BY STEPHEN JAY GOULD IN NORTON PAPERBACK
EVER SINCE DARWIN Reflections in Natural History THE PANDA'S THUMB More Refle...
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BY STEPHEN JAY GOULD IN NORTON PAPERBACK
EVER SINCE DARWIN Reflections in Natural History THE PANDA'S THUMB More Reflections in Natural History THE MISMEASURE OF MAN Revised and Expanded HEN'S TEETH AND HORSE'S TOES Further Reflections
in Natural History
THE FLAMINGO'S SMILE Reflections in Natural History AN URCHIN IN THE STORM Essays about Books and Ideas ILLUMINATIONS A Bestiary (with R. W. Purcell) WONDERFUL LIFE The Burgess Shale and the Nature of History BULLY FOR BRONTOSAURUS Reflections
in Natural History
FINDERS, KEEPERS Treasures amd Oddities of Natural History Collectors from Peter the Great to Louis Agassiz (with R. W. Purcell)
THE MISMEASURE OF MAN
T o the m e m o r y o f G r a m m y and Papa Joe, who came, struggled, and prospered, Mr. G o d d a r d notwithstanding.
Contents Acknowledgments
15
Introduction to the Revised and Expanded Edition: Thoughts at Age Fifteen
19
T h e f r a m e of The Mismeasure of Man, 1 9 W h y r e v i s e The Mismeasure of Man a f t e r fifteen y e a r s ? , 26 R e a s o n s , history a n d revision of The Mismeasure of Man, 36
2. American Polygeny and Craniometry before Darwin: Blacks andlndians as Separate, Inferior Species Cfolj A shared context of culture,
63
P r e e v o l u t i o n a r y styles o f scientific r a c i s m : m o n o g e n i s m a n d polygenism, 71 Louis A g a s s i z — A m e r i c a ' s theorist of polygeny,
74
Samuel George Morton—empiricist of polygeny,
82
The case of Indian inferiority: C r a n i a A m e r i c a n a The case of the Egyptian catacombs: C r a n i a A e g y p t i a c a The case of the shifting black mean The final tabulation of 1849
62
CONTENTS
IO Conclusions T h e A m e r i c a n s c h o o l a n d slavery,
101
3. Measuring Heads: Paul Br oca and the Heyday ofCraniology / -4f^"yi T h e allure of numbers,
105
Introduction Francis
Galton—apostle
of quantification
A curtain-raiser with a moral: numbers do not guarantee truth M a s t e r s o f c r a n i o m e t r y : P a u l B r o c a a n d his s c h o o l , The great circle route Selecting
characters
Averting
anomalies
BIG-BRAINED GERMANS SMALL-BRAINED MEN OF EMINENCE LARGE-BRAINED CRIMINALS FLAWS IN A PATTERN OF INCREASE THROUGH TIME Front and back THE CRANIAL INDEX THE CASE OF THE FORAMEN MAGNUM Women's brains Postscript,
140
4. Measuring Bodies:
Two Case Studies on the
Apishness of Undesirables T h e a p e i n all o f us: r e c a p i t u l a t i o n ,
j^C^ 142
T h e ape in some of us: criminal anthropology,
151
Atavism and criminality Animals and savages as born criminals The stigmata: anatomical, physiological, and social Lombroso's retreat The influence of criminal anthropology Coda Epilogue,
173
114
CONTENTS
II
5. The Hereditarian Theory of IQ: An American ij6
Invention A l f r e d Binet and the original purposes of the Binet scale, 176 Binet flirts with craniometry Binet's scale and the birth of IQ The dismantling of Binet's intentions in America H . H . G o d d a r d a n d the m e n a c e o f t h e f e e b l e - m i n d e d ,
18&
Intelligence as a Mendelian gene GODDARD IDENTIFIES THE MORON A UNILINEAR SCALE OF INTELLIGENCE BREAKING THE SCALE INTO MENDELIAN COMPARTMENTS THE PROPER CARE AND FEEDING (BUT NOT BREEDING) OF MORONS Preventing the immigration and propagation of morons Goddard recants L e w i s M . T e r m a n a n d the mass m a r k e t i n g o f i n n a t e I Q ,
204
Mass testing and the Stanford-Binet Terman's technocracy of innateness Fossil IQ's of past geniuses Terman on group differences Terman recants R. M. Yerkes and the A r m y Mental Tests: IQ comes of age,
222
Psychology's great leap forward Results of the army tests A critique of the Army Mental Tests THE CONTENT OF THE TESTS INADEQUATE CONDITIONS DUBIOUS AND PERVERSE PROCEEDINGS: A PERSONAL TESTIMONY FINAGLING THE SUMMARY STATISTICS: THE PROBLEM OF ZERO VALUES FINAGLING THE SUMMARY STATISTICS: GETTING AROUND OBVIOUS CORRELATIONS WITH ENVIRONMENT Political impact of the army data CAN DEMOCRACY SURVIVE AN AVERAGE MENTAL AGE OF THIRTEEN?
CONTENTS THE ARMY TESTS AND AGITATION TO RESTRICT IMMIGRATION I BRIGHAM'S MONOGRAPH ON AMERICAN INTELLIGENCE THE TRIUMPH OF RESTRICTION ON IMMIGRATION BRIGHAM RECANTS
The Real Error of Cyril Burt: Factor Analysis and
the
Reification
T h e case o f Sir C y r i l B u r t ,
of
Intelligence
264
C o r r e l a t i o n , c a u s e , a n d f a c t o r analysis,
269
Correlation and cause Correlation in more than two dimensions Factor analysis and its goals The error of reification Rotation and the nonnecessity of principal components Charles S p e a r m a n and general intelligence,
286
The two-factor theory The method of tetrad differences Spearman's g and the great instauration of psychology Spearman's g and the theoretical justification of IQ Spearman's reification of g Spearman on the inheritance of g Cyril B u r t a n d the hereditarian synthesis, The source
of Burt's
303
uncompromising hereditarianism
BURT'S INITIAL "PROOF" OF INNATENESS LATER ARGUMENTS BURT'S BLINDNESS BURT'S POLITICAL USE OF INNATENESS Burt's extension of Spearman's theory Burt on the reification of factors Burt and the political uses of g L . L . T h u r s t o n e a n d the v e c t o r s o f m i n d , Thurstone's critique and reconstruction The egalitarian
interpretation
Spearman and Burt react
of PMA's
326
2 64
CONTENTS
13
Oblique axes and second-order g Thurstone on the uses of factor analysis Epilogue: A r t h u r Jensen and the resurrection of S p e a r m a n ' s g, A final t h o u g h t ,
347 350
7 . A Positive Conclusion
357
D e b u n k i n g a s positive s c i e n c e , Learning by debunking,
351
352
Biology and h u m a n nature,
354
365
Epilogue Critique The Bell Curvv.
of
The
Bell
Curve
367
Disingenuoumess
of content
Disingenuousness^of Disingenuousness
argument ofprogram
G h o s t s o f B e l l C u r v e s pasX
379
Three Centuries' Perspectives on Race and Racism \. A g e - o l d fallacies o f t h i n k i n g a n d s t i n k i n g ^ Racial g e o m e t r y ,
367
39
1
391
401
T h e m o r a l state o f T a h i t i — a n d o f D a r w i n ,
Bibliography
425
Index
433
Acknowledgments GENES MAY BE SELFISH in a l i m i t e d m e t a p h o r i c a l s e n s e , b u t t h e r e c a n b e n o g e n e f o r selfishness w h e n I h a v e s o m a n y f r i e n d s a n d colleagues willing to offer their aid. I thank Ashley M o n t a g u , not only f o r his specific s u g g e s t i o n s , b u t also f o r l e a d i n g t h e f i g h t a g a i n s t scientific r a c i s m f o r s o m a n y y e a r s w i t h o u t b e c o m i n g c y n i c a l a b o u t h u m a n possibilities. S e v e r a l c o l l e a g u e s w h o h a v e w r i t t e n , o r a r e w r i t i n g , t h e i r o w n b o o k s o n b i o l o g i c a l d e t e r m i n i s m willingly s h a r e d t h e i r i n f o r m a t i o n a n d e v e n let m e u s e t h e i r o w n f i n d i n g s , s o m e times
before
they
could
publish
them
themselves:
G.
Allen,
A. Chase, S. Chorover, L. Kamin, R. Lewontin. Others heard of m y e f f o r t s a n d , w i t h o u t solicitation, s e n t m a t e r i a l a n d s u g g e s t i o n s that enriched the b o o k greatly: M. Leitenberg, S. Selden. L. Meszoly p r e p a r e d t h e o r i g i n a l illustrations i n C h a p t e r 6 . P e r h a p s K r o p o t k i n w a s r i g h t a f t e r all; I shall r e m a i n w i t h t h e h o p e f u l . A note on references: In place of conventional footnotes, I h a v e u s e d t h e s y s t e m o f r e f e r e n c e s u n i v e r s a l l y f o u n d i n scientific literat u r e — n a m e of a u t h o r a n d year of publication, cited in parentneses a f t e r t h e r e l e v a n t p a s s a g e o f text. ( I t e m s a r e t h e n listed b y a u t h o r and by year for any o n e author in the bibliography.) I know that m a n y r e a d e r s m a y b e d i s c o n c e r t e d a t f i r s t ; t h e t e x t will s e e m clutt e r e d t o m a n y . Y e t , I a m c o n f i d e n t t h a t e v e r y o n e will b e g i n t o " r e a d t h r o u g h " t h e citations a f t e r a f e w p a g e s o f e x p e r i e n c e , a n d will then discover that they d o not interrupt the f l o w o f prose. T o m e , t h e a d v a n t a g e s o f this s y s t e m f a r o u t w e i g h a n y aesthetic d e f i c i t — no m o r e flipping back and forth from text to end-notes (no p u b lisher will set t h e m all a t t h e b o t t o m o f t h e p a g e a n y m o r e ) , o n l y t o f i n d that a t a n t a l i z i n g little n u m b e r y i e l d s n o j u i c y tidbit o f subsid-
i6
ACKNOWLEDGMENTS
iary i n f o r m a t i o n , b u t o n l y a d r y b i b l i o g r a p h i c c i t a t i o n ; * i m m e d i a t e access t o t h e t w o essential bits o f i n f o r m a t i o n f o r a n y historical i n q u i r y — w h o a n d w h e n . I b e l i e v e that this s y s t e m o f r e f e r e n c i n g i s o n e o f the f e w p o t e n t i a l c o n t r i b u t i o n s that scientists, n o r m a l l y n o t a v e r y literate lot, m i g h t s u p p l y t o o t h e r f i e l d s o f w r i t t e n s c h o l a r ship. A n o t e on title: I h o p e that an a p p a r e n t l y sexist title will be t a k e n in t h e i n t e n d e d s p i r i t — n o t o n l y as a play on P r o t a g o r a s ' f a m o u s a p h o r i s m , b u t also a s a c o m m e n t a r y o n t h e p r o c e d u r e s o f biological determinists discussed in the book. T h e y did, i n d e e d , s t u d y " m a n " (that is, w h i t e E u r o p e a n m a l e s ) , r e g a r d i n g this g r o u p as a s t a n d a r d a n d e v e r y b o d y else as s o m e t h i n g to be m e a s u r e d u n f a v o r a b l y a g a i n s t it. T h a t t h e y m i s m e a s u r e d " m a n " u n d e r s c o r e s t h e d o u b l e fallacy. * T h e relatively small number of truly informational footnotes can then be placed at the bottom of the page, where they belong.
T H E MISMEASURE OF MAN
Introduction to the Revised and Expanded Edition Thoughts at Age Fifteen The frame of The Mismeasure of Man T h e o r i g i n a l title f o r The Mismeasure of Man w o u l d h a v e h o n o r e d m y h e r o C h a r l e s D a r w i n f o r t h e w o n d e r f u l l y incisive s t a t e m e n t that h e m a d e a b o u t b i o l o g i c a l d e t e r m i n i s m t o c l i m a x his d e n u n c i a t i o n o f slavery in the Voyage of the Beagle. I w a n t e d to call this b o o k Great Is Our Sin—from D a r w i n ' s line, cited as an e p i g r a p h on my title p a g e : " I f t h e m i s e r y o f o u r p o o r b e c a u s e d n o t b y the laws o f n a t u r e , b u t b y o u r institutions, g r e a t i s o u r sin." I d i d n o t follow my initial i n c l i n a t i o n — a n d I am s u r e that I m a d e t h e r i g h t d e c i s i o n — b e c a u s e I k n e w d a m n e d well that m y w o r k w o u l d t h e n b e m i s s h e l v e d t o o b l i v i o n i n t h e r e l i g i o n section o f m a n y b o o k s t o r e s (as my v o l u m e of e v o l u t i o n a r y essays, The Flamingo's Smile, e n d e d up in t h e o r n i t h o l o g y division of a g r e a t B o s t o n institution that shall r e m a i n n a m e l e s s ) . T h i n g s c a n always be w o r s e . I o n c e , i n a n e q u a l l y p r e s t i g i o u s B o s t o n e m p o r i u m , f o u n d a c o p y o f that 1960s u n d e r g r a d u a t e m a n i f e s t o The Student as Nigger on a s h e l f marked "Race Relations." My friend Harry K e m e l m a n , author of t h e m a r v e l o u s m y s t e r y series f e a t u r i n g t h e o l o g i c a l sleuth D a v i d S m a l l , told me that his first e n t r y in t h e series—Friday the Rabbi. . .— o n c e a p p e a r e d in a list of c h i l d r e n ' s titles as " F r e d d y the Rabbit. . . ." B u t tables d o t u r n occasionally. M y b u d d y A l a n D e r s h o w i t z told me that a w o m a n successfully a c q u i r e d his Chutzpah by telling the
20
THE
MISMEASURE
OF
MAN
b o o k s t o r e c l e r k : "I w a n t a c o p y of that b o o k w h o s e title I can't p r o n o u n c e b y t h e a u t h o r w h o s e n a m e I can't r e m e m b e r . " I e v e n t u a l l y d e c i d e d on The Mismeasure of Man b e c a u s e t h e ess e n c e o f m y b o o k , i n a p a r a d o x i c a l w a y that c o n f e r r e d s t a y i n g p o w e r o v e r t h e s e fifteen y e a r s since initial p u b l i c a t i o n , lies in its limitation of s c o p e . The Mismeasure of Man is n o t f u n d a m e n t a l l y a b o u t the g e n e r a l m o r a l t u r p i t u d e o f fallacious biological a r g u m e n t s i n social settings (as m y o r i g i n a l a n d b r o a d e r title f r o m D a r w i n w o u l d h a v e i m p l i e d ) . I t i s n o t e v e n a b o u t t h e full r a n g e o f p h o n y a r g u m e n t s f o r t h e g e n e t i c basis of h u m a n inequalities. The Mismeasure of Man treats one particular form of quantified c l a i m a b o u t t h e r a n k i n g of h u m a n g r o u p s : t h e a r g u m e n t that i n t e l l i g e n c e c a n b e m e a n i n g f u l l y a b s t r a c t e d as a single n u m b e r c a p a b l e of r a n k i n g all p e o p l e on a l i n e a r scale o f intrinsic a n d u n a l t e r a b l e m e n t a l w o r t h . F o r t u n a t e l y — a n d I m a d e m y d e c i s i o n o n p u r p o s e — t h i s limited subject e m b o d i e s t h e d e e p e s t ( a n d m o s t c o m m o n ) p h i l o s o p h i c a l e r r o r , w i t h the m o s t f u n d a m e n t a l a n d f a r - r a n g i n g social i m p a c t , f o r the e n t i r e t r o u b l i n g subject o f n a t u r e a n d n u r t u r e , o r t h e g e n e t i c c o n t r i b u t i o n t o h u m a n social o r g a n i z a t i o n . If I h a v e l e a r n e d o n e t h i n g as a m o n t h l y essayist f o r m o r e t h a n t w e n t y y e a r s , I h a v e c o m e t o u n d e r s t a n d the p o w e r o f t r e a t i n g g e n eralities by p a r t i c u l a r s . It is no use w r i t i n g a b o o k on " t h e m e a n i n g of l i f e " ( t h o u g h w e all l o n g t o k n o w t h e a n s w e r s t o s u c h g r e a t q u e s t i o n s , w h i l e r i g h t l y s u s p e c t i n g that t r u e solutions d o n o t exist!). B u t a n essay on " t h e m e a n i n g of 0.400 h i t t i n g in b a s e b a l l " can r e a c h a g e n u i n e conclusion with surprisingly extensive relevance to such b r o a d topics a s t h e n a t u r e o f t r e n d s , the m e a n i n g o f e x c e l l e n c e , a n d e v e n (believe i t n o r not) t h e c o n s t i t u t i o n o f n a t u r a l reality. Y o u h a v e t o s n e a k u p o n g e n e r a l i t i e s , n o t assault t h e m h e a d - o n . O n e o f m y f a v o r i t e lines, f r o m G . K . C h e s t e r t o n , p r o c l a i m s : " A r t i s limitation; the e s s e n c e o f e v e r y p i c t u r e i s t h e f r a m e . " ( M y c h o s e n title d i d g e t m e i n t o s o m e t r o u b l e , b u t I m a k e n o a p o l o g i e s a n d r e l i s h e d all t h e discussion. The Mismeasure of Man is a n i n t e n d e d d o u b l e e n t e n d r e , n o t a vestige o f u n t h i n k i n g s e x i s m . M y title p a r o d i e s P r o t a g o r a s ' s f a m o u s a p h o r i s m a b o u t all p e o p l e , a n d also n o t e s t h e reality of a truly sexist past that r e g a r d e d m a l e s as standards for humanity and therefore tended to mismeasure men, w h i l e i g n o r i n g w o m e n . I stated this r a t i o n a l e u p f r o n t , i n t h e o r i g i nal p r e f a c e — s o I c o u l d always use u n t h i n k i n g criticism as a test to
REVISED
AND
EXPANDED
EDITION
21
see w h o liked t o m o u t h o f f w i t h o u t r e a d i n g the b o o k f i r s t — l i k e M r . D o l e criticizing t h e v i o l e n c e i n m o v i e s h e has n e v e r s e e n , a n d w o u l d n o t e v e n d e i g n t o w a t c h . [ I d o n ' t , o f c o u r s e , m i n d criticism o f the title b a s e d o n d i s a g r e e m e n t with m y stated rationale.] I n a n y case, m y title a l l o w e d m y c o l l e a g u e C a r o l T a v r i s t o p a r o d y m y p a r o d y a s a n a m e f o r h e r m a r v e l o u s b o o k The Mismeasure of Woman—and I am at least m i g h t i l y g l a d f o r that.*) The Mismeasure of Man r e s i d e s in a t h r e e f o l d f r a m e , a set of limitations that a l l o w e d m e t o c o n t a i n o n e o f t h e largest o f all intellectual subjects w i t h i n a c o h e r e n t a n d r e a s o n a b l e c o m p r e h e n s i v e n a r r a t i v e a n d analysis. 1. I restricted my t r e a t m e n t of biological d e t e r m i n i s m to the m o s t historically p r o m i n e n t (and r e v e a l i n g l y fallacious) f o r m o f quantified a r g u m e n t about mentality: the theory of a measurable, g e n e t i c a l l y f i x e d , a n d u n i t a r y i n t e l l i g e n c e . A s I w r o t e i n the I n t r o d u c t i o n to link the p s e u d o s c i e n t i f i c claim with its social utility: This book, then, is about the abstraction of intelligence as a single entity, its location within the brain, its quantification as one number for each individual, and the use of these numbers to rank people in a single series of worthiness, invariably to find that oppressed and disadvantaged g r o u p s — races, classes, or sexes—are innately inferior and deserve their status. In short, this book is about the Mismeasure of Man. T h i s p a r t of the f r a m e also e x p l a i n s w h a t I left o u t . I h a v e , f o r e x a m p l e , o f t e n b e e n a s k e d w h y I o m i t t e d so influential a m o v e m e n t as p h r e n o l o g y in my account of quantified theories for mental funct i o n i n g . B u t p h r e n o l o g y i s p h i l o s o p h i c a l l y c o n t r a r y t o t h e subject o f *A linguist friend did correctly anticipate the one curious problem that my title would entail. For some reason (and I have done this myself, so I am not casting blame but expressing puzzlement), people tend to mispronounce the first word as "mishmeasure"—leading to unwanted levity and embarrassment in introductions before talks, or in radio interviews. Apparently, or so my friend explained, we anticipate the zh sound to come in "measure"—and we unconsciously try to match the first part of the word to the later sound, therefore saying "mish" instead of "mis." I find this error fascinating. After all, we make the mistake in anticipation of a sound as yet unsaid, thus indicating (or so I suppose) how our brain monitors language before the fact of expression. Isn't the form of the error also remarkable? Are we driven to prefer these alliterative, pleasantly repeated combinations of sounds? Does this consonance occur merely for ease of articulation, or is something deeper about cerebral patterning thus revealed? What do such phenomena have to say about the origin and form of poetry? What about the nature and organization of our mental functioning?
22
THE
MISMEASURE
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The Mismeasure of Man. P h r e n o l o g i s t s c e l e b r a t e d t h e t h e o r y of richly m u l t i p l e a n d i n d e p e n d e n t i n t e l l i g e n c e s . T h e i r v i e w led t o T h u r stone and Guilford earlier in o u r century, and to H o w a r d G a r d n e r a n d o t h e r s t o d a y — i n o t h e r w o r d s , t o t h e t h e o r y o f m u l t i p l e intellig e n c e s : the m a j o r c h a l l e n g e t o J e n s e n i n t h e last g e n e r a t i o n , t o Herrnstein and M u r r a y today, and to the entire tradition of rankable, unitary intelligence m a r k i n g the mismeasure of man. By readi n g e a c h b u m p o n t h e skull a s a m e a s u r e o f " d o m e s t i c i t y , " o r " a m a t i v e n e s s , " o r " s u b l i m i t y , " o r "causality," the p h r e n o l o g i s t s div i d e d m e n t a l f u n c t i o n i n g into a rich c o n g e r i e s o f l a r g e l y i n d e p e n d e n t a t t r i b u t e s . W i t h s u c h a view, n o single n u m b e r c o u l d possibly express general h u m a n worth, a n d the entire concept of IQ as a u n i t a r y b i o l o g i c a l p r o p e r t y b e c o m e s n o n s e n s e . I do c o n f e s s to a w a r m s p o t i n m y h e a r t f o r the p h r e n o l o g i s t s (do h e a r t s h a v e b u m p s o f g r e a t e r heat?), f o r t h e y w e r e p h i l o s o p h i c a l l y o n t h e r i g h t t r a c k — w h i l e t h e y w e r e a b s o l u t e l y j u s t a s w r o n g a s t h e m i s m e a s u r e r s o f this b o o k i n t h e i r p a r t i c u l a r t h e o r y o f cranial b u m p s . ( H i s t o r y o f t e n heaps irony u p o n irony. Cranial b u m p s may be nonsense, but und e r l y i n g cortical localization o f h i g h l y specific m e n t a l p r o c e s s i n g i s a reality o f e v e r - i n c r e a s i n g fascination i n m o d e r n n e u r o l o g i c a l r e search.) In a n y case, p h r e n o l o g y , as a false v e r s i o n of t h e p r o b a b l y c o r r e c t t h e o r y of m u l t i p l e i n t e l l i g e n c e s , w o u l d f o r m a m a j o r c h a p t e r in a b o o k o n c r a n i a l m i s m e a s u r e m e n t i n g e n e r a l , b u t falls o u t s i d e t h e subject o f this v o l u m e o n t h e history o f fallacies i n t h e t h e o r y o f u n i t a r y , i n n a t e , linearly r a n k a b l e i n t e l l i g e n c e . I f I e x c l u d e p h r e n o l o g y o n t h e g r o u n d s o f " r i g h t subject, d i f f e r e n t t h e o r y , " I also o m i t an ocean of material for the related, if opposite, reason of " w r o n g subject, s a m e t h e o r y " — i n o t h e r w o r d s , all claims f o r u n i l i n e a r inn a t e r a n k i n g s b a s e d o n b i o l o g i c a l a r g u m e n t s o t h e r t h a n the q u a n t i fication of intelligence. I therefore, for e x a m p l e , include no explicit c h a p t e r on t h e e u g e n i c s m o v e m e n t ( t h o u g h I treat the subject in its i n t e r s e c t i o n w i t h I Q ) b e c a u s e m o s t a r g u m e n t s relied o n the p u t a t i v e possession o f p a r t i c u l a r g e n e s f o r i n n a t e l y d e t e r m i n e d traits, n o t o n m e a s u r e m e n t s o f t h e insides o r o u t s i d e s o f h e a d s . 2 . 1 f o c u s e d u p o n t h e " g r e a t " a r g u m e n t s a n d e r r o r s o f historical o r i g i n a t o r s , n o t o n t r a n s i e n t a n d e p h e m e r a l m o d e r n u s a g e s . Five y e a r s f r o m n o w , w h o will r e m e m b e r ( w h o w o u l d e v e n c a r e t o recall)
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t h e r a p i e r s o f r h e t o r i c , o r the t e n d e n t i o u s a r g u m e n t s o f o u r c u r r e n t a n d l a r g e l y d e r i v a t i v e g l a d i a t o r s ; b u t w e c a n (and must) n e v e r f o r g e t t h e brilliance o f D a r w i n a n d t h e truly g r e a t a n d i n f o r m a t i v e e r r o r s m a d e b y his last g e n e r a t i o n o f creationist o p p o n e n t s , A g a s s i z a n d S e d g w i c k ? T h e f o u n d a t i o n stones a r e f o r e v e r ; m o s t c u r r e n t skirm i s h e s follow t h e j o u r n a l i s t ' s o l d m a x i m : y e s t e r d a y ' s p a p e r w r a p s today's garbage. The Mismeasure of Man, as a s e c o n d essential f e a t u r e of its f r a m e , restricted a t t e n t i o n t o t h e o r i g i n s , a n d t o the e n d u r i n g f o u n d e r s , o f the t h e o r y o f u n i t a r y , linearly r a n k a b l e , i n n a t e i n t e l l i g e n c e . T h i s d e c i s i o n p e r m i t t e d a n e a t division o f t h e b o o k into t w o h a l v e s , r e p r e s e n t i n g the c h r o n o l o g i c a l l y s e q u e n t i a l c e n t e r p i e c e s f o r this t h e o r y d u r i n g t h e past t w o h u n d r e d y e a r s o f its p r o m i n e n c e . T h e n i n e t e e n t h c e n t u r y f o c u s e d o n physical m e a s u r e m e n t o f skulls, e i t h e r t h e o u t s i d e (by r u l e r a n d c a l i p e r s , a n d b y c o n s t r u c t i n g v a r i o u s indices a n d ratios f o r t h e s h a p e s a n d sizes o f h e a d s ) o r the inside (by m u s t a r d s e e d o r l e a d shot, t o f i l l t h e c r a n i u m a n d m e a s u r e t h e volu m e of the braincase). T h e twentieth century m o v e d to the putatively m o r e d i r e c t m e t h o d o f m e a s u r i n g t h e c o n t e n t o f b r a i n s b y i n t e l l i g e n c e testing. I n s h o r t , f r o m m e a s u r i n g the physical p r o p e r ties o f skulls t o m e a s u r i n g the i n t e r i o r s t u f f i n b r a i n s . I b e l i e v e in this restriction to g r e a t f o u n d a t i o n a l d o c u m e n t s f r o m the d e p t h of my scholar's soul, b u t I also realize that this d e c i sion c o n f e r r e d a n e n o r m o u s practical benefit u p o n this r e v i s e d version. T h e o l d a r g u m e n t s h a v e s t a y i n g p o w e r , " l e g s " i n m o d e r n p a r l a n c e . W e will n e v e r q u i t e attain the C h r i s t i a n ' s q u i e t c o n f i d e n c e of verbum Dei manet in aeternum, but we will c a r e a b o u t B r o c a , B i n e t , a n d B u r t s o l o n g a s s c h o l a r s h i p a n d a fascination with history e n d u r e . B u t I s u s p e c t that the w o r l d will little n o t e , n o r l o n g r e m e m ber, Jensen, Murray, Herrnstein, Lewontin, and Gould. Since I wrote about the great and original a r g u m e n t s , and virtually i g n o r e d t h e m o d e r n avatars o f 1 9 8 1 , this revision r e q u i r e d few c h a n g e s , a n d t h e m a i n t e x t o f t h e c u r r e n t v e r s i o n d i f f e r s v e r y little f r o m the o r i g i n a l b o o k ; t h e n o v e l t y in this revision lies in this i n t r o d u c t i o n a n d i n t h e a p p e n d e d section o f essays a t t h e back. T h e h o t topics o f 1 9 8 1 a r e n o w legless history; I d o u b t that H e r r n s t e i n a n d M u r r a y will p e n e t r a t e t h e m i l l e n n i u m , t h o u g h the basic f o r m o f t h e a r g u m e n t n e v e r g o e s a w a y a n d c o n t i n u e s t o r e c u r e v e r y few y e a r s —
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h e n c e the necessity f o r this b o o k a n d its f o c u s u p o n t h e e n d u r i n g sources of continual recurrence. As I w r o t e in t h e I n t r o d u c t i o n to the first e d i t i o n : I have said little about the current resurgence of biological determinism because its individual claims are usually so ephemeral that their refutation belongs in a magazine article or newspaper story. Who even remembers the hot topics o f t e n years ago [from 1981]: Shockley's proposal; for reimbursing voluntarily sterilized individuals according to their number of IQ points below t o o , the great XYY debate, or the attempt to explain urban riots by diseased neurology of rioters. I thought that it would be more valuable and interesting to examine the original sources of the arguments that still surround us. These, at least, display great and enlightening errors. 3 . T h e t h i r d m a j o r a s p e c t o f f r a m i n g arises f r o m m y o w n p r o f e s sional c o m p e t e n c e s . I am a w o r k i n g scientist by t r a d e , n o t a histor i a n . I h a v e i m m e n s e fascination f o r history; I r e a d a n d s t u d y the subject intensely, a n d I h a v e w r i t t e n m u c h , i n c l u d i n g t h r e e b o o k s a n d scores of essays, on p r e d o m i n a n t l y historical subjects. I feel that I h a v e a d e c e n t a n d p r o p e r g r a s p o f t h e logic a n d e m p i r i c s o f a r g u m e n t s a b o u t b i o l o g i c a l d e t e r m i n i s m . W h a t I lack, f o r w a n t o f p r o f e s s i o n a l t r a i n i n g , is t h e t r a d e s m a n ' s " f e e l " — t h e sine qua non of f i r s t - c l a s s s c h o l a r s h i p — f o r b r o a d e r political c o n t e x t s ( a n t e c e d e n t s a n d b a c k g r o u n d s ) , t h e s t a g e o n w h i c h biological a r g u m e n t s i m p a c t society. In the p r o f e s s i o n ' s j a r g o n , I am fully up to s n u f f (I w o u l d e v e n b e a r r o g a n t a n d say " b e t t e r t h a n most") o n the " i n t e r n a l i s t " t h e m e s o f intricacies i n a r g u m e n t s a n d m e a n i n g s , a n d i n fallacies o f supporting data, but woefully u n d e r p r e p a r e d on the "externalist" side o f b r o a d e r historical c o n t e x t , the "fitting" o f scientific claims i n t o social settings. C o n s e q u e n t l y , a n d f o l l o w i n g t h e o l d tactic o f e x t r a c t i n g v i r t u e f r o m necessity, I e x p l o r e d a d i f f e r e n t p a t h in t r e a t i n g t h e history of b i o l o g i c a l d e t e r m i n i s m , o n e that w o u l d use m y special skills a n d competences, but not suffer u n d u l y from my inadequacies. I would not have written the book at a l l — I would not have even contemp l a t e d s u c h a p r o j e c t in the first p l a c e — i f I h a d n o t b e e n able to d e v i s e a p r e v i o u s l y u n c h a r t e d w a y t o t r e a t this i m p o r t a n t a n d b y n o m e a n s n e g l e c t e d subject. ( I h a v e a p e r s o n a l h o r r o r o f d e r i v a t i v e
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w r i t i n g , a n d h a v e n e v e r d a b b l e d — w i t h o n e small e x c e p t i o n a s a p e r s o n a l f a v o r t o a d e a r , o l d e r , a n d r e v e r e d c o l l e a g u e — i n the g e n r e of t e x t b o o k s ; life is t o o short.) My special skill lies in a c o m b i n a t i o n , n o t a u n i q u e n e s s . I was able t o b r i n g t o g e t h e r t w o salient a n d richly i n t e r a c t i n g c o m p o n e n t s e a c h v o u c h s a f e d b y itself t o t h e c o m p e t e n c e o f m a n y i n d i v i d u a l s , b u t r a r e l y c o m b i n e d i n o n e p e r s o n ' s interest. N o o n e b e f o r e m e h a d systematically u n i t e d t h e s e t w o c o m p e t e n c e s a t b o o k l e n g t h a n d i n g e n e r a l o v e r v i e w o f t h e subject. W o r k i n g scientists a r e g e n e r a l l y g o o d a t a n a l y z i n g d a t a . W e a r e t r a i n e d t o s p o t fallacies o f a r g u m e n t a n d , especially, t o b e h y p e r c r i t i cal o f s u p p o r t i n g d a t a . W e scrutinize c h a r t s a n d l o o k a t e v e r y d o t o n a g r a p h . S c i e n c e m o v e s f o r w a r d a s m u c h b y c r i t i q u i n g the c o n c l u sions of o t h e r s as by m a k i n g n o v e l d i s c o v e r i e s . I was t r a i n e d as a statistically m i n d e d p a l e o n t o l o g i s t , with special e x p e r t i s e in h a n d l i n g l a r g e m a t r i c e s o f d a t a o n variation i n p o p u l a t i o n s a n d historical c h a n g e within l i n e a g e s . ( T h e m i s m e a s u r e o f m a n resides i n the s a m e t h e m e s — d i f f e r e n c e s a m o n g i n d i v i d u a l s a s t h e a n a l o g t o variation i n p o p u l a t i o n s , a n d m e a s u r e d disparities a m o n g g r o u p s a s the a n a l o g to t e m p o r a l d i f f e r e n c e s in l i n e a g e s t h r o u g h time.) I t h e r e f o r e felt p a r t i c u l a r l y c o m p e t e n t t o a n a l y z e t h e d a t a , a n d s p o t the fallacies, i n a r g u m e n t s a b o u t m e a s u r e d d i f f e r e n c e s a m o n g h u m a n groups. B u t a n y w o r k i n g scientist c o u l d s o p r o c e e d . W e n o w c o m e t o t h e g r e a t p a r o c h i a l i s m o f m y p r i m a r y p r o f e s s i o n . M o s t scientists d o n ' t c a r e a f i g a b o u t history; m y c o l l e a g u e s m a y n o t q u i t e follow H e n r y F o r d ' s d i c t u m that history is b u n k , b u t t h e y do r e g a r d t h e past as a m e r e r e p o s i t o r y o f e r r o r — a t best a s o u r c e o f m o r a l i n s t r u c t i o n i n pitfalls a l o n g p a t h s t o p r o g r e s s . S u c h a n a t t i t u d e d o e s n o t c r e a t e s y m p a t h y f o r , o r interest in, historical f i g u r e s o f o u r scientific past, p a r t i c u l a r l y t h e folks w h o m a d e m a j o r mistakes. T h u s , most scientists c o u l d , in p r i n c i p l e , a n a l y z e t h e o r i g i n a l data sets of b i o l o g i c a l determinism, but w o u l d never be inclined even to contemplate such an effort. P r o f e s s i o n a l h i s t o r i a n s , o n t h e o t h e r h a n d , c o u l d r e r u n t h e statistics a n d criticize t h e g r a p h s o f t h e i r subjects. T h e p r o c e d u r e i s really n o t all that a r c a n e or difficult. B u t a g a i n we e n c o u n t e r a trade's p a r o c h i a l i s m : historians s t u d y social c o n t e x t s . A historian
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w o u l d want to know h o w Morton's conclusion about the inferiority o f c r a n i a l capacity i n A m e r i c a n I n d i a n s i m p a c t e d t h e d e b a t e s a b o u t w e s t w a r d e x p a n s i o n — b u t w o u l d not g e n e r a l l y t h i n k a b o u t sitting d o w n with M o r t o n ' s tables o f skull m e a s u r e m e n t s a n d t r y i n g t o f i g u r e o u t w h e t h e r M o r t o n h a d r e p o r t e d his d a t a c o r r e c t l y . I t h e r e f o r e f o u n d my special n i c h e , f o r I c o u l d a n a l y z e t h e d a t a w i t h s o m e statistical e x p e r t i s e a n d attention to d e t a i l — a n d I do l o v e to s t u d y the historical o r i g i n of g r e a t t h e m e s that still s u r r o u n d us. I c o u l d , in s h o r t , c o m b i n e the scientist's skill with t h e historian's c o n c e r n . The Mismeasure of Man t h e r e f o r e f o c u s e s u p o n t h e analysis of g r e a t d a t a sets i n t h e history o f biological d e t e r m i n i s m . T h i s b o o k i s a c h r o n i c l e of d e e p a n d i n s t r u c t i v e fallacies (not silly a n d superficial e r r o r s ) i n the o r i g i n a n d d e f e n s e o f t h e t h e o r y o f u n i t a r y , linearly r a n k e d , innate, and minimally alterable intelligence. The Mismeasure of Man is t h e r e f o r e u n a b a s h e d l y " i n t e r n a l i s t " in t r e a t i n g m e a s u r e d i n t e l l i g e n c e . I r e a n a l y z e t h e d a t a o f history's g r e a t c l a i m s — i n a w a y , I h o p e , m o r e a k i n to f o r e n s i c a d v e n t u r e (a subject o f g e n e r a l fascination) t h a n o f c a t a l o g u e s a s d r y a s d u s t . W e will e x p l o r e M o r t o n ' s switch f r o m m u s t a r d seed to l e a d shot in the m e a s u r e m e n t o f c r a n i a l c a p a c i t y ; B r o c a ' s m e t i c u l o u s statistics i n t h e o d d light o f his u n c o n s c i o u s social p r e j u d i c e s ; G o d d a r d ' s a l t e r e d p h o t o g r a p h s o f t h e i m b e c i l e line o f K a l l i k a k s i n t h e N e w J e r s e y p i n e b a r r e n s ; Y e r k e s ' s s u p p o s e d test o f i n n a t e i n t e l l i g e n c e (but actual i n d e x o f familiarity w i t h A m e r i c a n c u l t u r e ) g i v e n t o all a r m y r e c r u i t s in W o r l d W a r I ( a n d also, by y o u r s truly, to classes of H a r v a r d u n d e r g r a d u a t e s ) ; C y r i l B u r t ' s g r e a t , c r u c i a l , a n d g e n u i n e e r r o r (not his insignificant a n d later o v e r t f r a u d ) i n t h e m a t h e m a t i c a l justification of i n t e l l i g e n c e as a single f a c t o r . T w o f a m o u s a n d c o n t r a d i c t o r y q u o t a t i o n s c a p t u r e the interest a n d p o t e n t i a l i m p o r t a n c e o f this e n d e a v o r , this t h i r d a s p e c t o f m y f r a m e f o r t h e m i s m e a s u r e o f m a n . G o d d w e l l s i n t h e details; s o d o e s the devil.
Why revise The Mismeasure of Man after fifteen years? I r e g a r d the c r i t i q u e of b i o l o g i c a l d e t e r m i n i s m as b o t h timeless a n d timely. T h e n e e d f o r analysis i s timeless b e c a u s e the e r r o r s o f b i o l o g i c a l d e t e r m i n i s m a r e s o d e e p a n d insidious, a n d b e c a u s e t h e a r g u m e n t a p p e a l s t o t h e w o r s t m a n i f e s t a t i o n s o f o u r c o m m o n na-
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t u r e . T h e d e p t h r e c o r d s t h e link o f biological d e t e r m i n i s m t o s o m e o f t h e oldest issues a n d e r r o r s o f o u r p h i l o s o p h i c a l t r a d i t i o n s — i n c l u d i n g reductionism, o r the d e s i r e t o e x p l a i n partly r a n d o m , l a r g e scale, a n d i r r e d u c i b l y c o m p l e x p h e n o m e n a b y d e t e r m i n i s t i c b e h a v ior o f smallest c o n s t i t u e n t parts (physical objects b y a t o m s i n m o t i o n , m e n t a l f u n c t i o n i n g by i n h e r i t e d a m o u n t of a c e n t r a l stuff); reification, or t h e p r o p e n s i t y to c o n v e r t an abstract c o n c e p t (like intellig e n c e ) into a h a r d entity (like an a m o u n t of quantifiable b r a i n s t u f f ) ; dichotomization, o r o u r d e s i r e t o p a r s e c o m p l e x a n d c o n t i n u o u s reality i n t o divisions b y t w o (smart a n d s t u p i d , black a n d w h i t e ) ; a n d hierarchy, or o u r inclination to o r d e r items by r a n k i n g t h e m in a l i n e a r series o f i n c r e a s i n g w o r t h ( g r a d e s o f i n n a t e i n t e l l i g e n c e i n this case, t h e n o f t e n b r o k e n into a t w o f o l d division by o u r u r g e s to d i c h o t o m i z e , as in n o r m a l vs. f e e b l e - m i n d e d , to use the f a v o r e d t e r m i n o l o g y o f e a r l y d a y s i n I Q testing). W h e n w e j o i n o u r t e n d e n c i e s t o c o m m i t these g e n e r a l e r r o r s w i t h t h e sociopolitical reality of a x e n o p h o b i a that so o f t e n (and so sadly) r e g u l a t e s o u r a t t i t u d e t o " o t h e r s " j u d g e d i n f e r i o r , w e g r a s p the p o t e n c y of b i o l o g i c a l d e t e r m i n i s m as a social w e a p o n — f o r " o t h e r s " will b e t h e r e b y d e m e a n e d , a n d their l o w e r s o c i o e c o n o m i c status v a l i d a t e d as a scientific c o n s e q u e n c e of their i n n a t e i n e p t i t u d e r a t h e r t h a n society's u n f a i r c h o i c e s . M a y I t h e r e f o r e r e p e a t D a r w i n ' s g r e a t line: " I f t h e m i s e r y o f o u r p o o r b e c a u s e d n o t b y the laws o f n a t u r e , b u t b y o u r institutions, g r e a t i s o u r sin." B u t c r i t i q u e s o f b i o l o g i c a l d e t e r m i n i s m a r e also timely a t c e r t a i n m o m e n t s (including the present) b e c a u s e — a n d you may now choose your favorite image, f r o m heads of the Lernaean H y d r a if y o u r tastes b e classical, t o b a d p e n n i e s o r r e t u r n i n g cats i f y o u p r e f e r f a m i l i a r p r o v e r b s , t o c r a b g r a s s o n s u b u r b a n lawns i f y o u f a v o r vern a c u l a r m o d e r n i t y — t h e s a m e b a d a r g u m e n t s r e c u r e v e r y few y e a r s with a predictable a n d depressing regularity. No sooner do we deb u n k o n e v e r s i o n t h a n the n e x t c h a p t e r o f the s a m e b a d text emerges to ephemeral prominence. No mystery attends the reason for these recurrences. T h e y are n o t m a n i f e s t a t i o n s o f s o m e u n d e r l y i n g cyclicity, o b e y i n g a n a t u r a l law that m i g h t be c a p t u r e d in a m a t h e m a t i c a l f o r m u l a as c o n v e n i e n t a s I Q ; n o r d o these e p i s o d e s r e p r e s e n t a n y h o t item o f n e w d a t a o r s o m e p r e v i o u s l y u n c o n s i d e r e d n o v e l twist i n a r g u m e n t , f o r t h e t h e o r y o f u n i t a r y , r a n k a b l e , i n n a t e , a n d effectively u n c h a n g e a b l e
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i n t e l l i g e n c e n e v e r alters v e r y m u c h i n e a c h s e q u e n t i a l f o r m u l a t i o n . E a c h s u r g e t o p o p u l a r i t y w o r k s with t h e s a m e fallacious logic a n d flawed information. T h e r e a s o n s f o r r e c u r r e n c e a r e sociopolitical, a n d n o t far t o seek: r e s u r g e n c e s o f b i o l o g i c a l d e t e r m i n i s m c o r r e l a t e with e p i s o d e s o f political r e t r e n c h m e n t , p a r t i c u l a r l y with c a m p a i g n s f o r r e d u c e d g o v e r n m e n t s p e n d i n g o n social p r o g r a m s , o r a t t i m e s o f f e a r a m o n g r u l i n g elites, w h e n d i s a d v a n t a g e d g r o u p s sow s e r i o u s social u n r e s t o r e v e n t h r e a t e n t o u s u r p p o w e r . W h a t a r g u m e n t a g a i n s t social c h a n g e c o u l d b e m o r e c h i l l i n g l y e f f e c t i v e t h a n t h e claim that established o r d e r s , w i t h s o m e g r o u p s o n t o p a n d o t h e r s a t t h e b o t t o m , exist a s a n a c c u r a t e reflection o f t h e i n n a t e a n d u n c h a n g e a b l e intell e c t u a l capacities o f p e o p l e s o r a n k e d ? W h y s t r u g g l e a n d s p e n d t o raise the u n b o o s t a b l e I Q o f r a c e s o r social classes a t t h e b o t t o m o f t h e e c o n o m i c l a d d e r ; b e t t e r s i m p l y t o a c c e p t n a t u r e ' s u n f o r t u n a t e dictates a n d save a passel o f f e d e r a l f u n d s ; (we c a n t h e n m o r e easily sustain tax b r e a k s f o r the w e a l t h y ! ) ? W h y bother yourself about underrepresentation of disadvantaged g r o u p s i n y o u r h o n o r e d a n d r e m u n e r a t i v e bailiwick i f s u c h a b s e n c e r e c o r d s t h e d i m i n i s h e d ability o r g e n e r a l i m m o r a l i t y , biologically imposed, of most m e m b e r s in the rejected g r o u p , a n d not the legacy o r c u r r e n t reality o f social p r e j u d i c e ? ( T h e g r o u p s s o s t i g m a t i z e d m a y b e r a c e s , classes, s e x e s , b e h a v i o r a l p r o p e n s i t i e s , r e l i g i o n s , o r n a t i o n a l o r i g i n s . B i o l o g i c a l d e t e r m i n i s m is a g e n e r a l t h e o r y , a n d p a r t i c u l a r b e a r e r s o f c u r r e n t d i s p a r a g e m e n t act a s s u r r o g a t e s f o r all o t h e r s subject t o similar p r e j u d i c e a t d i f f e r e n t t i m e s a n d places. I n this s e n s e , calls f o r solidarity a m o n g d e m e a n e d g r o u p s s h o u l d n o t b e d i s m i s s e d a s m e r e political r h e t o r i c , b u t r a t h e r a p p l a u d e d a s p r o p e r reactions to c o m m o n reasons for mistreatment.) Please n o t e that I am d i s c u s s i n g t h e cyclical surge to popularity of innatist a r g u m e n t s f o r u n i t a r y , r a n k a b l e i n t e l l i g e n c e , n o t the episodic f o r m u l a t i o n o f s u c h claims. T h e g e n e r a l a r g u m e n t i s always p r e s e n t , always available, always p u b l i s h e d , always e x p l o i t a b l e . E p i sodes of intense public attention therefore record swings in the pend u l u m o f political p r e f e r e n c e s t o w a r d t h e r i g h t position f o r e x p l o i t i n g this h o a r y o l d fallacy with a s e r i o u s n e s s b a s e d on naive h o p e o r cynical r e c o g n i t i o n o f e v i d e n t utility. R e s u r g e n c e s o f b i o l o g ical d e t e r m i n i s m c o r r e l a t e w i t h p e r i o d s o f political r e t r e n c h m e n t a n d d e s t r u c t i o n o f social g e n e r o s i t y .
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T w e n t i e t h - c e n t u r y A m e r i c a has e x p e r i e n c e d t h r e e m a j o r epis o d e s , e a c h s o c o r r e l a t e d . T h e f i r s t constitutes o n e o f t h e s a d d e s t i r o n i e s of A m e r i c a n history, a n d sets t h e l o n g e s t c h a p t e r in The Mismeasure of Man. We like to t h i n k of A m e r i c a as a l a n d with g e n e r ally e g a l i t a r i a n t r a d i t i o n s , a n a t i o n " c o n c e i v e d in liberty a n d d e d i cated to the p r o p o s i t i o n that all m e n are c r e a t e d e q u a l . " W e r e c o g n i z e , au contraire, that m a n y E u r o p e a n nations, with their l o n g histories o f m o n a r c h y , f e u d a l o r d e r , a n d social stratification, h a v e b e e n less c o m m i t t e d t o ideals o f socialjustice o r equality o f o p p o r t u nity. S i n c e t h e I Q test o r i g i n a t e d i n F r a n c e , w e m i g h t n a t u r a l l y ass u m e that t h e false h e r e d i t a r i a n i n t e r p r e t a t i o n , s o c o m m o n l y a n d s o h a r m f u l y i m p o s e d u p o n t h e tests, a r o s e i n E u r o p e . Ironically, this r e a s o n a b l e a s s u m p t i o n i s e n t i r e l y false. A s d o c u m e n t e d i n C h a p t e r 6, A l f r e d B i n e t , the F r e n c h i n v e n t o r , n o t o n l y a v o i d e d a h e r e d i tarian i n t e r p r e t a t i o n o f his test, b u t explicitly (and f e r v e n t l y ) w a r n e d a g a i n s t s u c h a r e a d i n g as a p e r v e r s i o n of his d e s i r e to u s e the tests f o r i d e n t i f y i n g c h i l d r e n w h o n e e d e d special h e l p . ( B i n e t a r g u e d that a n innatist i n t e r p r e t a t i o n w o u l d o n l y stigmatize c h i l d r e n a s u n t e a c h a b l e , t h u s p r o d u c i n g a result o p p o s i t e to his i n t e n t — a f e a r e n t i r e l y a n d tragically j u s t i f i e d by later history.)* T h e hereditarian interpretation of IQ arose in America, largely t h r o u g h p r o s e t y l i z a t i o n o f the t h r e e p s y c h o l o g i s t s — H . H . G o d d a r d , L . M . T e r m a n , a n d R . M . Y e r k e s — w h o translated a n d p o p u l a r i z e d the tests in this c o u n t r y . If we ask h o w s u c h a p e r v e r s i o n c o u l d o c c u r i n o u r l a n d o f liberty a n d j u s t i c e f o r all, w e m u s t r e m e m b e r that t h e y e a r s j u s t f o l l o w i n g W o r l d W a r I , t h e t i m e o f p e a k activity f o r t h e s e scientists, f e a t u r e d a n a r r o w , p a r o c h i a l , j i n g o i s t i c , isolationist "nativist" ( W A S P , n o t I n d i a n ) , r a l l y - r o u n d - t h e - f l a g , t i n h o r n p a t r i o t i s m u n m a t c h e d by any other period d u r i n g our century, even in the h e y d a y o f M c C a r t h y i s m d u r i n g t h e e a r l y 1950s. T h i s was t h e a g e o f restriction u p o n i m m i g r a t i o n , t h e s p r e a d o f J e w i s h q u o t a s , t h e execution of Sacco and Vanzetti, the height of lynchings in the S o u t h e r n states. I n t e r e s t i n g l y , m o s t o f t h e m e n w h o built b i o d e t e r m i n i s m i n the i g 2 o s r e c a n t e d t h e i r o w n c o n c l u s i o n s d u r i n g t h e libe r a l s w i n g o f t h e 1930s, w h e n P h . D . ' s w a l k e d d e p r e s s i o n b r e a d l i n e s a n d p o v e r t y c o u l d n o l o n g e r b e e x p l a i n e d b y i n n a t e stupidity. T h e t w o m o s t r e c e n t e p i s o d e s also c o r r e l a t e with political swings. T h e first i n s p i r e d me to write The Mismeasure of Man as a positive r e a c t i o n w i t h an a l t e r n a t i v e vision (not, I trust, as a negativistic
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d i a t r i b e ) ; t h e s e c o n d has p r o m p t e d m e t o p u b l i s h this r e v i s e d v e r sion. A r t h u r J e n s e n l a u n c h e d t h e f i r s t o f these r e c e n t e p i s o d e s i n 1 9 6 9 w i t h a n o t o r i o u s l y fallacious article on the s u p p o s e d i n n a t e n e s s of g r o u p d i f f e r e n c e s i n I Q (with e m p h a s i s o n disparity b e t w e e n whites a n d blacks in A m e r i c a ) . His c h i l l i n g o p e n i n g line b e l i e d all his later c l a i m s that he h a d o n l y p u b l i s h e d as a d i s i n t e r e s t e d s c h o l a r , a n d n o t as a m a n with a social a g e n d a . He b e g a n with an e x p l i c i t attack u p o n t h e f e d e r a l H e a d S t a r t p r o g r a m : " C o m p e n s a t o r y e d u c a t i o n has b e e n tried a n d i t a p p a r e n t l y has f a i l e d . " M y c o l l e a g u e R i c h a r d H e r r n s t e i n fired a s e c o n d m a j o r salvo in 1 9 7 1 , with an article in the Atlantic Monthly that b e c a m e t h e o u t l i n e a n d e p i t o m e of The Bell Curve, p u b l i s h e d w i t h C h a r l e s M u r r a y i n 1 9 9 4 , a n d t h e i m m e d i a t e p r o d f o r this r e v i s e d v e r s i o n of The Mismeasure of Man. As I stated a b o v e , articles on this subject by p e o p l e of n o t o r i e t y a p p e a r e v e r y m o n t h i n p r o m i n e n t places. I n a n a l y z i n g w h y J e n s e n ' s p i e c e b e c a m e s u c h a cause celebre, r a t h e r t h a n o n e m o r e i g n o r e d m a n i f e s t o w i t h i n a w e l l - k n o w n g e n r e , we m u s t t u r n to social c o n t e x t . S i n c e J e n s e n ' s article c o n t a i n e d n o n o v e l a r g u m e n t , w e m u s t seek t h e newly fertile soil that a l l o w e d s u c h a n o l d a n d e v e r - p r e s e n t s e e d to g e r m i n a t e . As I also stated a b o v e , I am no social p u n d i t , a n d my view on this issue m a y be naive. B u t I well r e m e m b e r these politically active times o f m y y o u t h . I recall t h e g r o w t h o f o p p o s i t i o n t o the V i e t n a m W a r , t h e assassination o f M a r t i n L u t h e r K i n g i n 1 9 6 8 (and t h e f e a r i n s p i r e d b y a t t e n d a n t u r b a n riots), t h e s t e p p i n g d o w n o f L y n d o n J o h n s o n , inside a n d o u t s i d e strife a t t h e C h i c a g o D e m o cratic Party C o n v e n t i o n o f 1 9 6 8 , a n d t h e r e s u l t i n g e l e c t i o n o f Richard N i x o n as p r e s i d e n t — w i t h the onset of a conservative reaction that always e n g e n d e r s r e n e w e d a t t e n t i o n f o r t h e false a n d o l d , b u t n o w a g a i n u s e f u l , a r g u m e n t s of biological d e t e r m i n i s m . I w r o t e The Mismeasure of Man at t h e a p o g e e of this r e a c t i o n , s t a r t i n g in t h e m i d 1 9 7 0 s . T h e f i r s t e d i t i o n a p p e a r e d i n 1 9 8 1 , a n d t h e b o o k has b e e n v i g o r o u s l y i n p r i n t e v e r since. I h a d no p l a n s f o r a r e v i s e d v e r s i o n . I am n o t a m o d e s t p e r s o n , t h o u g h I d o try t o k e e p m y a r r o g a n c e t o m y s e l f (not always successfully, I s u p p o s e ) . B u t I felt no n e e d f o r an u p d a t e b e c a u s e I h a d m a d e w h a t I still r e g a r d as a wise d e c i s i o n w h e n I first w r o t e the b o o k (and s u r e l y n o t b e c a u s e I view this f l a w e d , b u t p r o u d , child of m i n e as u n i m p r o v a b l e ! ) . The Mismeasure of Man r e q u i r e d no u p d a t e
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o v e r the first f i f t e e n y e a r s b e c a u s e I h a d f o c u s e d o n t h e f o u n d a t i o n d o c u m e n t s of biological determinism, a n d not on " c u r r e n t " usages s o q u i c k l y s u p e r a n n u a t e d . I h a d stressed t h e d e e p p h i l o s o p h i c a l e r r o r s that d o n o t c h a n g e r a t h e r t h a n t h e i m m e d i a t e (and s u p e r f i cial) m a n i f e s t a t i o n s that b e c o m e o b s o l e t e y e a r b y y e a r . T h e t h i r d m a j o r e p i s o d e t h e n k i c k e d o f f i n 1 9 9 4 , with p u b l i c a tion of The Bell Curve by R i c h a r d H e r r n s t e i n a n d C h a r l e s M u r r a y . A g a i n , their l o n g b o o k c o n t a i n e d n o t h i n g n e w , t h o u g h the a u t h o r s s p u n o u t t h e o l d a r g u m e n t s o v e r e i g h t h u n d r e d p a g e s f i l l e d with c o p i o u s c h a r t s a n d g r a p h s that b a m b o o z l e p e o p l e i n t o c o n f u s i n g b o t h n o v e l t y a n d p r o f u n d i t y w i t h their f e a r o f i n c o m p r e h e n s i o n . (In fact, The Bell Curve is e m i n e n t l y u n d e r s t a n d a b l e . T h e a r g u m e n t i s o l d , u n c o m p l i c a t e d , a n d f a m i l i a r ; t h e m a t h e m a t i c s , t h o u g h lab o r e d t h r o u g h s e v e r a l h u n d r e d p a g e s b y i t e r a t i n g e x a m p l e after e x a m p l e , represents o n e study, appropriately simple in concept, a n d easy e n o u g h t o c o m p r e h e n d . M o r e o v e r , f o r all m y s e v e r e criticism of t h e a u t h o r s ' c o n t e n t , I will h a p p i l y g r a n t that they w r i t e well a n d clearly.) W h e n I m e t C h a r l e s M u r r a y i n d e b a t e a t H a r v a r d ' s Institute of Politics, I c o u l d o n l y t h i n k to b e g i n w i t h a f a v o r i t e line f r o m S h a k e s p e a r e ' s Love's Labour Lost: " H e d r a w e t h o u t the t h r e a d o f his v e r b o s i t y f i n e r t h a n t h e staple o f his a r g u m e n t . " T h e r e m a r k a b l e i m p a c t of The Bell Curve m u s t t h e r e f o r e , a n d o n c e a g a i n a s a l w a y s , b e r e c o r d i n g a s w i n g o f the political p e n d u l u m to a sad p o s i t i o n that r e q u i r e s a r a t i o n a l e f o r a f f i r m i n g social inequalities as dictates of b i o l o g y . (If I m a y m a k e a s o m e w h a t l u r i d , b u t I t h i n k a propos, b i o l o g i c a l a n a l o g y , the t h e o r y of u n i t a r y , r a n k a b l e , i n n a t e , u n a l t e r a b l e i n t e l l i g e n c e acts like a f u n g a l s p o r e , a d i n o f l a g ellate cyst, or a t a r d i g r a d e t u n — a l w a y s p r e s e n t in a b u n d a n c e , b u t in a n inactive, d o r m a n t , o r r e s t i n g stage, w a i t i n g t o s p r o u t , e n g o r g e , or awake w h e n fluctuating external conditions terminate slumber.) S o m e r e a s o n s f o r The Bell Curve's i m p a c t m u s t be i d i o s y n c r a t i c — a c a t c h y title, a fine j o b of e d i t i n g by a l e g e n d a r y figure on t h e N e w Y o r k s c e n e , a brilliant publicity c a m p a i g n (I will c o n f e s s to j e a l o u s y , a n d a d e s i r e to find t h e p e o p l e r e s p o n s i b l e so that I c a n h i r e t h e m a w a y f o r m y o w n b o o k s ) . B u t t h e s e p a r t i c u l a r factors m u s t c o u n t f o r little in c o m p a r i s o n with the o v e r a r c h i n g g e n e r a l i t y : n e w l y fertile political soil. S h o u l d a n y o n e be s u r p r i s e d that p u b l i c a t i o n of The Bell Curve c o i n c i d e d exactly w i t h t h e e l e c t i o n of N e w t G i n g r i c h ' s C o n g r e s s , a n d w i t h a n e w a g e o f social m e a n n e s s u n p r e c e d e n t e d i n
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m y lifetime? Slash e v e r y p r o g r a m o f social services f o r p e o p l e i n g e n u i n e n e e d ; t e r m i n a t e s u p p o r t f o r t h e arts (but d o n ' t c u t a d i m e , h e a v e n f o r f e n d , f r o m t h e military); b a l a n c e the b u d g e t a n d p r o v i d e tax r e l i e f f o r the w e a l t h y . P e r h a p s I a m c a r i c a t u r i n g , b u t c a n w e d o u b t the c o n s o n a n c e o f this n e w m e a n s p i r i t e d n e s s w i t h a n a r g u m e n t that social s p e n d i n g c a n ' t w o r k b e c a u s e , c o n t r a D a r w i n , t h e m i s e r y o f the p o o r d o e s result f r o m t h e laws o f n a t u r e a n d f r o m the innate ineptitude of the disadvantaged? I w o u l d a d d a n o t h e r r e a s o n f o r the p a r t i c u l a r a p p e a l o f g e n e t i c e x p l a n a t i o n s i n t h e 1990s. W e a r e l i v i n g i n a r e v o l u t i o n a r y a g e o f scientific a d v a n c e f o r m o l e c u l a r b i o l o g y . F r o m t h e W a t s o n - C r i c k m o d e l o f 1 9 5 3 t o t h e i n v e n t i o n o f P C R a n d the r o u t i n e s e q u e n c i n g of D N A — f o r purposes as varied as O. J. Simpson's blood signature to d e c i p h e r i n g the phylogeny of b i r d s — w e now have unpreced e n t e d access t o i n f o r m a t i o n a b o u t t h e g e n e t i c c o n s t i t u t i o n o f individuals. We naturally favor, a n d tend to o v e r e x t e n d , exciting n o v e l t i e s i n v a i n h o p e that t h e y m a y s u p p l y g e n e r a l solutions o r p a n a c e a s — w h e n s u c h c o n t r i b u t i o n s really c o n s t i t u t e m o r e m o d e s t (albeit vital) pieces o f a m u c h m o r e c o m p l e x p u z z l e . W e h a v e s o t r e a t e d all g r e a t insights a b o u t h u m a n n a t u r e i n t h e past, i n c l u d i n g n o n g e n e t i c t h e o r i e s r o o t e d i n f a m i l y a n d social d y n a m i c s , m o s t n o t a b l y (of c o u r s e ) F r e u d ' s n o t i o n o f p s y c h o s e x u a l stages, w i t h n e u rosis a r i s i n g f r o m s u p p r e s s e d o r m i s d i r e c t e d d e v e l o p m e n t i n o n t o g eny. If insightful nongenetic theories could be so egregiously e x a g g e r a t e d i n the past, s h o u l d w e b e s u r p r i s e d that w e a r e n o w r e p e a t i n g this e r r o r b y o v e r e x t e n d i n g the g e n u i n e e x c i t e m e n t w e feel a b o u t g e n e t i c e x p l a n a t i o n ? I a p p l a u d t h e d i s c o v e r y o f g e n e s that p r e d i s p o s e c a r r i e r s t o certain illnesses, o r that c a u s e disease directly i n n o r m a l e n v i r o n m e n t s ( T a y - S a c h s , sickle-cell a n e m i a , H u n t i n g t o n ' s c h o r e a ) — f o r t h e g r e a t est h o p e of c u r e lies in identification of a m a t e r i a l substrate a n d a m o d e o f a c t i o n . A s t h e f a t h e r o f a n autistic s o n , I also c e l e b r a t e the h u m a n e a n d l i b e r a t i n g v a l u e o f i d e n t i f y i n g i n b o r n b i o l o g i c a l bases f o r c o n d i t i o n s o n c e d e e m e d p u r e l y p s y c h o g e n i c , a n d t h e r e f o r e subtly b l a m e d o n p a r e n t s (especially b y p r o f e s s i o n a l s w h o s w o r e u p a n d d o w n t h e y h a r b o r e d n o s u c h intent, b u t m e r e l y m e a n t t o specify s o u r c e s i n t h e interest o f f u t u r e p r e v e n t i o n ; a u t i s m , a t d i f f e r e n t t i m e s a n d b y v a r i o u s p s y c h o l o g i s t s , b e c a m e a result e i t h e r o f t o o m u c h , o r o f t o o little, m a t e r n a l love). T h e b r a i n , a s a n o r g a n o f t h e b o d y , i s a s subject t o disease a n d
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g e n e t i c d e f e c t as a n y o t h e r . I w e l c o m e the d i s c o v e r y of g e n e t i c causes or influences for such scourges as schizophrenia, bipolar manic depression, and obsessive-compulsive disorder. No pain can m a t c h that of a p a r e n t w h o " l o s e s " a v i b r a n t a n d p r o m i s i n g child to t h e r a v a g e s o f s u c h illnesses, w i t h their f r e q u e n t l y d e l a y e d o n s e t n e a r the e n d o f life's s e c o n d d e c a d e . L e t u s c e l e b r a t e t h e release o f p a r e n t s f r o m c o n s u m i n g guilt a n d , m o r e i m p o r t a n t o f c o u r s e , t h e possibility o f a m e l i o r a t i o n , o r e v e n c u r e , s u p p l i e d b y identification of causes. B u t all t h e s e g e n u i n e d i s c o v e r i e s i n v o l v e definite a n d specific p a t h o l o g i e s , diseases, o r c o n d i t i o n s that t h w a r t w h a t w e m a y still legitimately call " n o r m a l " d e v e l o p m e n t — t h a t is, the bell c u r v e . (Bell c u r v e s a r e t e c h n i c a l l y called n o r m a l d i s t r i b u t i o n s ; t h e y arise w h e n v a r i a t i o n i s d i s t r i b u t e d r a n d o m l y a r o u n d the m e a n — e q u a l l y i n b o t h d i r e c t i o n s , w i t h g r e a t e r probability o f v a l u e s n e a r t h e m e a n . ) S p e cific p a t h o l o g i e s d o n o t fall o n the bell c u r v e , b u t usually f o r m c l u m p s o r clusters f a r f r o m t h e c u r v e ' s m e a n v a l u e a n d a p a r t f r o m the n o r m a l d i s t r i b u t i o n . T h e c a u s e s o f t h e s e e x c e p t i o n s t h e r e f o r e d o n o t c o r r e s p o n d with r e a s o n s f o r v a r i a t i o n a r o u n d the m e a n o f t h e bell c u r v e itself. J u s t b e c a u s e p e o p l e with D o w n ' s s y n d r o m e t e n d t o h a v e q u i t e s h o r t stature a s the result o f a n e x t r a twenty-first c h r o m o s o m e , w e w o u l d n o t i n f e r that s h o r t - s t a t u r e d p e o p l e i n the n o r m a l distribution o f t h e bell c u r v e o w e t h e i r h e i g h t t o possession o f a n e x t r a c h r o m o s o m e . Similarly, t h e d i s c o v e r y o f a g e n e " f o r " H u n t i n g t o n ' s chorea does not imply the existence of a g e n e for high intelligence, o r low a g g r e s s i v i t y , o r h i g h p r o p e n s i t y f o r x e n o p h o b i a , o r special attraction t o f a c e s , b o d i e s , o r legs o f a s e x u a l p a r t n e r — o r f o r a n y o t h e r g e n e r a l f e a t u r e that m i g h t be d i s t r i b u t e d as a bell c u r v e in t h e full p o p u l a t i o n . " C a t e g o r y m i s t a k e s " a r e a m o n g t h e m o s t c o m m o n e r r o r s o f h u m a n t h o u g h t : w e c o m m i t a classic c a t e g o r y m i s t a k e i f w e e q u a t e t h e c a u s e s o f n o r m a l v a r i a t i o n with the r e a s o n s f o r p a t h o l o g i e s (just as we m a k e a c a t e g o r y e r r o r in a r g u i n g that b e c a u s e I Q has m o d e r a t e heritability w i t h i n g r o u p s , t h e c a u s e s f o r a v e r a g e d i f f e r e n c e s b e t w e e n g r o u p s m u s t b e g e n e t i c — s e e m y r e v i e w o f The Bell Curve in essay 1 at t h e b a c k ) . T h u s , we s h o u l d be e x c i t e d a b o u t a d v a n c e s i n i d e n t i f y i n g the g e n e t i c c a u s e s o f c e r t a i n diseases, b u t w e s h o u l d n o t m o v e f r o m this style o f e x p l a n a t i o n t o t h e r e s o l u t i o n o f behavioral variation in o u r general population. O f all t h e b a l e f u l false d i c h o t o m i e s that stymie o u r u n d e r s t a n d -
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i n g o f t h e w o r l d ' s c o m p l e x i t y , n a t u r e vs. n u r t u r e m u s t r a n k a m o n g t h e t o p two o r t h r e e ( a p h o n y division o n l y e n h a n c e d b y t h e e u p h o n y o f t h e s e n a m e s ) . I d o n ' t t h i n k that a n y s m o k e s c r e e n i n f u r i ates m e m o r e t h a n t h e b i o d e t e r m i n i s t ' s f r e q u e n t c l a i m " B u t w e a r e the sophisticated ones; o u r o p p o n e n t s are p u r e environmentalists, s u p p o r t e r s o f n u r t u r e a l o n e ; w e r e c o g n i z e that b e h a v i o r s arise b y an interaction of nature and nurture." May I then emphasize again, as t h e text of The Mismeasure of Man d o e s t h r o u g h o u t , that all parties t o t h e d e b a t e , i n d e e d all p e o p l e o f g o o d will a n d d e c e n t i n f o r m a t i o n , s u p p o r t the u t t e r l y u n c o n t r o v e r s i a l s t a t e m e n t that h u m a n f o r m a n d b e h a v i o r arise f r o m c o m p l e x m i x t u r e s o f g e n e t i c a n d e n v i r o n m e n tal i n f l u e n c e s . E r r o r s o f r e d u c t i o n i s m a n d b i o d e t e r m i n i s m take o v e r i n s u c h silly s t a t e m e n t s as " I n t e l l i g e n c e is 60 p e r c e n t g e n e t i c a n d 40 p e r c e n t e n v i r o n m e n t a l . " A 60 p e r c e n t (or w h a t e v e r ) "heritability" f o r intellig e n c e m e a n s n o s u c h t h i n g . W e shall n o t g e t this issue s t r a i g h t until w e r e a l i z e that t h e " i n t e r a c t i o n i s m " w e all a c c e p t d o e s n o t p e r m i t s u c h s t a t e m e n t s as " T r a i t x is 29 p e r c e n t e n v i r o n m e n t a l a n d 71 p e r c e n t g e n e t i c . " W h e n c a u s a t i v e factors ( m o r e t h a n t w o , b y t h e way) interact so complexly, and t h r o u g h o u t growth, to p r o d u c e an intricate a d u l t b e i n g , w e c a n n o t , i n p r i n c i p l e , p a r s e that b e i n g ' s b e h a v i o r into q u a n t i t a t i v e p e r c e n t a g e s o f r e m o t e r o o t c a u s e s . T h e a d u l t b e i n g i s a n e m e r g e n t entity w h o m u s t b e u n d e r s t o o d a t his o w n level a n d i n his o w n totality. T h e truly salient issues a r e malleability a n d flexibility, n o t fallacious p a r s i n g by p e r c e n t a g e s . A trait m a y be 90 p e r c e n t h e r i t a b l e , y e t e n t i r e l y m a l l e a b l e . A t w e n t y - d o l l a r p a i r o f e y e g l a s s e s f r o m the local p h a r m a c y m a y fully c o r r e c t a d e f e c t of vision that is 100 p e r c e n t h e r i t a b l e . A "60 p e r c e n t " b i o d e t e r m i n i s t is n o t a subtle interactionist, b u t a d e t e r m i n i s t on t h e "little bit p r e g nant" model. T h u s , for example, Mr. Murray, in high d u d g e o n about my r e v i e w of The Bell Curve ( r e p r i n t e d h e r e as t h e first essay in the c o n c l u d i n g section), w r i t e s in t h e Wall Street Journal ( D e c e m b e r 2, 1994), excoriating my supposed unfairness to him: Gould goes on to say that "Herrnstein and Murray violate fairness by converting a complex case that can yield only agnosticism into a biased brief for permanent and heritable differences." Now compare Mr. Gould's words with what Richard Herrnstein and I wrote in the crucial paragraph summarizing our views on genes and race: "If the reader is now convinced that
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either the genetic or environmental explanations have won out to the exclusion of the other, we have not done a sufficiently good j o b of presenting one side or the other. It seems highly likely to us that both genes and the environment have something to do with racial differences. What might the mix be?" D o n ' t y o u g e t it y e t , M r . M u r r a y ? I d i d n o t state that y o u a t t r i b u t e all d i f f e r e n c e t o g e n e t i c s — n o p e r s o n w i t h a n iota o f k n o w l e d g e w o u l d say s u c h a foolish t h i n g . My q u o t e d line d o e s n o t so c h a r g e y o u ; m y s e n t e n c e states a c c u r a t e l y that y o u a d v o c a t e " p e r m a n e n t a n d h e r i t a b l e d i f f e r e n c e s " — n o t that y o u a t t r i b u t e all d i s p a r i t y t o g e n e t i c s . Y o u r o w n d e f e n s e s h o w s that y o u d o n ' t g r a s p the m a j o r p o i n t . Y o u r s t a t e m e n t still p o r t r a y s t h e issue as a battle of t w o sides, w i t h e x c l u s i v e victory p ote nti ally available t o o n e . N o o n e b e l i e v e s such a thing; e v e r y o n e accepts interaction. Y o u then portray yourself a s a b r a v e a p o s t l e o f m o d e r n i t y a n d scholarly c a u t i o n f o r p r o c l a i m i n g it " h i g h l y likely . . . that b o t h g e n e s a n d t h e e n v i r o n m e n t h a v e s o m e t h i n g t o d o with racial d i f f e r e n c e s . " Y o u h a v e o n l y stated a t r u i s m e n t i r e l y o u t s i d e the r e a l issue. W h e n y o u m a k e the p r o p e r distinction b e t w e e n heritability a n d f l e x i b i l i t y o f b e h a v i o r a l e x p r e s sion, t h e n w e m i g h t h a v e a real d e b a t e b e y o n d t h e r h e t o r i c o f phrasing. I shall n o t p u r s u e my c r i t i q u e o f The Bell Curve h e r e , f o r I p r e s e n t this e f f o r t in t h e first t w o essays of the c o n c l u d i n g section. I o n l y wish to state that I d e c i d e d to p r o d u c e this r e v i s e d v e r s i o n of The Mismeasure of Man as a r e s p o n s e to this latest cyclic e p i s o d e of b i o d e t e r m i n i s m . I t m i g h t s e e m o d d that a b o o k w r i t t e n fifteen y e a r s a g o c o u l d s e r v e as a r e b u t t a l to a m a n i f e s t o issued in 1 9 9 4 — m o r e t h a n o d d , i n fact, since o u r basic n o t i o n s o f causality m a y b e t h e r e b y i n v e r t e d ! A n d yet, as I r e r e a d The Mismeasure of Man, a n d m a d e so few c h a n g e s b e y o n d c o r r e c t i n g t y p o g r a p h i c a l e r r o r s a n d e x c i s i n g the few r e f e r e n c e s e n t i r e l y topical t o 1 9 8 1 , 1 r e a l i z e d that m y fifteen y e a r old b o o k is w r i t t e n as a r e b u t t a l to The Bell Curve. (Lest this s t a t e m e n t s e e m a b s u r d l y a n a c h r o n i s t i c , I h a s t e n to p o i n t o u t that H e r r n s t e i n ' s 1 9 7 1 Atlantic Monthly article, a p o i n t by p o i n t e p i t o m e of The Bell Curve, d i d f o r m an i m p o r t a n t p a r t of t h e c o n t e x t f o r The Mismeasure of Man.) B u t my c l a i m is n o t a b s u r d l y a n a c h r o n i s t i c f o r a n o t h e r m o r e i m p o r t a n t r e a s o n . The Bell Curve p r e s e n t s n o t h i n g n e w . T h i s e i g h t h u n d r e d p a g e m a n i f e s t o i s little m o r e t h a n a l o n g b r i e f f o r the h a r d - l i n e v e r s i o n o f S p e a r m a n ' s g—the t h e o r y o f intel-
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l i g e n c e as a u n i t a r y , r a n k a b l e , genetically b a s e d , a n d m i n i m a l l y alt e r a b l e t h i n g in t h e h e a d . The Mismeasure of Man is a logical, e m p i r i c a l , a n d historical a r g u m e n t against this v e r y t h e o r y o f intellig e n c e . O f c o u r s e I c o u l d n o t k n o w the specifics o f w h a t the f u t u r e w o u l d bring. But j u s t as Darwinism can provide as g o o d an argum e n t against f u t u r e e p i s o d e s o f c r e a t i o n i s m a s against the a n t i e v o l u tionists of D a r w i n ' s o w n d a y , I trust that a c o g e n t r e f u t a t i o n of a b a n k r u p t t h e o r y will h o l d , with all its m e r i t intact, if s o m e o n e tries to float a d e a d issue with no n e w s u p p o r t at s o m e f u t u r e m o m e n t . T i m e , b y itself, h o l d s n o a l c h e m y t o i m p r o v e a case. I f g o o d a r g u m e n t s c a n n o t t r a n s c e n d t i m e , t h e n w e m i g h t a s well t h r o w o u t o u r libraries.
Reasons, history and revision ofThe Mismeasure of Man i.
Reasons
My o r i g i n a l r e a s o n s f o r w r i t i n g The Mismeasure of Man m i x e d t h e p e r s o n a l with t h e p r o f e s s i o n a l . I c o n f e s s , first of all, to s t r o n g feelings on this p a r t i c u l a r issue. I g r e w up in a family with a t r a d i t i o n of p a r t i c i p a t i o n in c a m p a i g n s f o r social j u s t i c e , a n d I w a s active, as a s t u d e n t , in t h e civil r i g h t s m o v e m e n t at a t i m e of g r e a t e x c i t e m e n t a n d success in the e a r l y 1960s. Scholars are often wary of citing such c o m m i t m e n t s , for, in the s t e r e o t y p e , an ice-cold i m p a r t i a l i t y acts as the sine qua non of p r o p e r a n d d i s p a s s i o n a t e objectivity. I r e g a r d this a r g u m e n t a s o n e o f the m o s t fallacious, e v e n h a r m f u l , claims c o m m o n l y m a d e i n m y p r o f e s sion. I m p a r t i a l i t y (even if d e s i r a b l e ) is u n a t t a i n a b l e by h u m a n b e i n g s w i t h inevitable b a c k g r o u n d s , n e e d s , beliefs, a n d d e s i r e s . I t i s d a n g e r o u s f o r a s c h o l a r e v e n t o i m a g i n e that h e m i g h t attain c o m p l e t e n e u t r a l i t y , f o r t h e n o n e stops b e i n g vigilant a b o u t p e r s o n a l p r e f e r e n c e s a n d t h e i r i n f l u e n c e s — a n d t h e n o n e truly falls victim t o t h e dictates o f p r e j u d i c e . Objectivity m u s t b e o p e r a t i o n a l l y d e f i n e d a s fair t r e a t m e n t o f d a t a , not a b s e n c e o f p r e f e r e n c e . M o r e o v e r , o n e n e e d s t o u n d e r s t a n d a n d a c k n o w l e d g e inevitable p r e f e r e n c e s i n o r d e r t o k n o w t h e i r i n f l u e n c e — s o that fair t r e a t m e n t o f d a t a a n d a r g u m e n t s c a n be attained! No conceit could be worse than a belief in one's o w n intrinsic objectivity, n o p r e s c r i p t i o n m o r e suited t o t h e e x p o s u r e o f fools. ( P h o n y psychics like U r i G e l l e r h a v e h a d p a r t i c u l a r success
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in b a m b o o z l i n g scientists with o r d i n a r y stage m a g i c , b e c a u s e o n l y scientists a r e a r r o g a n t e n o u g h t o t h i n k that t h e y always o b s e r v e with r i g o r o u s a n d objective scrutiny, a n d t h e r e f o r e c o u l d n e v e r b e s o f o o l e d — w h i l e o r d i n a r y m o r t a l s k n o w p e r f e c t l y well that g o o d p e r f o r m e r s c a n a l w a y s f i n d a w a y t o trick p e o p l e . ) T h e best f o r m o f objectivity lies in explicitly i d e n t i f y i n g p r e f e r e n c e s so that their inf l u e n c e c a n b e r e c o g n i z e d a n d c o u n t e r m a n d e d . ( W e d e n y o u r prefe r e n c e s all t h e t i m e in a c k n o w l e d g i n g n a t u r e ' s factuality. I really do h a t e t h e fact o f p e r s o n a l d e a t h , b u t will n o t base m y biological views o n s u c h distaste. Less facetiously, I really d o p r e f e r t h e k i n d e r L a m a r c k i a n m o d e o f e v o l u t i o n t o w h a t D a r w i n called t h e m i s e r a b l e , low, b u n g l i n g , a n d inefficient w a y s o f his o w n n a t u r a l s e l e c t i o n — but nature doesn't give a d a m n about my preferences, and works in D a r w i n ' s m o d e , a n d I t h e r e f o r e c h o s e t o d e v o t e m y p r o f e s s i o n a l life to this study.) W e m u s t identify p r e f e r e n c e s i n o r d e r t o c o n s t r a i n their influe n c e o n o u r w o r k , b u t w e d o n o t g o astray w h e n w e use s u c h p r e f e r e n c e s t o d e c i d e w h a t subjects w e wish t o p u r s u e . L i f e i s s h o r t , a n d p o t e n t i a l s t u d i e s infinite. W e h a v e a m u c h b e t t e r c h a n c e o f a c c o m p l i s h i n g s o m e t h i n g significant w h e n w e follow o u r passionate interests a n d w o r k i n a r e a s o f d e e p e s t p e r s o n a l m e a n i n g . O f c o u r s e s u c h a s t r a t e g y increases d a n g e r s of p r e j u d i c e , b u t the g a i n in d e d i c a t i o n c a n o v e r b a l a n c e a n y s u c h w o r r y , especially i f w e r e m a i n e q u a l l y c o m m i t t e d t o t h e o v e r a r c h i n g g e n e r a l g o a l o f fairness, a n d f i e r c e l y c o m m i t t e d t o c o n s t a n t v i g i l a n c e a n d scrutiny o f o u r p e r s o n a l biases. ( I h a v e n o d e s i r e t o give M r . M u r r a y a m m u n i t i o n f o r f u t u r e e n c o u n t e r s , b u t I h a v e n e v e r b e e n able t o u n d e r s t a n d w h y h e insists o n p r o m u l g a t i n g t h e d i s i n g e n u o u s a r g u m e n t that h e has n o p e r sonal stake or p r e f e r e n c e in t h e subject of The Bell Curve, b u t o n l y t o o k u p his s t u d y f r o m d i s i n t e r e s t e d p e r s o n a l c u r i o s i t y — t h e claim that d i s a b l e d h i m i n o u r d e b a t e a t H a r v a r d , f o r h e s o lost credibility t h e r e b y . A f t e r all, his o v e r t r e c o r d o n o n e political side i s far s t r o n g e r t h a n m y o w n o n the o t h e r . H e has b e e n e m p l o y e d b y r i g h t w i n g t h i n k t a n k s f o r y e a r s , a n d t h e y d o n ' t h i r e f l a m i n g liberals. H e w r o t e the b o o k , Common Ground, that b e c a m e R e a g a n ' s bible as m u c h as M i c h a e l H a r r i n g t o n ' s Other America m i g h t h a v e i n f l u e n c e d K e n n e d y D e m o c r a t s . If I w e r e h e , I w o u l d say s o m e t h i n g like: " L o o k , I'm a political c o n s e r v a t i v e , a n d I'm p r o u d of it. I k n o w that t h e a r g u m e n t of The Bell Curve m e s h e s well w i t h my politics. I r e c o g -
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n i z e d this f r o m t h e b e g i n n i n g . I n fact, this r e c o g n i t i o n led m e t o b e especially vigilant a n d c a r e f u l w h e n I a n a l y z e d the d a t a o f m y b o o k . B u t I r e m a i n c a p a b l e o f b e i n g fair w i t h d a t a a n d logical i n a r g u m e n t , a n d I b e l i e v e that t h e available i n f o r m a t i o n s u p p o r t s m y view. B e sides, I am n o t a c o n s e r v a t i v e f o r c a p r i c i o u s r e a s o n s . I b e l i e v e that the w o r l d d o e s w o r k i n t h e m a n n e r o f t h e bell c u r v e , a n d that m y political views r e p r e s e n t t h e best w a y t o constitute g o v e r n m e n t s i n the l i g h t o f t h e s e realities." N o w this a r g u m e n t I c o u l d r e s p e c t , w h i l e r e g a r d i n g b o t h its p r e m i s e s a n d s u p p o r t i n g d a t a a s false a n d m i s i n t e r p r e t e d . ) I w r o t e The Mismeasure of Man b e c a u s e I h a v e a d i f f e r e n t political vision, a n d b e c a u s e I also b e l i e v e (or I w o u l d n o t m a i n t a i n t h e ideal) that p e o p l e a r e e v o l u t i o n a r i l y c o n s t i t u t e d in a w a y that m a k e s this vision a t t a i n a b l e — n o t inevitable, L o r d o n l y k n o w s , b u t attainable w i t h s t r u g g l e . I t h e r e f o r e s t u d i e d this subject with passion. I h a d p a r t i c i p a t e d in t h e l u n c h c o u n t e r sit-in p h a s e of t h e civil r i g h t s m o v e m e n t . I h a d attended Antioch College in southwestern O h i o , near Cincinnati a n d t h e K e n t u c k y state l i n e — t h e r e f o r e " b o r d e r " c o u n t r y , a n d still largely segregated in the 1950s. T h e r e I had taken part in m a n y actions t o i n t e g r a t e b o w l i n g alleys a n d s k a t i n g r i n k s ( p r e v i o u s l y with " w h i t e " a n d " N e g r o " n i g h t s ) , m o v i e t h e a t e r s ( p r e v i o u s l y blacks i n the b a l c o n y a n d whites d o w n s t a i r s ) , r e s t a u r a n t s , a n d , i n p a r t i c u l a r , a Y e l l o w S p r i n g s b a r b e r s h o p r u n by a s t u b b o r n m a n ( w h o m I c a m e to respect in an o d d way) n a m e d G e g n e r (meaning "adversary" in G e r m a n and therefore contributing to the symbolic value) w h o s w o r e that h e c o u l d n ' t c u t a black m a n ' s h a i r b e c a u s e h e d i d n ' t k n o w h o w . (I first m e t Phil D o n a h u e w h e n he c o v e r e d this story as a c u b r e p o r t e r f o r t h e Dayton Daily News.) I s p e n t a g o o d p a r t of an u n d e r g r a d u a t e y e a r i n E n g l a n d , effectively r u n n i n g a n e x t e n s i v e a n d successful c a m p a i g n w i t h a n o t h e r A m e r i c a n ( t h o u g h w e c o u l d n ' t b e p u b l i c s p o k e s p e o p l e , g i v e n o u r " w r o n g " accents) t o integ r a t e the l a r g e s t d a n c e hall i n B r i t a i n , t h e M e c c a L o c a r n o b a l l r o o m in B r a d f o r d . I h a d j o y s a n d s a d n e s s e s , successes a n d d e f e a t s . I felt c r u s h e d w h e n , i n a w a v e o f u n d e r s t a n d a b l e t h o u g h l a m e n t a b l e narr o w n e s s , t h e black l e a d e r s o f t h e 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 d e c i d e d t o r e m o v e whites f r o m t h e o r g a n i z a t i o n . A l l m y g r a n d p a r e n t s w e r e i m m i g r a n t s t o A m e r i c a , a n d i n the g r o u p o f Eastern E u r o p e a n Jews w h o m G o d d a r d and c o m p a n y w o u l d h a v e so s e v e r e l y r e s t r i c t e d . I d e d i c a t e d The Mismeasure of Man
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t o m y m a t e r n a l H u n g a r i a n g r a n d p a r e n t s (the o n l y o n e s I k n e w well), b o t h brilliant p e o p l e with n o access t o m u c h f o r m a l e d u c a t i o n . M y g r a n d m o t h e r c o u l d s p e a k f o u r l a n g u a g e s fluently, b u t c o u l d only write her a d o p t e d English phonetically. My father became a leftist, a l o n g w i t h s o m a n y o t h e r idealists, d u r i n g u p h e a v a l s o f the d e p r e s s i o n , t h e S p a n i s h Civil W a r , a n d t h e g r o w t h o f n a z i s m a n d fascism. H e r e m a i n e d politically active until p o o r h e a l t h p r e c l u d e d f u r t h e r stress, a n d politically c o m m i t t e d t h e r e a f t e r . I shall a l w a y s b e gratified t o t h e p o i n t o f tears that, a l t h o u g h h e n e v e r saw The Mismeasure of Man in final f o r m , he lived j u s t l o n g e n o u g h to r e a d t h e galley p r o o f s a n d k n o w (shades, I r e c o g n i z e , o f A l j o l s o n s i n g i n g K o l N i d r e a s his d y i n g f a t h e r listened) that his s c h o l a r son h a d n o t f o r g o t t e n his r o o t s . S o m e r e a d e r s m a y r e g a r d this c o n f e s s i o n a l a s a s u r e sign o f t o o m u c h f e e l i n g to w r i t e a p r o p e r w o r k in n o n f i c t i o n . B u t I am w i l l i n g t o b e t that p a s s i o n m u s t b e t h e c e n t r a l i n g r e d i e n t n e e d e d t o lift s u c h b o o k s a b o v e t h e o r d i n a r y , a n d that m o s t w o r k s o f n o n f i c t i o n r e g a r d e d b y o u r c u l t u r e a s classical o r e n d u r i n g a r e c e n t e r e d i n t h e i r a u t h o r ' s d e e p beliefs. I t h e r e f o r e s u s p e c t that m o s t o f m y coll e a g u e s in this e n t e r p r i s e c o u l d tell similar stories of a u t o b i o g r a p h i c p a s s i o n . I w o u l d also a d d that, f o r all my c o n v i c t i o n s a b o u t social j u s t i c e , I feel e v e n m o r e p a s s i o n a t e a b o u t a closer b e l i e f c e n t r a l to m y p e r s o n a l life a n d activities: m y m e m b e r s h i p i n the " a n c i e n t a n d u n i v e r s a l c o m p a n y o f s c h o l a r s " (to cite t h e w o n d e r f u l l y a r c h a i c line used by Harvard's president in conferring Ph.D.'s at our annual c o m m e n c e m e n t ) . T h i s t r a d i t i o n r e p r e s e n t s , a l o n g with h u m a n kindness, the greatest, most noble, and most e n d u r i n g feature on t h e b r i g h t side o f a m i x e d p a n o p l y d e f i n i n g w h a t w e call " h u m a n n a t u r e . " S i n c e I am b e t t e r at s c h o l a r s h i p t h a n at k i n d n e s s , I n e e d to cast my fealty w i t h h u m a n i t y ' s g o o d n e s s in this s p h e r e . M a y I e n d u p n e x t t o J u d a s Iscariot, B r u t u s , a n d C a s s i u s i n t h e devil's m o u t h at t h e c e n t e r of hell if I e v e r fail to p r e s e n t my m o s t h o n e s t assessm e n t a n d best j u d g m e n t o f e v i d e n c e f o r e m p i r i c a l t r u t h . My p r o f e s s i o n a l r e a s o n f o r w r i t i n g The Mismeasure of Man was also, i n l a r g e p a r t , p e r s o n a l . T h e s a d d e s t p a r o c h i a l i s m i n a c a d e m i c l i f e — t h e d e p r e s s i n g c o n t r a r y to t h e ideals I m e n t i o n e d in t h e last p a r a g r a p h — l i e s i n t h e petty s n i p i n g that s m a l l - m i n d e d m e m b e r s o f one profession unleash when someone credentialed in another w o r l d d a r e s t o say a n y t h i n g a b o u t activities i n the sniper's p a r i s h .
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T h u s has i t a l w a y s b e e n , a n d t h u s d o w e d i l u t e b o t h t h e small p l e a s u r e s a n d f i e r c e j o y s o f s c h o l a r s h i p . S o m e scientists g r i p e d a t G o e t h e because a " p o e t " should not write about empirical nature (Goethe did interesting and e n d u r i n g work in mineralogy and botany; happily, e a c h s n i p e r t e n d s t o b e p a r r i e d b y b e t t e r scientists with g e n e r o s ity o f spirit, a n d G o e t h e n u m b e r e d m a n y biologists, especially E t i e n n e G e o f f r o y S a i n t - H i l a i r e , a m o n g his s u p p o r t e r s ) . O t h e r s g r o u s e d w h e n Einstein o r P a u l i n g e x p o s e d t h e i r h u m a n i t y a n d wrote about peace. T h e m o s t c o m m o n , n a r r o w - m i n d e d c o m p l a i n t a b o u t The Mismeasure of Man g o e s : G o u l d is a p a l e o n t o l o g i s t , n o t a p s y c h o l o g i s t ; he c a n ' t k n o w t h e subject a n d his b o o k m u s t be bullshit. I w a n t to o f f e r t w o specific r e b u t t a l s o f this n o n s e n s e , b u t w o u l d f i r s t r e m i n d m y c o l l e a g u e s that w e all m i g h t c o n s i d e r g i v i n g m o r e t h a n lip service t o t h e ideal o f j u d g i n g a w o r k b y its c o n t e n t , n o t t h e a u t h o r ' s n a m e or rank. F o r m y f i r s t specific r e b u t t a l , h o w e v e r , I d o w a n t t o p u l l r a n k . T r u e , I am n o t a p s y c h o l o g i s t a n d I k n o w little a b o u t t h e technicalities of item selection in m e n t a l testing or t h e social use of results in c o n t e m p o r a r y A m e r i c a . H e n c e , I c a r e f u l l y said n o t h i n g a b o u t t h e s e subjects ( a n d w o u l d n o t h a v e w r i t t e n t h e b o o k i f I h a d j u d g e d mastery o f s u c h m a t e r i a l a s essential f o r m y i n t e n t i o n s ) . M y b o o k , b y t h e w a y , has b e e n c o m m o n l y p o r t r a y e d , e v e n (to m y c h a g r i n ) o f t e n p r a i s e d , as a g e n e r a l attack u p o n m e n t a l testing. The Mismeasure of Man is no s u c h t h i n g , a n d I h a v e an a g n o s t i c a t t i t u d e ( b o r n l a r g e l y o f i g n o r a n c e ) t o w a r d m e n t a l t e s t i n g i n g e n e r a l . I f m y critics d o u b t this, a n d r e a d these lines a s a s m o k e s c r e e n , j u s t c o n s i d e r m y e x p r e s s e d o p i n i o n a b o u t Binet's o r i g i n a l I Q t e s t — s t r o n g l y a n d e n tirely positive (for B i n e t r e j e c t e d the h e r e d i t a r i a n i n t e r p r e t a t i o n , a n d o n l y w a n t e d to u s e t h e test as a d e v i c e to identify c h i l d r e n in n e e d o f special h e l p ; a n d f o r this h u m a n e g o a l , I h a v e n o t h i n g b u t p r a i s e ) . The Mismeasure of Man is a critique of a specific t h e o r y of i n t e l l i g e n c e o f t e n s u p p o r t e d by particular i n t e r p r e t a t i o n of a certain style o f m e n t a l testing: t h e t h e o r y o f u n i t a r y , g e n e t i c a l l y b a s e d , u n changeable intelligence. T h e subject that I d i d c h o o s e f o r The Mismeasure of Man r e p r e sents a c e n t r a l a r e a of my p r o f e s s i o n a l e x p e r t i s e — i n fact, I w o u l d g o f u r t h e r a n d say ( n o w t u r n i n g t o m y a r r o g a n t m o d e ) that I h a v e u n d e r s t o o d this a r e a b e t t e r t h a n m o s t p r o f e s s i o n a l p s y c h o l o g i s t s
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w h o h a v e w r i t t e n o n t h e history o f m e n t a l testing, b e c a u s e t h e y d o n o t h a v e e x p e r t i s e in this vital subject, a n d I d o . I am an e v o l u t i o n a r y biologist by t r a i n i n g . V a r i a t i o n is t h e focal subject of e v o l u t i o n a r y b i o l o g y . I n D a r w i n i a n t h e o r y , e v o l u t i o n o c c u r s (to p u t the p o i n t technically f o r a m o m e n t ) b y t h e c o n v e r s i o n o f variation within p o p u l a t i o n s into d i f f e r e n c e s b e t w e e n p o p u l a t i o n s . T h a t i s (and n o w m o r e s i m p l y ) , i n d i v i d u a l s d i f f e r , a n d s o m e o f this v a r i a t i o n has a g e n e t i c basis. N a t u r a l selection w o r k s b y d i f f e r e n t i a l l y p r e s e r v i n g t h e v a r i a t i o n that c o n f e r s b e t t e r a d a p t a t i o n i n c h a n g i n g local e n v i r o n m e n t s . A s a c a r i c a t u r e , f o r e x a m p l e , h a i r i e r e l e p h a n t s will d o b e t t e r a s ice sheets a d v a n c e o v e r Siberia, a n d w o o l l y m a m m o t h s will e v e n t u a l l y e v o l v e as selection, a c t i n g statistically a n d n o t a b s o l u t e l y , preserves m o r e hirsute elephants generation after generation. In other words, variation within a population (some elephants hairier t h a n o t h e r s a t a n y m o m e n t ) b e c o m e s c o n v e r t e d into d i f f e r e n c e s t h r o u g h t i m e (woolly m a m m o t h s a s d e s c e n d a n t s o f e l e p h a n t s w i t h o r d i n a r y a m o u n t s o f hair). N o w c o n s i d e r t h e subjects o f this m i x : g e n e t i c a l l y b a s e d v a r i a t i o n within populations, and development of differences between p o p u l a t i o n s — a n d w h a t do y o u h a v e ? Voila: t h e subject of the The Mismeasure of Man. My b o o k is a b o u t t h e m e a s u r e m e n t of s u p p o s e d l y genetically based variation in intelligence a m o n g m e m b e r s of a p o p u l a t i o n (the a i m of IQ testers assessing all the kids in a c l a s s r o o m , or o f n i n e t e e n t h - c e n t u r y c r a n i o m e t r i c i a n s m e a s u r i n g t h e h e a d s o f all t h e w o r k e r s i n a f a c t o r y , o r w e i g h i n g t h e b r a i n s o f their d e a d acad e m i c c o l l e a g u e s ) . M y b o o k i s also a b o u t the p u t a t i v e r e a s o n s f o r m e a s u r e d d i f f e r e n c e s b e t w e e n g r o u p s (racial i n w h i t e vs. black, o r class-based in rich vs. p o o r , f o r e x a m p l e ) . If I k n o w the t e c h n i c a l basis of a n y subject, I u n d e r s t a n d this m a t e r i a l best (and m a n y psyc h o l o g i s t s d o n ' t b e c a u s e they h a v e n o t h a d t r a i n i n g in a p r o f e s s i o n like e v o l u t i o n a r y b i o l o g y that r e g a r d s the m e a s u r e m e n t o f g e n e t i cally b a s e d v a r i a t i o n as c e n t r a l to its b e i n g ) . F o r my s e c o n d specific r e b u t t a l , I e n t e r e d p a l e o n t o l o g y in the m i d 1960s, at an i n t e r e s t i n g t i m e in the p r o f e s s i o n ' s history, w h e n t r a d i t i o n s o f subjective a n d i d i o s y n c r a t i c d e s c r i p t i o n w e r e b e g i n n i n g t o yield t o calls f o r m o r e q u a n t i t a t i v e , g e n e r a l i z e d , a n d t h e o r e t ically b a s e d a p p r o a c h e s to fossil o r g a n i s m s . (I a m , by the w a y , no l o n g e r so b e g u i l e d by t h e l u r e of q u a n t i f i c a t i o n , b u t I was so t r a i n e d a n d was o n c e a t r u e b e l i e v e r . ) W e y o u n g T u r k s o f this m o v e m e n t
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all d e v e l o p e d e x p e r t i s e i n two a r e a s , t h e n m o s t u n f a m i l i a r (if n o t a n a t h e m a ) t o p r a c t i c i n g p a l e o n t o l o g i s t s : statistics a n d c o m p u t e r s . I w a s t h e r e f o r e t r a i n e d in t h e statistical analysis of genetically b a s e d v a r i a t i o n within a n d b e t w e e n p o p u l a t i o n s — a g a i n , t h e k e y subject of The Mismeasure of Man (for Homo sapiens is a variable biological species, n o d i f f e r e n t i n this r e g a r d f r o m all the o t h e r o r g a n isms I h a d s t u d i e d ) . I t h i n k , in o t h e r w o r d s , that I a p p r o a c h e d the m i s m e a s u r e o f m a n w i t h requisite a n d u n c o n v e n t i o n a l e x p e r t i s e f r o m a n a p p r o p r i a t e p r o f e s s i o n that has n o t o f t e n e n o u g h p r o m o t e d its special say a b o u t a subject so close to its c e n t e r . In w r i t i n g n u m e r o u s essays on the lives of scientists, I h a v e f o u n d that b o o k s o n g e n e r a l topics o r full systems usually o r i g i n a t e in tiny p u z z l e s or little t r o u b l i n g issues, n o t usually f r o m an abstract o r o v e r a r c h i n g d e s i r e t o k n o w t h e n a t u r e o f totality. T h u s , t h e seve n t e e n t h - c e n t u r y s c r i p t u r a l g e o l o g i s t T h o m a s B u r n e t built u p t o a g e n e r a l t h e o r y o f t h e e a r t h b e c a u s e h e w a n t e d t o k n o w the s o u r c e o f w a t e r f o r N o a h ' s flood. T h e e i g h t e e n t h - c e n t u r y g e o l o g i s t J a m e s H u t t o n d e v e l o p e d a n e q u a l l y c o m p r e h e n s i v e system f r o m a n initial n i g g l i n g p a r a d o x : i f G o d m a d e soil f o r h u m a n a g r i c u l t u r e , b u t soil d e r i v e s f r o m e r o s i o n o f r o c k s ; a n d i f t h e e r o s i o n o f r o c k s will ultim a t e l y d e s t r o y the l a n d a n d p u t t h e e n t i r e e a r t h u n d e r w a t e r , t h e n how could G o d choose a means of o u r eventual destruction as a m e t h o d f o r m a k i n g t h e soil that sustains us? ( H u t t o n a n s w e r e d b y i n f e r r i n g t h e e x i s t e n c e o f i n t e r n a l f o r c e s that raise m o u n t a i n s f r o m the d e e p , t h u s d e v e l o p i n g a cyclical t h e o r y o f e r o s i o n a n d r e p a i r — a n a n c i e n t w o r l d w i t h n o v e s t i g e of a b e g i n n i n g , o r p r o s p e c t o f an end.) The Mismeasure of Man also b e g a n with a tiny i n s i g h t that s t u n n e d m e with a frisson o f r e c o g n i t i o n . O u r y o u n g T u r k g e n e r a t i o n o f p a l e o n t o l o g i s t s l i n k e d statistics a n d c o m p u t e r s b y l e a r n i n g t h e techn i q u e o f m u l t i v a r i a t e a n a l y s i s — t h a t is, the s i m u l t a n e o u s statistical consideration of relationships a m o n g many measured properties of o r g a n i s m s ( l e n g t h o f b o n e s , p e r h a p s , f o r fossil species, p e r f o r m a n c e o n n u m e r o u s m e n t a l tests f o r h u m a n s i n t h e m i s m e a s u r e o f m a n ) . T h e s e t e c h n i q u e s a r e n o t all c o n c e p t u a l l y difficult; m a n y h a d b e e n p a r t l y d e v e l o p e d o r e n v i s i o n e d e a r l i e r i n t h e c e n t u r y . B u t practical utility r e q u i r e s i m m e n s e l y l o n g c o m p u t a t i o n s that o n l y b e c a m e possible with the d e v e l o p m e n t o f c o m p u t e r s . I was t r a i n e d p r i m a r i l y in the g r a n d d a d d y of m u l t i v a r i a t e tech-
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n i q u e s (still v i g o r o u s l y i n v o g u e a n d e m i n e n t l y u s e f u l ) : f a c t o r analysis. I h a d l e a r n e d this p r o c e d u r e as an abstract m a t h e m a t i c a l t h e o r y a n d h a d a p p l i e d f a c t o r analysis t o t h e s t u d y o f g r o w t h a n d e v o l u t i o n i n v a r i o u s fossil o r g a n i s m s (for e x a m p l e , m y P h . D . thesis, p u b l i s h e d i n 1 9 6 9 , o n B e r m u d i a n l a n d snails; a n d o n e o f m y f i r s t p a p e r s , published in 1967, on growth and form in pelycosaurian reptiles— t h o s e p e c u l i a r c r e a t u r e s with sails on their b a c k s , a l w a y s i n c l u d e d in sets o f plastic d i n o s a u r s , b u t really a n c e s t o r s o f m a m m a l s a n d n o t d i n o s a u r s at all). F a c t o r analysis allows o n e t o f i n d c o m m o n a x e s i n f l u e n c i n g sets o f i n d e p e n d e n t l y m e a s u r e d variables. F o r e x a m p l e , a s a n a n i m a l g r o w s , m o s t b o n e s g e t l o n g e r — s o g e n e r a l i n c r e a s e in size acts as a c o m m o n f a c t o r b e h i n d t h e positive c o r r e l a t i o n s m e a s u r e d f o r t h e l e n g t h o f b o n e s i n a series o f o r g a n i s m s v a r y i n g f r o m small t o l a r g e w i t h i n a s p e c i e s . T h i s e x a m p l e is trivial. In a m o r e c o m p l e x case, subject t o n u m e r o u s i n t e r p r e t a t i o n s , w e g e n e r a l l y m e a s u r e positive c o r r e l a t i o n s a m o n g m e n t a l tests g i v e n t o t h e s a m e p e r s o n — t h a t is, i n g e n e r a l a n d with m a n y e x c e p t i o n s , p e o p l e w h o d o well o n o n e k i n d o f test t e n d t o d o well o n o t h e r s . F a c t o r analysis m i g h t d e t e c t a g e n e r a l axis that c a n , in a m a t h e m a t i c a l s e n s e , c a p t u r e a c o m m o n e l e m e n t i n this j o i n t v a r i a t i o n a m o n g tests. I h a d s p e n t a y e a r l e a r n i n g t h e intricacies of f a c t o r analysis. I was t h e n historically n a i v e , a n d n e v e r d r e a m e d that s u c h a v a l u a b l e a b s t r a c t i o n , w h i c h I h a d a p p l i e d o n l y to fossils with m i n i m a l political i m p o r t , m i g h t h a v e a r i s e n in a social c o n t e x t to t o u t a p a r t i c u l a r t h e o r y o f m e n t a l f u n c t i o n i n g with definite political m e a n i n g . T h e n o n e d a y I was r e a d i n g , q u i t e aimlessly a n d o n l y f o r l e i s u r e , a n article a b o u t the history o f m e n t a l testing, a n d I r e a l i z e d that S p e a r m a n ' s g—the c e n t r a l c l a i m o f t h e u n i t a r y t h e o r y o f i n t e l l i g e n c e , a n d the o n l y justification that s u c h a n o t i o n has e v e r h a d (The Bell Curve is f u n d a m e n t a l l y a l o n g d e f e n s e of g, explicitly so s t a t e d ) — w a s n o t h i n g m o r e t h a n the f i r s t p r i n c i p a l c o m p o n e n t o f a f a c t o r analysis o f m e n t a l tests. M o r e o v e r , I l e a r n e d that S p e a r m a n h a d i n v e n t e d the t e c h n i q u e o f f a c t o r analysis specifically t o s t u d y t h e u n d e r l y i n g basis o f positive c o r r e l a t i o n a m o n g tests. I also k n e w that p r i n c i p a l c o m p o n e n t s o f f a c t o r a n a l y s e s a r e m a t h e m a t i c a l abstractions, n o t e m p i r ical r e a l i t i e s — a n d that e v e r y m a t r i x subject to f a c t o r analysis c a n be r e p r e s e n t e d j u s t a s well b y o t h e r c o m p o n e n t s w i t h d i f f e r e n t m e a n i n g s , d e p e n d i n g o n t h e style o f f a c t o r analysis a p p l i e d i n a p a r t i c u l a r
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case. S i n c e the c h o s e n style is l a r g e l y a m a t t e r of r e s e a r c h e r ' s p r e f e r e n c e , o n e c a n n o t c l a i m that p r i n c i p a l c o m p o n e n t s h a v e e m p i r i c a l reality (unless t h e a r g u m e n t c a n b e b a c k e d u p with h a r d d a t a o f a n o t h e r sort; t h e m a t h e m a t i c a l e v i d e n c e a l o n e will n e v e r suffice, b e c a u s e w e c a n a l w a y s g e n e r a t e a l t e r n a t i v e a x e s with entirely d i f f e r ent meanings). T h e r e c a n o n l y b e a few s u c h m o m e n t s — t h e e u r e k a s , the scales d r o p p i n g f r o m t h e e y e s — i n a scholar's life. M y p r e c i o u s a b s t r a c t i o n , the t e c h n i q u e p o w e r i n g m y o w n r e s e a r c h a t t h e t i m e , h a d n o t b e e n d e v e l o p e d t o a n a l y z e fossils, o r t o p u r s u e the i d e a l i z e d p l e a s u r e o f m a t h e m a t i c s . S p e a r m a n h a d i n v e n t e d f a c t o r analysis t o p u s h a c e r t a i n i n t e r p r e t a t i o n o f m e n t a l t e s t s — o n e that h a s p l a g u e d o u r c e n t u r y with its b i o d e t e r m i n i s t i m p l i c a t i o n s . (I am c o n f i d e n t a b o u t t h e o r d e r o f causality b e c a u s e S p e a r m a n h a d b e e n d e f e n d i n g the t h e o r y o f u n i t a r y i n t e l l i g e n c e f o r y e a r s with o t h e r n o n m u l t i v a r i a t e t e c h n i q u e s b e f o r e h e i n v e n t e d f a c t o r analysis. T h u s w e k n o w that h e d e v e l o p e d f a c t o r analysis t o s u p p o r t the t h e o r y — a n d that the t h e o r y d i d n o t arise s u b s e q u e n t l y f r o m t h o u g h t s i n s p i r e d b y t h e first results of f a c t o r analysis.) A frisson of m i x e d fascination a n d a bit of a n g e r passed up a n d d o w n my spine, as m u c h of my previous idealization of science c o l l a p s e d (ultimately to be r e p l a c e d by a far m o r e h u m a n e a n d sensible v i e w ) . F a c t o r analysis h a d b e e n i n v e n t e d f o r a social use c o n t r a r y to my beliefs a n d v a l u e s . I felt p e r s o n a l l y o f f e n d e d , a n d this b o o k , t h o u g h n o t w r i t t e n until s o m e ten y e a r s later, u l t i m a t e l y a r o s e f r o m this i n s i g h t a n d f e e l i n g of violation. I felt c o m p e l l e d to write The Mismeasure of Man. M y f a v o r i t e r e s e a r c h tool h a d a r i s e n f o r a n alien social u s e . F u r t h e r more, and in another irony, the harmful hereditarian version of I Q h a d n o t d e v e l o p e d i n E u r o p e , w h e r e B i n e t h a d i n v e n t e d the test f o r benevolent purposes, but in my o w n country of America, honored f o r e g a l i t a r i a n t r a d i t i o n s . I am a patriot at h e a r t . I h a d to w r i t e t h e b o o k t o m a k e c o r r e c t i o n a n d ask f o r u n d e r s t a n d i n g . 2.
History and revision
I p u b l i s h e d The Mismeasure of Man in 1981; t h e b o o k has certainly h a d a n active a n d f a s c i n a t i n g history e v e r since. I was p r o u d w h e n Mismeasure w o n the N a t i o n a l B o o k Critics C i r c l e a w a r d i n nonfiction, f o r this p r i z e is t h e p r o f e s s i o n a l ' s a c c o l a d e , g i v e n by t h o s e w h o do the reviewing. T h e reviews themselves followed an interesting
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p a t t e r n — u n i f o r m l y w a r m i n t h e serious p o p u l a r press, p r e d i c t a b l y v a r i o u s i n t e c h n i c a l j o u r n a l s o f p s y c h o l o g y a n d the social sciences. M o s t o f t h e l e a d i n g m e n t a l testers i n t h e h e r e d i t a r i a n tradition w r o t e m a j o r r e v i e w s , a n d o n e m i g h t well g u e s s their thrust. A r t h u r J e n s e n , f o r e x a m p l e , d i d not like the b o o k . B u t m o s t o t h e r p r o f e s sional p s y c h o l o g i s t s w r o t e with p r a i s e , o f t e n c o p i o u s a n d u n s t i n t i n g . T h e n a d i r c e r t a i n l y a r r i v e d (with a bit o f h u m o r i n the a b s u r d i t y ) in t h e Fall 1 9 8 3 issue of an a r c h c o n s e r v a t i v e j o u r n a l , The Public Interest, w h e n my d y s p e p s i c c o l l e a g u e B e r n a r d D. Davis p u b l i s h e d a r i d i c u l o u s p e r s o n a l attack o n m e a n d t h e b o o k u n d e r the title " N e o L y s e n k o i s m , I Q , a n d t h e Press." His thesis m a y b e easily s u m m a r i z e d : G o u l d ' s b o o k g o t terrific r e v i e w s i n t h e p o p u l a r press, b u t all a c a d e m i c w r i t e r s p a n n e d i t u n m e r c i f u l l y . T h e r e f o r e the b o o k i s politically m o t i v a t e d c r a p , a n d G o u l d h i m s e l f isn't m u c h b e t t e r i n a n y t h i n g h e d o e s , i n c l u d i n g p u n c t u a t e d e q u i l i b r i u m a n d all his e v o lutionary ideas. L o v e l y stuff. I firmly b e l i e v e in n o t a n s w e r i n g u n f a i r n e g a t i v e r e v i e w s , f o r n o t h i n g c a n s o d i s o r i e n t a n a t t a c k e r a s silence. B u t this was a bit t o o m u c h , so I c a n v a s s e d a m o n g f r i e n d s . B o t h N o a m C h o m s k y a n d S a l v a d o r L u r i a , g r e a t s c h o l a r s a n d h u m a n i s t s , said essentially t h e s a m e t h i n g : n e v e r r e p l y unless y o u r a t t a c k e r has floated a d e m o n s t r a b l y false a r g u m e n t , w h i c h , if u n a n s w e r e d , m i g h t d e v e l o p a "life of its o w n . " I felt that Davis's d i a t r i b e fell into this c a t e g o r y a n d t h e r e f o r e r e s p o n d e d i n t h e S p r i n g 1984 issue o f the s a m e j o u r n a l (my o n l y p u b l i c a t i o n in j o u r n a l s o f that ilk). A s I e x p l a i n e d a n d d o c u m e n t e d , M r . Davis h a d o n l y r e a d a few r e v i e w s , p r o b a b l y i n p u b l i c a t i o n s that h e l i k e d , o r that h a d b e e n sent to h i m by c o l l e a g u e s s h a r i n g his political p e r s u a s i o n s . I, t h a n k s to my p u b l i s h e r ' s p r o d i g i o u s c l i p p i n g service, h a d all t h e r e v i e w s . I p i c k e d o u t all t w e n t y - f o u r w r i t t e n b y a c a d e m i c e x p e r t s i n p s y c h o l o g y a n d f o u n d f o u r t e e n positive, t h r e e m i x e d , a n d s e v e n n e g a t i v e (nearly all o f t h e s e b y h e r e d i t a r i a n m e n t a l t e s t e r s — w h a t else w o u l d o n e e x p e c t ? ) . I was p a r t i c u l a r l y p l e a s e d that C y r i l B u r t ' s o l d p e r i o d i cal The British Journal of Mathematical and Statistical Psychology, h a d w r i t t e n o n e o f t h e m o s t positive a c c o u n t s : " G o u l d has p e r f o r m e d a v a l u a b l e service i n e x p o s i n g t h e logical basis o f o n e o f t h e m o s t i m p o r t a n t d e b a t e s i n t h e social sciences, a n d this b o o k s h o u l d b e required r e a d i n g for students and practitioners alike." T h e b o o k has sold s t r o n g l y e v e r since p u b l i c a t i o n a n d has n o w
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s u r p a s s e d 250,000 c o p i e s , p l u s translations into t e n l a n g u a g e s . I have b e e n particularly gratified by the w a r m and challenging corres p o n d e n c e that has c o n t i n u a l l y c o m e m y w a y (and a t least a m u s e d b y s o m e o f t h e h a t e mail, i n c l u d i n g a few threats f r o m n e o - N a z i s a n d a n t i - S e m i t e s ) . I am p a r t i c u l a r l y g l a d , in r e t r o s p e c t , that I c h o s e to w r i t e in a w a y that s u r e l y p r e c l u d e d m a x i m a l eclat at p u b l i c a t i o n (as a b r e e z i e r style w i t h m o r e r e f e r e n c e s to i m m e d i a t e issues w o u l d h a v e a c c o m p l i s h e d ) , b u t that g a v e t h e b o o k s t a y i n g p o w e r ( a f o c u s on f o u n d i n g arguments, analyzed by consulting original sources in their original languages). The Mismeasure of Man is n o t easy r e a d i n g , b u t I i n t e n d e d t h e b o o k f o r all s e r i o u s p e o p l e w i t h interest in t h e subject. I f o l l o w e d t h e t w o c a r d i n a l r u l e s that I u s e in w r i t i n g my essays. First, do n o t waffle on a b o u t g e n e r a l i t i e s (as I f e a r I h a v e d o n e a bit in this i n t r o d u c t i o n — s i n s o f m y m i d d l e a g e , n o d o u b t ! ) . F o c u s o n t h o s e small, b u t f a s c i n a t i n g , details t h a t c a n p i q u e p e o p l e ' s interest a n d illustrate generalities far better than overt a n d tendentious discussion. T h i s s t r a t e g y p r o v i d e s a b e t t e r b o o k f o r r e a d e r s , b u t also m a k e s t h e c o m p o s i t i o n s o m u c h m o r e f u n f o r m e . I g o t t o r e a d all t h e o r i g i n a l s o u r c e s ; I h a d all t h e p l e a s u r e o f p o k i n g i n t o B r o c a ' s d a t a a n d f i n d ing the holes a n d unconscious prejudices, of reconstructing Yerkes's test t o a r m y r e c r u i t s , o f h e f t i n g a skull f i l l e d w i t h l e a d shot. H o w m u c h m o r e r e w a r d i n g t h a n easy r e l i a n c e o n s e c o n d a r y s o u r c e s , a n d c o p y i n g a few c o n v e n t i o n a l t h o u g h t s f r o m o t h e r c o m m e n t a t o r s . S e c o n d , simplify w r i t i n g b y e l i m i n a t i n g j a r g o n , o f c o u r s e , b u t do not adulterate concepts; no compromises, no d u m b i n g down. P o p u l a r i z a t i o n is p a r t of a g r e a t h u m a n i s t i c t r a d i t i o n in s e r i o u s s c h o l a r s h i p , n o t a n e x e r c i s e i n d u m b i n g d o w n f o r p l e a s u r e o r profit. I t h e r e f o r e d i d n o t shy f r o m difficult, e v e n m a t h e m a t i c a l m a t e r i a l . S i n c e I've b e e n h o l d i n g b a c k f o r f i f t e e n y e a r s , p e r m i t m e a f e w p a r a g r a p h s f o r p u r e b r a g g i n g a n d s a y i n g w h a t has p l e a s e d m e m o s t about the book. T h e history o f m e n t a l testing i n t h e t w e n t i e t h c e n t u r y h a s t w o m a j o r s t r a n d s : scaling a n d r a n k i n g b y m e n t a l a g e a s r e p r e s e n t e d b y I Q testing, a n d analysis o f c o r r e l a t i o n s a m o n g m e n t a l tests a s m a n i f e s t e d i n f a c t o r analysis. Effectively e v e r y p o p u l a r w o r k o n m e n t a l t e s t i n g e x p l a i n s t h e I Q t h r e a d i n detail a n d virtually i g n o r e s f a c t o r analysis. T h i s s t r a t e g y i s f o l l o w e d f o r a n o b v i o u s a n d u n d e r s t a n d a b l e r e a s o n : t h e I Q story i s easy t o e x p l a i n a n d c o m p r e h e n d ;
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f a c t o r analysis, a n d m u l t i v a r i a t e t h i n k i n g i n g e n e r a l , a r e e n o r m o u s l y difficult f o r m o s t p e o p l e a n d h a r d t o e x p r e s s w i t h o u t c o n s i d erable mathematics. B u t s u c h c o n v e n t i o n a l w o r k s c a n n o t a d e q u a t e l y p r e s e n t t h e history o f the h e r e d i t a r i a n t h e o r y o f u n i t a r y i n t e l l i g e n c e — f o r this n o tion relies s o crucially o n b o t h parts. W e m u s t u n d e r s t a n d w h y p e o p l e e v e r t h o u g h t that a u n i l i n e a r r a n k i n g c o u l d o r d e r p e o p l e b y m e n t a l w o r t h — t h e I Q t h r e a d , usually well t r e a t e d . B u t w e c a n n o t g r a s p o r i n t e r p r e t t h e t h e o r y o f u n i t a r y i n t e l l i g e n c e until w e k n o w t h e basis f o r t h e p r i o r c l a i m that i n t e l l i g e n c e c a n be i n t e r p r e t e d as a single entity (that m i g h t t h e n be m e a s u r e d by a single n u m b e r like I Q ) . T h i s r a t i o n a l e d e r i v e s f r o m f a c t o r analysis a n d its s u p p o s e d v a l i d a t i o n of S p e a r m a n ' s g—the u n i t a r y t h i n g in the h e a d . B u t factor analysis has usually b e e n i g n o r e d , t h u s p r e c l u d i n g all possibility o f real u n d e r s t a n d i n g . I r e s o l v e d that I w o u l d treat f a c t o r analysis h e a d - o n — a n d I h a v e n e v e r s t r u g g l e d so h a r d to r e n d e r m a t e r i a l in a m a n n e r accessible to g e n e r a l r e a d e r s . I k e p t failing b e c a u s e I c o u l d n o t translate the mathematics into understandable prose. T h e n I finally realized, in o n e o f t h o s e " a h a " insights, that I c o u l d use T h u r s t o n e ' s a l t e r n a t i v e g e o m e t r i c a l r e p r e s e n t a t i o n o f tests a n d a x e s a s v e c t o r s (arrows) radiating from a c o m m o n point, rather than the usual algebraic f o r m u lations. T h i s a p p r o a c h s o l v e d m y p r o b l e m b e c a u s e most p e o p l e grasp pictures better than numbers. T h e resulting C h a p t e r 7 is by no m e a n s easy. It will n e v e r r a n k h i g h in p u b l i c a c c l a i m , but I h a v e n e v e r b e e n s o p r o u d o f a n y t h i n g else I e v e r w r o t e f o r p o p u l a r a u d i e n c e s . I t h i n k I f o u n d t h e k e y f o r p r e s e n t i n g f a c t o r analysis, a n d o n e o f t h e m o s t i m p o r t a n t scientific issues o f t h e t w e n t i e t h c e n t u r y c a n n o t b e u n d e r s t o o d w i t h o u t t r e a t i n g this subject. N o t h i n g has e v e r gratified m e m o r e t h a n n u m e r o u s unsolicited c o m m e n t s f r o m p r o f e s s i o n a l statisticians o v e r the y e a r s , t h a n k i n g m e f o r this c h a p ter a n d a f f i r m i n g that I h a d i n d e e d s u c c e e d e d in c o n v e y i n g f a c t o r analysis, a n d t h a t I h a d d o n e so a c c u r a t e l y a n d u n d e r s t a n d a b l y . I am n o t n e a r l y r e a d y , b u t I will e v e n t u a l l y c h a n t my Nunc dimittis in p e a c e . O n e f i n a l a n d p e r i p h e r a l p o i n t a b o u t f a c t o r analysis a n d C y r i l B u r t : M y c h a p t e r o n f a c t o r analysis b e a r s t h e title " T h e Real E r r o r o f C y r i l B u r t : F a c t o r A n a l y s i s a n d t h e Reification o f I n t e l l i g e n c e . " B u r t h a d b e e n c h a r g e d with o v e r t f r a u d i n m a k i n g u p data f o r his
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s t u d i e s , d o n e a t the e n d o f a l o n g c a r e e r , o n identical twins s e p a r a t e d e a r l y in life a n d r e a r e d in d i f f e r e n t social c i r c u m s t a n c e s . Inevitably, I s u p p o s e , s o m e r e c e n t c o m m e n t a t o r s h a v e tried t o rehabilitate B u r t a n d t o cast d o u b t u p o n t h e c h a r g e s . I r e g a r d t h e s e a t t e m p t s a s w e a k a n d d o o m e d t o f a i l u r e , f o r the e v i d e n c e o f B u r t ' s f r a u d s e e m s c o n clusive a n d o v e r w h e l m i n g to m e . B u t I wish to e m p h a s i z e that I r e g a r d t h e subject a s u n f o r t u n a t e , d i v e r s i o n a r y , a n d u n i m p o r t a n t — a n d t h e title o f m y c h a p t e r t r i e d t o e x p r e s s this view, t h o u g h p e r h a p s i n a p u n t o o o p a q u e . W h a t e v e r B u r t d i d o r d i d n o t d o a s a pitiful o l d m a n (and I e n d e d u p f e e l i n g q u i t e s y m p a t h e t i c t o w a r d h i m , n o t g l o a t i n g o v e r his e x p o s u r e , b u t u n d e r s t a n d i n g t h e s o u r c e s o f his a c t i o n in p e r s o n a l p a i n a n d possible m e n t a l illness), this late w o r k h a d n o e n d u r i n g significance i n t h e history o f m e n t a l testing. B u r t ' s earlier, d e e p , and honest error embodies the fascinating and port e n t o u s i n f l u e n c e o f his c a r e e r . F o r B u r t was t h e m o s t i m p o r t a n t o f p o s t - S p e a r m a n i a n f a c t o r analysts (he i n h e r i t e d S p e a r m a n ' s acad e m i c p o s t ) — a n d t h e k e y e r r o r o f f a c t o r analysis lies i n reification, o r t h e c o n v e r s i o n o f a b s t r a c t i o n s into p u t a t i v e r e a l entities. Factor analysis i n the h e r e d i t a r i a n m o d e , n o t later studies o f twins, r e p r e s e n t e d B u r t ' s " r e a l " e r r o r — f o r reification c o m e s f r o m t h e L a t i n f o r res, or r e a l t h i n g . I n e v i t a b l y , a s f o r all active subjects, m u c h has c h a n g e d , s o m e t i m e s t o m y b e n e f i t a n d s o m e t i m e s t o m y deficit, since t h e b o o k f i r s t a p p e a r e d i n 1 9 8 1 . B u t I h a v e c h o s e n t o leave t h e m a i n t e x t essentially "as is" b e c a u s e t h e basic f o r m o f the a r g u m e n t f o r u n i t a r y , r a n k a b l e , h e r i t a b l e , a n d l a r g e l y u n c h a n g e a b l e i n t e l l i g e n c e has n e v e r v a r i e d m u c h , a n d t h e c r i t i q u e s a r e similarly stable a n d d e v a s t a t i n g . As n o t e d b e f o r e , I h a v e d e l e t e d a few r e f e r e n c e s topical to 1 9 8 1 , c h a n g e d a f e w m i n o r e r r o r s o f t y p o g r a p h y a n d fact, a n d i n s e r t e d a few f o o t n o t e s t o c r e a t e a bit o f d i a l o g u e b e t w e e n m e i n 1981 a n d m e n o w . O t h e r w i s e , y o u r e a d m y o r i g i n a l b o o k i n this r e v i s e d e d i t i o n . T h e m a j o r n o v e l t y o f this revision lies i n t h e t w o slices o f b r e a d that s u r r o u n d the m e a t o f m y o r i g i n a l t e x t — t h i s p r e f a t o r y statem e n t i n f r o n t a n d t h e c o n c l u d i n g section o f essays a t t h e e n d . I h a v e i n c l u d e d f i v e essays i n t w o g r o u p s f o r this c l o s i n g slice. T h e f i r s t g r o u p o f t w o r e p r o d u c e s m y t w o v e r y d i f f e r e n t r e v i e w s o f The Bell Curve. T h e first a p p e a r e d in The New Yorker f o r N o v e m b e r 28, 1 9 9 4 . I was particularly pleased because Mr. M u r r a y became so apoplectic a b o u t this article, a n d b e c a u s e s o m a n y p e o p l e felt that I h a d p r o -
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v i d e d a c o m p r e h e n s i v e a n d fair (if s h a r p ) c o m m e n t a r y by c r i t i q u i n g b o t h t h e illogic of The Bell Curve's q u a d r i p a r t i t e g e n e r a l a r g u m e n t , a n d t h e i n a d e q u a c i e s o f t h e b o o k ' s e m p i r i c a l claims (largely e x p o s e d b y s h o w i n g h o w the a u t h o r s b u r i e d c o n c l u s i v e l y c o n t r a r y d a t a i n a n a p p e n d i x w h i l e c e l e b r a t i n g their p o t e n t i a l s u p p o r t i n t h e m a i n text). I felt g r a t e f u l that this r e v i e w w a s t h e first m a j o r c o m m e n t to a p p e a r b a s e d o n a c o m p l e t e r e a d i n g a n d critique o f t h e b o o k ' s actual t e x t ( o t h e r s h a d w r i t t e n c o g e n t c o m m e n t a r i e s on The Bell Curve's politics, b u t h a d d i s c l a i m e d o n t h e text, p l e a d i n g inability t o c o m p r e h e n d the m a t h e m a t i c s ! ) . T h e s e c o n d r e p r e s e n t s m y a t t e m p t s t o p r o v i d e a m o r e p h i l o s o p h i c a l c o n t e x t f o r The Bell Curve's fallacy by c o n s i d e r i n g its c o n s o n a n c e with o t h e r a r g u m e n t s f r o m t h e history o f b i o d e t e r m i n i s m . T h i s essay, p u b l i s h e d in Natural History in F e b r u a r y 1 9 9 5 , r e p e a t s s o m e m a t e r i a l f r o m The Mismeasure of Man in t h e section o n B i n e t a n d t h e o r i g i n o f t h e I Q t e s t — b u t I left the r e d u n d a n c y a l o n e since I t h o u g h t that this d i f f e r e n t c o n t e x t f o r c i t i n g B i n e t m i g h t strike r e a d e r s a s i n t e r e s t i n g . T h e f i r s t section o n G o b i n e a u , t h e g r a n d d a d d y o f m o d e r n scientific r a c i s m , r e p r e s e n t s m a t e rial that I p r o b a b l y s h o u l d h a v e o r i g i n a l l y p l a c e d , b u t d i d n o t , in The Mismeasure of Man. T h e s e c o n d g r o u p i n c l u d e s t h r e e historical essays o n key f i g u r e s f r o m the seventeenth, eighteenth, and nineteenth centuries respectively. W e f i r s t m e e t Sir T h o m a s B r o w n e a n d his s e v e n t e e n t h - c e n t u r y r e f u t a t i o n o f t h e c a n a r d "that J e w s stink." B u t I v a l u e d B r o w n e ' s a r g u m e n t p r i m a r i l y f o r f o l l o w i n g the c o g e n t f o r m that h a s o p p o s e d b i o d e t e r m i n i s m e v e r s i n c e — s o his o l d r e f u t a t i o n has e n d u r i n g w o r t h . T h i s essay e n d s with a s u m m a r y o f the startling r e v i s i o n that m o d e r n g e n e t i c a n d e v o l u t i o n a r y d a t a a b o u t h u m a n o r i g i n s m u s t i m p o s e u p o n o u r n o t i o n o f races a n d their m e a n i n g . T h e s e c o n d essay a n a l y z e s t h e f o u n d i n g d o c u m e n t o f m o d e r n racial classification, t h e fivefold system d e v i s e d in t h e late e i g h t e e n t h c e n t u r y b y t h e genially liberal G e r m a n a n t h r o p o l o g i s t B l u m e n b a c h . I use this essay to s h o w h o w t h e o r y a n d u n c o n s c i o u s p r e s u p p o s i t i o n a l w a y s i n f l u e n c e o u r analysis a n d o r g a n i z a t i o n o f p r e s u m a b l y objective d a t a . B l u m e n b a c h m e a n t well, b u t e n d e d u p a f f i r m i n g racial h i e r a r c h y b y w a y o f g e o m e t r y a n d aesthetics, n o t b y a n y o v e r t vic i o u s n e s s . I f y o u e v e r w o n d e r e d w h y w h i t e folks a r e n a m e d C a u c a sians in h o n o r of a small r e g i o n in Russia, y o u will find the a n s w e r i n this essay a n d i n B l u m e n b a c h ' s definitions. T h e last article s u m -
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marizes Darwin's sometimes conventional, sometimes courageous v i e w s o n racial d i f f e r e n c e s a n d e n d s with a plea f o r u n d e r s t a n d i n g historical f i g u r e s i n t h e c o n t e x t o f their o w n times, a n d n o t i n a n a c h ronistic r e f e r e n c e t o o u r s . I d i d n o t w a n t t o e n d w i t h stale b r e a d , a n d t h e r e f o r e s o u g h t t o b u i l d this c l o s i n g section f r o m essays not p r e v i o u s l y a n t h o l o g i z e d . O f t h e f i v e , o n l y o n e has a p p e a r e d b e f o r e i n m y o w n c o l l e c t i o n s — t h e last p i e c e on D a r w i n f r o m Eight Little Piggies. B u t I c o u l d n o t b e a r t o e x p u n g e m y p e r s o n a l h e r o , w h i l e c o n c l u d i n g w i t h this essay g r a n t s m e s y m m e t r y b y a l l o w i n g t h e b o o k t o close w i t h t h e s a m e w o n d e r f u l line f r o m D a r w i n that b o t h b e g i n s this essay o n the o p e n i n g slice o f b r e a d a n d s e r v e s a s the e p i g r a p h i c q u o t e f o r the m e a t o f this b o o k , t h e t e x t of The Mismeasure of Man. O n e o t h e r e s s a y — T h e New Yorker r e v i e w of The Bell Curve—has b e e n r e p r i n t e d , in collections q u i c k l y p u b l i s h e d i n r e s p o n s e t o M u r r a y a n d H e r r n s t e i n ' s b o o k . T h e o t h e r essays h a v e n e v e r b e e n a n t h o l o g i z e d b e f o r e , a n d I p u r p o s e l y left t h e m o u t of my n e x t collection to a p p e a r , Dinosaur in a Haystack. T h i s subject o f b i o d e t e r m i n i s m has a l o n g , c o m p l e x , a n d c o n t e n tious history. W e c a n easily g e t lost i n t h e m i n u t i a e o f abstract academic arguments. B u t we must never forget the h u m a n m e a n i n g of lives d i m i n i s h e d b y t h e s e false a r g u m e n t s — a n d w e m u s t , p r i m a r i l y f o r this r e a s o n , n e v e r f l a g i n o u r r e s o l v e t o e x p o s e t h e fallacies o f science m i s u s e d f o r a l i e n social p u r p o s e s . S o let m e close with t h e o p e r a t i v e p a r a g r a p h of The Mismeasure of Man: " W e pass t h r o u g h this w o r l d b u t o n c e . F e w t r a g e d i e s c a n b e m o r e e x t e n s i v e t h a n t h e s t u n t i n g o f life, few injustices d e e p e r t h a n t h e d e n i a l o f a n o p p o r t u nity t o strive o r e v e n t o h o p e , b y a limit i m p o s e d f r o m w i t h o u t , b u t falsely i d e n t i f i e d as l y i n g w i t h i n . "
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Introduction CITIZENS OF T H E REPUBLIC, S o c r a t e s a d v i s e d , s h o u l d be e d u c a t e d a n d a s s i g n e d b y m e r i t t o t h r e e classes: r u l e r s , a u x i l i a r i e s , a n d craftsm e n . A stable society d e m a n d s that t h e s e r a n k s b e h o n o r e d a n d that citizens a c c e p t t h e status c o n f e r r e d u p o n t h e m . B u t h o w c a n this a c q u i e s c e n c e be s e c u r e d ? S o c r a t e s , u n a b l e to d e v i s e a logical a r g u m e n t , fabricates a m y t h . W i t h s o m e e m b a r r a s s m e n t , h e tells Glaucon: I will speak, although I really know not how to look you in the face, or in what words to utter the audacious fiction. . . . T h e y [the citizens] are to be told that their youth was a dream, and the education and training which they received from us, an appearance only; in reality during all that time they were being formed and fed in the womb of the earth. . . . Glaucon, o v e r w h e l m e d , exclaims: " Y o u had g o o d reason to be a s h a m e d o f t h e lie w h i c h y o u w e r e g o i n g t o tell." " T r u e , " r e p l i e d S o c r a t e s , " b u t t h e r e i s m o r e c o m i n g ; I h a v e o n l y told y o u half." Citizens, we shall say to them in our tale, you are brothers, yet God has framed you differently. Some of you have the power of command, and in the composition of these he has mingled gold, wherefore also they have the greatest honor; others he has made of silver, to be auxiliaries; others again who are to be husbandmen and craftsmen he has composed of brass and iron; and the species will generally be preserved in the children. . . . An oracle says that when a man of brass or iron guards the State, it will be destroyed. Such is the tale; is there any possibility of making our citizens believe in it? Glaucon replies: " N o t in the present generation; there is no way of a c c o m p l i s h i n g this; b u t their sons m a y b e m a d e t o b e l i e v e i n t h e t a l e , a n d t h e i r son's s o n s , a n d posterity a f t e r t h e m . "
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G l a u c o n h a d u t t e r e d a p r o p h e s y . T h e s a m e tale, i n d i f f e r e n t v e r s i o n s , has b e e n p r o m u l g a t e d a n d b e l i e v e d e v e r since. T h e j u s tification for r a n k i n g g r o u p s b y i n b o r n w o r t h has v a r i e d with the tides o f W e s t e r n history. Plato relied u p o n dialectic, t h e C h u r c h u p o n d o g m a . F o r t h e past two c e n t u r i e s , scientific claims h a v e b e c o m e the p r i m a r y a g e n t f o r v a l i d a t i n g Plato's m y t h . T h i s b o o k i s a b o u t t h e scientific v e r s i o n o f Plato's tale. T h e g e n eral a r g u m e n t m a y be called biological determinism. It h o l d s that s h a r e d b e h a v i o r a l n o r m s , a n d the social a n d e c o n o m i c d i f f e r e n c e s b e t w e e n h u m a n g r o u p s — p r i m a r i l y races, classes, a n d s e x e s — a r i s e f r o m i n h e r i t e d , i n b o r n distinctions a n d that society, in this s e n s e , is a n a c c u r a t e reflection o f b i o l o g y . T h i s b o o k discusses, i n historical p e r s p e c t i v e , a p r i n c i p a l t h e m e within biological d e t e r m i n i s m : t h e claim that w o r t h can be a s s i g n e d to i n d i v i d u a l s a n d g r o u p s by measuring intelligence as a single quantity. T w o m a j o r sources of data h a v e s u p p o r t e d this t h e m e : c r a n i o m e t r y (or m e a s u r e m e n t o f the skull) a n d certain styles o f p s y c h o l o g i c a l testing. Metals h a v e c e d e d t o g e n e s ( t h o u g h w e retain a n e t y m o l o g i c a l v e s t i g e of Plato's tale in s p e a k i n g of p e o p l e ' s w o r t h i n e s s as their " m e t t l e " ) . B u t t h e basic a r g u m e n t has n o t c h a n g e d : that social a n d e c o n o m i c roles a c c u r a t e l y reflect t h e i n n a t e c o n s t r u c t i o n o f p e o p l e . O n e aspect o f the intellectual strategy has a l t e r e d , h o w e v e r . Socrates k n e w that he was telling a lie. D e t e r m i n i s t s h a v e o f t e n i n v o k e d the traditional p r e s t i g e o f scie n c e as objective k n o w l e d g e , f r e e f r o m social a n d political taint. T h e y p o r t r a y t h e m s e l v e s a s p u r v e y o r s o f h a r s h truth a n d their o p p o n e n t s a s sentimentalists, i d e o l o g u e s , a n d wishful t h i n k e r s . L o u i s A g a s s i z ( 1 8 5 0 , p . 1 1 1 ) , d e f e n d i n g his a s s i g n m e n t o f blacks t o a s e p a r a t e species, w r o t e : " N a t u r a l i s t s h a v e a r i g h t to c o n s i d e r the q u e s t i o n s g r o w i n g o u t o f m e n ' s physical relations a s m e r e l y scientific q u e s t i o n s , a n d to investigate t h e m w i t h o u t r e f e r e n c e to e i t h e r politics o r r e l i g i o n . " C a r l C . B r i g h a m ( 1 9 2 3 ) , a r g u i n g f o r the e x c l u sion o f s o u t h e r n a n d e a s t e r n E u r o p e a n i m m i g r a n t s w h o h a d s c o r e d p o o r l y o n s u p p o s e d tests o f i n n a t e i n t e l l i g e n c e stated: " T h e steps that s h o u l d b e t a k e n t o p r e s e r v e o r i n c r e a s e o u r p r e s e n t intellectual capacity m u s t o f c o u r s e b e dictated b y science a n d n o t b y political e x p e d i e n c y . " A n d C y r i l B u r t , i n v o k i n g f a k e d data c o m piled b y t h e n o n e x i s t e n t Ms. C o n w a y , c o m p l a i n e d that d o u b t s about the genetic foundation of IQ "appear to be based rather on
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t h e social ideals o r t h e subjective p r e f e r e n c e s o f t h e critics t h a n o n any first-hand examination of the evidence supporting the o p p o site v i e w " (in C o n w a y , 1 9 5 9 , p . 1 5 ) . S i n c e b i o l o g i c a l d e t e r m i n i s m possesses s u c h e v i d e n t utility f o r g r o u p s i n p o w e r , o n e m i g h t b e e x c u s e d f o r s u s p e c t i n g that i t also arises in a political c o n t e x t , d e s p i t e t h e d e n i a l s q u o t e d a b o v e . A f t e r all, i f the status q u o i s a n e x t e n s i o n o f n a t u r e , t h e n a n y m a j o r c h a n g e , i f possible a t all, m u s t inflict a n e n o r m o u s c o s t — p s y c h o l o g ical f o r i n d i v i d u a l s , o r e c o n o m i c f o r s o c i e t y — i n f o r c i n g p e o p l e into u n n a t u r a l a r r a n g e m e n t s . In his e p o c h a l b o o k , An American Dilemma ( 1 9 4 4 ) , S w e d i s h sociologist G u n n a r M y r d a l d i s c u s s e d t h e t h r u s t o f biological a n d m e d i c a l a r g u m e n t s a b o u t h u m a n n a t u r e : " T h e y h a v e b e e n associated i n A m e r i c a , a s i n t h e rest o f t h e w o r l d , with conservative and even reactionary ideologies. U n d e r their long h e g e m o n y , t h e r e has b e e n a t e n d e n c y t o a s s u m e b i o l o g i c a l causation w i t h o u t q u e s t i o n , a n d t o a c c e p t social e x p l a n a t i o n s only u n d e r t h e d u r e s s o f a siege o f irresistible e v i d e n c e . I n political q u e s t i o n s , this t e n d e n c y f a v o r e d a d o - n o t h i n g policy." O r , as C o n d o r c e t said m o r e succinctly a l o n g time a g o : they " m a k e n a t u r e h e r s e l f a n a c c o m p l i c e i n t h e c r i m e o f political i n e q u a l i t y . " T h i s b o o k seeks t o d e m o n s t r a t e b o t h t h e scientific w e a k n e s s e s a n d political c o n t e x t s o f d e t e r m i n i s t a r g u m e n t s . E v e n so, I d o n o t i n t e n d t o c o n t r a s t evil d e t e r m i n i s t s w h o stray f r o m t h e p a t h o f scientific objectivity w i t h e n l i g h t e n e d a n t i d e t e r m i n i s t s w h o a p p r o a c h d a t a with a n o p e n m i n d a n d t h e r e f o r e see t r u t h . R a t h e r , I criticize t h e m y t h that science itself i s a n objective e n t e r p r i s e , d o n e p r o p e r l y o n l y w h e n scientists c a n s h u c k t h e c o n s t r a i n t s o f t h e i r c u l t u r e a n d v i e w t h e w o r l d as it really is. A m o n g scientists, f e w c o n s c i o u s i d e o l o g u e s h a v e e n t e r e d these d e b a t e s o n e i t h e r side. Scientists n e e d n ' t b e c o m e e x p l i c i t a p o l o g i s t s f o r t h e i r class o r c u l t u r e i n o r d e r t o reflect t h e s e p e r v a s i v e aspects o f life. M y m e s s a g e i s n o t that b i o l o g i c a l d e t e r m i n i s t s w e r e b a d scientists o r e v e n that t h e y w e r e a l w a y s w r o n g . R a t h e r , I b e l i e v e that science m u s t be u n d e r s t o o d as a social p h e n o m e n o n , a g u t s y , h u m a n e n t e r p r i s e , n o t t h e w o r k o f r o b o t s p r o g r a m e d t o collect p u r e i n f o r m a t i o n . I also p r e s e n t this v i e w as an u p b e a t f o r s c i e n c e , n o t as a g l o o m y e p i t a p h f o r a n o b l e h o p e sacrificed on t h e altar of h u m a n limitations. S c i e n c e , since p e o p l e m u s t do it, is a socially e m b e d d e d activity.
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I t p r o g r e s s e s b y h u n c h , vision, a n d i n t u i t i o n . M u c h o f its c h a n g e t h r o u g h time d o e s n o t r e c o r d a c l o s e r a p p r o a c h t o a b s o l u t e t r u t h , b u t t h e a l t e r a t i o n of c u l t u r a l c o n t e x t s that i n f l u e n c e it so s t r o n g l y . Facts a r e n o t p u r e a n d u n s u l l i e d bits o f i n f o r m a t i o n ; c u l t u r e also i n f l u e n c e s w h a t w e see a n d h o w w e see it. T h e o r i e s , m o r e o v e r , a r e n o t i n e x o r a b l e i n d u c t i o n s f r o m facts. T h e m o s t c r e a t i v e t h e o r i e s a r e o f t e n i m a g i n a t i v e visions i m p o s e d u p o n facts; t h e s o u r c e o f i m a g i n a t i o n is also s t r o n g l y c u l t u r a l . T h i s a r g u m e n t , a l t h o u g h still a n a t h e m a t o m a n y p r a c t i c i n g scientists, w o u l d , I t h i n k , b e a c c e p t e d b y n e a r l y e v e r y h i s t o r i a n o f science. In a d v a n c i n g it, h o w e v e r , I do n o t ally m y s e l f with an o v e r e x t e n s i o n n o w p o p u l a r i n s o m e historical circles: t h e p u r e l y relativistic claim that scientific c h a n g e o n l y reflects t h e m o d i f i c a t i o n of social c o n t e x t s , that t r u t h is a m e a n i n g l e s s n o t i o n o u t s i d e cult u r a l a s s u m p t i o n s , a n d that science c a n t h e r e f o r e p r o v i d e n o e n d u r i n g a n s w e r s . A s a p r a c t i c i n g scientist, I s h a r e t h e c r e d o o f m y c o l l e a g u e s : I b e l i e v e that a f a c t u a l reality exists a n d t h a t s c i e n c e , t h o u g h o f t e n i n a n o b t u s e a n d e r r a t i c m a n n e r , c a n l e a r n a b o u t it. G a l i l e o was n o t s h o w n t h e i n s t r u m e n t s o f t o r t u r e i n a n abstract debate about lunar motion. He h a d threatened the Church's conv e n t i o n a l a r g u m e n t f o r social a n d d o c t r i n a l stability: t h e static w o r l d o r d e r with planets c i r c l i n g a b o u t a c e n t r a l e a r t h , priests s u b o r d i n a t e t o t h e P o p e a n d serfs t o t h e i r l o r d . B u t t h e C h u r c h s o o n m a d e its p e a c e with Galileo's c o s m o l o g y . T h e y h a d n o c h o i c e ; t h e e a r t h really d o e s r e v o l v e a b o u t t h e s u n . Y e t t h e h i s t o r y o f m a n y scientific subjects i s virtually f r e e f r o m s u c h c o n s t r a i n t s o f fact f o r t w o m a j o r r e a s o n s . First, s o m e topics a r e i n v e s t e d w i t h e n o r m o u s social i m p o r t a n c e b u t blessed with v e r y little reliable i n f o r m a t i o n . W h e n t h e ratio o f d a t a t o social i m p a c t is so low, a h i s t o r y of scientific a t t i t u d e s m a y be little m o r e t h a n an o b l i q u e r e c o r d o f social c h a n g e . T h e history o f scientific v i e w s o n r a c e , f o r e x a m p l e , serves a s a m i r r o r o f social m o v e m e n t s ( P r o v i n e , 1 9 7 3 ) . T h i s m i r r o r reflects i n g o o d times a n d b a d , i n p e r i o d s o f b e l i e f i n equality a n d i n eras o f r a m p a n t r a c i s m . T h e d e a t h k n e l l o f t h e o l d e u g e n i c s i n A m e r i c a was s o u n d e d m o r e b y H i t l e r ' s p a r ticular u s e o f o n c e - f a v o r e d a r g u m e n t s f o r sterilization a n d racial purification than by advances in genetic knowledge. S e c o n d , m a n y q u e s t i o n s a r e f o r m u l a t e d b y scientists i n s u c h a restricted way that a n y l e g i t i m a t e a n s w e r c a n o n l y v a l i d a t e a social
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p r e f e r e n c e . M u c h o f t h e d e b a t e o n racial d i f f e r e n c e s i n m e n t a l w o r t h , f o r e x a m p l e , p r o c e e d e d u p o n t h e a s s u m p t i o n that intellig e n c e is a t h i n g in the h e a d . U n t i l this n o t i o n was s w e p t a s i d e , no a m o u n t of data could dislodge a strong Western tradition for o r d e r i n g r e l a t e d i t e m s into a p r o g r e s s i v e c h a i n o f b e i n g . S c i e n c e c a n n o t e s c a p e its c u r i o u s dialectic. E m b e d d e d i n surr o u n d i n g culture, it can, nonetheless, be a powerful agent for quest i o n i n g a n d e v e n o v e r t u r n i n g t h e a s s u m p t i o n s that n u r t u r e it. S c i e n c e c a n p r o v i d e i n f o r m a t i o n t o r e d u c e t h e ratio o f d a t a t o social i m p o r t a n c e . Scientists c a n s t r u g g l e t o identify t h e c u l t u r a l a s s u m p t i o n s o f t h e i r t r a d e a n d t o ask h o w a n s w e r s m i g h t b e f o r m u l a t e d u n d e r d i f f e r e n t assertions. Scientists c a n p r o p o s e c r e a t i v e t h e o r i e s that f o r c e startled c o l l e a g u e s t o c o n f r o n t u n q u e s t i o n e d p r o c e d u r e s . B u t science's p o t e n t i a l a s a n i n s t r u m e n t f o r i d e n t i f y i n g t h e c u l t u r a l c o n s t r a i n t s u p o n it c a n n o t be fully r e a l i z e d u n t i l scientists g i v e u p t h e twin m y t h s o f objectivity a n d i n e x o r a b l e m a r c h t o w a r d t r u t h . O n e m u s t , i n d e e d , locate the b e a m i n o n e ' s o w n e y e before interpreting correctly the pervasive motes in everybody else's. T h e b e a m s c a n t h e n b e c o m e facilitators, r a t h e r t h a n i m p e d iments. G u n n a r M y r d a l ( 1 9 4 4 ) c a p t u r e d b o t h sides o f this dialectic w h e n he wrote: A handful of social and biological scientists over the last 50 years have gradually forced informed people to give up s o m e of the more blatant of our biological errors. But there must be still other countless errors of the same sort that no living man can yet detect, because of the fog within which our type of Western culture envelops us. Cultural influences have set up the assumptions about the mind, the body, and the universe with which we begin; pose the questions we ask; influence the facts we seek; determine the interpretation we give these facts; and direct our reaction to these interpretations and conclusions. B i o l o g i c a l d e t e r m i n i s m is too l a r g e a subject f o r o n e m a n a n d o n e b o o k — f o r i t t o u c h e s virtually e v e r y a s p e c t o f t h e i n t e r a c t i o n b e t w e e n b i o l o g y a n d society since the d a w n o f m o d e r n science. I have therefore confined myself to o n e central and manageable a r g u m e n t i n t h e edifice o f b i o l o g i c a l d e t e r m i n i s m — a n a r g u m e n t i n t w o historical c h a p t e r s , b a s e d o n t w o d e e p fallacies, a n d c a r r i e d f o r t h i n o n e c o m m o n style.
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T h e a r g u m e n t b e g i n s w i t h o n e o f t h e fallacies—reification, o r o u r t e n d e n c y t o c o n v e r t abstract c o n c e p t s i n t o entities ( f r o m t h e L a t i n res, o r t h i n g ) . W e r e c o g n i z e t h e i m p o r t a n c e o f m e n t a l i t y i n o u r lives a n d wish t o c h a r a c t e r i z e it, i n p a r t s o that w e c a n m a k e t h e divisions a n d distinctions a m o n g p e o p l e that o u r c u l t u r a l a n d political systems dictate. W e t h e r e f o r e g i v e t h e w o r d " i n t e l l i g e n c e " t o this w o n d r o u s l y c o m p l e x a n d m u l t i f a c e t e d set o f h u m a n c a p a bilities. T h i s s h o r t h a n d s y m b o l i s t h e n reified a n d i n t e l l i g e n c e a c h i e v e s its d u b i o u s status as a u n i t a r y t h i n g . O n c e i n t e l l i g e n c e b e c o m e s a n entity, s t a n d a r d p r o c e d u r e s o f s c i e n c e virtually dictate that a l o c a t i o n a n d physical s u b s t r a t e be s o u g h t f o r it. S i n c e t h e b r a i n is t h e seat of m e n t a l i t y , i n t e l l i g e n c e must reside there. W e n o w e n c o u n t e r t h e s e c o n d fallacy—ranking, o r o u r p r o p e n s i t y f o r o r d e r i n g c o m p l e x v a r i a t i o n as a g r a d u a l a s c e n d i n g scale. M e t a p h o r s o f p r o g r e s s a n d g r a d u a l i s m h a v e b e e n a m o n g t h e m o s t p e r v a s i v e i n W e s t e r n t h o u g h t — s e e L o v e j o y ' s classic essay ( 1 9 3 6 ) o n the g r e a t c h a i n o f b e i n g o r B u r y ' s f a m o u s t r e a t m e n t (1920) o f t h e i d e a o f p r o g r e s s . T h e i r social utility s h o u l d b e e v i d e n t i n t h e f o l l o w i n g a d v i c e f r o m B o o k e r T . W a s h i n g t o n ( 1 9 0 4 , p . 245) t o black A m e r i c a : For my race, o n e of its dangers is that it may grow impatient and feel that it can get upon its feet by artificial and superficial efforts rather than by the slower but surer process which means o n e step at a time through all the constructive grades of industrial, mental, moral and social development which all races have had to follow that have become i n d e p e n d e n t and strong. B u t r a n k i n g r e q u i r e s a c r i t e r i o n f o r a s s i g n i n g all i n d i v i d u a l s to their p r o p e r status i n the single series. A n d w h a t b e t t e r c r i t e r i o n t h a n a n objective n u m b e r ? T h u s , t h e c o m m o n style e m b o d y i n g b o t h fallacies o f t h o u g h t h a s b e e n q u a n t i f i c a t i o n , o r t h e m e a s u r e m e n t o f i n t e l l i g e n c e a s a single n u m b e r f o r e a c h p e r s o n . * T h i s b o o k , t h e n , is a b o u t t h e a b s t r a c t i o n of i n t e l l i g e n c e as a single entity, its l o c a t i o n w i t h i n t h e b r a i n , its q u a n t i f i c a t i o n as o n e n u m b e r f o r *Peter Medawar (1977, p. 13) has presented other interesting examples of "the illusion embodied in the ambition to attach a single number valuation to complex quantities"—for example, the attempts made by demographers to seek causes for trends in population in a single measure of "reproductive prowess," or the desire of soil scientists to abstract the "quality" of a soil as a single number.
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each individual, a n d the use of these numbers to rank people in a single series o f w o r t h i n e s s , i n v a r i a b l y t o f i n d that o p p r e s s e d a n d d i s a d v a n t a g e d g r o u p s — r a c e s , classes, o r s e x e s — a r e i n n a t e l y i n f e r i o r a n d d e s e r v e t h e i r status. I n s h o r t , this b o o k i s a b o u t t h e Mismeasure of Man.* D i f f e r e n t a r g u m e n t s f o r r a n k i n g h a v e c h a r a c t e r i z e d t h e last t w o c e n t u r i e s . C r a n i o m e t r y was t h e l e a d i n g n u m e r i c a l science o f b i o l o g i c a l d e t e r m i n i s m d u r i n g t h e n i n e t e e n t h c e n t u r y . I discuss (Chapter 2) the most extensive data compiled before Darwin to r a n k races b y t h e sizes o f their b r a i n s — t h e skull collection o f Phila d e l p h i a p h y s i c i a n S a m u e l G e o r g e M o r t o n . C h a p t e r 3 treats t h e f l o w e r i n g of c r a n i o m e t r y as a r i g o r o u s a n d r e s p e c t a b l e science in t h e s c h o o l o f P a u l B r o c a i n late n i n e t e e n t h - c e n t u r y E u r o p e . C h a p t e r 4 t h e n u n d e r s c o r e s the i m p a c t o f q u a n t i f i e d a p p r o a c h e s t o h u m a n a n a t o m y i n n i n e t e e n t h - c e n t u r y biological d e t e r m i n i s m . I t p r e s e n t s t w o case studies: the t h e o r y o f r e c a p i t u l a t i o n a s e v o l u t i o n ' s primary criterion for unilinear ranking of h u m a n g r o u p s , a n d the a t t e m p t to e x p l a i n c r i m i n a l b e h a v i o r as a b i o l o g i c a l atavism r e f l e c t e d i n t h e a p i s h m o r p h o l o g y o f m u r d e r e r s a n d o t h e r miscreants. W h a t c r a n i o m e t r y was f o r t h e n i n e t e e n t h c e n t u r y , i n t e l l i g e n c e t e s t i n g h a s b e c o m e f o r t h e t w e n t i e t h , w h e n i t a s s u m e s that intellig e n c e (or at least a d o m i n a n t p a r t of it) is a single, i n n a t e , h e r i t a b l e , a n d m e a s u r a b l e t h i n g . I discuss t h e t w o c o m p o n e n t s o f this invalid a p p r o a c h to m e n t a l testing in C h a p t e r 5 (the h e r e d i t a r i a n v e r s i o n o f t h e I Q scale a s a n A m e r i c a n p r o d u c t ) a n d C h a p t e r 6 (the a r g u m e n t f o r r e i f y i n g i n t e l l i g e n c e as a single entity by t h e m a t h e m a t i c a l t e c h n i q u e of f a c t o r analysis). F a c t o r analysis is a difficult m a t h e matical subject a l m o s t invariably o m i t t e d f r o m d o c u m e n t s w r i t t e n f o r n o n p r o f e s s i o n a l s . Y e t I b e l i e v e that it c a n be m a d e accessible a n d e x p l a i n e d i n a pictorial a n d n o n n u m e r i c a l w a y . T h e m a t e r i a l of C h a p t e r 6 is still n o t "easy r e a d i n g , " b u t I c o u l d n o t leave it o u t — f o r t h e history o f i n t e l l i g e n c e t e s t i n g c a n n o t b e u n d e r s t o o d w i t h o u t g r a s p i n g t h e f a c t o r analytic a r g u m e n t a n d u n d e r s t a n d i n g its d e e p * Following strictures of the argument outlined above, I do not treat all theories of craniometries (I omit phrenology, for example, because it did not reify intelligence as a single entity but sought multiple organs with the brain). Likewise, I exclude many important and often quantified styles of determinism that did not seek to measure intelligence as a property of the brain—for example, most of eugenics.
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c o n c e p t u a l fallacy. T h e g r e a t I Q d e b a t e m a k e s n o s e n s e w i t h o u t this c o n v e n t i o n a l l y m i s s i n g subject. I h a v e tried to treat t h e s e subjects in an u n c o n v e n t i o n a l w a y by u s i n g a m e t h o d that falls o u t s i d e t h e t r a d i t i o n a l p u r v i e w o f e i t h e r a scientist or h i s t o r i a n o p e r a t i n g a l o n e . H i s t o r i a n s r a r e l y treat t h e q u a n t i t a t i v e details in sets of p r i m a r y d a t a . T h e y w r i t e , as I c a n n o t a d e q u a t e l y , a b o u t social c o n t e x t , b i o g r a p h y , o r g e n e r a l intellectual h i s t o r y . Scientists a r e u s e d t o a n a l y z i n g t h e d a t a o f t h e i r p e e r s , b u t few a r e sufficiently i n t e r e s t e d i n history t o a p p l y t h e m e t h o d t o their p r e d e c e s s o r s . T h u s , m a n y s c h o l a r s h a v e w r i t t e n a b o u t B r o c a ' s i m p a c t , b u t n o o n e has r e c a l c u l a t e d his s u m s . I h a v e f o c u s e d u p o n t h e r e a n a l y s i s of classical d a t a sets in c r a niometry and intelligence testing for two reasons b e y o n d my incompetence to p r o c e e d in any other fruitful way and my desire to do s o m e t h i n g a bit d i f f e r e n t . I b e l i e v e , first of all, that S a t a n also d w e l l s with G o d i n t h e details. I f t h e c u l t u r a l i n f l u e n c e s u p o n science can be detected in the h u m d r u m minutiae of a supposedly o b j e c t i v e , a l m o s t a u t o m a t i c q u a n t i f i c a t i o n , t h e n t h e status o f biological d e t e r m i n i s m as a social p r e j u d i c e reflected by scientists in their own particular m e d i u m seems secure. T h e s e c o n d r e a s o n f o r a n a l y z i n g q u a n t i t a t i v e d a t a arises f r o m t h e special status that n u m b e r s enjoy. T h e m y s t i q u e o f science p r o claims that n u m b e r s a r e t h e u l t i m a t e test o f objectivity. S u r e l y w e c a n w e i g h a b r a i n o r s c o r e a n i n t e l l i g e n c e test w i t h o u t r e c o r d i n g o u r social p r e f e r e n c e s . I f r a n k s a r e d i s p l a y e d i n h a r d n u m b e r s obtained by rigorous a n d standardized procedures, then they must reflect reality, e v e n i f t h e y c o n f i r m w h a t w e w a n t e d t o b e l i e v e f r o m the start. A n t i d e t e r m i n i s t s h a v e u n d e r s t o o d t h e p a r t i c u l a r p r e s t i g e o f n u m b e r s a n d t h e special difficulty that their r e f u t a t i o n entails. L e o n c e M a n o u v r i e r ( 1 9 0 3 , p . 406), t h e n o n d e t e r m i n i s t black s h e e p o f B r o c a ' s f o l d , a n d a f i n e statistician himself, w r o t e o f B r o c a ' s d a t a o n t h e small b r a i n s o f w o m e n : W o m e n displayed their talents and their diplomas. T h e y also invoked philosophical authorities. But they were o p p o s e d by numbers u n k n o w n to Condorcet or to J o h n Stuart Mill. T h e s e numbers fell u p o n poor w o m e n like a sledge h a m m e r , and they were accompanied by commentaries and sarcasms m o r e ferocious than the most misogynist imprecations of certain church fathers. T h e theologians had asked if w o m e n had a soul. Several centuries later, s o m e scientists were ready to refuse them a h u m a n intelligence.
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I f — a s I b e l i e v e I h a v e s h o w n — q u a n t i t a t i v e d a t a a r e as subject to c u l t u r a l c o n s t r a i n t a s a n y o t h e r a s p e c t o f s c i e n c e , t h e n they h a v e n o special c l a i m u p o n f i n a l t r u t h . In r e a n a l y z i n g t h e s e classical d a t a sets, I h a v e c o n t i n u a l l y l o c a t e d a p r i o r i p r e j u d i c e , l e a d i n g scientists to invalid c o n c l u s i o n s f r o m a d e q u a t e d a t a , o r d i s t o r t i n g t h e g a t h e r i n g o f d a t a itself. I n a few cases—Cyril Burt's d o c u m e n t e d fabrication o f data-on I Q o f i d e n t i c a l twins, a n d m y d i s c o v e r y that G o d d a r d a l t e r e d p h o t o graphs to suggest mental retardation in the K a l l i k a k s — w e can specify c o n s c i o u s f r a u d a s t h e c a u s e o f i n s e r t e d social p r e j u d i c e . B u t f r a u d i s n o t historically i n t e r e s t i n g e x c e p t a s g o s s i p b e c a u s e t h e p e r p e t r a t o r s k n o w w h a t t h e y a r e d o i n g a n d t h e unconscious biases that r e c o r d subtle a n d i n e s c a p a b l e c o n s t r a i n t s o f c u l t u r e a r e n o t illustrated. I n m o s t cases d i s c u s s e d i n this b o o k , w e c a n b e fairly c e r t a i n that b i a s e s — t h o u g h o f t e n e x p r e s s e d a s e g r e g i o u s l y a s i n cases o f c o n s c i o u s f r a u d — w e r e u n k n o w i n g l y influential a n d that scientists b e l i e v e d t h e y w e r e p u r s u i n g u n s u l l i e d t r u t h . S i n c e m a n y o f t h e cases p r e s e n t e d h e r e a r e s o p a t e n t , e v e n risible, by today's s t a n d a r d s , I wish to e m p h a s i z e that I h a v e n o t t a k e n c h e a p shots a t m a r g i n a l f i g u r e s (with the possible e x c e p t i o n s o f M r . B e a n in C h a p t e r 3, w h o m I u s e as a c u r t a i n - r a i s e r to illustrate a general point, and Mr. Cartwright in C h a p t e r 2, whose statements a r e t o o p r e c i o u s t o e x c l u d e ) . C h e a p shots c o m e i n thick catal o g u e s — f r o m a eugenicist n a m e d W. D. M c K i m , Ph.D. (1900), w h o t h o u g h t that all n o c t u r n a l h o u s e b r e a k e r s s h o u l d b e d i s p a t c h e d with c a r b o n i c a c i d g a s , t o a c e r t a i n E n g l i s h p r o f e s s o r w h o t o u r e d t h e U n i t e d States d u r i n g t h e late n i n e t e e n t h c e n t u r y , o f f e r i n g t h e u n s o l i c i t e d a d v i c e that w e m i g h t solve o u r racial p r o b l e m s i f e v e r y I r i s h m a n killed a N e g r o a n d g o t h a n g e d f o r it.* C h e a p shots a r e also g o s s i p , n o t history; t h e y a r e e p h e m e r a l a n d u n i n f l u e n t i a l , h o w e v e r a m u s i n g . I h a v e f o c u s e d u p o n t h e l e a d i n g a n d m o s t influential scientists o f their times a n d h a v e a n a l y z e d t h e i r m a j o r w o r k s . I h a v e e n j o y e d p l a y i n g d e t e c t i v e in m o s t of t h e case studies that m a k e u p this b o o k : f i n d i n g p a s s a g e s e x p u r g a t e d w i t h o u t c o m m e n t * Also too precious to exclude is my favorite modern invocation of biological determinism as an excuse for dubious behavior. Bill Lee, baseball's self-styled philosopher, justifying the beanball (New York Times, 24 July 1976): "I read a book in college called 'Territorial Imperative.' A fellow always has to protect his master's home much stronger than anything down the street; My territory is down and away from the hitters. If they're going out there and getting the ball, I'll have to come in close."
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i n p u b l i s h e d letters, r e c a l c u l a t i n g s u m s t o locate e r r o r s that s u p port expectations, discovering h o w adequate data can be filtered t h r o u g h p r e j u d i c e s t o p r e d e t e r m i n e d results, e v e n g i v i n g t h e A r m y M e n t a l T e s t f o r illiterates t o m y o w n s t u d e n t s with interesti n g results. B u t I trust that w h a t e v e r zeal a n y i n v e s t i g a t o r m u s t invest i n details h a s not o b s c u r e d t h e g e n e r a l m e s s a g e : that d e t e r minist a r g u m e n t s f o r r a n k i n g p e o p l e a c c o r d i n g t o a single scale o f intelligence, no matter now numerically sophisticated, have rec o r d e d little m o r e t h a n social p r e j u d i c e — a n d that w e l e a r n s o m e t h i n g h o p e f u l a b o u t t h e n a t u r e o f science i n p u r s u i n g s u c h a n analysis. If this subject w e r e m e r e l y a scholar's abstract c o n c e r n , I c o u l d a p p r o a c h i t i n m o r e m e a s u r e d t o n e . B u t f e w b i o l o g i c a l subjects h a v e h a d a m o r e d i r e c t i n f l u e n c e u p o n millions o f lives. B i o l o g i c a l d e t e r m i n i s m is, in its e s s e n c e , a theory of limits. It takes t h e c u r r e n t status o f g r o u p s a s a m e a s u r e o f w h e r e they s h o u l d a n d m u s t b e ( e v e n w h i l e it allows s o m e r a r e i n d i v i d u a l s to rise as a c o n s e q u e n c e of their fortunate biology). I h a v e said little a b o u t t h e c u r r e n t r e s u r g e n c e of b i o l o g i c a l d e t e r m i n i s m b e c a u s e its i n d i v i d u a l claims a r e usually s o e p h e m e r a l that t h e i r r e f u t a t i o n b e l o n g s i n a m a g a z i n e article o r n e w s p a p e r story. W h o e v e n r e m e m b e r s t h e h o t topics o f ten y e a r s a g o : S h o c k ley's p r o p o s a l s f o r r e i m b u r s i n g v o l u n t a r i l y sterilized i n d i v i d u a l s a c c o r d i n g t o their n u m b e r o f I Q p o i n t s b e l o w t o o , the g r e a t X Y Y d e b a t e , o r t h e a t t e m p t t o e x p l a i n u r b a n riots b y d i s e a s e d n e u r o l o g y o f r i o t e r s . I t h o u g h t that i t w o u l d b e m o r e v a l u a b l e a n d i n t e r e s t i n g t o e x a m i n e t h e o r i g i n a l s o u r c e s o f the a r g u m e n t s that still surr o u n d us. T h e s e , a t least, display g r e a t a n d e n l i g h t e n i n g e r r o r s . B u t I was i n s p i r e d to w r i t e this b o o k b e c a u s e b i o l o g i c a l d e t e r m i n ism is rising in p o p u l a r i t y a g a i n , as it always d o e s in times of political r e t r e n c h m e n t . T h e cocktail p a r t y circuit has b e e n b u z z i n g with its u s u a l p r o f u n d i t y a b o u t i n n a t e a g g r e s s i o n , sex r o l e s , a n d t h e n a k e d a p e . Millions o f p e o p l e a r e n o w s u s p e c t i n g that their social p r e j u d i c e s a r e scientific facts a f t e r all. Y e t t h e s e latent p r e j u d i c e s t h e m s e l v e s , n o t f r e s h d a t a , are t h e p r i m a r y s o u r c e o f r e n e w e d attention. W e pass t h r o u g h this w o r l d b u t o n c e . F e w t r a g e d i e s c a n b e m o r e e x t e n s i v e t h a n t h e s t u n t i n g o f life, few injustices d e e p e r t h a n t h e d e n i a l o f a n o p p o r t u n i t y t o strive o r e v e n t o h o p e , b y a limit
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i m p o s e d f r o m w i t h o u t , b u t falsely identified a s l y i n g w i t h i n . C i c e r o tells t h e story o f Z o p y r u s , w h o c l a i m e d that S o c r a t e s h a d i n b o r n vices e v i d e n t in his p h y s i o g n o m y . His disciples r e j e c t e d t h e c l a i m , b u t S o c r a t e s d e f e n d e d Z o p y r u s a n d stated that h e d i d i n d e e d possess t h e vices, b u t h a d c a n c e l l e d their effects t h r o u g h t h e e x e r c i s e of reason. We inhabit a world of h u m a n differences and predilections, b u t the e x t r a p o l a t i o n o f t h e s e facts t o t h e o r i e s o f r i g i d limits is i d e o l o g y . G e o r g e Eliot well a p p r e c i a t e d t h e special t r a g e d y that b i o l o g i c a l labeling imposed u p o n m e m b e r s of disadvantaged g r o u p s . She e x p r e s s e d i t f o r p e o p l e like h e r s e l f — w o m e n o f e x t r a o r d i n a r y talent. I w o u l d apply it m o r e w i d e l y — n o t only to those whose dreams a r e f l o u t e d b u t also t o t h o s e w h o n e v e r realize that they m a y d r e a m . B u t I c a n n o t m a t c h h e r p r o s e ( f r o m t h e p r e l u d e t o Middlemarch): S o m e have felt that these blundering lives are d u e to the inconvenient indefiniteness with which the S u p r e m e Power has fashioned the natures of women: if there were o n e level of feminine incompetence as strict as the ability to count three and no more, the social lot of w o m e n might be treated with scientific certitude. T h e limits of variation are really much wider than anyone would imagine from the sameness of women's coiffure and the favorite love stories in prose and verse. H e r e and there a cygnet is reared uneasily a m o n g the ducklings in the brown p o n d , and never finds the living stream in fellowship with its own oary-footed kind. Here and there is born a Saint Theresa, foundress of nothing, whose loving heartbeats and sobs after an unattained goodness tremble off and are dispersed a m o n g hindrances instead of centering in some long-recognizable d e e d .
TWO
American Polygeny and Craniometry before Darwin Blacks and Indians as Separate, Inferior Species Order is Heaven's first law; and, this confessed, Some are, and must be, greater than the rest. — ALEXANDER POPE, Essay on Man (1733) APPEALS TO REASON or to t h e n a t u r e of t h e u n i v e r s e h a v e b e e n u s e d t h r o u g h o u t history to enshrine existing hierarchies as p r o p e r and inevitable. T h e h i e r a r c h i e s r a r e l y e n d u r e f o r m o r e t h a n a few g e n erations, but the arguments, refurbished for the next r o u n d of social institutions, cycle endlessly. T h e c a t a l o g u e o f justifications b a s e d o n n a t u r e t r a v e r s e s a r a n g e o f possibilities: e l a b o r a t e a n a l o g i e s b e t w e e n r u l e r s a n d a h i e r a r c h y o f s u b o r d i n a t e classes with t h e c e n t r a l e a r t h o f P t o l e m a i c astronomy and a ranked o r d e r of heavenly bodies circling a r o u n d it; o r a p p e a l s t o t h e u n i v e r s a l o r d e r o f a " g r e a t c h a i n o f b e i n g , " r a n g i n g i n a single series f r o m a m o e b a e t o G o d , a n d i n c l u d i n g n e a r its a p e x a g r a d e d series o f h u m a n races a n d classes. T o q u o t e A l e x ander Pope again: Without this just gradation, could they be Subjected, these to those, or all to thee? From Nature's chain whatever link you strike, T e n t h , or ten thousandth, breaks the chain alike.
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T h e h u m b l e s t , a s well a s t h e g r e a t e s t , p l a y t h e i r p a r t i n p r e s e r v i n g t h e c o n t i n u i t y o f u n i v e r s a l o r d e r ; all o c c u p y t h e i r a p p o i n t e d r o l e s . T h i s b o o k treats a n a r g u m e n t t h a t , t o m a n y p e o p l e ' s s u r p r i s e , s e e m s to be a l a t e c o m e r : b i o l o g i c a l d e t e r m i n i s m , t h e n o t i o n that p e o p l e a t t h e b o t t o m a r e c o n s t r u c t e d o f intrinsically i n f e r i o r m a t e rial ( p o o r b r a i n s , b a d g e n e s , o r w h a t e v e r ) . P l a t o , a s w e h a v e s e e n , c a u t i o u s l y floated this p r o p o s a l in t h e Republic, b u t finally b r a n d e d it as a lie. Racial p r e j u d i c e m a y b e a s o l d a s r e c o r d e d h u m a n h i s t o r y , b u t its b i o l o g i c a l j u s t i f i c a t i o n i m p o s e d t h e a d d i t i o n a l b u r d e n o f i n t r i n sic i n f e r i o r i t y u p o n d e s p i s e d g r o u p s , a n d p r e c l u d e d r e d e m p t i o n b y c o n v e r s i o n o r assimilation. T h e "scientific" a r g u m e n t has f o r m e d a p r i m a r y line o f attack f o r m o r e t h a n a c e n t u r y . I n disc u s s i n g t h e first b i o l o g i c a l t h e o r y s u p p o r t e d b y e x t e n s i v e q u a n t i t a tive d a t a — e a r l y n i n e t e e n t h - c e n t u r y c r a n i o m e t r y — I m u s t b e g i n b y p o s i n g a q u e s t i o n o f causality: d i d t h e i n t r o d u c t i o n o f i n d u c t i v e science a d d legitimate data to c h a n g e or strengthen a nascent argum e n t f o r racial r a n k i n g ? O r d i d a p r i o r i c o m m i t m e n t t o r a n k i n g f a s h i o n t h e "scientific" q u e s t i o n s a s k e d a n d e v e n t h e d a t a g a t h e r e d to s u p p o r t a f o r e o r d a i n e d c o n c l u s i o n ?
A shared context of culture I n assessing the i m p a c t o f s c i e n c e u p o n e i g h t e e n t h - a n d n i n e t e e n t h - c e n t u r y v i e w s o f r a c e , w e m u s t first r e c o g n i z e the c u l t u r a l m i l i e u o f a society w h o s e l e a d e r s a n d intellectuals d i d n o t d o u b t t h e p r o p r i e t y o f racial r a n k i n g — w i t h I n d i a n s b e l o w w h i t e s , a n d b l a c k s b e l o w e v e r y b o d y else (Fig. 2.1). U n d e r this u n i v e r s a l u m b r e l l a , a r g u m e n t s d i d n o t c o n t r a s t e q u a l i t y with i n e q u a l i t y . O n e g r o u p ) — w e m i g h t call t h e m " h a r d - l i n e r s " — h e l d that b l a c k s w e r e i n f e r i o r a n d that t h e i r b i o l o g i c a l status j u s t i f i e d e n s l a v e m e n t a n d colonization. A n o t h e r g r o u p — t h e "soft-liners," if y o u w i l l — a g r e e d that blacks w e r e i n f e r i o r , b u t h e l d that a p e o p l e ' s r i g h t t o f r e e d o m d i d n o t d e p e n d u p o n their level o f i n t e l l i g e n c e . " W h a t e v e r b e t h e i r d e g r e e o f t a l e n t s , " w r o t e T h o m a s J e f f e r s o n , "it i s n o m e a s u r e o f their rights." Soft-liners h e l d v a r i o u s a t t i t u d e s a b o u t t h e n a t u r e o f black disa d v a n t a g e . S o m e a r g u e d that p r o p e r e d u c a t i o n a n d s t a n d a r d o f life c o u l d " r a i s e " blacks to a w h i t e l e v e l ; o t h e r s a d v o c a t e d p e r m a -
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n e n t black i n e p t i t u d e . T h e y also d i s a g r e e d a b o u t t h e biological o r c u l t u r a l r o o t s o f black i n f e r i o r i t y . Y e t , t h r o u g h o u t the e g a l i t a r i a n tradition of the E u r o p e a n Enlightenment and the A m e r i c a n revolution, I c a n n o t identify a n y p o p u l a r position r e m o t e l y like t h e " c u l tural r e l a t i v i s m " that p r e v a i l s (at least by lip-service) in liberal circles t o d a y . T h e n e a r e s t a p p r o a c h i s a c o m m o n a r g u m e n t that black i n f e riority is p u r e l y c u l t u r a l a n d that it c a n be c o m p l e t e l y e r a d i c a t e d by e d u c a t i o n to a C a u c a s i a n s t a n d a r d . A l l A m e r i c a n c u l t u r e h e r o e s e m b r a c e d racial a t t i t u d e s that would embarrass public-school mythmakers. Benjamin Franklin, w h i l e v i e w i n g t h e i n f e r i o r i t y o f blacks a s p u r e l y c u l t u r a l a n d c o m pletely r e m e d i a b l e , n o n e t h e l e s s e x p r e s s e d his h o p e that A m e r i c a w o u l d b e c o m e a d o m a i n o f w h i t e s , u n d i l u t e d b y less p l e a s i n g c o l o r s . I could wish their numbers were increased. A n d while we are, as I may call it, scouring our planet, by clearing America of woods, and so making this side of our globe reflect a brighter light to the eyes of inhabitants in Mars or V e n u s , why should we . . . darken its people? Why increase the Sons of Africa, by planting them in America, where we have so fair an opportunity, by excluding all blacks and tawneys, of increasing the lovely white and red?* (Observations Concerning the Increase of Mankind, 1751). O t h e r s a m o n g o u r h e r o e s a r g u e d f o r biological inferiority. T h o m a s J e f f e r s o n w r o t e , albeit tentatively: " I a d v a n c e it, t h e r e f o r e , as a s u s p i c i o n o n l y , that t h e b l a c k s , w h e t h e r o r i g i n a l l y a distinct r a c e , o r m a d e distinct b y t i m e a n d c i r c u m s t a n c e , a r e i n f e r i o r t o the whites i n t h e e n d o w m e n t b o t h o f b o d y a n d m i n d " (in Gossett, 1 9 6 5 , p . 44). L i n c o l n ' s p l e a s u r e a t t h e p e r f o r m a n c e o f black soldiers i n the U n i o n a r m y g r e a t l y i n c r e a s e d his r e s p e c t f o r f r e e d m e n a n d f o r m e r slaves. B u t f r e e d o m does not imply biological equality, a n d Lincoln n e v e r * I have been struck by the frequency of such aesthetic claims as a basis of racial preference. Although J. F. Blumenbach, the founder of anthropology, had stated that toads must view other toads as paragons of beauty, many astute intellectuals never doubted the equation of whiteness with perfection. Franklin at least had the decency to include the original inhabitants in his future America; but, a century later, Oliver Wendell Holmes rejoiced in the elimination of Indians on aesthetic grounds: ". . . and so the red-crayon sketch is rubbed out, and the canvas is ready for a picture of manhood a little more like God's own image" (in Gossett, 1965, p. 243).
Greek Apollo Belvidere
2*1 T h e unilinear scale of h u m a n races and lower relatives according to Nott and Gliddon, 1868. T h e chimpanzee skull is falsely inflated, and the N e g r o jaw e x t e n d e d , to give the impression that blacks might even rank lower than the apes.
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a b a n d o n e d a basic a t t i t u d e , so s t r o n g l y e x p r e s s e d in t h e D o u g l a s debates (1858): T h e r e is a physical difference between the white and black races which I believe will forever forbid the two races living together on terms of social and political equality. A n d inasmuch as they cannot so live, while they do remain together there must be the position of superior and inferior, and I as m u c h as any other man am in favor of having the superior position assigned to the white race. Lest w e c h o o s e t o r e g a r d this s t a t e m e n t a s m e r e c a m p a i g n r h e t o r i c , I cite this p r i v a t e j o t t i n g , s c r i b b l e d on a f r a g m e n t of p a p e r in 1 8 5 9 : N e g r o equality! Fudge! H o w long, in the G o v e r n m e n t of a God great e n o u g h to make and rule the universe, shall there continue knaves to vend, and fools to quip, so low a piece of d e m a g o g i s m as this (in Sinkler, 1972, P- 47)I do n o t cite these s t a t e m e n t s in o r d e r to r e l e a s e s k e l e t o n s f r o m a n c i e n t closets. R a t h e r , I q u o t e t h e m e n w h o h a v e j u s t l y e a r n e d o u r h i g h e s t r e s p e c t i n o r d e r t o s h o w that w h i t e l e a d e r s o f W e s t e r n n a t i o n s d i d n o t q u e s t i o n t h e p r o p r i e t y o f racial r a n k i n g d u r i n g the e i g h t e e n t h a n d n i n e t e e n t h c e n t u r i e s . I n this c o n t e x t , t h e p e r v a s i v e assent g i v e n b y scientists t o c o n v e n t i o n a l r a n k i n g s a r o s e f r o m s h a r e d social belief, n o t f r o m objective d a t a g a t h e r e d t o test a n o p e n q u e s t i o n . Y e t , i n a c u r i o u s case o f r e v e r s e d causality, these p r o n o u n c e m e n t s w e r e r e a d a s i n d e p e n d e n t s u p p o r t f o r t h e political context. A l l l e a d i n g scientists f o l l o w e d social c o n v e n t i o n s (Figs. 2.2 a n d 2.3). I n t h e f i r s t f o r m a l d e f i n i t i o n o f h u m a n races i n m o d e r n t a x o n o m i c t e r m s , L i n n a e u s m i x e d c h a r a c t e r w i t h a n a t o m y (Systema naturae, 1 7 5 8 ) . Homo sapiens afer (the A f r i c a n b l a c k ) , he p r o c l a i m e d , is " r u l e d by c a p r i c e " ; Homo sapiens europaeus is " r u l e d by c u s t o m s . " Of A f r i c a n w o m e n , he w r o t e : mammae lactantes prolixae—breasts lactate profusely. T h e men, he a d d e d , are indolent and annoint themselves with g r e a s e . T h e t h r e e g r e a t e s t naturalists o f the n i n e t e e n t h c e n t u r y d i d n o t h o l d blacks i n h i g h e s t e e m . G e o r g e s C u v i e r , w i d e l y h a i l e d i n F r a n c e a s the A r i s t o t l e o f his a g e , a n d a f o u n d e r o f g e o l o g y , p a l e o n t o l o g y , a n d m o d e r n c o m p a r a t i v e a n a t o m y , r e f e r r e d t o native A f r i c a n s a s
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Gorilla
2»2 An unsubtle attempt to suggest strong affinity between blacks and gorillas. From Nott and Gliddon, Types of Mankind, 1854. Nott and Glidd o n c o m m e n t on this figure: "The palpable analogies and dissimilitudes between an inferior type of mankind and a superior type of monkey require no comment."
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" t h e m o s t d e g r a d e d o f h u m a n races, w h o s e f o r m a p p r o a c h e s that o f t h e beast a n d w h o s e i n t e l l i g e n c e i s n o w h e r e g r e a t e n o u g h t o a r r i v e a t r e g u l a r g o v e r n m e n t " ( C u v i e r , 1 8 1 2 , p . 105). C h a r l e s L y e l l , the c o n v e n t i o n a l f o u n d e r o f m o d e r n g e o l o g y , w r o t e : T h e brain of the B u s h m a n . . . leads towards the brain of the Simiadae [monkeys]. This implies a c o n n e x i o n between want of intelligence and structural assimilation. Each race of Man has its place, like the inferior animals (in Wilson, 1970, p. 347). C h a r l e s D a r w i n , t h e k i n d l y liberal a n d p a s s i o n a t e abolitionist,* wrote about a future time w h e n the g a p between h u m a n and a p e will i n c r e a s e b y the a n t i c i p a t e d e x t i n c t i o n o f s u c h i n t e r m e d i a t e s a s chimpanzees and Hottentots. T h e break will then be rendered wider, for it will intervene between man in a more civilized state, as we may hope, than the Causasian, and some ape as low as a babon, instead of as at preent between the negro or Australian and the gorilla [Descent of Man, 1871, p. 201). E v e n m o r e i n s t r u c t i v e a r e t h e beliefs o f t h o s e few scientists o f t e n cited i n r e t r o s p e c t a s c u l t u r a l relativisits a n d d e f e n d e r s o f equality. J . F . B l u m e n b a c h a t t r i b u t e d racial d i f f e r e n c e s t o t h e i n f l u e n c e s o f climate. H e p r o t e s t e d r a n k i n g s b a s e d o n p r e s u m e d m e n t a l ability a n d a s s e m b l e d a c o l l e c t i o n of b o o k s w r i t t e n by blacks. N o n e t h e l e s s , h e d i d n o t d o u b t that w h i t e p e o p l e set a s t a n d a r d , f r o m w h i c h all o t h e r races m u s t be v i e w e d as d e p a r t u r e s (see essay 4 at e n d of b o o k for m o r e information about B l u m e n b a c h ) : T h e Caucasian must, on every physiological principle, be considered as the primary or intermediate of these five principal Races. T h e two extremes into which it has deviated, are on the o n e hand the Mongolian, on the other the Ethiopian [African blacks] (1825, P- 37)* Darwin wrote, for example, in the Voyage of the Beagle: "Near Rio de Janeiro I lived opposite to an old lady, who kept screws to crush the fingers of her female slaves. I have stayed in a house where a young household mulatto, daily and hourly, was reviled, beaten, and persecuted enough to break the spirit of the lowest animal. I have seen a little boy, six or seven years old, struck thrice with a horse-whip (before I could interfere) opn his naked head, for having handed me a glass of water not quite clean. . . . And these deeds are done and palliated by men, who profess to love their neighbors as themselves, who believe in God, and pray that his Will be done on earth! It makes one's blood boil, yet heart tremble, to think that we Englishmen and our American descendants, with their boastful cry of liberty, have been and are so guilty."
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A l e x a n d e r von H u m b o l d t , world traveler, statesman, and greatest p o p u l a r i z e r o f n i n e t e e n t h - c e n t u r y s c i e n c e , w o u l d b e t h e h e r o o f all m o d e r n e g a l i t a r i a n s w h o seek a n t e c e d e n t s i n history. H e , m o r e t h a n a n y o t h e r scientist o f his t i m e , a r g u e d f o r c e f u l l y a n d a t l e n g t h a g a i n s t r a n k i n g o n m e n t a l o r aesthetic g r o u n d s . H e also d r e w political i m p l i c a t i o n s f r o m his c o n v i c t i o n s , a n d c a m p a i g n e d against all f o r m s o f slavery a n d s u b j u g a t i o n a s i m p e d i m e n t s t o t h e n a t u r a l s t r i v i n g o f all p e o p l e t o attain m e n t a l e x c e l l e n c e . H e w r o t e i n t h e m o s t f a m o u s p a s s a g e of his five-volume Cosmos: Whilst we maintain the unity of the h u m a n species, we at the same time repel the depressing assumption of superior and inferior races of m e n . T h e r e are nations more susceptible of cultivation than others—but n o n e in themselves nobler than others. All are in like d e g r e e designed for freedom (1849, p. 368). Y e t even H u m b o l d t invoked innate mental difference to resolve s o m e d i l e m m a s o f h u m a n history. W h y , h e asks i n t h e s e c o n d volu m e o f Cosmos, d i d the A r a b s e x p l o d e i n c u l t u r e a n d science s o o n a f t e r t h e rise o f I s l a m , w h i l e S c y t h i a n tribes o f s o u t h e a s t e r n E u r o p e stuck t o their a n c i e n t w a y s ; f o r b o t h p e o p l e s w e r e n o m a d i c a n d shared a c o m m o n climate and environment? H u m b o l d t did find some cultural d i f f e r e n c e s — g r e a t e r contact of A r a b s with surr o u n d i n g u r b a n i z e d c u l t u r e s , f o r e x a m p l e . B u t , i n t h e e n d , h e lab e l e d A r a b s a s a " m o r e h i g h l y g i f t e d r a c e " with g r e a t e r " n a t u r a l a d a p t a b i l i t y f o r m e n t a l c u l t i v a t i o n " ( 1 8 4 9 , P- 57^)A l f r e d Russel W a l l a c e , c o d i s c o v e r e r o f n a t u r a l selection with D a r w i n , i s j u s t l y h a i l e d a s a n antiracist. I n d e e d , h e d i d affirm n e a r equality i n t h e i n n a t e m e n t a l c a p a c i t y o f all p e o p l e s . Y e t , c u r i o u s l y , this v e r y b e l i e f led h i m t o a b a n d o n n a t u r a l selection a n d r e t u r n t o divine creation as an explanation for the h u m a n m i n d — m u c h to D a r w i n ' s d i s g u s t . N a t u r a l selection, W a l l a c e a r g u e d , c a n o n l y b u i l d structures immediately useful to animals possessing them. T h e b r a i n o f s a v a g e s is, p o t e n t i a l l y , a s g o o d a s o u r s . B u t t h e y d o n o t use i t fully, a s t h e r u d e n e s s a n d i n f e r i o r i t y o f t h e i r c u l t u r e indicates. S i n c e m o d e r n s a v a g e s a r e m u c h like h u m a n a n c e s t o r s , o u r b r a i n m u s t h a v e d e v e l o p e d its h i g h e r c a p a c i t i e s l o n g b e f o r e w e p u t t h e m to a n y use.
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Preevolutionary styles of scientific racism: monogenism and polygenism P r e e v o l u t i o n a r y j u s t i f i c a t i o n s f o r racial r a n k i n g p r o c e e d e d i n two modes. T h e "softer" a r g u m e n t — a g a i n using inappropriate definitions f r o m m o d e r n p e r s p e c t i v e s — u p h e l d t h e s c r i p t u r a l u n i t y o f all p e o p l e s i n the single c r e a t i o n o f A d a m a n d E v e . T h i s v i e w was called monogenism—or o r i g i n f r o m a single s o u r c e . H u m a n races are a p r o d u c t o f d e g e n e r a t i o n f r o m E d e n ' s p e r f e c t i o n . R a c e s h a v e d e c l i n e d t o d i f f e r e n t d e g r e e s , whites least a n d blacks most. C l i m a t e p r o v e d most p o p u l a r as a p r i m a r y c a u s e f o r racial distinction. D e g e n e r a t i o n i s t s d i f f e r e d o n t h e r e m e d i a b i l i t y o f m o d e r n deficits. S o m e h e l d that t h e d i f f e r e n c e s , t h o u g h d e v e l o p e d g r a d u a l l y u n d e r the i n f l u e n c e o f c l i m a t e , w e r e n o w f i x e d a n d c o u l d n e v e r b e rev e r s e d . O t h e r s a r g u e d that the fact o f g r a d u a l d e v e l o p m e n t i m p l i e d reversibility i n a p p r o p r i a t e e n v i r o n m e n t s . S a m u e l S t a n h o p e S m i t h , p r e s i d e n t o f t h e C o l l e g e o f N e w J e r s e y (later P r i n c e t o n ) , h o p e d that A m e r i c a n blacks, in a climate m o r e suited to Caucasian temperam e n t s , w o u l d s o o n t u r n w h i t e . B u t o t h e r d e g e n e r a t i o n i s t s felt that i m p r o v e m e n t in benevolent climes could not proceed rapidly e n o u g h t o h a v e a n y i m p a c t u p o n h u m a n history. T h e " h a r d e r " a r g u m e n t a b a n d o n e d scripture as allegorical and h e l d that h u m a n races w e r e s e p a r a t e b i o l o g i c a l species, the d e s c e n d a n t s o f d i f f e r e n t A d a m s . A s a n o t h e r f o r m o f life, blacks n e e d n o t p a r t i c i p a t e i n t h e " e q u a l i t y o f m a n . " P r o p o n e n t s o f this a r g u m e n t w e r e called " p o l y g e n i s t s . " Degenerationism was probably the m o r e p o p u l a r a r g u m e n t , if o n l y b e c a u s e s c r i p t u r e w a s n o t t o b e d i s c a r d e d lightly. M o r e o v e r , t h e interfertility o f all h u m a n races s e e m e d t o g u a r a n t e e their u n i o n as a single species u n d e r B u f f o n ' s c r i t e r i o n that m e m b e r s of a species b e a b l e t o b r e e d w i t h e a c h o t h e r , b u t n o t w i t h r e p r e s e n t a t i v e s o f a n y o t h e r g r o u p . B u f f o n himself, the g r e a t e s t naturalist o f e i g h t e e n t h - c e n t u r y F r a n c e , w a s a s t r o n g abolitionist a n d e x p o n e n t o f i m p r o v e m e n t for inferior races in appropriate environments. B u t h e n e v e r d o u b t e d t h e i n h e r e n t validity o f a w h i t e s t a n d a r d : T h e most temperate climate lies between the 40th and 50th d e g r e e of latitude, and it produces the most h a n d s o m e and beautiful men. It is from this climate that the ideas of the g e n u i n e color of mankind, and of the various degrees of beauty o u g h t to be derived.
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S o m e d e g e n e r a t i o n i s t s cited t h e i r c o m m i t m e n t s i n the n a m e o f h u m a n brotherhood. Etienne Serres, a famous French medical a n a t o m i s t , w r o t e i n i 8 6 0 that t h e perfectability o f l o w e r r a c e s disting u i s h e d h u m a n s a s t h e o n l y species subject t o i m p r o v e m e n t b y its o w n e f f o r t s . H e l a m b a s t e d p o l y g e n y a s a " s a v a g e t h e o r y " that " s e e m s t o l e n d scientific s u p p o r t t o t h e e n s l a v e m e n t o f races less a d v a n c e d in civilization t h a n t h e C a u c a s i a n " : T h e i r conclusion is that the N e g r o is no more a white man than a donkey is a horse or a zebra—a theory put into practice in the United States of America, to the shame of civilization (i860, pp. 407-408). N o n e t h e l e s s , S e r r e s w o r k e d t o d o c u m e n t the signs o f i n f e r i o r i t y a m o n g l o w e r r a c e s . A s a n a n a t o m i s t , h e s o u g h t e v i d e n c e within his specialty a n d c o n f e s s e d t o s o m e difficulty i n e s t a b l i s h i n g b o t h criteria a n d d a t a . H e settled o n t h e t h e o r y o f r e c a p i t u l a t i o n — t h e i d e a that h i g h e r c r e a t u r e s r e p e a t t h e a d u l t stages o f l o w e r a n i m a l s d u r i n g t h e i r o w n g r o w t h ( C h a p t e r 4). A d u l t blacks, h e a r g u e d , s h o u l d b e like w h i t e c h i l d r e n , a d u l t M o n g o l i a n s like w h i t e a d o l e s c e n t s . H e s e a r c h e d d i l i g e n t l y b u t d e v i s e d n o t h i n g m u c h b e t t e r t h a n t h e dist a n c e b e t w e e n n a v e l a n d p e n i s — " t h a t i n e f f a c e a b l e sign o f e m b r y o n i c life in m a n . " T h i s d i s t a n c e is small relative to b o d y h e i g h t in babies o f all races. T h e n a v e l m i g r a t e s u p w a r d d u r i n g g r o w t h , b u t attains g r e a t e r h e i g h t s i n whites t h a n i n y e l l o w s , a n d n e v e r gets v e r y f a r a t all i n blacks. B l a c k s r e m a i n p e r p e t u a l l y like w h i t e c h i l d r e n a n d a n n o u n c e their inferiority thereby. P o l y g e n y , t h o u g h less p o p u l a r , h a d its illustrious s u p p o r t e r s as well. D a v i d H u m e d i d n o t s p e n d his life a b s o r b e d i n p u r e t h o u g h t . H e h e l d a n u m b e r o f political posts, i n c l u d i n g the s t e w a r d s h i p o f t h e E n g l i s h c o l o n i a l office i n 1 7 6 6 . H u m e a d v o c a t e d b o t h t h e s e p a r a t e c r e a t i o n a n d i n n a t e i n f e r i o r i t y o f n o n w h i t e races: I am apt to suspect the negroes and in general all the other species of m e n (for there are four or five different kinds) to be naturally inferior to the whites. T h e r e never was a civilized nation of any other complexion than white, nor even any individual e m i n e n t either in action or speculation.* No ingenious manufacturers amongst them, no arts, no sciences. . . . Such a *This "inductive" argument from human cultures is far from dead as a defense of racism. In his Study of History (1934 edition), Arnold Toynbee wrote: "When we classify mankind by color, the only one of the primary races, given by this classification, which has not made a creative contribution to any of our twenty-one civilizations is the Black Race" (in Newby, 1969, p. 217).
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uniform and constant difference could not h a p p e n in so many countries and ages, if nature had not made an original distinction betwixt these breeds of m e n . Not to mention our colonies, there are negroe slaves dispersed all over Europe, of which n o n e ever discovered any symptoms of ingenuity, tho' low people without education will start up amongst us, and distinguish themselves in every profession. In Jamaica indeed they talk of one negroe as a man of parts and learning; but 'tis likely he is admired for very slender accomplishments like a parrot w h o speaks a few words plainly (in Popkin, 1974, p. 143; see Popkin's excellent article for a long analysis of H u m e as a polygenist). C h a r l e s W h i t e , a n E n g l i s h s u r g e o n , w r o t e the s t r o n g e s t d e f e n s e of p o l y g e n y in 1799—Account of the Regular Gradation in Man. W h i t e a b a n d o n e d B u f f o n ' s c r i t e r i o n o f interfertility i n d e f i n i n g species, p o i n t i n g t o successful h y b r i d s b e t w e e n s u c h c o n v e n t i o n a l l y s e p a r a t e g r o u p s a s f o x e s , w o l v e s , a n d j a c k a l s . * H e railed a g a i n s t t h e idea that c l i m a t e m i g h t p r o d u c e racial d i f f e r e n c e s , a r g u i n g that s u c h ideas might lead, by extension, to the " d e g r a d i n g notion" of evolution b e t w e e n species. H e d i s c l a i m e d a n y political m o t i v a t i o n a n d a n n o u n c e d an u n t a i n t e d p u r p o s e : " t o investigate a p r o p o s i t i o n in natural history." H e explicitly r e j e c t e d a n y e x t e n s i o n o f p o l y g e n y t o " c o u n t e n a n c e the p e r n i c i o u s p r a c t i c e o f e n s l a v i n g m a n k i n d . " W h i t e ' s criteria o f r a n k i n g t e n d e d t o w a r d t h e aesthetic, a n d his arg u m e n t i n c l u d e d t h e f o l l o w i n g g e m , o f t e n q u o t e d . W h e r e else b u t a m o n g Caucasians, he argued, can we find . . . that nobly arched head, containing such a quantity of brain. . . . Where that variety of features, and fulness of expression; those long, flow* Modern evolutionary theory does invoke a barrier to interfertility as the primary criterion for status as a species. In the standard definition: "Species are actually or potentially interbreeding populations sharing a common gene pool, and reproductively isolated from all other groups." Reproductive isolation, however, does not mean that individual hybrids never arise, but only that the two species maintain their integrity in natural contact. Hybrids may be sterile (mules). Fertile hybrids may even arise quite frequently, but if natural selection acts preferentially against them (as a result of inferiority in structural design, rejection as mates by full members of either species, etc.) they will not increase in frequency and the two species will not amalgamate. Often fertile hybrids can be produced in the laboratory by imposing situations not encountered in nature (forced breeding between species that normally mature at different times of the year, for example). Such examples do not refute a status as separate species because the two groups do not amalgamate in the wild (maturation at different times of the year may be an efficient means of reproductive isolation).
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ing, graceful ring-lets; that majestic beard, those rosy cheeks and coral lips? Where t h a t . . . noble gait? In what other quarter of the globe shall we find the blush that overspreads the soft features of the beautiful w o m e n of Europe, that e m b l e m of modesty, of delicate feelings . . . where, except on the bosom of the European w o m a n , two such p l u m p and snowy white hemispheres, tipt with vermillion (in Stanton, i960, p. 17).
Louis Agassiz—America's theorist of polygeny R a l p h W a l d o E m e r s o n a r g u e d that intellectual e m a n c i p a t i o n s h o u l d f o l l o w political i n d e p e n d e n c e . A m e r i c a n scholars s h o u l d a b a n d o n t h e i r s u b s e r v i e n c e t o E u r o p e a n styles a n d t h e o r i e s . W e h a v e , E m e r s o n w r o t e , " l i s t e n e d t o o l o n g t o the c o u r t l y m u s e s o f E u r o p e . " " W e will w a l k o n o u r o w n f e e t ; w e will w o r k with o u r o w n h a n d s ; w e will s p e a k o u r o w n m i n d s " (in S t a n t o n , i g 6 o , p . 84). In the early to mid-nineteenth century, the b u d d i n g profession o f A m e r i c a n science o r g a n i z e d itself t o f o l l o w E m e r s o n ' s a d v i c e . A collection o f eclectic a m a t e u r s , b o w i n g b e f o r e the p r e s t i g e o f E u r o p e a n theorists, b e c a m e a g r o u p o f p r o f e s s i o n a l s with i n d i g e n o u s ideas a n d a n i n t e r n a l d y n a m i c that d i d n o t r e q u i r e c o n s t a n t f u e l i n g f r o m E u r o p e . T h e doctrine of polygeny acted as an important agent i n this t r a n s f o r m a t i o n ; f o r i t w a s o n e o f t h e f i r s t t h e o r i e s o f l a r g e l y A m e r i c a n o r i g i n that w o n t h e a t t e n t i o n a n d r e s p e c t o f E u r o p e a n s c i e n t i s t s — s o m u c h s o that E u r o p e a n s r e f e r r e d t o p o l y g e n y a s t h e " A m e r i c a n school" of anthropology. Polygeny had E u r o p e a n antec e d e n t s , a s w e h a v e s e e n , b u t A m e r i c a n s d e v e l o p e d t h e d a t a cited i n its s u p p o r t a n d b a s e d a l a r g e b o d y of r e s e a r c h on its t e n e t s . I shall concentrate on the two most famous advocates of p o l y g e n y — A g a s siz t h e t h e o r i s t a n d M o r t o n t h e d a t a analyst; a n d I shall try to u n cover both the hidden motives and the finagling of data so central to t h e i r s u p p o r t . * F o r starters, it is o b v i o u s l y n o t a c c i d e n t a l that a n a t i o n still p r a c t i c i n g slavery a n d e x p e l l i n g its a b o r i g i n a l i n h a b i t a n t s f r o m t h e i r h o m e l a n d s s h o u l d h a v e p r o v i d e d a base f o r t h e o r i e s that blacks a n d I n d i a n s a r e s e p a r a t e species, i n f e r i o r t o whites. L o u i s A g a s s i z ( 1 8 0 7 — 1 8 7 3 ) , t h e g r e a t Swiss naturalist, w o n his r e p u t a t i o n i n E u r o p e , p r i m a r i l y a s C u v i e r ' s disciple a n d a s t u d e n t o f * An excellent history of the entire "American school" can be found in W. Stanton's The Leopard's Spots.
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fossil fishes. H i s i m m i g r a t i o n t o A m e r i c a i n t h e 1840s i m m e d i a t e l y e l e v a t e d t h e status o f A m e r i c a n n a t u r a l history. F o r the f i r s t t i m e , a major E u r o p e a n theorist had f o u n d e n o u g h of value in the United States to c o m e a n d stay. A g a s s i z b e c a m e a p r o f e s s o r at H a r v a r d , w h e r e he f o u n d e d a n d directed the M u s e u m of C o m p a r a t i v e Zoolo g y until his d e a t h i n 1 8 7 3 ( I o c c u p y a n office i n t h e o r i g i n a l w i n g of his b u i l d i n g ) . A g a s s i z was a c h a r m e r ; he was l i o n i z e d in social a n d intellectual circles f r o m B o s t o n t o C h a r l e s t o w n . H e s p o k e f o r science w i t h b o u n d l e s s e n t h u s i a s m a n d r a i s e d m o n e y with e q u a l zeal t o s u p p o r t his b u i l d i n g s , collections, a n d p u b l i c a t i o n s . N o m a n d i d m o r e t o establish a n d e n h a n c e t h e p r e s t i g e o f A m e r i c a n b i o l o g y d u r i n g the nineteenth century. A g a s s i z also b e c a m e t h e l e a d i n g s p o k e s m a n f o r p o l y g e n y i n A m e r i c a . H e d i d n o t b r i n g this t h e o r y w i t h h i m f r o m E u r o p e . H e c o n v e r t e d t o t h e d o c t r i n e o f h u m a n r a c e s a s s e p a r a t e species a f t e r his f i r s t e x p e r i e n c e s w i t h A m e r i c a n blacks. A g a s s i z d i d n o t e m b r a c e p o l y g e n y a s a c o n s c i o u s political d o c t r i n e . H e n e v e r d o u b t e d the p r o p r i e t y o f racial r a n k i n g , b u t h e d i d c o u n t h i m s e l f a m o n g t h e o p p o n e n t s o f slavery. His a d h e r e n c e t o p o l y g e n y f l o w e d easily f r o m p r o c e d u r e s o f b i o l o g i c a l r e s e a r c h that h e h a d d e v e l o p e d i n o t h e r a n d e a r l i e r c o n t e x t s . H e was, f i r s t o f all, a d e v o u t c r e a t i o n i s t w h o lived l o n g e n o u g h t o b e c o m e the o n l y m a j o r scientific o p p o n e n t o f e v o l u t i o n . B u t n e a r l y all scientists w e r e c r e ationists b e f o r e 1 8 5 9 , a n d m o s t d i d n o t b e c o m e p o l y g e n i s t s (racial d i f f e r e n t i a t i o n w i t h i n a single species p o s e d no t h r e a t to t h e d o c t r i n e o f special c r e a t i o n — j u s t c o n s i d e r b r e e d s o f d o g s a n d cattle). A g a s s i z ' s p r e d i s p o s i t i o n t o p o l y g e n y a r o s e p r i m a r i l y f r o m t w o asp e c t s o f his p e r s o n a l t h e o r i e s a n d m e t h o d s : 1. I n s t u d y i n g t h e g e o g r a p h i c d i s t r i b u t i o n o f a n i m a l s a n d p l a n t s , Agassiz developed a theory about "centers of creation." He believed t h a t species w e r e c r a t e d i n t h e i r p r o p e r p l a c e s a n d d i d n o t g e n e r a l l y migrate far f r o m these centers. O t h e r b i o g e o g r a p h e r s invoked crea t i o n in a s i n g l e s p o t w i t h e x t e n s i v e m i g r a t i o n t h e r e a f t e r . T h u s , w h e n A g a s s i z s t u d i e d w h a t w e w o u l d n o w r e g a r d a s a single w i d e s p r e a d s p e c i e s , d i v i d e d into fairly distinct g e o g r a p h i c a l r a c e s , h e t e n d e d t o n a m e s e v e r a l s e p a r a t e s p e c i e s , e a c h c r e a t e d a t its c e n t e r of o r i g i n . Homo sapiens is a p r i m a r y e x a m p l e of a c o s m o p o l i t a n , variable species.
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2. A g a s s i z w a s an e x t r e m e splitter in his t a x c n o . n i c practice. T a x o n o m i s t s t e n d t o fall i n t o t w o c a m p s — " l u m p e r s , " w h o c o n c e n trate o n similarities a n d a m a l g a m a t e g r o u p s with small d i f f e r e n c e s into single s p e c i e s , a n d " s p l i t t e r s , " w h o f o c u s o n m i n u t e distinctions a n d establish species o n t h e smallest peculiarities o f d e s i g n . A g a s s i z was a splitter a m o n g splitters. H e o n c e n a m e d t h r e e g e n e r a o f fossil fishes f r o m isolated t e e t h that a later p a l e o n t o l o g i s t f o u n d in t h e v a r i a b l e d e n t i t i o n o f a single i n d i v i d u a l . H e n a m e d invalid species of freshwater fishes by the h u n d r e d s , basing them u p o n peculiar i n d i v i d u a l s w i t h i n single, v a r i a b l e species. A n e x t r e m e splitter w h o v i e w e d o r g a n i s m s a s c r e a t e d o v e r their e n t i r e r a n g e m i g h t well b e t e m p t e d t o r e g a r d h u m a n races a s s e p a r a t e c r e a t i o n s . N o n e t h e l e s s , before c o m i n g to A m e r i c a , Agassiz advocated the doctrine of human u n i t y — e v e n t h o u g h he viewed o u r variation as exceptional. He w r o t e in 1 8 4 5 : H e r e is revealed anew the superiority of the h u m a n genre and its greater i n d e p e n d e n c e in nature. Whereas the animals are distinct species in the different zoological provinces to which they appertain, man, despite the diversity of his races, constitutes o n e and the same species over all the surface of the globe (in Stanton, i960, p. 101). Agassiz may have b e e n predisposed to p o l y g e n y by biological belief, b u t I d o u b t that this p i o u s m a n w o u l d h a v e a b a n d o n e d t h e Biblical o r t h o d o x y o f a single A d a m i f h e h a d n o t b e e n c o n f r o n t e d b o t h b y the sight o f A m e r i c a n blacks a n d t h e u r g i n g s o f his p o l y g e nist c o l l e a g u e s . A g a s s i z n e v e r g e n e r a t e d a n y d a t a f o r p o l y g e n y . His c o n v e r s i o n f o l l o w e d a n i m m e d i a t e visceral j u d g m e n t a n d s o m e p e r sistent p e r s u a s i o n b y f r i e n d s . H i s later s u p p o r t r e s t e d o n n o t h i n g d e e p e r in the realm of biological k n o w l e d g e . A g a s s i z h a d n e v e r s e e n a black p e r s o n i n E u r o p e . W h e n h e f i r s t m e t blacks as s e r v a n t s at his P h i l a d e l p h i a h o t e l in 1 8 4 6 , he e x p e r i e n c e d a p r o n o u n c e d visceral r e v u l s i o n . T h i s j a r r i n g e x p e r i e n c e , c o u p l e d with his s e x u a l fears a b o u t m i s c e g e n a t i o n , a p p a r e n t l y established his c o n v i c t i o n that blacks a r e a s e p a r a t e s p e c i e s . In a rem a r k a b l y c a n d i d p a s s a g e , h e w r o t e t o his m o t h e r f r o m A m e r i c a : It was in Philadelphia that I first f o u n d myself in prolonged contact with negroes; all the domestics in my hotel were m e n of color. I can scarcely express to you the painful impression that I received, especially since the
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feeling that they inspired in me is contrary to all our ideas about the confraternity of the h u m a n type [genre] and the unique origin of our species. But truth before all. Nevertheless, I experienced pity at the sight of this degraded and degenerate race, and their lot inspired compassion in me in thinking that they are really men. Nonetheless, it is impossible for me to reprocess the feeling that they are not of the same blood as us. In seeing their black faces with their thick lips and grimacing teeth, the wool on their head, their bent knees, their elongated hands, their large curved nails, and especially the livid color of the palm of their hands, I could not take my eyes off their face in order to tell them to stay far away. A n d w h e n they advanced that hideous hand towards my plate in order to serve me, I wished I were able to depart in order to eat a piece of bread elsewhere, rather than dine with such service. What unhappiness for the white race—to have tied their existence so closely with that of negroes in certain countries! God preserve us from such a contact! (Agassiz to his mother, December 1846.) ( T h e standard Life and Letters, compiled by Agassiz's wife, omits these lines in presenting an expurgated version of this famous letter. Other historians have paraphrased them or passed t h e m by. I recovered this passage from the original manuscript in Harvard's H o u g h t o n Library and have translated it, verbatim, for the first time so far as I know.) Agassiz p u b l i s h e d his major s t a t e m e n t on h u m a n races in the Christian Examiner f o r 1 8 5 0 . H e b e g i n s b y d i s m i s s i n g a s d e m a g o g u e s b o t h t h e d i v i n e s w h o w o u l d o u t l a w h i m a s a n infidel (for p r e a c h i n g the doctrine o f multiple A d a m s ) a n d the abolitionists w h o w o u l d b r a n d h i m as a d e f e n d e r of slavery: It has been charged u p o n the views here advanced that they tend to the support of slavery. . . . Is that a fair objection to a philosophical investigation? Here we have to do only with the question of the origin of m e n ; let the politicians, let those w h o feel themselves called u p o n to regulate h u m a n society, see what they can do with the results. . . . We disclaim, however, all connection with any question involving political matters. It is simply with reference to the possibility of appreciating the differences existing between different m e n , and of eventually determining whether they have originated all over the world, and under what circumstances, that we have here tried to trace s o m e facts respecting the h u m a n races (1850, p. 113). Agassiz t h e n p r e s e n t s his a r g u m e n t : T h e t h e o r y o f p o l y g e n y d o e s n o t c o n s t i t u t e a n attack u p o n t h e s c r i p t u r a l d o c t r i n e o f h u m a n unity. M e n are b o u n d by a c o m m o n structure and sympathy, even
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t h o u g h r a c e s w e r e c r e a t e d a s s e p a r a t e species. T h e Bible d o e s n o t s p e a k a b o u t p a r t s o f t h e w o r l d u n k n o w n t o t h e a n c i e n t s ; t h e tale o f A d a m refers only to the origin of Caucasians. Negroes and Caucasians a r e a s distinct i n t h e m u m m i f i e d r e m a i n s o f E g y p t a s t h e y a r e t o d a y . I f h u m a n races w e r e t h e p r o d u c t o f climatic i n f l u e n c e , t h e n t h e p a s s a g e o f t h r e e t h o u s a n d y e a r s w o u l d h a v e e n g e n d e r e d substantial c h a n g e s ( A g a s s i z h a d n o i n k l i n g o f h u m a n antiquity; h e b e l i e v e d that t h r e e t h o u s a n d y e a r s i n c l u d e d a m a j o r c h u n k o f o u r e n t i r e history). M o d e r n races o c c u p y d e f i n i t e , n o n o v e r l a p p i n g , g e o graphic areas—even though some ranges have been blurred or o b l i t e r a t e d b y m i g r a t i o n . A s physically distinct, t e m p o r a l l y i n v a r i a n t g r o u p s w i t h d i s c r e t e g e o g r a p h i c a l r a n g e s , h u m a n races m e t all A g a s s i z ' s b i o l o g i c a l c r i t e r i a f o r s e p a r a t e species. T h e s e races must have originated . . . i n the same numerical proportions, and over the same area, in which they now occur. . . . T h e y cannot have originated in single individuals, but must have been created in that numeric harmony which is characteristic of each species; m e n must have originated in nations, as the bees have originated in swarms (pp. 128—129). T h e n , a p p r o a c h i n g t h e e n d o f his article, A g a s s i z a b r u p t l y shifts his g r o u n d and announces a moral imperative—even though he had explicitly j u s t i f i e d his i n q u i r y by c a s t i n g it as an objective investigation o f n a t u r a l history. T h e r e are u p o n earth different races of m e n , inhabiting different parts of its surface, which have different physical characters; and this fact . . . presses u p o n us the obligation to settle the relative rank a m o n g these races, the relative value of the characters peculiar to each, in a scientific point of view. . . . As philosophers it is our duty to look it in the face (p. 142). As direct evidence for differential, innate value Agassiz ventures no f u r t h e r t h a n t h e s t a n d a r d set o f C a u c a s i a n c u l t u r a l s t e r e o t y p e s : T h e indominable, courageous, proud Indian—in how very different a light he stands by the side of the submissive, obsequious, imitative negro, or by the side of the tricky, cunning, and cowardly Mongolian! Are not these facts indications that the different races do not rank u p o n o n e level in nature (p. 144). B l a c k s , A g a s s i z d e c l a r e s , m u s t o c c u p y t h e b o t t o m r u n g o f a n y objective l a d d e r :
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It seems to us to be mock-philanthropy and mock-philosophy to assume that all races have the same abilities, enjoy the same powers, and show the same natural dispositions, and that in consequence of this equality they are entitled to the same position in h u m a n society. History speaks here for itself. . . . This compact continent of Africa exhibits a population which has been in constant intercourse with the white race, which has enjoyed the benefit of the example of the Egyptian civilization, of the Phoenician civilization, of the Roman civilization, of the Arab civilization . . . and nevertheless there has never been a regulated society of black m e n developed on that continent. Does not this indicate in this race a peculiar apathy, a peculiar indifference to the advantages afforded by civilized society? (pp. 143-144). I f A g a s s i z h a d n o t m a d e his political m e s s a g e c l e a r , h e e n d s b y a d v o c a t i n g specific social policy. E d u c a t i o n , h e a r g u e s , m u s t b e tail o r e d t o i n n a t e ability; train b l a c k s i n h a n d w o r k , whites i n m i n d work: What would be the best education to be imparted to the different races in consequence of their primitive difference, . . . We entertain not the slightest doubt that h u m a n affairs with reference to the colored races would be far m o r e judiciously conducted if, in our intercourse with them, we were guided by a full consciousness of the real difference existing between us and them, and a desire to foster those dispositions that are eminently marked in them, rather than by treating them on terms of equality (p. 145). Since those "eminently m a r k e d " dispositions are submissiven e s s , o b s e q u i o u s n e s s , a n d i m i t a t i o n , w e c a n well i m a g i n e w h a t A g a s s i z h a d in m i n d . I h a v e t r e a t e d this p a p e r in detail b e c a u s e it is so typical of its g e n r e — a d v o c a c y of social policy c o u c h e d as a d i s p a s s i o n a t e i n q u i r y i n t o scientific fact. T h e s t r a t e g y i s b y n o means m o r i b u n d today. I n a later c o r r e s p o n d e n c e , p u r s u e d i n t h e m i d s t o f t h e Civil W a r , A g a s s i z e x p r e s s e d his political v i e w s m o r e f o r c e f u l l y a n d a t g r e a t e r l e n g t h . ( T h e s e letters a r e also e x p u r g a t e d w i t h o u t indication in t h e s t a n d a r d v e r s i o n p u b l i s h e d by A g a s s i z ' s wife. A g a i n , I h a v e r e s t o r e d p a s s a g e s f r o m t h e o r i g i n a l letters i n H a r v a r d ' s H o u g h t o n Library.) S. G. H o w e , a m e m b e r of Lincoln's Inquiry C o m m i s s i o n , a s k e d A g a s s i z ' s o p i n i o n a b o u t the r o l e o f blacks i n a r e u n i t e d n a t i o n . ( H o w e , k n o w n best f o r his w o r k i n p r i s o n r e f o r m a n d education of the blind, was the h u s b a n d of Julia W a r d H o w e ,
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author of the "Battle H y m n of the Republic".) In four long and i m p a s s i o n e d l e t t e r s , A g a s s i z p l e a d e d his case. T h e p e r s i s t e n c e o f a l a r g e a n d p e r m a n e n t black p o p u l a t i o n i n A m e r i c a m u s t b e a c k n o w l e d g e d a s a g r i m reality. I n d i a n s , d r i v e n b y t h e i r c o m m e n d a b l e p r i d e , m a y p e r i s h i n battle, b u t " t h e n e g r o e x h i b i t s b y n a t u r e a pliability, a r e a d i n e s s to a c c o m m o d a t e h i m s e l f to c i r c u m s t a n c e s , a p r o n e n e s s t o imitate t h o s e a m o n g w h o m h e lives" ( 9 A u g u s t 1863). A l t h o u g h legal e q u a l i t y m u s t b e g r a n t e d t o all, blacks s h o u l d b e d e n i e d social e q u a l i t y , lest t h e w h i t e r a c e b e c o m p r o m i s e d a n d d i l u t e d : "Social equality I d e e m at all t i m e i m p r a c t i c a b l e . It is a n a t u r a l impossibility f l o w i n g f r o m t h e v e r y c h a r a c t e r o f t h e n e g r o r a c e " ( 1 0 A u g u s t 1863); f o r blacks a r e " i n d o l e n t , p l a y f u l , s e n s u o u s , imitative, s u b s e r v i e n t , g o o d n a t u r e d , versatile, u n s t e a d y i n t h e i r p u r p o s e , d e v o t e d , affectionate, in everything unlike other races, they may but be c o m p a r e d to children, g r o w n in the stature of a d u l t s w h i l e r e t a i n i n g a c h i l d l i k e m i n d . . . . T h e r e f o r e I h o l d that t h e y a r e i n c a p a b l e o f l i v i n g o n a f o o t i n g o f social equality w i t h t h e whites, in o n e and the same community, without being an element o f social d i s o r d e r " ( 1 0 A u g u s t 1863). Blacks m u s t b e r e g u l a t e d a n d l i m i t e d , lest a n i n j u d i c i o u s a w a r d o f social p r i v i l e g e sow later discord: No man has a right to what he is unfit to use. . . . Let us beware of granting too much to the negro race in the beginning, lest it b e c o m e necessary to recall violently s o m e of the privileges which they may use to our detriment and their own injury (10 August 1863). For Agassiz, nothing inspired m o r e fear than the prospect of amalgamation by intermarriage. White strength d e p e n d s u p o n s e p a r a t i o n : " T h e p r o d u c t i o n of h a l f b r e e d s is as m u c h a sin against n a t u r e , as incest in a civilized c o m m u n i t y is a sin against p u r i t y of c h a r a c t e r . . . . F a r f r o m p r e s e n t i n g to me a n a t u r a l s o l u t i o n of o u r difficulties, t h e i d e a o f a m a l g a m a t i o n i s m o s t r e p u g n a n t t o m y feeli n g s , I h o l d it to be a p e r v e r s i o n of e v e r y n a t u r a l s e n t i m e n t . . . . No e f f o r t s s h o u l d b e s p a r e d t o c h e c k that w h i c h i s a b h o r r e n t t o o u r b e t t e r n a t u r e , a n d to t h e p r o g r e s s of a h i g h e r civilization a n d a p u r e r m o r a l i t y " ( 9 A u g u s t 1863). A g a s s i z n o w realizes that h e has a r g u e d h i m s e l f into a c o r n e r . I f i n t e r b r e e d i n g a m o n g races ( s e p a r a t e species t o A g a s s i z ) i s u n n a t ural and repugnant, why are "halfbreeds" so c o m m o n in America?
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A g a s s i z attributes this l a m e n t a b l e fact to t h e s e x u a l r e c e p t i v e n e s s o f housemaids and the naivete o f y o u n g Southern gentlemen. T h e s e r v a n t s , i t s e e m s , a r e h a l f b r e e d s a l r e a d y (we a r e n o t told h o w their parents overcame a natural r e p u g n a n c e for one another); y o u n g m e n r e s p o n d aesthetically t o the w h i t e half, w h i l e a d e g r e e o f black h e r i t a g e l o o s e n s t h e n a t u r a l inhibitions o f a h i g h e r r a c e . O n c e acclimated, the p o o r y o u n g m e n are h o o k e d , and they acquire a taste f o r p u r e blacks: As soon as the sexual desires are awakening in the y o u n g men of the South, they find it easy to gratify themselves by the readiness with which they are met by colored [halfbreed] house servants. . . . This blunts his better instincts in that direction and leads him gradually to seek m o r e spicy partners, as I have heard the full blacks called by fast y o u n g men (9 August 1863). Finally, A g a s s i z c o m b i n e s vivid i m a g e a n d m e t a p h o r t o w a r n against the ultimate d a n g e r of a mixed and enfeebled people: Conceive for a m o m e n t the difference it would make in future ages, for the prospect of republican institutions and our civilization generally, if instead of the manly population d e s c e n d e d from cognate nations the United States should hereafter be inhabited by the effeminate progeny of m i x e d races, half indian, half negro, sprinkled with white blood. . . . I shudder from the consequences. We have already to struggle, in our progress, against the influence of universal equality, in consequence of the difficulty of preserving the acquisitions of individual eminence, the wealth of refinement and culture growing out of select associations. What would be our condition if to these difficulties were added the far more tenacious influences of physical disability. . . . H o w shall we eradicate the stigma of a lower race when its blood has once been allowed to flow freely into that of our children (10 August 1863).* A g a s s i z c o n c l u d e s that l e g a l f r e e d o m a w a r d e d t o slaves i n m a n u m i s s i o n m u s t s p u r t h e e n f o r c e m e n t o f rigid social s e p a r a t i o n a m o n g r a c e s . F o r t u n a t e l y , n a t u r e shall b e t h e a c c o m p l i c e o f m o r a l *E. D. Cope, America's leading paleontologist and evolutionary biologist, reiterated the same theme even more forcefully in 1890 (p. 2054): "The highest race of man cannot afford to lose or even to compromise the advantages it has acquired by hundreds of centuries of toil and hardship, by mingling its blood with the lowest. . . . We cannot cloud or extinguish the fine nervous susceptibility, and the mental force, which cultivation develops in the constitution of the IndoEuropean, by the fleshly instincts, and dark mind of the African. Not only is the mind stagnated, and the life of mere living introduced in its stead, but the possibility of resurrection is rendered doubtful or impossible."
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virtue; for people, free to choose, gravitate naturally toward the climates o f their o r i g i n a l h o m e l a n d . T h e black species, c r e a t e d f o r h o t a n d h u m i d c o n d i t i o n s , will p r e v a i l i n t h e S o u t h e r n l o w l a n d s , t h o u g h whites will m a i n t a i n d o m i n i o n o v e r t h e s e a s h o r e a n d elev a t e d g r o u n d . T h e n e w S o u t h will c o n t a i n s o m e N e g r o states. W e s h o u l d b o w b e f o r e this necessity a n d a d m i t t h e m i n t o t h e U n i o n ; w e h a v e , after all, a l r e a d y r e c o g n i z e d b o t h " H a i t y a n d L i b e r i a . " * But the bracing North is not a congenial h o m e for carefree and lackadaisical p e o p l e , c r e a t e d f o r w a r m e r r e g i o n s . P u r e blacks will migrate South, leaving a stubborn residue to dwindle and die out in the N o r t h : "I h o p e it may gradually die out in the north w h e r e i t has only a n artificial f o o t h o l d " ( 1 1 A u g u s t 1863). A s f o r t h e m u l a t t o e s , " t h e i r sickly p h y s i q u e a n d t h e i r i m p a i r e d f e c u n d i t y " s h o u l d a s s u r e their d e m i s e o n c e t h e shackles o f slavery n o l o n g e r provide an opportunity for unnatural interbreeding. A g a s s i z ' s w o r l d c o l l a p s e d d u r i n g t h e last d e c a d e o f his life. H i s s t u d e n t s r e b e l l e d ; his s u p p o r t e r s d e f e c t e d . H e r e m a i n e d a h e r o t o the p u b l i c , b u t scientists b e g a n to r e g a r d h i m as a r i g i d a n d a g i n g d o g m a t i s t , s t a n d i n g f i r m i n his a n t i q u a t e d beliefs b e f o r e t h e D a r w i n i a n tide. B u t his social p r e f e r e n c e s f o r racial s e g r e g a t i o n p r e v a i l e d — a l l t h e m o r e b e c a u s e his f a n c i f u l h o p e f o r v o l u n t a r y g e o g r a p h i c separation did not.
Samuel George Morton—empiricist of polygeny A g a s s i z d i d n o t s p e n d all his t i m e in P h i l a d e l p h i a r e v i l i n g black w a i t e r s . I n t h e s a m e letter t o his m o t h e r , h e w r o t e i n g l o w i n g t e r m s of his visit to t h e a n a t o m i c a l collection of P h i l a d e l p h i a ' s disting u i s h e d scientist a n d p h y s i c i a n S a m u e l G e o r g e M o r t o n : " I m a g i n e a series of 600 skulls, m o s t of I n d i a n s f r o m all tribes w h o i n h a b i t o r o n c e i n h a b i t e d all o f A m e r i c a . N o t h i n g like i t exists a n y w h e r e else. T h i s c o l l e c t i o n , by itself, is w o r t h a t r i p to A m e r i c a " ( A g a s s i z t o his m o t h e r , D e c e m b e r 1 8 4 6 , t r a n s l a t e d f r o m t h e o r i g i n a l letter in H o u g h t o n Library, H a r v a r d University). *Not all detractors of blacks were so generous. E. D. Cope, who feared that miscegenation would block the path to heaven (see preceding footnote), advocated the return of all blacks to Africa (1890, p. 2053): "Have we not burdens enough to carryin the European peasantry which we are called on every year to receive and assimilate? Is our own race on a plane sufficiently high, to render it safe for us to carry eight millions of dead material in the very center of our vital organism?"
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Agassiz speculated freely and at length, but he amassed no data to s u p p o r t his p o l y g e n i c t h e o r y . M o r t o n , a P h i l a d e l p h i a patrician with t w o m e d i c a l d e g r e e s — o n e f r o m f a s h i o n a b l e E d i n b u r g h — p r o v i d e d t h e " f a c t s " that w o n w o r l d w i d e r e s p e c t f o r t h e " A m e r i c a n s c h o o l " o f p o l y g e n y . M o r t o n b e g a n his collection o f h u m a n skulls i n t h e 1820s; h e h a d m o r e t h a n o n e t h o u s a n d w h e n h e d i e d i n 1 8 5 1 . F r i e n d s (and e n e m i e s ) r e f e r r e d t o his g r e a t c h a r n e l h o u s e a s "the American Golgotha." M o r t o n w o n his r e p u t a t i o n a s the g r e a t d a t a - g a t h e r e r a n d objectivist o f A m e r i c a n s c i e n c e , t h e m a n w h o w o u l d raise a n i m m a ture enterprise f r o m the mires of fanciful speculation. Oliver W e n dell H o l m e s praised M o r t o n for "the severe and cautious c h a r a c t e r " o f his w o r k s , w h i c h " f r o m their v e r y n a t u r e a r e p e r m a n e n t data f o r all f u t u r e s t u d e n t s o f e t h n o l o g y " (in S t a n t o n , 1 9 6 0 , p . 96). T h e s a m e H u m b o l d t w h o h a d a s s e r t e d the i n h e r e n t equality o f all races w r o t e : T h e craniological treasures which you have been so fortunate as to unite in your collection, have in you found a worthy interpreter. Your work is equally remarkable for the profundity of its anatomical views, the numerical detail of the relations of organic conformation, and the absence of those poetical reveries which are the myths of modern physiology (in Meigs, 1851, p. 48). W h e n M o r t o n d i e d in 1 8 5 1 , t h e New York Tribune w r o t e that " p r o b ably no scientific m a n in A m e r i c a e n j o y e d a h i g h e r r e p u t a t i o n a m o n g s c h o l a r s t h r o u g h o u t the w o r l d , t h a n D r . M o r t o n " (in Stant o n , i 9 6 0 , p . 144). Y e t M o r t o n g a t h e r e d skulls n e i t h e r f o r t h e dilettante's m o t i v e o f abstract interest n o r t h e t a x o n o m i s t ' s zeal f o r c o m p l e t e r e p r e s e n t a t i o n . He h a d a h y p o t h e s i s to test: that a r a n k i n g of races c o u l d b e established objectively b y physical characteristics o f t h e b r a i n , p a r t i c u l a r l y by its size. M o r t o n t o o k a special interest in n a t i v e A m e r i c a n s . A s G e o r g e C o m b e , his f e r v e n t f r i e n d a n d s u p p o r t e r , wrote: O n e of the most singular features in the history of this continent, is, that the aboriginal races, with few exceptions, have perished or constantly receded, before the Anglo-Saxon race, and have in no instance either mingled with them as equals, or adopted their manners and civilization. T h e s e p h e n o m e n a must have a cause; and can any inquiry be at once m o r e inter-
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esting and philosophical than that which endeavors to ascertain whether that cause be connected with a difference in the brain between the native American race, and their conquering invaders (Combe and Coates, in review of Morton's Crania Americana, 1840, p. 352). M o r e o v e r , C o m b e a r g u e d that M o r t o n ' s collection w o u l d a c q u i r e t r u e scientific v a l u e only if m e n t a l a n d m o r a l w o r t h c o u l d be r e a d f r o m b r a i n s : " I f this d o c t r i n e b e u n f o u n d e d , t h e s e skulls a r e m e r e facts i n N a t u r a l H i s t o r y , p r e s e n t i n g n o p a r t i c u l a r i n f o r m a t i o n a s t o the m e n t a l qualities o f t h e p e o p l e " ( f r o m C o m b e ' s a p p e n d i x t o M o r t o n ' s Crania Americana, 1 8 3 9 , p. 2 7 5 ) . A l t h o u g h h e vacillated e a r l y i n his c a r e e r , M o r t o n s o o n b e c a m e a l e a d e r a m o n g the A m e r i c a n p o l y g e n i s t s . H e w r o t e s e v e r a l articles t o d e f e n d the status o f h u m a n races a s s e p a r a t e , c r e a t e d s p e c i e s . H e t o o k o n t h e s t r o n g e s t claim o f o p p o n e n t s — t h e interfertility o f all h u m a n r a c e s — b y a r g u i n g f r o m b o t h sides. H e relied o n trave l e r s ' r e p o r t s t o c l a i m that s o m e h u m a n r a c e s — A u s t r a l i a n a b o r i g ines a n d C a u c a s i a n s i n p a r t i c u l a r — v e r y r a r e l y p r o d u c e fertile o f f s p r i n g ( M o r t o n , 1 8 5 1 ) . H e a t t r i b u t e d this f a i l u r e t o " a d i s p a r i t y of primordial organization." But, he continued, Buffon's criterion o f interfertility m u s t b e a b a n d o n e d i n a n y case, f o r h y b r i d i z a t i o n i s c o m m o n i n n a t u r e , e v e n b e t w e e n species b e l o n g i n g t o d i f f e r e n t g e n e r a ( M o r t o n , 1 8 4 7 , 8 5 ° ) - S p e c i e s m u s t b e r e d e f i n e d a s " a prim o r d i a l o r g a n i c f o r m " ( 1 8 5 0 , p . 82). " B r a v o , m y d e a r S i r , " w r o t e A g a s s i z in a letter, " y o u h a v e at last f u r n i s h e d s c i e n c e with a t r u e p h i l o s o p h i c a l d e f i n i t i o n o f s p e c i e s " (in S t a n t o n , i 9 6 0 , p . 1 4 1 ) . B u t h o w to recognize a primordial form? M o r t o n replied: "If certain e x i s t i n g o r g a n i c t y p e s c a n b e t r a c e d b a c k into t h e ' n i g h t o f t i m e , ' a s dissimilar as we see t h e m n o w , is it n o t m o r e r e a s o n a b l e to r e g a r d them as aboriginal, than to suppose them the m e r e and accidental d e r i v a t i o n s o f a n isolated p a t r i a r c h a l s t e m o f w h i c h w e k n o w n o t h i n g ? " ( 1 8 5 0 , p . 82). T h u s , M o r t o n r e g a r d e d s e v e r a l b r e e d s o f d o g s a s s e p a r a t e species b e c a u s e their s k e l e t o n s r e s i d e d i n t h e E g y p t i a n c a t a c o m b s , a s r e c o g n i z a b l e a n d distinct f r o m o t h e r b r e e d s a s t h e y a r e n o w . T h e t o m b s also c o n t a i n e d blacks a n d C a u c a s i a n s . M o r t o n d a t e d the b e a c h i n g o f N o a h ' s A r k o n A r a r a t a t 4 , 1 7 9 y e a r s b e f o r e his t i m e , a n d t h e E g y p t i a n t o m b s a t j u s t 1,000 y e a r s a f t e r t h a t — clearly n o t e n o u g h t i m e f o r t h e sons o f N o a h t o d i f f e r e n t i a t e into r a c e s . ( H o w , h e asks, c a n w e b e l i e v e that races c h a n g e d s o r a p i d l y f o r 1,000 y e a r s , a n d n o t a t all f o r 3,000 y e a r s since then?) H u m a n 1
A M E R I C A N
P O L Y G E N Y
A N D
C R A N I O M E T R Y
85
races m u s t h a v e b e e n s e p a r a t e f r o m t h e start ( M o r t o n , 1 8 3 9 , p . 88). B u t s e p a r a t e , a s the S u p r e m e C o u r t o n c e said, n e e d n o t m e a n u n e q u a l . M o r t o n t h e r e f o r e set o u t t o establish relative r a n k o n "objective" g r o u n d s . He surveyed the drawings of ancient Egypt a n d f o u n d that blacks a r e i n v a r i a b l y d e p i c t e d a s m e n i a l s — a s u r e sign that t h e y h a v e a l w a y s p l a y e d t h e i r a p p r o p r i a t e b i o l o g i c a l r o l e : " N e g r o e s w e r e n u m e r o u s i n E g y p t , b u t their social position i n a n c i e n t times was t h e s a m e that it is n o w , that of s e r v a n t s a n d s l a v e s " ( M o r t o n , 1 8 4 4 , p . 158). ( A c u r i o u s a r g u m e n t , t o b e s u r e , f o r t h e s e blacks h a d b e e n c a p t u r e d i n w a r f a r e ; s u b - S a h a r a n societies d e p i c t e d blacks as rulers.) B u t M o r t o n ' s f a m e a s a scientist r e s t e d u p o n his collection o f skulls a n d t h e i r r o l e in racial r a n k i n g . S i n c e the c r a n i a l cavity of a h u m a n skull p r o v i d e s a f a i t h f u l m e a s u r e o f t h e b r a i n i t o n c e c o n t a i n e d , M o r t o n set o u t t o r a n k races b y t h e a v e r a g e sizes o f t h e i r b r a i n s . H e filled t h e cranial cavity with sifted w h i t e m u s t a r d s e e d , p o u r e d t h e s e e d b a c k i n t o a g r a d u a t e d c y l i n d e r a n d r e a d t h e skull's v o l u m e i n c u b i c i n c h e s . L a t e r o n , h e b e c a m e dissatisfied with m u s tard s e e d b e c a u s e h e c o u l d n o t o b t a i n consistent results. T h e s e e d s d i d n o t p a c k w e l l , f o r t h e y w e r e t o o light a n d still v a r i e d t o o m u c h i n size, d e s p i t e sieving. R e m e a s u r e m e n t s o f single skulls m i g h t diff e r by m o r e t h a n 5 p e r c e n t , or 4 c u b i c i n c h e s in skulls with an a v e r a g e capacity near 80 cubic inches. Consequently, he switched t o o n e - e i g h t h - i n c h - d i a m e t e r lead shot " o f t h e size called B B " a n d a c h i e v e d c o n s i s t e n t results that n e v e r v a r i e d by m o r e t h a n a single c u b i c i n c h f o r t h e s a m e skull. M o r t o n p u b l i s h e d t h r e e m a j o r w o r k s o n t h e sizes o f h u m a n s k u l l s — h i s lavish, b e a u t i f u l l y illustrated v o l u m e o n A m e r i c a n I n d i a n s , t h e Crania Americana of 1 8 3 9 ; his studies on skulls f r o m t h e E g y p t i a n t o m b s , t h e Crania Aegyptiaca o f 1844; a n d t h e e p i t o m e o f his e n t i r e c o l l e c t i o n in 1849. E a c h c o n t a i n e d a table, s u m m a r i z i n g his results o n a v e r a g e skull v o l u m e s a r r a n g e d b y r a c e . I h a v e r e p r o d u c e d all t h r e e tables h e r e ( T a b l e s 2.1 t o 2.3). T h e y r e p r e s e n t the major contribution of A m e r i c a n polygeny to debates about racial r a n k i n g . T h e y o u t l i v e d t h e t h e o r y o f s e p a r a t e c r e a t i o n s a n d w e r e r e p r i n t e d r e p e a t e d l y d u r i n g t h e n i n e t e e n t h c e n t u r y a s irref u t a b l e , " h a r d " d a t a o n the m e n t a l w o r t h o f h u m a n races (see p . i 1 6 ) . N e e d l e s s t o say, they m a t c h e d e v e r y g o o d Y a n k e e ' s p r e j u d i c e — w h i t e s o n t o p , I n d i a n s i n t h e m i d d l e , a n d blacks o n t h e bot-
86
T H E
Table 2*1
M I S M E A S U R E
OF
MAN
Morton's summary table of cranial capacity by race INTERNAL CAPACITY (IN ) 3
RACE
N
MEAN
LARGEST
SMALLEST
Caucasian Mongolian Malay American Ethiopian
52 10 18 144 29
87 83 81 82 78
109 93 89 100 94
75 69 64 60 65
Table 2*2
Cranial capacities for skulls from Egyptian tombs PEOPLE
Caucasian Pelasgic Semitic Egyptian Negroid Negro
MEAN CAPACITY (IN )
N
88 82 80 79 73
21 5 39 6 1
3
torn; a n d , a m o n g w h i t e s , T e u t o n s a n d A n g l o - S a x o n s o n t o p , J e w s i n t h e m i d d l e , a n d H i n d u s o n the b o t t o m . M o r e o v e r , t h e p a t t e r n h a d b e e n stable t h r o u g h o u t r e c o r d e d history, f o r whites h a d t h e s a m e a d v a n t a g e o v e r blacks i n a n c i e n t E g y p t . Status a n d access t o p o w e r i n M o r t o n ' s A m e r i c a faithfully reflected biological m e r i t . H o w c o u l d sentimentalists a n d e g a l i t a r i a n s stand against t h e dictates o f n a t u r e ? M o r t o n h a d p r o v i d e d c l e a n , objective d a t a b a s e d o n t h e largest collection o f skulls i n t h e w o r l d . D u r i n g t h e s u m m e r o f 1 9 7 7 I s p e n t several w e e k s r e a n a l y z i n g M o r t o n ' s d a t a . ( M o r t o n , t h e self-styled objectivist, p u b l i s h e d all his r a w i n f o r m a t i o n . W e c a n i n f e r with little d o u b t h o w h e m o v e d f r o m r a w m e a s u r e m e n t s t o s u m m a r y tables.) I n s h o r t , a n d t o p u t it b l u n t l y , M o r t o n ' s s u m m a r i e s a r e a p a t c h w o r k of f u d g i n g a n d finagling in t h e c l e a r interest of c o n t r o l l i n g a p r i o r i c o n v i c t i o n s . Y e t — a n d this i s t h e m o s t i n t r i g u i n g aspect o f t h e c a s e — I f i n d n o evidence of conscious fraud; indeed, had Morton been a conscious f u d g e r , h e w o u l d n o t h a v e p u b l i s h e d his d a t a s o o p e n l y . C o n s c i o u s f r a u d is p r o b a b l y r a r e in science. It is also n o t v e r y i n t e r e s t i n g , f o r it tells us little a b o u t the n a t u r e of scientific activity.
A M E R I C A N
Table 2*3
P O L Y G E N Y
A N D
87
C R A N I O M E T R Y
Morton s final summary of cranial capacity by race CRANIAL CAPACITY (IN ) 3
LARGEST
SMALLEST
18 5 7 10 6 32 3 17
114 105 97 94 97 91 98 96
70 91 82 75 78 67 84 66
90 ~ 96 90 . 84 87 80 89 80
18 55
97 96
74 68
88 80
6
91
70
82
20 3
97 84
68 82
86' 83.
Toltecan Family Peruvians
155
75]
22 161
101 92 104
58
Mexicans Barbarous Tribes
67 70
79 J 84
62 12 3 8
99 89 83 83
65 73 68 63
83 82 75 75
RACES AND FAMILIES
N
MEAN
MEAN
MODERN CAUCASIAN GROUP
T e u t o n i c Family Germans English Anglo-Americans Pelasgic Family Celtic Family Indostanic Family Semitic Family Nilotic Family
92
ANCIENT CAUCASIAN GROUP
Pelasgic Family Nilotic Family MONGOLIAN GROUP
Chinese Family MALAY GROUP
Malayan Family Polynesian Family
O
KJ
AMERICAN GROUP
/y
NEGRO GROUP
Native African Family American-born Negroes Hottentot Family Australians
83
L i a r s , i f d i s c o v e r e d , a r e e x c o m m u n i c a t e d ; scientists d e c l a r e that their p r o f e s s i o n has p r o p e r l y p o l i c e d itself, a n d they r e t u r n t o w o r k , m y t h o l o g y u n i m p a i r e d , a n d objectively v i n d i c a t e d . T h e p r e v a l e n c e of unconscious finagling, on t h e o t h e r h a n d , s u g g e s t s a
88
T H E
M I S M E A S U R E
O F
MAN
g e n e r a l c o n c l u s i o n a b o u t t h e social c o n t e x t o f science. F o r i f scientists c a n b e h o n e s t l y s e l f - d e l u d e d t o M o r t o n ' s e x t e n t , t h e n p r i o r p r e j u d i c e m a y b e f o u n d a n y w h e r e , e v e n i n t h e basics o f m e a s u r i n g bones and toting sums. The case of Indian inferiority:
Crania
Americana*
M o r t o n b e g a n his first a n d largest w o r k , t h e Crania Americana o f 1 8 3 9 , with a d i s c o u r s e o n the essential c h a r a c t e r o f h u m a n r a c e s . His s t a t e m e n t s i m m e d i a t e l y e x p o s e his p r e j u d i c e s . O f t h e " G r e e n l a n d e s q u i m a u x , " h e w r o t e : " T h e y are crafty, s e n s u a l , u n g r a t e f u l , o b s t i n a t e a n d u n f e e l i n g , a n d m u c h o f t h e i r a f f e c t i o n f o r t h e i r child r e n m a y b e t r a c e d t o p u r e l y selfish m o t i v e s . T h e y d e v o u r t h e m o s t disgusting aliments u n c o o k e d a n d uncleaned, and seem to have no i d e a s b e y o n d p r o v i d i n g f o r the p r e s e n t m o m e n t . . . . T h e i r m e n t a l faculties, f r o m i n f a n c y t o old a g e , p r e s e n t a c o n t i n u e d c h i l d h o o d . . . . I n g l u t t o n y , selfishness a n d i n g r a t i t u d e , t h e y a r e p e r h a p s u n e q u a l l e d b y any o t h e r n a t i o n o f p e o p l e " ( 1 8 3 9 , p . 54). M o r t o n t h o u g h t little b e t t e r o f o t h e r M o n g o l i a n s , f o r h e w r o t e o f t h e C h i n e s e (p. 50): " S o versatile a r e their f e e l i n g s a n d a c t i o n s , that t h e y h a v e b e e n c o m p a r e d t o the m o n k e y r a c e , w h o s e a t t e n t i o n i s p e r p e t u a l l y c h a n g i n g f r o m o n e object t o a n o t h e r . " T h e H o t t e n t o t s , h e c l a i m e d (p. 90), are " t h e n e a r e s t a p p r o x i m a t i o n t o t h e l o w e r a n i m a l s . . . . T h e i r c o m p l e x i o n is a yellowish b r o w n , c o m p a r e d by travellers t o t h e p e c u l i a r h u e o f E u r o p e a n s i n t h e last stages o f j a u n d i c e . . . . T h e w o m e n a r e r e p r e s e n t e d as e v e n m o r e r e p u l s i v e in a p p e a r a n c e than the m e n . " Y e t , w h e n M o r t o n h a d to describe o n e C a u c a s i a n tribe a s a " m e r e h o r d e o f r a p a c i o u s b a n d i t t i " (p. 9), h e q u i c k l y a d d e d that " t h e i r m o r a l p e r c e p t i o n s , u n d e r t h e influence of an equitable government, would no doubt assume a m u c h m o r e favorable aspect." M o r t o n ' s s u m m a r y c h a r t ( T a b l e 2.1) p r e s e n t s t h e " h a r d " a r g u m e n t o f t h e Crania Americana. H e h a d m e a s u r e d t h e capacity o f 144 I n d i a n skulls a n d c a l c u l a t e d a m e a n of 82 c u b i c i n c h e s , a full 5 c u b i c i n c h e s b e l o w t h e C a u c a s i a n n o r m (Figs. 2.4 a n d 2.5). In a d d i t i o n , M o r t o n a p p e n d e d a table o f p h r e n o l o g i c a l m e a s u r e m e n t s indicating a deficiency of " h i g h e r " mental powers a m o n g Indians. " T h e b e n e v o l e n t m i n d , " M o r t o n c o n c l u d e d (p. 82), " m a y r e g r e t *This account omits many statistical details of my analysis. T h e complete tale appears in Gould, 1978. Some passages in pp. 88-101 are taken from this article.
A M E R I C A N
P O L Y G E N Y
A N D
C R A N I O M E T R Y
8
9
t h e i n a p t i t u d e o f t h e I n d i a n f o r civilization," b u t s e n t i m e n t a l i t y m u s t yield t o fact. " T h e s t r u c t u r e o f his m i n d a p p e a r s t o b e d i f f e r e n t f r o m that o f t h e w h i t e m a n , n o r c a n the t w o h a r m o n i z e i n t h e social r e l a t i o n s e x c e p t o n the m o s t limited scale." I n d i a n s " a r e n o t o n l y a v e r s e t o t h e restraints o f e d u c a t i o n , b u t f o r t h e m o s t p a r t a r e i n c a p a b l e o f a c o n t i n u e d p r o c e s s o f r e a s o n i n g o n abstract s u b j e c t s " (p. 8 1 ) . S i n c e Crania Americana is p r i m a r i l y a treatise on t h e i n f e r i o r q u a l i t y o f I n d i a n intellect, I n o t e f i r s t o f all that M o r t o n ' s cited a v e r a g e o f 8 2 c u b i c i n c h e s f o r I n d i a n skulls i s i n c o r r e c t . H e s e p a rated Indians into two groups, "Toltecans" from Mexico and South America, and "Barbarous Tribes" from North America. Eighty-two i s t h e a v e r a g e f o r B a r b a r o u s skulls; t h e total s a m p l e o f 144 yields a m e a n of 80.2 c u b i c i n c h e s , or a g a p of a l m o s t 7 c u b i c i n c h e s between Indian and Caucasian averages. (I do not know how Mort o n m a d e this e l e m e n t a r y e r r o r . I t d i d p e r m i t h i m , i n a n y case, t o r e t a i n t h e c o n v e n t i o n a l c h a i n o f b e i n g with whites o n t o p , I n d i a n s i n t h e m i d d l e , a n d blacks o n t h e b o t t o m . ) B u t t h e " c o r r e c t " v a l u e of 80.2 is f a r t o o low, f o r it is the result o f a n i m p r o p e r p r o c e d u r e . M o r t o n ' s 144 skulls b e l o n g t o m a n y d i f f e r e n t g r o u p s o f I n d i a n s ; t h e s e g r o u p s d i f f e r significantly a m o n g t h e m s e l v e s i n c r a n i a l capacity. E a c h g r o u p s h o u l d b e w e i g h t e d e q u a l l y , lest t h e f i n a l a v e r a g e b e b i a s e d b y u n e q u a l size o f s u b s a m p l e s . S u p p o s e , f o r e x a m p l e , that w e tried t o e s t i m a t e a v e r a g e h u m a n h e i g h t f r o m a s a m p l e o f t w o j o c k e y s , t h e a u t h o r o f this b o o k (strictly m i d d l i n g s t a t u r e ) , a n d all t h e p l a y e r s i n t h e N a t i o n a l Basketball Association. T h e h u n d r e d s o f Jabbars would s w a m p the r e m a i n i n g t h r e e a n d g i v e a n a v e r a g e i n e x c e s s o f six a n d a h a l f f e e t . If, h o w e v e r , w e a v e r a g e d t h e a v e r a g e s o f t h e t h r e e g r o u p s ( j o c k e y s , m e , a n d t h e basketball p l a y e r s ) , t h e n o u r f i g u r e w o u l d lie c l o s e r to t h e t r u e v a l u e . M o r t o n ' s s a m p l e is s t r o n g l y b i a s e d by a major overrepresentation of an extreme g r o u p — t h e small-brained I n c a P e r u v i a n s . ( T h e y h a v e a m e a n cranial capacity o f 74.36 c u b i c inches and provide 25 percent of the entire sample). Large-brained I r o q u o i s , o n t h e o t h e r h a n d , c o n t r i b u t e o n l y 3 skulls t o t h e total s a m p l e ( 2 p e r c e n t ) . If, b y t h e a c c i d e n t s o f c o l l e c t i n g , M o r t o n ' s samp l e h a d i n c l u d e d 2 5 p e r c e n t I r o q u o i s a n d j u s t a f e w I n c a s , his a v e r a g e w o u l d h a v e risen substantially. C o n s e q u e n t l y , I c o r r e c t e d this bias as best I c o u l d by a v e r a g i n g t h e m e a n v a l u e s f o r all tribes
2.4 T h e skull of an Araucanian Indian. T h e lithographs of this and the next figure were done by John Collins, a great scientific artist unfortunately unrecognized today. They appeared in Morton's Crama Amencana of ^ a .
2 * 5 T h e skull of a Huron Indian. Lithograph by John Morton's Crania Americana, 1839.
9
2
T H E
M I S M E A S U R E
O F
M A N
r e p r e s e n t e d b y 4 o r m o r e skulls. T h e I n d i a n a v e r a g e n o w rises t o 83.79 cubic inches. T h i s r e v i s e d v a l u e is still m o r e t h a n 3 c u b i c i n c h e s f r o m t h e Caucasian average. Yet, w h e n we e x a m i n e Morton's p r o c e d u r e for c o m p u t i n g the Caucasian m e a n , we uncover an astounding inconsistency. S i n c e statistical r e a s o n i n g is largely a p r o d u c t of t h e last o n e h u n d r e d years, I might have excused Morton's error for the I n d i a n m e a n b y a r g u i n g that h e d i d n o t r e c o g n i z e t h e biases p r o d u c e d b y u n e q u a l sizes a m o n g s u b s a m p l e s . B u t n o w w e d i s c o v e r that h e u n d e r s t o o d this bias p e r f e c t l y w e l l — f o r M o r t o n c a l c u l a t e d his h i g h C a u c a s i a n m e a n b y c o n s c i o u s l y e l i m i n a t i n g s m a l l - b r a i n e d H i n d u s f r o m his s a m p l e . H e writes (p. 2 6 1 ) : " I t i s p r o p e r , h o w e v e r , t o m e n t i o n that b u t 3 H i n d o o s a r e a d m i t t e d i n t h e w h o l e n u m b e r , b e c a u s e the skulls o f t h e s e p e o p l e a r e p r o b a b l y s m a l l e r t h a n t h o s e o f a n y o t h e r e x i s t i n g n a t i o n . F o r e x a m p l e , 17 H i n d o o h e a d s g i v e a m e a n o f b u t 7 5 c u b i c i n c h e s ; a n d the t h r e e r e c e i v e d i n t o t h e table a r e t a k e n a t that a v e r a g e . " T h u s , M o r t o n i n c l u d e d a l a r g e s u b s a m ple of small-brained p e o p l e (Inca Peruvians) to pull d o w n the I n d i a n a v e r a g e , b u t e x c l u d e d j u s t a s m a n y small C a u c a s i a n skulls t o raise t h e m e a n o f his o w n g r o u p . S i n c e h e tells u s w h a t h e d i d s o b a l d l y , w e m u s t a s s u m e that M o r t o n d i d n o t d e e m his p r o c e d u r e i m p r o p e r . B u t b y w h a t r a t i o n a l e did h e k e e p I n c a s a n d e x c l u d e H i n d u s , unless it w e r e t h e a p r i o r i a s s u m p t i o n of a truly h i g h e r C a u c a s i a n m e a n ? F o r o n e m i g h t t h e n t h r o w o u t the H i n d u s a m p l e a s t r u l y a n o m a l o u s , b u t r e t a i n t h e I n c a s a m p l e (with t h e s a m e m e a n a s t h e H i n d u s , b y t h e way) a s t h e l o w e r e n d o f n o r m a l i t y f o r its disadvantaged larger group. I r e s t o r e d t h e H i n d u skulls t o M o r t o n ' s s a m p l e , u s i n g t h e s a m e p r o c e d u r e o f e q u a l w e i g h t i n g f o r all g r o u p s . M o r t o n ' s C a u c a s i a n s a m p l e , b y his r e c k o n i n g , c o n t a i n s skulls f r o m f o u r s u b g r o u p s , s o H i n d u s s h o u l d c o n t r i b u t e o n e - f o u r t h o f all skulls t o t h e s a m p l e . I f w e r e s t o r e all s e v e n t e e n o f M o r t o n ' s H i n d u skulls, they f o r m 2 6 p e r c e n t o f t h e total s a m p l e o f sixty-six. T h e C a u c a s i a n m e a n n o w d r o p s t o 84.45 c u b i c i n c h e s , f o r n o d i f f e r e n c e w o r t h m e n t i o n i n g b e t w e e n I n d i a n s a n d C a u c a s i a n s . ( E s k i m o s , d e s p i t e M o r t o n ' s low o p i n i o n o f t h e m , y i e l d a m e a n o f 86.8, h i d d e n b y a m a l g a m a t i o n with o t h e r s u b g r o u p s i n the M o n g o l g r a n d m e a n o f 83). S o m u c h f o r I n d i a n inferiority.
A M E R I C A N
P O L Y G E N Y
The case of the Egyptian
A N D
catacombs:
C R A N I O M E T R Y
93
Crania Aegyptiaca
M o r t o n ' s f r i e n d a n d fellow p o l y g e n i s t G e o r g e G l i d d o n was U n i t e d States c o n s u l f o r the city o f C a i r o . H e d i s p a t c h e d t o Philad e l p h i a m o r e t h a n o n e h u n d r e d skulls f r o m t o m b s o f a n c i e n t E g y p t , a n d M o r t o n r e s p o n d e d with his s e c o n d m a j o r treatise, t h e Crania Aegyptiaca of 1844. M o r t o n h a d s h o w n , or so he t h o u g h t , that whites s u r p a s s e d I n d i a n s i n m e n t a l e n d o w m e n t . N o w h e w o u l d c r o w n his story b y d e m o n s t r a t i n g that t h e d i s c r e p a n c y b e t w e e n whites a n d blacks was e v e n g r e a t e r , a n d that this d i f f e r e n c e h a d b e e n stable f o r m o r e t h a n t h r e e t h o u s a n d y e a r s . M o r t o n felt that h e c o u l d identify b o t h races a n d s u b g r o u p s a m o n g races f r o m f e a t u r e s o f t h e skull (most a n t h r o p o l o g i s t s t o d a y w o u l d d e n y that s u c h a s s i g n m e n t s c a n b e m a d e u n a m b i g u o u s l y ) . H e d i v i d e d his C a u c a s i a n skulls into Pelasgics ( H e l l e n e s , o r a n c i e n t G r e e k f o r e b e a r s ) , J e w s , a n d E g y p t i a n s — i n that o r d e r , a g a i n c o n f i r m i n g A n g l o - S a x o n p r e f e r e n c e s ( T a b l e 2.2). N o n - C a u c a s i a n skulls h e identified e i t h e r a s " n e g r o i d " ( h y b r i d s o f N e g r o a n d C a u casian with m o r e black t h a n white) o r a s p u r e N e g r o . M o r t o n ' s subjective division of C a u c a s i a n skulls is clearly u n w a r r a n t e d , f o r h e simply a s s i g n e d the m o s t b u l b o u s c r a n i a t o his f a v o r e d Pelasgic g r o u p a n d t h e m o s t flattened t o E g y p t i a n s ; h e m e n t i o n s n o o t h e r criteria o f s u b d i v i s i o n . I f w e i g n o r e his t h r e e f o l d s e p a r a t i o n a n d a m a l g a m a t e all sixty-five C a u c a s i a n skulls into a single s a m p l e , w e o b t a i n a n a v e r a g e capacity o f 8 2 . 1 5 c u b i c i n c h e s . (If w e g i v e M o r t o n t h e benefit o f all d o u b t a n d r a n k his d u b i o u s subsamples e q u a l l y — a s we did in c o m p u t i n g Indian and Caucasian m e a n s f o r t h e Crania Americana—we o b t a i n an a v e r a g e of 83.3 cubic inches.) E i t h e r o f t h e s e v a l u e s still e x c e e d s t h e n e g r o i d a n d N e g r o a v e r a g e s substantially. M o r t o n a s s u m e d that h e h a d m e a s u r e d a n innate difference in intelligence. He never considered any other p r o p o s a l f o r t h e disparity i n a v e r a g e cranial c a p a c i t y — t h o u g h a n o t h e r s i m p l e a n d o b v i o u s e x p l a n a t i o n lay b e f o r e h i m . Sizes o f b r a i n s a r e r e l a t e d t o t h e sizes o f b o d i e s that c a r r y t h e m : b i g p e o p l e t e n d t o h a v e l a r g e r b r a i n s t h a n small p e o p l e . T h i s fact d o e s n o t i m p l y that b i g p e o p l e a r e s m a r t e r — a n y m o r e t h a n elephants should be j u d g e d m o r e intelligent than h u m a n s because their brains a r e l a r g e r . A p p r o p r i a t e c o r r e c t i o n s m u s t b e m a d e f o r
2•6
Skulls from the Egyptian catacombs. From Morton's Crania Aegyptiaca of 1844.
94
T H E
M I S M E A S U R E
O F
M A N
d i f f e r e n c e s i n b o d y size. M e n t e n d t o b e l a r g e r t h a n w o m e n ; c o n s e q u e n t l y , their b r a i n s a r e b i g g e r . W h e n c o r r e c t i o n s f o r b o d y size are applied, m e n and w o m e n have brains o f a p p r o x i m a t e l y equal size. M o r t o n n o t o n l y failed t o c o r r e c t f o r d i f f e r e n c e s i n sex o r b o d y size; h e d i d n o t e v e n r e c o g n i z e t h e r e l a t i o n s h i p , t h o u g h his d a t a p r o c l a i m e d i t l o u d a n d c l e a r . ( I c a n o n l y c o n j e c t u r e that M o r t o n n e v e r s e p a r a t e d his skulls b y sex o r s t a t u r e — t h o u g h his tables record these d a t a — b e c a u s e he wanted so m u c h to read differences in b r a i n size d i r e c t l y as d i f f e r e n c e s in i n t e l l i g e n c e . ) M a n y o f t h e E g y p t i a n skulls c a m e with m u m m i f i e d r e m a i n s o f t h e i r possessors (Fig. 2.6), a n d M o r t o n c o u l d r e c o r d t h e i r sex u n a m biguously. If we use Morton's o w n designations and c o m p u t e separ a t e a v e r a g e s f o r m a l e s a n d f e m a l e s (as M o r t o n n e v e r d i d ) , w e o b t a i n the following remarkable result. M e a n capacity for twenty-four m a l e C a u c a s i a n skulls is 86.5 c u b i c i n c h e s ; t w e n t y - t w o f e m a l e skulls a v e r a g e 7 7 . 2 (the r e m a i n i n g n i n e t e e n skulls c o u l d n o t b e i d e n t i f i e d b y s e x ) . O f t h e six n e g r o i d skulls, M o r t o n i d e n t i f i e d t w o a s f e m a l e (at 7 1 a n d 7 7 c u b i c inches) a n d c o u l d n o t a l l o c a t e t h e o t h e r f o u r (at 77> 77> 87. a n d 88).* I f w e m a k e t h e r e a s o n a b l e c o n j e c t u r e that t h e t w o s m a l l e r skulls (77 a n d 7 7 ) a r e f e m a l e , a n d t h e t w o l a r g e r m a l e (87 a n d 88), w e o b t a i n a m a l e n e g r o i d a v e r a g e o f 8 7 . 5 , slightly above the Caucasian male m e a n of 86.5, and a female negroid a v e r a g e o f 7 5 . 5 , slightly b e l o w t h e C a u c a s i a n v a l u e o f 7 7 . 2 . T h e a p p a r e n t difference of 4 cubic inches between Morton's Caucasian a n d n e g r o i d s a m p l e s m a y o n l y r e c o r d t h e fact that a b o u t h a l f his C a u c a s i a n s a m p l e i s m a l e , w h i l e o n l y o n e - t h i r d the n e g r o i d s a m p l e may be male. ( T h e apparent difference is magnified by Morton's incorrect r o u n d i n g of the negroid average d o w n to 79 rather than u p t o 80. A s w e shall see a g a i n , all o f M o r t o n ' s m i n o r n u m e r i c a l e r r o r s f a v o r his p r e j u d i c e s . ) D i f f e r e n c e s i n a v e r a g e b r a i n size between Caucasians and negroids in the Egyptian tombs only r e c o r d d i f f e r e n c e s i n s t a t u r e d u e t o s e x , n o t v a r i a t i o n i n "intellig e n c e . " Y o u will n o t b e s u r p r i s e d t o l e a r n that t h e single p u r e N e g r o skull (73 c u b i c inches) is a f e m a l e . *In his final catalogue of 1849, Morton guessed at sex (and age within five years!) for all crania. In this later work, he specifies 77, 87, and 88 as male, and the remaining 77 as female. This allocation was pure guesswork; my alternate version is equally plausible. In the Crania Aegyptiaca itself, Morton was more cautious and only identified sex for specimens with mummified remains.
6
T H E
9
M I S M E A S U R E
O F
MAN
Table 2*4 Cranial capacity of Indian groups ordered by Morton's assessment of body stature STATURE AND GROUP
CRANIAL CAPACITY (IN )
N
88.3 88.8 84.4
8 4 7
80.2 80.5 81.7
13 8 9
78.8 74.4
10 33
3
LARGE
Seminole-Muskogee Chippeway and related groups Dacota and Osage MIDDLE
Mexicans Menominee Mounds SMALL
Columbia River Flatheads Peruvians
T h e c o r r e l a t i o n o f b r a i n a n d b o d y also resolves a q u e s t i o n left h a n g i n g in o u r p r e v i o u s discussion of t h e Crania Americana: W h a t i s t h e basis f o r d i f f e r e n c e s i n a v e r a g e b r a i n size a m o n g I n d i a n p e o ples? ( T h e s e d i f f e r e n c e s b o t h e r e d M o r t o n c o n s i d e r a b l y , f o r h e c o u l d n o t u n d e r s t a n d h o w s m a l l - b r a i n e d I n c a s h a d built s u c h a n e l a b o r a t e civilization, t h o u g h h e c o n s o l e d h i m s e l f with the fact o f t h e i r r a p i d c o n q u e s t b y t h e c o n q u i s t a d o r e s ) . A g a i n , t h e a n s w e r lay b e f o r e h i m , b u t M o r t o n n e v e r saw it. M o r t o n p r e s e n t s subjective d a t a o n b o d i l y statures i n his d e s c r i p t i o n s o f t h e v a r i o u s tribes, a n d I p r e s e n t these assessments a l o n g with a v e r a g e b r a i n sizes in T a b l e 2.4. T h e c o r r e l a t i o n o f b r a i n a n d b o d y size i s a f f i r m e d w i t h o u t e x c e p t i o n . T h e low H i n d u m e a n a m o n g C a u c a s i a n s also r e c o r d s a d i f f e r e n c e i n s t a t u r e , n o t a n o t h e r case o f d u m b I n d i a n s . The case of the shifting black
mean
In t h e Crania Americana, M o r t o n cited 78 c u b i c i n c h e s as the a v e r a g e cranial capacity f o r blacks. Five y e a r s later, in t h e Crania Aegyptiaca, h e a p p e n d e d t h e f o l l o w i n g f o o t n o t e t o his table o f m e a s u r e m e n t s : " I h a v e i n m y possession 7 9 c r a n i a o f N e g r o e s b o r n i n A f r i c a . . . . Of t h e w h o l e n u m b e r , 58 a r e a d u l t . . . a n d g i v e 85 c u b i c i n c h e s f o r t h e a v e r a g e size o f t h e b r a i n " ( 1 8 4 4 , p . 1 1 3 ) . S i n c e M o r t o n h a d c h a n g e d his m e t h o d o f m e a s u r e m e n t f r o m
A M E R I C A N
P O L Y G E N Y
A N D
C R A N I O M E T R Y
97
m u s t a r d seed t o lead shot b e t w e e n 1 8 3 9 a n d 1 8 4 4 , 1 s u s p e c t e d this a l t e r a t i o n a s a c a u s e f o r t h e rising bla ck m e a n . F o r t u n a t e l y , M o r t o n r e m e a s u r e d m o s t o f his skulls p e r s o n a l l y , a n d his v a r i o u s catal o g u e s p r e s e n t t a b u l a t i o n s o f t h e s a m e skulls b y b o t h s e e d a n d shot (see G o u l d , 1 9 7 8 , f o r details). I a s s u m e d that m e a s u r e s b y s e e d w o u l d b e l o w e r . S e e d s a r e light a n d v a r i a b l e i n size, e v e n after s i e v i n g . H e n c e , t h e y d o n o t p a c k well. B y v i g o r o u s s h a k i n g o r p r e s s i n g o f t h e t h u m b a t the f o r a m e n m a g n u m (the h o l e a t t h e b a s e o f a skull), s e e d s c a n b e m a d e t o settle, p r o v i d i n g r o o m f o r m o r e . M e a s u r e s b y s e e d w e r e very variable; M o r t o n reported differences of several cubic inches f o r r e c a l i b r a t i o n s o f t h e s a m e skull. H e e v e n t u a l l y b e c a m e d i s c o u r a g e d , f i r e d his assistants, a n d r e d i d all his m e a s u r e m e n t s p e r s o n ally, with lead shot. R e c a l i b r a t i o n s n e v e r v a r i e d by m o r e t h a n a c u b i c i n c h , a n d w e m a y a c c e p t M o r t o n ' s j u d g m e n t that m e a s u r e s b y shot w e r e objective, a c c u r a t e , a n d r e p e a t a b l e — w h i l e e a r l i e r m e a s u r e s b y seed w e r e h i g h l y subjective a n d erratic. I then calculated the discrepancies between seed and shot by r a c e . S h o t , as I s u s p e c t e d , always y i e l d e d h i g h e r v a l u e s t h a n s e e d . F o r 1 1 1 I n d i a n skulls, m e a s u r e d b y b o t h criteria, shot e x c e e d s s e e d b y a n a v e r a g e o f 2.2 c u b i c i n c h e s . D a t a a r e n o t a s reliable f o r b l a c k s a n d C a u c a s i a n s b e c a u s e M o r t o n d i d n o t specify i n d i v i d u a l skulls f o r t h e s e r a c e s in t h e Crania Americana ( m e a s u r e d by s e e d ) . F o r C a u c a s i a n s , 1 9 identifiable skulls yield a n a v e r a g e d i s c r e p a n c y o f o n l y 1.8 c u b i c i n c h e s f o r shot o v e r s e e d . Y e t 1 8 A f r i c a n skulls, r e m e a s u r e d f r o m t h e s a m p l e r e p o r t e d in Crania Americana, p r o d u c e a m e a n by s h o t of 83.44 c u b i c i n c h e s , a rise of 5.4 c u b i c i n c h e s f r o m the 1 8 3 9 a v e r a g e b y s e e d . I n o t h e r w o r d s , t h e m o r e " i n f e r i o r " a r a c e by M o r t o n ' s a p r i o r i j u d g m e n t , t h e g r e a t e r t h e d i s c r e p a n c y b e t w e e n a subjective m e a s u r e m e n t , easily a n d u n c o n s c i o u s l y f u d g e d , a n d a n objective m e a s u r e u n a f f e c t e d b y p r i o r p r e j u d i c e . T h e d i s c r e p a n c y f o r b l a c k s , I n d i a n s , a n d C a u c a s i a n s i s 5.4, 2.2, a n d 1.8 c u b i c i n c h e s , r e s p e c t i v e l y . Plausible s c e n a r i o s a r e easy t o c o n s t r u c t . M o r t o n , m e a s u r i n g b y s e e d , picks up a t h r e a t e n i n g l y l a r g e black skull, fills it lightly a n d gives it a f e w d e s u l t o r y s h a k e s . N e x t , he takes a distressingly small C a u c a s i a n s k u l l , s h a k e s h a r d , a n d p u s h e s m i g h t i l y a t the f o r a m e n m a g n u m with his t h u m b . I t i s easily d o n e , w i t h o u t c o n s c i o u s motivation; e x p e c t a t i o n is a p o w e r f u l g u i d e to a c t i o n .
T H E
98 Table 2*5
Corrected values for Morton's PEOPLE
Mongolians Modern Caucasians Native A m e r i c a n s Malays Ancient Caucasians Africans The
final
tabulation
M I S M E A S U R E
final
O F
MAN
tabulation
CRANIAL CAPACITY (IN ) 3
87 87 86 85 84 83
of 1849
M o r t o n ' s b u r g e o n i n g c o l l e c t i o n i n c l u d e d 623 skulls w h e n h e p r e s e n t e d his f i n a l t a b u l a t i o n i n 1 8 4 9 — a n o v e r w h e l m i n g affirmat i o n o f t h e r a n k i n g that e v e r y A n g l o - S a x o n e x p e c t e d . T h e Caucasian subsamples suffer f r o m errors a n d distortions. T h e G e r m a n m e a n , r e p o r t e d a t 9 0 i n t h e s u m m a r y , i s 88.4 f r o m i n d i v i d u a l skulls listed i n t h e c a t a l o g u e ; t h e c o r r e c t A n g l o - A m e r i c a n a v e r a g e i s 8 9 ( 8 9 . 1 4 ) , n o t 90. T h e h i g h E n g l i s h m e a n o f 96 i s c o r r e c t , b u t t h e small s a m p l e i s entirely m a l e . * I f w e follow o u r p r o c e d u r e o f c o m p u t i n g a v e r a g e s a m o n g s u b s a m p l e s , t h e six m o d e r n C a u c a s i a n " f a m i l i e s " yield a m e a n o f 8 7 c u b i c i n c h e s . t T h e a n c i e n t C a u c a s i a n a v e r a g e f o r t w o s u b s a m p l e s is 84 c u b i c inches ( T a b l e 2.5). Six C h i n e s e skulls p r o v i d e M o r t o n with a M o n g o l i a n m e a n o f 8 2 , b u t this l o w v a l u e r e c o r d s t w o cases o f selective a m n e s i a : First, • T o demonstrate again how large differences based on stature can be, I report these additional data, recovered from Morton's tabulations, but never calculated or recognized by him: 1) For Inca Peruvians, fifty-three male skulls average 77.5; sixtyone female skulls, 72.1. 2) For Germans, nine male skulls average 92.2; eight females, 84.3. t My original report (Gould, 1978) incorrectly listed the modern Caucasian mean as 85.3. T h e reason for this error is embarrassing, but instructive, for it illustrates, at my expense, the cardinal principle of this book: the social embeddedness of science and the frequent grafting of expectation upon supposed objectivity. Line 7 in Table 2.3 lists the range of Semitic skulls as 84 to 98 cubic inches for Morton's sample of 3. However, my original paper cited a mean of 80—an obvious impossibility if the smallest skull measures 84. I was working from a Xerox of Morton's original chart, and his correct value of 89 is smudged to look like an 80 on my copy. Nonetheless, the range of 84 to 98 is clearly indicated right alongside, and I never saw the inconsistency—presumably because a low value of 80 fit my hopes for a depressed Caucasian mean. T h e 80 therefore "felt" right and I never checked it. I am grateful to Dr. Irving Klotz of Northwestern University for pointing out this error to me.
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M o r t o n e x c l u d e d t h e latest C h i n e s e s p e c i m e n (skull n u m b e r 1 3 3 6 a t 9 8 c u b i c i n c h e s ) , t h o u g h i t m u s t h a v e b e e n i n his collection w h e n h e p u b l i s h e d his s u m m a r y b e c a u s e h e i n c l u d e s m a n y P e r u v i a n skulls with h i g h e r n u m b e r s . S e c o n d l y , a l t h o u g h M o r t o n d e p l o r e d the a b s e n c e o f E s k i m o s f r o m his c o l l e c t i o n ( 1 8 4 9 , p . iv), h e d i d n o t m e n t i o n the t h r e e E s k i m o skulls that h e h a d m e a s u r e d f o r Crania Americana. ( T h e s e b e l o n g e d t o his f r i e n d G e o r g e C o m b e a n d d o n o t a p p e a r i n M o r t o n ' s final c a t a l o g u e . ) M o r t o n n e v e r r e m e a s u r e d t h e s e skulls w i t h s h o t , b u t i f w e a p p l y t h e I n d i a n c o r r e c t i o n o f 2.2 c u b i c i n c h e s t o their s e e d a v e r a g e o f 86.8 w e o b t a i n a m e a n o f 89. T h e s e t w o s a m p l e s ( C h i n e s e with n u m b e r 1 3 3 6 a d d e d , a n d E s k i m o c o n s e r v a t i v e l y c o r r e c t e d ) yield a M o n g o l i a n a v e r a g e of 87 cubic inches. B y 1 8 4 9 M o r t o n ' s I n d i a n m e a n h a d p l u m m e t e d t o 7 9 . B u t this figure is invalid for the same reason as before, t h o u g h now intensified—inequality of numbers a m o n g subsamples. Small-headed ( a n d small-statured) P e r u v i a n s p r o v i d e d 2 3 p e r c e n t o f t h e 1 8 3 9 s a m p l e , b u t t h e i r f r e q u e n c y h a d r i s e n t o n e a r l y h a l f ( 1 5 5 o f 338 skulls) b y 1 8 4 9 . I f w e u s e o u r p r e v i o u s c r i t e r i o n a n d c o m p u t e t h e a v e r a g e o f all s u b s a m p l e s w e i g h t e d e q u a l l y , t h e I n d i a n a v e r a g e i s 86 cubic inches. For the N e g r o average, we should d r o p Morton's australoids b e c a u s e h e w a n t e d t o assess t h e status o f A f r i c a n blacks a n d w e n o l o n g e r a c c e p t a close r e l a t i o n s h i p b e t w e e n t h e t w o g r o u p s — d a r k skin e v o l v e d m o r e t h a n o n c e a m o n g h u m a n g r o u p s . I also d r o p t h e H o t t e n t o t s a m p l e o f 3 . A l l skulls a r e f e m a l e , a n d H o t t e n t o t s a r e v e r y small i n s t a t u r e . N a t i v e a n d A m e r i c a n - b o r n b l a c k s , a m a l g a m a t e d t o a single s a m p l e , yield a n a v e r a g e v a l u e b e t w e e n 8 2 a n d 83, but closer to 83. In short, my correction of Morton's conventional r a n k i n g reveals n o significant d i f f e r e n c e s a m o n g r a c e s f o r M o r t o n ' s o w n d a t a ( T a b l e 2.5). A l l g r o u p s r a n k b e t w e e n 8 3 a n d 8 7 c u b i c i n c h e s , and Caucasians share the pinnacle. If western Europeans choose to seek their s u p e r i o r i t y i n h i g h a v e r a g e s f o r their s u b s a m p l e s ( G e r manics and A n g l o - S a x o n s in the Caucasian tabulations), I point out that s e v e r a l I n d i a n s u b s a m p l e s a r e e q u a l l y h i g h ( t h o u g h M o r t o n a m a l g a m a t e d all N o r t h A m e r i c a n I n d i a n s a n d n e v e r r e p o r t e d a v e r a g e s b y s u b g r o u p ) , a n d that all T e u t o n i c a n d A n g l o - S a x o n a v e r a g e s a r e e i t h e r m i s c a l c u l a t e d o r b i a s e d i n M o r t o n ' s table.
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Conclusions M o r t o n ' s f i n a g l i n g m a y b e o r d e r e d i n t o f o u r g e n e r a l categories: 1. F a v o r a b l e inconsistencies a n d s h i f t i n g criteria: M o r t o n o f t e n chose to include or delete large subsamples in order to match g r o u p a v e r a g e s with p r i o r e x p e c t a t i o n s . H e i n c l u d e d I n c a P e r u v i a n s t o d e c r e a s e t h e I n d i a n a v e r a g e , but d e l e t e d H i n d u s t o raise t h e C a u c a s i a n m e a n . H e also c h o s e t o p r e s e n t o r n o t t o calculate t h e a v e r a g e s o f s u b s a m p l e s i n s t r i k i n g a c c o r d with d e s i r e d results. H e m a d e calculations f o r C a u c a s i a n s t o d e m o n s t r a t e t h e s u p e r i o r i t y o f T e u t o n s and Anglo-Saxons, but never presented data for Indian s u b s a m p l e s with e q u a l l y h i g h a v e r a g e s . 2 . Subjectivity d i r e c t e d t o w a r d p r i o r p r e j u d i c e : M o r t o n ' s m e a s u r e s with s e e d w e r e sufficiently i m p r e c i s e t o p e r m i t a w i d e r a n g e o f i n f l u e n c e b y subjective bias; later m e a s u r e s with s h o t , o n t h e o t h e r h a n d , w e r e r e p e a t a b l e , a n d p r e s u m a b l y objective. I n skulls m e a s u r e d b y b o t h m e t h o d s , v a l u e s f o r shot always e x c e e d v a l u e s for the light, poorly packing seed. B u t degrees of discrepancy m a t c h a p r i o r i a s s u m p t i o n s : an a v e r a g e of 5.4, 2.2, a n d 1.8 c u b i c i n c h e s f o r b l a c k s , I n d i a n s , a n d whites, r e s p e c t i v e l y . I n o t h e r w o r d s , blacks f a r e d p o o r e s t a n d whites best w h e n t h e results c o u l d b e b i a s e d t o w a r d a n e x p e c t e d result. 3. P r o c e d u r a l o m i s s i o n s that s e e m o b v i o u s to u s : M o r t o n was c o n v i n c e d that v a r i a t i o n in skull size r e c o r d e d d i f f e r e n t i a l , i n n a t e m e n t a l ability. H e n e v e r c o n s i d e r e d a l t e r n a t e h y p o t h e s e s , t h o u g h his o w n d a t a a l m o s t c r i e d o u t f o r a d i f f e r e n t i n t e r p r e t a t i o n . M o r t o n n e v e r c o m p u t e d m e a n s b y sex o r s t a t u r e , e v e n w h e n h e r e c o r d e d t h e s e d a t a i n his t a b u l a t i o n s — a s f o r E g y p t i a n m u m m i e s . H a d he c o m p u t e d the effect of stature, he would presumably have r e c o g n i z e d that it e x p l a i n e d all i m p o r t a n t d i f f e r e n c e s in b r a i n size a m o n g his g r o u p s . N e g r o i d s y i e l d e d a l o w e r a v e r a g e t h a n C a u c a sians a m o n g his E g y p t i a n skulls b e c a u s e t h e n e g r o i d s a m p l e p r o b ably c o n t a i n e d a h i g h e r p e r c e n t a g e o f s m a l l e r - s t a t u r e d f e m a l e s , n o t b e c a u s e blacks a r e i n n a t e l y s t u p i d e r . T h e Incas that h e i n c l u d e d i n the I n d i a n s a m p l e a n d t h e H i n d u s that h e e x c l u d e d f r o m t h e C a u c a s i a n s a m p l e b o t h p o s s e s s e d small b r a i n s as a conseq u e n c e o f small b o d y size. M o r t o n u s e d a n a l l - f e m a l e s a m p l e o f t h r e e H o t t e n t o t s t o s u p p o r t t h e stupidity o f b l a c k s , a n d a n all-male s a m p l e o f E n g l i s h m e n t o assert the s u p e r i o r i t y o f w h i t e s .
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4 . Miscalculations a n d c o n v e n i e n t o m i s s i o n s : A l l miscalculations a n d o m i s s i o n s that I h a v e d e t e c t e d a r e in M o r t o n ' s f a v o r . He rounded the negroid Egyptian average d o w n to 79, rather than up t o 80. H e cited a v e r a g e s o f 9 0 f o r G e r m a n s a n d A n g l o - S a x o n s , but t h e c o r r e c t v a l u e s a r e 8 8 a n d 89. H e e x c l u d e d a l a r g e C h i n e s e skull a n d a n E s k i m o s u b s a m p l e f r o m his f i n a l t a b u l a t i o n f o r m o n g o l o i d s , t h u s d e p r e s s i n g their a v e r a g e b e l o w t h e C a u c a s i a n v a l u e . Y e t t h r o u g h all this j u g g l i n g , I d e t e c t n o sign o f f r a u d o r c o n scious m a n i p u l a t i o n . M o r t o n m a d e n o a t t e m p t t o c o v e r his tracks a n d I m u s t p r e s u m e that h e was u n a w a r e h e h a d left t h e m . H e e x p l a i n e d all his p r o c e d u r e s a n d p u b l i s h e d all his raw d a t a . All I c a n d i s c e r n is an a p r i o r i c o n v i c t i o n a b o u t racial r a n k i n g so p o w e r f u l that it d i r e c t e d his tabulations a l o n g p r e e s t a b l i s h e d lines. Y e t M o r t o n was w i d e l y h a i l e d a s t h e objectivist o f his a g e , t h e m a n w h o w o u l d r e s c u e A m e r i c a n science f r o m t h e m i r e o f u n s u p p o r t e d speculation.
The American school and slavery The toward version gers . . .
l e a d i n g A m e r i c a n p o l y g e n i s t s d i f f e r e d i n their a t t i t u d e slavery. M o s t w e r e N o r t h e r n e r s , a n d most f a v o r e d s o m e o f S q u i e r ' s q u i p : "[I h a v e a ] p r e c i o u s p o o r o p i n i o n o f niga still p o o r e r o n e o f s l a v e r y " (in S t a n t o n , i 9 6 0 , p . 193).
B u t t h e identification of blacks as a s e p a r a t e a n d u n e q u a l species h a d o b v i o u s a p p e a l as an a r g u m e n t f o r slavery. Josiah N o t t , a leading polygenist, e n c o u n t e r e d particularly receptive audiences in the S o u t h f o r his " l e c t u r e s o n n i g g e r o l o g y " (as h e called t h e m ) . M o r t o n ' s Crania Aegyptiaca r e c e i v e d a w a r m w e l c o m e in the S o u t h (in S t a n t o n , i 9 6 0 , p p . 5 2 - 5 3 ) . O n e s u p p o r t e r o f slavery w r o t e that the S o u t h n e e d n o l o n g e r b e "so m u c h f r i g h t e n e d " b y "voices o f E u r o p e o r o f N o r t h e r n A m e r i c a " i n d e f e n d i n g its " p e c u l i a r institutions." W h e n M o r t o n d i e d , the S o u t h ' s l e a d i n g m e d i c a l j o u r n a l p r o c l a i m e d (R. W. G i b b s , Charleston Medical Journal, 1 8 5 1 , q u o t e d i n S t a n t o n , i 9 6 0 , p . 144): " W e o f the S o u t h s h o u l d c o n s i d e r h i m a s o u r b e n e f a c t o r , f o r a i d i n g m o s t materially i n g i v i n g t o the n e g r o his t r u e position as an i n f e r i o r r a c e . " Nonetheless, the polygenist a r g u m e n t did not occupy a primary place i n t h e i d e o l o g y o f slavery i n m i d - n i n e t e e n t h - c e n t u r y A m e r i c a — a n d f o r a g o o d r e a s o n . F o r m o s t S o u t h e r n e r s , this e x c e l l e n t a r g u m e n t e n t a i l e d t o o h i g h a p r i c e . T h e p o l y g e n i s t s h a d railed
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a g a i n s t i d e o l o g u e s a s b a r r i e r s t o t h e i r p u r e s e a r c h f o r t r u t h , but their targets w e r e p a r s o n s m o r e o f t e n than abolitionists. T h e i r t h e o r y , i n a s s e r t i n g a plurality o f h u m a n c r e a t i o n s , c o n t r a d i c t e d t h e d o c t r i n e o f a single A d a m a n d c o n t r a v e n e d t h e literal t r u t h o f s c r i p t u r e . A l t h o u g h t h e l e a d i n g p o l y g e n i s t s h e l d a diversity o f relig i o u s a t t i t u d e s , n o n e w e r e atheists. M o r t o n a n d A g a s s i z w e r e c o n v e n t i o n a l l y d e v o u t , b u t t h e y d i d b e l i e v e that b o t h s c i e n c e a n d r e l i g i o n w o u l d b e a i d e d i f u n t r a i n e d p a r s o n s k e p t t h e i r noses o u t o f scientific issues a n d s t o p p e d p r o f e r r i n g t h e B i b l e a s a d o c u m e n t to settle d e b a t e s in n a t u r a l history. Josiah N o t t stated his g o a l in a forceful way (Agassiz and M o r t o n would not have put it so baldly): ". . . to cut loose t h e n a t u r a l history of m a n k i n d f r o m t h e B i b l e , a n d t o p l a c e e a c h u p o n its o w n f o u n d a t i o n , w h e r e i t m a y r e m a i n w i t h o u t collision o r m o l e s t a t i o n " (in S t a n t o n , ig6o, p . 1 1 9 ) . T h e p o l y g e n i s t s f o r c e d d e f e n d e r s o f slavery i n t o a q u a n d a r y : S h o u l d t h e y a c c e p t a s t r o n g a r g u m e n t f r o m science a t t h e cost o f l i m i t i n g religion's s p h e r e ? I n r e s o l v i n g this d i l e m m a , t h e B i b l e usually w o n . A f t e r all, s c r i p t u r a l a r g u m e n t s f o r s u p p o r t i n g slavery w e r e n o t w a n t i n g . D e g e n e r a t i o n o f blacks u n d e r t h e c u r s e o f H a m was a n o l d a n d e m i n e n t l y f u n c t i o n a l s t a n d b y . M o r e o v e r , p o l y g e n y was n o t t h e o n l y quasi-scientific d e f e n s e available. J o h n B a c h m a n , f o r e x a m p l e , was a S o u t h C a r o l i n a p a r s o n a n d p r o m i n e n t naturalist. A s a c o m m i t t e d m o n o g e n i s t , h e s p e n t a g o o d p a r t o f his scientific c a r e e r a t t e m p t i n g t o r e f u t e p o l y g e n y . H e also u s e d m o n o g e n i s t p r i n c i p l e s t o d e f e n d slavery: In intellectual power the African is an inferior variety of our species. His whole history affords evidence that he is incapable of self-government. O u r child that we lead by the hand, and who looks to us for protection and support is still of our own blood notwithstanding his weakness and ignorance (in Stanton, i960, p. 63). A m o n g n o n p o l y g e n i s t , "scientific" d e f e n s e s o f slavery, n o a r g u ments ever matched in absurdity the doctrines of S. A. Cartwright, a p r o m i n e n t S o u t h e r n p h y s i c i a n . (I do n o t cite these as typical a n d I d o u b t that m a n y i n t e l l i g e n t S o u t h e r n e r s p a i d t h e m m u c h attention; I m e r e l y wish to illustrate an e x t r e m e within t h e r a n g e of "scientific" a r g u m e n t . ) C a r t w r i g h t t r a c e d the p r o b l e m s o f black p e o p l e t o i n a d e q u a t e d e c a r b o n i z a t i o n o f b l o o d i n t h e l u n g s (insufficient r e m o v a l of c a r b o n d i o x i d e ) : " I t is the d e f e c t i v e . . . a t m o spherization of the blood, conjoined with a deficiency of cerebral
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m a t t e r in t h e c r a n i u m . . . that is t h e t r u e c a u s e of that d e b a s e m e n t o f m i n d , w h i c h has r e n d e r e d t h e p e o p l e o f A f r i c a u n a b l e t o t a k e c a r e o f t h e m s e l v e s " ( f r o m C h o r o v e r , 1 9 7 9 ; all q u o t e s f r o m C a r t w r i g h t a r e t a k e n f r o m p a p e r s h e p r e s e n t e d t o the 1 8 5 1 m e e t i n g o f the L o u i s i a n a M e d i c a l Association.) C a r t w r i g h t e v e n h a d a n a m e f o r it—dysesthesia, a disease of i n a d e q u a t e b r e a t h i n g . H e d e s c r i b e d its s y m p t o m s i n slaves: " W h e n d r i v e n t o l a b o r . . . h e p e r f o r m s t h e task a s s i g n e d t o h i m i n a h e a d l o n g a n d careless m a n n e r , t r e a d i n g d o w n with his feet o r c u t t i n g with his h o e t h e plants he is p u t to c u l t i v a t e — b r e a k i n g the tools he works with, a n d spoiling everything he touches." Ignorant N o r t h e r n e r s a t t r i b u t e d this b e h a v i o r t o " t h e d e b a s i n g i n f l u e n c e o f slave r y , " b u t C a r t w r i g h t r e c o g n i z e d it as t h e e x p r e s s i o n of a t r u e d i s e a s e . H e i d e n t i f i e d insensibility t o p a i n a s a n o t h e r s y m p t o m : " W h e n t h e u n f o r t u n a t e i n d i v i d u a l i s subjected t o p u n i s h m e n t , h e n e i t h e r feels p a i n of a n y c o n s e q u e n c e . . . [nor] a n y u n u s u a l r e s e n t m e n t m o r e t h a n s t u p i d sulkiness. In s o m e cases . . . t h e r e a p p e a r s t o b e a n a l m o s t total loss o f f e e l i n g . " C a r t w r i g h t p r o p o s e d t h e following cure: T h e liver, skin and kidneys should be stimulated to activity . . . to assist in decarbonizing the blood. T h e best means to stimulate the skin is, first, to have the patient well washed with warm water and soap; then to anoint it all over with oil, and to slap the oil in with a broad leather strap; then to put the patient to some hard kind of work in the open air and sunshine that will compel him to expand his lungs, as c h o p p i n g wood, splitting rails, or sawing with the crosscut or whip saw. C a r t w r i g h t d i d n o t e n d his c a t a l o g u e o f diseases with d y s esthesia. H e w o n d e r e d w h y slaves o f t e n tried t o flee, a n d identified t h e c a u s e as a m e n t a l disease called drapetomania, or t h e i n s a n e desire to run away. " L i k e children, they are constrained by unaltera b l e p h y s i o l o g i c a l laws, t o l o v e t h o s e i n a u t h o r i t y o v e r t h e m . H e n c e , f r o m a law o f his n a t u r e , t h e n e g r o c a n n o m o r e h e l p lovi n g a k i n d m a s t e r , t h a n t h e child c a n h e l p l o v i n g h e r that gives it suck." F o r slaves afflicted with d r a p e t o m a n i a , C a r t w r i g h t p r o posed a behavioral cure: owners should avoid both extreme permissiveness a n d c r u e l t y : " T h e y h a v e o n l y t o b e k e p t i n that state, a n d t r e a t e d like c h i l d r e n , t o p r e v e n t a n d c u r e t h e m f r o m r u n n i n g away." T h e d e f e n d e r s o f slavery d i d n o t n e e d p o l y g e n y . R e l i g i o n still
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s t o o d a b o v e science as a p r i m a r y s o u r c e f o r t h e rationalization of social o r d e r . B u t t h e A m e r i c a n d e b a t e o n p o l y g e n y m a y r e p r e s e n t t h e last t i m e that a r g u m e n t s in the scientific m o d e d i d n o t f o r m a f i r s t line o f d e f e n s e f o r t h e status q u o a n d the u n a l t e r a b l e quality o f h u m a n d i f f e r e n c e s . T h e Civil W a r lay j u s t a r o u n d t h e c o r n e r , b u t so d i d 1 8 5 9 a n d D a r w i n ' s Origin of Species. S u b s e q u e n t a r g u m e n t s f o r slavery, c o l o n i a l i s m , racial d i f f e r e n c e s , class s t r u c t u r e s , a n d sex roles w o u l d g o f o r t h p r i m a r i l y u n d e r t h e b a n n e r o f science.
THREE
Measuring Heads Paul Broca and the Heyday of Craniology No rational man, cognisant of the facts, believes that the average negro is the equal, still less the superior, of the average white man. And, if this be true, it is simply incredible that, when all his disabilities are removed, and our prognathous relative has a fair field and no favor, as well as no oppressor, he will be able to compete successfully with his bigger-brained and smaller-jawed rival, in a contest which is to be carried on by thoughts and not by bites. —T. H . HUXLEY
The allure of numbers Introduction E v o l u t i o n a r y t h e o r y s w e p t a w a y t h e creationist r u g that h a d supported the intense debate between monogenists and polygenists, b u t it satisfied b o t h sides by p r e s e n t i n g an e v e n b e t t e r r a t i o n a l e f o r their s h a r e d r a c i s m . T h e m o n o g e n i s t s c o n t i n u e d t o c o n s t r u c t l i n e a r h i e r a r c h i e s o f races a c c o r d i n g t o m e n t a l a n d m o r a l w o r t h ; t h e p o l y g e n i s t s n o w a d m i t t e d a c o m m o n a n c e s t r y in t h e p r e h i s t o r i c mists, b u t a f f i r m e d that races h a d b e e n s e p a r a t e l o n g e n o u g h t o e v o l v e m a j o r i n h e r i t e d d i f f e r e n c e s i n talent a n d i n t e l l i g e n c e . A s historian o f a n t h r o p o l o g y G e o r g e S t o c k i n g writes ( 1 9 7 3 , p- l x x ) : " T h e r e s u l t i n g intellectual tensions w e r e r e s o l v e d a f t e r 1 8 5 9 b y a c o m p r e h e n s i v e e v o l u t i o n i s m w h i c h was a t o n c e m o n o g e n i s t a n d racist, w h i c h a f f i r m e d h u m a n u n i t y e v e n a s i t r e l e g a t e d t h e d a r k s k i n n e d s a v a g e to a status v e r y n e a r t h e a p e . " T h e s e c o n d h a l f o f the n i n e t e e n t h c e n t u r y was n o t o n l y t h e e r a o f e v o l u t i o n i n a n t h r o p o l o g y . A n o t h e r t r e n d , e q u a l l y irresistible,
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swept t h r o u g h the h u m a n sciences—the allure of n u m b e r s , the faith that r i g o r o u s m e a s u r e m e n t c o u l d g u a r a n t e e i r r e f u t a b l e p r e c i s i o n , a n d m i g h t m a r k the transition b e t w e e n subjective speculation a n d a t r u e science as w o r t h y as N e w t o n i a n p h y s i c s . E v o l u t i o n a n d quantification f o r m e d an u n h o l y alliance; in a s e n s e , their u n i o n f o r g e d t h e f i r s t p o w e r f u l t h e o r y o f "scientific" r a c i s m — i f w e define "science" as m a n y do w h o misunderstand it most profoundly: as any claim apparently backed by copious n u m b e r s . Anthropologists had presented numbers before Darwin, but the c r u d i t y of M o r t o n ' s analysis ( C h a p t e r 2) belies a n y claim to r i g o r . By the end of Darwin's century, standardized procedures and a d e v e l o p i n g b o d y o f statistical k n o w l e d g e h a d g e n e r a t e d a d e l u g e of m o r e truthworthy numerical data. T h i s c h a p t e r i s t h e story o f n u m b e r s o n c e r e g a r d e d a s s u r p a s s i n g all o t h e r s i n i m p o r t a n c e — t h e d a t a o f c r a n i o m e t r y , o r m e a s u r e m e n t o f t h e skull a n d its c o n t e n t s . T h e l e a d e r s o f c r a n i o m e t r y w e r e n o t c o n s c i o u s political i d e o l o g u e s . T h e y r e g a r d e d t h e m s e l v e s a s s e r v a n t s o f their n u m b e r s , apostles o f objectivity. A n d t h e y c o n f i r m e d all t h e c o m m o n p r e j u d i c e s o f c o m f o r t a b l e w h i t e m a l e s — that blacks, w o m e n , a n d p o o r p e o p l e o c c u p y t h e i r s u b o r d i n a t e roles b y t h e h a r s h dictates o f n a t u r e . Science is rooted in creative interpretation. N u m b e r s suggest, c o n s t r a i n , a n d r e f u t e ; they d o n o t , b y t h e m s e l v e s , specify t h e c o n t e n t o f scientific t h e o r i e s . T h e o r i e s a r e built u p o n the i n t e r p r e t a tion o f n u m b e r s , a n d i n t e r p r e t e r s a r e o f t e n t r a p p e d b y t h e i r o w n r h e t o r i c . T h e y b e l i e v e i n their o w n objectivity, a n d fail t o d i s c e r n t h e p r e j u d i c e that leads t h e m t o o n e i n t e r p r e t a t i o n a m o n g m a n y c o n s i s t e n t with their n u m b e r s . Paul B r o c a i s n o w d i s t a n t e n o u g h . W e c a n s t a n d b a c k a n d s h o w that h e u s e d n u m b e r s n o t t o g e n e r a t e n e w t h e o r i e s b u t to illustrate a p r i o r i c o n c l u s i o n s . Shall we b e l i e v e that science i s d i f f e r e n t t o d a y simply b e c a u s e w e s h a r e t h e c u l t u r a l c o n t e x t o f m o s t p r a c t i c i n g scientists a n d m i s t a k e its i n f l u e n c e f o r objective t r u t h ? B r o c a was a n e x e m p l a r y scientist; n o o n e has e v e r surpassed him in meticulous care and accuracy of measurement. B y w h a t r i g h t , o t h e r t h a n o u r o w n biases, c a n w e identify his p r e j u d i c e a n d h o l d that science n o w o p e r a t e s i n d e p e n d e n t l y o f c u l t u r e a n d class?
M E A S U R I N G
Francis
H E A D S
Galton—apostle
of
quantification
N o m a n e x p r e s s e d his era's fascination with n u m b e r s s o well a s D a r w i n ' s c e l e b r a t e d c o u s i n , Francis G a l t o n ( 1 8 2 2 - 1 9 1 1 ) . I n d e p e n d e n t l y w e a l t h y , G a l t o n h a d t h e r a r e f r e e d o m t o d e v o t e his c o n s i d e r a b l e e n e r g y a n d i n t e l l i g e n c e t o his f a v o r i t e subject o f m e a s u r e m e n t . G a l t o n , a p i o n e e r o f m o d e r n statistics, b e l i e v e d that, with sufficient l a b o r a n d i n g e n u i t y , a n y t h i n g m i g h t b e m e a s u r e d , a n d that m e a s u r e m e n t i s t h e p r i m a r y c r i t e r i o n o f a scientific s t u d y . H e e v e n p r o p o s e d a n d b e g a n t o c a r r y out a statistical i n q u i r y i n t o t h e efficacy o f p r a y e r ! G a l t o n c o i n e d t h e t e r m " e u g e n i c s " i n 1883 a n d a d v o c a t e d t h e r e g u l a t i o n o f m a r r i a g e a n d f a m i l y size a c c o r d i n g to hereditary e n d o w m e n t of parents. G a l t o n b a c k e d his faith in m e a s u r e m e n t with all t h e i n g e n u i t y o f his idiosyncratic m e t h o d s . H e s o u g h t , f o r e x a m p l e , t o c o n s t r u c t a " b e a u t y m a p " o f t h e British Isles i n t h e f o l l o w i n g m a n n e r ( 1 9 0 9 , PP-
S 5-S )1
lG
Whenever I have occasion to classify the persons I meet into three classes, "good, m e d i u m , bad," I use a needle m o u n t e d as a pricker, wherewith to prick holes, unseen, in a piece of paper, torn rudely into a cross with a long leg. I use its upper e n d for "good," the cross arm for "medium," the lower e n d for "bad." T h e prick holes keep distinct, and are easily read off at leisure. T h e object, place, and date are written on the paper. I used this plan for my beauty data, classifying the girls I passed in streets or elsewhere as attractive, indifferent, or repellent. Of course this was a purely individual estimate, but it was consistent, j u d g i n g from the conformity of different attempts in the same population. I f o u n d L o n d o n to rank highest for beauty; Aberdeen lowest. W i t h g o o d h u m o r , h e s u g g e s t e d the f o l l o w i n g m e t h o d f o r q u a n t i f y i n g b o r e d o m ( 1 9 0 9 , p . 278): Many mental processes admit of being roughly measured. For instance, the degree to which people are bored, by counting the number of their fidgets. I not infrequently tried this method at the meetings of the Royal Geographical Society, for even there dull memoirs are occasionally read. • • . T h e use of a watch attracts attention, so I reckon time by the number of my breathings, of which there are 15 in a minute. T h e y are not counted mentally, but are punctuated by pressing with 15 fingers successively. T h e counting is reserved for the fidgets. T h e s e observations should be confined to persons of middle age. Children are rarely still, while elderly philosophers will sometimes remain rigid for minutes altogether.
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Q u a n t i f i c a t i o n was G a l t o n ' s g o d , a n d a s t r o n g b e l i e f in t h e inheritance of nearly everything he could measure stood at the r i g h t h a n d . G a l t o n b e l i e v e d that e v e n t h e m o s t socially e m b e d d e d behaviors had strong innate c o m p o n e n t s : " A s many m e m b e r s of o u r H o u s e of Lords marry the daughters of millionaires," he w r o t e ( 1 9 0 9 , p p . 3 1 4 - 3 1 5 ) . "it i s q u i t e c o n c e i v a b l e that o u r S e n a t e m a y i n time b e c o m e c h a r a c t e r i z e d b y a m o r e t h a n c o m m o n s h a r e o f s h r e w d business capacity, possibly also b y a l o w e r s t a n d a r d o f commercial probity than at present." Constantly seeking new a n d i n g e n i o u s w a y s t o m e a s u r e t h e relative w o r t h o f p e o p l e s , h e p r o p o s e d t o r a t e blacks a n d whites b y s t u d y i n g t h e history o f e n c o u n ters b e t w e e n black c h i e f s a n d w h i t e travelers ( 1 8 8 4 , p p . 3 3 8 - 3 3 9 ) : T h e latter, no doubt, bring with them the knowledge current in civilized lands, but that is an advantage of less importance than we are apt to suppose. A native chief has as g o o d an education in the art of ruling m e n , as can be desired; he is continually exercised in personal government, and usually maintains his place by the ascendancy of his character shown every day over his subjects and rivals. A traveller in wild countries also fills, to a certain degree, the position of a c o m m a n d e r , and has to confront native chiefs at every inhabited place. T h e result is familiar e n o u g h — t h e white traveller almost invariably holds his own in their presence. It is seldom that we hear of a white traveller meeting with a black chief w h o m he feels to be the better man. G a l t o n ' s m a j o r w o r k o n t h e i n h e r i t a n c e o f i n t e l l i g e n c e (Hereditary Genius, 1869) i n c l u d e d a n t h r o p o m e t r y a m o n g its criteria, b u t his interest i n m e a s u r i n g skulls a n d b o d i e s p e a k e d later w h e n h e established a l a b o r a t o r y at t h e I n t e r n a t i o n a l E x p o s i t i o n of 1884. T h e r e , f o r t h r e e p e n c e , p e o p l e m o v e d t h r o u g h his a s s e m b l y line o f tests a n d m e a s u r e s , a n d r e c e i v e d his a s s e s s m e n t a t t h e e n d . A f t e r t h e E x p o s i t i o n , he m a i n t a i n e d t h e lab f o r six y e a r s at a L o n d o n m u s e u m . T h e l a b o r a t o r y b e c a m e f a m o u s a n d a t t r a c t e d m a n y notables, including Gladstone: Mr. Gladstone was amusingly insistent about the size of his head, saying that hatters often told him that he had an Aberdeenshire head—"a fact which you may be sure I do not forget to tell my Scotch constituents." It was a beautifully shaped head, though rather low, but after all it was not so very large in circumference (1909, pp. 249-250). Lest this b e m i s t a k e n f o r t h e h a r m l e s s m u s i n g s o f s o m e d o t t y V i c t o r i a n e c c e n t r i c , I p o i n t o u t that Sir F r a n c i s was t a k e n q u i t e
M E A S U R I N G
H E A D S
seriously a s a l e a d i n g intellect o f his t i m e . T h e A m e r i c a n h e r e d i t a r ian L e w i s T e r m a n , t h e m a n m o s t r e s p o n s i b l e f o r instituting I Q tests i n A m e r i c a , r e t r o s p e c t i v e l y c a l c u l a t e d G a l t o n ' s I Q a t a b o v e 200, b u t a c c o r d e d o n l y 1 3 5 t o D a r w i n a n d a m e r e 1 0 0 - 1 1 0 t o C o p e r n i c u s (see p p . 2 1 3 — 2 1 8 o n this l u d i c r o u s i n c i d e n t i n t h e history o f m e n t a l testing). D a r w i n , w h o a p p r o a c h e d h e r e d i t a r i a n a r g u m e n t s with s t r o n g s u s p i c i o n , w r o t e a f t e r r e a d i n g Hereditary Genius: " Y o u have m a d e a convert of an o p p o n e n t in o n e sense, for I h a v e a l w a y s m a i n t a i n e d that, e x c e p t i n g f o o l s , m e n d i d n o t d i f f e r m u c h in intellect, o n l y in zeal a n d h a r d w o r k " (in G a l t o n , 1909, p. 290). G a l t o n r e s p o n d e d : " T h e r e j o i n d e r that m i g h t b e m a d e t o his r e m a r k a b o u t h a r d w o r k , i s that c h a r a c t e r , i n c l u d i n g t h e a p t i t u d e f o r w o r k , is h e r i t a b l e like e v e r y o t h e r f a c u l t y . " A curtain-raiser with a moral: numbers do not guarantee truth In 1906, a V i r g i n i a p h y s i c i a n , R o b e r t B e n n e t t B e a n , p u b l i s h e d a l o n g , technical article c o m p a r i n g t h e b r a i n s o f A m e r i c a n blacks a n d whites. W i t h a k i n d o f n e u r o l o g i c a l g r e e n t h u m b , h e f o u n d m e a n i n g f u l d i f f e r e n c e s w h e r e v e r h e l o o k e d — m e a n i n g f u l , that is, i n his f a v o r e d s e n s e o f e x p r e s s i n g black i n f e r i o r i t y i n h a r d n u m b e r s . B e a n t o o k special p r i d e in his data on t h e c o r p u s c a l l o s u m , a s t r u c t u r e w i t h i n t h e b r a i n that c o n t a i n s f i b e r s c o n n e c t i n g t h e r i g h t a n d left h e m i s p h e r e s . F o l l o w i n g a c a r d i n a l t e n e t o f c r a n i o m e t r y , that h i g h e r m e n t a l f u n c t i o n s r e s i d e i n t h e f r o n t o f t h e b r a i n a n d s e n s o r i m o t o r capacities t o w a r d t h e r e a r , B e a n r e a s o n e d that h e m i g h t r a n k r a c e s b y t h e relative sizes o f parts within t h e c o r p u s callosum. So he measured the length of the g e n u , the front part of t h e c o r p u s c a l l o s u m , a n d c o m p a r e d i t with the l e n g t h o f t h e splen i u m , the b a c k p a r t . H e p l o t t e d g e n u vs. s p l e n i u m (Fig. 3.1) a n d o b t a i n e d , f o r a r e s p e c t a b l y l a r g e s a m p l e , virtually c o m p l e t e s e p a ration b e t w e e n black a n d w h i t e b r a i n s . W h i t e s h a v e a relatively l a r g e g e n u , h e n c e m o r e b r a i n u p f r o n t i n the seat o f i n t e l l i g e n c e . All t h e m o r e r e m a r k a b l e , B e a n e x c l a i m e d ( 1 9 0 6 , p . 390) b e c a u s e the g e n u c o n t a i n s f i b e r s b o t h f o r o l f a c t i o n a n d f o r i n t e l l i g e n c e ! B e a n c o n t i n u e d : W e all k n o w that blacks h a v e a k e e n e r s e n s e o f smell t h a n w h i t e s ; h e n c e w e m i g h t h a v e e x p e c t e d l a r g e r g e n u s i n blacks i f i n t e l l i g e n c e d i d not d i f f e r substantially b e t w e e n r a c e s . Y e t black g e n u s a r e s m a l l e r d e s p i t e their o l f a c t o r y p r e d o m i n a n c e ; h e n c e , blacks m u s t really s u f f e r f r o m a p a u c i t y o f i n t e l l i g e n c e .
3*1 Bean's plot of the genu on the y-axis vs. the spienium on the x-axis White circles are, unsurprisingly, for white brains; black squares for black brains. Whites seem to have a larger genu, hence more up front, and presumably more intelligence.
MEASURING
HEADS
III
M o r e o v e r , B e a n did not neglect to push the c o r r e s p o n d i n g conclusion f o r s e x e s . W i t h i n e a c h r a c e , w o m e n h a v e relatively s m a l l e r g e n u s than m e n . B e a n t h e n c o n t i n u e d his d i s c o u r s e o n t h e relatively g r e a t e r size o f f r o n t a l vs. p a r i e t a l a n d occipital (side a n d back) p a r t s o f t h e b r a i n i n w h i t e s . I n t h e relative size o f t h e i r f r o n t a l a r e a s , h e p r o c l a i m e d , b l a c k s a r e i n t e r m e d i a t e b e t w e e n " m a n [sic] a n d t h e o u r a n g - o u t a n g " ( 1 9 0 6 , p . 380). T h r o u g h o u t this l o n g m o n o g r a p h , o n e c o m m o n m e a s u r e i s c o n s p i c u o u s b y its a b s e n c e : B e a n says n o t h i n g a b o u t t h e size o f t h e b r a i n itself, t h e f a v o r e d c r i t e r i o n o f classical c r a n i o m e t r y . T h e r e a s o n f o r this n e g l e c t lies b u r i e d i n a n a d d e n d u m : black a n d w h i t e b r a i n s d i d n o t d i f f e r i n o v e r a l l size. B e a n t e m p o r i z e d : " S o m a n y f a c t o r s e n t e r i n t o b r a i n w e i g h t that it is q u e s t i o n a b l e w h e t h e r disc u s s i o n o f t h e subject i s p r o f i t a b l e h e r e . " Still, h e f o u n d a w a y o u t . His brains c a m e f r o m u n c l a i m e d bodies given to medical schools. W e all k n o w that blacks h a v e less r e s p e c t f o r t h e i r d e a d t h a n w h i t e s . O n l y the l o w e s t classes o f w h i t e s — p r o s t i t u t e s a n d t h e d e p r a v e d — would be found a m o n g abandoned bodies, "while a m o n g Negroes i t i s k n o w n that e v e n t h e b e t t e r classes n e g l e c t t h e i r d e a d . " T h u s , even an absence of m e a s u r e d difference m i g h t indicate white superiority, f o r t h e d a t a " d o p e r h a p s s h o w that t h e l o w class C a u c a s i a n has a l a r g e r b r a i n t h a n a b e t t e r class N e g r o " ( 1 9 0 6 , p. 409). Bean's general conclusion, expressed in a summary p a r a g r a p h before the troublesome a d d e n d u m , proclaimed a c o m m o n prejudice as the conclusion of science: T h e N e g r o is primarily affectionate, immensely emotional, then sensual and u n d e r stimulation passionate. T h e r e is love of ostentation, and capacity for melodious articulation; there is u n d e v e l o p e d artistic power and taste—Negroes make g o o d artisans, handicraftsmen—and there is instability of character incident to lack of self-control, especially in connection with the sexual relation; and there is lack of orientation, or recognition of position and condition of self and environment, evidenced by a peculiar bumptiousness, so called, that is particularly noticeable. O n e would naturally expect some such character for the N e g r o , because the whole posterior part of the brain is large, and the whole anterior portion is small. B e a n d i d n o t c o n f i n e his o p i n i o n s t o t e c h n i c a l j o u r n a l s . H e p u b lished t w o articles i n p o p u l a r m a g a z i n e s d u r i n g 1 9 0 6 , a n d a t t r a c t e d
112
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sufficient a t t e n t i o n to b e c o m e t h e subject of an e d i t o r i a l in American Medicine f o r A p r i l 1 9 0 7 (cited i n C h a s e , 1 9 7 7 , p . 1 7 9 ) . B e a n h a d p r o v i d e d , t h e e d i t o r i a l p r o c l a i m e d , " t h e a n a t o m i c a l basis f o r the c o m p l e t e f a i l u r e o f t h e n e g r o schools t o i m p a r t t h e h i g h e r studi e s — t h e brain cannot c o m p r e h e n d them any m o r e than a horse c a n u n d e r s t a n d t h e r u l e of t h r e e . . . . L e a d e r s in all political parties n o w a c k n o w l e d g e t h e e r r o r o f h u m a n equality. . . . I t m a y b e practicable t o rectify the e r r o r a n d r e m o v e a m e n a c e t o o u r p r o s p e r i t y — a large electorate without brains." But Franklin P. Mall, Bean's m e n t o r at Johns H o p k i n s , became s u s p i c i o u s : B e a n ' s d a t a w e r e too g o o d . H e r e p e a t e d B e a n ' s w o r k , b u t with a n i m p o r t a n t d i f f e r e n c e i n p r o c e d u r e — h e m a d e s u r e that h e d i d n o t k n o w w h i c h b r a i n s w e r e f r o m blacks a n d w h i c h f r o m whites until after he h a d m e a s u r e d t h e m (Mall, 1909). F o r a s a m p l e o f 106 b r a i n s , u s i n g B e a n ' s m e t h o d o f m e a s u r e m e n t , h e f o u n d n o d i f f e r e n c e b e t w e e n whites a n d blacks i n the relative sizes o f g e n u a n d s p l e n i u m (Fig. 3.2). T h i s s a m p l e i n c l u d e d 1 8 b r a i n s f r o m B e a n ' s o r i g i n a l s a m p l e , 1 0 f r o m w h i t e s , 8 f r o m blacks. B e a n ' s m e a s u r e of t h e g e n u was l a r g e r t h a n Mall's f o r 7 w h i t e s , but f o r o n l y a single black. B e a n ' s m e a s u r e o f t h e s p l e n i u m was l a r g e r t h a n Mall's f o r 7 of t h e 8 blacks. I use this small tale of z e a l o t r y as a c u r t a i n - r a i s e r b e c a u s e it illustrates s o well the m a j o r c o n t e n t i o n s o f this c h a p t e r a n d b o o k : 1. Scientific racists a n d sexists o f t e n c o n f i n e t h e i r label of inferiority to a single d i s a d v a n t a g e d g r o u p ; but r a c e , s e x , a n d class go t o g e t h e r , a n d e a c h acts a s a s u r r o g a t e f o r t h e o t h e r s . I n d i v i d u a l studies m a y b e limited i n s c o p e , but t h e g e n e r a l p h i l o s o p h y o f biological d e t e r m i n i s m p e r v a d e s — h i e r a r c h i e s o f a d v a n t a g e a n d disa d v a n t a g e follow t h e dictates o f n a t u r e ; stratification reflects b i o l o g y . B e a n s t u d i e d r a c e s , b u t h e e x t e n d e d his m o s t i m p o r t a n t c o n c l u s i o n t o w o m e n , a n d also i n v o k e d d i f f e r e n c e s o f social class t o a r g u e t h a t e q u a l i t y o f size b e t w e e n black a n d w h i t e b r a i n s really reflects t h e i n f e r i o r i t y o f blacks. 2 . P r i o r p r e j u d i c e , n o t c o p i o u s n u m e r i c a l d o c u m e n t a t i o n , dictates c o n c l u s i o n s . W e c a n scarcely d o u b t that B e a n ' s s t a t e m e n t a b o u t black b u m p t i o u s n e s s reflected a p r i o r b e l i e f that he set o u t t o objectify, n o t a n i n d u c t i o n f r o m d a t a a b o u t f r o n t s a n d b a c k s o f b r a i n s . A n d t h e special p l e a d i n g that y i e l d e d b l a c k i n f e r i o r i t y f r o m equality of b r a i n size is l u d i c r o u s o u t s i d e a s h a r e d c o n t e x t of a p r i o r i b e l i e f in the i n f e r i o r i t y of blacks.
J * 2 Mall's plot of g e n u vs. splenium. Mall measured the brains without knowing whether they came from whites or blacks. He found no difference between the races. T h e line represents Bean's separation between h i t e s and blacks. w
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3. N u m b e r s and graphs do not gain authority from increasing p r e c i s i o n o f m e a s u r e m e n t , s a m p l e size, o r c o m p l e x i t y i n m a n i p u lation. Basic e x p e r i m e n t a l d e s i g n s m a y b e flawed a n d n o t subject t o correction by e x t e n d e d repetition. Prior c o m m i t m e n t to one a m o n g m a n y p o t e n t i a l c o n c l u s i o n s o f t e n g u a r a n t e e s a s e r i o u s flaw in design. 4. C r a n i o m e t r y w a s n o t j u s t a p l a y t h i n g of a c a d e m i c i a n s , a subject c o n f i n e d t o t e c h n i c a l j o u r n a l s . C o n c l u s i o n s f l o o d e d t h e p o p u l a r p r e s s . O n c e e n t r e n c h e d , t h e y o f t e n e m b a r k e d o n a life of their o w n , endlessly copied f r o m secondary source to secondary s o u r c e , r e f r a c t o r y t o d i s p r o o f b e c a u s e n o o n e e x a m i n e d t h e fragility o f p r i m a r y d o c u m e n t a t i o n . I n this case, Mall n i p p e d a d o g m a in the b u d , but not before a leading j o u r n a l h a d r e c o m m e n d e d t h a t blacks b e b a r r e d f r o m v o t i n g a s a c o n s e q u e n c e o f their i n n a t e stupidity. , B u t I also n o t e a n i m p o r t a n t d i f f e r e n c e b e t w e e n B e a n a n d t h e great E u r o p e a n craniometricians. B e a n committed either conscious f r a u d o r e x t r a o r d i n a r y s e l f - d e l u s i o n . H e w a s a p o o r scientist following an absurd experimental design. T h e great craniometric i a n s , o n t h e o t h e r h a n d , w e r e fine scientists b y t h e c r i t e r i a o f t h e i r time. T h e i r n u m b e r s , unlike Bean's, w e r e generally sound. T h e i r p r e j u d i c e s p l a y e d a m o r e s u b t l e role i n s p e c i f y i n g i n t e r p r e t a t i o n s a n d in suggesting what n u m b e r s might be gathered in the first p l a c e . T h e i r w o r k was m o r e r e f r a c t o r y t o e x p o s u r e , b u t e q u a l l y i n v a l i d f o r t h e s a m e r e a s o n : p r e j u d i c e s l e d t h r o u g h d a t a i n a circle b a c k t o t h e s a m e p r e j u d i c e s — a n u n b e a t a b l e s y s t e m that g a i n e d a u t h o r i t y b e c a u s e i t s e e m e d t o arise f r o m m e t i c u l o u s m e a s u r e ment. B e a n ' s story h a s b e e n told s e v e r a l times ( M y r d a l , 1 9 4 4 ; H a l l e r , 1 9 7 1 ; C h a s e , 1 9 7 7 ) , i f n o t with all its details. B u t B e a n w a s a m a r ginal figure on a t e m p o r a r y and provincial stage. I h a v e f o u n d no m o d e r n analysis o f t h e m a i n d r a m a , t h e d a t a o f P a u l B r o c a a n d his school.
Masters of craniometry: Paul Broca and his school The great
circle
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In 1 8 6 1 a fierce d e b a t e e x t e n d e d o v e r s e v e r a l m e e t i n g s of a y o u n g association still e x p e r i e n c i n g its birth p a n g s . P a u l B r o c a
MEASURING
HEADS
( 1 8 2 4 - 1 8 8 0 ) , p r o f e s s o r o f clinical s u r g e r y i n t h e f a c u l t y o f m e d i c i n e , h a d f o u n d e d t h e A n t h r o p o l o g i c a l Society o f Paris i n 1 8 5 9 . A t a m e e t i n g o f t h e society t w o y e a r s later, L o u i s P i e r r e G r a t i o l e t r e a d a p a p e r that c h a l l e n g e d B r o c a ' s m o s t p r e c i o u s b e l i e f : G r a t i o l e t d a r e d t o a r g u e that t h e size o f a b r a i n b o r e n o r e l a t i o n s h i p t o its d e g r e e of intelligence. B r o c a r o s e i n his o w n d e f e n s e , a r g u i n g that " t h e s t u d y o f t h e b r a i n s o f h u m a n r a c e s w o u l d lose m o s t o f its interest a n d utility" i f v a r i a t i o n i n size c o u n t e d f o r n o t h i n g ( 1 8 6 1 , p . 1 4 1 ) . W h y h a d a n t h r o p o l o g i s t s s p e n t s o m u c h t i m e m e a s u r i n g skulls, u n l e s s their results c o u l d d e l i n e a t e h u m a n g r o u p s a n d assess t h e i r relative worth? A m o n g the questions heretofore discussed within the Anthropological Society, n o n e is equal in interest and importance to the question before us now. . . . T h e great importance of craniology has struck anthropologists with such force that many a m o n g us have neglected the other parts of our science in order to devote ourselves almost exclusively to the study of skulls. . . . In such data, we h o p e d to find some information relevant to the intellectual value of the various h u m a n races (1861, p. 139). B r o c a t h e n u n l e a s h e d his d a t a a n d p o o r G r a t i o l e t was r o u t e d . H i s final contribution to the debate must rank a m o n g the most oblique, yet abject c o n c e s s i o n s p e e c h e s e v e r o f f e r e d b y a scientist. H e d i d n o t a b j u r e his e r r o r s ; h e a r g u e d i n s t e a d that n o o n e h a d a p p r e c i a t e d t h e subtlety of his p o s i t i o n . ( G r a t i o l e t , by the w a y , was a royalist, n o t a n e g a l i t a r i a n . H e m e r e l y s o u g h t o t h e r m e a s u r e s t o a f f i r m t h e i n f e r i o r i t y o f blacks a n d w o m e n — e a r l i e r c l o s u r e o f t h e skull sutures, for example.) Broca concluded triumphantly: In general, the brain is larger in mature adults than in the elderly, in men than in w o m e n , in eminent m e n than in m e n of mediocre talent, in superior races than in inferior races'(1861, p. 304). . . . Other things equal, there is a remarkable relationship between the d e v e l o p m e n t of intelligence and the volume of the brain (p. 188). Five y e a r s later, i n a n e n c y c l o p e d i a article o n a n t h r o p o l o g y , B r o c a expressed himself m o r e forcefully: A prognathous [forward-jutting] face, more or less black color of the skin, woolly hair and intellectual and social inferiority are often associated,
n6
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while more or less white skin, straight hair and an orthognathous [straight] face are the ordinary equipment of the highest groups in the human series (1866, p. 280). . . . A group with black skin, woolly hair and a prognathous face has never been able to raise itself spontaneously to civilization (pp. 295-296). T h e s e a r e h a r s h w o r d s , a n d B r o c a h i m s e l f r e g r e t t e d that n a t u r e h a d f a s h i o n e d s u c h a system ( 1 8 6 6 , p . 296). B u t w h a t c o u l d h e d o ? Facts a r e facts. " T h e r e i s n o f a i t h , h o w e v e r r e s p e c t a b l e , n o interest, h o w e v e r l e g i t i m a t e , w h i c h m u s t n o t a c c o m m o d a t e itself t o t h e p r o g r e s s o f h u m a n k n o w l e d g e a n d b e n d b e f o r e t r u t h " (in C o u n t , 1 9 5 0 , p . 7 2 ) . Paul T o p i n a r d , B r o c a ' s l e a d i n g disciple a n d s u c c e s s o r , t o o k as his m o t t o ( 1 8 8 2 , p. 7 4 8 ) : "J'ai horreur des systemes et surtout des systemes a priori" (I a b h o r s y s t e m s , especially a p r i o r i systems). , B r o c a s i n g l e d o u t t h e f e w e g a l i t a r i a n scientists o f his c e n t u r y f o r p a r t i c u l a r l y h a r s h t r e a t m e n t b e c a u s e they h a d d e b a s e d t h e i r c a l l i n g b y a l l o w i n g a n ethical h o p e o r political d r e a m t o c l o u d their j u d g m e n t a n d distort objective t r u t h . " T h e i n t e r v e n t i o n o f political a n d social c o n s i d e r a t i o n s h a s n o t b e e n less i n j u r i o u s t o a n t h r o p o l o g y t h a n t h e r e l i g i o u s e l e m e n t " ( 1 8 5 5 , i n C o u n t , 1 9 5 0 , p . 73). T h e great G e r m a n anatomist Friedrich T i e d e m a n n , for example, had a r g u e d that blacks a n d whites d i d n o t d i f f e r i n c r a n i a l capacity. Broca nailed T i e d e m a n n for the same error I u n c o v e r e d in Morton's w o r k (see p p . 8 2 — 1 0 1 ) . W h e n M o r t o n u s e d a subjective a n d i m p r e c i s e m e t h o d o f r e c k o n i n g , h e c a l c u l a t e d systematically l o w e r capacities f o r blacks t h a n w h e n h e m e a s u r e d t h e s a m e skulls with a precise technique. T i e d e m a n n , using an even m o r e imprecise m e t h o d , c a l c u l a t e d a black a v e r a g e 4 5 c c a b o v e the m e a n v a l u e r e c o r d e d b y o t h e r scientists. Y e t his m e a s u r e s f o r w h i t e skulls w e r e n o l a r g e r t h a n t h o s e r e p o r t e d b y c o l l e a g u e s . ( F o r all his d e l i g h t i n exposing T i e d e m a n n , Broca apparently never checked Morton's f i g u r e s , t h o u g h M o r t o n was his h e r o a n d m o d e l . B r o c a o n c e p u b lished a o n e - h u n d r e d - p a g e p a p e r a n a l y z i n g M o r t o n ' s t e c h n i q u e s i n the most minute d e t a i l — B r o c a , 1873b.) W h y h a d T i e d e m a n n g o n e astray? " U n h a p p i l y , " B r o c a w r o t e ( 1 8 7 3 b , p . 12), " h e was d o m i n a t e d b y a p r e c o n c e i v e d i d e a . H e set o u t t o p r o v e t h a t t h e cranial capacity o f all h u m a n races i s the s a m e . " B u t "it is an a x i o m of all o b s e r v a t i o n a l sciences that facts m u s t p r e c e d e t h e o r i e s " ( 1 8 6 8 , p . 4). B r o c a b e l i e v e d , sincerely I
M E A S U R I N G
H E A D S
a s s u m e , that facts w e r e his o n l y c o n s t r a i n t a n d that his success in a f f i r m i n g t r a d i t i o n a l r a n k i n g s a r o s e f r o m t h e p r e c i s i o n o f his m e a sures a n d his c a r e i n e s t a b l i s h i n g r e p e a t a b l e p r o c e d u r e s . Indeed, one cannot read Broca without gaining enormous r e s p e c t f o r his c a r e in g e n e r a t i n g d a t a . I b e l i e v e his n u m b e r s a n d d o u b t that a n y b e t t e r h a v e e v e r b e e n o b t a i n e d . B r o c a m a d e a n e x h a u s t i v e s t u d y o f all p r e v i o u s m e t h o d s u s e d t o d e t e r m i n e cranial capacity. H e d e c i d e d that l e a d s h o t , a s a d v o c a t e d b y "le c e l e b r e M o r t o n " ( 1 8 6 1 , p . 183), g a v e t h e best results, b u t h e s p e n t m o n t h s r e f i n i n g t h e t e c h n i q u e , t a k i n g into a c c o u n t s u c h factors a s t h e f o r m a n d h e i g h t o f t h e c y l i n d e r u s e d t o r e c e i v e t h e shot a f t e r i t i s p o u r e d f r o m t h e skull, t h e s p e e d o f p o u r i n g shot into t h e skull, a n d t h e m o d e o f s h a k i n g a n d t a p p i n g t h e skull t o p a c k t h e shot a n d t o d e t e r m i n e w h e t h e r o r n o t m o r e will f i t i n ( B r o c a , 1 8 7 3 b ) . B r o c a f i n a l l y d e v e l o p e d a n objective m e t h o d f o r m e a s u r i n g cranial c a p a c ity. I n m o s t o f his w o r k , h o w e v e r , h e p r e f e r r e d t o w e i g h the b r a i n directly a f t e r a u t o p s i e s p e r f o r m e d b y his o w n h a n d s . I s p e n t a m o n t h r e a d i n g all of B r o c a ' s m a j o r w o r k , c o n c e n t r a t i n g on his statistical p r o c e d u r e s . I f o u n d a d e f i n i t e p a t t e r n in his m e t h o d s . H e t r a v e r s e d the g a p b e t w e e n fact a n d c o n c l u s i o n b y what m a y b e t h e usual r o u t e — p r e d o m i n a n t l y i n r e v e r s e . C o n c l u sions c a m e f i r s t a n d B r o c a ' s c o n c l u s i o n s w e r e the s h a r e d a s s u m p tions o f m o s t successful w h i t e m a l e s d u r i n g his t i m e — t h e m s e l v e s o n t o p b y the g o o d f o r t u n e o f n a t u r e , a n d w o m e n , b l a c k s , a n d p o o r p e o p l e b e l o w . His facts w e r e reliable ( u n l i k e M o r t o n ' s ) , b u t they were g a t h e r e d selectively a n d t h e n m a n i p u l a t e d u n c o n s c i o u s l y i n the service o f p r i o r c o n c l u s i o n s . B y this r o u t e , t h e c o n c l u s i o n s achieved n o t o n l y t h e blessing o f science, b u t t h e p r e s t i g e o f n u m bers. B r o c a a n d his s c h o o l u s e d facts as illustrations, n o t as c o n straining d o c u m e n t s . T h e y b e g a n with c o n c l u s i o n s , p e e r e d t h r o u g h their facts, a n d c a m e b a c k in a circle to t h e s a m e c o n c l u sions. T h e i r e x a m p l e r e p a y s a closer s t u d y , f o r u n l i k e M o r t o n ( w h o m a n i p u l a t e d d a t a , h o w e v e r u n c o n s c i o u s l y ) , t h e y reflected their prejudices b y a n o t h e r , a n d p r o b a b l y m o r e c o m m o n , r o u t e : a d v o cacy m a s q u e r a d i n g as objectivity. Selecting
characters
W h e n t h e " H o t t e n t o t V e n u s " d i e d i n Paris, G e o r g e s C u v i e r , t h e greatest scientist a n d , as B r o c a w o u l d later d i s c o v e r to his d e l i g h t ,
118
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t h e largest b r a i n o f F r a n c e , r e m e m b e r e d this A f r i c a n w o m a n a s h e h a d seen h e r in the flesh. She had a way of pouting her lips exactly like what we have observed in the orang-utan. Her movements had something abrupt and fantastical about them, reminding one of those of the ape. Her lips were monstrously large [those of apes are thin and small as Cuvier apparently forgot]. Her ear was like that of many apes, being small, the tragus weak, and the external border almost obliterated behind. T h e s e are animal characters. I have never seen a h u m a n head m o r e like an ape than that of this woman (in T o p i n a r d , 1878, p p . 493-494). T h e h u m a n body can be measured in a thousand ways. A n y investigator, convinced b e f o r e h a n d of a group's inferiority, can select a small set of m e a s u r e s to illustrate its g r e a t e r affinity with a p e s . ( T h i s p r o c e d u r e , o f c o u r s e , w o u l d w o r k e q u a l l y well f o r w h i t e males, though no one m a d e the attempt. White people, for examp l e , h a v e thin l i p s — a p r o p e r t y s h a r e d with c h i m p a n z e e s — w h i l e most black Africans have thicker, consequently m o r e " h u m a n , " lips.) B r o c a ' s c a r d i n a l bias lay in his a s s u m p t i o n that h u m a n r a c e s c o u l d b e r a n k e d i n a l i n e a r scale o f m e n t a l w o r t h . I n e n u m e r a t i n g t h e aims o f e t h n o l o g y , B r o c a i n c l u d e d : " t o d e t e r m i n e t h e relative position o f races i n the h u m a n series" (in T o p i n a r d , 1 8 7 8 , p . 660). It d i d n o t o c c u r t o h i m that h u m a n v a r i a t i o n m i g h t b e r a m i f i e d a n d r a n d o m , r a t h e r t h a n l i n e a r a n d h i e r a r c h i c a l . A n d since h e k n e w the o r d e r b e f o r e h a n d , a n t h r o p o m e t r y became a search for characters that w o u l d display t h e c o r r e c t r a n k i n g , not a n u m e r i c a l exercise in raw empiricism. T h u s B r o c a b e g a n his s e a r c h f o r " m e a n i n g f u l " c h a r a c t e r s — those that w o u l d d i s p l a y the established r a n k s . I n 1 8 6 2 , f o r e x a m p l e , h e tried t h e ratio o f r a d i u s ( l o w e r a r m b o n e ) t o h u m e r u s ( u p p e r a r m b o n e ) , r e a s o n i n g that a h i g h e r ratio m a r k s a l o n g e r f o r e a r m — a c h a r a c t e r o f a p e s . All b e g a n well: blacks y i e l d e d a ratio o f . 7 9 4 , whites . 7 3 9 . B u t t h e n B r o c a r a n i n t o t r o u b l e . A n E s k i m o skeleton yielded .703, an Australian aborigine .709, while the Hottentot V e n u s , C u v i e r ' s n e a r a p e ( h e r s k e l e t o n h a d b e e n p r e s e r v e d i n Paris), m e a s u r e d a m e r e .703. B r o c a n o w h a d two c h o i c e s . H e c o u l d e i t h e r a d m i t that, o n this c r i t e r i o n , whites r a n k e d l o w e r t h a n several d a r k - s k i n n e d g r o u p s , o r h e c o u l d a b a n d o n t h e c r i t e r i o n . Since h e k n e w ( 1 8 6 2 a , p . 10) that H o t t e n t o t s , E s k i m o s , a n d A u s t r a -
M E A S U R I N G
H E A D S
I/O
lian a b o r i g i n e s r a n k e d b e l o w m o s t A f r i c a n b l a c k s , h e c h o s e t h e seco n d c o u r s e : " A f t e r this, i t s e e m s difficult t o m e t o c o n t i n u e t o say that e l o n g a t i o n o f t h e f o r e a r m i s a c h a r a c t e r o f d e g r a d a t i o n o r i n f e r i o r i t y , b e c a u s e , o n this a c c o u n t , t h e E u r o p e a n o c c u p i e s a p l a c e between N e g r o e s on the o n e h a n d , and Hottentots, Australians, and eskimos on the other" (1862, p. 11). L a t e r , h e a l m o s t a b a n d o n e d his c a r d i n a l c r i t e r i o n o f b r a i n size b e c a u s e i n f e r i o r y e l l o w p e o p l e s c o r e d s o well: A table on which races were arranged by order of their cranial capacities would not represent the degrees of their superiority or inferiority, because size represents only o n e element of the problem [of ranking races]. On such a table, Eskimos, Lapps, Malays, Tartars and several other peoples of the Mongolian type would surpass the most civilized people of Europe. A lowly race may therefore have a big brain (1873a, p. 38). B u t B r o c a felt that h e c o u l d s a l v a g e m u c h o f v a l u e f r o m his c r u d e m e a s u r e o f o v e r a l l b r a i n size. I t m a y fail a t t h e u p p e r e n d b e c a u s e some inferior g r o u p s have big brains, but it works at the lower end b e c a u s e small b r a i n s b e l o n g e x c l u s i v e l y t o p e o p l e o f low intelligence. Broca continued: But this does not destroy the value of small brain size as a mark of inferiority. T h e table shows that West African blacks have a cranial capacity about 100 cc less than that of European races. To this figure, we may add the following: Caffirs, Nubians, Tasmanians, Hottentots, Australians. T h e s e examples are sufficient to prove that if the volume of the brain does not play a decisive role in the intellectual ranking of races, it nevertheless has a very real importance (1873a, p. 38). An unbeatable argument. Deny it at one end where conclusions are u n c o n g e n i a l ; a f f i r m i t b y the s a m e c r i t e r i o n a t t h e o t h e r . B r o c a d i d not f u d g e n u m b e r s ; h e m e r e l y selected a m o n g t h e m o r i n t e r p r e t e d his way a r o u n d t h e m t o f a v o r e d c o n c l u s i o n s . I n c h o o s i n g a m o n g m e a s u r e s , B r o c a d i d n o t j u s t d r i f t passively m the sway of a p r e c o n c e i v e d i d e a . He a d v o c a t e d selection a m o n g characters as a stated g o a l w i t h explicit criteria. T o p i n a r d , his c h i e f disciple, d i s t i n g u i s h e d b e t w e e n " e m p i r i c a l " c h a r a c t e r s " h a v i n g n o apparent design," and "rational" characters "related to some physiological o p i n i o n " ( 1 8 7 8 , p . 2 2 1 ) . H o w t h e n t o d e t e r m i n e w h i c h characters a r e " r a t i o n a l " ? T o p i n a r d a n s w e r e d : " O t h e r c h a r a c t e r i s tics are l o o k e d u p o n , w h e t h e r r i g h t l y o r w r o n g l y , a s d o m i n a n t .
THE
120
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T h e y h a v e a n affinity i n n e g r o e s t o t h o s e w h i c h t h e y e x h i b i t i n a p e s , a n d establish t h e transition b e t w e e n these a n d E u r o p e a n s " ( 1 8 7 8 , p . 2 2 1 ) . B r o c a h a d also c o n s i d e r e d this issue i n t h e m i d s t o f his d e b a t e with G r a t i o l e t , a n d h a d r e a c h e d t h e s a m e c o n c l u s i o n (1861, p. 176): We surmount the problem easily by choosing.for our comparison of brains, races whose intellectual inequalities are completely clear. T h u s , the superiority of Europeans compared with African Negroes, American Indians, Hottentots, Australians and the Negroes of Oceania, is sufficiently certain to serve as a point of departure for the comparison of brains. Particularly o u t r a g e o u s e x a m p l e s a b o u n d i n t h e selection o f i n d i v i d u a l s t o r e p r e s e n t g r o u p s i n illustrations. T h i r t y y e a r s a g o , w h e n I w a s a c h i l d , t h e H a l l o f M a n i n the A m e r i c a n M u s e u m o f N a t u r a l H i s t o r y still d i s p l a y e d t h e c h a r a c t e r s o f h u m a n races b y linear a r r a y s r u n n i n g f r o m a p e s t o whites. S t a n d a r d a n a t o m i c a l illustrations, until this g e n e r a t i o n , d e p i c t e d a c h i m p , a N e g r o , a n d a w h i t e , p a r t b y p a r t i n that o r d e r — e v e n t h o u g h v a r i a t i o n a m o n g whites a n d blacks is always l a r g e e n o u g h to g e n e r a t e a d i f f e r e n t o r d e r w i t h o t h e r i n d i v i d u a l s : c h i m p , w h i t e , black. I n 1 9 0 3 , f o r e x a m p l e , the A m e r i c a n anatomist E. A. Spitzka published a long treatise o n b r a i n size a n d f o r m i n " m e n o f e m i n e n c e . " H e p r i n t e d the f o l l o w i n g figure (Fig. 3.3) with a c o m m e n t : " T h e j u m p f r o m a C u v i e r or a T h a c k e r a y to a Z u l u or a B u s h m a n is n o t g r e a t e r t h a n f r o m t h e latter t o t h e gorilla o r t h e o r a n g " ( 1 9 0 3 , p . 604). B u t h e also p u b l i s h e d a similar figure (Fig. 3.4) illustrating v a r i a t i o n in b r a i n size a m o n g e m i n e n t whites a p p a r e n t l y n e v e r r e a l i z i n g that h e h a d d e s t r o y e d his o w n a r g u m e n t . A s F . P . M a l l , t h e m a n w h o e x p o s e d B e a n , w r o t e o f t h e s e f i g u r e s ( 1 9 0 9 , p . 24): " C o m p a r i n g [ t h e m ] , it a p p e a r s that G a m b e t t a ' s b r a i n r e s e m b l e s t h e gorilla's m o r e t h a n i t d o e s that o f G a u s s . " Averting
anomalies
I n e v i t a b l y , since B r o c a a m a s s e d s o m u c h d i s p a r a t e a n d h o n e s t data, he generated n u m e r o u s anomalies and apparent exceptions t o his g u i d i n g g e n e r a l i t y — t h a t size o f b r a i n r e c o r d s intelligence a n d that c o m f o r t a b l e w h i t e m a l e s h a v e l a r g e r b r a i n s t h a n w o m e n , p o o r p e o p l e , a n d l o w e r races. I n n o t i n g h o w h e w o r k e d a r o u n d e a c h a p p a r e n t e x c e p t i o n , w e o b t a i n o u r clearest i n s i g h t i n t o B r o c a s
MEASURING
HEADS
121
m e t h o d s o f a r g u m e n t a n d i n f e r e n c e . W e also u n d e r s t a n d w h y d a t a c o u l d n e v e r o v e r t h r o w his a s s u m p t i o n s . BIG-BRAINED GERMANS
G r a t i o l e t , in his last d e s p e r a t e a t t e m p t , p u l l e d o u t all t h e stops. H e d a r e d t o claim t h a t , o n a v e r a g e , G e r m a n brains a r e 100 g r a m s h e a v i e r t h a n F r e n c h b r a i n s . C l e a r l y , G r a t i o l e t a r g u e d , b r a i n size has n o t h i n g t o d o with i n t e l l i g e n c e ! B r o c a r e s p o n d e d d i s d a i n f u l l y : " M o n s i e u r G r a t i o l e t has a l m o s t a p p e a l e d t o o u r patriotic sentim e n t s . B u t i t will b e easy f o r m e t o s h o w h i m t h a t h e c a n g r a n t s o m e v a l u e t o t h e size o f t h e b r a i n w i t h o u t c e a s i n g , f o r that, t o b e a good Frenchman" (1861, pp. 441-442). B r o c a t h e n w o r k e d his w a y systematically t h r o u g h the d a t a . First o f all, G r a t i o l e t ' s f i g u r e o f 100 g r a m s c a m e f r o m u n s u p p o r t e d claims o f t h e G e r m a n scientist E . H u s c h k e . W h e n B r o c a c o l l a t e d all t h e a c t u a l d a t a h e c o u l d f i n d , the d i f f e r e n c e i n size b e t w e e n G e r m a n a n d F r e n c h b r a i n s fell f r o m 100 t o 4 8 g r a m s . B r o c a t h e n a p p l i e d a series of c o r r e c t i o n s f o r n o n i n t e l l e c t u a l factors t h a t also affect b r a i n
size.
He
argued,
quite
correctly,
that
brain
size
increases with b o d y size, d e c r e a s e s with a g e , a n d d e c r e a s e s d u r i n g l o n g p e r i o d s o f p o o r h e a l t h (thus e x p l a i n i n g w h y e x e c u t e d c r i m i nals o f t e n h a v e l a r g e r b r a i n s t h a n h o n e s t folk w h o d i e o f d e g e n e r ative diseases i n hospitals). B r o c a n o t e d a m e a n F r e n c h a g e o f f i f t y six a n d a h a l f y e a r s in his s a m p l e , w h i l e t h e G e r m a n s a v e r a g e d o n l y f i f t y - o n e . H e e s t i m a t e d that this d i f f e r e n c e w o u l d a c c o u n t f o r 1 6 grams of the disparity between French and G e r m a n s , cutting the German advantage to 32 grams. He then removed from the Germ a n s a m p l e all i n d i v i d u a l s w h o h a d d i e d b y v i o l e n c e o r e x e c u t i o n . T h e mean brain weight of twenty G e r m a n s , d e a d from natural causes, n o w s t o o d at 1,320 g r a m s , a l r e a d y below t h e F r e n c h a v e r a g e ° f >333 g r a m s . A n d B r o c a h a d not e v e n yet c o r r e c t e d f o r the 1
larger a v e r a g e b o d y size of G e r m a n s . Vive la France. Broca's c o l l e a g u e d e J o u v e n c e l , s p e a k i n g o n his b e h a l f a g a i n s t the u n f o r t u n a t e G r a t i o l e t , a r g u e d
that g r e a t e r G e r m a n b r a w n
accounted f o r all t h e a p p a r e n t d i f f e r e n c e i n b r a i n a n d t h e n s o m e . ° f the a v e r a g e G e r m a n , h e w r o t e ( 1 8 6 1 , p . 4 6 6 ) : He ingests a quantity of solid food and drink far greater than that satisfies us. This, joined with his consumption of beer, which is pereven in areas where wine is made, makes the German much more
l c n
e
Spitzka's depiction of variation in brain size a m o n g white m e n of eminence.
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M I S M E A S U R E
O F
M A N
fleshy [charnu] than the Frenchman—s'o much so that their relation of brain size to total mass, far from being superior to ours, appears to m e , o 1 the contrary, to be inferior. I d o n o t c h a l l e n g e B r o c a ' s u s e o f c o r r e c t i o n s b u t I d o n o t e his skill i n w i e l d i n g t h e m w h e n his o w n p o s i t i o n was t h r e a t e n e d . B e a r this i n m i n d w h e n I discuss h o w d e f t l y h e a v o i d e d t h e m w h e n t h e y m i g h t h a v e c h a l l e n g e d a c o n g e n i a l c o n c l u s i o n — t h e small b r a i n s o f women. SMALL-BRA I NED MEN OF EMINENCE
T h e A m e r i c a n anatomist E . A . Spitzka u r g e d m e n o f eminence t o d o n a t e t h e i r b r a i n s t o science a f t e r t h e i r d e a t h . " T o m e t h e t h o u g h t o f a n a u t o p s y i s c e r t a i n l y less r e p u g n a n t t h a n I i m a g i n e the process of cadaveric decomposition in the grave to b e " (1907, p . 235). T h e dissection o f d e a d colleagues b e c a m e s o m e t h i n g o f a
cottage
industry
among
nineteenth-century
craniometricians.
B r a i n s e x e r t e d t h e i r c u s t o m a r y f a s c i n a t i o n , a n d lists w e r e p r o u d l y touted, accompanied by the usual invidious comparisons. ( T h e leading A m e r i c a n anthropologists J. W. Powell and W J M c G e e even m a d e a wager over w h o carried the larger brain. As K o - K o told N a n k i - P o o a b o u t t h e f i r e w o r k s that w o u l d follow his e x e c u t i o n , " Y o u w o n ' t s e e t h e m , b u t they'll b e t h e r e all t h e s a m e . " ) S o m e m e n o f g e n i u s d i d v e r y well i n d e e d . A g a i n s t a E u r o p e a n a v e r a g e o f 1,300 t o 1,400 g r a m s , t h e g r e a t C u v i e r s t o o d o u t with his t o p h e a v y 1,830 g r a m s . C u v i e r h e a d e d t h e c h a r t s until T u r g e n e v finally b r o k e t h e 2,000 g r a m b a r r i e r i n 1 8 8 3 . ( O t h e r p o t e n t i a l o c c u p a n t s o f this s t r a t o s p h e r e , C r o m w e l l a n d Swift, lay i n l i m b o f o r insufficiency o f r e c o r d . ) T h e o t h e r e n d was a bit m o r e c o n f u s i n g a n d e m b a r r a s s i n g . W a l t W h i t m a n m a n a g e d t o h e a r A m e r i c a s i n g i n g with o n l y 1,282 grams. As a c r o w n i n g indignity, Franz Josef Gall, o n e of the two f o u n d e r s of p h r e n o l o g y — t h e original "science" of j u d g i n g various m e n t a l c a p a c i t i e s b y the size o f l o c a l i z e d b r a i n a r e a s — w e i g h e d i n a t a m e a g e r 1 , 1 9 8 g r a m s . (His c o l l e a g u e J. K. S p u r z h e i m y i e l d e d a q u i t e r e s p e c t a b l e 1 , 5 5 9 g r a m s . ) A n d , t h o u g h B r o c a d i d n ' t k n o w it, his o w n b r a i n w e i g h e d o n l y 1,424 g r a m s , a bit a b o v e a v e r a g e t o b e s u r e , b u t n o t h i n g t o c r o w a b o u t . A n a t o l e F r a n c e e x t e n d e d the r a n g e o f f a m o u s a u t h o r s t o m o r e t h a n 1,000 g r a m s w h e n , i n 1 9 2 4 . he opted for the other end of T u r g e n e v ' s f a m e and clocked in at a mere 1,017 grams.
M E A S U R I N G
H E A D S
125
T h e small b r a i n s w e r e t r o u b l e s o m e , b u t B r o c a , u n d a u n t e d , m a n a g e d t o a c c o u n t f o r all o f t h e m . T h e i r possessors e i t h e r d i e d v e r y o l d , w e r e v e r y s h o r t a n d slightly built, o r h a d s u f f e r e d p o o r p r e s e r v a t i o n . B r o c a ' s r e a c t i o n to a s t u d y by his G e r m a n c o l l e a g u e R u d o l f W a g n e r was typical. W a g n e r h a d o b t a i n e d a real p r i z e i n 1 8 5 5 , the b r a i n o f t h e g r e a t m a t h e m a t i c i a n K a r l F r i e d r i c h G a u s s . It w e i g h e d a m o d e s t l y o v e r a v e r a g e 1,492 g r a m s , b u t was m o r e richly c o n v o l u t e d t h a n a n y b r a i n p r e v i o u s l y dissected (Fig. 3.5). E n c o u r a g e d , W a g n e r w e n t o n t o w e i g h t h e b r a i n s o f all d e a d a n d willing p r o f e s s o r s a t G o t t i n g e n , i n a n a t t e m p t t o p l o t t h e d i s t r i b u tion o f b r a i n size a m o n g m e n o f e m i n e n c e . B y t h e time B r o c a was battling with G r a t i o l e t i n 1 8 6 1 , W a g n e r h a d f o u r m o r e m e a s u r e m e n t s . N o n e p o s e d a n y c h a l l e n g e t o C u v i e r , a n d t w o w e r e distinctly p u z z l i n g — H e r m a n n , t h e p r o f e s s o r o f p h i l o s o p h y a t 1,368 g r a m s , a n d H a u s m a n n , t h e p r o f e s s o r o f m i n e r a l o g y , a t 1,226 g r a m s . B r o c a c o r r e c t e d H e r m a n n ' s b r a i n f o r his a g e a n d r a i s e d i t
3 • 5 T h e brain of the great mathematician K. F. Gauss (right) proved to be something of an embarrassment since, at 1,492 grams, it was only slightly larger than average. But other criteria came to the rescue. Here, E. A. Spitzka demonstrates that Gauss's brain is much m o r e richly convoluted than that of a Papuan (left).
126
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OF
MAN
by 16 grams to 1.19 percent above a v e r a g e — " n o t m u c h for a prof e s s o r o f linguistics," B r o c a a d m i t t e d , " b u t still s o m e t h i n g " ( 1 8 6 1 , p . 1 6 7 ) . N o c o r r e c t i o n c o u l d raise H a u s m a n n t o t h e m e a n o f o r d i nary
folks,
but considering
his
venerable
seventy-seven
years,
B r o c a s p e c u l a t e d t h a t his b r a i n m a y h a v e u n d e r g o n e m o r e t h a n t h e u s u a l a m o u n t o f senile d e g e n e r a t i o n : " T h e d e g r e e o f d e c a d e n c e that o l d a g e c a n i m p o s e u p o n a b r a i n i s v e r y v a r i a b l e a n d cannot be calculated." B u t B r o c a was still b o t h e r e d . H e c o u l d g e t a r o u n d t h e low valu e s , b u t h e c o u l d n ' t raise t h e m t o u n u s u a l w e i g h t s . C o n s e q u e n t l y , t o clinch a n u n b e a t a b l e c o n c l u s i o n , h e s u g g e s t e d with a t o u c h o f i r o n y that W a g n e r ' s p o s t - G a u s s i a n subjects m a y n o t h a v e b e e n s o e m i n e n t a f t e r all: It is not very probable that 5 m e n of genius should have died within five years at the University of Gottingen. . . . A professorial robe is not necessarily a certificate of genius; there may be, even at Gottingen, s o m e chairs occupied by not very remarkable m e n (1861, pp. 165-166). A t this p o i n t , B r o c a d e s i s t e d : " T h e subject i s d e l i c a t e , " h e w r o t e ( 1 8 6 1 , p . 169), " a n d I m u s t n o t insist u p o n i t a n y l o n g e r . " LARGE-BRAINED CRIMINALS
T h e l a r g e size o f m a n y c r i m i n a l b r a i n s was a c o n s t a n t s o u r c e o f bother to craniometricians and criminal anthropologists.
Broca
t e n d e d to dismiss it with his claim that s u d d e n d e a t h by e x e c u t i o n p r e c l u d e d t h e d i m i n u t i o n that l o n g b o u t s o f d i s e a s e p r o d u c e d i n many
honest
men.
In
addition,
death
by
hanging
tended
to
e n g o r g e the b r a i n a n d lead t o s p u r i o u s l y h i g h w e i g h t s . I n t h e y e a r o f B r o c a ' s d e a t h , T . B i s c h o f f p u b l i s h e d his s t u d y o n t h e b r a i n s o f 1 1 9 assassins, m u r d e r e r s , a n d t h i e v e s . T h e i r a v e r a g e e x c e e d e d t h e m e a n o f h o n e s t m e n b y 11 g r a m s , w h i l e 1 4 o f t h e m topped
1,500 g r a m s , a n d 5 e x c e e d e d
1,600 g r a m s . B y c o n t r a s t ,
o n l y t h r e e m e n o f g e n i u s c o u l d boast m o r e t h a n 1,600 g r a m s , while t h e assassin L e P e l l e y , a t 1,809 g r a m s , m u s t h a v e g i v e n p a u s e t o the shade o f C u v i e r . T h e largest female brain ever w e i g h e d (1,565 g r a m s ) b e l o n g e d t o a w o m a n w h o h a d killed h e r h u s b a n d . Broca's successor Paul T o p i n a r d puzzled over the data and f i n a l l y d e c i d e d that t o o m u c h o f a g o o d t h i n g i s b a d f o r s o m e p e o ple. T r u l y inspired criminality m a y require as m u c h upstairs as
MEASURING
HEADS
professorial virtuosity;
I2J
w h o shall d e c i d e b e t w e e n
Moriarty and
H o l m e s ? T o p i n a r d c o n c l u d e d : "It seems established that a certain p r o p o r t i o n o f c r i m i n a l s a r e p u s h e d t o d e p a r t f r o m p r e s e n t social r u l e s b y a n e x u b e r a n c e o f c e r e b r a l activity a n d , c o n s e q u e n t l y , b y t h e fact o f a l a r g e o r h e a v y b r a i n " ( 1 8 8 8 , p . 1 5 ) . FLAWS IN A PATTERN OF INCREASE THROUGH TIME
O f all B r o c a ' s s t u d i e s , w i t h t h e e x c e p t i o n o f his w o r k o n d i f f e r ences between m e n and w o m e n , n o n e w o n m o r e respect or attention t h a n his s u p p o s e d d e m o n s t r a t i o n o f s t e a d y i n c r e a s e i n b r a i n size a s E u r o p e a n civilization a d v a n c e d f r o m m e d i e v a l t o m o d e r n times ( B r o c a , 1 8 6 2 b ) . T h i s s t u d y m e r i t s close analysis b e c a u s e i t p r o b a b l y r e p r e s e n t s the best case o f h o p e d i c t a t i n g c o n c l u s i o n t h a t I h a v e e v e r e n c o u n t e r e d . B r o c a v i e w e d h i m s e l f a s a liberal i n t h e s e n s e t h a t h e d i d n o t c o n d e m n g r o u p s to p e r m a n e n t inferiority based on their c u r r e n t status. W o m e n ' s b r a i n s h a d d e g e n e r a t e d t h r o u g h t i m e t h a n k s t o a socially e n f o r c e d u n d e r u s a g e ; t h e y m i g h t i n c r e a s e a g a i n u n d e r diff e r e n t social c o n d i t i o n s . P r i m i t i v e races h a d n o t b e e n sufficiently c h a l l e n g e d , w h i l e E u r o p e a n b r a i n s g r e w steadily with t h e m a r c h o f civilization. B r o c a o b t a i n e d l a r g e s a m p l e s f r o m e a c h o f t h r e e Parisian c e m e teries, f r o m t h e t w e l f t h , t h e e i g h t e e n t h , a n d t h e n i n e t e e n t h c e n t u ries. T h e i r a v e r a g e c r a n i a l c a p a c i t i e s w e r e , r e s p e c t i v e l y ,
1,426,
1,409, a n d 1,462 c c — n o t e x a c t l y t h e s t u f f f o r a f i r m c o n c l u s i o n o f steady i n c r e a s e t h r o u g h t i m e . ( I h a v e n o t b e e n a b l e t o f i n d B r o c a ' s raw data f o r statistical t e s t i n g , b u t with a 3.5 p e r c e n t m e a n d i f f e r ence b e t w e e n smallest a n d l a r g e s t s a m p l e , it is likely t h a t no statistically significant d i f f e r e n c e s exist a t all a m o n g t h e t h r e e samples.) B u t h o w d i d these l i m i t e d d a t a — o n l y t h r e e sites with n o i n f o r mation o n r a n g e s o f v a r i a t i o n a t a g i v e n t i m e a n d n o c l e a r p a t t e r n t h r o u g h t i m e — l e a d B r o c a t o his h o p e f u l c o n c l u s i o n ? B r o c a h i m s e l f a d m i t t e d a n initial d i s a p p o i n t m e n t : h e h a d e x p e c t e d t o f i n d i n t e r m e d i a t e v a l u e s i n t h e e i g h t e e n t h - c e n t u r y site ( 1 8 6 2 b , p . 106). Social class, h e a r g u e d , m u s t h o l d t h e a n s w e r , f o r s u c c e s s f u l g r o u p s within a c u l t u r e o w e at least p a r t of t h e i r status to s u p e r i o r wits. T h e twelfth-century sample came from a c h u r c h y a r d and must represent
gentry.
A
common
grave
provided
the
eighteenth-
century skulls. B u t t h e n i n e t e e n t h - c e n t u r y s a m p l e was a m i x t u r e ,
128
THE
MISMEASURE
OF
MAN
n i n e t y skulls f r o m i n d i v i d u a l g r a v e s with a m e a n o f 1484 cc, a n d thirty-five f r o m a c o m m o n g r a v e with a n a v e r a g e o f 1403 cc. B r o c a c l a i m e d that i f d i f f e r e n c e s i n social class d o n o t e x p l a i n w h y calculated v a l u e s fail t o m e e t e x p e c t a t i o n s , t h e n the d a t a a r e unintelligible. Intelligible, t o B r o c a , m e a n t steadily i n c r e a s i n g t h r o u g h t i m e — t h e p r o p o s i t i o n that the d a t a w e r e m e a n t t o p r o v e , n o t rest u p o n . A g a i n , B r o c a travels in a circle: Without this [difference in social class], we would have to believe that the cranial capacity of Parisians has really diminished during centuries following the 12th. N o w during this period . . . intellectual and social progress has been considerable, and even if we are not yet certain that the development of civilization makes the brain grow as a consequence, no o n e , without doubt, would want to consider this cause as capable of making the brain decrease in size (1862b, p. 106). B u t B r o c a ' s division o f the n i n e t e e n t h - c e n t u r y s a m p l e b y social class also b r o u g h t t r o u b l e a s well a s r e l i e f — f o r h e n o w h a d t w o samples from c o m m o n graves and the earlier o n e h a d a larger m e a n capacity, 1,409 f o r t h e e i g h t e e n t h c e n t u r y vs. 1,403 f o r t h e n i n e t e e n t h . B u t B r o c a w a s n o t t o b e d e f e a t e d ; h e a r g u e d that t h e e i g h t e e n t h - c e n t u r y c o m m o n g r a v e i n c l u d e d a b e t t e r class o f p e o p l e . In t h e s e p r e r e v o l u t i o n a r y t i m e s , a m a n h a d to be really rich or n o b l e t o rest i n a c h u r c h y a r d . T h e d r e g s o f t h e p o o r m e a s u r e d 1,403 i n t h e n i n e t e e n t h c e n t u r y ; t h e d r e g s l e a v e n e d b y g o o d stock yielded about the same value one h u n d r e d years before. E a c h solution b r o u g h t B r o c a n e w t r o u b l e . N o w that h e was c o m m i t t e d to a p a r t i t i o n by social class within c e m e t e r i e s , he h a d to a d m i t t h a t a n a d d i t i o n a l s e v e n t e e n skulls f r o m t h e m o r g u e ' s g r a v e at t h e n i n e t e e n t h - c e n t u r y site y i e l d e d a h i g h e r v a l u e t h a n skulls of m i d d l e - a n d u p p e r - c l a s s p e o p l e f r o m i n d i v i d u a l g r a v e s — 1 , 5 1 7 vs. 1,484 cc. H o w c o u l d u n c l a i m e d b o d i e s , a b a n d o n e d t o t h e state, surpass t h e c r e a m of society? B r o c a r e a s o n e d in a c h a i n of surpassingly w e a k i n f e r e n c e : m o r g u e s s t o o d o n r i v e r b o r d e r s ; they probably housed a large n u m b e r of d r o w n e d people; many d r o w n e d a r e suicides; m a n y suicides a r e i n s a n e ; m a n y i n s a n e p e o p l e , like c r i m i n a l s , h a v e s u r p r i s i n g l y l a r g e b r a i n s . W i t h a bit of i m a g i n a t i o n , n o t h i n g c a n b e truly a n o m a l o u s .
MEASURING
Front
and
HEADS
I2Q
back
Tell me about this new y o u n g s u r g e o n , Mr. Lydgate. I am told he is wonderfully clever; he certainly looks it—a fine brow i n d e e d . — GEORGE ELIOT,
Middlemarch (1872)
Size o f the w h o l e , h o w e v e r u s e f u l a n d decisive i n g e n e r a l t e r m s , d i d n o t b e g i n t o e x h a u s t t h e c o n t e n t o f c r a n i o m e t r y . E v e r since t h e h e y d a y o f p h r e n o l o g y , specific p a r t s o f t h e b r a i n a n d skull h a d b e e n a s s i g n e d d e f i n i t e status, t h u s p r o v i d i n g a set of s u b s i d i a r y criteria f o r t h e r a n k i n g of g r o u p s . ( B r o c a , in his o t h e r c a r e e r as a m e d i c a l m a n , m a d e his m o s t i m p o r t a n t d i s c o v e r y i n this a r e a . I n 1861 h e d e v e l o p e d t h e c o n c e p t o f cortical localization o f f u n c t i o n w h e n he d i s c o v e r e d that an a p h a s i c p a t i e n t h a d a lesion in t h e left i n f e r i o r f r o n t a l g y r u s , n o w called B r o c a ' s c o n v o l u t i o n . ) M o s t of t h e s e subsidiary criteria c a n be r e d u c e d to a single f o r m u l a : f r o n t i s b e t t e r . B r o c a a n d his c o l l e a g u e s b e l i e v e d that h i g h e r m e n t a l f u n c t i o n s w e r e localized i n a n t e r i o r r e g i o n s o f the c o r t e x , a n d that p o s t e r i o r a r e a s b u s i e d t h e m s e l v e s with t h e m o r e m u n d a n e , though crucial, roles of involuntary m o v e m e n t , sensation, and e m o t i o n . S u p e r i o r p e o p l e s h o u l d h a v e m o r e i n f r o n t , less b e h i n d . W e h a v e a l r e a d y s e e n h o w B e a n f o l l o w e d this a s s u m p t i o n i n g e n e r a t i n g his s p u r i o u s d a t a o n f r o n t a n d b a c k p a r t s o f the c o r p u s callosum i n whites a n d blacks. B r o c a o f t e n u s e d t h e distinction o f f r o n t a n d b a c k , p a r t i c u l a r l y t o extract h i m s e l f f r o m u n c o m f o r t a b l e situations i m p o s e d b y his data. H e a c c e p t e d G r a t i o l e t ' s classification o f h u m a n g r o u p s i n t o "races frontales" (whites with a n t e r i o r a n d f r o n t a l lobes m o s t h i g h l y d e v e l o p e d ) , "racesparietales" ( M o n g o l i a n s w i t h parietal or m i d lobes most p r o m i n e n t ) , a n d "races occipitales" (blacks with m o s t in t h e back). H e o f t e n u n l e a s h e d t h e d o u b l e w h a m m y a g a i n s t i n f e r i o r g r o u p s — s m a l l size a n d p o s t e r i o r p r o m i n e n c e : " N e g r o e s , a n d e s p e cially H o t t e n t o t s , h a v e a s i m p l e r b r a i n t h a n o u r s , a n d t h e relative poverty o f their c o n v o l u t i o n s c a n b e f o u n d p r i m a r i l y o n their f r o n t a l lobes" ( 1 8 7 3 a , p . 32). A s m o r e d i r e c t e v i d e n c e , h e a r g u e d that ahitians artificially d e f o r m e d t h e f r o n t a l a r e a s o f c e r t a i n m a l e children i n o r d e r t o m a k e t h e b a c k p o r t i o n s b u l g e . T h e s e m e n ^ecame c o u r a g e o u s w a r r i o r s , b u t c o u l d n e v e r m a t c h w h i t e h e r o e s • l e : " F r o n t a l d e f o r m a t i o n p r o d u c e d b l i n d passions, f e r o c i o u s nets, a n d a n i m a l c o u r a g e , all of w h i c h I w o u l d willingly call r s t v
THE
MISMEASURE
OF
MAN
o c c i p i t a l c o u r a g e . W e m u s t n o t c o n f o u n d i t with t r u e c o u r a g e , f r o n t a l c o u r a g e , w h i c h w e m a y call C a u c a s i a n c o u r a g e " ( 1 8 6 1 , p p . 202-203). B r o c a also w e n t b e y o n d size t o assess t h e q u a l i t y o f f r o n t a l vs. occipital r e g i o n s i n v a r i o u s r a c e s . H e r e , a n d n o t o n l y t o p l a c a t e his adversary,
he
accepted
Gratiolet's
favorite
argument
that
the
s u t u r e s b e t w e e n skull b o n e s c l o s e e a r l i e r i n i n f e r i o r r a c e s , t h u s trapping the brain within a rigid vault and limiting the effectiveness o f f u r t h e r e d u c a t i o n . N o t o n l y d o w h i t e s u t u r e s close later; t h e y close i n a d i f f e r e n t o r d e r — g u e s s h o w ? I n b l a c k s a n d o t h e r i n f e r i o r p e o p l e , t h e f r o n t s u t u r e s close f i r s t , t h e b a c k s u t u r e s later; i n w h i t e s , t h e f r o n t s u t u r e s c l o s e last. E x t e n s i v e m o d e r n s t u d i e s o f cranial closure show no difference of timing or pattern a m o n g races ( T o d d and L y o n , 1924 and 1925). B r o c a u s e d this a r g u m e n t t o e x t r i c a t e h i m s e l f f r o m a s e r i o u s p r o b l e m . H e h a d d e s c r i b e d a s a m p l e o f skulls f r o m t h e earliest p o p u l a t i o n s o f Homo sapiens
( C r o - M a g n o n t y p e ) a n d f o u n d that
they e x c e e d e d m o d e r n F r e n c h m e n in cranial capacity. Fortunately, h o w e v e r , their anterior sutures closed first a n d these progenitors m u s t h a v e b e e n i n f e r i o r a f t e r all: " T h e s e a r e signs o f i n f e r i o r i t y . W e f i n d t h e m i n all r a c e s i n w h i c h t h e m a t e r i a l life d r a w s all c e r e b r a l activity t o it. A s i n t e l l e c t u a l life d e v e l o p s a m o n g a p e o p l e , t h e a n t e r i o r s u t u r e s b e c o m e m o r e c o m p l i c a t e d a n d stay o p e n f o r a longer time" ( 1 8 7 3 a , p. 19). T h e a r g u m e n t of front and back,* so flexible and far-ranging, s e r v e d a s a p o w e r f u l tool f o r r a t i o n a l i z i n g p r e j u d i c e i n t h e f a c e o f a p p a r e n t l y c o n t r a d i c t o r y fact. C o n s i d e r t h e f o l l o w i n g t w o e x a m ples. THE CRANIAL INDEX
B e y o n d b r a i n size itself, t h e t w o m o s t h o a r y a n d m i s u s e d m e a s u r e s o f c r a n i o m e t r y w e r e s u r e l y t h e facial a n g l e ( j u t t i n g f o r w a r d o f f a c e a n d j a w s — t h e less t h e b e t t e r ) , a n d t h e c r a n i a l i n d e x . T h e c r a n i a l i n d e x n e v e r h a d m u c h g o i n g f o r i t b e y o n d ease o f m e a s u r e m e n t . It was c a l c u l a t e d a s t h e r a t i o o f m a x i m u m w i d t h t o m a x i m u m •Broca did not confine his arguments on the relative worth of brain parts to the distinction between front and back. Virtually any measured difference between peoples could be given a value in terms of prior conviction about relative worth. Broca once claimed, for example (1861, p. 187), that blacks probably had larger cranial nerves than whites, hence a larger nonintellectual portion of the brain.
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l e n g t h o f t h e skull. Relatively l o n g skulls (ratio o f .75 o r less) w e r e called d o l i c h o c e p h a l i c ; relatively s h o r t skulls ( o v e r .8), b r a c h y c e p h a l i c . A n d e r s R e t z i u s , t h e S w e d i s h scientist w h o p o p u l a r i z e d t h e c r a n i a l i n d e x , c o n s t r u c t e d a t h e o r y o f civilization u p o n it. H e b e l i e v e d that S t o n e A g e p e o p l e s o f E u r o p e w e r e b r a c h y c e p h a l i c , a n d that p r o g r e s s i v e B r o n z e A g e e l e m e n t s ( I n d o - E u r o p e a n , o r A r y a n d o l i c h o c e p h a l i c s ) later i n v a d e d a n d r e p l a c e d t h e o r i g i n a l and m o r e primitive inhabitants. S o m e original brachycephalic stocks s u r v i v e a m o n g s u c h b e n i g h t e d p e o p l e a s B a s q u e s , F i n n s , a n d Lapps. B r o c a d i s p r o v e d this p o p u l a r tale c o n c l u s i v e l y b y d i s c o v e r i n g d o l i c h o c e p h a l i c s b o t h a m o n g S t o n e A g e skulls a n d within m o d e r n r e m n a n t s o f " p r i m i t i v e " stocks. I n d e e d , B r o c a h a d g o o d r e a s o n t o b e s u s p i c i o u s o f a t t e m p t s b y N o r d i c a n d T e u t o n i c scientists t o e n s h r i n e d o l i c h o c e p h a l y a s a m a r k o f h i g h e r capability. M o s t F r e n c h m e n , including Broca himself (Manouvrier, 1899), were b r a c h y c e p h a l i c . I n a p a s s a g e that recalls his dismissal o f T i e d e m a n n ' s c l a i m s f o r equality b e t w e e n black a n d w h i t e b r a i n s , B r o c a l a b e l e d Retzius's d o c t r i n e a s s e l f - s e r v i n g gratification r a t h e r t h a n e m p i r i c a l t r u t h . D i d h e e v e r c o n s i d e r t h e possibility that h e m i g h t fall p r e y to similar m o t i v a t i o n s ? Since the work of Mr. Retzius, scientists have generally held, without sufficient study, that dolichocephaly is a mark of superiority. Perhaps so; but we must also not forget that the characters of dolichocephaly and brachycephaly were studied first in Sweden, then in England, the United States and Germany—and that in all these countries, particularly in Sweden, the dolichocephalic type clearly predominates. It is a natural tendency of m e n , even a m o n g those most free of prejudice, to attach an idea of superiority to the dominant characteristics of their race (1861, p. 513). O b v i o u s l y , B r o c a d e c l i n e d t o e q u a t e b r a c h y c e p h a l y with i n h e r ent stupidity. Still, t h e p r e s t i g e o f d o l i c h o c e p h a l y was s o g r e a t that B r o c a felt m o r e t h a n a little u n c o m f o r t a b l e w h e n clearly i n f e r i o r people turned up l o n g h e a d e d — u n c o m f o r t a b l e e n o u g h to invent o n e o f his m o s t s t r i k i n g , u n b e a t a b l e a r g u m e n t s . T h e cranial i n d e x h a d r u n i n t o a s t u n n i n g difficulty: n o t o n l y w e r e A f r i c a n b l a c k s and A u s t r a l i a n a b o r i g i n e s d o l i c h o c e p h a l i c , b u t t h e y t u r n e d o u t t o be the w o r l d ' s m o s t l o n g h e a d e d p e o p l e s . A d d i n g insult t o this injury, t h e fossil C r o - M a g n o n skulls w e r e n o t o n l y l a r g e r t h a n those o f m o d e r n F r e n c h m e n ; t h e y w e r e m o r e d o l i c h o c e p h a l i c a s well.
I
3
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Dolichocephaly, B r o c a reasoned, could be attained in several w a y s . T h e l o n g h e a d e d n e s s that s e r v e d a s a m a r k o f T e u t o n i c genius
obviously
arose by
frontal
elongation.
Dolichocephalics
a m o n g people known to be inferior must have evolved by lengthe n i n g the b a c k — o c c i p i t a l d o l i c h o c e p h a l y i n B r o c a ' s t e r m s . W i t h o n e sweep, Broca e n c o m p a s s e d both the superior cranial capacity a n d t h e d o l i c h o c e p h a l y o f his C r o - M a g n o n fossils: " I t i s b y t h e greater d e v e l o p m e n t of their posterior c r a n i u m that their general cranial capacity is r e n d e r e d greater than o u r s " ( 1 8 7 3 a , p. 4 1 ) . As for blacks, they had acquired both a posterior elongation and a diminution in frontal width, thus giving them both a smaller brain i n g e n e r a l a n d a l o n g h e a d e d n e s s (not t o b e c o n f u s e d with t h e T e u t o n i c style) e x c e e d e d b y n o h u m a n g r o u p . A s t o t h e b r a c h y c e p h a l y o f F r e n c h m e n , i t i s n o f a i l u r e o f f r o n t a l e l o n g a t i o n (as t h e T e u t o n i c s u p r e m a c i s t s c l a i m e d ) , b u t a n a d d i t i o n o f w i d t h t o a skull a l r e a d y admirable. THE CASE OF THE FORAMEN MAGNUM
T h e f o r a m e n m a g n u m i s t h e h o l e i n the base o f o u r skull. T h e s p i n a l c o r d passes t h r o u g h i t a n d t h e v e r t e b r a l c o l u m n articulates t o t h e b o n e a r o u n d its e d g e (the occipital c o n d y l e ) . I n t h e e m b r y o l o g y o f all m a m m a l s , t h e f o r a m e n m a g n u m b e g i n s u n d e r t h e s k u l l , b u t m i g r a t e s b a c k t o a p o s i t i o n b e h i n d t h e skull a t b i r t h .
In
h u m a n s , t h e f o r a m e n m a g n u m m i g r a t e s o n l y slightly a n d r e m a i n s u n d e r t h e skull i n a d u l t s . T h e f o r a m e n m a g n u m o f a d u l t g r e a t apes occupies an intermediate position, not so far f o r w a r d as in h u m a n s , n o t s o f a r b a c k a s i n o t h e r m a m m a l s . T h e f u n c t i o n a l sign i f i c a n c e o f t h e s e o r i e n t a t i o n s i s clear. A n u p r i g h t a n i m a l like Homo sapiens m u s t h a v e its skull m o u n t e d on top of its v e r t e b r a l c o l u m n in o r d e r t o l o o k f o r w a r d w h e n s t a n d i n g erect; f o u r f o o t e d a n i m a l s m o u n t t h e i r v e r t e b r a l c o l u m n behind t h e i r skull a n d l o o k f o r w a r d i n their u s u a l p o s t u r e . T h e s e d i f f e r e n c e s p r o v i d e d a n irresistible s o u r c e f o r i n v i d i o u s c o m p a r i s o n . I n f e r i o r p e o p l e s s h o u l d h a v e a m o r e p o s t e r i o r foram e n m a g n u m , as in apes and lower mammals. In
1862 B r o c a
e n t e r e d a n e x i s t i n g s q u a b b l e o n this issue. R e l a t i v e e g a l i t a r i a n s like J a m e s C o w l e s P r i t c h a r d h a d b e e n a r g u i n g that t h e f o r a m e n m a g n u m lies e x a c t l y i n t h e c e n t e r o f t h e s k u l l i n b o t h whites a n d blacks. Racists like J . V i r e y h a d d i s c o v e r e d g r a d e d v a r i a t i o n , t h e h i g h e r
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the race, the m o r e forward the f o r a m e n m a g n u m . N e i t h e r side, B r o c a noted, h a d m u c h in the way of data. With characteristic objectivity, h e set o u t t o r e s o l v e this v e x a t i o u s , i f m i n o r , issue. B r o c a a m a s s e d a s a m p l e o f sixty w h i t e s a n d thirty-five b l a c k s a n d m e a s u r e d the l e n g t h o f t h e i r skulls b o t h b e f o r e a n d b e h i n d t h e a n t e r i o r b o r d e r o f t h e f o r a m e n m a g n u m . B o t h races h a d t h e s a m e a m o u n t o f skull b e h i n d — 1 0 0 . 3 8 5 m m f o r whites,
100.857
m m f o r blacks ( n o t e p r e c i s i o n t o t h i r d d e c i m a l p l a c e ) . B u t w h i t e s h a d m u c h less i n f r o n t ( 9 0 . 7 3 6 vs. 100.304 m m ) a n d t h e i r f o r a m e n m a g n u m t h e r e f o r e lay i n a m o r e a n t e r i o r p o s i t i o n (see T a b l e 3 . 1 ) . B r o c a c o n c l u d e d : " I n o r a n g - u t a n s , t h e p o s t e r i o r p r o j e c t i o n [the p a r t o f t h e skull b e h i n d the f o r a m e n m a g n u m ] i s s h o r t e r . I t i s t h e r e f o r e i n c o n t e s t a b l e . . . t h a t t h e c o n f o r m a t i o n of t h e N e g r o , in this r e s p e c t a s i n m a n y o t h e r s , t e n d s t o a p p r o a c h that o f the m o n k e y " ( 1 8 6 2 c , p . 16). But Broca then began to worry. T h e standard arg u m e nt about the f o r a m e n m a g n u m r e f e r r e d o n l y t o its r e l a t i v e p o s i t i o n o n the c r a n i u m itself, n o t t o t h e f a c e p r o j e c t i n g i n f r o n t o f t h e c r a n i u m . Y e t B r o c a h a d i n c l u d e d t h e f a c e i n his a n t e r i o r m e a s u r e . N o w everyone
k n o w s , h e w r o t e , that b l a c k s h a v e l o n g e r faces t h a n
whites. T h i s is an a p e l i k e sign of i n f e r i o r i t y in its o w n r i g h t , b u t it s h o u l d not b e c o n f u s e d with the r e l a t i v e p o s i t i o n o f t h e f o r a m e n m a g n u m w i t h i n t h e c r a n i u m . T h u s B r o c a set o u t t o s u b t r a c t the facial i n f l u e n c e f r o m his m e a s u r e s .
He found
that blacks d i d ,
i n d e e d , h a v e l o n g e r f a c e s — w h i t e faces a c c o u n t e d f o r o n l y 1 2 . 3 8 5 m m o f t h e i r a n t e r i o r m e a s u r e , black faces f o r 2 7 . 6 7 6 m m (see T a b l e 3 . 1 ) . S u b t r a c t i n g facial l e n g t h , B r o c a o b t a i n e d t h e f o l l o w i n g figures for anterior cranium: 78.351 for whites, 72.628 for blacks. In other words, based on the cranium alone, the f o r a m e n m a g n u m Table 3*1 Broca's measurements on the relative position of the foramen magnum DIFFERENCE IN
ANTERIOR
Facial Cranial 'STERIOR
WHITES
BLACKS
FAVOR OF BLACKS
90.736 12.385 78.351
100.304 27.676 72.628
+ 9.568 + 15.291 - 5.723
100.385
100.857
+
0.472
i34
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of blacks lay farther forward (the ratio of f r o n t to b a c k , c a l c u l a t e d f r o m B r o c a ' s d a t a , i s .781 f o r whites, a n d . 7 2 0 f o r blacks). C l e a r l y , b y criteria explicitly a c c e p t e d b e f o r e t h e s t u d y , blacks a r e s u p e r i o r t o whites. O r s o i t m u s t b e , unless t h e criteria s u d d e n l y shift, a s they did forthwith. T h e v e n e r a b l e a r g u m e n t o f f r o n t a n d b a c k a p p e a r e d t o resc u e Broca and the threatened people he represented. T h e m o r e f o r w a r d position o f t h e f o r a m e n m a g n u m i n blacks d o e s n o t r e c o r d t h e i r s u p e r i o r i t y a f t e r all; it o n l y reflects their lack of a n t e r i o r b r a i n p o w e r . R e l a t i v e to w h i t e s , blacks h a v e lost a g r e a t d e a l of b r a i n in front. But they have a d d e d some brain behind, thus r e d u c i n g the front/back ratio o f t h e f o r a m e n m a g n u m a n d p r o v i d i n g a s p u r i o u s a p p e a r a n c e o f black a d v a n t a g e . B u t they h a v e n o t a d d e d t o these i n f e r i o r b a c k r e g i o n s as m u c h as t h e y lost in t h e a n t e r i o r r e a l m . T h u s blacks h a v e s m a l l e r a n d m o r e p o o r l y p r o p o r t i o n e d b r a i n s t h a n whites: T h e anterior cranial projection of whites . . . surpasses that of N e g r o e s by 4.9 percent. . . . T h u s , while the foramen m a g n u m of Negroes is further back with respect to their incisors [Broca's most forward point in his anterior measure that included the face], it is, on the contrary, further forward with respect to the anterior e d g e of their brain. To change the cranium of a white into that of a N e g r o , we would have not only to move the jaws forward, but also to reduce the front of the cranium—that is, to make the anterior brain atrophy and to give, as insufficient compensation, part of the material we extracted to the posterior cranium. In other words, in N e g r o e s , the facial and occipital regions are developed to the detriment of the frontal region (1862c, p. 18). T h i s was a small i n c i d e n t in B r o c a ' s c a r e e r , b u t I c a n i m a g i n e no b e t t e r illustration o f his m e t h o d — s h i f t i n g criteria t o w o r k t h r o u g h g o o d d a t a t o w a r d d e s i r e d c o n c l u s i o n s . H e a d s I'm s u p e r i o r ; tails, you're inferior. A n d old a r g u m e n t s n e v e r s e e m t o die. W a l t e r F r e e m a n , d e a n o f A m e r i c a n l o b o t o m i s t s (he p e r f o r m e d o r s u p e r v i s e d thirty-five h u n d r e d lesions o f f r o n t a l p o r t i o n s o f t h e b r a i n b e f o r e his retirem e n t in 1 9 7 0 ) , a d m i t t e d late in his c a r e e r (cited in C h o r o v e r , 1979): What the investigator misses most in the m o r e highly intelligent individuals is their ability to introspect, to speculate, to philosophize, especially in regard to onesself. . . . On the whole, psychosurgery reduces creativity, sometimes to the vanishing point.
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F r e e m a n t h e n a d d e d that " w o m e n r e s p o n d b e t t e r t h a n m e n , Negroes better than whites." In other words, people w h o didn't h a v e as m u c h up f r o n t in t h e first p l a c e d o n ' t miss it as b a d l y .
Women's
brains
O f all his c o m p a r i s o n s b e t w e e n g r o u p s , B r o c a collected m o s t i n f o r m a t i o n o n t h e b r a i n s o f w o m e n vs. m e n — p r e s u m a b l y b e c a u s e i t w a s m o r e accessible, n o t b e c a u s e h e h e l d a n y special a n i m u s toward w o m e n . "Inferior" groups are interchangeable in the general t h e o r y o f b i o l o g i c a l d e t e r m i n i s m . T h e y a r e c o n t i n u a l l y j u x t a posed, and o n e is m a d e to serve as a surrogate for a l l — f o r the g e n e r a l p r o p o s i t i o n h o l d s that society follows n a t u r e , a n d that social r a n k reflects i n n a t e w o r t h . T h u s , E . H u s c h k e , a G e r m a n a n t h r o p o l o g i s t , w r o t e i n 1 8 5 4 : " T h e N e g r o b r a i n possesses a s p i n a l c o r d o f t h e t y p e f o u n d i n c h i l d r e n a n d w o m e n a n d , b e y o n d this, a p p r o a c h e s t h e t y p e o f b r a i n f o u n d i n h i g h e r a p e s " (in M a l l , 1 9 0 9 , pp. 1-2). T h e celebrated G e r m a n anatomist Carl V o g t wrote in 1864: By its r o u n d e d apex and less developed posterior lobe the N e g r o brain resembles that of our children, and by the protuberance of the parietal lobe, that of our females. . . . T h e grown-up N e g r o partakes, as regards his intellectual faculties, of the nature of the child, the female, and the senile white. . . . Some tribes have f o u n d e d states, possessing a peculiar organization; but, as to the rest, we may boldly assert that the whole race has, neither in the past nor in the present, performed anything tending to the progress of humanity or worthy of preservation (1864, p p . 183-192). G. H e r v e , a colleague of Broca, wrote in 1881: " M e n of the black races h a v e a b r a i n scarcely h e a v i e r t h a n that o f w h i t e w o m e n " ( 1 8 8 1 , p. 6 9 2 ) . I do n o t r e g a r d as e m p t y r h e t o r i c a c l a i m that the battles o f o n e g r o u p a r e f o r all o f u s . B r o c a c e n t e r e d his a r g u m e n t a b o u t t h e b i o l o g i c a l status o f m o d e r n w o m e n u p o n t w o sets o f d a t a : t h e l a r g e r b r a i n s o f m e n i n m o d e r n societies a n d a s u p p o s e d w i d e n i n g t h r o u g h t i m e o f t h e disparity i n size b e t w e e n m a l e a n d f e m a l e b r a i n s . H e b a s e d his m o s t extensive s t u d y u p o n a u t o p s i e s h e p e r f o r m e d i n f o u r Parisian h o s pitals. F o r 292 m a l e b r a i n s , h e c a l c u l a t e d a m e a n w e i g h t o f 1,325 g r a m s ; 140 f e m a l e b r a i n s a v e r a g e d 1 , 1 4 4 g r a m s f o r a d i f f e r e n c e o f 181 g r a m s , o r 1 4 p e r c e n t o f t h e m a l e w e i g h t . B r o c a u n d e r s t o o d , o f course, that p a r t o f this d i f f e r e n c e m u s t b e a t t r i b u t e d t o the l a r g e r
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size o f m a l e s . H e h a d u s e d s u c h a c o r r e c t i o n t o r e s c u e F r e n c h m e n f r o m a claim o f G e r m a n s u p e r i o r i t y (p. 1 2 1 ) . I n that case, h e k n e w h o w t o m a k e t h e c o r r e c t i o n i n e x q u i s i t e detail. B u t n o w h e m a d e n o a t t e m p t t o m e a s u r e t h e effect o f size a l o n e , a n d actually stated that h e d i d n ' t n e e d t o d o so. Size, a f t e r all, c a n n o t a c c o u n t f o r t h e e n t i r e d i f f e r e n c e b e c a u s e w e k n o w that w o m e n a r e n o t a s intelligent as men. We might ask if the small size of the female brain d e p e n d s exclusively u p o n the small size of her body. T i e d e m a n n has proposed this explanation. But we must not forget that w o m e n are, on the average, a little less intelligent than m e n , a difference which we should not exaggerate but which is, nonetheless, real. We are therefore permitted to s u p p o s e that the relatively small size of the female brain d e p e n d s in part u p o n her physical inferiority and in part u p o n her intellectual inferiority (1861, p. 153). To record the supposed widening of the g a p t h r o u g h time, B r o c a m e a s u r e d t h e cranial capacities o f p r e h i s t o r i c skulls f r o m L ' H o m m e M o r t c a v e . H e r e h e f o u n d a d i f f e r e n c e o f o n l y 99.5 c c between males and females, while m o d e r n populations r a n g e from 129.5 220.7 cc. T o p i n a r d , B r o c a ' s c h i e f d i s c i p l e , e x p l a i n e d t h e i n c r e a s i n g d i s c r e p a n c y t h r o u g h t i m e a s a result o f d i f f e r i n g e v o l u t i o n a r y p r e s s u r e s u p o n d o m i n a n t m e n a n d passive w o m e n : t
o
T h e man w h o fights for two or m o r e in the struggle for existence, who has all the responsibility and the cares of tomorrow, who is constantly active in combatting the environment and h u m a n rivals, needs m o r e brain than the woman w h o m he must protect and nourish, than the sedentary woman, lacking any interior occupations, whose role is to raise children, love, and be passive (1888, p. 22). In 1879 Gustave Le B o n , chief misogynist of Broca's school, u s e d t h e s e d a t a t o p u b l i s h w h a t m u s t b e t h e m o s t v i c i o u s attack u p o n w o m e n i n m o d e r n scientific l i t e r a t u r e (it will t a k e s o m e d o i n g t o b e a t A r i s t o t l e ) . L e B o n w a s n o m a r g i n a l h a t e - m o n g e r . H e was a f o u n d e r o f social p s y c h o l o g y a n d w r o t e a s t u d y o f c r o w d b e h a v i o r still cited a n d r e s p e c t e d t o d a y {La psychologie des Joules, 1895). His w r i t i n g s also h a d a s t r o n g i n f l u e n c e u p o n M u s s o l i n i . L e B o n c o n cluded: In the most intelligent races, as a m o n g the Parisians, there are a large n u m b e r of w o m e n whose brains are closer in size to those of gorillas than to the most developed male brains. This inferiority is so obvious that no o n e can contest it for a moment; only its d e g r e e is worth discussion. All
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psychologists w h o have studied the intelligence of w o m e n , as well as poets and novelists, recognize today that they represent the most inferior forms of h u m a n evolution and that they are closer to children and savages than to an adult, civilized man. T h e y excel in fickleness, inconstancy, absence of thought and logic, and incapacity to reason. Without doubt there exist s o m e distinguished w o m e n , very superior to the average man, but they are as exceptional as the birth of any monstrosity, as, for example, of a gorilla with two heads; consequently, we may neglect them entirely (1879, p p . 6 0 61). N o r d i d L e B o n s h r i n k f r o m t h e social i m p l i c a t i o n s o f his v i e w s . H e was h o r r i f i e d b y the p r o p o s a l o f s o m e A m e r i c a n r e f o r m e r s t o g r a n t w o m e n h i g h e r e d u c a t i o n o n t h e s a m e basis a s m e n : A desire to give them the same education, and, as a consequence, to propose the same goals for them, is a dangerous chimera. . . . T h e day w h e n , misunderstanding the inferior occupations which nature has given her, w o m e n leave the h o m e and take part in our battles; on this day a social revolution will begin, and everything that maintains the sacred ties of the family will disappear (1879, p. 62). Sound familiar?* I h a v e r e e x a m i n e d B r o c a ' s d a t a , t h e basis f o r all this d e r i v a t i v e p r o n o u n c e m e n t , a n d I find the n u m b e r s s o u n d b u t B r o c a ' s interp r e t a t i o n , t o say t h e least, ill f o u n d e d . T h e claim f o r i n c r e a s i n g d i f f e r e n c e t h r o u g h t i m e is easily d i s m i s s e d . B r o c a b a s e d this c o n tention o n t h e s a m p l e f r o m L ' H o m m e M o r t a l o n e . I t consists o f seven m a l e , a n d six f e m a l e , skulls. N e v e r has s o m u c h b e e n c o a x e d f r o m so little! I n 1888 T o p i n a r d p u b l i s h e d B r o c a ' s m o r e e x t e n s i v e d a t a o n Parisian hospitals. S i n c e B r o c a r e c o r d e d h e i g h t a n d a g e a s well a s brain size, w e m a y u s e m o d e r n statistical p r o c e d u r e s t o r e m o v e their effect. B r a i n w e i g h t d e c r e a s e s with a g e , a n d B r o c a ' s w o m e n w e r e , o n a v e r a g e , c o n s i d e r a b l y o l d e r t h a n his m e n a t d e a t h . B r a i n weight i n c r e a s e s with h e i g h t , a n d his a v e r a g e m a n was a l m o s t h a l f a foot taller t h a n his a v e r a g e w o m a n . I u s e d m u l t i p l e r e g r e s s i o n , a technique that p e r m i t s s i m u l t a n e o u s a s s e s s m e n t o f t h e i n f l u e n c e o f "Ten years later, America's leading evolutionary biologist, E. D. Cope, dreaded the result if "a spirit of revolt become general among women." "Should the nation have attack of this kind," he wrote (1890, p. 2071), "like a disease, it would leave its traces in many after-generations." He detected the beginnings of such anarchy in Pressures exerted by women "to prevent men from drinking wine and smoking ooacco in moderation," and in the carriage of misguided men who supported "lale suffrage: "Some of these men are effeminate and long-haired." a n
i8
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3
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h e i g h t a n d a g e u p o n b r a i n size. I n a n analysis o f t h e d a t a f o r w o m e n , I f o u n d that, at a v e r a g e male height and a g e , a w o m a n ' s brain w o u l d weigh 1,212 grams.* Correction for height and age reduces the
181
g r a m difference by m o r e than a third to
113
grams. It is difficult to assess this r e m a i n i n g d i f f e r e n c e b e c a u s e B r o c a ' s d a t a c o n t a i n n o i n f o r m a t i o n a b o u t o t h e r f a c t o r s k n o w n t o influe n c e b r a i n size i n a m a j o r way. C a u s e o f d e a t h h a s a n i m p o r t a n t e f f e c t , as d e g e n e r a t i v e d i s e a s e o f t e n entails a substantial d i m i n u tion o f b r a i n size. E u g e n e S c h r e i d e r ( 1 9 6 6 ) , also w o r k i n g with B r o c a ' s d a t a , f o u n d t h a t m e n killed i n a c c i d e n t s h a d b r a i n s w e i g h i n g , o n a v e r a g e , 6 0 g r a m s m o r e t h a n m e n d y i n g o f i n f e c t i o u s diseases. T h e best m o d e r n d a t a that I hospitals) r e c o r d s a full
c a n find
(from American
100 g r a m d i f f e r e n c e b e t w e e n d e a t h b y
d e g e n e r a t i v e heart disease a n d by accident or violence. Since so m a n y o f B r o c a ' s subjects w e r e e l d e r l y w o m e n , w e m a y a s s u m e t h a t l e n g t h y d e g e n e r a t i v e d i s e a s e was m o r e c o m m o n a m o n g t h e m t h a n a m o n g the men. M o r e i m p o r t a n t l y , m o d e r n s t u d e n t s o f b r a i n size h a v e still n o t agreed on a p r o p e r measure to eliminate the powerful effect of b o d y size ( J e r i s o n , 1 9 7 3 ; G o u l d , 1 9 7 5 ) . H e i g h t i s p a r t l y a d e q u a t e , but m e n and w o m e n of the same height do not share the same b o d y b u i l d . W e i g h t i s e v e n w o r s e t h a n h e i g h t , b e c a u s e m o s t o f its v a r i a t i o n reflects n u t r i t i o n r a t h e r t h a n intrinsic s i z e — a n d fat vs. s k i n n y e x e r t s little i n f l u e n c e u p o n t h e b r a i n . L e o n c e M a n o u v r i e r t o o k u p this subject i n t h e 1880s a n d a r g u e d that m u s c u l a r mass a n d f o r c e s h o u l d b e u s e d . H e t r i e d t o m e a s u r e this e l u s i v e p r o p e r t y in various ways a n d f o u n d a m a r k e d difference in favor of m e n , even in men and w o m e n of the same height. W h e n he corrected f o r w h a t h e c a l l e d " s e x u a l m a s s , " w o m e n c a m e o u t slightly a h e a d in b r a i n size. T h u s , t h e c o r r e c t e d 1 1 3 g r a m d i f f e r e n c e i s s u r e l y t o o l a r g e ; the t r u e f i g u r e i s p r o b a b l y c l o s e t o z e r o a n d m a y a s well f a v o r w o m e n a s m e n . O n e h u n d r e d t h i r t e e n g r a m s , b y t h e w a y , i s e x a c t l y the a v e r a g e d i f f e r e n c e b e t w e e n a f i v e - f o o t f o u r - i n c h a n d a six-footf o u r - i n c h m a l e i n B r o c a ' s d a t a t — a n d w e w o u l d n o t w a n t t o ascribe *I calculate, where y is brain size in grams, x, age in years, and x body height in cm: y = 764.5-2.55X, +3.47x2 t For his largest sample of males, and using the favored power function for bivanate 2
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g r e a t e r i n t e l l i g e n c e t o tall m e n . I n s h o r t , B r o c a ' s d a t a d o n o t p e r m i t a n y c o n f i d e n t c l a i m that m e n h a v e b i g g e r b r a i n s t h a n w o m e n . M a r i a M o n t e s s o r i d i d n o t c o n f i n e h e r activities t o e d u c a t i o n a l r e f o r m f o r y o u n g c h i l d r e n . S h e l e c t u r e d o n a n t h r o p o l o g y f o r several y e a r s a t t h e U n i v e r s i t y o f R o m e a n d w r o t e a n influential b o o k e n t i t l e d Pedagogical Anthropology ( E n g l i s h e d i t i o n ,
1913). She was,
t o say the least, n o e g a l i t a r i a n . S h e s u p p o r t e d m o s t o f B r o c a ' s w o r k and the theory of innate criminality p r o p o s e d by h e r compatriot Cesare L o m b r o s o (next chapter). She measured the circumference o f c h i l d r e n ' s h e a d s i n h e r s c h o o l s a n d i n f e r r e d t h a t the best p r o s pects had b i g g e r brains. B u t she had no use for Broca's conclusions about w o m e n . She discussed Manouvrier's work at length a n d m a d e m u c h o f his tentative claim that w o m e n h a v e slightly l a r g e r brains when p r o p e r corrections are m a d e . W o m e n , she concluded, a r e intellectually s u p e r i o r t o m e n , b u t m e n h a v e p r e v a i l e d h e r e t o f o r e b y d i n t o f p h y s i c a l f o r c e . S i n c e t e c h n o l o g y has a b o l i s h e d f o r c e as an instrument of power, the era of w o m e n may soon be u p o n us: " I n s u c h a n e p o c h t h e r e will really b e s u p e r i o r h u m a n b e i n g s , t h e r e will really b e m e n s t r o n g i n m o r a l i t y a n d i n s e n t i m e n t . P e r h a p s i n this w a y t h e r e i g n o f w o m a n i s a p p r o a c h i n g , w h e n t h e enigma of her anthropological
s u p e r i o r i t y will b e d e c i p h e r e d .
W o m a n was a l w a y s t h e c u s t o d i a n o f h u m a n s e n t i m e n t , m o r a l i t y and h o n o r " ( 1 9 1 3 , p . 259). M o n t e s s o r i ' s a r g u m e n t r e p r e s e n t s o n e possible a n t i d o t e t o "scientific" claims f o r t h e c o n s t i t u t i o n a l i n f e r i o r i t y o f c e r t a i n g r o u p s . O n e m a y a f f i r m t h e validity o f b i o l o g i c a l d i s t i n c t i o n s , b u t a r g u e that the d a t a h a v e b e e n m i s i n t e r p r e t e d b y p r e j u d i c e d m e n w i t h a stake i n t h e o u t c o m e , a n d t h a t d i s a d v a n t a g e d g r o u p s a r e truly s u p e r i o r . I n r e c e n t y e a r s , E l a i n e M o r g a n h a s f o l l o w e d this s t r a t e g y in h e r Descent of Woman,
a s p e c u l a t i v e r e c o n s t r u c t i o n of h u m a n
prehistory f r o m t h e w o m a n ' s p o i n t o f v i e w — a n d a s farcical a s m o r e f a m o u s tall tales b y a n d f o r m e n . I d e d i c a t e this b o o k to a d i f f e r e n t p o s i t i o n . M o n t e s s o r i a n d Morgan follow Broca's m e t h o d to reach a m o r e congenial conclusion. I w o u l d r a t h e r label t h e w h o l e e n t e r p r i s e of setting a b i o l o g i cal value u p o n g r o u p s f o r w h a t it is:
i r r e l e v a n t , intellectually
unsound, and highly injurious. > . calculate, where y is brain weight in grams and x is ^ height in cm: y = 1 1,6x° •«
bodv ii -°!" S
b r a i n
a l l o m e t r
1
2
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Postscript C r a n i o m e t r i c a r g u m e n t s lost m u c h o f their luster i n o u r c e n t u r y , a s d e t e r m i n i s t s s w i t c h e d their a l l e g i a n c e t o i n t e l l i g e n c e t e s t i n g — a m o r e " d i r e c t " p a t h t o t h e s a m e invalid g o a l o f r a n k i n g g r o u p s b y m e n t a l w o r t h — a n d a s scientists e x p o s e d t h e p r e j u d i c e d n o n s e n s e that d o m i n a t e d m o s t l i t e r a t u r e o n f o r m a n d size o f the h e a d . T h e A m e r i c a n anthropologist Franz Boas, for e x a m p l e , m a d e short w o r k o f t h e f a b l e d c r a n i a l i n d e x b y s h o w i n g that i t v a r i e d widely b o t h a m o n g a d u l t s o f a single g r o u p a n d within t h e life o f a n individu a l ( B o a s , 1899). M o r e o v e r , h e f o u n d significant d i f f e r e n c e s i n cranial i n d e x b e t w e e n i m m i g r a n t p a r e n t s a n d t h e i r A m e r i c a n - b o r n children. T h e immutable obtuseness of the brachycephalic southern E u r o p e a n might veer toward the dolichocephalic Nordic n o r m in a single g e n e r a t i o n o f a l t e r e d e n v i r o n m e n t ( B o a s , 1 9 1 1 ) . I n 1 9 7 0 the S o u t h A f r i c a n a n t h r o p o l o g i s t P . V . T o b i a s w r o t e a c o u r a g e o u s article e x p o s i n g t h e m y t h that g r o u p d i f f e r e n c e s i n b r a i n size b e a r a n y r e l a t i o n s h i p t o i n t e l l i g e n c e — i n d e e d , h e a r g u e d , g r o u p d i f f e r e n c e s i n b r a i n size, i n d e p e n d e n t o f b o d y size a n d o t h e r b i a s i n g f a c t o r s , h a v e n e v e r b e e n d e m o n s t r a t e d a t all. T h i s c o n c l u s i o n m a y strike r e a d e r s a s s t r a n g e , especially since i t c o m e s f r o m a f a m o u s scientist well a c q u a i n t e d with t h e r e a m s o f p u b l i s h e d d a t a o n b r a i n size. A f t e r all, w h a t c a n b e s i m p l e r than w e i g h i n g a b r a i n ? — T a k e i t o u t , a n d p u t i t o n t h e scale. O n e set o f difficulties r e f e r s to p r o b l e m s of m e a s u r e m e n t itself: at w h a t level is the b r a i n s e v e r e d f r o m t h e spinal c o r d ; a r e t h e m e n i n g e s r e m o v e d o r n o t ( m e n i n g e s a r e t h e b r a i n ' s c o v e r i n g m e m b r a n e s , a n d the d u r a m a t e r , o r thick o u t e r c o v e r i n g , w e i g h s 5 0 t o 6 0 g r a m s ) ; h o w m u c h t i m e e l a p s e d a f t e r d e a t h ; was t h e b r a i n p r e s e r v e d i n a n y fluid b e f o r e w e i g h i n g a n d , i f so, f o r h o w l o n g ; a t w h a t t e m p e r a t u r e w a s the b r a i n p r e s e r v e d a f t e r d e a t h . M o s t l i t e r a t u r e d o e s n o t specify t h e s e factors a d e q u a t e l y , a n d studies m a d e b y d i f f e r e n t scientists usually c a n n o t b e c o m p a r e d . E v e n w h e n w e c a n b e s u r e that t h e s a m e object has been measured in the same way u n d e r the same conditions, a second set o f biases i n t e r v e n e s — i n f l u e n c e s u p o n b r a i n size w i t h n o direct tie t o t h e d e s i r e d p r o p e r t i e s o f i n t e l l i g e n c e o r racial affiliation: sex, b o d y size, a g e , n u t r i t i o n , n o n n u t r i t i o n a l e n v i r o n m e n t , o c c u p a t i o n , and cause of death. T h u s , despite thousands of published pages, a n d t e n s o f t h o u s a n d s o f subjects, T o b i a s c o n c l u d e s that w e d o not
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I
4
I
k n o w — a s i f i t m a t t e r e d a t a l l — w h e t h e r blacks, o n t h e a v e r a g e , h a v e l a r g e r o r s m a l l e r brains t h a n whites. Y e t t h e l a r g e r size o f white brains was a n u n q u e s t i o n e d " f a c t " a m o n g w h i t e scientists until quite recently. Many investigators have devoted an extraordinary a m o u n t of a t t e n t i o n t o t h e subject o f g r o u p d i f f e r e n c e s i n h u m a n b r a i n size. T h e y have gotten nowhere, not because there are no answers, but b e c a u s e t h e a n s w e r s a r e so difficult to g e t a n d b e c a u s e t h e a p r i o r i convictions are so clear and controlling. In the heat of Broca's debate with G r a t i o l e t , o n e of B r o c a ' s d e f e n d e r s , a d m i t t e d l y as a nasty d e b a t i n g p o i n t , m a d e a r e m a r k that a d m i r a b l y e p i t o m i z e s t h e motivations implicit in t h e e n t i r e c r a n i o m e t r i c t r a d i t i o n : "I h a v e n o t i c e d f o r a l o n g t i m e , " stated de J o u v e n c e l (1861, p. 465), "that, in g e n e r a l , those w h o d e n y t h e intellectual i m p o r t a n c e o f t h e brain's v o l u m e h a v e small h e a d s . " Self-interest, f o r w h a t e v e r r e a s o n , has b e e n the w e l l s p r i n g o f o p i n i o n o n this h e a d y issue f r o m t h e start.
FOUR
Measuring Bodies Two Case Studies on the Apishness of Undesirables T H E CONCEPT OF EVOLUTION t r a n s f o r m e d h u m a n t h o u g h t d u r i n g the n i n e t e e n t h c e n t u r y . N e a r l y e v e r y q u e s t i o n i n t h e life sciences was r e f o r m u l a t e d i n its light. N o i d e a was e v e r m o r e w i d e l y u s e d , o r m i s u s e d ("social D a r w i n i s m " a s a n e v o l u t i o n a r y r a t i o n a l e f o r the inevitability o f p o v e r t y , f o r e x a m p l e ) . B o t h c r e a t i o n i s t s ( A g a s s i z a n d Morton) a n d evolutionists (Broca and Galton) could exploit t h e d a t a o f b r a i n size t o m a k e their invalid a n d i n v i d i o u s distinctions a m o n g g r o u p s . B u t o t h e r q u a n t i t a t i v e a r g u m e n t s a r o s e a s m o r e d i r e c t s p i n o f f s f r o m e v o l u t i o n a r y t h e o r y . I n this c h a p t e r I discuss t w o a s r e p r e s e n t a t i v e s o f a p r e v a l e n t t y p e ; t h e y p r e s e n t b o t h a s t r o n g c o n t r a s t a n d a n i n t e r e s t i n g similarity. T h e f i r s t i s t h e m o s t g e n e r a l e v o l u t i o n a r y d e f e n s e o f all f o r r a n k i n g g r o u p s — t h e a r g u m e n t f r o m r e c a p i t u l a t i o n , o f t e n e p i t o m i z e d b y the o b f u s c a t i n g tongue-twister "ontogeny recapitulates phylogeny." T h e second is a
specific
human
evolutionary
criminal
hypothesis
for
behavior—Lombroso's
the
biological
criminal
nature
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anthropology.
Both theories relied u p o n the same quantitative and supposedly e v o l u t i o n a r y m e t h o d — t h e s e a r c h f o r signs o f a p i s h m o r p h o l o g y i n groups d e e m e d undesirable.
The ape in all of us: recapitulation O n c e the fact o f e v o l u t i o n h a d b e e n e s t a b l i s h e d , n i n e t e e n t h c e n t u r y naturalists d e v o t e d t h e m s e l v e s t o t r a c i n g t h e a c t u a l p a t h ways that evolution h a d followed. T h e y sought, in o t h e r w o r d s , to
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r e c o n s t r u c t t h e t r e e o f life. Fossils m i g h t h a v e p r o v i d e d t h e evid e n c e , f o r o n l y t h e y c o u l d r e c o r d t h e actual a n c e s t o r s o f m o d e r n f o r m s . B u t t h e fossil r e c o r d i s e x t r e m e l y i m p e r f e c t , a n d t h e m a j o r t r u n k s a n d b r a n c h e s o f life's t r e e all g r e w b e f o r e t h e e v o l u t i o n o f h a r d p a r t s p e r m i t t e d t h e p r e s e r v a t i o n o f a fossil r e c o r d a t all. S o m e indirect criterion had to be f o u n d . Ernst Haeckel, the great Germ a n zoologist, refurbished an old theory of creationist biology a n d s u g g e s t e d that t h e t r e e o f life m i g h t b e r e a d d i r e c t l y f r o m t h e e m b r y o l o g i c a l d e v e l o p m e n t o f h i g h e r f o r m s . H e p r o c l a i m e d that " o n t o g e n y r e c a p i t u l a t e s p h y l o g e n y " o r , t o e x p l i c a t e this m e l l i f l u o u s t o n g u e - t w i s t e r , that a n i n d i v i d u a l , i n its o w n g r o w t h , passes t h r o u g h a series of stages r e p r e s e n t i n g adult a n c e s t r a l f o r m s in their c o r r e c t o r d e r — a n i n d i v i d u a l , i n s h o r t , climbs its o w n f a m i l y tree. R e c a p i t u l a t i o n r a n k s a m o n g t h e m o s t influential i d e a s o f late n i n e t e e n t h - c e n t u r y science. I t d o m i n a t e d the w o r k o f s e v e r a l professions, including embryology, comparative m o r p h o l o g y , a n d p a l e o n t o l o g y . A l l t h e s e disciplines w e r e o b s e s s e d w i t h t h e i d e a o f r e c o n s t r u c t i n g e v o l u t i o n a r y l i n e a g e s , a n d all r e g a r d e d r e c a p i t u l a tion a s the k e y t o this q u e s t . T h e gill slits o f a n e a r l y h u m a n e m b r y o r e p r e s e n t e d an a n c e s t r a l a d u l t fish; at a later s t a g e , t h e t e m p o r a r y tail r e v e a l e d a r e p t i l i a n or m a m m a l i a n a n c e s t o r . R e c a p i t u l a t i o n spilled f o r t h f r o m b i o l o g y t o i n f l u e n c e s e v e r a l o t h e r disciplines i n crucial w a y s . B o t h S i g m u n d F r e u d a n d C. G . J u n g were c o n v i n c e d recapitulationists, a n d Haeckel's idea played n o small r o l e i n t h e d e v e l o p m e n t o f p s y c h o a n a l y t i c t h e o r y . (In Totem and Taboo, f o r e x a m p l e , F r e u d tries to r e c o n s t r u c t h u m a n history f r o m a c e n t r a l c l u e p r o v i d e d b y t h e O e d i p u s c o m p l e x o f y o u n g b o y s . F r e u d r e a s o n e d that this u r g e t o p a r r i c i d e m u s t reflect a n actual e v e n t a m o n g ancestral a d u l t s . H e n c e , t h e sons o f a n ancestral c l a n m u s t o n c e h a v e killed t h e i r f a t h e r i n o r d e r t o g a i n access t o w o m e n . ) M a n y p r i m a r y - s c h o o l c u r r i c u l u m s o f t h e late nineteenth c e n t u r y w e r e r e c o n s t r u c t e d i n t h e l i g h t o f r e c a p i t u l a tion. Several s c h o o l b o a r d s p r e s c r i b e d t h e Song of Hiawatha in early grades, r e a s o n i n g that c h i l d r e n , p a s s i n g t h r o u g h t h e s a v a g e s t a g e ° f their ancestral p a s t , w o u l d identify with it.* hf i f d > the justification provided for recapitulation by Haeckel and h^hi S ' ^ ^ reasons for its later downfall, may consult my dull, but 'ghly detailed treatise, Ontogeny and Phylogeny, Harvard University Press, 1977. e a t
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R e c a p i t u l a t i o n also p r o v i d e d a n irresistible c r i t e r i o n f o r a n y scientist w h o w a n t e d t o r a n k h u m a n g r o u p s a s h i g h e r a n d l o w e r . T h e adults of inferior g r o u p s m u s t be like children of superior g r o u p s , f o r t h e c h i l d r e p r e s e n t s a p r i m i t i v e a d u l t a n c e s t o r . I f a d u l t blacks a n d w o m e n a r e like w h i t e m a l e c h i l d r e n , t h e n they a r e living r e p r e s e n tatives o f a n a n c e s t r a l s t a g e i n the e v o l u t i o n o f w h i t e m a l e s . A n anatomical theory for ranking races—based on entire bodies, not only o n h e a d s — h a d been f o u n d . R e c a p i t u l a t i o n s e r v e d as a g e n e r a l t h e o r y of b i o l o g i c a l d e t e r minism. All "inferior" g r o u p s — r a c e s , sexes, and classes—were c o m p a r e d with t h e c h i l d r e n o f w h i t e m a l e s . E . D . C o p e , t h e celebrated A m e r i c a n paleontologist who elucidated the mechanism of r e c a p i t u l a t i o n (see G o u l d , 1 9 7 7 , p p . 8 5 - 9 1 ) , i d e n t i f i e d f o u r g r o u p s o f l o w e r h u m a n f o r m s o n this c r i t e r i o n : n o n w h i t e r a c e s , all w o m e n , southern as o p p o s e d to northern E u r o p e a n whites, a n d lower classes w i t h i n s u p e r i o r r a c e s ( 1 8 8 7 , PP- 9 9 3 — C o p e particularly d e s p i s e d " t h e l o w e r classes o f t h e I r i s h " ) . C o p e p r e a c h e d t h e d o c t r i n e o f N o r d i c s u p r e m a c y a n d a g i t a t e d t o curtail t h e i m m i g r a tion o f J e w s a n d s o u t h e r n E u r o p e a n s t o A m e r i c a . T o e x p l a i n t h e inferiority of southern E u r o p e a n s in recapitulatory terms, he a r g u e d that w a r m e r climates i m p o s e a n e a r l i e r m a t u r a t i o n . S i n c e m a t u r a t i o n signals t h e s l o w d o w n a n d cessation o f b o d i l y d e v e l o p ment, southern E u r o p e a n s are caught in a m o r e childlike, hence p r i m i t i v e , state a s a d u l t s . S u p e r i o r n o r t h e r n e r s m o v e o n t o h i g h e r stages b e f o r e a later m a t u r a t i o n cuts o f f t h e i r d e v e l o p m e n t : 2
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T h e r e can be little doubt that in the Indo-European race maturity in s o m e respects appears earlier in tropical than in northern regions; and though subject to many exceptions, this is sufficiently general to be looked u p o n as a rule. Accordingly, we find in that race—at least in the warmer regions of Europe and America—a larger proportion of certain qualities which are m o r e universal in w o m e n , as greater activity of the emotional nature when compared with the j u d g m e n t . . . . Perhaps the m o r e northern type left all that behind in its youth (1887, p p . 162-163). Recapitulation provided a primary focus for anthropometric, p a r t i c u l a r l y c r a n i o m e t r i c , a r g u m e n t s a b o u t t h e r a n k i n g o f races. T h e brain, once again, played a d o m i n a n t role. Louis Agassiz, in a c r e a t i o n i s t c o n t e x t , h a d a l r e a d y c o m p a r e d t h e b r a i n o f a d u l t blacks with that o f a w h i t e f e t u s s e v e n m o n t h s o l d . W e h a v e a l r e a d y cited
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(p. 103) V o g t ' s r e m a r k a b l e s t a t e m e n t e q u a t i n g t h e b r a i n s o f a d u l t blacks a n d w h i t e w o m e n w i t h t h o s e o f w h i t e m a l e c h i l d r e n a n d e x p l a i n i n g , o n this basis, t h e f a i l u r e o f black p e o p l e t o b u i l d a n y civilization w o r t h y o f his n o t i c e . C o p e also f o c u s e d u p o n t h e skull, p a r t i c u l a r l y u p o n " t h o s e important elements of beauty, a well-developed nose and b e a r d " ( 1 8 8 7 , p p . 2 8 8 - 2 9 0 ) , b u t h e also d e r i d e d t h e d e f i c i e n t calf m u s c u l a t u r e o f blacks: T w o of the most prominent characters of the negro are those of immature stages of the Indo-European race in its characteristic types. T h e deficient calf is the character of infants at a very early stage; but, what is m o r e important, the flattened bridge of the nose and shortened nasal cartilages are universally immature conditions of the same parts in the IndoEuropean. . . . In s o m e races—e.g., the Slavic—this u n d e v e l o p e d character persists later than in s o m e others. T h e Greek nose, with its elevated bridge, coincides not only with aesthetic beauty, but with developmental perfection. I n 1890 A m e r i c a n a n t h r o p o l o g i s t D . G . B r i n t o n s u m m a r i z e d t h e a r g u m e n t with a p a e a n o f p r a i s e f o r m e a s u r e m e n t : T h e adult who retains the m o r e n u m e r o u s fetal, infantile or simian traits, is unquestionably inferior to him whose development has progressed beyond them. . . . Measured by these criteria, the European or white race stands at the head of the list, the African or negro at its foot. . . . All parts of the body have been minutely scanned, measured and weighed, in order to erect a science of the comparative anatomy of the races (1890, p. 48). I f a n a t o m y built t h e h a r d a r g u m e n t o f r e c a p i t u l a t i o n , p s y c h i c d e v e l o p m e n t o f f e r e d a rich f i e l d f o r c o r r o b o r a t i o n . D i d n ' t e v e r y o n e k n o w that s a v a g e s a n d w o m e n a r e e m o t i o n a l l y like c h i l d r e n ? Despised g r o u p s h a d b e e n c o m p a r e d w i t h c h i l d r e n b e f o r e , b u t t h e theory o f r e c a p i t u l a t i o n g a v e this old c h e s t n u t t h e respectability o f main-line scientific t h e o r y . " T h e y ' r e like c h i l d r e n " was n o l o n g e r just a m e t a p h o r of b i g o t r y ; it n o w e m b o d i e d a t h e o r e t i c a l c l a i m that inferior p e o p l e w e r e literally m i r e d i n a n ancestral s t a g e o f s u p e rior groups. G . Stanley H a l l , t h e n A m e r i c a ' s l e a d i n g p s y c h o l o g i s t , stated t h e general a r g u m e n t i n 1904: " M o s t s a v a g e s i n m o s t respects a r e chiln , or, because of sexual maturity, m o r e properly, adolescents of r e
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a d u l t size" ( 1 9 0 4 , vol. 2, p. 6 4 9 ) . A. F. C h a m b e r l a i n , his c h i e f disc i p l e , o p t e d f o r t h e paternalistic m o d e : " W i t h o u t p r i m i t i v e p e o p l e s , t h e w o r l d at l a r g e w o u l d be m u c h w h a t in small it is w i t h o u t t h e blessing of children." T h e recapitulationists e x t e n d e d t h e i r a r g u m e n t t o a n astonishi n g a r r a y o f h u m a n capacities. C o p e c o m p a r e d p r e h i s t o r i c a r t with the sketches of children and living "primitives" (1887, p. 153): " W e find that t h e e f f o r t s o f t h e earliest r a c e s o f w h i c h w e h a v e a n y k n o w l e d g e w e r e q u i t e similar t o t h o s e w h i c h t h e u n t a u g h t h a n d o f i n f a n c y traces o n its slate o r t h e s a v a g e d e p i c t s o n t h e r o c k y faces o f cliffs." J a m e s Sully, a l e a d i n g E n g l i s h p s y c h o l o g i s t , c o m p a r e d t h e aesthetic senses o f c h i l d r e n a n d s a v a g e s , b u t g a v e t h e e d g e t o children (1895, p. 386): In much of this first crude utterance of the aesthetic sense of the child we have points of contact with the first manifestations of taste in the race. Delight in bright, glistening things, in gay things, in strong contrasts of color, as well as in certain forms of m o v e m e n t , as that of feathers—the favorite personal adornment—this is known to be characteristic of the savage and gives to his taste in the eyes of civilized man the look of childishness. On the other hand, it is doubtful whether the savage attains to the sentiment of the child for the beauty of flowers. H e r b e r t S p e n c e r , t h e a p o s t l e o f social D a r w i n i s m , o f f e r e d a pithy s u m m a r y ( 1 8 9 5 , p p . 8 9 - 9 0 ) : " T h e intellectual traits o f t h e uncivili z e d . . . a r e traits r e c u r r i n g in t h e c h i l d r e n of t h e c i v i l i z e d . " Since recapitulation b e c a m e a focus for the general theory of b i o l o g i c a l d e t e r m i n i s m , m a n y m a l e scientists e x t e n d e d t h e a r g u m e n t t o w o m e n . E . D . C o p e c l a i m e d that t h e " m e t a p h y s i c a l c h a r acteristics" o f w o m e n w e r e . . . very similar in essential nature to those which m e n exhibit at an early stage of development. . . . T h e gentler sex is characterized by a greater impressibility; . . . warmth of emotion, submission to its influence rather than that of logic; timidity and irregularity of action in the outer world. All these qualities belong to the male sex, as a general rule, at s o m e period of life, though different individuals lose t h e m at very various periods. . . • Probably most m e n can recollect some early period of their lives when the emotional nature predominated—a time when emotion at the sight of suffering was more easily stirred than in maturer years. . . . Perhaps all men can recall a period of youth when they were hero-worshippers—when they felt the need of a stronger arm, and loved to look up to the powerful
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friend who could sympathize with and aid them. This is the "woman stage" of character (1887, p. 159). In what must be the most absurd statement in the annals of biological d e t e r m i n i s m , G. S t a n l e y H a l l — a g a i n , I r e m i n d y o u , n o t a c r a c k p o t , b u t A m e r i c a ' s p r e m i e r p s y c h o l o g i s t — i n v o k e d the h i g h e r s u i c i d e rates o f w o m e n a s a sign o f their p r i m i t i v e e v o l u t i o n a r y status ( 1 9 0 4 , v o l . 2, p. 194): T h i s is o n e expression of a p r o f o u n d psychic difference between the sexes. Woman's body and soul is phyletically older and m o r e primitive, while man is m o r e m o d e r n , variable, and less conservative. W o m e n are always inclined to preserve old customs and ways of thinking. W o m e n prefer passive methods; to give themselves up to the power of elemental forces, as gravity, when they throw themselves from heights or take poison, in which m e t h o d s of suicide they surpass man. Havelock Ellis thinks drowning is b e c o m i n g m o r e frequent, and that therein w o m e n are becoming more womanly. As a justification for imperialism, recapitulation o f f e r e d too much promise to remain sequestered in academic pronouncem e n t s . I h a v e a l r e a d y cited C a r l V o g t ' s low o p i n i o n o f A f r i c a n blacks, b a s e d o n his c o m p a r i s o n o f t h e i r b r a i n s with t h o s e o f w h i t e c h i l d r e n . B . K i d d e x t e n d e d t h e a r g u m e n t t o j u s t i f y colonial e x p a n sion into t r o p i c a l A f r i c a ( 1 8 9 8 , p . 5 1 ) . W e a r e , h e w r o t e , " d e a l i n g with p e o p l e s w h o r e p r e s e n t the s a m e s t a g e i n t h e history o f t h e d e v e l o p m e n t o f t h e r a c e that t h e child d o e s i n t h e history o f t h e d e v e l o p m e n t o f t h e i n d i v i d u a l . T h e tropics will n o t , t h e r e f o r e , b e d e v e l o p e d b y t h e natives t h e m s e l v e s . " I n the c o u r s e o f a d e b a t e a b o u t o u r r i g h t t o a n n e x t h e P h i l i p pines, R e v . J o s i a h S t r o n g , a l e a d i n g A m e r i c a n imperialist, p i o u s l y d e c l a r e d that " o u r policy s h o u l d b e d e t e r m i n e d n o t b y n a t i o n a l ambition, n o r b y c o m m e r c i a l c o n s i d e r a t i o n s , b u t b y o u r d u t y t o t h e world i n g e n e r a l a n d t o t h e Filipinos i n p a r t i c u l a r " ( 1 9 0 0 , p . 287). His o p p o n e n t s , c i t i n g H e n r y C l a y ' s c o n t e n t i o n that t h e L o r d w o u l d not c r e a t e a p e o p l e i n c a p a b l e o f s e l f - g o v e r n m e n t , a r g u e d a g a i n s t t i i e n e e d f o r o u r b e n e v o l e n t t u t e l a g e . B u t C l a y h a d s p o k e n i n the bad old d a y s b e f o r e e v o l u t i o n a r y t h e o r y a n d r e c a p i t u l a t i o n : Clay's conception was formed . . . before modern science had shown that races develop in the course of centuries as individuals do in years, and an u n d e v e l o p e d race, which is incapable of self-government, is no a t
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m o r e of a reflection on the Almighty than is an u n d e v e l o p e d child w h o is incapable of self-government. T h e opinions of m e n w h o in this enlighte n e d day believe that the Filipinos are capable of self-government because everybody is, are not worth considering. E v e n R u d y a r d K i p l i n g , the p o e t l a u r e a t e o f i m p e r i a l i s m , u s e d t h e r e c a p i t u l a t i o n i s t a r g u m e n t i n t h e f i r s t stanza o f his m o s t f a m o u s apology for white supremacy: T a k e up the White Man's Burden Send forth the best ye breed Go, bind your sons to exile to serve the captive's need: To wait, in heavy harness, On fluttered folk and wild— Your new-caught sullen peoples, Half devil and half child. T e d d y R o o s e v e l t , w h o s e j u d g m e n t was n o t a l w a y s s o k e e n , w r o t e t o H e n r y C a b o t L o d g e that t h e v e r s e " w a s v e r y p o o r p o e t r y b u t m a d e g o o d s e n s e f r o m t h e e x p a n s i o n p o i n t o f v i e w " (in W e s ton, 1972, p. 35). A n d s o t h e story m i g h t stand, a t e s t i m o n y t o n i n e t e e n t h c e n t u r y folly a n d p r e j u d i c e , i f a n i n t e r e s t i n g twist h a d n o t b e e n a d d e d d u r i n g o u r o w n c e n t u r y . B y 1920 t h e t h e o r y o f r e c a p i t u l a tion h a d c o l l a p s e d ( G o u l d , 1 9 7 7 , p p . 1 6 7 - 2 0 6 ) . N o t l o n g a f t e r , t h e Dutch anatomist Louis Bolk p r o p o s e d a theory of exactly opposite m e a n i n g . R e c a p i t u l a t i o n r e q u i r e d that a d u l t traits o f a n c e s t o r s develop m o r e rapidly in descendants to b e c o m e juvenile f e a t u r e s — h e n c e , traits o f m o d e r n c h i l d r e n a r e p r i m i t i v e c h a r a c t e r s o f ancestral a d u l t s . B u t s u p p o s e that the r e v e r s e p r o c e s s o c c u r s a s i t o f t e n d o e s i n e v o l u t i o n . S u p p o s e that j u v e n i l e traits o f a n c e s t o r s d e v e l o p s o slowly i n d e s c e n d a n t s that they b e c o m e a d u l t f e a t u r e s . T h i s p h e n o m e n o n of r e t a r d e d d e v e l o p m e n t is c o m m o n in n a t u r e ; it is called n e o t e n y (literally, " h o l d i n g o n t o y o u t h " ) . B o l k a r g u e d that h u m a n s a r e essentially n e o t e n o u s . H e listed a n i m p r e s s i v e set o f f e a t u r e s s h a r e d b y a d u l t h u m a n s a n d fetal o r j u v e n i l e a p e s , b u t lost in adult apes: vaulted cranium a n d large brain in relation to body size; small face; h a i r c o n f i n e d l a r g e l y t o h e a d , a r m p i t s , a n d p u b i c r e g i o n s ; u n r o t a t e d b i g t o e . I h a v e a l r e a d y d i s c u s s e d o n e o f t h e most i m p o r t a n t signs o f h u m a n n e o t e n y i n a n o t h e r c o n t e x t ( p p . 1 3 " 2 -
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1 3 5 ) : r e t e n t i o n o f t h e f o r a m e n m a g n u m i n its fetal p o s i t i o n , u n d e r t h e skull. N o w consider the implications of neoteny for the r a n k i n g of h u m a n g r o u p s . U n d e r r e c a p i t u l a t i o n , a d u l t s o f i n f e r i o r races a r e like c h i l d r e n o f s u p e r i o r races. B u t n e o t e n y r e v e r s e s t h e a r g u m e n t . I n t h e c o n t e x t o f n e o t e n y , i t i s " g o o d " — t h a t is, a d v a n c e d o r s u p e r i o r — t o r e t a i n t h e traits o f c h i l d h o o d , t o d e v e l o p m o r e slowly. T h u s , s u p e r i o r g r o u p s r e t a i n their c h i l d l i k e c h a r a c t e r s a s a d u l t s , w h i l e i n f e r i o r g r o u p s pass t h r o u g h t h e h i g h e r p h a s e o f c h i l d h o o d and then d e g e n e r a t e toward apishness. N o w consider the conventional p r e j u d i c e o f w h i t e scientists: whites a r e s u p e r i o r , blacks i n f e rior. U n d e r r e c a p i t u l a t i o n , black adults s h o u l d b e like w h i t e c h i l d r e n . B u t u n d e r n e o t e n y , w h i t e a d u l t s s h o u l d b e like black children. F o r s e v e n t y y e a r s , u n d e r t h e sway o f r e c a p i t u l a t i o n , scientists h a d c o l l e c t e d r e a m s o f objective d a t a all l o u d l y p r o c l a i m i n g t h e s a m e m e s s a g e : a d u l t b l a c k s , w o m e n , a n d lower-class whites a r e like white u p p e r - c l a s s m a l e c h i l d r e n . W i t h n e o t e n y n o w i n v o g u e , t h e s e h a r d data c o u l d m e a n o n l y o n e t h i n g : u p p e r - c l a s s a d u l t m a l e s a r e i n f e r i o r b e c a u s e t h e y lose, w h i l e o t h e r g r o u p s r e t a i n , t h e s u p e r i o r traits o f c h i l d h o o d . T h e r e i s n o e s c a p e f r o m this c o n c l u s i o n . A t least o n e scientist, H a v e l o c k Ellis, d i d b o w t o t h e c l e a r i m p l i cation a n d a d m i t t h e s u p e r i o r i t y o f w o m e n , t h o u g h h e w r i g g l e d out o f a similar c o n f e s s i o n f o r blacks. H e e v e n c o m p a r e d r u r a l w i t h u r b a n m e n , f o u n d that m e n o f t h e city w e r e d e v e l o p i n g w o m a n l y a n a t o m y , a n d p r o c l a i m e d t h e s u p e r i o r i t y o f u r b a n life ( 1 8 9 4 , P- 5 t 9 ) : " T h e l a r g e - h e a d e d , d e l i c a t e - f a c e d , s m a l l - b o n e d m a n o f u r b a n civilization i s m u c h n e a r e r t o t h e typical w o m a n t h a n i s t h e savage. N o t o n l y b y his l a r g e b r a i n , b u t b y his l a r g e pelvis, t h e m o d ern m a n is f o l l o w i n g a p a t h first m a r k e d o u t by w o m a n . " B u t Ellis was iconoclastic a n d c o n t r o v e r s i a l (he w r o t e o n e o f t h e f i r s t s y s t e m atic studies o f s e x u a l i t y ) , a n d his a p p l i c a t i o n o f n e o t e n y t o s e x u a l d i f f e r e n c e s n e v e r m a d e m u c h i m p a c t . M e a n w h i l e , with r e s p e c t t o racial d i f f e r e n c e s , s u p p o r t e r s o f h u m a n n e o t e n y a d o p t e d a n o t h e r , m o r e c o m m o n , tactic: t h e y simply a b a n d o n e d t h e i r s e v e n t y y e a r s o f hard data a n d s o u g h t n e w a n d o p p o s i t e i n f o r m a t i o n t o c o n f i r m t h e inferiority o f blacks. L o u i s B o l k , c h i e f d e f e n d e r o f h u m a n n e o t e n y , d e c l a r e d that fhe most s t r o n g l y n e o t e n i z e d r a c e s a r e s u p e r i o r . I n r e t a i n i n g m o r e Juvenile f e a t u r e s , t h e y h a v e k e p t f u r t h e r a w a y f r o m " t h e p i t h e c o i d
THE
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a n c e s t o r o f m a n " ( 1 9 2 9 , p . 26). " F r o m this p o i n t o f v i e w , t h e division o f m a n k i n d i n t o h i g h e r a n d l o w e r r a c e s i s fully j u s t i f i e d [ 1 9 2 9 , p. 26]. It is o b v i o u s that I a m , on t h e basis of my t h e o r y , a c o n v i n c e d b e l i e v e r i n t h e i n e q u a l i t y o f r a c e s " ( 1 9 2 6 , p . 38). B o l k r e a c h e d i n t o his a n a t o m i c a l g r a b - b a g a n d e x t r a c t e d s o m e traits i n d i c a t i n g a g r e a t e r d e p a r t u r e f o r black a d u l t s f r o m t h e a d v a n t a g e o u s p r o p o r t i o n s o f c h i l d h o o d . L e d b y these n e w facts t o a n o l d a n d c o m f o r t a b l e c o n c l u s i o n , B o l k p r o c l a i m e d ( 1 9 2 9 , p . 25): " T h e white race appears to be the most progressive, as being the most retarded." Bolk, w h o viewed himself as a "liberal" m a n , declined to r e l e g a t e blacks t o p e r m a n e n t i n e p t i t u d e . H e h o p e d that e v o l u t i o n would be benevolent to them in the future: It is possible for all other races to reach the zenith of d e v e l o p m e n t now occupied by the white race. T h e only thing required is continued progressive action in these races of the biological principle of anthropogenesis [i.e., neoteny]. In his fetal development the negro passes through a stage that has already b e c o m e the final stage for the white man. Well then, when retardation continues in the negro too, what is still a transitional stage may for this race also b e c o m e a final o n e (1926, p p . 473-474). B o l k ' s a r g u m e n t v e r g e d o n t h e d i s h o n e s t f o r t w o r e a s o n s . First, h e c o n v e n i e n t l y f o r g o t all t h e f e a t u r e s — l i k e t h e G r e c i a n n o s e a n d full b e a r d s o a d m i r e d b y C o p e — t h a t r e c a p i t u l a t i o n i s t s h a d stoutly e m p h a s i z e d b e c a u s e they p l a c e d w h i t e s far f r o m the c o n d i t i o n s o f childhood. Secondly, he sidestepped a pressing and embarrassing issue: O r i e n t a l s , n o t w h i t e s , are clearly t h e m o s t n e o t e n o u s o f h u m a n r a c e s ( B o l k listed t h e n e o t e n o u s f e a t u r e s o f b o t h races selectively a n d t h e n p r o c l a i m e d t h e d i f f e r e n c e s t o o close t o call; see Ashley M o n t a g u , 1962, for a fairer assessment). W o m e n , moreo v e r , a r e m o r e n e o t e n o u s t h a n m e n . I trust that I will n o t be seen as v u l g a r w h i t e a p o l o g i s t if I d e c l i n e to p r e s s the s u p e r i o r i t y of O r i e n t a l w o m e n a n d d e c l a r e instead that t h e w h o l e e n t e r p r i s e o f r a n k i n g g r o u p s b y d e g r e e o f n e o t e n y i s f u n d a m e n t a l l y unjustified. J u s t as A n a t o l e F r a n c e a n d W a l t W h i t m a n c o u l d w r i t e as well as T u r g e n e v with b r a i n s a b o u t h a l f t h e w e i g h t o f his, I w o u l d b e m o r e t h a n m i l d l y s u r p r i s e d i f t h e small d i f f e r e n c e s i n d e g r e e o f n e o t e n y a m o n g races b e a r a n y r e l a t i o n s h i p t o m e n t a l ability o r m o r a l w o r t h . N o n e t h e l e s s , o l d a r g u m e n t s n e v e r d i e . I n 1 9 7 1 t h e British psychologist and genetic determinist H. J. Eysenck again brought f o r t h a n e o t e n i c a r g u m e n t f o r black i n f e r i o r i t y . E y s e n c k t o o k three facts a n d u s e d n e o t e n y to f o r g e a story f r o m t h e m : 1) black babies
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and y o u n g children exhibit m o r e rapid sensorimotor d e v e l o p m e n t t h a n w h i t e s — t h a t is, t h e y a r e less n e o t e n i c b e c a u s e they d e p a r t m o r e q u i c k l y f r o m t h e fetal state; 2 ) a v e r a g e w h i t e I Q s u r p a s s e s a v e r a g e black IQ by a g e t h r e e ; 3) t h e r e is a slight n e g a t i v e c o r r e l a tion b e t w e e n s e n s o r i m o t o r d e v e l o p m e n t i n t h e f i r s t y e a r o f life a n d later I Q — t h a t is, c h i l d r e n w h o d e v e l o p m o r e r a p i d l y t e n d t o e n d u p with l o w e r I Q ' s . E y s e n c k c o n c l u d e s ( 1 9 7 1 , p . 7 9 ) : " T h e s e f i n d i n g s a r e i m p o r t a n t b e c a u s e o f a v e r y g e n e r a l v i e w i n b i o l o g y [the theory of neoteny] according to which the m o r e p r o l o n g e d the i n f a n c y t h e g r e a t e r i n g e n e r a l a r e t h e c o g n i t i v e o r intellectual abilities o f t h e s p e c i e s . T h i s law a p p e a r s t o w o r k e v e n within a g i v e n species." E y s e n c k fails t o r e a l i z e that h e h a s b a s e d his a r g u m e n t o n w h a t is a l m o s t s u r e l y a n o n c a u s a l c o r r e l a t i o n . ( N o n c a u s a l c o r r e l a t i o n s a r e t h e b a n e o f statistical i n f e r e n c e — s e e C h a p t e r 6 . T h e y a r e p e r fectly " t r u e " i n a m a t h e m a t i c a l s e n s e , b u t t h e y d e m o n s t r a t e n o causal c o n n e c t i o n . F o r e x a m p l e , w e m a y c a l c u l a t e a s p e c t a c u l a r correlation—very near the m a x i m u m value of 1.0—between the rise i n w o r l d p o p u l a t i o n d u r i n g t h e past f i v e y e a r s a n d t h e i n c r e a s i n g s e p a r a t i o n o f E u r o p e a n d N o r t h A m e r i c a b y c o n t i n e n t a l drift.) S u p p o s e that l o w e r black I Q i s p u r e l y a result o f g e n e r a l l y p o o r e r environment. Rapid sensorimotor d e v e l o p m e n t is one way of identifying a p e r s o n as b l a c k — b u t a less a c c u r a t e w a y t h a n skin c o l o r . T h e c o r r e l a t i o n o f p o o r e n v i r o n m e n t with l o w e r I Q m a y b e c a u s a l , but the c o r r e l a t i o n o f r a p i d s e n s o r i m o t o r d e v e l o p m e n t w i t h l o w e r IQ is probably noncausal because rapid sensorimotor developm e n t , in this c o n t e x t , m e r e l y identifies a p e r s o n as black. E y s e n c k ' s a r g u m e n t i g n o r e s t h e fact that black c h i l d r e n , in a racist society, generally live i n p o o r e r e n v i r o n m e n t s , w h i c h m a y l e a d t o l o w e r I Q scores. Y e t E y s e n c k i n v o k e d n e o t e n y t o g i v e t h e o r e t i c a l m e a n i n g , and t h e r e b y causal status, to a n o n c a u s a l c o r r e l a t i o n r e f l e c t i n g his h e r e d i t a r i a n bias.
The ape in some of us: criminal anthropology Atavism
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In Resurrection, T o l s t o y ' s last g r e a t n o v e l ( 1 8 9 9 ) , t h e assistant Prosecutor, an u n f e e l i n g m o d e r n i s t , rises to c o n d e m n a p r o s t i t u t e talsely a c c u s e d o f m u r d e r :
I
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T h e assistant prosecutor spoke at great length. . . . All the latest catchphrases then in v o g u e in his set, everything that then was and still is accepted as the last word in scientific wisdom was included in his s p e e c h — heredity and congenital criminality, Lombroso and T a r d e , evolution and the struggle for existence. . . . "Running away with himself, isn't he?" said the presiding j u d g e with a smile, bending towards the austere m e m b e r of the court. "A fearful dunderhead!" said the austere member. I n B r a m S t o k e r ' s Dracula ( 1 8 9 7 ) , P r o f e s s o r V a n H e l s i n g u r g e s M i n a H a r k e r to d e s c r i b e t h e evil C o u n t : " T e l l us . . . d r y m e n of s c i e n c e w h a t y o u see with t h o s e s o b r i g h t e y e s . " S h e r e s p o n d s : " T h e C o u n t is a criminal and of criminal type. N o r d a u and L o m b r o s o w o u l d s o classify h i m , a n d q u a c r i m i n a l h e i s o f i m p e r f e c t l y f o r m e d mind."* Maria Montessori expressed an embattled optimism when she w r o t e i n 1 9 1 3 (p. 8): " T h e p h e n o m e n o n o f c r i m i n a l i t y s p r e a d s without check or succor, and up to yesterday it aroused in us nothi n g b u t r e p u l s i o n a n d l o a t h i n g . B u t n o w that s c i e n c e h a s laid its f i n g e r u p o n this m o r a l f e s t e r , i t d e m a n d s t h e c o o p e r a t i o n o f all m a n k i n d t o c o m b a t it." T h e c o m m o n subject o f t h e s e d i s p a r a t e a s s e s s m e n t s i s C e s a r e L o m b r o s o ' s t h e o r y of I'uomo delinquente—the c r i m i n a l m a n — p r o b ably t h e m o s t influential d o c t r i n e e v e r t o e m e r g e f r o m t h e a n t h r o p o m e t r i c t r a d i t i o n . L o m b r o s o , a n Italian p h y s i c i a n , d e s c r i b e d t h e i n s i g h t that led t o his t h e o r y o f i n n a t e c r i m i n a l i t y a n d t o t h e p r o f e s sion h e e s t a b l i s h e d — c r i m i n a l a n t h r o p o l o g y . H e h a d , i n 1 8 7 0 , b e e n trying to discover anatomical differences between criminals and insane m e n "without succeeding very well." T h e n , "the m o r n i n g of a g l o o m y d a y i n D e c e m b e r , " h e e x a m i n e d t h e skull o f t h e f a m o u s * In his Annotated Dracula, Leonard Wolf (1975, p. 300) notes that Jonathan Harker's initial description of Count Dracula is based directly upon Cesare Lombroso's account of the born criminal. Wolf presents the following contrasts: HARKER WRITES: "His [the Count's] face was . . . aquiline, with high bridge of the thin nose and peculiarly arched nostrils. . . ." LOMBROSO: "[The criminal's] nose on the contrary . . . is often aquiline like the beak of a bird of prey." HARKER: "His eyebrows were very massive, almost meeting over the nose. . . ." LOMBROSO: "The eyebrows are bushy and tend to meet across the nose." HARKER: ". . . his ears were pale and at the tops extremely pointed. . . ." LOMBROSO: "with a protuberance on the upper part of the posterior margin . . . a relic of the pointed ear. . . ."
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b r i g a n d V i h e l l a , a n d h a d that f l a s h o f j o y o u s insight that m a r k s b o t h brilliant d i s c o v e r y a n d c r a c k p o t i n v e n t i o n . F o r h e saw i n that skull a series of atavistic f e a t u r e s r e c a l l i n g an apish past r a t h e r t h a n a h u m a n present: This was not merely an idea, but a flash of inspiration. At the sight of that skull, I s e e m e d to see all of a sudden, lighted up as a vast plain under a flaming sky, the problem of the nature of the criminal—an atavistic being who reproduces in his person the ferocious instincts of primitive humanity and the inferior animals. T h u s were explained anatomically the e n o r m o u s jaws, high cheek bones, prominent superciliary arches, solitary lines in the palms, e x t r e m e size of the orbits, handle-shaped ears found in criminals, savages and apes, insensibility to pain, extremely acute sight, tattooing, excessive idleness, love of orgies, and the irresponsible craving of evil for its own sake, the desire not only to extinguish life in the victim, but to mutilate the corpse, tear its flesh and drink its blood (in Taylor et al., 1973, p. 41). L o m b r o s o ' s t h e o r y w a s n o t j u s t a v a g u e p r o c l a m a t i o n that c r i m e i s h e r e d i t a r y — s u c h claims w e r e c o m m o n e n o u g h i n his t i m e — b u t a specific evolutionary t h e o r y b a s e d u p o n a n t h r o p o m e t r i c data. Criminals a r e e v o l u t i o n a r y t h r o w b a c k s i n o u r midst. G e r m s o f a n ancestral past lie d o r m a n t i n o u r h e r e d i t y . I n s o m e u n f o r t u n a t e individuals, t h e past c o m e s t o life a g a i n . T h e s e p e o p l e a r e i n n a t e l y d r i v e n to act as a n o r m a l a p e or s a v a g e w o u l d , b u t s u c h b e h a v i o r is d e e m e d c r i m i n a l i n o u r civilized society. F o r t u n a t e l y , w e m a y i d e n tify b o r n c r i m i n a l s b e c a u s e they b e a r a n a t o m i c a l signs o f their apishness. T h e i r atavism i s b o t h physical a n d m e n t a l , b u t t h e p h y s ical signs, o r s t i g m a t a a s L o m b r o s o called t h e m , a r e decisive. C r i m inal behavior c a n also arise in n o r m a l m e n , but we k n o w the " b o r n criminal" b y his a n a t o m y . A n a t o m y , i n d e e d , i s d e s t i n y , a n d b o r n criminals c a n n o t e s c a p e their i n h e r i t e d taint: " W e a r e g o v e r n e d b y silent laws w h i c h n e v e r cease to o p e r a t e a n d w h i c h r u l e society with m o r e a u t h o r i t y t h a n the laws i n s c r i b e d o n o u r statute b o o k s . C r i m e • • • a p p e a r s to be a n a t u r a l p h e n o m e n o n " ( L o m b r o s o , 1 8 8 7 , P- 667). Animals and savages as
born
criminals
T h e identification o f apish atavism i n c r i m i n a l s d i d not clinch Lombroso's a r g u m e n t , f o r physical a p i s h n e s s c a n e x p l a i n a m a n ' s arbaric b e h a v i o r o n l y i f t h e n a t u r a l inclinations o f s a v a g e s a n d
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l o w e r a n i m a l s a r e c r i m i n a l . I f s o m e m e n look like a p e s , b u t a p e s b e k i n d , t h e n t h e a r g u m e n t fails. T h u s , L o m b r o s o d e v o t e d t h e first p a r t of his m a j o r w o r k (Criminal Man, first p u b l i s h e d in 1876) to what must be the most ludicrous excursion into a n t h r o p o m o r p h i s m e v e r p u b l i s h e d — a n analysis o f t h e c r i m i n a l b e h a v i o r o f anim a l s . H e cites, f o r e x a m p l e , a n a n t d r i v e n b y r a g e t o kill a n d d i s m e m b e r a n a p h i d ; a n a d u l t e r o u s stork w h o , with h e r l o v e r , m u r d e r e d h e r h u s b a n d ; a c r i m i n a l association of b e a v e r s w h o g a n g e d up to m u r d e r a solitary c o m p a t r i o t ; a m a l e a n t , w i t h o u t access to f e m a l e r e p r o d u c t i v e s , w h o v i o l a t e d a ( f e m a l e ) w o r k e r with atrophied sexual organs, causing her great pain and death; he even r e f e r s t o t h e insect e a t i n g o f certain plants a s a n " e q u i v a l e n t o f crime" ( L o m b r o s o , 1887, p p . 1-18). L o m b r o s o t h e n p r o c e e d e d t o t h e n e x t logical s t e p : c o m p a r i s o n o f c r i m i n a l s with " i n f e r i o r " g r o u p s . " I w o u l d c o m p a r e , " w r o t e a French s u p p o r t e r , "the criminal to a savage a p p e a r i n g , by atavism, i n m o d e r n society; w e m a y t h i n k that h e was b o r n a c r i m i n a l b e c a u s e h e was b o r n a s a v a g e " ( B o r d i e r , 1 8 7 9 , p . 284). L o m b r o s o v e n t u r e d into e t h n o l o g y t o identify c r i m i n a l i t y a s n o r m a l b e h a v i o r a m o n g i n f e r i o r p e o p l e . H e w r o t e a small treatise ( L o m b r o s o , 1896) o n t h e D i n k a o f t h e U p p e r N i l e . I n it, h e s p o k e o f t h e i r h e a v y t a t t o o i n g a n d h i g h t h r e s h o l d f o r p a i n — a t p u b e r t y t h e y b r e a k their incisors with a h a m m e r . T h e y d i s p l a y apish s t i g m a t a as n o r m a l p a r t s o f their a n a t o m y : " t h e i r n o s e . . . i s n o t o n l y f l a t t e n e d , but t r i l o b e d , r e s e m b l i n g that o f m o n k e y s . " H i s c o l l e a g u e G . T a r d e w r o t e that s o m e c r i m i n a l s " w o u l d h a v e b e e n t h e o r n a m e n t a n d the m o r a l aristocracy o f a t r i b e o f R e d I n d i a n s " (in Ellis, 1 9 1 0 , p . 254). H a v e l o c k Ellis m a d e m u c h o f a c l a i m that c r i m i n a l s a n d i n f e r i o r p e o p l e o f t e n d o n o t b l u s h . "Inability t o b l u s h has a l w a y s b e e n considered the a c c o m p a n i m e n t of crime and shamelessness. Blushing i s also v e r y r a r e a m o n g idiots a n d s a v a g e s . T h e S p a n i a r d s u s e d t o say o f the S o u t h A m e r i c a n I n d i a n s : ' H o w c a n o n e trust m e n w h o d o n o t k n o w h o w t o b l u s h ' " ( 1 9 1 0 , p . 138). A n d h o w f a r d i d the Incas g e t b y t r u s t i n g P i z a r r o ? L o m b r o s o c o n s t r u c t e d virtually all his a r g u m e n t s in a m a n n e r that p r e c l u d e d t h e i r d e f e a t , t h u s m a k i n g t h e m scientifically vacu o u s . H e cited c o p i o u s n u m e r i c a l d a t a t o l e n d a n air o f objectivity to his w o r k , b u t it r e m a i n e d so v u l n e r a b l e that e v e n m o s t of B r o c a s school t u r n e d a g a i n s t t h e t h e o r y o f a t a v i s m . W h e n e v e r L o m b r o s o e n c o u n t e r e d a c o n t r a r y fact, h e p e r f o r m e d s o m e m e n t a l gymnas-
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tics to i n c o r p o r a t e it within his system. T h i s p o s t u r e is clearly e x p r e s s e d i n his s t a t e m e n t s o n t h e d e p r a v i t y o f i n f e r i o r p e o p l e s , f o r a g a i n a n d a g a i n h e e n c o u n t e r e d stories o f c o u r a g e a n d a c c o m p l i s h m e n t a m o n g t h o s e h e w i s h e d t o d e n i g r a t e . Y e t h e twisted all these stories into his system. If, f o r e x a m p l e , he h a d to a d m i t a f a v o r a b l e trait, h e j o i n e d i t with o t h e r s h e c o u l d d e s p i s e . C i t i n g t h e s o m e w h a t d a t e d a u t h o r i t y o f T a c i t u s f o r his c o n c l u s i o n , h e w r o t e : " E v e n w h e n h o n o r , chastity, a n d pity a r e f o u n d a m o n g s a v a g e s , i m p u l s i v e n e s s a n d laziness a r e n e v e r w a n t i n g . S a v a g e s h a v e a h o r r o r o f c o n t i n u o u s w o r k , s o that f o r t h e m t h e p a s s a g e t o active a n d m e t h o d i c a l l a b o r lies b y the r o a d o f selection o r o f slavery o n l y " ( 1 9 1 1 , p . 367). O r c o n s i d e r his o n e b e g r u d g i n g w o r d o f p r a i s e f o r the i n f e r i o r a n d c r i m i n a l r a c e o f g y p s i e s : T h e y are vain, like all delinquents, but they have no fear or shame. Everything they earn they spend for drink and ornaments. T h e y may be seen barefooted, but with bright-colored or lace-bedecked clothing; without stockings, but with yellow shoes. T h e y have the improvidence of the savage and that of the criminal as well. . . . T h e y devour half-putrified carrion. T h e y are given to orgies, love a noise, and make a great outcry in the markets. T h e y murder in cold blood in order to rob, and were formerly suspected of cannibalism. . . . It is to be noted that this race, so low morally and so incapable of cultural and intellectual development, a race that can never carry on any industry, and which in poetry has not got beyond the poorest lyrics, has created in Hungary a marvelous musical art—a new proof of the genius that, mixed with atavism, is to be found in the criminal ( 1 9 1 1 , p. 40). I f h e h a d n o d a m n i n g traits t o m i x with his p r a i s e , h e discounted t h e m o t i v a t i o n f o r a p p a r e n t l y w o r t h y b e h a v i o r primitives." A w h i t e saint d y i n g b r a v e l y u n d e r t o r t u r e is a m o n g h e r o e s ; a " s a v a g e " e x p i r i n g with e q u a l d i g n i t y doesn't feel t h e p a i n :
simply among a hero simply
Their [criminals'] physical insensibility well recalls that of savage peoples who can bear in rites of puberty, tortures that a white man could v e r endure. All travellers know the indifference of N e g r o e s and Amer•can savages to pain: the former cut their hands and laugh in order to ^ ° r k ; the latter, tied to the torture post, gaily sing the praises of 'heir tribe while they are slowly burnt (1887, p. 319). n e
a
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We r e c o g n i z e in this c o m p a r i s o n of atavistic c r i m i n a l s with ani" a g e s , a n d p e o p l e o f l o w e r races t h e basic a r g u m e n t o f s a v
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r e c a p i t u l a t i o n d i s c u s s e d i n t h e p r e v i o u s section. T o c o m p l e t e the chain, L o m b r o s o n e e d e d only to proclaim the child as inherently c r i m i n a l — f o r t h e c h i l d is an ancestral a d u l t , a l i v i n g p r i m i t i v e . L o m b r o s o d i d n o t s h r i n k f r o m this n e c e s s a r y i m p l i c a t i o n , a n d h e b r a n d e d as criminal the traditional innocent of literature: " O n e of the m o s t i m p o r t a n t d i s c o v e r i e s o f m y s c h o o l i s that i n t h e child u p to a certain age are manifested the saddest tendencies of the criminal m a n . T h e g e r m s o f d e l i n q u e n c y a n d o f c r i m i n a l i t y a r e f o u n d n o r m a l l y e v e n i n t h e first p e r i o d s o f h u m a n l i f e " ( 1 8 9 5 , p . 53). O u r i m p r e s s i o n of t h e child's i n n o c e n c e is a class bias; we c o m f o r t a b l e folks s u p p r e s s the n a t u r a l inclinations o f o u r c h i l d r e n : " O n e w h o lives a m o n g t h e u p p e r classes has n o i d e a o f t h e passion babies h a v e f o r a l c o h o l i c l i q u o r , b u t a m o n g t h e l o w e r classes i t i s o n l y t o o c o m m o n a t h i n g t o see e v e n s u c k l i n g b a b e s d r i n k w i n e a n d l i q u o r s with w o n d e r f u l delight (1895, p. 56).* The stigmata:
anatomical,
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and social
L o m b r o s o ' s a n a t o m i c a l s t i g m a t a (Fig. 4 . 1 ) w e r e , f o r t h e m o s t part, neither pathologies n o r discontinuous variations, but e x t r e m e v a l u e s o n a n o r m a l c u r v e that a p p r o a c h a v e r a g e m e a s u r e s f o r t h e s a m e trait in g r e a t a p e s . (In m o d e r n t e r m s , this is a f u n d a m e n t a l s o u r c e o f L o m b r o s o ' s e r r o r . A r m l e n g t h varies a m o n g h u m a n s , * In Dracula, Professor Van Helsing, in his inimitable broken English, extolled the argument from recapitulation by branding the Count as a persistent child (and therefore both a primitive and a criminal as well): Ah! there I have hope that our man-brains that have been of man so long and that have not lost the grace of God, will come higher than his child-brain that lie in his tomb for centuries, that grow not yet to our stature, and that do only work selfish and therefore small. . . . He is clever and cunning and resourceful; but he be not of man-stature as to brain. He be of child-brain in much. Now this criminal of ours is predestinate to crime also; he too have child-brain, and it is of the child to do what he have done. T h e little bird, the little fish, the little animal learn not by principle but empirically; and when he learn to do, then there is to him the ground to start from to do more.
4 • 1 A panoply of criminal faces. T h e frontispiece to the atlas of Lombroso's Criminal Man. G r o u p E are German murderers; G r o u p I are burglars (Lombroso tells us that the man without a nose managed to escape justice for many years by wearing the false nose depicted in the figure on the left, wearing a derby); "H" are purse snatchers; "A" are shoplifters; "B," "C," "D," and 'F" are swindlers; while the distinguished gentlemen of the bottom row declared themselves bankrupt fraudulently.
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and some people must have longer arms than others. T h e average c h i m p has a l o n g e r a r m t h a n the a v e r a g e h u m a n , b u t this d o e s n ' t m e a n that a relatively l o n g - a r m e d h u m a n is genetically similar to a p e s . N o r m a l v a r i a t i o n within a p o p u l a t i o n is a d i f f e r e n t biological p h e n o m e n o n f r o m d i f f e r e n c e s i n a v e r a g e v a l u e s between p o p u l a tions. T h i s e r r o r o c c u r s a g a i n a n d a g a i n . I t i s t h e basis o f A r t h u r J e n s e n ' s fallacy i n a s s e r t i n g that a v e r a g e d i f f e r e n c e s i n I Q b e t w e e n A m e r i c a n whites a n d blacks a r e l a r g e l y i n h e r i t e d — s e e p p . 1 8 6 — 1 8 7 . A true atavism is a discontinuous, genetically based, ancestral t r a i t — t h e o c c a s i o n a l h o r s e b o r n w i t h f u n c t i o n a l side toes, f o r e x a m p l e . ) A m o n g his apish s t i g m a t a , L o m b r o s o listed ( 1 8 8 7 , p p . 6 6 0 — 6 6 1 ) : g r e a t e r skull t h i c k n e s s , simplicity o f cranial s u t u r e s , l a r g e j a w s , p r e e m i n e n c e o f t h e f a c e o v e r t h e c r a n i u m , relatively long arms, precocious wrinkles, low and narrow forehead, large ears, a b s e n c e o f b a l d n e s s , d a r k e r skin, g r e a t e r visual acuity, d i m i n ished sensitivity t o p a i n , a n d a b s e n c e o f v a s c u l a r r e a c t i o n (blushing). A t t h e 1886 I n t e r n a t i o n a l C o n g r e s s o n C r i m i n a l A n t h r o p o l o g y , h e e v e n a r g u e d (see F i g . 4.2) that the feet o f prostitutes a r e often p r e h e n s i l e a s i n a p e s (big toe w i d e l y s e p a r a t e d f r o m o t h e r s ) . F o r o t h e r s t i g m a t a , L o m b r o s o d e s c e n d e d f r o m t h e a p e s t o seek
4 • 2 T h e feet of prostitutes. This figure was presented by L. Jullien to the 4th International Congress on Criminal Anthropology in 1896. Commenting u p o n it, Lombroso said: "These observations show admirably that the morphology of the prostitute is more abnormal even than that of the criminal, especially for atavistic anomalies, because the prehensile foot is atavistic."
4*3 T h e cranial capacities of normal men (in black) compared with criminals (hatched). T h e y-axis is in percentages rather than actual numbers.
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similarity with m o r e distant, a n d e v e n m o r e " p r i m i t i v e , " c r e a t u r e s : h e c o m p a r e d p r o m i n e n t c a n i n e teeth a n d a f l a t t e n e d p a l a t e with t h e a n a t o m y o f l e m u r s a n d r o d e n t s , a n o d d l y s h a p e d occipital c o n d y l e (area f o r a r t i c u l a t i o n o f skull a n d v e r t e b r a l c o l u m n ) with t h e n o r m a l c o n d y l e s o f cattle a n d p i g s ( 1 8 9 6 , p . 188), a n d a n a b n o r m a l h e a r t with t h e u s u a l c o n f o r m a t i o n i n s i r e n i a n s ( a g r o u p o f r a r e m a r i n e m a m m a l s ) . H e e v e n p o s t u l a t e d a m e a n i n g f u l similarity b e t w e e n t h e facial a s y m m e t r y o f s o m e c r i m i n a l s a n d f l a t f i s h e s w i t h b o t h eyes o n t h e u p p e r s u r f a c e o f t h e i r b o d i e s ( 1 9 1 1 , p . 3 7 3 ) ! L o m b r o s o b o l s t e r e d his s t u d y of specific d e f e c t s with a g e n e r a l anthropometric survey of the criminal head a n d b o d y — a sample o f 383 c r a n i a f r o m d e a d c r i m i n a l s , p l u s g e n e r a l p r o p o r t i o n s m e a s u r e d f o r 3,839 a m o n g t h e living. A s a n i n d i c a t i o n o f L o m b r o s o ' s style, c o n s i d e r t h e n u m e r i c a l basis o f his m o s t i m p o r t a n t c l a i m — that c r i m i n a l s g e n e r a l l y h a v e s m a l l e r b r a i n s t h a n n o r m a l p e o p l e , e v e n t h o u g h a f e w c r i m i n a l s h a v e v e r y l a r g e b r a i n s (see p . 1 2 6 ) . * L o m b r o s o ( 1 9 1 1 , p . 365) a n d his disciples ( F e r r i , 1 8 9 7 , p . 8 , f o r e x a m p l e ) r e p e a t e d this c l a i m c o n t i n u a l l y . Y e t L o m b r o s o ' s d a t a s h o w n o s u c h t h i n g . F i g . 4.3 p r e s e n t s t h e f r e q u e n c y d i s t r i b u t i o n s f o r c r a n i a l capacity m e a s u r e d b y L o m b r o s o i n 1 2 1 m a l e c r i m i n a l s a n d 328 u p r i g h t m e n . Y o u d o n ' t n e e d f a n c y statistics t o see that t h e two distributions differ very little—despite Lombroso's conclusion that, i n c r i m i n a l s , " t h e small capacities d o m i n a t e a n d t h e v e r y g r e a t a r e r a r e " ( 1 8 8 7 , p . 144). I h a v e r e c o n s t r u c t e d t h e o r i g i n a l d a t a f r o m L o m b r o s o ' s tables o f p e r c e n t a g e s w i t h i n classes a n d c a l c u l a t e a v e r a g e v a l u e s o f 1,450 c c f o r c r i m i n a l h e a d s a n d 1,484 c c f o r lawabiding heads. T h e standard deviations of the two distributions (a g e n e r a l m e a s u r e o f s p r e a d a b o u t t h e a v e r a g e ) d o n o t d i f f e r significantly. T h i s m e a n s that t h e l a r g e r r a n g e o f v a r i a t i o n i n t h e lawa b i d i n g s a m p l e — a n i m p o r t a n t p o i n t f o r L o m b r o s o since i t e x t e n d e d t h e m a x i m u m capacity f o r d e c e n t f o l k t o 100 c c a b o v e •Other standard craniometrical arguments were often pressed into service by criminal anthropology. For example, as early as 1843, Voisin invoked the classical argument of front and back (see pp.129-135) to place criminals among the animals. He studied five hundred young offenders and reported deficiencies in the forward and upper parts of their brain—the supposed seat of morality and rationality. He wrote (1843, pp. 100-101): Their brains are at a minimum of development in their anterior and superior parts, in the two parts that make us what we are and that place us above the animals and make us men. They [criminal brains] are placed by their nature . . . entirely outside the human species.
I
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t h e m a x i m u m f o r c r i m i n a l s — m a y s i m p l y b e a n artifact o f l a r g e r s a m p l e size f o r l a w - a b i d i n g m e n (the l a r g e r t h e s a m p l e , t h e g r e a t e r the chance of including e x t r e m e values). L o m b r o s o ' s s t i g m a t a also i n c l u d e d a set of social traits. He emphasized particularly: 1) T h e argot of criminals, a l a n g u a g e of t h e i r o w n with h i g h levels o f o n o m a t o p o e i a , m u c h like t h e s p e e c h o f c h i l d r e n a n d s a v a g e s : " A t a v i s m c o n t r i b u t e s t o i t m o r e t h a n anyt h i n g else. T h e y s p e a k d i f f e r e n t l y b e c a u s e t h e y feel d i f f e r e n t l y ; t h e y s p e a k a s s a v a g e s b e c a u s e they a r e t r u e s a v a g e s i n t h e m i d s t o f o u r brilliant E u r o p e a n civilization" ( 1 8 8 7 , p . 4 7 6 ) ; 2 ) T a t t o o i n g , r e f l e c t i n g b o t h t h e insensitivity o f c r i m i n a l s t o p a i n a n d t h e i r atavistic l o v e o f a d o r n m e n t (Fig. 4.4). L o m b r o s o m a d e a q u a n t i t a t i v e s t u d y o f c o n t e n t i n c r i m i n a l tattoos a n d f o u n d t h e m , i n g e n e r a l , lawless ( " v e n g e a n c e " ) o r e x c u s i n g ( " b o r n u n d e r a n u n l u c k y star," " o u t o f l u c k " ) , t h o u g h h e e n c o u n t e r e d o n e that r e a d : " L o n g live France and french fried potatoes." L o m b r o s o n e v e r a t t r i b u t e d all c r i m i n a l acts t o p e o p l e with atavistic s t i g m a t a . H e c o n c l u d e d that a b o u t 4 0 p e r c e n t o f criminals followed hereditary compulsion; others acted f r o m passion, rage, o r d e s p e r a t i o n . A t first g l a n c e , this distinction o f o c c a s i o n a l f r o m b o r n c r i m i n a l s has t h e a p p e a r a n c e o f a c o m p r o m i s e o r r e t r e a t , b u t L o m b r o s o u s e d it in an o p p o s i t e w a y — a s a claim that r e n d e r e d his system i m m u n e t o d i s p r o o f . N o l o n g e r c o u l d m e n b e c h a r a c t e r i z e d b y their acts. M u r d e r m i g h t b e a d e e d o f t h e l o w e s t a p e i n a h u m a n body or of the most upright cuckold o v e r c o m e by justified rage. All c r i m i n a l acts a r e c o v e r e d : a m a n with s t i g m a t a p e r f o r m s t h e m by i n n a t e n a t u r e , a m a n w i t h o u t stigmata b y f o r c e o f c i r c u m s t a n c e s . B y classifying e x c e p t i o n s within his s y s t e m , L o m b r o s o e x c l u d e d all p o t e n t i a l falsification. Lombroso's
retreat
L o m b r o s o ' s t h e o r y o f atavism c a u s e d a g r e a t stir a n d a r o u s e d o n e o f t h e m o s t h e a t e d scientific d e b a t e s o f t h e n i n e t e e n t h c e n t u r y . L o m b r o s o , t h o u g h h e p e p p e r e d his w o r k with v o l u m e s o f n u m b e r s , h a d n o t m a d e t h e u s u a l o b e i s a n c e s t o c o l d objectivity. E v e n t h o s e g r e a t a priorists, t h e disciples o f Paul B r o c a , c h i d e d L o m b r o s o f o r his l a w y e r l y , r a t h e r t h a n scientific, a p p r o a c h . P a u l T o p i n a r d said of h i m ( 1 8 8 7 , p. 6 7 6 ) : " H e d i d n o t say: h e r e is a fact w h i c h s u g g e s t s an i n d u c t i o n to m e , let's see if I am m i s t a k e n , l e t s
Lombroso regarded tattooing as a sign of innate criminality. T h e arm of this reprobate, depicted in Lombroso's Criminal Man, is inscribed: "A man of misfortune." On his penis we read, entra lutto—it all goes in. In ' s caption, Lombroso tells us that tattoos of shaking hands are found very frequently in pederasts. h
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p r o c e e d r i g o r o u s l y , let us collect a n d a d d o t h e r facts. . . . T h e c o n c l u s i o n i s f a s h i o n e d i n a d v a n c e ; h e seeks p r o o f , h e d e f e n d s his thesis like an a d v o c a t e w h o e n d s up by p e r s u a d i n g himself. . . . [ L o m b r o s o ] is t o o c o n v i n c e d . " L o m b r o s o slowly r e t r e a t e d u n d e r t h e b a r r a g e . B u t h e r e t r e a t e d like a military m a s t e r . N o t f o r a m o m e n t d i d he c o m p r o m i s e or a b a n d o n his l e a d i n g i d e a that c r i m e i s b i o l o g i c a l . H e m e r e l y e n l a r g e d t h e r a n g e o f i n n a t e c a u s e s . His o r i g i n a l t h e o r y h a d t h e v i r t u e o f simplicity a n d s t r i k i n g o r i g i n a l i t y — c r i m i n a l s a r e a p e s i n o u r midst, m a r k e d by the anatomical stigmata of atavism. Later v e r s i o n s b e c a m e m o r e d i f f u s e , b u t also m o r e inclusive. A t a v i s m r e m a i n e d as a p r i m a r y biological c a u s e of c r i m i n a l b e h a v i o r , but L o m b r o s o a d d e d s e v e r a l c a t e g o r i e s o f c o n g e n i t a l illness a n d d e g e n e r a t i o n : " W e see i n t h e c r i m i n a l , " h e w r o t e ( 1 8 8 7 , p . 6 5 1 ) , " a s a v a g e m a n a n d , a t t h e s a m e t i m e , a sick m a n . " I n later y e a r s , L o m b r o s o a w a r d e d special p r o m i n e n c e t o e p i l e p s y a s a m a r k o f criminality; h e f i n a l l y stated that a l m o s t e v e r y " b o r n c r i m i n a l " s u f f e r s from epilepsy to some degree. T h e a d d e d b u r d e n imposed by L o m b r o s o ' s t h e o r y u p o n t h o u s a n d s o f e p i l e p t i c s c a n n o t b e calculated; they b e c a m e a m a j o r t a r g e t o f e u g e n i c a l s c h e m e s i n p a r t b e c a u s e L o m b r o s o h a d e x p l i c a t e d t h e i r illness a s a m a r k o f m o r a l degeneracy. A s a n i n t r i g u i n g s i d e l i g h t , u n k n o w n t o m o s t p e o p l e t o d a y , the s u p p o s e d link b e t w e e n d e g e n e r a c y a n d racial r a n k i n g left u s a t least o n e l e g a c y — t h e designation of " M o n g o l i a n idiocy" or, more blandly, " m o n g o l i s m " for the chromosomal disorder now generally called " D o w n ' s s y n d r o m e . " D r . J o h n L a n g d o n H a y d o n D o w n , a n English p a t r i c i a n , identified the s y n d r o m e in a p a p e r entitled " O b s e r v a t i o n s o n a n e t h n i c classification o f idiots" ( D o w n , 1866). D o w n a r g u e d that m a n y c o n g e n i t a l " i d i o t s " ( a quasi-technical t e r m i n his d a y , n o t j u s t a n epithet) e x h i b i t e d a n a t o m i c a l features, a b s e n t i n their p a r e n t s b u t p r e s e n t a s d e f i n i n g f e a t u r e s o f lower races. H e f o u n d idiots o f t h e " E t h i o p i a n v a r i e t y " — " w h i t e n e g r o e s , a l t h o u g h o f E u r o p e a n d e s c e n t " ( 1 8 6 6 , p . 2 6 0 ) — o t h e r s o f t h e Malay t y p e , a n d " a n a l o g u e s o f t h e p e o p l e w h o with s h o r t e n e d f o r e h e a d s , p r o m i n e n t c h e e k s , d e e p - s e t e y e s , a n d slightly a p i s h n o s e , originally i n h a b i t e d the A m e r i c a n c o n t i n e n t " (p. 260). O t h e r s a p p r o a c h e d " t h e g r e a t M o n g o l i a n f a m i l y . " " A v e r y l a r g e n u m b e r o f congenital idiots a r e typical M o n g o l s " (p. 260). H e t h e n p r o c e e d e d t o describe.
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a c c u r a t e l y , t h e f e a t u r e s o f D o w n ' s s y n d r o m e i n a b o y u n d e r his c h a r g e — a f e w a c c i d e n t a l similarities w i t h O r i e n t a l s ("obliquely p l a c e d " eyes a n d slightly yellowish skin), a n d a m u c h l a r g e r n u m b e r o f dissimilar f e a t u r e s ( b r o w n a n d s p a r s e h a i r , thick lips, w r i n kled f o r e h e a d , etc.). N o n e t h e l e s s , h e c o n c l u d e d ( 1 8 6 6 , p . 2 6 1 ) : " T h e boy's a s p e c t is s u c h that it is difficult to r e a l i z e that he is t h e child o f E u r o p e a n s , b u t s o f r e q u e n t l y a r e t h e s e c h a r a c t e r s p r e s e n t e d , that t h e r e c a n b e n o d o u b t that t h e s e e t h n i c f e a t u r e s a r e the result o f d e g e n e r a t i o n . " D o w n e v e n u s e d his e t h n i c i n s i g h t t o e x p l a i n t h e b e h a v i o r o f afflicted c h i l d r e n : " t h e y e x c e l l a t imitat i o n " — t h e trait m o s t f r e q u e n t l y cited as typically M o n g o l i a n in c o n v e n t i o n a l racist classifications o f D o w n ' s t i m e . D o w n d e p i c t e d h i m s e l f a s a racial liberal. H a d h e n o t p r o v e n h u m a n u n i t y b y s h o w i n g that t h e c h a r a c t e r s o f l o w e r races c o u l d a p p e a r i n d e g e n e r a t e s o f t h e h i g h e r ( 1 8 6 6 , p . 262)? I n fact, h e h a d m e r e l y d o n e f o r p a t h o l o g y w h a t L o m b r o s o was s o o n t o a c c o m p l i s h for c r i m i n a l i t y — t o a f f i r m t h e c o n v e n t i o n a l racist r a n k s b y m a r k i n g undesirable whites as biological representatives of lower g r o u p s . L o m b r o s o s p o k e o f atavisms that " l i k e n t h e E u r o p e a n c r i m i n a l t o the A u s t r a l i a n a n d M o n g o l i a n t y p e " ( 1 8 8 7 , p . 2 5 4 ) . Y e t D o w n ' s designation p e r s i s t e d t o o u r d a y a n d i s o n l y n o w f a d i n g f r o m u s e . Sir Peter M e d a w a r told m e that i n t h e late 1970s, h e a n d s o m e A s i a n colleagues p e r s u a d e d t h e L o n d o n Times t o d r o p " m o n g o l i s m " i n favor o f " D o w n ' s s y n d r o m e . " T h e g o o d d o c t o r will still b e h o n o r e d .
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Dallemagne, a prominent French opponent of Lombroso, paid h o m a g e to his i n f l u e n c e in 1896: His thoughts revolutionized our opinions, provoked a salutary feeling everywhere, and a happy emulation in research of all kinds. For 20 years, his thoughts fed discussions; the Italian master was the order of the day in all debates; his thoughts appeared as events. T h e r e was an extraordinary animation everywhere.
^
^ ' l e m a g n e was r e c o r d i n g facts, n o t j u s t p l a y i n g d i p l o m a t . irninal a n t h r o p o l o g y was n o t j u s t a n a c a d e m i c i a n ' s d e b a t e , h o w ^ l y . I t was the subject o f d i s c u s s i o n i n l e g a l a n d p e n a l circles years. I t p r o v o k e d n u m e r o u s " r e f o r m s " a n d w a s , until W o r l d e
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W a r I, t h e subject o f a n i n t e r n a t i o n a l c o n f e r e n c e h e l d e v e r y f o u r y e a r s f o r j u d g e s , j u r i s t s , a n d g o v e r n m e n t officials a s well a s f o r scientists. B e y o n d its specific i m p a c t , L o m b r o s i a n c r i m i n a l a n t h r o p o l o g y h a d its p r i m a r y i n f l u e n c e i n b o l s t e r i n g t h e basic a r g u m e n t o f biological d e t e r m i n i s m a b o u t t h e roles o f actors a n d their s u r r o u n d i n g s : actors f o l l o w t h e i r i n b o r n n a t u r e . T o u n d e r s t a n d c r i m e , s t u d y t h e c r i m i n a l , n o t his r e a r i n g , not his e d u c a t i o n , n o t t h e c u r r e n t p r e d i c a m e n t that m i g h t h a v e i n s p i r e d his t h e f t o r p i l l a g e . " C r i m i nal a n t h r o p o l o g y s t u d i e s t h e d e l i n q u e n t i n his n a t u r a l p l a c e — t h a t i s t o say, i n the f i e l d o f b i o l o g y a n d p a t h o l o g y " ( L o m b r o s o ' s disciple S e r g i , q u o t e d i n Z i m m e r n , 1898, p . 7 4 4 ) . A s a c o n s e r v a t i v e political a r g u m e n t , i t can't b e beat: evil, o r s t u p i d , o r p o o r , o r d i s e n f r a n c h i s e d , o r d e g e n e r a t e , p e o p l e a r e w h a t t h e y a r e a s a result o f t h e i r b i r t h . Social institutions reflect n a t u r e . B l a m e (and study) t h e victim, n o t his e n v i r o n m e n t . T h e Italian a r m y , f o r e x a m p l e , h a d b e e n b o t h e r e d b y s e v e r a l cases o f misdeismo, o r , a s w e w o u l d say, f r a g g i n g . T h e s o l d i e r Misd e a ( F i g . 4 . 5 ) , w h o g a v e t h e p h e n o m e n o n its Italian n a m e , h a d m u r d e r e d his c o m m a n d i n g officer. L o m b r o s o e x a m i n e d h i m a n d p r o c l a i m e d h i m "a n e r v o u s e p i l e p t i c . . . , v e r y a f f e c t e d by a vicious h e r e d i t y " (in F e r r i , 1 9 1 1 ) . L o m b r o s o r e c o m m e n d e d that epileptics b e s c r e e n e d f r o m t h e a r m y a n d this, a c c o r d i n g t o F e r r i , e l i m i n a t e d misdeismo. ( I w o n d e r i f t h e Italian a r m y g o t t h r o u g h W W I I w i t h o u t a single i n c i d e n t o f f r a g g i n g b y n o n e p i l e p t i c s . ) I n a n y case, n o o n e seemed disposed to consider the rights and conditions of recruits. T h e most dubious potential consequence of Lombroso's theory was n e i t h e r r e a l i z e d i n law n o r p r o p o s e d b y L o m b r o s o ' s s u p p o r t e r s : p r e s c r e e n i n g a n d isolation o f p e o p l e b e a r i n g s t i g m a t a before t h e y h a d c o m m i t t e d a n y o f f e n s e — t h o u g h F e r r i ( 1 8 9 7 , p . 2 5 1 ) did label as "substantially j u s t " Plato's d e f e n s e of a family's b a n i s h m e n t a f t e r m e m b e r s o f t h r e e successive g e n e r a t i o n s h a d b e e n e x e c u t e d for criminal offenses. L o m b r o s o did, h o w e v e r , advocate prescreeni n g o f c h i l d r e n s o that t e a c h e r s m i g h t p r e p a r e t h e m s e l v e s and know what to e x p e c t f r o m pupils with stigmata. Anthropological examination, by pointing out the criminal type, the precocious development of the body, the lack of symmetry, the smallness of the head, and the exaggerated size of the face explains the scholastic and disciplinary shortcomings of children thus marked and permits them
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to be separated in time from their better-endowed companions and directed towards careers more suited to their t e m p e r a m e n t ( 1 9 1 1 , pp. 438-439)W e d o k n o w that L o m b r o s o ' s s t i g m a t a b e c a m e i m p o r t a n t criteria f o r j u d g m e n t i n m a n y c r i m i n a l trials. A g a i n w e c a n n o t k n o w h o w m a n y m e n w e r e c o n d e m n e d unjustly b e c a u s e they w e r e e x t e n sively t a t t o o e d , f a i l e d t o b l u s h , o r h a d u n u s u a l l y l a r g e j a w s a n d arms. E. Ferri, Lombroso's chief lieutenant, wrote (1897, p p . 1 6 6 167): A study of the anthropological factors of crime provides the guardians and administrators of the law with new and more certain m e t h o d s in the detection of the guilty. Tattooing, anthropometry, physiognomy, physical and mental conditions, records of sensibility, reflex activity, vaso-motor reactions, the range of sight, the data of criminal statistics . . . will frequently suffice to give police agents and e x a m i n i n g magistrates a scientific guidance in their inquiries, which now d e p e n d entirely on their individual acuteness and mental sagacity. A n d when we r e m e m b e r the e n o r m o u s n u m b e r of crimes and offenses which are not punished, for lack or inadequacy of evidence, and the frequency of trials which are based solely on circumstantial hints, it is easy to see the practical utility of the primary connection between criminal sociology and penal procedure. L o m b r o s o d e t a i l e d s o m e o f his e x p e r i e n c e s a s a n e x p e r t witness. C a l l e d u p o n t o h e l p d e c i d e w h i c h o f t w o s t e p s o n s h a d killed a w o m a n , L o m b r o s o d e c l a r e d ( 1 9 1 1 , p . 436) that o n e " w a s , i n fact, the most perfect type of the born criminal: e n o r m o u s j a w s , frontal sinuses, a n d z y g o m a t a , thin u p p e r l i p , h u g e incisors, u n u s u a l l y l a r g e h e a d ( 1 6 2 0 cc) [ a m a r k o f g e n i u s i n o t h e r c o n t e x t s , but not h e r e ] , tactile o b t u s e n e s s with sensorial m a n i c i n i s m . H e was c o n victed." I n a n o t h e r c a s e , b a s e d o n e v i d e n c e that e v e n h e c o u l d not depict as better than highly v a g u e and circumstantial, Lombroso a r g u e d for the conviction of a certain Fazio, accused of robbing a n d m u r d e r i n g a r i c h f a r m e r . O n e girl testified that s h e h a d seen F a z i o s l e e p i n g n e a r the m u r d e r e d m a n ; t h e n e x t m o r n i n g h e hid a s the g e n d a r m e s a p p r o a c h e d . N o o t h e r e v i d e n c e o f his guilt was offered: U p o n examination I found that this man had outstanding ears, great maxillaries and cheek bones, lemurine a p p e n d i x , division of the frontal bone, premature wrinkles, sinister look, nose twisted to the right—in short, a physiognomy approaching the criminal type; pupils very slightly mobile
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. . . a large picture of a woman tattooed u p o n his breast, with the words, "Remembrance of Celina Laura" (his wife), and on his arm the picture of a girl. He had an epileptic aunt and an insane cousin, and investigation showed that he was a gambler and an idler. In every way, then, biology furnished in this case indications which, j o i n e d with the other evidence, would have been e n o u g h to convict him in a country less tender toward criminals. Notwithstanding this he was acquitted ( 1 9 1 1 , p. 437). Y o u win s o m e , y o u lose s o m e . (Ironically, i t was t h e c o n s e r v a t i v e r a t h e r t h a n t h e liberal n a t u r e o f j u r i s p r u d e n c e that limited L o m broso's i n f l u e n c e . M o s t j u d g e s a n d l a w y e r s simply c o u l d n ' t b e a r t h e i d e a o f q u a n t i t a t i v e science i n t r u d i n g i n t o their a n c i e n t d o m a i n . T h e y d i d n ' t k n o w that L o m b r o s i a n c r i m i n a l a n t h r o p o l o g y was a pseudo-science, but rejected it as an u n w a r r a n t e d transgression of a s t u d y fully legitimate in its o w n d o m a i n . L o m b r o s o ' s F r e n c h critics, with their e m p h a s i s o n t h e social c a u s e s o f c r i m e , also h e l p e d t o halt t h e L o m b r o s i a n t i d e — f o r t h e y , M a n o u v r i e r a n d T o p i n a r d i n p a r t i c u l a r , c o u l d p a r r y n u m b e r s with h i m . ) I n d i s c u s s i n g capital p u n i s h m e n t , L o m b r o s o a n d his disciples e m p h a s i z e d t h e i r c o n v i c t i o n that b o r n c r i m i n a l s t r a n s g r e s s b y n a t u r e . " A t a v i s m s h o w s u s t h e inefficacy o f p u n i s h m e n t f o r b o r n criminals a n d w h y it is that they inevitably h a v e p e r i o d i c r e l a p s e s into c r i m e " ( L o m b r o s o , 1 9 1 1 , p . 369). " T h e o r e t i c a l ethics passes o v e r these d i s e a s e d b r a i n s , a s oil d o e s o v e r m a r b l e , w i t h o u t p e n e trating it" ( L o m b r o s o , 1 8 9 5 , p . 58). Ferri stated in 1897 that, in o p p o s i t i o n to m a n y o t h e r s c h o o l s of thought, criminal anthropologists of Lombrosian persuasion were u n a n i m o u s i n d e c l a r i n g the d e a t h p e n a l t y l e g i t i m a t e ( 1 8 9 7 , p p . 2 3 8 - 2 4 0 ) . L o m b r o s o w r o t e ( 1 9 1 1 , p . 4 4 7 ) : " T h e r e exists, i t i s true, a g r o u p o f c r i m i n a l s , b o r n f o r evil, a g a i n s t w h o m all social cures b r e a k as a g a i n s t a r o c k — a fact w h i c h c o m p e l s us to e l i m i n a t e them c o m p l e t e l y , e v e n b y d e a t h . " H i s f r i e n d t h e p h i l o s o p h e r H i p polyte T a i n e w r o t e e v e n m o r e d r a m a t i c a l l y : You have shown us fierce and lubricious orang-utans with h u m a n faces. It is evident that as such they cannot act otherwise. If they ravish, steal, and kill, it is by virtue of their own nature and their past, but there >s all the more reason for destroying them w h e n it has been proved that they will always remain orang-utans (quoted favorably in Lombroso, 1 9 1 1 , P- 428). Ferri h i m s e l f i n v o k e d D a r w i n i a n t h e o r y as a c o s m i c j u s t i f i c a t i o n capital p u n i s h m e n t ( 1 8 9 7 , p p . 2 3 9 - 2 4 0 ) :
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It seems to me that the death penalty is prescribed by nature, and operates at every m o m e n t in the life of the universe. T h e universal law of evolution shows us also that vital progress of every kind is d u e to continual selection, by the death of the least fit in the struggle for life. N o w this selection, in humanity as with the lower animals, may be natural or artificial. It would therefore be in agreement with natural laws that h u m a n society should make an artificial selection, by the elimination of anti-social and incongruous individuals. N o n e t h e l e s s , L o m b r o s o a n d his c o l l e a g u e s g e n e r a l l y f a v o r e d m e a n s o t h e r t h a n d e a t h f o r r i d d i n g society o f its b o r n c r i m i n a l s . Early isolation i n b u c o l i c s u r r o u n d i n g s m i g h t m i t i g a t e t h e i n n a t e t e n d e n c y a n d l e a d t o a u s e f u l life u n d e r close a n d c o n t i n u a l s u p e r vision. I n o t h e r cases o f i n c o r r i g i b l e c r i m i n a l i t y , t r a n s p o r t a t i o n a n d exile to penal colonies provided a m o r e humanitarian solution than capital p u n i s h m e n t — b u t b a n i s h m e n t m u s t b e p e r m a n e n t a n d i r r e v o c a b l e . F e r r i , n o t i n g t h e small size o f Italy's colonial e m p i r e , a d v o c a t e d " i n t e r n a l d e p o r t a t i o n , " p e r h a p s t o l a n d s n o t tilled b e c a u s e o f e n d e m i c m a l a r i a : " I f t h e d i s p e r s i o n o f this m a l a r i a d e m a n d s a h u m a n h e c a t o m b , i t w o u l d e v i d e n t l y b e b e t t e r t o sacrifice c r i m i n a l s t h a n h o n e s t h u s b a n d m e n " ( 1 8 9 7 , p . 249). I n t h e e n d , he r e c o m m e n d e d deportation to the African colony of Eritrea. T h e L o m b r o s i a n c r i m i n a l a n t h r o p o l o g i s t s w e r e n o t petty sadists, proto-fascists, o r e v e n c o n s e r v a t i v e political i d e o l o g u e s . T h e y t e n d e d t o w a r d l i b e r a l , e v e n socialist, politics a n d saw t h e m s e l v e s as scientifically e n l i g h t e n e d m o d e r n i s t s . T h e y h o p e d t o u s e m o d e r n science a s a c l e a n s i n g b r o o m t o s w e e p a w a y f r o m j u r i s p r u d e n c e the o u t d a t e d p h i l o s o p h i c a l b a g g a g e o f f r e e will a n d u n m i t i g a t e d m o r a l responsibility. T h e y called t h e m s e l v e s t h e " p o s i t i v e " s c h o o l o f crim i n o l o g y , n o t b e c a u s e t h e y w e r e s o c e r t a i n ( t h o u g h t h e y w e r e ) , but i n r e f e r e n c e t o t h e p h i l o s o p h i c a l m e a n i n g o f e m p i r i c a l a n d objective rather than speculative. T h e "classical" s c h o o l , L o m b r o s o ' s c h i e f o p p o n e n t s , h a d comb a t t e d t h e c a p r i c i o u s n e s s o f p r e v i o u s p e n a l p r a c t i c e b y a r g u i n g that p u n i s h m e n t m u s t b e a p p o r t i o n e d strictly t o t h e n a t u r e o f t h e crime a n d that all i n d i v i d u a l s m u s t b e fully r e s p o n s i b l e f o r their actions (no m i t i g a t i n g c i r c u m s t a n c e s ) . L o m b r o s o i n v o k e d b i o l o g y t o a r g u e that p u n i s h m e n t s m u s t f i t the c r i m i n a l , n o t , a s Gilbert's M i k a d o w o u l d h a v e it, t h e c r i m e . A n o r m a l m a n m i g h t m u r d e r in a m o m e n t o f j e a l o u s r a g e . W h a t p u r p o s e w o u l d e x e c u t i o n o r a life in p r i s o n serve? H e n e e d s n o r e f o r m , f o r his n a t u r e i s g o o d ; society
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n e e d s n o p r o t e c t i o n f r o m h i m , f o r h e will n o t t r a n s g r e s s a g a i n . A born criminal might be in the dock for some petty crime. W h a t g o o d will a s h o r t s e n t e n c e s e r v e : since he c a n n o t be r e h a b i l i t a t e d , a s h o r t s e n t e n c e o n l y r e d u c e s the t i m e t o his n e x t , p e r h a p s m o r e serious, offense. T h e positive s c h o o l c a m p a i g n e d h a r d e s t a n d m o s t successfully f o r a set o f r e f o r m s , until r e c e n t l y r e g a r d e d a s e n l i g h t e n e d o r "libe r a l , " a n d all i n v o l v i n g the p r i n c i p l e o f i n d e t e r m i n a t e s e n t e n c i n g . F o r t h e m o s t p a r t t h e y w o n , a n d few p e o p l e r e a l i z e that o u r m o d ern apparatus of parole, early release, and indeterminate sentenci n g stems i n p a r t f r o m L o m b r o s o ' s c a m p a i g n f o r d i f f e r e n t i a l treatment of b o r n and occasional criminals. T h e main goal of criminal a n t h r o p o l o g y , w r o t e F e r r i i n 1 9 1 1 , i s t o " m a k e t h e p e r s o n a l i t y o f the c r i m i n a l t h e p r i m a r y object a n d p r i n c i p l e o f the r u l e s o f penal j u s t i c e , i n p l a c e o f t h e objective g r a v i t y o f t h e c r i m e " ( p . 52). Penal sanctions must be adapted . . . to the personality of the criminal. . . . T h e logical consequence of this conclusion is the indeterminate sentence which has b e e n , and is, combatted as a juridical heresy by classical and metaphysical criminologists. . . . Prefixed penalties are absurd as a means of social defense. It is as if a doctor at the hospital wanted to attach to each disease the length of a stay in his establishment (Ferri, 1 9 1 1 , p. 251). T h e original Lombrosians advocated harsh treatment for "born criminals." T h i s m i s a p p l i c a t i o n o f a n t h r o p o m e t r y a n d e v o l u t i o n a r y theory is all t h e m o r e tragic b e c a u s e L o m b r o s o ' s biological m o d e l was so utterly invalid a n d b e c a u s e it shifted so m u c h a t t e n t i o n f r o m the social basis o f c r i m e t o fallacious ideas a b o u t t h e i n n a t e p r o pensity o f c r i m i n a l s . B u t t h e positivists, i n v o k i n g L o m b r o s o ' s enlarged model a n d finally even e x t e n d i n g the genesis of crime to u p b r i n g i n g a s well a s b i o l o g y , h a d e n o r m o u s i m p a c t i n t h e i r c a m paign f o r i n d e t e r m i n a t e s e n t e n c i n g a n d t h e c o n c e p t o f m i t i g a t i n g circumstances. S i n c e their beliefs a r e , f o r t h e m o s t p a r t , o u r p r a c t i c e s , w e h a v e t e n d e d t o view t h e m a s h u m a n e a n d p r o g r e s s i v e . Lombroso's d a u g h t e r , c a r r y i n g o n t h e g o o d w o r k , s i n g l e d o u t t h e United States f o r p r a i s e . W e h a d e s c a p e d t h e h e g e m o n y o f classical criminology a n d s h o w n o u r u s u a l r e c e p t i v e n e s s f o r i n n o v a t i o n . Many states h a d a d o p t e d the positivist p r o g r a m i n e s t a b l i s h i n g good r e f o r m a t o r i e s , p r o b a t i o n s y s t e m s , i n d e t e r m i n a t e s e n t e n c i n g , and liberal p a r d o n laws ( L o m b r o s o - F e r r e r o , 1 9 1 1 ) . Y e
t e v e n a s t h e positivists p r a i s e d A m e r i c a a n d t h e m s e l v e s ,
T HE
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their w o r k c o n t a i n s t h e s e e d s o f d o u b t that h a v e led m a n y m o d e r n r e f o r m e r s t o q u e s t i o n the h u m a n e n a t u r e o f L o m b r o s o ' s i n d e t e r m i n a t e s e n t e n c e s a n d to a d v o c a t e a r e t u r n to t h e fixed p e n a l t i e s of classical c r i m i n o l o g y . M a u r i c e P a r m e l e e , A m e r i c a ' s l e a d i n g positivist, d e c r i e d as t o o h a r s h a N e w Y o r k State law of 1 9 1 5 that p r e scribed a n i n d e t e r m i n a t e s e n t e n c e o f u p t o t h r e e y e a r s f o r s u c h infractions as disorderly conduct, disorderly h o u s e k e e p i n g , intoxication, a n d v a g r a n c y ( P a r m e l e e , 1 9 1 8 ) . L o m b r o s o ' s d a u g h t e r praised the complete dossier of m o o d s and deeds kept by volunteer w o m e n w h o g u i d e d t h e f o r t u n e s o f j u v e n i l e o f f e n d e r s i n several states. T h e y will " p e r m i t j u d g e s , i f t h e c h i l d c o m m i t s a n o f f e n s e , t o distinguish between a born criminal and a habitual criminal. Howe v e r , t h e child will n o t k n o w o f t h e e x i s t e n c e o f this dossier, a n d this will p e r m i t h i m t h e most c o m p l e t e f r e e d o m t o d e v e l o p " L o m b r o s o - F e r r e r o , 1 9 1 1 , p . 124). S h e also a d m i t t e d t h e b u r d e n s o m e e l e m e n t o f h a r a s s m e n t a n d h u m i l i a t i o n i n c l u d e d i n seve r a l systems o f p r o b a t i o n , p a r t i c u l a r l y i n M a s s a c h u s e t t s , w h e r e i n d e f i n i t e p a r o l e m i g h t c o n t i n u e f o r life: " I n t h e C e n t r a l P r o b a t i o n B u r e a u o f B o s t o n , I h a v e r e a d m a n y letters f r o m p r o t e g e s w h o a s k e d t o b e r e t u r n e d t o t h e i r p r i s o n s , r a t h e r t h a n c o n t i n u e the h u m i l i a t i o n o f t h e i r p r o t e c t o r always o n t h e i r backs (or "in their b u n d l e s , " as she said literally in F r e n c h — L o m b r o s o - F e r r e r o , 1 9 1 1 , P- 135)F o r t h e L o m b r o s i a n s , i n d e t e r m i n a t e s e n t e n c i n g e m b o d i e d both g o o d b i o l o g y a n d m a x i m a l p r o t e c t i o n f o r the state: " P u n i s h m e n t o u g h t n o t to be t h e visitation of a c r i m e by a r e t r i b u t i o n , b u t rather a d e f e n s e of society a d a p t e d to t h e d a n g e r p e r s o n i f i e d by the crimi n a l " ( F e r r i , 1 8 9 7 , P- 208). D a n g e r o u s p e o p l e r e c e i v e l o n g e r sent e n c e s , a n d t h e i r s u b s e q u e n t lives a r e m o n i t o r e d m o r e strictly. A n d s o the system o f i n d e t e r m i n a t e p e n a l t i e s — L o m b r o s o ' s l e g a c y — e x e r t s a g e n e r a l a n d p o w e r f u l e l e m e n t o f c o n t r o l o v e r e v e r y aspect of a p r i s o n e r ' s life: his d o s s i e r e x p a n d s a n d c o n t r o l s his fate; he is w a t c h e d i n p r i s o n a n d his acts a r e j u d g e d with the c a r r o t o f early r e l e a s e b e f o r e h i m . It is also u s e d in L o m b r o s o ' s o r i g i n a l sense to s e q u e s t e r the d a n g e r o u s . F o r L o m b r o s o , this m e a n t the b o r n criminal with his a p i s h stigmata. T o d a y , it o f t e n m e a n s t h e defiant, the p o o r , a n d the black. G e o r g e J a c k s o n , a u t h o r of Soledad Brother, d i e d u n d e r L o m b r o s o ' s l e g a c y , t r y i n g t o e s c a p e after e l e v e n years (eight a n d a h a l f in solitary) of an i n d e t e r m i n a t e o n e - y e a r - t o - l i f s e n t e n c e f o r stealing s e v e n t y dollars f r o m a gas station. e
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Coda T o l s t o y ' s f r u s t r a t i o n with t h e L o m b r o s i a n s lay in their i n v o c a tion o f science t o a v o i d t h e d e e p e r q u e s t i o n that called f o r social transformation as o n e potential resolution. Science, he realized, o f t e n acted a s t h e f i r m ally o f e x i s t i n g institutions. His p r o t a g o n i s t Prince N e k h l y u d o v , t r y i n g to f a t h o m a s y s t e m that falsely c o n d e m n e d a w o m a n h e o n c e w r o n g e d , studies t h e l e a r n e d w o r k s o f criminal a n t h r o p o l o g y a n d f i n d s n o a n s w e r : He also came across a tramp and a w o m a n , both of w h o m repelled him by their half-witted insensibility and s e e m i n g cruelty, but even in them he failed to see the criminal type as described in the Italian school of criminology: he saw in them only people w h o were repulsive to him personally, like others were w h o m he met outside prison walls—in swallowtail coats, wearing epaulets or bedecked with lace. . . . At first he had h o p e d to find the answer in books, and bought everything he could find on the subject. He bought the works of Lombroso and Garofalo [an Italian baron and disciple of Lombroso], Ferri, Liszt, Maudsley and T a r d e , and read them carefully. But as he read, he became m o r e and more disappointed. . . . Science answered thousands of very subtle and ingenious questions touching criminal law, but certainly not the o n e he was trying to solve. He was asking a very simple thing: Why and by what right does o n e class of people lock u p , torture, exile, flog, and kill other people, when they themselves are no better than those w h o m they torture, flog and kill? A n d for answers he got arguments as to whether human beings were possessed of free will or not. Could criminal propensities be detected by measuring the sk'ull, and so on? What part does heredity play in crime? Is there such a thing as congenital depravity? (Resurrection, 1899, 1966 edition translated by R. E d m o n d s , pp. 402-403.)
Epilogue We live in a m o r e subtle c e n t u r y , b u t t h e basic a r g u m e n t s n e v e r seem t o c h a n g e . T h e c r u d i t i e s o f t h e c r a n i a l i n d e x h a v e g i v e n w a y t o the c o m p l e x i t y o f i n t e l l i g e n c e testing. T h e signs o f i n n a t e c r i m inality are n o l o n g e r s o u g h t i n s t i g m a t a o f g r o s s a n a t o m y , b u t i n twentieth-century criteria: g e n e s a n d f i n e s t r u c t u r e o f t h e b r a i n . l
the m i d - 1 9 6 0 s , p a p e r s b e g a n t o a p p e a r l i n k i n g a c h r o m o a n o m a l y in m a l e s k n o w n as X Y Y with v i o l e n t a n d c r i m i n a l avior. ( N o r m a l m a l e s r e c e i v e a s i n g l e X c h r o m o s o m e f r o m t h e i r ers a n d a Y f r o m their f a t h e r s ; n o r m a l f e m a l e s r e c e i v e a sinn
somal
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g l e X f r o m e a c h of their p a r e n t s . O c c a s i o n a l l y , a c h i l d will r e c e i v e t w o Y ' s f r o m his f a t h e r . X Y Y m a l e s l o o k like n o r m a l m a l e s , b u t t e n d t o b e a little a b o v e a v e r a g e i n h e i g h t , h a v e p o o r skin a n d m a y t e n d , o n a v e r a g e — t h o u g h this i s d i s p u t e d — t o b e s o m e w h a t defic i e n t i n p e r f o r m a n c e o n i n t e l l i g e n c e tests.) B a s e d o n l i m i t e d o b s e r vation and anecdotal accounts of a few X Y Y individuals, and on a h i g h f r e q u e n c y o f X Y Y ' s i n m e n t a l - p e n a l institutions f o r t h e c r i m inally i n s a n e , a tale a b o u t c r i m i n a l c h r o m o s o m e s o r i g i n a t e d . T h e story e x p l o d e d i n t o p u b l i c c o n s c i o u s n e s s w h e n a t t o r n e y s f o r Richard Speck, m u r d e r e r of eight student nurses in C h i c a g o , sought to m i t i g a t e his p u n i s h m e n t w i t h a c l a i m that h e was X Y Y . ( I n fact, h e is a n o r m a l XY male.) Newsweek p u b l i s h e d an article e n t i t l e d " C o n genital c r i m i n a l s , " a n d t h e p r e s s c h u r n e d o u t i n n u m e r a b l e r e p o r t s a b o u t this latest r e i n c a r n a t i o n o f L o m b r o s o a n d his stigmata. Meanwhile, scholarly study picked u p , and h u n d r e d s of papers have now been written on the behavioral consequences of being X Y Y . A well-intentioned but, in my opinion, naive g r o u p of Boston doctors began an extensive screening p r o g r a m u p o n newborn b o y s . T h e y h o p e d that b y m o n i t o r i n g t h e d e v e l o p m e n t o f a l a r g e s a m p l e o f X Y Y b o y s , t h e y m i g h t establish w h e t h e r a n y link e x i s t e d w i t h a g g r e s s i v e b e h a v i o r . B u t w h a t o f t h e self-fulfilling p r o p h e s y ? for parents were told, a n d no a m o u n t of scholarly tentativeness can o v e r c o m e both press reports and inferences m a d e by worried parents f r o m t h e a g g r e s s i v e b e h a v i o r m a n i f e s t e d f r o m t i m e t o t i m e b y all c h i l d r e n . A n d w h a t o f t h e a n g u i s h s u f f e r e d b y p a r e n t s , e s p e cially if t h e c o n n e c t i o n be a false o n e — a s it a l m o s t s u r e l y is. I n t h e o r y , t h e link b e t w e e n X Y Y a n d a g g r e s s i v e criminality n e v e r h a d m u c h g o i n g f o r i t b e y o n d t h e s i n g u l a r l y simplistic notion that since m a l e s a r e m o r e a g g r e s s i v e t h a n f e m a l e s a n d possess a Y that f e m a l e s lack, Y m u s t be the seat of a g g r e s s i o n a n d a d o u b l e d o s e spells d o u b l e - t r o u b l e . O n e g r o u p o f r e s e a r c h e r s p r o c l a i m e d in 1 9 7 3 (Jarvik et al., p p . 6 7 9 - 6 8 0 ) : " T h e Y c h r o m o s o m e is the male-determining chromosome; therefore, it should c o m e as no s u r p r i s e that a n e x t r a Y c h r o m o s o m e c a n p r o d u c e a n i n d i v i d u a l with h e i g h t e n e d m a s c u l i n i t y , e v i n c e d by characteristics s u c h as u n u s u a l tallness, i n c r e a s e d fertility . . . a n d p o w e r f u l a g g r e s s i v e tendencies." T h e tale o f X Y Y a s a c r i m i n a l s t i g m a h a s n o w b e e n widely e x p o s e d as a m y t h ( B o r g a o n k a r a n d S h a h , 1 9 7 4 ; Pyeritz et al-,
M E A S U R I N G
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1 9 7 7 ) . B o t h t h e s e studies e x p o s e the e l e m e n t a r y f l a w s o f m e t h o d i n m o s t l i t e r a t u r e c l a i m i n g a link b e t w e e n X Y Y a n d criminality. XYY
males
do
seem
to
be
represented
disproportionately
in
m e n t a l - p e n a l institutions, b u t t h e r e i s n o g o o d e v i d e n c e for h i g h f r e q u e n c i e s i n o r d i n a r y jails. A m a x i m u m o f 1
percent of X Y Y
males i n A m e r i c a m a y s p e n d p a r t o f their lives i n m e n t a l - p e n a l institutions (Pyeritz e t al., 1 9 7 7 , p . 92). A d d i n g t o this t h e n u m b e r that m a y be i n c a r c e r a t e d in o r d i n a r y jails at t h e s a m e f r e q u e n c y as n o r m a l X Y m a l e s , C h o r o v e r ( 1 9 7 9 ) estimates t h a t 9 6 p e r c e n t o f X Y Y males will l e a d o r d i n a r y lives a n d n e v e r c o m e t o t h e a t t e n t i o n of penal authorities. Q u i t e a criminal c h r o m o s o m e ! M o r e o v e r , we h a v e n o e v i d e n c e t h a t t h e relatively h i g h p r o p o r t i o n o f X Y Y ' s i n m e n t a l - p e n a l institutions has a n y t h i n g t o d o with h i g h levels o f innate a g g r e s s i v i t y . O t h e r scientists h a v e l o o k e d t o m a l f u n c t i o n i n specific areas o f the brain as a c a u s e of c r i m i n a l b e h a v i o r . A f t e r e x t e n s i v e g h e t t o riots d u r i n g t h e s u m m e r o f 1 9 6 7 , t h r e e d o c t o r s w r o t e a letter t o the p r e s t i g i o u s Journal of the American Medical Association
(cited
in
Chorover, 1979): It is important to realize that only a small n u m b e r of the millions of slum dwellers have taken part in the riots, a n d that only a subfraction of these rioters h a v e i n d u l g e d in arson, sniping a n d assault. Yet, if slum conditions alone d e t e r m i n e d and initiated riots, why are the vast majority of slum dwellers able to resist the temptations of unrestrained violence? Is there s o m e t h i n g peculiar about the violent slum dweller that differentiates him from his peaceful neighbors? W e all t e n d
t o g e n e r a l i z e f r o m o u r o w n areas o f e x p e r t i s e .
T h e s e doctors are psychosurgeons.
But why should
the violent
behavior of some desperate a n d discouraged p e o p l e point to a specific d i s o r d e r o f their brain w h i l e t h e c o r r u p t i o n a n d v i o l e n c e o f some c o n g r e s s m e n
and
presidents
provokes
n o similar
theory?
H u m a n p o p u l a t i o n s a r e h i g h l y variable for all b e h a v i o r s ; t h e simple fact that s o m e d o a n d s o m e d o n ' t p r o v i d e s n o e v i d e n c e for a specific p a t h o l o g y m a p p e d u p o n t h e b r a i n o f d o e r s . Shall w e c o n centrate
upon
an
unfounded
speculation
for
the
violence
of
s o m e — o n e t h a t follows t h e d e t e r m i n i s t p h i l o s o p h y o f b l a m i n g t h e v i c t i m — o r shall w e try t o e l i m i n a t e t h e o p p r e s s i o n that b u i l d s g h e t tos a n d saps t h e spirit of their u n e m p l o y e d in t h e first p l a c e ?
FIVE
T h e Hereditarian Theory of IQ An American Invention Alfred Binet and the original purposes of the Binet scale Binet
flirts
When
with Alfred
craniometry Binet
(1857-1911),
director
of the
psychology
l a b o r a t o r y a t t h e S o r b o n n e , first d e c i d e d t o s t u d y t h e m e a s u r e m e n t of intelligence, he turned naturally to the favored m e t h o d of a waning century and
t o t h e w o r k o f his g r e a t c o u n t r y m a n Paul
B r o c a . H e set o u t , i n short, t o m e a s u r e skulls, n e v e r d o u b t i n g a t f i r s t t h e basic c o n c l u s i o n o f B r o c a ' s s c h o o l : T h e relationship between the intelligence of subjects a n d t h e volume of their h e a d . . . is very real and has b e e n c o n f i r m e d by all methodical investigators, without exception. . . . A s these works include observations on several h u n d r e d subjects, we c o n c l u d e that the p r e c e d i n g proposition [of correlation b e t w e e n h e a d size and intelligence] must be considered as incontestable (Binet, 1898, p p . 294-295). D u r i n g the n e x t three years, Binet published nine papers on c r a n i o m e t r y in L'Annee psychologique, t h e j o u r n a l he h a d f o u n d e d in 1895.
B y t h e e n d o f this effort, h e was n o l o n g e r s o sure.
Five
studies o n t h e h e a d s o f s c h o o l c h i l d r e n h a d d e s t r o y e d his original faith. B i n e t w e n t t o v a r i o u s schools, m a k i n g B r o c a ' s r e c o m m e n d e d m e a s u r e m e n t s o n t h e h e a d s o f p u p i l s d e s i g n a t e d b y teachers as their smartest a n d s t u p i d e s t . In several s t u d i e s , he increased his s a m p l e f r o m 6 2 t o 2 3 0 subjects. " I b e g a n , " h e w r o t e , "with t h e idea
T H E
H E R E D I T A R I A N
T H E O R Y
OF
IQ
i m p r e s s e d u p o n m e b y the studies o f s o m a n y o t h e r scientists, that intellectual s u p e r i o r i t y is tied to s u p e r i o r i t y of c e r e b r a l v o l u m e "
(1900, p. 427). B i n e t f o u n d his d i f f e r e n c e s , b u t t h e y w e r e m u c h t o o small t o matter and m i g h t only record the greater a v e r a g e height of better p u p i l s ( 1 . 4 0 1 vs. 1.378 m e t e r s ) . M o s t m e a s u r e s d i d f a v o r t h e b e t t e r students,
but
the
average
difference
between
good
and
poor
a m o u n t e d to a m e r e millimeter—"extremement petite" as B i n e t w r o t e . Binet did not observe larger differences in the anterior region of the skull, w h e r e t h e seat o f h i g h e r i n t e l l i g e n c e s u p p o s e d l y lay, a n d w h e r e B r o c a h a d always f o u n d g r e a t e s t d i s p a r i t y b e t w e e n s u p e r i o r a n d less f o r t u n a t e p e o p l e . T o m a k e m a t t e r s w o r s e , s o m e m e a s u r e s usually j u d g e d crucial i n t h e assessment o f m e n t a l w o r t h f a v o r e d the
poorer
pupils—for
poorer students
anteroposterior
exceeded
diameter
their s m a r t e r
of
the
colleagues by
skull,
3.0 m m .
E v e n i f m o s t results t e n d e d t o r u n i n t h e " r i g h t " d i r e c t i o n , t h e m e t h o d was surely useless f o r assessing i n d i v i d u a l s . T h e differences w e r e t o o small, a n d B i n e t also f o u n d that p o o r s t u d e n t s v a r ied
more
than
their s m a r t e r c o u n t e r p a r t s . T h u s , a l t h o u g h
the
smallest v a l u e usually b e l o n g e d to a p o o r p u p i l , t h e h i g h e s t o f t e n did as well. B i n e t also f u e l e d his o w n d o u b t s with a n e x t r a o r d i n a r y s t u d y o f his o w n suggestibility, a n e x p e r i m e n t i n t h e p r i m a r y t h e m e o f this b o o k — t h e
tenacity
of unconscious
bias
and
the
surprising
malleability of "objective," q u a n t i t a t i v e d a t a in t h e interest of a p r e conceived idea.
"I
feared," Binet wrote (1900, p.
323), " t h a t i n
m a k i n g m e a s u r e m e n t s on h e a d s with t h e i n t e n t i o n of f i n d i n g a difference in v o l u m e b e t w e e n an i n t e l l i g e n t a n d a less i n t e l l i g e n t head, I w o u l d be led to increase, u n c o n s c i o u s l y a n d in g o o d faith, the cephalic v o l u m e o f i n t e l l i g e n t h e a d s a n d t o d e c r e a s e that o f unintelligent h e a d s . "
He recognized
the greater d a n g e r lurking
when biases are s u b m e r g e d a n d a scientist believes in his o w n objectivity ( 1 9 0 0 , p. 3 2 4 ) : " S u g g e s t i b i l i t y . . . w o r k s less on an act of which we h a v e full c o n s c i o u s n e s s , t h a n on a h a l f - c o n s c i o u s a c t — and this is precisely its d a n g e r . " H o w m u c h b e t t e r off w e w o u l d b e i f all scientists s u b m i t t e d themselves to self-scrutiny in so f o r t h r i g h t a fashion: "I w a n t to state very explicitly,"
Binet wrote (1900,
p.
324), "what
I
have
observed a b o u t myself. T h e details that follow a r e those t h a t t h e
IJ8
T H E
M I S M E A S U R E
O F
M A N
majority o f a u t h o r s d o n o t p u b l i s h ; o n e d o e s not w a n t t o let t h e m b e k n o w n . " B o t h B i n e t a n d his s t u d e n t S i m o n h a d m e a s u r e d t h e s a m e h e a d s of "idiots a n d i m b e c i l e s " at a hospital w h e r e S i m o n was i n intern. B i n e t n o t e d that, for o n e crucial m e a s u r e m e n t , S i m o n ' s values w e r e consistently less t h a n his. B i n e t t h e r e f o r e r e t u r n e d t o m e a s u r e t h e subjects a s e c o n d time. T h e f i r s t t i m e , B i n e t a d m i t s , " I took m y m e a s u r e s m e c h a n i c a l l y , w i t h o u t a n y o t h e r p r e c o n c e p tion t h a n t o r e m a i n faithful t o m y m e t h o d s . " B u t the s e c o n d t i m e " I h a d a d i f f e r e n t p r e c o n c e p t i o n . . . . I was b o t h e r e d b y t h e differe n c e " b e t w e e n S i m o n a n d myself. "I w a n t e d to r e d u c e it to its t r u e v a l u e . . . . T h i s is s e l f - s u g g e s t i o n . N o w , capital fact, t h e m e a s u r e s taken d u r i n g the second experiment, u n d e r the expectation of a d i m i n u t i o n , a r e i n d e e d smaller t h a n t h e m e a s u r e s t a k e n [on t h e s a m e h e a d s ] d u r i n g t h e f i r s t e x p e r i m e n t . " I n fact, all b u t o n e h e a d had "shrunk" between the two experiments and the average dimin u t i o n was 3 m m — a g o o d d e a l m o r e t h a n t h e a v e r a g e d i f f e r e n c e b e t w e e n skulls o f b r i g h t a n d p o o r s t u d e n t s i n his p r e v i o u s w o r k . B i n e t s p o k e g r a p h i c a l l y o f his d i s c o u r a g e m e n t : I was p e r s u a d e d that I h a d attacked an intractable problem. T h e measures had required travelling, a n d tiring p r o c e d u r e s of all sorts; and they e n d e d with the discouraging conclusion that there was often not a millimeter of difference b e t w e e n the cephalic measures of intelligent and less intelligent students. T h e idea of measuring intelligence by measuring heads s e e m e d ridiculous. . . . I was on the point of a b a n d o n i n g this work, a n d I didn't want to publish a single line of it (1900, p. 403). At the end, Binet snatched a weak and dubious victory from t h e j a w s o f d e f e a t . H e l o o k e d a t his e n t i r e s a m p l e a g a i n , s e p a r a t e d o u t t h e f i v e t o p a n d b o t t o m p u p i l s f r o m e a c b g r o u p , a n d elimin a t e d all t h o s e i n t h e m i d d l e . T h e d i f f e r e n c e s b e t w e e n e x t r e m e s were greater and m o r e consistent—3 to 4 mm on average. But even this d i f f e r e n c e d i d not e x c e e d t h e a v e r a g e p o t e n t i a l bias d u e t o suggestibility. C r a n i o m e t r y , t h e j e w e l o f n i n e t e e n t h - c e n t u r y objectivity, was not d e s t i n e d for c o n t i n u e d c e l e b r a t i o n .
Binet's
scale
When
and the
birth
of IQ
B i n e t r e t u r n e d t o the m e a s u r e m e n t o f i n t e l l i g e n c e i n
1 9 0 4 , h e r e m e m b e r e d his p r e v i o u s frustration a n d other techniques.
He abandoned
switched t o
w h a t h e called t h e " m e d i c a l "
T H E
H E R E D I T A R I A N
T H E O R Y
O F
I Q
a p p r o a c h e s o f c r a n i o m e t r y a n d the search for L o m b r o s o ' s a n a t o m ical s t i g m a t a , a n d d e c i d e d instead o n " p s y c h o l o g i c a l " m e t h o d s . T h e literature o n m e n t a l testing, a t the t i m e , was relatively small a n d d e c i d e d l y i n c o n c l u s i v e . G a l t o n , w i t h o u t n o t a b l e success, h a d e x p e r i m e n t e d with a series of m e a s u r e m e n t s , m o s t l y r e c o r d s of p h y s i o l o g y a n d r e a c t i o n t i m e , r a t h e r t h a n tests o f r e a s o n i n g . B i n e t d e c i d e d to c o n s t r u c t a set of tasks that m i g h t assess v a r i o u s aspects of reasoning m o r e directly. In
1904
Binet
was
commissioned
by
the
minister
of public
e d u c a t i o n to p e r f o r m a s t u d y for a specific, practical p u r p o s e : to d e v e l o p t e c h n i q u e s f o r i d e n t i f y i n g t h o s e c h i l d r e n w h o s e lack o f success i n n o r m a l classrooms s u g g e s t e d t h e n e e d f o r s o m e f o r m o f special
education.
Binet
chose
a
purely
pragmatic
course.
He
d e c i d e d to b r i n g t o g e t h e r a l a r g e series of short tasks, r e l a t e d to e v e r y d a y p r o b l e m s o f life ( c o u n t i n g coins, o r assessing w h i c h face is " p r e t t i e r , " for e x a m p l e ) , b u t s u p p o s e d l y i n v o l v i n g such basic processes o f r e a s o n i n g a s " d i r e c t i o n ( o r d e r i n g ) , c o m p r e h e n s i o n , invention a n d censure (correction)" (Binet,
1909). L e a r n e d skills
like r e a d i n g w o u l d n o t b e t r e a t e d explicitly. T h e tests w e r e a d m i n istered i n d i v i d u a l l y b y t r a i n e d e x a m i n e r s w h o l e d subjects t h r o u g h the series o f tasks, g r a d e d i n their o r d e r o f difficulty. U n l i k e p r e vious tests d e s i g n e d t o m e a s u r e specific a n d i n d e p e n d e n t " f a c u l ties" of m i n d , Binet's scale was a h o d g e p o d g e of d i v e r s e activities. H e h o p e d t h a t b y m i x i n g t o g e t h e r e n o u g h tests o f d i f f e r e n t abilities he w o u l d be able to abstract a child's g e n e r a l p o t e n t i a l with a single score.
B i n e t e m p h a s i z e d t h e e m p i r i c a l n a t u r e o f his w o r k
with a f a m o u s d i c t u m ( 1 9 1 1 , p . 329): " O n e m i g h t a l m o s t say, 'It matters
very
little
what
the
tests
are
so
long
as
they
are
numerous.' " B i n e t p u b l i s h e d t h r e e v e r s i o n s o f t h e scale b e f o r e his d e a t h i n 1 9 1 1 . T h e original
1905 e d i t i o n s i m p l y a r r a n g e d t h e tasks i n a n
a s c e n d i n g o r d e r o f difficulty. T h e 1908 v e r s i o n e s t a b l i s h e d the criterion u s e d i n m e a s u r i n g t h e so-called I Q e v e r since. B i n e t d e c i d e d to assign an a g e level to e a c h task, d e f i n e d as t h e y o u n g e s t a g e at which a child o f n o r m a l i n t e l l i g e n c e s h o u l d b e able t o c o m p l e t e t h e task successfully. A child b e g a n the B i n e t test with tasks f o r t h e y o u n g e s t a g e a n d p r o c e e d e d i n s e q u e n c e until h e c o u l d n o l o n g e r c o m p l e t e t h e tasks. T h e a g e associated with the last tasks h e c o u l d p e r f o r m b e c a m e his " m e n t a l a g e , " a n d his g e n e r a l intellectual level
i8o
T H E
MIS M E A S U R E
O F
M A N
was c a l c u l a t e d b y s u b t r a c t i n g this m e n t a l a g e f r o m his t r u e c h r o n ological a g e . C h i l d r e n w h o s e m e n t a l a g e s w e r e sufficiently b e h i n d their c h r o n o l o g i c a l a g e s c o u l d t h e n b e identified for special e d u cational p r o g r a m s , t h u s fulfilling Binet's c h a r g e f r o m t h e ministry. I n 1 9 1 2 t h e G e r m a n p s y c h o l o g i s t W . S t e r n a r g u e d that m e n t a l a g e s h o u l d b e d i v i d e d b y c h r o n o l o g i c a l a g e , n o t s u b t r a c t e d f r o m it,* a n d t h e i n t e l l i g e n c e quotient, o r I Q , was b o r n . I Q t e s t i n g has h a d m o m e n t o u s c o n s e q u e n c e s i n o u r c e n t u r y . I n this light, we s h o u l d i n v e s t i g a t e Binet's m o t i v e s , if only to a p p r e c i a t e h o w t h e t r a g e d i e s o f m i s u s e m i g h t h a v e b e e n a v o i d e d i f its f o u n d e r h a d lived a n d his c o n c e r n s b e e n h e e d e d . I n c o n t r a s t with Binet's g e n e r a l intellectual a p p r o a c h , t h e m o s t c u r i o u s a s p e c t of his scale is its practical, e m p i r i c a l focus. M a n y scientists w o r k this w a y b y d e e p c o n v i c t i o n o r explicit inclination. T h e y b e l i e v e that theoretical s p e c u l a t i o n is v a i n a n d that t r u e science progresses by induction from simple experiments pursued to g a t h e r basic facts, n o t to test e l a b o r a t e t h e o r i e s . B u t B i n e t was primarily a t h e o r e t i c i a n . H e a s k e d b i g q u e s t i o n s a n d p a r t i c i p a t e d with e n t h u s i a s m in t h e m a j o r p h i l o s o p h i c a l d e b a t e s of his p r o f e s s i o n . H e h a d a l o n g - s t a n d i n g interest i n t h e o r i e s o f i n t e l l i g e n c e . H e p u b lished his f i r s t b o o k o n t h e " P s y c h o l o g y o f R e a s o n i n g " i n 1 8 8 6 , a n d f o l l o w e d in
1903 with his f a m o u s " E x p e r i m e n t a l S t u d y of Intelli-
gence," in which he abjured previous commitments and developed a n e w s t r u c t u r e f o r a n a l y z i n g h u m a n t h i n k i n g . Y e t B i n e t explicitly declined
to a w a r d a n y theoretical i n t e r p r e t a t i o n to his
scale of
i n t e l l i g e n c e , the m o s t e x t e n s i v e a n d i m p o r t a n t w o r k h e h a d d o n e in his f a v o r i t e subject. W h y s h o u l d a g r e a t t h e o r e t i c i a n h a v e acted in such a c u r i o u s a n d a p p a r e n t l y c o n t r a d i c t o r y w a y ? B i n e t d i d seek " t o s e p a r a t e n a t u r a l i n t e l l i g e n c e a n d i n s t r u c t i o n " ( 1 9 0 5 , p. 42) in his scale: " I t is t h e i n t e l l i g e n c e a l o n e that we seek to m e a s u r e , by d i s r e g a r d i n g in so far as possible, t h e d e g r e e of i n s t r u c t i o n w h i c h the c h i l d possesses. . . . We g i v e h i m n o t h i n g to r e a d , n o t h i n g t o write, a n d s u b m i t h i m t o n o test i n w h i c h h e m i g h t * Division is more appropriate because it is the relative, not the absolute, magnitude of disparity between mental and chronological age that matters. A two-year disparity between mental age two and chronological age four may denote a far severer degree of deficiency than a two-year disparity between mental age fourteen and chronological age sixteen. Binet's method of subtraction would give the same result in both cases, while Stern's IQ measures 50 for the first case and 88 for the second. (Stern multiplied the actual quotient by 100 to eliminate the decimal point.)
T H E
H E R E D I T A R I A N
T H E O R Y
OF
181
IQ
s u c c e e d b y m e a n s o f r o t e l e a r n i n g " ( 1 9 0 5 , p . 42). " I t i s a specially i n t e r e s t i n g f e a t u r e o f t h e s e tests that t h e y p e r m i t u s , w h e n n e c e s sary, to free a b e a u t i f u l native i n t e l l i g e n c e f r o m t h e t r a m m e l s of the school" (1908, p. 259). Y e t , b e y o n d this o b v i o u s d e s i r e t o r e m o v e t h e superficial effects o f clearly a c q u i r e d k n o w l e d g e , B i n e t d e c l i n e d t o d e f i n e a n d s p e c ulate u p o n t h e m e a n i n g o f t h e score h e a s s i g n e d t o e a c h child. I n t e l l i g e n c e , B i n e t p r o c l a i m e d , is t o o c o m p l e x to c a p t u r e with a single n u m b e r . T h i s
n u m b e r , later called
I Q , is only a r o u g h ,
empirical g u i d e c o n s t r u c t e d for a limited, practical p u r p o s e : T h e scale, properly speaking, does not permit the measure of the intelligence, because intellectual qualities are not superposable, and therefore cannot be measured as linear surfaces are measured (1905, p. 40). Moreover,
the
n u m b e r is
only an
average of many
perfor-
m a n c e s , n o t a n entity u n t o itself. I n t e l l i g e n c e , B i n e t r e m i n d s u s , i s not a single, scalable t h i n g like h e i g h t . " W e feel it necessary to insist o n this fact," B i n e t ( 1 9 1 1 ) c a u t i o n s , " b e c a u s e later, for t h e sake o f simplicity of s t a t e m e n t , we will s p e a k of a child of 8 years h a v i n g the i n t e l l i g e n c e of a c h i l d of 7 or 9 years;
t h e s e e x p r e s s i o n s , if
a c c e p t e d arbitrarily, m a y g i v e p l a c e t o illusions."
B i n e t was too
g o o d a t h e o r e t i c i a n to fall i n t o t h e logical e r r o r that J o h n S t u a r t Mill h a d
i d e n t i f i e d — " t o believe
that w h a t e v e r r e c e i v e d
a name
must b e a n entity o r b e i n g , h a v i n g a n i n d e p e n d e n t e x i s t e n c e o f its own." Binet also h a d a social m o t i v e f o r his
reticence.
He g r e a t l y
feared that his practical d e v i c e , if reified as an entity, c o u l d be perverted a n d u s e d as an indelible label, r a t h e r t h a n as a g u i d e for identifying c h i l d r e n w h o n e e d e d h e l p . H e w o r r i e d that s c h o o l m a s ters with " e x a g g e r a t e d zeal" m i g h t u s e I Q a s a c o n v e n i e n t e x c u s e : " T h e y s e e m to r e a s o n in t h e f o l l o w i n g way: ' H e r e is an e x c e l l e n t o p p o r t u n i t y for g e t t i n g rid o f all t h e c h i l d r e n w h o t r o u b l e us,' a n d without the t r u e critical spirit, t h e y d e s i g n a t e all w h o a r e u n r u l y , o r disinterested
in
the school"
(1905,
p.
169).
B u t he feared even
more what has since b e e n called t h e "self-fulfilling p r o p h e s y . " A rigid label m a y set a
teacher's a t t i t u d e a n d e v e n t u a l l y d i v e r t a
child's b e h a v i o r i n t o a p r e d i c t e d p a t h : h is really too easy to discover signs of backwardness in an individual er
> one is forewarned. This would be to operate as the graphologists did
T H E
M I S M E A S U R E
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w h o , w h e n Dreyfus was believed to be guilty, discovered in his handwriting signs of a traitor or a spy" (1905, p. 170). N o t o n l y d i d B i n e t d e c l i n e t o label I Q a s i n b o r n i n t e l l i g e n c e ; h e also r e f u s e d to r e g a r d it as a g e n e r a l d e v i c e for r a n k i n g all p u p i l s a c c o r d i n g t o m e n t a l w o r t h . H e d e v i s e d his scale o n l y for t h e l i m i t e d p u r p o s e of his c o m m i s s i o n by the ministry of e d u c a t i o n : as a p r a c tical g u i d e for i d e n t i f y i n g c h i l d r e n w h o s e p o o r p e r f o r m a n c e indicated a n e e d for special e d u c a t i o n — t h o s e w h o w e w o u l d t o d a y call learning disabled or mildly retarded. Binet wrote (1908, p.
263):
" W e a r e o f t h e o p i n i o n that t h e m o s t v a l u a b l e u s e o f o u r scale will n o t b e its a p p l i c a t i o n t o t h e n o r m a l p u p i l s , b u t r a t h e r t o t h o s e o f inferior g r a d e s o f i n t e l l i g e n c e . " A s t o t h e c a u s e s o f p o o r p e r f o r m a n c e , B i n e t r e f u s e d t o s p e c u l a t e . H i s tests, i n a n y case, c o u l d n o t decide (1905, p. 37): O u r p u r p o s e is to be able to measure the intellectual capacity of a child w h o is brought to us in o r d e r to know w h e t h e r he is normal or retarded. We should therefore study his condition at the time and that only. We have n o t h i n g to do either with his past history or with his future; consequently, we shall neglect his etiology, a n d we shall m a k e no attempt to distinguish b e t w e e n acquired a n d congenital idiocy. . . . A s t o that which concerns his future, we shall exercise the same abstinence; we do not attempt to establish or p r e p a r e a prognosis, and we leave u n a n s w e r e d the question of w h e t h e r this retardation is curable, or e v e n improvable. We shall limit ourselves to ascertaining the truth in regard to his present mental state. B u t o f o n e t h i n g B i n e t was s u r e : w h a t e v e r t h e c a u s e o f p o o r p e r f o r m a n c e in s c h o o l , t h e a i m of his scale was to identify in o r d e r t o h e l p a n d i m p r o v e , n o t t o label i n o r d e r t o limit. S o m e children m i g h t b e i n n a t e l y i n c a p a b l e o f n o r m a l a c h i e v e m e n t , b u t all could i m p r o v e with special h e l p . T h e difference between
strict h e r e d i t a r i a n s a n d
their o p p o -
nents is n o t , as s o m e caricatures s u g g e s t , t h e b e l i e f that a child's p e r f o r m a n c e is all i n b o r n or all a f u n c t i o n of e n v i r o n m e n t and l e a r n i n g . I d o u b t that t h e m o s t c o m m i t t e d a n t i h e r e d i t a r i a n s have ever d e n i e d the existence of innate variation a m o n g children. T h e d i f f e r e n c e s a r e m o r e a m a t t e r of social policy a n d e d u c a t i o n a l practice. H e r e d i t a r i a n s v i e w their m e a s u r e s of i n t e l l i g e n c e as markers o f p e r m a n e n t , i n b o r n limits. C h i l d r e n , s o l a b e l e d , s h o u l d b e sorted,
T H E
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O F
183
I Q
trained a c c o r d i n g t o their i n h e r i t a n c e a n d c h a n n e l e d i n t o p r o f e s sions a p p r o p r i a t e f o r their b i o l o g y . M e n t a l t e s t i n g b e c o m e s a t h e ory of limits. A n t i h e r e d i t a r i a n s , like B i n e t , test in o r d e r to identify a n d h e l p . W i t h o u t d e n y i n g t h e e v i d e n t fact that n o t all c h i l d r e n , w h a t e v e r their t r a i n i n g , will e n t e r t h e c o m p a n y o f N e w t o n a n d Einstein,
they
emphasize
the
power
of
creative
education
to
increase t h e a c h i e v e m e n t s o f all c h i l d r e n , o f t e n i n e x t e n s i v e a n d u n a n t i c i p a t e d ways. M e n t a l testing b e c o m e s a t h e o r y for e n h a n c i n g potential t h r o u g h p r o p e r e d u c a t i o n . Binet spoke eloquently of well-meaning teachers, c a u g h t in the u n w a r r a n t e d p e s s i m i s m o f their invalid h e r e d i t a r i a n a s s u m p t i o n s (1909, p p . 1 6 - 1 7 ) : As I know from e x p e r i e n c e , . . . they seem to admit implicitly that in a class where we find the best, we must also find the worst, a n d that this is a natural and
inevitable p h e n o m e n o n ,
with
which a teacher must not
become p r e o c c u p i e d , a n d that it is like the existence of rich a n d p o o r within a society. What a p r o f o u n d error. H o w can we h e l p a c h i l d if we label h i m as u n a b l e to a c h i e v e by biological p r o c l a m a t i o n ? If we do n o t h i n g , if we don't intervene actively and usefully, he will continue to lose time . . . a n d will finally b e c o m e discouraged. T h e situation is very serious for h i m , and since his is not an exceptional case (since children with defective c o m p r e h e n s i o n are legion), we might say that it is a serious question for all of us and for all of society. T h e child w h o loses the taste for work in class strongly risks b e i n g unable to acquire it after he leaves school (1909, p. 100). B i n e t railed a g a i n s t the m o t t o " s t u p i d i t y is f o r a l o n g t i m e " ("quand on est bete, c'estpour longtemps"), a n d u p b r a i d e d t e a c h e r s w h o "are not i n t e r e s t e d i n s t u d e n t s w h o lack i n t e l l i g e n c e . T h e y h a v e neither s y m p a t h y n o r r e s p e c t for t h e m , a n d their i n t e m p e r a t e lang u a g e leads t h e m to say such t h i n g s in their p r e s e n c e as ' T h i s is a child w h o will n e v e r a m o u n t t o a n y t h i n g . . . h e i s poorly e n d o w e d • • • he is n o t i n t e l l i g e n t at all.' H o w o f t e n h a v e I h e a r d these i m p r u dent w o r d s " ( 1 9 0 9 , p . 100). B i n e t t h e n cites a n e p i s o d e i n his o w n baccalaureate w h e n o n e e x a m i n e r told h i m t h a t h e w o u l d n e v e r nave a " t r u e " p h i l o s o p h i c a l spirit:
"Never!
What a momentous
w
° r d . S o m e r e c e n t t h i n k e r s s e e m t o h a v e g i v e n their m o r a l s u p p o r t
t
o
these d e p l o r a b l e v e r d i c t s b y a f f i r m i n g that a n individual's intel-
184
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l i g e n c e is a fixed q u a n d t y , a q u a n t i t y t h a t c a n n o t be i n c r e a s e d . We m u s t p r o t e s t a n d r e a c t a g a i n s t this b r u t a l p e s s i m i s m ; w e m u s t try to demonstrate t h a t it is founded u p o n nothing" (1909, p. 101). T h e c h i l d r e n i d e n t i f i e d b y Binet's test w e r e t o b e h e l p e d , n o t indelibly l a b e l e d . B i n e t h a d definite p e d a g o g i c a l s u g g e s t i o n s , a n d many
were
education
implemented.
must be
H e b e l i e v e d , f i r s t o f all,
that
special
tailored to the individual needs of disadvan-
t a g e d c h i l d r e n : i t m u s t b e b a s e d o n " t h e i r c h a r a c t e r a n d their aptit u d e s , a n d o n t h e n e c e s s i t y for a d a p t i n g o u r s e l v e s t o t h e i r n e e d s a n d their c a p a c i t i e s " ( 1 9 0 9 , p . 1 5 ) . B i n e t r e c o m m e n d e d small classr o o m s o f f i f t e e n t o t w e n t y s t u d e n t s , c o m p a r e d with sixty t o e i g h t y t h e n c o m m o n i n p u b l i c schools c a t e r i n g t o p o o r c h i l d r e n . I n p a r ticular, h e a d v o c a t e d
special m e t h o d s o f e d u c a t i o n , i n c l u d i n g a
p r o g r a m that h e c a l l e d " m e n t a l o r t h o p e d i c s " : What they should learn first is not the subjects ordinarily taught, however important they may be; they should be given lessons of will, of attention, of discipline; b e f o r e exercises in grammar, they need to be exercised in mental orthopedics; in a word they must learn how to learn (1908, p.
257)Binet's i n t e r e s t i n g p r o g r a m of mental orthopedics included a set o f p h y s i c a l e x e r c i s e s d e s i g n e d t o i m p r o v e , b y t r a n s f e r t o m e n t a l functioning, the will, attention, and discipline that Binet viewed as prerequisites
for
studying
academic
subjects.
In
one,
called
"Vexercise des statues," a n d d e s i g n e d to i n c r e a s e a t t e n t i o n s p a n , child r e n m o v e d v i g o r o u s l y until told t o a d o p t a n d retain a n i m m o b i l e position. (I p l a y e d this g a m e as a kid in t h e streets of N e w Y o r k ; w e also called i t " s t a t u e s . " ) E a c h d a y t h e p e r i o d o f i m m o b i l i t y w o u l d be increased.
In
another,
designed
to
improve
speed,
children
f i l l e d a p i e c e o f p a p e r with a s m a n y d o t s a s t h e y c o u l d p r o d u c e i n the allotted t i m e . B i n e t s p o k e w i t h p l e a s u r e a b o u t t h e success o f his special classrooms (1909, p.
1 0 4 ) a n d a r g u e d that p u p i l s s o b e n e f i t e d h a d not
o n l y i n c r e a s e d t h e i r k n o w l e d g e , b u t their i n t e l l i g e n c e a s well. Intell i g e n c e , i n a n y m e a n i n g f u l sense o f t h e w o r d , c a n b e a u g m e n t e d b y g o o d e d u c a t i o n ; it is not a fixed a n d inborn quantity: It is in this practical sense, the only one accessible to us, that we say that the intelligence of these children has been increased. We have increased what constitutes t h e intelligence of a pupil: the capacity to learn and to assimilate instruction.
T H E
The
H E R E D I T A R I A N
dismantling
of Binet's
T H E O R Y
OF
intentions
in
i8
I Q
3
America
I n s u m m a r y , B i n e t insisted u p o n t h r e e c a r d i n a l p r i n c i p l e s for u s i n g his tests. A l l his caveats w e r e later d i s r e g a r d e d , a n d his i n t e n tions o v e r t u r n e d , b y t h e A m e r i c a n h e r e d i t a r i a n s w h o t r a n s l a t e d his scale into w r i t t e n f o r m as a r o u t i n e d e v i c e for t e s t i n g all c h i l d r e n . 1. T h e scores are a practical d e v i c e ; t h e y d o n o t buttress a n y theory o f intellect. T h e y d o n o t d e f i n e a n y t h i n g i n n a t e o r p e r m a nent. W e m a y n o t d e s i g n a t e w h a t t h e y m e a s u r e a s " i n t e l l i g e n c e " o r any o t h e r reified entity. 2. T h e scale is a r o u g h , e m p i r i c a l g u i d e for i d e n t i f y i n g m i l d l y r e t a r d e d a n d l e a r n i n g - d i s a b l e d c h i l d r e n w h o n e e d special h e l p . I t is not a d e v i c e for r a n k i n g n o r m a l c h i l d r e n . 3. W h a t e v e r t h e c a u s e of difficulty in c h i l d r e n identified
for
h e l p , e m p h a s i s shall b e p l a c e d u p o n i m p r o v e m e n t t h r o u g h special training. L o w scores shall n o t b e u s e d t o m a r k c h i l d r e n a s i n n a t e l y incapable. I f Binet's p r i n c i p l e s h a d b e e n f o l l o w e d , a n d his tests consistently u s e d a s h e i n t e n d e d , w e w o u l d h a v e b e e n s p a r e d a m a j o r misuse o f science i n o u r c e n t u r y . I r o n i c a l l y , m a n y A m e r i c a n school boards h a v e c o m e full cycle, a n d n o w u s e I Q tests o n l y a s B i n e t originally
recommended:
as
instruments
for
assessing
children
with specific l e a r n i n g p r o b l e m s . S p e a k i n g p e r s o n a l l y , I feel that tests o f t h e I Q t y p e w e r e h e l p f u l i n t h e p r o p e r d i a g n o s i s o f m y o w n learning-disabled son. H i s a v e r a g e score, t h e I Q itself, m e a n t n o t h ing, for i t was o n l y a n a m a l g a m o f s o m e v e r y h i g h a n d v e r y low scores; b u t t h e p a t t e r n o f low v a l u e s i n d i c a t e d his areas o f deficit. T h e m i s u s e o f m e n t a l tests i s n o t i n h e r e n t i n t h e i d e a o f t e s t i n g itself. It arises p r i m a r i l y f r o m t w o fallacies, e a g e r l y (so it seems) embraced b y t h o s e w h o wish t o u s e tests f o r t h e m a i n t e n a n c e o f social ranks a n d distinctions: reification a n d h e r e d i t a r i a n i s m . T h e next c h a p t e r shall treat r e i f i c a t i o n — t h e a s s u m p t i o n that test scores represent a s i n g l e , scalable t h i n g in t h e h e a d called g e n e r a l intelligence. T h e h e r e d i t a r i a n fallacy i s n o t t h e s i m p l e claim t h a t I Q i s t o some d e g r e e " h e r i t a b l e . " I h a v e no d o u b t t h a t it is, t h o u g h t h e e
g r e e has clearly b e e n e x a g g e r a t e d b y t h e m o s t a v i d h e r e d i t a r i -
a n s
- It is hard to find any broad aspect of h u m a n performance or
anatomy that has n o h e r i t a b l e c o m p o n e n t a t all. T h e h e r e d i t a r i a n a c
y resides i n t w o false implications d r a w n f r o m this basic fact:
i86
T H E
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M A N
1. T h e e q u a t i o n o f " h e r i t a b l e " with " i n e v i t a b l e . " T o a biologist, heritability refers t o t h e p a s s a g e o f traits o r t e n d e n c i e s a l o n g family lines as a result of g e n e t i c transmission. It says little a b o u t t h e r a n g e of e n v i r o n m e n t a l m o d i f i c a t i o n to w h i c h t h e s e traits are subject. In our vernacular, "inherited" often m e a n s "inevitable." But not to a biologist. G e n e s d o n o t m a k e specific bits a n d pieces o f a b o d y ; t h e y c o d e for a r a n g e o f f o r m s u n d e r a n a r r a y o f e n v i r o n m e n t a l c o n d i t i o n s . M o r e o v e r , e v e n w h e n a trait has b e e n built a n d set, e n v i r o n m e n t a l i n t e r v e n t i o n m a y still m o d i f y i n h e r i t e d d e f e c t s . Millions o f A m e r i c a n s see n o r m a l l y t h r o u g h lenses that c o r r e c t i n n a t e deficiencies o f vision. T h e claim t h a t I Q i s s o - m a n y p e r c e n t " h e r i t a b l e " does
not
conflict
with
the
belief
that
enriched
education
can
increase w h a t we call, also in the v e r n a c u l a r , " i n t e l l i g e n c e . " A part i a l l y i n h e r i t e d l o w I Q m i g h t b e subject t o e x t e n s i v e i m p r o v e m e n t t h r o u g h p r o p e r e d u c a t i o n . A n d i t m i g h t not. T h e m e r e fact o f its heritability p e r m i t s n o c o n c l u s i o n . 2. T h e confusion of within- and b e t w e e n - g r o u p heredity. T h e major political i m p a c t o f h e r e d i t a r i a n t h e o r i e s d o e s n o t arise f r o m t h e i n f e r r e d heritability of tests, b u t f r o m a logically invalid e x t e n sion. S t u d i e s o f t h e heritability o f I Q , p e r f o r m e d b y such traditional
m e t h o d s a s c o m p a r i n g scores o f relatives, o r c o n t r a s t i n g
scores o f a d o p t e d c h i l d r e n with b o t h their b i o l o g i c a l a n d legal parents, a r e all o f t h e " w i t h i n - g r o u p " t y p e — t h a t is, t h e y p e r m i t a n e s t i m a t e of heritability within a single, c o h e r e n t p o p u l a t i o n (white A m e r i c a n s , f o r e x a m p l e ) . T h e c o m m o n fallacy consists i n a s s u m i n g that i f h e r e d i t y e x p l a i n s a c e r t a i n p e r c e n t a g e o f variation a m o n g i n d i v i d u a l s w i t h i n a g r o u p , it m u s t also e x p l a i n a similar p e r c e n t a g e of the
difference
blacks,
for e x a m p l e .
in
average
IQ
B u t variation
between
groups—whites
a m o n g individuals
and
within
a
g r o u p a n d d i f f e r e n c e s i n m e a n v a l u e s b e t w e e n g r o u p s a r e entirely s e p a r a t e p h e n o m e n a . O n e i t e m p r o v i d e s n o license f o r s p e c u l a t i o n about the other. A
hypothetical
and
noncontroversial
example
will
suffice.
H u m a n h e i g h t has a h i g h e r heritability t h a n a n y v a l u e e v e r p r o p o s e d for I Q . T a k e t w o s e p a r a t e g r o u p s o f m a l e s . T h e f i r s t , with an a v e r a g e h e i g h t of 5 f e e t 10 i n c h e s , live in a p r o s p e r o u s A m e r i can t o w n . T h e s e c o n d , with an a v e r a g e h e i g h t of 5 feet 6 inches, are s t a r v i n g in a t h i r d - w o r l d village. Heritability is 95 p e r c e n t or so in e a c h p l a c e — m e a n i n g o n l y that relatively tall fathers t e n d to h a v e
T H E
H E R E D I T A R I A N
T H E O R Y
O F
I Q
tall sons a n d relatively short fathers s h o r t sons. T h i s h i g h w i t h i n g r o u p heritability a r g u e s n e i t h e r f o r n o r against t h e possibility that better n u t r i t i o n i n t h e n e x t g e n e r a t i o n m i g h t raise t h e a v e r a g e h e i g h t o f t h i r d - w o r l d villagers a b o v e t h a t o f p r o s p e r o u s A m e r i cans. L i k e w i s e , I Q c o u l d b e h i g h l y h e r i t a b l e w i t h i n g r o u p s , a n d t h e a v e r a g e d i f f e r e n c e b e t w e e n whites a n d blacks i n A m e r i c a m i g h t still o n l y r e c o r d t h e e n v i r o n m e n t a l d i s a d v a n t a g e s of blacks. I h a v e o f t e n b e e n f r u s t r a t e d with the f o l l o w i n g r e s p o n s e to this a d m o n i t i o n : " O h well, I see w h a t y o u m e a n , a n d y o u ' r e r i g h t i n theory. T h e r e m a y b e n o necessary c o n n e c t i o n i n logic, b u t isn't i t m o r e likely all t h e s a m e that m e a n d i f f e r e n c e s b e t w e e n g r o u p s would
have
the
same
causes
as
variation
within
groups."
Tbe
answer is still " n o . " W i t h i n - a n d b e t w e e n - g r o u p h e r e d i t y are n o t tied by rising d e g r e e s of probability as heritability increases w i t h i n groups and differences enlarge between them. T h e two p h e n o m ena are s i m p l y s e p a r a t e . F e w a r g u m e n t s are m o r e d a n g e r o u s t h a n the o n e s that " f e e l " r i g h t b u t can't be justified. A l f r e d B i n e t a v o i d e d t h e s e fallacies a n d stuck b y his t h r e e p r i n ciples.
American
psychologists
perverted
Binet's
intention
and
i n v e n t e d t h e h e r e d i t a r i a n t h e o r y o f I Q . T h e y reified Binet's s c o r e s , and t o o k t h e m a s m e a s u r e s o f a n entity called i n t e l l i g e n c e . T h e y assumed that i n t e l l i g e n c e was largely i n h e r i t e d , a n d d e v e l o p e d a series of s p e c i o u s a r g u m e n t s c o n f u s i n g cultural d i f f e r e n c e s with innate p r o p e r t i e s . T h e y b e l i e v e d that i n h e r i t e d I Q scores m a r k e d people and
groups
for
an
inevitable
station
in
life.
And
they
assumed that a v e r a g e d i f f e r e n c e s b e t w e e n g r o u p s w e r e largely t h e products o f h e r e d i t y , d e s p i t e m a n i f e s t a n d p r o f o u n d v a r i a t i o n i n quality of life. T h i s c h a p t e r a n a l y z e s the m a j o r w o r k s o f t h e t h r e e p i o n e e r s o f hereditarianism i n A m e r i c a : H . H . G o d d a r d , w h o b r o u g h t Binet's le to A m e r i c a a n d reified its scores as i n n a t e i n t e l l i g e n c e ; L. M. e r m a n , w h o d e v e l o p e d t h e S t a n f o r d - B i n e t scale, a n d d r e a m e d o f a rational society t h a t w o u l d allocate p r o f e s s i o n s b y I Q scores; a n d R- M. Y e r k e s , w h o p e r s u a d e d the a r m y to test 1.75 million m e n in World W a r I , t h u s establishing t h e s u p p o s e d l y objective d a t a that vindicated h e r e d i t a r i a n claims a n d led t o t h e I m m i g r a t i o n Restriction A c t of 1 9 2 4 , with its low c e i l i n g for l a n d s s u f f e r i n g t h e b l i g h t °f poor genes. T h e hereditarian
theory
of IQ
is
a
home-grown
American
i88
T H E
M ISM E A SURE
OF
M A N
p r o d u c t . If this claim s e e m s p a r a d o x i c a l for a land with egalitarian traditions, r e m e m b e r also the jingoistic n a t i o n a l i s m o f W o r l d W a r I, t h e fear of e s t a b l i s h e d o l d A m e r i c a n s f a c i n g a tide of c h e a p (and s o m e t i m e s politically radical) labor i m m i g r a t i n g f r o m s o u t h e r n a n d e a s t e r n E u r o p e , a n d a b o v e all o u r persistent, i n d i g e n o u s racism.
H. H. Goddard and the menace of the feeble-minded Intelligence
as
a
Mendelian
gene
G O D D A R D IDENTIFIES T H E M O R O N
It remains now for someone to determine the nature of feeble-mindedness and complete the theory of the intelligence quotient. — H. H. GODDARD, 1 9 1 7 , in a review of Terman, 1 9 1 6 T a x o n o m y is always a c o n t e n t i o u s issue b e c a u s e t h e w o r l d d o e s n o t c o m e t o u s i n n e a t little p a c k a g e s . T h e classification o f m e n t a l deficiency a r o u s e d a h e a l t h y d e b a t e early i n o u r c e n t u r y . T w o cate g o r i e s o f a tripartite a r r a n g e m e n t w o n g e n e r a l a c c e p t a n c e : idiots c o u l d n o t d e v e l o p full s p e e c h a n d h a d m e n t a l a g e s b e l o w t h r e e ; imbeciles
could
not
master
written
language
and
ranged
from
t h r e e to seven in m e n t a l a g e . ( B o t h t e r m s a r e n o w so e n t r e n c h e d i n t h e v e r n a c u l a r o f i n v e c t i v e s that few p e o p l e r e c o g n i z e their technical status in an o l d e r p s y c h o l o g y . ) Idiots a n d imbeciles c o u l d be c a t e g o r i z e d a n d s e p a r a t e d t o the satisfaction o f most professionals, for their affliction was sufficiently s e v e r e to w a r r a n t a d i a g n o s i s of t r u e p a t h o l o g y . T h e y a r e n o t like us. But
consider
the
nebulous
and
more
threatening
realm
of
" h i g h - g r a d e d e f e c t i v e s " — t h e p e o p l e w h o c o u l d b e t r a i n e d t o function in society, t h e ones w h o e s t a b l i s h e d a b r i d g e b e t w e e n p a t h o l o g y a n d n o r m a l i t y a n d t h e r e b y t h r e a t e n e d the t a x o n o m i c edifice. T h e s e p e o p l e , with m e n t a l a g e s o f e i g h t t o t w e l v e , w e r e called debile (or w e a k ) b y t h e F r e n c h . A m e r i c a n s a n d E n g l i s h m e n usually called them "feeble-minded," a term mired in hopeless ambiguity because o t h e r p s y c h o l o g i s t s u s e d f e e b l e - m i n d e d as a g e n e r i c t e r m for all mental defectives, not just those of h i g h grade. T a x o n o m i s t s o f t e n c o n f u s e t h e i n v e n t i o n o f a n a m e with the solution o f a p r o b l e m . H . H . G o d d a r d , t h e e n e r g e t i c a n d c r u s a d i n g d i r e c t o r o f r e s e a r c h a t t h e V i n e l a n d T r a i n i n g S c h o o l for FeebleM i n d e d Girls a n d B o y s i n N e w J e r s e y , m a d e this crucial error. H e d e v i s e d a n a m e for " h i g h - g r a d e " d e f e c t i v e s , a w o r d t h a t b e c a m e
T H E
H E R E D I T A R I A N
T H E O R Y
O F
I Q
e n t r e n c h e d i n o u r l a n g u a g e t h r o u g h a series o f j o k e s that rivaled the k n o c k - k n o c k o r e l e p h a n t j o k e s o f o t h e r g e n e r a t i o n s . T h e m e t a p h o r i c a l w h i s k e r s o n these j o k e s a r e n o w s o l o n g that m o s t p e o p l e would probably grant an ancient p e d i g r e e to the n a m e . B u t G o d d a r d i n v e n t e d t h e w o r d i n o u r c e n t u r y . H e c h r i s t e n e d these p e o p l e " m o r o n s , " f r o m a G r e e k w o r d m e a n i n g foolish. G o d d a r d was t h e f i r s t p o p u l a r i z e r o f t h e B i n e t scale i n A m e r i c a . H e translated B i n e t ' s articles into E n g l i s h , a p p l i e d his tests, a n d a g i t a t e d for their g e n e r a l use. H e a g r e e d with B i n e t that t h e tests w o r k e d best i n i d e n t i f y i n g p e o p l e j u s t b e l o w t h e n o r m a l r a n g e — Goddard's newly christened morons. But the resemblance between B i n e t a n d G o d d a r d e n d s t h e r e . B i n e t r e f u s e d t o d e f i n e his scores a s " i n t e l l i g e n c e , " a n d w i s h e d t o identify i n o r d e r t o h e l p . G o d d a r d r e g a r d e d t h e scores as m e a s u r e s of a s i n g l e , i n n a t e entity.
He
wished t o identify i n o r d e r t o r e c o g n i z e limits, s e g r e g a t e , a n d c u r tail b r e e d i n g t o p r e v e n t f u r t h e r d e t e r i o r a t i o n o f a n e n d a n g e r e d A m e r i c a n stock, t h r e a t e n e d b y i m m i g r a t i o n f r o m w i t h o u t a n d b y prolific r e p r o d u c t i o n o f its f e e b l e - m i n d e d w i t h i n . A UNILINEAR SCALE OF INTELLIGENCE T h e a t t e m p t t o establish a u n i l i n e a r classification o f m e n t a l deficiency, a rising scale f r o m idiots to imbeciles to m o r o n s , e m b o d ies two c o m m o n fallacies p e r v a d i n g m o s t t h e o r i e s o f biological d e t e r m i n i s m d i s c u s s e d in this b o o k : t h e reification of i n t e l l i g e n c e as a single, m e a s u r a b l e entity; a n d t h e a s s u m p t i o n , e x t e n d i n g b a c k to M o r t o n ' s skulls ( p p . 8 2 — 1 0 1 ) a n d f o r w a r d to J e n s e n ' s u n i v e r s a l scaling of g e n e r a l i n t e l l i g e n c e ( p p . 3 4 7 - 3 5 0 ) , that e v o l u t i o n is a tale of u n i l i n e a r
progress,
and
that
a
single
scale
ascending from
primitive t o a d v a n c e d r e p r e s e n t s t h e b e s t w a y o f o r d e r i n g variation. T h e c o n c e p t o f p r o g r e s s i s a d e e p p r e j u d i c e with a n a n c i e n t pedigree (Bury,
1920) a n d a subtle p o w e r , e v e n o v e r t h o s e w h o
would d e n y it explicitly ( N i s b e t , 1980). C a n the p l e t h o r a o f causes a n d p h e n o m e n a g r o u p e d u n d e r t h e rubric of m e n t a l deficiency possibly be o r d e r e d usefully on a single scale, with its i m p l i c a t i o n that e a c h p e r s o n o w e s his r a n k to t h e relative a m o u n t of a single s u b s t a n c e — a n d that m e n t a l deficiency means h a v i n g less t h a n m o s t ? C o n s i d e r s o m e p h e n o m e n a m i x e d U
P in the c o m m o n n u m b e r s o n c e a s s i g n e d t o d e f e c t i v e s o f h i g h
grade: g e n e r a l low-level m e n t a l r e t a r d a t i o n , specific l e a r n i n g disa-
T H E
igo
M I S M E A S U R E
O F
MAN
bilities c a u s e d b y local n e u r o l o g i c a l d a m a g e , e n v i r o n m e n t a l d i s a d v a n t a g e s , cultural d i f f e r e n c e s , hostility t o testers. C o n s i d e r s o m e o f t h e p o t e n t i a l causes: i n h e r i t e d p a t t e r n s o f f u n c t i o n , g e n e t i c p a t h o l o g i e s arising a c c i d e n t a l l y a n d n o t p a s s e d i n family lines, c o n g e n ital brain d a m a g e c a u s e d b y m a t e r n a l illness d u r i n g p r e g n a n c y , b i r t h t r a u m a s , p o o r n u t r i t i o n o f fetuses a n d b a b i e s , a v a r i e t y o f e n v i r o n m e n t a l d i s a d v a n t a g e s i n early a n d later life. Y e t , t o G o d d a r d , all p e o p l e with m e n t a l a g e s b e t w e e n e i g h t a n d t w e l v e w e r e m o r o n s , all t o b e t r e a t e d i n r o u g h l y t h e s a m e w a y : institutionalized o r carefully r e g u l a t e d , m a d e h a p p y b y c a t e r i n g t o their limits, a n d , a b o v e all, p r e v e n t e d f r o m b r e e d i n g . G o d d a r d m a y h a v e b e e n t h e m o s t u n s u b t l e h e r e d i t a r i a n o f all. H e u s e d his u n i l i n e a r scale o f m e n t a l deficiency t o identify intellig e n c e a s a single entity, a n d h e a s s u m e d that e v e r y t h i n g i m p o r t a n t a b o u t i t was i n b o r n a n d i n h e r i t e d i n family lines. H e w r o t e i n 1920 (quoted in T u d d e n h a m , 1962, p. 4 9 1 ) : Stated in its boldest form, o u r thesis is that the chief d e t e r m i n e r of h u m a n c o n d u c t is a unitary mental process which we call intelligence: that this process is c o n d i t i o n e d by a nervous m e c h a n i s m which is inborn: that the d e g r e e of efficiency to be attained by that nervous m e c h a n i s m and the c o n s e q u e n t grade of intellectual or mental level for each individual is d e t e r m i n e d by the kind of c h r o m o s o m e s that c o m e together with the union of the g e r m cells: that it is but little affected by any later influences except such serious accidents as may destroy part of the m e c h a n i s m . G o d d a r d e x t e n d e d t h e r a n g e o f social p h e n o m e n a c a u s e d b y differences
in
e v e r y t h i n g that
innate
intelligence
concerns us
until
it
encompassed
about h u m a n behavior.
almost
Beginning
with m o r o n s , a n d w o r k i n g u p t h e scale, h e a t t r i b u t e d m o s t u n d e sirable b e h a v i o r t o i n h e r i t e d m e n t a l deficiency o f t h e o f f e n d e r s . T h e i r p r o b l e m s a r e c a u s e d n o t o n l y b y s t u p i d i t y p e r se, b u t b y the link b e t w e e n d e f i c i e n t i n t e l l i g e n c e a n d i m m o r a l i t y . * H i g h intellig e n c e n o t o n l y p e r m i t s u s t o d o o u r s u m s ; i t also e n g e n d e r s the g o o d j u d g m e n t t h a t u n d e r l i e s all m o r a l b e h a v i o r . T h e intelligence controls the emotions and t h e e m o t i o n s are controlled in proportion to the d e g r e e of intelligence. . . . It follows that if there is *The link of morality to intelligence was a favorite eugenical theme. Thorndike (1940, pp. 264-265), refuting a popular impression that all monarchs are reprobates, cited a correlation coefficient of 0.56 for the estimated intelligence vs. the estimated morality of 269 male members of European royal families!
T H E
H E R E D I T A R I A N
T H E O R Y
OF
IQ
little intelligence the emotions will be uncontrolled and whether they be strong or weak will result in actions that are unregulated, uncontrolled and, as experience proves, usually undesirable. T h e r e f o r e , w h e n we measure the intelligence of an individual and learn that he has so much less than normal as to c o m e within the g r o u p that we call feeble-minded, we have ascertained by far the most important fact about him (1919, p. 272). M a n y c r i m i n a l s , m o s t alcoholics a n d p r o s t i t u t e s , a n d e v e n t h e " n e ' e r d o wells" w h o s i m p l y d o n ' t fit i n , a r e m o r o n s : " W e k n o w what f e e b l e - m i n d e d n e s s is, a n d w e h a v e c o m e t o s u s p e c t all p e r s o n s w h o a r e i n c a p a b l e o f a d a p t i n g t h e m s e l v e s t o their e n v i r o n m e n t a n d l i v i n g u p t o t h e c o n v e n t i o n s o f society o r a c t i n g sensibly, o f being feeble-minded" ( 1 9 1 4 , p. 571). A t the n e x t level o f t h e m e r e l y d u l l , w e f i n d t h e t o i l i n g m a s s e s , d o i n g what c o m e s naturally. " T h e p e o p l e w h o are d o i n g the d r u d g e r y , " G o d d a r d writes ( 1 9 1 9 , p . 2 4 6 ) , " a r e , a s a r u l e , i n t h e i r proper places."
We must next learn that there are great g r o u p s of m e n , laborers, w h o are but little above the child, who must be told what to do and shown how to do it; and w h o , if we would avoid disaster, must not be put into positions where they will have to act u p o n their own initiative or their own j u d g ment. . . . T h e r e are only a few leaders, most must be followers (1919, pp. 243-244). A t the u p p e r e n d , i n t e l l i g e n t m e n r u l e i n c o m f o r t a n d b y r i g h t . Speaking before a g r o u p of Princeton undergraduates in 1 9 1 9 , Goddard proclaimed:
N o w the fact is, that workmen may have a 10 year intelligence while you have a 20. To d e m a n d for him such a h o m e as you enjoy is as absurd as it would be to insist that every laborer should receive a graduate fellowship. How can there be such a thing as social equality with this wide range of mental capacity? " D e m o c r a c y , " G o d d a r d a r g u e d ( 1 9 1 9 , p . 2 3 7 ) , " m e a n s t h a t the p e o p l e r u l e b y s e l e c t i n g the wisest, m o s t i n t e l l i g e n t a n d m o s t h u m a n t o tell t h e m w h a t t o d o t o b e h a p p y . T h u s D e m o c r a c y i s a m e t h o d for a r r i v i n g at a truly b e n e v o l e n t aristocracy." BREAKING THE SCALE INTO MENDEL1AN COMPARTMENTS B u t i f i n t e l l i g e n c e f o r m s a single a n d u n b r o k e n scale, h o w c a n W
e
solve t h e social p r o b l e m s that b e s e t us? F o r a t o n e l e v e l , low
'ntelligence g e n e r a t e s s o c i o p a t h s , w h i l e a t t h e n e x t g r a d e , i n d u s -
T H E
M I S M E A S U R E
O F
MAN
trial society n e e d s d o c i l e a n d d u l l w o r k e r s t o r u n its m a c h i n e r y a n d a c c e p t low r e c o m p e n c e . H o w c a n w e c o n v e r t t h e u n b r o k e n scale i n t o t w o c a t e g o r i e s at this crucial p o i n t , a n d still m a i n t a i n t h e i d e a t h a t i n t e l l i g e n c e is a single, i n h e r i t e d entity? We c a n n o w u n d e r s t a n d w h y G o d d a r d lavished s o m u c h a t t e n t i o n u p o n t h e m o r o n . T h e m o r o n t h r e a t e n s racial h e a l t h b e c a u s e h e r a n k s h i g h e s t a m o n g the undesirable and might, if not identified, be allowed to flourish a n d p r o p a g a t e . W e all r e c o g n i z e t h e idiot a n d i m b e c i l e a n d k n o w w h a t m u s t b e d o n e ; the scale m u s t b e b r o k e n j u s t a b o v e t h e level o f the m o r o n .
T h e idiot is not our greatest problem. He is indeed loathsome. . . . Nevertheless, he lives his life and is d o n e . He does not continue the race with a line of children like himself. . . . It is the moron type that makes for us our great problem (1912, p p . 101-102). G o d d a r d w o r k e d in the first flourish of e x c i t e m e n t that greeted the rediscovery of Mendel's work and
t h e basic d e c i p h e r i n g o f
h e r e d i t y . W e n o w k n o w that virtually e v e r y m a j o r f e a t u r e o f o u r b o d y i s built b y t h e i n t e r a c t i o n o f m a n y g e n e s with e a c h o t h e r a n d with a n e x t e r n a l e n v i r o n m e n t . B u t i n t h e s e early d a y s , m a n y biologists naively a s s u m e d that all h u m a n traits w o u l d b e h a v e like t h e c o l o r , size, o r w r i n k l i n g o f M e n d e l ' s p e a s : t h e y b e l i e v e d , i n short, that e v e n the m o s t c o m p l e x parts o f a b o d y m i g h t b e built b y single g e n e s , a n d that v a r i a t i o n i n a n a t o m y o r b e h a v i o r w o u l d r e c o r d the d i f f e r e n t d o m i n a n t a n d recessive f o r m s o f t h e s e g e n e s . E u g e n i c i s t s seized u p o n this foolish n o t i o n with avidity, f o r it a l l o w e d t h e m to assert t h a t all u n d e s i r a b l e traits m i g h t be t r a c e d to single g e n e s a n d e l i m i n a t e d with p r o p e r strictures u p o n b r e e d i n g . T h e early literat u r e o f e u g e n i c s i s f i l l e d with s p e c u l a t i o n s , a n d p e d i g r e e s laboriously c o m p i l e d a n d f u d g e d , a b o u t t h e g e n e for Wanderlust traced t h r o u g h t h e family lines o f n a v a l c a p t a i n s , o r the g e n e for t e m p e r a m e n t that m a k e s s o m e o f u s placid a n d o t h e r s d o m i n e e r i n g . W e m u s t n o t b e m i s l e d b y h o w silly such ideas s e e m t o d a y ; t h e y r e p r e s e n t e d o r t h o d o x g e n e t i c s f o r a b r i e f t i m e , a n d h a d a m a j o r social impact in America. G o d d a r d j o i n e d t h e transient b a n d w a g o n with a h y p o t h e s i s that m u s t r e p r e s e n t a n u l t i m a t e i n t h e a t t e m p t e d reification o f intellig e n c e . H e tried t o trace t h e p e d i g r e e s o f m e n t a l d e f e c t i v e s i n his V i n e l a n d School and c o n c l u d e d that "feeble-mindedness" obeyed M e n d e l i a n rules o f i n h e r i t a n c e . M e n t a l d e f i c i e n c y m u s t therefore
T H E
H E R E D I T A R I A N
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I Q
'93
be a definite t h i n g , a n d it m u s t be g o v e r n e d by a single g e n e , u n d o u b t e d l y recessive t o n o r m a l i n t e l l i g e n c e ( 1 9 1 4 , p . 539). " N o r m a l i n t e l l i g e n c e , " G o d d a r d c o n c l u d e d , " s e e m s t o b e a unit c h a r a c ter a n d t r a n s m i t t e d i n t r u e M e n d e l i a n f a s h i o n " ( 1 9 1 4 , p . ix). G o d d a r d c l a i m e d that h e h a d b e e n c o m p e l l e d t o m a k e this u n l i k e l y c o n c l u s i o n b y t h e press o f e v i d e n c e , not b y a n y p r i o r h o p e or prejudice. A n y theories or h y p o t h e s e s that have b e e n p r e s e n t e d have b e e n merely those that were suggested by the data themselves, and have b e e n worked out in an effort to u n d e r s t a n d what the data s e e m to comprise. S o m e of the conclusions are as surprising to the writer a n d as difficult for h i m to accept as they are likely to be to many readers ( 1 9 1 4 , p. viii). C a n w e seriously v i e w G o d d a r d a s a f o r c e d a n d r e l u c t a n t c o n vert to a h y p o t h e s i s that fit his g e n e r a l s c h e m e so well a n d s o l v e d his m o s t p r e s s i n g p r o b l e m so neatly? A single g e n e for n o r m a l intelligence r e m o v e d the p o t e n t i a l c o n t r a d i c t i o n b e t w e e n a u n i linear scale that m a r k e d i n t e l l i g e n c e as a single, m e a s u r a b l e entity, a n d a desire to s e p a r a t e a n d identify t h e m e n t a l l y deficient as a c a t e g o r y a p a r t . G o d d a r d h a d b r o k e n his scale i n t o two sections a t j u s t the r i g h t p l a c e : m o r o n s c a r r i e d a d o u b l e d o s e o f the b a d recessive; dull laborers h a d a t least o n e c o p y o f t h e n o r m a l g e n e a n d c o u l d b e set b e f o r e their m a c h i n e s . M o r e o v e r , t h e s c o u r g e o f feeble-mindedness might now be eliminated by schemes of breeding easily p l a n n e d . O n e g e n e can b e t r a c e d , l o c a t e d , a n d b r e d o u t . I f one h u n d r e d genes regulate intelligence, eugenic b r e e d i n g must fail or p r o c e e d with h o p e l e s s sloth. THE PROPER CARE AND FEEDING (BUT NOT BREEDING) OF MORONS If m e n t a l d e f i c i e n c y is the effect of a single g e n e , t h e p a t h to its eventual e l i m i n a t i o n lies e v i d e n t l y b e f o r e us: d o not allow s u c h people to bear children: If both parents are f e e b l e - m i n d e d all the children will be feebleminded. It is obvious that such matings s h o u l d not be allowed. It is perfectly clear that no f e e b l e - m i n d e d person s h o u l d ever be allowed to marry or to b e c o m e a parent. It is obvious that if this rule is to be carried o u t the •ntelligent part of society must e n f o r c e it ( 1 9 1 4 , p. 561). I f m o r o n s c o u l d c o n t r o l their o w n s e x u a l u r g e s a n d desist for t u
e g o o d o f m a n k i n d , w e m i g h t p e r m i t t h e m t o live freely a m o n g
U s
- But they cannot, because immorality a n d stupidity are inexor-
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a b l y l i n k e d . T h e wise m a n c a n c o n t r o l his sexuality in a rational m a n n e r : " C o n s i d e r for a m o m e n t t h e sex e m o t i o n , s u p p o s e d t o b e t h e m o s t u n c o n t r o l l a b l e of all h u m a n instincts; yet it is n o t o r i o u s t h a t t h e i n t e l l i g e n t m a n c o n t r o l s e v e n this" ( 1 9 1 9 , p .
273). T h e
m o r o n cannot b e h a v e in so e x e m p l a r y a n d abstemious a fashion:
T h e y are not only lacking in control but they are lacking often in the perception of moral qualities; if they are not allowed to marry they are nevertheless not h i n d e r e d from becoming parents. So that if we are absolutely to prevent a feeble-minded person from becoming a parent, something must be d o n e other than merely prohibiting the marrying. To this e n d there are two proposals: the first is colonization, the second is sterilization (1914, p. 566). G o d d a r d did impractical
n o t o p p o s e sterilization, b u t h e r e g a r d e d i t a s
because
traditional
sensibilities
of a
society
not
yet
w h o l l y rational w o u l d p r e v e n t such w i d e s p r e a d m a y h e m . C o l o n i zation i n e x e m p l a r y institutions like his o w n a t V i n e l a n d , N e w J e r sey,
must
be
our
preferred
solution.
Only
here
could
the
r e p r o d u c t i o n o f m o r o n s b e c u r t a i l e d . I f the p u b l i c b a l k e d a t the great e x p e n s e of building so m a n y new centers for confinement, t h e cost c o u l d easily be r e c o u p e d by its o w n s a v i n g s :
If such colonies were provided in sufficient number to take care of all the distinctly feeble-minded cases in the community, they would very largely take the place of our present almshouses and prisons, and they would greatly decrease the numbers in our insane hospitals. Such colonies would save an annual loss in property and life, d u e to the action of these irresponsible people, sufficient to nearly, or quite, offset the e x p e n s e of the new plant (1912, p p . 105-106). I n s i d e t h e s e institutions, m o r o n s c o u l d o p e r a t e i n c o n t e n t m e n t a t their biologically a p p o i n t e d level, d e n i e d o n l y the basic b i o l o g y o f their o w n sexuality. G o d d a r d e n d e d his b o o k o n t h e causes o f m e n t a l deficiency with
this plea for t h e c a r e of institutionalized
m o r o n s : " T r e a t t h e m a s c h i l d r e n a c c o r d i n g t o their m e n t a l a g e , constantly e n c o u r a g e a n d praise, n e v e r d i s c o u r a g e o r scold; a n d
keep them happy" ( 1 9 1 9 , p. 3 2 7 ) . Preventing
the
immigration
and propagation
of morons
O n c e G o d d a r d h a d identified t h e c a u s e o f f e e b l e - m i n d e d n e s s i n a single g e n e , t h e c u r e s e e m e d s i m p l e e n o u g h : d o n ' t allow native
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195
m o r o n s to breed and k e e p foreign ones out. As a contribution to t h e s e c o n d s t e p , G o d d a r d a n d his associates visited Ellis I s l a n d in 1 9 1 2 "to o b s e r v e c o n d i t i o n s a n d offer a n y s u g g e s t i o n s a s t o w h a t might be d o n e to secure a m o r e t h o r o u g h examination of immig r a n t s for t h e p u r p o s e o f d e t e c t i n g m e n t a l d e f e c t i v e s " ( G o d d a r d , 1 9 1 7 , p. 253). As G o d d a r d described the scene, a fog h u n g over N e w Y o r k harbor that day a n d no immigrants could land. B u t o n e h u n d r e d were about ready to leave, w h e n G o d d a r d intervened: " W e picked out
one
young
man
whom
we
suspected
was
defective,
and,
t h r o u g h t h e i n t e r p r e t e r , p r o c e e d e d t o g i v e h i m t h e test. T h e b o y tested 8 b y t h e B i n e t scale. T h e i n t e r p r e t e r said, 'I c o u l d n o t h a v e d o n e that w h e n I c a m e t o this c o u n t r y , ' a n d s e e m e d t o t h i n k t h e test u n f a i r . W e c o n v i n c e d h i m that t h e b o y was d e f e c t i v e " ( G o d dard,
1913, p.
105).
E n c o u r a g e d b y this, o n e o f t h e f i r s t a p p l i c a t i o n s o f t h e B i n e t scale i n A m e r i c a , G o d d a r d raised s o m e f u n d s for a m o r e t h o r o u g h s t u d y a n d , i n t h e s p r i n g o f 1 9 1 3 , s e n t t w o w o m e n t o Ellis I s l a n d f o r two a n d a half months. T h e y were instructed to pick out the feebleminded
by
sight,
a
task
that
Goddard
preferred
to
assign
to
w o m e n , t o w h o m h e g r a n t e d i n n a t e l y s u p e r i o r intuition: After a p e r s o n has h a d considerable e x p e r i e n c e in this work, he almost gets a sense of what a f e e b l e - m i n d e d p e r s o n is so that he can tell o n e afar off. T h e p e o p l e w h o are best at this work, a n d w h o I believe should do this work, are w o m e n . W o m e n s e e m to have closer observation than m e n . It was quite impossible for others to see h o w these two y o u n g w o m e n could pick out the f e e b l e - m i n d e d without the aid of the Binet test at all ( 1 9 1 3 , p. 106). G o d d a r d ' s w o m e n tested thirty-five J e w s , t w e n t y - t w o H u n g a r ians, f i f t y Italians, a n d forty-five Russians. T h e s e g r o u p s c o u l d n o t b e r e g a r d e d a s r a n d o m s a m p l e s b e c a u s e g o v e r n m e n t officials h a d already " c u l l e d o u t t h o s e t h e y r e c o g n i z e d a s d e f e c t i v e . " T o b a l a n c e this bias, G o d d a r d a n d his associates " p a s s e d b y t h e o b v i o u s l y n o r mal. T h a t left u s t h e g r e a t mass o f ' a v e r a g e i m m i g r a n t s . ' " ( 1 9 1 7 , p . 244). ( I a m c o n t i n u a l l y a m a z e d b y t h e u n c o n s c i o u s s t a t e m e n t s o f prejudice t h a t slip i n t o s u p p o s e d l y objective a c c o u n t s . N o t e h e r e that a v e r a g e i m m i g r a n t s are b e l o w n o r m a l , o r a t least n o t o b v i o u s l y n o r m a l — t h e p r o p o s i t i o n t h a t G o d d a r d was s u p p o s e d l y testing, n o t asserting a priori.)
T H E
MIS M E A S U R E
O F
MAN
B i n e t tests on t h e f o u r g r o u p s led to an a s t o u n d i n g result: 83 percent of the Jews, 80 percent of the H u n g a r i a n s , 79 percent of t h e Italians, a n d 8 7 p e r c e n t o f t h e Russians w e r e f e e b l e - m i n d e d — t h a t is, b e l o w a g e t w e l v e o n t h e B i n e t scale. G o d d a r d h i m s e l f was f l a b b e r g a s t e d : c o u l d a n y o n e b e m a d e t o b e l i e v e that four-fifths o f a n y n a t i o n w e r e m o r o n s ? " T h e results o b t a i n e d b y t h e f o r e g o i n g e v a l u a t i o n o f t h e d a t a are s o s u r p r i s i n g a n d difficult o f a c c e p t a n c e t h a t t h e y c a n h a r d l y stand b y t h e m s e l v e s a s v a l i d " ( 1 9 1 7 , p . 2 4 7 ) . P e r h a p s t h e tests h a d n o t b e e n a d e q u a t e l y e x p l a i n e d b y i n t e r p r e t ers? B u t t h e J e w s h a d b e e n tested b y a Y i d d i s h - s p e a k i n g p s y c h o l o gist, a n d t h e y r a n k e d n o h i g h e r t h a n t h e o t h e r g r o u p s . E v e n t u a l l y , G o d d a r d m o n k i e d a b o u t with t h e tests, tossed several o u t , a n d g o t his figures d o w n to 40 to 50 p e r c e n t , b u t still he was d i s t u r b e d . G o d d a r d ' s figures were even more absurd than he imagined f o r t w o r e a s o n s , o n e o b v i o u s , t h e o t h e r less so. A s a n o n e v i d e n t r e a s o n , G o d d a r d ' s o r i g i n a l translation o f t h e B i n e t scale s c o r e d p e o p l e h a r s h l y a n d m a d e m o r o n s o u t o f subjects usually r e g a r d e d a s n o r m a l . W h e n T e r m a n d e v i s e d t h e S t a n f o r d - B i n e t scale i n 1 9 1 6 , h e f o u n d t h a t G o d d a r d ' s v e r s i o n r a n k e d p e o p l e well b e l o w his o w n . T e r m a n r e p o r t s ( 1 9 1 6 , p . 62) that o f 104 a d u l t s tested b y h i m a s b e t w e e n t w e l v e a n d f o u r t e e n years m e n t a l a g e (low, b u t n o r m a l i n t e l l i g e n c e ) , 5 0 p e r c e n t w e r e m o r o n s o n t h e G o d d a r d scale. For the evident reason, consider a g r o u p of frightened men and w o m e n w h o speak no English and w h o have just e n d u r e d an o c e a n i c v o y a g e i n s t e e r a g e . M o s t are p o o r a n d h a v e n e v e r g o n e t o s c h o o l ; m a n y h a v e n e v e r h e l d a pencil o r p e n i n their h a n d . T h e y m a r c h o f f t h e boat; o n e o f G o d d a r d ' s intuitive w o m e n takes t h e m a s i d e shortly t h e r e a f t e r , sits t h e m d o w n , h a n d s t h e m a p e n c i l , a n d asks t h e m to r e p r o d u c e on p a p e r a figure s h o w n to t h e m a m o m e n t a g o , b u t n o w w i t h d r a w n f r o m their sight. C o u l d their failure b e a result o f testing c o n d i t i o n s , o f w e a k n e s s , fear, o r c o n f u s i o n , r a t h e r t h a n o f i n n a t e s t u p i d i t y ? G o d d a r d c o n s i d e r e d t h e possibility, b u t rejected it: T h e next question is 'drawing a design from m e m o r y , ' which is passed by only 50 percent. To the uninitiated this will not s e e m surprising since it looks hard, and e v e n those w h o are familiar with the fact that normal children of 10 pass it without difficulty may admit that persons w h o have never had a p e n or pencil in their h a n d s , as was true of many of the immigrants, may find it impossible to draw the design ( 1 9 1 7 , p. 250).
T H E
H E R E D I T A R I A N
T H E O R Y
O F
797
I Q
P e r m i t t i n g a c h a r i t a b l e v i e w o f this failure, w h a t b u t s t u p i d i t y c o u l d e x p l a i n a n inability t o state m o r e t h a n sixty w o r d s , a n y w o r d s , i n one's o w n l a n g u a g e d u r i n g three minutes? What shall we say of the fact that only 45 percent can give 60 words in three minutes, w h e n normal children of 11 years sometimes give 200 words in that time! It is hard to find an explanation except lack of intellig e n c e or lack of vocabulary, a n d such a lack of vocabulary in an adult would probably m e a n lack of intelligence. H o w could a person live even 15 years in any e n v i r o n m e n t without learning h u n d r e d s of names of which he c o u l d certainly think of 60 in three minutes? ( 1 9 1 7 , p. 251) Or ignorance of the date, or even the m o n t h or year? Must we again c o n c l u d e that the E u r o p e a n peasant of the type that immigrates to America pays no attention to the passage of time? T h a t the d r u d g e r y of life is so severe that he cares not w h e t h e r it is January or July, w h e t h e r it is 1912 or 1906? Is it possible that t h e person may be of considerable intelligence a n d yet, because of the peculiarity of his e n v i r o n m e n t , not have acquired this ordinary bit of k n o w l e d g e , e v e n t h o u g h the calendar is not in general use on the continent, or is s o m e w h a t complicated as in Russia? If so what an e n v i r o n m e n t it must have b e e n ! ( 1 9 1 7 , p. 250) Since e n v i r o n m e n t , either E u r o p e a n or immediate, could not e x p l a i n s u c h abject failure, G o d d a r d stated: " W e c a n n o t e s c a p e t h e g e n e r a l c o n c l u s i o n t h a t t h e s e i m m i g r a n t s w e r e o f s u r p r i s i n g l y low intelligence" ( 1 9 1 7 , p. bothered
251). T h e high
p r o p o r t i o n o f m o r o n s still
G o d d a r d , b u t h e finally a t t r i b u t e d i t t o t h e c h a n g i n g
c h a r a c t e r o f i m m i g r a t i o n : "It s h o u l d b e n o t e d t h a t t h e i m m i g r a t i o n of r e c e n t y e a r s is of a d e c i d e d l y d i f f e r e n t c h a r a c t e r f r o m t h e e a r l y i m m i g r a t i o n . . . . We a r e n o w g e t t i n g t h e p o o r e s t of e a c h r a c e "
( 9 7> 1
1
P- 2 6 6 ) . " T h e i n t e l l i g e n c e o f t h e a v e r a g e 'third class' i m m i -
g r a n t i s low, p e r h a p s o f m o r o n g r a d e " ( 1 9 1 7 , p .
243).
Perhaps,
G o d d a r d h o p e d out loud, things were better on the u p p e r decks, b u t h e d i d n o t test t h e s e w e a l t h i e r c u s t o m e r s . W h a t t h e n s h o u l d b e d o n e ? S h o u l d all t h e s e m o r o n s b e s h i p p e d back, o r p r e v e n t e d f r o m s t a r t i n g o u t i n t h e f i r s t p l a c e ? F o r e s h a d o w i n g t h e restrictions that w o u l d b e legislated w i t h i n a d e c a d e , G o d d a r d a r g u e d that his c o n c l u s i o n s " f u r n i s h i m p o r t a n t c o n s i d erations for f u t u r e actions b o t h scientific a n d social as well as l e g islative" ( 1 9 1 7 , p . 2 6 1 ) . B u t b y this t i m e G o d d a r d h a d s o f t e n e d his earlier h a r s h p o s i t i o n o n t h e c o l o n i z a t i o n o f m o r o n s . P e r h a p s t h e r e
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JQC?
M I S M E A S U R E
O F
MAN
w e r e n o t e n o u g h m e r e l y d u l l w o r k e r s t o f i l l t h e vast n u m b e r o f frankly u n d e s i r a b l e j o b s . T h e m o r o n m i g h t h a v e t o b e r e c r u i t e d : " T h e y do a g r e a t d e a l of w o r k that no o n e else will d o . . . . T h e r e is an immense amount of drudgery to be done, an immense amount o f w o r k f o r w h i c h w e d o n o t wish t o p a y e n o u g h t o s e c u r e m o r e i n t e l l i g e n t w o r k e r s . . . . M a y it be that possibly t h e m o r o n has his place" ( 1 9 1 7 , p. 269). Nonetheless,
Goddard
rejoiced
in
the
general
tightening of
s t a n d a r d s for a d m i s s i o n . H e r e p o r t s that d e p o r t a t i o n s for m e n t a l deficiency i n c r e a s e d 3 5 0 p e r c e n t i n
1913 and 570 percent in
1914
o v e r t h e a v e r a g e o f the f i v e p r e c e d i n g years:
This was d u e to the untiring efforts of the physicians w h o were inspired by the belief that mental tests could be used for the detection of feeble-minded aliens. . . . If the American public wishes feeble-minded aliens excluded, it must d e m a n d that congress provide the necessary facilities at the ports of entry (1917, p. 271). M e a n w h i l e , at h o m e , the feeble-minded must be identified and k e p t f r o m b r e e d i n g . I n several s t u d i e s , G o d d a r d e x p o s e d t h e m e n ace o f m o r o n i t y b y p u b l i s h i n g p e d i g r e e s o f h u n d r e d s o f w o r t h l e s s souls, c h a r g e s u p o n t h e state a n d c o m m u n i t y , w h o w o u l d n e v e r h a v e b e e n b o r n h a d their f e e b l e - m i n d e d f o r e b e a r s b e e n d e b a r r e d from reproduction.
G o d d a r d d i s c o v e r e d a stock o f p a u p e r s a n d
n e ' e r - d o - w e l l s i n t h e p i n e b a r r e n s o f N e w J e r s e y a n d t r a c e d their a n c e s t r y b a c k t o t h e illicit u n i o n o f a n u p s t a n d i n g m a n with a s u p p o s e d l y f e e b l e - m i n d e d t a v e r n w e n c h . T h e s a m e m a n later m a r r i e d a w o r t h y Q u a k e r e s s a n d started a n o t h e r line c o m p o s e d w h o l l y o f u p s t a n d i n g citizens. S i n c e t h e p r o g e n i t o r h a d f a t h e r e d b o t h a g o o d a n d a b a d line, G o d d a r d c o m b i n e d t h e G r e e k w o r d s for b e a u t y (kallos) a n d b a d (kakos), a n d a w a r d e d h i m t h e p s e u d o n y m M a r t i n K a l l i k a k . G o d d a r d ' s Kallikak family f u n c t i o n e d as a p r i m a l m y t h o f t h e e u g e n i c s m o v e m e n t for several d e c a d e s . G o d d a r d ' s s t u d y is little m o r e t h a n g u e s s w o r k r o o t e d in c o n c l u sions set f r o m t h e start. H i s m e t h o d , a s a l w a y s , r e s t e d u p o n the t r a i n i n g o f intuitive w o m e n sight. shacks.
Goddard
did
Goddard's
unbounded.
In
not faith
to recognize the feeble-minded by
administer in
visual
Binet
1919 he analyzed Edwin
M a n With T h e H o e " :
tests
identification
in
pine-barren was
virtually
Markham's poem " T h e
T H E
H E R E D I T A R I A N
T H E O R Y
O F
799
I Q
Bowed by the weight of centuries he leans U p o n his h o e and gazes at the g r o u n d , T h e emptiness of ages in his face A n d on his back the burden of the world. . . . M a r k h a m ' s p o e m h a d b e e n i n s p i r e d b y Millet's f a m o u s p a i n t i n g o f the s a m e n a m e . T h e p o e m , G o d d a r d c o m p l a i n e d ( 1 9 1 9 , p . 2 3 9 ) , " s e e m s t o i m p l y t h a t t h e m a n Millet p a i n t e d c a m e t o his c o n d i t i o n a s t h e result o f social c o n d i t i o n s w h i c h h e l d h i m d o w n a n d m a d e h i m like t h e c l o d s t h a t h e t u r n e d o v e r . " N o n s e n s e , e x c l a i m e d G o d d a r d ; m o s t p o o r p e a s a n t s suffer o n l y f r o m t h e i r o w n f e e b l e - m i n d e d n e s s , a n d Millet's p a i n t i n g p r o v e s it. C o u l d n ' t M a r k h a m see that the p e a s a n t i s m e n t a l l y deficient? "Millet's M a n W i t h T h e H o e i s a m a n of a r r e s t e d m e n t a l d e v e l o p m e n t — t h e p a i n t i n g is a p e r f e c t picture o f a n i m b e c i l e " ( 1 9 1 9 , p p . 2 3 9 - 2 4 0 ) . T o M a r k h a m ' s s e a r i n g question: " W h o s e b r e a t h blew o u t t h e l i g h t within this b r a i n ? " G o d d a r d r e p l i e d t h a t m e n t a l fire h a d n e v e r b e e n k i n d l e d . Since G o d d a r d c o u l d d e t e r m i n e d e g r e e s o f m e n t a l deficiency b y e x a m i n i n g a p a i n t i n g , h e certainly a n t i c i p a t e d n o t r o u b l e with flesh and blood. He dispatched the redoubtable Ms. Kite, soon to see f u r t h e r service o n Ellis I s l a n d , t o t h e p i n e b a r r e n s a n d q u i c k l y p r o d u c e d t h e sad p e d i g r e e o f t h e k a k o s line. G o d d a r d d e s c r i b e s o n e o f M s . Kite's identifications ( 1 9 1 2 , p p .
77-78):
Used as she was to the sights of misery and degradation, she was hardly prepared for the spectacle within. T h e father, a strong, healthy, broadshouldered m a n , was sitting helplessly in a corner. . . . T h r e e children, scantily clad and with shoes that would barely hold together, stood about with drooping jaws and the unmistakable look of the feeble-minded. . . . T h e whole family was a living demonstration of the futility of trying to make desirable citizens from defective stock through making and enforcing compulsory education laws. . . . T h e father himself, though strong and vigorous, showed by his face that he had only a child's mentality. T h e mother in her filth and rags was also a child. In this house of abject poverty, only o n e sure prospect was ahead, that it would produce more feeble-minded children with which to clog the wheels of h u m a n progress. If these s p o t identifications s e e m a bit hasty or d u b i o u s , c o n f e r e
Goddard's
method
for
inferring
the
mental
P a r t e d , or otherwise unavailable ( 1 9 1 2 , p. 15):
state
of the
5.7
An honest picture of Deborah, the Kallikak descendant living in
Goddard's institution.
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20I
After s o m e experience, the field worker becomes expert in inferring the condition of those persons who are not seen, from the similarity of the language used in describing them to that used in describing persons she has seen. It m a y be a small i t e m in the m i d s t of such a b s u r d i t y , b u t I d i s c o v e r e d a bit o f m o r e c o n s c i o u s s k u l d u g g e r y . M y c o l l e a g u e Stev e n S e l d e n a n d I w e r e e x a m i n i n g his c o p y o f G o d d a r d ' s v o l u m e o f the Kallikaks. T h e f r o n t i s p i e c e s h o w s a m e m b e r o f t h e kakos line, saved f r o m d e p r a v i t y b y c o n f i n e m e n t i n G o d d a r d ' s institution a t V i n e l a n d . D e b o r a h , as G o d d a r d calls h e r , is a b e a u t i f u l w o m a n (Fig. 5 . 1 ) . S h e sits c a l m l y in a w h i t e dress, r e a d i n g a b o o k , a cat l y i n g c o m f o r t a b l y o n h e r l a p . T h r e e o t h e r plates s h o w m e m b e r s o f the k a k o s line, l i v i n g in p o v e r t y in their rural shacks. A l l h a v e a d e p r a v e d look a b o u t t h e m (Fig. 5.2). T h e i r m o u t h s a r e sinister i n a p p e a r a n c e ; their e y e s a r e d a r k e n e d slits. B u t G o d d a r d ' s b o o k s are nearly s e v e n t y years o l d , a n d t h e ink has f a d e d . It is n o w clear that all t h e p h o t o s o f n o n i n s t i t u t i o n a l i z e d k a k o s w e r e a l t e r e d b y i n s e r t i n g heavy d a r k lines t o g i v e e y e s a n d m o u t h s their diabolical a p p e a r ance. T h e t h r e e plates o f D e b o r a h are u n r e t o u c h e d . S e l d e n t o o k his b o o k t o M r . J a m e s H . Wallace, Jr., d i r e c t o r o f P h o t o g r a p h i c S e r v i c e s a t the S m i t h s o n i a n Institution. M r . W a l l a c e reports (letter to S e l d e n , 1 7 M a r c h 1980):
T h e r e can be no doubt that the photographs of the Kallikak family m e m bers have been retouched. Further, it appears that this retouching was limited to the facial features of the individuals involved—specifically eyes, eyebrows, mouths, nose and hair. By contemporary standards, this retouching is extremely crude and obvious. It should be r e m e m b e r e d , however, that at the time of the original publication of the book, our society was far less visually sophisticated. T h e widespread use of photographs was limited, and casual viewers of the time would not have nearly the comparative ability possessed by even preteenage children today. . . . T h e harshness clearly gives the appearance of dark, staring features, sometimes evilness, and sometimes mental retardation. It would be difficult to understand why any of this retouching was d o n e were it not to give the viewer a false impression of the characteristics of those depicted. I believe the fact that no other areas of the photographs, or the individuals have been retouched is significant in this regard also. . . . I find these photographs to be an extremely interesting variety of photographic manipulation.
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M I S M E A S U R E
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recants
B y 1928 G o d d a r d h a d c h a n g e d his m i n d a n d b e c o m e a latterd a y s u p p o r t e r o f t h e m a n w h o s e w o r k h e h a d originally p e r v e r t e d , A l f r e d B i n e t . G o d d a r d a d m i t t e d , first o f all, that h e h a d set the u p p e r limit o f m o r o n i t y far t o o h i g h :
It was for a time rather carelessly assumed that everybody w h o tested 12 years or less was feeble-minded. . . . We now know, of course, that only a small percentage of the people w h o test 12 are actually feeble-minded— that is, are incapable of managing their affairs with ordinary p r u d e n c e or of c o m p e t i n g in the struggle for existence (1928, p. 220). B u t g e n u i n e m o r o n s still a b o u n d a t their r e d e f i n e d level. W h a t shall b e d o n e with t h e m ? G o d d a r d d i d n o t a b a n d o n his b e l i e f i n their i n h e r i t e d m e n t a l i t y , b u t h e n o w t o o k Binet's line a n d a r g u e d t h a t m o s t , if n o t all, c o u l d be t r a i n e d to l e a d u s e f u l lives in society:
T h e problem of the m o r o n is a problem of education and training. . . . This may surprise you, but frankly when I see what has been m a d e out of the m o r o n by a system of education, which as a rule is only half right, I have no difficulty in concluding that when we get an education that is entirely right there will be no morons w h o cannot m a n a g e themselves and their affairs and c o m p e t e in the struggle for existence. If we could h o p e to add to this a social order that would literally give every man a chance, I should be perfectly sure of the result (1928, p p . 223-224). B u t i f w e let m o r o n s live i n society, will t h e y n o t m a r r y a n d b e a r children;
is
this
not the
g r e a t e s t d a n g e r o f all,
the
source of
G o d d a r d ' s previous and passionate warnings?
S o m e will object that this plan neglects the eugenic aspect of the problem. In the community, these morons will marry and have children. A n d why not? . . . It may still be objected that moron parents are likely to have imbecile or idiot children. T h e r e is not much evidence that this is the case. T h e danger is probably negligible. At least it is not likely to occur any
5*2 Altered photographs of members of the Kallikak family living in poverty in the N e w Jersey pine barrens. N o t e how mouths and eyebrows are accentuated to produce an appearance of evil or stupidity. T h e effect is much clearer on the original photographs produced in Goddard's book.
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OF
M A N
oftener than it does in the general population.* I assume that most of you, like myself, will find it difficult to admit that the foregoing may be the true view. We have worked too long u n d e r the old concept (1928, p p . 2 2 3 224). G o d d a r d c o n c l u d e d ( 1 9 2 8 , p . 225) i n r e v e r s i n g t h e t w o b u l w a r k s o f his f o r m e r system:
1. Feeble-mindedness (the moron) \snot incurable [Goddard's italics]. 2. T h e feeble-minded do not generally need to be segregated in institutions. " A s for myself," G o d d a r d c o n f e s s e d (p. 224), " I t h i n k I h a v e g o n e over to the enemy."
Lewis M. Terman and the mass marketing of innate IQ Without offering any data on all that occurs between conception and the age of kindergarten, they announce on the basis of what they have got out of a few thousand questionnaires that they are measuring the hereditary mental endowment of human beings. Obviously, this is not a conclusion obtained by research. It is a conclusion planted by the will to believe. It is, I think, for the most part unconsciously planted. . . . If the impression takes root that these tests really measure intelligence, that they constitute a sort of last judgment on the child's capacity, that they reveal "scientifically" his predestined ability, then it would be a thousand times better if all the intelligence testers and all their questionnaires were sunk without warning in the Sargasso Sea. — WALTER LIPPMANN, in the course of a debate with Lewis Terman Mass
testing
and
the
Stanford-Binet
L e w i s M . T e r m a n , t h e twelfth child i n a n I n d i a n a f a r m family o f f o u r t e e n , t r a c e d his interest i n t h e s t u d y o f i n t e l l i g e n c e t o a n itinerant book
peddler and
phrenologist
who
visited
his
home
w h e n h e was n i n e o r ten a n d p r e d i c t e d g o o d t h i n g s after f e e l i n g t h e b u m p s o n his skull. T e r m a n p u r s u e d this early interest, n e v e r d o u b t i n g that a m e a s u r a b l e m e n t a l w o r t h lay i n s i d e p e o p l e ' s h e a d s . In
his
doctoral
dissertation
of
1906,
Terman
examined
seven
" b r i g h t " a n d s e v e n " s t u p i d " b o y s a n d d e f e n d e d e a c h o f his tests a s a m e a s u r e o f i n t e l l i g e n c e b y a p p e a l i n g t o the s t a n d a r d c a t a l o g u e o f
*Do not read into this statement more than Goddard intended. He had not abandoned his belief in the heritability of moronity itself. Moron parents will have moron children, but they can be made useful through education. Moron parents, however, do not preferentially beget defectives oflower grade—idiots and imbeciles.
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racial a n d n a d o n a l s t e r e o t y p e s . O f tests for i n v e n t i o n , h e w r o t e : " W e h a v e o n l y t o c o m p a r e t h e n e g r o with t h e E s k i m o o r I n d i a n , a n d t h e A u s t r a l i a n n a t i v e with t h e A n g l o - S a x o n , t o b e struck b y a n a p p a r e n t k i n s h i p b e t w e e n g e n e r a l intellectual a n d i n v e n t i v e ability" ( 1 9 0 6 , p . 14). O f m a t h e m a t i c a l ability, h e p r o c l a i m e d ( 1 9 0 6 , p . 29): " E t h n o l o g y s h o w s that racial p r o g r e s s has b e e n closely p a r a l leled b y d e v e l o p m e n t o f the ability t o d e a l with m a t h e m a t i c a l c o n cepts a n d r e l a t i o n s . " T e r m a n c o n c l u d e d his study b y c o m m i t t i n g b o t h o f t h e fallacies identified o n p . 1 8 5
a s f o u n d a t i o n s o f t h e h e r e d i t a r i a n view. H e
reified a v e r a g e test scores as a " t h i n g " called g e n e r a l i n t e l l i g e n c e b y a d v o c a t i n g t h e f i r s t o f t w o possible positions ( 1 9 0 6 , p . 9): "Is intellectual ability a b a n k a c c o u n t , on w h i c h we can d r a w f o r a n y d e s i r e d p u r p o s e , or is it r a t h e r a b u n d l e of s e p a r a t e d r a f t s , e a c h d r a w n for a specific p u r p o s e a n d i n c o n v e r t i b l e ? " A n d , while a d m i t t i n g that h e c o u l d p r o v i d e n o real s u p p o r t f o r it, h e d e f e n d e d t h e innatist v i e w ( 1 9 0 6 , p . 68): " W h i l e o f f e r i n g little positive d a t a o n the subject, t h e s t u d y has s t r e n g t h e n e d m y i m p r e s s i o n o f t h e relatively g r e a t e r i m p o r t a n c e of e n d o w m e n t o v e r t r a i n i n g as a d e t e r m i n a n t o f a n i n d i v i d u a l ' s intellectual r a n k a m o n g his fellows." G o d d a r d i n t r o d u c e d Binet's scale t o A m e r i c a , b u t T e r m a n was the p r i m a r y a r c h i t e c t o f its p o p u l a r i t y . Binet's last v e r s i o n o f 1 9 1 1 i n c l u d e d f i f t y - f o u r tasks, g r a d e d f r o m p r e n u r s e r y t o m i d - t e e n - a g e years. T e r m a n ' s f i r s t revision o f 1 9 1 6 e x t e n d e d t h e scale t o " s u p e rior a d u l t s " a n d i n c r e a s e d t h e - n u m b e r o f tasks t o ninety. T e r m a n , by t h e n a p r o f e s s o r at S t a n f o r d U n i v e r s i t y , g a v e his revision a n a m e that has b e c o m e p a r t o f o u r c e n t u r y ' s v o c a b u l a r y — t h e S t a n f o r d B i n e t , t h e s t a n d a r d f o r virtually all " I Q " tests t h a t f o l l o w e d . * I offer n o d e t a i l e d analysis o f c o n t e n t (see B l o c k a n d D w o r k i n , 1976 or C h a s e , 1977), but present two e x a m p l e s to show h o w T e r man's tests stressed c o n f o r m i t y with e x p e c t a t i o n a n d d o w n g r a d e d original r e s p o n s e . W h e n e x p e c t a t i o n s are society's n o r m s , t h e n d o "Terman (1919) provided a lengthy list of the attributes of general intelligence captured by the Stanford-Binet tests: memory, language comprehension, size of vocabulary, orientation in space and time, eye-hand coordination, knowledge of familiar things, judgment, likeness and differences, arithmetical reasoning, resourcefulness and ingenuity in difficult practical situations, ability to detect absurdities, speed and richness of association of ideas, power to combine the dissected parts of a form board or a group of ideas into a unitary whole, capacity to generalize from particulars, and ability to deduce a rule from connected facts.
206
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t h e tests m e a s u r e s o m e abstract p r o p e r t y o f r e a s o n i n g , o r familiarity with c o n v e n t i o n a l b e h a v i o r ? T e r m a n a d d e d t h e f o l l o w i n g i t e m to B i n e t ' s list:
An Indian who had c o m e to town for the first time in his life saw a white man riding along the street. As the white man rode by, the Indian said—'The white man is lazy; he walks sitting down.' What was the white man riding on that caused the Indian to say, 'He walks sitting down.' T e r m a n a c c e p t e d " b i c y c l e " a s t h e o n l y c o r r e c t r e s p o n s e — n o t cars o r o t h e r vehicles b e c a u s e legs d o n ' t g o u p a n d d o w n i n t h e m ; n o t h o r s e s (the m o s t c o m m o n " i n c o r r e c t " answer) b e c a u s e a n y selfr e s p e c t i n g I n d i a n w o u l d h a v e k n o w n w h a t h e was l o o k i n g at. ( I m y s e l f a n s w e r e d " h o r s e , " b e c a u s e I saw t h e I n d i a n as a c l e v e r i r o n ist, criticizing an e f f e t e city relative.) S u c h o r i g i n a l r e s p o n s e s as "a cripple in a wheel chair," and "a person riding on someone's back" w e r e also m a r k e d w r o n g . Terman
also
included
this
item
from
Binet's
original:
"My
n e i g h b o r has b e e n h a v i n g q u e e r visitors. First a d o c t o r c a m e t o his h o u s e , t h e n a l a w y e r , t h e n a minister. W h a t d o y o u t h i n k h a p p e n e d t h e r e ? " T e r m a n p e r m i t t e d little latitude b e y o n d " a d e a t h , " t h o u g h h e d i d allow " a m a r r i a g e " f r o m a b o y h e d e s c r i b e d a s " a n e n l i g h t e n e d y o u n g e u g e n i s t " w h o r e p l i e d that the d o c t o r c a m e t o see i f t h e p a r t n e r s w e r e fit, t h e l a w y e r t o a r r a n g e , a n d t h e m i n i s t e r t o tie the knot. He did not accept the combination "divorce a n d remarr i a g e , " t h o u g h h e r e p o r t s that a c o l l e a g u e i n R e n o , N e v a d a , h a d f o u n d t h e r e s p o n s e " v e r y , v e r y c o m m o n . " H e also d i d n o t p e r m i t p l a u s i b l e b u t u n c o m p l i c a t e d solutions ( a d i n n e r , o r a n e n t e r t a i n m e n t ) , or such o r i g i n a l r e s p o n s e s as: " s o m e o n e is d y i n g a n d is g e t t i n g m a r r i e d a n d m a k i n g his will b e f o r e h e d i e s . " B u t T e r m a n ' s m a j o r i n f l u e n c e d i d n o t r e s i d e i n his s h a r p e n i n g o r e x t e n s i o n o f t h e B i n e t scale. B i n e t ' s tasks h a d t o b e a d m i n i s t e r e d b y a t r a i n e d tester w o r k i n g with o n e c h i l d a t a t i m e . T h e y c o u l d not
be
used
as
instruments
for
general
ranking.
But
Terman
w i s h e d t o test e v e r y b o d y , for h e h o p e d t o establish a g r a d a t i o n o f i n n a t e ability t h a t c o u l d sort all c h i l d r e n into t h e i r p r o p e r stations in life:
What pupils shall be tested? T h e answer is, all. If only selected children are tested, many of the cases most in n e e d of adjustment will be over-
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l o o k e d . T h e p u r p o s e o f t h e tests i s t o tell u s w h a t w e d o n o t a l r e a d y k n o w , a n d it w o u l d be a m i s t a k e to test only t h o s e p u p i l s w h o a r e r e c o g n i z e d as obviously below o r a b o v e a v e r a g e .
S o m e o f t h e biggest s u r p r i s e s a r e
e n c o u n t e r e d i n t e s t i n g t h o s e w h o h a v e b e e n l o o k e d u p o n a s close t o avera g e in ability. U n i v e r s a l t e s t i n g is fully w a r r a n t e d (1923, p. 22). T h e S t a n f o r d - B i n e t , like its p a r e n t , r e m a i n e d a test for i n d i v i d uals, b u t it b e c a m e t h e p a r a d i g m for virtually all t h e w r i t t e n v e r sions that f o l l o w e d . B y careful j u g g l i n g a n d e l i m i n a t i o n , * T e r m a n s t a n d a r d i z e d t h e scale s o that " a v e r a g e " c h i l d r e n w o u l d score 100 a t e a c h a g e ( m e n t a l a g e e q u a l t o c h r o n o l o g i c a l a g e ) . T e r m a n also e v e n e d o u t t h e v a r i a t i o n a m o n g c h i l d r e n b y establishing a s t a n d a r d deviation of 15 or mean
of
100 a n d
1 6 p o i n t s a t e a c h c h r o n o l o g i c a l a g e . W i t h its standard
deviation
of
15,
the
Stanford-Binet
b e c a m e ( a n d i n m a n y respects r e m a i n s t o this d a y ) t h e p r i m a r y criterion f o r j u d g i n g a p l e t h o r a of m a s s - m a r k e t e d written tests that f o l l o w e d . T h e invalid a r g u m e n t r u n s : w e k n o w t h a t t h e S t a n f o r d B i n e t m e a s u r e s i n t e l l i g e n c e ; t h e r e f o r e , a n y w r i t t e n test t h a t c o r r e lates s t r o n g l y with S t a n f o r d - B i n e t also m e a s u r e s i n t e l l i g e n c e . M u c h o f t h e e l a b o r a t e statistical w o r k p e r f o r m e d b y testers d u r i n g t h e past
fifty
years
provides
no
i n d e p e n d e n t confirmation
for
the
p r o p o s i t i o n t h a t tests m e a s u r e i n t e l l i g e n c e , b u t m e r e l y establishes correlation with a preconceived and unquestioned standard. T e s d n g soon became a multimillion-dollar industry; marketing c o m p a n i e s d a r e d n o t take a c h a n c e with tests n o t p r o v e n by their correlation
with
Terman's
standard.
The Army
Alpha
(see
pp.
2 2 2 - 2 5 2 ) initiated mass testing, b u t a flood of c o m p e t i t o r s g r e e t e d school a d m i n i s t r a t o r s within a f e w years after t h e war's e n d . A quick g l a n c e a t t h e a d v e r t i s e m e n t s a p p e n d e d t o T e r m a n ' s later b o o k ( 1 9 2 3 ) illustrates, d r a m a t i c a l l y a n d u n i n t e n t i o n a l l y , h o w all Terman's (1919, p.
cautious
w o r d s a b o u t careful
and
lengthy
assessment
2 9 9 , for e x a m p l e ) c o u l d e v a p o r a t e b e f o r e strictures o f
cost a n d t i m e w h e n his d e s i r e to test all c h i l d r e n b e c a m e a reality (Fig. 5.3). T h i r t y m i n u t e s a n d five tests m i g h t m a r k a c h i l d f o r life, i f schools a d o p t e d t h e f o l l o w i n g e x a m i n a t i o n , a d v e r t i s e d i n T e r man
1 9 2 3 , a n d c o n s t r u c t e d b y a c o m m i t t e e that i n c l u d e d T h o r n -
d i k e , Y e r k e s , a n d T e r m a n himself. *This, in itself, is not finagling, but a valid statistical procedure for establishing uniformity of average score and variance across age levels.
5*3 An advertisement for mass mental testing using an examination written by, a m o n g others, T e r m a n and Yerkes.
T H E
H E R E D I T A R I A N
T H E O R Y
O F
IQ
209
National Intelligence Tests for Grades 3-8 T h e direct result of the application of the army testing m e t h o d s to school needs. . . . T h e tests have been selected from a large g r o u p of tests after a try-out and a careful analysis by a statistical staff. T h e two scales prepared consist of five tests each (with practical exercises) and either may be administered in thirty minutes. T h e y are simple in application, reliable, and immediately useful in classifying children in Grades 3 to 8 with respect to intellectual ability. Scoring is unusually simple. B i n e t , h a d h e l i v e d , m i g h t h a v e b e e n distressed e n o u g h b y s u c h a superficial a s s e s s m e n t , b u t h e w o u l d h a v e r e a c t e d e v e n m o r e s t r o n g l y a g a i n s t T e r m a n ' s intent. T e r m a n a g r e e d with B i n e t t h a t the tests w o r k e d best for i d e n t i f y i n g " h i g h - g r a d e d e f e c t i v e s , " b u t his
reasons
for so d o i n g stand in c h i l l i n g contrast with
Binet's
d e s i r e t o s e g r e g a t e a n d h e l p ( 1 9 1 6 , p p . 6-7):
It is safe to predict that in the near future intelligence tests will bring tens of thousands of these high-grade defectives u n d e r the surveillance and protection of society. This will ultimately result in curtailing the reproduction of feeble-mindedness and in the elimination of an e n o r m o u s a m o u n t of crime, pauperism, and industrial inefficiency. It is hardly necessary to emphasize that the high-grade cases, of the type now so frequently overlooked, are precisely the ones whose guardianship it is most important for the State to assume. T e r m a n relentlessly e m p h a s i z e d limits a n d their inevitability. H e n e e d e d less t h a n a n h o u r t o c r u s h t h e h o p e s a n d belittle t h e efforts of s t r u g g l i n g , " w e l l - e d u c a t e d " p a r e n t s afflicted with a c h i l d o f l Q 75-
Strange to say, the mother is encouraged and hopeful because she sees that her boy is learning to read. She does not seem to realize that at his age he ought to be within three years of entering high school. T h e forty-minute test has told m o r e about the mental ability of this boy than the intelligent mother had been able to learn in eleven years of daily and hourly observation. For X is feeble-minded; he will never complete the grammar school; he will never be an efficient worker or a responsible citizen (1916). W a l t e r L i p p m a n n , t h e n a y o u n g j o u r n a l i s t , saw t h r o u g h T e r m a n ' s n u m b e r s t o t h e h e a r t o f his p r e c o n c e i v e d a t t e m p t , a n d w r o t e in measured anger:
T h e danger of the intelligence tests is that in a wholesale system of education, the less sophisticated or the m o r e prejudiced will stop when
2
T H E
IO
M I S M E A S U R E
O F
M A N
t h e y h a v e classified a n d forget t h a t their d u t y is to e d u c a t e . T h e y will g r a d e t h e r e t a r d e d child i n s t e a d of fighting t h e causes of his b a c k w a r d n e s s . F o r t h e whole drift of t h e p r o p a g a n d a b a s e d on intelligence testing is to t r e a t p e o p l e with low intelligence q u o t i e n t s as congenitally a n d hopelessly inferior. Terman's
technocracy
of innateness
If it were true, the emotional and worldly satisfactions in store for the intelligence tester would be very great. If he were really measuring intelligence, and if intelligence were a fixed hereditary quantity, it would be for him to say not only where to place each child in school, but also which children should go to high school, which to college, which into the professions, which into the manual trades and common labor. If the tester would make good his claim, he would soon occupy a position of power which no intellectual has held since the collapse of theocracy. T h e vista is enchanting, and even a little of the vista is intoxicating enough. If only it could be proved, or at least believed, that intelligence is fixed by heredity, and that the tester can measure it, what a future to dream about! T h e unconscious temptation is too strong for the ordinary critical defenses of the scientific methods. With the help of a subtle statistical illusion, intricate logical fallacies and a few smuggled obiter dicta, selfdeception as the preliminary to public deception is almost automatic. — WALTER LIPPMANN, in a debate with Terman P l a t o h a d d r e a m e d o f a rational w o r l d r u l e d b y p h i l o s o p h e r k i n g s . T e r m a n r e v i v e d this d a n g e r o u s vision b u t l e d his c o r p s o f m e n t a l testers i n a n act o f u s u r p a t i o n . I f all p e o p l e c o u l d b e t e s t e d , a n d t h e n s o r t e d i n t o roles a p p r o p r i a t e f o r their i n t e l l i g e n c e , t h e n a j u s t , a n d , a b o v e all, efficient society m i g h t be c o n s t r u c t e d for the first t i m e in history. Dealing
off the
bottom,
Terman
argued
that
we
must first
restrain or e l i m i n a t e t h o s e w h o s e i n t e l l i g e n c e is t o o low f o r an effective o r m o r a l life. T h e p r i m a r y c a u s e o f social p a t h o l o g y i s innate
feeble-mindedness.
Terman
(1916,
p.
7)
criticized
Lom-
b r o s o for t h i n k i n g that t h e externalities o f a n a t o m y m i g h t r e c o r d c r i m i n a l b e h a v i o r . I n n a t e n e s s , to be sure, is t h e s o u r c e , b u t its d i r e c t sign i s low I Q , n o t l o n g a r m s o r a j u t t i n g j a w :
T h e t h e o r i e s of L o m b r o s o h a v e b e e n wholly d i s c r e d i t e d by t h e results of intelligence tests. S u c h tests h a v e d e m o n s t r a t e d , b e y o n d a n y possibility of d o u b t , t h a t t h e most i m p o r t a n t trait of at least 25 p e r c e n t of o u r criminals is m e n t a l weakness. T h e physical a b n o r m a l i t i e s which h a v e b e e n f o u n d so c o m m o n a m o n g p r i s o n e r s a r e n o t t h e s t i g m a t a o f criminality, b u t t h e physical a c c o m p a n i m e n t s o f f e e b l e - m i n d e d n e s s . T h e y h a v e n o diagnostic significance e x c e p t in so far as t h e y a r e indications of m e n t a l deficiency (1916, p. 7).
T H E
H E R E D I T A R I A N
T H E O R Y
O F
I Q
211
F e e b l e - m i n d e d p e o p l e are d o u b l y b u r d e n e d b y their u n f o r t u n a t e i n h e r i t a n c e , f o r lack o f i n t e l l i g e n c e , d e b i l i t a t i n g e n o u g h i n itself, leads to i m m o r a l i t y . If we w o u l d e l i m i n a t e social p a t h o l o g y , w e m u s t i d e n t i f y its c a u s e i n t h e b i o l o g y o f s o c i o p a t h s t h e m s e l v e s — a n d t h e n e l i m i n a t e t h e m b y c o n f i n e m e n t i n institutions a n d , a b o v e all, b y p r e v e n d n g their m a r r i a g e a n d t h e p r o d u c t i o n o f o f f s p r i n g .
N o t all criminals are feeble-minded, but all feeble-minded persons are at least potential criminals. That every feeble-minded woman is a potential prostitute would hardly be disputed by anyone. Moral j u d g m e n t , like business j u d g m e n t , social j u d g m e n t , or any other kind of higher thought process, is a function of intelligence. Morality cannot flower and fruit if intelligence remains infantile (1916, p. 11). T h e feeble-minded, in the sense of social incompetents, are by definition a burden rather than an asset, not only economically but still more because of their tendencies to become delinquent or criminal. . . . T h e only effective way to deal with the hopelessly feeble-minded is by permanent custodial care. T h e obligations of the public school rest rather with the large and m o r e hopeful group of children w h o are merely inferior (1919, pp. 132-133). I n a p l e a for u n i v e r s a l testing, T e r m a n w r o t e ( 1 9 1 6 , p . 12): " C o n s i d e r i n g t h e t r e m e n d o u s cost o f vice a n d c r i m e , w h i c h i n all p r o b ability
amounts
to
not
less
than
$500,000,000
per
year
in
the
U n i t e d States a l o n e , it is e v i d e n t that p s y c h o l o g i c a l testing has f o u n d h e r e o n e o f its richest a p p l i c a t i o n s . " A f t e r m a r k i n g t h e s o c i o p a t h for r e m o v a l f r o m society, intellig e n c e tests m i g h t t h e n c h a n n e l biologically a c c e p t a b l e p e o p l e into p r o f e s s i o n s suited for their m e n t a l level. T e r m a n h o p e d that his testers w o u l d " d e t e r m i n e t h e m i n i m u m ' i n t e l l i g e n c e q u o t i e n t ' necessary for success i n each l e a d i n g o c c u p a t i o n " ( 1 9 1 6 , p .
17). A n y
c o n s c i e n t i o u s p r o f e s s o r tries to find j o b s f o r his s t u d e n t s , b u t few are a u d a c i o u s e n o u g h to tout their disciples as apostles of a n e w social o r d e r :
Industrial concerns doubtless suffer e n o r m o u s losses from the employment of persons whose mental ability is not equal to the tasks they are expected to perform. . . . Any business employing as many as 500 or 1000 workers, as, for e x a m p l e , a large department store, could save in this way several times the salary of a well-trained psychologist. T e r m a n virtually closed professions o f p r e s t i g e a n d m o n e t a r y r e w a r d t o p e o p l e with I Q b e l o w
100 ( 1 9 1 9 , p . 2 8 2 ) , a n d a r g u e d
2/2
T H E
MIS M E A S U R E
OF
t h a t "substantial s u c c e s s " p r o b a b l y r e q u i r e d a n I Q a b o v e
M A N
1 1 5 or
1 2 0 . B u t h e was m o r e i n t e r e s t e d i n establishing ranks a t t h e low e n d o f t h e scale, a m o n g t h o s e h e h a d d e e m e d " m e r e l y i n f e r i o r . " M o d e r n industrial society n e e d s its t e c h n o l o g i c a l e q u i v a l e n t o f the Biblical m e t a p h o r for m o r e b u c o l i c t i m e s — t h e h e w e r s o f w o o d a n d d r a w e r s o f water. A n d t h e r e a r e s o m a n y o f t h e m :
T h e evolution o f m o d e r n industrial o r g a n i z a t i o n t o g e t h e r with t h e m e c h a n i z a t i o n of processes by m a c h i n e r y is m a k i n g possible t h e l a r g e r a n d l a r g e r utilization of i n f e r i o r mentality. O n e m a n with ability to t h i n k a n d p l a n guides t h e labor o f ten o r twenty l a b o r e r s , w h o d o what they a r e told to do a n d h a v e little n e e d for r e s o u r c e f u l n e s s or initiative (1919, p. 276). I Q o f 7 5 o r b e l o w s h o u l d b e the r e a l m o f u n s k i l l e d labor, 7 5 t o 8 5 " p r e e m i n e n t l y t h e r a n g e for semi-skilled l a b o r . " M o r e specific j u d g m e n t s c o u l d also b e m a d e . " A n y t h i n g a b o v e 8 5 I Q i n t h e case of a barber probably represents so m u c h d e a d waste" ( 1 9 1 9 , p. 288). IQ 75 is an " u n s a f e risk in a m o t o r m a n or c o n d u c t o r , a n d it conduces to discontent" ( T e r m a n ,
1 9 1 9 ) . P r o p e r v o c a t i o n a l train-
i n g a n d p l a c e m e n t is essential for t h o s e " o f t h e 70 to 85 class." W i t h o u t it, t h e y t e n d to l e a v e school " a n d drift easily into t h e r a n k s o f t h e anti-social o r j o i n t h e a r m y o f B o l s h e v i k d i s c o n t e n t s " ( 1 9 1 9 , p . 285). Terman
investigated
IQ
among
professions
and
concluded
with satisfaction that an i m p e r f e c t allocation by i n t e l l i g e n c e h a d already
occurred
explained away.
naturally.
The
embarrassing
exceptions
he
H e s t u d i e d 4 7 e x p r e s s c o m p a n y e m p l o y e e s , for
e x a m p l e , m e n e n g a g e d in rote, repetitive work "offering e x c e e d i n g l y limited o p p o r t u n i t y for t h e e x e r c i s e o f i n g e n u i t y o r e v e n p e r sonal j u d g m e n t " ( 1 9 1 9 , p . 2 7 5 ) . Y e t their m e d i a n I Q s t o o d a t 9 5 , a n d fully 2 5 p e r c e n t m e a s u r e d a b o v e
104, t h u s w i n n i n g a p l a c e
a m o n g the r a n k s o f t h e intelligent. T e r m a n was p u z z l e d , b u t attribu t e d such low a c h i e v e m e n t p r i m a r i l y t o a lack o f "certain e m o tional, m o r a l , o r o t h e r desirable qualities," t h o u g h h e a d m i t t e d that "economic
pressures"
might
have
forced
some
"out
o f school
b e f o r e t h e y w e r e able t o p r e p a r e for m o r e e x a c t i n g service" ( 1 9 1 9 , p.
275).
In
another
study,
Terman
amassed
a
sample
of
256
" h o b o e s a n d u n e m p l o y e d , " largely f r o m a " h o b o h o t e l " i n Palo A l t o . H e e x p e c t e d t o f i n d their a v e r a g e I Q a t t h e b o t t o m o f his list; y e t , while t h e h o b o m e a n o f 8 9 d i d n o t s u g g e s t e n o r m o u s e n d o w m e n t , t h e y still r a n k e d a b o v e m o t o r m e n , salesgirls, f i r e m e n , a n d
T H E
H E R E D I T A R I A N
T H E O R Y
O F
I Q
p o l i c e m e n . T e r m a n s u p p r e s s e d this e m b a r r a s s m e n t b y o r d e r i n g his table i n a c u r i o u s way. T h e h o b o m e a n was distressingly h i g h , b u t h o b o s also v a r i e d m o r e t h a n a n y o t h e r g r o u p , a n d i n c l u d e d a substantial n u m b e r o f r a t h e r low scores. S o T e r m a n a r r a n g e d his list b y t h e scores o f t h e lowest 2 5 p e r c e n t i n e a c h g r o u p , a n d s u n k his h o b o s i n t o t h e cellar. H a d T e r m a n merely advocated a meritocracy based b n achievem e n t , o n e m i g h t still d e c r y his elitism, b u t a p p l a u d a s c h e m e that awarded opportunity to hard work and strong motivation.
But
T e r m a n b e l i e v e d that class b o u n d a r i e s h a d b e e n set b y i n n a t e intell i g e n c e . H i s c o o r d i n a t e d r a n k o f p r o f e s s i o n s , p r e s t i g e , a n d salaries reflected t h e b i o l o g i c a l w o r t h o f e x i s t i n g social classes. I f b a r b e r s d i d n o t r e m a i n Italian, t h e y w o u l d c o n t i n u e t o arise f r o m t h e p o o r a n d t o stay a p p r o p r i a t e l y a m o n g t h e m : T h e c o m m o n o p i n i o n that the child from a cultured h o m e d o e s better in tests solely by reason of his superior h o m e advantages is an entirely gratuitous assumption. Practically all of the investigations which have b e e n m a d e of the influence of nature and n u r t u r e on mental p e r f o r m a n c e a g r e e in attributing far m o r e to original e n d o w m e n t than to e n v i r o n m e n t . C o m m o n observation would itself suggest that the social class to which the family belongs d e p e n d s less on chance than on the parents' native qualities of intellect and character. . . . T h e children of successful and cultured parents test h i g h e r than children from wretched and ignorant h o m e s for the simple reason that their heredity is better ( 1 9 1 6 , p. 115). Fossil
IQ's
of past
geniuses
Society m a y n e e d masses o f t h e " m e r e l y i n f e r i o r " t o r u n its m a c h i n e s , T e r m a n b e l i e v e d , b u t its u l t i m a t e h e a l t h d e p e n d s u p o n the l e a d e r s h i p o f r a r e g e n i u s e s with e l e v a t e d I Q ' s . T e r m a n a n d his associates p u b l i s h e d a f i v e - v o l u m e series on Genetic Studies of Genius i n a n a t t e m p t t o d e f i n e a n d follow p e o p l e a t t h e u p p e r e n d o f t h e S t a n f o r d - B i n e t scale. I n o n e v o l u m e , T e r m a n d e c i d e d t o measure, retrospectively, the I Q o f history's p r i m e m o v e r s — i t s s t a t e s m e n , soldiers, a n d intellectuals. I f t h e y r a n k e d a t t h e t o p , t h e n I Q i s surely t h e single m e a sure
of ultimate worth.
But
h o w can
a
fossil
IQ be recovered
without conjuring up y o u n g Copernicus and asking him what the white m a n was r i d i n g ?
U n d a u n t e d , T e r m a n a n d his c o l l e a g u e s
tried t o r e c o n s t r u c t t h e I Q o f past n o t a b l e s , a n d p u b l i s h e d a thick book (Cox,
1926) that m u s t r a n k as a p r i m a r y curiosity w i t h i n a
21
4
T H E
M I S M E A S U R E
O F
M A N
literature a l r e a d y s t u d d e d with a b s u r d i t y — t h o u g h J e n s e n ( 1 9 7 9 , p p . 1 1 3 a n d 3 5 5 ) a n d o t h e r s still take i t seriously.* T e r m a n ( 1 9 1 7 ) had already published a preliminary study of Francis G a l t o n a n d a w a r d e d a s t a g g e r i n g I Q o f 200 t o this p i o n e e r o f m e n t a l testing. H e t h e r e f o r e e n c o u r a g e d his associates t o p r o c e e d with a l a r g e r i n v e s t i g a t i o n . J. M . C a t t e l l h a d p u b l i s h e d a r a n k i n g o f the i ,000 p r i m e m o v e r s o f history b y m e a s u r i n g t h e l e n g t h s o f their entries i n b i o g r a p h i c a l dictionaries. Terman's
associate,
whittled
t h e list to
Catherine
M.
Cox,
282, a s s e m b l e d d e t a i l e d
b i o g r a p h i c a l i n f o r m a t i o n a b o u t their early life, a n d p r o c e e d e d t o e s t i m a t e t w o I Q v a l u e s for e a c h — o n e , called A i
I Q , for b i r t h t o
s e v e n t e e n years; t h e o t h e r , A 2 I Q , f o r a g e s s e v e n t e e n t o t w e n t y six. C o x ran into p r o b l e m s r i g h t a t t h e start. S h e a s k e d f i v e p e o p l e , i n c l u d i n g T e r m a n , t o r e a d h e r dossiers a n d t o e s t i m a t e t h e t w o I Q scores for e a c h p e r s o n . T h r e e o f t h e f i v e a g r e e d substantially i n their m e a n v a l u e s , w i t h A i
I Q clustering around
135 and A 2 I Q
n e a r 1 4 5 . B u t t w o o f t h e raters d i f f e r e d m a r k e d l y , o n e a w a r d i n g a n a v e r a g e I Q well a b o v e , t h e o t h e r well b e l o w , t h e c o m m o n f i g u r e . C o x s i m p l y e l i m i n a t e d their scores, t h e r e b y t h r o w i n g o u t 4 0 p e r c e n t o f h e r d a t a . T h e i r low a n d h i g h scores w o u l d h a v e b a l a n c e d e a c h o t h e r a t t h e m e a n i n a n y case, s h e a r g u e d ( 1 9 2 6 , p . 7 2 ) . Y e t i f five people working in the same research g r o u p could not agree, w h a t h o p e f o r u n i f o r m i t y o r c o n s i s t e n c y — n o t t o m e n t i o n objectivity—could be offered? Apart
from
these
debilitating
practical
difficulties,
the
basic
l o g i c o f t h e s t u d y was h o p e l e s s l y f l a w e d f r o m t h e f i r s t . T h e d i f f e r e n c e s i n I Q that C o x r e c o r d e d a m o n g h e r subjects d o n o t m e a s u r e t h e i r v a r y i n g a c c o m p l i s h m e n t s , not t o m e n t i o n their n a t i v e intellig e n c e . I n s t e a d , t h e d i f f e r e n c e s are a m e t h o d o l o g i c a l artifact o f the v a r y i n g quality o f i n f o r m a t i o n that C o x was able t o c o m p i l e a b o u t t h e c h i l d h o o d a n d early y o u t h o f h e r subjects. C o x b e g a n b y assigni n g a base I Q o f 100 t o e a c h i n d i v i d u a l ; the raters t h e n a d d e d t o (or, rarely, s u b t r a c t e d from) this v a l u e a c c o r d i n g t o t h e d a t a p r o vided.
•Jensen writes: "The average estimated IQ of three hundred historical persons . . . on whom sufficient childhood evidence was available for a reliable estimate was IQ 155. . . . Thus the majority of these eminent men would most likely have been recognized as intellectually gifted in childhood had they been given IQ tests" (Jensen, !979. P- H 3 ) -
T H E
H E R E D I T A R I A N
Cox's
dossiers
accomplishments,
T H E O R Y
are
motley
with
an
OF
lists
emphasis
I Q
of
2
childhood
on
and
examples
1
5
youthful
of precocity.
S i n c e h e r m e t h o d i n v o l v e d a d d i n g t o t h e base f i g u r e o f 100 f o r e a c h n o t a b l e item i n t h e dossier, e s t i m a t e d I Q r e c o r d s little m o r e t h a n t h e v o l u m e o f available i n f o r m a t i o n .
In general,
low I Q ' s
reflect a n a b s e n c e o f i n f o r m a t i o n , a n d h i g h I Q ' s a n e x t e n s i v e list. ( C o x even admits that she is not measuring true I Q , but only what can
be
deduced
from
limited d a t a ,
though
this
d i s c l a i m e r was
i n v a r i a b l y lost i n translation t o p o p u l a r accounts.) T o b e l i e v e , e v e n f o r a m o m e n t , t h a t such a p r o c e d u r e c a n r e c o v e r t h e p r o p e r o r d e r ing o f I Q a m o n g " m e n o f genius," o n e must assume that the childh o o d o f all subjects was w a t c h e d a n d r e c o r d e d with r o u g h l y e q u a l a t t e n t i o n . O n e m u s t claim (as C o x d o e s ) that a n a b s e n c e o f d o c u m e n t e d c h i l d h o o d p r e c o c i t y indicates a h u m d r u m life n o t w o r t h writing about, not an extraordinary giftedness that no o n e bothered to record. T w o basic results o f C o x ' s s t u d y i m m e d i a t e l y a r o u s e o u r s t r o n g s u s p i c i o n t h a t h e r I Q scores reflect the historical a c c i d e n t s o f surviving
records,
rather
than
the
true
accomplishments
of
her
g e n i u s e s . First, IQ is n o t s u p p o s e d to alter in a definite d i r e c t i o n d u r i n g a p e r s o n ' s life. Y e t a v e r a g e A i I Q i s 1 3 5 i n h e r s t u d y , a n d a v e r a g e A 2 I Q i s a substantially h i g h e r h e r dossiers ( p r i n t e d in full in C o x ,
1 4 5 . W h e n w e scrutinize
1 9 2 6 ) , t h e r e a s o n is readily
a p p a r e n t , a n d a clear artifact o f h e r m e t h o d . S h e has m o r e i n f o r m a t i o n o n h e r subjects a s y o u n g a d u l t s t h a n a s c h i l d r e n ( A 2
IQ
records achievements d u r i n g ages seventeen t h r o u g h twenty-six; A i I Q m a r k s t h e earlier years). S e c o n d , C o x p u b l i s h e d d i s t u r b i n g l y low A 1 I Q f i g u r e s for s o m e f o r m i d a b l e c h a r a c t e r s , i n c l u d i n g C e r vantes a n d C o p e r n i c u s , b o t h a t 1 0 5 . H e r dossiers s h o w t h e r e a s o n : little o r n o t h i n g i s k n o w n a b o u t their c h i l d h o o d , p r o v i d i n g n o d a t a f o r a d d i t i o n t o t h e base f i g u r e o f 100. C o x e s t a b l i s h e d s e v e n levels o f reliability
for h e r
figures.
T h e seventh, believe it or not, is
"guess, based on no data." A s a f u r t h e r a n d o b v i o u s test, c o n s i d e r g e n i u s e s b o r n i n t o h u m ble c i r c u m s t a n c e s , w h e r e tutors a n d encourage
and
then
to
record
scribes d i d n o t a b o u n d
daring
feats
to
of precocity. J o h n
S t u a r t Mill m a y h a v e l e a r n e d G r e e k i n his c r a d l e , b u t d i d F a r a d a y o r B u n y a n e v e r g e t t h e c h a n c e ? P o o r c h i l d r e n a r e a t a d o u b l e disa d v a n t a g e ; n o t o n l y d i d n o o n e b o t h e r t o r e c o r d their early y e a r s ,
2/6
T H E
M I S M E A S U R E
O F
MAN
b u t t h e y a r e also d e m o t e d as a d i r e c t result of their p o v e r t y . F o r C o x , using the favorite ploy of eugenicists, inferred innate parental i n t e l l i g e n c e f r o m their o c c u p a t i o n s a n d social s t a n d i n g ! S h e r a n k e d p a r e n t s on a scale of p r o f e s s i o n s f r o m 1 to 5, a w a r d i n g t h e i r child r e n a n I Q o f 100 f o r p a r e n t a l r a n k 3 , a n d a b o n u s (or deficit) o f 10 I Q p o i n t s for e a c h step a b o v e o r b e l o w . A child w h o d i d n o t h i n g w o r t h n o t i n g f o r t h e f i r s t s e v e n t e e n years o f his life c o u l d still score a n I Q o f 1 2 0 b y v i r t u e o f his p a r e n t ' s w e a l t h o r p r o f e s s i o n a l s t a n d ing. C o n s i d e r t h e case o f p o o r M a s s e n a , N a p o l e o n ' s g r e a t g e n e r a l , w h o b o t t o m e d o u t a t 100 A i
IQ and about w h o m , as a child, we
k n o w n o t h i n g e x c e p t that h e s e r v e d a s a cabin b o y for t w o l o n g v o y a g e s on his u n c l e ' s ship. C o x writes (p. 88): N e p h e w s of battleship c o m m a n d e r s probably rate s o m e w h a t above 100 IQ; but cabin boys w h o remain cabin boys for two l o n g voyages a n d of w h o m there is n o t h i n g m o r e to report until the age of 17 than their service as cabin boys, may a v e r a g e below 100 IQ. O t h e r a d m i r a b l e subjects with i m p o v e r i s h e d p a r e n t s a n d m e a g e r r e c o r d s s h o u l d h a v e s u f f e r e d t h e i g n o m i n y o f scores b e l o w 100. B u t C o x m a n a g e d t o f u d g e a n d t e m p o r i z e , p u s h i n g t h e m all a b o v e t h e t r i p l e - d i g i t d i v i d e , i f o n l y slightly. C o n s i d e r t h e u n f o r tunate Saint-Cyr, saved only b y remote kin, a n d granted a n A i I Q of
105:
" T h e f a t h e r was a t a n n e r after h a v i n g b e e n a b u t c h e r ,
w h i c h w o u l d g i v e his son a n o c c u p a t i o n a l I Q status o f 9 0 t o
100;
b u t t w o d i s t a n t relatives a c h i e v e d signal martial h o n o r s , t h u s indic a t i n g a h i g h e r strain i n t h e f a m i l y " ( p p . 9 0 - 9 1 ) . J o h n B u n y a n f a c e d m o r e familial obstacles t h a n his f a m o u s P i l g r i m , b u t C o x m a n a g e d to e x t r a c t a score of 105 for h i m : Bunyan's father was a brazier or tinker, but a tinker of recognized position in the village; a n d the m o t h e r was not of the squalid p o o r , but of p e o p l e w h o were "decent and worthy in their ways." T h i s would be sufficient e v i d e n c e for a rating b e t w e e n 90 a n d 100. But the record g o e s further,
and
we
read
that
notwithstanding
their
"meanness
and
inconsiderableness," Bunyan's parents put their boy to school to learn "both to read and write," which probably indicates that he s h o w e d something m o r e than the promise of a future tinker (p. 90). Michael Faraday squeaked by at
1 0 5 , o v e r c o m i n g the d e m e r i t o f
p a r e n t a l s t a n d i n g with s n i p p e t s a b o u t his reliability as an e r r a n d
T H E
H E R E D I T A R I A N
T H E O R Y
O F
217
I Q
b o y a n d his q u e s t i o n i n g n a t u r e . H i s e l e v a t e d A 2 I Q o f 1 5 0 o n l y r e c o r d s i n c r e a s i n g i n f o r m a t i o n a b o u t his m o r e n o t a b l e y o u n g m a n hood.
In
o n e case,
however,
C o x couldn't bear to record
the
u n p l e a s a n t result that h e r m e t h o d s d i c t a t e d . S h a k e s p e a r e , o f h u m ble o r i g i n a n d u n k n o w n c h i l d h o o d , w o u l d h a v e s c o r e d b e l o w 100. S o C o x s i m p l y left h i m o u t , e v e n t h o u g h s h e i n c l u d e d several o t h ers with e q u a l l y i n a d e q u a t e c h i l d h o o d r e c o r d s . A m o n g o t h e r curiosities o f s c o r i n g that reflect C o x a n d T e r m a n ' s social p r e j u d i c e s , several p r e c o c i o u s y o u n g s t e r s ( C l i v e , L i e big,
and
Swift,
rebelliousness
in
in
particular)
school,
were
particularly
downgraded
for
their
for their u n w i l l i n g n e s s
to
s t u d y classics. An a n i m u s a g a i n s t t h e p e r f o r m i n g arts is e v i d e n t in t h e r a t i n g o f c o m p o s e r s , w h o (as a g r o u p ) r a n k j u s t a b o v e soldiers a t t h e b o t t o m o f t h e f i n a l list. C o n s i d e r the f o l l o w i n g u n d e r s t a t e m e n t a b o u t M o z a r t (p. 1 2 9 ) : " A c h i l d w h o learns t o p l a y t h e p i a n o a t 3 , w h o receives a n d benefits b y m u s i c a l instruction a t that a g e , a n d w h o studies a n d e x e c u t e s t h e m o s t difficult c o u n t e r p o i n t a t a g e 14, i s p r o b a b l y a b o v e t h e a v e r a g e level o f his social g r o u p . " I n t h e e n d , I s u s p e c t that C o x r e c o g n i z e d t h e s h a k y basis o f h e r w o r k , b u t persisted b r a v e l y n o n e t h e l e s s . C o r r e l a t i o n s b e t w e e n r a n k i n e m i n e n c e ( l e n g t h o f Cattell's entry) a n d a w a r d e d I Q w e r e disa p p o i n t i n g t o say t h e l e a s t — a m e r e 0.25 for e m i n e n c e vs. A 2 I Q , with n o f i g u r e r e c o r d e d a t all for e m i n e n c e vs. A i I Q (it i s a l o w e r 0.20 b y m y calculation). I n s t e a d , C o x m a k e s m u c h o f t h e fact that h e r ten m o s t e m i n e n t subjects a v e r a g e 4 — y e s o n l y 4 — A 1 I Q p o i n t s a b o v e h e r ten least e m i n e n t . C o x calculated her strongest correlation
(0.77)
between A 2 I Q
a n d " i n d e x o f reliability," a m e a s u r e o f available i n f o r m a t i o n a b o u t h e r subjects. I c a n i m a g i n e n o b e t t e r d e m o n s t r a t i o n that C o x ' s I Q ' s are artifacts o f differential a m o u n t s o f d a t a , not m e a s u r e s o f i n n a t e ability o r e v e n , f o r that m a t t e r , o f s i m p l e talent. C o x r e c o g n i z e d this a n d , in a final effort, tried to " c o r r e c t " h e r scores for m i s s i n g information
by
adjusting
poorly
documented
t o w a r d t h e g r o u p m e a n s o f 1 3 5 for A i
IQ and
subjects
upward
1 4 5 for A 2 I Q .
T h e s e a d j u s t m e n t s b o o s t e d a v e r a g e I Q ' s substantially, b u t led t o o t h e r e m b a r r a s s m e n t s . F o r u n c o r r e c t e d scores, t h e m o s t e m i n e n t fifty averaged
142 f o r A i I Q , while t h e least e m i n e n t f i f t y s c o r e d
comfortably lower at 133. With corrections, the first fifty scored 160, t h e last f i f t y , 1 6 5 . U l t i m a t e l y , o n l y G o e t h e a n d V o l t a i r e s c o r e d
2l8
T H E
M I S M E A S U R E
O F
M A N
near the top both in IQ and eminence. O n e m i g h t paraphrase V o l taire's f a m o u s q u i p a b o u t G o d
and conclude
that e v e n
though
a d e q u a t e i n f o r m a t i o n o n t h e I Q o f history's e m i n e n t m e n d o e s not exist, it was p r o b a b l y inevitable that t h e A m e r i c a n h e r e d i t a r i a n s w o u l d try to i n v e n t it.
Terman
on
group
differences
T e r m a n ' s e m p i r i c a l w o r k m e a s u r e d w h a t statisticians call the " w i t h i n - g r o u p v a r i a n c e " o f I Q — t h a t is, t h e d i f f e r e n c e s i n scores within single p o p u l a t i o n s (all c h i l d r e n in a s c h o o l , for e x a m p l e ) . At best, he was able to s h o w that c h i l d r e n testing well or p o o r l y at a y o u n g a g e g e n e r a l l y m a i n t a i n their o r d e r i n g with r e s p e c t t o o t h e r c h i l d r e n a s t h e p o p u l a t i o n g r o w s u p . T e r m a n ascribed
most of
these d i f f e r e n c e s
without
to variation
in b i o l o g i c a l e n d o w m e n t ,
m u c h e v i d e n c e b e y o n d a n assertion that all r i g h t - m i n d e d p e o p l e recognize
the domination of nurture by nature.
hereditarianism
might
offend
our
present
This brand
sensibilities
with
of its
elitism a n d its a c c o m p a n y i n g p r o p o s a l s for institutional c a r e a n d f o r c e d a b s t i n e n c e f r o m b r e e d i n g , b u t it d o e s n o t , by itself, entail t h e m o r e c o n t e n t i o u s claim for i n n a t e d i f f e r e n c e s b e t w e e n g r o u p s . T e r m a n m a d e this invalid e x t r a p o l a t i o n , a s virtually all h e r e d i tarians d i d a n d still d o . H e t h e n c o m p o u n d e d his e r r o r b y c o n f u s i n g the g e n e s i s o f t r u e p a t h o l o g i e s with causes
for v a r i a t i o n i n
n o r m a l b e h a v i o r . W e k n o w , f o r e x a m p l e , that t h e m e n t a l r e t a r d a tion associated with D o w n ' s s y n d r o m e has its o r i g i n in a specific g e n e t i c d e f e c t (an e x t r a c h r o m o s o m e ) . a t t r i b u t e t h e low
But we cannot therefore
I Q of many apparently normal children to an
i n n a t e b i o l o g y . We m i g h t as well claim that all o v e r w e i g h t p e o p l e can't h e l p i t b e c a u s e s o m e v e r y o b e s e i n d i v i d u a l s can trace their c o n d i t i o n t o h o r m o n a l i m b a l a n c e s . T e r m a n ' s d a t a o n t h e stability o f o r d e r i n g i n I Q within g r o u p s o f g r o w i n g c h i l d r e n relied largely u p o n t h e persistently low I Q o f biologically afflicted i n d i v i d u a l s , d e s p i t e T e r m a n ' s a t t e m p t t o b r i n g all scores u n d e r the u m b r e l l a o f a n o r m a l c u r v e ( 1 9 1 6 , p p . 6 5 - 6 7 ) , a n d t h u s t o s u g g e s t that all variation has a c o m m o n r o o t in the possession of m o r e or less of a single s u b s t a n c e . In short, it is invalid to e x t r a p o l a t e f r o m variation within a g r o u p to d i f f e r e n c e s b e t w e e n g r o u p s . It is d o u b l y invalid to use t h e i n n a t e b i o l o g y of p a t h o l o g i c a l i n d i v i d u a l s as a basis for a s c r i b i n g n o r m a l v a r i a t i o n within a g r o u p to i n b o r n causes. A t least the I Q h e r e d i t a r i a n s d i d n o t follow their c r a n i o l o g i c a l
T H E
H E R E D I T A R I A N
T H E O R Y
OF
2/9
I Q
f o r e b e a r s i n h a r s h j u d g m e n t s a b o u t w o m e n . Girls d i d n o t score b e l o w boys i n I Q , a n d T e r m a n p r o c l a i m e d their l i m i t e d access t o p r o f e s s i o n s b o t h unjust a n d wasteful o f intellectual talent ( 1 9 1 6 , p . 72;
1 9 1 9 , p . 288). H e n o t e d , a s s u m i n g that I Q s h o u l d e a r n its m o n -
etary r e w a r d , t h a t w o m e n s c o r i n g b e t w e e n
100 a n d
120 generally
e a r n e d , a s t e a c h e r s o r " h i g h - g r a d e s t e n o g r a p h e r s , " w h a t m e n with an IQ of 85 received as motormen, firemen, or policemen ( 1 9 1 9 , p. 278). B u t T e r m a n t o o k t h e h e r e d i t a r i a n line o n r a c e a n d class a n d p r o c l a i m e d its v a l i d a t i o n as a p r i m a r y a i m of his w o r k . In e n d i n g his c h a p t e r o n t h e uses o f I Q ( 1 9 1 6 , p p .
19-20), T e r m a n posed
three questions: Is the place of the so-called lower classes in the social a n d industrial scale the result of their inferior native e n d o w m e n t , or is their apparent inferiority merely a result of their inferior h o m e and school training? Is genius m o r e c o m m o n a m o n g children o f the educated classes than a m o n g the children of the ignorant and poor? A r e t h e inferior races really inferior, or are they merely u n f o r t u n a t e in their lack of opportunity to learn? D e s p i t e a p o o r c o r r e l a t i o n o f 0.4 b e t w e e n social status a n d I Q , Terman
(1917)
advanced
five
major
reasons
for
claiming
that
" e n v i r o n m e n t is m u c h less i m p o r t a n t t h a n is o r i g i n a l e n d o w m e n t i n d e t e r m i n i n g t h e n a t u r e o f t h e traits i n q u e s t i o n " (p. 9 1 ) . T h e f i r s t t h r e e , b a s e d o n a d d i t i o n a l c o r r e l a t i o n s , a d d n o e v i d e n c e for i n n a t e causes. T e r m a n c a l c u l a t e d : social
status
between
and
social
teachers'
status
and
1) a c o r r e l a t i o n of 0.55 b e t w e e n
assessments school
work;
of i n t e l l i g e n c e ; and
3)
a
2)
lower,
0.47 but
u n s t a t e d , * c o r r e l a t i o n b e t w e e n " a g e - g r a d e p r o g r e s s " a n d social status. Since all five p r o p e r t i e s — I Q , social status, teacher's assessm e n t , school w o r k , a n d a g e - g r a d e p r o g r e s s — m a y b e r e d u n d a n t measures of the same c o m p l e x and u n k n o w n causes, the correlation b e t w e e n a n y a d d i t i o n a l p a i r a d d s little to t h e basic result of 0.4 b e t w e e n I Q a n d social status. I f t h e 0.4 c o r r e l a t i o n offers n o evid e n c e for i n n a t e causes, t h e n the a d d i t i o n a l correlations d o n o t either. T h e fourth argument, recognized as weak by T e r m a n himself *It is annoyingly characteristic of Terman's work that he cites correlations when fhey are high and favorable, but does not give the actual figures when they are low but still favorable to his hypothesis. This ploy abounds in Cox's study of posthumous genius and in Terman's analysis of IQ among professions, both discussed previ-
220
T H E
M I S M E A S U R E
O F
MAN
( 1 9 1 6 , p . 98), c o n f u s e s p r o b a b l e p a t h o l o g y with n o r m a l variation a n d is t h e r e f o r e i r r e l e v a n t , as d i s c u s s e d a b o v e : f e e b l e - m i n d e d child r e n are occasionally b o r n to rich or to intellectually successful parents. T h e f i f t h a r g u m e n t reveals t h e s t r e n g t h o f T e r m a n ' s h e r e d i t a r ian c o n v i c t i o n s a n d his r e m a r k a b l e insensitivity to the influence of environment. T e r m a n measured the I Q of twenty children in a C a l i f o r n i a o r p h a n a g e . O n l y t h r e e w e r e "fully n o r m a l , " while seve n t e e n r a n g e d f r o m 7 5 t o 9 5 . T h e low scores c a n n o t b e attributed t o life w i t h o u t p a r e n t s , T e r m a n a r g u e s , b e c a u s e (p. 99):
T h e o r p h a n a g e in question is a reasonably good o n e and affords an environment which is about as stimulating to normal mental development as average h o m e life a m o n g the middle classes. T h e children live in the orphanage and attend an excellent public school in a California village. L o w scores m u s t reflect the b i o l o g y o f c h i l d r e n c o m m i t t e d t o such institutions:
S o m e of the tests which have been made in such institutions indicate that mental subnormality of both high and moderate grades is extremely frequent a m o n g children who are placed in these h o m e s . Most, though admittedly not all of these, are children of inferior social classes (p. 99). T e r m a n offers n o direct e v i d e n c e a b o u t t h e lives o f his t w e n t y child r e n b e y o n d the fact o f their institutional p l a c e m e n t . H e i s n o t e v e n certain that t h e y all c a m e f r o m " i n f e r i o r social classes." S u r e l y , the m o s t p a r s i m o n i o u s a s s u m p t i o n w o u l d relate low I Q scores t o the o n e i n c o n t e s t a b l e a n d c o m m o n fact a b o u t t h e c h i l d r e n — t h e i r life in t h e o r p h a n a g e itself. Terman
moved
easily f r o m
individuals,
t o social classes,
to
races. D i s t r e s s e d b y t h e f r e q u e n c y o f I Q scores b e t w e e n 7 0 a n d 80,
he lamented (1916, pp. 91-92):
A m o n g laboring men and servant girls there are thousands like them. . . . T h e tests have told the truth. T h e s e boys are ineducable beyond the merest rudiments of training. No amount of school instruction will ever make them intelligent voters or capable citizens. . . . T h e y represent the level of intelligence which is very, very c o m m o n a m o n g Spanish-Indian and Mexican families of the Southwest and also a m o n g negroes. Their dullness seems to be racial, or at least inherent in the family stocks from which they came. T h e fact that o n e meets this type with such extraordinary frequency a m o n g Indians, Mexicans, and negroes suggests quite forcibly
E
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that the whole question of racial differences in mental traits will have to be taken up anew and by experimental m e t h o d s . T h e writer predicts that when this is d o n e there will be discovered enormously significant racial differences in general intelligence, differences which cannot be wiped out by any scheme of mental culture. Children of this g r o u p should be segregated in special classes and be given instruction which is concrete and practical. T h e y cannot master abstractions, but they can often be macfe efficient workers, able to look out for themselves. T h e r e is no possibility at present of convincing society that they should not be allowed to reproduce, although from a eugenic point of view they constitute a grave problem because of their unusually prolific breeding. T e r m a n s e n s e d t h a t his a r g u m e n t s for i n n a t e n e s s w e r e w e a k . Yet w h a t d i d i t m a t t e r ? D o w e n e e d t o p r o v e w h a t c o m m o n sense proclaims so clearly?
After all, does not c o m m o n observation teach us that, in the main, native qualities of intellect and character, rather than chance, d e t e r m i n e the social class to which a family belongs? From what is already known about heredity, should we not naturally expect to find the children of well-to-do, cultured, and successful parents better e n d o w e d than the children w h o have been reared in slums and poverty? An affirmative answer to the above question is suggested by nearly all the available scientific evidence (1917, p. 99). W h o s e c o m m o n sense?
Terman
recants
T e r m a n ' s b o o k o n the S t a n f o r d - B i n e t revision o f 1 9 3 7 was s o different from the original v o l u m e of 1 9 1 6 that c o m m o n authorship s e e m s a t f i r s t i m p r o b a b l e . B u t t h e n times h a d c h a n g e d a n d intellectual f a s h i o n s o f j i n g o i s m a n d e u g e n i c s h a d b e e n s w a m p e d in the morass of a Great Depression. In
1 9 1 6 T e r m a n had fixed
adult mental a g e at sixteen because he couldn't get a r a n d o m sample o f o l d e r s c h o o l b o y s for testing. I n
1 9 3 7 h e c o u l d e x t e n d his
scale to a g e e i g h t e e n ; for " t h e task was facilitated by t h e e x t r e m e l y u n f a v o r a b l e e m p l o y m e n t situation a t t h e t i m e t h e tests w e r e m a d e , which o p e r a t e d to reduce considerably the school elimination norm a l l y o c c u r r i n g after f o u r t e e n " ( 1 9 3 7 , p . 30). T e r m a n d i d n o t e x p l i c i t y abjure his p r e v i o u s c o n c l u s i o n s , b u t a veil o f silence d e s c e n d e d u p o n t h e m . N o t a w o r d b e y o n d a few statements of caution do we hear a b o u t heredity. All potential rea-
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sons for d i f f e r e n c e s b e t w e e n g r o u p s a r e f r a m e d i n e n v i r o n m e n t a l t e r m s . T e r m a n p r e s e n t s his o l d c u r v e s f o r a v e r a g e d i f f e r e n c e s i n I Q b e t w e e n social classes, b u t h e w a r n s u s t h a t m e a n d i f f e r e n c e s a r e too small t o p r o v i d e a n y p r e d i c t i v e i n f o r m a t i o n for i n d i v i d u a l s . W e also d o n o t
know how
to
partition
the average differences
b e t w e e n g e n e t i c a n d e n v i r o n m e n t a l influences:
It is hardly necessary to stress the fact that these figures refer to mean values only, and that in view of the variability of the IQ within each group the respective distributions greatly overlap o n e another. N o r should it be necessary to point out that such data do not, in themselves, offer any conclusive evidence of the relative contributions of genetic and environmental factors in determining the mean differences observed. A f e w p a g e s later, T e r m a n discusses the d i f f e r e n c e s b e t w e e n rural a n d u r b a n c h i l d r e n , n o t i n g t h e l o w e r c o u n t r y scores a n d t h e curious finding
t h a t rural
I Q d r o p s w i t h a g e after e n t r a n c e t o
school, w h i l e I Q f o r u r b a n c h i l d r e n o f semiskilled a n d u n s k i l l e d w o r k e r s rises. H e e x p r e s s e s n o f i r m o p i n i o n , b u t n o t e t h a t t h e o n l y h y p o t h e s e s h e wishes t o test a r e n o w e n v i r o n m e n t a l :
It would require extensive research, carefully planned for the purpose, to determine whether the lowered IQ of rural children can be ascribed to the relatively poorer educational facilities in rural communities, and whether the gain for children from the lower economic strata can be attributed to an assumed enrichment of intellectual environment that school attendance bestows. Autres temps, autres moeurs.
R. M. Yerkes and the Army Mental Tests: IQ comes of age Psychology's
great
leap forward
R o b e r t M . Y e r k e s , a b o u t t o t u r n forty, was a f r u s t r a t e d m a n i n 1915.
H e h a d b e e n o n t h e faculty o f H a r v a r d
U n i v e r s i t y since
1 9 0 2 . H e was a s u p e r b o r g a n i z e r , a n d a n e l o q u e n t p r o m o t o r o f his p r o f e s s i o n . Y e t p s y c h o l o g y still w a l l o w e d in its r e p u t a t i o n as a "soft" science, if a science at all. S o m e c o l l e g e s d i d n o t acknowle d g e its e x i s t e n c e ; o t h e r s r a n k e d i t a m o n g t h e h u m a n i t i e s and p l a c e d p s y c h o l o g i s t s i n d e p a r t m e n t s o f p h i l o s o p h y . Y e r k e s wished, a b o v e all, to establish his p r o f e s s i o n by p r o v i n g that it c o u l d be as
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r i g o r o u s a science as physics. Y e r k e s a n d m o s t of his c o n t e m p o r aries e q u a t e d r i g o r a n d science with n u m b e r s a n d quantification. The
most
promising source
of copious
and
objective
numbers,
Y e r k e s b e l i e v e d , lay i n t h e e m b r y o n i c f i e l d o f m e n t a l testing. Psyc h o l o g y w o u l d c o m e o f a g e , a n d g a i n a c c e p t a n c e a s a t r u e science w o r t h y o f f i n a n c i a l a n d institutional s u p p o r t , i f i t c o u l d b r i n g t h e q u e s t i o n o f h u m a n p o t e n t i a l u n d e r t h e u m b r e l l a o f science: Most of us are wholly convinced that the future of m a n k i n d d e p e n d s in no small measure u p o n the d e v e l o p m e n t of the various biological and social sciences. . . . We must . . . strive increasingly for the i m p r o v e m e n t of our m e t h o d s of mental m e a s u r e m e n t , for there is no l o n g e r g r o u n d for doubt c o n c e r n i n g the practical as well as the theoretical importance of studies of h u m a n behavior. We must learn to m e a s u r e skillfully every form and aspect of behavior which has psychological and sociological significance (Yerkes, 1917a, p. 1 1 1 ) . B u t m e n t a l t e s t i n g s u f f e r e d f r o m i n a d e q u a t e s u p p o r t a n d its o w n i n t e r n a l c o n t r a d i c t i o n s . I t was, f i r s t o f all, p r a c t i c e d e x t e n s i v e l y b y p o o r l y t r a i n e d a m a t e u r s w h o s e m a n i f e s t l y a b s u r d results w e r e g i v i n g the e n t e r p r i s e a b a d n a m e . I n 1 9 1 5 , a t the a n n u a l m e e t i n g of t h e A m e r i c a n
Psychological
Association
in
Chicago,
a
critic
r e p o r t e d that t h e m a y o r o f C h i c a g o h i m s e l f h a d tested a s a m o r o n o n o n e v e r s i o n o f t h e B i n e t scales. Y e r k e s j o i n e d with critics i n discussions a t t h e m e e t i n g a n d p r o c l a i m e d : " W e a r e b u i l d i n g u p a science, b u t w e h a v e n o t yet d e v i s e d a m e c h a n i s m w h i c h a n y o n e can o p e r a t e " ( q u o t e d i n C h a s e , 1 9 7 7 , p . 242). S e c o n d , a v a i l a b l e scales g a v e m a r k e d l y d i f f e r e n t results e v e n w h e n p r o p e r l y a p p l i e d . A s discussed o n p . 1 6 6 , h a l f t h e i n d i v i d u a l s w h o tested i n t h e low, b u t n o r m a l r a n g e o n t h e S t a n f o r d - B i n e t , were m o r o n s o n G o d d a r d ' s v e r s i o n o f t h e B i n e t scale. Finally, s u p port h a d b e e n t o o i n a d e q u a t e , a n d c o o r d i n a t i o n t o o s p o r a d i c , t o build u p a p o o l o f d a t a sufficiently c o p i o u s a n d u n i f o r m t o c o m p e l belief ( Y e r k e s , 1 9 1 7 b ) . Wars
always
generate
their
retinue
of c a m p
followers
with
ulterior m o t i v e s . M a n y a r e s i m p l y s c o u n d r e l s a n d profiteers, b u t a few are s p u r r e d b y h i g h e r ideals. A s m o b i l i z a t i o n f o r W o r l d W a r I a p p r o a c h e d , Y e r k e s g o t o n e o f t h o s e " b i g i d e a s " that p r o p e l t h e history o f science: c o u l d p s y c h o l o g i s t s possibly p e r s u a d e t h e a r m y to test all its recruits? If so, t h e p h i l o s o p h e r ' s stone of p s y c h o l o g y m i
g h t b e constructed: the copious, useful, a n d u n i f o r m body o f
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n u m b e r s that w o u l d fuel a transition f r o m d u b i o u s art to r e s p e c t e d science. Y e r k e s p r o s e l y t i z e d within his p r o f e s s i o n a n d w i t h i n g o v e r n m e n t circles, a n d h e w o n his p o i n t . A s C o l o n e l Y e r k e s , h e p r e sided
over
the
administration
of
mental
tests
to
1.75
million
recruits d u r i n g W o r l d W a r I . A f t e r w a r d , h e p r o c l a i m e d t h a t m e n tal testing " h e l p e d t o w i n the w a r . " " A t t h e s a m e t i m e , " h e a d d e d , "it has i n c i d e n t a l l y e s t a b l i s h e d itself a m o n g the o t h e r sciences a n d d e m o n s t r a t e d its r i g h t t o serious c o n s i d e r a t i o n i n h u m a n e n g i n e e r ing" (quoted in Kevles, 1968, p. 581). Y e r k e s b r o u g h t t o g e t h e r all the m a j o r h e r e d i t a r i a n s o f A m e r i c a n p s y c h o m e t r i c s t o write t h e a r m y m e n t a l tests. F r o m M a y t o J u l y 1 9 1 7 h e w o r k e d with T e r m a n , G o d d a r d , a n d o t h e r c o l l e a g u e s a t G o d d a r d ' s T r a i n i n g School in Vineland, N e w Jersey. T h e i r s c h e m e i n c l u d e d t h r e e t y p e s o f tests.
L i t e r a t e recruits
w o u l d b e g i v e n a w r i t t e n e x a m i n a t i o n , called t h e A r m y A l p h a . Illiterates a n d m e n w h o h a d failed A l p h a w o u l d b e g i v e n a pictorial test, called the A r m y B e t a . Failures i n B e t a w o u l d b e r e c a l l e d f o r a n i n d i v i d u a l e x a m i n a t i o n , usually s o m e v e r s i o n o f t h e B i n e t scales. A r m y p s y c h o l o g i s t s w o u l d t h e n g r a d e e a c h m a n f r o m A t o E (with plusses
a n d minuses)
placement.
Yerkes
and offer suggestions
suggested
that
recruits
for p r o p e r military with
a
score
of C—
s h o u l d b e m a r k e d a s "low a v e r a g e i n t e l l i g e n c e — o r d i n a r y p r i v a t e . " M e n o f g r a d e D a r e " r a r e l y suited for tasks r e q u i r i n g special skill, f o r e t h o u g h t , r e s o u r c e f u l n e s s or s u s t a i n e d a l e r t n e s s . " D a n d E m e n c o u l d n o t b e e x p e c t e d "to r e a d a n d u n d e r s t a n d written d i r e c t i o n s . " I d o n o t t h i n k that t h e a r m y e v e r m a d e m u c h u s e o f t h e tests. O n e can well i m a g i n e h o w p r o f e s s i o n a l officers felt a b o u t s m a r t assed y o u n g p s y c h o l o g i s t s w h o a r r i v e d w i t h o u t i n v i t a t i o n , o f t e n a s s u m e d a n officer's r a n k w i t h o u t u n d e r g o i n g basic t r a i n i n g , c o m m a n d e e r e d a b u i l d i n g to g i v e t h e tests (if t h e y c o u l d ) , saw e a c h r e c r u i t for a n h o u r i n a l a r g e g r o u p , a n d t h e n p r o c e e d e d t o u s u r p a n officer's t r a d i t i o n a l role i n j u d g i n g t h e w o r t h i n e s s o f m e n for v a r i o u s military tasks. Y e r k e s ' s c o r p s e n c o u n t e r e d hosdlity i n s o m e c a m p s ; i n o t h e r s , t h e y s u f f e r e d a p e n a l t y i n m a n y ways m o r e p a i n ful:
they
were
treated
politely, g i v e n
a p p r o p r i a t e facilities, a n d
t h e n i g n o r e d . * S o m e a r m y officials b e c a m e suspicious o f Y e r k e s ' s
•Yerkes continued to complain throughout his career that military psychology had not achieved its due respect, despite its accomplishments in World War I. During World War II the aging Yerkes was still grousing and arguing that the Nazis were
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intent and l a u n c h e d three i n d e p e n d e n t investigations of the testing p r o g r a m . O n e c o n c l u d e d that i t s h o u l d b e c o n t r o l l e d s o t h a t " n o theorist m a y .
.
. r i d e it as a h o b b y for t h e p u r p o s e of o b t a i n i n g
d a t a for r e s e a r c h w o r k a n d t h e f u t u r e benefit o f t h e h u m a n r a c e " (quoted in Kevles, 1968, p. 577). Still, t h e tests d i d h a v e a s t r o n g i m p a c t in s o m e areas, p a r t i c u larly i n s c r e e n i n g m e n for officer t r a i n i n g . A t t h e start o f t h e w a r , t h e a r m y a n d n a t i o n a l g u a r d m a i n t a i n e d n i n e t h o u s a n d officers. B y t h e e n d , t w o h u n d r e d t h o u s a n d officers p r e s i d e d , a n d t w o thirds o f t h e m h a d started their c a r e e r s i n t r a i n i n g c a m p s w h e r e t h e tests w e r e a p p l i e d . I n s o m e c a m p s , n o m a n s c o r i n g b e l o w C c o u l d b e c o n s i d e r e d for officer t r a i n i n g . B u t t h e m a j o r i m p a c t o f Y e r k e s ' s tests d i d n o t fall u p o n t h e a r m y . Y e r k e s m a y n o t h a v e b r o u g h t t h e a r m y its victory, b u t h e certainly w o n his battle. H e n o w h a d u n i f o r m d a t a o n 1.75 million m e n , and he h a d devised, in the A l p h a and Beta exams, the first m a s s - p r o d u c e d w r i t t e n tests o f i n t e l l i g e n c e .
Inquiries flooded in
f r o m schools a n d businesses. I n his massive m o n o g r a p h ( Y e r k e s , 1921)
on Psychological Examining in the
United States Army,
Yerkes
b u r i e d a s t a t e m e n t o f g r e a t social significance i n a n aside o n p a g e 96. H e s p o k e o f " t h e s t e a d y s t r e a m o f requests f r o m c o m m e r c i a l c o n c e r n s , e d u c a t i o n a l institutions, a n d i n d i v i d u a l s f o r t h e u s e o f a r m y m e t h o d s o f p s y c h o l o g i c a l e x a m i n i n g o r for t h e a d a p t a t i o n o f such m e t h o d s t o special n e e d s . " Binet's p u r p o s e c o u l d n o w b e circ u m v e n t e d b e c a u s e a t e c h n o l o g y h a d b e e n d e v e l o p e d for testing all p u p i l s . T e s t s c o u l d n o w r a n k a n d s t r e a m e v e r y b o d y ; t h e e r a o f mass testing h a d b e g u n .
Results
of the army
tests
T h e p r i m a r y i m p a c t o f t h e tests a r o s e n o t f r o m t h e a r m y ' s lackadaisical u s e o f scores f o r i n d i v i d u a l s , b u t f r o m g e n e r a l p r o p a g a n d a that a c c o m p a n i e d Y e r k e s ' s r e p o r t o f t h e s u m m a r y statistics ( Y e r k e s , 1 9 2 1 , p p . 5 5 3 - 8 7 5 ) . E . G . B o r i n g , later a f a m o u s p s y c h o l upstaging America in their proper use and encouragement of mental testing for military personnel. "Germany has a long lead in the development of military psychology. . . . The Nazis have achieved something that is entirely without parallel in military history. . . . What has happened in Germany is the logical sequel to the psychological and personnel services in our own Army during 1917-1918" (Yerkes, • 9 4 . p- 209). 1
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o g i s t h i m s e l f b u t t h e n Y e r k e s ' s l i e u t e n a n t (and t h e a r m y ' s c a p t a i n ) , s e l e c t e d o n e h u n d r e d sixty t h o u s a n d cases f r o m t h e f i l e s a n d p r o d u c e d d a t a that r e v e r b e r a t e d t h r o u g h t h e 1920s with a h a r d h e r e d i t a r i a n r i n g . T h e task was a f o r m i d a b l e o n e . T h e s a m p l e , w h i c h B o r i n g c u l l e d h i m s e l f with t h e aid o f o n l y o n e assistant, was v e r y large;
m o r e o v e r , t h e scales o f t h r e e d i f f e r e n t tests ( A l p h a , B e t a ,
a n d i n d i v i d u a l ) h a d t o b e c o n v e r t e d t o a c o m m o n s t a n d a r d s o that racial a n d n a t i o n a l a v e r a g e s c o u l d b e c o n s t r u c t e d f r o m s a m p l e s o f m e n w h o h a d t a k e n t h e tests i n d i f f e r e n t p r o p o r t i o n s (few blacks t o o k A l p h a , for e x a m p l e ) . F r o m B o r i n g ' s o c e a n o f n u m b e r s , t h r e e "facts" rose t o t h e t o p a n d c o n t i n u e d t o i n f l u e n c e social policy i n A m e r i c a l o n g after their s o u r c e i n t h e tests h a d b e e n f o r g o t t e n . 1. T h e a v e r a g e m e n t a l a g e o f w h i t e A m e r i c a n adults stood j u s t above the e d g e of moronity at a shocking and m e a g e r thirteen. T e r m a n h a d p r e v i o u s l y set t h e s t a n d a r d a t sixteen. T h e n e w f i g u r e b e c a m e a r a l l y i n g p o i n t f o r eugenicists w h o p r e d i c t e d d o o m a n d lamented our declining intelligence, caused by the unconstrained breeding
o f the
poor and
feeble-minded,
the spread
of Negro
b l o o d t h r o u g h m i s c e g e n a t i o n , a n d t h e s w a m p i n g o f a n intelligent native
stock b y t h e i m m i g r a t i n g d r e g s
o f s o u t h e r n a n d eastern
E u r o p e . Y e r k e s * wrote: It is customary to say that the mental age of the average adult is about 16 years. T h i s figure is based, h o w e v e r , u p o n examinations of only 62 persons; 32 of t h e m high-school pupils f r o m 16-20 years of age, a n d 30 of them "business m e n of m o d e r a t e success a n d of very limited educational advantages." T h e g r o u p is too small to give very reliable results and is f u r t h e r m o r e probably not typical. . . . It appears that the intelligence of the principal sample of the white draft, w h e n transmuted from Alpha and Beta e x a m s into terms of mental age, is about 13 years (13.08) (1921, p. 785)Y e t , e v e n a s h e w r o t e , Y e r k e s b e g a n t o sense t h e logical a b s u r d i t y of such a s t a t e m e n t . An a v e r a g e is w h a t it is; it c a n n o t lie t h r e e years b e l o w w h a t i t s h o u l d b e . S o Y e r k e s t h o u g h t a g a i n a n d a d d e d : We can hardly say, h o w e v e r , with assurance that these recruits are three years mental a g e below the average. I n d e e d , it might be a r g u e d on *I doubt that Yerkes wrote all parts of the massive 1921 monograph himself. But he is listed as the only author of this official report, and I shall continue to attribute its statements to him, both as shorthand and for want of other information.
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extrinsic g r o u n d s that the draft itself is m o r e representative of the average intelligence of the country than is a g r o u p of high-school students a n d business m e n ( 1 9 2 1 , p. 785). I f 13.08 i s t h e w h i t e a v e r a g e , a n d e v e r y o n e f r o m m e n t a l a g e 8 t h r o u g h 12 is a m o r o n , t h e n we a r e a n a t i o n of n e a r l y h a l f - m o r o n s . Y e r k e s c o n c l u d e d ( 1 9 2 1 , p . 7 9 1 ) : "It w o u l d b e totally i m p o s s i b l e t o e x c l u d e all m o r o n s as that t e r m is at p r e s e n t d e f i n e d , for t h e r e a r e u n d e r 13 years 37 percent of whites and 89 percent of negroes." 2. E u r o p e a n i m m i g r a n t s c a n b e g r a d e d b y their c o u n t r y o f origin. T h e a v e r a g e m a n of m a n y nations is a m o r o n . T h e darker p e o p l e s o f s o u t h e r n E u r o p e a n d t h e Slavs o f e a s t e r n E u r o p e are less
intelligent
than
the
fair
peoples
of western
and
northern
E u r o p e . N o r d i c supremacy is not a jingoistic prejudice. T h e avera g e Russian has a mental a g e of 1 1 . 3 4 ; the Italian, 1 1 . 0 1 ; the Pole, 1 0 . 7 4 . T h e Polish j o k e a t t a i n e d t h e s a m e l e g i t i m a c y a s the m o r o n j o k e — i n d e e d , they described the same animal. 3 . T h e N e g r o lies a t t h e b o t t o m o f t h e scale with a n a v e r a g e m e n t a l a g e o f 1 0 . 4 1 . S o m e c a m p s tried t o carry t h e analysis a bit f u r t h e r , a n d i n o b v i o u s racist d i r e c t i o n s . A t C a m p L e e , blacks w e r e d i v i d e d i n t o t h r e e g r o u p s b a s e d u p o n intensity o f color; t h e l i g h t e r g r o u p s s c o r e d h i g h e r (p. 5 3 1 ) . Y e r k e s r e p o r t e d that t h e o p i n i o n s o f officers m a t c h e d his n u m b e r s (p. 7 4 2 ) ; All officers without e x c e p t i o n a g r e e that the n e g r o lacks initiative, displays little or no leadership, and c a n n o t accept responsibility. S o m e point out that these defects are greater in the s o u t h e r n n e g r o . All officers s e e m further to a g r e e that the n e g r o is a cheerful, willing soldier, naturally subservient. T h e s e qualities make for i m m e d i a t e o b e d i e n c e , although n o t necessarily for g o o d discipline, since petty thieving and venereal disease are c o m m o n e r than with white troops. A l o n g t h e way, Y e r k e s a n d c o m p a n y tested several o t h e r social prejudices. S o m e f a r e d p o o r l y , p a r t i c u l a r l y t h e p o p u l a r e u g e n i c a l notion t h a t m o s t o f f e n d e r s are f e e b l e - m i n d e d . A m o n g c o n s c i e n tious objectors for p o l i d c a l r e a s o n s , 59 p e r c e n t r e c e i v e d a g r a d e of A . E v e n o u t r i g h t disloyals s c o r e d a b o v e t h e a v e r a g e (p. 803). B u t o t h e r results b u o y e d
their p r e j u d i c e s .
As camp
followers t h e m -
selves, Y e r k e s ' s c o r p s d e c i d e d to test a m o r e traditional c a t e g o r y of colleagues:
t h e local prostitutes. T h e y f o u n d t h a t 5 3 p e r c e n t (44
p e r c e n t o f whites a n d 6 8 p e r c e n t o f blacks) r a n k e d a t a g e t e n o r
225
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O F
MAN
b e l o w o n t h e G o d d a r d version o f t h e B i n e t scales. ( T h e y a c k n o w l e d g e that t h e G o d d a r d scales r a n k e d p e o p l e well b e l o w their scores o n o t h e r v e r s i o n s o f t h e B i n e t tests.) Y e r k e s c o n c l u d e d (p. 8 0 8 ) : T h e results of A r m y e x a m i n i n g of prostitutes corroborate the conclusion, attained by civilian examinations of prostitutes in various parts of the country, that from 30 to 60 percent of prostitutes are deficient and are for the most part h i g h - g r a d e m o r o n s ; and that 15 to 25 percent of all prostitutes are so low-grade mentally that it is wise (as well as possible u n d e r the existing laws in most states) permanently to segregate t h e m in institutions for the f e e b l e - m i n d e d . O n e m u s t b e t h a n k f u l for small bits o f h u m o r t o l i g h t e n t h e r e a d i n g o f a n e i g h t - h u n d r e d - p a g e statistical m o n o g r a p h . T h e t h o u g h t o f a r m y p e r s o n n e l r o u n d i n g u p t h e local prostitutes a n d sitting t h e m d o w n t o take the B i n e t tests a m u s e d m e n o e n d , a n d m u s t h a v e b e m u s e d t h e ladies e v e n m o r e . A s p u r e n u m b e r s , t h e s e d a t a carried n o i n h e r e n t social m e s s a g e . T h e y m i g h t h a v e b e e n u s e d t o p r o m o t e equality o f o p p o r t u nity a n d t o u n d e r s c o r e t h e d i s a d v a n t a g e s i m p o s e d u p o n s o m a n y A m e r i c a n s . Y e r k e s m i g h t h a v e a r g u e d that a n a v e r a g e m e n t a l a g e of thirteen reflected t h e fact that relatively few recruits h a d the opportunity to finish or e v e n to attend high school. He m i g h t have a t t r i b u t e d t h e low a v e r a g e o f s o m e n a t i o n a l g r o u p s t o t h e fact that m o s t recruits f r o m t h e s e c o u n t r i e s w e r e r e c e n t i m m i g r a n t s w h o d i d n o t s p e a k E n g l i s h a n d w e r e u n f a m i l i a r with A m e r i c a n c u l t u r e . H e m i g h t h a v e r e c o g n i z e d t h e link b e t w e e n low N e g r o scores a n d the history o f slavery a n d racism. B u t scarcely a w o r d d o w e r e a d t h r o u g h e i g h t h u n d r e d p a g e s o f a n y role for e n v i r o n m e n t a l i n f l u e n c e . T h e tests h a d b e e n written b y a c o m m i t t e e t h a t i n c l u d e d all t h e l e a d i n g A m e r i c a n h e r e d i t a r ians discussed i n this c h a p t e r . T h e y h a d b e e n c o n s t r u c t e d t o m e a sure
innate
intelligence,
and
they
did
so
by
definition.
The
circularity o f a r g u m e n t c o u l d n o t b e b r o k e n . A l l t h e m a j o r f i n d i n g s received
hereditarian interpretations, often
by
n e a r miracles o f
special p l e a d i n g to a r g u e past a p a t e n t e n v i r o n m e n t a l i n f l u e n c e . A circular issued Greenleaf
f r o m t h e S c h o o l o f Military P s y c h o l o g y a t C a m p
proclaimed
(do
pardon
its
questionable
grammar):
" T h e s e tests d o n o t m e a s u r e o c c u p a t i o n a l f i t n e s s n o r e d u c a t i o n a l a t t a i n m e n t ; t h e y m e a s u r e intellectual ability. T h i s latter has b e e n
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T H E O R Y
O F
229
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s h o w n t o b e i m p o r t a n t i n e s t i m a t i n g military v a l u e " (p. 4 2 4 ) . A n d t h e boss h i m s e l f a r g u e d ( Y e r k e s , q u o t e d i n C h a s e , 1 9 7 7 , p . 249): Examinations A l p h a a n d Beta are so constructed and administered as to minimize the h a n d i c a p of m e n w h o because of foreign birth or lack of education are little skilled in the use of English. T h e s e g r o u p examinations were originally i n t e n d e d , and are n o w definitely k n o w n , to m e a s u r e native intellectual ability. T h e y are to s o m e extent influenced by-educational acquirement, but in the main the soldier's inborn intelligence and not t h e accidents of e n v i r o n m e n t d e t e r m i n e s his mental rating or grade in the army.
A
critique
of the Army
Mental
Tests
THE CONTENT OF THE TESTS
T h e A l p h a test i n c l u d e d e i g h t p a r t s , t h e B e t a s e v e n ; e a c h t o o k less t h a n a n h o u r a n d c o u l d b e g i v e n t o l a r g e g r o u p s . M o s t o f t h e A l p h a parts p r e s e n t e d items that h a v e b e c o m e familiar t o g e n e r a tions o f test-takers e v e r since: a n a l o g i e s , f i l l i n g i n t h e n e x t n u m b e r in a s e q u e n c e , u n s c r a m b l i n g s e n t e n c e s , a n d so f o r t h . T h i s similarity i s n o a c c i d e n t ; t h e A r m y A l p h a was t h e g r a n d d a d d y , literally a s well a s f i g u r a t i v e l y , o f all w r i t t e n m e n t a l tests. O n e o f Y e r k e s ' s d i s ciples,
C.
C.
Brigham,
later
became
secretary
of
the
College
E n t r a n c e E x a m i n a t i o n B o a r d a n d d e v e l o p e d t h e Scholastic A p t i t u d e T e s t o n a r m y m o d e l s . I f p e o p l e g e t a p e c u l i a r f e e l i n g o f dejavu in p e r u s i n g Yerkes's m o n o g r a p h , I suggest that they think back to their o w n C o l l e g e B o a r d s , with all its a t t e n d a n t a n x i e t y . T h e s e familiar parts a r e n o t especially subject t o c h a r g e s o f cultural bias, a t least n o m o r e s o t h a n their m o d e r n d e s c e n d a n t s . I n a g e n e r a l w a y , o f c o u r s e , t h e y test literacy, a n d literacy r e c o r d s e d u cation m o r e t h a n i n h e r i t e d i n t e l l i g e n c e . M o r e o v e r , a s c h o o l m a s ter's
claim
that
he
tests
children
of the
same
age
and
school
experience, a n d therefore m a y be r e c o r d i n g s o m e internal biology, didn't a p p l y t o t h e a r m y r e c r u i t s — f o r t h e y v a r i e d g r e a t l y i n access t o e d u c a t i o n a n d r e c o r d e d d i f f e r e n t a m o u n t s o f s c h o o l i n g i n their scores. A few of t h e items a r e a m u s i n g in t h e light of Y e r k e s ' s assertion that t h e tests " m e a s u r e n a t i v e intellectual ability." C o n s i d e r t h e A l p h a a n a l o g y : " W a s h i n g t o n is to A d a m s as first is to. . . ." B u t o n e p a r t of e a c h test is s i m p l y l u d i c r o u s in t h e l i g h t of Yerkes's analysis. H o w c o u l d Y e r k e s a n d c o m p a n y a t t r i b u t e t h e low
2
3
T H E
0
M I S M E A S U R E
O F
MAN
scores o f r e c e n t i m m i g r a n t s t o i n n a t e s t u p i d i t y w h e n their m u l u p l e - c h o i c e test c o n s i s t e d entirely o f q u e s t i o n s like: Crisco is a: patent m e d i c i n e , disinfectant, toothpaste, food product T h e n u m b e r of a Kaffir's legs is: 2, 4, 6, 8 Christy Mathewson is famous as a: writer, artist, baseball player, c o m e dian I g o t t h e last o n e , b u t m y i n t e l l i g e n t b r o t h e r , w h o , t o m y distress, g r e w u p i n N e w Y o r k utterly oblivious t o t h e h e r o i c s o f t h r e e g r e a t baseball t e a m s t h e n r e s i d e n t , d i d not. Y e r k e s m i g h t h a v e r e s p o n d e d that r e c e n t i m m i g r a n t s g e n e r a l l y t o o k B e t a r a t h e r t h a n A l p h a , b u t B e t a c o n t a i n s a pictorial v e r s i o n of the same theme.
I n this c o m p l e t e - a - p i c t u r e test, early items
m i g h t be d e f e n d e d as sufficiently u n i v e r s a l : a d d i n g a m o u t h to a f a c e or an e a r to a rabbit. B u t later items r e q u i r e d a rivet in a p o c k e t k n i f e , a f i l a m e n t in a l i g h t b u l b , a h o r n on a p h o n o g r a p h , a n e t on a tennis c o u r t , a n d a ball in a bowler's h a n d ( m a r k e d w r o n g , Y e r k e s e x p l a i n e d , i f a n e x a m i n e e d r e w t h e ball i n t h e alley, for y o u c a n tell f r o m t h e bowler's p o s t u r e t h a t h e has n o t y e t r e l e a s e d t h e ball). F r a n z B o a s , an early critic, told t h e tale of a Sicilian recruit w h o a d d e d a crucifix w h e r e it always a p p e a r e d in his n a t i v e l a n d to a h o u s e w i t h o u t a c h i m n e y . H e was m a r k e d w r o n g . T h e tests w e r e strictly t i m e d , for t h e n e x t fifty w e r e w a i t i n g b y t h e d o o r . R e c r u i t s w e r e n o t e x p e c t e d t o finish e a c h part; this was e x p l a i n e d t o the A l p h a m e n , b u t n o t t o B e t a p e o p l e . Y e r k e s w o n d e r e d w h y s o m a n y recruits s c o r e d flat z e r o o n s o m a n y o f t h e parts (the m o s t telling p r o o f o f t h e tests' w o r t h l e s s n e s s — s e e p p . 2 4 4 247).
H o w m a n y of us, if nervous, uncomfortable, a n d c r o w d e d
( a n d e v e n i f n o t ) , w o u l d h a v e u n d e r s t o o d e n o u g h t o write a n y t h i n g a t all i n t h e ten s e c o n d s allotted for c o m p l e t i n g t h e f o l l o w i n g c o m m a n d s , e a c h g i v e n b u t o n c e i n A l p h a , Part 1? Attention! Look at 4. W h e n I say "go" m a k e a figure 1 in the space which is in the circle but not in the triangle or square, and also make a figure 2 in the space which is in the triangle a n d circle, but not in the square. G o . Attention! Look at 6. W h e n I say "go" put in the s e c o n d circle t h e right answer to t h e question: "How many m o n t h s has a year?" In the third circle do n o t h i n g , but in the fourth circle put any n u m b e r that is a w r o n g answer to the question that y o u have just answered correctly. Go.
T H E
H E R E D I T A R I A N
INADEQUATE
T H E O R Y
O F
I Q
CONDITIONS
Y e r k e s ' s p r o t o c o l was r i g o r o u s a n d t r y i n g e n o u g h . H i s e x a m iners h a d t o p r o c e s s m e n r a p i d l y a n d g r a d e t h e e x a m s i m m e d i ately, so that failures c o u l d be recalled f o r a d i f f e r e n t test. W h e n f a c e d with t h e a d d e d b u r d e n o f thinly v e i l e d hostility f r o m t h e brass at several c a m p s , Y e r k e s ' s testers w e r e rarely able to carry o u t m o r e t h a n a c a r i c a t u r e o f their o w n stated p r o c e d u r e . T h e y c o n t i n ually c o m p r o m i s e d , b a c k t r a c k e d , a n d a l t e r e d i n t h e face o f n e c e s sity. P r o c e d u r e s v a r i e d s o m u c h f r o m c a m p t o c a m p that results could
scarcely
be
collated
and
compared.
The
whole
effort,
t h r o u g h n o fault o f Y e r k e s ' s b e y o n d impracticality a n d o v e r a m b i tion, b e c a m e s o m e t h i n g o f a s h a m b l e s , i f n o t a d i s g r a c e . T h e details are all i n Y e r k e s ' s m o n o g r a p h , b u t h a r d l y a n y o n e e v e r r e a d it. T h e s u m m a r y statisdcs b e c a m e a n i m p o r t a n t social w e a p o n for racists a n d e u g e n i c i s t s ; their r o t t e n c o r e lay e x p o s e d i n t h e m o n o g r a p h , b u t w h o looks w i t h i n w h e n t h e s u r f a c e shines with s u c h a c o n g e n i a l message. T h e a r m y m a n d a t e d that special b u i l d i n g s b e s u p p l i e d o r e v e n c o n s t r u c t e d for Y e r k e s ' s e x a m i n a t i o n s , b u t a d i f f e r e n t reality p r e vailed ( 1 9 2 1 , p . 6 1 ) . T h e e x a m i n e r s h a d t o t a k e w h a t t h e y c o u l d get, o f t e n r o o m s i n c r a m p e d b a r r a c k s with n o f u r n i s h i n g s a t all, a n d i n a d e q u a t e acoustics, i l l u m i n a t i o n , a n d
lines o f sight.
The
chief tester a t o n e c a m p c o m p l a i n e d (p. 106): " P a r t o f this i n a c c u racy I believe to be d u e to t h e fact that t h e r o o m in w h i c h t h e e x a m i n a t i o n is h e l d is filled t o o full of m e n . As a result, t h e m e n w h o are sitting i n t h e rear o f t h e r o o m a r e u n a b l e t o h e a r clearly and t h o r o u g h l y e n o u g h t o u n d e r s t a n d t h e instructions." T e n s i o n s rose b e t w e e n Y e r k e s ' s testers a n d T h e c h i e f tester o f C a m p C u s t e r c o m p l a i n e d (p.
r e g u l a r officers. 111): " T h e igno-
rance o f t h e subject o n t h e p a r t o f t h e a v e r a g e officer i s e q u a l l e d only b y his i n d i f f e r e n c e t o it." Y e r k e s u r g e d restraint a n d a c c o m m o d a t i o n (p. 1 5 5 ) : T h e e x a m i n e r s h o u l d strive especially to take t h e military point of view. Unwarranted claims c o n c e r n i n g the accuracy of the results should be avoided. In general, straightforward c o m m o n s e n s e statements will be found more c o n v i n c i n g than technical descriptions, statistical exhibits, or academic a r g u m e n t s .
2J2
T H E
M I S M E A S U R E
O F
MAN
A s friction a n d d o u b t m o u n t e d , t h e secretary o f w a r p o l l e d c o m m a n d i n g officers o f all c a m p s t o ask their o p i n i o n o f Y e r k e s ' s tests. H e r e c e i v e d o n e h u n d r e d replies, n e a r l y all n e g a t i v e . T h e y w e r e , Y e r k e s a d m i t t e d (p. 43), "with a few e x c e p t i o n s , u n f a v o r a b l e to psychological work, a n d h a v e led to the conclusion on the part of v a r i o u s officers of t h e G e n e r a l Staff t h a t this w o r k has little, if a n y , v a l u e t o t h e a r m y a n d s h o u l d b e d i s c o n t i n u e d . " Y e r k e s f o u g h t back a n d w o n a s t a n d o f f (but n o t all t h e p r o m o t i o n s , c o m m i s s i o n s , a n d h i r i n g s h e h a d b e e n p r o m i s e d ) ; his w o r k p r o c e e d e d u n d e r a c l o u d of suspicion. Minor
frustrations
never abated.
C a m p Jackson
ran
out of
f o r m s a n d h a d t o i m p r o v i s e o n b l a n k p a p e r (p. 78). B u t a m a j o r a n d p e r s i s t e n t difficulty d o g g e d t h e e n t i r e e n t e r p r i s e a n d f i n a l l y , as
I
shall d e m o n s t r a t e , d e p r i v e d t h e s u m m a r y statistics of a n y
meaning.
R e c r u i t s h a d t o b e a l l o c a t e d t o t h e i r a p p r o p r i a t e test.
M e n illiterate i n E n g l i s h , e i t h e r b y lack o f s c h o o l i n g o r f o r e i g n b i r t h , s h o u l d h a v e t a k e n e x a m i n a t i o n B e t a , e i t h e r b y d i r e c t assignm e n t , o r i n d i r e c t l y u p o n f a i l i n g A l p h a . Y e r k e s ' s c o r p s tried h e r o i cally t o fulfill this p r o c e d u r e . I n a t least t h r e e c a m p s , t h e y m a r k e d identification tags o r e v e n p a i n t e d letters directly o n t h e b o d i e s o f m e n w h o f a i l e d — a r e a d y identification
g u i d e f o r f u r t h e r assess-
m e n t (p. 73, p. 76): "A list of D m e n was sent w i t h i n six h o u r s after t h e g r o u p e x a m i n a t i o n t o t h e clerk a t t h e m u s t e r i n g office. A s t h e m e n a p p e a r e d , this clerk m a r k e d o n t h e b o d y o f e a c h D m a n a letter P " ( i n d i c a t i n g t h a t t h e psychiatrist s h o u l d e x a m i n e t h e m further). B u t s t a n d a r d s f o r t h e division b e t w e e n A l p h a a n d B e t a v a r i e d substantially f r o m c a m p t o c a m p . A s u r v e y across c a m p s r e v e a l e d t h a t t h e m i n i m u m score o n a n early v e r s i o n o f A l p h a v a r i e d f r o m 20 to 100 f o r a s s i g n m e n t to f u r t h e r testing (p. 476). Y e r k e s a d m i t t e d (p.
354):
This lack of a uniform process of segregation is certainly unfortunate. On account of the variable facilities for e x a m i n i n g and the variable quality of the groups e x a m i n e d however, it appeared entirely impossible to establish a standard uniform for all camps. C.
C.
(1921):
B r i g h a m , Yerkes's most zealous votary, even complained
THE H E R E D I T A R I A N THEORY OF IQ
233
T h e m e t h o d of selecting men for Beta varied from c a m p to camp, and sometimes from week to week in the same camp. T h e r e was no established criterion of literacy, and no uniform m e t h o d of selecting illiterates. T h e p r o b l e m c u t far d e e p e r t h a n s i m p l e inconsistency a m o n g c a m p s . T h e persistent logistical difficulties i m p o s e d a systematic bias that substantially l o w e r e d t h e m e a n scores o f blacks a n d i m m i grants.
For two major reasons, m a n y m e n took only A l p h a a n d
scored
either
zero
or
next
to
nothing,
not because
they
were
i n n a t e l y d u m b , b u t b e c a u s e t h e y w e r e illiterate a n d s h o u l d h a v e t a k e n B e t a b y Y e r k e s ' s o w n p r o t o c o l . First, recruits a n d d r a f t e e s h a d , o n a v e r a g e , s p e n t f e w e r years i n s c h o o l t h a n Y e r k e s h a d anticipated. Lines for Beta b e g a n to l e n g t h e n and the entire operation t h r e a t e n e d t o c l o g a t this b o t t l e n e c k . A t m a n y c a m p s , u n q u a l i f i e d m e n w e r e sent i n d r o v e s t o A l p h a b y artificial l o w e r i n g o f stand a r d s . S c h o o l i n g t o the third g r a d e sufficed f o r A l p h a i n o n e c a m p ; i n a n o t h e r , a n y o n e w h o said h e c o u l d r e a d , a t w h a t e v e r level, t o o k A l p h a . T h e c h i e f tester a t C a m p D i x r e p o r t e d (p. 72): " T o a v o i d excessively l a r g e B e t a g r o u p s , s t a n d a r d s for a d m i s s i o n t o e x a m i n a t i o n A l p h a w e r e set low." S e c o n d , a n d m o r e i m p o r t a n t , t h e press o f t i m e a n d the hostility o f r e g u l a r officers o f t e n p r e c l u d e d a B e t a retest f o r m e n w h o h a d incorrectly t a k e n A l p h a . Y e r k e s a d m i t t e d (p. 4 7 2 ) : "It was n e v e r successfully s h o w n , h o w e v e r , that t h e c o n t i n u e d recalls . . . w e r e so essential
that
repeated
interference
with
company
maneuvers
s h o u l d b e p e r m i t t e d . " A s the p a c e b e c a m e m o r e frantic, t h e p r o b l e m w o r s e n e d . T h e c h i e f tester a t C a m p D i x c o m p l a i n e d ( p p . 7 2 7 3 ) : " I n J u n e it was f o u n d i m p o s s i b l e to recall a t h o u s a n d m e n listed for i n d i v i d u a l e x a m i n a t i o n .
I n J u l y A l p h a failures a m o n g
n e g r o e s w e r e n o t r e c a l l e d . " T h e stated p r o t o c o l scarcely a p p l i e d t o blacks w h o , a s u s u a l , w e r e t r e a t e d with less c o n c e r n a n d m o r e c o n t e m p t b y e v e r y o n e . F a i l u r e o n B e t a , for e x a m p l e , s h o u l d h a v e led t o a n i n d i v i d u a l e x a m i n a t i o n . H a l f t h e black recruits s c o r e d D - o n Beta,
but
only
one-fifth
of these
were
recalled
and
four-fifths
received n o f u r t h e r e x a m i n a t i o n (p. 7 0 8 ) . Y e t w e k n o w that scores for blacks i m p r o v e d substantially w h e n t h e p r o t o c o l was f o l l o w e d . A t o n e c a m p (p. 7 3 6 ) , o n l y
14.1 p e r c e n t o f m e n w h o h a d s c o r e d
D - o n A l p h a failed t o g a i n a h i g h e r g r a d e o n B e t a . T h e effects o f this systematic bias a r e e v i d e n t i n o n e o f B o r i n g ' s
THE
MISMEASURE
OF
MAN
e x p e r i m e n t s with t h e s u m m a r y statistics. H e c u l l e d 4,893 cases o f m e n w h o h a d t a k e n b o t h A l p h a a n d B e t a . C o n v e r d n g their scores t o the c o m m o n scale, h e c a l c u l a t e d a n a v e r a g e m e n t a l a g e o f 1 0 . 7 7 5 for A l p h a , a n d a B e t a m e a n o f 1 2 . 1 5 8 (p. 6 5 5 ) . H e u s e d o n l y t h e B e t a scores i n his s u m m a r i e s ; Y e r k e s p r o c e d u r e w o r k e d . B u t w h a t o f the m y r i a d s w h o s h o u l d
have taken Beta, but only received
A l p h a a n d scored abysmally as a result—primarily poorly educated blacks a n d i m m i g r a n t s with a n i m p e r f e c t c o m m a n d o f E n g l i s h — t h e v e r y g r o u p s w h o s e l o w scores c a u s e d s u c h a h e r e d i t a r i a n stir later o n ? DUBIOUS AND PERVERSE PROCEEDINGS: A PERSONAL TESTIMONY A c a d e m i c i a n s o f t e n f o r g e t h o w p o o r l y o r i n c o m p l e t e l y t h e written r e c o r d , their p r i m a r y s o u r c e , m a y r e p r e s e n t e x p e r i e n c e . S o m e t h i n g s h a v e to be s e e n , t o u c h e d , a n d tasted. W h a t was it like to be a n illiterate black o r f o r e i g n recruit, a n x i o u s a n d b e f u d d l e d a t t h e n o v e l e x p e r i e n c e o f t a k i n g a n e x a m i n a t i o n , n e v e r told w h y , o r w h a t w o u l d b e m a d e o f t h e results: e x p u l s i o n , the f r o n t lines? I n 1 9 6 8 (quoted in
Kevles), an
e x a m i n e r recalled
his a d m i n i s t r a t i o n o f
B e t a : "It was t o u c h i n g to see t h e i n t e n s e e f f o r t . . . p u t i n t o a n s w e r ing the questions, often by m e n w h o never before had held a pencil i n their h a n d s . " Y e r k e s h a d o v e r l o o k e d , o r consciously b y p a s s e d , something of importance. T h e Beta examination contained only p i c t u r e s , n u m b e r s , a n d s y m b o l s . B u t i t still r e q u i r e d p e n c i l w o r k a n d , o n t h r e e o f its s e v e n p a r t s , a k n o w l e d g e o f n u m b e r s a n d h o w t o write t h e m . Y e r k e s ' s m o n o g r a p h is so t h o r o u g h that his p r o c e d u r e for givi n g the t w o e x a m i n a t i o n s c a n b e r e c o n s t r u c t e d d o w n t o t h e c h o r e o g r a p h y o f m o t i o n for all e x a m i n e r s a n d orderlies. H e p r o v i d e s facsimiles in full size f o r t h e e x a m i n a t i o n s t h e m s e l v e s , a n d for all explanatory material used by examiners. T h e standardized words a n d g e s t u r e s of e x a m i n e r s a r e r e p r o d u c e d in full. S i n c e I w a n t e d to k n o w in as c o m p l e t e a w a y as possible w h a t it felt like to g i v e a n d t a k e t h e test, I a d m i n i s t e r e d e x a m i n a t i o n B e t a (for illiterates) to a g r o u p o f fifty-three
Harvard
undergraduates
in
my
course on
b i o l o g y as a social w e a p o n . I tried to follow Y e r k e s ' s p r o t o c o l scrup u l o u s l y in all its details. I feel that I r e c o n s t r u c t e d t h e original situation a c c u r a t e l y , with o n e i m p o r t a n t e x c e p t i o n : m y s t u d e n t s k n e w w h a t t h e y w e r e d o i n g , d i d n ' t h a v e t o p r o v i d e their n a m e s o n
235
fHEORY OF IQ THE
HEREDITARIA' jjig at stake. ( O n e f r i e n d later s u g g e s t e d
t h e f o r m , a n d h a d no^ed n a m e s — a n d p o s t e d r e s u l t s — a s j u s t a t h a t I s h o u l d h a v e re
p r e j u d i c e t h o r o u g h l y $ the results. B o r i n g h i m s e l f c a l l e d t h e s e Y e r k e s h a d d r a w n FRVY' late in his c a r e e r (in a 1962 i n t e r v i e w , c o n c l u s i o n s "prepostef" But I h a d n o t u n d e r s t o o d h o w t h e D r a q u o t e d i n K e v l e s , lgfj^fig m a d e such a t h o r o u g h m o c k e r y o f t h e conian conditions of tf'Jhave been in a frame of m i n d to record c l a i m t h a t r e c r u i t s connate abilities. I n s h o r t , m o s t o f t h e m e n a n y t h i n g a b o u t t h e i r \a utterly c o n f u s e d o r s c a r e d shitless. m u s t h a v e e n d e d u p ei'^ered into a r o o m a n d s e a t e d b e f o r e a n T h e r e c r u i t s w e r e "jfX standing a t o p a p l a t f o r m , a n d s e v e r a l e x a m i n e r and demons'^xaminers were instructed to administer o r d e r l i e s at floor leve' ,nner" since " t h e subjects w h o t a k e this t h e test " i n a g e n i a l ^ulk and r e f u s e to w o r k " (p. 163). R e c r u i t s e x a m i n a t i o n sometime*',t the e x a m i n a t i o n o r its p u r p o s e s . T h e w e r e told
n o t h i n g a t / j e r e are s o m e p a p e r s . Y o u m u s t n o t o p e n
e x a m i n e r s i m p l y s a i d : ' \intil y o u are t o l d t o . " T h e m e n t h e n f i l l e d t h e m o r t u r n t h e m ovdeducation (with h e l p f o r t h o s e t o o illiterate i n t h e i r n a m e s , a g e , an^perfunctory p r e l i m i n a r i e s , t h e e x a m i n e r t o d o so). A f t e r thes* p l u n g e d r i g h t in:
, m (pointing to demonstrator). He (pointing to Attention. Watch this ^ to do here (tapping blackboard with pointer) demonstrator again) is g ^ e n t members of the group) are to do on your what you (pointing to dif^its to several papers mat lie before m e n in the papers (here examiner o°\ it next to the blackboard, returns the paper, g r o u p , picks up o n e , h o n the blackboard in succession, then to the m e n points to demonstrator a^uestions. Wait till I say "Go ahead!" (p. 163). a n d their papers). Ask T\0 . . . . . . . . .ha By
comparison,
men
were virtually
inundated
with
A'v the A l p h a e x a m i n e r said:
i n f o r m a t i o n (p. 1 5 7 ) , {0
S
I of this examination is to see how well you can Attention! T h e purp0*v out what you are told to d o . We are not lookr e m e m b e r , think, a n d ca^jm is to help find out what you are best fitted to ing for crazy people. T h e \c y ^ ' i examination will b e put o n d o i n the Army. T h e gr3 d will ' 8° company commander, your qualification card / t o l d to do will be very easy. S o m e you may find S o m e of the things you a<^ o u
m
e
a
s o
n
m
s
t o
v
o
u
r
THE
2j6
M I S M E A S U R E OF MAN
hard. You are not expected to make a perfect g r a d e , but do the very best you can. . . . Listen closely. Ask no questions. T h e e x t r e m e limits i m p o s e d u p o n t h e B e t a e x a m i n e r ' s v o c a b u lary d i d n o t o n l y reflect Y e r k e s ' s p o o r o p i n i o n o f w h a t B e t a recruits m i g h t u n d e r s t a n d b y v i r t u e o f their s t u p i d i t y . nees
were
recent
immigrants
who
did
not
M a n y Beta exami-
speak
English,
and
i n s t r u c t i o n h a d t o b e a s pictorial a n d g e s t u r a l a s p o s s i b l e . Y e r k e s a d v i s e d (p. 1 6 3 ) : " O n e c a m p has h a d g r e a t success with a ' w i n d o w seller' a s d e m o n s t r a t o r . A c t o r s s h o u l d a l s o b e c o n s i d e r e d f o r the work."
One
particularly
important
bit
of
information
was
not
t r a n s m i t t e d : e x a m i n e e s w e r e n o t told t h a t i t was v i r t u a l l y i m p o s s ible t o finish a t least t h r e e o f t h e tests, a n d t h a t t h e y w e r e n o t e x p e c t e d t o d o so. A t o p t h e p l a t f o r m , t h e d e m o n s t r a t o r s t o o d i n f r o n t o f a blackb o a r d roll c o v e r e d by a c u r t a i n ; the e x a m i n e r s t o o d at his side. B e f o r e e a c h o f t h e s e v e n tests, t h e c u r t a i n was r a i s e d t o e x p o s e a s a m p l e p r o b l e m (all r e p r o d u c e d i n F i g u r e 5 . 4 ) , a n d e x a m i n e r a n d d e m o n s t r a t o r e n g a g e d i n a bit o f p a n t o m i m e t o illustrate p r o p e r p r o c e d u r e . T h e e x a m i n e r t h e n issued a n o r d e r t o w o r k , a n d t h e d e m o n s t r a t o r closed t h e c u r t a i n a n d a d v a n c e d t h e roll t o t h e n e x t s a m p l e . T h e first test, m a z e r u n n i n g , r e c e i v e d t h e f o l l o w i n g d e m onstration:
Demonstrator traces path through first m a z e with crayon, slowly and hesitatingly. Examiner then traces second m a z e and motions to d e m o n strator to go ahead. Demonstrator makes o n e m i s t a k e by g o i n g into the blind alley at u p p e r left-hand corner of maze. E x a m i n e r apparently does not notice what demonstrator is d o i n g until he crosses line at e n d of alley; then examiner shakes his head vigorously, says " N o - n o , " takes demonstrator's hand and traces back to the place where he may start right again. Demonstrator traces rest of maze so as to i n d i c a t e an attempt at haste, hesitating only at ambiguous points. Examiner s a y s "Good." T h e n holding up blank, "Look here," and draws an imaginary line across the p a g e from left to right for every maze on the page. T h e n , "All right. Go ahead. Do it (pointing to m e n and then to books). Hurry u p . " T h i s p a r a g r a p h m a y b e naively a m u s i n g (some o f m y students t h o u g h t so). T h e n e x t s t a t e m e n t , b y c o m p a r i s o n , i s a bit diabolical.
T h e idea of working fast must be i m p r e s s e d on the m e n d u r i n g the maze test. Examiner and orderlies walk a r o u n d the r o o m , motioning to
THE
HEREDITARIAN
THEORY
OF
IQ
m e n w h o are not working, and saying, "Do it, do it, hurry u p , quick." At t h e e n d of 2 minutes e x a m i n e r says, "Stop! T u r n over the p a g e to test 2." T h e e x a m i n e r d e m o n s t r a t e d test 2, c u b e c o u n t i n g , with t h r e e d i m e n s i o n a l m o d e l s (my son h a d s o m e left o v e r f r o m his b a b y days).
Note
t h a t recruits
w h o could
n o t write
numbers
would
r e c e i v e scores o f z e r o e v e n i f t h e y c o u n t e d all t h e c u b e s correctly. T e s t 3, t h e X - O series, will b e r e c o g n i z e d b y n e a r l y e v e r y o n e t o d a y as
the
pictorial
version
of "what
is
the
next
number
in
the
s e q u e n c e . " T e s t 4 , d i g i t s y m b o l s , r e q u i r e d t h e translation o f n i n e digits into c o r r e s p o n d i n g s y m b o l s . I t looks easy e n o u g h , b u t t h e test itself i n c l u d e d n i n e t y items a n d c o u l d h a r d l y b e f i n i s h e d b y a n y b o d y i n t h e t w o m i n u t e s allotted. A m a n w h o c o u l d n ' t write n u m b e r s was f a c e d with t w o sets o f u n f a m i l i a r s y m b o l s a n d suff e r e d a s e v e r e a d d i t i o n a l d i s a d v a n t a g e . T e s t 5, n u m b e r c h e c k i n g , a s k e d m e n t o c o m p a r e n u m e r i c a l s e q u e n c e s , u p t o e l e v e n digits i n l e n g t h , i n t w o parallel c o l u m n s . I f i t e m s o n t h e s a m e line w e r e identical i n t h e t w o c o l u m n s , recruits w e r e i n s t r u c t e d (by gestures) to write an X n e x t to t h e i t e m . Fifty s e q u e n c e s o c c u p i e d t h r e e m i n utes, a n d f e w recruits c o u l d f i n i s h . A g a i n , a n inability t o write o r r e c o g n i z e n u m b e r s w o u l d m a k e t h e task virtually i m p o s s i b l e . T e s t 6, pictorial c o m p l e t i o n , is B e t a ' s visual a n a l o g u e of A l p h a ' s m u l t i p l e - c h o i c e e x a m i n a t i o n for testing i n n a t e i n t e l l i g e n c e b y asking recruits a b o u t c o m m e r c i a l p r o d u c t s , f a m o u s s p o r t i n g o r f i l m stars, or t h e p r i m a r y i n d u s t r i e s of v a r i o u s cities a n d states.
Its
instructions a r e w o r t h r e p e a t i n g : "This is test 6 h e r e . Look. A lot of pictures." After e v e r y o n e has f o u n d the place, "Now watch." E x a m i n e r points to h a n d a n d says to d e m o n s t r a tor, "Fix it." D e m o n s t r a t o r d o e s n o t h i n g , but looks puzzled. E x a m i n e r points to the picture of the h a n d , a n d t h e n to the place w h e r e the finger is missing and says to demonstrator, "Fix it; fix it." D e m o n s t r a t o r t h e n draws in finger. Examiner says, "That's right." E x a m i n e r t h e n points to fish a n d place for eye a n d says, "Fix it." After d e m o n s t r a t o r has drawn missing eye, examiner points to each of the four r e m a i n i n g drawings a n d says, "Fix them all." D e m o n s t r a t o r works samples out slowly a n d with apparent effort. When the samples are finished e x a m i n e r says, "All right. Go a h e a d . Hurry up!" D u r i n g the course of this test t h e orderlies walk a r o u n d the room and locate individuals w h o are d o i n g n o t h i n g , point to their pages and say, "Fix it. Fix them," trying to set e v e r y o n e working. At the e n d of 3 minutes e x a m i n e r says, "Stop! But don't turn over t h e page."
240
THE
MISMEASURE
OF
MAN
T h e e x a m i n a t i o n itself i s also w o r t h r e p r i n t i n g (Fig. 5 . 5 ) . B e s t o f l u c k with p i g tails, c r a b l e g s , b o w l i n g balls, tennis n e t s , a n d t h e Jack's missing d i a m o n d , not to mention the p h o n o g r a p h h o r n (a real s t u m p e r for my students). Y e r k e s p r o v i d e d the following instructions for grading: Rules for
Individual
Items
Item 4.—Any spoon at any angle in right hand receives credit. Left hand, or unattached s p o o n , no credit. Item 5.—Chimney must be in right place. No credit for smoke. Item 6.— A n o t h e r ear on same side as first receives no credit. Item 8.—Plain square, cross, etc., in proper location for stamp, receives credit. Item 10.—Missing part is the rivet. Line of "ear" may be omitted. Item 13.—Missing part is leg. Item 15.—Ball should be drawn in hand of man. If represented in hand of w o m a n , or in motion, no credit. Item 16.—Single line indicating net receives credit. Item 18.—Any representation intended for horn, pointing in any direction, receives credit. Item 19.—Hand and powder puff must be put on proper side. Item 20.—Diamond is the missing part. Failure to complete hilt on sword is not an error. T h e s e v e n t h a n d last test, g e o m e t r i c a l c o n s t r u c t i o n , r e q u i r e d that a s q u a r e b e b r o k e n i n t o c o m p o n e n t p i e c e s . Its ten p a r t s w e r e allotted t w o a n d a h a l f m i n u t e s . I b e l i e v e that t h e c o n d i t i o n s o f t e s t i n g , a n d t h e basic c h a r a c t e r o f the e x a m i n a t i o n , m a k e i t l u d i c r o u s t o b e l i e v e that B e t a m e a s u r e d a n y i n t e r n a l state d e s e r v i n g t h e label i n t e l l i g e n c e . D e s p i t e t h e p l e a f o r g e n i a l i t y , t h e e x a m i n a t i o n was c o n d u c t e d i n a n a l m o s t f r a n t i c r u s h . M o s t p a r t s c o u l d n o t b e finished i n t h e time a l l o t t e d , b u t r e c r u i t s w e r e n o t f o r e w a r n e d . M y s t u d e n t s c o m p i l e d t h e foll o w i n g r e c o r d o f c o m p l e t i o n s o n t h e s e v e n p a r t s (see p . 242). F o r t w o o f t h e tests, d i g i t s y m b o l s a n d n u m b e r c h e c k i n g ( 4 a n d 5), m o s t s t u d e n t s s i m p l y c o u l d n ' t write fast e n o u g h t o c o m p l e t e t h e n i n e t y a n d fifty i t e m s , e v e n t h o u g h t h e p r o t o c o l w a s c l e a r t o all. T h e t h i r d test w i t h a majority o f i n c o m p l e t e s , c u b e c o u n t i n g ( n u m b e r 2), was t o o difficult f o r t h e n u m b e r o f i t e m s i n c l u d e d a n d the time allotted. I n s u m m a r y , m a n y recruits c o u l d n o t see o r h e a r t h e e x a m i n e r ;
2^2
T H E
TEST
1 2 3 4 5 6 7
M I S M E A S U R E
FINISHED
N O T FINISHED
44 21 45 12 18 49 40
9 32 8 41 35 4 13
O F
M A N
s o m e h a d n e v e r t a k e n a test b e f o r e o r e v e n h e l d a p e n c i l . M a n y d i d not understand the instructions and were completely b e f u d d l e d . T h o s e w h o d i d c o m p r e h e n d c o u l d c o m p l e t e o n l y a small p a r t o f m o s t tests i n t h e a l l o t t e d t i m e . M e a n w h i l e , i f a n x i e t y a n d c o n f u s i o n h a d n o t a l r e a d y r e a c h e d levels sufficiently h i g h t o i n v a l i d a t e t h e r e s u l t s , t h e o r d e r l i e s c o n t i n u a l l y m a r c h e d a b o u t , p o i n t i n g t o individual recruits a n d o r d e r i n g them to h u r r y in voices loud e n o u g h , a s specifically m a n d a t e d , t o c o n v e y t h e m e s s a g e g e n e r a l l y . A d d t o this t h e b l a t a n t c u l t u r a l biases of test 6, a n d t h e m o r e s u b t l e biases directed against those w h o could not write n u m b e r s or w h o h a d little e x p e r i e n c e i n w r i t i n g a n y t h i n g a t all, a n d w h a t d o y o u h a v e but a shambles. T h e p r o o f o f i n a d e q u a c y lies i n t h e s u m m a r y statistics, t h o u g h Y e r k e s a n d B o r i n g chose to interpret them differently. T h e m o n o g r a p h p r e s e n t s f r e q u e n c y d i s t r i b u t i o n s f o r scores o n e a c h p a r t s e p a r a t e l y . S i n c e Y e r k e s b e l i e v e d that i n n a t e i n t e l l i g e n c e was n o r m a l l y d i s t r i b u t e d (the " s t a n d a r d " p a t t e r n w i t h a s i n g l e m o d e a t some m i d d l e score a n d symmetrically decreasing frequencies away f r o m t h e m o d e i n b o t h d i r e c t i o n s ) , h e e x p e c t e d that s c o r e s f o r e a c h test w o u l d b e n o r m a l l y d i s t r i b u t e d a s well. B u t o n l y two o f t h e tests, m a z e r u n n i n g a n d p i c t u r e c o m p l e t i o n ( l a n d 6), y i e l d e d a distrib u t i o n e v e n close t o n o r m a l . ( T h e s e a r e also t h e tests that m y o w n s t u d e n t s f o u n d easiest a n d c o m p l e t e d i n h i g h e s t p r o p o r t i o n . ) A l l t h e o t h e r tests y i e l d e d a b i m o d a l d i s t r i b u t i o n , w i t h o n e p e a k at a middle value and another squarely at the m i n i m u m value of zero (Fig.
5.6).
T h e c o m m o n - s e n s e i n t e r p r e t a t i o n o f this b i m o d a l i t y h o l d s that r e c r u i t s h a d two d i f f e r e n t r e s p o n s e s t o t h e tests. S o m e u n d e r s t o o d what they were supposed to d o , a n d p e r f o r m e d in varied ways.
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2
O t h e r s , for whatever reasons, could not fathom the instructions a n d s c o r e d z e r o . W i t h h i g h levels o f i m p o s e d a n x i e t y , p o o r c o n d i tions f o r s e e i n g a n d h e a r i n g , a n d g e n e r a l i n e x p e r i e n c e with t e s t i n g f o r m o s t r e c r u i t s , i t w o u l d b e f a t u o u s t o i n t e r p r e t t h e z e r o scores as evidence of innate stupidity below the intelligence of m e n w h o m a d e s o m e p o i n t s — t h o u g h Y e r k e s w o r m e d o u t o f t h e difficulty this w a y (see p p . 244—247). (My o w n s t u d e n t s c o m p i l e d lowest rates o f c o m p l e t i o n f o r t h e tests that yield t h e l a r g e s t s e c o n d a r y m o d e s a t z e r o i n Y e r k e s ' s s a m p l e — t e s t s 4 a n d 5 . A s the o n l y e x c e p t i o n t o this p a t t e r n , m o s t o f m y s t u d e n t s c o m p l e t e d test 3 , w h i c h p r o d u c e d a s t r o n g z e r o m o d e in t h e a r m y s a m p l e . B u t 3 is t h e visual a n a l o g of " w h a t is t h e n e x t n u m b e r in this series," a test that all my
5*6 Frequency distributions for four of the Beta tests. N o t e the prominent m o d e at zero for tests 4, 5, and 7. TEST A, 6 ETA TEST 6, BETA
TEST X BETA
TEST S BETA T
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students have taken m o r e times than they care to remember.) Statisticians a r e t r a i n e d t o b e s u s p i c i o u s o f d i s t r i b u t i o n s with multiple m o d e s . Such distributions usually indicate i n h o m o g e n e i t y i n t h e s y s t e m , o r , i n p l a i n e r l a n g u a g e , d i f f e r e n t c a u s e s f o r t h e diff e r e n t m o d e s . A l l f a m i l i a r p r o v e r b s a b o u t t h e inadvisibility o f m i x ing apples and oranges apply. T h e multiple modes should have g u i d e d Y e r k e s to a s u s p i c i o n that his tests w e r e n o t m e a s u r i n g a s i n g l e entity called i n t e l l i g e n c e . I n s t e a d , his statisticians f o u n d a w a y to r e d i s t r i b u t e z e r o scores in a m a n n e r f a v o r a b l e to h e r e d i t a r i a n a s s u m p t i o n s (see n e x t section). O h y e s , was a n y o n e w o n d e r i n g h o w m y s t u d e n t s f a r e d ? T h e y d i d v e r y well o f c o u r s e . A n y t h i n g else w o u l d h a v e b e e n s h o c k i n g , since all t h e tests a r e g r e a t l y simplified p r e c u r s o r s o f e x a m i n a t i o n s t h e y h a v e b e e n t a k i n g all their lives. O f fifty-three s t u d e n t s , thirtyo n e s c o r e d A a n d s i x t e e n B . Still, m o r e t h a n 1 0 p e r c e n t (six o f fiftyt h r e e ) s c o r e d a t t h e intellectual b o r d e r l i n e o f C ; b y t h e s t a n d a r d s o f s o m e c a m p s , t h e y w o u l d h a v e b e e n fit o n l y f o r the d u t i e s o f a buck private.
F I N A G L I N G T H E SUMMARY
STATISTICS:
T H E PROBLEM O F ZERO VALUES
I f t h e B e t a test f a l t e r e d o n t h e artifact o f a s e c o n d a r y m o d e f o r z e r o s c o r e s , the A l p h a test b e c a m e a n u n m i t i g a t e d disaster f o r the s a m e r e a s o n , vastly intensified. T h e z e r o m o d e s w e r e p r o n o u n c e d i n B e t a , b u t they n e v e r r e a c h e d t h e h e i g h t o f t h e p r i m a r y m o d e a t a m i d d l e v a l u e . B u t six o f e i g h t A l p h a tests y i e l d e d t h e i r h i g h e s t m o d e a t z e r o . ( O n l y o n e h a d a n o r m a l d i s t r i b u t i o n with a m i d d l e m o d e , while the other yielded a zero m o d e lower than the middle m o d e . ) T h e z e r o m o d e o f t e n s o a r e d a b o v e all o t h e r v a l u e s . I n o n e test, n e a r l y 4 0 p e r c e n t o f all scores w e r e z e r o (Fig. 5 . 7 a ) . I n a n o t h e r , z e r o was t h e o n l y c o m m o n v a l u e , w i t h a flat d i s t r i b u t i o n o f o t h e r scores (at a b o u t one-fifth t h e level o f z e r o values) until a n e v e n d e c l i n e b e g a n a t h i g h s c o r e s (Fig. 5 . 7 b ) . A g a i n , the common-sense interpretation of n u m e r o u s zeros s u g g e s t s that m a n y m e n d i d n ' t u n d e r s t a n d t h e i n s t r u c t i o n s a n d that t h e tests w e r e invalid o n that a c c o u n t . B u r i e d t h r o u g h o u t Y e r k e s ' s m o n o g r a p h a r e n u m e r o u s s t a t e m e n t s p r o v i n g that testers worried greatly about the high frequency of zeros a n d , in the midst
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o f g i v i n g t h e tests, t e n d e d t o i n t e r p r e t z e r o s i n this c o m m o n - s e n s e f a s h i o n . T h e y e l i m i n a t e d s o m e tests f r o m t h e B e t a r e p e r t o i r e (p. 3 7 2 ) b e c a u s e t h e y p r o d u c e d u p t o 30.7 p e r c e n t z e r o scores ( a l t h o u g h s o m e A l p h a tests with a h i g h e r f r e q u e n c y o f z e r o s w e r e r e t a i n e d ) . T h e y r e d u c e d t h e difficulty o f initial items i n s e v e r a l tests "in o r d e r t o r e d u c e t h e n u m b e r o f z e r o s c o r e s " (p. 3 4 1 ) . T h e y i n c l u d e d a m o n g t h e criteria f o r a c c e p t a n c e o f a test within t h e B e t a r e p e r t o i r e (p. 3 7 3 ) : " e a s e o f d e m o n s t r a t i o n , a s s h o w n b y low p e r c e n t a g e o f z e r o s c o r e s . " T h e y a c k n o w l e d g e d s e v e r a l t i m e s that a h i g h f r e q u e n c y o f z e r o s reflected p o o r e x p l a n a t i o n , n o t stupidity o f the r e c r u i t s : " T h e l a r g e n u m b e r o f z e r o s c o r e s , e v e n w i t h offic e r s , indicates that t h e i n s t r u c t i o n s w e r e u n s a t i s f a c t o r y " ( p . 340). " T h e m a i n b u r d e n o f t h e e a r l y r e p o r t s was t o t h e e f f e c t that the m o s t difficult task w a s ' g e t t i n g the i d e a across.' A h i g h p e r c e n t a g e o f z e r o scores i n a n y g i v e n test was c o n s i d e r e d a n i n d i c a t i o n o f f a i l u r e to 'get that test across' " (p. 3 7 9 ) . W i t h all t h e s e a c k n o w l e d g m e n t s , o n e m i g h t h a v e a n t i c i p a t e d B o r i n g ' s d e c i s i o n e i t h e r t o e x c l u d e z e r o s f r o m t h e s u m m a r y statistics o r t o c o r r e c t f o r t h e m b y a s s u m i n g that m o s t r e c r u i t s w o u l d have scored some points if they had u n d e r s t o o d what they were s u p p o s e d t o d o . I n s t e a d , B o r i n g " c o r r e c t e d " z e r o scores i n t h e o p p o s i t e w a y , a n d actually d e m o t e d m a n y o f t h e m into a n e g a t i v e range. B o r i n g b e g a n with t h e s a m e h e r e d i t a r i a n a s s u m p t i o n t h a t invali d a t e d all t h e results: that t h e tests, by d e f i n i t i o n , m e a s u r e i n n a t e intelligence. T h e c l u m p o f zeros must therefore b e m a d e u p o f m e n w h o w e r e t o o s t u p i d t o d o a n y i t e m s . I s i t fair t o g i v e t h e m all z e r o ? A f t e r all, s o m e m u s t h a v e b e e n j u s t b a r e l y too s t u p i d , a n d t h e i r z e r o i s a fair s c o r e . B u t o t h e r d u l l a r d s m u s t h a v e b e e n r e s c u e d f r o m a n e v e n w o r s e fate b y t h e m i n i m u m o f z e r o . T h e y w o u l d h a v e d o n e e v e n m o r e p o o r l y i f t h e test h a d i n c l u d e d e n o u g h easy items t o m a k e distinctions a m o n g t h e z e r o s c o r e s . B o r i n g d i s t i n g u i s h e d b e t w e e n a t r u e " m a t h e m a t i c a l z e r o , " a n intrinsic m i n i m u m that c a n n o t logically g o l o w e r , a n d a " p s y c h o l o g i c a l z e r o , " a n a r b i t r a r y b e g i n n i n g d e f i n e d by a p a r t i c u l a r test. (As a g e n e r a l s t a t e m e n t , B o r i n g m a k e s a s o u n d p o i n t . I n the p a r t i c u l a r c o n t e x t o f t h e a r m y tests, it is a b s u r d ) : A score of zero, therefore, does not mean no ability at all; it does not mean the point of discontinuance of the thing measured; it means the point of discontinuance of the instrument of measurement, the test. . . . T h e indi-
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vidual who fails to earn a positive score and is marked zero is actually thereby given a bonus varying in value directly with his stupidity (p. 622). B o r i n g therefore "corrected" each zero score by calibrating it against o t h e r tests i n t h e series o n w h i c h t h e s a m e m a n h a d s c o r e d s o m e points. I f h e h a d s c o r e d well o n o t h e r tests, h e was n o t d o u b l y p e n a l i z e d f o r his z e r o s ; i f h e h a d d o n e p o o r l y , t h e n his z e r o s w e r e c o n v e r t e d t o n e g a t i v e scores. By this m e t h o d , a d e b i l i t a t i n g flaw in Y e r k e s ' s basic p r o c e d u r e was a c c e n t u a t e d b y t a c k i n g a n a d d i t i o n a l bias o n t o it. T h e z e r o s o n l y i n d i c a t e d that, f o r a suite o f r e a s o n s u n r e l a t e d t o i n t e l l i g e n c e , vast n u m b e r s o f m e n d i d n o t u n d e r s t a n d w h a t t h e y w e r e s u p p o s e d t o d o . A n d Y e r k e s s h o u l d h a v e r e c o g n i z e d this, f o r his o w n r e p o r t s p r o v e d that, w i t h r e d u c e d c o n f u s i o n a n d h a r a s s m e n t , m e n w h o h a d s c o r e d z e r o o n t h e g r o u p tests a l m o s t all m a n a g e d t o m a k e p o i n t s o n t h e s a m e o r similar tests g i v e n i n a n i n d i v i d u a l e x a m i n a t i o n . H e writes (p. 406): " A t G r e e n l e a f i t was f o u n d that t h e p r o p o r t i o n o f z e r o s c o r e s i n t h e m a z e test w a s r e d u c e d f r o m 2 8 p e r c e n t in B e t a to 2 p e r c e n t in the p e r f o r m a n c e scale, a n d that similarly z e r o scores i n t h e d i g i t - s y m b o l test w e r e r e d u c e d f r o m 4 9 to 6 p e r c e n t . " Y e t , w h e n g i v e n a n o p p o r t u n i t y t o c o r r e c t this bias b y i g n o r i n g o r p r o p e r l y r e d i s t r i b u t i n g t h e z e r o s c o r e s , Y e r k e s ' s statisticians d i d j u s t the o p p o s i t e . T h e y e x a c t e d a d o u b l e p e n a l t y b y d e m o t i n g m o s t z e r o scores to a n e g a t i v e r a n g e . FINAGLING T H E SUMMARY
STATISTICS:
GETTING AROUND OBVIOUS CORRELATIONS WITH
ENVIRONMENT
Y e r k e s ' s m o n o g r a p h is a t r e a s u r e - t r o v e of i n f o r m a t i o n f o r anyo n e s e e k i n g e n v i r o n m e n t a l c o r r e l a t e s o f p e r f o r m a n c e o n "tests o f i n t e l l i g e n c e . " S i n c e Y e r k e s explicitly d e n i e d any substantial causal r o l e t o e n v i r o n m e n t , a n d c o n t i n u e d t o insist that t h e tests m e a s u r e d i n n a t e i n t e l l i g e n c e , this claim m a y s e e m p a r a d o x i c a l . O n e m i g h t s u s p e c t t h a t Y e r k e s , i n his b l i n d n e s s , d i d n ' t r e a d his o w n i n f o r m a t i o n . T h e situation, i n fact, i s e v e n m o r e c u r i o u s . Y e r k e s r e a d v e r y c a r e f u l l y ; h e p u z z l e d o v e r e v e r y o n e o f his e n v i r o n m e n tal c o r r e l a t i o n s , a n d m a n a g e d t o e x p l a i n e a c h o f t h e m a w a y with a r g u m e n t s that s o m e t i m e s b o r d e r o n t h e r i d i c u l o u s . M i n o r items a r e r e p o r t e d a n d d i s p e r s e d i n a p a g e o r t w o . Y e r k e s f o u n d s t r o n g c o r r e l a t i o n s b e t w e e n a v e r a g e s c o r e a n d infestation with h o o k w o r m in all 4 c a t e g o r i e s :
248
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White White Negro Negro
Alpha Beta Alpha Beta
MISMEASURE
OF
INFECTED
N O T INFECTED
94.38 45.38 34.86 22.14
118.50 53.26 40.82 26.09
MAN
T h e s e results m i g h t h a v e l e d t o t h e o b v i o u s a d m i s s i o n that state o f h e a l t h , p a r t i c u l a r l y i n diseases r e l a t e d t o p o v e r t y , has s o m e e f f e c t u p o n the s c o r e s . A l t h o u g h Y e r k e s d i d n o t d e n y this possibility, h e stressed a n o t h e r e x p l a n a t i o n (p. 8 1 1 ) : " L o w n a t i v e ability m a y i n d u c e s u c h c o n d i t i o n s o f l i v i n g a s t o result i n h o o k w o r m infection." I n s t u d y i n g t h e d i s t r i b u t i o n o f scores b y o c c u p a t i o n , Y e r k e s c o n j e c t u r e d that since i n t e l l i g e n c e b r i n g s its o w n r e w a r d , test scores s h o u l d rise with e x p e r t i s e . H e d i v i d e d e a c h j o b i n t o a p p r e n t i c e s , j o u r n e y m e n , a n d e x p e r t s a n d s e a r c h e d f o r i n c r e a s i n g scores between the groups. But he found no pattern. Instead of abandoni n g his h y p o t h e s i s , h e d e c i d e d that his p r o c e d u r e f o r a l l o c a t i n g m e n to the three categories must have been flawed (pp. 8 3 1 - 8 3 2 ) : It seems reasonable to s u p p o s e that a selection process goes on in industry which results in a selection of the mentally m o r e alert for promotion from the apprentice stage to the j o u r n e y m a n stage and likewise from the j o u r n e y m a n stage to the expert. T h o s e inferior mentally would stick at the lower levels of skill or be w e e d e d out of the particular trade. On this hypothesis o n e begins to question the accuracy of the personnel interviewing procedure. A m o n g major patterns, Y e r k e s continually f o u n d relationships b e t w e e n i n t e l l i g e n c e a n d a m o u n t o f s c h o o l i n g . H e c a l c u l a t e d a correlation c o e f f i c i e n t o f 0.75 b e t w e e n test s c o r e a n d y e a r s o f e d u c a tion. O f 3 4 8 m e n w h o s c o r e d b e l o w t h e m e a n i n A l p h a , o n l y 1 h a d e v e r a t t e n d e d c o l l e g e (as a d e n t a l s t u d e n t ) , 4 h a d g r a d u a t e d f r o m h i g h s c h o o l , a n d o n l y 1 0 h a d e v e r a t t e n d e d h i g h s c h o o l a t all. Y e t Y e r k e s d i d n o t c o n c l u d e that m o r e s c h o o l i n g l e a d s t o i n c r e a s i n g scores p e r se; i n s t e a d , h e a r g u e d that m e n w i t h m o r e i n n a t e intell i g e n c e s p e n d m o r e t i m e i n s c h o o l . " T h e t h e o r y that n a t i v e intelligence is one of the most important conditioning factors in c o n t i n u a n c e in s c h o o l is c e r t a i n l y b o r n e o u t by this a c c u m u l a t i o n o f d a t a " (p. 780).
THE H E R E D I T A R I A N THEORY OF IQ Y e r k e s n o t e d t h e s t r o n g e s t c o r r e l a t i o n o f scores with s c h o o l i n g i n c o n s i d e r i n g t h e d i f f e r e n c e s b e t w e e n b l a c k s a n d whites. H e m a d e a significant social o b s e r v a t i o n , b u t g a v e it his u s u a l innatist twist ( p . 760): T h e white draft of foreign birth is less schooled; m o r e than half of this g r o u p have not g o n e beyond the fifth grade, while one-eighth, or 12.5 percent, report no schooling. N e g r o recruits though brought up in this country where elementary education is supposedly not only free but compulsory on all, report no schooling in astonishingly large proportion. F a i l u r e o f blacks t o a t t e n d s c h o o l , h e a r g u e d , m u s t reflect a disinclination b a s e d o n low i n n a t e i n t e l l i g e n c e . N o t a w o r d a b o u t segr e g a t i o n ( t h e n officially s a n c t i o n e d , i f n o t m a n d a t e d ) , p o o r c o n d i t i o n s i n black s c h o o l s , o r e c o n o m i c necessities f o r w o r k i n g a m o n g t h e i m p o v e r i s h e d . Y e r k e s a c k n o w l e d g e d that s c h o o l s m i g h t v a r y i n q u a l i t y , b u t h e a s s u m e d that s u c h a n e f f e c t m u s t b e small a n d cited, a s p r i m a r y e v i d e n c e f o r i n n a t e b l a c k s t u p i d i t y , t h e l o w e r scores o f blacks w h e n p a i r e d with whites w h o h a d s p e n t a n e q u a l n u m b e r o f y e a r s i n s c h o o l (p. 7 7 3 ) : T h e grade standards, of course, are not identical all over the country, especially as between schools for white and for negro children, so that "fourth-grade schooling" doubtless varies in m e a n i n g from g r o u p to g r o u p , but this variability certainly cannot account for the clear intellig e n c e differences between groups. T h e d a t a that m i g h t h a v e led Y e r k e s t o c h a n g e his m i n d ( h a d h e a p p r o a c h e d t h e s t u d y with a n y f l e x i b i l i t y ) lay t a b u l a t e d , b u t u n u s e d , within his m o n o g r a p h . Y e r k e s h a d n o t e d r e g i o n a l d i f f e r e n c e s i n black e d u c a t i o n . H a l f t h e b l a c k recruits f r o m S o u t h e r n states h a d n o t a t t e n d e d s c h o o l b e y o n d t h e t h i r d g r a d e , b u t h a l f h a d r e a c h e d t h e f i f t h g r a d e i n N o r t h e r n states (p. 760). I n t h e N o r t h , 25 p e r c e n t c o m p l e t e d p r i m a r y s c h o o l ; in the S o u t h , a m e r e 7 p e r c e n t . Y e r k e s also n o t e d (p. 734) that " t h e p e r c e n t a g e o f A l p h a s i s very m u c h smaller and the percentage of Betas very m u c h larger i n the s o u t h e r n t h a n i n t h e n o r t h e r n g r o u p . " M a n y y e a r s later, A s h l e y M o n t a g u ( 1 9 4 5 ) s t u d i e d t h e tabulations b y state that Y e r k e s had provided. He confirmed Yerkes's pattern: the average score o n A l p h a w a s 2 1 . 3 1 f o r blacks i n t h i r t e e n S o u t h e r n states, a n d 39-90 i n n i n e N o r t h e r n states. M o n t a g u t h e n n o t e d that a v e r a g e black scores f o r t h e f o u r h i g h e s t N o r t h e r n states ( 4 5 . 3 1 ) e x c e e d e d
250
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t h e white m e a n f o r n i n e S o u t h e r n states (43.94). H e f o u n d t h e s a m e p a t t e r n f o r B e t a , w h e r e b l a c k s o f six N o r t h e r n states a v e r a g e d 3 4 . 6 3 , a n d whites o f f o u r t e e n S o u t h e r n states, 3 1 . 1 1 . H e r e d i t a r i a n s h a d their p a t a n s w e r , a s u s u a l : o n l y t h e best N e g r o e s h a d b e e n s m a r t e n o u g h t o m o v e N o r t h . T o p e o p l e o f g o o d will a n d c o m m o n s e n s e a n e x p l a n a t i o n i n t e r m s o f e d u c a t i o n a l quality h a s always s e e m e d m o r e r e a s o n a b l e , especially since M o n t a g u also f o u n d s u c h h i g h c o r r e l a t i o n s b e t w e e n a state's e x p e n d i t u r e f o r e d u c a t i o n a n d t h e a v e r a g e s c o r e o f its r e c r u i t s . O n e other persistent correlation threatened Yerkes's hereditarian c o n v i c t i o n s , a n d his r e s c u i n g a r g u m e n t b e c a m e a m a j o r social w e a p o n i n later political c a m p a i g n s f o r r e s t r i c t i n g i m m i g r a t i o n . T e s t scores h a d b e e n t a b u l a t e d b y c o u n t r y o f o r i g i n , a n d Y e r k e s noted the pattern so dear to the hearts of N o r d i c supremacists. He divided recruits by country of origin into English, Scandinavian, a n d T e u t o n i c o n o n e side, a n d L a t i n a n d Slavic o n the o t h e r , a n d stated (p. 6 9 9 ) : " t h e d i f f e r e n c e s a r e c o n s i d e r a b l e (an e x t r e m e r a n g e o f practically t w o y e a r s m e n t a l a g e ) " — f a v o r i n g t h e N o r d i c s , of course. B u t Y e r k e s a c k n o w l e d g e d a potential p r o b l e m . Most Latins and Slavs h a d a r r i v e d r e c e n t l y a n d s p o k e E n g l i s h e i t h e r p o o r l y o r n o t a t all; the m a i n w a v e o f T e u t o n i c i m m i g r a t i o n h a d p a s s e d l o n g before. A c c o r d i n g to Yerkes's protocol, it shouldn't have mattered. M e n w h o could not speak English suffered no penalty. T h e y took B e t a , a pictorial test that s u p p o s e d l y m e a s u r e d i n n a t e ability i n d e p e n d e n t o f literacy a n d l a n g u a g e . Y e t t h e d a t a still s h o w e d a n a p p a r e n t p e n a l t y f o r u n f a m i l i a r i t y with E n g l i s h . O f w h i t e recruits w h o s c o r e d E i n A l p h a a n d t h e r e f o r e t o o k B e t a a s well ( p p . 3 8 2 383), s p e a k e r s o f E n g l i s h a v e r a g e d 1 0 1 . 6 i n B e t a , w h i l e n o n s p e a k ers a v e r a g e d o n l y 7 7 . 8 . O n t h e i n d i v i d u a l p e r f o r m a n c e scale, w h i c h e l i m i n a t e d t h e h a r a s s m e n t a n d c o n f u s i o n o f B e t a , native a n d f o r e i g n - b o r n r e c r u i t s d i d n o t d i f f e r (p. 403). ( B u t v e r y few m e n w e r e e v e r g i v e n t h e s e i n d i v i d u a l tests, a n d t h e y d i d n o t affect n a t i o n a l a v e r a g e s . ) Y e r k e s h a d t o a d m i t (p. 3 9 5 ) : " T h e r e a r e indications t o t h e effect that i n d i v i d u a l s h a n d i c a p p e d b y l a n g u a g e difficulty a n d illiteracy a r e p e n a l i z e d t o a n a p p r e c i a b l e d e g r e e i n B e t a a s c o m p a r e d with m e n n o t s o h a n d i c a p p e d . " A n o t h e r c o r r e l a t i o n was e v e n m o r e p o t e n t i a l l y d i s t u r b i n g . Y e r k e s f o u n d that a v e r a g e test scores f o r f o r e i g n - b o r n r e c r u i t s r o s e consistently with y e a r s o f r e s i d e n c e i n A m e r i c a .
25 J
THE H E R E D I T A R I A N THEORY OF IQ YEARS OF RESIDENCE
0-5 6-10 11-15 16-20 20-
AVERAGE M E N T A L AGE
11.29 11.70 12.53 13.50 13.74
D i d n ' t this i n d i c a t e that familiarity with A m e r i c a n w a y s , a n d n o t i n n a t e i n t e l l i g e n c e , r e g u l a t e d t h e d i f f e r e n c e s i n scores? Y e r k e s a d m i t t e d t h e possibility, b u t h e l d o u t s t r o n g h o p e f o r a h e r e d i t a r ian salvation ( p . 704): Apparently then the g r o u p that has been longer resident in this country does somewhat better* in intelligence examination. It is not possible to state whether the difference is caused by the better adaptation of the m o r e thoroughly Americanized group to the situation of the examination or whether s o m e other factor is operative. It might be, for instance, that the m o r e intelligent immigrants succeed and therefore remain in this country, but this suggestion is weakened by the fact that so many successful immigrants do return to Europe. At best we can but leave for future decision the question as to whether the differences represent a real difference of intelligence or an artifact of the m e t h o d of examination. T h e T e u t o n i c s u p r e m a c i s t s w o u l d s o o n s u p p l y that d e c i s i o n : r e c e n t i m m i g r a t i o n h a d d r a w n the d r e g s o f E u r o p e , lower-class L a t i n s a n d Slavs. I m m i g r a n t s o f l o n g e r r e s i d e n c e b e l o n g e d p r e d o m i n a n t l y t o s u p e r i o r n o r t h e r n stocks. T h e c o r r e l a t i o n with y e a r s i n A m e r i c a was a n artifact o f g e n e t i c status. T h e a r m y m e n t a l tests c o u l d h a v e p r o v i d e d a n i m p e t u s f o r social r e f o r m , since t h e y d o c u m e n t e d that e n v i r o n m e n t a l d i s a d v a n t a g e s w e r e r o b b i n g f r o m millions o f p e o p l e a n o p p o r t u n i t y t o d e v e l o p t h e i r intellectual skills. A g a i n a n d a g a i n , t h e d a t a p o i n t e d t o s t r o n g c o r r e l a t i o n s b e t w e e n test scores a n d e n v i r o n m e n t . A g a i n a n d a g a i n , t h o s e w h o w r o t e a n d a d m i n i s t e r e d t h e tests i n v e n t e d t o r t u o u s , a d h o c e x p l a n a t i o n s t o p r e s e r v e their h e r e d i t a r i a n p r e j udices. H o w p o w e r f u l t h e h e r e d i t a r i a n biases o f T e r m a n , G o d d a r d , and Y e r k e s must have been to m a k e t h e m so blind to immediate *Note how choice of language can serve as an indication of bias. This 2.5 year difference in mental ages (13.74-u.29) only represents "somewhat better" performance. The smaller (but presumably hereditary) difference of 2 years between Nordic-Teutonic and Latin-Slav groups had been described as "considerable."
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c i r c u m s t a n c e s ! T e r m a n seriously a r g u e d that g o o d o r p h a n a g e s p r e c l u d e d a n y e n v i r o n m e n t a l c a u s e o f low I Q f o r c h i l d r e n i n t h e m . G o d d a r d tested c o n f u s e d a n d f r i g h t e n e d i m m i g r a n t s w h o h a d j u s t completed a grueling j o u r n e y in steerage and thought he had capt u r e d i n n a t e i n t e l l i g e n c e . Y e r k e s b a d g e r e d his r e c r u i t s , o b t a i n e d p r o o f o f c o n f u s i o n a n d h a r a s s m e n t i n their l a r g e m o d e o f z e r o s c o r e s , a n d p r o d u c e d d a t a o n the i n h e r e n t abilities o f racial a n d n a t i o n a l g r o u p s . O n e c a n n o t a t t r i b u t e all t h e s e c o n c l u s i o n s t o s o m e m y s t e r i o u s " t e m p e r o f t h e t i m e s , " f o r c o n t e m p o r a r y critics saw t h r o u g h t h e n o n s e n s e a s well. E v e n b y s t a n d a r d s o f t h e i r o w n e r a , the A m e r i c a n hereditarians were dogmatists. B u t their d o g m a w a f t e d u p o n f a v o r a b l e c u r r e n t s into r e a l m s o f g e n e r a l a c c e p t a n c e , with tragic c o n s e q u e n c e s . Political impact CAN
DEMOCRACY
of the army SURVIVE
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THIRTEEN?
Y e r k e s was t r o u b l e d b y his o w n f i g u r e o f 13.08 a s a n a v e r a g e m e n t a l a g e f o r t h e w h i t e d r a f t . I t f i t t e d his p r e j u d i c e s a n d t h e e u g e n i c a l fears o f p r o s p e r o u s old A m e r i c a n s , b u t i t was t o o g o o d t o b e t r u e , o r t o o low t o b e b e l i e v e d . Y e r k e s r e c o g n i z e d that s m a r t e r folks h a d b e e n e x c l u d e d f r o m the s a m p l e — o f f i c e r s w h o enlisted a n d " p r o f e s s i o n a l a n d business e x p e r t s that w e r e e x e m p t e d f r o m d r a f t b e c a u s e essential t o i n d u s t r i a l activity i n the w a r " (p. 7 8 5 ) . B u t the o b v i o u s l y r e t a r d e d a n d f e e b l e - m i n d e d h a d also b e e n c u l l e d b e f o r e r e a c h i n g Y e r k e s ' s e x a m i n e r s , t h e r e b y bala n c i n g e x c l u s i o n s a t the o t h e r e n d . T h e r e s u l t i n g a v e r a g e o f 1 3 m i g h t be a bit l o w , but it c o u l d not be far w r o n g (p. 7 8 5 ) . Y e r k e s f a c e d t w o possibilities. H e c o u l d r e c o g n i z e t h e f i g u r e a s a b s u r d , a n d s e a r c h his m e t h o d s f o r t h e f l a w s that e n g e n d e r e d such n o n s e n s e . H e w o u l d n o t h a v e h a d far t o l o o k , h a d h e b e e n s o i n c l i n e d , since t h r e e m a j o r biases all c o n s p i r e d t o b r i n g t h e a v e r a g e d o w n t o his i m p l a u s i b l e f i g u r e . First, t h e tests m e a s u r e d e d u c a t i o n a n d familiarity w i t h A m e r i c a n c u l t u r e , n o t i n n a t e i n t e l l i g e n c e — a n d m a n y r e c r u i t s , w h a t e v e r their i n t e l l i g e n c e , w e r e b o t h w o e f u l l y d e f i c i e n t i n e d u c a t i o n a n d e i t h e r t o o n e w t o A m e r i c a o r too i m p o v e r i s h e d t o h a v e m u c h a p p r e c i a t i o n f o r the e x e m p l a r y a c c o m p l i s h m e n t s o f M r . M a t h e w s o n ( i n c l u d i n g a n e.r.a. o f 1.14 i n 1909)S e c o n d , Y e r k e s ' s o w n stated p r o t o c o l h a d n o t b e e n f o l l o w e d . A b o u t t w o - t h i r d s o f t h e w h i t e s a m p l e t o o k A l p h a , a n d their h i g h fre-
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q u e n c y o f z e r o scores i n d i c a t e d that m a n y s h o u l d h a v e b e e n r e t e s t e d i n B e t a . B u t t i m e a n d t h e i n d i f f e r e n c e o f t h e r e g u l a r brass c o n s p i r e d a g a i n s t it, a n d m a n y recruits w e r e n o t r e e x a m i n e d . Finally, B o r i n g ' s t r e a t m e n t o f z e r o v a l u e s i m p o s e d a n a d d i t i o n a l p e n a l t y on scores a l r e a d y (and artificially) too low. O r Y e r k e s c o u l d a c c e p t t h e f i g u r e a n d r e m a i n a bit p u z z l e d . H e o p t e d , of course, for the second strategy: We know now approximately from clinical experience the capacity and mental ability of a man of 13 years mental age. We have never heretofore supposed that the mental ability of this man was the average of the country or anywhere near it. A moron has been defined as anyone with a mental age from 7 to 12 years. If this definition is interpreted as meaning anyone with a mental age less than 13 years, as has recently been d o n e , then almost half of the white draft (47.3 percent) would have been morons. T h u s it appears that feeble-mindedness, as at present defined, is of much greater frequency of occurrence than had been originally supposed. Y e r k e s ' s c o l l e a g u e s w e r e d i s t u r b e d a s well. G o d d a r d , w h o h a d i n v e n t e d t h e m o r o n , b e g a n t o d o u b t his o w n c r e a t i o n : " W e s e e m t o b e i m p a l e d o n the h o r n s o f a d i l e m m a : e i t h e r h a l f t h e p o p u l a t i o n is feeble-minded; or 12 year mentality does not properly c o m e within t h e limits o f f e e b l e - m i n d e d n e s s " ( 1 9 1 9 , p . 3 5 2 ) . H e also o p t e d f o r Y e r k e s ' s solution a n d s o u n d e d t h e w a r n i n g c r y f o r American democracy: If it is ultimately found that the intelligence of the average man is 1 3 — instead of 16—it will only confirm what s o m e are beginning to suspect; viz., that the average man can m a n a g e his affairs with only a moderate degree of p r u d e n c e , can earn only a very modest living, and is vastly better off when following directions than when trying to plan for himself. In other words, it will show that there is a fundamental reason for many of the conditions that we find in h u m a n society and further that much of o u r effort to c h a n g e conditions is unintelligent because we have not understood the nature of the average man (1919, p. 236). Unfortunate 13 became a formula figure a m o n g those w h o s o u g h t t o c o n t a i n m o v e m e n t s f o r social w e l f a r e . A f t e r all, i f t h e a v e r a g e m a n is scarcely b e t t e r t h a n a m o r o n , t h e n p o v e r t y is f u n damentally biological in origin, and neither education nor better o p p o r t u n i t i e s f o r e m p l o y m e n t c a n alleviate it. In a f a m o u s a d d r e s s , entitled " I s A m e r i c a safe f o r d e m o c r a c y ? " , t h e c h a i r m a n o f H a r vard's p s y c h o l o g y d e p a r t m e n t stated (W. M c D o u g a l l , q u o t e d i n C h a s e , 1 9 7 7 , p . 226):
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T h e results of the Army tests indicate that about 75 percent of the population has not sufficient innate capacity for intellectual d e v e l o p m e n t to enable it to complete the usual high school course. T h e very extensive testing of school-children carried on by Professor T e r m a n and his colleagues leads to closely concordant results. In an inaugural address as president of Colgate University, G. G. C u t t e n p r o c l a i m e d i n 1922 ( q u o t e d i n C r a v e n s , 1 9 7 8 , p . 224): " W e c a n n o t c o n c e i v e o f a n y w o r s e f o r m o f c h a o s t h a n a real d e m o c r a c y in a p o p u l a t i o n of a v e r a g e i n t e l l i g e n c e of a little o v e r 13 y e a r s . " A g a i n , a c a t c h y , n u m e r i c a l " f a c t " h a d risen t o p r o m i n e n c e a s t h e d i s c o v e r y o f objective s c i e n c e — w h i l e t h e fallacies a n d f i n a g l i n g that t h o r o u g h l y i n v a l i d a t e d i t r e m a i n e d h i d d e n i n t h e details o f a n e i g h t - h u n d r e d - p a g e m o n o g r a p h that t h e p r o p a g a n d i s t s n e v e r read. T H E ARMY TESTS AND AGITATION TO RESTRICT IMMIGRATION: BRIGHAM'S M O N O G R A P H O N
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T h e g r a n d a v e r a g e o f t h i r t e e n h a d political i m p a c t , b u t its p o t e n t i a l f o r social h a v o c was small c o m p a r e d w i t h Y e r k e s ' s f i g u r e s f o r racial a n d n a t i o n a l d i f f e r e n c e s ; f o r h e r e d i t a r i a n s c o u l d n o w claim that t h e fact a n d e x t e n t o f g r o u p d i f f e r e n c e s i n i n n a t e intell i g e n c e h a d f i n a l l y , o n c e a n d f o r all, b e e n established. Y e r k e s ' s disc i p l e C . C. B r i g h a m , t h e n a n assistant p r o f e s s o r o f p s y c h o l o g y a t Princeton University, proclaimed (1923, p. xx): We have here an investigation which, of course, surpasses in reliability all preceding investigations, assembled and correlated, a h u n d r e d fold. T h e s e army data constitute the first really significant contribution to the study of race differences in mental traits. T h e y give us a scientific basis for our conclusions. I n 1 9 2 3 B r i g h a m p u b l i s h e d a b o o k , s h o r t e n o u g h a n d stated w i t h sufficient b a l d n e s s ( s o m e w o u l d say clarity) t o b e r e a d a n d u s e d by all p r o p a g a n d i s t s . A Study of American Intelligence ( B r i g h a m , 1923) b e c a m e a p r i m a r y v e h i c l e f o r t r a n s l a t i n g t h e a r m y results o n g r o u p d i f f e r e n c e s i n t o social action (see K a m i n , 1 9 7 4 a n d C h a s e , 1 9 7 7 ) . Y e r k e s h i m s e l f w r o t e t h e f o r e w o r d a n d p r a i s e d B r i g h a m for his objectivity: T h e author presents not theories or opinion but facts. It behooves us to consider their reliability and their meaning, for no o n e of us as a citizen can afford to ignore the m e n a c e of race deterioration or the evident rela-
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tions of immigration to national progress and welfare (in Brigham, 1923, p. vii). S i n c e B r i g h a m d e r i v e d his " f a c t s " o n g r o u p d i f f e r e n c e s e n t i r e l y f r o m t h e a r m y r e s u l t s , h e h a d first t o dismiss t h e c l a i m that Y e r k e s ' s tests m i g h t n o t b e p u r e m e a s u r e s o f i n n a t e i n t e l l i g e n c e . H e a d m i t ted that A l p h a m i g h t m i n g l e t h e i m p a c t o f e d u c a t i o n with n a t i v e ability, f o r i t d i d r e q u i r e literacy. B u t B e t a c o u l d o n l y r e c o r d unadulterated innate intelligence: "Examination Beta involves no E n g l i s h , a n d t h e tests c a n n o t b e c o n s i d e r e d a s e d u c a t i o n a l m e a sures i n a n y s e n s e " ( p . 100). I n a n y c a s e , h e a d d e d f o r g o o d m e a s u r e , i t scarcely m a t t e r s w h e t h e r t h e tests also r e c o r d w h a t Y e r k e s h a d called " t h e b e t t e r a d a p t a t i o n o f t h e m o r e t h o r o u g h l y A m e r i c a n i z e d g r o u p t o t h e situation o f t h e e x a m i n a t i o n " (p. 9 3 ) , since (p. 96): If the tests used included s o m e mysterious type of situation that was "typically American," we are i n d e e d fortunate, for this is America, and the purpose of our inquiry is that of obtaining a measure of the character of our immigration.* Inability to respond to a "typically American" situation is obviously an undesirable trait. O n c e h e h a d p r o v e d that t h e tests m e a s u r e i n n a t e i n t e l l i g e n c e , B r i g h a m d e v o t e d m o s t o f his b o o k t o d i s p e l l i n g c o m m o n i m p r e s sions that m i g h t t h r e a t e n this basic a s s u m p t i o n . T h e a r m y tests h a d , f o r e x a m p l e , assessed J e w s ( p r i m a r i l y r e c e n t i m m i g r a n t s ) a s quite low in i n t e l l i g e n c e . D o e s this d i s c o v e r y n o t conflict w i t h t h e notable a c c o m p l i s h m e n t s o f s o m a n y J e w i s h s c h o l a r s , s t a t e s m e n , a n d p e r f o r m i n g artists? B r i g h a m c o n j e c t u r e d t h a t J e w s m i g h t b e more variable than o t h e r g r o u p s ; a low m e a n w o u l d not p r e c l u d e a f e w g e n i u s e s i n t h e u p p e r r a n g e . I n a n y case, B r i g h a m a d d e d , w e probably focus unduly on the Jewish heritage of some great m e n b e c a u s e i t s u r p r i s e s us: " T h e a b l e J e w i s p o p u l a r l y r e c o g n i z e d n o t only b e c a u s e of his ability, b u t b e c a u s e he is a b l e a n d a J e w " (p. 190). " O u r f i g u r e s , t h e n , w o u l d r a t h e r t e n d t o d i s p r o v e t h e p o p u lar b e l i e f that t h e J e w is h i g h l y i n t e l l i g e n t " (p. 190). B u t w h a t a b o u t t h e h i g h e r scores o f N o r t h e r n vs. S o u t h e r n blacks? S i n c e Y e r k e s h a d also s h o w n that N o r t h e r n blacks, o n a v e r age, attended school for several m o r e years than their Southern c o u n t e r p a r t s , d i d n ' t t h e scores reflect d i f f e r e n c e s i n e d u c a t i o n | I n all other parts of the book, he claims that his aim is to measure and interpret mnate differences in intelligence.
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m o r e t h a n i n b o r n ability? B r i g h a m d i d n o t d e n y a small e f f e c t f o r e d u c a t i o n (p. 1 9 1 ) , b u t h e p r e s e n t e d t w o r e a s o n s f o r a t t r i b u t i n g t h e h i g h e r scores o f N o r t h e r n blacks p r i m a r i l y t o b e t t e r b i o l o g y : first, " t h e g r e a t e r a d m i x t u r e o f w h i t e b l o o d " a m o n g N o r t h e r n b l a c k s ; s e c o n d , " t h e o p e r a t i o n o f e c o n o m i c a n d social f o r c e s , s u c h as h i g h e r wages, better living conditions, identical school privileges, a n d a less c o m p l e t e social o s t r a c i s m , t e n d i n g t o d r a w t h e m o r e i n t e l l i g e n t n e g r o t o t h e n o r t h " (p. 192). B r i g h a m faced the greatest challenge to hereditarianism on the issue o f i m m i g r a t i o n . E v e n Y e r k e s h a d e x p r e s s e d a g n o s t i c i s m — t h e o n l y t i m e h e c o n s i d e r e d a significant a l t e r n a t i v e t o i n b o r n b i o l o g y — o n t h e c a u s e s o f steadily i n c r e a s i n g scores f o r i m m i g r a n t s w h o h a d lived l o n g e r i n A m e r i c a (see p . 2 5 1 ) . T h e effects w e r e c e r t a i n l y l a r g e , t h e r e g u l a r i t y s t r i k i n g . W i t h o u t e x c e p t i o n (see c h a r t o n p . 2 5 1 ) , e a c h f i v e y e a r s o f r e s i d e n c y b r o u g h t a n i n c r e a s e i n test s c o r e s , a n d t h e total d i f f e r e n c e b e t w e e n r e c e n t a r r i v a l s a n d the l o n g e s t r e s i d e n t s was a full t w o a n d a h a l f y e a r s in m e n t a l a g e . B r i g h a m d i r e c t e d h i m s e l f a r o u n d t h e a p p a l l i n g possibility o f e n v i r o n m e n t a l i s m b y a r g u i n g i n a circle. H e b e g a n b y a s s u m i n g w h a t h e i n t e n d e d t o d e m o n s t r a t e . H e d e n i e d t h e possibility o f environmental influence a priori, by accepting as p r o v e n the highly c o n t r o v e r s i a l c l a i m that B e t a m u s t m e a s u r e u n a d u l t e r a t e d i n n a t e i n t e l l i g e n c e , w h a t e v e r A l p h a m a y b e d o i n g with its r e q u i r e m e n t o f literacy. T h e b i o l o g i c a l basis o f d e c l i n i n g s c o r e s f o r r e c e n t i m m i g r a n t s c a n t h e n b e p r o v e n b y d e m o n s t r a t i n g that d e c r e a s e o n t h e c o m b i n e d scale i s n o t a n a r t i f a c t o f d i f f e r e n c e s i n A l p h a o n l y : T h e hypothesis of growth of intelligence with increasing length of residence may be identified with the hypothesis of an error in the m e t h o d of measuring intelligence, for we must assume that we are measuring native or inborn intelligence, and any increase in our test score d u e to any other factor may be regarded as an error. . . . If all m e m b e r s of our five years of residence groups had been given Alpha, Beta, and individual examinations in equal proportions, then all would have been treated alike, and the relationship shown would stand without any possibility of error (p. 100). If the differences between residence groups are not innate, B r i g h a m a r g u e d , t h e n t h e y reflect a t e c h n i c a l f l a w i n c o n s t r u c t i n g t h e c o m b i n e d scale f r o m v a r y i n g p r o p o r t i o n s o f A l p h a s a n d B e t a s ; t h e y c a n n o t arise f r o m a d e f e c t i n t h e tests t h e m s e l v e s , a n d t h e r e f o r e cannot, by definition, be e n v i r o n m e n t a l indicators of increasi n g familiarity w i t h A m e r i c a n c u s t o m s a n d l a n g u a g e .
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B r i g h a m studied the performances of A l p h a s and Betas, f o u n d that d i f f e r e n c e s b e t w e e n r e s i d e n c e g r o u p s p e r s i s t e d a m o n g the B e t a s , a n d p r o c l a i m e d his c o u n t e r - i n t u i t i v e h y p o t h e s i s o f d e c r e a s ing innate intelligence a m o n g m o r e recent immigrants. " W e actually f i n d , " h e p r o c l a i m e d (p. 102), " t h a t t h e g a i n f r o m e a c h t y p e o f e x a m i n a t i o n [both A l p h a a n d B e t a ] i s a b o u t t h e s a m e . T h i s i n d i c a t e s , t h e n , that t h e f i v e y e a r s o f r e s i d e n c e g r o u p s a r e g r o u p s with real d i f f e r e n c e s i n n a t i v e i n t e l l i g e n c e , a n d n o t g r o u p s l a b o r i n g u n d e r m o r e o r less o f a linguistic a n d e d u c a t i o n a l h a n d i c a p . " Instead of considering that our curve indicates a growth of intelligence with increasing length of residence, we are forced to take the reverse of the picture and accept the hypothesis that the curve indicates a gradual deterioration in the class of immigrants examined in the army, w h o came to this country in each succeeding 5 year period since 1902 (pp. 1 1 0 - 1 1 1 ) . . . . T h e average intelligence of succeeding waves of immigration has b e c o m e progressively lower (p. 155). B u t why should recent immigrants be m o r e stupid? To resolve this c o n u n d r u m , B r i g h a m i n v o k e d t h e l e a d i n g t h e o r i s t o f r a c i s m in his d a y , t h e A m e r i c a n M a d i s o n G r a n t ( a u t h o r of The Passing of the Great Race), a n d that a g i n g relic f r o m t h e h e y d a y of F r e n c h craniometry, Count Georges Vacher de Lapouge. Brigham argued that t h e E u r o p e a n p e o p l e s a r e m i x t u r e s , t o v a r y i n g d e g r e e s , o f t h r e e o r i g i n a l races: 1 ) N o r d i c s , " a r a c e o f s o l d i e r s , sailors, a d v e n t u r e r s , a n d e x p l o r e r s , b u t a b o v e all, o f r u l e r s , o r g a n i z e r s , a n d aristocrats . . . f e u d a l i s m , class d i s t i n c t i o n s , a n d r a c e p r i d e a m o n g E u r o p e a n s a r e t r a c e a b l e f o r t h e m o s t p a r t t o the N o r t h . " T h e y a r e " d o m i n e e r i n g , individualistic, self-reliant . . . a n d as a result t h e y a r e usually P r o t e s t a n t s " ( G r a n t , q u o t e d i n B r i g h a m , p . 182); 2 ) A l p i n e s , w h o a r e " s u b m i s s i v e t o a u t h o r i t y b o t h political a n d relig i o u s , b e i n g u s u a l l y R o m a n C a t h o l i c s " ( G r a n t , i n B r i g h a m , p . 183), a n d w h o m V a c h e r d e L a p o u g e d e s c r i b e d a s " t h e p e r f e c t slave, t h e ideal serf, t h e m o d e l subject" (p. 183); 3 ) M e d i t e r r a n e a n s , o f w h o m G r a n t a p p r o v e d , g i v e n their a c c o m p l i s h m e n t s i n a n c i e n t G r e e c e a n d R o m e , b u t w h o m B r i g h a m d e s p i s e d b e c a u s e their a v e r a g e scores w e r e e v e n slightly l o w e r t h a n t h e A l p i n e s . B r i g h a m t h e n tried t o assess t h e a m o u n t o f N o r d i c , A l p i n e , a n d M e d i t e r r a n e a n blood in various E u r o p e a n peoples, a n d to calculate t h e a r m y scores o n this scientific a n d racial basis, r a t h e r t h a n f r o m the political e x p e d i e n t o f n a t i o n a l o r i g i n . H e d e v i s e d t h e f o l l o w i n g
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f i g u r e s f o r a v e r a g e i n t e l l i g e n c e : N o r d i c , 1 3 . 2 8 ; A l p i n e , 11.67; Mediterranean, 11.43. T h e p r o g r e s s i v e d e c l i n e o f i n t e l l i g e n c e f o r e a c h f i v e - y e a r resid e n c y g r o u p t h e n a c h i e v e d its easy, innatist e x p l a n a t i o n . T h e c h a r acter of immigration had c h a n g e d m a r k e d l y d u r i n g the past twenty y e a r s . B e f o r e t h e n , arrivals h a d b e e n p r e d o m i n a n t l y N o r d i c ; since then, we have been inundated by a progressively increasing n u m ber of Alpines and Mediterraneans, as the focus of immigration s h i f t e d f r o m G e r m a n y , S c a n d i n a v i a , a n d t h e British Isles t o t h e great u n w a s h e d of southern and eastern E u r o p e — I t a l i a n s , Greeks, T u r k s , H u n g a r i a n s , P o l e s , R u s s i a n s , a n d o t h e r Slavs ( i n c l u d i n g J e w s , w h o m B r i g h a m d e f i n e d racially a s " A l p i n e Slavs"). O f t h e i n f e r i o r i t y o f t h e s e r e c e n t i m m i g r a n t s , t h e r e c a n b e n o d o u b t (p. 202): T h e Fourth of July orator can convincingly raise the popular belief in the intellectual level of Poland by shouting the n a m e of Kosciusko from a high platform, but he cannot alter the distribution of the intelligence of the Polish immigrant. B u t B r i g h a m r e a l i z e d that t w o difficulties still s t o o d b e f o r e his innatist c l a i m . H e h a d p r o v e d that t h e a r m y tests m e a s u r e d i n b o r n i n t e l l i g e n c e , b u t h e still f e a r e d that i g n o r a n t o p p o n e n t s m i g h t try to attribute high N o r d i c scores to the presence of so m a n y native speakers of English in the g r o u p . He t h e r e f o r e divided the N o r d i c g r o u p into native speakers f r o m C a n a d a a n d t h e British isles, w h o a v e r a g e d 1 3 . 8 4 , a n d " n o n English speakers," primarily from G e r m a n y , Holland, and Scand i n a v i a , w h o a v e r a g e d 12.97. A g a i n , B r i g h a m h a d v i r t u a l l y p r o v e d t h e e n v i r o n m e n t a l i s t c l a i m that a r m y tests m e a s u r e d f a m i l i a r i t y with A m e r i c a n language and customs; but again, he devised an innatist f u d g e . T h e d i s p a r i t y b e t w e e n E n g l i s h a n d n o n - E n g l i s h Nordics was half as large as the difference between Nordics a n d Mediterraneans. Since differences a m o n g Nordics could only repr e s e n t t h e e n v i r o n m e n t a l effects o f l a n g u a g e a n d c u l t u r e (as B r i g h a m admitted), why not attribute variation between E u r o p e a n races t o t h e s a m e c a u s e ? A f t e r all, t h e so-called n o n - E n g l i s h N o r dics w e r e , o® a v e r a g e , m o r e f a m i l i a r w i t h A m e r i c a n w a y s a n d should have scored higher than Alpines and Mediterraneans on this basis a l o n e . B r i g h a m called t h e s e m e n " n o n - E n g l i s h " a n d u s e d
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t h e m a s a test o f his l a n g u a g e h y p o t h e s i s . B u t , i n fact, h e o n l y k n e w t h e i r c o u n t r y o f o r i g i n , n o t t h e i r d e g r e e o f familiarity with E n g l i s h . O n a v e r a g e , t h e s e so-called n o n - E n g l i s h N o r d i c s h a d b e e n i n A m e r i c a far longer than the Alpines or Mediterraneans. Many s p o k e E n g l i s h well a n d h a d s p e n t e n o u g h y e a r s i n A m e r i c a t o master t h e a r c a n a o f b o w l i n g , c o m m e r c i a l p r o d u c t s , a n d film stars. I f t h e y , with t h e i r i n t e r m e d i a r y k n o w l e d g e o f A m e r i c a n c u l t u r e , scored almost a year below the English Nordics, why not attribute the nearly two-year disadvantage of Alpines and Mediterraneans to their greater a v e r a g e unfamiliarity with A m e r i c a n ways? It is surely m o r e parsimonious to use the same explanation for a continu u m of effects. Instead, B r i g h a m admitted environmental causes for the disparity within Nordics, but then a d v a n c e d innatism to e x p l a i n t h e l o w e r scores o f his d e s p i s e d s o u t h e r n a n d e a s t e r n Europeans (pp. 1 7 1 - 1 7 2 ) : T h e r e are, of course, cogent historical and sociological reasons accounting for the inferiority of the non-English speaking Nordic g r o u p . On the other hand, if o n e wishes to deny, in the teeth of the facts, the superiority of the Nordic race on the ground that the language factor mysteriously aids this g r o u p when tested, he may cut out of the Nordic distribution the English speaking Nordics, and still find a marked superiority of the non-English speaking Nordics over the Alpine and Mediterranean groups, a fact which clearly indicates that the underlying cause of the nativity differences we have shown is race, and not language. H a v i n g m e t this c h a l l e n g e , B r i g h a m e n c o u n t e r e d a n o t h e r that h e c o u l d n ' t q u i t e e n c o m p a s s . H e h a d a t t r i b u t e d the d e c l i n i n g scores o f successive f i v e - y e a r g r o u p s t o t h e d e c r e a s i n g p e r c e n t a g e of Nordics in their midst. Y e t he had to admit a troubling anac h r o n i s m . T h e N o r d i c w a v e h a d d i m i n i s h e d l o n g b e f o r e , a n d immigration for the two or three most recent five-year g r o u p s had included a roughly constant proportion of Alpines and Mediterr a n e a n s . Y e t scores c o n t i n u e d t o d r o p while racial c o m p o s i t i o n r e m a i n e d c o n s t a n t . D i d n ' t this, a t least, i m p l i c a t e l a n g u a g e a n d cult u r e ? A f t e r all, B r i g h a m h a d a v o i d e d b i o l o g y i n e x p l a i n i n g t h e s u b stantial d i f f e r e n c e s b e t w e e n N o r d i c g r o u p s ; w h y n o t treat similar differences a m o n g Alpines and Mediterraneans in the same way? A g a i n , prejudice annihilated c o m m o n sense and B r i g h a m invented an implausible explanation for which, he admitted, he had no d i r e c t e v i d e n c e . S i n c e scores o f A l p i n e s a n d M e d i t e r r a n e a n s h a d
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b e e n declining, the nations h a r b o r i n g these miscreants must be s e n d i n g a p r o g r e s s i v e l y p o o r e r b i o l o g i c a l stock as t h e y e a r s w e a r o n (p. 178): T h e decline in intelligence is d u e to two factors, the change in the races migrating to this country, and to the additional factor of the sending of lower and lower representatives of each race. T h e prospects for A m e r i c a , B r i g h a m g r o u s e d , w e r e dismal. T h e E u r o p e a n m e n a c e was b a d e n o u g h , b u t A m e r i c a f a c e d a special a n d m o r e s e r i o u s p r o b l e m (p. x x i ) : Running parallel with the movements of these European peoples, we have the most sinister development in the history of this continent, the importation of the negro. B r i g h a m c o n c l u d e d his tract w i t h a political p l e a , a d v o c a t i n g t h e h e r e d i t a r i a n line o n t w o h o t political subjects o f his t i m e : the restriction o f i m m i g r a t i o n a n d e u g e n i c a l r e g u l a t i o n o f r e p r o d u c tion ( p p . 2 0 9 - 2 1 0 ) : T h e decline of American intelligence will be m o r e rapid than the decline of the intelligence of European national groups, owing to the presence here of the n e g r o . T h e s e are the plain, if somewhat ugly, facts that our study shows. T h e deterioration of American intelligence is not inevitable, however, if public action can be aroused to prevent it. T h e r e is no reason why legal steps should not be taken which would insure a continuously progressive upward evolution. T h e steps that should be taken to preserve or increase o u r present intellectual capacity must of course be dictated by science and not by political expediency. Immigration should not only be restrictive but highly selective. A n d the revision of the immigration and naturalization laws will only afford a slight relief from our present difficulty. T h e really important steps are those looking toward the prevention of the continued propagation of defective strains in the present population. A s Y e r k e s h a d said o f B r i g h a m : " T h e a u t h o r p r e s e n t s n o t t h e o r i e s or opinions but facts." T H E T R I U M P H OF R E S T R I C T I O N O N
IMMIGRATION
T h e a r m y tests e n g e n d e r e d a variety o f social uses. T h e i r m o s t e n d u r i n g e f f e c t s u r e l y lay i n t h e field o f m e n t a l t e s t i n g itself. T h e y w e r e t h e first w r i t t e n I Q tests t o g a i n r e s p e c t , a n d t h e y p r o v i d e d essential t e c h n o l o g y f o r i m p l e m e n t i n g t h e h e r e d i t a r i a n i d e o l o g y
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that a d v o c a t e d , c o n t r a r y t o B i n e t ' s w i s h e s , t h e t e s t i n g a n d r a n k i n g o f all c h i l d r e n . O t h e r p r o p a g a n d i s t s u s e d t h e a r m y results t o d e f e n d racial s e g r e g a t i o n a n d l i m i t e d access o f blacks t o h i g h e r e d u c a t i o n . C o r nelia J a m e s C a n n o n , w r i t i n g in t h e Atlantic Monthly in 1 9 2 2 , n o t e d that 8 9 p e r c e n t o f blacks h a d tested a s m o r o n s a n d a r g u e d ( q u o t e d i n C h a s e , 1 9 7 7 , p . 263): Emphasis must necessarily be laid on the d e v e l o p m e n t of the primary schools, on the training in activities, habits, occupations which do not d e m a n d the m o r e evolved faculties. In the South particularly . . . the education of the whites and colored in separate schools may have justification other than that created by race prejudice. . . . A public school system, preparing for life y o u n g people of a race, 50 percent of w h o m never reach a mental age of 10, is a system yet to be perfected. But the army data h a d their most immediate and p r o f o u n d impact u p o n t h e g r e a t i m m i g r a t i o n d e b a t e , t h e n a m a j o r political issue i n A m e r i c a . R e s t r i c t i o n w a s i n t h e air, a n d w o u l d h a v e o c c u r r e d w i t h o u t scientific b a c k i n g . ( C o n s i d e r t h e w i d e s p e c t r u m o f s u p p o r t that limitationists c o u l d m u s t e r — f r o m traditional c r a f t u n i o n s fearing multitudes of low-paid laborers, to jingoists and A m e r i c a firsters w h o r e g a r d e d most immigrants as b o m b - t h r o w i n g anarchists and w h o h e l p e d m a k e m a r t y r s o f S a c c o a n d V a n z e t t i . ) B u t the t i m i n g , a n d especially the p e c u l i a r c h a r a c t e r , o f t h e 1 9 2 4 Restriction A c t clearly r e f l e c t e d t h e l o b b y i n g o f scientists a n d e u g e n i c i s t s , a n d t h e a r m y d a t a f o r m e d t h e i r m o s t p o w e r f u l b a t t e r i n g r a m (see C h a s e , 1977; Kamin, 1974; and L u d m e r e r , 1972). H e n r y Fairfield O s b o r n , t r u s t e e o f C o l u m b i a U n i v e r s i t y a n d president of the A m e r i c a n M u s e u m of Natural History, wrote in 1 9 2 3 , in a s t a t e m e n t that I c a n n o t r e a d w i t h o u t a s h u d d e r w h e n I recall t h e g r u e s o m e statistics o f m o r t a l i t y f o r W o r l d W a r I: I believe those tests were worth what the war cost, even in h u m a n life, if they served to show clearly to our people the lack of intelligence in our country, and the degrees of intelligence in different races w h o are coming to us, in a way which no o n e can say is the result of prejudice. . . . We have learned o n c e and for all that the negro is not like us. So in regard to many races and subraces in Europe we learned that s o m e which we had believed possessed of an order of intelligence perhaps superior to ours [read Jews] were far inferior.
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Congressional debates leading to passage of the Immigration Restriction A c t o f 1 9 2 4 f r e q u e n t l y i n v o k e d t h e a r m y d a t a . E u g e n i cists l o b b i e d n o t o n l y f o r limits t o i m m i g r a t i o n , b u t f o r c h a n g i n g its character by imposing harsh quotas against nations of inferior s t o c k — a f e a t u r e o f t h e 1 9 2 4 act that m i g h t n e v e r h a v e b e e n i m p l e mented, or even considered, without the army data and eugenicist p r o p a g a n d a . In short, southern and eastern E u r o p e a n s , the A l p i n e a n d M e d i t e r r a n e a n n a t i o n s w i t h m i n i m a l scores o n the a r m y tests, should be kept out. T h e eugenicists battled and w o n o n e of the g r e a t e s t victories o f scientific r a c i s m i n A m e r i c a n h i s t o r y . T h e f i r s t restriction act o f 1 9 2 1 h a d set y e a r l y q u o t a s a t 3 p e r c e n t o f i m m i g r a n t s f r o m a n y n a t i o n t h e n r e s i d e n t i n A m e r i c a . T h e 1 9 2 4 act, f o l l o w i n g a b a r r a g e of e u g e n i c i s t p r o p a g a n d a , reset the q u o t a s at 2 p e r c e n t o f p e o p l e f r o m e a c h n a t i o n r e c o r d e d i n t h e 1890 c e n s u s . T h e 1890 f i g u r e s w e r e u s e d until 1 9 3 0 . W h y 1890 a n d n o t 1920 since t h e act was p a s s e d in 1924? 1890 m a r k e d a w a t e r s h e d in t h e history o f i m m i g r a t i o n . S o u t h e r n a n d e a s t e r n E u r o p e a n s a r r i v e d i n relatively small n u m b e r s b e f o r e t h e n , b u t b e g a n t o p r e d o m i n a t e thereafter. Cynical, but effective. " A m e r i c a must be kept A m e r i c a n , " p r o c l a i m e d C a l v i n C o o l i d g e a s h e s i g n e d t h e bill.
BRIGHAM
RECANTS
Six y e a r s a f t e r his d a t a h a d s o m a t e r i a l l y a f f e c t e d t h e establishm e n t of national quotas, B r i g h a m h a d a p r o f o u n d c h a n g e of heart. H e r e c o g n i z e d that a test s c o r e c o u l d n o t b e reified a s a n entity inside a person's h e a d : Most psychologists working in the test field have been guilty of a naming fallacy which easily enables them to slide mysteriously from the score in the test to the hypothetical faculty suggested by the n a m e given to the test. T h u s , they speak of sensory discrimination, perception, memory, intelligence, and the like while the reference is to a certain objective test situation (Brigham, 1930, p. 159). I n a d d i t i o n , B r i g h a m n o w r e a l i z e d that t h e a r m y d a t a w e r e worthless as measures of innate intelligence for two reasons. For e a c h e r r o r , h e a p o l o g i z e d w i t h a n abjectness r a r e l y e n c o u n t e r e d i n scientific l i t e r a t u r e . First, h e a d m i t t e d that A l p h a a n d B e t a c o u l d n o t b e c o m b i n e d i n t o a s i n g l e scale a s h e a n d Y e r k e s h a d d o n e i n p r o d u c i n g a v e r a g e s f o r r a c e s a n d n a t i o n s . T h e tests m e a s u r e d dif-
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f e r e n t t h i n g s , a n d e a c h was i n t e r n a l l y i n c o n s i s t e n t i n a n y case. E a c h n a t i o n was r e p r e s e n t e d b y a s a m p l e o f recruits w h o h a d t a k e n A l p h a and Beta in differing proportions. Nations could not be c o m p a r e d at all ( B r i g h a m , 1 9 3 0 , p . 164): As this m e t h o d of amalgamating Alphas and Betas to produce a combined scale was used by the writer in his earlier analysis of the Army tests as applied to samples of foreign born in the draft, that study with its entire hypothetical superstructure of racial differences collapses completely. S e c o n d l y , B r i g h a m a c k n o w l e d g e d t h a t t h e tests h a d m e a s u r e d familiarity w i t h A m e r i c a n l a n g u a g e a n d c u l t u r e , n o t i n n a t e intelligence: For purposes of comparing individuals or groups, it is apparent that tests in the vernacular must be used only with individuals having equal opportunity to acquire the vernacular of the test. This requirement precludes the use of such tests in making comparative studies of individuals brought up in h o m e s in which the vernacular of the test is not used, or in which two vernaculars are used. T h e last condition is frequently violated here in studies of children born in this country whose parents speak another tongue. It is important, as the effects of bilingualism are not entirely known. . . . Comparative studies of various national and racial groups may not be m a d e with existing tests. . . . O n e of the most pretentious of these comparative racial studies—the writer's own—was without foundation (Brigham, 1930, p. 165). B r i g h a m p a i d his p e r s o n a l d e b t , b u t h e c o u l d n o t u n d o w h a t the tests h a d a c c o m p l i s h e d . T h e q u o t a s s t o o d , a n d s l o w e d i m m i g r a t i o n f r o m s o u t h e r n a n d e a s t e r n E u r o p e t o a trickle. T h r o u g h out t h e 1 9 3 0 s , J e w i s h r e f u g e e s , a n t i c i p a t i n g t h e h o l o c a u s t , s o u g h t to emigrate, but w e r e not admitted. T h e legal quotas, and continuing eugenical p r o p a g a n d a , barred t h e m even in years w h e n inflated q u o t a s f o r w e s t e r n a n d n o r t h e r n E u r o p e a n n a t i o n s w e r e not f i l l e d . C h a s e ( 1 9 7 7 ) h a s e s t i m a t e d that t h e q u o t a s b a r r e d u p t o 6 million s o u t h e r n , c e n t r a l , a n d e a s t e r n E u r o p e a n s b e t w e e n 1 9 2 4 a n d t h e o u t b r e a k o f W o r l d W a r I I ( a s s u m i n g that i m m i g r a t i o n h a d c o n t i n u e d a t its p r e - 1 9 2 4 rate). W e k n o w w h a t h a p p e n e d t o m a n y who wished to leave but h a d n o w h e r e to go. T h e paths to destruction are often indirect, but ideas can be agents as sure as g u n s a n d bombs.
SIX
T h e Real Error of Cyril Burt Factor Analysis and the Reification of Intelligence It has been the signal merit of the English school of psychology, from Sir Francis Galton onwards, that it has, by this very device of mathematical analysis, transformed the mental test from a discredited dodge of the charlatan into a recognized instrument of scientific precision. — CYRIL
BURT,
1921,
p.
130
The case of Sir Cyril Burt If I h a d a n y d e s i r e to l e a d a life of i n d o l e n t e a s e , I w o u l d wish to be an identical twin, separated at birth f r o m my brother and raised in a d i f f e r e n t social class. We c o u l d h i r e o u r s e l v e s o u t to a host o f social scientists a n d practically n a m e o u r f e e . F o r w e w o u l d b e e x c e e d i n g l y r a r e r e p r e s e n t a t i v e s o f t h e o n l y really a d e q u a t e natu r a l e x p e r i m e n t f o r s e p a r a t i n g g e n e t i c f r o m e n v i r o n m e n t a l effects in h u m a n s — g e n e t i c a l l y identical individuals raised in disparate environments. S t u d i e s o f i d e n t i c a l twins raised a p a r t s h o u l d t h e r e f o r e h o l d pride of place in literature on the inheritance of I Q . A n d so it w o u l d b e b u t f o r o n e p r o b l e m — t h e e x t r e m e rarity o f t h e a n i m a l itself. F e w i n v e s t i g a t o r s h a v e b e e n a b l e t o r u s t l e u p m o r e t h a n t w e n t y p a i r s o f twins. Y e t , a m i d s t this p a l t r i n e s s , o n e s t u d y s e e m e d t o s t a n d o u t : that o f Sir C y r i l B u r t ( 1 8 8 3 - 1 9 7 1 ) . Sir C y r i l , d o y e n o f m e n t a l testers, h a d p u r s u e d t w o s e q u e n t i a l c a r e e r s that g a i n e d h i m a p r e e m i n e n t r o l e in d i r e c t i n g b o t h t h e o r y a n d p r a c t i c e in his field o f e d u c a t i o n a l p s y c h o l o g y . F o r t w e n t y y e a r s h e was t h e official psychologist of the L o n d o n C o u n t y Council, responsible for the
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a d m i n i s t r a t i o n a n d i n t e r p r e t a t i o n o f m e n t a l tests i n L o n d o n ' s schools. He then succeeded Charles S p e a r m a n as professor in the most influential chair of psychology in Britain: University C o l l e g e , L o n d o n ( 1 9 3 2 - 1 9 5 0 ) . D u r i n g his l o n g r e d r e m e n t , Sir C y r i l p u b lished several p a p e r s that b u t t r e s s e d the h e r e d i t a r i a n claim by citi n g v e r y h i g h c o r r e l a t i o n b e t w e e n I Q scores o f i d e n t i c a l twins r a i s e d a p a r t . B u r t ' s s t u d y stood o u t a m o n g all o t h e r s b e c a u s e h e h a d f o u n d fifty-three p a i r s , m o r e than twice t h e total o f a n y p r e v i o u s a t t e m p t . I t i s scarcely s u r p r i s i n g that A r t h u r J e n s e n u s e d Sir C y r i l ' s f i g u r e s a s t h e m o s t i m p o r t a n t d a t u m i n his n o t o r i o u s article (1969) on supposedly inherited and ineradicable differences in i n t e l l i g e n c e b e t w e e n whites a n d blacks i n A m e r i c a . T h e story o f B u r t ' s u n d o i n g i s n o w m o r e t h a n a twice-told tale. P r i n c e t o n p s y c h o l o g i s t L e o n K a m i n first n o t e d that, w h i l e B u r t h a d i n c r e a s e d his s a m p l e o f twins f r o m f e w e r t h a n t w e n t y t o m o r e t h a n fifty in a series of p u b l i c a t i o n s , t h e a v e r a g e c o r r e l a t i o n b e t w e e n pairs f o r I Q r e m a i n e d u n c h a n g e d t o t h e t h i r d d e c i m a l p l a c e — a statistical situation so u n l i k e l y that it m a t c h e s o u r v e r n a c u l a r definition o f i m p o s s i b l e . T h e n , i n 1 9 7 6 , O l i v e r Gillie, m e d i c a l c o r r e s p o n d e n t o f t h e L o n d o n Sunday Times, e l e v a t e d t h e c h a r g e f r o m i n e x c u s a b l e c a r e l e s s n e s s t o c o n s c i o u s f a k e r y . Gillie d i s c o v e r e d , a m o n g m a n y o t h e r t h i n g s , that B u r t ' s t w o " c o l l a b o r a t o r s , " a M a r g a r e t H o w a r d a n d a J . C o n w a y , t h e w o m e n w h o s u p p o s e d l y collected a n d p r o c e s s e d his d a t a , e i t h e r n e v e r e x i s t e d a t all, o r a t least c o u l d not h a v e b e e n i n c o n t a c t with B u r t w h i l e h e w r o t e t h e p a p e r s b e a r i n g t h e i r n a m e s . T h e s e c h a r g e s led t o f u r t h e r r e a s s e s s m e n t s o f B u r t ' s " e v i d e n c e " f o r his r i g i d h e r e d i t a r i a n p o s i t i o n . I n d e e d , o t h e r c r u c i a l s t u d i e s w e r e equally f r a u d u l e n t , p a r t i c u l a r l y his I Q c o r r e lations b e t w e e n close relatives (suspiciously t o o g o o d t o b e t r u e a n d a p p a r e n t l y c o n s t r u c t e d f r o m ideal statistical d i s t r i b u t i o n s , r a t h e r t h a n m e a s u r e d i n n a t u r e — D o r f m a n , 1 9 7 8 ) , a n d his d a t a f o r d e c l i n i n g levels o f i n t e l l i g e n c e i n B r i t a i n . B u r t ' s s u p p o r t e r s t e n d e d at first to v i e w t h e c h a r g e s as a thinly v e i l e d leftist plot t o u n d o t h e h e r e d i t a r i a n p o s i t i o n b y r h e t o r i c . H . J . E y s e n c k w r o t e t o B u r t ' s sister: " I t h i n k t h e w h o l e a f f a i r i s j u s t a d e t e r m i n e d effort on the part of some very left-wing environmentalists d e t e r m i n e d to play a political g a m e with scientific facts. I a m s u r e t h e f u t u r e will u p h o l d t h e h o n o r a n d i n t e g r i t y o f Sir C y r i l w i t h o u t a n y q u e s t i o n . " A r t h u r J e n s e n , w h o h a d called B u r t a
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" b o r n n o b l e m a n " a n d " o n e o f the w o r l d ' s g r e a t p s y c h o l o g i s t s , " h a d t o c o n c l u d e that t h e d a t a o n identical twins c o u l d n o t b e t r u s t e d , t h o u g h h e a t t r i b u t e d their i n a c c u r a c y t o carelessness a l o n e . I t h i n k that t h e s p l e n d i d "official" b i o g r a p h y o f B u r t r e c e n t l y p u b l i s h e d b y L . S . H e a r n s h a w ( 1 9 7 9 ) h a s r e s o l v e d the issue s o f a r a s t h e d a t a p e r m i t ( H e a r n s h a w was c o m m i s s i o n e d t o w r i t e his b o o k b y B u r t ' s sister b e f o r e a n y c h a r g e s h a d b e e n l e v e l e d ) . H e a r n s h a w , w h o began as an unqualified admirer of B u r t and w h o tends to s h a r e his i n t e l l e c t u a l a t d t u d e s , e v e n t u a l l y c o n c l u d e d that all allegations are true, and worse. A n d yet, H e a r n s h a w has convinced me that the v e r y e n o r m i t y a n d b i z a r r e n e s s o f B u r t ' s f a k e r y f o r c e s u s t o view it not as the "rational" p r o g r a m of a devious person trying to s a l v a g e his h e r e d i t a r i a n d o g m a w h e n h e k n e w t h e g a m e was u p (my o r i g i n a l s u s p i c i o n , I c o n f e s s ) , b u t as t h e actions of a sick a n d t o r t u r e d m a n . (All this, o f c o u r s e , d o e s n o t t o u c h the d e e p e r issue of why such patently m a n u f a c t u r e d data went unchallenged for so l o n g , a n d w h a t this will t o b e l i e v e i m p l i e s a b o u t the basis o f o u r hereditarian presuppositions.) H e a r n s h a w b e l i e v e s that B u r t b e g a n his fabrications i n t h e e a r l y 1940s, a n d t h a t his e a r l i e r w o r k w a s h o n e s t , t h o u g h m a r r e d b y rigid a priori c o n v i c d o n and often inexcusably sloppy a n d superficial, e v e n b y t h e s t a n d a r d s o f his o w n t i m e . B u r t ' s w o r l d b e g a n t o c o l l a p s e d u r i n g t h e w a r , p a r t l y b y his o w n d o i n g t o b e s u r e . His r e s e a r c h d a t a p e r i s h e d i n t h e blitz o f L o n d o n ; his m a r r i a g e f a i l e d ; h e was e x c l u d e d f r o m his o w n d e p a r t m e n t w h e n h e r e f u s e d t o retire gracefully at the mandatory a g e and attempted to retain control; he was r e m o v e d as editor of the j o u r n a l he h a d f o u n d e d , again after declining to cede control at the specified time he himself h a d set; his h e r e d i t a r i a n d o g m a n o l o n g e r m a t c h e d t h e spirit o f a n a g e that h a d j u s t w i t n e s s e d t h e h o l o c a u s t . I n a d d i t i o n , B u r t a p p a r e n t l y s u f f e r e d f r o m M e n i e r e s disease, a d i s o r d e r o f t h e organs of balance, with f r e q u e n t a n d negative consequences for p e r s o n a l i t y as well. H e a r n s h a w cites f o u r instances o f f r a u d i n B u r t ' s later c a r e e r . T h r e e I h a v e a l r e a d y m e n t i o n e d (fabrication o f d a t a o n identical t w i n s , k i n s h i p c o r r e l a t i o n s i n I Q , a n d d e c l i n i n g levels o f intellig e n c e i n B r i t a i n ) . T h e f o u r t h is, i n m a n y w a y s , t h e m o s t b i z a r r e tale o f all b e c a u s e B u r t ' s c l a i m was s o a b s u r d a n d his a c t i o n s s o p a t e n t a n d easy t o u n c o v e r . I t c o u l d n o t h a v e b e e n t h e act o f a
T H E REAL ERROR OF CYRIL B U R T r a t i o n a l m a n . B u r t a t t e m p t e d t o c o m m i t a n act o f intellectual parricide b y d e c l a r i n g himself, r a t h e r than his p r e d e c e s s o r a n d m e n tor C h a r l e s S p e a r m a n , a s t h e f a t h e r o f a t e c h n i q u e called " f a c t o r analysis" i n p s y c h o l o g y . S p e a r m a n h a d essentially i n v e n t e d t h e t e c h n i q u e i n a c e l e b r a t e d p a p e r o f 1904. B u r t n e v e r c h a l l e n g e d this p r i o r i t y — i n fact h e constantly a f f i r m e d i t — w h i l e S p e a r m a n h e l d t h e c h a i r that B u r t w o u l d later o c c u p y a t U n i v e r s i t y C o l l e g e I n d e e d , i n his f a m o u s b o o k o n f a c t o r analysis ( 1 9 4 0 ) , B u r t states that " S p e a r m a n ' s p r e e m i n e n c e i s a c k n o w l e d g e d b y e v e r y factorist (1940, p. x). B u r t ' s f i r s t a t t e m p t t o r e w r i t e history o c c u r r e d w h i l e S p e a r m a n w a s still alive, a n d it elicited a s h a r p r e j o i n d e r f r o m the o c c u p a n t emeritus of Burt's chair. Burt withdrew immediately and wrote a letter t o S p e a r m a n that m a y b e u n m a t c h e d f o r d e f e r e n c e a n d obsequiousness: "Surely y o u have a prior claim here. . . . I have been w o n d e r i n g w h e r e p r e c i s e l y I h a v e g o n e astray. W o u l d i t b e simplest f o r m e t o n u m b e r m y s t a t e m e n t s , t h e n like m y s c h o o l m a s t e r o f old y o u c a n p u t a cross a g a i n s t t h e p o i n t s w h e r e y o u r p u p i l has b l u n d e r e d , a n d a tick w h e r e y o u r view is c o r r e c t l y i n t e r p r e t e d . " B u t w h e n S p e a r m a n d i e d , B u r t l a u n c h e d a c a m p a i g n that " b e c a m e i n c r e a s i n g l y u n r e s t r a i n e d , obsessive a n d e x t r a v a g a n t ( H e a r n s h a w , 1979) t h r o u g h o u t t h e rest o f his life. H e a r n s h a w notes ( 1 9 7 9 , p p . 286-287): " T h e whisperings against S p e a r m a n that w e r e j u s t a u d i b l e in t h e late 1930's swelled i n t o a s t r i d e n t c a m p a i g n o f b e l i t t l e m e n t , w h i c h g r e w until B u r t a r r o g a t e d t o h i m s e l f the whole of Spearman's fame. Indeed, Burt seemed to be becomi n g i n c r e a s i n g l y o b s e s s e d w i t h q u e s t i o n s o f p r i o r i t y , a n d increasi n g l y t o u c h y a n d egotistical." B u r t ' s false story was s i m p l e e n o u g h K a r l P e a r s o n h a d i n v e n t e d t h e t e c h n i q u e o f f a c t o r analysis (of s o m e t h i n g close e n o u g h t o it) i n 1 9 0 1 , t h r e e y e a r s b e f o r e S p e a r man's paper. But Pearson had not applied it to psychological probl e m s . B u r t r e c o g n i z e d its i m p l i c a t i o n s a n d b r o u g h t the t e c h n i q u e i n t o studies o f m e n t a l testing, m a k i n g several c r u c i a l m o d i f i c a t i o n s a n d i m p r o v e m e n t s a l o n g t h e w a y . T h e line, t h e r e f o r e , r u n s f r o m P e a r s o n t o B u r t . S p e a r m a n ' s 1904 p a p e r was m e r e l y a d i v e r s i o n . ;
B u r t told his story a g a i n a n d a g a i n . H e e v e n told i t t h r o u g h o n e o f his m a n y aliases i n a letter h e w r o t e t o his o w n j o u r n a l a n d s i g n e d J a c q u e s Lafitte, a n u n k n o w n F r e n c h p s y c h o l o g i s t . W i t h t h e x c e p t i o n o f V o l t a i r e a n d B i n e t , M . Lafitte cited only E n g l i s h
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" b o r n n o b l e m a n " a n d " o n e o f the w o r l d ' s g r e a t p s y c h o l o g i s t s , " h a d t o c o n c l u d e that t h e d a t a o n identical twins c o u l d n o t b e t r u s t e d , t h o u g h h e a t t r i b u t e d t h e i r i n a c c u r a c y t o carelessness a l o n e . I t h i n k that t h e s p l e n d i d "official" b i o g r a p h y o f B u r t r e c e n t l y p u b l i s h e d by L. S. H e a r n s h a w ( 1 9 7 9 ) has r e s o l v e d the issue so f a r a s t h e d a t a p e r m i t ( H e a r n s h a w was c o m m i s s i o n e d t o w r i t e his b o o k b y B u r t ' s sister b e f o r e a n y c h a r g e s h a d b e e n l e v e l e d ) . H e a r n s h a w , w h o began as an unqualified admirer of B u r t and w h o tends to s h a r e his i n t e l l e c t u a l a t d t u d e s , e v e n t u a l l y c o n c l u d e d that all allegations are true, and worse. A n d yet, H e a r n s h a w has convinced me that t h e v e r y e n o r m i t y a n d b i z a r r e n e s s o f B u r t ' s f a k e r y f o r c e s u s t o v i e w it n o t as t h e " r a t i o n a l " p r o g r a m of a d e v i o u s p e r s o n t r y i n g to s a l v a g e his h e r e d i t a r i a n d o g m a w h e n h e k n e w t h e g a m e was u p ( m y o r i g i n a l s u s p i c i o n , I c o n f e s s ) , b u t as t h e actions of a sick a n d t o r t u r e d m a n . (All this, o f c o u r s e , d o e s n o t t o u c h t h e d e e p e r issue of why such patently manufactured data went unchallenged for so l o n g , a n d w h a t this will t o b e l i e v e i m p l i e s a b o u t t h e basis o f o u r hereditarian presuppositions.) H e a r n s h a w b e l i e v e s that B u r t b e g a n his f a b r i c a t i o n s i n t h e e a r l y 1940s, a n d that his e a r l i e r w o r k was h o n e s t , t h o u g h m a r r e d b y rigid a priori conviction a n d often inexcusably sloppy a n d superficial, e v e n b y t h e s t a n d a r d s o f his o w n t i m e . B u r t ' s w o r l d b e g a n t o c o l l a p s e d u r i n g t h e w a r , p a r t l y b y his o w n d o i n g t o b e s u r e . His r e s e a r c h d a t a p e r i s h e d i n t h e blitz o f L o n d o n ; his m a r r i a g e f a i l e d ; h e was e x c l u d e d f r o m his o w n d e p a r t m e n t w h e n h e r e f u s e d t o retire gracefully at the mandatory a g e and attempted to retain cont r o l ; h e was r e m o v e d a s e d i t o r o f t h e j o u r n a l h e h a d f o u n d e d , a g a i n a f t e r d e c l i n i n g t o c e d e c o n t r o l a t t h e specified t i m e h e h i m s e l f h a d set; his h e r e d i t a r i a n d o g m a n o l o n g e r m a t c h e d t h e spirit o f a n a g e that h a d j u s t w i t n e s s e d t h e h o l o c a u s t . I n a d d i t i o n , B u r t a p p a r e n t l y s u f f e r e d f r o m M e n i e r e s disease, a d i s o r d e r o f t h e organs of balance, with frequent and negative consequences for p e r s o n a l i t y as well. H e a r n s h a w cites f o u r instances o f f r a u d i n B u r t ' s later c a r e e r . T h r e e I h a v e a l r e a d y m e n t i o n e d (fabrication o f d a t a o n i d e n t i c a l twins, k i n s h i p c o r r e l a t i o n s i n I Q , a n d d e c l i n i n g levels o f intellig e n c e i n B r i t a i n ) . T h e f o u r t h is, i n m a n y w a y s , t h e m o s t b i z a r r e tale of all b e c a u s e B u r t ' s c l a i m was so a b s u r d a n d his a c t i o n s so p a t e n t a n d easy t o u n c o v e r . I t c o u l d n o t h a v e b e e n t h e act o f a
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rational m a n . B u r t a t t e m p t e d t o c o m m i t a n act o f intellectual p a r ricide b y d e c l a r i n g himself, r a t h e r t h a n his p r e d e c e s s o r a n d m e n tor C h a r l e s S p e a r m a n , a s t h e f a t h e r o f a t e c h n i q u e called " f a c t o r analysis" i n p s y c h o l o g y . S p e a r m a n h a d essentially i n v e n t e d t h e t e c h n i q u e i n a c e l e b r a t e d p a p e r o f 1904. B u r t n e v e r c h a l l e n g e d this p r i o r i t y — i n fact h e constantly a f f i r m e d i t — w h i l e S p e a r m a n h e l d t h e c h a i r that B u r t w o u l d later o c c u p y a t U n i v e r s i t y C o l l e g e . I n d e e d , i n his f a m o u s b o o k o n f a c t o r analysis ( 1 9 4 0 ) , B u r t states that " S p e a r m a n ' s p r e e m i n e n c e i s a c k n o w l e d g e d b y e v e r y f a c t o r i s t " (1940, p. x). B u r t ' s first a t t e m p t t o r e w r i t e history o c c u r r e d w h i l e S p e a r m a n was still alive, a n d it elicited a s h a r p r e j o i n d e r f r o m the o c c u p a n t emeritus of Burt's chair. Burt withdrew immediately and wrote a letter t o S p e a r m a n that m a y b e u n m a t c h e d f o r d e f e r e n c e a n d obseq u i o u s n e s s : " S u r e l y y o u h a v e a p r i o r claim h e r e . . . . I h a v e b e e n w o n d e r i n g w h e r e p r e c i s e l y I h a v e g o n e astray. W o u l d i t b e s i m p l e s t f o r m e t o n u m b e r m y s t a t e m e n t s , t h e n like m y s c h o o l m a s t e r o f o l d y o u c a n p u t a cross against t h e p o i n t s w h e r e y o u r p u p i l has b l u n d e r e d , a n d a tick w h e r e y o u r view is c o r r e c t l y i n t e r p r e t e d . " B u t w h e n S p e a r m a n d i e d , B u r t l a u n c h e d a c a m p a i g n that " b e c a m e i n c r e a s i n g l y u n r e s t r a i n e d , obsessive a n d e x t r a v a g a n t " ( H e a r n s h a w , 1979) t h r o u g h o u t t h e rest o f his life. H e a r n s h a w notes (1979, p p . 286-287): " T h e whisperings against S p e a r m a n that w e r e j u s t a u d i b l e in the late 1930's s w e l l e d into a s t r i d e n t c a m p a i g n o f b e l i t t l e m e n t , w h i c h g r e w until B u r t a r r o g a t e d t o h i m s e l f the whole of Spearman's fame. I n d e e d , Burt seemed to be becomi n g i n c r e a s i n g l y o b s e s s e d with q u e s t i o n s o f p r i o r i t y , a n d i n c r e a s ingly t o u c h y a n d egotistical." B u r t ' s false story was simple e n o u g h : K a r l P e a r s o n h a d i n v e n t e d the t e c h n i q u e o f f a c t o r analysis (or s o m e t h i n g close e n o u g h t o it) i n 1 9 0 1 , t h r e e y e a r s b e f o r e S p e a r man's paper. But Pearson had not applied it to psychological probl e m s . B u r t r e c o g n i z e d its i m p l i c a t i o n s a n d b r o u g h t t h e t e c h n i q u e into studies o f m e n t a l testing, m a k i n g s e v e r a l c r u c i a l modifications a n d i m p r o v e m e n t s a l o n g the w a y . T h e line, t h e r e f o r e , r u n s f r o m P e a r s o n t o B u r t . S p e a r m a n ' s 1904 p a p e r was m e r e l y a d i v e r s i o n . B u r t told his story a g a i n a n d a g a i n . H e e v e n told i t t h r o u g h o n e o f his m a n y aliases i n a letter h e w r o t e t o his o w n j o u r n a l a n d s i g n e d J a c q u e s Lafitte, a n u n k n o w n F r e n c h p s y c h o l o g i s t . W i t h the e x c e p t i o n o f V o l t a i r e a n d B i n e t , M . Lafitte cited only E n g l i s h
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s o u r c e s a n d stated: " S u r e l y the f i r s t f o r m a l a n d a d e q u a t e s t a t e m e n t was K a r l Pearson's d e m o n s t r a t i o n o f the m e t h o d o f p r i n c i p a l a x e s i n 1 9 0 1 . " Y e t a n y o n e c o u l d h a v e e x p o s e d B u r t ' s story a s f i c t i o n a f t e r a n h o u r ' s e f f o r t — f o r B u r t n e v e r cited Pearson's p a p e r i n any o f his w o r k b e f o r e 1 9 4 7 , while all his earlier studies o f f a c t o r analysis g r a n t credit t o S p e a r m a n a n d clearly display t h e d e r i v a t i v e character of Burt's methods. F a c t o r analysis m u s t h a v e b e e n v e r y i m p o r t a n t i f B u r t c h o s e t o c e n t e r his quest f o r f a m e u p o n a r e w r i t e o f history that w o u l d m a k e h i m its i n v e n t o r . Y e t , d e s p i t e all the p o p u l a r l i t e r a t u r e o n I Q i n t h e history o f m e n t a l testing, virtually n o t h i n g has b e e n w r i t t e n (outside p r o f e s s i o n a l circles) o n t h e r o l e , i m p a c t , a n d m e a n i n g o f f a c t o r analysis. I s u s p e c t that t h e m a i n r e a s o n f o r this n e g l e c t lies in t h e abstrusely m a t h e m a t i c a l n a t u r e o f t h e t e c h n i q u e . I Q , a l i n e a r scale first established as a r o u g h , e m p i r i c a l m e a s u r e , is easy to u n d e r s t a n d . F a c t o r analysis, r o o t e d in abstract statistical t h e o r y a n d b a s e d o n the a t t e m p t t o d i s c o v e r " u n d e r l y i n g " s t r u c t u r e i n l a r g e matrices of d a t a , is, to p u t it b l u n t l y , a bitch. Y e t this i n a t t e n t i o n to f a c t o r analysis is a serious o m i s s i o n f o r a n y o n e w h o wishes to u n d e r s t a n d t h e history o f m e n t a l testing i n o u r c e n t u r y , a n d its c o n t i n u i n g r a t i o n a l e today. F o r a s B u r t c o r r e c t l y n o t e d ( 1 9 1 4 , p . 3 6 ) , t h e history o f m e n t a l t e s t i n g c o n t a i n s two m a j o r a n d r e l a t e d s t r a n d s : a g e scale m e t h o d s ( B i n e t I Q testing), a n d c o r r e l a t i o n a l m e t h o d s (factor analysis). M o r e o v e r , a s S p e a r m a n c o n t i n u a l l y stressed t h r o u g h o u t his c a r e e r , the t h e o r e t i c a l justification f o r u s i n g a u n i l i n e a r scale of I Q resides i n f a c t o r analysis itself. B u r t m a y h a v e b e e n p e r v e r s e i n his c a m p a i g n , b u t h e was r i g h t i n his c h o s e n t a c t i c — a p e r m a n e n t a n d e x a l t e d n i c h e i n the p a n t h e o n o f p s y c h o l o g y lies r e s e r v e d f o r t h e m a n w h o d e v e l o p e d f a c t o r analysis. I b e g a n my c a r e e r in b i o l o g y by u s i n g f a c t o r analysis to s t u d y t h e e v o l u t i o n of a g r o u p of fossil reptiles. I was t a u g h t t h e technique as though it had developed f r o m first principles using p u r e logic. In fact, virtually all its p r o c e d u r e s a r o s e as justifications f o r p a r t i c u l a r t h e o r i e s of i n t e l l i g e n c e . F a c t o r analysis, d e s p i t e its status as p u r e d e d u c t i v e m a t h e m a t i c s , was i n v e n t e d in a social c o n t e x t , a n d f o r d e f i n i t e r e a s o n s . A n d , t h o u g h its m a t h e m a t i c a l basis is u n a s s a i l a b l e , its p e r s i s t e n t u s e as a d e v i c e f o r l e a r n i n g a b o u t t h e physical s t r u c t u r e o f intellect has b e e n m i r e d i n d e e p c o n c e p t u a l e r r o r s f r o m the start. T h e p r i n c i p a l e r r o r , i n fact, has i n v o l v e d a
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m a j o r t h e m e o f this b o o k : r e i f i c a t i o n — i n this c a s e , t h e n o t i o n that s u c h a n e b u l o u s , socially d e f i n e d c o n c e p t as i n t e l l i g e n c e m i g h t be identified as a " t h i n g " with a locus in t h e b r a i n a n d a d e f i n i t e d e g r e e of h e r i t a b i l i t y — a n d that it m i g h t be m e a s u r e d as a single n u m b e r , thus permitting a unilinear r a n k i n g of people according to t h e a m o u n t of it they possess. By i d e n t i f y i n g a m a t h e m a t i c a l f a c t o r axis with a c o n c e p t o f " g e n e r a l i n t e l l i g e n c e , " S p e a r m a n a n d B u r t p r o v i d e d a t h e o r e t i c a l justification f o r t h e u n i l i n e a r scale that Binet had p r o p o s e d as a r o u g h empirical guide. T h e intense debate about Cyril Burt's work has focused exclusively o n t h e f a k e r y o f his late c a r e e r . T h i s p e r s p e c t i v e has c l o u d e d Sir Cyril's g r e a t e r i n f l u e n c e a s t h e m o s t p o w e r f u l m e n t a l tester c o m m i t t e d to a factor-analytic m o d e l of i n t e l l i g e n c e as a r e a l a n d u n i t a r y " t h i n g . " B u r t ' s c o m m i t m e n t was r o o t e d i n t h e e r r o r o f reification. L a t e r f a k e r y was the a f t e r t h o u g h t o f a d e f e a t e d m a n ; his e a r l i e r , " h o n e s t " e r r o r has r e v e r b e r a t e d t h r o u g h o u t o u r c e n t u r y a n d h a s a f f e c t e d millions o f lives.
Correlation, cause, and factor analysis Correlation
and
cause
T h e spirit o f Plato dies h a r d . W e h a v e b e e n u n a b l e t o e s c a p e t h e p h i l o s o p h i c a l tradition that w h a t w e c a n see a n d m e a s u r e i n t h e w o r l d i s m e r e l y t h e superficial a n d i m p e r f e c t r e p r e s e n t a t i o n o f a n u n d e r l y i n g reality. M u c h o f t h e f a s c i n a t i o n o f statistics lies e m b e d d e d i n o u r g u t f e e l i n g — a n d n e v e r trust a g u t f e e l i n g — t h a t abstract m e a s u r e s s u m m a r i z i n g l a r g e tables o f d a t a m u s t e x p r e s s s o m e t h i n g m o r e real a n d f u n d a m e n t a l t h a n t h e d a t a t h e m s e l v e s . ( M u c h p r o f e s s i o n a l t r a i n i n g in statistics i n v o l v e s a c o n s c i o u s e f f o r t to c o u n t e r a c t this g u t feeling.) T h e t e c h n i q u e o f correlation h a s b e e n p a r t i c u l a r l y subject to s u c h m i s u s e b e c a u s e it s e e m s to p r o v i d e a p a t h f o r i n f e r e n c e s a b o u t causality ( a n d i n d e e d i t d o e s , s o m e t i m e s — b u t only sometimes). C o r r e l a t i o n assesses t h e t e n d e n c y o f o n e m e a s u r e t o v a r y i n c o n c e r t w i t h a n o t h e r . A s a child g r o w s , f o r e x a m p l e , b o t h its a r m s a n d legs g e t l o n g e r ; this j o i n t t e n d e n c y t o c h a n g e i n t h e s a m e d i r e c tion is called a positive correlation. N o t all parts of t h e b o d y display s u c h positive c o r r e l a t i o n s d u r i n g g r o w t h . T e e t h , f o r e x a m p l e , d o n o t g r o w a f t e r t h e y e r u p t . T h e r e l a t i o n s h i p b e t w e e n f i r s t incisor
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l e n g t h a n d l e g l e n g t h f r o m , say, a g e t e n t o a d u l t h o o d w o u l d r e p r e s e n t zero correlation—legs w o u l d g e t l o n g e r w h i l e t e e t h c h a n g e d n o t a t all. O t h e r c o r r e l a t i o n s c a n b e n e g a t i v e — o n e m e a s u r e increases while the other decreases. We begin to lose n e u r o n s at a distressingly e a r l y a g e , a n d t h e y a r e n o t r e p l a c e d . T h u s , t h e relationship between leg length and n u m b e r of neurons after midc h i l d h o o d r e p r e s e n t s negative correlation—leg l e n g t h i n c r e a s e s w h i l e n u m b e r o f n e u r o n s d e c r e a s e s . N o t i c e that I h a v e said n o t h i n g a b o u t causality. W e d o n o t k n o w w h y t h e s e c o r r e l a t i o n s exist o r d o n o t exist, o n l y that t h e y a r e p r e s e n t o r n o t p r e s e n t . T h e s t a n d a r d m e a s u r e o f c o r r e l a t i o n i s called P e a r s o n ' s p r o d u c t m o m e n t c o r r e l a t i o n coefficient o r , f o r s h o r t , s i m p l y t h e c o r r e lation coefficient, s y m b o l i z e d a s r . T h e c o r r e l a t i o n c o e f f i c i e n t r a n g e s f r o m + 1 f o r p e r f e c t positive c o r r e l a t i o n , t o o f o r n o c o r r e lation, t o - 1 for perfect negative correlation.* I n r o u g h t e r m s , r m e a s u r e s t h e s h a p e o f a n ellipse o f p l o t t e d p o i n t s (see F i g . 6.1). V e r y s k i n n y ellipses r e p r e s e n t h i g h c o r r e l a tions—the skinniest of all, a s t r a i g h t l i n e , reflects an r of 1.0. Fat ellipses r e p r e s e n t l o w e r c o r r e l a t i o n s , a n d t h e fattest of all, a circle, reflects z e r o c o r r e l a t i o n (increase i n o n e m e a s u r e p e r m i t s n o p r e d i c t i o n a b o u t w h e t h e r t h e o t h e r will i n c r e a s e , d e c r e a s e , o r r e m a i n the same). T h e c o r r e l a t i o n c o e f f i c i e n t , t h o u g h easily c a l c u l a t e d , h a s b e e n p l a g u e d b y e r r o r s o f i n t e r p r e t a t i o n . T h e s e c a n b e illustrated b y e x a m p l e . S u p p o s e that I p l o t a r m l e n g t h vs. l e g l e n g t h d u r i n g t h e g r o w t h of a c h i l d . I will o b t a i n a h i g h c o r r e l a t i o n w i t h t w o interesti n g i m p l i c a t i o n s . First, I h a v e a c h i e v e d simplification. I b e g a n with t w o d i m e n s i o n s (leg a n d a r m l e n g t h ) , w h i c h I h a v e n o w , effectively, r e d u c e d t o o n e . S i n c e t h e c o r r e l a t i o n i s s o s t r o n g , w e m a y say that t h e l i n e itself (a single d i m e n s i o n ) r e p r e s e n t s n e a r l y all t h e i n f o r m a t i o n o r i g i n a l l y s u p p l i e d as t w o d i m e n s i o n s . S e c o n d l y , I c a n , in this c a s e , m a k e a r e a s o n a b l e i n f e r e n c e a b o u t t h e cause of this r e d u c * Pearson's r is not an appropriate measure for all kinds of correlation, for it assesses only what statisticians call the intensity of linear relationship between two meajures—the tendency for all points to fall on a single straight line. Other relationships of strict dependence will not achieve a value of 1.0 for r. If, for example, each increase of 2 units in one variable were matched by an increase in a* units in the other variable, r would be less than 1.0, even though the two variables might be perfectly "correlated" in the vernacular sense. Their plot would be a parabola, not a straight line, and Pearson's r measures the intensity of linear relationship.
6• 1 Strength of correlation as a function of the shape of an ellipse of points. T h e m o r e elongate the ellipse, the higher the correlation.
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tion t o o n e d i m e n s i o n . A r m a n d l e g l e n g t h a r e tightly c o r r e l a t e d b e c a u s e t h e y a r e b o t h partial m e a s u r e s o f a n u n d e r l y i n g biological p h e n o m e n o n , n a m e l y g r o w t h itself. Y e t , lest a n y o n e b e c o m e t o o h o p e f u l that c o r r e l a t i o n r e p r e s e n t s a m a g i c m e t h o d f o r t h e u n a m b i g u o u s identification o f c a u s e , cons i d e r t h e r e l a t i o n s h i p b e t w e e n m y a g e a n d the p r i c e o f g a s o l i n e d u r i n g t h e past t e n y e a r s . T h e c o r r e l a t i o n i s n e a r l y p e r f e c t , b u t n o o n e w o u l d s u g g e s t a n y a s s i g n m e n t o f c a u s e . T h e fact o f c o r r e l a t i o n implies n o t h i n g about cause. It is not even true that intense correlations a r e m o r e likely t o r e p r e s e n t c a u s e t h a n w e a k o n e s , f o r the c o r r e l a t i o n of my a g e with t h e p r i c e of g a s o l i n e is n e a r l y 1.0. I spoke of cause for a r m and leg lengths not because their correlation was h i g h , b u t b e c a u s e I k n o w s o m e t h i n g a b o u t t h e b i o l o g y o f t h e situation. T h e i n f e r e n c e o f c a u s e m u s t c o m e f r o m s o m e w h e r e e l s e , n o t f r o m t h e s i m p l e fact o f c o r r e l a t i o n — t h o u g h a n u n e x pected correlation may lead us to search for causes so long as we r e m e m b e r that w e m a y n o t f i n d t h e m . T h e vast majority o f c o r r e lations i n o u r w o r l d a r e , w i t h o u t d o u b t , n o n c a u s a l . A n y t h i n g that has b e e n i n c r e a s i n g steadily d u r i n g t h e past f e w y e a r s will b e s t r o n g l y c o r r e l a t e d w i t h t h e d i s t a n c e b e t w e e n the e a r t h a n d H a l ley's c o m e t ( w h i c h h a s also b e e n i n c r e a s i n g o f l a t e ) — b u t e v e n the m o s t d e d i c a t e d a s t r o l o g e r w o u l d n o t d i s c e r n causality i n m o s t o f t h e s e r e l a t i o n s h i p s . T h e invalid a s s u m p t i o n that c o r r e l a t i o n implies cause is probably a m o n g the two or three most serious and common errors of human reasoning. Few people w o u l d be fooled by such a reductio ad a b s u r d u m as t h e a g e - g a s c o r r e l a t i o n . B u t c o n s i d e r a n i n t e r m e d i a t e case. I a m g i v e n a table o f d a t a s h o w i n g h o w f a r t w e n t y c h i l d r e n c a n hit a n d t h r o w a baseball. I g r a p h t h e s e d a t a a n d c a l c u l a t e a h i g h r. M o s t p e o p l e , I t h i n k , w o u l d s h a r e my intuition that this is n o t a m e a n ingless c o r r e l a t i o n ; y e t i n the a b s e n c e o f f u r t h e r i n f o r m a t i o n , t h e c o r r e l a t i o n itself t e a c h e s m e n o t h i n g a b o u t u n d e r l y i n g c a u s e s . F o r I c a n s u g g e s t at least t h r e e d i f f e r e n t a n d r e a s o n a b l e causal i n t e r p r e t a t i o n s f o r t h e c o r r e l a t i o n (and t h e t r u e r e a s o n i s p r o b a b l y s o m e combination of them): 1. T h e c h i l d r e n a r e simply o f d i f f e r e n t a g e s , a n d o l d e r c h i l d r e n c a n hit a n d t h r o w f a r t h e r . 2. T h e differences represent variation in practice and training. S o m e c h i l d r e n a r e Little L e a g u e stars a n d c a n tell y o u t h e y e a r that
THE REAL ERROR OF CYRIL B U R T R o g e r s H o r n s b y hit .424 ( 1 9 2 4 — I was a bratty little kid like that); others k n o w Billy M a r t i n o n l y as a figure in Lite b e e r c o m m e r c i a l s . 3. T h e d i f f e r e n c e s r e p r e s e n t disparities in n a t i v e ability that c a n n o t b e e r a s e d e v e n b y intense t r a i n i n g . ( T h e situation w o u l d b e e v e n m o r e c o m p l e x i f t h e s a m p l e i n c l u d e d b o t h b o y s a n d girls o f conventional upbringing. T h e correlation might then be attributed primarily to a fourth c a u s e — s e x u a l differences; and we would have to worry, in addition, about the cause of the sexual difference: training, inborn constitution, or some combination of nature and nurture). In summary, most correlations are noncausal; w h e n correlations a r e c a u s a l , t h e fact a n d s t r e n g t h o f t h e c o r r e l a t i o n r a r e l y specifies t h e n a t u r e o f t h e c a u s e . Correlation
in
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two dimensions
T h e s e t w o - d i m e n s i o n a l e x a m p l e s a r e easy t o g r a s p ( h o w e v e r difficult t h e y a r e t o i n t e r p r e t ) . B u t w h a t o f c o r r e l a t i o n s a m o n g m o r e t h a n two m e a s u r e s ? A b o d y i s c o m p o s e d o f m a n y p a r t s , n o t just arms and legs, a n d we may want to k n o w h o w several measures interact d u r i n g g r o w t h . S u p p o s e , f o r simplicity, that w e a d d j u s t o n e m o r e m e a s u r e , h e a d l e n g t h , t o m a k e a t h r e e - d i m e n s i o n a l system. We may now depict the correlation structure a m o n g the three m e a s u r e s i n t w o ways: 1. W e m a y g a t h e r all c o r r e l a t i o n coefficients b e t w e e n pairs o f m e a s u r e s i n t o a single table, or matrix of c o r r e l a t i o n coefficients (Fig. 6.2). T h e line f r o m u p p e r left t o l o w e r r i g h t r e c o r d s t h e necessarily p e r f e c t c o r r e l a t i o n of e a c h v a r i a b l e with itself. It is called the p r i n c i p a l d i a g o n a l , a n d all c o r r e l a t i o n s a l o n g i t a r e 1.0. T h e m a t r i x i s s y m m e t r i c a l a r o u n d t h e p r i n c i p a l d i a g o n a l , since t h e corr e l a t i o n of m e a s u r e 1 w i t h m e a s u r e 2 is t h e s a m e as t h e c o r r e l a t i o n o f 2 w i t h 1. T h u s , the t h r e e v a l u e s e i t h e r a b o v e o r b e l o w t h e p r i n cipal d i a g o n a l a r e t h e c o r r e l a t i o n s w e seek: a r m with l e g , a r m with h e a d , a n d l e g with h e a d . 2. We m a y plot t h e points f o r all i n d i v i d u a l s o n t o a t h r e e d i m e n s i o n a l g r a p h (Fig. 6.3). S i n c e t h e c o r r e l a t i o n s a r e all positive, t h e p o i n t s a r e o r i e n t e d a s a n ellipsoid (or football). (In t w o d i m e n sions, t h e y f o r m e d an ellipse.) A line r u n n i n g a l o n g t h e m a j o r axis o f the football e x p r e s s e s t h e s t r o n g positive c o r r e l a t i o n s b e t w e e n all m e a s u r e s .
arm
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1.0 6*2 A correlation matrix for three measurements.
T H E REAL ERROR OF CYRIL B U R T W e c a n g r a s p t h e t h r e e - d i m e n s i o n a l case, b o t h m e n t a l l y a n d pictorially. B u t w h a t a b o u t 2 0 d i m e n s i o n s , o r 100? I f w e m e a s u r e d 100 p a r t s o f a g r o w i n g b o d y , o u r c o r r e l a t i o n m a t r i x w o u l d c o n t a i n 10,000 items. T o p l o t this i n f o r m a t i o n , w e w o u l d h a v e t o w o r k i n a 1 0 0 - d i m e n s i o n a l s p a c e , with 100 m u t u a l l y p e r p e n d i c u l a r a x e s r e p r e s e n t i n g t h e o r i g i n a l m e a s u r e s . A l t h o u g h these 100 a x e s p r e s e n t n o m a t h e m a t i c a l p r o b l e m (they f o r m , i n t e c h n i c a l t e r m s , a h y p e r s p a c e ) , w e c a n n o t plot t h e m i n o u r t h r e e - d i m e n s i o n a l E u c l i d ian w o r l d . T h e s e 100 m e a s u r e s o f a g r o w i n g b o d y p r o b a b l y d o n o t r e p r e sent 100 d i f f e r e n t b i o l o g i c a l p h e n o m e n a . Just a s m o s t o f t h e i n f o r mation in o u r t h r e e - d i m e n s i o n a l ' e x a m p l e could be resolved into a single d i m e n s i o n (the l o n g axis o f t h e football), s o m i g h t o u r 100 m e a s u r e s b e simplified i n t o f e w e r d i m e n s i o n s . W e will lose s o m e information in the process to be s u r e — a s we did w h e n we collapsed t h e l o n g a n d s k i n n y f o o t b a l l , still a t h r e e - d i m e n s i o n a l s t r u c t u r e , i n t o t h e single line r e p r e s e n t i n g its l o n g axis. B u t w e m a y b e w i l l i n g t o a c c e p t this loss i n e x c h a n g e f o r simplification a n d f o r the possibility o f i n t e r p r e t i n g t h e d i m e n s i o n s that w e d o r e t a i n i n b i o l o g i c a l terms. Factor analysis
and its goals
W i t h this e x a m p l e , w e c o m e t o the h e a r t o f w h a t / a c t o r analysis a t t e m p t s to d o . F a c t o r analysis is a m a t h e m a t i c a l t e c h n i q u e f o r r e d u c i n g a c o m p l e x system o f c o r r e l a t i o n s into f e w e r d i m e n s i o n s . It w o r k s , literally, by f a c t o r i n g a m a t r i x , usually a m a t r i x of c o r r e lation coefficients. ( R e m e m b e r t h e h i g h - s c h o o l a l g e b r a e x e r c i s e c a l l e d " f a c t o r i n g , " w h e r e y o u simplified h o r r e n d o u s e x p r e s s i o n s b y r e m o v i n g c o m m o n m u l t i p l i e r s o f all terms?) G e o m e t r i c a l l y , t h e p r o c e s s o f f a c t o r i n g a m o u n t s t o p l a c i n g axes t h r o u g h a football o f p o i n t s . I n t h e 1 0 0 - d i m e n s i o n a l case, w e are n o t likely t o r e c o v e r e n o u g h i n f o r m a t i o n o n a single line d o w n the h y p e r f o o t b a l l ' s l o n g a x i s — a line c a l l e d t h e first principal component. We will n e e d a d d i tional a x e s . B y c o n v e n t i o n , w e r e p r e s e n t the s e c o n d d i m e n s i o n b y a l i n e perpendicular to t h e first p r i n c i p a l c o m p o n e n t . T h i s s e c o n d a x i s , o r second principal component, is d e f i n e d as t h e line that r e s o l v e s m o r e o f t h e r e m a i n i n g v a r i a t i o n t h a n a n y o t h e r l i n e that c o u l d b e d r a w n p e r p e n d i c u l a r t o t h e f i r s t p r i n c i p a l c o m p o n e n t . If, f o r e x a m p l e , t h e h y p e r f o o t b a l l w e r e s q u a s h e d f l a t like a f l o u n d e r , t h e
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first p r i n c i p a l c o m p o n e n t w o u l d r u n t h r o u g h t h e m i d d l e , f r o m h e a d t o tail, a n d t h e s e c o n d also t h r o u g h t h e m i d d l e , b u t f r o m side t o side. S u b s e q u e n t lines w o u l d b e p e r p e n d i c u l a r t o all p r e v i o u s a x e s , a n d w o u l d r e s o l v e a steadily d e c r e a s i n g a m o u n t o f r e m a i n i n g v a r i a t i o n . W e m i g h t f i n d that f i v e p r i n c i p a l c o m p o n e n t s r e s o l v e a l m o s t all t h e v a r i a t i o n i n o u r h y p e r f o o t b a l l — t h a t is, t h e h y p e r football d r a w n in 5 d i m e n s i o n s l o o k s sufficiently like t h e o r i g i n a l to satisfy u s , j u s t as a pizza or a f l o u n d e r d r a w n in t w o d i m e n s i o n s m a y e x p r e s s all t h e i n f o r m a t i o n w e n e e d , e v e n t h o u g h b o t h original objects c o n t a i n t h r e e d i m e n s i o n s . If we elect to s t o p at 5 d i m e n s i o n s , we m a y a c h i e v e a c o n s i d e r a b l e simplification at t h e a c c e p t a b l e p r i c e o f m i n i m a l loss o f i n f o r m a t i o n . W e c a n g r a s p t h e 5 dimensions conceptually; we may even be able to interpret them biologically. S i n c e f a c t o r i n g is p e r f o r m e d on a c o r r e l a t i o n m a t r i x , I shall u s e a g e o m e t r i c a l r e p r e s e n t a t i o n o f the c o r r e l a t i o n coefficients t h e m selves i n o r d e r t o e x p l a i n b e t t e r h o w t h e t e c h n i q u e o p e r a t e s . T h e original measures may be represented as vectors of unit length,* *( Footnote for aficionados—others may safely skip.) Here, I am technically discussing a procedure called "principal components analysis," not quite the same thing as factor analysis. In principal components analysis, we preserve all information in the original measures and fit new axes to them by the same criterion used in factor analysis in principal components orientation—that is, the first axis explains more data than any other axis could and subsequent axes lie at right angles to all other axes and encompass steadily decreasing amounts of information. In true factor analysis, we decide beforehand (by various procedures) not to include all information on our factor axes. But the two techniques—true factor analysis in principal components orientation and principal components analysis—play the same conceptual role and differ only in mode of calculation. In both, the first axis (Spearman's g for intelligence tests) is a "best fit" dimension that resolves more information in a set of vectors than any other axis could. During the past decade or so, semantic confusion has spread in statistical circles through a tendency to restrict the term "factor analysis" only to the rotations of axes usually performed after the calculation of principal components, and to extend the term "principal components analysis" both to true principal components analysis (all information retained) and to factor analysis done in principal components orientation (reduced dimensionality and loss of information). This shift in definition is completely out of keeping with the history of the subject and terms. Spearman, Burt, and hosts of other psychometricians worked for decades in this area before Thurstone and others invented axial rotations. They performed all their calculations in the principal components orientation, and they called themselves "factor analysts." I continue, therefore, to use the term "factor analysis" in its original sense to include any orientation of axes—principal components or rotated, orthogonal or oblique. I will also use a common, if somewhat sloppy, shorthand in discussing what
T H E REAL ERROR OF CYRIL B U R T radiating f r o m a c o m m o n point. If two measures are highly correl a t e d , their v e c t o r s lie close t o e a c h o t h e r . T h e c o s i n e o f the a n g l e between any two vectors records the correlation coefficient between them. If two vectors overlap, their correlation is perfect, or 1.0; the c o s i n e of o° is 1.0. If t w o v e c t o r s lie at r i g h t a n g l e s , t h e y are completely i n d e p e n d e n t , with a correlation of zero; the cosine of 9 0 is zero. If two vectors point in opposite directions, their corr e l a t i o n is p e r f e c t l y n e g a t i v e , or — 1.0; t h e c o s i n e of 180° is — 1 . 0 . A m a t r i x o f h i g h positive c o r r e l a t i o n coefficients will b e r e p r e s e n t e d by a cluster of vectors, each separated f r o m each other vector by a small a c u t e a n g l e (Fig. 6.4). W h e n we f a c t o r s u c h a c l u s t e r into fewer dimensions by computing principal components, we choose a s o u r f i r s t c o m p o n e n t t h e axis o f m a x i m a l r e s o l v i n g p o w e r , a k i n d o f g r a n d a v e r a g e a m o n g all v e c t o r s . W e assess r e s o l v i n g p o w e r b y p r o j e c t i n g e a c h v e c t o r o n t o t h e axis. T h i s i s d o n e b y d r a w i n g a line f r o m t h e tip o f t h e v e c t o r t o t h e a x i s , p e r p e n d i c u l a r t o t h e axis. T h e ratio o f p r o j e c t e d l e n g t h o n t h e axis t o t h e actual l e n g t h o f t h e v e c t o r itself m e a s u r e s t h e p e r c e n t a g e o f a vector's i n f o r m a t i o n r e s o l v e d by t h e axis. ( T h i s is difficult to e x p r e s s v e r b a l l y , b u t I t h i n k that F i g u r e 6.5 will d i s p e l c o n f u s i o n . ) If a v e c t o r lies n e a r t h e a x i s , it is h i g h l y r e s o l v e d a n d the axis e n c o m p a s s e s m o s t of its i n f o r m a tion. As a v e c t o r m o v e s a w a y f r o m the axis t o w a r d a m a x i m a l s e p a r a t i o n o f g o ° , t h e axis r e s o l v e s less a n d less o f it. 0
W e p o s i t i o n t h e f i r s t p r i n c i p a l c o m p o n e n t (or axis) s o that i t resolves m o r e i n f o r m a t i o n a m o n g all t h e v e c t o r s t h a n a n y o t h e r axis c o u l d . F o r o u r m a t r i x o f h i g h positive c o r r e l a t i o n coefficients, r e p r e s e n t e d by a set of tightly c l u s t e r e d v e c t o r s , t h e first p r i n c i p a l c o m p o n e n t r u n s t h r o u g h t h e m i d d l e o f t h e set (Fig. 6.4). T h e s e c o n d p r i n c i p a l c o m p o n e n t lies a t r i g h t a n g l e s t o t h e f i r s t a n d resolves a m a x i m a l a m o u n t of r e m a i n i n g information. B u t if the f i r s t c o m p o n e n t has a l r e a d y r e s o l v e d m o s t o f t h e i n f o r m a t i o n i n all the vectors, then the second a n d subsequent principal axes can only d e a l with t h e small a m o u n t o f i n f o r m a t i o n that r e m a i n s (Fig. 6.4).
factor axes do. Technically, factor axes resolve variance in original measures. I will, as is often done, speak of them as "explaining" or "resolving" information—as they do in the vernacular (though not in the technical) sense of information. That is, when the vector of an original variable projects strongly on a set of factor axes, little of its variance lies unresolved in higher dimensions outside the system of factor axes.
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S u c h systems o f h i g h positive correlation are f o u n d f r e q u e n t l y in n a t u r e . In my o w n first study in factor analysis, f o r e x a m p l e , I c o n s i d e r e d f o u r t e e n m e a s u r e m e n t s o n the bones o f t w e n t y - t w o species of p e l y c o s a u r i a n reptiles (the fossil beasts with the sails on their backs, o f t e n c o n f u s e d with d i n o s a u r s , but actually the ancestors o f m a m m a l s ) . M y f i r s t p r i n c i p a l c o m p o n e n t r e s o l v e d 9 7 . 1 per6•4 Geometric representation of correlations among eight tests when all correlation coefficients are high and positive. T h e first principal component, labeled 1, lies close to all the vectors, while the second principal component, labeled 2, lies at right angles to the first and does not explain much information in the vectors.
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c e n t of t h e i n f o r m a t i o n in all f o u r t e e n v e c t o r s , l e a v i n g o n l y 2.9 percent for subsequent axes. My fourteen vectors f o r m e d an e x t r e m e l y t i g h t s w a r m (all practically o v e r l a p p i n g ) ; t h e first axis went through the middle of the swarm. My pelycosaurs r a n g e d in b o d y l e n g t h f r o m less t h a n t w o t o m o r e t h a n e l e v e n feet. T h e y all l o o k pretty m u c h a l i k e , a n d b i g a n i m a l s h a v e l a r g e r m e a s u r e s f o r all f o u r t e e n b o n e s . A l l c o r r e l a t i o n coefficients o f b o n e s w i t h o t h e r b o n e s are v e r y h i g h ; in fact, t h e l o w e s t is still a w h o p p i n g 0 . 9 1 2 . 6*5 Computing the a m o u n t of information in a vector explained by an axis. Draw a line from the tip of the vector to the axis, perpendicular to the axis. T h e amount of information resolved by the axis is the ratio of the projected length on the axis to the true length of the vector. If a vector lies close to the axis, then this ratio is high and most of the information in the vector is resolved by the axis. Vector AB lies close to the axis and the ratio of the projection A B ' to the vector itself, A B , is high. Vector AC lies far from the axis and the ratio of its projected length AC to the vector itself, A C , is low.
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S c a r c e l y s u r p r i s i n g . A f t e r all, l a r g e a n i m a l s h a v e l a r g e b o n e s , a n d small a n i m a l s small b o n e s . I c a n i n t e r p r e t m y f i r s t p r i n c i p a l c o m p o n e n t a s a n a b s t r a c t e d size f a c t o r , t h u s r e d u c i n g (with m i n i m a l loss of i n f o r m a t i o n ) my f o u r t e e n o r i g i n a l m e a s u r e m e n t s i n t o a sing l e d i m e n s i o n i n t e r p r e t e d a s i n c r e a s i n g b o d y size. I n this c a s e , fact o r analysis h a s a c h i e v e d b o t h simplification b y r e d u c t i o n o f d i m e n s i o n s ( f r o m f o u r t e e n t o effectively o n e ) , a n d explanation b y r e a s o n a b l e b i o l o g i c a l i n t e r p r e t a t i o n of t h e first axis as a size f a c t o r . B u t — a n d here comes an e n o r m o u s b u t — b e f o r e we rejoice a n d e x t o l f a c t o r analysis as a p a n a c e a f o r u n d e r s t a n d i n g c o m p l e x syst e m s o f c o r r e l a t i o n , w e s h o u l d r e c o g n i z e that i t i s subject t o t h e same cautions and objections previously e x a m i n e d for the correlation coefficients t h e m s e l v e s . I c o n s i d e r t w o m a j o r p r o b l e m s in t h e f o l l o w i n g sections. The
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T h e first principal c o m p o n e n t is a mathematical abstraction t h a t c a n b e c a l c u l a t e d f o r a n y m a t r i x o f c o r r e l a t i o n coefficients; i t is n o t a " t h i n g " w i t h p h y s i c a l reality. Factorists h a v e o f t e n fallen p r e y to a t e m p t a t i o n f o r reification—for a w a r d i n g physical meaning to all s t r o n g p r i n c i p a l c o m p o n e n t s . S o m e t i m e s this is j u s t i f i e d ; I b e l i e v e that I c a n m a k e a g o o d case f o r i n t e r p r e t i n g my first pelyc o s a u r i a n axis as a size f a c t o r . B u t s u c h a c l a i m c a n n e v e r arise f r o m the mathematics alone, only f r o m additional k n o w l e d g e of the physical n a t u r e of the measures themselves. For nonsensical systems o f c o r r e l a t i o n h a v e p r i n c i p a l c o m p o n e n t s a s w e l l , a n d they m a y r e s o l v e m o r e i n f o r m a t i o n than m e a n i n g f u l c o m p o n e n t s d o i n o t h e r systems. A f a c t o r analysis f o r a five-by-five c o r r e l a t i o n m a t r i x o f m y a g e , t h e p o p u l a t i o n o f M e x i c o , t h e p r i c e o f swiss c h e e s e , m y p e t turtle's w e i g h t , a n d t h e a v e r a g e d i s t a n c e b e t w e e n g a l a x i e s d u r i n g t h e past ten y e a r s will y i e l d a s t r o n g first p r i n c i p a l c o m p o n e n t . T h i s c o m p o n e n t — s i n c e all t h e c o r r e l a t i o n s a r e s o s t r o n g l y posit i v e — w i l l p r o b a b l y r e s o l v e as h i g h a p e r c e n t a g e of i n f o r m a t i o n as t h e f i r s t axis i n m y s t u d y o f p e l y c o s a u r s . I t will also h a v e n o e n l i g h t e n i n g physical m e a n i n g w h a t e v e r . I n s t u d i e s o f i n t e l l i g e n c e , f a c t o r analysis has b e e n a p p l i e d t o m a t r i c e s o f c o r r e l a t i o n a m o n g m e n t a l tests. T e n tests m a y , f o r example, be given to each of one h u n d r e d people. Each meaningful e n t r y in the t e n - b y - t e n c o r r e l a t i o n m a t r i x is a c o r r e l a t i o n coef-
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ficient b e t w e e n s c o r e s o n t w o tests t a k e n b y e a c h o f t h e o n e h u n d r e d p e r s o n s . W e h a v e k n o w n since the e a r l y d a y s o f m e n t a l t e s t i n g — a n d it should surprise no o n e — t h a t most of these correlation coefficients a r e positive: that is, p e o p l e w h o s c o r e h i g h l y o n o n e k i n d o f test t e n d , o n a v e r a g e , t o s c o r e h i g h l y o n o t h e r s a s well. M o s t c o r r e l a t i o n m a t r i c e s f o r m e n t a l tests c o n t a i n a p r e p o n d e r a n c e o f positive e n t r i e s . T h i s basic o b s e r v a t i o n s e r v e d a s the s t a r t i n g p o i n t f o r f a c t o r analysis. C h a r l e s S p e a r m a n virtually i n v e n t e d t h e t e c h n i q u e in 1904 as a d e v i c e f o r i n f e r r i n g c a u s e s f r o m c o r r e l a t i o n m a t r i c e s o f m e n t a l tests. S i n c e m o s t c o r r e l a t i o n coefficients i n t h e m a t r i x a r e positive, f a c t o r analysis m u s t yield a r e a s o n a b l y s t r o n g first p r i n c i p a l c o m p o n e n t . S p e a r m a n c a l c u l a t e d s u c h a c o m p o n e n t i n d i r e c t l y i n 1904 a n d t h e n m a d e t h e c a r d i n a l invalid i n f e r e n c e that h a s p l a g u e d factor analysis e v e r since. H e reified i t a s a n " e n t i t y " a n d tried t o g i v e i t a n u n a m b i g u o u s causal i n t e r p r e t a t i o n . H e called itg, o r g e n e r a l i n t e l l i g e n c e , a n d i m a g i n e d that h e h a d i d e n t i f i e d a u n i t a r y quality u n d e r l y i n g all c o g n i t i v e m e n t a l a c t i v i t y — a quality that c o u l d b e e x p r e s s e d as a single n u m b e r a n d u s e d to r a n k p e o p l e on a u n i linear scale o f intellectual w o r t h . S p e a r m a n ' s g—the f i r s t p r i n c i p a l c o m p o n e n t o f t h e c o r r e l a t i o n m a t r i x o f m e n t a l t e s t s — n e v e r attains t h e p r e d o m i n a n t r o l e that a f i r s t c o m p o n e n t p l a y s i n m a n y g r o w t h studies (as i n m y p e l y c o aurs). At best, g r e s o l v e s 50 to 60 p e r c e n t of all i n f o r m a t i o n in t h e m a t r i x o f tests. C o r r e l a t i o n s b e t w e e n tests a r e usually f a r w e a k e r than correlations b e t w e e n two parts of a g r o w i n g body. In most cases, t h e h i g h e s t c o r r e l a t i o n in a m a t r i x of tests d o e s n o t c o m e lose t o r e a c h i n g t h e lowest v a l u e i n m y p e l y c o s a u r m a t r i x — 0 . 9 1 2 . A l t h o u g h g n e v e r matches the strength of a first principal comp o n e n t o f s o m e g r o w t h s t u d i e s , I d o n o t r e g a r d its fair r e s o l v i n g p o w e r a s a c c i d e n t a l . C a u s a l r e a s o n s lie b e h i n d t h e positive c o r r e lations o f m o s t m e n t a l tests. B u t w h a t r e a s o n s ? W e c a n n o t i n f e r t h e reasons f r o m a s t r o n g f i r s t p r i n c i p a l c o m p o n e n t a n y m o r e t h a n w e can i n d u c e t h e c a u s e o f a single c o r r e l a t i o n coefficient f r o m its a g n i t u d e . We c a n n o t reify g as a " t h i n g " u n l e s s we h a v e c o n v i n c g , i n d e p e n d e n t i n f o r m a t i o n b e y o n d t h e fact o f c o r r e l a t i o n itself. T h e situation f o r m e n t a l tests r e s e m b l e s t h e h y p o t h e t i c a l case I resented earlier of correlation between t h r o w i n g and hitting a baseball. T h e r e l a t i o n s h i p i s s t r o n g a n d w e h a v e a r i g h t t o r e g a r d
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it as nonaccidental. B u t we cannot infer the cause f r o m the correl a t i o n , a n d t h e c a u s e i s certainly c o m p l e x . S p e a r m a n ' s g is p a r t i c u l a r l y subject to a m b i g u i t y in i n t e r p r e t a t i o n , i f o n l y b e c a u s e t h e t w o m o s t c o n t r a d i c t o r y causal h y p o t h e s e s a r e b o t h fully c o n s i s t e n t w i t h it: 1) t h a t it reflects an i n h e r i t e d level o f m e n t a l acuity ( s o m e p e o p l e d o well o n m o s t tests b e c a u s e t h e y a r e b o r n s m a r t e r ) ; o r 2 ) that i t r e c o r d s e n v i r o n m e n t a l a d v a n t a g e s a n d deficits ( s o m e p e o p l e d o well o n m o s t tests b e c a u s e t h e y a r e well s c h o o l e d , g r e w u p w i t h e n o u g h t o e a t , b o o k s i n t h e h o m e , a n d loving parents). If the simple existence of g can be theoretically interpreted in either a purely hereditarian or purely environmentalist w a y , t h e n its m e r e p r e s e n c e — e v e n its r e a s o n a b l e s t r e n g t h — c a n n o t j u s t l y l e a d t o a n y reification a t all. T h e t e m p t a t i o n t o reify i s p o w e r f u l . T h e i d e a that w e h a v e d e t e c t e d s o m e t h i n g " u n d e r l y i n g " t h e e x t e r n a l i t i e s o f a l a r g e set o f c o r r e l a t i o n coefficients, s o m e t h i n g p e r h a p s m o r e r e a l t h a n t h e superficial m e a s u r e m e n t s t h e m s e l v e s , c a n be i n t o x i c a t i n g . It is Plato's e s s e n c e , t h e abstract, e t e r n a l reality u n d e r l y i n g superficial a p p e a r a n c e s . B u t it is a t e m p tation that w e m u s t resist, f o r i t reflects a n a n c i e n t p r e j u d i c e o f thought, not a truth of nature. Rotation
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A n o t h e r , m o r e t e c h n i c a l , a r g u m e n t clearly d e m o n s t r a t e s w h y p r i n c i p a l c o m p o n e n t s c a n n o t b e a u t o m a t i c a l l y reified a s causal entities. I f p r i n c i p a l c o m p o n e n t s r e p r e s e n t e d t h e o n l y w a y t o simplify a c o r r e l a t i o n m a t r i x , t h e n s o m e special status f o r t h e m m i g h t b e l e g i t i m a t e l y s o u g h t . B u t t h e y r e p r e s e n t only o n e m e t h o d a m o n g m a n y for inserting axes into a multidimensional space. Principal c o m p o n e n t s h a v e a definite geometric a r r a n g e m e n t , specified by the criterion used to construct t h e m — t h a t the first principal comp o n e n t shall r e s o l v e a m a x i m a l a m o u n t of i n f o r m a t i o n in a set of v e c t o r s a n d that s u b s e q u e n t c o m p o n e n t s shall all b e m u t u a l l y perp e n d i c u l a r . B u t t h e r e i s n o t h i n g s a c r o s a n c t a b o u t this c r i t e r i o n ; v e c t o r s m a y b e r e s o l v e d i n t o a n y set o f a x e s p l a c e d w i t h i n their s p a c e . P r i n c i p a l c o m p o n e n t s p r o v i d e i n s i g h t i n s o m e cases, b u t o t h e r criteria a r e o f t e n m o r e u s e f u l . C o n s i d e r t h e f o l l o w i n g situation, i n w h i c h a n o t h e r s c h e m e f o r p l a c i n g a x e s m i g h t be p r e f e r r e d . In F i g u r e 6.6 I s h o w c o r r e l a t i o n s b e t w e e n f o u r m e n t a l tests, t w o o f v e r b a l a n d t w o o f a r i t h m e t i c a l
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a p t i t u d e . T w o " c l u s t e r s " a r e e v i d e n t , e v e n t h o u g h all tests a r e p o s itively c o r r e l a t e d . S u p p o s e that w e wish t o identify t h e s e clusters b y f a c t o r analysis. I f w e u s e p r i n c i p a l c o m p o n e n t s , w e m a y n o t reco g n i z e t h e m a t all. T h e f i r s t p r i n c i p a l c o m p o n e n t ( S p e a r m a n ' s g ) g o e s r i g h t u p t h e m i d d l e , b e t w e e n t h e t w o clusters. I t lies close t o no vector a n d resolves an approximately equal a m o u n t of each, t h e r e b y m a s k i n g t h e e x i s t e n c e o f v e r b a l a n d a r i t h m e t i c clusters. I s this c o m p o n e n t an entity? D o e s a " g e n e r a l i n t e l l i g e n c e " exist? Or is g, in this case, m e r e l y a m e a n i n g l e s s a v e r a g e b a s e d on t h e invalid amalgamation of two types of information? W e m a y p i c k u p v e r b a l a n d a r i t h m e t i c clusters o n the s e c o n d p r i n c i p a l c o m p o n e n t (called a " b i p o l a r f a c t o r " b e c a u s e s o m e p r o j e c t i o n s u p o n i t will b e positive a n d o t h e r s n e g a t i v e w h e n v e c t o r s lie o n b o t h sides o f t h e f i r s t p r i n c i p a l c o m p o n e n t ) . I n this case, v e r b a l tests p r o j e c t o n t h e n e g a t i v e side o f t h e s e c o n d c o m p o n e n t , a n d a r i t h m e t i c tests o n t h e positive side. B u t w e m a y fail t o d e t e c t these clusters a l t o g e t h e r i f t h e f i r s t p r i n c i p a l c o m p o n e n t d o m i n a t e s all v e c t o r s . F o r p r o j e c t i o n s o n t h e s e c o n d c o m p o n e n t will t h e n b e small, a n d t h e p a t t e r n c a n easily be lost (see F i g . 6.6). D u r i n g t h e 1930s factorists d e v e l o p e d m e t h o d s t o treat this d i l e m m a a n d t o r e c o g n i z e clusters o f v e c t o r s that p r i n c i p a l c o m p o n e n t s o f t e n o b s c u r e d . T h e y d i d this b y r o t a t i n g f a c t o r a x e s f r o m the p r i n c i p a l c o m p o n e n t s o r i e n t a t i o n t o n e w positions. T h e rotations, e s t a b l i s h e d b y s e v e r a l criteria, h a d a s their c o m m o n a i m t h e p o s i t i o n i n g o f a x e s n e a r clusters. I n F i g u r e 6.7, f o r e x a m p l e , w e use t h e c r i t e r i o n : p l a c e a x e s n e a r v e c t o r s o c c u p y i n g e x t r e m e o r o u t l y i n g p o s i t i o n s in t h e total set. If we n o w r e s o l v e all v e c t o r s i n t o these r o t a t e d a x e s , w e d e t e c t t h e clusters easily; f o r a r i t h m e t i c tests project h i g h o n r o t a t e d axis 1 a n d l o w o n r o t a t e d axis 2, w h i l e verbal tests p r o j e c t h i g h on 2 a n d low on 1. M o r e o v e r , g has disappeared. W e n o l o n g e r f i n d a " g e n e r a l f a c t o r " o f i n t e l l i g e n c e , n o t h i n g that can be reified as a single n u m b e r e x p r e s s s i n g o v e r a l l ability. Y e t we h a v e lost n o i n f o r m a t i o n . T h e t w o r o t a t e d a x e s r e s o l v e a s m u c h information in the four vectors as did the two principal c o m p o nents. T h e y s i m p l y d i s t r i b u t e t h e s a m e i n f o r m a t i o n d i f f e r e n t l y u p o n the r e s o l v i n g a x e s . H o w c a n w e a r g u e t h a t g has a n y claim t o reified status a s a n entity i f i t r e p r e s e n t s b u t o n e o f n u m e r o u s possible w a y s to p o s i t i o n a x e s w i t h i n a set of v e c t o r s ? I n s h o r t , f a c t o r analysis simplifies l a r g e sets o f d a t a b y r e d u c i n g
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d i m e n s i o n a l i t y a n d t r a d i n g s o m e loss o f i n f o r m a t i o n f o r t h e reco g n i t i o n o f o r d e r e d s t r u c t u r e i n f e w e r d i m e n s i o n s . A s a tool f o r simplification, it has p r o v e d its g r e a t v a l u e in m a n y disciplines. B u t m a n y factorists h a v e g o n e b e y o n d simplification, a n d tried t o d e f i n e f a c t o r s a s causal entities. T h i s e r r o r o f reification has p l a g u e d t h e t e c h n i q u e since its i n c e p t i o n . It was " p r e s e n t at t h e c r e a t i o n " since S p e a r m a n i n v e n t e d f a c t o r analysis t o s t u d y the correlation m a t r i x o f m e n t a l tests a n d t h e n reified his p r i n c i p a l c o m p o n e n t asg o r i n n a t e , g e n e r a l i n t e l l i g e n c e . F a c t o r analysis m a y h e l p us to u n d e r s t a n d causes by directing us to information b e y o n d the
6 • 6 A principal c o m p o n e n t s analysis of four mental tests. All correlations are high and the first principal c o m p o n e n t , Spearman's g, expresses the overall correlation. But the g r o u p factors for verbal and mathematical aptitude are not well resolved in this style of analysis.
T H E REAL ERROR OF C Y R I L B U R T mathematics of correlation. B u t factors, by themselves, are neither things nor causes; they are mathematical abstractions. Since the s a m e set of v e c t o r s (see F i g s . 6.6, 6.7) c a n be p a r t i t i o n e d i n t o g a n d a small r e s i d u a l a x i s , o r i n t o t w o a x e s o f e q u a l s t r e n g t h that i d e n t i f y v e r b a l a n d a r i t h m e t i c a l clusters a n d d i s p e n s e w i t h g e n t i r e l y , w e c a n n o t claim that S p e a r m a n ' s " g e n e r a l i n t e l l i g e n c e " i s a n ineluctable entity necessarily u n d e r l y i n g a n d c a u s i n g t h e c o r r e l a t i o n s a m o n g m e n t a l tests. E v e n if we c h o o s e to d e f e n d g as a n o n a c c i d e n tal result, n e i t h e r its s t r e n g t h n o r its g e o m e t r i c position c a n specify w h a t i t m e a n s i n causal t e r m s — i f o n l y b e c a u s e its f e a t u r e s a r e equally consistent with e x t r e m e hereditarian and e x t r e m e environmentalist v i e w s o f i n t e l l i g e n c e .
6*7 Rotated factor axes for the same four mental tests depicted in Fig. 6.6. Axes are now placed near vectors lying at the periphery of the cluster. T h e g r o u p factors for verbal and mathematical aptitude are now well identified (see high projections on the axes indicated by dots), but g has disappeared.
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C o r r e l a t i o n coefficients are now about as ubiquitous a n d unsurp r i s i n g a s c o c k r o a c h e s i n N e w Y o r k City. E v e n t h e c h e a p e s t p o c k e t c a l c u l a t o r s p r o d u c e c o r r e l a t i o n coefficients w i t h t h e p r e s s o f a b u t ton. H o w e v e r i n d i s p e n s a b l e , they a r e t a k e n f o r g r a n t e d a s a u t o m a t i c a c c o u t e r m e n t s o f a n y statistical analysis that d e a l s with m o r e t h a n o n e m e a s u r e . I n s u c h a c o n t e x t , w e easily f o r g e t that t h e y w e r e o n c e hailed as a b r e a k t h r o u g h in r e s e a r c h , as a n e w a n d e x c i t i n g tool f o r d i s c o v e r i n g u n d e r l y i n g s t r u c t u r e i n tables o f r a w m e a s u r e s . W e c a n sense this e x c i t e m e n t i n r e a d i n g early p a p e r s o f the g r e a t A m e r i c a n biologist a n d statistician R a y m o n d Pearl (see P e a r l , 1905 a n d 1906, a n d P e a r l a n d F u l l e r , 1905). Pearl c o m p l e t e d his d o c t o r a t e a t the t u r n o f t h e c e n t u r y a n d t h e n p r o c e e d e d , like a h a p p y b o y with a g l e a m i n g n e w toy, t o c o r r e l a t e e v e r y t h i n g i n sight, f r o m the l e n g t h s o f e a r t h w o r m s vs. t h e n u m b e r o f their b o d y s e g m e n t s ( w h e r e h e f o u n d n o c o r r e l a t i o n a n d a s s u m e d that i n c r e a s i n g l e n g t h reflects l a r g e r , r a t h e r t h a n m o r e , s e g m e n t s ) , t o size o f t h e h u m a n h e a d vs. i n t e l l i g e n c e ( w h e r e h e f o u n d a v e r y small c o r r e l a t i o n , b u t a t t r i b u t e d it to t h e i n d i r e c t e f f e c t of b e t t e r n u t r i t i o n ) . C h a r l e s S p e a r m a n , a n e m i n e n t p s y c h o l o g i s t a n d f i n e statistician a s w e l l * b e g a n t o s t u d y c o r r e l a t i o n s b e t w e e n m e n t a l tests d u r i n g these h e a d y t i m e s . I f t w o m e n t a l tests a r e g i v e n t o a l a r g e n u m b e r of p e o p l e , S p e a r m a n noted, the correlation coefficient between t h e m i s n e a r l y a l w a y s positive. S p e a r m a n p o n d e r e d this r e s u l t a n d w o n d e r e d w h a t h i g h e r g e n e r a l i t y i t i m p l i e d . T h e positive c o r r e l a tions c l e a r l y i n d i c a t e d that e a c h test d i d n o t m e a s u r e a n i n d e p e n d e n t a t t r i b u t e o f m e n t a l f u n c t i o n i n g . S o m e s i m p l e r s t r u c t u r e lay b e h i n d t h e p e r v a s i v e positive c o r r e l a t i o n s ; b u t w h a t s t r u c t u r e ? S p e a r m a n i m a g i n e d t w o a l t e r n a d v e s . First, t h e p o s i d v e c o r r e l a t i o n s m i g h t r e d u c e t o a small set o f i n d e p e n d e n t a t t r i b u t e s — t h e " f a c u l ties" o f t h e p h r e n o l o g i s t s a n d o t h e r schools o f e a r l y p s y c h o l o g y . Perhaps the m i n d had separate " c o m p a r t m e n t s " for arithmetic, v e r b a l , a n d spatial a p t i t u d e s , f o r e x a m p l e . S p e a r m a n called s u c h * Spearman took a special interest in problems of correlation and invented a measure that probably ranks second in use to Pearson's r as a measure of association between two variables—the so-called Spearman's rank-correlation coefficient.
T H E REAL ERROR OF CYRIL B U R T t h e o r i e s o f i n t e l l i g e n c e " o l i g a r c h i c . " S e c o n d , t h e positive c o r r e l a tions m i g h t r e d u c e t o a s i n g l e , u n d e r l y i n g g e n e r a l f a c t o r — a n o t i o n that S p e a r m a n called " m o n a r c h i c . " I n e i t h e r case, S p e a r m a n reco g n i z e d that t h e u n d e r l y i n g f a c t o r s — b e t h e y f e w (oligarchic) o r s i n g l e ( m o n a r c h i c ) — w o u l d n o t e n c o m p a s s all i n f o r m a t i o n in a m a t r i x o f positive c o r r e l a t i o n coefficients f o r a l a r g e n u m b e r o f m e n t a l tests. A " r e s i d u a l v a r i a n c e " w o u l d r e m a i n — i n f o r m a t i o n p e c u l i a r t o e a c h test a n d n o t r e l a t e d t o a n y o t h e r . I n o t h e r w o r d s , e a c h test w o u l d h a v e its " a n a r c h i c " c o m p o n e n t . S p e a r m a n called t h e r e s i d u a l v a r i a n c e of e a c h test its s, or specific i n f o r m a t i o n . T h u s , S p e a r m a n reasoned, a study of underlying structure might lead to a " t w o - f a c t o r t h e o r y " in w h i c h e a c h test c o n t a i n e d s o m e specific i n f o r m a t i o n (its s) a n d also reflected t h e o p e r a t i o n of a sing l e , u n d e r l y i n g f a c t o r , w h i c h S p e a r m a n c a l l e d g , o r g e n e r a l intell i g e n c e . O r e a c h test m i g h t i n c l u d e its specific i n f o r m a t i o n a n d also r e c o r d o n e o r s e v e r a l a m o n g a set o f i n d e p e n d e n t , u n d e r l y i n g faculties—a many-factor theory. If the simplest two-factor theory h e l d , t h e n all c o m m o n attributes o f i n t e l l i g e n c e w o u l d r e d u c e t o a single u n d e r l y i n g e n t i t y — a t r u e " g e n e r a l i n t e l l i g e n c e " that m i g h t be measured for each person and might afford an unambiguous criterion for r a n k i n g in terms of mental worth. Charles S p e a r m a n d e v e l o p e d factor analysis—still the most i m p o r t a n t t e c h n i q u e i n m o d e r n m u l t i v a r i a t e statistics—as a p r o c e d u r e f o r d e c i d i n g b e t w e e n t h e t w o - vs. t h e m a n y - f a c t o r t h e o r y b y determining whether the c o m m o n variance in a matrix of correlation coefficients c o u l d b e r e d u c e d t o a single " g e n e r a l " f a c t o r , o r o n l y t o s e v e r a l i n d e p e n d e n t " g r o u p " f a c t o r s . H e f o u n d b u t a single "intelligence," opted for the two-factor theory, and, in 1904, p u b lished a p a p e r t h a t later w o n this a s s e s s m e n t f r o m a m a n w h o o p p o s e d its m a j o r r e s u l t : " N o single e v e n t i n t h e h i s t o r y o f m e n t a l testing has p r o v e d to be of such m o m e n t o u s importance as Spearm a n ' s p r o p o s a l o f his f a m o u s t w o - f a c t o r t h e o r y " ( G u i l f o r d , 1 9 3 6 , p . 1 5 5 ) . E l a t e d , a n d with characteristic i m m o d e s t y , S p e a r m a n g a v e his 1904 p a p e r a h e r o i c title: " G e n e r a l I n t e l l i g e n c e O b j e c t i v e l y M e a s u r e d a n d D e t e r m i n e d . " T e n y e a r s later ( 1 9 1 4 , p . 2 3 7 ) , h e e x u l t e d : " T h e f u t u r e o f r e s e a r c h i n t o t h e i n h e r i t a n c e o f ability m u s t c e n t e r o n t h e t h e o r y o f 'two factors.' T h i s a l o n e s e e m s c a p a b l e o f r e d u c i n g t h e b e w i l d e r i n g c h a o s o f facts t o a p e r s p i c u o u s o r d e r liness. B y its m e a n s , t h e p r o b l e m s a r e r e n d e r e d clear; i n m a n y
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respects, their answers are already f o r e s h a d o w e d ; and everyw h e r e , t h e y a r e r e n d e r e d susceptible o f e v e n t u a l decisive s o l u t i o n . " The
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I n his o r i g i n a l w o r k , S p e a r m a n d i d n o t u s e the m e t h o d o f p r i n cipal c o m p o n e n t s d e s c r i b e d o n p p . 2 7 5 — 2 7 8 . I n s t e a d , h e d e v e l o p e d a simpler, t h o u g h tedious, p r o c e d u r e better suited for a precomp u t e r a g e w h e n all calculations h a d t o b e p e r f o r m e d b y h a n d . * H e c o m p u t e d t h e e n t i r e m a t r i x o f c o r r e l a t i o n coefficients b e t w e e n all pairs o f tests, t o o k all possible g r o u p i n g s o f f o u r m e a s u r e s a n d c o m p u t e d f o r e a c h a n u m b e r that h e called t h e " t e t r a d d i f f e r e n c e . " Consider the following e x a m p l e as an attempt to define the tetrad d i f f e r e n c e a n d t o e x p l a i n h o w S p e a r m a n u s e d i t t o test w h e t h e r t h e c o m m o n v a r i a n c e o f his m a t r i x c o u l d b e r e d u c e d t o a single general factor, or only to several g r o u p factors. S u p p o s e that w e wish t o c o m p u t e t h e t e t r a d d i f f e r e n c e f o r f o u r m e a s u r e s t a k e n o n a series o f m i c e r a n g i n g i n a g e f r o m babies t o a d u l t s — l e g l e n g t h , l e g w i d t h , tail l e n g t h , a n d tail w i d t h . W e c o m p u t e all c o r r e l a t i o n coefficients b e t w e e n pairs o f variables a n d f i n d , u n s u r p r i s i n g l y , that all a r e p o s i t i v e — a s m i c e g r o w , their p a r t s g e t l a r g e r . B u t w e w o u l d like t o k n o w w h e t h e r the c o m m o n v a r i a n c e in t h e positive c o r r e l a t i o n s all reflects a single g e n e r a l f a c t o r — growth itself—or whether two separate components of growth m u s t be i d e n t i f i e d — i n this c a s e , a l e g f a c t o r a n d a tail f a c t o r , or a l e n g t h f a c t o r a n d a w i d t h f a c t o r . S p e a r m a n gives t h e f o l l o w i n g f o r mula for the tetrad difference 7" 13
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w h e r e r is t h e c o r r e l a t i o n coefficient a n d t h e t w o subscripts r e p r e s e n t t h e t w o m e a s u r e s b e i n g c o r r e l a t e d (in this case, 1 is l e g l e n g t h , 2 is leg w i d t h , 3 is tail l e n g t h a n d 4 is tail w i d t h — s o that r i s t h e c o r r e l a t i o n coefficient b e t w e e n t h e f i r s t a n d t h e t h i r d m e a s u r e , o r b e t w e e n l e g l e n g t h a n d tail l e n g t h ) . I n o u r e x a m p l e , t h e t e t r a d d i f f e r e n c e is i3
(leg l e n g t h a n d tail l e n g t h ) x (leg w i d t h a n d tail w i d t h ) (leg w i d t h a n d tail l e n g t h ) x (leg l e n g t h a n d tail w i d t h ) * T h e g calculated by the tetrad formula is conceptually equivalent and mathematically almost equivalent to the first principal component described on pp. 2 7 5 - 2 7 8 and used in modern factor analysis.
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S p e a r m a n a r g u e d that t e t r a d d i f f e r e n c e s o f z e r o i m p l y t h e existe n c e o f a single g e n e r a l f a c t o r w h i l e e i t h e r positive o r n e g a t i v e values i n d i c a t e that g r o u p factors m u s t b e r e c o g n i z e d . S u p p o s e , f o r e x a m p l e , that g r o u p factors f o r g e n e r a l b o d y l e n g t h a n d g e n e r a l b o d y w i d t h g o v e r n the g r o w t h o f m i c e . I n this case, w e w o u l d get a h i g h positive v a l u e f o r the t e t r a d d i f f e r e n c e b e c a u s e t h e c o r r e l a tion coefficients of a l e n g t h with a n o t h e r l e n g t h or a w i d t h with a n o t h e r w i d t h w o u l d t e n d t o b e h i g h e r t h a n c o r r e l a t i o n coefficients of a w i d t h with a l e n g t h . ( N o t e that t h e l e f t - h a n d side of t h e t e t r a d e q u a t i o n i n c l u d e s o n l y l e n g t h s w i t h l e n g t h s o r w i d t h s with w i d t h s , while the r i g h t - h a n d side i n c l u d e s o n l y l e n g t h s with widths.) B u t i f only a single, g e n e r a l g r o w t h f a c t o r r e g u l a t e s t h e size o f m i c e , t h e n l e n g t h s with w i d t h s s h o u l d s h o w as h i g h a c o r r e l a t i o n as l e n g t h s with l e n g t h s o r w i d t h s with w i d t h s — a n d t h e t e t r a d d i f f e r e n c e s h o u l d be z e r o . Fig. 6.8 s h o w s a h y p o t h e t i c a l c o r r e l a t i o n m a t r i x f o r the f o u r m e a s u r e s that yields a tetrad d i f f e r e n c e o f z e r o (values taken f r o m S p e a r m a n ' s e x a m p l e i n a n o t h e r c o n t e x t , 1 9 2 7 , p . 74). Fig. 6.8 also s h o w s a d i f f e r e n t h y p o t h e t i c a l m a t r i x y i e l d i n g a positive t e t r a d d i f f e r e n c e a n d a c o n c l u s i o n (if o t h e r t e t r a d s s h o w the s a m e p a t t e r n ) that g r o u p factors f o r l e n g t h a n d w i d t h m u s t b e recognized. T h e t o p m a t r i x o f Fig. 6.8 illustrates a n o t h e r i m p o r t a n t p o i n t that r e v e r b e r a t e s t h r o u g h o u t t h e history o f f a c t o r analysis i n psyc h o l o g y . N o t e that, a l t h o u g h the t e t r a d d i f f e r e n c e i s z e r o , t h e correlation coefficients n e e d not b e (and a l m o s t i n v a r i a b l y a r e not) e q u a l . In this case, l e g w i d t h with l e g l e n g t h gives a c o r r e l a t i o n of 0.80, w h i l e tail w i d t h with tail l e n g t h yields o n l y 0 . 1 8 . T h e s e d i f f e r e n c e s reflect v a r y i n g " s a t u r a t i o n s " with g, t h e single g e n e r a l f a c t o r when the tetrad differences are zero. L e g measures have h i g h e r saturations t h a n tail m e a s u r e s — t h a t is, t h e y a r e c l o s e r to g, or reflect it b e t t e r (in m o d e r n t e r m s , t h e y lie closer to t h e first p r i n c i pal c o m p o n e n t in g e o m e t r i c r e p r e s e n t a t i o n s like F i g . 6.6). T a i l m e a s u r e s d o n o t l o a d s t r o n g l y ong* T h e y c o n t a i n little c o m m o n v a r i a n c e a n d m u s t b e e x p l a i n e d p r i m a r i l y b y their s—the i n f o r m a tion u n i q u e to e a c h m e a s u r e . M o v i n g n o w to m e n t a l tests: if g r e p resents g e n e r a l i n t e l l i g e n c e , t h e n m e n t a l tests m o s t s a t u r a t e d with "The terms "saturation" and "loading" refer to the correlation between a test and a factor axis. If a test "loads" strongly on a factor then most of its information is explained by the factor.
LL
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Tetrad difference: 0.60 x 0.24 - 0 . 4 8 x 0 . 3 0 0.144-0.144 = 0 no group factors
1.0 Tetrad difference:
LW
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0.40 x 0.40 - 0.20x0.20 0 . 1 6 - 0 . 0 4 = 0.12
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TW
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6•8 Tetrad differences of zero (above) and a positive value (below) from hypothetical correlation matrices for four measurements: LL = leg length, LW = leg width, TL = tail length, and TW = tail width. T h e positive tetrad difference indicates the existence of g r o u p factors for lengths and widths.
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g a r e t h e best s u r r o g a t e s f o r g e n e r a l i n t e l l i g e n c e , w h i l e tests w i t h low ^ - l o a d i n g s ( a n d h i g h s values) c a n n o t s e r v e as g o o d m e a s u r e s o f g e n e r a l m e n t a l w o r t h . S t r e n g t h o f g - l o a d i n g b e c o m e s t h e criter i o n f o r d e t e r m i n i n g w h e t h e r o r n o t a p a r t i c u l a r m e n t a l test ( I Q , for example) is a g o o d measure of general intelligence. S p e a r m a n ' s t e t r a d p r o c e d u r e i s v e r y l a b o r i o u s w h e n the c o r r e lation m a t r i x i n c l u d e s a l a r g e n u m b e r o f tests. E a c h t e t r a d d i f f e r e n c e m u s t b e c a l c u l a t e d s e p a r a t e l y . I f t h e c o m m o n v a r i a n c e reflects b u t a single g e n e r a l f a c t o r , t h e n t h e t e t r a d s s h o u l d e q u a l z e r o . B u t , a s i n a n y statistical p r o c e d u r e , n o t all cases m e e t t h e e x p e c t e d v a l u e (half h e a d s a n d h a l f tails is t h e e x p e c t a t i o n in coin flipping, b u t y o u will flip six h e a d s in a r o w a b o u t o n c e in s i x t y - f o u r series of six f l i p s ) . S o m e c a l c u l a t e d t e t r a d d i f f e r e n c e s will b e positive o r n e g a tive e v e n w h e n a single g exists a n d t h e e x p e c t e d v a l u e is z e r o . T h u s , S p e a r m a n c o m p u t e d all t e t r a d d i f f e r e n c e s a n d l o o k e d f o r normal frequency distributions with a m e a n tetrad difference of z e r o as his test f o r t h e e x i s t e n c e of g.
Spearman's g and the great instauration of psychology C h a r l e s S p e a r m a n c o m p u t e d all his t e t r a d s , f o u n d a d i s t r i b u t i o n close e n o u g h t o n o r m a l with a m e a n close e n o u g h t o z e r o , a n d p r o c l a i m e d that t h e c o m m o n v a r i a n c e i n m e n t a l tests r e c o r d e d b u t a single u n d e r l y i n g f a c t o r — S p e a r m a n ' s g, or g e n e r a l i n t e l l i g e n c e . S p e a r m a n d i d n o t h i d e his p l e a s u r e , f o r h e felt that h e h a d discove r e d the e l u s i v e entity that w o u l d m a k e p s y c h o l o g y a t r u e science. H e h a d f o u n d t h e i n n a t e e s s e n c e o f i n t e l l i g e n c e , t h e reality u n d e r l y i n g all t h e superficial a n d i n a d e q u a t e m e a s u r e s d e v i s e d t o s e a r c h f o r it. S p e a r m a n ' s g w o u l d b e t h e p h i l o s o p h e r ' s s t o n e o f p s y c h o l o g y , its h a r d , q u a n t i f i a b l e " t h i n g " — a f u n d a m e n t a l p a r t i c l e that w o u l d p a v e t h e w a y f o r a n e x a c t science a s f i r m a n d a s basic a s physics. I n his 1904 p a p e r , S p e a r m a n p r o c l a i m e d t h e u b i q u i t y o f g i n all p r o c e s s e s d e e m e d intellectual: " A l l b r a n c h e s o f intellectual activity h a v e in c o m m o n o n e f u n d a m e n t a l f u n c t i o n . . . w h e r e a s t h e r e m a i n i n g o r specific e l e m e n t s s e e m i n e v e r y case t o b e w h o l l y diff e r e n t f r o m that in all t h e o t h e r s . . . . T h i s g, f a r f r o m b e i n g conf i n e d t o s o m e small set o f abilities w h o s e i n t e r c o r r e l a t i o n s h a v e actually b e e n m e a s u r e d a n d d r a w n u p i n s o m e p a r t i c u l a r table, m a y e n t e r i n t o all abilities w h a t s o e v e r . "
292
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T h e c o n v e n t i o n a l school subjects, i n s o f a r a s they reflect aptit u d e r a t h e r t h a n t h e s i m p l e acquisition o f i n f o r m a t i o n , m e r e l y p e e r t h r o u g h a d a r k glass at t h e single e s s e n c e inside: " A l l e x a m i n a t i o n i n t h e d i f f e r e n t s e n s o r y , s c h o o l , a n d o t h e r specific faculties m a y b e considered as so m a n y i n d e p e n d e n t l y obtained estimates of the o n e great c o m m o n Intellective Function" (1904, p. 273). T h u s Spearm a n tried to resolve a traditional d i l e m m a of conventional education f o r t h e British elite: w h y s h o u l d t r a i n i n g in t h e classics m a k e a better soldier or a statesman? "Instead of continuing ineffectively t o p r o t e s t that h i g h m a r k s i n G r e e k s y n t a x a r e n o test a s t o t h e capacity o f m e n t o c o m m a n d t r o o p s o r t o a d m i n i s t e r p r o v i n c e s , w e shall a t last actually d e t e r m i n e t h e p r e c i s e a c c u r a c y o f t h e v a r i o u s means of measuring General Intelligence" (1904, p. 277). In place o f fruitless a r g u m e n t , o n e has simply t o d e t e r m i n e t h e g - l o a d i n g o f L a t i n g r a m m a r a n d military acuity. If b o t h lie close to g, t h e n skill i n c o n j u g a t i o n m a y b e a g o o d e s t i m a t e o f f u t u r e ability t o c o m mand. T h e r e a r e d i f f e r e n t styles o f d o i n g s c i e n c e , all l e g i t i m a t e a n d partially valid. T h e b e e t l e t a x o n o m i s t w h o d e l i g h t s i n n o t i n g t h e peculiarities o f e a c h n e w species m a y h a v e little interest i n r e d u c t i o n , synthesis, o r i n p r o b i n g f o r t h e e s s e n c e o f " b e e t l e n e s s " — i f s u c h exists! A t a n o p p o s i t e e x t r e m e , o c c u p i e d b y S p e a r m a n , t h e e x t e r n a l i t i e s o f this w o r l d a r e only superficial g u i d e s t o a s i m p l e r , u n d e r l y i n g reality. I n a p o p u l a r i m a g e ( t h o u g h s o m e p r o f e s s i o n a l s w o u l d a b j u r e it), p h y s i c s i s t h e u l t i m a t e science o f r e d u c t i o n t o basic a n d q u a n t i f i a b l e c a u s e s that g e n e r a t e t h e a p p a r e n t c o m p l e x i t y o f o u r m a t e r i a l w o r l d . R e d u c t i o n i s t s like S p e a r m a n , w h o w o r k i n t h e so-called soft sciences o f o r g a n i s m i c b i o l o g y , p s y c h o l o g y , o r sociolo g y , h a v e o f t e n s u f f e r e d f r o m " p h y s i c s e n v y . " T h e y h a v e strived t o p r a c t i c e t h e i r s c i e n c e a c c o r d i n g t o their c l o u d e d vision o f p h y s i c s — t o s e a r c h f o r s i m p l i f y i n g laws a n d basic particles. S p e a r m a n d e s c r i b e d his d e e p e s t h o p e s f o r a science o f c o g n i t i o n ( 1 9 2 3 , p . 30): D e e p e r than the uniformities of occurrence which are noticeable even without its aid, it [science] discovers others m o r e abstruse, but correspondingly m o r e comprehensive, u p o n which the name of laws is bestowed. . • • When we look around for any approach to this ideal, something of the sort can actually be found in the science of physics as based on the three primary laws of motion. Coordinate with this physica corporis [physics of bodies], then, we are today in search of a physica animae [physics of the soul].
T H E REAL ERROR OF CYRIL B U R T W i f h g as a quantified, fundamental particle, psychology could t a k e its r i g h t f u l p l a c e a m o n g t h e r e a l sciences. " I n t h e s e p r i n c i p l e s , " h e w r o t e i n 1 9 2 3 (p. 3 5 5 ) , " w e m u s t v e n t u r e t o h o p e that t h e s o l o n g m i s s i n g g e n u i n e l y scientific f o u n d a t i o n f o r p s y c h o l o g y h a s at last b e e n s u p p l i e d , so that it c a n h e n c e f o r w a r d t a k e its d u e p l a c e a l o n g with t h e o t h e r solidly f o u n d e d s c i e n c e s , e v e n physics itself." S p e a r m a n called his w o r k " a C o p e r n i c a n r e v o l u t i o n i n p o i n t o f v i e w " ( 1 9 2 7 , p . 4 1 1 ) a n d r e j o i c e d that "this C i n d e r e l l a a m o n g t h e sciences h a s m a d e a b o l d b i d f o r t h e l e v e l o f t r i u m p h a n t p h y s i c s itself" ( 1 9 3 7 , p . 2 1 ) . Spearman's
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S p e a r m a n , the theorist, t h e s e a r c h e r f o r u n i t y b y r e d u c t i o n t o underlying causes, often spoke in most unflattering terms about t h e stated i n t e n t i o n s o f I Q testers. H e r e f e r r e d t o I Q ( 1 9 3 1 ) a s " t h e m e r e a v e r a g e o f sub-tests p i c k e d u p a n d p u t t o g e t h e r w i t h o u t r h y m e o r r e a s o n . " H e d e c r i e d t h e d i g n i f i c a t i o n o f this " g a l l i m a u f r y o f tests" w i t h t h e n a m e i n t e l l i g e n c e . I n fact, t h o u g h h e h a d d e s c r i b e d h i s g a s g e n e r a l i n t e l l i g e n c e i n 1 9 0 4 , h e later a b a n d o n e d the word intelligence because endless a r g u m e n t s and inconsistent p r o c e d u r e s o f m e n t a l testers h a d p l u n g e d i t i n t o i r r e m e d i a b l e ambiguity (1927, p. 4 1 2 ; 1950, p. 67). Y e t it w o u l d be i n c o r r e c t — i n d e e d it w o u l d be precisely contrary t o S p e a r m a n ' s v i e w — t o r e g a r d h i m a s a n o p p o n e n t o f I Q testing. H e h a d c o n t e m p t f o r t h e a t h e o r e t i c a l e m p i r i c i s m o f t h e testers, their t e n d e n c y t o c o n s t r u c t tests b y t h r o w i n g a p p a r e n t l y u n r e l a t e d items t o g e t h e r a n d t h e n o f f e r i n g n o j u s t i f i c a t i o n f o r s u c h a c u r i o u s p r o c e d u r e b e y o n d t h e c l a i m that i t y i e l d e d g o o d results. Y e t h e d i d n o t d e n y that t h e B i n e t tests w o r k e d , a n d h e r e j o i c e d i n t h e resuscitation o f t h e subject t h u s p r o d u c e d : " B y this o n e g r e a t i n v e s t i g a tion [the B i n e t scale] t h e w h o l e s c e n e was t r a n s f o r m e d . T h e r e c e n t l y d e s p i s e d tests w e r e n o w i n t r o d u c e d i n t o e v e r y c o u n t r y with e n t h u s i a s m . A n d e v e r y w h e r e t h e i r p r a c t i c a l a p p l i c a t i o n was brilliantly s u c c e s s f u l " ( 1 9 1 4 , p . 3 1 2 ) . W h a t g a l l e d S p e a r m a n was his c o n v i c t i o n that I Q testers w e r e d o i n g t h e r i g h t t h i n g i n a m a l g a m a t i n g a n a r r a y o f d i s p a r a t e items into a single scale, b u t that t h e y r e f u s e d to r e c o g n i z e t h e t h e o r y behind such a p r o c e d u r e and continued to r e g a r d their w o r k as rough-and-ready empiricism. S p e a r m a n a r g u e d p a s s i o n a t e l y that t h e j u s t i f i c a t i o n f o r B i n e t
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testing lay with his o w n t h e o r y of a single g u n d e r l y i n g all c o g n i t i v e activity. I Q tests w o r k e d b e c a u s e , u n b e k n o w n s t t o t h e i r m a k e r s , t h e y m e a s u r e d g w i t h fair a c c u r a c y . E a c h i n d i v i d u a l test h a s a gl o a d i n g a n d its o w n specific i n f o r m a t i o n (or 5 ) , b u t g - l o a d i n g varies f r o m n e a r l y z e r o t o n e a r l y 100 p e r c e n t . I r o n i c a l l y , t h e m o s t accur a t e m e a s u r e of g will be t h e a v e r a g e s c o r e f o r a l a r g e collection of i n d i v i d u a l tests o f t h e m o s t d i v e r s e k i n d . E a c h m e a s u r e s g t o s o m e e x t e n t . T h e v a r i e t y g u a r a n t e e s f h a t s - f a c t o r s o f t h e i n d i v i d u a l tests will v a r y i n all possible d i r e c t i o n s a n d c a n c e l e a c h o t h e r o u t . O n l y g will be left as t h e f a c t o r c o m m o n to all tests. IQ w o r k s b e c a u s e it m e a s u r e s g. An explanation is at once supplied for the success of their extraordinary procedure of . . . pooling together tests of the most miscellaneous description. For if every performance d e p e n d s on two factors, the o n e always varying randomly, while the other is constantly the same, it is clear that in the average the random variations will tend to neutralize o n e another, leaving the other, or constant factor, alone dominant (1914, p. 313; see also, 1923, p. 6, and 1927, p. 77). B i n e t ' s " h o t c h p o t o f m u l t i t u d i n o u s m e a s u r e m e n t s " was a c o r r e c t t h e o r e t i c a l d e c i s i o n , n o t o n l y t h e intuitive g u e s s of a skilled practit i o n e r : " I n s u c h wise this p r i n c i p l e o f m a k i n g a h o t c h p o t , w h i c h might seem to be the most arbitrary and meaningless p r o c e d u r e i m a g i n a b l e , h a d really a p r o f o u n d t h e o r e t i c a l basis a n d a s u p r e m e l y p r a c t i c a l utility" ( S p e a r m a n q u o t e d i n T u d d e n h a m , 1 9 6 2 , p . 503). S p e a r m a n ' s g, a n d its a t t e n d a n t c l a i m that i n t e l l i g e n c e is a sing l e , m e a s u r a b l e entity, p r o v i d e d t h e o n l y p r o m i s i n g t h e o r e t i c a l j u s tification that h e r e d i t a r i a n t h e o r i e s o f I Q h a v e e v e r h a d . A s m e n t a l testing r o s e t o p r o m i n e n c e d u r i n g t h e e a r l y t w e n t i e t h c e n t u r y , i t d e v e l o p e d t w o t r a d i t i o n s o f r e s e a r c h that C y r i l B u r t c o r r e c t l y i d e n tified in 1 9 1 4 (p. 36) as c o r r e l a t i o n a l m e t h o d s (factor analysis) a n d age-scale m e t h o d s ( I Q testing). H e a r n s h a w h a s r e c e n t l y m a d e t h e s a m e p o i n t i n his b i o g r a p h y o f B u r t ( 1 9 7 9 , p . 4 7 ) : " T h e n o v e l t y o f t h e 1900's was n o t in t h e c o n c e p t of i n t e l l i g e n c e itself, b u t in its operational definition in terms of correlational techniques, and in the devising of practicable methods of measurement." No o n e recognized better than S p e a r m a n the intimate connect i o n b e t w e e n his m o d e l o f f a c t o r analysis a n d h e r e d i t a r i a n interp r e t a t i o n s o f I Q t e s t i n g . I n his 1 9 1 4 Eugenics Review article, h e
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p r o p h e s i e d t h e u n i o n o f t h e s e t w o g r e a t t r a d i t i o n s i n m e n t a l testi n g : " E a c h o f t h e s e t w o lines o f i n v e s t i g a t i o n f u r n i s h e s a p e c u l i a r l y h a p p y a n d i n d i s p e n s a b l e s u p p o r t to t h e o t h e r . . . . G r e a t as has b e e n t h e v a l u e o f t h e S i m o n - B i n e t tests, e v e n w h e n w o r k e d i n t h e oretical d a r k n e s s , t h e i r efficiency will be m u l t i p l i e d a t h o u s a n d - f o l d w h e n e m p l o y e d w i t h a full light u p o n t h e i r essential n a t u r e a n d m e c h a n i s m . " W h e n S p e a r m a n ' s style o f f a c t o r analysis c a m e u n d e r attack late i n his c a r e e r (see p p . 3 2 6 - 3 3 2 ) , h e d e f e n d e d g b y c i t i n g it as t h e r a t i o n a l e f o r I Q : "Statistically, this d e t e r m i n a t i o n is g r o u n d e d o n its e x t r e m e s i m p l e n e s s . P s y c h o l o g i c a l l y , i t i s c r e d i t e d with a f f o r d i n g t h e sole base f o r s u c h u s e f u l c o n c e p t s a s t h o s e o f ' g e n e r a l ability,' o r ' I Q ' " ( 1 9 3 9 , p . 7 9 ) . T o b e s u r e , t h e p r o f e s s i o n a l testers d i d n o t a l w a y s h e e d S p e a r man's plea for an adoption of g as the rationale for their work. M a n y testers a b j u r e d t h e o r y a n d c o n t i n u e d t o insist o n p r a c t i c a l utility a s t h e j u s t i f i c a t i o n f o r their e f f o r t s . B u t silence a b o u t t h e o r y d o e s n o t c o n n o t e a n a b s e n c e o f t h e o r y . T h e reification o f I Q a s a biological entity h a s d e p e n d e d u p o n t h e c o n v i c t i o n that S p e a r m a n ' s g m e a s u r e s a single, scalable, f u n d a m e n t a l " t h i n g " r e s i d i n g in the h u m a n brain. M a n y of the m o r e theoretically inclined mental testers h a v e t a k e n this v i e w (see T e r m a n e t al., 1 9 1 7 , p . 1 5 2 ) . C . C. B r i g h a m d i d n o t b a s e his f a m o u s r e c a n t a t i o n solely u p o n a b e l a t e d r e c o g n i d o n that t h e a r m y m e n t a l tests h a d c o n s i d e r e d pate n t m e a s u r e s o f c u l t u r e a s i n b o r n p r o p e r t i e s ( p p . 262—263). H e also p o i n t e d o u t that n o s t r o n g , s i n g l e g c o u l d b e e x t r a c t e d f r o m t h e c o m b i n e d tests, w h i c h , t h e r e f o r e , c o u l d n o t h a v e b e e n m e a sures of i n t e l l i g e n c e a f t e r all ( B r i g h a m , 1930). A n d I will at least say this f o r A r t h u r J e n s e n : h e r e c o g n i z e s t h a t his h e r e d i t a r i a n t h e ory o f I Q d e p e n d s u p o n the validity o f g , a n d h e d e v o t e s m u c h o f his m a j o r b o o k ( 1 9 7 9 ) to a d e f e n s e of S p e a r m a n ' s a r g u m e n t in its original f o r m , as do Richard Herrnstein and Charles Murrav in The Bell Curve ( 1 9 9 4 ) — s e e essays at e n d of this b o o k . A p r o p e r understanding of the conceptual errors in Spearman's formulation is a p r e r e q u i s i t e f o r criticizing h e r e d i t a r i a n c l a i m s a b o u t IQ at their f u n d a m e n t a l level, n o t m e r e l y i n t h e t a n g l e d m i n u t i a e o f statistical procedures.
Spearman's reification of g S p e a r m a n c o u l d n o t rest c o n t e n t w i t h t h e i d e a that h e h a d p r o b e d d e e p l y u n d e r t h e e m p i r i c a l results o f m e n t a l tests a n d
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f o u n d a single a b s t r a c t f a c t o r u n d e r l y i n g all p e r f o r m a n c e . N o r c o u l d h e a c h i e v e a d e q u a t e satisfaction b y i d e n d f y i n g that f a c t o r with w h a t w e call i n t e l l i g e n c e itself.* S p e a r m a n felt c o m p e l l e d t o ask m o r e o f his g : i t m u s t m e a s u r e s o m e p h y s i c a l p r o p e r t y o f t h e b r a i n ; it m u s t be a " t h i n g " in the m o s t d i r e c t , m a t e r i a l s e n s e . E v e n i f n e u r o l o g y h a d f o u n d n o s u b s t a n c e t o identify with g , t h e brain's p e r f o r m a n c e o n m e n t a l tests p r o v e d that s u c h a p h y s i c a l s u b s t r a t e m u s t exist. T h u s , c a u g h t u p i n p h y s i c s e n v y a g a i n , S p e a r m a n d e s c r i b e d his o w n " a d v e n t u r o u s s t e p o f d e s e r t i n g all actually observable p h e n o m e n a of the m i n d a n d p r o c e e d i n g instead to invent an u n d e r l y i n g s o m e t h i n g w h i c h — b y analogy with p h y s i c s — has b e e n called m e n t a l e n e r g y " ( 1 9 2 7 , p . 89). S p e a r m a n l o o k e d t o t h e basic p r o p e r t y o f g—its i n f l u e n c e i n varying d e g r e e , u p o n mental o p e r a t i o n s — a n d tried to imagine w h a t p h y s i c a l entity b e s t f i t t e d s u c h b e h a v i o r . W h a t else, h e a r g u e d , but a f o r m of e n e r g y p e r v a d i n g the entire brain and activating a set o f specific " e n g i n e s , " e a c h w i t h a d e f i n i t e locus. T h e m o r e e n e r g y , t h e m o r e g e n e r a l activation, t h e m o r e i n t e l l i g e n c e . S p e a r m a n w r o t e ( 1 9 2 3 , p . 5): This continued tendency to success of the same person throughout all variations of both form and subject matter—that is to say, throughout all conscious aspects of cognition whatever—appears only explicable by some factor lying d e e p e r than the p h e n o m e n a of consciousness. A n d thus there e m e r g e s the concept of a hypothetical general and purely quantitative factor underlying all cognitive performances of any kind. . . . T h e factor was taken, p e n d i n g further information, to consist in something of the nature of an "energy" or "power" which serves in c o m m o n the whole cortex (or possibly, even, the whole nervous system)." If g p e r v a d e s t h e e n t i r e c o r t e x as a g e n e r a l e n e r g y , t h e n t h e 5f a c t o r s f o r e a c h test m u s t h a v e m o r e d e f i n i t e l o c a t i o n s . T h e y m u s t r e p r e s e n t specific g r o u p s o f n e u r o n s , activated i n d i f f e r e n t ways b y t h e e n e r g y i d e n t i f i e d with g . T h e s-factors, S p e a r m a n w r o t e (and not merely in m e t a p h o r ) , are engines fueled by a circulatingg. Each different operation must necessarily be further served by some specific factor peculiar to it. For this factor also, a physiological substrate has been suggested, namely the particular g r o u p of neurons specially serv*At least in his early work. Later, as we have seen, he abandoned the word intelligence as a result of its maddening ambiguity in common usage. But he did not cease to regard g as the single cognitive essence that should be called intelligence, had not vernacular (and technical) confusion made such a mockery of the term.
T H E REAL ERROR OF C Y R I L B U R T ing the particular kind of operation. T h e s e neural groups would thus function as alternative "engines" into which the c o m m o n supply of "energy" could be alternatively distributed. Successful action would always d e p e n d , partly on the potential of energy d e v e l o p e d in the whole cortex, and partly on the efficiency of the specific g r o u p of neurons involved. T h e relative influence of these two factors could vary greatly according to the kind of operation; s o m e kinds would d e p e n d m o r e on the potential of the energy, others more on the efficiency of the engine (1923, p p . 5-6). T h e d i f f e r i n g g - l o a d i n g s o f tests h a d b e e n p r o v i s i o n a l l y e x p l a i n e d : o n e mental operation might d e p e n d primarily u p o n the character of its e n g i n e ( h i g h s a n d low ^ - l o a d i n g ) , a n o t h e r m i g h t o w e its status t o t h e a m o u n t o f g e n e r a l e n e r g y i n v o l v e d i n a c t i v a t i n g its engine (highg--loading). S p e a r m a n felt s u r e that h e h a d d i s c o v e r e d t h e basis o f intellig e n c e , s o s u r e that h e p r o c l a i m e d his c o n c e p t i m p e r v i o u s t o disp r o o f . H e e x p e c t e d that a p h y s i c a l e n e r g y c o r r e s p o n d i n g w i t h g would be f o u n d by physiologists: " T h e r e seem to be g r o u n d s for h o p i n g that a m a t e r i a l e n e r g y o f t h e k i n d r e q u i r e d b y p s y c h o l o g i s t s will s o m e d a y actually b e d i s c o v e r e d " ( 1 9 2 7 , p . 4 0 7 ) . I n this discove r y , S p e a r m a n p r o c l a i m e d , " p h y s i o l o g y will a c h i e v e t h e g r e a t e s t o f its t r i u m p h s " ( 1 9 2 7 , p . 408). B u t s h o u l d n o p h y s i c a l e n e r g y b e f o u n d , still a n e n e r g y t h e r e m u s t b e — b u t o f a d i f f e r e n t sort: A n d should the worst arrive and the required physiological explanation remain to the end undiscoverable, the mental facts will none the less remain facts still. If they are such as to be best explained by the concept of an underlying energy, then this concept will have to u n d e r g o that which after all is only what has long been d e m a n d e d by many of the best psychologists—it will have to be regarded as purely mental (1927, p. 408). S p e a r m a n , i n 1 9 2 7 a t least, n e v e r c o n s i d e r e d t h e o b v i o u s a l t e r n a tive: that his a t t e m p t to reify g m i g h t be invalid in the first p l a c e . T h r o u g h o u t his c a r e e r , S p e a r m a n tried t o f i n d o t h e r r e g u l a r i ties o f m e n t a l f u n c t i o n i n g that w o u l d v a l i d a t e his t h e o r y o f g e n e r a l e n e r g y a n d specific e n g i n e s . H e e n u n c i a t e d ( 1 9 2 7 , p . 133) a " l a w o f constant o u t p u t " p r o c l a i m i n g that t h e cessation o f a n y m e n t a l activity c a u s e s o t h e r s o f e q u a l intensity t o c o m m e n c e . T h u s , h e r e a s o n e d , g e n e r a l e n e r g y r e m a i n s intact a n d m u s t a l w a y s b e a c t i v a t i n g s o m e t h i n g . H e f o u n d , o n t h e o t h e r h a n d , that f a t i g u e i s "selectively t r a n s f e r r e d " — t h a t is, t i r i n g i n o n e m e n t a l activity entails f a t i g u e i n s o m e r e l a t e d a r e a s , but n o t i n o t h e r s ( 1 9 2 7 , p . 3 1 8 ) . T h u s , f a t i g u e
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c a n n o t b e a t t r i b u t e d t o " d e c r e a s e i n t h e s u p p l y o f the g e n e r a l psyc h o - p h y s i o l o g i c a l e n e r g y , " b u t m u s t r e p r e s e n t a b u i l d u p o f toxins that act selectively u p o n c e r t a i n k i n d s o f n e u r o n s . F a t i g u e , S p e a r m a n proclaimed, "primarily concerns not the e n e r g y but the engines" (1927, p. 318). Y e t , a s w e f i n d s o o f t e n i n the history o f m e n t a l t e s t i n g , S p e a r m a n ' s d o u b t s b e g a n t o g r o w until h e f i n a l l y r e c a n t e d i n his last ( p o s t h u m o u s l y p u b l i s h e d ) b o o k o f 1 9 5 0 . H e s e e m e d t o pass o f f t h e t h e o r y o f e n e r g y a n d e n g i n e s a s a folly o f y o u t h ( t h o u g h h e h a d d e f e n d e d it staunchly in middle age). He even a b a n d o n e d the a t t e m p t to reify f a c t o r s , r e c o g n i z i n g b e l a t e d l y that a m a t h e m a t i c a l a b s t r a c t i o n n e e d n o t c o r r e s p o n d with a p h y s i c a l reality. T h e g r e a t t h e o r i s t h a d e n t e r e d t h e c a m p o f his e n e m i e s a n d recast h i m s e l f a s a c a u t i o u s e m p i r i c i s t ( 1 9 5 0 , p. 25): We are u n d e r no obligation to answer such questions as: whether "factors" have any "real" existence? do they admit of g e n u i n e "measurement"? does the notion of "ability" involve at bottom any kind of cause, or power? Or is it only intended for the purpose of bare description? . . . At their time and in their place such themes are doubtless well e n o u g h . T h e senior writer himself has indulged in them not a little. Duke est desipere in loco [it is pleasant to act foolishly from time to time—a line from Horace]. But for the present purposes he has felt himself constrained to keep within the limits of barest empirical science. T h e s e he takes to be at bottom nothing but description and prediction. . . . T h e rest is mostly illumination by way of metaphor and similes. T h e h i s t o r y o f f a c t o r analysis i s s t r e w n with t h e w r e c k a g e o f m i s g u i d e d a t t e m p t s a t reification. I d o n o t d e n y that p a t t e r n s o f causality m a y h a v e identifiable a n d u n d e r l y i n g , p h y s i c a l r e a s o n s , a n d I d o a g r e e w i t h E y s e n c k w h e n h e states ( 1 9 5 3 , p . 1 1 3 ) : " U n d e r certain circumstances, factors may be r e g a r d e d as hypothetical causal i n f l u e n c e s u n d e r l y i n g a n d d e t e r m i n i n g t h e o b s e r v e d relat i o n s h i p s b e t w e e n a set of variables. It is o n l y w h e n r e g a r d e d in this light that they h a v e interest a n d s i g n i f i c a n c e f o r p s y c h o l o g y . " M y c o m p l a i n t lies with t h e p r a c t i c e o f a s s u m i n g that t h e m e r e e x i s t e n c e of a f a c t o r , in itself, p r o v i d e s a license f o r causal s p e c u l a t i o n . Factorists h a v e consistently w a r n e d a g a i n s t s u c h a n a s s u m p t i o n , b u t o u r Platonic urges to discover u n d e r l y i n g essences continue to prevail o v e r p r o p e r c a u t i o n . W e c a n c h u c k l e , w i t h t h e b e n e f i c e n c e o f h i n d s i g h t , a t psychiatrist T . V . M o o r e w h o , i n 1 9 3 3 , p o s t u l a t e d def-
T H E REAL ERROR OF C Y R I L B U R T inite g e n e s f o r c a t a t o n i c , d e l u d e d , m a n i c , c o g n i t i v e , a n d constitutional d e p r e s s i o n b e c a u s e his f a c t o r analysis g r o u p e d t h e s u p p o s e d m e a s u r e s o f t h e s e s y n d r o m e s o n s e p a r a t e a x e s (in W o l f l e , 1940). Y e t i n 1 9 7 2 t w o a u t h o r s f o u n d a n association o f d a i r y p r o d u c t i o n w i t h f l o r i d v o c a l i z a t i o n o n t h e tiny t h i r t e e n t h axis o f a n i n e t e e n axis f a c t o r analysis f o r m u s i c a l habits o f v a r i o u s c u l t u r e s — a n d t h e n s u g g e s t e d " t h a t this e x t r a s o u r c e o f p r o t e i n a c c o u n t s f o r m a n y cases o f e n e r g e t i c v o c a l i z i n g " ( L o m a x a n d B e r k o w i t z , 1 9 7 2 , p . 232). A u t o m a t i c reification is invalid f o r t w o m a j o r r e a s o n s . First, as I d i s c u s s e d briefly o n p p . 2 8 2 - 2 8 5 a n d will t r e a t i n full o n p p . 3 2 6 3 4 7 , n o set o f factors has a n y c l a i m t o e x c l u s i v e c o n c o r d a n c e with t h e real w o r l d . A n y m a t r i x o f positive c o r r e l a t i o n coefficients c a n b e f a c t o r e d , a s S p e a r m a n d i d , i n t o g a n d a set o f s u b s i d i a r y factors o r , a s T h u r s t o n e d i d , i n t o a set o f " s i m p l e s t r u c t u r e " f a c t o r s that usually lack a single d o m i n a n t d i r e c t i o n . S i n c e e i t h e r s o l u t i o n resolves t h e s a m e a m o u n t o f i n f o r m a t i o n , they a r e e q u i v a l e n t i n m a t h e m a t i c a l t e r m s . Y e t t h e y lead t o c o n t r a r y p s y c h o l o g i c a l interp r e t a t i o n s . H o w c a n w e claim that o n e , o r e i t h e r , i s a m i r r o r o f reality? S e c o n d , a n y s i n g l e set of f a c t o r s c a n be i n t e r p r e t e d in a v a r i e t y o f w a y s . S p e a r m a n r e a d his s t r o n g g a s e v i d e n c e f o r a single reality u n d e r l y i n g all c o g n i t i v e m e n t a l activity, a g e n e r a l e n e r g y w i t h i n t h e brain. Y e t Spearman's most celebrated English colleague in factor analysis, Sir G o d f r e y T h o m s o n , a c c e p t e d S p e a r m a n ' s m a t h e m a t i c a l results b u t consistently c h o s e t o i n t e r p r e t t h e m i n a n o p p o s i t e m a n n e r . S p e a r m a n a r g u e d that t h e b r a i n c o u l d b e d i v i d e d i n t o a set o f specific e n g i n e s , f u e l e d b y a g e n e r a l e n e r g y . T h o m s o n , u s i n g t h e s a m e d a t a , i n f e r r e d that t h e b r a i n has h a r d l y a n y s p e c i a l i z e d struct u r e a t all. N e r v e cells, h e a r g u e d , e i t h e r f i r e c o m p l e t e l y o r n o t a t a l l — t h e y a r e e i t h e r o f f o r o n , with n o i n t e r m e d i a r y state. E v e r y m e n t a l test s a m p l e s a r a n d o m a r r a y o f n e u r o n s . T e s t s with h i g h g l o a d i n g s catch m a n y n e u r o n s i n t h e active state; o t h e r s , with l o w g loadings, have simply sampled a smaller a m o u n t of unstructured brain. T h o m s o n c o n c l u d e d (1939): "Far f r o m b e i n g divided u p into a f e w ' u n i t a r y factors,' t h e m i n d is a r i c h , c o m p a r a t i v e l y undifferentiated c o m p l e x of innumerable influences—on the p h y s i o l o g i c a l side a n intricate n e t w o r k o f possibilities o f i n t e r c o m m u n i c a t i o n . " I f t h e s a m e m a t h e m a t i c a l p a t t e r n c a n yield s u c h disp a r a t e i n t e r p r e t a t i o n s , w h a t c l a i m c a n e i t h e r h a v e u p o n reality?
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T w o o f S p e a r m a n ' s p r i m a r y claims a p p e a r i n m o s t h e r e d i t a r i a n t h e o r i e s of m e n t a l testing: t h e identification of i n t e l l i g e n c e as a u n i t a r y " t h i n g , " a n d t h e i n f e r e n c e o f a p h y s i c a l s u b s t r a t e f o r it. B u t t h e s e c l a i m s d o n o t c o m p l e t e the a r g u m e n t : a single, p h y s i c a l substance m a y a c h i e v e its v a r i a b l e s t r e n g t h t h r o u g h effects o f e n v i r o n ment and education, not f r o m inborn differences. A m o r e direct a r g u m e n t f o r t h e heritability o f g m u s t b e m a d e , a n d S p e a r m a n s u p p l i e d it. T h e identification o f g a n d s w i t h e n e r g y a n d e n g i n e s a g a i n p r o v i d e d S p e a r m a n with his f r a m e w o r k . H e a r g u e d that t h e s - f a c tors r e c o r d t r a i n i n g i n e d u c a t i o n , b u t that t h e s t r e n g t h o f a p e r son's g reflects h e r e d i t y a l o n e . H o w can g be i n f l u e n c e d by e d u c a t i o n , S p e a r m a n a r g u e d ( 1 9 2 7 , p. 3 9 2 ) , if g ceases to i n c r e a s e b y a b o u t a g e s i x t e e n b u t e d u c a t i o n m a y c o n t i n u e indefinitely t h e r e after? H o w cang be a l t e r e d by s c h o o l i n g if it m e a s u r e s w h a t S p e a r m a n called eduction (or t h e ability to s y n t h e s i z e a n d d r a w c o n n e c t i o n s ) a n d n o t retention (the ability to l e a r n facts a n d r e m e m b e r t h e m ) — w h e n schools a r e i n the b u s i n e s s o f i m p a r t i n g inform a t i o n ? T h e e n g i n e s c a n b e s t u f f e d full o f i n f o r m a t i o n a n d s h a p e d by t r a i n i n g , b u t t h e brain's g e n e r a l e n e r g y is a c o n s e q u e n c e of its inborn structure: T h e effect of training is confined to the specific factor and does not touch the general one; physiologically speaking, certain neurons b e c o m e habituated to particular kinds of action, but the free energy of the brain remains unaffected. . . . T h o u g h unquestionably the development of specific abilities is in large measure d e p e n d e n t u p o n environmental influences, that of general ability is almost wholly governed by heredity (1914, p p . 233-234)I Q , as a m e a s u r e of g, r e c o r d s an i n n a t e g e n e r a l i n t e l l i g e n c e ; the m a r r i a g e of the two great traditions in mental m e a s u r e m e n t ( I Q testing a n d f a c t o r analysis) was c o n s u m m a t e d with t h e issue o f heredity. O n t h e v e x a t i o u s issue o f g r o u p d i f f e r e n c e s , S p e a r m a n ' s v i e w s a c c o r d e d with t h e u s u a l beliefs o f l e a d i n g w e s t e r n E u r o p e a n m a l e scientists a t t h e t i m e (see F i g . 6.9). O f b l a c k s , h e w r o t e ( 1 9 2 7 , p . 3 7 9 ) , i n v o k i n g ^ t o i n t e r p r e t t h e a r m y m e n t a l tests:
T H E REAL ERROR OF CYRIL B U R T
OI
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On the average of all the tests, the colored were about two years behind the white; their inferiority e x t e n d e d through all ten tests, but it was most marked in just those which are known to be most saturated with g. I n o t h e r w o r d s , b l a c k s p e r f o r m e d m o s t p o o r l y o n tests h a v i n g s t r o n g e s t c o r r e l a t i o n s with g , o r i n n a t e g e n e r a l i n t e l l i g e n c e . O f whites f r o m s o u t h e r n a n d e a s t e r n E u r o p e , S p e a r m a n w r o t e ( 1 9 2 7 , p. 379), praising the A m e r i c a n I m m i g r a t i o n Restriction A c t of 1924: T h e general conclusion emphasized by nearly every investigator is that, as regards "intelligence," the Germanic stock has on the average a marked advantage over the South European. A n d this result would seem to have 6*9 Racist stereotype of a Jewish financier, reproduced from the first page of Spearman's 1914 article (see Bibliography). Spearman used this figure to criticize beliefs in group factors for such particular items of intellect, but its publication illustrates the acceptable attitudes of another age.
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had vitally important practical consequences in shaping the recent very stringent American laws as to admission of immigrants. Y e t it would be incorrect to brand S p e a r m a n as an architect of the hereditarian
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h u m a n g r o u p s . H e s u p p l i e d s o m e i m p o r t a n t c o m p o n e n t s , particularly the a r g u m e n t that intelligence is an innate, single, scorable "thing." He also h e l d conventional views on the source of a v e r a g e d i f f e r e n c e s i n i n t e l l i g e n c e b e t w e e n races a n d n a t i o n a l g r o u p s . B u t h e d i d n o t stress t h e ineluctability o f d i f f e r e n c e s . I n f a c t , h e attribu t e d s e x u a l d i f f e r e n c e s t o t r a i n i n g a n d social c o n v e n t i o n ( 1 9 2 7 , p . 229) a n d h a d r a t h e r little t o say a b o u t social classes. M o r e o v e r , w h e n d i s c u s s i n g racial d i f f e r e n c e s , h e a l w a y s c o u p l e d his h e r e d i t a r i a n c l a i m a b o u t a v e r a g e scores w i t h a n a r g u m e n t t h a t t h e r a n g e o f v a r i a t i o n w i t h i n a n y racial o r n a t i o n a l g r o u p g r e a t l y e x c e e d s t h e small a v e r a g e d i f f e r e n c e b e t w e e n g r o u p s — s o t h a t m a n y m e m b e r s o f a n " i n f e r i o r " r a c e will s u r p a s s t h e a v e r a g e i n t e l l i g e n c e o f a " s u p e r i o r " g r o u p ( 1 9 2 7 , p . 380, f o r e x a m p l e ) . * S p e a r m a n also r e c o g n i z e d t h e political f o r c e o f h e r e d i t a r i a n c l a i m s , t h o u g h h e d i d n o t a b j u r e e i t h e r t h e c l a i m o r t h e politics: "All great efforts to i m p r o v e h u m a n beings by way of training are t h w a r t e d t h r o u g h t h e a p a t h y o f t h o s e w h o h o l d the sole feasible r o a d t o b e t h a t o f stricter b r e e d i n g " ( 1 9 2 7 , p . 3 7 6 ) . B u t , most importantly, S p e a r m a n simply didn't seem to take m u c h i n t e r e s t i n t h e subject o f h e r e d i t a r y d i f f e r e n c e s a m o n g p e o p l e s . W h i l e t h e issue s w i r l e d a b o u t h i m a n d b u r i e d his p r o f e s s i o n i n p r i n t e r ' s i n k , a n d w h i l e h e h i m s e l f h a d s u p p l i e d a basic a r g u m e n t for the hereditarian school, the inventor of g stood aside in a p p a r e n t a p a t h y . H e h a d s t u d i e d f a c t o r analysis b e c a u s e h e w a n t e d to understand the structure of the h u m a n brain, not as a guide to measuring differences between groups, or even a m o n g individuals. S p e a r m a n m a y h a v e b e e n a r e l u c t a n t c o u r t i e r , b u t t h e politically p o t e n t u n i o n o f I Q a n d f a c t o r analysis i n t o a h e r e d i t a r i a n t h e o r y of intelligence was e n g i n e e r e d by Spearman's successor in the chair of psychology at University C o l l e g e — C y r i l Burt. S p e a r m a n may h a v e c a r e d little, b u t t h e i n n a t e c h a r a c t e r o f i n t e l l i g e n c e was t h e i d e e f i x e o f Sir C y r i l ' s life. * Richard Herrnstein and Charles Murray emphasize the same arguments to obviate a charge of racism against The Bell Curve (1994)—see first two essays at end of book.
THE REAL ERROR OF CYRIL B U R T
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Cyril Burt and the hereditarian synthesis The source of Burt's uncompromising hereditarianism C y r i l B u r t p u b l i s h e d his first p a p e r in 1909. In it, he a r g u e d that i n t e l l i g e n c e is i n n a t e a n d that d i f f e r e n c e s between social classes a r e l a r g e l y p r o d u c t s o f h e r e d i t y ; h e also cited S p e a r m a n ' s g as p r i m a r y s u p p o r t . B u r t ' s last p a p e r in a m a j o r journal a p p e a r e d p o s t h u m o u s l y in 1 9 7 2 . It s a n g t h e v e r y s a m e tune: intelligence is i n n a t e a n d t h e e x i s t e n c e of S p e a r m a n ' s g p r o v e s it. For all his m o r e d u b i o u s qualifies, C y r i l B u r t c e r t a i n l y h a d staying power. T h e 1 9 7 2 paper proclaims: T h e two main conclusions we have reached seem clear and beyond all question. T h e hypothesis of a general factor entering into every type of cognitive process, tentatively suggested by speculations derived from neurology and biology, is fully borne out by the statistical evidence; and the contention that differences in this general factor depend largely on the individual's genetic constitution appears incontestable. The concept of an innate, general, cognitive ability, which follows from these two assumptions, though admittedly a sheer abstraction, is thus wholly consistent with the empirical facts (1972, p. 188). O n l y t h e intensity o f Sir C y r i l ' s adjectives h a d changed. I n 1 9 1 2 h e h a d t e r m e d this a r g u m e n t " c o n c l u s i v e " ; b y 1972 i t h a d b e c o m e "incontestable." F a c t o r analysis lay a t t h e c o r e o f B u r t ' s definition o f i n t e l l i g e n c e as i.g.c. ( i n n a t e , g e n e r a l , c o g n i t i v e ) ability. In his major w o r k on f a c t o r analysis ( 1 9 4 0 , p . 2 1 6 ) , B u r t d e v e l o p e d his characteristic u s e of S p e a r m a n ' s thesis. F a c t o r analysis s h o w s that "a general f a c t o r e n t e r s i n t o all cognitive p r o c e s s e s , " a n d "this general factor a p p e a r s to be l a r g e l y , if n o t w h o l l y , i n h e r i t e d or innate"—again, i.g.c. ability. T h r e e y e a r s e a r l i e r ( 1 9 3 7 , p p . 10—11) h e h a d t i e d g t o a n inelucta»le h e r e d i t y e v e n m o r e g r a p h i c a l l y : This general intellectual factor, central and all-pervading, shows a further characteristic, also disclosed by testing and statistics. It appears to be inherited, or at least inborn. Neither knowledge nor practice, neither '"terest nor industry, will avail to increase it. O t h e r s , i n c l u d i n g S p e a r m a n h i m s e l f , h a d drawn t h e link b e t w e e n g a n d h e r e d i t y . Y e t n o o n e b u t Sir Cyril ever p u r s u e d i t with s u c h s t u b b o r n , a l m o s t obsessive g u s t o : and no o n e else
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w i e l d e d i t a s s u c h a n e f f e c t i v e political tool. T h e c o m b i n a t i o n o f h e r e d i t a r i a n bias with a reification of i n t e l l i g e n c e as a s i n g l e , m e a s u r a b l e entity d e f i n e d B u r t ' s u n y i e l d i n g position. I h a v e d i s c u s s e d t h e r o o t s o f t h e s e c o n d c o m p o n e n t : intellig e n c e a s a reified f a c t o r . B u t w h e r e d i d t h e f i r s t c o m p o n e n t — r i g i d h e r e d i t a r i a n i s m — a r i s e in B u r t ' s v i e w of life? It d i d n o t flow l o g i cally f r o m f a c t o r analysis itself, f o r it c a n n o t (see p p . 2 8 0 - 2 8 2 ) . I will n o t a t t e m p t t o a n s w e r this q u e s t i o n b y r e f e r r i n g e i t h e r t o B u r t ' s p s y c h e o r his t i m e s ( t h o u g h H e a r n s h a w , 1 9 7 9 , h a s m a d e s o m e s u g gestions). B u t I will d e m o n s t r a t e that B u r t ' s h e r e d i t a r i a n a r g u m e n t h a d n o f o u n d a t i o n i n his e m p i r i c a l w o r k (either h o n e s t o r f r a u d u lent), a n d that i t r e p r e s e n t e d a n a p r i o r i bias i m p o s e d u p o n t h e studies that s u p p o s e d l y p r o v e d it. I t also a c t e d , t h r o u g h B u r t ' s zealo u s p u r s u i t o f bis i d e e f i x e , a s a d i s t o r t e r o f j u d g m e n t a n d f i n a l l y as an i n c i t e m e n t to f r a u d . *
BURT'S I N I T I A L " P R O O F " OF I N N A T E N E S S
T h r o u g h o u t his l o n g c a r e e r , B u r t c o n t i n u a l l y cited his f i r s t p a p e r of 1909 as a p r o o f that i n t e l l i g e n c e is i n n a t e . Y e t t h e s t u d y falters b o t h o n a flaw o f logic (circular r e a s o n i n g ) a n d o n t h e r e m a r k a b l y scant a n d superficial c h a r a c t e r o f t h e d a t a t h e m s e l v e s . T h i s publication proves only one thing about intelligence—that B u r t b e g a n his s t u d y with a n a p r i o r i c o n v i c t i o n o f its i n n a t e n e s s , a n d r e a s o n e d b a c k i n a vicious circle t o his initial belief. T h e "evid e n c e " — w h a t t h e r e was o f i t — s e r v e d o n l y a s selective w i n d o w dressing. A t t h e o u t s e t o f his 1909 p a p e r , B u r t set t h r e e g o a l s f o r himself. T h e f i r s t t w o reflect t h e i n f l u e n c e o f S p e a r m a n ' s p i o n e e r i n g w o r k i n f a c t o r analysis ("can g e n e r a l i n t e l l i g e n c e b e d e t e c t e d a n d m e a s u r e d " ; " c a n its n a t u r e b e isolated a n d its m e a n i n g a n a l y z e d " ) . T h e t h i r d r e p r e s e n t s B u r t ' s p e c u l i a r c o n c e r n : " I s its d e v e l o p m e n t p r e dominantly determined by environmental influence and individual a c q u i s i t i o n , or is it r a t h e r d e p e n d e n t u p o n t h e i n h e r i t a n c e of a racial c h a r a c t e r o r family trait" ( 1 9 0 9 , p . 96). N o t o n l y d o e s B u r t p r o c l a i m this t h i r d q u e s t i o n "in m a n y ways * Of Burt's belief in the innateness of intelligence, Hearnshaw writes (1979, p. 49) "It was for him almost an article of faith, which he was prepared to defend against all opposition, rather than a tentative hypothesis to be refuted, if possible, by empirical tests. It is hard not to feel that almost from the first Burt showed an excessive assurance in the finality and correctness of his conclusions." :
T H E REAL ERROR OF CYRIL B U R T the m o s t i m p o r t a n t o f all," b u t h e also gives a w a y his a n s w e r i n stating w h y w e s h o u l d b e s o c o n c e r n e d . Its i m p o r t a n c e rests u p o n : . . . the growing belief that innate characters of the family are more potent in evolution than the acquired characters of the individual, the gradual apprehension that u n s u p p l e m e n t e d humanitarianism and philanthropy may be suspending the natural elimination of the unfit stocks—these features of contemporary sociology make the question whether ability is inherited o n e of fundamental m o m e n t (1909, p. 169). B u r t selected f o r t y - t h r e e b o y s f r o m t w o O x f o r d schools, thirty sons o f small t r a d e s m e n f r o m a n e l e m e n t a r y s c h o o l a n d t h i r t e e n u p p e r - c l a s s b o y s f r o m p r e p a r a t o r y s c h o o l . I n this " e x p e r i m e n t a l d e m o n s t r a t i o n that i n t e l l i g e n c e i s h e r e d i t a r y " ( 1 9 0 9 , p . 1 7 9 ) , with its l u d i c r o u s l y small s a m p l e , B u r t a d m i n i s t e r e d t w e l v e tests o f "mental functions of varying degrees of complexity" to each boy. ( M o s t o f t h e s e tests w e r e n o t d i r e c t l y c o g n i t i v e i n the u s u a l s e n s e , b u t m o r e like the o l d e r G a l t o n i a n tests o f p h y s i o l o g y — a t t e n t i o n , m e m o r y , sensory discrimination, and reaction time). B u r t then o b t a i n e d " c a r e f u l e m p i r i c a l estimates o f i n t e l l i g e n c e " f o r e a c h b o y . T h i s h e d i d n o t b y r i g o r o u s B i n e t testing, b u t b y a s k i n g " e x p e r t " observers to rank the boys in o r d e r of their intelligence independent of m e r e school learning. He obtained these rankings f r o m the headmasters of the schools, f r o m teachers, and f r o m "two c o m p e tent a n d i m p a r t i a l b o y s " i n c l u d e d i n t h e s t u d y . W r i t i n g i n the t r i u m p h a n t d a y s o f British c o l o n i a l i s m a n d d e r r i n g - d o , B u r t i n s t r u c t e d his t w o b o y s o n t h e m e a n i n g o f i n t e l l i g e n c e : Supposing you had to choose a leader for an expedition into an unknown country, which of these 30 boys would you select as the most intelligent? Failing him, which next? (1909, p. 106) Burt then searched for correlations between performance on t h e t w e l v e tests a n d t h e r a n k i n g s p r o d u c e d b y his e x p e r t witnesses. H e f o u n d that f i v e tests h a d c o r r e l a t i o n coefficients with intellig e n c e a b o v e 0.5, a n d that p o o r e s t c o r r e l a t i o n s i n v o l v e d tests o f " l o w e r s e n s e s — t o u c h a n d w e i g h t , " w h i l e t h e best c o r r e l a t i o n s i n c l u d e d tests o f c l e a r e r c o g n i t i v e i m p o r t . C o n v i n c e d that t h e twelve tests m e a s u r e d i n t e l l i g e n c e , B u r t t h e n c o n s i d e r e d t h e scores t h e m s e l v e s . H e f o u n d that t h e u p p e r - c l a s s b o y s p e r f o r m e d b e t t e r than t h e l o w e r - m i d d l e - c l a s s b o y s in all tests save t h o s e i n v o l v i n g weight and touch. T h e upper-class boys must therefore be smarter. But is the superior smartness of upper-class boys innate or
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acquired as a function of advantages in h o m e a n d schooling? Burt gave four arguments for discounting environment: 1. T h e e n v i r o n m e n t o f l o w e r - m i d d l e - c l a s s b o y s c a n n o t b e p o o r e n o u g h t o m a k e a d i f f e r e n c e since t h e i r p a r e n t s c a n a f f o r d t h e n i n e p e n c e a w e e k r e q u i r e d t o a t t e n d s c h o o l : " N o w i n t h e case o f the lowest social classes, g e n e r a l i n f e r i o r i t y a t m e n t a l tests m i g h t b e a t t r i b u t a b l e t o u n f o r t u n a t e e n v i r o n m e n t a l a n d post-natal influe n c e s . . . . B u t s u c h c o n d i t i o n s c o u l d n o t be s u s p e c t e d with t h e b o y s w h o , at a fee of g d a week, attended the Central Elementary School" (1909, p. 173). In other w o r d s , e n v i r o n m e n t can't m a k e a d i f f e r e n c e until it r e d u c e s a child to n e a r s t a r v a t i o n . 2 . T h e " e d u c a t i v e i n f l u e n c e s o f h o m e a n d social l i f e " s e e m small. I n m a k i n g this a d m i t t e d l y subjective a s s e s s m e n t , B u r t a p p e a l e d to a fine intuition h o n e d by years of gut-level experience. " H e r e , h o w e v e r , o n e must confess, such speculative arguments can c o n v e y little c o n v i c t i o n t o t h o s e w h o h a v e n o t w i t n e s s e d t h e actual m a n n e r of the respective boys." 3 . T h e c h a r a c t e r o f t h e tests t h e m s e l v e s p r e c l u d e s m u c h envir o n m e n t a l i n f l u e n c e . A s tests o f s e n s a t i o n a n d m o t o r p e r f o r m a n c e , t h e y d o n o t i n v o l v e " a n a p p r e c i a b l e d e g r e e o f a c q u i r e d skill o r k n o w l e d g e . . . . T h e r e is r e a s o n , t h e r e f o r e , to b e l i e v e that t h e diff e r e n c e s r e v e a l e d a r e m a i n l y i n n a t e " ( 1 9 0 9 , p . 180). 4. A r e t e s t i n g of t h e b o y s e i g h t e e n m o n t h s later, a f t e r s e v e r a l had entered professions or new schools, p r o d u c e d no important r e a d j u s t m e n t o f r a n k s . ( D i d i t e v e r o c c u r t o B u r t that e n v i r o n m e n t m i g h t h a v e its p r i m a r y i n f l u e n c e i n e a r l y life, a n d n o t o n l y i n i m m e d i a t e situations?) T h e p r o b l e m w i t h all t h e s e p o i n t s , a n d w i t h t h e d e s i g n o f t h e e n t i r e s t u d y , is a p a t e n t circularity in a r g u m e n t . B u r t ' s c l a i m r e s t e d u p o n c o r r e l a t i o n s b e t w e e n test p e r f o r m a n c e s a n d a r a n k i n g o f intelligence compiled by "impartial" observers. ( A r g u m e n t s about t h e " c h a r a c t e r " o f t h e tests t h e m s e l v e s a r e s e c o n d a r y , f o r t h e y w o u l d c o u n t f o r n o t h i n g i n B u r t ' s d e s i g n i f t h e tests d i d n o t c o r r e late w i t h i n d e p e n d e n t assessments o f i n t e l l i g e n c e . ) W e m u s t k n o w w h a t t h e subjective r a n k i n g s m e a n i n o r d e r t o i n t e r p r e t t h e c o r r e lations a n d m a k e a n y u s e o f t h e tests t h e m s e l v e s . F o r i f t h e r a n k i n g s o f t e a c h e r s , h e a d m a s t e r s , a n d c o l l e a g u e s , h o w e v e r sincerely a t t e m p t e d , r e c o r d t h e a d v a n t a g e s o f u p b r i n g i n g m o r e t h a n t h e differential blessings of genetics, then the ranks are primarily a r e c o r d
T H E REAL ERROR OF CYRIL B U R T o f e n v i r o n m e n t , a n d t h e test scores m a y p r o v i d e j u s t a n o t h e r (and m o r e imperfect) measure of the same thing. Burt used the correlation b e t w e e n t w o criteria a s e v i d e n c e f o r h e r e d i t y w i t h o u t e v e r establishing that e i t h e r c r i t e r i o n m e a s u r e d his f a v o r e d p r o p e r t y . I n any case, all t h e s e a r g u m e n t s f o r h e r e d i t y a r e i n d i r e c t . B u r t also c l a i m e d , as his final p r o o f , a d i r e c t test of i n h e r i t a n c e : t h e b o y s ' m e a s u r e d i n t e l l i g e n c e c o r r e l a t e d w i t h that o f t h e i r p a r e n t s : Wherever a process is correlated with intelligence, these children of superior parentage resemble their parents in being themselves superior. . . . Proficiency at such tests does not d e p e n d u p o n opportunity or training, but u p o n some quality innate. T h e resemblance in d e g r e e of intelligence between the boys and their parents must, therefore, be d u e to inheritance. We thus have an experimental demonstration that intelligence is hereditary (1909, p. 181). B u t h o w did B u r t measure parental intelligence? T h e answer, r e m a r k a b l e e v e n f r o m B u r t ' s p o i n t o f v i e w , i s that h e d i d n ' t : h e m e r e l y a s s u m e d i t f r o m p r o f e s s i o n a n d social s t a n d i n g . I n t e l l e c tual, upper-class parents must be innately smarter than tradesmen. B u t t h e s t u d y was d e s i g n e d t o assess w h e t h e r o r n o t p e r f o r m a n c e o n tests reflects i n b o r n qualities o r t h e a d v a n t a g e s o f social s t a n d ing. O n e cannot, therefore, turn around and infer intelligence directly f r o m social s t a n d i n g . W e k n o w that B u r t ' s later studies o f i n h e r i t a n c e w e r e f r a u d u lent. Y e t his e a r l y a n d h o n e s t w o r k i s r i d d l e d w i t h f l a w s s o f u n d a m e n t a l that t h e y s t a n d i n scarcely b e t t e r light. A s i n t h e 1909 s t u d y , B u r t c o n t i n u a l l y a r g u e d f o r i n n a t e n e s s b y citing c o r r e l a t i o n s i n intelligence b e t w e e n parents and offspring. A n d he continually assessed p a r e n t a l i n t e l l i g e n c e by social s t a n d i n g , n o t by a c t u a l tests. For e x a m p l e , after completing the O x f o r d study, B u r t b e g a n a m o r e e x t e n s i v e p r o g r a m o f t e s t i n g i n L i v e r p o o l . H e cited h i g h correlations b e t w e e n p a r e n t s a n d o f f s p r i n g a s a m a j o r a r g u m e n t f o r i n n a t e i n t e l l i g e n c e , b u t n e v e r p r o v i d e d p a r e n t a l s c o r e s . Fifty y e a r s later, L . S . P e n r o s e r e a d B u r t ' s o l d w o r k , n o t e d t h e a b s e n t d a t a , and asked B u r t h o w he had measured parental intelligence. T h e old m a n r e p l i e d (in H e a r n s h a w , 1 9 7 9 , p . 29): T h e intelligence of the parents was assessed primarily on the basis of their actual jobs, checked by personal interviews; about a fifth were also tested to standardize the impressionistic assessments.
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H e a r n s h a w c o m m e n t s ( 1 9 7 9 , p . 30): " I n a d e q u a t e r e p o r t i n g a n d i n c a u t i o u s c o n c l u s i o n s m a r k this f i r s t i n c u r s i o n o f B u r t into t h e g e n e t i c f i e l d . W e h a v e h e r e , r i g h t a t t h e b e g i n n i n g o f his c a r e e r , the seeds of later troubles." E v e n w h e n B u r t d i d test subjects, h e r a r e l y r e p o r t e d t h e actual s c o r e s a s m e a s u r e d , b u t " a d j u s t e d " t h e m a c c o r d i n g t o his o w n assessment of their failure to measure true intelligence as he and o t h e r e x p e r t s s u b j e c t i v e l y j u d g e d it. H e a d m i t t e d i n a m a j o r w o r k ( 1 9 2 1 , p . 280): I did not take my test results just as they stood. T h e y were carefully discussed with teachers, and freely corrected whenever it s e e m e d likely that the teacher's view of the relative merits of his own pupils gave a better estimate than the c r u d e test marks. S u c h a p r o c e d u r e is n o t w i t h o u t its c o m m e n d a b l e intent. It d o e s a d m i t t h e inability o f a m e r e n u m b e r , c a l c u l a t e d d u r i n g a s h o r t series of tests, to c a p t u r e s u c h a subtle n o t i o n as i n t e l l i g e n c e . It does g r a n t to teachers a n d others with extensive personal knowle d g e t h e o p p o r t u n i t y t o r e c o r d their g o o d j u d g m e n t . B u t i t s u r e l y m a k e s a m o c k e r y of a n y claim that a specific h y p o t h e s i s is u n d e r o b j e c t i v e a n d r i g o r o u s test. F o r i f o n e b e l i e v e s b e f o r e h a n d that well-bred children are innately intelligent, then in what direction will t h e s c o r e s b e a d j u s t e d ? * D e s p i t e his m i n u s c u l e s a m p l e , his illogical a r g u m e n t s , a n d his d u b i o u s p r o c e d u r e s , B u r t c l o s e d his 1909 p a p e r with a s t a t e m e n t of personal t r i u m p h (p. 176): Parental intelligence, therefore, may be inherited, individual intellig e n c e measured, a n d general intelligence analyzed; and they can be analyzed, measured and inherited to a d e g r e e which few psychologists have hitherto legitimately ventured to maintain. W h e n B u r t r e c y c l e d t h e s e d a t a in a 1 9 1 2 p a p e r f o r t h e Eugenics Review, h e a d d e d a d d i t i o n a l " p r o o f " with e v e n s m a l l e r s a m p l e s . H e •Sometimes, Burt descended even further into circular illogic and claimed that tests must measure innate intelligence because the testers constructed them to do so: "Indeed from Binet onwards practically all the investigators who have attempted to construct 'intelligence tests' have been primarily searching for some measure of inborn capacity, as distinct from acquired knowledge or skill. With such an interpretation it obviously becomes foolish to inquire how far 'intelligence' is due to environment and how far it is due to innate constitution: the very definition begs and setdes the question" ( 1 9 4 3 . p- 8 8 ) .
T H E REAL ERROR OF CYRIL B U R T d i s c u s s e d A l f r e d B i n e t ' s t w o d a u g h t e r s , n o t e d that their f a t h e r h a d b e e n d i s i n c l i n e d t o c o n n e c t p h y s i c a l signs w i t h m e n t a l p r o w e s s , a n d p o i n t e d o u t that t h e b l o n d , b l u e - e y e d , l a r g e - h e a d e d d a u g h t e r o f T e u t o n i c a p p e a r a n c e w a s objective a n d f o r t h r i g h t , w h i l e t h e d a r k e r d a u g h t e r t e n d e d t o b e i m p r a c t i c a l a n d s e n t i m e n t a l . Touche. B u r t was no f o o l . I c o n f e s s that I b e g a n r e a d i n g h i m w i t h t h e i m p r e s s i o n , n u r t u r e d b y s p e c t a c u l a r press r e p o r t s o f his f r a u d u l e n t w o r k , that h e was s i m p l y a d e v i o u s a n d f o x y c h a r l a t a n . T o b e s u r e , that h e b e c a m e a n d f o r c o m p l e x r e a s o n s (see p p . 264—269). B u t a s I r e a d , I g a i n e d r e s p e c t f o r B u r t ' s e n o r m o u s e r u d i t i o n , f o r his r e m a r k a b l e sensitivity i n m o s t a r e a s , a n d f o r t h e subtlety a n d c o m p l e x i t y o f his r e a s o n i n g ; I e n d e d u p l i k i n g m o s t t h i n g s a b o u t h i m i n spite o f myself. A n d y e t , this a s s e s s m e n t m a k e s t h e e x t r a o r d i n a r y w e a k n e s s o f his r e a s o n i n g a b o u t t h e i n n a t e n e s s o f i n t e l l i g e n c e all t h e m o r e p u z z l i n g . I f h e h a d s i m p l y b e e n a f o o l , t h e n f o o l i s h a r g u m e n t s w o u l d d e n o t e consistency o f c h a r a c t e r . My d i c t i o n a r y d e f i n e s an idee fixe, or fixed i d e a , as "a p e r s i s t e n t or obsessing idea, often delusional, f r o m which a person cannot e s c a p e . " T h e i n n a t e n e s s o f i n t e l l i g e n c e was B u r t ' s i d e e f i x e . W h e n h e t u r n e d his intellectual skills t o o t h e r a r e a s , h e r e a s o n e d well, subtly, a n d o f t e n w i t h g r e a t insight. W h e n h e c o n s i d e r e d t h e i n n a t e n e s s o f i n t e l l i g e n c e , b l i n d e r s d e s c e n d e d a n d his r a t i o n a l t h i n k i n g e v a p o r a t e d b e f o r e t h e h e r e d i t a r i a n d o g m a that w o n his f a m e a n d e v e n t u a l l y s e a l e d his intellectual d o o m . I t m a y b e r e m a r k a b l e that B u r t c o u l d o p e r a t e w i t h s u c h a d u a l i t y i n styles o f r e a s o n i n g . B u t I f i n d i t m u c h m o r e r e m a r k a b l e that s o m a n y o t h e r s b e l i e v e d B u r t ' s s t a t e m e n t s a b o u t i n t e l l i g e n c e w h e n his a r g u m e n t s a n d d a t a , all r e a d i l y available i n p o p u l a r p u b l i c a t i o n s , c o n t a i n e d s u c h p a t e n t e r r o r s a n d s p e c i o u s c l a i m s . W h a t d o e s this t e a c h u s a b o u t s h a r e d d o g m a m a s q u e r a d i n g a s objectivity? LATER
ARGUMENTS
P e r h a p s I h a v e b e e n u n f a i r i n c h o o s i n g B u r t ' s earliest w o r k f o r criticism. P e r h a p s t h e f o o l i s h n e s s o f y o u t h s o o n y i e l d e d t o m a t u r e w i s d o m a n d c a u t i o n . N o t a t all; B u r t was n o t h i n g i f n o t o n t o g e n e t ically consistent. T h e a r g u m e n t o f 1 9 0 9 n e v e r c h a n g e d , n e v e r g a i n e d subtlety, a n d e n d e d w i t h m a n u f a c t u r e d s u p p o r t . T h e innateness of intelligence continued to function as d o g m a . C o n s i d e r t h e p r i m a r y a r g u m e n t o f B u r t ' s m o s t f a m o u s b o o k , The Back-
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ward Child ( 1 9 3 7 ) , w r i t t e n at t h e h e i g h t of his p o w e r s a n d b e f o r e his d e s c e n t i n t o c o n s c i o u s f r a u d . Backwardness, Burt notes, is defined by achievement in school, n o t b y tests o f i n t e l l i g e n c e : b a c k w a r d c h i l d r e n a r e m o r e t h a n a y e a r b e h i n d i n t h e i r s c h o o l w o r k . B u r t a r g u e s that e n v i r o n m e n t a l e f f e c t s , i f a t all i m p o r t a n t , s h o u l d h a v e m o s t i m p a c t u p o n c h i l d r e n i n this c a t e g o r y (those m u c h f u r t h e r b e h i n d i n s c h o o l a r e m o r e clearly g e n e t i c a l l y i m p a i r e d ) . B u r t t h e r e f o r e u n d e r t o o k a statistical study of e n v i r o n m e n t by correlating the percentage of backward children with measures of poverty in the b o r o u g h s of L o n d o n . He c a l c u l a t e d a n i m p r e s s i v e a r r a y o f s t r o n g c o r r e l a t i o n s : 0.73 w i t h p e r c e n t a g e o f p e o p l e b e l o w t h e p o v e r t y l i n e , 0.89 with o v e r c r o w d i n g , 0.68 w i t h u n e m p l o y m e n t , a n d 0.93 w i t h j u v e n i l e mortality. T h e s e d a t a s e e m to p r o v i d e a p r i m a - f a c i e case f o r a d o m i n a n t environmental influence u p o n backwardness, but Burt demurs. T h e r e i s a n o t h e r possibility. P e r h a p s t h e i n n a t e l y p o o r e s t stocks create and then gravitate to the worst b o r o u g h s , and d e g r e e of poverty is merely an imperfect measure of genetic worthlessness. B u r t , g u i d e d b y his i d e e f i x e , o p t e d f o r i n n a t e s t u p i d i t y a s t h e p r i m a r y c a u s e o f p o v e r t y ( 1 9 3 7 , p . 105). H e i n v o k e d I Q testing a s his m a j o r a r g u m e n t . M o s t b a c k w a r d c h i l d r e n s c o r e 1 to 2 s t a n d a r d d e v i a t i o n s b e l o w t h e m e a n ( 7 0 - 8 5 ) , w i t h i n a r a n g e technically d e s i g n a t e d a s " d u l l . " S i n c e I Q r e c o r d s i n n a t e i n t e l l i g e n c e , m o s t backward children p e r f o r m poorly in school because they are dull, not (or o n l y indirectly) b e c a u s e t h e y a r e p o o r . A g a i n , B u r t r i d e s his circle. H e wishes t o p r o v e that d e f i c i e n c y o f i n n a t e i n t e l l i g e n c e i s t h e m a j o r c a u s e o f p o o r p e r f o r m a n c e i n s c h o o l . H e k n o w s full well that t h e link b e t w e e n I Q s c o r e a n d i n n a t e n e s s i s a n u n r e s o l v e d issue i n i n t e n s e d e b a t e s a b o u t the m e a n i n g o f I Q — a n d h e a d m i t s in m a n y p l a c e s that t h e S t a n f o r d - B i n e t test is, at best, o n l y an i m p e r f e c t m e a s u r e o f i n n a t e n e s s (e.g., 1 9 2 1 , p . 90). Y e t , u s i n g the test scores as a g u i d e , he c o n c l u d e s : In well over half the cases, the backwardness seems d u e chiefly to intrinsic mental factors; here, therefore, it is primary, innate, and to that extent beyond all h o p e of cure (1937, p. 110). C o n s i d e r B u r t ' s c u r i o u s d e f i n i t i o n o f i n n a t e i n this s t a t e m e n t . A n innate character, as inborn and, in Burt's usage, inherited, forms part of an organism's biological constitution. B u t the demonstra-
T H E REAL ERROR OF CYRIL B U R T tion that a trait r e p r e s e n t s n a t u r e u n a f f e c t e d by n u r t u r e d o e s n o t g u a r a n t e e its i n e l u c t a b l e state. B u r t i n h e r i t e d p o o r vision. N o d o c tor e v e r r e b u i l t his e y e s t o a n e n g i n e e r ' s p a r a d i g m o f n o r m a l d e s i g n , b u t B u r t w o r e eyeglasses a n d t h e o n l y c l o u d i n g o f his vision was c o n c e p t u a l . The Backward Child also a b o u n d s in t a n g e n t i a l s t a t e m e n t s that r e c o r d B u r t ' s h e r e d i t a r i a n biases. H e w r i t e s a b o u t a n e n v i r o n m e n tal h a n d i c a p — r e c u r r e n t c a t a r r h a m o n g t h e p o o r — a n d discusses h e r e d i t a r y susceptibility (quite plausible) w i t h a n a r r e s t i n g q u i p f o r graphic emphasis: . . . exceptionally prevalent in those whose faces are marked by developmental defects—by the round receding forehead, the protruding muzzle, the short and upturned nose, the thickened lips, which combine to give to the slum child's profile a negroid or almost simian outline. . . . "Apes that are hardly anthropoid" was the c o m m e n t of o n e headmaster, who liked to sum up his cases in a phrase (1937, p. 186). H e w o n d e r s a b o u t t h e intellectual a c h i e v e m e n t o f J e w s a n d attrib u t e s it, i n p a r t , t o i n h e r i t e d m y o p i a that k e e p s t h e m o f f t h e playing fields and adapts them for poring over account books. Before the invention of spectacles, the Jew whose living d e p e n d e d u p o n his ability to keep accounts and read them, would have been incapacitated by the age of 50, had he possessed the usual tendency to hypermetropia: on the other hand (as I can personally testify) the m y o p e . . . can dispense with glasses for near work without much loss of efficiency (1937, p. 219). BURT'S BLINDNESS
T h e b l i n d i n g p o w e r o f B u r t ' s h e r e d i t a r i a n biases c a n best b e a p p r e c i a t e d b y s t u d y i n g his a p p r o a c h t o subjects o t h e r t h a n intell i g e n c e . F o r h e r e h e consistently s h o w e d a c o m m e n d a b l e c a u t i o n . H e r e c o g n i z e d t h e c o m p l e x i t y o f c a u s a t i o n a n d t h e subtle i n f l u e n c e that e n v i r o n m e n t c a n e x e r t . H e r a i l e d a g a i n s t simplistic a s s u m p tions a n d w i t h h e l d j u d g m e n t p e n d i n g f u r t h e r e v i d e n c e . Y e t a s s o o n a s B u r t r e t u r n e d t o his f a v o r i t e subject o f i n t e l l i g e n c e , the blinders descended and the hereditarian catechism came forward again. B u r t w r o t e w i t h p o w e r a n d sensitivity a b o u t t h e d e b i l i t a t i n g effects o f p o o r e n v i r o n m e n t s . H e n o t e d that 2 3 p e r c e n t o f the cockney y o u t h he interviewed had n e v e r seen a field or a patch of
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g r a s s , n o t " e v e n in a C o u n c i l p a r k , " 64 p e r c e n t h a d n e v e r s e e n a train, a n d 9 8 p e r c e n t h a d n e v e r seen t h e sea. T h e f o l l o w i n g pass a g e displays a m e a s u r e o f paternalistic c o n d e s c e n s i o n a n d stereot y p i n g , b u t it also p r e s e n t s a p o w e r f u l i m a g e of p o v e r t y in w o r k i n g class h o m e s , a n d its intellectual e f f e c t u p o n c h i l d r e n ( 1 9 3 7 , p . 1 2 7 ) . His mother and father know astonishingly little of any life except their own, and have neither the time nor the leisure, neither the ability nor the disposition, to impart what little they know. T h e mother's conversation may be chiefly limited to the topics of cleaning, cooking, and scolding. T h e father, w h e n not at work, may spend most of his time "round the corner" refreshing a worn-out body, or sitting by the fire with cap on and coat off, sucking his pipe in gloomy silence. T h e vocabulary that the child absorbs is restricted to a few h u n d r e d words, most of them inaccurate, u n c o u t h , or mispronounced, and the rest unfit for reproduction in the schoolroom. In the h o m e itself there is no literature that deserves the title; and the child's whole universe is closed in and circumscribed by walls of brick and a pall of smoke. From o n e end of the year to the other, he may go no farther than the nearest shops or the neighborhood recreation ground. T h e country or the seaside are mere words to him, dimly suggesting s o m e place to which cripples are sent after an accident, visualized perhaps in terms of s o m e photographic "souvenir from Southend" or s o m e pictorial "memento from Margate," all framed in shells, brought back by his parents on a bank-holiday trip a few weeks after their wedding. B u r t a p p e n d e d this c o m m e n t f r o m a " b u r l y b u s c o n d u c t o r " t o his d e s c r i p t i o n : " B o o k l e a r n i n g isn't f o r kids that'll h a v e t o e a r n their b r e a d . It's only f o r t h e m a s likes t o g i v e t h e m s e l v e s t h e hairs o f t h e 'ighbrow." B u r t c o u l d a p p l y w h a t h e u n d e r s t o o d s o well t o subjects o t h e r t h a n i n t e l l i g e n c e . C o n s i d e r his v i e w s o n j u v e n i l e d e l i n q u e n c y a n d left-handedness. B u r t wrote extensively on the cause of delinquency and attributed it to c o m p l e x interactions between children a n d t h e i r e n v i r o n m e n t : " T h e p r o b l e m n e v e r lies i n t h e ' p r o b l e m c h i l d ' a l o n e : it lies always in t h e relations b e t w e e n that c h i l d a n d his e n v i r o n m e n t " ( 1 9 4 0 , p . 243). I f p o o r b e h a v i o r a l p e r f o r m a n c e m e r its s u c h a n a s s e s s m e n t , w h y n o t say t h e s a m e a b o u t p o o r intellectual p e r f o r m a n c e ? O n e m i g h t s u s p e c t that B u r t r e l i e d a g a i n u p o n test s c o r e s , a r g u i n g that d e l i n q u e n t s tested well a n d c o u l d n o t b e misb e h a v i n g as a result of i n n a t e stupidity. B u t , in fact, d e l i n q u e n t s o f t e n tested a s b a d l y a s p o o r c h i l d r e n r e g a r d e d b y B u r t a s i n n a t e l y d e f i c i e n t i n i n t e l l i g e n c e . Y e t B u r t r e c o g n i z e d that I Q scores o f
T
H E REAL ERROR OF CYRIL B U R T
3'3
d e l i n q u e n t s m a y n o t reflect i n h e r i t e d ability b e c a u s e they r e b e l against t a k i n g t h e tests: For what to t h e m must seem nothing but a resuscitated school examination, delinquents, as a rule, feel little inclination and much distaste. From the outset they assume they are m o r e likely to fail than succeed, ore likely to be reproached than c o m m e n d e d . . . . Unless, indeed, to cirmvent their suspicion and secure their good-will special manoeuvers be tactfully tried, their apparent prowess with all such tests will fall much below their veritable powers. . . . In the causation of juvenile delinquency . . . the share contributed by mental defect has unquestionably been magnified by those w h o , trusting so exclusively to the Binet-Simon scale, have gnored the factors which depreciate its results (1921, p p . 189-190). ut w h y n o t say that p o v e r t y o f t e n entails a similar d i s i n c l i n a t i o n n d sense o f d e f e a t ? B u r t ( 1 9 3 7 , p . 270) r e g a r d e d l e f t - h a n d e d n e s s a s t h e " m o t o r disbility . . . w h i c b i n t e r f e r e s m o s t w i d e l y w i t h t h e o r d i n a r y tasks of the c l a s s r o o m . " A s c h i e f p s y c h o l o g i s t o f t h e L o n d o n s c h o o l s , h e t h e r e f o r e d e v o t e d m u c h s t u d y t o its c a u s e . U n b u r d e n e d b y a p r i o r i conviction in this case, he d e v i s e d a n d a t t e m p t e d to test a w i d e range of potential environmental influences. He studied medieval a n d R e n a i s s a n c e p a i n t i n g s t o d e t e r m i n e i f M a r y usually c a r r i e d t h e infant J e s u s o n h e r r i g h t h i p . I f s o , babies w o u l d w r a p t h e i r left arms about their mother's neck, leaving their right h a n d free for m o r e d e x t r o u s (literally r i g h t - h a n d e d ) m o t i o n . H e w o n d e r e d i f greater frequency of right-handedness m i g h t record the asymmetry o f i n t e r n a l o r g a n s a n d t h e n e e d f o r p r o t e c t i o n i m p o s e d b y o u r habits. I f h e a r t a n d s t o m a c h lie t o t h e left o f t h e m i d l i n e , t h e n a w a r r i o r o r w o r k e r w o u l d n a t u r a l l y t u r n his left side a w a y f r o m potential d a n g e r , " t r u s t t o t h e m o r e solid s u p p o r t o f t h e r i g h t side o f t h e t r u n k , a n d s o use his r i g h t h a n d a n d a r m f o r w i e l d i n g h e a v y i n s t r u m e n t s a n d w e a p o n s " ( 1 9 3 7 , p . 270). I n t h e e n d , B u r t o p t e d f o r c a u t i o n a n d c o n c l u d e d that h e c o u l d n o t tell: should in the last resort c o n t e n d that probably all forms of lefthandedness are only indirectly hereditary: postnatal influence seems always to enter in. . . . I must accordingly repeat that, h e r e as elsewhere in psychology, our present knowledge is far too meager to allow us to declare with any assurance what is inborn and what is not (1937, p p . 303-304). Substitute " i n t e l l i g e n c e " f o r " l e f t - h a n d e d n e s s " a n d t h e s t a t e m e n t i s a model of judicious inference. In fart, left-handedness is m o r e
THE
MISMEASURE
OF
MAN
clearly a n entity t h a n i n t e l l i g e n c e , a n d p r o b a b l y m o r e subject t o d e f i n i t e a n d specifiable h e r e d i t a r y i n f l u e n c e . Y e t h e r e , w h e r e his case f o r i n n a t e n e s s was b e t t e r , B u r t tested all t h e e n v i r o n m e n t a l influences—some rather farfetched—that he could devise, and f i n a l l y d e c l a r e d t h e subject t o o c o m p l e x f o r r e s o l u t i o n . BURT'S P O L I T I C A L USE OF INNATENESS
B u r t e x t e n d e d his b e l i e f i n t h e i n n a t e n e s s o f i n d i v i d u a l intellig e n c e to only o n e aspect of average differences between groups. H e d i d n o t feel ( 1 9 1 2 ) that races v a r i e d m u c h i n i n h e r i t e d intellig e n c e , a n d h e a r g u e d ( 1 9 2 1 , p . 197) that t h e d i f f e r e n t b e h a v i o r s o f b o y s a n d girls c a n b e t r a c e d largely t o p a r e n t a l t r e a t m e n t . B u t diff e r e n c e s i n social class, t h e wit o f t h e successful a n d d u l l n e s s o f t h e p o o r , a r e reflections o f i n h e r i t e d ability. I f r a c e i s A m e r i c a ' s prim a r y social p r o b l e m , t h e n class has b e e n Britain's c o r r e s p o n d i n g concern. I n his w a t e r s h e d * p a p e r ( 1 9 4 3 ) o n "ability a n d i n c o m e , " B u r t c o n c l u d e s that " t h e w i d e i n e q u a l i t y i n p e r s o n a l i n c o m e i s l a r g e l y , t h o u g h not entirely, an indirect effect of the wide inequality in i n n a t e i n t e l l i g e n c e . " T h e d a t a " d o n o t s u p p o r t t h e v i e w (still h e l d b y m a n y e d u c a t i o n a l a n d social r e f o r m e r s ) that t h e a p p a r e n t inequality in i n t e l l i g e n c e of c h i l d r e n a n d a d u l t s is in t h e m a i n an indirect c o n s e q u e n c e o f i n e q u a l i t y i n e c o n o m i c c o n d i t i o n s " ( 1 9 4 3 , p . 141). B u r t o f t e n d e n i e d that h e w i s h e d t o limit o p p o r t u n i t i e s f o r a c h i e v e m e n t b y r e g a r d i n g tests a s m e a s u r e s o f i n n a t e i n t e l l i g e n c e . H e a r g u e d , o n t h e c o n t r a r y , that tests c o u l d identify t h o s e few i n d i v i d u a l s i n t h e l o w e r classes w h o s e h i g h i n n a t e i n t e l l i g e n c e would not otherwise be recognized u n d e r a veneer of environmental d i s a d v a n t a g e . F o r " a m o n g n a t i o n s , success i n the s t r u g g l e f o r survival i s b o u n d t o d e p e n d m o r e a n d m o r e o n the a c h i e v e m e n t s o f a small h a n d f u l o f i n d i v i d u a l s w h o a r e e n d o w e d b y n a t u r e with o u t s t a n d i n g gifts o f ability a n d c h a r a c t e r " ( 1 9 5 9 , p . 3 1 ) . T h e s e people m u s t b e i d e n t i f i e d a n d n u r t u r e d t o c o m p e n s a t e f o r " t h e c o m p a r a t i v e i n e p t i t u d e o f t h e g e n e r a l p u b l i c " ( 1 9 5 9 , p . 3 1 ) . T h e y must b e e n c o u r a g e d a n d r e w a r d e d , f o r t h e rise a n d fall o f a n a t i o n d o e s not d e p e n d u p o n genes peculiar to an entire race, but u p o n •Hearnshaw data.
(1979)
suspects that this paper marks Burt's first use of fraudulent
T H E REAL ERROR OF CYRIL B U R T " c h a n g e s i n t h e relative fertility o f its l e a d i n g m e m b e r s o r its l e a d i n g classes" ( 1 9 6 2 , p . 4 9 ) . T e s t s m a y h a v e b e e n the v e h i c l e b y w h i c h a f e w c h i l d r e n e s c a p e d f r o m t h e strictures o f a fairly inflexible class s t r u c t u r e . B u t w h a t was t h e i r e f f e c t o n the vast m a j o r i t y o f lower-class c h i l d r e n w h o m Burt unfairly branded as unable, by inheritance, ever to develop much intelligence—and therefore undeserving, by reason, o f h i g h e r social s t a n d i n g ? Any recent attempt to base our educational policy for the future on the assumption that there are no real differences, or at any rate no important differences, between the average intelligence of the different social classes, is not only b o u n d to fail; it is likely to be fraught with disastrous consequences for the welfare of the nation as a whole, and at the same time to result in needless disappointments for the pupils concerned. T h e facts of genetic inequality, whether or not they conform to our personal wishes and ideals, are something that we cannot escape (1959, p. 28). . . . A definite limit to what children can achieve is inexorably set by the limitations of their innate capacity (1969). Burt's
extension
of Spearman's
theory
C y r i l B u r t m a y be k n o w n best to t h e p u b l i c as a h e r e d i t a r i a n in the field of m e n t a l t e s t i n g , b u t his r e p u t a t i o n as a t h e o r e t i c a l psychologist r e s t e d p r i m a r i l y u p o n his w o r k i n f a c t o r analysis. H e d i d not i n v e n t t h e t e c h n i q u e , a s h e later c l a i m e d ; b u t h e was S p e a r man's successor, b o t h literally a n d f i g u r a t i v e l y , a n d h e b e c a m e the l e a d i n g British factorist o f his g e n e r a t i o n . B u r t ' s g e n u i n e a c h i e v e m e n t s i n f a c t o r analysis w e r e substantial. His c o m p l e x a n d d e n s e l y r e a s o n e d b o o k o n t h e subject (1940) was the c r o w n i n g a c h i e v e m e n t o f S p e a r m a n ' s s c h o o l . B u r t w r o t e that i t "may p r o v e to be a m o r e lasting c o n t r i b u t i o n to p s y c h o l o g y t h a n a n y t h i n g else I h a v e y e t w r i t t e n " (letter to his sister q u o t e d in H e a r n s h a w , 1 9 7 9 , p . 154). B u r t also p i o n e e r e d ( t h o u g h h e d i d n o t invent) t w o i m p o r t a n t e x t e n s i o n s o f S p e a r m a n ' s a p p r o a c h — a n inverted t e c h n i q u e (discussed o n p p . 3 2 2 - 3 2 3 ) that B u r t called correlation b e t w e e n p e r s o n s " ( n o w k n o w n t o a f i c i o n a d o s a s " Q m o d e factor analysis"), a n d a n e x p a n s i o n o f S p e a r m a n ' s t w o - f a c t o r theory to a d d " g r o u p f a c t o r s " at a level b e t w e e n g a n d 5. B u r t t o e d S p e a r m a n ' s line i n his f i r s t p a p e r o f 1909. S p e a r m a n had insisted that e a c h test r e c o r d e d o n l y t w o p r o p e r t i e s o f m i n d —
3
i 6
THE MISMEASURK O F M A N
a g e n e r a l factor c o m m o n to all tests a n d a specific f a c t o r p e c u l i a r t o that test a l o n e . H e d e n i e d that clusters o f tests s h o w e d any significant t e n d e n c y t o f o r m " g r o u p f a c t o r s " b e t w e e n his t w o l e v e l s — that is, h e f o u n d n o e v i d e n c e for t h e " f a c u l t i e s " o f a n o l d e r psyc h o l o g y , n o clusters r e p r e s e n t i n g v e r b a l , spatial, o r a r i t h m e t i c ability, f o r e x a m p l e . In his 1909 p a p e r , B u r t d i d n o t e a " d i s c e r n i b l e , b u t s m a l l " t e n d e n c y f o r g r o u p i n g i n allied tests. B u t h e p r o c l a i m e d i t w e a k e n o u g h t o i g n o r e ("vanishingly m i n u t e " i n his w o r d s ) , a n d a r g u e d that his results " c o n f i r m a n d e x t e n d " S p e a r m a n ' s t h e o r y . B u t B u r t , u n l i k e S p e a r m a n , was a p r a c t i t i o n e r o f testing (responsible f o r all o f L o n d o n ' s schools). F u r t h e r studies i n factor analysis c o n t i n u e d t o d i s t i n g u i s h g r o u p f a c t o r s , t h o u g h they w e r e always s u b s i d i a r y tog. As a practical m a t t e r f o r g u i d a n c e of p u p i l s , B u r t r e a l i z e d that h e c o u l d not i g n o r e the g r o u p factors. W i t h a p u r e l y S p e a r m a n i a n a p p r o a c h , w h a t c o u l d a p u p i l b e told e x c e p t that h e was g e n e r a l l y s m a r t o r d u m b ? Pupils h a d t o b e g u i d e d toward professions by identifying strengths and weaknesses in m o r e specific a r e a s . B y t h e time B u r t d i d his m a j o r w o r k i n f a c t o r analysis, S p e a r man's c u m b e r s o m e m e t h o d of tetrad differences had been replaced by the principal components approach outlined on pp. 2 7 5 — 2 8 0 . B u r t i d e n t i f i e d g r o u p factors b y s t u d y i n g t h e p r o j e c t i o n o f i n d i v i d u a l tests u p o n t h e s e c o n d a n d s u b s e q u e n t p r i n c i p a l c o m p o n e n t s . C o n s i d e r Fig. 6.6: In a m a t r i x of positive c o r r e l a t i o n coefficients, v e c t o r s r e p r e s e n t i n g i n d i v i d u a l tests a r e all c l u s t e r e d t o g e t h e r . T h e f i r s t p r i n c i p a l c o m p o n e n t , S p e a r m a n ' s g runs t h r o u g h the m i d d l e o f t h e c l u s t e r a n d resolves m o r e i n f o r m a t i o n t h a n a n y o t h e r axis c o u l d . B u r t r e c o g n i z e d that n o consistent patt e r n s w o u l d b e f o u n d o n s u b s e q u e n t a x e s i f S p e a r m a n ' s two-factor t h e o r y h e l d — f o r the v e c t o r s w o u l d n o t f o r m s u b c l u s t e r s i f their only c o m m o n variance had already been accounted for by g. But if t h e v e c t o r s f o r m s u b c l u s t e r s r e p r e s e n t i n g m o r e specialized abilities, t h e n t h e first p r i n c i p a l c o m p o n e n t m u s t r u n between the subclusters if it is to be t h e best a v e r a g e fit to all v e c t o r s . Since the s e c o n d p r i n c i p a l c o m p o n e n t is p e r p e n d i c u l a r to t h e first, s o m e s u b c l u s t e r s m u s t p r o j e c t positively u p o n it a n d o t h e r s n e g a t i v e l y (as Fig. 6.6 s h o w s with its n e g a t i v e p r o j e c t i o n s f o r v e r b a l tests a n d positive p r o j e c t i o n s f o r a r i t h m e t i c tests). B u r t called t h e s e a x e s bipolar factors, b e c a u s e t h e y i n c l u d e d clusters o f positive a n d n e g a t i v e pro-
THE REAL ERROR OF CYRIL B U R T j e c t i o n s . He i d e n t i f i e d as group factors t h e clusters of positive a n d negative projections themselves. Burt's identification of g r o u p factors m a y seem, superficially, to c h a l l e n g e S p e a r m a n ' s t h e o r y , b u t i n fact i t p r o v i d e d a n e x t e n s i o n and i m p r o v e m e n t that S p e a r m a n eventually welcomed. T h e essence o f S p e a r m a n ' s c l a i m i s t h e p r i m a c y o f g , a n d t h e s u b o r d i nation o f all o t h e r d e t e r m i n a n t s o f i n t e l l i g e n c e t o it. B u r t ' s i d e n t i fication o f g r o u p factors p r e s e r v e d this n o t i o n o f h i e r a r c h y , a n d e x t e n d e d i t b y a d d i n g a n o t h e r level b e t w e e n g a n d 5 . I n fact, B u r t ' s t r e a t m e n t of g r o u p f a c t o r s as a level in a h i e r a r c h y s u b o r d i n a t e to g s a v e d S p e a r m a n ' s t h e o r y f r o m t h e d a t a that s e e m e d t o t h r e a t e n it. S p e a r m a n o r i g i n a l l y d e n i e d g r o u p f a c t o r s , b u t e v i d e n c e f o r t h e m c o n t i n u e d t o a c c u m u l a t e . M a n y factorists b e g a n t o v i e w this e v i d e n c e as a d e n i g r a t i o n o f g a n d as a w e d g e f o r t o p p l i n g S p e a r man's e n t i r e edifice. B u r t s t r e n g t h e n e d t h e b u i l d i n g , p r e s e r v e d t h e preeminent role of g, and extended Spearman's theory by enum e r a t i n g f u r t h e r levels s u b o r d i n a t e t o g . T h e f a c t o r s , B u r t w r o t e ( 1 9 4 9 , p . 199), a r e " o r g a n i z e d o n w h a t m a y b e c a l l e d a h i e r a r c h i c a l basis. . . . T h e r e is first a c o m p r e h e n s i v e g e n e r a l f a c t o r , c o v e r i n g all c o g n i t i v e activities; n e x t a c o m p a r a t i v e l y small n u m b e r of b r o a d g r o u p f a c t o r s , c o v e r i n g d i f f e r e n t abilities classified a c c o r d i n g t o their f o r m or c o n t e n t . . . . T h e w h o l e series a p p e a r s to be a r r a n g e d o n successive levels, t h e f a c t o r s o n t h e l o w e s t level b e i n g t h e m o s t specific a n d t h e m o s t n u m e r o u s o f all." S p e a r m a n had advocated a two-factor theory; Burt proclaimed a f o u r - f a c t o r t h e o r y : t h e general f a c t o r or S p e a i m a n ' s g, t h e particular or group f a c t o r s that he h a d i d e n t i f i e d , t h e specific factors or S p e a r m a n ' s s (attributes of a single trait m e a s u r e d on all o c c a s i o n s ) , and w h a t B u r t c a l l e d accidental f a c t o r s , or a t t r i b u t e s of a single trait m e a s u r e d o n l y o n a s i n g l e o c c a s i o n . * B u r t h a d s y n t h e s i z e d all p e r spectives. I n S p e a r m a n ' s t e r m s , his t h e o r y w a s m o n a r c h i c i n reco g n i z i n g t h e d o m i n a t i o n of g, o l i g a r c h i c in its identification of g r o u p f a c t o r s , a n d a n a r c h i c in r e c o g n i z i n g s-factors f o r e a c h test. But B u r t ' s s c h e m e was n o c o m p r o m i s e ; i t was S p e a r m a n ' s h i e r a r chical t h e o r y with y e t a n o t h e r level s u b o r d i n a t e to g. *This accidental variance, representing peculiarities of particular testing situations, torms part of what statisticians call "measurement error." It is important to quantify, for it may form a basic level of comparison for the identification of causes in a 'amily of techniques called the "analysis of variance." But it represents the peculiarity of an occasion, not a quality either of a test or a testee.
3*8
T H E
M I S M E A S U R E
O F
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Moreover, B u r t accepted and greatly elaborated Spearman's views o n t h e d i f f e r e n t i a l i n n a t e n e s s o f levels. S p e a r m a n h a d r e g a r d e d g as i n h e r i t e d , 5 as a f u n c t i o n of t r a i n i n g . B u r t a g r e e d , b u t p r o m o t e d t h e i n f l u e n c e o f e d u c a t i o n t o his g r o u p f a c t o r s a s well. H e r e t a i n e d t h e distinction b e t w e e n a n i n h e r i t e d a n d inelucta b l e g, a n d a set of m o r e specialized abilities a m e n a b l e to i m p r o v e ment by education: Although defect in general intelligence inevitably places a definite limit to educational progress, defect in special intellectual abilities rarely does so (1937, p. 537). B u r t also d e c l a r e d , w i t h his u s u a l intensity a n d p e r s i s t e n c e , that t h e p r i m a r y i m p o r t a n c e o f f a c t o r analysis lay i n its c a p a c i t y f o r i d e n t i f y i n g i n h e r i t e d , p e r m a n e n t qualities: From the very outset of my educational work it has seemed essential, not merely to show that a general factor underlies the cognitive g r o u p of mental activities, but also that this general factor (or s o m e important component of it) is innate or permanent (1940, p. 57). T h e search for factors thus becomes, to a great extent, an attempt to discover inborn potentialities, such as will permanently aid or limit the individual's behavior later on (1940, p. 230). Burt on the reification of factors B u r t ' s v i e w o n reification, a s H e a r n s h a w h a s n o t e d w i t h f r u s t r a t i o n ( 1 9 7 9 , p . 1 6 6 ) , a r e i n c o n s i s t e n t a n d e v e n c o n t r a d i c t o r y (sometimes w i t h i n t h e s a m e p u b l i c a t i o n ) . * O f t e n , B u r t b r a n d e d reification of f a c t o r s as a t e m p t a t i o n to be a v o i d e d : No doubt, this causal language, which we all to s o m e extent favor, arises partly from the irrepressible disposition of the h u m a n m i n d to reify and even to personify whatever it can—to picture inferred reasons as realities and to e n d o w those realities with an active force (1940, p. 66). * Other scholars often complained of Burt's tendency to obfuscate, temporize, and argue both sides as his own when treating difficult and controversial issues. D. F. Vincent wrote of his correspondence with Burt about the history of factor analysis (in Hearnshaw, 1979, pp. 177-178): "I should not get a simple answer to a simple question. I should get half a dozen foolscap sheets of typescript, all very polite and very cordial, raising half a dozen subsidiary issues in which I was not particularly interested, and to which out of politeness I should have to reply . . . I should then get more foolscap pages of typescript raising more extraneous issues. . . . After the first letter my problem has been how to terminate the correspondence without being discourteous."
THE REAL ERROR OF CYRIL B U R T H e s p o k e w i t h e l o q u e n c e a b o u t this e r r o r o f t h o u g h t : T h e ordinary m i n d loves to reduce patterns to single atomlike existents—to treat m e m o r y as an elementary faculty l o d g e d in a phrenological organ, to squeeze all consciousness into the pineal gland, to call a dozen different complaints rheumatic and regard t h e m all as the effect of a specific g e r m , to declare that strength resides in the hair or in the blood, to treat beauty as an elementary quality that can be laid on like so much varnish. But the whole trend of current science is to seek its unifying principles, not in simple unitary causes, but in the system or structural pattern as such (1940, p. 237). A n d h e e x p l i c i t l y d e n i e d that factors w e r e t h i n g s i n t h e h e a d ( 1 9 3 7 , p- 4 5 9 ) : T h e "factors," in short, are to be regarded as convenient mathematical abstractions, not as concrete mental "faculties," l o d g e d in separate "organs" of the brain. W h a t c o u l d b e m o r e clearly stated? Y e t i n a b i o g r a p h i c a l c o m m e n t , B u r t ( 1 9 6 1 , p . 53) c e n t e r e d his a r g u m e n t with S p e a r m a n n o t o n t h e issue o f w h e t h e r o r n o t f a c t o r s s h o u l d b e r e i f i e d , b u t r a t h e r how t h e y s h o u l d b e r e i f i e d : " S p e a r m a n h i m s e l f i d e n t i f i e d t h e g e n e r a l f a c t o r with ' c e r e b r a l e n e r g y . ' I i d e n t i f i e d i t with t h e g e n e r a l s t r u c t u r e o f t h e b r a i n . " I n t h e s a m e article, h e p r o v i d e d m o r e details o f s u s p e c t e d p h y s i c a l locations f o r entities identified b y m a t h e m a t i c a l f a c t o r s . G r o u p f a c t o r s , h e a r g u e s , a r e definite a r e a s o f t h e c e r e b r a l c o r t e x ( 1 9 6 1 , p . 5 7 ) , w h i l e t h e g e n e r a l f a c t o r r e p r e s e n t s t h e a m o u n t a n d c o m p l e x i t y o f cortical tissue: " I t is this g e n e r a l c h a r a c t e r of t h e i n d i v i d u a l ' s b r a i n - t i s s u e — v i z . , t h e g e n e r a l d e g r e e o f systematic c o m p l e x i t y i n t h e n e u r o n a l a r c h i t e c ture—that seems to me to represent the general factor, a n d a c c o u n t f o r t h e h i g h positive c o r r e l a t i o n s o b t a i n e d b e t w e e n v a r i o u s c o g n i t i v e tests" ( 1 9 6 1 , p p . 5 7 - 5 8 ; see also 1 9 5 9 , p . 106).* *One might resolve this apparent contradiction by arguing that Burt refused to reify on the basis of mathematical evidence alone (in 1 9 4 0 ) , but did so later when independent neurological information confirmed the existence of structures in the brain that could be identified with factors. It is true that Burt advanced some neurological arguments ( 1 9 6 1 , p. 57, for example) in comparing the brains of normal individuals and "low grade defectives." But these arguments are sporadic, perfunctory, and peripheral. Burt repeated them virtually verbatim, in publication after publication, without citing sources or providing any specific reason for allying mathematical factors with cortical properties.
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L e s t o n e be t e m p t e d to r e g a r d t h e s e later s t a t e m e n t s as a shift i n b e l i e f f r o m t h e c a u t i o n o f a s c h o l a r i n 1940 t o t h e p o o r j u d g m e n t o f a m a n m i r e d i n t h e f r a u d s o f his later y e a r s , I n o t e that B u r t p r e s e n t e d t h e s a m e a r g u m e n t s f o r reification i n 1940, r i g h t a l o n g side t h e w a r n i n g s a g a i n s t it: N o w , although I do not identify the general factor g with any form of energy, I should be ready to grant it quite as much "real existence" as physical energy can justifiably claim (1940, p. 214). Intelligence I regard not i n d e e d as designating a special form of energy, but rather as specifying certain individual differences in the structure of the central nervous system—differences whose concrete nature could be described in histological terms (1940, p p . 2 1 6 - 2 1 7 ) . B u r t e v e n w e n t s o far a s t o s u g g e s t that t h e a l l - o r - n o n e c h a r a c t e r o f n e u r a l d i s c h a r g e " s u p p o r t s the d e m a n d f o r a n u l t i m a t e analysis i n t o i n d e p e n d e n t o r ' o r t h o g o n a l ' f a c t o r s " ( 1 9 4 0 , p . 222). B u t p e r h a p s t h e best i n d i c a t i o n o f B u r t ' s h o p e f o r reification lies i n t h e v e r y title h e c h o s e f o r his m a j o r b o o k o f 1 9 4 0 . H e called it The Factors of the Mind. B u r t f o l l o w e d S p e a r m a n in t r y i n g to find a p h y s i c a l l o c a t i o n in the brain for mathematical factors extracted f r o m the correlation m a t r i x o f m e n t a l tests. B u t B u r t also w e n t f u r t h e r , a n d established h i m s e l f as a reifier in a d o m a i n that S p e a r m a n h i m s e l f w o u l d n e v e r h a v e d a r e d t o e n t e r . B u r t c o u l d n o t b e satisfied with s o m e t h i n g s o v u l g a r a n d m a t e r i a l a s a bit o f n e u r a l tissue f o r t h e r e s i d e n c e o f f a c t o r s . H e h a d a w i d e r v i s i o n that e v o k e d t h e spirit o f P l a t o h i m self. M a t e r i a l objects o n e a r t h a r e i m m e d i a t e a n d i m p e r f e c t r e p r e sentations o f h i g h e r essences i n a n i d e a l w o r l d b e y o n d o u r k e n . B u r t s u b j e c t e d m a n y k i n d s o f d a t a t o f a c t o r analysis d u r i n g his l o n g c a r e e r . H i s i n t e r p r e t a t i o n s o f factors d i s p l a y a P l a t o n i c belief in a h i g h e r reality, e m b o d i e d i m p e r f e c t l y by m a t e r i a l objects, b u t d i s c e r n i b l e i n t h e m t h r o u g h a n i d e a l i z a t i o n o f t h e i r essential, u n d e r l y i n g p r o p e r t i e s o n p r i n c i p a l c o m p o n e n t f a c t o r s . H e anal y z e d a suite o f e m o t i o n a l traits ( 1 9 4 0 , p p . 4 0 6 - 4 0 8 ) a n d identified his first p r i n c i p a l c o m p o n e n t as a f a c t o r of " g e n e r a l e m o t i o n a l i t y . " ( H e also f o u n d t w o b i p o l a r factors f o r e x t r o v e r t - i n t r o v e r t a n d e u p h o r i c - s o r r o w f u l . ) H e d i s c o v e r e d " a g e n e r a l p a r a n o r m a l factor' i n a s t u d y o f E S P d a t a (in H e a r n s h a w , 1 9 7 9 , p . 222). H e a n a l y z e d h u m a n anatomy and interpreted the first principal component as a n ideal t y p e f o r h u m a n i t y ( 1 9 4 0 , p . 1 1 3 ) .
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O n e n e e d n ' t , f r o m t h e s e e x a m p l e s , i n f e r B u r t ' s b e l i e f i n a lite r a l , h i g h e r reality: p e r h a p s h e t h o u g h t o f t h e s e i d e a l i z e d g e n e r a l factors a s m e r e p r i n c i p l e s o f classification t o aid h u m a n u n d e r s t a n d i n g . B u t , i n a f a c t o r analysis o f a e s t h e t i c j u d g m e n t , B u r t explicitly e x p r e s s e d his c o n v i c t i o n that r e a l s t a n d a r d s o f b e a u t y exist, i n d e p e n d e n t o f t h e p r e s e n c e o f h u m a n b e i n g s t o a p p r e c i a t e t h e m . B u r t s e l e c t e d f i f t y p o s t c a r d s w i t h illustrations r a n g i n g f r o m the g r e a t m a s t e r s d o w n t o " t h e c r u d e s t a n d m o s t flashy b i r t h d a y c a r d that I c o u l d find at a p a p e r s h o p in t h e s l u m s . " He a s k e d a g r o u p o f subjects t o r a n k t h e c a r d s i n o r d e r o f b e a u t y a n d p e r f o r m e d a f a c t o r analysis o f c o r r e l a t i o n s a m o n g t h e r a n k s . A g a i n , he discerned an underlying general factor on the first principal c o m p o n e n t , declared it to be a universal standard of beauty, a n d expressed a personal c o n t e m p t for Victorian ceremonial statuary in i d e n t i f y i n g this h i g h e r reality: We see beauty because it is there to be seen. . . . I am tempted to contend that aesthetic relations, like logical relations, have an i n d e p e n d e n t , objective existence: the V e n u s of Milo would remain m o r e lovely than Q u e e n Victoria's statue in the Mall, the Taj Mahal than the Albert M e m orial, though every man and woman in the world were killed by a passing comet's gas. In analyses of intelligence, B u r t often claimed (1939, 1940, 1 9 4 9 , f o r e x a m p l e ) that e a c h level o f his h i e r a r c h i c a l , f o u r - f a c t o r t h e o r y c o r r e s p o n d e d with a r e c o g n i z e d c a t e g o r y i n " t h e t r a d i t i o n a l logic o f classes" ( 1 9 3 9 , p . 8 5 ) — t h e g e n e r a l f a c t o r t o t h e genus, g r o u p f a c t o r s to species, specific f a c t o r s to t h e proprium, a n d accidental factors t o t h e accidens. H e s e e m e d t o r e g a r d t h e s e c a t e g o r i e s as more than conveniences for h u m a n ordering of the world's complexity, b u t a s n e c e s s a r y w a y s o f p a r s i n g a h i e r a r c h i c a l l y s t r u c t u r e d reality. B u r t certainly believed in realms of existence b e y o n d the mater i a l reality o f e v e r y d a y objects. H e a c c e p t e d m u c h o f t h e d a t a o f parapsychology and postulated an oversoul or p s y c h o n — " a kind of group mind f o r m e d by the subconscious telepathic interaction of the m i n d s o f c e r t a i n p e r s o n s n o w l i v i n g , t o g e t h e r p e r h a p s w i t h t h e psychic r e s e r v o i r o u t o f w h i c h t h e m i n d s o f i n d i v i d u a l s n o w deceased w e r e f o r m e d , and into which they were reabsorbed on the d e a t h o f t h e i r b o d i e s " ( B u r t q u o t e d i n H e a r n s h a w , 1 9 7 9 , p . 225). I n this h i g h e r r e a l m o f p s y c h i c reality, t h e " f a c t o r s o f t h e
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m i n d " may have real existence as m o d e s of truly universal thought. B u r t m a n a g e d to espouse three contradictory views about the n a t u r e o f f a c t o r s : m a t h e m a t i c a l abstractions f o r h u m a n c o n v e n i e n c e ; r e a l entities l o d g e d i n p h y s i c a l p r o p e r t i e s o f t h e b r a i n ; a n d real categories of t h o u g h t in a h i g h e r , hierarchically organized r e a l m o f p s y c h i c reality. S p e a r m a n h a d n o t b e e n v e r y d a r i n g a s a reifier; h e n e v e r v e n t u r e d b e y o n d t h e A r i s t o t e l i a n u r g e f o r l o c a t i n g idealized abstractions within physical bodies themselves. B u r t , at least i n p a r t , s o a r e d b e y o n d i n t o a P l a t o n i c r e a l m a b o v e a n d b e y o n d p h y s i c a l b o d i e s . I n this s e n s e , B u r t was t h e b o l d e s t , a n d literally m o s t e x t e n s i v e , reifier o f t h e m all. Burt and the political uses
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F a c t o r analysis i s usually p e r f o r m e d o n t h e c o r r e l a t i o n m a t r i x o f tests. B u r t p i o n e e r e d a n " i n v e r t e d " f o r m o f f a c t o r analysis, m a t h e m a t i c a l l y e q u i v a l e n t t o t h e usual style, but b a s e d o n c o r r e l a t i o n b e t w e e n p e r s o n s r a t h e r t h a n tests. I f e a c h v e c t o r i n t h e u s u a l style (technically called R - m o d e analysis) r e p r e s e n t s t h e scores o f s e v e r a l p e o p l e on a s i n g l e test, t h e n e a c h v e c t o r in B u r t ' s i n v e r t e d style (called Q - m o d e analysis) reflects t h e results of s e v e r a l tests f o r a single person. In other w o r d s , each vector now represents a person r a t h e r t h a n a test, a n d t h e c o r r e l a t i o n b e t w e e n v e c t o r s m e a s u r e s the d e g r e e of relationship between individuals. W h y did B u r t go to such lengths to d e v e l o p a technique mathematically e q u i v a l e n t t o t h e usual f o r m , a n d g e n e r a l l y m o r e c u m b e r s o m e a n d e x p e n s i v e t o a p p l y (since a n e x p e r i m e n t a l d e s i g n a l m o s t a l w a y s i n c l u d e s m o r e p e o p l e t h a n tests)? T h e a n s w e r lies i n B u r t ' s u n c o m m o n f o c u s o f interest. S p e a r m a n , a n d m o s t o t h e r factorists, w i s h e d t o l e a r n a b o u t t h e n a t u r e o f t h o u g h t o r t h e s t r u c t u r e o f m i n d b y s t u d y i n g c o r r e l a t i o n s b e t w e e n tests m e a s u r i n g d i f f e r e n t aspects o f m e n t a l f u n c t i o n i n g . C y r i l B u r t , a s official p s y c h o l o g i s t o f t h e L o n d o n C o u n t y C o u n c i l ( 1 9 1 3 - 1 9 3 2 ) , was i n t e r e s t e d i n ranking pupils. Burt wrote in an autobiographical statement ( 1 9 6 1 , p. 56): "[Sir G o d f r e y ] T h o m s o n was i n t e r e s t e d p r i m a r i l y i n the d e s c r i p t i o n o f t h e abilities tested a n d i n t h e d i f f e r e n c e s b e t w e e n t h o s e abilities; I was i n t e r e s t e d r a t h e r in t h e persons tested a n d in t h e d i f f e r e n c e s b e t w e e n t h e m " ( B u r t ' s italics). C o m p a r i s o n , f o r B u r t , was n o abstract issue. H e w i s h e d t o assess p u p i l s i n his o w n c h a r a c t e r i s t i c w a y , b a s e d u p o n t w o g u i d i n g
T H E REAL ERROR OF C Y R I L B U R T p r i n c i p l e s : first (the t h e m e o f this c h a p t e r ) that g e n e r a l i n t e l l i g e n c e is a single, m e a s u r a b l e entity ( S p e a r m a n ' s g); s e c o n d ( B u r t ' s o w n i d e e fixe) that a p e r s o n ' s g e n e r a l i n t e l l i g e n c e is a l m o s t e n t i r e l y innate and unchangeable. T h u s , Burt sought the relationship a m o n g p e r s o n s in a unilinear ranking of inherited mental worth. He u s e d f a c t o r analysis t o v a l i d a t e this single scale a n d t o p l a n t p e o p l e u p o n it. " T h e v e r y object o f t h e factor-analysis," h e w r o t e ( 1 9 4 0 , p . 1 3 6 ) , "is to d e d u c e f r o m an e m p i r i c a l set of test m e a s u r e m e n t s a single f i g u r e f o r e a c h single i n d i v i d u a l . " B u r t s o u g h t ( 1 9 4 0 , p . 1 7 6 ) " o n e ideal o r d e r , a c t i n g as a g e n e r a l factor, c o m m o n to e v e r y examiner and to every examinee, predominating over, though no d o u b t d i s t u r b e d by, o t h e r i r r e l e v a n t i n f l u e n c e s . " B u r t ' s vision of a single r a n k i n g b a s e d on i n h e r i t e d ability f u e l e d t h e m a j o r political t r i u m p h i n B r i t a i n o f h e r e d i t a r i a n t h e o ries o f m e n t a l testing. I f t h e I m m i g r a t i o n Restriction A c t o f 1 9 2 4 signalled the chief victory of A m e r i c a n hereditarians in psycholo g y , t h e n t h e so-called e x a m i n a t i o n at 11 + a w a r d e d t h e i r British c o u n t e r p a r t s a t r i u m p h o f e q u a l i m p a c t . U n d e r this system f o r s t r e a m i n g c h i l d r e n i n t o d i f f e r e n t s e c o n d a r y schools, p u p i l s t o o k a n e x t e n s i v e e x a m i n a t i o n a t a g e ten o r e l e v e n . A s a result o f t h e s e tests, l a r g e l y an a t t e m p t to assess S p e a r m a n ' s g f o r e a c h c h i l d , 20 p e r c e n t w e r e sent t o " g r a m m a r " schools w h e r e t h e y m i g h t p r e p a r e f o r e n t r y to a u n i v e r s i t y , w h i l e 80 p e r c e n t w e r e r e l e g a t e d to technical o r " s e c o n d a r y m o d e r n " schools a n d r e g a r d e d a s u n f i t f o r higher education. C y r i l B u r t d e f e n d e d this s e p a r a t i o n as a wise step f o r " w a r d i n g o f f the u l t i m a t e d e c l i n e a n d fall that has o v e r t a k e n e a c h o f t h e g r e a t civilizations o f t h e p a s t " ( 1 9 5 9 , p . 1 1 7 ) : It is essential in the interests alike of the children themselves and of the nation as a whole, that those who possess the highest ability—the cleverest of the clever—should be identified as accurately as possible. Of the methods hitherto tried out the so-called 11 + exam has proved to be by far the most trustworthy (1959, p. 117). Burt's only c o m p l a i n t ( 1 9 5 9 , p . 32) was that the test a n d s u b s e q u e n t selection c a m e t o o late in a child's life. T h e s y s t e m o f e x a m i n a t i o n a t 11 + a n d s u b s e q u e n t s e p a r a t i o n of schools a r o s e in c o n j u n c t i o n with a series of official r e p o r t s issued b y g o v e r n m e n t c o m m i t t e e s d u r i n g twenty y e a r s (the H a d o w
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r e p o r t s o f 1 9 2 6 a n d 1 9 3 1 , the S p e n s r e p o r t o f 1 9 3 8 , t h e N o r w o o d r e p o r t o f 1 9 4 3 , a n d the B o a r d o f E d u c a t i o n ' s W h i t e P a p e r o n Educational Reconstruction—all leading to the Butler Education A c t o f 1 9 4 4 , w h i c h set policy until t h e m i d - 1 9 6 0 s w h e n t h e L a b o u r p a r t y v o w e d t o e n d s e l e c t i o n a t 1 1 p l u s ) . I n t h e flak s u r r o u n d i n g t h e initial r e v e l a t i o n o f B u r t ' s f r a u d u l e n t w o r k , h e was o f t e n i d e n tified as t h e a r c h i t e c t of t h e 11 + e x a m i n a t i o n . T h i s is n o t a c c u r a t e ; B u r t was n o t e v e n a m e m b e r o f the v a r i o u s r e p o r t i n g c o m m i t t e e s , t h o u g h h e d i d c o n s u l t f r e q u e n t l y with t h e m a n d h e d i d write extensively for their reports.* Y e t it hardly matters w h e t h e r or not B u r t ' s h a n d actually m o v e d t h e p e n . T h e r e p o r t s e m b o d y a particu l a r v i e w o f e d u c a t i o n , clearly i d e n t i f i e d with t h e British s c h o o l o f f a c t o r analysis, a n d e v i d e n t l y l i n k e d m o s t closely with C y r i l B u r t ' s version. T h e 11 + e x a m i n a t i o n was a n e m b o d i m e n t o f S p e a r m e n ' s hiera r c h i c a l t h e o r y o f i n t e l l i g e n c e , with its i n n a t e g e n e r a l f a c t o r p e r v a d i n g all c o g n i t i v e activity. O n e critic r e f e r r e d t o t h e series o f r e p o r t s a s " h y m n s o f p r a i s e t o the 'g' f a c t o r " (in H e a r n s h a w , 1 9 7 9 , p . 1 1 2 ) . T h e f i r s t H a d o w r e p o r t d e f i n e d intellectual c a p a c i t y m e a s u r e d by tests in B u r t ' s f a v o r e d t e r m s as i.g.c. ( i n n a t e , g e n e r a l , c o g nitive) ability: " D u r i n g c h i l d h o o d , intellectual d e v e l o p m e n t p r o g r e s s e s as if it w e r e g o v e r n e d l a r g e l y by a s i n g l e , c e n t r a l f a c t o r , usually k n o w n a s ' g e n e r a l i n t e l l i g e n c e , ' w h i c h m a y b e b r o a d l y d e f i n e d as innate, all round, intellectual [my italics f o r i . g . c ] ability, a n d a p p e a r s t o e n t e r into e v e r y t h i n g t h e c h i l d a t t e m p t s t o t h i n k , say, o r d o : this s e e m s the m o s t i m p o r t a n t f a c t o r i n d e t e r m i n i n g his work in the classroom." T h e 1 1 + o w e d its g e n e r a l r a t i o n a l e t o t h e British factorists; i n a d d i t i o n , s e v e r a l of its details can also be t r a c e d to B u r t ' s s c h o o l . W h y , for e x a m p l e , testing and separation at a g e eleven? T h e r e w e r e practical a n d historical r e a s o n s t o b e s u r e ; e l e v e n was a b o u t t h e traditional a g e f o r transition b e t w e e n p r i m a r y a n d s e c o n d a r y schools. B u t t h e factorists s u p p l i e d t w o i m p o r t a n t t h e o r e t i c a l s u p p o r t s . First, s t u d i e s o n t h e g r o w t h o f c h i l d r e n s h o w e d that g v a r i e d •Hearnshaw ( 1 9 7 9 ) reports that Burt had greatest influence over the 1 9 3 8 Spens report, which recommended sorting at 11 plus and explicitly rejected comprehensive schooling under a single roof thereafter. Burt was piqued at the Norwood report because it downgraded psychological evidence; but, as Hearnshaw notes, this annoyance "masked a basic agreement with the recommendations, which in principle did not differ so much from those of the Spens committee, which he had earlier approved."
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w i d e l y i n e a r l y life a n d f i r s t stabilized a t a b o u t a g e e l e v e n . S p e a r m a n w r o t e i n 1 9 2 7 (p. 3 6 7 ) : " I f o n c e , t h e n , a c h i l d o f 11 y e a r s o r so h a s h a d his r e l a t i v e a m o u n t of g m e a s u r e d in a really a c c u r a t e m a n n e r , t h e h o p e o f t e a c h e r s a n d p a r e n t s that h e will e v e r rise t o a m u c h h i g h e r s t a n d i n g as a l a t e - b l o o m e r w o u l d s e e m to be illus o r y . " S e c o n d , B u r t ' s " g r o u p f a c t o r s , " w h i c h (for p u r p o s e s o f s e p aration by general mental worth) could only be viewed as d i s t u r b e r s o f g, d i d n o t s t r o n g l y affect a c h i l d u n t i l a f t e r a g e e l e v e n . T h e 1 9 3 1 H a d o w r e p o r t p r o c l a i m e d t h a t " s p e c i a l abilities r a r e l y reveal themselves in any notable d e g r e e before the a g e of 1 1 . " B u r t o f t e n c l a i m e d that his p r i m a r y g o a l i n s u p p o r t i n g 1 1 + w a s a " l i b e r a l " o n e — t o p r o v i d e access t o h i g h e r e d u c a t i o n f o r d i s a d v a n t a g e d c h i l d r e n w h o s e i n n a t e talents m i g h t o t h e r w i s e n o t b e reco g n i z e d . I d o n o t d o u b t that a f e w c h i l d r e n o f h i g h ability w e r e t h u s a i d e d , t h o u g h B u r t h i m s e l f d i d n o t b e l i e v e that m a n y p e o p l e o f h i g h i n t e l l i g e n c e lay h i d d e n i n t h e l o w e r classes. ( H e also b e l i e v e d that t h e i r n u m b e r s w e r e r a p i d l y d e c r e a s i n g a s i n t e l l i g e n t p e o p l e m o v e d u p t h e social l a d d e r l e a v i n g t h e l o w e r classes m o r e a n d m o r e d e p l e t e d o f intellectual t a l e n t — 1 9 4 6 , p . 1 5 . R . H e r r n stein [ 1 9 7 1 ] c a u s e d q u i t e a r u c k u s with t h e i d e n t i c a l a r g u m e n t , recycled, a few years back.)* Y e t t h e m a j o r e f f e c t o f 11 + , i n t e r m s o f h u m a n lives a n d h o p e s , surely lay w i t h its p r i m a r y n u m e r i c a l r e s u l t — 8 0 p e r c e n t b r a n d e d a s unfit f o r h i g h e r e d u c a t i o n b y r e a s o n o f low i n n a t e intellectual ability. T w o i n c i d e n t s c o m e t o m i n d , m e m o r i e s o f t w o y e a r s s p e n t in B r i t a i n d u r i n g t h e r e g i m e of 11 + : c h i l d r e n , a l r e a d y l a b e l e d sufficiently by the location of their school, daily walking t h r o u g h the streets o f L e e d s i n t h e i r a c a d e m i c u n i f o r m s , r e a d i l y i d e n t i f i e d b y all as t h e o n e s w h o h a d n ' t q u a l i f i e d ; a f r i e n d w h o h a d f a i l e d 11 + b u t r e a c h e d t h e u n i v e r s i t y a n y w a y b e c a u s e she h a d l e a r n e d L a t i n on her o w n , w h e n her secondary m o d e r n school did not teach it a n d universities still r e q u i r e d i t f o r e n t r a n c e i n t o c e r t a i n c o u r s e s (how m a n y o t h e r w o r k i n g - c l a s s t e e n a g e r s w o u l d h a v e h a d t h e m e a n s o r m o t i v a t i o n , w h a t e v e r t h e i r talents a n d desires?). B u r t w a s c o m m i t t e d t o his e u g e n i c vision o f s a v i n g B r i t a i n b y f i n d i n g a n d e d u c a t i n g its f e w p e o p l e o f e m i n e n t talent. F o r t h e rest, I a s s u m e that h e w i s h e d t h e m well a n d h o p e d t o m a t c h t h e i r e d u c a t i o n w i t h t h e i r ability a s h e p e r c e i v e d it. B u t t h e 8 0 p e r c e n t " T h e recycling reached full and lengthy fruition when Herrnstein and Charles Murray used the same claim as the opening gambit and general basis for The Bell Curve ( 1 9 9 4 ) .
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w e r e n o t i n c l u d e d i n his p l a n f o r t h e p r e s e r v a t i o n o f British g r e a t ness. O f t h e m , h e w r o t e ( 1 9 5 9 , p . 1 2 3 ) : It should be an essential part of the child's education to teach him how to face a possible beating on the 1 1 + (or any other examination), just as he should learn to take a beating in a half-mile race, or in a bout with boxing gloves, or a football match with a rival school. C o u l d B u r t feel t h e p a i n o f h o p e s d a s h e d b y b i o l o g i c a l p r o c l a m a tion i f h e was w i l l i n g seriously t o c o m p a r e a p e r m a n e n t b r a n d o f intellectual i n f e r i o r i t y with t h e loss of a single f o o t r a c e ?
L. L. Thurstone and the vectors of mind Thurstone's critique and reconstruction L . L . T h u r s t o n e was b o r n (1887) a n d b r e d i n C h i c a g o ( P h . D . , U n i v e r s i t y o f C h i c a g o , 1 9 1 7 , p r o f e s s o r o f p s y c h o l o g y a t his a l m a m a t e r f r o m 1 9 2 4 t o his d e a t h i n 1 9 5 5 ) . P e r h a p s i t i s n o t s u r p r i s i n g that a m a n w h o w r o t e his m a j o r w o r k f r o m t h e h e a r t o f A m e r i c a d u r i n g the G r e a t Depression should have been the exterminating a n g e l of S p e a r m a n ' s g. O n e c o u l d easily c o n s t r u c t a m o r a l fable in the heroic mold: T h u r s t o n e , free f r o m the blinding d o g m a s of class bias, sees t h r o u g h t h e e r r o r o f reification a n d h e r e d i t a r i a n a s s u m p t i o n s to u n m a s k g as logically fallacious, scientifically w o r t h less, a n d m o r a l l y a m b i g u o u s . B u t o u r c o m p l e x w o r l d g r a n t s validity to f e w s u c h tales, a n d this o n e is as false a n d e m p t y as most in its g e n r e . T h u r s t o n e d i d u n d o g f o r s o m e o f t h e r e a s o n s cited above, but not because he acknowledged the d e e p e r conceptual e r r o r s that h a d e n g e n d e r e d it. I n fact, T h u r s t o n e disliked g b e c a u s e h e felt that i t was n o t real e n o u g h ! T h u r s t o n e d i d n o t d o u b t that f a c t o r analysis s h o u l d s e e k , a s its p r i m a r y o b j e c t i v e , t o i d e n t i f y real aspects o f m i n d t h a t c o u l d b e l i n k e d to d e f i n i t e c a u s e s . C y r i l B u r t n a m e d his m a j o r b o o k The Factors of the Mind, T h u r s t o n e , w h o i n v e n t e d t h e g e o m e t r i c a l d e p i c t i o n o f tests a n d f a c t o r s a s v e c t o r s (Figs. 6.6, 6.7), called his m a j o r w o r k ( 1 9 3 5 ) The Vectors of Mind. " T h e o b j e c t of f a c t o r a n a l y s i s , " T h u r s t o n e w r o t e ( 1 9 3 5 , p . 5 3 ) , "is t o d i s c o v e r t h e m e n t a l f a c u l t i e s . " T h u r s t o n e a r g u e d that S p e a r m a n a n d B u r t ' s m e t h o d o f p r i n cipal c o m p o n e n t s h a d f a i l e d t o identify t r u e v e c t o r s o f m i n d b e c a u s e i t p l a c e d f a c t o r a x e s i n t h e w r o n g g e o m e t r i c a l positions.
T H E REAL ERROR OF C Y R I L B U R T He objected strenuously both to the first principal c o m p o n e n t (which p r o d u c e d S p e a r m a n ' s g ) a n d t o t h e s u b s e q u e n t c o m p o n e n t s (which identified " g r o u p f a c t o r s " i n clusters o f positive a n d n e g a tive p r o j e c t i o n s of tests). T h e first p r i n c i p a l c o m p o n e n t , S p e a r m a n ' s g, is a g r a n d a v e r a g e o f all tests i n m a t r i c e s o f positive c o r r e l a t i o n coefficients, w h e r e all v e c t o r s m u s t p o i n t i n t h e s a m e g e n e r a l d i r e c t i o n (Fig. 6.4). W h a t p s y c h o l o g i c a l m e a n i n g c a n s u c h a n axis h a v e , T h u r s t o n e a s k e d , i f its position d e p e n d s u p o n t h e tests i n c l u d e d , a n d shifts drastically f r o m o n e b a t t e r y o f tests t o a n o t h e r ? Consider Fig. 6.10 taken f r o m Thurstone's expansion (1947) of the Vectors of Mind. T h e c u r v e d lines f o r m a s p h e r i c a l t r i a n g l e on the s u r f a c e o f a s p h e r e . E a c h v e c t o r r a d i a t e s f r o m t h e c e n t e r o f t h e s p h e r e (not s h o w n ) a n d intersects t h e s p h e r e ' s s u r f a c e at a p o i n t r e p r e s e n t e d b y o n e o f t h e t w e l v e small circles. T h u r s t o n e a s s u m e s that the t w e l v e v e c t o r s r e p r e s e n t tests f o r t h r e e " r e a l " faculties o f m i n d , A , B , a n d C (call t h e m v e r b a l , n u m e r i c a l , a n d spatial, i f y o u will). T h e left set o f t w e l v e tests i n c l u d e s e i g h t that p r i m a r i l y m e a sure spatial ability a n d fall n e a r C ; t w o tests m e a s u r e v e r b a l ability a n d lie n e a r A , w h i l e t w o reflect n u m e r i c a l skill. B u t t h e r e i s n o t h ing s a c r o s a n c t a b o u t e i t h e r t h e n u m b e r o r d i s t r i b u t i o n o f tests i n a battery. S u c h d e c i s i o n s a r e a r b i t r a r y ; in fact, a tester usually can't i m p o s e a d e c i s i o n at all b e c a u s e he d o e s n ' t k n o w , in a d v a n c e , w h i c h tests m e a s u r e w h a t u n d e r l y i n g faculty. A n o t h e r b a t t e r y o f tests (right side o f F i g . 6.10) m a y h a p p e n t o i n c l u d e e i g h t f o r v e r b a l skills a n d o n l y t w o e a c h f o r n u m e r i c a l a n d spatial ability. T h e t h r e e faculties, T h u r s t o n e b e l i e v e s , a r e r e a l a n d i n v a r i a n t i n position n o m a t t e r h o w m a n y tests m e a s u r e t h e m i n a n y b a t t e r y . B u t look w h a t h a p p e n s t o S p e a r m a n ' s g . I t i s s i m p l y t h e a v e r a g e o f all tests, a n d its p o s i t i o n — t h e x in F i g . 6 . 1 0 — s h i f t s m a r k e d l y f o r the a r b i t r a r y r e a s o n that o n e b a t t e r y i n c l u d e s m o r e spatial tests (forcing g n e a r spatial p o l e C ) a n d t h e o t h e r m o r e v e r b a l tests ( m o v i n g g n e a r v e r b a l p o l e A ) . W h a t possible p s y c h o l o g i c a l m e a n ing cang- h a v e if it is o n l y an a v e r a g e , b u f f e t e d a b o u t by c h a n g e s in the n u m b e r o f tests f o r d i f f e r e n t abilities? T h u r s t o n e w r o t e o f g ( 9 4 o . P- 208): l
Such a factor can always be found routinely for any set of positively correlated tests, and it means nothing more or less than the average of all the abilities called for by the battery as a whole. Consequently, it varies
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from one battery to another and has no fundamental psychological significance beyond the arbitrary collection of tests that anyone happens to put together. . . . We cannot be interested in a general factor which is only the average of any random collection of tests. B u r t h a d i d e n t i f i e d g r o u p factors b y l o o k i n g f o r clusters o f positive a n d n e g a t i v e p r o j e c t i o n s o n t h e s e c o n d a n d s u b s e q u e n t p r i n c i p a l c o m p o n e n t s . T h u r s t o n e o b j e c t e d s t r e n u o u s l y t o this m e t h o d , n o t o n m a t h e m a t i c a l g r o u n d s , but b e c a u s e h e felt that tests c o u l d n o t h a v e n e g a t i v e p r o j e c t i o n s u p o n real " t h i n g s . " I f a f a c t o r r e p r e s e n t e d a t r u e v e c t o r of mind, t h e n an i n d i v i d u a l test m i g h t e i t h e r m e a s u r e that entity i n p a r t , a n d h a v e a positive p r o j e c t i o n u p o n t h e f a c t o r , or it m i g h t n o t m e a s u r e it at all, a n d h a v e a z e r o projection. B u t a test c o u l d n o t h a v e a n e g a t i v e p r o j e c t i o n u p o n a real vector of mind: A negative entry . . . would have to be interpreted to mean that the possession of an ability has a detrimental effect on the test performance. O n e can readily understand how the possession of a certain ability can aid 6*10 Thurstone's illustration of how the position of the first principal component (the x in both figures) is affected by the types of tests included in a battery.
T H E R E A L E R R O R OF C Y R I L B U R T in a test performance, and o n e can imagine that an ability has no effect on a test performance, but it is difficult to think of abilities that are as often detrimental as helpful in the test performances. Surely, the correct factor matrix for cognitive tests does not have many negative entries, and preferably it should have n o n e at all (1940, p p . 193-194). T h u r s t o n e t h e r e f o r e set o u t t o f i n d t h e " c o r r e c t f a c t o r m a t r i x " b y e l i m i n a t i n g n e g a t i v e p r o j e c t i o n s o f tests u p o n a x e s a n d m a k i n g all p r o j e c t i o n s e i t h e r positive o r z e r o . T h e p r i n c i p a l c o m p o n e n t a x e s o f S p e a r m a n a n d B u r t c o u l d n o t a c c o m p l i s h this b e c a u s e t h e y , p e r f o r c e , c o n t a i n e d all positive p r o j e c t i o n s on t h e first axis (g) a n d c o m b i n a t i o n s o f n e g a t i v e a n d positive g r o u p s o n t h e s u b s e q u e n t "bipolars." T h u r s t o n e ' s s o l u t i o n was i n g e n i o u s a n d r e p r e s e n t s the m o s t strikingly o r i g i n a l , y e t s i m p l e , i d e a i n t h e history o f f a c t o r analysis. I n s t e a d o f m a k i n g t h e f i r s t axis a g r a n d a v e r a g e o f all v e c t o r s a n d letting the o t h e r s e n c o m p a s s a steadily d e c r e a s i n g a m o u n t o f r e m a i n i n g i n f o r m a t i o n i n t h e v e c t o r s , w h y n o t try t o p l a c e all a x e s n e a r clusters o f v e c t o r s . T h e clusters m a y reflect r e a l " v e c t o r s o f m i n d , " i m p e r f e c t l y m e a s u r e d by s e v e r a l tests. A f a c t o r axis p l a c e d n e a r s u c h a c l u s t e r will h a v e h i g h positive p r o j e c t i o n s f o r tests m e a s u r i n g that p r i m a r y ability* a n d v e r y low z e r o p r o j e c t i o n s f o r all tests m e a s u r i n g o t h e r p r i m a r y a b i l i t i e s — a s l o n g a s t h e p r i m a r y abilities a r e i n d e p e n d e n t a n d u n c o r r e l a t e d . B u t h o w , m a t h e m a t i c a l l y , c a n f a c t o r a x e s b e p l a c e d n e a r clusters? H e r e , T h u r s t o n e h a d his g r e a t i n s i g h t . T h e p r i n c i p a l c o m p o n e n t a x e s o f B u r t a n d S p e a r m a n (Fig. 6.6) d o n o t lie i n t h e o n l y position that f a c t o r a x e s c a n a s s u m e . T h e y r e p r e s e n t o n e possible solution, d i c t a t e d by S p e a r m a n ' s a p r i o r i c o n v i c t i o n that a s i n g l e g e n e r a l i n t e l l i g e n c e exists. T h e y a r e , i n o t h e r w o r d s , t h e o r y - b o u n d , not m a t h e m a t i c a l l y n e c e s s a r y — a n d t h e t h e o r y m a y b e w r o n g . T h u r s t o n e decided to k e e p o n e feature of the S p e a r m a n - B u r t s c h e m e : his f a c t o r a x e s w o u l d r e m a i n m u t u a l l y p e r p e n d i c u l a r , a n d t h e r e f o r e m a t h e m a t i c a l l y u n c o r r e l a t e d . T h e real v e c t o r s o f m i n d , T h u r s t o n e r e a s o n e d , m u s t r e p r e s e n t independent p r i m a r y abilities. "Thurstone reified his factors, calling them "primary abilities," or "vectors of mind." All these terms represent the same mathematical object in Thurstone's system—factor axes placed near clusters of test vectors.
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T h u r s t o n e therefore calculated the S p e a r m a n - B u r t principal comp o n e n t s a n d t h e n rotated t h e m to d i f f e r e n t positions until t h e y lay as close as t h e y c o u l d (while still r e m a i n i n g p e r p e n d i c u l a r ) to actual clusters o f v e c t o r s . I n this r o t a t e d p o s i t i o n , e a c h f a c t o r axis w o u l d receive high positive projections for the few vectors clustered near it, a n d z e r o o r n e a r z e r o p r o j e c t i o n s f o r all o t h e r v e c t o r s . W h e n e a c h v e c t o r has a h i g h p r o j e c t i o n o n o n e f a c t o r axis a n d z e r o o r n e a r z e r o p r o j e c t i o n s o n all o t h e r s , T h u r s t o n e r e f e r r e d t o t h e result as a simple structure. He r e d e f i n e d t h e f a c t o r p r o b l e m as a s e a r c h f o r simple structure by rotating factor axes from their principal comp o n e n t s o r i e n t a t i o n t o p o s i t i o n s m a x i m a l l y close t o clusters o f vectors. Figs. 6.6 a n d 6.7 s h o w this p r o c e s s g e o m e t r i c a l l y . T h e v e c t o r s a r e a r r a n g e d i n t w o clusters r e p r e s e n t i n g v e r b a l a n d m a t h e m a t i c a l tests. In F i g . 6.6 t h e first p r i n c i p a l c o m p o n e n t (g) is an a v e r a g e of all v e c t o r s , w h i l e t h e s e c o n d is a b i p o l a r , with v e r b a l tests p r o j e c t i n g n e g a t i v e l y a n d a r i t h m e t i c tests positively. B u t t h e v e r b a l a n d arithm e t i c clusters a r e n o t well d e f i n e d o n this b i p o l a r f a c t o r b e c a u s e m o s t o f t h e i r i n f o r m a t i o n has a l r e a d y b e e n p r o j e c t e d u p o n g , a n d little r e m a i n s f o r d i s t i n c t i o n o n t h e s e c o n d axis. B u t i f t h e a x e s a r e r o t a t e d t o T h u r s t o n e ' s s i m p l e s t r u c t u r e (Fig. 6.7), t h e n b o t h clusters a r e well d e f i n e d b e c a u s e e a c h i s n e a r a f a c t o r axis. T h e a r i t h m e t i c tests p r o j e c t h i g h o n the f i r s t s i m p l e s t r u c t u r e axis a n d low o n t h e s e c o n d ; t h e v e r b a l tests p r o j e c t h i g h o n t h e s e c o n d a n d low on the first. T h e f a c t o r p r o b l e m i s n o t s o l v e d pictorially, b u t b y calculation. T h u r s t o n e u s e d s e v e r a l m a t h e m a t i c a l criteria f o r d i s c o v e r i n g simp l e s t r u c t u r e . O n e , still i n c o m m o n u s e , i s called " v a r i m a x , " o r t h e s e a r c h f o r maximum variance u p o n e a c h r o t a t e d f a c t o r axis. T h e " v a r i a n c e " o f a n a x i s i s m e a s u r e d b y t h e s p r e a d o f test p r o j e c t i o n s u p o n it. V a r i a n c e i s low o n t h e f i r s t p r i n c i p a l c o m p o n e n t b e c a u s e all tests h a v e a b o u t t h e s a m e positive p r o j e c t i o n , a n d t h e s p r e a d i s limited. B u t v a r i a n c e i s h i g h o n r o t a t e d a x e s p l a c e d n e a r clusters, because such axes have a few very high projections and other zero or near zero projections, thus maximizing the spread.* T h e p r i n c i p a l c o m p o n e n t a n d s i m p l e s t r u c t u r e s o l u t i o n s are * Readers who have done factor analysis for a course on statistics or methodology in the biological or social sciences will remember something about rotating axes to varimax positions. Like me, they are probably taught this procedure as if it were a mathematical deduction based on the inadequacy of principal components in find-
T H E REAL ERROR OF CYRIL B U R T m a t h e m a t i c a l l y e q u i v a l e n t ; n e i t h e r is " b e t t e r . " I n f o r m a t i o n is neit h e r g a i n e d n o r lost by r o t a t i n g a x e s ; it is m e r e l y r e d i s t r i b u t e d . Preferences d e p e n d u p o n the m e a n i n g assigned to factor axes. T h e f i r s t p r i n c i p a l c o m p o n e n t d e m o n s t r a b l y exists. F o r S p e a r m a n , it is to be c h e r i s h e d as a m e a s u r e of i n n a t e g e n e r a l i n t e l l i g e n c e . F o r T h u r s t o n e , it is a m e a n i n g l e s s a v e r a g e of an a r b i t r a r y b a t t e r y of tests, d e v o i d o f p s y c h o l o g i c a l s i g n i f i c a n c e , a n d c a l c u l a t e d o n l y a s a n i n t e r m e d i a r y step i n r o t a t i o n t o s i m p l e s t r u c t u r e . N o t all sets of v e c t o r s h a v e a d e f i n a b l e " s i m p l e s t r u c t u r e . " A r a n d o m a r r a y w i t h o u t clusters c a n n o t b e f i t b y a set o f f a c t o r s , e a c h with a f e w h i g h p r o j e c t i o n s a n d a l a r g e r n u m b e r o f n e a r z e r o p r o j e c t i o n s . T h e d i s c o v e r y o f a s i m p l e s t r u c t u r e i m p l i e s that v e c t o r s a r e g r o u p e d i n t o c l u s t e r s , a n d that clusters a r e relatively i n d e p e n d ent o f e a c h o t h e r . T h u r s t o n e c o n t i n u a l l y f o u n d s i m p l e s t r u c t u r e a m o n g v e c t o r s o f m e n t a l tests a n d t h e r e f o r e p r o c l a i m e d t h a t t h e tests m e a s u r e a small n u m b e r o f i n d e p e n d e n t " p r i m a r y m e n t a l abilities," o r v e c t o r s o f m i n d — a r e t u r n , i n a s e n s e , t o a n o l d e r "faculty p s y c h o l o g y " that v i e w e d t h e m i n d a s a c o n g e r i e s o f i n d e p e n d e n t abilities. N o w it happens, over and over again, that when a factor matrix is found with a very large n u m b e r of zero entries, the negative entries disappear at the same time. It does not seem as if all this could h a p p e n by chance. T h e reason is probably to be f o u n d in the underlying distinct m e n tal processes that are involved in the different tasks. . . . T h e s e are what I have called primary mental abilities (1940, p. 194). T h u r s t o n e b e l i e v e d that h e h a d d i s c o v e r e d r e a l m e n t a l entities with f i x e d g e o m e t r i c positions. T h e p r i m a r y m e n t a l abilities (or P M A ' s a s h e called t h e m ) d o n o t shift t h e i r p o s i t i o n o r c h a n g e t h e i r n u m b e r i n d i f f e r e n t b a t t e r i e s o f tests. T h e v e r b a l P M A exists i n its d e s i g n a t e d s p o t w h e t h e r i t i s m e a s u r e d b y j u s t t h r e e tests i n o n e battery, o r b y twenty-five d i f f e r e n t tests i n a n o t h e r . T h e factorial m e t h o d s have for their object to isolate the primary abilities by objective experimental procedures so that it may be a question of fact how many abilities are represented in a set of tasks (1938, p. 1). ing clusters. In fact, it arose historically with reference to a definite theory of intelligence (Thurstone's belief in independent primary mental abilities) and in opposition to another (general intelligence and hierarchy of lesser factors) buttressed by principal components.
THE
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T h u r s t o n e reified his s i m p l e s t r u c t u r e a x e s a s p r i m a r y m e n t a l abilities a n d s o u g h t t o specify their n u m b e r . His o p i n i o n shifted a s h e f o u n d n e w P M A ' s o r c o n d e n s e d o t h e r s , b u t his basic m o d e l included seven P M A ' s — V for verbal comprehension, W for word f l u e n c y , N f o r n u m b e r ( c o m p u t a t i o n a l ) , S f o r spatial v i s u a l i z a t i o n , M f o r associative m e m o r y , P f o r p e r c e p t u a l s p e e d , a n d R f o r reasoning.* B u t w h a t h a d h a p p e n e d t o g—Spearman's i n e l u c t a b l e , i n n a t e , g e n e r a l i n t e l l i g e n c e — a m i d s t all this r o t a t i o n o f a x e s ? I t h a d simply d i s a p p e a r e d . I t h a d b e e n r o t a t e d a w a y ; i t was n o t t h e r e a n y m o r e (Fig. 6.7). T h u r s t o n e s t u d i e d t h e s a m e d a t a u s e d b y S p e a r m a n a n d B u r t to d i s c o v e r g. B u t n o w , i n s t e a d of a h i e r a r c h y with a d o m i nant, innate, general intelligence and some subsidiary, trainable g r o u p f a c t o r s , t h e s a m e d a t a h a d y i e l d e d a set o f i n d e p e n d e n t a n d e q u a l l y i m p o r t a n t P M A ' s , with n o h i e r a r c h y a n d n o d o m i n a n t g e n e r a l f a c t o r . W h a t p s y c h o l o g i c a l m e a n i n g c o u l d g c l a i m if it r e p r e s e n t e d b u t o n e possible r e n d e r i n g o f i n f o r m a t i o n subject t o radically different, but mathematically equivalent, interpretations? T h u r s t o n e w r o t e o f his m o s t f a m o u s e m p i r i c a l s t u d y ( 1 9 3 8 , p . vii): So far in our work we have not f o u n d the general factor of Spearman. . . . As far as we can d e t e r m i n e at present, the tests that have been supposed to be saturated with the general c o m m o n factor divide their variance a m o n g primary factors that are not present in all the tests. We cannot report any general c o m m o n factor in the battery of 56 tests that have been analyzed in the present study. The
egalitarian
interpretation
of PMA's
G r o u p f a c t o r s f o r s p e c i a l i z e d abilities h a v e h a d a n i n t e r e s t i n g o d y s s e y i n t h e h i s t o r y o f f a c t o r analysis. I n S p e a r m a n ' s s y s t e m they w e r e called " d i s t u r b e r s " o f t h e t e t r a d e q u a t i o n , a n d w e r e o f t e n p u r p o s e l y e l i m i n a t e d by t o s s i n g o u t all b u t o n e test in a c l u s t e r — a remarkable way of r e n d e r i n g a hypothesis impervious to disproof. I n a f a m o u s s t u d y , d o n e specifically t o d i s c o v e r w h e t h e r o r not •Thurstone, like Burt, submitted many other sets of data to factor analysis. Burt, chained to his hierarchical model, always found a dominant general factor and subsidiary bipolars, whether he studied anatomical, parapsychological, or aesthetic data. Thurstone, wedded to his model, always discovered independent primary factors. In 1 9 5 0 , for example, he submitted tests of temperament to factor analysis and found primary factors, again seven in number. He named them activity, impulsiveness, emotional stability, sociability, athletic interest, ascendance, and reflectiveness.
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g r o u p factors existed, B r o w n a n d Stephenson (1933) gave twentyt w o c o g n i t i v e tests t o t h r e e h u n d r e d t e n - y e a r - o l d b o y s . T h e y calc u l a t e d s o m e d i s t u r b i n g l y h i g h t e t r a d s a n d d r o p p e d t w o tests " b e c a u s e 20 is a sufficiently l a r g e n u m b e r f o r o u r p r e s e n t p u r p o s e . " T h e y t h e n e l i m i n a t e d a n o t h e r f o r t h e l a r g e t e t r a d s that i t g e n e r a t e d , e x c u s i n g t h e m s e l v e s by stating: " a t w o r s t it is no sin to o m i t o n e test f r o m a b a t t e r y o f s o m a n y . " M o r e h i g h v a l u e s p r o m p t e d t h e f u r t h e r e x c i s i o n o f all t e t r a d s i n c l u d i n g t h e c o r r e l a tion b e t w e e n t w o o f t h e n i n e t e e n r e m a i n i n g tests, since " t h e m e a n of all t e t r a d s i n v o l v i n g this c o r r e l a t i o n is m o r e t h a n 5 times t h e p r o b a b l e e r r o r . " Finally, with a b o u t o n e - f o u r t h o f t h e t e t r a d s g o n e , the r e m a i n i n g e l e v e n t h o u s a n d f o r m e d a d i s t r i b u t i o n close e n o u g h to normal. Spearman's "theory of two factors," they proclaimed, "satisfactorily passes t h e test o f e x p e r i e n c e . " " T h e r e i s i n t h e p r o o f the f o u n d a t i o n a n d d e v e l o p m e n t o f a scientific e x p e r i m e n t a l psyc h o l o g y ; a n d , a l t h o u g h w e w o u l d b e m o d e s t , t o that e x t e n t i t c o n stitutes a ' C o p e r n i c a n r e v o l u t i o n ' " ( B r o w n a n d S t e p h e n s o n , 1 9 3 3 , P- 353)F o r Cyril B u r t , the g r o u p factors, although real and i m p o r tant i n v o c a t i o n a l g u i d a n c e , w e r e s u b s i d i a r y t o a d o m i n a n t a n d i n n a t e g. F o r T h u r s t o n e , the o l d g r o u p f a c t o r s b e c a m e p r i m a r y m e n t a l abilities. T h e y w e r e t h e i r r e d u c i b l e m e n t a l entities; g was a d e l u sion. C o p e r n i c u s ' s h e l i o c e n t r i c t h e o r y c a n be v i e w e d as a p u r e l y mathematical hypothesis, offering a simpler representation for the s a m e a s t r o n o m i c a l d a t a that P t o l e m y h a d e x p l a i n e d b y p u t t i n g t h e earth at the center of things. Indeed, Copernicus's cautious and practical s u p p o r t e r s , i n c l u d i n g t h e a u t h o r o f t h e p r e f a c e t o D e Revolutionibus, u r g e d j u s t s u c h a p r a g m a t i c c o u r s e in a w o r l d p o p u l a t e d with inquisitions a n d i n d i c e s o f f o r b i d d e n b o o k s . B u t C o p e r n i c u s ' s t h e o r y e v e n t u a l l y p r o d u c e d a f u r o r w h e n its s u p p o r t e r s , led by G a l i l e o , insisted u p o n v i e w i n g it as a s t a t e m e n t a b o u t t h e r e a l organization of the heavens, not merely as a simpler numerical representation of planetary motion. S o i t was with t h e S p e a r m a n - B u r t vs. t h e T h u r s t o n e s c h o o l o f f a c t o r analysis. T h e i r m a t h e m a t i c a l r e p r e s e n t a t i o n s w e r e e q u i v a lent and equally worthy of support. T h e debate reached a fury of intensity b e c a u s e t h e t w o m a t h e m a t i c a l schools a d v a n c e d r a d i c a l l y
334
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d i f f e r e n t v i e w s a b o u t t h e real n a t u r e o f i n t e l l i g e n c e — a n d the a c c e p t a n c e o f o n e o r t h e o t h e r e n t a i l e d a set o f f u n d a m e n t a l consequences for the practice of education. W i t h S p e a r m a n ' s g, e a c h child c a n be r a n k e d on a s i n g l e scale of i n n a t e i n t e l l i g e n c e ; all else is subsidiary. G e n e r a l ability c a n be m e a s u r e d e a r l y i n life a n d c h i l d r e n c a n b e s o r t e d a c c o r d i n g t o their intellectual p r o m i s e (as i n t h e 1 1 + e x a m i n a t i o n ) . W i t h T h u r s t o n e ' s P M A ' s , t h e r e i s n o g e n e r a l ability t o m e a s u r e . Some children are g o o d at some things, others excel in different a n d i n d e p e n d e n t qualities o f m i n d . M o r e o v e r , o n c e t h e h e g e m o n y o f g was b r o k e n , P M A ' s c o u l d b l o o m like t h e f l o w e r s i n s p r i n g . T h u r s t o n e r e c o g n i z e d o n l y a f e w , b u t o t h e r influential s c h e m e s a d v o c a t e d 120 ( G u i l f o r d , 1956) o r p e r h a p s m o r e ( G u i l f o r d , 1 9 5 9 , p . 477). ( G u i l f o r d ' s 120 f a c t o r s a r e n o t i n d u c e d e m p i r i c a l l y , b u t p r e d i c t e d f r o m a t h e o r e t i c a l m o d e l — r e p r e s e n t e d as a c u b e of d i m e n s i o n s 6 x 5 X 4 = 1 2 0 — d e s i g n a t i n g f a c t o r s f o r e m p i r i c a l studies to find). U n i l i n e a r r a n k i n g o f p u p i l s has n o p l a c e , e v e n i n T h u r s t o n e ' s w o r l d o f j u s t a f e w P M A ' s . T h e e s s e n c e o f e a c h c h i l d b e c o m e s his individuality, T h u r s t o n e wrote ( 1 9 3 5 , p. 53): Even if each individual can be described in terms of a limited number of i n d e p e n d e n t reference abilities, it is still possible for every person to be different from every other person in the world. Each person might be described in terms of his standard scores in a limited n u m b e r of independent abilities. T h e n u m b e r of permutations of these scores would probably be sufficient to guarantee the retention of individualities. F r o m t h e m i d s t o f a n e c o n o m i c d e p r e s s i o n that r e d u c e d m a n y o f its intellectual elite to p o v e r t y , an A m e r i c a w i t h e g a l i t a r i a n ideals (however rarely practiced) challenged Britain's traditional equation o f social class w i t h i n n a t e w o r t h . S p e a r m a n ' s g h a d b e e n r o t a t e d a w a y , a n d g e n e r a l m e n t a l w o r t h e v a p o r a t e d w i t h it. O n e could read the debate between Burt a n d T h u r s t o n e as a mathematical a r g u m e n t about the location of factor axes. T h i s would be as myopic as interpreting the struggle between Galileo and the C h u r c h as an a r g u m e n t between two mathematically e q u i v a l e n t s c h e m e s f o r d e s c r i b i n g p l a n e t a r y m o t i o n . B u r t certainly u n d e r s t o o d this l a r g e r c o n t e x t w h e n h e d e f e n d e d t h e 1 1 + e x a m i n a t i o n a g a i n s t T h u r s t o n e ' s assault:
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In educational practice the rash assumption that the general factor has at length been demolished has d o n e much to sanction the impracticable idea that, in classifying children according to their varying capabilities, we need no longer consider their d e g r e e of general ability, and have only to allot them to schools of different types according to their special aptitudes; in short, that the examination at 11 plus can best be run on the principle of the caucus-race in Wonderland, where everybody wins and each get some kind of prize (1955, p. 165). T h u r s t o n e , f o r his p a r t , l o b b i e d h a r d , p r o d u c i n g a r g u m e n t s (and a l t e r n a t e tests) t o s u p p o r t his b e l i e f t h a t c h i l d r e n s h o u l d n o t b e j u d g e d b y a single n u m b e r . H e w i s h e d , i n s t e a d , t o assess e a c h person as an individual with strengths a n d weaknesses according t o his scores o n a n a r r a y o f P M A ' s (as e v i d e n c e o f his success i n a l t e r i n g t h e p r a c t i c e o f t e s t i n g i n t h e U n i t e d States, see G u i l f o r d , 1959, and T u d d e n h a m , 1962, p. 515). Instead of attempting to describe each individual's mental e n d o w m e n t by a single index such as a mental age or an intelligence quotient, it is preferable to describe him in terms of a profile of all the primary factors which are known to be significant. . . . If a n y o n e insists on having a single index such as an I.Q., it can be obtained by taking an average of all the known abilities. But such an index tends so to blur the description of each man that his mental assets and limitations are buried in the single index (1946, p. 110). T w o p a g e s l a t e r , T h u r s t o n e explicitly links his abstract t h e o r y o f i n t e l l i g e n c e w i t h p r e f e r r e d social v i e w s . This work is consistent not only with the scientific object of identifying the distinguishable mental functions but it seems to be consistent also with the desire to differentiate our treatment of people by recognizing every person in terms of the mental and physical assets which make him unique as an individual (1946, p. 112). T h u r s t o n e p r o d u c e d his f u n d a m e n t a l r e c o n s t r u c t i o n w i t h o u t a t t a c k i n g e i t h e r o f t h e d e e p e r a s s u m p d o n s that h a d m o t i v a t e d Spearman and Burt—reification and hereditarianism. He worked within e s t a b l i s h e d t r a d i t i o n s o f a r g u m e n t i n f a c t o r analysis, a n d r e c o n s t r u c t e d results a n d t h e i r m e a n i n g w i t h o u t a l t e r i n g t h e p r e m ises. T h u r s t o n e n e v e r d o u b t e d that his P M A ' s w e r e entities with identifiable c a u s e s (see his e a r l y w o r k o f 1 9 2 4 , p p . 1 4 6 - 1 4 7 , f o r t h e
33 6
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s e e d s o f c o m m i t m e n t t o r e i f y i n g abstract c o n c e p t s — g r e g a r i o u s n e s s i n this c a s e — a s t h i n g s w i t h i n us). H e e v e n s u s p e c t e d that his m a t h e m a t i c a l m e t h o d s w o u l d identify a t t r i b u t e s o f m i n d b e f o r e b i o l o g y a t t a i n e d t h e tools to verify t h e m : " I t is q u i t e likely that t h e p r i m a r y m e n t a l abilities will be fairly well isolated by t h e factorial m e t h o d s before they are verified by the m e t h o d s of n e u r o l o g y or genetics. E v e n t u a l l y t h e results o f t h e s e v e r a l m e t h o d s o f i n v e s t i g a t i n g t h e s a m e p h e n o m e n a m u s t a g r e e " ( 1 9 3 8 , p . 2). T h e vectors of m i n d are real, but their causes may be c o m p l e x and multifarious. T h u r s t o n e admitted a strong potential influence for environment, but he emphasized inborn biology: Some of the factors may turn out to be defined by endocrinological effects. Others may be defined by biochemical or biophysical parameters of the body fluids or of the central nervous system. Other factors may be defined by neurological or vascular relations in s o m e anatomical locus; still others may involve parameters in the dynamics of the autonomic nervous system; still others may be defined in terms of experience and schooling (1947, p. 57). T h u r s t o n e a t t a c k e d t h e e n v i r o n m e n t a l i s t s c h o o l , c i t i n g evid e n c e f r o m s t u d i e s o f i d e n t i c a l twins f o r t h e i n h e r i t a n c e o f P M A ' s . H e also c l a i m e d t h a t t r a i n i n g w o u l d usually e n h a n c e i n n a t e d i f f e r ences, even while raising the accomplishments of both poorly and well-endowed children: Inheritance plays an important part in determining mental performance. It is my own conviction that the arguments of the environmentalists are too much based on sentimentalism. T h e y are often even fanatic on this subject. If the facts support the genetic interpretation, then the accusation of being undemocratic must not be hurled at the biologists. If anyo n e is undemocratic on this issue, it must be Mother Nature. To the question whether the mental abilities can be trained, the affirmative answer seems to be the only o n e that makes sense. On the other hand, if two boys w h o differ markedly in visualizing ability, for e x a m p l e , are given the same amount of training with this type of thinking, I am afraid that they will differ even more at the end of the training than they did at the start (1946, p. 1 1 1 ) . A s I h a v e e m p h a s i z e d t h r o u g h o u t this b o o k , n o s i m p l e equation c a n b e m a d e b e t w e e n social p r e f e r e n c e a n d b i o l o g i c a l c o m m i t m e n t . W e c a n tell n o c a r d b o a r d tale o f h e r e d i t a r i a n b a d d i e s r e l e g a t i n g w h o l e r a c e s , classes, a n d s e x e s t o p e r m a n e n t biological
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i n f e r i o r i t y — o r o f e n v i r o n m e n t a l i s t g o o d i e s e x t o l l i n g the i r r e d u c i ble w o r t h o f all h u m a n b e i n g s . O t h e r biases m u s t b e f a c t o r e d (pardon the vernacular usage) into a c o m p l e x equation. Hereditarianism becomes an instrument for assigning g r o u p s to inferiority o n l y w h e n c o m b i n e d with a b e l i e f in r a n k i n g a n d d i f f e r e n t i a l w o r t h . B u r t u n i t e d b o t h v i e w s i n his h e r e d i t a r i a n synthesis. T h u r s t o n e e x c e e d e d B u r t i n his c o m m i t m e n t t o a n a i v e f o r m o f reificat i o n , a n d h e d i d n o t o p p o s e h e r e d i t a r i a n claims ( t h o u g h h e certainly n e v e r p u r s u e d t h e m w i t h t h e s i n g l e - m i n d e d v i g o r o f a B u r t ) . B u t h e c h o s e n o t t o r a n k a n d w e i g h o n a single scale o f g e n e r a l m e r i t , a n d his d e s t r u c t i o n o f B u r t ' s p r i m a r y i n s t r u m e n t o f r a n k i n g — S p e a r m a n ' s g—altered t h e history o f m e n t a l testing.
Spearman and Burt react W h e n T h u r s t o n e d i s p e r s e d g a s a n illusion, S p e a r m a n w a s still alive a n d p u g n a c i o u s a s e v e r , w h i l e B u r t w a s a t t h e h e i g h t o f his powers a n d influence. S p e a r m a n , w h o h a d deftly d e f e n d e d g for thirty y e a r s by i n c o r p o r a t i n g critics w i t h i n his flexible s y s t e m , realized that T h u r s t o n e c o u l d n o t b e s o a c c o m m o d a t e d : Hitherto all such attacks on it \g] appear to have eventually w e a k e n e d into m e r e attempts to explain it m o r e simply. N o w , however, there has arisen a very different crisis; in a recent study, nothing has been f o u n d to explain; the general factor has just vanished. Moreover, the said study is no ordinary o n e . Alike for e m i n e n c e of the author, for judiciousness of plan, and for comprehensiveness of scope, it would be hard to find any match for the very recent work on Primary Mental Abilities by L. L. T h u r stone (Spearman, 1939, p. 78). S p e a r m a n a d m i t t e d that g , a s a n a v e r a g e a m o n g tests, c o u l d vary i n p o s i t i o n f r o m b a t t e r y t o battery. B u t h e h e l d that its w a n d e r i n g was m i n o r i n s c o p e , a n d that i t a l w a y s p o i n t e d i n t h e s a m e g e n e r a l d i r e c t i o n , d e t e r m i n e d b y the p e r v a s i v e positive c o r r e l a t i o n b e t w e e n tests. T h u r s t o n e h a d n o t e l i m i n a t e d g ; h e h a d m e r e l y o b s c u r e d it by a m a t h e m a t i c a l d o d g e , d i s t r i b u t i n g it by bits a n d pieces a m o n g a set o f g r o u p f a c t o r s : " T h e n e w o p e r a t i o n c o n s i s t e d essentially i n s c a t t e r i n g ^ a m o n g s u c h n u m e r o u s g r o u p f a c t o r s , t h a t the f r a g m e n t a s s i g n e d t o e a c h s e p a r a t e l y b e c a m e t o o small t o b e n o t i c e a b l e " ( 1 9 3 9 , p . 14). S p e a r m a n then turned T h u r s t o n e ' s favorite a r g u m e n t against h i m . A s a c o n v i n c e d reifier, T h u r s t o n e b e l i e v e d that P M A ' s w e r e
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" o u t t h e r e " i n f i x e d positions within a factorial s p a c e . H e a r g u e d that S p e a r m a n a n d B u r t ' s f a c t o r s w e r e n o t " r e a l " b e c a u s e t h e y vari e d i n n u m b e r a n d position a m o n g d i f f e r e n t batteries o f tests. S p e a r m a n r e t o r t e d that T h u r s t o n e ' s P M A ' s w e r e also artifacts o f c h o s e n tests, n o t i n v a r i a n t v e c t o r s o f m i n d . A P M A c o u l d b e crea t e d s i m p l y by c o n s t r u c t i n g a series of r e d u n d a n t tests that w o u l d m e a s u r e t h e s a m e t h i n g s e v e r a l t i m e s , a n d establish a t i g h t c l u s t e r of vectors. Similarly, any P M A could be dispersed by r e d u c i n g or e l i m i n a t i n g t h e tests that m e a s u r e it. P M A ' s a r e n o t i n v a r i a n t locations p r e s e n t b e f o r e a n y o n e e v e r i n v e n t e d tests t o identify t h e m ; t h e y a r e p r o d u c t s o f t h e tests t h e m s e l v e s : We are led to the view that g r o u p factors, far from constituting a small n u m b e r of sharply cut "primary" abilities, are endless in number, indefinitely varying in scope, and even unstable in existence. Any constitutent of ability can b e c o m e a g r o u p factor. Any can cease being so (1939, p. 15). S p e a r m a n h a d r e a s o n t o c o m p l a i n . T w o y e a r s later, f o r e x a m p l e , T h u r s t o n e f o u n d a n e w P M A t h a t h e c o u l d n o t i n t e r p r e t (in T h u r s t o n e a n d T h u r s t o n e , 1 9 4 1 ) . H e called i t X i a n d i d e n t i f i e d i t b y s t r o n g c o r r e l a t i o n s b e t w e e n t h r e e tests that i n v o l v e d t h e c o u n t i n g o f d o t s . H e e v e n a d m i t t e d that h e w o u l d h a v e m i s s e d X i e n t i r e l y , h a d his b a t t e r y i n c l u d e d b u t o n e test o f d o t t i n g : All these tests have a factor in c o m m o n ; but since the three dot-counting tests are practically isolated from the rest of the battery and without any saturation on the n u m b e r factor, we have very little to suggest the nature of the factor. It is, no doubt, the sort of function that would ordinarily be lost in the specific variance of the tests if only o n e of these dotcounting tests had been included in the battery (Thurstone and Thurstone, 1941, pp. 23-24). T h u r s t o n e ' s a t t a c h m e n t t o reification b l i n d e d h i m t o a n o b v i o u s a l t e r n a t i v e . H e a s s u m e d that X really e x i s t e d a n d that h e h a d previously m i s s e d it by n e v e r i n c l u d i n g e n o u g h tests f o r its r e c o g n i tion. B u t s u p p o s e t h a t X i s a c r e a t i o n o f t h e tests, n o w " d i s c o v e r e d " o n l y b e c a u s e t h r e e r e d u n d a n t m e a s u r e s yield a c l u s t e r o f vectors (and a p o t e n t i a l P M A ) , w h e r e a s o n e d i f f e r e n t test c a n o n l y b e viewed as an oddball. T h e r e i s a g e n e r a l flaw i n T h u r s t o n e ' s a r g u m e n t that P M A ' s a r e n o t t e s t - d e p e n d e n t , a n d that t h e s a m e f a c t o r s will a p p e a r i n a n y p r o p e r l y c o n s t i t u t e d battery. T h u r s t o n e c l a i m e d that a n indix
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v i d u a l test w o u l d a l w a y s r e c o r d the s a m e P M A ' s o n l y i n s i m p l e s t r u c t u r e s that a r e " c o m p l e t e a n d o v e r d e t e r m i n e d " ( 1 9 4 7 , p . 3 6 3 ) — i n o t h e r w o r d s , o n l y w h e n all t h e v e c t o r s o f m i n d h a v e b e e n p r o p e r l y i d e n t i f i e d a n d s i t u a t e d . I n d e e d , if t h e r e really are o n l y a f e w v e c t o r s o f m i n d , a n d i f w e c a n k n o w w h e n all h a v e b e e n i d e n tified, t h e n a n y a d d i t i o n a l test m u s t fall i n t o its p r o p e r a n d u n c h a n g i n g position within the invariant simple structure. But t h e r e m a y b e n o s u c h t h i n g a s a n " o v e r d e t e r m i n e d " s i m p l e struct u r e , i n w h i c h all possible f a c t o r a x e s h a v e b e e n d i s c o v e r e d . Perh a p s t h e f a c t o r a x e s a r e n o t f i x e d i n n u m b e r , b u t subject t o u n l i m i t e d i n c r e a s e a s n e w tests a r e a d d e d . P e r h a p s t h e y a r e truly t e s t - d e p e n d e n t , a n d n o t real u n d e r l y i n g entities a t all. T h e v e r y fact that e s t i m a t e s f o r t h e n u m b e r o f p r i m a r y abilities h a v e r a n g e d f r o m T h u r s t o n e ' s 7 o r s o t o G u i l f o r d ' s 1 2 0 o r m o r e indicates that vectors o f m i n d m a y b e f i g m e n t s o f m i n d . I f S p e a r m a n a t t a c k e d T h u r s t o n e b y s u p p o r t i n g his b e l o v e d g , t h e n B u r t p a r r i e d by d e f e n d i n g a subject e q u a l l y close to his h e a r t — t h e identification o f g r o u p factors b y clusters o f positive and negative projections on bipolar axes. T h u r s t o n e had attacked S p e a r m a n a n d B u r t b y a g r e e i n g that factors m u s t b e reified, b u t d i s p a r a g i n g t h e E n g l i s h m e t h o d f o r d o i n g so. H e d i s m i s s e d S p e a r man's g as t o o v a r i a b l e in p o s i t i o n , a n d r e j e c t e d B u r t ' s b i p o l a r factors b e c a u s e " n e g a t i v e abilities" c a n n o t exist. B u r t r e p l i e d , q u i t e p r o p e r l y , that T h u r s t o n e was t o o u n s u b t l e a reifier. F a c t o r s a r e n o t material objects i n t h e h e a d , b u t p r i n c i p l e s o f classification that o r d e r reality. ( B u r t o f t e n a r g u e d t h e c o n t r a r y position a s w e l l — s e e p . 3 1 8 - 3 2 2 . ) Classification p r o c e e d s b y logical d i c h o t o m y a n d ntithesis ( B u r t , 1 9 3 9 ) . N e g a t i v e p r o j e c t i o n s d o n o t i m p l y that a ~rson has less t h a n z e r o of a d e f i n i t e t h i n g . T h e y o n l y r e c o r d a relative c o n t r a s t b e t w e e n t w o abstract qualities o f t h o u g h t . M o r e o f m e t h i n g usually g o e s with less o f a n o t h e r — a d m i n i s t r a t i v e w o r k d scholarly p r o d u c t i v i t y , f o r e x a m p l e . A s their t r u m p c a r d , b o t h S p e a r m a n a n d B u r t a r g u e d that l u r s t o n e h a d n o t p r o d u c e d a c o g e n t revision o f their reality, b u t nly a n a l t e r n a t i v e m a t h e m a t i c s f o r t h e s a m e d a t a . We may, of course, invent methods of factorial research that will always ield a factor-pattern showing s o m e d e g r e e of "hierarchical" formation of if we prefer) what is sometimes called "simple structure." But again the ults will mean little or nothing: using the former, we could almost
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always demonstrate that a general factor exists; using the latter, we could almost always demonstrate, even with the s a m e set of data, that it does not exist (Burt, 1940, p p . 27-28). B u t d i d n ' t B u r t a n d S p e a r m a n u n d e r s t a n d that this v e r y d e f e n s e c o n s t i t u t e d their o w n u n d o i n g a s w e l l a s T h u r s t o n e ' s ? T h e y were right, undeniably right. T h u r s t o n e had not proven an a l t e r n a t e reality. H e h a d b e g u n f r o m d i f f e r e n t a s s u m p t i o n s a b o u t the structure of mind and invented a mathematical scheme more i n a c c o r d with his p r e f e r e n c e s . B u t t h e s a m e criticism a p p l i e s with e q u a l f o r c e t o S p e a r m a n a n d B u r t . T h e y t o o h a d started with a n assumption about the nature of intelligence and had devised a m a t h e m a t i c a l s y s t e m t o b u t t r e s s it. I f t h e s a m e d a t a c a n b e f i t into t w o s u c h d i f f e r e n t m a t h e m a t i c a l s c h e m e s , h o w c a n w e say with a s s u r a n c e that o n e r e p r e s e n t s reality a n d t h e o t h e r a d i v e r s i o n a r y t i n k e r i n g ? P e r h a p s b o t h v i e w s o f reality a r e w r o n g , a n d their m u t u a l f a i l u r e lies in t h e i r c o m m o n e r r o r : a s h a r e d b e l i e f in the reification o f f a c t o r s . C o p e r n i c u s was r i g h t , e v e n t h o u g h a c c e p t a b l e tables o f p l a n e tary positions c a n b e g e n e r a t e d f r o m P t o l e m y ' s s y s t e m . B u r t a n d S p e a r m a n might be right even t h o u g h Thurstone's mathematics treats t h e s a m e d a t a with e q u a l facility. T o v i n d i c a t e e i t h e r view, s o m e l e g i t i m a t e a p p e a l m u s t b e m a d e o u t s i d e t h e abstract m a t h e matics itself. I n this case, s o m e b i o l o g i c a l g r o u n d i n g m u s t b e discovered. If biochemists h a d ever f o u n d Spearman's cerebral energy, if neurologists had ever m a p p e d Thurstone's PMA's to d e f i n i t e a r e a s o f t h e c e r e b r a l c o r t e x , t h e n t h e basis f o r a p r e f e r e n c e m i g h t h a v e b e e n e s t a b l i s h e d . A l l c o m b a t a n t s m a d e a p p e a l s t o biolo g y a n d a d v a n c e d t e n u o u s c l a i m s , b u t n o c o n c r e t e tie has even b e e n c o n f i r m e d b e t w e e n a n y n e u r o l o g i c a l object a n d a f a c t o r axis. W e a r e left o n l y w i t h t h e m a t h e m a t i c s , a n d t h e r e f o r e cannot v a l i d a t e e i t h e r s y s t e m . B o t h a r e p l a g u e d with t h e c o n c e p t u a l e r r o r of reification. F a c t o r analysis is a fine d e s c r i p t i v e t o o l ; I do not t h i n k that it will u n c o v e r the elusive (and illusory) f a c t o r s , or vect o r s , o f m i n d . T h u r s t o n e d e t h r o n e d g n o t b y b e i n g r i g h t with his alternate system, but by b e i n g equally w r o n g — a n d thus exposing the methodological errors of the entire enterprise.* *Tuddenham ( 1 9 6 2 , p. 5 1 6 ) writes: "Test constructors will continue to employ factorial procedures, provided they pay off in improving the efficiency and predictive value of our test batteries, but the hope that factor analysis can supply a short inven-
THE REAL ERROR OF CYRIL BURT
Oblique axes and second-order g Since T h u r s t o n e p i o n e e r e d the geometrical representation of tests as v e c t o r s , it is s u r p r i s i n g that he d i d n ' t i m m e d i a t e l y g r a s p a t e c h n i c a l d e f i c i e n c y in his analysis. If tests a r e positively c o r r e l a t e d , t h e n all vectors m u s t f o r m a set in w h i c h no t w o a r e s e p a r a t e d by a n a n g l e o f m o r e t h a n 9 0 (for a r i g h t a n g l e i m p l i e s a c o r r e l a t i o n coefficient o f z e r o ) . T h u r s t o n e w i s h e d t o p u t his s i m p l e s t r u c t u r e axes as n e a r as possible to clusters w i t h i n the total set of v e c t o r s . Y e t h e insisted that a x e s b e p e r p e n d i c u l a r t o e a c h o t h e r . T h i s criterion g u a r a n t e e s that a x e s c a n n o t lie really close to clusters of vectors—as Fig. 6 . 1 1 indicates. For the maximal separation of vectors is less t h a n 90°, a n d a n y t w o a x e s , f o r c e d to be p e r p e n d i c u l a r , m u s t t h e r e f o r e lie o u t s i d e t h e clusters t h e m s e l v e s . W h y n o t a b a n d o n this c r i t e r i o n , let t h e a x e s t h e m s e l v e s b e c o r r e l a t e d ( s e p a r a t e d b y a n angle o f less t h a n 9 0 ) , a n d p e r m i t t h e m t o lie r i g h t w i t h i n t h e clusters of vectors? 0
0
Perpendicular axes have a great conceptual advantage. T h e y are m a t h e m a t i c a l l y i n d e p e n d e n t ( u n c o r r e l a t e d ) . I f o n e w i s h e s t o identify f a c t o r a x e s a s " p r i m a r y m e n t a l abilities," p e r h a p s t h e y h a d best b e u n c o r r e l a t e d — f o r i f f a c t o r a x e s a r e t h e m s e l v e s c o r r e l a t e d , then d o e s n ' t t h e c a u s e o f that c o r r e l a t i o n b e c o m e m o r e " p r i m a r y " than t h e factors t h e m s e l v e s ? B u t c o r r e l a t e d a x e s also h a v e a d i f f e r ent k i n d o f c o n c e p t u a l a d v a n t a g e : they c a n b e p l a c e d n e a r e r t o clusters o f v e c t o r s that m a y r e p r e s e n t " m e n t a l abilities." Y o u can't have i t b o t h w a y s f o r sets o f v e c t o r s d r a w n f r o m a m a t r i x o f positive correlation coefficients: f a c t o r s m a y b e i n d e p e n d e n t a n d o n l y close to clusters, or c o r r e l a t e d a n d w i t h i n clusters. ( N e i t h e r s y s t e m is "better"; e a c h h a s its a d v a n t a g e s i n c e r t a i n c i r c u m s t a n c e s . C o r r e lated a n d u n c o r r e l a t e d a x e s a r e b o t h still u s e d , a n d t h e a r g u m e n t c o n t i n u e s , e v e n i n t h e s e d a y s o f c o m p u t e r i z e d sophistication i n factor analysis.) T h u r s t o n e invented rotated axes and simple structure in the early 1930s. I n the late 1930s h e b e g a n t o e x p e r i m e n t w i t h sotory of 'basic abilities' is already waning. The continuous difficulties with factor analysis over the last half century suggest that there may be something fundamentally rong with models which conceptualize intelligence in terms of a finite number of "near dimensions. To the statistician's dictum that whatever exists can be measured, * factorist has added the assumption that whatever can be 'measured' must exist, ut the relation may not be reversible, and the assumption may be false." w
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called o b l i q u e s i m p l e s t r u c t u r e s , o r systems o f c o r r e l a t e d a x e s . ( U n c o r r e l a t e d a x e s a r e called " o r t h o g o n a l " o r m u t u a l l y p e r p e n d i c ular; correlated axes are "oblique" because the angle between t h e m is less t h a n 90°.) J u s t as s e v e r a l m e t h o d s m a y be u s e d f o r d e t e r m i n ing orthogonal simple structure, oblique axes can be calculated in a v a r i e t y of w a y s , t h o u g h t h e object is always to p l a c e a x e s within clusters o f v e c t o r s . I n o n e relatively s i m p l e m e t h o d , s h o w n i n Fig. 6 . 1 1 , a c t u a l v e c t o r s o c c u p y i n g e x t r e m e positions within t h e total set a r e u s e d a s f a c t o r a x e s . N o t e , i n c o n t r a s t i n g F i g s . 6.7 a n d 6 . 1 1 , h o w the f a c t o r a x e s f o r v e r b a l a n d m a t h e m a t i c a l skills h a v e m o v e d f r o m o u t s i d e t h e a c t u a l clusters (in t h e o r t h o g o n a l solution) to the clusters t h e m s e l v e s (in t h e o b l i q u e s o l u t i o n ) . M o s t factor-analysts w o r k u p o n t h e a s s u m p t i o n that c o r r e l a tions m a y h a v e c a u s e s a n d that f a c t o r a x e s m a y h e l p u s t o identify them. If the factor axes are themselves correlated, why not apply 6*11 Thurstone's oblique simple structure axes for the same four mental tests depicted in Figs. 6-6 and 6-7. Factor axes are no longer perpendicular to each other. In this example, the factor axes coincide with the peripheral vectors of the cluster.
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t h e s a m e a r g u m e n t a n d ask w h e t h e r this c o r r e l a t i o n reflects s o m e h i g h e r o r m o r e basic c a u s e ? T h e o b l i q u e a x e s o f a s i m p l e s t r u c t u r e f o r m e n t a l tests a r e usually positively c o r r e l a t e d (as in Fig. 6 . 1 1 ) . M a y n o t t h e c a u s e o f this c o r r e l a t i o n b e identified with S p e a r m a n ' s g? Is t h e o l d g e n e r a l f a c t o r i n e l u c t a b l e a f t e r all? T h u r s t o n e w r e s t l e d with w h a t h e called this " s e c o n d - o r d e r " g . I c o n f e s s that I do n o t u n d e r s t a n d w h y he w r e s t l e d so h a r d , unless the m a n y y e a r s o f w o r k i n g with o r t h o g o n a l solutions h a d set his mind and r e n d e r e d the concept too unfamiliar to accept at first. If a n y o n e u n d e r s t o o d the geometrical representation of vectors, it was T h u r s t o n e . T h i s r e p r e s e n t a t i o n g u a r a n t e e s that o b l i q u e a x e s will be positively c o r r e l a t e d , a n d that a s e c o n d - o r d e r g e n e r a l f a c t o r m u s t t h e r e f o r e exist. S e c o n d - o r d e r g is m e r e l y a f a n c i e r w a y of a c k n o w l e d g i n g w h a t t h e r a w c o r r e l a t i o n coefficients s h o w — t h a t n e a r l y all c o r r e l a t i o n coefficients b e t w e e n m e n t a l tests a r e positive. I n a n y case, T h u r s t o n e f i n a l l y b o w e d t o inevitability a n d a d m i t ted t h e e x i s t e n c e o f a s e c o n d - o r d e r g e n e r a l f a c t o r . H e o n c e e v e n described it in almost Spearmanian terms (1946, p. 110): i e r e seems to exist a large numbei of special abilities that can be identified as primary abilities by the factorial methods, and underlying these special abilities there seems to exist s o m e central energizing factor which promotes the activity of all these special abilities. I t m i g h t a p p e a r a s i f all the s o u n d a n d f u r y o f T h u r s t o n e ' s d e b a t e with t h e British factorists e n d e d i n a k i n d o f stately c o m p r o mise, m o r e f a v o r a b l e t o B u r t a n d S p e a r m a n , a n d p l a c i n g p o o r T h u r s t o n e i n t h e u n e n v i a b l e position o f s t r u g g l i n g t o save f a c e . I f the c o r r e l a t i o n of o b l i q u e a x e s yields a s e c o n d - o r d e r g, t h e n w e r e n ' t S p e a r m a n a n d B u r t r i g h t all a l o n g i n their f u n d a m e n t a l insistence u p o n a g e n e r a l f a c t o r ? T h u r s t o n e m a y h a v e s h o w n that g r o u p factors w e r e m o r e i m p o r t a n t t h a n a n y British factorist h a d ever a d m i t t e d , b u t h a d n ' t the p r i m a c y of g r e a s s e r t e d itself? A r t h u r Jensen (1979) presents such an interpretation, but it badly m i s r e p r e s e n t s t h e history of this d e b a t e . S e c o n d - o r d e r g d i d ot unite t h e d i s p a r a t e schools o f T h u r s t o n e a n d the British facorists; it d i d n o t e v e n p r o d u c e a substantial c o m p r o m i s e on e i t h e r ' d e . A f t e r all, the q u o t e s I cited f r o m T h u r s t o n e o n the futility o f n k i n g b y I Q a n d t h e necessity o f c o n s t r u c t i n g profiles b a s e d o n n m a r y m e n t a l abilities f o r e a c h i n d i v i d u a l w e r e w r i t t e n a f t e r h e
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h a d a d m i t t e d t h e s e c o n d - o r d e r g e n e r a l f a c t o r . T h e t w o schools w e r e not united and S p e a r m a n ' s g was not vindicated for three basic r e a s o n s : 1. F o r S p e a r m a n a n d B u r t . g c a n n o t m e r e l y exist; i t m u s t d o m i n a t e . T h e hierarchical v i e w — w i t h a c o n t r o l l i n g i n n a t e g a n d subsidiary t r a i n a b l e g r o u p f a c t o r s — w a s f u n d a m e n t a l f o r t h e British s c h o o l . H o w else c o u l d u n i l i n e a r r a n k i n g b e s u p p o r t e d ? H o w else c o u l d t h e 1 1 + e x a m i n a t i o n b e d e f e n d e d ? F o r this e x a m i n a t i o n s u p p o s e d l y m e a s u r e d a c o n t r o l l i n g m e n t a l f o r c e that d e f i n e d a c h i l d ' s g e n e r a l p o t e n t i a l a n d s h a p e d his e n t i r e intellectual f u t u r e . T h u r s t o n e a d m i t t e d a s e c o n d - o r d e r g, b u t he r e g a r d e d it as secondary in i m p o r t a n c e to w h a t he c o n t i n u e d to call " p r i m a r y " m e n t a l abilities. Q u i t e a p a r t f r o m a n y p s y c h o l o g i c a l s p e c u l a t i o n , t h e basic m a t h e m a t i c s c e r t a i n l y s u p p o r t s T h u r s t o n e ' s view. S e c o n d o r d e r g (the c o r r e l a t i o n o f o b l i q u e s i m p l e s t r u c t u r e a x e s ) r a r e l y a c c o u n t s f o r m o r e t h a n a s m a l l p e r c e n t a g e o f t h e total i n f o r m a t i o n i n a m a t r i x o f tests. O n t h e o t h e r h a n d , S p e a r m a n ' s g (the first principal component) often encompasses m o r e than half the inform a t i o n . T h e e n t i r e p s y c h o l o g i c a l a p p a r a t u s , a n d all t h e p r a c t i c a l s c h e m e s , o f the British s c h o o l d e p e n d e d u p o n t h e p r e e m i n e n c e o f g, n o t its m e r e p r e s e n c e . W h e n T h u r s t o n e r e v i s e d The Vectors of Mind in 1 9 4 7 , a f t e r a d m i t t i n g a s e c o n d - o r d e r g e n e r a l f a c t o r , he c o n t i n u e d t o c o n t r a s t h i m s e l f w i t h t h e B r i t i s h factorists b y a r g u i n g that his s c h e m e t r e a t e d g r o u p f a c t o r s a s p r i m a r y a n d t h e s e c o n d o r d e r general factor as residual, while they extolled g a n d conside r e d g r o u p factors a s s e c o n d a r y . 2. T h e central reason for claiming that T h u r s t o n e ' s alternate v i e w d i s p r o v e s t h e n e c e s s a r y reality of S p e a r m a n ' s g retains its full f o r c e . T h u r s t o n e d e r i v e d his c o n t r a s t i n g i n t e r p r e t a t i o n f r o m the same data simply by placing factor axes in different locations. O n e could no longer m o v e directly f r o m the mathematics of factor axes to a p s y c h o l o g i c a l m e a n i n g . I n the a b s e n c e o f c o r r o b o r a t i v e e v i d e n c e f r o m b i o l o g y f o r o n e scheme or the other, h o w can o n e decide? Ultimately, h o w e v e r m u c h a scientist h a t e s to a d m i t it, t h e d e c i s i o n b e c o m e s a m a t t e r of taste, o r o f p r i o r p r e f e r e n c e b a s e d o n p e r s o n a l o r c u l t u r a l biases. S p e a r m a n a n d B u r t , a s p r i v i l e g e d citizens o f class-conscious Brita i n , d e f e n d e d g a n d its l i n e a r r a n k i n g . T h u r s t o n e p r e f e r r e d individual profiles and numerous primary abilities. In an
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unintentionally a m u s i n g aside, T h u r s t o n e once m u s e d over the t e c h n i c a l d i f f e r e n c e s b e t w e e n B u r t a n d himself, a n d d e c i d e d that Burt's propensity for algebraic rather than geometrical representation o f f a c t o r s a r o s e f r o m his d e f i c i e n c y i n t h e spatial P M A : T h e configurational interpretations are evidently distasteful to Burt, for he does not have a single diagram in his text. Perhaps this is indicative of individual differences in imagery types which lead to differences in m e t h o d s and interpretation a m o n g scientists (1947, p. ix). 3. B u r t and S p e a r m a n based their psychological interpretation of f a c t o r s on a b e l i e f that g was d o m i n a n t and r e a l — a n i n n a t e , g e n e r a l i n t e l l i g e n c e , m a r k i n g a p e r s o n ' s essential n a t u r e . T h u r s t o n e ' s analysis p e r m i t t e d t h e m , at best, a w e a k s e c o n d - o r d e r g. B u t s u p p o s e t h e y h a d p r e v a i l e d a n d e s t a b l i s h e d t h e inevitability o f a d o m i n a n t g? T h e i r a r g u m e n t still w o u l d h a v e f a i l e d f o r a r e a s o n so basic that i t p a s s e d e v e r y b o d y by. T h e p r o b l e m r e s i d e d i n a logical e r r o r c o m m i t t e d b y all t h e g r e a t factorists I h a v e d i s c u s s e d — t h e d e s i r e to reify f a c t o r s as entities. In a c u r i o u s w a y , t h e e n t i r e h i s t o r y that I h a v e t r a c e d d i d n ' t m a t t e r . I f B u r t a n d T h u r s t o n e h a d n e v e r lived, i f a n e n t i r e p r o f e s s i o n h a d b e e n p e r m a n e n t l y satisfied with S p e a r m a n ' s t w o - f a c t o r t h e o r y a n d h a d b e e n s i n g i n g t h e praises o f its d o m i n a n t g f o r t h r e e - q u a r t e r s of a c e n t u r y since he p r o p o s e d it, the flaw w o u l d be as g l a r i n g still. T h e fact o f p e r v a s i v e positive c o r r e l a t i o n b e t w e e n m e n t a l tests m u s t b e a m o n g t h e m o s t u n s u r p r i s i n g m a j o r d i s c o v e r i e s i n t h e history o f s c i e n c e . F o r positive c o r r e l a t i o n i s t h e p r e d i c t i o n o f a l m o s t e v e r y c o n t r a d i c t o r y t h e o r y a b o u t its p o t e n t i a l c a u s e , i n c l u d i n g b o t h e x t r e m e views: p u r e hereditarianism (which S p e a r m a n and B u r t c a m e close t o p r o m u l g a t i n g ) a n d p u r e e n v i r o n m e n t a l i s m ( w h i c h n o major t h i n k e r h a s e v e r b e e n foolish e n o u g h t o p r o p o s e ) . I n t h e f i r s t , p e o p l e d o j o i n t l y well o r p o o r l y o n all sorts o f tests b e c a u s e they a r e b o r n e i t h e r s m a r t o r s t u p i d . I n t h e s e c o n d , t h e y d o j o i n t l y well o r p o o r l y b e c a u s e t h e y e i t h e r a t e , r e a d , l e a r n e d , a n d l i v e d i n an enriched or a d e p r i v e d fashion as children. Since both theories p r e d i c t p e r v a s i v e positive c o r r e l a t i o n , t h e fact o f c o r r e l a t i o n itself can c o n f i r m n e i t h e r . S i n c e g is m e r e l y o n e e l a b o r a t e w a y of e x p r e s s i n g t h e c o r r e l a t i o n s , its p u t a t i v e e x i s t e n c e also says n o t h i n g about c a u s e s .
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Thurstone on the uses of factor analysts T h u r s t o n e s o m e t i m e s a d v a n c e d g r a n d i o s e claims f o r t h e e x p l a n a t o r y s c o p e o f his w o r k . B u t h e also p o s s e s s e d a s t r e a k o f m o d e s t y t h a t o n e n e v e r detects i n B u r t o r S p e a r m a n . I n reflective m o m e n t s , he r e c o g n i z e d that t h e c h o i c e of f a c t o r analysis as a m e t h o d r e c o r d s t h e p r i m i t i v e state o f k n o w l e d g e i n a f i e l d . F a c t o r analysis is a b r u t a l l y e m p i r i c a l t e c h n i q u e , u s e d w h e n a d i s c i p l i n e h a s n o f i r m l y e s t a b l i s h e d p r i n c i p l e s , b u t o n l y a mass o f c r u d e d a t a , a n d a h o p e that p a t t e r n s o f c o r r e l a t i o n m i g h t p r o v i d e s u g g e s t i o n s f o r f u r t h e r a n d m o r e f r u i t f u l lines o f i n q u i r y . T h u r s t o n e w r o t e (1935, p. xi): No o n e would think of investigating the fundamental laws of classical mechanics by correlational m e t h o d s or by factor methods, because the laws of classical mechanics are already well known. If nothing were known about the law of falling bodies, it would be sensible to analyze, factorially, a great many attributes of objects that are d r o p p e d or thrown from an elevated point. It would then be discovered that o n e factor is heavily loaded with the time of fall and with the distance fallen but that this factor has a zero loading in the weight of the object. T h e usefulness of the factor m e t h o d s will be at the borderline of science. N o t h i n g h a d c h a n g e d w h e n he r e v i s e d The Vectors of Mind ( 1 9 4 7 , p . 56): T h e exploratory nature of factor analysis is often not understood. Factor analysis has its principal usefulness at the borderline of science. . . . Factor analysis is useful, especially in those domains where basic and fruitful concepts are essentially lacking and where crucial experiments have been difficult to conceive. T h e new m e t h o d s have a humble role. T h e y enable us to make only the crudest first map of a new domain. N o t e t h e c o m m o n p h r a s e — u s e f u l "at t h e b o r d e r l i n e o f scie n c e . " A c c o r d i n g t o T h u r s t o n e , the decision t o u s e f a c t o r analysis as a p r i m a r y m e t h o d i m p l i e s a d e e p i g n o r a n c e of p r i n c i p l e s a n d c a u s e s . T h a t t h e t h r e e g r e a t e s t factorists i n p s y c h o l o g y n e v e r got b e y o n d t h e s e m e t h o d s — d e s p i t e all t h e i r lip s e r v i c e t o n e u r o l o g y , e n d o c r i n o l o g y , a n d o t h e r p o t e n t i a l w a y s o f d i s c o v e r i n g a n innate b i o l o g y — p r o v e s h o w r i g h t T h u r s t o n e w a s . T h e t r a g e d y o f this tale is that t h e British h e r e d i t a r i a n s p r o m o t e d an innatist i n t e r p r e t a t i o n o f d o m i n a n t g n o n e t h e l e s s , a n d t h e r e b y b l u n t e d t h e h o p e s o f millions.
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Epilogue: Arthur Jensen and the resurrection of Spearman's g W h e n I r e s e a r c h e d this c h a p t e r in 1 9 7 9 , I k n e w that t h e g h o s t o f S p e a r m a n ' s g still h a u n t e d m o d e r n t h e o r i e s o f i n t e l l i g e n c e . B u t I t h o u g h t that its i m a g e was v e i l e d , a n d its i n f l u e n c e l a r g e l y u n r e c o g n i z e d . I h o p e d that a historical analysis of c o n c e p t u a l e r r o r s in its f o r m u l a t i o n a n d u s e m i g h t e x p o s e t h e h i d d e n fallacies i n s o m e contemporary views of intelligence and I Q . I never expected to f i n d a m o d e r n d e f e n s e o f I Q f r o m a n explicitly S p e a r m a n i a n p e r spective. B u t then America's best-known hereditarian, A r t h u r Jensen ('979) revealed himself as an unreconstructed Spearmanian, and c e n t e r e d a n e i g h t - h u n d r e d - p a g e d e f e n s e o f I Q o n t h e reality o f g . M o r e recently, R i c h a r d H e r r n s t e i n a n d C h a r l e s M u r r a y also base their e q u a l l y l o n g Bell Curve ( 1 9 9 4) on the s a m e fallacy. I shall a n a lyze J e n s e n ' s e r r o r h e r e a n d The Bell Curve's v e r s i o n in the first two essays a t t h e e n d o f t h e b o o k . History o f t e n cycles its e r r o r s . J e n s e n p e r f o r m s m o s t o f his f a c t o r a n a l y s e s i n S p e a r m a n a n d Burt's p r e f e r r e d principal c o m p o n e n t s orientation (though he is also w i l l i n g to a c c e p t g in t h e f o r m of T h u r s t o n e ' s c o r r e l a t i o n b e t w e e n o b l i q u e s i m p l e s t r u c t u r e axes). T h r o u g h o u t t h e b o o k , h e n a m e s a n d reifies factors b y t h e u s u a l invalid a p p e a l t o m a t h e m a t ical p a t t e r n a l o n e . We h a v e g's f o r g e n e r a l i n t e l l i g e n c e as well as g's f o r g e n e r a l athletic ability (with s u b s i d i a r y g r o u p factors f o r h a n d and a r m s t r e n g t h , h a n d - e y e c o o r d i n a t i o n , a n d b o d y b a l a n c e ) . J e n s e n explicitly d e f i n e s i n t e l l i g e n c e as " t h e g f a c t o r of an indefinitely l a r g e a n d v a r i e d b a t t e r y o f m e n t a l tests" (p. 249). " W e identify i n t e l l i g e n c e with g," he states. " T o t h e e x t e n t that a test o r d e r s i n d i v i d u a l s on g, it c a n be said to be a test of i n t e l l i g e n c e " (p. 224). I Q i s o u r m o s t e f f e c t i v e test o f i n t e l l i g e n c e b e c a u s e i t p r o j ects so s t r o n g l y u p o n t h e first p r i n c i p a l c o m p o n e n t (g) in f a c t o r analyses o f m e n t a l tests. J e n s e n r e p o r t s (p. 2 1 9 ) that Full Scale I Q of the W e c h s l e r a d u l t scale c o r r e l a t e s a b o u t 0.9 w i t h g, w h i l e t h e •937 S t a n f o r d - B i n e t projects a b o u t 0.8 u p o n a g that r e m a i n s "highly stable o v e r successive a g e l e v e l s " (while t h e f e w small g r o u p factors are n o t a l w a y s p r e s e n t a n d t e n d t o b e u n s t a b l e i n a n y case). J e n s e n p r o c l a i m s t h e " u b i q u i t y " of g, e x t e n d i n g its s c o p e into realms that m i g h t e v e n h a v e e m b a r r a s s e d S p e a r m a n himself. J e n sen w o u l d n o t o n l y r a n k p e o p l e ; h e b e l i e v e s that all G o d ' s c r e a t u r e s
THE MISMKASURE O F M A N c a n b e o r d e r e d onag scale f r o m a m o e b a e a t t h e b o t t o m (p. 175) t o e x t r a t e r r e s t r i a l i n t e l l i g e n c e s at the t o p (p. 248). I h a v e n o t e n c o u n t e r e d s u c h an e x p l i c i t c h a i n of b e i n g since last I r e a d K a n t ' s specu l a t i o n s a b o u t h i g h e r b e i n g s o n J u p i t e r that b r i d g e t h e g a p between man and God. J e n s e n has c o m b i n e d t w o o f t h e o l d e s t c u l t u r a l p r e j u d i c e s o f Western thought: the ladder of progress as a m o d e l for organizing life, a n d t h e reification of s o m e abstract quality as a c r i t e r i o n f o r r a n k i n g . J e n s e n c h o o s e s " i n t e l l i g e n c e " a n d actually claims that the p e r f o r m a n c e o f i n v e r t e b r a t e s , f i s h e s , a n d turtles o n s i m p l e b e h a v ioral tests r e p r e s e n t s , i n d i m i n i s h e d f o r m , t h e s a m e e s s e n c e that h u m a n s possess in g r e a t e r a b u n d a n c e — n a m e l y g, reified as a m e a s u r a b l e object. E v o l u t i o n t h e n b e c o m e s a m a r c h u p t h e l a d d e r t o realms of m o r e and m o r e g. As a p a l e o n t o l o g i s t , I am a s t o u n d e d . E v o l u t i o n f o r m s a c o p i ously b r a n c h i n g b u s h , n o t a u n i l i n e a r p r o g r e s s i v e s e q u e n c e . J e n s e n s p e a k s o f " d i f f e r e n t levels o f the p h y l e t i c s c a l e — t h a t is, e a r t h w o r m s , c r a b s , f i s h e s , turtles, p i g e o n s , rats, a n d m o n k e y s . " D o e s n ' t h e realize that m o d e r n e a r t h w o r m s a n d c r a b s a r e d e s c e n d a n t s o f l i n e a g e s that h a v e e v o l v e d s e p a r a t e l y f r o m v e r t e b r a t e s f o r m o r e t h a n 500 million y e a r s ? T h e y a r e n o t o u r a n c e s t o r s ; t h e y a r e n o t e v e n " l o w e r " o r less c o m p l i c a t e d t h a n h u m a n s i n any m e a n i n g f u l sense. T h e y r e p r e s e n t g o o d solutions f o r their o w n way o f life; they m u s t n o t b e j u d g e d b y t h e h u b r i s t i c n o t i o n that o n e p e c u l i a r prim a t e f o r m s a s t a n d a r d f o r all o f life. A s f o r v e r t e b r a t e s , " t h e t u r t l e " is n o t , as J e n s e n c l a i m s , " p h y l o g e n e t i c a l l y h i g h e r t h a n t h e fish." T u r t l e s e v o l v e d m u c h e a r l i e r t h a n m o s t m o d e r n f i s h e s , a n d they exist a s h u n d r e d s o f s p e c i e s , w h i l e m o d e r n b o n y f i s h e s i n c l u d e a l m o s t t w e n t y t h o u s a n d distinct k i n d s . W h a t t h e n is "the fish" a n d "the t u r t l e " ? D o e s J e n s e n really t h i n k that p i g e o n - r a t - m o n k e y h u m a n represents an evolutionary sequence a m o n g warm-blooded vertebrates? J e n s e n ' s c a r i c a t u r e o f e v o l u t i o n e x p o s e s his p r e f e r e n c e f o r u n i l i n e a r r a n k i n g by i m p l i e d w o r t h . W i t h s u c h a p e r s p e c t i v e , g b e c o m e s a l m o s t irresistible, a n d J e n s e n uses it as a u n i v e r s a l criterion of rank: T h e c o m m o n f e a t u r e s o f e x p e r i m e n t a l tests d e v e l o p e d b y c o m p a r a t i v e psychologists t h a t m o s t clearly d i s t i n g u i s h , say, c h i c k e n s f r o m d o g s , dogs from m o n k e y s , a n d m o n k e y s from c h i m p a n z e e s suggests t h a t they a r e
THE REAL ERROR OF CYRIL B U R T
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roughly scalable along ag dimension . . .g can be viewed as an interspecies concept with a broad biological base culminating in the primates (p. 251). N o t satisfied w i t h a w a r d i n g g a r e a l status a s g u a r d i a n o f e a r t h l y ranks, Jensen would extend it throughout the universe, arguing that all c o n c e i v a b l e i n t e l l i g e n c e m u s t b e m e a s u r e d b y it: T h e ubiquity of the concept of intelligence is clearly seen in discussions of the most culturally different beings o n e could well imagine—extraterrestrial life in the universe. . . . Can o n e easily imagine "intelligent" beings for w h o m there is no g, or whose g is qualitatively rather than quantitatively different f r o m g as we know it (p. 248). J e n s e n discusses T h u r s t o n e ' s w o r k , b u t dismisses it as a criticism b e c a u s e T h u r s t o n e e v e n t u a l l y a d m i t t e d a s e c o n d - o r d e r g. B u t J e n s e n has n o t r e c o g n i z e d that if g is o n l y a n u m e r i c a l l y w e a k , seco n d - o r d e r e f f e c t , t h e n it c a n n o t s u p p o r t a c l a i m that i n t e l l i g e n c e is a u n i t a r y , d o m i n a n t entity of m e n t a l f u n c t i o n i n g . I t h i n k that J e n sen senses his difficulty, b e c a u s e o n o n e c h a r t (p. 220) h e calculates b o t h classical g as a first p r i n c i p a l c o m p o n e n t a n d t h e n rotates all the f a c t o r s ( i n c l u d i n g g) to o b t a i n a set of s i m p l e s t r u c t u r e a x e s . T h u s , h e r e c o r d s t h e s a m e t h i n g twice f o r e a c h t e s t — g a s a f i r s t principal c o m p o n e n t and the same information dispersed a m o n g s i m p l e s t r u c t u r e a x e s — g i v i n g s o m e tests a total i n f o r m a t i o n o f m o r e t h a n 100 p e r c e n t . S i n c e b i g g ' s a p p e a r i n t h e s a m e c h a r t with l a r g e l o a d i n g s o n s i m p l e - s t r u c t u r e a x e s , o n e m i g h t b e falsely l e d t o infer t h a t g remains large even in simple-structure solutions. Jensen is contemptuous of Thurstone's orthogonal simple s t r u c t u r e , d i s m i s s i n g it as "flatly w r o n g " (p. 6 7 5 ) a n d as "scientifically a n e g r e g i o u s e r r o r " (p. 258). S i n c e h e a c k n o w l e d g e s that simple s t r u c t u r e i s m a t h e m a t i c a l l y e q u i v a l e n t t o p r i n c i p a l c o m p o n e n t s , w h y t h e u n c o m p r o m i s i n g rejection? I t i s w r o n g , J e n s e n a r g u e s , " n o t m a t h e m a t i c a l l y , b u t p s y c h o l o g i c a l l y a n d scientifically" (p. 6 7 5 ) b e c a u s e "it artificially h i d e s o r s u b m e r g e s t h e l a r g e g e n e r a l f a c t o r " (p. 258) by r o t a t i n g it a w a y . J e n s e n has f a l l e n i n t o a vicious circle. H e a s s u m e s a p r i o r i t h a t g exists a n d t h a t s i m p l e s t r u c t u r e i s w r o n g because it disperses g. B u t T h u r s t o n e d e v e l o p e d the concept of simple s t r u c t u r e l a r g e l y to c l a i m that g is a m a t h e m a t i c a l artifact. T h u r s t o n e wished to disperse g and succeeded; it is no d i s p r o o f of his p o s i t i o n t o r e i t e r a t e t h a t h e d i d so. J e n s e n also u s e s g m o r e specifically to b u t t r e s s his c l a i m that t h e a v e r a g e d i f f e r e n c e i n I Q b e t w e e n whites a n d b l a c k s r e c o r d s a n
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i n n a t e d e f i c i e n c y o f i n t e l l i g e n c e a m o n g blacks. H e cites t h e q u o t a tion o n p . 2 7 1 a s " S p e a r m a n ' s i n t e r e s t i n g h y p o t h e s i s " that blacks s c o r e m o s t p o o r l y w i t h r e s p e c t t o whites o n tests s t r o n g l y c o r r e l a t e d w i t h g: This hypothesis is important to the study of test bias, because, if true, it means that the white-black difference in test scores is not mainly attributable to idiosyncratic cultural peculiarities in this or that test, but to a general factor that all the ability tests measure in c o m m o n . A m e a n difference between populations that is related to o n e or m o r e small g r o u p factors would seem to be explained m o r e easily in terms of cultural differences than if the mean g r o u p difference is most closely related to a broad general factor c o m m o n to a wide variety of tests (p. 535). H e r e w e see a r e i n c a r n a t i o n o f t h e o l d e s t a r g u m e n t i n t h e Spearmanian tradition—the contrast between an innate dominant g a n d t r a i n a b l e g r o u p f a c t o r s . B u t g, as I h a v e s h o w n , is n e i t h e r clearly a t h i n g , n o r necessarily i n n a t e if a t h i n g . E v e n if d a t a e x i s t e d t o c o n f i r m S p e a r m a n ' s " i n t e r e s t i n g h y p o t h e s i s , " t h e results c o u l d not support Jensen's notion of ineluctable, innate difference. I a m g r a t e f u l t o J e n s e n f o r o n e t h i n g : h e has d e m o n s t r a t e d b y e x a m p l e that a reified S p e a r m a n ' s g is still t h e o n l y p r o m i s i n g j u s tification f o r h e r e d i t a r i a n t h e o r i e s o f m e a n d i f f e r e n c e s i n I Q a m o n g h u m a n g r o u p s . The Bell Curve of H e r r n s t e i n a n d M u r r a y ( 1 9 9 4 ) has r e i n f o r c e d this p o v e r t y , i n d e e d b a n k r u p t c y , o f justification for t h e t h e o r y o f u n i t a r y , r a n k a b l e , i n n a t e , a n d effectively imm u t a b l e i n t e l l i g e n c e — f o r these a u t h o r s also g r o u n d their e n t i r e edifice o n t h e fallacy o f S p e a r m a n ' s g . T h e c o n c e p t u a l e r r o r s o f reification h a v e p l a g u e d g f r o m the start, a n d T h u r s t o n e ' s critique r e m a i n s as valid t o d a y as it was in t h e 1930s. S p e a r m a n ' s g is n o t an i n e l u c t a b l e entity; i t r e p r e s e n t s o n e m a t h e m a t i c a l solution a m o n g m a n y e q u i v a l e n t a l t e r n a t i v e s . T h e c h i m e r i c a l n a t u r e o f g i s t h e rotten c o r e of J e n s e n ' s w o r k , The Bell Curve, a n d of the e n t i r e h e r e d i tarian s c h o o l .
A final thought T h e tendency has always been strong to believe that whatever received a n a m e must be an entity or being, having an i n d e p e n d e n t existence of its own. A n d if no real entity answering to the n a m e could be found, m e n did not for that reason suppose that n o n e existed, but imagined that it was something peculiarly abstruse and mysterious. J O H N S T U A R T MILL
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A Positive Conclusion W A L T W H I T M A N , that g r e a t m a n o f little b r a i n (see p . 1 2 4 ) , a d v i s e d u s t o " m a k e m u c h o f n e g a t i v e s , " a n d this b o o k h a s h e e d e d his w o r d s , s o m e m i g h t say with a v e n g e a n c e . W h i l e m o s t o f u s c a n a p p r e c i a t e a c l e a n s i n g b r o o m , s u c h a n object r a r e l y elicits m u c h affection; it certainly p r o d u c e s no integration. B u t I do not r e g a r d this b o o k a s a n e g a t i v e e x e r c i s e i n d e b u n k i n g , o f f e r i n g n o t h i n g i n r e t u r n once the errors of biological determinism are e x p o s e d as social p r e j u d i c e . I b e l i e v e that w e h a v e m u c h t o l e a r n a b o u t o u r selves f r o m t h e u n d e n i a b l e fact that w e a r e e v o l v e d a n i m a l s . T h i s u n d e r s t a n d i n g c a n n o t p e r m e a t e t h r o u g h e n t r e n c h e d habits o f t h o u g h t that l e a d u s t o reify a n d r a n k — h a b i t s that arise w i t h i n social c o n t e x t s a n d s u p p o r t t h e m i n r e t u r n . M y m e s s a g e , a s I h o p e to c o n v e y it at least, is s t r o n g l y positive f o r t h r e e m a j o r r e a s o n s .
Debunking as positive science T h e p o p u l a r i m p r e s s i o n that d i s p r o o f r e p r e s e n t s a n e g a t i v e side o f s c i e n c e arises f r o m a c o m m o n , b u t e r r o n e o u s , v i e w o f history. T h e i d e a o f u n i l i n e a r p r o g r e s s n o t o n l y lies b e h i n d t h e racial r a n k i n g s that I h a v e criticized as social p r e j u d i c e t h r o u g h o u t this b o o k ; i t also s u g g e s t s a false c o n c e p t o f h o w science d e v e l o p s . I n this v i e w , a n y s c i e n c e b e g i n s i n t h e n o t h i n g n e s s o f i g n o r a n c e a n d moves toward truth by gathering m o r e and m o r e information, cons t r u c t i n g t h e o r i e s a s facts a c c u m u l a t e . I n s u c h a w o r l d , d e b u n k i n g would be primarily negative, for it would only shuck some rotten apples from the barrel of accumulating knowledge. But the barrel o f t h e o r y i s a l w a y s full; sciences w o r k with e l a b o r a t e d c o n t e x t s f o r e x p l a i n i n g facts f r o m t h e v e r y o u t s e t . C r e a t i o n i s t b i o l o g y was d e a d
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w r o n g a b o u t the o r i g i n o f s p e c i e s , b u t C u v i e r ' s b r a n d o f c r e a t i o n i s m was n o t a n e m p t i e r o r l e s s - d e v e l o p e d w o r l d v i e w t h a n D a r w i n ' s . Science advances primarily by replacement, not by addition. If the b a r r e l i s always full, t h e n t h e r o t t e n a p p l i e s m u s t b e d i s c a r d e d before better ones can be a d d e d . Scientists d o n o t d e b u n k o n l y t o c l e a n s e a n d p u r g e . T h e y r e f u t e o l d e r i d e a s in the light of a d i f f e r e n t v i e w a b o u t t h e n a t u r e of t h i n g s .
Learning by debunking If more more dices ports
it is to have any e n d u r i n g value, sound d e b u n k i n g must do t h a n r e p l a c e o n e social p r e j u d i c e w i t h a n o t h e r . I t m u s t u s e a d e q u a t e b i o l o g y t o d r i v e o u t fallacious i d e a s . (Social p r e j u themselves may be refractory, but particular biological supfor them can be dislodged.)
W e h a v e r e j e c t e d m a n y specific t h e o r i e s o f b i o l o g i c a l d e t e r m i n ism b e c a u s e o u r k n o w l e d g e a b o u t h u m a n b i o l o g y , e v o l u t i o n , a n d g e n e t i c s has i n c r e a s e d . F o r e x a m p l e , M o r t o n ' s e g r e g i o u s e r r o r s c o u l d n o t be r e p e a t e d in so b a l d a w a y by m o d e r n scientists c o n s t r a i n e d t o follow c a n o n s o f statistical p r o c e d u r e . T h e a n t i d o t e t o G o d d a r d ' s c l a i m that a single g e n e c a u s e s f e e b l e - m i n d e d n e s s was n o t p r i m a r i l y a shift in social p r e f e r e n c e s , b u t an i m p o r t a n t advance in genetical t h e o r y — t h e idea of polygenic inheritance. A b s u r d a s i t s e e m s t o d a y , t h e early M e n d e l i a n s d i d try t o a t t r i b u t e e v e n t h e m o s t s u b t l e a n d c o m p l e x traits (of apolitical a n a t o m y a s well a s c h a r a c t e r ) t o t h e a c t i o n o f single g e n e s . P o l y g e n i c i n h e r i t a n c e a f f i r m s t h e p a r t i c i p a t i o n o f m a n y g e n e s — a n d a h o s t o f environmental a n d interactive effects—in such characters as h u m a n skin c o l o r . M o r e i m p o r t a n t l y , a n d a s a p l e a f o r t h e necessity o f b i o l o g i c a l k n o w l e d g e , t h e r e m a r k a b l e lack o f g e n e t i c d i f f e r e n t i a t i o n a m o n g h u m a n g r o u p s — a m a j o r b i o l o g i c a l basis f o r d e b u n k i n g d e t e r m i n i s m — i s a c o n t i n g e n t fact of e v o l u t i o n a r y h i s t o r y , n o t an a p r i o r i or necessary truth. T h e world might have been o r d e r e d differently. S u p p o s e , f o r e x a m p l e , that o n e o r s e v e r a l species o f o u r a n c e s t r a l g e n u s Australopithecus h a d s u r v i v e d — a p e r f e c t l y r e a s o n a b l e scenar i o i n t h e o r y , since n e w species arise b y splitting o f f f r o m o l d o n e s (with a n c e s t o r s u s u a l l y s u r v i v i n g , at least f o r a t i m e ) , n o t by t h e w h o l e s a l e t r a n s f o r m a t i o n o f a n c e s t o r s t o d e s c e n d a n t s . W e — t h a t is,
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Homo sapiens—would t h e n h a v e f a c e d all t h e m o r a l d i l e m m a s i n v o l v e d i n t r e a t i n g a h u m a n species o f d i s d n c t l y i n f e r i o r m e n t a l c a p a c i t y . W h a t w o u l d w e h a v e d o n e with t h e m — s l a v e r y ? e x t i r p a tion? c o e x i s t e n c e ? m e n i a l l a b o r ? r e s e r v a t i o n s ? z o o s ? S i m i l a r l y , o u r o w n species, Homo sapiens, m i g h t h a v e i n c l u d e d a set o f s u b s p e c i e s (races) w i t h m e a n i n g f u l l y d i f f e r e n t g e n e t i c c a p a c i ties. I f o u r species w e r e millions o f y e a r s old ( m a n y a r e ) , a n d i f its r a c e s h a d b e e n g e o g r a p h i c a l l y s e p a r a t e d f o r m o s t o f this time witho u t significant g e n e t i c i n t e r c h a n g e , t h e n l a r g e g e n e t i c d i f f e r e n c e s m i g h t h a v e slowly a c c u m u l a t e d b e t w e e n g r o u p s . B u t Homo sapiens is, a t m o s t , a f e w h u n d r e d t h o u s a n d y e a r s o l d , a n d all m o d e r n h u m a n races p r o b a b l y split f r o m a c o m m o n ancestral stock o n l y a b o u t a h u n d r e d t h o u s a n d y e a r s a g o . A f e w o u t s t a n d i n g traits of e x t e r n a l a p p e a r a n c e l e a d t o o u r subjective j u d g m e n t o f i m p o r t a n t d i f f e r e n c e s . B u t biologists h a v e r e c e n t l y a f f i r m e d — a s l o n g s u s p e c t e d — that t h e o v e r a l l g e n e t i c d i f f e r e n c e s a m o n g h u m a n races a r e astoni s h i n g l y small. A l t h o u g h f r e q u e n c i e s f o r d i f f e r e n t states o f a g e n e d i f f e r a m o n g r a c e s , w e h a v e f o u n d n o " r a c e g e n e s " — t h a t is, states f i x e d i n c e r t a i n r a c e s a n d a b s e n t f r o m all o t h e r s . L e w o n t i n ( 1 9 7 2 ) studied variation in seventeen genes c o d i n g for differences in blood a n d f o u n d that o n l y 6.3 p e r c e n t o f t h e v a r i a t i o n c a n b e a t t r i b u t e d t o racial m e m b e r s h i p . Fully 8 5 . 4 p e r c e n t o f t h e variation o c c u r r e d w i t h i n local p o p u l a t i o n s (the r e m a i n i n g 8.3 p e r c e n t r e c o r d s d i f f e r e n c e s a m o n g local p o p u l a t i o n s within a r a c e ) . A s L e w o n t i n rem a r k e d (personal communication): if the holocaust comes and a small tribe d e e p i n t h e N e w G u i n e a forests a r e t h e o n l y s u r v i v o r s , a l m o s t all t h e g e n e t i c variation n o w e x p r e s s e d a m o n g t h e i n n u m e r a ble g r o u p s o f o u r f i v e billion p e o p l e will b e p r e s e r v e d . T h i s information about limited genetic differences a m o n g h u m a n g r o u p s is useful as well as interesting, often in the deepest s e n s e — f o r s a v i n g lives. W h e n A m e r i c a n e u g e n i c i s t s a t t r i b u t e d diseases o f p o v e r t y t o t h e i n f e r i o r g e n e t i c c o n s t r u c t i o n o f p o o r p e o p l e , t h e y c o u l d p r o p o s e n o systematic r e m e d y o t h e r t h a n sterilization. W h e n J o s e p h G o l d b e r g e r p r o v e d t h a t p e l l a g r a was n o t a g e n e t i c disorder, but a result of vitamin deficiency a m o n g the p o o r , he c o u l d c u r e it.
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Biology and human nature I f p e o p l e a r e s o similar g e n e t i c a l l y , a n d i f p r e v i o u s claims f o r a d i r e c t b i o l o g i c a l m a p p i n g o f h u m a n affairs h a v e r e c o r d e d c u l t u r a l prejudice and not nature, then does biology come up empty as a g u i d e i n o u r s e a r c h t o k n o w o u r s e l v e s ? A r e w e a f t e r all, a t b i r t h , t h e tabula rasa, or b l a n k slate, i m a g i n e d by s o m e e i g h t e e n t h - c e n t u r y empiricist philosophers? As an evolutionary biologist, I cannot a d o p t s u c h a nihilistic p o s i t i o n w i t h o u t d e n y i n g t h e f u n d a m e n t a l i n s i g h t o f m y p r o f e s s i o n . T h e e v o l u t i o n a r y u n i t y o f h u m a n s with all o t h e r o r g a n i s m s i s t h e c a r d i n a l m e s s a g e o f D a r w i n ' s r e v o l u t i o n f o r nature's most a r r o g a n t species. We are inextricably part of nature, but h u m a n uniqueness is n o t n e g a t e d t h e r e b y . " N o t h i n g b u t " an a n i m a l is as fallacious a statement as "created in God's o w n i m a g e . " It is not m e r e hubris to a r g u e that Homo sapiens is special in s o m e s e n s e — f o r e a c h species is u n i q u e i n its o w n w a y ; shall w e j u d g e a m o n g t h e d a n c e o f t h e b e e s , the song of the h u m p b a c k whale, and h u m a n intelligence? T h e impact o f h u m a n uniqueness u p o n the world has been e n o r m o u s because it has established a new kind of evolution to s u p p o r t t h e t r a n s m i s s i o n across g e n e r a t i o n s o f l e a r n e d k n o w l e d g e and behavior. H u m a n uniqueness resides primarily in o u r brains. I t i s e x p r e s s e d i n t h e c u l t u r e built u p o n o u r i n t e l l i g e n c e a n d t h e p o w e r i t gives u s t o m a n i p u l a t e t h e w o r l d . H u m a n societies c h a n g e b y c u l t u r a l e v o l u t i o n , n o t a s a result o f b i o l o g i c a l a l t e r a t i o n . W e h a v e n o e v i d e n c e f o r b i o l o g i c a l c h a n g e i n b r a i n size o r s t r u c t u r e since Homo sapiens a p p e a r e d in t h e fossil r e c o r d s o m e fifty t h o u s a n d y e a r s a g o . ( B r o c a was r i g h t i n stating that t h e c r a n i a l c a p a c i t y o f C r o M a g n o n skulls was e q u a l i f n o t s u p e r i o r t o ours.) A l l t h a t w e h a v e d o n e since t h e n — t h e g r e a t e s t t r a n s f o r m a t i o n i n t h e s h o r t e s t t i m e that o u r p l a n e t h a s e x p e r i e n c e d since its c r u s t solidified n e a r l y f o u r billion y e a r s a g o — i s t h e p r o d u c t o f c u l t u r a l e v o l u t i o n . B i o l o g ical ( D a r w i n i a n ) e v o l u t i o n c o n t i n u e s i n o u r s p e c i e s , b u t its r a t e , c o m p a r e d w i t h c u l t u r a l e v o l u t i o n , is so i n c o m p a r a b l y slow that its i m p a c t u p o n t h e h i s t o r y of Homo sapiens h a s b e e n small. W h i l e the g e n e f o r sickle-cell a n e m i a d e c l i n e s i n f r e q u e n c y a m o n g black A m e r i c a n s , we have invented the railroad, the automobile, radio a n d television, t h e a t o m b o m b , t h e c o m p u t e r , t h e a i r p l a n e a n d spaceship.
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Cultural evolution can proceed so quickly because it operates, as biological evolution does not, in the " L a m a r c k i a n " m o d e — b y the inheritance of acquired characters. Whatever one generation l e a r n s , i t c a n pass t o t h e n e x t b y w r i t i n g , i n s t r u c t i o n , i n c u l c a t i o n , r i t u a l , t r a d i t i o n , a n d a h o s t o f m e t h o d s that h u m a n s h a v e d e v e l o p e d to assure continuity in culture. Darwinian evolution, on the o t h e r h a n d , i s a n i n d i r e c t p r o c e s s : g e n e t i c v a r i a t i o n m u s t first b e available t o c o n s t r u c t a n a d v a n t a g e o u s f e a t u r e , a n d n a t u r a l selection m u s t t h e n p r e s e r v e it. S i n c e g e n e t i c v a r i a t i o n arises a t r a n d o m , not preferentially directed toward advantageous features, the Darw i n i a n p r o c e s s w o r k s slowly. C u l t u r a l e v o l u t i o n i s n o t o n l y r a p i d ; it is also r e a d i l y r e v e r s i b l e b e c a u s e its p r o d u c t s a r e n o t c o d e d in o u r genes. T h e classical a r g u m e n t s o f b i o l o g i c a l d e t e r m i n i s m fail b e c a u s e t h e f e a t u r e s t h e y i n v o k e t o m a k e distinctions a m o n g g r o u p s a r e usually the products of cultural evolution. Determinists did seek e v i d e n c e i n a n a t o m i c a l traits built b y b i o l o g i c a l , n o t c u l t u r a l , e v o lution. B u t , in so d o i n g , they tried to use anatomy for m a k i n g i n f e r e n c e s a b o u t capacities a n d b e h a v i o r s that t h e y l i n k e d t o anato m y a n d w e r e g a r d a s e n g e n d e r e d b y c u l t u r e . C r a n i a l capacity p e r se h e l d as little i n t e r e s t f o r M o r t o n a n d B r o c a as v a r i a t i o n in t h i r d toe l e n g t h ; t h e y c a r e d o n l y a b o u t t h e m e n t a l characteristics s u p p o s e d l y associated w i t h d i f f e r e n c e s i n a v e r a g e b r a i n size a m o n g g r o u p s . W e n o w b e l i e v e that d i f f e r e n t a t t i t u d e s a n d styles o f t h o u g h t a m o n g h u m a n g r o u p s a r e usually t h e n o n g e n e t i c p r o d u c t s o f c u l t u r a l e v o l u t i o n . I n s h o r t , t h e biological basis o f h u m a n u n i q u e ness l e a d s u s t o reject b i o l o g i c a l d e t e r m i n i s m . O u r l a r g e b r a i n i s the biological foundation of intelligence; intelligence is the g r o u n d of culture; a n d cultural transmission builds a new m o d e of evolution m o r e e f f e c t i v e t h a n D a r w i n i a n p r o c e s s e s i n its limited r e a l m — the "inheritance" a n d modification of learned behavior. As philoso p h e r S t e p h e n T o u l m i n stated ( 1 9 7 7 , p . 4): " C u l t u r e h a s t h e p o w e r t o i m p o s e itself o n n a t u r e f r o m w i t h i n . " Y e t , i f h u m a n b i o l o g y e n g e n d e r s c u l t u r e , i t i s also t r u e that cult u r e , o n c e d e v e l o p e d , e v o l v e d w i t h little o r n o r e f e r e n c e t o g e n e t i c variation a m o n g h u m a n g r o u p s . D o e s b i o l o g y , t h e n , play n o o t h e r valid r o l e in t h e analysis of h u m a n b e h a v i o r ? Is it o n l y a f o u n d a t i o n without any insight to offer b e y o n d the unenlightening recognition that c o m p l e x c u l t u r e r e q u i r e s a c e r t a i n level o f i n t e l l i g e n c e ?
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M o s t biologists w o u l d f o l l o w m y a r g u m e n t i n d e n y i n g a g e n e t i c basis f o r m o s t b e h a v i o r a l differences b e t w e e n g r o u p s a n d f o r change i n t h e c o m p l e x i t y o f h u m a n societies t h r o u g h t h e r e c e n t h i s t o r y o f o u r species. But what about the s u p p o s e d constancies of personality a n d b e h a v i o r , the traits o f m i n d that h u m a n s s h a r e i n all cultures? W h a t , i n s h o r t , a b o u t a g e n e r a l " h u m a n n a t u r e " ? S o m e biologists w o u l d g r a n t D a r w i n i a n p r o c e s s e s a substantial r o l e n o t o n l y i n e s t a b l i s h i n g l o n g a g o , b u t also i n actively m a i n t a i n i n g n o w , a set of specific a d a p t i v e b e h a v i o r s f o r m i n g a b i o l o g i c a l l y c o n d i t i o n e d " h u m a n n a t u r e . " 1 b e l i e v e that this o l d t r a d i t i o n o f a r g u m e n t — w h i c h has f o u n d its m o s t r e c e n t e x p r e s s i o n a s " h u m a n s o c i o b i o l o g y " — i s invalid n o t b e c a u s e b i o l o g y i s i r r e l e v a n t a n d h u m a n b e h a v i o r o n l y reflects a d i s e m b o d i e d c u l t u r e , b u t b e c a u s e h u m a n biology s u g g e s t s a d i f f e r e n t a n d less c o n s t r a i n i n g r o l e f o r g e n e t i c s i n the analysis o f h u m a n n a t u r e . S o c i o b i o l o g y b e g i n s with a m o d e r n r e a d i n g o f w h a t n a t u r a l s e l e c t i o n is all a b o u t — d i f f e r e n t i a l r e p r o d u c t i v e success of i n d i v i d u a l s . A c c o r d i n g t o t h e D a r w i n i a n i m p e r a t i v e , i n d i v i d u a l s are selected to m a x i m i z e the contribution of their o w n genes to future g e n e r a t i o n s , a n d that is all. ( D a r w i n i s m is n o t a t h e o r y of p r o g r e s s , i n c r e a s i n g c o m p l e x i t y , o r e v o l v e d h a r m o n y f o r t h e g o o d o f species or ecosystems.) P a r a d o x i c a l l y (as it s e e m s to m a n y ) , a l t r u i s m as well a s selfishness c a n b e s e l e c t e d u n d e r this c r i t e r i o n — a c t s o f k i n d n e s s m a y b e n e f i t i n d i v i d u a l s e i t h e r b e c a u s e they establish b o n d s o f r e c i p r o c a l o b l i g a t i o n , o r b e c a u s e they aid kin w h o c a r r y c o p i e s o f t h e altruist's g e n e s . H u m a n sociobiologists t h e n s u r v e y o u r b e h a v i o r s with this crit e r i o n in m i n d . W h e n t h e y identify a b e h a v i o r that s e e m s to be a d a p t i v e i n h e l p i n g a n i n d i v i d u a l ' s g e n e s a l o n g , they d e v e l o p a story f o r its o r i g i n b y n a t u r a l selection o p e r a t i n g u p o n g e n e t i c variation i n f l u e n c i n g t h e specific act itself. ( T h e s e stories a r e r a r e l y backed by any evidence beyond the inference of adaptation.) H u m a n sociobiology is a theory for the origin and maintenance of specific, adaptive behaviors by natural selection*; t h e s e b e h a v i o r s m u s t *The brouhaha over sociobiology during the past few years was engendered by this hard version of the argument—genetic proposals (based on an inference of adaptation) for specific human behaviors. Other evolutionists call themselves "sociobiologists," but reject this style of guesswork about specifics. If a sociobiologist is anyone
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t h e r e f o r e h a v e a genetic basis, since n a t u r a l s e l e c t i o n c a n n o t o p e r a t e in the absence of genetic variation. Sociobiologists have tried, f o r e x a m p l e , to identify an adaptive a n d genetic foundation for a g g r e s s i o n , spite, x e n o p h o b i a , c o n f o r m i t y , h o m o s e x u a l i t y , * a n d p e r h a p s u p w a r d mobility a s well ( W i l s o n , 1 9 7 5 ) . I b e l i e v e that m o d e r n b i o l o g y p r o v i d e s a m o d e l s t a n d i n g b e t w e e n t h e d e s p a i r i n g c l a i m that b i o l o g y h a s n o t h i n g t o t e a c h u s a b o u t h u m a n b e h a v i o r a n d t h e d e t e r m i n i s t i c t h e o r y that specific items of behavior are genetically p r o g r a m e d by the action of natural selection. I see t w o m a j o r a r e a s f o r b i o l o g i c a l i n s i g h t : 1. F r u i t f u l a n a l o g i e s . M u c h o f h u m a n b e h a v i o r i s s u r e l y a d a p tive; i f i t w e r e n ' t , w e w o u l d n ' t b e a r o u n d a n y m o r e . B u t a d a p t a t i o n , in h u m a n s , is neither an adequate, nor even a good a r g u m e n t for g e n e t i c i n f l u e n c e . F o r i n h u m a n s , a s I a r g u e d a b o v e (p. 3 2 4 ) , a d a p tation m a y arise b y t h e a l t e r n a t e r o u t e o f n o n g e n e t i c , c u l t u r a l e v o lution. Since cultural evolution is so m u c h m o r e rapid than D a r w i n i a n e v o l u t i o n , its i n f l u e n c e s h o u l d p r e v a i l i n t h e b e h a v i o r a l diversity d i s p l a y e d b y h u m a n g r o u p s . B u t e v e n w h e n a n a d a p t i v e b e h a v i o r i s n o n g e n e t i c , b i o l o g i c a l a n a l o g y m a y b e u s e f u l i n interp r e t i n g its m e a n i n g . A d a p t i v e c o n s t r a i n t s a r e o f t e n s t r o n g , a n d some functions may have to proceed in a certain way w h e t h e r their underlying impetus be learning or genetic programing. For e x a m p l e , ecologists have d e v e l o p e d a powerful quantitative who believes that biological evolution is not irrelevant to human behavior, then I suppose that everybodv (creationists excluded) is a sociobiologist. At this point, however, the term loses its meaning. Human sociobiology entered the literature (professional and popular) as a definite theorv about the adaptive and genetic basis of specific traits of human behavior. *Lest homosexuality seem an unlikely candidate for adaptation since exclusive homosexuals have no children, I report the following story, advocated by E. O. Wilson (1975, 1978). Ancestral human society was organized as a large number of competing family units. Some units were exclusively heterosexual; the gene pool of other units included factors for homosexuality. Homosexuals functioned as helpers to raise the offspring of their heterosexual kin. This behavior aided their genes since the large number of kin they helped to raise held more copies of their genes than their own offspring (had they been heterosexual) might have carried. Groups with homosexual helpers raised more offspring, since they could more than balance, by extra care and higher rates of survival, the potential loss by nonfecundity of their homosexual members. Thus, groups with homosexual members ultimately prevailed over exclusively heterosexual groups, and genes for homosexuality have survived.
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t h e o r y , called o p t i m a l f o r a g i n g s t r a t e g y , f o r s t u d y i n g p a t t e r n s o f exploitation in nature (herbivores by carnivores, plants by herbiv o r e s ) . C o r n e l l U n i v e r s i t y a n t h r o p o l o g i s t B r u c e W i n t e r h a l d e r has s h o w n that a c o m m u n i t y o f C r e e - s p e a k i n g p e o p l e s i n n o r t h e r n O n t a r i o follow some predictions of the theory in their h u n t i n g and t r a p p i n g behavior. A l t h o u g h W i n t e r h a l d e r used a biological theory to understand some aspects of h u m a n h u n t i n g , he does not believe that the p e o p l e he studied w e r e genetically selected to h u n t as ecological t h e o r y p r e d i c t s t h e y s h o u l d . H e writes ( p e r s o n a l c o m m u n i cation, July 1978): It should go without saying . . . that the causes of h u m a n variability of hunting and gathering behavior lie in the socio-cultural realm. For that reason, the models that I used were adapted, not adopted, and then applied to a very circumscribed realm of analysis. . . . For instance, the models assist in analyzing what species a h u n t e r will seek from those available once a decision has been made to go hunting [his italics]. T h e y are, how-
ever, useless for analyzing why the Cree still hunt (they don't need to), h o w they decide on a particular day whether to hunt or join a construction crew, the m e a n i n g of hunting to a Cree, or any of a plethora of important questions. I n this a r e a , sociobiologists h a v e o f t e n f a l l e n i n t o o n e o f t h e m o s t c o m m o n errors of reasoning: discovering an analogy and inferring a g e n e t i c similarity (literally, in this case!). A n a l o g i e s a r e u s e f u l b u t l i m i t e d ; t h e y m a y reflect c o m m o n c o n s t r a i n t s , b u t n o t c o m m o n causes. a . B i o l o g i c a l potentiality vs. b i o l o g i c a l d e t e r m i n i s m . H u m a n s are animals, a n d e v e r y t h i n g we do is constrained, in s o m e sense, by o u r b i o l o g y . S o m e c o n s t r a i n t s a r e s o i n t e g r a l t o o u r b e i n g that w e r a r e l y e v e n r e c o g n i z e t h e m , f o r w e n e v e r i m a g i n e that life m i g h t p r o c e e d in a n o t h e r way. C o n s i d e r o u r narrow r a n g e of average a d u l t size a n d t h e c o n s e q u e n c e s o f l i v i n g i n t h e g r a v i t a t i o n a l w o r l d of large organisms, not the world of surface forces inhabited by insects ( W e n t , 1 9 6 8 ; G o u l d , 1 9 7 7 ) . O r t h e fact that w e a r e b o r n h e l p l e s s ( m a n y a n i m a l s a r e n o t ) , that w e m a t u r e slowly, that w e m u s t s l e e p f o r a l a r g e p a r t o f t h e d a y , that w e d o n o t p h o t o s y n t h e s i z e , that w e c a n d i g e s t b o t h m e a t a n d p l a n t s , that w e a g e a n d d i e . T h e s e a r e all results o f o u r g e n e t i c c o n s t r u c t i o n , a n d all a r e i m p o r t a n t i n f l u e n c e s u p o n h u m a n n a t u r e a n d society. T h e s e b i o l o g i c a l b o u n d a r i e s a r e s o e v i d e n t that t h e y h a v e n e v e r
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e n g e n d e r e d c o n t r o v e r s y . T h e c o n t e n t i o u s subjects a r e specific b e h a v i o r s that distress u s a n d that w e s t r u g g l e w i t h difficulty t o c h a n g e (or e n j o y a n d f e a r t o a b a n d o n ) : a g g r e s s i o n , x e n o p h o b i a , m a l e d o m i n a n c e , f o r e x a m p l e . Sociobiologists a r e n o t g e n e t i c d e t e r m i n i s t s i n t h e o l d e u g e n i c a l s e n s e o f p o s t u l a t i n g single g e n e s f o r s u c h c o m p l e x b e h a v i o r s . A l l biologists k n o w that t h e r e i s n o g e n e "for" aggression, any m o r e than for y o u r lower-left wisdom t o o t h . W e all r e c o g n i z e that g e n e t i c i n f l u e n c e c a n b e s p r e a d diff u s e l y a m o n g m a n y g e n e s a n d that g e n e s set limits t o r a n g e s ; t h e y do not p r o v i d e blueprints for exact replicas. In o n e sense, the d e b a t e b e t w e e n sociobiologists a n d t h e i r critics i s a n a r g u m e n t a b o u t t h e b r e a d t h o f r a n g e s . F o r sociobiologists, r a n g e s a r e n a r r o w e n o u g h t o p r o g r a m a specific b e h a v i o r a s t h e p r e d i c t a b l e result o f p o s s e s s i n g c e r t a i n g e n e s . Critics a r g u e that t h e r a n g e s p e r m i t t e d b y t h e s e g e n e t i c f a c t o r s a r e w i d e e n o u g h t o i n c l u d e all b e h a v i o r s that sociobiologists a t o m i z e i n t o distinct traits c o d e d b y s e p a r a t e genes. B u t i n a n o t h e r s e n s e , m y d i s p u t e with h u m a n s o c i o b i o l o g y i s n o t j u s t a q u a n t i t a t i v e d e b a t e a b o u t t h e e x t e n t o f r a n g e s . I t will n o t b e settled a m i c a b l y a t s o m e g o l d e n m i d p o i n t , with critics a d m i t t i n g m o r e c o n s t r a i n t , sociobiologists m o r e s l o p . A d v o c a t e s o f n a r r o w a n d b r o a d r a n g e s d o n o t simply o c c u p y d i f f e r e n t positions o n a s m o o t h c o n t i n u u m ; they h o l d t w o qualitatively d i f f e r e n t t h e o r i e s a b o u t the b i o l o g i c a l n a t u r e o f h u m a n b e h a v i o r . I f r a n g e s a r e narr o w , t h e n g e n e s d o c o d e f o r specific traits a n d n a t u r a l selection c a n c r e a t e a n d m a i n t a i n i n d i v i d u a l items o f b e h a v i o r s e p a r a t e l y . I f r a n g e s a r e characteristically b r o a d , t h e n selection m a y set s o m e d e e p l y r e c e s s e d g e n e r a t i n g r u l e s ; b u t specific b e h a v i o r s a r e e p i p h e n o m e n a o f t h e r u l e s , n o t objects o f D a r w i n i a n a t t e n t i o n i n t h e i r own right. I b e l i e v e that h u m a n sociobiologists h a v e m a d e a f u n d a m e n t a l m i s t a k e i n c a t e g o r i e s . T h e y a r e s e e k i n g t h e g e n e t i c basis o f h u m a n b e h a v i o r a t t h e w r o n g level. T h e y a r e s e a r c h i n g a m o n g t h e specific products of generating rules—Joe's homosexuality, Martha's fear o f s t r a n g e r s — w h i l e t h e r u l e s t h e m s e l v e s a r e t h e g e n e t i c d e e p structures o f h u m a n b e h a v i o r . F o r e x a m p l e , E . O . W i l s o n ( 1 9 7 8 , p . 99) writes: " A r e h u m a n b e i n g s i n n a t e l y a g g r e s s i v e ? T h i s i s a f a v o r i t e q u e s t i o n o f c o l l e g e s e m i n a r s a n d cocktail p a r t y c o n v e r s a t i o n s , a n d o n e that raises e m o t i o n i n political i d e o l o g u e s o f all stripes. T h e
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a n s w e r t o i t i s y e s . " A s e v i d e n c e , W i l s o n cites the p r e v a l e n c e o f w a r f a r e i n history a n d t h e n d i s c o u n t s a n y c u r r e n t d i s i n c l i n a t i o n t o fight: " T h e m o s t p e a c e a b l e tribes o f t o d a y w e r e o f t e n t h e r a v a g e r s o f y e s t e r y e a r a n d will p r o b a b l y a g a i n p r o d u c e soldiers a n d m u r derers in the future." B u t if some peoples are peaceable now, then a g g r e s s i o n itself c a n n o t b e c o d e d i n o u r g e n e s , o n l y the p o t e n t i a l f o r it. I f i n n a t e o n l y m e a n s possible, o r e v e n likely i n c e r t a i n e n v i r o n m e n t s , t h e n e v e r y t h i n g w e d o i s i n n a t e a n d t h e w o r d has n o m e a n i n g . A g g r e s s i o n i s o n e e x p r e s s i o n o f a g e n e r a t i n g r u l e that anticipates peacefulness i n other c o m m o n e n v i r o n m e n t s . T h e r a n g e o f specific b e h a v i o r s e n g e n d e r e d b y t h e r u l e i s i m p r e s s i v e a n d a f i n e t e s t i m o n y t o flexibility a s t h e h a l l m a r k o f h u m a n b e h a v i o r . T h i s f l e x i b i l i t y s h o u l d n o t b e o b s c u r e d b y t h e linguistic e r r o r of b r a n d i n g some c o m m o n expressions of the rule as "innate" because we can predict their occurrence in certain environments. S o c i o b i o l o g i s t s w o r k a s i f G a l i l e o h a d really m o u n t e d t h e L e a n i n g T o w e r ( a p p a r e n t l y h e d i d n o t ) , d r o p p e d a set o f d i v e r s e objects o v e r the side, a n d sought a separate explanation for each behavi o r — t h e p l u n g e o f t h e c a n n o n b a l l a s a result o f s o m e t h i n g i n the nature of cannonballness; the gentle descent of the feather as intrinsic t o f e a t h e r n e s s . W e k n o w , i n s t e a d , that t h e w i d e r a n g e o f d i f f e r e n t falling b e h a v i o r s arises f r o m a n i n t e r a c t i o n b e t w e e n t w o physical r u l e s — g r a v i t y and frictional resistance. T h i s interaction c a n g e n e r a t e a t h o u s a n d d i f f e r e n t styles o f d e s c e n t . I f w e f o c u s o n t h e objects a n d seek a n e x p l a n a t i o n f o r t h e b e h a v i o r o f e a c h i n its o w n t e r m s , w e a r e lost. T h e s e a r c h a m o n g specific b e h a v i o r s f o r t h e g e n e t i c basis of h u m a n n a t u r e is an e x a m p l e of biological determinism. T h e q u e s t f o r u n d e r l y i n g g e n e r a t i n g r u l e s e x p r e s s e s a c o n c e p t of biological potentiality. T h e q u e s t i o n is n o t b i o l o g i c a l n a t u r e v s . n o n b i o l o g i c a l n u r t u r e . D e t e r m i n i s m a n d potentiality a r e b o t h biological t h e o r i e s — b u t t h e y s e e k t h e g e n e t i c basis o f h u m a n n a t u r e a t f u n d a m e n t a l l y d i f f e r e n t levels. P u r s u i n g t h e G a l i l e a n a n a l o g y , i f c a n n o n b a l l s act b y c a n n o n b a l l n e s s , f e a t h e r s b y f e a t h e r n e s s , t h e n w e c a n d o little b e y o n d c o n c o c t i n g a story f o r t h e a d a p t i v e significance o f e a c h . W e w o u l d n e v e r t h i n k o f d o i n g t h e g r e a t historical e x p e r i m e n t — e q u a l i z i n g the effective e n v i r o n m e n t by placing both in a v a c u u m and observi n g a n identical b e h a v i o r i n d e s c e n t . T h i s h y p o t h e t i c a l e x a m p l e illustrates t h e social r o l e o f b i o l o g i c a l d e t e r m i n i s m . I t i s f u n d a m e n -
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tally a t h e o r y a b o u t limits. It takes c u r r e n t r a n g e s in m o d e r n e n v i r o n m e n t s as an expression of direct genetic p r o g r a m i n g , rather t h a n a l i m i t e d d i s p l a y of m u c h b r o a d e r p o t e n t i a l . If a f e a t h e r acts by f e a t h e r n e s s , we c a n n o t c h a n g e its b e h a v i o r w h i l e it r e m a i n s a f e a t h e r . I f its b e h a v i o r i s a n e x p r e s s i o n o f b r o a d r u l e s d e d t o specific c i r c u m s t a n c e s , we a n t i c i p a t e a w i d e r a n g e of b e h a v i o r s in different environments. W h y should h u m a n behaviorial ranges be so broad, w h e n anat o m i c a l r a n g e s a r e g e n e r a l l y n a r r o w e r ? I s this claim f o r b e h a v i o r a l flexibility m e r e l y a social h o p e , or is it g o o d b i o l o g y as well? T w o d i f f e r e n t a r g u m e n t s l e a d m e t o c o n c l u d e that w i d e b e h a v i o r a l r a n g e s s h o u l d arise a s c o n s e q u e n c e s o f t h e e v o l u t i o n a n d s t r u c t u r a l o r g a n i z a t i o n o f o u r b r a i n . C o n s i d e r , f i r s t o f all, t h e p r o b a b l e a d a p tive r e a s o n s f o r e v o l v i n g such a l a r g e b r a i n . H u m a n u n i q u e n e s s lies i n t h e flexibility o f w h a t o u r b r a i n c a n d o . W h a t i s i n t e l l i g e n c e , i f n o t t h e ability t o f a c e p r o b l e m s i n a n u n p r o g r a m e d (or, a s w e o f t e n say, creative) m a n n e r ? I f i n t e l l i g e n c e sets u s a p a r t a m o n g o r g a n i s m s , t h e n I t h i n k it p r o b a b l e that n a t u r a l selection a c t e d to m a x imize the flexibility of o u r behavior. What would be m o r e adaptive for a learning and thinking animal: genes selected for aggression, spite, a n d x e n o p h o b i a ; o r selection f o r l e a r n i n g r u l e s that c a n g e n erate aggression in appropriate circumstances and peacefulness in others? S e c o n d l y , w e m u s t b e w a r y o f g r a n t i n g t o o m u c h p o w e r t o natu r a l selection b y v i e w i n g all basic capacities o f o u r b r a i n a s d i r e c t a d a p t a t i o n s . I d o n o t d o u b t that n a t u r a l selection a c t e d i n b u i l d i n g o u r o v e r s i z e d b r a i n s — a n d I a m e q u a l l y c o n f i d e n t that o u r b r a i n s b e c a m e l a r g e a s a n a d a p t a t i o n f o r d e f i n i t e roles ( p r o b a b l y a c o m p l e x set o f i n t e r a c t i n g f u n c t i o n s ) . B u t t h e s e a s s u m p t i o n s d o n o t l e a d t o t h e n o t i o n , o f t e n uncritically e m b r a c e d b y strict D a r w i n i a n s , that all m a j o r capacities o f t h e b r a i n m u s t arise a s d i r e c t p r o d u c t s of natural selection. O u r brains are e n o r m o u s l y c o m p l e x comp u t e r s . If I install a m u c h s i m p l e r c o m p u t e r to k e e p a c c o u n t s in a f a c t o r y , i t c a n also p e r f o r m m a n y o t h e r , m o r e c o m p l e x tasks u n r e l a t e d t o its a p p o i n t e d r o l e . T h e s e a d d i t i o n a l capacities a r e i n e l u c t able consequences of structural design, not direct adaptations. O u r vastly m o r e c o m p l e x o r g a n i c c o m p u t e r s w e r e also built f o r r e a s o n s , b u t possess a n a l m o s t t e r r i f y i n g a r r a y o f a d d i t i o n a l c a p a c i t i e s — including, I suspect, most of what makes us h u m a n . O u r ancestors
7*1 A juvenile and adult chimpanzee showing the greater resemblance of humans to the baby and illustrating the principle of neoteny in h u m a n evolution.
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d i d n o t r e a d , w r i t e , o r w o n d e r w h y m o s t stars d o n o t c h a n g e t h e i r r e l a d v e p o s i t i o n s w h i l e f i v e w a n d e r i n g p o i n t s o f light a n d t w o l a r g e r disks m o v e t h r o u g h a p a t h n o w called t h e z o d i a c . W e n e e d not view Bach as a h a p p y spinoff f r o m the value of music in c e m e n t i n g tribal c o h e s i o n , o r S h a k e s p e a r e a s a f o r t u n a t e c o n s e q u e n c e of the role of myth a n d epic narrative in maintaining hunti n g b a n d s . M o s t o f t h e b e h a v i o r a l " t r a i t s " that sociobiologists try t o e x p l a i n m a y n e v e r h a v e b e e n subject t o d i r e c t n a t u r a l s e l e c t i o n a t a l l — a n d m a y t h e r e f o r e e x h i b i t a flexibility that f e a t u r e s c r u c i a l t o survival can n e v e r display. S h o u l d these c o m p l e x consequences of s t r u c t u r a l d e s i g n e v e n b e called "traits"? I s this t e n d e n c y t o a t o m i z e a b e h a v i o r a l r e p e r t o r y i n t o a set of " t h i n g s " n o t a n o t h e r e x a m p l e o f t h e s a m e fallacy o f reification that has p l a g u e d s t u d i e s o f intelligence throughout o u r century? Flexibility i s t h e h a l l m a r k o f h u m a n e v o l u t i o n . I f h u m a n s e v o l v e d , as I b e l i e v e , by n e o t e n y (see C h a p t e r 4 a n d G o u l d , 1 9 7 7 , p p . 3 5 2 - 4 0 4 ) , then we are, in a m o r e than metaphorical sense, perm a n e n t c h i l d r e n . ( I n n e o t e n y , rates o f d e v e l o p m e n t slow d o w n a n d j u v e n i l e stages o f a n c e s t o r s b e c o m e t h e a d u l t f e a t u r e s o f d e s c e n d a n t s . ) M a n y c e n t r a l f e a t u r e s o f o u r a n a t o m y link u s w i t h fetal a n d j u v e n i l e stages o f p r i m a t e s : small f a c e , v a u l t e d c r a n i u m a n d l a r g e b r a i n i n r e l a t i o n t o b o d y size, u n r o t a t e d b i g toe, f o r a m e n m a g n u m u n d e r t h e skull f o r c o r r e c t o r i e n t a t i o n o f t h e h e a d i n u p r i g h t posture, primary distribution of hair on h e a d , armpits, and pubic areas. If o n e picture is worth a t h o u s a n d w o r d s , consider Fig. 7 . 1 . I n o t h e r m a m m a l s , e x p l o r a t i o n , play, a n d flexibility o f b e h a v i o r a r e qualities o f j u v e n i l e s , o n l y r a r e l y o f a d u l t s . W e r e t a i n n o t o n l y t h e a n a t o m i c a l s t a m p o f c h i l d h o o d , b u t its m e n t a l flexibility a s well. T h e i d e a that n a t u r a l selection s h o u l d h a v e w o r k e d f o r flexibility i n h u m a n e v o l u t i o n i s n o t a n a d h o c n o t i o n b o r n i n h o p e , b u t an implication of neoteny as a fundamental process in o u r evolution. H u m a n s a r e l e a r n i n g a n i m a l s . In T. H. W h i t e ' s n o v e l The Once and Future King, a b a d g e r relates a p a r a b l e a b o u t t h e o r i g i n o f a n i m a l s . G o d , h e r e c o u n t s , c r e a t e d all a n i m a l s a s e m b r y o s a n d called e a c h b e f o r e his t h r o n e , o f f e r i n g t h e m w h a t e v e r a d d i t i o n s t o t h e i r a n a t o m y they d e s i r e d . A l l o p t e d f o r s p e c i a l i z e d a d u l t f e a t u r e s — t h e lion f o r claws a n d s h a r p t e e t h , t h e d e e r f o r antlers a n d h o o f s . T h e h u m a n e m b r y o s t e p p e d f o r t h last a n d said:
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"Please God, I think that you m a d e me in the shape which I now have for reasons best known to Yourselves and that it would be rude to change. If I am to have my choice, I will stay as I am. I will not alter any of the parts which you gave m e . . . . I will stay a defenceless embryo all my life, d o i n g my best to make myself a few feeble implements out of the wood, iron, and the other materials which You have seen fit to put before me. . . ." "Well done," exclaimed the Creator in delighted tone. "Here, all you embryos, c o m e here with your beaks and whatnots to look u p o n O u r first Man. He is the only o n e who has guessed O u r riddle. . . . As for you, Man. . . . You will look like an embryo till they bury you, but all the others will be embryos before your might. Eternally u n d e v e l o p e d , you will always remain potential in O u r image, able to see s o m e of Our sorrows and to feel s o m e of Our joys. We are partly sorry for you, Man, but partly hopeful. Run along then, and do your best."
Epilogue IN
1927 OLIVER WENDELL HOLMES, J R . , delivered the S u p r e m e
C o u r t ' s d e c i s i o n u p h o l d i n g t h e V i r g i n i a sterilization law in Buck v. Bell. C a r r i e B u c k , a y o u n g m o t h e r with a c h i l d of a l l e g e d l y f e e b l e m i n d , had scored a mental a g e of nine on the Stanford-Binet. Carrie B u c k ' s m o t h e r , t h e n fifty-two, h a d tested a t m e n t a l a g e s e v e n . H o l m e s w r o t e , i n o n e o f the m o s t f a m o u s a n d c h i l l i n g s t a t e m e n t s of our century: We have seen m o r e than once that the public welfare may call u p o n the best citizens for their lives. It would be strange if it could not call u p o n those who already sap the strength of the state for these lesser sacrifices. . . . T h r e e generations of imbeciles are e n o u g h . ( T h e line is o f t e n m i s c i t e d as " t h r e e g e n e r a t i o n s of idiots. . . ." B u t H o l m e s k n e w t h e t e c h n i c a l j a r g o n o f his t i m e , a n d t h e B u c k s , though not " n o r m a l " by the Stanford-Binet, were o n e grade above idiots.) Buck v. Bell is a s i g n p o s t of h i s t o r y , an e v e n t l i n k e d w i t h t h e distant past i n m y m i n d . T h e B a b e hit his sixty h o m e r s i n 1 9 2 7 , a n d l e g e n d s a r e all t h e m o r e w o n d e r f u l b e c a u s e they s e e m s o distant. I was t h e r e f o r e s h o c k e d by an i t e m in t h e Washington Post on 23 February 1 9 8 0 — f o r few things can be m o r e disconcerting than a j u x t a p o s i t i o n o f neatly o r d e r e d a n d s e p a r a t e d t e m p o r a l e v e n t s . " O v e r 7,500 sterilized i n V i r g i n i a , " t h e h e a d l i n e r e a d . T h e law that Holmes u p h e l d had been implemented for forty-eight years, from 1924 to 1972. T h e operations had b e e n p e r f o r m e d in mentalh e a l t h facilities, p r i m a r i l y u p o n w h i t e m e n a n d w o m e n c o n s i d e r e d f e e b l e - m i n d e d a n d a n t i s o c i a l — i n c l u d i n g " u n w e d m o t h e r s , prostitutes, petty c r i m i n a l s a n d c h i l d r e n w i t h d i s c i p l i n a r y p r o b l e m s . "
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C a r r i e B u c k , t h e n i n h e r seventies, was still living n e a r C h a r lottesville. S e v e r a l j o u r n a l i s t s a n d scientists visited C a r r i e B u c k a n d h e r sister, D o r i s , d u r i n g t h e last y e a r s o f t h e i r lives. B o t h w o m e n , t h o u g h l a c k i n g m u c h f o r m a l e d u c a t i o n , w e r e clearly able a n d intellig e n t . N o n e t h e l e s s , D o r i s B u c k h a d b e e n sterilized u n d e r the s a m e law in 1 9 2 8 . S h e later m a r r i e d M a t t h e w F i g g i n s , a p l u m b e r . B u t D o r i s B u c k was n e v e r i n f o r m e d . " T h e y told m e , " s h e r e c a l l e d , " t h a t t h e o p e r a t i o n was f o r a n a p p e n d i x a n d r u p t u r e . " S o she a n d Matt h e w F i g g i n s t r i e d to c o n c e i v e a child. T h e y c o n s u l t e d p h y s i c i a n s at t h r e e hospitals t h r o u g h o u t h e r c h i l d - b e a r i n g y e a r s ; n o o n e r e c o g n i z e d that h e r F a l l o p i a n t u b e s h a d b e e n s e v e r e d . Last y e a r , D o r i s B u c k F i g g i n s f i n a l l y d i s c o v e r e d the c a u s e o f h e r l i f e l o n g s a d n e s s . O n e m i g h t i n v o k e a n u n f e e l i n g c a l c u l u s a n d say that D o r i s B u c k ' s d i s a p p o i n t m e n t r a n k s a s n o t h i n g c o m p a r e d with millions d e a d i n w a r s t o s u p p o r t t h e d e s i g n s o f m a d m e n o r the c o n c e i t s o f r u l e r s . B u t c a n o n e m e a s u r e t h e pain o f a single d r e a m u n f u l f i l l e d , the hope of a defenseless w o m a n snatched by public power in the n a m e o f a n i d e o l o g y a d v a n c e d t o p u r i f y a race. M a y D o r i s B u c k ' s s i m p l e a n d e l o q u e n t t e s t i m o n y stand f o r millions o f d e a t h s a n d disa p p o i n t m e n t s a n d h e l p u s t o r e m e m b e r that the S a b b a t h was m a d e f o r m a n , n o t m a n f o r the S a b b a t h : " I b r o k e d o w n a n d c r i e d . M y husband and me wanted children desperately. We were crazy about them. I never knew what they'd d o n e to me."
Critique of The Bell Curve The Bell Curve The Bell Curve by R i c h a r d J. H e r r n s t e i n a n d C h a r l e s M u r r a y p r o v i d e s a s u p e r b a n d u n u s u a l o p p o r t u n i t y f o r insight into t h e m e a n i n g o f e x p e r i m e n t a s a m e t h o d i n science. R e d u c t i o n o f c o n f u s i n g variables i s t h e p r i m a r y d e s i d e r a t u m i n all e x p e r i m e n t s . W e b r i n g all t h e b u z z i n g a n d b l o o m i n g c o n f u s i o n o f t h e e x t e r n a l w o r l d i n t o o u r l a b o r a t o r i e s a n d , h o l d i n g all else c o n s t a n t i n o u r artificial simplicity, try to v a r y j u s t o n e p o t e n t i a l f a c t o r at a time. O f t e n , h o w e v e r , w e c a n n o t use s u c h a n e x p e r i m e n t a l m e t h o d , p a r t i c u l a r l y f o r m o s t social p h e n o m e n a w h e n i m p o r t a t i o n into t h e l a b o r a t o r y d e s t r o y s t h e subject o f o u r i n v e s t i g a t i o n — a n d t h e n w e c a n o n l y yearn for simplifying guides in nature. If the external world theref o r e o b l i g e s a n d h o l d s s o m e c r u c i a l factors c o n s t a n t f o r us, t h e n w e c a n o n l y o f f e r t h a n k s f o r s u c h a n a t u r a l b o o s t to u n d e r s t a n d i n g . W h e n a b o o k g a r n e r s as m u c h a t t e n t i o n as The Bell Curve has r e c e i v e d , w e wish t o k n o w t h e c a u s e s . O n e m i g h t s u s p e c t c o n t e n t i t s e l f — a startling n e w i d e a , o r a n o l d s u s p i c i o n n o w verified b y p e r suasive d a t a — b u t t h e r e a s o n m i g h t well b e social acceptability, o r j u s t plain h y p e . The Bell Curve c o n t a i n s no n e w a r g u m e n t s a n d prese n t s n o c o m p e l l i n g d a t a t o s u p p o r t its a n a c h r o n i s t i c social D a r w i n ism. I m u s t t h e r e f o r e c o n c l u d e that its initial success in w i n n i n g s u c h a t t e n t i o n m u s t reflect t h e d e p r e s s i n g t e m p e r o f o u r t i m e — a historical m o m e n t o f u n p r e c e d e n t e d u n g e n e r o s i t y , w h e n a m o o d f o r s l a s h i n g social p r o g r a m s c a n b e s o a b e t t e d b y a n a r g u m e n t that b e n e f i c i a r i e s c a n n o t b e a i d e d d u e t o i n b o r n c o g n i t i v e limits e x p r e s s e d a s low I Q scores. The Bell Curve rests u p o n t w o distinctly d i f f e r e n t b u t sequential
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a r g u m e n t s , w h i c h t o g e t h e r e n c o m p a s s t h e classical c o r p u s o f b i o l o g ical d e t e r m i n i s m as a social p h i l o s o p h y . T h e first claim ( C h a p t e r s 1 — 12) r e h a s h e s the t e n e t s o f social D a r w i n i s m a s o r i g i n a l l y c o n s t i t u t e d . ("Social D a r w i n i s m " has o f t e n b e e n u s e d as a g e n e r a l t e r m f o r any e v o l u t i o n a r y a r g u m e n t a b o u t t h e b i o l o g i c a l basis o f h u m a n d i f f e r e n c e s , b u t t h e initial m e a n i n g r e f e r r e d to a specific t h e o r y of class stratification within i n d u s t r i a l societies, p a r t i c u l a r l y to t h e i d e a that a permanently p o o r underclass consisting of genetically inferior p e o p l e h a d p r e c i p i t a t e d d o w n into t h e i r inevitable fate.) T h i s social D a r w i n i a n h a l f of The Bell Curve arises f r o m a p a r a d o x o f e g a l i t a r i a n i s m . S o l o n g a s p e o p l e r e m a i n o n t o p o f t h e social h e a p by accident of a noble n a m e or parental wealth, and so long as m e m b e r s o f d e s p i s e d castes c a n n o t rise w h a t e v e r t h e i r talents, social stratification will n o t reflect intellectual m e r i t , a n d brilliance will be d i s t r i b u t e d across all classes. B u t i f t r u e e q u a l i t y o f o p p o r t u n i t y c a n b e a t t a i n e d , t h e n s m a r t p e o p l e rise a n d t h e l o w e r classes rigidify b y r e t a i n i n g o n l y t h e intellectually i n c o m p e t e n t . T h i s n i n e t e e n t h - c e n t u r y a r g u m e n t h a s a t t r a c t e d a variety o f twentieth-century champions, including Stanford psychologist L e w i s M . T e r m a n , w h o i m p o r t e d B i n e t ' s o r i g i n a l test f r o m F r a n c e , d e v e l o p e d t h e S t a n f o r d - B i n e t I Q test, a n d g a v e a h e r e d i t a r i a n interp r e t a t i o n t o t h e results ( o n e that B i n e t h a d v i g o r o u s l y r e j e c t e d i n d e v e l o p i n g this style o f test); P r i m e M i n i s t e r L e e K u a n Y e w o f Sing a p o r e , w h o tried t o institute a e u g e n i c s p r o g r a m o f r e w a r d i n g welleducated w o m e n for higher birthrates; and Richard Herrnstein, c o a u t h o r of The Bell Curve a n d a u t h o r of a 1 9 7 1 Atlantic Monthly article that p r e s e n t e d t h e s a m e a r g u m e n t w i t h o u t d o c u m e n t a t i o n . T h e g e n e r a l claim i s n e i t h e r u n i n t e r e s t i n g n o r illogical, b u t d o e s r e q u i r e t h e validity o f f o u r s h a k y p r e m i s e s , all a s s e r t e d (but h a r d l y discussed or d e f e n d e d ) by Herrnstein and Murray. Intelligence, in t h e i r f o r m u l a t i o n , m u s t be d e p i c t a b l e as a single n u m b e r , c a p a b l e of r a n k i n g p e o p l e i n l i n e a r o r d e r , g e n e t i c a l l y b a s e d , a n d effectively i m m u t a b l e . I f a n y o f t h e s e p r e m i s e s a r e false, t h e e n t i r e a r g u m e n t c o l l a p s e s . F o r e x a m p l e , i f all a r e t r u e e x c e p t i m m u t a b i l i t y , t h e n p r o g r a m s for early intervention in education might work to boost IQ p e r m a n e n t l y , j u s t as a p a i r of e y e g l a s s e s m a y c o r r e c t a g e n e t i c d e f e c t in vision. T h e c e n t r a l a r g u m e n t of The Bell Curve fails b e c a u s e m o s t o f t h e p r e m i s e s a r e false. T h e s e c o n d c l a i m ( C h a p t e r s 1 3 - 2 2 ) , t h e l i g h t n i n g r o d f o r most
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c o m m e n t a r y , e x t e n d s the a r g u m e n t f o r i n n a t e c o g n i t i v e stratification b y social class t o a claim f o r i n h e r i t e d racial d i f f e r e n c e s i n I Q — small f o r A s i a n s u p e r i o r i t y o v e r C a u c a s i a n , b u t l a r g e f o r C a u c a s i a n s o v e r p e o p l e o f A f r i c a n d e s c e n t . T h i s a r g u m e n t i s a s o l d a s the s t u d y o f r a c e . T h e last g e n e r a t i o n ' s discussion c e n t e r e d u p o n t h e sophistic a t e d w o r k o f A r t h u r J e n s e n (far m o r e e l a b o r a t e a n d v a r i e d t h a n a n y t h i n g p r e s e n t e d in The Bell Curve, a n d t h e r e f o r e still a b e t t e r s o u r c e f o r g r a s p i n g t h e a r g u m e n t a n d its fallacies) a n d the c r a n k y advocacy of William Shockley. T h e c e n t r a l fallacy i n u s i n g t h e substantial heritability o f w i t h i n g r o u p IQ ( a m o n g whites, for example) as an explanation for avera g e d i f f e r e n c e s b e t w e e n g r o u p s (whites vs. blacks, f o r e x a m p l e ) i s n o w well k n o w n a n d a c k n o w l e d g e d b y all, i n c l u d i n g H e r r n s t e i n a n d M u r r a y , b u t d e s e r v e s a r e s t a t e m e n t by e x a m p l e . T a k e a trait f a r m o r e h e r i t a b l e t h a n a n y o n e has e v e r c l a i m e d f o r I Q , b u t politically u n c o n t r o v e r s i a l — b o d y h e i g h t . S u p p o s e that I m e a s u r e a d u l t m a l e h e i g h t i n a p o o r I n d i a n village beset with p e r v a s i v e n u t r i t i o n a l d e p r i v a t i o n . S u p p o s e t h e a v e r a g e h e i g h t of a d u l t m a l e s is 5 feet 6 i n c h e s , well b e l o w t h e c u r r e n t A m e r i c a n m e a n o f a b o u t 5 f e e t 9 i n c h e s . Heritability w i t h i n t h e village will b e h i g h — m e a n i n g that tall f a t h e r s (they m a y a v e r a g e 5 feet 8 inches) t e n d to h a v e tall sons, w h i l e s h o r t f a t h e r s ( 5 f e e t 4 i n c h e s o n a v e r a g e ) t e n d t o h a v e s h o r t sons. B u t h i g h heritability w i t h i n t h e village d o e s n o t m e a n that b e t t e r n u t r i t i o n m i g h t n o t raise a v e r a g e h e i g h t to 5 f e e t 10 i n c h e s ( a b o v e t h e A m e r i c a n m e a n ) in a f e w g e n e r a t i o n s . Similarly t h e w e l l - d o c u m e n t e d 15p o i n t a v e r a g e d i f f e r e n c e i n I Q b e t w e e n blacks a n d whites i n A m e r i c a , w i t h substantial heritability o f I Q i n f a m i l y lines within e a c h g r o u p , p e r m i t s n o c o n c l u s i o n that truly e q u a l o p p o r t u n i t y m i g h t n o t raise t h e black a v e r a g e t o e q u a l o r s u r p a s s t h e w h i t e m e a n . S i n c e H e r r n s t e i n a n d M u r r a y k n o w a n d a c k n o w l e d g e this crit i q u e , t h e y m u s t c o n s t r u c t a n a d m i t t e d l y c i r c u m s t a n t i a l case f o r attributing most of the black-white mean difference to irrevocable g e n e t i c s — w h i l e p r o p e r l y stressing that t h e a v e r a g e d i f f e r e n c e d o e s n ' t h e l p a t all i n j u d g i n g a n y p a r t i c u l a r p e r s o n b e c a u s e s o m a n y i n d i v i d u a l blacks s c o r e a b o v e t h e w h i t e m e a n i n I Q . Q u i t e a p a r t f r o m the r h e t o r i c a l d u b r i e t y o f this o l d p l o y i n a s h o p w o r n g e n r e — "some-of-my-best-friends-are-group-x"—Herrnstein and Murray violate fairness by c o n v e r t i n g a c o m p l e x case that c a n o n l y yield a g n o s t i c i s m into a b i a s e d b r i e f f o r p e r m a n e n t a n d h e r i t a b l e d i f f e r -
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e n c e . T h e y i m p o s e this spin b y t u r n i n g e v e r y straw o n their side into a n o a k , w h i l e m e n t i o n i n g b u t d o w n p l a y i n g the s t r o n g c i r c u m s t a n t i a l case f o r substantial malleability a n d little a v e r a g e g e n e t i c d i f f e r e n c e ( i m p r e s s i v e I Q g a i n s f o r p o o r black c h i l d r e n a d o p t e d into affluent a n d intellectual h o m e s ; a v e r a g e I Q increases i n s o m e nations since W o r l d W a r II e q u a l t o the e n t i r e 1 5 - p o i n t d i f f e r e n c e n o w s e p a r a t i n g blacks a n d whites i n A m e r i c a ; f a i l u r e t o f i n d a n y c o g n i t i v e d i f f e r e n c e s b e t w e e n two c o h o r t s o f c h i l d r e n b o r n o u t o f w e d l o c k t o G e r m a n w o m e n , a n d raised i n G e r m a n y a s G e r m a n s , b u t f a t h e r e d b y black a n d w h i t e A m e r i c a n soldiers). D i s t u r b i n g as I find the a n a c h r o n i s m of The Bell Curve, I am e v e n m o r e distressed b y its p e r v a s i v e d i s i n g e n u o u s n e s s . T h e a u t h o r s o m i t facts, m i s u s e statistical m e t h o d s , a n d s e e m u n w i l l i n g t o a d m i t the consequences of their own words.
Disingenuousness
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T h e o c e a n of publicity that has e n g u l f e d The Bell Curve has a basis in w h a t M u r r a y a n d H e r r n s t e i n (New Republic, O c t o b e r 3 1 , 1994) call " t h e f l a s h p o i n t of i n t e l l i g e n c e as a public topic: t h e q u e s tion o f g e n e t i c d i f f e r e n c e s b e t w e e n t h e r a c e s . " A n d yet, since the d a y o f p u b l i c a t i o n , M u r r a y has b e e n t e m p o r i z i n g a n d d e n y i n g that r a c e is an i m p o r t a n t subject in t h e b o o k at all; i n s t e a d , he b l a m e s the p r e s s f o r u n f a i r l y f a n n i n g t h e s e p a r t i c u l a r f l a m e s . H e writes with H e r r n s t e i n ( w h o d i e d j u s t a m o n t h b e f o r e publication) in t h e New Republic: " H e r e is w h a t we h o p e will be o u r c o n t r i b u t i o n to the d i s c u s s i o n . We p u t it in italics; if we c o u l d we w o u l d p u t it in n e o n lights: The answer doesn't much matter." Fair e n o u g h in t h e n a r r o w sense that a n y i n d i v i d u a l m a y be a r a r e l y brilliant m e m b e r o f a n a v e r a g e l y d u m b g r o u p (and t h e r e f o r e n o t subject t o j u d g m e n t b y t h e g r o u p m e a n ) , b u t M u r r a y c a n n o t d e n y that The Bell Curve treats r a c e as o n e of t w o m a j o r topics, with e a c h g i v e n a b o u t e q u a l s p a c e ; n o r c a n h e p r e t e n d that s t r o n g l y stated claims a b o u t g r o u p d i f f e r e n c e s h a v e n o political i m p a c t i n a society o b s e s s e d w i t h t h e m e a n i n g s a n d c o n s e q u e n c e s o f ethnicity. T h e v e r y first s e n t e n c e of The Bell Curve's p r e f a c e a c k n o w l e d g e s equality o f t r e a t m e n t f o r t h e t w o subjects o f i n d i v i d u a l a n d g r o u p d i f f e r e n c e s : " T h i s b o o k is a b o u t d i f f e r e n c e s in intellectual capacity a m o n g p e o p l e a n d g r o u p s a n d w h a t these d i f f e r e n c e s m e a n for A m e r i c a ' s f u t u r e . " A n d M u r r a y a n d H e r r n s t e i n ' s New Republic arti-
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cle b e g i n s b y i d e n t i f y i n g racial d i f f e r e n c e a s t h e k e y subject o f interest: " T h e p r i v a t e d i a l o g u e a b o u t r a c e i n A m e r i c a i s f a r d i f f e r e n t f r o m the p u b l i c o n e . "
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The Bell Curve is a r h e t o r i c a l m a s t e r p i e c e of scientism, a n d t h e p a r t i c u l a r k i n d o f a n x i e t y a n d o b f u s c a t i o n that n u m b e r s i m p o s e u p o n n o n p r o f e s s i o n a l c o m m e n t a t o r s . T h e b o o k r u n s t o 845 p a g e s , i n c l u d i n g m o r e t h a n 100 p a g e s o f a p p e n d i c e s f i l l e d w i t h f i g u r e s . S o the t e x t l o o k s c o m p l i c a t e d , a n d r e v i e w e r s shy a w a y with a k n e e j e r k claim that, w h i l e t h e y s u s p e c t fallacies o f a r g u m e n t , they really c a n n o t j u d g e . So M i c k e y K a u s w r i t e s in t h e New Republic ( O c t o b e r 3 1 ) : " A s a lay r e a d e r of The Bell Curve, I ' m u n a b l e to j u d g e fairly," a s d o e s L e o n W i e s e l t i e r i n the s a m e issue: " M u r r a y , t o o , i s h i d i n g the h a r d n e s s o f his politics b e h i n d the h a r d n e s s o f his science. A n d his science f o r all I k n o w is soft. . . . Or so I i m a g i n e . I am n o t a scientist. I k n o w n o t h i n g a b o u t p s y c h o m e t r i c s . " O r P e t e r Passell i n the New York Times ( O c t o b e r 27, 1 9 9 4 ) : " B u t this r e v i e w e r is n o t a biologist, a n d will l e a v e t h e a r g u m e n t t o e x p e r t s . " In fact, The Bell Curve is e x t r a o r d i n a r i l y o n e - d i m e n s i o n a l . T h e b o o k m a k e s n o a t t e m p t t o s u r v e y t h e r a n g e o f available d a t a , a n d p a y s a s t o n i s h i n g l y little a t t e n t i o n to t h e rich a n d i n f o r m a t i v e history o f this c o n t e n t i o u s subject. ( O n e c a n o n l y recall S a n t a y a n a ' s d i c t u m , n o w a cliche o f intellectual life: " T h o s e w h o c a n n o t r e m e m b e r the past a r e c o n d e m n e d to r e p e a t it"). V i r t u a l l y all t h e analysis rests u p o n a single t e c h n i q u e a p p l i e d to a single set of d a t a — a l l p r o b a b l y d o n e i n o n e c o m p u t e r r u n . ( I d o a g r e e that the a u t h o r s h a v e u s e d the m o s t a p p r o p r i a t e t e c h n i q u e — m u l t i p l e r e g r e s s i o n — a n d t h e best source of information—the National Longitudinal Survey of Y o u t h — t h o u g h I shall e x p o s e a c o r e fallacy in t h e i r p r o c e d u r e b e low. Still, c l a i m s as b r o a d as t h o s e a d v a n c e d in The Bell Curve simply c a n n o t b e a d e q u a t e l y d e f e n d e d — t h a t is, e i t h e r p r o p e r l y s u p p o r t e d o r d e n i e d — b y s u c h a restricted a p p r o a c h . ) T h e b l a t a n t e r r o r s a n d i n a d e q u a c i e s of The Bell Curve c o u l d be p i c k e d u p b y lay r e v i e w e r s i f o n l y t h e y w o u l d n o t let t h e m s e l v e s b e f r i g h t e n e d b y n u m b e r s — f o r H e r r n s t e i n a n d M u r r a y d o write clearly a n d t h e i r m i s t a k e s a r e b o t h p a t e n t a n d accessible. I w o u l d r a n k the fallacies i n t w o c a t e g o r i e s : o m i s s i o n s a n d c o n f u s i o n s , a n d content.
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1. Omissions and confusions: W h i l e d i s c l a i m i n g on his o w n ability to j u d g e , M i c k e y K a u s (in t h e New Republic) d o e s c o r r e c t l y identify " t h e f i r s t t w o c l a i m s " that a r e a b s o l u t e l y essential "to m a k e the pessimistic 'ethnic d i f f e r e n c e ' a r g u m e n t w o r k " : "(1) that t h e r e is a single, g e n e r a l m e a s u r e o f m e n t a l ability; (2) that the I Q tests that p u r p o r t to m e a s u r e this ability . . . a r e n ' t c u l t u r a l l y b i a s e d . " N o t h i n g in The Bell Curve a n g e r e d me m o r e t h a n the a u t h o r s ' f a i l u r e to s u p p l y a n y justification f o r t h e i r c e n t r a l c l a i m , t h e sine qua non, of their e n t i r e a r g u m e n t : the reality of IQ as a n u m b e r that m e a s u r e s a real p r o p e r t y in t h e h e a d , t h e c e l e b r a t e d " g e n e r a l fact o r " o f i n t e l l i g e n c e ( k n o w n a s g ) f i r s t identified b y C h a r l e s S p e a r m a n i n 1904. M u r r a y a n d H e r r n s t e i n simply p r o c l a i m that t h e issue has b e e n d e c i d e d , as in this p a s s a g e f r o m t h e i r New Republic article: " A m o n g t h e e x p e r t s , i t i s b y n o w b e y o n d m u c h technical d i s p u t e that t h e r e is s u c h a t h i n g as a g e n e r a l f a c t o r of c o g n i t i v e ability on w h i c h h u m a n b e i n g s d i f f e r a n d that this g e n e r a l f a c t o r i s m e a s u r e d r e a s o n a b l y well by a v a r i e t y of s t a n d a r d i z e d tests, best of all by IQ tests d e s i g n e d f o r that p u r p o s e . " Such a statement represents extraordinary obfuscation, achieved by defining " e x p e r t " as "that g r o u p of psychometricians w o r k i n g i n t h e t r a d i t i o n o f g a n d its a v a t a r I Q . " T h e a u t h o r s e v e n a d m i t ( p p . 1 4 — 1 9 ) that t h r e e m a j o r schools o f p s y c h o m e t r i c interp r e t a t i o n n o w c o n t e n d , a n d that only o n e s u p p o r t s their view o f g a n d I Q — t h e classicists as c h a m p i o n e d in The Bell Curve ("intellig e n c e as a s t r u c t u r e " ) , t h e revisionists ("intelligence as i n f o r m a t i o n p r o c e s s i n g " ) , a n d t h e radicals ("the t h e o r y o f m u l t i p l e intelligences"). T h i s vital issue c a n n o t b e d e c i d e d , o r e v e n u n d e r s t o o d w i t h o u t d i s c u s s i n g the k e y a n d o n l y r a t i o n a l e that g has m a i n t a i n e d since S p e a r m a n i n v e n t e d t h e c o n c e p t i n 1 9 0 4 — f a c t o r analysis. T h e fact that H e r r n s t e i n a n d M u r r a y b a r e l y m e n t i o n the f a c t o r analytic arg u m e n t (the subject r e c e i v e s fleeting a t t e n t i o n i n t w o p a r a g r a p h s ) p r o v i d e s a c e n t r a l i n d i c t m e n t a n d illustration of the v a c u o u s n e s s in The Bell Curve. H o w c a n a u t h o r s base an e i g h t - h u n d r e d - p a g e b o o k on a claim f o r the reality of IQ as m e a s u r i n g a g e n u i n e , a n d largely genetic, general cognitive ability—and then hardly mention, either p r o o r c o n , t h e t h e o r e t i c a l basis f o r their c e r t a i n t y ? V a r i o u s cliches like "Hamlet w i t h o u t t h e P r i n c e o f D e n m a r k " c o m e i m m e d i a t e l y t o mind.
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A d m i t t e d l y , f a c t o r analysis is a difficult a n d m a t h e m a t i c a l subj e c t , b u t it c a n be e x p l a i n e d to lay r e a d e r s with a g e o m e t r i c a l f o r m u lation d e v e l o p e d by L. L. T h u r s t o n e in the 1930s a n d u s e d by me in C h a p t e r 7 of The Mismeasure of Man. A few p a r a g r a p h s c a n n o t suff i c e f o r a d e q u a t e e x p l a n a t i o n , so, a l t h o u g h I o f f e r s o m e s k e t c h y hints b e l o w , r e a d e r s s h o u l d not q u e s t i o n t h e i r o w n I Q ' s i f t h e topic still s e e m s a r c a n e . In brief, a p e r s o n ' s p e r f o r m a n c e s on v a r i o u s m e n t a l tests t e n d t o b e positively c o r r e l a t e d — t h a t is, i f y o u d o well o n o n e k i n d o f test, y o u t e n d t o d o well o n t h e o t h e r s . T h i s result i s scarcely s u r p r i s i n g , a n d is subject to e i t h e r p u r e l y g e n e t i c (the i n n a t e t h i n g in the h e a d that boosts all scores) o r p u r e l y e n v i r o n m e n t a l i n t e r p r e t a t i o n ( g o o d b o o k s a n d g o o d c h i l d h o o d n u t r i t i o n t o e n h a n c e all p e r f o r m a n c e s ) . T h e r e f o r e , t h e positive c o r r e l a t i o n s say n o t h i n g i n t h e m s e l v e s about causes. C h a r l e s S p e a r m a n u s e d f a c t o r analysis t o identify a single a x i s — w h i c h he called g—that best identifies t h e c o m m o n f a c t o r b e h i n d positive c o r r e l a t i o n s a m o n g the tests. B u t T h u r s t o n e later s h o w e d that g c o u l d be m a d e to d i s a p p e a r by simply r o t a t i n g t h e f a c t o r a x e s t o d i f f e r e n t positions. I n o n e r o t a t i o n , T h u r s t o n e p l a c e d t h e a x e s n e a r t h e m o s t w i d e l y s e p a r a t e d o f attributes a m o n g the t e s t s — t h u s g i v i n g rise t o t h e t h e o r y o f m u l t i p l e i n t e l l i g e n c e s (verbal, m a t h e m a t i cal, spatial, etc., with no o v e r a r c h i n g g). T h i s t h e o r y (the " r a d i c a l " view i n H e r r n s t e i n a n d M u r r a y ' s classification) has b e e n s u p p o r t e d by many prominent psychometricians, including J. P. Guilford in the 1950s, a n d m o s t p r o m i n e n t l y t o d a y b y H o w a r d G a r d n e r . I n this p e r s p e c t i v e , g c a n n o t h a v e i n h e r e n t reality, f o r g e m e r g e s in o n e f o r m o f m a t h e m a t i c a l r e p r e s e n t a t i o n f o r c o r r e l a t i o n s a m o n g tests, a n d d i s a p p e a r s (or at least g r e a t l y attenuates) in o t h e r f o r m s that are entirely e q u i v a l e n t i n a m o u n t s o f i n f o r m a t i o n e x p l a i n e d . I n a n y case, o n e can't g r a s p t h e issue at all w i t h o u t a c l e a r e x p o s i t i o n of f a c t o r a n a l y s i s — a n d The Bell Curve c o p s o u t c o m p l e t e l y on this c e n tral c o n c e p t . On K a u s ' s s e c o n d t h e m e of " c u l t u r a l bias," The Bell Curve's p r e sentation m a t c h e s A r t h u r J e n s e n ' s , a n d that o f o t h e r h e r e d i t a r i a n s , in c o n f u s i n g a t e c h n i c a l (and p r o p e r ) m e a n i n g of bias (I call it " S bias" f o r "statistical") with the entirely d i f f e r e n t v e r n a c u l a r c o n c e p t (I call it " V - b i a s " ) that agitates p o p u l a r d e b a t e . A l l these a u t h o r s swear u p a n d d o w n ( a n d I a g r e e with t h e m c o m p l e t e l y ) that t h e tests
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a r e n o t b i a s e d — i n t h e statistician's d e f i n i t i o n . L a c k o f S-bias m e a n s that the s a m e s c o r e , w h e n a c h i e v e d b y m e m b e r s o f d i f f e r e n t g r o u p s , p r e d i c t s t h e s a m e c o n s e q u e n c e — t h a t is, a black p e r s o n a n d a w h i t e p e r s o n with a n identical I Q s c o r e o f 100 will h a v e t h e s a m e p r o b a b i l ities f o r d o i n g a n y t h i n g that I Q i s s u p p o s e d t o p r e d i c t . ( I s h o u l d h o p e that m e n t a l tests a r e n ' t S-biased, f o r the t e s t i n g p r o f e s s i o n isn't w o r t h v e r y m u c h i f p r a c t i t i o n e r s can't e l i m i n a t e s u c h a n o b v i o u s s o u r c e o f u n f a i r n e s s b y c a r e f u l c h o i c e a n d f r a m i n g o f questions.) B u t V - b i a s , the s o u r c e o f p u b l i c c o n c e r n , e m b o d i e s a n e n t i r e l y d i f f e r e n t issue that, u n f o r t u n a t e l y , uses t h e s a m e w o r d . T h e public w a n t s t o k n o w w h e t h e r blacks a v e r a g e 8 5 a n d whites 100 b e c a u s e society treats blacks u n f a i r l y — t h a t is, w h e t h e r l o w e r black scores r e c o r d biases in this social s e n s e . A n d this c r u c i a l q u e s t i o n (to w h i c h we do not know the answer) cannot be addressed by a demonstration that S-bias d o e s n ' t exist (the o n l y issue t r e a t e d , h o w e v e r c o r r e c t l y , by The Bell Curve). 2. Content: As stated a b o v e , virtually all t h e d a t a in The Bell Curve d e r i v e f r o m o n e a n a l y s i s — a p l o t t i n g , b y a t e c h n i q u e called m u l t i p l e r e g r e s s i o n , o f t h e social b e h a v i o r s that agitate u s , s u c h a s c r i m e , u n e m p l o y m e n t , a n d births o u t o f w e d l o c k ( t r e a t e d a s d e p e n d e n t variables), a g a i n s t b o t h I Q a n d p a r e n t a l s o c i o e c o n o m i c status (treated a s i n d e p e n d e n t variables). T h e a u t h o r s f i r s t h o l d I Q constant a n d 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 social b e h a v i o r s t o p a r e n t a l s o c i o e c o n o m i c status. T h e y t h e n h o l d s o c i o e c o n o m i c status constant a n d 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 the s a m e social b e h a v i o r s t o I Q . I n g e n e r a l , they f i n d a h i g h e r c o r r e l a t i o n with I Q t h a n w i t h socioecon o m i c status; f o r e x a m p l e , p e o p l e w i t h low I Q a r e m o r e likely t o d r o p o u t o f h i g h s c h o o l t h a n p e o p l e w h o s e p a r e n t s h a v e low socioe c o n o m i c status. B u t s u c h a n a l y s e s m u s t e n g a g e t w o i s s u e s — f o r m and strength of t h e r e l a t i o n s h i p ) — a n d H e r r n s t e i n a n d M u r r a y o n l y discuss t h e issue that s e e m s t o s u p p o r t their v i e w p o i n t , w h i l e virtually i g n o r i n g (and i n o n e k e y p a s s a g e a l m o s t willfully a n d p u r p o s e l y h i d i n g ) t h e o t h e r f a c t o r that c o u n t s s o p r o f o u n d l y against t h e m . T h e i r n u m e r o u s g r a p h s o n l y p r e s e n t t h e form o f the r e l a t i o n s h i p s — t h a t is, t h e y d r a w t h e r e g r e s s i o n c u r v e s o f their variables a g a i n s t I Q a n d p a r e n t a l soc i o e c o n o m i c status. B u t , in violation of all statistical n o r m s that I've e v e r l e a r n e d , t h e y p l o t only t h e r e g r e s s i o n c u r v e a n d d o n o t show the scatter o f v a r i a t i o n a r o u n d t h e c u r v e , s o their g r a p h s s h o w n o t h i n g
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a b o u t the strength o f t h e r e l a t i o n s h i p — t h a t is, the a m o u n t o f variation i n social f a c t o r s e x p l a i n e d b y I Q a n d s o c i o e c o n o m i c status. N o w why w o u l d Herrnstein and Murray focus on the f o r m and i g n o r e t h e s t r e n g t h ? A l m o s t all o f their r e l a t i o n s h i p s a r e v e r y w e a k — t h a t is, v e r y little of t h e v a r i a t i o n in social factors c a n be e x p l a i n e d b y e i t h e r I Q o r s o c i o e c o n o m i c status ( e v e n t h o u g h the f o r m o f this small a m o u n t t e n d s t o lie i n t h e i r f a v o r e d d i r e c t i o n ) . I n s h o r t , IQ is n o t a m a j o r f a c t o r in d e t e r m i n i n g variation in n e a r l y all t h e social f a c t o r s t h e y s t u d y — a n d t h e i r v a u n t e d c o n c l u s i o n s t h e r e b y c o l l a p s e , o r b e c o m e s o s t r o n g l y a t t e n u a t e d that t h e i r p e s s i m i s m a n d c o n s e r v a t i v e social a g e n d a g a i n n o significant s u p p o r t . H e r r n s t e i n a n d M u r r a y actually a d m i t a s m u c h i n o n e c r u c i a l passage on p a g e 1 1 7 , but then they hide the pattern. T h e y write: "It a l m o s t a l w a y s e x p l a i n s less t h a n 20 p e r c e n t of t h e v a r i a n c e , to use t h e statistician's t e r m , usually less t h a n 10 p e r c e n t a n d o f t e n less t h a n 5 p e r c e n t . W h a t this m e a n s in E n g l i s h is that y o u c a n n o t p r e d i c t w h a t a g i v e n p e r s o n will do f r o m his IQ score. . . . On t h e o t h e r h a n d , d e s p i t e t h e l o w association a t the i n d i v i d u a l level, l a r g e d i f f e r e n c e s i n social b e h a v i o r s e p a r a t e g r o u p s o f p e o p l e w h e n the g r o u p s d i f f e r intellectually o n t h e a v e r a g e . " D e s p i t e this d i s c l a i m e r , t h e i r r e m a r k a b l e n e x t s e n t e n c e m a k e s a s t r o n g causal claim: " W e will a r g u e that i n t e l l i g e n c e itself, n o t j u s t its c o r r e l a t i o n w i t h s o c i o e c o n o m i c status, is r e s p o n s i b l e f o r t h e s e g r o u p d i f f e r e n c e s . " B u t a few p e r c e n t of statistical d e t e r m i n a t i o n is n o t e q u i v a l e n t to causal e x p l a n a t i o n (and c o r r e l a t i o n d o e s n o t i m p l y c a u s e i n a n y case, e v e n w h e n c o r r e l a t i o n s a r e s t r o n g — a s i n the p o w e r f u l , p e r f e c t , positive c o r r e lation b e t w e e n m y a d v a n c i n g a g e a n d t h e rise o f the n a t i o n a l d e b t ) . M o r e o v e r , t h e i r case i s e v e n w o r s e f o r their k e y g e n e t i c c l a i m s — f o r t h e y cite heritabilities o f a b o u t 6 0 p e r c e n t f o r I Q , s o y o u m u s t n e a r l y h a l v e t h e f e w p e r c e n t e x p l a i n e d i f y o u w a n t t o isolate the s t r e n g t h o f g e n e t i c d e t e r m i n a t i o n b y t h e i r o w n criteria! M y c h a r g e o f d i s i n g e n u o u s n e s s r e c e i v e s its s t r o n g e s t a f f i r m a t i o n in a sentence tucked away on the first p a g e of A p p e n d i x 4, page 5 9 3 , w h e r e t h e a u t h o r s state: " I n t h e text, w e d o n o t r e f e r t o t h e usual m e a s u r e o f g o o d n e s s o f fit f o r m u l t i p l e r e g r e s s i o n s , R , b u t t h e y a r e p r e s e n t e d h e r e f o r the cross-sectional analysis." N o w w h y w o u l d t h e y e x c l u d e f r o m t h e text, a n d r e l e g a t e t o a n a p p e n d i x that v e r y few p e o p l e will r e a d o r e v e n c o n s u l t , a n u m b e r that, b y their o w n a d m i s s i o n , i s " t h e usual m e a s u r e o f g o o d n e s s o f f i t . " I c a n o n l y 2
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c o n c l u d e that t h e y d i d n o t c h o o s e t o a d m i t i n t h e m a i n t e x t the e x t r e m e weakness of their vaunted relationships. H e r r n s t e i n a n d M u r r a y ' s c o r r e l a t i o n coefficients a r e g e n e r a l l y low e n o u g h b y t h e m s e l v e s t o i n s p i r e lack o f c o n f i d e n c e . ( C o r r e l a t i o n coefficients m e a s u r e the s t r e n g t h o f l i n e a r r e l a t i o n s h i p s b e t w e e n v a r i a b l e s ; positive v a l u e s r u n f r o m o . o f o r n o r e l a t i o n s h i p t o 1.0 f o r p e r f e c t l i n e a r r e l a t i o n s h i p . ) A l t h o u g h low f i g u r e s a r e n o t atypical i n t h e social sciences f o r l a r g e s u r v e y s i n v o l v i n g m a n y variables, most of Herrnstein and Murray's correlations are very w e a k — o f t e n in t h e 0.2 t o 0 . 4 r a n g e . N o w , 0 . 4 m a y s o u n d r e s p e c t a b l y s t r o n g , b u t — a n d n o w w e c o m e t o the k e y p o i n t — R i s the s q u a r e o f t h e c o r r e l a tion coefficient, a n d the s q u a r e of a n u m b e r b e t w e e n o a n d 1 is less t h a n t h e n u m b e r itself, so a 0 . 4 c o r r e l a t i o n yields an r - s q u a r e d of o n l y o . 16. I n A p p e n d i x 4 , t h e n , w e d i s c o v e r that t h e vast majority o f m e a s u r e s f o r R , e x c l u d e d f r o m t h e m a i n b o d y o f t h e text, h a v e v a l u e s less t h a n o . 1. T h e s e v e r y low v a l u e s o f R e x p o s e t h e true w e a k n e s s , i n a n y m e a n i n g f u l v e r n a c u l a r sense, o f n e a r l y all t h e relat i o n s h i p s that f o r m t h e h e a r t of The Bell Curve. 2
2
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L i k e so m a n y c o n s e r v a t i v e i d e o l o g u e s w h o rail against a largely b o g u s o g r e o f s u f f o c a t i n g political c o r r e c t n e s s , H e r r n s t e i n a n d M u r r a y claim that t h e y o n l y s e e k a h e a r i n g f o r u n p o p u l a r views so that t r u t h will o u t . A n d h e r e , f o r o n c e , I a g r e e entirely. As a cardc a r r y i n g First A m e n d m e n t (near) absolutist, I a p p l a u d t h e publication o f u n p o p u l a r v i e w s that s o m e p e o p l e c o n s i d e r d a n g e r o u s . I a m d e l i g h t e d that The Bell Curve was w r i t t e n — s o that its e r r o r s c o u l d be e x p o s e d , f o r H e r r n s t e i n a n d M u r r a y a r e r i g h t i n p o i n t i n g o u t the d i f f e r e n c e b e t w e e n p u b l i c a n d p r i v a t e a g e n d a s o n r a c e , a n d w e must s t r u g g l e t o m a k e a n i m p a c t u p o n t h e p r i v a t e a g e n d a s a s well. B u t The Bell Curve c a n scarcely be called an a c a d e m i c treatise in social t h e o r y a n d p o p u l a t i o n g e n e t i c s . T h e b o o k i s a m a n i f e s t o o f c o n s e r v a t i v e i d e o l o g y , a n d its sorry a n d biased t r e a t m e n t o f data r e c o r d s t h e p r i m a r y p u r p o s e — a d v o c a c y a b o v e all. T h e t e x t evokes t h e d r e a r y a n d scary d r u m b e a t o f c l a i m s associated w i t h conservative t h i n k t a n k s — r e d u c t i o n o r e l i m i n a t i o n o f w e l f a r e , e n d i n g o f a f f i r m a t i v e action i n schools a n d w o r k p l a c e s , cessation o f H e a d Start a n d o t h e r f o r m s o f p r e s c h o o l e d u c a t i o n , c u t t i n g o f p r o g r a m s for
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slowest l e a r n e r s a n d a p p l i c a t i o n o f f u n d s t o t h e gifted ( L o r d k n o w s I w o u l d l o v e to see m o r e a t t e n t i o n paid to t a l e n t e d s t u d e n t s , b u t n o t at this c r u e l a n d cynical p r i c e ) . T h e p e n u l t i m a t e c h a p t e r p r e s e n t s a n a p o c a l y p t i c vision o f a society w i t h a g r o w i n g u n d e r c l a s s p e r m a n e n t l y m i r e d in t h e inevitable sloth o f their low I Q ' s . T h e y will t a k e o v e r o u r city c e n t e r s , k e e p h a v i n g illegitimate b a b i e s (for m a n y a r e t o o s t u p i d t o practice birth control), c o m m i t m o r e crimes, a n d ultimately require a kind of custodial state, m o r e t o k e e p t h e m i n c h e c k (and o u t o f o u r h i g h I Q n e i g h b o r h o o d s ) t h a n w i t h a n y h o p e f o r a n a m e l i o r a t i o n that low I Q m a k e s i m p o s s i b l e i n a n y case. H e r r n s t e i n a n d M u r r a y actually w r i t e (p. 5 2 6 ) : " I n s h o r t , by c u s t o d i a l state, we h a v e in m i n d a h i g h - t e c h a n d m o r e lavish v e r s i o n o f t h e I n d i a n r e s e r v a t i o n f o r s o m e s u b s t a n tial m i n o r i t y o f the nation's p o p u l a t i o n , w h i l e t h e rest o f A m e r i c a tries to go a b o u t its b u s i n e s s . " T h e f i n a l c h a p t e r t h e n tries t o s u g g e s t a n a l t e r n a t i v e , b u t I h a v e never read a n y t h i n g so feeble, so unlikely, so almost grotesquely inadequate. T h e y yearn romantically for the " g o o d old days" of towns a n d n e i g h b o r h o o d s w h e r e all p e o p l e c o u l d b e g i v e n tasks o f value a n d s e l f - e s t e e m c o u l d b e f o u n d f o r all steps i n the I Q h i e r a r chy (so F o r r e s t G u m p m i g h t collect t h e c l o t h i n g f o r the c h u r c h raffle, while M r . M u r r a y a n d t h e o t h e r b r i g h t folks d o t h e p l a n n i n g and k e e p the a c c o u n t s . H a v e t h e y f o r g o t t e n a b o u t t h e t o w n J e w a n d the d w e l l e r s o n the o t h e r side o f t h e tracks i n m a n y o f these idyllic villages?). I do b e l i e v e in this c o n c e p t of n e i g h b o r h o o d , a n d I will fight for its r e t u r n . I g r e w up in s u c h a p l a c e within that m o s a i c k n o w n a s Q u e e n s , N e w Y o r k City, b u t c a n a n y o n e seriously f i n d solutions ( r a t h e r t h a n i m p o r t a n t palliatives) to o u r social ills t h e r e i n ? H o w e v e r , i f H e r r n s t e i n a n d M u r r a y are w r o n g a b o u t I Q a s a n i m m u t a b l e t h i n g i n t h e h e a d , w i t h h u m a n s g r a d e d i n a single scale o f general capacity, l e a v i n g l a r g e n u m b e r s o f c u s t o d i a l i n c o m p e t e n t s a t the b o t t o m , t h e n t h e m o d e l that g e n e r a t e s t h e i r g l o o m y vision collapses, a n d t h e w o n d e r f u l v a r i o u s n e s s o f h u m a n abilities, p r o p erly n u r t u r e d , r e e m e r g e s . We m u s t fight t h e d o c t r i n e of The Bell Curve both b e c a u s e it is w r o n g a n d b e c a u s e it will, if a c t i v a t e d , c u t off all possibility o f p r o p e r n u r t u r a n c e f o r e v e r y o n e ' s i n t e l l i g e n c e . O f course w e c a n n o t all b e r o c k e t scientists o r b r a i n s u r g e o n s (to use h e two c u r r e n t s l a n g s y n e c d o c h e s f o r smartest o f t h e s m a r t ) , b u t l
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t h o s e w h o can't m i g h t b e r o c k m u s i c i a n s o r p r o f e s s i o n a l athletes (and g a i n far m o r e social p r e s t i g e a n d salary t h e r e b y ) — w h i l e o t h e r s will i n d e e d s e r v e b y s t a n d i n g a n d w a i t i n g . I c l o s e d C h a p t e r 7 in The Mismeasure of Man on t h e u n r e a l i t y of g a n d the fallacy of r e g a r d i n g i n t e l l i g e n c e as a single i n n a t e t h i n g in-the-head (rather than a r o u g h vernacular term for a w o n d r o u s p a n o p l y o f l a r g e l y i n d e p e n d e n t abilities) with a m a r v e l o u s q u o t e f r o m J o h n S t u a r t Mill, well w o r t h r e p e a t i n g t o d e b u n k this g e n e r a tion's r e c y c l i n g o f b i o l o g i c a l d e t e r m i n i s m f o r the g e n e t i c s o f intelligence: T h e tendency has always been strong to believe that whatever received a name must be an entity or being, having an i n d e p e n d e n t existence of its own. A n d if no real entity answering to the name could be found, men did not for that reason suppose that none existed, but imagined that it was something particularly abstruse and mysterious. H o w s t r a n g e that w e w o u l d let a single false n u m b e r d i v i d e us, w h e n e v o l u t i o n has u n i t e d all p e o p l e i n the r e c e n c y o f o u r c o m m o n a n c e s t r y — t h u s u n d e r g i r d i n g with a s h a r e d h u m a n i t y that infinite variety w h i c h c u s t o m c a n n e v e r stale. E pluribus unum.
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Ghosts of Bell Curves Past I don't k n o w w h e t h e r or not most white m e n can j u m p (though I can attest, t h r o u g h l o n g o b s e r v a t i o n , that L a r r y B i r d c a n n o t — b u t , o h , L o r d , c o u l d h e play basketball). A n d I d o n ' t m u c h c a r e , t h o u g h I s u p p o s e that t h e subject b e a r s s o m e interest a n d m a r g i n a l legitimacy i n a n a l t e r n a t e f r a m i n g that a v o i d s s u c h biologically m e a n i n g less c a t e g o r i e s as w h i t e a n d black. Y e t I c a n n e v e r g i v e a s p e e c h on the subject o f h u m a n diversity w i t h o u t a t t r a c t i n g s o m e v a r i a n t o f this i n q u i r y in t h e s u b s e q u e n t q u e s t i o n p e r i o d . I h e a r t h e " s p o r t s version," I s u p p o s e , as an a c c e p t a b l e s u r r o g a t e f o r w h a t really t r o u bles p e o p l e o f g o o d will (and b a d , t h o u g h f o r o t h e r r e a s o n s ) . T h e o l d d a y s o f o v e r t racism d i d n o t e n g e n d e r s u c h s q u e a mishness. W h e n t h e g r a n d f a t h e r o f m o d e r n a c a d e m i c r a c i s m , J o s e p h - A r t h u r , c o m t e d e G o b i n e a u ( 1 8 1 6 — 1 8 8 2 ) , a s k e d a similar question a b o u t t h e n a t u r e o f s u p p o s e d l y i n b o r n a n d u n c h a n g e a b l e differences a m o n g racial g r o u p s , h e laid i t r i g h t o n t h e line. T h e title of the c o n c l u d i n g c h a p t e r to V o l u m e 1 of his m o s t influential work, Essai sur I'inegalite des races humains (Essay on the Inequality of Human Races), r e a d s : " M o r a l a n d Intellectual C h a r a c t e r i s t i c s of t h e T h r e e G r e a t V a r i e t i e s . " O u r c o n c e r n s h a v e always c e n t e r e d u p o n smarts a n d d e c e n c y , n o t j u m p i n g h e i g h t a n d susceptibility t o c a r d i o vascular arrest. A n d G o b i n e a u left n o d o u b t a b o u t his p o s i t i o n : tie idea of an innate and permanent difference in the moral and mental endowments of the various groups of the h u m a n species, is o n e of the most ancient, as well as universally adopted, opinions. With few exceptions, and these mostly in our own times, it has formed the basis of almost all political theories, and has been the fundamental maxim of g o v e r n m e n t of every nation, great or small. T h e prejudices of country have no other cause; each nation believes in its o w n superiority over its neighbors, and very often terent parts of the same nation regard each other with contempt. 1
o 0
j . G o b i n e a u was u n d o u b t e d l y t h e m o s t influential a c a d e m i c racist the n i n e t e e n t h c e n t u r y . His w r i t i n g s s t r o n g l y a f f e c t e d s u c h intela l s a s W a g n e r a n d N i e t z s c h e a n d i n s p i r e d a social m o v e m e n t a s G o b i n i s m . L a r g e l y t h r o u g h his i m p a c t o n the E n g l i s h u
W
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zealot H o u s t o n S t e w a r t C h a m b e r l a i n , G o b i n e a u ' s ideas s e r v e d as a f o u n d a t i o n f o r t h e racial t h e o r i e s e s p o u s e d b y A d o l f H i t l e r . G o b i n e a u , a n a r i s t o c r a t i c royalist b y b a c k g r o u n d , i n t e r s p e r s e d w r i t i n g with a s u c c e s s f u l d i p l o m a t i c c a r e e r f o r the F r e n c h g o v e r n m e n t . H e a u t h o r e d s e v e r a l n o v e l s a n d w o r k s o f historical n o n f i c t i o n ( a history o f t h e P e r s i a n p e o p l e a n d o f the E u r o p e a n R e n a i s s a n c e , f o r e x a m ple), b u t b e c a m e m o s t f a m o u s f o r his f o u r - v o l u m e w o r k o n racial inequality, p u b l i s h e d b e t w e e n 1 8 5 3 a n d 1 8 5 5 . G o b i n e a u ' s basic position c a n b e easily s u m m a r i z e d : t h e fate o f civilizations is l a r g e l y d e t e r m i n e d by racial c o m p o s i t i o n , with d e c l i n e a n d fall u s u a l l y a t t r i b u t a b l e t o d i l u t i o n o f p u r e stocks b y interb r e e d i n g . ( G o b i n e a u f e a r e d that the c o n t e m p o r a r y w e a k e n i n g o f F r a n c e , l a r g e l y t o G e r m a n a d v a n t a g e , c o u l d b e " t r a c e d t o t h e great variety o f i n c o n g r u o u s e t h n i c a l e l e m e n t s c o m p o s i n g the p o p u l a t i o n , " a s his t r a n s l a t o r w r o t e i n i n t r o d u c i n g t h e f i r s t A m e r i c a n edition o f 1 8 5 6 ) . T h e w h i t e r a c e s (especially t h e d o m i n a n t A r y a n s u b g r o u p s ) m i g h t r e m a i n i n c o m m a n d , G o b i n e a u h o p e d , but only i f t h e y c o u l d b e k e p t relatively f r e e f r o m m i s c e g e n a t i o n with intellectually a n d m o r a l l y i n f e r i o r stocks o f y e l l o w s a n d blacks ( G o b i n e a u u s e d these c r u d e t e r m s o f c o l o r f o r his t h r e e m a j o r g r o u p s ) . N o o n e w o u l d d o u b t t h e political p o t e n c y o f s u c h i d e a s , and n o o n e w o u l d c r e d i t a n y c l a i m that G o b i n e a u w r o t e o n l y i n t h e interest o f abstract t r u t h , with n o a g e n d a o f a d v o c a c y i n m i n d . Nonetheless, i t d o e s n o h a r m t o p o i n t o u t that the A m e r i c a n translation, published in P h i l a d e l p h i a in 1 8 5 6 , as D r e d Scott's case c a m e b e f o r e the S u p r e m e C o u r t n e a r t h e b r i n k o f o u r Civil W a r , s u r e l y t o u c h e d a n e r v e i n p a r l o u s t i m e s — f o r G o b i n e a u ' s distinctive n o t i o n o f racial p u r i t y , a n d t h e d a n g e r o f i n t e r m i x i n g , s u r e l y struck h o m e i n our n a t i o n o f m a x i m a l racial diversity a n d p e r v a s i v e inequality, with e n s l a v e m e n t o f blacks a n d d e c i m a t i o n o f I n d i a n s . J . C . N o t t o f Mobile, A m e r i c a ' s m o s t active p o p u l a r i z e r o f a n t h r o p o l o g y i n the racist m o d e , w r o t e a l o n g a p p e n d i x to t h e translation (his t e x t b o o k Types of Mankind, w r i t t e n with G. R. G l i d d o n in 1 8 5 4 , was the c o n t e m p o r a r y A m e r i c a n b e s t seller in t h e field). Lest a n y o n e miss the point of local r e l e v a n c e f o r this E u r o p e a n treatise, t h e translator wrote m his p r e f a c e : T h e aim [of s t u d y i n g racial differences] is certainly a noble one, and it pursuit c a n n o t be otherwise than instructive to the statesman and histo
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and no less so to the general reader. In this country, it is particularly interesting and important, for not only is our i m m e n s e territory the abode of the three best defined varieties of the h u m a n species—the white, the negro, and the Indian—to which the extensive immigration of the Chinese on our Pacific coast is rapidly adding a fourth, but the fusion of diverse nationalities is nowhere more rapid and complete. Y e t G o b i n e a u n e e d e d e v i d e n c e f o r his claims. ( M y p r e v i o u s q u o tation f r o m G o b i n e a u o n l y asserts that m o s t p e o p l e b e l i e v e i n i n n a t e inequality, a n d d o e s n o t p r e s e n t a n y e v i d e n c e that this c o m m o n i m p r e s s i o n i s c o r r e c t . ) T h e r e f o r e , i n t h e last c h a p t e r o f his w o r k , Gobineau outlines an a p p r o a c h to securing the necessary data for his racism. He b e g i n s by telling us h o w we s h o u l d not f r a m e t h e a r g u m e n t . W e s h o u l d n o t , h e c l a i m s , p o i n t t o the p o o r a c c o m p l i s h ments of i n d i v i d u a l s b e l o n g i n g to " i n f e r i o r r a c e s , " f o r s u c h a strategy will b a c k f i r e a s e g a l i t a r i a n s s e a r c h f o r r a r e e x e m p l a r s o f h i g h achievement within generally benighted groups. Gobineau begins his final c h a p t e r by w r i t i n g (the q u o t a t i o n is l o n g , a n d chilling, b u t well w o r t h t h e s p a c e f o r its r e m i n d e r a b o u t " c e r t a i n t i e s " of a n o t so distant past): In the preceding pages, I have endeavored to show that . . . the various branches of the h u m a n family are distinguished by permanent and ineradicable differences, both mentally and physically. T h e y are unequal in intellectual capacity, in personal beauty, and in physical strength. . . . In c o m i n g to this conclusion, I have totally eschewed the m e t h o d which is, unfortunately for the cause of science, too often resorted to by the ethnologists, and which, to say the least of it, is simply ridiculous. T h e discussion has not rested upon the moral and intellectual worth of isolated individuals. I shall not even wait for the vindicators of the absolute equality of all races to adduce to me such and such a passage in s o m e missionary's or navigator's journal, wherefrom it appears that s o m e Yolof has become a skillful carpenter, that s o m e Hottentot has made an excellent domestic, that some Caffre plays well on the violin, or that some Bambarra has m a d e very respectable progress in arithmetic. I am prepared to admit—and to admit without proof—anything of that sort, however remarkable, that may be related of the most degraded sav* 8 - • . . Nay, I go farther than my opponents, and am not in the least ^ P ° s e d to doubt that, a m o n g the chiefs of the rude negroes of Africa, re could be found a considerable number of active and vigorous minds, our '^ P ' S i fertility o f ideas and mental resources the average o f Peasantry, and even of some of our middle classes. es
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(Pervasity o f p r e j u d i c e d o e s r e s i d e i n t h e u n c o n s c i o u s details. N o t e h o w G o b i n e a u , w r i t i n g i n his " g e n e r o u s " m o d e , still c a n n o t i m a g i n e , f o r a n A f r i c a n r u l e r , a n y h i g h e r intellectual status t h a n t h e E u r o pean peasantry or perhaps the lower reaches of the b o u r g e o i s i e — b u t n e v e r , h e a v e n f o r f e n d , e v e n the w o r s t o f t h e u p p e r classes!) H o w , t h e n , shall racial status b e a f f i r m e d i f a r g u m e n t s a b o u t i n d i v i d u a l s h a v e no validity? G o b i n e a u states that we m u s t find a measure, preferably i m b u e d with the prestige of mathematics, for average properties of groups: Once for all, such arguments [about individuals] seem to me unworthy of real science. . . . Let us leave such puerilities, and compare, not the individuals, but the masses. . . . This difficult and delicate task cannot be accomplished until the relative position of the whole mass of each race shall have been nicely, and, so to say, mathematically defined. I w a s , I c o n f e s s , p r o m p t e d to r e r e a d G o b i n e a u by t h e c u r r e n t b r o u h a h a o v e r The Bell Curve by C h a r l e s M u r r a y a n d my late coll e a g u e R i c h a r d H e r r n s t e i n — f o r I r e c o g n i z e d that they use exactly the same structure of a r g u m e n t about individuals and groups, t h o u g h f o r q u i t e a d i f f e r e n t p u r p o s e , a n d t h e disparity within the similarity struck m e a s e e r i e . H e r r n s t e i n a n d M u r r a y also claim that a v e r a g e d i f f e r e n c e s i n i n t e l l i g e n c e b e t w e e n racial g r o u p s a r e real a n d salient (also l a r g e l y i n n a t e a n d effectively i m m u t a b l e ) , a n d they also insist that s u c h g r o u p disparities c a r r y n o i m p l i c a t i o n for the j u d g m e n t o f i n d i v i d u a l s . I n this w a y , they h o p e t o a v o i d a c h a r g e o f racism a n d s e c u r e a j u d g m e n t a s u p h o l d e r s o f h u m a n r i g h t s — f o r no black i n d i v i d u a l , in their view, s h o u l d be d e v a l u e d b e c a u s e his g r o u p is i n n a t e l y less i n t e l l i g e n t t h a n w h i t e s ; a f t e r all, this particular i n d i v i d u a l m a y b e a r a r e l y brilliant m e m b e r o f his a v e r a g e l y d u m b race. (I m u s t say t h a t I r e g a r d s u c h an a r g u m e n t as e i t h e r disingenuo u s or n a i v e — a n d I c a n ' t v i e w M r . M u r r a y as n a i v e — g i v e n the realities o f racial a t t i t u d e s i n A m e r i c a vs. o u r i d e a l i z e d h o p e for j u d g m e n t o f all i n d i v i d u a l s o n their p e r s o n a l a c h i e v e m e n t s and attributes a l o n e , a n d n o t b y their g r o u p m e m b e r s h i p . ) Gobineau wished to separate individual and g r o u p judgment b e c a u s e h e d i d n ' t w a n t the "reality" o f g r o u p d i f f e r e n c e s t o b e b l u r r e d b y t h e u n c h a r a c t e r i s t i c p e r f o r m a n c e o f r a r e individuals. H e r r n s t e i n a n d M u r r a y m a k e t h e distinction i n a v e r y d i f f e political c l i m a t e ; t h e y e m p h a s i z e t h e reality of i n d i v i d u a l achieve r e n t
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merit ( r a t h e r t h a n its a n n o y i n g c o n f u s i o n ) in o r d e r to a v o i d (fairly e n o u g h ) t h e c h a r g e o f racism w h i l e m a i n t a i n i n g s o m e t h i n g q u i t e close t o G o b i n e a u ' s d i f f e r e n c e s i n i n t e l l i g e n c e a n d t h e u n l i k e l i h o o d o f t h e i r e r a s u r e . (Please u n d e r s t a n d that I a m n o t t r y i n g t o b e s m i r c h H e r r n s t e i n a n d M u r r a y b y n a m e - c a l l i n g f r o m the past. I a m n o t a t t e m p t i n g t o establish m y i n d i r e c t l i n k a g e t o t h e T h i r d R e i c h — a n d n e i t h e r c a n w e b l a m e G o b i n e a u f o r Hitler's e x t r e m e u s a g e s via C h a m b e r l a i n . B u t I a m f a s c i n a t e d that s t r u c t u r e s o f i d e a s c a n b e s o similar across t h e c e n t u r i e s , w h i l e t h i n k e r s o f basically c o n s o n a n t m i n d e m p h a s i z e d i f f e r e n t p a r t s o f a n entity i n the climates o f varyi n g times.) G o b i n e a u , s e e k i n g a m a t h e m a t i c a l basis f o r g r o u p d i f f e r e n c e s i n i n t e l l i g e n c e a n d m o r a l i t y , w a s stuck with t h e c r u d e a n d d i r e c t m e a s u r e s o f n i n e t e e n t h - c e n t u r y racist s c i e n c e — m a i n l y s h a p e s a n d sizes o f skulls a n d o t h e r b o d y p a r t s (for n o s u p p o s e d l y " d i r e c t " assessment b y m e n t a l t e s t i n g h a d yet b e e n d e v e l o p e d ) . F o r e x a m p l e , o b i n e a u l o c a t e d black destiny i n e x t e r n a l a n a t o m y : he dark races are the lowest on the scale. T h e shape of the pelvis has character of animalism, which is imprinted on the individuals of that ace ere their birth, and seems to portend their destiny. . . . T h e negro's -arrow and receding forehead seems to mark him as inferior in reasoning parity. M o r e o v e r , in a m a n n e r so characteristic of this p s e u d o s c i e n c e , G o b i n e a u m a n a g e s t o spin e v e r y o b s e r v a t i o n i n the light o f his p r e conception a b o u t black inferiority. E v e n ostensibly f a v o r a b l e traits are r e d e p l o y e d i n t h e service o f racist i n t e r p r e t a t i o n . O n the s u p posed stoicism o f blacks i n the f a c e o f p a i n , f o r e x a m p l e , G o b i n e a u cites the t e s t i m o n y o f a d o c t o r : " T h e y b e a r s u r g i c a l o p e r a t i o n s m u c h better than w h i t e p e o p l e , a n d w h a t w o u l d b e t h e c a u s e o f i n s u p p o r t able pain to a w h i t e m a n , a n e g r o w o u l d a l m o s t d i s r e g a r d . I h a v e a m p u t a t e d t h e legs o f m a n y n e g r o e s , w h o h a v e h e l d t h e u p p e r p a r t o f the limb t h e m s e l v e s . " A n y w h i t e m a n w o u l d b e p r a i s e d f o r bravery, c o u r a g e , a n d nobility, b u t G o b i n e a u attributes this s u p p o s e d toleration o f p a i n b y blacks t o " a m o r a l c o w a r d i c e w h i c h r e a d i l y e k s r e f u g e i n d e a t h , o r i n a sort o f m o n s t r o u s impassivity." S e
l n t
As measurement of bodies f o r m e d the c r u d e and only marginy successful (even in their o w n terms) d e v i c e s of scientific racism n i n e t e e n t h c e n t u r y , s o has t h e m o r e s o p h i s t i c a t e d t e c h n o l o g y n
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o f m e n t a l t e s t i n g — m e a s u r i n g the subtle inside, a s i t w e r e , r a t h e r t h a n t h e i n d i r e c t o u t s i d e — s e t the basis f o r m o s t a r g u m e n t s a b o u t h u m a n i n e q u a l i t y in the t w e n t i e t h c e n t u r y . ( A s I e x p l a i n in m u c h g r e a t e r detail in t h e m a i n text, I am n o t o p p o s e d to all f o r m s of m e n t a l t e s t i n g a n d I c e r t a i n l y d o n o t view t h e e n t e r p r i s e a s i n h e r ently racist o r d e v o t e d t o a r g u i n g f o r i m m u t a b l e h u m a n d i f f e r e n c e s — f o r e x a c t l y t h e o p p o s i t e i n t e n t i o n has o f t e n b e e n p r o m o t e d i n u s i n g tests t o m e a s u r e t h e i m p r o v e m e n t that g o o d e d u c a t i o n can supply.) H o w e v e r , o n e p a r t i c u l a r p h i l o s o p h y o f m e n t a l testing d o e s u n d e r g i r d m o s t a r g u m e n t s a b o u t intellectual d i f f e r e n c e s a m o n g h u m a n g r o u p s m a d e i n o u r c e n t u r y . M o r e o v e r , this p h i l o s o p h y d o e s e m e r g e directly f r o m the c r u d e r techniques for m e a s u r i n g bodies that d e f i n e d the subject in the n i n e t e e n t h c e n t u r y . In this sense, we m a y t r a c e c o n t i n u i t y f r o m G o b i n e a u t o the m o d e r n h e r e d i t a r i a n t h e o r y o f I Q . I t h o u g h t that this p h i l o s o p h y h a d r e c e d e d f r o m inf l u e n c e as a j o i n t result of w e l l - e x p o s e d fallacies in t h e g e n e r a l a r g u m e n t a n d f a i l u r e o f d a t a t o v a l i d a t e the essential p r e m i s e s . B u t H e r r n s t e i n a n d M u r r a y h a v e r e v i v e d this p h i l o s o p h y in its full a n d o r i g i n a l f o r m in The Bell Curve—and we m u s t t h e r e f o r e r e t u r n to t h e historical s o u r c e s o f fallacy. T h e "Gobinist" version of mental testing—using the enterprise t o a r g u e f o r i n n a t e a n d i n e r a d i c a b l e d i f f e r e n c e s i n g e n e r a l intellig e n c e a m o n g h u m a n g r o u p s — r e l i e s u p o n f o u r s e q u e n t i a l a n d int e r r e l a t e d p r e m i s e s ; e a c h m u s t b e t r u e i n d i v i d u a l l y (and all the l i n k a g e s m u s t h o l d a s well), o r else t h e e n t i r e edifice collapses: 1 . T h e w o n d e r f u l l y m u l t i f a r i o u s a n d m u l t i d i m e n s i o n a l set o f h u m a n attributes t h a t w e call " i n t e l l i g e n c e " i n t h e v e r n a c u l a r must all rest u p o n a s i n g l e , o v e r a r c h i n g (or u n d e r g i r d i n g ) f a c t o r of g e n e r a l intellectual c a p a c i t y , usually called g, or the g e n e r a l factor of i n t e l l i g e n c e (see my c r i t i q u e of this n o t i o n a n d its m a t h e m a t i c a l basis in C h a p t e r 7 of t h e m a i n text). 2. T h e general " a m o u n t " of intelligence in each person must be m e a s u r a b l e as a single n u m b e r (usually called " I Q " ) ; a l i n e a r ranki n g o f p e o p l e b y I Q m u s t t h e r e f o r e establish a h i e r a r c h y o f d i f f e r e n tial i n t e l l i g e n c e ; a n d , finally (for t h e social f a c t o r in t h e a r g u m e n t ) , p e o p l e ' s a c h i e v e m e n t s in life, a n d t h e i r social r a n k s in h i e r a r c h i e s of w o r t h a n d w e a l t h , m u s t b e s t r o n g l y c o r r e l a t e d with their I Q scores.
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3 . T h i s single n u m b e r m u s t m e a s u r e a n i n b o r n quality o f g e n e t i c c o n s t i t u t i o n , h i g h l y h e r i t a b l e across g e n e r a t i o n s . 4 . A p e r s o n ' s I Q s c o r e m u s t b e stable a n d p e r m a n e n t — s u b j e c t t o little c h a n g e (but o n l y m i n o r a n d t e m p o r a r y t i n k e r i n g ) b y a n y p r o g r a m o f social a n d e d u c a t i o n a l i n t e r v e n t i o n . In other words, to characterize each of the four a r g u m e n t s in a w o r d o r t w o , h u m a n i n t e l l i g e n c e m u s t b e abstractable (as a single n u m b e r ) , r a n k a b l e , h i g h l y h e r i t a b l e , a n d effectively i m m u t a b l e . I f a n y o f t h e s e a s s u m p t i o n s fails, t h e e n t i r e a r g u m e n t a n d associated political a g e n d a g o belly u p . F o r e x a m p l e , i f o n l y t h e f o u r t h p r e m i s e o f i m m u t a b i l i t y i s false, t h e n social p r o g r a m s o f intense e d u c a t i o n a l r e m e d i a t i o n m a y well b o o s t , substantially a n d p e r m a n e n t l y , a n innate and highly heritable disadvantage in I Q — j u s t as I may purc h a s e a p a i r o f e y e g l a s s e s t o c o r r e c t a n entirely i n b o r n a n d fully h e r i t a b l e d e f e c t o f vision. ( T h e false e q u a t i o n o f " h e r i t a b l e " w i t h " p e r m a n e n t " o r " u n c h a n g e a b l e " has l o n g acted a s a c a r d i n a l misc o n c e p t i o n in this d e b a t e . ) I c a n n o t , in this essay, p r e s e n t a full c r i t i q u e of The Bell Curve (see the p r e v i o u s essay f o r m o r e details). I o n l y wish to trace s o m e historical r o o t s a n d to e x p o s e a s t u n n i n g i r o n y . The Bell Curve's a r g u m e n t a b o u t a v e r a g e i n t e l l i g e n c e a m o n g racial g r o u p s i s n o d i f f e r e n t from and no m o r e supportable than Gobineau's f o u n d i n g version. T h e major addition is a c h a n g e in m e t h o d o l o g y and sophistication— f r o m m e a s u r i n g b o d i e s t o m e a s u r i n g t h e c o n t e n t o f h e a d s i n intellig e n c e testing. B u t t h e I Q v e r s i o n relies u p o n a s s u m p t i o n s (the f o u r statements a b o v e ) a s u n s u p p o r t a b l e a s t h o s e u n d e r p i n n i n g t h e o l d h i e r a r c h i e s o f skull sizes p r o p o s e d b y n i n e t e e n t h - c e n t u r y participants. I n this light, w e c a n g a i n g r e a t i n s i g h t b y revisiting the philoso p h y a n d i n t e n t o f t h e m a n w h o f i r s t i n v e n t e d t h e m o d e r n style o f mental t e s t i n g d u r i n g t h e f i r s t d e c a d e o f o u r c e n t u r y — t h e F r e n c h psychologist A l f r e d B i n e t ( w h o later b e c a m e t h e e p o n y m o f t h e test w h e n S t a n f o r d p r o f e s s o r L e w i s M . T e r m a n i m p o r t e d the a p p a r a t u s to A m e r i c a , d e v e l o p e d a local v e r s i o n , a n d called it the S t a n f o r d Binet I Q test). I shall s h o w that B i n e t ' s i n t e n t i o n s s h a r p l y c o n t r a d i c t e d t h e innatist v e r s i o n , f o r h e b e l i e v e d s t r o n g l y i n e d u c a t i o n a l r e m e d i a t i o n a n d explicitly r e j e c t e d a n y h e r e d i t a r i a n r e a d i n g o f his results. Ironically, the h e r e d i t a r i a n t h e o r y o f I Q (the i m p o s i t i o n o f Binet's a p p a r a t u s
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u p o n G o b i n e a u ' s a r g u m e n t ) a r o s e i n A m e r i c a , l a n d o f liberty a n d j u s t i c e f o r all (but d u r i n g o u r m o s t j i n g o i s t i c p e r i o d d u r i n g a n d f o l l o w i n g W o r l d W a r I). T h e e x p o s u r e o f Binet's o r i g i n a l intent d o e s n o t p r o v e h i m r i g h t o r t h e h e r e d i t a r i a n s w r o n g (after all, a d o c t r i n e of o r i g i n a l i n t e n t w o r k s e v e n less well in science t h a n in c o n s t i t u t i o n a l law!). R a t h e r , B i n e t is r i g h t b e c a u s e his a r g u m e n t s c o n t i n u e t o h a v e validity, a n d t h e d i s t o r t i o n o f his wise a n d h u m a n e e f f o r t m u s t r a n k a s o n e o f the g r e a t t r a g e d i e s o f t w e n t i e t h - c e n t u r y science. In 1904, Binet was commissioned by the minister of public e d u c a t i o n in F r a n c e to d e v i s e a w a y of i d e n t i f y i n g c h i l d r e n in p r i m a r y s c h o o l w h o s e difficulties i n n o r m a l c l a s s r o o m s s u g g e s t e d s o m e n e e d f o r special e d u c a t i o n . (In F r e n c h p u b l i c schools, classes t e n d e d t o b e q u i t e l a r g e a n d c u r r i c u l a inflexible; t e a c h e r s h a d little time t o d e v o t e to i n d i v i d u a l s t u d e n t s with p a r t i c u l a r needs.) B i n e t d e c i d e d on a p u r e l y practical a p p r o a c h . He d e v i s e d a test b a s e d u p o n a h o d g e p o d g e o f d i v e r s e tasks r e l a t e d t o e v e r y d a y p r o b l e m s o f life ( c o u n t i n g c o i n s , f o r e x a m p l e ) a n d s u p p o s e d l y i n v o l v i n g basic p r o c e s s e s o f reas o n i n g (logic, o r d e r i n g , c o r r e c t i o n ) r a t h e r t h a n explicitly l e a r n e d skills like r e a d i n g . B y m i x i n g t o g e t h e r e n o u g h tests o f d i f f e r e n t a t t r i b u t e s , B i n e t h o p e d to abstract a child's g e n e r a l p o t e n t i a l with a single s c o r e . B i n e t e m p h a s i z e d t h e r o u g h - a n d - r e a d y , e m p i r i c a l n a t u r e of his test w i t h a d i c t u m : "It m a t t e r s v e r y little w h a t the tests a r e s o l o n g a s they a r e n u m e r o u s . " B i n e t explicitly d e n i e d that his t e s t — l a t e r called a n intelligence q u o t i e n t (or I Q ) w h e n t h e G e r m a n p s y c h o l o g i s t W . S t e r n scored t h e results by d i v i d i n g " m e n t a l a g e " (as a s c e r t a i n e d on t h e test) by c h r o n o l o g i c a l a g e — c o u l d b e m e a s u r i n g a n i n t e r n a l biological p r o p erty w o r t h y o f t h e n a m e " g e n e r a l i n t e l l i g e n c e . " First o f all, Binet b e l i e v e d that t h e c o m p l e x a n d m u l t i f a r i o u s p r o p e r t y called intellig e n c e c o u l d n o t , in p r i n c i p l e , be c a p t u r e d by a single n u m b e r capable o f r a n k i n g c h i l d r e n i n a l i n e a r h i e r a r c h y . H e w r o t e i n 1 9 0 5 : T h e scale, properly speaking, does not permit the measure of the intellig e n c e because intellectual qualities are not superposable, and therefore cannot be measured as linear surfaces are measured. M o r e o v e r , B i n e t f e a r e d that i f t e a c h e r s r e a d t h e I Q n u m b e r a s an inflexible i n b o r n quality, r a t h e r t h a n (as he i n t e n d e d ) a g u i d e for i d e n t i f y i n g s t u d e n t s i n n e e d o f h e l p , they w o u l d use t h e scores a s
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a cynical e x c u s e f o r e x p u n g i n g , r a t h e r t h a n a i d i n g , t r o u b l e s o m e students. Binet wrote of such teachers: " T h e y seem to reason in the f o l l o w i n g w a y : ' H e r e i s a n e x c e l l e n t o p p o r t u n i t y f o r g e t t i n g rid o f all t h e c h i l d r e n w h o t r o u b l e us,' a n d w i t h o u t the t r u e critical spirit, t h e y d e s i g n a t e all w h o a r e u n r u l y , o r d i s i n t e r e s t e d i n the s c h o o l . " B i n e t also f e a r e d t h e p o w e r f u l bias that has since b e e n l a b e l e d "selffulfilling p r o p h e c y " o r t h e P y g m a l i o n e f f e c t : i f t e a c h e r s a r e told that a student is inherently u n e d u c a b l e based on misinterpretation of low I Q s c o r e s , t h e y will treat t h e s t u d e n t a s u n a b l e , t h e r e b y e n c o u r aging p o o r p e r f o r m a n c e by their inadequate nurture, rather than t h e s t u d e n t ' s i n h e r e n t n a t u r e . I n v o k i n g t h e case t h e n r a c k i n g France, Binet wrote: It is really too easy to discover signs of backwardness in an individual when one is forewarned. T h i s would be to operate as the graphologists did who, when Dreyfus was believed to be guilty, discovered in his handwriting signs of a traitor or a spy. B i n e t felt that this test c o u l d best be u s e d to identify m i l d f o r m s o f r e t a r d a t i o n o r l e a r n i n g disability. Y e t e v e n f o r s u c h specific a n d s e r i o u s difficulties, B i n e t firmly r e j e c t e d the i d e a that his test c o u l d identify c a u s e s o f e d u c a t i o n a l p r o b l e m s , p a r t i c u l a r l y t h e i r p o t e n t i a l basis i n b i o l o g i c a l i n h e r i t a n c e . H e o n l y w i s h e d t o identify c h i l d r e n with special n e e d s , s o that h e l p c o u l d b e p r o v i d e d : Our purpose is to be able to measure the intellectual capacity of a child who is brought to us in order to know whether he is normal or retarded. . . . We shall neglect his etiology, and we shall make no attempt to distinguish between acquired and congenital [retardation]. . . . We do not attempt to establish or prepare a prognosis, and we leave unanswered the question of whether this retardation is curable, or even improvable. We shall limit ourselves to ascertaining the truth in regard to his present mental state. B i n e t a v o i d e d a n y c l a i m a b o u t i n b o r n b i o l o g i c a l limits b e c a u s e h e k n e w that a n innatist i n t e r p r e t a t i o n ( w h i c h t h e test scores d i d n ' t w a r r a n t i n a n y case) w o u l d p e r v e r s e l y d e s t r o y his a i m o f h e l p i n g children with educational problems. Binet u p b r a i d e d teachers w h o used a n a s s e s s m e n t o f i r r e m e d i a b l e s t u p i d i t y t o a v o i d t h e special effort that difficult s t u d e n t s r e q u i r e : " T h e y h a v e n e i t h e r s y m p a t h y n o r respect f o r [these s t u d e n t s ] , a n d t h e i r i n t e m p e r a t e l a n g u a g e leads t h e m to say s u c h t h i n g s in t h e i r p r e s e n c e as ' T h i s is a child w h o will n e v e r a m o u n t t o a n y t h i n g . . . h e i s n o t i n t e l l i g e n t a t all.' H o w
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often have I h e a r d these i m p r u d e n t words." In an eloquent passage, B i n e t t h e n v e n t e d his a n g e r against t e a c h e r s w h o claim that a stud e n t c a n " n e v e r " s u c c e e d a s a result o f i n f e r i o r b i o l o g y : Never! What a m o m e n t o u s word. Some recent thinkers s e e m to have given their moral support to these deplorable verdicts by affirming that an individual's intelligence is a fixed quantity, a quantity that cannot be increased. We must protest and react against this brutal pessimism; we must try to demonstrate that it is f o u n d e d u p o n nothing. Finally, B i n e t t o o k p l e a s u r e i n t h e successes o f t e a c h e r s w h o d i d use his tests t o identify s t u d e n t s a n d p r o v i d e n e e d e d h e l p . H e d e f e n d e d r e m e d i a l p r o g r a m s a n d insisted that g a i n s s o r e c o r d e d m u s t be r e a d as g e n u i n e increases in i n t e l l i g e n c e : It is in this practical sense, the only o n e accessible to us, that we say that the intelligence of these children has been increased. We have increased what constitutes the intelligence of a pupil: the capacity to learn and to assimilate instruction. H o w tragic a n d h o w ironic! I f I Q tests h a d b e e n consistently u s e d a s B i n e t i n t e n d e d , t h e i r results w o u l d h a v e b e e n e n t i r e l y ben e f i c e n t (in this s e n s e , as I stated, I do not o p p o s e m e n t a l testing on p r i n c i p l e , b u t o n l y c e r t a i n v e r s i o n s a n d p h i l o s o p h i e s ) . B u t t h e very innatist a n d a n t i m e l i o r i s t spin that B i n e t h a d f o r e s e e n a n d d e c r i e d d i d b e c o m e t h e d o m i n a n t i n t e r p r e t a t i o n , a n d Binet's intentions w e r e o v e r t u r n e d a n d i n v e r t e d . A n d this r e v e r s a l — t h e establishm e n t o f t h e h e r e d i t a r i a n t h e o r y o f I Q — o c c u r r e d i n A m e r i c a , not i n elitist E u r o p e . T h e m a j o r i m p o r t e r s o f Binet's m e t h o d p r o m o t e d t h e b i o d e t e r m i n i s t v e r s i o n that B i n e t h a d o p p o s e d — a n d the results c o n t i n u e to r i n g falsely in o u r t i m e as The Bell Curve. C o n s i d e r the t w o l e a d i n g initial p r o m o t e r s o f Binet's scale i n A m e r i c a . P s y c h o l o g i s t H . H . G o d d a r d , w h o t r a n s l a t e d Binet's articles into E n g l i s h a n d a g i t a t e d f o r the g e n e r a l use o f his test, a d o p t e d b o t h t h e h a r d - l i n e h e r e d i t a r i a n view a n d the a r g u m e n t f o r intellig e n c e as a single entity: Stated in its boldest form, our thesis is that the chief determiner of human conduct is a unitary mental process which we call intelligence: that this process is conditioned by a nervous mechanism which is inborn: that the d e g r e e of efficiency to be attained by that nervous mechanism and the consequent grade of intellectual or mental level for each individual is deter-
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mined by the kind of c h r o m o s o m e s that c o m e together with the union of the germ cells: that it is but little affected by any later influences except such serious accidents as may destroy part of the mechanism. Lewis M. T e r m a n , w h o codified IQ for A m e r i c a as the StanfordB i n e t test, h e l d t h e s a m e o p i n i o n , first on i n t e l l i g e n c e as a u n i t a r y q u a n t i t y : " I s intellectual ability a b a n k a c c o u n t , on w h i c h we c a n draw for any desired p u r p o s e , or is it rather a b u n d l e of separate d r a f t s , e a c h d r a w n f o r a specific p u r p o s e a n d i n c o n v e r t i b l e ? " T e r m a n o p t e d f o r the g e n e r a l b a n k a c c o u n t . H e also stated his h e r e d i t arian c o n v i c t i o n : " T h e s t u d y has s t r e n g t h e n e d m y i m p r e s s i o n o f the relatively g r e a t e r i m p o r t a n c e o f e n d o w m e n t o v e r t r a i n i n g a s a d e t e r m i n a n t o f a n i n d i v i d u a l ' s intellectual r a n k a m o n g his f e l l o w s . " B u t B i n e t h a d s u p p l i e d all t h e r i g h t a r g u m e n t s i n o p p o s i t i o n — a n d his w o r d s , e v e n t o d a y , c a n s e r v e as a p r i m e r f o r the scientifically a c c u r a t e a n d ethically p r i n c i p l e d r e f u t a t i o n o f H e r r n s t e i n a n d M u r ray's Bell Curve, t h e living l e g a c y of A m e r i c a ' s distinctive c o n t r i b u tion to m e n t a l testing: the h e r e d i t a r i a n i n t e r p r e t a t i o n . I n t e l l i g e n c e , Binet told u s , c a n n o t be a b s t r a c t e d as a single n u m b e r . IQ is a h e l p ful d e v i c e f o r i d e n t i f y i n g c h i l d r e n in n e e d of aid, n o t a dictate of inevitable b i o l o g y . S u c h aid c a n b e e f f e c t i v e , f o r t h e h u m a n m i n d is, above all, flexible. W e a r e n o t all e q u a l i n e n d o w m e n t , a n d w e d o not e n t e r t h e w o r l d as b l a n k slates, b u t m o s t deficiencies c a n be m e d i a t e d t o a c o n s i d e r a b l e d e g r e e , a n d t h e p a l l i n g e f f e c t o f biological d e t e r m i n i s m d e f i n e s its g r e a t e s t t r a g e d y — f o r if we give up (because w e a c c e p t t h e d o c t r i n e o f i m m u t a b l e i n b o r n limits), b u t c o u l d have h e l p e d , t h e n w e h a v e c o m m i t t e d t h e m o s t g r i e v o u s e r r o r o f c h a i n i n g the h u m a n spirit. W h y m u s t w e follow the fallacious a n d d i c h o t o m o u s m o d e l o f pitting a s u p p o s e d l y fixed a n d i n b o r n b i o l o g y against the flexibility o f t r a i n i n g — o r n a t u r e vs. n u r t u r e i n t h e mellifluous p a i r i n g o f words that so fixes this false o p p o s i t i o n in t h e public m i n d ? B i o l o g y •s not inevitable d e s t i n y ; e d u c a t i o n is n o t an assault u p o n b i o l o g i c a l limits. R a t h e r , o u r e x t e n s i v e capacity f o r e d u c a t i o n a l i m p r o v e m e n t records a g e n e t i c u n i q u e n e s s v o u c h s a f e d o n l y t o h u m a n s a m o n g a n imals. I was b o t h h e a r t e n e d a n d distressed by a r e c e n t r e p o r t in Newsweek ( O c t o b e r 24, 1994) on a B r o n x h i g h s c h o o l c o m m i t t e d to h i g h P e c t a t i o n s f o r d i s a d v a n t a g e d s t u d e n t s . Newsweek r e p o r t s : e x
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T h e s e 300 black and Latino students provide the basis for a strong retort to "The Bell Curve." Richard Herrnstein and Charles Murray argue that IQ is largely genetic and that low IQ means scant success in society. Therefore, they contend, neither effective schools nor a healthier environment can do much to alter a person's destiny. Yet, at Hostos, reading scores nearly d o u bled over two years. T h e dropout rate is low, and attendance is high. About 70 percent of the class of 1989 graduated on time, double the city's average. W o n d e r f u l n e w s , a n d a fine b o o s t to B i n e t ' s o r i g i n a l i n t e n t i o n s . B u t I m u s t object t o t h e h e a d l i n e f o r this r e p o r t : " I n D e f i a n c e o f D a r w i n , " a n d t o t h e initial s t a t e m e n t : " T o d a y , a t 1 4 9 t h S t r e e t a n d t h e G r a n d C o n c o u r s e , a p u b l i c h i g h s c h o o l f o r at-risk c h i l d r e n defies D a r w i n on a daily basis." W h y i s D a r w i n t h e e n e m y a n d i m p e d i m e n t ? P e r h a p s Newsweek o n l y i n t e n d e d t h e m e t a p h o r i c a l m e a n i n g o f D a r w i n i s m (also a serio u s m i s c o n c e p t i o n ) as s t r u g g l e in a t o u g h w o r l d , w i t h m o s t c o m b a t ants w e e d e d o u t . B u t I t h i n k that t h e Newsweek e d i t o r s u s e d " D a r w i n " as a s t a n d - i n f o r a b l i n k e r e d view of " b i o l o g y " — i n telling us that this s c h o o l r e f u t e s t h e i d e a of fixed g e n e t i c limits. B i o l o g y is n o t t h e e n e m y o f h u m a n flexibility, b u t t h e s o u r c e a n d p o t e n t i a t o r (while g e n e t i c d e t e r m i n i s m r e p r e s e n t s a false t h e o r y of b i o l o g y ) . D a r w i n i s m is n o t a s t a t e m e n t a b o u t fixed d i f f e r e n c e s , b u t t h e c e n t r a l t h e o r y f o r a d i s c i p l i n e — e v o l u t i o n a r y b i o l o g y — t h a t has d i s c o v e r e d the sources of h u m a n unity in minimal genetic distances a m o n g o u r races a n d i n t h e g e o l o g i c a l y e s t e r d a y o f o u r c o m m o n o r i g i n .
Three Centuries' Perspectives on Race and Racism Age-Old Fallacies of Thinking and Stinking W e s h u d d e r a t t h e t h o u g h t o f r e p e a t i n g t h e initial sins o f o u r species. T h u s , H a m l e t ' s u n c l e bewails his act o f f r a t r i c i d e b y recalling Cain's slaying of Abel: O! my offense is rank, it smells to heaven; It hath the primal eldest curse u p o n ' t ; A brother's murder! S u c h m e t a p h o r s o f u n s a v o r y o d o r a r e especially p o w e r f u l because o u r s e n s e o f smell lies s o d e e p i n o u r e v o l u t i o n a r y c o n s t r u c tion, y e t r e m a i n s ( p e r h a p s f o r this r e a s o n ) s o u n d e r v a l u e d a n d o f t e n u n m e n t i o n e d in o u r c u l t u r e . A later s e v e n t e e n t h - c e n t u r y E n g l i s h writer r e c o g n i z e d this p o t e n c y a n d p a r t i c u l a r l y w a r n e d his r e a d e r s against u s i n g o l f a c t o r y m e t a p h o r s b e c a u s e c o m m o n p e o p l e will take them literally: Metaphorical expression did often proceed into a literal construction; but was fraudulent. . . . H o w dangerous it is in sensible things to use metaphorical expressions unto the people, and what absurd conceits they will swallow in their literals. T h i s q u o t a t i o n c o m e s f r o m a c h a p t e r i n t h e 1 6 4 6 w o r k o f Sir T h o m a s B r o w n e : Pseudodoxia Epidemical or, Enquiries into Very Many Received Tenents [sic], and Commonly Presumed Truths. B r o w n e , a p h y s i cian f r o m N o r w i c h , is b e t t e r k n o w n f o r his w o n d e r f u l a n d still widely r e a d w o r k o f 1 6 4 2 , t h e p a r t a u t o b i o g r a p h i c a l , p a r t p h i l o -
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s o p h i c a l , a n d p a r t w h i m s i c a l Religio Medici, or " R e l i g i o n of a D o c t o r . " T h e Pseudodoxia Epidemica (his L a t i n i z e d title f o r a p l e t h o r a of false truths) is t h e g r a n d d a d d y of a m o s t h o n o r a b l e g e n r e still vigorously p u r s u e d — e x p o s e s of c o m m o n errors and popular ignor a n c e , p a r t i c u l a r l y t h e false beliefs m o s t likely t o c a u s e social h a r m . I cited B r o w n e ' s s t a t e m e n t f r o m t h e o n e c h a p t e r ( a m o n g m o r e t h a n a h u n d r e d ) s u r e t o s e n d s h u d d e r s d o w n t h e spine o f m o d e r n r e a d e r s — h i s d e b u n k i n g o f t h e c o m m o n b e l i e f " t h a t J e w s stink." B r o w n e , although almost maximally philo-Semitic by the standards o f his c e n t u r y , was n o t f r e e o f all p r e j u d i c i a l f e e l i n g s a g a i n s t J e w s . H e a t t r i b u t e d t h e o r i g i n o f the c a n a r d a b o u t J e w i s h m a l o d o r — h e n c e , my e a r l i e r q u o t a t i o n — t o a falsely literal r e a d i n g of a metap h o r legitimately a p p l i e d (or s o h e t h o u g h t ) t o t h e d e s c e n d a n t s o f people w h o had advocated the crucifixion of Jesus. B r o w n e wrote: " N o w t h e g r o u n d that b e g a t o r p r o p a g a t e d this a s s e r t i o n , m i g h t b e t h e distasteful a v e r s e n e s s o f t h e C h r i s t i a n f r o m t h e J e w , u p o n the villainy o f that fact, w h i c h m a d e t h e m a b o m i n a b l e a n d stink i n the nostrils o f all m e n . " ( M o d e r n apostles o f political c o r r e c t n e s s s h o u l d p o n d e r t h e n o n i n c l u s i v e n e s s o f B r o w n e ' s "all m e n " i n this context.) As a rationale for d e b u n k i n g a c o m p e n d i u m of c o m m o n errors, B r o w n e c o r r e c t l y n o t e s that false beliefs arise f r o m i n c o r r e c t theories a b o u t n a t u r e a n d t h e r e f o r e s e r v e a s active i m p e d i m e n t s t o k n o w l e d g e , n o t j u s t a s l a u g h a b l e signs o f primitivity: " T o p u r c h a s e a c l e a r a n d w a r r a n t a b l e b o d y o f t r u t h , w e m u s t f o r g e t a n d p a r t with m u c h w e k n o w . " M o r e o v e r , B r o w n e notes, t r u t h i s h a r d t o ascertain a n d i g n o r a n c e i s f a r m o r e c o m m o n t h a n a c c u r a c y . W r i t i n g i n the m i d - s e v e n t e e n t h c e n t u r y , B r o w n e uses " A m e r i c a " a s a m e t a p h o r f o r d o m a i n s o f u n c h a r t e d i g n o r a n c e , a n d h e bewails o u r failure t o use g o o d tools of r e a s o n as g u i d e s t h r o u g h this terra incognita: " W e find no o p e n tract. . . in this l a b y r i n t h ; b u t a r e oft-times fain to w a n d e r i n the A m e r i c a a n d u n t r a v e l l e d p a r t s o f t r u t h . " T h e Pseudodoxia Epidemica, B r o w n e ' s p e r e g r i n a t i o n t h r o u g h the m a z e o f h u m a n i g n o r a n c e , c o n t a i n s 1 1 3 c h a p t e r s g a t h e r e d into s e v e n b o o k s o n s u c h g e n e r a l topics a s m i n e r a l a n d v e g e t a b l e bodies, a n i m a l s , h u m a n s , B i b l e tales, a n d g e o g r a p h i c a l a n d historical myths. B r o w n e d e b u n k s quite an array of c o m m o n opinions, including claims that e l e p h a n t s h a v e n o j o i n t s , that t h e legs o f b a d g e r s are s h o r t e r o n o n e side t h a n t h e o t h e r , a n d that o s t r i c h e s c a n d i g e s t iron. A s a n e x a m p l e o f his style o f a r g u m e n t , c o n s i d e r B o o k 3 , C h a p -
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ter 4: " T h a t a b e v e r [sic] to e s c a p e t h e h u n t e r , bites o f f his testicles o r s t o n e s " — a h a r s h tactic that, a c c o r d i n g t o l e g e n d , e i t h e r distracts the p u r s u e r or p e r s u a d e s h i m to settle f o r a m e a l s m a l l e r t h a n an e n t i r e b o d y . B r o w n e labels this b e l i e f a s " a tenet v e r y a n c i e n t ; a n d h a t h h a d t h e r e b y a d v a n t a g e s of p r o p a g a t i o n . . . . T h e E g y p t i a n s also failed i n t h e g r o u n d o f t h e i r h i e r o g l y p h i c k , w h e n t h e y e x p r e s s e d the p u n i s h m e n t o f a d u l t e r y b y t h e b e v e r d e p r i v i n g h i m s e l f o f his testicles, w h i c h was a m o n g s t t h e m t h e p e n a l t y o f s u c h incontinency." B r o w n e prided himself on using a mixture of reason and observation t o a c h i e v e his d e b u n k i n g . H e b e g i n s b y t r y i n g t o identify t h e s o u r c e o f e r r o r — i n this case a false e t y m o l o g i c a l i n f e r e n c e f r o m t h e b e a v e r ' s L a t i n n a m e , Castor, w h i c h d o e s n o t s h a r e t h e s a m e r o o t with " c a s t r a t i o n " (as t h e l e g e n d h a d a s s u m e d ) b u t d e r i v e s ultimately f r o m a Sanskrit world for "musk"; a n d an incorrect interpretation of purp o s e f u l m u t i l a t i o n f r o m the i n t e r n a l p o s i t i o n , a n d t h e r e f o r e n e a r invisibility, o f t h e b e a v e r ' s testicles. H e t h e n cites t h e factual evid e n c e o f intact m a l e s , a n d t h e r e a s o n e d a r g u m e n t that a b e a v e r c o u l d n ' t e v e n r e a c h his o w n testicles i f h e w a n t e d t o bite t h e m o f f (and t h u s , c l e v e r l y , t h e s o u r c e o f c o m m o n e r r o r — t h e e x t e r n a l invisibility o f the t e s t i c l e s — b e c o m e s t h e p r o o f o f falsity!). T h e testicles properly so called, are of a lesser magnitude, and seated inwardly u p o n the loins: and therefore it were not only a fruitless attempt, but impossible act, to eunuchate or castrate themselves: and might be an hazardous practice of art, if at all attempted by others. B o o k 7, C h a p t e r 2 d e b u n k s t h e l e g e n d " t h a t a m a n h a t h o n e rib less than a w o m a n " — " a c o m m o n c o n c e i t d e r i v e d f r o m the history o f G e n e s i s , w h e r e i n i t stands d e l i v e r e d , that E v e w a s f r a m e d o u t o f a rib of A d a m . " (I r e g r e t to r e p o r t that this bit of n o n s e n s e still c o m m a n d s s o m e s u p p o r t . I r e c e n t l y a p p e a r e d on a nationally televised call-in s h o w f o r h i g h s c h o o l s t u d e n t s a n d o n e y o u n g w o m a n , a creationist, cited this " w e l l - k n o w n fact" as p r o o f of the Bible's i n e r r a n c y a n d e v o l u t i o n ' s falsity.) A g a i n , B r o w n e o p t s f o r a m i x t u r e of logic a n d o b s e r v a t i o n in stating: "this will n o t consist with r e a s o n or i n s p e c t i o n . " A s i m p l e c o u n t on s k e l e t o n s ( B r o w n e was a p h y s i c i a n by trade) affirms e q u a l i t y o f n u m b e r b e t w e e n sexes. M o r e o v e r , r e a son p r o v i d e s n o a r g u m e n t f o r a s s u m i n g that A d a m ' s single loss o u l d b e p r o p a g a t e d t o f u t u r e m e m b e r s o f his s e x : w
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Although we concede there wanted o n e rib in the sceleton of A d a m , yet were it repugnant unto reason and c o m m o n observation, that his posterity should want the same [in the old meaning of "want" as "lack"). For we observe that mutilations are not transmitted from father unto son; the blind begetting such as can see, m e n with o n e eye children with two, and cripples mutilate in their own persons do c o m e out perfect in their generations. B o o k 4, C h a p t e r 1 0 — " T h a t Jews Stink"—is one of the longest, a n d clearly h e l d special i m p o r t a n c e f o r D r . B r o w n e . His a r g u m e n t s a r e m o r e e l a b o r a t e , b u t h e follows t h e s a m e p r o c e d u r e u s e d t o disp e l less n o x i o u s m y t h s — c i t a t i o n o f c o n t r a v e n i n g facts i n t e r l a c e d w i t h m o r e g e n e r a l s u p p o r t f r o m logic a n d r e a s o n . B r o w n e b e g i n s w i t h a s t a t e m e n t o f t h e fallacy: " T h a t J e w s stink n a t u r a l l y , that is, that in t h e i r r a c e a n d n a t i o n t h e r e is an evil savor, is a r e c e i v e d o p i n i o n . " B r o w n e t h e n allows that species m a y h a v e distinctive o d o r s , a n d that i n d i v i d u a l m e n s u r e l y d o : " A r i s t o t l e says n o a n i m a l smells s w e e t save t h e p a r d . W e c o n f e s s that b e s i d e the smell o f t h e species, t h e r e m a y b e i n d i v i d u a l o d o r s , a n d e v e r y m a n may have a p r o p e r and peculiar savor; which although not perceptible u n t o m a n , w h o h a t h this sense b u t w e a k , i s y e t sensible u n t o d o g s , w h o h e r e b y c a n single o u t their m a s t e r s i n t h e d a r k . " I n p r i n c i p l e , t h e n , d i s c r e t e g r o u p s o f h u m a n s m i g h t c a r r y distinctive o d o r s , b u t r e a s o n a n d o b s e r v a t i o n p e r m i t n o s u c h attribution to J e w s as a g r o u p : " T h a t an u n s a v o r y o d o r is g e n t i l i t o u s or n a t i o n a l u n t o t h e J e w s , i f rightly u n d e r s t o o d , w e c a n n o t well c o n c e d e , n o r will t h e i n f o r m a t i o n o f R e a s o n o r S e n s e i n d u c e it." O n factual g r o u n d s , d i r e c t e x p e r i e n c e has p r o v i d e d n o e v i d e n c e f o r this n o x i o u s l e g e n d : " T h i s o f f e n s i v e o d o r i s n o w a y d i s c o v e r a b l e i n their S y n a g o g u e s w h e r e m a n y a r e , a n d b y r e a s o n o f t h e i r n u m b e r could not be concealed: n o r is the same discernible in c o m m e r c e or c o n v e r s a t i o n with s u c h a s a r e cleanly i n a p p a r e l , a n d d e c e n t i n their h o u s e s . " T h e "test c a s e " o f J e w i s h c o n v e r t s t o C h r i s t i a n i t y p r o v e s t h e p o i n t , f o r e v e n t h e w o r s t bigots d o n o t a c c u s e s u c h p e o p l e o f smelling bad: " U n t o converted Jews w h o are of the same seed, no m a n i m p u t e t h this u n s a v o r y o d o r ; a s t h o u g h a r o m a t i z e d b y their c o n v e r s i o n , they lost their scent with t h e i r r e l i g i o n , a n d smelt n o l o n g e r . " I f p e o p l e o f J e w i s h l i n e a g e c o u l d b e identified b y s m e l l , the I n q u i s i t i o n w o u l d g r e a t l y b e n e f i t f r o m a s u r e f i r e g u i d e f o r identifying insincere converts: " T h e r e are at present many thousand Jews in S p a i n . . . a n d s o m e d i s p e n s e d withal e v e n to the d e g r e e of Priest-
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h o o d ; it is a m a t t e r v e r y c o n s i d e r a b l e , a n d c o u l d t h e y be s m e l l e d o u t , w o u l d m u c h a d v a n t a g e , n o t o n l y t h e C h u r c h o f C h r i s t , b u t also the Coffers of Princes." T u r n i n g t o a r g u m e n t s f r o m r e a s o n , f o u l o d o r s m i g h t arise a m o n g g r o u p s o f p e o p l e f r o m u n h e a l t h y habits o f d i e t o r h y g i e n e . B u t J e w i s h d i e t a r y laws g u a r a n t e e m o d e r a t i o n a n d g o o d sense, w h i l e d r i n k i n g habits t e n d t o a b s t e m i o u s n e s s — " s e l d o m o f f e n d i n g i n e b r i e t y o r e x c e s s o f d r i n k , n o r e r r i n g i n gulosity o r s u p e r f l u i t y o f meats; w h e r e b y they prevent indigestion a n d crudities, and consequently putrescence of humors." I f n o r e a s o n c a n t h e r e f o r e b e f o u n d i n J e w i s h habits o f life, t h e o n l y c o n c e i v a b l e r a t i o n a l e f o r a n o x i o u s racial o d o r w o u l d lie in a divine "curse derived u p o n them by C h r i s t . . . as a badge or brand o f a g e n e r a t i o n that c r u c i f i e d t h e i r S a l v a t o r . " B u t B r o w n e rejects this p r o p o s a l e v e n m o r e f o r c e f u l l y as a " c o n c e i t w i t h o u t all w a r r a n t ; a n d a n easie w a y t o t a k e o f f d i s p u t e i n w h a t p o i n t o f o b s c u r i t y soever." T h e invocation of miraculous agency, when no natural explan a t i o n c a n be f o u n d , is a c o w a r d ' s or lazy m a n ' s e s c a p e f r o m f a i l u r e . ( B r o w n e d o e s n o t object t o h e a v e n l y i n t e r v e n t i o n f o r truly g r e a t e v e n t s like N o a h ' s flood o r t h e p a r t i n g o f t h e R e d S e a , b u t a r e l i a n c e u p o n m i r a c l e s f o r small i t e m s , like t h e p u t a t i v e racial o d o r o f u n fairly s t i g m a t i z e d p e o p l e , m a k e s a m o c k e r y o f d i v i n e g r a n d e u r . B r o w n e t h e n h e a p s similar r i d i c u l e o n t h e l e g e n d that I r e l a n d has n o s n a k e s b e c a u s e St. Patrick cast t h e m o u t with his r o d . S u c h i n a p p r o p r i a t e c l a i m s f o r a m y r i a d of m i n o r m i r a c l e s o n l y stifles discussion a b o u t t h e n a t u r e o f p h e n o m e n a a n d t h e w o r k i n g s o f g e n u i n e causes.) B u t B r o w n e t h e n c a p s his case a g a i n s t t h e p r o p o s i t i o n " t h a t J e w s stink" with a n e v e n s t r o n g e r a r g u m e n t b a s e d o n r e a s o n . T h e e n t i r e subject, h e a r g u e s , m a k e s n o s e n s e b e c a u s e the c a t e g o r y i n q u e s t i o n — t h e J e w i s h p e o p l e — d o e s n o t r e p r e s e n t t h e k i n d o f entity that c o u l d b e a r s u c h p r o p e r t i e s as a distinctive n a t i o n a l o d o r . A m o n g t h e m a j o r fallacies o f h u m a n r e a s o n , s u c h " c a t e g o r y mist a k e s " a r e e s p e c i a l l y c o m m o n i n t h e identification o f g r o u p s a n d the d e f i n i t i o n o f t h e i r c h a r a c t e r s — p r o b l e m s o f special c o n c e r n t o t a x o n o m i s t s like myself. M u c h o f B r o w n e ' s t e x t i s a r c h a i c , a n d s t r a n g e l y f a s c i n a t i n g t h e r e f o r e as a k i n d of c o n c e p t u a l fossil. B u t his struggle with errors of categories in d e b u n k i n g the proposition "that J e w s stink" i n t e r l e a v e s a layer o f m o d e r n r e l e v a n c e , a n d u n -
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c o v e r s a d i f f e r e n t k i n d of r e a s o n f o r c o n t e m p o r a r y interest in the a r g u m e n t s of Pseudodoxia Epidemica. B r o w n e b e g i n s b y n o t i n g that traits o f i n d i v i d u a l s can't a u t o m a t i cally b e e x t e n d e d t o p r o p e r t i e s o f g r o u p s . W e d o not d o u b t that i n d i v i d u a l s h a v e distinctive o d o r s , b u t g r o u p s m i g h t s p a n t h e full r a n g e o f i n d i v i d u a l d i f f e r e n c e s , a n d t h e r e b y fail t o m a i n t a i n a n y special identity. W h a t kid o f g r o u p m i g h t t h e r e f o r e qualify a s a g o o d c a n d i d a t e f o r s u c h distinctive p r o p e r t i e s ? B r o w n e a r g u e s that s u c h a g r o u p w o u l d h a v e t o b e tightly d e f i n e d , e i t h e r b y strict criteria o f g e n e a l o g y (so that m e m b e r s m i g h t share properties by heredity of unique descent) or by c o m m o n habits a n d m o d e s o f life n o t f o l l o w e d b y o t h e r p e o p l e (but B r o w n e h a d a l r e a d y s h o w n that J e w i s h lifestyles o f m o d e r a t i o n a n d h y g i e n e disprove any claim for unsavory national odor). B r o w n e t h e n c l i n c h e s his case b y a r g u i n g that t h e J e w i s h p e o p l e d o n o t r e p r e s e n t a strict g e n e a l o g i c a l g r o u p . J e w s h a v e b e e n dispersed t h r o u g h o u t the world, reviled a n d despised, expelled and e x c l u d e d . M a n y s u b g r o u p s h a v e b e e n lost b y assimilation, o t h e r s d i l u t e d by e x t e n s i v e i n t e r m a r r i a g e . M o s t n a t i o n s , in fact, a r e s t r o n g l y c o m m i n g l e d a n d t h e r e f o r e d o n o t r e p r e s e n t discrete g r o u p s b y g e n e a l o g i c a l d e f i n i t i o n ; this c o m m o n t e n d e n c y has b e e n e x a g g e r a t e d a m o n g the J e w i s h p e o p l e . J e w s a r e n o t a distinct h e r e d itary g r o u p , a n d t h e r e f o r e c a n n o t h a v e s u c h p r o p e r t i e s as a national o d o r : T h e r e will be found no easie assurance to fasten a material or temperamental propriety u p o n any nation; . . . much more will it be difficult to make out this affection in the Jews; whose race however pretended to be pure, must needs have suffered inseparable commixtures with nations of all sorts. . . . It being therefore acknowledged that some [Jews] are lost, evident that others are mixed, and not assured that any are distinct, it will be hard to establish this quality [of national odor] u p o n the Jews. I n m a n y y e a r s o f p o n d e r i n g o v e r fallacious t h e o r i e s o f biological d e t e r m i n i s m , a n d n o t i n g their e x t r a o r d i n a r y p e r s i s t e n c e a n d tend e n c y t o r e e m e r g e a f t e r p r e s u m e d e x t i r p a t i o n , I h a v e b e e n struck by a p r o p e r t y that I call " s u r r o g a c y . " Specific a r g u m e n t s raise a definite c h a r g e a g a i n s t a p a r t i c u l a r g r o u p — t h a t J e w s stink, that I r i s h m e n d r i n k , that w o m e n l o v e m i n k , that A f r i c a n s c a n ' t t h i n k — b u t e a c h specific c l a i m acts as a s u r r o g a t e f o r a n y o t h e r . T h e g e n e r a l
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f o r m o f a r g u m e n t i s always the s a m e , a n d always p e r m e a t e d b y identical fallacies o v e r t h e c e n t u r i e s . S c r a t c h t h e a r g u m e n t that w o m e n , by their biological nature, cannot be effective as heads of state a n d y o u will u n c o v e r the s a m e s t r u c t u r e o f b a d i n f e r e n c e u n d e r l y i n g s o m e o n e else's c l a i m that A f r i c a n A m e r i c a n s will n e v e r f o r m a high percentage of the pool of Ph.D. candidates. T h u s , B r o w n e ' s o l d r e f u t a t i o n o f t h e m y t h "that J e w s stink" c o n t i n u e s t o b e r e l e v a n t f o r o u r m o d e r n s t r u g g l e , since the f o r m o f his a r g u m e n t applies to o u r current devaluings of people for suppose d l y i n b o r n a n d u n a l t e r a b l e d e f e c t s o f i n t e l l i g e n c e o r m o r a l vision. F o r t u n a t e l y (since I b e l o n g t o t h e g r o u p ) , J e w s a r e n o t t a k i n g m u c h h e a t these d a y s ( t h o u g h I n e e d h a r d l y m e n t i o n t h e s e a r i n g e v e n t s o f m y p a r e n t s ' g e n e r a t i o n t o r e m i n d e v e r y o n e that c u r r e n t a c c e p t a n c e s h o u l d b r e e d n o c o m p l a c e n c y ) . T h i s season's f a v o r i t e m y t h has r e called a n o t h e r v e n e r a b l e c h a p t e r i n this g e n e r a l f o r m o f i n f a m y — The Bell Curve's v e r s i o n of t h e claim that p e o p l e of A f r i c a n d e s c e n t h a v e , o n a v e r a g e , less i n n a t e i n t e l l i g e n c e t h a n all o t h e r folks. F o l l o w i n g B r o w n e ' s strategy, this c l a i m c a n be d e b u n k e d with a m i x t u r e o f f a c t u a l citation a n d logical a r g u m e n t . I shall n o t g o t h r o u g h t h e full e x e r c i s e h e r e , lest this essay b e c o m e a b o o k , (see t h e first two essays of this section). B u t I do wish to e m p h a s i z e that Browne's c r o w n i n g point in refuting the legend "that Jews s t i n k " — his e x p l i c a t i o n of c a t e g o r y m i s t a k e s in d e f i n i n g J e w s as a b i o l o g i c a l g r o u p — a l s o u n d e r m i n e s t h e m o d e r n m y t h o f black intellectual inferiority, f r o m J e n s e n a n d S h o c k l e y i n t h e 1960s t o M u r r a y a n d Herrnstein today. T h e A f r i c a n A m e r i c a n p o p u l a t i o n o f t h e U n i t e d States t o d a y d o e s not f o r m a g e n e a l o g i c a l u n i t in t h e s a m e sense that B r o w n e ' s Jews l a c k e d inclusive d e f i n i t i o n b y d e s c e n t . A s a l e g a c y o f o u r u g l y history o f r a c i s m , a n y o n e w i t h a visually e v i d e n t c o m p o n e n t o f A f rica ancestry b e l o n g s t o t h e c a t e g o r y o f " b l a c k " e v e n t h o u g h m a n y persons s o d e s i g n a t e d h a v e substantial, o f t e n m a j o r i t a r i a n C a u c a sian ancestry as well. ( A n old " t r i c k " q u e s t i o n f o r baseball aficionados asks: " W h a t Italian A m e r i c a n p l a y e r hit m o r e t h a n f o r t y h o m e runs for the B r o o k l y n D o d g e r s i n 1 9 5 3 " ? T h e a n s w e r i s " R o y C a m panella," w h o h a d a C a u c a s i a n Italian f a t h e r a n d a black m o t h e r , but w h o , by o u r social c o n v e n t i o n s , is always identified as black.) (As a f o o t n o t e o n the t h e m e o f s u r r o g a c y , e x p l a n a t i o n s o f the same c a t e g o r y m i s t a k e f o r blacks a n d J e w s o f t e n take the s a m e p r e j -
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udicial f o r m o f b l a m i n g t h e victim. B r o w n e , t h o u g h g e n e r a l l y a n d r e f r e s h i n g l y f r e e of anti-Jewish bias, cites a p a r t i c u l a r l y u g l y a r g u m e n t i n e x p l a i n i n g h i g h rates o f m i s c e g e n a t i o n b e t w e e n J e w s a n d C h r i s t i a n s — t h e s u p p o s e d lasciviousness o f J e w i s h w o m e n a n d their p r e f e r e n c e for blond Christian men over swarthy and unattractive Jews. B r o w n e writes: " N o r are fornications infrequent between t h e m b o t h [Jewish w o m e n a n d C h r i s t i a n m e n ] ; t h e r e c o m m o n l y p a s s i n g o p i n i o n s o f i n v i t e m e n t , that t h e i r w o m e n d e s i r e c o p u l a t i o n w i t h t h e m r a t h e r t h a n t h e i r o w n n a t i o n , a n d affect C h r i s t i a n c a r n a l ity a b o v e c i r c u m c i s e d v e n e r y . " A m e r i c a n racists o f t e n m a d e the s a m e claim d u r i n g slavery d a y s — a p a r t i c u l a r l y d i s g r a c e f u l lie i n this case, f o r t h e a r g u m e n t w o r k s t o e x c u s e rapists b y b l a m i n g t h e truly powerless. For e x a m p l e , Louis Agassiz wrote in 1863: " A s soon as t h e s e x u a l d e s i r e s a r e a w a k e n i n g i n the y o u n g m e n o f t h e S o u t h , t h e y find it easy to gratify t h e m s e l v e s by the r e a d i n e s s w i t h w h i c h t h e y a r e m e t by c o l o r e d [ h a l f - b r e e d ] h o u s e s e r v a n t s . . . . T h i s blunts his b e t t e r instincts in that d i r e c t i o n a n d l e a d s h i m g r a d u a l l y to seek m o r e spicy p a r t n e r s , as I h a v e h e a r d the full blacks called by fast young men.") Obviously, we cannot m a k e a coherent claim for "blacks" being i n n a t e l y a n y t h i n g b y h e r e d i t y i f t h e p e o p l e s o c a t e g o r i z e d d o not f o r m a distinctive g e n e a l o g i c a l g r o u p i n g . B u t the c a t e g o r y mistake g o e s far, f a r d e e p e r t h a n d i l u t i o n b y e x t e n s i v e i n t e r m i x t u r e with o t h e r p o p u l a t i o n s . T h e m o s t e x c i t i n g a n d still e m e r g i n g d i s c o v e r y i n m o d e r n p a l e o a n t h r o p l o g y a n d h u m a n g e n e t i c s will f o r c e u s t o r e t h i n k t h e e n t i r e q u e s t i o n o f h u m a n c a t e g o r i e s i n a radical way. W e shall b e c o m p e l l e d t o r e c o g n i z e that " A f r i c a n b l a c k " c a n n o t r a n k a s a racial g r o u p with s u c h c o n v e n t i o n a l p o p u l a t i o n s as " N a t i v e A m e r i c a n , " " E u r o p e a n C a u c a s i a n , " o r "East A s i a n , " b u t m u s t b e v i e w e d a s s o m e t h i n g m o r e inclusive t h a n all t h e o t h e r s c o m b i n e d , n o t really d e f i n a b l e as a d i s c r e t e g r o u p , a n d t h e r e f o r e n o t available f o r such c a n a r d s a s " A f r i c a n blacks a r e less i n t e l l i g e n t " o r " A f r i c a n blacks s u r e c a n play b a s k e t b a l l . " T h e past d e c a d e o f a n t h r o p o l o g y h a s f e a t u r e d a lively d e b a t e a b o u t t h e o r i g i n of t h e o n l y l i v i n g h u m a n species, Homo sapiens. Did o u r species e m e r g e s e p a r a t e l y o n t h r e e c o n t i n e n t s ( A f r i c a , E u r o p e , a n d A s i a ) f r o m p r e c u r s o r p o p u l a t i o n s of Homo erectus i n h a b i t i n g all these a r e a s — t h e so-called m u l t i r e g i o n a l i s t view? Or d i d Homo sapiens arise in o n e p l a c e , p r o b a b l y A f r i c a , f r o m j u s t o n e of t h e s e Homo
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erectus p o p u l a t i o n s , a n d t h e n s p r e a d o u t later t o c o v e r t h e g l o b e — t h e so-called o u t - o f - A f r i c a view? T h e tides o f a r g u m e n t h a v e s w u n g b a c k a n d f o r t h , b u t r e c e n t evidence seems to be cascading toward O u t of Africa. As more and m o r e g e n e s a r e s e q u e n c e d a n d a n a l y z e d f o r their variation a m o n g h u m a n racial g r o u p s , a n d a s w e r e c o n s t r u c t g e n e a l o g i c a l trees b a s e d u p o n these g e n e t i c d i f f e r e n c e s , t h e s a m e s t r o n g signal a n d p a t t e r n s e e m to be e m e r g i n g : Homo sapiens a r o s e in A f r i c a ; t h e m i g r a t i o n into the rest o f t h e w o r l d d i d n o t b e g i n until 1 1 2 , 0 0 0 t o 280,000 y e a r s a g o , w i t h the latest, m o r e t e c h n o l o g i c a l l y sophisticated studies f a v o r i n g d a t e s n e a r the y o u n g e r e n d o f this s p e c t r u m . I n o t h e r w o r d s , all n o n - A f r i c a n racial d i v e r s i t y — w h i t e s , y e l l o w s , r e d s , e v e r y o n e f r o m t h e H o p i t o the N o r w e g i a n s , t o t h e F i j i a n s — may not be m u c h older than o n e h u n d r e d thousand years. By contrast, Homo sapiens has lived in A f r i c a f o r a l o n g e r time. C o n s e q u e n t l y , since g e n e t i c diversity r o u g h l y c o r r e l a t e s with time available f o r e v o l u t i o n a r y c h a n g e , g e n e t i c variety a m o n g A f r i c a n s a l o n e e x c e e d s t h e s u m total o f g e n e t i c diversity f o r e v e r y o n e else i n the rest o f t h e w o r l d c o m b i n e d ! H o w , t h e r e f o r e , c a n w e l u m p " A f r i can b l a c k s " t o g e t h e r as a single g r o u p , a n d i m b u e t h e m with traits either favorable or unfavorable, w h e n they represent m o r e evolutionary s p a c e a n d m o r e g e n e t i c variety t h a n w e find i n all n o n A f r i c a n p e o p l e i n all t h e rest o f the w o r l d ? A f r i c a i s m o s t o f h u m a n ity by any p r o p e r g e n e a l o g i c a l d e f i n i t i o n ; all the rest of us o c c u p y a b r a n c h w i t h i n the A f r i c a n tree. T h i s n o n - A f r i c a n b r a n c h has s u r e l y flourished, b u t c a n n e v e r be t o p o l o g i c a l l y m o r e t h a n a s u b s e c t i o n within a n A f r i c a n s t r u c t u r e . W e will n e e d m a n y y e a r s , a n d m u c h p o n d e r i n g , t o assimilate the t h e o r e t i c a l , c o n c e p t u a l , a n d i c o n o g r a p h i c i m p l i c a t i o n s o f this startling r e o r i e n t a t i o n i n o u r views a b o u t the n a t u r e a n d m e a n i n g o f h u m a n diversity. F o r starters, t h o u g h , I s u g g e s t that w e f i n a l l y a b a n d o n s u c h senseless s t a t e m e n t s a s " A f r i c a n blacks h a v e m o r e r h y t h m , less i n t e l l i g e n c e , g r e a t e r a t h l e t i c i s m . " S u c h c l a i m s , a p a r t f r o m their social p e r n i c i o u s n e s s , h a v e n o m e a n i n g i f A f r i c a n s c a n not b e c o n s t r u e d a s a c o h e r e n t g r o u p b e c a u s e t h e y r e p r e s e n t m o r e diversity t h a n all t h e rest o f t h e w o r l d p u t t o g e t h e r . O u r g r e a t e s t intellectual a d v e n t u r e s o f t e n o c c u r within u s — n o t |n the restless s e a r c h f o r n e w facts a n d n e w objects on t h e e a r t h or the stars, b u t f r o m a n e e d t o e x p u n g e o l d p r e j u d i c e s a n d b u i l d
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new conceptual structures. No hunt can have a sweeter reward, a m o r e admirable goal, than the excitement of t h o r o u g h l y revised u n d e r s t a n d i n g — t h e i n w a r d j o u r n e y that thrills real scholars a n d scares the bejesus o u t o f t h e rest o f us. W e n e e d t o m a k e s u c h a n internal expedition in reconceptualizing o u r views of h u m a n genea l o g y a n d t h e m e a n i n g o f e v o l u t i o n a r y diversity. T h o m a s B r o w n e — f o r w e m u s t a w a r d h i m the last w o r d — p r a i s e d s u c h i n w a r d a d v e n t u r e s a b o v e all o t h e r intellectual e x c i t e m e n t . I n t e r e s t i n g l y , in the s a m e p a s s a g e , h e also i n v o k e d A f r i c a a s a m e t a p h o r f o r u n k n o w n w o n d e r . H e c o u l d n o t h a v e k n o w n t h e u n c a n n y literal a c c u r a c y o f his w o r d s ( f r o m Religio Medici, B o o k 1, S e c t i o n 1 5 ) : I could never content my contemplation with those general pieces of wonder, the flux and reflux of the sea, the increase of Nile, the conversion of the [compass] needle to the north; and have studied to match and parallel those in the m o r e obvious and neglected pieces of nature, which without further travel I can do in the cosmography of myself; we carry with us the wonders we seek without us: there is all Africa and her prodigies in us; we are that bold and adventurous piece of nature.
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Racial Geometry I n t e r e s t i n g stories o f t e n lie e n c o d e d i n n a m e s that s e e m e i t h e r c a p r i c i o u s o r m i s c o n s t r u e d . W h y , f o r e x a m p l e , a r e political radicals called " l e f t " a n d t h e i r c o n s e r v a t i v e c o u n t e r p a r t s " r i g h t " ? I n m o s t E u r o p e a n l e g i s l a t u r e s , m a x i m a l l y d i s t i n g u i s h e d m e m b e r s sat a t t h e c h a i r m a n ' s r i g h t , f o l l o w i n g a c u s t o m of c o u r t e s y as o l d as all o u r prejudices for favoring the dominant hand of most people. (These biases r u n d e e p , e x t e n d i n g well b e y o n d c a n o p e n e r s a n d w r i t i n g d e s k s t o l a n g u a g e itself, w h e r e " d e x t r o u s " c o m e s f r o m t h e L a t i n f o r " r i g h t , " a n d "sinister" f o r "left.") S i n c e these d i s t i n g u i s h e d n o b l e s a n d m o g u l s t e n d e d t o e s p o u s e c o n s e r v a t i v e v i e w s , t h e r i g h t a n d left w i n g s o f t h e l e g i s l a t u r e c a m e t o d e f i n e a g e o m e t r y o f political v i e w s . A m o n g such apparently capricious names in my o w n field of b i o l o g y a n d e v o l u t i o n , n o n e s e e m s m o r e c u r i o u s , a n d n o n e elicits m o r e inquiry from correspondents and questioners after lectures, t h a n the official d e s i g n a t i o n o f l i g h t - s k i n n e d p e o p l e f r o m E u r o p e , w e s t e r n A s i a , a n d N o r t h A f r i c a a s C a u c a s i a n . W h y s h o u l d this m o s t c o m m o n racial g r o u p o f the W e s t e r n w o r l d b e n a m e d f o r a r a n g e o f m o u n t a i n s i n Russia? J . F . B l u m e n b a c h ( 1 7 5 2 — 1 8 4 0 ) , t h e G e r m a n naturalist w h o e s t a b l i s h e d t h e m o s t influential of all racial classifications, i n v e n t e d this n a m e i n 1 7 9 5 , i n the t h i r d e d i t i o n o f his s e m i n a l w o r k , De generis humani varietate nativa (On the Natural Variety of Mankind). B l u m e n b a c h ' s o r i g i n a l d e f i n i t i o n cites two r e a s o n s f o r his c h o i c e — t h e m a x i m a l b e a u t y o f p e o p l e f r o m this small r e g i o n , a n d t h e p r o b a b i l i t y that h u m a n s h a d f i r s t b e e n c r e a t e d i n this a r e a . B l u menbach wrote: Caucasian variety. I have taken the n a m e of this variety from Mount Caucasus, both because its neighborhood, and especially its southern slope, produces the most beautiful race of men, and because . . . in that region, if anywhere, we o u g h t with the greatest probability to place the autochthones [original forms] of mankind. B l u m e n b a c h , o n e o f the g r e a t e s t a n d m o s t h o n o r e d naturalists of t h e E n l i g h t e n m e n t , s p e n t his e n t i r e c a r e e r as a p r o f e s s o r at t h e U n i v e r s i t y o f G o t t i n g e n i n G e r m a n y . H e f i r s t p r e s e n t e d his workDe
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generis humani varietate nativa as a d o c t o r a l dissertation to t h e m e d i c a l faculty o f G o t t i n g e n i n 1 7 7 5 , a s t h e m i n u t e m e n o f L e x i n g t o n a n d C o n c o r d began the A m e r i c a n Revolution. He then republished the t e x t f o r g e n e r a l d i s t r i b u t i o n in 1 7 7 6 , as a f a t e f u l m e e t i n g in P h i l a d e l phia proclaimed o u r independence. T h e coincidence of three great d o c u m e n t s i n 1 7 7 6 " — J e f f e r s o n ' s D e c l a r a t i o n o f I n d e p e n d e n c e (on t h e politics of liberty), A d a m S m i t h ' s Wealth of Nations (on t h e e c o n o m i c s o f i n d i v i d u a l i s m ) , a n d B l u m e n b a c h ' s treatise o n racial classification (on t h e science o f h u m a n d i v e r s i t y ) — r e c o r d s t h e social f e r m e n t o f t h e s e d e c a d e s , a n d sets the w i d e r c o n t e x t that m a k e s B l u m e n b a c h ' s t a x o n o m y , a n d his d e c i s i o n t o call t h e E u r o p e a n r a c e C a u c a s i a n , s o i m p o r t a n t f o r o u r history a n d c u r r e n t c o n c e r n s . T h e s o l u t i o n t o b i g p u z z l e s o f t e n h i n g e s u p o n tiny curiosities, easy to miss or to pass o v e r . I s u g g e s t that the k e y to u n d e r s t a n d i n g B l u m e n b a c h ' s classification, the f o u n d a t i o n o f s o m u c h that c o n t i n u e d to i n f l u e n c e a n d d i s t u r b us t o d a y , lies in a p e c u l i a r c r i t e r i o n that h e u s e d t o n a m e the E u r o p e a n r a c e C a u c a s i a n — t h e s u p p o s e d m a x i m a l b e a u t y o f p e o p l e f r o m this r e g i o n . W h y , first o f all, s h o u l d a n y o n e attach s u c h i m p o r t a n c e t o a n e v i d e n t l y subjective assessm e n t ; a n d w h y , s e c o n d l y , s h o u l d a n aesthetic c r i t e r i o n b e c o m e the basis f o r a scientific j u d g m e n t a b o u t p l a c e o f o r i g i n ? T o a n s w e r these questions, we must turn to Blumenbach's original formulation of 1 7 7 5 , and then m o v e to the changes he introduced in 1795, when Caucasians received their name. B l u m e n b a c h ' s final t a x o n o m y o f 1 7 9 5 d i v i d e d all h u m a n s into f i v e g r o u p s d e f i n e d b y b o t h g e o g r a p h y a n d a p p e a r a n c e — i n his ord e r , the " C a u c a s i a n v a r i e t y " f o r l i g h t - s k i n n e d p e o p l e o f E u r o p e a n d adjacent areas; the " M o n g o l i a n variety" for inhabitants of eastern Asia, including C h i n a and J a p a n ; the "Ethiopian variety" for darks k i n n e d p e o p l e o f A f r i c a ; t h e " A m e r i c a n v a r i e t y " f o r native p o p u l a tions o f t h e N e w W o r l d ; a n d the " M a l a y v a r i e t y " f o r P o l y n e s i a n s a n d M e l a n e s i a n s o f Pacific islands, a n d f o r t h e a b o r i g i n e s o f A u s t r a lia. B u t B l u m e n b a c h ' s o r i g i n a l classification o f 1 7 7 5 r e c o g n i z e d only t h e f i r s t f o u r o f t h e s e five, a n d u n i t e d m e m b e r s o f t h e " M a l a y varie t y " with t h e o t h e r p e o p l e o f A s i a w h o m B l u m e n b a c h later n a m e d "Mongolian." We now e n c o u n t e r the p a r a d o x of Blumenbach's reputation as t h e i n v e n t o r o f m o d e r n racial classification. T h e o r i g i n a l f o u r - r a c e s y s t e m , as I shall illustrate in a m o m e n t , d i d n o t arise f r o m B l u m e n -
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bach's observations or theorizing, but only represents, as B l u m e n b a c h r e a d i l y a d m i t s , t h e classification a d o p t e d a n d p r o m o t e d b y his g u r u C a r o l u s L i n n a e u s i n the f o u n d i n g d o c u m e n t o f t a x o n o m y , t h e Systema naturae of 1 7 5 8 . T h e r e f o r e , the later a d d i t i o n of a " M a l a y v a r i e t y " f o r s o m e Pacific p e o p l e s o r i g i n a l l y i n c l u d e d in a b r o a d e r Asian g r o u p , represents Blumenbach's only original contribution to racial classification. T h i s c h a n g e s e e m s s o m i n o r . W h y , t h e n , d o w e c r e d i t B l u m e n b a c h , r a t h e r t h a n L i n n a e u s , a s the f o u n d e r o f racial classification? ( O n e m i g h t p r e f e r t o say " d i s c r e d i t , " a s the e n t e r p r i s e d o e s n o t , f o r g o o d r e a s o n , e n j o y h i g h r e p u t e t h e s e days.) I wish t o a r g u e that B l u m e n b a c h ' s a p p a r e n t l y small c h a n g e actually r e c o r d s a t h e o r e t i c a l shift that c o u l d n o t h a v e b e e n b r o a d e r , o r m o r e p o r t e n t o u s , i n s c o p e . T h i s c h a n g e has b e e n m i s s e d o r m i s c o n s t r u e d i n m o s t c o m m e n t a r i e s b e c a u s e later scientists h a v e n o t g r a s p e d the vital historical a n d p h i l o s o p h i c a l p r i n c i p l e that t h e o r i e s a r e m o d e l s subject to visual r e p r e s e n t a t i o n , usually in clearly d e f i n a b l e g e o m e t ric t e r m s . B y m o v i n g f r o m t h e L i n n a e a n f o u r - r a c e system t o his o w n f i v e race s c h e m e , B l u m e n b a c h radically c h a n g e d the g e o m e t r y o f h u m a n o r d e r f r o m a g e o g r a p h i c a l l y b a s e d m o d e l w i t h o u t explicit ranking to a double hierarchy of worth, oddly based u p o n perceived b e a u t y a n d f a n n i n g o u t i n t w o d i r e c t i o n s f r o m a C a u c a s i a n ideal. T h e a d d i t i o n o f a M a l a y c a t e g o r y , a s w e shall see, w a s c r u c i a l t o this g e o m e t r i c r e f o r m u l a t i o n — a n d B l u m e n b a c h ' s " m i n o r " c h a n g e between 1 7 7 5 a n d 1 7 9 5 therefore becomes the key to a conceptual transformation rather than a simple refinement of factual information within a n o l d s c h e m e . (For t h e i n s i g h t that scientific r e v o l u t i o n s e m b o d y s u c h g e o m e t r i c shifts, I a m g r a t e f u l t o m y w i f e , R h o n d a Roland Shearer, w h o portrays these themes in her sculptures and in h e r f o r t h c o m i n g b o o k , The Flatland Hypothesis, n a m e d f o r A b b o t t ' s g r e a t science f i c t i o n w o r k o f 1884 o n t h e limitations i m p o s e d b y g e o m e t r y u p o n o u r g e n e r a l t h o u g h t s a n d social theories.) B l u m e n b a c h i d o l i z e d his t e a c h e r L i n n a e u s . O n the f i r s t p a g e o f the 1 7 9 5 e d i t i o n o f his racial classification, B l u m e n b a c h h a i l e d " t h e immortal Linnaeus, a m a n quite created for investigating the characteristics o f t h e w o r k s o f n a t u r e , a n d a r r a n g i n g t h e m i n systematic o r d e r . " B l u m e n b a c h also a c k n o w l e d g e d L i n n a e u s a s t h e s o u r c e o f his o r i g i n a l f o u r f o l d classification: "I h a v e f o l l o w e d L i n n a e u s in t h e n u m b e r , b u t h a v e d e f i n e d m y varieties b y o t h e r b o u n d a r i e s " ( 1 7 7 5
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e d i t i o n ) . L a t e r , i n a d d i n g his " M a l a y v a r i e t y , " B l u m e n b a c h identified his c h a n g e as a d e p a r t u r e f r o m his old g u r u L i n n a e u s : " I t bec a m e v e r y c l e a r that t h e L i n n a e a n division o f m a n k i n d c o u l d n o l o n g e r b e a d h e r e d to; f o r w h i c h r e a s o n I , i n this little w o r k , c e a s e d like o t h e r s t o follow that illustrious m a n . " L i n n a e u s d i v i d e d his species Homo sapiens into f o u r varieties, defined primarily by g e o g r a p h y and secondarily by three words i n d i c a t i n g c o l o r , t e m p e r a m e n t , a n d stance. ( L i n n a e u s also i n c l u d e d t w o o t h e r false or f a n c i f u l varieties within Homo sapiens—ferns f o r "wild b o y s " occasionally d i s c o v e r e d i n t h e w o o d s a n d possibly raised b y a n i m a l s [most t u r n e d o u t t o b e r e t a r d e d o r m e n t a l l y ill y o u n g s t e r s a b a n d o n e d by t h e i r p a r e n t s ] ; a n d monstrosus f o r t r a v e l e r s ' tales of hairy p e o p l e w i t h tails, a n d o t h e r assorted fables.) L i n n a e u s t h e n p r e s e n t e d t h e f o u r m a j o r varieties a r r a n g e d b y g e o g r a p h y a n d , i n t e r e s t i n g l y , not i n the r a n k e d o r d e r f a v o r e d b y m o s t E u r o p e a n s i n t h e racist t r a d i t i o n . H e d i s c u s s e d , i n s e q u e n c e , Americanos,
Europeus,
Asiaticus,
and
Afer
(or
African).
In
so
doing,
L i n n a e u s p r e s e n t e d n o t h i n g a t all o r i g i n a l , b u t m e r e l y m a p p e d h u m a n s o n t o the f o u r g e o g r a p h i c r e g i o n s o f c o n v e n t i o n a l c a r t o g raphy. I n t h e f i r s t line o f his d e s c r i p t i o n s , L i n n a e u s c h a r a c t e r i z e d e a c h g r o u p b y t h r e e w o r d s f o r c o l o r , t e m p e r a m e n t , a n d p o s t u r e i n that order. A g a i n , n o n e of these three categories implies any ranking b y w o r t h . M o r e o v e r , L i n n a e u s a g a i n b o w e d t o classical t a x o n o m i c t h e o r i e s r a t h e r t h a n his o w n o b s e r v a t i o n s i n m a k i n g these decisions. F o r e x a m p l e , his s e p a r a t i o n s b y t e m p e r a m e n t (or " h u m o r " ) r e c o r d t h e a n c i e n t a n d m e d i e v a l t h e o r y that a p e r s o n s ' m o o d arises f r o m a b a l a n c e of f o u r fluids (humor is L a t i n f o r " m o i s t u r e " ) — b l o o d , p h l e g m , c h o l e r (or y e l l o w bile), a n d m e l a n c h o l y (or black bile). O n e o f the f o u r s u b s t a n c e s w o u l d d o m i n a t e , a n d a p e r s o n w o u l d theref o r e b e s a n g u i n e (the c h e e r f u l r e a l m o f b l o o d ) , p h l e g m a t i c (sluggish), c h o l e r i c ( p r o n e t o a n g e r ) , o r m e l a n c h o l i c (sad). F o u r g e o g r a p h i c r e g i o n s , f o u r h u m o r s , f o u r races. F o r t h e A m e r i c a n variety, L i n n a e u s w r o t e "rufus, cholericus, rectus" (red, c h o l e r i c , u p r i g h t ) ; f o r the E u r o p e a n , "albus, sanguineus, torosus" (white, s a n g u i n e , m u s c u l a r ) ; for the A s i a n , "luridus, melancholicus, rigidus" (pale-yellow, m e l a n c h o l y , stiff); a n d f o r t h e A f r i c a n , " n i g e r , p h l e g m a t i c u s , l a x u s " (black, p h l e g m a t i c , r e l a x e d ) . I d o n ' t m e a n to d e n y that L i n n a e u s h e l d c o n v e n t i o n a l beliefs
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a b o u t the s u p e r i o r i t y o f his o w n E u r o p e a n variety o v e r all o t h e r s . H e s u r e l y m a i n t a i n e d t h e a l m o s t u n i v e r s a l racism o f his t i m e — a n d being sanguine and muscular as a E u r o p e a n surely sounds better t h a n b e i n g m e l a n c h o l y a n d stiff a s a n A s i a n . M o r e o v e r , L i n n a e u s i n c l u d e d a m o r e o v e r t l y racist label in his last line of d e s c r i p t i o n f o r e a c h variety. H e r e h e tries t o e p i t o m i z e s u p p o s e d b e h a v i o r i n a single w o r d f o l l o w i n g t h e s t a t e m e n t "regitur" ( r u l e d ) — f o r the A m e r ican, consuetudine (by h a b i t ) ; f o r the E u r o p e a n , ritibus (by c u s t o m ) ; f o r t h e A s i a n , opinionibus (by b e l i e f ) ; a n d f o r t h e A f r i c a n , arbitrio (by caprice). Surely, regulation by established and considered custom beats t h e u n t h i n k i n g r u l e o f habit o r belief, a n d all t h e s e a r e s u p e rior t o c a p r i c e — t h u s l e a d i n g t o the i m p l i e d a n d c o n v e n t i o n a l racist ranking of E u r o p e a n s first, Asians and A m e r i c a n s in the middle, and Africans at the bottom. Nonetheless, and despite these implications, the overt g e o m e t r y of Linnaeus's m o d e l is not linear or hierarchical. W h e n we epitomize his s c h e m e a s a n essential p i c t u r e i n o u r m i n d , w e see a m a p o f t h e w o r l d d i v i d e d into f o u r r e g i o n s , with t h e p e o p l e i n e a c h r e g i o n c h a r a c t e r i z e d by a list of d i f f e r e n t traits. In s h o r t , L i n n a e u s uses cartography as a primary principle for h u m a n o r d e r i n g ; if he had w i s h e d t o p u s h r a n k i n g a s the essential p i c t u r e o f h u m a n variety, h e w o u l d s u r e l y h a v e listed E u r o p e a n s first a n d A f r i c a n s last, b u t h e started w i t h N a t i v e A m e r i c a n s i n s t e a d . T h e shift f r o m a g e o g r a p h i c t o a h i e r a r c h i c a l o r d e r i n g o f h u m a n diversity m a r k s a f a t e f u l transition in t h e history of W e s t e r n scie n c e — f o r what, short of railroads and nuclear bombs, had m o r e practical i m p a c t , i n this case a l m o s t e n t i r e l y n e g a t i v e , u p o n o u r collective lives a n d nationalities. Ironically, J. F. B l u m e n b a c h is t h e focus o f this s h i f t — f o r his f i v e - r a c e s c h e m e b e c a m e c a n o n i c a l , a n d he changed the g e o m e t r y of h u m a n o r d e r f r o m Linnaean cartography t o l i n e a r r a n k i n g b y p u t a t i v e w o r t h . I say i r o n i c b e c a u s e B l u m e n b a c h was t h e least racist, m o s t egalirian, a n d m o s t g e n i a l o f all E n l i g h t e n m e n t w r i t e r s o n the subject f h u m a n diversity. H o w p e c u l i a r that t h e m a n m o s t c o m m i t t e d t o u m a n unity, a n d t o i n c o n s e q u e n t i a l m o r a l a n d intellectual d i f f e r nces a m o n g g r o u p s , s h o u l d h a v e c h a n g e d t h e m e n t a l g e o m e t r y o f h u m a n o r d e r t o a s c h e m e that has p r o m o t e d c o n v e n t i o n a l r a c i s m e r since. Y e t , o n s e c o n d t h o u g h t , this situation i s really n o t s o peculiar o r u n u s u a l — f o r most scientists h a v e always b e e n u n a w a r e e v
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o f the m e n t a l m a c h i n e r y , a n d p a r t i c u l a r l y o f the visual o r g e o m e t r i c i m p l i c a t i o n s , b e h i n d all t h e o r i z i n g . A n o l d t r a d i t i o n i n science p r o c l a i m s that c h a n g e s i n t h e o r y m u s t be d r i v e n by o b s e r v a t i o n . S i n c e m o s t scientists b e l i e v e this simplistic f o r m u l a , they a s s u m e that t h e i r o w n shifts i n i n t e r p r e t a t i o n o n l y r e c o r d t h e i r b e t t e r u n d e r s t a n d i n g o f n e w l y d i s c o v e r e d facts. Scientists t h e r e f o r e t e n d t o b e u n a w a r e o f their o w n m e n t a l i m p o s i t i o n s u p o n t h e w o r l d ' s messy a n d a m b i g u o u s factuality. S u c h m e n t a l impositions arise f r o m a v a r i e t y of s o u r c e s , i n c l u d i n g p s y c h o l o g i c a l p r e d i s p o s i t i o n a n d social c o n t e x t . B l u m e n b a c h lived i n a n a g e w h e n i d e a s o f p r o g r e s s , a n d o f t h e c u l t u r a l s u p e r i o r i t y o f E u r o p e a n life, d o m i n a t e d t h e political a n d social w o r l d o f his c o n t e m p o r a r i e s . I m plicit a n d loosely f o r m u l a t e d (or e v e n u n c o n s c i o u s ) n o t i o n s o f racial r a n k i n g fit well w i t h s u c h a w o r l d view; a l m o s t a n y o t h e r t a x o n o m i c s c h e m e w o u l d h a v e b e e n a n o m a l o u s . I n c h a n g i n g the g e o m e t r y o f h u m a n o r d e r t o a s y s t e m o f r a n k i n g b y w o r t h , I d o u b t that B l u m e n b a c h d i d a n y t h i n g c o n s c i o u s l y in t h e o v e r t service of r a c i s m . I think that h e w a s o n l y , a n d l a r g e l y passively, r e c o r d i n g t h e p e r v a s i v e social view o f his t i m e . B u t ideas h a v e c o n s e q u e n c e s , w h a t e v e r t h e motives or intentions of their promoters. B l u m e n b a c h c e r t a i n l y t h o u g h t that his switch f r o m t h e L i n n a e a n f o u r - r a c e system to his o w n five-race s c h e m e — t h e basis f o r his fateful g e o m e t r i c shift, a s w e shall see, f r o m c a r t o g r a p h y t o h i e r a r c h y — a r o s e o n l y f r o m his i m p r o v e d u n d e r s t a n d i n g o f n a t u r e ' s factuality. H e s o stated i n t h e s e c o n d ( 1 7 8 1 ) e d i t i o n o f his treatise, w h e n h e a n n o u n c e d his c h a n g e : " F o r m e r l y in t h e first e d i t i o n of his w o r k , I d i v i d e d all m a n k i n d into f o u r varieties; b u t a f t e r I h a d m o r e actively investigated the different nations of Eastern Asia and A m e r i c a , and, so to s p e a k , l o o k e d at t h e m m o r e closely, I was c o m p e l l e d to give up that d i v i s i o n , a n d to p l a c e in its stead t h e f o l l o w i n g five varieties, as m o r e c o n s o n a n t t o n a t u r e . " A n d , i n the p r e f a c e t o the t h i r d edition o f 1 7 9 5 , B l u m e n b a c h states that h e g a v e u p t h e L i n n a e a n s c h e m e i n o r d e r t o a r r a n g e " t h e varieties o f m a n a c c o r d i n g t o t h e truth o f n a t u r e . " W h e n scientists a d o p t t h e m y t h that t h e o r i e s arise solely f r o m o b s e r v a t i o n , a n d d o n o t scrutinize the p e r s o n a l a n d social influences e m e r g i n g f r o m t h e i r o w n p s y c h e s , t h e y n o t o n l y miss the c a u s e s o f their c h a n g e d o p i n i o n s , b u t m a y also fail t o c o m p r e h e n d the d e e p a n d p e r v a s i v e m e n t a l shift e n c o d e d b y t h e i r o w n new theory.
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B l u m e n b a c h s t r o n g l y u p h e l d t h e u n i t y o f the h u m a n species a g a i n s t a n a l t e r n a t i v e view, t h e n g r o w i n g i n p o p u l a r i t y (and s u r e l y m o r e c o n d u c i v e t o c o n v e n t i o n a l f o r m s o f racism), that e a c h m a j o r r a c e h a d b e e n s e p a r a t e l y c r e a t e d . H e e n d e d t h e t h i r d e d i t i o n o f his treatise b y w r i t i n g : " N o d o u b t c a n a n y l o n g e r r e m a i n b u t that w e a r e w i t h g r e a t p r o b a b i l i t y r i g h t i n r e f e r r i n g all varieties o f m a n . . . t o o n e and the same species." A s his m a j o r a r g u m e n t f o r unity, B l u m e n b a c h notes that all s u p p o s e d racial c h a r a c t e r s g r a d e c o n t i n u o u s l y f r o m o n e p e o p l e t o another, and cannot define any separate and b o u n d e d group. For although there seems to be so great a difference between widely separate nations, that you might easily take the inhabitants of the Cape of Good H o p e , the Greenlanders, and the Circassians for so many different species of man, yet w h e n the matter is thoroughly considered, you see that all do so run into o n e another, and that o n e variety of mankind does so sensibly pass into the other, that you cannot mark out the limits between them. H e p a r t i c u l a r l y r e f u t e s the c o m m o n c l a i m that black A f r i c a n s , a s lowest o n t h e c o n v e n t i o n a l racist l a d d e r , b e a r u n i q u e f e a t u r e s o f their i n f e r i o r i t y : " T h e r e i s n o single c h a r a c t e r s o p e c u l i a r a n d s o u n i v e r s a l a m o n g t h e E t h i o p i a n s , b u t w h a t i t m a y b e o b s e r v e d o n the o n e h a n d e v e r y w h e r e i n o t h e r varieties o f m e n . " B l u m e n b a c h b e l i e v e d that Homo sapiens h a d b e e n c r e a t e d in a single r e g i o n a n d h a d t h e n s p r e a d o u t o v e r the g l o b e . O u r racial diversity, h e t h e n a r g u e d , a r o s e a s a result o f o u r m o v e m e n t t o o t h e r climates a n d t o p o g r a p h i e s , a n d o u r c o n s e q u e n t a d o p t i o n o f d i f f e r e n t habits a n d m o d e s o f life i n these v a r i o u s r e g i o n s . Followi n g the t e r m i n o l o g y o f his t i m e , B l u m e n b a c h r e f e r r e d t o these c h a n g e s a s " d e g e n e r a t i o n s " — n o t i n t e n d i n g , b y this w o r d , t h e m o d e r n sense o f d e t e r i o r a t i o n , b u t t h e literal m e a n i n g o f d e p a r t u r e f r o m a n initial f o r m o f h u m a n i t y a t t h e c r e a t i o n (de m e a n s " f r o m " a n d genus r e f e r s to o u r o r i g i n a l stock). M o s t o f t h e s e d e g e n e r a t i o n s , B l u m e n b a c h a r g u e s , arise directly from differences in c l i m a t e — r a n g i n g from such broad patterns as the c o r r e l a t i o n o f d a r k skin with tropical e n v i r o n m e n t s , t o m o r e particular ( a n d fanciful) a t t r i b u t i o n s , i n c l u d i n g a s p e c u l a t i o n that the n a r r o w e y e slits o f s o m e A u s t r a l i a n p e o p l e m a y h a v e arisen a s their r e s p o n s e to " c o n s t a n t c l o u d s of g n a t s . . . c o n t r a c t i n g t h e n a t u ral face of t h e i n h a b i t a n t s . " O t h e r c h a n g e s t h e n o r i g i n a t e as a c o n s e -
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q u e n c e o f v a r y i n g m o d e s o f life a d o p t e d i n t h e s e d i f f e r e n t r e g i o n s . F o r e x a m p l e , n a t i o n s that c o m p r e s s t h e h e a d s o f babies b y swadd l i n g b o a r d s o r p a p o o s e c a r r i e r s e n d u p with relatively l o n g skulls. B l u m e n b a c h h o l d s that " a l m o s t all t h e diversity o f the f o r m o f t h e h e a d i n d i f f e r e n t n a t i o n s i s t o b e a t t r i b u t e d t o t h e m o d e o f life a n d to a r t . " B l u m e n b a c h d o e s n o t d e n y that s u c h c h a n g e s , p r o m o t e d o v e r m a n y g e n e r a t i o n s , m a y e v e n t u a l l y b e c o m e h e r e d i t a r y (by a p r o c e s s g e n e r a l l y called " L a m a r c k i s m , " o r " i n h e r i t a n c e o f a c q u i r e d c h a r a c t e r s " t o d a y , b u t s e r v i n g a s the folk w i s d o m o f t h e late e i g h t e e n t h century, and as nothing peculiar to Lamarck, as Blumenbach's supp o r t illustrates). " W i t h t h e p r o g r e s s o f t i m e , " B l u m e n b a c h writes, " a r t m a y d e g e n e r a t e into a s e c o n d n a t u r e . " B u t B l u m e n b a c h s t r o n g l y h e l d that m o s t racial v a r i a t i o n , a s superficial i m p o s i t i o n s o f c l i m a t e a n d m o d e o f life, c o u l d b e easily altered or reversed by m o v i n g to a new region or by a d o p t i n g new styles o f b e h a v i o r . W h i t e E u r o p e a n s l i v i n g f o r g e n e r a t i o n s i n the tropics may b e c o m e dark-skinned, while Africans transported as slaves t o h i g h l a t i t u d e s m a y e v e n t u a l l y b e c o m e w h i t e : " C o l o r , whate v e r b e its c a u s e , b e i t bile, o r t h e i n f l u e n c e o f t h e s u n , t h e air, o r the c l i m a t e , is, at all e v e n t s , an a d v e n t i t i o u s a n d easily c h a n g e a b l e thing, a n d c a n n e v e r c o n s t i t u t e a diversity o f s p e c i e s . " B a c k e d b y t h e s e v i e w s o n the superficiality o f racial variation, B l u m e n b a c h stoutly d e f e n d e d the m e n t a l a n d m o r a l u n i t y o f all p e o p l e s . H e h e l d p a r t i c u l a r l y s t r o n g o p i n i o n s o n t h e e q u a l status o f black Africans and white E u r o p e a n s — p e r h a p s because Africans h a d b e e n m o s t s t i g m a t i z e d b y c o n v e n t i o n a l racist beliefs. B l u m e n b a c h e s t a b l i s h e d a special library in his h o u s e d e v o t e d e x c l u s i v e l y t o w r i t i n g s b y b l a c k a u t h o r s . H e m a y h a v e b e e n patronizi n g i n p r a i s i n g " t h e g o o d d i s p o s i t i o n a n d faculties o f t h e s e o u r black brethren," but paternalism is better than contempt. He campaigned f o r t h e a b o l i t i o n o f slavery w h e n s u c h v i e w s d i d n o t e n j o y wides p r e a d assent, a n d h e a s s e r t e d t h e m o r a l s u p e r i o r i t y o f slaves t o t h e i r c a p t o r s , s p e a k i n g o f a " n a t u r a l t e n d e r n e s s o f h e a r t , w h i c h has n e v e r b e e n b e n u m b e d o r e x t i r p a t e d o n b o a r d t h e t r a n s p o r t vessels o r o n t h e W e s t I n d i a s u g a r p l a n t a t i o n s b y t h e b r u t a l i t y o f their white executioners." B l u m e n b a c h a f f i r m e d " t h e perfectibility o f t h e m e n t a l faculties a n d the talents o f t h e N e g r o , " a n d h e listed the f i n e w o r k s o f his
3. Caucasian
2. American Indian
1. Oriental
4. Malay
5. African
Blurnenbach's racial geometry with two lines of "degeneration" extending °ut through intermediary stages from a central Caucasian "ideal." Figure ° d i f i e d from Anthropological Treatises,]. F. Blumenbach, 1865. m
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library, o f f e r i n g special praise f o r the p o e t r y of Phillis W h e a t l e y , a B o s t o n slave w h o s e w r i t i n g s h a v e o n l y r e c e n t l y b e e n r e d i s c o v e r e d a n d r e p r i n t e d i n A m e r i c a : " I possess E n g l i s h , D u t c h , a n d L a t i n p o e m s b y several [black a u t h o r s ] , a m o n g s t w h i c h h o w e v e r a b o v e all, t h o s e o f Phillis W h e a t l e y o f B o s t o n , w h o i s j u s t l y f a m o u s f o r t h e m , d e s e r v e s m e n t i o n h e r e . " Finally, B l u m e n b a c h n o t e d that m a n y C a u casian n a t i o n s c o u l d n o t boast so fine a set of a u t h o r s a n d scholars a s black A f r i c a has p r o d u c e d u n d e r the most d e p r e s s i n g c i r c u m stances o f p r e j u d i c e a n d slavery: "It w o u l d not b e difficult t o m e n tion e n t i r e w e l l - k n o w n p r o v i n c e s o f E u r o p e , f r o m o u t o f w h i c h y o u w o u l d n o t easily e x p e c t t o o b t a i n o f f - h a n d s u c h g o o d a u t h o r s , p o e t s , p h i l o s o p h e r s , a n d c o r r e s p o n d e n t s o f t h e Paris A c a d e m y . " N o n e t h e l e s s , w h e n B l u m e n b a c h p r e s e n t e d his i m p l i e d m e n t a l picture of h u m a n diversity—his transposition from Linnaean geogr a p h y t o h i e r a r c h i c a l r a n k i n g — h e c h o s e t o identify a c e n t r a l g r o u p a s closest t o the c r e a t e d ideal, a n d t h e n t o c h a r a c t e r i z e o t h e r g r o u p s b y relative d e g r e e s o f d e p a r t u r e f r o m this a r c h e t y p a l s t a n d a r d . H e e n d e d u p w i t h a system (see t h e a c c o m p a n y i n g illustration f r o m his treatise) that p l a c e d a single r a c e at t h e p i n n a c l e of closest a p p r o a c h t o the o r i g i n a l c r e a t i o n , a n d t h e n e n v i s i o n e d t w o s y m m e t r i c a l lines o f d e p a r t u r e f r o m this ideal t o w a r d g r e a t e r a n d g r e a t e r d e g e n e r ation. W e m a y n o w r e t u r n t o t h e r i d d l e o f the n a m e C a u c a s i a n , a n d t o t h e significance o f B l u m e n b a c h ' s a d d i t i o n o f a f i f t h r a c e , t h e M a l a y variety. B l u m e n b a c h c h o s e t o r e g a r d his o w n E u r o p e a n variety a s closest t o t h e c r e a t e d ideal, a n d h e t h e n s e a r c h e d within t h e variety of E u r o p e a n s for a smaller g r o u p of greatest p e r f e c t i o n — t h e highest o f t h e h i g h e s t , s o t o s p e a k . A s w e h a v e s e e n , h e identified the p e o p l e a r o u n d M o u n t C a u c a s u s a s t h e closest e m b o d i m e n t s o f a n o r i g i n a l i d e a l , a n d h e t h e n n a m e d the e n t i r e E u r o p e a n r a c e f o r their finest representatives. But B l u m e n b a c h now faced a dilemma. He had already affirmed t h e m e n t a l a n d m o r a l e q u a l i t y o f all p e o p l e s . H e t h e r e f o r e c o u l d n o t use t h e s e c o n v e n t i o n a l s t a n d a r d s o f racist r a n k i n g t o establish d e g r e e s o f relative d e p a r t u r e f r o m t h e C a u c a s i a n ideal. I n s t e a d , a n d h o w e v e r subjective (and e v e n risible) w e view t h e c r i t e r i o n t o d a y , B l u m e n b a c h c h o s e physical b e a u t y a s his g u i d e t o r a n k i n g . H e simply a f f i r m e d that E u r o p e a n s w e r e m o s t b e a u t i f u l , w i t h p e o p l e o f the C a u c a s u s o n t h e h i g h e s t p i n n a c l e o f c o m e l i n e s s ( h e n c e his l i n k i n g ,
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i n the q u o t a t i o n p r e s e n t e d a t the b e g i n n i n g o f this article, o f m a x i mal beauty with place of h u m a n o r i g i n — f o r B l u m e n b a c h viewed all s u b s e q u e n t v a r i a t i o n as d e p a r t u r e f r o m a c r e a t e d ideal, a n d t h e m o s t b e a u t i f u l p e o p l e m u s t t h e r e f o r e live closest t o o u r p r i m a l home). B l u m e n b a c h ' s d e s c r i p t i o n s a r e p e r v a d e d b y his p e r s o n a l sense o f relative b e a u t y , p r e s e n t e d a s t h o u g h h e w e r e d i s c u s s i n g a n objective a n d q u a n t i f i a b l e p r o p e r t y , n o t subject t o d o u b t o r d i s a g r e e m e n t . H e d e s c r i b e s a G e o r g i a n f e m a l e skull ( f r o m closest t o M o u n t C a u c a s u s ) i n his c o l l e c t i o n a s "really t h e m o s t b e a u t i f u l f o r m o f skull w h i c h . . . a l w a y s of itself attracts e v e r y e y e , h o w e v e r little o b s e r v a n t . " H e t h e n d e f e n d s his E u r o p e a n s t a n d a r d o n aesthetic grounds: In the first place, that stock displays . . . the most beautiful form of the skull, from which, as from a mean and primeval type, the others diverge by most easy gradations. . . . Besides, it is white in color, which we may fairly assume to have been the primitive color of mankind, since . . . it is very easy for that to degenerate into brown, but very much more difficult for dark to b e c o m e white. B l u m e n b a c h t h e n p r e s e n t e d all h u m a n v a r i e t y o n t w o lines o f successive d e p a r t u r e f r o m this C a u c a s i a n ideal, e n d i n g i n t h e t w o m o s t d e g e n e r a t e (least attractive, n o t m o r a l l y u n w o r t h y o r m e n t a l l y o b t u s e ) f o r m s o f h u m a n i t y — A s i a n s o n o n e side, a n d A f r i c a n s o n the o t h e r . B u t B l u m e n b a c h also w a n t e d t o d e s i g n a t e i n t e r m e d i a r y f o r m s b e t w e e n ideal a n d m o s t d e g e n e r a t e — e s p e c i a l l y since e v e n g r a d a t i o n f o r m e d his p r i m a r y a r g u m e n t f o r h u m a n unity. I n his o r i g i n a l f o u r - r a c e s y s t e m , h e c o u l d identify N a t i v e A m e r i c a n s a s intermediary between Europeans and Asians, but w h o would serve as the transnational f o r m between E u r o p e a n s and Africans? T h e four-race system contained n o appropriate g r o u p , and c o u l d t h e r e f o r e n o t b e t r a n s f o r m e d into t h e n e w g e o m e t r y o f a p i n n a c l e w i t h t w o s y m m e t r i c a l limbs l e a d i n g t o m a x i m a l d e p a r t u r e f r o m ideal f o r m . B u t i n v e n t i o n o f a f i f t h racial c a t e g o r y f o r f o r m s intermediate between E u r o p e a n s and Africans would complete the new g e o m e t r y — a n d B l u m e n b a c h therefore a d d e d the Malay race, not as a m i n o r f a c t u a l r e f i n e m e n t , b u t as t h e e n a b l e r of a t h o r o u g h g e o m e t r i c t r a n s f o r m a t i o n i n t h e o r i e s ( m e n t a l pictures) a b o u t h u m a n diversity. A s a n i n t e r m e d i a r y b e t w e e n E u r o p e a n s a n d
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A f r i c a n s , t h e M a l a y v a r i e t y p r o v i d e d crucial s y m m e t r y f o r B l u m e n bach's h i e r a r c h i c a l t a x o n o m y . T h i s M a l a y a d d i t i o n t h e r e f o r e c o m pleted the geometric transformation f r o m an u n r a n k e d geographic m o d e l t o t h e c o n v e n t i o n a l h i e r a r c h y o f i m p l i e d w o r t h that has fost e r e d s o m u c h social g r i e f e v e r since. B l u m e n b a c h e p i t o m i z e d his system i n this g e o m e t r i c m a n n e r , a n d explicitly d e f e n d e d t h e n e c e s sary role o f his M a l a y a d d i t i o n : I have allotted the first place to the Caucasian . . . which makes me esteem it the primeval one. This diverges in both directions into two, most remote and very different from each other; on the o n e side, namely, into the Ethiopian, and on the other into the Mongolian. T h e remaining two occupy the intermediate positions between that primeval o n e and these two extreme varieties; that is, the American between the Caucasian and Mongolian; the Malay between the same Caucasian and Ethiopian. S c h o l a r s o f t e n s u p p o s e that a c a d e m i c ideas m u s t r e m a i n , a t w o r s t , h a r m l e s s a n d , a t best, mildly a m u s i n g o r e v e n instructive. B u t ideas do not reside in the ivory tower of o u r usual m e t a p h o r about a c a d e m i c i r r e l e v a n c y . P e o p l e a r e , a s Pascal said, t h i n k i n g r e e d s , a n d i d e a s m o t i v a t e h u m a n history. W h e r e w o u l d H i t l e r h a v e b e e n witho u t r a c i s m , J e f f e r s o n w i t h o u t liberty? B l u m e n b a c h lived as a cloist e r e d p r o f e s s o r all his life, b u t his i d e a s r e v e r b e r a t e t h r o u g h o u r wars, our conquests, our sufferings, and our hopes. I therefore end by returning to the coincidence of 1 7 7 6 , as Jefferson wrote the Declaration of I n d e p e n d e n c e while B l u m e n b a c h published the first e d i t i o n o f his treatise i n L a t i n . C o n s i d e r t h e w o r d s o f L o r d A c t o n o n t h e p o w e r o f i d e a s t o p r o p e l history, a s illustrated b y p o t e n t i a l passage f r o m Latin to action: It was from America that . . . ideas long locked in the breast of solitary thinkers, and hidden a m o n g Latin folios—burst forth like a conqueror u p o n the world they were destined to transform, u n d e r the title of the Rights of Man.
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The Moral State of Tahiti—and of Darwin C h i l d h o o d precocity is an eerie and fascinating p h e n o m e n o n . B u t let u s n o t f o r g e t t h e limits; a g e a n d e x p e r i e n c e c o n f e r s o m e blessing. T h e c o m p o s i t i o n s that M o z a r t w r o t e a t f o u r a n d f i v e a r e n o t e n d u r i n g m a s t e r p i e c e s , h o w e v e r sweet. W e e v e n h a v e a w o r d f o r s u c h "literary o r artistic w o r k s p r o d u c e d i n the a u t h o r ' s y o u t h " (Oxford English Dictionary)—-juvenilia. T h e t e r m has always b o r n e a d e r o g a t o r y t i n g e ; artists certainly h o p e f o r substantial o n t o g e n e t i c i m p r o v e m e n t ! J o h n D o n n e , i n t h e s e c o n d r e c o r d e d use o f the w o r d ( 1 6 3 3 ) e n t i t l e d his e a r l y w o r k s : " I u u e n i l i a : o r c e r t a i n e p a r a d o x e s and problemes." I s h o u l d n ' t p l a c e m y s e l f in s u c h a u g u s t c o m p a n y , b u t I do feel t h e n e e d t o c o n f e s s . M y f i r s t w o r k was a p o e m a b o u t d i n o s a u r s , w r i t t e n at a g e e i g h t . I c r i n g e to r e m e m b e r its first v e r s e : Once there was a Triceratops With his horns he gave big bops He gave them to an allosaur W h o went away without a roar. (I c r i n g e e v e n m o r e to recall its e v e n t u a l d i s p o s i t i o n . I sent t h e p o e m to my b o y h o o d h e r o , N e d Colbert, curator of dinosaurs at the A m e r i c a n M u s e u m o f N a t u r a l H i s t o r y . F i f t e e n y e a r s later, w h e n I was t a k i n g his c o u r s e as a g r a d u a t e s t u d e n t , C o l b e r t h a p p e n e d to c l e a n o u t his o l d files, f o u n d t h e p o e m , a n d g l e e f u l l y s h a r e d i t with all m y classmates o n e a f t e r n o o n . ) N o w , a trivia q u e s t i o n o n t h e s a m e t h e m e : W h a t was C h a r l e s Darwin's first published work? A speculation on evolution? Perhaps a n a r r a t i v e of scientific d i s c o v e r y on the Beagle? N o , this g r e a t e s t a n d m o s t r e v o l u t i o n a r y o f all biologists, this i n v e r t e r o f t h e established o r d e r , p u b l i s h e d his first w o r k in t h e South African Christian Recorder f o r 1 8 3 6 — a j o i n t article with Beagle s k i p p e r R o b e r t F i t z R o y o n " T h e M o r a l State o f T a h i t i . " ( T h e s t a n d a r d c a t a l o g u e o f D a r w i n ' s p u b l i c a tions lists o n e p r i o r i t e m — a b o o k l e t of Beagle letters a d d r e s s e d to P r o f e s s o r H e n s l o w a n d p r i n t e d b y t h e C a m b r i d g e P h i l o s o p h i c a l Society i n 1 8 3 5 . B u t this p a m p h l e t was issued o n l y f o r p r i v a t e distribution a m o n g m e m b e r s — t h e e q u i v a l e n t o f a n i n f o r m a l m o d e r n
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X e r o x i n g . " T h e M o r a l State o f T a h i t i " r e p r e s e n t s D a r w i n ' s f i r s t p u b l i c a p p e a r a n c e i n p r i n t , a n d b i o g r a p h e r s r e c o r d this article a s his first p u b l i c a t i o n — e v e n t h o u g h t h e w r i t i n g is mostly FitzRoy's, with long excerpts f r o m Darwin's diaries patched in and properly acknowledged.) T h e g r e a t R u s s i a n e x p l o r e r O t t o v o n K o t z e b u e h a d p o u r e d fuel o n a n o l d a n d w o r l d w i d e d i s p u t e b y a r g u i n g that C h r i s t i a n missionaries h a d p e r p e t r a t e d far m o r e h a r m t h a n g o o d i n d e s t r o y i n g native c u l t u r e s (while o f t e n cynically f r o n t i n g f o r c o l o n i a l p o w e r ) u n d e r t h e g u i s e o f " i m p r o v e m e n t . " F i t z R o y a n d D a r w i n w r o t e t h e i r article t o attack K o t z e b u e a n d t o d e f e n d the g o o d w o r k o f E n g l i s h missionaries i n T a h i t i a n d N e w Z e a l a n d . T h e t w o s h i p m a t e s b e g a n b y n o t i n g with s o r r o w the s t r o n g antim i s s i o n a r y s e n t i m e n t s that t h e y h a d e n c o u n t e r e d w h e n t h e Beagle called a t C a p e T o w n : A very short stay at the Cape of Good H o p e is sufficient to convince even a passing stranger, that a strong feeling against the Missionaries in South Africa is there very prevalent. From what cause a feeling so much to be lamented has arisen, is probably well known to residents at the Cape. We can only notice the fact: and feel sorrow. F o l l o w i n g a g e n e r a l d e f e n s e o f m i s s i o n a r y activity, F i t z R o y a n d D a r w i n m o v e t o specific cases o f t h e i r o w n p r i o r o b s e r v a t i o n , particularly t o t h e i m p r o v e d " m o r a l state" o f T a h i t i : Quitting opinions . . . it may be desirable to see what has been d o i n g at Otaheite (now called Tahiti) and at N e w Zealand, towards reclaiming the "barbarians." . . . T h e Beagle passed a part of last N o v e m b e r at Otaheite or Tahiti. A m o r e orderly, quiet, inoffensive community I have not seen in any other part of the world. Every o n e of the Tahitians appeared anxious to oblige, and naturally g o o d tempered and cheerful. T h e y showed great respect for, and a thorough g o o d will towards, the missionaries; . . . and most deserving of such a feeling did those persons appear to be. F i t z R o y a n d D a r w i n w e r e , o b v i o u s l y , attentive to a possible c o u n t e r a r g u m e n t — t h a t the Tahitians have always been so decent, a n d that m i s s i o n a r y activity h a d b e e n i r r e l e v a n t t o their g o o d qualities b y E u r o p e a n taste. T h e article i s l a r g e l y a n a r g u m e n t against this i n t e r p r e t a t i o n a n d a d e f e n s e f o r d i r e c t a n d substantial " i m p r o v e m e n t " b y missionaries. D a r w i n , i n p a r t i c u l a r , p r e s e n t s t w o ar-
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g u m e n t s , b o t h q u o t e d directly f r o m his j o u r n a l s . First, T a h i t i a n C h r i s t i a n i t y s e e m s d e e p a n d g e n u i n e , n o t " f o r s h o w " a n d o n l y i n the p r e s e n c e o f m i s s i o n a r i e s . D a r w i n cites a n i n c i d e n t f r o m his travels with native T a h i t i a n s into the island's i n t e r i o r , far f r o m scrutiny. ( T h i s e v e n t m u s t h a v e i m p r e s s e d D a r w i n p o w e r f u l l y , f o r h e told the tale i n s e v e r a l letters t o family m e m b e r s b a c k h o m e a n d i n c l u d e d a n a c c o u n t in his Voyage of the Beagle): Before we laid ourselves d o w n to sleep, the elder Tahitian fell on his knees, and repeated a long prayer. He s e e m e d to pray as a christian should, with fitting reverence to his God, without ostentatious piety, or fear of ridicule. At daylight, after their m o r n i n g prayer, my companions prepared an excellent breakfast of bananas and fish. Neither of them would taste food without saying a short grace. T h o s e travellers, w h o hint that a Tahitian prays only when the eyes of the missionaries are fixed on him, might have profited by similar evidence. S e c o n d , a n d m o r e i m p o r t a n t , T a h i t i a n g o o d qualities h a v e b e e n c r e a t e d , o r substantially f o s t e r e d , b y m i s s i o n a r y activity. T h e y w e r e a d u b i o u s lot, D a r w i n asserts, b e f o r e W e s t e r n civilization a r r i v e d . On the whole, it is my opinion that the state of morality and religion in Tahiti is highly creditable. . . . H u m a n sacrifices,—the bloodiest warfare,— parricide,—and infanticide,—the power of an idolatrous priesthood,—and a system of profligacy unparalleled in the annals of the world,—have been abolished,—and dishonesty, licentiousness, and intemperance have been greatly reduced, by the introduction of Christianity. ( O n t h e subject o f s e x u a l f r e e d o m i n w o m e n , s o l o n g a n issue and legend for Tahitian travelers f r o m Captain C o o k to Fletcher C h r i s t i a n , F i t z R o y r e m a r k e d : "I w o u l d scarcely v e n t u r e to g i v e a g e n e r a l o p i n i o n , a f t e r o n l y so s h o r t an a c q u a i n t a n c e ; b u t I m a y say that I w i t n e s s e d no i m p r o p r i e t i e s . " N o n e t h e l e s s , F i t z R o y d i d a d m i t that " h u m a n n a t u r e i n T a h i t i c a n n o t b e s u p p o s e d s u p e r i o r t o e r r i n g h u m a n n a t u r e i n o t h e r parts o f the w o r l d . " D a r w i n t h e n a d d e d a keen observation on hypocrisy in Western male travelers w h o do not sufficiently c r e d i t missionaries as a result of their p r i v a t e f r u s t r a tion on this issue: "I do b e l i e v e that, d i s a p p o i n t e d in n o t finding t h e f i e l d o f l i c e n t i o u s n e s s s o o p e n a s f o r m e r l y , a n d a s was e x p e c t e d , t h e y will n o t g i v e c r e d i t to a m o r a l i t y w h i c h t h e y do not wish to practise.") M a n y a r g u m e n t s float b a c k a n d f o r t h t h r o u g h this i n t e r e s t i n g
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article, b u t t h e d o m i n a n t t h e m e c a n s u r e l y be s u m m a r i z e d in a single w o r d : paternalism. We know what is g o o d for the primitives—and t h a n k G o d they a r e r e s p o n d i n g a n d i m p r o v i n g o n T a h i t i b y b e c o m i n g m o r e E u r o p e a n i n t h e i r c u s t o m s a n d actions. Praise the missionaries f o r this e x e m p l a r y w o r k . O n e c o m m e n t , a g a i n b y F i t z R o y , c a p t u r e s this t h e m e with special d i s c o m f o r t (to m o d e r n eyes) f o r its p a t r o n i z i n g a p p r o a c h , e v e n t o royalty: T h e Q u e e n , and a large party, passed s o m e hours on board the Beagle. T h e i r behavior was extremely correct, and their manners were inoffensive. J u d g i n g from former accounts, and what we witnessed, I should think that they are improving yearly. T h u s , we may return to my opening issue—the theme of juvenilia. Shall w e p l a c e this article o n t h e " M o r a l State o f T a h i t i , " D a r win's v e r y f i r s t , i n t o t h e c a t e g o r y o f s e v e r e later e m b a r r a s s m e n t s ? D i d D a r w i n g r e a t l y revise his views o n n o n - W e s t e r n p e o p l e s a n d civilizations, a n d c o m e to r e g a r d his e a r l y p a t e r n a l i s m as a folly of y o u t h f u l i n e x p e r i e n c e ? M u c h traditional c o m m e n t a r y i n t h e h a g i o g r a p h i c a l m o d e w o u l d say s o — a n d isolated q u o t a t i o n s c a n b e cited f r o m h e r e a n d t h e r e t o s u p p o r t s u c h a n i n t e r p r e t a t i o n (for D a r w i n was a c o m p l e x m a n w h o w r e s t l e d w i t h d e e p issues, s o m e t i m e s i n c o n t r a d i c t o r y w a y s , t h r o u g h o u t his life). B u t I w o u l d a d v a n c e t h e o p p o s i t e claim as a g e n e r a l i t y . I d o n ' t t h i n k that D a r w i n e v e r substantially r e v i s e d his a n t h r o p o l o g i c a l v i e w s . His basic a t t i t u d e r e m a i n e d : " t h e y " a r e i n f e r i o r b u t r e d e e m able. His m o d e o f a r g u m e n t c h a n g e d i n later life. H e w o u l d n o l o n g e r f r a m e his a t t i t u d e i n t e r m s o f t r a d i t i o n a l C h r i s t i a n i t y a n d m i s s i o n a r y w o r k . H e w o u l d t e m p e r his s t r o n g e s t paternalistic e n t h u s i a s m with a g r o w i n g u n d e r s t a n d i n g (cynicism w o u l d be too s t r o n g a w o r d ) of t h e foibles o f human n a t u r e in all c u l t u r e s , includi n g his o w n . ( W e see the f i r s t fruits o f s u c h w i s d o m i n his c o m m e n t , cited p r e v i o u s l y , o n w h y s e x u a l l y f r u s t r a t e d t r a v e l e r s fail t o credit T a h i t i a n missionaries.) B u t his basic b e l i e f in a h i e r a r c h y of c u l t u r a l a d v a n c e , with w h i t e E u r o p e a n s o n t o p a n d natives o f d i f f e r e n t colors on the bottom, did not change. T u r n i n g to t h e m a j o r w o r k of D a r w i n ' s m a t u r i t y , The Descent of Man ( 1 8 7 1 ) , D a r w i n w r i t e s in s u m m a r y : T h e races differ also in constitution, in acclimatisation, and in liability to certain diseases. T h e i r mental characteristics are likewise very distinct;
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chiefly as it would appear in their emotional, but partly in their intellectual faculties. Every o n e w h o has had the opportunity of comparison, must have been struck with the contrast between the taciturn, even morose, aborigines of S. America and the lighthearted, talkative negroes. T h e most s t r i k i n g p a s s a g e o c c u r s in a d i f f e r e n t c o n t e x t . D a r w i n is a r g u i n g that d i s c o n t i n u i t i e s i n n a t u r e d o n o t s p e a k a g a i n s t e v o l u tion, b e c a u s e m o s t i n t e r m e d i a t e f o r m s a r e n o w e x t i n c t . J u s t t h i n k , h e tells us, h o w m u c h g r e a t e r the g a p b e t w e e n a p e s a n d h u m a n s will b e c o m e w h e n b o t h t h e h i g h e s t a p e s a n d t h e l o w e s t p e o p l e a r e exterminated: At some future period, not very distant as measured by centuries, the civilized races of man will almost certainly exterminate and replace throughout the world the savage races. At the same time the a n t h r o p o m o r p h o u s apes . . . will no doubt be exterminated. T h e break will then be rendered wider, for it will intervene between man in a more civilized state, as we may h o p e , than the Caucasian, and s o m e ape as low as a baboon, instead of as at present between the n e g r o or Australian and the gorilla. T h e c o m m o n ( a n d false) i m p r e s s i o n o f D a r w i n ' s e g a l i t a r i a n i s m arises largely f r o m selective q u o t a t i o n . D a r w i n was s t r o n g l y attracted t o c e r t a i n p e o p l e s o f t e n d e s p i s e d b y E u r o p e a n s , a n d s o m e later w r i t e r s h a v e falsely e x t r a p o l a t e d to a p r e s u m e d g e n e r a l attit u d e . O n the Beagle v o y a g e , f o r e x a m p l e , h e s p o k e h i g h l y o f A f r i c a n blacks e n s l a v e d in B r a z i l : It is impossible to see a negro and not feel kindly towards him; such cheerful, o p e n , honest expressions and such fine muscular bodies; I never saw any of the diminutive Portuguese with their murderous countenances, without almost wishing for Brazil to follow the example of Hayti. But toward other peoples, particularly the Fuegians of southernmost S o u t h A m e r i c a , D a r w i n felt c o n t e m p t : " I b e l i e v e i f t h e w o r l d was s e a r c h e d , n o l o w e r g r a d e o f m a n c o u l d b e f o u n d . " E l a b o r a t i n g later o n the v o y a g e , D a r w i n writes: Their red skins filthy and greasy, their hair entangled, their voices discordant, their gesticulation violent and without any dignity. Viewing such m e n , one can hardly make oneself believe that they are fellow creatures placed in the same world. . . . It is a c o m m o n subject of conjecture, what pleasure in life some of the less gifted animals can enjoy? H o w much more reasonably it may be asked with respect to these men.
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O n t h e subject o f s e x u a l d i f f e r e n c e s , s o o f t e n a s u r r o g a t e f o r racial a t t i t u d e s , D a r w i n writes in The Descent of Man (and w i t h d i r e c t analogy to cultural variation): It is generally admitted that with w o m a n the powers of intuition, of rapid perception, and perhaps of imitation, are more strongly marked than in man; but some, at least, of these faculties are characteristic of the lower races, and therefore of a past and lower state of civilization. T h e chief distinction in the intellectual powers of the two sexes is shown by man attaining to a higher e m i n e n c e , in whatever he takes up, than woman can attain—whether requiring d e e p thought, reason, or imagination, or merely the use of the senses and hands. D a r w i n attributes t h e s e d i f f e r e n c e s t o the e v o l u t i o n a r y s t r u g g l e that m a l e s m u s t p u r s u e f o r success i n m a t i n g : " T h e s e v a r i o u s faculties will t h u s h a v e b e e n c o n t i n u a l l y p u t t o t h e test, a n d selected d u r i n g m a n h o o d . " In a remarkable passage, he then expresses t h a n k s that e v o l u t i o n a r y i n n o v a t i o n s o f e i t h e r sex t e n d t o pass, b y inheritance, to both sexes—lest the disparity between m e n and w o m e n b e c o m e ever greater by virtue of exclusively male accomplishment: It is, indeed, fortunate that the law of the equal transmission of characters to both sexes has c o m m o n l y prevailed throughout the whole class of mammals; otherwise it is probable that man would have become as superior in mental e n d o w m e n t to w o m a n , as the peacock is in ornamental plumage to the peahen. Shall we t h e n s i m p l y label D a r w i n as a c o n s t a n t racist a n d sexist all t h e w a y f r o m y o u t h f u l folly to m a t u r e reflection? S u c h a stiffn e c k e d a n d u n c h a r i t a b l e a t t i t u d e will n o t h e l p u s i f w e wish t o u n d e r s t a n d a n d seek e n l i g h t e n m e n t f r o m o u r past. I n s t e a d I will p l e a d f o r D a r w i n o n t w o g r o u n d s , o n e g e n e r a l , the o t h e r p e r s o n a l . T h e g e n e r a l a r g u m e n t i s o b v i o u s a n d easy t o m a k e . H o w c a n w e castigate s o m e o n e f o r r e p e a t i n g a s t a n d a r d a s s u m p t i o n o f his a g e , h o w e v e r m u c h w e m a y legitimately d e p l o r e that a t t i t u d e t o d a y ? B e lief i n racial a n d s e x u a l i n e q u a l i t y was u n q u e s t i o n e d a n d c a n o n i c a l a m o n g upper-class Victorian males—probably about as controversial as the P y t h a g o r e a n t h e o r e m . D a r w i n d i d c o n s t r u c t a d i f f e r e n t r a t i o n a l e f o r a s h a r e d c e r t a i n t y — a n d f o r this w e m a y e x a c t s o m e j u d g m e n t . B u t I see no p u r p o s e in s t r o n g criticism f o r a largely passive a c c e p t a n c e o f c o m m o n w i s d o m . L e t u s r a t h e r a n a l y z e w h y
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s u c h p o t e n t a n d evil n o n s e n s e t h e n p a s s e d f o r c e r t a i n k n o w l e d g e . If I c h o o s e to i m p o s e i n d i v i d u a l b l a m e f o r all past social ills, t h e r e will b e n o o n e left t o like i n s o m e o f the m o s t f a s c i n a t i n g p e r i o d s o f o u r history. F o r e x a m p l e , a n d s p e a k i n g p e r s o n a l l y , i f I p l a c e e v e r y V i c t o r i a n a n t i - S e m i t e b e y o n d the pale o f m y a t t e n t i o n , m y c o m p a s s o f available m u s i c a n d l i t e r a t u r e will b e pitifully small. T h o u g h I h o l d n o s h r e d o f s y m p a t h y f o r active p e r s e c u t o r s , I c a n n o t e x c o r i a t e i n d i v i d u a l s w h o a c q u i e s c e d passively in a s t a n d a r d societal j u d g m e n t . Rail instead a g a i n s t t h e j u d g m e n t , a n d try t o u n d e r s t a n d w h a t m o t i v a t e s m e n o f d e c e n t will. T h e p e r s o n a l a r g u m e n t i s m o r e difficult a n d r e q u i r e s substantial b i o g r a p h i c a l k n o w l e d g e . A t t i t u d e s a r e o n e t h i n g , actions a n o t h e r — a n d b y t h e i r fruits y e shall k n o w t h e m . W h a t d i d D a r w i n d o w i t h his racial a t t i t u d e s , a n d h o w d o his actions stack u p a g a i n s t the m o r e s o f his c o n t e m p o r a r i e s ? B y this p r o p e r c r i t e r i o n , D a r w i n m e r i t s o u r admiration. D a r w i n w a s a meliorist in t h e paternalistic t r a d i t i o n , n o t a bel i e v e r in b i o l o g i c a l l y f i x e d a n d i n e r a d i c a b l e inequality. E i t h e r attit u d e can lead to ugly statements about despised peoples, but practical c o n s e q u e n c e s a r e s o d i f f e r e n t . T h e meliorist m a y w i s h t o e l i m i n a t e c u l t u r a l practices, a n d m a y b e vicious a n d u n c o m p r o m i s i n g i n his lack o f s y m p a t h y f o r d i f f e r e n c e s , b u t h e d o e s v i e w "sava g e s " ( D a r w i n ' s w o r d ) a s " p r i m i t i v e " b y social c i r c u m s t a n c e a n d biologically c a p a b l e o f " i m p r o v e m e n t " ( r e a d " W e s t e r n i z a t i o n " ) . B u t t h e d e t e r m i n i s t r e g a r d s " p r i m i t i v e " c u l t u r e a s a reflection o f u n a l t e r a b l e b i o l o g i c a l i n f e r i o r i t y , a n d w h a t social policy m u s t t h e n follow i n a n e r a o f c o l o n i a l e x p a n s i o n : e l i m i n a t i o n , slavery, p e r m a n e n t domination? E v e n f o r his m o s t d e s p i s e d F u e g i a n s , D a r w i n u n d e r s t o o d the small intrinsic d i f f e r e n c e b e t w e e n t h e m i n their n a k e d n e s s a n d h i m in his r e g a l i a . He a t t r i b u t e d their limits to a h a r s h s u r r o u n d i n g c l i m a t e a n d h o p e d , i n his u s u a l paternalistic w a y , f o r their e v e n t u a l i m p r o v e m e n t . He w r o t e in his Beagle d i a r y f o r F e b r u a r y 24, 1 8 3 4 : T h e i r country is a broken mass of wild rocks, lofty hills and useless forests, and these are viewed through mists and endless storms. . . . How little can the higher powers of the mind c o m e into play: what is there for imagination to paint, for reason to compare, for j u d g m e n t to decide upon? To knock a limpet from the rock does not even require cunning, that lowest power of the mind. . . . A l t h o u g h essentially the same creature, how little must the
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mind of o n e of these beings resemble that of an educated man. What a scale of improvement is c o m p r e h e n d e d between the faculties of a Fuegian savage and a Sir Isaac Newton! D a r w i n ' s final line on t h e F u e g i a n s (in t h e Voyage of the Beagle) uses an i n t e r e s t i n g a n d r e v e a l i n g p h r a s e in s u m m a r y : "I b e l i e v e , in this e x t r e m e p a r t o f S o u t h A m e r i c a , m a n exists i n a l o w e r state o f i m p r o v e m e n t than in any other part of the world." Y o u may cringe a t the p a t e r n a l i s m , b u t " l o w e r state o f i m p r o v e m e n t " d o e s a t least stake a claim f o r p o t e n t i a l b r o t h e r h o o d . A n d D a r w i n d i d r e c o g n i z e t h e b e a m i n his o w n s h i p m a t e s ' eyes i n w r i t i n g o f their c o m p a r a b l e irrationalisms: Each [Fuegian] family or tribe has a wizard or conjuring doctor. . . . [Yet] I do not think that our Fuegians were much more superstitious than some of the sailors; for an old quartermaster firmly believed that the successive heavy gales, which we encountered off Cape Horn, were caused by our having the Fuegians on board. I m u s t n o t e a p r e c i o u s i r o n y a n d s u m m a r i z e (all t o o briefly) a b i z a r r e a n d w o n d e r f u l story. W e r e it n o t f o r p a t e r n a l i s m , the Beagle m i g h t n e v e r h a v e sailed, a n d D a r w i n w o u l d p r o b a b l y h a v e lost his d a t e with history. R e g r e t p a t e r n a l i s m , l a u g h a t it, c r i n g e m i g h t i l y — b u t g r a n t this m o s t salutary, i f i n d i r e c t , benefit f o r D a r w i n . C a p t a i n FitzRoy had m a d e a previous voyage to T i e r r a del Fuego. T h e r e he " a c q u i r e d , " t h r o u g h r a n s o m a n d p u r c h a s e , f o u r F u e g i a n natives, w h o m he b r o u g h t to England for a harebrained e x p e r i m e n t in the "improvement" of "savages." T h e y arrived at Plymouth in October 1 8 3 0 a n d r e m a i n e d until the Beagle set sail a g a i n in D e c e m b e r 1 8 3 1 . O n e o f t h e f o u r s o o n d i e d o f s m a l l p o x , b u t the o t h e r s lived a t W a l t h a m s t o w a n d r e c e i v e d i n s t r u c t i o n i n E n g l i s h m a n n e r s , lang u a g e , and religion. T h e y attracted widespread attention, including an official s u m m o n s f o r a visit with K i n g W i l l i a m I V . F i t z R o y , f i e r c e l y c o m m i t t e d t o his paternalistic e x p e r i m e n t , p l a n n e d t h e n e x t Beagle v o y a g e p r i m a r i l y to r e t u r n the t h r e e F u e g i a n s , a l o n g w i t h an E n g l i s h m i s s i o n a r y a n d a l a r g e c a r g o o f totally i n c o n g r u o u s a n d useless g o o d s ( i n c l u d i n g tea trays a n d sets o f fine c h i n a ) d o n a t e d , w i t h t h e w o r l d ' s best will a n d d e e p e s t naivete, b y w o m e n o f the p a r i s h . T h e r e o n t h e tip o f S o u t h A m e r i c a , F i t z R o y p l a n n e d t o establish a mission to b e g i n the g r e a t task of i m p r o v e m e n t f o r the e a r t h ' s m o s t lowly c r e a t u r e s .
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F i t z R o y w o u l d h a v e c h a r t e r e d a b o a t at his o w n e x p e n s e to r e t u r n Y o r k M i n s t e r , J e m m y B u t t o n , a n d F u e g i a B a s k e t t o their h o m e s . (Fitzroy's n a m e s f o r his c h a r g e s also r e e k with paternalistic d e r i s i o n . H o w w o u l d y o u like t o b e n a m e d C h r y s l e r B u i l d i n g — t h e s e c u l a r m o d e r n A m e r i c a n c o u n t e r p a r t t o Y o r k Minster?) B u t t h e A d m i r a l t y , p r e s s u r e d b y FitzRoy's p o w e r f u l relatives, f i n a l l y outfitted t h e Beagle a n d sent F i t z R o y f o r t h a g a i n , this t i m e with D a r w i n ' s c o m p a n y . D a r w i n l i k e d t h e t h r e e F u e g i a n s , a n d his l o n g c o n t a c t i n close q u a r t e r s h e l p e d to c o n v i n c e h i m that all p e o p l e s h a r e a c o m m o n b i o l o g y , w h a t e v e r their c u l t u r a l disparity. L a t e i n life, h e recalled in the Descent of Man ( 1 8 7 1 ) : T h e American aborigines, Negroes and Europeans differ as much from each other in mind as any three races that can be named; yet I was incessantly struck, whilst living with the Fuegians on board the "Beagle," with the many little traits of character, showing how similar their minds were to ours. F i t z R o y ' s n o b l e e x p e r i m e n t e n d e d i n p r e d i c t a b l e disaster. T h e y d o c k e d n e a r J e m m y B u t t o n ' s h o m e , built h u t s f o r a mission station, planted E u r o p e a n vegetables, and landed Mr. Matthews, avatar of C h r i s t a m o n g the h e a t h e n , a l o n g w i t h t h e t h r e e F u e g i a n s . M a t t h e w s lasted a b o u t t w o w e e k s . His c h i n a s m a s h e d , his v e g e t a b l e s t r a m p l e d , F i t z R o y o r d e r e d h i m b a c k to t h e Beagle a n d e v e n t u a l l y left h i m in N e w Z e a l a n d w i t h his m i s s i o n a r y b r o t h e r . F i t z R o y r e t u r n e d a y e a r a n d a m o n t h later. H e m e t J e m m y B u t t o n , w h o told h i m that Y o r k a n d F u e g i a h a d r o b b e d h i m o f all his clothes a n d tools, a n d left b y c a n o e f o r their o w n n e a r b y r e g i o n . J e m m y , m e a n w h i l e , h a d " r e v e r t e d " c o m p l e t e l y t o his f o r m e r m o d e o f life, t h o u g h h e r e m e m b e r e d s o m e E n g l i s h , e x p r e s s e d m u c h gratit u d e t o F i t z R o y , a n d a s k e d t h e c a p t a i n t o take s o m e p r e s e n t s t o his special f r i e n d s — " a b o w a n d q u i v e r full o f a r r o w s t o t h e s c h o o l m a s ter of W a l t h a m s t o w . . . a n d t w o s p e a r h e a d s m a d e e x p r e s s l y f o r M r . D a r w i n . " I n a r e m a r k a b l e e x a m p l e o f stiff u p p e r lip i n t h e face o f a d v e r s i t y , F i t z R o y p u t the best possible spin u p o n a p e r s o n a l disaster. H e w r o t e i n c o n c l u s i o n : Perhaps a ship-wrecked seaman may hereafter receive help and kind treatment from J e m m y Button's children; prompted, as they can hardly fail to be, by the traditions they will have heard of m e n of other lands; and by an idea, however faint, of their duty to God as well as their neighbor.
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B u t the s t r o n g e s t a r g u m e n t f o r a d m i r i n g D a r w i n lies n o t i n the relatively b e n e f i c e n t c h a r a c t e r o f his belief, b u t i n his c h o s e n f o r m o f action u p o n t h e s e c o n v i c t i o n s . W e c a n n o t u s e a m o d e r n political classification a s t e r m i n i o f a n o l d s p e c t r u m . T h e e g a l i t a r i a n e n d d i d n o t exist f o r t h e p o l i c y m a k e r s o f D a r w i n ' s d a y . A l l w e r e racists b y m o d e r n s t a n d a r d s . O n that s p e c t r u m , those w e n o w j u d g e m o s t h a r s h l y u r g e d that i n f e r i o r i t y b e u s e d a s a n e x c u s e f o r dispossession a n d slavery, w h i l e t h o s e w e m o s t a d m i r e i n r e t r o s p e c t u r g e d a m o r a l p r i n c i p l e o f e q u a l r i g h t s a n d n o n e x p l o i t a t i o n , w h a t e v e r t h e biological status o f p e o p l e . D a r w i n h e l d this s e c o n d position a l o n g with the two A m e r i c a n s best r e g a r d e d b y later history: T h o m a s J e f f e r s o n a n d D a r w i n ' s soulm a t e (for t h e y s h a r e d t h e s a m e b i r t h d a t e ) A b r a h a m L i n c o l n . J e f f e r s o n , t h o u g h e x p r e s s i n g h i m s e l f tentatively, w r o t e : " I a d v a n c e it, t h e r e f o r e , as a s u s p i c i o n o n l y , that t h e blacks . . . a r e i n f e r i o r to the whites i n t h e e n d o w m e n t b o t h o f b o d y a n d o f m i n d . " B u t h e w i s h e d n o policy o f f o r c e d social inequality t o flow f r o m this s u s p i c i o n : " W h a t e v e r b e their d e g r e e o f talents, i t i s n o m e a s u r e o f their r i g h t s . " A s f o r L i n c o l n , m a n y s o u r c e s h a v e collected his c h i l l i n g (and f r e q u e n t ) s t a t e m e n t s a b o u t black inferiority. Y e t h e i s n a t i o n a l h e r o n u m e r o u n o f o r his s e p a r a t i o n o f b i o l o g i c a l a s s e s s m e n t f r o m j u d g m e n t s a b o u t m o r a l issues a n d social policies. D a r w i n , t o o , w a s a f e r v e n t a n d active abolitionist. S o m e o f the m o s t m o v i n g p a s s a g e s e v e r w r i t t e n against t h e slave t r a d e o c c u r i n t h e last c h a p t e r of the Voyage of the Beagle. D a r w i n ' s s h i p , a f t e r calling at Tahiti, N e w Zealand, Australia, and South Africa (where FitzRoy a n d D a r w i n s u b m i t t e d their bit o f j u v e n i l i a t o a local p a p e r ) , s t o p p e d f o r a last visit in B r a z i l , b e f o r e setting a straight c o u r s e to E n g l a n d . Darwin wrote: On the 19th of August we finally left the shores of Brazil. I thank God I shall never again visit a slave-country. . . . Near Rio de Janeiro I lived opposite to an old lady, w h o kept screws to crush the fingers of her female slaves. I have stayed in a house where a y o u n g household mulatto, daily and hourly, was reviled, beaten, and persecuted e n o u g h to break the spirit of the lowest animal. I have seen a little boy, six or seven years old, struck thrice with a horse-whip (before I could interfere) on his naked head, for having handed me a glass of water not quite clean. . . . I was present when a kind-hearted man was on the point of separating forever the m e n , w o m e n , and little children of a large n u m b e r of families who had long lived together.
T H R E E
C E N T U R I E S '
P E R S P E C T I V E S
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I n the n e x t line, D a r w i n m o v e s f r o m d e s c r i p t i o n t o r e f u t a t i o n a n d a plea f o r a c t i o n : I will not even allude to the many heart-sickening atrocities which I authentically heard of;—n or would I have mentioned the above revolting details, had I not met with several people so blinded by the constitutional gaiety of the negro as to speak of slavery as a tolerable evil. R e f u t i n g t h e s t a n d a r d a r g u m e n t f o r b e n e v o l e n t t r e a t m e n t with a telling a n a l o g y f r o m his o w n l a n d , D a r w i n c o n t i n u e s : It is argued that self-interest will prevent excessive cruelty; as if self-interest protected our domestic animals, which are far less likely than d e g r a d e d slaves to stir up the rage of their savage masters. T h o u g h I h a v e r e a d t h e m a h u n d r e d t i m e s , I still c a n n o t e n c o u n ter D a r w i n ' s c l o s i n g lines w i t h o u t e x p e r i e n c i n g a spinal s h i v e r f o r t h e p o w e r o f his p r o s e — a n d w i t h o u t f e e l i n g g r e a t p r i d e i n h a v i n g a n intellectual h e r o w i t h s u c h a d m i r a b l e h u m a n qualities a s well (the two d o n ' t m e s h v e r y o f t e n ) : T h o s e who look tenderly at the slave owner and with a cold heart at the slave, never seem to put themselves into the position of the latter; what a cheerless prospect, with not even a h o p e of change! Picture to yourself the chance, ever hanging over you, of your wife and your little children—those objects which nature urges even the slave to call his own—-being torn from you and sold like beasts to the first bidder! A n d these deeds are d o n e and palliated by m e n , w h o profess to love their neighbors as themselves, who believe in God, and pray that his Will be d o n e on earth! It makes one's blood boil, yet heart tremble, to think that we Englishmen and our American descendants, with their boastful cry of liberty, have been and are so guilty. T h u s , if we must c o n v e n e a court m o r e than 150 years after the e v e n t — a r a t h e r foolish n o t i o n i n a n y case, t h o u g h w e s e e m d r i v e n t o s u c h a n a c h r o n i s m — I t h i n k that D a r w i n will pass t h r o u g h t h e p e a r l y g a t e s , w i t h p e r h a p s a s h o r t stay in p u r g a t o r y to think a b o u t p a t e r n a l i s m . W h a t t h e n i s t h e a n t i d o t e t o p a t e r n a l i s m a n d its m o d e r n v e r s i o n s o f insufficient a p p r e c i a t i o n f o r h u m a n d i f f e r e n c e s ( c o m b i n e d w i t h t o o easy a n e q u a t i o n o f o n e ' s o w n p a r t i c u l a r a n d l a r g e l y a c c i d e n t a l w a y with u n i v e r s a l r i g h t e o u s n e s s ) ? W h a t else b u t the direct a n d sympathetic study of cultural diversity—the world's m o s t f a s c i n a t i n g subject in a n y case, w h a t e v e r its virtues in m o r a l education. T h i s is the genuine theme behind o u r valuable m o d e r n
