n this p a t t e r n o f J e w i s h n e o - e t h n i c i t y i s c o m b i n e d w i t h t h a t o f o t h e r w h i t e e t h n i c g r o u p s a t t h e level o f n a t i o n a l p o l i t i c s — a s i t w a s d u r 36.

This is t r e a t e d in Martin Kilson, "Black Politics: A N e w P o w e r , " in I r v i n g

H o w e a n d M i c h a e l H a r r i n g t o n , e d s . , The Seventies: Problems and Proposals ( N e w York, H a r p e r & R o w . 1972).

260

Martin

Kilson

ing the 1972 presidential c a m p a i g n of R i c h a r d N i x o n — t h e result is a v e r i t a b l e n e o - c o n s e r v a t i v e political r e a l i g n m e n t . I n t h i s s i t u a t i o n , black neo-ethnicity a s s u m e s a new significance. NEO-ETHNICITY AND T H E NEOCONSERVATIVE

REALIGNMENT

Neo-ethnicity a m o n g u r b a n whites is in large part a r e s p o n s e to t h e relative political success of an e m e r g e n t black ethnicity. It is concentrated

in

marginal-income,

working-class,

lower

middle-

class, a n d e v e n s o m e m i d d l e - c l a s s city w h i t e s , w h o r e t a i n s o m e vestiges o f e t h n i c lifestyles, v a l u e s , a n d p e r c e p t i o n s .

3 7

T h e marginal-

i n c o m e city w h i t e s a r e e s p e c i a l l y c e n t r a l t o n e o - e t h n i c i t y , i n s o f a r a s they provide the s h a r p e s t core s u p p o r t for a f u n d a m e n t a l attribute of white neo-ethnicity—anti-Negro orientation. T h e y deny m o r e strongly than o t h e r whites the prevalence of deprivations a m o n g N e g r o e s (for e x a m p l e , only 46 p e r c e n t of m a r g i n a l - i n c o m e whites believe " N e g r o h o u s i n g worse t h a n whites," c o m p a r e d with 65 perc e n t o f all w h i t e s ) , a n d t h e y a r e m o r e likely t o a c c e p t t h e m o s t p r e j u d i c e d views o f b l a c k s a s h u m a n b e i n g s ( f o r e x a m p l e , 6 1 p e r cent believe " N e g r o e s smell different," c o m p a r e d with 52 p e r c e n t o f all w h i t e s ) . N e o - e t h n i c i t y a m o n g m a r g i n a l - i n c o m e city w h i t e s i s also r e l a t e d t o t h e h i g h d e g r e e o f a l i e n a t i o n t h e y s e e m t o d i s p l a y . T h e i r rate of alienation might even be higher than that of the N e g r o p o p u l a t i o n . F o r e x a m p l e , national d a t a for 1966 s h o w that 6 8 p e r c e n t o f l o w - i n c o m e w h i t e s felt t h a t " r i c h g e t r i c h e r , p o o r g e t p o o r e r , " c o m p a r e d w i t h 4 9 p e r c e n t o f N e g r o e s s h a r i n g this o u t l o o k a n d 4 8 p e r c e n t o f t h e t o t a l p o p u l a t i o n ; also 4 0 p e r c e n t o f lowi n c o m e w h i t e s felt t h a t " n o b o d y u n d e r s t a n d s p r o b l e m s I

have,"

c o m p a r e d w i t h 3 0 p e r c e n t o f N e g r o e s a n d 17 p e r c e n t o f t h e t o t a l public.

3 8

F u r t h e r m o r e , t h e r e i s s o m e e v i d e n c e t h a t a l i e n a t i o n i s h i g h also f o r s k i l l e d w o r k i n g - c l a s s a n d l o w e r m i d d l e class w h i t e city d w e l l e r s . T h u s a study of Wallace s u p p o r t e r s in 3 7 . Cf.

N a t h a n Glazer and

D a n i e l P.

1968 in Gary,

Indiana,

M o y n i h a n , Beyond the Melting Pol ( C a m -

bridge. H a r v a r d University Press, a n d M I T Press, 1963). S e e also Mark R. Levy a n d M i c h a e l S . K r a m e r , The Ethnic Factor ( N e w Y o r k , S i m o n a n d S c h u s t e r , 1 9 7 2 ) .

3 8 . B r i n k a n d H a r r i s , Black and White, p. 1 3 5 .

Blacks a n d Neo-Ethnicity in A m e r i c a

261

f o u n d t h a t h i g h l y skilled w h i t e w o r k e r s i n t h e $7,500 t o $ 1 0 , 0 0 0 i n c o m e r a n g e h a d a distrustful or alienated outlook and "are in an e x t r e m e s t a t e o f r e l a t i v e d e p r i v a t i o n . " T h i s s i t u a t i o n s e e m s t o facilit a t e a t u r n t o n e o - e t h n i c i t y ( o n t h e p a r t o f s u c h w h i t e city d w e l l e r s ) a n d its s u b s e q u e n t p o l i t i c i z a t i o n . A s T h o m a s P e t t i g r e w , a h i g h l y p e r c e p t i v e social p s y c h o l o g i s t , h a s p u t it: " T h e b i t t e r i r o n y f o r o u r n a t i o n i s t h a t t h e s a m e p o w e r f u l social p s y c h o l o g i c a l m e c h a n i s m — relative d e p r i v a t i o n — i s l e a d i n g to racial strife on both sides of t h e c o l o r l i n e . B l a c k A m e r i c a n s typically r e g a r d t h e m s e l v e s a s v i c t i m s o f i n j u s t i c e w h e n t h e y c o m p a r e t h e i r still l a r g e l y low s t a t u s w i t h that of o t h e r A m e r i c a n s . Yet the white Wallace voters in G a r y s h a r e d m u c h t h e s a m e feeling. T h e y u n d e r s t a n d a b l y d e d u c e d f r o m all t h e p u b l i c i t y a b o u t civil r i g h t s g a i n s o f t h e p a s t d e c a d e t h a t N e g r o e s , i n c o n t r a s t w i t h t h e m s e l v e s , w e r e i n fact ' m a k i n g i t b i g . ' Yet t h e h a r d t r u t h is that most blacks a r e n o t ' m a k i n g i t ' — i n d e e d do not as a g r o u p a p p r o a c h the position of the t h r e a t e n e d Wallacites." 3 9

M o r e o v e r , a w h i t e political l e a d e r s h i p w i l l i n g t o a r t i c u l a t e t h i s position has b e e n central to the politicization of neo-ethnicity a m o n g w h i t e city d w e l l e r s . A l t h o u g h s o m e f o r m o f e t h n i c i t y h a s a l w a y s b e e n p r e s e n t in city politics, w h a t I call n e o - e t h n i c i t y is u n i q u e b e c a u s e o f t h e traditionalislic aura a s s o c i a t e d w i t h it i n a n e r a o f s h a r p s o c i e t a l shifts. N u m e r o u s s t u d i e s o f m o d e r n i z a t i o n a r o u n d t h e w o r l d h a v e d e m o n s t r a t e d t h e political i m p o r t a n c e o f t r a d i t i o n a l i s m i n p e r i o d s o f r a p i d social c h a n g e . " M o d e r n m a n is, a f t e r all, p a r t i c u l a r l y v u l n e r a b l e i n m a t t e r s o f i d e n t i t y , a n d p e r i o d s o f rapid c h a n g e intensify the p r o b l e m . A m e r i c a n s , after 25 years of e x t r a o r d i n a r y s o c i e t a l shifts, y e a r n f o r c o n n e c t i o n s with t h e p a s t — the m o o r i n g s of identity. For both blacks a n d whites neo-ethnicity has b e c o m e the m e d i u m of such retrieval of the traditional sources of identity, a n d thus a greater sense of personal worth. Paradox4

39. T h o m a s F. Pettigrew, "Ethnicity in A m e r i c a n Life: A Social-Psychological P e r s p e c t i v e , " in O t t o F e i n s t e i n , ed... Ethnic Groups in the City ( L e x i n g t o n , M a s s . , D. C. H e a t h , 1971). p. 35. 4 0 . Cf. L l o y d I . R u d o l p h a n d S u s a n n e R u d o l p h , The Modernity o f Tradition ( C h i c a g o , U n i v e r s i t y of C h i c a g o P r e s s , 1 9 6 7 ) ; M a r t i n K i l s o n , Political Change in a West

African

State.

262

Martin

ically, nicity

the is

political than

new

black

conservative. mobilization

politics.

ethnicity But

is

both,

ethnicity

H e r e i n lies

reformist

in

thrust,

alas,

are

militant:

is

curiously

while for

Kilson

the as

new

an

white

instrument

metapolitical—something

ethof more

t h e d a n g e r o f neo-ethnicity in A m e r i c a n

p o l i t i c a l l i f e — a d a n g e r still p o o r l y a p p r e c i a t e d b y s o m e l i b e r a l social s c i e n t i s t s .

41

S o m e of t h e best data illustrative of t h e modalites of n e o - e t h nicity i n city politics a r e f o u n d i n t h e s t u d y b y t h e H a r v a r d p o l i t i c a l scientist William S c h n e i d e r of t h e political a t t i t u d e s of 6 0 0 J e w i s h voters in New York's

1973 Democratic mayoralty primary. T h e

h a r d - c o r e J e w i s h s u p p o r t e r s of M a r i o Biaggi, a N e w Y o r k State ass e m b l y m a n w h o has e m e r g e d as a l e a d i n g s p o k e s m a n for white n e o - e t h n i c i t y i n city politics, w e r e typically o l d e r , p o o r e r , a n d less e d u c a t e d t h a n t h e typical J e w i s h voter. F o r e x a m p l e , 5 3 p e r c e n t were in the 3 0 - 6 0 years age g r o u p , 17 percent had incomes below $ 1 0 , 0 0 0 a n d 4 0 p e r c e n t n e v e r a t t e n d e d college. Biaggi s u p p o r t e r s also d i s p l a y e d a m i l i t a n t a p p r o a c h t o n e o - e t h n i c i t y , i n c l u d i n g a n a n t i - N e g r o o r i e n t a t i o n . T h u s s o m e 6 2 p e r c e n t o f Biaggi's J e w i s h s u p p o r t e r s b e l i e v e d t h e city g o v e r n m e n t i s d o i n g t o o m u c h f o r blacks a n d minorities; 8 4 p e r c e n t s u p p o r t e d the militant d e m o n strations against low-income F o r e s t Hills d i s t r i c t ;

public housing in

the middle-class

a n d 90 p e r c e n t s u p p o r t e d the boycotts by

C a t h o l i c a n d J e w i s h p a r e n t s a n d p u p i l s o f s c h o o l s s l a t e d f o r integration in the Canarsie school district. 41.

I

d r a w a t t e n t i o n to this d a n g e r in

42

my c h a p t e r "Political C h a n g e in t h e

N e g r o G h e t t o , 1 9 0 0 - 1 9 4 0 s , " i n H u g g i n s , K i l s o n , F o x , e d s . , Key Issues i n the AfroAmerican Experience, p . 1 9 2 . N o t i n g t h a t s o m e s o c i a l s c i e n t i s t s a t t e m p t t o d e i f y e t h n i c i t y i n A m e r i c a n l i f e , 1 o b s e r v e t h a t " S u r e l y , in t h e f o r m o f w h i t e r a c i s m t o w a r d blacks since the e n d of Reconstruction, ethnicity can be e v a l u a t e d as n o t h i n g o t h e r than a d e a d l y force: an albatross, or worse, a r o u n d the neck of A m e r i c a n society. T o d a y e t h n i c i t y , i n the h a n d s o f a n e w set o f N e g r o l e a d e r s — b e n t like their Irish, Polish, J e w i s h , Italian historical c o u n t e r p a r t s o n t h e e t h n i c r e d r e s s o f differentials b e t w e e n s u b o r d i n a t e and s u p e r o r d i n a t e g r o u p s — m i g h t well lead to p r o f o u n d political c r i s i s a t m a n y l e v e l s o f t h e A m e r i c a n p o l i t i c a l s y s t e m . " O n t h e d e i f i c a t i o n o f ethnicity i n A m e r i c a n politics, s e e A n d r e w N . Greeley, " T u r n i n g O f f ' T h e People': T h e W a r a n d W h i t e E t h n i c G r o u p s , " New Republic ( J u n e 2 7 ,

1970), pp.

14-16. See

a l s o M i c h a e l N o v a k , The Rise of the Unmeltable Ethnics ( N e w Y o r k . M a c m i l l a n , 1 9 7 2 ) . 42. T h e s e data are reported in

Richard

New York ( J u n e 1 8 , 1 9 7 3 ) , p p . 5 7 - 6 3 .

Reeves, "Splitting the

Jewish

Vote,"

263

Blacks a n d Neo-Ethnicity in America

B u t t h e a n t i - N e g r o i d e o l o g y i n t h e political a p p e a l o f w h i t e n e o e t h n i c i t y e n a b l e s i t t o c u t a c r o s s social class a n d g e n e r a t i o n l i n e s , m o b i l i z i n g s u p p o r t o u t s i d e its c o r e g r o u p o f s u p p o r t e r s . T h u s a n o t h e r 54 p e r c e n t of Biaggi's Jewish s u p p o r t e r s h a d between $10,000 a n d $20,000 i n c o m e a n d 35 p e r c e n t were u n d e r 30 years of age. F u r t h e r m o r e , the s t r e n g t h of the ideological e l e m e n t in the appeal o f w h i t e n e o - e t h n i c i t y i s u n d e r l i n e d b y t h e fact t h a t a l t h o u g h 6 5 percent of the Jews in Schneider's survey were characterized as "liberal"

4 3

m o r e t h a n h a l f (52 p e r c e n t ) o f t h e " l i b e r a l s " s u p p o r t e d

t h e d e m o n s t r a t i o n s a g a i n s t p u b l i c h o u s i n g i n F o r e s t Hills a n d 51 p e r c e n t of these backed the Canarsie school boycotts. T h e conservatism of Jewish voters in New York's

1973 D e m o -

cratic m a y o r a l p r i m a r y election c o n t r a s t e d strikingly with J e w i s h ideological a n d political p r e f e r e n c e s o f a d e c a d e a e o . T h e G a l l u p O

i

l

survey d o n e for Lloyd Free a n d H a d l e y Cantril in 1964 f o u n d that 8 3 p e r c e n t o f A m e r i c a n J e w s p o l l e d ( l a r g e l y r e s i d e n t i n N e w Y'ork State) h a d an "ideological-liberal" p r e f e r e n c e a n d 90 p e r c e n t an " o p e r a t i o n a l - l i b e r a l " p r e f e r e n c e ( t h a t is, t h e y d i d n o t b e l i e v e t h e federal g o v e r n m e n t had too m u c h power).

4 4

Both Catholics a n d

P r o t e s t a n t s r a n k e d significantly below J e w s in these p r e f e r e n c e s : 65 p e r c e n t of Catholics favored an ideological-liberal a n d 77 p e r c e n t a n o p e r a t i o n a l - l i b e r a l view; 4 2 p e r c e n t o f P r o t e s t a n t s favored t h e f o r m e r a n d 60 p e r c e n t the latter. T h u s if the Schneider survey d u r i n g t h e 1973 N e w Y o r k City m a y o r a l p r i m a r y indicates a t r e n d that can be projected for Jews a n d o t h e r whites, neo-conservatism is rising s h a r p l y . C O N C L U S I O N : FISSION AND FUSION The life

ultimate

today

tifaceted

might

paradox well

surrounding

be

that

neo-conservatism—carefully

as

neo-ethnicity white

orchestrated

neo-ethnicity at

the

in

American

evolves national

into level

political a by

multhe

4 3 . T h e " l i b e r a l s " i n t h e s u r v e y w e r e t h o s e w h o r e p l i e d " n o t e n o u g h " o r "just a b o u t r i g h t " t o t h e q u e s t i o n "Is t h e c i t y g o v e r n m e n t d o i n g t o o m u c h f o r m i n o r i t y groups?"

F o r t y - t w o p e r c e n t r e s p o n d e d " n o t e n o u g h , " a n d 2 2 p e r c e n t s a i d "just

about right." Reeves, "Splitting the Jewish Vote," p. 6 3 . 44. Lloyd

A.

Free

and

H a d l e y C a n t r i l , The Political Belief

Brunswick, N.J., Rutgers University Press, 1968), pp. 1 4 8 - 1 4 9 .

o f Americans

(New

264

^

Republican tancy

f

party—politics

and

anti-white

u

.

of

black

orientation.

The

'

ethnicity

web

Martin

is

of

KikoTi

'

c

de-emphasizing

.

mili-

contradictions

within

w h i c h b l a c k e t h n i c i t y F u n c t i o n s s u g g e s t s this s c e n a r i o . T h e p r o p o r t i o n o f b l a c k s p r e f e r r i n g h o u s i n g i n racially m i x e d n e i g h b o r h o o d s increased from 64 p e r c e n t in 1963 to 74 p e r c e n t in 1970, the years of the m a t u r a t i o n o f ^ e o - e t h n k j t ^ a m o n g Negroes. A s i m i l a r p a t t e r n p r e v a i l e d f o r a n o t h e r basic a r e a i n b l a c k - w h i t e int e r a c t i o n — t h e j o b m i l i e u . N e g r o p r e f e r e n c e f o r a racially m i x e d j o b milieu increased from 76 to 82

percent between

1963 a n d

1969, a n d t h e middle-class p r e f e r e n c e (86 p e r c e n t ) is s o m e w h a t s t r o n g e r t h a n t h e total b l a c k p r e f e r e n c e . What white

these

data

polarization

revitalization, level—or,

this rather,

suggest

related process a

is

that

to

the

nearly

a

movement

not

perfectly

continuous

proportion

of

is

significant

despite ideological

Negroes

decade

do

of

of at not

marked

black the wish

black-

ethnocentric institutional it

to

40

be.

D a t a f o r 1 9 6 9 t h r o u g h late 1 9 7 2 i l l u s t r a t e this c o n c l u s i o n , a s s h o w n in T a b l e 9, r e v e a l i n g a s h a r p decline in N e g r o p e r c e p t i o n of disc r i m i n a t i o n i n all m a j o r s p h e r e s o f b l a c k - w h i t e i n t e r a c t i o n . F o r e x ample, in

1969 some 83

percent of Negroes

felt d i s c r i m i n a t e d

against in h o u s i n g c o m p a r e d with 66 p e r c e n t in late 1972. It would s e e m t h a t as t h e m o v e m e n t of black e t h n o c e n t r i c revitalization realizes social b e n e f i t s for b l a c k s , t h e p l u r a l i s t p r e s s u r e s o f A m e r i c a n society f u n c t i o n as a c o u n t e r w e i g h t to l o n g - r u n N e g r o a n t a g o n i s m t o w a r d whites. T h i s t e n d e n c y t o w a r d fusion has b e e n o b s e r v e d in o t h e r h i s t o r i c a r e a s o f conflict i n A m e r i c a n s o c i e t y , a s R o b e r t D a h l h a s d e m o n s t r a t e d i n r e g a r d t o b o t h e t h n i c a n d class conflict i n N e w Haven

(late

nineteenth

to

middle

twentieth

century)

w ^ J a n g - c l a s s Catholics (Irish) a n d patrician W A S P s .

involving

4 6

I Yetjthe s h a r p e n i n g of e t h n i c p e r c e p t i o n s in black-white relations i s o n t h e i n c r e a s e a n d i s likely t o r e m a i n so. I n a d d i t i o n t o t h e p o w erful forces of relative d e p r i v a t i o n a m o n g working-class a n d lower m i d d l e - c l a s s w h i t e city d w e l l e r s a n d t h e p o l i t i c i z a t i o n o f n e o - e t h 4 5 . Cf. M a r t i n K i l s o n , " D y n a m i c s o f N a t i o n a l i s m a n d Political Militancy A m o n g N e g r o A m e r i c a n s , " in E r n e s t Q. C a m p b e l l , e d . , Racial Tonions and National Identity (Nashville, Vanderbilt University Press, 1972), pp. 1 1 1 - 1 1 2 . 4 6 . S e e R o b e r t A.

D a h l , Who Governs? Democracy and Power in an American City

( N e w H a v e n , Yale University Press, 1961), esp. chaps. 5-6.

^

Table

9.

Let m e ask y o u a b o u t s o m e specific a r e a s o f life i n A m e r i c a .

F o r e a c h , tell m e if v o u t h i n k b l a c k s a r e d i s c r i m i n a t e d a g a i n s t i n t h a t a r e a o r n o t (by p e r c e n t ) Late Discriminated against in

1972

1969

Getting decent housing Nationwide

52

50

Whites

51

46

Blacks

66

83

G e t t i n g full e q u a l i t y Nationwide

44

47

Whites

40

43

Blacks

72

83

Getting white-collar jobs Nationwide

41

42

Whites

40

44

Blacks

68

82

G e t t i n g skilled labor j o b s Nationwide

42

40

Whites

40

35

Blacks

66

83

Way treated as h u m a n beings Nationwide

41

39

Whites

38

35

Blacks

64

77

Nationwide

33

38

Whites

31

35

Blacks

44

68

Getting into hotels, motels

Getting quality education in public schools Nationwide

32

28

Whites

29

23

Blacks

53

72

Nationwide

30

26

Whites

28

22

Blacks

47

64

Nationwide

29

25

Whites

25

19

Blacks

66

76

Nationwide

26

27

Whites

22

22

Blacks

61

78

Nationwide

23

22

Whites

20

18

Blacks

35

51

Getting into labor u n i o n s

Way treated by police

Wages paid

Getting manual labor jobs

Source:

The Harris Survey ( D e c e m b e r

1972).

266

Martin

Kilson

nicity w i t h i n this c o n t e x t , it is t h e R e p u b l i c a n p a r t y ' s s t r a t e g y for a neo-conservative life.

47

majority

Ideologically,

the

that sustains Nixon

neo-ethnicity in

administration

was

political neo-racist

insofar as it m a n i p u l a t e d negative symbols associated with white p e r c e p t i o n s of blacks.

Politically, i t w a s w i l l i n g t o g o a s f a r a s

violating the d o c t r i n e of separation of c h u r c h a n d state in o r d e r to cultivate

s u p p o r t a m o n g Catholics

and Jews,

whose

leadership

s e e k s g o v e r n m e n t f u n d s for f l e d g l i n g r e l i g i o u s s c h o o l s . M a n y liberal intellectuals, exhibiting a strong p e r f e r e n c e for normalcy after 2 5 y e a r s o f e x t e n s i v e societal shifts, a r e q u i c k t o flirt w i t h t h i s n e o conservatism,

l e n d i n g it intellectual

respectability.

48

I t is, t h e n ,

i r o n i c t h a t a s t h e black e t h n i c i n p u t i n t o t h e politics o f n e o - e t h nicity a t t e n u a t e s , o t h e r f o r c e s e m e r g e t o s u s t a i n it. Politics is, n o d o u b t , k n o w n f o r its b i t t e r i r o n i e s . B u t t h e politics o f r a c e a n d e t h nicity in A m e r i c a is p a r t i c u l a r l y s t u b b o r n in this r e g a r d . change,

plus

4 7 . Cf.

c'est Kevin

la

mime

P.

Plus

(a

chose.

Phillips,

The

Emerging

Republican

Majority

(New

Rochelle,

Ar-

lington H o u s e , 1969). 48. chial

S e e , for e x a m p l e , S e y m o u r Martin Lipset's d e f e n s e o f public f u n d s f o r p a r o schools

Jewish Committee

in

S.

(New

M.

L i p s e t , Group Life in America: A

York,

1972),

pp.

79-81.

Task Force Report of the American

This and

other neo-conservative

implications of the report are debated in the a p p e n d i x by other intellectuals w h o participated in the T a s k Force, i n c l u d i n g myself. Ibid., p p . 1 0 2 - 1 1 1 . S e e also N o v a k , Rise

of the

Unmeltable

Ethnics.

9 J O H N PORTER

Ethnic Pluralism in Canadian Perspective

C a n a d a , like t h e U n i t e d S t a t e s a n d many o t h e r societies a r o u n d t h e w o r l d , h a s b e e n e x p e r i e n c i n g a revival o f e t h n i c i t y . T h e r e a s o n s f o r this w o r l d p h e n o m e n o n a r e many a n d c o m p l e x . I n p a r t i t can be t r a c e d to the p o s t - W o r l d W a r II decolonization which was s o o f t e n b i t t e r l y f o u g h t o v e r , a s i n Algeria, f o r e x a m p l e , w h e r e a h e i g h t e n e d c o n s c i o u s n e s s o f r a c i a l a n d ethnic d i f f e r e n c e s , b e y o n d t h e visibility o f c o l o r , w a s a p a r t o f t h e d e m a n d f o r i n d e p e n d e n c e a n d s e l f - d e t e r m i n a t i o n . I n e a s t e r n E u r o p e , socialist societies w e r e a l l e g e d l y s u p p r e s s i n g t h e n a t i o n a l cultures t h a t lay w i t h i n t h e i r b o r d e r s , a situation which e m i g r e s sought to c o u n t e r a c t by enlisting t h e i r fellow c o u n t r y m e n a n d s o m e t i m e s t h e d e s c e n d a n t s o f p r e vious g e n e r a t i o n s in a national movement in exile. T h e escalation o f t h e V i e t n a m w a r was i n t e r p r e t e d i n many p a r t s o f t h e w o r l d a s the U n i t e d States taking over from the retreating E u r o p e a n powers t h e r o l e o f w h i t e d o m i n a t i o n t h r o u g h force i n t h e affairs o f t h e world. I n t h e U n i t e d S t a t e s a h i g h l y visible d e p r i v e d m i n o r i t y was n o t s h a r i n g i n t h e a f f l u e n c e t h a t t h e society w a s s u p p o s e d t o h a v e p r o d u c e d . I n C a n a d a , s i m i l a r l y , t h e French h a d b e e n d e n i e d m u c h o f t h e o p p o r t u n i t y a n d h a d c a r r i e d a good d e a l o f t h e cost i n less e d u c a t i o n a n d l o w e r p a i d j o b s — l o w e r , t h a t is, t h a n s o m e i m m i g r a n t g r o u p s that were c o m i n g in near the b o t t o m — o f C a n a d a ' s take-off as an industrial society. T h e d e m a n d by s o m e intellectuals i n F r e n c h C a n a d a t h a t s o m e t h i n g b e d o n e a b o u t this i n e q u a l i t y l e d

268

John

Porter

to t h e e s t a b l i s h m e n t in 1963 of t h e Royal C o m m i s s i o n on Bilingualism a n d B i c u l t u r a l i s m . C a n a d a w a s c a u g h t u p i n a g l o b a l m o v e m e n t a n d a l t h o u g h all t h e e x a m p l e s o f t h e w o r l d - w i d e revival o f e t h n i c i t y c a n b e s t b e u n d e r s t o o d w i t h i n t h e i r o w n local a n d h i s t o r i c a l c o n t e x t s , t h e y h a v e , t h r o u g h m o d e r n c o m m u n i c a t i o n s a n d c o m m o n intellectual leadership, b e c o m e mutually s u p p o r t i v e . F a n o n b e c o m e s widely r e a d in Quebec and

Wounded

Knee

takes on

symbolic

significance

far

beyond South Dakota. O n e f e a t u r e o f this e t h n i c revival c o m m o n t o t h e t w o m o d e r n s o c i e t i e s o f N o r t h A m e r i c a is, t h e n , t h e d e p r e s s e d s t a t u s o f a l a r g e minority g r o u p , but there are three important respects in which the C a n a d i a n situation differs from that in the U n i t e d States. In C a n a d a the deprived ethnic g r o u p that is large e n o u g h to have a political i m p a c t i s w h i t e a n d h e n c e e t h n i c i t y d o e s n o t h a v e t h e w i d e visibility t h a t i t h a s a c r o s s t h e b o r d e r . H o w e v e r , t h e r e i s t h e b a r r i e r of l a n g u a g e w h i c h can o p e r a t e as effectively as color d i f f e r e n c e s to r e d u c e friendly interaction b e t w e e n g r o u p s . If p e o p l e from two g r o u p s c a n n o t c o m m u n i c a t e , as is t h e case in C a n a d a w h e r e t h e F r e n c h a n d E n g l i s h h a v e b e e n effectively o u t o f c o m m u n i c a t i o n with each o t h e r , t h e n t h e l a n g u a g e division is as real as that of color. T h e l o n g - s t a n d i n g hostility o f s o m a n y o f t h e E n g l i s h i n C a n a d a t o l e a r n i n g F r e n c h i s a n a l o g o u s t o t h e hostility t o w a r d b l a c k n e s s that has m a r k e d black-white relations. In both cases t h e psychological e l e m e n t s a r e d e e p - l a y e r e d , all t h e m o r e s o b e c a u s e A n g l o p h o n e s i n C a n a d a , like w h i t e s i n t h e U n i t e d S t a t e s , a r e t h e d o m i nant

majority

in

both

numbers

and

power.

Occasionally

the

psychological tensions of color may be invoked by referring to the F r e n c h as "les n e g r e s blancs d ' A m e r i q u e . "

1

S u c h s y m b o l i s m , h o w e v e r d r a m a t i c , i s scarcely a p p r o p r i a t e b e cause of the second major difference between these

two plural

societies o f N o r t h A m e r i c a . T h a t d i f f e r e n c e i s t h a t s o m e F r e n c h C a n a d i a n s have enjoyed high status a n d p o w e r in collaboration with 1.

English-speaking Canadians

and

foreign

investors,

largely

T h e title o f a w i d e l y r e a d b o o k b y P i e r r e V a l l i e r e s , E d i t i o n s Parti Pris, M o n -

t r e a l , 1 9 6 8 . R e p r i n t e d a s White Niggers o f America ( T o r o n t o , M c C l e l l a n d a n d S t e w art, 1 9 7 1 ) .

Ethnic Pluralism in Canada

269

U n i t e d States c o r p o r a t i o n s . C a n a d a has h a d t h r e e F r e n c h p r i m e ministers

and

two

French

governors-general

as

titular

head of

state. M o r e o v e r , in Q u e b e c the F r e n c h have power. T h e r e has never

been

an

English

premier

of Quebec.

ministre

This

seeming

contradiction between being a large deprived minority within Cana d a a n d having representatives in the structure of power can be e x p l a i n e d i n t e r m s o f t h e class s t r u c t u r e o f F r e n c h C a n a d a w h i c h u n t i l r e c e n t l y h a s b e e n p r e m o d e r n , w i t h a n a r r o w b a n d o f classically e d u c a t e d elites a n d m e m b e r s o f t h e l e a r n e d p r o f e s s i o n s a t the top, a n d a mass of poorly educated at the bottom who increasi n g l y left a r u r a l way o f life f o r t h e i n d u s t r i a l i z e d cities. I t w a s a n A m e r i c a n a n d a n " a d o p t e d " C a n a d i a n , E . C. drew attention tion,

o r as

its

to

this

French

phenomenon title

says,

in

Rencontre

his de

Hughes, who first French

deux

Canada

mondes.

in

Transi-

2

B y a n d l a r g e t h e F r e n c h elites o f c h u r c h a n d s t a t e h a v e b e e n p r e p a r e d to collaborate in the federal state, a l t h o u g h in d o i n g so they h a v e exacted a price which h a s given a particular s h a p e to C a n a d i a n federalism a n d has generally served the interests of the class f r o m w h i c h t h e y c a m e r a t h e r t h a n t h e i n t e r e s t s o f Q u e b e c s o ciety a s a w h o l e . T h e s t r o n g e s t o f t h e i n t e l l e c t u a l critics will a r g u e that the

F r e n c h elites o f Q u e b e c h a v e a i d e d its c o l o n i z a t i o n b y

English-speaking Canadians and Americans.

3

Whether or not one

a g r e e s w i t h s u c h s t r i c t u r e s t h e r e i s little t o b e said a g a i n s t t h e n o tion, w h a t e v e r t h e b e h a v i o r of t h e i r elites, t h a t F r e n c h C a n a d i a n s within t h e global context of C a n a d i a n society, until recently, w e r e an " e t h n i c class" of d e p r i v e d s t a t u s .

4

T h e third and perhaps the most important difference between 2 . L e s e d i t i o n s d u b o r e a l e x p r e s s . M o n t r e a l , 1 9 7 2 . T h e o r i g i n a l i s French Canada i n Transition

( C h i c a g o , University of C h i c a g o Press,

3. See, for e x a m p l e . Sheilagh

1943).

H o d g i n s M i l n e r a n d H e n r y M i l n e r , The Decoloni-

zation o f Quebec ( T o r o n t o . M c C l e l l a n d a n d S t e w a r t , 1 9 7 3 ) . 4. T h e

idea

of

French

Canadians

as

an

ethnic

class

was first discussed

by

Jacques D o f n y and Marcel Rioux in a 1962 p a p e r reprinted in Marcel Rioux and Y v e s M a r t i n , French-Canadian Society ( T o r o n t o , M c C l e l l a n d a n d S t e w a r t . "Social

Class

in

French

Canada."

There

has

b e e n criticism,

1964), as

particularly

from

Marxist writers, o f t h e " d u b i o u s m e t a p h o r " o f a n e t h n i c class. S e e S t a n l e y B. Ryerson, "Quebec:

C o n c e p t s of Class a n d

the National Question i n Canada

N a t i o n , " i n G a r y T e e p i e . e d . , Capitalism and

( T o r o n t o , U n i v e r s i t y of T o r o n t o P r e s s ,

1972).

In

the s a m e v o l u m e s e e also Gilles B o u r q u e a n d N i c o l e L a u r i n - F r e n e t t e , "Social Class and National Ideologies in Quebec."

270

John

Porter

C a n a d a a n d t h e U n i t e d States in the s p h e r e of ethnicity is that French

Canadians,

concentrated

as

they are

in

Quebec

where

a b o u t 8 0 p e r c e n t o f t h e m live, h a v e t e r r i t o r y o r a h o m e l a n d w h i c h w a s c o n q u e r e d , a h i s t o r i c a l a n d i m m e n s e l y s y m b o l i c fact w h i c h m a k e s s o m e s e n s e a n d gives a n i m p e t u s t o a s e p a r a t i s t m o v e m e n t for an eventual French-speaking state of Q u e b e c as the visionary s o l u t i o n t o t h e d e p r i v e d s t a t u s t h a t t h e F r e n c h a s a n e t h n i c class h a v e e x p e r i e n c e d . I t s h o u l d b e r e m e m b e r e d also t h a t t h e F r e n c h a r e a l a r g e m i n o r i t y within C a n a d i a n society, c o m p r i s i n g a b o u t t h r e e t e n t h s o f t h e p o p u l a t i o n , a d e m o g r a p h i c fact t h a t m a k e s s u c h a solution as

the "equal

Royal Commission on

partnership"

r e c o m m e n d a t i o n s by the

Bilingualism a n d Biculturalism a possible

r e s o l u t i o n o f t h e c u r r e n t t e n s i o n s . B u t t h e s a m e d e m o g r a p h i c fact of n u m b e r s

combined

with

the

concentration

in

a "homeland"

m a k e s t h e s e p a r a t i s t s o l u t i o n also p o s s i b l e . FRENCH-ENGLISH RELATIONS: AN ASSESSMENT T h e wide-ranging examination from

1963 to

1968 of F r e n c h -

English relations by the Bilingualism C o m m i s s i o n took place over the

same period

a s official a n d

unofficial inquiries w e r e b e i n g

m a d e in the U n i t e d States on the c o n d i t i o n of n o n - w h i t e minorities a n d of increasing violence in i n t e r e t h n i c relations. Even t h o u g h in C a n a d a violence has b e e n m i n i m a l , t h e Royal C o m m i s s i o n f o u n d t h e f u t u r e o f t h e society itself i n q u e s t i o n a n d s u g g e s t e d t h a t w i t h o r w i t h o u t v i o l e n c e , C a n a d a h a d a f a r g r e a t e r p r o b l e m i n t h e solut i o n o f its i n t e r e t h n i c t e n s i o n s t h a n h a d a n y o t h e r m o d e r n society. In a preliminary r e p o r t in 1965 t h e commission h a d said, "Cana d a , w i t h o u t b e i n g c o n s c i o u s o f t h e fact, i s p a s s i n g t h r o u g h t h e g r e a t e s t crisis in its h i s t o r y . " o f s e v e r a l v o l u m e s o f its

Report.

5

T h i s view w a s r e i t e r a t e d in t h e first C a n a d a w a s f a c i n g a n a t i o n a l crisis,

a time w h e n , the commission said, "Decisions m u s t be taken a n d d e v e l o p m e n t s m u s t o c c u r l e a d i n g e i t h e r t o its b r e a k - u p , o r a n e w set o f c o n d i t i o n s f o r its f u t u r e e x i s t e n c e . " 5. A

Preliminary Report of the Royal Commission

6

F o r all t h e v i o l e n c e i n

on Bilingualism and Biculturalism

(Ottawa, Q u e e n ' s Printer, 1965), p. 13.

6. Report of the Royal Commission on Bilingualism and Biculturalism, B o o k I, The Off i c i a l Languages ( O t t a w a , Q u e e n ' s P r i n t e r , 1 9 6 7 ) . p . x v i i .

Ethnic Pluralism in Canada

271

t h e U n i t e d S t a t e s , o r t o t a k e a n o t h e r m o d e r n society, f o r all t h e s u p p r e s s i o n in S o u t h Africa, it is doubtful that similar commissions would come to such gloomy conclusions about the future of their societies. It is not my intention exhaustively to review h e r e the relations between the English a n d the French in C a n a d a . T h e y have involved v a r y i n g d e g r e e s o f h o s t i l i t y a n d c o o p e r a t i o n since t h e E n g l i s h c o n quest of 1759 a n d have been t h e major preoccupation of C a n a d i a n history,

politics,

hundred

years.

and With

sociological my

rather

investigation optimistic

for

over

observations

two about

F r e n c h - E n g l i s h relations since t h e Royal Commission's r e p o r t a n d a brief discussion of C a n a d a ' s non-English, n o n - F r e n c h g r o u p s I i n t e n d r a t h e r t o s e r v e t h e m o r e g e n e r a l p u r p o s e o f critically e x a m i n i n g t h e r e v i v a l o f e t h n i c i t y i n m o d e r n societies. In r e s p o n s e to t h e r e c o m m e n d a t i o n s of the Royal C o m m i s s i o n for "equal p a r t n e r s h i p " a n d "institutional bilingualism," the federal g o v e r n m e n t e m b a r k e d o n a s e r i e s o f policies t o i m p r o v e t h e p o s i tion of the French a n d the F r e n c h language in those agencies a n d i n s t i t u t i o n s w i t h i n its j u r i s d i c t i o n .

7

Bilingualism within the federal

public service i m p r o v e d . T h e F r e n c h b e c a m e better r e p r e s e n t e d t h a n f o r m e r l y w i t h i n t h e h i g h e r levels o f t h e b u r e a u c r a c y . O t t a w a b e g a n slowly t a k i n g o n t h e a s p e c t o f a b i l i n g u a l n a t i o n a l c a p i t a l . Much

money

was s p e n t o n l a n g u a g e t r a i n i n g a n d

8

grants were

m a d e t o p r o v i n c i a l g o v e r n m e n t s t o i m p r o v e t h e i r p r o v i s i o n o f seco n d l a n g u a g e e d u c a t i o n . T h e f e d e r a l g o v e r n m e n t s a w itself a s c o n s t i t u t i o n a l l y r e s p o n s i b l e f o r s a f e g u a r d i n g t h e two official l a n g u a g e s even t h o u g h language, because it is the principal m e a n s of cultural expression, would normally be considered a provincial responsibility. S i n c e t h e R o y a l C o m m i s s i o n ' s s o m b e r a c c o u n t s i t i s b e c o m i n g inc r e a s i n g l y likely t h a t a n a d a p t i v e a n d f l e x i b l e f e d e r a l s y s t e m c a n 7 . T h e m a i n i n s t r u m e n t w a s t h e O f f i c i a l L a n g u a g e s A c t o f 1 9 6 9 , Statutes o f Canada,

1 7 - 1 8 Elizabeth II, C h a p t e r II.

8 . O n e o f t h e p r o v i s i o n s o f the Official L a n g u a g e s Act o f 1 9 6 9 was t h e a p p o i n t m e n t o f a C o m m i s s i o n e r o f O f f i c i a l L a n g u a g e s w h o s e task w a s t o e n s u r e c o m p l i a n c e with t h e spirit a n d i n t e n t o f t h e act. O n t h e w h o l e his a n n u a l r e p o r t s ( I n f o r m a t i o n C a n a d a , O t t a w a ) h a v e t e n d e d t o b e critical o f t h e r a t e o f p r o g r e s s t o w a r d the o b j e c t i v e s of the act.

John

272

Porter

c o m e a b o u t . P e r h a p s this i s p o s s i b l e b e c a u s e o n t h e m a t t e r o f p o l i t i cal a n d c o n s t i t u t i o n a l s o l u t i o n s c o n c e r n i n g t h e F r e n c h a n d Q u e b e c w i t h i n c o n f e d e r a t i o n , t h e Royal C o m m i s s i o n literally g a v e u p t h e g h o s t a n d failed t o c o m p l e t e its j o b . T h e e v o l v i n g C a n a d i a n f e d e r a l ism o f t h e last few y e a r s i s n o t w i t h o u t its p r o b l e m s f o r n a t i o n b u i l d i n g , b u t n e i t h e r is it c o n f i n e d to a r i g i d b l u e p r i n t . According to some Anglo-Canadians the concessions m a d e to Q u e b e c p a r t i c u l a r l y i n social w e l f a r e l e g i s l a t i o n a p p e a r t o c o m e close t o p r o v i d i n g a s p e c i a l s t a t u s f o r t h a t p r o v i n c e . S o m e w h a t t h e reverse has h a p p e n e d , however. As an o u t c o m e of ingenious diplom a c y o n t h e p a r t o f f e d e r a l a n d p r o v i n c i a l b u r e a u c r a t s a n d politic i a n s , all t h e o t h e r p r o v i n c e s a r e b e c o m i n g m o r e like Q u e b e c , t h e final a n d ironic o u t c o m e of the insistence of the F r e n c h that Q u e bec was

not a

province

comme

les

autres.

T h e lessening of federal

p o w e r p a r t i c u l a r l y in a w i d e r a n g e of social policy c a n be s e e n as a loss o f t h e ability t o e s t a b l i s h n a t i o n a l g o a l s a n d a s a p r o c e s s o f d e centralization. M u c h o f t h e c h a n g e c a n b e a t t r i b u t e d t o F r e n c h political l e a d e r s a n d an intellectually s t r e n g t h e n e d provincial b u r e a u c r a c y in Q u e bec w h o w e r e d e t e r m i n e d t o d o s o m e t h i n g a b o u t t h e d e p r i v e d status of the F r e n c h . T h e y were m o r e conscious of the n e e d for social a n d e d u c a t i o n a l r e f o r m s t h a n w e r e e a r l i e r e l i t e s . T h u s , a s i n the past, the F r e n c h have c o n t i n u e d to exercise g r e a t p o w e r in the s h a p i n g o f C a n a d i a n federalism. O t h e r provincial political l e a d e r s and bureaucrats are enjoying the e n h a n c e d power that Quebec has won for the provinces as the federal g o v e r n m e n t has b e c o m e enf e e b l e d i n a w i d e r a n g e o f i m p o r t a n t e c o n o m i c a n d social i s s u e s . T h e a l t e r n a t i v e o f a special s t a t u s f o r Q u e b e c w i t h i n t h e f e d e r a l system is scarcely c o n s i d e r e d any m o r e o u t s i d e t h e c o n t e x t of complete s e p a r a t i o n . Special status is a n a t h e m a to t h e p r e s e n t federal leadership u n d e r Mr. Pierre T r u d e a u , as indeed is separation. T h e O c t o b e r 1973 p r o v i n c i a l e l e c t i o n i n Q u e b e c w a s a n i m p o r t a n t test o f t h e t y p e o f f e d e r a l i s m t h a t h a s b e e n d e v e l o p i n g . T h e r e s u l t s i n d i c a t e t h a t a m a j o r i t y of lisme

rentable

combined

with

la

t h o s e in Q u e b e c f a v o r

souverainete

culturelle,

slogans

le federa-

of

the

L i b e r a l p a r t y w h i c h w o n 5 4 p e r c e n t o f t h e p o p u l a r v o t e a n d 102 o f t h e 110 seats in t h e N a t i o n a l Assembly. H o w e v e r , in t h e s a m e elec-

Ethnic Pluralism in C a n a d a

tion

the

separatist

Parti

273

increased

Quebecois

its

proportion

of the 9

p o p u l a r vote from 24 p e r c e n t in 1970 to 30 p e r c e n t in 1973. Since t h e o t h e r p a r t i e s r u n n i n g w e r e all f e d e r a l i s t — t h a t is, w a n t i n g t o work within

confederation—the 30

percent for the

Parti

Quebecois

c a n b e t a k e n a s a g o o d m e a s u r e o f t h o s e w h o w o u l d like t o c r e a t e a s e p a r a t e F r e n c h s t a t e . A s yet n o e x t e n s i v e a n a l y s i s h a s a p p e a r e d , b u t i t i s t a k e n a s s e l f - e v i d e n t t h a t t h e s e p a r a t i s t s u p p o r t e r s w e r e alm o s t all F r e n c h a n d h e a v i l y r e p r e s e n t a t i v e o f t h e y o u n g . T h e less s a n g u i n e m i g h t , t h e r e f o r e , still c o n s i d e r t h e f u t u r e o f C a n a d a i n q u e s t i o n . T h e r e a r e also s o m e d o u b t s a b o u t t h e l e g i t i m a c y o f a n e l e c t o r a l s y s t e m w h i c h gives a p a r t y 3 0 p e r c e n t o f t h e v o t e s , b u t only 9 p e r c e n t of the seats. Whatever

directions

"diplomatic"

or

"executive"

federalism

1,1

and constitutional bargaining may take over the next decade, the f u t u r e o f F r e n c h - E n g l i s h r e l a t i o n s r e a l l y lies w i t h i n t h e p r o v i n c e s , particularly in Q u e b e c w h e r e 19 p e r c e n t of the population is nonFrench-speaking, in New Brunswick where 34 percent of the population speak F r e n c h , a n d in O n t a r i o w h e r e t h o u g h overall only 6 p e r c e n t a r e F r e n c h - s p e a k i n g , i n s o m e p a r t s o f n o r t h e r n O n t a r i o almost half the p o p u l a t i o n is F r e n c h - s p e a k i n g a n d in s o m e counties i n t h e St. L a w r e n c e - O t t a w a R i v e r t r i a n g l e t h e p r o p o r t i o n t h a t i s French-speaking

is

over

80

percent.

The

absolute

number

of

French-speaking people in O n t a r i o is m u c h greater than in any other province outside Q u e b e c . " 9 . L a Presse, M o n t r e a l , O c t o b e r 3 0 , 1 9 7 3 . 10. " D i p l o m a t i c " a n d " e x e c u t i v e " f e d e r a l i s m a r e t e r m s t o d e s c r i b e t h e w a y s i n which

provincial

and

federal cabinet

ministers and committees of

federal

and

provincial b u r e a u c r a t s bargain o n a w i d e r a n g e o f issues, like u r b a n p r o b l e m s a n d h i g h e r e d u c a t i o n , a n d w o r k o u t t h e r e s p o n s i b i l i t i e s o f t h e t w o levels of ment. T h e federal

govern-

P a r l i a m e n t a n d provincial legislatures b e c o m e a l m o s t ratifiers,

a n u n u s u a l r o l e f o r t h e m i n t h e t r a d i t i o n a l p a r l i a m e n t a r y s y s t e m . S e e R. S i m e o n , Federal-Provincial Diplomacy

(Toronto.

University

of T o r o n t o

Press,

1972),

and

D o n a l d V . S m i l e y , Canada in Question ( T o r o n t o . M c G r a w - H i l l , 1 9 7 2 ) . 1 1. and

Proportions based on m o t h e r t o n g u e . T h e r e are bilinguals in both French-

English-speaking groups. T h e

whose mother

tongue would

be

19

percent

includes

neither English

immigrants

in

Quebec

n o r F r e n c h . Census o f Canada,

1971. v o l . 1 , p i . 3 . S t a t i s t i c s C a n a d a . O t t a w a , 1 9 7 3 . I f " e t h n i c o r i g i n . " t h e d e f i n i t i o n of w h i c h is dealt w i t h later in this c h a p t e r , is u s e d t h e p r o p o r t i o n s a r e n o n - F r e n c h in Q u e b e c , 21 p e r c e n t ; F r e n c h in O n t a r i o , 9 . 5 p e r c e n t ; a n d F r e n c h in N e w B u m s -

274

John

Porter

A r e a s i n w h i c h p r o v i n c i a l g o v e r n m e n t p o l i c i e s will b e c r u c i a l f o r the i m p r o v e m e n t in F r e n c h - E n g l i s h relations a r e e d u c a t i o n , lang u a g e t r a i n i n g , the provision of g o v e r n m e n t a l services in F r e n c h a n d E n g l i s h w h e r e b o t h g r o u p s live i n s i z a b l e n u m b e r s , a n d e x tending French as the language of work in Quebec. It is not possible h e r e to p r o v i d e a p r o v i n c e by p r o v i n c e b a l a n c e sheet on French-English relations. We m i g h t instead look at t h e country's two major a n d n e i g h b o r i n g provinces, Q u e b e c a n d O n t a r i o . I t i s i n t h e d e v e l o p m e n t w i t h i n t h e s e p r o v i n c e s t h a t t h e fut u r e o f C a n a d a m a y well b e s e t t l e d . In Q u e b e c it is clear that English-speaking p a r e n t s (and French f o r t h a t m a t t e r ) will a l w a y s b e a b l e t o h a v e t h e i r c h i l d r e n e d u c a t e d i n E n g l i s h . Q u e b e c will n e v e r b e c o m e u n i l i n g u a l i n e d u c a t i o n . N o p a r t y s e e k s t o r e m o v e this r i g h t f r o m t h e E n g l i s h m i n o r i t y . H o w ever, o n e of the most seriously discussed issues in t h e 1973 p r o v i n cial e l e c t i o n w a s t h e e x i s t i n g l e g i s l a t i o n p e r m i t t i n g i m m i g r a n t parents to educate their children in either English or French. Imm i g r a n t p a r e n t s , such as Italian a n d P o r t u g u e s e , have s h o w n a s t r o n g p r e f e r e n c e for h a v i n g t h e i r c h i l d r e n g o t o E n g l i s h - s p e a k i n g schools b e c a u s e of the g r e a t e r o p p o r t u n i t i e s t h a t an e d u c a t i o n in English provides in N o r t h America. T h e F r e n c h on the o t h e r h a n d , h i g h l y s e n s i t i v e t o t h e i r o w n falling fertility r a t e s a n d s u b stantially u n a b l e t o recruit i m m i g r a n t s f r o m t h e F r e n c h - s p e a k i n g world, foresee a gradual d e c r e a s i n g use of F r e n c h in the province. I n t h e last e l e c t i o n all political p a r t i e s r e c o g n i z e d this t h r e a t , a n d t h e r e e l e c t e d L i b e r a l g o v e r n m e n t p r o m i s e d t o r e v i e w t h e legislation. A m o n g t h e m o s t s t r i k i n g o f t h e d o c u m e n t a t i o n s o f t h e Royal C o m m i s s i o n on Bilingualism a n d Biculturalism was t h e use of the French language in the industries of Quebec, large segments of which a r e o w n e d by A m e r i c a n or A n g l o - C a n a d i a n c o r p o r a t i o n s . T h e p a t t e r n was familiar; F r e n c h blue-collar w o r k e r s , bilingual f o r e m e n , a n d a large o v e r - r e p r e s e n t a t i o n of unilingual Anglop h o n e s i n m a n a g e r i a l a n d h i g h e r o c c u p a t i o n a l levels o f t h e p r i v a t e

wick, 39 p e r c e n t . Census of Canada, 1971, A d v a n c e B u l l e t i n , Population by Ethnic Croup ( O t t a w a , S t a t i s t i c s C a n a d a , 1 9 7 3 ) .

Ethnic Pluralism in Canada

275

s e c t o r . F r e n c h w h o d i d a c h i e v e t h e s e levels b e c a u s e o f t h e i r p r o f e s s i o n a l e d u c a t i o n i n f i e l d s s u c h a s law, a c c o u n t i n g , a n d p u b l i c r e l a tions were most often r e q u i r e d to work in English. T h e u p p e r levels o f t h e w o r k w o r l d w e r e essentially E n g l i s h - s p e a k i n g , i m p o s ing a r e q u i r e m e n t of written a n d oral bilingualism on the F r e n c h , but not on the English Canadians or Americans. T h i s condition was strongly resented by the y o u n g e r French as they were being t u r n e d out in increasing n u m b e r s from a r e f o r m e d educational system w h e r e their u p w a r d mobility i n their h o m e p r o v i n c e m i g h t b e b l o c k e d b e c a u s e t h e i r E n g l i s h was n o t a d e q u a t e , a n d t h e i r o w n l a n g u a g e was d o w n g r a d e d or n e v e r used by a " f o r e i g n " m a n a g e ment. T h e Royal C o m m i s s i o n r e c o m m e n d e d that i n private i n d u s t r y i n Q u e b e c t h e objective s h o u l d be F r e n c h as t h e l a n g u a g e of w o r k at all levels a n d t h a t t h e Q u e b e c g o v e r n m e n t s h o u l d set u p a t a s k force to discover m e a n s of achieving such an e n d . g o v e r n m e n t did

set

up a

special c o m m i s s i o n

1 2

T h e Quebec

u n d e r the chair-

m a n s h i p of J e a n - D e n i s G e n d r o n . After four years of e x a m i n i n g the problem the G e n d r o n Commission r e c o m m e n d e d that French become t h e provincial provincial

national

official 13

languages.

language

There

a n d French a n d English be

is

widespread

recognition

on

t h e p a r t o f t h e g o v e r n m e n t a n d political p a r t i e s t h a t F r e n c h c a n n o t b e m a d e t h e l a n g u a g e o f w o r k a t all levels b y l i g h t n i n g l e g i s l a t i o n . B y t h e e n d o f 1 9 7 3 t h e r e was still n o official g o v e r n m e n t policy o n l a n g u a g e o f w o r k . T h e r e w a s , h o w e v e r , a set o f b a s i c g u i d e l i n e s pressing firms in the direction of bilingualism. French should be t h e l a n g u a g e i n i n t e r n a l o r a l c o m m u n i c a t i o n a n d all o r a l a n d w r i t ten communication

with

customers,

suppliers,

and

government

a g e n c i e s . M a n y f i r m s h a v e r e s p o n d e d p o s i t i v e l y t o this p r e s s u r e a n d h a v e set u p F r e n c h i n s t r u c t i o n p r o g r a m s f o r m a n a g e r i a l p e r s o n n e l a t all levels. T h e s i t u a t i o n i s c o m p l e x , n o t o n l y b e c a u s e o f t h e i n g r a i n e d h a b i t s o f t h e p a s t , b u t also b e c a u s e Q u e b e c a p p e a l s t o foreign investment a n d does not want to scare it away. T h a t is why 1 2 . Report of the Royal Commission on Bilingualism and Biculturalism. b o o k 111, The Work World ( O t t a w a . Q u e e n ' s P r i n t e r , 1 9 6 9 ) . p . 5 5 9 .

13. Report of the Commission oj Inquiry on the Position oj the French Language and on Language Rights in Quebec ( M o n t r e a l , I ' E d i t e u r o f f i c i e l du Q u e b e c ,

1972).

John

276

Porter

the tone of the language at work problem exemplified by the Gendron Commission is moderate, encouraging gradual change. Not all F r e n c h n a t i o n a l i s t s a r e m o d e r a t e h o w e v e r . T h i s i s p a r t i c u l a r l y t r u e o f M o n t r e a l w h e r e t h e p r o p o r t i o n o f F r e n c h s p e a k e r s (66 p e r cent) is lower t h a n in the rest of the province a n d the d e m o g r a p h i c forces of anglicization are most s t r o n g .

1 4

With the democratization of education a n d an increased e m p h a sis o n s c i e n c e a n d t e c h n o l o g y i n c u r r i c u l a , t h e p r o s p e c t s f o r t h e i m p r o v e m e n t in the occupational opportunities for the French are very g o o d . U p w a r d mobility a n d participation in an increasingly t r a n s n a t i o n a l a n d p o s t - i n d u s t r i a l w o r l d will, h o w e v e r , l e a d t o a f u r t h e r erosion of traditional culture b e g u n with the earlier industrialization of Q u e b e c which t r a n s f o r m e d t h e r u r a l

habitant

into a n

u r b a n p r o l e t a r i a n . T h e F r e n c h face t h e d i l e m m a o f m o d e r n i z a t i o n o r o f m a i n t a i n i n g a t r a d i t i o n a l c u l t u r e . B u t t h e r e n e e d n o t b e a loss of language. If bilingualism can increase, a n d that requires a great effort o n t h e p a r t o f the English, this distinctive d u a l i s m o f C a n a d a will r e m a i n , i f n o t a c r o s s t h e e n t i r e c o u n t r y a t least i n Q u e b e c , w h e r e F r e n c h a n d E n g l i s h h a v e lived l o n g t o g e t h e r . T h e u n d e s i r a b l e r e l a t i o n s h i p o f elite c o l l a b o r a t i o n a n d low o c c u p a t i o n a l s t a t u s for the majority of the French is b e c o m i n g gradually t r a n s f o r m e d , n o t r a p i d l y e n o u g h f o r s o m e , b u t a t least i n t h e d i r e c t i o n o f a m o r e equal partnership. O n t a r i o , the province which is the very heart of A n g l o - C a n a d i a n traditions,

pride,

privilege, a n d

power,

has taken very

positive

s t e p s , p a r t i c u l a r l y i n e d u c a t i o n , t o i m p r o v e t h e p o s i t i o n o f its l a r g e F r e n c h - s p e a k i n g minority in r e s p o n s e to t h e Royal C o m m i s s i o n ' s r e p o r t , a n d t o s o m e militancy o n the p a r t o f F r a n c o - O n t a r i a n s . U n t i l n e w l e g i s l a t i o n t o o k effect i n

1969, children from French-

s p e a k i n g families suffered a variety of h a n d i c a p s in o b t a i n i n g ins t r u c t i o n i n t h e i r o w n l a n g u a g e . E d u c a t i o n a l a t t a i n m e n t levels w e r e low e x c e p t f o r t h o s e w h o s e f a m i l i e s c o u l d a f f o r d t o p a y fees f o r private Catholic F r e n c h - s p e a k i n g schools. T h e legislation of 1969 transferred these fee-paying schools to t h e system of provincially s u p p o r t e d local b o a r d s o f e d u c a t i o n . T h e l e g i s l a t i o n also p r o v i d e d that w h e n t e n or m o r e F r e n c h - s p e a k i n g p a r e n t s s u b m i t t e d a writ14.

For a

series of interesting p a p e r s on c o n t e m p o r a r y Q u e b e c s e e Dale C.

T h o m s o n , e d . , Quebec Society and Politics ( T o r o n t o , M c C l e l l a n d a n d S t e w a r t , 1 9 7 3 ) .

Ethnic Pluralism in Canada

ten

request to have

277

F r e n c h i n s t r u c t i o n f o r t h e i r c h i l d r e n , local

s c h o o l b o a r d s w e r e t o p r o v i d e it. T h u s s c h o o l s a r e E n g l i s h - s p e a k i n g , b i l i n g u a l , a n d F r e n c h - s p e a k i n g . T h e p r o c e s s o f i n t r o d u c i n g bil i n g u a l s c h o o l s h a s l e d t o c o m m u n i t y conflicts b u t m o s t o f t h e m h a v e b e e n successfully m e d i a t e d . E d u c a t i o n a l o p p o r t u n i t y for O n t a r i o ' s F r e n c h in their o w n lang u a g e is a m a j o r c h a n g e . On t h e o t h e r h a n d extensive new prog r a m s to teach

French

to English-speaking students

have been

m u c h less s u c c e s s f u l . F r e n c h i n s t r u c t i o n i s n o t c o m p u l s o r y . I n 1972 t h e p r o p o r t i o n of O n t a r i o s e c o n d a r y school English s t u d e n t s that w e r e t a k i n g courses in F r e n c h was only 37 p e r c e n t .

1 0

It would

seem, therefore, that m u c h of the strong resistance to learning French on the part of English-speaking Canadians continues. T h e teaching of F r e n c h in A n g l o p h o n e C a n a d a has been des c r i b e d as a c o n t i n u i n g c a t a s t r o p h e . If t h a t is so t h e f u t u r e of a bil i n g u a l C a n a d a r e m a i n s v e r y m u c h i n q u e s t i o n . W h a t will p r o b a b l v h a p p e n i s t h a t e n o u g h b i l i n g u a l A n g l o p h o n e s will b e f o u n d t o w o r k with bilingual F r a n c o p h o n e s within federal institutions, a n d t h e r e will b e a g r a d u a l m o v e m e n t t o w a r d m o r e F r e n c h s p o k e n a t w o r k throughout Quebec.

I n t h e r e s t o f t h e c o u n t r y b i l i n g u a l i s m will

d e c l i n e t h e g r e a t e r t h e d i s t a n c e f r o m Q u e b e c a n d O t t a w a . A n increase in bilingualism can m a k e a workable system which might result in positive a n d beneficial F r e n c h - E n g l i s h relations in C a n ada. The

future

of French-English

relations

will

also

depend,

of

course, on factors outside provincial control, particularly economic conditions, for which the federal g o v e r n m e n t has a major responsibility, a n d a l s o o n t h e visibility a n d vitality o f e t h n i c i t y , n a t i o n a l i s m , a n d tribalism in the world at large, which, as I p o i n t e d o u t at the b e g i n n i n g , was an i m p o r t a n t e l e m e n t in m o v i n g F r e n c h - C a n a d i a n n a t i o n a l i s m in a m o r e active a n d e v e n militant direction. CANADA'S O T H E R E T H N I C GROUPS: A VIEW FROM T H E CENSUS I n t e r e t h n i c relations in C a n a d a a r e not confined to the French a n d E n g l i s h . C a n a d a h a s a l w a y s d r a w n a n d c o n t i n u e s t o d r a w its 15.

Norman

Webster. "French

Language Education:

For A n g l o p h o n e

t h e G o i n g I s T o u g h , " Globe arid Mail, T o r o n t o , D e c e m b e r 1. 1 9 7 3 .

Bigots

278

John

Porter

p o p u l a t i o n f r o m d i v e r s e s o u r c e s . S o m e i n d i c a t i o n o f this d i v e r s i t y c a n b e s e e n f r o m t h e f o l l o w i n g t a b l e . T h e first p o i n t t o b e n o t e d i s the

decreasing

proportion

of those

of British

origin

since

the

b e g i n n i n g o f t h e p r e s e n t c e n t u r y . T h e s e c o n d i s t h e r e l a t i v e l y stable p r o p o r t i o n r e p r e s e n t e d b y the F r e n c h . T h e d r o p t o 28.7 perc e n t i n 1 9 7 1 reflects t h e fact t h a t t h e l o w e s t fertility r a t e s i n C a n a d a a r e n o w i n Q u e b e c , m a k i n g for o n e o f t h e m o s t interesting reversals o f r e p r o d u c t i v e b e h a v i o r t o b e F r e n c h C a n a d i a n s view w i t h a l a r m . Ethnic

Origin

of the

Canadian

Population

Origin

1901

British French

found,

a

fact w h i c h

many

1 0

1901-1971

a

1921

1941

1961

1971

57.0

55.4

49.7

43.8

44.6

30.7

27.9

30.3

30.4

28.7

German

5.8

3.4

4.0

5.8

6.1

Italian

0.2

0.8

1.0

2.5

3.4

Dutch

0.6

1.3

1.9

2.4

1.9

Polish

0.1

0.6

1.5

1.8

1.4

Scandinavian

0.6

1.9

2.1

2.1

1.8

Ukrainian

0.1

1.2

2.7

2.6

2.2

Indian and Eskimo

2.4

1.3

I.I

1.2

1.3

Other

2.5

6.2

5.7

7.4

8.6

100.0

100.0

100.0

100.0

100.0

Total

Source: Report of the Royal Commission on Bilingualism and Biculturalism,

book IV,

248 a

N e w f o u n d l a n d was e x c l u d e d f r o m the C a n a d i a n c e n s u s until 1 9 5 1 .

T h e t a b l e a l s o i n d i c a t e s t h a t n o o t h e r e t h n i c g r o u p c o m e s close i n size t o t h e B r i t i s h o r t h e F r e n c h a l t h o u g h i n total t h e y c o m e t o somewhere between one quarter and one third of the population of C a n a d a . T h e ethnic categories s h o w n in the table are those of t h e 1 9 7 1 c e n s u s . T h e 1961 c e n s u s u s e d t w e n t y - e i g h t c a t e g o r i e s , m a n y o f w h i c h a r e c o n t a i n e d u n d e r " O t h e r " i n the table. T h e s e inc l u d e d i n 1 9 6 1 , for e x a m p l e , I c e l a n d i c , L i t h u a n i a n , R o u m a n i a n , a n d J a p a n e s e , e a c h with 0.2 p e r c e n t o f t h e p o p u l a t i o n . T h u s t h e 1 7

16. Vital Statistics ( O t t a w a , S t a t i s t i c s C a n a d a , 1 9 7 3 ) .

17. Report of the Royal Commission on Bilingualism and Biculturalism. b o o k I V , The Cultural Contribution of the Other Ethnic Groups ( O t t a w a , Q u e e n ' s P r i n t e r , 1 9 7 0 ) , p.

Ethnic Pluralism in Canada

279

non-British, non-French c o m p o n e n t of the Canadian population is extremely diverse. A t t h i s p o i n t i t i s i m p o r t a n t t o n o t e t h a t all t h e d i s t r i b u t i o n s o f e t h n i c o r i g i n s s h o w n i n t h e t a b l e a r e a r t i f a c t s o f t h e c e n s u s itself and result from the questions from which the data are derived. Ethnic "origin" has b e e n asked for in a variety of ways in different c e n s u s e s , a n d t h e i n s t r u c t i o n s t o c e n s u s e n u m e r a t o r s h a v e also varied, a d d i n g a further artifactual element to the distributions. I n 1961 t h e question was " T o w h a t e t h n i c o r cultural g r o u p did you or y o u r a n c e s t o r (on the male side) b e l o n g on c o m i n g to this c o n t i n e n t ? " T w o i m p o r t a n t facts a r e c l e a r f r o m t h e c e n s u s t r e a t m e n t of ethnicity. O n e is t h a t one's e t h n i c o r i g i n was to be patrilineally t r a c e d , a n d s e c o n d , e x c e p t f o r n a t i v e I n d i a n s a n d E s k i m o , t h e r e was n o r e c o g n i t i o n i n any c e n s u s t a b u l a t i o n s o f C a n a d i a n o r A m e r i c a n e t h n i c origin. T h u s for c e n s u s p u r p o s e s b o t h t h o s e b o r n in Canada and immigrants had to have a n o n - N o r t h American ethnicity. F o r t h e f i r s t t i m e , i n t h e 1 9 5 1 c e n s u s i f all t h e t e c h n i q u e s i n t h e i r m a n u a l s failed t h e m e n u m e r a t o r s w e r e allowed t o write i n " C a n a d i a n " or " A m e r i c a n " if the p e r s o n absolutely insisted. T h e s a m e was also p e r m i t t e d in 1961. In t h a t y e a r a c c o r d i n g to an a d ministrative r e p o r t on the census only

118,185 persons reported

their origin as " C a n a d i a n , " 15,786 as " A m e r i c a n , " a n d 70,163 as " U n k n o w n . " T h e s e n u m b e r s c o m b i n e d m a k e u p slightly m o r e t h a n 1 percent of the population, about the same as in 1 9 5 1 .

1 8

T h e s e in-

sistent a n d u n c e r t a i n p e o p l e w e r e lost i n t h e r e s i d u a l " O t h e r " c a t e g o r y i n all c e n s u s t a b u l a t i o n s . I n 1971 t h e e t h n i c q u e s t i o n w a s a s k e d i n t h e s a m e w a y , b u t f o r the f i r s t t i m e t h e c e n s u s was s e l f - e n u m e r a t e d . N e i t h e r C a n a d i a n n o r A m e r i c a n was a m o n g the r e s p o n s e categories p r o v i d e d . T h e o n l y possibility w a s " O t h e r - S p e c i f y . " T h e 1 9 7 1 c e n s u s f o r m also inc l u d e d a q u e s t i o n on citizenship, t h e m a i n p u r p o s e of w h i c h was to enable those p e r s o n s who wished to identify themselves as Canad i a n t o d o s o , s i n c e C a n a d i a n w a s n o t a valid a n s w e r t o q u e s t i o n s on language or ethnicity. T h e conscientious self-enumerator, who IS. Census of Canada, 1961, Bull. 7.1-6. T h e r e is a brief history of t h e e t h n i c origin q u e s t i o n in W a r r e n E. Kalbach, The Impact of Immigration on Canada's Population (Ottawa, Statistics C a n a d a , 1970), p p . 3 - 9 .

John

280

Porter

w o u l d like t o feel a b o v e all t h a t h e w a s C a n a d i a n , m i g h t h a v e b e e n satisfied b y b e i n g a b l e t o say, t w o q u e s t i o n s b e f o r e h e c a m e t o t h e e t h n i c i t y o n e , t h a t h e was a C a n a d i a n c i t i z e n . His instruction b o o k l e t w a s c l e a r o n w h a t t h e c e n s u s officials w a n t e d f o r t h e e t h n i c question. It read, "Ethnic or cultural g r o u p refers to descent ( t h r o u g h t h e father's side) a n d s h o u l d n o t b e c o n f u s e d with citizenship. Canadians belong to many ethnic or cultural groups." The p a t r i l i n e a l e m p h a s i s w h i c h h a s e x i s t e d t h r o u g h o u t b e c o m e s sociologically a b s u r d w h e r e t h e r e h a v e b e e n e x o g a m o u s m a r r i a g e s , b e cause of the i m p o r t a n t role the m o t h e r plays in t h e socialization of children, and in language learning. 1 9

2 0

W h y t h e e t h n i c o r i g i n c o n c e p t t o o k t h e f o r m i t h a s — t h a t is, n o n N o r t h A m e r i c a n a n d exclusively patrilineal—is r a t h e r o b s c u r e , b u t i t c a n p r o b a b l y b e t r a c e d t o t h e b a s i c d u a l i t y o f C a n a d i a n society. C e n s u s e s b e f o r e t h e c o n f e d e r a t i o n o f 1 8 6 7 classified t h e p o p u l a tion a s " F r e n c h origin," "not o f F r e n c h o r i g i n , " a n d " I n d i a n . " T h e successive censuses after c o n f e d e r a t i o n h a v e n o t b e e n consistent. T h e earlier ones defined origin according to the birthplace of the i n d i v i d u a l o r o f his p a t e r n a l a n c e s t o r b e f o r e c o m i n g t o N o r t h America. T w o major wars in the twentieth c e n t u r y have b r o k e n up international boundaries, making it rather absurd to relate ethnic o r i g i n to political entities, a n d t h e r e has b e e n a g r a d u a l e v o l u t i o n toward a cultural a n d linguistic definition of ethnic g r o u p . Discuss i o n s o f t h e 1931 c e n s u s p l a c e d a g r e a t e m p h a s i s o n " r a c i a l " differences a n d their importance to C a n a d a because of the extensive E u r o p e a n migration to Canada after the o p e n i n g up of the West in t h e 1 8 9 0 s . T h e r e was a s u g g e s t i o n in t h e official c o m m e n t s o n t h e DO

1931 c e n s u s t h a t , a s t h e " r a c e s " f u s e d , t h e r e w o u l d n o l o n g e r b e any need to differentiate between t h e m , indicating some orientation a t t h a t t i m e t o a " m e l t i n g p o t " c o n c e p t . B e c a u s e o f t h e d i s c r e d i t i n g of

the

concept of race

during and

after

the Second

W o r l d W a r a 1941 census m o n o g r a p h on e t h n i c origins was n o t p u b lished u n t i l 1 9 6 5 !

2 1

19. The 1971 Census of Population and tent (Ottawa, Statistics C a n a d a , 1969), p. 20. I n s t r u c t i o n s a c c o m p a n y i n g 1971 Statistics C a n a d a , 1971). 2 1 . Kalbach, The Impact of Immigration,

Housing: Development of Subject Matter Con13. c e n s u s s e l f - e n u m e r a t i o n f o r m s (Ottawa, p. v.

281

Ethnic Pluralism in C a n a d a

A t r e n c h a n t c r i t i q u e o f C a n a d i a n o r i g i n statistics w a s m a d e b y N o r m a n Ryder in 1955.

2 2

He suggested that if the origin question

w e r e to h a v e any sociological or c u l t u r a l

m e a n i n g it should be

asked in t e r m s of l a n g u a g e . If the i m p o r t a n t socio-political q u e s tion of assimilation to e i t h e r F r e n c h or English was to be r e a s o n a bly a n s w e r e d ,

the question

should be

about the

l a n g u a g e first

l e a r n e d b y t h e i n d i v i d u a l a n d b y his p a r e n t s . T w o g e n e r a t i o n s o f English o r F r e n c h a s m o t h e r t o n g u e w o u l d give s o m e indication o f assimilation. T h e 1971 c e n s u s asked n o t only a m o t h e r t o n g u e q u e s t i o n b u t also o n e o n t h e l a n g u a g e most often s p o k e n a t h o m e . T h e assimilation to English has b e e n very m a r k e d . While the E n g l i s h - s p e a k i n g ethnic origin constituted 45 percent of the population, English as t h e l a n g u a g e m o s t often s p o k e n i n t h e h o m e was 6 5 p e r c e n t . W h i l e the non-English, n o n - F r e n c h ethnicities m a d e up 28 p e r c e n t of the population, only about 12 percent h a d the same m o t h e r t o n g u e as their ethnic origin, a n d only about 6 p e r c e n t spoke their ethnic origin l a n g u a g e m o s t often in the h o m e . T h u s if ethnicity a n d culture are based on l a n g u a g e a considerable process of assimilation has g o n e o n . T h e F r e n c h e t h n i c o r i g i n s h o w e d a m i n o r l a n g u a g e loss, with 28 p e r c e n t of the p o p u l a t i o n r e p o r t i n g F r e n c h ethnic origin and 25 percent as speaking French in the h o m e .

2 3

Despite the historical variations, t h e focus on patrilineal descent, nonrecognition of Canadian or American origin, and other inade q u a c i e s i n t h e c e n s u s statistics, i t h a s p r o v e d i m p o s s i b l e t o e l i m i n a t e t h e q u e s t i o n o r c h a n g e its f o r m , a s i n d e e d t h e f e d e r a l g o v e r n m e n t s o u g h t t o d o f o r t h e 1961 c e n s u s , w h e n J o h n D i e f e n b a k e r was p r i m e m i n i s t e r a n d s p o k e o u t s t r o n g l y against h y p h e n a t e d Can a d i a n s . T h e F r e n c h w e r e i n s i s t e n t o n its r e t e n t i o n b e c a u s e i t p r o vides t h e m with s o m e m e a s u r e of t h e i r survival a n d their claims for c o - c h a r t e r g r o u p status within C a n a d a , a status which can scarcely b e d e n i e d . O r g a n i z a t i o n s o f t h e o t h e r e t h n i c g r o u p s have also d e m a n d e d its r e t e n t i o n b e c a u s e i t g a v e g r o u n d s t o t h e i r c l a i m t h a t

2 2 . N . B . R y d e r , " T h e I n t e r p r e t a t i o n o f O r i g i n S t a t i s t i c s . " The Canadian Journal

of Economies and Political Science,

21A

(1955),

466—479.

2 3 . Census of Canada, 1971, Population by Language Most Often Spoken in the Home and by Official Language ( O t t a w a , S t a t i s t i c s C a n a d a ,

1973).

John

282

Porter

C a n a d a is a cultural mosaic r a t h e r t h a n the so-called A m e r i c a n m e l t i n g pot. A comparison of the history of the censuses in C a n a d a a n d the U n i t e d States w o u l d tell i n a f a s c i n a t i n g w a y h o w t h e t w o c o u n t r i e s have a t t e m p t e d to treat ethnicity in the course of nation building. Melting pot a n d mosaic a r e almost stereotypical t e r m s to describe t h e d i v e r g e n t ways i n w h i c h t h e s e two n e w n a t i o n s h a v e t r i e d t o d e a l w i t h e t h n i c i t y , b u t t h e y d o reflect t h e t w o o p p o s e d o r i e n t a t i o n s , clearly t o b e s e e n i n t h e policies a n d i n s t r u c t i o n s s u r r o u n d i n g t h e t w o c e n s u s e s f r o m t h e last c e n t u r y . We know now that the lives o f e t h n i c g r o u p s a r e n o t r e s p o n s i v e t o t h e i n t e n t i o n s o f t h e policy m a k e r s a n d t h e b u r e a u c r a t i c o r g a n i z a t i o n s t h a t t a k e t h e c e n suses. Melting pot a n d mosaic are not such e x t r e m e opposites as the terms would imply because in the U n i t e d States, ethnicity, in the sense of awareness of E u r o p e a n national origins of ancestors, is still v e r y m u c h alive w h i l e i n C a n a d a m a n y r e j e c t E u r o p e a n a n c e s t r y a n d identify with t h e c o u n t r y w h e r e t h e y w e r e b o r n . 2 4

T H E ORGANIZATION OF ETHNIC GROUPS I f t h e C a n a d i a n c e n s u s gives a n a r t i f a c t u a l q u a l i t y t o t h e e t h n i c s t r u c t u r e o f C a n a d i a n society a d i f f e r e n t i m p r e s s i o n i s g a i n e d f r o m e t h n i c o r g a n i z a t i o n s w h i c h a r e v e r y m u c h alive, a b l y l e d a n d r e s p o n d i n g predictably to t h e w i d e s p r e a d ethnic revival. With t h e d e m a n d s in Q u e b e c for a r e c o n s t r u c t i o n of C a n a d i a n society, the o t h e r e t h n i c o r g a n i z a t i o n s also m a d e d e m a n d s t o b e h e a r d a n d , w h e n t h e Royal C o m m i s s i o n o n B i l i n g u a l i s m a n d B i c u l t u r a l i s m was e s t a b l i s h e d , t h e g o v e r n m e n t o f C a n a d a felt c o m p e l l e d t o i n c l u d e i n the commission's terms of reference " T h e contribution m a d e by the other ethnic g r o u p s to the cultural e n r i c h m e n t of C a n a d a and the m e a s u r e s that should be taken to safeguard that contribution." T w o of the ten commissioners were m e m b e r s of these o t h e r ethnic g r o u p s a n d a n e n t i r e v o l u m e o f t h e c o m m i s s i o n ' s Report was d e voted to the matter of the o t h e r ethnic g r o u p s . 24.

S o m e c o m p a r i s o n b e t w e e n the t w o censuses has b e e n m a d e by Joel Smith,

"Melting South,

Pot—Mosaic:

Proceedings

of

Consideration the

Third

lot

a

Prognosis,"

Inter-Collegiate

A m e r i c a n Relations, Michigan State University, 1968.

in Minorities North and

Conference

on

Canadian-

Ethnic Pluralism in C a n a d a

283

G o v e r n m e n t policy m a k e r s , a s d o p o l i t i c i a n s w h o s e e k t h e i r e l e c t o r a l s u p p o r t , like t o view t h e s e d i v e r s e n o n - B r i t i s h , n o n - F r e n c h e t h n i c i t i e s a s a " t h i r d e l e m e n t " d e s p i t e t h e fact t h a t , a s I h a v e s a i d , t h e y w e r e listed i n t h e 1 9 6 1 c e n s u s a s 2 8 e t h n i c i t i e s r a n g i n g f r o m 5.6 p e r c e n t o f t h e p o p u l a t i o n t o 0 . 2 p e r c e n t . D e s p i t e this f r a g m e n t a t i o n , t h e s o - c a l l e d t h i r d e l e m e n t h a s its own spokesmen such as Senator Paul Yuzyk w h o , in a p a p e r pres e n t e d t o t h e C a n a d i a n A s s o c i a t i o n o f Slavists i n 1 9 6 5 e n t i t l e d " C a n a d a : A M u l t i - C u l t u r a l N a t i o n , " said, " T h e t h i r d e l e m e n t e t h nic g r o u p s n o w n u m b e r i n g a p p r o x i m a t e l y f i v e m i l l i o n p e r s o n s , a r e co-builders of the West and other parts of C a n a d a , along with the British a n d F r e n c h C a n a d i a n s a n d a r e j u s t as p e r m a n e n t a p a r t of the C a n a d i a n scene. . . . A s c o - f o u n d e r s they s h o u l d b e copartners who would be guaranteed the right to perpetuate their mother tongues and cultures." H e called for t h e g o v e r n m e n t , and g o v e r n m e n t agencies such as the C a n a d i a n Broadcasting Corp o r a t i o n , actively t o p r o m o t e all o t h e r c u l t u r e s . T h i s w a s n o t o n l y a right b e l o n g i n g to these g r o u p s , b u t t h e policy h a d o t h e r m e r i t s as well. H e q u o t e d a p p r o v i n g l y a n A m e r i c a n s o c i o l o g i s t , C h a r l e s H o bart, working in C a n a d a as saying, "Multiculturalism beats the m e l t i n g p o t i d e a all t o H e l l . " A t a b o u t t h e s a m e t i m e , a t a T o r o n t o conference on "national unity" a s p o k e s m a n for o t h e r e t h n i c g r o u p s talked about the disunity that would result from emphasizing the English and the French elements in C a n a d a to the neglect of the others a n d suggested that t h e r e should be an "estatesg e n e r a l " t o e x p l o r e ways o f p r e s e r v i n g n o n - E n g l i s h a n d n o n French cultures in C a n a d a . Views such as these w e r e typical of m a n y forcefully a r t i c u l a t e d b e f o r e t h e R o y a l C o m m i s s i o n o n Bilingualism a n d Biculturalism. 2 5

2 6

Ethnic g r o u p leaders were given m u c h e n c o u r a g e m e n t by the last v o l u m e o f t h e c o m m i s s i o n ' s Report w h i c h w a s d e v o t e d t o t h e o t h e r e t h n i c g r o u p s , a n d since t h e n t h e r e h a s b e e n a g r e a t d e a l o f p r o m o t i o n of the idea of "multiculturalism." A l t h o u g h o n e gets the 2 7

2 5 . Canadian Slavonic Papers, 7 ( T o r o n t o , U n i v e r s i t y o f T o r o n t o P r e s s , 1 9 6 5 ) .

2 6 . Globe and Mail, T o r o n t o , D e c e m b e r 1 6 , 1 9 6 8 .

2 7 . Report of the Royal Commission on Bilingualism and Biculturalism, b o o k . I V , The Cultural Contribution of the Other Ethnic Groups ( O t t a w a , Q u e e n ' s P r i n t e r ,

1969).

John

284

Porter

impression that most of the commissioners would have preferred to have confined their attention to French-English relations the s p o k e s m e n on the commission for t h e o t h e r e t h n i c g r o u p s were firm, l e a d i n g in o n e case to a s t r o n g d i s s e n t i n g o p i n i o n to the c o m m i s s i o n ' s views in t h e first v o l u m e o f t h e Report t h a t E n g l i s h a n d F r e n c h s h o u l d b e t h e o n l y t w o official l a n g u a g e s . 2 8

MULTICULTURALISM WITHIN A BILINGUAL

FRAMEWORK

I n O c t o b e r 1971 Mr. T r u d e a u , t h e p r i m e minister, a n n o u n c e d in t h e H o u s e of C o m m o n s a n e w policy w h i c h he called "multiculturalism within a bilingual framework" a n d which he considered "the most suitable m e a n s of assuring the cultural f r e e d o m of Canadians."

2 9

T h e g o v e r n m e n t h a d already t a k e n a n u m b e r o f steps

m e n t i o n e d e a r l i e r , s u c h a s t h e Official L a n g u a g e s A c t o f 1 9 6 9 , t o m a k e F r e n c h a n d E n g l i s h e q u a l a s official l a n g u a g e s w i t h i n t h e f e d e r a l j u r i s d i c t i o n , t o p r o m o t e t h e t e a c h i n g o f b o t h t h e official languages, a n d to i n t r o d u c e bilingualism into the Public Service. C a n a d a was b e c o m i n g c a u g h t u p i n t h e e t h n i c revival. T h e gove r n m e n t was a t t e m p t i n g to m a i n t a i n a difficult b a l a n c e b e t w e e n the hostility o f m a n y i n Q u e b e c t o a n y f o r m a l r e c o g n i t i o n o f t h e o t h e r g r o u p s a n d the electoral s u p p o r t that would be f o r t h c o m i n g from a p r o g r a m t o p r o m o t e m u l t i c u l t u r a l i s m . F r e n c h critics o f t h e n e w policy a r g u e d t h a t i t w a s a n a b o u t - t u r n f r o m t h e e a r l i e r p o s i t i o n , o n t h e basis o f w h i c h t h e c o m m i s s i o n h a d b e e n set u p , t h a t is, t h a t C a n a d a s h o u l d be a truly bilingual a n d b i c u l t u r a l society b a s e d on the central ideas of two f o u n d i n g p e o p l e s , two societies, a n d two d o m i n a n t c u l t u r e s . S o m e a r g u e d t h a t i t w a s i m p o s s i b l e t o talk o f multiculturalism without multilingualism because culture could not be detached

from

language.

I f t h a t w e r e t r u e t h e n t h e official

b i l i n g u a l i s m t h a t w a s d e v e l o p i n g a t t h e f e d e r a l level, a n d i n s o m e provinces, would be e n d a n g e r e d by d e m a n d s that other languages be

recognized.

Moreover,

multiculturalism

in

some

provinces

w o u l d b e m o r e likely t o p r o m o t e a b i l i n g u a l i s m i n t h e f o r m A n g l o 2 8 . Report, b o o k I, The Official Languages, p p . 1 5 5 - 1 6 9 . 29. "Statement by the Prime Minister, H o u s e of C o m m o n s , October 8, Office of the Prime Minister, Ottawa.

1971,"

Ethnic Pluralism in Canada

285

U k r a i n i a n or Franco-Italian r a t h e r t h a n English-French bilinguali s m w h i c h h a d basic s o c i o l o g i c a l a n d h i s t o r i c a l links a n d w h i c h w a s so i m p o r t a n t for t h e f u t u r e of C a n a d a as a viable society.

30

Indeed,

i t h a s a l w a y s b e e n a s s u m e d t h a t i m m i g r a n t s t o C a n a d a w o u l d assimilate to e i t h e r the F r e n c h or t h e English c o m m u n i t i e s . If t h a t was no l o n g e r to be so, F r e n c h C a n a d i a n s w o u l d i n t e r p r e t it as a threat to

their own

survival.

As

I

m e n t i o n e d earlier, lowering

F r e n c h fertility r a t e s a n d E n g l i s h - s p e a k i n g s c h o o l a t t e n d a n c e b y i m m i g r a n t children gave substance to these F r e n c h fears. T h e m u l t i c u l t u r a l p r o n o u n c e m e n t h a s m a n y critics also a m o n g E n g l i s h - s p e a k i n g C a n a d i a n s , p a r t i c u l a r l y t h o s e w h o see t h e o n l y h o p e f o r C a n a d a t o lie i n a policy o f b i c u l t u r a l i s m a n d b i l i n g u a l i s m b a s e d o n t h e t w o collectivities w h i c h t h e y r e p r e s e n t ,

3 1

and seems to

c o n t r a d i c t t h e view o f t h e c o m m i s s i o n w h i c h h a d w r i t t e n

" T o the

degree that the d e m a n d s of certain ethnic g r o u p s make awareness o f t h e f u n d a m e n t a l d u a l i t y o f t h e c o u n t r y m o r e difficult, t o t h a t e x t e n t t h e y a g g r a v a t e t h e s t a t e o f crisis i n C a n a d a . A b o v e all, t h e y p r o v i d e new a r g u m e n t s for t h e partisans of a ' O n e C a n d a . ' "

3 2

T h e C a n a d i a n g o v e r n m e n t t o o k q u i t e t h e o p p o s i t e view t o t h e c o m m o n sense o n e that s t r o n g e t h n i c loyalties, because they a r e little n a t i o n a l i s m s , w o u l d b e divisive. M r . T r u d e a u , i n fact, a r g u e d t h a t multiculturalism w o u l d b e integrative. H e said C a n a d a w o u l d b e c o m e " a s p e c i a l p l a c e , a n d a s t r o n g e r p l a c e a s well. E a c h o f t h e m a n y f i b r e s c o n t r i b u t e s its o w n q u a l i t i e s a n d C a n a d a g a i n s s t r e n g t h f r o m t h e c o m b i n a t i o n . W e b e c o m e less like o t h e r s ; w e b e c o m e less s u s c e p t i b l e t o c u l t u r a l , social o r political e n v e l o p m e n t b y o t h e r s . "

3 3

All m a j o r political l e a d e r s o u t s i d e o f Q u e b e c s u p p o r t s o m e p o l i c y of multiculturalism. R o b e r t Stanfield, the federal leader of the O p position, r e f e r r i n g t o the g o v e r n m e n t ' s p r o g r a m a s " g r u d g i n g ac3 0 . G u y R o c h e r , "Les A m b i g u i t e s d ' u n C a n a d a b i l i n g u e e t multiculturel," p a p e r presented to the

1972 A n n u a l Meeting of the C a n a d i a n Association of Sociology

and Anthropology, m i m e o , Depariement de Sociologie, Universite de Montreal.

3 1 . S e e e d i t o r i a l in Journal of Canadian Studies ( N o v e m b e r 1 9 7 1 ) . 3 2 . A Preliminary Report of the Royal Commission on Bilingualism and Biculturalism (Ottawa, Q u e e n ' s Printer. 1965). p. 128. 3 3 . " N o t e s f o r R e m a r k s bv t h e P r i m e M i n i s t e r t o t h e U k r a i n i a n - C a n a d i a n C o n gress, Winnipeg, Manitoba, October 9, tawa.

1971," Office of the Prime Minister, Ot-

John

286

Porter

c e p t a n c e , " w e n t o n t o say, " I f w e r e a l l y b e l i e v e t h a t C a n a d i a n pluralism should be encouraged, and not merely tolerated, governm e n t s h o u l d work t o g e t h e r with the various e t h n i c g r o u p s to help t h e m s u r v i v e , n o t s i m p l y a s f o l k l o r e , b u t a s a l i v i n g c o n t r i b u t i n g ele m e n t of the Canadian cultural mosaic."

3 4

O n t h e subject s o m e achieve new h e i g h t s o f r h e t o r i c . Mr. J o h n Y a r e m k o , the O n t a r i o Provincial Secretary a n d Minister of Citizens h i p , in a n n o u n c i n g a

1972 multicultural conference

Heritage

On-

said:

tario

No o t h e r p a r t of t h e globe, no o t h e r c o u n t r y , can claim a m o r e culturally diversified society t h a n we have h e r e in this Province . . . But does e v e r y o n e really g r a s p that O n t a r i o has m o r e C a n a d i a n s of G e r m a n origin t h a n B o n n , m o r e of Italian origin t h a n Florence, that T o r o n t o has m o r e C a n a d i a n s of Greek origin than Sparta, that we have in o u r midst, fifty-four ethno-cultural g r o u p s , speaking a total of seventy-two languages? . . . J u s t as a h u n d r e d years ago t h e C a n a d i a n identity was m o u l d e d in the crucible of nationalism, it is now being t e m p e r e d by the dynamics of multiculturalism. M r . Y a r e m k o also t o u c h e d u p o n a n o t h e r c a u s e o f t h e c u r r e n t r e vival o f e t h n i c i t y a n d t h a t i s t h e l a r g e n o n - B r i t i s h c o m p o n e n t o f postwar immigration. He then went on to m a k e the c o m m o n mist a k e o f s e e i n g this c o m p o n e n t , m a d e u p o f p e o p l e f r o m s u c h a variety of c o u n t r i e s , as in s o m e way b e i n g h o m o g e n e o u s : T h e r e a r e generally speaking four d e m o g r a p h i c g r o u p s a m o n g us—Indians, Anglo a n d F r a n c o - O n t a r i a n , and m e m b e r s of t h e third element . . . O n e effect of the post-war boom in t h i r d e l e m e n t i m m i g r a t i o n has been to bolster ethno-cultural g r o u p s , s o m e of which have been h e r e t h r o u g h four generations. T h e G o v e r n m e n t has welcomed a n d enc o u r a g e d this immigration. We have recognized a n d helped foster all o u r constituent cultural communities. Is it t h e n any w o n d e r that these communities have heightened expectations in m a n y areas? 3 5

In the bolstering of ethno-cultural groups, as Mr. Y a r e m k o puts it, t h e p o s t w a r i m m i g r a n t s h a v e p l a y e d a n i m p o r t a n t l e a d e r s h i p role

because

of their

long

association

with

nationalist

political

3 4 . Globe and Mail, T o r o n t o . M a y 1, 1 9 7 2 . 35. Press

release

of

minister's

Toronto, March 20, 1972.

address,

Office

of

the

Provincial

Secretary,

Ethnic Pluralism in Canada

287

struggles in their E u r o p e a n homelands. T h e y have continued their activities, o f t e n i d e o l o g i c a l a s well a s n a t i o n a l , a i m e d a t k e e p i n g alive i n C a n a d a t h e c u l t u r e t h e y b e l i e v e i s b e i n g o b l i t e r a t e d a b r o a d . T h i s l e a d e r s h i p h a s m a n a g e d i n s o m e cases t o shift t h e f o c u s o f a c tivity o f t h e i r n a t i o n a l o r g a n i z a t i o n s f r o m t h e p r o b l e m o f i n t e g r a t i o n w i t h i n C a n a d i a n s o c i e t y t o t h e p r o b l e m o f c u l t u r a l s u r v i v a l eit h e r in E u r o p e or in C a n a d a as a locus for cultures in exile. T h e official C a n a d i a n g o v e r n m e n t p o l i c y o f " m u l t i c u l t u r a l i s m w i t h i n a b i l i n g u a l f r a m e w o r k " h a s a s its g o a l t h e e n c o u r a g i n g o f non-British, non-French ethnic cultures. A multicultural p r o g r a m , established in the Citizenship Branch of the D e p a r t m e n t of the Secretary of State, was to study such aspects of multiculturalism as broadcasting in third languages, the role of the ethnic press, a n d language training in third languages. T h e most important part of the p r o g r a m , t h o u g h , was t h e giving of g r a n t s to ethnic organizations t o h e l p t h e m p r e s e r v e their c u l t u r e . Initially t h e p r o g r a m was modest. O n e a n d o n e half million dollars w e r e allocated for grants in the first year, b u t by 1973 the b u d g e t h a d increased to 10 million dollars, a n d a c a b i n e t m i n i s t e r was a p p o i n t e d w h o s e exclusive responsibility was multiculturalism. T h e g r a n t s a r e g i v e n t o v i a b l e e t h n i c o r g a n i z a t i o n s f o r specific projects. For e x a m p l e , a m o n g the 4 0 0 grants that were given in the f i r s t year o f t h e p r o g r a m was $ 1 , 5 0 0 t o t h e C a n a d i a n A r a b Associational in M o n t r e a l to teach A r a b folklore a n d dancing, a n d $5,000 to the Mennonite community in Waterloo to celebrate the Amish quincentennial. 3 6

T h e "Guidelines for Submissions for Grants u n d e r the Multicultural P r o g r a m m e " e m p h a s i z e t h e " m u l t i c u l t u r a l " goal o f t h e p r o g r a m in the C a n a d i a n c o n t e x t . T h e criteria considered for granti n g f u n d s t o a specific p r o j e c t i n c l u d e w h e t h e r i t i s " d e s i g n e d t o s h a r e a c u l t u r a l h e r i t a g e w i t h o t h e r C a n a d i a n s , " w h e t h e r i t will " p r o m o t e an awareness of C a n a d a ' s cultural diversity," a n d w h e t h e r i t will "assist i m m i g r a n t s t o b e c o m e full p a r t i c i p a n t s i n C a n a d i a n society." 3 7

3 6 . Globe and Mail, T o r o n t o , O c t o b e r 1 5 , 1 9 7 3 . 37. Citizenship dated).

Branch,

Department

of the

Secretary

of State,

Ottawa

(un-

288

John

Porter

A problem is that many ethnic organizations are m o r e interested in p r o m o t i n g their cultures within their o w n e t h n i c c o m m u n i t i e s t h a n in s h a r i n g cultures with o t h e r C a n a d i a n s . Because of that, the p r o g r a m could b e c o m e a multi-unicultural o n e . In O c t o b e r 1973 the federal g o v e r n m e n t sponsored the first national conference on multiculturalism in Ottawa to which 4 0 0 delegates went from a c r o s s t h e c o u n t r y . I n his s p e e c h t o d e l e g a t e s D r . S t a n l e y H a i d a s z , t h e minister responsible for multiculturalism, s a i d , "Those who t h i n k m u l t i c u l t u r a l i s m i s a cynical f o r m o f t o k e n i s m o r a s o p t o keep some ethno-cultural groups happy" should know that mult i c u l t u r a l i s m i s a p e r m a n e n t g o v e r n m e n t policy. 3 8

N o n - E n g l i s h , n o n - F r e n c h e t h n i c i t y , t h e n , c o n t i n u e s t o b e a sal i e n t f e a t u r e o f C a n a d i a n social s t r u c t u r e . W h e t h e r i t will e v e n t u ally b e i n t e g r a t i v e o r divisive, i n t h a t t h e e m p h a s i s o n C a n a d a ' s m u l t i e t h n i c i t y will i n t e n s i f y F r e n c h n a t i o n a l i s m , m u s t b e left t o t i m e . F o r t h o s e w h o view t h e e t h n i c r e v i v a l a s s o m e t h i n g g o o d because it represents something deep a n d primordial a n d genuinely h u m a n , C a n a d a m u s t a p p e a r a s a n a t t r a c t i v e p l a c e t o live. H o w e v e r , i t i s m y i n t e n t i o n t o r a i s e s o m e s e r i o u s d o u b t s a b o u t this revival o f e t h n i c i t y , n o t o n l y for C a n a d a , b u t f o r o t h e r a d v a n c e d societies a n d p e r h a p s d e v e l o p i n g o n e s a s well.

SOME Q U E S T I O N S A B O U T T H E REVIVAL OF E T H N I C I T Y In s o m e r e s p e c t s the revival is regressive. B e c a u s e it e m p h a s i z e s descent g r o u p identification and e n d o g a m y , i m p o r t a n t principles o f e t h n i c g r o u p s u r v i v a l , i t r u n s t h e risk o f b e l i e v e d - i n b i o l o g i c a l d i f f e r e n c e s b e c o m i n g t h e basis o f i n v i d i o u s j u d g m e n t s a b o u t g r o u p s o f p e o p l e , a m a t t e r t o w h i c h w e will r e t u r n l a t e r . M o r e o v e r , w h e r e ethnicity is salient t h e r e is often an association b e t w e e n ethnic d i f f e r e n c e s a n d social class a n d i n e q u a l i t y . T h a t i s w h y m u c h o f the discussion of the relations between ethnic g r o u p s concerns e q u a l i t y , e q u a l i t y o f legal r i g h t s , political r i g h t s , a n d i n t h e m o r e r e c e n t p e r i o d , social r i g h t s s u c h a s e d u c a t i o n , j o b s , g o o d h e a l t h , a n d e q u a l i t y o f o p p o r t u n i t y . Class i n e q u a l i t y b e c o m e s o b s c u r e d 3 8 . Globe and Mail, T o r o n t o , O c t o b e r 17, 1 9 7 3 .

Ethnic Pluralism in Canada

289

a n d m o r e difficult t o a n a l y z e w h e r e t h e r e i s e t h n i c h e t e r o g e n e i t y i n t h e social s t r u c t u r e . T h i s m a y reflect s o m e i n a d e q u a c y i n t h e s o c i o logical t h e o r i e s o f class, a l m o s t all o f w h i c h a s s u m e e t h n i c h o m o g e neity. S o m e s c h o l a r s c o n t e s t t h e view t h a t w h e n e t h n i c d i f f e r e n t i a t i o n i s a n i m p o r t a n t o r g a n i z i n g p r i n c i p l e o f social life i t m u s t also r e s u l t i n ethnic g r o u p s forming a hierarchy of inequality, creating what has c o m e to be called e t h n i c stratification. O n e w r i t e r , D o n a l d L. N o e l , raises that q u e s t i o n in d e v e l o p i n g a t h e o r y of t h e origins of e t h n i c stratifications a n d a n s w e r s it in this w a y . "Distinct e t h n i c g r o u p s can interact a n d f o r m a stable p a t t e r n of relations w i t h o u t s u p e r s u b o r d i n a t i o n . " T h e "classical e x a m p l e " h e g i v e s i s o f t h e T u n g u s a n d Cossacks of n o r t h w e s t e r n Siberia from an anthropological s t u d y o f 1 9 3 8 . T h i s a t least s u g g e s t s t h a t e t h n i c d i f f e r e n t i a t i o n without some hierarchical features is rare. Certainly the d e g r e e a n d s t r e n g t h o f h i e r a r c h y d e p e n d u p o n m a n y factors, a n d t h e r e have been m a n y studies of the conditions u n d e r which super- a n d s u b o r d i n a t i o n exist in plural or m u l t i e t h n i c societies. 3 9

40

M y o w n view i s t h a t e t h n i c s a l i e n c y o r d i f f e r e n t i a t i o n i n social s t r u c t u r e always c r e a t e s a h i g h risk of e t h n i c stratification. To u n d e r s t a n d t h e i n t e r p l a y b e t w e e n e t h n i c i n e q u a l i t i e s a n d class i n e q u a l ities it is i m p o r t a n t to l o o k at h o w e t h n i c d i f f e r e n t i a t i o n in a society c o m e s a b o u t . Multiethnic societies a r e c r e a t e d t h r o u g h conquest or migration. Where there is conquest, the conquerors take over the high status activities—even if these are confined to 39. D o n a l d L. N'oel, "A T h e o r y of Ethnic Stratification," Social Problems, 16 (Fall 1968), 1 5 7 - 1 7 2 . 40. See, for e x a m p l e , T a m o t o u S h i b u t a n i a n d Kian M. K u a n , Ethnic Stratification: A Comparative Approach (New York. Macmillan, 1965): Stanley L i e b e r s o n , "A Societal T h e o r y of Race a n d Ethnic Relations," American Sociological Review, 36 ( D e c e m b e r 2 6 , 1971), 9 0 2 - 9 1 0 ; B u r t o n B e n e d i c t , "Stratification in Plural Societies," American Anthropologist, 64 (1962), 1 2 3 5 - 1 2 4 6 ; J o h n Rex, Race Relations in Sociological Theory (New York, Schocken B o o k s , 1970); R. A. S c h e r m e r h o r n , Comparative Ethnic Relations; A Framework for Theory and Research (New Y o r k , R a n d o m H o u s e , 1970); M. G. S m i t h , Stratification in Granada (Berkeley, University of California Press, 1965). F o r two e a r l i e r s t a t e m e n t s see J. S. F u r n i v a l , Colonial Policy and Practice ( C a m b r i d g e . C a m b r i d g e University Press, 1948), a n d Everett C. H u g h e s , " Q u e r i e s C o n c e r n i n g I n d u s t r y a n d Society G r o w i n g O u t o f Study o f E t h n i c Relations in I n d u s t r y , " American Sociological Review, 14.2 (April 1949), 2 1 1 - 2 2 0 .

290

John

Porter

exercising power as dominant minorities—and relegate the conq u e r e d populations to inferior statuses. Migration of peoples from o n e part of the world to a n o t h e r has been much more important than conquest in the creation of mult i e t h n i c societies, a t least i n t h e m o d e r n h i s t o r i c a l p e r i o d , b u t i t t o o creates relationships of subordination of some g r o u p s to others. T h e r e w a s , f i r s t o f all, u n f r e e m i g r a t i o n b y w h i c h slaves h a v e b e e n t r a n s p o r t e d for p l a n t a t i o n e c o n o m i e s , f o r c o t t o n a n d c a n e . T h e r e w a s also t h e c o n s t r a i n e d m i g r a t i o n o f i n d e n t u r e d l a b o r , w h i c h w a s a c o m m o n practice of the E u r o p e a n powers in their colonial e m pires, a n d m a n y of their former colonies, which are now developing countries, have the roots of their ethnic diversity in these p r o cesses. E u r o p e a n p o w e r s also o f t e n f o r c e d t o g e t h e r v a r i o u s t r i b a l groups of great cultural differences into administrative units convenient for their o w n p u r p o s e s . N o w that m o s t of t h e colonies h a v e achieved i n d e p e n d e n c e from their E u r o p e a n creators m a n y of t h e m a r e s u b j e c t t o s e v e r e s t r a i n s . T h e s e conflicts a r e b e t w e e n e t h nic g r o u p s a n d most o f t h e m a r e a b o u t which o n e s h o u l d r u l e , w h o should have privilege a n d who should have the g o o d jobs. O n e has o n l y t o m e n t i o n t h e C o n g o , N i g e r i a , P a k i s t a n t o r e m e m b e r t h e viol e n c e with w h i c h t h e s e d i s p u t e s a r e s e t t l e d . New nations d e v e l o p e d mainly by E u r o p e a n s in sparsely p o p u lated regions such as the United States, C a n a d a , Australia, a n d S o u t h A f r i c a first f o r c e d t h e a b o r i g i n a l g r o u p s t o t h e b a s e o f t h e stratification s t r u c t u r e . Ethnic d i f f e r e n t i a t i o n t h e n a r o s e t h r o u g h i m m i g r a t i o n w h i c h was f r e e , o r r e l a t i v e l y f r e e , i f t h e e c o n o m i c a n d political f a c t o r s i n s o m e o f t h e c o u n t r i e s o f o r i g i n w h i c h p r o m p t e d i t a r e c o n s i d e r e d . I t was o n l v r e l a t i v e l y f r e e also b e c a u s e t h e r e c e i v i n g societies w e r e d o m i n a t e d b y p e o p l e w h o g o t t h e r e f i r s t a n d from their position of earlv " e n t r a n c e status" d e t e r m i n e d t h e conditions u n d e r which o t h e r g r o u p s m i g h t enter. Migration is an economic process, the m o v e m e n t of labor with c a p i t a l . T h e h o s t society r e g u l a t e s t h e m o v e m e n t w i t h v a r y i n g d e grees of rigidity by m a k i n g invidious j u d g m e n t s a b o u t t h e a p p r o priateness of p e o p l e of particular o r i g i n s for particular j o b s . T h i s selective p r o c e s s , b y w h i c h p e o p l e w e r e s o r t e d o u t a c c o r d i n g t o t h e q u a l i t i e s o r a p t i t u d e s t h a t w e r e t h o u g h t t o suit t h e m f o r d i f f e r e n t

Ethnic Pluralism in Canada

291

e c o n o m i c activities, w a s i n t e n s i f i e d i n t h e t w e n t i e t h c e n t u r y a s t h e N o r t h A m e r i c a n societies b e c a m e m o r e i n d u s t r i a l i z e d . E v e n t h e laissez-passer system by which E u r o p e a n s c a m e i n t o t h e U n i t e d States, o r l e a p f r o g g e d t h r o u g h C a n a d a , was a b a n d o n e d , a n d t h e legal restrictions which w e r e ultimately i m p o s e d i n b o t h C a n a d a a n d t h e U n i t e d S t a t e s w e r e racist i n t h a t t h e y h a d a s t h e i r o b j e c t i v e the m a i n t e n a n c e of the existing ethnic composition, based on the d o m i n a n c e o f British a n d N o r t h e r n E u r o p e a n g r o u p s . A l o n g with this m i x i n g u p o f t h e p e o p l e s o f t h e w o r l d t h r o u g h empire a n d economic expansion went an ideology of racism, masq u e r a d i n g as a pseudo-science of race differences, which a t t e m p t e d to demonstrate that some groups were inherently superior to o t h e r s a n d that it was m o r e than a coincidence that those w h o w e r e ranked highest controlled the economic processes of the society. 41

M o r e r e c e n t l y w e h a v e s e e n t h e f u r t h e r d i f f e r e n t i a t i o n o f stratification systems as a result of new ethnic migrations, in t h e U n i t e d States P u e r t o Ricans, in E n g l a n d i m m i g r a n t s from the colored C o m m o n w e a l t h , in France Algerians. T h r o u g h o u t western E u r o p e I t a l i a n , S p a n i s h , a n d P o r t u g u e s e l a b o r e r s h a v e e n t e r e d t h e social structure, generally as unskilled labor a n d sometimes, unless prot e c t e d b y c o m m o n m a r k e t a g r e e m e n t s , w i t h few l e g a l r i g h t s . 4 2

I n C a n a d a this historical r e l a t i o n s h i p b e t w e e n m i g r a t i o n a n d e c o n o m i c o r class p o s i t i o n h a s b e e n r e i n f o r c e d b y t h e h e a v y i m m i g r a t i o n since 1945, despite recent c h a n g e s in i m m i g r a t i o n r e g u lations d e s i g n e d to r e d u c e the preferential position of the British a n d o t h e r s m o s t like t h e m . I m m i g r a n t s from Britain a n d the U n i t e d States c o n t i n u e to be heavily o v e r - r e p r e s e n t e d in t h e h i g h e r professional, m a n a g e r i a l , a n d white-collar o c c u p a t i o n a l levels, while those f r o m P o r t u g a l a n d G r e e c e a r e t a k i n g over f r o m Italians 4 3

41.

S e e , f o r e x a m p l e , M a d i s o n G r a n t , The Passing o f the Great Race ( N e w Y o r k ,

Scribners, 1921). 42. Hans van

Houte and

Willy

M e l g e r t , Foreigners i n Our Community

(London,

R e s e a r c h Services Ltd., 1972). S e e also " I m m i g r a n t L a b o r e r s in W e s t e r n E u r o p e , "

Sew York Times, S e p t e m b e r 2 1 , 1 9 7 3 , a n d " E u r o p e ' s H i r e d P o o r , " New York Times Magazine, D e c e m b e r 9 , 1 9 7 3 . 43. John

Porter,

The

Vertical Mosaic

(Toronto,

University of T o r o n t o

Press,

1 9 6 5 ) , c h a p . 3 ; a n d B e r n a r d R . B l i s h e n , " C l a s s a n d O p p o r t u n i t y i n C a n a d a , " Ca-

nadian Review of Sociology and Anthropology, 7 ( M a y 1 9 7 0 ) , 1 1 0 - 1 2 7 .

John

292

Porter

a t t h e l o w e r levels o f t h e i m m i g r a n t l a b o r f o r c e . C a r i b b e a n a n d Asian countries are now a p p e a r i n g as a new source of immigrants t o C a n a d a a n d will, b e c a u s e o f e a r l y c o n t r o l s o n i m m i g r a t i o n o f C h i n e s e a n d J a p a n e s e , a n d the previously small black p o p u l a t i o n , m a k e c o l o r a n e w l y visible e l e m e n t i n t h e s t r u c t u r e o f e t h n i c s t r a t i fication. All m u l t i e t h n i c s o c i e t i e s h a v e t o d e a l w i t h t h e p r o b l e m s o f l e g a l , p o l i t i c a l , a n d social r i g h t s w h i c h s t e m f r o m t h e i n e q u a l i t y b e t w e e n their c o m p o n e n t ethnic g r o u p s . T h e y vary so widely with respect to basic f e a t u r e s of e c o n o m i c d e v e l o p m e n t a n d political c u l t u r e that it is questionable w h e t h e r it is very instructive to p u r s u e an u n d e r standing of interethnic relations, or the m a n a g e m e n t of t h e m , t h r o u g h c o m p a r a t i v e analysis. H o w e v e r , t h e t e m p t a t i o n t o cons t r u c t a n o t h e r t y p o l o g y , e v e n t h o u g h o t h e r s a l r e a d y exist, i s difficult to avoid. 4 4

C o n s i d e r f o u r sets o f d i c h o t o m i e s . T h e r e a r e o l d a n d n e w n a tions; t h e r e are d e v e l o p e d a n d u n d e r d e v e l o p e d ones; t h e r e are those built up t h r o u g h migration or " p a s t e d " together in the p r o cess o f d e c o l o n i z a t i o n ; t h e r e a r e t h o s e i n w h i c h t h e e t h n i c u n i t s h a v e t e r r i t o r y a n d those in which they a r e d i s p e r s e d . H o w societies d e a l w i t h p r o b l e m s o f e t h n i c i n e q u a l i t y will d e p e n d t o a g r e a t e x t e n t o n w h e r e t h e y fall w i t h i n this set o f d i c h o t o m i e s . M u c h o f t h e r e c e n t sociological d i s c u s s i o n o f i n t e r e t h n i c r e l a t i o n s c o n c e r n s t h e stability o f m u l t i e t h n i c societies w h i c h a r e o n t h e r o a d t o d e v e l o p m e n t a n d w h o s e basic i n s t i t u t i o n s a n d c u l t u r e a r e p r e m o d e r n . T h e stability a n d d e v e l o p m e n t o f t h e T h i r d W o r l d i s w i t h o u t d o u b t a d e s i r a b l e o b j e c t i v e , b u t a n y s o l u t i o n s t o its e t h n i c p r o b l e m s a r e n o t likely t o b e v e r y h e l p f u l i n t h e d i s c u s s i o n o f e m p l o y m e n t q u o t a s i n t h e U n i t e d States o r policies o f m u l t i c u l turalism for C a n a d a . T h e ethnic identity of a H u t u or an Ibo m u s t surely be of such profoundly different psychological quality a n d social c o n s e q u e n c e f r o m t h a t , say, o f a n I t a l i a n A m e r i c a n o r a U k r a i n i a n C a n a d i a n that the subjective states involved a r e scarcely of the same o r d e r . It is questionable w h e t h e r both can be considered "primordial." 44.

See

the typologies

in

R.

A.

S c h e r m e r h o r n , Comparative Ethnic Relations,

Stanley L i e b e r s o n , "A Societal T h e o r v of Race a n d Ethnic Relations."

and

Ethnic Pluralism in C a n a d a

293

A p r e m o d e r n t r i b a l c u l t u r e , i n w h i c h a p e o p l e c o n s i d e r i t legitim a t e t o d o m i n a t e b y b r u t a l m e a n s rivals w h o m s o m e act o f h i s t o r y h a s p l a c e d in a c o m m o n political s t a t e , is a vastly d i f f e r e n t s i t u a t i o n f r o m a society w i t h legally s a f e g u a r d e d r i g h t s a n d f r e e d o m s a n d a history o f liberty. T h u s minority rights h a v e very d i f f e r e n t m e a n ings i n d i f f e r e n t m u l t i e t h n i c societies, b u t b e c a u s e m o d e r n c o m munications contribute to the world p h e n o m e n o n of ethnic revival, these differences are overlooked. Ethnicity may be genuinely prim o r d i a l a n d essential to individual survival in a f o r m e r African c o l o n y m a d e i n t o a n artificial political u n i t , b u t i n a society o n t h e t h r e s h o l d o f p o s t - i n d u s t r i a l i s m i t c o u l d , w i t h its g r e a t e m p h a s i s o n t h e p a r t i c u l a r i s t i c , b e c o n s i d e r e d atavistic i f i t w e r e t o b e c o m e a s a l i e n t o r g a n i z i n g p r i n c i p l e o f social life. C o m p a r i s o n is. h o w e v e r , u s e f u l b e t w e e n societies w h i c h c a n b e located in similar positions with respect to the previously m e n t i o n e d d i c h o t o m i e s . C a n a d a a n d t h e U n i t e d States, for e x a m p l e , a r e b o t h new n a t i o n s built u p t h r o u g h m i g r a t i o n a n d h a v e " d e m o c r a t i c " political c u l t u r e s . G e n e r a l l y t h i s political c u l t u r e h a s b e e n liberal in the sense which Parsons has recently used in t r a c i n g t h e secularization that followed the d e m o c r a t i c revolutions with thenslogans of liberty, equality, a n d f r a t e r n i t y .

4 5

A m o n g these liberal

v a l u e s was t h e n o t i o n t h a t t h e e t h n i c s t r a t i f i c a t i o n w h i c h r e s u l t e d f r o m i m m i g r a t i o n was t e m p o r a r y a n d w o u l d not h a r d e n i n t o a p e r m a n e n t class s y s t e m . M o s t l i b e r a l social scientists v i e w i n g this p h e n o m e n o n o f e t h n i c stratification a s s u m e d that over time processes which they called absorption, assimilation, a n d acculturation would eliminate this relationship between national or ethnic origin a n d economic condit i o n a n d t h e y a d v o c a t e d policies t h a t w o u l d l e a d t o s u c h a r e s u l t . Moreover, educational institutions, m o r e so in the U n i t e d States t h a n in C a n a d a , w e r e g e a r e d to p r o v i d e s o m e equality of o p p o r t u n i t y for all y o u n g p e o p l e . T h e e m p h a s i s w a s o n i n d i v i d u a l a c h i e v e m e n t a n d in the context of a new nation with universalistic standards of j u d g m e n t it meant forgetting ancestry and attempting to establish a society of equality w h e r e e t h n i c origin d i d n o t m a t t e r . 45.

T a l c o t t P a r s o n s , The System of Modern Societies ( E n g l e w o o d C l i f f s , N . J . , P r e n -

tice-Hall, 1971), c h a p . 5.

294

John

Porter

S o m e fears w e r e e x p r e s s e d , o f c o u r s e , that these liberal assimilationist values w o u l d r e q u i r e a large m e a s u r e of A n g l o - c o n f o r m i t y on the p a r t of " n o n - A n g l o " g r o u p s . In a large m e a s u r e these fears w e r e p r o b a b l y justified, b u t it c o u l d also be said t h a t w h a t was b e i n g a d v o c a t e d was c o n f o r m i t y to t h e values of societies l e a d i n g in the modernizing process. If universalistic s t a n d a r d s a n d a c h i e v e m e n t values were i m p o r tant for the mobility offered by the occupational s t r u c t u r e of a m o d e r n i z i n g s o c i e t y , t h e n l i b e r a l a s s i m i l a t i o n i s t policies s e r v e d t o p r o v i d e o p p o r t u n i t y f o r t h o s e o f all e t h n i c o r i g i n s . T h e r e v i v a l o f ethnicity a n d the c o n s e q u e n t labeling could m e a n an e m p h a s i s on the contrary values of particularism a n d ascriptive criteria which w o u l d b e less c o n d u c i v e t h a n i m p e r f e c t l y a p p l i e d u n i v e r s a l i s t i c s t a n d a r d s to equality of o p p o r t u n i t y a n d mobility in t h e two major N o r t h A m e r i c a n societies. M o b i l i t y m e a n s m o v e m e n t u p m o r e t h a n t h e o c c u p a t i o n a l syst e m . I t also m e a n s m o v e m e n t i n t o h i g h e r levels o f p o l i t i c a l a n d e c o nomic power structures. Hence, as ethnicity has o p e r a t e d in the p a s t a s a s e l e c t i v e d e v i c e t o s o r t a n d sift p e o p l e w i t h i n t h e o c c u p a t i o n a l s t r u c t u r e i t h a s also s e r v e d a s a f o r m o f class c o n t r o l o f t h e major power structures by charter ethnic groups who remain overr e p r e s e n t e d in t h e elite s t r u c t u r e s . T h u s t h e U n i t e d States a n d C a n a d a , b o t h societies within t h e w e s t e r n liberal t r a d i t i o n w i t h e t h n i c i t y a s a s a l i e n t f e a t u r e , s e e m t o be faced with a d i l e m m a ; on the o n e h a n d if they value a n d e m phasize ethnicity, mobility a n d o p p o r t u n i t y a r e e n d a n g e r e d , on the o t h e r h a n d i f t h e y e m p h a s i z e m o b i l i t y a n d o p p o r t u n i t y , i t will b e a t t h e cost o f s u b m e r g i n g c u l t u r a l i d e n t i t y . T h e d i l e m m a is stated in the h y p o t h e s i s of F r a n k Vallee, in his study of French Canadian communities outside of Quebec, comm u n i t i e s w h i c h a r e like e t h n i c g r o u p s a n y w h e r e else i n C a n a d a i n that they a r e spatially d i s p e r s e d a n d w i t h o u t territory. His h y p o t h esis is as follows: T h e m o r e a minority g r o u p t u r n s in u p o n itself a n d c o n c e n t r a t e s on making its position s t r o n g , the m o r e it costs its m e m b e r s in terms of t h e i r chances to m a k e t h e i r way as individuals in t h e larger system . . . A m o n g ethnic minority g r o u p s which strive to maintain l a n g u a g e and o t h e r dis-

Ethnic Pluralism in C a n a d a

295

tinctions, motivation to aspire to high-ranking social and economic positions in the larger system will be weak, unless, of course, it is characteristic of the ethnic groups to put a special stress on educational and vocational achievement. 46

The last observation applies especially to Jews, but generally Vallee argues that any collectivity has limited resources and energies and cannot spend them on maintaining ethnic specific institutions and at the same time prepare its members for achievement in the larger society of which it is a part. The choice is no doubt a cruel one, particularly so because it cuts across the generations, introducing a contradiction between the parents' rights and choices with those their children might prefer. Nonetheless, the present drift seems to be against the liberal assimilationist views, now pejoratively referred to as being overly rational, secular, and universalistic. For some, the revival of ethnicity has come about precisely because of the failure of universalistic and achievement values to take hold, and thus create a society of equality of opportunity and condition. Ethnic stratification has been a feature of both the United States and Canada. Consequently there has been a shift to achieving equality through a system of organized minorities demanding rights and making .claims qua minorities, and away from human rights legislation, fair employment practices legislation and the like, which were a product of the liberal value system and which were to provide individuals—not groups or collectivities—with rights, enforceable in the courts, against discrimination. It is no doubt understandable that because of the failure of these instruments, fashioned as they were for the individual, minorities have had to organize to obtain some measure of distributive justice when deprivation remained concentrated within particular groups. The increasing demands of deprived groups and the accumulating evidence of their deprivation have brought certain pol47

4 6 . F r a n k G . V a l l e e a n d N o r m a n S h u l m a n , " T h e V i a b i l i t y of F r e n c h G r o u p i n g s Outside

Quebec,"

in

Mason

Wade,

e d . , Regionalism

in

the

Canadian Community

( T o r o n t o , University o f T o r o n t o Press, 1969), p . 9 5 . 4 7 . S e e A n d r e w G r e e l e y , " T h e R e d i s c o v e r y o f D i v e r s i t y , " The Antioch Review 3 1 (Fall 1 9 7 1 ) , 3 4 9 ; a n d " T h e N e w E t h n i c i t y a n d B l u e Collars,"Dissent ( W i n t e r 1 9 7 2 ) .

John

296

Porter

icy r e s p o n s e s b y d o m i n a n t m a j o r i t i e s a s r e p r e s e n t e d b y g o v e r n m e n t s a n d o t h e r p o w e r g r o u p s . T h e s e policy responses have p r o d u c e d a new terminology; affirmative action, positive discrimin a t i o n , p r e f e r e n t i a l h i r i n g a n d b e n i g n q u o t a s . T h e n e w instruments, focused as they are on g r o u p s , a n d providing what m i g h t b e called g r o u p rights, for e x a m p l e , t o p r o p o r t i o n a l r e p r e s e n t a t i o n w i t h i n all i n s t i t u t i o n a l h i e r a r c h i e s , c o n s t i t u t e a r a d i c a l d e p a r t u r e f r o m a society o r g a n i z e d o n t h e p r i n c i p l e s o f i n d i v i d u a l a c h i e v e m e n t a n d universalistic j u d g m e n t s , e v e n if these w e r e often h o n o r e d as m u c h in the breach as in the observance, to one organ i z e d o n g r o u p c l a i m s t o r e p r e s e n t a t i o n o n t h e basis o f p a r t i c u l a r , r a t h e r than universal, qualities. I t i s i n t e r e s t i n g i n this r e s p e c t t h a t t h e U n i v e r s a l D e c l a r a t i o n o f H u m a n Rights, which e n c o u r a g e d a g o o d deal of t h e postwar h u m a n rights legislation, n o w h e r e m e n t i o n s g r o u p rights, b u t speaks entirely in terms of the rights of individual h u m a n beings. I t i s n o t p o s s i b l e , i n C a n a d a a t least, t o f i n d t h e c o n c e p t o f g r o u p rights e m b o d i e d i n j u r i s p r u d e n c e e x c e p t p e r h a p s for t h e so-called aboriginal rights a n d treaty rights of native I n d i a n s . W h e n the evidence is very clear that discrimination a n d deprivat i o n b e a r s o h e a v i l y o n e t h n i c m i n o r i t i e s , i t s e e m s logical t o c o r r e c t the condition t h r o u g h positive d i s c r i m i n a t i o n in which institutions, c o r p o r a t i o n s , u n i v e r s i t i e s , a n d t h e like, a r e r e q u i r e d t o m a i n t a i n quotas t h r o u g h o u t their hierarchical structures to m a k e t h e m representative with respect to minorities. T h e s e processes have g o n e m u c h f u r t h e r i n t h e U n i t e d States t h a n i n C a n a d a , w h e r e t h e y a r e largely confined to federal g o v e r n m e n t a t t e m p t s to i m p r o v e t h e position of the F r e n c h in the federal public service, a n d of native people—the most wretchedly deprived of all—in areas w h e r e the federal g o v e r n m e n t awards contracts. H o w e v e r , in response to reco m m e n d a t i o n s o f t h e Royal C o m m i s s i o n o n t h e S t a t u s o f W o m e n ( 1 9 7 0 ) s i m i l a r p o l i c i e s o f positive d i s c r i m i n a t i o n f o r t h i s d e p r i v e d "minority" are beginning to a p p e a r . 4 8

Positive d i s c r i m i n a t i o n b r i n g s a n e w p r o b l e m i n d i s t u r b i n g existing relationships b e t w e e n ethnic a n d o t h e r minorities within oc4 8 . Report of the Royal Commission on the Status of Women in Canada ( I n f o r m a t i o n Canada,

1970).

Ethnic P l u r a l i s m in C a n a d a

297

cupational structures that have been accepted a n d institutionalized in the c o u r s e of their historical d e v e l o p m e n t . In C a n a d a , an English-speaking p e r s o n reacts against a p p o i n t m e n t s a n d p r o m o tions which favor the F r e n c h , as an eastern E u r o p e a n "ethnic" in t h e U n i t e d States w o u l d to positive discrimination in favor of n o n whites, or a m a n against such discrimination in favor of a w o m a n . W h a t e v e r its b e n e f i t s , a n d h o w e v e r m u c h its p u r p o s e s c a n b e u n d e r s t o o d , p o s i t i v e d i s c r i m i n a t i o n b r i n g s t h e s e i n s t i t u t i o n a l i z e d differences in p o w e r a n d privilege between the majority a n d minorities well i n t o v i e w a n d gives a n e w s a l i e n c y t o m i n o r i t y a n d p e r h a p s p s e u d o - m i n o r i t y g r o u p m e m b e r s h i p , a n d intensifies h o s tility a n d r i v a l r y . T h e i n d i v i d u a l , i n o r d e r t o m a k e his c l a i m s , will h a v e t o d e t e r m i n e t o which g r o u p h e b e l o n g s , a n d o n e can visualize a s o m e w h a t c o m p l e x p a s s - b o o k a r r a n g e m e n t . M e m b e r s h i p c o u l d cross-cut in several ways, m a k i n g it necessary to calculate the m a x i m u m advantage for preferential e m p l o y m e n t a n d career prog r a m . T h e possibilities a r e endless, since societies can be viewed as i n t e r s e c t i n g sets o f m i n o r i t i e s a n d m a j o r i t i e s , d e f i n e d b y a n i n f i n i t e n u m b e r o f c r i t e r i a , all o f d i f f e r e n t r e l e v a n c e a t d i f f e r e n t t i m e s . T h e o r g a n i z a t i o n o f s o c i e t y o n t h e basis o f r i g h t s o r c l a i m s t h a t derive from g r o u p m e m b e r s h i p is sharply opposed to the concept of a society based on citizenship, which h a s b e e n such an i m p o r t a n t aspect i n t h e d e v e l o p m e n t o f m o d e r n societies. T h e individual m a k e s c l a i m s a s a c i t i z e n , a s t a t u s c o m m o n t o all m e m b e r s . T . H . Marshall has traced the d e v e l o p m e n t of citizenship rights a n d t h e m a n n e r i n w h i c h t h e y h a v e s e r v e d t h e p r o c e s s o f class a b a t e m e n t , a n d P a r s o n s has recently d r a w n o n Marshall's ideas a b o u t citizenship as central to t h e d e v e l o p m e n t of the system of m o d e r n s o c i e t i e s . T h e y a r e e s s e n t i a l also t o t h e d e v e l o p m e n t o f m o d e r n e g a l i t a r i a n i s m . F i r s t civil r i g h t s p r o v i d e d e q u a l i t y b e f o r e t h e l a w , t h e n political r i g h t s a l l o w e d p a r t i c i p a t i o n i n g o v e r n m e n t , e v e n t u ally social r i g h t s b r o u g h t a b o u t e d u c a t i o n , h e a l t h , a n d d e c e n t l i v i n g s t a n d a r d s a n d s o m e m e a s u r e of equality of condition. As Parsons h a s s a i d : " T h e e m e r g e n c e o f 'full' m o d e r n i t y t h u s w e a k e n e d t h e ascriptive framework of monarchy, aristocracy, established 4 9

49.

T. H. M a r s h a l l , Class, Citizenship and Social Development ( G a r d e n C i t y , N . Y . ,

Anchor,

1965).

298

John

Porter

c h u r c h e s a n d a n e c o n o m y c i r c u m s c r i b e d b y k i n s h i p a n d localism t o t h e p o i n t at which it no l o n g e r exercised decisive influence." 5 0

Citizenship rights a r e essentially universalistic w h e r e a s g r o u p rights a r e essentially particularistic. O n e o f t h e r e a s o n s why m a n y d e v e l o p i n g s o c i e t i e s c a n n o t b e c o m p a r e d w i t h m o d e r n societies i s t h a t t h e y h a v e n o t yet e m b o d i e d s o m e , o r i n d e e d a n y , o f t h e s e citiz e n s h i p r i g h t s i n e i t h e r t h e i r v a l u e s y s t e m s o r t h e i r social o r g a n i z a tion. T h e y r e m a i n essentially p r e m o d e r n , e m p h a s i z i n g tribalism a n d l o c a l i s m a n d r e s o l v i n g t h e i r e t h n i c conflicts, s o m e t i m e s e v e n t o t h e p o i n t of g e n o c i d e , with the particularistic focus. In m o d e r n western nations that have established democratic p r o c e d u r e s and, albeit i n a d e q u a t e l y , b u t n o n e t h e l e s s perceptively, have d e v e l o p e d t h e social r i g h t s o f c i t i z e n s h i p , e t h n i c conflict i s a b o u t e q u a l i t y o f c o n d i t i o n a n d full p a r t i c i p a t i o n i n a m o d e r n i z i n g o p p o r t u n i t y s t r u c t u r e a s well a s t h e political c o m m u n i t y . T o r e s o r t t o t h e g r o u p basis of s e t t l i n g c l a i m s , if n e c e s s a r y , is r e g r e t t a b l e . I now r e t u r n to the m a t t e r to which I r e f e r r e d earlier, that ethnic g r o u p s , b e c a u s e t h e y a r e b i o l o g i c a l d e s c e n t g r o u p s , a r e a r e gressive m e a n s of s a f e g u a r d i n g a n d t r a n s m i t t i n g c u l t u r e , a r e s p o n sibility w h i c h m a n y w o u l d a s s i g n t o t h e m . N o d o u b t c u l t u r a l s u r v i v a l c a n b e m o s t efficiently a c h i e v e d t h r o u g h t h e biological d e scent g r o u p because w h e n coupled with a n o t h e r principle firmly e m b e d d e d in o u r values—that parents have the inalienable right t h r o u g h cultural transmission to m a k e their children the vehicles o f t h e i r v a l u e s — r e c r u i t s a r e always a v a i l a b l e . T h e u s e o f t h e f a m i l y for e t h n o c u l t u r a l transmission requires that g r o u p s impress u p o n their m e m b e r s t h e value of m a r r y i n g within their own g r o u p . If t h e y d o n o t t h e y will lose t h e p r i m o r d i a l link with t r i b e o r n a t i o n a n d t h e e x c l u s i v e e t h n i c c l a i m s o n c u l t u r e will b e e r o d e d . E n d o g a m y is a process of exclusion. T h e r e was a time w h e n l o w e r i n g rates of e n d o g a m y could be taken as an index of lessening prejud i c e i n a m o r e l i b e r a l a n d o p e n society. I n t h e c u r r e n t r e t u r n t o ethnicity it seems a different j u d g m e n t , that such lowering rates c a n b e i n t e r p r e t e d a s a loss o f e t h n i c c o m m u n a l s t r e n g t h , i s b e i n g m a d e . T h e metal of e n d o g a m y is m o r e attractive because it is u n meltable. 50.

T a l c o l t P a r s o n s , The System of Modern Societies ( E n g l e u o o d C l i f f s , N . J . , P r e n -

tice-Hall, 1971), p p . 8 1 , 86.

Ethnic Pluralism in C a n a d a

299

W h e n descent g r o u p s are the principal carriers of culture there are d a n g e r s of new forms of racism. If "races" have been evaluated as inferior a n d superior, so can cultures be. Racism a n d "cult u r i s m " s t e m f r o m t h e fact t h a t b o t h a r e l i n k e d t o t h e m a i n t e n a n c e o f d e s c e n t g r o u p s o l i d a r i t y a n d e n d o g a m y . A f t e r all, i f e t h n i c i t y i s so i m p o r t a n t , if cultures a r e so different, t h e n it is easy to e x t e n d the a r g u m e n t that those of different ethnic groups a n d cultures m u s t also be d i f f e r e n t with respect to qualities which a r e t h o u g h t i m p o r t a n t in different parts of the work world a n d for e n t r a n c e to e l i t e s t a t u s . I t m a y n o t t a k e v e r y l o n g b e f o r e t h a t view b e c o m e s e x t e n d e d even further, to include the notion that qualitative cultural differences are inborn. W h e n that point is reached we have come full circle a n d w e b e g i n t o r e a l i z e t h a t t h o s e t h e o r i e s o f r a c e a n d e d i n i c d i f f e r e n c e s w h i c h w e t h o u g h t d e s t r o y e d o r a t least h i g h l y discredited by W o r l d W a r II have r e a p p e a r e d in a new guise with culture replacing race. A l o n g with t h e a r g u m e n t s s u p p o r t i v e o f t h e revival o f ethnicity c a n b e f o u n d a l s o t h e view t h a t c u l t u r e s h a v e a r i g h t t o live a n d i n dividuals a n d societies h a v e an obligation to see that they survive, a l t h o u g h surely history is as m u c h the g r a v e y a r d of cultures as it is of aristocracies. T h e desirability a n d responsibility of p r e s e r v i n g c u l t u r e t h r o u g h historical, archeological, a n d anthropological s t u d y , b e c a u s e w e w a n t t o k n o w h o w p e o p l e lived a t d i f f e r e n t t i m e s a n d places, is b e y o n d question. Often, in discussions of the survival of culture, o n e gets the impression that the reference is to cultural artifacts such as d a n c e , folklore, cuisine, music, crafts, a n d t h e like. C u l t u r a l a r t i f a c t s a l w a y s will s u r v i v e , b e c a u s e p e o p l e e n j o y t h e m , a n d that is good because they a d d variety. However, they do n o t r e q u i r e descent g r o u p identification to survive. Artifacts are u n l i k e values, some of which w h e n e m b e d d e d in particular cultures a r e particularly i n a p p r o p r i a t e for m o d e r n i t y , for e x a m p l e , t h e low e v a l u a t i o n of e d u c a t i o n for girls. If t h e r e a r e d a n g e r s of biological d e s c e n t g r o u p s p r e s e r v i n g cult u r e s t h r o u g h living t h e m , t h e r e a r e available associational ways of conserving culture. Some people find the culture of ancient Egypt fascinating a n d r e w a r d i n g to study. B u t if t h e culture of ancient Egypt is of value the various g r o u p s that p r e s e r v e it— archaeologists w h o get m o n e y to investigate it a n d a m a t e u r Egyptol-

John

300

Porter

ogists w h o m a k e it a h o b b y — m u s t recruit n e w m e m b e r s to carry on their interests. O n e way would be to r e q u i r e as a condition of m e m b e r s h i p that m e m b e r s marry within the Egyptology g r o u p , a n d , given t h e traditional role of the family as the u n i t of cultural transmission, e n s u r e the survival of t h e c u l t u r e of ancient E g y p t t h r o u g h t h e g e n e r a t i o n s . Alternatively, they can do as they always have d o n e a n d that is to recruit m e m b e r s by persuading others that s t u d y i n g a n d k e e p i n g alive this p a r t i c u l a r c u l t u r e i s a g o o d t h i n g . T h e obligation to conserve c u l t u r e is different from the obligat i o n t o live it. I n C a n a d a , f o r e x a m p l e , i t i s a t t i m e s s u g g e s t e d t h a t t h e E s k i m o s s h o u l d b e left a l o n e t o live t h e i r t r a d i t i o n a l h u n t i n g and nomadic culture rather than be encouraged to modernism e v e n t h o u g h , f o r t h e i n d i v i d u a l s i n v o l v e d , life i s m o r e o f t e n t h a n n o t nasty a n d b r u t i s h a n d s e l d o m long, a t least until m o d e r n gove r n m e n t health services a r e delivered to even the m o s t r e m o t e a r e a s . Yet few w o u l d a r g u e that m e d i c a l a t t e m p t s t o c o n t r o l t u b e r culosis s h o u l d be a b a n d o n e d in favor of the m o r e primitive h a r s h ness. N o t all c u l t u r e s h a v e e q u a l c l a i m s o n o u r m o r a l s u p p o r t . S o m e cultures treat h u m a n beings in p r o f o u n d l y i n h u m a n e ways. As C o n o r C r u i s e O ' B r i e n h a s said i n a r e c e n t d i s c u s s i o n o f t h e r i g h t s of minorities in developing countries: T h e c u l t u r e of a g r o u p may include systematic violations of basic h u m a n rights. W h e n we a r e told to respect t h e cultures of g r o u p s we a r e b e i n g told to respect things which may include for e x a m p l e t h e H i n d u caste system, t h e t r e a t m e n t of w o m e n in Islam a n d a n u m b e r of o t h e r cult u r e s , female circumcision in certain cultures, ostracism of twins, for exa m p l e in o d t e r s , a n d so o n . 5 1

So strongly are cultural rights advocated that people in m o d e r n nations, particularly those that m a k e claims to b e i n g democracies, are reluctant to persuade developing countries to be either democratic or m o d e r n . P e r h a p s considering their histories of imperialism a n d aggression they d o not speak with m u c h m o r a l a u t h o r i t y . B u t o u r claim to t h e j u d g m e n t of cultures is n o t p u t f o r w a r d bec a u s e w e h a v e c r e a t e d a p e r f e c t society, b u t b e c a u s e i n t h e c o u r s e 51.

I n The Times, L o n d o n , r e p r i n t e d a s " I n S e c e s s i o n a C a s e f o r t h e I n d i v i d u a l , "

i n t h e Globe and Mail, T o r o n t o , J a n u a r y 2 7 , 1 9 7 3 .

301

Ethnic Pluralism in C a n a d a

o f social e v o l u t i o n s o m e

p r i n c i p l e s o f social

life

have emerged

which are m o r e morally supportable than others. So far my e m p h a s i s h a s b e e n on t h e costs of e t h n i c saliency in m o d e r n societies. A r e t h e r e n o benefits? O n e s t r o n g a r g u m e n t for ethnic pluralism, widely accepted to s u p p o r t t h e idea of multicult u r a l i s m in C a n a d a , is t h a t it c r e a t e s d i v e r s i t y . A s o c i e t y w i t h a n u m b e r of different ethnic cultures in which t h e m e m b e r s of relatively e x c l u s i v e g r o u p s b e h a v e a l i k e , i t i s s a i d , will b e h e t e r o g e n e o u s r a t h e r t h a n u n i f o r m . Yet it could be that such diversity is m o r e enjoyed by the beholder—whatever O l y m p u s he might be viewing it f r o m — t h a n

any of the

actors

within

their enclaves.

M o r e o v e r , m o d e r n s o c i e t i e s a r e t h e m o s t d i f f e r e n t i a t e d o f all. JDiversity is almost a d e f i n i n g a t t r i b u t e for t h e m , b u t their diversity is o n e o f c h o i c e r a t h e r t h a n o f d e s c e n t . I n d e e d , t h e call t o e t h n i c loyalty s t e m s l a r g e l y f r o m t h e f e a r o f t h e d e s c e n t g r o u p t h a t m e m b e r s will d e s e r t i t f o r t h e d i v e r s i t y o f a n a s s o c i a t i o n a l r a t h e r t h a n a c o m munal type. A s t r o n g c a s e c a n b e m a d e f o r t h e r o l e o f e t h n i c g r o u p affiliation in solving p r o b l e m s of personal identity in t h e m o d e r n world of bureaucracy and technology. T h e r e is no doubt that ethnic groupi n g s c a n p l a y this r o l e , b u t , a s I h a v e a r g u e d , a t t h e p o s s i b l e c o s t o f p e r p e t u a t i n g ethnic stratification.

Identities

and

psychic shelters

can be found in o t h e r f o r m s of association a n d interest g r o u p s which a r e not based on descent, for it is this aspect of t h e ethnic g r o u p which is the source of irrational invidious comparison. T h e psychic shelter function o f ethnic affiliation has b e e n a n d continues to be important in Canada and no doubt in other mode r n s o c i e t i e s a s well, i n t w o s p e c i a l c o n t e x t s . O n e i s t h a t o f recentlyarrived

immigrants,

of which

Canada

continues

to

have

large

n u m b e r s i n its p o p u l a t i o n . T h e o t h e r i s t h e p o s i t i v e f u n c t i o n w h i c h e t h n i c affiliation h a s f o r t h e r a i s i n g o f t h e s e l f - c o n c e p t o f m e m b e r s o f low s t a t u s g r o u p s . F o r t h e i m m i g r a n t t h e transition to a n e w social e n v i r o n m e n t c a n b e f r a u g h t with psychic h a z a r d s , particularly i f h e c o m e s f r o m t h e Azores or the Abruzzi to metropolitan T o r o n t o . T h e question from t h e p o i n t o f view o f g e n e r a l social goals i s w h e t h e r t h e u s e f u l s t a g ing c a m p role o f t h e e t h n i c c o m m u n i t y b e c o m e s p e r m a n e n t , o r

302

John

Porter

w h e t h e r s o m e d i s p e r s i o n into t h e w i d e r society o f t h e v a r i o u s g r o u p s i n c r e a s e s his c h a n c e s o f a c h i e v e m e n t a n d m o b i l i t y i n t h e r e c e i v i n g society. C o m m i t m e n t t o t h e r e c e i v i n g society o n t h e p a r t o f i m m i g r a n t s m a y n o t b e a s s t r o n g n o w a s i t was sixty o r s e v e n t y y e a r s a g o . I m m i g r a n t s c o m e in m o d e r n j e t aircraft, settle into enclaves in t h e receiving metropolis, a n d c h a r t e r aircraft to take t h e m h o m e for visits. W h a t t h e j e t a i r c r a f t d o e s b e t w e e n M i l a n o a n d T o r o n t o , fast special trains d o from T o r i n o t o A m s t e r d a m . S o t h e link with t h e society o f o r i g i n i s n o t a s c o m p l e t e l y b r o k e n a s i t w a s i n t h e t i m e o f t h e l o n g s t e e r a g e passage across t h e Atlantic, a n d with this s h r i n k i n g o f d i s t a n c c t h e social s t a t u s o f m i g r a t i n g l a b o r will b e e v e r m o r e a m b i g u o u s i n t h e societies t o w h i c h i t m o v e s t o w o r k . T h e social s t a t u s o f p e r m a n e n t s t r a n g e r i s s o m e t h i n g n e w f o r m o d e r n societies. B u t w h e r e t h e s t a t u s o f c i t i z e n s h i p c a n b e a c q u i r e d , a s i n t h e U n i t e d S t a t e s a n d C a n a d a , social m o b i l i t y a n d a c h i e v e m e n t a l m o s t imply a c o m m i t m e n t to the values of m o d e r n i s m a n d a m o v e m e n t away from the ethnic c o m m u n i t y with each s u c c e e d i n g g e n e r a t i o n . T h e r e r e m a i n s t h e positive function t h a t e t h n i c identification c a n p l a y i n r a i s i n g t h e s e l f - c o n c e p t o f m e m b e r s o f low s t a t u s g r o u p s . T h e e n h a n c e m e n t of self-concept can serve c o n t r a r y e n d s . O n e is t o c o m p e n s a t e f o r low s t a t u s w i t h o u t d o i n g a n y t h i n g a b o u t it, v e r y m u c h a s e v a n g e l i c a l r e l i g i o n s d o f o r l o w e r classes i n e t h n i c a l l y h o m o g e n e o u s s o c i e t i e s o r low s t a t u s e t h n i c g r o u p s i n e t h n i c a l l y h e t e r o g e n e o u s societies. T h e o t h e r is to p r o v i d e a firm base f r o m which to achieve, although m a n y cultures do n o t e m p h a s i z e individual a c h i e v e m e n t , n o r d o t h e y p r o v i d e t h e a p p r o p r i a t e skills f o r it. F r o m t h e p o i n t o f view o f t h e I n d i a n s , d o e s p r o m o t i n g t h e i r o w n c u l t u r e h e l p t h e m t o w a r d equality in t h e p o s t i n d u s t r i a l society? If strong ethnic identification is to e n h a n c e the self-concept of an individual a n d t h u s p r o v i d e a firm base f r o m which to achieve, it is i m p o r t a n t to emphasize language r a t h e r t h a n culture. Identification with a n d t h e use of their o w n l a n g u a g e , p a r t i c u l a r l y in school, m a y b e i m p o r t a n t i n p r o v i d i n g o p p o r t u n i t y f o r v e r y low s t a t u s g r o u p s . F o r e x a m p l e , t h e u s e o f a n i m m i g r a n t l a n g u a g e , say, I t a l i a n or Portuguese a n d certainly the language of native peoples in C a n ada, may help a child in o v e r c o m i n g l e a r n i n g i m p e d i m e n t s that

Ethnic Pluralism in Canada

303

arise from using o n e l a n g u a g e at school a n d a n o t h e r at h o m e . He a c q u i r e s s o m e s e l f - c o n f i d e n c e w h e n his l a n g u a g e i s n o t d e s p i s e d . B u t such use of l a n g u a g e is quite different from the goal of h a v i n g e t h n i c c o m m u n i t i e s b e c o m e a p e r m a n e n t c o m p e n s a t i o n f o r l o w status, or as psychic shelters in t h e u r b a n - i n d u s t r i a l world. We w o u l d h o p e f o r a society i n w h i c h t h e c o m p e n s a t o r y r o l e o f t h e e t h n i c c o m m u n i t y is not necessary. I have tried to a r g u e what, particularly in my o w n country, is an u n p o p u l a r view, a n d t h a t i s t h a t t h e s a l i e n c y o f e t h n i c d i f f e r e n c e s i s a retreat from the liberal notions of the unity of m a n k i n d . B u t I would be naive i n d e e d — a n i n a p p r o p r i a t e state for a professional sociologist—if I w e r e n o t a w a r e of the political realities in t h o s e m o d e r n societies w h e r e d e p r i v e d m i n o r i t i e s s e e k t o r e d i s t r i b u t e social r e s o u r c e s t o r e d r e s s g r i e v a n c e s . Political r e a l i t i e s a r e n o t principles although they are often confused with t h e m , a n d hence, t h e q u e s t i o n i s w h e t h e r i n t e r e t h n i c conflicts c a n b e s o l v e d i n w a y s w h i c h a r e b o t h ethically acceptable a n d sociologically possible. I t i s m y view t h a t i n C a n a d a , i n t h e e m e r g i n g p o s t i n d u s t r i a l p h a s e , w i t h its o n e c u l t u r e o f s c i e n c e a n d t e c h n o l o g y a n d its e x t e n sive t r a n s n a t i o n a l n e t w o r k , b i l i n g u a l i s m c a n s u r v i v e . B u t t h a t p h a s e c a n s c a r c e l y b e b i c u l t u r a l , m u c h less m u l t i c u l t u r a l . I f b i l i n g u a l i s m i s t o b e a p a r t o f C a n a d a ' s f u t u r e , w e will r e q u i r e m o r e e x o g a m o u s m a r r i a g e s t o offset f a l l i n g fertility r a t e s i n Q u e b e c . W e will a l s o r e q u i r e vastly i m p r o v e d l a n g u a g e l e a r n i n g p r o g r a m s . U n d e r s u c h c i r c u m s t a n c e s , t h e r e w o u l d be no n e e d to rely only on g r o u p exclus i v e n e s s a n d e n d o g a m y f o r C a n a d a ' s two l a n g u a g e s t o s u r v i v e . W h a t of cultures? Cultures are tradition b o u n d . Anthropologists view c u l t u r e a s e s t a b l i s h e d w a y s o f d o i n g t h i n g s , o r o f v i e w i n g t h e w o r l d , or as designs for living a n d survival p a s s e d f r o m g e n e r a t i o n t o g e n e r a t i o n , a n d , w h i l e f o r societies m o r e s i m p l y o r g a n i z e d t h a n those of today, the role that cultures played a n d for m a n y c o n t i n u e t o p l a y was i m p o r t a n t , t h e y a r e less a n d less r e l e v a n t f o r t h e p o s t i n d u s t r i a l society b e c a u s e t h e y e m p h a s i z e y e s t e r d a y r a t h e r t h a n t o m o r r o w . C a n c u l t u r e s of t h e past serve societies facing the c o m i n g of postindustrialism? T h e one recurring t h e m e in many of the analyses of the next twenty-five years is t h e rapidity of c h a n g e , of t h e shock of the future. O n e can almost speak of the e n d of cul-

304

John

Porter

t u r e , as s o m e h a v e written of t h e e n d of ideology. M a n y of t h e hist o r i c c u l t u r e s a r e i r r e l e v a n t t o o u r f u t u r e s . O p p o r t u n i t y will g o t o those individuals who are future oriented in an increasingly universalistic c u l t u r e . T h o s e o r i e n t e d t o t h e p a s t a r e likely t o lose o u t . O n e w o u l d like t o t h i n k , t o o , t h a t i n t h e U n i t e d S t a t e s t h e m o r a l l y d e s i r a b l e a n d sociologically p o s s i b l e w o u l d t a k e t h e d i r e c t i o n o f s o l v i n g p r o b l e m s o f n o n - w h i t e d e p r i v a t i o n a n d all i n e q u a l i ties t h r o u g h t h e l i b e r a l e m p h a s i s o n i n d i v i d u a l r a t h e r t h a n g r o u p rights. In the short r u n in both C a n a d a a n d the U n i t e d States it m a y n o t b e possible, b u t w e s h o u l d b e a w a r e o f t h e d a n g e r o f instit u t i o n a l i z i n g s h o r t - r u n p o l i c i e s : i f w e d o w e m a y well b e t u r n i n g back on the principles which have been evolving in o u r histories a n d which t h e revival of ethnicity contradicts.

10 ORLANDO PATTERSON

Context and Choice in Ethnic Allegiance: A Theoretical Framework and Caribbean Case Study THEORETICAL FORMULATION T h e objectives o f this c h a p t e r a r e t o a r g u e t h a t ethnicity c a n only b e u n d e r s t o o d i n t e r m s o f a d y n a m i c a n d c o n t e x t u a l view o f g r o u p a l l e g i a n c e s ; t h a t w h a t i s critical a b o u t a n e t h n i c g r o u p i s n o t t h e p a r t i c u l a r set o f s y m b o l i c o b j e c t s w h i c h d i s t i n g u i s h e s it, b u t t h e social u s e s o f t h e s e o b j e c t s ; a n d t h a t e t h n i c loyalties reflect, a n d a r e m a i n t a i n e d by, t h e u n d e r l y i n g s o c i o e c o n o m i c interests o f g r o u p members. In p u r s u i n g these objectives, we a s s u m e t h e following: t h a t h u m a n beings h a v e a variety of g r o u p allegiances; t h a t t h e s e allegiances m a y coincide o r o v e r l a p o r conflict with e a c h o t h e r ; a n d t h a t h u m a n b e i n g s s e e k t o m a x i m i z e t h e i r e c o n o m i c a n d social s t a t u s a n d m i n i m i z e t h e i r s u r v i v a l risks i n t h e s o c i e t i e s i n w h i c h t h e y live. O n e type of g r o u p allegiance is characterized by the quality ref e r r e d to as ethnicity. T h e use of this t e r m in t h e sociological literature is unsatisfactory, i n d e e d , often confused. T h e t e r m may be d e f i n e d i n t w o w a y s : o n e static a n d d e s c r i p t i v e , t h e o t h e r d y n a m i c a n d analytic. Most definitions of t h e t e r m have b e e n descriptive a n d static i n a n a t t e m p t t o i s o l a t e a set o f c h a r a c t e r i s t i c s o r t r a i t s b y 1

1.

T h e situation is q u i t e similar to w h a t Blalock calls t h e "healthy c o n f u s i o n " e x -

isting in the closely related a n d o v e r l a p p i n g field in minority g r o u p relations. S e e

H.

M.

B l a l o c k , J r . , Toward a Theory of Minority-Group Relations ( S a n t a

Capricorn Books, 1967), p. 2.

Barbara,

306

Orlando

Patterson

w h i c h t h e t e r m m a y b e d e l i n e a t e d . H e r e i n lies m u c h o f t h e c o n f u s i o n . S u c h d e f i n i t i o n s e m p h a s i z e c u l t u r e a n d t r a d i t i o n a s t h e critical e l e m e n t s , a n d i n s o d o i n g , a r e s o d e s c r i p t i v e t h a t t h e y b e c o m e analytically useless, a n d often so inclusive t h a t they a r e n o t e v e n worthwhile as heuristic devices. Cultural attributes are of no intrinsic i n t e r e s t f r o m a d y n a m i c s t r u c t u r a l p e r s p e c t i v e . F r o m t h e l a t t e r viewpoint, what is i m p o r t a n t about the A m e r i c a n Jews is not the fact t h a t t h e y w o r s h i p o n S a t u r d a y s , o r t h a t t h e y h a v e c e r t a i n u n i q u e rituals or p a t t e r n s of socialization, b u t t h e functions of t h e s e rituals for t h e g r o u p — t h e ways in w h i c h they a r e u s e d to maintain g r o u p cohesiveness, sustain a n d e n h a n c e identity, and to e s t a b l i s h social n e t w o r k s a n d c o m m u n i c a t i v e p a t t e r n s t h a t a r e i m p o r t a n t f o r t h e g r o u p ' s o p t i m i z a t i o n o f its s o c i o e c o n o m i c p o s i t i o n i n t h e society. A t h e o r y o f e t h n i c c u l t u r a l e l e m e n t s a n d s y m b o l s i s an absurdity, because these symbols are purely arbitrary a n d u n i q u e to each case. S e c o n d , it is e x t r e m e l y i m p o r t a n t to n o t e t h a t t h e context of a g i v e n e t h n i c e x p e r i e n c e is o n e of t h e m o s t critical factors in defini n g it. O n c e w e u n d e r s t a n d t h i s , w e c a n b e g i n t o c l e a r u p a p e r s i s tent e r r o r which is often found in the descriptive literature. This is t h e view t h a t w h a t i s m o s t critical a b o u t e t h n i c i d e n t i t y i s t h e fact t h a t i t i s i n v o l u n t a r y a n d c a n n o t b e c h a n g e d . T h i s fallacy h a s a n a n c i e n t h e r i t a g e : t h e biblical r e f r a i n " C a n t h e E t h i o p i a n c h a n g e h i s s k i n o r t h e l e o p a r d his s p o t s ? " i s o n e o f t h e e a r l i e s t r e c o r d e d v e r s i o n s of it. It is o f t e n s t a t e d t h a t a d i s t i n g u i s h i n g f e a t u r e of t h e s e g r o u p s i s t h e fact t h a t i n d i v i d u a l s a r e b o r n i n t o s u c h g r o u p s a n d have no choice in the matter. O n e does n o t choose to be Jewish or black or C h i n e s e , it is claimed; r a t h e r , t h e c o n d i t i o n is c h o s e n for o n e by fate. 2

If one emphasizes—as o n e should, if o n e wants to be analytic— n o t t h e symbolic a n d c u l t u r a l objects b u t t h e s t r u c t u r a l significance o f these objects, t h e n o n e i m m e d i a t e l y r e c o g n i z e s t h e irrelevance o f such assertions. F r o m a structural a n d contextual viewpoint, there is an i m p o r t a n t sense in which t h e significance of a given ethnic at2.

T h e m o s t a r t i c u l a t e m o d e r n p r o p o n e n t o f t h i s v i e w i s H a r o l d R. I s a a c s . S e e

h i s c h a p t e r , " B a s i c G r o u p I d e n t i t y , " i n t h i s v o l u m e . S e e a l s o M . G o r d o n , Assimilation i n American Life ( O x f o r d , O x f o r d U n i v e r s i t y P r e s s , 1 9 6 4 ) , p . 2 9 .

C o n t e x t a n d Choice in Ethnic Allegiance

307

t r i b u t e c a n c h a n g e a n d , a s s u c h , o n e c a n b e said t o h a v e s o m e choice i n t h e m a t t e r , since o n e can c h o o s e t h e sociological a n d psychological significance of t h e given trait. A n d t h e way in w h i c h this i s d o n e i s s i m p l y b y c h a n g i n g o n e ' s social c o n t e x t o r s e i z i n g t h e o p p o r t u n i t y o f f e r e d b y a c h a n g e , o v e r t i m e , i n o n e ' s social c o n t e x t . I will i l l u s t r a t e t h e p o i n t w i t h a n i n d i v i d u a l c a s e s t u d y . T a k e t h e case of a black J a m a i c a n w h o is a citizen of J a m a i c a a n d a p e r m a n e n t r e s i d e n t o f t h e U n i t e d S t a t e s . H e lives a n d w o r k s f o r a t o t a l o f eight m o n t h s i n t h e U n i t e d States a n d f o u r m o n t h s i n J a m a i c a . H e t r a v e l s b e t w e e n b o t h c o u n t r i e s twice a y e a r . I n J a m a i c a , w h i c h i s 9 5 p e r c e n t black, he belongs to the d e m o g r a p h i c a l l y d o m i n a n t majority a n d i s a m e m b e r o f t h e elite. I n t h e U n i t e d S t a t e s h e i s a m e m b e r of an e t h n i c g r o u p — t h e blacks, a l t h o u g h he holds a posit i o n o f s o m e s t a t u s i n t h a t society. C l e a r l y , i n o n e social c o n t e x t — J a m a i c a — t h e individual in question is not a m e m b e r of any ethnic g r o u p ; o n t h e c o n t r a r y , h e i s a n elite m e m b e r o f t h e d o m i n a n t g r o u p a n d his p r i m a r y a l l e g i a n c e i s t o t h e n a t i o n . I n t h e o t h e r c o n text, however, he is consciously a m e m b e r of an ethnic g r o u p . He r e g a r d s h i m s e l f a s a m e m b e r o f this g r o u p , a n d h e i s s o r e g a r d e d b y n o n - m e m b e r s o f this g r o u p i n A m e r i c a . T h u s , while h e d o e s n o t c h a n g e t h e color of his skin, t h e r e is a real a n d m e a n i n g f u l sense in w h i c h t h e i n d i v i d u a l c h a n g e s his e t h n i c i d e n t i t y f o u r t i m e s e a c h y e a r . H e d o e s s o b y c h a n g i n g his social c o n t e x t . 3

O t h e r e x a m p l e s m a y b e noted. T h e m a n y P u e r t o Ricans w h o m i g r a t e back a n d forth b e t w e e n P u e r t o Rico a n d N e w York a r e c a s e s i n p o i n t . I n P u e r t o Rico a black p e r s o n m i g h t b e l o n g t o t h e b l a c k e t h n i c g r o u p o f t h a t society, w h e r e a s i n N e w Y o r k h e b e l o n g s to t h e P u e r t o Rican e t h n i c g r o u p . F u r t h e r m o r e , t h e r e are cases of highly A m e r i c a n i z e d black P u e r t o Ricans w h o consciously c h o o s e a n d m a n i p u l a t e different ethnic identities to serve their o w n best i n t e r e s t s . I n c e r t a i n c o n t e x t s ( f o r e x a m p l e , r u n n i n g f o r local office or a p p l y i n g for a j o b in which Affirmative Action has created a b l a c k bias) h e will e m p h a s i z e his b l a c k n e s s . I n o t h e r c o n t e x t s ( f o r e x a m p l e , p e r s o n a l relations with whites) h e m a y choose t o m u t e t h e i m p a c t o f his d a r k s k i n b y e m p h a s i z i n g his L a t i n b a c k g r o u n d , e s p e 3.

T h e s e remarks are based on the author's participant observations of West In-

dians in N e w York and the Caribbean.

308

Orlando

Patterson

4

d a l l y his S p a n i s h a c c e n t . O r t a k e t h e c a s e o f t h e S e p h a r d i c J e w s o f J a m a i c a w h o travel to England or t h e U n i t e d States. In t h e new social s e t t i n g , s o m e o f t h e s e i n d i v i d u a l s c h o o s e t o m a i n t a i n t h e i r J e w i s h a l l e g i a n c e , i d e n t i f y i n g w i t h t h e J e w s o f t h e n e w h o s t society; o t h e r s c h o o s e to identify with the J a m a i c a n e t h n i c g r o u p in t h e n e w society; a n d still o t h e r s a b a n d o n e t h n i c i t y , m a r r y G e n t i l e w o m e n a n d b l e n d i n t o t h e h o s t society. S i m i l a r r a n g e o f c h o i c e s a r e m a d e by m e m b e r s of the Sephardic Jewish community from Curac a o l i v i n g i n H o l l a n d . Finally, i t s h o u l d b e n o t e d t h a t c h a n g e s i n t h e c o n t e x t of e t h n i c identification can take place by m o v e m e n t f r o m o n e society to a n o t h e r in a given t i m e p e r i o d , or it c a n t a k e p l a c e o v e r g i v e n p e r i o d s o f t i m e w i t h i n a s i n g l e society. 5

With these preliminary observations in m i n d , we may define ethnicity a s follows: t h a t c o n d i t i o n w h e r e i n c e r t a i n m e m b e r s o f a socie t y , i n a g i v e n social c o n t e x t , c h o o s e t o e m p h a s i z e a s t h e i r m o s t m e a n i n g f u l basis o f p r i m a r y , e x t r a f a m i l i a l i d e n t i t y c e r t a i n ass u m e d cultural, national, or somatic traits. T h e g r o u p s f o r m e d i n this way v a r y , o f c o u r s e , i n size, d u r a t i o n , intensity o f i n v o l v e m e n t , variety a n d n u m b e r o f s h a r e d traits, a n d i n c o m p l e x i t y o f s t r u c t u r e . Clearly t h e r e a r e n u m e r o u s ways o f classifying s u c h g r o u p s , a n d w h i l e t h e e x e r c i s e m i g h t h a v e s o m e d e s c r i p t i v e v a l u e , i t c a n b e , a n d o f t e n is, t h e o r e t i c a l l y p o i n t l e s s . I t is best to c o n c e n t r a t e on the analytic qualities such g r o u p s have in c o m m o n : n a m e l y , t h e fact t h a t t h e y a r e t h e s t r u c t u r a l e x p r e s s i o n s of p r i m a r y , extrafamilial identity. 6

T h e y r e s e m b l e t h e family i n t h e i n t e n s i t y o f i n v o l v e m e n t o f m e m b e r s a n d in t h e tendency to equate a n d rationalize relationships with o t h e r m e m b e r s in c o n s a n g u i n e a l terms—"kith a n d kin" is a t e r m often used to describe m e m b e r s of one's ethnic g r o u p . But they a r e certainly not kinship g r o u p s , in spite of t h e 4. T h i s manipulation of multiple ethnic identities was brought to the author's a t t e n t i o n by several of his P u e r t o Rican s t u d e n t s at H a r v a r d . S e e S a m B e t a n c e s , " T h e Prejudice o f H a v i n g N o Prejudice." u n p u b l i s h e d paper, 1971.

5. S e e F r a n c e s P. K a r n e r , The Sephardks of Curasao: A Study of Socio-Cultural Patterns i n Flux ( A s s e n , T h e N e t h e r l a n d s , V a n G o r c u m , 1 9 6 9 ) , e s p . p p . 6 4 , 6 6 - 6 7 . 6 . S e e , for e x a m p l e , t h e p a p e r s o f N . S h a l e r , E . F r e e m a n , \V. Petrie, a n d A .

T o y n b e e , i n E . T . T h o m p s o n a n d E . C . H u g h e s , e d s . , Race: Individual and Collective Behavior ( G l e n c o e , T h e F r e e P r e s s . 1 9 5 8 ) , p t . 3 .

Context and Choice in Ethnic Allegiance

309

ideological fiction a m o n g m e m b e r s to the contrary; n o r are such g r o u p s necessarily e n d o g a m o u s . T h e m e m b e r s of an ethnic g r o u p may be restricted to a single nation, or the g r o u p m a y cut across several national b o u n d a r i e s . Occasionally, the ethnic g r o u p may coincide with the n a t i o n .

7

It is

i m p o r t a n t t o k e e p i n m i n d , h o w e v e r , t h e fact t h a t e t h n i c a l l e g i a n c e a n d national allegiance a r e not necessarily the s a m e thing. T h e idea of the national

Volk,

t h e view t h a t a n a t i o n is o r s h o u l d b e a

c o m m u n i t y of p e o p l e s h a r i n g a c o m m o n history a n d "blood," is a p e c u l i a r p r o d u c t o f m o d e r n political t h o u g h t .

8

T h e fact t h a t ethnicity is a c h o s e n f o r m of identification c a n n o t b e o v e r e m p h a s i z e d . A n ethnic g r o u p only exists w h e r e m e m b e r s c o n s i d e r themselves to b e l o n g to such a g r o u p ; a conscious sense of b e l o n g i n g i s critical. I t i m p l i e s , o n t h e o n e h a n d , t h a t w h e r e all o t h e r criteria a r e m e t e x c e p t this sense o f b e l o n g i n g , t h e e t h n i c c o n d i t i o n i s not m e t — e v e n w h e r e o t h e r m e m b e r s o f t h e society m a y r e g a r d a given g r o u p of individuals as constituting an ethnic g r o u p . A n d it implies, on the o t h e r h a n d , t h a t w h e r e , in objective sociological t e r m s , t h e a s s u m e d bases o f g r o u p allegiance d o n o t exist, s h o u l d m e m b e r s subjectively a s s u m e t h e existence o f s u c h " m y t h i c a l " bases, t h e salient condition of ethnicity is met. B e f o r e m o v i n g o n t o a s t a t e m e n t o f o u r h y p o t h e s e s , a few o t h e r definitions a n d distinctions m u s t be m a d e . First, we must distinguish between an ethnic g r o u p and a cultural g r o u p . A cultural g r o u p is simply any g r o u p of people w h o consciously or u n c o n sciously s h a r e a n identifiable c o m p l e x o f m e a n i n g s , symbols, values, a n d n o r m s . Such a g r o u p differs from an e t h n i c g r o u p in t h e following respects: first, t h e r e n e e d not be a n y conscious awareness of belonging to a g r o u p on

the

part of the

m e m b e r s of such

g r o u p s , a n d , i n d e e d , it is usually the case t h a t no such conscious 7.

I a g r e e w i t h E . K. F r a n c i s , w h o , w h i l e n o t i d e n t i f y i n g t h e c o n c e p t " n a t i o n "

with "ethnic g r o u p . " allows for t h e possibility o f t h e t w o b e i n g t h e s a m e . T h u s t h e French

and the

Irish

in

France and

Ireland respectively are said to be ethnic

g r o u p s . S e e E . K. F r a n c i s , " T h e N a t u r e o f t h e E t h n i c G r o u p , " American journal o f Sociology, 8.

C.

3 (March

1947), 3 9 3 - 4 0 0 .

For a discussion of the relationship between ethnicity a n d nation building see

H. E n l o e , Ethnic Conflict and Political Development ( B o s t o n , L i t t l e , B r o w n a n d

Co., 1973).

Orlando

310

Patterson

g r o u p i d e n t i t y e x i s t s . S e c o n d , a c u l t u r a l g r o u p i s a n objectively v e r i f i a b l e social p h e n o m e n o n . T h e m e a n i n g , s y m b o l s , v a l u e s , a n d n o r m s , in short, the tradition, which they share, can be a n t h r o p o logically o b s e r v e d , r e g a r d l e s s o f t h e i d e o l o g i c a l s t a t e m e n t s , o r e x p r e s s e d o p i n i o n s , o f m e m b e r s a b o u t t h e i r t r a d i t i o n o f t h e i r relat i o n s h i p w i t h it. T h i r d , a c u l t u r a l g r o u p , o r s e g m e n t s o f it, m a y b e c o m e an ethnic g r o u p b u t only w h e n the conditions of ethnicity a r e m e t . T h e fact t h a t a s e g m e n t o f a c u l t u r a l g r o u p b e c o m e s a n e t h n i c g r o u p d o e s n o t m e a n t h a t all m e m b e r s o f t h e c u l t u r a l g r o u p thereby become an ethnic group. A n o t h e r t e r m t o b e d i s t i n g u i s h e d i s " c l a s s . " W e d e f i n e class a s a n e c o n o m i c g r o u p d e t e r m i n e d b y t h e r e l a t i o n o f its m e m b e r s t o t h e m o d e o f p r o d u c t i o n o f a society. T h e t e r m c a n b e u s e d i n t w o senses, a distinction which goes back to M a r x : in t h e abstract sense, n a m e l y , as an a r b i t r a r y abstraction f r o m reality b a s e d on certain objective criteria established by t h e analyst; a n d , in t h e conc r e t e sense of an objectively real g r o u p , existing i n d e p e n d e n t l y of any arbitrarily defined instrumental criteria of definition. I tend t o a g r e e w i t h R a l f D a h r e n d o r f t h a t i t i s p o s s i b l e t o live w i t h b o t h t h e s e c o n c e p t i o n s o f class, u s i n g o n e o r t h e o t h e r a s o n e ' s i n t e l l e c t u a l n e e d s d e m a n d . I n l i n e w i t h m y o b j e c t i v e s , I shall b e o p e r a t i n g o n t h e p r i n c i p l e t h a t classes a r e c o n c r e t e , o b j e c t i v e l y o b s e r v a b l e g r o u p s . W e a l s o a s s u m e t h a t class g r o u p s a c t i n t h e i r o w n b e s t i n terests, even if they may not do so consciously. O u r definition of classes, t h e n , i s t h a t t h e y a r e e c o n o m i c g r o u p s d e t e r m i n e d b y t h e p r o d u c t i v e f o r c e s o f t h e society w h i c h , c o n s c i o u s l y o r u n c o n sciously, b e h a v e i n s u c h a w a y a s t o o p t i m i z e t h e i r e c o n o m i c i n t e r ests a n d p o s i t i o n i n t h e society. F r o m w h a t w e h a v e a l r e a d y s a i d a b o u t ethnic g r o u p s , it s h o u l d not be necessary to belabor t h e obvio u s d i f f e r e n c e s b e t w e e n s u c h g r o u p s a n d class g r o u p s . 9

1 0

I p r o p o s e to a r g u e that t h e r e a r e t h r e e basic principles d e t e r m i n 9. T h e distinction is discussed at length in L. Gross, " T h e U s e of Class C o n c e p t s in

Sociological

Research,"

American

Journal

of

Sociology

54

(March

1949),

402-421.

10. R. D a h r e n d o r f , Class and Class Conflict in an Industrial Society ( L o n d o n , R o u t ledge and Kegan Paul, 1959), p. 151. We are, h o w e v e r , in c o m p l e t e d i s a g r e e m e n t with D a h r e n d o r f ' s idiosyncratic operationalization of the term. See, for e x a m p l e , p. 204.

Context a n d Choice in Ethnic Allegiance

311

i n g t h e relative choice of allegiances, including ethnic allegiances. T h e s e a r e : t h e p r i n c i p l e o f r e c o n c i l i a t i o n ( o r least conflict) o f i n t e r est; t h e p r i n c i p l e o f o p t i m i z a t i o n o f i n t e r e s t s ; a n d t h e p r i n c i p l e o f t h e p r i m a c y o f class i n t e r e s t s . 11

T h e first p r i n c i p l e p r o p o s e s t h a t i n d i v i d u a l s w i t h s e v e r a l all e g i a n c e s will, w h e n e v e r p o s s i b l e , s e e k t o r e c o n c i l e t h e v a r y i n g i n terests implied in their separate allegiances. T h u s an individual will, i d e a l l y , w a n t h i s class, c u l t u r a l , e t h n i c , a n d s t a t u s i n t e r e s t s t o h a r m o n i z e with each o t h e r a n d , w h e r e v e r possible (although t h e p r i n c i p l e o f r e c o n c i l i a t i o n d o e s n o t r e q u i r e it), t o c o m p l e m e n t e a c h o t h e r . T h e principle of reconciliation s h o u l d not be confused with that of equalization of interests. I am not a r g u i n g that individuals seek to equalize or identify their varying interests, or even that they actively s e e k t o h a v e o n e c o m p l e m e n t t h e o t h e r . T h e E a s t B o s t o n I t a l i a n c o n s t r u c t i o n w o r k e r t h i n k s i n class t e r m s o n his j o b a n d i n t r a d e n e g o t i a t i o n s , a n d h e t h i n k s i n e t h n i c t e r m s i n c o m m u n i t y affairs. H e d o e s n o t e x p e c t t r a d e u n i o n n e g o t i a t i o n s o n his b e h a l f t o h a v e a n y n e c e s s a r y d i r e c t i m p a c t o n his c o m m u n i t y , b u t h e d o e s e x p e c t , h o w e v e r , t h a t his class activity will n o t actively conflict w i t h h i s c o m m u n i t y activity. T h i s i s w h y t h e p r i n c i p l e o f r e c o n c i l i a t i o n i s p e r h a p s b e s t d e s c r i b e d a s t h e p r i n c i p l e o f least conflict. T h e p r i n c i p l e o f o p t i m i z a t i o n p o s i t s t h a t , i n all t h o s e i n s t a n c e s w h e r e i n t e r e s t s c a n n o t b e r e c o n c i l e d , t h a t is, w h e r e t h e r e i s i n e v i t a b l e conflict o f i n t e r e s t i m p l i e d i n t h e i n d i v i d u a l ' s v a r y i n g alleg i a n c e s , t h e r e will b e a t e n d e n c y t o c h o o s e t h a t set o f a l l e g i a n c e s w h i c h m a x i m i z e s m a t e r i a l a n d social g a i n s i n t h e s o c i e t y a t l a r g e , a n d m i n i m i z e s s u r v i v a l risks. T h i s m a y b e a r o u n d a b o u t way o f s a y i n g t h a t i n d i v i d u a l s t e n d t o act i n t h e i r o w n b e s t i n t e r e s t s . W e s t a t e i t a s a basic p r i n c i p l e b e c a u s e , w h i l e i t m a y a p p e a r o b v i o u s t o 11.

N o t e that these h y p o t h e s e s are stated in the individualistic terms often as-

sociated

with

the sociology of George

C.

Homans.

All

hypothetical

statements

r e g a r d i n g e t h n i c i t y m u s t b e m i c r o s o c i o l o g i c a l . s i n c e t h e critical p r o b l e m i s t o e x p l a i n t h e i n d i v i d u a l ' s r e l a t i o n t o t h e g r o u p , n o t t h e g r o u p itself. A c o n c e r n w i t h the e t h n i c g r o u p shifts the theoretical e m p h a s i s f r o m ethnicity to t h e m a c r o s o c i o logical level o f i n t e r g r o u p r e l a t i o n s . S e e G . C. H o m a n s , " B r i n g i n g M e n Back I n , " i n H e r m a n T u r k a n d R i c h a r d L. S i m p s o n , e d s . . Institutions and Social Exchange ( I n d i a n a p o l i s a n d N e w York. T h e B o b b s Merrill C o . , 1 9 7 1 ) , p p . 1 0 2 - 1 1 6 , a n d H . M . B l a l o c k , Toward a

Theory of Minorirs-Group Relations,

pp.

21-34.

312

Orlando

Patterson

s o m e , i t i s b y n o m e a n s o b v i o u s t o all s o c i o l o g i s t s , a n d i t s e e m s least o b v i o u s t o p r e c i s e l y t h a t g r o u p o f social s c i e n t i s t s w h o w o r k i n t h e a r e a of ethnicity. A truism becomes w o r t h y of the status of a p r i n c i p l e , or law of action, w h e n it ceases to b e , or is no l o n g e r r e g a r d e d as, a t r u i s m . 1 2

S t u d e n t s of ethnicity tend to emphasize the non-rational implicat i o n s o f e t h n i c b e h a v i o r a s o n e o f its critical a t t r i b u t e s ; H a r o l d Isaacs, for e x a m p l e , thinks that the quintessence of ethnicity is the primordiality a n d n e a r primeval intensity of involvement with, a n d allegiance to, one's ethnic g r o u p . As such, it b e c o m e s highly possible t h a t w h e r e t h e r e i s a clash b e t w e e n e t h n i c a n d o t h e r i n t e r e s t s , t h e i n d i v i d u a l will a c t a g a i n s t his o t h e r i n t e r e s t s i n f a v o r o f t h e int e g r i t y o f his e t h n i c a l l e g i a n c e . I t i s o n e o f m y m a j o r c o n t e n t i o n s t h a t s u c h a view i s false: I d o n o t t h i n k t h a t p r i m o r d i a l i t y a n d intensity of i n v o l v e m e n t is a distinguishing f e a t u r e of ethnicity. T h i s i s n o t t o say t h a t s u c h i n v o l v e m e n t d o e s n o t s o m e t i m e s c h a r a c t e r i z e e t h n i c allegiance; it often does. B u t it is n o t peculiar to e t h n i c a l l e g i a n c e , a n d , i n d e e d , i s n o t r e q u i r e d b y it. 1 3

I t h i n k , i n s t e a d , t h a t i n d i v i d u a l s will b e m o s t i n t e n s e l y i n v o l v e d with those allegiances, or that allegiance, which is in their o w n best social a n d e c o n o m i c i n t e r e s t s . W h e r e e t h n i c a l l e g i a n c e i s i n i n d i v i d u a l s ' o w n b e s t i n t e r e s t s , i n t e n s e f e e l i n g s will b e a t t a c h e d t o it. T h i s is t r u e , for e x a m p l e , 'of a p e r s e c u t e d e t h n i c g r o u p faced with a g e n o c i d a l o r o t h e r w i s e h o s t i l e m a j o r i t y . B u t i t i s also t r u e o f t h o s e i n d i v i d u a l s w h o s e s u r v i v a l a n d best i n t e r e s t s a r e t h r e a t e n e d o n a class basis o r a r e l i g i o u s basis. I n s u c h c a s e s p e o p l e a r e q u i t e p r e p a r e d t o a b a n d o n t h e i r e t h n i c a l l e g i a n c e i n f a v o r o f t h e i r class allegiance, a n d attach to the latter the s a m e kind of " p r i m o r d i a l " intensity w h i c h is exclusively associated, in t h e v u l g a r sociological imagination, with ethnic allegiance. T h i s b r i n g s u s t o o u r t h i r d p r i n c i p l e . W h e r e a p l u r a l i t y o f all e g i a n c e s i n v o l v e s a conflict b e t w e e n class i n t e r e s t s a n d o t h e r i n t e r 12.

T h u s , t h e individual w h o , in p u r s u i n g his o w n

best interests, c h o o s e s to

a b a n d o n his e t h n i c a l l e g i a n c e is d u b b e d a " m a r g i n a l m a n , " a social "deviant" by students of ethnicity

ranging from

Park

pp. 54-59. 13.

H. Isaacs, "Basic G r o u p Identity."

to G o r d o n . S e e

M . G o r d o n , Assimilation,

313

Context a n d Choice in Ethnic Allegiance

ests, individuals

in

the

long run

will c h o o s e class a l l e g i a n c e o v e r all

o t h e r a l l e g i a n c e s , i n c l u d i n g e t h n i c a l l e g i a n c e . I say " i n t h e l o n g r u n , " b e c a u s e this takes a c c o u n t of those special situations in w h i c h i n d i v i d u a l s f a c e s e v e r e s u r v i v a l risks o n b a s e s o t h e r t h a n class. A s I indicated a b o v e , individuals whose very existence is t h r e a t e n e d by a h o s t i l e m a j o r i t y , o n , say, p u r e l y e t h n i c t e r m s , will, i n s u c h crisis situ a t i o n s , t e m p o r a r i l y s u s p e n d all o t h e r a l l e g i a n c e s i n f a v o r o f t h e o n e in which they are being threatened. Such situations, however, are by their very n a t u r e short term; no g r o u p of people can cont i n u e t o live i n a s o c i e t y w h i c h c o n s t a n t l y t h r e a t e n s t h e i r e x i s t e n c e . Either the majority g r o u p withdraws the threat, or the threatened g r o u p w i t h d r a w s f r o m t h e society, o r t h e d o m i n a n t g r o u p e x e r c i s e s its t h r e a t a n d d e s t r o y s t h e g r o u p , o r f i n a l l y , i f this i s a possibility, i n d i v i d u a l s m a y a b o l i s h t h e basis o f t h e i r a l l e g i a n c e t o t h e g r o u p w h i c h o f f e n d s t h e h o s t i l e m a j o r i t y , i n this w a y s o l v i n g t h e p r o b l e m by d e s t r o y i n g t h e g r o u p in o r d e r to e n s u r e t h e survival of t h e members of the group. In t h e short r u n , t h e n , we readily c o n c e d e that survival threats m a y create situations in which o t h e r allegiances may take primacy o v e r class i n t e r e s t s , b u t i n t h e l o n g r u n — a n d i t i s o n l y i n t h e l o n g r u n that sociological generalizations a r e v i a b l e — t h e r e is definitely a t e n d e n c y f o r class m e m b e r s h i p , a n d its i m p l i e d i n t e r e s t s , t o a s s e r t p r i m a c y o v e r all o t h e r a l l e g i a n c e s . CASE STUDY I s h a l l d e m o n s t r a t e t h e feasibility o f t h e a b o v e h y p o t h e s e s w i t h a comparative case study of two Chinese communities in the Caribbean: the Chinese of Jamaica and Guyana. Before examining the d a t a o n t h e C h i n e s e , h o w e v e r , i t i s n e c e s s a r y t o d i s c u s s t h e social c o n t e x t s o f t h e s e c o m m u n i t i e s , n a m e l y A f r o - C a r i b b e a n societies. Context:

Afro-Caribbean

Societies.

a r e a fall i n t o t w o m a i n bean. 14.

1 4

The

groups:

societies

the

of

Latin a n d

the

Caribbean

the Afro-Carib-

T h e L a t i n a r e a , w h i c h will n o t c o n c e r n u s , i s d i s t i n g u i s h e d

For a useful i n t r o d u c t o r y overview, see S. W. Mintz, " T h e Caribbean as a

S o c i o - C u l t u r a l A r e a , " Journal o f World Histo>?. Lowenthal, "The

Range and

9.4

( 1 9 6 6 ) , 9 1 2 - 9 3 7 . S e e also, D.

V a r i a t i o n o f C a r i b b e a n S o c i e t i e s , " Annals o f the New

York Academy of Sciences, 8 3 , a r t . 5 ( 1 9 6 0 ) , 7 8 6 - 7 9 5 .

314

Orlando

Patterson

by the o v e r w h e l m i n g presence of the New World version of I b e r i a n c u l t u r e , b y its g r e a t e r c u l t u r a l h o m o g e n e i t y , b y its l a r g e r size a n d b y d i f f e r i n g political e x p e r i e n c e s a n d s t r u c t u r e s . T h e A f r o - C a r i b b e a n societies a r e c h a r a c t e r i z e d by t h e o v e r w h e l m i n g presence of p e o p l e of African descent, by a c o m m o n colonial e x p e rience, by t h e p r o l o n g e d historical e x p e r i e n c e of slavery on a large s c a l e , b y t h e i r r e l a t i v e l y s m a l l size, a n d t h e i r c o n t i n u e d e c o n o m i c d e p e n d e n c e on the f o r m e r E u r o p e a n colonizing powers. T h e s o c i e t i e s w e will b e m a i n l y c o n c e r n e d w i t h — J a m a i c a a n d G u y a n a — l i k e all A f r o - C a r i b b e a n s o c i e t i e s , h a v e a s i m i l a r p a t t e r n o f sociocultural evolution or d e v e l o p m e n t . T h e r e was, first, an early p h a s e of discovery and E u r o p e a n settlement. T h e early phase, w h i c h l a s t e d f r o m t h e b e g i n n i n g o f t h e s i x t e e n t h c e n t u r y t o t h e latt e r p a r t o f t h e s e v e n t e e n t h c e n t u r y , saw a t t e m p t s a t e s t a b l i s h i n g w h i t e s e t t l e m e n t colonies. T h e a t t e m p t was only partly successful on the part of the Spaniards. W h e n the Spanish were displaced by t h e N o r t h E u r o p e a n s , t h e a t t e m p t was r e p e a t e d for a brief p e r i o d o f a b o u t f o r t y y e a r s , b u t f i n a l l y failed, a s t h e N o r t h E u r o p e a n s shifted to large-scale, plantation agriculture, concentrating on a single c r o p — s u g a r . T h i s shift i n e c o n o m i c b a s e u s h e r e d i n t h e s e c o n d p h a s e o f d e v e l o p m e n t o f A f r o - C a r i b b e a n societies. T h e s u g a r p l a n t a t i o n s , which became all-important by the turn of the eighteenth century, m a d e t h e A f r o - C a r i b b e a n societies t h e r i c h e s t a r e a s o f t h e w o r l d . T h e y a l s o s e t t h e b a s i c social s t r u c t u r e a n d t o n e o f t h e s e s o c i e t i e s . A f r i c a n slaves w e r e b r o u g h t i n o n a l a r g e scale, r e s u l t i n g i n t h e e a r l y d e m o g r a p h i c d o m i n a n c e o f black p e o p l e . R u l i n g t h e m w a s a small minority of white planters, many of w h o m were later in the c e n t u r y to b e c o m e absentee landlords, their estates being m a n a g e d b y a t t o r n e y s a n d o v e r s e e r s with little c o m m i t m e n t t o t h e societies they m a n a g e d . 1 5

1 6

15.

F o r a n e x c e l l e n t a n a l y s i s o f t h i s p e r i o d , s e e R . S h e r i d a n , The Development of

the Plantations

(Barbados, Caribbean

Universities

Press,

1970).

16. O n the g r o w t h o f t h e slave p o p u l a t i o n i n the C a r i b b e a n , see O . Patterson, The Sociology of Slavery

(Rutherford.

N.J.,

Fairleigh

Dickinson

University

Press,

1 9 6 9 ) , a n d E. G o v e i a , Slave Society in the British Leeward Islands ( N e w H a v e n , Y a l e University Press, 1965), e s p . ch. 2.

C o n t e x t a n d Choice in Ethnic Allegiance

315

B e t w e e n m a s t e r s a n d slaves a t h i r d g r o u p s o o n e m e r g e d — t h e coloreds—or people of mixed ancestry. This g r o u p f o r m e d a useful r a c i a l a n d s o c i o c u l t u r a l b u f f e r b e t w e e n t h e w h i t e s a n d b l a c k s . By the e n d of the eighteenth century a substantial n u m b e r of t h e m w e r e f r e e d m e n , a n d , i n J a m a i c a , these f r e e d m e n w e r e sufficiently i n f l u e n t i a l t o w i n full civil l i b e r t i e s , a l o n g w i t h t h e s m a l l S e p h a r d i c J e w i s h m i n o r i t y , f r o m t h e w h i t e r u l i n g class a little b e f o r e t h e emancipation. 1 7

1 8

While t h e p a t t e r n was similar, G u y a n a lagged b e h i n d in t h e d e v e l o p m e n t o f its p l a n t a t i o n - b a s e d e c o n o m y , p a r t l y b e c a u s e o f t h e e n o r m o u s g e o g r a p h i c a l difficulties w h i c h its l o w - l y i n g c o a s t a l t e r r a i n p r e s e n t e d , p a r t l y b e c a u s e o f its p e c u l i a r political s i t u a t i o n o f b e i n g a D u t c h - c o n t r o l l e d t e r r i t o r y w i t h a m a j o r i t y o f B r i t i s h sett l e r s , a n d p a r t l y b e c a u s e o f t h e l a t e n e s s o f t h e critical d e c i s i o n t o shift f r o m t h e r i v e r b a n k a r e a s t o t h e c o a s t a l s t r i p . Its p e r i o d o f e c o n o m i c e x p a n s i o n r e a l l y m o v e d i n t o full s w i n g a f t e r t h e B r i t i s h o c c u p a t i o n in 1803, at a time w h e n Jamaica's was already on t h e decline. 1 9

2 0

T h e collapse o f t h e slave-based e c o n o m y , with the c o m p l e t e e m a n c i p a t i o n o f t h e slaves i n 1 8 3 8 b y t h e B r i t i s h , p a v e d t h e w a y for t h e t h i r d p h a s e in t h e d e v e l o p m e n t of A f r o - C a r i b b e a n societies. T h i s p h a s e was m a r k e d by rapid e c o n o m i c decline on the national a n d i n t e r n a t i o n a l levels, r e f l e c t e d i n t h e g e n e r a l n e g l e c t o f t h e a r e a by the f o r m e r colonial p o w e r s , a n d a withdrawal of substantial segm e n t s o f t h e f o r m e r p l a n t e r c l a s s e s . D u r i n g t h e last t w o t h i r d s o f 21

17.

E. G o v e i a , ibid., p p . 2 1 5 - 2 2 9 .

1 8 . O n t h e i r f i g h t f o r civil r i g h t s u p t o 1 8 3 0 , s e e S . D . D u n k e r ' s u n p u b l i s h e d M . A . t h e s i s , " T h e F r e e C o l o u r e d s a n d T h e i r Fight for Civil Rights i n J a m a i c a , 1800-1830," London

University,

1960. A m o r e substantial work which not only

carries t h e analysis t h r o u g h to 1865, but e x p l o r e s , in part, their fascinating relat i o n s h i p with the S e p h a r d i c J e w i s h c o m m u n i t y d u r i n g a n d after slavery is M. C. Campbell, "Edward Jordan

and the Free Coloureds, Jamaica

1800-1865," un-

published Ph.D. thesis, University of L o n d o n , 1970. 1 9 . R . T . S m i t h , British Guiana ( L o n d o n , O x f o r d U n i v e r s i t y P r e s s ,

1962), ch.

2-3. • 20.

P. N e w m a n , British Guiana: Problems of Cohesion in an Immigrant Society ( L o n -

d o n , O x f o r d University Press, 1964), ch. 2. 21.

On the decline of the plantation system and post-emancipation e c o n o m i c

d e v e l o p m e n t s , s e e L. R a g a t z , The Fall of the Planter Class in the British Caribbean,

316

Orlando

the nineteenth

century what

phase of Afro-Caribbean

may b e called the

societies was

to

Patterson

segmentary Creole

evolve

from

the

precari-

o u s f o u n d a t i o n s w h i c h w e r e laid d u r i n g t h e p e r i o d o f s l a v e r y . T h e term creolization refers p e o p l e d e v e l o p a w a y o f life they

find

lands.

2 3

themselves,

We

creolization:

I

process whereby a

as distinct from

propose what

to the

peculiar to

to

make

s h a l l call

a

the

new

2 2

g r o u p of

locality in w h i c h

the cultures of their h o m e -

distinction

between

two

"segmentary creolization"

types

of

a n d "syn-

t h e t i c c r e o l i z a t i o n . " T h e m e a n i n g o f t h e s e t e r m s will b e m a d e c l e a r in the ensuing discussion. Segmentary creolization

refers to that process of d e v e l o p m e n t in

w h i c h e a c h g r o u p , i n t h e n e w s e t t i n g , c r e a t e s its o w n p e c u l i a r v e r s i o n o f a local c u l t u r e .

In A f r o - C a r i b b e a n societies, two m a i n types

of segmentary Creole cultures evolved.

O n e involved

the develop-

m e n t of a peculiarly West Indian b r a n d of the d o m i n a n t m e t r o p o l itan

culture

1763-1833

(New

of the

York,

European

Octagon,

ruling

1963).

1865 ( N e w H a v e n , Y a l e U n i v e r s i t y P r e s s ,

class.

See

also

This

D.

resulted

Hall,

in

Free Jamaica,

what

1838-

1959).

22. On the d e v e l o p m e n t of the two segmentary Creole cultures, see P. Curtin, Two Jamaicas ( C a m b r i d g e , work,

The

Creoles

in

Sociology the

slave

Harvard

o f Slavery, society.

University Press,

discusses

the

1955),

foundations

M o r e recently,

E.

pp. 23-60. of t h e s e

My own

segmentary

B r a t h w a i t e ' s The Development of

Creole Society in Jamaica, 1770-1820 ( O x f o r d , C l a r e n d o n P r e s s ,

1 9 7 1 ) , w h i l e not in

b a s i c d i s a g r e e m e n t w i t h m y own i n t e r p r e t a t i o n o f t h e d a t a , s u g g e s t s t h a t t h e p r o c e s s o f creolization was far m o r e d e v e l o p e d d u r i n g t h e p e r i o d o f slavery t h a n either Curtin or myself w o u l d allow. 2 3 . T h e t e r m has a c q u i r e d this special technical m e a n i n g a m o n g C a r i b b e a n i s t s a n d l i n g u i s t s c o n c e r n e d w i t h t h e s t u d y o f Creole l a n g u a g e s . I t i s n o t t o b e c o n f u s e d with the rather v a g u e u s a g e f o u n d in Louisiana w h e r e it refers to whites of French a n c e s t r y . O n a t t e m p t s t o s h a r p e n t h e m e a n i n g o f t h e t e r m , s e e : M . G . S m i t h , The Plural Society in the British West Indies ( B e r k e l e y , U n i v e r s i t y of C a l i f o r n i a P r e s s , 1 9 6 5 ) , p p . 5 - 9 , 3 0 7 - 3 0 8 . w h o , h o w e v e r , restricts t h e u s e o f t h e t e r m t o E u r o - W e s t Indian

segmentary

Creoles

only;

S.

Mintz,

"Comments

on

the

Socio-historical

B a c k g r o u n d t o P i d g i n i z a t i o n a n d C r e o l i z a t i o n , " i n D . H y m e s , e d . , Pidginization and Creolization o f Languages ( C a m b r i d g e . C a m b r i d g e U n i v e r s i t v P r e s s , 1 9 7 0 ) . S e e a l s o : A n d r e N e g r e , " O r i g i n e s e t s i g n i f i c a t i o n d u m o t ' c r e o l e , ' " Bulletin d e l a Societe d'Histoire de la Guadaloupe, n o s . 5 - 6 ( 1 9 6 6 ) : D . L o w e n t h a l , West Indian Societies ( O x f o r d , O x f o r d University Press, 1972), pp. 3 2 - 3 3 ; and P. Singer and E. Araneta, "Hind u i z a t i o n a n d C r e o l i z a t i o n in G u y a n a , " Social and Economic Studies,

16.3 ( S e p t e m -

b e r 1 9 6 7 ) , 2 2 1 - 2 3 6 , w h o e m p h a s i z e t h e p s y c h o l o g i c a l a s p e c t s o f t h e Creole p r o cess, but their analysis is rather idiosyncratic.

C o n t e x t a n d Choice in Ethnic Allegiance

317

may be called Euro-West Indian segmentary Creole cultures. In form it is almost wholly E u r o p e a n ; that is, the institutional structures are direct borrowings from their E u r o p e a n counterparts. T h e y are also largely E u r o p e a n in content, but with substantial variations in emphasis, a n d in interpretation, in certain areas. It also involved new developments to meet the specific needs of the colonial area, such as in the spheres of architecture a n d dietary patterns. T h e most i m p o r t a n t difference, however, is in the area of style. T h u s , for e x a m p l e , there is no obvious difference in the form a n d content of the g a m e cricket as played in England and in the West Indies, but t h e r e are n u m e r o u s differences in the style, interpretation, and symbolic value of the g a m e . A n o t h e r i m p o r t a n t difference between Euro-West Indian Creole culture a n d its metropolitan c o u n t e r p a r t is the high value placed on color—the "white bias" to use H e n r i q u e s ' phrase — i n all these societies. Such a value is, of course, the peculiar product of a racially segmented society in which the ruling class of one race dominates a colonized g r o u p of a different race. This white bias, however, did not prevent the adoption of E u r o West I n d i a n culture by the mixed-race freedmen, later to become the middle class in the post-emancipation society. In spite of the negative racial self-image it e n g e n d e r e d , the new middle class vied with each o t h e r in their attempt to emulate all things E u r o p e a n . T h e y c o m p e n s a t e d to some extent for the negative racial selfimage implied in the acculturation by t u r n i n g it against those lower in the shade hierarchy, a n d by lightening their own g r o u p by marrying " u p , " that is, by choosing spouses lighter than themselves. T h e second type of segmentary creolization involved the develo p m e n t of a peculiarly West Indian peasant culture, forged partly o u t of the torn shreds a n d r e m n a n t s of surviving African culture a n d out of a creative response to the exigencies of small-scale tropical peasant agriculture. This second type of segmentary creoliza24

25

26

2 4 . O n t h i s s e e O . P a t t e r s o n , " T h e C r i c k e t R i t u a l i n t h e W e s t I n d i e s . " N e w Society, n o . 3 5 2 ( J u n e 1 9 6 9 ) , p p . 9 8 8 - 9 8 9 . 2 5 . F.

H e n r i q u e s , Family and Color in Jamaica

(London,

Macgibbon and

1968), pp. 52, 5 7 - 5 9 . 26.

M. Campbell, "Edward J o r d a n and the Free Coloureds," pp. 3 5 - 4 2 .

Kce,

Orlando

318

Patterson

tion we m a y describe as Afro-West I n d i a n s e g m e n t a r y creolization. T h e ex-slaves of the C a r i b b e a n varied in their responses to the c h a l l e n g e o f e m a n c i p a t i o n , d e p e n d i n g m a i n l y o n t h e availability of land after e m a n c i p a t i o n . In J a m a i c a , the largest of t h e C o m m o n w e a l t h C a r i b b e a n islands, it was possible to r e t r e a t to the m o u n t a i n backlands a n d to buy up a b a n d o n e d estates, both areas forming the nuclei of the peasant communities which were to form t h e e c o n o m i c a n d social c o n t e x t o f b l a c k p e a s a n t life i n t h e c o u n t r y for the next c e n t u r y . In G u y a n a , while l a n d was plentiful, it was difficult t o b r i n g i n t o c u l t i v a t i o n , s o t h a t t h e a t t e m p t t o f o r m a largely self-contained p e a s a n t r y was only partly successful a n d a substantial n u m b e r o f blacks c o n t i n u e d t o d e p e n d o n the estates as the major source of their livelihood. 2 7

2 8

I n all t h e s e a r e a s t h e n e w e x - s l a v e s f o r g e d a n A f r o - W e s t I n d i a n C r e o l e c u l t u r e d i s t i n c t i v e i n social o r g a n i z a t i o n , l a n g u a g e , r e l i g i o n , attitude, a n d values. It should be noted, however, that these were f i r s t a n d f o r e m o s t p e a s a n t c u l t u r e s , a n d like all p e a s a n t c u l t u r e s , o p e n t o t h e i n f l u e n c e o f t h e u r b a n h i g h c u l t u r e , i n this c a s e t h e E u r o - W e s t I n d i a n s e g m e n t a r y C r e o l e o f t h e r u l i n g class. W h i l e t h e b r o w n - s k i n n e d m i d d l e class t r i e d t h e i r b e s t t o i m i t a t e t h e E u r o - W e s t I n d i a n c u l t u r e of the ruling planter g r o u p , it was n o t e n t i r e l y p o s s i b l e f o r t h e m t o d o so, m a i n l y b e c a u s e t h e y l a c k e d t h e e d u c a t i o n a l a n d e c o n o m i c r e s o u r c e s t o s u s t a i n s u c h a life style. Partly by default, t h e n , they were obliged to create their own cultural p a t t e r n s . W h a t they finally d e v e l o p e d was the second type of Creole culture: "synthetic Creole." T h e major difference between synthetic a n d s e g m e n t a r y creolization is that, whereas in the latter p r o c e s s e a c h g r o u p d e v e l o p s its o w n local c u l t u r e , w i t h s y n t h e t i c c r e o l i z a t i o n t h e g r o u p a t t e m p t s t o f o r g e a local c u l t u r e w h i c h c o m b i n e s e l e m e n t s f r o m all t h e a v a i l a b l e c u l t u r a l r e s o u r c e s . I n t h e early p e r i o d , this s y n t h e t i c C r e o l e was really n o t h i n g m o r e t h a n a kind o f p o o r m a n ' s E u r o - W e s t I n d i a n Creole c u l t u r e . B u t with t h e g r o w i n g i n f l u e n c e o f t h e m i d d l e classes, a n d w i t h t h e i r i n c r e a s e d 27. H. Paget, "The Free Village System in Jamaica," Caribbean Quarterly, 1.4 (1954), 7-19. 28. R. Farley, "The Rise of the Peasantry in British Guiana," Social and Economic Studies, 2.4 (1954), 76-103.

Context a n d Choice in Ethnic Allegiance

319

tendency to think in national terms rather than the earlier pathetic a t t e m p t s simply to imitate the E u r o p e a n s , the culture they evolved b e c a m e m o r e s e l f - c o n s c i o u s l y s y n t h e t i c . W h e n t h e n e w m i d d l e class f i n a l l y a s s u m e d c o m p l e t e c o n t r o l o f t h e political s y s t e m s o f t h e a r e a , t h e y a t t e m p t e d t o g i v e a n official seal t o t h e i r c u l t u r e , a s r e f l e c t e d i n t h e n a t i o n a l m o t t o i n m a n y o f t h e s e C a r i b b e a n societies—"Out of many one people." 2 9

Synthetic C r e o l e d r a w s heavily o n E u r o - W e s t I n d i a n c u l t u r e for its i n s t r u m e n t a l c o m p o n e n t s a n d o n A f r o - W e s t I n d i a n s e g m e n t a r y C r e o l e f o r its e x p r e s s i v e i n s t i t u t i o n s a n d s y m b o l s . T h e p o l i t i c a l , e c o n o m i c , e d u c a t i o n a l , a n d legal i n s t i t u t i o n s o f s y n t h e t i c C r e o l e a r e , essentially, slightly modified versions of E u r o - W e s t I n d i a n segm e n t a r y C r e o l e ; w h e r e a s its l a n g u a g e , t h e a t e r , m u s i c , d a n c e , a r t , a n d l i t e r a t u r e a r e actively d r a w n f r o m A f r o - W e s t I n d i a n s e g m e n t a r y C r e o l e s o u r c e s . L a t e r , I shall d i s c u s s t h e sociopolitical f u n c tions of synthetic Creole. 3 0

T o s u m m a r i z e , C a r i b b e a n societies a r e , t o d a y , b e s t s e e n a s n e o c o l o n i a l s y s t e m s w i t h e n o r m o u s class c l e a v a g e s a n d o t h e r c r o s s c u t t i n g cleavages based on race, color, ethnicity, a n d even u r b a n r u r a l d i f f e r e n c e s . M i d d l e a n d u p p e r class r o l e s a r e i n c r e a s i n g l y o c c u p i e d by an u p w a r d l y mobile b r o w n a n d black p o p u l a t i o n whose culture is synthetic Creole. At the same time, the economies are not e x p a n d i n g a t t h e r a t e s u f f i c i e n t t o allow f o r s i g n i f i c a n t g r o u p m o bility a m o n g t h e m a s s o f t h e b l a c k l o w e r c l a s s e s . W e h a v e a s i t u a t i o n , t h e n , i n w h i c h t h e elite view t h e s y s t e m a s h i g h l y fluid, s i n c e most of them are upwardly mobile themselves, but the mass of the p o p u l a t i o n views i t a s s t a t i c a n d u n d e m o c r a t i c , s i n c e t h e few w h o h a v e m o v e d u p f r o m t h e i r r a n k s a r e really i n s i g n i f i c a n t d e m o g r a phically. T h i s i s clearly a v o l a t i l e s i t u a t i o n . A d d t h e facts t h a t e x p a n d i n g e d u c a t i o n a l facilities h a v e s u c c e e d e d m o r e i n i n c r e a s i n g e x p e c t a 29.

For a very sensitive d i s c u s s i o n of this d e v e l o p m e n t by a West I n d i a n intel-

lectual w h o is actively i n v o l v e d with c r e a t i n g such a s y n t h e s i s , s e e R. N e t t l e f o r d , " T h e M e l o d y o f E u r o p e , T h e R h y t h m o f A f r i c a , " i n h i s Mirror, Mirror: Identity, Race and Protest i n Jamaica ( K i n g s t o n , C o l l i n s a n d S a n g s t e r , 1 9 7 0 ) , p p . 1 7 3 - 2 1 1 . 3 0 . R . N e t t l e f o r d , " T h e M e l o d y o f E u r o p e , " a n d D . L o w e n t h a l , West Indian

Societies, p p . 2 5 0 - 2 9 2 .

320

Orlando

Patterson

t i o n s t h a n i n p r o v i d i n g t h e o p p o r t u n i t i e s t o satisfy t h e s e e x p e c t a t i o n s ; t h a t u r b a n i z a t i o n h a s b r o u g h t i n its t r a i n a w e l l - k n o w n set o f p r o b l e m s ; a n d t h a t t h e rise of black racial consciousness has led to an i n t e r p r e t a t i o n of t h e color-class h i e r a r c h y , n o t as a r e s i d u e of the old colonial system, b u t as an active c o n s e q u e n c e of o n g o i n g racist a n d i m p e r i a l i s t p o l i c i e s , o n e b e g i n s t o u n d e r s t a n d w h y , i n r e c e n t years, this p a r t of t h e world is no l o n g e r t h e sleepy, tropical p a r a d i s e o f t r a v e l a g e n t s ' b r o c h u r e s , b u t h a s b e g u n t o s h o w inc r e a s i n g s i g n s o f i m p e n d i n g social a n d p o l i t i c a l u p h e a v a l . 3 1

If or w h e n such an upheaval takes place, the g r o u p s which stand t o lose m o s t a n d a r e m o s t f e a r f u l o f t h e i r i n t e r e s t s a r e t h e m e m b e r s o f t h e v a r i o u s e t h n i c a n d racial m i n o r i t i e s , e s p e c i a l l y t h o s e w h o n o w o c c u p y h i g h s t a t u s p o s i t i o n s o u t o f all p r o p o r t i o n t o t h e i r numbers. Most p r o m i n e n t a m o n g these g r o u p s are the S e p h a r d i c J e w s w h o came t o t h e W e s t I n d i e s d u r i n g t h e s e v e n t e e n t h c e n t u r y f r o m n o r t h e r n Brazil after t h e P o r t u g u e s e r e c l a i m e d that a r e a f r o m t h e Dutch. Unlike their counterparts in Curacao, the Jamaican Jews h a v e slowly g i v e n u p t h e i r e t h n i c i d e n t i f i c a t i o n i n f a v o r o f m i d d l e a n d u p p e r class a l l e g i a n c e a n d a g r o w i n g i d e n t i f i c a t i o n w i t h t h e white and light-skinned community at large. T o d a y they are found i n all a s p e c t s o f t h e c o u n t r y ' s life, i n c l u d i n g its e c o n o m y , its p o l i t i cal s y s t e m ( t h e r e c e n t l y e l e c t e d m i n i s t e r o f N a t i o n a l S e c u r i t y a n d Justice comes f r o m a p r o m i n e n t Jewish family), in t h e professions, a n d in the arts a n d recreational institutions. It is only a m a t t e r of time now before the g r o u p becomes completely absorbed into the Creole e l i t e . 3 2

3 3

31.

On t h e r e c e n t a r m y m u t i n y a n d riots in T r i n i d a d , s e e

Revolutionary Consciousness

(Cambridge, Schenkman

I . O x a a l , Race and

Publishing Co., Inc.,

1970).

S e e a l s o , o n J a m a i c a , N . G i r v a n , " O c t o b e r C o u n t e r - R e v o l u t i o n i n J a m a i c a , " New World Quarterly ( H i g h S e a s o n ,

1968), 5 9 - 6 8 .

3 2 . G . Merrill, " T h e R o l e o f the S e p h a r d i c J e w s i n t h e British C a r i b b e a n A r e a D u r i n g t h e S e v e n t e e n t h C e n t u r y , " Caribbean Studies, 4 . 3 ( 1 9 6 4 ) , 3 2 - 4 9 . 3 3 . B . S c h l e s i n g e r , " T h e J e w s o f J a m a i c a : A H i s t o r i c a l V i e w , " Caribbean Quarterly,

13.1 ( 1 9 6 7 ) , 4 6 - 5 3 . O n t h e history o f t h e J e w s i n J a m a i c a s e e : S . J . a n d E .

H u r w i t z , " T h e N e w W o r l d S e t s a n E x a m p l e f o r t h e O l d , " American Jewish Historical Quarterly,

5 5 : 3 7 - 5 6 ; M. Campbell, "Edward Jordan and the Free Coloureds," ch.

5 - 7 , p a s s i m . F o r a less critical v i e w o f t h e policy o f t h e J e w s i n p o s t - e m a n c i p a t i o n J a m a i c a , s e e S . J . a n d E . H u r w i t z , " A B e a c o n f o r J u d a i s m , " America?! Jewish His-

torical Quarterly, 5 6 : 3 - 7 6 .

Table

1.

Country Jamaica

Some

Basic Statistics

Area (km) 11,425

on

Guyana

and Jamaica

Population

Political Status

1,800,000

Independent Member

Per Capita I n c o m e

$408(US)1967

o f British

210,000

714,000

Blacks (including m i x e d ) Indians

Commonwealth

Guyana

E t h n i c C o m p o s i t i o n (by p e r c e n t )

95.0 2.0

Jews and other Whites

1.8

Chinese

1.2

Independent Republic of British Commonwealth

$20()(US)1964

Blacks

34.0

Indians

50.0

Amerindians

4.0

Portuguese

.9

Chinese

.6

Mixed and others Source: D a v i d L o w e n t h a l , West Indian Societies ( O x f o r d , O x f o r d U n i v e r s i t y P r e s s , 1 9 7 2 ) , p p . 7 8 - 7 9 .

10.5

322

Orlando

Patterson

T h e d e s c e n d a n t s o f the n i n e t e e n t h - c e n t u r y i n d e n t u r e d East Indians now constitute over a third of the population of Trinidad, a n d almost a half of the population of G u y a n a . Descendants of the Chinese a n d P o r t u g u e s e migrants (the latter c o m i n g from Madeira in t h e m i d - n i n e t e e n t h c e n t u r y ) , small in n u m b e r s b u t g r e a t in influence a n d occupational status, now a d d to t h e ethnic complexity o f G u y a n a . I n d i a n i n d e n t u r e d l a b o r o n a l a r g e scale w a s also a failu r e in J a m a i c a , a l t h o u g h i t w a s less u n s u c c e s s f u l t h a n t h e att e m p t s to use C h i n e s e laborers. T h e d e s c e n d a n t s of these two imm i g r a n t g r o u p s m a k e up small b u t highly visible—and in t h e case of t h e Chinese, highly successful—ethnic g r o u p s in the islands. 3 4

Table 1 summarizes data on the ethnic composition of Jamaica and Guyana. THE CHINESE OF JAMAICA AND GUYANA The Jamaican Chinese. Over a quarter of a century before the a b o l i t i o n o f s l a v e r y i n 1 8 3 8 , t h e possibility w a s r a i s e d o f i n t r o d u c ing C h i n e s e i n d e n t u r e d labor into t h e W e s t I n d i e s , a n d a small g r o u p did arrive in T r i n i d a d as early as 1 8 0 6 . It was not until the middle of the nineteenth century, however, w h e n the labor problem really b e c a m e severe, that the C h i n e s e b e g a n to arrive in t h e C a r i b b e a n in significant n u m b e r s . 3 5

T h e f i r s t set o f m i g r a n t s a r r i v e d i n G u y a n a , T r i n i d a d , a n d J a maica b e t w e e n 1853 a n d 1 8 5 4 . T h i s first s c h e m e p r o v e d a disaster. T h e r e w e r e e n o r m o u s a d j u s t m e n t p r o b l e m s ; t h e p l a n t e r s f o u n d the Chinese u n r u l y laborers; a n d t h e physical condition of t h e m i g r a n t s d e t e r i o r a t e d rapidly. Most of this first batch e n d e d 3 6

3 4 . G . W . R o b e r t s , The Population of Jamaica ( C a m b r i d g e , C a m b r i d g e U n i v e r s i t y Press, 1957), pp. 1 1 1 - 1 3 2 . 35. T h e e n s u i n g discussion of the Chinese in Jamaica is based primarily on two u n p u b l i s h e d a n d t w o p u b l i s h e d w o r k s o n the g r o u p . T h e s e are: R . A . Silin, " A Survey of Selected Aspects of the C h i n e s e in Jamaica," u n p u b l i s h e d honors thesis, A n t h r o p o l o g y Department, Harvard University,

1962; P. Morrow, "Chinese Ad-

aptation i n T w o J a m a i c a n Cities," u n p u b l i s h e d h o n o r s thesis, A n t h r o p o l o g y D e partment, Harvard University,

1972; A. W. Lind, " A d j u s t m e n t Patterns A m o n g

t h e J a m a i c a n C h i n e s e , " Social and Economic Studies, " T h e Social 1954), 36.

Differentiation

7 . 2 ( 1 9 5 8 ) , 1 4 4 - 1 6 4 ; L. B r o o m ,

o f J a m a i c a , " American

Sociological Review,

19 ( A p r i l

121-125. R. A. Silin, "A S u r v e y of Selected Aspects of t h e C h i n e s e in Jamaica," p. 7.

Context a n d Choice in Ethnic Allegiance

323

t h e i r d a y s i n h o s p i t a l s a n d a l m s h o u s e s , a n d d i e d a s p a u p e r s , vag r a n t s , a n d b e g g a r s , a n d the e n t i r e g r o u p vanished with t h e d e a t h of the first generation.

3 7

The

disappointment

of the

planters,

t o g e t h e r w i t h t h e h o s t i l i t y o f t h e n a t i v e p o p u l a t i o n , d a m p e n e d all a t t e m p t s a t f u r t h e r i m m i g r a t i o n o n a s u b s t a n t i a l scale f o r t h e n e x t thirty y e a r s .

3 8

T h e labor shortage created by massive out-migration of the Jam a i c a n w o r k i n g class t o P a n a m a i n t h e e a r l y 1 8 8 0 s r e v i v e d i n t e r e s t in C h i n e s e i m m i g r a t i o n , a n d in 1884 a total of 696 i n d e n t u r e d servants arrived from H o n g K o n g .

3 9

I t w a s t h e last g r o u p t o c o m e d i -

rectly f r o m C h i n a u n d e r t h e i n d e n t u r e s y s t e m . T h i s s e c o n d att e m p t at e m p l o y i n g t h e C h i n e s e as a g r i c u l t u r a l l a b o r e r s was also a c o m p l e t e f a i l u r e . B y 1 8 9 1 t h e vast m a j o r i t y o f t h e C h i n e s e w e r e o u t of a g r i c u l t u r e a n d in small t r a d i n g activities. B e g i n n i n g i n t h e 1 8 9 0 s , all n e w m i g r a n t s w e r e b r o u g h t i n b y e x isting C h i n e s e to a u g m e n t their n u m b e r s , a n d to w o r k in their growing commercial enterprises. T h e

1911 c e n s u s shows a total

p o p u l a t i o n of 2,111 p e r s o n s but a sex ratio of 540 males for every 100 w o m e n . In

1919,

following

further

tensions

aroused

by

the

growing

Chinese presence and their increasing domination of the grocery t r a d e , t h e first r e s t r i c t i v e i m m i g r a t i o n l a w s w e r e p a s s e d . T h e r e strictions w e r e mild, almost a b s u r d , h o w e v e r , a n d by 1921 t h e p o p ulation h a d increased to 3 , 6 9 6 .

4 0

By this time t h e C h i n e s e h a d

b e g u n t o e x p a n d o u t t o t h e c o u n t r y s i d e o n c e a g a i n w h e r e they set u p isolated retail s h o p s . T h e r e w e r e 52.8 p e r c e n t n o w living outside K i n g s t o n . T h e h i g h ratio of C h i n e s e males to females also accounted for a n o t h e r d e v e l o p m e n t d u r i n g the early period of the c e n t u r y : t h e g r o w t h o f t h e c o l o r e d C h i n e s e ( t h a t is, h a l f - b l a c k , halfChinese) population. T h e s e were the children of the male Chinese s h o p k e e p e r s a n d t h e i r black c o n c u b i n e s a n d h o u s e k e e p e r s . T h e g o v e r n m e n t stopped issuing passports to Chinese migrants i n 1 9 3 1 , a n d i n 1 9 4 0 all C h i n e s e , w i t h t h e e x c e p t i o n o f d i p l o m a t s , 37.

A. Lind, "Adjustment Patterns A m o n g the Jamaican Chinese," p. 148.

38.

Ibid., p. 149.

39.

Ibid.

4 0 . Silin, "A S u r v e y of Selected A s p e c t s of t h e C h i n e s e in Jamaica," p. 12.

324

Orlando

Patterson

tourists, a n d students, were barred from e n t e r i n g the island. By t h i s t i m e , h o w e v e r , t h e C h i n e s e p o p u l a t i o n , t h o u g h still r e l a t i v e l y small, h a d b e c o m e a d e m o g r a p h i c a l l y viable unit. By 1943 t h e r e were 12,394 persons of Chinese extraction on the island, of w h o m 6,879 w e r e " p u r e C h i n e s e , " a n d 5,515 w e r e c o l o r e d C h i n e s e . (See T a b l e s 2 a n d 3.) T h e e a r l y p e r i o d o f s e t t l e m e n t , 1854—1900, w a s m a r k e d b y t h e inevitable tension involved in adjusting to a n d settling d o w n in a n e w society. T h e m a j o r p r o b l e m f a c i n g t h e C h i n e s e d u r i n g this Table 2.

Characteristics

of the Jamaican

Total Year

Population

Males

Females

Chinese Population,

1871-1960

Sex Ratio

Percent

Percent

M/100 F

Urban

Total Population

1871

141

131

10

1310

82.2

0.0

1881

99

n.a.

n.a.

n.a.

88.9

0.0

1891

481

373

108

345

63.2

0.1

1911

2111

1783

328

543

45.0

0.3

1921

3696

n.a.

n.a.

n.a.

41.8

0.4

1943

12,394

6922

5472

126

50.3

1.0

1960

21,812

11,265

10,547

106

50.6

1.2

Sources: A . L i n d , " A d j u s t m e n t P a t t e r n s a m o n g t h e J a m a i c a n C h i n e s e , " Social and Economic

Studies,

7

(1958),

144-164;

G.

Roberts,

( C a m b r i d g e U n i v e r s i t y P r e s s , 1 9 5 7 ) ; Census o f Jamaica,

The

Population

of Jamaica

1960 (Kingston, Govern-

m e n t Printing Office).

p e r i o d was their c o n t i n u e d survival, n o t so m u c h as a g r o u p , n o r as culture

carriers,

but

as

individuals.

This

point

cannot

be

too

strongly e m p h a s i z e d . If o u r objective is to s h o w h o w t h e C h i n e s e d e v e l o p e d as a g r o u p after c o m i n g to J a m a i c a , it w o u l d clearly be tautological to speak of t h e m as if they were already a g r o u p on c o m i n g t o t h e island. T h e C h i n e s e w h o c a m e t o t h e C a r i b b e a n d i d h a v e s o m e r u d i m e n t a r y bases o f g r o u p affiliation: these w e r e their shared experience of crossing the ocean, a n d the experience of b e i n g physically a n d culturally different in an alien land. T h e s e s h a r e d traits offered

t h e o p p o r t u n i t y for g r o u p allegiance, b u t

t h e r e is no compelling n o r " p r i m o r d i a l " r e a s o n w h y they h a d to accept this o p p o r t u n i t y . T h e y could choose n o t to. In J a m a i c a , they did, a n d in G u y a n a they d i d not.

Tabic

3.

Characteristics

of "Pure"

and

Colored

Chinese

Population Jamaica,

"Pure' C h i n e s e

1943,

1960

Colored Chinese

All Percent

Sex Ratio Year

Males

1943 1960

Females

M/100 F

4338

254 1

171

5693

4574

124

Sex Ratio Total

China

Males

Females

M/100 F

Total

Total

Born

6879

2584

2931

89

10,267

4631

5041

91

5515

12,394

22.8

9672

21,812

9.5

Sources: Census of Jamaica, 1 9 4 3 ( K i n g s t o n , G o v e r n m e n t P r i n t i n g O f f i c e ) ; Census o f Jamaica, I 9 6 0 ( K i n g s t o n , G o v e r n m e n t P r i n t i n g Office),

326

Orlando

Patterson

W h y d i d t h i s set o f i n d i v i d u a l s with C h i n e s e f e a t u r e s a n d c u l t u r e w h o came to J a m a i c a in the nineteenth century choose to use their s h a r e d social a n d c u l t u r a l traits a s t h e b a s e s f o r e s t a b l i s h i n g a n e t h nic g r o u p ? B e c a u s e it was in their best s o c i o e c o n o m i c interest to d o so. T h e p o s t - e m a n c i p a t i o n society t o w h i c h t h e y c a m e h a d o n e g l a r i n g g a p i n its e c o n o m y — t h e r e w a s a l m o s t n o r e t a i l t r a d e syst e m . T h i s was not r e q u i r e d in the plantation-slave e c o n o m y w h e r e e a c h p l a n t a t i o n was a self-contained w o r l d in w h i c h m a s t e r a n d slave p r o v i d e d f o r t h e i r o w n m u t u a l n e e d s t h r o u g h t h e d o m e s t i c p r o d u c t i o n a n d direct importation of g o o d s a n d staples. Now, with e m a n c i p a t i o n , a m o r e c o m p l e x e c o n o m y h a d evolved. T h e r e was a h u g e peasantry alongside the surviving plantation system; there w a s also a g r o w i n g u r b a n c e n t e r , e s p e c i a l l y i n K i n g s t o n , w h i c h h a d to be supplied. Both the rural and the u r b a n areas of Jamaica w e r e i n c r e a s i n g l y i n n e e d o f a retail s y s t e m w h e n t h e C h i n e s e a r rived, the n e e d s of the u r b a n areas m o r e pressing t h a n the rural. T h e C h i n e s e i m m i g r a n t s q u i c k l y sized u p t h e s i t u a t i o n a n d set a b o u t seizing the o p p o r t u n i t y . 4 1

B u t w h y , w e m a y a s k , w a s this p o s s i b l e ? H o w c o u l d a s t r u g g l i n g b a n d of aliens take over, in so short a p e r i o d of time, such a key sector of the host country's economy? T h e answer, quite simply, is t h i s : t h e y h a d n o c o m p e t i t i o n . W h y was t h e r e n o c o m p e t i t i o n ? T h e a n s w e r i s twofold: t h o s e native m e m b e r s o f t h e society w h o h a d skills a n d r e s o u r c e s t o d e v e l o p t h e retail t r a d e — t h e c o l o r e d a n d the white m i d d l e a n d u p p e r classes—were not interested in d o i n g so. N o r w e r e t h e J e w s i n t e r e s t e d i n d o i n g it. T h e s t a t u s f a c t o r a l o n e w o u l d h a v e b e e n critical f o r t h e m , s i n c e i t w a s p r e c i s e l y a t this t i m e t h a t t h e y h a d b e g u n t o m o v e i n t o t h e u p p e r e c h e l o n s o f w h i t e society, f r o m which they h a d been e x c l u d e d for m o s t of t h e p e r i o d of s l a v e r y . B u t , like t h e B r i t i s h , t h e y h a d b e t t e r , a n d m o r e l u c r a t i v e , t h i n g s t o d o . T h o s e w h o m i g h t have b e e n i n t e r e s t e d — t h e black l o w e r c l a s s e s — l a c k e d t h e r e s o u r c e s t o d o so. T h e n a t u r a l c h o i c e , t h e n , s h o u l d h a v e b e e n t h e n e w m i d d l e class of coloreds, for w h o m emancipation offered e n o r m o u s o p p o r t u 41.

D.

H a l l , Free Jamaica,

c h s . 5 a n d 7.

1838-1865 ( N e w

H a v e n , Yale University Press,

1959),

Context a n d Choice in Ethnic Allegiance

327

n i t i e s . B u t f o r t h i s g r o u p , t h e s t a t u s f a c t o r w a s all i m p o r t a n t . T h e d o m i n a t i n g , a l l - p e r v a s i v e q u a l i t y o f t h e i r lives w a s t h e i r d e s p e r a t e , a n d o f t e n p a t h e t i c , a t t e m p t s t o i d e n t i f y w i t h t h e w h i t e r u l i n g class. M o r e t h a n a n y o t h e r g r o u p , t h e y d e s p i s e d t h e b l a c k s w i t h t h a t selfdestroying c o n t e m p t characteristic of half-breed groups. Being physically closer to t h e blacks t h a n to t h e British a n d J e w i s h g r o u p s t h e y w e r e s o e a g e r t o e m u l a t e , i t w a s m u c h m o r e vital f o r t h e m t o c r e a t e e v e n g r e a t e r social d i s t a n c e b e t w e e n t h e m s e l v e s a n d t h e b l a c k m a s s e s . A w h i t e m a n s e r v i n g a b l a c k e x - s l a v e was u n t h i n k a b l e to e v e r y o n e . A c o l o r e d g e n t l e m a n s e r v i n g an ex-slave was quite thinkable to the whites, a n d to the blacks; b u t to the coloreds, that such things w e r e t h i n k a b l e was a s o u r c e of h u m i l i a t i o n , o u t r a g e , a n d u t t e r d i s g u s t , a n d its r e a l i z a t i o n w a s t o b e a v o i d e d a t all costs. For these reasons, t h e n , the Chinese f o u n d themselves with a rem a r k a b l e o p p o r t u n i t y . A d d t o this t h e fact t h a t t h e y w e r e a n i m m i g r a n t g r o u p a n d t h a t , like all s u c h g r o u p s , i t w a s e a s i e r t o f o r e g o t h e social activities t h a t full m e m b e r s h i p i n a s o c i e t y d e m a n d s , a c tivities t h a t r e q u i r e c a p i t a l a n d t i m e , a n d t h e s u c c e s s o f t h e C h i n e s e c a n be e x p l a i n e d w i t h o u t in a n y way h a v i n g to r e s o r t to questionable notions a b o u t t h e latter's g r e a t e r initiative or resourcefulness. At first, the Chinese r e s p o n d e d to the o p p o r t u n i t y on an individu a l b a s i s . T h e r e w a s a - r a p i d shift t o t h e u r b a n a r e a s b y t h e scatt e r e d C h i n e s e p o p u l a t i o n . It was in K i n g s t o n t h a t they f o u n d their c o m m o n interests and began to develop as a g r o u p . Soon the Chee K u n g T o n g Association was f o r m e d ( a b r a n c h o f t h e H i n g Min Ass o c i a t i o n ) . L a t e r i n 1 8 9 1 , t h e C h i n e s e B e n e v o l e n t Society was organized, mainly to p e r f o r m charitable work a m o n g the aged and the poor. T o w a r d the end of the nineteenth century, having secured a s t r o n g hold on the retail t r a d e in K i n g s t o n , t h e C h i n e s e traders began to m o v e back to the r u r a l areas to take a d v a n t a g e of the retail o p p o r t u n i t i e s d e v e l o p i n g a m o n g t h e p e a s a n t r y . T h e C h i n e s e , o n l y 0.4 p e r c e n t o f t h e t o t a l p o p u l a t i o n , h a d all b u t c o n q u e r e d t h e entire retail t r a d e on the island. O n l y after securing an economic base d i d they b e g i n to c o n s o l i d a t e as an e t h n i c g r o u p . P r i o r to this, it is w r o n g to see t h e m as an ethnic g r o u p ; their efforts were l a r g e l y o n a n i n d i v i d u a l i s t i c b a s i s . E a c h f a m i l y h a d k e p t t o itself.

328

Orlando

Patterson

T h e r e was only a vague sense of c o m m u n i t y b r o u g h t a b o u t by the c o m m o n e x p e r i e n c e of being s t r a n g e r s in a s t r a n g e land a n d out of c e r t a i n c o m m o n n e c e s s i t i e s . E v e n o n t h i s m i n i m a l level, h o w e v e r , collective activity s e e m s t o h a v e c o m e w i t h s o m e difficulty. I n d e e d , e a r l y a t t e m p t s a t e t h n i c c o n s o l i d a t i o n d u r i n g t h e first d e c a d e s of t h e t w e n t i e t h c e n t u r y w e r e m a r r e d b y b i t t e r f e u d s a n d disputes a m o n g the more prominent Chinese; so m u c h so that the C h i n e s e B e n e v o l e n t S o c i e t y c o l l a p s e d i n 1 9 1 6 a l t h o u g h its s e r v i c e s were desperately n e e d e d , given the extremely high d e p e n d e n c y ratio of the population. O n e o t h e r t h i n g o f n o t e i s t h a t r a c e w a s n e v e r t h e m o s t critical basis o f w h a t e v e r g r o u p activity t h a t t o o k p l a c e d u r i n g t h i s o r t h e e n s u i n g p e r i o d , a n d for a simple r e a s o n : if t h e C h i n e s e h a d tried t o m a i n t a i n t h e i r racial p u r i t y , they w o u l d h a v e s u f f e r e d t h e s a m e f a t e a s t h e e a r l i e r g r o u p — e x t i n c t i o n w i t h t h e first g e n e r a t i o n . F o r t h e r e w a s a d e s p e r a t e s h o r t a g e a m o n g t h e m , r i g h t t h r o u g h this a n d a good part of the next period, of w o m e n . To survive, the C h i n e s e t u r n e d to the native p o p u l a t i o n a n d took black w o m e n as concubines to m o t h e r their children. T h e y rarely married these w^Dmen, b u t it is u n l i k e l y t h a t t h i s w a s an e x p r e s s i o n of r a c i a l c o n t e m p t , s i n c e b l a c k m e n did n o t m a r r y t h e m d u r i n g t h e i r c h i l d bearing age either. A n d , further, the institution of concubinage, w h i c h t h e C h i n e s e f o u n d a m o n g t h e n a t i v e p o p u l a t i o n , was b y n o m e a n s alien to their O r i e n t a l e x p e r i e n c e . A nice situation of cult u r a l c o n g r u e n c e p r e s e n t e d itself, a n d t h e C h i n e s e t o o k a d v a n t a g e o f it. O u t o f t h e s e u n i o n s a n i n t e r e s t i n g p a t t e r n e m e r g e d . I t w a s t o p e r s i s t t h r o u g h t h e s e c o n d h a l f o f t h e c e n t u r y . T h e r e i s n o evid e n c e t h a t they ever c o n s i d e r e d this a p r o b l e m , or that they h a d a n y s t r o n g f e e l i n g s o f p r i m o r d i a l loss. W h a t t h i s m e a n t , h o w e v e r , was t h a t " p u r e C h i n e s e " h a d to h a v e a c u l t u r a l r a t h e r t h a n a racial m e a n i n g . T h i s i s e x a c t l y w h a t t h e C h i n e s e did. T h e s o n s b o r n t o t h e m b y t h e i r b l a c k c o n c u b i n e s , a n d l a t e r b y t h e racially m i x e d w o m e n , were later m a d e over into the Chinese cultural mold. At first t h i s w a s d o n e b y t h e f a t h e r s t h e m s e l v e s , b u t a s t h e C h i n e s e 4 2

42.

"In fact," H e n r i q u e s w r i t e s , "black w o m e n f r e q u e n t l y e x p r e s s their liking

for C h i n e s e as their 'Sweet Man,' a n d for the care they lavish on their concubines." H e n r i q u e s , Family and Color, p. 9 8 .

Context a n d Choice in Ethnic Allegiance

329

gained in prosperity, they sent their half-breed sons back to H o n g Kong a n d China to be acculturated by their kinsmen. T h e homeland kinsmen, however, did their j o b of enculturation well. H a v i n g left J a m a i c a a t t h e t e n d e r a g e o f f i v e o r six, t h e c h i l dren

returned

to the island in early m a n h o o d

totally C h i n e s e ,

m a n y o f t h e m e v e n m o n o l i n g u a l l y so. L a t e r , t h e t e n d e n c y was for t h e s e g r o w n u p m a l e c h i l d r e n t o m a k e a s e c o n d a n d last j o u r n e y t o C h i n a to p r o c u r e a wife, w h o m they w o u l d b r i n g back to J a m a i c a with t h e m . What

we

have

called

the

phase

of

ethnic

consolidation,

1 9 0 0 - 1 9 4 0 , b e g a n a b o u t t h e t u r n o f t h e c e n t u r y , especially after t h e First W o r l d W a r . B y t h e n t h e C h i n e s e h a d n o t only established t h e m s e l v e s i n K i n g s t o n b u t h a d f a n n e d o u t t o a l m o s t all t h e m a j o r a n d m i n o r u r b a n c e n t e r s o n the island. O n l y now, with c o m p l e t e e c o n o m i c security, d i d they t u r n in e a r n e s t to t h e task of f o r g i n g a g r o u p identity. T h e d e v e l o p m e n t o f this i d e n t i t y w a s b o t h c a u s e d a n d m o t i v a t e d by e c o n o m i c interests. H a v i n g taken o v e r the retail sector of the economy, the Chinese began to move into the wholesale business after 1900 a n d h a d a firm hold on this a r e a by 1920. T h e p e r i o d b e t w e e n 1 9 2 0 a n d 1 9 4 0 a l s o saw t w o levels o f d e v e l o p m e n t o f t h e Chinese wholesale business. In the major u r b a n center of Kingston, concentrated a r o u n d the Chinese quarter, were the primary wholesalers w h o b o u g h t directly from the i m p o r t a g e n t s . T h e s e p r i m a r y wholesalers supplied secondary Chinese wholesalers who had, by now, spread out over the countryside. Secondary wholesalers comb i n e d w h o l e s a l e s e l l i n g t o local b u s i n e s s e s w i t h t h e i r o w n r e t a i l outlets. E c o n o m i c p r o s p e r i t y m a d e e t h n i c c o n s o l i d a t i o n p o s s i b l e i n several ways. First, it m e a n t t h a t t h e r e was e n o u g h s u r p l u s wealth to s u p p o r t charitable causes a m o n g themselves. T h u s in 1921, after b e i n g d e f u n c t for f i v e y e a r s , t h e C h i n e s e B e n e v o l e n t Society was revived, a n d

from that time served the c o m m u n i t y continuously

for the next half-century. S e c o n d , prosperity allowed for the development

of a

Chinese

press—The

Chinese

Public

News,

published

in

C h i n e s e , b e g a n a b o u t t h i s t i m e . T h e p r e s s b e c a m e a n i m p o r t a n t ins t r u m e n t o f c o m m u n i t y f o r m a t i o n , n o t o n l y i n k e e p i n g t h e scat-

330

Orlando

Patterson

tered c o m m u n i t y informed of news a b r o a d b u t of o t h e r m e m b e r s i n J a m a i c a . E c o n o m i c p r o s p e r i t y also a l l o w e d f o r t h e d e v e l o p m e n t of a n o t h e r i m p o r t a n t institution which was to increase t h e cohesiveness of t h e g r o u p — t h e f o r m a t i o n of t h e C h i n e s e public school in 1924. Finally, e c o n o m i c p r o s p e r i t y p e r m i t t e d C h i n e s e f a t h e r s to send even m o r e of their sons on the expensive j o u r n e y of enculturation to China and H o n g Kong and, at the same time, to import m o r e w o m e n , a s well a s o t h e r m e n , i n t o t h e s o c i e t y . I n t h i s w a y t h e c u l t u r a l d i s t i n c t i v e n e s s o f t h e g r o u p was e n h a n c e d , a n d its d e m o graphic position improved. T h u s , the phase of ethnic consolidation was a c c o m p a n i e d by the t h i r d stage in t h e racial c o m p o s i t i o n of t h e C h i n e s e p o p u l a t i o n . I n the earliest p e r i o d , t h e g r o u p was p u r e Chinese b u t overwhelmingly male. D u r i n g t h e first p h a s e of adjustm e n t t h e r e was a s t r o n g infusion of N e g r o " b l o o d " into t h e g r o u p , c r e a t i n g a n e e d t o e m p h a s i z e c u l t u r a l f a c t o r s r a t h e r t h a n racial o n e s in g r o u p identification. T h i s is n o w followed by a stage in which there is a re-infusion of Chinese genes t h r o u g h two sources: p u r e Chinese w o m e n from China, a n d the Chinese colored w o m e n w h o , w h i l e r e j e c t e d a s c a n d i d a t e s f o r full e n c u l t u r a t i o n , w e r e p r e ferred as mates, w h e n they grew u p , to p r o d u c e m o r e sons. Even so, the emphasis r e m a i n e d on the cultural criterion for the g r o u p ' s d e f i n i t i o n . T h e r e w e r e still n o t e n o u g h " p u r e " o r c o l o r e d C h i n e s e w o m e n t o m e e t t h e b i o l o g i c a l a n d social n e e d s o f t h e m a l e Chinese c o m m u n i t y . I n d e e d , at no time in their history in the island could Chinese m e n expect to find m a t e s wholly from a m o n g purely Chinese women. T h e technique of defining pure Chinese in l a r g e l y social a n d c u l t u r a l t e r m s , t h e n , b e c a m e e n t r e n c h e d a m o n g the J a m a i c a n Chinese, so that today o n e h a r d l y ever h e a r s the distinction "Chinese colored." W h e t h e r or not a p e r s o n is Chinese d e p e n d s on whether he or she chooses to define him- or herself as C h i n e s e (always, o f c o u r s e , with t h e c o n s t r a i n t t h a t t h e individual m u s t have s o m e vague resemblance to Chinese), a n d w h e t h e r they are accepted by the Chinese community as Chinese. E c o n o m i c factors not only m a d e possible a n d e n c o u r a g e d the g r o w t h of C h i n e s e ethnicity, b u t t h e c o n s o l i d a t i o n was s t i m u l a t e d b e c a u s e i t w a s g o o d f o r b u s i n e s s . W h a t , a f t e r all, i s retail a n d wholesale trading but a n e t w o r k of people a m o n g w h o m there is a

Context a n d Choice in Ethnic Allegiance

331

flow o f g o o d s a n d c r e d i t i n o n e d i r e c t i o n , a n d a flow o f p r o f i t i n the o t h e r ? N o w t h a t they w e r e s p r e a d o u t over t h e c o u n t r y , it was to their economic advantage to consolidate into an ethnic g r o u p with excellent i n t r a g r o u p c o m m u n i c a t i o n s . T h u s , the s t r u c t u r e of t h e social n e t w o r k b e c a m e o n e w i t h t h e s t r u c t u r e o f t h e t r a d i n g n e t w o r k . T h i s i s m o s t t e l l i n g l y r e f l e c t e d i n t h e fact t h a t t h e s t r o n g e s t c o m m u n i t y o r g a n i z a t i o n s w e r e also t r a d e associations, for e x a m p l e , t h e W h o l e s a l e r s Association, t h e C h i n e s e Retailers Association, a n d the Bakeries Association. H o w e v e r m u c h they may have tried to preserve the old culture, t h e fact r e m a i n s t h a t t h e C h i n e s e w e r e l i v i n g i n a h o s t s o c i e t y t o w h i c h t h e y h a d t o m a k e s o m e a d j u s t m e n t s . T h e y w e r e totally d e p e n d e n t o n t h i s s o c i e t y f o r t h e i r l i v e l i h o o d . T h e y w e r e a t its political m e r c y . T h e y a l s o d e p e n d e d o n i t f o r b i o l o g i c a l s u p p o r t . T h o u g h they were to r e m a i n , by a n d large, culturally exclusive a n d were to enrich their own cultural background t h r o u g h their prosperity d u r i n g this p e r i o d , o n e can d e t e c t t h e s e e d s o f t h e s e g m e n tary Sino-Creole which was to develop later o n . Dietary patterns h a d to c h a n g e , if e v e r so slightly; s o m e f o r m of English h a d to be l e a r n e d ; .adaptations h a d to be m a d e to the black w o m e n (who h a d a highly d e v e l o p e d sense of their o w n i n d e p e n d e n c e ) . Again, as the C h i n e s e c o m m u n i t y g r e w larger, t h e r e was t h e p r o b l e m o f e d u c a t ing the young. Clearly, the technique of sending their children to C h i n a to be e d u c a t e d could n o t go on forever; it was prohibitively expensive. As the years separating the first generation grew in n u m b e r s , i t was b e c o m i n g increasingly a w k w a r d . P r o s p e r i t y a n d e x p a n d i n g business also b r o u g h t p r o b l e m s i n e d u c a t i n g t h e y o u n g . D u r i n g t h e e a r l y p e r i o d w h e n b u s i n e s s e s w e r e o n a s m a l l scale, b e i n g culturally C h i n e s e a n d completely illiterate in the l a n g u a g e of t h e host c u l t u r e was no d i s a d v a n t a g e . A l a r g e r business e n t e r p r i s e r e q u i r e s social skills i n t h e h o s t society. P e r h a p s the a r e a in w h i c h the C h i n e s e , d u r i n g this p e r i o d of ethnic c o n s o l i d a t i o n , m a d e t h e g r e a t e s t a d j u s t m e n t t o t h e h o s t society was i n r e l i g i o n . C h i n e s e r e l i g i o n d i d n o t a p p e a r t o s u r v i v e l o n g a m o n g t h e C h i n e s e i n J a m a i c a , o r for that m a t t e r , a m o n g the Chinese in other parts of the Caribbean. Instead, the Chinese during the early part of the p r e s e n t century began to convert to R o m a n

332

Orlando

Patterson

4 3

C a t h o l i c i s m . A s I will p o i n t o u t i n c o m p a r i n g t h e J a m a i c a n w i t h the Guyanese Chinese, the choice of the R o m a n Catholic church, which was a small m i n o r i t y religion in J a m a i c a , was significant in that, while it involved a cultural c o m p r o m i s e , it m a i n t a i n e d t h e social e x c l u s i v e n e s s o f t h e g r o u p , a n e x c l u s i v e n e s s w h i c h t h e R o m a n C a t h o l i c c h u r c h w a s q u i t e willing t o r e s p e c t . As the Chinese community grew larger and became m o r e prosp e r o u s , a n d a s a s e c o n d a n d t h i r d g e n e r a t i o n e m e r g e d , basic p r o b lems b e g a n to d e v e l o p with r e g a r d to the cultural exclusiveness of the g r o u p . T h e y centered on the growing unwillingness of the younger generation to be deprived of a Western education a n d in t h i s w a y s u f f e r a d i s a d v a n t a g e vis-a-vis t h e i r fellow J a m a i c a n s . F u r t h e r m o r e , even within the C h i n e s e c o m m u n i t y , t h e n e e d for m o r e W e s t e r n i z a t i o n w a s felt. T h i s l e d t o w h a t c a n b e r e f e r r e d t o a s t h e segmentary creolization period, which developed in 1940 to 1945. O n c e again, then, the Chinese found that they h a d to make a f u n d a m e n t a l c h o i c e critical t o t h e i r o w n e c o n o m i c s e l f - i n t e r e s t . I t w a s a c h o i c e b e t w e e n c o n t i n u e d e t h n i c s o l i d a r i t y o n t h e basis o f cultural exclusiveness or c o n t i n u e d prosperity. A division soon e m e r g e d i n t h e c o m m u n i t y c e n t e r i n g o n this issue, b u t e x a c e r b a t e d by other, m o r e fortuitous developments. On the ethnically conserv a t i v e s i d e w e r e t h e o l d e r g e n e r a t i o n o f C h i n e s e , a s well a s t h e r e m a i n i n g C h i n a - b o r n ( m a n y , t h o u g h n o t all, o f w h o m w e r e also o f the o l d e r a g e g r o u p ) , a n d o n the o t h e r side w e r e t h e y o u n g e r gene r a t i o n of C h i n e s e , mainly J a m a i c a n b o r n , w h o o p t e d for a m o r e p r o g r e s s i v e , less e x c l u s i v e a p p r o a c h t o t h e h o s t s o c i e t y . What troubled the younger generation of Chinese Jamaicans in t h e e a r l y 1 9 4 0 s , h o w e v e r , w a s t h e fact t h a t t h e c o l o n i a l society i n w h i c h t h e y lived w a s i n t h e f i r s t s t a g e s o f f u n d a m e n t a l c h a n g e i n the direction o f i n d e p e n d e n c e . T h e s e early c h a n g e s w e r e b r o u g h t a b o u t by the dissatisfaction of the mass of p e o p l e , especially on the s u g a r p l a n t a t i o n s , w i t h t h e i r lot, a d i s s a t i s f a c t i o n w h i c h w a s b e i n g a r t i c u l a t e d b y t h e b r o w n m i d d l e classes, w h o w e r e b e g i n n i n g , for the first time, to assert their claim to national l e a d e r s h i p . In pushing for i n d e p e n d e n c e a n d national leadership, t h e e m e r g i n g mid43.

F. X. D e l a n y , S.J., A History of the Catholic Church in Jamaica ( N e w Y o r k , J e s -

uit M i s s i o n s Press, 1 9 3 0 ) , p . 2 7 1 .

Context a n d Choice in Ethnic Allegiance

333

d i e class b e g a n t o f o r g e a n a t i o n a l s o l i d a r i t y a r o u n d t h e t h e m e o f a n explicitly s t a t e d n a t i o n a l c u l t u r e t h a t i n c o r p o r a t e d all e l e m e n t s o f t h e society. T h i s i s t h e official v e r s i o n o f t h e s y n t h e t i c C r e o l e I described above.

4 4

It was in this a t t e m p t to legitimize t h e synthetic C r e o l e t h a t t h e Chinese, for the first time, b e g a n to attract serious attention. T h e y were resented, not because they were despised, or because t h e r e was any desire to keep t h e m out, but, on the contrary, because it w a s felt t h a t t h e y w e r e r e m a i n i n g a l o o f f r o m t h e n a t i o n a l e f f o r t a n d d i d n o t wish t o b e i n c l u d e d . M a n y p e o p l e felt i n d i g n a t i o n a t t h e refusal of the C h i n e s e to accept the invitation to j o i n in the m o v e m e n t toward n a t i o n h o o d , a n d to share in the e m e r g i n g synthetic Creole c u l t u r e .

4 5

W h a t is certain is that the y o u n g e r genera-

tion took the statement seriously a n d their h a n d s w e r e s t r e n g t h e n e d by it. One other development further weakened

the position of the

o l d e r g e n e r a t i o n — t h i s was t h e C o m m u n i s t r e v o l u t i o n i n C h i n a a n d their final takeover of the Mainland. Immigration from China to J a m a i c a h a d b e e n s t o p p e d completely by t h e 1940s; n o w , t h e possibility o f r e t u r n i n g t o C h i n a , o r o f s u s t a i n e d c o n t a c t , w a s r e m o v e d . Besides, the C o m m u n i s t ideology of the new g o v e r n m e n t in Mainl a n d C h i n a c r e a t e d a r e a l crisis o f a l l e g i a n c e f o r m a n ) ' o f t h e o l d e r g r o u p of culturally conservative Chinese. To

maintain

their

cultural

exclusiveness,

the

conservative

m e m b e r s of the Chinese communities had to s u p p o r t a governm e n t a n d an ideology (on t h e M a i n l a n d ) which was totally inconsistent with their position a n d implicit e c o n o m i c p h i l o s o p h y in J a maica.

In

rejecting

this c o n t r a d i c t i o n ,

the older

generation

of

C h i n e s e moved to reconcile their e c o n o m i c interests with their cultural o r i e n t a t i o n . T h e m o v e also m a r k e d a g r u d g i n g a c c e p t a n c e of t h e fact t h a t J a m a i c a w o u l d r e m a i n t h e i r h o m e l a n d . These developments a m o n g the older generation were accom4 4 . O n the d e c o l o n i z a t i o n p r o c e s s a n d the role o f t h e m i d d l e class i n J a m a i c a ,

s e e T. M o n r o e , The Polities of Constitutional Decolonization ( K i n g s t o n , I n s t i t u t e of Social a n d E c o n o m i c R e s e a r c h , 1 9 7 2 ) , e s p . chs. 2 - 3 . 45. ber

S e e t h e m u c h q u o t e d e d i t o r i a l c o m m e n t s i n Spotlight ( M a y

1952).

1949 and Octo-

334

Orlando

Patterson

p a n i e d b y a f a r m o r e r a d i c a l shift t o w a r d a g r e a t e r a d j u s t m e n t t o Jamaica by the younger generation of Jamaica-born Chinese. This g r o u p n o w insisted on having a W e s t e r n e d u c a t i o n , a n d later, on s e n d i n g t h e i r c h i l d r e n t o t h e local p u b l i c s c h o o l s . T h e y a l s o e s t a b l i s h e d g r e a t e r c o n t a c t w i t h m e m b e r s o f t h e h o s t society. I n m a k i n g t h e s e a d j u s t m e n t s , t h e y w e r e m e t h a l f w a y b y t h e less c o n s e r v a tive m e m b e r s o f t h e o l d e r a n d C h i n a - b o r n g e n e r a t i o n . W h a t e m e r g e d f r o m t h e i r j o i n t efforts was an a t t e m p t at f o r m u l a t i n g a s e g m e n t a r y S i n o - C r e o l e society w h i c h w a s s t r o n g l y J a m a i c a n i n e m p h a s i s a n d w h i c h b o r r o w e d m a n y o f its i n s t i t u t i o n a l f o r m s f r o m t h e h o s t society b u t w h i c h w a s d i r e c t e d e x c l u s i v e l y a t t h e C h i n e s e c o m m u n i t y . T h e effort, h o w e v e r , c a m e too late, a n d d i d n o t g o far enough. T h e t r u t h i s t h a t J a m a i c a n society h a d p a s s e d t h e s t a g e i n its d e v e l o p m e n t w h e r e i t c o u l d t o l e r a t e , o r c o n t a i n , w i t h o u t g r e a t social risk, t h e e x i s t e n c e o f a s e g m e n t a r y C r e o l e s o c i e t y , e s p e c i a l l y o n t h e p a r t o f t h o s e m e m b e r s o f t h e society w h o a l m o s t c o m p l e t e l y m o nopolized o n e sector of t h e island's e c o n o m y . S t a r t i n g in t h e 1950s it began to move into the synthetic creolization p e r i o d which continues to the present. F r o m a m o r e theoretical perspective, what we are suggesting is t h a t s e g m e n t a r y a n d synthetic creolization a r e basically antithetical. S y n t h e t i c c r e o l i z a t i o n s e e k s t o u n i t e all t h e d i f f e r e n t s e g m e n t a r y c u l t u r e s i n t o a u n i f i e d n a t i o n a l c u l t u r e ; i t is, i n d e e d , t h e d i a l e c t i c a l synthesis of t h e various antithetical s e g m e n t a r y Creole cultures. S e g m e n t a r y c r e o l i z a t i o n , b y its v e r y n a t u r e , r e s i s t s s u c h u n i f i c a t i o n . It is possible for the two types of Creole c u l t u r e to exist side by side only if t h e g r o u p which exercises total p o w e r is n o t c o m m i t t e d to s y n t h e t i c c r e o l i z a t i o n a n d i s itself t h e s u p p o r t e r o f a s e g m e n t a r y C r e o l e c u l t u r e . T h i s was t h e case d u r i n g t h e colonial p e r i o d , w h e n t h e B r i t i s h e x e r c i s e d p o w e r o v e r all o t h e r g r o u p s . O n c e t h e g r o u p which assumes power is committed to synthetic creolization, howe v e r , t h e s y n t h e t i c c u l t u r a l d i a l e c t i c i s likely t o e v o l v e a s o n e way o f resolving the potential tensions of decolonization in a multi-ethnic society. I t i s s o m e t i m e s p o s s i b l e , o f c o u r s e , f o r t h e n e w p o s t c o l o n i a l elite t o c o m m i t itself t o s e g m e n t a r y c r e o l i z a t i o n , i n this w a y legitimizing the existence of o t h e r such Creole cultures. T h i s , for

Context a n d Choice in Ethnic Allegiance

335

example, is what h a p p e n e d in Surinam and, to some extent, in G u y a n a . I n J a m a i c a , however, t h e n e w elite was f i r m l y c o m m i t t e d to a national synthetic Creole culture. T h i s clearly placed the Chinese in a d i l e m m a . T h e y c o u l d see t h a t t h e synthetic n a t i o n a l C r e o l e c u l t u r e was in their o w n interest, b u t u n l i k e t h e o t h e r capitalist g r o u p s , w h o s e ethnicity r e s t e d p r i marily on race a n d kinship, it m e a n t a b a n d o n i n g not only t h e cultural exclusiveness of the period of ethnic consolidation, b u t the social e x c l u s i v e n e s s a n d c u l t u r a l d i s t i n c t i v e n e s s o f t h e h a s t i l y organized segmentary Creole culture of the post-1940 period. In o t h e r w o r d s , it was precisely because it was cultural symbols, r a t h e r t h a n r a c e , w h i c h f o r m e d t h e basis o f t h e i r e t h n i c i d e n t i f i c a t i o n , t h a t t h e C h i n e s e f o u n d i t f a r m o r e difficult t h a n t h e w h i t e e t h n i c s t o m a k e any g e n e r o u s concessions to the e m e r g i n g synthetic Creole society. But a choice had to be m a d e . In the e n d , the position of the y o u n g e r g e n e r a t i o n w o n o u t by t h e late 1950s. T h e decision was a r a d i c a l o n e . I t w a s also t h e d e c i s i o n t h a t w a s i n t h e g r o u p ' s b e s t class i n t e r e s t s . This rapid and near complete dismantlement of their culture w a s a c c o m p a n i e d b y r a d i c a l i n t e r s o c i a l a s well a s i n t r a s o c i a l changes. On the intersocial side, the C h i n e s e chose to m o v e both physically a n d interactionally into t h e m i d d l e a n d u p p e r m i d d l e classes. T h e y f o u n d a n elite w h o w e r e h a p p y t o h a v e t h e m . E v e n this c h a n g e h a d a direct e c o n o m i c motivation. T h e native b o u r g e o i s i e h a d m a d e a r a p i d shift i n t h e i r r e s i d e n t i a l a n d s h o p p i n g p a t t e r n s in both Kingston a n d M o n t e g o Bay. In Kingston they m o v e d f r o m t h e s o u t h , e a s t , a n d c e n t e r o f t h e city t o t h e n e w s u b u r b a n r e g i o n s o f u p p e r St. A n d r e w s t o t h e n o r t h o f t h e c i t y . Prosperity a n d Americanization led to a d e m a n d for s u b u r b a n shopping centers rather than the traditional Chinese groceries, and o p e n markets. T h e Chinese were quick to adapt to these changes in r e s i d e n t i a l p a t t e r n s a n d life styles. E c o n o m i c a l l y , t h e r e w a s a shift i n e m p h a s i s f r o m wholesaling to s u p e r m a r k e t s . T h i s , of c o u r s e , fur4 6

46.

Colin Clarke, "Population Pressure in Kingston, Jamaica: A Study of U n -

e m p l o y m e n t a n d O v e r c r o w d i n g , " Transactions and Papers, T h e I n s t i t u t e o f B r i t i s h Geographers, no. 38 (1966), 174-175.

336

Orlando

Patterson

t h e r cut the base from u n d e r the wholesale business, since s u p e r m a r k e t s , b e c a u s e o f t h e i r scale o f o p e r a t i o n , d e a l d i r e c t l y w i t h t h e i m p o r t e r . T h e Chinese not only r e s p o n d e d by g o i n g into the sup e r m a r k e t a n d s h o p p i n g plaza business in a big way b u t , for t h e first t i m e , b e g a n t o c h a l l e n g e t h e M i d d l e E a s t e r n e r s a n d J e w s i n their traditional monopoly of the import-export business. In response to economic developments, the Chinese moved out of Chinatown and the Chinese quarters and into the new middleclass h o u s i n g a n d o t h e r r e s i d e n t i a l a r e a s o f t h e m a i n t o w n s . A t t h e s a m e t i m e , t h e r e w a s a shift t o w a r d t h e p r o f e s s i o n s a n d t o w a r d m a n a g e r i a l , clerical, a n d sales p o s i t i o n s i n n o n - C h i n e s e f i r m s . T h e C h i n e s e h a v e a d o p t e d t h e b o u r g e o i s life style o f s y n t h e t i c C r e o l e c u l t u r e with t h e s a m e avidity that c h a r a c t e r i z e d t h e i r t a k e o v e r of the retail t r a d e system. T h e Chinese, within a period of fifteen years, have ceased to be a c u l t u r e g r o u p , no longer define their ethnicity in cultural t e r m s , a n d have become instead an integral part of the bourgeoisie, pract i c i n g , i n full m e a s u r e , t h e s y n t h e t i c C r e o l e a n d m i d d l e - c l a s s life style o f t h a t g r o u p . T h e y did not, however, cease to be an ethnic g r o u p . Rather, w h a t t h e y d i d w a s t o c h a n g e t h e basis o f t h e i r e t h n i c i t y . W h i l e t h e y have b e c o m e culturally J a m a i c a n , the Chinese w e r e careful to maintain those patterns of behavior and attitudes to work a n d family w h i c h , o n t h e o n e h a n d , m a i n t a i n g r o u p c o h e s i o n , a n d , o n t h e o t h e r h a n d , a r e c o n g r u e n t with those qualities w h i c h e n s u r e high achievement in the society. 47

T h e n u c l e a r a n d s t e m families r e p l a c e d t h e e x t e n d e d f a m i l y . T h i s shift i n family s t r u c t u r e m e a n t a f u r t h e r m o v e a w a y f r o m a d i s t i n c t l y O r i e n t a l p a t t e r n t o o n e t h a t was e s s e n t i a l l y m i d d l e - c l a s s J a m a i c a n , b u t w i t h a n e m p h a s i s o n s t r o n g c o l l a t e r a l ties t h a t e n sures the maintenance of community and kinship bonds and, at the s a m e t i m e , is ideal for e c o n o m i c success. W h e r e t h e e x t e n d e d family w a s a n i d e a l social u n i t f o r t h e e c o n o m i c s u c c e s s o f t h e C h i n a t o w n wholesale establishments o r t h e isolated r u r a l g r o c e r y , t h e 47.

Silin, "A Survey of Selected Aspects of the Chinese in Jamaica," p p . 47^18.

337

Context a n d Choice in Ethnic Allegiance

n u c l e a r f a m i l y e n s u r e s t h e flexibility t h e i n d i v i d u a l r e q u i r e s f o r competition in a complex m o d e r n e c o n o m y . 4 8

C h a n g e s i n attitude, especially attitudes t o w a r d p a r e n t s , t h e w o r k e t h i c , a n d l e i s u r e also r e f l e c t t h e s a m e b a l a n c e b e t w e e n s y n t h e t i c creolization, c o m m u n a l integrity, a n d economic a c h i e v e m e n t . 4 9

T h e r e is, t h e n , still a C h i n e s e e t h n i c g r o u p i n J a m a i c a . S o m a t i c a n d g e n e r a l i z e d k i n s h i p ties a n d a s e n s e o f s h a r e d e x p e r i e n c e c o n stitute their m o s t m e a n i n g f u l bases of p r i m a r y extrafamilial identity. H o w e v e r , w h i l e t h e r e i s a C h i n e s e e t h n i c g r o u p i n t h e i s l a n d , i t w o u l d b e i n a c c u r a t e t o say t h a t all t h e C h i n e s e i n J a m a i c a c o n s t i tute a n ethnic g r o u p . S o m e C h i n e s e choose n o t t o m a k e their som a t i c d i s t i n c t i v e n e s s o r t h e i r k i n s h i p a n d a f f i n a l ties t h e i r m o s t m e a n i n g f u l bases of extrafamilial identification. T h o s e w h o choose ethnic identification invariably m a k e the choice, or m o r e accurately, choose to continue to m a k e a choice which the parental g e n e r a t i o n m a d e f o r t h e m , b e c a u s e i t i s still i n t h e i r o w n b e s t e c o n o m i c i n t e r e s t . B e i n g " C h i n e s e " gives o n e a c c e s s t o a r e l a t i v e l y s u b stantial pool of capital; it e n s u r e s e c o n o m i c " b r e a k s " which m i g h t otherwise not have existed; it provides a wide r a n g e of contacts, b o t h social a n d b u s i n e s s ; i t gives o n e access t o v a l u a b l e b u s i n e s s " i n telligence"—who is on the u p - a n d - u p , w h o is secretly b a n k r u p t , w h o has t h e best real estate deals, a n d t h e l i k e — a n d it provides a supportive network in the otherwise harshly competitive business w o r l d . T o t h e e x t e n t t h a t this e t h n i c g r o u p c o n t i n u e s t o b e a useful e c o n o m i c n e t w o r k , t o t h a t e x t e n t , a n d t o t h a t e x t e n t o n l y , will t h e ethnic g r o u p survive. Many Chinese J a m a i c a n s have found, however, that their econ o m i c interests d o not r e q u i r e , o r a r e n o t best s e r v e d , b y this network. It is these Chinese—mainly those in the professions and who work for non-Chinese firms—who show the greatest tendency to 48. T h e theoretical

basis o f this

d e v e l o p m e n t has b e e n

well

established.

See

W. J. G o o d e , " T h e Role of the Family in Industrialization," a n d R. F. Winch and R. L. B l u m b e r g , "Societal C o m p l e x i t y a n d Familial O r g a n i z a t i o n , " b o t h in R. F. W i n c h a n d L. W. G o o d m a n , e d s . . Selected Studies in Marriage and the Family ( N e w York, Holt, Rinehart and Winston, 1968), p p . 6 4 - 9 2 . 49.

S e e Silin, "A Survey of Selected Aspects of the C h i n e s e in Jamaica," p p . 4 5 ,

59; and Morrow. "Chinese Adaptation," pp. 5 0 - 5 4 .

338

Orlando

Patterson

l e a v e t h e e t h n i c g r o u p a n d o f t e n , t h o u g h n o t a l w a y s , seal t h e i r withdrawal from the g r o u p by marrying non-Chinese. W h a t o f t h o s e w h o r e m a i n fully c o m m i t t e d t o t h e C h i n e s e e t h n i c g r o u p ? Interestingly, the Chinese have, for the first time in their h i s t o r y i n J a m a i c a , b e g u n t o shift t o s o m a t i c t r a i t s a s t h e m a i n basis f o r o v e r t g r o u p i d e n t i f i c a t i o n . T h i s shift i n e m p h a s i s h a s b e e n d u e to the erosion of w h a t was formerly their m a i n focus of g r o u p identity. Race is the only distinctive overt trait t h e g r o u p has, a n d by w h i c h they a r e r e c o g n i z e d by o t h e r m e m b e r s of t h e society. B u t , o f c o u r s e , h a v i n g said t h i s , w e m u s t i m m e d i a t e l y a d d t h a t t h i s i s t h e right answer to the w r o n g question. T h e real questions are: why do s o m e J a m a i c a n C h i n e s e c o n t i n u e t o m a i n t a i n t h e i r e t h n i c ties? a n d how does the choice of somatic features relate to t h e choice of ethnicity o v e r a s s i m i l a t i o n ? W h a t s e e m s t o h a v e h a p p e n e d a n d i s still t a k i n g p l a c e i n t h e C h i n e s e e t h n i c g r o u p i s t h i s : c h o i c e o f m a t e h a s b e c o m e o f vital i m portance for the maintenance of the c o n t i n u e d c o n g r u e n c e of the sets o f social a n d e c o n o m i c n e t w o r k s w h i c h c o n s t i t u t e s t h e s o c i o logical r a i s o n d ' e t r e o f t h e e t h n i c g r o u p . W h e n b l a c k w o m e n w e r e b e i n g u s e d t o m o t h e r t h e i r c h i l d r e n , i t will b e r e c a l l e d t h a t m a l e offspring were kept in the g r o u p for cultural t r a i n i n g a n d w o m e n not so chosen. Later on, as m o r e and m o r e Chinese colored w o m e n , a s well a s p u r e C h i n e s e w o m e n , b e c a m e a v a i l a b l e , t h e r e w a s a shift b a c k t o t h e p u r e C h i n e s e r a c i a l t y p e o n t h e i n d i v i d u a l l e v e l , e v e n t h o u g h , o n t h e g r o u p level, t h i s w a s a c c o m p a n i e d b y a wider distribution of N e g r o blood. In o t h e r words, fewer a n d f e w e r C h i n e s e w e r e " p u r e " C h i n e s e racially, w h i l e m o r e a n d m o r e individuals w h o were defined as C h i n e s e w e r e g e t t i n g closer to the p u r e C h i n e s e racial t y p e . N o w w h e n t h e C h i n e s e a b a n d o n e d c u l t u r e a s t h e m a j o r basis o f e t h n i c i d e n t i f i c a t i o n , r a c e g a i n e d i n s i g n i f i c a n c e a s a basis o f g r o u p identification. T h i s choice of e m p h a s i s was m a d e , not because it w a s n a t u r a l t o c h o o s e r a c e , b u t b e c a u s e a n i m p o r t a n t e c o n o m i c factor favored the choice of race at precisely t h e t i m e w h e n c u l t u r e w a s l o s i n g its s i g n i f i c a n c e . F o r w h a t h a d h a p p e n e d o v e r t h e y e a r s d u r i n g this c h a n g e i n e m p h a s i s was t h a t t h o s e C h i n e s e w h o w e r e m o s t successful economically h a d b e e n t h e very o n e s w h o h a d

Context a n d Choice in Ethnic Allegiance

339

been most e n d o g a m o u s . W o m e n have become the means whereby wealth is e x c h a n g e d , shared, consolidated, a n d kept within the g r o u p , all t h i s w h i l e p e r f o r m i n g t h e e q u a l l y v a l u a b l e t a s k o f p e r p e t u a t i n g the g r o u p . As such, they have b e c o m e highly valued a n d jealously g u a r d e d . To s u m m a r i z e , t h e n , we find that f r o m a position w h e r e the g r o u p was d e f i n e d c u l t u r a l l y a n d r a c e w a s a m a r g i n a l f a c t o r , t h e C h i n e s e h a v e s h i f t e d f r o m c u l t u r a l a n d social e x c l u s i v e n e s s t o c o m plete cultural integration into the synthetic Creole J a m a i c a n culture a n d t o a b o u r g e o i s life style. T h i s shift, h o w e v e r , was a c c o m p a n i e d by a consolidation of wealth accomplished t h r o u g h e n d o g a m y , resulting in t h e e m e r g e n c e of a tightly knit socioeconomic n e t w o r k w h i c h i s i n c r e a s i n g l y racially h o m o g e n e o u s ( t h o u g h w i t h f e w e r a n d f e w e r racially p u r e i n d i v i d u a l s ) a n d w h i c h n o w u s e s r a c i a l s i m i l a r i t y b o t h to symbolize t h e i r distinctiveness a n d to sanction t h e i r all-important principle of endogamy. Jamaicans of Chinese ancestry who do not choose e t h n i c identification are immediately a b s o r b e d into the n o n - C h i n e s e c o m m u n i t y , since t h e r e a r e n o cultural obstacles and no reluctance on the part of non-Chinese m e m b e r s to marry non-ethnic Chinese. T h e C h i n e s e e t h n i c g r o u p , t h e n , i s likely t o g r o w s m a l l e r w i t h the withdrawal of those who choose to marry outside of the g r o u p a n d c h o o s e t h e n a t i o n a s t h e i r m o s t m e a n i n g f u l basis o f e x t r a f a m i l i a l i d e n t i t y . A s i t g r o w s s m a l l e r , i t will b e c o m e m o r e a n d m o r e e t h n i c a l l y visible, m o r e t i g h t l y k n i t , a n d will a c h i e v e m o r e o f t h e a t t r i b u t e s o f t h e c o r p o r a t e , racially d e f i n e d e t h n i c g r o u j > — a rather o m i n o u s development at a time when the overwhelming maj o r i t y o f t h e b l a c k p o p u l a t i o n a r e t h e m s e l v e s b e c o m i n g racially conscious a n d a r e showing signs of rejecting t h e synthetic C r e o l e c o m p r o m i s e o f t h e b o u r g e o i s elite f o r s o m e , a s y e t u n s p e c i f i e d , form of national "black power." The Chinese in Guyana. I n s t r i k i n g c o n t r a s t to t h e p a t t e r n o f d e v e l o p m e n t in Jamaica is the experience of the Chinese in Guyana. T h e Chinese were brought to Guyana to meet the same pressing labor n e e d s that prevailed in Jamaica in the mid-nineteenth cent u r y , a n d , i n fact, w e r e b r o u g h t u n d e r t h e s a m e s c h e m e . T h o s e w h o w e n t t o G u y a n a also c a m e f r o m m u c h t h e s a m e a r e a s o f C h i n a

340

Orlando

Patterson

as the J a m a i c a n Chinese a n d , in s o m e cases, w e r e even recruited by t h e very s a m e a g e n t . By 1866 G u y a n a h a d t h e greatest n u m b e r of C h i n e s e i n its h i s t o r y — a p p r o x i m a t e l y 1 0 , 0 0 0 . A y e a r l a t e r , r a p i d decline in the population began. 5 0

T h e Chinese were b r o u g h t into the colony as i n d e n t u r e d a g r i c u l t u r a l laborers, b u t this s c h e m e was a b a n d o n e d in 1874 for m u c h the same reasons that it was in J a m a i c a . M o r e Chinese Were t o t r i c k l e i n t o G u y a n a a f t e r t h e i n d e n t u r e p e r i o d , b u t t h e s e were relatives a n d friends b r o u g h t over by C h i n e s e already in the c o l o n y , n o t b y t h e p l a n t e r s . I n all, a p p r o x i m a t e l y 7 0 0 m o r e w e r e t o c o m e from China after 1878. T h i s p o s t - i n d e n t u r e i m m i g r a t i o n did not reverse the seemingly irrevocable d o w n w a r d t r e n d of the Chin e s e p o p u l a t i o n . In 1879 t h e r e was a total of only 6,000 C h i n e s e in the colony, which m e a n t that m o r e t h a n half of t h e m h a d either d i e d o r left t h e c o l o n y d u r i n g t h e 2 5 y e a r s s i n c e t h e y f i r s t a r r i v e d . T h e p o p u l a t i o n r e a c h e d its l o w e s t p o i n t i n 1 9 1 1 , w h e n o n l y 2 , 1 1 8 C h i n e s e w e r e living i n t h e c o l o n y . T h e r e a f t e r t h e r e w a s a slow i n crease until 1947 w h e n t h e p o p u l a t i o n was 3 ,5 2 8 . B e t w e e n t h e n a n d the census year of 1960, the Chinese p o p u l a t i o n h a d g r o w n to a t o t a l o f o n l y 3 , 6 0 0 , m a k i n g u p 0.6 p e r c e n t o f t h e t o t a l G u y a n a population of 600,000. Up to the e n d of the nineteenth century, we have seen that there w a s little r e a l d i f f e r e n c e b e t w e e n t h e p a t t e r n o f a d j u s t m e n t o f t h e Chinese in Guyana and their counterparts in Jamaica. Both groups refused to work on the estates, a n d their efforts at peasant f a r m i n g were equally sporadic a n d unsuccessful. B o t h g r o u p s , too, quickly h e a d e d for the urban areas a n d soon b e c a m e o n e of the most urbanized g r o u p s in their respective populations. By 1911, o n e third o f t h e C h i n e s e p o p u l a t i o n i n G u y a n a lived i n t h e t w o u r b a n c e n t e r s 50.

Silin, "A Survey of Selected Aspects of the C h i n e s e in Jamaica," p. 7. O u r

discussion

of the Chinese in Cuiana

papers by

Morton

H.

will b e b a s e d

primarily on two

Fried, the only m o d e r n scholar to

have

published

researched

the

g r o u p , a n d an early twentieth-century work by d e m e n t i . S e e M. H. Fried, " S o m e O b s e r v a t i o n s o n t h e C h i n e s e o f B r i t i s h G u i a n a , " Social and Economic Studies, (March

loquium on Overseas Chinese ( D e c e m b e r 2 9 , Guiana

5.1

1 9 5 6 ) ; " T h e C h i n e s e i n t h e B r i t i s h C a r i b b e a n , " i n M . H . F r i e d , e d . , Col1 9 5 7 ) ; a n d C . C l e m e n t i , The Chinese in

( G e o r g e t o w n , British G u i a n a , T h e A r g o s y C o m p a n y ,

1915).

Context and Choice in Ethnic Allegiance

341

of Georgetown and New Amsterdam, and at the present time over 6 0 p e r c e n t o f t h e m live i n t h e s e t w o u r b a n a r e a s .

5 1

After the turn of the century, however, o n e begins to detect fund a m e n t a l differences in the choices which the Chinese in J a m a i c a m a d e from those of the Chinese in G u y a n a . T h e first difference h a d to do with their choice of livelihood. W h e r e in J a m a i c a the Chinese w e r e almost exclusively c o n c e r n e d with retail t r a d i n g after rejecting agriculture, those in G u y a n a selected retailing as o n e of several m e a n s of e c o n o m i c survival, a l t h o u g h it was t h e m a i n o n e . F r o m t h e s t a r t , t h e G u y a n e s e C h i n e s e s h o w e d a w i l l i n g n e s s t o select a w i d e r a n g e o f o c c u p a t i o n s .

5 2

A n d while it r e m a i n e d t r u e that up to 1943 as m a n y as 63 perc e n t w e r e in the retail t r a d e , it is of g r e a t e r i m p o r t a n c e t h a t only a s m a l l n u m b e r o f t h e m m a d e i t i n a b i g w a y i n this i n d u s t r y a n d , a s a g r o u p , they in no way m o n o p o l i z e d e i t h e r the retail or the wholesale t r a d e a s t h e y d i d i n J a m a i c a . A n o t h e r e t h n i c g r o u p h a d this distinction. A s e c o n d i m p o r t a n t d i f f e r e n c e , d e r i v i n g f r o m t h e first, was t h a t the Guyanese Chinese never went t h r o u g h a phase of ethnic consolidation; n o r did they even a t t e m p t , to a n y great d e g r e e , to adjust t h r o u g h the technique of segmentary creolization. Instead, the C h i n e s e i n G u y a n a m o v e d f r o m t h e i r p e r i o d o f initial s e t t l e m e n t a n d i n d e n t u r e straight into the evolving synthetic Creole culture of Guyana. T h e t r a n s f o r m a t i o n was truly r e m a r k a b l e . It b e g a n , in a way, t h e m o m e n t the Chinese landed in Guyana. F r o m that time they broke t h e i r ties c o m p l e t e l y w i t h t h e C h i n e s e h o m e l a n d . B y t h e t i m e d e m e n t i s t u d i e d t h e g r o u p i n t h e first d e c a d e o f t h e t w e n t i e t h c e n tury, he f o u n d it possible to write t h a t : "British G u y a n a possesses a C h i n e s e society o f w h i c h C h i n a k n o w s n o t h i n g , a n d t o which C h i n a is almost unknown."

5 3

F r i e d offers a n e x p l a n a t i o n o f his o w n ,

namely, that a substantial n u m b e r of early migrants c a m e d u r i n g 5 1 . L.

D e s p r e s , Cultural Pluralism and Nationalist Politics in Guiana

Rand McNally, 1967), p. 65. 52.

Ibid., p. 64.

5 3 . C l e m e n t i , The Chinese in Guiana,

p. 3 5 9 .

( N e w York,

342

Orlando

Patterson

t h e T a i p i n g R e b e l l i o n a n d t h a t k i n s h i p a n d locality ties w e r e alr e a d y b r o k e n , a s a r e s u l t o f this u p h e a v a l , b e f o r e l e a v i n g t h e M a i n land.

5 4

T h e explanation makes some sense, b u t it applies only to a

part of the Guyanese Chinese community. T h e real a n s w e r to the p r o b l e m of the radically different adjustm e n t o f t h e C h i n e s e i n J a m a i c a a n d G u y a n a lies i n F r i e d ' s a l m o s t o f f - h a n d r e m a r k : " T h e difficulties i n m a k i n g a l i v i n g i n B r i t i s h G u y a n a a t t h e t i m e . " T h e s e w e r e i n d e e d difficult t i m e s f o r G u y a n a . It is in looking at the differences in the p a t t e r n of socioeconomic d e v e l o p m e n t in the two countries that we b e g i n to u n d e r s t a n d why the Chinese chose ethnic consolidation based on cultural exclusiveness in J a m a i c a , a n d t h e C h i n e s e in G u y a n a chose to m a k e a total cultural b r e a k with the h o m e l a n d . After e m a n c i p a t i o n the sugar i n d u s t r y faced h a r d times in both G u y a n a a n d Jamaica, m o r e so in the latter than in the former. In b o t h a r e a s t h e ex-slaves a t t e m p t e d to f o r m a p e a s a n t sector b u t w e r e m o r e successful in J a m a i c a t h a n in G u y a n a . In a d d i t i o n to this,

G u y a n a was

h i g h l y successful i n

r e c r u i t i n g i n d e n t u r e d la-

borers from India after the attempt with the Chinese a n d the Port u g u e s e f r o m M a d e i r a h a d failed. T h u s , G u y a n a c o n t i n u e d t o b e a m o n o c r o p , p l a n t a t i o n - b a s e d e c o n o m y w i t h a r e l a t i v e l y s i m p l e social a n d e c o n o m i c system, in which the mass of t h e population rem a i n e d l a r g e l y a t t h e m e r c y o f t h e p l a n t e r class. Jamaica, on the o t h e r h a n d , took a m o r e complex course of dev e l o p m e n t . In 1865 the J a m a i c a n peasants, w h o h a d a s t r o n g tradition of rebellion b e h i n d

them, staged an

uprising against their

d e p r e s s e d conditions which so scared the white ruling minority t h a t it c o m m i t t e d w h a t Mavis C a m p b e l l called "political immolat i o n " ; t h a t is, i t v o t e d its political c o n s t i t u t i o n o u t o f e x i s t e n c e a n d a s k e d t h e British g o v e r n m e n t to i m p o s e direct r u l e . 54.

5 5

T h e r e fol-

Fried, "Some Observations on the Chinese," p. 69.

55. Campbell, changes Jamaicas;

"Edward

Jordan

and

the

Free

Coloureds,"

passim.

in Jamaica before a n d after the upheaval of 1 8 6 5 , see G.

E i s n e r , Jamaica: 1830-1930

(Manchester,

England,

P.

On

the

C u r t i n . Two

Manchester Uni-

v e r s i t y P r e s s , 1 9 6 1 ) ; D. H a l l , Free Jamaica: H. P. J a c o b s , Sixty Years of Change, 1806-1866

(Kingston,

William Jordan

Institute

of J a m a i c a ,

1973);

A.

Hart,

The Life of George

( K i n g s t o n . I n s t i t u t e o f J a m a i c a , n . d . ) ; V . J . M a r s a l a , Sir John Peter

Grant ( K i n g s t o n , I n s t i t u t e o f J a m a i c a ,

1972).

Context and Choice in Ethnic Allegiance

343

lowed a p e r i o d of relatively e n l i g h t e n e d C r o w n colony g o v e r n m e n t , i n w h i c h basic i n f r a s t r u c t u r a l d e v e l o p m e n t t o o k p l a c e , a n d t h e e c o n o m y f u r t h e r diversified with t h e i n t r o d u c t i o n o f b a n a n a cultivation, mainly by the ever creative p e a s a n t r y , w h o by now h a d also b e g u n t o c o n t r o l a sizable p o r t i o n o f t h e s u g a r c u l t i v a t i o n o n the island. N o n e of these d e v e l o p m e n t s took place in G u y a n a . T h e colony's e c o n o m y p a i d a h e a v y p r i c e f o r its c o n t i n u e d e m p h a s i s o n t h e m o n o c r o p plantation system, especially after t h e British m o v e d to f r e e t r a d e i n s u g a r i n 1 8 7 4 . T h i s p r o l o n g e d crisis i n t h e w o r l d price of s u g a r was reflected m o s t tellingly in t h e d e p r e s s i n g c o n d i tion of the masses in G u y a n a . 5 6

I t was t o this k i n d o f e c o n o m y t h a t t h e C h i n e s e w e r e i n t r o d u c e d a n d in which they h a d to find a livelihood. M a n y of t h e m tried retail t r a d i n g a n d c o n t i n u e t o d o so. B u t h e r e t h e y f o u n d a m a j o r o b stacle a s f a r a s a n y h o p e o f q u i c k p r o s p e r i t y , o r e v e n e c o n o m i c security in the J a m a i c a n m a n n e r , was c o n c e r n e d . T h i s took t h e f o r m of another ethnic group—the Portuguese, who were recruited f r o m M a d e i r a i n t h e l a t e 1840s a n d ' 5 0 s . 5 7

I n t a k i n g o v e r t h e retail t r a d e , t h e P o r t u g u e s e w e r e actively e n c o u r a g e d b y t h e E u r o p e a n r u l i n g class, w h o g a v e t h e m p r e f e r e n t i a l t r e a t m e n t for credit- over their African a n d C h i n e s e c o m p e t i t o r s , partly because they were E u r o p e a n s , partly because they p r o v i d e d a u s e f u l class a n d c u l t u r a l b u f f e r b e t w e e n t h e p l a n t e r class a n d t h e black masses. A l t h o u g h t h u s favored, t h e P o r t u g u e s e w e r e k e p t a t a distance by t h e British C r e o l e p l a n t e r s w h o n e v e r saw t h e m as b e i n g q u i t e " w h i t e , " w h e t h e r racially o r c u l t u r a l l y d e f i n e d ; n o r d i d t h e b l a c k s e v e r s o r e g a r d t h e m . T h e fact r e m a i n s , h o w e v e r , t h a t t h e y w e r e sufficiently f a v o r e d a n d s k i l l e d t o m o n o p o l i z e t h e c o l ony's commercial life. T h e m a n y C h i n e s e w h o w o r k e d in the retail t r a d e , t h e n , h a d t o b e satisfied w i t h t h e p i c k i n g s left b y t h e P o r 58

tuguese traders. 5 6 . F o r a n e x c e l l e n t a c c o u n t of t h e s u g a r c r i s i s i n t h e l a t e n i n e t e e n t h c e n t u r y ,

s e e R. W . B e a c h e y , The British West Indies Sugar Industry in the Late Nineteenth Century ( O x f o r d . O x f o r d U n i v e r s i t y P r e s s , 1 9 5 7 ) . 5 7 . K. O . L a w r e n c e , " T h e E s t a b l i s h m e n t o f t h e P o r t u g u e s e C o m m u n i t y i n B r i t -

i s h G u i a n a , " J a m a i c a Historical Review 5 . 2 ( 1 9 6 5 ) , 5 0 - 7 4 . 5 8 . L o w e n t h a l , West Indian Societies, p. 2 0 0 .

Orlando

344

Patterson

W h a t all t h i s m e a n t , t h e n , was t h a t i n 1 9 0 0 , a t a t i m e w h e n t h e Chinese in Jamaica were already economically secure a n d could begin to use their economic prosperity to consolidate an ethnic g r o u p t h r o u g h the development of institutions which s u p p o r t e d the perpetuation of their culture, the Guyanese Chinese found it in t h e i r b e s t e c o n o m i c a n d social i n t e r e s t t o c h o o s e q u i t e t h e o p p o s i t e path. If they were to succeed in a wide r a n g e of occupations, however, they h a d to creolize themselves. A n d h e r e we s h o u l d pause to m a k e an important observation about the relationship between the nature and type of occupation, on the one h a n d , a n d the propensity o f a c u l t u r a l l y a l i e n i m m i g r a n t g r o u p t o i s o l a t e t h e m s e l v e s . O f all occupations, retail t r a d i n g offers the best o p p o r t u n i t y for such a g r o u p to m a x i m i z e e a r n i n g s while m i n i m i z i n g acculturation. W h e r e o t h e r choices have to be m a d e , however, the cultural obstacles m u s t b e o v e r c o m e . F o r a G u y a n e s e C h i n e s e t o c h o o s e a car e e r i n t h e c o l o n i a l civil s e r v i c e , o r i n t h e p r o f e s s i o n s , o r e v e n i n o c c u p a t i o n s i n v o l v i n g a l o w e r level of skills b u t a h i g h level of ascriptive or diffuse interaction, such as b a r b e r s , c h a u f f e u r s , a n d so o n , it was i m p e r a t i v e t h a t t h e c u l t u r e of t h e h o s t society be m a s tered. T h e only alternatives were m a n u a l labor a n d peasant farming, both of which, while they avoided the cultural p r o b l e m , p r o v i d e d little possibility o f i m p r o v e m e n t . B o t h a l t e r n a t i v e s w e r e t r i e d b y t h e C h i n e s e i n G u y a n a , w h o t r i e d life a s i n d e n t u r e d l a b o r e r s a n d as p i o n e e r farmers; both were rejected because of their limited possibilities. I n rejecting t h e s e a n d c h o o s i n g o t h e r o c c u p a t i o n s , t h e C h i n e s e also c h o s e t o a b a n d o n t h e t r a d i t i o n a l c u l t u r e a n d t o a d o p t the evolving Guyanese Creole culture. T h e evidence suggests that the Chinese in G u y a n a not only q u i c k l y a n d efficiently a d o p t e d t h e G u y a n e s e Creole c u l t u r e b u t d i d it in a quite methodical a n d self-conscious m a n n e r . T h e i r r e s p o n s e to Christianity illustrates this. As early as 1875, e v e n b e f o r e they had mastered English, a Chinese l a n g u a g e b r a n c h of the C h u r c h of E n g l a n d was f o u n d e d b y t h e m a t t h e i r insistence. S o o n t h e C h i n e s e had become "devout Christians." T h i s was a l m o s t forty years 5 9

59.

Clementi, "The Chinese in Guiana," pp. 3 5 9 - 3 6 0 .

Context and Choice in Ethnic Allegiance

345

before the C h i n e s e in Jamaica h a d m a d e their decision to a d o p t Christianity. B u t n o t e , h e r e , a n o t h e r significant d i f f e r e n c e b e t w e e n t h e m a n d the J a m a i c a n C h i n e s e . T h e latter, w h e n they d e c i d e d t o a d o p t Christianity in the early twentieth century, went completely into the Catholic c h u r c h . T h e Guyanese Chinese deliberately avoided t h e C a t h o l i c c h u r c h i n G u y a n a , a l t h o u g h b y t h a t t i m e i t w a s well established t h e r e to serve the spiritual n e e d s of the Portuguese a n d o t h e r Catholics, a n d instead b e c a m e P r o t e s t a n t s , which was t h e religion to c h o o s e , obviously, if creolization was t h e m a j o r objective. S o t h o r o u g h l y c r e o l i z e d h a v e t h e C h i n e s e b e c o m e t h a t l a t e r they began joining not just the established Anglican church, but t h e P e n t a c o s t a l sects o f t h e b l a c k s , a n d b y t h e 1 9 5 0 s w e r e t h e m selves " h o l d i n g r e v i v a l m e e t i n g s in t h e c o l o n y . . . a i m e d at a g e n e r a l p u b l i c a n d n o t specifically a t o t h e r C h i n e s e . " 6 0

T h e locally b o r n C h i n e s e , k n o w n a s T ' u - s h e n g , h a v e g i v e n u p e v e n t h e i r t e n d e n c y t o w i t h d r a w f r o m t h e t o t a l society. I n t h e b i t t e r e t h n i c f i g h t i n g b e t w e e n blacks a n d I n d i a n s w h i c h p r e c e d e d ind e p e n d e n c e , the Chinese e m e r g e d in a new role—that of mediators b e t w e e n t h e w a r r i n g e t h n i c g r o u p s . Significantly, a C h i n e s e was n a m e d t h e first president of the newly i n d e p e n d e n t nation. T h i s was a m o s t e x t r a o r d i n a r y a p p o i n t m e n t for a m i n o r i t y g r o u p t h a t n u m b e r s less t h a n 1 p e r c e n t o f t h e p o p u l a t i o n , a n d i t reflects as favorably on t h e successful creolization a n d b r o k e r role of t h e C h i n e s e as it does unfavorably on the failure of the d o m i n a n t g r o u p s t o w o r k o u t a g e n u i n e l y m u l t i - e t h n i c society i n G u y a n a . I t i s also a n i n d i c a t i o n o f t h e r a d i c a l l y d i f f e r e n t r e s p o n s e s o f t h e t w o g r o u p s of C h i n e s e that the idea of a C h i n e s e g o v e r n o r - g e n e r a l in Jamaica is unthinkable. No Jamaican prime minister would be reckless e n o u g h to m a k e such an a p p o i n t m e n t , a n d , w e r e it m a d e , it is unlikely that any Chinese would be foolhardy e n o u g h to accept the post. 6 1

60.

Fried, " T h e C h i n e s e in the British C a r i b b e a n , " p. 5 6 .

61.

T h e C h i n e s e are cast i n the s a m e role o f conciliators b e t w e e n the conflicting

Indian and Black g r o u p s in Trinidad, and there, too, a Chinese was appointed the first g o v e r n o r - g e n e r a l . S e e D . L o w e n t h a l ' s r e m a r k s o n t h e p o t e n t i a l r i s k s t o t h e C h i n e s e o f o v e r p l a y i n g t h i s r o l e i n t h e E a s t C a r i b b e a n , i n h i s West Indian Societies, pp. 207-208.

Orlando

346

Patterson

I n s p i t e o f t h e o v e r t e m p h a s i s o n e n d o g a m y , F r i e d also f o u n d t h a t in practice, " T h e r e is c o n s i d e r a b l e m a t i n g across e t h n i c lines, b o t h with a n d w i t h o u t formal m a r r i a g e . " Significantly, t h e m a j o r loss t h r o u g h i n t e r m a r r i a g e i s t h r o u g h f e m a l e C h i n e s e m a r r y i n g non-Chinese, quite the opposite of the present situation in Jamaica. As any student of e n d o g a m o u s groups knows, female outmarriage is t h e surest sign n o t only of t h e w e a k n e s s of t h e e n d o g a m y principle, but the d e m o g r a p h i c decline of the g r o u p .
T h e second, m u c h smaller, g r o u p consists o f the C h i n a - b o r n Chinese. T h e s e a r e t h e C h i n e s e w h o m i g r a t e d to t h e island after t h e i n d e n t u r e p e r i o d . T h e y m a i n t a i n close contact with relatives b a c k i n C h i n a , q u i t e o f t e n h a v e wives t h e r e , a n d s o m e t i m e s e v e n s e n d for brides from t h e M a i n l a n d o r H o n g K o n g . T h e i r adjustm e n t is quite similar to that of the J a m a i c a n C h i n e s e d u r i n g their p e r i o d of ethnic consolidation—they a r e culturally exclusive a n d socially i s o l a t e d . S i g n i f i c a n t l y , t h e s e l a t e r m i g r a n t s a r e a m o n g t h e m o s t u r b a n a n d the m o s t c o n c e n t r a t e d i n t h e retail t r a d i n g busin e s s . T h e y a r e also t h e m o s t s u c c e s s f u l i n t h e r e t a i l t r a d e . T h u s , t h e s a m e f a c t o r s a c c o u n t f o r t h e e t h n i c c o n s o l i d a t i o n o f this s m a l l g r o u p of later migrants w h o c a m e at a time w h e n economic a n d social c o n d i t i o n s w e r e s u c h t h a t t h e c h o i c e c f e t h n i c c o n s o l i d a t i o n was b o t h possible a n d economically viable. It is d o u b t f u l , h o w e v e r , w h e t h e r t h i s g r o u p will s u r v i v e . T h e i r c h i l d r e n a r e e x t r e m e l y a m bivalent a b o u t China a n d their parents, a n d the pressure to bec o m e a b s o r b e d by t h e T ' u - s h e n g g r o u p is s t r o n g — i n d e e d , irresistible. G e n e r a l l y , t h e c h i l d r e n o f t h e s m a l l C h i n a - b o r n p o p u l a t i o n s e e m t o a c c e p t this fate w i t h r e s i g n a t i o n . 6 3

CONCLUSION I h a v e described t h e d e v e l o p m e n t of two g r o u p s of C h i n e s e arriving in the Caribbean, about the s a m e time, from roughly the same

region

of China.

Because of the structural

similarities of

A f r o - C a r i b b e a n s o c i e t i e s , t h e s i g n i f i c a n t f e a t u r e s o f t h e t w o social 62.

Fried, "Some Observations on the Chinese," p. 67.

63.

Ibid., p. 58.

Context and Choice in Ethnic Allegiance

347

contexts which b e a r directly on the position of the i m m i g r a n t Chinese can be isolated. It was s h o w n that, in t h e case of J a m a i c a , e c o n o m i c c o n d i t i o n s were such that the best interests of the g r o u p w e r e served by an exclusive c o n c e r n with retail t r a d e , a n d t h a t success in this v e n t u r e allowed for, a n d r e i n f o r c e d , a choice of e t h n i c c o n s o l i d a t i o n based o n c u l t u r a l distinctiveness. L a t e r , w e saw h o w e c o n o m i c p r e s s u r e s a n d i n t e r e s t s p r o m o t e d a shift, h r s t , t o s e g m e n t a r y c r e o l i z a t i o n , a n d soon after, a f u r t h e r c h a n g e to a situation in which synthetic creolization was c h o s e n b u t with a f u n d a m e n t a l difference taking p l a c e b e t w e e n t h o s e w h o f u r t h e r c h o s e t o a b a n d o n e t h n i c i t y altogether, as o p p o s e d to those who chose to s t r e n g t h e n it by changi n g t h e basis o f t h e i r e t h n i c i d e n t i f i c a t i o n f r o m c u l t u r a l t o s o m a t i c a n d k i n s h i p ties. On the other h a n d , we have seen how, in the Guyanese context, e c o n o m i c a n d social c o n d i t i o n s w e r e s u c h t h a t a w i d e r r a n g e o f o c cupational choices was in the best interests of t h e Chinese, a n d how, in p u r s u i n g these occupations, t h e choice of synthetic creolization a n d the a b a n d o n m e n t of C h i n e s e c u l t u r e were the most rat i o n a l c o u r s e s o f a c t i o n . A s s u c h , e t h n i c c o n s o l i d a t i o n w a s n e v e r attempted by the Guyanese T'u-sheng Chinese, who are now completely G u y a n e s e except in their physical a p p e a r a n c e ; a n d even this i s likely t o d i s a p p e a r s o o n , g i v e n t h e h i g h r a t e o f i n t e r m a r riage. At the s a m e time, later arrivals, finding conditions closer to those existing in J a m a i c a , m a d e m u c h t h e s a m e choices as the J a maicans d i d in t e r m s of ethnic identification based on cultural exclusiveness. I wish t o e n d o n t w o n o t e s : o n e i s t h a t m y c a s e s t u d i e s , I t h i n k , h a v e fully d e m o n s t r a t e d t h e t h e o r e t i c a l feasibility o f m y h y p o t h e ses. M o r e t h a n a n y t h i n g e l s e , I h o p e I h a v e d e m o n s t r a t e d t h a t t h e r e is no a p r i o r i r e a s o n to believe t h a t i n d i v i d u a l s always c h o o s e ethnic identification over o t h e r f o r m s of identification w h e n e v e r t h e s i t u a t i o n a r i s e s . A t t h e s a m e t i m e , t h e p r i m a c y o f e c o n o m i c fact o r s o v e r all o t h e r s h a s b e e n d e m o n s t r a t e d . A s f a r a s t h e r e l a tionship b e t w e e n e c o n o m i c factors a n d ethnicity is c o n c e r n e d , I h o p e t h a t I h a v e a t least t e n t a t i v e l y d e m o n s t r a t e d t h a t p e o p l e

Orlando

348

Patterson

n e v e r m a k e e c o n o m i c d e c i s i o n s o n t h e basis o f e t h n i c a l l e g i a n c e , b u t , o n t h e c o n t r a r y , t h a t t h e s t r e n g t h , s c o p e , viability, a n d b a s e s o f e t h n i c i d e n t i t y a r e d e t e r m i n e d by, a n d a r e u s e d t o s e r v e , t h e e c o n o m i c a n d g e n e r a l class i n t e r e s t s o f i n d i v i d u a l s . T h e s e c o n d a n d final o b s e r v a t i o n is this: t h e choices I h a v e disc u s s e d t h r o u g h o u t this c h a p t e r w e r e g e n u i n e c h o i c e s . W h a t I h o p e I h a v e s h o w n , also, is that m e n choose their e c o n o m i c conditions as well, a n d o n c e h a v i n g c h o s e n t h e m , t h e y t e n d i n t h e l o n g r u n t o m a k e adjustments to t h e m which a r e in their o w n best interests. T h e Chinese who went to Jamaica a n d Guyana chose to go there, in

this w a y c h o o s i n g t h e i r c o n t e x t s ,

their economic conditions.

O n c e there, they tried estate labor a n d peasant farming a n d chose to a b a n d o n t h e m . T h e r e is no i n h e r e n t reason whatsoever why they could not have continued in these ventures. Certainly there was no c u l t u r a l or racial p r e d i s p o s i t i o n n o t to; it is easy to s h o w how, in n e i g h b o r i n g C u r a c a o , p e a s a n t f a r m i n g is exactly what the C h i n e s e c h o o s e to r e m a i n in, a n d t h e y h a v e b e e n q u i t e successful at it.

6 4

W e h a v e s e e n , t o o , h o w t h e C h i n e s e c h a n g e d t h e basis o f t h e i r ethnic identity from o n e period to a n o t h e r in Jamaica, in contrast with G u y a n a , w h e r e t h e choice was n e v e r b e t w e e n t h e bases of ethnic c o n s o l i d a t i o n , b u t w h e t h e r t h e r e s h o u l d o r s h o u l d not b e a n e t h n i c g r o u p . T h e r e i s also t h e fact t h a t , i n b o t h s i t u a t i o n s , i n d i v i d uals w e r e free t o d e p a r t f r o m t h e choices which w e r e b e i n g m a d e by the majority of their peers. In t h e case of J a m a i c a , today, substantial n u m b e r s o f C h i n e s e a r e c h o o s i n g b e t w e e n e t h n i c identification a n d

national

identification a n d a r e d e c i d i n g on

t h e latter.

This, however, is taking place at a time w h e n m a n y Chinese have not only chosen ethnicity but have

intensified ethnic b o n d s on

m o r e n a r r o w racial lines. T h e only thing guiding these choices were people's conceptions o f w h a t w a s i n t h e i r o w n b e s t e c o n o m i c a n d social i n t e r e s t s , w h i c h is not to imply a c o n c u r r e n c e with any vulgar e c o n o m i c determ i n i s m . W e c a n fully a g r e e w i t h E n g e l s ' s t a t e m e n t t h a t " t h e u l t i m a tely d e t e r m i n i n g e l e m e n t i n h i s t o r y i s t h e p r o d u c t i o n a n d r e p r o 64. p. 4.

P.

H . H i s s , Netherlands America

( N e w York, Duell, Sloan & Peaice,

1943),

Context a n d Choice in Ethnic Allegiance

349

d u c t i o n o f r e a l life" a n d still a c c e p t t h e i n t e g r i t y , i f n o t a u t o n o m y , of h u m a n choice. I n d e e d , as Engels himself goes on to a d d : " W e m a k e o u r h i s t o r y o u r s e l v e s , b u t , i n t h e first p l a c e , u n d e r v e r y d e f i nite a s s u m p t i o n s a n d conditions. A m o n g these, the e c o n o m i c o n e s a r e ultimately decisive." 65.

6 5

Frederick. E n g e l s , "Letter to J. B l o c h

in

Koningsberg,"

London

2 1 (—22)

1 8 9 0 , i n K. M a r x a n d F . E n g e l s , Selected Works ( M o s c o w , P r o g r e s s P u b l i s h e r s , 1970),

III, 4 8 7 .

11 FRANQOIS BOURRICAUD (Translated by B a r b a r a Bray)

Indian, Mestizo and Cholo as Symbols in the Peruvian System of Stratification

T h e A n d e a n c o u n t r i e s o f P e r u , E c u a d o r , a n d B o l i v i a a r e all s u c c e s s o r states t o t h e I n c a E m p i r e . T h e b u l k o f t h e i r p o p u l a t i o n s i s d e s c e n d e d f r o m t h e i n h a b i t a n t s o f t h a t e m p i r e . T h e y w e r e all s u b j e c t e d for t h r e e c e n t u r i e s to the s a m e S p a n i s h colonial a u t h o r i t y a n d since i n d e p e n d e n c e h a v e f o l l o w e d a s i m i l a r p o l i t i c a l , c u l t u r a l , a n d social e v o l u t i o n . I n g e n e r a l t h e y h a v e b e e n s u b j e c t t o t h e s a m e f o r e i g n i n f l u e n c e , i d e o l o g i c a l , e c o n o m i c , a n d political. I n all t h r e e c o u n t r i e s , w h e r e " r a c i a l " d i f f e r e n c e s a r e s o i m p o r t a n t , a n a t t e m p t t o a n a l y z e t h e social s t r u c t u r e m u s t i n v o l v e a n u n derstanding of the composition of the population a n d of the subtle a n d complex relationships that have d e v e l o p e d historically a m o n g t h e i n d i g e n o u s I n d i a n e l e m e n t , t h e S p a n i s h , o r Creole, e l e m e n t , a n d t h e mestizo, o r m i x e d , e l e m e n t . A l t h o u g h I d e a l h e r e specifically with the stratification system of P e r u , in v a r y i n g m e a s u r e w h a t I say w o u l d a p p l y a l s o t o E c u a d o r a n d Bolivia. In describing the composition of the Peruvian population, it should be u n d e r s t o o d that the census categories to which I refer do not c o r r e s p o n d with those used in c o m m o n discourse n o r with t h o s e d e v e l o p e d b y sociologists. T h e y a r e basically " r a c i a l " cate g o r i e s , a l t h o u g h c o n s i d e r i n g t h e m a s s i m p l v racial i s p r o b l e m a t i c . P e r u ' s s y s t e m o f social stratification w a s f o r a l o n g t i m e a s c r i p t i v e , with status b a s e d m a i n l y on race. In reality, h o w e v e r , racial criteria m a y b e a m b i g u o u s . P e r u v i a n s o f t e n h a v e difficulty i n i d e n t i f y i n g a n i n d i v i d u a l as I n d i a n , m e s t i z o , o r cholo (a s c o r n f u l t e r m a p p l i e d

T h e P e r u v i a n S y s t e m o f Stratification

351

to r i s i n g mestizos). F u r t h e r m o r e race is n e i t h e r t h e sole, n o r n e c e s sarily t h e m o s t r i g o r o u s ascriptive t e r m . T h e H i n d u caste system, w h i c h i s b a s e d n o t o n b i o l o g i c a l o r i g i n b u t o n t h e social g r o u p i n t o which an individual is b o r n , results in m o r e complete segregation t h a n t h a t p r a c t i c e d i n t h e m o s t racist s t a t e s i n t h e S o u t h o f t h e United States.

1

Finally, racial discrimination leaves o p e n , as we

s h a l l s e e i n t h e c a s e o f t h e P e r u v i a n I n d i a n s , t h e possibility o f a c e r tain u p w a r d mobility.

In

fact racial a t t r i b u t e s i n P e r u c o m b i n e

p h y s i c a l a n d social c h a r a c t e r i s t i c s i n a s y m b o l i s m t h e key t o w h i c h lies a t t h e s a m e t i m e i n t r a d i t i o n s o f t h e p a s t a n d i n t h e p o s i t i o n o c c u p i e d by the g r o u p in t h e existing stratification system. T h e P e r u v i a n system o f stratification, w h e t h e r i n the colonial, republican, or c o n t e m p o r a r y periods, has never m a d e use of a strictly b i n a r y o p p o s i t i o n b e t w e e n I n d i a n a n d n o n - I n d i a n . B u t n e i ther

has

it

been

characterized

by

a

pluralism

of j u x t a p o s e d

g r o u p s — t h a t is, a t o n c e i s o l a t e d f r o m e a c h o t h e r y e t all f o r m i n g p a r t o f t h e s a m e e c o n o m i c s p a c e a n d s u b j e c t t o t h e s a m e l e g a l syst e m , as, for e x a m p l e , is t h e case with t h e J e w s , Italians, a n d P u e r t o Ricans of N e w York, despite the various kinds of discrimination they have suffered.

T h e d i s t i n c t i v e n e s s o f t h e P e r u v i a n stratifi-

cation system resides in t h e a m b i g u i t y of t h e "racial" factor, w h i c h p e r f o r m s a very c o m p l e x symbolic function. M e m b e r s h i p in the native o r i n t h e Creole g r o u p d o e s n o t i n itself d e t e r m i n e t h e s t a t u s o f an individual, but it is largely responsible for the image the individual possesses a n d p u t s f o r w a r d of himself. So t h e "racial factor" d o e s not refer only to s o m e physical attributes of an individual, b u t 2

also t o his social s t a t u s . I t c o n n e c t s o n e t o social s t a t u s , b u t a c c o r d 1 . S e e L o u i s D u m o n t , Homo Hierarchkus ( P a r i s , G a l l i m a r d ,

1967).

2 . T h e t e r m i n o l o g i c a l i n g e n u i t y w i t h w h i c h all t h e s h a d e s i n t h e c o l o r o f t h e s k i n a r e m e n t i o n e d i s a d e q u a t e l y s t r e s s e d b y M a g n u s M o r n e r i n L e Metissage da?is I'histoire de VAmerique Latine ( P a r i s , speak

of the

symbolic

significance

Fayard, Librairie A r t h e m e , of

racial

differences,

I

1971). W h e n

intend

to

link

I up

status d i f f e r e n c e s to s o m e fairly a m b i g u o u s physical traits, like color of the skin, a p p e a r a n c e o f t h e h a i r , f a c e , a n d s o o n . I t i s c l e a r t h a t n o t all t h e s h a d e s a n d n u a n c e s o f t h e skin are e q u a l l y significant o f a n individual's status: T h e r e f o r e n o t all t h e c a t e g o r i e s m e n t i o n e d b y M a g n u s M o r n e r a r e r e l e v a n t f o r o u r p u r p o s e . T h e r e a s o n s w h y I l i m i t m y s e l f t o o n l y t h r e e , i n d i o , m e s t i z o , c h o l o , will b e f u l l y justified, I h o p e , by the f o l l o w i n g analysis.

352

Frangois

Bourncaud

ing to t h e rules of a symbolic code. To u n d e r s t a n d the position of the cholo, o n e must begin by realizing that the Indian, who t o g e t h e r w i t h t h e w h i t e m a n o r c r e o l e s e e m s t o f o r m t h e basic refe r e n c e p o i n t s of t h e stratification system, is himself n o t easy to d e f i n e . I t i s said t h a t a n I n d i a n m a y b e r e c o g n i z e d b y m e a n s o f a c e r t a i n n u m b e r o f p h y s i c a l c h a r a c t e r i s t i c s , b u t i n fact t h e f r e q u e n c y o f c r o s s - b r e e d i n g m a k e s i d e n t i f i c a t i o n difficult. O n e m i g h t rely o n t h e criterion of langua ge; e v e r y o n e w h o s p o k e only a native lang u a g e would be regarded as an Indian. But what of those who s p e a k a native l a n g u a g e b u t also speak or u n d e r s t a n d a certain a m o u n t of Spanish? By a d o p t i n g the physical criterion o n e r e d u c e s t h e size o f t h e I n d i a n g r o u p , w h i l e i f o n e i n c l u d e s a m o n g I n d i a n s p e o p l e w h o also h a v e a c e r t a i n a m o u n t o f S p a n i s h , t h e size o f t h e g r o u p is m a d e unduly large. T h u s o n e is led to i n t r o d u c e criteria r e l a t i n g to way of life—"the I n d i a n is a p e a s a n t " — o r to hierarchical status—"the Indian g r o u p o c c u p i e s t h e l o w e s t p o s i t i o n i n t h e social s t r a t i f i c a t i o n s y s t e m . " T h i s latter proposition is generally true, but only generally; certainly the c o n v e r s e i s n o t t r u e : o n e c a n n o t say t h a t all t h e p e o p l e " a t t h e b o t t o m " a r e I n d i a n s , since m a n y o f t h e i n h a b i t a n t s o f t h e s h a n t y towns are r e g a r d e d as a n d r e g a r d themselves as cholos. T h e status o f I n d i a n c o m b i n e s different a n d i n d e p e n d e n t elem e n t s : r a c e , l a n g u a g e , w a y o f life, h i e r a r c h i c a l p o s i t i o n i n t h e p r o cess o f p r o d u c t i o n . I f y o u m e e t a p e a s a n t w h o d o e s n ' t s p e a k S p a n i s h , c h e w s c o l a , a n d lives in a comunidad o r is a p e o n in a h a c i e n d a , you n e e d h a v e no fear a b o u t n a m i n g h i m an I n d i a n . But it m u s t be s a i d t h a t t h i s c l e a r - c u t s i t u a t i o n i s fairly r a r e . N o r i s t h e r e a n y g u a r a n t e e t h a t t h e b r o t h e r o f t h e p e r s o n i n q u e s t i o n d o e s n ' t live i n L i m a , o r t h a t h e h i m s e l f h a s n o t s p e n t s o m e p a r t o f his life t h e r e , o r t h a t h i s s o n h a s n o t left t h e v i l l a g e . T h e I n d i a n d o e s n o t b y a n y m e a n s constitute a "self-reproducing" g r o u p with characteristics identically r e p e a t e d from g e n e r a t i o n to g e n e r a t i o n . He is subject to continuous change, and the question has been asked—and in m a n y r e s p e c t s i t i s o n e o f t h e key q u e s t i o n s o f P e r u v i a n c u l t u r a l h i s t o r y — w h e t h e r t h e i n d i g e n o u s g r o u p i s n o t , i n t h e last r e s o r t , a r e s i d u a l category, d o o m e d sooner or later to wither away. A c c o r d i n g to a theory p u t f o r w a r d both d u r i n g the colonial

T h e P e r u v i a n System o f Stratification

353

p e r i o d a n d b y t h e positivists o f t h e n i n e t e e n t h c e n t u r y , t h e " t r u t h " o f t h e I n d i a n , h i s e s s e n t i a l r e a l i z a t i o n , t h e f u l f i l l m e n t o f his i n d i v i d u a l a n d c o l l e c t i v e d e s t i n y , i s t h e m e s t i z o . B u t n o t e t h a t w e say m e s tizo a n d n o t criollo. A Creole is t h e d e s c e n d a n t o f t h e s m a l l m i n o r i t y of S p a n i a r d s b o r n in P e r u . A l t h o u g h this g r o u p has always b e e n a m i n o r i t y a n d its p o l i t i c a l p o w e r h a s b e e n c o n s i d e r a b l y r e d u c e d since i n d e p e n d e n c e , it has m a n a g e d to r e m a i n culturally d o m i n a n t f o r a l o n g t i m e . T o d a y t h e t e r m Creole n o l o n g e r a p p l i e s t o a d i s tinct g r o u p , b u t r a t h e r brings to m i n d a collection of individuals w h o possess several c o m m o n cultural traits. T h e s e individuals may o c c u p y v e r y d i f f e r e n t levels i n t h e social h i e r a r c h y . T h e t e r m c a n be a p p r o v i n g or d e r o g a t o r y . It describes tangible p r o d u c t s (such as f r o m t h e k i t c h e n ) , activities ( t h e d a n c e , h o r s e m a n s h i p , b u l l o r c o c k f i g h t i n g ) , a n d m o r a l q u a l i t i e s ( s u c h a s g r a c e , e l e g a n c e , skill, d u p l i c ity, o r l a z i n e s s ) . T h e c o m m o n f e a t u r e o f t h i s b r o a d u s a g e i s t h e m o r e o r less e x p l i c i t r e f e r e n c e t o a c e r t a i n S p a n i s h t r a d i t i o n , m o r e A n d a l u s i a n t h a n Castillian, by which individuals recognize each o t h e r or aspire to be recognized as participating in a s u p e r i o r cult u r e . F o r m a n y i t i s a b o v e all a w a y o f c r e a t i n g d i s t a n c e f r o m t h e indigenous tradition, or m o r e generally the provincialism of the local t r a d i t i o n . B u t t h e Creole c u l t u r e h a s b e c o m e p r o g r e s s i v e l y o s sified, e m p h a s i z i n g t a s t e , m a n n e r s , life-style. I t p r o v i d e s little t o t h e m o b i l e a n d a m b i t i o u s , e s p e c i a l l y t h o s e w h o a r e b y social o r i g i n f a r from the g e n u i n e "Peruvian tradition"—as defined, of course, by t h e Creoles. T o d a y i t c a n o n l y p r o v i d e a n i n c o m p l e t e a n d i m p e r f e c t identification symbolism for most Peruvians. T h e mestizo as a cultural m o d e l is m o r e acceptable in that it offers a kind of reconciliation b e t w e e n t h e two streams of the nat i o n a l c u l t u r a l t r a d i t i o n . U n f o r t u n a t e l y i t i s a n artificial r e c o n c i l i ation, an intellectual c o m p r o m i s e which n e v e r really "took." B u t it i s i n r e l a t i o n t o t h e m e s t i z o t h a t h e can b e c o m e , t h a t t h e I n d i a n i d e n t i t y i n t h e m e l t i n g p o t o f t h e c o l o n i a l society was f o r m e d . T h e colonial I n d i a n a c q u i r e d two characteristics which p r o f o u n d l y c h a n g e d his n a t u r e : h e b e c a m e a C h r i s t i a n , a n d h e b e c a m e a s u b j e c t o f his C a t h o l i c Majesty, t h e K i n g o f S p a i n . T h e I n d i a n o f t h e R e p u b l i c b e c a m e , o r r a t h e r h a s b e e n p r o m i s e d h e will b e c o m e , a c i t i z e n . A m e s t i z o i s o n e w h o i s n e i t h e r I n d i a n n o r Creole, b u t this

354

Frangois

Bourricaud

description is i n c o m p l e t e . A c c o r d i n g to a r e a — w h e t h e r the coast or t h e S i e r r a , a b i g city, a n a v e r a g e - s i z e d p r o v i n c i a l t o w n , a l a r g e v i l l a g e (pueblo) o r a n a t i v e c o m m u n e — o r in o t h e r w o r d s a c c o r d i n g to contextual criteria, s o m e o n e w h o is r e g a r d e d (and r e g a r d s himself) a s a c r e o l e , t h a t is, a s p e r f e c t l y a s s i m i l a t e d t o t h e v a l u e s a n d n o r m s of western and Hispanic tradition, may be rejected a n d scornfully designated a cholo. T h e t e r m c h o l o c o m p r i s e s a l m o s t all t h e a m b i g u i t i e s t h a t c a n s u r r o u n d individual status. To start with, it has a strong negative connotation, a n d is usually e m p l o y e d in t h e absence of the p e r s o n to w h o m i t i s a p p l i e d a n d w h o w o u l d p r o b a b l y b e o f f e n d e d b y it. I t can only be u s e d in direct a d d r e s s as a sort of j o k e . B u t the mess a g e , w h i l e i t tells t h e o b s e r v e r s o m e t h i n g a b o u t t h e r e l a t i o n s b e tween the two speakers, contains no information about the status of the person so designated. In order to narrow down the ambiguity s u r r o u n d i n g the t e r m cholo, o n e m u s t c o m p a r e the cholo with the t r a d i t i o n a l mestizo, t h e type d e v e l o p e d by colonial society, f r o m which he is very different. Mestizos h a d a whole r a n g e of o c c u p a t i o n s i n c o l o n i a l society, s o m e o f t h e m c o m p a r a t i v e l y d i s t i n g u i s h e d , t h e artes y oficios, like t h o s e o f c a r p e n t e r , c a b i n e t m a k e r , t a i l o r , l e a t h e r w o r k e r , o r saddler. C e r t a i n a m o n g t h e m w e r e e v e n artists rather than craftsmen—sculptors and painters, perhaps gilding statues u n d e r the direction of a Spanish monk, or p r o d u c i n g fine p i c t u r e s t o t h e g l o r y o f t h e V i r g i n a n d t h e s a i n t s . T h e y also h a d access t o j o b s i n t h e c h u r c h a n d a d m i n i s t r a t i o n . I n s o m e s l e e p y t o w n s , like A y a c u c h o , i n t h e P e r u v i a n S i e r r a , t h e a r t e s y oficios o f t h e t r a d i t i o n a l m e s t i z o h a v e s u r v i v e d i n t o o u r o w n day. Jose Maria Arguedas describes o n e of these artist-craftsmen, who carved a n d decorated altarpieces: "Don J o a q u i m Lopez Antay b e l o n g s t o a f a m i l y o f S p a n i s h o r i g i n , b u f o n his m o t h e r ' s s i d e , a s the n a m e A n t a y indicates, he is I n d i a n — n o t c o m m o n or vulgar Ind i a n , b u t I n d i a n s m a l l h o l d e r . H e l e a r n e d his t r a d e f r o m h i s g r a n d m o t h e r . H e s p e a k s S p a n i s h e x t r e m e l y well, t h o u g h w i t h a s t r o n g a c c e n t . " W h e n a t r a v e l e r f r o m L i m a — a c r i o l l o — m a d e f u n o f his accent, w a n t i n g to a p p e a r a m a n of the world, D o n J o a q u i m ans w e r e d , A r g u e d a s tells u s , i n a d i g n i f i e d m a n n e r : " W e all h a v e o u r

The

Peruvian

o w n way of s p e a k i n g , sir." Ayacucho,

355

System o f Stratification

Don Joaquim

3

I n fact, i n his o w n w o r t h y t o w n o f

Lopez

is

somebody—no

es

un

cualquiera.

H e i s k n o w n a n d r e s p e c t e d . W h e n t h e y a d d r e s s h i m , e v e n the vecinos

o r n o t a b l e s , w h o a r e m o r e o r less w h i t e , a n d

los mistis,

the

l a n d e d p r o p r i e t o r s living on their i n c o m e , often in d i l a p i d a t e d old t o w n h o u s e s t h a t p r e s e r v e a p o r c h or patio from their colonial s p l e n d o r , call h i m

maestro

a n d D o n J o a q u i m , a m a r k e d s i g n o f def-

erence. D o n J o a q u i m L o p e z A n t a y , m e s t i z o t h o u g h h e is, i s b y n o m e a n s a cholo. Only a n i g n o r a n t traditional Sierra

Limeno,

blind to t h e status hierarchy of a

town, could m a k e such a mistake. B u t no o n e

w o u l d h e s i t a t e t o u s e t h e w o r d c h o l o t o d e s i g n a t e a n illicit s t r e e t v e n d o r , a cattle d e a l e r , a wool or m e a t salesman, a truck or taxi driver. W h a t characterizes the cholo a n d distinguishes h i m from t h e t r a d i t i o n a l m e s t i z o i s t h a t h e o c c u p i e s n o fixed p o s i t i o n o r n i c h e i n t h e s t r a t i f i c a t i o n s y s t e m . H e i s fluid a n d e l u s i v e ; y o u n e v e r f i n d him w h e r e you e x p e c t him to be; and you never know where to place h i m in t h e stratification system. B u t t h e cholo is s m a r t , he pushes, he can m a k e money. He has learned a r u d i m e n t a r y way of m a n a g i n g w h i c h lays h i m o p e n t o t h e seductions o f c o n s p i c u o u s c o n s u m p t i o n b u t gives h i m a c o n s i d e r a b l e a d v a n t a g e o v e r t h e I n dians

and

traditional

peasants.

For

this

reason one

finds

him

h i g h e r u p , b e t t e r p l a c e d , r i c h e r a n d m o r e e n t e r p r i s i n g t h a n his o r i g i n a l s t a t u s m i g h t s e e m t o w a r r a n t . T h i s ability t o g e t o n e x plains the negative reactions, the suspicion a n d aversion, directed a g a i n s t t h e c h o l o . H i s b e h a v i o r calls i n q u e s t i o n t h e r i g i d o r d e r o f o l d c o l o n i a l s o c i e t y . T h e s i m p l e fact t h a t , w h i l e h e i s n e i t h e r I n d i a n n o r Creole n o r m e s t i z o , h e s u c c e e d s i n r i s i n g d e m o n s t r a t e s t h e possibilities w h i c h a r e o p e n t o a n y o n e w i t h his wits a b o u t h i m a n d which d e r i v e f r o m w h a t m a y be called t h e interstitial mobility of a society t h a t i s c u l t u r a l l y v e r y h e t e r o g e n e o u s . H e r e t w o sets o f h y p o t h e s e s b e c o m e necessary, o n e c o n c e r n i n g t h e p r o b l e m o f m o b i l i t y i n P e r u v i a n society, t h e o t h e r c o n c e r n i n g t h e i m p o r t a n c e of t h e essentially cultural factor in the mobility p r o 3 . J o s e M a r i a A r g u e d a s , "El a r t e p o p u l a r r e l i g i o s o y l a c u l t u r a m e s t i z a , " Revista del Museo, 2 7 ( L i m a , 1 9 5 8 ) , 1 4 0 - 1 9 4 .

356

Frangois

Bourricaud

c e s s . I shall t r y t o s h o w t h a t P e r u v i a n society, e v e n d u r i n g t h e c o l o n i a l p e r i o d , w a s , a t l e a s t i n c e r t a i n s e c t o r s , fairly m o b i l e . T h e r e w e r e g e o g r a p h i c a l m i g r a t i o n s o f c o n s i d e r a b l e size i n t h e f i r s t y e a r s of the conquest. But apart from the disintegration that accomp a n i e d t h e c o l l a p s e o f I n c a society, t h e n e w c o l o n i a l o r d e r r e cruited a considerable fraction of the indigenous population. In o r d e r t o b e eligible for e m p l o y m e n t c e r t a i n characteristics w e r e n e e d e d o f m a n y d i f f e r e n t k i n d s , b u t a m o n g t h e m w a s t h e ability t o assimilate such cultural practices as the use of Spanish or E u r o p e a n f o o d a n d c l o t h e s . T h e l e a r n i n g a n d m a s t e r i n g o f t h e s e skills w e r e a s i m p o r t a n t i n d e t e r m i n i n g t h e s t a t u s o f a n i n d i v i d u a l a s w a s his position in the process of production. To be able to speak Spanish, d r e s s like a m i s t i , a n d e a t a n d d r i n k like a Creole—these c h a n g e d a peasant's status: he ceased to be an Indian, and could e m e r g e from the c o m m o n r u n to b e c o m e a m e r c h a n t , store clerk, p e d d l e r , or artisan. Initial cultural a d v a n t a g e s t h u s largely d e t e r m i n e d the p r o s p e c t s o f m o b i l i t y , w h e t h e r i n d i v i d u a l o r collective. B u t p o s s e s s i n g t h e m w a s n o m o r e a m a t t e r o f c h a n c e t h a n , say, a c a d e m i c s u c cess i n o u r o w n s o c i e t i e s . C l a s s r e l a t i o n s i n t h e M a r x i s t s e n s e s e e m t o m e t o t h r o w little l i g h t o n t h e P e r u v i a n s t r a t i f i c a t i o n s y s t e m , d e s p i t e t h e fact t h a t i n the course of the process of industrialization they have m o r e relevance. T h e o p p o s i t i o n b e t w e e n capitalists a n d w o r k e r s , i f t h e w o r d s a r e t a k e n a t all p r e c i s e l y , c l e a r l y h a d little i m p o r t a n c e i n c o l o n i a l society. I t b e g a n t o b e felt a t t h e e n d o f t h e n i n e t e e n t h c e n t u r y i n the enclaves f o r m e d by mines a n d tropical s u g a r plantations especially. I t a l s o d e v e l o p e d a little l a t e r i n t h e l a r g e t o w n s a s t h e y b e c a m e a t l e a s t p a r t i a l l y i n d u s t r i a l i z e d a n d t h e class s t r u g g l e m a n i f e s t e d itself i n t h e d e v e l o p m e n t o f s u c h o r g a n i z a t i o n s a s u n i o n s a n d radical political m o v e m e n t s . O f c o u r s e , t h e conflict b e t w e e n p r o l e t a r i a n s a n d c a p i t a l i s t s i s n o t t h e o n l y f o r m o f class s t r u g g l e , a n d i f o n e s u b s t i t u t e s t h e a p p r o p r i a t e f u n c t i o n a l e q u i v a l e n t s f o r t h e s e t e r m s , w h i c h strictly o n l y a p p l y to industrial societies, o n e m a y m e e t with j u s t as m a r k e d a d u a l i s m between t h e " e x p l o i t e d " I n d i a n p e a s a n t a n d the "exploiting" big colonial l a n d o w n e r . B u t b o t h t h e m e t h o d s a n d t h e results o f "exploitation" a r e different in a p r e d o m i n a n t l y a g r a r i a n society from

T h e Peruvian

System o f Stratification

357

t h o s e in an industrial society. W a g e s a n d profit a r e very different f r o m i n c o m e f r o m l a n d . A s t o a c c u m u l a t i o n , its p a c e a n d d y n a m i c s a r e v e r y d i f f e r e n t i n a n i n d u s t r i a l e c o n o m y a n d i n a n e c o n o m y like t h a t o f c o l o n i a l P e r u . T h e r e " c l a s s e s " a r e n o m o r e classes i n t h e E n glish n i n e t e e n t h - c e n t u r y sense t h a n , t o p a r a p h r a s e S p i n o z a , t h e constellation of the D o g is the same as the animal of the same n a m e . M a r x i s t w r i t e r s h a v e s e e n t h i s a n d h a v e t h e r e f o r e t r i e d increasingly to place t h e discussion on t h e p l a n e of i n t e r n a t i o n a l relations, the "center" or " m e t r o p o l i s " (Spain until i n d e p e n d e n c e , t h e n E n g l a n d , a n d f i n a l l y the U n i t e d States) b e i n g s u p p o s e d l y d o m i n a n t b e c a u s e o f its t e c h n i c a l , p o l i t i c a l o r e c o n o m i c s u p e r i o r i t y , a n d t h e periphery m a d e up of the Latin-American countries which provide raw materials a n d a t r a d i n g preserve for the "imperialists" a n d are r e g a r d e d as completely subjected to the "center." B u t t h e " d e p e n d e n c e " o f a c o u n t r y like P e r u o n " w o r l d d o m i n a t i n g c e n t e r s , " h o w e v e r i n d i s p u t a b l e t h a t d e p e n d e n c e m a y . b e , "does n o t suffice t o a c c o u n t f o r its o w n s t r a t i f i c a t i o n s y s t e m , w h i c h i s a m i x t u r e of very h e t e r o g e n e o u s elements strangely c o m b i n i n g great rigidity with g r e a t fluidity. T h a t is w h y t h e c h o l o e m e r g e s as a key c h a r a c t e r . I n fact, h e r e p r e s e n t s t h e e l e m e n t o f m o b i l i t y i n a s y s t e m which n e i t h e r e n c o u r a g e s n o r stresses mobility. T h i s is the central s t r u c t u r a l p r o b l e m i n t h e P e r u v i a n s t r a t i f i c a t i o n s y s t e m . T o clarify s o m e a s p e c t s o f t h i s s i t u a t i o n I s h a l l follow c e r t a i n h i s t o r i a n s i n t r y i n g t o d e s c r i b e h o w t h e p r o b l e m o f m o b i l i t y p r e s e n t s itself t o t h e i n d i g e n o u s p o p u l a t i o n . I shall a l s o t r y t o e x p l a i n w h y , e v e n t h o u g h t h e assigning of roles that a r e n e w because of m o d e r n i z a t i o n has n o t s o far e n a b l e d t h e I n d i a n g r o u p t o attain a u t o n o m y a n d identity, t h e I n d i a n n e v e r t h e l e s s i s t e n d i n g t o b e c o m e a n e s s e n t i a l s y m bol in t h e legitimation system of P e r u v i a n society. It is i m p o r t a n t that w h a t are n o w called ethnic p r o b l e m s should n o t b e c o n f u s e d w i t h racial p r o b l e m s . I t s e e m s t o m e t h a t q u e s t i o n s of ethnicity e m e r g e only in a society in which the value system has already become oriented toward achievement, a n d where barriers b e t w e e n g r o u p s , i f n o t b r o k e n d o w n o r o v e r t u r n e d , h a v e a t least b e e n e r o d e d by a multiplicity of e c o n o m i c a n d n o n e c o n o m i c transactions. T h u s t h e p r o b l e m of ethnicity is a p r o b l e m of so-called "post-racist societies." It is only after a certain n u m b e r of rights

358

Frangois

Bourricaud

have been won, w h e n different "races" are placed u n d e r the same judicial system, that their identity a n d equality can be affirmed, that m e m b e r s of a m i n o r i t y g r o u p c a n be w h a t they a r e a n d assume

the

fullness o f their differences without e n d a n g e r i n g t h e

c o h e s i o n o f t h e l a r g e r g r o u p t o w h i c h t h e y b e l o n g a n d feel a p a r t of.

4

A n a l y z i n g a s t r a t i f i c a t i o n s y s t e m is s u c h a difficult u n d e r t a k i n g t h a t I s h a l l select o n l y s o m e o f its a s p e c t s . A n a n a l y s i s o f stratific a t i o n a i m s a t r e c o n s t r u c t i n g t h e h i e r a r c h y a society e s t a b l i s h e s f o r t h e activities o f its m e m b e r s a n d t h e g r o u p s s p e c i a l i z i n g i n t h e s e a c tivities. A n e s s e n t i a l p o i n t i n a n y s t r a t i f i c a t i o n s y s t e m links t h e h i e r a r c h y a s i t is, o r a s i t i s c o n c e i v e d o f b y t h e d i f f e r e n t g r o u p s , w i t h t h e h i e r a r c h y as it w o u l d be if it c o n f o r m e d to the ideal p r e s c r i b e d by c o m m o n l y held values. T h i s tension is particularly noticeable at t h e level o f t h e s y m b o l i c s y s t e m : i t c a n b e d e t e c t e d i n t h e i m a g e s a s o c i e t y p u t s f o r w a r d o f itself o r t h e m o t i v e s i t i n c u l c a t e s i n its m e m b e r s . W h a t I shall try to s h o w is that n e i t h e r t h e mestizo n o r t h e Ind i a n p r o v i d e a d e q u a t e i m a g e s f o r t h e P e r u v i a n t o d a y , a t least i n s o f a r a s h e i s t r y i n g t o d e f i n e his r e l a t i o n s h i p n o t w i t h a p a r t i c u l a r g r o u p , for e x a m p l e , a c o m u n i d a d , b u t with the whole of P e r u v i a n s o c i e t y in all its activities a n d on all its levels. A c c o r d i n g t o a n i m a g e w h i c h l o n g h e l d sway, c o l o n i a l s o c i e t y ( a n d t h e s i t u a t i o n c h a n g e d o n l y v e r y slowly i n t h e n i n e t e e n t h c e n t u r y , l o n g a f t e r i n d e p e n d e n c e ) w a s s t r a t i f i e d a t f o u r levels:

the

hacienda, t h e c o m u n i d a d , t h e royal administration controlled by Creoles a n d S p a n i a r d s , a n d t h e o c c u p a t i o n s r e s e r v e d f o r m e s t i z o s ( a r t e s y oficios m a i n l y ) . T h e h a c i e n d a , f r e q u e n t l y d e p i c t e d a s t h e transplantation

to America of a m o d e l of agrarian organization

which d e v e l o p e d in Spain at the e n d of the Middle Ages a n d d u r i n g t h e p e r i o d o f t h e r e c o n q u e s t o f t h e M o o r s , was c o m m o n l y p r e sented as a device for m a k i n g the native laborer work a n d b i n d i n g him to the land—in o t h e r words, for exploiting him. T h e Indians were t h u s t r a n s f o r m e d into serfs. G e n e r a t i o n after g e n e r a t i o n they s l a v e d a w a y , u s i n g t h e m o s t f e e b l e t e c h n i q u e s , a t t h e p o o r soil o f t h e p a t c h e s o f l a n d g r a n t e d t h e m by t h e 4.

hacendado

in e x c h a n g e f o r

T a l c o t t P a r s o n s , " F u l l C i t i z e n s h i p f o r t h e N e g r o A m e r i c a n ? " i n Sociological

Tlieory and Modern Society ( N e w Y o r k , T h e F r e e P r e s s , 1 9 6 7 ) , p p . 4 2 2 - 4 6 6 .

The

Peruvian

System o f Stratification

359

labor for which he p a i d no m o n e y . Scarcely able to survive at best, often in debt, they w o u l d h a v e b e e n u n a b l e to save, to b e c o m e o w n e r s o f l a n d , t o set u p o n t h e i r o w n a c c o u n t e v e n i f t h e y h a d n o t b e e n b a r r e d f r o m d o i n g s o b y l e g a l r e s t r i c t i o n s . T h o s e w h o left t h e h a c i e n d a only did so u n d e r d u r e s s , evicted by the master, w h o m i g h t wish to r e d u c e the a m o u n t of land g r a n t e d to the I n d i a n s so that he could exploit it directly himself—more "economically," by planting "profitable" crops. Or it might h a p p e n that certain hoth e a d s , with a g r u d g e against t h e law or t h e a d m i n i s t r a t i o n of t h e hacienda,

found

brigands

(bandoleros),

themselves obliged

condemned

t o swell t h e

to

be

vagabonds

or

groups of irregulars.

T h e p a r t o f t h e i n d i g e n o u s p o p u l a t i o n w h i c h lived o u t s i d e t h e c o n t r o l o f the h a c i e n d a lived i n c o m m u n i t i e s w h i c h h a d b e e n est a b l i s h e d b y t h e " t u t e l a r v Jeo-islation" o f t h e c r o w n

T h e real n a t u r e

of the c o m u n i d a d is o b s c u r e d by a twofold idealization. T h e "indigenists"

and

the

hispanisantes,

self-appointed

defenders

of S p a n -

ish c o l o n i a l r u l e , h a v e e a c h d e s c r i b e d it, b u t b o t h a c c o u n t s a r e u n acceptable to p r e s e n t - d a y historians. S o m e h a v e pictured it as a survival o f p r e - C o l u m b i a n a g r a r i a n organization. C o m m o n o w n e r s h i p o f land was c o n f i r m e d b y S p a n i s h a u t h o r i t y , a n d s e r v e d t o " r e d u c e " a n d r e g r o u p t h e n a t i v e p o p u l a t i o n i n easily s u p e r v i s e d villages ( h e n c e t h e n a m e

reducciones

as a p p l i e d t o t h e s e I n d i a n vil-

lages). It was t h o u g h t by Viceroy T o l e d o a n d his successors t h a t t h e comunidad

would

assure

Indian

comuneros

of a

minimum

of sub-

sistence, a n d a balance between n e e d s a n d resources would be ensured by a periodical redistribution of land. In the early days of c o n q u e s t the fields of t h e c o m m u n i t i e s w e r e available to t h e g r e e d o f S p a n i a r d s a n d Creoles, b u t t h e c o l o n i a l a d m i n i s t r a t i o n c r e a t e d what a m o u n t e d to "reserves" or ghettoes w h e r e native traditions could survive. T h e preservation of the pre-Hispanic cultural m o d e l i n t h e c o m u n i d a d has called forth s o m e very a m b i g u o u s c o m m e n t s . M a r i a t e g u i , for e x a m p l e , sees t h e c o m u n i d a d , as constituted by t h e p r o t e c t i v e laws o f V i c e r o y T o l e d o , a s a k i n d o f a b u s e o f I n c a t r a d i tion which enabled the c o n q u e r o r s to c o m p l e t e their d o m i n a t i o n of the vanquished Indians.

5

H o w e v e r , c o n s e r v a t i v e w r i t e r s like J o s e

5. J o s e C a r l o s M a r i a t e g u i , Siete Ensayos de interpretation de la realidad peruana (Lima, Biblioteca "Amauta," 1928).

360

Frangois

Bourricaud

L u i s d e l a Riva A g u e r o a n d V i c t o r A n d r e s B e l a u n d e e x p a t i a t e o n t h e s o l i c i t u d e o f t h e c o l o n i a l a d m i n i s t r a t i o n , w h i c h t r i e d t o limit t h e e n c r o a c h m e n t s o f t h e encomenderos a n d l a t e r t h e h a c e n d a d o s o n t h e rights of the crown, a n d to p u t a stop to the violence they committed against the persons and property of the Indians. T h e p e n i n s u l a r S p a n i a r d s a n d Creoles—or t h e i r d e s c e n d a n t s — h e l d most of the positions of power in the economic, administrative, a n d religious fields. B u t according to the i n t e r p r e t a tion which the early twentieth-century conservatives, in particular Riva A g u e r o , tried to p o p u l a r i z e , colonial d o m i n a t i o n was justified by t h e g o o d use to which the kings of Spain p u t their p o w e r for the benefit of the native people in their c h a r g e . " D u r i n g the colonial p e r i o d , " w r i t e s Riva A g u e r o , " o u r p e o p l e h a d t h e a d v a n t a g e o f a p a t e r n a l t u t e l a g e d u r i n g its m i n o r i t y . T h e r e was n o q u e s t i o n o f s u b j e c t i o n t o a f o r e i g n p o w e r . " T h e w o r d Riva A g u e r o u s e s f o r t h e r e l a t i o n s b e t w e e n Creoles a n d I n d i a n s is amparo, w h i c h is n e i t h e r e x a c t l y t h e F r e n c h tutelle n o r t h e E n g l i s h t r u s t e e s h i p , b u t which, as applied to the Indians, has a connotation that partakes of both. A m p a r o is protection, but in a m u c h wider sense t h a n that e x e r c i s e d b y a t u t o r o v e r his p u p i l . W h e r e i t d i f f e r s f r o m t r u s t e e ship is that the person affording protection, even t h o u g h he does so in a disinterested, benevolent, or even philanthropic m a n n e r , d o e s not have to account for himself to the p e r s o n he has t a k e n u n d e r his w i n g . 6

W h i l e h i s t o r i a n s m a y b e p r e p a r e d t o listen t o t h e e x p l a n a t i o n s o f colonial tutelage which the Peruvian conservatives seek to p r o p o s e , sociologists a r e likely t o b e m o r e w a r y . T h e t u t o r c o m m i t t e d c o u n t less sins, b u t t h e i m a g e o f t u t e l a g e , s u s p e c t t h o u g h i t m a y b e , i s i n f o r m a t i v e a b o u t a n a t t i t u d e w h i c h still c o n t a m i n a t e s r e l a t i o n s b e t w e e n Creoles a n d m e s t i z o s o n t h e o n e h a n d a n d I n d i a n s o n t h e o t h e r : p a t e r n a l i s m h a s l o n g b e e n , a n d still is, o n e o f t h e p a r a m o u n t v a l u e s i n P e r u v i a n society. A t first r e a d i n g , Riva A g u e r o ' s t e x t might seem to be a eulogy of Viceroy Toledo's (and others') colonial policies f r o m 1 5 7 0 o n . T h e a u t h o r m a k e s n o r e f e r e n c e t o F r a y B a r t o l o m e o de Las Casas a n d the c a m p a i g n of that g r e a t D o m i n i 6 . J o s e d e l a R i v a A g u e r o , Paisajes peruanos, 2 n d e d . w i t h a n i n t r o d u c t i o n b y Raul Porras B a r r a n e c h e a (Lima, I m p r e n t a Santa Maria, 1955).

T h e Peruvian

System o f Stratification

361

can against the crimes a n d abuses of the early c o n q u e r o r s , but it is i n s t r u c t i v e t o c o m p a r e Riva A g u e r o ' s e f f u s i o n s o n t h e civilizing mission of t h e S p a n i s h c r o w n with the i n f o r m a t i o n p r o v i d e d by Las Casas. In spite of t h e d i f f e r e n c e s in t h e two points of view, t h e r e are certain c o m m o n elements. A s M a r c e l B a t a i l l o n h a s v e r y c o n v i n c i n g l y s h o w n , Las C a s a s ' c a m p a i g n o n b e h a l f o f t h e I n d i a n s was n o t only d i r e c t e d against t h e e n c o m e n d e r o s , t h e r e p r e s e n t a t i v e o f t h e c r o w n . H e t o o k his a p peal against the Spaniards to the king of Spain, against the conq u e r o r s to the crown. In the early years of the colony the original c o m p a n i o n s of Francisco Pizarro h a d been given the right to divide l a n d a n d p e o p l e s a m o n g t h e m as a r e w a r d for their services. T h e two m e c h a n i s m s of this delegation of t h e p o w e r of t h e k i n g of Spain were repartimiento a n d encomienda. Repartimiento put a n u m b e r of Indians at the Spanish conqueror's disposal. Enc o m i e n d a gave h i m various rights to t h e labor a n d services of the n a t i v e s a t his d i s p o s a l , w h o m t h e e n c o m e n d e r o was also s u p p o s e d to convert to Christianity. T h e r e is no need to enter into the abstruse discussions which have grown up over the rights accorded to the c o n q u e r o r s (were these rights transmissible by inheritance, w e r e they p e r s o n a l or real?), but the abuses they e n c o u r a g e d soon b e c a m e s h o c k i n g , a n d a p a s s i o n a t e d e b a t e a r o s e , w i t h t h e fate o f t h e I n d i a n s as t h e m o s t obvious t h e m e . But by calling into q u e s t i o n the privileges of the e n c o m e n d e r o s a n d m o r e generally the status of the S p a n i a r d s in America, the discussion involved t h e duties of t h e S p a n i s h c r o w n t o w a r d its n e w s u b j e c t s (his C a t h o l i c Majesty p r e t e n d e d that in P e r u he exercised the sovereignty formerly wielded by the Inca kings), a n d ultimately the prerogatives of the c h u r c h , w h o s e t a s k i t w a s t o p r o t e c t t h e I n d i a n s a g a i n s t t h e violence d o n e t h e m by the c o n q u e r o r s . 7

Las Casas' attack against the institution of e n c o m i e n d a is c h a r a c terized by the note of an ambiguous paternalism which has persisted i n P e r u v i a n t r a d i t i o n . " I f Y o u r M a j e s t y g a v e t h e I n d i a n s i n vassalage to t h e S p a n i a r d s , or gave the latter any authority or superiority o v e r t h e natives . . . these s a m e S p a n i a r d s would very soon 7.

M a r c e l B a t a i l l o n a n d A n d r e S a i n t L u , Las Casus et la defense des lndiens ( P a r i s ,

Julliard,

1971).

362

Frangois

Bourricaud

b e c o m e m o r e i n d e p e n d e n t , less s u b m i s s i v e a n d less d o c i l e t o w a r d s Y o u r M a j e s t y a n d his R o y a l J u s t i c e . " Las C a s a s r e f e r s v e r y c l e a r l y t o t h e f e u d a l t h r e a t , w h i c h w a s m o r e o r less c o n t a i n e d d u r i n g t h e colonial p e r i o d b u t r e a p p e a r e d particularly strongly at the time of i n d e p e n d e n c e . T h e "feudal lords" o f the colonial p e r i o d were rep l a c e d by gamonales a n d caciques. I n t h e e a r l y d a y s o f t h e R e p u b l i can era, the great landed proprietors of the Sierra t e n d e d to bec o m e r e a l l o r d s a n d m a s t e r s o v e r vast a r e a s — e s p e c i a l l y w h e n t h e l a n d w a s r e m o t e a n d i n a c c e s s i b l e . T h e officials w e r e o f t e n t h e i r o w n masters. In their haciendas they kept up forces of a r m e d m e n , a n d t h e a u t h o r i t y o f t h e s t a t e was a l m o s t n o n e x i s t e n t . C o n f l i c t b e t w e e n t h e p o w e r o f t h e s t a t e — o r w h a t w a s left o f i t — a n d t h e " f e u dal l o r d s " of the i n t e r i o r was inevitable w h e n e v e r t h e state tried to i n t e r f e r e i n w h a t t h e g a m o n a l e s c o n s i d e r e d w a s n o t its b u s i n e s s : protection of the Indians, "progressive" measures in education, a n d labor legislation. T h e Republican state of the n i n e t e e n t h c e n t u r y tried to r e m i n d t h e g a m o n a l e s w h a t t h e c o l o n i a l a d m i n i s t r a t i o n h a d t r i e d t o tell t h e colonial lords: p o w e r over the Indians had to be exercised accordi n g to certain p r o c e d u r e s a n d t o w a r d c e r t a i n goals t h a t it was t h e right of the administration to d e t e r m i n e . T h e s a m e values that obtained between Spaniards were to obtain between Spaniards and I n d i a n s : t h e I n d i a n s , since t h e y w e r e s u p p o s e d t o b e C h r i s t i a n s , w e r e also t h e r e f o r e m e n . "All t h e i n h a b i t a n t s , " w r o t e Las C a s a s , "all the p e o p l e s of this n e w w o r l d are free." N o t c o n t e n t with i n v o k i n g t h e l i b e r t y i n v o l v e d in t h e jus gentium, L a s C a s a s a d d e d a n o t h e r s t r a n g e a r g u m e n t w h i c h f o r e s h a d o w e d t h e c h a m p i o n s o f t h e social contract: " T h e y are m o r e free t h a n o t h e r peoples because of particular r e a s o n s o p e r a t i n g in their favour, for t h e Kings of Castile h a d no right over t h e m a n d they belong to t h e m neither by inheritance, p u r c h a s e , e x c h a n g e , n o r as t h e result of victory in a j u s t w a r . " S o t h e I n d i a n s c o u l d n o t just b e h a n d e d o v e r b y t h e c r o w n t o the e n c o m e n d e r o s . T h e y h a d natural rights, in particular the freed o m to dispose of themselves, to move about and to own property, a n d t h e c r o w n h a d t o see t h a t t h e s e f u n d a m e n t a l r i g h t s w e r e r e spected. U n d e r s t o o d literally, Las C a s a s ' t e x t i s a s strictly liberal a s t h e

The

P e r u v i a n System o f Stratification

363

proclamations of the Libertadores: no power may be exercised o v e r a n y o n e , still less o v e r t h e I n d i a n s , b u t t h a t o f t h e l a w — a law c o m m o n t o a l l — a n d i n c o n f o r m i t y w i t h n a t u r a l law. T h i s r e q u i r e m e n t was n e v e r m e t d u r i n g the colonial period, even by t h e "tutelary" legislation of Viceroy T o l e d o , whose m a i n p r o b l e m was to imp o s e o r d e r i n t h e vast t e r r i t o r y e n t r u s t e d t o h i m . F o r this p u r p o s e , t h e I n d i a n s r e m a i n e d s u b j e c t t o a s p e c i a l law. A s K a r e n S p a l d i n g says, S p a n i s h l a w s d e f i n e d t h e I n d i a n i n r a c i a l o r r a t h e r q u a s i - r a c i a l t e r m s . In colonial Peru, individuals so designated f o r m e d a separate estate at o n c e discriminated against a n d protected by distinctive laws a n d r u l e s . A m o n g t h e f o r m s o f d i s c r i m i n a t i o n o f w h i c h I n d i a n s w e r e v i c t i m a r e t h e limits set o n t h e i r f r e e d o m t o e n t e r i n t o c o n t r a c t s : f o r e x a m p l e , a m o n g o t h e r s , t h e i r r i g h t t o b u y o r sell, which, in c o n n e c t i o n with c o m m u n a l p r o p e r t y , could only be e x e r cised u n d e r t h e s u p e r v i s i o n o f t h e a d m i n i s t r a t i v e a u t h o r i t y . T h e r e w e r e o t h e r r e s t r i c t i o n s r e l a t i n g t o t h e i r ability t o g o t o law: t h e i r e v i d e n c e d i d n o t ipso facto carry t h e s a m e w e i g h t as t h a t of a S p a n i a r d . I n s o m e c a s e s I n d i a n s w e r e n o t fully a d m i t t e d t o t h e s a c r a m e n t s o f t h e Catholic c h u r c h . Last a n d p e r h a p s w o r s t — a n d this k i n d o f d i s c r i m i n a t i o n was n o t c o m p l e t e l y a b o l i s h e d u n t i l l o n g after i n d e p e n d e n c e — I n d i a n s h a d to pay a personal h e a d tax. K a r e n S p a l d i n g lists t h e v a r i o u s r e s t r i c t i o n s , a n d t h e t h e m e c l e a r l y r u n n i n g t h r o u g h all o f t h e m i s t h a t o f m i n o r i t y . I t i s b e c a u s e t h e I n d i a n was a c h i l d t h a t his e v i d e n c e w a s o n l y o f l i m i t e d v a l i d i t y , t h a t h e c o u l d n o t d i s p o s e o f his p r o p e r t y a s h e p l e a s e d , a n d t h a t h e w a s n o t a l l o w e d t o a p p r o a c h all t h e s a c r a m e n t s . F o r t h a t r e a s o n too, the Indian had to be protected against the exploitation of the g r e e d y encon'l'endero. But because o f his intrinsic w e a k n e s s , h e h a d also t o b e t a k e n c a r e o f a s a c h i l d u n d e r t h e w i n g o f his p a r e n t s . 8

T h e I n d i a n ' s d i m i n i s h e d status was s u p p o s e d to be c o m p e n s a t e d for by the protection offered by the king's administration. T h e r i g h t t o a m p a r o , b a s e d o n t h e p r e c e p t s o f n a t u r a l law, c o u l d h a v e f o r m e d t h e basis o f a k i n d o f u n i v e r s a l i s m (all t h e s u b j e c t s o f t h e C a t h o l i c k i n g a r e e q u a l s , a t least i n r e g a r d t o c e r t a i n f u n 8.

Karen S p a l d i n g , "Social Climbers: C h a n g i n g Patterns o f Mobility a m o n g t h e

I n d i a n s o f C o l o n i a l P e r u , " Hispanic American Historic Review 5 0 ( N o v e m b e r 645-664.

1970),

364

Frangois

Bourricaud

d a m e n t a l rights). But the a m p a r o was long interpreted as an extens i o n o f t h e t u t e l a g e o f t h e S p a n i a r d a n d t h e Creole o v e r t h e I n d i a n . T r u e , t h e s u b o r d i n a t i o n of t h e I n d i a n was to be r e p l a c e d in s o m e v a g u e f u t u r e b y a m o r e s a t i s f a c t o r y s t a t e o f affairs i n w h i c h , a t t h e e n d o f t h e minoria protegida, t h e n a t i v e w o u l d b e c o m e a f u l l - f l e d g e d P e r u v i a n . T h i s p r o s p e c t is r e f e r r e d to by Riva A g u e r o , b u t it finds its m o s t p e r f e c t e x p r e s s i o n i n t h e e u l o g y o f t h e m e s t i z o ( n o t t h e c h o l o , o f c o u r s e ) , i n w h o m m a n y c o n s e r v a t i v e s h a v e s e e n t h e legiti m i z a t i o n o f Creole p o w e r . A c c o r d i n g t o R i v a A g u e r o o n t h e c o l o n i a l p e r i o d , " t h e t h r e e civilizing c e n t u r i e s p a r e x c e l l e n c e " m a d e way for the formation in P e r u of a national synthesis. " D u r i n g the l o n g p e a c e f u l c o l o n i a l g e s t a t i o n , o u r u n i t y w a s silently b r o u g h t i n t o b e i n g , t h e e f f e c t o f t h e c o e x i s t e n c e (convivencia) a n d m i x t u r e o f blood." T h e two t e r m s coexistence a n d m i x t u r e of blood (or physical crossing of breeds) a r e n o t necessarily s y n o n y m o u s . T h e y can stand f o r t w o i r r e c o n c i l a b l e a t t i t u d e s : o n t h e o n e h a n d m i x t u r e a n d fusion, on the o t h e r separation a n d isolation. Convivencia can be u n d e r s t o o d as a sort of ecological j u x t a p o s i t i o n , with a m i n i m u m of e x c h a n g e s t o r e s t r i c t conflict b e t w e e n t h e t w o g r o u p s . W h a t I h a v e d e p i c t e d as T o l e d o ' s policy, the c o n c e n t r a t i o n of a fraction of t h e i n d i g e n o u s p o p u l a t i o n in comparatively small but r e m o t e areas, w h e r e it was placed u n d e r t h e p r o t e c t i o n of t h e c r o w n , is a policy of juxtaposition without mixture. In short, convivencia separates the Indian world from the Spanish world; on the o n e h a n d the c o m u n i d a d , o n t h e o t h e r t h e h a c i e n d a . B u t t h e logic o f s e p a r a t i o n c o u l d n o t b e c a r r i e d too far w i t h o u t c o n t r a d i c t i n g t h e S p a n i s h colon i a l a i m , n o t o n l y t h a t o f t h e c o n q u e r o r s b u t also t h a t o f t h e c r o w n . T h e c o n q u e r o r s did not c o m e t o A m e r i c a for charitable p u r p o s e s ; t h e y c a m e t o s e e k l a n d , g o l d a n d silver. T o g e t t h e m i n e r a l s t h e y wanted they n e e d e d labor. O n c e the first very c r u d e phase of confrontation b e t w e e n the two p o p u l a t i o n s was past, the m i x t u r e b e g a n , b u t i t d i d n o t t a k e p l a c e o n a f a i r a n d e q u a l basis. M o r e o v e r , the colonial a d m i n i s t r a t i o n i n t e r v e n e d , n o t in the role of a j u s t arbiter, but as the representative of the interests of an external p o w e r a n d sovereignty. P e r u v i a n stratification, as depicted d u r i n g t h e colonial p e r i o d by

The

Peruvian

System o f Stratification

365

official i d e o l o g y , a n d s i n c e i n d e p e n d e n c e b y c o n s e r v a t i v e s , i s a v e r y r i g i d h i e r a r c h y i n w h i c h t h e Creole i s a t t h e t o p , his p o s i t i o n e x p l a i n e d i f n o t j u s t i f i e d b y t h e fact t h a t h e i s t h e r e p o s i t o r y o f h i g h e r values which a r e Christian, Spanish, a n d western; but the mestizo, in some undefined

future,

is

supposed to

take over f r o m the

Creole, a f t e r a l o n g a n d p r u d e n t e d u c a t i o n b y t h e t u t e l a r y a u t h o r i ties. O n e c o n d i t i o n w a s a t t a c h e d t o this " s e l f - l i q u i d a t i n g m e c h a nism":

the ideal

m e s t i z o , like t h e f a m o u s

Don Joaquim

Lopez

A n t a y o f w h o m A r g u e d a s speaks, a n d w h o was n e i t h e r I n d i a n n o r S p a n i s h , m u s t not b e a c h o l o . Riva A g u e r o s h o w s c l e a r l y t h e c h a r a c teristics which o u g h t t o b e p r e s e r v e d i n t h e "raza i n d i g e n e , n u e s t r a companera

indisoluble":

frugality,

tenacity,

submissiveness—all

t h e s e b e i n g v i r t u e s a r i s i n g f r o m t h e social c o n d i t i o n o f t h e I n d i a n , w h o is a n d m u s t r e m a i n a p e a s a n t a n d a s o l d i e r . T h e s e v i r t u e s , e v e n if their s o u r c e is really A n d e a n , have their equivalent in t h e hispanic tradition. T h e I n d i a n is e x p e c t e d to r e m a i n a p e a s a n t , possibly an a r t i s a n , c o n n e c t e d w i t h o c c u p a t i o n s w h i c h give h i m a d e f i n i t e p l a c e i n t h e stratification system. T h e most serious obstacle to a real fusion of r a c e s a n d c u l t u r e s ( t h a t is, o n e t h a t w o u l d b e slow, p e a c e f u l , a n d irreversible)

was

that

they

might

be

too

quickly

and

suddenly

m e r g e d . A c c o r d i n g to t h e conservatives the thirst for gold, w h e t h e r i n t h e f o r m o f t h e "vile m e t a l " o r o f t h e p h y s i c a l s a t i s f a c t i o n i t c a n buy, was primarily responsible for the worst inequities of early colonialism. It was t h e s a m e g r e e d ("the s a m e s o r d i d P h o e n i c i a n e g o i s m " ) w h i c h i n t h e n i n e t e e n t h c e n t u r y led t h e c o a s t a l o l i g a r c h y , the pseudo-creoles, who had

f o r g o t t e n t h e wise c o u n s e l s o f t h e

Spanish administration a n d the Christian church, to t u r n away f r o m t h e " d e e p P e r u " o f t h e S i e r r a a n d risk all o n t h e e x p l o i t a t i o n o f e x p o r t a b l e r a w m a t e r i a l s like g u a n o , c o t t o n , s u g a r , a n d m i n e r a l ores.

9

T h e i m m o b i l e s o c i e t y Riva A g u e r o d r e a m s o f i s n o t m e r e l y a n ideological p r o j e c t i o n " w h i c h objectively serves the interests of t h e r u l i n g class." I t i s a m o d e l w h i c h c e r t a i n l y i n s p i r e d t h e m o s t e n lightened of t h e big Peruvian l a n d o w n e r s as an ideal, especially 9.

Riva Aguero,

Paisajes peruanos,

p. 118.

366

Frangois

toward the e n d of the eighteenth century.

1 0

Bourricaud

It seems that at any

critical m o m e n t P e r u v i a n society t e n d s t o r e t u r n t o this k i n d o f o r g a n i z a t i o n a s i f b y s o m e s o r t o f r e f l e x . B u t this m o d e l , d r e a m e d o f b y t h e m o s t e n l i g h t e n e d o f t h e S p a n i s h officials o f t h e T o l e d a n p e r i o d a n d reconstructed nearly four centuries later by the Peruvian conservatives, has always m e t with p r o f o u n d a n d persistent resistance. Despite the various kinds of discrimination to which they were subject, the I n d i a n s h a d m a n y o p p o r t u n i t i e s t o e m e r g e f r o m their condition. K a r e n S p a l d i n g deserves great credit for calling attent i o n t o t h e "social c l i m b e r s " a m o n g t h e i n d i g e n o u s p o p u l a t i o n , b u t she may be mistaken in applying without modification, in the analysis of a c u l t u r a l l y h e t e r o g e n e o u s society, a c o n c e p t of social m o b i l ity o n l y valid in t h e f r a m e w o r k of a society w h e r e c o m p e t i t i o n is g o v e r n e d by criteria at o n c e individualistic a n d universalist.

In

P e r u t h e mobility of the i n d i g e n o u s p o p u l a t i o n that took place is only c o m p r e h e n s i b l e if o n e realizes the e x t e n t of t h e i n t e r p e n e t r a t i o n b e t w e e n t h e Creole a n d S p a n i s h s e c t o r s o n t h e o n e h a n d a n d the I n d i a n sector on the other. First, n o t e v e r y t h i n g I n d i a n w a s r e l e g a t e d t o t h e b a s e o f t h e c o l o nial h i e r a r c h y . T h e S p a n i s h a d m i n i s t r a t i o n c o n f i r m e d , i n t h e earlyd a y s o f t h e c o l o n i a l r u l e , t h e p o w e r o f t h e Caracas, t h e I n c a n o b i l i t y w h o s e c o l l a b o r a t i o n i t n e e d e d . T h e I n c a officials w h o e n t e r e d t h e service of the S p a n i s h c r o w n f o u n d themselves subjected to t h e c o n q u e r o r s ' a d m i n i s t r a t i o n , a n d like all t h e o t h e r I n d i a n s t h e y h a d t o p a y t r i b u t e — b u t i n t h e i r c a s e i t was l i g h t e r , a n d t h e o t h e r n a t i v e s still h a d t o p a y t h e m c e r t a i n d u e s , a s i n t h e d a y s o f t h e I n c a s . S o they were part of the new power, b u t in a mediate a n d s u b o r d i n a t e p o s i t i o n . S o m e o f t h e m , like F r a n c i s c o C h i l c h e , t h e c u r a c a o f t h e Y u c a y valley, e v e n m a n a g e d t o g e t h o l d o f vast e s t a t e s , e s p e c i a l l y immediately after the f o u n d i n g of the colony.

1 1

M o r e i m p o r t a n t f o r t h e f u t u r e o f P e r u v i a n society t h a n t h e " I n c a nobility," w h o s e privileges w e r e recognized a n d c o n f i r m e d , was t h e group

of native

worthies

continually

renewed

throughout

the

1 0 . J e a n P i e l , " T e r r e , a g r i c u l t u r e e t s o c i e t e a u P e r o u , " v o l . 1 , pt. 1 . c h a p . 3 , u n published thesis. 1 1 . N a t h a n W a c h t e l , L a Vision des vaincus ( P a r i s . G a l l i m a r d , 1 9 7 1 ) , p p . 1 8 9 ff.

T h e Peruvian System of Stratification

367

Spanish administration a n d after i n d e p e n d e n c e . T h e famous rebel Gabriel C o n d o r c a n g u i , k n o w n a s T u p a c A m a r u , was o n e o f t h e m , a l t h o u g h h e h a d few i m i t a t o r s a n d f o l l o w e r s a m o n g t h e I n d i a n s o f his r a n k . D u r i n g t h e g r e a t p e r i o d s o f n a t i v e u n r e s t a t t h e e n d o f the e i g h t e e n t h century, these curacas or caciques r e m a i n e d for the m o s t p a r t loyal t o t h e c r o w n . R i c h , w i t h l a r g e i n c o m e s , t h e y o f t e n o w n e d v e r y b i g e s t a t e s w h i c h t h e y r a n a l m o s t like C r e o l e h a c i e n d a s . " T h e curaca C h o q u e h u a n c a , w h o sided with the Spanish administration against T u p a c A m a r u , o w n e d sixteen l a n d e d estates in t h e Puno area and three haciendas near Anzagaro." What emerges

from

t h e cases

of both

1 2

Chilche a n d C h o q u e -

h u a n c a is that the wealth of the caciques, in the eighteenth as in the s i x t e e n t h c e n t u r y , d e r i v e d f r o m t h e p o w e r t h e y e x e r t e d a s d e l e g a t e s o f t h e c o l o n i a l a d m i n i s t r a t i o n . T h e y h e l p e d S p a n i s h officials in collecting the "tribute," a n d recruiting I n d i a n s to work in the m i n e s o r in t e x t i l e f a c t o r i e s

(obrajes).

T h e y also r e c e i v e d o n t h e i r

o w n a c c o u n t a n u m b e r of d u e s in kind a n d free services. T h e q u e s tion r e m a i n s how far they w e r e recognized as completely equal by t h e Creoles. T w o c r i t e r i a a r e e s p e c i a l l y i m p o r t a n t h e r e . F i r s t w e n e e d to k n o w w h a t c h a n c e a c u r a c a h a d of m a r r y i n g into the caste o f Creoles o r S p a n i a r d s . A few w e l l - k n o w n e x a m p l e s like t h a t o f t h e I n c a G a r c i l a s o d e l a V e g a a r e n o t e n o u g h f o r u s t o say t h a t c r o s s b r e e d i n g w i t h t h e r u l i n g classes w a s a r e g u l a r p r a c t i c e . W e a l s o h a v e t o a s k w h e t h e r t h e h i g h e s t offices a n d h o n o r s i n t h e c o l o n i a l a d m i n i s t r a t i o n w e r e as accessible to t h e families of c u r a c a s as to those of h a c e n d a d o s of p u r e Spanish origin. It a p p e a r s that the ind i g e n o u s n o b i l i t y w e r e l i m i t e d t o t h e m i d d l e levels o f t h e a d m i n i s trative hierarchy—confined, so to speak, to positions which, while g i v i n g t h e m local b a s e s o f p o w e r a n d w e a l t h , w e r e d e f i n i t e l y s u b o r dinate. F r o m 1570 o n , u n d e r T o l e d o , t h e sons of curacas a t t e n d e d special schools w h i c h p r e p a r e d t h e m for a d m i n i s t r a t i v e r e s p o n s i bility. T h e y w e r e t a u g h t S p a n i s h ; t h e c u r a c a s , w h o w e r e g e n e r a l l y b i l i n g u a l , c o u l d r e a d a n d w r i t e ( o r a t least s i g n t h e i r n a m e s in) Spanish. D u r i n g t h e s e v e n t e e n t h a n d e i g h t e e n t h centuries this p r o cess

of

castellanizacion

continued,

but

the

numbers

12. J e a n P i e l , " T e r r e , a g r i c u l t u r e e t s o c i e t e a n P e r o u . "

concerned

re-

368

Frangois

Bourricaud

m a i n e d few, a n d t h o s e w h o b e n e f i t e d f r o m i t g a i n e d o n l y a l i m i t e d e d u c a t i o n w h i c h c o u l d n o t e n d a n g e r t h e Creoles' a n d a b o v e all t h e Spaniards' monopoly of the highest administrative posts. 1 3

T h u s the position o f the i n d i g e n o u s notables was m a r k e d l y l o w e r t h a n t h a t o f S p a n i s h a n d Creole n o t a b l e s . B u t , K a r e n S p a l d i n g a d d s , "A r a g g e d S p a n i s h or a mestizo b e g g a r was p r o b a b l y conside r e d b y o t h e r m e m b e r s o f S p a n i s h society t o h a v e lower status t h a n a wealthy I n d i a n artisan or noble." A n d again, "Many a m o n g the I n d i a n colonial nobility enjoyed an e c o n o m i c position far a b o v e that of m a n y Spaniards t h r o u g h the wealth and lands that they claimed by virtue of their descent from the pre-Conquest elite". T h e curacas h a d also acquired certain cultural symbols which assimil a t e d t h e m t o t h e r u l i n g classes o f c o l o n i a l society. " T h e y a n d t h e i r w o m e n w o r e E u r o p e a n r a t h e r t h a n I n d i a n style c l o t h i n g . T h e y p a r t i c i p a t e d fully i n t h e E u r o p e a n m o n e y e c o n o m y . . . T h e y spent their money on expensive luxury clothing or jewellery, a n d even invested in the same prestige items as their Spanish contemporaries." 1 4

T h i s i n t e r p e n e t r a t i o n b e t w e e n i n d i g e n o u s a n d Creole g r o u p s d i d n o t t a k e p l a c e o n l y a t t h e t o p o f c o l o n i a l society. I t o c c u r r e d also a t t h e b o t t o m , which was r a t h e r m o r e i m p o r t a n t , b e c a u s e o f t h e n u m b e r s i n v o l v e d . First, t h e c o m u n i d a d , w h i c h i n t h e t h i n k i n g of the Spanish colonial administrators was to be a world apart, was i n v a d e d f r o m w i t h i n b y a n u m b e r o f Creoles o r S p a n i a r d s r e p r e s e n t i n g t h e a d m i n i s t r a t i v e a u t h o r i t y . T h e corregidor—a k i n d o f officer f o r n a t i v e a f f a i r s — a n d t h e alcalde—who r e p r e s e n t e d h i m a t t h e level o f t h e n a t i v e v i l l a g e — w e r e a s s i s t e d n o t o n l y b y t h e c u r a c a s b u t also b y a v a r i e t y o f n a t i v e officials o f l e s s e r r a n k . V i c e r o y T o l e d o d e c r e e d t h a t i n e v e r y I n d i a n village t h a t w a s t h e c h i e f t o w n o f o n e of the new administrative areas (repartimiento), a council (cabildo) s h o u l d b e a p p o i n t e d . A t t h e b e g i n n i n g o f t h e s e v e n t e e n t h c e n t u r y this r u l e w a s e x t e n d e d t o s m a l l e r p l a c e s . T h e s e " s m a l l notables," unlike the curacas w h o d a t e d f r o m t h e days of the Incas, owed their dignity to the colonial administration. B u t they s h a r e d 1 3 . S e e P i e r r e D u v i o l s , La Lutte contre lei religions autochtones dans le Perou contemporain ( L i m a , I . F . E . A . , 1 9 7 1 ) , p p . 2 6 3 - 2 7 0 . 14. K a r e n S p a l d i n g , "Social C l i m b e r s , " p . 6 4 9 .

T h e Peruvian

System o f Stratification

369

s o m e privileges with t h e curacas, such as e x e m p t i o n f r o m t r i b u t e a n d t h e right to certain free services. Close to t h e m in status, a n d w i t h t h e s a m e p r i v i l e g e s , w e r e t h e lay I n d i a n s w h o g r a v i t a t e d a b o u t the church:

the sacristan, the

w h o s e j o b it was

alguacil,

cantor

w h o led the choir, a n d t h e

to see that t h e faithful a t t e n d e d r e g u -

l a r l y — a k i n d o f officer i n c h a r g e o f r e l i g i o u s c o n f o r m i t y . L a s t , t h e colonial a d m i n i s t r a t i o n a p p o i n t e d I n d i a n t e a c h e r s i n m a n y villages, t o t e a c h t h e r u d i m e n t s t o t h e y o u n g I n d i a n s : a little S p a n i s h a n d the catechism. A second point of contact between the two separate worlds that w e n t t o m a k e u p c o l o n i a l society w a s p r o v i d e d b y t h e c o m p l e x mechanism of taxation. Indians had to work in the mines; they c o u l d also b e r e q u i s i t i o n e d b y t h e g o v e r n m e n t f o r v a r i o u s t a s k s said to be in t h e public interest. On t o p of this they h a d to p a y t a x e s t o t h e e n c o m e n d e r o a n d t h e c o r r e g i d o r a n d v a r i o u s o t h e r off i c i a l s . T h e y h a d t o p r o v i d e the e n c o m e n d e r o with various kinds o f w o r k e r s . T h e r e w e r e also d u e s i n k i n d . S o m e o f t h e d u e s i n k i n d w e r e c o n s u m e d o n t h e s p o t w i t h i n t h e h a c i e n d a itself, b u t p a r t w a s sold i n small t o w n s a n d w e n t t o supply the m i n i n g c e n t e r s . T h e e n c o m e n d e r o , a n d later the h a c e n d a d o , thus b e c a m e the center of a system of e c o n o m i c transactions which w e r e at least partly m o n e tary. T o m a k e s u r e t r i b u t e was f o r t h c o m i n g , p a r t o f t h e n a t i v e p o p u l a t i o n was t r a n s f o r m e d i n t o c r a f t s m e n — c a r p e n t e r s , w e a v e r s , a n d p o t t e r s . I n s o m e cases t h e y still f o l l o w e d n a t i v e t e c h n i q u e s . T h i s was t r u e o f t h e w e a v e r s a n d p o t t e r s , for e x a m p l e . B u t o t h e r s , like the carpenters, joiners, and carvers of wood and stone, were "acc u l t u r a t e d " to E u r o p e a n techniques. W h a t e v e r their specialty, they had a

n u m b e r of advantages over the "ordinary

whom one

of their

later descendants,

the

Don

Indians," with Antonio

Lopez

Antay of Jose Maria Arguedas, declined to be confused. " T h e T o ledan

ordinances

provide

exemptions

from

mita

service

for

a

blacksmith, s h o e m a k e r , tailor a n d dyer in each I n d i a n parish, a n d a d e c r e e of C h a r l e s II . services." 15.

1 5

.

. f r e e d all I n d i a n a r t i s a n s f r o m t h e l a b o r

(Mita was a p e r s o n a l a n d t e m p o r a r y service to t h e I n c a

Ibid., p. 6 2 2 .

370

Franqois

Bourricaud

state at t h e b e g i n n i n g a n d later to t h e colonial administration.) In o t h e r w o r d s , a r t i s a n s w e r e e x e m p t e d b o t h from s e r v i c e i n t h e m i n e s a n d f r o m the various services d u e t o t h e c u r a c a s , corr e g i d o r e s , a l c a l d e s , a n d o t h e r n o t a b l e s . T h e y w e r e f r e e t o live w h e r e t h e y w i s h e d a n d s e t t l e d i n t o w n s w h e r e Creoles a n d S p a n iards became their customers. If the t e r m cross-breeding is used not in the limited sense of the m i x i n g of blood, b u t in a w i d e r sense, to m e a n t h e circulation of individuals belonging to two different peoples, w h o in spite of their differences of status e x c h a n g e not merely spouses a n d sexual p a r t n e r s b u t also roles, j o b s , goods, services, a n d cultural symbols, t h e n a t u r e o f t h e p r o c e s s e m e r g e s m o r e c l e a r l y b u t m u c h less rosily t h a n i t d o e s i n Riva A g u e r o ' s p h r a s e a b o u t a " m i n o r i a p r o t e g i d a . " T h u s we have identified several c h a n n e l s of cross-breeding, b e l o n g i n g t o v e r y d i f f e r e n t social s i t u a t i o n s . B y i n c o r p o r a t i n g t h e native nobility t h e Spanish colonial a d m i n i s t r a t i o n p r e p a r e d t h e way for the m e r g i n g of the highest strata of t h e two h i e r a r c h i e s , indigenous and Spanish. But the Indian nobles did not keep their o r i g i n a l s t a t u s w h e n t h e y e n t e r e d i n t o t h e r u l i n g class, b u t w e r e s o to speak dissolved a n d dispersed. After i n d e p e n d e n c e , t h e r e rem a i n s no trace of the native aristocracy. As for t h e second-class not a b l e s , v e n i a l l a n d g r a b b e r s m o r e o r less c r e a t e d b y t h e a d m i n i s t r a t i o n a n d l i n k e d t o it, this c r o s s - b r e d g r o u p i s m u c h l a r g e r a n d m o r e in evidence, a n d after i n d e p e n d e n c e , far from disappearing, i t c o n s o l i d a t e d its p o w e r a n d b e c a m e a p o o l f r o m w h i c h w e r e d r a w n the "bosses" of the interior a n d the gamonales of the Sierra. T h e t h i r d o p p o r t u n i t y for cross-breeding, in t h e sense in which we a r e u s i n g the_ t e r m , c a m e f r o m t h e e c o n o m i c activities t h e S p a n iards e n c o u r a g e d the natives to e n t e r : the practice of the artes y oficios f r e e d t h e n a t i v e s f r o m t h e links t h a t b o u n d t h e m t o v i l l a g e c o m m u n i t i e s , m a d e t h e m mobile, a n d t h u s qualified t h e m for urban employment. As K a r e n S p a l d i n g points out, "By 1614, t h e I n d i a n p o p u l a t i o n o f L i m a , m o s t o f i t r e s i d i n g i n t h e n a t i v e s e c t i o n o f El C e r c a d o , o u t s i d e t h e city walls, n u m b e r e d 1 9 7 8 p e r s o n s , m a n y o f w h o m p r a c ticed a t r a d e or were a p p r e n t i c e d to s o m e o n e w h o did." Indians 1 6

16.

Ibid., p. 6 4 6 .

T h e Peruvian System of Stratification

371

of this kind, even if t h e census called t h e m natives, h a d e v e r y c h a n c e of e m e r g i n g from that caste—if n o t they themselves, t h e n their descendants. Not only were they e x e m p t from the obligations that weighed on the indigenous population as a whole, b u t the nat u r e o f t h e i r activities b r o u g h t t h e m i n t o p h y s i c a l a n d social c o n t a c t with n o n - I n d i a n s , from w h o m they learned various Spanish a n d western values a n d symbols. O n e last set o f c i r c u m s t a n c e s f a v o r i n g c r o s s - b r e e d i n g o f t h e k i n d we a r e s p e a k i n g of was linked to w h a t m i g h t be called wildcat m o bility, a s a r e s u l t o f t h e d i s i n t e g r a t i o n o f n a t i v e society c a u s e d b y colonial d o m i n a n c e a n d exploitation. Forced labor in the m i n e s , on t h e estates in the e a s t e r n A n d e s w h e r e coca was g r o w n by I n d i a n s , o n t h e s u g a r - p r o d u c i n g h a c i e n d a s o n t h e c o a s t , b y b l a c k slaves o r C h i n e s e coolies o r I n d i a n s f r o m t h e i n t e r i o r e n g a g e d b y a c o m b i n a t i o n o f f o r c e a n d g u i l e , all t h e s e s e p a r a t e d t h e I n d i a n f r o m h i s traditional roots without giving him any fixed a n d recognized p r o fession, such as was practiced by the mestizo artisans. A m a n w h o w a s t o r n f r o m his village a n d f i n a l l y s u c c e e d e d i n e s c a p i n g f r o m t h e m i n e s o r t h e h a c i e n d a was n o l o n g e r a n I n d i a n ; b u t n e i t h e r had he become a mestizo. He could work as a servant in t h e boss's h o u s e . In the old days he m i g h t be a n

arriero

(muleteer); now he

d r i v e s a t r u c k . H e i s a j a c k o f all t r a d e s a n d g o e s f r o m j o b t o j o b , f r o m o n e place t o a n o t h e r . T h i s mobile, u n s t a b l e , agile c h a r a c t e r , c a p a b l e o f seizing a n y c h a n c e , w h o r e m i n d s o n e o f the h e r o e s o f p i c a r e s q u e n o v e l s , i s t h e c h o l o . C l e a r l y , t h e m e s t i z o o f Riva A g u e r o a n d conservative tradition is only part of the interbred p o p u l a t i o n . Since there are various kinds of cross-breeding, c o r r e s p o n d i n g to d i f f e r e n t social s i t u a t i o n s , t h e " n o n - S p a n i s h " o r " n o n - c r e o l e " w o r l d has never had m u c h unity: what is there in c o m m o n between a cholo m u l e t e e r a n d a notable in a provincial town, not to m e n t i o n t h e s u r v i v o r s o f t h e I n c a nobility? T h i s lack o f g r o u p u n i t y i s p r o b ably m a t c h e d

with very c o m p l e x p r o b l e m s of p e r s o n a l i d e n t i t y .

W i t h o u t going too far into the q u e s t i o n , we m i g h t expect, in t h e case of individuals particularly e x p o s e d to cross-pressures r e s u l t i n g from dual or multiple membership, ambivalent attitudes a p p r o a c h i n g what K u r t L e w i n called "self-hatred." K a r e n S p a l d i n g d e v o t e s an excellent p a s s a g e to the case of native notables in t h e s e v e n teenth century, from a m o n g whom were d r a w n the ministers of

372

Francois

Bourricaud

native religion persecuted by the Spaniards. "At the b e g i n n i n g of the seventeenth century,

the S p a n i s h d i s c o v e r e d t h e d u a l roles

p l a y e d b y t h e I n d i a n village officials . . . I f w e a s s u m e t h a t t h e m e m b e r s o f t h e I n d i a n p o w e r g r o u p w e r e i n fact s e e k i n g h i g h e r r a n k a n d status within their o w n society by utilizing t h e p o w e r a v a i l a b l e t h r o u g h a l l i a n c e w i t h t h e S p a n i s h officials, t h e i r p a r t i c i p a tion in the native religious c e r e m o n i e s becomes perfectly c o m p r e h e n s i b l e . B y t a k i n g p a r t i n activities t h a t w e r e t h e m a r k o f h i g h e r s t a t u s w i t h i n I n d i a n society, t h e y m i g h t g a i n t h e r e c o g n i t i o n a n d p r e s t i g e c o m m e n s u r a t e with t h e i r e f f e c t i v e w e a l t h a n d p o w e r . "

1 7

B y p l a y i n g t h e g a m e o f t h e c o n q u e r o r s a n d b e h a v i n g a s t h e i r "collaborators," the curacas gained p o w e r a n d wealth. B u t while they r o s e socially, t h e n a t i v e nobility o f t h e c o l o n y — a n d i n t h i s r e s p e c t their situation m u c h resembled the later o n e of the notables of the R e p u b l i c , t h e g a m o n a l e s o f t h e i n t e r i o r — r a n t h e risk o f l o s i n g t h e r e s p e c t of the p e o p l e of their o w n blood. To take p a r t in t h e rites o f t h e a n c i e n t A n d e a n religions was t o r e c o v e r t h e i r t h r e a t e n e d identity, a n d to a n n e x the symbols that would integrate t h e m once m o r e i n t o n a t i v e life a n d c u l t u r a l t r a d i t i o n . T h e P e r u v i a n s t r a t i f i c a t i o n s y s t e m h a d little c h a n c e , s y m b o l i c a l l y or in reality, of b e i n g focused a r o u n d the mestizo.

In the first

place, at the e n d of the Spanish colonial rule the mass of the p o p u l a t i o n w a s still m a d e u p o f i n d i g e n o u s p e a s a n t s , a n d t h e v a r i o u s c r o s s - b r e e d s t a t u s e s w e h a v e j u s t d e s c r i b e d i n v o l v e d v e r y few p e r s o n s . M o r e o v e r , insofar as t h e mestizo was e x p o s e d to t h e influence of the culturally d o m i n a n t tradition and b e c a m e the carrier a n d d i s s e m i n a t o r of t h e s e values, he was associated with the " r u l i n g " culture. T h e greater part of the population r e m a i n e d simply Ind i a n . I n d e e d , the n i n e t e e n t h c e n t u r y is characterized by a process of "re-Indianization." G e o r g e K u b l e r has written a very i m p o r t a n t article on t h e evolution of t h e P e r u v i a n p o p u l a t i o n in this r e s p e c t .

1 8

He shows that if

t a x statistics a l o n e a r e c o n s i d e r e d , t h e I n d i a n p a r t o f t h e p o p u l a tion r e g a r d e d as indigenous by the Spanish fiscal administration 17. Ibid., p p . 6 6 0 , 6 6 1 .

1 8 . G e o r g e K u b l e r , The Indian Caste of Peru, 1795-1940: A Population Study Based upon the Tax Records and Census Reports ( W a s h i n g t o n , D . C . , S m i t h s o n i a n I n s t i tution, 1952), p. 6 4 .

The

P e r u v i a n System o f Stratification

373

still a m o u n t e d a t t h e e n d o f t h e e i g h t e e n t h c e n t u r y t o 7 0 p e r c e n t o f t h e w h o l e p o p u l a t i o n o f P e r u , a n d this p e r c e n t a g e h a d b e e n s h r i n k i n g c o n t i n u o u s l y since the b e g i n n i n g of the colonial p e r i o d . It d r o p p e d to 60 p e r c e n t in 1854, a n d 55 p e r c e n t in 1876. But at t h e t i m e of t h e first national census in 1876, the actual p e r c e n t a g e of I n d i a n s was h i g h e r t h a n it should have b e e n if the rate of decline o b s e r v e d d u r i n g t h e colonial p e r i o d h a d c o n t i n u e d . K u b l e r c o n c l u d e s t h a t a t least d u r i n g t h e f i r s t e i g h t y y e a r s o f t h e n i n e teenth century the Indian element remained stronger than would h a v e b e e n e x p e c t e d o n t h e basis o f e i g h t e e n t h - c e n t u r y t r e n d s . T h e r e - I n d i a n i z a t i o n of P e r u d u e to the collapse of the colonial a d m i n i s t r a t i o n d u r i n g the wars of i n d e p e n d e n c e a n d the early days o f t h e R e p u b l i c d i f f e r e d i n scale a c c o r d i n g t o a r e a . I t w a s m o s t n o ticeable in the center a n d the south—with the exception of the d e p a r t m e n t of A r e q u i p a . In the coastal regions, w h e r e a capitalist e x p o r t a g r i c u l t u r e (of s u g a r a n d c o t t o n ) w a s g r o w i n g u p , t h e p e r c e n t a g e of I n d i a n s declined. T h e causes of this process were connected with the m a r k e d stagnation that characterized Peru d u r i n g t h e first half of the n i n e t e e n t h century. A c c o m p a n y i n g the diso r d e r s of the early republic were a shrinking of foreign trade, growi n g i m p o v e r i s h m e n t , a " d e - d i f f e r e n t i a t i o n " <^f t h e e c o n o m y d u r i n g w h i c h local self-sufficiency g r e w , a n d t h e d i s r u p t i o n a n d d i s a p p e a r a n c e o f s t a t e a d m i n i s t r a t i o n , w h i c h left a f r e e h a n d t o t h e m i l i t a r y caudillos

a n d the g a m o n a l e s and m i n o r gentry of the Sierra.

K u b l e r ' s d a t a s u g g e s t t h a t d u r i n g t h e t i m e o f " t u t e l a r y " legislation d e s i g n e d to "protect" the Indian c o m m u n i t i e s and their p r o p erty, the process of

mestizaje

was m o r e r a p i d t h a n d u r i n g t h e p e r i o d

o f " l i b e r a l " l a n d policy a d o p t e d b y t h e l i b e r t a d o r e s , w h i c h a c c e l e r a t e d t h e a l i e n a t i o n o f I n d i a n p r o p e r t y a n d its a c q u i s i t i o n b y t h e g a m o n a l e s . A t least a p a r t i a l e x p l a n a t i o n lies i n t h e fact t h a t t h e n e w h a c i e n d a s set u p a t t h e s t a r t o f t h e R e p u b l i c a n p e r i o d o n t h e debris of the stripped c o m u n i d a d e s e m p l o y e d the same natives, who ceased to be independent comuneros and became peones, t h o u g h still r e m a i n i n g I n d i a n s . I t i s also p r o b a b l e t h a t t h e " r e ruralization" which accompanied the economic depression of the early years of i n d e p e n d e n c e slowed the c r o s s - b r e e d i n g stimulated by t h e e x p a n s i o n of t h e artisan sector. T h e p r o c e s s of w h a t I h a v e called " r e - I n d i a n i z a t i o n " first b e c a m e

374

Francois

Bourricaud

perceptible after the defeat in the war against Chile, both because of the role played by Indian soldiers in the resistance against the i n v a d e r , especially in the f a m o u s guerrilla a r m y led by G e n e r a l Cac e r e s a g a i n s t t h e o c c u p a t i o n f o r c e s , a n d also a s t h e r e s u l t o f t h e sublevaciones

(insurrections),

which

increasingly

forced

themselves

o n t h e Creoles' a t t e n t i o n . I f o n e t r i e d t o s k e t c h a t y p o l o g y o f n a t i v e violence from 1880 to the early 1960s, o n e would have to disting u i s h b e t w e e n t h r e e q u i t e d i f f e r e n t s i t u a t i o n s . I n t h e first p l a c e there

were

the

jacqueries

(peasant uprisings,

in

which

half-breeds

w e r e usually involved), which took place in areas of the highest native d e n s i t y , s u c h a s for e x a m p l e t h e d e p a r t m e n t o f P u n o , t h e aytnara

p r o v i n c e s o n t h e b o r d e r s o f Bolivia, a n d a r o u n d L a k e T i -

ticaca ( H u a n c a n e , M o h o , a n d L a m p a i n t h e n o r t h ; C h u c u i t o a n d Juli south of the Lake). Second was

bandolerismo,

which fed t h e ven-

d e t t a s b e t w e e n g a m o n a l e s . T h i s t y p e o f v i o l e n c e d e v e l o p e d chiefly i n t h e S i e r r a o f t h e n o r t h , w h e r e t h e I n d i a n p o p u l a t i o n w a s less d e n s e a n d t h e I n d i a n s w e r e i n t h e p r o c e s s o f c r o s s - b r e e d i n g . Fin a l l y , i n t h e i m m e d i a t e l y c o n t e m p o r a r y p e r i o d , t h e r e is t h e p r e s sure exerted by the Indian peasants to recover plundered land. T h e f a m o u s a f f a i r o f t h e valley o f t h e C o n v e n c i o n i n t h e

1950s,

a n d t h e s t r i k e s a n d sit-ins a t t h e b e g i n n i n g o f t h e p r e s i d e n c y o f F e r n a n d o B e l a u n d e T e r r y ( 1 9 6 3 - 1 9 6 4 ) , illustrate this t h i r d situation.

I s h a l l n o t d e a l with t h e s e c o n d k i n d o f a g i t a t i o n , chiefly

linked to rivalries between g a m o n a l e s , in which I n d i a n s a n d e s p e cially c h o l o s p l a y o n l y t h e r o l e o f f o o t s l o g g e r s e x c e p t w h e n t h e y m a n a g e t o w i n a k i n d o f a u t o n o m y vis-a-vis t h e i r " b o s s e s " a n d b e c o m e sort of knights errant or "bandits d ' h o n n e u r . "

1 9

T h e m o s t f a m o u s o f all t h e n a t i v e j a c q u e r i e s i s t h a t o f A t u s p a r i a . It o c c u r r e d in 1885, t h e darkest m o m e n t in Peruvian history, after the great national disaster of the Chilean war. T h e action u n f o l d e d in the d e p a r t m e n t of Ancash north of Lima, in an inter-Andean valley w i t h a v e r y h i g h I n d i a n d e n s i t y . T h e g o v e r n m e n t , a t its wit's end, 19.

had

tried

to

reintroduce

the

Indian

capitation

tax

in

a

See the f a m o u s rising of E l e o d o r o Benel in the C e l e n d i n area: J o r g e Basa-

d r e , Hutoria de la Republka del Peru ( L i m a , P e r u ,

Editorial Universitaria, 1968),

X I I I , 1 3 8 - 1 4 0 . T h i s situation is crystallized in t h e c h a r a c t e r of "fiero V a s q u e z " in C i r o A l e g r i a ' s "EI m o n d o e s a n c h o y a j e n o " ( N e w Y o r k , C r o f t s , 1 9 4 5 ) .

The

Peruvian

System o f Stratification

375

disguised f o r m b u t levied in quite large s u m s . T h e r e w e r e also a b u s e s o n t h e p a r t o f t h e local a d m i n i s t r a t i v e a u t h o r i t i e s , w h o i m p o s e d forced labor a n d requisitioning either for t h e state or for t h e i r o w n a d v a n t a g e . T r o u b l e b r o k e o u t o v e r t h e b u i l d i n g o f a law court.

A

general

uprising followed.

The

Indians

occupied

the

region for several m o n t h s , driving away the r e g u l a r authorities a n d setting up their o w n traditional ones. T h e m a t t e r was settled only by the bloody reoccupation of the area by an army detachment. W h a t g i v e s t h e e p i s o d e its i m p o r t a n c e i s t h e c o m p l e x y e t t y p i c a l way i n w h i c h indios, mestizos, a n d criollos w e r e r e l a t e d . I n t h e chief town of the d e p a r t m e n t of Ancash, a mestizo intellectual, M o n t e s t r u q u e , p u t his n e w s p a p e r ,

El Sol de

los Incas,

at A t u s p a r i a ' s

service. M o n t e s t r u q u e was a n electoral a g e n t for G e n e r a l C a c e r e s , h e r o of the resistance against Chile a n d t h e n leader of the opposition to the p r e s i d e n t , a n o t h e r general called Iglesias. T h e native u n r e s t w a s e x p l o i t e d by t h e

politica criolla,

t h a t is, in t h e i n t e r e s t s o f

t h e p o l i t i c a l classes o r p a r t o f t h e m : i n t h i s c a s e b y t h e m o r e o r less l i b e r a l n a t i o n a l i s t g r o u p w h i c h was t r y i n g t o o u s t I g l e s i a s . A t u s p a r i a , t h e l e a d e r o f t h e r e b e l l i o n , was t h e a l c a l d e o f a m o u n t a i n v i l l a g e . He was a traditional notable, but can he be considered an Ind i a n ? W a s he n o t r a t h e r a mestizo, if a m o n g t h e criteria for crossb r e e d i n g we include frequency of contact with a n d intensity of exp o s u r e t o t h e w h i t e w o r l d a n d the r u l i n g society? Beside A t u s p a r i a t h e r e e m e r g e s the figure of a n o t h e r leader, U c h c u P e d r o , who was n o t an I n d i a n n o t a b l e b u t a m i n e r . He h a d also f o u g h t with Caceres" partisans in t h e guerrilla war against t h e Chileans, a n d for b o t h t h e s e r e a s o n s U c h c u w a s a t least a s " m o d e r n " a s A t u s p a r i a a n d equally exposed, t h o u g h in different ways, to the influence of t h e Creole s o c i e t y h e h a d e n c o u n t e r e d a s a m i n e r a n d a s a s o l d i e r . O u r biographical information a b o u t the two m e n is too scant to take t h e c o m p a r i s o n f u r t h e r . But o n e p o i n t that clearly contrasts t h e m is the d e g r e e of radicalism with w h i c h they c o n d u c t e d t h e r e b e l l i o n . A t u s p a r i a s e e m s t o h a v e m a i n t a i n e d c o n t a c t with t h e a d ministrative authorities for as long as possible, a n d to have r e m a i n e d i n contact t h r o u g h o u t with the a g e n t s o f Caceres. W h e n t h e a r m y c a m e i n force t o o c c u p y t h e r e g i o n , A t u s p a r i a was t a k e n a n d s u r r e n d e r e d . W h e n his "boss," G e n e r a l C a c e r e s , r e p l a c e d Igle-

376

Francois

Bourricaud

sias a s p r e s i d e n t , h e w a s set f r e e . S o m e t i m e l a t e r C a c e r e s g r a n t e d h i m a n official a u d i e n c e i n L i m a . U c h c u P e d r o , o n t h e c o n t r a r y , took to the m a q u i s , was c a u g h t , a n d shot. A comparison can be m a d e between Uchcu Pedro's m o v e m e n t a n d the messianic movements which at rare intervals have characterized to s o m e d e g r e e native resistance. T h e i r p r o t o t y p e goes back t o t h e b e g i n n i n g o f t h e c o l o n i a l e r a . N a t h a n W a c h t e l ' s felicitous p h r a s e " t h e r e s u r r e c t i o n o f t h e g o d s " well d e f i n e s t h e m i l l e n a r i s t h o p e which seems at certain times in some parts of the country to have stirred the native masses.

A r o u n d the

1560s

t h e r e was a

w i d e s p r e a d belief that Spanish rule was c o m i n g to an e n d , that t h e t u r n of t h e Christians' G o d was o v e r , a n d after s o m e cataclysm a new order,

novus rerum

ordo,

would

replace the old.

o f this n a t i v e b e l i e f s e e m s t o h a v e b e e n

2 0

T h e nucleus

n o t basically t h e i d e a ,

f r e q u e n t i n A m e r i c a n c o s m o l o g i e s , o f a s e r i e s o f cycles i n h u m a n h i s t o r y , b u t r a t h e r t h e a c c e p t a n c e o f t h e fact t h a t t w o r e l i g i o u s forces n o w c o n t r o l l e d t h e d e v e l o p m e n t o f A n d e a n societies: traditional gods, the

huaca,

the

a n d the G o d of the Christians. What

t h e n e w f a i t h a n n o u n c e d w a s t h e e n d o f t h e C h r i s t i a n cycle a n d t h e r e t u r n — t h e S p a n i s h c h r o n i c l e r s call i t t h e vuelta—of t h e h u a c a .

In

fact t h e i r " r e t u r n " w o u l d n o t b e a r e a l r e s u r r e c t i o n , f o r t h e y h a d never b e e n d e a d , only-at the most sleeping. T h e idea of the latency of t h e old g o d s is especially noticeable in t h e m y t h of I n k a r i , with its i m a g e o f a b e h e a d e d I n c a w h o s e b o d y " g r o w s i n t h e e a r t h " u n t i l head and body are o n e again and he r e t u r n s .

2 1

T h e "return of the Inca" took a m o r e prosaic form when the leader of a native sublevacion, such as T u p u c A m a r u , a s s u m e d the title o f I n c a . S o m e t i m e s e v e n a n official o f t h e P e r u v i a n R e p u b l i c might take some native n a m e , as did T e o d o m i r o Gutierrez Cuevas, who

after

b e c o m i n g civil

and

military

leader

of the

Chucuito

region at the beginning of the twentieth century assumed the native n a m e o f R u m i M a k i ( i r o n h a n d ) . T w o elements in different p r o p o r t i o n s go to m a k e up the native 20. T h e movement of the Taqui Ongos, about which various Spanish

sources.

See

Pierre

D u v i o l s , La

ive a r e i n f o r m e d b y

Lutte contre

les religions,

pp.

107-112. 2 1 . F r a n c o i s B o u r r i c a u d , "El m i t o d e I n k a r i , " Folklore Americano,

no. 4 (1956).

The

P e r u v i a n System of Stratification

377

s u b l e v a c i o n e s . O n t h e o n e h a n d t h e r e i s t h e nativist a n d g e n u i n e l y i n d i g e n i s t f a c t o r p a r t i c u l a r l y e v i d e n t i n s o m e o n e like U c h c u P e d r o . O n t h e o t h e r h a n d t h e r e i s a clearly p a t e r n a l i s t a n d i d e o l o g i c a l e l e m e n t o b s e r v a b l e i n t h e m o r e o r less p h i l a n t h r o p i c a l a n d r a d i c a l mestizos w h o offered to lead the native m o v e m e n t . T h u s R u m i M a k i , a n official o f t h e P e r u v i a n S t a t e , w h o l e d a n I n d i a n r e b e l l i o n , b y o r i g i n a n d s t a t u s b e l o n g e d t o t h e " r u l i n g c l a s s . " B u t s i n c e his y o u t h h e h a d b e e n c o n c e r n e d w i t h t h e I n d i a n s ' lot, a n d i n h i s v a r i o u s a d m i n i s t r a t i v e posts he called t h e a t t e n t i o n of the L i m a authorities to the violence committed by the l a n d o w n e r s against their peones, a n d their p l u n d e r i n g of the comunidades. C u e v a s ' i n d i g e n i s m was that of a mestizo m o t i v a t e d by m o r a l indignation. f o u n d e d in

In

the

same

vein

was

1909 a n d dissolved in

y o u n g Lima intellectuals,

Pedro S.

la

Asociacion

Proindigena,

1916, whose leaders were two Z u l e n , h a l f Creole a n d h a l f

C h i n e s e , a n d his wife D o r a M a y e r . Its m e m b e r s w e r e s t u d e n t s , lawy e r s , a n d s o m e professional p e o p l e w h o t h o u g h living in the p r o v inces k e p t in t o u c h with w h a t was g o i n g on in t h e capital, w h e r e they h a d b e e n s t u d e n t s a n d h a d c o m e in c o n t a c t with t h e liberal int e l l i g e n t s i a . T h e a s s o c i a t i o n o p e r a t e d a t t w o levels. I t o f f e r e d I n d i a n s , e s p e c i a l l y c o m u n i d a d e s . t h e free s e r v i c e s o f t h e l a w y e r s affili a t e d w i t h it. W h e n i t d i s c o v e r e d s o m e h a c e n d a d o o r official g u i l t y of scandalous abuses that would shock the e n l i g h t e n e d public, it published their misdeeds a n d roused the opposition against t h e m . T h e association t h u s b r o u g h t p r e s s u r e t o b e a r o n t h e authorities for setting up a p a r l i a m e n t a r y commission. If o n e tries to define t h e ideology of t h e early indigenist m o v e m e n t , o n e is t e m p t e d to see in it a r e t u r n to t h e principles of n a t u ral law, a n d in p a r t i c u l a r a reaffirmation of t h e old idea a c c o r d i n g t o w h i c h all m e m b e r s o f a civilized polity a r e e q u a l b e f o r e t h e law. B u t t h e r e w a s also a n activist a n d p a t e r n a l i s t t e n d e n c y . T o e n a b l e t h e I n d i a n t o resist v i o l e n c e a n d e x p l o i t a t i o n , i t w a s n o t e n o u g h t o give him comparatively formal a n d abstract rights. He had to be qualified, m a d e m o r e productive and healthier, taught to read a n d w r i t e — i n Spanish. T h e " u p g r a d i n g " of t h e I n d i a n posed a decisive c h o i c e which t h e i n d i g e n i s t m o v e m e n t d i d n o t really m a k e . E i t h e r t h e policy o f n a t i v e a d v a n c e m e n t c o u l d b e t o m a k e t h e I n d i a n a

378

Frangois

Bourricaud

P e r u v i a n like all t h e r e s t — t h o u g h t h e n t h e n a t i v e q u a l i t y itself, t h e I n d i a n " i d e n t i t y , " w o u l d t e n d t o b e lost o r a t a n y r a t e b e c o m e m a r g i n a l . Or else, r e t u r n i n g to the idea of a m p a r o i n h e r i t e d from c o l o n i a l t r a d i t i o n , i n d i g e n i s t policy m i g h t t r y t o " p r o t e c t " t h e I n d i a n b y s t r e n g t h e n i n g its t u t e l a r y i n s t i t u t i o n s . T h i s l a t t e r view f i nally p r e d o m i n a t e d a m o n g i n d i g e n i s t s i n t h e e a r l y 1 9 2 0 s , a t t h e b e g i n n i n g of A u g u s t B. Leguia's g o v e r n m e n t , a n d even inspired certain clauses in the Peruvian constitution of 1920, stipulating that l a n d b e l o n g i n g t o legally r e c o g n i z e d n a t i v e c o m m u n i t i e s c o u l d n o t be sold. W a s this a r e t u r n to the old S p a n i s h colonial legislation, after a c e n t u r y in which the liberalism of t h e f o u n d e r s of t h e Rep u b l i c h a d p r e v a i l e d , at least o n p a p e r ? I n fact, t h e i n d i g e n i s t theorists of t h e 1920s, while they q u o t e d with a p p r o v a l certain p r o v i s i o n s o f "las leyas d e I n d i a s . " b e l i e v e d i n a k i n d o f e v o l u t i o n i s t n e o - p o s i t i v i s m c r o s s e d with D u r k h e i m i a n s o c i o l o g i s m , w h i c h stressed the necessity of a long process to "equalize" t h e native p o p ulation. 2 2

T h u s , t h e i n d i g e n i s m o f t h e 1920s r e m a i n e d p a t e r n a l i s t i c a n d i n fact c o n s e r v a t i v e , e v e n t h o u g h t h e m e s t i z o i n t e l l e c t u a l s w h o p r o p a g a t e d i t g a v e i t l i b e r a l o r r a d i c a l e x p r e s s i o n . W h a t I m e a n b y indigenist conservatism has three aspects. I have already spoken of the first, the paternalist tendency. T r u e , the indigenist "educators" m e a n t to keep for themselves the right to " g u i d e " the native race, a n d t h e y r e b e l l e d v i o l e n t l y a g a i n s t a n d c r i t i c i z e d t h e t u t e l a g e att e m p t e d by such traditional authorities as the Catholic church. But i f t h e r e was conflict a b o u t w h o t h e p r o t e c t o r s s h o u l d b e , t h e r e w a s a g r e e m e n t o n t h e n e e d for p r o t e c t i o n . I n t h e s e c o n d p l a c e , i n d i g e n i s m , by stressing the originality of i n d i g e n o u s c u l t u r e , risked m a k i n g i t m a r g i n a l a n d folkloric. T o b e p r o t e c t e d t h e I n d i a n w o u l d h a v e t o b e i s o l a t e d i n his c o m m u n i t i e s , h i s l a n g u a g e a n d his c u s t o m s . B y d e p i c t i n g t h e I n d i a n a s close t o n a t u r e , w h o l e s o m e ,

22.

T h e former head of the Teacher Training School at Puno and future sena-

tor Jose

Antonio Encinas

legislacion tutelar del

d i d his

law t h e s i s i n

1918 on

"Contribucion a

una

I n d i g e n a . " O n e of the most i m p o r t a n t p r o p o n e n t s of this

d o c t r i n e w a s M a r i a n o B . C o r n e j o . first p r o f e s s o r o f s o c i o l o g y a t S a n M a r c o s U n i v e r s i t y , w h o p l a y e d t h e r o l e o f t h e o r i s t o f "La P a t r i a N u e v a " d u r i n g t h e e a r l y y e a r s of Leguia's presidency.

The

Peruvian System of Stratification

379

u n t o u c h e d b y t h e c o r r u p t i o n o f g o l d a n d t h e evil w a y s o f L i m a a n d the coast, indigenism h e l p e d reinforce the dualism of traditional P e r u v i a n c u l t u r e . F i n a l l y , this d u a l i s m c a m e t o b e s e e n a s a s t a b l e desirable state. T h e indigenists of the twenties a n d thirties detected a m o v e m e n t toward re-Indianization in the beginnings of the great native avalanche d e s c e n d i n g f r o m the A n d e s o n t o the coastal area. B u t they took for r e - I n d i a n i z a t i o n w h a t was really a p r o c e s s of c h o l i f i c a t i o n , a n d few t h o u g h t s e r i o u s l y t h a t P e r u w o u l d b e c o m e a r e p u b l i c o f peasants, q u e c h u a o r a y m a r a , with a n I n d i a n l a n g u a g e a n d v e r n a c u l a r traditions that would take the place of Spanish a n d western traditions. W h a t the indigenists of the considered

desirable

and

possible,

though

1920s a n d

without

1930s

seeing very

clearly h o w it was to be b r o u g h t a b o u t , was t h a t t h e I n d i a n p e o p l e a n d culture might be preserved a n d b e c o m e a kind of reservoir for national tradition. I c a n see two r e a s o n s for this conservative t e n d e n c y in P e r u v i a n i n d i g e n i s m . T h e f i r s t r e a s o n i s political. U n l i k e M e x i c o a f t e r t h e 1910 revolution, Peru c o n t i n u e d to be g o v e r n e d by a neocolonial o l i g a r c h y , f r o m t h e e n d o f t h e w a r i n t h e Pacific t o t h e e n d o f t h e 1960s; that oligarchy resisted the assaults of populism. B e t w e e n 1930 a n d 1945 the A P R A (Alianza P o p u l a r Revolucionaria A m e r i cana) p u t forward in vain the twofold slogan of " I n d o - A m e r i c a " a n d " a n anti-imperialist State." T h e P e r u v i a n elite, h e l p e d b y t h e a r m y , h e l d back the attack of the mestizo intelligentsia g r o u p e d a r o u n d t h e J e f e M a x i m o , H a y a d e l a T o r r e . T h e result was a c o n s o l i d a t i o n o r e v e n s t r e n g t h e n i n g o f Creole t r a d i t i o n , w h i c h

went

well e n o u g h w i t h t h e style o f d e v e l o p m e n t f a v o r e d b y t h e o l i g a r chy. T h e indigenists o f t h e 1920s h a d n o very clear idea o f t h e c o n s e q u e n c e s e c o n o m i c d e v e l o p m e n t m i g h t h a v e o n Peruvian society. T h e y limited themselves to contrasting the c o r r u p t i o n of t h e " L e vantine" merchants

(fenicios)

of the coast with t h e strictness of t h e

t r a d i t i o n a l I n d i a n e c o n o m y , t h e b e a u t i e s o f m u t u a l aid, a n d t h e solidarity that existed between

comuneros.

Haya de

la T o r r e ,

w i t h t h e f o r e s i g h t t h a t m a k e s t h e b o o k h e w r o t e in 1 9 2 7 , perialismo y

el Apra,

El anti-im-

still o n e o f t h e m a i n s o u r c e s o f t h e d e v e l o p m e n t

of t h e ideology which in t h e 1950s was to b e c o m e t h e c r e d o of t h e i n t e l l i g e n t s i a , saw c l e a r l y t h e n e e d f o r a " p o p u l a r n a t i o n a l " s t a t e

380

Francois

Bourricaud

(which the intellectuals w h o s u p p o r t the p r e s e n t military j u n t a now call t h e " E s t a d o s o l i d a r i o " ) . B u t t h e l i m i t a t i o n o f his o w n i d e a s , a n d t h e e a r l y s t a g e t h a t t h e social s c i e n c e s w e r e i n a t t h e t i m e , a p parently m a d e it impossible for h i m to go b e y o n d r a t h e r vague f o r m u l a t i o n s , o r t o b r e a k t h e i n t e n s e r e s i s t a n c e t h a t w o u l d b e set u p i n n e o c o l o n i a l P e r u v i a n society b y c a t c h - w o r d s s u c h a s " I n d o A m e r i c a , " t o w h i c h t h e Creole c o n s e r v a t i v e s ' p a s s i o n a t e r e p l y w a s "El P e r u es de occidente." J o s e Carlos Mariategui m i g h t d e n o u n c e the

confusions

and

petit-bourgeois

weaknesses

of the

anti-im-

perialist state, as depicted by Victor Raul, but b o t h were s t o p p e d s h o r t b y t h e solidity o f t h e neocolonial P e r u v i a n s t r u c t u r e . The

second

reason

the

revolutionary potentialities of t h e in-

d i g e n i s t c l a i m f o r fair t r e a t m e n t f o r t h e I n d i a n s w e r e m o r e t h a n c o u n t e r b a l a n c e d by the conservative element relates to the n a t u r e of t h e e c o n o m i c process in P e r u after 1930, a n d to t h e scant knowle d g e most of the indigenist intellectuals h a d of e c o n o m i c questions. T h e oligarchy countered the great depression by traditional means, t h u s reinforcing the dualist structure which consisted of the exp o r t i n g P e r u of the coast on o n e side a n d the r e m o t e , sleepy P e r u of the Sierra on the other. W h e n , after the Second W o r l d W a r , t h e r e was a r e n e w e d a n d increasing d e m a n d for raw materials, o r e s , s u g a r , c o t t o n , a n d fish f l o u r , t h o s e w h o p r o f i t e d f r o m t h e e x p o r t b o o m w e r e largely t h e coastal r e g i o n a n d t h e u r b a n sector. T h i s r e s u l t e d in two k i n d s of distortion. T h e d i s t r i b u t i o n of profits was grossly u n e q u a l , a n d the traditional s e c t o r — t h e I n d i a n world w h i c h t h e indigenists a i m e d at p r o t e c t i n g — w a s s u c k e d into the vacu u m c a u s e d b y t h e e x p a n s i o n o f t h e e x p o r t i n g s e c t o r . T h e crisis o f t h e o l d r u r a l , p r o v i n c i a l , i n d i g e n o u s society o f t h e S i e r r a w a s a g g r a v a t e d , a n d b e c a m e g e n e r a l . It took very d i f f e r e n t forms. In t h e f a m o u s c a s e o f t h e valley o f t h e C o n v e n c i o n i t w a s a fairly l o c a l i z e d struggle,

sometimes

harsh

and

violent,

sometimes

careful

and

u n d e r cover, b e t w e e n t h e h a c e n d a d o s a n d t h e v a r i o u s sections o f the

native

population

o t h e r i n s t a n c e s , like t h e 23.

temporarily invasiones

united

against

the

3

patron?

In

of 1 9 6 3 - 1 9 6 4 , t h e r e was a fron-

Wesley W. Craig, Jr., "Peru: T h e Peasant M o v e m e n t of La C o n v e n c i o n , " in

H e n r y A.

L a n d s b e r g e r , e d . , Latin American Peasant Investments ( I t h a c a , C o r n e l l

University Press, 1969).

T h e P e r u v i a n S y s t e m o f Stratification

381

tal, b u t r e l a t i v e l y s h o r t , a t t a c k b y t h e n a t i v e m a s s e s a s a w h o l e . B u t all t h e c a s e s o f r u r a l u n r e s t i n t h e 1 9 6 0 s c o n t a i n e s s e n t i a l f e a t u r e s that m a k e t h e m very different from the p a t t e r n d r e a m e d up by the indigenists i n t h e thirties. T h e native p o p u l a t i o n was b e c o m i n g economically differentiated a n d often contained peasants w h o were rich, a k i n d of kulak very hostile to t h e d o m i n a t i o n of t h e traditional l a n d o w n e r b u t indifferent t o t h e c o m m u n a l ideal o f t h e indigenists. T h i s differentiation between native strata sometimes resulted

in

violent

clashes

of

interest

between

landless

and

landowning Indians. T h e s e c i r c u m s t a n c e s o f t h e 1 9 6 0 s w e r e n o t a t all c o n d u c i v e t o a greater self-awareness on the part of the native g r o u p . T h e prestige of t h e I n d i a n as s u c h was b e c o m i n g g r a d u a l l y r e d u c e d by t h e a u r a of archaism which clung to him. Archaism became attractive o n l y t o f o l k l o r i z i n g i n t e l l e c t u a l s in s e a r c h o f a u t h e n t i c i t y , o f

lo nues-

t r o . C o o r d i n a t i o n o f p r o t e s t m o v e m e n t s a t t h e n a t i o n a l level, e v e n t h o u g h m o r e efficient t h a n i n t h e t w e n t i e s a n d t h i r t i e s , w a s diff i c u l t b e c a u s e o f lack o f l i a i s o n . T h e p o l i t i c a l s y s t e m t e n d e d t o k e e p the majority of the population "on the fringe," a n d the mass parties t h e m s e l v e s , t h e p o p u l i s t o r g a n i z a t i o n s , p a r t i e s , a n d u n i o n s , aimed at toning down a n d diverting protest as much as encouragi n g it. S o t h e n a t i v e c l a i m w a s d o o m e d t o b e h a n d l e d b y p e r s o n s a n d o r g a n i z a t i o n s w h i c h o n l y p a r t l y e n d o r s e d it: b y t h e n o t a b l e s , b y t h e p o p u l i s t p a r t i e s , b y leftist g r o u p s u s i n g n a t i v e d i s c o n t e n t t o a d v a n c e t h e i r o w n e n d s . Since 1968 it has b e e n p r e s s e d t h r o u g h an a u t h o r i t a r i a n state which confiscates a n d r e d i s t r i b u t e s the estates of t h e h a c e n d a d o s a n d tries t o o r g a n i z e new a g r i c u l t u r a l cooperatives o v e r w h i c h i t i n t e n d s t o k e e p close c o n t r o l . I t i s t r u e t h a t s i n c e 1 9 6 9 t h e seat o f t h e P e r u v i a n g o v e r n m e n t h a s b e e n n a m e d f o r T u p a c A m a r u . I t i s also t r u e t h a t a n a m b i t i o u s scheme of educational reform promises to extend the teaching of native l a n g u a g e s to the whole of the p o p u l a t i o n . T h e s e two decis i o n s o f t h e m i l i t a r y g o v e r n m e n t t r e a t w h a t e v e r i s I n d i a n (lang u a g e , past, traditions) as a symbol of national unity a n d identity. Lo indio

is s u p p o s e d t o e x p r e s s w h a t all P e r u v i a n s h a v e i n c o m m o n .

T h i s i s w h a t I w o u l d call t h e u n i f y i n g f u n c t i o n o f l o i n d i o . I t i s e a s y e n o u g h t o s e e w h y t h e Creole a n d h i s p a n i c h e r i t a g e c a n n o t f i t t h e

382

Francois

Bourricaud

bill. I t e v o k e s t h e i d e a o f c o l o n i a l d o m i n a t i o n a n d b y i m p l i c a t i o n l e gitimizes t h e c o u n t r y ' s p r e s e n t d e p e n d e n c e o n t h e r u l i n g w o r l d " c e n t e r . " B u t i n a d d i t i o n t o its u n i f y i n g f u n c t i o n , lo i n d i o , l i k e every symbolism, has an identifying function. It should enable w h o e v e r u s e s it, w i t h r e f e r e n c e e i t h e r t o h i m s e l f o r t o o t h e r s , t o recognize himself a n d be recognized. But a unifying symbolism, at t h e collective level, m a y l e a d t o a n e m p t y a n d a b s t r a c t a c t i v i s m o r i t m a y dissolve into a colorful, folkloric, a n d r e g i o n a l p a r t i c u l a r i s m . T h e p r o m o t i o n of lo indio bears witness to the s o m e w h a t c o m p u l sive d e s i r e t o c r e a t e a " r e a l " n a t i o n a l u n i t y , b u t i t s u c c e e d s o n l y very partially in t h e task of m a k i n g a p p a r e n t a n d recognizable t h e r e l a t i o n s b e t w e e n d i f f e r e n t social g r o u p s . I t w o u l d h a r d l y b e g o i n g t o o f a r t o say t h a t all P e r u v i a n s r e c o g n i z e t h e m s e l v e s a s I n d i a n s a t t h e collective level, t h o u g h n o n e o f t h e m w o u l d a c c e p t t h e d e s c r i p t i o n e n t i r e l y a s a p p l i e d t o t h e m s e l v e s , i n d i v i d u a l l y , f o r i n t h i s socie t y , w h i c h m i g h t b e said t o b e i n a s t a t e o f flux, d i f f e r e n c e s a r e m o r e s t r o n g l y a n d g e n u i n e l y felt t h a n a n a t i o n a l s o l i d a r i t y w h i c h i s still a b s t r a c t a n d artificial. F r o m t h e b e g i n n i n g o f t h e 1950s u n t i l 1 9 6 7 , t h e d e v e l o p m e n t o f P e r u v i a n s o c i e t y w a s r e m a r k a b l e i n t h e classic s e n s e o f t h e w o r d : rapid urbanization, growing national product, average income, a n d e x p o r t s (copper, fish meal), a n d e x p a n d i n g public services, such as education. This of course aggravated regional disparities a n d social i n e q u a l i t y , s h a r p l y a f f e c t i n g t h e r e l a t i o n s b e t w e e n I n d i a n s , m e t i s , Creoles, c h o l o s . T h e migration which brought growing n u m b e r s from the Sierra t o t h e p e r i p h e r y o f t h e l a r g e cities r e f l e c t e d t h e crisis o f a t r a d i t i o n a l r u r a l society. A p p a r e n t l y t h e o l d h a c i e n d a s y s t e m a s well a s the c o m u n i d a d have outlived their time, a n d the t h e m e of agricultural r e f o r m , l o n g a subversive topic, has since 1956 b e e n on the a g e n d a o f p u b l i c d i s c u s s i o n . T h e serranos ( p e o p l e f r o m m o u n t a i n a r e a s ) , c r o w d e d i n t o t h e barriadas ( s h a n t y t o w n ) , a r e e x p o s e d t o a social a n d c u l t u r a l s i t u a t i o n w h i c h p r o v i d e s b o t h s h o c k a n d c h a l l e n g e . R i c h a r d W . P a t c h , a wise a n d i n f o r m e d o b s e r v e r , f i n d s i n his e x p e r i e n c e i n t h e w o r l d o f t h e b a r r i a d a s a n d o t h e r l o w e r - c l a s s q u a r t e r s of Lima an individualistic orientation a m o n g the u n d e r p r i v i l e g e d : " T h e r e s i d e n t s . . . b e l i e v e t h a t s u c c e s s is a c h i e v e d by

The

383

P e r u v i a n System o f Stratification

i n d i v i d u a l initiative. T h e p e r s o n himself h a s c o n t r o l o v e r his d e s t i n y ; i t i s n o t h i s f a t e t h a t will d e t e r m i n e w h e t h e r h e will s u c c e e d o r fail

.

.

.

T h e y see success as

transcendant God."

achieved,

not

ascribed

from birth by a

2 4

This seems to me to be an observation of major importance. It c o n t r a d i c t s t h e g e n e r a l l y a c c e p t e d view o f t h e " t r a d i t i o n a l i s t " o r i e n tation of t h e A n d e a n masses. Even if we accept, as does Patch, the views

attributed

founded,

this

to

the

anthropologists

of

traditionalism only continues

1940-1950

as

well

to characterize that

p a r t of t h e p o p u l a t i o n which c o n t i n u e s — a n d w h o knows for how l o n g ? — t o live i n c o n d i t i o n s w h i c h e x t e n d t h e c o l o n i a l h e r i t a g e i n t o the second half of the twentieth century. In the second place o n e must

note

the speed

with which the

transformation has taken

place, t h e r e m a r k a b l e efficaciousness o f the b a r r i a d a

2 5

as an agent

o f c h a n g e . F i n a l l y , o n e m u s t a s k h o w m u c h this t r a n s f o r m a t i o n h a s been

perceived

by

other

Peruvians,

and

particularly

by

those

g r o u p s which are in responsible, decision-making positions. For m a n y reasons, these changes have b e e n poorly understood. T h e Indian stereotype, as it emerges from the indigenist literature, u n d e r l i n e d t h e "collectivist" o r i e n t a t i o n o f t h e A n d e a n p o p u l a t i o n . In t h e early 1950s, w h e n the u r b a n b o o m in L i m a was particularly s t r o n g , a n t h r o p o l o g i s t s w e r e fascinated by the persistence of t h e t r a d i t i o n o f c o m m u n a l w o r k . I t was n o t e d with p l e a s u r e t h a t t h e s e r r a n o s h e l p e d family m e m b e r s a n d o t h e r s w h o c a m e f r o m their o w n village

(paisanos)

t o b u i l d h o u s e s a n d p a r t i c i p a t e d in v a r i o u s

g r o u p s a c c o r d i n g to their provincial origins. I n short, t h e old

ayni

( c o m m u n a l work system based on e x c h a n g e a n d reciprocity) surv i v e d . T h i s v i s i o n w a s a b l e t o last b e c a u s e i t c o n f o r m e d w i t h t h e interests a n d particularly the prejudices of the intelligentsia, which u n d e r t h e guise of

progresismo

was

ready to take a paternalistic,

protective a t t i t u d e t o w a r d the I n d i a n , straight o u t of t h e colonial t r a d i t i o n . T h e I n d i a n w o u l d c o n t i n u e , u n d e r t h e w i n g o f t h e intelligentsia, his l o n g m i n o r i a p r o t e g i d a , to use t h e p h r a s e of t h e con24.

R i c h a r d W. Patch, "La Parrada, Lima's Market: A S t u d y of Class a n d A s -

s i m i l a t i o n , " American Universities Field. Reports, W e s t C o a s t S o u t h A m e r i c a S e r i e s , 1 4 ( F e b r u a r y 1 9 6 7 ) , 11 ( m y italics). 2 5 . T o d a y , P e r u v i a n a u t h o r i t i e s p r e f e r pueblos jovenes t o t h e t e r m b a r r i a d a .

384

Frangois

Bourricaud

s e r v a t i v e Riva A g u e r o . H o w e v e r , m a n y P e r u v i a n s o c i o l o g i s t s p e r c e i v e d t h e social s i g n i f i c a n c e o f t h e c l e v e r , a g g r e s s i v e p e r s o n , w h o e v e n t h o u g h finally d e f e a t e d by adversity, b r o k e n by t h e battle for s u r v i v a l , d e b a s e d b y d e g r a d i n g c o n d i t i o n s , s e e k s o r a t least h a s a t o n e t i m e s o u g h t t o r i s e , a s a p r o d u c t o f social d i s o r g a n i z a t i o n a n d a n o m i e . But they t e n d e d to interpret the p h e n o m e n o n in terms of a n o m i e , r a t h e r t h a n to pay attention to the seeds of progress which w e r e t h e r e . T h e p e s s i m i s t i c view m a k e s s e n s e , o f c o u r s e , b u t P a t c h ' s r i c h o b s e r v a t i o n s s h o w t h a t it is o n e - s i d e d . It is t r u e t h a t Patch's w o r k refers only to the "marginal" sectors—not n u m e r i cally, b u t i n t e r m s o f social p o s i t i o n — o f u r b a n society. T h e r e i s g o o d r e a s o n t o b e l i e v e t h a t this i n d i v i d u a l i s t i c o r i e n t a t i o n i s s p r e a d i n g t h r o u g h o u t society, i n particular b e c a u s e o f e d u c a t i o n . A s s e e n b y t h o s e P a t c h h a s s t u d i e d . P e r u v i a n society i s a j u n g l e f r o m w h i c h all a m p a r o h a s d i s a p p e a r e d — e x c e p t , o f c o u r s e , for t h e s u p p o r t t h e u r b a n m a n gets f r o m his f a m i l y a n d f r i e n d s . B u t i n t h i s s o c i e t y w h e r e s u r v i v a l i s s o difficult, m o b i l i t y initially t a k e s t h e f o r m o f u n c e r t a i n t y a n d instability. A l t h o u g h i t i s n e c e s s a r y t o rise to s u r v i v e , it is n o t a q u e s t i o n of r i s i n g v e r y f a r : s m a l l c r a f t s , i t i n e r a n t t r a d e for the m o r e fortunate, precarious industrial employm e n t . A s p i r a t i o n s a r e low, b u t d i s s a t i s f a c t i o n i s n e i t h e r s t r o n g n o r widespread. H o w d o t h e s e i n d i v i d u a l s p e r c e i v e t h e i r social u n i v e r s e ? H o w d o they identify each other, distinguish themselves from each other? Patch shows that the old labels—indio, s e r r a n o , cholo, criollo— a c q u i r e in t h e c o n t e x t of t h e b a r r i a d a a strikingly rigid p a t t e r n . F o r t h o s e in t h e parrada, t h e r e a r e f o u r c a t e g o r i e s : s e r r a n o , i n d i o , c r i o l l o , c h o l o . C r i o l l o i s p o s i t i v e ; t h e s u b j e c t r e f e r s t o h i m s e l f this w a y w i l l i n g l y . S e r r a n o is slightly n e g a t i v e , b u t m o s t o f t e n it is u s e d to indicate g e o g r a p h i c origin a n d to e m p h a s i z e that he is newly arrived in Lima. T w o t e r m s a r e avowedly n e g a t i v e : indio, which imp l i e s d u l l o r t h i c k - h e a d e d , a n d c h o l o . w h i c h , e x c e p t i n a special int i m a t e c o n t e x t , signifies t h e s e r r a n o w h o w a n t s t o p a s s a s c r i o l l o . O f c o u r s e , those w h o m a k e these fine distinctions w o u l d never be rec2 6

26.

I m y s e l f h a v e n o t e d t w o c u r i o u s e x p r e s s i o n s : e l serranito, w h o i s n o l o n g e r

c o m p l e t e l y a s e r r a n o , b u t w h o i s n o t y e t a c r i o l l o , a n d t h e crioltito, w h o i s n o l o n g e r a s e r r a n o , but w h o is n o t yet a criollo.

T h e P e r u v i a n System o f Stratification

385

o g n i z e d b y a n y o n e o u t s i d e t h e i r o w n circles a s a n y t h i n g o t h e r than cholos. It is clear that these different statuses may be viewed as phases in a process of acculturation related to the process of urbanization. C a n o n e s u r m i s e t h a t t h e e m p h a s i s p u t o n t h e s e classifications o n l y m a s k s t h e e m e r g e n c e o f a s t r a t i f i c a t i o n s y s t e m w h e r e class p o s i t i o n replaces ethnic a n d cultural differences? Unlike Patch, I hesitate to r e s p o n d affirmatively because of t h e e x t r e m e w e a k n e s s of t h e political

and

economic

organizations

of the

urban

a r o u n d w h i c h class c o n s c i o u s n e s s c a n d e v e l o p .

2 7

underprivileged What does seem

clear is that n e i t h e r in actuality n o r symbolically is t h e i n d i o or t h e s e r r a n o at t h e c e n t e r of the stratification system. It is t r u e t h a t e v e n if at a c o n s c i o u s level t h e i d e n t i f i c a t i o n of Serr a n o a n d indio is rejected, it does not m e a n that the I n d i a n peasa n t s m a y n o t rise t o c h a n g e m a t t e r s i n t h e i r f a v o r . A l s o t h e m i l i t a r y r e g i m e h a s i n c r e a s e d its e f f o r t s t o l e g i t i m i z e , e v e n " s a n c t i f y , " t h e I n d i a n . N e v e r t h e l e s s , t h e a g r i c u l t u r a l r e f o r m o f 1 9 6 9 b y t h e existing j u n t a was a m e a s u r e i m p o s e d by t h e a u t h o r i t i e s f r o m above a n d in no way p e r c e i v e d as the result of t h e p r e s s u r e of t h e masses. Even t h o u g h the peasant struggles

increased in the

1960s, t h e

r e f o r m of 1969 could not be seen by the peasants as a revolut i o n a r y c o n q u e s t . C l e a r l y i t was a r e f o r m g r a n t e d , a n d g r a n t e d b y r u l e r s w h o a r e a s d e v o t e d t o law a n d o r d e r a s t o i n d e p e n d e n c e a n d n a t i o n a l d i g n i t y . T h i s e s s e n t i a l fact d i s t i n g u i s h e s t h e P e r u v i a n f r o m t h e M e x i c a n or Bolivian cases. T o a p p r e c i a t e t h e e f f e c t s o f t h e law o f 1 9 6 9 i t i s e s s e n t i a l t o d i s t i n g u i s h t h e i n t e n t i o n s a n d objectives o f its p r o m o t e r s f r o m t h e results which are b e g i n n i n g to a p p e a r . T h e military authorities wished to p u t an e n d to a situation which a p p e a r e d to t h e m to be m o r a l l y s h o c k i n g a n d full o f d a n g e r for t h e social f a b r i c . T h e r e f o r m of 1969 a p p e a r s to me to exemplify w h a t B a r r i n g t o n M o o r e calls c o n s e r v a t i v e m o d e r n i z a t i o n . F u r t h e r m o r e , d u r i n g t h e e n t i r e period of peasant turmoil which m a r k e d the presidency of M. Bel a u n d e , t h e l e a d e r s of t h e p e a s a n t m o v e m e n t n e v e r gave a nativist or i n d i g e n o u s character to their actions. H u g o Neira shows in a 27.

A s P a t c h h i m s e l f r e c o g n i z e s . "La P a r r a d o , " p . 1 2 .

386

Frangois

Bourricaud

convincing fashion that alongside the I n d i a n peasants are to be f o u n d c h o l o s f r o m s m a l l villages, u n i o n l e a d e r s , a n d s t u d e n t s w h o are trying to organize the indigenous masses a n d put t h e m in cont a c t w i t h u r b a n p r o g r e s s i v e social a n d political f o r c e s . 2 8

I t i s still e a r l y t o assess t h e r e s u l t s o f t h e r e f o r m o f 1 9 6 9 . N e v e r t h e l e s s I s h a l l risk t h r e e o b s e r v a t i o n s . First, i t d o e s n o t a p p e a r , a t least a s o f t o d a y , t h a t t h e r e f o r m h a s n o t i c e a b l y s l o w e d t h e r u r a l e x o d u s ; t h e S i e r r a c o n t i n u e s t o s t r e a m i n t o L i m a a n d t h e b i g cities. As for the beneficiaries of g o v e r n m e n t a l m e a s u r e s , the r e f o r m makes the peasants increasingly associated with the cooperatives based on the techniques of m o d e r n agronomy. It makes them peasants, but I d o u b t that it reinforces their Indian identity. T h e ref o r m n o t o n l y s p e e d s t h e e n t r a n c e o f p e a s a n t s i n t o t h e cycle o f m o d e r n e c o n o m i c life, b u t i t i n c r e a s e s t h e i r d e p e n d e n c e o n t h e a d ministration, which m a d e them p r o p r i e t o r s ultimately d e p e n d e n t o n i t for credit, seeds, a n d e q u i p m e n t . T h e old m i n o r i a p r o t e g i d a is not on the verge of disappearing even if the mixing of strata a n d estates increases. It is c l e a r t h a t t h e P e r u v i a n s t r a t i f i c a t i o n s y s t e m is in a s t a t e of transition. A l t h o u g h it has been suggested that it is c h a n g i n g from a c a s t e or s e m i - c a s t e to a class s y s t e m , I s h r i n k f r o m this t h e o r y . For the m o m e n t it seems to me p r u d e n t to observe that neither class n o r c a s t e s t r u c t u r e i s visible. P e r u v i a n society i s i n d e e d b e i n g modernized a n d becoming industrialized, a n d g r o u p s are e m e r g i n g , o n t h e basis o f c o m p e t e n c e a n d m e r i t , i n o p p o s i t i o n t o t h e n a tional a n d foreign o w n e r s of the m e a n s of p r o d u c t i o n . W h a t I am d o u b t f u l a b o u t , h o w e v e r , i s t h e s p e e d o f this t r a n s i t i o n , a n d w h a t i t is l e a d i n g to. T h e P e r u v i a n stratification system n o w j u x t a p o s e s elements which are m o r e and m o r e h e t e r o g e n e o u s . Neither Indian n o r m e s t i z o c o n s t i t u t e s a g r o u p a r o u n d w h i c h i t c a n crystallize. I t m a k e s n o m o r e s e n s e t o call P e r u a n I n d i a n c u l t u r e o r society t h a n to call it a c r o s s - b r e e d c o u n t r y . A n d it is c l e a r t h a t , g i v e n t h e p e jorative n u a n c e s that cling to the t e r m , no o n e w o u l d accept cholo and Peruvian as synonymous. On the other h a n d , it is true that h u m a n g r o u p s c a n still b e f o u n d i n t h e A n d e s t h a t a r e s t r a t i f i e d ac-

28.

H u g o N e i r a , Cuzio: Tierra o muertt ( L i m a , P r o b l e m a s d e H o y , 1 9 6 4 ) .

The

P e r u v i a n System o f Stratification

387

c o r d i n g t o t h e p r i n c i p l e s o f c o l o n i a l society, b u t t h e s e p r i n c i p l e s a r e n o l o n g e r valid i n a n u r b a n o r industrial c o n t e x t a n d certainly c a n n o t b e a p p l i e d t o P e r u v i a n society a s a w h o l e . Despite t h e p r e s e n t uncertainty a b o u t the Peruvian stratification system, f o u r conclusions relating to t h e role of the I n d i a n can be d r a w n f r o m t h e p r e c e d i n g analysis: 1. t h e symbolism of lo i n d i o r e m a i n s effective only in the case of small traditional g r o u p s w h i c h f o r m i s o l a t e d i s l a n d s i n P e r u v i a n society; 2 . i t a p p e a r s i n a d e q u a t e to e x p r e s s differential relations b e t w e e n g r o u p s in t h e m o d e r n sect o r ; 3 . f o r P e r u v i a n society a s a w h o l e , t h e s y m b o l i s m o f l o i n d i o expresses a desire for unity r a t h e r t h a n an e x p r e s s i o n of identity; 4 . b e c a u s e P e r u v i a n s o c i e t y i s still w i t h o u t a c l e a r a n d d e f i n i t e s t r u c t u r e it is subject to two o p p o s i n g tendencies. S o m e t i m e s it t e n d s to b r e a k u p into small, isolated units; s o m e t i m e s a t t e m p t s a r e m a d e t o c r e a t e a n activist m o v e m e n t t o m e e t t h e n e e d s o f t h e " r e a l P e r u . " I t i s i n t e r m s o f t h i s conflict t h a t t h e a m b i g u i t y o f l o i n d i o s y m b o l i s m lies.

T H E N E W STATES

12 M I L T O N J. ESMAN

C o m m u n a l Conflict in Southeast Asia

Southeast world's

Asia

regions.

is

ethnically

Centuries

waves of religio-cultural

of

the

most

large-scale

heterogeneous migration,

movements, wars and

of t h e

successive

trade, and most

recently, colonial conquest have p r o d u c e d an ethnologists' parad i s e . H i n d u , B u d d h i s t , C o n f u c i a n i s t , M u s l i m a n d C h r i s t i a n influe n c e s h a v e b e e n m o d i f i e d bv m u t u a l c o n t a c t a n d b y m i x t u r e a n d coexistence with i n d i g e n o u s practices, m a n y of w h i c h survive. In this c h a p t e r n o e f f o r t will b e m a d e t o c a t a l o g u e t h e c o m p l e x a n d shifting ethno-linguistic m a p of S o u t h e a s t Asia, since this is n o t a s t u d y i n e t h n o l o g y . N o r will this b e a h i s t o r y o f g r o u p d i f f e r e n t i a t i o n a n d f u s i o n i n this r e g i o n . O u r c o n c e r n i s n o t w i t h c u l t u r a l p l u r a l i s m p e r s e o r e v e n with g r o u p interaction, b u t with t h e politi c i z a t i o n o f c o m m u n a l d i f f e r e n c e s i n t o i s s u e s t h a t p r o d u c e conflict a n d r e q u i r e regulation by public authority. We shall a t t e m p t to identify s o m e of t h e politically salient patterns of i n t e r c o m m u n a l relations in the c o n t e m p o r a r y post-colonial p h a s e o f S o u t h e a s t Asia's h i s t o r y a n d a n a l y z e s o m e o f t h e p r o b l e m s t h e s e p l u r a l s o c i e t i e s e n c o u n t e r a s t h e i r elites a t t e m p t b o t h t o m o d e r n i z e a n d t o c r e a t e v i a b l e political s y s t e m s . W h i l e m a n y c o m m u n a l g r o u p s m o v e , s t r a d d l e , a n d transact across f o r m a l political b o u n d a r i e s , o u r u n i t o f a n a l y s i s will n e v e r t h e l e s s b e t h e c o n t e m p o r a r y t e r ritorial state, b e c a u s e at this p o i n t in history, this is t h e s t r u c t u r e within which the claims of constituent c o m m u n a l g r o u p s a r e ass e r t e d a n d their t e r m s o f association a r e d e t e r m i n e d .

Milton J.

392

Esman

E a c h of t h e territorial states in S o u t h e a s t A s i a — B u r m a , T h a i l a n d , Malaysia, S i n g a p o r e , Laos, C a m b o d i a , V i e t n a m ( N o r t h a n d South), Indonesia, and the Philippines—confronts major problems of pluralism.

Individuals identify

egories which antedate territorial

themselves by

c o m m u n a l cat-

s t a t e s a n d t h e s e loyalties a n d

s t r u c t u r a l solidarities c o m p e t e with t h e claims o f t h e latter. T h u s , t h e c o m m u n a l d i m e n s i o n o f politics i s a n i m p o r t a n t c o n c e r n i n all these countries a n d in some it is the chief and nagging preoccupat i o n o f political elites. S o m e o f t h e l a t t e r m a y d r e a m o f a d a y i n t h e d i s t a n t f u t u r e w h e n a fully i n t e g r a t e d o r a s s i m i l a t e d c i t i z e n r y will s p a r e t h e i r s u c c e s s o r s t h e political a n x i e t i e s o f a p l u r a l s o c i e t y , b u t for t h e p r e s e n t they m u s t c o n t e n d with this intractable reality. Yet c o m m u n a l solidarity is not t h e only line of cleavage in S o u t h e a s t Asia. Class a n d ideologv have eclipsed, t h o u g h n o t displaced, it in t h e r e c e n t civil w a r i n V i e t n a m , i n t h e p e a s a n t r e b e l l i o n s i n t h e Philippines, and in the long struggle between the a r m y and the C o m m u n i s t party in Indonesia. Within some c o m m u n a l groups, particularly the larger a n d m o r e m o d e r n ones, including Malays a n d C h i n e s e i n Malaysia, J a v a n e s e a n d B u r m a n s , class c l e a v a g e s w o u l d be even m o r e intense if not for t h e fear that c o m p e t i n g comm u n a l g r o u p s would benefit. A c o m p l e t e analysis of a n y of t h e s e systems would have to consider the cross-cutting consequences of i d e o l o g i c a l , class, a n d c o m m u n a l i n t e r e s t s . I shall l i m i t t h i s c h a p t e r to c o m m u n a l cleavages because t h e i r m a n a g e m e n t is critical to t h e m a i n t e n a n c e o f c o n t e m p o r a r y political s y s t e m s i n S o u t h e a s t A s i a . R e l a t i o n s , t h a t is, t h e p r o p o r t i o n a n d t h e q u a l i t y o f conflict a n d c o o p e r a t i o n a m o n g two o r m o r e c o m m u n a l g r o u p s , d e p e n d o n the following factors:

(1)

the

relative

resources

at the disposition of each

g r o u p . T h e s e resources are demographic—relative n u m b e r s ; organ i z a t i o n a l — d e g r e e of mobilization a n d capacity to p u t resources to political uses; e c o n o m i c — c o n t r o l of finance, m e a n s of p r o d u c t i o n , o r t r a d e c h a n n e l s ; t e c h n o l o g i c a l — p o s s e s s i o n o f m o d e r n skills; locat i o n a l — c o n t r o l o f n a t u r a l r e s o u r c e s a n d s t r a t e g i c t e r r i t o r y ; political—control or influence over the instrumentalities of the state; a n d i d e o l o g i c a l — t h e n o r m a t i v e basis f o r g r o u p o b j e c t i v e s . I n a d d i tion to t h e s e objective d e t e r m i n a n t s of p o w e r , t h e quality of intercommunal

relations d e p e n d s

on

(2)

the

congruity

or

disparity

in

goals

b e t w e e n those who control t h e state a p p a r a t u s a n d t h e leaders of

393

C o m m u n a l Conflict in Southeast Asia

c o n s t i t u e n t g r o u p s . If t h e goals a r e t h e s a m e , for e x a m p l e , assimil a t i o n , t h e n w h a t e v e r t h e r e l a t i v e r e s o u r c e s , t h e o u t c o m e i s likely t o b e c o n s e n s u a l . If, h o w e v e r , t h e g o a l s a r e i n c o m p a t i b l e , o n e g r o u p seeking assimilation while the o t h e r d e m a n d s a u t o n o m y , the conseq u e n c e s will b e t e n s i o n a n d conflict a n d o u t c o m e s will b e d e t e r m i n e d by the relative resources controlled by t h e parties. M o r e likely, g r o u p s m a y a g r e e o n s o m e issues ( f o r e x a m p l e , c r i t e r i a f o r citizenship) a n d disagree on o t h e r s (national language) so that outc o m e s m a y b e a f f e c t e d b y b a r g a i n i n g . (3) T h i s i n t r o d u c e s a t h i r d determining factor—the conventions, rules, procedures, and structures,

the

institutions

for

conflict

management.

Without

such

institu-

tions t h e r e can be no predictability in i n t e r g r o u p relations a n d no framework for c h a n n e l i n g g r o u p d e m a n d s o r for regulating outcomes. I n t e r c o m m u n a l r e l a t i o n s h i p s a r e n o t f i x e d . T h e y shift o v e r t i m e with c h a n g e s in the relative r e s o u r c e positions a n d goal p e r c e p t i o n s o f t h e c o m p e t i n g p a r t i e s a n d t h e i n s t i t u t i o n s a v a i l a b l e f o r conflict m a n a g e m e n t . C h a n g e s m a y r e s u l t f r o m f a c t o r s i n t e r n a l t o t h e syst e m ( e l e c t i o n r e s u l t s o r t h e i m p a c t o f a local i n s u r r e c t i o n ) o r b y e x ternal,

international

forces

that

affect

the

internal

balance

of

p o w e r . T h e latter h a v e b e e n particularly p r o m i n e n t a n d destabilizi n g in S o u t h e a s t Asia since W o r l d W a r II, i n c l u d i n g such events as the Indochina war, the Indonesia-Malaysia confrontation, and the incursion of K u o m i n t a n g military r e m n a n t s into N o r t h e r n B u r m a , T h a i l a n d , a n d Laos. I n t e r c o m m u n a l relations in S o u t h e a s t Asia a r e so diverse that t h e y c a n n o t p o s s i b l y fit a s i n g l e m o d e o f e x p l a n a t i o n . I n t h e s e c t i o n t h a t follows,

I

shall e x p l o r e f i v e p a t t e r n s o f c o m m u n a l politics

which i m p o s e s o m e o r d e r on this diversity, yet a c c o u n t for most of the empirical data. T h e s e p a t t e r n s a r e in no way u n i q u e to Southeast Asia. In so brief a s u r v e y as this, only t h e gross d i m e n s i o n s of c o m m u n a l relationships can be included a n d m u c h of the interesting contextual detail m u s t be omitted. FIVE PATTERNS OF C O M M U N A L POLITICS T h e f i r s t , a n d b y f a r t h e m o s t c o m m o n a n d t h e m o s t significant, is

the

center-^periphery

pattern.

The

center-periphery

concept

is

s t r a i g h t f o r w a r d : o n e g r o u p — i n o u r case a c o m m u n a l g r o u p o r

394

Milton

J.

Esman

c o m m u n a l c o a l i t i o n — d o m i n a t e s the c e n t e r o f t h e political system, the resources a n d the a p p a r a t u s of state power, a n d exercises h e g e monic control over other communal groups at the periphery of t h e s y s t e m . T h e political c e n t e r n e e d n o t b e l o c a t e d a t t h e g e o g r a p h i c c e n t e r o f t h e p o l i t y — t h o u g h this w o u l d clarify t h e m e t a p h o r . In S o u t h e a s t Asia, h o w e v e r , t h e two t e n d to c o i n c i d e , with the peripheral g r o u p s located at s o m e g e o g r a p h i c distance from t h e political c e n t e r . T h e i r r e l a t i v e a u t o n o m y i s t h u s a f f e c t e d b y t h e ability o f t h e c e n t e r t o p e n e t r a t e t h e a r e a s t h e y o c c u p y w i t h military

forces

and

administrative

services.

The

communal

group

which controls the center need not represent a majority of the polity b u t i s u s u a l l y t h e l a r g e s t c o n s t i t u e n t g r o u p . ( S e e t h e A p p e n d i x , p a g e s 4 1 7 - 4 1 8 , for t h e d e m o g r a p h i c p r o p o r t i o n s i n t h e S o u t h e a s t Asian countries.) T h e B u r m a n s control the center in B u r m a . Much of the history o f t h a t t r o u b l e d c o u n t r y since a c h i e v i n g i n d e p e n d e n c e i n 1 9 4 8 h a s r e s u l t e d f r o m t h e inability o f t h e B u r m a n political a n d c u l t u r a l elites a t t h e c e n t e r a n d t h e p e r i p h e r a l p e o p l e s — S h a n s , K a r e n s , Katchins, Arakanese, and Mons—to agree on terms of coexistence. T h o u g h t h e constitution provides for federal institutions to p r o t e c t the positions of the minorities, the center generally has p r o m o t e d "national unity," while the p e r i p h e r a l g r o u p s have claimed g r e a t e r a u t o n o m y . T h e r e s u l t h a s b e e n a c o n t i n u o u s a n d costly s u c c e s s i o n o f i n s u r r e c t i o n s , s o m e a b e t t e d bv K u o m i n t a n g r e m n a n t s , o t h e r s s u p p o r t e d b y t h e P e k i n g g o v e r n m e n t a n d w h i c h t h e B u r m a n military has not b e e n able to liquidate. I n s u r g e n c y has b e c o m e a way of life f o r m a n y o f t h e m a l e s i n t h e p e r i p h e r a l g r o u p s . T h e d i s p u t e b e t w e e n f o r m e r P r i m e M i n i s t e r U N u a n d t h e milit a r y led b y G e n e r a l N e W i n , w h i c h led t o t h e o u s t e r o f t h e f o r m e r a n d t h e a r m y t a k e o v e r i n 1 9 6 2 , i n v o l v e d this v e r y i s s u e . T h e n a tionalistic m i l i t a r y l e a d e r s h i p f e a r e d t h a t U

Nu was m a k i n g so

m a n y concessions to the minorities in o r d e r to gain their peaceful a n d v o l u n t a r y p a r t i c i p a t i o n i n t h e political s y s t e m — a n d i n c i d e n tally t o solidify his o w n political p o s i t i o n — a s t o c o m p r o m i s e t h e viability o f t h e B u r m e s e s t a t e . N e i t h e r r e p r e s s i v e m e a s u r e s a p p l i e d by the military r e g i m e d u r i n g the past d e c a d e n o r a t t e m p t s at negotiated settlements have achieved a consensual m o d u s vivendi

C o m m u n a l Conflict i n S o u t h e a s t Asia

395

b e t w e e n c e n t e r a n d p e r i p h e r y , n o r h a s t h e c e n t e r p o s s e s s e d suff i c i e n t c o e r c i v e r e s o u r c e s t o pacify t h e c o u n t r y . O n t h e o t h e r h a n d , the minorities have not d e m o n s t r a t e d the capacity to maintain an effective coalition a g a i n s t t h e B u r m a n s . S o t h e b l o o d l e t t i n g c o n tinues while the e c o n o m y stagnates. In neighboring Thailand, the

peripheral groups are a larger

p r o p o r t i o n o f t h e p o p u l a t i o n t h a n i n B u r m a , b u t t h e y a r e less effectively

mobilized.

The

Thai

government's

approach

to

these

g r o u p s — M a l a y M u s l i m s i n its f o u r s o u t h e r n p r o v i n c e s b o r d e r i n g M a l a y s i a , M e o , Y a o , a n d o t h e r hill t r i b e s i n t h e n o r t h , t h e l a r g e Thai-Lao group in the depressed northeast, and the Vietnamese enclave b o r d e r i n g Laos—has until recently b e e n o n e of neglect, r a t h e r t h a n e n f o r c e d assimilation, since t h e existence of these outlying peoples h a d n o t b e e n c o n s i d e r e d a t h r e a t to t h e security of t h e state.

During the

past decade,

however,

this

situation

has

c h a n g e d . T h e I n d o c h i n a war a n d t h e active s u p p o r t o f t h e T h a i g o v e r n m e n t for U.S. military o p e r a t i o n s h a s p r o v o k e d t h e N o r t h V i e t n a m e s e t o p r o m o t e i n s u r g e n c i e s b y e x p l o i t i n g t h e social a n d e c o n o m i c g r i e v a n c e s o f t h e hill t r i b e s m e n , t h e V i e t n a m e s e r e f u g e e settlement o n the M e k o n g , a n d especially t h e large L a o - s p e a k i n g m i n o r i t y i n the n o r t h e a s t , w h o m t h e c e n t r a l T h a i elites h a v e traditionally ments,

r e g a r d e d as b r o t h e r T h a i b u t n o t favored with

invest-

public services, or o p p o r t u n i t i e s to participate on equal

terms in the g o v e r n m e n t or educational system. T h e T h a i g o v e r n m e n t has i m p r o v i s e d several m e a s u r e s for coping

with

these

unwelcome

expressions

of minority

discontent.

N o n e of t h e m is d e s i g n e d to e n c o u r a g e effective participation by a n y o f these g r o u p s i n t h e political system. T h e i r i m p l e m e n t a t i o n has b e e n inhibited by t h e reluctance of t h e g o v e r n m e n t to invest h e a v i l y i n t h e s e activities a n d t h e lack o f e n t h u s i a s m a m o n g T h a i a d m i n i s t r a t o r s for w o r k i n g with t h e p e r i p h e r a l p e o p l e s , whose language, customs and needs they do not understand, in areas remote f r o m B a n g k o k w h e r e t h e g o o d life a n d c a r e e r o p p o r t u n i t i e s lie. T h e most intractable case has b e e n t h e V i e t n a m e s e . Originally refugees from Laos in the pre-1954 phase of t h e I n d o c h i n a war, they h a v e w a x e d in n u m b e r s a n d in relative p r o s p e r i t y . N o w nearly a h u n d r e d t h o u s a n d strong, they sympathize with H a n o i a n d thus

396

Milton J.

Esman

r e p r e s e n t a serious security p r o b l e m to the T h a i g o v e r n m e n t . T h e y s h o w little i n t e r e s t i n " r e t u r n i n g " t o V i e t n a m , n o r h a s t h e H a n o i g o v e r n m e n t , despite s o m e repatriations in the early 1960s, d e m o n s t r a t e d a n y e n t h u s i a s m t o facilitate t h i s p r o c e s s . T h e T h a i g o v e r n m e n t c o n s i d e r s t h e m u n w e l c o m e a n d u n a s s i m i l a b l e f o r e i g n e r s , will not g r a n t them or their p r o g e n y any citizenship rights, maintains c l o s e p o l i c e s u r v e i l l a n c e o f t h e i r activities, a n d h o p e s f o r t h e i r eventual departure. T o w a r d t h e s e v e r a l hill t r i b e s i n t h e n o r t h , t h e g o v e r n m e n t ' s m a i n interest a p p e a r s to be to h e l p t h e m achieve settled p a t t e r n s of agriculture so that they can be governed in the normal T h a i adm i n i s t r a t i v e p a t t e r n a n d t o d e n y t h e i r villages a s b a s e s f o r a n t i g o v e r n m e n t i n s u r g e n t activities. B e c a u s e t h e y a r e s m a l l , d i v i d e d , a n d e c o n o m i c a l l y b a c k w a r d , t h e y will f o r t h e i n d e f i n i t e f u t u r e b e m a r g i n a l t o t h e T h a i polity a n d e c o n o m y . O n t h e o t h e r h a n d , t h e Lao speakers in the neglected, impoverished, a n d underrepresented northeast have become a serious problem. Nearly as n u m e r o u s as the d o m i n a n t central Thai, they proved to be vulnerable to N o r t h Vietnamese-inspired subversion. In r e s p o n s e , t h e T h a i g o v e r n m e n t with substantial U.S. assistance has m o u n t e d a large-scale c o u n t e r i n s u r g e n c y p r o g r a m c o m b i n i n g i m p r o v e d public services a n d e c o n o m i c d e v e l o p m e n t projects with tighter security m e a s u r e s . T h e r e s u l t s h a v e n o t b e e n s u f f i c i e n t t o c o n t a i n t h e insurgency. Since the T h a i g o v e r n m e n t r e g a r d s the T h a i - L a o as ethnic T h a i a n d because t h e y practice a nationalistic, highly centrali z e d a n d a d m i n i s t r a t i v e style o f g o v e r n a n c e o r i e n t e d t o a s s i m ilationist objectives, they a r e n o t inclined to c o n s i d e r a n y f o r m of pluralism or territorial a u t o n o m y for these people. Meanwhile, in the four s o u t h e r n provinces, the r e m n a n t s of the defeated Chinese-manned insurgency of the Malayan Communist party have f o u n d sanctuary a m o n g the Muslims. Fifteen years after their defeat in Malaya, they have l a u n c h e d several guerrilla incursions from these bases across t h e b o r d e r . At t h e insistence of the Malaysians, the T h a i g o v e r n m e n t has e m b a r k e d on half-hearted a n d largely ineffectual efforts to c u r b the guerrillas b u t has d o n e little t o a d d r e s s itself t o t h e g r i e v a n c e s o f t h e i r i n c r e a s i n g l y dissatisfied Malay minority.

C o m m u n a l Conflict in S o u t h e a s t Asia

397

T h o u g h I shall t r e a t Malaysia a s a c a s e o f b a l a n c e d p l u r a l i s m b e tween Malays a n d Chinese, t h e r e is a c e n t e r - p e r i p h e r y relationship in East Malaysia. In S a b a h the K a d a z a n s a n d in S a r a w a k t h e I b a n a r e t h e l a r g e s t o f s e v e r a l i n d i g e n o u s e t h n i c g r o u p s . S i n c e t h e y still live i n s u b s i s t e n c e c o m m u n i t i e s a n d a r e p o o r l y e d u c a t e d , t h e y a r e o n l y p a r t i a l l y m o b i l i z e d politically a n d , e s p e c i a l l y i n S a b a h , d o n o t e x e r c i s e t h e political o r c u l t u r a l i n f l u e n c e t h a t t h e i r n u m b e r s w o u l d w a r r a n t . Politics i n E a s t Malaysia t e n d s t o r e p l i c a t e t h e W e s t M a l a y sian p a t t e r n o f M a l a y - C h i n e s e c o l l a b o r a t i o n a n d c o m p e t i t i o n . T h e t e r m s o f p a r t i c i p a t i o n f o r t h e slowly m o b i l i z i n g i n d i g e n o u s p e o p l e s h a v e n o t yet b e e n resolved. The

I n d o c h i n a states h a v e n o t e n j o y e d sufficient p e a c e since

their formal i n d e p e n d e n c e in 1954 to sort o u t t h e i r e t h n i c p r o b lems. T h e p e r i p h e r a l peoples located in the m o u n t a i n cordillera of I n d o c h i n a o c c u p y m o r e t h a n t w o t h i r d s o f its t e r r i t o r y .

Moving

freely, often in d i s r e g a r d of f o r m a l state b o u n d a r i e s , they h a v e b e e n a n i m p o r t a n t f a c t o r i n t h e s e civil w a r s . E v e n i n C a m b o d i a , w h e r e t h e y r e p r e s e n t less t h a n 2 p e r c e n t o f t h e p o p u l a t i o n , i t i s i n t h e e a s t e r n hills w h e r e m a n y o f t h e m r e s i d e t h a t t h e V i e t c o n g a n d the

North

Vietnamese

established

their sanctuary and

base

of

operation. T h e e t h n i c lowland L a o a t t h e c e n t e r o f t h a t fragile polity c o m p r i s e b a r e l y h a l f its p o p u l a t i o n . T h e s e v e r a l hill t r i b e s , i n c l u d i n g the Kha (Lao-Teng) in the south, the o p i u m - p r o d u c i n g Meo in the c e n t e r , a n d t h e T a i i n t h e n o r t h , h a v e m a d e few d e m a n d s o n t h e Lao

government

and

have

enjoyed

substantial

autonomy.

The

M e o , e s p e c i a l l y , h a v e successfully a s s e r t e d t h e r i g h t t o d i s p o s e o f their

profitable o p i u m c r o p in

international commerce,

only to a symbolic tribute to the

subject

Lao government. During the

recent war against the Pathet Lao a n d the N o r t h Vietnamese, the majority faction of t h e M e o w e r e a r m e d by t h e U n i t e d States to fight the

North

Vietnamese

invaders,

and

their

leaders

were

b r o u g h t i n t o t h e Royal L a o g o v e r n m e n t . A m i n o r i t y f a c t i o n o f t h e s a m e p e o p l e identified with the P a t h e t L a o . T h e ancestral territories of the M e o in X i e n g K h o u n g province w e r e i n v a d e d by the North Vietnamese and devastated by American bombing. Large n u m b e r s of them were displaced and forced to move as refugees

398

Milton

J.

Esman

into the lowland areas traditionally inhabited by the Lao. Because of the long-standing neglect a n d c o n t e m p t of the d o m i n a n t Lao for t h e K h a , t h e l a t t e r w e r e easily s u b v e r t e d b y t h e N o r t h V i e t n a m e s e w h o m a i n t a i n e d t h e H o C h i M i n h trail a n d its vital logistical facilities i n a r e a s i n h a b i t e d b y t h e K h a p e o p l e s . Both in North and in South Vietnam, the Vietnamese occupy the l o w l a n d s a n d c o n t r o l t h e political c e n t e r , b u t t h e h i g h l a n d s a r e i n h a b i t e d by i n d i g e n o u s tribal peoples, most of t h e m practicing a slash a n d b u r n style o f a g r i c u l t u r e . T h e s e t e c h n o l o g i c a l l y b a c k w a r d p e o p l e s w e r e p r o t e c t e d by t h e F r e n c h , b u t after 1954 they b e c a m e p e r i p h e r a l subjects o f t h e V i e t n a m e s e . Yet t h e Saigon a n d H a n o i regimes p u r s u e d diametrically opposite a p p r o a c h e s to their backw a r d , m i n o r i t y s u b j e c t s . T h e D i e m r e g i m e d e m o n s t r a t e d its c o n t e m p t for these p e o p l e in n u m e r o u s ways. It offered t h e m a n e g ligible

role

in

government,

denigrated

their

cultures,

and

p r o v i d e d few p u b l i c s e r v i c e s b u t a t t e m p t e d f o r s e c u r i t y r e a s o n s t o settle d e m o b i l i z e d V i e t n a m e s e v e t e r a n s a n d r e f u g e e s f r o m N o r t h V i e t n a m on lands traditionally claimed by the tribesmen. D u r i n g the V i e t n a m war the U n i t e d States provided material assistance a n d successfully r e c r u i t e d t r o o p s from these tribes in o r d e r to k e e p t h e N o r t h V i e t n a m e s e o u t o f these territories. T h e hostility o f these t r i b e s m e n to t h e Saigon g o v e r n m e n t was so i n t e n s e t h a t cooperation between them would have been impossible, a n d indeed t h e S a i g o n g o v e r n m e n t o p p o s e d t h e a r m i n g o f its h o s t i l e t r i b a l minorities. With the end of American participation, it a p p e a r s that t h e T h i e u g o v e r n m e n t will r e v e r t t o t h e D i e m policy o f r a c i a l s u p e riority, d o m i n a n c e , a n d minimal attention to the material a n d symbolic n e e d s o f t h e s e t r i b a l p e o p l e . ( I shall n o t t r e a t t h e C a t h o l i c Buddhist cleavage a m o n g the ethnic Vietnamese. D u r i n g the Diem p e r i o d , t h e highly o r g a n i z e d Catholic m i n o r i t y c o n t r o l l e d t h e political c e n t e r o f t h e S a i g o n r e g i m e a n d m u c h o f s u b s e q u e n t S o u t h V i e t n a m e s e politics h a s i n v o l v e d t h e r e l a t i v e p o s i t i o n s o f C a t h o l i c s and Buddhists.) By contrast, the H a n o i r e g i m e , profiting from Soviet minority doctrine a n d practice, has taken great pains to p r o m o t e the dignity of the tribal peoples, to foster their l a n g u a g e a n d c u l t u r e , a n d t h u s

C o m m u n a l Conflict in Southeast Asia

399

to win their allegiance to the r e g i m e . T h e y have o r g a n i z e d two a u tonomous regions, the T h a i - M e o and the Viet-Bac covering m o r e than half the territory of the country. Much of the revolutionary struggle of t h e V i e t m i n h against the F r e n c h colonial r e g i m e was c o n d u c t e d from territorial bases inhabited by the tribal minorities. After their successful struggle, t h e H a n o i g o v e r n m e n t following t h e L e n i n i s t p o l i c y o f " n a t i o n a l i n f o r m , socialist i n c o n t e n t " h a s s p o n s o r e d the use of tribal l a n g u a g e s , p r o v i d e d e d u c a t i o n a l a n d o t h e r public services, a n d b r o u g h t tribal m e m b e r s i n t o t h e C o m munist

party

and

government.

Thus

the

management

of the

c e n t e r - p e r i p h e r y relationship by the two c o m p e t i n g V i e t n a m e s e r e g i m e s h a s f o l l o w e d o p p o s i t e policies a n d h a s p r o d u c e d , i n t h e s h o r t r u n a t least, o p p o s i t e r e s u l t s . From their densely populated heartland, the Javanese occupy t h e g e o g r a p h i c a n d political c e n t e r i n

Indonesia. An important

d i m e n s i o n o f t h e politics o f i n d e p e n d e n t I n d o n e s i a h a s b e e n t h e struggle of the non-Javanese minorities, particularly the S u n d a n e s e in J a v a , the Achinese, Batak, M e n a n g k a b a u a n d coastal Malays in S u m a t r a , Makassarees a n d B u g i n e s e in Sulewesi, a n d coastal Malay i n K a l i m a n t a n , t o resist J a v a n e s e h e g e m o n y a n d m a i n t a i n t h e i r aut o n o m y . T h e o u t e r islands t e n d t o b e m o r e richly e n d o w e d with n a t u r a l resources, m o r e p r o d u c t i v e economically a n d , allowing for very c o n s i d e r a b l e linguistic a n d cultural diversity, m o r e o r i e n t e d to Islamic values a n d

practices than Java. On the o t h e r h a n d , the

J a v a n e s e d o m i n a t e the overblown administrative system a n d the a r m e d forces. I n d o n e s i a h a s oscillated b e t w e e n f e d e r a l a n d unitary c o n s t i t u t i o n s a n d h a s s u f f e r e d m a j o r r e b e l l i o n s b y t h e o u t e r isl a n d e r s a g a i n s t a l l e g e d political d o m i n a t i o n a n d e c o n o m i c e x p l o i t a t i o n b y t h e J a v a n e s e . T h e S u k a r n o policy o f e n c o u r a g i n g " t r a n s m i g r a t i o n , " to h e l p relieve t h e

o v e r p o p u l a t i o n o f J a v a b y gov-

e r n m e n t - s p o n s o r e d settlement of ethnic J a v a n e s e in t h e sparsely populated

outer

islands,

was

bitterly

resented

and

resisted

as

Javanese colonialism. Indonesia's rapidly growing u r b a n areas have b e c o m e a r e n a s o f b i t t e r conflict b e t w e e n c o m m u n a l l y o r i e n t e d m i grants competing

for very

scarce opportunities.

T h e s e conflicts

occur as frequently a n d as intensely a m o n g the various minorities

•loo

1

• ;/P {

Milton

J.

Esman

as between any of t h e m and Javanese. As in B u r m a , the peripheral p e o p l e s h a v e n o p a r t i c u l a r love f o r o n e a n o t h e r a n d d o n o t m a i n tain an effective coalition. T h e Javanese have not attempted to impose their language or customs on their compatriots. T h e y have accepted a version of Malay, s p o k e n as t h e native l a n g u a g e only by the Malay a n d M e n e n g k a b a u minorities, as Bahasa Indonesia, the national lingua f r a n c a a n d official l a n g u a g e o f g o v e r n m e n t a n d a d m i n i s t r a t i o n . Bahasa I n d o n e s i a seems to have b e e n accepted both practically a n d s y m b o l i c a l l y b y all I n d o n e s i a n e t h n i c g r o u p s a n d a l o n g w i t h t h e n a tionalist ideology a n d t h e I n d o n e s i a n national a r m y has b e e n t h e c h i e f u n i f y i n g f o r c e i n this l a r g e , h e t e r o g e n e o u s c o u n t r y . T h e m a n a g e m e n t of Indonesia's pluralisrn~fias always b e e n a major c o n c e r n of the a r m y , before 1965 w h e n it s h a r e d p o w e r with S u k a r n o a n d s i n c e t h a t t i m e w h e n i t h a s b e e n t h e g o v e r n i n g instit u t i o n o f t h e c o u n t r y . T h o u g h its c o m m a n d s t r u c t u r e a n d its e n listed r a n k s a r e d o m i n a t e d b y J a v a n e s e , t h e a r m y h a s a t t e m p t e d , with considerable success, to balance centralized c o n t r o l t h r o u g h a c o m m o n nationalist a n d a n t i - C o m m u n i s t ideology a n d military disc i p l i n e w i t h c o n s i d e r a b l e a u t o n o m y f o r its t e r r i t o r i a l c o m m a n d e r s in administration and economic development. So long as they keep t h e p e a c e a n d m a i n t a i n effective c o n t r o l o f t h e i r r e g i o n s , t h e t e r r i torial c o m m a n d e r s can serve as s p o k e s m e n for t h e interests of their e t h n i c c o n s t i t u e n t s a n d f i n a n c e t h e i r o p e r a t i o n s f r o m t h e sales p r o ceeds of regional products, often t h r o u g h irregular channels of c o m m e r c e . T h e military l e a d e r s h i p , w h i c h successfully s u p p r e s s e d the a n t i - S u k a r n o o u t e r island rebellion of 1958, is a w a r e of the importance of restraining Javanese hegemony by providing nonJ a v a n e s e w i t h s o m e m i l i t a r y , political, a n d a d m i n i s t r a t i v e p o s t s i n the J a k a r t a g o v e r n m e n t a n d g u a r a n t e e i n g t h e m a m e a s u r e of economic and administrative autonomy. It is r e a s o n a b l e to c o n c l u d e that in the polities w h i c h we have r e v i e w e d , t h e elites a t t h e c e n t e r f o n d l y h o p e t h a t t h e p e r i p h e r a l g r o u p s will g r a d u a l l y a c c u l t u r a t e a n d o n e d a y a s s i m i l a t e i n t o t h e d o m i n a n t society. I n this w a y t h e t r o u b l e s o m e p l u r a l i s m t h a t afflicts t h e i r p o l i t i e s w o u l d e v e n t u a l l y — a n d t h e s o o n e r t h e b e t t e r — b e l i q u i d a t e d . M o s t o f t h e p e r i p h e r a l p e o p l e s , h o w e v e r , h a v e little e n -

C o m m u n a l Conflict in S o u t h e a s t Asia

401

t h u s i a s m for r a p i d acculturation a n d n o n e w h a t e v e r for d i s a p p e a r ance t h r o u g h assimilation.

Because t h e latter occupy large a n d

often strategically i m p o r t a n t territories, t h e central g o v e r n m e n t s have been compelled—albeit reluctantly—to accept the persistence of the peripheral people a n d to seek a p p r o p r i a t e a c c o m m o d a t i o n s . T h e pattern of d e m a n d s d e p e n d s on the degree of mobilization of the peripheral groups. T h e i r elementary d e m a n d is for territorial a n d c u l t u r a l a u t o n o m y .and

freedom

from colonization of their

l a n d s by t h e d o m i n a n t g r o u p . At a m o r e mobilized stage (for exa m p l e , t h e S u m a t r a n m i n o r i t i e s i n I n d o n e s i a ) , t h e y a r e likely t o d e m a n d also a fair s h a r e o f political r e p r e s e n t a t i o n a n d p o s i t i o n s i n t h e c e n t r a l g o v e r n m e n t , public services a n d public i n v e s t m e n t s o n b e h a l f o f t h e i r e c o n o m i c a n d social a s p i r a t i o n s , a n d e v e n t h e r i g h t t o c o n t r o l t h e f o r e i g n e x c h a n g e p r o c e e d s o f t h e i r e c o n o m i c activities. T h e t e r m s o f a c c o m m o d a t i o n d e p e n d o n t h e ability o f t h e p e ripheral

groups

to

compel

the

center

to

take

their

demands

seriously a n d of the c e n t e r to accept the u n w e l c o m e necessity for a u t o n o m y a n d o t h e r special t r e a t m e n t o f p e r i p h e r a l p e o p l e s a s c o m p a t i b l e with t h e i r c o n c e p t i o n s of t h e national polity. T h e s e c o n d p a t t e r n o f i n t e r e t h n i c politics i n S o u t h e a s t A s i a i n volves

the

role

of the

pariah

entrepreneurial

minorities.

Except

for

the

Vietnamese minority in Cambodia and the dwindling Indian comm u n i t y in B u r m a , this refers to overseas C h i n e s e . In e v e r y S o u t h east Asian c o u n t r y t h e r e is an i m p o r t a n t a n d c o n s p i c u o u s C h i n e s e minority which has a leading a n d often the d o m i n a n t position in w h o l e s a l e a n d retail d i s t r i b u t i o n , f i n a n c e , s m a l l i n d u s t r y , t r a n s p o r t , a n d skilled t r a d e s . D u r i n g t h e c o l o n i a l p e r i o d , m a n y h u n d r e d s o f thousands of Chinese moved into the areas of economic o p p o r t u nity b e t w e e n t h e l a r g e f o r e i g n p r o d u c e r s a n d t r a d e r s a n d t h e n a tive p e a s a n t p o p u l a t i o n s . A s t h e c o l o n i a l i s t s d e p a r t e d a n d t h e n a tive n a t i o n a l i s t g o v e r n m e n t s a s s u m e d c o n t r o l , t h e C h i n e s e f o u n d t h e m s e l v e s a politically w e a k , f o r e i g n , b u t r e l a t i v e l y p r o s p e r o u s , h i g h l y visible a n d u n p o p u l a r m i n o r i t y c o n c e n t r a t e d p r i m a r i l y i n u r b a n enclaves. F o r t h e first time the Chinese, w h o c o n s i d e r t h e m selves c u l t u r a l l y s u p e r i o r t o t h e n a t i v e societies, w e r e c o m p e l l e d t o face t h e c h o i c e o f r e t a i n i n g t h e i r C h i n e s e n a t i o n a l i t y o r o f s e e k i n g i n t e g r a t i o n into t h e i n d i g e n o u s polities—in those cases w h e r e this

102

Milton

J.

Esman

w a s p e r m i t t e d b y t h e local a u t h o r i t i e s . I n d e p e n d e n c e i n S o u t h e a s t Asia h a s g e n e r a t e d political a n d c u l t u r a l n a t i o n a l i s m . T h i s h a s l e d i n every case t o e c o n o m i c nationalism a n d t h e m o s t v u l n e r a b l e target has been the Chinese. E x c e p t i n Malaysia a n d S i n g a p o r e , w h e r e this p a t t e r n d o e s n o t apply, the post-World W a r II period in S o u t h e a s t Asia has b e e n o n e o f insecurity a n d h a r a s s m e n t for t h e overseas C h i n e s e . T h e y h a v e b e e n c h a r g e d w i t h disloyalty, a s a g e n t s o f f o r e i g n ( b o t h K u o mintang and Red) expansion and subversion; they have b e e n denied citizenship in s o m e countries, declined to accept it in s o m e , a n d h o l d i t o n p r e c a r i o u s a n d o f t e n s e c o n d class t e r m s i n o t h e r s . T h e i r schools a n d cultural institutions h a v e b e e n h a r a s s e d a n d f r e q u e n t l y c l o s e d ; t h e y h a v e b e e n f o r c e d , a t least l e g a l l y , o u t o f c e r tain occupations a n d even certain geographic areas; s o m e have "ret u r n e d " t o T a i w a n a n d t o m a i n l a n d C h i n a . Y e t d e s p i t e official h o s tility a n d p e r s e c u t i o n , t h e o v e r s e a s C h i n e s e h a v e d e m o n s t r a t e d e n o r m o u s resilience, resourcefulness a n d survival p o w e r , d u e i n l a r g e m e a s u r e t o t h e inability o f i n d i g e n o u s b u s i n e s s m e n a n d g o v e r n m e n t s to take o v e r the crucial e c o n o m i c roles as m i d d l e m e n , s k i l l e d t r a d e s m e n , a n d small-scale p r o d u c e r s w h i c h t h e C h i n e s e p e r f o r m effectively a n d p r o f i t a b l y . E a c h S o u t h e a s t A s i a n g o v e r n m e n t h a s i m p r o v i s e d its o w n policies t o w a r d r e s i d e n t C h i n e s e a n d h a s v a r i e d its policies o v e r t i m e . T o s i m p l i f y a c o m p l e x r e a l i t y , their approaches to the Chinese "problem" can be s u m m a r i z e d as follows: Assimilation. E n c o u r a g i n g C h i n e s e t o a c c e p t local c i t i z e n s h i p , u s e t h e local l a n g u a g e , e s p o u s e t h e local r e l i g i o n , i n t e r m a r r y — m e r g e their identity into the d o m i n a n t g r o u p . For g e n e r a t i o n s , m a n y C h i n e s e i n S o u t h e a s t Asia h a v e c h o s e n t h i s p a t h v o l u n t a r i l y s o t h a t t o d a y m a n y o f t h e m a r e fully i n t e g r a t e d C a m b o d i a n s , F i l i p i n o s , T h a i , o r J a v a n e s e . W i t h a s s i m i l a t i o n — a policy b e i n g p u r s u e d a c tively b y t h e c u r r e n t T h a i g o v e r n m e n t a n d e n c o u r a g e d b y C a m bodia a n d I n d o n e s i a — C h i n e s e would be expected to give up their educational institutions and cultural identity. In r e t u r n , they a n d their descendents would gain personal security a n d t h e i r e c o n o m i c skills w o u l d b e a v a i l a b l e t o t h e i n d i g e n o u s society. T h e o u t c o m e would not be pluralism, but the disappearance of the C h i n e s e as a separate g r o u p .

C o m m u n a l Conflict in Southeast Asia

Pariah

Status.

403

U n d e r this p a t t e r n , C h i n e s e a r e e x c l u d e d f r o m p o -

litical r i g h t s , t o l e r a t e d i n a l i m i t e d r a n g e o f o c c u p a t i o n s , a n d s u b j e c t e d t o petty e x t o r t i o n a n d p a y m e n t s for p r o t e c t i o n a n d services b y p o l i c e a n d o t h e r civil s e r v a n t s a n d t o s h a k e d o w n s b y l o c a l politicians a n d military officers. T h e i r schools a n d c u l t u r a l institutions l e a d a s h a d o w y a n d i n s e c u r e e x i s t e n c e . T h e y a r e e i t h e r d e n i e d citizenship, or the o p p o r t u n i t y to acquire it is f r a u g h t with complexity, or t h e right, o n c e g r a n t e d , may be insecure a n d subject to second class t r e a t m e n t . Y e t d e s p i t e h u m i l i a t i o n a n d o p p r e s s i o n , C h i n e s e c o n t i n u e t o p r o s p e r e c o n o m i c a l l y , t o e n j o y s i g n i f i c a n t l y h i g h e r livi n g s t a n d a r d s t h a n i n d i g e n o u s p e o p l e s , a n d very few o p t t o migrate to C h i n a . T h e y choose to suffer p a r i a h status as t h e price for h i g h e r living s t a n d a r d s t h a n they could expect elsewhere, h o p i n g that conditions m a y i m p r o v e as the early phase of nationalism recedes in their adopted countries. Coaptation.

T h e r e is a m u t u a l a t t r a c t i o n , a s y m b i o s i s b e t w e e n m e n

o f p o w e r a n d m e n o f m o n e y . M a n y o f t h e r u l i n g elites i n S o u t h e a s t Asia, i n c l u d i n g b u t n o t limited to the g e n e r a l s in T h a i l a n d a n d Indonesia, find wealthy a n d commercially sophisticated Chinese to be useful p a r t n e r s in business ventures r a n g i n g from the m a r k e t i n g of S u m a t r a n r u b b e r to b u i l d i n g hotels in B a n g k o k . In this way, enterprising Chinese, profiting from such opportunities, can enrich themselves,

distribute jobs

and

contracts

to

their

families

and

f r i e n d s , a n d i n t e r c e d e w i t h t h e i r p o w e r f u l local p a t r o n s t o p r o t e c t Chinese interests. It is impossible to know how m a n y Chinese benef i t f r o m business relationships o f this k i n d w h e r e t h e i r m o n e y , econ o m i c skills, a n d i n t e r n a t i o n a l c o m m e r i c a l c o n t a c t s a r e p u t t o m u tually beneficial uses. T h e h o s t i l i t y a n d e n v y o f S o u t h e a s t A s i a n i n t e l l e c t u a l s a n d politicians a n d the vulnerability of Chinese to x e n o p h o b i c attack have been m a t c h e d by t h e ambivalence of Chinese themselves toward the status they d e s i r e in S o u t h e a s t Asia. It a p p e a r s t h a t m o s t of t h e m , h a v i n g b e e n b o r n i n S o u t h e a s t Asia, n o l o n g e r look f o r w a r d t o " r e t u r n i n g " to a China they have never seen. Unlike the K u o m i n t a n g regime w h i c h c l a i m e d all e t h n i c o v e r s e a s C h i n e s e a s s u b j e c t s , t h e P e k i n g g o v e r n m e n t h a s a d v i s e d C h i n e s e in S o u t h e a s t Asia to identify with and integrate into their country of residence. But on what terms? It appears that N a n y a n g Chinese would prefer a plural outcome

404

Milton

J.

Esman

w i t h full c i t i z e n s h i p p r i v i l e g e s a n d u n r e s t r i c t e d e c o n o m i c o p p o r t u nity, b u t with the right to maintain their educational a n d cultural institutions a n d thus preserve their separate g r o u p identity. T h i s is precisely w h a t S o u t h e a s t Asian g o v e r n m e n t s a r e not willing to c o n c e d e . A t b e s t t h e y s e e m willing t o p e r m i t , e v e n e n c o u r a g e , C h i n e s e t o a s s i m i l a t e c o m p l e t e l y , a s i n T h a i l a n d , a t t h e sacrifice o f t h e i r continuity as a separate people. At worst, they expect that the C h i n e s e will d e p a r t o r r e m a i n a closely s u p e r v i s e d f o r e i g n e n c l a v e . T h u s , t h e o u t c o m e will reflect n o t o n l y w h a t n a t i v e elites a r e w i l l i n g t o g r a n t , b u t w h a t C h i n e s e i n S o u t h e a s t Asia a r e willing t o a c c e p t , a n d b o t h will b e i n f l u e n c e d b y t h e p a c e — h i t h e r t o v e r y s l o w — a t w h i c h i n d i g e n o u s e n t r e p r e n e u r s a n d skilled p e r s o n n e l c a n d i s p l a c e t h e C h i n e s e f r o m their c u r r e n t e c o n o m i c roles a n d thus r e d u c e t h e indispensability of the latter to the operation a n d d e v e l o p m e n t of Southeast Asian economies. T h e t h i r d p a t t e r n o f c o m m u n a l politics in S o u t h e a s t Asia is balpluralism—a set o f a r r a n g e m e n t s w h i c h r e c o g n i z e s t h e salience of c o m m u n a l cleavages a n d legitimatizes c o m m u n a l l y based social s t r u c t u r e s a n d political activity a s e s s e n t i a l t o p e a c e f u l a n d c o n s e n s u a l c o e x i s t e n c e . T h e classical c a s e i s M a l a y s i a . T h e r e c o m m u n a l c l e a v a g e s d e f i n e a n d d o m i n a t e t h e political s t r u g g l e . T h e m a j o r conflict g r o u p s a r e t h e M a l a y s w h o c o m p r i s e n e a r l y h a l f t h e population a n d the Chinese whose n u m b e r s protect them from the p a r i a h status o f t h e i r coethnics e l s e w h e r e i n S o u t h e a s t Asia. T h e c o u n t r y h a s b e e n g o v e r n e d s i n c e b e f o r e its i n d e p e n d e n c e i n 1 9 5 7 b y a m u l t i - e t h n i c elite c o a l i t i o n ( t h e A l l i a n c e p a r t y ) c o n t r o l l e d b y m o d e r a t e English-educated Malay aristocrats a n d Chinese capitalists, w i t h r e p r e s e n t a t i v e s o f t h e s m a l l e r I n d i a n m i n o r i t y also p a r t i c i p a t i n g . T h e i n c o r p o r a t i o n o f t h e B o r n e o states o f S a b a h a n d S a r a w a k i n 1 9 6 3 t o f o r m Malaysia h a s n o t f u n d a m e n t a l l y c h a n g e d t h i s political s t r u c t u r e . M a l a y s a r e politically d o m i n a n t , c o n t r o l l i n g t h e n a t i o n a l p a r l i a m e n t , t h e c a b i n e t , t h e s e n i o r civil s e r v i c e , t w e l v e o f the t h i r t e e n state g o v e r n m e n t s , a n d the expressive symbols of the polity. N o n - M a l a y s , h o w e v e r , e n j o y t h e r i g h t s o f c i t i z e n s h i p , office h o l d i n g , a n d political p a r t i c i p a t i o n , b u t m a y n o t b i d f o r political control. On the o t h e r h a n d , Chinese d o m i n a t e those sectors of the m o d e r n economy—finance, industry, trade, and the profess i o n s — w h i c h a r e n o t still c o n t r o l l e d b y E u r o p e a n s . T h o u g h t h e r e

anced

405

C o m m u n a l Conflict in S o u t h e a s t Asia

are many p o o r Chinese, their average p e r capita income is nearly d o u b l e the Malays'. While they recognize that they a r e better off t h a n their b r e t h r e n e l s e w h e r e i n S o u t h e a s t Asia, S i n g a p o r e e x c e p t e d , M a l a y a n - C h i n e s e r e s e n t t h e i r s e c o n d class c i t i z e n s h i p , t h e e s t a b l i s h m e n t o f M a l a y a s t h e s o l e official l a n g u a g e , a n d e d u c a t i o n a l m e a s u r e s w h i c h t h e y regard as economically discriminatory a n d a threat to the maintenance of Chinese culture.

Malays, w h o c o n s i d e r themselves t h e

"bumiputera," the indigenous people, can demonstrate that the preferences they enjoy on land m a t t e r s , scholarships, small busin e s s l i c e n s e s , s e n i o r civil s e r v i c e , a n d m i l i t a r y p o s t s , n o t t o m e n t i o n c o n t r o l o f t h e m a c h i n e r y a n d s y m b o l s o f g o v e r n m e n t , all o f w h i c h t h e C h i n e s e d e p l o r e a s e v i d e n c e o f official d i s c r i m i n a t i o n , h a v e n o t redressed

the

economic and educational gaps between the

two

g r o u p s . T h e g o v e r n m e n t has t h e r e f o r e initiated a N e w E c o n o m i c Policy

designed,

primarily

through

public sector enterprise,

to

bring 30 percent of an e x p a n d i n g m o d e r n e c o n o m y u n d e r Malay c o n t r o l b y 1 9 9 1 , b u t w i t h o u t e x p r o p r i a t i n g C h i n e s e a s s e t s o r limiting their economic opportunities. T h e economically conservative a n d c o m m u n a l l y m o d e r a t e leadership of the and

the

U M N O (the U n i t e d Malay National O r g a n i z a t i o n )

MCA

(the

Malayan-Chinese

Association),

the

senior

p a r t n e r s i n t h e g o v e r n i n g Alliance party, h a v e h a d difficulty c o n trolling their o w n constituencies, both of which contain i m p o r t a n t elements which d e m a n d m o r e militant prosecution of c o m m u n a l interests. Every m e a s u r e which c o m p r o m i s e s conflicting c o m m u n a l d e m a n d s in the interest of m u t u a l a c c o m m o d a t i o n t h r e a t e n s the erosion of constituency support. T h e p r e s e n t strain in the Alliance c a n b e t r a c e d t o t h e inability o f t h e M C A t o m a i n t a i n b r o a d - b a s e d s u p p o r t a m o n g Chinese w h o believe that the M C A has needlessly sacrificed vital C h i n e s e c u l t u r a l , p o l i t i c a l , a n d e v e n e c o n o m i c i n t e r ests i n its d e t e r m i n a t i o n t o a c c o m m o d a t e t o t h e p o l i t i c a l l y d o m i n a n t U M N O . Despite such strains as those which led to the postelection c o m m u n a l riots in t h e K u a l a L u m p u r a r e a in

1969, a

modified Alliance structure has survived because it seems to be essential

to

legitimate

government,

the alternative being a de-

stabilizing a n d potentially o p p r e s s i v e o n e - r a c e r e g i m e . M a l a y s i a i s n o t free f r o m b i t t e r class c l e a v a g e s w i t h i n its m a j o r

406

Milton

J.

Esman

c o m m u n a l c a m p s , y e t e v e r y e f f o r t t o f o r m c r o s s - c u t t i n g associat i o n s a l o n g e c o n o m i c o r i d e o l o g i c a l l i n e s h a s f a i l e d . T h e basic r e a l ity i n M a l a y s i a i s p l u r a l a n d this i s r e f l e c t e d i n its r e l i g i o u s , c u l t u r a l , r e s i d e n t i a l , o c c u p a t i o n a l , a n d political s t r u c t u r e s . S e l d o m h a v e t w o p e o p l e s s o d i v i d e d b y e t h n i c i t y , r e l i g i o n , a n d life styles b e e n f a t e d to coexist in the s a m e territory, yet so i n t e r m i n g l e d t h a t regional a u t o n o m y i s n o t a v a i l a b l e a s a d e v i c e f o r conflict m a n a g e m e n t . Despite c h r o n i c strains, occasional b r e a k d o w n s , c o n t i n u i n g grieva n c e s b o t h a m o n g M a l a y s a n d C h i n e s e , a n d t h e f a i l u r e a s y e t t o inc o r p o r a t e t h e i n d i g e n o u s g r o u p s in East Malaysia, t h e Alliance coa l i t i o n h a s p r o v i d e d t h i s p l u r a l society w i t h a s t a b l e , e f f e c t i v e , a n d r e a s o n a b l y r e s p o n s i v e g o v e r n m e n t . I n t h i s m u t u a l d e t e r r e n c e situation w h e r e e a c h p a r t y is c a p a b l e of inflicting u n a c c e p t a b l e d a m a g e o n t h e o t h e r , t h e A l l i a n c e o r its f u n c t i o n a l e q u i v a l e n t a p p e a r s t o b e t h e sine q u a n o n for t h e peaceful m a i n t e n a n c e of this system. A n o t h e r p a t t e r n o f b a l a n c e d p l u r a l i s m c a n b e f o u n d i n t h e Philippines.

The

Christian

Philippines

contain

eight

major

ethno-

l i n g u i s t i c g r o u p s , t h e l a r g e s t o f w h i c h c o m p r i s e s less t h a n a q u a r t e r of the population. T h e s e regionally based g r o u p s have proved to b e effective a r t i c u l a t o r s o f g r o u p i n t e r e s t s . T h e o r g a n i z a t i o n o f n a t i o n a l political " t i c k e t s " a n d t h e d i s t r i b u t i o n o f p o l i t i c a l r e w a r d s take account of these ethnic factors. T h e failure of T a g a l o g to be accepted as the national language can be traced to opposition by the o t h e r seven n o n - T a g a l o g g r o u p s . T h e failure of the H u k s in the m i d d l e 1950s to e x t e n d their insurrection b e y o n d t h e P a p a n g o speaking area in central Luzon has been traced as m u c h to the unwillingness of non-Papango-speakers to become involved as to t h e effectiveness of Magsaysay's c o u n t e r i n s u r g e n c y efforts. Yet a m o n g C h r i s t i a n Filipinos, e t h n i c cleavages a r e n o t a s critical a n d e t h n i c s o l i d a r i t i e s d o n o t c o n s t i t u t e t h e s a m e b u r d e n o n t h e polity t h a t t h e y do in o t h e r S o u t h e a s t Asia c o u n t r i e s . T h e r e is a s t r o n g s e n s e o f n a t i o n a l i d e n t i t y , class c l e a v a g e s a r e

frequently

more pronounced, and the presence of as many as eight groups prevents any one of them, including the Manila-based Tagalogs, from achieving h e g e m o n y over the others. T h e Philippines have learned how to m a n a g e the ethnic competition a m o n g their Christ i a n p o p u l a t i o n s , w h o c o m p r i s e 9 2 p e r c e n t o f t h e t o t a l . T h i s bal-

C o m m u n a l Conflict in Southeast Asia

407

a n c e d p l u r a l i s m , h o w e v e r , h a s n o t i n c o r p o r a t e d , a s w e shall s e e , t h e small but geographically c o n c e n t r a t e d Muslim minority. A f o u r t h a n d less p e r v a s i v e , b u t n e v e r t h e l e s s i m p o r t a n t p a t t e r n in

Southeast

Asia

is

epitomized

by

the

irredentist

struggle

of the

Philippine Muslims w h o occupy Western M i n d a n a o a n d the Sulu Archipelago adjacent to the Muslim-dominated Malaysian state of Sabah a n d I n d o n e s i a n B o r n e o . Despite efforts to p r o v i d e their elites w i t h p o l i t i c a l p a t r o n a g e a n d t o e x t e n d a m o d i c u m o f p u b l i c services, t h e Muslims, c o m p r i s i n g only 4 p e r c e n t of t h e p o p u l a t i o n , h a v e n e v e r b e e n successfully i n t e g r a t e d into t h e P h i l i p p i n e polity. T h e i r alienation has been aggravated in recent years by government-sponsored migration of thousands of Christian Ilocano and C e b u a n o settlers into W e s t e r n

Mindanao, encroaching on areas

which the Muslims had traditionally r e g a r d e d as their own, even t h o u g h t h e y h a d n e v e r s e c u r e d f i r m titles t o t h e s e l a n d s . A s t h e s e l i n e s a r e w r i t t e n , W e s t e r n M i n d a n a o i s e m b r o i l e d i n a b l o o d y civil war b e t w e e n heavily a r m e d a n d well-equipped Muslim guerrillas, a n d Christian settlers s u p p o r t e d by the Philippine military which has not been able to b r i n g the situation u n d e r control. T h o u s a n d s h a v e b e e n killed o n b o t h s i d e s . P r o m i s e s o f e c o n o m i c d e v e l o p m e n t a n d i m p r o v e d p u b l i c services h a v e b e e n i n e f f e c t u a l i n p a c i f y i n g t h e M u s l i m s , well o r g a n i z e d u n d e r y o u n g , m i l i t a n t l e a d e r s h i p , b e c a u s e t h e issues t o t h e m n o w a r e t h e r e m o v a l o f t h e C h r i s t i a n i n t r u d e r s , c o n t r o l of their ancestral territories, a n d a d e g r e e of legal a n d p o litical a u t o n o m y t h a t t h e c e n t r a l g o v e r n m e n t i s n o t w i l l i n g t o c o n cede. T h e g o v e r n m e n t s o f Malaysia

and

Indonesia, sympathetic as

they m u s t be with the plight of their coreligionists, have not interv e n e d on t h e i r behalf, t h o u g h t h e r e is e v i d e n c e that t h e militantly M u s l i m C h i e f M i n i s t e r o f S a b a h h a s b e e n m u c h less c i r c u m s p e c t . T h i s is n o t technically an irredentist situation because Malaysia has n o t c l a i m e d this a r e a . I r o n i c a l l y , i t i s t h e P h i l i p p i n e s , a s l e g a t e e s o f the Sultan of Sulu, w h o have asserted a highly publicized claim to Sabah

as

"Philippina

irredenta,"

the

successful

prosecution

of

which would certainly aggravate both their Muslim a n d their Chinese minority problems. A n o t h e r latent irredentist situation is in the four s o u t h e r n prov-

408

Milton

J.

Esman

i n c e s of T h a i l a n d b o r d e r i n g M a l a y a w h e r e t h e g r i e v a n c e s of m o r e t h a n a million neglected Malay Muslims c a n n o t be i g n o r e d by t h e Malaysian g o v e r n m e n t , despite their desire to m a i n t a i n g o o d relations with t h e i r m o r e powerful n o r t h e r n n e i g h b o r . O n e r e a s o n t h e K u a l a L u m p u r g o v e r n m e n t c a n n o t i n d e f i n i t e l y p o s t p o n e a c t i o n is, as I have previously stated, because c o n t i n u e d neglect a n d deprivation h a v e e x p o s e d the Muslims in T h a i l a n d to t h e b l a n d i s h m e n t s of the r e m n a n t s of the Chinese guerrillas w h o gained sanctuary a m o n g these p e o p l e after their defeat in Malaysia fifteen years ago. T h e y are now attracting Muslim recruits—which they were n e v e r able to do in Malaya—and m o u n t i n g d a m a g i n g raids across the b o r d e r . T h e neglect a n d incompetence of the T h a i g o v e r n m e n t in dealing with this m i n o r i t y is p r o d u c i n g a security p r o b l e m a n d a p o t e n t i a l d o m e s t i c political h o t p o t a t o for t h e Malaysians. H e n c e , o n e c a n observe an irredentist problem ripening before one's eyes. T h e r e are o t h e r m i n o r irredentist situations in the c o m p l e x dist r i b u t i o n o f p e o p l e s i n S o u t h e a s t Asia. A m o n g t h e m a r e t h e C a m b o d i a n minorities in T h a i l a n d a n d especially in V i e t n a m a n d the T h a i - s p e a k i n g S h a n s in B u r m a . Zealots on behalf of a " G r e a t e r Indonesia," which w o u l d i n c o r p o r a t e Malaysia into I n d o n e s i a , continue to be h e a r d in both countries, t h o u g h this a p p e a l has d e c l i n e d i n p o l i t i c a l s i g n i f i c a n c e . N o n e o f t h e s e s e e m s likely t o t u r n i n t h e n e a r f u t u r e i n t o p r o b l e m s a s a c u t e a s t h e t w o cases a l r e a d y d e scribed. A

fifth

p a t t e r n o c c u r s in

Singapore

a n d it is a s p e c i a l c a s e . T h i s

tiny i s l a n d s t a t e a t t h e t i p o f t h e M a l a y a n p e n i n s u l a h a s e v o l v e d a d i s t i n c t i v e p a t t e r n f o r m a n a g i n g its e t h n i c p l u r a l i s m .

O f its 2.2

million p e o p l e , 75 p e r c e n t are ethnic C h i n e s e , 15 p e r c e n t Malays, the balance Indians, Eurasians, a n d Europeans. This Chinese enclave m u s t e s t a b l i s h its s e c u r i t y i n a r e g i o n d o m i n a t e d b y M a l a y peoples w h o are deeply suspicious of foreign p e n e t r a t i o n into their part of the world and envious of Chinese economic d y n a m i s m a n d p r o s p e r i t y . T h u s t h e policy o f t h e S i n g a p o r e g o v e r n m e n t i s t o u n derplay the Chinese t h e m e . T h e national language is Malay, a symbolic g e s t u r e t o

the region.

Four languages, Mandarin, Tamil,

M a l a y , a n d E n g l i s h , e n j o y official s t a t u s i n g o v e r n m e n t a n d e d u c a t i o n t h r o u g h t h e s e c o n d a r y level. I n d e e d , i t i s t h i s m o d e l — e q u a l

C o m m u n a l Conflict in Southeast Asia

formal

status

for

the

language

and

culture

409

o f all

constituent

g r o u p s — f o r which Malayan Chinese have unsuccessfully struggled in their country. B u t the d e e p e r reality in S i n g a p o r e is t h e p a r a m o u n t c y of the English l a n g u a g e . T h e architects o f t h e " r u g g e d society" conceive of Singapore as the cosmopolitan a n d technologically sophisticated c e n t e r o f f i n a n c e , t r a d e , a n d i n d u s t r y i n S o u t h e a s t Asia.

They

a s p i r e e v e n for a w o r l d role. T h i s r e q u i r e s , in t h e i r view, t h a t t h e international l a n g u a g e of finance a n d high technology have preced e n c e in Singapore's educational, economic, professional, a n d gove r n m e n t a l institutions. It is clear t h a t any p a r e n t w h o has ambitions f o r his c h i l d r e n s h o u l d e n r o l l t h e m i n a n E n g l i s h m e d i u m s c h o o l . T h o u g h h i g h e r ' e d u c a t i o n i s a v a i l a b l e i n C h i n e s e a s well a s E n g l i s h , N a n y a n g U n i v e r s i t y g r a d u a t e s m u s t b e f l u e n t also i n E n g l i s h i f t h e y w a n t a fair s h o t a t g o v e r n m e n t a l o r i n d u s t r i a l e m p l o y m e n t . W h i l e a t t h e s y m b o l i c a n d c u l t u r a l levels, A s i a n l a n g u a g e s a r e fost e r e d , English is t h e key to p e r s o n a l o p p o r t u n i t y . T h u s far, as m e a sured in e m p l o y m e n t , investment, a n d p e r capita i n c o m e terms, t h e r e s u l t s h a v e b e e n s p e c t a c u l a r l y s u c c e s s f u l . T h r e a t e n e d a s little as five years a g o with massive u n e m p l o y m e n t a n d e c o n o m i c stagnat i o n , S i n g a p o r e h a s a c h i e v e d full e m p l o y m e n t , i s s e c o n d i n Asia only to J a p a n in p e r capita i n c o m e , a n d expects to s u r p a s s t h e British p e r c a p i t a i n c o m e level b y 1 9 8 0 . As recently as

1964, d u r i n g t h e brief two year interval w h e n

S i n g a p o r e was a state of Malaysia, t h e r e w e r e s e r i o u s c o m m u n a l disturbances p r o v o k e d by discontents a m o n g the Malay minority a n d abetted by their s u p p o r t e r s across the causeway. T h e relative deprivations of the Malays persist. T h e S i n g a p o r e g o v e r n m e n t ' s policy o f p r o v i d i n g t h e m w i t h e q u a l o p p o r t u n i t y b u t n o s p e c i a l privileges has n o t r e d r e s s e d their grievances or resulted in equality o f c o n d i t i o n a n d falls s h o r t o f t h e p r e f e r e n c e s w h i c h M a l a y s e n j o y in Malaysia. T h e Malay minority is f r u s t r a t e d in a C h i n e s e - d o m i n a t e d , E n g l i s h - s p e a k i n g society, b u t their capacity to act is limited b y their e c o n o m i c m a r g i n a l i t y a n d small n u m b e r s a n d t h e disinclination of the Malaysian a n d I n d o n e s i a n g o v e r n m e n t s to intervene on their behalf. An i m p o r t a n t longer r a n g e issue is w h e t h e r a p r o s p e r o u s and

410

Milton

J.

Esman

s e l f - c o n f i d e n t C h i n e s e m a j o r i t y will a c q u i e s c e i n d e f i n i t e l y i n t h e l o w - p r o f i l e policy o f t h e p r e s e n t g o v e r n m e n t w h i c h d e e m p h a s i z e s t h e C h i n e s e d i m e n s i o n o f S i n g a p o r e life i n d e f e r e n c e t o t h e s u s p i c i o n s o f its n e i g h b o r s a n d a s n e c e s s a r y t o its e x p a n d e d e c o n o m i c d e v e l o p m e n t . F o r t h e m o m e n t , h o w e v e r , t h e E n g l i s h - f i r s t policy h a s m e t t h e p r a g m a t i c test a n d i s n o t b e i n g s u c c e s s f u l l y c h a l l e n g e d . PROPHECIES AND FORECASTS W h a t o f t h e f u t u r e o f c o m m u n a l relations i n S o u t h e a s t Asia d u r i n g t h e b a l a n c e of this c e n t u r y ? M y p r e m i s e i s t h a t t h e p r e s e n t t e r r i t o r i a l s t a t e s i n S o u t h e a s t Asia will s u r v i v e w i t h o u t i m p o r t a n t b o u n d a r y c h a n g e s . T h e i n s t i t u t i o n a l pressures of t h e i n t e r n a t i o n a l state system a r e biased t o w a r d the m a i n t e n a n c e o f t h e territorial status q u o . T h e r e c e n t d e t e n t e bet w e e n W a s h i n g t o n a n d P e k i n g r e d u c e s t h e p r o s p e c t s o f m a j o r int e r n a t i o n a l conflict i n t h e a r e a . W h e t h e r i t r e s u l t s i n o n e V i e t n a m o r t w o , t h e e n d o f t h e I n d o c h i n e s e w a r will p r o b a b l y l e a v e C a m bodia a n d Laos territorially intact, t h o u g h in t h e latter case weak a n d d i s o r g a n i z e d , w i t h t h e possibility t h a t s o m e o f t h e t r i b a l m i norities may seek to be a n n e x e d to their k i n s m e n in t h e adjoining autonomous

areas

of

North

Vietnam.

Elsewhere,

the

present

b o u n d a r i e s o f t e r r i t o r i a l s t a t e s a r e likely t o h o l d f i r m , t h e c h i e f pressure being Muslim dissidence in the southern Philippines a n d in southern Thailand. T h i s stability will p r o v i d e o p p o r t u n i t i e s f o r elites a t t h e c e n t e r t o continue the process of consolidating control over their "national" territories a n d peoples. International influences which have so profoundly influenced ethnic relations d u r i n g the past two decades (the K M T incursions into N o r t h B u r m a , the mobilization a n d displacement of m o u n t a i n peoples d u r i n g the Indochina war, the U.S. intervention on behalf of the I n d o n e s i a n rebels in

1957, the In-

d o n e s i a n c o n f r o n t a t i o n a g a i n s t M a l a y s i a ) a r e likely t o d i m i n i s h b u t not disappear.

This

will

provide

m o r e scope

for local

peoples

within existing territorial states to w o r k o u t t h e i r d i f f e r e n c e s . T h e r e l a t i v e p o w e r o f c e n t e r s o v e r p e r i p h e r i e s i s likely t o g r o w . T h i s is the inevitable consequence of economic a n d administrative development a n d is abetted by c u r r e n t international practice which

C o m m u n a l Conflict in S o u t h e a s t Asia

411

distributes e c o n o m i c , technical, a n d military assistance exclusively t h r o u g h central g o v e r n m e n t s a n d requires foreign investors a n d traders to negotiate t e r m s of business with central g o v e r n m e n t a g e n c i e s . I t c a n b e e x p e c t e d t h a t t h e c e n t e r s i n S o u t h e a s t A s i a will f u r t h e r p e n e t r a t e their p e r i p h e r i e s with i n s t r u m e n t s of c o n t r o l a n d public service a n d that t h e d o m e s t i c e c o n o m i e s o f these c o u n t r i e s will b e c o m e i n c r e a s i n g l y i n t e g r a t e d . B e c a u s e o f t h e i r m u t u a l a n t i p a t h i e s , i t i s u n l i k e l y t h a t t h e p e r i p h e r a l p e o p l e s will b e a b l e t o sustain c o m m o n fronts against e x p a n d i n g central p o w e r , further a u g m e n t i n g the latter's relative s t r e n g t h . T h e r e will b e c o u n t e r v a i l i n g i n f l u e n c e s , h o w e v e r . W i t h m o d e r n i z a t i o n , s o m e p e r i p h e r a l g r o u p s will m o b i l i z e m o r e e f f e c t i v e l y a n d gain economic resources which should s t r e n g t h e n their b a r g a i n i n g p o w e r . Since t h e r e is n e i t h e r empirical e v i d e n c e n o r a p r i o r i r e a s o n to believe that a n y b u t a few of the ethnic minorities in t h e c e n t e r p e r i p h e r y states desire assimilation into t h e d o m i n a n t g r o u p s , the issues t o b e s o r t e d o u t a r e t h e t e r m s o f t h e i r i n c o r p o r a t i o n into the polity a n d e c o n o m y . As I h a v e previously indicated, t h e t e r m s t h a t a r e w o r k e d o u t will d e p e n d o n t h e r e l a t i v e r e s o u r c e s a v a i l a b l e t o the

parties

country,

and

their

therefore,

differential

the

status

aspirations.

of communal

Within groups

the which

same are

r e g a r d e d as indigenous m a y vary greatly. In Indonesia, the m o r e sophisticated p e r i p h e r a l peoples in Sum a t r a will h a v e s u f f i c i e n t r e s o u r c e s t o m a k e c r e d i b l e c l a i m s f o r a d e g r e e o f a d m i n i s t r a t i v e a n d e c o n o m i c a u t o n o m y a n d still d e m a n d resources—Jobs, representation, a n d public services—from the Javanese center. At the other extreme, the weak and divided peoples o f W e s t I r i a n will b e f o r c e d t o a c c e p t t h e s t a t u s o f d e p e n d e n c y w i t h only

their geographic

remoteness

and

inaccessibility

to

protect

t h e m . I n T h a i l a n d , t h e n o r t h e r n hill t r i b e s h a v e s o f e w r e s o u r c e s i n r e l a t i o n t o t h e c e n t r a l g o v e r n m e n t a n d t h e l a t t e r h a s s o little i n t e r est i n t h e m , t h a t w i t h t h e w i n d i n g d o w n o f t h e I n d o c h i n a w a r a n d less p r o s p e c t o f e x t e r n a l

intervention on

their behalf,

mutually

a g r e e a b l e a r r a n g e m e n t s o f b e n i g n n e g l e c t will p r o b a b l y r e s u l t . B y contrast, the numerically large a n d rapidly mobilizing L a o - T h a i g r o u p i n t h e n o r t h e a s t will c e r t a i n l y d e m a n d a n d r e c e i v e f a r m o r e in benefits from the B a n g k o k g o v e r n m e n t t h a n in the past, b u t it is

412

Milton

J.

Esman

n o t c l e a r w h e t h e r t h e y will c l a i m g r e a t e r r e g i o n a l a u t o n o m y o r acc e p t g r a d u a l a s s i m i l a t i o n a n d i n t e g r a t i o n i n t o t h e T h a i political a n d administrative system, which is certainly w h a t t h e T h a i governm e n t p r e f e r s . T h e p e r i p h e r a l m i n o r i t i e s i n B u r m a a r e likely t o lose in relative p o w e r to t h e central g o v e r n m e n t ; t h e cost of their insurr e c t i o n s will i n c r e a s e a n d t h e y will b e c o m p e l l e d t o c o m e t o t e r m s w i t h R a n g o o n t h a t yield t h e m less political a n d c u l t u r a l a u t o n o m y t h a n t h e y d e s i r e . I n N o r t h V i e t n a m — a n d i n all o f V i e t n a m i f t h e H a n o i r e g i m e p r e v a i l s — t h e relative c o n g r u i t y of objectives bet w e e n the central r e g i m e a n d the minority h i g h l a n d p e o p l e s , including cultural a u t o n o m y plus opportunities for participation in m o d e r n o c c u p a t i o n s a n d i n t h e activities o f t h e p o l i t i c a l c e n t e r , s h o u l d p r o d u c e a consensual m o d u s vivendi, at least in the s h o r t run, despite the imbalance in their resource e n d o w m e n t s . Whate v e r t h e o u t c o m e , t h e r u l i n g L a o elites will n o t b e a b l e t o r e s i s t t h e N o r t h V i e t n a m e s e p r e c e d e n t a n d will p r o b a b l y g r a n t t h e i r t r i b a l minorities a substantial degree of formal a u t o n o m y . Unless they are to be d e t e r m i n e d by p u r e imposition or by warf a r e , t h e s u c c e s s f u l m a n a g e m e n t o f c e n t e r - p e r i p h e r y conflicts requires institutional structures for b a r g a i n i n g a n d for t h e assertion a n d resolution o f d e m a n d s . T h e practice o f m a n a g i n g interc o m m u n a l relations through normal administrative channels—the M a l a y s i a n policy t o w a r d S a b a h ' s K a d a z a n s o r t h e T h a i a n d S o u t h V i e t n a m e s e policy t o w a r d t h e i r hill t r i b e s — s y m b o l i z e s n e g l e c t b y t h e c e n t e r o f t h e c l a i m s for d i s t i n c t i v e s t a t u s a n d t h e s p e c i a l p r o b lems of the peripheral peoples. It compels the minorities either to a c q u i e s c e i n t h e i r s u b o r d i n a t i o n , t o o r g a n i z e politically, o r i n e x tremis, to m o u n t insurgencies in o r d e r to enhance their negotiating position. In t h e i r aspiration for national unity, those in c o n t r o l of t h e c e n t e r p r e f e r t o t r e a t all t h e i r s u b j e c t s a s i n d i v i d u a l s , f o l l o w i n g the m e t h o d s a n d the criteria used in relating g o v e r n m e n t to t h e p o p u l a c e w i t h i n t h e d o m i n a n t c o m m u n i t y . T h i s , h o w e v e r , i s seld o m satisfactory t o the p e r i p h e r a l peoples. C o n s e n s u a l a r r a n g e ments require the establishment of formal or informal institutions for r e g u l a t i n g c o m m u n a l relations, t h u s legitimatizing p l u r a l i s m . T h e s e institutions, as a m i n i m u m , provide some channels for t h e articulation a n d processing of c o m m u n a l interests. Concretely, they

C o m m u n a l Conflict in Southeast Asia

413

m a y i n c l u d e c o m m u n a l political p a r t i e s , elite c o a l i t i o n s , c e n t r a l g o v e r n m e n t ministries, federal a r r a n g e m e n t s , or regional units specifically c o n c e r n e d w i t h t h e m a n a g e m e n t o f c o m m u n a l differences. Such structures can be expected to increase as central g o v e r n m e n t s i n S o u t h e a s t A s i a , i n t h e i r political d e v e l o p m e n t , b e c o m e reconciled to t h e plural reality of t h e i r societies. A m o n g overseas Chinese, outside S i n g a p o r e a n d Malaysia, t h e r e will b e c o n t i n u i n g t e n s i o n b e t w e e n c o m p e t i n g d r i v e s f o r a s s i m i l a tion a n d for legitimate pluralism. T h e latter alternative is p r e f e r r e d by m o s t N a n y a n g C h i n e s e , since it w o u l d p e r m i t t h e m to retain t h e i r c u l t u r e a n d social s t r u c t u r e s , w h i l e e n j o y i n g full p o l i t i c a l rights a n d economic opportunities, but it is categorically unaccepta b l e t o a n y o f t h e n a t i v e g o v e r n m e n t s . " R e t u r n " t o C h i n a i s likely to be an u n a p p e a l i n g or unrealistic prospect. Moreover, attempts to accommodate to indigenous environments by acculturation, while m a i n t a i n i n g g r o u p identity, often leave the C h i n e s e with t h e w o r s t o f b o t h w o r l d s : t h e loss o f t h e vital e l e m e n t s o f C h i n e s e c u l t u r e c o m b i n e d w i t h c o n t i n u e d s u s p i c i o n a n d r e j e c t i o n b y local p e o ples a s a n a l i e n g r o u p . T h u s , o n e may expect the e m e r g i n g generation of Chinese b o r n i n S o u t h e a s t Asia t o o p t i n g r o w i n g n u m b e r s f o r a s s i m i l a t i o n t h r o u g h deculturation and intermarriage. Painful as it may be to t h e i r p a r e n t s , m a n y o f t h e m will follow t h i s p a t h , s i m p l y b e c a u s e a s a t i s f a c t o r y a n d r e w a r d i n g C h i n e s e w a y o f life will n o t b e p o s s i b l e i n S o u t h e a s t A s i a , t h e r e will b e n o s a l v a t i o n f r o m C h i n a , a n d a m o r e a t t r a c t i v e p e r s o n a l a l t e r n a t i v e will b e a v a i l a b l e . C u l t u r a l m e m o r i e s a n d p r a c t i c e s will s u r v i v e vestigially a n d s o will s o m e v a l u a b l e local a n d i n t e r n a t i o n a l b u s i n e s s l i n k s , b u t t h e s o l i d a r i t y s t r u c t u r e s w h i c h g i v e vitality t o C h i n e s e a s a c o m m u n i t y will w i t h e r a w a y . T h e s u c c e s s o f this policy i n T h a i l a n d a n d C a m b o d i a will i n d u c e elites i n o t h e r c o u n t r i e s — I n d o n e s i a , V i e t n a m , a n d p e r h a p s even the Philippines—to a d o p t this a p p r o a c h as it p r o m i s e s to " s o l v e " t h e i r C h i n e s e p r o b l e m . I t will b e i n c r e a s i n g l y a p p e a l i n g t o local C h i n e s e i n t h e a b s e n c e o f o p p o r t u n i t i e s f o r p e r s o n a l fulfillm e n t o r g r o u p survival o n equal o r even dignified t e r m s . T h e most difficult p r o b l e m s will b e e n c o u n t e r e d i n t h e s t r o n g l y I s l a m i c a r e a s of I n d o n e s i a w h e r e p o p u l a r hostility to the C h i n e s e is m o s t i n t e n s e

414

Milton

J.

Esman

a n d t h e p o r k - e a t i n g C h i n e s e f i n d I s l a m a n u n a t t r a c t i v e w a y o f life. In t h e two systems which h a v e legitimatized p l u r a l i s m , o p p o s i t e d e v e l o p m e n t s c a n b e a n t i c i p a t e d . T h e P h i l i p p i n e s will h a v e n o serious problem managing the pluralism a m o n g their eight Christian ethnic c o m m u n i t i e s because n o n e of t h e m is a serious t h r e a t to t h e status or survival of the o t h e r s . Earlier p r e s s u r e to i m p o s e t h e T a g a l o g l a n g u a g e has been a b a n d o n e d , the system is sensitive to t h e n e e d t o distribute benefits with s o m e d e g r e e o f equity a m o n g constituent g r o u p s , a n d a strong integrative national s e n t i m e n t has e m e r g e d . It is even possible that in t h e Philippine s y s t e m — a t h e m e t o w h i c h w e shall r e t u r n — c l a s s will s u p p l a n t e t h n i c c l e a v a g e a s t h e m a i n d i m e n s i o n o f conflict. M a l a y s i a , b y c o n t r a s t , will see n o t a r e l a x a t i o n b u t a n i n t e n s i f i c a t i o n o f t h e b i p o l a r t e n s i o n s b e t w e e n M a l a y s a n d C h i n e s e . T h e risi n g g e n e r a t i o n of politicians, especially a m o n g t h e Malays, is m o r e s t r i d e n t t h a n a c c o m m o d a t i v e i n its c o m m u n a l d e m a n d s a n d t h e s y s t e m m a y lack t h e m a t e r i a l a n d political r e s o u r c e s t o satisfy b o t h p a r t i e s . M a l a y s will u s e t h e i r c o n t r o l o f g o v e r n m e n t t o e n f o r c e t h e Malay

language

Malay

participation in education and

policy

and

to

push

for substantially in the

increased

modern economy,

while d e n y i n g non-Malays the weight in g o v e r n m e n t that their n u m b e r s w a r r a n t a n d e v e n t h e legal r i g h t t o a r g u e f o r a " M a l a y s i a n M a l a y s i a . " E m b i t t e r e d C h i n e s e will b e d i v i d e d b e t w e e n t h o s e w h o f a v o r m i l i t a n c y a n d t h o s e w h o f a v o r a c c o m m o d a t i v e tactics within the p r e s e n t system, a n d those w h o would resort to revolut i o n a r y a c t i o n . C h i n e s e will b e f o r c e d t o d e f e n s i v e tactics t o p r o t e c t t h e i r e d u c a t i o n a l a n d e c o n o m i c a d v a n t a g e s , w i t h little h o p e o f r e a l i z i n g t h e i r a s p i r a t i o n f o r political p a r i t v . T h e r e c e n t l y e x p a n d e d Alliance s t r u c t u r e , which has p r o v i d e d an excellent institutional f r a m e w o r k f o r m a n a g i n g c o m m u n a l conflict, will b e u n d e r g r e a t strain

to cope

with

increasinglv

incompatible

demands

for t h e

i n t e r c o m m u n a l distribution of scarce o p p o r t u n i t i e s a n d values. A r e c u r r e n t t h e m e i n t h e l i t e r a t u r e o n s t r u c t u r a l p l u r a l i s m i s t h e inevitability o f s t r a t i f i c a t i o n , o f o n e c o m m u n a l g r o u p e m e r g i n g i n a d o m i n a n t p o s i t i o n . Malaysia i s a c o n c r e t e test o f t h i s p r e d i c t i o n o r , alternatively, of w h e t h e r balanced pluralism can be sustained in a polity w h i c h w a s o r i g i n a l l y o r g a n i z e d o n t h a t p r e m i s e .

415

C o m m u n a l Conflict in Southeast Asia

Marxist, liberal, a n d d e v e l o p m e n t a l theorists h a v e b e e n u n i t e d in t h e i r inability to c o m e to t e r m s with the reality, t h e p e r s i s t e n c e , a n d i n d e e d t h e r e e m e r g e n c e o f c o m m u n a l s o l i d a r i t i e s i n m o d e r n societies. B y d e f i n i t i o n t h e y h a v e i d e n t i f i e d c o m m u n a l s o l i d a r i t i e s w i t h m o r e primitive m o d e s of h u m a n association which survive only as aberrations in universalistic, achievement-oriented, m o d e r n nations t a t e s . T h e y h a v e f o u n d i d e o l o g i c a l a n d e s p e c i a l l y class c l e a v a g e s t o b e t h e n o r m a l a n d legitimate d i m e n s i o n s o f conflict i n industrial a n d u r b a n i z i n g s y s t e m s . I n t h a t c o n t e x t , o c c u p a t i o n a l a n d class i n terests are e x p e c t e d to cross-cut a n d w e a k e n the grip of c o m m u n a l solidarities on m o d e r n m a n a n d ultimately to s u p p l a n t t h e m as articulators o f d e m a n d s a n d mobilizers o f action. W h a t o f t h e relat i o n s h i p s b e t w e e n class a n d c o m m u n a l s o l i d a r i t i e s i n m o d e r n i z i n g S o u t h e a s t Asia? S o u t h e a s t A s i a i s n o t w i t h o u t its class conflicts; i n d e e d t h e y a r e intensifying. Within c o m m u n a l g r o u p s , a m o n g J a v a n e s e , V i e t n a m e s e , C h i n e s e , T h a i , C h r i s t i a n F i l i p i n o s , i n r u r a l a s well a s i n u r b a n a r e a s , class t e n s i o n s a r e g r o w i n g a n d a r e e r o d i n g t h e p a t r o n - c l i e n t lines o f r e s p o n s i b i l i t y a n d d e f e r e n c e w h i c h o n c e i n t e g r a t e d t h e s e s o c i e t i e s . E v e r y i n d i c a t o r p o i n t s t o t h e i n t e n s i f i c a t i o n o f class c o n f l i c t i n t h e s e s o c i e t i e s . W i t h few e x c e p t i o n s s u c h a s S i n g a p o r e , t h e r e will p r o b a b l y b e i n s u f f i c i e n t r e s o u r c e s t o m i t i g a t e c o n f l i c t s i n t h e European

and

North

American

high-consumption,

welfare-state

p a t t e r n . Y e t , t h e r e i s n o e v i d e n c e i n a n y o f t h e s e p o l i t i e s t h a t class solidarities within c o m m u n a l s t r u c t u r e s h a v e effectively cross-cut c o m m u n a l cleavages w h e r e the latter retain their salience or have i n a n y m e a s u r e r e d u c e d t h e i r i n t e n s i t y . A t all s t r a t a i n d i v i d u a l s transact

for

mutual advantage

across c o m m u n a l

lines.

Though

o f t e n q u i t e civil, t h e s e a r e , n e v e r t h e l e s s , c a l c u l a t e d d e a l i n g s . T h e y s e l d o m d e v e l o p a n affective e l e m e n t a n d t h e y h a v e

not evolved

into solidarity s t r u c t u r e s which effectively c h a l l e n g e t h e

pull of

c o m m u n a l l o y a l t i e s . I t w o u l d b e e a s i e r t o d e m o n s t r a t e t h a t class conflicts c a n b e d i v e r t e d i n t o c o m m u n a l hostility a n d v i o l e n c e t h a n t h a t e t h n i c c o n f l i c t c a n b e t r a n s m u t e d i n t o class s t r u g g l e , e x c e p t w h e r e class a n d c o m m u n a l c l e a v a g e s c o i n c i d e . E v e n i n t h e l a t t e r situation (for e x a m p l e , the Malays in Singapore) t h e struggle is likely t o b e a r t i c u l a t e d i n c o m m u n a l , n o t i n class l a n g u a g e , b e c a u s e

Milton

416

J.

Esman

the f o r m e r d r a w s on d e e p e r layers of identity a n d consciousness than

the

latter.

Contrary

to earlier expectations,

urbanization,

which has been r e g a r d e d as a m o d e r n i z i n g p h e n o m e n o n in which t r a d i t i o n a l , p a r t i c u l a r i s t i c , c o m m u n a l loyalties b e c o m e i r r e l e v a n t , i s h a v i n g t h e o p p o s i t e effect. R a p i d u r b a n i z a t i o n t e n d s t o a g g r a v a t e c o m m u n a l a n t a g o n i s m s in close-quartered c o m p e t i t i o n for scarce j o b s , h o u s i n g , e d u c a t i o n a l o p p o r t u n i t i e s , a n d political influence. S o u t h e a s t A s i a will b e a t h e a t r e b o t h o f class a n d o f c o m m u n a l conflict d u r i n g t h e n e x t q u a r t e r c e n t u r y . C l a s s conflict will i n t e n s i f y within the m o r e m o d e r n , differentiated c o m m u n a l g r o u p s , but I see

no evidence

t h a t o n e will c r o s s - c u t o r s u p p l a n t t h e o t h e r .

T h o u g h s o m e of t h e h u n d r e d s of small ethnic g r o u p s , which could n o t b e treated i n this c h a p t e r , may m e r g e into m o r e viable c o m m u nal f o r m a t i o n s , m o s t o f t h e l a r g e r o n e s will r e t a i n t h e i r b o u n d a r i e s . P l u r a l i s m i n S o u t h e a s t Asia's t e r r i t o r i a l s t a t e s will p e r s i s t a n d will continue

to

generate

important,

if

unwelcome,

issues

on

the

a g e n d a s o f p o l i t i c a l elites.

REFERENCES For those w h o wish to p u r s u e this subject f u r t h e r , t h e f o l l o w i n g g e n e r a l sources are r e c o m m e n d e d : Walker Connor. 22.1

"Ethnology and

the

Peace of Southeast

Asia."

World Politics,

(October 1969)'52-86.

Frank Golay.

Ralph

Anspach,

M.

Ruth

Pfanner, and

Eliezer B.

Ayal.

Underde-

velopment and Economic Nationalism in Southeast Asia. I t h a c a , C o r n e l l U n i v e r sity P r e s s , 1 9 6 9 . George

Kahin,

e d . Governments and Politics of Southeast Asia.

Ithaca, Cornell

Uni-

versity Press, 2 n d e d . 1964.

Peter

K u n s t a d t e r , e d . Southeast Asian

Tribes, Minorities, and Nations.

Princeton,

Princeton University Press, 1967. 2 vols. V i c t o r P u r c e l l . The Chinese in 1965.

Southeast Asia. • L o n d o n , O x f o r d

University

Press,

417

C o m m u n a l Conflict in Southeast Asia

APPENDIX A

Note

on

Demographic

Proportions

Country-by-country d e m o g r a p h i c b r e a k d o w n s for Southeast Asia a r e useful only as gross o r d e r s of m a g n i t u d e . While varying from o n e country to a n o t h e r , t h e reliability of these figures is limited by the following factors: inaccurate a n d incomplete census compilations; the omission a n d manipulation of d a t a by g o v e r n m e n t s which have an interest in u n d e r r e p o r t i n g the n u m b e r s of their c o m m u n a l minorities; a n d the arbitrariness of classification. As an example of t h e latter, the T h a i governm e n t considers speakers of all T h a i dialectf as ethnic T h a i , which would yield an 80 p e r c e n t " T h a i " figure, while K u n s t a d t e r (whose data we use) separates the T h a i into dialect g r o u p s and finds that the d o m i n a n t central T h a i r e p r e s e n t only 30 p e r c e n t of t h e total. On t h e o t h e r h a n d , Chinese, regardless of dialect g r o u p , are aggregated below in a single category. In several cases, because of incompleteness, residuals a r e r e p o r t e d u n d e r t h e single category "other." To repeat, the p u r p o s e of these data is to indicate general p r o p o r t i o n s , not to provide precise information.

Burma Burman Shan Karen Katchin Mon Chin Chinese Indian Other Indonesia

27.5 million 55% 6 7 7 2 2 2 1 18 124.9 million

Javanese 45% Sundanese 14 Madurese 8 Coastal Malays 8 Makassarese-Bu ginese 8 Menangkabau 3 Balinese 2 Batak 2

Cambodia

6.7 million

Khmer Chinese Vietnamese Other

Laos

85% 7 7 1

3.0 million

Lao Tribal minorities, including Kha, Meo, Yao, a n d t^ai Chinese Vietnamese

50%

48 2 1

Milton

418

Indonesia

124.9 million

Malaya Malays Chinese Indians Other Sabah Kadazans Chinese Bejau Murut Malay Other Sarawak Malay Chinese Iban Other Singapore Chinese Malay Indians Other

N o r t h Vietnam

Esman

Laos

3.0 million

Philippines

37.9 million

1 3 6

Achinese Chinese Other Malaysia

J.

10.6 million 9 million 50% 37 11 2 0.6 million 32% 23 12 4

J

Cebuano Tagalog Ilocano Ilongo Bicol Waray-Waray Papango Pangasinan Muslim Chinese Other

24% 21 12 10 8 6 3 3 5 2 6

28 1 million 19% 31 40 10 2.1 million 75% 15 9 1

21.6 million

Vietnamese 85% Chinese 1 Tai 3 Thai 2 Muong 3 N u n g , Meo, Yao, a n d o t h e r hill tribes 6

Thailand Central Thai Lao Thai Other Thai Chinese Malay Hill tribes Other South Vietnam Vietnamese Chinese Khmer Jarai, Rhade, and o t h e r hill tribes

35.3 million 30% 27 23 10 5 2 3 18.3 million 88% 6 2

C o m m u n a l Conflict in Southeast Asia

419

Sources: A g g r e g a t e P o p u l a t i o n Data: U.N. Demographic Yearbook, 1972. I n d o n e s i a : Projections from 1930 census as r e p o r t e d in Leslie Palmier, Indonesia ( L o n d o n , T h a m e s a n d H u d s o n , 1965). Philippines: 1960 census as r e p o r t e d in G e o r g e Kahin, ed., Government and Politics in Southeast Asia (Ithaca, Cornell University Press, 1964), p. 710. Malaysia: Government of Malaysia Statistics Bulletin (Nov. 6, 1968). O t h e r figures d e r i v e d from Peter K u n s t a d t e r , ed., Southeast Asian Tribes, Minorities, and Nations (Princeton, Princeton University Press, 1967), I, 15.

13 ALI A. MAZRUI

Ethnic Stratification and the Military-Agrarian Complex: T h e U g a n d a Case The first successful military coup on the Nile Valley in the modern period took place in Egypt in 1952. Almost twenty years later, at the other end of the White Nile, Uganda became the latest country on the Nile Valley to be captured by its own army. The army which took over power in Egypt in 1952 was described as "solidly Egyptian and rural; its officers were of the rural middle class." General Naguib, who briefly headed the new military government in Egypt, affirmed that the officer corps of the army "was largely composed of the sons of civil servants and soldiers and the grandsons of peasants." What of the army which took over power at the other end of the Nile in Kampala? Amin's army was even more solidly "rural." If Egyptian soldiers under General Naguib were "the grandsons of peasants," Ugandan and Sudanese soldiers under General Amin were "the sons of peasants." There was no intermediate generation separating the great majority of Ugandan soldiers from the womb of the countryside. What were the implications of this linkage between peasants and modern warriors? It may be understandable in a developing society that the army should recruit primarily from people with rural 1

1.

M o h a m m a d N a g u i b , Egypt's Destiny ( G a r d e n C i t y : D o u b l e d a y a n d C o m p a n y ,

1955), pp.

1 4 - 1 5 . C i t e d i n a r e l a t e d c o n t e x t b y S a m u e l P . H u n t i n g t o n , Political

Order i n Changing Societies ( N e w H a v e n , V a l e U n i v e r s i t y P r e s s , 1 9 6 8 ) , p p . 2 4 1 - 2 4 2 . H u n t i n g t o n also cites P e r l m u t t e r on the a r m y b e i n g "solidly Egyptian a n d rural."

Ethnic Stratification in U g a n d a

421

roots, b u t why d i d t h e U g a n d a a r m y consist s o d i s p r o p o r t i o n a t e l y of Nilotic a n d S u d a n i c t r i b e s m e n ? H o w did this affect e t h n i c stratif i c a t i o n i n U g a n d a ? I n o t h e r w o r d s , h o w d i d political r e w a r d s a n d political a l l e g i a n c e s r e l a t e t o t h e social a n d e t h n i c o r i g i n s o f U g a n d a n soldiers? S a m u e l P . H u n t i n g t o n , i n d i s c u s s i n g social f o r c e s p e r t i n e n t t o r e l a t i o n s b e t w e e n t h e city a n d t h e c o u n t r y s i d e i n c e r t a i n s o c i e t i e s , once distinguished between the brains of the intelligentsia, the g u n s o f the military, a n d the n u m b e r s o f the p e a s a n t r y . I n H u n t i n g t o n ' s view, political stability r e q u i r e s a c o a l i t i o n b e t w e e n a t least t w o o f t h e s e social f o r c e s . H e s e e s a c o a l i t i o n o f b r a i n s a n d g u n s a g a i n s t n u m b e r s a s b e i n g r a r e a n d basically u n s t a b l e . A c o a l i t i o n between the intelligentsia a n d t h e peasants, o n t h e o t h e r h a n d , was potentially the most revolutionary. Such a coalition could destroy an existing system a n d t h e n create a new a n d m o r e stable a r r a n g e ment. T h e third r o u t e to stable g o v e r n m e n t is by the coalescence of g u n s a n d n u m b e r s against brains . . . T h e i r r u r a l social b a c k g r o u n d often leads military regimes to give high priority to policies which benefit t h e m o r e n u m e r o u s elements in t h e countryside. In Egypt, Iraq, T u r k e y , Korea, Pakistan, g o v e r n m e n t s b o r n of military coups p u s h e d land r e f o r m measures. In B u r m a a n d elsewhere military g o v e r n m e n t s gave b u d g e t priority to agricultural r a t h e r t h a n to u r b a n p r o g r a m s . 2

How relevant are these

precedents

for t h e

understanding of

what has been h a p p e n i n g in U g a n d a ? Is t h e r e i n d e e d a militaryagrarian complex

u n d e r l y i n g U g a n d a ' s e x p e r i e n c e with

t h e sol-

diers? W e p r o p o s e t o a r g u e t h a t t h e O b o t e y e a r s i n U g a n d a w e r e basically y e a r s o f a c o a l i t i o n b e t w e e n t h e i n t e l l i g e n t s i a a n d t h e m i l i t a r y , b e t w e e n b r a i n p o w e r a n d g u n p o w e r . T h e r e was a link w i t h t h e countryside to the extent that the soldiers were rurally recruited, a n d also b e c a u s e m a n y o f t h e m o s t p o w e r f u l m e m b e r s o f O b o t e ' s g o v e r n m e n t c a m e from s o m e o f t h e least d e v e l o p e d a r e a s o f t h e c o u n t r y . B u t on the whole the basic alliance was b e t w e e n soldiers a n d a large p a r t of the country's intelligentsia. In this p a r t n e r s h i p 2.

S a m u e l P. H u n t i n g t o n , Political Order in Changing Societies, p p . 2 4 1 - 2 4 2 .

422

Ali

A.

Mazrui

t h e b r a i n s w e r e s e n i o r i n s t a t u s . T h e r e w a s g e n u i n e civilian s u premacy u n d e r Milton Obote, but paradoxically that s u p r e m a c y h a d to m a k e considerable concessions to the military in o r d e r to s u r v i v e effectively. O n e significant implication o f the military c o u p w h i c h o v e r t h r e w O b o t e in J a n u a r y 1971 was, quite simply, the t e r m i n a t i o n of t h e sup r e m a c y o f the intelligentsia. T h e old alliance b e t w e e n g u n s a n d brains, with brains in control, h a d now b e e n shattered. T h e stage w a s set f o r n e w a l l i a n c e s . We p r o p o s e to a r g u e that there is a military-agrarian c o m p l e x s t r u g g l i n g for survival in U g a n d a , a fragile alliance b e t w e e n t h e soldiers a n d their k i n s m e n in the countryside. But a major p r o b l e m c o n f r o n t i n g t h e viability o f s u c h a n a l l i a n c e i s t h e s i m p l e fact t h a t the

army has

b e e n ethnically

unrepresentative,

recruited

over-

w h e l m i n g l y f r o m Nilotic a n d S u d a n i c t r i b e s i n a c o u n t r y w i t h a tradition of high ethnic consciousness. T h e soldiers r e s p o n d not m e r e l y t o t h e i r r u r a l o r i g i n s , b u t also t o t h e i r e t h n i c o r i g i n s . T h e old Egyptian m o d e l of a military-agrarian complex, involving d r a matic moves toward land reform a n d the control of the intelligentsia, i s s t r u g g l i n g i n U g a n d a a g a i n s t t h e f o r c e s o f e t h n i c p l u r a l i s m . Egypt is ethnically h o m o g e n e o u s ;

U g a n d a is painfully h e t e r o g e -

neous. T h e t r e n d toward a military-agrarian complex in U g a n d a is struggling against the consequences of an

ethnically specialized

a r m e d force o p e r a t i n g in a country with highly d e v e l o p e d e t h n i c consciousness. B u t why were the soldiers of the U g a n d a n a r m y r e c r u i t e d s o selectively f r o m Nilotic a n d S u d a n i c c o m m u n i t i e s ? T h e present tensions in U g a n d a go back d e e p into history. A n d we m u s t t u r n to history in the search both for explanations a n d for r e l e v a n t d e f i n i t i o n s o f critical c o n c e p t s . But in o r d e r to u n d e r s t a n d how ethnicity relates to stratification i n A f r i c a n c o n d i t i o n s , t h e c o n c e p t " r u r a l " h a s itself t o b e e x a m i n e d . Are

there

degrees

of "ruralness"?

Were

the

Nilotic a n d

Sudanic

tribes of U g a n d a particularly rural, a n d if so, in w h a t sense? It is with the concept of " r u r a l " that we m u s t begin. LOCATION, FUNCTION, AND STATUS W h a t , t h e n , is a r u r a l area? F r o m a sociological p o i n t of view, three dimensions a r e particularly i m p o r t a n t in defining a r u r a l

E t h n i c Stratification i n U g a n d a

area.

These

dimensions

are

423

and

location, function,

An

status.

area

m u s t be located in the midst of natural g r e e n e r y short of a dense forest a n d m u s t be s o m e minimal distance from major centers of concentrated populations. A s r e g a r d s f u n c t i o n , a r u r a l a r e a e a r n s its l i v e l i h o o d p r i m a r i l y from agriculture, a n d sometimes forestry a n d fishing if the requisite r e s o u r c e s a r e n e a r a t h a n d . F r o m a p o l i t i c a l p o i n t o f view, a r u r a l a r e a h a s a l s o t o b e s e e n i n t e r m s of status. T h i s is w h e r e stratification c o m e s into relevance. In m o s t societies t h e majority of t h e i n h a b i t a n t s of r u r a l areas a r e relatively u n d e r p r i v i l e g e d .

But there are occasions w h e n the rural

elite b e c o m e s effectively t h e national elite. Societies with a l a n d e d aristocracy

provide

such

instances

in

history.

But

with

indus-

t r i a l i z a t i o n a n d g r e a t e r u r b a n i z a t i o n t h e shift o f p o w e r h a s o f t e n m o v e d t o w a r d t h e city, a n d t h e s t a t u s o f t h e c o u n t r y s i d e h a s d e clined. T h e peasants have often been relegated to a h u m b l e role in n a t i o n a l affairs. If l o c a t i o n

as a

d i m e n s i o n of r u r a l i s m

f r o m major centers, status implies

social

i m p l i e s physical

distance

d i s t a n c e f r o m u r b a n elites

a n d t h e i r influence o n national affairs. S o m e t i m e s p h y s i c a l d i s t a n c e i s itself a c a u s a l f a c t o r b e h i n d t h e social d i s t a n c e . I n t h e c a s e o f U g a n d a , t h e d i s t a n c e s e p a r a t i n g t h e north

from

the

capital

city

of

Kampala,

and

the

poor

com-

m u n i c a t i o n s w h i c h for so l o n g h a r d e n e d this distance, w e r e factors b e h i n d the relegation of the n o r t h to a p e r i p h e r a l role in national a f f a i r s . W h e n t h e c o u n t r y a t last h a d a n o r t h e r n h e a d o f g o v e r n m e n t , o n e o f t h e first p r i o r i t i e s u n d e r t a k e n w a s t o i m p r o v e c o m m u n i c a t i o n s b e t w e e n t h e c a p i t a l city o f K a m p a l a a n d t h e d i s t a n t areas of L a n g o a n d Acholi. O b o t e converted the h i g h r o a d from K a m p a l a t o G u l u i n t o a n a l l - w e a t h e r t a r m a c r o a d . H e also p r o v i d e d a b r i d g e t o facilitate g r e a t e r access t o W e s t N i l e . Man's

Charter,

w h i c h O b o t e i s s u e d in

The Common

1 9 6 9 as a n i d e o l o g i c a l b l u e -

print for the new U g a n d a , reaffirmed the imperative of bridging t h e g a p b e t w e e n t h e different districts of U g a n d a , a n d the necessity t o p u r s u e m o r e e q u i t a b l e d e v e l o p m e n t a l s t r a t e g i e s f o r t h e different parts of the country. W h e n A m i n c a m e into p o w e r the p r e o c c u p a t i o n with the i m p e r ative o f b r i d g i n g t h e g a p b e t w e e n t h e n o r t h a n d t h e m o r e p r o s p e r -

Ali

424

A.

Mazrui

o u s south c o n t i n u e d . His tribe, the Kakwa, h a d been even m o r e u n d e r p r i v i l e g e d t h a n , say, t h e A c h o l i . S i n c e A m i n c a m e f r o m W e s t N i l e , h e w a s h i m s e l f p a r t i c u l a r l y k e e n t o e n s u r e e a s y access t o W e s t Nile. His interest in having an a i r p o r t built n e a r A r u a , the m a i n t o w n o f W e s t N i l e , was i n p a r t a q u e s t t o r e d u c e t h e i s o l a t i o n o f W e s t Nile. T h a t isolation h a d a g o o d deal to do with t h e status of W e s t N i l e a s a p a r t i c u l a r l y r u r a l a r e a sociologically.

Amin em-

ployed Israelis to help him build that airport. By t h e time he exp e l l e d t h e I s r a e l i s , t h e a i r p o r t w a s n o t yet c o m p l e t e . B u t t h e a m b i t i o n t o r e d u c e t h e i m p l i c a t i o n s o f p h y s i c a l d i s t a n c e , a s well a s r e d u c e t h e social d i s t a n c e b e t w e e n t h e n o r t h a n d t h e m o r e p r o s p e r o u s south of the country, continued to be a lingering feature of Amin's ambition. F o r a while he even e n t e r t a i n e d the idea of a second university o f U g a n d a , w i t h a c a m p u s i n G u l u a n d A r u a , b u t his h o p e s f o r c o n s i d e r a b l e s u p p o r t from t h e F r e n c h g o v e r n m e n t t o w a r d realizi n g this g o a l w e r e n o t fulfilled. T h e i d e a o f a s e c o n d u n i v e r s i t y , w i t h special l o c a t i o n a l p r e f e r e n c e g i v e n t o n o r t h e r n a r e a s , w a s p a r t of A m i n ' s strategy to d e r u r a l i z e the Nilotic a n d S u d a n i c a r e a s of the country. It is certainly clear from Uganda's experience that the dimension of

status

in t h e d e f i n i t i o n o f a r u r a l a r e a is in t u r n i n t i m a t e l y c o n -

n e c t e d with b o t h location a n d function. Certainly from a political p o i n t o f view t h e s t a t u s o f r u r a l a r e a s i n n a t i o n a l affairs i s w h a t gives r u r a l l o c a t i o n a n d r u r a l f u n c t i o n t h e i r m o s t s a l i e n t m e a n i n g . W e s h o u l d n o w t u r n m o r e fully t o t h i s c o n c e p t o f r u r a l s t a t u s , e x p l o r e its i d e o l o g i c a l i m p l i c a t i o n s , a n d a p p l y i t t o t h e a n a l y s i s o f b o t h g e o g r a p h i c a l location a n d cultural functions in U g a n d a ' s historical e x p e r i e n c e . A Maoist i n t e r p r e t a t i o n of the T h i r d W o r l d is that of a global c o u n t r y s i d e , n e g l e c t e d a n d s o m e t i m e s e x p l o i t e d b y t h e city folk o f t h e affluent c o u n t r i e s o f the world. T h i s a p p r o a c h looks u p o n t h e d i v i s i o n b e t w e e n t h e d e v e l o p e d a n d t h e less d e v e l o p e d c o u n t r i e s a s b e i n g basically s i m i l a r t o t h e division b e t w e e n t h e city a n d t h e r u r a l a r e a s . A p a t t e r n o f d i f f e r e n t i a l d e v e l o p m e n t , social a n d c u l t u r a l d i s t a n c e , a n d a s y m m e t r i c a l political a n d e c o n o m i c i n t e r a c t i o n b e t w e e n t h e s e d i v e r s e g e o g r a p h i c a l a r e a s , t o g e t h e r f i n d a basis f o r s u c h a f u n c t i o n a l d e f i n i t i o n o f city v e r s u s c o u n t r y .

Ethnic Stratification in U g a n d a

425

A related radical a p p r o a c h uses the categories of c e n t e r a n d per i p h e r y i n s t e a d o f city a n d c o u n t r y . T h e N o r w e g i a n s c h o l a r J o h a n Galtung has p e r h a p s gone furthest in linking imperialism to the dichotomy between center and periphery, and working out an entire t h e o r y o f d o m i n a n c e based o n that d i c h o t o m y .

3

A p p l y i n g t h e s e c o n c e p t s t o a s i n g l e society, i n s t e a d o f t h e w o r l d as a w h o l e , c o u l d yield i m p o r t a n t i n s i g h t s o f its o w n . I n t h e h i s t o r y of U g a n d a the role of B u g a n d a looms large. ( B u g a n d a is the territ o r i a l h o m e o f t h e G a n d a c o m m u n i t y a n d t h e n a m e o f t h e E a s t African k i n g d o m . B a g a n d a is the n a m e applied to m e m b e r s of the G a n d a c o m m u n i t y . M u g a n d a i s t h e s i n g u l a r o f B a g a n d a , t h a t is, o n e m e m b e r o f t h e c o m m u n i t y . G a n d a , the r o o t w o r d , i s also u s e d as an adjective.) Using Galtungian terms, Buganda had long been the center of t h e society, w h i l e n o r t h e r n U g a n d a w a s c l e a r l y p a r t o f t h e p e r i p h e r y . U s i n g M a o i s t t e r m s , B u g a n d a w a s t h e city w r i t l a r g e , w h i l e m u c h of t h e rest of t h e c o u n t r y was functionally r u r a l in this special s e n s e o f d i f f e r e n t i a l d e v e l o p m e n t , i m b a l a n c e i n t h e d i s t r i b u t i o n of industries, a n d exploitative relationships. T h e B a g a n d a were at the t o p of the e m e r g i n g system of e t h n i c stratification. F o r a w h i l e i n its h i s t o r y B u g a n d a e v e n e n t e r e d t h e r o l e o f a subimperial

p o w e r , collaborating with the British in controlling

a n d r u l i n g significant parts of t h e rest of t h e c o u n t r y . B u g a n d a p r o v i d e d m a n y of t h e a d m i n i s t r a t o r s for British r u l e a s s i g n e d to different parts o f the country. A n d t h r o u g h m u c h o f t h e colonial p e r i o d t h e B a g a n d a w e r e clearly t h e h e a r t l a n d c o m m u n i t y o f t h e country, displaying an impressive responsiveness to the stimulus of t h e n e w e d u c a t i o n a l a n d c u l t u r a l skills w h i c h c a m e w i t h t h e i m p e rial p o w e r a n d E u r o p e a n m i s s i o n a r i e s . T h e r e g i o n b e c a m e t h e b e s t developed

economically,

the

best

educated,

the

best integrated

t h r o u g h a network of communications, a n d the most influential politically. A s K a m p a l a e v o l v e d i n t o t h e c a p i t a l city, B u g a n d a d e v e l o p e d into the capital region. A s B u g a n d a b e c a m e m o r e u r b a n i z e d a n d c o n s o l i d a t e d its c e n t r a l ity i n n a t i o n a l a f f a i r s , i t also b e c a m e d e m i l i t a r i z e d . A t t h e t i m e that t h e British a r r i v e d in this p a r t of the w o r l d , t h e B u g a n d a 3.

See, for e x a m p l e , Johan

Journal of Peace Research,

2.2

Galtung, "A Structural T h e o r y of Imperialism,"

(1971),

81-117.

426

AH

kingdom

had

A.

Mazrui

b e e n militarily o n e o f t h e m o s t p o w e r f u l i n E a s t

Africa as a w h o l e . T h e k i n g d o m h a d evolved i m p r e s s i v e political a n d social i n s t i t u t i o n s a n d h a d d e v e l o p e d s y s t e m s o f c o l l e c t i v e o r ganization which converted B u g a n d a into an impressive military force. The

1900 A g r e e m e n t c o n c l u d e d b e t w e e n B u g a n d a a n d Britain

i n a u g u r a t e d a n e w e r a . T h e a g r e e m e n t itself p u t s p e c i a l l i m i t a t i o n s on the n u m b e r s a n d types of arms which the king of t h e B a g a n d a could acquire or k e e p for t h e protection of t h e palace. B u t b e y o n d that the process of demilitarizing the B a g a n d a h a d got u n d e r way. T h e military profession which had b e e n o n e o f h o n o r a n d c o m m i t m e n t b e g a n t o lose o v e r t i m e s o m e o f its l u s t e r . W i t h t h e

1900

A g r e e m e n t the B a g a n d a shifted from a c o n c e p t i o n of national aut o n o m y based on military might to a c o n c e p t i o n of their a u t o n o m y based on contractual rights. Over time they l e a r n e d how to exploit effectively t h e t e r m s a n d i m p l i c a t i o n s o f t h e 1 9 0 0 A g r e e m e n t . T h e y l e a r n e d h o w t o u s e t h e c o u r t s with s o p h i s t i c a t i o n i n p u r s u i t o f t h e i r r i g h t s a g a i n s t t h e B r i t i s h . Militarily t h e y w e r e o f c o u r s e n o m a t c h for British

military technology. T h e B a g a n d a n o w realized that

their ultimate w e a p o n s against the British w e r e legal a n d political. T h e p r o f e s s i o n o f a r m s was left t o " l e s s e r " e t h n i c c o m m u n i t i e s . T h e British themselves h a d in a d d i t i o n a vested interest in t h e demilitarization of B u g a n d a .

British policies f o r m i l i t a r y r e c r u i t -

m e n t turned to other areas, reinforcing the Baganda's own increasing inclination to look for alternative a v e n u e s of h o n o r , i n c o m e , and achievement. B u t i f B u g a n d a w a s b e c o m i n g a less p r o m i s i n g a r e a o f r e c r u i t m e n t f o r t h e K i n g ' s A f r i c a n rifles, w h e r e e l s e s h o u l d t h e B r i t i s h t u r n f o r t h o s e r e c r u i t s ? T h e r e was a l a r g e n u m b e r o f a l t e r n a t i v e areas. T h e British could have t u r n e d t o o t h e r B a n t u areas o f the c o u n t r y . T o s o m e e x t e n t t h e British d i d t u r n t o t h o s e . B u t t h e B a n t u a r e a s w e r e specially susceptible t o t h e d e m o n s t r a t i o n effect o f B u g a n d a ' s ways. B u g a n d a ' s system o f a d m i n i s t r a t i o n a n d cult u r a l styles w e r e

to

some extent emulated

in

the other Bantu

areas of the country. Certainly the o t h e r areas of k i n g d o m s in U g a n d a , all basically B a n t u , d i s p l a y e d a m a r k e d t e n d e n c y t o u s e B u g a n d a as a r e f e r e n c e point, if not as a m o d e l . T h e demilitariza-

E t h n i c Stratification in U g a n d a

427

tion of B u g a n d a was followed by a demilitarization of t h e o t h e r kingdoms. O n c e again the British themselves h a d a vested interest in helpi n g t h e d e m i l i t a r i z a t i o n o f t h e k i n g d o m s . T h e r e w a s i n B r i t i s h calc u l a t i o n s a n a s s u m p t i o n t h a t t h o s e A f r i c a n societies w h i c h w e r e p o litically o r g a n i z e d a s s t a t e s b e f o r e t h e B r i t i s h c a m e w e r e a g r e a t e r military risk o n c e s u b j u g a t e d by t h e British t h a n those African societies

which

were

segmentary

and

politically

acephalous.

B u g a n d a and Bunyoro, as kingdoms which had been particularly s t r o n g u p o n the arrival of the British, were r e g a r d e d by t h e British f o r a w h i l e as p o t e n t i a l m i l i t a r y risks of a specially o m i n o u s k i n d . T h e n o r t h e r n t r i b e s o f U g a n d a , t o t h e e x t e n t t h a t t h e y w e r e less c e n t r a l i z e d i n t h e i r political o r g a n i z a t i o n , e m e r g e d a s s a f e r a r e a s for military r e c r u i t m e n t into the colonial a r m e d forces. In reality t h e British h a d e n c o u n t e r e d u p o n arrival some resistance in parts of the north. A n d the record of n o r t h e r n e r s as fighters a n d warr i o r s was a l r e a d y e s t a b l i s h e d . B u t t h e n a t u r e o f n o r t h e r n p o l i t i c a l o r g a n i z a t i o n was such t h a t t h e societies h a d collections of individu a l w a r r i o r s , r a t h e r t h a n u n i t s o f o r g a n i z e d a r m i e s . T h e t w o factors together increased the attractiveness of the n o r t h as a recruiting area

for the

British colonial

armed

forces. T h e

individuals

so

r e c r u i t e d w e r e believed to have g o o d martial qualities, b u t t h e societies f r o m w h i c h t h e y s p r a n g w e r e o f t e n n o t c e n t r a l i z e d e n o u g h t o raise the t h r e a t o f o r g a n i z e d a r m i e s o f resistance u n d e r t h e b a n n e r o f a s i n g l e political a u t h o r i t y . T h e relatively s e g m e n t a r y Nilotic a n d S u d a n i c c o m m u n i t i e s o f t h e n o r t h w e r e a l r e a d y b e c o m i n g politically p e r i p h e r a l i n U g a n d a . B u t t h e i r v e r y s t a t u s a s a political p e r i p h e r y m a d e t h e m a t t r a c t i v e for military r e c r u i t m e n t into the imperial a r m e d forces. W h a t h a d h a p p e n e d w a s o n c e a g a i n a n i n t e r p l a y b e t w e e n political a n d e c o nomic factors in converting the rural areas of n o r t h e r n U g a n d a into a p r e e m i n e n t l y suitable source of recruits into t h e U g a n d a n army. T h e foundations of a fundamentally different system of ethn i c s t r a t i f i c a t i o n i n t h e f u t u r e w e r e b e i n g l a i d . B u t b e h i n d t h e hist o r i c a l d e v e l o p m e n t s w e r e also s o m e s a l i e n t c u l t u r a l d i f f e r e n c e s b e tween ethnic groups.

W h a t were originally factors primarily of

interest to anthropologists carried implications of long-term conse-

Alt

428

A.

Mazrui

q u e n c e s . L e t u s n o w t u r n m o r e closely t o t h e s e c u l t u r a l v a r i a t i o n s a m o n g Uganda's ethnic groups. ON CULTURE AND COMBAT A f r i c a n t r a d i t i o n a l societies w h i c h l a c k e d t h e s t r u c t u r e s o f s t a t e o r g a n i z a t i o n h a d by necessity to d e v e l o p alternative s t r u c t u r e s of p o l i t i c a l a n d m i l i t a r y stability. M a n y e v o l v e d t h e t r a d i t i o n o f " n e i g h b o r h o o d defense," based on the principle of constructing s e t t l e m e n t s i n a m a n n e r w h i c h p r o v i d e d n e i g h b o r h o o d selfreliance in military matters. I n a d d i t i o n a n u m b e r o f societies e v o l v e d a g e - g r a d e s y s t e m s p r o v i d i n g for functional specialization. G. P. M u r d o c k may have e x a g g e r a t e d the Cushite derivative n a t u r e of age-grade systems, b u t he was surely right in seeing the system as being d e s i g n e d to c o m p e n s a t e f o r political d e c e n t r a l i z a t i o n . I n t h e w o r d s o f M u r d o c k : T h e Nilotes unquestionably acquired their a g e - g r a d e systems t h r o u g h fusion with, or imitation of, t h e Eastern Cushites. T h e reason for t h e s p r e a d of these systems m u s t lie in their survival value. T h e y clearly p r o m o t e d military strength and social integration a n d thus doubtless served to offset in large m e a s u r e the disadvantages i n h e r e n t in a minimal develo p m e n t of political organization. 4

T h e s p e c i a l a r r a n g e m e n t s o f s e t t l e m e n t s , a n d t h e a g e - g r a d e systems, were in t u r n c o n n e c t e d a m o n g the Nilotes to pastoralism as a w a y o f life. I n b o t h t h e S u d a n a n d U g a n d a p a s t o r a l i s m i s o f t e n a m a j o r , a n d i n s o m e c a s e s t h e d o m i n a n t , f a c t o r i n t h e e c o n o m i c style of the tribes which have p r o d u c e d soldiers for national armies. T h e tradition of protecting mobile animals, a n d the quest for new past u r e s , m i g h t h a v e r e s u l t e d in c e r t a i n the

military profession.

athletic

qualities p e r t i n e n t to

Recruitment into colonial armies some-

t i m e s e q u a t e d a t h l e t i c q u a l i t i e s with m a r t i a l q u a l i t i e s . T h e s t a m i n a o f t h e m a n w h o w a l k s d o z e n s o f miles with his c a t t l e , t h e s t a m i n a o f t h e " l o n g d i s t a n c e r u n n e r , " c o u l d s o easily b e s e e n a s r e l e v a n t a l s o for military p e r f o r m a n c e . I n a d d i t i o n p a s t o r a l i s m a s a n e c o n o m i c w a y o f life p r o d u c e s a 4.

G e o r g e P e t e r M u r d o c k , Africa: Its Peoples and Their Culture History ( N e w

McGraw-Hill, 1959). p. 339.

York,

E t h n i c Stratification in U g a n d a

429

" w o r l d v i e w " o f its o w n w h i c h e n c o m p a s s e s m a r t i a l v a l u e s . I n t h i s sense o n e m i g h t e v e n distinguish b e t w e e n p e r s o n a l valor a n d military h o n o r . Personal valor is invoked w h e n the individual h e r d s m a n i s p r o t e c t i n g his o w n c a t t l e o r h i s o w n w i v e s a n d c h i l d r e n a g a i n s t r a i d e r s . M i l i t a r y h o n o r in t h i s s e n s e c o m e s i n t o p l a y in lective

col-

c o m b a t a g a i n s t a collective e x t e r n a l e n e m y .

Pastoralism

may

sharpen

concepts

of

personal

valor—self-

defense in the old sense of the r u g g e d a n d isolated frontier. Each f a m i l y h a d t o b e its o w n " a r m y , " e a c h m a n h i s o w n w a r r i o r . O n t h e o t h e r h a n d , societies w h i c h c o m b i n e p a s t o r a l i s m with cultivation, b u t w i t h o u t a tradition of centralized authority s t r u c t u r e s , m a y h a v e c o n c e p t s w h i c h a r e a little n e a r e r t o t h o s e o f c o l l e c t i v e military h o n o r . I n m o r e e l a b o r a t e s t a t e s y s t e m s like t h o s e o f t r a d i t i o n a l B u g a n d a a n d B u n y o r o , f i g h t i n g for t h e k i n g c o u l d b e c o m e a n e v e n b i g g e r m e a s u r e of valor t h a n fighting to protect one's cattle or o n e ' s priv a t e s e t t l e m e n t . M i l i t a r y service w a s e l a b o r a t e l y i n t e r l i n k e d w i t h political o r g a n i z a t i o n . T h e c o n t r a s t b e t w e e n t h e n o r t h e r n tribes a n d the kingdoms of Uganda struck the foreign observers quite early, t h o u g h sometimes they m i s u n d e r s t o o d the implications of what they were observing. Baker wrote in 1874: T h e o r d e r a n d organization o f U n y o r o were a g r e a t contrast t o t h e want of cohesion of t h e n o r t h e r n tribes. Every district t h r o u g h o u t t h e [Nyoro] c o u n t r y was governed by a chief, w h o was responsible to t h e king for t h e states of t h e province. T h i s system was e x t e n d e d to s u b - g o v e r n m e n t a n d a series of lower officials in every district, who were b o u n d to obey t h e o r d e r s o f t h e lord-lieutenant . . . I n t h e event o f war, every gove r n o r could a p p e a r , together with his c o n t i n g e n t of a r m e d m e n , at short notice. T h e s e were t h e rules of g o v e r n m e n t that h a d been established for m a n y generations t h r o u g h o u t U n y o r o . 5

By the time the British c a m e to U g a n d a , B u n y o r o was b e g i n n i n g to evolve a kind of standing a r m y r o u n d t h e nucleus of t h e King's or Mukama's bodyguard. Until King Kabarega, Bunyoro did not traditionally have a perm a n e n t s t a n d i n g a r m y . In time of w a r t h e chiefs s o m e t i m e s bec a m e military leaders a n d were responsible for m a k i n g available 5.

S . B a k e r , Ismailia ( L o n d o n , M a c m i l l a n , 1 8 7 4 ) , II, 2 1 2 - 2 1 3 .

430

AH

able-bodied

men

u n d e r their jurisdiction.

A.

Mazrui

Political

and

military

l e a d e r s h i p w e r e often completely fused. T h e r e w e r e chiefs w h o g a i n e d g r e a t n a t i o n a l r e p u t a t i o n a s w a r l e a d e r s — " a n d c r o w n s (Makondo)

had

been

awarded

reign of Kabarega, the into

an

effective

to

successful

6

During

the

o r king's b o d y g u a r d , d e v e l o p e d

Barusura,

military

generals."

force.

B u n y o r o was

about to

institu-

t i o n a l i z e its w a r r i o r s a n d m a k e t h e m a s t a n d i n g a r m y . B u t t h e B r i t i s h w e r e a t last a t h a n d , a n d K a b a r e g a ' s r e i g n s i g n i f i e d b o t h t h e climax of t h e N y o r o military organization a n d the b e g i n n i n g of t h e demilitarization of Bunyoro. G a n d a p o l i t i c a l c u l t u r e also e m p h a s i z e d m i l i t a r y h o n o r r a t h e r than

personal

valor.

In

the

course

of the

nineteenth

century

B u g a n d a w a s d e v e l o p i n g a s p e c i a l R o y a l G u a r d C o r p s a s t h e basis of a g r a d u a l l y evolving r e g u l a r a r m y . T h e b u l k of t h e a r m y was still r e c r u i t e d f r o m p e a s a n t m i l i t i a , b u t t h e c a p a c i t y f o r m o b i l i z i n g t h a t a r m y w a s c o n s i d e r a b l y f a c i l i t a t e d b y t h e r e l a t i v e political c e n t r a l i z a t i o n o f t h e s y s t e m . B e h i n d i t all w a s a n e t h o s o f m i l i t a r i s m r

w hich h a d b e c o m e e x t r a militant by this p e r i o d . O n c e a g a i n political a n d m i l i t a r y o r g a n i z a t i o n w e r e s u b s t a n t i a l l y f u s e d . I n t h e w o r d s of Lloyd Fallers: Organizationally . . . warfare r e p r e s e n t e d t h e clearest w o r k i n g - o u t of t h e p a t t e r n towards which the whole polity was moving: an institutional system in which positions of h o n o r were o p e n to challenge, in which ability a n d diligence were quickly r e w a r d e d a n d failure was quickly p u n i s h e d . . . W a r was t h u s the focus of what h a d p e r h a p s b e c o m e , in t h e ninet e e n t h c e n t u r y , t h e master value in G a n d a c u l t u r e — t h e a g g r a n d i z e m e n t of t h e nation a n d t h e king." T h e s e were the organizational

factors which

made the Bantu

k i n g d o m such a s t r i k i n g contrast to t h e relatively a c e p h a l o u s political a r r a n g e m e n t s o f t h e n o r t h e r n t r i b e s . Y e t t h e n o r t h e r n t r i b e s a f t e r c o l o n i a l a n n e x a t i o n c o u l d still b e 6 . S e e J o h n B e a t t i e , The Nyoiv State ( O x f o r d , T h e C l a r e n d o n P r e s s ,

1971), pp.

128-129. 7 . L . A . F a l l e r s , a s s i s t e d b y F . K . K a m o g a a n d S . B . K. M u s o k e , " S o c i a l S t r a t i f i c a t i o n i n T r a d i t i o n a l B u g a n d a , " c h a p . 2 , i n L . A . F a l l e r s , e d . , The King's Men: Lead-

ership and Status in Buganda on the Eve of Independence ( L o n d o n , O x f o r d U n i v e r s i t y Press,

on

111-130.

behalf of the

East

African

Institute

of Social

Research,

1964),

pp.

E t h n i c Stratification in U g a n d a

d e e m e d to p r o d u c e s o m e o f t h e b e s t

431

individual

w a r r i o r s . J u s t as t h e

British h a d m a d e assumptions about extra martial prowess a m o n g the G u r k h a s a n d Punjabis, so they m a d e assumptions a b o u t such prowess

among

the

Nilotic

and

Sudanic

peoples

of

northern

Uganda. A d d i t i o n a l cultural factors i n c l u d e d t h e interplay b e t w e e n food culture and

physical a n t h r o p o l o g y .

Eastern and western

Nilotes

a n d S u d a n i c tribes p r o d u c e d a d i s p r o p o r t i o n a t e n u m b e r o f m e n w h o w e r e tall a n d slim. T h i s p a r t i c u l a r k i n d o f p h y s i q u e w a s int e r p r e t e d i n t h e c o l o n i a l p e r i o d a s a d d i t i o n a l e v i d e n c e o f militarys u i t a b i l i t y . T h e "tall a n d l e a n " w e r e r e g a r d e d a s " g o o d d r i l l m a t e rial." Food

culture

over

generations

could

have

influenced

the

e m e r g e n c e o f lean physical specimens, especially a m o n g c o m m u n i ties w h i c h w e r e t r u l y p a s t o r a l . R e l i a n c e o n m i l k a n d m e a t a s t h e s t a p l e f o o d , w i t h p e r i o d s w h e n a l m o s t n o t h i n g else w a s a d d e d t o t h e d i e t , h a d its i m p a c t o n p h y s i c a l a n t h r o p o l o g y . Millet a m o n g o t h e r Nilotes was i n t e r p r e t e d by the c o m m u n i t i e s themselves as a diet f u n d a m e n t a l l y m o r e relevant t o physical s t r e n g t h t h a n t h e m a toke

(plantain b a n a n a s ) of s o m e of the B a n t u tribes. B u t w h a t e v e r t h e relevance of food c u l t u r e for p h y s i q u e , t h e r e is

little d o u b t t h a t t h e r e c r u i t m e n t officers o f t h e i m p e r i a l p o w e r i n U g a n d a c a m e t o l o o k a t Nilotic a n d S u d a n i c c o m m u n i t i e s a s b e i n g physically

better

"drill

material'"

than

most

of the

people

of the

B a n t u k i n g d o m s . I n A n k o l e t h e r u l i n g elite w a s sufficiently p a s t o ral i n its o r i g i n a n d c u l t u r e t h a t s p e c i m e n s o f s i m i l a r p h y s i q u e w e r e available. B u t as A n k o l e was a k i n g d o m , a n d as the n e w criteria of prestige in colonial U g a n d a m o v e d away from military symbolism, a n d since i n a n y case B u g a n d a was a n i m p o r t a n t m o d e l for t h e other kingdoms, Ankole's representation in the U g a n d a n a r m e d forces was as m o d e s t as the r e p r e s e n t a t i o n of t h e o t h e r k i n g d o m s . An

ethnic

separation

of powers

seemed

to

be

underway

in

U g a n d a . T h e r e was a d i s p r o p o r t i o n a t e p r e s e n c e of the B a n t u in a d m i n i s t r a t i o n a n d t h e e c o n o m y . B u t t h e r e w a s also d e v e l o p i n g a d i s p r o p o r t i o n a t e Nilotic a n d S u d a n i c p r e s e n c e w i t h i n t h e a r m e d forces of the n e w U g a n d a . B u g a n d a itself r e m a i n e d t h e m o s t p r i v i l e g e d p a r t o f t h e B a n t u

432

Ali

A.

Mazrui

a r e a s . I t w a s i n d e e d a city w r i t l a r g e . T h e Nilotic a n d S u d a n i c a r e a s w e r e virtually the most p e r i p h e r a l in the new national entity. T h e s o l d i e r s w e r e c o m i n g f r o m a p a r t o f t h e c o u n t r y w h i c h was r u r a l i n l o c a t i o n , f u n c t i o n , a n d s t a t u s . T h e s t a g e w a s set f o r t h e b e g i n n i n g s of a military-agrarian c o m p l e x .

s

T H E MILITARIZATION OF THE COUNTRYSIDE W i t h b o t h t h e d i s a d v a n t a g e s o f p h y s i c a l a n d social d i s t a n c e a n d the

presumed

advantages

of rural

culture

for

military

perfor-

m a n c e , p e a s a n t w a r r i o r s b e g a n t o j o i n t h e a r m y i n significant n u m b e r s . F o r s o m e villages t h e a r m y w a s s e c o n d o n l y t o a g r i c u l t u r e a s a m a j o r s o u r c e o f l i v e l i h o o d a n d i n c o m e f o r t h e local c o m m u n i t y . F o r s o m e p e a s a n t s a military c a r e e r was t h e i r first i n t r o d u c t i o n to U g a n d a as a national entity. W h a t was o n c e said of y o u n g T u r k i s h f a r m l a d s w a s also t r u e o f r a w r e c r u i t s f r o m r u r a l U g a n d a . T h e s e r e c r u i t s " f r o m i s o l a t e d villages n o w s u d d e n l y felt t h e m s e l v e s t o b e p a r t o f t h e l a r g e r society. T h e c o n n e c t i o n b e t w e e n t h e i r p r i v a t e life a n d p u b l i c r o l e b e c a m e vivid t o t h e m — a n d t h i s s e n s e o f t h e i r n e w personality they diffused a r o u n d t h e m w h e n they r e t u r n e d to their villages."

9

In s o m e i m p o r t a n t sense the c o u n t r y boys b e c a m e conscious of their

membership

in

the

Ugandan

nation.

Hundreds acquired

s o m e technical training relevant to s o m e aspect of their military f u n c t i o n s . S o m e w e r e h e l p e d t o b e c o m e l i t e r a t e . All h a d t o l e a r n o r i m p r o v e t h e i r S w a h i l i a s a m e d i u m o f i n t e r a c t i o n with l a d s f r o m o t h e r e t h n i c a r e a s . T h o s e a r e a s h a d i n d e e d b e c o m e p a r t i a l l y militar i z e d w h e n t h e y b e c a m e c o n v e r t e d i n t o m a j o r g r o u n d s for r e c r u i t m e n t i n t o t h e a r m e d f o r c e s . B u t t h e r e c r u i t s t h e m s e l v e s also b e came

partially

nationalized

in

their

perspectives,

though

still

retaining serious rural handicaps. 8 . C o n s u l t a l s o M a z r u i , " T h e L u m p e n Proletariat a n d L u m p e n Militariat: A f r i c a n S o l d i e r s a s a N e w P o l i t i c a l C l a s s . " Political Studies, 2 1 . 1 ( M a r c h

1973), and

Mazrui, "The

paper pre-

Militarization o f Charisma:

An

African

Case Study,"

s e n t e d a t t h e 9 t h W o r l d C o n g r e s s o f t h e I n t e r n a t i o n a l Political S c i e n c e A s s o c i a tion, Montreal, August 2 0 - 2 5 , 1973. 9. See Daniel

Lerner and

Richard

D.

Robinson, "Swords and Ploughshares:

T h e T u r k i s h A r m y a s a M o d e r n i z i n g F o r c e , " World Politics, 26-29.

12 (October 1960),

E t h n i c Stratification i n U g a n d a

433

T h e t h e m e o f r u r a l s t a t u s r e t a i n e d a critical r e l e v a n c e . A s i n m a n y d e v e l o p i n g societies, t h e r e d u c e d o p p o r t u n i t i e s i n t h e r u r a l a r e a s t e n d e d to inflate t h e value of a military c a r e e r to m a n y in those areas. In t h e w o r d s of M a r i o n J. Levy, . . . insofar as m e m b e r s h i p in t h e a r m e d forces is generally o p e n to m e m b e r s of the society, the vast majority of the m e m b e r s of a given society a r e likely to be individuals of a single class, a n d hence if t h e a r m e d force organizations a r e large scale, most r e c r u i t m e n t is likely to c o m e from people of m o r e or less c o m m o n origins. This is especially t r u e , of c o u r s e , of relatively n o n m o d e r n i z e d societies. In such societies a r m e d force organizations a r e frequently elite organizations whose m e m b e r s a r e likely to c o m e from representatives of a single elite class. If they a r e n o t elite organizations a n d r e c r u i t m e n t is o p e n class, t h e vast majority of individuals c o n c e r n e d a r e likely to come from agrarian social b a c k g r o u n d s . 10

I n U g a n d a ' s e x p e r i e n c e t h e m i l i t a r y d i d n o t r e c r u i t f r o m a n elite class. O n t h e c o n t r a r y , i t h a d c o n s i d e r a b l e difficulty i n r e c r u i t i n g f r o m t h e n e w e d u c a t e d elite. T h e o v e r w h e l m i n g m a j o r i t y o f t h e s o l d i e r s w e r e t h e r e f o r e d r a w n f r o m w h a t Levy c a l l e d " p e o p l e o f m o r e or less c o m m o n o r i g i n s

. . .

f r o m a g r a r i a n social

back-

grounds." B u t w e r e these p e o p l e i n s y m p a t h y with t h e i r r u r a l o r i g i n a n d peasant compatriots? Their

prejudices

and

predispositions

were

c e r t a i n l y c o n s i d e r a b l y i n f l u e n c e d b y t h e i r social b a c k g r o u n d s . W h a t R o b e r t S c a l a p i n o said of the military r u l e r s of K o r e a in t h e early 1 9 6 0 s h a s also b e e n t r u e t o s o m e e x t e n t o f t h e m a j o r i t y o f t h e officers a n d m e n o f t h e U g a n d a n a r m y . T h e s e w e r e y o u n g m e n " w h o c a m e f r o m r u r a l b a c k g r o u n d s a n d w h o , i n m a n y cases, h a v e k n o w n p o v e r t y at close r a n g e . It is n a t u r a l for these m e n to h a v e a r u r a l o r i e n t a t i o n — t o feel a n e m p a t h y w i t h t h e f a r m e r . S u c h m e n m u s t always r e g a r d u r b a n i s m with a c e r t a i n a m b i v a l e n c e . "

1 1

But there is o n e important difference in Uganda's conditions as c o m p a r e d w i t h e i t h e r T u r k e y o r K o r e a . U g a n d a is a

polyethnk

soci-

ety, d e e p l y d i v i d e d a l o n g these p r i m o r d i a l lines. L u g b a r a p e a s a n t s 10.

M a r i o n J . L e v y J r . , " A r m e d F o r c e O r g a n i z a t i o n s , " The Military and Moderni-

zation, e d . H e n r y B i e m e n ( C h i c a g o , A l d i n e - A t h e r t o n , 1 9 7 1 ) , p . 6 3 . 1 1.

R o b e r t A . S c a l a p i n o , " W h i c h R o u t e f o r K o r e a ? " Asian Smvey, 2 ( S e p t e m b e r

1 9 6 2 ) , 1 1.

434

All

A.

Mazrui

i n t h e a r m e d f o r c e s m a y h a v e a b o n d o f affinity w i t h L u g b a r a p e a s a n t s in t h e villages, b u t t h e r e is no g u a r a n t e e that they w o u l d h a v e a b o n d of s y m p a t h y with Kakwa or Acholi peasants inside or outs i d e t h e a r m y . T h e b o n d s o f s h a r e d social o r i g i n s a r e s o m e t i m e s i n conflict with t h e tensions of differing e t h n i c origins. In s u c h c o n d i tions, a military-agrarian c o m p l e x is seldom either n e a t or stable. C o n f l i c t i n g l o y a l t i e s — p a r t l y e t h n i c , p a r t l y i n t e r m s o f social o r i g i n , a n d partly arising f r o m the pulls of occupational a l l e g i a n c e — w o u l d periodically shake what might otherwise have been a b o n d of e m p a t h y b e t w e e n s o l d i e r s a n d r u r a l folk. OBOTE'S MILITARY-INTELLECTUAL COMPLEX B u t while t h e a r m y i n U g a n d a was b e i n g r e c r u i t e d s o o v e r whelmingly f r o m semi-literate a n d rustic sectors of the p o p u l a t i o n , politics as a p r o f e s s i o n was r e c r u i t i n g f r o m t h e n e w e d u c a t e d elite. T h e colonial e x p e r i e n c e h a d p u t a special p r e m i u m o n certain verb a l a n d l i t e r a r y skills. T h e a s p i r i n g p o l i t i c i a n h a d t o h a v e a m o n g his c r e d e n t i a l s s o m e o f t h e symbols o f m o d e r n e d u c a t i o n a s d e f i n e d b y t h e c o n q u e r i n g i m p e r i a l c u l t u r e . I f t h e l e g i s l a t u r e was t o b e t h e c e n t r a l r e c r u i t m e n t m e c h a n i s m for t h e n e w political elite, then entry into the legislature required c o m p e t e n c e in the English l a n g u a g e . O r a t o r y a s a political skill a t t h e n a t i o n a l level a l s o r e q u i r e d a n effective utilization o f t h e i m p e r i a l l a n g u a g e . U g a n d a h a d t o c h o o s e its n a t i o n a l l e a d e r s f r o m a m o n g t h o s e w h o p u t across t h e i r views i n t h e i m p o r t e d l a n g u a g e o f t h e E u r o p e a n m e t ropole. A s political p a r t i e s w e r e f o r m e d i n t h e l a t e 1 9 5 0 s a n d t h e e a r l y 1 9 6 0 s , a s p i r i n g i n t e l l e c t u a l s left s o m e o f t h e i r o l d e r p r o f e s s i o n s t o j o i n t h e m a i n s t r e a m o f political a m b i t i o n . S c h o o l s e s p e c i a l l y lost a n u m b e r of able t e a c h e r s to t h e new p r o f e s s i o n of politics. In t h e 1961 elections in U g a n d a the Democratic party " p o a c h e d " m a n y a t e a c h e r from Catholic schools in different parts of the c o u n t r y to stand as candidates in the parliamentary elections. Obote's o w n p a r t y also " p o a c h e d " on t h e schools, b u t to a lesser d e g r e e . W h a t t h e whole e x p e r i e n c e did indicate was, quite simply, the n e e d in p o l i t i c s f o r skills w h i c h w e r e also a s s o c i a t e d w i t h t h e t e a c h i n g p r o fession.

435

E t h n i c Stratification i n U g a n d a

T h e i m p e r i a l h e r i t a g e a n d its p r e s t i g e , t h e a d o p t i o n o f E n g l i s h a s a national l a n g u a g e , the r e q u i r e m e n t of c o m p e t e n c e in English for p a r l i a m e n t a r i a n s in a situation w h e r e people l e a r n e d English from s c h o o l s a n d n o t f r o m t h e h o m e a n d m a r k e t p l a c e , all p r e p a r e d t h e g r o u n d for t h e rise of t h e intelligentsia as t h e d o m i n a n t force in at l e a s t t h e f i r s t few y e a r s o f U g a n d a ' s i n d e p e n d e n c e . I n t h e U g a n d a situation we define the intelligentsia in educational a n d occupat i o n a l t e r m s — a g r o u p w i t h a t least t w e l v e y e a r s o f f o r m a l e d u c a tion a n d constituting a white-collar stratum. M i l t o n O b o t e himself was p r e e m i n e n t l y a n intellectual, n o t only i n h i s e d u c a t i o n b u t also i n t h e s e n s e o f b e i n g s o m e o n e c a p a b l e o f b e i n g f a s c i n a t e d b y i d e a s a n d with skills f o r h a n d l i n g t h o s e i d e a s e f f e c t i v e l y . B u t a t f i r s t his a l l i a n c e w a s n o t b e t w e e n t h e i n t e l l i g e n t sia a n d t h e m i l i t a r y b u t m a i n l y b e t w e e n t h e m o d e r n i n t e l l i g e n t s i a u n d e r his l e a d e r s h i p a n d t h e i n d i g e n o u s t r a d i t i o n a l i s t s , e s p e c i a l l y those w h o followed Kabaka Mutesa II of B u g a n d a . Following the 1962 election Obote's U g a n d a People's Congress a n d B u g a n d a ' s K a b a k a Y e k k a p a r t y f o r m e d a coalition g o v e r n m e n t , with t h e D e m ocratic p a r t y i n opposition. T h e Democratic party h a d always h a d its o w n s h a r e o f U g a n d a ' s i n t e l l e c t u a l s , b u t b e f o r e l o n g i t b e g a n t o lose s o m e o f its b e s t p e o p l e i n p a r l i a m e n t t o t h e U g a n d a P e o p l e ' s Congress. The

basic

alliance

between

the

intelligentsia

and

the

tradi-

tionalists, especially t h e traditional aristocracies in t h e k i n g d o m s of U g a n d a , c a m e t o a n e n d i n 1 9 6 4 . T h a t y e a r w a s also t h e b e g i n n i n g of a military-intellectual coalition u n d e r O b o t e ' s l e a d e r s h i p . T h e military m u t i n y which h a d taken place in J a n u a r y 1964 h a d e n d e d w i t h a n u m b e r o f c o n c e s s i o n s t o t h e a r m e d f o r c e s , a n d a n e w basis o f p a r t n e r s h i p was created between O b o t e ' s g o v e r n m e n t a n d what was n o w increasingly O b o t e ' s a r m y . T h e a r m e d forces a t t h e time of the achievement of i n d e p e n d e n c e had been underestimated as a p o l i t i c a l f o r c e , b u t b y 1 9 6 4 M i l t o n O b o t e w a s q u i t e c l e a r i n his d e t e r m i n a t i o n to maintain a workable alliance with the a r m e d forces a g a i n s t t h e traditionalist forces of the c o u n t r y . In

1966, following Obote's military c o n f r o n t a t i o n with t h e Ka-

b a k a o f B u g a n d a , a n o t h e r stage was r e a c h e d i n t h e evolution o f t h e new military-intellectual complex. As h e a d of the a r m y O b o t e re-

Ali

436

A.

Mazrui

p l a c e d B r i g a d i e r O p o l o t with B r i g a d i e r I d i A m i n . T h e i n t e l l e c t u a l gulf between A m i n a n d O b o t e e m p h a s i z e d in symbolic t e r m s the s u p r e m a c y of t h e intelligentsia in t h a t p a r t n e r s h i p . It was i n d e e d to b e O b o t e ' s brain b e h i n d Amin's g u n . Idi A m i n , grossly u n d e r e s t i m a t e d by O b o t e himself a n d by m a n y p e o p l e since t h e n , a p p e a r e d to be a jovial but ignorant w a r r i o r capable of b e i n g m a n i p u lated in different ways. Many r e g a r d e d A m i n as no m o r e t h a n a buffoon, t h o u g h potentially a d a n g e r o u s buffoon. With Obote's astuteness to control a n d manipulate him, the intelligentsia s e e m e d a s s u r e d of r e m a i n i n g senior p a r t n e r s in their coalition with t h e military. O b o t e recruited intellectuals from o t h e r parts of the c o u n t r y to his s u p p o r t . A m o n g t h e B a g a n d a t h e p o s i t i o n w a s less n e a t . G a n d a intelligentsia were sometimes torn between t h e d e m a n d s of tradit i o n a l i s t loyalties w i t h i n t h e i r o w n e t h n i c g r o u p a n d t h e l u r e o f m o d e r n reforms as symbolized by the U g a n d a People's Congress. H a d Obote not humiliated the B a g a n d a so continuously from 1966 o n w a r d s after he defeated their king, he might have recruited m a n y B a g a n d a i n t e l l e c t u a l s t o s o m e o f his r e f o r m s . In 1969 t h e r e started a new phase in the f o r t u n e s of the coalition b e t w e e n the military a n d Obote's intelligentsia. Milton O b o t e s t a r t e d his " s t r a t e g y o f t h e m o v e t o t h e left." H e b e g a n t o d e f i n e n e w socialistic g o a l s . H e e n t e r e d t h e s t r e a m o f d o c u m e n t a r y r a d i c a l i s m with his s e r i e s o f d o c u m e n t s i n d i c a t i n g n e w political policies a n d ideological d i r e c t i o n s . T h e ideological c o n t e n t o f most o f t h e d o c u m e n t s o f O b o t e ' s m o v e t o t h e left i m p l i e d a c o n c e r n f o r t h e p e a s a n t r v . T h e a r g u m e n t s against t h e injustices o f " f e u d a l i s m , " especially in t h e f o r m e r k i n g d o m s of U g a n d a , reaffirmed s y m p a t h y w i t h t h e " o p p r e s s e d " c o m m o n folk. T h e e g a l i t a r i a n t h e m e o f t h e m o v e t o t h e left s t r a t e g y s e e m e d t o b e a c l a r i o n call f o r a n e w 1 2

12.

D o c u m e n t a r y radicalism as a strategy of c a p t u r i n g in d o c u m e n t s a vision of

a n e w s o c i e t y t o b e c r e a t e d i s d i s c u s s e d m o r e f u l l y i n M a z r u i , Cultural Engineering and Nation-Building in East Africa ( E v a n s t o n . N o r t h w e s t e r n U n i v e r s i t y P r e s s , chap.

5. S e e also

Mazrui. "Leadership in

Journal 2 5 . 3 ( J u n e 1 9 7 0 ) . C o n s u l t a l s o D .

Africa:

1972),

O b o t e o f U g a n d a , " International

L. C o h e n a n d J. Parson. " T h e U g a n d a

P e o p l e ' s C o n g r e s s B r a n c h a n d C o n s t i t u e n c y E l e c t i o n s o f 1 9 7 0 , " Journal o f Com-

monwealth Political Studies

11.1 ( 1 9 7 3 ) . 4 6 - 6 6 .

E t h n i c Stratification in

Uganda

437

p a r t n e r s h i p b e t w e e n the p e a s a n t r y a n d the intelligentsia. Such a partnership between brains and n u m b e r s constituted, as H u n t i n g t o n h a s r e m i n d e d us, p r e e m i n e n t l y t h e catalyst for r e v o l u t i o n . W i t h O b o t e ' s D o c u m e n t N o . 5 c o n c e r n i n g new m e t h o d s of elect i o n s c a m e t h e i d e a o f l i n k i n g t h e political i n t e l l i g e n t s i a w i t h p e a s a n t s i n all f o u r c o r n e r s o f t h e c o u n t r y . A m e m b e r o f p a r l i a m e n t could no l o n g e r s t a n d for o n e constituency in o n e particular area, usually his e t h n i c h o m e . D o c u m e n t N o . 5 r e q u i r e d every parliam e n t a r y c a n d i d a t e to s t a n d for election simultaneously in four constituencies—one constituency in the north, one in the south, one in t h e west, a n d o n e i n t h e east. Each c a n d i d a t e w o u l d t h e r e f o r e h a v e t o w o o l a r g e n u m b e r s o f o r d i n a r y folk i n p a r t s o f t h e c o u n t r y d i s t a n t f r o m his o w n . A n d b e t w e e n elections each p a r l i a m e n t a r i a n would have h a d to nurse constituencies consisting of communities ethnically d i v e r s e a n d regionally d i s p a r a t e . If p a r l i a m e n t a r i a n s , including ministers within parliament, constituted the c r e a m of the political i n t e l l i g e n t s i a , t h e m e m b e r s o f t h i s political e l i t e w e r e n o w t o b e n a t i o n a l l y i n t e r l i n k e d w i t h t h e v o t i n g p e a s a n t r y i n all t h e f o u r corners of the nation. Did t h e a r m y i n t e r v e n e in U g a n d a in J a n u a r y 1971 in o r d e r to p r e v e n t t h i s p a r t n e r s h i p b e t w e e n t h e p e a s a n t r y a n d t h e p o l i t i c a l intelligentsia? T h e military c o u p of J a n u a r y 1971 h a d a n u m b e r of causes, s o m e personal to the relations between A m i n a n d O b o t e , others structural to the situation. But if the a r m y did not intervene to stop a p a r t n e r s h i p between the intelligentsia a n d t h e peasantry, it did i n t e r v e n e partly to stop the d e m o t i o n of the military to an e v e n m o r e j u n i o r p o s i t i o n i n its o w n p a r t n e r s h i p w i t h t h e e d u c a t e d elite. I n t h e p r e c e d i n g twelve m o n t h s O b o t e h a d started m a k i n g d e c i s i o n s a b o u t t h e a r m y w i t h o u t c o n s u l t i n g its h e a d o r e v e n d i s cussing it with the defense counsel. P r o m o t i o n s were m a d e b e h i n d Amin's back,

responsibilities were distributed

within

the a r m e d

forces w i t h o u t t h e p r e t e n s e o f giving t h e a r m e d forces a n a d e q u a t e say i n d e t e r m i n i n g t h e s e m a t t e r s . T h e r e m i g h t h a v e b e e n v e r y s t r o n g political r e a s o n s why O b o t e h a d t o bypass t h e n o r m a l decis i o n - m a k i n g m a c h i n e r y f o r t h e a r m e d f o r c e s i n m a t t e r s like p r o motion, allocation of duties, and potentially even recruitment. But

438

AhI

A.

Mazrui

O b o t e ' s increasing t e n d e n c y to bypass n o r m a l channels gave A m i n a n d that p a r t of the a r m y which s u p p o r t e d A m i n a g r o w i n g feeling o f o m i n o u s political d e m o t i o n . T h e r e i s little e v i d e n c e t h a t A m i n f e a r e d a n a l l i a n c e b e t w e e n t h e r u r a l m a s s e s a n d t h e e d u c a t e d elite u n d e r M i l t o n O b o t e . B u t h e did

fear

the

increasing autonomy of the

political

intelligentsia,

p a r t l y s i g n i f i e d b y O b o t e ' s n e w style o f r u l e , a n d p a r t l y b y a c o n c e r n for t h e implications of the new elections u n d e r D o c u m e n t N o . 5 which w e r e s c h e d u l e d to take place early in

1971. Under the

p r o v i s i o n s o f his D o c u m e n t N o . 5 O b o t e h a d d o n e n o t h i n g t o red u c e t h e d o m i n a n c e o f t h e e d u c a t e d class i n t h e p o l i t i c a l p r o c e s s . All t h e e v i d e n c e s e e m e d t o s u g g e s t t h a t t r i u m p h a n t p a r l i a m e n t a r i a n s w o u l d b e basically d r a w n f r o m t h e s a m e s t r a t u m o f society as in 1961 a n d 1962, e v e n if they were now ideologically c o n v e r t e d t o o t h e r g o a l s . T h e r e w a s n o r e t h i n k i n g a b o u t t h e official l a n g u a g e for p a r l i a m e n t , which was to continue to be t h e h u b of the nation's p o l i t i c a l life. S i n c e p a r l i a m e n t a r i a n s still h a d t o h a v e a c o m p e t e n c e in

the

English

language and

English was

a language obtained

t h r o u g h an e d u c a t i o n a l process, a d e e p - s e a t e d p r e f e r e n c e for t h e e d u c a t e d class o f p a r l i a m e n t a r i a n s was b o u n d t o r e m a i n p a r t o f t h e system. T h e linguistic p r o b l e m could have b e e n h a n d l e d by shifting the m a i n e m p h a s i s of decision m a k i n g into the party away from parliam e n t a n d m a k i n g the party m o r e responsive to the pressures of the p e a s a n t r y . An alternative way of h a n d l i n g the linguistic p r o b l e m in a c o u n t r y like U g a n d a i n a m a n n e r w h i c h w o u l d g i v e g r e a t e r political i n f l u e n c e t o p e o p l e w h o d i d n o t s p e a k E n g l i s h w o u l d h a v e b e e n to choose experimentally two or m o r e African l a n g u a g e s as "parliam e n t a r y l a n g u a g e s " with provision for s i m u l t a n e o u s translation. T h i s w o u l d have b e e n similar to the e x p e r i m e n t c o n d u c t e d in colon i a l T a n g a n y i k a w i t h r e g a r d t o t h e r o l e o f E n g l i s h a n d Swahili a s parliamentary languages. I f a social r e v o l u t i o n w a s w h a t M i l t o n O b o t e w a s a f t e r , t h e first a l t e r n a t i v e o f s h i f t i n g u l t i m a t e p o w e r f r o m p a r l i a m e n t t o the party, a n d r e o r g a n i z i n g t h e p a r t y i n a m a n n e r w h i c h w o u l d i n c r e a s e its responsiveness to the peasantry, would have m a d e greater revolut i o n a r y s e n s e . B u t i n r e a l i t y O b o t e ' s m o v e t o t h e left r e m a i n e d

439

Ethnic Stratification in U g a n d a

basically a g a m e b e i n g p l a y e d b y t h e i n t e l l e c t u a l s o f U g a n d a . M a n y i n t e l l e c t u a l s f o u n d a n e w s e n s e o f p u r p o s e i n this v i s i o n , a n d a n e w o p p o r t u n i t y for verbal e n t h u s i a s m . O b o t e himself was

probably

s i n c e r e , b u t h e d i d n o t p u r s u e t h e logic o f his r e v o l u t i o n a r y i d e a s . T h e i m a g e which was e m e r g i n g was n o t o n e o f a b u d d i n g p a r t n e r s h i p b e t w e e n the p e a s a n t r y a n d intelligentsia, b u t o n e o f a n increasingly self-righteous a n d u n c o m p r o m i s i n g g r o u p o f intellectuals in power in an African country. Obote's military-intellectual c o m p l e x was c r a c k i n g w i t h o u t an a d e q u a t e substitute. P e a s a n t s in O b o t e ' s r e v o l u t i o n a r y s t r a t e g y w e r e still o b j e c t s ; t h e y w e r e n o t a s y e t p a r t i c i p a t i n g s u b j e c t s in a m a j o r social t r a n s f o r m a t i o n . O n J a n u a r y 2 5 , 1 9 7 1 , M i l t o n O b o t e fell f r o m p o w e r .

1 3

AMIN: PANGAS AND PLOUGHSHARES W h a t sorts of c h a n g e s did Obote's successor, G e n e r a l Idi A m i n , seek to i n t r o d u c e ? At first it s e e m e d as if this would be a n o t h e r k i n d o f m i l i t a r y - i n t e l l e c t u a l c o a l i t i o n . A m i n s e e m e d t o feel c o n s i d e r a b l e d e f e r e n c e t o w a r d t h e e d u c a t e d i n his society. H e c r e a t e d t h e most

technocratic and

best e d u c a t e d

cabinet in

the

history

of

U g a n d a . H e r e c r u i t e d f r o m t h e r a n k s o f t h e h i g h l y e d u c a t e d civil service, f r o m t h e legal profession, a n d e v e n from M a k e r e r e U n i versity in K a m p a l a . A m i n ' s original cabinet h a d a r a n g e of e x p e r tise w h i c h i n c l u d e d e n g i n e e r i n g a s well a s law, z o o l o g y a s well a s e c o n o m i c s . T h e c o u n t r y s e e m e d t o b e set o n a n e w a p p r o a c h t o that old p a r t n e r s h i p between g u n s a n d brains. Vet o n e f u n d a m e n t a l d i f f e r e n c e s o o n a s s e r t e d itself. W h e r e a s Obote's

military-intellectual complex

gave

the

intelligentsia

the

status of the senior p a r t n e r , Amin's t e m p o r a r y p a r t n e r s h i p with the intelligentsia soon revealed that it was t h e g u n s which w e r e e n j o y i n g s e n i o r i t y . T h e t e c h n o c r a t s i n t h e c a b i n e t a n d t h e civil s e r v i c e r e s p o n d e d t o t h e m o o d s o f the g e n e r a l himself. T h e r e w e r e r e p o r t s o f a m i n i s t e r b e i n g physically s l a p p e d a c r o s s t h e face b y t h e general. T h e r e were certainly reports of cabinet ministers b e i n g s h o u t e d d o w n a n d silenced on m a t t e r s that the general d i d n o t 13.

For related issues consult Selwyn Ryan, " U g a n d a : Balance Sheet of the Rev-

olution,"

Mawazo

U g a n d a , " Mawazo

3.1 2.4

(June

1971),

(December

1970).

and

Ryan,

"Electoral

Engineering

in

440

Ali

A.

Mazrui

w a n t t o h e a r about. A n i m p o r t a n t p a r t n e r s h i p did i n d e e d exist between these technocrats a n d the new military g o v e r n m e n t , b u t t h e m i l i t a r y w a s n o w clearly a n d i n d i s p u t a b l y t h e s e n i o r p a r t n e r . T h e tables h a d been t u r n e d on t h e intelligentsia. B u t w o u l d A m i n m o r e effectively c r e a t e a p a r t n e r s h i p w i t h t h e p e a s a n t r y t h a n M i l t o n O b o t e h a d d o n e ? W o u l d t h e a g r a r i a n social o r i g i n s o f U g a n d a s o l d i e r s e s t a b l i s h a t least i n f o r m a l l i n k s b e t w e e n the barracks and the countryside? A m i n ' s r e s p o n s e t o his p o s i t i o n i n p o w e r h a d a d e e p a g r a r i a n factor from the start. T h e idea of consulting elders from district to d i s t r i c t a s a way o f g e t t i n g r u r a l c o n s e n s u s w a s r e v i v e d b y t h e g e n eral quite early. A m i n m o v e d from o n e g r o u p o f elders t o a n o t h e r , f r o m o n e d i s t r i c t t o a n o t h e r , v i g o r o u s l y p u r s u i n g a p r i m o r d i a l syst e m of oral consultation which had already been dying u n d e r the w e i g h t o f political m o d e r n i z a t i o n i n U g a n d a . W i t h i n t h e first few m o n t h s o f his r u l e A m i n c o v e r e d m o r e s q u a r e m i l e s o f U g a n d a n territory, addressing meetings and listening to elders, than O b o t e c o v e r e d i n all his e i g h t y e a r s i n office. A m i n c o n v e r t e d e v e n M a k e r e r e professors at o n e stage into a g r o u p of elders a n d c a m e to t h e u n i v e r s i t y to

listen

r a t h e r t h a n t o talk. T h e p e r i p a t e t i c n a t u r e o f

A m i n ' s initial style o f r u l e w a s itself p r o f o u n d l y i n f l u e n c e d b y t h e political c u l t u r e of r u r a l areas in U g a n d a . A m i n h a s b r o u g h t o t h e r c u l t u r a l i n p u t s , d e r i v e d f r o m his p e a s a n t o r i g i n s , i n t o t h e political p r o c e s s i n U g a n d a . H i s e n t i r e style o f d i p l o m a c y i s s t r i k i n g f o r its lack o f m i d d l e - c l a s s " r e f i n e m e n t s . " T h e w o r l d o f i n t e r n a t i o n a l r e l a t i o n s i s d o m i n a t e d i n its n o r m s b y t h e v a l u e s o f t h e m i d d l e classes a n d t h e i n t e r n a t i o n a l i n t e l l i g e n t s i a . I n t e r n a t i o n a l law itself w a s a p r o d u c t o f t h e t h i n k i n g o f E u r o p e a n m i d d l e a n d u p p e r classes o n h o w d i p l o m a c y w a s t o b e c o n d u c t e d a n d relations b e t w e e n states o r g a n i z e d a n d c o n t r o l l e d . T h e r e a r e subtleties and refinements in embassies t h r o u g h o u t the world, and in the corridors of international organizations, which are distant f r o m s o m e o f t h e b l u n t n e s s a n d r e l a t i v e s p o n t a n e i t y o f r u r a l folk. T h e p e a s a n t s i n all c o u n t r i e s o f t h e w o r l d a r e a m o n g t h e least s e n sitized to i n t e r n a t i o n a l issues. T h e y a r e often t h e m o s t obstinately p a r o c h i a l i n t h e i r view o f t h e u n i v e r s e . A n d b e c a u s e o f t h a t , t h i s w h o l e p h e n o m e n o n of relations between states has r e m a i n e d s o m e -

Ethnic Stratification in

Uganda

441

t h i n g s h a p e d , organized, a n d controlled by the values of the midd l e a n d u p p e r classes a n d t h e i r r e s p e c t i v e i n t e l l e c t u a l w i n g s . I d i A m i n , like N i k i t a K h r u s h c h e v b e f o r e h i m , h a s b r o u g h t t o t h e r e f i n e d d i p l o m a t i c b a n q u e t o f t h e m i d d l e a n d u p p e r classes o f t h e world the rustic e m b a r r a s s m e n t of i n a d e q u a t e inhibition. Like Russia's N i k i t a K h r u s h c h e v i n t h e 1 9 5 0 s a n d e a r l y 1 9 6 0 s , I d i A m i n i s today a p e a s a n t bull in the china s h o p of diplomatic history. In p e a s a n t a r e a s o n e visits f r i e n d s w i t h o u t b e i n g i n v i t e d . T h e n e c e s s i t y of an invitation is a middle-class a n d upper-class p h e n o m e n o n . A m i n c a m e i n t o p o w e r a n d p r o c e e d e d t o t r e a t d i p l o m a t i c visits i n a similar m a n n e r .

Israel,

Britain, and

France had claimed to be

f r i e n d s o f his r e g i m e . H e visited e a c h o f t h o s e a t his o w n i n i t i a t i v e . H e a l s o visited W e s t G e r m a n y w i t h t h e c a s u a l n e s s o f o n e p e a s a n t k n o c k i n g o n t h e d o o r o f his r u r a l f r i e n d . O f c o u r s e i n r e a l i t y arr a n g e m e n t s h a d t o b e m a d e t o r e c e i v e t h e p r e s i d e n t o f U g a n d a , security had to be e n s u r e d , major diplomatic banquets had to be held. T h e refinements of European diplomacy, so dominant in the w o r l d a s a w h o l e t o d a y , h a d t o b e e x t e n d e d t o this visiting r u r a l dignitary from Uganda. But the spontaneity of going there without i n v i t a t i o n h a d all t h e b e a r i n g o f t h e c u m u l a t i v e r u r a l s o c i a l i z a t i o n w h i c h A m i n a n d his k i n d o f t e n m a n i f e s t w i t h o u t t h i n k i n g . M o s t p r e s i d e n t s w o u l d n o t give i n t e r v i e w s t o t h e p r e s s o n m a t ters of state w e a r i n g n o t h i n g but a swimming costume. But A m i n has been k n o w n to expose himself to the ridicule of international p h o t o g r a p h i c j o u r n a l i s m b y d o i n g p r e c i s e l y t h a t . S o m e o f t h e pict u r e s t h a t h a v e hit t h e i n t e r n a t i o n a l m a g a z i n e s w e r e c a l c u l a t e d t o p o r t r a y a n a k e d A f r i c a n i n political p o w e r . M o s t p r e s i d e n t s w o u l d p r e p a r e carefully for their press conferences. A m i n has l e a r n e d to d o a little o f t h a t m o r e r e c e n t l y , b u t t h e r e i s still a w i d e a r e a o f s p o n t a n e i t y i n t h e w a y i n w h i c h h e a d d r e s s e s t h e w o r l d a t l a r g e . Almost any idea that occurs to him on the s p u r of the m o m e n t could be given articulation. Peasants do not normally send telegrams to e a c h o t h e r . A m i n h a s l e a r n e d t o u s e this p a r t i c u l a r m e d i u m b u t w i t h s o m e rustic b l u n t n e s s . A n d his messages h a v e r a n g e d from w i s h i n g R i c h a r d N i x o n a quick recovery from W a t e r g a t e to a reaffirmation of d e e p , a n d e v e n r o m a n t i c affection for Julius N y e r e r e " t h o u g h y o u r hair is grey."

442

Alt

A.

Mazrui

S o m e o f t h e s e t e n d e n c i e s a r e p e r s o n a l t o A m i n r a t h e r t h a n t o his social o r i g i n s . B u t t h e v e r y fact t h a t h e lets h i s p e r s o n a l t e n d e n c i e s h a v e s u c h f r e e p l a y w h i l e o c c u p y i n g t h e t o p office o f his n a t i o n m i g h t have b e e n influenced by the relative spontaneity of rural u p bringing a m o n g the Kakwa. His a t t i t u d e t o w a r d t h e Asians of U g a n d a was a feeling widely shared a m o n g ordinary people in the country. By the time Amin came into power Indophobia, or negative response to people of Indian origin, had become a gut peasant response in the country. Ind o p h o b i a was n o t u n i q u e t o the p e a s a n t s . O n t h e c o n t r a r y , m a n y m e m b e r s of O b o t e ' s r u l i n g intelligentsia w e r e strongly anti-Asian. B u t O b o t e ' s g o v e r n m e n t w o u l d n e v e r h a v e h a n d l e d t h e Asian issue in quite that m a n n e r . T h e normal diplomatic inhibitions that o p e r a t e in matters affecting other nations w o u l d — u n d e r O b o t e — have b e e n allowed to m o d e r a t e the fate of t h e Asians. Even humanitarian a r g u m e n t s quite often are arguments s t e e p e d i n m i d d l e - c l a s s a s s u m p t i o n s a n d a r e t h e r e f o r e m o r e likely to i m p r e s s an African intellectual t h a n an African peasant w h o r e m e m b e r s having b e e n insulted over t h e years by Asian shopk e e p e r s o r A s i a n e m p l o y e r s . T h e style o f A m i n ' s e x p u l s i o n o f t h e A s i a n s w a s i n t h i s s e n s e a n a s p e c t o f his p e a s a n t o r i g i n s . A r e l a t e d f a c t o r m i g h t well h a v e b e e n d e r i v e d f r o m t h e t e n s i o n s of r u r a l - u r b a n dichotomies. T h e great majority of the Asians of U g a n d a w e r e u r b a n people. T h o s e Asians that o p e n e d up shop in isolated r u r a l a r e a s o f t e n signified a n u r b a n p r e s e n c e i n t h e c o u n t r y s i d e . M u c h o f t h e r e s e n t m e n t o f t h e A s i a n s w a s racial a n d e c o n o m i c , b u t t h e r e m i g h t also have b e e n a residual symbolic factor s i g n i f y i n g r u r a l - u r b a n t e n s i o n s . T h e s e t e n s i o n s f o c u s e d o n this alien g r o u p partly because it could be h a t e d w i t h o u t the complicat i o n s o f c r o s s - c u t t i n g k i n s h i p ties. B u t a f t e r t h e y w e r e e x p e l l e d what was to h a p p e n ? T h e i r shops became available to a wide r a n g e of categories of U g a n d a n s . T h e s e included U g a n d a n s who would n o t h a v e s t o o d a c h a n c e o f m o v i n g i n t o t h i s level o f e c o n o m i c e n d e a v o r in the old days u n d e r O b o t e . A p a r t f r o m t h e soldiers t h e m selves, t h e r e have b e e n n e w s h o p k e e p e r s in U g a n d a w h o s e origins r a n g e from the n o r t h e r n peasantry to the B u g a n d a aristocracy. It is too early to be s u r e h o w successful the e x p e r i m e n t of indigeniza-

Ethnic Stratification in

Uganda

443

tion of c o m m e r c e in U g a n d a in t h e w a k e of the e x p u l s i o n of t h e A s i a n s will b e . B u t i f t h e e x p e r i m e n t d o e s e m e r g e t r i u m p h a n t , i t could be i n t e r p r e t e d as o n e of t h e first steps toward a coalition between the peasant warriors u n d e r General Amin and the aspiring m a s s e s in both t o w n a n d c o u n t r y in U g a n d a . O n e obstacle continues to loom large. T h e heritage of ethnicity i n t h e c o u n t r y c a r r i e s its o w n r e c o r d o f m u t u a l a t r o c i t i e s . T h a t h e r i t a g e also implies a pull of favoritism a n d differential r e w a r d s . A g r a n d a l l i a n c e b e t w e e n t h e s o l d i e r s a n d t h e p e a s a n t r y falls s h o r t of conclusive c o n s u m m a t i o n in the shadow of the nation's genealogical h i s t o r y .

ETHNICITY AND T H E MILITARY W h e n D w i g h t E i s e n h o w e r w a r n e d his c o u n t r y m e n a b o u t t h e m i l i t a r y - i n d u s t r i a l c o m p l e x o f the U n i t e d States h e was r e m i n d i n g his c o u n t r y m e n o f t h e political w e i g h t o f m i l i t a r y e s t a b l i s h m e n t s e v e n i n m a t u r e l i b e r a l d e m o c r a c i e s . E i s e n h o w e r ' s c o n c e r n was n o t w i t h t h e social o r i g i n s o f m e m b e r s o f t h e m i l i t a r y e s t a b l i s h m e n t i n t h e U n i t e d S t a t e s b u t w i t h t h e political c o n s e q u e n c e s o f i n t e r l o c k i n g elites o f i n d u s t r y a n d t h e a r m e d f o r c e s . T h a t s e c t i o n o f i n d u s t r y which catered

to t h e whole area of military technology was, of

c o u r s e , t h e m o s t i n t i m a t e l y r e l a t e d t o t h e m i l i t a r y elites. B u t t h e i n t e r p l a y b e t w e e n i n d u s t r y a n d t h e a r m e d f o r c e s i n a c o u n t r y like t h e U n i t e d States is w i d e r t h a n that, a n d is related especially to t h e interplav between technology, commerce, a n d war. I n U g a n d a , o n t h e o t h e r h a n d , i t i s p r e c i s e l y t h e social o r i g i n s o f s o l d i e r s t h a t p r o v i d e t h e basis o f p o l i t i c a l a l l e g i a n c e s . I n c o l o n i a l c o n d i t i o n s t h i s w a s s o i n p a r t b e c a u s e o f t h e e t h n i c basis f o r t h e recruitment of soldiers.

T h e colonial authorities

in

some

cases

a v o i d e d certain c o m m u n i t i e s in a n y effort to recruit for t h e a r m e d forces. T h e exclusion of those c o m m u n i t i e s was motivated by considerations which r a n g e d from a p r e s u m p t i o n that m e m b e r s of certain c o m m u n i t i e s did n o t have e i t h e r the valor or t h e p h y s i q u e to be soldiers, to an imperial calculation that such c o m m u n i t i e s w h e n e q u i p p e d with a r m s m i g h t c r e a t e p r o b l e m s for t h e colonial o r d e r . Persistent in the i m p e r i a l mentality was t h e s i m p l e a s s u m p t i o n t h a t

444

All

A.

Mazrui

martial prowess was ethnically distributed. Some tribes were simply better warriors than others. In the course of World War II, an attempt was m a d e in different parts of Africa by the colonial powers to assess the martial qualities of different communities, partly with a view to d e t e r m i n i n g priorities in recruitment for their armies against Germany, Italy, and J a p a n . In East Africa research was conducted for this p u r p o s e . T h e chief native commissioner of Kenya asked that a census be undertaken to d e t e r m i n e "the soldierly qualities of the m e m b e r s of the various tribes composing the East African Force." T h e issue was referred to a Conference of Governors of the East African colony, and a questionnaire was sent to each c o m m a n d i n g officer in 1941. "Each of the countries in East Africa was to furnish the Native Commissioner with names of tribes, giving provinces, districts. A similar survey, but a hasty one, had been carried out in 1932 in o r d e r that opinions of K. A. R. Officers might be obtained with a view to deciding which tribes were likely to make the best soldiers." H

Tarsis Kabwegyere reminds us of the specific qualities which were looked for. T h e s e included adaptability, reaction to discipline, steadiness u n d e r bombing, stamina and staying power, powers of leadership, intelligence, esprit de corps, cleanliness, capacity for h a r d living, general health, ability to fraternize, fighting qualities, and certain other special qualities and skills. Each ethnic g r o u p was assessed, and a ranking system was devised. But soldierly qualities had to be balanced against o t h e r considerations. Although in the early days of the colonial presence in Uganda the Baganda was still regarded as a martial community, there was an understandable reluctance a m o n g colonial administrators to recruit disproportionately from the Baganda into the a r m e d forces. T h e Baganda were already becoming a m o n g the best organized and most politically conscious of the communities in the country, a n d the imperial power naturally hesitated to militarize the Baganda. T h u s , both those who were excluded from the armies a n d those 14.

C i t e d by T a r s i s B . K a b w e g y e r e , The Politics of State Formation: The Nature and

Effects of Colonialism in Uganda ( N a i r o b i , E a s t A f r i c a n L i t e r a t u r e B u r e a u , 1 9 7 4 ) , p p . 115-117.

445

Ethnic Stratification in U g a n d a

w h o p r o v i d e d the bulk of the a r m y w e r e chosen substantially in t e r m s o f e t h n i c c a t e g o r i e s . T h i s basis o f r e c r u i t m e n t w a s t o h a v e r e p e r c u s s i o n s i n t h e r e l a t i o n s b e t w e e n s o l d i e r s a n d civilians a f t e r independence. T h e different communities and

tribes

themselves h a d stereo-

typed ideas of each o t h e r , sometimes influenced by considerations of which c o m m u n i t y was capable of p r o v i d i n g better soldiers. In Nigeria, a l t h o u g h the a r m e d forces were recruited from both the n o r t h a n d t h e s o u t h , within the a r m e d forces m u t u a l ethnic stereotypes conditioned ranks.

1 5

interaction

between

different sections

and

W i t h t h i s b a c k g r o u n d o f e t h n i c basis f o r t h e r e c r u i t m e n t

o f soldiers into t h e a r m e d forces a n d t h e p e r s i s t e n c e o f e t h n i c ster e o t y p e s , t h e a c t u a l c o m p o s i t i o n o f t h e m i l i t a r y a t t h e t i m e o f ind e p e n d e n c e i n m a n y A f r i c a n c o u n t r i e s c a r r i e d all t h e p o t e n t i a l i t i e s for an ethnic r e s u r g e n c e . S o m e scholars have a r g u e d that colonialism did not simply create n e w p o t e n t i a l n a t i o n s t a t e s ; i t also c r e a t e d t h e t r i b e s t h e m s e l v e s . G r o u p s that n e v e r before considered themselves as a cohesive political c o m m u n i t y w e r e c o n v e r t e d i n t o s u c h a c o m m u n i t y b y c o l o n i a l m e t h o d s o f a d m i n i s t r a t i o n . K a b w e g y e r e cites s o m e e x a m p l e s , including that of the Acholi in

Uganda, who were

later to be

r e g a r d e d as a particularly martial c o m m u n i t y a n d p r o v i d e d a disp r o p o r t i o n a t e n u m b e r of soldiers for t h e U g a n d a a r m y in the days of Apolo Milton O b o t e .

1 6

Administrative c o n v e n i e n c e in the colo-

n i a l p e r i o d h e l p e d b r i n g t o g e t h e r i n t o t h e A c h o l i District c l a n s t h a t previously h a d n e v e r e n g a g e d in collective action n o r b e e n subject t o t h e s a m e collective administrative a u t h o r i t y . T h e Acholi b e g a n t o see t h e m s e l v e s a s a n a m a l g a m a t e d c o m m u n i t y , a l t h o u g h tensions b e t w e e n clans c o n t i n u e d , a n d divisions b e t w e e n East Acholi a n d W e s t A c h o l i h a v e p e r s i s t e d . A b r o a d n e w A c h o l i political c o n sciousness was s u p e r i m p o s e d over t h e n a r r o w e r parochialisms of the subunits of the Acholi. B y t h e time O b o t e was o v e r t h r o w n t h e Acholi c o n s t i t u t e d t h e 15. M . J . D e n t , " T h e Military a n d Politics: A S t u d y o f t h e Relation b e t w e e n t h e A r m y a n d t h e Political P r o c e s s i n Nigeria," i n R o b e r t M e l s o n a n d H o w a r d W o l p e ,

e d s . , Nigeria: Modernization ayid the Polities of Communalism ( E a s t L a n s i n g , M i c h i g a n State University Press, 1971), p. 3 7 3 .

16. K a b w e g y e r e , The Politics of State Formation, p p . 4 3 - 4 5 .

446

AH

A.

Mazrui

largest single g r o u p within the a r m e d forces of U g a n d a , a l t h o u g h t h e y w e r e c l e a r l y o n e o f t h e s m a l l e r g r o u p s i n t h e total p o p u l a t i o n of U g a n d a . B e t w e e n a third a n d a half of the U g a n d a n a r m y consisted

of Acholi.

T h e i r p r e p o n d e r a n c e was

partly d u e to

their

categorization as a tribal unit in the colonial p e r i o d , a n d partly to their p r e s u m e d martial qualities. T h i s s e c o n d p r e s u m p t i o n was related to physical h e i g h t . As an ethnic c o m m u n i t y the Acholi a n d o t h e r n o r t h e r n tribes of U g a n d a h a d p r o d u c e d a d i s p r o p o r t i o n a t e n u m b e r o f tall p e o p l e . S i n c e r e c r u i t m e n t i n t o t h e U g a n d a a r m e d forces g a v e p r e f e r e n c e t o c a n d i d a t e s w h o w e r e 5' 8 " o r o v e r , t h e n o r t h e r n c o m m u n i t i e s , e s p e cially t h e A c h o l i , h a d a n e d g e . B y t h e t i m e A m i n c a p t u r e d p o w e r f r o m O b o t e , h e was all t o o aware

of the

preponderance

of the

Acholi

within

the

armed

f o r c e s . W o u l d t h e y b e loyal t o t h e n e w r e g i m e u n d e r A m i n o r w o u l d t h e y r e t a i n t h e i r e a r l i e r loyalty t o M i l t o n O b o t e ? I n his e a r l y a n n o u n c e m e n t s e x p l a i n i n g why the c o u p h a d t a k e n place, A m i n a s s e r t e d t h a t t h e Acholi, in alliance with O b o t e ' s o w n tribe, t h e L a n g i , h a d p l o t t e d t o d i s a r m all o t h e r s o l d i e r s a n d a s s e r t a c o m plete e t h n i c m o n o p o l y of military p o w e r in U g a n d a . T h u s , tensions against these two c o m m u n i t i e s began in the early days of Amin's a s s u m p t i o n of power. Since t h e n t h o u s a n d s of Acholi a n d Langi h a v e p e r i s h e d a s a r e s u l t o f A m i n ' s political a n d m i l i t a r y i n s e c u r i t y . A l m o s t e v e r y y e a r since he took p o w e r in 1 9 7 1 , issues of ethnicity h a v e b e e n p r o f o u n d l y i n t e r l i n k e d with issues o f d o m e s t i c b a l a n c e of p o w e r . In J u l y 1972, t h e Acholi and the Langi w e r e once again singled o u t by s p o k e s m e n of the A m i n r e g i m e as plotters against his g o v e r n m e n t . I t w a s a s s e r t e d t h a t t h e y w e r e w a i t i n g f o r a n i n vasion of p r o - O b o t e refugees from T a n z a n i a a n d would provide internal s u p p o r t as the refugees from across t h e b o r d e r sought to u n d e r m i n e a n d t h e n o v e r t h r o w the g o v e r n m e n t o f Idi Amin. I n the wake of these r e n e w e d accusations m a n y Acholi a n d Langi in U g a n d a d e c i d e d t o flee t h e c o u n t r y . E t h n i c i t y i n U g a n d a h a d w o r n o n c e a g a i n t h e o m i n o u s face o f m i l i t a r i z e d r e v e n g e a n d b r u t a l i t y . A m o n g t h o s e U g a n d a n s in exile in T a n z a n i a , e t h n i c factors w e r e also a t p l a y . E v e n a s t h e y p l o t t e d t o i n v a d e t h e c o u n t r y a n d o v e r t h r o w Idi Amin's g o v e r n m e n t , the U g a n d a n exiles were sometimes

447

Ethnic Stratification in U g a n d a

t o r n by their o w n ethnic cleavages, with t h e Langi at variance with t h e A c h o l i o v e r t r a d i t i o n a l w a r c e r e m o n i e s i n p r e p a r a t i o n f o r this collective e n t e r p r i s e .

1 7

I s this k i n d o f m i l i t a r i z e d s i t u a t i o n m o r e b e d e v i l e d b y e t h n i c fact o r s t h a n civilian politics? T h e a n s w e r v a r i e s s o m e w h a t f r o m o n e African c o u n t r y to a n o t h e r . But, to the e x t e n t that in most African c o u n t r i e s r e c r u i t m e n t into t h e a r m e d forces has b e e n m o r e ethnically s p e c i a l i z e d t h a n p a r t i c i p a t i o n i n civilian p o l i t i c s , t h e m i l i t a r y s i t u a t i o n c a r r i e s g r a v e r risks o f e t h n i c conflict t h a n d o e s t h e civilian political s y s t e m . C e r t a i n l y i n U g a n d a , politics i n t h e first e i g h t y e a r s of i n d e p e n d e n c e

was

more

ethnically

representative

than

was

access t o m i l i t a r y c a r e e r s . P a r l i a m e n t , t h e c a b i n e t u n d e r O b o t e , a n d i n c r e a s i n g l y t h e civil s e r v i c e p r o v i d e d m o r e o f a c r o s s - s e c t i o n o f t h e different c o m m u n i t i e s o f U g a n d a t h a n t h e a r m e d forces c o u l d e v e r c l a i m . Political m o b i l i t v . i n t h e s e n s e o f d i f f e r e n t r e g i o n s a n d t r i b e s h a v i n g a c c e s s t o effective political p a r t i c i p a t i o n a n d r e p r e s e n t a t i o n a t s o m e level, w a s g r e a t e r w h e n p o l i t i c a l p o w e r d e p e n d e d o n t h e i n t e r p l a y o f civilian p r e s s u r e s t h a n w h e n i t c a m e t o d e p e n d u p o n t h e b a l a n c e o f e t h n i c factions within t h e a r m e d forces. T h o s e w h o b l a m e b o t h tribalism a n d t h e c r e a t i o n of nation states on colonialism may have a point, but w h a t is often o v e r l o o k e d is that tribalism may be an o u t c o m e of t h e creation of the nation state.

B r i n g i n g t o g e t h e r divergent linguistic a n d cultural g r o u p s

w i t h i n t h e b o u n d a r i e s o f a n e w s t a t e h a s g e n e r a t e d n e w levels o f e t h n i c consciousness. Even if the British h a d n o t explicitly b r a c k eted different clans into a new c o m m u n i t y called Acholi, the forces of competition within t h e national system of U g a n d a w o u l d have led to the discovery by t h e Acholi of a s h a r e d c u l t u r e a n d l a n g u a g e . This ethnic

consciousness

was

bound

to

be

sharpened

in

the

s c r a m b l e for a s h a r e o f w h a t i n d e p e n d e n t U g a n d a a s a n e w politi17.

David Martin refers to the irritation of the y o u n g e r e x i l e s o v e r the A c h o l i

war d a n c e a n d s o n g in the preparation for the invasion of U g a n d a . Martin s e e m s to s u g g e s t that it was t h e y o u n g e r , m o d e r n i z e d or w e s t e r n i z e d soldiers in exile w h o w e r e particularly u n h a p p y a b o u t s u c h a c e r e m o n y . I n fact, i n a d d i t i o n t o t h e reservations o f the m o r e m o d e r n i z e d o r westernized o f t h e exiles, there were also reservations o n t h e part o f t h o s e w h o b e l o n g e d t o o t h e r e t h n i c c o m m u n i t i e s . F o r Martin's allusion

to this e p i s o d e c o n s u l t

Faber, 1974), p. 189.

h i s General Amin

(London,

Faber a n d

448

All

A.

Mazrui

cal c o m m u n i t y h a d t o o f f e r t o its c o n s t i t u e n t p a r t s . I n U g a n d a , a s e l s e w h e r e i n A f r i c a , i t was n o t s i m p l y a c a s e o f t h e n e w n a t i o n - s t a t e l a c k i n g a t r a n s e t h n i c i d e n t i t y a n d l e g i t i m a c y o f its o w n . I t was a case of t h e very p r e s e n c e of such a nation-state l e n d i n g legitimacy a n d p u r p o s e to the ethnic sub-units and s t r e n g t h e n i n g parochial loyalties. In s o m e African countries u n d e r military rule t h e e x t e n t of retribalization m i g h t for a while be disguised by t h e a p p e a r a n c e of a firm p o l i t i c a l o r d e r w i t h " i r o n d i s c i p l i n e . " B u t e t h n i c r e s u r g e n c e begins to take place as soon as the iron military grip begins to l o o s e n , o r w h e n civilian r u l e i s r e s t o r e d a f t e r a p e r i o d o f m i l i t a r y control.

F o r e x a m p l e , G h a n a u n d e r Kofi B u s i a w i t n e s s e d a r e -

s u r g e n c e of ethnic particularism following t h e rule by the National L i b e r a t i o n C o u n c i l . A t best, a m i l i t a r y r e g i m e s u c c e e d s i n p u t t i n g e t h n i c c l e a v a g e s i n a society i n " c o l d s t o r a g e . " A t w o r s t , m i l i t a r y rule, partly because of the pattern of recruitment into the a r m e d f o r c e s a n d p a r t l y b e c a u s e o f t h e n a t u r e o f a r m y r u l e itself, s i m p l y d e g e n e r a t e s i n t o e r u p t i o n s o f m i l i t a r i z e d e t h n i c i t y w i t h p e r i o d i c violent confrontations. B u t w h y i s t h e level o f b r u t a l i z a t i o n i n s o m e A f r i c a n societies s o high?

Why does

retribalization

under

military conditions carry

s u c h a h e a v y risk o f v i o l e n c e ? A s a l r e a d y s u g g e s t e d o n e p a r t o f t h e answer is that the different ethnic g r o u p s in an African country s e e k t o c o n t r o l o r a t least t o s h a r e political p o w e r . T h o s e w h o a c t u ally d o p o s s e s s t h e s c a r c e r e s o u r c e o f c e n t r a l p o l i t i c a l p o w e r find t h e m s e l v e s s t r o n g l y t e m p t e d n o t t o s h a r e i t e x c e p t o n t h e basis o f special alliances. Favoritism, e t h n i c n e p o t i s m , a n d e t h n i c c o m p e t i tiveness play their roles in creating inequalities a n d disequilibrium i n t h e d i s t r i b u t i o n o f political g o a l s . B u t t h e o l d w a r r i o r t r a d i t i o n also i n t r u d e s , c o n d i t i o n i n g attit u d e s , especially in situations w h e r e soldiers a t t e m p t to m o n o p o l i z e t h e c e n t r a l institutions of p o w e r . In m a n y African societies the old w a r r i o r t r a d i t i o n was b a s e d n o t s i m p l y o n t h e a m b i t i o n t o m a i n t a i n c o l l e c t i v e s e c u r i t y b u t also o n t h e a m b i t i o n t o f o s t e r c o l l e c t i v e p r o s p e r i t y . T h e w a r r i o r w a s n o t s i m p l y a p e r s o n w h o w a i t e d u n t i l his c a t t l e o r his w o m e n w e r e a t t a c k e d b e f o r e u s i n g his m i l i t a r y skills for defensive p u r p o s e s . O n the c o n t r a r y , t h e w a r r i o r c o n s i d e r e d

•

449

Ethnic Stratification in U g a n d a

e c o n o m i c c o m p e t i t i o n not primarily as rivalry b e t w e e n individuals o r s u b g r o u p s w i t h i n t h e s a m e society, a s i t i s c o n s i d e r e d t o b e i n w e s t e r n c a p i t a l i s t c o u n t r i e s , b u t m o r e a s a c o n t i n u i n g d i a l e c t i c o f riv a l r y w i t h a l i e n o r s e m i - a l i e n societies n e a r b y . If rustic soldiers are in p o w e r today, soldiers w h o retain some of the warrior tradition, the gap between the national center and the rural periphery may be n a r r o w e d , and once again Amin's U g a n d a may be merely an example of a more widespread p h e n o m e n o n .

1 8

CONCLUSIONS S o m e t h i n g like a m i l i t a r y - a g r a r i a n c o m p l e x s e e m s t o b e i n t h e m a k i n g in U g a n d a . But the process drips in blood partly because of t h e very n a t u r e of U g a n d a ' s history.

Ethnic competitiveness,

g o i n g back to the days w h e n B u g a n d a was the powerful province w h i l e W e s t N i l e w a s a m o n g t h e p o o r e s t o f t h e a r e a s , h a s left a d e e p m a r k o n t h e b e h a v i o r o f t h e polity. S o m e o f t h e s p o n t a n e i t y o f U g a n d a p e a s a n t r y h a s a v i o l e n t t h e m e w i t h i n it. J u s t a s v i l l a g e r s m i g h t s p o n t a n e o u s l y rise, c h a s e a thief, a n d b e a t h i m t o d e a t h i n r e s p o n s e t o a h u e a n d cry, s o t h e w a r r i o r s i n m o d e r n b a r r a c k s m a y sometimes brutalize their compatriots in a fit of either insecurity or a r r o g a n c e . T h e m i l i t a r y - a g r a r i a n c o m p l e x h a s its c o s t s i n a c o u n t r y of m a n y tribal g r o u p i n g s , especially if t h e military is d i s p r o p o r t i o n a t e l y e n l i s t e d f r o m o n l y a few o f t h o s e g r o u p i n g s . T h e t h e m e o f e t h n i c rivalry continues t o bedevil U g a n d a u n d e r A m i n . I f E g y p t i s t h e m o s t c u l t u r a l l y h o m o g e n e o u s o f all t h e c o u n t r i e s o f t h e N i l e V a l l e y , U g a n d a m a y well b e t h e least c u l t u r a l l y h o m o g e n e o u s a l o n g t h a t valley. I t r e m a i n s t o b e s e e n w h e t h e r r u s tic w a r r i o r s i n c o n t r o l o f a m o d e r n s t a t e will h a v e g r e a t e r s u c c e s s i n t r a n s f o r m i n g the f o r t u n e s of the c o u n t r y s i d e t h a n o t h e r coalitions o f social f o r c e s h a v e h a d b e f o r e .

If A m i n has now planted the

seeds of a new p a r t n e r s h i p between the soldiers a n d the masses, U g a n d a i s n o t y e t r e a d y t o c e l e b r a t e t h e h a r v e s t . Politics, like n a t u r e , t a k e s its t i m e . 18.

A particularly perceptive p a p e r on the long-term c o n s e q u e n c e s of ethnically

selective recruitment into the a r m e d forces is Hilary B. N g ' w e n o , "Tribes, A r m i e s a n d Political Instability i n Africa," u n p u b l i s h e d m a n u s c r i p t . C e n t e r f o r I n t e r n a tional Affairs, Harvard University, March 1969.

T H E OLD EMPIRES

14 R I C H A R D PIPES

Reflections on the Nationality Problems in the Soviet Union

Twenty-five years ago, w h e n as a g r a d u a t e s t u d e n t looking for a d i s s e r t a t i o n subject, I first i n t e r e s t e d myself in the Soviet nationality p r o b l e m , t h e f i e l d o f s t u d y was v i r t u a l l y u n i n h a b i t e d . I n d e e d , i t was c o n s i d e r e d u n i n h a b i t a b l e .

My Russian

friends t h o u g h t that

whatever national antagonisms there were in their country had b e e n stimulated by hostile powers interested in d i s m e m b e r i n g Russia. A m e r i c a n s p e c i a l i s t s , e v e n s o m e o f t h e m o s t k n o w l e d g e a b l e o n e s , r e g a r d e d n a t i o n a l i s m i n t h e Soviet U n i o n a s a relic o f t h e past,

doomed

to

dissolve—as

would

ethnic

differences

in

the

U n i t e d States—in t h e acid bath of " m o d e r n i z a t i o n . " B o t h t e n d e d to regard nationalism as a retrograde p h e n o m e n o n and therefore, by a m e n t a l shortcircuit to which intellectuals a r e p r o n e w h e n e v e r reality i m p i n g e s o n t h e i r i d e a l s , t o t r e a t its i n v e s t i g a t i o n a s r e a c t i o n ary too. Now, in the 1970s, the situation looks quite different. N o t that we have seen m u c h overt stirring of nationalism in the USSR. Basically, t h e n a t i o n a l m i n o r i t i e s o f t h e S o v i e t U n i o n a r e a s f i r m l y in h a n d as they w e r e in t h e 1940s, a n d they a r e k e p t in this c o n d i tion by t h e s a m e m e a n s as in Stalin's dav. W h a t has c h a n g e d is t h e climate in the West. T h e easy a s s u m p t i o n s a b o u t the inevitable disa p p e a r a n c e of nationalism have faded away as in c o u n t r y after country ethnic differences, thought to have been neutralized long a g o , b e g a n to raise t h e i r ugly h e a d s . In a world w h e r e o n e c a n seriously c o n t e m p l a t e i n d e p e n d e n c e for Q u e b e c , w h e r e t h e Ulster C a t h o l i c s a n d P r o t e s t a n t s a r e w a g i n g civil w a r a g a i n s t o n e a n o t h e r ,

454

Richard

Pipes

w h e r e 1 0 0 , 0 0 0 Ibos have been massacred for the crime of being b o r n I b o s , i t i s difficult t o m a i n t a i n t h a t i n t h e S o v i e t U n i o n , w h e r e m o r e t h a n o n e half t h e p o p u l a t i o n consists o f minorities, ethnic d i f f e r e n c e s can be r e d u c e d to culinary or sartorial trivia. In the p a s t f i f t e e n y e a r s a v e r i t a b l e flood o f " m i n o r i t o l o g i c a l " s t u d i e s h a s s a t u r a t e d t h e m a r k e t , t o t h e p o i n t w h e r e i t i s difficult t o k e e p t r a c k o f t h e titles o f b o o k s o n t h e s u b j e c t o f S o v i e t n a t i o n a l i t i e s , let a l o n e of their contents. T h i s c h a p t e r i s t o d e a l with e t h n i c d i f f e r e n c e s a n d conflicts i n t h e c o n t e m p o r a r y Soviet U n i o n a n d n o t with t h e p r o b l e m o f ethnicity i n g e n e r a l ; b u t b e f o r e p r o c e e d i n g f u r t h e r , I c a n n o t resist m a k i n g s o m e m o r e g e n e r a l observations insofar as these s h e d light on t h e a s s u m p t i o n s with which I a p p r o a c h Russia. I n p r i m i t i v e a n d i s o l a t e d societies e t h n i c s e l f - c o n s c i o u s n e s s d o e s n o t e m e r g e b e c a u s e t h e r e exists (in t h e o r y , a t a n y r a t e ) full h o m o g e neity of race, language, a n d culture. A c o m m u n i t y which enters into no contact w h a t e v e r with o t h e r races, l a n g u a g e s , a n d cultures t h i n k s o f itself a s r e p r e s e n t i n g t h e h u m a n s p e c i e s r a t h e r t h a n a n y o f its b r a n c h e s . T h i s fact i s r e f l e c t e d i n t h e e t h n i c n a m e s w h i c h p r i m i t i v e p e o p l e s like t o give t h e m s e l v e s w h e n a s k e d w h o t h e y a r e : " m e n . " O n f i r s t c o n t a c t w i t h p e o p l e o f a n o t h e r b r e e d , t h e initial r e action is to treat t h e m as ancestors. As O. M a n n o n i has shown in his

Prospero

and

Caliban:

The

Psychology

of

Colonization,

the

natives

of

M a d a g a s c a r immediately became d e p e n d e n t on their colonial conq u e r o r s , r e g a r d i n g them, because they were i m m u n e to magic, as a n c e s t o r s c o m e t o s a v e a n d p r o t e c t t h e m . T h e c a r g o c u l t s o f t h e Pacific i l l u s t r a t e t h e s a m e p o i n t . I t i s o n l y a f t e r p r o t r a c t e d c o n t a c t a n d a s a r e s u l t o f friction w h i c h i n e v i t a b l y d e v e l o p s w h e n t w o c u l t u r e s establish a p e r m a n e n t relationship that e t h n i c a w a r e n e s s arises. T h e s e a n t h r o p o l o g i c a l observations are not i n t e n d e d as revelations. T h e y are m e a n t to stress s o m e t h i n g that is t a k e n for g r a n t e d w h e n d e a l i n g w i t h p r i m i t i v e societies b u t t h a t i s u s u a l l y left o u t i n t h e m o d e r n c o n t e x t , n a m e l y t h a t c o m m u n i c a t i o n b e t w e e n civilizat i o n s increases t h e i r s e l f - a w a r e n e s s , t h a t it m a k e s t h e i r m e m b e r s m o r e , n o t less, c o n s c i o u s o f r e p r e s e n t i n g a p a r t i c u l a r b r a n c h o f h u m a n i t y r a t h e r t h a n h u m a n i t y itself; a n d , f u r t h e r , t h a t i n a n a g e o f ideologies such c o m m u n i c a t i o n creates an e n v i r o n m e n t favorable

Nationality P r o b l e m s in the Soviet U n i o n

455

to the spread of nationalism. In investigating nationalist movem e n t s , i t i s t h e r e f o r e a l w a y s e s s e n t i a l t o f o c u s a t t e n t i o n o n t h e intensity of contact b e t w e e n peoples of various races, l a n g u a g e s , a n d cultures, a n d on t h e n a t u r e of these contacts, paying p a r t i c u l a r attention to various forms of competition which may result from t h e m . O n c e t h i s i s d o n e , i t b e c o m e s a p p a r e n t w h y m o d e r n life aggravates national animosities r a t h e r than, as n i n e t e e n t h - c e n t u r y l i b e r a l s a n d socialists l i k e d t o b e l i e v e , c o m m i t s t h e m t o o b l i v i o n . T h e first t h i n g t h a t m u s t b e s a i d a b o u t t h e n a t i o n a l i t y p r o b l e m i n t h e S o v i e t U n i o n i s t h a t i t b e a r s v e r y little r e s e m b l a n c e t o t h e A m e r i c a n or I n d i a n nationality problems a n d a great deal to those e x p e r i e n c e d b y t h e classic e m p i r e s o f t h e W e s t , m o s t o f w h i c h h a d d i s s o l v e d a f t e r W o r l d W a r I I . T h e S o v i e t U n i o n i s n o t a c o u n t r y (as i s t h e U n i t e d S t a t e s ) w h i c h h a s b e e n significantly c o l o n i z e d b y f o r e i g n e r s or whose ethnic composition has b e c o m e diversified as a r e s u l t o f i m m i g r a t i o n ; n o r i s i t a s t a t e (like I n d i a ) v o l u n t a r i l y p u t together by different ethnic groups and regions. It is the p r o d u c t of conquest carried out by one dominant nationality—the Great R u s s i a n — i n t h e c o u r s e o f a n e x p a n s i o n f r o m its o r i g i n a l h o m e land, the V o l g a - O k a mesopotamia, that began in the fourteenth c e n t u r y , a n d has n e v e r really s t o p p e d . T h e p r i m a r y i m p e t u s t o this e x p a n s i o n has b e e n t h e insatiable n e e d for fresh l a n d a n d o t h e r r e sources to s u p p o r t a "population which k e p t on e x h a u s t i n g t h e m so fast t h a t i t h a s h a d n o c h o i c e b u t t o p u l l u p its s t a k e s a n d m o v e . V. O. Kliuchevsky, the greatest of Russian historians, p u t the m a t t e r s u c c i n c t l y in t h e s e c o n d c h a p t e r o f his

Course

w h e n he said that

R u s s i a n h i s t o r y i s t h e h i s t o r y o f a c o u n t r y t h a t " c o l o n i z e s itself." O f c o u r s e , "itself" i s n o t q u i t e c o r r e c t b e c a u s e f r o m t h e b e g i n n i n g t h e Russians, whose earliest identifiable h o m e h a d b e e n in C e n t r a l E u r o p e , invaded a n d settled land p o p u l a t e d by o t h e r s : first t h e F i n n s o f the taiga, n e x t t h e T u r k s o f b o t h t h e forest z o n e a n d steppe, a n d t h e n scores of o t h e r peoples. T h i s process of migration a l w a y s b r o u g h t t h e R u s s i a n s i n c o n t a c t a n d o f t e n i n conflict w i t h peoples of entirely different ethnic backgrounds: so m u c h so that the processes of nation building and e m p i r e building are, in the case o f Russia, hopelessly i n t e r t w i n e d . I n t h e e i g h t e e n t h a n d n i n e -

Richard

456

Pipes

t e e n t h c e n t u r i e s t h e c o u r s e o f i m p e r i a l c o n q u e s t was m o r e consciously p u r s u e d ; b u t even t h e n , t h e rapidity with which Russian p e a s a n t s a n d o t h e r colonists p o u r e d o v e r l a n d into areas gained by f o r c e o f a r m s t e n d e d t o b l u r t h e lines w h i c h i n t h e c a s e o f W e s t e r n overseas e m p i r e s so neatly separated colony from metropolis. T h e chronological a n d g e o g r a p h i c inseparability in Russia of the processes leading to the building of the nation-state and the e m p i r e h a s h a d t h e effect of m a k i n g Russians r e m a r k a b l y insensitive to e t h n i c p r o b l e m s . Before the Revolution, even liberal a n d d e m o c r a t i c p o l i t i c a l g r o u p s , n o r m a l l y s o a l e r t t o all f o r m s o f o p p r e s s i o n , were inclined to ignore ethnic problems, a n d to react to d e m a n d s of t h e nationalities for a g r e a t e r role in self-government as "react i o n a r y . " T h e c o n s e n s u s o f political p a r t i e s o f t h e c e n t e r a n d t o t h e left o f i t w a s t h a t t h e e l i m i n a t i o n o f a u t o c r a c y a n d i n t r o d u c t i o n o f d e m o c r a t i c i n s t i t u t i o n s w o u l d o f t h e m s e l v e s s o l v e all t h a t a i l e d t h e country,

national

frustrations included. This attitude

no longer

prevails, if only because t h e formal s t r u c t u r e of t h e Soviet U n i o n — its p s e u d o - f e d e r a l s t a t e s y s t e m — m a r k s a c o n s t i t u t i o n a l r e c o g n i t i o n o f n a t i o n a l d i f f e r e n c e s a s g e n u i n e . Still, w h e n p r e s s e d , G r e a t R u s sians t e n d to s n e e r at the national minorities a n d n o t to take their c o m p l a i n t s seriously. It is probably t r u e that today a large p a r t of t h e G r e a t Russian p o p u l a t i o n believes t h e minorities to be b e t t e r off t h a n t h e m s e l v e s b e c a u s e t h e y enjoy t h e benefits of Russian investments,

Russian

technology,

and

Russian

military

protection

without giving m u c h in r e t u r n . Russian leaders, past a n d present, have followed w h a t may be called t h e F r e n c h m o d e l of colonial rule. In contrast to t h e British, the F r e n c h have traditionally striven to e x t e n d to their colonial p e o p l e s full r i g h t s o f n a t i v e F r e n c h m e n a s a m e a n s o f a s s u r i n g their ultimate assimilation.

Muscovite a n d

I m p e r i a l Russia h a v e

p u r s u e d a like policy b y o p e n i n g t h e r a n k s o f t h e p r i v i l e g e d e l i t e — the

dvorianstvo—to

the

land-owning

the conquered minorities.

1

and

educated

groups

among

T h e Soviet r e g i m e h a s followed suit i n

1. T s a r i s t p o l i c y w a s m o s t s u c c e s s f u l i n r e g a r d t o t h o s e n a t i o n s w h o s e n o b i l i t y h a d n o t e n j o y e d t h e s a m e p r i v i l e g e s a s its R u s s i a n c o u n t e r p a r t . I t w a s a f a i l u r e w h e n a p p l i e d t o the e x t r e m e l y privileged nobilities o f the w e s t e r n provinces o f the empire, such as those of Poland.

Nationality Problems in t h e Soviet U n i o n

457

this a s i n s o m a n y o t h e r r e s p e c t s b y a l l o w i n g t h e m i n o r i t y e l i t e s i n t h e Soviet U n i o n a n d c o u n t r i e s o f E a s t e r n E u r o p e access t o t h e C o m m u n i s t p a r t y a p p a r a t u s a n d all t h e b e n e f i t s a n d p r i v i l e g e s t h a t m e m b e r s h i p in t h e s e bodies entails. H o w e v e r , this time-tested policy w h i c h e n a b l e d t s a r i s t R u s s i a t o s i p h o n o f f i n t o s a f e c h a n n e l s o f personal self-seeking m u c h of the potential nationalist resistance n o l o n g e r w o r k s q u i t e a s well t o d a y . T h e t r o u b l e i s t h a t w h e r e a s i n Eastern E u r o p e before the twentieth century primary allegiance f o c u s e d o n o n e ' s social e s t a t e , i n t h e p r e s e n t c e n t u r y , b e c a u s e o f the b r e a k d o w n of the estate structure a n d s p r e a d of egalitarianism, the individual's p r i m a r y allegiance has shifted toward t h e nation. T h e T a t a r o r G e o r g i a n prince w h o i n I m p e r i a l Russia m i g h t have felt c l o s e r affinity f o r his R u s s i a n e q u i v a l e n t t h a n f o r t h e p e a s a n t o r t r a d e s m a n o f his o w n n a t i o n a l i t y n o l o n g e r e x i s t s . H i s " d e m o cratized" descendant, a party apparatchik functioning in Kazan or Tiflis, h a s b e c o m e a k i n d o f w a r d h e e l e r w h o h a s n o c h o i c e b u t t o identify with the T a t a r a n d G e o r g i a n n a t i o n . W h e r e a s t h e status and prestige of a noble d e p e n d e d in part on heredity a n d wealth a n d i n p a r t o n f a v o r o f t h e c r o w n , t h a t o f a C o m m u n i s t official d e p e n d s partly o n favor o f t h e p a r t y h i e r a r c h y a n d p a r t l y o n his ability t o a d m i n i s t e r t h e p o p u l a t i o n o v e r w h i c h t h a t p a r t y p l a c e s him. We have h e r e a clear example how bureaucratization a n d the social l e v e l i n g t h a t a c c o m p a n i e s i t i n t e n s i f y t h e n a t i o n a l loyalties o f t h e elite. It is c u s t o m a r y to think of t h e Soviet U n i o n as a living e t h n i c m u s e u m inhabited by h u n d r e d s of quaint ethnic g r o u p s . N o w while it i s t r u e t h a t t h e r e a r e i n t h e U S S R well o v e r o n e h u n d r e d officially r e c o g n i z e d e t h n i c g r o u p s ( t h e 1 9 7 0 c e n s u s i d e n t i f i e s b y n a m e 103) a high p r o p o r t i o n of t h e m a r e so small as to be of interest only to t h e a n t h r o p o l o g i s t o r e t h n o g r a p h e r . F o r t h e s t u d e n t o f t h e political a n d sociological sides of t h e n a t i o n a l p r o b l e m , t h e r e exist only a d o z e n o r s o s i g n i f i c a n t n a t i o n a l m i n o r i t i e s , g r o u p e d i n t o t h e following categories: 1. T h e

Ukrainians

and

Belorussians,

who

are

racially

and

l i n g u i s t i c a l l y close t o t h e G r e a t R u s s i a n s , a n d s h a r e w i t h t h e m t h e same religion. If nevertheless they are r e g a r d e d as distinct nationalities, it is b e c a u s e f o r a p e r i o d of five c e n t u r i e s (c. 1 3 0 0 to c. 1800)

458

Richard

Pipes

t h e y lived u n d e r L i t h u a n i a n a n d P o l i s h r u l e , d u r i n g w h i c h t i m e they came u n d e r strong Western influence c h a n n e l e d t h r o u g h Pol a n d a n d its C a t h o l i c c h u r c h . 2 . T h e M u s l i m s , m o s t o f t h e m T u r k i s b y r a c e a n d n e a r l y all o f the Sunni persuasion. These had come u n d e r Russian rule over a long p e r i o d which began with the c o n q u e s t of Kazan in 1552 a n d e n d e d in t h e 1880s with the c o n q u e s t of T u r k m e n i a . In the 1920s, the Soviet g o v e r n m e n t , frightened by the spectre of a Pan-Islamic a n d P a n - T u r a n i a n m o v e m e n t , split t h e s e M u s l i m s u n d e r its r u l e into n u m e r o u s nationalities with their o w n " r e p u b l i c s " a n d "autonomous regions." 3. T h e two

major Caucasian

groups,

the

Georgians and

Ar-

m e n i a n s , b o t h o f M i d d l e E a s t e r n stock b u t O r t h o d o x C h r i s t i a n b y religion. T h e y c a m e u n d e r Russian rule a r o u n d 1800. 4. T h e Jews w h o constitute

a

problem

sui

generis

because

they

lack a specific t e r r i t o r y a n d a d m i n i s t r a t i v e o r g a n s o f t h e i r o w n . T h e y also a r e n o t given t h e e d u c a t i o n a l o r o t h e r c u l t u r a l outlets allowed even the smallest a n d culturally most b a c k w a r d e t h n i c minorities, a l t h o u g h numerically they constitute t h e twelfth largest ethnic g r o u p in the country. J e w s are identified as an ethnic g r o u p (in t h e i r i n t e r n a l p a s s p o r t s ) l a r g e l y f o r t h e p u r p o s e o f d i s c r i m i n a tion: they a r e k e p t o u t of sensitive j o b s a n d a r e subjected to restrictive q u o t a s in institutions of h i g h e r l e a r n i n g . 5 . T h e t h r e e Baltic n a t i o n a l i t i e s , i n d e p e n d e n t b e t w e e n 1 9 1 8 a n d 1939, a n d i n c o r p o r a t e d into t h e Soviet U n i o n as a result of t h e Nazi-Soviet Pact. 6. West E u r o p e a n groups, descendants of one-time immigrants a n d c o l o n i s t s , o f w h o m t h e 1.6 m i l l i o n G e r m a n s a r e t h e m o s t n u merous. F r o m t h e point of the Soviet r e g i m e , which is d o m i n a t e d by Great Russians, it is troubling that in recent d e c a d e s the d e m o g r a p h i c t r e n d has b e g u n unmistakably to favor t h e minorities. T h e Great Russians no longer enjoy the highest birth rate in E u r o p e , as they did prior to the Revolution. T h e traumatic experiences of the 1930s a n d

1940s, c o m b i n e d with a steady m o v e m e n t of Russian

peasants from the impoverished countryside into the somewhat b e t t e r s t o c k e d cities, h a s c a u s e d this b i r t h r a t e t o d r o p p r e c i p i t o u s l y .

Nationality P r o b l e m s in the Soviet U n i o n

In this respect, t h e results of the

459

1970 census m u s t cause Soviet

leaders d e e p concern; indeed, they may e n g e n d e r a m o n g t h e m a s e n s e o f racial a n x i e t y n o t u n l i k e t h a t which seized G e r m a n A u s trians in the late n i n e t e e n t h c e n t u r y a n d G e r m a n s p r o p e r after W o r l d W a r I a n d w h i c h p l a y e d a m a j o r r o l e i n t h e rise o f N a t i o n a l S o c i a l i s m w i t h its r a c i s t h y s t e r i a . I n t h e b r i e f i n t e r v a l w h i c h e l a p s e d b e t w e e n t h e last t w o c e n s u s e s ( 1 9 5 9 - 1 9 7 0 ) , t h e R u s s i a n p o p u l a t i o n o f t h e U S S R h a d i n c r e a s e d b y 14.9 m i l l i o n o r 1 3 p e r c e n t , w h e r e a s t h e r e s t o f t h e p o p u l a t i o n h a d g r o w n b y 18.0 m i l l i o n o r 1 8 p e r c e n t . T h e "oriental" c o m p o n e n t of the non-Russian population particularly has d e m o n s t r a t e d a spectacular rate of g r o w t h , t h e n u m b e r of Kazakhs increasing by 46 percent, of Uzbeks by 52 percent, a n d of Tajiks by 53 percent. T h i s m o r e rapid reproduction rate of the non-Russians has whittled d o w n in eleven years the p r o p o r t i o n of R u s s i a n s in t h e total p o p u l a t i o n of t h e U S S R f r o m 54.5 to 53.5 p e r c e n t . H o w e m b a r r a s s i n g this d e v e l o p m e n t i s t o t h e r e g i m e c a n b e d e d u c e d f r o m t h e fact t h a t , i n c o n t r a s t t o t h e c a s e w i t h p r e v i o u s censuses, the c o m p i l e r s of t h e 1970 census have not been allowed to p r o v i d e t h e p e r c e n t a g e figure of Russians in t h e total p o p u l a t i o n , a l t h o u g h , o f c o u r s e , t h e y p r o v i d e all t h e d a t a w h i c h e n a b l e 2

t h e r e a d e r to calculate this himself. T h i s is very m u c h in line with t h e persistent belief of t h e Soviet b u r e a u c r a c y that as long as o n e d o e s n o t t a l k o f t h i n g s t h e y will d i s a p p e a r . A r e t h e n a t i o n a l m i n o r i t i e s b e i n g a s s i m i l a t e d ? I s i t likely t h a t e v e n as their n u m b e r s increase relative to t h e d o m i n a n t G r e a t Russ i a n n a t i o n a l i t y t h e y will s u c c u m b t o G r e a t R u s s i a n c u l t u r e a n d lose t h e i r e t h n i c identity? S u c h certainly is the h o p e of t h e Soviet a u thorities w h o for m a n y years have b e e n a d v a n c i n g a t h e o r y of g r a d u a l sblizhenie

(rapprochement)

of the

various

nationalities

in-

habiting the country, ultimately leading to the creation of a comm o n " S o v i e t " n a t i o n . T h e e v i d e n c e , s u c h a s i t is, d o e s n o t p o i n t i n this direction. A g o o d way to test t h e resilience of t h e e t h n i c minorities to t h e assimilatory process, so strongly encouraged by the regime, is to 2.

T s e n t r a l ' n o e S t a t i s i i c h e s k o e U p r a v l e n i e pri S o v e t e M i n i s t r o v S S S R , Itpgi Vse-

soiuznoi Perepisi Naseleniia 1970 goda ( M o s c o w , 1 9 7 3 ) , I V , 9.

460

Richard

Pipes

look at the figures p r o v i d e d by the censuses b e a r i n g on linguistic loyalties. In 1926 Russians constituted 54.0 p e r c e n t of the population of the USSR by nationality but 58.5 p e r c e n t by l a n g u a g e . In o t h e r w o r d s , at that time 4.5 p e r c e n t of t h e c o u n t r y ' s p o p u l a t i o n w a s l i n g u i s t i c a l l y — a n d p r o b a b l y also i n o t h e r r e s p e c t s — R u s s i f i e d . I n 1959 t h e c o r r e s p o n d i n g figures w e r e 54.5 p e r c e n t a n d 5 9 . 3 p e r c e n t , g i v i n g 4 . 8 p e r c e n t for t h o s e l i n g u i s t i c a l l y a s s i m i l a t e d . T h i s r e p r e s e n t e d a n e t g a i n o f 0.3 p e r c e n t o r a b o u t 6 0 0 , 0 0 0 c i t i z e n s . I t i s n o t a n i m p r e s s i v e f i g u r e , especially i f o n e b e a r s i n m i n d t w o facts: t h a t t h e 1 9 3 0 s a n d 1940s w e r e a p e r i o d o f i n t e n s e Russificat i o n c a r r i e d o u t t h r o u g h t h e Soviet s c h o o l s y s t e m , a n d t h a t d u r i n g W o r l d W a r I I t h e G e r m a n s h a d m a s s a c r e d o n S o v i e t t e r r i t o r y virtually t h e w h o l e Yiddish-speaking p o p u l a t i o n , w h i c h , h a d it survived, w o u l d have weighed the balance in favor of n o n - R u s s i a n s p e a k i n g g r o u p s . If we n o w look at the 1970 c e n s u s we find t h a t t h e p r o p o r t i o n o f S o v i e t citizens w h o r e g a r d R u s s i a n a s t h e i r " m o t h e r t o n g u e " has actually d e c r e a s e d . I n 1970, o u t o f 241.7 million i n h a b i t a n t s of t h e USSR, 141.8 million or 58.7 p e r c e n t declared Russian to be their m o t h e r t o n g u e — 0 . 6 p e r c e n t fewer t h a n in 1 9 5 9 . Certainly, a major factor in this decline h a s b e e n the m o r e r a p i d g r o w t h o f t h e n o n - R u s s i a n e t h n i c g r o u p s : t h e 0.6 p e r cent d r o p in native Russian-speakers has to be m a t c h e d against an 1.0 p e r c e n t d r o p i n e t h n i c R u s s i a n s . B u t n o m a t t e r w h a t t h e r e a s o n , i t i s a fact a n d o n e w h i c h a r g u e s a g a i n s t t h e t h e s i s o f l i n g u i s t i c a s s i m i l a t i o n . A s o n e r u n s o n e ' s e y e s d o w n t h e statistical t a b l e s listing the principal nationalities a n d their linguistic p r e f e r e n c e s , o n e notes t h a t a m o n g t h e major g r o u p s , especially t h o s e with their o w n republics (and therefore a certain d e g r e e of control over the e d u cational system), some 96 to 98 p e r c e n t of the p o p u l a t i o n r e m a i n loyal t o t h e i r n a t i v e l a n g u a g e s . T h e p r o c e s s o f l i n g u i s t i c a s s i m i l a tion is m o s t p r o n o u n c e d a m o n g the smaller e t h n i c g r o u p s . B u t even 3

4

3. In the Soviet U n i o n , one's national attribution, as stated in t h e internal passport, i s fixed. T h e c e n s u s takers ask. i n a d d i t i o n , w h i c h l a n g u a g e o n e c o n s i d e r s the " m o t h e r t o n g u e " a n d , in the case of citizens w h o s p e a k m o r e than o n e lang u a g e , w h i c h is their s e c o n d best. 4. Ibid., table 4, pp. 2 0 - 2 2 . T h e computation is m i n e b e c a u s e this, too, the editors h a v e failed to provide.

Nationality Problems in the Soviet U n i o n

461

a m o n g t h e m , it n e e d not be taken for g r a n t e d that a b a n d o n m e n t of the native l a n g u a g e necessarily a n d automatically leads to t h e a d o p t i o n o f R u s s i a n . W h i l e this i s i n d e e d t h e c a s e w i t h n a t i o n a l i t i e s of E u r o p e a n origin, the others usually assimilate to that major ethn i c g r o u p w i t h w h i c h t h e y h a v e t h e c l o s e s t e t h n i c a n d c u l t u r a l affinity: t h u s t h e 3 4 p e r c e n t B a s h k i r s w h o n o l o n g e r r e g a r d B a s h k i r their m o t h e r t o n g u e almost certainly have a d o p t e d the T a t a r language. T h e 1 9 7 0 c e n s u s m a k e s a g r e a t d e a l o f t h e fact t h a t f o r m o s t o f t h e n o n - R u s s i a n nationalities, Russian is far a n d away t h e l e a d i n g second language. T h e emphasis is i n t e n d e d to suggest that a subtle shift o f l i n g u i s t i c h a b i t s i s t a k i n g p l a c e , a n d t h a t i n t i m e w h a t i s n o w t h e s e c o n d l a n g u a g e will b e c o m e t h e first. N o t h i n g i n t h e e x p e r i e n c e o f o t h e r i m p e r i a l s y s t e m s s u g g e s t s t h a t t h i s i s likely t o h a p p e n . R u s s i a n is c e r t a i n l y b e c o m i n g t h e

lingua franca

of a vast r e g i o n ex-

t e n d i n g f r o m t h e B a l t i c t o t h e Pacific, a n d i t i s likely t o r e t a i n t h i s s t a t u s e v e n i f t h e S o v i e t U n i o n follows t h e p a t h o f o t h e r W e s t e r n e m p i r e s a n d d i s s o l v e s . B u t s u r e l y t h e fact t h a t E n g l i s h h a s b e e n f o r a l o n g time the c o m m o n l a n g u a g e of I n d i a n intellectuals, a n d since i n d e p e n d e n c e h a s b e c o m e t h e official l a n g u a g e o f I n d i a ' s P a r l i a ment, did not a n d does not indicate a progressive

sblizhenie

of the

English a n d the Indians. T h e same holds true of French-speakers in n o r t h w e s t Africa, or of E n g l i s h - s p e a k e r s in I r e l a n d . Additional evidence attesting to the bonds could be d r a w n from the

samizdat

survival of s t r o n g ethnic l i t e r a t u r e p u b l i s h e d in t h e

b o r d e r l a n d s . T h e U k r a i n i a n s have b e e n especially active i n d e m a n d i n g by means of u n d e r g r o u n d themselves

and

the

other

ethnic

publications

groups

full

inhabiting

rights the

for

Soviet

U n i o n . In r e s p o n s e , Soviet security o r g a n s h a v e c a r r i e d out in the past d e c a d e massive a r r e s t s a n d d e p o r t a t i o n s o f U k r a i n i a n intellectuals. Because of the g r e a t e r interest of W e s t e r n m e d i a in Russian a n d J e w i s h d i s s i d e n t s , t h e facts b e a r i n g o n t h e s e r e p r e s s i o n s h a v e not been adequately r e p o r t e d . It is probably t r u e (though there is n o w a y o f d e m o n s t r a t i n g t h e fact) t h a t i n p r o p o r t i o n t o t h e p o p u l a tion m o r e dissidents have been arrested in t h e U k r a i n e than in the Russian Republic. Even in the literature published in the USSR with the censor's i m p r i m a t u r an e x p e r i e n c e d eye can often detect

-162

Richard

Pipes

nationalist sentiments expressed in a circuitous or "aesopian" m a n ner. If o n e were to seek a single cause of the persistence of national self-awareness a n d nationalist s e n t i m e n t a m o n g t h e Soviet m i n o r i ties, o n e w o u l d h a v e t o s i n g l e o u t a d e m o g r a p h i c f a c t o r , n a m e l y the steady e n c r o a c h m e n t of Russians on non-Russian territories. T h e o u t w a r d m o v e m e n t from t h e c e n t e r o f t h e forest, t o which allusion has been m a d e above, m a r k s o n e of the continuities of Russian a n d Soviet history which n e i t h e r c h a n g e s in a d m i n i s t r a t i o n n o r t h e g o v e r n m e n t ' s official policies t o w a r d t h e m i n o r i t i e s h a v e b e e n able significantly t o alter. T r a d i t i o n a l l y , t h e m o v e m e n t o f t h e Russian population has p r o c e e d e d in a s o u t h e r n a n d s o u t h e a s t e r n direction, f r o m t h e forest to t h e black e a r t h belt. In m o r e r e c e n t y e a r s , R u s s i a n s h a v e also b e g u n t o m o v e w e s t a n d s o u t h w e s t . T h i s shift i s p r o b a b l y d u e t o t h e o p p o r t u n i t i e s o p e n e d u p b y c o n q u e s t after 1939 of the relatively richer territories of w h a t h a d o n c e b e e n e a s t e r n P o l a n d a n d t h e t h r e e i n d e p e n d e n t Baltic r e p u b l i c s a s well as t h e g r o w t h of military industries a n d t r o o p c o n c e n t r a t i o n s in areas facing N A T O . T h e following table indicates t h e increase in t h e p r o p o r t i o n of Russian residents b e t w e e n 1959 a n d 1970 in the principal republics lying on t h e w e s t e r n p e r i p h e r y of t h e USSR: 5

Republic

U k r a i n i a n SSR B e l o r u s s i a n SSR L i t h u a n i a n SSR

1959

1970

16.9

19.4

8.2

10.4

8.5

8.6

Latvian SSR

26.6

29.8

E s t o n i a n SSR

20.1

24.7

O v e r a l l , h o w e v e r , t h e m a i n t h r u s t o f t h e p o p u l a t i o n m o v e m e n t still points, as it has over the past five h u n d r e d years, to t h e south a n d southeast. Now these borderlands, unlike the American West before the Civil W a r , a r e n o t a s p a r s e l y p o p u l a t e d n o - m a n ' s - l a n d . T h e y a r e 5.

Ibid, table 2, pp. 1 2 - 1 5 .

463

Nationality Problems in the Soviet U n i o n

the h o m e l a n d s of major nationalities, m a n y of t h e m with cultures entirely different from the Russian, s o m e with traditions of stateh o o d reaching back to the pre-Christian e r a . T h e steady influx of R u s s i a n s e n g e n d e r s vicious conflicts o v e r l a n d , h o u s i n g , a n d j o b s with t h e i n d i g e n o u s p o p u l a t i o n . It is a daily irritant in relations b e t w e e n R u s s i a n s a n d t h e m i n o r i t i e s w h i c h e v e n t h e b e s t o f will c o u l d n o t eliminate. Such rivalry would p r o d u c e tensions a n d animosities e v e n in affluent societies. In the Soviet U n i o n , w h e r e t h e r e is a severe s h o r t a g e of g o o d s a n d services, it a s s u m e s highly explosive f o r m s . T h e g r o w i n g contact b e t w e e n nationalities in t h e Soviet U n i o n t h u s occurs u n d e r the worst possible c i r c u m s t a n c e s , c r e a t i n g a situation potentially not unlike that which led in t h e

1950s in

A l g e r i a to a b l o o d y civil w a r . A m o n g o t h e r sources o f friction, the following d e s e r v e m e n t i o n : 1. T h e f r u s t r a t i o n o f t h e n a t i v e elites r e s u l t i n g f r o m t h e fact t h a t they possess m a n y of the p a r a p h e r n a l i a of s t a t e h o o d b u t almost no effective p o w e r . T h e y a r e a n n o y e d a t t h e c o n t r o l e x e r c i s e d o v e r t h e m by p e r s o n n e l , almost invariably Russian, sent from Moscow a n d concealed b e h i n d the camouflage of insignificant j o b s in the state or party a p p a r a t u s . T h i s a n n o y a n c e is a g g r a v a t e d by t h e knowledge that in the ex-colonial possessions of the West t h e r e has occurred a g e n u i n e transfer of power. 2 . C o m p e t i t i o n o v e r i n v e s t m e n t c a p i t a l a n d r e s o u r c e s . I n its e c o nomic planning, Moscow tends to ignore national frontiers, treating the USSR as an entity in which regional allocations are m a d e o n t h e basis o f a d m i n i s t r a t i v e o r e c o n o m i c c o n s i d e r a t i o n s b u t almost n e v e r ethnic ones. T h e r e is a w i d e s p r e a d belief in the bord e r l a n d s — h o w justified o n e c a n n o t tell—that they a r e b e i n g bilked by the Russians, and that if they were truly i n d e p e n d e n t their stand a r d s o f living w o u l d g o u p . T h e issue m a y b e c o m e e v e n m o r e acute should the minorities with high r e p r o d u c t i o n rates c o m e to expect that in t h e f u t u r e capital investments be

made propor-

tionate to t h e p o p u l a t i o n increase in o r d e r to e n s u r e j o b s for their n u m e r o u s offspring. 3. A n n o y a n c e of the minority intelligentsia with t h e proscription placed on minority nationalism, which b e c o m e s instantly labeled a " b o u r g e o i s deviation," a n d with the free rein given Russian c h a u -

464

Richard

Pipes

v i n i s m i n its c r a s s e s t f o r m s . H e r e c o n t r o l o v e r t h e e d u c a t i o n a l syst e m plays an i m p o r t a n t role. W h y is it that only 3 p e r c e n t of Russ i a n s s p e a k a s e c o n d l a n g u a g e , w h i c h (if o n e e x c e p t s t h e 8 , 0 0 0 B e l u d z h i s ) is t h e

lowest

p e r c e n t a g e of any e t h n i c g r o u p in t h e USSR

t o d o so, w h e r e a s a m o n g t h e minorities t h e p e r c e n t a g e o f Russians p e a k e r s i s typically 1 5 - 3 0 p e r c e n t , a n d o f t e n e x c e e d s 5 0 p e r c e n t ? In L e n i n ' s time p r e s s u r e was a p p l i e d on Russians living in n o n R u s s i a n a r e a s t o m a s t e r t h e local l a n g u a g e s , a n d officials i n t h e a d m i n i s t r a t i o n w e r e r e q u i r e d t o d o so. O f t h i s p o l i c y n o t h i n g r e m a i n s b u t a m e m o r y . I n 1 9 7 0 , 2 9 m i l l i o n R u s s i a n s lived i n a r e a s set a s i d e f o r n a t i o n a l m i n o r i t i e s (21 m i l l i o n i n t h e u n i o n r e p u b l i c s , a n d 8 million in the a u t o n o m o u s republics of t h e Russian Republic or RSFSR). Of this 29 million at t h e very m o s t 8 7 0 , 0 0 0 b o t h e r e d to learn the language of the population a m o n g w h o m they regularly resided. T h i s figure is a better c o m m e n t a r y on the attitude of Russians t o w a r d n o n - R u s s i a n s t h a n a n y d o z e n treatises o n Soviet nationality policy. T h e coincidence of existing d e m o g r a p h i c , economic, a n d ideological f a c t o r s c r e a t e s a n e x p l o s i v e s i t u a t i o n w h i c h o n a n u m b e r o f occasions h a s a l r e a d y led to violent o u t b u r s t s a g a i n s t t h e Russians ( f o r e x a m p l e , t h e r i o t s i n Tiflis, t h e c a p i t a l o f G e o r g i a , i n 1 9 5 7 , a n d acts o f s e l f - i m m o l a t i o n i n V i l n i u s , t h e c a p i t a l o f S o v i e t L i t h u a n i a , i n 1972). T h e S o v i e t g o v e r n m e n t i s u n d o u b t e d l y a w a r e o f w h a t t h e facts a n d f i g u r e s p o r t e n d a n d i t i s visibly c o n s c i o u s o f t h e d a n g e r o f m i nority n a t i o n a l i s m , for it r e p r e s s e s it with an e v e n g r e a t e r show of force t h a n it d o e s dissent in Russia p r o p e r . It c o u l d , of course, try t o a t t e n u a t e t h e t e n s i o n b y g e n u i n e l y e n f o r c i n g t h e p r o v i s i o n s o f its constitution a n d t r a n s f o r m w h a t is now a Soviet e m p i r e into a C o m m o n w e a l t h of Soviet C o m m u n i s t states. By so d o i n g , it w o u l d e l i m i n a t e s o m e of the worst a b u s e s of t h e p r e s e n t system, since u n d e r a l o o s e r c o n f e d e r a t i o n t h e n a t i v e e l i t e w o u l d h a v e s o m e say about the n u m b e r of Russian immigrants, the distribution of jobs, t h e a l l o c a t i o n o f local r e s o u r c e s , a n d t h e n a t u r e o f e d u c a t i o n . B u t i n r e a l i t y t h e S o v i e t g o v e r n m e n t c a n n o t d o so. I n t h e f i r s t p l a c e , s i n c e its p o w e r i n l a r g e m e a s u r e r e s t s o n t h e s u p p o r t o f t h e G r e a t R u s -

Nationality P r o b l e m s in the Soviet U n i o n

465

s i a n p o p u l a t i o n , i t m u s t c o n v i n c e this p o p u l a t i o n t h a t its i n t e r e s t s a r e identical with the interests of the C o m m u n i s t regime. T h i s has b e e n Soviet practice since t h e early 1930s. T h e r e is no alternative to it because the C o m m u n i s t ideology has long ceased to hold whatever attraction it may have once exerted. Second, the regime is afraid that if it ever b e g a n to decentralize it would be u n a b l e to control the process; in other words, that even moderate administrative concessions to the union a n d a u t o n o m o u s republics would inevitably lead t o t h e i r d e m a n d i n g c o m p l e t e i n d e p e n d e n c e . T h e history of o t h e r imperial systems, notably the British, suggests that this fear is n o t g r o u n d l e s s . A n d so t h e Soviet g o v e r n m e n t t e m porizes, f e s t e r i n g a v a g u e ideal of ultimate national unification a n d in t h e m e a n t i m e relying on t h e police to k e e p t h e nationalities in h a n d .

15 J Y O T I R I N D R A DAS G U P T A

Ethnicity, Language Demands, and National Development in India

Recent r e e x a m i n a t i o n of the role of ethnicity in developed as well a s i n u n d e r d e v e l o p e d political p r o c e s s e s h a s l e d t o e x t e n s i v e discussions on the m e a n i n g , function, a n d contribution of ethnic g r o u p s . U n t i l r e c e n t l y m a n y social o b s e r v e r s , i n c l u d i n g s c h o l a r s o f m o s t c o l o r s , c o n f i d e n t l y p r o n o u n c e d e t h n i c i t y t o b e a legacy o f p r i m o r d i a l social r e l a t i o n s w h i c h d e s e r v e s a b l e a c h i n g t r e a t m e n t b y appropriate

modern

social

action.

In

this

sense,

ethnicity

was

v i e w e d n o t m e r e l y a s a c a t e g o r i c m a r k e r o f collectivity d i f f e r e n t i a tion b u t mostly as a pejorative p r o p e r t y of u n w a n t e d persistence. T h u s social a n a l y s i s a n d m o r a l p r e m i s e w e r e c o n v e n i e n t l y b l e n d e d i n t o a s o p h i s t i c a t e d p a c k a g e u n d e r t h e a p p e a l i n g title o f s o c i o l o g y of modernization and development.

1

T h e n , s u d d e n l y i n t h e sixties,

t h e e x p l o s i v e d e m o n s t r a t i o n o f e t h n i c politics i n t h e v e r y h o m e o f m a t u r e m o d e r n i t y shocked these theorists into the recognition that t h e salience of ethnic action can h a r d l y be i n f e r r e d from the stand a r d a g g r e g a t e indices of m o d e r n i t y . Note: I a m g r a t e f u l t o t h e I n s t i t u t e o f I n t e r n a t i o n a l S t u d i e s a t B e r k e l e y f o r s u p porting my research on ethnicity a n d integration in India. For helpful c o m m e n t s I w o u l d like to thank Charles F e r g u s o n of S t a n f o r d University a n d

Ralph Retzlaff

at the University of California at Berkeley. 1.

Most theories of modernization a n d d e v e l o p m e n t either ignore ethnicity or

t r e a t i t a s a n u n f o r t u n a t e survival w h i c h will b e t a k e n c a r e o f a s m o d e r n i z a t i o n proceeds. O n e recent survey of the place of ethnicity in the literature on developm e n t p r o d u c e d b y the political scientists d e m o n s t r a t e s h o w the latter have consistently i g n o r e d t h e relevance of the ethnic factors. S e e Walker C o n n o r . "NationB u i l d i n g o r N a t i o n - D e s t r o y i n g " i n World Politics ( A p r i l 1 9 7 2 ) , e s p . p p . 3 1 9 - 3 2 1 .

Ethnicity in India

467

T h e g a i n s r e s u l t i n g f r o m this r e c o g n i t i o n a r e likely t o b e m a n y . I t i s likely t h a t t h e s t u d y o f e t h n i c i t y will b e m o r e i n f o r m e d b y scholarly

curiosity

than

intellectual

indignation.

Developmental

studies can now afford to consider the ethnic dimensions of the politics o f p o o r c o u n t r i e s w i t h less i m p a t i e n c e .

2

O n c e ethnicity is

given the serious attention it deserves, theories of d e v e l o p m e n t m a y b e c o m e m o r e s e n s i t i v e t o t h e c o m m o n a l i t i e s o f p r o b l e m sets facing the b a c k w a r d

and

the

m a t u r e c o u n t r i e s a l i k e . T h i s will

a u g u r a better appreciation of the complexity of the developmental t a s k s a n d t h e r e b y a m o r e realistic e v a l u a t i o n o f t h e p r o d u c t s o f d e v e l o p m e n t a l policies. ETHNIC

ENCLOSURES

Ethnicity may be r e g a r d e d as an enclosing device which carves o u t a r e c o g n i z a b l e social collectivity b a s e d o n c e r t a i n s h a r e d p e r ceptions of distinctive c o m m o n n e s s often a u g m e n t e d by diachronic continuity.

3

V i e w e d i n t h i s w a y , e t h n i c i t y w o u l d r e f e r t o a class o f

social collectivity w h i c h m a y b e d i v i d e d i n t o t y p e s b a s e d o n p a r t i c u l a r m a r k s o f d i s t i n c t i o n like r a c e , c a s t e , r e l i g i o n , l a n g u a g e , c u l t u r e , 4

or s o m e composites of these items. T h e s e types may be r a n k e d in t e r m s of t h e i r d e g r e e of p r o x i m i t y to t h e principle of genetic clos u r e . F o r e x a m p l e , i d e a l l y , a racial g r o u p i n g w o r k s o u t its e n c l o sure by t h e principle of birth ascription, but a proselytizing rel i g i o u s c o m m u n i t y i s u n l i k e l y t o close its d o o r s t o

prospective

e n t r a n t s f r o m v a r i o u s racial g r o u p s . A close look at t h e variety of ethnicity in different points of time a n d space would indicate that, conceptually, the category of eth2. A r e c e n t a t t e m p t in t h i s d i r e c t i o n is C y n t h i a H. E n l o e , Ethnic Conflict and Political Development ( B o s t o n , L i t t l e , B r o w n ,

1973). S e e also Michael H e c h t e r , " T o -

w a r d s a T h e o r y o f E t h n i c C h a n g e , " i n Politics and Society ( F a l l 1 9 7 1 ) , p p . 2 1 - 4 5 . 3.

F r e d e r i k B a r t h e m p h a s i z e s t h e n o t i o n o f e t h n i c b o u n d a r y a s t h e critical e l e -

m e n t i n t h e c o n c e p t o f e t h n i c i t y . S e e h i s Ethnic Groups and Boundaries

(London,

Allen a n d U n w i n , 1 9 6 9 ) , p . 15. 4.

For

Gerald

D.

a

discussion

of comparison

among

B e r r e m a n , "Race, Caste, a n d

S t r a t i f i c a t i o n , " Race ( A p r i l

classes

Other

of social

Invidious

collectivities

see

Distinctions i n Social

1972), p p . 3 8 5 - 4 1 4 . Also Pierre L. van d e n Berghe,

Race and Ethnicity ( N e w Y o r k , B a s i c B o o k s ,

1 9 7 0 ) , e s p . part 1, a n d R. A. S c h e r -

m e r h o r n , Comparative Ethnic Relations ( N e w Y o r k , R a n d o m H o u s e ,

1970).

Jyotirindra

•168

Das

Gupta

nicity c o v e r s s o w i d e a g r o u n d t h a t i t c a n b e u s e f u l m o s t l y a t a b r o a d , t h o u g h s i g n i f i c a n t , level o f a b s t r a c t i o n . A t this level, s e v e r a l points are worth noting. T h e pervasiveness of ethnicity should not blind us to t h e differential attributes of various kinds of ethnic g r o u p s . S e c o n d , t h e s a m e social collectivity m a y s i m u l t a n e o u s l y s u b s c r i b e t o a m u l t i p l i c i t y o f e t h n i c i d e n t i f i c a t i o n s . G i v e n t h i s possibility o f m u l t i p l i c i t y o f i d e n t i f i c a t i o n s , collectivities m a y w o r k o u t i heir o r d e r i n g of the relative i m p o r t a n c e of identifications. T h i s ord e r i n g i s likely t o b e fluid a n d n o t n e c e s s a r i l y d e t e r m i n e d b y s o m e i n n a t e p r e f e r e n c e s o f t h e m e m b e r s . T h i r d , t h e stability o f e t h n i c g r o u p s m a y b e d e c e p t i v e . T h e lines o f e n c l o s u r e o f s u c h g r o u p s may be e x t e n d e d , or t h e r e may be internal segmentation within a g r o u p eventually leading to fragmentation. Fourth, the extension o f e t h n i c g r o u p s r a r e l y tells u s a n y t h i n g a b o u t t h e i n t e n s i t y o f c o m m i t m e n t existing within the g r o u p . Intensity, again, can be conside r e d f r o m t h e p e r s p e c t i v e o f t h e m e m b e r s ' s e n s e o f affinity t o e a c h o t h e r , t h e i r d e g r e e o f affiliation t o its p r e s u m e d n o r m s , a n d t h e i r d e g r e e of investment in the maintenance or expansion of the g r o u p . Finally, o n e s h o u l d n o t e t h e d i f f e r e n c e b e t w e e n a n e t h n i c g r o u p a s a c a t e g o r i c g r o u p a n d its t r a n s i t i o n t o p u r p o s i v e a c t i o n o r its t r a n s f o r m a t i o n i n t o a n a c t i v e c o m m u n i t y . POLITICS OF ETHNIC GROUPS Ethnic g r o u p s , t h o u g h pervasive, are not necessarily interesting for political a n a l y s i s . I f t h e y c h o o s e t o r e m a i n close t o t h e level o f categoric g r o u p s , i m p l y i n g that ethnicity in such a case merely refers to a description of s o m e individuals into a p r e s u m e d ethnic collectivity, it will p r o v i d e little t h a t is i n t e r e s t i n g to a s t u d e n t of politics. E t h n i c i t y , h o w e v e r , b e c o m e s a r e l e v a n t p o l i t i c a l q u e s t i o n w h e n e t h n i c divisions t e n d t o c r e a t e solidarities affecting political t h i n k i n g a n d a c t i o n . B y itself, e t h n i c d i v i s i o n m a y o r m a y n o t l e a d t o political d i v i s i o n . S o m e f o r m o f political t r a n s l a t i o n o f t h e e t h n i c i n t e r e s t s i s n e c e s s a r y t o m o v e e t h n i c g r o u p s f r o m a social s p a c e t o a political s p a c e . T h i s t r a n s i t i o n i s u s u a l l y a c h i e v e d t h r o u g h t h e m e diation o f political c o m m i t m e n t a n d o r g a n i z a t i o n .

5

T h e form of

5. S e e H a r r y E c k s t e i n , Division and Cohesion in Democracy: A Study of Norway

(Princeton,

Princeton University Press,

1966), pp. 33-36.

Ethnicity in India

469

this o r g a n i z a t i o n m a y r a n g e from ad h o c to institutionalized associations j u s t as t h e d u r a t i o n may vary from i n t e r m i t t e n c e to p e r m a n e n c e . In t e r m s of scope, they may o p t for exclusive action or they m a y find i t p r o f i t a b l e t o s h a r e a u t h o r i t y i n m u l t i - e t h n i c c o a l i t i o n s or aggregative organizations. Between the existence of multiple ethnic g r o u p s and competitive e t h n i c p o l i t i c s , t h e r e lies a s e r i e s o f t r a n s f o r m a t i o n s , t h e s u c c e s s o r failure of which t e n d s to d e t e r m i n e the extent a n d the n a t u r e of political

consequences

in

a

particular

political

society.

Also,

w h e t h e r t h e e n d p r o d u c t i s likely t o b e divisive o r c o h e s i v e o r i n t e g r a t i o n a l l y n e u t r a l will d e p e n d o n h o w t h o s e t r a n s f o r m a t i o n s a r e worked out in particular contexts of resource, culture, rules, organ i z a t i o n , a n d s t a t e s m a n s h i p . T h i s i s n o t t o say t h a t t h e p o l i t i c s o f ethnicity s h o u l d b e j u d g e d exclusively i n t e r m s o f t h e n o r m o f int e g r a t i o n . T h e r e a r e o t h e r c o m p e t i n g v a l u e s i n politics t h a t m a y b e equally r e l e v a n t , s u c h as a u t o n o m y , a u t h o r i t y , liberty, productivity, j u s t i c e , a n d t h e like. H o w e v e r , w e h a v e s t r e s s e d h e r e t h e c a s e o f integration because most of the recent discoveries of the i m p o r t a n c e o f e t h n i c i t y i n t h e social s c i e n c e s h a v e b e e n o b s e s s e d b y a n e q u a t i o n i m p l y i n g t h a t ethnicity is primordial, a n d that p r i m o r d i a l divisions a r e politically disintegrative i n c o n s e q u e n c e .

6

T h e notion of pri-

m o r d i a l i t y a s a n a t t r i b u t e o f a social g r o u p i s r e l a t i v e l y u n i n f o r m a t i v e a b o u t its s t a t e o f b e i n g a n d u n i n s t r u c t i v e a b o u t its c o n t r i b u t i o n to political a c t i o n .

7

Its r e f e r e n c e t o o r i g i n i s h i s t o r i c a l l y a p t u p t o a

p o i n t b u t analytically useless so far as o n e seeks to u n d e r s t a n d a g r o u p ' s r e l a t i v e p o s i t i o n i n social a n d political s p a c e a n d its r e l a t i v e c a p a b i l i t y i n t h e society. I t p r o d s u s t o c o n s t r u c t i m p r e c i s e t i m e d u a l i t i e s i n t e r m s o f m o d e r n - p r i m o r d i a l o r style d u a l i t i e s i n t e r m s of civil-primordial, n e i t h e r of which serves any useful p u r p o s e in u n d e r s t a n d i n g t h e significant processes of t h e role of ethnicity in c o n t e m p o r a r y s o c i e t y a n d politics. Specifically, i t b l o c k s o u r view 6. See

Clifford

Geertz,

"The

Integrative

Revolution,

Primordial

Sentiments

a n d C i v i l P o l i t i c s i n t h e N e w S t a t e s , " i n h i s e d i t e d v o l u m e Old Societies and New States ( G i e n c o e , T h e F r e e P r e s s , 1 9 6 3 ) , p . 1 1 1 . 7 . A n i n t e r e s t i n g c a s e s t u d v that s h o w s t h e integrational possibilities o f p r i m o r -

d i a l g r o u p s is R. W i l l i a m L i d d l e , Ethnicity, Part\, and Motional Integration ( N e w H a v e n , Yale University Press, 1970), esp. p p . 2 0 5 - 2 3 0 .

Jyotirindra

•170

Das

Gupta

f r o m t h e s u b s t a n t i a l r o l e o f e t h n i c politics i n m o d e r n societies like t h e U n i t e d S t a t e s , C a n a d a , Italy, I r e l a n d , B e l g i u m , Y u g o s l a v i a , a n d the USSR, just as it obliterates o u r u n d e r s t a n d i n g of the comp l e x i t y o f n e w politics o f e t h n i c i t y i n t h e c o n t e x t o f political d e v e l o p m e n t of new nations. LANGUAGE, ETHNICITY, AND POLITICAL COMMUNITY A m o n g many m a r k s of ethnicity, l a n g u a g e has a s s u m e d an imp o r t a n t p l a c e i n t h e h i s t o r y o f p a s t political e v o l u t i o n a n d p r e s e n t political s i t u a t i o n . L a n g u a g e p r o v i d e s a b o n d o f u n i t y a m o n g its s p e a k e r s a n d d e f i n e s a line o f s e p a r a t i o n m a r k i n g o f f o n e s p e e c h c o m m u n i t y from a n o t h e r . T h e b o n d o f unity m a r k e d b y l a n g u a g e may be o n e of chance or choice, d e p e n d i n g on w h e t h e r the linkage i s a t t a i n e d t h r o u g h m o t h e r t o n g u e o r a s e c o n d l a n g u a g e . I n this sense, ethnic bond based on language can be viewed as either an evolved bond based on m o t h e r t o n g u e or a deliberately created unity founded on a language other than m o t h e r t o n g u e . Even the c a s e o f e v o l v e d b o n d i s less s e l f - e v i d e n t t h a n i s s o m e t i m e s a s s u m e d . C o m m u n i t i e s m a y alter both the n a m e of their l a n g u a g e a n d the extension of t h e i r speech c o m m u n i t y for a variety of reas o n s i n d i f f e r e n t h i s t o r i c a l s i t u a t i o n s . O n t h e o t h e r h a n d , i t i s difficult t o i m a g i n e h o w a n d i n w h a t u s e f u l s e n s e t h e m o t h e r t o n g u e speakers of the English language r a n g i n g from E n g l i s h m e n , A m e r icans, Canadians, Australians, to the Eurasian c o m m u n i t y in I n d i a can be conceived of either as a categorical e t h n i c c o m m u n i t y or a politically r e l e v a n t c o m m u n i t y . 8

F o r a m o m e n t , if we assume that l a n g u a g e helps us identify s o m e e t h n i c g r o u p s , i t still r e m a i n s p r o b l e m a t i c a s t o h o w a n d w h e n s u c h g r o u p s acquire a consciousness of kind. O n c e this is k n o w n , t h e question remains u n d e r what conditions such a consciousness of k i n d i s b r o u g h t t o b e a r o n t h e political s p h e r e o f a s o c i e t y a n d w h a t p a t t e r n i n g o f political activity e m e r g e s f r o m t h e p o l i t i c i z a t i o n o f l a n g u a g e loyalty. T h e c o n s e q u e n c e s o f s u c h political t r a n s f o r m a tion of language-based ethnicity w o u l d seem to d e p e n d on a multiplicity o f f a c t o r s a n d t h e i r p a r t i c u l a r i n t e r a c t i o n s , n o n e o f w h i c h 8.

S e e T . S h i b u t a n i a n d K. M . K w a n , Ethnic Stratification ( N e w Y o r k , M a c m i l l a n ,

1965), pp. "5-76.

471

Ethnicity in I n d i a

can be inferred from the character of the ethnic group considered m e r e l y i n t e r m s o f its o r i g i n , c o m p o s i t i o n , o r social d i s t i n c t i v e n e s s . LANGUAGE SALIENCE IN S O U T H ASIA L a n g u a g e , like r e l i g i o n , c o n s t i t u t e s o n e o f t h e m o s t i m p o r t a n t m a r k s of identification in S o u t h Asia. It was in 1947 t h a t politics based on religion divided the subcontinent into India a n d Pakistan. In

1972,

however, a second partition of the subcontinent took

p l a c e w h e r e b y E a s t P a k i s t a n b e c a m e B a n g l a d e s h o n t h e basis o f t h e linguistic claim of Bengali s e l f - d e t e r m i n a t i o n .

9

East Pakistan consti-

t u t e d the numerically l a r g e r p a r t of Pakistan, a n d in 1947 the p e o ple of East P a k i s t a n saw t h e m s e l v e s as Pakistanis first a n d Bengalis secondarily. At that t i m e their greatest perceived e n e m y was t h e Bengali-speaking H i n d u s of East Bengal. L a n g u a g e served as no b o n d a t all. I n t w o d e c a d e s t h e s a m e p e o p l e o f E a s t P a k i s t a n w e r e l o c k e d i n a m o r t a l b a t t l e w i t h t h e i r fellow M u s l i m s o f W e s t P a k i s t a n a n d i n t h e p r o c e s s lost t h r e e m i l l i o n lives. W h i c h e t h n i c identification is m o r e a u t h e n t i c for t h e p e o p l e of East B e n g a l , Muslim or Bengali? I m m e d i a t e l y after the i n d e p e n d e n c e o f B a n g l a d e s h , v i o l e n t r i o t s r o c k e d P a k i s t a n . L a t e r all o f West Pakistan accused t h e East Pakistanis of being b a d Muslims b e c a u s e t h e y w e r e ovit t o c h a l l e n g e t h e u n i t y o f t h e M u s l i m P a k i stani ethnic authenticity. B u t soon West Pakistan's l a n g u a g e g r o u p s staged their o w n m o v e m e n t s of a u t o n o m y : Sindhi speakers, Baluchi s p e a k e r s , a n d P a s h t o s p e a k e r s attacked the a u t h o r i t y o f t h e Punjabi s p e a k e r s .

1 0

W h a t is m o r e interesting is that, t h o u g h the

Punjabi s p e a k e r s n o w c o n s t i t u t e t h e largest single g r o u p , they h a v e never tried to i m p o s e their o w n language on Pakistan. Rather, they h a v e c h a m p i o n e d t h e status o f U r d u which was generally a c c e p t e d i n W e s t P a k i s t a n a s t h e s y m b o l o f M u s l i m n a t i o n a l i s m . All t h i s would imply that the speakers of Sindhi language identify with 9. A standard survey of language m o v e m e n t s preceding the formation of the

n e w s t a t e of B a n g l a d e s h is B a d r u d d i n U m a r , Purba Banglar Bhasha Andolan O Tatkalin Rajnili ( D a c c a , M a s l a B r o t h e r s , gram ( D a c c a , D a c c a U n i v e r s i t y ,

1 9 7 0 ) , a n d A. K.

F a z l u l H a q , Mukti San-

1972). (Both are in Bengali.)

10. T h e c o m p l i c a t e d e t h n i c diversity i n Pakistan based o n l a n g u a g e a n d o t h e r

f a c t o r s is p r e s e n t e d in Y u . V. G a n k o v s k y , The Peoples of Pakistan: An Ethnic History (Lahore, Peoples Publishing H o u s e , n.d.), esp. pp. 1 6 3 - 2 0 8 .

472

Jyotirindra

Das

Gupta

U r d u w h e n they n e e d a West Pakistan coalition against East Pakistan, b u t w h e n the t h r e a t of East Pakistan d i s a p p e a r s they discover their Sindhi identification against the Punjabi d o m i n a t i o n within ( W e s t ) P a k i s t a n . T h i s i s a t y p i c a l c a s e o f fluidity o f l i n g u i s t i c i d e n tification a n d l a n g u a g e d e m a n d s s t e m m i n g f r o m s u c h i d e n t i f i c a tion. I n S o u t h A s i a , a s i n m a n y o t h e r p a r t s o f t h e w o r l d , social g r o u p s b e l o n g t o a v a r i e t y o f e t h n i c c i r c l e s . O n o c c a s i o n s t h e s e circles c o i n cide a n d may mutually reenforce each other; at o t h e r times they cut across each other. Even w h e n they coincide, they do not necessarily r e e n f o r c e , r a t h e r t h e y m a y b e d e l i b e r a t e l y s e p a r a t e d f o r selectively a c c e n t u a t i n g o n e a n d m u t i n g t h e o t h e r s . I t is, a s i t w e r e , a process o f c h o i c e a m o n g a l t e r n a t i v e m a r k e r s o f i d e n t i f i c a t i o n w h i c h a p p a r e n t l y d e p e n d s on the decisions of the articulators of the particular g r o u p ' s interest. W h a t the articulators decide is not endogenously d e t e r m i n e d by the n a t u r e of the ethnic g r o u p . In other w o r d s , t h e r e i s n o r e a d i l y r e c o g n i z a b l e p r i m o r d i a l l y g i v e n set o f int e r e s t s o f a n e t h n i c g r o u p ; j u s t a s a f t e r t h e f o r m u l a t i o n o f a set o f interests, t h e r e is no u n i q u e way of activating the p u r s u i t of such i n t e r e s t s i n t h e a r e n a s o f social o r p o l i t i c a l c o m p e t i t i o n . EMERGENCE OF LANGUAGE DEMANDS IN INDIA A careful s t u d y of l a n g u a g e d e m a n d s e x p r e s s e d by various language communities of India, the interplay of these d e m a n d s in the political a r e n a , a n d t h e r e s p o n s e s b y t h e p u b l i c a u t h o r i t i e s t o t h e s e d e m a n d s m a y clarify s o m e o f t h e c o m p l e x r e l a t i o n s h i p s b e t w e e n l a n g u a g e a n d ethnicity, especially w h e n these a r e c o n s i d e r e d i n the context of the process of national development. By language dem a n d s w e r e f e r t o publicly e x p r e s s e d

demands on the

political

a u t h o r i t i e s m a d e b y o r g a n i z e d g r o u p s c l a i m i n g t o r e p r e s e n t cate g o r i c e t h n i c collectivities b a s e d o n l a n g u a g e loyalties. I t m a y b e n o t e d h e r e t h a t i n I n d i a s e p a r a t e e t h n i c collectivities b a s e d o n d i s tinctively d i f f e r e n t l a n g u a g e s h a v e e x i s t e d f o r c e n t u r i e s , b u t t h e e m e r g e n c e of l a n g u a g e d e m a n d s on public authorities is of relatively r e c e n t

origin.

Only

recently,

with

the

progress

o f social

c h a n g e a n d t h e a t t e n d a n t i n c r e a s e o f political o p p o r t u n i t i e s i n t h e context of e x p a n d i n g public space, have these d e m a n d s b e e n gen-

Ethnicity in India

473

e r a t e d a n d p u r s u e d t o a n e x t e n t t h a t t h e y h a v e b e c o m e s a l i e n t facts o f n a t i o n a l political life. L a n g u a g e d e m a n d s i n m o d e r n I n d i a h a v e b e e n e x p r e s s e d a t several levels. D u r i n g the p e r i o d of British colonial r u l e , the nationalist d e m a n d f o r f r e e d o m was a s s o c i a t e d w i t h a d e m a n d f o r t h e r e p l a c e m e n t of the colonial l a n g u a g e of a d m i n i s t r a t i o n by a national lang u a g e as a unifying symbol of nationalism. T h i s d e m a n d was m a d e a t t h e m o r e visible level o f t h e n a t i o n a l i s t politics, a n d i t a p p e a r e d to represent the aspiration of an

inter-ethnic national coalition.

H o w e v e r , t h e r e w e r e o t h e r levels o f l a n g u a g e d e m a n d s w h e r e t h e r e l a t i o n b e t w e e n e t h n i c i t y a n d l a n g u a g e w a s m o r e d i r e c t a n d visib l e . O n e o f t h e s e levels c a n b e i d e n t i f i e d a s t h e d e m a n d f o r t h e r e c ognition of the regional languages as the media of education, administrative transaction, a n d judicial p r o c e e d i n g s at t h e relatively l o w e r levels o f t h e o p e r a t i o n o f law c o u r t s . T h e d e m a n d f o r e l e v a t i n g t h e s t a t u s o f r e g i o n a l l a n g u a g e s t o a level o f f u n c t i o n a l i m p o r tance

and

prestige

ran

parallel

to

sustained

efforts

regional leaders to standardize the regional languages.

made

by

1 1

T h e regionalization of language d e m a n d s represented a move to b r i n g t o g e t h e r s e g m e n t a l social g r o u p s s u c h a s t r i b e s , c a s t e s , d i a l e c tal s p e e c h g r o u p s , a n d r e l i g i o u s c o m m u n i t i e s w i t h i n t h e r e l a t i v e l y w i d e r u n i t y o f r e g i o n a l c o m m u n i t i e s d e f i n e d b y l i n g u i s t i c affinity and closure.

1 2

Systematic a t t e m p t s to create such wider ethnic enti-

ties o u t o f p a r t i c u l a r c o l l e c t i o n s o f s e g m e n t a l e t h n i c i t i e s p r o c e e d e d i n d i f f e r e n t p a r t s o f I n d i a a l o n g w i t h t h e d e v e l o p m e n t o f t h e still wider nationalist m o v e m e n t . T h e duality of these two processes of mobilization a n d i n t e g r a t i o n s o m e t i m e s led t o c o n v e r g e n c e b u t relatively o f t e n t h i s c r e a t e d a t e n s i o n a n d conflict b e t w e e n t h e m . F o r example, the emergence of T a m i l nationalism in the south a r o u n d the t u r n of this c e n t u r y can be s e e n as a story of success in c e m e n t i n g v a r i o u s lower caste g r o u p s i n t o a u n i t e d D a v i d i a n m o v e m e n t i n c l u d i n g d i v e r s e r e l i g i o u s a n d o t h e r g r o u p s w i t h i n it, b u t a t t h e 11. A detailed account of l a n g u a g e politics in India is c o n t a i n e d in Jyotirindra

D a s G u p t a , Language Conflict and National Development ( B e r k e l e y ,

U n i v e r s i t y of

California Press, 1970). 12. S e e J o a n V.

B o n d u r a n t , Regionalism

Versus Provincialism

(Berkeley,

sity o f C a l i f o r n i a , I n d i a n P r e s s D i g e s t M o n o g r a p h , 1 9 5 8 ) , p p . 2 1 - 5 4 .

Univer-

474

Jyotirindra

Das

Gupta

same time o n e may detect in the same process a challenge to Ind i a n nationalism. W h e t h e r to i n t e r p r e t this c h a l l e n g e as a device for exerting p r e s s u r e for the p r o m o t i o n of the perceived interests of a r e g i o n a l c o m m u n i t y or as a t h r e a t to n a t i o n a l u n i t y is a q u e s l i o n w h i c h will b e d i s c u s s e d l a t e r . JOB C O M P E T I T I O N AND L A N G U A G E RIVALRY O n e f e a t u r e o f t h e r e g i o n a l level o f l a n g u a g e d e m a n d s w a s t h e creation of a m o v e m e n t for reservation of e m p l o y m e n t o p p o r t u nities for t h e " s o n s o f t h e soil." T h i s d e m a n d w a s e s p e c i a l l y s t r i d e n t in those regions of India where migrants from other regions were employed i n t h e u p p e r s e c t o r o f t h e j o b s t r u c t u r e . F o r e x a m p l e , i n t h e p r o v i n c e o f B i h a r a p e r s i s t e n t m o v e m e n t was l a u n c h e d d u r i n g the thirties of this c e n t u r y to reserve j o b s of these regions for " t h e s o n s o f t h e B i h a r soil." I t s h o u l d b e n o t e d t h a t w h a t w a s p r o p o s e d i n B i h a r i n a n o p e n d e c l a r a t i o n was p r e t t y close t o w h a t w a s b e i n g s u g g e s t e d , w h e t h e r l o u d l y o r i n o r g a n i z e d w h i s p e r s , i n a l m o s t all the regions of I n d i a .

1 5

T h e case o f B i h a r i s particularly i n t e r e s t i n g

b e c a u s e t h e i d e n t i t y o f B i h a r was n o t d e f i n e d p r i m a r i l y i n l i n g u i s t i c terms. Bihar h a p p e n e d to be a part of the Hindi language area if the concept of H i n d i is e x t e n d e d to include the major Bihari dialects, t h e e d u c a t e d s p e a k e r s o f w h i c h o f t e n c l a i m a n affinity t o s t a n dard Hindi.

1 4

In any event, though not claiming to represent a

self-enclosed l a n g u a g e area, m a n y leaders of Bihar u s e d t h e a r g u m e n t of l a n g u a g e with a negative thrust. T h u s a large p a r t of t h e m o v e m e n t was d i r e c t e d against the Bengali s p e a k e r s , for t h e y w e r e perceived

t o h a v e o c c u p i e d " a n e x c e s s i v e n u m b e r o f offices i n

Bihar." Similar moves were areas.

Unlike

m a d e in Orissa, Assam, a n d o t h e r

Bihar, the regionalist leaders of both Orissa a n d

Assam claimed to represent self-contained language c o m m u n i t i e s , 1 3 . S e e N i r w a l K u m a r B o s e , Problems o f National Integration ( S i m l a , I n d i a n I n s t i tute of A d v a n c e d Study, 1967), pp. 4 7 - 5 0 . 14. S o m e o f t h e

major dialect speakers

in

Bihar are a s s u m e d

to

be

Hindi

speakers by the H i n d i leaders, but these dialect speakers refuse to be e n u m e r a t e d a s H i n d i s p e a k e r s . T h i s i s t r u e e v e n n o w (as o f t h e t i m e o f t h e

1971 census e n u -

m e r a t i o n ) . In fact, a m a j o r Bihari dialect, Maithili, has b e e n t h e s y m b o l of an a u t o n o m y m o v e m e n t in recent history.

Ethnicity in India

475

t h o u g h it was d o u b t f u l to w h a t e x t e n t such claims w e r e actually e n d o r s e d by the lower sectors of these provinces' population, m a n y of w h o m h a d little u s e f o r t h e s t a n d a r d l a n g u a g e s t h a t t h e l e a d e r s w e r e u r g i n g t h e m to believe to be their own s t a n d a r d l a n g u a g e . A s t h e l a t e r e v e n t s i n d i c a t e , i n m a n y c a s e s t h e political l e a d e r s h a v e s u c c e e d e d in f a s h i o n i n g relatively l a r g e r l a n g u a g e - b a s e d e t h nic c o m m u n i t i e s o u t of a mass of d i s p a r a t e s e g m e n t a l ethnicities. T h e c r e a t i o n o f t h e s e l a n g u a g e c o m m u n i t i e s w a s s o m e t i m e s facilitated by

t h e system of t h e a d m i n i s t r a t i v e division of I n d i a into

provinces as c a r v e d by the colonial rulers. Also, it is w o r t h n o t i n g that the leaders of the nationalist m o v e m e n t e n d o r s e d the formation of such c o m m u n i t i e s ,

1 5

a n d m a n y o f t h e m actively h e l p e d t h e p a r -

t i c u l a r i s t p u r s u i t s o f t h e s e m o v e m e n t s i n t h e i r o w n r e g i o n s . I n this sense, m a n y of the regional language communities in India have b e e n far f r o m n a t u r a l in their g r o w t h ; r a t h e r , their creation a n d m a i n t e n a n c e h a v e b e e n a r e s u l t o f d e l i b e r a t e political p r o c e s s e s . I t will b e u n r e a l i s t i c t o c h a r a c t e r i z e t h e s e r e g i o n a l political p r o c e s s e s a s i n h e r e n t l y o p p o s e d t o t h e n a t i o n a l political p r o c e s s e s . T h e n a tionalist m o v e m e n t a s s u m e d these regional m o v e m e n t s to be an a p p r o p r i a t e p a r t of integrating the nation in a two-step process: unifying t h e s e g m e n t a l small g r o u p s in viable regional c o m m u n i t i e s a n d t h e n integrating these regions into a multi-ethnic national c o m m u n i t y . T h i s is not to d e n y that m a n y of t h e m were at times w o r r i e d a b o u t t h e p o s s i b l e s t r a i n s likely t o a r i s e a l o n g t h i s s e q u e n tial p a t h . H o w e v e r , g i v e n t h e size a n d d i v e r s i t y o f t h e c o u n t r y a n d given t h e i r faith in d e m o c r a t i c politics, it is u n d e r s t a n d a b l e w h y they

were

unwilling

to

consider

regional

integration

through

c r e a t e d e t h n i c ties a s n e c e s s a r i l y o p p o s e d t o t h e logic o f d e v e l o p i n g a national community. 15.

A r e p o r t p r e p a r e d by Rajendra Prasad for the W o r k i n g C o m m i t t e e of the

Indian National C o n g r e s s presents an extensive survey of the Bihar situation as of 1938.

Tjjis

r e p o r t e n d o r s e d by t h e I n d i a n N a t i o n a l C o n g r e s s u s e s t h e t e r m p r o -

vincials to r e f e r to the s o n s of t h e soil a n d declares that their "desire to seek e m p l o y m e n t in their o w n locality is n a t u r a l .

.

. a n d rules p r o v i d i n g for such

e m p l o y m e n t to t h e m are not inconsistent with the high ideals of t h e Congress, p a r t i c u l a r l y w h e n t h e y e x i s t i n all p r o v i n c e s . " A . I . C . C . P a p e r s , 1 9 3 8 , N e h r u M u s e u m C o l l e c t i o n , G 6 0 , p. 18.

476

Jyotirindra

Das

Gupta

ORGANIZATIONAL CONTEXT OF LANGUAGE DEMANDS We have stressed the role of the l a n g u a g e leaders in creating ethnic c o n s c i o u s n e s s b a s e d o n l a n g u a g e loyalty. A r o u n d t h e t u r n o f this c e n t u r y , i n d i f f e r e n t p a r t s o f I n d i a , s m a l l g r o u p s o f i n t e l l e c t u a l s b e g a n f o r m i n g l i t e r a r y s o c i e t i e s , c u l t u r a l g r o u p s , a n d political associations to articulate the "cause" of their respective languages. T h e s e v o l u n t a r y associations served a s t h e c o m m o n p l a t f o r m for u n i t i n g literary writers, scholars, political l e a d e r s , a n d o t h e r p e r sons of e m i n e n c e a r o u n d the c o m m o n p u r p o s e of p r o m o t i n g the interests of their language c o m m u n i t y . In some areas of India, w h e r e a sense of l a n g u a g e c o m m u n i t y h a d n o t yet clearly evolved, these leaders offered a definition of their c o m m u n i t y by advancing a theory of p r o p e r enclosure of speech g r o u p s within the language c o m m u n i t y a n d t h r o u g h elaborate p r e s c r i p t i o n s o f linguistic p r o priety, dispensable contaminations from i m p u r e influences, a n d b o u n d a r y m a r k e r s to identify potential i n t r u d e r s f r o m the gray zone of adjacence. O n e example would be the role of the voluntary associations in n o r t h I n d i a which b e g a n as literary societies for d e veloping Hindi. Beginning at the end of the nineteenth century, the leaders of the H i n d i associations s u c c e e d e d in establishing a definition of p r o p e r Hindi a n d the authentic H i n d i language com1 6

m u n i t y . It is i n t e r e s t i n g that the first m o v e on t h e p a r t of the associational l e a d e r s was t o p r o m o t e t h e u s e o f o n e s t a n d a r d script, t h a t is, t h e N a g a r i s c r i p t , a m o n g v a r i o u s d i a l e c t g r o u p s o f n o r t h I n d i a . A l o n g w i t h this e f f o r t t o m a k e m a n y s p e e c h g r o u p s o f s o m e l i n g u i s t i c affinity c o n v e r g e t o w a r d a c o m m o n w r i t i n g s y s t e m , e x hortations were m a d e to standardize a n d modernize the written a n d t h e s p o k e n f o r m s o f this n e w H i n d i . T h e s u c c e s s o f t h e s e efforts also a s s u r e d the g r a d u a l d i v e r g e n c e of the new H i n d i from U r d u . T h e s e two categories were previously u s e d to r e f e r to two styles o f t h e s a m e l a n g u a g e . B u t f r o m t h e b e g i n n i n g o f t h e f i r s t d e c a d e of this c e n t u r y they c a m e to r e f e r to two distinctly different languages. T h i s d i v e r g e n c e w a s facilitated b y t h e political r i v a l r y b e t w e e n 16.

For an elaboration of the structure and role of voluntary associations see J.

D a s G u p t a , Language Conflict and National Development, c h a p s . 6 a n d 7.

Ethnicity in India

477

certain H i n d u a n d Muslim leaders who by emphasizing the supposedly religious rationale for Sanskritizing H i n d i a n d Persianizing U r d u , r e s p e c t i v e l y , c o n s i s t e n t l y h e l p e d w i d e n t h e rift. H i n d i a n d U r d u voluntary associations thus succeeded in creating two lang u a g e c o m m u n i t i e s o u t of o n e . At the s a m e time each of these lang u a g e c o m m u n i t i e s s o u g h t t o e x p a n d its size b y g r a d u a l l y a b s o r b i n g p e r i p h e r a l d i a l e c t a l c o m m u n i t i e s t h r o u g h political p e r s u a s i o n , using literary, cultural, a n d religious a p p e a l s as c o n v e n i e n c e d e m a n d e d . T h e s e associations have been described in s o m e detail b e c a u s e t h e i r a c t i v i t i e s w e r e also a s s o c i a t e d w i t h t h e q u e s t i o n o f selecting n a t i o n a l l a n g u a g e s , H i n d i for c o m p o s i t e I n d i a n nationali s m a n d U r d u f o r s e p a r a t i s t M u s l i m n a t i o n a l i s m . T h e y o p e r a t e d sim u l t a n e o u s l y a t t h e r e g i o n a l a n d m u l t i - r e g i o n a l n a t i o n a l levels, seeking to define language communities of n a r r o w e r a n d wider range at the same time. N o s u c h d u a l d e m a n d a n d its a t t e n d a n t p a r a d o x i c a l i m p l i c a t i o n s constrained

the

language

associations

which

operated

at single

r e g i o n a l levels. T h u s t h e e t h n i c p r o m o t i o n a l t a s k s o f t h e l a n g u a g e associations

concerned

with

Assamese,

Bengali,

Oriya,

Telugu,

Tamil, Marathi, Gujarati, and other languages proceeded to define their o w n c o m m u n i t i e s , interests, a n d objectives at t h e i r r e g i o n a l level. T h e p r o c e s s o f o r g a n i z a t i o n a l d e v e l o p m e n t w a s s i m i l a r t o t h e c a s e s o f t h e H i n d i a n d U r d u a s s o c i a t i o n s . All o f t h e m b e g a n a s s o cieties w i t h a l i t e r a t u r e , c o n s t a n t l y r e c a l l i n g t h e g r e a t n e s s o f t h e i r exclusive h e r i t a g e a n d e x h o r t i n g t h e n e e d to e x p a n d t h e s p h e r e of their glory by s t r e n g t h e n i n g their communities. Each h a d a ready list o f e n e m i e s a n d i n t r u d e r s , a n d u s u a l l y t h e i r a d j a c e n t c o m m u n i ties o c c u p i e d t h e t o p r a n k s i n s u c h lists. H o w e v e r , i t w o u l d b e a mistake

to

assume

merely interested

that in

the

the

leaders of these

associations

were

promotion of their own communities.

Most of t h e m were at the same time involved in the nationalist movement. N o n e of them imagined their community to be potentially s e l f - s u f f i c i e n t . T h o u g h t h e i r basic a i m w a s t o s t r e n g t h e n t h e i r o w n c o m m u n i t i e s in t h e national c o m p e t i t i o n for i n v e s t m e n t , e m p l o y m e n t , i n c o m e , s t a t u s , a n d g l o r y , t h e y also r e a l i z e d t h a t u n l e s s they h e l p e d t h e national m o v e m e n t for i n d e p e n d e n c e a n d develo p m e n t , their l o n g - t e r m objectives would r e m a i n unfulfilled. It is

478

Jyotirindra

Das

Gupta

i n this c o n t e x t t h a t o n e c a n a p p r e c i a t e t h e a p p a r e n t p a r a d o x o f t h e I n d i a n n a t i o n a l i s t m o v e m e n t t h a t m o s t o f its p a r t i c i p a n t s w e r e r e g i o n a l i s t s a n d n a t i o n a l i s t s , e t h n i c i s t s a n d c o s m o p o l i t a n s , localit a r i a n s a n d c e n t e r i t a r i a n s , d e p e n d i n g o n i s s u e s d i s c u s s e d , levels relatively e m p h a s i z e d , a n d particular a u d i e n c e s r e s p o n d e d to. LANGUAGE DEMANDS AFTER INDEPENDENCE Before independence, language d e m a n d s were expressed either as long-range aspirations or as short-term limited appeals to and pressures o n the colonial administration. I n d e p e n d e n c e c h a n g e d t h e p a t t e r n o f t h e political s y s t e m , a l t e r e d t h e r u l e s o f m a k i n g a n d meeting d e m a n d s , a n d assured the d e m a n d g r o u p s of substantial access t o p o l i t i c a l a u t h o r i t i e s . A t this p o i n t i t m a y b e n o t e d t h a t t h e system of g o v e r n m e n t i n t r o d u c e d in i n d e p e n d e n t I n d i a has been a p a r l i a m e n t a r y d e m o c r a c y with a f e d e r a l s t r u c t u r e . T h e basic framework of the government is elaborated in the constitution which was e n a c t e d in 1950 a n d , unlike m a n y n e w states, has m a i n t a i n e d its a u t h o r i t a t i v e n e s s w i t h o u t i n t e r r u p t i o n . A s t h e m o s t a u thoritative a n d elaborate d o c u m e n t defining not merely the struct u r e o f g o v e r n m e n t b u t also t h e o b j e c t i v e s o f t h e n a t i o n a l political c o m m u n i t y , t h e c o n s t i t u t i o n w a s e x p e c t e d t o reflect t h e b a s i c o u t lines o f t h e l a n g u a g e policies o f t h e n a t i o n . S i n c e t h e r e w a s n o c o n s e n s u s o n t h e c o n t e n t o f national l a n g u a g e policy, w h a t t h e constitution offers r e p r e s e n t s a c o m p r o m i s e . T h i s c o m p r o m i s e , naturally, h a s f a c e d s u b s e q u e n t c h a l l e n g e s , a n d a c o n s i d e r a b l e p a r t o f t h e h i s t o r y o f l a n g u a g e politics o f t h e d e c a d e s f o l l o w i n g t h e a d o p tion of the constitution is c o n c e r n e d with e i t h e r t h e p r o b l e m s of 1 7

17.

Unlike most constitutions,

elaboration that

of social

the c h a n g i n g

objectives

majorities

in

the and the

Indian constitution

goes

safeguards

to

legislatures

perhaps at

the

into an

register

center and

unusual

assurance the

states

will n o t f r i v o l o u s l y a f f e c t t h e d i s t r i b u t i o n o f b a l a n c e i n t h e n a t i o n a l c o m m u n i t y . I t is also i m p o r t a n t to n o t e that the constitution d e f i n e s the s t r u c t u r e a n d p u r p o s e of g o v e r n m e n t b o t h f o r t h e f e d e r a l level a n d t h e s t a t e l e v e l a t t h e s a m e t i m e . F o r a b r i e f a n a l y s i s o f t h e l o g i c a n d c o n t e n t o f t h i s c o m p l i c a t e d d o c u m e n t a n d its w o r k ing see Durga

Das

B a s u , Introduction to the Constitution of India

( C a l c u t t a , S. C .

Sarkar, 5th ed., 1971). T h e provisions of the constitution specially relating to lang u a g e questions a n d ethnic balance of interest are discussed in pp. 3 3 2 - 3 4 0 . See a l s o C . N. S r i v a s t a v a , The Language Controversy and the Minorities ( D e l h i , A t m a R a m , 1970), esp. p p .

1-19.

Ethnicity in India

479

implementation of the language provisions or their redefinition. Language d e m a n d s in i n d e p e n d e n t India have been concerned with m a n y issues, of which the m o s t i m p o r t a n t are the following: t h e official l a n g u a g e o f t h e f e d e r a l g o v e r n m e n t ; t h e r e o r g a n i z a t i o n o f t h e s t a t e s o f t h e f e d e r a t i o n a l o n g r e g i o n a l l i n g u i s t i c l i n e s ; official l a n g u a g e of t h e states of the relating

to

education,

public

federation;

a n d l a n g u a g e policies

employment,

and

general

com-

m u n i c a t i o n . T h o u g h s o m e o f these issues a r e related t o e a c h o t h e r , t h e y c a n b e c l e a r l y d i s t i n g u i s h e d a n d p l a c e d a t d i f f e r e n t levels i n t e r m s of t h e i r salience in national politics, their claims on national resources, the e x t e n t of the national c o m m u n i t y affected, the d e g r e e of urgency a n d intensity perceived by the participants in relev a n t political action, a n d their r e l a t i o n t o n a t i o n a l d e v e l o p m e n t . T h e federal l a n g u a g e question has generally been identified as the national language question partly because the federal governm e n t i s a m a j o r c o o r d i n a t o r o f t h e n a t i o n a n d also b e c a u s e i t w a s related to r e p l a c e m e n t of English by an I n d i a n language. T h e nationalist s e n t i m e n t s characteristic o f i n d e p e n d e n c e m o v e m e n t s generally invest a sense of u r g e n c y on t h e r e p l a c e m e n t of t h e symbols of colonial d o m i n a t i o n by a u t h e n t i c national symbols. T h e I n d i a n nationalist m o v e m e n t , long before i n d e p e n d e n c e , h a d settled that Hindi should replace English.

1 8

T h e c o n s t i t u t i o n t r a n s l a t e d this as-

piration into a legal provision a n d d i r e c t e d t h e federal g o v e r n m e n t t o effectively i m p l e m e n t i t w i t h i n a f i f t e e n - y e a r t i m e s c h e d u l e . 18.

The

nationalist r h e t o r i c left s o m e q u e s t i o n s unclarified, p e r h a p s d e l i b e r -

ately. By H i n d i it s o m e t i m e s m e a n t literary H i n d i of a Sanskritized variety, s o m e times the c o m m o n l y s p o k e n variety that hardly distinguished b e t w e e n H i n d i a n d Urdu, and often as expressed by Gandhi and N e h r u a form known as Hindustani, which legitimated the two varieties as o n e c o m p o s i t e l a n g u a g e written in either N a g a r i o r P e r s i a n script. T h e stylistic c o n t r o v e r s y i s r e f l e c t e d i n a k e y p r o v i s i o n o f t h e I n d i a n c o n s t i t u t i o n , w h i c h instructs t h e n a t i o n a l g o v e r n m e n t "to p r o m o t e t h e spread of the H i n d i language, to d e v e l o p it so that it may serve as a m e d i u m of e x p r e s s i o n f o r all t h e e l e m e n t s o f t h e composite culture o f India a n d t o s e c u r e its e n r i c h m e n t b y assimilating w i t h o u t i n t e r f e r i n g w i t h its g e n i u s , t h e f o r m s , s t y l e a n d e x pressions

used

in Hindustani and in the other languages of India

specified

in

the

E i g h t h S c h e d u l e a n d b y d r a w i n g , w h e r e v e r n e c e s s a r y o r d e s i r a b l e , f o r its v o c a b u l a r y primarily o n Sanskrit a n d s e c o n d a r i l y o n o t h e r l a n g u a g e s " ( a r t i c l e 3 5 1 , italics a d d e d ) . F o r a n a n a l y s i s o f t h i s q u e s t i o n s e e J . D a s G u p t a , Language Conflict and Na-

tional Development, p p . 1 3 7 ff.

480

Jyotirindra

Das

Gupta

T h e choice of Hindi as an authentic national symbol, despite the fact t h a t i t n e i t h e r h a d t h e p r e s t i g e a s s o c i a t e d w i t h s o m e o t h e r I n d i a n languages, n o r was it s p o k e n as m o t h e r t o n g u e by m o r e than a third of the national population, reflected an a g r e e m e n t a m o n g m o s t l a n g u a g e g r o u p s to reach a viable c o m p r o m i s e . It is interesti n g t o recall t h a t s o m e o f t h e s t r o n g e s t a d v o c a t e s o f H i n d i d u r i n g ( h e n a t i o n a l i s t m o v e m e n t , i n c l u d i n g l e a d e r s like M a h a t m a G a n d h i , w e r e n o n - H i n d i s p e a k e r s . T h e i r objective was to c r e a t e a c o m p o s i t e n a t i o n a l c o m m u n i t y w h e r e t h e p e o p l e w o u l d b e a t least b i l i n g u a l using H i n d i as a l a n g u a g e of national linkage a n d h o n o r while using their regional l a n g u a g e for most t r a n s a c t i o n s .

1 9

T h i s linguis-

tic d u a l i s m w a s r e l a t e d t o t h e i r c o n c e p t i o n o f I n d i a a s a c o o r d i n a t e c o m m u n i t y of multi-ethnic justice a n d balance w h e r e the p r o m o tion of H i n d i would not m a k e any n o n - H i n d i ethnic c o m m u n i t y w o r s e off. However, w h e n the British threat d i s a p p e a r e d a n d the Constituent Assembly began to deliberate on the framework of a national constitution, m a n y non-Hindi-speaking nationalists perceived that in case H i n d i r e p l a c e d English, t h e H i n d i s p e a k e r s w o u l d enjoy a natural advantage in d o m i n a t i n g the economic institutions a n d political a u t h o r i t i e s o f t h e n a t i o n .

2 0

T h e d e g r e e i n which this H i n d i

t h r e a t was p e r c e i v e d was g r e a t e r in the s o u t h e r n states t h a n t h e o t h e r states o f t h e federation, a n d , o f t h e s o u t h e r n states, M a d r a s was t h o u g h t to be considerably m o r e t h r e a t e n e d t h a n Mysore a n d Kerala. O n t h e o t h e r h a n d , s o m e n o n - H i n d i states s u p p o r t e d t h e H i n d i policy. I n fact, a c o m p r o m i s e policy w a s r e s o l v e d w h e r e b y H i n d i b e c a m e t h e l a n g u a g e o f official u s e f o r t h e f e d e r a l g o v e r n m e n t , with English serving as an associate l a n g u a g e . T h i s was possible because m o s t l a n g u a g e g r o u p s w e r e willing to c o n s i d e r t h e language

question

in

the

context

of the

o t h e r equally

important

n a t i o n a l q u e s t i o n s . H i n d i l e a d e r s , for e x a m p l e , w e r e also p o l i t i c a l 19.

In t h e p r o c e s s t h e y rarely b r o u g h t o u t t h e d i f f e r e n c e s b e t w e e n t h e c o n c e p t s

o f official l a n g u a g e o f a d m i n i s t r a t i o n , c o m m o n l a n g u a g e o f c o m m u n i c a t i o n , a n d national l a n g u a g e for the limited use of interregional linkage purposes. 2 0 . A detailed e x a m i n a t i o n of the politics of c o n s t i t u t i o n m a k i n g in I n d i a with special r e f e r e n c e to i n t e r - g r o u p conflict a n d c o m p r o m i s e is p r e s e n t e d in R a l p h H. Retzlaff, " T h e C o n s t i t u e n t A s s e m b l y a n d t h e P r o b l e m o f I n d i a n Unity," P h . D . dissertation, Cornell University, 1960.

Ethnicity in India

481

l e a d e r s c o m p e t i n g for o t h e r values besides the status of their lang u a g e , a n d , i n t h i s c o m p e t i t i o n , bv c o n c e d i n g a little o n t h e l a n g u a g e issue, they w e r e closer to attaining o t h e r values. Besides, H i n d i speakers were divided a m o n g themselves, and some of t h e m w e r e e i t h e r p r o - E n g l i s h o r u n c o m m i t t e d t o a policy o f a l i e n a t i n g the o t h e r language groups of the nation. CONSTRAINTS AND DETERMINANTS A p a r t i c u l a r set of situational constraints p r e v e n t e d t h e H i n d i l e a d e r s f r o m a n e x t r e m i s t p u r s u i t o f H i n d i policy. A s s t a t e d e a r l i e r , in spite of Hindi's attaining single-group numerical l a n g u a g e majority

within

the

nation

(30

percent),

the

combined

coalition

strength of the other language groups (Tamil, Telugu, Marathi, G u j a r a t i , B e n g a l i , a n d s o o n ) c o u l d b e i g n o r e d o n l y a t its p e r i l . Also, t h e H i n d i l a n g u a g e was not p e r c e i v e d to be p r e s t i g i o u s by most

non-Hindi

speakers, if not even by

most of the

English-

educated Hindi speakers. At the same time, the Hindi area in India has consistently ranked lower than many other language areas in t e r m s o f l i t e r a c y a n d i n c o m e . T h i s f a c t o r m a k e s H i n d i less a t t r a c tive i n c o m p a r i s o n w i t h s o m e o t h e r I n d i a n l a n g u a g e s . T h e a d v a n tages of H i n d i would seem to be restricted to relative n u m b e r a n d a limited c u r r e n c y of a c o r r u p t form of H i n d i in s o m e I n d i a n nonH i n d i s t a t e s f o r l i m i t e d sets o f t r a n s a c t i o n s . B u t t h e s e a d v a n t a g e s a r e far f r o m o v e r w h e l m i n g . A l o n g w i t h t h e s e s i t u a t i o n a l c o n s t r a i n t s , a set o f p o l i t i c a l f a c t o r s influenced the outcome of language d e m a n d s in the sector of nat i o n a l l a n g u a g e policv. I n t h e first p l a c e , t h e l e g a c y o f t h e political culture of the national m o v e m e n t contributed a sense of the value o f d e m o c r a t i c political c o m p e t i t i o n w i t h i n a n a t i o n a l f r a m e o f politics. S e c o n d , t h e o r g a n i z a t i o n a l legacy o f t h e n a t i o n a l m o v e m e n t left a r e l a t i v e l y d e n s e l a y e r of a s s o c i a t i o n a l activities in w h i c h a n u m b e r o f l a n g u a g e associations r e m a i n e d active p a r t i c i p a n t s for a b o u t half a c e n t u r y a n d c o n t i n u e d after i n d e p e n d e n c e . T h e s e lang u a g e a s s o c i a t i o n s d e r i v e d basic s u p p o r t f r o m t h e i r r e s p e c t i v e l a n g u a g e g r o u p s , b u t their d o o r s w e r e also o p e n t o o u t s i d e r s . T h u s Hindi

organizations

recruited

members

from

non-Hindi

areas

which a c c e p t e d H i n d i as their s e c o n d l a n g u a g e a n d w e r e willing to

482

Jyotirindra

Das

Gupta

e l e v a t e H i n d i t o a s t a t u s o f e i t h e r n a t i o n a l o r official l a n g u a g e . T h i r d , t h e d e m o c r a t i c political s t r u c t u r e o f t h e c o u n t r y a p p e a r e d t o p u t a p r e m i u m o n c o m p r o m i s e , a d j u s t m e n t , a n d n e g o t i a t e d setd e m e n t . T h e r e w e r e o c c a s i o n s w h e n l a n g u a g e politics a s s u m e d viol e n t f o r m , b u t t h e s e r e f l e c t e d m o m e n t s o f i m p a t i e n c e a n d tactics o f o p e n i n g d o o r s o f discussion r a t h e r t h a n a n exclusively p u r s u e d s t r a t e g y o f a c t i o n . Finally, o n e m a y n o t e t h e acts o f s t a t e s m a n s h i p d i s c e r n i b l e i n t h e t o p l e a d e r s h i p o f t h e c o u n t r y . T o cite o n e e x a m p l e , all t h e p r i m e m i n i s t e r s o f I n d i a , s o f a r , h a v e c o m e f r o m t h e H i n d i a r e a , b u t all o f t h e m e v e n t u a l l y s u c c e e d e d i n e v o k i n g t h e t r u s t of t h e n o n - H i n d i politicians by a s s u m i n g a stance of m o d e r a tion, negotiation, compromise, and coordination. STATE-LEVEL DEMANDS If i n t e r - e t h n i c c o o r d i n a t i o n is a r e q u i r e d f o u n d a t i o n of successful a n d d u r a b l e p o l i t i c a l l e a d e r s h i p a n d a u t h o r i t y a t t h e n a t i o n a l level, t h e rules of success seem to t a k e a d i f f e r e n t t u r n w h e n o n e c o n s i d e r s t h e p a t t e r n s o f state-level politics. A t this level i n t e g r a l ethnicity r a t h e r t h a n ethnic pluralism a p p e a r s to supply the domin a n t p r e m i s e o f l a n g u a g e d e m a n d s a n d l a n g u a g e politics. Initially, t h e states of t h e I n d i a n federation i n h e r i t e d the territorial b o u n d a ries o f t h e p r o v i n c e s o f the colonial a d m i n i s t r a t i o n . T h e lines o f b o u n d a r y of these provinces were d r a w n according to the criterion of colonial c o n v e n i e n c e of administration. T h e nationalist m o v e m e n t e n c o u r a g e d instead the criterion of linguistic c o h e r e n c e as t h e basis o f s t a t e s i n i n d e p e n d e n t I n d i a .

Long before indepen-

d e n c e , the o r g a n i z a t i o n of the I n d i a n National C o n g r e s s followed t h e l i n g u i s t i c c r i t e r i o n i n c h a r t i n g t h e l o c a t i o n o f its r e g i o n a l o r ganizational

units.

Regional

leaders

and

people

thus

naturally

e x p e c t e d that t h e a d v e n t of i n d e p e n d e n c e w o u l d initiate a restruct u r i n g of t h e old provinces into new linguistic states. The mained

regional

expectation

unfulfilled

in

some

of reorganization areas

even

after

of provinces some

years

rehad

e l a p s e d s i n c e i n d e p e n d e n c e . I n fact, i m m e d i a t e l y a f t e r i n d e p e n dence,

the

national

leadership

sought

to

put

the

question

of

r e g i o n a l r e o r g a n i z a t i o n o n linguistic l i n e s o n a low o r d e r o f p r i o r ity a n d u r g e n c y i n o r d e r t o c o n c e n t r a t e o n t h e r e o r g a n i z a t i o n o f

Ethnicity in India

483

the national economy and other pressing issues facing a fragile new state based on an extremely underdeveloped economy and desperate p o v e r t y . However, the priority o r d e r i n g of the national authority was rejected by the leaders of several states, especially of those states which contained more than one large language community with distinctly identifiable ethnic enclosure. T h e state of Madras, for example, contained Tamil- and Telugu-speaking communities. Marathi and Gujarati communities were administratively j u x t a p o s e d in Bombay just as Punjab continued an uneasy coexistence of Punjabi and Hindi speakers. It was in Madras that the T e l u g u leadership refused to remain in the combined state and d e m a n d e d a separate state in the federat i o n . T h e center hesitated, and the T e l u g u region grew restless. T h e failure of the national leadership to r e s p o n d to the sensitivity of the regional leadership and the refusal of the f o r m e r to negotiate with the latter led to extensive popular m o v e m e n t a n d violence. In 1952 the formation of A n d h r a Pradesh was conceded a n d the A n d h r a State Act of 1953 legalized the construction of this ethnic h o m e of the T e l u g u speakers. This event set a p r e c e d e n t which s t r e n g t h e n e d the movements for a separate state for the Marathi, Gujarati, a n d the Punjabi speakers, and later for the hill population in A s s a m . T h e Report of the States Reorganization Commission a d o p t e d in a modified form by the States Reorganization Act of 1956 seemed to provide a systematic formula for reconciling the 21

22

23

21.

T h e political strategy o f the national political authority, d o m i n a n t l y s h a r e d

b y the I n d i a n N a t i o n a l C o n g r e s s a t the level o f g o v e r n m e n t a n d party o r g a n i z a tion, was o n e of subjecting the linguistic reorganization issue to a series of studies b y e x p e r t c o m m i s s i o n s like t h e D a r C o m m i s s i o n o f 1 9 4 8 a p p o i n t e d b y t h e C o n s t i t uent A s s e m b l y a n d the J. V. P. C o m m i t t e e of 1 9 4 9 set up by t h e C o n g r e s s party. T h e s e studies o p p o s e d the formation o f linguistic states, a n d the national g o v e r n m e n t , a r m e d with this e x p e r t o p i n i o n , p r o c e e d e d t o treat t h e r e g i o n a l d e m a n d s f r o m t h e p e r s p e c t i v e of administrative rationality rather t h a n political rationality a n d p r u d e n c e . F o r a s u m m a r y o f t h e c o n t r o v e r s i e s o f t h i s p e r i o d , t h e first d e c a d e f o l l o w i n g t h e a d o p t i o n o f t h e c o n s t i t u t i o n , s e e B . L . S u k h w a l , India: A Political Geography ( B o m b a y , A l l i e d P u b l i s h e r s , 22.

1971), pp. 8 3 - 8 6 .

For the complicated context of the evolution of T e l u g u language d e m a n d s

s e e S e l i g S. H a r r i s o n , India: The Most Dangerous Decades ( M a d r a s , O x f o r d U n i v e r sity P r e s s , 1 9 6 0 ) , p p . 2 2 0 - 2 3 7 . 2 3 . S e e B . L . S u k h w a l , India: A Political Geography, p p . 8 7 - 9 8 .

484

Jyotirindra

Das

Gupta

interests of the regional m o v e m e n t s with those of national unity. A s l a t e r e v e n t s d e m o n s t r a t e d , n o s u c h f o r m u l a c o u l d satisfy t h e l a n g u a g e d e m a n d s o f all k i n d s w i t h e q u a l s u c c e s s . B y t r i a l , p r e s s u r e , a n d o c c a s i o n a l v i o l e n c e , r e g i o n a l l a n g u a g e politics o f t h e f i r s t two d e c a d e s led t o t h e e m e r g e n c e o f M a h a r a s h t r a , G u j a r a t , H a r y a n a , P u n j a b , a n d t h e hill s t a t e s o f A s s a m , i n a d d i t i o n t o A n d h r a P r a d e s h . A p a r t f r o m the c r e a t i o n o f linguistic states, regional r e o r g a n i z a t i o n also involved a p p r o x i m a t e e t h n i c h o mogenization of states in a n o t h e r m a n n e r . In m a n y areas, parts of states w e r e t r a n s f e r r e d to o t h e r s in o r d e r to m a k e the existing states m o r e linguistically c o h e r e n t a n d ethnically c o n g r u e n t t h a n they w e r e b e f o r e . Because m a n y of the d e m a n d s for linguistic states w e r e associated with occasional violence, m a n y n a t i o n a l leaders, intellectuals, a n d external observers b e c a m e afraid of the r e o r g a n i z a t i o n issue as a whole; a n d their a t t i t u d e t o w a r d e t h n i c d e m a n d s w e r e inevitably colored by this sense of a l a r m . T h i s a l a r m i s t a t t i t u d e h a s failed t o r e c o g n i z e t h e c o n s t r u c t i v e r o l e o f e t h n i c r e o r g a n i z a t i o n o f s t a t e s a n d its c o n t r i b u t i o n t o l o n g - r a n g e i n t e g r a t i o n of t h e I n d i a n n a t i o n on t h e basis of a s e n s e of c o o r d i nate mutuality. C o m p a r e d to the earlier system of provinces, the l i n g u i s t i c s t a t e s o f I n d i a h a v e n o t p r o v e d t o b e a d m i n i s t r a t i v e l y irr a t i o n a l a t a l l . I t i s difficult t o d i s m i s s t h e s i g n i f i c a n c e o f t h e fact t h a t most of t h e newly carved linguistic states h a v e also b e e n t h e m o s t d e v e l o p m e n t a l l y d y n a m i c states of I n d i a , as, for e x a m p l e , Maharashtra, Gujarat, Punjab, and Haryana. By separating them from o n e another, each has undeniably gained on the point of ethnic p r i d e a n d a u t o n o m y , b u t these a r e also t h e states which h a v e rarely created p r o b l e m s of coordination with the national plan of development. 2 4

It is also i m p o r t a n t t h a t with t h e c r e a t i o n of linguistic states t h e salience of l a n g u a g e d e m a n d s tends to decline a n d the energies of these states a r e c h a n n e l e d t o m o r e p r o d u c t i v e c o m p e t i t i o n a n d coo p e r a t i o n . Within each state, language c o m p e t i t i o n tends to be replaced by o t h e r m o d e s of competition. T h u s , in the south, t h e 24.

Most observers have t e n d e d to c o m p a r e the prospects of linguistic division

o f India with those o f a n idealized portrait o f i n t e g r a t i o n . If o n l y they c o u l d t u r n their attention to a realistic c o m p a r i s o n , their c o n c l u s i o n s m i g h t be very d i f f e r e n t .

Ethnicity in India

485

m o v e m e n t f o r A n d h r a P r a d e s h d u r i n g t h e fifties a s s u m e d s u c h a n intensity that it was u n i m a g i n a b l e that within a d e c a d e l a n g u a g e as a m a r k e r w o u l d h a v e to c o n t e n d with o t h e r claims. T e l u g u nationa l i s m ' s v e r y s u c c e s s i n g a i n i n g a s t a t e m a d e i t o b s o l e t e . I n t h e sixties the T e l u g u speakers became more interested in competing a m o n g t h e m s e l v e s i n class t e r m s ( w i t n e s s t h e p e a s a n t m o v e m e n t s ) , c a s t e terms

(Kamma

and

Reddi

Telengana movement).

2 5

conflicts),

or

regional

terms

(the

I n M a h a r a s h t r a , similarly, M a r a t h i unity

e v o k e d a less r e s p o n s i v e c h o r d i n politics t h a n t h e q u e s t i o n o f r e g i o n a l , class, o r c a s t e d i s p a r i t y w i t h i n t h e s t a t e . W i t h s o m e v a r i a t i o n s , t h e s a m e s t o r y p e r t a i n s i n t h e cases o f t h e T a m i l s t a t e o f Madras,

the

Punjabi

state

of

Punjab

and

the

Hindi

state

of

H a r y a n a . T h e success o f l a n g u a g e d e m a n d s e r o d e d t h e a p p e a l o f l a n g u a g e politics a n d yielded t h e g r o u n d t o o t h e r f o r m s a n d symb o l s o f c o m p e t i t i v e a n d c o o p e r a t i v e politics. STATE LANGUAGE AND MINORITY DEMANDS T h e t h i r d level o f l a n g u a g e d e m a n d s i s c o n c e r n e d w i t h t h e p r o b l e m o f t h e s e l e c t i o n o f a n official l a n g u a g e o f t h e s t a t e s for t h e i r o w n p o p u l a t i o n . S i n c e t h e s t a t e s a r e b a s e d o n t h e l a n g u a g e loyalty o f t h e i r o w n p e o p l e , t h e c h o i c e o f t h e i r off.cial l a n g u a g e h a s n o t p o s e d m u c h o f a political p r o b l e m e x c e p t i n o n e m a j o r r e s p e c t . Even

after

linguistic

reorganization,

each

state contains

sizable

n u m b e r s o f p e o p l e w h o speak o t h e r languages. W h e n these minorities s p e a k t h e l a n g u a g e of a n e i g h b o r i n g state a n d if they are clustered in an area c o n t i g u o u s to the b o r d e r s of that state, they t e n d t o r a i s e p r o b l e m s o f i n t e r - s t a t e a d j u s t m e n t t h a t a r e o f t e n difficult t o s o l v e . T h e M y s o r e - M a h a r a s h t r a d i s p u t e , f o r e x a m p l e , h a s d r a g g e d o n f o r y e a r s , a n d i t h a s yet t o find a c o m p r o m i s e m u t u a l l y acceptable

to b o t h these states.

H o w e v e r , d i s p u t e s o f this k i n d

r a r e l y a f f e c t t h e c o u r s e o f e i t h e r n a t i o n a l life o r t h e s i g n i f i c a n t affairs o f t h e s e s t a t e s . T h e intra-state minority d e m a n d s c o n c e r n e d with t h e l a n g u a g e 25.

F o r details o f A n d h r a politics s e e H u g h Gray, " A n d h r a P r a d e s h , " i n M y r o n

W e i n e r , e d . , Stale Polities i n India ( P r i n c e t o n , P r i n c e t o n U n i v e r s i t y P r e s s . 1 9 6 8 ) . p p . 3 9 9 - 4 3 1 . T h e s a m e v o l u m e also has a n e x c e l l e n t c h a p t e r o n t h e d e v e l o p m e n t o f M a h a r a s h t r i a n politics p r e p a r e d by R a m Joshi in p p . 1 7 7 - 2 1 4 .

486

Jyotirindra

Das

Gupta

of a d m i n i s t r a t i o n , i n s t r u c t i o n , a n d j u d i c i a l p r o c e e d i n g s u s u a l l y involve c l a i m s t o g r a n t a c c e p t a n c e o f m i n o r i t y l a n g u a g e f o r t h e s e purposes. Again, if the particular minority language claiming functional recognition h a p p e n s to be a majority l a n g u a g e of a neighb o r i n g s t a t e a n d i f t h e size o f this m i n o r i t y i s s u b s t a n t i a l , i t r a i s e s difficult political p r o b l e m s o f i n t e r - e t h n i c r i v a l r y ,

i n c l u d i n g vio-

lence. T h e chain of violence over the years intermittently continuing in Assam over t h e rights of the Bengali minority m a y be cited as one example.

2 6

T h e politics o f U r d u d e m a n d s i n v a r i o u s s t a t e s 1

provides another example.

In general, however, language d e m a n d s of these minorities are u s u a l l y d i r e c t e d t o s e c u r i n g facilities o f i n s t r u c t i o n i n t h e i r o w n l a n g u a g e s a t v a r i o u s levels o f e d u c a t i o n , w i t h a s p e c i a l e m p h a s i s o n t h e s c h o o l level. U s u a l l y , t h e s e d e m a n d s a r e a d v o c a t e d b y o r g a nized associations a n d most often o n e target of these associations is t h e s t a t e a d m i n i s t r a t i o n . S i n c e t h e y claim a s m a l l p a r t o f t h e r e s p e c tive s t a t e ' s r e s o u r c e s , i t h a s n o t b e e n difficult t o r e a c h a n e g o t i a t e d settlement. O n l y in cases of persistent denials, minorities seek t h e intervention of the national government. As it worked out in the case of the U r d u d e m a n d s in Uttar Pradesh, federal intervention p r o d u c e d the desired result. T h i s solution is interesting because language d e m a n d s are normally e x p e c t e d to e m e r g e from large l a n g u a g e c o m m u n i t i e s w h o d i r e c t s u c h d e m a n d s t o t h e n a t i o n a l political a u t h o r i t y . T h e b u r d e n of satisfying these d e m a n d s is on t h e latter. It is n a t u r a l that in t h e process of negotiation, language communities assume the stance of defenders of a u t o n o m y a n d language rights. But when the same communities attain a u t o n o m y and authority, they carry the b u r d e n o f satisfying t h e

language

d e m a n d s of minorities

in

their own

states. On occasions w h e n thev prove to be u n r e s p o n s i v e to these d e m a n d s , the minorities look to the national authorities for rem i n d i n g the states of t h e i r n e e d to be responsive. 26.

T h e l a n g u a g e riots i n A s s a m i n 1973 a n d earlier h a v e not b e e n s u b j e c t e d t o

serious scholarly e x a m i n a t i o n . O n e recent account analyzes the A s s a m situation in an e x t r e m e l y perceptive way: A n n a d a s h a n k a r Ray, "Chira C h e n e h i M o r B h a s h a J a n a n i , " i n Desk ( A p r i l 2 8 , 1 9 7 3 ) , p p . 1 2 7 7 - 1 2 8 4 (in B e n g a l i ) .

Ethnicity in India

487

LANGUAGE DEMANDS AND NATIONAL DEVELOPMENT T h e levels o f l a n g u a g e d e m a n d s d i s c u s s e d a b o v e

2 7

imply that

t h e e t h n i c s o u r c e o f l a n g u a g e d e m a n d s tells u s v e r y little a b o u t t h e course and consequence of such d e m a n d s .

Language demands,

especially in d e v e l o p i n g nations, c a n n o t be i n f e r r e d f r o m the nature of language groups. These groups tend to make d e m a n d s o n l y w h e n social m o b i l i z a t i o n o f f e r s c o m p e t i t i v e o p p o r t u n i t i e s a n d values. In this sense l a n g u a g e d e m a n d s a r e a function of e c o n o m i c , social, a n d p o l i t i c a l d e v e l o p m e n t . S i m i l a r l y , t h e p u b l i c a u t h o r i t i e s to w h o m these d e m a n d s are a d d r e s s e d are p r o d u c t s of similar dev e l o p m e n t a l p r o c e s s e s . H o w t h e s e d e m a n d s will b e p r o c e s s e d d e p e n d s l a r g e l y o n t h e r e l a t i v e n e g o t i a b i l i t y o f t h e d e m a n d s , t h e style a n d organization o f d e m a n d articulation, a n d the willingness a n d capability of the developing authorities to process t h e m . It is often a r g u e d that the n e w states are incapable of processing l a n g u a g e d e m a n d s b e c a u s e t h e s e d e m a n d s a r e n o t cast i n n e g o t i a - ble t e r m s a n d also b e c a u s e t h e s e states a r e so fragile to start with. H e n c e , e i t h e r these states s h o u l d s u p p r e s s such d e m a n d s o r these d e m a n d s will d e v o u r t h e s t a t e . T h i s n o t i o n i s s u g g e s t e d b y t h e p r e m i s e t h a t l a n g u a g e d e m a n d s a r e i n h e r e n t l y divisive, i f n o t d i s i n tegrative.

As we have seen in

this d i s c u s s i o n , this i s a n o v e r -

s i m p l i f i c a t i o n d e r i v e d f r o m a false o p p o s i t i o n b e t w e e n e t h n i c i t y a n d t h e l o g i c o f n a t i o n a l i n t e g r a t i o n . If, o n t h e o t h e r h a n d , w e a s s u m e t h e v a r i a b l e possibilities o f e x p r e s s i o n , o r g a n i z a t i o n , a n d p r o cessing of such d e m a n d s , we can w o r k o u t a t h r e s h o l d w h e r e given certain c o n d i t i o n s , l a n g u a g e d e m a n d s c a n s t r e n g t h e n t h e fabric o f a n e w n a t i o n a n d its s t r u c t u r e s o f a u t h o r i t y a n d p a r t i c i p a t i o n . O f c o u r s e , t h e r e i s a possibility t h a t l a n g u a g e d e m a n d s c a n o u t w e i g h the

processing

capability

of

the

national

authority

and

thus

t h r e a t e n a n a t i o n . B u t this m a y b e t r u e e q u a l l y o f d e m a n d s d e r i v e d 27.

I h a v e n o t d i s c u s s e d i n this p a p e r t h e f o u r t h level o f l a n g u a g e d e m a n d s , e x -

cept implicitly as they are m e s h e d in with the o t h e r levels, because the l a n g u a g e d e m a n d s c o n c e r n i n g education, e m p l o y m e n t , and communication require a separate s t u d y w h i c h c a n n o t b e i n c o r p o r a t e d w i t h i n the s c o p e o f this p a p e r . A forthc o m i n g p a p e r will b e d e v o t e d t o this l e v e l .

488

Jyotirindra

Das

Gupta

f r o m n o n - e t h n i c b a s e s a s well. T h e l a b e l s o f l a n g u a g e o r e t h n i c i t y d o n o t n e c e s s a r i l y i n v e s t a n y p a r t i c u l a r l y divisive o r d i s i n t e g r a t i v e property on d e m a n d s . W h e n disintegrative consequences e m e r g e , chances are they are d e t e r m i n e d by a variety of systemic a n d p r o c e s s u a l v a r i a b l e s o f politics c a u s a l l y u n r e l a t e d t o e i t h e r e t h n i c i t y o r p r i m o r d i a l i t y . T h e e t h n i c basis o f l a n g u a g e d e m a n d s i s less significant t h a n the particular definition of l a n g u a g e interest selected a n d promoted

by

organized

leadership,

t h e i r success

in

mobilizing

m e m b e r s of their c o m m u n i t y , their interaction with o t h e r g r o u p s , t h e n a t u r e o f t h e r u l e s o f politics, t h e s t r u c t u r e s o f a u t h o r i t y , p a r t i c i p a t i o n , a n d n e g o t i a t i o n , a n d t h e c a p a b i l i t y o f t h e political a u thority to process d e m a n d s . Careful a n d systematic studies of these f a c t o r s will h e l p u s d i s c e r n t h e c o m p l e x i t i e s a s s o c i a t e d w i t h l a n guage d e m a n d s and their probable consequences on national development.

16 L U C I A N W . PYE

China: Ethnic Minorities and National Security

A m o n g all t h e v a r i e d c a s e s o f t h e r e l a t i o n s h i p o f e t h n i c i t y a n d p o l itics C h i n a i s u n i q u e b e c a u s e o f t h e d e g r e e t o w h i c h n a t i o n a l s e c u rity c o n s i d e r a t i o n s h a v e t r a n s f o r m e d o n c e t o l e r a b l e r e l a t i o n s i n t o delicate a n d potentially explosive matters. E l s e w h e r e in the world societies h a v e e i t h e r l o n g lived w i t h e t h n i c t e n s i o n s o r t h e p r o c e s s of m o d e r n i z a t i o n has b r o u g h t to light new tensions as d e m a n d s for j u s t i c e a n d e q u i t y m a g n i f y all l i n g e r i n g d i f f e r e n c e s . I n t h e p a s t i n China the minorities were either overwhelmed by the H a n majority, w h i c h h a d its o w n s i g n i f i c a n t r e g i o n a l a n d d i a l e c t d i f f e r e n c e s , or s t r o n g e n o u g h in their g e o g r a p h i c a l isolation, as in T i b e t a n d O u t e r M o n g o l i a , t o b e left a l o n e b y w e a k C h i n e s e g o v e r n m e n t s . A s t h e C o m m u n i s t s b e g a n g o v e r n i n g the issue o f t h e "national m i n o r i t i e s " h a d t o yield t o t h e s p i r i t o f C h i n e s e n a t i o n a l i s m , f i r s t d u r i n g t h e J a p a n e s e w a r a n d s e c o n d d u r i n g t h e c o n f r o n t a t i o n with the Soviet U n i o n . F o r r e a s o n s which s p r i n g f r o m d e e p within t h e Chinese spirit a n d which w e r e r e i n f o r c e d d u r i n g t h e e r a of Western encroachment and of the "Unequal Treaties," the H a n Chinese have d e v e l o p e d a powerful sense of their territorial identity, which, s o m e m i g h t say, o v e r r i d e s t h e i r s e n s e o f c u l t u r a l i d e n t i t y . T h e c o n c e n t r a t i o n o f m i n o r i t i e s i n b o r d e r t e r r i t o r i e s i s a t t h e h e a r t o f this linkage of ethnic a n d national security questions. It has b e e n considerations of national security w h i c h h a v e forced t h e C h i n e s e t o v a c i l l a t e i n t h e i r m i n o r i t i e s p o l i c i e s . S e c u r i t y policies have

been

for the

Chinese

the

functional

equivalent of indus-

490

Lucian

W.

Pye

trialization for o t h e r societies in elevating t h e i m p o r t a n c e of assimilation a n d the desirability of having a m o r e h o m o g e n e o u s culture. T h e Chinese Communists have moved from espousing the right of self-determination to tolerating only surface cultural differences. B u t b e f o r e I analyze these c u r r e n t d e v e l o p m e n t s a few w o r d s a b o u t the traditional Chinese minorities p r o b l e m a r e in o r d e r . Historically

all

who

lived

beyond

the

pale of Chinese

civilization

t e n d e d to a s s u m e that the Chinese were blessed with a h o m o g e n e o u s c u l t u r e a n d a c o m m o n racial s t o c k . T h e C h i n e s e t h e m s e l v e s , in their r e v e r e n c e for their ancestors a n d t h e i r r e f e r e n c e to their multitudes as being of the "old h u n d r e d s u r n a m e s , " s e e m e d to s t r e s s t h e i r c o m m o n b i o l o g i c a l ties. A s k n o w l e d g e o f C h i n a g r e w , foreigners began to discover that behind the Chinese posture to t h e w o r l d t h e r e w e r e i n fact i m p o r t a n t i n t e r n a l d i v i s i o n s . Divisions of significance, however, d i d n o t s e e m to c h a l l e n g e t h e biological unity o f t h e H a n p e o p l e . I n t h e m o d e r n e r a o u t s i d e r s l e a r n e d a b o u t regional differences, particularly b e t w e e n the ricegrowing south and the wheat-growing north, and further, between t h e m o r e c o s m o p o l i t a n , u r b a n coastal peoples a n d t h e m o r e p a r o c h i a l a n d r u r a l i n t e r i o r p e o p l e s . Finally, m o d e r n C h i n e s e politics was increasingly s e e n in t e r m s of clashes b e t w e e n classes: of p e a s a n t against l a n d l o r d , of soldiers against scholars, of m o d e r n i z e d professions against traditional interests. An extensive literature has analyzed the divisions which have played so i m p o r t a n t a role in the " C h i n e s e r e v o l u t i o n " o f t h e last h u n d r e d y e a r s , b u t a m o n g t h e m one did not find ethnic problems. Cursed by a thousand problems o n its r o a d t o m o d e r n i z a t i o n , C h i n a s e e m e d t o h a v e b e e n s p a r e d that ultimate c h a l l e n g e to national unity, e t h n i c division a n d c o n flict. It is true that almost as soon as the C h i n e s e m o v e d o u t of their national

homeland

and

established

overseas communities, espe-

cially i n S o u t h e a s t A s i a , i t b e c a m e a p p a r e n t t o all t h a t t h e r e w e r e differences a m o n g the Chinese. As the Chinese sorted themselves o u t a m o n g b e n e v o l e n t associations a n d secret societies, o b s e r v e r s w e r e left g r o p i n g f o r t h e r i g h t w o r d s t o d e s c r i b e t h e d i f f e r e n c e s a m o n g t h e m . T h e British i n Malaya a n d t h e D u t c h i n the I n d i e s tried for a while to u s e such terms as " t r i b e " a n d "lineage" b e f o r e

Ethnic Minorities in China

settling on "dialect g r o u p " a n d "community."

491

1

T o this d a y consid-

e r a b l e c o n f u s i o n r e m a i n s a s t o w h e t h e r t h e r e i s a n y l e g i t i m a t e basis f o r classifying d i f f e r e n t C h i n e s e i n Malaysia a n d S i n g a p o r e . It is t h e r e f o r e a p p r o p r i a t e in b e g i n n i n g o u r analysis of "nat i o n a l " m i n o r i t i e s i n C h i n a t o n o t e briefly t h e p r o b l e m o f classifying the differences a m o n g the Chinese immigrants from A m o y as H o k k i e n s , from Swatow as Tiechius, from H a i n a n as Hailams, and the Kheds from Kwangtung and Fukien as Hakkas, and so forth.

For Westerners t h r o u g h the generation of Victor Purcell

t h e s e d i s t i n c t i o n s c a u s e d n o t r o u b l e f o r all c o u l d b e e q u a l l y t r e a t e d as tribes. S u b s e q u e n t scholars, however, have severe p r o b l e m s . T h e v a r i o u s g r o u p s h a v e all t h e social a t t r i b u t e s u s u a l l y a s s o c i a t e d w i t h ethnic differences:

they

have different spoken

languages,

they

m a r r y a m o n g t h e m s e l v e s , t h e y p u r s u e d i f f e r e n t skills a n d o c c u p a t i o n s , t h e y t r u s t t h o s e o f like i d e n t i f i c a t i o n o v e r o t h e r s , a n d f i n a l l y a n d a b o v e all, t h e y a c c e p t a s a basic f e a t u r e o f t h e i r p e r s o n a l i d e n tification t h e i r ties w i t h a d i s t i n c t i v e c o m m u n i t y . H o w e v e r outsiders, a n d especially t h e British, may h a v e b e e n m a k i n g too m u c h of the parochialism of Chinese w h o , in spite of all b e i n g H a n , h a v e t h e i r local d i f f e r e n c e s i n l a n g u a g e a n d c u s t o m . B u t t h e p r o b l e m c a n n o t b e s o easily d i s m i s s e d b e c a u s e a m o n g t h e d i f f e r e n t c o m m u n i t i e s t h e r e a r e s o m e , specifically t h e H a k k a s o r K h e d s , t h a t h i s t o r i a n s a n d a n t h r o p o l o g i s t s w o u l d say a r e i n d e e d ethnographically "more different" from the Central H a n Chinese t h a n o t h e r s . M o r e i m p o r t a n t , all C h i n e s e i n a s u b t l e m a n n e r k n o w t h a t t h e H a k k a s a r e a special m i n o r i t y g r o u p . O n l y t h e v e r y h i g h l y t r a i n e d o u t s i d e o b s e r v e r , a n d a n y i n s i d e r , c a n tell t h a t t h e H a k k a s are distinctive. I n a s t r a n g e f a s h i o n this p e c u l i a r c h a r a c t e r o f t h e H a k k a s i n Malaysia is typical of the m o r e g e n e r a l p r o b l e m of m i n o r i t i e s in China. F r o m o n e perspective m a n y o f t h e m d o not seem that dist i n c t i v e : f r o m a n o t h e r t h e r e i s n o q u e s t i o n o f t h e i r b e i n g o f a diff e r e n t c a t e g o r y . P u s h i n g f u r t h e r t h e m o d e l o f t h e H a k k a s , this h a s 1.

It is n o t e w o r t h y that the E n g l i s h m a n most closely identified with t h e aspira-

tions of the C h i n e s e in Malaya i m m e d i a t e l y after World W a r II, Victor Purcell, still u s e d t h e d e s i g n a t i o n o f " t r i b e s . " S e e V i c t o r P u r c e l l , The Chinese i n Southeast Asia ( L o n d o n , O x f o r d U n i v e r s i t y P r e s s ,

1951).

492

Lucian

W.

Pye

m e a n t t h a t u n d e r s o m e conditions i t h a s b e e n easy for t h e H a k k a s t o a s s i m i l a t e u n d e r t h e g e n e r a l label o f o v e r s e a s C h i n e s e , w h i l e u n d e r o t h e r s they have m a i n t a i n e d their distinctive identities. Similarly, with t h e minorities in the h o m e c o u n t r y it has at times s e e m e d as t h o u g h assimilation into t h e larger c o m m u n i t y was a n a t u r a l process, while at o t h e r times t h e technically n o n - H a n p e o ple h a v e s e e m e d to be distinct ethnic c o m m u n i t i e s with m o r e t h a n j u s t t h e c u s t o m a r y regional a n d dialect differences. T h e s e considerations have m e a n t that in m o d e r n times Chinese g o v e r n m e n t s have been somewhat ambivalent over the question of w h e t h e r i n fact t h e y d o o r d o n o t h a v e p e c u l i a r p r o b l e m s w i t h e t h nic m i n o r i t i e s . O n t h e o n e h a n d , the major divisions o f C h i n e s e society i n v o l v i n g r e g i o n a n d d i a l e c t h a v e s o t h r e a t e n e d t h e u n i t y o f t h e c o u n t r y t h a t u n t i l t h e C o m m u n i s t r e g i m e t h e r e w a s little t i m e left o v e r f o r w o r r y i n g a b o u t e t h n i c m i n o r i t i e s . O n t h e o t h e r h a n d , w h e n e v e r C h i n e s e officials d i d h a v e t o c o n f r o n t t h e fact o f s u c h m i n o r i t i e s t h e y a c c e p t e d t h e i r n o n - H a n c h a r a c t e r a n d felt t h e n e e d for special policies. D u r i n g the period w h e n the Nationalist g o v e r n m e n t was able to set policies, t h e a s s u m p t i o n was that m o s t minorities, a n d m o s t p a r ticularly those in the s o u t h w e s t , were historical r e m n a n t s , living with b a c k w a r d c u l t u r e s , w h o w o u l d s o o n b e a s s i m i l a t e d i n t o H a n civiliz a t i o n o n c e C h i n a a s a w h o l e h a d r e g a i n e d its r i g h t f u l c l a i m t o greatness in the international arena. Such aborigines as the Miao, Pai, T u n g , a n d t h e Y i o r Lolo, w h o h a d for t h o u s a n d s o f years r e s i s t e d a s s i m i l a t i o n i n t o C h i n e s e civilization, w o u l d b e , i t was b e l i e v e d , e a s y t o a s s i m i l a t e i f o n l y t h e g o v e r n m e n t c o u l d g e t its p o l i cies f o c u s e d . T h e l a r g e r m i n o r i t i e s s u c h a s t h e T i b e t a n , U i g h u r s , a n d M o n g o l s w e r e r e c o g n i z e d a s b e i n g m o r e difficult t o a s s i m i l a t e but ultimately they too would come to recognize the superiorities of Chinese culture. T h e c o n f i d e n c e o f C h i n e s e N a t i o n a l i s t officials i n t h e all e n v e l o p i n g p o w e r s o f a s s i m i l a t i o n w a s fully t h e m a t c h o f t h e faith o f E u r o p e a n colonialists i n t h e u l t i m a t e victory o f t h e i r m o r e " a d v a n c e d " civilization, o r t h e o n c e u n d a u n t e d c o n f i d e n c e o f A m e r i c a n s i n t h e a s s i m i l a t i n g p o w e r s o f A m e r i c a n society. W h e n t h e C h i n e s e N a tionalists i n t r o d u c e d H a n l a n g u a g e a n d s o u g h t t o s p r e a d H a n

Ethnic Minorities in China

493

C h i n e s e schooling they w e r e a c t i n g with t h e n o t s u r p r i s i n g e x p e c t a t i o n s o f t h o s e w h o a r e b e t t e r o f f m a t e r i a l l y t h a t t h o s e w h o a r e less well o f f will w e l c o m e c h a n g e . E v i d e n c e o f r e s i s t a n c e t o H a n c u l t u r e w a s i g n o r e d , o r a t least n o t p u b l i c i z e d , a n d t h e a r g u m e n t w a s m a d e that simply m o r e time a n d m o r e resources would be necessary to accomplish the inevitable. T h e Nationalists' goal of Sinicizing the minorities was frustrati ng l y s i m i l a r t o t h a t o f m a n y o t h e r c o l o n i a l e f f o r t s , i n s p i t e o f t h e fact t h a t i t all o c c u r r e d w i t h i n

the acknowledged

territories of

China. As in m a n y colonial situations the N a n k i n g g o v e r n m e n t ' s first i n s o l u b l e p r o b l e m w a s t h a t o f f i n d i n g a n a d m i n i s t r a t i v e h a n dle with which to apply leverage in o r d e r to influence a n d o r g a n i z e t h e d i f f e r e n t m i n o r i t i e s . H i s t o r i c a l l y t h e C h i n e s e h a d u s u a l l y followed policies of various f o r m s of "indirect r u l e , " in t h e sense of relying u p o n

minority leadership and

their own

institutions of

p o w e r . W h e n t h e Nationalists followed such m e t h o d s t h e y discovered

that the

minority

leaders

usually displayed

g r e a t skills i n

b u i l d i n g t h e i r o w n p o w e r s w h i l e o b s t r u c t i n g t h e C h i n e s e policies they o p p o s e d . W h e n the Nationalists sought to ignore or break d o w n traditional minority authority systems they usually could find n o o n e t o c o o p e r a t e with t h e m . J u s t a s i n t h e c a s e o f c o l o n i a l a u t h o r i t i e s , t h e N a t i o n a l i s t s fell back u p o n t h e h o p e that by o f f e r i n g desirable, if n o t d e s i r e d , services t h e y m i g h t w i n o v e r t o i n e v i t a b l e a s s i m i l a t i o n t h e s t u b b o r n minorities.

H e n c e they i n t r o d u c e d into minority areas hospitals

a n d schools a n d s o u g h t q u i t e explicitly t o e m u l a t e t h e practices o f Western missionaries.

2

With respect to the larger minorities, the Nationalists had, as m i g h t b e e x p e c t e d , e v e n less s u c c e s s i n t h e i r g o a l s o f a s s i m i l a t i o n . While they w e r e in power, t h e N a n k i n g g o v e r n m e n t h a d to accept the d e facto a u t o n o m y o f T i b e t .

3

In

1928, w h e n the Nationalists

were establishing their r e g i m e , they sent a mission to T i b e t which 2. David

M.

Deal, "Peking's Policies

towards Ethnic

Minorities in Southwest

China, 1927 to 1965," m i m e o g r a p h e d paper given at Northwest Regional Seminar on China, University of Washington, April 2 8 - 2 9 , 1972. 3. Alfred

P . R u b i n , " T h e P o s i t i o n o f T i b e t i n I n t e r n a t i o n a l L a w , " China Quar-

terly, n o . 3 5 ( J u l y - S e p t e m b e r 1 9 6 8 ) ,

110-154.

494

Lucian

W.

Pye

failed t o c o n v i n c e t h e L h a s a a u t h o r i t i e s o f t h e m e r i t s o f j o i n i n g t h e C h i n e s e Republic; a n d o n t h e eve o f t h e K u o m i n t a n g d e p a r t u r e f r o m t h e m a i n l a n d t h e y failed t o o b t a i n t h e c o n s e n t o f T i b e t a n officials to the application to Tibet of the new Chinese constitution. T h e Nationalists n e v e r gave u p the claim that T i b e t b e l o n g e d t o China; they were simply incapable of deploying e n o u g h force to compel the Tibetans to acknowledge Chinese rule. A m o r e c o n s p i c u o u s f a i l u r e o f t h e N a t i o n a l i s t s w a s t h e i r inability to u p h o l d Chinese claims to O u t e r Mongolia. H e r e failure m e a n t t h e loss o f t e r r i t o r y a n d t h u s a d r a m a t i c i n d i c a t i o n t h a t m i n o r i t y p r o b l e m s m i g h t be linked to security considerations, a m a t t e r that has become increasingly a central concern in Chinese "national minorities" policies. B u t before c o m i n g to t h e p r e s e n t we s h o u l d c h a r t briefly t h e h i g h p o i n t s i n C h i n e s e C o m m u n i s t p o l i c i e s t o w a r d minority people. FROM IDEOLOGY TO SECURITY CALCULATIONS From

the

inception

of their party,

the

Chinese

Communists

a d o p t e d Lenin's views t h a t "national m i n o r i t i e s " s h o u l d h a v e t h e right of secession, b u t the "proletariat" should seek to consolidate ever larger units of rule a n d hence should work to diminish any desire for separation. At the Second Party C o n g r e s s , w h e n they w e r e i n close c o n t a c t w i t h t h e C o m i n f o r m , t h e C h i n e s e f o r n o r e a s o n r e l a t i n g t o local i s s u e s p r o c l a i m e d t h e d o c t r i n e o f r e g i o n a l :

a u t o n o m y f o r " n a t i o n a l m i n o r i t i e s . " T h i s L e n i n i s t c o n c e p t w as l a t e r sanctified in t h e

1931

constitution of t h e Kiangsi Soviet, w h i c h

proclaimed "the right of self-determination of the national minorities i n C h i n a , t h e i r r i g h t t o c o m p l e t e s e p a r a t i o n f r o m C h i n a , a n d t h e formation of an i n d e p e n d e n t state for each minority nationality." « As a result of the L o n g March, which carried the Red A r m y t h r o u g h several minority p o p u l a t e d territories, t h e C h i n e s e C o m m u n i s t s d i s c o v e r e d t h a t t h e politics o f m i n o r i t y i n t e r e s t s w a s c o m 4.

B r a n d t , S c h w a r t z , a n d F a i r b a n k , A Documentary History of Chinese Communism

( N e w York, A t h e n e u m , 1966), p. 2 1 7 , as q u o t e d by J u n e Dreyer, "China's Minority N a t i o n a l i s t s i n t h e C u l t u r a l R e v o l u t i o n , " China Quarterly, n o . 3 5 ( J u l y - S e p t e m ber, 1968), 97.

Ethnic Minorities in China

495

plicated a n d that ideological proclamations were n o t e n o u g h to win o v e r p e o p l e w i t h d e e p h i s t o r i c d i s t r u s t o f H a n p o w e r . First t h e y h a d t o bribe t h e i r way t h r o u g h Lolo t e r r i t o r y ,

5

a n d t h e n they had

to m a k e their way t h r o u g h Eastern Tibet against a completely hos6

tile p o p u l a t i o n . E x p e r i e n c e a s c o n t r a s t e d t o i d e o l o g y w a s s u c h t h a t by t h e time t h e C o m m u n i s t s c a m e to p o w e r their earlier ideal of a f e d e r a t e d state h a d given way to an a p p r e c i a t i o n of t h e value of a unitary state.

After

rights of secession

1949 the and

Chinese stopped speaking of the

recognized only

the

possibility

of "au-

tonomous regions." I t was p o s s i b l y i n t h e a r e a o f t h e " n a t i o n a l q u e s t i o n " t h a t t h e C h i n e s e m a d e t h e f i r s t explicit b r e a k f r o m the Leninist t r a d i t i o n i n that they openly rejected Lenin's principle of "self-determination" a n d the right o f secession. T h e C h i n e s e a r g u e d that t h e e x p e r i e n c e o f t h e J a p a n e s e w a r h a d u n i t e d all e l e m e n t s i n s u p p o r t o f t h e C h i n e s e r e v o l u t i o n a n d t h e r e f o r e , " I t was i n a c c o r d w i t h t h i s n o b l e wish o f t h e p e o p l e o f all n a t i o n a l i t i e s t h a t t h e C h i n e s e C o m m u n i s t Party advocated the carrying o u t of the principle of nationalistic equality a n d national regional a u t o n o m y within t h e unity of the great the

family o f t h e slogan

motherland

of national

and

discontinued

self-determination

and

emphasizing

federalism.

Con-

sequently, t h e q u e s t i o n of national division or national s e p a r a t i o n does not even arise in present-day circumstances: such schemes w o u l d i n e v i t a b l y m e e t with t h e v i o l e n t o p p o s i t i o n o f t h e b r o a d m a s s e s of n a t i o n a l i s t s . . . A n y o n e w i s h i n g to a d v a n c e [ t h e s l o g a n of national separation] could only expect to find himself completely isolated."

7

O n c e t h e C o m m u n i s t s h a d t h e r e s p o n s i b i l i t y f o r r u l i n g all o f C h i n a , t h e i r policies t o w a r d t h e minorities took u p f r o m w h e r e t h e N a t i o n a l i s t s h a d left off. W i t h e v e n g r e a t e r v i g o r t h a n t h e i r p r e d e cessors the C o m m u n i s t s s o u g h t to b r i n g t h e "benefits of p r o g r e s s " t o all m i n o r i t i e s . I t w a s a c k n o w l e d g e d , a t least initially, t h a t m i n o r 5 . N y m W a l e s , Red Dust ( S t a n f o r d , S t a n f o r d U n i v e r s i t y P r e s s ,

1 9 5 2 ) , p. 7 1 .

6 . E d g a r S n o w , Red Star over China ( N e w Y o r k , R a n d o m H o u s e ) , p . 2 0 4 .

7. C h a n g C h i h - i , A Discussion of the National Question in the Chinese Revolution, t r a n s , in G e o r g e M o s e l y , The Party and the National Question in China ( C a m b r i d g e , M.I.T. Press, 1966), p p . 6 8 - 6 9 .

496

Lucian

W.

Pye

ity p e o p l e s w o u l d h a v e t o b e t r e a t e d a c c o r d i n g t o a s l o w e r t i m e t a ble t h a n H a n p e o p l e , but as the confidence of the C o m m u n i s t s g r e w , b e f o r e t h e failures o f t h e G r e a t L e a p b e c a m e a p p a r e n t , they b e c a m e c o n v i n c e d t h a t i n a m a t t e r o f a few y e a r s t h e y s h o u l d b e able to assimilate t h e smaller minority peoples into the m a i n s t r e a m o f C h i n e s e life. D u r i n g this p e r i o d , m e n w h o h a d s t u d i e d a n d w o r k e d with t h e national minorities, m o s t notably t h e f a m o u s a n t h r o p o l o g i s t Fei H s i a o - t ' u n g , w e r e a c c u s e d o f h a v i n g failed b e f o r e " l i b e r a t i o n " b o t h t o s h o w r e s p e c t f o r m i n o r i t y c u s t o m s a n d t o facilit a t e m i n o r i t y p r o g r e s s . First t h e s e s c h o l a r s a n d l a t e r t h e C o m m u nist g o v e r n m e n t w e r e c o n f r o n t e d with t h e a w k w a r d task o f f i n d i n g a c l e a r p a t h b e t w e e n t h e s e t w o c o n t r a d i c t o r y policy r e q u i r e m e n t s . H o w w a s i t p o s s i b l e t o r e s p e c t t h e m i n o r i t i e s a n d a v o i d t h e evils o f " H a n c h a u v i n i s m " while at t h e s a m e t i m e s e e k i n g to revolutionize t h e minorities a n d b r i n g t h e m into t h e world o f socialism? With the Great Leap, and d u r i n g succeeding years of the early 1960s, the p r e s s u r e s for assimilation increased a n d c o n c e r n o v e r manifestations of " H a n chauvinism" declined. In part the attitude of the regime c h a n g e d because of the shock of discovery that the m e r e act o f s p r e a d i n g t h e w o r d o f t h e N e w Socialist C h i n a w a s n o t e n o u g h to cause the minorities to d r o p their " f e u d a l " ways a n d enthusiastically j o i n i n the w o r k e r s ' a n d peasants' revolution. T o win over the smaller minorities would require the vigorous application o f m o r e explicitly a s s i m i l a t i o n i s t policies w h i c h , a l t h o u g h m o r e effectively i m p l e m e n t e d , r e p r e s e n t e d t h e logical a n d h i s t o r i c a l c o n t i nuity of the p r o g r a m of the Nationalists a n d previous C h i n e s e governments. In

part, however, the Peking authorities had to change their

a p p r o a c h toward the national minorities because of the d r a m a t i c resistance of the T i b e t a n s .

8

O n c e t h e decision was t a k e n to assert

Chinese authority in Tibet, it became necessary to deploy military f o r c e a n d this i n t u r n left t h e C h i n e s e w i t h n o a l t e r n a t i v e t o b r e a k ing down traditional forms of authority a n d imposing H a n leadership over the T i b e t a n s . Inexorably the goal of s p r e a d i n g revolu8.

For an account of the Tibetan revolt which is sympathetic to the T i b e t a n s

a n d b a s e d o n i n t e r v i e w s w i t h t h e i r l e a d e r s , s e e G e o r g e N . P a t t e r s o n , Tibet i n Revolt ( L o n d o n , Faber and Faber, 1960).

Ethnic Minorities in China

tionary

progress

to

all

within

497

the

domain

of

what

Peking

c o n s i d e r e d C h i n a raised tensions b e t w e e n the niceties of f o r m s a n d t h e realities of p o w e r . In 1962 t h e C h i n e s e established t h e T i b e t a n A u t o n o m o u s Region, which in practice m e a n t the introduction of H a n c a d r e s t o p r o v i d e t h e steel f r a m e w o r k o f a d m i n i s t r a t i o n . T h e p a t t e r n was t h e s a m e as that in 1947 w h e n t h e I n n e r M o n g o l i a n A u t o n o m o u s Region was established a n d in

1955 w h e n t h e Sin-

k i a n g U i g h u r A u t o n o m o u s R e g i o n was r e c o g n i z e d . I n these a r e a s t o t h e n o r t h a n d west the f o r m o f " i n d i r e c t r u l e " w a s a c c o m p a n i e d b y policies o f e n c o u r a g i n g t h e i n - m i g r a t i o n o f H a n settlers, t h e e x p a n s i o n of central administrative authority, a n d c e a s e l e s s e f f o r t s t o p o i n t o u t t h a t t h e f u t u r e lay u n a m b i g u o u s l y w i t h t h e r o a d o f p r o g r e s s d e f i n e d b y P e k i n g . T h a t i s t o say, e v e n t h o u g h o n t h e s u r f a c e t h e C o m m u n i s t s a p p e a r e d t o g i v e g r e a t e r legitimacy to the " a u t o n o m y " of the largest minorities t h a n h a d the Nationalists, in practice their objective was to s t r e n g t h e n China's t e r r i t o r i a l c l a i m s , i n p a r t b y s t i m u l a t i n g S i n i f i c a t i o n . C o m m u n i s t capabilities e n s u r e d a m o r e c o m p l e t e p e n e t r a t i o n b y t h e H a n o f the T i b e t a n , U i g h u r , a n d M o n g o l societies a n d raised t h e p r o s p e c t that even if assimilation were not at h a n d , administrative integration was. Earlier Chinese g o v e r n m e n t s h a d s o u g h t to e n c o u r a g e the mig r a t i o n o f H a n p e o p l e s especially into Sinkiang a n d I n n e r M o n g o lia, b u t o n l y t h e C o m m u n i s t s h a v e h a d t h e m o b i l i z a t i o n c a p a c i t y t o i m p l e m e n t effectively such a policy. In 1947 w h e n t h e I n n e r M o n golian A u t o n o m o u s Region was established t h e ratio of C h i n e s e to M o n g o l s was 3 to 1, b u t by 1971 t h e ratio was 15 to l .

9

T h e Sin-

k i a n g i m m i g r a t i o n r a i s e d t h e H a n p r o p o r t i o n f r o m 5.5 p e r c e n t i n 1949 to 20.5 p e r c e n t in 1962 a n d 45 p e r c e n t in 1 9 6 6 .

1 0

A belief

that has deeply depressed the T i b e t a n refugee colonies in both I n d i a a n d the U n i t e d States is their u n d e r s t a n d i n g t h a t H a n migration into T i b e t has now r e a c h e d t h e point at which H a n s n o w outn u m b e r b y p o s s i b l y 2 t o 1 t h e n a t i v e T i b e t a n s . M o s t d r a m a t i c o f all 9. William

Heaton,

"Inner

Mongolia:

Aftermath

of the

Revolution,"

Current

Science, 9 . 9 ( A p r i l 1 9 7 1 ) , 13. 1 0 . A m r i t T a l , " S i n i f i c a t i o n o f E t h n i c M i n o r i t i e s i n C h i n a , " Current Science, 8.4 (February 1970), 15.

498

Lucian

W.

Pye

was t h e u p s u r g e in m i g r a t i o n s after the b o r d e r incidents with the Soviet U n i o n . I n 1969 a n d 1970 o v e r o n e million H a n settlers w e r e moved into I n n e r Mongolia.

1 1

It is t h u s possible to observe a steady c h a n g e in t h e attitudes of the Chinese Communists toward the ethnic minorities in China. T h e y b e g a n b y a c c e p t i n g t h e e x t r e m e L e n i n i s t view o f t h e r i g h t t o separation b u t by the time they came to power they h a d rejected t h i s r i g h t a n d s p o k e o f t h e n e e d for all p e o p l e s i n C h i n a t o b e "libe r a t e d " from feudalism a n d share in the c o m m o n unity of revolut i o n a r y p a r t i c i p a t i o n . After scarcely a d e c a d e in p o w e r t h e s o m e w h a t r o m a n t i c view t h a t all d i f f e r e n c e s b e t w e e n H a n a n d n o n - H a n m i g h t dissolve in the c a m a r a d e r i e of w o r k i n g t o g e t h e r to shed "feudal t h o u g h t s a n d customs" a n d gain proletarian insights a n d d e d i c a t i o n h a d t o g i v e way t o a n e w a p p r e c i a t i o n o f h o w h a r d i t w o u l d be to break d o w n the differences between H a n a n d nonH a n . T h e shock o f t h e T i b e t a n revolt a n d the w i d e s p r e a d defections of nationality cadres d u r i n g the Great Leap period forced the C h i n e s e t o t a k e a m o r e s o b e r a n d less t r u s t i n g view o f t h e i r m i n o r i ties p r o b l e m .

1 2

T h e n c a m e t h e d e c i s i v e b r e a k with t h e S o v i e t U n i o n a n d t h e d i s covery that t h e p r o b l e m of national minorities was directly linked to t h e larger p r o b l e m of China's national defense.

Possibly t h e

e v e n t which most traumatically shocked the C h i n e s e was the d r a m a t i c e x o d u s i n t h e s u m m e r o f 1962 o f s o m e 5 0 , 0 0 0 K a z a k h s a n d other

non-Han

Chinese

from

Ili-chou

in

Sinkiang

b o r d e r to the Soviet U n i o n a n d the Kazakh S S R .

1 3

across

the

T h e r e i s still n o

r e s o l u t i o n of t h e conflicting Chinese a n d Soviet accounts of p r e cisely w h a t t r i g g e r e d t h i s h u g e o u t - f l o w i n g o f n o m a d i c p e o p l e s f r o m M a o ' s C h i n a , b u t t h e g e n e r a l historical s i t u a t i o n i s u n a m b i g u o u s . By t h e time t h e C o m m u n i s t s c a m e to p o w e r in 1949, Chinese rule i n t h e b o r d e r a r e a o f S i n k i a n g was s o w e a k t h a t S o v i e t i n f l u e n c e 11.

Heaton, "Inner Mongolia."

1 2 . F o r a d i s c u s s i o n o f t h e d i s a f f e c t i o n o f t h e first c l a s s e s o f T i b e t a n c a d r e s d u r i n g t h e s t r a i n s r e l a t e d t o t h e G r e a t L e a p , s e e M o s e l y , The Parly and the National

Question in China, i n t r o d u c t i o n . 1 3 . F o r a d e t a i l e d a n a l y s i s o f t h e s e e v e n t s s e e G e o r g e M o s e l e y , ^ Sino-Soviet Cul-

tural Frontier: The Hi Kazakh Autonomous Chou ( C a m b r i d g e , E a s t A s i a n R e s e a r c h Center, Harvard University, 1966).

499

Ethnic Minorities in China

h a d c o m p l e t e l y p e n e t r a t e d i n p a r t i c u l a r t h e Hi d i s t r i c t . policy

of "leaning

to

one

side"

and

in

the

spirit

14

Under the o f socialist

b r o t h e r h o o d it was impossible for t h e n e w C h i n e s e C o m m u n i s t r u l e r to seek to c o u n t e r Soviet influences. H o w e v e r , as t h e S i n o S o v i e t rift i n t e n s i f i e d a n d p a r t i c u l a r l y a f t e r t h e b r e a k c a m e i n t o t h e o p e n in 1960, it b e c a m e necessary for the C h i n e s e to assert t h e i r sovereign claims. T h e Chinese w e r e not in a s o u n d political position to do this because the previous years of the G r e a t L e a p h a d involved n u m e r o u s attempts elsewhere in Sinkiang to i n t r o d u c e c o m munes

and

alter the

nomadic

habits o f o t h e r

minorities.

The

Kazakhs were aware of these threats to their traditional ways, a n d the

Soviets

had

been

vigorously

spreading

reports

about

the

d a n g e r s o f P e k i n g ' s policies. T h u s b y 1 9 6 2 w h e n r e l a t i v e l y m i l d i n i tiatives b y t h e C h i n e s e w e r e c o m b i n e d w i t h S o v i e t h o r r o r p r o p a g a n d a , n e a r p a n i c seized t h e K a z a k h c o m m u n i t y . T h e fact t h a t s u c h n u m b e r s w o u l d leave C h i n a d e m o n s t r a t e d n o t o n l y t h e f a i l u r e o f w h a t P e k i n g c o n s i d e r e d t o b e c o n c i l i a t o r y policies t o w a r d m i n o r i t i e s b u t also t h e v u l n e r a b i l i t y o f C h i n a ' s b o r d e r s . I n t h e s u b sequent years the Chinese have increasingly seen the "nationalities problem" as o n e of g u a r d i n g the sacred territory of the Chinese motherland. T H E REALITIES OF GUARDING T H E BORDERS F r o m this review of the e t h n i c minority p r o b l e m in C o m m u n i s t C h i n a it is a p p a r e n t t h a t t h e C h i n e s e c a s e is d i s t i n c t i v e b e c a u s e it is 14.

T h e Hi a r e a w a s a s o u r c e o f d i s p u t e b e t w e e n R u s s i a a n d C h i n a s i n c e t h e

Ch'ing dynasty. I n d e e d , it was the subject of a rather celebrated case in W e s t e r n versus C h i n e s e styles of international law a n d also the first o c c a s i o n f o r Yalta to b e c o m e a n i n f a m o u s n a m e i n C h i n e s e f o r e i g n relations. Briefly, t h e C h i n e s e n e g o tiator at a c o n f e r e n c e h e l d in Yalta m a d e c o n c e s s i o n s a b o u t C h i n a ' s c l a i m to s u z e r a i n t y o v e r Hi w h i c h i n f u r i a t e d t h e C h i n e s e e m p e r o r , w h o i m m e d i a t e l y o r d e r e d t h e d i p l o m a t recalled a n d b e h e a d e d . T h i s act c r e a t e d c o n s t e r n a t i o n a m o n g t h e Western diplomats in Peking w h o had b e e n trying to teach the C h i n e s e t h e principle of diplomatic i m m u n i t y , for their o w n safety, but w h o n o w realized that they w o u l d also h a v e t o insist that t h e p r i n c i p l e b e a p p l i e d b y t h e C h i n e s e g o v e r n m e n t t o its o w n d i p l o m a t s . A s t h e d o y e n o f t h e f l e d g l i n g d i p l o m a t i c c o r p s s a i d , " H o w c a n o n e o u t w i t a C h i n e s e n e g o t i a t o r i f o n e k n o w s h e i s t o lose his h e a d f o r it?" F o r a g o o d g e n e r a l a c c o u n t o f t h e Ili c o n t r o v e r s y s e e :

H o s e a B a l l o u M o r s e , The Inter-

national Relations of the Chinese Empire ( L o n d o n , L o n g m a n , G r e e n , 1 9 1 0 ,

1918).

500

Lucian

W.

Pye

s o i n t i m a t e l y t i e d t o basic i s s u e s o f n a t i o n a l s e c u r i t y . I n t h e p a s t C h i n e s e p r o b l e m s of cultural diffusion a n d assimilation w e r e not significantly different from p r o b l e m s of e t h n i c i n t e g r a t i o n in o t h e r s o c i e t i e s . W h a t is s p e c i a l in t h e C h i n e s e c a s e is t h a t a s o c i e t y w h i c h historically was h a r d l y p r e p a r e d t o a d m i t t o h a v i n g m i n o r i t i e s a n d whose sense of cultural homogeneity helped create a s t r o n g feeling for t h e historically i m m u t a b l e territory of " C h i n a " s h o u l d s u d d e n l y d i s c o v e r t h a t its basic s e c u r i t y i s n o w t h r e a t e n e d b e c a u s e its b o r d e r territories are populated mainly by ethnic minorities. A few facts c a n h e l p e x p l a i n t h e basis o f t h i s g r o w i n g s e n s e o f C h i n e s e a n x i e t y . T h e basic c o n t r a d i c t i o n o f C h i n a i s t h a t w h i l e o n l y 6 p e r c e n t o f t h e p o p u l a t i o n i s n o n - H a n , this m i n o r i t y m a k e s u p i n fact t h e majority p e o p l e s of nearly 60 p e r c e n t of t h e t e r r i t o r y in C h i n a . F u r t h e r m o r e , over 90 percent of the b o r d e r with h e r neighb o r s is i n h a b i t e d by n o n - H a n peoples. T h e only significant b o r d e r area occupied by H a n population is along the A m u r and Ussuri rivers, the b o u n d a r y where the Chinese have had their most severe b o r d e r f i g h t s with t h e R u s s i a n s . T h e fact t h a t t h e y h a v e h a d p r o b l e m s i n this H a n p o p u l a t e d area m u s t have m a d e t h e C h i n e s e m o r e aware of the populations on most of their other borders. 1 5

I n t h e p a s t t h e C h i n e s e t o o k c o m f o r t i n t h e fact t h a t o n l y 6 p e r c e n t o f t h e i r p e o p l e w e r e n o n - H a n , b u t n o w officials i n P e k i n g h a v e b e c o m e a c u t e l y c o n s c i o u s t h a t this p e r c e n t a g e r e p r e s e n t s i n absolute t e r m s s o m e 52 million people. Similarly, in the past t h e Chinese minimized their minority problem because the national m i n o r i t i e s w e r e d i v i d e d a m o n g 5 2 o r possibly e v e n 5 4 c o m m u n i t i e s , s e v e r a l w i t h less t h a n 1 0 , 0 0 0 m e m b e r s . N o w , h o w e v e r , P e k i n g officials e m p h a s i z e t o W e s t e r n visitors t h e fact t h a t a t least 1 0 a n d p o s s i b l y 11 n a t i o n a l m i n o r i t y g r o u p s n u m b e r o v e r o n e m i l l i o n . A l s o d i s t u r b i n g i s t h e fact t h a t a s t h e C h i n e s e h a v e l e a r n e d m o r e 1 6

15. For a n excellent analysis o f t h e s e incidents see T h o m a s W . R o b i n s o n , " T h e Sino-Soviet

Border

Dispute:

Background

Development,

C l a s h e s , " American Political Science Review, 6 6 . 4 ( D e c e m b e r 16. T h e C h i n e s e C o m m u n i s t s h a v e varied

in

and 1972),

the

March

1968

1175-1202.

their official c o u n t o f n a t i o n a l

minorities b e t w e e n 5 2 , which was used in most of the earlier reports, and

54,

w h i c h is the n u m b e r n o w cited by the Central Institute of National Minorities. T h i s c h a n g e is a n o t h e r indication of rising C h i n e s e c o n c e r n o v e r a n d sensitivity toward their minorities problems.

Ethnic Minorities in China

501

a b o u t some of their larger national minorities, they have had to r a i s e q u i t e s i g n i f i c a n t l y t h e i r e s t i m a t e s o f t h e size o f t h e s e p o p u l a tions.

1 7

T h u s in

1969 w h e n the Chinese became involved in serious

b o r d e r clashes with the Russians, Peking h a d to recognize that it has a far m o r e serious national minority p r o b l e m t h a n a n y Chinese government

had

ever

previously

acknowledged.

Circumstances

which h a d o n c e seemed favorable to Chinese interests now h a d to be

revised.

In

particular,

the

many

minorities

who

straddled

C h i n a ' s b o r d e r s a n d w e r e o n c e s e e n a s p r o v i d i n g t h e basis f o r a p o s s i b l e C h i n e s e f o r w a r d policy o f s u b v e r s i o n i n S o u t h e a s t Asia w e r e now seen as a potentially subversive e l e m e n t in China. T h e e x o d u s of the Kazakhs, w h o o n c e n u m b e r e d over half a million, r a i s e d q u e s t i o n s a b o u t t h e U i g h u r s ' lovalty, a n d t h e y r e p r e s e n t e d a t l e a s t f o u r m i l l i o n p e o p l e w i t h k i n f o l k also o n t h e S o v i e t s i d e . O n the

southern

reached

ten

border the million,

had

Chuang,

whose

been

perceived

population for

years

may

have

as

Thai

speakers capable of supporting a Free T h a i m o v e m e n t against the influence of Bangkok in

the

north and

northwest of Thailand,

w e r e s u d d e n l y s e e n a s r e q u i r i n g special a t t e n t i o n b e c a u s e o f t h e i r potential vulnerability to anti-Chinese appeals. In Peking doubts b e g a n to arise also as precisely to w h o m t h e minorities a l o n g the B u r m e s e a n d L a o b o r d e r s w e r e likely t o b e loyal, p a r t i c u l a r l y s i n c e o n l y t h e C h i n e s e h a d b e e n harassing t h e m t o m a k e t h e m particip a t e i n a n y n a t i o n a l s y s t e m . T h u s , bv t h e e n d o f t h e 1 9 6 0 s , w h e n t h e o v e r s e a s C h i n e s e w e r e s e e n a s less t h r e a t e n i n g t o S o u t h e a s t Asian g o v e r n m e n t s , a n d w h e n the Cultural Revolution had weake n e d s o m e w h a t P e k i n g ' s a d m i n i s t r a t i v e i n f l u e n c e o v e r its m i n o r i ties, q u e s t i o n s a r o s e a b o u t t h e b a l a n c e o f loyalties o f s o m e g r o u p s who straddled China's borders. T h e s e c h a n g e s in Chinese attitudes were part of a ' m o r e fun17.

T h e C h i n e s e , f o r e x a m p l e , for a l o n g time t h o u g h t o f t h e T i b e t a n s a s total-

i n g f e w e r t h a n t w o m i l l i o n , but b y the late 1 9 5 0 s t h e y s p o k e o f a b o u t t h r e e million Tibetans. N o b o d y has better than the roughest approximation of h o w m a n y Tibetans there are. G e o r g e Patterson reports careful estimates based on calculations of n u m b e r s o f m o n k s a n d the size o f m o n a s t e r i e s lead t o f i g u r e s a s h i g h a s f i v e t o ten o r e v e n t w e n t y m i l l i o n . P a t t e r s o n , Tibet i n Revolt, p . 3 5 .

502

Lucian

W.

Pye

d a m e n t a l a l t e r a t i o n i n basic C h i n e s e v i e w s a b o u t C h i n e s e s e c u r i t y . F o r t h e last h u n d r e d - o d d y e a r s t h e C h i n e s e h a d lived w i t h a w o r l d view i n w h i c h m i l i t a r y d a n g e r w a s likely t o c o m e f r o m t h e s e a . F i r s t i n t h e f o r m o f British a n d E u r o p e a n sea p o w e r , t h e n f r o m J a p a n , a n d m o s t r e c e n t l y i n t h e t h r e a t o f A m e r i c a n p o w e r . D u r i n g this p e r i o d C h i n a h a d b e e n f o r t u n a t e i n b e i n g a b l e t o l e a v e relatively u n g u a r d e d the longest b o r d e r in the world. Chinese military power was thus deployed in the eastern and southern regions where the H a n p o p u l a t i o n was c o n c e n t r a t e d . I n d e e d i n m o d e r n times t h e C h i n e s e e v o l v e d a u n i q u e p a t t e r n o f civil-military r e l a t i o n s i n which armies—from those of the warlords, t h r o u g h the Nationalists a n d d o w n t o t h e C o m m u n i s t s — p a r t i c i p a t e d t o a g r e a t e x t e n t i n civil a d m i n i s t r a t i o n a n d w e r e c o n c e n t r a t e d w h e r e t h e C h i n e s e p o p u l a t i o n w a s t h e m o s t d e n s e . T h e c o m b i n a t i o n o f l i v i n g off local r e s o u r c e s a n d h e l p i n g civil r u l e s e e m e d t o r e d u c e t h e b u r d e n o f t h e military. T h e break in Sino-Soviet relations which r e a c h e d a climax in the b o r d e r fighting of 1969 b r o u g h t to an e n d that era a n d reestablished the historic a n d tragic Chinese security p r o b l e m of having to station troops along a huge u n d e r p o p u l a t e d border. Suddenly C h i n a was back to t h e p r o b l e m which was as old as t h e G r e a t Wall a n d w h i c h w a s a n i n g r e d i e n t i n t h e c o l l a p s e o f all h e r g r e a t d y n a s t i e s : t h a t is, t h e p r o b l e m o f e x t r a c t i n g r e s o u r c e s a n d m a n p o w e r f r o m t h e densely p o p u l a t e d H a n regions i n o r d e r t o establish lonely garrisons in the n o n - H a n territories. H a r r i s o n E. Salisbury has described the almost pathological a n d racist fears of the Russians of the " M o n g o l h o r d e s " of long ago a n d h e n c e of the Chinese t o d a y . What is often overlooked is that the C h i n e s e on their side have an equally powerful historic fear of tribal peoples m o v i n g d o w n into their agricultural d o m a i n s . T h e G r e a t Wall of C h i n a is a m o n u m e n t to this fear, a n d n o w that t h e C h i n e s e are reacting again to a threat from the n o r t h it is u n d e r standable that the historic imagery of the d a n g e r o u s "barbarians" o f t h e b o r d e r r e g i o n s , t h a t is, s o m e o f t h e i r n a t i o n a l m i n o r i t i e s , h a s a g a i n c o m e alive i n t h e C h i n e s e i m a g i n a t i o n . 1 8

18. ton,

H a r r i s o n E . S a l i s b u r y , War between Russia and China ( N e w Y o r k , W . W . N o r 1969).

Ethnic Minorities in China

503

We have evidence of the Chinese anxiety about the minority peoples a l o n g t h e n o r t h e r n b o r d e r f r o m s o m e u n p u b l i c i z e d c h a n g e s w h i c h t h e C h i n e s e have b e e n m a k i n g with r e s p e c t t o t h e b o u n d a ries o f p r o v i n c e s a n d a u t o n o m o u s r e g i o n s a l o n g t h e b o r d e r o f C h i n a . Until these c h a n g e s c a m e in 1970, t h e I n n e r M o n g o l i a n Autonomous Region extended along the southern border of the Mongolian People's Republic a n d on up in the east until it s h a r e d a b o r d e r with t h e Soviet U n i o n . T h e territory o f t h e A u t o n o m o u s R e g i o n d i d i n fact c o i n c i d e w i t h t h e a r e a o f M o n g o l s e t t l e m e n t . After the troubles with the Russians, the territory of H e i l u n g k i a n g , the H a n p o p u l a t e d province along the A m u r a n d Ussuri rivers, was e x t e n d e d to the west so as to include the e n t i r e b o u n d a r y with t h e USSR. T h e I n n e r Mongolian A u t o n o m o u s R e g i o n was f u r t h e r c u t i n size w h e n K i r i n p r o v i n c e , also H a n p o p u l a t e d , w a s e x t e n d e d to t h e west to t h e b o r d e r of the M o n g o l i a n People's Republic. P r e s u m a b l y , M o n g o l h e r d s m e n a r e still a b l e t o m o v e i n t o t h e s e n e w a r e a s o f K i r i n a n d H e i l u n g k i a n g t o g r a z e t h e i r flocks i n t h e s u m m e r , b u t administrative a n d military control of t h e a r e a is now firmly in H a n hands. Similarly, recent c h a n g e s in the internal m a p of C h i n a h a v e a p p a r e n t l y c u t d o w n t h e size o f t h e N i n g s i a H u i A u t o n o m o u s R e g i o n a n d t h e S i n k i a n g U i g h u r A u t o n o m o u s Region. F u r t h e r m o r e since 1969 t h e r e has b e e n a significant step up in t h e r a t e of H a n p e o p l e m o v i n g into Sinkiang a n d Kansu. Such influxes of H a n p e o p l e s in t h e past h a v e always b e e n a c c o m p a n i e d by increased e t h n i c tensions as the H a n t e n d e d to m o n o p o l i z e t h e better f a r m i n g lands, g o v e r n m e n t offices, a n d t h e b e t t e r p a i d j o b s i n t h e r a i l r o a d s , i n d u s tries, a n d t h e servicing of the military. T h e combination of internal tensions a n d the external security t h r e a t s has c o n v i n c e d t h e C h i n e s e to reinvestigate t h e i r political policies o f w i n n i n g o v e r , o r a t least c o n t r o l l i n g , n a t i o n a l m i n o r i t i e s . T h e seriousness with which they take this task c a n be seen f r o m activities a t t h e C e n t r a l I n s t i t u t e o f N a t i o n a l i t i e s . THE CENTRAL INSTITUTE OF NATIONALITIES Current

Chinese

policies

toward

the

national

minorities

are

vividly m a n i f e s t a t t h e C e n t r a l N a t i o n a l i t i e s I n s t i t u t e , w h i c h i s lo-

504

Lucian

W.

Pye

c a t e d o n t h e w e s t e r n side o f P e k i n g , n e a r t h e A c a d e m y o f S c i e n c e s a n d on t h e r o u t e to w h e r e P e k i n g N a t i o n a l University (Peita) is n o w located o n the old Y e n c h i n g University c a m p u s . T h e purp o s e o f t h e i n s t i t u t e , w h i c h was e s t a b l i s h e d o n J u n e 1 1 , 1 9 5 1 , i s t o train revolutionary cadres, from each minority community, w h o are expected to return to their people and provide a p p r o p r i a t e l e a d e r s h i p . S i n c e its f o u n d i n g t h e i n s t i t u t e h a s t u r n e d o u t n e a r l y ten thousand trained propagandists and party m e m b e r s . 1 9

B e f o r e t h e C u l t u r a l R e v o l u t i o n t h e t r a i n i n g c o u r s e c o u l d last a s l o n g as five years for most students w h o were b e i n g p r e p a r e d for key l e a d e r s h i p roles. At that time t h e a v e r a g e e n r o l l m e n t was a b o u t 2,800 s t u d e n t s . F r o m 1966 to 1970 t h e institute was closed by t h e C u l t u r a l R e v o l u t i o n , a n d n e w classes o f s t u d e n t s w e r e o n l y a g a i n b r o u g h t t o P e k i n g f o r t r a i n i n g w h e n classes b e g a n o n J a n u a r y 3 , 1 9 7 2 . A t t h e p r e s e n t t h e i n s t i t u t e h a s 1,200 s t u d e n t s , 3 0 p e r c e n t o f w h o m are m e m b e r s of the Chinese C o m m u n i s t party a n d 70 percent of w h o m are Communist Youth League m e m b e r s . T h e People's Liberation A r m y has 90 s t u d e n t s at the institute. In a d d i t i o n t h e r e are s o m e 70 to 80 H a n Chinese being trained in minority languages and culture. Physically, t h e institute is conspicuously b e t t e r e n d o w e d a n d f u n d e d t h a n e v e n t h e l e a d i n g C h i n e s e u n i v e r s i t i e s . Its b u i l d i n g s a r e well m a i n t a i n e d , its m u s e u m i s b r i g h t l y l i g h t e d w i t h c o l o r f u l l y p a i n t e d s i g n s , its a t h l e t i c f i e l d s a r e m o r e e x t e n s i v e a n d h a v e m o r e e q u i p m e n t t h a n t h o s e o f e v e n t h e elite u n i v e r s i t i e s a n d m i d d l e schools. T h e dormitory rooms seem m o r e comfortable than the q u a r t e r s a s s o c i a t e d n o t o n l y with u n i v e r s i t i e s a n d t h e m i l i t a r y b u t also t h e rest h o u s e s of g o v e r n m e n t b u r e a u s . Special c a r e is given to p r o v i d i n g from time to time food for s o m e of the different dietary t r a d i t i o n s . T h e r e is a special kitchen for t h e M u s l i m s , a n d t h e d a n c e r s f r o m all g r o u p s , w h o a r e s e e n a s n e e d i n g m o r e e n e r g y , h a v e t h e i r special t r a i n i n g tables. T h e contrast b e t w e e n t h e very heavy i n v e s t m e n t in t h e institute a n d t h e slowness with which the training p r o g r a m is picking up since the Cultural Revolution suggest s o m e of t h e frustrations t h e

19.

I visited the institute in D e c e m b e r 1972, d u r i n g a 2 6 - d a y trip to China.

Ethnic Minorities in China

505

C h i n e s e h a v e h a d in a r r i v i n g at a p p r o p r i a t e policies for t h e nat i o n a l m i n o r i t i e s a t a t i m e o f crisis i n n a t i o n a l s e c u r i t y . Officials a t t h e i n s t i t u t e insist t h a t n a t i o n a l m i n o r i t y policies a r e b a s e d solely o n M a r x and the thoughts of Mao T s e - t u n g (no m e n t i o n of Lenin) a n d that t h e r e has b e e n no c h a n g e in c o n t e n t since b e f o r e the Cult u r a l R e v o l u t i o n . O n t h e o t h e r h a n d t h e y d o a d m i t t h a t i t i s still i m p o s s i b l e t o t e a c h h i s t o r y a n d t h a t daily s e s s i o n s o f " s t r u g g l e , criticism,

and

transformation"

are

still

going

on

to

arrive

at

an

a p p r o p r i a t e c u r r i c u l u m for teaching about the p r o p e r relations between H a n a n d n o n - H a n traditions. T r a i n e d anthropologists w h o o n c e staffed t h e d e p a r t m e n t of history a n d customs a r e currently n o t allowed to teach. Officials s u g g e s t t h a t t h e c a u s e o f t h e crisis h a s b e e n i n p a r t t h e d r o p p i n g of the old p r e - C u l t u r a l Revolution practice of r e c r u i t i n g influential p e o p l e in t e r m s of t h e traditional cultures a n d instead r e c r u i t i n g w o r k e r s , p e a s a n t s , a n d s o l d i e r s w h o h a v e little s t a n d i n g in their h o m e c o m m u n i t i e s . R e p o r t s indicate that in the past m a n y "students" at the institute were from the "tribal" or "feudal" leadi n g f a m i l i e s — o n e T i b e t a n p r i n c e b r o u g h t t o this " w o r k e r s ' " r e v o lutionary t r a i n i n g g r o u n d a bevy of p e r s o n a l servants to look after his n e e d s . D u r i n g the C u l t u r a l R e v o l u t i o n m a n y o f t h e s e e a r l i e r t r a i n e d c a d r e s displayed distaste a n d even s t u b b o r n resistance, instead of e n t h u s i a s m , for the Red G u a r d s a n d Mao's revolutionary officials. Although

current

recruits

have

supposedly

far b e t t e r revolu-

t i o n a r y class b a c k g r o u n d s , t h e v e r y h u m b l e n a t u r e o f t h e i r o r i g i n s , c o m b i n e d w i t h t h e e x p e c t a t i o n t h a t t h e y a r e m o v i n g swiftly t o p o s i tions o f p o w e r , m a k e s t h e m a p p e a r i n t h e eyes o f j u s t a b o u t everyone

as

suspiciously

opportunistic

individuals.

The

Chinese

di-

l e m m a is how precisely to take the y o u n g people from the minority g r o u p s , w h o o n t h e face o f i t w o u l d s e e m n o t t o b e d e s t i n e d f o r l e a d e r s h i p , a n d p u t t h e m i n t o key p o s i t i o n s w i t h o u t l e a v i n g t h e m h o p e l e s s l y t a i n t e d w i t h t h e b r u s h o f U n c l e T o m i s m . Officials a r e q u i t e f r a n k a b o u t this p r o b l e m . First t h e y a d m i t t h a t a m o n g m o r e "feudalistically" inclined peoples, as they see most of their minority nationals, there is not e n o u g h appreciation of revolutionary virtues t o u n d e r s t a n d t h a t p e o p l e f r o m lowly p e a s a n t a n d w o r k e r b a c k -

506

Lucian

W.

Pye

g r o u n d s are appropriately the leaders of the future a n d not just r u d e social c l i m b e r s . S e c o n d , t h e officials a t t h e i n s t i t u t e c o n c e d e that the students they are training are expected to go back to their c o m m u n i t i e s a n d s p r e a d the word of Mao, which regretfully makes them appear to be agents of H a n domination. T h e principal solution the Chinese have found for their d i l e m m a has been to emphasize the training of the nationalist cadres in their o w n folkways so that they can r e t u r n to their c o m m u n i t i e s a n d a p pear to be

more knowledgeable about traditional customs than

e v e n t h e i r e l d e r s o r t h o s e w h o h a v e n o t b e e n c o n t a m i n a t e d b y close associations with H a n Chinese. T h u s the major e m p h a s i s in the c a d r e c u r r i c u l u m is in the fine arts a n d handicrafts. Traditional s o n g s a r e p r a c t i c e d w h i c h a r e o n l y slightly m o d i f i e d , u s u a l l y n e a r t h e e n d o f t h e v e r s e s , t o give way t o p r o p a g a n d a t h e m e s a n d t h e p r a i s e o f C h a i r m a n M a o . T h e o b j e c t i s t o e n s u r e t h a t t h e c a d r e will b e a s skilled a s a n y o n e i n his c o m m u n i t y i n t r a d i t i o n a l m u s i c , dance, and costume. T o t h e c o n s t e r n a t i o n o f H a n officials i t h a s t u r n e d o u t t h a t t h e p o s t - C u l t u r a l R e v o l u t i o n r e c r u i t s f r o m m o r e h u m b l e class b a c k g r o u n d s have t e n d e d to be "culturally d i s a d v a n t a g e d , " not j u s t in n o r m a l e d u c a t i o n a l skills b u t also i n t h e i r e t h n i c c u l t u r e s . L o w e r class T i b e t a n s , M o n g o l s , a n d U i g h u r s lack u n d e r s t a n d i n g o f t h e social n i c e t i e s a s s o c i a t e d w i t h i m a g e s o f l e a d e r s h i p i n t h e i r r e s p e c tive c u l t u r e s . M a n y a r e also illiterate i n t h e i r o w n l a n g u a g e a n d d o not know a word of Chinese. T h u s the burdens of language and cultural training are m u c h greater than in the past when better e d u c a t e d cadres had five years of training.

Now the short-term

c o u r s e for cadres is only two to t h r e e years. T h e u n e v e n cultural b a c k g r o u n d o f t h e c u r r e n t s t u d e n t s h a s also r e q u i r e d e x t e n s i v e s u b d i v i d i n g o f classes i n t o s m a l l e r a n d m o r e h o m o g e n e o u s g r o u p s a c c o r d i n g t o levels o f t a l e n t a n d k n o w l e d g e , all o f w h i c h f u r t h e r complicates the program. A second major p r o b l e m of cadre training has been in the area o f l a n g u a g e e d u c a t i o n . C a d r e s h a v e t o b e , o n t h e o n e h a n d , fully capable

of

carrying

to

their

people

the

ideas,

slogans,

and

" t h o u g h t " o f M a o a n d his r e v o l u t i o n a n d t h u s t h e y d o r e q u i r e e x tensive training as translators. On the other h a n d , it is desirable t h a t t h e y n o t a p p e a r t o b e p e o p l e w h o h a v e lost t h e i r r o o t s i n t h e i r

Ethnic Minorities in China

507

o w n culture a n d been completely assimilated into the H a n world. T h e very distinctiveness of revolutionary language a n d the C o m munist concern over the "correctness of thoughts" work to dram a t i z e t h e d i s t a n c e o f H a n c u l t u r e f r o m traditional ways a n d h e n c e t o s p o t l i g h t t h e m o r a l a n d c u l t u r a l i s s u e o f a s s i m i l a t i o n . All t h e efforts at t e a c h i n g traditional songs a n d d a n c e s a r e d e s i g n e d to mask the issue of assimilation a n d to d e m o n s t r a t e t h e c a d r e ' s identification with his c u l t u r a l origins. O n t h e o t h e r h a n d his n e e d t o p e r f o r m h i s basic r e v o l u t i o n a r y r o l e c o m p e l s h i m t o s p e a k i n t e r m s which make him a p p e a r to be a r u n n i n g d o g of the Hans. At present representatives of 51 out of 54 "recognized" minorities a t t e n d t h e i n s t i t u t e . D u r i n g t h e 1 9 5 0 s t h e e m p h a s i s was p a r t i c u l a r l y o n d e a l i n g w i t h T i b e t a n s i n t h e l i g h t o f P e k i n g ' s difficulties i n e x t e n d i n g its r u l e i n T i b e t . A t p r e s e n t t h e T i b e t a n s a r e still t h e largest g r o u p , consisting o f s o m e 4 0 0 c a d r e s , a n d 9 0 o u t o f 100 i n t h e s h o r t c o u r s e . T h e r e h a s , h o w e v e r , b e e n a rise i n t h e n u m b e r o f U i g h u r s to o v e r 150. T h e daily r e g i m e a t t h e i n s t i t u t e i s w h a t o n e m i g h t e x p e c t a t a party c a d r e training center. Early m o r n i n g exercises are followed b y 5 0 m i n u t e classes f r o m 8 A . M . t o n o o n ; t h e n a r e s t b r e a k a n d t h e n f u r t h e r d r i l l s f r o m 1:30 t o 3 : 3 0 , f o l l o w e d b y s p o r t s , a n d t h e n e v e n i n g h o m e w o r k f r o m 7:30 t o 10:30 a n d "lights o u t . " T h e classes s e e k t o b l e n d l a n g u a g e t r a i n i n g , p r o p a g a n d a a n d political e d u c a tion, a n d song a n d d a n c e p e r f o r m a n c e s . T h e institute does h a v e a library of 6 0 0 , 0 0 0 volumes, 10 p e r c e n t of which a r e in minority l a n g u a g e s , a n d t h e m o s t v a l u a b l e a r e local c h r o n i c l e s i n C h i n e s e . At present, however, t h e r e is no research of a scholarly n a t u r e taki n g p l a c e , a n d t h e r e will n o t b e a n y u n t i l t h e y h a v e r e s o l v e d t h e issue o f h o w t o t r e a t "history."

2 0

Academically trained anthropol-

ogists a r e also n o t a t p r e s e n t t e a c h i n g . I n s t r u c t i o n i s e n t i r e l y i n t h e hands of party cadres and PLA representatives. I t i s i m p o s s i b l e t o j u d g e h o w e f f e c t i v e t h e C e n t r a l I n s t i t u t e will 20.

B e f o r e t h e C u l t u r a l R e v o l u t i o n t h e C e n t r a l Institute d i d facilitate field r e -

search u n d e r the g u i d a n c e of such recognized anthropologists as Wu Wen-tsuo, w h o trained at D a r t m o u t h and Columbia before teaching at Yenching, and the w o r l d f a m o u s Fei H s i a o - t ' u n g , b u t n o w t h e s e m e n a r e n o t i n l e a d e r s h i p r o l e s . F e i Hsiao-t'ung d u r i n g the Cultural Revolution s p e n t t w o years a n d three m o n t h s at a "May S e v e n t h S c h o o l " w o r k i n g at f ar m in g. He is n o w elderly but of quick m i n d and publicly accepts the c u r r e n t trends in China.

508

Lucian

W.

Pye

b e i n b u i l d i n g loyalty t o P e k i n g a m o n g m i n o r i t y e l e m e n t s . T h e a p p r o a c h i s d e t e r m i n e d , t h e i n v e s t m e n t i s h i g h ; b u t o n e i s left w i t h t h e f e e l i n g t h a t , a s s i n c e r e a s t h e a t t e m p t is, t h e policy i s s l i g h t l y a r tificial. Possibly this i s a n i n e v i t a b l e c h a r a c t e r i s t i c o f a n y p o l i c y t h a t s t r i v e s t o a c c e l e r a t e i n t e r - e t h n i c r e l a t i o n s n o t f o r its o w n s a k e b u t f o r s o m e e x t r a n e o u s political e n d . A l t h o u g h t h e a n a l o g y i s n o t e n t i r e l y a p t , t h e C h i n e s e policy, i f t r a n s f e r r e d t o A m e r i c a , w o u l d b e similar to t h e U n i t e d States g o v e r n m e n t ' s s p o n s o r i n g the "Black Power movement," monopolizing the teaching of "Afro-American studies," and directing those who are thus trained to be m o r e " k n o w l e d g e a b l e " a b o u t a s o m e w h a t synthetic "black c u l t u r e " to m a k e all t h e i r " c u l t u r a l p e r f o r m a n c e s " c l i m a x i n u n i n h i b i t e d p r a i s e of the President.

FUTURE PROSPECTS W h i l e i t i s difficult t o f o r e c a s t t h e likely effects o f c u r r e n t C h i n e s e policies t o w a r d t h e n a t i o n a l m i n o r i t i e s , i t i s n o t h a r d t o d i s cern certain trends. First, as t h e C h i n e s e accept the p r o s p e c t of a l o n g - t e r m security t h r e a t a l o n g their i n n e r b o r d e r s , the historic C h i n e s e distrust of t h e o n c e n o m a d i c , n o n - H a n p e o p l e s i s likely t o r i s e . T h e o b s e s s i o n o f t h e C h i n e s e o v e r p r o t e c t i n g t h e i r " t e r r i t o r i e s , " which was h e i g h t e n e d by their "losses" t h r o u g h the " u n e q u a l treaties" of t h e ninet e e n t h c e n t u r y , will m a k e t h e m e v e n m o r e h y p e r s e n s i t i v e t o t h e v u l n e r a b i l i t y o f t h e i r b o r d e r s , w h i c h lie a l m o s t e n t i r e l y i n m i n o r i t y d o m i n a t e d regions. T h e compulsions of national security a r e t h u s likely t o h e i g h t e n a n x i e t i e s a n d s t i m u l a t e t h e d e s i r e o f H a n a u t h o r i t i e s t o e l i m i n a t e a n y d i f f e r e n c e s i n u n d e r l y i n g v a l u e s a n d loyalties a m o n g the m i n o r i t i e s , while tolerating differences only in t h e m a t t e r o f f o r m s , s u c h a s d r e s s a n d folk d a n c e s . T h e r e a c t i o n s o f m i n o r i t i e s t o this i n c r e a s e d p r e s s u r e f o r political c o n f o r m i t y i s likely t o b e u n e v e n . P o w e r r e l a t i o n s h i p s w i t h i n e a c h m i n o r i t y c o m m u n i t y m a y shift a s a c o n s e q u e n c e o f H a n p r e s s u r e s , a n d t h e r e s u l t i s likely t o b e g r e a t e r i n t e r n a l e t h n i c t e n s i o n . T h o s e minorities w h o s t r a d d l e the b o r d e r with t h e Soviet U n i o n will c e r t a i n l y

find

themselves

in a c o m p l e x situation.

As b o t h

Ethnic Minorities in China

509

t a r g e t s o f suspicion a n d subjects o f c o u r t i n g , t h e s e minorities h a v e l e v e r a g e w i t h P e k i n g b u t a r e also h i g h l y v u l n e r a b l e . In this situation it is h a r d to predict the balance of a d v a n t a g e or d a n g e r f o r e a c h o r all t h e m i n o r i t i e s , b u t i t d o e s s e e m h i g h l y likely t h a t t h e u n i q u e n e s s o f t h e i r c i r c u m s t a n c e s will t e n d t o h e i g h t e n t h e i r e t h n i c a w a r e n e s s a n d m a k e t h e m feel n o t j u s t c u l t u r a l l y b u t a l s o politically d i s t i n c t . T h e s p e e d with which increased H a n Chinese security anxieties c a n s t i m u l a t e m i n o r i t y political a w a r e n e s s h a s a l r e a d y b e e n d e m o n s t r a t e d by t h e reactions of T i b e t a n s to C h i n e s e policies n o t j u s t s i n c e t h e r e v o l t o f 1 9 6 9 b u t m o r e significantly s i n c e t h e S i n o - I n dian b o r d e r fighting of 1962. As the PLA c a m e to d o m i n a t e m o r e a n d m o r e administration in Tibet, the Tibetans became increasingly sensitive to their s e p a r a t e identities. Even t h o u g h y o u n g e r Tibetans did not have as deep attachments to Buddhism as did their elders, they have shown a new sense of ethnic awareness as they have been forced to recognize that they are different from the Han

t r o o p s w h o a p p e a r to be manifestly a

force.

2 1

foreign occupation

I n m o r e s o c i o l o g i c a l t e r m s i t s e e m s h i g h l y likely t h a t a s t h e p r o cesses o f social c h a n g e p r o c e e d i n C h i n a a n d a s m o r e m e m b e r s o f the national minorities c o m e closer to the H a n in cultural a n d econ o m i c c i r c u m s t a n c e s , t h e g r e a t e r will b e t h e i r c o n c e r n a b o u t t h e i r ethnic identities a n d the power status of their communities. D u r i n g t h e last t w e n t y y e a r s i n d i v i d u a l m e m b e r s o f v a r i o u s n a t i o n a l m i norities have b e e n welcomed into r e p r e s e n t a t i o n a l roles in a f o r m of "tokenism." At the same time as increasing n u m b e r s of the minorities h a v e b e e n t r a i n e d t o plav p a r t y c a d r e r o l e s a n d c o n v e y t h e wishes of P e k i n g in r e t u r n for p o w e r a n d status a d v a n t a g e s they have become vulnerable to the charge of being opportunistic. In time, however, as the n u m b e r s of better educated increase, these r e p r e s e n t a t i o n a l a n d a g e n t r o l e s a r e likely t o d e c l i n e a n d b e r e placed by roles based on the g e n u i n e a u t o n o m y of the national minority. T h e r e i s a c e r t a i n i r o n v i n this p r o s p e c t , f o r i n its e a r l y e n t h u s i 21.

For a report on T i b e t a n attitudes as a c k n o w l e d g e d in the Chinese press see

" N a t i o n a l M i n o r i t i e s , " China News Analysis, n o . 7 2 0 ( A u g u s t 9 , 1 9 6 8 ) , 3 - 5 .

510

Lucian

W.

Pye

a s m s a n d b e f o r e t h e rise o f fears for national security o n t h e l a n d frontiers, the Chinese Communist party did genuinely favor precisely s u c h a d e v e l o p m e n t t o w a r d g r e a t e r a u t o n o m y . I n its v e r y f i r s t years t h e C C P would have welcomed the idea that the national minorities were increasing in both cultural d e v e l o p m e n t a n d a sense o f a u t o n o m y a n d self-identification. T h e p a r a d o x has b e e n that with the n e e d to maintain the territorial integrity of C h i n a the C o m m u n i s t s have m o v e d t o w a r d m o r e a n d m o r e aggressive assimil a t i o n i s t p o l i c i e s . I n o r d e r t o facilitate p e n e t r a t i o n f o r s p r e a d i n g t h e i r c o n t r o l t h e y h a v e also h e l p e d m a i n t a i n c u l t u r a l f o r m s a n d t h u s t h e basis f o r s e p a r a t e i d e n t i t y . C o n s e q u e n t l y t h e y m a y h a v e a r r i v e d a t p r e c i s e l y t h e r i g h t policy m i x f o r b o t h a d v a n c i n g a m i n o r i t y a n d m a k i n g i t feel m o r e s e l f - c o n s c i o u s o f its s e p a r a t e i d e n tity. In sum, we come to the final conclusion that paradoxically as economic a n d cultural differences break down the Chinese are likely t o f i n d t h a t t h e y still h a v e n a t i o n a l m i n o r i t y p r o b l e m s , w h i c h will p o s s i b l y b e e v e n m o r e a c u t e t h a n i n t h e p a s t . W h e n t h e c u l tural patterns between H a n and n o n - H a n were quite different and they e a c h lived i n relatively s e p a r a t e w o r l d s , a n d w h e n t h e H a n Chinese had other pressing concerns and ignored those they considered their inferiors, the national minorities were able in practice t o r e a l i z e c o n s i d e r a b l e a u t o n o m y . T h a t i s t o say, i n t h e p a s t w h e n t h e policy of t h e C h i n e s e g o v e r n m e n t was assimilationist, practical factors led t o the realities o f a u t o n o m y . T h e drift o f T i b e t a n d O u t e r M o n g o l i a t o w a r d i n d e p e n d e n c e was only t h e m o s t c o n s p i c u ous assertion of a u t o n o m y by national minorities against weak C h i n e s e a u t h o r i t i e s . T h e n c a m e t h e C o m m u n i s t s w i t h t h e i r policy of praising a u t o n o m y for the national minorities b u t i n t r o d u c i n g practices which were m o r e threatening to the a u t o n o m y of minorities. M o r e o v e r , P e k i n g ' s i n c r e a s e d c a p a c i t y t o p e n e t r a t e t h e n a tional m i n o r i t i e s has m a d e C h i n e s e a u t h o r i t i e s m o r e effective i n s u p p o r t i n g a s s i m i l a t i o n policies, p a r t i c u l a r l y a s t h e y h a v e b e c o m e m o r e a n x i o u s about their security problems. Yet we know from the experiences of m o r e industrial countries, the leveling of cultural differences can lead to g r e a t e r ethnic tens i o n s a s e c o n o m i c a n d political p o w e r c o n s i d e r a t i o n s a r e e l e v a t e d

Ethnic Minorities in China

511

in relative i m p o r t a n c e . In C h i n a we are not seeing the cultural leveling between

Han and

n o n - H a n because of industrialization

b u t r a t h e r as t h e result of a combination of ideological commitm e n t a n d national security concerns on the part of the governm e n t . T h e r e f o r e C h i n a m a y shortly be c o n f r o n t e d with the types of e t h n i c divisions typical of a d v a n c e d industrial societies while r e m a i n i n g in a pre-industrial state a n d lacking the material resources

that m o r e affluent countries

may have for ameliorating

their ethnic divisions. In C h i n a ideology a n d national security considerations may be s e r v i n g a s t h e f u n c t i o n a l e q u i v a l e n t o f t h e social f o r c e s a s s o c i a t e d with industrialization in b r e a k i n g d o w n the significance of cultural u n i q u e n e s s a n d i n elevating the i m p o r t a n c e o f political a n d economic differences in ethnic relations. T h e s e considerations have a c o m p e l l i n g q u a l i t y w h i c h will f o r c e t h e C h i n e s e a u t h o r i t i e s t o p r e s s f o r t h e s o l u t i o n o f n a t i o n a l m i n o r i t y p r o b l e m s a n d t o feel t h a t t h e y c a n n o t afford to allow time to w o r k to r e d u c e distrust. As l o n g as t h e m i n o r i t i e s a r e s e e n a s l i n k e d t o t h e vital q u e s t i o n o f t h e n a t i o n ' s s a f e t y , P e k i n g will f i n d i t h a r d t o m a i n t a i n a r e l a x e d a n d s y m p a thetic posture.

M o r e i m p o r t a n t , the security factor m e a n s that,

w h e r e a s i n i n d u s t r i a l i z i n g societies i t i s p o s s i b l e t o d i f f u s e p o w e r toward ethnic g r o u p s as they b e c o m e m o r e assimilated, in China it m a y be h a r d to yield significant p o w e r to t h e minorities as they c a n hardly be trusted as the ultimate guardians on the borders. I n s p e c u l a t i n g a b o u t t h e possibility t h a t n a t i o n a l s e c u r i t y c o n s i d e r a t i o n s i n C h i n a c a n p r o d u c e effects c o m p a r a b l e t o a d v a n c e d ind u s t r i a l i z a t i o n i n o t h e r societies w i t h r e s p e c t t o e t h n i c d i v i s i o n s , w e h a v e g o n e b e y o n d c u r r e n t realities. R e c e n t events i n C h i n a d o , h o w e v e r , p o i n t i n t h e d i r e c t i o n o f these speculations, a n d m o r e imp o r t a n t , we c a n a l r e a d y note that the C h i n e s e case seems to s u p p o r t a g e n e r a l law of e t h n i c relations w h i c h holds t h a t substantive d i f f e r e n c e s i n c u l t u r a l p r a c t i c e s a n d v a l u e s a r e less i m p o r t a n t t h a n t h e realities of p o w e r a n d e c o n o m i c relationships in d e t e r m i n i n g t h e intensity of ethnic tensions. As the cultures of the n o n - H a n c o m e closer to that of the H a n , the e t h n i c identities of the n o n H a n will b e i n c r e a s i n g l y d e f i n e d b y t h e i r s e n s e o f p o l i t i c a l efficacy a n d well-being as c o m p a r e d to the H a n majority.

514

Contributors

Martin Kilson, Professor of G o v e r n m e n t , H a r v a r d University Ali A . M a z r u i , P r o f e s s o r o f Political S c i e n c e , U n i v e r s i t y o f M i c h i g a n William C.

McCready, Senior Study Director, National Opinion

Research Center, Chicago Daniel P. Moynihan, Professor of G o v e r n m e n t , H a r v a r d University T a l c o t t P a r s o n s , Professor o f Sociology, E m e r i t u s , H a r v a r d U n i v e r sity O r l a n d o P a t t e r s o n , Professor o f Sociology, H a r v a r d University William P e t e r s e n , R o b e r t L a z a r u s Professor o f Social D e m o g r a p h y , O h i o State University Richard Pipes, Professor of History, H a r v a r d University J o h n P o r t e r , Professor o f Sociology, C a r l e t o n University, O t t a w a , Canada L u c i a n W . P y e , F o r d P r o f e s s o r o f Political S c i e n c e , M a s s a c h u s e t t s Institute of Technology

Index

Absorption, 16, 293 Academic freedom, 62 Acculturation, 84, 85, 293; and assimilation, 124; earning and, 344; in Indonesia, 401; urbanization and, 385 Achievement: personal, 77; and technical competence, 170; value of, 294, 295, 357 Achievement groups, 157 Achinese, in Sumatra, 399 Acholi (Uganda tribe), 424,434,445,446,447 Action Committee on Arab-American Relations, 24 Activism, white, 259 Adjustment, pattern of, 340 Affirmative action, 70, 146, 307 Africa,. 143; ethnicity in, I72n; Subsaharan, 74 Africans, 13, 34 Afro-Americans, 71, 72n, 243; culture indigene of, 251; social status of, 240 Afro-Caribbean societies, 313-322, 346 Afro-West Indians, 318, 319 Age-grade systems, 428 Aggression, 36, 95 Agriculture, 317, 398 Alcohol, consumption of, 214, 219 Algeria, 150 Alienation, 68, 260 Allegiances, 311; class, 313; ethnic, 312; special, 66 "Allemanic," 191 Ailport, Gordon, 120 Alsace^ 55

Amalgamation, 115, 116,124, 126,138; West Indian example of, 129 Americanism, 114 Americanization, 335 Americans: black, 72 {see also Blacks); Negro, 16; neo-ethnicity of Negroes, 236 {see also Negroes); white, 72. See also Whites Amin, Gen. Idi, 420, 423, 424, 436, 439-443 Amish quincentennial, in Canada, 287 Amparo, 360, 363, 384 Ancestry, common, 121, 490 Andhra Pradesh, 483, 484, 485 Andhra State Act, Indian, 483 Anglo-Indians, in India, 41 Anglophones, in Canada, 268 Anglo-Saxons: and democratic process, 220-222; on moral issues, 220t; political participation of, 218t Ankole, elite of, 431 Anomie, 184 Anthropologists, 73, 93, 303: Chinese, 505, 507 Anthropology, 155n, 222, 310 Anti-imperialism, 150 Anti-Semitism, 68, 108 Anxiety, 215t, 230 APRA (Alianza Popular Rcvolucionaria Americana), 279 Arab countries, 143, 151 Archaeology, 299 Archaism, in Peru, 381 Arensberg, C, 211 Arguedas, Jose Maria, 354

516

Aristocracy, 423, 435 Aristotle, 38 Armenians, of Soviet Union, 458 Art, 33 Artisans, in colonial Peru, 369-370 Atusparia, 374, 375 Aryans, 178 Ascription, 113; criteria of, 294; social, 75 Ascriptive groups, 157 Asians, 13; of Uganda, 442 Assam (Indian state), 483, 484, 486 Assamese (south Asian language), 477 Assimilation, 88n, 116, 122, 123, 137, 293; in China, 492, 500; of Chinese in Southeast Asia, 402; degree of, 90; ethnicity vs., 338; and group identity, 115; linguistic, 460; of overseas Chinese, 413; paradigm of, 86; process of, 84 Associations: trade, 331; voluntary, 145, I59n, 476, 477 Attitudes, 210; Chinese. 336, 498, 501; toward family structure, 223t; Negro, 246; Russian, 464; sexual, 226; about skin color, 39 Authoritarianism, 215t; anti-Negro, 240f; scale of, 231 Authority, 469; decline of, 148-149; erosion of, 161, 171; structure of, 488 Autonomy, 469, 497

Bacon, Francis, 29 Baganda, 117, 123, 130 Baker, S., 429 Baltic nationalities, 458 Baluchi (South Asian language), 471 Bandolerismo, in Peru, 374 Banfield, Edward, 211, 212 Bangladesh, 50, 158, 471 Bantu, in Uganda, 431 Barriada, as agent of change, 382-383 Bashkirs (Soviet people), 461 Basques (European people), 178, 188 Bataillon, Marcel, 361 Batak (Indonesian people), 399 Beauty, standards of, 44 Behavior, 210; actualizing, 101; aggressive, 95; Chinese, 336; drinking, 212, 214, 219, 233; ethnic, 312; human, 93; about skin color, 39 Belaunde, Victor Andres, 360, 361, 385 Belgae, 199

Index

Belgium, 140, 188; bilingualism in, 207; ethnicity in, 198-208; foreign workers in, 152; history of, 199. See also Flemings; Walloons Belief systems, acceptance of, 35-36. See also Symbol systems Bell, Daniel, 19, 69, 70, 71 Belonging, 34, 35, 153 Belorussia, Russians in, 462 Belorussians (Soviet people), 457-458 Beludzhis (Soviet people), 464 Bengali (South Asian language), 477, 481, 486 Biaggi, Mario, 262, 263 Bihar (Indian province), 474 Biharis (South Asian people), 131 Bilingualism, 202, 205; in Canada, 270, 275, 276, 277, 303; institutional, 271; and multiculuiral'ism, 284-288; in Peru. See also Language Black movement, moderate section of, 238 Black Muslims, 52, 254t Black Panthers, 21 Black power movement, 21, 247t, 254 Blacks. 16, 48, 52, 72; American, 71-79; claims of, 165; demands among, 20; discrimination against, 264; geographical origin of, 56; in labor market, 168; origins of, 71; racial consciousness of, 320; rioting by, 86, 88, 250, 259; separationist, 42; stratification among, 75n; upward mobility among, 77; in U.S., 34 Blalock. H. M., 85 Body, human, 33, 36-45 Bolivia, 350 Borders. Chinese, 499-503 Boundaries: adjustment of, 24; group, 114, 115. 127; political, 121, 132-137, 140: territorial. 133, 136 Brahmauris (South Asian people). 111, 112 British, in Uganda, 426, 429, 430, 435. See also English British Isles, Irish in, 180 British Labor parly, 183-184 Brittanv. 188 Brooke. Sen. Edward, 78 Browns. 116 Brussels, population of, 202 Brutalization, in African societies, 448 Buber. Martin. 45 Buddhism, and physical identification, 37 Buddhists, in Southeast Asia, 392 Buganda, 425, 426, 449

Index

Buginese (Indonesian people), 339 Building trades, 168 Bunyoro, 429, 430 Bureaucratization, 148 Burma: demography of, 417; Indian community in, 401; peripheral minorities in, 412; pluralism in, 392; political control of, 394 Busia, Kofi, 448

Cadres, Chinese, 506, 509 Cambodia: Chinese in, 402; demography of, 417; peripheral peoples in, 397; pluralism in, 392 Campbell, Mavis, 342 Canada: bilingualism in, 270, 275, 276, 277, 303; ethnic groups in, 277-282,286; ethnicity in, 267; French in, 21, 156, 267, 274, 281, 294; French Canadian movement in, 67; French-English relations in, 273; multiculturalism in, 283, 288. 301; national crisis of, 270; postindustrial, 303 Canadian Arab Association, 287 Canadian Broadcasting Corporation, 283 Canadians, hyphenated, 281 Cantons, Swiss, 190 Cantril. Hadley, 263 Capitalism, family, 169 Cargo cults, 454 Carmkhael. Stokely, 254 Caste system, I 14-1 15 Categories, ascriptivc, 10 Catholicism, 154. 222 Catholics: Chinese. 332; Dutch. 180; Irish. 209. 217; Swiss. 197; in U.S.. 34 Celebrity. 170 Census: Canadian, 282; Soviet, 459 Center, holy, 44-45 Ccnteritarians, 478 Center-periphery, concept of, 393 Central Institute of National Minorities, Chinese, 500, 503-508 Certification. 147 Ceylon. See Sri l,anka Ceylonesc, in Malaya, 130 Chamialis (South Asian people), 111, 112 Change. 142; cultural, 124. 126; ethnic. 113-121. 137; identity. 132: institutional, 167; social, 86, 141-174, 261 Characterization, 46 Charlemagne, 198

517

Chee Rung Tong Association, 327 Chilche, Francisco, 366 China, 150; borders of, 499-503; communes in, 162; ethnic minorities in, 389-512; ideology of, 152; nationalities in, 17-18; security problem of, 502 Chinese: attitudes toward body, 37; in Caribbean, 313, 322; chauvinism of, 40; colored, 325t, 330; in Guyana, 339-346, 347; identification of, 403; Jamaican, 322-339; as laborers, 323; in Malaya, 127-128, 130, 405; minorities policies of, 489-490, 512; overseas, 401, 402, 413, 492; self-identification of, 49; in Southeast Asia, 413 Chinese Benevolent Society, 327, 328, 329 Chinese Communist Party, 495, 504, 510 Chinese Exclusion Act, 73 Chinese revolution, 36 Choice, human, 348-349 Cholo, 350, 352, 354, 355, 357 Christianity: in Guyana, 344; in Southeast Asia, 391 Circumcision, 43 Circumstantialists, 19 Cities, 143; Negroes in, 257. See also Urbanization Citizenship, 147, 298 Citizenship Branch, of Dept. of Canadian Sec. of State, 287 Civility, politics of, 174 Civil rights, 297 Civil Rights Act, 10, 239 Civil Rights Movement, 77 Civil war, in Western Mindanao, 407 Clans, 157, 160n Class: black politician, 258; in China, 506: cleavages of, 392; definition of. 310; identification with, 157; mobilization of, 18; in Peru, 356, 357; in political history, 165-166 Clementi, C , 341 Clothes, 43 Coalition, revolutionary, 421 Cobban, Alfred, 46 Cognition, 96 Coleman report, 146 Collectivity, 59 Colonialism, 160n-161n, 320, 365; in Belgian Congo, 130; in Caribbean, 128-132. 313-346; and ethnic identity, 135, 136; and ethnicity. 447; and group identity, 129: in

518

Index

Colonialism (continued) India, 473; in Peru, 368; Russian, 456; Spanish, 350; in Uganda, 444, 445 Color: in Caribbean, 319; as cultural symbol, 74; identification of, 156; in Peru, 351 Colored, 48, 52; in Caribbean, 315, 327; in South Africa, 41 Commentary,

77

Commitment, political, 468 Common Market, 56, 143, 183-184 Communal groups, 159n, 392, 411 Communication, 25, 30 Communism, 150, 164 Communist party, of Soviet Union, 457 Communists: Chinese, 494; Malayan, 396 Communist Youth League, Chinese, 504 Community, 181, 491; American societal, 63; black, 76,146; Chinese, 331, 332; language, 475; quest for, 184; societal, 58, 59 Competition: ethnic, 448; job, and language rivalry, 474-475; language, 484; political, 161; unit of, 152 Compromise, 482 Comunidad, in Peru, 359, 364, 373, 382 Concubinage, in Caribbean, 328 Condorcangui, Gabriel, 367 Conference of Governors of East African Colony, 444 Conflict: class, 25, 312, 414, 415; degree of, 90; economic locus of, 169; escalation of, 98; ethnic, 2, 6, 23, 25, 85, 113, 139, 298; industrial, 166; in industrial systems, 415; institutions for management of, 393; over language, 179; nationality, 179; primordial, 19; racial, 85, 179; regional, 179; over religion, 179; rural-urban, 442 Conformity, 215t, 230, 294 Confucianists, in Southeast Asia, 391 Congo, 290. See also Zaire Congress of Vienna, 193 Connell, Daniel, 213 Connor, Walker, 5 Consciousness, shared, 165 Consensus, rural, 440 Consolidation, ethnic, 329,330,331,342,346 Constitution, Swiss, 189, 196 Consultative groups, 148 Convivencia,

364

Cooptation, of overseas Chinese, 403 Coordination, inter-ethnic, 482 Cosmopolitans, 478 Cossacks, 289

Countryside: militarization of, 432-434; status of, 423. See also Rural areas Coup, military, in Uganda, 437 Creation, 290 Credentials, 147 Creoles, 129; in Peru, 353, 367 Creolization, 316, 3 18; segmentary, 316, 341; synthetic, 333, 334 Criollo. See Creole Crisis: Cyprus, 24; economic, 183 Criteria, technical, 170 Croats (Yugoslavian people), 17, 116 Cross-breeding, 370, 371 Cue, 46 Cuevas, Teodomiro Gutierrez, 376, 377 Cultural groups, 310; in India, 476 Cultural Revolution, Chinese, 501, 504 Culture: and combat, 428-432; Creole, 317, 344, 353; New World Iberian, 314; peasant, 318 (seealso Peasants); preservation of, 299 "Culturism/' 299 Curacao, Chinese in, 348 Curacas,

366, 367, 368, 372

Cyprus crisis, 24

Daedalus,

63

Dahl, Robert, 264 Dahomeyans {West African people), 131 Dahrendorf, Ralf, 12, 15, 16, 166, 210 Davidian movement, 473 Davidsfonds, in Belgium, 205 Decision making, in politics, 145, 148, 171 Decolonization, 267 Deculturation, of overseas Chinese, 413 "De-differentiation," 69 De Gaulle, Pres. Charles, 192 De la Riva Aguero, Jose Luis, 360, 364, 365 De la Torre, Haya, 379 Demands, 144; ethnic, 22; group, 5; minority, 485-486 Democratic process: respect for, 221-222; scale for, 234 Demonstrations, of civil disobediance, 87; nonviolent, 88. See also Riots Depression, of 1930s, 241 Deprivation, 296 Deracination, 143 De Saussure, Ferdinand, 192 Descartes, Rene, 38 Descent groups, biological, 299 Designation, 46

Index "Deserialization," 8,66,68; of black ethnicity, 78; of ethnic groups, 67 Developing countries, 150; class in, 172n; language demands in, 487; minorities in, 300 Development: bio-social, 91; language demands and, 487-488; theories of, 467 Dewey, John, 29, 46 Dialect group, 491 Dialects, Slavic, 188. See also Language Diefenbaker, John, 281 Diem regime, 398 Differences: cultural, 18; ethnic, 15 Differentiation, 115, 116, 123, 137; ethnic, 290; genetic, 177; social, 157 Diffusion, cultural, 500 Diplomacy, European, 441 Discrimination, 296; against blacks, 264; against Peruvian Indians, 363; racial, 351 Distinction, bases of, 18 Distinctiveness: physical, 41, 42; racial, 54 Diversity, ethnic, 210 Division, 115, 116, 138 Dollard, John, 95 Domination, white, 267 Drinking behavior, 214, 219, 233 Drug Abuse Education Act, of 1970, 11 Dubos, Rene, 31 Durkheim, Emile, 58, 162, 378 Dutch, in Belgium, 202, 204, 207 East Bengal. pre-Bangladesh, 133. See also South Asia East Indians, 128 Economic Commission for Asia and the Far East (E.C.A.F.E.), U.N.,512 Economic Opportunity Act. 239 Economy: and ethnic groups, 327; and ethnic identity, 329; and ethnicity, 347, 463: market, 144; slave-based, 315 Ecuador, 350 Education, 146, 147; in Caribbean, 319-320; in French Canada, 276; and political behavior, 228; role of, 167 Egalitarianism, 22, 25; spread of, 457 Egypt: ethnicity of, 422; homogeneity of, 449 Egyptology, 300 Eisenhower, Pres. Dwight D., 443 Elections, in Uganda, 437 Elite, 148; Creole, 320; French Quebec, 269; Jamaican, 307,335; knowledge, 167n; Lao, 412; military, 443; Negro, 244; in new

519 nations, 80; old social, 169; in Southeast Asia, 410; Soviet, 457: Soviet nationality, 463; Uganda, 433 Ellison, Ralph, 243 Emotion, 101 Empire, 143 Employment, discrimination in, 87 Encomienda, institution of, 361 Endogamv. 298; among Guyanese Chinese, 346; amongjamaican Chinese, 339.5c.? also In termarriage Energy, costs of, 173 England: national church of, 154; populations of, 54 English: in Canada, 281; in Singapore, 409 English language: mother tongue speakers of, 470; in Uganda, 438 Entitlements, 147 Entrance status, 290 Environment, identification with, 45 Equalitarianism, 103 Equality: attitudes toward, 265t; of opportunity, 70, 146, 147, 293; redefinition of, 146-147 Equal Opportunity Programs, 14 Equity, 147 Eskimos. 49, 300; in Canada, 279 Establishment, defense of. 148 Estonia, Russians in, 452 Estonians. 458 Ethics, 36 Ethnic groups, 4. 7, 111. 181, 210, 468; American, 227; blacks as, 240; in Canada. 277-282: Chinese, 339: on Chinese border, 51 1; and cultural groups, 309; current situation of. 63-71; desocialization of, 8; disadvantaged. 102; general characterization of. 56-58; identitv of, 30; ideologies about. 103, 105; minoritv, 73; multiple, 469: organization of. 282-284; political strength of. 171; politics of, 468-470; preindustrialism of. 169; role of. 160-171; socioeconomic interests of, 305; stability of, 468; in USSR. 457. See also Groups Ethnicism, 185 Ethnicists. 4 78 Ethnicity. 5, 18, 52, 172. 305; in American societv. 209; ascriptive nature of, 97; in Canada. 267; in Caribbean, 319; Chinese, 289-512; and class, 168; definition of, 1. 156: demands for. 488; efficacy of, 10, II; legitimation of, 240-243; and military,

520

Ethnicity (continued) 443-449; neo-ethnicity, 236, 237, 238, 259; and new nations, 79-82; pervasiveness of, 468; and political community, 470-471; and political mobilization, 262; and political participation, 228; politics of, 174; in political history, 165-166; and race, 357; revival of, 271, 288-304; role of, 466; saliency of, 169; segmental, 475; and social change, 141-174; in Uganda, 443; upsurge of. 141; world-wide revival of, 268 Ethnicity, black, 237, 243; legitimation of. 244-251; national politics and, 23S-240; and Nixon administration, 248; politicization of, 242 Ethnicization, of racial perceptions, 239 Ethnic politics, in modern societies, 470 Ethnocentrism, 92, 109 Ethno-cultural groups, 286 "Ethnonationalism," 5 Eurafricans, 41 Eurasians, 41, 408 Europe: ethnic minorities in, 187; foreign workers in, 152; labor in, 22 European Economic Community (EEC), 22 Euro-West Indians, 317, 319 Evolution, social, 301 Exogamy, 40 Expectations, 6; in Caribbean, 319-320, liberal, 6, 7, 8, 10, 88, 106 Ex-slaves, of Caribbean, 318 Extension, of ethnic groups, 468 Falangist party, in Spain, 183 Fallers, Lloyd.'430 Familism, amoral, 212 Family, 61, 160n, 308; and ethnocultural transmission, 298; extended, 212,213,336; identification of, 64; Irish, 216; kalian. 216; nuclear,213,337; stem, 336; structure of, 222-225 Fascism, in Europe, 183 Fatalism, 212, 215t, 226; scale of. 232 Favoritism, 448 Federal government, and black ethnocentric revitalization, 239 Federalism: Canadian, 272; European, 185: executive, 273 Fei Hsiao-t'ung, 496 Feudalism, 498; in Uganda, 436 "Fiduciary association," 61 Filipinos, 24

Index

Fission, ethnic, 116 Flanders, 199, 201, 205 Flemings, 201, 202, 203 Flemish, 156, 200 Folklore, 33, 203 Food, and physique, 431 Foreign policy, and ethnicity, 23-24 France: foreign workers in, 152; nationalism in, 163 Francophones, 202 Free. Lloyd, 263 French: in Belgium, 201,207; in Canada, 21, 156, 267, 274, 281, 294 French Canadians: outside Quebec, 294; separatist-oriented, 82 Freud, Sigmund, 94, 174n Fried, Morton H., 341, 342, 346 Friedrich, Carl, 183, 185 Friendships, 160n Frisians (European peopic), 185, 186, 187 Frost, Robert, 35 Fukien (Chinese people), 491 Fuller, Margaret, 5 Fung Yu-lan, 46 Fusion: and colonialism, 130; ethnic, 116; West Indian, 139 Gaddis (South Asian people), 111, 112 Gallup survey, 263 Galtung, Johan, 425 Game theory, 147 Gandhi, Mahatma, 80, 480 Garvey, Marcus. 42 Geertz, Clifford, 30 Gendron, Jean-Denis, 275 Gendron Commission, Canadian, 275, 276 Generations, and ethnic differences, 227-230 Genetic closure. 467 Genetic variation, 178 Genocide, 512n Geography, 32 Georgians, of Soviet Union, 458 Germans, 459; of Soviet Union, 458; in Switzerland, 191 Germany, foreign workers in, 152 Geyl, Pieter, 203, 204 Ghana, ethnic particularism in, 448 Glazer, Nathan, 85 Goals: and communal groups, 392; Negro, 239 Gordon, Milton, 6 Gould, Julius, 4

Index

Great Britain: and immigration, 23; Irish in, 180; nationalism in, 163. See also England Great Depression, 25, 241; and Peru, 380 Great Leap, 496, 498, 499 Great Russians, 457-458, 459, 465 Greek-Americans, 24 Greeley, Andrew M., 222 Groupism, 68 Groups, 17; age-graded, 159n; communal, 159n, 392, 411; consultative, 148; cultural, 310; cultural-symbolic, 66; dialect, 491; functional, 159n; half-breed, 327; vs. individual, 296; interest, 7, 180; kinship, 308; low status, 302; membership in, 153; raceless, 48; social solidarity of, 44; specially committed, 62; symbolic-expressive, 165; transgenerational, 57, 60; unchanging, 182;voluntary associations, 114, 145, 159n, 476, 477 Gujarat (Indian state), 484 Gujarati (South Asian language), 477, 481, 483 Guyana, 128, 129; agriculture in, 318; Chinese, of, 313, 322-346; Creole culture of, 344; development of, 315; ethnic composition of, 32It; group identification in, 130

Hacienda, 358, 364, 369, 373, 382 Hailams (Chinese people), 49! Hair, 37, 43 Hakkas (Chinese people), 491, 492 Half-breeds, 329 Haliwas (American people), 49 Han Chinese (Chinese people). 489,491,500, 503, 504, 505, 509 Han language, 492 Hanoi government, 396,412; and tribal peoples, 399 Harris Poll, 242, 252 Haryana (Indian state), 484, 485 Hegel, Georg W. F., 38 Heilungkiang territory, 503 Henriques, F., 317 Hierarchy, 289,358; ascriptive, 114; colonial, 366; color-class, 320; institutional, 296; occupational, 148; party, 457; in Peru, 355; social, 170, 353 Hijacking, 22 Himachal Pradesh, 111 Hindi associations, 476

521

Hindi language, 474,476,480,482,483,485; sanskritizing of, 477 Hindus, 135, 391 Hindustani (South Asian language), 479n Hing Min Association, 327 Hispanisantes, 359 History, 32, 36; sense of, 60 Hobart, Charles, 283 Hobbes, Thomas, 38 Ho Chi Minh, 398 Hokkiens (Chinese people), 491 Homogeneity: cultural, 500; ethnic, 80 House of Muumbi, 30 Housing: attitudes toward, 265t; discrimination in, 87 Hsun Tzu, 47 Hughes, E. C, 269 Humanitarianism, 103 Human nature, conception of, 94 Huntington, Samuel P., 24, 421, 437 Hutu (East African people), 39, 292

Iban (Southeast Asian people), 133, 397 Ibo (West African people), 117, 132,133, 134, 292 Icelandic:, in Canada, 279 Ideal, ethnic structure of, 178 Identification: class, 157; communal, 155; with descent group, 299; ethnic, 64, 65, 142, 157, 171, 302, 309, 337, 471 {see also Ethnicity); expressive, 159n; linguistic, 156, 472; in Middle East, 158; multiplicity of, 468; nation and, 153-154; physical, 37, 39, 42 (see also Body); political character of, 159; racial, 69; and religion, 154-155; sexual, 157-158; social, 7, 38; symbolic, 65; units of, 156 Identit), 153; ascriptive, 118; basic group, 29, 31, 34, 45, 181; badges of, 43; collective, 114; criteria of, 119; cultural-symbolic, 65; English, 178; indicia of, 119, 120; local, 133; of Peruvian Indians, 378; subcaste, 111; symbols of, 46, 121 Identity, ethnic, 19, 208, 292; acquisition of, 113 Ideology, 99, 101, 304; Chinese, 511; Communist, 333,465,495; genocidal, 108; politics of, 174; racist, 108, 109; shift in, 149-151; of Switzerland, 194 Hi area, 499n Image, body, 38

522

Index

Immigrants: Canadian, 285, 301; Chinese, 326, 333, 491; cultural heritage of, 229; Irish, 218; Russian, 464; Swiss, 196, 197; to U.S., 23 Immigration, 290; and Dept. of State, 24; into Guyana, 340; and multiethnicity, 23; post-war, 286; regulations on, 291; Sinkiang, 497; in U.S., 55 Immigration laws, Caribbean, 323 Imperialism, 150; breakup of, 170; of Western countries, 164 Import-export business, in Jamaica, 336 Incas, 356, 359, 361, 367, 368; "return of," 376 Indusiveness, political, 144 Incorporation, 115, 116, 124, 126, 138 Independence, for children, 215t-216t, 232 Independence movements, 479 India: ethnicity in, 158; languages of, 156; language demands in, 472-474, 478-481, 487-488; language policy of, 481; statelevel demands in, 482-485 Indian National Congress, 482 Indians, 24; American, 49, 73; in Canada, 279; in colonial Peru, 363; Peruvian, 352. 357,362, 369 Indicia, of identity, 119, 220 Indigenism, Peruvian, 377, 379 Indigenization, of commerce, 442-443 Indio,

385

Indirect rule, in China, 493, 497 Indochina war, 393, 395; end of, 410 Indonesia: demography of, 417; pluralism in. 392; Sumatran minorities in, 401. See also Southeast Asia Indonesia-Malaysia confrontation, 393 Indophobia, in Uganda, 442 Industrialization, 2, 164 Industrial societies, 151, 162 Infants, 31-32 Influence, levels of, 62 Inheritance, genetic, 36 In-migration, in Europe, 56 Inner Mongolian Autonomous Region, 497, 503 Instability, sources of, 149 Institutionalization, of ethnic groups, 240 Integration: in Canadian society, 287; of Indian nation, 473, 484; national, 487; norm of, 469; regional, 475 Intellectuals: deviant, 250; mestizo, 279;

"semi-skilled," I67n; of Soviet minorities, 463; of Uganda, 435, 436, 437, 438, 439 Interdependent system, 151 Interest groups, 7, 180 Interests: class, 311, 335; communal, 392; ethnic, 468 Intermarriage, 42, 114, 135, 236, 338; and ethnicity, 171; of Jews, 259; of overseas Chinese, 413 Internationalism, I69n International relations, 440 International system, 183, 441 Involvement, 312 Ireland: drinking behavior in, 212; Protestants in, 180; sexual repression in, 213; western, 213, 214, 216. See also Northern Ireland Irish, 64; attitudesof, 223-225; Catholic, 155; and democratic process, 22U-222; on moral issues, 220t; political participation of, 2l8t, 229 Isaacs, Harold, 19, 312 Islam, 34; in Mauritius, 125. See also Muslims Israel, lost identity of, 52 Italians: in America, 209; attitudes of, 223-225; and democratic process, 22U-222; migration of, 291; on moral issues, 220t; political participation of, 229; in Switzerland, 197 Italy, 163, 216

Jamaica: Chinese of, 313, 322-346; ethnic composition of, 32It James, William, 29, 47 Japan, 74; American children in, 41 Japanese, 40, 278 Java, Chinese in, 402 Javanese, 399, 400 Jencks, Christopher, 146 Jews, 13, 17, 47; affective identification of, 154; American, 66, 306; diaspora, 55; in Holland, 308; of Jamaica, 308, 315, 320; in Nazi Germany, 107, 108; neo-ethnicity among, 259; religio-ethnic character of, 56; Sephardic, 320; of Soviet Union, 458, 461; in U.S., 34; values of, 295 Jinnah, Mohammed Ali, 135, 136 Jobs, attitudes toward, 265t Joint Center for Urban Studies, HarvardMIT, 259

Index

Jurasians (Swiss people), 194 Justice, 147, 480 Kabarega, King, 429 Kabwegyere, Tarsis, 444, 445 Kadazans (Southeast Asian people), 397, 412 Kahane, Rabbi, 68 Kakwa (Uganda tribe), 424, 434, 442 Kazakhs (Soviet people), 459; in China, 499, 500 Keller, Gottfried, 191 Kha (Southeast Asian tribe), 397, 398 Kheds (Chinese peoples), 491 Khrushchev, Nikita, 441 Kikuyu (East African people), 117 Killian, Lewis, 88 Kimball, S. T., 211 King, Martin Luther, Jr., 238, 252 Kingston, Chinese in, 327, 329 Kinship, 62 Kinship groups, 308 Kinship ties, 337 Kliuchevsky, V. O., 455 Knowledge, 167n Kohn, Hans, 191 Kolb, William L., 4 Korea, American children in, 41 Koreans, 24 Korean war, 164 Kuala Lumpur, riots in, 405 Kubler, George, 372, 373 Labor: Caribbean, 322; division of. 151; "educated." 167n; European, 22; migrations of, 151. 290: mobility of, 56; social movement aspect of, 168; in Switzerland, 196 Lal)or movement: Communist. 150. 166; in Western industrial society, 167 Landowners, Peruvian, 365 Langi (Uganda tribe), 446, 447 Language, 8, 18, 32, 36,60; barrier of, 268; in China, 506; Creole, 316n; criterion of, 352; demands for, 488: and ethnic identity, 208; and ethnicity, 178; governmental recognition of, 105; identification of. 156: immigrant, 302; of Indian states, 485-486; in Indonesia, 400; linguistic uniformity of, 54; minority, 486; and nationalism. 186; and nationality, 55; in new nations, 80; and

523

occupation, 201; and political community, 470-471; and provincial cultures, 192; regional politics of, 473, 484; second, 470 (see also Bilingualism); of Singapore, 408; and social class, 202, 205; in South Asia, 471; in Soviet Union, 460, 464; of Switzerland, 197; Tagalog, 414 Lao (Southeast Asian people), 397, 398 Laos, 392, 417 Lao-Thai (Southeast Asian people), 411 Latin America, economic development in, 172n Latvia, Russians in, 462 Latvians, 458 Law: of ethnic relations, 511; international, 440 Leadership: charismatic, 250; Chinese, 504; in independent India, 480, 482; Negro, 257; white political, 261 Learning, process of, 93 Legitimation: black ethnic, 244-251; of ethnicity, 240-243 Leguia, August B., 378 Lenin, on national minorities, 494 Lenski, Gerhard, 93 Levy, Marion J., 433 Levy-Bruhl, L., 44 Lewin, Kurt, 35, 371 "Liberal expectancy," 6, 7, 8, 10, 88, 106 Liberals: goal of, 87; Swiss, 189 Liberation, third world, 149 Libva. 150 Life style, distinctiveness of, 65 Lineage, 490 Lin Piao. 152 Linton, Ralph. 182 Literary societies, in India, 476 Literature, 33; Irish, 212; Italian, 212; samizAnt, 461. See also Language

Lithuania. Russians in, 462 Lithuanians, 278, 458 Localism, 298 Localitarians, 478 Lolo (Chinese aborigines), 492, 495 Long March, 494 Lorraine, 55 Lotharingia, 198 Loyalty, ethnic, 301, 305. See also Allegiance Lung Kung-Sung, 47 Lutherans, 181 Lynd, Helen, 38, 51

524 Maclver, R. M., 100 Madagascar, natives of, 454 Madras (Indian state), 483, 485 Maharashtra (Indian state), 484, 485 Majority, tyranny of, 180 Makassarees (Southeast Asian people), 399 Makerere University, 439 Malayan-Chinese Association (MCA), 405 Malays, 117, 125, 127, 130, 132; dominance of, 404; in Kalimantan, 399; in Singapore, 409; in Sumatra, 399; in Thailand, 396 Malaysia: Chinese in, 402; demography of, 418; Hakkas in, 491; incorporation of, 404; language policy of, 414; pluralism in, 392, 406 Mannoni, O., 454 Mao Tse-tung, 505 Marathi (South Asian language), 477, 481, 483, 485 Mariategui, Jose Carlos, 380 Market, 144; organizations in, 145 Marriage, 61; intercaste, 112. See also Intermarriage Marshall, T. H., 297 Marshall, Thurgood, 78, 239 Martin, David, 447 Marx, Karl, 7, 248, 310 Marxist-Leninist theory, and ethnic reality, 17 Marxists, 15 Mass media, 25 Mayer, Dora, 377 Meanings, 310. See also Symbol systems Melting pot, theory of, 282 Membership, group, 153. See also Groups Menangkabau (Southeast Asian people), in Sumatra, 399 Mennonite community, in Canada, 287 Meo (Southeast Asian hill tribe), 397 Merit system, 168 Merton, Robert, 240 Messianic movements, 376 Mestizaje, process of, 373 Mestizo, 42, 350, 353, 371; characteristics of, 355; occupations of, 354; Peruvian, 365, 372 Mexican-Americans, 86 Mezzogiorno, 211, 213 Miao (Chinese aborigines), 492 Middle class, new Negro, 252 Migration, 13, 290; within Europe, 152; Javanese "transmigration," 399; of labor,

Index

22; in Peru, 382; of Portuguese, 291; Russian, 455 Militancy: black, 238, 239; group, 67; Negro attitudes toward, 245t Military: Chinese, 502; ethnicity and, 443-449 Military-agrarian complex, in Uganda, 449 Minorities, 4, 26, 70, 103, 156, 179; American, 85; in Canada, 269; in China, 491; on Chinese borders, 500-501; Frenchspeaking, 192; Guyanese Chinese, 345; of India, 485-486; language demands of, 486; Leninist view of, 494; national, 489; pariah entrepreneurial, 401; repression of, 161; rights of, 293; societal rewards for, 90; of Soviet Union, 453; in Thailand, 395. See also Ethnic groups Minoritological studies, 454 Miscegenation, 75. See also Intermarriage Mitchell, G. Duncan, 3 Mobility, 294; of American blacks, 255; degree of, 42; and identification, 153; and indigenous population, 357; of Jews, 259; measurement of, 182; occupational, 294; in Peruvian society, 355, 356; standards of, 69; upward, 77, 115; wildcat, 371 Mobilization, 8, 20; in India, 473; political, 25 Modernity, 143; and ethnic action, 466 Modernization, 261, 453; in China, 490; conservative, 385; and identification, 153; in Peru, 357; in Southeast Asia, 411; in Uganda, 440 Mongolian People's Republic, 503 Mongols, 492, 497, 503, 506 Moore, Harrington, 385 Moralism, scale of, 231 Morality, 215t; scale for, 233 Mosaic theory. 282 Moshi (West African people), 131 Mother, role of, 65-66 Mountain peoples, 410; hill tribes, 396, 411, 412 Movements: black civil rights, 168; black ethnocentric, 237; black power, 21, 85, 88, 98; civil rights, 21, 87; Communist labor, 150, 166; independence, 479; revitalization, 237, 238, 245. 247, 251, 254, 256; social, 165; student, 141; trade union, 67, 257; youth, 150 Moynihan, Daniel P., 73, 85 Muganda (Baganda individuals), 425 Muhammad, Elijah, 252 Mulattos, 116. See also Intermarriage

Index

Mailer, Max, 178, 179 Multiculturalism, and bilingualism, 284-288; Canadian, 283, 301; Canadian national conference on, 288 Murdock, G. P., 428 Muslims, 135; Chinese, 504; Malay, 395, 408; Philippine, 407, 410; in Southeast Asia, 391; of Soviet Union, 458; in Thailand, 410 Mutesa II, Kabaka, 435 Mysore-Maharashtra dispute, 485 Mythology, 33. See also Symbol systems Nagari script, 476 Naguib, Gen., 420 Name, 32, 33, 36, 46-52 Namelcssness, sanction of, 50-51 Nanking government, 493 Napoleon, 199 Narcissism, 95 Nation, 18, 59, 143, 177; European concept of, 181; genetic concept of, 178; and identification, 153-154; and language demands, 487; new, 290; subnation, 182, 187 National Association of Arab Americans, 24 Nationalism, 163; black cultural, 88; Chinese, 489; cultural, 86; emotional, 163; European, 182-189; French, 288; German, 183; in India, 475, 479, 481; Scottish, 184; in Soviet Union, 453; Swiss, 186; Tamil, 473; Telugu, 485; Thai, 396; in Uganda, 432; Walloon, 208; Welsh, 184; in Western countries, 164 Nationalists, 478; Chinese, 493 Nationalities, 26. 32, 36; American idea of, 191; in Soviet Union, 17, 465 National Movement for People and Home, Swiss, 196 "National question," Chinese, 495 National Socialism, rise of, 459 Nation-building, policies of, 139 Nation-state, 52, 152; religion and, 55; variety of, 54 Nativism, in Peru, 377 "Naturalization," 57; in Switzerland, 196 Nature, 164 Nazism, 55, 187 Nederlands. 204 Negotiation, 488 Negritude, concept of, 156 Negroes, 48, 52: attitudes toward, 260: enslavement of, 107; and federal government, 239; middle-class, 244. 245, 248;

525

occupational mobility of, 255; rights for, 87; social gains of, 257; urban, 258; whitecollar, 249 Nehru, Jawaharlal, 80 Neighborhoods, 160n Neira, Hugo, 385 Neo-colonial systems, 319 Neo-conservatism, 260-263 Neo-ethnicity, 236; black, 237; Jewish, 259; white, 238, 259 Nepotism, ethnic, 448 Network: social, 331; trading, 151, 331 New Englanders, 181 Ne Win, Gen., 394 New towns, 184 New York City Teachers Union, 68 Nie. Norman, 217 Nigeria, 125. 132, 290; civil war in, 82, 134; conflict in, 6; military of, 445 Nilotes, 427, 431 Ningsia Hui Autonomous Region, 503 Nisbet, Robert, 184 Nitzberg. Frances L., I l l Nixon, Pres. Richard M., 238, 260; and black ethnicity, 242 Nixon administration, 239, 248; neo-racism of, 266 Noakhali (South Asian people), 125 Nobel laureates, 190 Noel, Donald L., 289 Nomadic peoples, in China, 508. See also Pastoralism Nonwhite, concept of, 39 Norms, 12. 13, 14, 210, 310; Anglo-Saxon. 85; conflict of, 15; conformity-oriented, 214; egalitarian, 180 Northern Ireland, 7, 67; group membership in, 119; religious conflict in, 155 North Vietnam, demography of, 418 North Vietnamese, 397 Obote, Apollo Milton, 421,422,423,434-439. 445 O'Brien, Conor Cruise, 300 Occupation, role of, 70 Official Languages Act. Canadian. 284 Oligarchv. in Peru, 379 Olson. Mancur J., 181 Ontario. French-speaking people in, 273 Opportunity 294; equality of, 70. 146. 147, 293 Optimization, principle of, 31 1

526

Organizations: community, 331; importance of, 174; political, 468; pre-Columbian agrarian, 359 Origins, 32, 36; definition of, 280; place of, 44; statistics for, 281 Oriya (South Asian language), 477 Outer Mongolia, 489; and Chinese claims, 494

Pai (Chinese aborigines), 492 Pakistan, 290; conflicts in, 6; ethnic identity in, 135-136; ethnicity of, 471; language demands of, 478-481; name of, 50 Pakistanis, 24 Parents, and ethnic identification, 53 Pariah status, of overseas Chinese, 403 Parochialism, 208; of Chinese, 491 Parsons, Talcott, 8, 297 Participation, 488; political, 145, 217-219, 233, 240. See also Groups Particularism, 294 Parti Quebecois, 273 Pashto (South Asian language), 471 Passing, 76. See also Race Pastoralism, 428, 429 Patch, Richard W., 382, 383, 384, 385 Paternalism, 377 Pathet Lao, 397 Patriotism, 164 Paz, Octavio, 44 Peasants, 8; of Caribbean, 318; Chinese, 490; and international issues, 440; Jamaican, 342; Peruvian, 365,381,385,386; Russian, 458; soldiers and, 420; Uganda, 449; and urbanization, 423; West Indian, 317 Pentacostal sects, in Guyana, 345 People's Liberation Army, 504 Perception, social, 122 Permissiveness, 233 Personality, occupational milieu and, 166 Personality scales, 215-217, 230 Peru, 350; colonial, 357, 358; general uprising in, 374; Indians' rights in, 377; indigenous nobility in, 367; racial attributes in, 351 Petti grew, Thomas F., 77, 261 Philippines: balanced pluralism in, 406; Chinese in, 402; demography of, 418; pluralism in, 392 Philosophy, 46 Pirenne, Henri, 203, 204

Index

Pizarro, Francisco, 361 Planter classes, in Caribbean, 315 Plato, 37-38 Pluralism: balanced,404,406,414; Canadian, 286; corporate, 106, 110; ethnic, 56, 73, 422; of Indonesia, 400; legitimization of, 412,413,414; libera!, 105, 110; in Malaysia, 406, 414; racial, 73; structural, 85, 106 Polanyi, Karl, 183 Policy makers, Canadian, 283 Polish, 64 Political associations, in India, 476 Political immolation, 342 Political participation, 145, 217-219, 233, 240; effective, 240; scale of, 233 Political parties, 159n; Belgian, 206-207 Political rights, 297 Politicians, Negro, 257 Politicization: of communal differences, 391; of language loyalty, 470 Politics, 162; and basic group identity, 36; of black ethnicity, 251-260; city, 261; communal, 392, 393-416; ethnic, 174, 466, 468-470; interethnic, 401; of language, 478; rules of, 488 Poor, claims of, 165 Populations: growth rate of, 195; heterogeneous, 177; mass transfer of, 188 (see also Migration); Negro, 258t Populism, in Peru, 379 Portuguese: in Cambridge, 10; in Caribbean, 322; in Guyana, 343; migration of, 291 Power: authority and, 149; distribution of, 104; intermediate degree of, 109 Prejudice, patterns of, 40 Press, Chinese, 329 Primacy, principle of, 31 1 Primitive societies, 454 Primordial groups, 156 Primordialists, 19 Primordiality, 312, 469 Privilege, determining, 146 Professionalism, 148-149, 167n Professions, Jamaican Chinese in, 337 Profit, 357 Progresismo,

383

Prohibition movement, 241 Proletariat, "external," 151-152 Proliferation, 115, 116, 138 Property, role of, 167 Prosperity, vs. ethnic solidarity, 332, 335 Protestants, in American politics, 241-242;

Index

Fundamentalist groups, 68. See also White Anglo-Saxon Protestants Protest movements, in Peru, 381 Puerto Ricans, 86; migration of, 291; in New York, 307 Punjab (Indian state), 483, 484, 485 Punjabi (South Asian language), 483, 485 Purccll, Victor, 491 Quebec, 269; fertility rates in, 278, 303; French Canadians outside, 294; Frenchspeaking people in, 273 Quotas, in American society, 11 Race, 26, 177; in Canada. 280; in Caribbean, 319; Chinese attitudes toward, 338; governmental recognition of, 105; identification with, 155-156; ideologies about, 103, 105; perceptions of, 258; in Peru, 351 Racism, 39, 108, 156, 299 Raul, Victor, 380 Rawls, John, 57, 146 Reconciliation, principle of, 311 Red Army, 494 Refeudalization, 16 Region, 143 Regionalist, 478 Re-Indianization, 372; of Peru, 373, 379 Religion. 8, 18, 32, 33, 36; in colonial Peru, 369; and ethnic consolidation, 331; and ethnic identity, 116; governmental recognition of. 105; identification with, 154-155; ideologies about, 103; and language, 205; vs. nationality, 194. 197; role of, 62; in South Asia. 471-472; in Western world, 54 Renard. Andre, 206 Representation, right of, 70 Republican party, 264 Resistance, native, 376 Resources, and groups, 392 Restlessness, 184 Result, equality of, 70, 147 Retail trade: Chinese in, 327; in Guyana, 341, 343 Retribalization, 30: in Africa, 448 Renter, Edward Byron, 4 Revitalization. black ethnocentric, 238, 247, 251, 254. 256; ethnocentric. 237, 245 Revolution, impossible, 88 Rewards, societal, 90 Rexists, of Belgium, 200

527 Riesman, David, 1 Rights, political and social, 147 Riots: black ghetto, 86, 88, 250; in Kuala Lumpur, 405; of 1960s, 259 Ritual, 44. See also Symbol systems Rivalry: ethnic, 449; language, and job competition, 474-475 Rochlin, Gregory, 95 Role, of Indian, 387 Romansh (Swiss language), 185, 186, 187 Romanticism, 163, 164 Rougemont, Denis de, 191, 192 Roumanians, in Canada, 278 Royal Commission on Bilingualism and Biculturalism, Canadian, 268,270,274-275, 282, 283 Royal Commission on the Status of Women, Canadian, 296 Royal Guard Corps, of Buganda, 430 Rumi Maki, 376, 377 Rural areas, 423, 424. See also Countryside Rural-urban dichotomies, 442, 490 Russia: history of, 455; tsarist, 457. See also Soviet Union Russian language, 461 Russian revolution, 36 Russians, 456, 464 Russification, 7, 460 Ryder, Norman, 281 Sab (Somalian people), 116 Saigon government, and tribal peoples, 398. See also South Vietnam St. Thomas. 38 Salagama (South Asian people), 117 Salisbury, Harrison E., 502 Samizdat literature, 461 Sanctions, 12, 40, 101 Sblizhenie, Soviet policy of, 459, 461 Scalapino, Robert, 433 Scammon, Richard M., 77 Scarifying, 43 Schilder, Paul, 38 Schleswig, 188 Schneider, David, 8,59,60,64,65,66,75,76, 78 Schneider, William, 262 Schools: bilingual, 277; and nationality, 200. See also Education Schuman, Howard, 125, 134 Schwarzenbach, Sen. James, 196 Science, culture of, 303

528 Scottish National Party, 184 Security, Chinese, 512 Self, protection of, 95 Self-consciousness, ethnic, 454 Self-definition, 123, 131, 132 Self-determination, 137; Bengali, 471; of Chinese minorities, 494; Lenin's principle of, 495; principle of, 178 Self-esteem, 34, 35, 36 Self-love, 95 Self-rejection, 36 Separation, in colonial Peru, 364 Separatist movement, Canadian, 270 Serbs (European people), 116 Serfs, Peruvian Indians as, 358 Serrano, 385 Sex, 69; attitudes toward, 219; identification of, 157-158; and legislative issues, 198 Shintoism, 154 Shortness, 39-40 Sign, 46. See also Symbol systems Sikhs, 117, 135 Sindhi (South Asian language), 471, 472 Singapore: Chinese in, 402; demography of, 418; ethnic pluralism in, 408; pluralism in, 392 Singaporeans, 24 Sinhalese (South Asian people), 136 Sinicizing, of minorities, 493 Sinkiang Uighur Autonomous Region, 497, 503 Sino-Creole society, 334 Sino-Soviet rift, 498-499, 502 Skill, technical, 167 Skin, color of, 39. See also Body; Color Slavery: abolition of, 322; in Caribbean, 314 Smith, Alfred, 241 Social Catholic party, in Belgium, 206 Social change. 86, 141-174, 261 Social class, 15, 182; arid ethnic differences, 227-230; and inequality, 288 Socialism, in Uganda, 436 Socialist countries, 9, 150 Socialists, 16 Socialization: patterns of, 306; of women, 230, 299 Social judgment theory, 123, 130, 132 Social policy, 146 Social relations, primordial, 466 Social space, 132 Social stratification. See Stratification system

Index

Social structure: of Afro-Caribbean societies, 314; Canadian, 288; types of, 61 Societies, 59; bicultural, 284; Caribbean, 319; colonial, 358 (see also Colonialism); communal, 146; ethnic orientation of, 106; industrial, 162; macro-social units of, 152-159; multi-ethnic, 55, 289, 292; open class, 100; organization of, 297; peasant, 214 (seealso Peasants); plural, 160, 168 (see also Pluralism); polarization of, 166; politicization of, 145; post-industrial, 147, 148; post-racist, 357; transformation of, 162 Soldiers, 43; Chinese, 490; and intelligentsia, 421; peasant, 433; qualities of, 444; social origins of, 443; Uganda, 440 Solidarity, 59; communal, 415, 416; ethnic type of, 83; group, 67 Solitude, 44 Somalia, 137n Sorbian dialect, 188 South Asia, language salience in, 471-472 Southeast Asia: Chinese in, 401; class conflicts in, 415; communal politics in, 404 Southern Christian Leadership Conference (SCLC), 253t Southern Rhodesia, 74 South Vietnam, demography of, 418. See also Vietnam Soviet Union, 150; China and, 498-499; 502; demography of, 459; emigration restrictions of, 110; industrialization of, 162; languages of, 460; nationalism in, 163,453; nationalities in, 17, 465; natural gas of, 151 Soviet-Western detente, 183 Spain, ethnicity of, 158 Spalding, Karen, 363, 366, 367, 370, 371 Spanish: in Caribbean, 314; migration of, 291; in Peru, 367 Specification, 46 Spencer, Herbert, 38 "Spillover effect," 119 Sri Lanka, 50, 117; Tamil in, 156 Staatsvolk,

4

Stability, of ethnic groups, 468 Stalin, 187 Stanfield, Robert, 285 State: and ethnicity, 11; heterogeneity of, 25; linguistic, 484; multiethnic European, 23; multilingual, 179. See also Nation State Reorganization Act, Indian, 483 Status, 148; in Caribbean, 327; individual,

Index

354; inferiority of, 77; in Peru, 368; and political order, 173; and rural areas, 424 Stereotype, 97; of Peruvian Indian, 383 Stratification system, 11, 358; ethnic, 293, 295; of Peru, 350, 351, 356, 357, 372, 385, 386, 387 Student Non-Violent Coordinating Committee (SNCC), 253 Subculture, Afro-American, 251 Subgroups, 4 Subnation, 182; optimum size of, 187 Success, individual, 383 Sudanese (East African people), 431; in Java, 399; of Uganda, 427 Sukarno, 400 Sukarno policy, of transmigration, 399 Supermarkets, 335-336 "Super-tribes," 126 Surinam, 335 Survivals, 4 Swahili (African language), 432 Sweden, national church of, 154 Swift, M. G., 125 Swiss: francophone, 191; French-speaking, 193; German-speaking, 191, 194, 195 Swiss Confederation, 190, 199 Switzerland, 188; ethnicity in, 189-198; foreigners in, 195, 196; foreign workers in, 152; nationalism in, 187 Symbol systems, 18, 46, 310; and American blacks, 71; common, 165; cultural, 74-75, 76, 368, 370, 372; and ethnic discontent, 25; and identity, 46, \1\\loindio, 387;and Peruvian Indians, 381; and social hierarchy, 358 Taboos, 40 Tajiks (Soviet people), 459 Tallness, 39-40 Tamil (South Asian language). 156, 477, 481, 483,485 Tanzania, 150 Tartars (Soviet people), 461 Task forces, 148 Tattooing, 43 Tausky, Curt, 94 Taylor, Frederic, 94 Technocrats, Uganda, 439 Technology, modern, 30 Teiugu (South Asian language), 477, 481, 483, 485

529

Territoriality, 45 Terry, Fernando Belaunde, 374 Thailand: Cambodian minority in, 408; Chinese in, 402, 404; demography of, 418; hill tribes in, 396, 411; Muslims in, 408; peripheral peoples of, 395; pluralism in, 392; political control in, 395 Theodorson, Achilles G., 4 Theodorson, George A., 4 Third World, 56,152,292; ideologies of, 149; Maoist interpretation of, 424 Tibet,489;autonomyof,493; Han migration into, 497 Tibetan Autonomous region, 497 Tibetans, 492, 494, 497, 506, 507, 509; demography of, 501 n Tiechius (Chinese peoples), 491 Tocqueville, Alexis de, 179, 180, 190 "Tokenism," in China, 509 Toledo, Viceroy, 368 Tonga (East African people), 117, 133 Topography, 32 Trade associations, 331 Trade union, 167, 173, 174 Trade union movements, 67, 257; internationalism, 169n Trading network, 151, 331 Tradition, 143, 310; continuing, 62; Peruvian, 353. See also Culture Traditionalism: need for, 261; in Peru, 383 Tribalism, 298; and ethnicity, 447 Tribes, 143, 157,490; "super-tribes," 126; Uganda, 431 Trinidad, 128; g r o u p identification in, 130 Trudeau, Picric, 272, 284, 285 Truk, nAftlCI on, 50 Trust. 815tj wale lor, 232 Timiin, Mclvin, -1 T'miK (Chinrv .ilxu igims), -192 T u n g u i (soviei people), 289 i u p w A m a r u , 567, 376, 381 iViftftrmtluttK,

11.

195,

I'

I Y..111.I.1

196

V, .. '(/(.. 377 \ i HI . ,,(

i r.\ ethnicity of, 422,

I Id, . thni< M I .inh< .iiion in, 42 1; military • tiiip "> I ' military intellectual complex 1

In i >

1 1 1 ' 10 1

''• ' T

U.,;lnni< t

1,

o l d i e n o f , 443 '•

1

" u n l e s s . 436

•,. people), 492, 497, 500, 506

i Ik] . I N K , R u t i l i n i In, 4 6 2

530

Ukrainians, 17, 457-458, 461 Ulstermen, 155 Un-American activities, 177 "Unequal Treaties," era of, 489, 508 Unification, national, 465 Uniforms, 43 Union of South Africa, 74 United Malay National Organization (UMNO), 405 United Nations, 144; E.CA.F.E. of, 512 United Netherlands, 199 United States: ethnic groups in, 20; food production of, 151; military operations of, 395; nationalism in, 163; whites in, 39 United States of Belgium, 199 Unity: bond of, 470; cultural, 204; desire for, 387 Universal Declaration of Human Rights, 296 Unobtrusiveness, of speech, 11-12 Untouchables, 48 U Nu, Prime Minister, 394 Upper Silesia, 188 Urbanization, 423; attitudes toward, 433; and conflict, 415; of Peruvian society, 382 Urdu (South Asian language), 471, 476, 486; Persianizing of, 477 Uttar-Pradesh (Indian state), 486 Uzbeks (Soviet people), 459

Valuations, 101 Values, 12, 32, 99, 100, 210, 310; achievement, 294, 295, 357; in American colonies, 107; conformity, 215t, 230, 294; and cultural life, 149; equality, 146-147; independence for children, 215t-216t, 232: Irish. 216; Italian, 216; martial. 429; parents and, 298; in politics, 469; trust, 215t, 232; universalistic, 295 van den Berghe, Pierre L.. 85, 86, 160n Verba, Sidney, 217 Vereniging voor Beschaafde Omgangstaal, 204 Vetter, Ferdinand, 191 Vietcong, 397 Vietminh, 399 Vietnam, 50; American children in, 41; Cambodian minority in, 40S; demography of, 418; hill tribes in, 412: pluralism in, 392; tribal peoples in, 398. See also North Vietnam; South Vietnam

Index

Vietnamese: in Cambodia, 401; in Thailand, 395 Vietnam war, 267 Violence: increase in, 22; and language demands, 484 Vlaams (European language), 204 Volk, national, 309 Voluntary affiliation, 114 Voluntary associations, 145, I59n; in north India, 476; Urdu, 477 Voting Rights Act, 239 Wages, 357 Wallace, Gov. George, 68, 260, 261 Walloons (European people), 203, 204, 206, 208; of Belgium, 67, 156 Washington Post,

14

WASPs. See White Anglo-Saxon Protestants Wattenberg, Ben J., 77 Watutsi (East African people), 39 Weathermen, 165 Weaver, Robert, 239 Weber, Max, 178, 190 Weil, Martin, 24 Welfare state, 9; evolution of, 8; rise of, 25; role of, 22 Wends (European people), 187 Western Germany, nationalism in, 163 Western societies: economic growth of, 173; nationalism in, 164 White Anglo-Saxon Protestants (WASPs), 63, 68, 148, 170; authority structure of, 141n. See also Anglo-Saxons White-collar employees, 8 Whites, 39. 86; activism of, 259; attitudes toward blacks, 265t; bias of. 317; domination of. 267; low-income, 260; neo-ethnicity of, 237; urban, 260 Whitman, Walt, 38 Wholesale business: Chinese in, 329; in Jamaica, 336 Wirth, Louis, 180 Women: college educated, 225; exchange of, 339; identification of, 31-32; of Italian background, 230; role of, 225. 230; socialization of, 230, 299; in Switzerland, 198 Women's liberation, 158 Work, locale of, 167n Work ethic, 239 Working class, 8, 15, 173; conversion of, 168; embourgeoisement of, 157; politics of, 166

Index

Yaremko, John, 286 Yi (Chinese aborigines), 492 Yoruba (West African people), 126 Young, Crawford, 130 Young, Whitney, 78 Yugoslavia, 150, 153-154

531

Yugoslavians, 1 7 Yu/.yk, Sen. Paul, 283

Zaire, 52, 133 Zanzibar, "Shirazi" group in, 127