Ethnicity: Theory and Experience

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

Author: Nathan Glazer | Daniel Patrick Moynihan

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Ethnicity

Theory and Experience

Ethnicity

T h e o r y and Experience

Edited by Nathan Glazer and Daniel P.

Moynihan

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

Harvard

University Press

Cambridge, Massachusetts, and London,

England

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

printing,

1981

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

(

Acknowledgments

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

A

VI

cknowledgments

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

4

Contents

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

1

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

29

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

LCOTT

PARSO

N

S

5S

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

84

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

11I

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

14 1

V111

Contents

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

177

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

209

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

236

9 Ethnic Pluralism in Canadian Perspective J O H N PORTER

267

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

305

350

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

391

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

420

Contents

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

453

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

466

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

489

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

513

Index

5H

Ethnicity

Theory and Experience

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

Introduction

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

2

Nathan

Glazer

and

Daniel

P.

Moynihan

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

Introduction

3

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

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

4

Nathan

(Chicago, Aldine,

1968)

Glazer

does

and

Daniel

P.

Moynihan

not contain an entry

for "ethnic

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

Introduction

5

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

the universe,

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

better.

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

Beyond the Melting Pol,

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

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

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

civil

"minority" ethnic gioups,

lights,

political power,

Haven't there alzuays been such conflicts?

based on

access to

demands for pres-

economic

opportunity?

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

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

recording

the

rise

and

extent

of

what

he

calls

"ethnona-

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

6

Nathan

Glazer

and

Daniel

P.

Moynihan

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

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

Introduction

7

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

8

Nathan

Glazer

and

Daniel

P.

Moynihan

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

4

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

9

Introduction

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

his

parliament

that

"Muslims,

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

Christians

and

proper share" of

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

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

5

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

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

Press

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

10

Nathan

Glazer

and

Daniel

P.

Moynihan

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

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

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

Introduction

11

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

Nathan

12

Glazer

and

Daniel

P.

Moynihan

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

6

D a h r e n d o r f accounts

for individual

inequality

in

these

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

society

establishes

norms—socially

established

values—

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

thinking of characteristics that can be de-

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

and

what

is

bad,

individuals—and,

we

now

add,

ethnic

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

13

Introduction

sons

holding

sociologically

random

moral

convictions,

but

also

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

English, and

persist long after.

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

that

Delaware

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

to

mass

European

migration

to the Western

Hemi-

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

peoples thrown together quite

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

14

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

Such

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

Introduction

15

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

16

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P.

Moynihan

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

17

Introduction

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

with

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

consequent

different

levels

of

success—hence

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

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

possibly

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

Has

More

Minority

Nationality

Communist

Party

Members—More

than

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

18

Nathan

Glazer

and

Daniel

P.

Moynihan

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

3.

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

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

Introduction

19

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

20

Nathan

Glazer

and

immediate circumstances to explain

Daniel

why

P.

Moynihan

groups

maintain

their

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

States—Latin

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

had emigrated from colonies,

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

in everybody

ready to be evoked.

We do

not

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

novels:

that

must

be

discovered

lest

some

nameless

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

new

intensity

of ethnic

identification

among

a

number

of

Introduction

2I

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

rights"

movement in

Northern

Ireland,

"black

panthers"

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

Nathan

22

Glazer

and

Daniel

P.

Moynihan

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

France—came

from

former colonies

under

special

arrange-

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

Introduction

23

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

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

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

European

states

through

immigration

may

be

slowing

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

p e r i o d of mass

immigration

is

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

one

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

alone to

among

accept

the

large

major numbers

nations,

the

United

of permanent

States

immigrants.

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

from

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

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

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

per-

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

24

Nathan

Glazer

and

Daniel

P.

Moynihan

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

Introduction

25

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

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

26 limited

Nathan

categories

of race,

Glazer

and

nationality,

Daniel

and

P.

Moynihan

minority

group;

that

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

of theoretical

approaches

(though

scarcely

all

that could

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

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

/

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

1 H A R O L D R . ISAACS

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

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

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

full-feature

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

This

is t h e

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

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

)

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

Basic G r o u p Identity

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1 ;

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•

:

31

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

past,"

plus

whatever else—we

still a r g u e

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

2

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

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

Basic G r o u p

Identity

33

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

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

Basic G r o u p

Identity

35

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

Harold

36

R.

Isaacs

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

out

of

negative

group

identities

successfully

imposed

by

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

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Identity

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

growing

taller because

of changes

in

diet.

Some

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

physical identification with o n e

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

or

laxed,

skin

can

be

bleached

(up

to

a

point),

breasts

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

existence

in

all

the

other-worlds

that

have

been

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

3

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

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

38

Harold

R.

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

4

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

5

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

6

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

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39

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

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

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

9

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

Basic G r o u p

groups.

41

Identity

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

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

European,

blonde-brunette.

In

many

other

cases,

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

automatic

identification

downward

into

the

lower

status

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

a

Negro

under

the

laws

and customs

of white-supremacy

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

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

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

42

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

Basic G r o u p

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43

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

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

44

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

45

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

is

1 1

some

of the

underpinning

of "love

of

country"—

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

in

their redefinition

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what they are.

Martin

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

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

1 3

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

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

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1 5

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

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

1 8

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

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

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

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

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

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

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

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

Basic G r o u p

Identity

51

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

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

52

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R.

Isaacs

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

2 T A L C O T T PARSONS

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

1

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

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

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

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

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

•

54

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

3

If we take, however, the popula-

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

4

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

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

and in the more

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

Edward

E.

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

(New

1965).

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

Harvard

University

Press,

1932-1940).

Also, James

Hastings, ed.,

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

Change

of Ethnicity

55

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

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

56

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

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

C h a n g e of Ethnicity

57

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

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

1963).

58

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

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

Change

59

of Ethnicity

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

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

1 2

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

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

may be called dispositional or motivational

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

1 3

T h e equiva-

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

A second

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

past which

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

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

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

61


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

actions

of contemporaries cannot be

escaped

by

future

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

1 4

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

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

for their welfare a n d

proper "bringing up."

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

Talcotl

62

Parsons

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

1 6

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

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

1 7

Such differentiation has clearly

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

tenth

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

study

entitled

The

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

1 8

Fi-

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

1 9

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

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

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

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65

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

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

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

7

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

Cf.

Nathan Glazer and

D a n i e l P.

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

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

Talcott

68

Parsons

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

ago,

the

fact t h a t s u c h

a

large

proportion

of unionized

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

2 2

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

would

b e called

radicalism

and

conservatism.

There

are

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

Fundamentalist

groups,

but

the

militant

right-wing Jewish

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

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

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

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

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

1973).

Change

69

of Ethnicity

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

elements into structures

which are

less

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

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

social

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

Talcott

70

it would be h e r occupational role.

Parsons

For certain subcategories of

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

Change

of Ethnicity

71

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

2 3

RECENT DEVELOPMENTS IN THE SITUATION OF AMERICAN

BLACKS

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

2 4

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

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

namely,

the

adoption

of the

term

"black"

in

place of

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

but

pretty

consistently

throughout

the

discussion

and

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

2 5

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

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

Bell. "Meritocracy a n d

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

n o . 29 (Fall

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

94.4

(Fall

1 9 6 5 ) ; Daedalus 9 5 . 1

(Winter

1966); and Parsons and

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

Talcott

72

Parsons

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

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

At

a Daedalus

conference subsequent

to

the

Xegro

American

enterprise,

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

of what

have

usually

been

called

"Afro-American

programs

of

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

2

(Spring

1967), and

H o u g h t o n Mifflin,

1968).

in J o h n

Hope

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

(Boston,

Change

of Ethnicity

73

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

2 8

2 9

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

Alexander

H.

Leighton,

The

Governing of Men:

General Principles and

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

I). P .

1945).

Moynihan in "Transcript of the American Academy

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

14-15,

1 9 6 5 , " Daedalus 9 5 . 1

Conference on

(Winter 1966), 343.

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

Hope

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

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

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

polemical targets is the paper "Color, Racism and

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

Talcott

74

Parsons

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

30.

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

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

1

Change

of Ethnicity

75

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

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

The

designation

of

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

Negroes

or

blacks

as

an

ethnic

group

Kinship.

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

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

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

Talcott

76

Parsons

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

3 3

Quite apart from

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

3 4

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

has chosen to

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

person,

notably a father, was a biological

p a r e n t of a

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

identity

through

the

phenomenon

known

as

"passing."

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

3 5

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

3 6

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

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

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

1964).

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

namely, the "passing" of whites as

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

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


77

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

3 7

This has not, however, prevented a

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

preventing them

from

having the opportunity

for such

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

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

that

it can

now

be said that

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

3 8

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

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

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

Afro-Asian

Intellectual,"

i n Daedalus

96.2

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

(Spring

1967),

279-295;

this

article

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

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

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

B e n J. Wattenberg ana

(August

1973), 4 - 2 2 .

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

Black Prog-

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

56.2

Talcott

80

Parsons

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

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

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

Sons, 1964).

Change

of Ethnicity

81

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

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

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

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

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

S o m e of the participants

chose to

speak or sing

in

French;

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

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

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

See

Ben-

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

of John

Marangue."

Cambridge, Mass., June 1973.

Unpublished

doctoral

thesis,

Harvard

University,

Talcott

82

Parsons

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

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

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

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

1971).


83

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

3 M I L T O N M. GORDON

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

In Assimilation in American Life,

p u b l i s h e d in

1964,

1

I presented a

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

distinguished

cultural,

structural,

seven marital,

assimilation

dimensions

identificational,

or variables:

attitude

receptional

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

indefinitely;

and

(3)

that

if structural

assimilation occurs

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

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

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

See

my

"Social

Structure

and

Goals

in

Group

Relations,"

in

Morroe

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

1961), 2 6 3 - 2 8 5 .

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

tional

American

ideologies of "Anglo-conformity,"

85

the "melting

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

(although

not complete

nor

uniform)

acculturation

to

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

new subsociety a p p e a r e d

to be

forming which

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

2

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

and

the

formulation

of more

general

theories

o f in-

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

3

T h e domestic events referred to above center partic-

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

Daniel

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

(Cam-

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

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

1 9 6 7 ) ; H. M.

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

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

1967); R. A. Scher-

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

1970).

Milton

86

M.

Gordon

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

f*

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

of particular outcomes in

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

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

4

We may, then, speak of

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

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

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

87

Ethnic G r o u p Relations

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

t o d e a l effectively w i t h

poverty and

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

because

of generations

of past discrimination, on

sub-

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

from

hostile while..

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

in

1954, 01

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

Milton

88

M.

Gordon

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

6

5. L e w i s

M.

Killian,

The

Impossible

Revolution?

(New

York.

Random

House.

1968). 6.

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

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

T h e o r y of

Racial a n d

Ethnic G r o u p Relations

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

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

each other, advanced

hypotheses about the interrelationships of these subtypes

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

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

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

It did,

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

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

merhorn.

Comparative

Ethnic

Relations.

90

Milton

M.

Gordon

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

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

91

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

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

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

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

Milton

92

M.

Gordon

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

This process

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

of

ethnocentrism,

and

perhaps

even

more

crucially

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

to

of a

magnitude

the

individual.

comparable 9

to

those

In other words,

man

engendered

by

defending the

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

man's thinking about h u m a n

behavior, and,

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

1 0

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

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

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

H.

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

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

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

93

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

speak

of

a

biologically

programmed

"behavioral

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

.

.

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

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

1 1

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

Lenski

in Power and Privilege:

A

Theory

of Social Stratifi

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

12

O n e o f these postu-

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

1 3

h i m s e l f o r his

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

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

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

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

N e w York, McGraw-Hill,

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

1966. reads as

follows:

"Thus,

when

one

surveys the

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

interests

former—though

and often

the

interests

seeking to

of others,

hide

this

fact

they

nearly

from

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

always

themselves

choose and

the

others."

Milton

94

M.

Gordon

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

1 5

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

Tausky,

1970). 15.

I b i d . , p. \ iii.

Work

Organizations

(Itasca.

111.,

F.

E.

Peacock

Publishers,

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

95

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

roots

in

Freudian

psychology,

consider

aggression

among

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

related

to

6

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

frustration-aggression

theory

mentioned

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

this

love

t h r o u g h which

o f self,

is

the

human

psychological

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

process

In infancy, child

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

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

is injured,

a n d aggression

appears."

17

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

16. Man's Aggression: 17.

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

1973).

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

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

96

Milton

M.

Gordon

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

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

ent,

within

the

Afro-American

a c o m p l e x conflict d y subsystem

and

between

blacks a n d whites. A m o n g b l a c k s t h e r e i s a v a r i a b l e view o f t h e i n f e r i o r e t h n i c characterization.

II y

a

negre

el

negre:

s o m e blacks have a qualified

self-doubt about their ethnicity a n d are thus capable of i n f o r m i n g t h e m o v e m e n t o f black e t h n o c e n t r i c revitalization/with m o r e t h a n identity-fulfilling p u r p o s e s or goals—especially with p o w e r - m u s t e r i n g g o a l s . O t h e r b l a c k s ( t h e vast m a j o r i t y ) i n f e c t e d w i t h s e l f - d o u b t seek

through

the

movement

of e t h n o c e n t r i c revitalization

thor-

o u g h g o i n g identity-re-formation, catharsis, and therapeutic benefits. T h i s situation shapes the major cleavages that have characteri z e d n e o - e t h n i c i t y i n A m e r i c a n p o l i t i c a l life i n t h e p a s t d e c a d e . A m o n g blacks it has p r o d u c e d a m o d e r a t e - m i l i t a n t cleavage w h i c h , i n t u r n , h a s h a d a s i g n i f i c a n t i m p a c t u p o n t h e political c h a r a c t e r istics o f w h i t e n e o - e t h n i c i t y . T h e militants i n t h e black e t h n o c e n t r i c m o v e m e n t t e n d t o influence those aspects of the m o v e m e n t that a r e readilv perceived by t h e w h i t e m a j o r i t y — p a r t i c u l a r l y its a n t i - w h i t e a t t r i b u t e s . T h e militants d e t e r m i n e , therefore, the n a t u r e of the black-white polarizat i o n t h a t h a s a c c o m p a n i e d t h e r i s e o f b l a c k n e o - e t h n i c i t y . T h e formation

of a

white

neo-ethnicity

thus

acquires

a

rationale

for

militancy (largely a n t i - N e g r o ) t h a t m i g h t o t h e r w i s e be h a r d e r to d e v e l o p . T h r o u g h o u t t h e 1950s a n d early 1960s t h e traditional fervor of white anti-Negro attitudes h a d attenuated somewhat, even t h o u g h a r e s t r a i n e d f o r m of black assertion h a d a p p e a r e d u n d e r 1.

For the classic s t u d y of t h e N e g r o ' s n e g a t i v e or inferior characterization of

black ethnicity, see K e n n e t h Press, 1955).

B . C l a r k , Prejudice and Your Child ( B o s t o n , B e a c o n

'

Martin

238

Kilson

Dr. Martin L u t h e r King's l e a d e r s h i p from the late 1950s to the m i d d l e 1 9 6 0 s . B u t f r o m 1 9 6 6 o n w a r d w i t h t h e rise o f a fullfledged anti-white m o v e m e n t of black e t h n o c e n t r i c revitalizatibn, militant a n d violent, the f o r m a t i o n of a militant white neo-ethnicity, a n t i - N e g r o i n o u t l o o k , b e c a m e p o s s i b l e , j 2

T h e m o d e r a t e section o f the black m o v e m e n t — c o m p r i s i n g some established bourgeois blacks, a l o n g with t h e e n t r e p r e n e u r i a l a n d political s e c t o r s o f t h e n e w c o m e r s t o t h e b l a c k e l i t e s — c o u l d n o t prevail over the militants in the years following the m u r d e r of Dr. K i n g b y a w h i t e assassin. O r r a t h e r t h e r e w a s a s i g n i f i c a n t l e a d - t i m e before the m o d e r a t e section could redefine t h e b e h a v i o r of the r e v i t a l i z a t i o n m o v e m e n t a l o n g political ( u n i v e r s a l i s t i c ) r a t h e r t h a n p u r e l y e t h n o c e n t r i c (particularistic) lines. T h i s redefinition asserted its p r e s e n c e i n 1 9 7 0 a n d i s c u r r e n t l y a s c e n d a n t . Paradoxically, at the point w h e r e t h e black e t h n o c e n t r i c movem e n t is j n j r a n s i t i o n to_a_pj3litical_rather t h a n m a i n l y p a r t i c u l a r i s t i c m o v e m e n t , w h i t e n e o - e t h n i c i t y i s a c q u i r i n g its o w n p a r t i c u l a r i s t i c (ritualistic a n t i - b l a c k ) a t t r i b u t e s . E q u a l l y i r o n i c , w h e r e a s t h e f e d e r a l government u n d e r the Kennedy-Johnson administrations aided t h e t r a n s f o r m a t i o n o f b l a c k n e o - e t h n i c i t y f r o m a ritualistically a n t i w h i t e m o v e m e n t t o a political m o v e m e n t ( o r p u t a n o t h e r way, aided the ascendance of the m o d e r a t e s over the militants in the black m o v e m e n t ) , the federal g o v e r n m e n t u n d e r Richard N i x o n has played a different role with r e g a r d to white neo-ethnicity, s h a r p e n i n g its p a r t i c u l a r i s t i c a t t r i b u t e s vis-a-vis b l a c k s . I n d e e d , n o s m a l l p a r t o f t h e n e o - c o n s e r v a t i v e political r e a l i g n m e n t w h i c h h a s p r o v i d e d s u p p o r t f o r t h e R e p u b l i c a n a d m i n i s t r a t i o n s since 1968 w a s p r o d u c e d i n this f a s h i o n . 3

N A T I O N A L POLITICS AND BLACK E T H N I C I T Y R i c h a r d N i x o n ' s e l e c t i o n i n 1 9 6 8 p r e p a r e d t h e w a y for a f u n d a m e n t a l redefinition of t h e relationship of national institutions—especially the federal g o v e r n m e n t — t o the m o v e m e n t of 2. See (Winter

Paul

B.

Sheatsley, "White Attitudes toward the

N e g r o , " Daedalus

95

1966), 2 1 7 - 2 3 2 .

3 . Cf. G a r y J a c o b s o n , " R a c e b y A n y O t h e r N a m e . " Social Policy ( J u l y - A u g u s t 1973), 3 6 - 4 1 .

Blacks a n d Neo-Ethnicity in A m e r i c a

239

black e t h n o c e n t r i c revitalization. U n d e r t h e K e n n e d y - J o h n s o n a d m i n i s t r a t i o n s t h e f e d e r a l g o v e r n m e n t w a s s y m p a t h e t i c t o t h e political g o a l s o f t h e m o v e m e n t a s d e f i n e d b y its m o d e r a t e s e c t o r . T h e appointment of Dr. Robert Weaver, a Negro, to President J o h n son's cabinet, the a p p o i n t m e n t by L y n d o n J o h n s o n of T h u r g o o d Marshall, a N e g r o , to the S u p r e m e Court, the Economic O p p o r t u nity A c t o f 1 9 6 4 , t h e Civil R i g h t s A c t o f 1 9 6 4 , a n d t h e V o t i n g R i g h t s A c t o f 1 9 6 5 all a d d e d u p t o a n u n p r e c e d e n t e d a l i g n m e n t o f n a t i o n a l political p r o c e s s e s w i t h t h e n e e d s — s y m b o l i c a s well a s s u b stantive—of Afro-Americans. Within two years of the 1968 election, t h e N i x o n a d m i n i s t r a t i o n began a fundamental redefinition of the relationship between the federal g o v e r n m e n t a n d N e g r o e s . T h e W a r o n P o v e r t y was t r e a t e d a s a c a r r y - o v e r f r o m t h e K e n n e d y - J o h n s o n e r a , n o t a s a policy o f intrinsic value.

4

I t w a s killed o u t r i g h t a f t e r t h e 1 9 7 2 e l e c t i o n . T h e

N i x o n a d m i n i s t r a t i o n f o r m u l a t e d policies w h i c h attacked violence a n d r i o t s a s s u c h , r e g a r d l e s s o f t h e i r social c a u s e s a n d t h e i r r o o t s i n t h e racist p a t t e r n s o f b l a c k - w h i t e r e l a t i o n s h i p s . I t l a u n c h e d , i n fact, a veritable anti-crime c r u s a d e . However, o n e u n i n t e n d e d result of this was a modification of white A m e r i c a n s '

perceptions of the

b l a c k s ' political g o a l s i n c u l t u r a l t e r m s . T h u s i n t h e e y e s o f m i l l i o n s o f w h i t e s — p e r h a p s a m a j o r i t y — s u c h g o a l s o f b l a c k m i l i t a n t s a s cessation of police brutality, c o m m u n i t y c o n t r o l of police, prison r e form, e x p a n d e d welfare coverage, g o v e r n m e n t responsibility for reducing Negro unemplovment, and so on, were no longer to be t r e a t e d a s l e g i t i m a t e p o l i t i c a l issues d e s e r v i n g a c t i o n b y political decision makers. Instead, these goals b e c a m e in s o m e sense intrinsically

Negro

goals,

hence

un-American. T h r o u g h

t h e m millions o f

N e g r o e s s o u g h t t o c o n t i n u e a life o f c r i m e , a v o i d a p p r e h e n s i o n b y officers o f t h e law, f r e e l o a d o n w e l f a r e a g e n c i e s , a n d e v a d e h o n e s t labor—or, in Nixon's t e r m , shirk responsibility to the "work ethic." T h u s t h r o u g h a process that might b e called

ethnicization

o f racial

perceptions the Nixon administration has helped attach to Afro4.

An e x c e p t i o n to this was P r e s i d e n t N i x o n ' s a b o r t i v e p r o g r a m for a g u a r a n -

t e e d i n c o m e , c o n c e i v e d by a liberal presidential a d v i s e r , D a n i e l P. M o y n i h a n . S e e Daniel 1973).

P.

M o y n i h a n , The Politics of a Guaranteed Income

( N e w York, Basic Books,

Martin

240

Kilson

Americans a variant of an ethnic label—albeit negative in charact e r . B u t t h i s d i d n o t significantly m o d i f y w h i t e p e r c e p t i o n s f o r few whites a c c o r d N e g r o e s those positive societal a n d cultural attributes a s s o c i a t e d w i t h t h e t e r m " e t h n i c g r o u p s " — a t t r i b u t e s that attract historical celebration in time, ancestry, and heritage. I t will r e q u i r e t h e g r o w i n g political influence o f t h e m o v e m e n t o f black e t h n o c e n t r i c renascence, aided by Democratic administrations, before whites jgrudgingly accord blacks the cultural r e g a r d given an "ethnic group."

LEGITIMATION OF ETHNICITY T h e p o w e r - m u s t e r i n g dimension of ethnicity a p p e a r s to e n d o w it w i t h l e g i t i m a c y i n A m e r i c a n life. S o c i a l g r o u p l e g i t i m a t i o n i n A m e r i c a n s o c i e t y — e s p e c i a l l y f o r n o n - W A S P social g r o u p s — i s inc o m p l e t e until the ethnic d i m e n s i o n s have realized, t h r o u g h whatever mechanisms, their.ôwerj-jâtingTcapaMity. Negroes, Ameri c a n I n d i a n s , a n d S p a n i s h - s p e a k i n g g r o u p s a r e t h e last sizable e t h n i c g r o u p s t o u n d e r g o this t r a n s i t i o n t o l e g i t i m a c y . W h a t has d e p r i v e d A f r o - A m e r i c a n s of this essential a t t r i b u t e of v i a b l e social s t a t u s i n A m e r i c a n life h a s b e e n t h e a u t h o r i t a r i a n r e strictions u p o n political p a r t i c i p a t i o n . F o r a s R o b e r t M e r t o n has t a u g h t u s , e f f e c t i v e political p a r t i c i p a t i o n — e s p e c i a l l y t h r o u g h city political m a c h i n e s , that special f o r m o f political o r g a n i z a t i o n — p r o v i d e s A m e r i c a n social g r o u p s b o t h m a n i f e s t a n d l a t e n t f u n c t i o n s . T h e l a t e n t f u n c t i o n s o f p o l i t i c a l m a c h i n e s a r e , i n fact, o f m o r e salience to the l o n g - r u n institutionalization of ethnic g r o u p s t h a n t h e m a n i f e s t functions such as political i n f o r m a t i o n a n d vot5

5.

T h e d y n a m i c s o f a n t i - N e g r o a u t h o r i t a r i a n i s m i n A m e r i c a n politics, both o u t -

side a n d within the S o u t h , h a s yet t o r e c e i v e a d e q u a t e a t t e n t i o n f r o m social scientists. Parties a n d p o l i c e s y s t e m s h a v e b e e n t h e m a i n i n s t r u m e n t s o f this a u t h o r i tarianism. S o m e material on the role of police systems is f o u n d in G u n n a r Myrdal, A n American Dilemma Westley,

(New

Violence and

York,

Harper,

the Police: A

( C a m b r i d g e , M I T Press,

1 9 4 4 ) , a n d especially in William

Sociological Study

of Law,

Custom,

A.

and Morality

1970), which has excellent data on the Gary, Indiana,

police system's a n t i - N e g r o behavior in the

1930s and

1 9 4 0 s . T h e classic s t u d y o f

the constraints of the lily-white party system of the S o u t h on N e g r o participation, t h o u g h f a r f r o m a d e q u a t e , is V. O. K e y , Southern Politics in Stale and Nation ( N e w York, Knopf,

1949).


241

6

i n g . T h e Irish. J e w s , Poles, Italians, a n d o t h e r s realized b o t h the substantive a n d symbolic m e a n s of l e g i t i m a t i o n by u s i n g political m a c h i n e s t o politicize ethnicity. N o small p a r t o f t h e political strate g i e s o f t h e s e social g r o u p s i n A m e r i c a n cities i n t h e e r a 1 8 7 0 s t o 1940s was d i r e c t e d to this p u r p o s e . 7

T h e weak opposition from the Protestant majority is f u n d a m e n tal t o t h e l e g i t i m a t i o n o f e t h n i c i t y . I t a l l o w s social g r o u p s w h o m Protestants perceive as highly alien to gain s o m e attributes of p o w e r t h r o u g h w h a t m i g h t b e called e t h n i c r e n o v a t i o n . W h y the relatively w e a k P r o t e s t a n t o p p o s i t i o n ? First, for m u c h of t h e Protestant leadership—especially on the East Coast—the greater timed e p t h a n d t h u s , i f y o u will, t h e d e e p e r social h e r i t a g e o f P r o t e s tants e n a b l e s t h e m to e n t e r t a i n f e w e r status anxieties. B u t this h a r d l y applies t o t h e vast majority o f P r o t e s t a n t s . T h e s u b - e t h n i c diversity o f the P r o t e s t a n t g r o u p — o n the surface u n i m p o r t a n t b u t actually p r o f o u n d (for e x a m p l e , f u n d a m e n t a l i s t Christian versus cosmopolitan Christian, Southern WASPs versus Northern, and so o n ) — r e s t r i c t s t h e P r o t e s t a n t c a p a c i t y f o r a u n i f i e d political r e sponse. T h i s , a m o n g o t h e r things, explains t h e failure o f the major national effort by Protestants to c u r b the legitimation of ethnicity by a l i e n social g r o u p s — t h e P r o h i b i t i o n m o v e m e n t i n t h e 1 9 2 0 s . 8

B u t w h e n t h e a l i e n social g r o u p s p u s h t o o h a r d a n d fast in legiti m a t i n g e t h n i c i t y t h r o u g h political m a c h i n e s — a s t h e y d i d m o s t n o tably with t h e n o m i n a t i o n of an Irish C a t h o l i c p r e s i d e n t i a l cand i d a t e for t h e D e m o c r a t i c p a r t y in 1 9 2 8 — t h e P r o t e s t a n t majority s u r m o u n t s its s u b - e t h n i c d i v i s i o n s . I n 1 9 2 8 i t s q u a s h e d t h e b i d b y t h e " a l i e n " social g r o u p s f o r t h e full c o m p l e m e n t , s u b s t a n t i v e l y a n d symbolically, of national p o w e r . Ironically, t h e failure of Alfred S m i t h ' s c a n d i d a c y w a s o f l o n g - r u n s i g n i f i c a n c e t o political stability. I n t h e d e p r e s s i o n o f t h e 1 9 3 0 s t h e a l i e n social g r o u p s w e r e t o p r o v e of major i m p o r t a n c e in t h e victory of a reformist Democratic

6. S e e R o b e r t K. M e r t o n , Social Theory and Social Structure ( G l e n c o e , T h e F r e e Press, 1949). 7. C f . H a r o l d Z i n k , City Bosses in the United States ( D u r h a m , D u k e U n i v e r s i t y Press,

1 9 3 0 ) . Cf. O s c a r H a n d l i n , The Uprooted ( B o s t o n , L i t t l e , B r o w n ,

1951).

8. Cf. D a v i d B u r n e r , The Politics of Provincialism: The Democratic Party in Transition, 1918-1932 ( N e w Y o r k , K n o p f ,

1968), pp. 9 5 - 9 6 , passim.

242

Martin

Kilson

administration, j o i n e d of course by i m p o r t a n t s e g m e n t s of Protestant voters w h o s h a r e d with the Irish, Poles, J e w s , Italians, a n d so o n , a c o m m o n lot o f e c o n o m i c a n d social d i s l o c a t i o n . H a d t h e Smith candidacy succeeded in 1928 a n d b e e n followed by the depression, it is doubtful that the Protestant majority—despite the d e p r e s s i o n — w o u l d have s u p p o r t e d a reformist regime in 1932. T h e anxieties g e n e r a t e d by a Smith victory, I suggest, w o u l d have b e e n seen by t h e Protestant majority as a p r e m a t u r e p o w e r outc o m e of the politicization of ethnicity by n o n - P r o t e s t a n t g r o u p s . In 9

a

word,

response—a

a

premature

backlash,

power

if you

consolidation will—by

the

of

ethnicity

majority

provokes social

a

normalcy

groups.

T h e N i x o n victories in 1968 a n d 1972 a r e n o t dissimilar in funct i o n t o t h e H o o v e r v i c t o r y i n 1 9 2 8 . T h e r e l a t i v e l y s u c c e s s f u l politicization of black ethnicity t h r o u g h t h e aid of t h e federal (not the local) c o m p o n e n t s o f A m e r i c a n politics i n t h e K e n n e d y - J o h n s o n e r a w a s p e r c e i v e d b y t h e m a j o r i t y w h i t e social g r o u p s a s a p r e m a t u r e consolidation of ethnicity. It is ironic that a m o n g the majority w h i t e social g r o u p s a r e f o r m e r l y s t i g m a t i z e d e t h n i c g r o u p s like I r i s h , P o l e s , I t a l i a n s , a n d J e w s ; b u t this d o e s n o t affect t h e i r p e r c e p t i o n . I n fact, t h i s p e r c e p t i o n i s i n t e n s i f i e d b e c a u s e N e g r o e s a r e the most stigmatized o r alien o f A m e r i c a n e t h n i c g r o u p s . T h e u k r a - s t i g m a t i z a t i o n o f b l a c k s , m o r e o v e r , r e d u c e s t h e c h a n c e o f eit h e r e m p a t h y o r p l a i n objectivity i n w h i t e s ' p e r c e p t i o n o f t h e i r p l i g h t . T h u s a H a r r i s Poll i n D e c e m b e r 1 9 7 2 s h o w s o n l y 4 0 p e r c e n t of whites agreeing that Negroes are discriminated against in t e r m s o f " g e t t i n g full e q u a l i t y , " a n d e v e n a s m a l l e r p r o p o r t i o n ( 3 8 p e r c e n t ) c o n s i d e r N e g r o e s d i s c r i m i n a t e d a g a i n s t i n t h e "wayt r e a t e d a s h u m a n b e i n g s . " (See T a b l e 9.) T h e 1968 a n d 1972 presidential elections w e r e s h a p e d i n n o s m a l l w a y b y t h i s s i t u a t i o n . N i x o n s t r a t e g i s t s c o n c e i v e d t h e 1972 c a m p a i g n partly as a subtle attack not only u p o n the p r e m a t u r e p o w e r c o n s o l i d a t i o n o f b l a c k e t h n i c i t y b u t o n its l e g i t i m a c y . I n t h e m i n d s of millions of whites, N i x o n identified black ethnicity with a life o f c r i m e , w e l f a r e f r e e l o a d i n g , a n d e v a s i o n o f t h e " w o r k e t h i c . " T h i s was not w i t h o u t influence u p o n t h e o u t c o m e o f the elections; 9.

Cf. I b i d . , c h a p s . 8 - 9 .


243

v o t e r s o f f o r m e r l y s t i g m a t i z e d e t h n i c g r o u p s like J e w s , I r i s h , I t a l i a n s , a n d P o l e s v o t e d o n e o f few t i m e s i n t w o g e n e r a t i o n s b e t w e e n 4 0 - 6 0 percent Republican. For blacks, t h e n , t h e r o u t e to a g r e a t e r p o w e r c o n s o l i d a t i o n o f t h e i r e t h n i c i t y will, like o t h e r t r a n s f o r m a t i o n s t h e y face i n A m e r i c a n life, b e s i g n i f i c a n t l y m o r e difficult t h a n t h e c o m p a r a b l e e x p e r i e n c e o f w h i t e social g r o u p s .

1 0

BLACK ETHNIC LEGITIMATION: CONCEPTUAL N O T E U n l i k e t h e e t h n i c i t y o f w h i t e social g r o u p s , b l a c k e t h n i c i t y l a c k e d u n t i l r e c e n t l y t h e q u a l i t y o f a u t h e n t i c i t y — t h a t is, a t r u e a n d v i a b l e h e r i t a g e , u n q u e s t i o n a b l e i n its c a p a c i t y t o s h a p e a n d s u s t a i n a c o h e sive i d e n t i t y o r a w a r e n e s s . A n t i - A f r i c a n a t t i t u d e s , w i d e s p r e a d a m o n g most Afro-Americans until recently, were f u n d a m e n t a l to this s i t u a t i o n . T h u s b l a c k e t h n i c i t y h a s t h e s t a t u s i n A m e r i c a n s o ciety o f a c u r i o u s l y d e p e n d e n t c u l t u r a l c l u s t e r : i t b o r r o w s f r o m w h i t e society m u c h , t h o u g h b y n o m e a n s all, o f its c u l t u r e - j u s t i f y i n g ingredients. I n d e e d , R a l p h Ellison s u g g e s t s p e r s u a s i v e l y t h a t , o w i n g t o close b l a c k - w h i t e c u l t u r a l i n t e r d e p e n d e n c e , t h i s m i g h t remain the crux of the Afro-American's plight. A n d perhaps too o f o t h e r blacks i n t h e i d i a s p o r a ^ 1 1

1 2

1 3

4

I n o r d e r t o g a i n g r e a t e r viability, b l a c k e t h n i c i t y b e c o m e s curiously w e d d e d t o politics, m o r e intricately d e p e n d e n t u p o n poli1 0 . F o r a s o m e w h a t d i f f e r e n t p e r s p e c t i v e , cf. N a t h a n G l a z e r , " B l a c k s a n d E t h nic G r o u p s : T h e

D i f f e r e n c e , a n d t h e Political

Difference It Makes," in

Nathan

H u g g i n s , M a r t i n K i l s o n . a n d D a n i e l F o x , e d s . , Key Issues in the Afro-American Experience ( N e w York, Harcourt Brace Jovanovich, 1971). 11.

An e x c e l l e n t s t u d y of this i s s u e is

Americans ( N e w Y o r k . D a y ,

Harold

I s a a c s , The New World o f Negro

1963).

1 2 . M y c o n c e p t i o n o f t h i s i s i n f l u e n c e d b y R i c h a r d W r i g h t , Native Son York, Harper,

(New

1 9 4 0 ) . S e e a l s o A l l i s o n D a v i s a n d J o h n D o l l a r d , Children o f Bondage:

The Personality Development of Negro Youth in the Urban South ( W a s h i n g t o n , D . C . , A m e r i c a n Council on E d u c a t i o n , 1940), and E. Franklin Frazier (with Harry Stack

S u l l i v a n ) , Negro Youth at the Crossways: Their Personality Development in the Middle States ( W a s h i n g t o n , D . C . , A m e r i c a n C o u n c i l o n E d u c a t i o n , 13. Ralph

E l l i s o n , Shadow and Act

Ralph

Ellison,

1970).

54—55;

"What E.

America

Franklin

( N e w York, R a n d o m

Would

Be

Like without

F r a z i e r , The Negro in

the

1940). House,

1964). See also

B l a c k s , " Time

United States

(April 6,

(New

York,

Macmillan. 1948). 1 4 . Cf. O r l a n d o P a t t e r s o n , " T o w a r d a F u t u r e T h a t H a s N o P a s t : R e f l e c t i o n s o n t h e F a t e o f B l a c k s i n t h e A m e r i c a s , " The Public Interest ( S p r i n g 1 9 7 2 ) .

244

Martin

Kilson

tics t h a n t h e e a r l i e r e t h n i c l e g i t i m a t i o n o f w h i t e social g r o u p s . A t t h e elite level o f N e g r o society, m i d d l e - c l a s s b l a c k s — s e e k i n g legiti m a t i o n in t h e n e w era of black e t h n o c e n t r i c r e v i t a l i z a t i o n — h a v e little b u t politics t o o f f e r . O t h e r l e a d e r s h i p a t t r i b u t e s i m p o r t a n t t o such revitalization are in short supply a m o n g middle-class N e g r o e s , f o r i n t h e p r e - r e v i t a l i z a t i o n p e r i o d t h e y w e r e , a f t e r all, h i g h l y d e p e n d e n t u p o n w h i t e society f o r t h e i r o r i e n t a t i o n a n d l i f e s t y l e s .

15

Politics a f f o r d s t h e m , as it w e r e , a c o r r e c t i v e f o r p a s t l i m i t a t i o n s . T h u s t h e black b o u r g e o i s i e a d o p t s t h e anti-white activism a n d t h e ideology of white cultural denigration which have characterized the black revitalization

m o v e m e n t since the late

1960s b e c a u s e they

s e r v e a s effective political tools i n u n i f y i n g b l a c k s . H a d t h e N e g r o elites r e f u s e d t o p l a y a l e a d i n g r o l e i n t h e i d e o l o g y o f w h i t e c u l t u r a l d e n i g r a t i o n t h e i r l e g i t i m a c y a s a l e a d e r s h i p class w o u l d h a v e b e e n seriously w e a k e n e d . BLACK ETHNIC LEGITIMATION: T H E DYNAMICS Politics h a v e b e e n c e n t r a l t o t h e n e w d y n a m i c s o f b l a c k e t h n o c e n t r i c r e v i t a l i z a t i o n . A t o n e level t h i s p r o c e s s e n t a i l s t h e s h a r p p o l a r ization of black-white p e r c e p t i o n s a n d relationships: to be m o r e p o s i t i v e l y o r viably b l a c k , e t h n i c a l l y s p e a k i n g , r e q u i r e s b o t h a n t i w h i t e activism a n d

t h e d e n i g r a t i o n o f white society a n d values.

T h u s since the 1960s a majority of A m e r i c a n N e g r o e s h a v e b e e n willing to participate in a wide r a n g e of anti-white activities. T h e y o u n g a n d m i d d l e class h a v e b e e n m o r e m i l i t a n t t h a n o t h e r s . F o r example, in

1969 only 25 p e r c e n t of low-income N e g r o e s in the

N o r t h w e r e willing to "take p a r t in a sit-in," w h e r e a s s o m e 53 p e r c e n t o f middle-class N e g r o e s w e r e willing t o d o so; only 2 8 p e r c e n t of low-income N e g r o e s would " m a r c h in a d e m o n s t r a t i o n , " while 62 percent of m i d d l e - i n c o m e N e g r o e s would; a n d while only 16 p e r c e n t o f l o w - i n c o m e N e g r o e s w o t d d risk " g o i n g t o j a i l , " 4 3 p e r c e n t o f m i d d l e - i n c o m e N e g r o e s w o u l d . ( S e e T a b l e 1.) 15.

For an intellectually incisive but e x a g g e r a t e d a n d empirically d u b i o u s char-

a c t e r i z a t i o n o f t h i s s i t u a t i o n , s e e E . F r a n k l i n F r a z i e r , Black Bourgeoisie ( G l e n c o e , T h e Free Press,

1957). A first-rate sociological analysis of t h e black b o u r g e o i s i e

r e m a i n s t o b e d o n e . F o r a c r i t i q u e of t h e a p p r o a c h i n i t i a t e d b y F r a z i e r , s e e M a r t i n K i l s o n , " M i l i t a n t R h e t o r i c a n d t h e B o u r g e o i s i e , " The New York Times Book Review, s e c . 7 , pt. 2 ( F e b r u a r y 2 1 , 1 9 7 1 ) , 2 , ' 2 8 - 2 9 .


Table

1.

1969

(by

Negro

Attitudes

toward

Militancy,

2 4 5

by A g e and

Income,

1963,

1966,

percent)

1963

T o t a l S a m pic-

1966

1969

T a k e part in a sit-in

49

52

40

M a r c h in a d e m o n s t r a t i o n

51

54

44

Picket a store

46

49

41

S t o p b u y i n g at a s t o r e

62

69

57

G o to jail

47

45

33

Under North

Total

30

30-19

50 and Older

Low Income

Low Middle

Middle Income

T a k e p a r t i n a sit-in

43

57

47

27

25

45

53

M a r c h in a d e m o n s t r a t i o n

49

63

51

36

28

51

62 55

Picket a store

43

59

47

25

29

46

S t o p b u y i n g at a store

56

67

56

44

44

57

66

G o to jail

32

45

35

19

16

31

43

Source: P e t e r G o l d m a n ( a n d G a l l u p Poll), Report from Black America ( N e w Y o r k , Simon and Schuster, 1970), p. 242.

T h e g r e a t e r p a r t i c i p a t i o n of m i d d l e - c l a s s N e g r o e s i n a n t i - w h i t e a c t i v i s m c a n n o t b e o v e r e m p h a s i z e d : for e t h n o c e n t r i c r e v i t a l i z a t i o n requires, wherever it occurs, the strong s u p p o r t of the leadership s t r a t a . T h e local-level l e a d e r s h i p — h e a d s o f c o m m u n a l a s s o c i a t i o n s and

networks—are particularly prominent

class b l a c k s w h o

p r o f f e r s t r o n g s u p p o r t of

a m o n g those

middle-

anti-white militancy,

favoring it m o r e than do the cosmopolitan or established middleclass l e a d e r s h i p .

l f i

T h e local-level l e a d e r s h i p i s e s p e c i a l l v e s s e n t i a l

t o t h e p r o c e s s o f s h a r p e n i n g t h e c o m m u n a l n e x u s a n d t h e we-they i d e m i t y axis o f m o v e m e n t s o f e t h n o c e n t r i c r e v i t a l i z a t i o n .

17

T h e d e n i g r a t i o n of w h i t e c u l t u r e a n d v a l u e s is, of c o u r s e , t h e logical c o r o l l a r y o f a s t r o n g p r e f e r e n c e f o r a n t i - w h i t e political ac1 6 . C f . W i l l i a m M c C o r d , e t a l . , Lifestyles i n the Black Ghetto ( N e w Y o r k . N o r t o n , 1969).

17. S e e , f o r e x a m p l e , A l e x G o t t f r i e d , Boss Cermak of Chicago: A Study of Political Leadership ( S e a t t l e , U n i v e r s i t y o f W a s h i n g t o n

Press.

1962): Lloyd Wendt and Her-

m a n K o g a n , Lords of the Levee: The Story of Bathhouse John and Hinky Dink ( I n d i a n apolis.

Dodd-Mead.

(New York. Oxford

States.

1943):

H u m b e r t S.

University Press,

N e l l i . The Italians in Chicago,

1880-1930

1 9 7 0 ) : a n d Z i n k , City Bosses in the United

246

Martin

Kilson

tivism. S u p p o r t for t h e latter implies s y m p a t h y for t h e f o r m e r . H e r e , too, middle-class Negroes display stronger preferences than l o w - i n c o m e N e g r o e s . F o r e x a m p l e , i n 1 9 6 9 s o m e 5 4 p e r c e n t o f all N e g r o e s believed that " N e g r o e s have a special spirit or soul that most white people have not experienced," but only 38 percent of l o w - i n c o m e N o r t h e r n b l a c k s (33 p e r c e n t S o u t h e r n ) b e l i e v e d t h i s , c o m p a r e d with 6 7 p e r c e n t o f m i d d l e - i n c o m e N o r t h e r n blacks (56 p e r c e n t S o u t h e r n ) . (See T a b l e 2.) I n r e g a r d t o n e w g r o u p n o m e n c l a t u r e , 19 p e r c e n t o f all N e g r o e s f a v o r e d t h e t e r m " b l a c k " i n 1 9 6 9 (nearly two thirds in

1972) b u t o n l y

17 p e r c e n t of low-income

Northern Negroes (6 percent Southern)

favored this nomencla-

t u r e , c o m p a r e d with 3 4 p e r c e n t o f m i d d l e - i n c o m e N o r t h e r n Neg r o e s (17 p e r c e n t S o u t h e r n ) . A n d i n r e g a r d t o t h e w e a r i n g o f t h e " A f r o " h a i r style, 4 5 p e r c e n t o f all N e g r o e s f a v o r e d t h i s style i n 1969, b u t 5 8 p e r c e n t o f m i d d l e - i n c o m e N o r t h e r n N e g r o e s d i d (50 p e r c e n t S o u t h e r n ) c o m p a r e d with 4 2 p e r c e n t l o w - i n c o m e N o r t h e r n N e g r o e s (26 p e r c e n t S o u t h e r n ) . T a b l e 2. most

In

white

your opinion, do people

have

Finally, with r e g a r d t o t h e politi-

Negroes have a

not experienced?

(by

special spirit or soul

that

percent)

1969

1966

1963

Total Sample

most

1 8

Yes

X

X

54

No

X

X

22

Not sure

X

X

24

50 and Older

Low Income

Low Middle

Middle Income

Total

Under 30

Yes

60

79

62

39

38

62

67

No

20

8

19

32

27

25

Not sure

20

13

19

29

35

14

13 20

Yes

48

59

50

39

33

49

56

No

24

22

25

24

22

27

26

Not sure

29

20

25

37

45

24

18

North

30-49

South

Source: G o l d m a n , Report jrom Black America, p. 2 6 3 . 18.

P e t e r G o l d m a n ( w i t h G a l l u p P o l l ) . Report from Black America

S i m o n and Schuster, 1970), pp. 2 6 2 - 2 6 3 .

( N e w York,


Table

3.

Do you

favor

Total Sample

o f bl ack

power,

1963

1966

1969

X

25

42

X

37

31

X

38

27

Favor Don't

the idea

favor

Not sure

or

247

not? (by

percent)

Total

U nder 30

Favor

50

68

47

38

31

46

59

Don't favor

28

16

30

40

39

27

27

Not sure

22

16

24

22

30

27

14

Favor

34

49

42

17

19

30

52

Don't favor

34

21

31

45

52

33

24

Not sure

32

30

27

38

29

37

24

North

30-49

50 and Older

Low Income

Low Middle

Middle Income

South

Source: G o l d m a n , Report from Black America, p. 2 6 4 .

cal i d e a s a s s o c i a t e d w i t h black e t h n o c e n t r i c r e v i t a l i z a t i o n , s o m e 4 2 p e r c e n t o f all N e g r o e s f a v o r e d " B l a c k P o w e r " i n 1 9 6 9 ( a t w o - f o l d increase over 1966), b u t only 3 1 p e r c e n t o f l o w - i n c o m e N o r t h e r n Negroes

did

(19

percent

Southern)

compared

with

nearly

two

t h i r d s o f m i d d l e - i n c o m e N o r t h e r n N e g r o e s (52 p e r c e n t S o u t h e r n ) . ( S e e T a b l e 3.) T h e m i d d l e - c l a s s r o l e i n black e t h n o c e n t r i c r e v i t a l i z a t i o n is, h o w e v e r , r i d d e n with p a r a d o x . I t o w e s a s m u c h t o p s v c h o l o g i c a l a s t o political factors. E t h n o c e n t r i c revitalization m o v e m e n t s — o f w h i c h m o d e r n nationalist m o v e m e n t s are a variant—always entail a perplexing

admixture

of psychological-cultural

political (universalistic) p r o c e s s e s .

1 9

(particularistic)

and

For t h e black m o v e m e n t , t h e

particularistic m u s t d e r i v e s t r e n g t h t h r o u g h politics: t h e w e a k n e s s o f b l a c k e t h n i c i t y i n A m e r i c a n societv m e a n s i t c a n n o t o f itself g e n e r a t e t h e m e a n s o f g r e a t e r e t h n i c viability. T h i s d e p e n d e n c e o f t h e p a r t i c u l a r i s t i c u p o n p o l i t i c s , h o w e v e r , i s n o t fully s a t i s f y i n g , b e c a u s e b l a c k s w o u l d like t o b e l i e v e t h a t t h e i r e t h n o c e n t r i c r e v i t a l i z a 19.

Cf. T a l c o t t P a r s o n s , Structure and Process in Modern Societies ( G l e n c o e , T h e

Free Press, 1960), pp. 1 2 6 - 1 2 8 .

248

Martin

Kilson

t i o n i s fully r e a l i z a b l e w i t h o u t t h e m o d i f i c a t i o n s o r c o n c e s s i o n s t h a t politics p e r f o r c e r e q u i r e . B u t t h i s i s n o t t h e c a s e . In themselves particularistic forces sustain only ritualistic t e n d e n cies, w h i c h a r e h i g h i n c a t h a r t i c effect b u t p r o d u c t i v e o n l y o f a e t h n o c e n t r i c cul-de-sac—the e q u i v a l e n t o f K a r l M a r x ' s o p i a t e o f t h e m a s s e s . T h e political ( u n i v e r s a l i s t i c ) f o r c e s m u s t b e u t i l i z e d , w h i c h means that they must be borrowed or adapted from the adversary society o r g r o u p . T h e resultant d i l e m m a i s e x c e e d i n g l y t r o u b l e s o m e for t h e l e a d e r s h i p of m o v e m e n t s of e t h n o c e n t r i c revitalization. B u t t h e l e a d e r s h i p o f successful m o v e m e n t s o f e t h n o c e n t r i c revitalization—which the c u r r e n t black m o v e m e n t clearly ' i s — d o w h a t they m u s t : modify t h e particularistic t h r o u g h politics while p r o c l a i m i n g belief in t h e particularistic—a p r o c l a m a t i o n w h i c h their identity, legitimacy, a n d control r e q u i r e . 2 0

O n e e x a m p l e of the p a r a d o x e s in the m o v e m e n t of black ethnocentric revitalization—a m o v e m e n t whose psychological-cultural p r o c e s s e s a r e p o s e d a s a n t i t h e t i c a l t o w h i t e A m e r i c a — i s t h e fact t h a t t h e federal g o v e r n m e n t is o v e r w h e l m i n g l y r e s p o n s i b l e , dir e c t l y a n d i n d i r e c t l y , for t h e e x t r a o r d i n a r y o c c u p a t i o n a l m o b i l i t y o f middle-class N e g r o e s in the past decade—precisely those blacks w h o now supply l e a d e r s h i p to the revitalization m o v e m e n t . T h i s m o b i l i t y , w h i c h b e g a n i n t h e e a r l y 1960s u n d e r t h e K e n n e d y - J o h n s o n a d m i n i s t r a t i o n s , h a s s u f f e r e d less t h a n o n e m i g h t h a v e e x pected u n d e r the Nixon administration. T h e mobility of m i d d l e class N e g r o e s i s o n e o f t h e few a r e a s o f c o m p r o m i s e b e t w e e n t h e neo-conservative Republican administration a n d blacks, o w i n g partly to Nixon's reelection organization's willingness to bid for middle-class N e g r o voters. A n o t h e r factor is also involved in this crucial c o m p r o m i s e between the Republican administration a n d middle-class Negroes. For the sake of maximizing federal g o v e r n m e n t benefits, m a n v middle-class N e g r o e s w h o w e r e identified with 20.

T h i s p r o b l e m has p l a g u e d t h e black revitalization m o v e m e n t f r o m t h e start

a n d has b e g u n to attenuate onlv since

1971. See Martin Kilson, "Black Power:

A n a t o m y of a P a r a d o x . " Harvard Journal oj Negro Affairs,

2.1

(1968).

N e g r o col-

l e g e s t u d e n t s h a v e t e n d e d t o insist o n t h e p a r t i c u l a r i s t i c d i m e n s i o n s o f t h e b l a c k revitalization m o v e m e n t m o r e than o n e w o u l d have e x p e c t e d . S e e Martin Kilson, " B l a c k S t u d e n t M i l i t a n t s . " Encounter ( S e p t e m b e r a n d O c t o b e r

1971), and Martin

K i l s o n , " B l a c k s a t H a r v a r d . " The Harvard Bulletin ( A p r i l a n d J u n e

1973).

Blacks a n d Neo-Ethnicity in America

the black revitalization

249

forces modified t h e i r anti-white activism.

T h o s e e l e m e n t s i n v o l v e d i n black c a p i t a l i s m h a v e s h r e w d l y t r a n s lated e t h n o c e n t r i c revitalization into f r e e - e n t e r p r i s e t e r m s which are acceptable to a Republican administration.

2 1

This strategy has

also b e e n successful for white-collar w o r k e r s , as can be seen in t h e f o l l o w i n g r e p o r t f r o m a r e c e n t Civil S e r v i c e C o m m i s s i o n s u r v e y o f white-collar jobs held by Negroes in the federal g o v e r n m e n t : T h e n u m b e r of blacks in federal jobs r a n k e d GS-9 a n d a b o v e — t h e t o p half of t h e g o v e r n m e n t ' s j o b s — h a s risen 2 8 % since May 1970, t h e new Civil Service Commission survey shows. As of last N o v e m b e r blacks held 29,796 or 4 . 7 % of t h e j o b s in the GS g r a d e s 9 to 18 r a n g e . Much of the gain reflects workers hired in the 1960s who are " p r o g r e s s i n g nicely up t h e l a d d e r , " a s p o k e s m a n says. Negroes hold 15.3% of all federal j o b s , t h e figures show. O t h e r minorities fill a n o t h e r 4 . 7 % of t h e positions. Of 5,712 j o b s at t h e highest GS g r a d e s 16 to 18. blacks hold 145 or 2.5%; Spanishs u r n a m e d hold 3 3 , A m e r i c a n Indians 12, a n d O r i e n t a l s 2 3 . T h e gains in minority hiring c o m e at a time when federal e m p l o y m e n t is falling; fullt i m e federal j o b s d e c r e a s e d bv 31,703 in the year e n d e d N o v e m b e r 30th. 22

T h e strategy that p r o d u c e d these results e m e r g e d from a highly d i v i d e d m o v e m e n t of black e t h n o c e n t r i c revitalization. In the form a t i v e p e r i o d o f this m o v e m e n t , two e l e m e n t s within t h e black m i d d l e classes c o a l e s c e d t o e n s u r e t h a t t h e m o v e m e n t ' s o u t c o m e w o u l d i n c l u d e s u b s t a n t i v e o r m a t e r i a l , a s well a s s y m b o l i c a n d i d e n t i t y - o r i e n t e d , benefits. T h i s coalition, t h e m o d e r a t e s in t h e revitaliz a t i o n m o v e m e n t , c o m p r i s e s t h e f o l l o w i n g : (1) t h e i n n o v a t i v e s e c t o r o f t h e e s t a b l i s h e d b l a c k b o u r g e o i s i e , t h a t is, t h o s e c a p a b l e o f s e i z i n g 21.

S o p h i s t i c a t e d l e a d e r s h i p o f this s t r a t e g y h a s b e e n p r o v i d e d for f o u r y e a r s

b y t h e b l a c k b u s i n e s s j o u r n a l Black Enterprise.

It i s p u b l i s h e d b y a h i g h l y a b l e

N e g r o b u s i n e s s m a n , Earl G . G r a v e s , a n d c o n t r o l l e d b y a B o a r d o f A d v i s o r s u n d e r the

chairmanship

of

Henry

Parks,

head

of the

Parks

Sausage

Corporation—

probably the largest N e g r o m a n u f a c t u r i n g f i r m — a n d m a d e up of leading business a n d political f i g u r e s like W i l l i a m H u d g i n s . V i c e C h a i r m a n of t h e F r e e d o m N a tional B a n k in H a r l e m , Shirley C h i s h o l m . C o n g r e s s w o m a n f r o m Brooklyn, Senator E d w a r d tatives.

For

Brooke, and Julian an

example

of

Bond,

this

style

member of Georgia of

politicizing

the

House of Represenblack

revitalization

m o v e m e n t , s e e Black Enterprise ( A u g u s t 1 9 7 0 a n d M a y 1 9 7 1 ) , e s p e c i a l l y t h e s e c t i o n s e n t i t l e d , s u g g e s t i v e l y , " M a k i n g It."

2 2 . The Wall Street Journal, J u l y 17, 1 9 7 3 . p. 1.

250

Martin

Kilson

n e w o p p o r t u n i t i e s ; (2) t h e e n t r e p r e n e u r i a l a n d l a w y e r - p o l i t i c i a n n e w c o m e r s t o t h e black b o u r g e o i s i e . T h e s e t w o s e c t o r s o f t h e b o u r g e o i s i e c o a l e s c e e i t h e r i n a c t i o n o r policy, d i f f e r e n t i a t i n g t h e i r positions in t h e e t h n o c e n t r i c revitalization m o v e m e n t from those w h o m i g h t be t e r m e d the militants—mainly deviant intellectuals ( u s u a l l y f i r s t - g e n e r a t i o n c o l l e g e - e d u c a t e d like I m a m u B a r a k a ) , p a r a - p r o f e s s i o n a l s (social w o r k e r s , s c h o o l t e a c h e r s , a n d s o o n ) , a n d self-educated leaders or what I describe elsewhere as para-intellect u a l s . T h i s d i s t i n c t i o n b e t w e e n c o a l e s c e n c e i n a c t i o n a n d i n policy is i m p o r t a n t : i n t e r e s t g r o u p s w h o coalesce in action d o so, o f c o u r s e , visibly; b u t coalescence in policy is o f t e n i m p l i c i t o r m u t e d — t h r o u g h discreet political cues e m i t t e d by t h e leaders or articulate p e r s o n s i n t h e c o a l e s c i n g i n t e r e s t g r o u p s . C o a l e s c e n c e i n policy i s h i g h l y s u i t a b l e to s i t u a t i o n s w h e r e e s t a b l i s h e d a n d parvenu s e c t i o n s o f t h e elites b e c o m e allies; i t allows b o t h s e c t i o n s d i s c r e t i o n ( w h i c h i s i m p o r t a n t to their control or authority over their own s u p p o r t struct u r e ) b u t d o e s not j e o p a r d i z e t h e p u r s u i t of their objective intere s t s . S u c h d i s c r e t i o n is e s p e c i a l l y i m p o r t a n t as a political o p t i o n f o r t h e n e w black capitalists a n d lawyer-politicians. Fledgling in aut h o r i t y a n d l e g i t i m a c y , t h e y a r e v u l n e r a b l e o n t h e left-Hank, a n d susceptible to anomic thrusts by the N e g r o masses, which of course i s w h a t t h e b l a c k g h e t t o r i o t s o f t h e late 1 9 6 0 s w e r e . 2 3

T h e s u c c e s s o f this s t r a t e g y for m a x i m i z i n g t h e s u b s t a n t i v e g o a l s o f t h e black e t h n o c e n t r i c revitalization d e p e n d s u p o n t h e m o d e r a t e l e a d e r s h i p ' s ability t o m a n i p u l a t e t h e s y m b o l i c o r r i t u a l d i m e n s i o n s o f t h e m o v e m e n t . C h a r i s m a t i c l e a d e r s h i p a n d t h e u n i q u e legitim a c y a t t a c h e d t o i t b y N e g r o e s a r e e s p e c i a l l y significant i n this r e g a r d . Successful symbolic a n d ideological m a n i p u l a t i o n by the m o d e r a t e s (exemplified in the use of militant speech a n d wearing t h e A f r o h a i r s t y l e ) s h e l t e r s t h e basically e s t a b l i s h m e n t goals t h e y s e e k — n a m e l y , t o b r i n g t h e black b o u r g e o i s i e a n d b l a c k s g e n e r a l l y m o r e firmly into the American power structure. Such manipulation also r e d u c e s t h e division between the m o d e r a t e s a n d militants: it e n a b l e s t h e m i l i t a n t s t o view t h e m o d e r a t e s ' e s t a b l i s h m e n t goals a s s o m e t h i n g o t h e r than a threat to the particularistic attributes of black e t h n o c e n t r i c revitalization. 23.

1969).

Sec

Martin

Kilson.

"The

New

Black

I n t e l l e c t u a l s , " Dissent

(July-August

251


I t i s a n e x t r a o r d i n a r y f e a t u r e o f this m o v e m e n t t h a t t h e m o d e r ates' strategy has b e e n t h u s far relatively successful. T h e success o f this s t r a t e g y h a s also b e e n f u n c t i o n a l t o t h e m o v e m e n t . No such 24

movement

can

out

aid

the

approximate of

the

its substantive

particularistic

or

benefits

derived

identity-focused from

politics

goals

with-

and

power.

W i t h o u t such benefits, the particularistic d i m e n s i o n s of m o v e m e n t s o f e t h n o c e n t r i c r e v i t a l i z a t i o n turn in on themselves: t h e y b e c o m e ritualistically s e l f - i n d u l g e n t , m e s s i a n i c , a n d m i l l e n a r i a n . The m o v e m e n t of black e t h n o c e n t r i c revitalization faced such an o u t come throughout its formative and middle period (say, 1 9 6 6 - 1 9 7 0 ) . H a d the revitalization militants (the d e v i a n t intellect u a l s , social w o r k e r s , t e a c h e r s , a n d p a r a - i n t e l l e c t u a l s ) v a n q u i s h e d the alliance of the old bourgeoisie and the middle-class n e w c o m e r s i n this p e r i o d , t h e o u t c o m e w o u l d h a v e b e e n m a r k e d l y d i f f e r e n t f r o m w h a t i t is. S o t o o w o u l d t h e c u r r e n t conflict d y n a m i c b e t w e e n blacks a n d whites. 2 5

CONFLICT, CLEAVAGES, AND T H E POLITICS OF BLACK ETHNICITY T h e conflict s u r r o u n d i n g m o v e m e n t s o f e t h n o c e n t r i c r e v i t a l i z a tion is highly contentious a n d not infrequently bloody. T h i s is especially t r u e o f m o v e m e n t s w h o s e culture indigene is ideologically diff u s e - o r poorly d i f f e r e n t i a t e d f r o m _ ^ n _ a d y e r s a r y (often t h e d o m i n a n t ) c u l t u r e . T h e A f r o - A m e r i c a n s u b c u l t u r e is of this varie t y : so m u c h o f w h a t it m e a n s t o b e black in A m e r i c a is i n t r i c a t e l y l i n k e d t o w h i t e society, a n d t h e f o r m a t i o n o f b l a c k i d e a s , v a l u e s , a n d institutions o c c u r s in c o m p l e x dialectical i n t e r a c t i o n with this society. " 2

24.

See

the data

in

Ben J.

Wattenberg and

P r o g r e s s a n d L i b e r a l R h e t o r i c . " Commentary ( A p r i l 25.

Richard

M.

S c a m m o n , "Black

1973).

Black revitalization m o v e m e n t s , i n c l u d i n g nationalist m o v e m e n t s , have b e e n

p l a g u e d with this p r o b l e m t h r o u g h o u t t h e w o r l d , always b o r d e r i n g o n m i l l e n a r i a n disorientation.

For a West

Indian variant, see the novel by O r l a n d o Patterson,

Children o f Sisyphus ( L o n d o n . N e w

A u t h o r s Ltd.. 1 9 6 4 ) . A s p e c t s of this p r o b l e m in

A f r i c a n n a t i o n a l i s t m o v e m e n t s a r e c o n s i d e r e d i n M a r t i n K i l s o n , Political Change i n a West African State ( C a m b r i d g e , H a r v a r d U n i v e r s i t y P r e s s , 1 9 6 6 ) . '

26.

Cf. F r a z i e r , The Negro in the United States. T h e r e i s , of c o u r s e , l i t t l e c o n s e n s u s

o n t h e c h a r a c t e r i z a t i o n of

t h e culture indigene o f b l a c k A m e r i c a n s . T h e d e b a t e

b e g i n s w i t h M e l v i l l e J. H e r s k o v i t z . The Myth of the Negro Past ( N e w Y o r k , H a r p e r , 1 9 4 1 ) a n d p r o g r e s s e s t h r o u g h F . Franklin Frazier. R a l p h Ellison, a n d m o r e r e c e n t

252

r

.

i,

A

^

Martin

k ) C - L»C

Kilson

\

V.

T h e p r i m a r y cleavage within t h e m o v e m e n t o f black e t h n o c e n tric

revitalization

has

evolved

against

this

background

of am-

b i v a l e n c e b e t w e e n b l a c k a n d w h i t e i n A m e r i c a n life. T h i s c l e a v a g e exists, in t h e first instance, b e t w e e n t h e established or old black b o u r g e o i s i e a n d t h e b o u r g e o i s n e w c o m e r s . R e l a t i v e l y well sociali z e d i n t o A m e r i c a n politics a n d a c c u l t u r a t e d t o m i d d l e - c l a s s lifestyles f o r t w o g e n e r a t i o n s , t h e e s t a b l i s h e d b l a c k b o u r g e o i s i e w a s initially

marginal

to

black

infrequently o p p o s e d to it.

ethnocentric 27

revitalization,

and

not

Only with the effective politicizatiqn

of black e t h n o c e n t r i c revitalization by t h e b o u r g e o i s n e w c o m e r s — t h e n e w N e g r o m i d d l e class o f t h e 1 9 5 0 s a n d e a r l y 1 9 6 0 s — d i d a section of t h e old black bourgeoisie discover t h e m o v e m e n t of e t h nocentric revitalizatiom Dr. Martin L u t h e r King, Jr., m e m b e r of an e s t a b l i s h e d b o u r g e o i s N e g r o family, l e d t h i s d i s c o v e r y , o r g a n i z i n g it t h r o u g h the Southern Christian Leadership Conference (SCLC). T h e S C L C p i o n e e r e d a v a r i a n t of/ b l a c k e t h n o c e n t r i c r e v i t a l i z a tion, casting it within a framework of r e s t r a i n e d b l a c k - w h i t e c o n flict, b u f f e r e d by a n o n v i o l e n t ideology. W h i l e D r . K i n g lived, his u n i q u e l e g i t i m a c y — l a r g e l y c h a r i s m a t i c — i m p o s e d a c e i l i n g u p o n effective c o m p e t i t i o n f o r l e a d e r s h i p o f t h e r e v i t a l i z a t i o n m o v e m e n t from the bourgeois newcomers.

2 8

A m e a s u r e of this situation can

b e s e e n f r o m t w o H a r r i s polls o f N e g r o o p i n i o n t o w a r d t h e i r p o l i t i cal l e a d e r s i n 1 9 6 3 a n d 1 9 6 6 . I n b o t h polls 8 8 p e r c e n t o f N e g r o e s g a v e D r . K i n g a n " a p p r o v i n g " v o t e , w h i l e o n l y 15 p e r c e n t g a v e a n " a p p r o v i n g " v o t e i n 1 9 6 3 t o Elijah M u h a m m a d , l e a d e r o f t h e B l a c k Muslims, a n d 12 percent in 1966.

2 9

F u r t h e r m o r e , u n t i l his d e a t h i n

contributions by N a t h a n I. H u g g i n s a n d H o u s t o n Baker. T h e latter contributions are

found

in

Huggins,

Kilson, a n d

F o x , e d s . . Key Issues in Ike Afro-American Experi-

ence. 27.

See

Harold

F.

G o s n e l l , Negio

Politicians:

(Chicago, University of C h i c a g o Press,

The

Rise

of Negro

1935). See also Martin

Politics

in

Chicago

K i l s o n , "Political

C h a n g e i n t h e N e g r o G h e t t o , 1 9 0 0 - 1 9 4 0 s . " i n H u g g i n s , K i l s o n , a n d F o x , e d s . , Key Issues

in

28. On

the Afro-American the

appeal

former—among Chicago Press,

Experience, of the

Negroes,

see

pp.

167-192.

charismatic Charles

figure—the

Keil,

Urban

individual

(Chicago,

per-

University of

1966). T h e best analysis of King's strategy is A u g u s t Meier, "On

t h e R o l e o f M a r t i n L u t h e r K i n g , " New Politics ( W i n t e r 29. William

virtuoso

Blues

Brink and

Louis

1965).

H a r r i s , Black and White: A

ies Today ( N e w Y o r k , S i m o n a n d S c h u s t e r ,

1967), p. 5 4 .

Study of U.S.

Racial Stud-

iS r

•

Blacks a n d Neo-Ethnicitv in America

(fx

\$J

253

1968 D r . King's S C L C r a n k e d h i g h i n t h e "excellent" r a t i n g colu m n of t h e H a r r i s polls, with a 30 p o i n t lead o v e r t h e Black M u s lims in 1963 a n d 1966, a n d a 22 point lead over the S t u d e n t N o n V i o l e n t C o o r d i n a t i n g C o m m i t t e e ( S N C C ) i n 1 9 6 3 a n d a n 11 p o i n t lead in 1966. (See T a b l e s 4 - 6 . ) M o r e o v e r , t h e S C L C ' s s t r o n g e s t s u p port came from 1960s

was

4.

Table 1963,

Negro

1966

t h e m i d d l e class, t h e m a j o r i t y o f w h i c h i n t h e

parvenu.

Ranking

(by

of

Southern

Christian

Leadership

Conference

percent) Non-South Total

Middle

all

Total

inter-

non-

views Rank

South

1966

1963

1966

Excellent

34

32

36

Pretty g o o d

21

24

24

O n l y fair

5

9

Poor

1 39

Not sure Source:

William

1963

Lower

and

Low

middle

upper

income

income

1966

1963

1966

40

28

31

25

25

25

6

9

9

7 2

2

3

33

31

27

35

income

1963

1966

1963

30

40

41

42

24

25

23

21

6

7

5

7

9

-

-

2

3

2

39

28

26

26

38

B r i n k a n d L o u i s H a r r i s , Black and White: A Study of U.S. Racial

Attitudes Today ( N e w Y o r k , S i m o n a n d S c h u s t e r , 1 9 7 0 ) , p . 2 5 0 .

Table 1963,

5.

Negro

1966

Ranking

(by

of

Student

Non-violent

Coordinating

Committee

percent) Non-South Middle

Total

Rank

all

Total

inter-

non-

views

South

Lower

and

Low

middle

upper

income

income

income

1966

1963

1966

1963

1966

Excellent

23

10

25

13

Pretty g o o d

21

8

26

Only

10

3

9

9 2

4

1

6

1

42

78

34

75

fair

Poor Not sure

1963

1966

1963

1966

28

8

26

14

25

7

25

13

24

9

29

9

81

7

9

9

5 2

3

1

6

9

40

74

31

84

-

38

Source: B r i n k a n d H a r r i s , Black and White, p. 2 5 0 .

1963

254

Table

Martin

6.

Kilson

M u s l i m s 1 9 6 3 , 1 9 6 6 (by p e r c e n t )

N e g r o Ranking of Black

Non-South Total

Middle

all

Total

inter-

non-

views Rank

1966

Low

South

1963

1966

income

1963

1966

Lower

and

middle

upper

income

1963

1966

income

1963

1966

1963

Excellent

4

4

4

5

3

8

3

5

2

5

Pretty g o o d

5

7

6

8

3

13

8

7

6

14

O n l y fail-

6

6

7

8

3

6

11

7

6

14

Poor

43

38

52

43

57

25

47

43

60

49

Not sure

42

45

31

36

34

50

31

38

26

18

Source: B r i n k a n d H a r r i s , Black and White,

p. 2 5 4 .

B u t less t h a n t w o y e a r s b e f o r e D r . K i n g ' s d e a t h a t t h e h a n d s o f a white assassin, the SCLC's n o n v i o l e n t m e t h o d of black e t h n o c e n t r i c r e v i t a l i z a t i o n b e g a n t o lose g r o u n d t o a m o r e racially s t r i d e n t a p p r o a c h . T h e S N C C leadership—especially Stokely Carmichael—initiated t h e strategy of "Black P o w e r " in 1965, giving it a p o w e r f u l a d v a n t a g e . I t i n c r e a s e d its " e x c e l l e n t " r a t i n g f r o m 10 t o 2 0 p e r c e n t and

reduced

its c o m p a r a t i v e

position

with

the SCLC

from

22

p o i n t s b e l o w S C L C i n 1 9 6 3 t o 11 p o i n t s b e l o w i t i n 1 9 6 6 . A m o n g middle-class blacks, the S N C C ' s "excellent" r a t i n g increased nearly f o u r - f o l d : f r o m 7 p e r c e n t i n 1 9 6 3 t o 2 5 p e r c e n t i n 1 9 6 6 . T h e sign i f i c a n c e o f t h i s c a n b e j u d g e d bv t h e fact t h a t f r o m 1 9 6 6 o n w a r d t h e m o v e m e n t of black e t h n o c e n t r i c revitalization e n t e r e d a n e w p h a s e ; i t s h e d t h e r e s t r a i n t o n racial conflict t h a t c h a r a c t e r i z e d D r . King's leadership

of the

movement,

with

any

middle-class

Ne-

g r o e s a c q u i r i n g a n explicit i n t e r e s t i n s h a r p f i s s i o n w i t h w h i t e socie t y a n d c u l t u r e , m a n i p u l a t i n g this f i s s i o n a s a p r i m a r y i n s t r u m e n t of massive p o p u l a r mobilization of N e g r o e s , often in violent ways. T h u s by the time of Dr. King's death in

1968 a new militant

p h a s e o f b l a c k e t h n o c e n t r i c r e v i t a l i z a t i o n w a s well u n d e r w a y , p o s s e s s i n g t w o s a l i e n t p o l i t i c a l f e a t u r e s : o n e , b o t h t h e o l d a n d newblack

bourgeoisie

had

been

extensively

politicized

and

radical-

i z e d — a t l e a s t w i t h r e g a r d t o racial a s s e r t i o n ; t w o , a political n e x u s b e t w e e n t h e m i d d l e classes a n d t h e black w o r k i n g a n d l o w e r classes w a s c r e a t e d a n d b e g a n t o d i s p l a v basic p o l i t i c a l i n s t i t u t i o n a l i z a t i o n

255


Table 7. by

Do you

banding

will

never

agree or disagree that N e g r o e s can get what they want only

together help

as

black

Negroes?

people

1963

Total Sample

against the

whites,

because

the

whites

(by p e r c e n t )

1966

1969

Agree

X

25

27

Disagree

x

64

59

Not sure

X

11

14

North

Total

Under 30

Agree

30

45

26

25

22

34

32

Disagree

54

43

57

61

47

56

53

Not sure

16

13

17

14

32

10

15

50 and Older

30^9

Low Income

Middle Income

Low Middle

Source: G o l d m a n , Report from Black America, p. 2 6 0 .

t h r o u g h t h e rise o f n u m e r o u s e l e c t e d middle-class N e g r o politicians. In short, by the e n d of the 1960s a n d early 1970s, a militant ethnocentric

revitalization

of N e g r o e s

had

produced

a

political

transformation of the Afro-American subsystem. Yet as T a b l e 7 shows, in 1969 s o m e 59 p e r c e n t of N e g r o e s polled d i s a g r e e d with the statement that " N e g r o e s can get w h a t they want only by b a n d i n g t o g e t h e r

as

against the whites, because

black people

t h e w h i t e s will n e v e r h e l p N e g r o e s . " T h i s o u t l o o k p r e v a i l e d , m o r e o v e r , d e s p i t e t h e fact t h a t i n 1 9 6 6 a n d 1 9 6 9 o n l y 2 7 a n d 2 0 p e r c e n t o f N e g r o e s r e s p e c t i v e l y felt t h a t w h i t e s w i s h e d a " b e t t e r b r e a k " for b l a c k s , w h i l e a s m a n y a s 3 8 a n d 4 3 p e r c e n t r e s p e c t i v e l y felt t h a t w h i t e s w i s h e d " t o k e e p blacks d o w n . "

3 0

W h y this a m b i v a l e n c e ?

T h e key' t o t h i s a m b i v a l e n c e i s t h a t b l a c k e t h n o c e n t r i c r e v i t a l i z a tion

occurs

Negroes

but

and

whites

in

within of

steady

American

a

framework modification

society.

The

not of

of the

rigid

socio-political

social

proportion

constraints

upon

dividing

blacks

parameters

of N e g r o e s

who

were

p o o r o r l o w e r class d e c l i n e d f r o m 4 8 p e r c e n t i n 1 9 5 9 t o a b o u t 3 0 percent in

1971; a n d the n u m b e r of blacks in white-collar a n d

craftsmen-cum-skilled occupations increased 76 percent d u r i n g the p a s t d e c a d e , f r o m 2 . 9 m i l l i o n i n 1 9 6 0 t o 5.1 m i l l i o n i n 1 9 7 0 , c o m p a r e d with a 24 p e r c e n t increase for whites. T h e s e o c c u p a t i o n a l 3 0 . G o l d m a n , Report from Black America, p. 2 5 0 .

256

Martin

Kilson

shifts a r e a s s o c i a t e d w i t h s i g n i f i c a n t e d u c a t i o n a l c h a n g e : m e d i a n school years c o m p l e t e d for N e g r o e s a g e d 2 5 - 2 9 increased from 7 years in 1940 to 12 years in 1970; f u r t h e r m o r e , 10 p e r c e n t of N e g r o e s a g e d 18-24 were e n r o l l e d in college in 1965 (26 p e r c e n t w h i t e s ) a n d 1 8 p e r c e n t i n 1971 (27 p e r c e n t w h i t e s ) , r e d u c i n g t h e b l a c k - w h i t e differential to only 9 p e r c e n t . Also blacks a r e n o w 6 p e r c e n t of the college p o p u l a t i o n . 3 1

T h e r e is, m o r e o v e r , c o n s i d e r a b l e a m b i v a l e n c e a m o n g b l a c k s a b o u t h o w far anti-white activism—the p r e c o n d i t i o n of black e t h n o c e n t r i c revitalization—should be c a r r i e d . T h i s a m b i v a l e n c e is a stablizing factor in two respects: it sustains the coalition of the est a b l i s h e d b l a c k b o u r g e o i s i e a n d t h e n e w m i d d l e class; a n d , i t c o n strains black-white polarization, allowing r o o m for consensus a n d f u s i o n . Y e t b l a c k s p e r c e i v e a c a u s a l r e l a t i o n s h i p b e t w e e n t h e social a d v a n c e s n o t e d above a n d t h e m o v e m e n t o f e t h n o c e n t r i c revitalization: the latter seems to p r o d u c e t h e f o r m e r . T h e intensification of anti-white activism a n d white cultural d e n i g r a t i o n seems, t h e r e f o r e , f r o m o n e p o i n t o f view, a p r o d u c t i v e tactic f o r b l a c k social a d v a n c e ment. . . I n t h e ^ m a t u r e p h a s e j p f b l a c k jstjhnjocentric. r e v i t a l i z a t i o n Jd96j9J m o r e Negroes considered white churches " m o r e h a r m f u l " than helpful to black a d v a n c e m e n t t h a n in 1 9 6 6 — 2 0 a n d 16 p e r c e n t respectively. S o m e 2 5 p e r c e n t c o n s i d e r e d white businesses " m o r e h a r m f u l " in 1969, c o m p a r e d with 19 p e r c e n t in 1966, with 35 perc e n t o f m i d d l e - c l a s s N e g r o e s i n t h e N o r t h e x p r e s s i n g t h i s view a n d o n l y 14 p e r c e n t o f l o w e r - i n c o m e b l a c k s . F u r t h e r m o r e , s o m e 1 6 p e r c e n t felt J e w s " m o r e h a r m f u l " i n 1 9 6 9 , c o m p a r e d w i t h 5 p e r cent in 1966—with 24 percent middle-class Negroes in the N o r t h a n d o n l y 4 p e r c e n t l o w - i n c o m e e x p r e s s i n g this v i e w . Finally, 2 0 p e r c e n t c o n s i d e r e d labor u n i o n s " m o r e h a r m f u l " in 1969 comp a r e d w i t h 13 p e r c e n t i n 1 9 6 6 — w i t h 4 0 p e r c e n t m i d d l e - c l a s s a n d 18 p e r c e n t l o w - i n c o m e N e g r o e s i n t h e N o r t h h o l d i n g t h i s v i e w . I n 3 2

short,

31.

though

partly

reducing

the

racial-conflict

element

in

the

movement

of

T h e s e data are f r o m W a t t e n b e r g a n d S c a m m o n , "Black P r o g r e s s a n d Lib-

eral Rhetoric," p p . 3 7 - 3 9 . 3 2 . G o l d m a n , Report from Black America,

p p . 254—255.

Blacks a n d

black within

ethnocentric the

movement,

Neo-Ethnicity in America

revitalization the

social

and gains

of

facilitating Negroes

also

257

cleavage pull

in

stabilization the

opposite

direction.

Politically t h i s e n t a i l s , i n o n e r e s p e c t , a f o r m o f false c o n s c i o u s ness: blacks' p e r c e p t i o n of the relationship of ethnicity to p o w e r is distorted.

3 3

For e x a m p l e , the trade union m o v e m e n t , t h o u g h very

slow t o a d m i t N e g r o w o r k e r s , a c t u a l l y h a d b y 1 9 7 0 a b l a c k m e m bership of 12 percent—a proportion equal to the percentage of N e g r o e s i n t h e p o p u l a t i o n . O n t h e o n e h a n d , t h i s false c o n s c i o u s ness is functional to the e x t e n t that it g e n e r a t e s a m e a s u r e of antiw h i t e a c t i v i s m w h i c h i s e s s e n t i a l t o black e t h n o c e n t r i c r e v i t a l i z a t i o n . On the o t h e r h a n d , it is dysfunctional in that it distorts perception by N e g r o e s of real advances, causing blacks to persist in hostile s t a n c e s t o w a r d w h i t e g r o u n s a n d i n s t i t u t i o n s w h o t o d a v a r e less guilty of resistance to blacks t h a n they w e r e in the past. T h i s s i t u a t i o n p o s e s e n o r m o u s tactical p r o b l e m s f o r N e g r o l e a d e r s h i p t o d a y , especially t h e newly elected black politicians—the inevitable heirs to t h e l e a d e r s h i p of the black r e n a s c e n c e m o v e m e n t insofar as this m o v e m e n t can realize substantive benefits for blacks o n l y t h r o u g h t h e e s t a b l i s h e d political p r o c e s s e s . T h e g r o w t h o f t h e n e w b l a c k p o l i t i c i a n class, b a s e d u p o n e s t a b l i s h e d o r n e w l y fashi o n e d p o l i t i c a l m a c h i n e s r a t h e r t h a n u p o n civil r i g h t s o r g a n i z a t i o n s a n d t h e c l i e n t a g e ties w i t h liberal w h i t e s o f t h e o l d e r N e g r o l e a d e r ship, has b e e n e x t r a o r d i n a r v . In the early 1960s t h e r e w e r e a r o u n d 600 elected

N e g r o politicians in the U n i t e d States; t o d a y (1974)

there are 3,500. T h e e n o r m o u s increase of Negroes in medium-size a n d b i g cities ( s o m e 2 0 s u c h cities n o w h a v e 2 0 - 5 0 p e r c e n t N e g r o p o p u l a t i o n ) i s a t t h e basis o f t h e n e w b l a c k p o l i t i c i a n class. T h e r e a r e n o w 5 8 c o n g r e s s i o n a l districts with 2 5 p e r c e n t o r m o r e N e g r o voters, a n d 20 of these are outside the South. F u r t h e r m o r e , in the 1972 p r e s i d e n t i a l election t h e r e w e r e 52 c o n g r e s s i o n a l districts in w h i c h t h e N e g r o p o p u l a t i o n o f v o t i n g a g e w a s a t least twice t h e 33.

C f . K e n n e t h B . C l a r k a n d J e a n n e t t e H o p k i n s , A Relevant War against Poverty

( N e w Y o r k , H a r p e r &r R o w ,

1 9 7 0 ) . p. x. Clark o b s e r v e s that " S e p a r a t i s m . . . is

n o w d e s i r e d a n d f o u g h t for by a g r o w i n g n u m b e r of y o u n g black militants o u t of . . . false perceptions."

258

Martin

successful white c a n d i d a t e ' s m a r g i n of v i c t o r y .

34

Kilson

O t h e r factors as-

s o c i a t e d w i t h t h e n e w b l a c k politician class a r e s h o w n i n T a b l e 8 . I t n o w r e m a i n s f o r t h e n e w black p o l i t i c i a n class, t h e b e n e f i c i a r y of t h e m o v e m e n t of black e t h n o c e n t r i c revitalization, to translate the e m e r g e n t p o w e r - m u s t e r i n g capacity of N e g r o e s into public policies t h a t will r a i s e t h e s t a n d a r d s o f t h e N e g r o social s y s t e m t o levels c o m p a r a b l e t o t h o s e o f w h i t e A m e r i c a . T h e r e a r e n u m e r o u s o b s t a c l e s i n face o f s u c h a t r a n s f o r m a t i o n , b u t n o n e i s a s p e r p l e x ing as t h e role of racial p e r c e p t i o n s in b l a c k - w h i t e r e l a t i o n s h i p s .

3 5

It is a m a j o r p a r a d o x of t h e m o v e m e n t of black e t h n o c e n t r i c revitalTable

8.

Political A t t r i b u t e s

City

Population "

of

Negro Population

in

S e l e c t e d Cities

Negro

N e g r o Percent

Percent

p~;-cent

City C o u n c i l

Negro

VAP

b

Seats

c

N e g r o Percent Police Force

905,759

46.4

43.7

26.3

13

1,51 1 , 4 8 2

43.7

39.4

33.3

12

Cincinnati

452,524

27.6

24.4

37.5

4.9

Cleveland

750,903

38.3

36.6

36.6

Buffalo

462,768

20.4

17.8

20

7.7 o

7,867,760

2 1.2

19

382,417

54.2

48.6

33.3

Baltimore Detroit

New

York

Newark

5.4

7.5 15

Camden

102,551

39.1

34

28.6

-

J e r s e y City

260,545

21

17.4

11.1

5.4

Kansas City, Mo.

507,087

22.1

18.8

33.3

St. L o u i s

622,236

40.9

35.9

20.6

14

7.5

1,948,609

33.6

31.1

17.6

18.6

Pittsburgh

520,117

20.2

18.4

22.2

6.4

Oakland

361.561

34.5

29.4

12.5

Chicago

3,366.957

32.7

28.2

28

16.5

80,386

43.6

36.7

41.7

11.5

Philadelphia

Wilmington

7

Source: Reports o f J o i n t C e n t e r f o r P o l i t i c a l S t u d i e s , W a s h i n g t o n , D . C . ''Total population figures from

1970 census.

V A P d e n o t e s " V o t i n g A g e Population." Figures for 1970. c

City c o u n c i l seats figures for 1 9 7 2 .

" B l a c k p o l i c e f i g u r e s f o r 197(1. 3 4 . T h e s e d a t a a r e f r o m J o i n t C e n t e r f o r Political S t u d i e s , Focus ( M a r c h

1973).

t a b l e s 1-11, p p . 4 - 5 . 35.

F o r a c a s e s t u d v o f t h e p o l i t i c s o f this d i l e m m a , s e e M a r t i n

K i l s o n , Political

Dilemmas of the Black Mayor: Carl Stokes in Cleveland, W a s h i n g t o n , D . C , J o i n t C e n t e r ( o r Political S t u d i e s , f o r t h c o m i n g .


259

ization in t h e 1970s t h a t at t h e p o i n t w h e r e the influence of antiw h i t e a c t i v i s m i s b e g i n n i n g t o a t t e n u a t e , o r a t least b e c o m i n g s u s c e p t i b l e t o p o l i t i c a l c o n t r o l b y t h e black p o l i t i c i a n class, a p o l i t i c i z e d white neo-ethnicity is evolving. Moreover,

this

convergence-in-time

of

politicized

black

and

w h i t e n e o - e t h n i c i t y h a s c o n s e r v a t i v e n a t i o n a l political i m p l i c a t i o n s . T h e r e a s o n s f o r t h i s a r e s e v e r a l . First, t h e t h r u s t o f a p o l i t i c i z e d black e t h n i c i t y i s basically a t t h e left o f t h e political s p e c t r u m ; a n d d u r i n g its f o r m a t i v e p h a s e , b e f o r e i t w a s h a r n e s s e d b y t h e n e w b l a c k p o l i t i c i a n class, i t w a s e v e n a n a r c h i s t i c , a s e v i d e n c e d b y t h e riots o f t h e late 1 9 6 0 s .

3 6

T h e neo-ethnicity of u r b a n whites, on the

o t h e r h a n d , i s basically c o n s e r v a t i v e . T h i s i s p a r t l y b e c a u s e t h e r e s o r t t o n e o - e t h n i c i t y reflects a d e s i r e o f m a n y u r b a n w h i t e s t o r e g a i n a f i r m e r s e l f - o r i e n t a t i o n i n a n e r a o f s h a r p societal s h i f t s , a s exemplified

by the spread of neo-ethnicity a m o n g Jews. At the

s a m e t i m e t h a t e n o r m o u s u p w a r d social m o b i l i t y h a s p l a c e d 8 0 p e r c e n t o f J e w s f i r m l y i n t h e m i d d l e classes—a p r o p o r t i o n w i t h o u t equal a m o n g American ethnic g r o u p s — m a n y Jews exhibit a strong n e e d for the identity-sustaining benefits of neo-ethnicity. It seems that, for J e w s at least, a cost of u p w a r d mobility has b e e n a g r o w t h in ethnic decomposition. For e x a m p l e , intermarriage of J e w s (especially m a l e s ) w i t h g e n t i l e s i s a t a n a l l - t i m e h i g h , a n d t h e J e w i s h s e p aration a n d divorce rate is high. For example, a sample retake of c e n s u s for B o s t o n b y t h e H a r v a r d - M I T J o i n t C e n t e r for U r b a n Studies found that there were m o r e Jewish female heads of households t h a n N e g r o . In this situation, neo-ethnicity has conservative implications; it is being cultivated by n u m e r o u s established Jewish organizations such as rabbinical associations, the A m e r i c a n Jewish Committee, the American Jewish Congress, some of which have t u r n e d t h e i r backs o n their liberal principles, o p p o s i n g for e x a m p l e a

p o p u l a r television

p r o g r a m about a Jewish and

Irish couple

( " B e r n i e L o v e s B r i d g e t " ) , t h e r e b y c a u s i n g its t e r m i n a t i o n . W h e n this p a t t e r n o f J e w i s h n e o - e t h n i c i t y i s c o m b i n e d w i t h t h a t o f o t h e r w h i t e e t h n i c g r o u p s a t t h e level o f n a t i o n a l p o l i t i c s — a s i t w a s d u r 36.

This is t r e a t e d in Martin Kilson, "Black Politics: A N e w P o w e r , " in I r v i n g

H o w e a n d M i c h a e l H a r r i n g t o n , e d s . , The Seventies: Problems and Proposals ( N e w York, H a r p e r & R o w . 1972).

260

Martin

Kilson

ing the 1972 presidential c a m p a i g n of R i c h a r d N i x o n — t h e result is a v e r i t a b l e n e o - c o n s e r v a t i v e political r e a l i g n m e n t . I n t h i s s i t u a t i o n , black neo-ethnicity a s s u m e s a new significance. NEO-ETHNICITY AND T H E NEOCONSERVATIVE

REALIGNMENT

Neo-ethnicity a m o n g u r b a n whites is in large part a r e s p o n s e to t h e relative political success of an e m e r g e n t black ethnicity. It is concentrated

in

marginal-income,

working-class,

lower

middle-

class, a n d e v e n s o m e m i d d l e - c l a s s city w h i t e s , w h o r e t a i n s o m e vestiges o f e t h n i c lifestyles, v a l u e s , a n d p e r c e p t i o n s .

3 7

T h e marginal-

i n c o m e city w h i t e s a r e e s p e c i a l l y c e n t r a l t o n e o - e t h n i c i t y , i n s o f a r a s they provide the s h a r p e s t core s u p p o r t for a f u n d a m e n t a l attribute of white neo-ethnicity—anti-Negro orientation. T h e y deny m o r e strongly than o t h e r whites the prevalence of deprivations a m o n g N e g r o e s (for e x a m p l e , only 46 p e r c e n t of m a r g i n a l - i n c o m e whites believe " N e g r o h o u s i n g worse t h a n whites," c o m p a r e d with 65 perc e n t o f all w h i t e s ) , a n d t h e y a r e m o r e likely t o a c c e p t t h e m o s t p r e j u d i c e d views o f b l a c k s a s h u m a n b e i n g s ( f o r e x a m p l e , 6 1 p e r cent believe " N e g r o e s smell different," c o m p a r e d with 52 p e r c e n t o f all w h i t e s ) . N e o - e t h n i c i t y a m o n g m a r g i n a l - i n c o m e city w h i t e s i s also r e l a t e d t o t h e h i g h d e g r e e o f a l i e n a t i o n t h e y s e e m t o d i s p l a y . T h e i r rate of alienation might even be higher than that of the N e g r o p o p u l a t i o n . F o r e x a m p l e , national d a t a for 1966 s h o w that 6 8 p e r c e n t o f l o w - i n c o m e w h i t e s felt t h a t " r i c h g e t r i c h e r , p o o r g e t p o o r e r , " c o m p a r e d w i t h 4 9 p e r c e n t o f N e g r o e s s h a r i n g this o u t l o o k a n d 4 8 p e r c e n t o f t h e t o t a l p o p u l a t i o n ; also 4 0 p e r c e n t o f lowi n c o m e w h i t e s felt t h a t " n o b o d y u n d e r s t a n d s p r o b l e m s I

have,"

c o m p a r e d w i t h 3 0 p e r c e n t o f N e g r o e s a n d 17 p e r c e n t o f t h e t o t a l public.

3 8

F u r t h e r m o r e , t h e r e i s s o m e e v i d e n c e t h a t a l i e n a t i o n i s h i g h also f o r s k i l l e d w o r k i n g - c l a s s a n d l o w e r m i d d l e class w h i t e city d w e l l e r s . T h u s a study of Wallace s u p p o r t e r s in 3 7 . Cf.

N a t h a n Glazer and

D a n i e l P.

1968 in Gary,

Indiana,

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

bridge. H a r v a r d University Press, a n d M I T Press, 1963). S e e also Mark R. Levy a n d M i c h a e l S . K r a m e r , The Ethnic Factor ( N e w Y o r k , S i m o n a n d S c h u s t e r , 1 9 7 2 ) .

3 8 . B r i n k a n d H a r r i s , Black and White, p. 1 3 5 .


261

f o u n d t h a t h i g h l y skilled w h i t e w o r k e r s i n t h e $7,500 t o $ 1 0 , 0 0 0 i n c o m e r a n g e h a d a distrustful or alienated outlook and "are in an e x t r e m e s t a t e o f r e l a t i v e d e p r i v a t i o n . " T h i s s i t u a t i o n s e e m s t o facilit a t e a t u r n t o n e o - e t h n i c i t y ( o n t h e p a r t o f s u c h w h i t e city d w e l l e r s ) a n d its s u b s e q u e n t p o l i t i c i z a t i o n . A s T h o m a s P e t t i g r e w , a h i g h l y p e r c e p t i v e social p s y c h o l o g i s t , h a s p u t it: " T h e b i t t e r i r o n y f o r o u r n a t i o n i s t h a t t h e s a m e p o w e r f u l social p s y c h o l o g i c a l m e c h a n i s m — relative d e p r i v a t i o n — i s l e a d i n g to racial strife on both sides of t h e c o l o r l i n e . B l a c k A m e r i c a n s typically r e g a r d t h e m s e l v e s a s v i c t i m s o f i n j u s t i c e w h e n t h e y c o m p a r e t h e i r still l a r g e l y low s t a t u s w i t h that of o t h e r A m e r i c a n s . Yet the white Wallace voters in G a r y s h a r e d m u c h t h e s a m e feeling. T h e y u n d e r s t a n d a b l y d e d u c e d f r o m all t h e p u b l i c i t y a b o u t civil r i g h t s g a i n s o f t h e p a s t d e c a d e t h a t N e g r o e s , i n c o n t r a s t w i t h t h e m s e l v e s , w e r e i n fact ' m a k i n g i t b i g . ' Yet t h e h a r d t r u t h is that most blacks a r e n o t ' m a k i n g i t ' — i n d e e d do not as a g r o u p a p p r o a c h the position of the t h r e a t e n e d Wallacites." 3 9

M o r e o v e r , a w h i t e political l e a d e r s h i p w i l l i n g t o a r t i c u l a t e t h i s position has b e e n central to the politicization of neo-ethnicity a m o n g w h i t e city d w e l l e r s . A l t h o u g h s o m e f o r m o f e t h n i c i t y h a s a l w a y s b e e n p r e s e n t in city politics, w h a t I call n e o - e t h n i c i t y is u n i q u e b e c a u s e o f t h e traditionalislic aura a s s o c i a t e d w i t h it i n a n e r a o f s h a r p s o c i e t a l shifts. N u m e r o u s s t u d i e s o f m o d e r n i z a t i o n a r o u n d t h e w o r l d h a v e d e m o n s t r a t e d t h e political i m p o r t a n c e o f t r a d i t i o n a l i s m i n p e r i o d s o f r a p i d social c h a n g e . " M o d e r n m a n is, a f t e r all, p a r t i c u l a r l y v u l n e r a b l e i n m a t t e r s o f i d e n t i t y , a n d p e r i o d s o f rapid c h a n g e intensify the p r o b l e m . A m e r i c a n s , after 25 years of e x t r a o r d i n a r y s o c i e t a l shifts, y e a r n f o r c o n n e c t i o n s with t h e p a s t — the m o o r i n g s of identity. For both blacks a n d whites neo-ethnicity has b e c o m e the m e d i u m of such retrieval of the traditional sources of identity, a n d thus a greater sense of personal worth. Paradox4

39. T h o m a s F. Pettigrew, "Ethnicity in A m e r i c a n Life: A Social-Psychological P e r s p e c t i v e , " in O t t o F e i n s t e i n , ed... Ethnic Groups in the City ( L e x i n g t o n , M a s s . , D. C. H e a t h , 1971). p. 35. 4 0 . Cf. L l o y d I . R u d o l p h a n d S u s a n n e R u d o l p h , The Modernity o f Tradition ( C h i c a g o , U n i v e r s i t y of C h i c a g o P r e s s , 1 9 6 7 ) ; M a r t i n K i l s o n , Political Change in a West

African

State.

262

Martin

ically, nicity

the is

political than

new

black

conservative. mobilization

politics.

ethnicity But

is

both,

ethnicity

H e r e i n lies

reformist

in

thrust,

alas,

are

militant:

is

curiously

while for

Kilson

the as

new

an

white

instrument

metapolitical—something

ethof more

t h e d a n g e r o f neo-ethnicity in A m e r i c a n

p o l i t i c a l l i f e — a d a n g e r still p o o r l y a p p r e c i a t e d b y s o m e l i b e r a l social s c i e n t i s t s .

41

S o m e of t h e best data illustrative of t h e modalites of n e o - e t h nicity i n city politics a r e f o u n d i n t h e s t u d y b y t h e H a r v a r d p o l i t i c a l scientist William S c h n e i d e r of t h e political a t t i t u d e s of 6 0 0 J e w i s h voters in New York's

1973 Democratic mayoralty primary. T h e

h a r d - c o r e J e w i s h s u p p o r t e r s of M a r i o Biaggi, a N e w Y o r k State ass e m b l y m a n w h o has e m e r g e d as a l e a d i n g s p o k e s m a n for white n e o - e t h n i c i t y i n city politics, w e r e typically o l d e r , p o o r e r , a n d less e d u c a t e d t h a n t h e typical J e w i s h voter. F o r e x a m p l e , 5 3 p e r c e n t were in the 3 0 - 6 0 years age g r o u p , 17 percent had incomes below $ 1 0 , 0 0 0 a n d 4 0 p e r c e n t n e v e r a t t e n d e d college. Biaggi s u p p o r t e r s also d i s p l a y e d a m i l i t a n t a p p r o a c h t o n e o - e t h n i c i t y , i n c l u d i n g a n a n t i - N e g r o o r i e n t a t i o n . T h u s s o m e 6 2 p e r c e n t o f Biaggi's J e w i s h s u p p o r t e r s b e l i e v e d t h e city g o v e r n m e n t i s d o i n g t o o m u c h f o r blacks a n d minorities; 8 4 p e r c e n t s u p p o r t e d the militant d e m o n strations against low-income F o r e s t Hills d i s t r i c t ;

public housing in

the middle-class

a n d 90 p e r c e n t s u p p o r t e d the boycotts by

C a t h o l i c a n d J e w i s h p a r e n t s a n d p u p i l s o f s c h o o l s s l a t e d f o r integration in the Canarsie school district. 41.

I

d r a w a t t e n t i o n to this d a n g e r in

42

my c h a p t e r "Political C h a n g e in t h e

N e g r o G h e t t o , 1 9 0 0 - 1 9 4 0 s , " i n H u g g i n s , K i l s o n , F o x , e d s . , Key Issues i n the AfroAmerican Experience, p . 1 9 2 . N o t i n g t h a t s o m e s o c i a l s c i e n t i s t s a t t e m p t t o d e i f y e t h n i c i t y i n A m e r i c a n l i f e , 1 o b s e r v e t h a t " S u r e l y , in t h e f o r m o f w h i t e r a c i s m t o w a r d blacks since the e n d of Reconstruction, ethnicity can be e v a l u a t e d as n o t h i n g o t h e r than a d e a d l y force: an albatross, or worse, a r o u n d the neck of A m e r i c a n society. T o d a y e t h n i c i t y , i n the h a n d s o f a n e w set o f N e g r o l e a d e r s — b e n t like their Irish, Polish, J e w i s h , Italian historical c o u n t e r p a r t s o n t h e e t h n i c r e d r e s s o f differentials b e t w e e n s u b o r d i n a t e and s u p e r o r d i n a t e g r o u p s — m i g h t well lead to p r o f o u n d political c r i s i s a t m a n y l e v e l s o f t h e A m e r i c a n p o l i t i c a l s y s t e m . " O n t h e d e i f i c a t i o n o f ethnicity i n A m e r i c a n politics, s e e A n d r e w N . Greeley, " T u r n i n g O f f ' T h e People': T h e W a r a n d W h i t e E t h n i c G r o u p s , " New Republic ( J u n e 2 7 ,

1970), pp.

14-16. See

a l s o M i c h a e l N o v a k , The Rise of the Unmeltable Ethnics ( N e w Y o r k . M a c m i l l a n , 1 9 7 2 ) . 42. T h e s e data are reported in

Richard

New York ( J u n e 1 8 , 1 9 7 3 ) , p p . 5 7 - 6 3 .

Reeves, "Splitting the

Jewish

Vote,"

263


B u t t h e a n t i - N e g r o i d e o l o g y i n t h e political a p p e a l o f w h i t e n e o e t h n i c i t y e n a b l e s i t t o c u t a c r o s s social class a n d g e n e r a t i o n l i n e s , m o b i l i z i n g s u p p o r t o u t s i d e its c o r e g r o u p o f s u p p o r t e r s . T h u s a n o t h e r 54 p e r c e n t of Biaggi's Jewish s u p p o r t e r s h a d between $10,000 a n d $20,000 i n c o m e a n d 35 p e r c e n t were u n d e r 30 years of age. F u r t h e r m o r e , the s t r e n g t h of the ideological e l e m e n t in the appeal o f w h i t e n e o - e t h n i c i t y i s u n d e r l i n e d b y t h e fact t h a t a l t h o u g h 6 5 percent of the Jews in Schneider's survey were characterized as "liberal"

4 3

m o r e t h a n h a l f (52 p e r c e n t ) o f t h e " l i b e r a l s " s u p p o r t e d

t h e d e m o n s t r a t i o n s a g a i n s t p u b l i c h o u s i n g i n F o r e s t Hills a n d 51 p e r c e n t of these backed the Canarsie school boycotts. T h e conservatism of Jewish voters in New York's

1973 D e m o -

cratic m a y o r a l p r i m a r y election c o n t r a s t e d strikingly with J e w i s h ideological a n d political p r e f e r e n c e s o f a d e c a d e a e o . T h e G a l l u p O

i

l

survey d o n e for Lloyd Free a n d H a d l e y Cantril in 1964 f o u n d that 8 3 p e r c e n t o f A m e r i c a n J e w s p o l l e d ( l a r g e l y r e s i d e n t i n N e w Y'ork State) h a d an "ideological-liberal" p r e f e r e n c e a n d 90 p e r c e n t an " o p e r a t i o n a l - l i b e r a l " p r e f e r e n c e ( t h a t is, t h e y d i d n o t b e l i e v e t h e federal g o v e r n m e n t had too m u c h power).

4 4

Both Catholics a n d

P r o t e s t a n t s r a n k e d significantly below J e w s in these p r e f e r e n c e s : 65 p e r c e n t of Catholics favored an ideological-liberal a n d 77 p e r c e n t a n o p e r a t i o n a l - l i b e r a l view; 4 2 p e r c e n t o f P r o t e s t a n t s favored t h e f o r m e r a n d 60 p e r c e n t the latter. T h u s if the Schneider survey d u r i n g t h e 1973 N e w Y o r k City m a y o r a l p r i m a r y indicates a t r e n d that can be projected for Jews a n d o t h e r whites, neo-conservatism is rising s h a r p l y . C O N C L U S I O N : FISSION AND FUSION The life

ultimate

today

tifaceted

might

paradox well

surrounding

be

that

neo-conservatism—carefully

as

neo-ethnicity white

orchestrated

neo-ethnicity at

the

in

American

evolves national

into level

political a by

multhe

4 3 . T h e " l i b e r a l s " i n t h e s u r v e y w e r e t h o s e w h o r e p l i e d " n o t e n o u g h " o r "just a b o u t r i g h t " t o t h e q u e s t i o n "Is t h e c i t y g o v e r n m e n t d o i n g t o o m u c h f o r m i n o r i t y groups?"

F o r t y - t w o p e r c e n t r e s p o n d e d " n o t e n o u g h , " a n d 2 2 p e r c e n t s a i d "just

about right." Reeves, "Splitting the Jewish Vote," p. 6 3 . 44. Lloyd

A.

Free

and

H a d l e y C a n t r i l , The Political Belief

Brunswick, N.J., Rutgers University Press, 1968), pp. 1 4 8 - 1 4 9 .

o f Americans

(New

264

^

Republican tancy

f

party—politics

and

anti-white

u

.

of

black

orientation.

The

'

ethnicity

web

Martin

is

of

KikoTi

'

c

de-emphasizing

.

mili-

contradictions

within

w h i c h b l a c k e t h n i c i t y F u n c t i o n s s u g g e s t s this s c e n a r i o . T h e p r o p o r t i o n o f b l a c k s p r e f e r r i n g h o u s i n g i n racially m i x e d n e i g h b o r h o o d s increased from 64 p e r c e n t in 1963 to 74 p e r c e n t in 1970, the years of the m a t u r a t i o n o f ^ e o - e t h n k j t ^ a m o n g Negroes. A s i m i l a r p a t t e r n p r e v a i l e d f o r a n o t h e r basic a r e a i n b l a c k - w h i t e int e r a c t i o n — t h e j o b m i l i e u . N e g r o p r e f e r e n c e f o r a racially m i x e d j o b milieu increased from 76 to 82

percent between

1963 a n d

1969, a n d t h e middle-class p r e f e r e n c e (86 p e r c e n t ) is s o m e w h a t s t r o n g e r t h a n t h e total b l a c k p r e f e r e n c e . What white

these

data

polarization

revitalization, level—or,

this rather,

suggest

related process a

is

that

to

the

nearly

a

movement

not

perfectly

continuous

proportion

of

is

significant

despite ideological

Negroes

decade

do

of

of at not

marked

black the wish

black-

ethnocentric institutional it

to

40

be.

D a t a f o r 1 9 6 9 t h r o u g h late 1 9 7 2 i l l u s t r a t e this c o n c l u s i o n , a s s h o w n in T a b l e 9, r e v e a l i n g a s h a r p decline in N e g r o p e r c e p t i o n of disc r i m i n a t i o n i n all m a j o r s p h e r e s o f b l a c k - w h i t e i n t e r a c t i o n . F o r e x ample, in

1969 some 83

percent of Negroes

felt d i s c r i m i n a t e d

against in h o u s i n g c o m p a r e d with 66 p e r c e n t in late 1972. It would s e e m t h a t as t h e m o v e m e n t of black e t h n o c e n t r i c revitalization realizes social b e n e f i t s for b l a c k s , t h e p l u r a l i s t p r e s s u r e s o f A m e r i c a n society f u n c t i o n as a c o u n t e r w e i g h t to l o n g - r u n N e g r o a n t a g o n i s m t o w a r d whites. T h i s t e n d e n c y t o w a r d fusion has b e e n o b s e r v e d in o t h e r h i s t o r i c a r e a s o f conflict i n A m e r i c a n s o c i e t y , a s R o b e r t D a h l h a s d e m o n s t r a t e d i n r e g a r d t o b o t h e t h n i c a n d class conflict i n N e w Haven

(late

nineteenth

to

middle

twentieth

century)

w ^ J a n g - c l a s s Catholics (Irish) a n d patrician W A S P s .

involving

4 6

I Yetjthe s h a r p e n i n g of e t h n i c p e r c e p t i o n s in black-white relations i s o n t h e i n c r e a s e a n d i s likely t o r e m a i n so. I n a d d i t i o n t o t h e p o w erful forces of relative d e p r i v a t i o n a m o n g working-class a n d lower m i d d l e - c l a s s w h i t e city d w e l l e r s a n d t h e p o l i t i c i z a t i o n o f n e o - e t h 4 5 . Cf. M a r t i n K i l s o n , " D y n a m i c s o f N a t i o n a l i s m a n d Political Militancy A m o n g N e g r o A m e r i c a n s , " in E r n e s t Q. C a m p b e l l , e d . , Racial Tonions and National Identity (Nashville, Vanderbilt University Press, 1972), pp. 1 1 1 - 1 1 2 . 4 6 . S e e R o b e r t A.

D a h l , Who Governs? Democracy and Power in an American City

( N e w H a v e n , Yale University Press, 1961), esp. chaps. 5-6.

^

Table

9.

Let m e ask y o u a b o u t s o m e specific a r e a s o f life i n A m e r i c a .

F o r e a c h , tell m e if v o u t h i n k b l a c k s a r e d i s c r i m i n a t e d a g a i n s t i n t h a t a r e a o r n o t (by p e r c e n t ) Late Discriminated against in

1972

1969

Getting decent housing Nationwide

52

50

Whites

51

46

Blacks

66

83

G e t t i n g full e q u a l i t y Nationwide

44

47

Whites

40

43

Blacks

72

83

Getting white-collar jobs Nationwide

41

42

Whites

40

44

Blacks

68

82

G e t t i n g skilled labor j o b s Nationwide

42

40

Whites

40

35

Blacks

66

83

Way treated as h u m a n beings Nationwide

41

39

Whites

38

35

Blacks

64

77

Nationwide

33

38

Whites

31

35

Blacks

44

68

Getting into hotels, motels

Getting quality education in public schools Nationwide

32

28

Whites

29

23

Blacks

53

72

Nationwide

30

26

Whites

28

22

Blacks

47

64

Nationwide

29

25

Whites

25

19

Blacks

66

76

Nationwide

26

27

Whites

22

22

Blacks

61

78

Nationwide

23

22

Whites

20

18

Blacks

35

51

Getting into labor u n i o n s

Way treated by police

Wages paid

Getting manual labor jobs

Source:

The Harris Survey ( D e c e m b e r

1972).

266

Martin

Kilson

nicity w i t h i n this c o n t e x t , it is t h e R e p u b l i c a n p a r t y ' s s t r a t e g y for a neo-conservative life.

47

majority

Ideologically,

the

that sustains Nixon

neo-ethnicity in

administration

was

political neo-racist

insofar as it m a n i p u l a t e d negative symbols associated with white p e r c e p t i o n s of blacks.

Politically, i t w a s w i l l i n g t o g o a s f a r a s

violating the d o c t r i n e of separation of c h u r c h a n d state in o r d e r to cultivate

s u p p o r t a m o n g Catholics

and Jews,

whose

leadership

s e e k s g o v e r n m e n t f u n d s for f l e d g l i n g r e l i g i o u s s c h o o l s . M a n y liberal intellectuals, exhibiting a strong p e r f e r e n c e for normalcy after 2 5 y e a r s o f e x t e n s i v e societal shifts, a r e q u i c k t o flirt w i t h t h i s n e o conservatism,

l e n d i n g it intellectual

respectability.

48

I t is, t h e n ,

i r o n i c t h a t a s t h e black e t h n i c i n p u t i n t o t h e politics o f n e o - e t h nicity a t t e n u a t e s , o t h e r f o r c e s e m e r g e t o s u s t a i n it. Politics is, n o d o u b t , k n o w n f o r its b i t t e r i r o n i e s . B u t t h e politics o f r a c e a n d e t h nicity in A m e r i c a is p a r t i c u l a r l y s t u b b o r n in this r e g a r d . change,

plus

4 7 . Cf.

c'est Kevin

la

mime

P.

Plus

(a

chose.

Phillips,

The

Emerging

Republican

Majority

(New

Rochelle,

Ar-

lington H o u s e , 1969). 48. chial

S e e , for e x a m p l e , S e y m o u r Martin Lipset's d e f e n s e o f public f u n d s f o r p a r o schools

Jewish Committee

in

S.

(New

M.

L i p s e t , Group Life in America: A

York,

1972),

pp.

79-81.

Task Force Report of the American

This and

other neo-conservative

implications of the report are debated in the a p p e n d i x by other intellectuals w h o participated in the T a s k Force, i n c l u d i n g myself. Ibid., p p . 1 0 2 - 1 1 1 . S e e also N o v a k , Rise

of the

Unmeltable

Ethnics.

9 J O H N PORTER

Ethnic Pluralism in Canadian Perspective

C a n a d a , like t h e U n i t e d S t a t e s a n d many o t h e r societies a r o u n d t h e w o r l d , h a s b e e n e x p e r i e n c i n g a revival o f e t h n i c i t y . T h e r e a s o n s f o r this w o r l d p h e n o m e n o n a r e many a n d c o m p l e x . I n p a r t i t can be t r a c e d to the p o s t - W o r l d W a r II decolonization which was s o o f t e n b i t t e r l y f o u g h t o v e r , a s i n Algeria, f o r e x a m p l e , w h e r e a h e i g h t e n e d c o n s c i o u s n e s s o f r a c i a l a n d ethnic d i f f e r e n c e s , b e y o n d t h e visibility o f c o l o r , w a s a p a r t o f t h e d e m a n d f o r i n d e p e n d e n c e a n d s e l f - d e t e r m i n a t i o n . I n e a s t e r n E u r o p e , socialist societies w e r e a l l e g e d l y s u p p r e s s i n g t h e n a t i o n a l cultures t h a t lay w i t h i n t h e i r b o r d e r s , a situation which e m i g r e s sought to c o u n t e r a c t by enlisting t h e i r fellow c o u n t r y m e n a n d s o m e t i m e s t h e d e s c e n d a n t s o f p r e vious g e n e r a t i o n s in a national movement in exile. T h e escalation o f t h e V i e t n a m w a r was i n t e r p r e t e d i n many p a r t s o f t h e w o r l d a s the U n i t e d States taking over from the retreating E u r o p e a n powers t h e r o l e o f w h i t e d o m i n a t i o n t h r o u g h force i n t h e affairs o f t h e world. I n t h e U n i t e d S t a t e s a h i g h l y visible d e p r i v e d m i n o r i t y was n o t s h a r i n g i n t h e a f f l u e n c e t h a t t h e society w a s s u p p o s e d t o h a v e p r o d u c e d . I n C a n a d a , s i m i l a r l y , t h e French h a d b e e n d e n i e d m u c h o f t h e o p p o r t u n i t y a n d h a d c a r r i e d a good d e a l o f t h e cost i n less e d u c a t i o n a n d l o w e r p a i d j o b s — l o w e r , t h a t is, t h a n s o m e i m m i g r a n t g r o u p s that were c o m i n g in near the b o t t o m — o f C a n a d a ' s take-off as an industrial society. T h e d e m a n d by s o m e intellectuals i n F r e n c h C a n a d a t h a t s o m e t h i n g b e d o n e a b o u t this i n e q u a l i t y l e d

268

John

Porter

to t h e e s t a b l i s h m e n t in 1963 of t h e Royal C o m m i s s i o n on Bilingualism a n d B i c u l t u r a l i s m . C a n a d a w a s c a u g h t u p i n a g l o b a l m o v e m e n t a n d a l t h o u g h all t h e e x a m p l e s o f t h e w o r l d - w i d e revival o f e t h n i c i t y c a n b e s t b e u n d e r s t o o d w i t h i n t h e i r o w n local a n d h i s t o r i c a l c o n t e x t s , t h e y h a v e , t h r o u g h m o d e r n c o m m u n i c a t i o n s a n d c o m m o n intellectual leadership, b e c o m e mutually s u p p o r t i v e . F a n o n b e c o m e s widely r e a d in Quebec and

Wounded

Knee

takes on

symbolic

significance

far

beyond South Dakota. O n e f e a t u r e o f this e t h n i c revival c o m m o n t o t h e t w o m o d e r n s o c i e t i e s o f N o r t h A m e r i c a is, t h e n , t h e d e p r e s s e d s t a t u s o f a l a r g e minority g r o u p , but there are three important respects in which the C a n a d i a n situation differs from that in the U n i t e d States. In C a n a d a the deprived ethnic g r o u p that is large e n o u g h to have a political i m p a c t i s w h i t e a n d h e n c e e t h n i c i t y d o e s n o t h a v e t h e w i d e visibility t h a t i t h a s a c r o s s t h e b o r d e r . H o w e v e r , t h e r e i s t h e b a r r i e r of l a n g u a g e w h i c h can o p e r a t e as effectively as color d i f f e r e n c e s to r e d u c e friendly interaction b e t w e e n g r o u p s . If p e o p l e from two g r o u p s c a n n o t c o m m u n i c a t e , as is t h e case in C a n a d a w h e r e t h e F r e n c h a n d E n g l i s h h a v e b e e n effectively o u t o f c o m m u n i c a t i o n with each o t h e r , t h e n t h e l a n g u a g e division is as real as that of color. T h e l o n g - s t a n d i n g hostility o f s o m a n y o f t h e E n g l i s h i n C a n a d a t o l e a r n i n g F r e n c h i s a n a l o g o u s t o t h e hostility t o w a r d b l a c k n e s s that has m a r k e d black-white relations. In both cases t h e psychological e l e m e n t s a r e d e e p - l a y e r e d , all t h e m o r e s o b e c a u s e A n g l o p h o n e s i n C a n a d a , like w h i t e s i n t h e U n i t e d S t a t e s , a r e t h e d o m i nant

majority

in

both

numbers

and

power.

Occasionally

the

psychological tensions of color may be invoked by referring to the F r e n c h as "les n e g r e s blancs d ' A m e r i q u e . "

1

S u c h s y m b o l i s m , h o w e v e r d r a m a t i c , i s scarcely a p p r o p r i a t e b e cause of the second major difference between these

two plural

societies o f N o r t h A m e r i c a . T h a t d i f f e r e n c e i s t h a t s o m e F r e n c h C a n a d i a n s have enjoyed high status a n d p o w e r in collaboration with 1.

English-speaking Canadians

and

foreign

investors,

largely

T h e title o f a w i d e l y r e a d b o o k b y P i e r r e V a l l i e r e s , E d i t i o n s Parti Pris, M o n -

t r e a l , 1 9 6 8 . R e p r i n t e d a s White Niggers o f America ( T o r o n t o , M c C l e l l a n d a n d S t e w art, 1 9 7 1 ) .

Ethnic Pluralism in Canada

269

U n i t e d States c o r p o r a t i o n s . C a n a d a has h a d t h r e e F r e n c h p r i m e ministers

and

two

French

governors-general

as

titular

head of

state. M o r e o v e r , in Q u e b e c the F r e n c h have power. T h e r e has never

been

an

English

premier

of Quebec.

ministre

This

seeming

contradiction between being a large deprived minority within Cana d a a n d having representatives in the structure of power can be e x p l a i n e d i n t e r m s o f t h e class s t r u c t u r e o f F r e n c h C a n a d a w h i c h u n t i l r e c e n t l y h a s b e e n p r e m o d e r n , w i t h a n a r r o w b a n d o f classically e d u c a t e d elites a n d m e m b e r s o f t h e l e a r n e d p r o f e s s i o n s a t the top, a n d a mass of poorly educated at the bottom who increasi n g l y left a r u r a l way o f life f o r t h e i n d u s t r i a l i z e d cities. I t w a s a n A m e r i c a n a n d a n " a d o p t e d " C a n a d i a n , E . C. drew attention tion,

o r as

its

to

this

French

phenomenon title

says,

in

Rencontre

his de

Hughes, who first French

deux

Canada

mondes.

in

Transi-

2

B y a n d l a r g e t h e F r e n c h elites o f c h u r c h a n d s t a t e h a v e b e e n p r e p a r e d to collaborate in the federal state, a l t h o u g h in d o i n g so they h a v e exacted a price which h a s given a particular s h a p e to C a n a d i a n federalism a n d has generally served the interests of the class f r o m w h i c h t h e y c a m e r a t h e r t h a n t h e i n t e r e s t s o f Q u e b e c s o ciety a s a w h o l e . T h e s t r o n g e s t o f t h e i n t e l l e c t u a l critics will a r g u e that the

F r e n c h elites o f Q u e b e c h a v e a i d e d its c o l o n i z a t i o n b y

English-speaking Canadians and Americans.

3

Whether or not one

a g r e e s w i t h s u c h s t r i c t u r e s t h e r e i s little t o b e said a g a i n s t t h e n o tion, w h a t e v e r t h e b e h a v i o r of t h e i r elites, t h a t F r e n c h C a n a d i a n s within t h e global context of C a n a d i a n society, until recently, w e r e an " e t h n i c class" of d e p r i v e d s t a t u s .

4

T h e third and perhaps the most important difference between 2 . L e s e d i t i o n s d u b o r e a l e x p r e s s . M o n t r e a l , 1 9 7 2 . T h e o r i g i n a l i s French Canada i n Transition

( C h i c a g o , University of C h i c a g o Press,

3. See, for e x a m p l e . Sheilagh

1943).

H o d g i n s M i l n e r a n d H e n r y M i l n e r , The Decoloni-

zation o f Quebec ( T o r o n t o . M c C l e l l a n d a n d S t e w a r t , 1 9 7 3 ) . 4. T h e

idea

of

French

Canadians

as

an

ethnic

class

was first discussed

by

Jacques D o f n y and Marcel Rioux in a 1962 p a p e r reprinted in Marcel Rioux and Y v e s M a r t i n , French-Canadian Society ( T o r o n t o , M c C l e l l a n d a n d S t e w a r t . "Social

Class

in

French

Canada."

There

has

b e e n criticism,

1964), as

particularly

from

Marxist writers, o f t h e " d u b i o u s m e t a p h o r " o f a n e t h n i c class. S e e S t a n l e y B. Ryerson, "Quebec:

C o n c e p t s of Class a n d

the National Question i n Canada

N a t i o n , " i n G a r y T e e p i e . e d . , Capitalism and

( T o r o n t o , U n i v e r s i t y of T o r o n t o P r e s s ,

1972).

In

the s a m e v o l u m e s e e also Gilles B o u r q u e a n d N i c o l e L a u r i n - F r e n e t t e , "Social Class and National Ideologies in Quebec."

270

John

Porter

C a n a d a a n d t h e U n i t e d States in the s p h e r e of ethnicity is that French

Canadians,

concentrated

as

they are

in

Quebec

where

a b o u t 8 0 p e r c e n t o f t h e m live, h a v e t e r r i t o r y o r a h o m e l a n d w h i c h w a s c o n q u e r e d , a h i s t o r i c a l a n d i m m e n s e l y s y m b o l i c fact w h i c h m a k e s s o m e s e n s e a n d gives a n i m p e t u s t o a s e p a r a t i s t m o v e m e n t for an eventual French-speaking state of Q u e b e c as the visionary s o l u t i o n t o t h e d e p r i v e d s t a t u s t h a t t h e F r e n c h a s a n e t h n i c class h a v e e x p e r i e n c e d . I t s h o u l d b e r e m e m b e r e d also t h a t t h e F r e n c h a r e a l a r g e m i n o r i t y within C a n a d i a n society, c o m p r i s i n g a b o u t t h r e e t e n t h s o f t h e p o p u l a t i o n , a d e m o g r a p h i c fact t h a t m a k e s s u c h a solution as

the "equal

Royal Commission on

partnership"

r e c o m m e n d a t i o n s by the

Bilingualism a n d Biculturalism a possible

r e s o l u t i o n o f t h e c u r r e n t t e n s i o n s . B u t t h e s a m e d e m o g r a p h i c fact of n u m b e r s

combined

with

the

concentration

in

a "homeland"

m a k e s t h e s e p a r a t i s t s o l u t i o n also p o s s i b l e . FRENCH-ENGLISH RELATIONS: AN ASSESSMENT T h e wide-ranging examination from

1963 to

1968 of F r e n c h -

English relations by the Bilingualism C o m m i s s i o n took place over the

same period

a s official a n d

unofficial inquiries w e r e b e i n g

m a d e in the U n i t e d States on the c o n d i t i o n of n o n - w h i t e minorities a n d of increasing violence in i n t e r e t h n i c relations. Even t h o u g h in C a n a d a violence has b e e n m i n i m a l , t h e Royal C o m m i s s i o n f o u n d t h e f u t u r e o f t h e society itself i n q u e s t i o n a n d s u g g e s t e d t h a t w i t h o r w i t h o u t v i o l e n c e , C a n a d a h a d a f a r g r e a t e r p r o b l e m i n t h e solut i o n o f its i n t e r e t h n i c t e n s i o n s t h a n h a d a n y o t h e r m o d e r n society. In a preliminary r e p o r t in 1965 t h e commission h a d said, "Cana d a , w i t h o u t b e i n g c o n s c i o u s o f t h e fact, i s p a s s i n g t h r o u g h t h e g r e a t e s t crisis in its h i s t o r y . " o f s e v e r a l v o l u m e s o f its

Report.

5

T h i s view w a s r e i t e r a t e d in t h e first C a n a d a w a s f a c i n g a n a t i o n a l crisis,

a time w h e n , the commission said, "Decisions m u s t be taken a n d d e v e l o p m e n t s m u s t o c c u r l e a d i n g e i t h e r t o its b r e a k - u p , o r a n e w set o f c o n d i t i o n s f o r its f u t u r e e x i s t e n c e . " 5. A

Preliminary Report of the Royal Commission

6

F o r all t h e v i o l e n c e i n

on Bilingualism and Biculturalism

(Ottawa, Q u e e n ' s Printer, 1965), p. 13.

6. Report of the Royal Commission on Bilingualism and Biculturalism, B o o k I, The Off i c i a l Languages ( O t t a w a , Q u e e n ' s P r i n t e r , 1 9 6 7 ) . p . x v i i .


271

t h e U n i t e d S t a t e s , o r t o t a k e a n o t h e r m o d e r n society, f o r all t h e s u p p r e s s i o n in S o u t h Africa, it is doubtful that similar commissions would come to such gloomy conclusions about the future of their societies. It is not my intention exhaustively to review h e r e the relations between the English a n d the French in C a n a d a . T h e y have involved v a r y i n g d e g r e e s o f h o s t i l i t y a n d c o o p e r a t i o n since t h e E n g l i s h c o n quest of 1759 a n d have been t h e major preoccupation of C a n a d i a n history,

politics,

hundred

years.

and With

sociological my

rather

investigation optimistic

for

over

observations

two about

F r e n c h - E n g l i s h relations since t h e Royal Commission's r e p o r t a n d a brief discussion of C a n a d a ' s non-English, n o n - F r e n c h g r o u p s I i n t e n d r a t h e r t o s e r v e t h e m o r e g e n e r a l p u r p o s e o f critically e x a m i n i n g t h e r e v i v a l o f e t h n i c i t y i n m o d e r n societies. In r e s p o n s e to t h e r e c o m m e n d a t i o n s of the Royal C o m m i s s i o n for "equal p a r t n e r s h i p " a n d "institutional bilingualism," the federal g o v e r n m e n t e m b a r k e d o n a s e r i e s o f policies t o i m p r o v e t h e p o s i tion of the French a n d the F r e n c h language in those agencies a n d i n s t i t u t i o n s w i t h i n its j u r i s d i c t i o n .

7

Bilingualism within the federal

public service i m p r o v e d . T h e F r e n c h b e c a m e better r e p r e s e n t e d t h a n f o r m e r l y w i t h i n t h e h i g h e r levels o f t h e b u r e a u c r a c y . O t t a w a b e g a n slowly t a k i n g o n t h e a s p e c t o f a b i l i n g u a l n a t i o n a l c a p i t a l . Much

money

was s p e n t o n l a n g u a g e t r a i n i n g a n d

8

grants were

m a d e t o p r o v i n c i a l g o v e r n m e n t s t o i m p r o v e t h e i r p r o v i s i o n o f seco n d l a n g u a g e e d u c a t i o n . T h e f e d e r a l g o v e r n m e n t s a w itself a s c o n s t i t u t i o n a l l y r e s p o n s i b l e f o r s a f e g u a r d i n g t h e two official l a n g u a g e s even t h o u g h language, because it is the principal m e a n s of cultural expression, would normally be considered a provincial responsibility. S i n c e t h e R o y a l C o m m i s s i o n ' s s o m b e r a c c o u n t s i t i s b e c o m i n g inc r e a s i n g l y likely t h a t a n a d a p t i v e a n d f l e x i b l e f e d e r a l s y s t e m c a n 7 . T h e m a i n i n s t r u m e n t w a s t h e O f f i c i a l L a n g u a g e s A c t o f 1 9 6 9 , Statutes o f Canada,

1 7 - 1 8 Elizabeth II, C h a p t e r II.

8 . O n e o f t h e p r o v i s i o n s o f the Official L a n g u a g e s Act o f 1 9 6 9 was t h e a p p o i n t m e n t o f a C o m m i s s i o n e r o f O f f i c i a l L a n g u a g e s w h o s e task w a s t o e n s u r e c o m p l i a n c e with t h e spirit a n d i n t e n t o f t h e act. O n t h e w h o l e his a n n u a l r e p o r t s ( I n f o r m a t i o n C a n a d a , O t t a w a ) h a v e t e n d e d t o b e critical o f t h e r a t e o f p r o g r e s s t o w a r d the o b j e c t i v e s of the act.

John

272

Porter

c o m e a b o u t . P e r h a p s this i s p o s s i b l e b e c a u s e o n t h e m a t t e r o f p o l i t i cal a n d c o n s t i t u t i o n a l s o l u t i o n s c o n c e r n i n g t h e F r e n c h a n d Q u e b e c w i t h i n c o n f e d e r a t i o n , t h e Royal C o m m i s s i o n literally g a v e u p t h e g h o s t a n d failed t o c o m p l e t e its j o b . T h e e v o l v i n g C a n a d i a n f e d e r a l ism o f t h e last few y e a r s i s n o t w i t h o u t its p r o b l e m s f o r n a t i o n b u i l d i n g , b u t n e i t h e r is it c o n f i n e d to a r i g i d b l u e p r i n t . According to some Anglo-Canadians the concessions m a d e to Q u e b e c p a r t i c u l a r l y i n social w e l f a r e l e g i s l a t i o n a p p e a r t o c o m e close t o p r o v i d i n g a s p e c i a l s t a t u s f o r t h a t p r o v i n c e . S o m e w h a t t h e reverse has h a p p e n e d , however. As an o u t c o m e of ingenious diplom a c y o n t h e p a r t o f f e d e r a l a n d p r o v i n c i a l b u r e a u c r a t s a n d politic i a n s , all t h e o t h e r p r o v i n c e s a r e b e c o m i n g m o r e like Q u e b e c , t h e final a n d ironic o u t c o m e of the insistence of the F r e n c h that Q u e bec was

not a

province

comme

les

autres.

T h e lessening of federal

p o w e r p a r t i c u l a r l y in a w i d e r a n g e of social policy c a n be s e e n as a loss o f t h e ability t o e s t a b l i s h n a t i o n a l g o a l s a n d a s a p r o c e s s o f d e centralization. M u c h o f t h e c h a n g e c a n b e a t t r i b u t e d t o F r e n c h political l e a d e r s a n d an intellectually s t r e n g t h e n e d provincial b u r e a u c r a c y in Q u e bec w h o w e r e d e t e r m i n e d t o d o s o m e t h i n g a b o u t t h e d e p r i v e d status of the F r e n c h . T h e y were m o r e conscious of the n e e d for social a n d e d u c a t i o n a l r e f o r m s t h a n w e r e e a r l i e r e l i t e s . T h u s , a s i n the past, the F r e n c h have c o n t i n u e d to exercise g r e a t p o w e r in the s h a p i n g o f C a n a d i a n federalism. O t h e r provincial political l e a d e r s and bureaucrats are enjoying the e n h a n c e d power that Quebec has won for the provinces as the federal g o v e r n m e n t has b e c o m e enf e e b l e d i n a w i d e r a n g e o f i m p o r t a n t e c o n o m i c a n d social i s s u e s . T h e a l t e r n a t i v e o f a special s t a t u s f o r Q u e b e c w i t h i n t h e f e d e r a l system is scarcely c o n s i d e r e d any m o r e o u t s i d e t h e c o n t e x t of complete s e p a r a t i o n . Special status is a n a t h e m a to t h e p r e s e n t federal leadership u n d e r Mr. Pierre T r u d e a u , as indeed is separation. T h e O c t o b e r 1973 p r o v i n c i a l e l e c t i o n i n Q u e b e c w a s a n i m p o r t a n t test o f t h e t y p e o f f e d e r a l i s m t h a t h a s b e e n d e v e l o p i n g . T h e r e s u l t s i n d i c a t e t h a t a m a j o r i t y of lisme

rentable

combined

with

la

t h o s e in Q u e b e c f a v o r

souverainete

culturelle,

slogans

le federa-

of

the

L i b e r a l p a r t y w h i c h w o n 5 4 p e r c e n t o f t h e p o p u l a r v o t e a n d 102 o f t h e 110 seats in t h e N a t i o n a l Assembly. H o w e v e r , in t h e s a m e elec-

Ethnic Pluralism in C a n a d a

tion

the

separatist

Parti

273

increased

Quebecois

its

proportion

of the 9

p o p u l a r vote from 24 p e r c e n t in 1970 to 30 p e r c e n t in 1973. Since t h e o t h e r p a r t i e s r u n n i n g w e r e all f e d e r a l i s t — t h a t is, w a n t i n g t o work within

confederation—the 30

percent for the

Parti

Quebecois

c a n b e t a k e n a s a g o o d m e a s u r e o f t h o s e w h o w o u l d like t o c r e a t e a s e p a r a t e F r e n c h s t a t e . A s yet n o e x t e n s i v e a n a l y s i s h a s a p p e a r e d , b u t i t i s t a k e n a s s e l f - e v i d e n t t h a t t h e s e p a r a t i s t s u p p o r t e r s w e r e alm o s t all F r e n c h a n d h e a v i l y r e p r e s e n t a t i v e o f t h e y o u n g . T h e less s a n g u i n e m i g h t , t h e r e f o r e , still c o n s i d e r t h e f u t u r e o f C a n a d a i n q u e s t i o n . T h e r e a r e also s o m e d o u b t s a b o u t t h e l e g i t i m a c y o f a n e l e c t o r a l s y s t e m w h i c h gives a p a r t y 3 0 p e r c e n t o f t h e v o t e s , b u t only 9 p e r c e n t of the seats. Whatever

directions

"diplomatic"

or

"executive"

federalism

1,1

and constitutional bargaining may take over the next decade, the f u t u r e o f F r e n c h - E n g l i s h r e l a t i o n s r e a l l y lies w i t h i n t h e p r o v i n c e s , particularly in Q u e b e c w h e r e 19 p e r c e n t of the population is nonFrench-speaking, in New Brunswick where 34 percent of the population speak F r e n c h , a n d in O n t a r i o w h e r e t h o u g h overall only 6 p e r c e n t a r e F r e n c h - s p e a k i n g , i n s o m e p a r t s o f n o r t h e r n O n t a r i o almost half the p o p u l a t i o n is F r e n c h - s p e a k i n g a n d in s o m e counties i n t h e St. L a w r e n c e - O t t a w a R i v e r t r i a n g l e t h e p r o p o r t i o n t h a t i s French-speaking

is

over

80

percent.

The

absolute

number

of

French-speaking people in O n t a r i o is m u c h greater than in any other province outside Q u e b e c . " 9 . L a Presse, M o n t r e a l , O c t o b e r 3 0 , 1 9 7 3 . 10. " D i p l o m a t i c " a n d " e x e c u t i v e " f e d e r a l i s m a r e t e r m s t o d e s c r i b e t h e w a y s i n which

provincial

and

federal cabinet

ministers and committees of

federal

and

provincial b u r e a u c r a t s bargain o n a w i d e r a n g e o f issues, like u r b a n p r o b l e m s a n d h i g h e r e d u c a t i o n , a n d w o r k o u t t h e r e s p o n s i b i l i t i e s o f t h e t w o levels of ment. T h e federal

govern-

P a r l i a m e n t a n d provincial legislatures b e c o m e a l m o s t ratifiers,

a n u n u s u a l r o l e f o r t h e m i n t h e t r a d i t i o n a l p a r l i a m e n t a r y s y s t e m . S e e R. S i m e o n , Federal-Provincial Diplomacy

(Toronto.

University

of T o r o n t o

Press,

1972),

and

D o n a l d V . S m i l e y , Canada in Question ( T o r o n t o . M c G r a w - H i l l , 1 9 7 2 ) . 1 1. and

Proportions based on m o t h e r t o n g u e . T h e r e are bilinguals in both French-

English-speaking groups. T h e

whose mother

tongue would

be

19

percent

includes

neither English

immigrants

in

Quebec

n o r F r e n c h . Census o f Canada,

1971. v o l . 1 , p i . 3 . S t a t i s t i c s C a n a d a . O t t a w a , 1 9 7 3 . I f " e t h n i c o r i g i n . " t h e d e f i n i t i o n of w h i c h is dealt w i t h later in this c h a p t e r , is u s e d t h e p r o p o r t i o n s a r e n o n - F r e n c h in Q u e b e c , 21 p e r c e n t ; F r e n c h in O n t a r i o , 9 . 5 p e r c e n t ; a n d F r e n c h in N e w B u m s -

274

John

Porter

A r e a s i n w h i c h p r o v i n c i a l g o v e r n m e n t p o l i c i e s will b e c r u c i a l f o r the i m p r o v e m e n t in F r e n c h - E n g l i s h relations a r e e d u c a t i o n , lang u a g e t r a i n i n g , the provision of g o v e r n m e n t a l services in F r e n c h a n d E n g l i s h w h e r e b o t h g r o u p s live i n s i z a b l e n u m b e r s , a n d e x tending French as the language of work in Quebec. It is not possible h e r e to p r o v i d e a p r o v i n c e by p r o v i n c e b a l a n c e sheet on French-English relations. We m i g h t instead look at t h e country's two major a n d n e i g h b o r i n g provinces, Q u e b e c a n d O n t a r i o . I t i s i n t h e d e v e l o p m e n t w i t h i n t h e s e p r o v i n c e s t h a t t h e fut u r e o f C a n a d a m a y well b e s e t t l e d . In Q u e b e c it is clear that English-speaking p a r e n t s (and French f o r t h a t m a t t e r ) will a l w a y s b e a b l e t o h a v e t h e i r c h i l d r e n e d u c a t e d i n E n g l i s h . Q u e b e c will n e v e r b e c o m e u n i l i n g u a l i n e d u c a t i o n . N o p a r t y s e e k s t o r e m o v e this r i g h t f r o m t h e E n g l i s h m i n o r i t y . H o w ever, o n e of the most seriously discussed issues in t h e 1973 p r o v i n cial e l e c t i o n w a s t h e e x i s t i n g l e g i s l a t i o n p e r m i t t i n g i m m i g r a n t parents to educate their children in either English or French. Imm i g r a n t p a r e n t s , such as Italian a n d P o r t u g u e s e , have s h o w n a s t r o n g p r e f e r e n c e for h a v i n g t h e i r c h i l d r e n g o t o E n g l i s h - s p e a k i n g schools b e c a u s e of the g r e a t e r o p p o r t u n i t i e s t h a t an e d u c a t i o n in English provides in N o r t h America. T h e F r e n c h on the o t h e r h a n d , h i g h l y s e n s i t i v e t o t h e i r o w n falling fertility r a t e s a n d s u b stantially u n a b l e t o recruit i m m i g r a n t s f r o m t h e F r e n c h - s p e a k i n g world, foresee a gradual d e c r e a s i n g use of F r e n c h in the province. I n t h e last e l e c t i o n all political p a r t i e s r e c o g n i z e d this t h r e a t , a n d t h e r e e l e c t e d L i b e r a l g o v e r n m e n t p r o m i s e d t o r e v i e w t h e legislation. A m o n g t h e m o s t s t r i k i n g o f t h e d o c u m e n t a t i o n s o f t h e Royal C o m m i s s i o n on Bilingualism a n d Biculturalism was t h e use of the French language in the industries of Quebec, large segments of which a r e o w n e d by A m e r i c a n or A n g l o - C a n a d i a n c o r p o r a t i o n s . T h e p a t t e r n was familiar; F r e n c h blue-collar w o r k e r s , bilingual f o r e m e n , a n d a large o v e r - r e p r e s e n t a t i o n of unilingual Anglop h o n e s i n m a n a g e r i a l a n d h i g h e r o c c u p a t i o n a l levels o f t h e p r i v a t e

wick, 39 p e r c e n t . Census of Canada, 1971, A d v a n c e B u l l e t i n , Population by Ethnic Croup ( O t t a w a , S t a t i s t i c s C a n a d a , 1 9 7 3 ) .


275

s e c t o r . F r e n c h w h o d i d a c h i e v e t h e s e levels b e c a u s e o f t h e i r p r o f e s s i o n a l e d u c a t i o n i n f i e l d s s u c h a s law, a c c o u n t i n g , a n d p u b l i c r e l a tions were most often r e q u i r e d to work in English. T h e u p p e r levels o f t h e w o r k w o r l d w e r e essentially E n g l i s h - s p e a k i n g , i m p o s ing a r e q u i r e m e n t of written a n d oral bilingualism on the F r e n c h , but not on the English Canadians or Americans. T h i s condition was strongly resented by the y o u n g e r French as they were being t u r n e d out in increasing n u m b e r s from a r e f o r m e d educational system w h e r e their u p w a r d mobility i n their h o m e p r o v i n c e m i g h t b e b l o c k e d b e c a u s e t h e i r E n g l i s h was n o t a d e q u a t e , a n d t h e i r o w n l a n g u a g e was d o w n g r a d e d or n e v e r used by a " f o r e i g n " m a n a g e ment. T h e Royal C o m m i s s i o n r e c o m m e n d e d that i n private i n d u s t r y i n Q u e b e c t h e objective s h o u l d be F r e n c h as t h e l a n g u a g e of w o r k at all levels a n d t h a t t h e Q u e b e c g o v e r n m e n t s h o u l d set u p a t a s k force to discover m e a n s of achieving such an e n d . g o v e r n m e n t did

set

up a

special c o m m i s s i o n

1 2

T h e Quebec

u n d e r the chair-

m a n s h i p of J e a n - D e n i s G e n d r o n . After four years of e x a m i n i n g the problem the G e n d r o n Commission r e c o m m e n d e d that French become t h e provincial provincial

national

official 13

languages.

language

There

a n d French a n d English be

is

widespread

recognition

on

t h e p a r t o f t h e g o v e r n m e n t a n d political p a r t i e s t h a t F r e n c h c a n n o t b e m a d e t h e l a n g u a g e o f w o r k a t all levels b y l i g h t n i n g l e g i s l a t i o n . B y t h e e n d o f 1 9 7 3 t h e r e was still n o official g o v e r n m e n t policy o n l a n g u a g e o f w o r k . T h e r e w a s , h o w e v e r , a set o f b a s i c g u i d e l i n e s pressing firms in the direction of bilingualism. French should be t h e l a n g u a g e i n i n t e r n a l o r a l c o m m u n i c a t i o n a n d all o r a l a n d w r i t ten communication

with

customers,

suppliers,

and

government

a g e n c i e s . M a n y f i r m s h a v e r e s p o n d e d p o s i t i v e l y t o this p r e s s u r e a n d h a v e set u p F r e n c h i n s t r u c t i o n p r o g r a m s f o r m a n a g e r i a l p e r s o n n e l a t all levels. T h e s i t u a t i o n i s c o m p l e x , n o t o n l y b e c a u s e o f t h e i n g r a i n e d h a b i t s o f t h e p a s t , b u t also b e c a u s e Q u e b e c a p p e a l s t o foreign investment a n d does not want to scare it away. T h a t is why 1 2 . Report of the Royal Commission on Bilingualism and Biculturalism. b o o k 111, The Work World ( O t t a w a . Q u e e n ' s P r i n t e r , 1 9 6 9 ) . p . 5 5 9 .

13. Report of the Commission oj Inquiry on the Position oj the French Language and on Language Rights in Quebec ( M o n t r e a l , I ' E d i t e u r o f f i c i e l du Q u e b e c ,

1972).

John

276

Porter

the tone of the language at work problem exemplified by the Gendron Commission is moderate, encouraging gradual change. Not all F r e n c h n a t i o n a l i s t s a r e m o d e r a t e h o w e v e r . T h i s i s p a r t i c u l a r l y t r u e o f M o n t r e a l w h e r e t h e p r o p o r t i o n o f F r e n c h s p e a k e r s (66 p e r cent) is lower t h a n in the rest of the province a n d the d e m o g r a p h i c forces of anglicization are most s t r o n g .

1 4

With the democratization of education a n d an increased e m p h a sis o n s c i e n c e a n d t e c h n o l o g y i n c u r r i c u l a , t h e p r o s p e c t s f o r t h e i m p r o v e m e n t in the occupational opportunities for the French are very g o o d . U p w a r d mobility a n d participation in an increasingly t r a n s n a t i o n a l a n d p o s t - i n d u s t r i a l w o r l d will, h o w e v e r , l e a d t o a f u r t h e r erosion of traditional culture b e g u n with the earlier industrialization of Q u e b e c which t r a n s f o r m e d t h e r u r a l

habitant

into a n

u r b a n p r o l e t a r i a n . T h e F r e n c h face t h e d i l e m m a o f m o d e r n i z a t i o n o r o f m a i n t a i n i n g a t r a d i t i o n a l c u l t u r e . B u t t h e r e n e e d n o t b e a loss of language. If bilingualism can increase, a n d that requires a great effort o n t h e p a r t o f the English, this distinctive d u a l i s m o f C a n a d a will r e m a i n , i f n o t a c r o s s t h e e n t i r e c o u n t r y a t least i n Q u e b e c , w h e r e F r e n c h a n d E n g l i s h h a v e lived l o n g t o g e t h e r . T h e u n d e s i r a b l e r e l a t i o n s h i p o f elite c o l l a b o r a t i o n a n d low o c c u p a t i o n a l s t a t u s for the majority of the French is b e c o m i n g gradually t r a n s f o r m e d , n o t r a p i d l y e n o u g h f o r s o m e , b u t a t least i n t h e d i r e c t i o n o f a m o r e equal partnership. O n t a r i o , the province which is the very heart of A n g l o - C a n a d i a n traditions,

pride,

privilege, a n d

power,

has taken very

positive

s t e p s , p a r t i c u l a r l y i n e d u c a t i o n , t o i m p r o v e t h e p o s i t i o n o f its l a r g e F r e n c h - s p e a k i n g minority in r e s p o n s e to t h e Royal C o m m i s s i o n ' s r e p o r t , a n d t o s o m e militancy o n the p a r t o f F r a n c o - O n t a r i a n s . U n t i l n e w l e g i s l a t i o n t o o k effect i n

1969, children from French-

s p e a k i n g families suffered a variety of h a n d i c a p s in o b t a i n i n g ins t r u c t i o n i n t h e i r o w n l a n g u a g e . E d u c a t i o n a l a t t a i n m e n t levels w e r e low e x c e p t f o r t h o s e w h o s e f a m i l i e s c o u l d a f f o r d t o p a y fees f o r private Catholic F r e n c h - s p e a k i n g schools. T h e legislation of 1969 transferred these fee-paying schools to t h e system of provincially s u p p o r t e d local b o a r d s o f e d u c a t i o n . T h e l e g i s l a t i o n also p r o v i d e d that w h e n t e n or m o r e F r e n c h - s p e a k i n g p a r e n t s s u b m i t t e d a writ14.

For a

series of interesting p a p e r s on c o n t e m p o r a r y Q u e b e c s e e Dale C.

T h o m s o n , e d . , Quebec Society and Politics ( T o r o n t o , M c C l e l l a n d a n d S t e w a r t , 1 9 7 3 ) .


ten

request to have

277

F r e n c h i n s t r u c t i o n f o r t h e i r c h i l d r e n , local

s c h o o l b o a r d s w e r e t o p r o v i d e it. T h u s s c h o o l s a r e E n g l i s h - s p e a k i n g , b i l i n g u a l , a n d F r e n c h - s p e a k i n g . T h e p r o c e s s o f i n t r o d u c i n g bil i n g u a l s c h o o l s h a s l e d t o c o m m u n i t y conflicts b u t m o s t o f t h e m h a v e b e e n successfully m e d i a t e d . E d u c a t i o n a l o p p o r t u n i t y for O n t a r i o ' s F r e n c h in their o w n lang u a g e is a m a j o r c h a n g e . On t h e o t h e r h a n d extensive new prog r a m s to teach

French

to English-speaking students

have been

m u c h less s u c c e s s f u l . F r e n c h i n s t r u c t i o n i s n o t c o m p u l s o r y . I n 1972 t h e p r o p o r t i o n of O n t a r i o s e c o n d a r y school English s t u d e n t s that w e r e t a k i n g courses in F r e n c h was only 37 p e r c e n t .

1 0

It would

seem, therefore, that m u c h of the strong resistance to learning French on the part of English-speaking Canadians continues. T h e teaching of F r e n c h in A n g l o p h o n e C a n a d a has been des c r i b e d as a c o n t i n u i n g c a t a s t r o p h e . If t h a t is so t h e f u t u r e of a bil i n g u a l C a n a d a r e m a i n s v e r y m u c h i n q u e s t i o n . W h a t will p r o b a b l v h a p p e n i s t h a t e n o u g h b i l i n g u a l A n g l o p h o n e s will b e f o u n d t o w o r k with bilingual F r a n c o p h o n e s within federal institutions, a n d t h e r e will b e a g r a d u a l m o v e m e n t t o w a r d m o r e F r e n c h s p o k e n a t w o r k throughout Quebec.

I n t h e r e s t o f t h e c o u n t r y b i l i n g u a l i s m will

d e c l i n e t h e g r e a t e r t h e d i s t a n c e f r o m Q u e b e c a n d O t t a w a . A n increase in bilingualism can m a k e a workable system which might result in positive a n d beneficial F r e n c h - E n g l i s h relations in C a n ada. The

future

of French-English

relations

will

also

depend,

of

course, on factors outside provincial control, particularly economic conditions, for which the federal g o v e r n m e n t has a major responsibility, a n d a l s o o n t h e visibility a n d vitality o f e t h n i c i t y , n a t i o n a l i s m , a n d tribalism in the world at large, which, as I p o i n t e d o u t at the b e g i n n i n g , was an i m p o r t a n t e l e m e n t in m o v i n g F r e n c h - C a n a d i a n n a t i o n a l i s m in a m o r e active a n d e v e n militant direction. CANADA'S O T H E R E T H N I C GROUPS: A VIEW FROM T H E CENSUS I n t e r e t h n i c relations in C a n a d a a r e not confined to the French a n d E n g l i s h . C a n a d a h a s a l w a y s d r a w n a n d c o n t i n u e s t o d r a w its 15.

Norman

Webster. "French

Language Education:

For A n g l o p h o n e

t h e G o i n g I s T o u g h , " Globe arid Mail, T o r o n t o , D e c e m b e r 1. 1 9 7 3 .

Bigots

278

John

Porter

p o p u l a t i o n f r o m d i v e r s e s o u r c e s . S o m e i n d i c a t i o n o f this d i v e r s i t y c a n b e s e e n f r o m t h e f o l l o w i n g t a b l e . T h e first p o i n t t o b e n o t e d i s the

decreasing

proportion

of those

of British

origin

since

the

b e g i n n i n g o f t h e p r e s e n t c e n t u r y . T h e s e c o n d i s t h e r e l a t i v e l y stable p r o p o r t i o n r e p r e s e n t e d b y the F r e n c h . T h e d r o p t o 28.7 perc e n t i n 1 9 7 1 reflects t h e fact t h a t t h e l o w e s t fertility r a t e s i n C a n a d a a r e n o w i n Q u e b e c , m a k i n g for o n e o f t h e m o s t interesting reversals o f r e p r o d u c t i v e b e h a v i o r t o b e F r e n c h C a n a d i a n s view w i t h a l a r m . Ethnic

Origin

of the

Canadian

Population

Origin

1901

British French

found,

a

fact w h i c h

many

1 0

1901-1971

a

1921

1941

1961

1971

57.0

55.4

49.7

43.8

44.6

30.7

27.9

30.3

30.4

28.7

German

5.8

3.4

4.0

5.8

6.1

Italian

0.2

0.8

1.0

2.5

3.4

Dutch

0.6

1.3

1.9

2.4

1.9

Polish

0.1

0.6

1.5

1.8

1.4

Scandinavian

0.6

1.9

2.1

2.1

1.8

Ukrainian

0.1

1.2

2.7

2.6

2.2

Indian and Eskimo

2.4

1.3

I.I

1.2

1.3

Other

2.5

6.2

5.7

7.4

8.6

100.0

100.0

100.0

100.0

100.0

Total

Source: Report of the Royal Commission on Bilingualism and Biculturalism,

book IV,

248 a

N e w f o u n d l a n d was e x c l u d e d f r o m the C a n a d i a n c e n s u s until 1 9 5 1 .

T h e t a b l e a l s o i n d i c a t e s t h a t n o o t h e r e t h n i c g r o u p c o m e s close i n size t o t h e B r i t i s h o r t h e F r e n c h a l t h o u g h i n total t h e y c o m e t o somewhere between one quarter and one third of the population of C a n a d a . T h e ethnic categories s h o w n in the table are those of t h e 1 9 7 1 c e n s u s . T h e 1961 c e n s u s u s e d t w e n t y - e i g h t c a t e g o r i e s , m a n y o f w h i c h a r e c o n t a i n e d u n d e r " O t h e r " i n the table. T h e s e inc l u d e d i n 1 9 6 1 , for e x a m p l e , I c e l a n d i c , L i t h u a n i a n , R o u m a n i a n , a n d J a p a n e s e , e a c h with 0.2 p e r c e n t o f t h e p o p u l a t i o n . T h u s t h e 1 7

16. Vital Statistics ( O t t a w a , S t a t i s t i c s C a n a d a , 1 9 7 3 ) .

17. Report of the Royal Commission on Bilingualism and Biculturalism. b o o k I V , The Cultural Contribution of the Other Ethnic Groups ( O t t a w a , Q u e e n ' s P r i n t e r , 1 9 7 0 ) , p.


279

non-British, non-French c o m p o n e n t of the Canadian population is extremely diverse. A t t h i s p o i n t i t i s i m p o r t a n t t o n o t e t h a t all t h e d i s t r i b u t i o n s o f e t h n i c o r i g i n s s h o w n i n t h e t a b l e a r e a r t i f a c t s o f t h e c e n s u s itself and result from the questions from which the data are derived. Ethnic "origin" has b e e n asked for in a variety of ways in different c e n s u s e s , a n d t h e i n s t r u c t i o n s t o c e n s u s e n u m e r a t o r s h a v e also varied, a d d i n g a further artifactual element to the distributions. I n 1961 t h e question was " T o w h a t e t h n i c o r cultural g r o u p did you or y o u r a n c e s t o r (on the male side) b e l o n g on c o m i n g to this c o n t i n e n t ? " T w o i m p o r t a n t facts a r e c l e a r f r o m t h e c e n s u s t r e a t m e n t of ethnicity. O n e is t h a t one's e t h n i c o r i g i n was to be patrilineally t r a c e d , a n d s e c o n d , e x c e p t f o r n a t i v e I n d i a n s a n d E s k i m o , t h e r e was n o r e c o g n i t i o n i n any c e n s u s t a b u l a t i o n s o f C a n a d i a n o r A m e r i c a n e t h n i c origin. T h u s for c e n s u s p u r p o s e s b o t h t h o s e b o r n in Canada and immigrants had to have a n o n - N o r t h American ethnicity. F o r t h e f i r s t t i m e , i n t h e 1 9 5 1 c e n s u s i f all t h e t e c h n i q u e s i n t h e i r m a n u a l s failed t h e m e n u m e r a t o r s w e r e allowed t o write i n " C a n a d i a n " or " A m e r i c a n " if the p e r s o n absolutely insisted. T h e s a m e was also p e r m i t t e d in 1961. In t h a t y e a r a c c o r d i n g to an a d ministrative r e p o r t on the census only

118,185 persons reported

their origin as " C a n a d i a n , " 15,786 as " A m e r i c a n , " a n d 70,163 as " U n k n o w n . " T h e s e n u m b e r s c o m b i n e d m a k e u p slightly m o r e t h a n 1 percent of the population, about the same as in 1 9 5 1 .

1 8

T h e s e in-

sistent a n d u n c e r t a i n p e o p l e w e r e lost i n t h e r e s i d u a l " O t h e r " c a t e g o r y i n all c e n s u s t a b u l a t i o n s . I n 1971 t h e e t h n i c q u e s t i o n w a s a s k e d i n t h e s a m e w a y , b u t f o r the f i r s t t i m e t h e c e n s u s was s e l f - e n u m e r a t e d . N e i t h e r C a n a d i a n n o r A m e r i c a n was a m o n g the r e s p o n s e categories p r o v i d e d . T h e o n l y possibility w a s " O t h e r - S p e c i f y . " T h e 1 9 7 1 c e n s u s f o r m also inc l u d e d a q u e s t i o n on citizenship, t h e m a i n p u r p o s e of w h i c h was to enable those p e r s o n s who wished to identify themselves as Canad i a n t o d o s o , s i n c e C a n a d i a n w a s n o t a valid a n s w e r t o q u e s t i o n s on language or ethnicity. T h e conscientious self-enumerator, who IS. Census of Canada, 1961, Bull. 7.1-6. T h e r e is a brief history of t h e e t h n i c origin q u e s t i o n in W a r r e n E. Kalbach, The Impact of Immigration on Canada's Population (Ottawa, Statistics C a n a d a , 1970), p p . 3 - 9 .

John

280

Porter

w o u l d like t o feel a b o v e all t h a t h e w a s C a n a d i a n , m i g h t h a v e b e e n satisfied b y b e i n g a b l e t o say, t w o q u e s t i o n s b e f o r e h e c a m e t o t h e e t h n i c i t y o n e , t h a t h e was a C a n a d i a n c i t i z e n . His instruction b o o k l e t w a s c l e a r o n w h a t t h e c e n s u s officials w a n t e d f o r t h e e t h n i c question. It read, "Ethnic or cultural g r o u p refers to descent ( t h r o u g h t h e father's side) a n d s h o u l d n o t b e c o n f u s e d with citizenship. Canadians belong to many ethnic or cultural groups." The p a t r i l i n e a l e m p h a s i s w h i c h h a s e x i s t e d t h r o u g h o u t b e c o m e s sociologically a b s u r d w h e r e t h e r e h a v e b e e n e x o g a m o u s m a r r i a g e s , b e cause of the i m p o r t a n t role the m o t h e r plays in t h e socialization of children, and in language learning. 1 9

2 0

W h y t h e e t h n i c o r i g i n c o n c e p t t o o k t h e f o r m i t h a s — t h a t is, n o n N o r t h A m e r i c a n a n d exclusively patrilineal—is r a t h e r o b s c u r e , b u t i t c a n p r o b a b l y b e t r a c e d t o t h e b a s i c d u a l i t y o f C a n a d i a n society. C e n s u s e s b e f o r e t h e c o n f e d e r a t i o n o f 1 8 6 7 classified t h e p o p u l a tion a s " F r e n c h origin," "not o f F r e n c h o r i g i n , " a n d " I n d i a n . " T h e successive censuses after c o n f e d e r a t i o n h a v e n o t b e e n consistent. T h e earlier ones defined origin according to the birthplace of the i n d i v i d u a l o r o f his p a t e r n a l a n c e s t o r b e f o r e c o m i n g t o N o r t h America. T w o major wars in the twentieth c e n t u r y have b r o k e n up international boundaries, making it rather absurd to relate ethnic o r i g i n to political entities, a n d t h e r e has b e e n a g r a d u a l e v o l u t i o n toward a cultural a n d linguistic definition of ethnic g r o u p . Discuss i o n s o f t h e 1931 c e n s u s p l a c e d a g r e a t e m p h a s i s o n " r a c i a l " differences a n d their importance to C a n a d a because of the extensive E u r o p e a n migration to Canada after the o p e n i n g up of the West in t h e 1 8 9 0 s . T h e r e was a s u g g e s t i o n in t h e official c o m m e n t s o n t h e DO

1931 c e n s u s t h a t , a s t h e " r a c e s " f u s e d , t h e r e w o u l d n o l o n g e r b e any need to differentiate between t h e m , indicating some orientation a t t h a t t i m e t o a " m e l t i n g p o t " c o n c e p t . B e c a u s e o f t h e d i s c r e d i t i n g of

the

concept of race

during and

after

the Second

W o r l d W a r a 1941 census m o n o g r a p h on e t h n i c origins was n o t p u b lished u n t i l 1 9 6 5 !

2 1

19. The 1971 Census of Population and tent (Ottawa, Statistics C a n a d a , 1969), p. 20. I n s t r u c t i o n s a c c o m p a n y i n g 1971 Statistics C a n a d a , 1971). 2 1 . Kalbach, The Impact of Immigration,

Housing: Development of Subject Matter Con13. c e n s u s s e l f - e n u m e r a t i o n f o r m s (Ottawa, p. v.

281


A t r e n c h a n t c r i t i q u e o f C a n a d i a n o r i g i n statistics w a s m a d e b y N o r m a n Ryder in 1955.

2 2

He suggested that if the origin question

w e r e to h a v e any sociological or c u l t u r a l

m e a n i n g it should be

asked in t e r m s of l a n g u a g e . If the i m p o r t a n t socio-political q u e s tion of assimilation to e i t h e r F r e n c h or English was to be r e a s o n a bly a n s w e r e d ,

the question

should be

about the

l a n g u a g e first

l e a r n e d b y t h e i n d i v i d u a l a n d b y his p a r e n t s . T w o g e n e r a t i o n s o f English o r F r e n c h a s m o t h e r t o n g u e w o u l d give s o m e indication o f assimilation. T h e 1971 c e n s u s asked n o t only a m o t h e r t o n g u e q u e s t i o n b u t also o n e o n t h e l a n g u a g e most often s p o k e n a t h o m e . T h e assimilation to English has b e e n very m a r k e d . While the E n g l i s h - s p e a k i n g ethnic origin constituted 45 percent of the population, English as t h e l a n g u a g e m o s t often s p o k e n i n t h e h o m e was 6 5 p e r c e n t . W h i l e the non-English, n o n - F r e n c h ethnicities m a d e up 28 p e r c e n t of the population, only about 12 percent h a d the same m o t h e r t o n g u e as their ethnic origin, a n d only about 6 p e r c e n t spoke their ethnic origin l a n g u a g e m o s t often in the h o m e . T h u s if ethnicity a n d culture are based on l a n g u a g e a considerable process of assimilation has g o n e o n . T h e F r e n c h e t h n i c o r i g i n s h o w e d a m i n o r l a n g u a g e loss, with 28 p e r c e n t of the p o p u l a t i o n r e p o r t i n g F r e n c h ethnic origin and 25 percent as speaking French in the h o m e .

2 3

Despite the historical variations, t h e focus on patrilineal descent, nonrecognition of Canadian or American origin, and other inade q u a c i e s i n t h e c e n s u s statistics, i t h a s p r o v e d i m p o s s i b l e t o e l i m i n a t e t h e q u e s t i o n o r c h a n g e its f o r m , a s i n d e e d t h e f e d e r a l g o v e r n m e n t s o u g h t t o d o f o r t h e 1961 c e n s u s , w h e n J o h n D i e f e n b a k e r was p r i m e m i n i s t e r a n d s p o k e o u t s t r o n g l y against h y p h e n a t e d Can a d i a n s . T h e F r e n c h w e r e i n s i s t e n t o n its r e t e n t i o n b e c a u s e i t p r o vides t h e m with s o m e m e a s u r e of t h e i r survival a n d their claims for c o - c h a r t e r g r o u p status within C a n a d a , a status which can scarcely b e d e n i e d . O r g a n i z a t i o n s o f t h e o t h e r e t h n i c g r o u p s have also d e m a n d e d its r e t e n t i o n b e c a u s e i t g a v e g r o u n d s t o t h e i r c l a i m t h a t

2 2 . N . B . R y d e r , " T h e I n t e r p r e t a t i o n o f O r i g i n S t a t i s t i c s . " The Canadian Journal

of Economies and Political Science,

21A

(1955),

466—479.

2 3 . Census of Canada, 1971, Population by Language Most Often Spoken in the Home and by Official Language ( O t t a w a , S t a t i s t i c s C a n a d a ,

1973).

John

282

Porter

C a n a d a is a cultural mosaic r a t h e r t h a n the so-called A m e r i c a n m e l t i n g pot. A comparison of the history of the censuses in C a n a d a a n d the U n i t e d States w o u l d tell i n a f a s c i n a t i n g w a y h o w t h e t w o c o u n t r i e s have a t t e m p t e d to treat ethnicity in the course of nation building. Melting pot a n d mosaic a r e almost stereotypical t e r m s to describe t h e d i v e r g e n t ways i n w h i c h t h e s e two n e w n a t i o n s h a v e t r i e d t o d e a l w i t h e t h n i c i t y , b u t t h e y d o reflect t h e t w o o p p o s e d o r i e n t a t i o n s , clearly t o b e s e e n i n t h e policies a n d i n s t r u c t i o n s s u r r o u n d i n g t h e t w o c e n s u s e s f r o m t h e last c e n t u r y . We know now that the lives o f e t h n i c g r o u p s a r e n o t r e s p o n s i v e t o t h e i n t e n t i o n s o f t h e policy m a k e r s a n d t h e b u r e a u c r a t i c o r g a n i z a t i o n s t h a t t a k e t h e c e n suses. Melting pot a n d mosaic are not such e x t r e m e opposites as the terms would imply because in the U n i t e d States, ethnicity, in the sense of awareness of E u r o p e a n national origins of ancestors, is still v e r y m u c h alive w h i l e i n C a n a d a m a n y r e j e c t E u r o p e a n a n c e s t r y a n d identify with t h e c o u n t r y w h e r e t h e y w e r e b o r n . 2 4

T H E ORGANIZATION OF ETHNIC GROUPS I f t h e C a n a d i a n c e n s u s gives a n a r t i f a c t u a l q u a l i t y t o t h e e t h n i c s t r u c t u r e o f C a n a d i a n society a d i f f e r e n t i m p r e s s i o n i s g a i n e d f r o m e t h n i c o r g a n i z a t i o n s w h i c h a r e v e r y m u c h alive, a b l y l e d a n d r e s p o n d i n g predictably to t h e w i d e s p r e a d ethnic revival. With t h e d e m a n d s in Q u e b e c for a r e c o n s t r u c t i o n of C a n a d i a n society, the o t h e r e t h n i c o r g a n i z a t i o n s also m a d e d e m a n d s t o b e h e a r d a n d , w h e n t h e Royal C o m m i s s i o n o n B i l i n g u a l i s m a n d B i c u l t u r a l i s m was e s t a b l i s h e d , t h e g o v e r n m e n t o f C a n a d a felt c o m p e l l e d t o i n c l u d e i n the commission's terms of reference " T h e contribution m a d e by the other ethnic g r o u p s to the cultural e n r i c h m e n t of C a n a d a and the m e a s u r e s that should be taken to safeguard that contribution." T w o of the ten commissioners were m e m b e r s of these o t h e r ethnic g r o u p s a n d a n e n t i r e v o l u m e o f t h e c o m m i s s i o n ' s Report was d e voted to the matter of the o t h e r ethnic g r o u p s . 24.

S o m e c o m p a r i s o n b e t w e e n the t w o censuses has b e e n m a d e by Joel Smith,

"Melting South,

Pot—Mosaic:

Proceedings

of

Consideration the

Third

lot

a

Prognosis,"

Inter-Collegiate

A m e r i c a n Relations, Michigan State University, 1968.

in Minorities North and

Conference

on

Canadian-


283

G o v e r n m e n t policy m a k e r s , a s d o p o l i t i c i a n s w h o s e e k t h e i r e l e c t o r a l s u p p o r t , like t o view t h e s e d i v e r s e n o n - B r i t i s h , n o n - F r e n c h e t h n i c i t i e s a s a " t h i r d e l e m e n t " d e s p i t e t h e fact t h a t , a s I h a v e s a i d , t h e y w e r e listed i n t h e 1 9 6 1 c e n s u s a s 2 8 e t h n i c i t i e s r a n g i n g f r o m 5.6 p e r c e n t o f t h e p o p u l a t i o n t o 0 . 2 p e r c e n t . D e s p i t e this f r a g m e n t a t i o n , t h e s o - c a l l e d t h i r d e l e m e n t h a s its own spokesmen such as Senator Paul Yuzyk w h o , in a p a p e r pres e n t e d t o t h e C a n a d i a n A s s o c i a t i o n o f Slavists i n 1 9 6 5 e n t i t l e d " C a n a d a : A M u l t i - C u l t u r a l N a t i o n , " said, " T h e t h i r d e l e m e n t e t h nic g r o u p s n o w n u m b e r i n g a p p r o x i m a t e l y f i v e m i l l i o n p e r s o n s , a r e co-builders of the West and other parts of C a n a d a , along with the British a n d F r e n c h C a n a d i a n s a n d a r e j u s t as p e r m a n e n t a p a r t of the C a n a d i a n scene. . . . A s c o - f o u n d e r s they s h o u l d b e copartners who would be guaranteed the right to perpetuate their mother tongues and cultures." H e called for t h e g o v e r n m e n t , and g o v e r n m e n t agencies such as the C a n a d i a n Broadcasting Corp o r a t i o n , actively t o p r o m o t e all o t h e r c u l t u r e s . T h i s w a s n o t o n l y a right b e l o n g i n g to these g r o u p s , b u t t h e policy h a d o t h e r m e r i t s as well. H e q u o t e d a p p r o v i n g l y a n A m e r i c a n s o c i o l o g i s t , C h a r l e s H o bart, working in C a n a d a as saying, "Multiculturalism beats the m e l t i n g p o t i d e a all t o H e l l . " A t a b o u t t h e s a m e t i m e , a t a T o r o n t o conference on "national unity" a s p o k e s m a n for o t h e r e t h n i c g r o u p s talked about the disunity that would result from emphasizing the English and the French elements in C a n a d a to the neglect of the others a n d suggested that t h e r e should be an "estatesg e n e r a l " t o e x p l o r e ways o f p r e s e r v i n g n o n - E n g l i s h a n d n o n French cultures in C a n a d a . Views such as these w e r e typical of m a n y forcefully a r t i c u l a t e d b e f o r e t h e R o y a l C o m m i s s i o n o n Bilingualism a n d Biculturalism. 2 5

2 6

Ethnic g r o u p leaders were given m u c h e n c o u r a g e m e n t by the last v o l u m e o f t h e c o m m i s s i o n ' s Report w h i c h w a s d e v o t e d t o t h e o t h e r e t h n i c g r o u p s , a n d since t h e n t h e r e h a s b e e n a g r e a t d e a l o f p r o m o t i o n of the idea of "multiculturalism." A l t h o u g h o n e gets the 2 7

2 5 . Canadian Slavonic Papers, 7 ( T o r o n t o , U n i v e r s i t y o f T o r o n t o P r e s s , 1 9 6 5 ) .

2 6 . Globe and Mail, T o r o n t o , D e c e m b e r 1 6 , 1 9 6 8 .

2 7 . Report of the Royal Commission on Bilingualism and Biculturalism, b o o k . I V , The Cultural Contribution of the Other Ethnic Groups ( O t t a w a , Q u e e n ' s P r i n t e r ,

1969).

John

284

Porter

impression that most of the commissioners would have preferred to have confined their attention to French-English relations the s p o k e s m e n on the commission for t h e o t h e r e t h n i c g r o u p s were firm, l e a d i n g in o n e case to a s t r o n g d i s s e n t i n g o p i n i o n to the c o m m i s s i o n ' s views in t h e first v o l u m e o f t h e Report t h a t E n g l i s h a n d F r e n c h s h o u l d b e t h e o n l y t w o official l a n g u a g e s . 2 8

MULTICULTURALISM WITHIN A BILINGUAL

FRAMEWORK

I n O c t o b e r 1971 Mr. T r u d e a u , t h e p r i m e minister, a n n o u n c e d in t h e H o u s e of C o m m o n s a n e w policy w h i c h he called "multiculturalism within a bilingual framework" a n d which he considered "the most suitable m e a n s of assuring the cultural f r e e d o m of Canadians."

2 9

T h e g o v e r n m e n t h a d already t a k e n a n u m b e r o f steps

m e n t i o n e d e a r l i e r , s u c h a s t h e Official L a n g u a g e s A c t o f 1 9 6 9 , t o m a k e F r e n c h a n d E n g l i s h e q u a l a s official l a n g u a g e s w i t h i n t h e f e d e r a l j u r i s d i c t i o n , t o p r o m o t e t h e t e a c h i n g o f b o t h t h e official languages, a n d to i n t r o d u c e bilingualism into the Public Service. C a n a d a was b e c o m i n g c a u g h t u p i n t h e e t h n i c revival. T h e gove r n m e n t was a t t e m p t i n g to m a i n t a i n a difficult b a l a n c e b e t w e e n the hostility o f m a n y i n Q u e b e c t o a n y f o r m a l r e c o g n i t i o n o f t h e o t h e r g r o u p s a n d the electoral s u p p o r t that would be f o r t h c o m i n g from a p r o g r a m t o p r o m o t e m u l t i c u l t u r a l i s m . F r e n c h critics o f t h e n e w policy a r g u e d t h a t i t w a s a n a b o u t - t u r n f r o m t h e e a r l i e r p o s i t i o n , o n t h e basis o f w h i c h t h e c o m m i s s i o n h a d b e e n set u p , t h a t is, t h a t C a n a d a s h o u l d be a truly bilingual a n d b i c u l t u r a l society b a s e d on the central ideas of two f o u n d i n g p e o p l e s , two societies, a n d two d o m i n a n t c u l t u r e s . S o m e a r g u e d t h a t i t w a s i m p o s s i b l e t o talk o f multiculturalism without multilingualism because culture could not be detached

from

language.

I f t h a t w e r e t r u e t h e n t h e official

b i l i n g u a l i s m t h a t w a s d e v e l o p i n g a t t h e f e d e r a l level, a n d i n s o m e provinces, would be e n d a n g e r e d by d e m a n d s that other languages be

recognized.

Moreover,

multiculturalism

in

some

provinces

w o u l d b e m o r e likely t o p r o m o t e a b i l i n g u a l i s m i n t h e f o r m A n g l o 2 8 . Report, b o o k I, The Official Languages, p p . 1 5 5 - 1 6 9 . 29. "Statement by the Prime Minister, H o u s e of C o m m o n s , October 8, Office of the Prime Minister, Ottawa.

1971,"


285

U k r a i n i a n or Franco-Italian r a t h e r t h a n English-French bilinguali s m w h i c h h a d basic s o c i o l o g i c a l a n d h i s t o r i c a l links a n d w h i c h w a s so i m p o r t a n t for t h e f u t u r e of C a n a d a as a viable society.

30

Indeed,

i t h a s a l w a y s b e e n a s s u m e d t h a t i m m i g r a n t s t o C a n a d a w o u l d assimilate to e i t h e r the F r e n c h or t h e English c o m m u n i t i e s . If t h a t was no l o n g e r to be so, F r e n c h C a n a d i a n s w o u l d i n t e r p r e t it as a threat to

their own

survival.

As

I

m e n t i o n e d earlier, lowering

F r e n c h fertility r a t e s a n d E n g l i s h - s p e a k i n g s c h o o l a t t e n d a n c e b y i m m i g r a n t children gave substance to these F r e n c h fears. T h e m u l t i c u l t u r a l p r o n o u n c e m e n t h a s m a n y critics also a m o n g E n g l i s h - s p e a k i n g C a n a d i a n s , p a r t i c u l a r l y t h o s e w h o see t h e o n l y h o p e f o r C a n a d a t o lie i n a policy o f b i c u l t u r a l i s m a n d b i l i n g u a l i s m b a s e d o n t h e t w o collectivities w h i c h t h e y r e p r e s e n t ,

3 1

and seems to

c o n t r a d i c t t h e view o f t h e c o m m i s s i o n w h i c h h a d w r i t t e n

" T o the

degree that the d e m a n d s of certain ethnic g r o u p s make awareness o f t h e f u n d a m e n t a l d u a l i t y o f t h e c o u n t r y m o r e difficult, t o t h a t e x t e n t t h e y a g g r a v a t e t h e s t a t e o f crisis i n C a n a d a . A b o v e all, t h e y p r o v i d e new a r g u m e n t s for t h e partisans of a ' O n e C a n d a . ' "

3 2

T h e C a n a d i a n g o v e r n m e n t t o o k q u i t e t h e o p p o s i t e view t o t h e c o m m o n sense o n e that s t r o n g e t h n i c loyalties, because they a r e little n a t i o n a l i s m s , w o u l d b e divisive. M r . T r u d e a u , i n fact, a r g u e d t h a t multiculturalism w o u l d b e integrative. H e said C a n a d a w o u l d b e c o m e " a s p e c i a l p l a c e , a n d a s t r o n g e r p l a c e a s well. E a c h o f t h e m a n y f i b r e s c o n t r i b u t e s its o w n q u a l i t i e s a n d C a n a d a g a i n s s t r e n g t h f r o m t h e c o m b i n a t i o n . W e b e c o m e less like o t h e r s ; w e b e c o m e less s u s c e p t i b l e t o c u l t u r a l , social o r political e n v e l o p m e n t b y o t h e r s . "

3 3

All m a j o r political l e a d e r s o u t s i d e o f Q u e b e c s u p p o r t s o m e p o l i c y of multiculturalism. R o b e r t Stanfield, the federal leader of the O p position, r e f e r r i n g t o the g o v e r n m e n t ' s p r o g r a m a s " g r u d g i n g ac3 0 . G u y R o c h e r , "Les A m b i g u i t e s d ' u n C a n a d a b i l i n g u e e t multiculturel," p a p e r presented to the

1972 A n n u a l Meeting of the C a n a d i a n Association of Sociology

and Anthropology, m i m e o , Depariement de Sociologie, Universite de Montreal.

3 1 . S e e e d i t o r i a l in Journal of Canadian Studies ( N o v e m b e r 1 9 7 1 ) . 3 2 . A Preliminary Report of the Royal Commission on Bilingualism and Biculturalism (Ottawa, Q u e e n ' s Printer. 1965). p. 128. 3 3 . " N o t e s f o r R e m a r k s bv t h e P r i m e M i n i s t e r t o t h e U k r a i n i a n - C a n a d i a n C o n gress, Winnipeg, Manitoba, October 9, tawa.

1971," Office of the Prime Minister, Ot-

John

286

Porter

c e p t a n c e , " w e n t o n t o say, " I f w e r e a l l y b e l i e v e t h a t C a n a d i a n pluralism should be encouraged, and not merely tolerated, governm e n t s h o u l d work t o g e t h e r with the various e t h n i c g r o u p s to help t h e m s u r v i v e , n o t s i m p l y a s f o l k l o r e , b u t a s a l i v i n g c o n t r i b u t i n g ele m e n t of the Canadian cultural mosaic."

3 4

O n t h e subject s o m e achieve new h e i g h t s o f r h e t o r i c . Mr. J o h n Y a r e m k o , the O n t a r i o Provincial Secretary a n d Minister of Citizens h i p , in a n n o u n c i n g a

1972 multicultural conference

Heritage

On-

said:

tario

No o t h e r p a r t of t h e globe, no o t h e r c o u n t r y , can claim a m o r e culturally diversified society t h a n we have h e r e in this Province . . . But does e v e r y o n e really g r a s p that O n t a r i o has m o r e C a n a d i a n s of G e r m a n origin t h a n B o n n , m o r e of Italian origin t h a n Florence, that T o r o n t o has m o r e C a n a d i a n s of Greek origin than Sparta, that we have in o u r midst, fifty-four ethno-cultural g r o u p s , speaking a total of seventy-two languages? . . . J u s t as a h u n d r e d years ago t h e C a n a d i a n identity was m o u l d e d in the crucible of nationalism, it is now being t e m p e r e d by the dynamics of multiculturalism. M r . Y a r e m k o also t o u c h e d u p o n a n o t h e r c a u s e o f t h e c u r r e n t r e vival o f e t h n i c i t y a n d t h a t i s t h e l a r g e n o n - B r i t i s h c o m p o n e n t o f postwar immigration. He then went on to m a k e the c o m m o n mist a k e o f s e e i n g this c o m p o n e n t , m a d e u p o f p e o p l e f r o m s u c h a variety of c o u n t r i e s , as in s o m e way b e i n g h o m o g e n e o u s : T h e r e a r e generally speaking four d e m o g r a p h i c g r o u p s a m o n g us—Indians, Anglo a n d F r a n c o - O n t a r i a n , and m e m b e r s of t h e third element . . . O n e effect of the post-war boom in t h i r d e l e m e n t i m m i g r a t i o n has been to bolster ethno-cultural g r o u p s , s o m e of which have been h e r e t h r o u g h four generations. T h e G o v e r n m e n t has welcomed a n d enc o u r a g e d this immigration. We have recognized a n d helped foster all o u r constituent cultural communities. Is it t h e n any w o n d e r that these communities have heightened expectations in m a n y areas? 3 5

In the bolstering of ethno-cultural groups, as Mr. Y a r e m k o puts it, t h e p o s t w a r i m m i g r a n t s h a v e p l a y e d a n i m p o r t a n t l e a d e r s h i p role

because

of their

long

association

with

nationalist

political

3 4 . Globe and Mail, T o r o n t o . M a y 1, 1 9 7 2 . 35. Press

release

of

minister's

Toronto, March 20, 1972.

address,

Office

of

the

Provincial

Secretary,


287

struggles in their E u r o p e a n homelands. T h e y have continued their activities, o f t e n i d e o l o g i c a l a s well a s n a t i o n a l , a i m e d a t k e e p i n g alive i n C a n a d a t h e c u l t u r e t h e y b e l i e v e i s b e i n g o b l i t e r a t e d a b r o a d . T h i s l e a d e r s h i p h a s m a n a g e d i n s o m e cases t o shift t h e f o c u s o f a c tivity o f t h e i r n a t i o n a l o r g a n i z a t i o n s f r o m t h e p r o b l e m o f i n t e g r a t i o n w i t h i n C a n a d i a n s o c i e t y t o t h e p r o b l e m o f c u l t u r a l s u r v i v a l eit h e r in E u r o p e or in C a n a d a as a locus for cultures in exile. T h e official C a n a d i a n g o v e r n m e n t p o l i c y o f " m u l t i c u l t u r a l i s m w i t h i n a b i l i n g u a l f r a m e w o r k " h a s a s its g o a l t h e e n c o u r a g i n g o f non-British, non-French ethnic cultures. A multicultural p r o g r a m , established in the Citizenship Branch of the D e p a r t m e n t of the Secretary of State, was to study such aspects of multiculturalism as broadcasting in third languages, the role of the ethnic press, a n d language training in third languages. T h e most important part of the p r o g r a m , t h o u g h , was t h e giving of g r a n t s to ethnic organizations t o h e l p t h e m p r e s e r v e their c u l t u r e . Initially t h e p r o g r a m was modest. O n e a n d o n e half million dollars w e r e allocated for grants in the first year, b u t by 1973 the b u d g e t h a d increased to 10 million dollars, a n d a c a b i n e t m i n i s t e r was a p p o i n t e d w h o s e exclusive responsibility was multiculturalism. T h e g r a n t s a r e g i v e n t o v i a b l e e t h n i c o r g a n i z a t i o n s f o r specific projects. For e x a m p l e , a m o n g the 4 0 0 grants that were given in the f i r s t year o f t h e p r o g r a m was $ 1 , 5 0 0 t o t h e C a n a d i a n A r a b Associational in M o n t r e a l to teach A r a b folklore a n d dancing, a n d $5,000 to the Mennonite community in Waterloo to celebrate the Amish quincentennial. 3 6

T h e "Guidelines for Submissions for Grants u n d e r the Multicultural P r o g r a m m e " e m p h a s i z e t h e " m u l t i c u l t u r a l " goal o f t h e p r o g r a m in the C a n a d i a n c o n t e x t . T h e criteria considered for granti n g f u n d s t o a specific p r o j e c t i n c l u d e w h e t h e r i t i s " d e s i g n e d t o s h a r e a c u l t u r a l h e r i t a g e w i t h o t h e r C a n a d i a n s , " w h e t h e r i t will " p r o m o t e an awareness of C a n a d a ' s cultural diversity," a n d w h e t h e r i t will "assist i m m i g r a n t s t o b e c o m e full p a r t i c i p a n t s i n C a n a d i a n society." 3 7

3 6 . Globe and Mail, T o r o n t o , O c t o b e r 1 5 , 1 9 7 3 . 37. Citizenship dated).

Branch,

Department

of the

Secretary

of State,

Ottawa

(un-

288

John

Porter

A problem is that many ethnic organizations are m o r e interested in p r o m o t i n g their cultures within their o w n e t h n i c c o m m u n i t i e s t h a n in s h a r i n g cultures with o t h e r C a n a d i a n s . Because of that, the p r o g r a m could b e c o m e a multi-unicultural o n e . In O c t o b e r 1973 the federal g o v e r n m e n t sponsored the first national conference on multiculturalism in Ottawa to which 4 0 0 delegates went from a c r o s s t h e c o u n t r y . I n his s p e e c h t o d e l e g a t e s D r . S t a n l e y H a i d a s z , t h e minister responsible for multiculturalism, s a i d , "Those who t h i n k m u l t i c u l t u r a l i s m i s a cynical f o r m o f t o k e n i s m o r a s o p t o keep some ethno-cultural groups happy" should know that mult i c u l t u r a l i s m i s a p e r m a n e n t g o v e r n m e n t policy. 3 8

N o n - E n g l i s h , n o n - F r e n c h e t h n i c i t y , t h e n , c o n t i n u e s t o b e a sal i e n t f e a t u r e o f C a n a d i a n social s t r u c t u r e . W h e t h e r i t will e v e n t u ally b e i n t e g r a t i v e o r divisive, i n t h a t t h e e m p h a s i s o n C a n a d a ' s m u l t i e t h n i c i t y will i n t e n s i f y F r e n c h n a t i o n a l i s m , m u s t b e left t o t i m e . F o r t h o s e w h o view t h e e t h n i c r e v i v a l a s s o m e t h i n g g o o d because it represents something deep a n d primordial a n d genuinely h u m a n , C a n a d a m u s t a p p e a r a s a n a t t r a c t i v e p l a c e t o live. H o w e v e r , i t i s m y i n t e n t i o n t o r a i s e s o m e s e r i o u s d o u b t s a b o u t this revival o f e t h n i c i t y , n o t o n l y for C a n a d a , b u t f o r o t h e r a d v a n c e d societies a n d p e r h a p s d e v e l o p i n g o n e s a s well.

SOME Q U E S T I O N S A B O U T T H E REVIVAL OF E T H N I C I T Y In s o m e r e s p e c t s the revival is regressive. B e c a u s e it e m p h a s i z e s descent g r o u p identification and e n d o g a m y , i m p o r t a n t principles o f e t h n i c g r o u p s u r v i v a l , i t r u n s t h e risk o f b e l i e v e d - i n b i o l o g i c a l d i f f e r e n c e s b e c o m i n g t h e basis o f i n v i d i o u s j u d g m e n t s a b o u t g r o u p s o f p e o p l e , a m a t t e r t o w h i c h w e will r e t u r n l a t e r . M o r e o v e r , w h e r e ethnicity is salient t h e r e is often an association b e t w e e n ethnic d i f f e r e n c e s a n d social class a n d i n e q u a l i t y . T h a t i s w h y m u c h o f the discussion of the relations between ethnic g r o u p s concerns e q u a l i t y , e q u a l i t y o f legal r i g h t s , political r i g h t s , a n d i n t h e m o r e r e c e n t p e r i o d , social r i g h t s s u c h a s e d u c a t i o n , j o b s , g o o d h e a l t h , a n d e q u a l i t y o f o p p o r t u n i t y . Class i n e q u a l i t y b e c o m e s o b s c u r e d 3 8 . Globe and Mail, T o r o n t o , O c t o b e r 17, 1 9 7 3 .


289

a n d m o r e difficult t o a n a l y z e w h e r e t h e r e i s e t h n i c h e t e r o g e n e i t y i n t h e social s t r u c t u r e . T h i s m a y reflect s o m e i n a d e q u a c y i n t h e s o c i o logical t h e o r i e s o f class, a l m o s t all o f w h i c h a s s u m e e t h n i c h o m o g e neity. S o m e s c h o l a r s c o n t e s t t h e view t h a t w h e n e t h n i c d i f f e r e n t i a t i o n i s a n i m p o r t a n t o r g a n i z i n g p r i n c i p l e o f social life i t m u s t also r e s u l t i n ethnic g r o u p s forming a hierarchy of inequality, creating what has c o m e to be called e t h n i c stratification. O n e w r i t e r , D o n a l d L. N o e l , raises that q u e s t i o n in d e v e l o p i n g a t h e o r y of t h e origins of e t h n i c stratifications a n d a n s w e r s it in this w a y . "Distinct e t h n i c g r o u p s can interact a n d f o r m a stable p a t t e r n of relations w i t h o u t s u p e r s u b o r d i n a t i o n . " T h e "classical e x a m p l e " h e g i v e s i s o f t h e T u n g u s a n d Cossacks of n o r t h w e s t e r n Siberia from an anthropological s t u d y o f 1 9 3 8 . T h i s a t least s u g g e s t s t h a t e t h n i c d i f f e r e n t i a t i o n without some hierarchical features is rare. Certainly the d e g r e e a n d s t r e n g t h o f h i e r a r c h y d e p e n d u p o n m a n y factors, a n d t h e r e have been m a n y studies of the conditions u n d e r which super- a n d s u b o r d i n a t i o n exist in plural or m u l t i e t h n i c societies. 3 9

40

M y o w n view i s t h a t e t h n i c s a l i e n c y o r d i f f e r e n t i a t i o n i n social s t r u c t u r e always c r e a t e s a h i g h risk of e t h n i c stratification. To u n d e r s t a n d t h e i n t e r p l a y b e t w e e n e t h n i c i n e q u a l i t i e s a n d class i n e q u a l ities it is i m p o r t a n t to l o o k at h o w e t h n i c d i f f e r e n t i a t i o n in a society c o m e s a b o u t . Multiethnic societies a r e c r e a t e d t h r o u g h conquest or migration. Where there is conquest, the conquerors take over the high status activities—even if these are confined to 39. D o n a l d L. N'oel, "A T h e o r y of Ethnic Stratification," Social Problems, 16 (Fall 1968), 1 5 7 - 1 7 2 . 40. See, for e x a m p l e , T a m o t o u S h i b u t a n i a n d Kian M. K u a n , Ethnic Stratification: A Comparative Approach (New York. Macmillan, 1965): Stanley L i e b e r s o n , "A Societal T h e o r y of Race a n d Ethnic Relations," American Sociological Review, 36 ( D e c e m b e r 2 6 , 1971), 9 0 2 - 9 1 0 ; B u r t o n B e n e d i c t , "Stratification in Plural Societies," American Anthropologist, 64 (1962), 1 2 3 5 - 1 2 4 6 ; J o h n Rex, Race Relations in Sociological Theory (New York, Schocken B o o k s , 1970); R. A. S c h e r m e r h o r n , Comparative Ethnic Relations; A Framework for Theory and Research (New Y o r k , R a n d o m H o u s e , 1970); M. G. S m i t h , Stratification in Granada (Berkeley, University of California Press, 1965). F o r two e a r l i e r s t a t e m e n t s see J. S. F u r n i v a l , Colonial Policy and Practice ( C a m b r i d g e . C a m b r i d g e University Press, 1948), a n d Everett C. H u g h e s , " Q u e r i e s C o n c e r n i n g I n d u s t r y a n d Society G r o w i n g O u t o f Study o f E t h n i c Relations in I n d u s t r y , " American Sociological Review, 14.2 (April 1949), 2 1 1 - 2 2 0 .

290

John

Porter

exercising power as dominant minorities—and relegate the conq u e r e d populations to inferior statuses. Migration of peoples from o n e part of the world to a n o t h e r has been much more important than conquest in the creation of mult i e t h n i c societies, a t least i n t h e m o d e r n h i s t o r i c a l p e r i o d , b u t i t t o o creates relationships of subordination of some g r o u p s to others. T h e r e w a s , f i r s t o f all, u n f r e e m i g r a t i o n b y w h i c h slaves h a v e b e e n t r a n s p o r t e d for p l a n t a t i o n e c o n o m i e s , f o r c o t t o n a n d c a n e . T h e r e w a s also t h e c o n s t r a i n e d m i g r a t i o n o f i n d e n t u r e d l a b o r , w h i c h w a s a c o m m o n practice of the E u r o p e a n powers in their colonial e m pires, a n d m a n y of their former colonies, which are now developing countries, have the roots of their ethnic diversity in these p r o cesses. E u r o p e a n p o w e r s also o f t e n f o r c e d t o g e t h e r v a r i o u s t r i b a l groups of great cultural differences into administrative units convenient for their o w n p u r p o s e s . N o w that m o s t of t h e colonies h a v e achieved i n d e p e n d e n c e from their E u r o p e a n creators m a n y of t h e m a r e s u b j e c t t o s e v e r e s t r a i n s . T h e s e conflicts a r e b e t w e e n e t h nic g r o u p s a n d most o f t h e m a r e a b o u t which o n e s h o u l d r u l e , w h o should have privilege a n d who should have the g o o d jobs. O n e has o n l y t o m e n t i o n t h e C o n g o , N i g e r i a , P a k i s t a n t o r e m e m b e r t h e viol e n c e with w h i c h t h e s e d i s p u t e s a r e s e t t l e d . New nations d e v e l o p e d mainly by E u r o p e a n s in sparsely p o p u lated regions such as the United States, C a n a d a , Australia, a n d S o u t h A f r i c a first f o r c e d t h e a b o r i g i n a l g r o u p s t o t h e b a s e o f t h e stratification s t r u c t u r e . Ethnic d i f f e r e n t i a t i o n t h e n a r o s e t h r o u g h i m m i g r a t i o n w h i c h was f r e e , o r r e l a t i v e l y f r e e , i f t h e e c o n o m i c a n d political f a c t o r s i n s o m e o f t h e c o u n t r i e s o f o r i g i n w h i c h p r o m p t e d i t a r e c o n s i d e r e d . I t was o n l v r e l a t i v e l y f r e e also b e c a u s e t h e r e c e i v i n g societies w e r e d o m i n a t e d b y p e o p l e w h o g o t t h e r e f i r s t a n d from their position of earlv " e n t r a n c e status" d e t e r m i n e d t h e conditions u n d e r which o t h e r g r o u p s m i g h t enter. Migration is an economic process, the m o v e m e n t of labor with c a p i t a l . T h e h o s t society r e g u l a t e s t h e m o v e m e n t w i t h v a r y i n g d e grees of rigidity by m a k i n g invidious j u d g m e n t s a b o u t t h e a p p r o priateness of p e o p l e of particular o r i g i n s for particular j o b s . T h i s selective p r o c e s s , b y w h i c h p e o p l e w e r e s o r t e d o u t a c c o r d i n g t o t h e q u a l i t i e s o r a p t i t u d e s t h a t w e r e t h o u g h t t o suit t h e m f o r d i f f e r e n t


291

e c o n o m i c activities, w a s i n t e n s i f i e d i n t h e t w e n t i e t h c e n t u r y a s t h e N o r t h A m e r i c a n societies b e c a m e m o r e i n d u s t r i a l i z e d . E v e n t h e laissez-passer system by which E u r o p e a n s c a m e i n t o t h e U n i t e d States, o r l e a p f r o g g e d t h r o u g h C a n a d a , was a b a n d o n e d , a n d t h e legal restrictions which w e r e ultimately i m p o s e d i n b o t h C a n a d a a n d t h e U n i t e d S t a t e s w e r e racist i n t h a t t h e y h a d a s t h e i r o b j e c t i v e the m a i n t e n a n c e of the existing ethnic composition, based on the d o m i n a n c e o f British a n d N o r t h e r n E u r o p e a n g r o u p s . A l o n g with this m i x i n g u p o f t h e p e o p l e s o f t h e w o r l d t h r o u g h empire a n d economic expansion went an ideology of racism, masq u e r a d i n g as a pseudo-science of race differences, which a t t e m p t e d to demonstrate that some groups were inherently superior to o t h e r s a n d that it was m o r e than a coincidence that those w h o w e r e ranked highest controlled the economic processes of the society. 41

M o r e r e c e n t l y w e h a v e s e e n t h e f u r t h e r d i f f e r e n t i a t i o n o f stratification systems as a result of new ethnic migrations, in t h e U n i t e d States P u e r t o Ricans, in E n g l a n d i m m i g r a n t s from the colored C o m m o n w e a l t h , in France Algerians. T h r o u g h o u t western E u r o p e I t a l i a n , S p a n i s h , a n d P o r t u g u e s e l a b o r e r s h a v e e n t e r e d t h e social structure, generally as unskilled labor a n d sometimes, unless prot e c t e d b y c o m m o n m a r k e t a g r e e m e n t s , w i t h few l e g a l r i g h t s . 4 2

I n C a n a d a this historical r e l a t i o n s h i p b e t w e e n m i g r a t i o n a n d e c o n o m i c o r class p o s i t i o n h a s b e e n r e i n f o r c e d b y t h e h e a v y i m m i g r a t i o n since 1945, despite recent c h a n g e s in i m m i g r a t i o n r e g u lations d e s i g n e d to r e d u c e the preferential position of the British a n d o t h e r s m o s t like t h e m . I m m i g r a n t s from Britain a n d the U n i t e d States c o n t i n u e to be heavily o v e r - r e p r e s e n t e d in t h e h i g h e r professional, m a n a g e r i a l , a n d white-collar o c c u p a t i o n a l levels, while those f r o m P o r t u g a l a n d G r e e c e a r e t a k i n g over f r o m Italians 4 3

41.

S e e , f o r e x a m p l e , M a d i s o n G r a n t , The Passing o f the Great Race ( N e w Y o r k ,

Scribners, 1921). 42. Hans van

Houte and

Willy

M e l g e r t , Foreigners i n Our Community

(London,

R e s e a r c h Services Ltd., 1972). S e e also " I m m i g r a n t L a b o r e r s in W e s t e r n E u r o p e , "

Sew York Times, S e p t e m b e r 2 1 , 1 9 7 3 , a n d " E u r o p e ' s H i r e d P o o r , " New York Times Magazine, D e c e m b e r 9 , 1 9 7 3 . 43. John

Porter,

The

Vertical Mosaic

(Toronto,

University of T o r o n t o

Press,

1 9 6 5 ) , c h a p . 3 ; a n d B e r n a r d R . B l i s h e n , " C l a s s a n d O p p o r t u n i t y i n C a n a d a , " Ca-

nadian Review of Sociology and Anthropology, 7 ( M a y 1 9 7 0 ) , 1 1 0 - 1 2 7 .

John

292

Porter

a t t h e l o w e r levels o f t h e i m m i g r a n t l a b o r f o r c e . C a r i b b e a n a n d Asian countries are now a p p e a r i n g as a new source of immigrants t o C a n a d a a n d will, b e c a u s e o f e a r l y c o n t r o l s o n i m m i g r a t i o n o f C h i n e s e a n d J a p a n e s e , a n d the previously small black p o p u l a t i o n , m a k e c o l o r a n e w l y visible e l e m e n t i n t h e s t r u c t u r e o f e t h n i c s t r a t i fication. All m u l t i e t h n i c s o c i e t i e s h a v e t o d e a l w i t h t h e p r o b l e m s o f l e g a l , p o l i t i c a l , a n d social r i g h t s w h i c h s t e m f r o m t h e i n e q u a l i t y b e t w e e n their c o m p o n e n t ethnic g r o u p s . T h e y vary so widely with respect to basic f e a t u r e s of e c o n o m i c d e v e l o p m e n t a n d political c u l t u r e that it is questionable w h e t h e r it is very instructive to p u r s u e an u n d e r standing of interethnic relations, or the m a n a g e m e n t of t h e m , t h r o u g h c o m p a r a t i v e analysis. H o w e v e r , t h e t e m p t a t i o n t o cons t r u c t a n o t h e r t y p o l o g y , e v e n t h o u g h o t h e r s a l r e a d y exist, i s difficult to avoid. 4 4

C o n s i d e r f o u r sets o f d i c h o t o m i e s . T h e r e a r e o l d a n d n e w n a tions; t h e r e are d e v e l o p e d a n d u n d e r d e v e l o p e d ones; t h e r e are those built up t h r o u g h migration or " p a s t e d " together in the p r o cess o f d e c o l o n i z a t i o n ; t h e r e a r e t h o s e i n w h i c h t h e e t h n i c u n i t s h a v e t e r r i t o r y a n d those in which they a r e d i s p e r s e d . H o w societies d e a l w i t h p r o b l e m s o f e t h n i c i n e q u a l i t y will d e p e n d t o a g r e a t e x t e n t o n w h e r e t h e y fall w i t h i n this set o f d i c h o t o m i e s . M u c h o f t h e r e c e n t sociological d i s c u s s i o n o f i n t e r e t h n i c r e l a t i o n s c o n c e r n s t h e stability o f m u l t i e t h n i c societies w h i c h a r e o n t h e r o a d t o d e v e l o p m e n t a n d w h o s e basic i n s t i t u t i o n s a n d c u l t u r e a r e p r e m o d e r n . T h e stability a n d d e v e l o p m e n t o f t h e T h i r d W o r l d i s w i t h o u t d o u b t a d e s i r a b l e o b j e c t i v e , b u t a n y s o l u t i o n s t o its e t h n i c p r o b l e m s a r e n o t likely t o b e v e r y h e l p f u l i n t h e d i s c u s s i o n o f e m p l o y m e n t q u o t a s i n t h e U n i t e d States o r policies o f m u l t i c u l turalism for C a n a d a . T h e ethnic identity of a H u t u or an Ibo m u s t surely be of such profoundly different psychological quality a n d social c o n s e q u e n c e f r o m t h a t , say, o f a n I t a l i a n A m e r i c a n o r a U k r a i n i a n C a n a d i a n that the subjective states involved a r e scarcely of the same o r d e r . It is questionable w h e t h e r both can be considered "primordial." 44.

See

the typologies

in

R.

A.

S c h e r m e r h o r n , Comparative Ethnic Relations,

Stanley L i e b e r s o n , "A Societal T h e o r v of Race a n d Ethnic Relations."

and


293

A p r e m o d e r n t r i b a l c u l t u r e , i n w h i c h a p e o p l e c o n s i d e r i t legitim a t e t o d o m i n a t e b y b r u t a l m e a n s rivals w h o m s o m e act o f h i s t o r y h a s p l a c e d in a c o m m o n political s t a t e , is a vastly d i f f e r e n t s i t u a t i o n f r o m a society w i t h legally s a f e g u a r d e d r i g h t s a n d f r e e d o m s a n d a history o f liberty. T h u s minority rights h a v e very d i f f e r e n t m e a n ings i n d i f f e r e n t m u l t i e t h n i c societies, b u t b e c a u s e m o d e r n c o m munications contribute to the world p h e n o m e n o n of ethnic revival, these differences are overlooked. Ethnicity may be genuinely prim o r d i a l a n d essential to individual survival in a f o r m e r African c o l o n y m a d e i n t o a n artificial political u n i t , b u t i n a society o n t h e t h r e s h o l d o f p o s t - i n d u s t r i a l i s m i t c o u l d , w i t h its g r e a t e m p h a s i s o n t h e p a r t i c u l a r i s t i c , b e c o n s i d e r e d atavistic i f i t w e r e t o b e c o m e a s a l i e n t o r g a n i z i n g p r i n c i p l e o f social life. C o m p a r i s o n is. h o w e v e r , u s e f u l b e t w e e n societies w h i c h c a n b e located in similar positions with respect to the previously m e n t i o n e d d i c h o t o m i e s . C a n a d a a n d t h e U n i t e d States, for e x a m p l e , a r e b o t h new n a t i o n s built u p t h r o u g h m i g r a t i o n a n d h a v e " d e m o c r a t i c " political c u l t u r e s . G e n e r a l l y t h i s political c u l t u r e h a s b e e n liberal in the sense which Parsons has recently used in t r a c i n g t h e secularization that followed the d e m o c r a t i c revolutions with thenslogans of liberty, equality, a n d f r a t e r n i t y .

4 5

A m o n g these liberal

v a l u e s was t h e n o t i o n t h a t t h e e t h n i c s t r a t i f i c a t i o n w h i c h r e s u l t e d f r o m i m m i g r a t i o n was t e m p o r a r y a n d w o u l d not h a r d e n i n t o a p e r m a n e n t class s y s t e m . M o s t l i b e r a l social scientists v i e w i n g this p h e n o m e n o n o f e t h n i c stratification a s s u m e d that over time processes which they called absorption, assimilation, a n d acculturation would eliminate this relationship between national or ethnic origin a n d economic condit i o n a n d t h e y a d v o c a t e d policies t h a t w o u l d l e a d t o s u c h a r e s u l t . Moreover, educational institutions, m o r e so in the U n i t e d States t h a n in C a n a d a , w e r e g e a r e d to p r o v i d e s o m e equality of o p p o r t u n i t y for all y o u n g p e o p l e . T h e e m p h a s i s w a s o n i n d i v i d u a l a c h i e v e m e n t a n d in the context of a new nation with universalistic standards of j u d g m e n t it meant forgetting ancestry and attempting to establish a society of equality w h e r e e t h n i c origin d i d n o t m a t t e r . 45.

T a l c o t t P a r s o n s , The System of Modern Societies ( E n g l e w o o d C l i f f s , N . J . , P r e n -

tice-Hall, 1971), c h a p . 5.

294

John

Porter

S o m e fears w e r e e x p r e s s e d , o f c o u r s e , that these liberal assimilationist values w o u l d r e q u i r e a large m e a s u r e of A n g l o - c o n f o r m i t y on the p a r t of " n o n - A n g l o " g r o u p s . In a large m e a s u r e these fears w e r e p r o b a b l y justified, b u t it c o u l d also be said t h a t w h a t was b e i n g a d v o c a t e d was c o n f o r m i t y to t h e values of societies l e a d i n g in the modernizing process. If universalistic s t a n d a r d s a n d a c h i e v e m e n t values were i m p o r tant for the mobility offered by the occupational s t r u c t u r e of a m o d e r n i z i n g s o c i e t y , t h e n l i b e r a l a s s i m i l a t i o n i s t policies s e r v e d t o p r o v i d e o p p o r t u n i t y f o r t h o s e o f all e t h n i c o r i g i n s . T h e r e v i v a l o f ethnicity a n d the c o n s e q u e n t labeling could m e a n an e m p h a s i s on the contrary values of particularism a n d ascriptive criteria which w o u l d b e less c o n d u c i v e t h a n i m p e r f e c t l y a p p l i e d u n i v e r s a l i s t i c s t a n d a r d s to equality of o p p o r t u n i t y a n d mobility in t h e two major N o r t h A m e r i c a n societies. M o b i l i t y m e a n s m o v e m e n t u p m o r e t h a n t h e o c c u p a t i o n a l syst e m . I t also m e a n s m o v e m e n t i n t o h i g h e r levels o f p o l i t i c a l a n d e c o nomic power structures. Hence, as ethnicity has o p e r a t e d in the p a s t a s a s e l e c t i v e d e v i c e t o s o r t a n d sift p e o p l e w i t h i n t h e o c c u p a t i o n a l s t r u c t u r e i t h a s also s e r v e d a s a f o r m o f class c o n t r o l o f t h e major power structures by charter ethnic groups who remain overr e p r e s e n t e d in t h e elite s t r u c t u r e s . T h u s t h e U n i t e d States a n d C a n a d a , b o t h societies within t h e w e s t e r n liberal t r a d i t i o n w i t h e t h n i c i t y a s a s a l i e n t f e a t u r e , s e e m t o be faced with a d i l e m m a ; on the o n e h a n d if they value a n d e m phasize ethnicity, mobility a n d o p p o r t u n i t y a r e e n d a n g e r e d , on the o t h e r h a n d i f t h e y e m p h a s i z e m o b i l i t y a n d o p p o r t u n i t y , i t will b e a t t h e cost o f s u b m e r g i n g c u l t u r a l i d e n t i t y . T h e d i l e m m a is stated in the h y p o t h e s i s of F r a n k Vallee, in his study of French Canadian communities outside of Quebec, comm u n i t i e s w h i c h a r e like e t h n i c g r o u p s a n y w h e r e else i n C a n a d a i n that they a r e spatially d i s p e r s e d a n d w i t h o u t territory. His h y p o t h esis is as follows: T h e m o r e a minority g r o u p t u r n s in u p o n itself a n d c o n c e n t r a t e s on making its position s t r o n g , the m o r e it costs its m e m b e r s in terms of t h e i r chances to m a k e t h e i r way as individuals in t h e larger system . . . A m o n g ethnic minority g r o u p s which strive to maintain l a n g u a g e and o t h e r dis-


295

tinctions, motivation to aspire to high-ranking social and economic positions in the larger system will be weak, unless, of course, it is characteristic of the ethnic groups to put a special stress on educational and vocational achievement. 46

The last observation applies especially to Jews, but generally Vallee argues that any collectivity has limited resources and energies and cannot spend them on maintaining ethnic specific institutions and at the same time prepare its members for achievement in the larger society of which it is a part. The choice is no doubt a cruel one, particularly so because it cuts across the generations, introducing a contradiction between the parents' rights and choices with those their children might prefer. Nonetheless, the present drift seems to be against the liberal assimilationist views, now pejoratively referred to as being overly rational, secular, and universalistic. For some, the revival of ethnicity has come about precisely because of the failure of universalistic and achievement values to take hold, and thus create a society of equality of opportunity and condition. Ethnic stratification has been a feature of both the United States and Canada. Consequently there has been a shift to achieving equality through a system of organized minorities demanding rights and making .claims qua minorities, and away from human rights legislation, fair employment practices legislation and the like, which were a product of the liberal value system and which were to provide individuals—not groups or collectivities—with rights, enforceable in the courts, against discrimination. It is no doubt understandable that because of the failure of these instruments, fashioned as they were for the individual, minorities have had to organize to obtain some measure of distributive justice when deprivation remained concentrated within particular groups. The increasing demands of deprived groups and the accumulating evidence of their deprivation have brought certain pol47

4 6 . F r a n k G . V a l l e e a n d N o r m a n S h u l m a n , " T h e V i a b i l i t y of F r e n c h G r o u p i n g s Outside

Quebec,"

in

Mason

Wade,

e d . , Regionalism

in

the

Canadian Community

( T o r o n t o , University o f T o r o n t o Press, 1969), p . 9 5 . 4 7 . S e e A n d r e w G r e e l e y , " T h e R e d i s c o v e r y o f D i v e r s i t y , " The Antioch Review 3 1 (Fall 1 9 7 1 ) , 3 4 9 ; a n d " T h e N e w E t h n i c i t y a n d B l u e Collars,"Dissent ( W i n t e r 1 9 7 2 ) .

John

296

Porter

icy r e s p o n s e s b y d o m i n a n t m a j o r i t i e s a s r e p r e s e n t e d b y g o v e r n m e n t s a n d o t h e r p o w e r g r o u p s . T h e s e policy responses have p r o d u c e d a new terminology; affirmative action, positive discrimin a t i o n , p r e f e r e n t i a l h i r i n g a n d b e n i g n q u o t a s . T h e n e w instruments, focused as they are on g r o u p s , a n d providing what m i g h t b e called g r o u p rights, for e x a m p l e , t o p r o p o r t i o n a l r e p r e s e n t a t i o n w i t h i n all i n s t i t u t i o n a l h i e r a r c h i e s , c o n s t i t u t e a r a d i c a l d e p a r t u r e f r o m a society o r g a n i z e d o n t h e p r i n c i p l e s o f i n d i v i d u a l a c h i e v e m e n t a n d universalistic j u d g m e n t s , e v e n if these w e r e often h o n o r e d as m u c h in the breach as in the observance, to one organ i z e d o n g r o u p c l a i m s t o r e p r e s e n t a t i o n o n t h e basis o f p a r t i c u l a r , r a t h e r than universal, qualities. I t i s i n t e r e s t i n g i n this r e s p e c t t h a t t h e U n i v e r s a l D e c l a r a t i o n o f H u m a n Rights, which e n c o u r a g e d a g o o d deal of t h e postwar h u m a n rights legislation, n o w h e r e m e n t i o n s g r o u p rights, b u t speaks entirely in terms of the rights of individual h u m a n beings. I t i s n o t p o s s i b l e , i n C a n a d a a t least, t o f i n d t h e c o n c e p t o f g r o u p rights e m b o d i e d i n j u r i s p r u d e n c e e x c e p t p e r h a p s for t h e so-called aboriginal rights a n d treaty rights of native I n d i a n s . W h e n the evidence is very clear that discrimination a n d deprivat i o n b e a r s o h e a v i l y o n e t h n i c m i n o r i t i e s , i t s e e m s logical t o c o r r e c t the condition t h r o u g h positive d i s c r i m i n a t i o n in which institutions, c o r p o r a t i o n s , u n i v e r s i t i e s , a n d t h e like, a r e r e q u i r e d t o m a i n t a i n quotas t h r o u g h o u t their hierarchical structures to m a k e t h e m representative with respect to minorities. T h e s e processes have g o n e m u c h f u r t h e r i n t h e U n i t e d States t h a n i n C a n a d a , w h e r e t h e y a r e largely confined to federal g o v e r n m e n t a t t e m p t s to i m p r o v e t h e position of the F r e n c h in the federal public service, a n d of native people—the most wretchedly deprived of all—in areas w h e r e the federal g o v e r n m e n t awards contracts. H o w e v e r , in response to reco m m e n d a t i o n s o f t h e Royal C o m m i s s i o n o n t h e S t a t u s o f W o m e n ( 1 9 7 0 ) s i m i l a r p o l i c i e s o f positive d i s c r i m i n a t i o n f o r t h i s d e p r i v e d "minority" are beginning to a p p e a r . 4 8

Positive d i s c r i m i n a t i o n b r i n g s a n e w p r o b l e m i n d i s t u r b i n g existing relationships b e t w e e n ethnic a n d o t h e r minorities within oc4 8 . Report of the Royal Commission on the Status of Women in Canada ( I n f o r m a t i o n Canada,

1970).

Ethnic P l u r a l i s m in C a n a d a

297

cupational structures that have been accepted a n d institutionalized in the c o u r s e of their historical d e v e l o p m e n t . In C a n a d a , an English-speaking p e r s o n reacts against a p p o i n t m e n t s a n d p r o m o tions which favor the F r e n c h , as an eastern E u r o p e a n "ethnic" in t h e U n i t e d States w o u l d to positive discrimination in favor of n o n whites, or a m a n against such discrimination in favor of a w o m a n . W h a t e v e r its b e n e f i t s , a n d h o w e v e r m u c h its p u r p o s e s c a n b e u n d e r s t o o d , p o s i t i v e d i s c r i m i n a t i o n b r i n g s t h e s e i n s t i t u t i o n a l i z e d differences in p o w e r a n d privilege between the majority a n d minorities well i n t o v i e w a n d gives a n e w s a l i e n c y t o m i n o r i t y a n d p e r h a p s p s e u d o - m i n o r i t y g r o u p m e m b e r s h i p , a n d intensifies h o s tility a n d r i v a l r y . T h e i n d i v i d u a l , i n o r d e r t o m a k e his c l a i m s , will h a v e t o d e t e r m i n e t o which g r o u p h e b e l o n g s , a n d o n e can visualize a s o m e w h a t c o m p l e x p a s s - b o o k a r r a n g e m e n t . M e m b e r s h i p c o u l d cross-cut in several ways, m a k i n g it necessary to calculate the m a x i m u m advantage for preferential e m p l o y m e n t a n d career prog r a m . T h e possibilities a r e endless, since societies can be viewed as i n t e r s e c t i n g sets o f m i n o r i t i e s a n d m a j o r i t i e s , d e f i n e d b y a n i n f i n i t e n u m b e r o f c r i t e r i a , all o f d i f f e r e n t r e l e v a n c e a t d i f f e r e n t t i m e s . T h e o r g a n i z a t i o n o f s o c i e t y o n t h e basis o f r i g h t s o r c l a i m s t h a t derive from g r o u p m e m b e r s h i p is sharply opposed to the concept of a society based on citizenship, which h a s b e e n such an i m p o r t a n t aspect i n t h e d e v e l o p m e n t o f m o d e r n societies. T h e individual m a k e s c l a i m s a s a c i t i z e n , a s t a t u s c o m m o n t o all m e m b e r s . T . H . Marshall has traced the d e v e l o p m e n t of citizenship rights a n d t h e m a n n e r i n w h i c h t h e y h a v e s e r v e d t h e p r o c e s s o f class a b a t e m e n t , a n d P a r s o n s has recently d r a w n o n Marshall's ideas a b o u t citizenship as central to t h e d e v e l o p m e n t of the system of m o d e r n s o c i e t i e s . T h e y a r e e s s e n t i a l also t o t h e d e v e l o p m e n t o f m o d e r n e g a l i t a r i a n i s m . F i r s t civil r i g h t s p r o v i d e d e q u a l i t y b e f o r e t h e l a w , t h e n political r i g h t s a l l o w e d p a r t i c i p a t i o n i n g o v e r n m e n t , e v e n t u ally social r i g h t s b r o u g h t a b o u t e d u c a t i o n , h e a l t h , a n d d e c e n t l i v i n g s t a n d a r d s a n d s o m e m e a s u r e of equality of condition. As Parsons h a s s a i d : " T h e e m e r g e n c e o f 'full' m o d e r n i t y t h u s w e a k e n e d t h e ascriptive framework of monarchy, aristocracy, established 4 9

49.

T. H. M a r s h a l l , Class, Citizenship and Social Development ( G a r d e n C i t y , N . Y . ,

Anchor,

1965).

298

John

Porter

c h u r c h e s a n d a n e c o n o m y c i r c u m s c r i b e d b y k i n s h i p a n d localism t o t h e p o i n t at which it no l o n g e r exercised decisive influence." 5 0

Citizenship rights a r e essentially universalistic w h e r e a s g r o u p rights a r e essentially particularistic. O n e o f t h e r e a s o n s why m a n y d e v e l o p i n g s o c i e t i e s c a n n o t b e c o m p a r e d w i t h m o d e r n societies i s t h a t t h e y h a v e n o t yet e m b o d i e d s o m e , o r i n d e e d a n y , o f t h e s e citiz e n s h i p r i g h t s i n e i t h e r t h e i r v a l u e s y s t e m s o r t h e i r social o r g a n i z a tion. T h e y r e m a i n essentially p r e m o d e r n , e m p h a s i z i n g tribalism a n d l o c a l i s m a n d r e s o l v i n g t h e i r e t h n i c conflicts, s o m e t i m e s e v e n t o t h e p o i n t of g e n o c i d e , with the particularistic focus. In m o d e r n western nations that have established democratic p r o c e d u r e s and, albeit i n a d e q u a t e l y , b u t n o n e t h e l e s s perceptively, have d e v e l o p e d t h e social r i g h t s o f c i t i z e n s h i p , e t h n i c conflict i s a b o u t e q u a l i t y o f c o n d i t i o n a n d full p a r t i c i p a t i o n i n a m o d e r n i z i n g o p p o r t u n i t y s t r u c t u r e a s well a s t h e political c o m m u n i t y . T o r e s o r t t o t h e g r o u p basis of s e t t l i n g c l a i m s , if n e c e s s a r y , is r e g r e t t a b l e . I now r e t u r n to the m a t t e r to which I r e f e r r e d earlier, that ethnic g r o u p s , b e c a u s e t h e y a r e b i o l o g i c a l d e s c e n t g r o u p s , a r e a r e gressive m e a n s of s a f e g u a r d i n g a n d t r a n s m i t t i n g c u l t u r e , a r e s p o n sibility w h i c h m a n y w o u l d a s s i g n t o t h e m . N o d o u b t c u l t u r a l s u r v i v a l c a n b e m o s t efficiently a c h i e v e d t h r o u g h t h e biological d e scent g r o u p because w h e n coupled with a n o t h e r principle firmly e m b e d d e d in o u r values—that parents have the inalienable right t h r o u g h cultural transmission to m a k e their children the vehicles o f t h e i r v a l u e s — r e c r u i t s a r e always a v a i l a b l e . T h e u s e o f t h e f a m i l y for e t h n o c u l t u r a l transmission requires that g r o u p s impress u p o n their m e m b e r s t h e value of m a r r y i n g within their own g r o u p . If t h e y d o n o t t h e y will lose t h e p r i m o r d i a l link with t r i b e o r n a t i o n a n d t h e e x c l u s i v e e t h n i c c l a i m s o n c u l t u r e will b e e r o d e d . E n d o g a m y is a process of exclusion. T h e r e was a time w h e n l o w e r i n g rates of e n d o g a m y could be taken as an index of lessening prejud i c e i n a m o r e l i b e r a l a n d o p e n society. I n t h e c u r r e n t r e t u r n t o ethnicity it seems a different j u d g m e n t , that such lowering rates c a n b e i n t e r p r e t e d a s a loss o f e t h n i c c o m m u n a l s t r e n g t h , i s b e i n g m a d e . T h e metal of e n d o g a m y is m o r e attractive because it is u n meltable. 50.

T a l c o l t P a r s o n s , The System of Modern Societies ( E n g l e u o o d C l i f f s , N . J . , P r e n -

tice-Hall, 1971), p p . 8 1 , 86.


299

W h e n descent g r o u p s are the principal carriers of culture there are d a n g e r s of new forms of racism. If "races" have been evaluated as inferior a n d superior, so can cultures be. Racism a n d "cult u r i s m " s t e m f r o m t h e fact t h a t b o t h a r e l i n k e d t o t h e m a i n t e n a n c e o f d e s c e n t g r o u p s o l i d a r i t y a n d e n d o g a m y . A f t e r all, i f e t h n i c i t y i s so i m p o r t a n t , if cultures a r e so different, t h e n it is easy to e x t e n d the a r g u m e n t that those of different ethnic groups a n d cultures m u s t also be d i f f e r e n t with respect to qualities which a r e t h o u g h t i m p o r t a n t in different parts of the work world a n d for e n t r a n c e to e l i t e s t a t u s . I t m a y n o t t a k e v e r y l o n g b e f o r e t h a t view b e c o m e s e x t e n d e d even further, to include the notion that qualitative cultural differences are inborn. W h e n that point is reached we have come full circle a n d w e b e g i n t o r e a l i z e t h a t t h o s e t h e o r i e s o f r a c e a n d e d i n i c d i f f e r e n c e s w h i c h w e t h o u g h t d e s t r o y e d o r a t least h i g h l y discredited by W o r l d W a r II have r e a p p e a r e d in a new guise with culture replacing race. A l o n g with t h e a r g u m e n t s s u p p o r t i v e o f t h e revival o f ethnicity c a n b e f o u n d a l s o t h e view t h a t c u l t u r e s h a v e a r i g h t t o live a n d i n dividuals a n d societies h a v e an obligation to see that they survive, a l t h o u g h surely history is as m u c h the g r a v e y a r d of cultures as it is of aristocracies. T h e desirability a n d responsibility of p r e s e r v i n g c u l t u r e t h r o u g h historical, archeological, a n d anthropological s t u d y , b e c a u s e w e w a n t t o k n o w h o w p e o p l e lived a t d i f f e r e n t t i m e s a n d places, is b e y o n d question. Often, in discussions of the survival of culture, o n e gets the impression that the reference is to cultural artifacts such as d a n c e , folklore, cuisine, music, crafts, a n d t h e like. C u l t u r a l a r t i f a c t s a l w a y s will s u r v i v e , b e c a u s e p e o p l e e n j o y t h e m , a n d that is good because they a d d variety. However, they do n o t r e q u i r e descent g r o u p identification to survive. Artifacts are u n l i k e values, some of which w h e n e m b e d d e d in particular cultures a r e particularly i n a p p r o p r i a t e for m o d e r n i t y , for e x a m p l e , t h e low e v a l u a t i o n of e d u c a t i o n for girls. If t h e r e a r e d a n g e r s of biological d e s c e n t g r o u p s p r e s e r v i n g cult u r e s t h r o u g h living t h e m , t h e r e a r e available associational ways of conserving culture. Some people find the culture of ancient Egypt fascinating a n d r e w a r d i n g to study. B u t if t h e culture of ancient Egypt is of value the various g r o u p s that p r e s e r v e it— archaeologists w h o get m o n e y to investigate it a n d a m a t e u r Egyptol-

John

300

Porter

ogists w h o m a k e it a h o b b y — m u s t recruit n e w m e m b e r s to carry on their interests. O n e way would be to r e q u i r e as a condition of m e m b e r s h i p that m e m b e r s marry within the Egyptology g r o u p , a n d , given t h e traditional role of the family as the u n i t of cultural transmission, e n s u r e the survival of t h e c u l t u r e of ancient E g y p t t h r o u g h t h e g e n e r a t i o n s . Alternatively, they can do as they always have d o n e a n d that is to recruit m e m b e r s by persuading others that s t u d y i n g a n d k e e p i n g alive this p a r t i c u l a r c u l t u r e i s a g o o d t h i n g . T h e obligation to conserve c u l t u r e is different from the obligat i o n t o live it. I n C a n a d a , f o r e x a m p l e , i t i s a t t i m e s s u g g e s t e d t h a t t h e E s k i m o s s h o u l d b e left a l o n e t o live t h e i r t r a d i t i o n a l h u n t i n g and nomadic culture rather than be encouraged to modernism e v e n t h o u g h , f o r t h e i n d i v i d u a l s i n v o l v e d , life i s m o r e o f t e n t h a n n o t nasty a n d b r u t i s h a n d s e l d o m long, a t least until m o d e r n gove r n m e n t health services a r e delivered to even the m o s t r e m o t e a r e a s . Yet few w o u l d a r g u e that m e d i c a l a t t e m p t s t o c o n t r o l t u b e r culosis s h o u l d be a b a n d o n e d in favor of the m o r e primitive h a r s h ness. N o t all c u l t u r e s h a v e e q u a l c l a i m s o n o u r m o r a l s u p p o r t . S o m e cultures treat h u m a n beings in p r o f o u n d l y i n h u m a n e ways. As C o n o r C r u i s e O ' B r i e n h a s said i n a r e c e n t d i s c u s s i o n o f t h e r i g h t s of minorities in developing countries: T h e c u l t u r e of a g r o u p may include systematic violations of basic h u m a n rights. W h e n we a r e told to respect t h e cultures of g r o u p s we a r e b e i n g told to respect things which may include for e x a m p l e t h e H i n d u caste system, t h e t r e a t m e n t of w o m e n in Islam a n d a n u m b e r of o t h e r cult u r e s , female circumcision in certain cultures, ostracism of twins, for exa m p l e in o d t e r s , a n d so o n . 5 1

So strongly are cultural rights advocated that people in m o d e r n nations, particularly those that m a k e claims to b e i n g democracies, are reluctant to persuade developing countries to be either democratic or m o d e r n . P e r h a p s considering their histories of imperialism a n d aggression they d o not speak with m u c h m o r a l a u t h o r i t y . B u t o u r claim to t h e j u d g m e n t of cultures is n o t p u t f o r w a r d bec a u s e w e h a v e c r e a t e d a p e r f e c t society, b u t b e c a u s e i n t h e c o u r s e 51.

I n The Times, L o n d o n , r e p r i n t e d a s " I n S e c e s s i o n a C a s e f o r t h e I n d i v i d u a l , "

i n t h e Globe and Mail, T o r o n t o , J a n u a r y 2 7 , 1 9 7 3 .

301


o f social e v o l u t i o n s o m e

p r i n c i p l e s o f social

life

have emerged

which are m o r e morally supportable than others. So far my e m p h a s i s h a s b e e n on t h e costs of e t h n i c saliency in m o d e r n societies. A r e t h e r e n o benefits? O n e s t r o n g a r g u m e n t for ethnic pluralism, widely accepted to s u p p o r t t h e idea of multicult u r a l i s m in C a n a d a , is t h a t it c r e a t e s d i v e r s i t y . A s o c i e t y w i t h a n u m b e r of different ethnic cultures in which t h e m e m b e r s of relatively e x c l u s i v e g r o u p s b e h a v e a l i k e , i t i s s a i d , will b e h e t e r o g e n e o u s r a t h e r t h a n u n i f o r m . Yet it could be that such diversity is m o r e enjoyed by the beholder—whatever O l y m p u s he might be viewing it f r o m — t h a n

any of the

actors

within

their enclaves.

M o r e o v e r , m o d e r n s o c i e t i e s a r e t h e m o s t d i f f e r e n t i a t e d o f all. JDiversity is almost a d e f i n i n g a t t r i b u t e for t h e m , b u t their diversity is o n e o f c h o i c e r a t h e r t h a n o f d e s c e n t . I n d e e d , t h e call t o e t h n i c loyalty s t e m s l a r g e l y f r o m t h e f e a r o f t h e d e s c e n t g r o u p t h a t m e m b e r s will d e s e r t i t f o r t h e d i v e r s i t y o f a n a s s o c i a t i o n a l r a t h e r t h a n a c o m munal type. A s t r o n g c a s e c a n b e m a d e f o r t h e r o l e o f e t h n i c g r o u p affiliation in solving p r o b l e m s of personal identity in t h e m o d e r n world of bureaucracy and technology. T h e r e is no doubt that ethnic groupi n g s c a n p l a y this r o l e , b u t , a s I h a v e a r g u e d , a t t h e p o s s i b l e c o s t o f p e r p e t u a t i n g ethnic stratification.

Identities

and

psychic shelters

can be found in o t h e r f o r m s of association a n d interest g r o u p s which a r e not based on descent, for it is this aspect of t h e ethnic g r o u p which is the source of irrational invidious comparison. T h e psychic shelter function o f ethnic affiliation has b e e n a n d continues to be important in Canada and no doubt in other mode r n s o c i e t i e s a s well, i n t w o s p e c i a l c o n t e x t s . O n e i s t h a t o f recentlyarrived

immigrants,

of which

Canada

continues

to

have

large

n u m b e r s i n its p o p u l a t i o n . T h e o t h e r i s t h e p o s i t i v e f u n c t i o n w h i c h e t h n i c affiliation h a s f o r t h e r a i s i n g o f t h e s e l f - c o n c e p t o f m e m b e r s o f low s t a t u s g r o u p s . F o r t h e i m m i g r a n t t h e transition to a n e w social e n v i r o n m e n t c a n b e f r a u g h t with psychic h a z a r d s , particularly i f h e c o m e s f r o m t h e Azores or the Abruzzi to metropolitan T o r o n t o . T h e question from t h e p o i n t o f view o f g e n e r a l social goals i s w h e t h e r t h e u s e f u l s t a g ing c a m p role o f t h e e t h n i c c o m m u n i t y b e c o m e s p e r m a n e n t , o r

302

John

Porter

w h e t h e r s o m e d i s p e r s i o n into t h e w i d e r society o f t h e v a r i o u s g r o u p s i n c r e a s e s his c h a n c e s o f a c h i e v e m e n t a n d m o b i l i t y i n t h e r e c e i v i n g society. C o m m i t m e n t t o t h e r e c e i v i n g society o n t h e p a r t o f i m m i g r a n t s m a y n o t b e a s s t r o n g n o w a s i t was sixty o r s e v e n t y y e a r s a g o . I m m i g r a n t s c o m e in m o d e r n j e t aircraft, settle into enclaves in t h e receiving metropolis, a n d c h a r t e r aircraft to take t h e m h o m e for visits. W h a t t h e j e t a i r c r a f t d o e s b e t w e e n M i l a n o a n d T o r o n t o , fast special trains d o from T o r i n o t o A m s t e r d a m . S o t h e link with t h e society o f o r i g i n i s n o t a s c o m p l e t e l y b r o k e n a s i t w a s i n t h e t i m e o f t h e l o n g s t e e r a g e passage across t h e Atlantic, a n d with this s h r i n k i n g o f d i s t a n c c t h e social s t a t u s o f m i g r a t i n g l a b o r will b e e v e r m o r e a m b i g u o u s i n t h e societies t o w h i c h i t m o v e s t o w o r k . T h e social s t a t u s o f p e r m a n e n t s t r a n g e r i s s o m e t h i n g n e w f o r m o d e r n societies. B u t w h e r e t h e s t a t u s o f c i t i z e n s h i p c a n b e a c q u i r e d , a s i n t h e U n i t e d S t a t e s a n d C a n a d a , social m o b i l i t y a n d a c h i e v e m e n t a l m o s t imply a c o m m i t m e n t to the values of m o d e r n i s m a n d a m o v e m e n t away from the ethnic c o m m u n i t y with each s u c c e e d i n g g e n e r a t i o n . T h e r e r e m a i n s t h e positive function t h a t e t h n i c identification c a n p l a y i n r a i s i n g t h e s e l f - c o n c e p t o f m e m b e r s o f low s t a t u s g r o u p s . T h e e n h a n c e m e n t of self-concept can serve c o n t r a r y e n d s . O n e is t o c o m p e n s a t e f o r low s t a t u s w i t h o u t d o i n g a n y t h i n g a b o u t it, v e r y m u c h a s e v a n g e l i c a l r e l i g i o n s d o f o r l o w e r classes i n e t h n i c a l l y h o m o g e n e o u s s o c i e t i e s o r low s t a t u s e t h n i c g r o u p s i n e t h n i c a l l y h e t e r o g e n e o u s societies. T h e o t h e r is to p r o v i d e a firm base f r o m which to achieve, although m a n y cultures do n o t e m p h a s i z e individual a c h i e v e m e n t , n o r d o t h e y p r o v i d e t h e a p p r o p r i a t e skills f o r it. F r o m t h e p o i n t o f view o f t h e I n d i a n s , d o e s p r o m o t i n g t h e i r o w n c u l t u r e h e l p t h e m t o w a r d equality in t h e p o s t i n d u s t r i a l society? If strong ethnic identification is to e n h a n c e the self-concept of an individual a n d t h u s p r o v i d e a firm base f r o m which to achieve, it is i m p o r t a n t to emphasize language r a t h e r t h a n culture. Identification with a n d t h e use of their o w n l a n g u a g e , p a r t i c u l a r l y in school, m a y b e i m p o r t a n t i n p r o v i d i n g o p p o r t u n i t y f o r v e r y low s t a t u s g r o u p s . F o r e x a m p l e , t h e u s e o f a n i m m i g r a n t l a n g u a g e , say, I t a l i a n or Portuguese a n d certainly the language of native peoples in C a n ada, may help a child in o v e r c o m i n g l e a r n i n g i m p e d i m e n t s that


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arise from using o n e l a n g u a g e at school a n d a n o t h e r at h o m e . He a c q u i r e s s o m e s e l f - c o n f i d e n c e w h e n his l a n g u a g e i s n o t d e s p i s e d . B u t such use of l a n g u a g e is quite different from the goal of h a v i n g e t h n i c c o m m u n i t i e s b e c o m e a p e r m a n e n t c o m p e n s a t i o n f o r l o w status, or as psychic shelters in t h e u r b a n - i n d u s t r i a l world. We w o u l d h o p e f o r a society i n w h i c h t h e c o m p e n s a t o r y r o l e o f t h e e t h n i c c o m m u n i t y is not necessary. I have tried to a r g u e what, particularly in my o w n country, is an u n p o p u l a r view, a n d t h a t i s t h a t t h e s a l i e n c y o f e t h n i c d i f f e r e n c e s i s a retreat from the liberal notions of the unity of m a n k i n d . B u t I would be naive i n d e e d — a n i n a p p r o p r i a t e state for a professional sociologist—if I w e r e n o t a w a r e of the political realities in t h o s e m o d e r n societies w h e r e d e p r i v e d m i n o r i t i e s s e e k t o r e d i s t r i b u t e social r e s o u r c e s t o r e d r e s s g r i e v a n c e s . Political r e a l i t i e s a r e n o t principles although they are often confused with t h e m , a n d hence, t h e q u e s t i o n i s w h e t h e r i n t e r e t h n i c conflicts c a n b e s o l v e d i n w a y s w h i c h a r e b o t h ethically acceptable a n d sociologically possible. I t i s m y view t h a t i n C a n a d a , i n t h e e m e r g i n g p o s t i n d u s t r i a l p h a s e , w i t h its o n e c u l t u r e o f s c i e n c e a n d t e c h n o l o g y a n d its e x t e n sive t r a n s n a t i o n a l n e t w o r k , b i l i n g u a l i s m c a n s u r v i v e . B u t t h a t p h a s e c a n s c a r c e l y b e b i c u l t u r a l , m u c h less m u l t i c u l t u r a l . I f b i l i n g u a l i s m i s t o b e a p a r t o f C a n a d a ' s f u t u r e , w e will r e q u i r e m o r e e x o g a m o u s m a r r i a g e s t o offset f a l l i n g fertility r a t e s i n Q u e b e c . W e will a l s o r e q u i r e vastly i m p r o v e d l a n g u a g e l e a r n i n g p r o g r a m s . U n d e r s u c h c i r c u m s t a n c e s , t h e r e w o u l d be no n e e d to rely only on g r o u p exclus i v e n e s s a n d e n d o g a m y f o r C a n a d a ' s two l a n g u a g e s t o s u r v i v e . W h a t of cultures? Cultures are tradition b o u n d . Anthropologists view c u l t u r e a s e s t a b l i s h e d w a y s o f d o i n g t h i n g s , o r o f v i e w i n g t h e w o r l d , or as designs for living a n d survival p a s s e d f r o m g e n e r a t i o n t o g e n e r a t i o n , a n d , w h i l e f o r societies m o r e s i m p l y o r g a n i z e d t h a n those of today, the role that cultures played a n d for m a n y c o n t i n u e t o p l a y was i m p o r t a n t , t h e y a r e less a n d less r e l e v a n t f o r t h e p o s t i n d u s t r i a l society b e c a u s e t h e y e m p h a s i z e y e s t e r d a y r a t h e r t h a n t o m o r r o w . C a n c u l t u r e s of t h e past serve societies facing the c o m i n g of postindustrialism? T h e one recurring t h e m e in many of the analyses of the next twenty-five years is t h e rapidity of c h a n g e , of t h e shock of the future. O n e can almost speak of the e n d of cul-

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t u r e , as s o m e h a v e written of t h e e n d of ideology. M a n y of t h e hist o r i c c u l t u r e s a r e i r r e l e v a n t t o o u r f u t u r e s . O p p o r t u n i t y will g o t o those individuals who are future oriented in an increasingly universalistic c u l t u r e . T h o s e o r i e n t e d t o t h e p a s t a r e likely t o lose o u t . O n e w o u l d like t o t h i n k , t o o , t h a t i n t h e U n i t e d S t a t e s t h e m o r a l l y d e s i r a b l e a n d sociologically p o s s i b l e w o u l d t a k e t h e d i r e c t i o n o f s o l v i n g p r o b l e m s o f n o n - w h i t e d e p r i v a t i o n a n d all i n e q u a l i ties t h r o u g h t h e l i b e r a l e m p h a s i s o n i n d i v i d u a l r a t h e r t h a n g r o u p rights. In the short r u n in both C a n a d a a n d the U n i t e d States it m a y n o t b e possible, b u t w e s h o u l d b e a w a r e o f t h e d a n g e r o f instit u t i o n a l i z i n g s h o r t - r u n p o l i c i e s : i f w e d o w e m a y well b e t u r n i n g back on the principles which have been evolving in o u r histories a n d which t h e revival of ethnicity contradicts.

10 ORLANDO PATTERSON

Context and Choice in Ethnic Allegiance: A Theoretical Framework and Caribbean Case Study THEORETICAL FORMULATION T h e objectives o f this c h a p t e r a r e t o a r g u e t h a t ethnicity c a n only b e u n d e r s t o o d i n t e r m s o f a d y n a m i c a n d c o n t e x t u a l view o f g r o u p a l l e g i a n c e s ; t h a t w h a t i s critical a b o u t a n e t h n i c g r o u p i s n o t t h e p a r t i c u l a r set o f s y m b o l i c o b j e c t s w h i c h d i s t i n g u i s h e s it, b u t t h e social u s e s o f t h e s e o b j e c t s ; a n d t h a t e t h n i c loyalties reflect, a n d a r e m a i n t a i n e d by, t h e u n d e r l y i n g s o c i o e c o n o m i c interests o f g r o u p members. In p u r s u i n g these objectives, we a s s u m e t h e following: t h a t h u m a n beings h a v e a variety of g r o u p allegiances; t h a t t h e s e allegiances m a y coincide o r o v e r l a p o r conflict with e a c h o t h e r ; a n d t h a t h u m a n b e i n g s s e e k t o m a x i m i z e t h e i r e c o n o m i c a n d social s t a t u s a n d m i n i m i z e t h e i r s u r v i v a l risks i n t h e s o c i e t i e s i n w h i c h t h e y live. O n e type of g r o u p allegiance is characterized by the quality ref e r r e d to as ethnicity. T h e use of this t e r m in t h e sociological literature is unsatisfactory, i n d e e d , often confused. T h e t e r m may be d e f i n e d i n t w o w a y s : o n e static a n d d e s c r i p t i v e , t h e o t h e r d y n a m i c a n d analytic. Most definitions of t h e t e r m have b e e n descriptive a n d static i n a n a t t e m p t t o i s o l a t e a set o f c h a r a c t e r i s t i c s o r t r a i t s b y 1

1.

T h e situation is q u i t e similar to w h a t Blalock calls t h e "healthy c o n f u s i o n " e x -

isting in the closely related a n d o v e r l a p p i n g field in minority g r o u p relations. S e e

H.

M.

B l a l o c k , J r . , Toward a Theory of Minority-Group Relations ( S a n t a

Capricorn Books, 1967), p. 2.

Barbara,

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w h i c h t h e t e r m m a y b e d e l i n e a t e d . H e r e i n lies m u c h o f t h e c o n f u s i o n . S u c h d e f i n i t i o n s e m p h a s i z e c u l t u r e a n d t r a d i t i o n a s t h e critical e l e m e n t s , a n d i n s o d o i n g , a r e s o d e s c r i p t i v e t h a t t h e y b e c o m e analytically useless, a n d often so inclusive t h a t they a r e n o t e v e n worthwhile as heuristic devices. Cultural attributes are of no intrinsic i n t e r e s t f r o m a d y n a m i c s t r u c t u r a l p e r s p e c t i v e . F r o m t h e l a t t e r viewpoint, what is i m p o r t a n t about the A m e r i c a n Jews is not the fact t h a t t h e y w o r s h i p o n S a t u r d a y s , o r t h a t t h e y h a v e c e r t a i n u n i q u e rituals or p a t t e r n s of socialization, b u t t h e functions of t h e s e rituals for t h e g r o u p — t h e ways in w h i c h they a r e u s e d to maintain g r o u p cohesiveness, sustain a n d e n h a n c e identity, and to e s t a b l i s h social n e t w o r k s a n d c o m m u n i c a t i v e p a t t e r n s t h a t a r e i m p o r t a n t f o r t h e g r o u p ' s o p t i m i z a t i o n o f its s o c i o e c o n o m i c p o s i t i o n i n t h e society. A t h e o r y o f e t h n i c c u l t u r a l e l e m e n t s a n d s y m b o l s i s an absurdity, because these symbols are purely arbitrary a n d u n i q u e to each case. S e c o n d , it is e x t r e m e l y i m p o r t a n t to n o t e t h a t t h e context of a g i v e n e t h n i c e x p e r i e n c e is o n e of t h e m o s t critical factors in defini n g it. O n c e w e u n d e r s t a n d t h i s , w e c a n b e g i n t o c l e a r u p a p e r s i s tent e r r o r which is often found in the descriptive literature. This is t h e view t h a t w h a t i s m o s t critical a b o u t e t h n i c i d e n t i t y i s t h e fact t h a t i t i s i n v o l u n t a r y a n d c a n n o t b e c h a n g e d . T h i s fallacy h a s a n a n c i e n t h e r i t a g e : t h e biblical r e f r a i n " C a n t h e E t h i o p i a n c h a n g e h i s s k i n o r t h e l e o p a r d his s p o t s ? " i s o n e o f t h e e a r l i e s t r e c o r d e d v e r s i o n s of it. It is o f t e n s t a t e d t h a t a d i s t i n g u i s h i n g f e a t u r e of t h e s e g r o u p s i s t h e fact t h a t i n d i v i d u a l s a r e b o r n i n t o s u c h g r o u p s a n d have no choice in the matter. O n e does n o t choose to be Jewish or black or C h i n e s e , it is claimed; r a t h e r , t h e c o n d i t i o n is c h o s e n for o n e by fate. 2

If one emphasizes—as o n e should, if o n e wants to be analytic— n o t t h e symbolic a n d c u l t u r a l objects b u t t h e s t r u c t u r a l significance o f these objects, t h e n o n e i m m e d i a t e l y r e c o g n i z e s t h e irrelevance o f such assertions. F r o m a structural a n d contextual viewpoint, there is an i m p o r t a n t sense in which t h e significance of a given ethnic at2.

T h e m o s t a r t i c u l a t e m o d e r n p r o p o n e n t o f t h i s v i e w i s H a r o l d R. I s a a c s . S e e

h i s c h a p t e r , " B a s i c G r o u p I d e n t i t y , " i n t h i s v o l u m e . S e e a l s o M . G o r d o n , Assimilation i n American Life ( O x f o r d , O x f o r d U n i v e r s i t y P r e s s , 1 9 6 4 ) , p . 2 9 .

C o n t e x t a n d Choice in Ethnic Allegiance

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t r i b u t e c a n c h a n g e a n d , a s s u c h , o n e c a n b e said t o h a v e s o m e choice i n t h e m a t t e r , since o n e can c h o o s e t h e sociological a n d psychological significance of t h e given trait. A n d t h e way in w h i c h this i s d o n e i s s i m p l y b y c h a n g i n g o n e ' s social c o n t e x t o r s e i z i n g t h e o p p o r t u n i t y o f f e r e d b y a c h a n g e , o v e r t i m e , i n o n e ' s social c o n t e x t . I will i l l u s t r a t e t h e p o i n t w i t h a n i n d i v i d u a l c a s e s t u d y . T a k e t h e case of a black J a m a i c a n w h o is a citizen of J a m a i c a a n d a p e r m a n e n t r e s i d e n t o f t h e U n i t e d S t a t e s . H e lives a n d w o r k s f o r a t o t a l o f eight m o n t h s i n t h e U n i t e d States a n d f o u r m o n t h s i n J a m a i c a . H e t r a v e l s b e t w e e n b o t h c o u n t r i e s twice a y e a r . I n J a m a i c a , w h i c h i s 9 5 p e r c e n t black, he belongs to the d e m o g r a p h i c a l l y d o m i n a n t majority a n d i s a m e m b e r o f t h e elite. I n t h e U n i t e d S t a t e s h e i s a m e m b e r of an e t h n i c g r o u p — t h e blacks, a l t h o u g h he holds a posit i o n o f s o m e s t a t u s i n t h a t society. C l e a r l y , i n o n e social c o n t e x t — J a m a i c a — t h e individual in question is not a m e m b e r of any ethnic g r o u p ; o n t h e c o n t r a r y , h e i s a n elite m e m b e r o f t h e d o m i n a n t g r o u p a n d his p r i m a r y a l l e g i a n c e i s t o t h e n a t i o n . I n t h e o t h e r c o n text, however, he is consciously a m e m b e r of an ethnic g r o u p . He r e g a r d s h i m s e l f a s a m e m b e r o f this g r o u p , a n d h e i s s o r e g a r d e d b y n o n - m e m b e r s o f this g r o u p i n A m e r i c a . T h u s , while h e d o e s n o t c h a n g e t h e color of his skin, t h e r e is a real a n d m e a n i n g f u l sense in w h i c h t h e i n d i v i d u a l c h a n g e s his e t h n i c i d e n t i t y f o u r t i m e s e a c h y e a r . H e d o e s s o b y c h a n g i n g his social c o n t e x t . 3

O t h e r e x a m p l e s m a y b e noted. T h e m a n y P u e r t o Ricans w h o m i g r a t e back a n d forth b e t w e e n P u e r t o Rico a n d N e w York a r e c a s e s i n p o i n t . I n P u e r t o Rico a black p e r s o n m i g h t b e l o n g t o t h e b l a c k e t h n i c g r o u p o f t h a t society, w h e r e a s i n N e w Y o r k h e b e l o n g s to t h e P u e r t o Rican e t h n i c g r o u p . F u r t h e r m o r e , t h e r e are cases of highly A m e r i c a n i z e d black P u e r t o Ricans w h o consciously c h o o s e a n d m a n i p u l a t e different ethnic identities to serve their o w n best i n t e r e s t s . I n c e r t a i n c o n t e x t s ( f o r e x a m p l e , r u n n i n g f o r local office or a p p l y i n g for a j o b in which Affirmative Action has created a b l a c k bias) h e will e m p h a s i z e his b l a c k n e s s . I n o t h e r c o n t e x t s ( f o r e x a m p l e , p e r s o n a l relations with whites) h e m a y choose t o m u t e t h e i m p a c t o f his d a r k s k i n b y e m p h a s i z i n g his L a t i n b a c k g r o u n d , e s p e 3.

T h e s e remarks are based on the author's participant observations of West In-

dians in N e w York and the Caribbean.

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4

d a l l y his S p a n i s h a c c e n t . O r t a k e t h e c a s e o f t h e S e p h a r d i c J e w s o f J a m a i c a w h o travel to England or t h e U n i t e d States. In t h e new social s e t t i n g , s o m e o f t h e s e i n d i v i d u a l s c h o o s e t o m a i n t a i n t h e i r J e w i s h a l l e g i a n c e , i d e n t i f y i n g w i t h t h e J e w s o f t h e n e w h o s t society; o t h e r s c h o o s e to identify with the J a m a i c a n e t h n i c g r o u p in t h e n e w society; a n d still o t h e r s a b a n d o n e t h n i c i t y , m a r r y G e n t i l e w o m e n a n d b l e n d i n t o t h e h o s t society. S i m i l a r r a n g e o f c h o i c e s a r e m a d e by m e m b e r s of the Sephardic Jewish community from Curac a o l i v i n g i n H o l l a n d . Finally, i t s h o u l d b e n o t e d t h a t c h a n g e s i n t h e c o n t e x t of e t h n i c identification can take place by m o v e m e n t f r o m o n e society to a n o t h e r in a given t i m e p e r i o d , or it c a n t a k e p l a c e o v e r g i v e n p e r i o d s o f t i m e w i t h i n a s i n g l e society. 5

With these preliminary observations in m i n d , we may define ethnicity a s follows: t h a t c o n d i t i o n w h e r e i n c e r t a i n m e m b e r s o f a socie t y , i n a g i v e n social c o n t e x t , c h o o s e t o e m p h a s i z e a s t h e i r m o s t m e a n i n g f u l basis o f p r i m a r y , e x t r a f a m i l i a l i d e n t i t y c e r t a i n ass u m e d cultural, national, or somatic traits. T h e g r o u p s f o r m e d i n this way v a r y , o f c o u r s e , i n size, d u r a t i o n , intensity o f i n v o l v e m e n t , variety a n d n u m b e r o f s h a r e d traits, a n d i n c o m p l e x i t y o f s t r u c t u r e . Clearly t h e r e a r e n u m e r o u s ways o f classifying s u c h g r o u p s , a n d w h i l e t h e e x e r c i s e m i g h t h a v e s o m e d e s c r i p t i v e v a l u e , i t c a n b e , a n d o f t e n is, t h e o r e t i c a l l y p o i n t l e s s . I t is best to c o n c e n t r a t e on the analytic qualities such g r o u p s have in c o m m o n : n a m e l y , t h e fact t h a t t h e y a r e t h e s t r u c t u r a l e x p r e s s i o n s of p r i m a r y , extrafamilial identity. 6

T h e y r e s e m b l e t h e family i n t h e i n t e n s i t y o f i n v o l v e m e n t o f m e m b e r s a n d in t h e tendency to equate a n d rationalize relationships with o t h e r m e m b e r s in c o n s a n g u i n e a l terms—"kith a n d kin" is a t e r m often used to describe m e m b e r s of one's ethnic g r o u p . But they a r e certainly not kinship g r o u p s , in spite of t h e 4. T h i s manipulation of multiple ethnic identities was brought to the author's a t t e n t i o n by several of his P u e r t o Rican s t u d e n t s at H a r v a r d . S e e S a m B e t a n c e s , " T h e Prejudice o f H a v i n g N o Prejudice." u n p u b l i s h e d paper, 1971.

5. S e e F r a n c e s P. K a r n e r , The Sephardks of Curasao: A Study of Socio-Cultural Patterns i n Flux ( A s s e n , T h e N e t h e r l a n d s , V a n G o r c u m , 1 9 6 9 ) , e s p . p p . 6 4 , 6 6 - 6 7 . 6 . S e e , for e x a m p l e , t h e p a p e r s o f N . S h a l e r , E . F r e e m a n , \V. Petrie, a n d A .

T o y n b e e , i n E . T . T h o m p s o n a n d E . C . H u g h e s , e d s . , Race: Individual and Collective Behavior ( G l e n c o e , T h e F r e e P r e s s . 1 9 5 8 ) , p t . 3 .

Context and Choice in Ethnic Allegiance

309

ideological fiction a m o n g m e m b e r s to the contrary; n o r are such g r o u p s necessarily e n d o g a m o u s . T h e m e m b e r s of an ethnic g r o u p may be restricted to a single nation, or the g r o u p m a y cut across several national b o u n d a r i e s . Occasionally, the ethnic g r o u p may coincide with the n a t i o n .

7

It is

i m p o r t a n t t o k e e p i n m i n d , h o w e v e r , t h e fact t h a t e t h n i c a l l e g i a n c e a n d national allegiance a r e not necessarily the s a m e thing. T h e idea of the national

Volk,

t h e view t h a t a n a t i o n is o r s h o u l d b e a

c o m m u n i t y of p e o p l e s h a r i n g a c o m m o n history a n d "blood," is a p e c u l i a r p r o d u c t o f m o d e r n political t h o u g h t .

8

T h e fact t h a t ethnicity is a c h o s e n f o r m of identification c a n n o t b e o v e r e m p h a s i z e d . A n ethnic g r o u p only exists w h e r e m e m b e r s c o n s i d e r themselves to b e l o n g to such a g r o u p ; a conscious sense of b e l o n g i n g i s critical. I t i m p l i e s , o n t h e o n e h a n d , t h a t w h e r e all o t h e r criteria a r e m e t e x c e p t this sense o f b e l o n g i n g , t h e e t h n i c c o n d i t i o n i s not m e t — e v e n w h e r e o t h e r m e m b e r s o f t h e society m a y r e g a r d a given g r o u p of individuals as constituting an ethnic g r o u p . A n d it implies, on the o t h e r h a n d , t h a t w h e r e , in objective sociological t e r m s , t h e a s s u m e d bases o f g r o u p allegiance d o n o t exist, s h o u l d m e m b e r s subjectively a s s u m e t h e existence o f s u c h " m y t h i c a l " bases, t h e salient condition of ethnicity is met. B e f o r e m o v i n g o n t o a s t a t e m e n t o f o u r h y p o t h e s e s , a few o t h e r definitions a n d distinctions m u s t be m a d e . First, we must distinguish between an ethnic g r o u p and a cultural g r o u p . A cultural g r o u p is simply any g r o u p of people w h o consciously or u n c o n sciously s h a r e a n identifiable c o m p l e x o f m e a n i n g s , symbols, values, a n d n o r m s . Such a g r o u p differs from an e t h n i c g r o u p in t h e following respects: first, t h e r e n e e d not be a n y conscious awareness of belonging to a g r o u p on

the

part of the

m e m b e r s of such

g r o u p s , a n d , i n d e e d , it is usually the case t h a t no such conscious 7.

I a g r e e w i t h E . K. F r a n c i s , w h o , w h i l e n o t i d e n t i f y i n g t h e c o n c e p t " n a t i o n "

with "ethnic g r o u p . " allows for t h e possibility o f t h e t w o b e i n g t h e s a m e . T h u s t h e French

and the

Irish

in

France and

Ireland respectively are said to be ethnic

g r o u p s . S e e E . K. F r a n c i s , " T h e N a t u r e o f t h e E t h n i c G r o u p , " American journal o f Sociology, 8.

C.

3 (March

1947), 3 9 3 - 4 0 0 .

For a discussion of the relationship between ethnicity a n d nation building see

H. E n l o e , Ethnic Conflict and Political Development ( B o s t o n , L i t t l e , B r o w n a n d

Co., 1973).

Orlando

310

Patterson

g r o u p i d e n t i t y e x i s t s . S e c o n d , a c u l t u r a l g r o u p i s a n objectively v e r i f i a b l e social p h e n o m e n o n . T h e m e a n i n g , s y m b o l s , v a l u e s , a n d n o r m s , in short, the tradition, which they share, can be a n t h r o p o logically o b s e r v e d , r e g a r d l e s s o f t h e i d e o l o g i c a l s t a t e m e n t s , o r e x p r e s s e d o p i n i o n s , o f m e m b e r s a b o u t t h e i r t r a d i t i o n o f t h e i r relat i o n s h i p w i t h it. T h i r d , a c u l t u r a l g r o u p , o r s e g m e n t s o f it, m a y b e c o m e an ethnic g r o u p b u t only w h e n the conditions of ethnicity a r e m e t . T h e fact t h a t a s e g m e n t o f a c u l t u r a l g r o u p b e c o m e s a n e t h n i c g r o u p d o e s n o t m e a n t h a t all m e m b e r s o f t h e c u l t u r a l g r o u p thereby become an ethnic group. A n o t h e r t e r m t o b e d i s t i n g u i s h e d i s " c l a s s . " W e d e f i n e class a s a n e c o n o m i c g r o u p d e t e r m i n e d b y t h e r e l a t i o n o f its m e m b e r s t o t h e m o d e o f p r o d u c t i o n o f a society. T h e t e r m c a n b e u s e d i n t w o senses, a distinction which goes back to M a r x : in t h e abstract sense, n a m e l y , as an a r b i t r a r y abstraction f r o m reality b a s e d on certain objective criteria established by t h e analyst; a n d , in t h e conc r e t e sense of an objectively real g r o u p , existing i n d e p e n d e n t l y of any arbitrarily defined instrumental criteria of definition. I tend t o a g r e e w i t h R a l f D a h r e n d o r f t h a t i t i s p o s s i b l e t o live w i t h b o t h t h e s e c o n c e p t i o n s o f class, u s i n g o n e o r t h e o t h e r a s o n e ' s i n t e l l e c t u a l n e e d s d e m a n d . I n l i n e w i t h m y o b j e c t i v e s , I shall b e o p e r a t i n g o n t h e p r i n c i p l e t h a t classes a r e c o n c r e t e , o b j e c t i v e l y o b s e r v a b l e g r o u p s . W e a l s o a s s u m e t h a t class g r o u p s a c t i n t h e i r o w n b e s t i n terests, even if they may not do so consciously. O u r definition of classes, t h e n , i s t h a t t h e y a r e e c o n o m i c g r o u p s d e t e r m i n e d b y t h e p r o d u c t i v e f o r c e s o f t h e society w h i c h , c o n s c i o u s l y o r u n c o n sciously, b e h a v e i n s u c h a w a y a s t o o p t i m i z e t h e i r e c o n o m i c i n t e r ests a n d p o s i t i o n i n t h e society. F r o m w h a t w e h a v e a l r e a d y s a i d a b o u t ethnic g r o u p s , it s h o u l d not be necessary to belabor t h e obvio u s d i f f e r e n c e s b e t w e e n s u c h g r o u p s a n d class g r o u p s . 9

1 0

I p r o p o s e to a r g u e that t h e r e a r e t h r e e basic principles d e t e r m i n 9. T h e distinction is discussed at length in L. Gross, " T h e U s e of Class C o n c e p t s in

Sociological

Research,"

American

Journal

of

Sociology

54

(March

1949),

402-421.

10. R. D a h r e n d o r f , Class and Class Conflict in an Industrial Society ( L o n d o n , R o u t ledge and Kegan Paul, 1959), p. 151. We are, h o w e v e r , in c o m p l e t e d i s a g r e e m e n t with D a h r e n d o r f ' s idiosyncratic operationalization of the term. See, for e x a m p l e , p. 204.

Context a n d Choice in Ethnic Allegiance

311

i n g t h e relative choice of allegiances, including ethnic allegiances. T h e s e a r e : t h e p r i n c i p l e o f r e c o n c i l i a t i o n ( o r least conflict) o f i n t e r est; t h e p r i n c i p l e o f o p t i m i z a t i o n o f i n t e r e s t s ; a n d t h e p r i n c i p l e o f t h e p r i m a c y o f class i n t e r e s t s . 11

T h e first p r i n c i p l e p r o p o s e s t h a t i n d i v i d u a l s w i t h s e v e r a l all e g i a n c e s will, w h e n e v e r p o s s i b l e , s e e k t o r e c o n c i l e t h e v a r y i n g i n terests implied in their separate allegiances. T h u s an individual will, i d e a l l y , w a n t h i s class, c u l t u r a l , e t h n i c , a n d s t a t u s i n t e r e s t s t o h a r m o n i z e with each o t h e r a n d , w h e r e v e r possible (although t h e p r i n c i p l e o f r e c o n c i l i a t i o n d o e s n o t r e q u i r e it), t o c o m p l e m e n t e a c h o t h e r . T h e principle of reconciliation s h o u l d not be confused with that of equalization of interests. I am not a r g u i n g that individuals seek to equalize or identify their varying interests, or even that they actively s e e k t o h a v e o n e c o m p l e m e n t t h e o t h e r . T h e E a s t B o s t o n I t a l i a n c o n s t r u c t i o n w o r k e r t h i n k s i n class t e r m s o n his j o b a n d i n t r a d e n e g o t i a t i o n s , a n d h e t h i n k s i n e t h n i c t e r m s i n c o m m u n i t y affairs. H e d o e s n o t e x p e c t t r a d e u n i o n n e g o t i a t i o n s o n his b e h a l f t o h a v e a n y n e c e s s a r y d i r e c t i m p a c t o n his c o m m u n i t y , b u t h e d o e s e x p e c t , h o w e v e r , t h a t his class activity will n o t actively conflict w i t h h i s c o m m u n i t y activity. T h i s i s w h y t h e p r i n c i p l e o f r e c o n c i l i a t i o n i s p e r h a p s b e s t d e s c r i b e d a s t h e p r i n c i p l e o f least conflict. T h e p r i n c i p l e o f o p t i m i z a t i o n p o s i t s t h a t , i n all t h o s e i n s t a n c e s w h e r e i n t e r e s t s c a n n o t b e r e c o n c i l e d , t h a t is, w h e r e t h e r e i s i n e v i t a b l e conflict o f i n t e r e s t i m p l i e d i n t h e i n d i v i d u a l ' s v a r y i n g alleg i a n c e s , t h e r e will b e a t e n d e n c y t o c h o o s e t h a t set o f a l l e g i a n c e s w h i c h m a x i m i z e s m a t e r i a l a n d social g a i n s i n t h e s o c i e t y a t l a r g e , a n d m i n i m i z e s s u r v i v a l risks. T h i s m a y b e a r o u n d a b o u t way o f s a y i n g t h a t i n d i v i d u a l s t e n d t o act i n t h e i r o w n b e s t i n t e r e s t s . W e s t a t e i t a s a basic p r i n c i p l e b e c a u s e , w h i l e i t m a y a p p e a r o b v i o u s t o 11.

N o t e that these h y p o t h e s e s are stated in the individualistic terms often as-

sociated

with

the sociology of George

C.

Homans.

All

hypothetical

statements

r e g a r d i n g e t h n i c i t y m u s t b e m i c r o s o c i o l o g i c a l . s i n c e t h e critical p r o b l e m i s t o e x p l a i n t h e i n d i v i d u a l ' s r e l a t i o n t o t h e g r o u p , n o t t h e g r o u p itself. A c o n c e r n w i t h the e t h n i c g r o u p shifts the theoretical e m p h a s i s f r o m ethnicity to t h e m a c r o s o c i o logical level o f i n t e r g r o u p r e l a t i o n s . S e e G . C. H o m a n s , " B r i n g i n g M e n Back I n , " i n H e r m a n T u r k a n d R i c h a r d L. S i m p s o n , e d s . . Institutions and Social Exchange ( I n d i a n a p o l i s a n d N e w York. T h e B o b b s Merrill C o . , 1 9 7 1 ) , p p . 1 0 2 - 1 1 6 , a n d H . M . B l a l o c k , Toward a

Theory of Minorirs-Group Relations,

pp.

21-34.

312

Orlando

Patterson

s o m e , i t i s b y n o m e a n s o b v i o u s t o all s o c i o l o g i s t s , a n d i t s e e m s least o b v i o u s t o p r e c i s e l y t h a t g r o u p o f social s c i e n t i s t s w h o w o r k i n t h e a r e a of ethnicity. A truism becomes w o r t h y of the status of a p r i n c i p l e , or law of action, w h e n it ceases to b e , or is no l o n g e r r e g a r d e d as, a t r u i s m . 1 2

S t u d e n t s of ethnicity tend to emphasize the non-rational implicat i o n s o f e t h n i c b e h a v i o r a s o n e o f its critical a t t r i b u t e s ; H a r o l d Isaacs, for e x a m p l e , thinks that the quintessence of ethnicity is the primordiality a n d n e a r primeval intensity of involvement with, a n d allegiance to, one's ethnic g r o u p . As such, it b e c o m e s highly possible t h a t w h e r e t h e r e i s a clash b e t w e e n e t h n i c a n d o t h e r i n t e r e s t s , t h e i n d i v i d u a l will a c t a g a i n s t his o t h e r i n t e r e s t s i n f a v o r o f t h e int e g r i t y o f his e t h n i c a l l e g i a n c e . I t i s o n e o f m y m a j o r c o n t e n t i o n s t h a t s u c h a view i s false: I d o n o t t h i n k t h a t p r i m o r d i a l i t y a n d intensity of i n v o l v e m e n t is a distinguishing f e a t u r e of ethnicity. T h i s i s n o t t o say t h a t s u c h i n v o l v e m e n t d o e s n o t s o m e t i m e s c h a r a c t e r i z e e t h n i c allegiance; it often does. B u t it is n o t peculiar to e t h n i c a l l e g i a n c e , a n d , i n d e e d , i s n o t r e q u i r e d b y it. 1 3

I t h i n k , i n s t e a d , t h a t i n d i v i d u a l s will b e m o s t i n t e n s e l y i n v o l v e d with those allegiances, or that allegiance, which is in their o w n best social a n d e c o n o m i c i n t e r e s t s . W h e r e e t h n i c a l l e g i a n c e i s i n i n d i v i d u a l s ' o w n b e s t i n t e r e s t s , i n t e n s e f e e l i n g s will b e a t t a c h e d t o it. T h i s is t r u e , for e x a m p l e , 'of a p e r s e c u t e d e t h n i c g r o u p faced with a g e n o c i d a l o r o t h e r w i s e h o s t i l e m a j o r i t y . B u t i t i s also t r u e o f t h o s e i n d i v i d u a l s w h o s e s u r v i v a l a n d best i n t e r e s t s a r e t h r e a t e n e d o n a class basis o r a r e l i g i o u s basis. I n s u c h c a s e s p e o p l e a r e q u i t e p r e p a r e d t o a b a n d o n t h e i r e t h n i c a l l e g i a n c e i n f a v o r o f t h e i r class allegiance, a n d attach to the latter the s a m e kind of " p r i m o r d i a l " intensity w h i c h is exclusively associated, in t h e v u l g a r sociological imagination, with ethnic allegiance. T h i s b r i n g s u s t o o u r t h i r d p r i n c i p l e . W h e r e a p l u r a l i t y o f all e g i a n c e s i n v o l v e s a conflict b e t w e e n class i n t e r e s t s a n d o t h e r i n t e r 12.

T h u s , t h e individual w h o , in p u r s u i n g his o w n

best interests, c h o o s e s to

a b a n d o n his e t h n i c a l l e g i a n c e is d u b b e d a " m a r g i n a l m a n , " a social "deviant" by students of ethnicity

ranging from

Park

pp. 54-59. 13.

H. Isaacs, "Basic G r o u p Identity."

to G o r d o n . S e e

M . G o r d o n , Assimilation,

313


ests, individuals

in

the

long run

will c h o o s e class a l l e g i a n c e o v e r all

o t h e r a l l e g i a n c e s , i n c l u d i n g e t h n i c a l l e g i a n c e . I say " i n t h e l o n g r u n , " b e c a u s e this takes a c c o u n t of those special situations in w h i c h i n d i v i d u a l s f a c e s e v e r e s u r v i v a l risks o n b a s e s o t h e r t h a n class. A s I indicated a b o v e , individuals whose very existence is t h r e a t e n e d by a h o s t i l e m a j o r i t y , o n , say, p u r e l y e t h n i c t e r m s , will, i n s u c h crisis situ a t i o n s , t e m p o r a r i l y s u s p e n d all o t h e r a l l e g i a n c e s i n f a v o r o f t h e o n e in which they are being threatened. Such situations, however, are by their very n a t u r e short term; no g r o u p of people can cont i n u e t o live i n a s o c i e t y w h i c h c o n s t a n t l y t h r e a t e n s t h e i r e x i s t e n c e . Either the majority g r o u p withdraws the threat, or the threatened g r o u p w i t h d r a w s f r o m t h e society, o r t h e d o m i n a n t g r o u p e x e r c i s e s its t h r e a t a n d d e s t r o y s t h e g r o u p , o r f i n a l l y , i f this i s a possibility, i n d i v i d u a l s m a y a b o l i s h t h e basis o f t h e i r a l l e g i a n c e t o t h e g r o u p w h i c h o f f e n d s t h e h o s t i l e m a j o r i t y , i n this w a y s o l v i n g t h e p r o b l e m by d e s t r o y i n g t h e g r o u p in o r d e r to e n s u r e t h e survival of t h e members of the group. In t h e short r u n , t h e n , we readily c o n c e d e that survival threats m a y create situations in which o t h e r allegiances may take primacy o v e r class i n t e r e s t s , b u t i n t h e l o n g r u n — a n d i t i s o n l y i n t h e l o n g r u n that sociological generalizations a r e v i a b l e — t h e r e is definitely a t e n d e n c y f o r class m e m b e r s h i p , a n d its i m p l i e d i n t e r e s t s , t o a s s e r t p r i m a c y o v e r all o t h e r a l l e g i a n c e s . CASE STUDY I s h a l l d e m o n s t r a t e t h e feasibility o f t h e a b o v e h y p o t h e s e s w i t h a comparative case study of two Chinese communities in the Caribbean: the Chinese of Jamaica and Guyana. Before examining the d a t a o n t h e C h i n e s e , h o w e v e r , i t i s n e c e s s a r y t o d i s c u s s t h e social c o n t e x t s o f t h e s e c o m m u n i t i e s , n a m e l y A f r o - C a r i b b e a n societies. Context:

Afro-Caribbean

Societies.

a r e a fall i n t o t w o m a i n bean. 14.

1 4

The

groups:

societies

the

of

Latin a n d

the

Caribbean

the Afro-Carib-

T h e L a t i n a r e a , w h i c h will n o t c o n c e r n u s , i s d i s t i n g u i s h e d

For a useful i n t r o d u c t o r y overview, see S. W. Mintz, " T h e Caribbean as a

S o c i o - C u l t u r a l A r e a , " Journal o f World Histo>?. Lowenthal, "The

Range and

9.4

( 1 9 6 6 ) , 9 1 2 - 9 3 7 . S e e also, D.

V a r i a t i o n o f C a r i b b e a n S o c i e t i e s , " Annals o f the New

York Academy of Sciences, 8 3 , a r t . 5 ( 1 9 6 0 ) , 7 8 6 - 7 9 5 .

314

Orlando

Patterson

by the o v e r w h e l m i n g presence of the New World version of I b e r i a n c u l t u r e , b y its g r e a t e r c u l t u r a l h o m o g e n e i t y , b y its l a r g e r size a n d b y d i f f e r i n g political e x p e r i e n c e s a n d s t r u c t u r e s . T h e A f r o - C a r i b b e a n societies a r e c h a r a c t e r i z e d by t h e o v e r w h e l m i n g presence of p e o p l e of African descent, by a c o m m o n colonial e x p e rience, by t h e p r o l o n g e d historical e x p e r i e n c e of slavery on a large s c a l e , b y t h e i r r e l a t i v e l y s m a l l size, a n d t h e i r c o n t i n u e d e c o n o m i c d e p e n d e n c e on the f o r m e r E u r o p e a n colonizing powers. T h e s o c i e t i e s w e will b e m a i n l y c o n c e r n e d w i t h — J a m a i c a a n d G u y a n a — l i k e all A f r o - C a r i b b e a n s o c i e t i e s , h a v e a s i m i l a r p a t t e r n o f sociocultural evolution or d e v e l o p m e n t . T h e r e was, first, an early p h a s e of discovery and E u r o p e a n settlement. T h e early phase, w h i c h l a s t e d f r o m t h e b e g i n n i n g o f t h e s i x t e e n t h c e n t u r y t o t h e latt e r p a r t o f t h e s e v e n t e e n t h c e n t u r y , saw a t t e m p t s a t e s t a b l i s h i n g w h i t e s e t t l e m e n t colonies. T h e a t t e m p t was only partly successful on the part of the Spaniards. W h e n the Spanish were displaced by t h e N o r t h E u r o p e a n s , t h e a t t e m p t was r e p e a t e d for a brief p e r i o d o f a b o u t f o r t y y e a r s , b u t f i n a l l y failed, a s t h e N o r t h E u r o p e a n s shifted to large-scale, plantation agriculture, concentrating on a single c r o p — s u g a r . T h i s shift i n e c o n o m i c b a s e u s h e r e d i n t h e s e c o n d p h a s e o f d e v e l o p m e n t o f A f r o - C a r i b b e a n societies. T h e s u g a r p l a n t a t i o n s , which became all-important by the turn of the eighteenth century, m a d e t h e A f r o - C a r i b b e a n societies t h e r i c h e s t a r e a s o f t h e w o r l d . T h e y a l s o s e t t h e b a s i c social s t r u c t u r e a n d t o n e o f t h e s e s o c i e t i e s . A f r i c a n slaves w e r e b r o u g h t i n o n a l a r g e scale, r e s u l t i n g i n t h e e a r l y d e m o g r a p h i c d o m i n a n c e o f black p e o p l e . R u l i n g t h e m w a s a small minority of white planters, many of w h o m were later in the c e n t u r y to b e c o m e absentee landlords, their estates being m a n a g e d b y a t t o r n e y s a n d o v e r s e e r s with little c o m m i t m e n t t o t h e societies they m a n a g e d . 1 5

1 6

15.

F o r a n e x c e l l e n t a n a l y s i s o f t h i s p e r i o d , s e e R . S h e r i d a n , The Development of

the Plantations

(Barbados, Caribbean

Universities

Press,

1970).

16. O n the g r o w t h o f t h e slave p o p u l a t i o n i n the C a r i b b e a n , see O . Patterson, The Sociology of Slavery

(Rutherford.

N.J.,

Fairleigh

Dickinson

University

Press,

1 9 6 9 ) , a n d E. G o v e i a , Slave Society in the British Leeward Islands ( N e w H a v e n , Y a l e University Press, 1965), e s p . ch. 2.


315

B e t w e e n m a s t e r s a n d slaves a t h i r d g r o u p s o o n e m e r g e d — t h e coloreds—or people of mixed ancestry. This g r o u p f o r m e d a useful r a c i a l a n d s o c i o c u l t u r a l b u f f e r b e t w e e n t h e w h i t e s a n d b l a c k s . By the e n d of the eighteenth century a substantial n u m b e r of t h e m w e r e f r e e d m e n , a n d , i n J a m a i c a , these f r e e d m e n w e r e sufficiently i n f l u e n t i a l t o w i n full civil l i b e r t i e s , a l o n g w i t h t h e s m a l l S e p h a r d i c J e w i s h m i n o r i t y , f r o m t h e w h i t e r u l i n g class a little b e f o r e t h e emancipation. 1 7

1 8

While t h e p a t t e r n was similar, G u y a n a lagged b e h i n d in t h e d e v e l o p m e n t o f its p l a n t a t i o n - b a s e d e c o n o m y , p a r t l y b e c a u s e o f t h e e n o r m o u s g e o g r a p h i c a l difficulties w h i c h its l o w - l y i n g c o a s t a l t e r r a i n p r e s e n t e d , p a r t l y b e c a u s e o f its p e c u l i a r political s i t u a t i o n o f b e i n g a D u t c h - c o n t r o l l e d t e r r i t o r y w i t h a m a j o r i t y o f B r i t i s h sett l e r s , a n d p a r t l y b e c a u s e o f t h e l a t e n e s s o f t h e critical d e c i s i o n t o shift f r o m t h e r i v e r b a n k a r e a s t o t h e c o a s t a l s t r i p . Its p e r i o d o f e c o n o m i c e x p a n s i o n r e a l l y m o v e d i n t o full s w i n g a f t e r t h e B r i t i s h o c c u p a t i o n in 1803, at a time w h e n Jamaica's was already on t h e decline. 1 9

2 0

T h e collapse o f t h e slave-based e c o n o m y , with the c o m p l e t e e m a n c i p a t i o n o f t h e slaves i n 1 8 3 8 b y t h e B r i t i s h , p a v e d t h e w a y for t h e t h i r d p h a s e in t h e d e v e l o p m e n t of A f r o - C a r i b b e a n societies. T h i s p h a s e was m a r k e d by rapid e c o n o m i c decline on the national a n d i n t e r n a t i o n a l levels, r e f l e c t e d i n t h e g e n e r a l n e g l e c t o f t h e a r e a by the f o r m e r colonial p o w e r s , a n d a withdrawal of substantial segm e n t s o f t h e f o r m e r p l a n t e r c l a s s e s . D u r i n g t h e last t w o t h i r d s o f 21

17.

E. G o v e i a , ibid., p p . 2 1 5 - 2 2 9 .

1 8 . O n t h e i r f i g h t f o r civil r i g h t s u p t o 1 8 3 0 , s e e S . D . D u n k e r ' s u n p u b l i s h e d M . A . t h e s i s , " T h e F r e e C o l o u r e d s a n d T h e i r Fight for Civil Rights i n J a m a i c a , 1800-1830," London

University,

1960. A m o r e substantial work which not only

carries t h e analysis t h r o u g h to 1865, but e x p l o r e s , in part, their fascinating relat i o n s h i p with the S e p h a r d i c J e w i s h c o m m u n i t y d u r i n g a n d after slavery is M. C. Campbell, "Edward Jordan

and the Free Coloureds, Jamaica

1800-1865," un-

published Ph.D. thesis, University of L o n d o n , 1970. 1 9 . R . T . S m i t h , British Guiana ( L o n d o n , O x f o r d U n i v e r s i t y P r e s s ,

1962), ch.

2-3. • 20.

P. N e w m a n , British Guiana: Problems of Cohesion in an Immigrant Society ( L o n -

d o n , O x f o r d University Press, 1964), ch. 2. 21.

On the decline of the plantation system and post-emancipation e c o n o m i c

d e v e l o p m e n t s , s e e L. R a g a t z , The Fall of the Planter Class in the British Caribbean,

316

Orlando

the nineteenth

century what

phase of Afro-Caribbean

may b e called the

societies was

to

Patterson

segmentary Creole

evolve

from

the

precari-

o u s f o u n d a t i o n s w h i c h w e r e laid d u r i n g t h e p e r i o d o f s l a v e r y . T h e term creolization refers p e o p l e d e v e l o p a w a y o f life they

find

lands.

2 3

themselves,

We

creolization:

I

process whereby a

as distinct from

propose what

to the

peculiar to

to

make

s h a l l call

a

the

new

2 2

g r o u p of

locality in w h i c h

the cultures of their h o m e -

distinction

between

two

"segmentary creolization"

types

of

a n d "syn-

t h e t i c c r e o l i z a t i o n . " T h e m e a n i n g o f t h e s e t e r m s will b e m a d e c l e a r in the ensuing discussion. Segmentary creolization

refers to that process of d e v e l o p m e n t in

w h i c h e a c h g r o u p , i n t h e n e w s e t t i n g , c r e a t e s its o w n p e c u l i a r v e r s i o n o f a local c u l t u r e .

In A f r o - C a r i b b e a n societies, two m a i n types

of segmentary Creole cultures evolved.

O n e involved

the develop-

m e n t of a peculiarly West Indian b r a n d of the d o m i n a n t m e t r o p o l itan

culture

1763-1833

(New

of the

York,

European

Octagon,

ruling

1963).

1865 ( N e w H a v e n , Y a l e U n i v e r s i t y P r e s s ,

class.

See

also

This

D.

resulted

Hall,

in

Free Jamaica,

what

1838-

1959).

22. On the d e v e l o p m e n t of the two segmentary Creole cultures, see P. Curtin, Two Jamaicas ( C a m b r i d g e , work,

The

Creoles

in

Sociology the

slave

Harvard

o f Slavery, society.

University Press,

discusses

the

1955),

foundations

M o r e recently,

E.

pp. 23-60. of t h e s e

My own

segmentary

B r a t h w a i t e ' s The Development of

Creole Society in Jamaica, 1770-1820 ( O x f o r d , C l a r e n d o n P r e s s ,

1 9 7 1 ) , w h i l e not in

b a s i c d i s a g r e e m e n t w i t h m y own i n t e r p r e t a t i o n o f t h e d a t a , s u g g e s t s t h a t t h e p r o c e s s o f creolization was far m o r e d e v e l o p e d d u r i n g t h e p e r i o d o f slavery t h a n either Curtin or myself w o u l d allow. 2 3 . T h e t e r m has a c q u i r e d this special technical m e a n i n g a m o n g C a r i b b e a n i s t s a n d l i n g u i s t s c o n c e r n e d w i t h t h e s t u d y o f Creole l a n g u a g e s . I t i s n o t t o b e c o n f u s e d with the rather v a g u e u s a g e f o u n d in Louisiana w h e r e it refers to whites of French a n c e s t r y . O n a t t e m p t s t o s h a r p e n t h e m e a n i n g o f t h e t e r m , s e e : M . G . S m i t h , The Plural Society in the British West Indies ( B e r k e l e y , U n i v e r s i t y of C a l i f o r n i a P r e s s , 1 9 6 5 ) , p p . 5 - 9 , 3 0 7 - 3 0 8 . w h o , h o w e v e r , restricts t h e u s e o f t h e t e r m t o E u r o - W e s t Indian

segmentary

Creoles

only;

S.

Mintz,

"Comments

on

the

Socio-historical

B a c k g r o u n d t o P i d g i n i z a t i o n a n d C r e o l i z a t i o n , " i n D . H y m e s , e d . , Pidginization and Creolization o f Languages ( C a m b r i d g e . C a m b r i d g e U n i v e r s i t v P r e s s , 1 9 7 0 ) . S e e a l s o : A n d r e N e g r e , " O r i g i n e s e t s i g n i f i c a t i o n d u m o t ' c r e o l e , ' " Bulletin d e l a Societe d'Histoire de la Guadaloupe, n o s . 5 - 6 ( 1 9 6 6 ) : D . L o w e n t h a l , West Indian Societies ( O x f o r d , O x f o r d University Press, 1972), pp. 3 2 - 3 3 ; and P. Singer and E. Araneta, "Hind u i z a t i o n a n d C r e o l i z a t i o n in G u y a n a , " Social and Economic Studies,

16.3 ( S e p t e m -

b e r 1 9 6 7 ) , 2 2 1 - 2 3 6 , w h o e m p h a s i z e t h e p s y c h o l o g i c a l a s p e c t s o f t h e Creole p r o cess, but their analysis is rather idiosyncratic.


317

may be called Euro-West Indian segmentary Creole cultures. In form it is almost wholly E u r o p e a n ; that is, the institutional structures are direct borrowings from their E u r o p e a n counterparts. T h e y are also largely E u r o p e a n in content, but with substantial variations in emphasis, a n d in interpretation, in certain areas. It also involved new developments to meet the specific needs of the colonial area, such as in the spheres of architecture a n d dietary patterns. T h e most i m p o r t a n t difference, however, is in the area of style. T h u s , for e x a m p l e , there is no obvious difference in the form a n d content of the g a m e cricket as played in England and in the West Indies, but t h e r e are n u m e r o u s differences in the style, interpretation, and symbolic value of the g a m e . A n o t h e r i m p o r t a n t difference between Euro-West Indian Creole culture a n d its metropolitan c o u n t e r p a r t is the high value placed on color—the "white bias" to use H e n r i q u e s ' phrase — i n all these societies. Such a value is, of course, the peculiar product of a racially segmented society in which the ruling class of one race dominates a colonized g r o u p of a different race. This white bias, however, did not prevent the adoption of E u r o West I n d i a n culture by the mixed-race freedmen, later to become the middle class in the post-emancipation society. In spite of the negative racial self-image it e n g e n d e r e d , the new middle class vied with each o t h e r in their attempt to emulate all things E u r o p e a n . T h e y c o m p e n s a t e d to some extent for the negative racial selfimage implied in the acculturation by t u r n i n g it against those lower in the shade hierarchy, a n d by lightening their own g r o u p by marrying " u p , " that is, by choosing spouses lighter than themselves. T h e second type of segmentary creolization involved the develo p m e n t of a peculiarly West Indian peasant culture, forged partly o u t of the torn shreds a n d r e m n a n t s of surviving African culture a n d out of a creative response to the exigencies of small-scale tropical peasant agriculture. This second type of segmentary creoliza24

25

26

2 4 . O n t h i s s e e O . P a t t e r s o n , " T h e C r i c k e t R i t u a l i n t h e W e s t I n d i e s . " N e w Society, n o . 3 5 2 ( J u n e 1 9 6 9 ) , p p . 9 8 8 - 9 8 9 . 2 5 . F.

H e n r i q u e s , Family and Color in Jamaica

(London,

Macgibbon and

1968), pp. 52, 5 7 - 5 9 . 26.

M. Campbell, "Edward J o r d a n and the Free Coloureds," pp. 3 5 - 4 2 .

Kce,

Orlando

318

Patterson

tion we m a y describe as Afro-West I n d i a n s e g m e n t a r y creolization. T h e ex-slaves of the C a r i b b e a n varied in their responses to the c h a l l e n g e o f e m a n c i p a t i o n , d e p e n d i n g m a i n l y o n t h e availability of land after e m a n c i p a t i o n . In J a m a i c a , the largest of t h e C o m m o n w e a l t h C a r i b b e a n islands, it was possible to r e t r e a t to the m o u n t a i n backlands a n d to buy up a b a n d o n e d estates, both areas forming the nuclei of the peasant communities which were to form t h e e c o n o m i c a n d social c o n t e x t o f b l a c k p e a s a n t life i n t h e c o u n t r y for the next c e n t u r y . In G u y a n a , while l a n d was plentiful, it was difficult t o b r i n g i n t o c u l t i v a t i o n , s o t h a t t h e a t t e m p t t o f o r m a largely self-contained p e a s a n t r y was only partly successful a n d a substantial n u m b e r o f blacks c o n t i n u e d t o d e p e n d o n the estates as the major source of their livelihood. 2 7

2 8

I n all t h e s e a r e a s t h e n e w e x - s l a v e s f o r g e d a n A f r o - W e s t I n d i a n C r e o l e c u l t u r e d i s t i n c t i v e i n social o r g a n i z a t i o n , l a n g u a g e , r e l i g i o n , attitude, a n d values. It should be noted, however, that these were f i r s t a n d f o r e m o s t p e a s a n t c u l t u r e s , a n d like all p e a s a n t c u l t u r e s , o p e n t o t h e i n f l u e n c e o f t h e u r b a n h i g h c u l t u r e , i n this c a s e t h e E u r o - W e s t I n d i a n s e g m e n t a r y C r e o l e o f t h e r u l i n g class. W h i l e t h e b r o w n - s k i n n e d m i d d l e class t r i e d t h e i r b e s t t o i m i t a t e t h e E u r o - W e s t I n d i a n c u l t u r e of the ruling planter g r o u p , it was n o t e n t i r e l y p o s s i b l e f o r t h e m t o d o so, m a i n l y b e c a u s e t h e y l a c k e d t h e e d u c a t i o n a l a n d e c o n o m i c r e s o u r c e s t o s u s t a i n s u c h a life style. Partly by default, t h e n , they were obliged to create their own cultural p a t t e r n s . W h a t they finally d e v e l o p e d was the second type of Creole culture: "synthetic Creole." T h e major difference between synthetic a n d s e g m e n t a r y creolization is that, whereas in the latter p r o c e s s e a c h g r o u p d e v e l o p s its o w n local c u l t u r e , w i t h s y n t h e t i c c r e o l i z a t i o n t h e g r o u p a t t e m p t s t o f o r g e a local c u l t u r e w h i c h c o m b i n e s e l e m e n t s f r o m all t h e a v a i l a b l e c u l t u r a l r e s o u r c e s . I n t h e early p e r i o d , this s y n t h e t i c C r e o l e was really n o t h i n g m o r e t h a n a kind o f p o o r m a n ' s E u r o - W e s t I n d i a n Creole c u l t u r e . B u t with t h e g r o w i n g i n f l u e n c e o f t h e m i d d l e classes, a n d w i t h t h e i r i n c r e a s e d 27. H. Paget, "The Free Village System in Jamaica," Caribbean Quarterly, 1.4 (1954), 7-19. 28. R. Farley, "The Rise of the Peasantry in British Guiana," Social and Economic Studies, 2.4 (1954), 76-103.


319

tendency to think in national terms rather than the earlier pathetic a t t e m p t s simply to imitate the E u r o p e a n s , the culture they evolved b e c a m e m o r e s e l f - c o n s c i o u s l y s y n t h e t i c . W h e n t h e n e w m i d d l e class f i n a l l y a s s u m e d c o m p l e t e c o n t r o l o f t h e political s y s t e m s o f t h e a r e a , t h e y a t t e m p t e d t o g i v e a n official seal t o t h e i r c u l t u r e , a s r e f l e c t e d i n t h e n a t i o n a l m o t t o i n m a n y o f t h e s e C a r i b b e a n societies—"Out of many one people." 2 9

Synthetic C r e o l e d r a w s heavily o n E u r o - W e s t I n d i a n c u l t u r e for its i n s t r u m e n t a l c o m p o n e n t s a n d o n A f r o - W e s t I n d i a n s e g m e n t a r y C r e o l e f o r its e x p r e s s i v e i n s t i t u t i o n s a n d s y m b o l s . T h e p o l i t i c a l , e c o n o m i c , e d u c a t i o n a l , a n d legal i n s t i t u t i o n s o f s y n t h e t i c C r e o l e a r e , essentially, slightly modified versions of E u r o - W e s t I n d i a n segm e n t a r y C r e o l e ; w h e r e a s its l a n g u a g e , t h e a t e r , m u s i c , d a n c e , a r t , a n d l i t e r a t u r e a r e actively d r a w n f r o m A f r o - W e s t I n d i a n s e g m e n t a r y C r e o l e s o u r c e s . L a t e r , I shall d i s c u s s t h e sociopolitical f u n c tions of synthetic Creole. 3 0

T o s u m m a r i z e , C a r i b b e a n societies a r e , t o d a y , b e s t s e e n a s n e o c o l o n i a l s y s t e m s w i t h e n o r m o u s class c l e a v a g e s a n d o t h e r c r o s s c u t t i n g cleavages based on race, color, ethnicity, a n d even u r b a n r u r a l d i f f e r e n c e s . M i d d l e a n d u p p e r class r o l e s a r e i n c r e a s i n g l y o c c u p i e d by an u p w a r d l y mobile b r o w n a n d black p o p u l a t i o n whose culture is synthetic Creole. At the same time, the economies are not e x p a n d i n g a t t h e r a t e s u f f i c i e n t t o allow f o r s i g n i f i c a n t g r o u p m o bility a m o n g t h e m a s s o f t h e b l a c k l o w e r c l a s s e s . W e h a v e a s i t u a t i o n , t h e n , i n w h i c h t h e elite view t h e s y s t e m a s h i g h l y fluid, s i n c e most of them are upwardly mobile themselves, but the mass of the p o p u l a t i o n views i t a s s t a t i c a n d u n d e m o c r a t i c , s i n c e t h e few w h o h a v e m o v e d u p f r o m t h e i r r a n k s a r e really i n s i g n i f i c a n t d e m o g r a phically. T h i s i s clearly a v o l a t i l e s i t u a t i o n . A d d t h e facts t h a t e x p a n d i n g e d u c a t i o n a l facilities h a v e s u c c e e d e d m o r e i n i n c r e a s i n g e x p e c t a 29.

For a very sensitive d i s c u s s i o n of this d e v e l o p m e n t by a West I n d i a n intel-

lectual w h o is actively i n v o l v e d with c r e a t i n g such a s y n t h e s i s , s e e R. N e t t l e f o r d , " T h e M e l o d y o f E u r o p e , T h e R h y t h m o f A f r i c a , " i n h i s Mirror, Mirror: Identity, Race and Protest i n Jamaica ( K i n g s t o n , C o l l i n s a n d S a n g s t e r , 1 9 7 0 ) , p p . 1 7 3 - 2 1 1 . 3 0 . R . N e t t l e f o r d , " T h e M e l o d y o f E u r o p e , " a n d D . L o w e n t h a l , West Indian

Societies, p p . 2 5 0 - 2 9 2 .

320

Orlando

Patterson

t i o n s t h a n i n p r o v i d i n g t h e o p p o r t u n i t i e s t o satisfy t h e s e e x p e c t a t i o n s ; t h a t u r b a n i z a t i o n h a s b r o u g h t i n its t r a i n a w e l l - k n o w n set o f p r o b l e m s ; a n d t h a t t h e rise of black racial consciousness has led to an i n t e r p r e t a t i o n of t h e color-class h i e r a r c h y , n o t as a r e s i d u e of the old colonial system, b u t as an active c o n s e q u e n c e of o n g o i n g racist a n d i m p e r i a l i s t p o l i c i e s , o n e b e g i n s t o u n d e r s t a n d w h y , i n r e c e n t years, this p a r t of t h e world is no l o n g e r t h e sleepy, tropical p a r a d i s e o f t r a v e l a g e n t s ' b r o c h u r e s , b u t h a s b e g u n t o s h o w inc r e a s i n g s i g n s o f i m p e n d i n g social a n d p o l i t i c a l u p h e a v a l . 3 1

If or w h e n such an upheaval takes place, the g r o u p s which stand t o lose m o s t a n d a r e m o s t f e a r f u l o f t h e i r i n t e r e s t s a r e t h e m e m b e r s o f t h e v a r i o u s e t h n i c a n d racial m i n o r i t i e s , e s p e c i a l l y t h o s e w h o n o w o c c u p y h i g h s t a t u s p o s i t i o n s o u t o f all p r o p o r t i o n t o t h e i r numbers. Most p r o m i n e n t a m o n g these g r o u p s are the S e p h a r d i c J e w s w h o came t o t h e W e s t I n d i e s d u r i n g t h e s e v e n t e e n t h c e n t u r y f r o m n o r t h e r n Brazil after t h e P o r t u g u e s e r e c l a i m e d that a r e a f r o m t h e Dutch. Unlike their counterparts in Curacao, the Jamaican Jews h a v e slowly g i v e n u p t h e i r e t h n i c i d e n t i f i c a t i o n i n f a v o r o f m i d d l e a n d u p p e r class a l l e g i a n c e a n d a g r o w i n g i d e n t i f i c a t i o n w i t h t h e white and light-skinned community at large. T o d a y they are found i n all a s p e c t s o f t h e c o u n t r y ' s life, i n c l u d i n g its e c o n o m y , its p o l i t i cal s y s t e m ( t h e r e c e n t l y e l e c t e d m i n i s t e r o f N a t i o n a l S e c u r i t y a n d Justice comes f r o m a p r o m i n e n t Jewish family), in t h e professions, a n d in the arts a n d recreational institutions. It is only a m a t t e r of time now before the g r o u p becomes completely absorbed into the Creole e l i t e . 3 2

3 3

31.

On t h e r e c e n t a r m y m u t i n y a n d riots in T r i n i d a d , s e e

Revolutionary Consciousness

(Cambridge, Schenkman

I . O x a a l , Race and

Publishing Co., Inc.,

1970).

S e e a l s o , o n J a m a i c a , N . G i r v a n , " O c t o b e r C o u n t e r - R e v o l u t i o n i n J a m a i c a , " New World Quarterly ( H i g h S e a s o n ,

1968), 5 9 - 6 8 .

3 2 . G . Merrill, " T h e R o l e o f the S e p h a r d i c J e w s i n t h e British C a r i b b e a n A r e a D u r i n g t h e S e v e n t e e n t h C e n t u r y , " Caribbean Studies, 4 . 3 ( 1 9 6 4 ) , 3 2 - 4 9 . 3 3 . B . S c h l e s i n g e r , " T h e J e w s o f J a m a i c a : A H i s t o r i c a l V i e w , " Caribbean Quarterly,

13.1 ( 1 9 6 7 ) , 4 6 - 5 3 . O n t h e history o f t h e J e w s i n J a m a i c a s e e : S . J . a n d E .

H u r w i t z , " T h e N e w W o r l d S e t s a n E x a m p l e f o r t h e O l d , " American Jewish Historical Quarterly,

5 5 : 3 7 - 5 6 ; M. Campbell, "Edward Jordan and the Free Coloureds," ch.

5 - 7 , p a s s i m . F o r a less critical v i e w o f t h e policy o f t h e J e w s i n p o s t - e m a n c i p a t i o n J a m a i c a , s e e S . J . a n d E . H u r w i t z , " A B e a c o n f o r J u d a i s m , " America?! Jewish His-

torical Quarterly, 5 6 : 3 - 7 6 .

Table

1.

Country Jamaica

Some

Basic Statistics

Area (km) 11,425

on

Guyana

and Jamaica

Population

Political Status

1,800,000

Independent Member

Per Capita I n c o m e

$408(US)1967

o f British

210,000

714,000

Blacks (including m i x e d ) Indians

Commonwealth

Guyana

E t h n i c C o m p o s i t i o n (by p e r c e n t )

95.0 2.0

Jews and other Whites

1.8

Chinese

1.2

Independent Republic of British Commonwealth

$20()(US)1964

Blacks

34.0

Indians

50.0

Amerindians

4.0

Portuguese

.9

Chinese

.6

Mixed and others Source: D a v i d L o w e n t h a l , West Indian Societies ( O x f o r d , O x f o r d U n i v e r s i t y P r e s s , 1 9 7 2 ) , p p . 7 8 - 7 9 .

10.5

322

Orlando

Patterson

T h e d e s c e n d a n t s o f the n i n e t e e n t h - c e n t u r y i n d e n t u r e d East Indians now constitute over a third of the population of Trinidad, a n d almost a half of the population of G u y a n a . Descendants of the Chinese a n d P o r t u g u e s e migrants (the latter c o m i n g from Madeira in t h e m i d - n i n e t e e n t h c e n t u r y ) , small in n u m b e r s b u t g r e a t in influence a n d occupational status, now a d d to t h e ethnic complexity o f G u y a n a . I n d i a n i n d e n t u r e d l a b o r o n a l a r g e scale w a s also a failu r e in J a m a i c a , a l t h o u g h i t w a s less u n s u c c e s s f u l t h a n t h e att e m p t s to use C h i n e s e laborers. T h e d e s c e n d a n t s of these two imm i g r a n t g r o u p s m a k e up small b u t highly visible—and in t h e case of t h e Chinese, highly successful—ethnic g r o u p s in the islands. 3 4

Table 1 summarizes data on the ethnic composition of Jamaica and Guyana. THE CHINESE OF JAMAICA AND GUYANA The Jamaican Chinese. Over a quarter of a century before the a b o l i t i o n o f s l a v e r y i n 1 8 3 8 , t h e possibility w a s r a i s e d o f i n t r o d u c ing C h i n e s e i n d e n t u r e d labor into t h e W e s t I n d i e s , a n d a small g r o u p did arrive in T r i n i d a d as early as 1 8 0 6 . It was not until the middle of the nineteenth century, however, w h e n the labor problem really b e c a m e severe, that the C h i n e s e b e g a n to arrive in t h e C a r i b b e a n in significant n u m b e r s . 3 5

T h e f i r s t set o f m i g r a n t s a r r i v e d i n G u y a n a , T r i n i d a d , a n d J a maica b e t w e e n 1853 a n d 1 8 5 4 . T h i s first s c h e m e p r o v e d a disaster. T h e r e w e r e e n o r m o u s a d j u s t m e n t p r o b l e m s ; t h e p l a n t e r s f o u n d the Chinese u n r u l y laborers; a n d t h e physical condition of t h e m i g r a n t s d e t e r i o r a t e d rapidly. Most of this first batch e n d e d 3 6

3 4 . G . W . R o b e r t s , The Population of Jamaica ( C a m b r i d g e , C a m b r i d g e U n i v e r s i t y Press, 1957), pp. 1 1 1 - 1 3 2 . 35. T h e e n s u i n g discussion of the Chinese in Jamaica is based primarily on two u n p u b l i s h e d a n d t w o p u b l i s h e d w o r k s o n the g r o u p . T h e s e are: R . A . Silin, " A Survey of Selected Aspects of the C h i n e s e in Jamaica," u n p u b l i s h e d honors thesis, A n t h r o p o l o g y Department, Harvard University,

1962; P. Morrow, "Chinese Ad-

aptation i n T w o J a m a i c a n Cities," u n p u b l i s h e d h o n o r s thesis, A n t h r o p o l o g y D e partment, Harvard University,

1972; A. W. Lind, " A d j u s t m e n t Patterns A m o n g

t h e J a m a i c a n C h i n e s e , " Social and Economic Studies, " T h e Social 1954), 36.

Differentiation

7 . 2 ( 1 9 5 8 ) , 1 4 4 - 1 6 4 ; L. B r o o m ,

o f J a m a i c a , " American

Sociological Review,

19 ( A p r i l

121-125. R. A. Silin, "A S u r v e y of Selected Aspects of t h e C h i n e s e in Jamaica," p. 7.


323

t h e i r d a y s i n h o s p i t a l s a n d a l m s h o u s e s , a n d d i e d a s p a u p e r s , vag r a n t s , a n d b e g g a r s , a n d the e n t i r e g r o u p vanished with t h e d e a t h of the first generation.

3 7

The

disappointment

of the

planters,

t o g e t h e r w i t h t h e h o s t i l i t y o f t h e n a t i v e p o p u l a t i o n , d a m p e n e d all a t t e m p t s a t f u r t h e r i m m i g r a t i o n o n a s u b s t a n t i a l scale f o r t h e n e x t thirty y e a r s .

3 8

T h e labor shortage created by massive out-migration of the Jam a i c a n w o r k i n g class t o P a n a m a i n t h e e a r l y 1 8 8 0 s r e v i v e d i n t e r e s t in C h i n e s e i m m i g r a t i o n , a n d in 1884 a total of 696 i n d e n t u r e d servants arrived from H o n g K o n g .

3 9

I t w a s t h e last g r o u p t o c o m e d i -

rectly f r o m C h i n a u n d e r t h e i n d e n t u r e s y s t e m . T h i s s e c o n d att e m p t at e m p l o y i n g t h e C h i n e s e as a g r i c u l t u r a l l a b o r e r s was also a c o m p l e t e f a i l u r e . B y 1 8 9 1 t h e vast m a j o r i t y o f t h e C h i n e s e w e r e o u t of a g r i c u l t u r e a n d in small t r a d i n g activities. B e g i n n i n g i n t h e 1 8 9 0 s , all n e w m i g r a n t s w e r e b r o u g h t i n b y e x isting C h i n e s e to a u g m e n t their n u m b e r s , a n d to w o r k in their growing commercial enterprises. T h e

1911 c e n s u s shows a total

p o p u l a t i o n of 2,111 p e r s o n s but a sex ratio of 540 males for every 100 w o m e n . In

1919,

following

further

tensions

aroused

by

the

growing

Chinese presence and their increasing domination of the grocery t r a d e , t h e first r e s t r i c t i v e i m m i g r a t i o n l a w s w e r e p a s s e d . T h e r e strictions w e r e mild, almost a b s u r d , h o w e v e r , a n d by 1921 t h e p o p ulation h a d increased to 3 , 6 9 6 .

4 0

By this time t h e C h i n e s e h a d

b e g u n t o e x p a n d o u t t o t h e c o u n t r y s i d e o n c e a g a i n w h e r e they set u p isolated retail s h o p s . T h e r e w e r e 52.8 p e r c e n t n o w living outside K i n g s t o n . T h e h i g h ratio of C h i n e s e males to females also accounted for a n o t h e r d e v e l o p m e n t d u r i n g the early period of the c e n t u r y : t h e g r o w t h o f t h e c o l o r e d C h i n e s e ( t h a t is, h a l f - b l a c k , halfChinese) population. T h e s e were the children of the male Chinese s h o p k e e p e r s a n d t h e i r black c o n c u b i n e s a n d h o u s e k e e p e r s . T h e g o v e r n m e n t stopped issuing passports to Chinese migrants i n 1 9 3 1 , a n d i n 1 9 4 0 all C h i n e s e , w i t h t h e e x c e p t i o n o f d i p l o m a t s , 37.

A. Lind, "Adjustment Patterns A m o n g the Jamaican Chinese," p. 148.

38.

Ibid., p. 149.

39.

Ibid.

4 0 . Silin, "A S u r v e y of Selected A s p e c t s of t h e C h i n e s e in Jamaica," p. 12.

324

Orlando

Patterson

tourists, a n d students, were barred from e n t e r i n g the island. By t h i s t i m e , h o w e v e r , t h e C h i n e s e p o p u l a t i o n , t h o u g h still r e l a t i v e l y small, h a d b e c o m e a d e m o g r a p h i c a l l y viable unit. By 1943 t h e r e were 12,394 persons of Chinese extraction on the island, of w h o m 6,879 w e r e " p u r e C h i n e s e , " a n d 5,515 w e r e c o l o r e d C h i n e s e . (See T a b l e s 2 a n d 3.) T h e e a r l y p e r i o d o f s e t t l e m e n t , 1854—1900, w a s m a r k e d b y t h e inevitable tension involved in adjusting to a n d settling d o w n in a n e w society. T h e m a j o r p r o b l e m f a c i n g t h e C h i n e s e d u r i n g this Table 2.

Characteristics

of the Jamaican

Total Year

Population

Males

Females

Chinese Population,

1871-1960

Sex Ratio

Percent

Percent

M/100 F

Urban

Total Population

1871

141

131

10

1310

82.2

0.0

1881

99

n.a.

n.a.

n.a.

88.9

0.0

1891

481

373

108

345

63.2

0.1

1911

2111

1783

328

543

45.0

0.3

1921

3696

n.a.

n.a.

n.a.

41.8

0.4

1943

12,394

6922

5472

126

50.3

1.0

1960

21,812

11,265

10,547

106

50.6

1.2

Sources: A . L i n d , " A d j u s t m e n t P a t t e r n s a m o n g t h e J a m a i c a n C h i n e s e , " Social and Economic

Studies,

7

(1958),

144-164;

G.

Roberts,

( C a m b r i d g e U n i v e r s i t y P r e s s , 1 9 5 7 ) ; Census o f Jamaica,

The

Population

of Jamaica

1960 (Kingston, Govern-

m e n t Printing Office).

p e r i o d was their c o n t i n u e d survival, n o t so m u c h as a g r o u p , n o r as culture

carriers,

but

as

individuals.

This

point

cannot

be

too

strongly e m p h a s i z e d . If o u r objective is to s h o w h o w t h e C h i n e s e d e v e l o p e d as a g r o u p after c o m i n g to J a m a i c a , it w o u l d clearly be tautological to speak of t h e m as if they were already a g r o u p on c o m i n g t o t h e island. T h e C h i n e s e w h o c a m e t o t h e C a r i b b e a n d i d h a v e s o m e r u d i m e n t a r y bases o f g r o u p affiliation: these w e r e their shared experience of crossing the ocean, a n d the experience of b e i n g physically a n d culturally different in an alien land. T h e s e s h a r e d traits offered

t h e o p p o r t u n i t y for g r o u p allegiance, b u t

t h e r e is no compelling n o r " p r i m o r d i a l " r e a s o n w h y they h a d to accept this o p p o r t u n i t y . T h e y could choose n o t to. In J a m a i c a , they did, a n d in G u y a n a they d i d not.

Tabic

3.

Characteristics

of "Pure"

and

Colored

Chinese

Population Jamaica,

"Pure' C h i n e s e

1943,

1960

Colored Chinese

All Percent

Sex Ratio Year

Males

1943 1960

Females

M/100 F

4338

254 1

171

5693

4574

124

Sex Ratio Total

China

Males

Females

M/100 F

Total

Total

Born

6879

2584

2931

89

10,267

4631

5041

91

5515

12,394

22.8

9672

21,812

9.5

Sources: Census of Jamaica, 1 9 4 3 ( K i n g s t o n , G o v e r n m e n t P r i n t i n g O f f i c e ) ; Census o f Jamaica, I 9 6 0 ( K i n g s t o n , G o v e r n m e n t P r i n t i n g Office),

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W h y d i d t h i s set o f i n d i v i d u a l s with C h i n e s e f e a t u r e s a n d c u l t u r e w h o came to J a m a i c a in the nineteenth century choose to use their s h a r e d social a n d c u l t u r a l traits a s t h e b a s e s f o r e s t a b l i s h i n g a n e t h nic g r o u p ? B e c a u s e it was in their best s o c i o e c o n o m i c interest to d o so. T h e p o s t - e m a n c i p a t i o n society t o w h i c h t h e y c a m e h a d o n e g l a r i n g g a p i n its e c o n o m y — t h e r e w a s a l m o s t n o r e t a i l t r a d e syst e m . T h i s was not r e q u i r e d in the plantation-slave e c o n o m y w h e r e e a c h p l a n t a t i o n was a self-contained w o r l d in w h i c h m a s t e r a n d slave p r o v i d e d f o r t h e i r o w n m u t u a l n e e d s t h r o u g h t h e d o m e s t i c p r o d u c t i o n a n d direct importation of g o o d s a n d staples. Now, with e m a n c i p a t i o n , a m o r e c o m p l e x e c o n o m y h a d evolved. T h e r e was a h u g e peasantry alongside the surviving plantation system; there w a s also a g r o w i n g u r b a n c e n t e r , e s p e c i a l l y i n K i n g s t o n , w h i c h h a d to be supplied. Both the rural and the u r b a n areas of Jamaica w e r e i n c r e a s i n g l y i n n e e d o f a retail s y s t e m w h e n t h e C h i n e s e a r rived, the n e e d s of the u r b a n areas m o r e pressing t h a n the rural. T h e C h i n e s e i m m i g r a n t s q u i c k l y sized u p t h e s i t u a t i o n a n d set a b o u t seizing the o p p o r t u n i t y . 4 1

B u t w h y , w e m a y a s k , w a s this p o s s i b l e ? H o w c o u l d a s t r u g g l i n g b a n d of aliens take over, in so short a p e r i o d of time, such a key sector of the host country's economy? T h e answer, quite simply, is t h i s : t h e y h a d n o c o m p e t i t i o n . W h y was t h e r e n o c o m p e t i t i o n ? T h e a n s w e r i s twofold: t h o s e native m e m b e r s o f t h e society w h o h a d skills a n d r e s o u r c e s t o d e v e l o p t h e retail t r a d e — t h e c o l o r e d a n d the white m i d d l e a n d u p p e r classes—were not interested in d o i n g so. N o r w e r e t h e J e w s i n t e r e s t e d i n d o i n g it. T h e s t a t u s f a c t o r a l o n e w o u l d h a v e b e e n critical f o r t h e m , s i n c e i t w a s p r e c i s e l y a t this t i m e t h a t t h e y h a d b e g u n t o m o v e i n t o t h e u p p e r e c h e l o n s o f w h i t e society, f r o m which they h a d been e x c l u d e d for m o s t of t h e p e r i o d of s l a v e r y . B u t , like t h e B r i t i s h , t h e y h a d b e t t e r , a n d m o r e l u c r a t i v e , t h i n g s t o d o . T h o s e w h o m i g h t have b e e n i n t e r e s t e d — t h e black l o w e r c l a s s e s — l a c k e d t h e r e s o u r c e s t o d o so. T h e n a t u r a l c h o i c e , t h e n , s h o u l d h a v e b e e n t h e n e w m i d d l e class of coloreds, for w h o m emancipation offered e n o r m o u s o p p o r t u 41.

D.

H a l l , Free Jamaica,

c h s . 5 a n d 7.

1838-1865 ( N e w

H a v e n , Yale University Press,

1959),


327

n i t i e s . B u t f o r t h i s g r o u p , t h e s t a t u s f a c t o r w a s all i m p o r t a n t . T h e d o m i n a t i n g , a l l - p e r v a s i v e q u a l i t y o f t h e i r lives w a s t h e i r d e s p e r a t e , a n d o f t e n p a t h e t i c , a t t e m p t s t o i d e n t i f y w i t h t h e w h i t e r u l i n g class. M o r e t h a n a n y o t h e r g r o u p , t h e y d e s p i s e d t h e b l a c k s w i t h t h a t selfdestroying c o n t e m p t characteristic of half-breed groups. Being physically closer to t h e blacks t h a n to t h e British a n d J e w i s h g r o u p s t h e y w e r e s o e a g e r t o e m u l a t e , i t w a s m u c h m o r e vital f o r t h e m t o c r e a t e e v e n g r e a t e r social d i s t a n c e b e t w e e n t h e m s e l v e s a n d t h e b l a c k m a s s e s . A w h i t e m a n s e r v i n g a b l a c k e x - s l a v e was u n t h i n k a b l e to e v e r y o n e . A c o l o r e d g e n t l e m a n s e r v i n g an ex-slave was quite thinkable to the whites, a n d to the blacks; b u t to the coloreds, that such things w e r e t h i n k a b l e was a s o u r c e of h u m i l i a t i o n , o u t r a g e , a n d u t t e r d i s g u s t , a n d its r e a l i z a t i o n w a s t o b e a v o i d e d a t all costs. For these reasons, t h e n , the Chinese f o u n d themselves with a rem a r k a b l e o p p o r t u n i t y . A d d t o this t h e fact t h a t t h e y w e r e a n i m m i g r a n t g r o u p a n d t h a t , like all s u c h g r o u p s , i t w a s e a s i e r t o f o r e g o t h e social activities t h a t full m e m b e r s h i p i n a s o c i e t y d e m a n d s , a c tivities t h a t r e q u i r e c a p i t a l a n d t i m e , a n d t h e s u c c e s s o f t h e C h i n e s e c a n be e x p l a i n e d w i t h o u t in a n y way h a v i n g to r e s o r t to questionable notions a b o u t t h e latter's g r e a t e r initiative or resourcefulness. At first, the Chinese r e s p o n d e d to the o p p o r t u n i t y on an individu a l b a s i s . T h e r e w a s a - r a p i d shift t o t h e u r b a n a r e a s b y t h e scatt e r e d C h i n e s e p o p u l a t i o n . It was in K i n g s t o n t h a t they f o u n d their c o m m o n interests and began to develop as a g r o u p . Soon the Chee K u n g T o n g Association was f o r m e d ( a b r a n c h o f t h e H i n g Min Ass o c i a t i o n ) . L a t e r i n 1 8 9 1 , t h e C h i n e s e B e n e v o l e n t Society was organized, mainly to p e r f o r m charitable work a m o n g the aged and the poor. T o w a r d the end of the nineteenth century, having secured a s t r o n g hold on the retail t r a d e in K i n g s t o n , t h e C h i n e s e traders began to m o v e back to the r u r a l areas to take a d v a n t a g e of the retail o p p o r t u n i t i e s d e v e l o p i n g a m o n g t h e p e a s a n t r y . T h e C h i n e s e , o n l y 0.4 p e r c e n t o f t h e t o t a l p o p u l a t i o n , h a d all b u t c o n q u e r e d t h e entire retail t r a d e on the island. O n l y after securing an economic base d i d they b e g i n to c o n s o l i d a t e as an e t h n i c g r o u p . P r i o r to this, it is w r o n g to see t h e m as an ethnic g r o u p ; their efforts were l a r g e l y o n a n i n d i v i d u a l i s t i c b a s i s . E a c h f a m i l y h a d k e p t t o itself.

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T h e r e was only a vague sense of c o m m u n i t y b r o u g h t a b o u t by the c o m m o n e x p e r i e n c e of being s t r a n g e r s in a s t r a n g e land a n d out of c e r t a i n c o m m o n n e c e s s i t i e s . E v e n o n t h i s m i n i m a l level, h o w e v e r , collective activity s e e m s t o h a v e c o m e w i t h s o m e difficulty. I n d e e d , e a r l y a t t e m p t s a t e t h n i c c o n s o l i d a t i o n d u r i n g t h e first d e c a d e s of t h e t w e n t i e t h c e n t u r y w e r e m a r r e d b y b i t t e r f e u d s a n d disputes a m o n g the more prominent Chinese; so m u c h so that the C h i n e s e B e n e v o l e n t S o c i e t y c o l l a p s e d i n 1 9 1 6 a l t h o u g h its s e r v i c e s were desperately n e e d e d , given the extremely high d e p e n d e n c y ratio of the population. O n e o t h e r t h i n g o f n o t e i s t h a t r a c e w a s n e v e r t h e m o s t critical basis o f w h a t e v e r g r o u p activity t h a t t o o k p l a c e d u r i n g t h i s o r t h e e n s u i n g p e r i o d , a n d for a simple r e a s o n : if t h e C h i n e s e h a d tried t o m a i n t a i n t h e i r racial p u r i t y , they w o u l d h a v e s u f f e r e d t h e s a m e f a t e a s t h e e a r l i e r g r o u p — e x t i n c t i o n w i t h t h e first g e n e r a t i o n . F o r t h e r e w a s a d e s p e r a t e s h o r t a g e a m o n g t h e m , r i g h t t h r o u g h this a n d a good part of the next period, of w o m e n . To survive, the C h i n e s e t u r n e d to the native p o p u l a t i o n a n d took black w o m e n as concubines to m o t h e r their children. T h e y rarely married these w^Dmen, b u t it is u n l i k e l y t h a t t h i s w a s an e x p r e s s i o n of r a c i a l c o n t e m p t , s i n c e b l a c k m e n did n o t m a r r y t h e m d u r i n g t h e i r c h i l d bearing age either. A n d , further, the institution of concubinage, w h i c h t h e C h i n e s e f o u n d a m o n g t h e n a t i v e p o p u l a t i o n , was b y n o m e a n s alien to their O r i e n t a l e x p e r i e n c e . A nice situation of cult u r a l c o n g r u e n c e p r e s e n t e d itself, a n d t h e C h i n e s e t o o k a d v a n t a g e o f it. O u t o f t h e s e u n i o n s a n i n t e r e s t i n g p a t t e r n e m e r g e d . I t w a s t o p e r s i s t t h r o u g h t h e s e c o n d h a l f o f t h e c e n t u r y . T h e r e i s n o evid e n c e t h a t they ever c o n s i d e r e d this a p r o b l e m , or that they h a d a n y s t r o n g f e e l i n g s o f p r i m o r d i a l loss. W h a t t h i s m e a n t , h o w e v e r , was t h a t " p u r e C h i n e s e " h a d to h a v e a c u l t u r a l r a t h e r t h a n a racial m e a n i n g . T h i s i s e x a c t l y w h a t t h e C h i n e s e did. T h e s o n s b o r n t o t h e m b y t h e i r b l a c k c o n c u b i n e s , a n d l a t e r b y t h e racially m i x e d w o m e n , were later m a d e over into the Chinese cultural mold. At first t h i s w a s d o n e b y t h e f a t h e r s t h e m s e l v e s , b u t a s t h e C h i n e s e 4 2

42.

"In fact," H e n r i q u e s w r i t e s , "black w o m e n f r e q u e n t l y e x p r e s s their liking

for C h i n e s e as their 'Sweet Man,' a n d for the care they lavish on their concubines." H e n r i q u e s , Family and Color, p. 9 8 .


329

gained in prosperity, they sent their half-breed sons back to H o n g Kong a n d China to be acculturated by their kinsmen. T h e homeland kinsmen, however, did their j o b of enculturation well. H a v i n g left J a m a i c a a t t h e t e n d e r a g e o f f i v e o r six, t h e c h i l dren

returned

to the island in early m a n h o o d

totally C h i n e s e ,

m a n y o f t h e m e v e n m o n o l i n g u a l l y so. L a t e r , t h e t e n d e n c y was for t h e s e g r o w n u p m a l e c h i l d r e n t o m a k e a s e c o n d a n d last j o u r n e y t o C h i n a to p r o c u r e a wife, w h o m they w o u l d b r i n g back to J a m a i c a with t h e m . What

we

have

called

the

phase

of

ethnic

consolidation,

1 9 0 0 - 1 9 4 0 , b e g a n a b o u t t h e t u r n o f t h e c e n t u r y , especially after t h e First W o r l d W a r . B y t h e n t h e C h i n e s e h a d n o t only established t h e m s e l v e s i n K i n g s t o n b u t h a d f a n n e d o u t t o a l m o s t all t h e m a j o r a n d m i n o r u r b a n c e n t e r s o n the island. O n l y now, with c o m p l e t e e c o n o m i c security, d i d they t u r n in e a r n e s t to t h e task of f o r g i n g a g r o u p identity. T h e d e v e l o p m e n t o f this i d e n t i t y w a s b o t h c a u s e d a n d m o t i v a t e d by e c o n o m i c interests. H a v i n g taken o v e r the retail sector of the economy, the Chinese began to move into the wholesale business after 1900 a n d h a d a firm hold on this a r e a by 1920. T h e p e r i o d b e t w e e n 1 9 2 0 a n d 1 9 4 0 a l s o saw t w o levels o f d e v e l o p m e n t o f t h e Chinese wholesale business. In the major u r b a n center of Kingston, concentrated a r o u n d the Chinese quarter, were the primary wholesalers w h o b o u g h t directly from the i m p o r t a g e n t s . T h e s e p r i m a r y wholesalers supplied secondary Chinese wholesalers who had, by now, spread out over the countryside. Secondary wholesalers comb i n e d w h o l e s a l e s e l l i n g t o local b u s i n e s s e s w i t h t h e i r o w n r e t a i l outlets. E c o n o m i c p r o s p e r i t y m a d e e t h n i c c o n s o l i d a t i o n p o s s i b l e i n several ways. First, it m e a n t t h a t t h e r e was e n o u g h s u r p l u s wealth to s u p p o r t charitable causes a m o n g themselves. T h u s in 1921, after b e i n g d e f u n c t for f i v e y e a r s , t h e C h i n e s e B e n e v o l e n t Society was revived, a n d

from that time served the c o m m u n i t y continuously

for the next half-century. S e c o n d , prosperity allowed for the development

of a

Chinese

press—The

Chinese

Public

News,

published

in

C h i n e s e , b e g a n a b o u t t h i s t i m e . T h e p r e s s b e c a m e a n i m p o r t a n t ins t r u m e n t o f c o m m u n i t y f o r m a t i o n , n o t o n l y i n k e e p i n g t h e scat-

330

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tered c o m m u n i t y informed of news a b r o a d b u t of o t h e r m e m b e r s i n J a m a i c a . E c o n o m i c p r o s p e r i t y also a l l o w e d f o r t h e d e v e l o p m e n t of a n o t h e r i m p o r t a n t institution which was to increase t h e cohesiveness of t h e g r o u p — t h e f o r m a t i o n of t h e C h i n e s e public school in 1924. Finally, e c o n o m i c p r o s p e r i t y p e r m i t t e d C h i n e s e f a t h e r s to send even m o r e of their sons on the expensive j o u r n e y of enculturation to China and H o n g Kong and, at the same time, to import m o r e w o m e n , a s well a s o t h e r m e n , i n t o t h e s o c i e t y . I n t h i s w a y t h e c u l t u r a l d i s t i n c t i v e n e s s o f t h e g r o u p was e n h a n c e d , a n d its d e m o graphic position improved. T h u s , the phase of ethnic consolidation was a c c o m p a n i e d by the t h i r d stage in t h e racial c o m p o s i t i o n of t h e C h i n e s e p o p u l a t i o n . I n the earliest p e r i o d , t h e g r o u p was p u r e Chinese b u t overwhelmingly male. D u r i n g t h e first p h a s e of adjustm e n t t h e r e was a s t r o n g infusion of N e g r o " b l o o d " into t h e g r o u p , c r e a t i n g a n e e d t o e m p h a s i z e c u l t u r a l f a c t o r s r a t h e r t h a n racial o n e s in g r o u p identification. T h i s is n o w followed by a stage in which there is a re-infusion of Chinese genes t h r o u g h two sources: p u r e Chinese w o m e n from China, a n d the Chinese colored w o m e n w h o , w h i l e r e j e c t e d a s c a n d i d a t e s f o r full e n c u l t u r a t i o n , w e r e p r e ferred as mates, w h e n they grew u p , to p r o d u c e m o r e sons. Even so, the emphasis r e m a i n e d on the cultural criterion for the g r o u p ' s d e f i n i t i o n . T h e r e w e r e still n o t e n o u g h " p u r e " o r c o l o r e d C h i n e s e w o m e n t o m e e t t h e b i o l o g i c a l a n d social n e e d s o f t h e m a l e Chinese c o m m u n i t y . I n d e e d , at no time in their history in the island could Chinese m e n expect to find m a t e s wholly from a m o n g purely Chinese women. T h e technique of defining pure Chinese in l a r g e l y social a n d c u l t u r a l t e r m s , t h e n , b e c a m e e n t r e n c h e d a m o n g the J a m a i c a n Chinese, so that today o n e h a r d l y ever h e a r s the distinction "Chinese colored." W h e t h e r or not a p e r s o n is Chinese d e p e n d s on whether he or she chooses to define him- or herself as C h i n e s e (always, o f c o u r s e , with t h e c o n s t r a i n t t h a t t h e individual m u s t have s o m e vague resemblance to Chinese), a n d w h e t h e r they are accepted by the Chinese community as Chinese. E c o n o m i c factors not only m a d e possible a n d e n c o u r a g e d the g r o w t h of C h i n e s e ethnicity, b u t t h e c o n s o l i d a t i o n was s t i m u l a t e d b e c a u s e i t w a s g o o d f o r b u s i n e s s . W h a t , a f t e r all, i s retail a n d wholesale trading but a n e t w o r k of people a m o n g w h o m there is a


331

flow o f g o o d s a n d c r e d i t i n o n e d i r e c t i o n , a n d a flow o f p r o f i t i n the o t h e r ? N o w t h a t they w e r e s p r e a d o u t over t h e c o u n t r y , it was to their economic advantage to consolidate into an ethnic g r o u p with excellent i n t r a g r o u p c o m m u n i c a t i o n s . T h u s , the s t r u c t u r e of t h e social n e t w o r k b e c a m e o n e w i t h t h e s t r u c t u r e o f t h e t r a d i n g n e t w o r k . T h i s i s m o s t t e l l i n g l y r e f l e c t e d i n t h e fact t h a t t h e s t r o n g e s t c o m m u n i t y o r g a n i z a t i o n s w e r e also t r a d e associations, for e x a m p l e , t h e W h o l e s a l e r s Association, t h e C h i n e s e Retailers Association, a n d the Bakeries Association. H o w e v e r m u c h they may have tried to preserve the old culture, t h e fact r e m a i n s t h a t t h e C h i n e s e w e r e l i v i n g i n a h o s t s o c i e t y t o w h i c h t h e y h a d t o m a k e s o m e a d j u s t m e n t s . T h e y w e r e totally d e p e n d e n t o n t h i s s o c i e t y f o r t h e i r l i v e l i h o o d . T h e y w e r e a t its political m e r c y . T h e y a l s o d e p e n d e d o n i t f o r b i o l o g i c a l s u p p o r t . T h o u g h they were to r e m a i n , by a n d large, culturally exclusive a n d were to enrich their own cultural background t h r o u g h their prosperity d u r i n g this p e r i o d , o n e can d e t e c t t h e s e e d s o f t h e s e g m e n tary Sino-Creole which was to develop later o n . Dietary patterns h a d to c h a n g e , if e v e r so slightly; s o m e f o r m of English h a d to be l e a r n e d ; .adaptations h a d to be m a d e to the black w o m e n (who h a d a highly d e v e l o p e d sense of their o w n i n d e p e n d e n c e ) . Again, as the C h i n e s e c o m m u n i t y g r e w larger, t h e r e was t h e p r o b l e m o f e d u c a t ing the young. Clearly, the technique of sending their children to C h i n a to be e d u c a t e d could n o t go on forever; it was prohibitively expensive. As the years separating the first generation grew in n u m b e r s , i t was b e c o m i n g increasingly a w k w a r d . P r o s p e r i t y a n d e x p a n d i n g business also b r o u g h t p r o b l e m s i n e d u c a t i n g t h e y o u n g . D u r i n g t h e e a r l y p e r i o d w h e n b u s i n e s s e s w e r e o n a s m a l l scale, b e i n g culturally C h i n e s e a n d completely illiterate in the l a n g u a g e of t h e host c u l t u r e was no d i s a d v a n t a g e . A l a r g e r business e n t e r p r i s e r e q u i r e s social skills i n t h e h o s t society. P e r h a p s the a r e a in w h i c h the C h i n e s e , d u r i n g this p e r i o d of ethnic c o n s o l i d a t i o n , m a d e t h e g r e a t e s t a d j u s t m e n t t o t h e h o s t society was i n r e l i g i o n . C h i n e s e r e l i g i o n d i d n o t a p p e a r t o s u r v i v e l o n g a m o n g t h e C h i n e s e i n J a m a i c a , o r for that m a t t e r , a m o n g the Chinese in other parts of the Caribbean. Instead, the Chinese during the early part of the p r e s e n t century began to convert to R o m a n

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4 3

C a t h o l i c i s m . A s I will p o i n t o u t i n c o m p a r i n g t h e J a m a i c a n w i t h the Guyanese Chinese, the choice of the R o m a n Catholic church, which was a small m i n o r i t y religion in J a m a i c a , was significant in that, while it involved a cultural c o m p r o m i s e , it m a i n t a i n e d t h e social e x c l u s i v e n e s s o f t h e g r o u p , a n e x c l u s i v e n e s s w h i c h t h e R o m a n C a t h o l i c c h u r c h w a s q u i t e willing t o r e s p e c t . As the Chinese community grew larger and became m o r e prosp e r o u s , a n d a s a s e c o n d a n d t h i r d g e n e r a t i o n e m e r g e d , basic p r o b lems b e g a n to d e v e l o p with r e g a r d to the cultural exclusiveness of the g r o u p . T h e y centered on the growing unwillingness of the younger generation to be deprived of a Western education a n d in t h i s w a y s u f f e r a d i s a d v a n t a g e vis-a-vis t h e i r fellow J a m a i c a n s . F u r t h e r m o r e , even within the C h i n e s e c o m m u n i t y , t h e n e e d for m o r e W e s t e r n i z a t i o n w a s felt. T h i s l e d t o w h a t c a n b e r e f e r r e d t o a s t h e segmentary creolization period, which developed in 1940 to 1945. O n c e again, then, the Chinese found that they h a d to make a f u n d a m e n t a l c h o i c e critical t o t h e i r o w n e c o n o m i c s e l f - i n t e r e s t . I t w a s a c h o i c e b e t w e e n c o n t i n u e d e t h n i c s o l i d a r i t y o n t h e basis o f cultural exclusiveness or c o n t i n u e d prosperity. A division soon e m e r g e d i n t h e c o m m u n i t y c e n t e r i n g o n this issue, b u t e x a c e r b a t e d by other, m o r e fortuitous developments. On the ethnically conserv a t i v e s i d e w e r e t h e o l d e r g e n e r a t i o n o f C h i n e s e , a s well a s t h e r e m a i n i n g C h i n a - b o r n ( m a n y , t h o u g h n o t all, o f w h o m w e r e also o f the o l d e r a g e g r o u p ) , a n d o n the o t h e r side w e r e t h e y o u n g e r gene r a t i o n of C h i n e s e , mainly J a m a i c a n b o r n , w h o o p t e d for a m o r e p r o g r e s s i v e , less e x c l u s i v e a p p r o a c h t o t h e h o s t s o c i e t y . What troubled the younger generation of Chinese Jamaicans in t h e e a r l y 1 9 4 0 s , h o w e v e r , w a s t h e fact t h a t t h e c o l o n i a l society i n w h i c h t h e y lived w a s i n t h e f i r s t s t a g e s o f f u n d a m e n t a l c h a n g e i n the direction o f i n d e p e n d e n c e . T h e s e early c h a n g e s w e r e b r o u g h t a b o u t by the dissatisfaction of the mass of p e o p l e , especially on the s u g a r p l a n t a t i o n s , w i t h t h e i r lot, a d i s s a t i s f a c t i o n w h i c h w a s b e i n g a r t i c u l a t e d b y t h e b r o w n m i d d l e classes, w h o w e r e b e g i n n i n g , for the first time, to assert their claim to national l e a d e r s h i p . In pushing for i n d e p e n d e n c e a n d national leadership, t h e e m e r g i n g mid43.

F. X. D e l a n y , S.J., A History of the Catholic Church in Jamaica ( N e w Y o r k , J e s -

uit M i s s i o n s Press, 1 9 3 0 ) , p . 2 7 1 .


333

d i e class b e g a n t o f o r g e a n a t i o n a l s o l i d a r i t y a r o u n d t h e t h e m e o f a n explicitly s t a t e d n a t i o n a l c u l t u r e t h a t i n c o r p o r a t e d all e l e m e n t s o f t h e society. T h i s i s t h e official v e r s i o n o f t h e s y n t h e t i c C r e o l e I described above.

4 4

It was in this a t t e m p t to legitimize t h e synthetic C r e o l e t h a t t h e Chinese, for the first time, b e g a n to attract serious attention. T h e y were resented, not because they were despised, or because t h e r e was any desire to keep t h e m out, but, on the contrary, because it w a s felt t h a t t h e y w e r e r e m a i n i n g a l o o f f r o m t h e n a t i o n a l e f f o r t a n d d i d n o t wish t o b e i n c l u d e d . M a n y p e o p l e felt i n d i g n a t i o n a t t h e refusal of the C h i n e s e to accept the invitation to j o i n in the m o v e m e n t toward n a t i o n h o o d , a n d to share in the e m e r g i n g synthetic Creole c u l t u r e .

4 5

W h a t is certain is that the y o u n g e r genera-

tion took the statement seriously a n d their h a n d s w e r e s t r e n g t h e n e d by it. One other development further weakened

the position of the

o l d e r g e n e r a t i o n — t h i s was t h e C o m m u n i s t r e v o l u t i o n i n C h i n a a n d their final takeover of the Mainland. Immigration from China to J a m a i c a h a d b e e n s t o p p e d completely by t h e 1940s; n o w , t h e possibility o f r e t u r n i n g t o C h i n a , o r o f s u s t a i n e d c o n t a c t , w a s r e m o v e d . Besides, the C o m m u n i s t ideology of the new g o v e r n m e n t in Mainl a n d C h i n a c r e a t e d a r e a l crisis o f a l l e g i a n c e f o r m a n ) ' o f t h e o l d e r g r o u p of culturally conservative Chinese. To

maintain

their

cultural

exclusiveness,

the

conservative

m e m b e r s of the Chinese communities had to s u p p o r t a governm e n t a n d an ideology (on t h e M a i n l a n d ) which was totally inconsistent with their position a n d implicit e c o n o m i c p h i l o s o p h y in J a maica.

In

rejecting

this c o n t r a d i c t i o n ,

the older

generation

of

C h i n e s e moved to reconcile their e c o n o m i c interests with their cultural o r i e n t a t i o n . T h e m o v e also m a r k e d a g r u d g i n g a c c e p t a n c e of t h e fact t h a t J a m a i c a w o u l d r e m a i n t h e i r h o m e l a n d . These developments a m o n g the older generation were accom4 4 . O n the d e c o l o n i z a t i o n p r o c e s s a n d the role o f t h e m i d d l e class i n J a m a i c a ,

s e e T. M o n r o e , The Polities of Constitutional Decolonization ( K i n g s t o n , I n s t i t u t e of Social a n d E c o n o m i c R e s e a r c h , 1 9 7 2 ) , e s p . chs. 2 - 3 . 45. ber

S e e t h e m u c h q u o t e d e d i t o r i a l c o m m e n t s i n Spotlight ( M a y

1952).

1949 and Octo-

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p a n i e d b y a f a r m o r e r a d i c a l shift t o w a r d a g r e a t e r a d j u s t m e n t t o Jamaica by the younger generation of Jamaica-born Chinese. This g r o u p n o w insisted on having a W e s t e r n e d u c a t i o n , a n d later, on s e n d i n g t h e i r c h i l d r e n t o t h e local p u b l i c s c h o o l s . T h e y a l s o e s t a b l i s h e d g r e a t e r c o n t a c t w i t h m e m b e r s o f t h e h o s t society. I n m a k i n g t h e s e a d j u s t m e n t s , t h e y w e r e m e t h a l f w a y b y t h e less c o n s e r v a tive m e m b e r s o f t h e o l d e r a n d C h i n a - b o r n g e n e r a t i o n . W h a t e m e r g e d f r o m t h e i r j o i n t efforts was an a t t e m p t at f o r m u l a t i n g a s e g m e n t a r y S i n o - C r e o l e society w h i c h w a s s t r o n g l y J a m a i c a n i n e m p h a s i s a n d w h i c h b o r r o w e d m a n y o f its i n s t i t u t i o n a l f o r m s f r o m t h e h o s t society b u t w h i c h w a s d i r e c t e d e x c l u s i v e l y a t t h e C h i n e s e c o m m u n i t y . T h e effort, h o w e v e r , c a m e too late, a n d d i d n o t g o far enough. T h e t r u t h i s t h a t J a m a i c a n society h a d p a s s e d t h e s t a g e i n its d e v e l o p m e n t w h e r e i t c o u l d t o l e r a t e , o r c o n t a i n , w i t h o u t g r e a t social risk, t h e e x i s t e n c e o f a s e g m e n t a r y C r e o l e s o c i e t y , e s p e c i a l l y o n t h e p a r t o f t h o s e m e m b e r s o f t h e society w h o a l m o s t c o m p l e t e l y m o nopolized o n e sector of t h e island's e c o n o m y . S t a r t i n g in t h e 1950s it began to move into the synthetic creolization p e r i o d which continues to the present. F r o m a m o r e theoretical perspective, what we are suggesting is t h a t s e g m e n t a r y a n d synthetic creolization a r e basically antithetical. S y n t h e t i c c r e o l i z a t i o n s e e k s t o u n i t e all t h e d i f f e r e n t s e g m e n t a r y c u l t u r e s i n t o a u n i f i e d n a t i o n a l c u l t u r e ; i t is, i n d e e d , t h e d i a l e c t i c a l synthesis of t h e various antithetical s e g m e n t a r y Creole cultures. S e g m e n t a r y c r e o l i z a t i o n , b y its v e r y n a t u r e , r e s i s t s s u c h u n i f i c a t i o n . It is possible for the two types of Creole c u l t u r e to exist side by side only if t h e g r o u p which exercises total p o w e r is n o t c o m m i t t e d to s y n t h e t i c c r e o l i z a t i o n a n d i s itself t h e s u p p o r t e r o f a s e g m e n t a r y C r e o l e c u l t u r e . T h i s was t h e case d u r i n g t h e colonial p e r i o d , w h e n t h e B r i t i s h e x e r c i s e d p o w e r o v e r all o t h e r g r o u p s . O n c e t h e g r o u p which assumes power is committed to synthetic creolization, howe v e r , t h e s y n t h e t i c c u l t u r a l d i a l e c t i c i s likely t o e v o l v e a s o n e way o f resolving the potential tensions of decolonization in a multi-ethnic society. I t i s s o m e t i m e s p o s s i b l e , o f c o u r s e , f o r t h e n e w p o s t c o l o n i a l elite t o c o m m i t itself t o s e g m e n t a r y c r e o l i z a t i o n , i n this w a y legitimizing the existence of o t h e r such Creole cultures. T h i s , for


335

example, is what h a p p e n e d in Surinam and, to some extent, in G u y a n a . I n J a m a i c a , however, t h e n e w elite was f i r m l y c o m m i t t e d to a national synthetic Creole culture. T h i s clearly placed the Chinese in a d i l e m m a . T h e y c o u l d see t h a t t h e synthetic n a t i o n a l C r e o l e c u l t u r e was in their o w n interest, b u t u n l i k e t h e o t h e r capitalist g r o u p s , w h o s e ethnicity r e s t e d p r i marily on race a n d kinship, it m e a n t a b a n d o n i n g not only t h e cultural exclusiveness of the period of ethnic consolidation, b u t the social e x c l u s i v e n e s s a n d c u l t u r a l d i s t i n c t i v e n e s s o f t h e h a s t i l y organized segmentary Creole culture of the post-1940 period. In o t h e r w o r d s , it was precisely because it was cultural symbols, r a t h e r t h a n r a c e , w h i c h f o r m e d t h e basis o f t h e i r e t h n i c i d e n t i f i c a t i o n , t h a t t h e C h i n e s e f o u n d i t f a r m o r e difficult t h a n t h e w h i t e e t h n i c s t o m a k e any g e n e r o u s concessions to the e m e r g i n g synthetic Creole society. But a choice had to be m a d e . In the e n d , the position of the y o u n g e r g e n e r a t i o n w o n o u t by t h e late 1950s. T h e decision was a r a d i c a l o n e . I t w a s also t h e d e c i s i o n t h a t w a s i n t h e g r o u p ' s b e s t class i n t e r e s t s . This rapid and near complete dismantlement of their culture w a s a c c o m p a n i e d b y r a d i c a l i n t e r s o c i a l a s well a s i n t r a s o c i a l changes. On the intersocial side, the C h i n e s e chose to m o v e both physically a n d interactionally into t h e m i d d l e a n d u p p e r m i d d l e classes. T h e y f o u n d a n elite w h o w e r e h a p p y t o h a v e t h e m . E v e n this c h a n g e h a d a direct e c o n o m i c motivation. T h e native b o u r g e o i s i e h a d m a d e a r a p i d shift i n t h e i r r e s i d e n t i a l a n d s h o p p i n g p a t t e r n s in both Kingston a n d M o n t e g o Bay. In Kingston they m o v e d f r o m t h e s o u t h , e a s t , a n d c e n t e r o f t h e city t o t h e n e w s u b u r b a n r e g i o n s o f u p p e r St. A n d r e w s t o t h e n o r t h o f t h e c i t y . Prosperity a n d Americanization led to a d e m a n d for s u b u r b a n shopping centers rather than the traditional Chinese groceries, and o p e n markets. T h e Chinese were quick to adapt to these changes in r e s i d e n t i a l p a t t e r n s a n d life styles. E c o n o m i c a l l y , t h e r e w a s a shift i n e m p h a s i s f r o m wholesaling to s u p e r m a r k e t s . T h i s , of c o u r s e , fur4 6

46.

Colin Clarke, "Population Pressure in Kingston, Jamaica: A Study of U n -

e m p l o y m e n t a n d O v e r c r o w d i n g , " Transactions and Papers, T h e I n s t i t u t e o f B r i t i s h Geographers, no. 38 (1966), 174-175.

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t h e r cut the base from u n d e r the wholesale business, since s u p e r m a r k e t s , b e c a u s e o f t h e i r scale o f o p e r a t i o n , d e a l d i r e c t l y w i t h t h e i m p o r t e r . T h e Chinese not only r e s p o n d e d by g o i n g into the sup e r m a r k e t a n d s h o p p i n g plaza business in a big way b u t , for t h e first t i m e , b e g a n t o c h a l l e n g e t h e M i d d l e E a s t e r n e r s a n d J e w s i n their traditional monopoly of the import-export business. In response to economic developments, the Chinese moved out of Chinatown and the Chinese quarters and into the new middleclass h o u s i n g a n d o t h e r r e s i d e n t i a l a r e a s o f t h e m a i n t o w n s . A t t h e s a m e t i m e , t h e r e w a s a shift t o w a r d t h e p r o f e s s i o n s a n d t o w a r d m a n a g e r i a l , clerical, a n d sales p o s i t i o n s i n n o n - C h i n e s e f i r m s . T h e C h i n e s e h a v e a d o p t e d t h e b o u r g e o i s life style o f s y n t h e t i c C r e o l e c u l t u r e with t h e s a m e avidity that c h a r a c t e r i z e d t h e i r t a k e o v e r of the retail t r a d e system. T h e Chinese, within a period of fifteen years, have ceased to be a c u l t u r e g r o u p , no longer define their ethnicity in cultural t e r m s , a n d have become instead an integral part of the bourgeoisie, pract i c i n g , i n full m e a s u r e , t h e s y n t h e t i c C r e o l e a n d m i d d l e - c l a s s life style o f t h a t g r o u p . T h e y did not, however, cease to be an ethnic g r o u p . Rather, w h a t t h e y d i d w a s t o c h a n g e t h e basis o f t h e i r e t h n i c i t y . W h i l e t h e y have b e c o m e culturally J a m a i c a n , the Chinese w e r e careful to maintain those patterns of behavior and attitudes to work a n d family w h i c h , o n t h e o n e h a n d , m a i n t a i n g r o u p c o h e s i o n , a n d , o n t h e o t h e r h a n d , a r e c o n g r u e n t with those qualities w h i c h e n s u r e high achievement in the society. 47

T h e n u c l e a r a n d s t e m families r e p l a c e d t h e e x t e n d e d f a m i l y . T h i s shift i n family s t r u c t u r e m e a n t a f u r t h e r m o v e a w a y f r o m a d i s t i n c t l y O r i e n t a l p a t t e r n t o o n e t h a t was e s s e n t i a l l y m i d d l e - c l a s s J a m a i c a n , b u t w i t h a n e m p h a s i s o n s t r o n g c o l l a t e r a l ties t h a t e n sures the maintenance of community and kinship bonds and, at the s a m e t i m e , is ideal for e c o n o m i c success. W h e r e t h e e x t e n d e d family w a s a n i d e a l social u n i t f o r t h e e c o n o m i c s u c c e s s o f t h e C h i n a t o w n wholesale establishments o r t h e isolated r u r a l g r o c e r y , t h e 47.

Silin, "A Survey of Selected Aspects of the Chinese in Jamaica," p p . 47^18.

337


n u c l e a r f a m i l y e n s u r e s t h e flexibility t h e i n d i v i d u a l r e q u i r e s f o r competition in a complex m o d e r n e c o n o m y . 4 8

C h a n g e s i n attitude, especially attitudes t o w a r d p a r e n t s , t h e w o r k e t h i c , a n d l e i s u r e also r e f l e c t t h e s a m e b a l a n c e b e t w e e n s y n t h e t i c creolization, c o m m u n a l integrity, a n d economic a c h i e v e m e n t . 4 9

T h e r e is, t h e n , still a C h i n e s e e t h n i c g r o u p i n J a m a i c a . S o m a t i c a n d g e n e r a l i z e d k i n s h i p ties a n d a s e n s e o f s h a r e d e x p e r i e n c e c o n stitute their m o s t m e a n i n g f u l bases of p r i m a r y extrafamilial identity. H o w e v e r , w h i l e t h e r e i s a C h i n e s e e t h n i c g r o u p i n t h e i s l a n d , i t w o u l d b e i n a c c u r a t e t o say t h a t all t h e C h i n e s e i n J a m a i c a c o n s t i tute a n ethnic g r o u p . S o m e C h i n e s e choose n o t t o m a k e their som a t i c d i s t i n c t i v e n e s s o r t h e i r k i n s h i p a n d a f f i n a l ties t h e i r m o s t m e a n i n g f u l bases of extrafamilial identification. T h o s e w h o choose ethnic identification invariably m a k e the choice, or m o r e accurately, choose to continue to m a k e a choice which the parental g e n e r a t i o n m a d e f o r t h e m , b e c a u s e i t i s still i n t h e i r o w n b e s t e c o n o m i c i n t e r e s t . B e i n g " C h i n e s e " gives o n e a c c e s s t o a r e l a t i v e l y s u b stantial pool of capital; it e n s u r e s e c o n o m i c " b r e a k s " which m i g h t otherwise not have existed; it provides a wide r a n g e of contacts, b o t h social a n d b u s i n e s s ; i t gives o n e access t o v a l u a b l e b u s i n e s s " i n telligence"—who is on the u p - a n d - u p , w h o is secretly b a n k r u p t , w h o has t h e best real estate deals, a n d t h e l i k e — a n d it provides a supportive network in the otherwise harshly competitive business w o r l d . T o t h e e x t e n t t h a t this e t h n i c g r o u p c o n t i n u e s t o b e a useful e c o n o m i c n e t w o r k , t o t h a t e x t e n t , a n d t o t h a t e x t e n t o n l y , will t h e ethnic g r o u p survive. Many Chinese J a m a i c a n s have found, however, that their econ o m i c interests d o not r e q u i r e , o r a r e n o t best s e r v e d , b y this network. It is these Chinese—mainly those in the professions and who work for non-Chinese firms—who show the greatest tendency to 48. T h e theoretical

basis o f this

d e v e l o p m e n t has b e e n

well

established.

See

W. J. G o o d e , " T h e Role of the Family in Industrialization," a n d R. F. Winch and R. L. B l u m b e r g , "Societal C o m p l e x i t y a n d Familial O r g a n i z a t i o n , " b o t h in R. F. W i n c h a n d L. W. G o o d m a n , e d s . . Selected Studies in Marriage and the Family ( N e w York, Holt, Rinehart and Winston, 1968), p p . 6 4 - 9 2 . 49.

S e e Silin, "A Survey of Selected Aspects of the C h i n e s e in Jamaica," p p . 4 5 ,

59; and Morrow. "Chinese Adaptation," pp. 5 0 - 5 4 .

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l e a v e t h e e t h n i c g r o u p a n d o f t e n , t h o u g h n o t a l w a y s , seal t h e i r withdrawal from the g r o u p by marrying non-Chinese. W h a t o f t h o s e w h o r e m a i n fully c o m m i t t e d t o t h e C h i n e s e e t h n i c g r o u p ? Interestingly, the Chinese have, for the first time in their h i s t o r y i n J a m a i c a , b e g u n t o shift t o s o m a t i c t r a i t s a s t h e m a i n basis f o r o v e r t g r o u p i d e n t i f i c a t i o n . T h i s shift i n e m p h a s i s h a s b e e n d u e to the erosion of w h a t was formerly their m a i n focus of g r o u p identity. Race is the only distinctive overt trait t h e g r o u p has, a n d by w h i c h they a r e r e c o g n i z e d by o t h e r m e m b e r s of t h e society. B u t , o f c o u r s e , h a v i n g said t h i s , w e m u s t i m m e d i a t e l y a d d t h a t t h i s i s t h e right answer to the w r o n g question. T h e real questions are: why do s o m e J a m a i c a n C h i n e s e c o n t i n u e t o m a i n t a i n t h e i r e t h n i c ties? a n d how does the choice of somatic features relate to t h e choice of ethnicity o v e r a s s i m i l a t i o n ? W h a t s e e m s t o h a v e h a p p e n e d a n d i s still t a k i n g p l a c e i n t h e C h i n e s e e t h n i c g r o u p i s t h i s : c h o i c e o f m a t e h a s b e c o m e o f vital i m portance for the maintenance of the c o n t i n u e d c o n g r u e n c e of the sets o f social a n d e c o n o m i c n e t w o r k s w h i c h c o n s t i t u t e s t h e s o c i o logical r a i s o n d ' e t r e o f t h e e t h n i c g r o u p . W h e n b l a c k w o m e n w e r e b e i n g u s e d t o m o t h e r t h e i r c h i l d r e n , i t will b e r e c a l l e d t h a t m a l e offspring were kept in the g r o u p for cultural t r a i n i n g a n d w o m e n not so chosen. Later on, as m o r e and m o r e Chinese colored w o m e n , a s well a s p u r e C h i n e s e w o m e n , b e c a m e a v a i l a b l e , t h e r e w a s a shift b a c k t o t h e p u r e C h i n e s e r a c i a l t y p e o n t h e i n d i v i d u a l l e v e l , e v e n t h o u g h , o n t h e g r o u p level, t h i s w a s a c c o m p a n i e d b y a wider distribution of N e g r o blood. In o t h e r words, fewer a n d f e w e r C h i n e s e w e r e " p u r e " C h i n e s e racially, w h i l e m o r e a n d m o r e individuals w h o were defined as C h i n e s e w e r e g e t t i n g closer to the p u r e C h i n e s e racial t y p e . N o w w h e n t h e C h i n e s e a b a n d o n e d c u l t u r e a s t h e m a j o r basis o f e t h n i c i d e n t i f i c a t i o n , r a c e g a i n e d i n s i g n i f i c a n c e a s a basis o f g r o u p identification. T h i s choice of e m p h a s i s was m a d e , not because it w a s n a t u r a l t o c h o o s e r a c e , b u t b e c a u s e a n i m p o r t a n t e c o n o m i c factor favored the choice of race at precisely t h e t i m e w h e n c u l t u r e w a s l o s i n g its s i g n i f i c a n c e . F o r w h a t h a d h a p p e n e d o v e r t h e y e a r s d u r i n g this c h a n g e i n e m p h a s i s was t h a t t h o s e C h i n e s e w h o w e r e m o s t successful economically h a d b e e n t h e very o n e s w h o h a d


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been most e n d o g a m o u s . W o m e n have become the means whereby wealth is e x c h a n g e d , shared, consolidated, a n d kept within the g r o u p , all t h i s w h i l e p e r f o r m i n g t h e e q u a l l y v a l u a b l e t a s k o f p e r p e t u a t i n g the g r o u p . As such, they have b e c o m e highly valued a n d jealously g u a r d e d . To s u m m a r i z e , t h e n , we find that f r o m a position w h e r e the g r o u p was d e f i n e d c u l t u r a l l y a n d r a c e w a s a m a r g i n a l f a c t o r , t h e C h i n e s e h a v e s h i f t e d f r o m c u l t u r a l a n d social e x c l u s i v e n e s s t o c o m plete cultural integration into the synthetic Creole J a m a i c a n culture a n d t o a b o u r g e o i s life style. T h i s shift, h o w e v e r , was a c c o m p a n i e d by a consolidation of wealth accomplished t h r o u g h e n d o g a m y , resulting in t h e e m e r g e n c e of a tightly knit socioeconomic n e t w o r k w h i c h i s i n c r e a s i n g l y racially h o m o g e n e o u s ( t h o u g h w i t h f e w e r a n d f e w e r racially p u r e i n d i v i d u a l s ) a n d w h i c h n o w u s e s r a c i a l s i m i l a r i t y b o t h to symbolize t h e i r distinctiveness a n d to sanction t h e i r all-important principle of endogamy. Jamaicans of Chinese ancestry who do not choose e t h n i c identification are immediately a b s o r b e d into the n o n - C h i n e s e c o m m u n i t y , since t h e r e a r e n o cultural obstacles and no reluctance on the part of non-Chinese m e m b e r s to marry non-ethnic Chinese. T h e C h i n e s e e t h n i c g r o u p , t h e n , i s likely t o g r o w s m a l l e r w i t h the withdrawal of those who choose to marry outside of the g r o u p a n d c h o o s e t h e n a t i o n a s t h e i r m o s t m e a n i n g f u l basis o f e x t r a f a m i l i a l i d e n t i t y . A s i t g r o w s s m a l l e r , i t will b e c o m e m o r e a n d m o r e e t h n i c a l l y visible, m o r e t i g h t l y k n i t , a n d will a c h i e v e m o r e o f t h e a t t r i b u t e s o f t h e c o r p o r a t e , racially d e f i n e d e t h n i c g r o u j > — a rather o m i n o u s development at a time when the overwhelming maj o r i t y o f t h e b l a c k p o p u l a t i o n a r e t h e m s e l v e s b e c o m i n g racially conscious a n d a r e showing signs of rejecting t h e synthetic C r e o l e c o m p r o m i s e o f t h e b o u r g e o i s elite f o r s o m e , a s y e t u n s p e c i f i e d , form of national "black power." The Chinese in Guyana. I n s t r i k i n g c o n t r a s t to t h e p a t t e r n o f d e v e l o p m e n t in Jamaica is the experience of the Chinese in Guyana. T h e Chinese were brought to Guyana to meet the same pressing labor n e e d s that prevailed in Jamaica in the mid-nineteenth cent u r y , a n d , i n fact, w e r e b r o u g h t u n d e r t h e s a m e s c h e m e . T h o s e w h o w e n t t o G u y a n a also c a m e f r o m m u c h t h e s a m e a r e a s o f C h i n a

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as the J a m a i c a n Chinese a n d , in s o m e cases, w e r e even recruited by t h e very s a m e a g e n t . By 1866 G u y a n a h a d t h e greatest n u m b e r of C h i n e s e i n its h i s t o r y — a p p r o x i m a t e l y 1 0 , 0 0 0 . A y e a r l a t e r , r a p i d decline in the population began. 5 0

T h e Chinese were b r o u g h t into the colony as i n d e n t u r e d a g r i c u l t u r a l laborers, b u t this s c h e m e was a b a n d o n e d in 1874 for m u c h the same reasons that it was in J a m a i c a . M o r e Chinese Were t o t r i c k l e i n t o G u y a n a a f t e r t h e i n d e n t u r e p e r i o d , b u t t h e s e were relatives a n d friends b r o u g h t over by C h i n e s e already in the c o l o n y , n o t b y t h e p l a n t e r s . I n all, a p p r o x i m a t e l y 7 0 0 m o r e w e r e t o c o m e from China after 1878. T h i s p o s t - i n d e n t u r e i m m i g r a t i o n did not reverse the seemingly irrevocable d o w n w a r d t r e n d of the Chin e s e p o p u l a t i o n . In 1879 t h e r e was a total of only 6,000 C h i n e s e in the colony, which m e a n t that m o r e t h a n half of t h e m h a d either d i e d o r left t h e c o l o n y d u r i n g t h e 2 5 y e a r s s i n c e t h e y f i r s t a r r i v e d . T h e p o p u l a t i o n r e a c h e d its l o w e s t p o i n t i n 1 9 1 1 , w h e n o n l y 2 , 1 1 8 C h i n e s e w e r e living i n t h e c o l o n y . T h e r e a f t e r t h e r e w a s a slow i n crease until 1947 w h e n t h e p o p u l a t i o n was 3 ,5 2 8 . B e t w e e n t h e n a n d the census year of 1960, the Chinese p o p u l a t i o n h a d g r o w n to a t o t a l o f o n l y 3 , 6 0 0 , m a k i n g u p 0.6 p e r c e n t o f t h e t o t a l G u y a n a population of 600,000. Up to the e n d of the nineteenth century, we have seen that there w a s little r e a l d i f f e r e n c e b e t w e e n t h e p a t t e r n o f a d j u s t m e n t o f t h e Chinese in Guyana and their counterparts in Jamaica. Both groups refused to work on the estates, a n d their efforts at peasant f a r m i n g were equally sporadic a n d unsuccessful. B o t h g r o u p s , too, quickly h e a d e d for the urban areas a n d soon b e c a m e o n e of the most urbanized g r o u p s in their respective populations. By 1911, o n e third o f t h e C h i n e s e p o p u l a t i o n i n G u y a n a lived i n t h e t w o u r b a n c e n t e r s 50.

Silin, "A Survey of Selected Aspects of the C h i n e s e in Jamaica," p. 7. O u r

discussion

of the Chinese in Cuiana

papers by

Morton

H.

will b e b a s e d

primarily on two

Fried, the only m o d e r n scholar to

have

published

researched

the

g r o u p , a n d an early twentieth-century work by d e m e n t i . S e e M. H. Fried, " S o m e O b s e r v a t i o n s o n t h e C h i n e s e o f B r i t i s h G u i a n a , " Social and Economic Studies, (March

loquium on Overseas Chinese ( D e c e m b e r 2 9 , Guiana

5.1

1 9 5 6 ) ; " T h e C h i n e s e i n t h e B r i t i s h C a r i b b e a n , " i n M . H . F r i e d , e d . , Col1 9 5 7 ) ; a n d C . C l e m e n t i , The Chinese in

( G e o r g e t o w n , British G u i a n a , T h e A r g o s y C o m p a n y ,

1915).


341

of Georgetown and New Amsterdam, and at the present time over 6 0 p e r c e n t o f t h e m live i n t h e s e t w o u r b a n a r e a s .

5 1

After the turn of the century, however, o n e begins to detect fund a m e n t a l differences in the choices which the Chinese in J a m a i c a m a d e from those of the Chinese in G u y a n a . T h e first difference h a d to do with their choice of livelihood. W h e r e in J a m a i c a the Chinese w e r e almost exclusively c o n c e r n e d with retail t r a d i n g after rejecting agriculture, those in G u y a n a selected retailing as o n e of several m e a n s of e c o n o m i c survival, a l t h o u g h it was t h e m a i n o n e . F r o m t h e s t a r t , t h e G u y a n e s e C h i n e s e s h o w e d a w i l l i n g n e s s t o select a w i d e r a n g e o f o c c u p a t i o n s .

5 2

A n d while it r e m a i n e d t r u e that up to 1943 as m a n y as 63 perc e n t w e r e in the retail t r a d e , it is of g r e a t e r i m p o r t a n c e t h a t only a s m a l l n u m b e r o f t h e m m a d e i t i n a b i g w a y i n this i n d u s t r y a n d , a s a g r o u p , they in no way m o n o p o l i z e d e i t h e r the retail or the wholesale t r a d e a s t h e y d i d i n J a m a i c a . A n o t h e r e t h n i c g r o u p h a d this distinction. A s e c o n d i m p o r t a n t d i f f e r e n c e , d e r i v i n g f r o m t h e first, was t h a t the Guyanese Chinese never went t h r o u g h a phase of ethnic consolidation; n o r did they even a t t e m p t , to a n y great d e g r e e , to adjust t h r o u g h the technique of segmentary creolization. Instead, the C h i n e s e i n G u y a n a m o v e d f r o m t h e i r p e r i o d o f initial s e t t l e m e n t a n d i n d e n t u r e straight into the evolving synthetic Creole culture of Guyana. T h e t r a n s f o r m a t i o n was truly r e m a r k a b l e . It b e g a n , in a way, t h e m o m e n t the Chinese landed in Guyana. F r o m that time they broke t h e i r ties c o m p l e t e l y w i t h t h e C h i n e s e h o m e l a n d . B y t h e t i m e d e m e n t i s t u d i e d t h e g r o u p i n t h e first d e c a d e o f t h e t w e n t i e t h c e n tury, he f o u n d it possible to write t h a t : "British G u y a n a possesses a C h i n e s e society o f w h i c h C h i n a k n o w s n o t h i n g , a n d t o which C h i n a is almost unknown."

5 3

F r i e d offers a n e x p l a n a t i o n o f his o w n ,

namely, that a substantial n u m b e r of early migrants c a m e d u r i n g 5 1 . L.

D e s p r e s , Cultural Pluralism and Nationalist Politics in Guiana

Rand McNally, 1967), p. 65. 52.

Ibid., p. 64.

5 3 . C l e m e n t i , The Chinese in Guiana,

p. 3 5 9 .

( N e w York,

342

Orlando

Patterson

t h e T a i p i n g R e b e l l i o n a n d t h a t k i n s h i p a n d locality ties w e r e alr e a d y b r o k e n , a s a r e s u l t o f this u p h e a v a l , b e f o r e l e a v i n g t h e M a i n land.

5 4

T h e explanation makes some sense, b u t it applies only to a

part of the Guyanese Chinese community. T h e real a n s w e r to the p r o b l e m of the radically different adjustm e n t o f t h e C h i n e s e i n J a m a i c a a n d G u y a n a lies i n F r i e d ' s a l m o s t o f f - h a n d r e m a r k : " T h e difficulties i n m a k i n g a l i v i n g i n B r i t i s h G u y a n a a t t h e t i m e . " T h e s e w e r e i n d e e d difficult t i m e s f o r G u y a n a . It is in looking at the differences in the p a t t e r n of socioeconomic d e v e l o p m e n t in the two countries that we b e g i n to u n d e r s t a n d why the Chinese chose ethnic consolidation based on cultural exclusiveness in J a m a i c a , a n d t h e C h i n e s e in G u y a n a chose to m a k e a total cultural b r e a k with the h o m e l a n d . After e m a n c i p a t i o n the sugar i n d u s t r y faced h a r d times in both G u y a n a a n d Jamaica, m o r e so in the latter than in the former. In b o t h a r e a s t h e ex-slaves a t t e m p t e d to f o r m a p e a s a n t sector b u t w e r e m o r e successful in J a m a i c a t h a n in G u y a n a . In a d d i t i o n to this,

G u y a n a was

h i g h l y successful i n

r e c r u i t i n g i n d e n t u r e d la-

borers from India after the attempt with the Chinese a n d the Port u g u e s e f r o m M a d e i r a h a d failed. T h u s , G u y a n a c o n t i n u e d t o b e a m o n o c r o p , p l a n t a t i o n - b a s e d e c o n o m y w i t h a r e l a t i v e l y s i m p l e social a n d e c o n o m i c system, in which the mass of t h e population rem a i n e d l a r g e l y a t t h e m e r c y o f t h e p l a n t e r class. Jamaica, on the o t h e r h a n d , took a m o r e complex course of dev e l o p m e n t . In 1865 the J a m a i c a n peasants, w h o h a d a s t r o n g tradition of rebellion b e h i n d

them, staged an

uprising against their

d e p r e s s e d conditions which so scared the white ruling minority t h a t it c o m m i t t e d w h a t Mavis C a m p b e l l called "political immolat i o n " ; t h a t is, i t v o t e d its political c o n s t i t u t i o n o u t o f e x i s t e n c e a n d a s k e d t h e British g o v e r n m e n t to i m p o s e direct r u l e . 54.

5 5

T h e r e fol-

Fried, "Some Observations on the Chinese," p. 69.

55. Campbell, changes Jamaicas;

"Edward

Jordan

and

the

Free

Coloureds,"

passim.

in Jamaica before a n d after the upheaval of 1 8 6 5 , see G.

E i s n e r , Jamaica: 1830-1930

(Manchester,

England,

P.

On

the

C u r t i n . Two

Manchester Uni-

v e r s i t y P r e s s , 1 9 6 1 ) ; D. H a l l , Free Jamaica: H. P. J a c o b s , Sixty Years of Change, 1806-1866

(Kingston,

William Jordan

Institute

of J a m a i c a ,

1973);

A.

Hart,

The Life of George

( K i n g s t o n . I n s t i t u t e o f J a m a i c a , n . d . ) ; V . J . M a r s a l a , Sir John Peter

Grant ( K i n g s t o n , I n s t i t u t e o f J a m a i c a ,

1972).


343

lowed a p e r i o d of relatively e n l i g h t e n e d C r o w n colony g o v e r n m e n t , i n w h i c h basic i n f r a s t r u c t u r a l d e v e l o p m e n t t o o k p l a c e , a n d t h e e c o n o m y f u r t h e r diversified with t h e i n t r o d u c t i o n o f b a n a n a cultivation, mainly by the ever creative p e a s a n t r y , w h o by now h a d also b e g u n t o c o n t r o l a sizable p o r t i o n o f t h e s u g a r c u l t i v a t i o n o n the island. N o n e of these d e v e l o p m e n t s took place in G u y a n a . T h e colony's e c o n o m y p a i d a h e a v y p r i c e f o r its c o n t i n u e d e m p h a s i s o n t h e m o n o c r o p plantation system, especially after t h e British m o v e d to f r e e t r a d e i n s u g a r i n 1 8 7 4 . T h i s p r o l o n g e d crisis i n t h e w o r l d price of s u g a r was reflected m o s t tellingly in t h e d e p r e s s i n g c o n d i tion of the masses in G u y a n a . 5 6

I t was t o this k i n d o f e c o n o m y t h a t t h e C h i n e s e w e r e i n t r o d u c e d a n d in which they h a d to find a livelihood. M a n y of t h e m tried retail t r a d i n g a n d c o n t i n u e t o d o so. B u t h e r e t h e y f o u n d a m a j o r o b stacle a s f a r a s a n y h o p e o f q u i c k p r o s p e r i t y , o r e v e n e c o n o m i c security in the J a m a i c a n m a n n e r , was c o n c e r n e d . T h i s took t h e f o r m of another ethnic group—the Portuguese, who were recruited f r o m M a d e i r a i n t h e l a t e 1840s a n d ' 5 0 s . 5 7

I n t a k i n g o v e r t h e retail t r a d e , t h e P o r t u g u e s e w e r e actively e n c o u r a g e d b y t h e E u r o p e a n r u l i n g class, w h o g a v e t h e m p r e f e r e n t i a l t r e a t m e n t for credit- over their African a n d C h i n e s e c o m p e t i t o r s , partly because they were E u r o p e a n s , partly because they p r o v i d e d a u s e f u l class a n d c u l t u r a l b u f f e r b e t w e e n t h e p l a n t e r class a n d t h e black masses. A l t h o u g h t h u s favored, t h e P o r t u g u e s e w e r e k e p t a t a distance by t h e British C r e o l e p l a n t e r s w h o n e v e r saw t h e m as b e i n g q u i t e " w h i t e , " w h e t h e r racially o r c u l t u r a l l y d e f i n e d ; n o r d i d t h e b l a c k s e v e r s o r e g a r d t h e m . T h e fact r e m a i n s , h o w e v e r , t h a t t h e y w e r e sufficiently f a v o r e d a n d s k i l l e d t o m o n o p o l i z e t h e c o l ony's commercial life. T h e m a n y C h i n e s e w h o w o r k e d in the retail t r a d e , t h e n , h a d t o b e satisfied w i t h t h e p i c k i n g s left b y t h e P o r 58

tuguese traders. 5 6 . F o r a n e x c e l l e n t a c c o u n t of t h e s u g a r c r i s i s i n t h e l a t e n i n e t e e n t h c e n t u r y ,

s e e R. W . B e a c h e y , The British West Indies Sugar Industry in the Late Nineteenth Century ( O x f o r d . O x f o r d U n i v e r s i t y P r e s s , 1 9 5 7 ) . 5 7 . K. O . L a w r e n c e , " T h e E s t a b l i s h m e n t o f t h e P o r t u g u e s e C o m m u n i t y i n B r i t -

i s h G u i a n a , " J a m a i c a Historical Review 5 . 2 ( 1 9 6 5 ) , 5 0 - 7 4 . 5 8 . L o w e n t h a l , West Indian Societies, p. 2 0 0 .

Orlando

344

Patterson

W h a t all t h i s m e a n t , t h e n , was t h a t i n 1 9 0 0 , a t a t i m e w h e n t h e Chinese in Jamaica were already economically secure a n d could begin to use their economic prosperity to consolidate an ethnic g r o u p t h r o u g h the development of institutions which s u p p o r t e d the perpetuation of their culture, the Guyanese Chinese found it in t h e i r b e s t e c o n o m i c a n d social i n t e r e s t t o c h o o s e q u i t e t h e o p p o s i t e path. If they were to succeed in a wide r a n g e of occupations, however, they h a d to creolize themselves. A n d h e r e we s h o u l d pause to m a k e an important observation about the relationship between the nature and type of occupation, on the one h a n d , a n d the propensity o f a c u l t u r a l l y a l i e n i m m i g r a n t g r o u p t o i s o l a t e t h e m s e l v e s . O f all occupations, retail t r a d i n g offers the best o p p o r t u n i t y for such a g r o u p to m a x i m i z e e a r n i n g s while m i n i m i z i n g acculturation. W h e r e o t h e r choices have to be m a d e , however, the cultural obstacles m u s t b e o v e r c o m e . F o r a G u y a n e s e C h i n e s e t o c h o o s e a car e e r i n t h e c o l o n i a l civil s e r v i c e , o r i n t h e p r o f e s s i o n s , o r e v e n i n o c c u p a t i o n s i n v o l v i n g a l o w e r level of skills b u t a h i g h level of ascriptive or diffuse interaction, such as b a r b e r s , c h a u f f e u r s , a n d so o n , it was i m p e r a t i v e t h a t t h e c u l t u r e of t h e h o s t society be m a s tered. T h e only alternatives were m a n u a l labor a n d peasant farming, both of which, while they avoided the cultural p r o b l e m , p r o v i d e d little possibility o f i m p r o v e m e n t . B o t h a l t e r n a t i v e s w e r e t r i e d b y t h e C h i n e s e i n G u y a n a , w h o t r i e d life a s i n d e n t u r e d l a b o r e r s a n d as p i o n e e r farmers; both were rejected because of their limited possibilities. I n rejecting t h e s e a n d c h o o s i n g o t h e r o c c u p a t i o n s , t h e C h i n e s e also c h o s e t o a b a n d o n t h e t r a d i t i o n a l c u l t u r e a n d t o a d o p t the evolving Guyanese Creole culture. T h e evidence suggests that the Chinese in G u y a n a not only q u i c k l y a n d efficiently a d o p t e d t h e G u y a n e s e Creole c u l t u r e b u t d i d it in a quite methodical a n d self-conscious m a n n e r . T h e i r r e s p o n s e to Christianity illustrates this. As early as 1875, e v e n b e f o r e they had mastered English, a Chinese l a n g u a g e b r a n c h of the C h u r c h of E n g l a n d was f o u n d e d b y t h e m a t t h e i r insistence. S o o n t h e C h i n e s e had become "devout Christians." T h i s was a l m o s t forty years 5 9

59.

Clementi, "The Chinese in Guiana," pp. 3 5 9 - 3 6 0 .


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before the C h i n e s e in Jamaica h a d m a d e their decision to a d o p t Christianity. B u t n o t e , h e r e , a n o t h e r significant d i f f e r e n c e b e t w e e n t h e m a n d the J a m a i c a n C h i n e s e . T h e latter, w h e n they d e c i d e d t o a d o p t Christianity in the early twentieth century, went completely into the Catholic c h u r c h . T h e Guyanese Chinese deliberately avoided t h e C a t h o l i c c h u r c h i n G u y a n a , a l t h o u g h b y t h a t t i m e i t w a s well established t h e r e to serve the spiritual n e e d s of the Portuguese a n d o t h e r Catholics, a n d instead b e c a m e P r o t e s t a n t s , which was t h e religion to c h o o s e , obviously, if creolization was t h e m a j o r objective. S o t h o r o u g h l y c r e o l i z e d h a v e t h e C h i n e s e b e c o m e t h a t l a t e r they began joining not just the established Anglican church, but t h e P e n t a c o s t a l sects o f t h e b l a c k s , a n d b y t h e 1 9 5 0 s w e r e t h e m selves " h o l d i n g r e v i v a l m e e t i n g s in t h e c o l o n y . . . a i m e d at a g e n e r a l p u b l i c a n d n o t specifically a t o t h e r C h i n e s e . " 6 0

T h e locally b o r n C h i n e s e , k n o w n a s T ' u - s h e n g , h a v e g i v e n u p e v e n t h e i r t e n d e n c y t o w i t h d r a w f r o m t h e t o t a l society. I n t h e b i t t e r e t h n i c f i g h t i n g b e t w e e n blacks a n d I n d i a n s w h i c h p r e c e d e d ind e p e n d e n c e , the Chinese e m e r g e d in a new role—that of mediators b e t w e e n t h e w a r r i n g e t h n i c g r o u p s . Significantly, a C h i n e s e was n a m e d t h e first president of the newly i n d e p e n d e n t nation. T h i s was a m o s t e x t r a o r d i n a r y a p p o i n t m e n t for a m i n o r i t y g r o u p t h a t n u m b e r s less t h a n 1 p e r c e n t o f t h e p o p u l a t i o n , a n d i t reflects as favorably on t h e successful creolization a n d b r o k e r role of t h e C h i n e s e as it does unfavorably on the failure of the d o m i n a n t g r o u p s t o w o r k o u t a g e n u i n e l y m u l t i - e t h n i c society i n G u y a n a . I t i s also a n i n d i c a t i o n o f t h e r a d i c a l l y d i f f e r e n t r e s p o n s e s o f t h e t w o g r o u p s of C h i n e s e that the idea of a C h i n e s e g o v e r n o r - g e n e r a l in Jamaica is unthinkable. No Jamaican prime minister would be reckless e n o u g h to m a k e such an a p p o i n t m e n t , a n d , w e r e it m a d e , it is unlikely that any Chinese would be foolhardy e n o u g h to accept the post. 6 1

60.

Fried, " T h e C h i n e s e in the British C a r i b b e a n , " p. 5 6 .

61.

T h e C h i n e s e are cast i n the s a m e role o f conciliators b e t w e e n the conflicting

Indian and Black g r o u p s in Trinidad, and there, too, a Chinese was appointed the first g o v e r n o r - g e n e r a l . S e e D . L o w e n t h a l ' s r e m a r k s o n t h e p o t e n t i a l r i s k s t o t h e C h i n e s e o f o v e r p l a y i n g t h i s r o l e i n t h e E a s t C a r i b b e a n , i n h i s West Indian Societies, pp. 207-208.

Orlando

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Patterson

I n s p i t e o f t h e o v e r t e m p h a s i s o n e n d o g a m y , F r i e d also f o u n d t h a t in practice, " T h e r e is c o n s i d e r a b l e m a t i n g across e t h n i c lines, b o t h with a n d w i t h o u t formal m a r r i a g e . " Significantly, t h e m a j o r loss t h r o u g h i n t e r m a r r i a g e i s t h r o u g h f e m a l e C h i n e s e m a r r y i n g non-Chinese, quite the opposite of the present situation in Jamaica. As any student of e n d o g a m o u s groups knows, female outmarriage is t h e surest sign n o t only of t h e w e a k n e s s of t h e e n d o g a m y principle, but the d e m o g r a p h i c decline of the g r o u p .

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