1,040 61 44MB
English Pages 364+xx [392] Year 1997
Table of contents :
List of Figures ix
List of Tables xi
Foreword (CAROL EDLER BAUMANN) xiii
Acknowledgments xv
About the Editor and Contributors xvii
Introduction (WINSTON A. VAN HORNE) 1
Part I: Race, Ethnicity, and Nationalism: Concepts and Images
1 Race and Biology LINDA VIGILANT 49
2 The Bell Curve: A Cross-Century Tradition Concerning Race and Intellect WINSTON A. VAN HORNE 63
3 Race in History MARTIN BERNAL 75
4 Concepts of Nationalism in History BRIAN E. PORTER 93
5 Cultural Foundations of Ethnonationalism: The Role of Religion MARTIN E. MARTY 115
6 Cultural Nationalism and "Internationalization" in Contemporary Japan KOSAKU YOSHINO 131
Part II: National Identity and the Struggle for National Rights
7 Religion and Identity in Northern Ireland MARIANNE ELLIOTT 149
8 Israel and Palestinian Statehood GALIA GOLAN 169
9 Palestinian Statehood MUHAMMAD HALLAJ 189
10 Whither the Kurds? GEORGE S. HARRIS 205
Part III: Nationalism and the Crisis of the Multiethnic/Multinational State
11 The Relentless Pursuit of the National State: Reflections on Soviet and Post-Soviet Experiences MARK R. BEISSINGER 227
12 Nationality Questions in the Baltic: The Lithuanian Example ALFRED ERICH SENN 247
13 Ethnonationalism and the Disintegration of Yugoslavia ROBIN ALISON REMINGTON 261
14 China and the Containment of Ethnonationalism DAVID D. BUCK 281
15 Political Ethnicity and State-Building in Nigeria CLAUDE AKE 299
16 Canada and the Challenge of the Quebec Independence Movement MARC V. LEVINE 315
Epilogue WINSTON A. VAN HORNE 339
Index of Persons, Places, and Organizations 347
Subject Index 357
Race, Ethnicity, and Nationalism at tiie End of tiie Dwenaetii Century
EUned by Winston
A.
Van Home
BOSTON PUBLIC LIBRARY
Copley Square
^^M %:
Global Convulsions
SUNY Series, The
Social Context of Education
Edited by Christine E. Sleeter
GLOBAL CONVULSIONS Race,
Ethnicity,
at the
End
and Nationalism
of the Twentieth
Century
Edited by
Winston A. Van
STATE UNIVERSITY OF
Home
NEW YORK PRESS
Published by State University of
©
New York Press, Albany
1997 State University of New York
All rights reserved
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Production by Cathleen Collins
Marketing by Theresa Abad Swierzowski
Library of Congress Cataloging in Publication Data Global convulsions
:
race, ethnicity,
the twentieth century p.
cm.
/
and nationalism
edited by Winston A.
— (SUNY
at the
end of
Van Home.
series, the social context
of education)
Includes bibliographical references and index.
ISBN 0-7914-3235-1 alk. 1. I.
(he
:
alk. paper.)
— ISBN 0-7914-3236-X
(pbk.
:
paper)
Race
relations.
2.
Racism.
Van Home, Winston A.
II.
3. Ethnicity.
Series:
4.
SUNY series,
Nationalism. social context of
education.
HT1521.G54 305.8—dc20
1997
96-15321
CIP 10
987654321
J
Cheeks drowned in tears Hands awash in crimson Legs drenched by
rich
translucent, red,
new
blood.
Feet shrouded by death's dark vapors. Last night did
I
behold
Hot violent death, Cold violent death. Strike through vapors sickly sweet.
Crouch bent he stalked, Mighty swift to strike, Upright quick he
fled,
Outstretched
they
still
lay.
Who was he? What was he? Criminal? Revolutionary? Both?
Why
struck he?
To cleanse a wretched
soul.
No! No! No! Never! Never! Never!
Shout of anguish, cry of sorrow,
Never
shall violence cleanse a
wretched soul.
Winston A. Van
Home
http://www.archive.org/details/globalconvulsionOOvanh
Contents
List of Figures
ix
List of Tables
xi
Foreword
CAROL EDLER BAUMANN
XUl
Acknowledgments
xv
About the Editor and Contributors
xvii
Introduction
WINSTON A. VAN HORNE Part
I:
1
Race, Ethnicity, and Nationalism:
Concepts and Images 1
Race and Biology
49
LINDA VIGILANT 2
The
Bell Curve:
A Cross-Century Tradition
Concerning Race and
3
4
63
Race in History MARTIN BERNAL
75
Concepts of Nationalism BRIAN
5
Intellect
WINSTON A. VAN HORNE
E.
in History
PORTER
93
Cultural Foundations of Ethnonationalism:
The Role of Religion MARTIN E. MARTY
115
Vll
Contents
viii
6
Cultural Nationalism and "Internationalization" in
Contemporary Japan
KOSAKU YOSHINO
131
National Identity and the Struggle
Part n:
for National Rights
7
Religion and Identity in Northern Ireland
MARIANNfE ELUOTT 8
Israel
and Palestinian Statehood
GALIAGOLAN 9
169
Palestinian Statehood
MUHAMMAD HALLAJ 10
149
189
Whither the Kurds?
GEORGE
S.
HARRIS
205
Nationalism and the Crisis of the
Part EQ:
Multiethnic/Multinational State 1
The
Relentless Pursuit of the National State:
Reflections on Soviet and Post-Soviet Experiences
MARK R. 12
BEISSINGER
227
Nationality Questions in the Baltic:
The Lithuanian Example ALFRED ERICH 1
SE^fN
Ethnonationalism and the Disintegration of Yugoslavia
ROBIN ALISON REMINGTON 1
1
261
China and the Containment of Ethnonationalism DAVID
1
247
D.
BUCK
281
Pohtical Ethnicity and State-Building in Nigeria
CLAUDE AKE
299
Canada and the Challenge of the Quebec Independence Movement MARCV. LEVINE
315
Epilogue
339
WINSTON
A.
VAN HORNE
Index of Persons, Places, and Organizations
347
Subject Index
357
List of Figures
Figure
1.1.
The maternal
Figure
1 .2.
A hypothetical tree representing relationships
inheritance of mitochondrial
DNA
among mtDNAs
58
59
IsraeU Attitudes, 1986-1993
176
8.2.
Arab Aspirations, 1986-1993
178
8.3.
War and Peace, 1986-1993
179
Figure
8. 1
Figure Figure
.
Figure 11.1. Mobilization over State-Seeking and
State-Expanding Issues Figure
1 1 .2.
Violent
at Protest
Demonstrations
230
Mass Events Involving Local,
Republican-Level, and Secessionist Territorial
Figure
1 1 .3.
Disputes in the Former
State-Seeking Mobilization
USSR
at Protest
by Category of Ethnic Group
232
Demonstrations
234
IX
1
.
List of Tables
Religion and National Identity in Northern Ireland
151
Table 15.1.
The June
31
Table 16.1.
Quebec Public Opinion on Independence
325
Table 16.2.
The Linguistic Composition of Montreal
328
Table
7.
1
1 2, 1
993 Nigerian Presidential Election
XI
Foreword
This volume presents the culmination of over three years of on-going efforts planning, organization, and implementation
and Nationalism
''Race, Ethnicity,
at the
—by
on
the sponsors of the conference
End of the Twentieth
Century," and includes
the edited academic manuscripts of sixteen of the internationally recognized scholars
who
participated in that conference.
which has come
to
some
addresses a complex and multifaceted theme
dominate the international relations of the post-Cold War
one of the problems discussed (although
It
progress,
at the Fall
Not
era.
1993 conference has been "resolved"
however tenuous, has been made
in relation to the
Middle
East peace process, peace in Northern Ireland, and the stabilization of Canada), and all
of the issues addressed remain as relevant to national, regional, and international
conflict
and peace as they were when the conference was
It is
first
conceived in 1990.
not an overstatement to say that the conference brought together at the
University of Wisconsin-Milwaukee (hereinafter
UWM)
an assemblage of impres-
sive international stature
and included some of the most respected scholars of these
The
presentations were of the highest quality originally, and as
issues in the world.
now
edited, they
have benefited additionally from the comments
the time of their initial presentation.
The conference
that
were made
at
also provided a unique
opportunity to address problems concerning race, ethnicity, and nationalism in both their
domestic and international dimensions. The collaboration of the University of
Wisconsin System's Affairs
drew upon
Institute
on Race and Ethnicity with
the resources of both Institutes to
UWM's Institute of World
promote
this national/inter-
national perspective.
The
issues of race, ethnicity,
impact on international peace and
and nationalism are crucially significant for stability not
their
only in and of themselves, but also
because of the compounding effects produced by
their interactions with
one another.
This conceptual and pragmatic linkage was alluded to repeatedly by conference speakers, but
was
particularly stressed
by Martin Bemal
in his discussion
of "Race
in
xiii
Foreword
xiv
History," by Brian Porter in his analysis of "Concepts of Nationalism in History,"
and by Martin Marty
in
his presentation
The Role of Religion
nationalism:
"
on "Cultural Foundations of Ethno-
The case
and the multiplying
effect
it
Middle East
studies dealing with the
and with the former Yugoslavia were especially illustrative of
this multiple
linkage
has had on the beliefs, emotions, and actions of indi-
viduals and nations alike.
Equally significant, however, has been the impact of racial and religious
on the
as well as ethnonational conflicts,
by racial or Union and of Yugoslavia
larly multiethnic or multinational states or those divided
sectarianism.
The
strife,
integrity of the sovereign state, particu-
actual break-up of the Soviet
religious attests to
the pervasiveness and virulence of the emotions attached to these concepts, and the
case studies concerning Canada, Nigeria, and Ireland, as well as Israel and the Palestinians, clearly illustrate the range of to coincide (as they
seldom do) with the
which comprise those
states.
eloquendy by George Harris
Muhammad Hallaj Many have alism.
Still,
nationalism tions
The
problems created when
national, ethnic, racial, or religious groups
plight of stateless nations
in his discussion
is
illustrated ever so
of the Kurds, and by Galia Golan and
in their observations pertaining to Palestinian statehood.
been the costs
that attend ethnonationalism
and
ethnonationalism need not undercut the integrity of the is
state borders fail
by no means synonymous with
fmd good support
in
cultural nation-
state,
cultural chauvinism.
and
cultural
These observa-
David Buck's presentation on attempts
to "contain"
ethnonationalism in China, and Kosaku Yoshino's discussion of cultural nationalism
and "internationalization" In the opinion of
all
in
an ethnically homogenous Japan.
concerned
—
organizers, presenters, and attendees
ference on "Race, Ethnicity, and Nationalism at the
End of
presented an array of thorough and perspicacious scholarly analyses of
and international this
issues.
And
so
it is
with
much
—
the con-
the Twentieth Century"
satisfaction that
we
vital national
invite
you
to read
book. Carol Edler Baumann, Director
UWM Institute of World Affairs
Acknowledgments
In the fall of 1993, the University of Wisconsin Ethnicity, of Institute
which
was then
I
System
Institute
on Race and
of Wisconsin-Milwaukee
director, the University
of World Affairs, and the University of Wisconsin-Milwaukee jointly spon-
sored an international conference on race, ethnicity, and nationalism at the end of the twentieth century. attended, and
its
The conference was very well received by
value
now
amount of work and time fitting
and proper
It is
the hundreds
persists through the chapters of this book.
that
have gone into making
that thanks should
this
volume
who
Given the
possible,
it
is
be said to a number of persons.
well to begin by recognizing the contributors of the volume's chapters, for
they substantially rewrote the manuscripts which they
initially
presented at the
Many made the Thomas Tonnesen, the Judy Treskow, Thelma
conference, and so to them goes whatever credit accrues to the book.
success of the conference what associate director of the Institute
Conway, and Sandra Director Carol Edler Affairs
—
Fuller
it
was, most especially
on Race and
Ethnicity,
the staff of the Institute
Baumann and members
of her staff
on Race and
Ethnicity.
at the Institute
of World
—Gareth Shellman, Frances Luebke, and Jane Austen—were
the remarkable success that the conference enjoyed.
invaluable to
The support of President
Katharine C. Lyall and then Senior Vice-President Stephen R. Portch of the University of Wisconsin System, as well as Chancellor John H. Schroeder, Provost
Kenneth Watters, Dean George Keulks, and Associate Dean Robert Jones of
made
UWM
possible resources without which the conference could not have been held.
word of thanks should
also be extended to
A
Kenneth Buelow, Nicholas Schultz, Neil
Mcintosh, and Vicky Everson of the Graduate School. I
should
now
believing that this
like to say a
most generous thank you
to Christine E. Sleeter for
volume would make an important contribution
for the richness of her ideas Priscilla C. Ross, at
and support.
SUNY Press
I
also
would
like to
for her belief in distinction,
to her series,
thank
and the
my
skill
and
editor,
and care
XV
Acknowledgments
xvi
with which she guided
many
this
book.
And
to
Cathleen Collins, the production editor,
thanks for a book well done.
For listening endlessly
to
my
musings about
this
manuscript,
I
say to
—Osei-Mensah Aborampah,
my
Bartholomew Armah, Patrick BellegardeSmith, Lennell Dade, Joyce Kirk, Doreatha Mbalia and Ahmed Mbalia in the
colleagues
Department of Africology, thanks ever so much
word of thanks goes
to
—
for
your patience and
Kimberly Sampson, the department's student
insights.
cheerfulness with which she undertook the tasks that were assigned to her.
an expansive thank you
to
A
help, for the I
extend
Teresa Shannon, program assistant in the Department of
Africology. With a sound grounding in philosophy, a keen eye for lucidity of presentation as well as conceptual flaws, superb technical skills (which are ever so
evident in the figures, tables, notes, and index of this book), she kept
manuscript was organized for the publisher. Finally,
to
me
Mary Ann, my
sharp as the intellectual
companion and wife for more than a quarter century, and Maxwell my son, to you go the largest chunk of the credit for my intellectual and personal growth across the years
—thank you beyond measure.
About the Editor and Contributors
Winston A. Van
Home
professor and chair of the Department of Africology at
is
the University of Wisconsin-Milwaukee. For seven years he
was
the director of the
University of Wisconsin System Institute on Race and Ethnicity, and for eight years the
chair
of the
of Wisconsin
University
System American Ethnic Studies
Coordinating Committee, which preceded the formation of the eight books in the Institute's Ethnicity
appeared in
a number of
and Public Policy
journals, including Philosophy
Institute.
series.
His
He
edited
articles
have
and Phenomenological
Research, The Journal of Religious Thought, and the Journal of Caribbean Studies.
He
is
on transforming
currently working
his lectures of twenty years
on urban
violence, both domestically and globally, into a book.
Qaude Ake was
the director of the Center for
Harcourt, Nigeria.
He
Economic and
Social Research in Africa
—
organization in Africa Association.
Brookings United
UN
He
also
as well
—
(CODESRIA)
member of
and a consultant
the umbrella social science
as president of the Nigerian Political
was a Woodrow Wilson
Institution, a
States,
Advanced Social Science, Port
served as president of the Council for the Development of
to the
Science
Scholar, a Research Fellow at the
the Social Science Research Council of the
World Bank,
Among
UNESCO, UNDP,
as well as the are:
A
Theory of Political Integration (Dorsey Press, 1967), Revolutionary Pressures
in
Economic Commission on
Africa
{Zi^d.
Press, 1978),
A
Political
Economy of Nigeria (Longman, (Brookings
Institution,
national scholar, a
Africa.
Economy of Africa (Longman, 1981), Political Democracy and Development in Africa
1996). Editor's note: Claude Ake, a distinguished inter-
man of
R. Beissinger
is
numerous publications
1985), and
unusual insight and
humanitarian, suffered an untimely death in
Mark
his
uncommon
November of
courage, and a great
1996.
professor of political science and director of the Center for
Russia, East Europe, and Central Asia of the University of Wisconsin-Madison. In
xvii
About
xviii
the Editor
numerous
addition to publishing Scientific
and Contributors
Management,
and book chapters, he
articles
Socialist Discipline,
and
Soviet
the author of
is
Power (Harvard
University
1988), and a contributing coeditor of 772^ Nationalities Factor in Soviet
Press,
Politics
and Society (Westview
Martin Bemal
is
Press, 1990).
a professor of government and an adjunct professor of Near Eastern
Studies at Cornell University. His chief publications are the critically acclaimed Black
Athena: The Afi-oasiatic Roots of Classical Civilization, University Press, 1987 and 1991) and the
Cadmean
works have been widely reviewed, won high versy. his
Two
films have been
work has
made about
the
vols.
&
1
2 (Rutgers
Letters (Eisenbrauns, 1990). His
praise,
and engendered intense contro-
academic and
political controversies that
stimulated.
Da\id D. Buck
is
a professor of histor>' at the University of Wisconsin-Milwaukee
and a former editor of the Journal of Asian Studies (1990-95). He specializes in Modem China, and has lived and conducted research in Shandong and Jilin provinces, as well as in Taiwan. His books and articles cover a wide range of topics
including urban development, rural-based popular uprisings, educational modernization and bureaucratic administration in
Modem
China.
He
is
currently working
on
a book dealing with China's role in the world tea trade during the nineteenth century.
Marianne History
Elliott
at the
and French
AHA Leo
Andrew Geddes and John Rankin
the
is
University of Liverpool. She
which have been awarded a number of
history,
Gershoy
prize, the Irish Independent/Irish Life
American Conference of
Irish Studies J.R.
Professor of
Donnely,
Modem
works on
the author of various
is
Irish
prizes, including the
biography prize, and the
Snr., prize.
Her works notably
include, Partners in Revolution, the United Irishmen and France (Yale University Press, 1982) and Wolfe Tone, Prophet of Irish Independence (Yale University Press,
1989).
Her contribution
to this
volume derives from her work
Opsahl intemational commission on Northem
A
Citizens' Inquiry:
writing
A
Ireland,
member
as a
which reported
its
The Opsahl Report on Northem Ireland (1993). She
of the
findings in is
currently
History of the Catholics of Ulster.
Galia Golan
is
Studies at the
Hebrew
the Jay and Loni
Darwin Professor of Russian and East European
University of Jemsalem.
A former chair of the Department of
Political Science, her research focuses primarily
on Soviet foreign
policy.
She
is
frequent commentator on Middle East politics and the Arab-Israeli conflict, and the author of eight
Organizjation:
War Two
to
a is
books including. The Soviet Union and the Palestine Liberation
An Uneasy
Alliance; Soviet Policies in the Middle East
Gorbachev; and, most
recently,
Moscow and
the
From World
Middle East:
New
Thinking on Regional Conflict.
Muhammad
Hallaj
Washington, D.C.
is
He
the director of the Center for Policy Analysis
on Palestine
in
has served as director of the Council for Higher Education in
About the Editor and Contributors
the
West Bank and Gaza,
and as a
visiting scholar at
as the director of the Institute of
Arab Studies
xix
Boston,
in
Harvard University's Center for International Affairs.
He
has taught at Jacksonville University in Florida, the University of Jordan, and Birzeit University in Palestine.
He
member of the Palestinian delemember of the Board of Commis-
served for two years as a
gation to the Arab-Israeli peace talks, and sioners of the Palestinian Independent
is
a
Commission
as well as the Palestine National Council (PNC).
for Citizens' Rights in Jerusalem,
He
has authored eight books on
Palestinian affairs and the Arab-Israeli conflict, and published extensively in Arabic
and English
George
S.
in a variety
Harris
of journals and magazines.
retired at the
end of 1995
after sixteen years as the director
of the
Office of Research and Analysis: Near East and South Asia, U.S. Department of State in Washington, D.C.
He was awarded
the Presidential rank of Distinguished
Executive in 1992 for his contributions to the understanding of that region.
He
has
served as Professorial Lecturer in Middle East studies at the School of Advanced International Studies of at
The Johns Hopkins
University, 1968-81, and intermittendy
the George Washington University Faculty of Political Science.
several books
several
on Turkey, has written numerous
articles
He is
the author of
on the Kurds, and edited
volumes on the Middle East including Law, Personalities, and Politics of the
Middle East.
Marc V. Levine is
an associate professor of history and the director of the Center for
Economic Development numerous scholarly economic trends
gouvemementale
at the
articles
University of Wisconsin-Milwaukee.
on language and nationalism
in Montreal, including
"Au-dela des
et le caractere linguistique
He
has written
Quebec, and on
in
lois linguistiques: la politique
de Montreal dans
les
Contextes de la politique linguistique quebecoise (Quebec: 1993).
annees 1990," in
He
authored The
Reconquest of Montreal: Language Policy and Social Change in a Bilingual City, a revised and expanded French-language edition of which was published in the fall of 1996 by
VLB
Conseil de
de
la
la
He
Editeur of Montreal.
langue frangaise, and
is
has served as a consultant to Quebec's
currently Professeur invite at I'lnstitut national
recherche scientifique-Urbanisation in Montreal.
Martin E. Marty
is
the Fairfax
M. Cone
Distinguished Service Professor at the
University of Chicago, where he has taught since 1963 in three faculties. in
American
religion,
A specialist
he directed a six-year, five-volume study comparing varieties
of militant fundamentalisms around the world, which has been published by the University of Chicago Press. His three- volume
Modem American
Religion
was
also
published by the University of Chicago Press. The third volume. Under God, Indivisible,
covering 1941-60, appeared in 1996.
Brian E. Porter Kent
at
is
Honorary Lecturer
in International
Relations at the University of
Canterbury and a Fellow of the Royal Historical Society.
He
has lectured
in
France, the Sudan, China, Russia, and for twenty years at the University of Wales.
About
XX
Among
the Editor
and Contributors
his publications are Britain
and
Politics
Communist China (1967), and 1919-1969 (1972). He also has con-
historical
works, including "Nationalist Ideals
The Abery^stwyth Papers: International tributed to a
number of theoretical and
the Rise of
New
and Ethnic Realities" in Community, Diversity, and a
Honor of Ms late
L
Martin Wight's celebrated
which took over
World Order: Essays
Robin Alison Remington
is
Theory: The Three Traditions,
lectures, International
five years to reconstruct
and
edit
from
notes.
a professor of political science at the University of
Missouri-Columbia. Since 1970-71 she has been doing fieldwork Yugoslavia, Politics
first
in
Claude, Jr (1994). In 1991 he and Gabriele Wight published the
as an
exchange scholar from
and Economics
in
MIT
in the
former
at the Institute for International
Belgrade, then funded by the American Council of
Learned Societies, the University of Missouri-Columbia Graduate Research Council,
and the Fulbright Faculty Research Abroad Fellowships. She has published
numerous articles and chapters on the collapse of the former Yugoslavia into civil war and subsequent Yugoslav wars of secession. Her latest essay, "The Yugoslav Army: Trauma and Transition," appers in Constantine P. Danopoulos and Daniel Zirker, eds., Civil-Military Relations in Soviet and Yugoslav Successor States (Westview Press, 1996). Her works have been published in Greece, India, Spain, and in the
former Yugoslavia in both Belgrade and Zagreb.
Alfred Erich Senn
and a Foreign
is
a professor of history at the University of Wisconsin-Madison,
Member
of the Lithuanian
Academy
of Sciences.
He
has written a
number of works on Russian and Lithuanian history. In 1992, a Lithuanian translation of his doctoral dissertation The Emergence of Modem Lithuania (1959) was published. He was in Lithuania in 1988, where he participated in the process of the rebirth of Lithuanian national consciousness
and recorded
his experiences in the
book, Lithuania Awakening (University of California Press, 1990). His most recent book, Gorbachev's Failure
in
Lithuania
(St.
Martin's Press,
1995),
examines
Lithuania's role in the collapse of the Soviet Union.
Linda Vigilant is a research associate in anthropology at The Pennsylvania State Her research includes human genetic diversity and evolution, in
University.
particular, using
Most
molecular genetic data to reconstruct the origins of modem humans.
recently, she has
populations.
Her
articles
been analyzing mitochondrial have appeared
in a variety
DNA
variation in African
of publications, notably, Science
and Systematic Biology, as well as the proceedings of the National Academy of Science of the United States of America.
Kosaku Yoshino He specializes in
is
an associate professor of sociology
University of Tokyo.
the study of nationalism and cultural identities in Asia. in
(Routledge, 1992, 1995), and
currently working
is
He
is
the
Contemporary Japan: A Sociological Enquiry
author of Cultural Nationalism
industry."
at the
on a study of "the cross-culture
Introduction WINSTON A. VAN HORNE
The tug of the
familiar and the pull of the unfamiliar have fired the imagination and
fashioned the conduct of wo' man over untold generations. In the familiar there reassurance;
unfamiliar
the
in
unfamiliarity, race, ethnicity,
mix with "them," 'They" are
there
uneasiness.
is
their
and nationality both reassure and and we
for "they" stick with "their kind"
different
In
from "us," and "we" are not
like
unsettle.
stick with
"them."
"We"
don't
"our kind."
"We" go "our" way,
and "they" go "their" way. The antinomies here are largely a function of what B. Skinner
mold
calls "contingencies
F.
of reinforcement"' which shape the personalities and
of individuals.
characters
the
is
and
familiarity
Stem have been
the
societal
fault
lines
occasioned by contingencies of reinforcement regarding nationality, ethnicity, and race.
Concerning race
specifically, the following
example, though anecdotal,
is
most
instructive. I recall
more than
my
vividly
acre estate where he
dinner
Dad, George Wilton Van Home,
forty years ago, that a friend of the
at the local
worked
as an overseer told
country club
FF remarked
now
deceased, telling
owner (FF) of the
him
aloud:
that
one evening
"How good
me
thirty-two hundred
it is
just before
to look
around
see a black face." Ironically,
all
of the faces that served dinner were
black (in the American usage of the term);
all
the faces of those
and don't
[sic]
were white; and, excluding the family of FF, the faces of
worked on FF's
estate
were black.
standing as legal testimony, yet not
lie to
my
Dad, who,
in
I
it is
know
FF
who were served who lived and
of those
anecdote just presented has no
ever so poignant. Assuming that FF's friend did
tum, did not mislead his son, one cannot but be struck by
the full force of we/us versus they/them.
very real sense, for
that the
all
that evening,
mornings, black faces were simply
We employ
them, and they work for
and who knows
invisible.
how many
us. In
a
other evenings and
They were seen but not beheld; observed
1
Global Convulsions
but not discerned; apprehended but not comprehended. great twentieth-century I
am
an invisible man. No,
am
Allan Poe; nor
man
American
I
I
novelist, puts
am
Or
to possess a
mind.
people refuse to see me.
.
I .
.
themselves,
surroundings,
who haunted Edgar
not a spook like those
one of your Hollywood-movie ectoplasms.
of substance, of flesh and bone, fiber and liquids
be said
Ralph Ellison, the
as
it:
—and
I
am
a
might even
I
am invisible, understand, simply because When they approach me they see only my
or figments
of their imagination
—
indeed,
everything and anything except me.
Nor
my
is
my
invisibility exactly a matter
epidermis. That invisibility to which
of a biochemical accident to refer occurs because of a
I
peculiar disposition of the eyes of those with
whom I come
in contact.
A
matter of the construction of their inner eyes, those eyes with which they
look through their physical eyes upon
And
so,
though they serve us dinner, speak the same language as we do, attend the
same church (all
reality.^
same
as ourselves, and generally vote for the
of which, incidentally, were true in relation to these
FF's
political party as
who
estate), they nonetheless are not like us. In the case
numberless ones that
Race and
its
it
represents,
cognate racism are
what
set
among
lived
of FF, as well as the
—
"them" apart from "us"?
the
at
As Martin Bemal
West. But race did not have
its
wo' man, did obtain
in the ancient
world prior It
Hebrew and Greek
texts as 'black
Sentiments concerning race
500 bce. Yet
to
in the
in the Latin
it
did not ground
—one
Song of Songs
is
in the ancient
world do change
New
starting
way
now
and
in the
observable.
Still,
racial inferiority,
around 500
is
changed
to
to black but beautiful as black,
became "the color and complexion of evil and white
and goodness," says Bemal. Racial prejudice,
in putative racial superiority
which, for
Testament "the description
Vulgate translation of the Song of Songs
'black but beautiful'." Black and beautiful gave
somatic or physical norms, was
in
called in both the
and beautiful'."
BCE, according to Bemal, so that by the time of the
strous head.
them
origin in the fifteenth century.
expressed an aesthetic
example, "[t]he beautiful and erotic lover
unlike heretofore,
true of
points out, a concept of race, in the sense of varieties of colors of
feelings of superiority and inferiority.
of the heroine ...
was
and nineteenth cen-
fifteenth, sixteenth, seventeenth, eighteenth
turies, especially in the
race.
most malodorous and disgusting con-
cepts with wide currency at the end of the twentieth century, just as the end of the
we do
and worked on
that
of purity
sense of preference based on
malodorous racism, grounded
had not yet
fully reared
its
mon-
Introduction
By
armed with
the seventeenth century, however,
muskets, Europeans
in ships that
Jesus, Brotherhood,
and
Christianity, capitalism
profit that Karl
Liberty' set sail and pillaged with utter rapacity the indig-
Marx diagnosed
modem "has
many
origins in the
European need
it
Bemal
was known
to justify their
the greed, fraud,
is
be believed,
to
in the ancient world,
inhuman behavior
in the
upon peoples of other continents by
genocide, colonialism, and slavery inflicted
dehumanizing them and turning
As
peoples were trampled upon
to slaves or colonial subjects. Indeed, if
racism, not simply racial prejudice as
its
others.
as intrinsic attributes of capitalism conjoined
with the proselytizing religiosity of Christianity,
and reduced either
and
bore such names as John the Baptist, Gift of God,
enous peoples of the Americas and West Africa, among
and
3
their victims into devils or animals."
Brian Porter does not address directly the origin of
modem
prejudice Bemal does, he too notes that "a strong racial in many European societies." But racism never has been, nor .
.
.
.
And
racism in the .
.
exists at a
is it
although
way
that
deep level
now, the exclusive
province of Europeans and their societies, even though over the past five centuries they have constmcted the most elaborate and tortured explanations cations
What grounds
behaviors.
for, racist
continues to overspread the planet?
The
of,
and
justifi-
racism, the sheer racial arrogance that
false belief that race is a biological
phenom-
enon; that "we" are more aesthetically attractive and intellectually endowed than "they" are; that "we" are "their" betters; and that "us" and "them" are never equals,
by nature or by society when
either
it is
properly constituted. Given the persistent
noxiousness of racism, and the deep fault lines that are drawn racially planet,
it is
well to pause for a
In her chapter that leads off this book, Linda Vigilant reinforces
known conceming
seem
species. People
However, evidence of
to
want
The
similarity of all ingly, r]ace is
members of
to believe in uniqueness, if not superiority.
intrinsic, biological superiority is sorely lacking.
human
the entire concept of race as applied to the justifiable.
what already
race as a putative biological phenomenon. She writes: "There
great longing for uniqueness [us/them, we/they] lurking in the
human
over the
all
moment on the phenomenon of race.
species
is
at
humans and
is
biologically,
by definition a biological
and
mid-century through
1
.
it
.
.
.
its
.
has no true justification in tells
UNESCO)
in
had told
derived from the same
common
stock;
and
that
it
The "Statement of
recognizing that mankind
men belong to the same species. Homo generally agreed among scientists that all men all
the
what the United Nations
statements on race of 1950 and 1951.
have reached general agreement
one: that
further
.
[Accord-
in part:
Scientists is
.
not scientifically
socially, inappropriate.
entity yet
the end of the twentieth century precisely
1950" reads
the
sorting of individuals into discrete categories ignores the genetic
Educational, Scientific, and Cultural Organization (hereinafter at
a
is
... In fact,
biology." Regarding a supposed biological foundation for race. Vigilant thus
world
is
sapiens.
It is
are probably
such differences as exist
Global Convulsions
between different groups of mankind are due
to the operation of evolu-
tionary factors or differentiation such as isolation, the drift and fixation of the material particles
changes
in the structure
which control heredity
of these particles, hybridization, and natural
ways groups have
selection. In these
random
(the genes),
arisen of varying stability
and
degree of differentiation which have been classified in different ways for different purposes. 2.
From a
Homo sapiens is made up of
the biological standpoint, the species
number of
populations, each one of which differs from the others in
the frequency of
one or more genes. Such genes, responsible for the
hereditary differences between men, are always the
whole genetic constitution of man and
common
to
all
human
means
belong. This
few when compared
to the vast
to
number of genes
beings regardless of the population to which they
that the likeness
among men
are far greater than
their differences. 3.
A race, from the biological standpoint, may therefore be defined as one of the group of populations constituting the species
Homo
sapiens.
These populations are capable of interbreeding with one another virtue of the isolating barriers
which
in the past
separated, exhibit certain physical differences as a result of different biological histories.
common
by
variations, as
it
somewhat were, on a
theme.
4. In short, the
term "race" designates a group or population characterized
by some concentrations, hereditary fluctuate,
These represent
but,
kept them more or less
relative as to frequency
(genes)
particles
or physical
and then often disappear
in the
and
distribution,
of
which appear,
characters,
course of time by reason of
geographic and/or cultural isolation. The varying manifestations of these
traits in different
each group. What
populations are perceived in different ways by
perceived
is
group arbitrarily tends
is
largely preconceived, so that each
fundamental difference which separates 5.
These are the
which occurs as a
to misinterpret the variability that
scientific facts. Unfortunately,
group from
all
others.
however, when most people
use the term "race" they do not do so in the sense above defined. To
most people, a race cribe as a race.
when
."^ .
.
is
any group of people
[How
powerfully
is
whom
they choose to des-
the last sentence instantiated
Justice Antonin Scalia, in concurring with the
decision in
Adarand
Constructors,
Inc., v.
who have been wronged by unlawful be made whole, but under our Constitution
"Individuals
should
thing as either a creditor or a debtor race. ... racial entitlement
Supreme Court's
Federico Pena,
et ai, wrote:
racial discrimination
there can be
To pursue
even for the most benign of purposes
and preserve for future mischief the way of thinking
that
no such
the concept of is
to reinforce
produced race
\ Introduction
slavery, race privilege
are just one race here.
The "Statement of 1951" 1.
and race hatred. In the eyes of government, we It is
American''^
—
the
American
race.]
reads in part:
Scientists are generally agreed that
single species,
5
Homo
all
men
living today belong to a
sapiens, and are derived
from a
common
some dispute [which continues into when and how different human groups diverged from
even though there
is
stock,
the 1990s] to this
common
stock 4.
Broadly speaking, individuals belonging to different major groups of
mankind
are distinguishable by virtue of their physical characters, but
members, or small groups, belonging
individual
same major group
the
to different races within
are usually not so distinguishable.
major groups grade into each
other,
and the physical
traits
Even
the
by which
they and the races within them are characterized overlap considerably.
With respect
among
to most, if not
all,
measurable characters, the differences
individuals belonging to the
same race
are greater than the
differences that occur between the observed averages for
same major group. very same point.]
races within the
makes 5.
.
.
this
[It is
.It often happens that a national group
by
terized
would be
may
due
to race. Scientifically,
appear to be charac-
The
particular psychological attributes.
that this is
two or more
well to note here that Vigilant
superficial
however,
view
we realize that
common psychological attribute is more likely to be due to a common historical and social background, and that such attributes may obscure the fact that, within different populations consisting of many any
human
types,
perament and 6.
The
one
will find approximately the
same range of tem-
intelligence.
scientific material available to us at present
does not justify the
conclusion that inherited genetic differences are a major factor in pro-
ducing the differences between the cultures and cultural achievements of different peoples or groups.
major factor
in explaining
It
does indicate, on the contrary, that a
such differences
is
the cultural experience
which each group has undergone. 7.
There
is
no evidence for the existence of so-called "pure"
races. ... In
regard to race mixture, the evidence points to the fact that
human
hybridization has been going on for an indefinite but considerable
period of time.^
at
The UNESCO statements of 1950 and 1951 pertaining some length for two basic reasons. First, I wanted to make
to race
have been cited
crucial portions of their
substance available to the readers of this volume, who, for whatever reason,
may be
.
6
Global Convulsions
UNESCO
unable to get their hands on the important, national
wanted
I
community
1990s concerning
to call out
documents. Second, and
which
that the rubbish
and
racial superiority
is
abroad over
racial inferiority
much
anchored biologically was
rigorous testing and intersubjective corroboration
debunking
was done. Indeed, just
that
In the
the obverse
inter-
of the planet in the
debunked nearly half a century ago, and nothing of scientific repute critical,
critically
from a source bearing the imprimatur of the
—has
—
that
is,
open
is true.
most comprehensive study of human genetic patterns ever published
single volume, L.
Luca
to
since undercut the
in
a
Cavalli-Sforza, Paolo Menozzi, and Alberto Piazza in The
History and Geography of Human Genes observe the following:
The
proved to be a
classification into races has
already clear to Darwin. in the
hands of
modem
To some
races. ...
Human
taxonomists,
extent, this latitude
who may choose
of the taxonomists,
Statistically, genetic variation
between
races are
who
reasons
futile exercise for
extremely unstable entities
still
to
be "lumpers" or
within clusters
large
is
"splitters."
single genes are considered, and in almost
for classifying
From
human populations
No
is
.
.
that
when are
all alleles
therefore sufficient
into systematic categories
a scientific point of view, the concept of race has failed to
obtain any consensus; none
is
likely,
given the gradual variation in
... By means of painstaking
existence.
populations,
all
single gene
.
compared with
clusters. ... All populations or population clusters overlap
present but in different frequencies.
more
define from 3 to 60 or
depends on the personal preference
we can we
multivariate analysis,
identify "clusters" of populations and order them in a hierarchy that
believe represents the history of fissions in the expansion to the whole
world of anatomically
modem
humans. At no
fied with races, since every level of clustering partition
and there
is
no biological reason
level
can clusters be identi-
would determine a
different
to prefer a particular one.
The
successive levels of clustering follow each other in a regular sequence,
and there
is
no discontinuity
that
might tempt us
to consider a certain level
as a reasonable, though arbitrary, threshold for race distinction.
[Accordingly, t]here
is
no
scientific basis to the belief
.
.
of genetically
determined "superiority" of one population over another. None of the genes that
we
consider has any accepted connection with behavioral
the genetic determination of
which
is
extremely
difficult to
traits,
study and
presendy based on soft evidence. The claims of a genetic basis for a general superiority of one population over another are not supported by
any of our findings.'
What one
learns here
from Cavalli-Sforza, Menozzi, and Piazza
had leamed already from L. C. Dunn, who, writing
and Science
cited earlier, observes:
for the
UNESCO
is
what one
volume Race
Introduction
The judgment of biology
...
of race, founded upon the
known
is
and theories of heredity, leaves the
facts
old views of fixed and absolute biological differences inferior races
old view, without scientific justification. Biologists
belong to a single species.
with other species,
common, having
men
all
.
.
When
the
UNESCO
the races of
founded upon
now
this
agree that
Homo sapiens. As
common
received them from
no justification
finds
among
is
all
the case
share their essential hereditary characters in
persistence of race prejudice where .
The modern view
clear and unequivocal.
man, and the hierarchy of superior and
men everywhere
1
[And
ancestors
so, t]he
exists is a cultural acquisition
it
which
in biology.*
statements of 1950 and 1951 are conjoined with the
observations of Vigilant, Dunn, and Cavalli-Sforza and colleagues, a clear, distinct
and incontrovertible pattern emerges concerning race as a biological phenomenon.
Race
is
not a biological phenomenon;
culture into a biological one.
It
names a
is
it
phenomenon transmuted by
a social
classificatory preference that finds
no sound
empirical mooring in biology. If racial classifications are largely a function of the
"personal preference" of taxonomists, as Cavalli-Sforza and colleagues, believe, or
any group of people
whom
one "choose [s]
"Statement of 1950," calls out, there
was announced
race."^ This truth
is
to describe as a race," as the
UNESCO
indeed "no biological reality to the concept of
to the readers
of The Milwaukee Journal on the
evening of February 20, 1995, in a bold headline that read: Race has no scientific basis in biology, researchers say.
was both pleased and
I
Pleased because a major newspaper
made known
to
its
distressed
well established for nearly half a century; distressed because
many cited,
Ann
times was
among Arbor,
gorize, but
So
Genome
it
it
necessary to rediscover
others, C. Loring Brace,
who
fire
by the headline.
readers a truth that had been I
asked myself
or to reinvent the wheel.
an anthropologist
at the University
of Michigan,
human tendency
to cate-
Unless the world were to learn otherwise from the
Human
observed that "[r]ace
a result of the
is
has no biological basis."'"
there
it
is:
Human Genome
Project and the
Diversity Project that are
now underway,
of the best objective knowledge" that has been extant since the mid-
in the context
twentieth century, race
is
phenomenon
not a biological
—
neither
is
ethnicity nor
There
is
no superior race biologically; there
race biologically. This being so,
it
would be well were the twentieth century
nationality for that matter.
remembered
as the
one
in
which the biological stake was driven
through the deformed heart of race, and
body burned, the world an
scattered,
and forgotten. But
assumed biology animates
differently, in the all
its
no
inferior
so speak,
be
not likely to be, for
all
around
commonplace understanding of race. Put
commonplace of everyday
comes
to
irretrievably
malformed but tenacious multicolored
alas, this is
the
is
life
concerning race, biological myths
too often overwhelm biological facts, and a sort of mythological biology,
may
how
The paper
to supersede empirical biology.
if
one
Global Convulsions
8
Interesting, here,
is
who
the fact that there are those
claim to believe that race
not grounded in biology yet behave in their daily lives as
if
it
were. In
this,
is
the
empirical reality of what Charles Stevenson called out as a logical possibility nearly
two generations ago comes Stevenson wrote:
namely, a clash of belief and attitude.
into play,
two men should continue
"It is logically possible, at least, that
disagree in attitude even though they had
all their
though neither had made any logical or inductive
beliefs in error, or
to
common, and even
omitted any relevant
evidence. Differences in temperament, or in early training, or in social status, might
make
men
the
even though both were possessed of the
retain different attitudes
What Stevenson said concerning two individuals is true also for a single individual. One always has to proceed with the utmost caution when one uses the term "personal knowledge."'^ Still, I do know, of my own personal knowledge, of individuals who have claimed forcefully that they did not believe that complete
scientific truth."'^
race really had a sound biological anchor, yet continually behaved as
commonly accepted body of scientific beliefs [does have a commonly accepted set of attitudes."'^ Dunn thus
if
did. In
it
short, "a
not necessarily] cause
us to
hits the
mark when he
writes:
We know now why certain fixity
views about race uniformity and purity and the
why
of racial differences were[/are] wrong; and
social
and
political
views of race inequality were[/are] wrong. Since the former were often used as a justification for the that, if
we
we should as reasonable beings like to believe we should thereby cure
latter,
get rid of our biological misconceptions,
the social and political
ills
of injustice and exploitation which appeared to be
based upon wrong biology. Eventually
we
should not forget that the
way
in
we may
expect
this to
happen, but
which human beings as individuals and
more stemmed from feelings and from prejudice than from knowledge.'^ as groups have acted with regard to race differences has
often
Racial prejudice, racial hatred, and boorish racism persist in spite of scientific
knowledge about the biology of social utility.
They
persist
value."'^
and
is
a value
—
ority
that
tells
which
because of their social value and safety, security,
of the anxiety, insecurity and discomfort of
us that "what
is
familiar, sets
when he wrote
that in the
is it
become a
familiar tends to
apart
from what
unfamiliar,
is
Sidney Willhelm touched a raw
United States "racism
.
.
.
must
taken for a dominant, autonomous social value."'' Mythic biological superi-
and mythic biological
Abraham
inferiority undergird
Lincoln cognizant of this value
purpose to introduce races,"
persist
albeit an ignoble one. In this regard,
nerve a generation ago
now be
in the face
Gordon Allport
Racism bounds
They
because they are perceived to reinforce the
and comfort of the familiar the unfamiliar.
race.
political
and
social equality
and was "in favor of the race
position;" for "[t]here
is
to
racism as a value.
when he made
How
well
plain that he
was
had "no
between the white and the black
which [he belonged] having the superior
a physical difference between the two which
.
.
.
will prob-
.
Introduction
9
ab\y forever forbid their living together upon the footing of perfect equality.'"* In the
United
and elsewhere around the world
States,
one observes
at the
end of the twentieth century,
starkly the effects of racism as a social value as those
the beneficiaries of
what
I
who have been
term racial inheritance struggle to maintain what Lincoln
understood to be "the superior position." In the nineteenth century, Arthur
de Gobineau and Charles
Carroll,
among
frameworks based on the supposed biological superiority of
others, constructed
whites and inferiority of nonwhites to justify the social advantages that accrued from
white racial inheritance. At the end of the twentieth century, Richard Hermstein and Charles Murray have imitated de Gobineau and Carroll, though they have been less
conspicuous in calling attention to
men
seek
position
their biological assumptions.
is
—whether
vis-a-vis the global political
hegemony
in the
insti-
North-South divide
economy of which Claude Ake makes mention. But
is
tical, military,
and economic history and to
cultural traditions of countries or groups.
rapidly transient, as history shows, whereas the average genotype
This superiority
is
does not change
rapidly."'^
The critical term here
superior positions that wo' men strive
is
"cultural traditions."
and seek
for,
to maintain,
come
their
not by dint of their racial superiority biologically, but in virtue of the cultural
traditions It is
of these
a political and socioeconomic concept, tied to events of recent poli-
"[s]uperiority
way
all
form of control of major
the superior position takes the
tutions in, say, the United States, or northern
The
What
the continued transgenerational, racial inheritance of the superior
which support and
sustain the biological
machinery they obtained
at birth.
thus well to turn to culture to illuminate race, ethnicity and nationalism, which,
at the
end of the twentieth century, constitute the most explosive
societal fault lines
on the planet.
n Concerning 'The Fate of the Earthy a subheading in his chapter entided "The Biological Consequences of Nuclear War" in The Cold and the Dark: The World after
Nuclear War, Paul Ehrlich
writes:
war scenarios can be constructed
Plausible
dominant atmospheric
effects
virtually the entire planet.
would be
that
would
result in the
of darkness and cold spreading over
Under those circumstances, human
largely restricted to islands
survival
and coastal areas of the Southern
Hemisphere, and the human population might be reduced to prehistoric levels.
.
.
.
[T]here probably would be survivors scattered throughout the
Southern Hemisphere and, perhaps, even
Hemisphere.
.
in a
few places
in the
Northern
.
But one has
to ask
about the long-term persistence of these small
groups of people, or of isolated individuals.
Human
beings are social
Global Convulsions
10
animals. built.
.
.
They .
upon the
are very dependent
The
social structures that they
kind of hunter and gatherer stage. But hunters and gathers
always had an enormous cultural knowledge of
knew how
have
survivors [of a large-scale nuclear war] will be back in a
But
to live off the land.
their
in the past
environments; they
after a nuclear holocaust,
people
without that kind of cultural background will suddenly be trying to live in
an environment that has never been experienced by people anywhere.
groups are small, there
If the
social
and economic systems
of the survivors
state
is
will
is difficult
.
.
be
utterly shattered.
The psychological
to imagine.
[In this context,] the possibility that the scattered survivors
would not be able
.
a possibility of inbreeding. And, of course,
simply
would, over a
to rebuild their populations, that they
period of decades or even centuries, fade
away [cannot be excluded, nor
can] the possibility of a full-scale nuclear
war entraining
Homo sapiens The grim
the extinction of
[be excluded].^
picture painted
by Ehrlich
relation to the biological survival of
biological extinction are but
two
calls out
Homo
most
starkly the cultural imperative in
sapiens sapiens. Cultural extinction and
sides of a single coin. Culture affords individuals
Such adaptation
and groups the wherewithal to adapt to their environments.
the biological survival of individuals and groups, and of culture notes, "[a] person
is
not only exposed to the contingencies that constitute a culture,
he helps to maintain them, and so the culture
The
is
to the extent that the contingencies induce
for
self-perpetuation of a culture presumes that
its
him
to
do
self-perpetuating."^'
survive. "[A] culture," says Skinner,
work
fosters
As Skinner
itself.
some of
survival, or for the survival of
survive. Survival
is
members and it, itself, its members to practices, is more likely to its
"which /cr any reason induces its
the only value according to which a culture
is
eventually to be
judged, and any practice that furthers survival has survival value by definition."^
Moreover, is
good
in
in relation to survival, "[e]ach culture has
one culture may not be good
What
position of 'cultural relativism.' the Trobriand Islander, and that
speaks
is
most
healthy, for
its
is
is
in another.
good
that.""
its
own
set
—
The
cultural relativism of
[that
is
good
for
which Skinner
recognizes the authenticity, integrity, and intrinsic
own members.
This
a sound term that, regrettably, has been sullied at the
end of the twentieth century by much "missionary zeal
this is to take the
for the Trobriand Islander
value of diverse cultures in terms of the survival of their tolerance of cultural diversity
of goods, and what
To recognize
that
seeks to convert]
is
—
pejorative
all
is
the very antithesis of the
cultures to a single set of ethical,
governmental, religious, or economic values."^
Vodun,
Christianity, Judaism,
and Islam, for example,
all
serve their believers
equally well, just as Danbala Wedo^"* serves with equal facility the ones in
him
as does Jesus Christ those
who
worship him.
It
was rank
cultural
who
believe
chauvinism
Introduction
impelled European Christians to spread out around the
and imperialism
that, in part,
world to impose
their version
it
was acute
that
myopia
cultural
1
And
of religion upon presumably less fortunate races.
that
moved
the French of the Enlightenment to believe
French-based Enlightenment rationality was the foundation for a world culture.
In this regard, Brian Porter writes that "[t]he French were to be the core nation of a
And
universal republic.
philosophy of
life
membership of that republic was
the criterion for
for a reorganization of world society might
to
be one's
Such a basis
rather than one's ethnic origins or racial background.
have worked had not the French,
in
Martin Wight's words, been 'sublimely incapable of distinguishing between the universal Rights of
Man
and French
culture.'
Napoleon's armies entered the surrounding
countries of Europe as liberators, but to those being liberated
it
came
increasingly to
look like political and cultural imperialism on the grandest scale."
Grand
and schemes, then, are
cultural designs
oppressive, as one culture either
empirical fact that what
makes
is
good
in
is
unmindful
one culture may not be good
imply cultural
and
Vodun,
racial hierarchies
is
serves the tivism.
good of a
Still,
culture
is
"[W]hat
out what
is
and
attributes.
religion that
do not share much,
not the national religion of the United
is,
is
juxtaposed to Vodun to
both are religions, and both serve the
cultures.
Cultural relativism notwithstanding,
These
that all cultures
Here Christianity
of singular importance, that
good of their respective
No
a cardinal truth of cultural rela-
the national religion of Haiti,"^^ according
is
if Christianity is
pretty close to being so.
is
richness and
its
religions. Aliena-
cultural heritage."^
mean
cultural relativism does not
comes
it
and
a bad religion. This
indeed very much, in common. "Vodun to Bellegarde-Smith,
world of
that "[t]hey rob the
by establishing bad and good
tion follows the erosion of one's spiritual
call
in another.
so-called universal religions so pernicious," says Patrick Bellegarde-Smith in
his penetrating discussion of
States
too often repressive and
all
or simply elects to ignore, the
of,
all
cultures share in
are: species life, species being,
common
at least
seven
language, religion, literature-art-
science-technology, institutions, and transgenerational memory.
Species
life is
a unique organic property which only nature itself produces
and reproduces, and without which there
is
no
culture. In this sense, species life is
prior to culture, but without culture, as Ehrlich
vive for a while but
it is
makes
plain, species life
may
sur-
unlikely to persist. Species being entails the ontological
and cosmological percepts and precepts around which species Species being ascribes value and worth to species
life.
life is
organized.
The value and worth
that
ascribes to any life are contingent on the place of that life in the order that creates.
The more
the species life of individuals or groups
species being, the greater
is
the likelihood that the ones
is
it
it
valued in the order of
who
lead those lives will
adapt well to the contingencies of their environment. The sorts of interaction that obtain between species being and species
wo' men and
to grow, develop, adapt, create,
their progeny.
life
thus structure the possibilities for
and reproduce themselves
in their
work
Global Convulsions
12
Over
historical time,
competing, conflicting, contradictory, and asymmetrical
conceptions and constructions of species being have occasioned profound variations
of species
in the valuation life
life
and
products.
its
The value and worth of
the species
of the West African and his descent, both in Africa and in the Diaspora, over the
past five hundred years have been nominal in European constructions of species
being. This opened wide the path to slavery, colonialism, and Jim its
de jure and de facto forms.
indeed be "bought and sold, and treated as traffic,
.
whenever a profit could be made by
.
Crowism
in
both
were "slavish by nature," they could
If Africans .
ordinary article[s] of merchandise and
it."^
Bemal
is
most powerful
here, as he
discusses racism's degradation of the species being not only of Africans, but also of others
who were to
suffer the anguish of European cultural arrogance.
The deformation of the cation for
all sorts
species being of individuals and groups affords justifi-
of conduct that
Thus, for example, in spite of
its
States to agree with William Schockley
deceased
—
that "the
deficits is hereditary
and corrode
distort, distract
empirical
falsity,
—twice a Nobel
and
intellectual
and thus not remedial
racially genetic in origin,
calls "aversive consequences"^"
[the] environment,"^^ all sorts
come
could
in the
United
laureate in physics, and
major cause of the American Negro's
degree by practical improvements in
their species life.
were policymakers
now
and social to a
major
of what Skinner
to bedevil the species life of African-
Americans.
As one
gazes back over the twentieth century from the vantage point of the
1990s, one cannot but be struck by the expansiveness of cultural aggression in the
deformation of the species being of "them" by "us."
One of
its
most nefarious and
rapacious manifestations, "ethnic cleansing," has reemerged with a vengeance in the 1990s. Marianne Elliott observes that in Northern Ireland "[t]he ERA's border attacks
were seen as
'ethnic cleansing'"
by the
of Dr. Ante Pavelic's "SS [which]
Protestants.
set out
Robin Remington makes mention
on a campaign of
the Nazis controlled Yugoslavia, as well as the "rising
'ethnic cleansing'"
when
body counts, untold numbers of
wounded, and the 2-3 million refugees created by war and
deliberate policies of
ethnic cleansing" that accompanied the disintegration of Yugoslavia in the 1990s.
Furthermore, in Rwanda, in three short months between April and July of 1994, the
United Nations estimated that half-a-million to one million persons were killed and
made refugees, in a country of approximately eight Most of those who were killed were Tutsis, at the hands of Hutus.
roughly three and a half million million people.
(The Tutsis
won
the civil war.) This
of the twentieth century, yet
it
is
a former U.S. ambassador call "nasty
hands
in three
without a doubt one of the greatest holocausts
has passed as merely one manifestation of what bits
months was but a nasty
arise: Is racial cleansing to
—
be next?
bit
of disorder."
A million
lives lost to
I
heard
human
of disorder. Thus the inevitable questions
in spite
of what has been said pertaining to the
biology of race. Given the longanimity of the world community in relation to the evil
of "ethnic cleansing," would
am
like forbearance obtain
were
racial cleansing to
not sanguine concerning the answer to either of these questions.
occur?
I
—
3
Introduction
One of the means
through which the deformation of species being occurs
use of language. Language may be used
language
is
through
is
It is
the
a well-known adage but worth
a people's mirror. They see themselves in
Images of a people are conveyed
it.
is
to exalt or to diminish. In the texture of their
the species being of a people woven.
Language
repeating:
1
to the
they see others
it;
world through the language by
which they are made known. These images cover quite a spectrum. They may be sharp or blurred, simple or complex, coarse or refined, solicitous or provocative, accurate or distorted, and so on. the
What
mind and leave impressions
that they impress themselves
upon
that incline, guide, and/or occasion conduct.
How
is critical is
well does the African intellectual and spiritual father of the Catholic Church, Saint
whom Bemal
Augustine of Hippo,
European
religion, understand this
mentions
when he
in relation to the
African mind in
writes:
After the state or city comes the world, the third circle of human society the
being the house, and the second the
first
so
larger,
And
it is
here, in the first place,
of languages. For
if
is
separated from
is
to pass, but,
And
on the
the world, as
the
it is
more dangerous.
man by
the difference
other's language, meet,
contrary, to remain in
company,
animals, though of different species, would more easily hold
intercourse than they,
nature
man
two men, each ignorant of the
and are not compelled
dumb
city.
of dangers, as the greater sea
fuller
is
no help
human
common
beings though they be. For their
to friendliness
when
they are prevented by diversity of
language from conveying their sentiments to one another; so that a
would more
readily hold intercourse with his
But the imperial
city has
dog than with a
man
foreigner.
endeavored to impose on subject nations not
only her yoke, but her language, as a bond of peace, so that interpreters, far
from being
scarce, are numberless.^'
Why did the imperial city strive to impose on subject nations not only her yoke make her dictates readily comprehensible. But even more many would discern, understand, and internalize the customs,
but also her language? To important, so that the traditions,
norms, mores, and ethos that animated
to lighten the
Roman
civilization.
Rome
Through her language and her laws, she endeavored conquered participants
in
her culture
—
to bind, as
to it
make
those
were, their
whom
spirits
she had with her
language and their bodies with her laws. European colonial overlords imitated in
imposing
sought
weight of her yoke through the spread and acceptance of her language.
their
languages on those
never learned well the
art
whom
Rome
they colonized and enslaved. But they
of the imperial city in making "them" truly as part of "us."
Looking around the world, one observes society
bond of peace,"
after society
wedge of
where language,
Language is wedge of ethnic and national discord as it separates individuals and groups, many of whom, if one might borrow from Saint Augustine, would rather hold intercourse with their dogs than with "them," whoever them might be. As one rather than being "a
especially a
is
actually a
discord.
Global Convulsions
14
Elliott, Muhammad Hallaj, George Harris, Mark Marc Levine, Kosaku Yoshino, and David Buck, one a bond of peace and a wedge of discord.
reads the chapters in this volume by Beissinger, Alfred Senn,
observes language both as Hallaj
presence
makes known
in Palestine
.
that
.
schools began to teach
once the
PLO
.
Hebrew
was not merely
It
[a]
them
to Palestinian children to prepare
community
eventuality of coexistence with a Jewish
purpose of this?
accepted "the legitimacy of
Jewish
[and] adopted the democratic-secular state idea,
in Palestine."
that Palestinian
vocabulary and grammar of Hebrew, important though
was.
What was
the
would know the
children this
PLO
for the
It
was, rather, that
who would be the adults of would come to share a common
Palestinian children and Jewish children of today,
tomorrow and the ancestors of
"A common
language.
language
the is
day
after,
not intrinsically one official or unofficial natural
language, but the capacity and ability of large numbers of persons to
sense of a given pertaining to
This
it.
PLO
or range of
common
realized that if a
bond of peace were
instead of merely tolerable order,
it
was
make common
share like sentiments
more
natural languages
sense and [shared] sentiments. '*^^ In
many Jewish
youngsters learn Hebrew, just as
its
phenomena and
so regardless of whether one, two or
is
emergence of such
are used in the
having
phenomenon
to obtain
youngsters learn Arabic, the
between Palestinians and Jews
essential that a
common
language bridge the
Jewish community and the Palestinian community. The bridge of a language would not necessarily conflate the two communities, but
make
assuredly brutalities,
many
less likely the
and horrors
irritations,
common
common
would most
vexations, torments, vulgarities,
that separated them. Policies
development and spread of a
it
and conduct
that foster the
language among peoples thus have
much
to
commend them. The
PLO
sought the evolution of a
than one natural language
is
common
language
in a land
where more
a commonplace. In Northern Ireland, English, a natural
language, serves as a linguistic bridge between the Catholic and Protestant communities, yet by and large no pellingly
is this
common
language obtains between them.
point instantiated by Elliott,
who
observes:
incomprehension of the other community's core values Elliott's chapter]
owes not a
little
to the
way
in
failed for lack of language,' wrote Professor
interparty ta^ks
How
com-
'The kind of mutual
that has
been outlined
which they are expressed. 'The
[in
talks
Edna Longley of the breakdown of in November 1992." The talks
on the future of Northern Ireland
failed not for the lack of a mutually understood natural language but for the absence
of a shared
common
natural languages, yet
of those
who make
language.
A common
one natural language may not
use of
it
in a
given society.
This very point resonates in Yoshino, [t]he nihonjinron
and
may be conflated into many bear a common language for all
language
who
notes that
their popularized cross-cultural
manuals offer abun-
dant examples to suggest that Japanese patterns of behavior and use of
5
Introduction
bom
language are so peculiar that one has be
1
a Japanese to be able to
grasp the intricacy of the Japanese language and the delicacy of the
Japanese
mode of thinking. For example, one
writer observes that, though
he knows of some Europeans whose Japanese
and though some Korean residents
in
their prose or fiction in Japanese,
compose good waka
is
accurate and quite fluent,
won
Japan have
awards for
literary
he knows of no foreigner
who can
(or thirty-one syllable Japanese poetry). This sort of
remark may be taken as suggesting
Japanese language "belongs
that the
exclusively" to the Japanese, in the sense that
it
can truly be appreciated
only by the Japanese.
who
This assessment of Japanese as a natural language precludes those
Japanese from participating in a
common
language through
though a Korean resident of Japan acquires Japanese lives his
whole
participant in the
common
of
.
.
from
the
.
its
modem
ethnicity."
in his childhood, or a
language of the society, and thus
to the Japanese. In this regard. Porter points out that
industrial state," insofar as
The
Japan
is
is
is
European
ever a
full
never wholly familiar
"the notable exception
has not "sought to distance
it
conflation of natural language and
bom
are not
use. In this sense,
Japan speaking flawless Japanese, neither
in
life
its
common
itself
language in
Japanese as "the exclusive property of the Japanese people," to use Yoshino's terms, oftentimes serves to drive a
wedge between
the Japanese and those
speak the natural language but are perceived to lack a
common
as well as foreigners.
it.
But
its
and
their resident aliens,
^^
lost to the
men
was used
the former Soviet Empire, and Russian
constructing
well
the Japanese themselves
the Japanese
The value of a common language was not mled
among
language. Accordingly, a bond of peace
becomes a potential wedge of discord between
who may
sound understanding of
of the Kremlin
who
an instmment for
as
just as the spread of Latin did not bring peace to the
Roman Rome
empire, the spread of Russian did not bring peace to the former Soviet Union.
succeeded more than perhaps any other empire still,
for
most her language,
promote the
like her arms,
It
and order, but
could impose
also did.
It
its
could wield
that well-ordered
wide the gates
part of "us";
an instmment to
failed to occasion
language, and this
its
tme peace. This it
arms, and this too
did. It it
did.
it
could not impose.
could impose
But
it
its
laws, and this
could not impose
concord that binds wo' man to wo' man both near and
its
far,
it
peace,
opening
to shared symbols, myths, values, beliefs, and attitudes conceming
The language
wedge of
order,
As was tme of Rome, the former Soviet Union who fell within its imperial bounds a measure of
the organization of political society, as well as the
conduct.
making "them" a
tranquility of the empire.
did succeed in imposing upon those tranquility
in
was a weapon of
discord,
it
strived to
which was
emerges most forcefully
to
impose was
be of no
in the chapters
little
bounds of right, in reality
import
fitting,
and proper
no bond of peace but a
in its
undoing. This point
by Beissinger and Senn. Moreover, one
Global Convulsions
16
cannot but be intrigued by the fact that problems attending language that so harassed the former Soviet
Union continue
Senn observes
new
to bedevil the
states that
the 1980s Soviet nationalities' policy focused
[i]n
emerged from
it.
that
away with
(merging), an effort to do
on the concept of sliianie
the differences between nationalities
by the general acceptance of the Russian language. Soviet educators advocated "bilingualism," providing children with better instruction in Russian than in their mother tongues. Teachers of Russian, moreover, received higher pay than did teachers of the local language. specialized in the use of language reacted
first
many saw
the cultural elites of the various nationalities
.
.
.
Those who
to bilingualism.
.
.
Within
.
in bilingualism the
decline and even destruction of their basic vehicles of communication.
Thus did reaction against Russian regime
in the Baltics
who saw
between those
and
tranquility.
peace in the sense that "ours";
it
as the language of intruders in the
I
wedged "them"
—
drive a
make use of an
and ones who perceived the language
wedge
alien tongue
to
be essential
A measure of order and tranquility did obtain, but not
have used the term. Russian was "their" language not against "us" both symbolically and substantively; and so
largely failed to forge a sense of oneness out of
peace of all.
and an occupation
former Soviet Union
themselves as being forced to
for the sake of their well-being, to peace, order
—
and elsewhere
"we" and "they"
that
it
would bond the
How exquisitely does Senn capture this idea when he makes known that
"[i]n 1988, the
head of the Lithuanian Writer's Union
told [him] of his concern that
the Soviet requirement that dissertations be written in Russian
would undermine the
development of critical thought in the Lithuanian language." Thus "[i]n one republic after another, the local writers'
union took the lead in demanding stronger efforts to
preserve the national language and culture." With lightning speed did the Soviet
Union collapse
in 1991.
Though
its
arms were
still
and
strong,
its
laws
made
less
repressive and oppressive under glasnost (openness) and perestroika (restructuring), it
could not withstand the assault of those
and for
whom
Republic
who saw
in its
language no bond of peace,
was no common language. With no common language,
the
fell apart.
There tegrated,
there
is
a truth most old but
very salutary here.
still
The Soviet Union
disin-
most assuredly
was a
and though language was not the
efficient cause,
it
The people
did not share a
common
significant contributory factor.
language as a
bond of peace. Without such a common language, natural languages became wedges of discord the most prominent, of course, being Russian. Today, a markedly
—
similar state of affairs obtains in In Lithuania, for example,
many of the new
Senn points out language
states
that "Poles
of the former Soviet Union.
have
.
.
.
demanded
official
republic"; and in the
Donbass region of Ukraine, Beissinger mentions
"who
called for the resignation of the
in
that Polish
Vilnius and certain other cities of the
be recognized as an
the miners
Kravchuk government because of excessive
Introduction
taxes and price rises, [and] advocated as well special
region
What
.
is
largely as a
.,
.
autonomous
means of protecting economic
being called out here
that insofar as
is
many
the people of a given state and/or society; insofar as
or
interests
status for the
Donets
and language
rights."
natural languages are
most of them speak
most two natural languages; and insofar as there
at
is
no
17
common
spoken by
fluently
one
language that
binds them together, absent the strong hand of an imperium, language becomes a centrifugal force that impels toward the
organization.
How
the former Soviet
The and the
well
is this
Empire
emergence of ever smaller
observation borne out by what
units
of social
being witnessed in
is
and Senn are most helpful here.
in the 1990s. Beissinger
centrifugal potentiality of language in relation to the cohesion of society
integrity
of the
state,
and the
effort
of states to counter
it,
resonate in the
chapters by Harris, Levine, and Buck. Mindful of the relation between language and
ethnonational identity; aware of the sorts of transgenerational sentiments that are transported through language; sensitive to the costs of inflexible heavy handedness in the suppression
of a language; and conscious of the effect that large minority
populations can have on the stability of the its
state,
Turkey has played the language of
Kurdish minority like an accordion. Beyond the
the 1980s "[l]aws
were passed
But "language
varieties," says Harris.
restrictions already in place, in
further restricting the use of Kurdish in is
any of
its
the surest touchstone of Kurdishness,"
according to Harris, and so as violence by the Kurds mounted
at the outset
of the
1990s, "steps were taken [by the regime in Ankara] to acknowledge Kurdish identity
and
on the use of the Kurdish language
to ease restrictions
matters of language
policy vis-a-vis social cohesion
and the
in publications." In
integrity
of the
state,
draconian heavy-handedness as well as supine flaccidity are formulae for the
The
centrifugal potentiality of language to be unleashed.
who
common
speak different natural languages into a
the surest
means
full
true integration of those
language of political society
is
for a regime to escape the unforgiving trap of either of these
extremes.
Although
Canada
to date
it
has sort of "muddled through," to use Levine's term,
thus far has avoided the regime extremes of Turkey or the state and societal
Why
fragmentation of the former Soviet Union. sible?
I
in spite
them
suggest the existence of a
Levine observes
that
"by the early 1970s
The outcome of
"[f]or the first time in an
party
linguistic trends in
to threaten the cultural survival of Francophones,
1970s ... the most burning policy question policy."
has muddling through been pos-
language that draws Canadians together
of centrifugal forces, language being the most prominent, that would tear
apart.
seemed
common
was
these
was
in
it
.
.
[and]
by the mid-
the issue of language
the 1976 election of the Parti quebe^ois, and
advanced Western democracy an ethnonationaUst
separatist
Canada seemed on
the verge
elected to control a subnational government."
of splitting apart. Yet
.
Quebec [was]
Montreal
did not. Despite Bill 101 and Bill 178 pertaining to language
policy (see Levine), Quebec's desire to be recognized as a "distinct society," and persistent dissatisfaction
among Quebec Francophones over Canada's
constitutional
— Global Convulsions
18
Meech Lake Accord, Canada
misadventures, most especially the held together thus
There
is
far,
and the
something
work here
at
French as natural languages.
nomic
from a sense
there
a
It is
is
state
has nonetheless
has been preserved.
that transcends the
common
and a
interests, political limits,
muddle through where
Canadian
integrity of the
wedge of English and
language drawn around shared ecodemocratic tradition. People can only
liberal
a willingness to do so. Such willingness emanates
work
manner that does harm and promotes as much good as is possible within extant constraints. A common language makes this possible. For it does not compel universal agreement, that things will
out, if not optimally, at least in a
as
little
it
simply inclines the wills of individuals to will within the limits of mutually
acceptable bounds, and induces them to act accordingly. precisely
what the new Communist government
Buck,
cite
it
in
And
a
common
China aimed for
"banned derogatory terminology about minorities
nouncements, improved minority peoples' schools and education languages, and tolerated the practice of differed
my
my
(the year in
minority customs and
much psychological
in the world)
through 2011 set against
the year in
been
The is
common
little
actual physical
Of what
damage
significance
is all
accretion of natural language enclaves in the United States at the end of the is
not a good thing.
potential
Its
harm both
to the state
of great moment. The United States has always been fortunate
language that could sustain
tribulations. Frederick said:
of
said for the United States?
twentieth century society
Rome
which Alaric the Visigoth caused
pain to the imperial city with so
cannot leave the discussion on language without asking:
that has
life styles that
which the Emperor Theodosius boldly proclaimed Christian times
—
I
published pro-
in their respective
current interest in the United States of 1991 (the year of
throughout the empire) through 410 CE so
is
to
longstanding fascination with comparisons between the United
and Rome, and
America's unchallenged supremacy
390
in
language
1949 when,
from the Han majority."
Given States
many
in
"The
in spite
it
Douglass summoned
it
of
its
after the
many
Dred
in
and the
having a
divisions, trials
and
when he
Scott decision
Constitution, as well as the Declaration of Independence, and the senti-
ments of the founders of the Republic, give us a platform broad enough, and strong enough, to support the most comprehensive plans for the freedom and elevation of all
the people of this country, without regard to color, class, or clime."^
And
Abraham Lincoln invoked it on the evening of June 16, 1858, in the Hall of the House of Representatives in the Illinois State House as he began his campaign for the U.S. Senate, when he declared: "'A house divided against itself cannot stand.' I believe this government cannot endure, permanently half slave and half free.
—
expect the Union to be dissolved will cease to
be divided.
engaged the same
will
common
Frederick Douglass did. language, as he
It
mocked
I
do not expect
become
language
all
in
one
the house to
fall
but
I
I
do not
do expect
it
thing, or all the other."^'' Lincoln
defense of liberty
But Stephen Douglas tapped deep
in
the Republic as
into another
common
Lincoln in their first debate, concerning the matter of a
Introduction
divided house. Said he: "Mr. Lincoln
permanently into free
same condition
in the
and slave
states.
.
.
.
.
in
Why can
.
says that this government cannot endure
.
which it
it
was made by
framers
its
made
government divided
this
state perfectly free to
on the same
exist
common
do
as
principle
on which our
divided
and slave
fathers
made
it?"^
.
.
.
men
and
states,
Why
of that
each
left
can
Here we have
it
it:
not
two
languages struggling for the soul of one Republic.
The common language emerged triumphant at the
into free states
pleased on the subject of slavery.
it
—
not exist divided into free and slave states?
Washington, Jefferson, Franklin, Madison, Hamilton, Jay, and the great day,
19
to
which Lincoln and Frederick Douglass appealed
for seven generations
—using twenty
years for a generation. But
end of the twentieth century, the language of Stephen Douglas has had a new
rebirth,
and one can only ponder what
the front cover of U.S.
News
&
portents for the future of the Republic.
it
World Report of July
10, 1995,
was a
On
likeness of the
We Stand: America's New Cultural New America," the magazine observed that
Statue of Liberty with the caption: "Divided
Landscape." In a story entitled "The
America has always been a divided
E pluribus unum may
nation.
be a
national motto and the melting pot a national metaphor, but the reality has
been
patriots
and Tories, free whites and black
and Tennessee woodsmen, Northem
slaves, Philadelphia bankers
abolitionists
and Southern slave
owners, free silver and hard currency, natives and immigrants. Wall Street
and Main
Street,
Republicans and Democrats, hawks and doves,
liberals
and conservatives. [Christians and non-Christians could have been added.]
Today America once
is
new and
divided in
solidly Democratic, is fast
different ways.
becoming Republican.
.
The South, .
.
African
Americans and Hispanics are divided about affirmative action and welfare reform. There
women who the
is
a gulf between
stay at
home
women who work
with their children.
.
.
.
outside the
home and
"Are we a nation?" are
words of Michael Lind's The Next American Nation. "Social
first
classes speak to themselves in a dialect of their
own, inaccessible
to out-
The Revolt of the Elites. Republican analyst William Kristol warns of "the Balkanization of America." siders,"
wrote Christopher Lasch
We and
can see these
new
in
divisions every day
cultural enclaves; sitting in walled
listening
to
our
own music and
—
living in geographical
back yards, not open front porches;
watching our
own
cable-television
channels." U.S.
News
&
World Report
is
correct in saying that
a divided nation." But the triumph of the
common
"America has always been
language shared by Frederick
Douglass and Lincoln provided the substratum for a sufficiency of shared purpose which,
in spite
of grave lacerations upon the body
over these past seven generations. But increasingly observes enclave
at the
politic,
has sustained the Republic
end of the twentieth century one
America replacing access America. Enclaves
are not
a
20
Global Convulsions
new
phenomena
social
in the
United States. They have always existed.
is
the doubt that expands ever the
a
common
more concerning
natural languages serve to reinforce the enclaves.
virtual
Tower of Babel. To
where individuals its
common
when
language. This becomes especially troublesome
Angeles alone more than one hundred and
What
new
is
the bridging of these enclaves
It
by
differences in
has been estimated that in Los
fifty different
languages are spoken
—
the extent that these languages serve to buttress enclaves,
live in the
United States but are
at best
only marginally steeped in
language, they open seams in the tapestry of the Republic.
Abraham Lincoln and Stephen Douglas represent two radically different concepts of America. One is grounded in the belief that a house divided against itself cannot stand. The other is anchored in the conviction that it can. Lincoln carried the day
—even though he
wonder
—
did not win the senate seat that he sought
emerging victorious
after
all. It is
this writer's
later.
There
a constitutional
is
no need for an
amendment
the obverse effect of
its
to
come
American republic sooner
rather
official natural
make English
gencies of reinforcement for the
common
language in the United States, and
the national language
What
intended purpose.
on the verge of
is
conviction that should Douglas
to supersede Lincoln, Alaric will assuredly visit the
than
yet one cannot but
end of the twentieth century whether Douglas
at the
is
is
have
likely to
needed are expanded contin-
language that knits together the diverse
groupings of the society in a bond of peace. Just as language
And
may
divide or unite the
language of a people
religion. In the
in a divine
is their
members of a
made known.
Godhead, whether within wo' man or without her/him, do
Both Lincoln and Douglas appeal
religions rest.
does
society, so too
concept of the divine
all
God
God. "[A]s
to the Christian
made us separate," says Lincoln, "we can leave one another alone and do one [L]et us discard all this quibbling about this another much good thereby. has
.
.
.
.
.
.
race and that race and the other race being inferior, and therefore must be placed in
an inferior position. throughout the land,
.
.
.
until
Let us discard
we
shall
all
these things, and unite as one people
once more stand up declaring
that all
men
are
created equal. "^* With equal conviction, Douglas declares: "I do not believe that the Almighty ever intended the negro to be the equal of the white man. ...
belongs to an inferior race, and must always occupy an inferior then,
are
anchored
two
radically different concepts of race in
in the
Godhead can
same
Christian God.
The
crucial point
is
position."^*^
American
society,
that the very
sustain fundamentally different conceptions of
He
Here,
both
same divine
man and
the organi-
zation of political society. Proslavery and antislavery forces solicited with equal
confidence the favor of the same Christian God. Interestingly, on June 20, 1995,
one hundred and
fifty
years after
it
was formed, "the Southern
Baptist Convention,
America's largest Protestant denomination and one founded defense of slavery, voted overwhelmingly
racism of which 'all
we have been
African- Americans '.'"*"
guilty'
and
in the
in
large part in
annual meeting ... to 'repent of
to apologize to
and ask forgiveness from
21
Introduction
Of much
interest here
the fact that ex-slaves in the United States largely
is
retained the religion of their former masters.
demeaned
despoiled, depreciated, and
the
Though Christian slaveholders debased, Gods of the Africans, and strived to
depose ancestral Gods with the Christian God, they did not attempt to extinguish the longing of the Africans for the divine. To the contrary, they sought to tap into the Africans' religion, which "was nature-worship, with
surrounding influences, good and bad, and incantation and sacrifice."^'
Thus were
.
.
profound belief
[a]
[their]
.
worship
.
.
.
in invisible
[was] through
evoke a
slaveholders, for example, able to
sense of sacrifice steeped deep into the psyches of Africans through their intercourse
with the divine.
And
God
despite a substitution of the Christian
which did separate Africans from
for African
Gods,
their archetypes of the divine, their connectedness
with the divine was nonetheless preserved.
How
does
strikingly
Soviet Union
who
this contrast
with communist overlords of the former
sought to extinguish the role of the divine in structuring the con-
tours of their peoples lives. Unlike
American Christian slaveholders who recognized
the value of religion in sustaining organized, legal, and constitutional racial oppres-
communist overlords
sion,
Leninism had much
failed to
do with
to
aside, yet they could not escape
from the Gods
whom
in
they
make use of
this
value of religion. Marxism-
communists sought
this. Ironically,
to set religion
for peoples are not readily severed in their spirits
it;
trust.
The regime
terms with the societal significance of
this truth,
in Beijing
and found
may it
well have
come
to
prudent since 1978, as
noted by Buck, to permit "minority peoples in China ... to revive religious practices previously suppressed."
In in
Our
religion.
study his gods.'"*^ divine
in
them
is life
sustaining hope.
Oriental Heritage, Will Durant vmtes: "[B]eneath and above everything
Egypt was
The
thus well that leaders should recognize that peoples
It is
have need of their Gods, for
is
.
Why
.
.
We
cannot understand the Egyptian
does Durant
stress the relation
the ultimate wellspring of hope. Hope, that
abounds a people
strive;
and
stimulates in
capabilities.
or
man
—
until
we
balm of
life.
Where hope
where hope evanesces a people atrophy. Hope imbues
individuals with the feeling that they have tinies. It
—
between wo' man and religion?
some measure of
them a consciousness of their
Hope fosters
in
one a sense
that
control over their des-
abilities, potentialities, capacities
one can master impediments
in one's
transcend given limitations, open up possibilities that have been closed
path,
heretofore,
be present.
and create It
satisfactory,
perhaps even good, options where none appear to
gives one a sense of confidence to believe that one can
happen, and affords reasonable grounds for things happen,
one
is
impelled to
bring them to pass, especially
Hope
if
make
this belief
the sorts of sacrifices
things
make
which are necessary
to
they either are needed greatly or desired strongly.
thus kindles desires and ignites expectations, which,
If the radiance
make
Believing that one can
of hope quickens the
spirit
lessness deadens the soul and discourages.
when
satisfied, reinforce
it.
and encourages, the gloom of hope-
Even
as
hope
lifts
one up, hopelessness
drags one down. Just as hope makes lighter one's difficulties, problems, troubles,
22
Global Convulsions
makes heavier whatsoever
vexations, cares and worries, hopelessness
upon
that
weighs
the heart. Hopelessness magnifies inadequacies and undercuts resolve. Cor-
roding optimism, hopelessness diminishes
This
is
have been accomplished
is
usually
beyond
is
Believing that they have
their grasp.
none over the
virtually
much
future,
and
their control, they often resign
that
is
lacking that which could
Wherever a
unrealized.
left
obtains, individuals tend to believe that
be within
effort.
of the utmost importance, for where effort
of hopelessness
state
control over the present,
little
what
useless to contend against
it is
themselves to what
is,
may
their reach that actually
is
beyond
settling for less than they either
can or ought to secure.
By
constricting sharply images of the possible and conceptions of the probable,
hopelessness undermines the willingness of individuals to
make
sacrifices in the
present for gains in the future. Hopelessness thus fosters and reinforces presentoriented behaviors, as individuals and groups discern rigid limits to their
chances. If wo' man
by nature a creature
is
lessness wars against
human
nature.
For
that works, strives
undermines the striving purpose of
it
wo' man's very being, and so induces individuals
may
to acquiesce to limits
which they
well have the potentiality, capacity, and capability of pushing beyond.
suffocating
creativity,
well
as
dulling
as
life
and creates, hope-
and
insight
foresight,
By
hopelessness
diminishes individuals, and corrodes their self-respect, self-esteem and dignity. In hopelessness does despair inhere, with offshoots of resignation and desperation.
Despair tends to distort vision and skew perception. Those
prone to
all sorts
are played out.
of errors in their reading of the social universe
Upon
these errors
is
in
who
despair are
which
their lives
the flaccidity of resignation oftentimes evinced
And even where those who despair may well sense either that they can do
or the unbridled fury of desperation unleashed.
do read
their social universe accurately, they
nothing to alter their
lot
or they must rage against
it.
Despair thus destroys, either by
corrosive inertia or by violent explosions. It is
human
in the context
survival.
of hope and hopelessness that the divine becomes a nexus of
Gods animate
the
human
joy out of despair. John Blassingame
soon as
I felt in
troubles, earth.""*^
I
loss of fear
is
nected with the divine, and
was
it
spirit,
and bring hope out of hopelessness,
of a slave, William Webb,
who
said:
my heart, that God was the Divine Being that I must call on
heard a voice speak to
A
tells
manifested
in the
me, and from
that time
I
lost all fear
a
commonplace among those who
it
may be put to
feel
of
'"As
in all
my
men on
this
themselves con-
uses that are noble or ignoble. Fiendishly
demolition of the No. 5 bus
in Tel
Aviv on October
19,
The suicide bomber, Saleh Abdel Rahim al-Souwi, left a videotape in which he made known that "[i]t is good to die as a martyr for Allah."^ Diabolically was it instan1994, with the slaughter of twenty-two persons and the wounding of forty-six.
tiated in the shooting spree of Dr.
1994, at the
Cave
Baruch Goldstein on the morning of February 25,
of the Patriarchs,
another one hundred and
fifty
which
left forty
Muslim worshipers dead and
wounded. Goldstein himself was beaten to death by
23
Introduction
some of
who
those
escaped his
According
fusillade.
supporter of Goldstein said that "'[h]e loved Jews.
Another one remarked: '"This
we
will not
remain
which
act,
and watch them
silent
New
He was
and
enveloped the handshake between
that
PLO
13, 1993.'*^
Each time
I
language and
am moved
that
Israelis,
at
in
it
my
historic radiance
the U.S.
clip file
of
White House on
of "historically famous
see the hope of bridging two religious traditions by a
handshakes,"
For
look
I
that
Prime Minister Yitzhak Rabin
Israeli
Chairman Yasir Arafat on the South Lawn of
September
a righteous man.'"
Jewish blood with impunity.""*^
But how much do these abominable deeds pale against the
hope
York Times, one
God's name, shows Arabs
sanctified
spill
The
to
deeply by the fearlessness and courage that
it
common
represents.
handshake symbolized openly and publicly two recognitions: for the
a recognition of the Palestinians as a people, and by extension their right to
self-determination; for the Palestinians, a recognition of the legitimacy of the state of Israel,
and
its
build in hope that
The divine, then, may be used to rend in despair or to weapon of oppression or a tool of liberation. It is to build in hope
right to exist.
—
a
Golan and Hallaj
writes,
and
of what might be in a land and
in this they stand out beautifully as
among two peoples who
bold exemplars
subscribe to fundamentally
different concepts of the divine.
The praise,
divine implies that which
pure, sacred, holy, worthy of worship and
is
and from which issues precepts
that give
meaning and purpose
to the lives
all
of
whose conduct they guide. The divine unites a people in a shared purpose, and impels them to strive to give it objective form and substance. By objective signs, symbols, and works are individuals and groups bound together in relation to a given those
concept of the divine. This a point of
critical
importance; for those
who
are
bound
together are expected to behave in certain ways.
Thus, are Christians and Muslims, for example, called upon to proselytize their religion, in conformity with their respective precepts of the divine, in order to
redeem and save those who are supposedly
do not serve the one with the one true
behave
from
true
God
of
in clearly defined
And who are the lost? Those who God of Christians is not identical Muslims, and each true God admonishes followers to lost.
God. But the one
true
ways. Herein, then, lay the germs of intolerance emanating
different concepts of the divine, especially in relation to proselytizing religions.
In this regard,
Bemal submits
that
always been a particular Christian
"[s]ome scholars today argue
that there has
[However,
t]his is clearly
affinity for tolerance.
untenable. Believers in revealed religions find error
and
sin.
The Western
liberal tradition
it
hard to tolerate what for them
is
of religious tolerance did not arise from
Christianity. Its origins are firmly linked to
upper class skeptics and deists of the
Bemal goes on to say that "[t]here is no doubt 1100 ce Islam was far more religiously tolerant
seventeenth and eighteenth centuries." that in
its
early
heyday from 650
to
than Christianity," though he does observe tragic examples of intolerance
temporary Islam. What
is
crucial, in
Bemal's view,
is
in
con-
that "[t]he correlation with
tolerance appears to be with having confidence in the success of one's faith. Thus,
24
Global Convulsions
Muslims on
the defensive today, can behave almost as badly as Christians did
Islam tore the heart out of Christendom
seventh century.
in the
.
.
[Yet,]
.
confidence are only necessary and not sufficient conditions for religious tion."
What else
A concept true
is
necessary,
if
amenable
is
none the
to
frame the divine
force
is this
is
particularistically, that
tolera-
.
of more than one
God," or "God's Chosen
inconsistent with mythic constructions is,
there
but one true God. With
is
much
point illustrated in the following passage:
Joshua gathered
all
this
day
Sheehem
the tribes of Israel to
And
themselves before God.
you
to the coexistence
status of "the Elect of
People." Such an open-textured concept that
.
.
not sufficient?
of the divine that
God, and ascribes
when
success and
whom
Joshua said unto
all
.
.
.
and they presented
the people,
.
.
.
choose
ye will serve; whether the gods which your fathers
served that were on the other side of the flood, or the gods of the
Amorites, in whose land ye dwell: but as for
me
and
my
house,
we
will
serve the Lord.
And
the people answered and said,
God
forbid that
we
should for-
sake the Lord, to serve other gods. For the Lord our God, he
that
it is
brought us up and our fathers out of the land of Egypt, from the house of
bondage, and which did those great signs in our the
all
way wherein we
And
all
and preserved us
sight,
the people through
in
whom we
Lord [drove] out from before us
all
the people, even the
we
also serve the Lord;
for
he
is
the
our God.
And
Joshua said unto the people, Ye cannot serve the Lord; for he
a holy God; he
is
is
a jealous God; he will not forgive your transgressions
nor your
sins. If
ye forsake the Lord, and serve strange gods, then he
turn and
do you
hurt,
And
and consume you,
after that
the people said unto Joshua, [n]ay; but
we
will
he hath done you good.
will serve the Lord.
And
Joshua said unto the people, [n]ow therefore put away
... the strange
which are among you, and
Lord God of Israel.
And
for
among
Amorites which dwelt in the land: therefore will
passed.
same
went, and
incline your heart unto the
the people said unto Joshua, The Lord our
voice will
we obey."*^
A chosen
people shall serve their
standing.
none other
Ones who is
are
of equal
among
estate.
God
God and none
will
gods
we serve, and his
other; for
the elect shall serve their
none other has the
God and none
For Chosen Jews, Yahweh and Allah
substitutable; for Elect Christians, Jesus Christ
and Danbala
Wedo
other;
are not
are not inter-
Hard mythic boundaries circumscribe these manifestations of the and shape fundamentally the behaviors of those who fall within them. Thus
changeable."***
divine,
did Oliver
Cromwell and John Milton "amongst many
being chosen of God" (see Porter), to
make
at the
others, ... see the English as
very time that Englishmen were setting out
colonial subjects and slaves of peoples around the worid. And, as Galia
25
Introduction
Golan points
out, "the ideologically motivated right
War denied
Arab-Israeli
were not a people, and to his
that the Palestinians
any case
in
all
wing"
in Israel after the
had any claim
1967
to Palestine, since they
the land of Palestine had been "given by
God
Chosen People."
The mythic boundaries of the divine fold believers together, as well as differthem from others. They separate our God from their god; and, in the words of
entiate
Martin Marty, "solidify
tribalist
the 'other,'
.
.
.
members and
.
stress
.
groups and impulses; they do legitimate exclusion of
... the flaws of non-
'difference,' [and] exaggerat[e]
.
the virtues of adherents."
Given
significantly different
images of the
world, expectations framed within these boundaries tend to erect high walls of separation
between "us" and "them," "ours" and
severe, often attends those
who
sometimes very
"theirs." Retribution,
breach those expectations. The murder of Anwar
Sadat after he concluded a peace treaty between Egypt and Israel tressing, yet all too familiar case in point. Also, in
Northern Ireland,
is
Elliott notes that
mixed-religion couples are generally not looked upon with favor. "There hostility to
mixed marriages among
Protestants thinking
el-
but one dis-
is
more
Protestants than Catholics, even liberal-minded
'something that's morally wrong.'" Elliott also observes that
it
"there has always been an inferiority/superiority dichotomy in Catholic thinking, the belief that they hold the moral high ground. inferiority/superiority
more extreme,
this
memory
of disad-
vantage, and any effort to break its
its
elitism.
Republicans are particularly skilled
with
... At
syndrome induces self-righteousness and moral at exploiting Catholic's
away from
it
shared
risks the accusation of selling out,"
potential costs.
As mythic boundaries
are folded around the divine, contending claimants to the
divine divide themselves up into Porter calls the ethnie ethnie, but
Religion
bom. All
all sorts
of groupings. In these groupings are what
religious groupings are not instantiations of the
wherever the ethnie obtain so too do mythic boundaries of the divine.
is
separable from ethnicity, but ethnicity
is
inseparable from religion.
''Myth," says Porter, "not only plays an essential part in group identity, but tinuously created to preserve and enhance that identity."
When
a
is
con-
myth of religion
is
combined with an attachment to language, the life-giving fluid of ethnicity issues
—
forth
to
be renewed generationally and transgenerationally by kin and quasi-kin
relationships.
For many people, religion is
is
simply a
way of expressing
not the ultimate source of moral authority, and that
that individuals should lead
here,
is
good and decent
lives.
it is
No
the belief that wo' man
right, fitting,
church
is
and proper
needed. Religion,
"ecumenical, rational, reconciliatory, semi-indifferent and tolerant," to use
Marty's terms. For
means by which
many
society
persons, language is
is
purely instrumental.
information. But for the ethnie religion and language entail
much more.
It is,
as
it
It
is
simply a
organized, and individuals and groups transmit bits of
were, that language and religion inhere
much more,
in their
so very
very being, and
as such delimit the contours of their lives. In this context, Marty's concept of
26
Global Convulsions
"'retribalist' religions" is potent; for
it
which
directs attention to the sorts of forces
are at play around the world that have inflamed religious and linguistic passions in
both the ethnie and nations.
An nation the all
is
ethnic group
may
or
may
not be a nation. Interestingly, one concept of a
of "an aggregation of persons of the same ethnic family, often speaking
that
same language
or cognate languages.'"*^ Yet
all
ethnic groups are not nations, and
nations are not ethnic groups. (Despite the troublesome, perhaps even dangerous,
social
and
United
political fraying that is occurring in the
States,
makes
still
it
empirical sense to speak of the Republic as one multiethnic nation.) "In nationalist doctrine," says Elie Kedourie, "language, race, culture, and sometimes even religion, constitute different aspects of the
ethnie not nation that
is
same primordial
entity, the nation."^°
primordial, according to Porter.
But
"What makes them
it
is
the
special,"
says Porter, "is a distinct cultural character usually expressed in language, origins in the remote past, a long-settled homeland, and a sense of kinship."
other hand, calls
is
an aggregation of persons
who
feel
"a national idea," and whose behaviors are animated by
pertains to
what a nation
is
—
about
for example,
life,
liberty
on the
ness in the case of the Americans of 1776, and
it.
A
liberty, property,
of 1776 and the French Revolution of 1789, those
who
were almost solely of European
national idea
and the pursuit of happi-
resistance to oppression in regard to the French of 1789. In the
constitute a nation
A nation,
themselves attached to what Porter
security,
and
American Revolution
perceived themselves to
stock.
It is
a measure of the
of the concept of nation that both the American nation and the French
elasticity
more heterogeneous than they were at the time of their revolutions. Nations can be drawn very broadly or most narrowly. The example, drew the German nation exceedingly narrow. Contrariwise, the
nation of the 1990s are far respective
Nazis, for
American nation
is
thus truly profound essentially a It is
drawn most broadly
when he observes
at the
end of the twentieth century. Porter
that "[t]he
world of nations
is
is
primarily and
world of the mind."
the narrow drawing of "nation" conflated with the ''ethnie'' that
spawns
ethnonationalism. Here the ethnie perceive themselves to be nations, and, con-
comitandy, demand national
The
rise
rights, often including the right
both terms) invariably puts the integrity of the state their
of self-determination.
of ethnonationalism within a nation-state or a state nation (Porter elucidates
own
state either
ethnonationalists
by
when
at risk. Indeed, the
seeking of
when two or more national ideas collide, or by deemed to be essential to their well-being, under-
nationalists
a state
is
cuts the integrity of the extant state of
which they are a
part.
in At
the very outset of his chapter Beissinger cites John Stuart Mill,
the well-being of political society necessitates "that there be in
who adduced
that
the constitution of the
27
Introduction
something which
state
question." integrity
is
The something
something permanent, and not to be called
settled,
constitutes the "fundamental principles"
of the state and the good order of the society
tieth century, in
rest.
in
upon which the
At the end of
the twen-
country after country, and society after society, the questioning of
fundamental principles have become a commonplace, and
much of what was
thought
to be settled has been pried wide open for rancorous disputation. Into oblivion have
many
which, but a short decade ago, few thought would not
states disappeared,
persist for generations. In their place in
many ways
have come new and mostly smaller ones, which
are like rudderiess boats
upon a vast ocean,
as national and ethno-
national groupings have had their claims to self-determination recognized. In the last half of the twentieth century, self-determination has been a battle cry,
the sovereign state the prize. forth an array of
new
The
revolt against Western
states in Africa
and Asia
in the
European colonialism issued
1950s and 1960s.
And out of the
Empire has come many new sovereign
revolt against the former Soviet
"Ironically," says Beissinger, "the revolt against
communism was supposed
revolution against the state, not a struggle for
it."
happened.
And
so, in Beissinger's
was more than simply
But
this is precisely
states.
to
be a
what has
words, "[t]he breakup of the former Soviet Union
the end of a regime.
was
It
the beginning of an era.
When
future historians determine the global significance of the chain of events that stretched
from 1988 through 1991 death of
communism
as
in the
former
USSR,
they will be as likely to focus on the
on the phenomenal growth
accompanied communism's demise and the
in nationalist mobilization that
persisting consequences
mobilization has had for the rest of the world."
It is
which
that
in this context that Beissinger
introduces the concept of "state-seeking attitudes and behaviors."
State-seeking attitudes and behaviors encompass
not only the desire on the part of a group for the creation of
independent creation of
state,
.
.
.
[but also] other types of
autonomous
state
demands
formations within another
its
own
as well: for the
state; for
merging
the territory of a group to that of another state; for upgrading the
sovereignty and authority of existing
territorial units
with the purpose of
group empowerment; or for changing the rules of the
state to gain
group
control over access to state resources (for instance, changing the official
language or altering group representation
common torially
in positions
of power). The
on the part of an ethnic or
terri-
based group to gain more direct control over or access to a
state
denominator here
is
the desire
where such control or access had been denied previously. I
have cited Beissinger
at length,
and
in his
own
words, because his concept of state-
seeking behaviors and attitudes helps one to clarify and explain congeries of behaviors that mark national and ethnonational groupings in relation to the Multinational and multiethnic states, that
engender the
loyalties of
if
state.
they are to persist, require institutions
"we," "us," and "our," as well as "they," "them," and
28
Global Convulsions
"their." In these states, the surest
and behaviors
is
means by which
to obviate state-seeking attitudes
who would hold these attitudes and engage in them of their own volition. A colleague of mine now retired,
make
to
these behaviors reject
the ones
and who never received the recognition he deserved the
— —
work on what he termed Soviet Union was fond of
for his
"submerged nations" of Eastern Europe and the
saying that institutional illegitimacy would one day destroy the Soviet Empire. The
submerged
nations, said he,
Neither he nor
I
would
rise
up and claim what was legitimately
expected to live to see that day, but
we
State-seeking attitudes that obtain in a given state
formity insofar as
deemed
it is
to
theirs.
both have.
be unwise objectively
may be masked by to
engage
con-
in state-seeking
behaviors, and this can readily give a false reading concerning institutional
legiti-
macy. Such was the case regarding the Baltic republics of the former Soviet Union, as
one readily discerns
Senn
So
in Senn's chapter.
minorities in the
Intelligence
These national minorities were the very ones nations,
how
and
affairs. In
Agency (CIA) flatly Soviet Union would play no significant
American Central
very wrong was the
P.
1984 an
official
of
predicted that national role 'in this century.'"
whom my colleague termed submerged Masked conformity can be
official.
tive that even as prescient an observer of societies and
Samuel
that, as
Soviet experts in the United States
discounted the national question as a factor in Soviet the
masking be
effective can this
"common wisdom among
notes pointedly,
states
so effec-
around the world as
Huntington, in discussing the United States, Great Britain, and the Soviet
Union, would
now
say, in his
Order
classic Political
in
Changing Societies (1968)
community with an overwhelming consensus
that "[e]ach country is a political
among
the people on the legitimacy of the political system. In each country the
citizens
and
traditions
their leaders share a vision of the public interest
and principles upon which
governments
makes it
command
of the society and of the
community
the political
is
based.
.
.
.
These
the loyalties of their citizens."^' Senn, on the other hand,
plain that once "central control faltered," the Soviet regime soon realized that
did not
command
in particular.
The
the loyalties of
Baltic republics
much
of
its
citizenry,
saw themselves
and of the Baltic republics
as being under occupation,
not as legitimate parts of the Soviet Union; and so,
when
and
the opportunity afforded
itself,
they revolted against the Soviet state in order to secure states of their own.
Could
this also
Buck is
Among
happen
in
helpful here.
He
many
China's
certain groups
China? writes:
minorities there
—
Mongols or Koreans
political order to establish their
own
find control necessary, but is
Moslem peoples of central may try to break the existing
little
—
states or associate
nation-states. ... In the case of Tibet, for
it
reason to be concerned that
^particularly the Tibetans, the
Asia, and possibly the
culture,
is
with preexisting
example, where the Han Chinese
to praise in either past or present Tibetan
easy to imagine the breaking away of the region as a parallel
29
Introduction
to
Mongolia's independence
why would
can go
in the 1920s. If Tibet
not large sections of Inner Mongolia
own
its
become
way,
part of an
enlarged Mongolian republic, or the Korean minority in Northeast China
be joined
in
some way
to the
burgeoning
of South Korea with
state
all its
wealth and dynamism? Clearly these most populous minority groups, with strong linguistic, cultural, and religious identities able territory, have
who occupy
an
identifi-
the standard markers of ethnonationalism. If political
all
leadership emerges, and the increasingly familiar politics of ethnonationalistic
It is
fragmentation appear, they could break away.
doubtful whether the extant structure of institutional legitimacy
At
strong to prevent such an occurrence.
this juncture,
sufficiently
is
well to pause and ask:
it is
Why is the legitimacy of institutions of such importance? Institutions are patterns of behavior organized
around rules through which they
are replicated generationally and transgenerationally. There "rules" and "patterns of behavior"; each can and
do
is
a reciprocity between
affect the structure
of the other.
Well-established patterns of behavior can be highly resistant to changes in the rules
governing them, and rule changes can
The
alter significandy a
persistence of a given institution, then,
between a
The guities,
set
is
given pattern of behavior.
symmetry
largely a function of the
of rules and the pattern of behavior
it
organizes.
capacity of individuals and groups to cope with the contradictions, ambi-
and vagaries of
social life is in large
measure contingent on the strength of
Legitimacy increases the strength of an
their institutions.
institution.
The legitimacy
of an institution presumes that the rules and patterns of behavior that cohere to form it
and proper. As the strength of
are sound, fitting
their institutions increases so too
does the capacity of individuals and groups to adapt, survive, grow and develop. The obverse also
is
—even though given
true
particular activities
of note. Such
individuals and groups
activities are not,
transgenerationally. Thus, for example, there in the
United States
at the
cessful as entrepreneurs.
were among the
time of Martin Delany, individuals
However, the
failure to
may engage
in
however, readily transmitted free black population
who were
quite suc-
develop institutions whereby their
success could have been replicated transgenerationally makes a paragraph penned by
Delany roughly seven generations ago as poignant 1850s.
in the
1990s as
it
was
in the
He wrote:
White men are producers rent them.
They
—we
are consumers.
raise produce,
clothes and wares, and
we
and
They
we consume
build houses, and it.
we
They manufacture
garnish ourselves with them.
They
build
coaches, vessels, cars, hotels, saloons, and other vehicles and places of
accommodation, and readiness, then as though the
walk
we in,
deliberately wait until they have got
and contend with as much assurance
whole thing was bought
by, paid for,
and belonged
their literary attainments, they are the contributions to, authors
them
in
for a 'right,' to us.
By
and teachers
30
Global Convulsions
of, literature, science, religion, law,
ments times
that the
now makes
world
—we speak of modem
We
of.
other useful attain-
all
have no reference
It is
to ancient
things."
connect individuals and groups not only to
Institutions
to ancient times.
medicine, and
use
modem
things but also
precisely the failure of Soviet institutions to connect Lithuanians,
Estonians, and Latvians, for example, to ancient times that undercut their legitimacy,
and kept state-seeking
attitudes
smoldering
until the
time was propitious for them to
be manifested as state-seeking behaviors. One observes affairs
today in relation to Russia and the Chechens.
And
very
this
same
state
of
as Beissinger points out,
"Chechnya's declaration of independence ... has unleashed other processes of
state-
seeking throughout the northern Caucasus, weakening further Russia's control over
on the other hand, China's economic success has muted
this volatile region." Yet,
state-seeking attitudes and behaviors, at least
Buck
some
notes that "for
growth, combined with the promise of the genesis of central
new
among some of
fiiture, will
ethnonational states. In markets and streets in China's largest
and do business
in
Economic
antidote to state-seeking attitudes and behaviors, but
prosperity, then, can
no
it is
For once the bloom of economic prosperity fades, as
of those
The reality
whom they
institutions of a
and objective
be an
substitute for legitimate
array of societal fissures invariably open wherever institutions loyalties
cities,
If they lost their
China through national separation, they would
lose access to the source of their prosperity."
institutions.
economic
serve as a major break on the
Asian minorities prosper through trade and commerce.
ability to travel
large minorities.
its
large minorities in China, the results of recent
it
always does, an
do not command the
serve.
people bridge not only generations but also subjective
reality.
When
there
is
little
or no incongruity between
how
individuals discem an institution in "their inner eyes, those eyes with which they
look through their physical eyes upon
and what they actually behold with jective expectations
Here
reality," to
it
and objective actualizations conflate
institutions are often able to shut out,
aversive consequences for the ones trariwise,
borrow again from Ralph
their physical eyes,
who
crowd
suffer
is
in institutional legitimacy.
out, or diminish the full
them
in
impact of
a given environment. Con-
where the images of the inner eyes and the physical eyes
over extended periods of time, institutions are put
Ellison,
invariably strong. Sub-
at risk as
conflict sharply
time-honored
beliefs,
conventions, and indeed the fundamental principles of which Mill spoke, are called into question.
As fundamental principles are called into question, and national and ethnocome increasingly to perceive an array of institutions that sustain the extant state as static, ossified and bankrupt, the impetus for new institutional formations tend to become ever the stronger. This does not necessarily mean that the extant state itself is always immediately at risk, even though it may eventually cmmble in consequence of a push for new institutional formations. This point national groupings
1
Introduction
emerges forcefully Yugoslav
framework
left in
republic, as the
parties
troubled deeply by the tattered institutional
place by Josip Tito, and each had declared
Yugoslav
state
began
still
Remington
is
engaged
in
itself to
be a sovereign
"came to the defense of the assume that as late as March 1991
to unravel both
and allows one," says Remington,"
federation, all
Remington's discussion of Slovenia and Croatia vis-a-vis the
in
Though both were
state.
3
to
a choreography of struggle over a shared Yugoslavia." If
correct, as late as
March 1991
the state-seeking behaviors of the
Slovenes and the Croats did not necessarily entail and independent Slovenia and Croatia, even though both
The power of
were soon
independence
to declare their
thereafter.
Beissinger's concept of state-seeking attitudes and behaviors
Had
readily evinced here.
occurred that would have increased the legitimacy of the Yugoslav the Slovenes
for, say,
who deemed
it
neighbors,"
republics
may
state, especially
unduly burdensome and resented "the flow of
Slovene foreign currency to the federal government southern
is
the sorts of institutional constructions and reconstructions
according to Remington,
in the
form of subsidies
state-seeking
to their
behaviors
in
the
well have stopped short of independence, as has been true thus far for
Quebec. The construction of new
institutions, as well as the reconstruction
of old
ones, by changing the rules of the state so the republics and autonomous provinces
could develop a sense of enduring loyalty to the Yugoslav national identities with
graphed Yugoslavia
which they were
to a different
state that
transcended the
may well have now obtains.
largely coterminous,
outcome than
the
one
that
choreo-
Yet insofar as the "republics and autonomous provinces were largely synony-
mous with
national identities," as
and ethnonational cleavages
Remington points
out,
hand of an imperium could keep them
in check,
and insofar as the national
were such
that divided the country
that only the forceful
perhaps no amount of institutional
tinkering could have saved the Yugoslav state. Increased
autonomy
for the republics
and the autonomous provinces would only have widened the emotive distance already existed between them and the
have exacerbated existing tensions.
state,
And
given the national and ethnonational
so,
may
composition of the republics, the die for independence the international environment
became
that
and decreased autonomy would surely well have been cast once
hospitable to such an outcome. For unlike
Canada, a context that was amenable to muddling through just did not
exist.
Thus
did state-seeking attitudes and behaviors destroy Yugoslavia.
The success of state
where
state-seekers, especially
recognized by the international community,
is
this involves
an independent
contingent on the logic of the
domestic situation, as well as the receptivity of the international community. This
emerges with Harris.
striking clarity in the chapters
by Beissinger, Senn, Remington, and
There are twenty million Kurds, who,
in spite
of deep divisions among, as
Harris calls out, desire to see an independent Kurdistan. Harris' chapter that state-seeking critical
than this
among is
the
makes
plain
Kurds covers Beissinger's spectrum. But even more
the fact that the three states
—
Iraq, Iran,
which the bulk of an independent Kurdistan would have
and Turkey to
—out of
be carved object
32
Global Convulsions
vehemently
any such
to the creation of
and the international community
state,
evinces no disposition to contravene that objection. Thus are the Kurds forced to
employ other paths of state-seeking
On have
short of securing a fully independent state.
the other hand, 1.7 million Slovenes, and 3.675 million Lithuanians each
own
their
independent
This
state.
largely a function of the state of affairs that
is
existed at the time of the disintegration of Yugoslavia and the Soviet Union. In the
case of the former Soviet Union, Beissinger notes that other than Stalin's self-serving decisions about which peoples' deserved
own
their
republics and which
republics, there
no
is
would have
justification for
why
units subordinated to union
peoples with union republics
deserve independence and those without do not. Kazakhstan and Kyrgyz-
were not originally assigned union republican
stan, for instance,
when
USSR
was
status
created, but
were instead autonomous republics
within the Russian Federation.
Had
they not been separated by Stalin into
union republics
doubtful that they would be independent
the
in
1936,
is
it
states today.
An
accident of history, state-seeking behaviors, and the hospitableness of the inter-
national
community
have come
all
conflated to produce independent states which might not
into being otherwise.
As
for the Lithuanians, the "family of nations"
stood ready to receive them, given what was perceived to be the absorption into the Soviet Union.
And
illegality
of their
Slovenia, like Croatia, with strong backing
from a newly reunited Germany, rode the
tide
of unravelling
communism
to full
independence.
Whether
state-seeking attitudes and behaviors end in full independence,
some
variant thereof, or in misadventure, they point ever so compellingly to the allure of
the state.
Still,
state-seeking and state-acquisition are one thing, state-building and
state-maintenance are another. securing taining
it,
it.
difficult
For the
tive in gaining is
though
sorts
Many
this
of those
who
might have been,
seek a state soon find out that
is
easier than building
and main-
of behaviors that might have been both justifiable and effec-
independence often cease
to
be so once the
demonstrated forcefully and convincingly
be particularly distressing personally, for potential to be to Africa
I
in
state
Ake's chapter.
I
have long believed
and the world what Germany
is
to
has been won. This find this chapter to that Nigeria has the
Europe and the planet
in
terms of prestige, influence and power.
Ake
points out "that the colonial state in Nigeria inevitably relied heavily on
force to subjugate the indigenous peoples and to carry out threatening, and induced
them were driven
some of
its
subjects to regard
to traditional solidarity
groups"
it
its
mission. That
as a hostile force.
—some drawn
centers of resistance,
means of
Many
it
of
along ethnic or
national lines, and others structured in the form of clubs or associations
"became
made
—which
self-affirmation against the colonizers'
aggressive de-culturing of the indigenous people, as well as networks for survival."
33
Introduction
Since "[c]olonial rule was cheap rule," utterly lacking a social welfare system, tradi-
were crucial
tional solidarity groups, particularly in the cities,
individuals. Intense loyalties developed around them,
of
as well as group solidarity against the impositions of an
political participation
arbitrary
to the survival
and "[t]hey became vehicles of
and coercive
state."
Where
groups coalesced persons
traditional solidarity
of the same ethnicity in forming "functional safety net[s] in the face of a predatory
and a
state
total
absence of a social welfare system, they effectively displaced the
state as the primary focus of political loyalty."
overcome
Ake makes ism
this day, the
Nigerian state has not
plain that the nationalist
movement
that struggled against colonial-
evolved as a network of ethnic associations and mass organizations."
"initially
And
To
displacement of loyalty.
this
insofar as ethnicity and region were usually linked, regionalized ethnicity
who
provided the foundation for those
Once
the state
was won,
now had
state-seekers
full
evinced state-seeking attitudes and behaviors.
independence having been achieved and recognized,
before them the task of becoming state-builders. But by and
They were unable
large they proved to be wanting.
alized political ethnicity with a nationalized
The
title
and supplant region-
language.
than being an instrument for the
state, rather
thing to be owned. Possessory interests
to transcend
common
common
good, became a
and ethnic
to the state in behalf of regional
became a norm. Replicating
their colonial predecessors, those
who have
controlled the state have failed to build institutions that were recognized as legiti-
mate and could engender the
of most of the populace. Coupled with the
loyalties
absence of a social welfare system, and the continued reliance of large numbers of persons on variations of the old traditional solidarity groups for their sustenance, "[t]he Nigerian state, already displaced
communities,
is
becoming
by ethnic and national groups and
whether civilians or the military have controlled the be," observes Ake,
"it is
of the same
dynamics.
.
.
.
some
or
many
indications,
all
of
its
it is
far
more
Nigerians think
controls
—
a 'public'
its is
apparatuses,
its
only nominally a
They share no
it
is
state has lost the bid to
is it
may
is
as
moments
perceived as an
.
.
.
[Moreover,] by
all
quite proper to appropriate and privatize the
Ake conclude
that "[t]he official Nigerian state
enormous power, and state. It is
no
all
of the resources that
res publica. Its citizens
strong sense of corporate identity, and
must now be pronounced a
do not
do not see
commitment.
failure,
it
constitute the state .
.
.
[And
inasmuch as the
be the repository of the primary loyalty of Nigerians to ethnic
and national groups as well as
what significance
true
it
struggle to appropriate and
all
resources.
as a collective enterprise of overriding importance deserving so,] the state-building project
them
useful to regard
enormous powers and
resources of the state." Thus does for all of
"However tempting
[For both,] the Nigerian state
exploitable resource, a contested terrain where privatize
state.
local
is
not very useful to dichotomize between military rule and
civilian rule in the Nigerian context; political
Ake. This
irrelevant except as a nuisance," says
local
communities."
If
Ake's assessment
both for the Nigerian state and others?
is
correct, of
34
Global Convulsions
absent the guiding hand of an imperium, Nigeria could very well go the
First,
way of Yugoslavia forces at
work
have been created a
China the way of the former Soviet Union),
(or
pull in that direction.
commitment
More and more
states,
for the centrifugal
which now number
thirty,
recognition of the social and ethnic plurality of the society, and
in
to the federal character of the national state.
But insofar as these
serve to reinforce local loyalties counterpoised to the national state
predatory force with enormous power" (see Ake)
—
—"a
they simply reinforce the frag-
mentation of the society. Likewise did the Baltic republics perceive the Soviet and, most perturbing, so too do increasing numbers perceive the American
Second, national institutions that
fail to
states
hostile,
legitimize the state undercut
state,
state.
its integrity.
Herein lay a profound difference between the United States and Nigeria, or the former Soviet Union, Yugoslavia, China, and even Canada for that matter. fraying that
occurring notwithstanding, there
is
the critical national institutions of the
room
to
maneuver
American
of escalating
in the face
is still
This gives the United States
state.
racial
The undeniable
a strong emotive attachment to
and ethnic cleavages
that Nigeria
does not have, and neither the former Soviet Union nor Yugoslavia ever had. Third, perceptions of the state as irrelevant, except as a nuisance, are of the
utmost gravity
in relation to the integrity
extraneous, and
may be gotten
expunged. The more the greater
is
upon by
state is
the likelihood that
it.
its
of the
whatever
rid of;
is
state.
integrity will
macy
are positioned to
of the state. But, in Ake's view, this
one observes the same
troublingly,
mon
United
in the
become
ways
to
feel obliged to
may
it,
befall Nigeria;
it
feel set
erodes the
what obtains
legiti-
in Nigeria,
and
becoming increasingly comno benefits from the its
cost,
state,
and
they
state,
strive to
may have may not
of their perception of the state they
individuals have an obligation to
the obligation
who
is
do something but do
usually fulfilled only grudgingly,
if at all.
A
whereby individuals and groups incur
but
if
they do not feel obliged to
This
is
exactly what befell the former Soviet Union; could very well
it,
state.
Finally,
precisely
increasingly reluctant to pay for
multiply endlessly the rules
obligations to
awaits the
do
and may be
a drain on society's resources
sort of perception
in the context
When
do so."
not feel obliged to state
is
is
circumvent their obligations. Under the rules of the
an obligation to pay, but
irrelevant is
is
irritant,
thus are loyalties eroded.
make use of
States. Perceiving diminishing or
individuals and groups find
who
an
be undermined by those
An extraneous and irritant state is to be shunned;
beneficial only to those
is
perceived as irrelevant except as a nuisance the
Fourth, a widespread perception that the state
and
That which
a nuisance
and even the United States could
and
to
my mind
most important
fall
fulfill
those obligations disaster
victim to
it.
in relation to the
United States, the
expansion of local autonomy with a corollary diminution of central authority, especially
when
this is
accompanied by
unwarranted privilege
at the center,
relentless attacks
on waste, fraud, abuse, and
has the effect of illegitimizing the institutions of
the state and thereby corroding the state itself Federal systems that lack strong, vibrant,
and highly adaptable
institutions are constantly at risk
of ^/^integration.
And
.
Introduction
even a federal system such as the United serve
it
well,
is set at
risk
States, with institutions that
when presumably
settled questions
and legitimate sources of federal authority are reopened, and vexations. Perhaps the most compelling lesson of States, then, is that the
by and large
concerning the legal
eliciting
fearsome quarrels
volume
this
35
for the United
trauma (Nigeria and Canada) and demise (Yugoslavia and the
Soviet Union) of federal systems point to two corollary dangers: an excessive concentration of power, authority, and resources at the center, so that
too intertwined
it is
with the daily lives of the citizenry; and a copious devolution of power, authority and resources from the center, such that
of the populace.
becomes too removed from
it
An old Aristotelian maxim comes
into play here.
the everyday lives
It is
well that states
should strive ceaselessly to strike a sound balance between extremes of too
and too
much
little.
The
timeless
politicians
who
critical costs
Mulroney.
wisdom of
Aristode's admonition
is all
too often unheeded by
seek to advance given agenda. Levine underscores
this in
pointing to
of the conservative agenda of former Canadian Prime Minister Brian
He writes:
Mulroney Conservatives'
attack
on the Canadian
state after
1984
.
.
.
unwittingly helped unleash centrifugal tendencies in the country. Put simply, cutbacks in social programs and, in particular, slashes in transfer
payments
provinces helped lessen the importance of the central
to
government
in the daily lives of
Quebecers (and other Canadians) and
refocused citizens' attention on provincial governments as their primary states. "Fiscal decentralization"
during the Mulroney years resulted in
important expenditure shifts that de-emphasized the centrality of the federal
government
in
Canadian
life.
.
.
Furthermore, the anti-state rhetoric of the Mulroney government depreciated the value of the central government, an approach to political
economy
that
could only enhance nationalists' argument that Ottawa
offered litde of importance to Quebecers.
ment reduced
Each time
Broadcasdng Corporation] or Via
Rail, for
the
— example—
the scope of national institutions
Mulroney govern-
the it
CBC
[Canadian
eliminated
some
of the glue binding together Canada's regions. The Quebec nationalist rhetoric that
"Canada doesn't work anymore," received ample support in Mulroney
the devaluing of the Canadian state that occurred during the
by attacking the state as well as "unloading" social programs on the provinces, Mulroney unwittingly undercut his government's ability years. Thus,
to bridge
Canada's regional/linguistic cleavages.
The relevance and portentousness of Levine's
observations for the United States are
so compelling that no elucidation nor elaboration are needed here. True, the United States does not
now
suffer the sort of linguistic cleavage that continually lurks just
beneath the surface as a threat to the integrity of the Canadian
state.
This could well
36
Global Convulsions
change
in the
years ahead. But
it
my
is
hope
common
that the
language of Abraham
Lincoln and Frederick Douglass, as well as the strength and adaptability of
its
continue to sustain the United States.
institutions, will
Institutions tap old
memories and
new
create
The memories they tap and But not all memories simply handed down by word
ones.
the ones they create help to bridge generations one to another. that link generations are institutional ones.
Many
are
or other sufficient sign generation after generation. These are the transgenerational
memories
that relay
deeds and misdeeds, hopes and
fears, enmities
and friendships,
successes and failures, as well as pleasures and pains of a collective. They shape the live. They mold attitudes They justify conduct. Transgenerational memory is thus a form
legends, customs, norms, and traditions by which a people
and reinforce
beliefs.
of individual and generational immortality, for
and generations
The
live
on
to
do good or
in
it
and through
strength of a generation, an ethnic group, or a nation
abundance
that
each produces but
survive, grow, and develop
hope, induces sacrifice
is
to the
both individuals
is
not the material
capacity to reproduce progeny
its
greater than
—
it
ill.
its
whose
end of the good and well-being not just of this or
individual but of the collective of which s/he
is
—and
a part
intercourse.
lines of
Where
that
fosters the survival of a
culture. In the context of the survival of cultures, transgenerational
draw unyielding
ability to
own. Transgenerational memory kindles
memories can
demarcation between peoples or open paths of crosscultural
memories draw stem
transgenerational
lines
of demarcation
—
as
they do, for example, between the Catholics and Protestants in Northern Ireland, or Israelis
and the Palestinians
in the
—and
Middle East
there are few, if any, insti-
tutions to intersect those lines, conflicts are not readily resolved. Indeed, they
continue for generations, as
Sound Such
is
true both in Northern Ireland
institutions ameliorate the effects of
may
and the Middle East.
bad transgenerational memories.
has been the case in the United States. But defective institutions, or an absence
of institutions, only
compound
the effects of
bad transgenerational memories. The
chapters by Golan, Hallaj, Elliott and Remington are ever so instructive here. Hallaj, for example, writes that "Palestinian-Israeli peace
When
must be understood as a
process of reaching compromises to end a struggle between enemies
who have
compelling reasons to be enemies, not as a process of reconciling estranged lovers,"
he captures with conflict
much
exactitude the
power of
transgenerational
memories
between the two peoples. Their memories of one another are
as lovers. This shapes profoundly the
which they are willing
to trust
Israelis
they perceive each other, and the extent to
one another. In the absence of shared and sound
institutions to ameliorate distrust
memories, the
way
in the
as enemies, not
and suspicions flamed by bad transgenerational
and Palestinians have had
to
employ
truly extraordinary
ingenuity to bridge the differences that have brought them to the point in the peace
process called out by Hallaj and Golan.
Recognizing the effects of the high emotive charge
that attend
bad
trans-
generational memories, both Golan and Hallaj have strived to expand the scope of
37
Introduction
what
is
technical and legal and contract the
domain of germane
sentimental, as they think aloud about matters
And
respective chapters.
so,
that
which
to the
symbolic and
is
peace process
in their
concerning the really thorny matter of the future of
Jerusalem, Hallaj writes: "Even the question of Jerusalem, widely advertised as the
Gordian knot and the obstacle over which peace are
likely to flounder, is not insoluble
.
.
make
efforts to
all .
Israeli-Palestinian
[once t]he problem of
how
to
make
peace becomes essentially a technical one which,
the transition
from belligerency
freed of
emotional burdens, becomes more manageable." Likewise, Golan
its
to
observes: "With regard to Jerusalem, sentiment and symbolism are often stronger
than legalities and technicalities, but
What one
emerges."
it
may
well be through the latter that a solution
discerns here in both Golan and Hallaj
may be
emotions charged by transgenerational memories
a path to outcomes once thought to be unattainable.
is
a formula whereby
assuaged, thereby opening
The same
basic formula
is
applicable to coundess like situations around the world.
Such
is
the emotive
power of
transgenerational
not furnish a desired remembrance,
them by those who wish tional
memory
to
it is
memories
that
where they do
oftentimes manufactured and inserted in
make use of it.
Elliott taps this
in calling attention to the desire
element of transgenera-
of Protestants to secure an "origin
legend" as a counterpoint to that of the Catholics. She notes that "[t]o grow up as a Catholic in Northern Ireland
—
^particularly in
working class areas
—
is
to
grow up
convinced that you occupy the high moral ground, as a descendant of the true Gael,
your ancestors were deprived of
their land
are potent memories, especially the particular
memory,
and persecuted for
memory concerning
their religion."
descent.
These
To counter
Elliott points out that "[t]here is already a search
this
underway
among some Protestants for an equivalent origin legend to that of the Gaels for the Catholics. The argument is that Ulster has always been a distinct nation; that Protestants are not Johnny-come-latelys, but descendants of the ancient Celtic people
of Ulster, the Ulaid, the people of the Ulster Cycle and the heroic Cuchullain
—
the central
theme of which
is
tales
of
the struggle of the Ulster people against
the rest of Ireland." This origin legend provides an alternative "for those arguing for
an independent Ulster against the
territorial
Republic's Constitution. In other words, those of Gaelic stock," says Elliott,
it is
claims over the province the Protestants
who goes on
who
made by
the
are the natives, not
to observe that "[i]t is interesting
that this origin legend should extract similar romantic
views from the past for
incorporation into a future state as the Gaelic revival did for the future Irish notably, a rejection of materialism and an idealization of
life
state,
on the land."
Reason is no match for romance. Transgenerational memories are grounded more in romance than reason. They tend to be the way that those who recollect and make use of them would like them to be. If some memories have little or no foundation
in empirical fact
Thus do Ulster their lead
from
it
matters not so long as their bearers believe they do.
Protestants harbor fears of "'popery,'" since "'Catholics are taking
Rome
and
Rome
is
out to get rid of Protestants,'" and Catholics
Global Convulsions
38
nurse apprehensions about Protestants' desire for "'ascendancy'" over them, says Elliott.
"Originally defined in the eighteenth century to describe exclusive Protestant
rule of Ireland, [ascendancy]
a
new resonance
is
a word
embers of resentment are
embedded
in the Catholic
of the Northern Ireland
after the creation
easily ignited.
little
of transgenerational memory.
It
may
very true
is
the adage:
and the
SDLP and
is to
be found a grave
continue to sustain an enmity and induce
good opportunities
adversaries to continue a fight, missing
acquired
else) against anything savoring of
restored majoritarian Unionist rule," Elliott points out. In this pitfall
It
such memories which unites
It is
Sinn Fein supporters (though they agree on
psyche.
state in 1921,
"The combatants continued the
for
How
cessation.
its
though there was no
fight,
longer a reason to fight."
Bad
transgenerational
memories may be
as important to the survival of a
people and their culture as are good ones. Both
memories are a people's thought, and hopes recorded;
and losses
in
good
fortify the will to persist. In
intelligence, values, pleasant encounters, gains,
bad memories are
their disappointments, fears, tribulations,
recollected. Together, these steel
them against
environment. Grave defeat at a given point in time
is
the vicissitudes of their
often viewed as but a tem-
porary setback where a people are animated by strong transgenerational memories,
which
stretch ever the
more
their horizon
passages that opens Golan 's chapter
1905 that
leader,
the fate of the
"[i]t is
one or the other
who
prevails,"
How
of time.
well
when Neguib Azoury,
Arab and Jewish
which was affirmed
national
in
is this
movements
transgenerational
is
no
alternative but that lives should be lost."
memories
that
gave
rise to these sentiments
The triumph over
makes
value of the handshake between Yasir Arafat and Yitzhak Rabin
all
the symbolic
the
more
pro-
historically.
Still,
tion
to fight until
1936 by Arthur Ruppin, a Zionist
stated that "[i]t is our destiny to be in a state of continual warfare with
the Arabs and there
found
captured in the
a Christian Arab, said in
and
bad transgenerational memories do carry the germs of vengeance,
distrust.
This
is
instantiated ever so plainly
and painfully
in
retribu-
Remington's
observation that "Serbian memories of what happened to the Serbian minority in the last
independent Croatia combined with Croatian fears of Milosevic's hegemonic
ambitions to destroy the fabric of Yugoslav national/ethnic coexistence." generational
memories played no
trans-
role in the fragmentation of Yugoslavia,
little
especially as the obviating effects of
Bad
economic prosperity and
leadership, in the person of President Josip Tito, gave
way
to
strong, unifying
economic
distress
and
leadership woes.
As one
reads the chapters of parts
the undertow of transgenerational
n
and TH of this volume, one discerns clearly
memories
in
the state-seeking attitudes
and
who have strived either for greater autonomy within an existing win their own independent states. They strive for the sake of the right and
behaviors of those state or to
freedom
By
their
potentialities
through their work.
to the generations
and the ages. The
to realize their capacities, capabilities
works are peoples made known
and
39
Introduction
and technology of a people lay bare their sense of space and measure and proportion, value and worth, purpose and achievement, the
literature, art, science,
time,
ephemeral and the enduring. In
and
their literature
a people express their sense of
art
the good, the beautiful, and the ugly; in their science and technology they display their capacity to order
and manipulate nature. In
and
were,
a people, as
art
viduality, It is
it
—
ego, and so forth
their science, technology, literature,
—
make their nature known to the world.
that
character, personality, indi-
is,
interesting to observe here that in Northern Ireland, for example, according
to Elliott "Protestants think they are culturally
more
inclined to the useful scientific
subjects, whilst Catholics prefer 'soft' subjects like history
divide between Catholics and Protestants
is
the one side, and science and technology on the other. In
have come across anything convincing pertaining tures
and
societies in
with those in which
nology contribute
and
art
either strength or superiority.
its
survival
is
all
of
arts."
art
and
my
literature
is
were
abundance,
cultural
I
on
never
to the putative superiority of culin
comparison
stressed. Insofar as science
this
To loop back
The
literature
studies,
which science and technology were emphasized
to material
sentation, if survival
and the
drawn by
thus also
assuredly
to a point
is
and tech-
no ultimate measure of
made much
earlier in this pre-
indeed the ultimate measure of a culture, whatsoever fosters
of value for that culture. In
talk in terms of cultural superiority
and
this context,
it
serves no useful purpose to
cultural inferiority
based on science and
technology, or any other criteria for that matter.
At the end of
the twentieth century, insidious and pernicious fabrications con-
cerning intellectual deficits and cultural lags are abroad. state
of affairs
at the
dominance of Europeans Asians writ large
One
observes the very same
end of the nineteenth century, especially regarding
at the
at the
end of the twentieth century,
been construed by some to mean
race.
in science
and technology has
that "others" are less gifted, and,
by extension,
cultures less well-developed. This sentiment at the nineteenth century's end,
havoc
to untold
century
at the
numbers of
racial, ethnic,
hands of those
The
end of the nineteenth century, and Europeans and
who
and national groupings
their
wrought
in the twentieth
thought they were superior. This pattern could
well be replicated in the twenty-first century, unless the putatively less gifted take the sorts
of action which demonstrate empirically that they possess the wherewithal to
fight
and succeed
Samuel
P. Yette,
in
any arena. Otherwise, the prospect of indeed becoming what
a generation ago, called "obsolete people"^ looms ever the larger.
IV As
a son of the twentieth century, were
should say: the
taint
I
asked what has been
my
inheritance,
I
of genocidal wars; hard barriers of race, ethnicity, and nation-
alism; and pitiful destitution amidst heretofore
unknown abundance. Mine
unique inheritance, for the century has spread out to
all
that
which
I
is
not a
have inherited.
40
Global Convulsions
In this
it
made some
has
cerning their
and
lots,
with hopelessness and despair, others hopeful con-
filled
others just fed up with what they observe around them.
Golan makes use of the concept of "fed-up-ness," which
In her chapter, to
still
I
find
be most intriguing. She observes that "the most salient effect of the [Palestinian]
intifada
was
its
among
stimulation of a certain realism
called 'fed-up-ness.'
It
was
Israelis,
and what might be
standing or perhaps even sympathizing with the Palestinians; nor was tion of their rights.
It
be done." Fed-up-ness, says Golan,
to
it
under-
a recogni-
was, instead, a sense that matters could not continue as they
were. [Where fed-up-ness obtains, muddling through
had
now
a matter of
not, for the general public,
"is
.
.
.
not an option.] Something
is
akin to the feeling of simply
having had enough."
Something must be done
God and
their
God
overcome the absence of a common language. Our
to
cannot continue to separate "us" from "them." Something must
Weak
be done to overcome the effects of bad transgenerational memories.
concerning attainments
institu-
growth and development. Something must be done
tions cannot continue to stifle
in science
and technology, given
on material
their bearing
abundance. The deformation of species being cannot continue to destroy species I
speak here not of the
many
Israelis
societies of the planet
and Palestinians, but of the untold numbers
who feel
that they
have had enough of racial, ethnic, and
national putrefaction, and things cannot continue the
whom,
way
they are. But how, and by
be changed?
shall they
This question
is
beyond the scope of the
cussed in the volume, yet
I
do
introduction, and
feel constrained to offer
Assembly of
the United Nations.
Most of
not really dis-
is
an observation. In 1995
were one hundred and eighty-five countries represented
there
life.
in the
in
the General
these bear a striking family resemblance
—
Ake mentions they are not developed politically, and they are not economically viable. Drawn substantially along racial, ethnonational, and national lines, many of these countries are akin to racial and ethnic enclaves in the United States. And just as the United States will not endure to the
now
thirty states
the erosion of
its
of Nigeria that
institutions
and
superhighway notwithstanding,
common
language by enclaves, the information
manner,
in like
of the world will not persist without a
many of the now independent
common
states
language and well-developed
institutions.
A great task of the
moment,
then,
language that abate the hardening of globally. Fed-up-ness could to act,
be a
is
the building of institutions
racial, ethnic,
vital
stimulus to
what was heretofore presumed
to
and national
this.
lines
For insofar as
be intractable
may
well
and a
common
of demarcation it
impels people
become
tractable.
—
—
Thus fed-up-ness animated by realism, purpose, resolve, and results has within it the seeds of compromise and reconciliation. Out of these could emerge the formation or re-creation of larger states out of a number small ones that now exist, as more and more people come
to
feel
that
nationally only serve to limit their life
cleavages drawn racially, ethnically, and
chances on the planet.
41
Introduction
There
is
assuredly no one-to-one correspondence between the size of a state
and the well-being of
its
people.
Still,
the travails of
many
a small state around the
globe afford one reasons to believe that they might well have been better off had they been incorporated into
now been
some
larger unit.
Hence do
of larger
set for the reconstruction
entities,
I
believe that the stage has
with substantial amounts of
formal power, that hold forth the possibility of transcending narrow
and national boundaries with purposes
that call out that
one species, though divided by the vagaries of geography and There
assuming
will not
that
it
that year there will
new
absorbed by
and
common
be one hundred and eighty-five countries
persists, in the
be far fewer.
Many
is
but
culture. in the
may be more
United Nations,
before then, but by
small states shall have disappeared, either
imperia or integrated into larger entities whereby shared purposes
interests
can be advanced. Thus
and nationalism
ethnicity,
year 2020. There
racial, ethnic,
Homo sapiens sapiens
shall patterns pertaining to race,
in the twenty-first century
be determined.
Notes
1.
B.
F. Skinner,
Beyond Freedom and Dignity (New York: Alfred A. Knopf,
p. 37.
1971)
2.
Ralph
3.
Vincent Harding, There
4.
UNESCO,
Ellison, Invisible
Man (New York:
Vintage Books, 1972),
p. 3.
a River (New York: Vintage Books, 1983), p. 3. Race and Science (New York: Columbia University Press, 1969),
pp. 496-97. Author's
is
italics.
See "Excerpts From the Decision on Justifying Affirmative Action Pro-
5.
grams," The New York Times, June 13, 1995, 6. Ibid., pp.
p.
A8. Author's
italics.
502-5.
7. L. Luca Cavalli-Sforza, Paolo Menozzi, and Alberto Piazza, The History and Geography of Human Genes (Princeton, NJ: Princeton University Press, 1994),
pp. 19-20. Author's
italics.
UNESCO,
8.
L.C. Dunn, "Race and Biology," in
9.
The Milwaukee Journal, February 20, 1995,
p.
op.
cit.
note 4, pp. 263, 298.
Al.
10. Ibid. 11.
By
objective knowledge,
mean hypotheses
I
that
have been subjected
to
rigorous, critical scrutiny involving intersubjective testing and corroboration. See Karl
Popper's Objective Knowledge: Press,
1974);
Scientific 12.
An
Knowledge (New York: Harper & Row Publishers, 1968). Charles L. Stevenson, Facts and Values: Studies in Ethical Analysis (New
Haven and London: Yale University 13.
Evolutionary Approach (Oxford: The Clarendon
and also Popper's Conjectures and Refutations: The Growth of
Press, 1964), p. 7.
See Michael Polanyi, Personal Knowledge: Towards a Post-Critical Phil-
osophy (New York and Evanston: Harper
& Row Publishers,
1964). Polanyi writes:
42
Global Convulsions
We
Knowledge manifested
find Personal
shall
in
probability and of order in the exact sciences, and see
way
extensively in the seurship. this
At
it
on
the descriptive sciences rely
these points the act of
all
the appreciation of
work even more
at
knowing includes an
personal coefficient, which shapes
all
man
can transcend his
own
by
subjectivity
appraisal;
and
knowledge, bridges
factual
doing so the disjunction between subjectivity and objectivity. claim that
and connois-
skills
It
in
implies the
striving passionately
to fulfill his personal obligations to universal standards, (p. 17) 14.
Stevenson, op.
15.
Dunn,
16.
Gordon W.
op.
& Company, Inc., 17.
cit.
note
note 12, p. 8, p.
Allport,
7.
269. Author's
italics.
The Nature of Prejudice (Garden
City,
NY: Doubleday
City,
NY: Doubleday
1958), p. 28.
Who Needs
Sidney M. Willhelm,
& Company, Inc., 18.
cit.
the
Negro? (Garden
1971), p. 2.
"Ottawa: Lincoln's Reply," in Paul
M. Angle,
ed..
The Complete Lincoln-
Douglas Debates of 1858 (Chicago and London: The University of Chicago 1991), p. 117. Author's
19. Cavalli-Sforza, op.
20. Paul R. Ehrlich, Ehrlich, Carl Sagan,
note 7, p. 20.
cit.
'The Biological Consequences of Nuclear War,"
1984), pp. 58-59. Author's
21. Skinner, op.
in Paul R.
Donald Kennedy, and Walter Orr Roberts, The Cold and
Dark: The World After Nuclear War (New York and London:
Company,
Press,
italic.
cit.
note
1, p.
the
W W Norton &
italics.
128.
22. Ibid., p. 136. 23. Ibid., p. 128. 24. Ibid. 25. For an intriguing
and
insightful discussion of
Vodun
in Haitian culture
society, see Patrick Bellegarde-Smith, Haiti: The Breached Citadel (Boulder,
Westview
Press, 1990); concerning
Vodun cosmology
in particular, see pp.
and
CO:
9-22.
26. Ibid., p. 22.
27. Ibid., p. 9. 28.
See the infamous Dred Scott
Civil Rights:
Leading Cases, Derrick
and Company, 1980),
v.
Sandford, 60 U.S. (19 How.) 393 (1857) in
Bell,
Jr.,
ed. (Boston
and Toronto: Litde Brown
p. 6.
29. Time, October 6, 1986, p. 67. This
is
many
a sentiment shared by
in the
society including, perhaps, Hermstein and Murray. 30. Skinner, op.
cit.
31. St. Augustine,
note
1,
p. 35.
The City of God
19.7. Translated
Oates, ed., Basic Writings of Saint Augustine 1948), vol. 2. Author's
italics.
(New
York:
by M. Dods
in
Random House
Whitney
J.
Publishers,
43
Introduction
32. Winston A. Van Home, "Epilogue," in Winston A. Van Home, ed.. Ethnicity and Language (Milwaukee: University of Wisconsin System Institute on Race and Ethnicity, 1987), p. 214.
33.
One cannot
wonder about
but
Tokyo subway system on March and
in
March
which
ten people died
1995, p.
24,
language that
is
—
A4
the extent to
20, 1995
—during
which the the
sarin gas attack
and about 5,500 were injured. The
calls into question the
on the
Monday moming msh
New
hour,
York Times,
expansiveness of the
common
generally presumed to be shared by the Japanese. Since then,
Shoko
Asahara, the leader of the Aum Shinrikyo religious sect which has been charged with responsibility for the attack, has been arrested and, as of this writing in July of 1995, is
awaiting
trial.
"Speech on the Dred Scott Decision,"
34. Frederick Douglass,
Negro Social and
Brotz, ed.,
Basic Books,
Political Thought,
in
Howard
1850-1920 (New York and London:
253.
Inc., 1966), p.
35. "Lincoln at Springfield, June 16, 1858," in Angle, op.
cit.
note 18, p.
2.
The
italics are Lincoln's.
Opening Speech,"
36. "Ottawa: Douglas' 37.
'The
New America,"
U.S.
News
&
in
Angle, op.
38. "Lincoln at Chicago, July 10, 1858," in Angle, op.
One
10, 1995, p. 18.
cit.
note 18, pp. 39, 42.
has here a foundation for the doctrine of "separate but equal," which was consti-
by the Supreme Court
tutionalized
39. "Ottawa: Douglas'
in Plessy
inconsistency between his belief that in favor
of white
by pointing out
that
Ferguson (1896).
v.
Opening Speech,"
the Galesburg debate of October 7, 1858,
was
note 18, pp. 109-10.
cit.
World Report, July
men having
all
in
Angle, op.
cit.
note 18, p. 112. In
Douglas attacked Lincoln for the apparent
men were created equal and
his stand that he
the superior position in society. Lincoln responded
he was mindful of "the necessities
that [sprang]
from the actual
presence of black people" in the society, but were legislation being drawn for "new countries" what he said concerning
all
men
being created equal would stand. See
"Galesburg: Douglas' Opening Speech," and "Galesburg: Lincoln's Reply," Angle, op.
cit.
note 18, pp. 291-94, 299-300.
40. "Baptist
June 21, 1995, acts of evil
p.
Group Votes
to
Repent Stand on Slaves," The
Al. "Further, the resolution
such as slavery from which
we
said,
'We lament and
New
York Times,
repudiate historic
continue to reap a bitter harvest, and
recognize that racism which yet plagues our culture today
is
we
inextricably tied to the
past. "It
asked for 'forgiveness from our African-American brothers and
acknowledging frank, lucid,
that
our
own
41.
stringent than
W
is at
stake'"
(p.
A 13).
sisters,
Here one observes a
and unequivocal recognition of a relation between Christian slavery and
racism in the United States. In
was more
healing
many
important respects, American Christian slavery
Roman pagan
E. B. DuBois,
slavery.
The Souls of Black Folk (New York: The
Library, Inc., 1982), pp. 215-16.
New American
.
.
44
Global Convulsions
42. Will Durant,
Our
Oriental Heritage
(New
& Schuster,
Simon
York:
1954),
p. 197.
43. John
W. Blassingame, The Slave Community (New York and Oxford:
Oxford University
Press, 1979), p. 147.
New
44. '"Living Martyr' Leaves Taped Statement," The 21, 1994, p.
A3.
The New
The red-and-white No. ground, witnesses
20
least
said.
feet into the
dangled there
Dizengoff
at
York Times, October
York Times of October 20, 1994, reported that: 5 bus
The
air,
was rocked so hard that it seemed to leave the away a metal panel that flew at
blast ripped
catching overhead electrical wires as
it fell
and
morning. In one third-story apartment overlooking
all
Hamalka
Esther
blown-out balcony windows flew
Street,
bedroom
across three rooms, scattering across the floor of a
human flesh landed on branches to make sure no body
Pieces of
and
terraces
parts
were
at the
back.
.
.
in trees.
Firemen trimmed
left there.
Rescue workers,
including Orthodox officials from burial societies, sifted through the
wreckage for arms, in clear plastic
legs,
were so overwhelmed 45.
"A
hands
—anything
that they wept. (pp.
fmd
they could
bags so they might be identified
—
Some
later.
^putting
Al, A7)
Seething Hate, a Gun, and 40 Muslims Died," The
February 28, 1994, pp.
Al A6. The ,
them
police officers
New
York Times,
story reads in part:
The doctor, who was well-known to soldiers and settlers, arrived at the Cave of the Patriarchs at about 5:30 [a.m.], entering through a side entrance and passing by soldiers, who did not challenge him. He moved swiftly toward the door of the
mosque, where hundreds of Arabs were
saying their Friday morning prayers in observance of Ramadan, the
Muslim holy month of penance.
Muhammed Abu
Saleh, a guard at the
mosque
door, said that Dr.
Goldstein had demanded to enter, saying he was the duty officer, and that
when Mr. Abu Saleh of his
rifle.
.
objected, the doctor
knocked him down with the but
.
Dr. Goldstein slipped a clip into his assault
rifle,
put on what
witnesses described as protective ear cups to deaden the noise and opened fire
on the Muslims kneeling
The doctor
fired
investigators said. ...
111
As
rows, heads
in tight
bowed
the dead and
wounded
lay
prayer rugs, [some] survivors stampeded for exits
rushed to help the wounded, (pp. 46.
See The
New
headline read: "rabin
gamble'."
to the ground.
rounds from three and a half
on .
.
their .
clips,
.
.
army
blood-soaked
[even as others]
Al A6) ,
York Times, September
14,
1993.
The across-the-page
and arafat seal their accord as clinton applauds 'brave
45
Introduction
47. Joshua 24: 1-2, 15-24, 48.
The King James
Bible.
What
called "God's
I have always found to be most intriguing is not that some people are Chosen People," or "the Elect of God." They simply chose themselves
or elected themselves by their particular construction of the divine.
It is,
rather,
how
they actually got other people to believe that they were chosen or elected, and to
behave towards them as in the context
without treading 49.
if
they were
of earthly gains. in the footsteps
As
—
especially
where there was no quid pro quo
for heavenly gains, surely those could be
of ones
who claim
either to
made
be chosen or elected.
The Random House Dictionary of the English Language: Second Edition
Unabridged (New York: Random House, 1987), 50. Elie Kedourie, Nationalism
(New
p.
1279.
York: Frederick A. Praeger, Publisher,
1962), p. 73. 51.
Samuel
P.
Huntington, Political Order in Changing Societies
(New Haven
and London: Yale University Press, 1968), p. 1. 52. Martin R. Delany, "The Condition, Elevation, Emigration, and Destiny of the Colored People of the United States," in Brotz, op. 53.
For the
distinction
critical
between
to
cit.
note 34, pp. 53-54.
have an obligation and
The Concept of Law (Oxford: Clarendon
obliged, see H. L. A. Hart,
to feel
Press, 1961), pp.
79-88. 54.
Samuel
F. Yette,
The Choice: The Issue of Black Survival In America (New
York: Berkley Medallion Books, 1972),
p. 14.
I
Part I Race, Ethnicity, and Nationalism;
Concepts and Images
I
.
Race and Biology LINDA VIGILANT
You, created only a
The The
Do To To
lower than
little
angels, have crouched too long in
bruising darkness.
not be fear,
wedded
yoked
.
.
forever
eternally
brutishness.
—Maya Angelou The simplest
definition of race that I could construct
would be a group of people
containing physical similarities generally sufficient to distinguish them from other groups. Unfortunately, this definition
is
vague, subjective, circular and ultimately
useless. In fact, the entire concept of race as applied to the
human
species
is
not
The sorting of individuals into discrete categories ignores of all humans and is biologically, and socially, inappropriate.^
scientifically justifiable.
the genetic similarity
no
A problem with a race concept as applied to the human species is that there are meaningful barriers to the interbreeding of individuals of different races. A defined biologically as the total
species
is
share a
common
members of
under natural conditions.^ The term subspecies there are
a group of populations that
gene pool and actually or potentially interbreed with one another
no geographic
is
not a
synonym
for race. In
barriers for the formation of subspecies,
humans
and physical and
genetic variation fails to consistendy distinguish one population from another.^ Races are not subspecies and are therefore not meaningful biological terms.'* Unfortunately,
a need for organizing information often precipitates the use of racial categorization.' I
the
do not include here pictures of people from
wide range of human
different places that demonstrate
appearance (phenotype).
I
believe that to
do so would
perpetuate the erroneous idea that there are biologically significant differences
between peoples. The phenotypic variation so apparent overall,
and our awareness of
it
clearly
biological assessment. People within our
comes from
own
to us is not very significant
societal
racial division
custom rather than
may be
clearly dis-
49
50
Global Convulsions
tinguished, while ones of other groups "all look alike."^ But our awareness of race
generally does not extend to other species, also be said
I can't define
Scientists,
many
may
of which, like chimpanzees,
to contain races7
and
it,
but
know it when I see it
I
others,
have wrestled with theories on race formation for generations.
Nonscientific ideas with wide currency include the idea that races have independent,
pure origins in the
past.
Some
have a black race
interpretations of the Bible
descending from one of Noah's sons.^ Another confused idea imagines human
from brutish animality
history as a climb
farther along than others.'
Always under
biological theories of race are misled
to enlightened reason, with
appreciated, however,
some
the extent to
is
by the environment and
races
which
social class of the
individual.
Ancient racial prejudices found
their first scientific
home
in the
works of
Carolus Linnaeus.'^ In 1758 he not only classified humanity by color, but also
Along with
personality traits."
"great chain of being,"
classificatory
upon which
all
listed
schemes arrived the concept of the
organisms could be arrayed in order of
proximity to heaven. Caucasoids occupied the topmost
human
The
rung.
their
distance
between the rungs was emphasized by the newly emergent theory of polygenism, or separate origin of the races. Thus, scientific racism
was firmly established by
the
mid-eighteenth century.'^
The in the
myth
racial
myth
mid-lSOOs in
race and
of Arthur de Gobineau and others.
which everything of value particularly
War n had its origin He promoted a
that lead directly to the genocide of World
in the writings
its
in
human
history could be attributed to the white
imaginary Aryan branch. This Aryan population was granted
both superior physical and mental capabilities, and was naturally suited to lead the world. Hitler modified these ideas already in existence to create a justification for his
own tyrannies." The notion of
ideal types for
human
mind. The classification proposed by the German physician
1795
still
has a place in the mind of the public.
casian, Mongolian, Ethiopian,
—
out
'"*
American and Malay
Polynesians, Australian Aborigines,
sway
races has long held
etc.,
He
F.
Blumenbach
in
divided humanity into Cau-
races. This
—but
J.
in the general
more
scheme leaves many
detailed
schemes
ulti-
mately collapse because of the impossibility of dividing a polytypic, interbreeding
mass of humanity all
into neat
characteristics to
compartments. Classificatory schemes err
be shared by
all
members of
the
unrelated characteristics.'^ Tracing the frequency of a the geographic cline.
One
physical
trait
may
appear
in
same group, and
trait
expecting in
mixing
over space reveals to one
in a distribution
particular classification scheme, only to be contradicted by other
traits.'"
supporting a
1
Race and Biology
5
The Biology of Race The
found
total genetic variation
that
between
humans
in
species. In fact, the genetic distance
markedly
is
less than in other, older
between human and chimpanzee
is
much
less than
It is
the parti-
sibling species of rodents or of Drosophila (fruit flies). '^
human
tioning of the total
Over amount of genetic
genetic variation that
is
of interest
of race.
in discussions
twenty years ago, Richard C. Lewontin demonstrated that the greatest variability is
found within, and not between,
calculations ask for the probability of finding differences in particular grouping.
differences in
different races.
85 percent of
When
human
amount of genetic
More
For example,
it
two individuals from
asks about the relative chances of finding two the
same
genetic diversity
is
found within
races.''
two individuals of found
it is
And
so,
Europeans, Asians and Africans
DNA polymorphisms by Masatoshi Nei
same
is
The
less than the differences
It
and
of the gene differences between
total
race, but the small inter-race differences
about the time of divergence of the races.
found between
indi-
do provide information
has been estimated that these three major
races were in existence about 50,000 to 100,000 years ago. Thus, racial
differentiation in
The
humans
is
a relatively recent occurrence.^'
humans
basis of the racial characteristics observed in
is
genetic response to variable environments.^^ These biological changes tive,
that about
only a small
diversity actually distinguishes races.
others confirm and extend these findings.^
human
race as opposed to
calculations of this type are performed,
extensive studies of nuclear
viduals of the
races."* Diversity
two individuals within a
and enhance the survivability of a gene pool, or random, and
chance. Adaptive
traits
may
the variable
may be
persist
adap-
merely by
include skin color and B-globin genotype, while blood
group characters previously thought
to
be distributed randomly
adaptive value as well.^^ Racial characteristics in
may have some
humans have a
pattern of con-
tinuous variation, rather than appearing in a few alternate forms. For example, skin
color varies widely, and continuously, around the world. Continuous variation result
of multigenic control of
so a wide range of results
is
traits.^
is
the
A large number of genes determine skin color,
possible.^^
With many exceptions,
lightest skin color
is
found
at
northern latitudes with an
progressive increase in pigmentation along a southward cline.^ There are notable exceptions, however. For example, live in equatorial rain forest,
where the
some of
some
the darkest African populations
intensity of the sun
is
less than in the
open
savanna. Similarly, people of the intensely irradiated Kalahari do not possess very
dark
skins.^^
Migrations
generally there
is
Since exposure to
in the past are likely to
explain
some of the anomalies.^
UV
light also varies with distance
from the equator,
hypothesized that skin color varies as an adaptive response to It is
But,
a correlation between skin color and distance from the equator.
variation in quantities of the
pigment melanin
it
has been
UV exposure.^
that
produces variation
skin color.^ Melanin protects skin from deleterious effects of
UV
light
in
exposure,
52
Global Convulsions
including sunburn and skin cancer.^'
hominids
in
The
amount of time spent by
vast
an important selective force against pigmentation,
it is
light skin.^^
a reasonable question to ask
Given the benefits of darker skin
why
humans do not possess
all
amount of photo-protective melanin. One explanation vitamin-D production
The light.
A
D
is
large
the necessity for efficient
from the equator."
in the sun-starved regions distant
principal source of vitamin
Vitamin
fication.
early
Africa hunting and gathering under intense sunlight would have exerted
D is synthesis in the skin upon exposure to UV
promotes calcium absorption from food and controls bone calciD can lead to rickets, a condition that produces
deficiency of vitamin
malformations of the skeleton.^
Although appealing, there
D
for efficient vitamin
no good evidence for the hypothesis
is
that the
need
production in northern climes leads to the development of
on skin pigmentation, Ashley Robins methodically
lighter skin. In his presentation
shreds the claims for the necessity of lighter skin for vitamin-D production." Rickets is
principally a disease of the industrial age, and
early
humans
that spent
sunlight and the reflection of tissues for
many months
it
would have been unlikely
to affect
most of their time outdoors. Also, even cold winters provide
UV light off the snow. Vitamin D can be stored in fatty
as well.
A newer, more substantiated explanation for the evolution of light skin color in northern latitudes proposes that lighter skin
According
to
Army
data, the incidence
lighter-skinned troops. Frostbite
is less
of frostbite
susceptible to injury by cold.^^
higher in darker- rather than
is
would have had a very
deleterious effect
humans moving northward out of Africa, and an advantage conferred by color could have had a significant selective effect. is
the poorer cold tolerance of Caucasians as
One
compared
upon
early
lighter skin
difficulty for this hypothesis to relatively darker Inuit
and
Amerindians." Clearly, the evolution of varied skin color has been a complicated process with
many
selective pressures
and a wide range of genetic responses.
Hemoglobin is the carrier of oxygen in human red blood cells. The hemoglobin molecule is composed of four polypeptide chains: two alpha chains and two beta chains. The beta globin chain contains 146 amino acids. Variants in beta globin chain compositions exist
One of
the
in
humans, and
most
common
affect the functioning
mutations
is
of the hemoglobin.^*^
a substitution of the amino acid valine
for glutamic acid in position six of the beta globin.^*^ This
properties of the molecule and
is
manifested as sickle
cell
change
alters the
binding
anemia. Individuals with
anemia have a portion of red blood cells that is dysfunctional. Inheritance cell trait from both parents is extremely disadvantageous to the indiwho will then suffer from the disease. However, possession of one gene for
sickle cell
of the sickle vidual,
the sickle cell
trait,
that
is,
to
be heterozygous for the
in certain parts of the world.^' Areas of the world
trait,
may
where the
confer an advantage
trait is
common
include
parts of west and central Africa, southern India, and around the Mediterranean,
where the frequency of the Hemoglobin S
The frequency of this by heterozygotes.
allele is
high because
allele
can range as high as 25
percent."*'
of the resistance to malaria experienced
Race and Biology
53
This dramatic case of single gene interaction with an environmentally selective force resulting in advantage to heterozygotes and great disadvantage to homozygotes is
unusual. Possibly, this
a relatively
is
new
response, arising in the last few thou-
sands of years, as agricultural and herding patterns changed and exposed more populations to malaria/^
For many physical potential realized
humans have a
traits,
demanding of living environments
cally
genetic range of responses, and the
depends upon the environment experienced. One of the most physiis at
high
Nonetheless, people have
altitudes.
occupied areas above three thousand meters, such as the Andes, for
Humans have
centuries.''^
a range of adaptive responses to hypoxia, or low oxygen levels in the
body. Physiological features characteristic of high Andes populations, such as barrel chest or comparatively better resistance to cold, are doubtless
traits
selected for
from
generations of mountain dwellers.'^ However, physiological responses to hypoxia,
such as increased red blood altitudes
moving
cell count,
can be
even
elicited
in adults
to the mountains, just as these traits diminish in
from low
mountain dwellers
who leave for the lowlands.'*^
Misuses of the Biology of Race
The
failure to recognize the
genetic background of
tremendous impact of environment upon the complex
human
variation has led in the past,
poor science. Biological determinism
is
and probably present,
the argument that intrinsic qualities of
to
human
groups produce the social and economic differences manifested between different races, classes
couched
and
sexes."*^
Deterministic studies can be difficult to counter, as they are
in putative scientific objectivity,
and are firmly
Racial prejudice has existed at least since natural hierarchy of
human
Plato.'*'
biological inequality of
and immutability
inferior
races.'**
to
it
For centuries, the idea of a
races and classes has held sway.
Benjamin Franklin, and Abraham Lincoln did not
bility
in line with the prevailing
winds of the day.
political
Thomas
Jefferson,
hesitate to express a belief in the
Biological studies add a depressing note of inevita-
all,
by purporting
were of less intelligence and
to demonstrate that races
deemed
ability.
Before the advent of evolutionary theory, two lines of thinking explained the racial ranking
origin in
of humans.'*^ In one view, monogenism,
Adam
all
humans share a
the races degenerating to different extents,
most
likely
under the influence of
different climates. Polygenism, instead, argues that the races
and
in fact, represent distinct species.
for this argument.
popular
in
single
and Eve. Current social patterns could be explained as the result of
The
interfertility
have separate
origins,
of races presented a difficulty
Polygenism was an idea of American
origin,
and particularly
a nation practicing slavery and forcibly removing the native inhabitants.
Louis Agassiz, a Harvard
naturalist,
was a
stout defender of
polygenism with a
54
Global Convulsions
horror of racial intermixture.^ Yet he amassed no data, unlike the anatomist Samuel
George Morton.
Morton amassed over one thousand
skulls of different races for the purpose of
constructing a hierarchy of races based upon physical characteristics of the brain.^'
He measured of the brain
the it
volume of
the cranial cavity of each skull in order to infer the size
once contained. The
ranked people as follows: Cau-
results neatly
casian, Mongolian, Malay, (native) American, and Ethiopian. Stephen Jay
shown
that
Morton, probably unconsciously, biased
Gould has
measurements and calcula-
his
tions in order to arrive at these socially acceptable results." It is
not true in the matter of brains that bigger
brain size varies with
body
size
and sex." But
in
is
necessarily better; in fact,
brain size must have something to do with intellectual ability.
saw
nineteenth century
ment of the
skull
it was assumed that The second half of the
Morton's time
the development of craniometry, the meticulous measure-
and the brain.^
This field was grounded in the belief that the truth about racial variation
human
through measurement.^^ At the time there was intelligence.
Broca
criticized those
who,
little
Its
and
master
human
exponent, Paul Broca, sought to ascertain the intellectual value of the
and
origins
would emerge from methodical unbiased measurement."
races
doubt of a link between brain size
in his view,
allowed egalitarian views to
influence their science, while being influenced himself by prior, socially acceptable,
conclusions."
Gould has outlined in detail the convoluted path between Broca's exemplary method of data collection and the selective, unconscious manipulation of the data to yield the expected results. ^^ His fundamental error was the assumption that human races could indeed be ranked by intellectual ability. With this as the starting point, it merely remained to bution. Inevitably,
find,
and measure, characters
some of the
that followed the expected distri-
characters did not vary in the expected pattern. Broca
used a variety of ingenious arguments to explain each seemingly anomalous
One of
the
most obvious, and vexing, measurements was
that
result.
of brain
size.
People of Asian origin tended to have brains of surprisingly heavy mass, even surpassing Europeans.^*^ This disappointing result was minimized by instead stressing the importance of a finding of small average brain size in
ment of
large
body
West Africans. The argu-
size correlating with large brain size
finding of larger brain size in
Germans than
was used
in French, but not
to dismiss a
used to explain the
socially acceptable male-female difference in brain mass.'^
The
size of the brain
was not
the only feature
regions of the cortex were believed to be the the posterior of the brain
site
was assigned mundane
deemed
important.
The
anterior
of higher mental functions, while roles in physical function.^'
races possessing a bias towards anterior size or positioning must be superior.
Hence
Many
convoluted arguments were employed to reconcile the results of measurement with expectations.
Broca sought
to rank the
deceased great men.
Some
men of different races, and measure the brains of may have been deemed inferior, but all women
races
— Race and Biology
were
clearly
based upon
subhuman. Broca's support for the
both the smaller brains of
women
natural inferiority of
and a purported increase
A
time.^^
similar brain size in
as evidence that the struggle for existence
passive
women had
in the
male-
difference in
missed out of hand as an explanation for the smaller brains
more
women was
body size was diswomen. The finding of a few male and female prehistoric skulls was interpreted
female difference through evolutionary
a
55
in
had edified and civilized men, while
The difference between men and women, and most of women, was taken as a fact so indisputable that no
stagnated.^^
important the inferiority
analysis of data need even be done.
The concept of recapitulation provided a human races. Extremely popular
attempts to rank
idea proposes that in
its
theoretical underpinning for the in the late nineteenth century, this
development an individual passes through
adult forms.^ Thus, a child of a superior race
would be expected
all its
ancestral
to resemble an adult
of an inferior race. In comparison with a white male child, everyone was inferior
nonwhite
adults, all
women, southern Europeans, Jews, members of lower
and so on. Anatomical data were collected
The
idea
was
classes,
selectively to support these rankings.^^
also popular as a justification for imperialism.^
After almost seventy years, the idea of recapitulation lost favor and was supplanted in the late 1920s by features are those possessed
its
complete opposite, the concept of neoteny.^' Neotenic
by the juveniles of ancestors, but adults of their descen-
Thus the most advanced race would be The data required to support this theory were dants.
promote
recapitulation,
that with the
bom
He
childlike features.
and supporting data were promptly culled.^
In the late nineteenth century, physician Cesare
siology of the
most
exactly the opposite of those used to
Lombroso described
the phy-
criminal and founded the discipline of criminal anthropology.^
claimed, based upon anthropometric data, that criminals are evolutionary
throwbacks. Lombroso also saw a kinship between criminals and races.
inferior,
savage
^"
Despite criticisms, Lombroso's ideas were widely influential, in both science
and
in law. Belief in innate criminality shifted attention
crime and the
life
away fiom
the context of the
history of the individual. Factors such as education, social
standing, or deprivation need not be considered.
Arguments based upon craniometry ministic thinking does not fade
away so
are
now
easily.
a relic of the past. But deter-
The modem
substitute for crani-
ometry, intelligence testing, purports to quantify the innate ability of the brain.'*
Alfred Binet, the parent of intelligence testing, had tried craniometry and been disappointed.'^
were devised
The
tests
he developed
to identify children in
realized that a single
in the early years
number was not enough
intelligence.'^ Nonetheless, within
of the twentieth century
need of additional help to describe
in the
classroom. Binet
something as complex as
twenty years the pervasive misuse of IQ testing
influenced the passage of the Immigration Act of 1924, which severely limited the
number of persons
entering the United States from particular countries."*
56
Global Convulsions
The Stanford-Binet originality.
test
developed
in
1916 rewarded conformity and penalized
Correct answers required knowledge of society's conventions.^^ These
were present in The army tests viewed
IQ
given to 1.75 million World
War
characteristics
the
recruits.'^
intelligence as a single, heritable quality unaffected
by environment.
An
tests
individual's allotment of intelligence
was thought
to destine
I
him
to a particular level of society.
The mass
testing of
13 for the
army
had significant
effects upon social policy in was of an astoundingly low mental age of average white male. This finding was seized upon by eugenists eager to
recruits
One shocking
the United States.^
finding
of the native gene pool by blacks, immigrants from eastern and
curtail the pollution
southern Europe, and the prolific breeding of the dimwitted. Eastern and southern
Europeans were judged the bottom of
be duller than northern Europeans, while blacks scored
to
Some used
all.
at
the results to support segregation and the denial of
educational opportunities to blacks. However, the largest impact of the army test results
was
in
immigration policy.
The Immigration Act of 1924
not only limited immigration, but
it
specifically
targeted countries judged to contain genetically inferior people.^* In the years pre-
ceding World
was severely of the army
were without
War
n, the number of immigrants from southern and eastern Europe
limited, with tragic results for some. Ironically, tests
recognized that both the
tests
by 1930 the developer
and conclusions drawn from them
validity.^
Crime and Heredity It is
unlikely that criminal tendencies are genetically determined.
siveness of the topic
is
marked by
The
social explo-
the inability to even hold a conference to discuss
the ethical implications of investigating a link between heredity and crime.*°
conference in question was entitled "Genetic Factors Implications," and
was
to
have occurred
Maryland. The meeting was
to
which suspended, and one year
in
in
October of 1992
be funded by the National later cancelled, the
The
Crime: Findings, Uses and at the
Institutes
University of
of Health (NIH),
funding after adverse
publicity.*'
Experts involved with the conference have obsened that rather than seek to link crime studies.**-
and genes, there would have been discussion of the
In addition,
would be dwarfed
in
it is
commonly accepted
any genetic
ethics of
traits
any such
linked to crime
importance by environmental conditions promoting criminal
behavior. Instead of protecting
some groups
the genetics of criminality, those
them a
that
disservice. Results
who
in society
from
racist investigations
objected to the conference
of
may have done
from the conference reaffirming the overwhelming
and psychological causation of crime, could well have been valuable
social
in relation to
the articulation, design, and implementation of policies that targeted a given range of socially corrosive inequalities.
Race and Biology
I
57
Wanna Be Me There
is
the
human
to believe in the uniqueness, if not superiority,
of their
a great longing for uniqueness lurking in the
species. People
seem
want
to
members of
family, neighborhood, racial group, religious group, country and, of course, species.
However, evidence of intrinsic, biological superiority
common
is
sorely lacking.
ancestor of chimpanzees and humans
likely lived no more The recency of human origin, a fact still only grudgingly accepted by some members of the scientific community, is almost completely
The
last
than five million years ago.*^
unappreciated by nonscientists. Similarly, findings over the cerning the close interrelatedness of
all
human
racial
last half-century
groups are
still
con-
not appearing in
every college biology classroom.^
The
reception accorded
my own
research has impressed upon
me
the strength
human
of people's (erroneous) convictions regarding race, and the origin of the species. Studies of
human
emphasized the recency of
DNA, a modem human origin
mitochondrial
This work has attracted
Africa.*^
like to describe
it
much
special part of our
genome, have
and placed our point of origin
attention in the popular press,
and
in
would
I
here briefly.
Human MtDNA I
am
by training, investigating molecular variation in the human The molecule in use is mitochondrial DNA (mtDNA), a small genome
a geneticist
species.
separate from our chromosomes. Mitochondria are the organelles responsible for
energy synthesis for
cells,
and contain
for evolutionary studies in part
mode
due
their
own DNA. MtDNA
to its rapid rate
of evolution and unusual
of inheritance.*^
MtDNA evolves
a rate of about 2-4 percent per million years, or 5-10 times
at
more quickly than single-copy nuclear DNA.**^ This enables us events in
human
MtDNA
has an unusual
of our genes.^ This
tion in people today
number of
human
A (figure
to obtain data
about
history that, in terms of evolutionary time, are very recent.
mode of
inheritance.
nally (figure 1.1), without a contribution rest
has been useful
is
transmitted strictly mater-
It is
from the male parent as
useful for evolutionary studies, for
and trace a maternal family
tree
we
is
the case for the
can look
of the past.
When
at varia-
a large
individuals of different woridwide origin are studied, inferences about
evolution
may be made.
phylogenetic tree relating the 1.2)
has several notable
mtDNAs
features.'*''
found
First,
in
contemporary individuals
individuals are not
all
grouped
according to geographic origin, due to the retention of genetic changes occurring far in the past. tree.
The
Second, there
is
a tendency to find
mtDNAs
from Africa
at the root
simplest explanation for the distribution of individuals seen
is
of the
an African
58
Global Convulsions
Mitochondria
Figure
how the
1.1.
Nucleus
The maternal
the nuclear
inheritance of mitochondrial
DNA of the fertilized egg
is
DNA. The
Egg
illustration depicts
provided equally by both parents while
mtDNA is of maternal derivation.
origin for
mtDNA,
with subsequent migration out of Africa. The individual
deepest branchpoint of the tree us
Fertilized
all,
and
is
inevitably called
The term "Eve"
is
is
the
"Eve"
most recent in the
gives to
actually
no reason
any way
special,
merely lucky
mtDNA ancestor
was
random chance over
in existence at the time,
it
is
persisted through
at the
mitochondrial ancestor of
popular press.
quite unfortunate for
served air of uniqueness. There in
common
its
possessor a rather unde-
to believe that the
the generations.
in that her
most recent
mtDNA
lineage
She was not the only female
and indeed our other genes doubtless trace back
to
many
individuals, male and female, of other generations.
Many, judging by
the
sometimes anonymous and often emotional correspon-
dence received, are uneasy with the implications of the
mtDNA
work. The best
known human fossils are millions of years old, and may or may not be ancestors of any of us. The mitochondrial ancestor is linked to all of us be a distance of only ,000 1
generations. All of our racial characteristics have developed in a relatively short space
of time.
Conclusion
Race
is
by definition a biological
entity, yet
it
has no true justification in biology.
The
need to organize information makes the use of racial terms too often unavoidable. The author of a recent monograph on
human pigmentation had
to regretfully
make use of
Race and Biology
•
•••
Figure
A
1.2.
00*00
•
hypothetical tree presenting relationships
contemporary humans. Filled
empty
circles represent
common
circles indicate
59
o o
among mtDNAs found
mtDNA types
in
of African origin, while
non- African types. The arrow points to the most recent
ancestor of all types depicted.
the racial terms Caucasoid, Mongoloid, Negroid, and so on, while admitting to the
lack of biological validity to such classificatory schemes.^
Society at this time
by
race, or
culture and
still
pays a great deal of attention to classification, whether
under the guise of ethnic group. The category of ethnic groups invokes
moves
yet further from any purported biological justification.^'
recent U.S. census, in 1990,
became tangled
in questions
The most
of racial background and
ethnic self-designation.^
The U.S. census contained
four basic categories: white, black, American Indian/
Alaskan Native, and Asian/Pacific category.
Many
Islander.
Ten million people checked the "other"
of these people were determined to be Hispanic, which has been an
ethnic category (since 1970) not a race (as before 1930).
groups I
in
and out of racial groups,
am
overall, resembles a tale
The movements of from Lewis
ethnic
Carroll.
unsure whether racial categories will continue to fractionate, under the
pressures of ethnic group pride and affirmative action opportunities, or amalgamate into groups.
Some
respondents with parents of different races describe themselves as
"mixed," a conclusion perhaps cribing
at
once both
most of the residents of this and other
less precise
countries.^^
and more accurate
in des-
.
60
Global Convulsions
Notes
1
Douglas
.
J.
Futuyma, Evolutionary Biology (Sunderland,
in
Maria
R
MA:
Sinauer Asso-
Paul R. Spickard, "The Illogic of American Racial Categories,"
ciates, 1986), p. 109;
Root, ed.. Racially Mixed People in America (Newbury Park: Sage
Publications, 1991), p. 18. 2.
Futuyma, op.
the Species 3.
note
cit.
1, p.
Ill; Ernst
(New York: Columbia University
Mayer, Systematics and the Origin of
Press, 1942), p. 111.
Alice Littlefield, Leonard Lieberman, and Larry T. Reynolds, "Redefining
Race: The Potential Demise of a Concept
in Physical
Anthropology," Current
Anthropology 23 (1982): 641-55. 4. Edward O. Wilson and W. L. Brown, "The Subspecies Concept and its Taxonomic Application," Systematic Zoology 22 (1953): 97-1 1 1 5. Ashley H. Robins, Biological Perspectives on Human Pigmentation (Cambridge: Cambridge University Press, 1991), p. xi. 6.
Richard C. Lewontin,
Human
Diversity (San Francisco:
W.H. Freeman,
1982), p. 7.
(New
7.
Jared Diamond, The Third Chimpanzee
8.
Robins, op.
9.
James C. King, The Biology of Race (Berkeley: University of California
York: Harper Collins, 1992),
p. 8. cit.
note
5, p. 166.
Press, 1981), p. 111. 10. Spickard, op. cit. note 1, p. 13. 11.
Robins, op.
cit.
note 5, p. 171.
12. Ibid., p. 172.
13. Ibid. 14.
King, op.
15.
Stephen Molnar,
cit.
note 9, p. 111.
Human
Variation
(Englewood
Cliffs: Prentice Hall, 1992),
p. 20.
16. Ibid., p.
208.
17.
Futuyma, op.
18.
Richard C. Lewontin, "The Apportionment of
cit.
note
1,
p.
510.
Human
Diversity," Evolu-
tionary Biology 6 (1972): 381-98. 19.
Lewontin, op.
cit.
note
20. Masatoshi Nei and
6, p. 120.
Arun Roychoudhury, "Gene Differences Between Cau-
casian, Negro, and Japanese Populations," Science 177 (1972): 434-36.
21.
Futuyma, op.
22. Molnar, op.
cit.
cit.
note
1,
p.
522.
note 15, p. 3; Lewontin, op.
23. Molnar, ibid., p. 223. 24.
Futuyma, op.
25. Robins, op.
cit.
cit.
26. Ibid., p. 187.
note
note
1,
p. 44.
5, p. 22.
cit.
note 7, p. 65.
Race and Biology
27. King, op.
cit.
61
note 9, p. 140.
28. Ibid., p. 141. 29. Robins, op.
cit.
note
5, p. 189.
30. Ibid., p. 3. 31. Ibid., p. 59. 32. Ibid., p. 189. 33. Ibid., p. 200.
34. Ibid., pp. 197-200. 35. Ibid., pp. 202-8. 36. Ibid., p. 209. 37. Ibid., p. 210. 38. Lewontin, op. 39. Molnar, op.
cit.
cit.
note
6, p. 30.
note 15, p. 106.
40. Ibid., p. 105. 41. Ibid., p. 108; Lewontin, op.
cit.
note
6, p. 29.
42. Molnar, ibid., p. 239. 43. Ibid., p. 215. 44. Ibid., pp. 220-23.
45. Lewontin, op.
cit.
note 6, p. 16.
46. Stephen Jay Gould,
1981),
The Mismeasure of Man (New York: W. W. Norton,
p 20.
47. Ibid., p. 19. 48. Ibid., p. 35. 49. Ibid., p. 39. 50. Ibid., p. 43. 51. Ibid., p. 50. 52. Ibid., p. 54.
53. Ibid., pp. 61-62. 54. Ibid., p. 74. 55. Molnar, op.
cit.
note 15,
56. Ibid., p. 14; Gould, op. 57. Gould, ibid., p. 84. 58. Ibid., pp. 85-105. 59. Ibid., p. 87.
60. Ibid.,
p 104.
61. Ibid.,
p 97.
62. Ibid.,
p 103.
63. Ibid.,
p 104.
64. Ibid.,
p 114.
65. Ibid., p
116.
66. Ibid., p
118.
67. Ibid.,
119.
p
p. 16.
cit.
note 46, p. 85.
..
62
Global Convulsions
68. Ibid., p. 120. 69. Ibid., p. 123. 70. Ibid., p. 125. 71. Lewontin, op.
cit.
Maddox, "How
note 6, p. 92; John
to Publish the
Unpal-
Nature 358 (1992): 187.
atable,"
72. Gould, op.
note 46, p. 149.
cit.
73. Ibid., p. 151. 74. Ibid., p. 157. 75. Lewontin, op. 76. Gould, op.
cit.
cit.
note
note 46,
6, p. 93. p. 194.
77. Ibid., pp. 196-99. 78. Ibid., p. 232.
79. Ibid., p. 233. 80. Daniel
Genes," The
New
Coleman, "New Storm Brews on Whether Crime has Roots York Times, September 15, 1992,
Christopher Anderson,
81
"NIH Under
Fire,
p.
in
CI.
Freezes Grant for Conference on
Genetics and Crime," Science 358 (1992): 357. 82.
Coleman, op.
cit.
83. Satoshi Horai,
Takafumi
note 80.
Yoko
Satta,
Ishida, Seiji Hayashi,
Revealed by Mitochondrial
Kenji Hayasaka,
Rumi Kondo,
and Naoyuki Takahata, "Man's Place
DNA Genealogy,"
Tadashi Inoue, in
Hominoidea
Journal of Molecular Evolution 35
(1992): 32-43. 84.
Leonard Lieberman, Raymond E. Hampton, Alice
Hallead, "Race in Biology and Anthropology:
A
Littlefield,
and Glen
Study of College Texts and Pro-
of Research in Science Teaching 29 (1992): 301-21. Rebecca L. Cann, Mark Stoneking, and Allan C. Wilson, "Mitochondrial
fessors," Journal
85.
DNA and Human Evolution," Nature 325 king,
(1987): 31-36; Linda Vigilant,
Mark
Stone-
Henry Harpending, Kristen Hawkes, and Allan C. Wilson, "African Populations
and the Evolution of Human Mitochondrial 86. Allan C. Wilson,
DNA," Science 253
Rebecca L. Cann, Steven M.
Carr,
(1991): 1503-7.
Matthew George, Ulf B.
M. Helm-Bychowski, Russel G. Higuchi, Steven R. Palumbi, Richard D. Sage, and Mark Stoneking, "Mitochondrial DNA and
Gyllensten, Kathleen
Ellen
M.
Two
Perspectives on Evolutionary Genetics," Biological Journal of the Linnaen
Society^
Prager,
26 i\9S5): 315^00.
87. Ibid. 88. Ibid.
89.
Cann
et al., op. cit. note 85; Vigilant et
90. Robins, op.
cit.
91 Lieberman et
note 5, p.
al.,
op.
cit.
Apn\
25, 1993, p.
cit.
cit.
note 85.
Confounds the Census," The
A3.
93. Ibid.; Spickard, op.
op.
note 84.
92. Felicity Barringer, "Ethnic Pride
Times,
a!.,
xii.
note
1,
p. 22.
New
York
The Bell Curve A Cross-Century Tradition Concerning Race and Intellect WINSTON A. VAN HORNE
Tradition
is
a wellspring of
human
From it issues forth sentiments, beliefs, down by speech, writing or other suffi-
life.
customs, mores, and norms that are handed cient signs
from generation
to generation. Long-established
ways of thinking and/or
acting ground tradition, which shapes the contours of conscious and unconscious, as
well as rational and irrational behavior. tion inhere the best
sapiens.
Through
it,
It
also
is
shaped by these behaviors. In
and the worst of the thought and conduct of
Homo
tradi-
sapiens
guideposts of acceptability and the pathways of permissibility are
made known, whereby individuals are inclined to behave in ways better or worse, when judged against standards of human decency.
make them
that
A tradition that has drawn determinate contours of life in the United States, with searing social effect,
is
racism.
impulses that radiate from society.
They
find expression in articulate, conceptual discourse
inarticulate, discursive diatribe.
Curve
is
The conscious and unconscious, rational and irrational a commonplace in the everyday life of the
this tradition are
masked behind
Richard
articulate,
J.
in
to the mid-sixteenth century
less than in
conceptual discourse, though steeped in an
familiar racialist tradition. Before discussing
back
no
Hermstein's and Charles Murray's The Bell
The
Bell
when Englishmen
Curve direcdy,
first
made
it is
all
too
well to arc
contact with Africans,
order to provide an historical context for the racialist tradition that envelops the
book, in particular, and American society in general.
I*
In his
now
classic
work The White Man's Burden, Winthrop D. Jordan observes
"Englishmen found the peoples of Africa very
different
that
from themselves. 'Negroes*
63
64
Global Convulsions
looked different to Englishmen; of people.'"
It
is
initial
were not without
that Africans
form and substance of the Africans'
I
all
proper to note here that in their
Englishmen observed
Englishmen
was un-Christian; their manner of seemed to be a particularly libidinous sort
their religion
was anything but English; they
living
contact with Africans,
religion;
was
it
just that the
from Christianity with which
religion differed
v^cre familiar.
should like to stress the term familiar. At the very outset of their interactions
with Africans, Englishmen imputed to the unfamiliar countenance and behaviors of Africans
of wretchedness out of
all sorts
their
lack of understanding, and cultural chauvinism.
own myopia, ignorance, arrogance, Many an European has mindlessly
imitated the English in this regard.
was color
Still, it
that
most engaged Englishmen
notes that "[f]or Englishmen,
the
most
in relation to Africans. Jordan
arresting
characteristic
discovered African was his color. Travelers rarely failed to
when on
of the newly
comment upon
indeed
it;
moved
describing Africans they frequendy began with complexion and then
to dress (or, as they saw, lack of
it)
and manners."^ What was
African's complexion that so arrested Englishmen?
it
about the
blackness. Jordan writes that
Its
"Englishmen actually described Negroes as black''^ Given the powerful impact
upon Englishmen,
the black color of Africans had
What were
fitting
it is
the cultural cognates of the term black into
socialized? Again, Jordan
helpful.
is
He
"No
observes:
and proper
that
to ask:
which Englishmen were other color except white
conveyed so much emotional meaning. As described by the Oxford English Dictionary, the
with
meaning of black before the
dirt; soiled, dirty, foul.
.
.
.
sixteenth century included, 'Deeply stained
Having dark or deadly purposes, malignant; per-
taining to death, deadly; baneful, disastrous, sinister. horrible, wicked.
.
.
.
was an emotionally
.
.
.
Foul, iniquitous, atrocious,
Indicating disgrace, censure, liability to punishment, etc' Black
partisan color, the
handmaid and symbol of baseness and
evil,
a
sign of danger and repulsion."^
Jordan continues, "[e]mbedded in the concept of blackness was
—
site
whiteness.
No
other colors so clearly implied opposition.
connoted purity and ugliness, beneficence
filthiness, virginity
and
evil,
God and
and
sin, virtue
mented by
red, the color of perfect
Negro was
ugly,
.
.
its
direct
oppo-
White and black
and baseness, beauty and
the devil. Whiteness, moreover, carried a
special significance for Elizabethan Englishmen:
contrast, the
.
human
it
was, particularly
when compleBy
beauty, especially female beauty. ...
by reason of
his [black] color
and also
his 'horrid
Curies' and 'disfigured' lips and nose."^ I
have cited Jordan
at
some
length because his observations afford critical
insights into the rise of a racialist tradition in colonial America/the United States.
Given
its
British origins, the
dominance of the English
powerful emotive charge attached to color empirically inescapable that color would
in the
come
society. Insofar as the English conflated color
to
in colonial
America, and the
psyches of Englishmen,
it
was
permeate the culture of American
and race
in relation to
themselves and
The Bell Curve
Roger Taney simply expressed with
Africans, Chief Justice
65
stark forthrightness
sentiments pertaining to racial superiority and inferiority, carried transgenerationally
when he wrote
in the culture,
in the
infamous Dred Scott decision that neither the
Declaration of Independence nor the Constitution embraced the African in the United States
—
regardless of whether s/he
was enslaved or free. Moreover,
said Taney, blacks
"had for more than a century before been regarded as beings of an
and
inferior order,
altogether unfit to associate with the white race, either in social or political relations;
and so
had no
far inferior, that they
respect.
.
.
.
This opinion was
of the white race.
was regarded
It
which the white man was bound
rights
to
time fixed and universal in the civilized portion
at that
as an
axiom
in
morals as well as
in politics,
which
no one thought of disputing, or supposed to be open to dispute.^ There are those
who have
quarrelled with Taney's observation concerning the
axiomatic assumption of moral and political inferiority in relation to black people. Still,
no
less
an intractable foe of slavery than Harriet Beecher Stowe, of Uncle
Tom's Cabin fame, believed that though slavery was morally wrong, a hard boundary of demarcation along the color-line would continually separate blacks and whites, with blacks being the social inferiors of whites.
And Abraham Lincoln,
in the first
of
seven truly historic debates with Stephen Douglas between August 21 and October 15,
1858 (one of the seminal events of the decade prior to the Civil War) observed:
"I will say here
.
.
.
[that] I
have no purpose
between the white and black
which
my
in
judgment
races.
[that
in
I
my
intellectual
and social equality
a physical difference between the two,
I,
as well as
Judge Douglas,
belong, having the superior position. ...
blacks are] not
moral or
to introduce political
is
will probably forever forbid their living together
footing of perfect equality, and ...
race to which
There
equal in
many
respects
I
—
am
certainly not in color, perhaps not
endowment."^
by observing:
a physical difference between the white and black races which
is
two races
will for ever forbid the
equality.
And inasmuch
in favor
living together
on terms of
as they cannot so live, while they
must be the position of superior and
am
inferior,
and
I
as
much
social
with a group of black
need not discuss, but
believe
political
there
as any other [white]
man
men at the White House after he had become president, we are different races. We have between us a broader dif-
this physical difference is a great
broad continent, not a single
[0]n
this
man
of ours. ... to
I
cannot
alter
it
if I
—
man
of your race
would. ...
be separated.'"^ What
himself unable to alter? blacks,
I
do remain together
ference than exists between almost any other two races. Whether
therefore,
and
of having the superior position assigned to the white race."^ And meeting
Lincoln said: "You and
I
of the
agree with Judge Douglas
In the third debate Lincoln reinforced the aforementioned points
"[T]here
upon the
in favor
is
It is
a
it is
right or
wrong
disadvantage to us both. is
fact.
made .
.
.
.
.
.
the equal of a single
It is
better for us both,
the empirical fact that Lincoln perceives
the social, political, moral, and intellectual inferiority of
which emanate from a physical difference grounded
in
color
Lincoln's stance concerning white superiority, and his sentiment pertaining to the moral and intellectual inferiority of blacks, merely echoes
Thomas
Jefferson's
— Global Convulsions
66
belief that "[i]n general, [blacks] appear to participate tion.
.
.
.
Comparing them by
me
appears to
much
their faculties
memory
[,says Jefferson,] that in
inferior, as I think
full
it
one could scarcely be found capable of tracing and comin
imagination they are dull,
and anomalous."^"
The moral found
in sensation than reflec-
they are equal to whites; in reason
prehending the investigations of Euclid; and that tasteless,
more
of memory, reason, and imagination,
who
vulgarity of Jefferson saying that a black person could scarcely be
could trace and comprehend the investigations of Euclid, when he
knew
well the stringency of state-imposed sanctions against black people receiving
even the barest trace of an education,
What
is critical
to call out
is
is
so stark that no
comment
is
needed here.
the presumption of white aesthetic, moral, and intel-
and
lectual superiority vis-a-vis blacks,
all
others for that matter, that coursed the
culture and society of colonial America/the United States through the Civil to persist after the Reconstruction
War was
of the Union. The nineteenth century was to close
with the revalidation of the archetype of white superiority in the Supreme Court's Plessy
V.
Ferguson decision of 1896, which constitutionalized Jim Crow
United States through the cunning
—one might even say
—
fraudulent
"separate but equal." Indeed, Justice Henry Billings Brown,
was
to observe that "[i]f
one race be
the United States cannot put
who
wrote the decision,
inferior to the other socially, the Constitution of
them upon the same plane."" And where
does obtain, such could not pertain to "the white race, [which] acquiesce
The tightly
free
[to]
.
.
.
inferiority
would not
a badge of [racial] inferiority."^^
twentieth century
was
open with the cocoon of
to
racial inferiority
over blacks, and close with the unrelenting struggle of black people
from
it.
in the
doctrine of
But the
full
proven to be a task of
and complete shedding of the cocoon of racial truly
monumental proportions,
for
it
chips
drawn
to break
inferiority has
away
the very
foundations of white racial and cultural hegemony. In the twentieth century, the beneficiaries of racial inheritance iority,
which
—
carried in the tradition of archetypal white super-
Jefferson, Lincoln, Taney,
and Brown symbolized ever so potently
have fought just as hard, through a range of direct and indirect measures, to assure the persistence of racial advantage.
It is
in this context that
The Bell Curve must be
evaluated.
n The Bell Curve, anchored securely
in the tradition that
has been just called out, rooms
most comfortably with Arthur de Gobineau's The Inequality of the Races (1854) and Charles Carroll's "TTie Negro a Beast"; or, "in the Image of God" (1900). De Gobineau has the dubious and Carroll
distinction of being the father of
was one of Jim Crow's
clarion voices.
modem
racialist theories,
What, then, are the fundainental,
unifying themes of the volumes just mentioned regarding black people?
The Bell Curve
67
Like Jefferson and Lincoln before them, de Gobineau, Carroll, Hermstein and
Murray
posit an intelligence
gap, de Gobineau writes:
gap between blacks and
"Do
men
all
of intellectual development? ... civilize the negro,
and manages
If
it is
to transmit to the mulatto only very
—
in that case,
I
am
sphere [of
life].
.
.
.
The
gulf
"The negro possesses the
foot, articulate speech,
low order of his mentality is
far too
own
nearer than their father's to
little
and
erect
is withall,
a tool-
him
for the
making, tool-handling animal. These characteristics pre-eminently position of servant, while the
his
cannot really
right in saying that the different races
are unequal in intelligence.'"^ Carroll observes:
hand and
few of
woman
and a white
understand anything better than a hybrid culture, a
posture, a well-developed
power
admitted that the European cannot hope to
characteristics; if the children of a mulatto
the ideas of the white race,
whites. Regarding this putative
possess in an equal degree an unlimited
disqualifies
fit
him
for a higher
wide and deep, which separates between the
mental indolence and incapacity of the negro, which accomplishes nothing, and the flashing intellect, the resdess energy, and the indomitable courage of the white,
which enables him
Murray
to discover, conquer,
"Do Blacks Score
ask:
and develop continents. '""* Hermstein and
Differently
from Whites on Standardized Tests of American
Cognitive Ability? If the samples are chosen to be representative of the
known
population, the answer has been yes for every
meets basic psychometric standards of
reliability
Black-White Difference? The usual answer to In discussing
white
mean
IQ
tests, for
as 100,
this
example, the black
Resonating through the passages just cited
of cognitive ability that
validity.
question
mean
and the standard deviation as
nitive deficit of blacks.
and
test
is
is
.
.
.
How
large Is the
one standard deviation.
commonly given
as 85, the
15."'^ is
the intellectual inferiority or cog-
Given the conceptual and empirical significance of cognitive
what may loosely be called the progress of wo' mankind, one From whence comes the supposed transgenerational cognitive
ability in relation to
perforce must ask: deficit
of black people? Again one turns to the quadrumvirate of de Gobineau,
Carroll,
Hermstein and Murray.
De Gobineau will
observes:
'The animal
stamped on the negro from
pelvis, is
always
move
birth,
character, that appears in the shape of the
and foreshadows his destiny. His
within a very narrow circle.
behind his low receding brow, powerful energy, however crude
in the its
He
is
middle of his
not
however a mere
skull,
we can
Many
unknown
of his senses, especially
to the other
see signs of a
objects. If his mental faculties are dull or
non-existent, he often has an intensity of desire, and so of will, terrible.
intellect
brute, for
taste
and smell, are developed
two races ... the yellow and the
even
which may be called to an extent
white."'^ Carroll notes that
"diminutive brain weights, carrying with them a corresponding diminution of
intelli-
gence"'^ are a defining attribute of blacks. Referring to a study done by Sanford B.
Hunt on
the brain weights of white soldiers and black soldiers at the time of the Civil
War, which found the weights to be 1424 grammes and 1331 grammes respectively, Carroll calls out the diminished intelligence of blacks.
He
goes on to observe that
68
Global Convulsions
and
this
all
other "scientific investigation of the subject proves the
Negro
be an
to
ape; and simply stands at the head of the ape family, as the lion stands at the head of the cat family.
must lead any
.
.
.
And we mind
rational
feel assured that a careful consideration
of
this subject
to decide that the White, with his exalted physical
and
mental characters, and the Negro, with his ape-like physical and mental characters, are not the
follows
made
same progeny of one primitive pair." He continues: "This being true, it White was created 'in the image of God,' then the Negro was some other model. And a glance at the Negro indicates the model; his
that, if the
after
very appearance suggests the ape."'*
Concerning the intelligence gap or cognitive whites, Hermstein and
Murray note
that
it
of blacks in relation to
deficit
cannot be wholly explained by social and
environmental considerations. They observe that "whites are characteristically stronger than blacks on subtests involving spatial-perceptual
memory, both of which involve
retention
and
retrieval
blacks are
ability,
characteristically stronger than whites in subtests such as arithmetic
and immediate
of information."'^ (Jefferson's
remarks concerning memory, reason, and imagination should resonate loudly here.) This difference, along with a host of others pertaining to cognitive result of biased tests in the ordinary sense of the term.
[It]
may
ability, is
well include
"not the
some
(as
unknown) genetic component, but nothing suggests that [it is] entirely genetic."^ The term entirely is critical here. It plays the customary role of a hedge word. The yet
cognitive deficit of blacks
This
may
not be entirely genetic but
the only sound conceptual inference that can be
is
Hermstein and Murray
—assuming
that they
at least partially so.
it is
drawn from the language of
do not play Alice
in
Wonderland with
the use of words.
And Carroll,
comes the
so,
God and
nature afford the racist answers adduced by de Gobineau,
Murray and Hermstein
them
to a question that unites
the transgenerational cognitive deficit of black people?
view "that between some human races and the
From whence
all:
De Gobineau
larger apes there
is
rejects
only a slight
difference of degree, and none of kind [a belief shared by Carroll, as] an insult to
humanity, [though
it is
his conviction] that
human
races are unequal."^' Hermstein
and Murray share de Gobineau's sentiment pertaining races
—
they prefer to speak of ethnic groups
differences in cognitive ability.
They do not
—
dirty
at
to the inequality
least
in
relation
of the
to putative
themselves with Carroll's diatribe
concerning whites being God-like, and blacks being ape-like. Yet, intriguingly, insofar as intelligence and cognitive ability ground the fields of is
equipped, and the spheres of
come mighty It is
life
work
for
which one
properly open to one, Murray and Hermstein
close to Carroll.
Carroll's belief that "scientific research demonstrates that [the white]
whom God designed, descended
to savagery.
White, becomes
'a
man,
equipped, and clothed with authority to subdue the earth, never
On
the other hand, the Negro,
mere wanderer
in the
upon the spontaneous products of
when
uncontrolled by the
woods,' and like any other animal, subsists
the earth, and the proceeds of the chase. This
The Bell Curve
indicates that the natural relation
and servant.
.
.
.
between the White and the Negro
White
the creature
is
whom God
designed to perform the manual
Gobineau, blacks lack the
intellect to
fill
whom de
true also for
is
a variety of societal roles. Cognitive deficit
One
finds in Hermstein
similarity.
"Inasmuch as cognitive
ask:
the creature
is
For Carroll, as
labor."^^
chances, and their proper place in society.
life
and Murray a remarkable
They
of master
designed should perform the
mental labor necessary to subdue the earth; and that the Negro
delimits their
that
[The] mass of scriptural and scientific evidence clearly indicates that
the pure-blooded
God
is
69
job performance and as
ability is related to
minority workers[, especially blacks,] are entering professions with lower ability distributions than whites,
is
there evidence of lower average performance for
minority workers than for whites?"^^ Calling attention to affirmative action, for
example, they observe that "the same degree
may
not have the
same meaning
blacks. Latinos, and whites in terms of cognitive ability. ... In the
NLS Y
for
[National
Longitudinal Survey of Youth], the black- white differences for every educational
from high school diploma
level,
difference of
1
.2
to Ph.D., are large, with the smallest being a
standard deviations."^ Given these differences in cognitive
and given the correspondence between cognitive "[p]art of the reason
.
.
.
that
employers hire blacks and whites of differing cognitive
[may be] because of pressures brought on them by government
ability
ability,
and job performance,
ability
policies
regarding representation of minority groups. Without such pressures and in a raceblind labor market, blacks and whites should be equal in those
on the
predict performance ities, if
job."^^
Absent governmental pressures
traits that
to hire
best
minor-
a disproportion were to obtain between blacks and whites in job categories
that are cognitively
"'correcting'
it
demanding, such disproportion would be
—making
it
proportional
—may
[well]
fair,
and attempts
at
produce unfairness along
with equal representation."^
Like de Gobineau and Carroll before them, Murray and Hermstein perceive the majority of blacks to
fit
most neatly
into societal roles that
do not make weighty
cognitive demands. Indeed, one observes in their text that of the approximately thirty million blacks in the society as of 1990, only 100,000, or 0.33 of
"Class dull],
I
of
[their] five
cognitive classes [Very bright, Bright, Normal, Dull, Very
IQ plays
for
Hermstein and Murray the very same pseudo-scientific role
that the since long-discredited brain
weight did for Carroll
teenth century, namely, providing an anchor for a
blacks and whites.
And
so, the sort
inequality of the races that
they
percent, fall into
with IQs of 125 or higher."^^ In a very real sense, at the end of the twentieth
century,
found
1
in
at the close
intelligence
of the nine-
gap between
of racial stratification grounded in the putative
one observes
Hermstein and Murray,
presumed
in
who decry
de Gobineau and Carroll, also can be
antidiscrimination laws that sunder what
deem to be the proper relation between cognitive ability and societal role. The societal costs of cognitive deficit are profound, the quadrumvirate believe.
De Gobineau
informs us that "[m]ankind
is
.
.
.
divided into unlike and unequal
70
Global Convulsions
parts, or rather into a series
differences of intellect. [and]
none can
.
.
.
of categories, arranged, one above the other, according to [Moreover],
exist without
its
help,
white peoples in the whole field of only
that this It is
so far as
[in]
group
it
.
civilizations derive
intellect,
.
.
from the white
immense
[given the]
.
and a society
.
is
race,
superiority of the
and
great
preserves the blood of the noble group that created
brilliant
provided
it,
belongs to the most illustrious [white] branch of our species."^
itself
de Gobineau's belief
that civilizations
dominance through what he strictly
all
.
calls "the
speaking, blood does not mix.)
have been degraded by the loss of white
(We know today
mixture of blood."^^
He
that,
notes that "[t]he small have been raised
[through the mixture of blood]. Unfortunately, the great have been lowered by the
same
process; and this
men
mediocre
is
an evil that nothing can balance or
bom
is
.
.
[W]hen
.
.
.
a confusion which, like that of Babel, ends in utter impotence, and
down
leads societies
.
combine with
grow ever more and more
other mediocrities, and from such unions, which
degraded,
repair.
are once created at the expense of the greater, they
whence no power on
to the abyss of nothingness
earth can
rescue them."^*^
Sharing de Gobineau's sentiments, Carroll writes: [m]ixed-bloods are "an unnatural production," and being altogether "out
of the
what
who
common
order of nature," they are simply monstrosities, no odds
their social, political, or religious standing
denies the existence of
natural law".
.
.
.
we
[Accordingly], so long as
amalgamated progeny imposed upon us
his
with
may
be.
who we may
equality, just so long will will these
on terms of
associate
we
Even
the atheist,
the inspiration of the scriptures, will
an amalgamation between Whites and Negroes
insist that
and
God and
"a violation of
is
[whites] allow the negro
men,"
as "lower races of
social, political,
and religious
labor under the curses of God, just so long
degraded creatures have
long will the youth and the
political
manhood of
domination over
us, just so
the land be debauched by
amalgamation, just so long will the chastity of our wives and the virginity of our daughters be subjected to their brutal
De
Gobineau's and Carroll's sentiments find expression
Murray's theme of dysgenics. They graphic trends are exerting ability in the
write:
downward
"Mounting evidence
Herrnstein and
demo-
United States and that the pressures are strong enough to have social
the distribution of intelligence
question,
"Can we
is
in
American
changing, more than
find evidence that dysgenesis
citing a range of data) they observe: "[T]he case
worrying about
phenomena
in
indicates that
pressures on the distribution of cognitive
consequences. ... In trying to foresee changes
own
assaults.^'
that
is
happening
is
is
life,
w/z>'."^^
what matters
In response to their
strong that something worth .
.
.
The
have been so worrisome for the past few decades may effect.
It
how
actually happening?" (after
to the cognitive capital of the country.
degree already reflect an ongoing dysgenic
is
is
in
social
some
worth worrying about, and
—
The Bell Curve
trying to
In this regard, they note, for example, that there
do something about.""
"kernel of evidence that must ... be acknowledged
black immigrants
71
.
are, at least in the short run, putting
.
is
a
[namely,] that Latino and
.
some downward
pressure on
the distribution of intelligence."^
The dysgenics of Hermstein and Murray
nothing but a late twentieth century
is
version of de Gobineau's racial degradation from the mixing of blood, and Carroll's
They
"unnatural production" of blacks and whites.
all
perceive blacks to be not only
an intellectual drag on white society but also corrosive of
This
is
especially troublesome, insofar as they
and
levels of cognitive ability to reproduce quicker
with higher levels of cognitive
more
likely to be,
citizenry;"^' if blacks
were
to
them; and
if
as well as civilization itself;
is
in greater
civilization.
numbers than those
to the persistence
a
"[a] civil
cognitively gifted
to
of civil order,
—
more
into,
have been ascribed
deficits that
most conducive
follows that a
it
and
and more capable of being made
have the cognitive
a highly civil society
civility
as Hermstein and Murray opine,
ability. If,
is
smarter population
its
perceive individuals with lower
all
less
black
society ought to be a goal of sound public policy in the United States. Thus, for
example, public policy should be designed to discourage cognitively deficient blacks
from procreating
and
as quickly,
numbers, that they do. The objective
in the
necessity for this sort of public policy has been shrouded by "[t]he ideology of equality,"^
which now guides the behavior of policymakers
Hermstein and Murray
in the
United States,
believe.
Like de Gobineau and Carroll before them, Hermstein and Murray believe inequality as an organizing social principle. .
.
.
that
human
De Gobineau
races are unequal."" Carroll states unequivocally: "[I]t
social equality with the negro
which brought
social equality with the negro
and the
keeps sin
in the world."^*
Gobineau or
evils
in
says explicitly: "I believe
sin into the world;
and
was man's it
is
which inevitably grows out of
man's it
that
Hermstein and Murray are not as blunt as either de
Carroll.
With more
racial circumspection, but
with the same rancid
effect,
they posit:
"Cognitive partitioning [of the society, which has been ongoing] will continue.
It
cannot be stopped, because the forces [especially the natural ones, to wit, genetic differences] driving
it
cannot be stopped."^^ There
is
an iron determinism here. The
continued cognitive partitioning of the society
is
endowments, including
[Moreover, t]rying to pretend that
intelligence,
is
a
reality.
inevitable, for "[i]nequality of
inequality does not really exist has led to disaster Trying to eradicate inequality with artificially
again
manufactured outcomes has led to disaster
to try living with inequality,
Given the Hermstein claim
intelligence
as
life is
It is
time for America once
livedy^
gap between blacks and whites
to exist; given
what they deem
to
that
Murray and
be the inevitable partitioning of
the society along the cognitive-line; and given the correspondence between the cognitive-line
and the
color-line, differential cognitive ability
for the racial stratification of the society. Put differently,
becomes a justification
on grounds of purported
72
Global Convulsions
racial differences in cognitive ability, the call that
live with inequality
is
America should once again
try to
nothing but a not too subtle admonition to keep black people
in their place.
What Hermstein and Murray
either
may be
ignorant of, or conveniently elected
to ignore, is the historical fact that of the approximately eighteen generations of
black people in colonial America/the United States since the 1630s floor
is
used for generation
the Civil Rights
—each and every
Act of 1968, passed
its life
—
a twenty-year
one, barring the generation
bom
since
under state-imposed inequalities, under-
girded by an extremely color-conscious culture. For black people, then, there absolutely nothing to be desired, or live
desirable, about
is
America
trying
once again
is
to
with inequality.
But there
Murray are Taney was
at
is
an equally compelling point to be made here. Hermstein and
war with
the very foundations of the
Independence nor the Constitution envisaged a whites,
it is
American
republic.
Though
correct in observing that neither the framers of the Declaration of
of equality between blacks and
state
nonetheless the case that the United States committed
itself to principles
of equality, and not inequality. The Republic did live with inequality, but always within the framework of principles of equality. There was, then, a persistent contradiction between the egalitarian principles of the Republic and
its
inegalitarian
practices, especially in relation to black people. Since the mid-1960s, the United
States has strived hard to
In admonishing
conform
America
egalitarian principles with egalitarian behaviors.
to try living with inequality again,
Hermstein and
Murray would have the Republic undercut its efforts to harmonize its principles and its practices. Indeed, one may well say that they would organize it around principles of inequality, which would be transformative of its original conception. In this regard, Hermstein and
era, but
are radicals at
incommensurate with
Hermstein and Murray claim be able
war with the
ideals of the United
agenda are commensurate with the practices of the society
States. Their racial
bygone
Murray
to lead lives
its
that
it
of dignity. However,
is fitting it
is
and proper
that individuals should
not the business of the
formulate and implement policies designed to give people dignity, the leading of lives with dignity "accessible to
ever be delimited by differences in cognitive
between blacks and whites. Here, then,
is
Such
all.'"*'
ability, for
black people in
spheres of social is
supposedly
life that
fair
and
weight of cmcial govemmental
of inequality.
And
in cognitive ability
ground the
so, the
are cognitively demanding. Since such
just,
it
is
institutions
assumed
to
be right and proper
be brought to bear
in the
defense
pseudoscience of Hermstein and Murray, like that of de
Gobineau and Carroll before them, undergirds a marginalization.
accessibility, though, will
example, that which obtains
of American society, and legitimizes the under-representation of
all
underrepresentation that the
govemment to it is to make
rather,
the hard edge of the racial politics of
Hermstein and Murray. Presumed natural differences racial partitioning
in a
ideals.
politics
of perpetual-black-social
The Bell Curve
73
m In conclusion,
well to
it is
make
the following points. First,
The Bell Curve
is
simply
a late-twentieth-century version of the well-worn theme of the racial inferiority of
black people. Second, unmasked of
its
academic
regalia.
The Bell Curve bears a
The Inequality of the Races Third, Hermstein and Murray
striking family resemblance to the discursive diatribe of
and "The Negro a Beast; " or "In the Image of God.
room comfortably Finally,
in the racialist tradition
and most important, The Bell Curve
black people
at the
"
of Jefferson, Taney, Lincoln, and Brown. a gauntlet thrown
is
end of the twentieth century.
It is
down
before
an attack manifesto. The
—with
challenge to black people in general, and to black politics in particular assistance of those tracted
—
is
whose sense of proportion
to continue, resolutely
make
the
not skewed, distorted and dis-
and with unflinching courage, the
implementation of measures designed to egalitarian principles
is
articulation
and
ever the more commensurate the
and practices of the Republic.
Notes * Portions of this section will appear in a forthcoming issue of the Journal of
Black Studies. 1.
Winthrop D. Jordan, The White Man's Burden (New York: Oxford Univer-
sity Press, 1974), p. 4. 2. Ibid. 3. Ibid.
4. Ibid., p. 6. 5. Ibid. 6.
Dred
Civil Rights:
1980), p. 6. 7.
Scott
v.
Sandford, 60 U.S. (19 How.) 393 (1857), in Derrick A. Bell,
Leading Cases (Boston and Toronto:
Author's
Little,
Brown and Company,
italics.
See "Ottawa: Lincoln's Reply,"
in
Lincoln-Douglas Debates of 1858 (Chicago
Paul
M. Angle, ed.. The Complete The University of Chicago
& London:
Press, 1991), p. 117. Author's italics. 8.
9.
See "Charleston: Lincoln's Opening Speech,"
ington, D.C.," in
ibid., p.
235.
Committee of Colored Men, WashAbraham Lincoln: Speeches and Writings 1859-1865 (New York:
See "Address on Colonization
to a
The Library of America, 1989), pp. 353-54. Author's italics. 10. Thomas Jefferson, Notes on the State of Virginia, William Pede, Hill: The University of North Carolina Press, 1954), p. 139. W.Plessy
V.
Ferguson, 163 U.S. 537 (1896),
ed.
(Chapel
in Bell, op. cit. note 6, p. 71.
12. Ibid. 13.
Count Arthur de Gobineau, The Inequality of the Races (Los Angeles: The
Noontide Press, 1966), pp. 155, 179.
Global Convulsions
74
14.
Louis,
Charles Carroll, "The Negro a Beast;"
MO: American Book and Bible House,
15.
Richard
J.
De Gobineau,
op.
17. Carroll, op. cit.
18. Ibid., pp. 19.
Life
cit.
(New York: The Free Press,
1994), p. 276.
note 14, p. 109.
87,90.
Hermstein and Murray, op.
De
Image of God"
note 13, p. 205.
20. Ibid., p. 312. Author's 21.
"In the
Gobineau, op.
22. Carroll, op. 23. Hermstein
cit.
cit.
cit.
note 15, p. 302.
italic.
note 13, p. 73.
note 14, pp. 101-2.
and Murray, op.
cit.
note 15, p. 492.
24. Ibid., p. 502. 25. Ibid., pp. 488-89. 26. Ibid., p. 501.
27. Ibid., p. 278. 28.
De Gobineau,
op.
cit.
note 13, pp. 181, 210, 207, 210. Author's
29. Ibid., p. 209. 30. Ibid., pp. 209-10. 31. Carroll, op. 32.
cit.
note 14, pp. 116, 291.
Hermstein and Murray, op.
33. Ibid., pp. 345,
cit.
note 15, p. 342.
364^5.
34. Ibid., pp. 360-^1. 35. Ibid., p. 266. 36. Ibid., p. 533.
37.
De
Gobineau, op.
38. Carroll, op. 39.
cit.
cit.
note 13, p. 73.
note 14,
p.
219.
Hermstein and Murray, op.
40. Ibid. Author's 41. Ibid.
(St.
Hermstein and Charles Murray, The Bell Curve: Intelligence and
Class Structure in American 16.
or,
1900), p. 99.
italics.
cit.
note 15, p. 551.
italics.
Race in History MARTIN BERNAL
At
the outset,
I
anthropologists,
I
should like to
make
it
clear that following nearly
do not believe that "race"
place, the genetic
make up of
all
humans
physical
a useful biological concept. In the
is
quite exceptionally similar. There are
fewer genetic differences among us than there
human
smaller population of gorillas. Second,
all
is
first
within the far
are, for instance,
populations do not vary sharply or
neatly but with gradations. These are sometimes steep but
more
often they are
gradual and inconsistent. Nevertheless, race, based arbitrarily and very loosely on physical appearance, to
make
clear, this
is
enormously important today as a social construct. As
has not always been the case, but
we
live in
I
hope
an age and society in
which race has become obsessional and has pervaded every nook and cranny of our social life
and
When
culture.
considering the
title,
"Race
in History," I
have found
tinguish between "race" in history and "race" in historiography.
mean
the thinking about and writing of history.
The
historical
By
it
useful to dis-
historiography,
I
and historiographical
aspects are, of course, intertwined. Writing about places and periods in which the
concept of race has been important about them.
From
is
bound
to influence one's historical writings
the other side, racist and ethnic histories have themselves been
emergence of racism and ethnocentrism as
major factors
in the
forces.
believe that the distinction between the history and the historiography
Still, I
of race
is
worth making,
if
only because attitudes that
racially prejudiced or ethnocentric full
I
shall
should
recognize as
the seventeenth century; while systematic racist
some 180 years ago
in the early nineteenth century.
begin with the concept of race in history but before
to try to distinguish ethnicity
now
have existed for more than two thousand years, and
blown racism has existed since
historiography only emerged
we
social or political
from racism. The word
ethnicity
I
is
do
so,
I
should like
commonly used
to
75
— 76
Global Convulsions
denote the consciousness of solidarity beyond shared symbols or images (a particular but above
etc.),
all, it
based on
can come from a shared language. In a wonderful book entitled
my
Imagined Communities, this
real or fictitious kinship,
territory, history, religion, flag, currency, law,
kind of nationalism
is
colleague
at Cornell,
Benedict Anderson, maintains that
a positive force inspired by love and
is
completely unlike
the evil racism.' I
many
cannot accept attractive
magnificent
this
features.
artistic
sharp distinction. There It
is
no doubt
that nationalism has
can inspire great and moving heroism as well as
Above
achievements.
all
it
can provide purpose and dignity to
However,
lives that are often desolate in every other respect.
own nationality without it. As we can see only too
I
do not believe
in
who do
well today, nationalism
not "belong" to
that
some way deprecating those
people can celebrate their
—some-
times combined with racism, but often without the slightest indication of physical difference
—
One
leading to the committing of frightful atrocities.
is
of the shared images or symbols of ethnocentricity
which can
national physical type,
is
frequently the ideal
easily lead to racism. Yet, nationalism, unlike
racism, has the possibility of open-endedness. That
is
to say, in certain societies, if
someone lives in a territory, knows its culture, and speaks its language fluently he can be accepted as one of the community regardless of physical or more likely she
—
appearance. This appears to have been the case in ancient Egypt, Iroquois, other North
Until recendy, ethnicity
American
was
it
nations,
largely true
even
and
—with
limitations
in France.
and physiology has usually been the
result
—
in the
among
This lack of overlap between
of the "national" culture being
shared by peoples of varied physical appearance. In theory this should provide
hope for the United flexible.
Someone who
ideal type
American In
States.
is
Unfortunately, though, racist nationalism
differs substantially
and can never
not,
many
cultures, people
from the Northern European physical
be, fully accepted in
some
who
German,
North
British, or
vary gready from the somatic or physical
are especially respected, but
with corrosive scorn. Despite the biological imprecision, racial prejudice.
phenomenon, its
some
not so
is
societies as they are presendy constituted.
are treated differently,
has
the
Arab world.
But "racism" of the
sort that is
until quite recently restricted to
origins in the
European need
more this
can usefully be called
experienced today
is
their
modem
a
peoples of European descent.
to justify
norm
often they are treated
It
clearly
inhuman behavior
in
the
genocide, colonialism, and slavery inflicted upon peoples of other continents by
dehumanizing them and turning
As most
features that are picked out skin, hair
their victims into devils or animals.
populations vary a great deal
and eye
color.
most frequently
According
in
height and body build, the
to define a race are facial features
to the social psychologist
two and
Kenneth Gergen, and
Carl Degler, an historian, the contrast between black (evil) and white (good)
human universal, because all peoples prefer day to night, milk to dirt, and so They go even further to claim as universal the application of this abstract
is
a
forth.
color
Race
scheme
to
what the
author, E.
M.
in
11
History
Forster, described as the "pinko-grey" skin color of
Northern Europeans and the shades of brown of other peoples.^ The structural anthropologist Edmund Leach pointed out
codes and opposition between colors are important in
that although color
do not
societies, they
all
necessarily have the values white equals good, black equals bad. For instance, in
East Asia and
many
white or paleness
other cultures, including Europe before the late Middle Ages,
—
—symbolizes
the color of corpses
gained from exposure to the sun,
death, and the darkness,
virility.^
Clair Drake, the great anthropologist and historian, attacked the ideas
St.
associated with Gergen and Degler both on these grounds and by using historical
counter-examples.
He showed
have been major
that there
which there
societies in
has been no social or religious hierarchy associated with color or physiognomy."*
most
significant of these
was ancient Egypt.
of the country by the First Dynasty around
society, beginning with the unification
3,400 BCE, and there
is
no trace of any
The
We have considerable knowledge of this
racial preference, let
alone prejudice in
for
it
the next 2,900 years.
The population of Ancient Egypt was extremely mixed. Nubia and Upper civilization was formed, had a basic population very similar
Egypt where Pharaonic to that
of the
modem
Nubians, that
Lower Egypt had
admixture.
to say East African with Central African
is
a basic population of North African "Caucasoids."
millennium bce
was
from that of northwas separated from the rest of Africa by the growing Sahara, the Nile continued to link Lower Egypt to the rest of the continent. The mixture of populations between Upper and Lower Egypt accel-
However,
after the fifth
this
west Africa or the Maghreb, because while the
differentiated
latter
erated with the establishment of a single Egyptian state.
Lower Nile Valley became extremely moved down the Nile and
After unification, the population of the
heterogeneous. This was not only because Southerners
Northerners
moved
up, but also because of immigration into
even more from southwest Asia. The Pharaonic civilization and the
of today
is
rise
latter
Egypt from Nubia and
process intensified after the
of
fall
of Islam in Arabia; thus the Egyptian population
almost certainly lighter and more "Caucasoid" than
it
was 2,000 years up the
ago.^ Nonetheless, the old pattern survives to the present in that the further
Nile one travels, the darker and more "Negroid" the population becomes.
Ancient Egypt was extremely ethnocentric. For Egyptians of that time, speaking Egyptian and worshipping the Gods of Egypt were of
more, Egyptian
artists tried to
critical
importance.
What
convey "Egyptianness" by representing a more or
is
less
homogenized population of red-brown men and yellow-white women. They played
down
the huge variety of physical types actually present, as indicated by
and other physical remains. The confused with southwest Asians,
were generally portrayed
As
artists
who were
stereotyped as pale, and Nubians,
as black with broad noses
and
was
who
tight curiy hair.
elsewhere, there was a strong symbolic color code in Egypt.
color of the desert and death, while black
mummies
did this so that Egyptians should not be
that of fertility, life,
and
Red was
rebirth.
the
Egypt
Global Convulsions
78
itself
was known
as
this referred to the
Kemet, the Black Country. There
black
soil
of the Nile Valley.
On
or
"black people." Nonetheless, there
Negro appearance. There
is
is
no doubt
Kemet
determinative or symbol for people, the word literally
is
that at least in part,
the other hand, written with the
meant "Egyptians"
also
no sign of preference for black skin and
absolutely no indication that any hierarchical social
value was placed on skin color or facial features. Egyptian Pharaohs and slaves alike
could be black, brown, or olive with Negro, East African, or Mediterranean features. This also seems to have been the case in early southwest Asia, which
examine from the regional culture which we know there
were people of African appearance
in
Ancient
best, that Israel.
of
I
The name Pinchas comes
from the Egyptian P3 Nhs "The Nubian" and Sim(e)on may well come from
"Upper Egyptian."^ This does not
necessarily
mean
that the individuals so
were themselves black; but the names do indicate both, this
type in Israel
and that they
differed
—a
Sm3w named
had been people of
that there
from the southwest Asian norm.
Old Testament, the predominant color of
In the
blood and sex
shall
Israel. It is clear that
—
sin is scarlet
doubt that black had unfortunate associations
in ancient Israel. It
the color of
And
tradition preserved today in the color of the devil.
there
was used
is
no
to portray
psychological as well as natural gloom. But black also had positive connotations.
It
could represent night as a relief from the heat of the day and the color of the clouds that
rain. The beautiful and erotic lover in the Song of Songs is Hebrew and Greek texts as "black and beautiful."^ White also had
brought the precious
called in both the
both negative and positive connotations.
It
was sometimes
the color of purity; but
was
also the color of leprosy. In the labelling of people, the ambivalence
still
more acute by
it
was made
the uncertainties involved in transposing the abstract color to
human complexions. Ancient Greece too had conflicting color codes. There was certainly no prejudice against
men who had
beautiful," noble
there heroically
was known by
and Homer, who lived as to
whether
Memnon was Homeric
the earliest
there
is
Memnon,
no doubt about
"the most
to Troy's rescue
Greek poets whose works There
an Asian "Ethiopian" or an African
is
and died
survive,
Hesiod
some confusion
one.*^
But "Aithiops"
his pigmentation.
not the only Ethiopian to play a prominent and positive role in
epics. In the first
book of
feast with "the blameless Ethiopians."'*^
them." Thus, for
who marched
in the tenth or ninth centuries bce.*
Memnon was
meant "black," and the
dark brown or black skin.
and brave Ethiopian prince
the Iliad,
Zeus goes with the other Gods
The Odyssey opens with Poseidon
Homer and presumably
to
visiting
other Greeks of his time, the Ethiopians
were seen as a particularly virtuous people with especially close associations with the Gods.
Eurybates,
Homer also saw Africans in Greece. For example, Odysseus' herald who accompanied him on important missions, was described as having
"black skin and woolly hair"'^
There was a lord called Aigyptios on Odysseus'
island, Ithaca.
others suggesting African origins also have been found in Bronze
This
Age
name and texts
from
Race
Greece before 1200 bce. As
was
also an ambiguity about
in
79
History
such evidence indicates both that Egyptians
in Israel,
and other Africans were present
in
Greece, and that they were unusual there. There
Greek color codes. There
is
no doubt
that at least as far
back as Homer, blackness was associated with night and death, as well as with the terrors that these inspire. Yet, black also
had positive aspects
in early
Greece.
It
was
seen as the color of bravery and manliness, while white was that of effeminacy and lily-hvered cowardice.
Asian and European attitudes towards Africans and skin color appear
begun
to
have
change around 500 bce. The favorable impression of Egyptians and
to
Ethiopians did not disappear immediately. Herodotus, the earliest Greek historian
whose work
extant, wrote in the fifth century
is
bce
meant the Nubians of the Upper Nile) were "said people in the world.""
By
this
that the Ethiopians (by
to
be the
tallest
which he
and best-looking
time though, a prejudice against both darkness of skin
and "negroid" physiognomy was growing around the Mediterranean world and a
began
clear association of blackness with evil shift
took place in the Hebrew
tradition.
By
had become the color and complexion of ness.'^
The
shift is
symbolized by the
to
be established
the time of the
evil
and white
in Greece. '"*
New
that
A similar
Testament, black
of purity and good-
fact that in the Latin Vulgate translation
of the
Song of Songs the description of the heroine is changed to "black but beautiful." It was also around this time that the long and sickening tradition began in which people with dark skins were patronized by others or excused themselves with the
argument
The
that their souls biblical story
were white.
of Noah's punishment of his son
son Canaan, had originally been used to justify the
Ham, by a
Israelites'
curse on
Ham's
extermination and
enslavement of the Canaanites. In both Jewish and Christian biblical interpretations, written in the
new atmosphere around
the beginning of the
Common
Era, the curse
was transferred to Ham himself, the African, and was believed to have taken the form of "ugly" blackness and perpetual slavery.'^ What had caused this change of attitude? The standard explanation is that it was the first encounter between Mediterranean peoples and black Africans. This does not work, because of the evidence of substantial contact between the two
groups during the Bronze
Age and
the period
up
to
500 bce. There
are
two other
explanations for diminution of the positive connotations of blackness and the
exaggeration of the negative ones around this time. The
Greeks,
is
that
when
first,
which only applies
to
they began to dominate darker peoples in southwest Asia and
Egypt during these centuries they found complexion a useful marker and justification of their
rule.
The second explanation
is
for themselves
influence from Persia.
During the second millennium bce Indo-European speaking invaders, calling themselves "Arya" or Aryans, invaded the older civilizations of Elam
now in
Iran)
(in
what
and the Indus Valley from the north. The "Aryans" were generally
color than the natives,
During these struggles, a
who seem cult
to
is
lighter
have resembled the South Indians of today.
of lightness, associated with the sun and the sky grew
Global Convulsions
80
up.
The Hindu Vedas
or scriptures contain violent images of the destruction of
natives described as "darker" and were clear-cut in their preference for the invaders
own
lighter skins,
though black has continued
to
be valued
some
in
Indian culture.^^ Although the linkage between caste and skin color
word
Sanskrit
scheme
for "caste" Varna
means "color" and
is
respects in
now
loose, the
Hindu symbolic color
in the
the higher castes are associated with lighter colors.'^
between the
In Iran, these struggles
lighter invaders
and the more civilized
natives were integrated into the Zoroastrian religion. This, like
Manichaeism, sees the whole universe as a
between the forces of good and be transposed
finely balanced
evil seen as those
branch
later
its
and perpetual conflict
of light and darkness, which can
to skin color.
In the sixth century bce, Persia erupted into the Mediterranean, conquering the
Levant and Egypt, as well as many of the Greek
on the value and moral querors and to Greeks,
superiority of lightness
who
city states. In Egypt, the
was
played an increasingly important role there even before
the conquest by Alexander the Great and the establishment of the
Greek Ptolemaic Dynasty
Lower Egyptians
paler
there around
introduced a
300 bce. This preference
new
^to
Macedonian or
for the invaders
the art of the great southern dynasties in
among Egyptians
to
Upper Egypt, and
to
an image of a dark Nubia as a source and refuge for true Egyptian culture.
These new
"racial" attitudes also spread into
Greece
itself. I
that the prejudice against people of evident African descent
was
time,
qualitati\'ely different
from the "caste racism" found
The presence of many Africans numbers of blacks represented slaves,
must
ait.^
though,
insist,
which grew up in the
modem
in classical antiquity is indicated
Greek and Roman
^^
We know
at this
world.
by the large
that
some were
although most slaves of the period were of Mediterranean or northern
European best
in
and
sense of "race" to Egypt. Resistance to the
Persians and later to the Greeks involved a cultural "return"
African blackness —
emphasis
useful both to the Persian con-
origin.
Some
Africans were important free craftsmen. For instance, the
known and most admired
potter in fifth century Athens,
had the Egyptian name
of Amasis and was portrayed by a rival as a black African.-' Blacks also were
admired and feared as warriors. The bulk of Hannibal's Carthaginian army, crossed the Alps and invaded
Italy,
that
was African and some were "Negroid." The coin
struck to pay the troops and symbolizing his army, had a
Negro head on one
side and
an elephant on the other.This leads us to consider Greek and Egypt. The at the
a
name
southern end of the
euphemism
Roman
Red
Sea. In
Roman
for the hated Carthage, for the territory
playwright Terence (190-159 bce),
tion of Latin
was bom
in
who
lived
and
live
times, however, "Africa" was used as
these northern "Africans" played significant parts
Roman
beyond
relations with Africa
"Africa" probably comes from the Afar people,
who
we now call Tunisia. Some of in Roman history. The early
played a central role
in the
forma-
drama from imperial times to the Middle Ages, was sumamed Afer and North Africa. The Severans, the Roman imperial dynasty, who ruled the
1
Race
empire from 193
to
235
ce,
were originally Punic or Phoenician
in History
in culture
8
and came
from the coast of what is now Libya. A number of the most important Christian church fathers came from northwest Africa, the most important of whom was St. Augustine of Hippo (354-430 ce), the chief founder of the theology and philosophy of the
Roman Catholic
Church.
For the Romans and Greeks, there were three types of blacks.
who
those
who were
lived within the empire,
generally,
First, there
though not always
were
in the
lower classes. Then there were the admired civilized and philosophical "Ethiopians,"
who were
usually located in the
Nubian
The name "Ethiopia" maintained
From
who
resisted
modem Khartoum. modem period. There was
of Meroe near the
nomadic "Ethiopians" of the desert from Egypt
also a third type of black, the fierce to the Atlantic,
state
high status into the
this
Roman
attacks
these and from black forces in the
and raided
Roman
cities
within the empire.
legions, Africans
had a reputation
for soldierly qualities. In Christian times, the patron saint of soldiers
Maurice, a soldier from Upper Egypt of the third century ce,
became
who was always
St.
por-
trayed as a "negro."^
Ptolemy, the mathematician and astronomer of the second century ce, was also
an Upper Egyptian, and
known
Arab
to
writers as a black.^ Thus, despite the
widespread fear and suspicion of blacks among Western Europeans of the Middle Ages, the dominant figures or authorities in their theology, warfare and science, namely,
Augustine,
St.
were generally held
Some
Maurice, and Ptolemy were Africans, and the
last
two
scholars today argue that there has always been a particular Christian
affinity for tolerance.^ it
St.
be blacks.
to
This
is
clearly untenable. Believers in revealed religions find
hard to tolerate what for them
religious tolerance did not arise
is
error
from
and
sin.
The Westem
liberal tradition
of
Christianity. Its origins are firmly linked to
upper-class skeptics and deists of the seventeenth and eighteenth centuries, tolerance and the separation of church and state as a
way
who saw
to avoid religious up-
heavals and preserve social order.
There
more
is
no doubt
that in
its
early
heyday from 650
religiously tolerant than Christianity. This
was
to
1100 ce, Islam was
far
partly the result of historical
chance, Islamic armies conquered Christian countries, not vice versa. Thus, while Christian communities have always existed under Islamic mle, no
Muslims were
The communities shown when the Caliph Omar and the Kurdish mler Saladin took Jemsalem in 638 and 1 187 ce respectively, as opposed to the massacres of Muslims and Jews
tolerated in
European Christian countries
until
the late nineteenth century.
contrast can be seen in the tolerance and sensitivity towards other religious
that followed the Crusaders' conquest
This
is
not to say that Islam
One can
is
of the city in 1099 CE.
inherently
more
tolerant
on religious issues than
examples today
in the
Sudanese
U-eatment of the non-Islamic South, the
Christian
Timorese, and the fatwa against
Muslim Indonesian massacres of Salman Rushdie. The correlation with
tolerance
Christianity.
readily observe tragic counter
Global Convulsions
82
appears to be with having confidence in the success of one's
faith.
Thus, Muslims on
the defensive today, can behave almost as badly as Christians did the heart out of Christendom in the seventh century.
and confidence are only necessary and not
I insist,
when Islam
tore
however, that success
sufficient conditions for religious or other
toleration.
By
contrast, there is
than those of Christianity.
no doubt
The
that.
all men are among people are not those ones of gender and religion, men/women, Muslim/non-
equal in the face of Allah, and that the
of physical appearance, but
Islamic attitudes on race have been better
basic reason for this
is
the insistence that
critical divisions
Muslim, Peoples of the Book/nonbelievers. Still,
affected
in spite
by the
attention has
of the Prophet's special relationship with Ethiopia, Islam was
earlier
developments of color prejudice
been directed already. What
is
in
South West Asia, to which
more, stereotypes of and prejudices
against Africans were intensified by the increase of slavery in
Africa under the
Muslim
caliphs.
But slavery was not
Mesopotamia from
restricted to Africans, there
were also white slaves from the Caucasus and Europe, though they were
less dis-
criminated against than the blacks.^ In the Christian world, there persists a tension between the official view of
black as the color of evil and the folk belief found earlier in Egypt, of black as the color of
life
and
fertility.
This tension
is illustrated
by the
conflicts
between peasants
most Catholic countries with a passionate attachment to Black Madonnas and the church authorities who constantly want to destroy or whiten them.^^ in
Blacks were to become associated with the hated Muslims, and the images of
St.
Maurice and the Christian Nubians, who aided the Crusaders, would be overshadowed by those of the Berber and black Almoravids from Senegal, who massively defeated Spanish Christian kings and Crusaders
in the twelfth century. In
modem Greek
and
Russian, the words for "negro" are Arapes and Arap, and the association between
black and Muslim can
still
be seen
in
England today, where the pubs named 'The
Turk's Head" have as their sign the head of a stereotypical West African.
Modem Racism Racism of the
modem
type only began in the fifteenth century,
power by sailing round immediately began kidnapping anybody they could started to outflank Islamic
Portugal to sell as slaves. Their justification for this
when Portuguese
the coast of find
was
ships
West Africa and
and taking them back that those
who were
to
taken
were prisoners of a just war, and any war fought by Christians against non-Christians qualified as a just war. Quite soon however, a new justification grew up, that of racism. Africans were claimed to be "slavish by nature."
The new concept was powerfully
reinforced by developments in America.
By
the
end of the
fifteenth century,
America, where within a century
—aided by
Europeans were disease
—
in
Central and North
they succeeded
in obliterating
Race
90 percent of Africans. This
To begin
the population.
Americans, but
this
was quickly found
commonly
is
be
importing
far less profitable than
explained in racial terms, that Africans were physio-
and psychologically suited
logically suited to hot climates
some
83
with, they attempted to enslave native to
primitive Americans could only resist or die. There intense genocide
in History
native
American
no doubt
is
societies simply
where the
to slavery,
that during periods of
gave up. But many African
slaves also committed suicide.
There
is
much
a
simpler nonbiological explanation for the successful exploi-
tation of African slaves in
America.
cost of preventing this could easily
If slaves
become
could run
home
they would, and the
prohibitive. Thus, chattel slavery
was
usually only economically possible on an extensive scale where the slave owners controlled the sea passage. In this case, slaves had only four unpleasant choices: (1)
run to hostile natives whose language(s) they did not understand; (2) rebel knowing it
to
be
commit
futile; (3)
been genocide, the
first
suicide;
and
On
(4) acquiesce.
option was not available, and
it is
islands
where there had
remarkable
how frequently
slavery has flourished on islands.
The connection between tinuing slave plantations
ancient and early capitalist slavery were the con-
on Cyprus. In the
fifteenth century,
Spanish and Portuguese
massacred the populations of the Canaries and Madeira and imported slaves. This can be seen as a rehearsal for slavery there
from the beginning, but
in the
was not
it
West
until the
Indies.
Black slaves were brought
end of the seventeenth century
the enslavement of whites stopped and slavery as
an
institution
became
that
identified
with Africans.
Middle Ages, Christians had seen Islam as both the location and the
In the
source of pure
own
evil.
This type of projection of the ugly and fearful aspects of one's
character and society onto others
was now
systematically applied by Euro-
peans, calling themselves white, in relation to Africans, "black." Whites
saw blacks
particularly vicious because
worst white It is
is
it
as the epitome of evil.
whom they labelled modem racism
Hence,
as is
maintains absolute lines of caste and insists that the
better than the best
non white.
precisely in the period of the establishment of race-based slavery, in the
1660s, that scholars tried to provide academic rationality for these beliefs and to establish racial
schemes dividing humankind
Asiatic races.^
It
was widely believed
into
must have been "polygenesis" or many separate tive to those
who wanted
European, African, American, and
that the differences
to justify slavery,
were so extreme
that there
Though extremely attracsuch speculation was handicapped by creations.
both Christianity and nature. The
new
ideological requirements. There
was an emphasis among Christians
racists tried to enlist religious
backing for their in the
seven-
teenth century for the Talmudic interpretation of the story in Genesis mentioned earlier,
Canaan,
in
which
it
was Ham,
who had been
the ancestor of the Africans, and not
cursed by his father
Noah and
that the curse
blackness, ugliness, and the fate of perpetual slavery. Yet there
Ham's son
had consisted of
was no
getting around
Global Convulsions
84
the biblical insistence that that there
people were the children of Adam. Thus, suggestions
all
had been multiple creations were clearly
heretical.
who were
and those
not led
many
Even
who were
desire for a categorical distinction between peoples
scholars and others to be
so, the passionate
of European descent
drawn
to the idea
of
polygenesis.
Another strategy
dehumanize Africans and other non-Europeans was
to
scheme of a "great chain of being." According begin with
God and
His angels going
down through
the
one could
to different versions of this,
white men, to white
women,
Asiatics, Africans, apes,
and so on. This hierarchy blurred the category of "man"
which philosophers
John Locke, who was personally involved with American
slavery,
like
found extremely
inconvenient.^'^
The
"great chain of being" too
was unac-
ceptable to orthodox Christians, because of the categorical distinction between created in the image of God
The natural
and with a
difficulty the racists
soul,
and
had
to face,
all
other creatures.
was
new taxonomy of
that the
animals into species was defined by what could or could not produce offspring.
As
all
humans were only too capable of
subclassification of "race"
had
to
this,
the
Blumenbach, who attempted a
much
fertile
less well defined
be employed. This problem came out clearly
of the eighteenth century in the work of the
last quarter
men
"scientific" study of
human
German
professor,
in the J.
F.
races along the lines set
out by the Swedish scholar Carolus Linnaeus in the 1750s for the classification of natural history.
Blumenbach did not
believe in
human
progress or polygenesis.
He
maintained, with complete religious orthodoxy, that there had been a single creation
of a perfect man. Blumenbach's explanation for what he perceived as important racial differences
followed the Eurocentric pattern
century by the French naturalist
normal type of species found
that the
set out earlier in the eighteenth
Comte Georges de Buffon. De Buffon had argued in
Europe had degenerated
in other continents
because of their unfortunate climatic conditions. Species had become too
big, too
small, too weak, too strong, too brighdy colored too drab, and so forth.
Blumenbach was
the
first to
the white or Caucasian race
which
all
was
publicize the term "Caucasian." According to him, the first and
most beautiful and talented
race,
from
become Chinese, Negroes, and so on. He justiname "Caucasian" on "scientific" and "racial" grounds, since he Georgians to be the finest "White Race." However, there was much
others had degenerated to
fied the curious
believed the
more
to
it
than
that. First, there
Ark, which the Bible also a
tells
Romantic tendency
like those of the Nile
There
is
was
the religious belief that people
us landed on to see
Mount
human and European
and Euphrates, but
in
origins, not in river valleys
own
completed what became the academic bible of racism, he
blacks life
life,
in that after
fell in
he had
love with a black
little book of the biographies of The most notable of these was the Ethiopian Abram Hannibal, who became the leading military
in
Switzerland.
who had succeeded
story of the
He
the
high and imposing mountains.^
a wonderful irony in Blumenbach's
midwife he saw
emerged from
Ararat in the Caucasus. There was
in
then wrote a
European
society.
Race
in
85
History
engineer of Peter the Great of Russia. After Blumenbach's book was completed,
Abram Hannibal was
immortalized
in a
biography by his great grandson, the Russian
poet Aleksandr Pushkin. Blumenbach's change of heart did not lessen racist reliance
on
his earlier larger
work
to provide
Although Blumenbach and
academic backing for his
remained central
original Caucasian
their ideological position.^'
scheme of decline from the
retrogressive
to racist thinking in the nineteenth century, the
concept of race was also taken up by progressives. This division overlaps the racial aspects of the conflict between the Enlightenment and Romanticism.
Enlightenment valued natural species
and permanence. For them, the
stability
The men of the
classification of
and human races was part of the project of establishing timeless con-
ceptual order. This fitted well with their general racism, but their racism conflicted
men
with their overall view that reason was accessible to
of
all
cultures. (I use the
word "men" deliberately because they tended to be extremely sexist.) The Romantics opposed the Enlightenment and insisted that reason was inadequate. They believed that what really mattered was feeling. Thus, the conflict between racism and the enlightened belief did not exist for consistent Romantics.
bound together by emotions and
that "all
They saw
feelings,
mankind
are brothers plighted"
nations and races as communities
which by definition could not be shared
with others.
Where
the Enlightened were concerned with space. Romantics
were obsessed
by time. The passage of time could be seen as a decline or as progress, and both views appear
one could
in
Romantic racism. Thus,
call optimistic
racists," I raise
in the nineteenth century there racists.
As an example of
were what
the "optimistic
Robert Knox.
Knox was an became notorious Hare.
and pessimistic
anatomist
at the
University of Edinburgh in the 1820s.
as the patron of the grave robbers
When Knox
complained
He
and body snatchers Burke and
that the bodies they delivered
withered, Burke and Hare turned to murder to provide
were too old and
him with
fresh ones. Both was merely obliged by He then went on to become a dis-
eventually were caught and hanged. Knox, as a gentleman, the
bad publicity
to resign his
academic
chair.
tinguished writer on race. Taking the exterminations of the American and Australian
populations to be natural and desirable, he believed that what he saw as the superior
white race should complete the job in Africa and Asia. Indeed, he even congratulated his contemporaries for living in an
fascinating
An
human
age when
it
was possible
to collect so
many
specimens.^^
outstanding example of a pessimistic racist
is
Knox's younger contemporary,
Comte Josephe-Arthur de Gobineau. De Gobineau saw Caucasian man as having originated somewhere in the cold parts of Asia. He then saw three branches, the Hamites, the Semites, and the Indo-Germans having divided very his idiosyncratic history, the
Hamites went south
they were corrupted by the blacks.
scheme required
that Africans
De Gobineau
to Palestine
early.
According to
and North Africa where
claimed religious orthodoxy, but his
were descendants of a
different creation.
Sometime
Global Convulsions
86
later,
the Semites followed their brothers, where they too were
now
the blacks and the
had stayed in
made impure both by
thoroughly corrupted Hamites. Only the Germanic peoples
and had thus preserved
in the cold north
their purity.
Now they
too were
danger of mixture and corruption from the Semites.
For de Gobineau, there was the unbearable paradox inferior ones
in
that superior races lost to
any competition.^^ As with Knox, de Gobineau 's
racial
imagery had
The Caucasians and Germans were male and the lesser races somehow female. However, where Knox saw virility at least when armed clear connotations of gender.
with guns
—
—
as invincible, de
could sap the
Gobineau believed
manhood of the
The congruence
poor, pure white males.
or overlap between the social constructions of race and gender
remain centrally important today.
above
all,
more
fight
a close relationship
there
is
some
fundamental
often accepted by
it is
biological basis for
to, if
women
women's
and
women
not control by, their emotions and is
caring.
men
not only an image seen by
and blacks themselves.
But
I
am
It
may be
that
convinced that the
come from power and
similarities in the attributes
qualities of blacks
and
fiercely than Africans
social supportiveness, intuition, artistic
biology are attributed to Africans and women. This
and Europeans;
men
widely believed that Europeans and
It is still
more rationally, work harder, and women. The qualities of human warmth,
think
creativity, and,
that the soft seductive black forces
the lack of
it.
The
are those helpful for living a satisfactory life in a
position of relative or absolute powerlessness.
Moves towards
equality reveal that qualities of both types are far
more evenly
sexual and racial
distributed throughout
humanity than has been conventionally supposed.
To
return to
Knox and de Gobineau. These two
white
men
also illustrate
another major pair of strands in nineteenth century racism, namely, anatomy and language. Steven Jay Gould has
how
early-nineteenth-century
amount of time and inequalities
debacle.^
they
The
to
exist
between
races.
would be comic were
motivating them, and the uses that racists
De Gobineau
The Mismeasure of Man,
brilliandy, in his
effort trying to provide scientific
knew
story
shown
anatomists and physiologists spent an inordinate
relied heavily
on
it
evidence to back the huge
Gould demonstrates
their total
not for the powerful social forces
made even of their
linguistics, the other
failures.
prop of racism. His three
groups came, of course, from Noah's sons. However, by the 1840s these had become linked to language families. Hamitic
was
the
name used
for
what we now
call the
Afroasiatic language family, including: the Cushitic languages of East Africa, Hausa,
and other languages
in
Chad and Northern
Africa, and Ancient Egyptian. Semitic
Nigeria, the Berber language of northwest is
the family including
Babylonian, South Arabian, and Ethiopian languages. Today a single branch of the Afroasiatic family. The
Gobineau was concerned was
this is
Hebrew, Arabic, considered to be
other language family with which de
the recently discovered Indo-European. This includes
the languages of northern India, Iran, and nearly
all
of Europe.
De Gobineau
accepted the conventional view of the time that the purest Indo-Europeans were
first.
Race
in
the speakers the ancient Indian language of Sanskrit, who, sadly, had
corrupted by
speakers. But de Gobineau, like
most of
become
Second were the pure Germanic
the dark natives of the subcontinent.
from language
87
History
his contemporaries, slipped all too easily
and speakers of the "pure" Indo-European were often
to physiology,
seen as the Aryan race.
Anti-Semitism
Blumenbach had
classified Jews, Arabs,
and other speakers of Semitic languages as
"Caucasians." Moreover, a number of mid-nineteenth-century thinkers, denying the
massive evidence of African, East Asian, and American
and the Aryans as the joint creators of
all
human
saw the Semites The Semites had con-
civilization,
culture.
and a noble simple poetry, while the Aryans had given
tributed monotheistic religion
the world politics, the arts, science, philosophy, and heroism. All the time, though,
was
there
the feeling that this
were made
efforts
was granting too much
to the Semites; thus great
up alleged Persian and Greek influences on Judaism and
to build
Christianity.
Religious hatred of and intolerance towards Jews In general, however, the converted
fourteenth- and fifteenth-century Spain the
Jews,
many of whom were
—sometimes
there
rightly
rich, talented
—
almost as old as Christianity.
and
as a Christian.
mass conversion of influential, led to
those of Christian ancestry against the so-called
pected
is
Jew was accepted
"New
of carrying on Jewish
large
in
a violent hostility by
Christians."
rites in secret;
grew up the notion of Jewish "blood" which was seen
Still,
numbers of
They were
sus-
but beyond that,
be polluting Spain.^'
to
This idea remained a minor strand in European thought until the intellectual
triumph of racism that came with the dominance of Romanticism century.
By
to include not
merely the distinctively dressed Orthodox Jews
Europe, but also the assimilated Jews and those
who had
had become completely secularized. Believers
in
particularly evil
in
of,
or ft-om. Eastern
converted to Christianity or
European purity saw the
and threatening precisely because they were
1890s, racial anti-Semitism had
merely
in the nineteenth
1870, the idea of a Semitic race was generally accepted. This was seen
become a major
cultural
invisible.
and
latter as
Thus, by the
political force not
Eastern and Central Europe, but also in Western Europe and America.
Fears of assimilated and converted Jews were intensified by the fact that
some
of them were extremely successful
in business, particularly
lectuals. In fact, their position in but
not o/ nineteenth- and twentieth-century Europe
gave them a marginality
that
allowed them a radical stance, and provided
insights not so easily available to other Europeans.
Sigmund Freud and Albert Marx. There
came from
is
no doubt
banking, and as
Two obvious examples
Einstein. Politically, by far the
that the
paroxysm of anti-Semitism
fruitful
of this are
most important in the
intel-
is
Karl
1920s and 1930s
a horrified reaction to the Russian Revolution of October 1917.
Its
leaders
Global Convulsions
88
claimed to have been inspired by Marx and many of them, including Leon Trotsky,
were Jewish.
And
most rightwingers saw communism as a Jewish conspiracy
so,
against the European order that had been widely believed to exist since the 1880s.
There was another source of anti-Semitism in
Germany during
America
in the
that
whom
destroy the "pure" Europeans
it
Europe and
had caused these economic catastrophes
responsible for their
unemployment and hunger,
were putatively trying in this
to subvert the
atmosphere
to
they so hated. Thus, the "National Socialist"
ideology of the Nazis could be against both Jewish
was
particularly attractive
Depression of the 1930s. This was the belief that a Jewish conspiracy
controlled the financial world, and that
It
became
the hyperinflation of the 1920s, and throughout
Aryan
capitalists,
as well as
who were
supposedly
Jew-Communists who
order.
that the ultimate absurdity of racism
was achieved,
was physiologically and phenotypically surrounding population. This construction was able to
the intellectual construction of a "race" that
indistinguishable from the strip
some Europeans of
their
Europeanness. Previously, Jews had been victims of
massacres and pogroms, but something qualitatively different Holocaust, Jews were treated in a
way
that
non-Europeans: the Spanish and English genocides
genocide
in Australia, the
now
took place. In the
Europeans had previously reserved for
German genocide of
in the
Americas, the British
the Herero in Namibia, and the
Belgian genocide in the Congo. Since the end of the Second World War, while anti-Semitism there has been a general reclassification of
is far
from dead,
Jews as Europeans, which has been
accelerated by the role and style of Israel as a bastion of European civilization in the so-called Third World.
Historiography
I
should
1760s a
now like to focus attention on the role of racism in historiography. In the new movement began among some German historians to leave the listings
of kings and battles to look or races
—
at social history,
their birth, rise,
and the
stories or biographies
and decline. This approach, which was the
Romantic concerns with the community, or
Volk,
was
intensified
of nations result
of
and altered by con-
temporary historical events. In the 1780s, just before the first French Revolution,
some French
aristocrats,
finding their extreme privileges difficult to defend in the rational atmosphere of the
Enlightenment, were driven to the extraordinary expedient of trying to justify them
on grounds of the
right
of conquest. They maintained that they were the descendants
of the Germanic Franks, 1
who had conquered
now
called France
some
earlier.
especially
when
were able
to rally the population
it
the territory
The tactic proved disastrous for the French aristocrats, was combined with their flight to Germany. The revolutionaries
,300 hundred years
by calling themselves the true
patriots
who wanted
Race
to drive out the
German
invaders. Ethnicity also
became
89
in History
central to the
wars fought
in
Russia, Germany, and Spain against the occupying Napoleonic armies. In each case, resistance based tion
its
popular appeal on Romantic nationalism. Thus, both the revolu-
and the reactionary wars against
them, were seen by
many
it,
which traumatized those who lived through
as national or racial conflicts,
and
this
had an impact on
all
historiography.
In early nineteenth-century
cocted by the French
grew
up. According to this, the
Britain, the
Franks
cultural
races
Germans, through
their tribes, the
in France, the Visigoths in Spain,
the true aristocrats of
and
Germany and England, the historical myth conon new life, and a new Germanic ideology
aristocrats took
all
Anglo-Saxons
and the Lombards
Europe. They were seen as responsible for
in Italy,
all
in
were
the military
achievements of Europe. The view that social classes originated from
was taken up by
the
man who
is still
generally considered to be the founder of
modem "critical" historiography of the ancient world, Niebuhr. Niebuhr argued, for instance, that the
the
Roman
Germany than the plebeians. new world of systematic racism, such
German
historian Barthold
patricians
had come from
farther north in
In the
ideas were quickly taken
up by
other historians such as Jules Michelet in France, and Niebuhr's translator into English,
Thomas Arnold,
the
famous Dr. Arnold of Rugby
in
Tom Brown's
School-
new
days.^ For them and their pupils, race and ethnicity became the exciting principles of historiography that previous historians
had missed. They saw
racial
competition and conflict as the motor of historical progress. This notion had a crucial
impact on both of the major theoretical developments of the nineteenth century. Charles Darwin extended racial conflict to what he saw as the struggle between species in natural history, and Karl
Marx removed
the alleged racial origin of social
classes to posit class conflict itself as the engine of human history.
The
idea that history should consist of the "biographies" of superior races
flourished throughout the nineteenth century.
wider public, instantiated
in the
immense
It
has survived even longer
of the English-Speaking Peoples. The wider concern with ethnicity and alleged purity of Europeans, was
still
present in
modem
European influences on Europe or
its
among
popularity of Winston Churchill's
A
the
History
race, especially that
of
historiography in the denial of extra-
development. Historians have consistently
underplayed the importance of such outside inventions as Arabic numerals, optics, perspective, the compass,
gun powder, paper,
printing, sugar, pasta, the potato,
and
maize. Their foreign origins are conceded singly. Moreover, their cumulative impact, not merely on the European material progress, but also on the cmcial concept of
progress
itself,
tends to be neglected or denied altogether.
A particularly
crude form of history glorifying Europe, and by implication the
"white" race, was promoted under the Reagan and Bush administrations of the
1980s and early 1990s. European history was seen as a succession of glorious
moments: Periclean Athens, Renaissance Florence, the seventeenth-century
scien-
.
90
Global Convulsions
German
revolution, the French Enlightenment, the
tific
Philosophers, Victorian
England, and twentieth-century America. Each of these was seen as having been built
upon the
were assumed
others; they
be purely European phenomena. This
to
splendid sequence was perceived as a sacred shrine of "Western Civilization" to be
worshipped, treasured, and defended
at
any
cost.
Moderates have been pushing for a more of non-European
European
civilizations.
civilization has
Even
they,
critical
"moments." Ancient Greek language, all
particularly true of the glorious
is
and science
religion, art, politics, philosophy,
massively influenced by Egypt and Semitic-speaking southwest Asia.^^ The
Florentine Renaissance and tian
at the idea that
always been heavily dependent on other cultures, both
materially and intellectually. Interestingly, this
were
approach and an appreciation
however, tend to balk
Hermetic
tradition.^*
humanism were
The
heavily indebted to the Ancient Egyp-
scientific revolution
depended
substantially
on Islamic
mathematics and astronomy. Hermetic influences, development and application were
made wealthy by the exploitation of America and other The leaders of the French Enlightenment constantly looked to China for The later "moments" took place in European societies in which explor-
only possible in a Europe continents. ^^ inspiration .'•^
ation, conquest,
and exploitation of other continents were central
economical, and
cultural
impossible to have a
It is
full historical
understanding of any culture without
taking external influences into account. Yet this
have been doing for the past two hundred that mixture is a far
more
one recognizes an equal
to their political,
life.'*'
is
what most
historians of
effective stimulus to innovation than isolation
potential in all
Europe
years. In general, historians should realize
human
beings,
it is
and
purity. If
not only socially immoral,
but also historically mistaken, to treat Europeans as the sole actors on the historical stage, rest
and
to privilege
Europeans and peoples of European descent above those of the
of the world.
Notes
1
Benedict Anderson, Imagined Communities: Reflections on the Origins and
Spread of Nationalism (New York: Verso, 1987). 2.
Kenneth Gergen, "The Significance of Skin Color
in
Human
Relations,"
Daedalus 96.2 (1967): 390-407; Carl Degler, Neither Black nor White: Slavery and
and the United States (New York: Macmillan, 1971), p. 211. 3. Edmund Leach, Culture and Communication: The Logic by which Symbols are Connected (Cambridge: Cambridge University Press, 1976), pp. 57-74. 4. St. Clair Drake, Black Folk Here and There. 2 vols. (Los Angeles: Center
Race Relations
for
in Brazil
Afro-American Studies, 1987-90), Vol. l,pp. 146-332.
5. Shomarka Keita, "Studies of Ancient Crania From Northern Africa," American Journal of Physical Anthropology 83 (1990): 35-48; "Further Studies of
Race
Crania from Ancient Northern Africa:
An
in
History
91
Analysis of Crania from First Dynasty
Tombs, Using Multiple Discriminant Functions," American Journal of Physical Anthropology 87 (1992): 445-54; and "Black Athena: 'Race,' Bernal and Snowden," Arethusa 26.3 6.
(Fall 1993):
295-318.
For other names, see Frank Snowden, Blacks
in Antiquity
(Cambridge,
MA:
Harvard University Press, 1970), pp. 16-18. 7.
Drake, op.
8.
For
note 4, p. 307.
cit.
Martin Bernal, Black Athena: The Afroasiatic Roots of
this dating see
The Fabrication of Ancient Greece 1785-1985 (New Brunswick: Rutgers University Press, 1987), pp. 86-88. 9. Snowden, op. cit. note 6, pp. 15 1-52 and Bernal, Black Athena: The Classical Civilization. Vol.
1:
Afroasiatic Roots of Classical Civilization. Vol. n. The Archaeological
and Docu-
mentary Evidence (New Brunswick: Rutgers University Press, 1991), pp. 258-60. 10. Bernal, op. cit. note 8, pp. 423-24. 11. Ibid., pp.
22-24.
mad, 2.184, 9.170 and Odyssey 19.245; Snowden, op. cit. note 6, p. 102 and Drake, op. cit. note 4, pp. 318-19 accept the plausible argument that Eurybates was black. The latter also shows the contortions made by some white scholars to 12.
avoid
this unpalatable conclusion.
13.
Herodotus
3. 20.
14.
Drake, op.
cit.
note 4, pp. 31-34.
15. Ibid., vol. 2, pp. 4-5. 16. Ibid., pp. 15-23. 17. Ibid., p. 309. 18.
Benedict Anderson, "Race and Descent as Social Categories in India,"
Daedalus 96.2 (1967): 444-63. 19.
Drake, op.
20.
Snowden,
note 4, vol.
cit.
op.
cit.
note
1,
pp. 259-65.
1,
pp. 214-20.
6.
21. Ibid., pp. 16-17. 22. Ibid., pp. 70-71. 23. Drake, op.
cit.
note 4, vol.
24. Martin Bernal, "Animadversions
on the Origins of Western Science,"
Isis
83.4 (December 1992): 596-607, 606. 25. Charles Taylor, Multiculturalism
and The
Politics
of Recognition (Prince-
ton: Princeton University Press, 1992), p. 62.
Race and Color in Islam (New York: Harper, 1970). Fan Begg, The Cult of the Black Virgin (London: Arkana, 1985); and Lucia Chiavola Bimbaum, Black Madonnas: Feminism, Religion & Politics in Italy (Boston: 26. See, Bernard Lewis, 27.
Northeastern University Press, 1993). 28. L. Poliakov,
The Aryan Myth: A History of Racist and Nationalist Ideas
Europe (London: Chatto and Windus, 1974), 29. Bernal, op.
cit.
note
8, pp.
202^.
p. 143.
in
92
Global Convulsions
30. Ibid., pp. 219-21. 31. H.
W. Debrunner, Presence and
Prestige: Africans in Europe:
A
History of
Africans in Europe before 1918 (Basel: Easier Afrika Bibliographie, 1979), pp. 140-45. 32. Robert Knox, The Races of Man: A Philosophical Inquiry Over the Destinies of Nations (London, 1862). Race of
33.
Bemal, op.
cit.
note
8,
34. Stephen Jay Gould,
into the Influence
pp. 240-45, 338-64.
The Mismeasure of Man (New York: W. W. Norton,
1981). 35.
See Ronald Sanders, Lost Tribes and Promised Lands: The Origins of New York: Little Brown and Company, 1978), pp.
American Racism (Boston and 17-29,65-91. 36.
For Michelet, see Edmund Wilson, To the Finland Station (New York,
1940); Bemal, op. 37.
cit.
note
8,
pp. 297-308, 317-20.
See David Pingree, "Hellenophilia Versus the History of Science,"
(1992): 554-63; and Bemal, op.
Egyptian Justice politischer
in
Denkens
cit.
Ancient Greece," pp. 241-61, in
Isis
83.4
notes 8, 9, 24; idem, "Phoenician Politics and in
Kurt Raaflaub
ed.,
Anfdnge
der Antike: Die nah-ostlichen Kulturen und die Griechen
(Munich: Historisches Kolleg, 1993). See also Walter Burkert, The Orientalizing
Near Eastern Influence on Early Greek Culture in the Early Archaic Age (Cambridge, MA: Harvard University Press, 1992). 38. See Eric Iversen, The Myth of Egypt and its Hieroglyphs in European Tradition (Copenhagen: Gad, 1961); "God and Egyptian and Hermetic Doctrine," Revolution: The
Opuscula Graecolatina, Copenhagen: Supplemental Musei Tusculani, 27 (1984); and Frances Yates, Giordano Bruno and the Hermetic Tradition (London: Roudedge and Kegan Paul, 1971). 39.
See Yates, op.
Mathematical Astronomy Berlin: Springer, 1984).
cit.
in
note 38, and N.
Copemicus's
See also
J.
M.
De
M. Swerdlow and O. Neugebauer, (New York and
Revolutionibus, 2 pts.
Blaut, 1492:
The Debate on Colonialism,
Eurocentrism and History (Trenton: Africa World Press, 1992). 1: De V empire romain a Leibniz De la sinophilie a la sinophobie (Paris: Gallimard,
40. See S. Etiemble, L' Europe chinoise. vol. (Paris:
Gallimard, 1988); and vol.
1989); and G. Blue,
2:
"The Chinese Presence
in
Europe," Comparative Criticism 12
(1990): 283-98.
41. See 1993).
Edward
Said, Culture
and Imperialism (New York: Alfred A. Knopf,
Concepts of Nationalism in History BRIAN E. PORTER
Nationalism
is
both a conscious movement or doctrine and part of the instinctive
group behavior of mankind. In the
first
sense
it is
comparatively new, in the second
very old. People were behaving like nationalists long before nationalism was ever
heard that
is
of, let
much
as
alone investigated and analyzed.
the subject of this chapter.
of the recorded past as
study of this scope, however, will find evidences
ethnic group, in
may
some
nationalism in the behavioral sense
is
inevitable.
An
illustration. In
a
historical sociologist
fierce, loyalty to the nation, national idea,
parts of the world,
or
and from ancient times, but for our pur-
pose, and as a help to understanding what this loyalty its
own, and the "history"
are our
prove helpful as source or
limitation
of strong, even
many
It is
The "concepts" then
is,
and involves, we
shall trace
development chiefly through the history of Europe since the early Middle Ages.
Origins
The was the
basis of
Roman
society
was
citizenship. This, with
the link between the individual and the state. But
rights
its
when
a
and obligations,
Roman
looked
Germans, he saw no equivalent. North of the Alps there was no
state,
at,
say,
only a
number of tribes characterized by common language, religion and customs. Germans were Germans not by legal status, as Paul of Tarsus was a "Roman," but by being bom German: they were a natio. Throughout the Dark and Middle Ages, "nation" continued to have this inherentiy ethnic meaning. certain cultural affinities,
It
involved awareness of
and a degree of xenophobia towards those of
alien cultural
or racial background (as between, for example, the Anglo-Saxons and the Celtic British).
None of
this
implied political obligation. For
many
centuries this remained
the highly personalized leader-follower relationship characteristic of
all
primitive
93
— 94
Global Convulsions
societies
and signified
in the early
forms of royal
titles:
king not of the land but of
rex Anglorum or rex Francorum.
the people
However, as the early kingdoms became more developed and stable, the people and the frontiers fixed, with written laws and titles regulating the whole, so land itself became the basis of the social structure and hence of political obliga-
less mobile,
Anglorum
the rex
tion:
estates
was
was the kingdom. Such a system tended
was then
identity
and the greatest of the
to cut across the nationality principle
were acquired by conquest,
lesser estates
the rex Angliae (king of
to the lord of one's estate,
even though the sense of national
and
became
(king of the English)
England).' One's prime duty
Kingdoms, duchies,
inchoate.
grant, or marriage, with the conse-
was as often as not a foreigner. Thus throughout the was ruled by French-speaking kings and in the latter part of that century about half of all Frenchmen found themselves living in the French domains of the king of England. Meanwhile the Normans, the supreme "go-getters" quence
that one's feudal lord
twelfth century England
of the time, the conquerors of England, southern political influence
paralleled
and vast
estates in Scotland
Italy
and
began
to acquire
—a type of
enterprise
Sicily,
and Ireland
by the movement of land-hungry German warriors and
sparsely populated Slavonic lands of the Baltic
settlers into the
littoral.
Everywhere the land was tamed, and so were the people. Dynasticism, the
rule
of family and the politics of family aggrandizement, was the form of governance
produced by a land-based economic and
social system.
Middle Ages dynasticism held the
then encountered a force which had long
field. It
been developing and which ultimately proved
when
1918,
until
dynasticism,
fell
before this force
Union, successor
know
the Austro-Hungarian
its
For the remainder of the
undoing. The battle was not over
Empire, the
—or even,
last
great expression
a great dynastic empire, suffered a like
state to
when
perhaps, not until 1991
fate.
of
the Soviet
This force
we
as nationalism.
The essence of
nationalism
all
is
the emotional identification of the individual
with the nation or the national idea, but the degree to which political consequences
flow from
this will
nationalism polity
it
may
will
depend upon a
exist,
but until
it
society's political culture
can be focussed
in a
and
structure.
A nascent
kingdom or other form of literary expression. The
remain largely the preserve of cultural or
process can be seen in the early development of English nationalism. In the eighth
and ninth centuries England was divided
kingdoms, the ruler of each of which could mobilize allegiance of his subjects, yet there reflected in the
two major
literary
was a sense
of,
in his
into several warring
own
dynastic interests the
indeed pride
in,
"Englishness" as
products of the time: Bede's Ecclesiastical History
of the English People and the Anglo-Saxon Chronicle. The position was not unlike that of Greece in the age of the city-states, or the Arab world today, with a consciousness of a
when
common
cultural, linguistic
and religious heritage, and the
facing an alien threat, of short-lived political cooperation.
of these kingdoms under the House of Wessex that allowed
this
It
was
possibility,
the unification
rudimentary national
Concepts of Nationalism
feeling to develop further, for not only
was
95
History
there the psychological bonding of living
under the same laws, fighting the same wars and engaging
and pride
enterprise, but loyalty to the dynasty
in
in the
in the nation
same
could
political
now
merge.
Nonetheless, the one great obstacle to the evolution of nation-states throughout the
Middle Ages, and indeed
in
some
cases up to the early nineteenth century,
was the
inherent contradiction between dynastic and nationalist principles and objectives.
Dynasticism by
its
very nature was transnational. Kings acquired alliances, and
often territory, by marriage, or
owing even
went
war
to
in pursuit
of dynastic claims. Moreover,
to their links with other royal families, their friends, servants, advisers,
and
their tastes
culture,
power-base almost invariably lay
character. Yet their
and
were not infrequently of a foreign or cosmopolitan
to ignore or alienate national sentiment
was
in
some
particular nation,
and
to incur unpopularity, even, perhaps, to
was lost to a rival claimant. For the most part, medieval was a force that could be exploited, and which it might be risky to ignore, but was not the governing principle of politics. This lay with the rivalries and ambitions of the magnates and the loyalties they could command, and operated as the extent that the throne
nationalism
well on the international as on the domestic stage, as witness the claim of the
Duke
of Normandy to the throne of England in 1066, and that of the kings of England,
from 1340 on,
to the throne of France, both
pursued on dubious dynastic grounds. In
—
the case of the latter claim, the victories of the Plantagenets over the French Poitiers,
—were popular with
Agincourt
their place in the national
Crecy,
the English of the time and have retained
mythology. Yet, had Edward in or Henry
V
been
ulti-
mately successful in their dynastic conquest of France, England would have become a mere appendage of the larger and richer kingdom, a fate which befell
following the
Norman conquest of England. Thus would
Normandy
the national principle have
been undermined. Medieval nationalism,
was
in short,
because dynasticism was the dominant
itself feeling
political
and reacting dynastically
mode. That
this
was so
is
strikingly
revealed in the career and outlook of Joan of Arc. She was engaged in what today
would be
called a
campaign of national
her as "one of the
medieval in
its
first
liberation, leading
Bernard Shaw
to describe
was
essentially
apostles of Nationalism."^ Yet her attitude
focus upon kingship. Her loyalty was directed above
to her
all
sovereign as God's regent upon earth, but she also held, and this was a sign of change, that
he should be master That
in
in his
own
estate: France.
medieval western Europe nationalism was not subverted by dynasti-
cism but was able
to run, if
sometimes uneasily,
in harness
with
it,
was owing
to the
ultimate success of the French and Scots in resisting the English crown's attempts at
dynastic conquest, an outcome itself largely attributable to the growth of national feeling aroused in those sanguinary and protracted struggles.
the
Muslims had a
like effect in Spain,
The long wars
against
where national unity was achieved through an
opportune dynastic marriage followed by the conquest of the remaining Moorish south. Henceforth strong national monarchies
were
free to develop in geographically
— 96
Global Convulsions
consolidated areas where single languages, or groups of related dialects, provided the required degree of cultural cohesion. In central Europe, partly to
its
on the other hand, owing
falling less naturally into regions delimiting state
archaic feudal structure of the Holy
Roman
power, and partly to the
Empire, dynasticism was successfully
able to frustrate the fulfillment of the national principle until comparatively recent times.
The Rise of Modern Nationalism Medieval nationalism
in the
main
related to the
kingdom much
as today's
average student relates to his university or college: great loyalty, especially in the field
of organized physical combat with traditional
appointment of the
institution's governors, or
sion, or termination
—although he might have
were ultimately any concern of until a class
had arisen
that
was
his.
rivals,
indeed
its
but no thought that the
continuance, merger, divi-
strong opinions on such matters
Nationalism could
make no
further
headway
sufficiendy self-confident and economically power-
ful to challenge the dynastic principle as a political, legal,
and psychological
force.
This began to occur, particularly in some of the trading nations of northern Europe, in the latter half It is
of the sixteenth century.
seen in the successful revolt of the Dutch against the Spanish crown and in
the increasing restiveness of the political class in late Tudor and early Stuart
England. The Reformation greatly helped the process, for
it
emphasized theocratic
was weakened.
rather than dynastic values, with the result that dynastic authority
Monarchs remained generally dynastic in astute amongst them saw the wisdom of
more
their outiook, but the
identifying with this
sentiment and placating the rising urban class which chiefly manifested
of France did
England did
when he
this
this in
Henry IV I
of
adopting a national brand of Protestantism and in expressing and
to her subjects she said: I
it.
declared that Paris was "worth a Mass"; Elizabeth
symbolizing the nation's defiance of the might of Catholic Spain. In her of my crown, that
politically
growing national
"Though God hath
raised
me
high, yet this
I
last
address
count the glory
have reigned with your loves."^ Her whole method of governing,
particularly in her approach to the marriage question,
may be
seen as a cunning bal-
ancing of nationalist and dynastic expedients with the aim of extracting the greatest
advantage from each. Nonetheless, with a sure
political instinct, she
remained
at
heart a nationalist and thus secured her place in the national pantheon as perhaps the
most popular and successful of English
The
Stuart kings
who
rulers.
followed her, with their dynastic notions of divine
failed to understand the strong
sion in the cause of Parliament, and which gave a mortal
English Civil War. Indeed, the party that
won
the
which found expres-
blow
to dynasticism in the
war even replaced
of kings with the divine right of the nation. Charles
I
right,
tide
and irreversible nationalist
was executed
the divine right
for having
made
.
Concepts of Nationalism
in
97
History
war upon the people of England, deemed by the Puritans to be a sort of reincarnation Israel. The intense nationalism of the ancient Jews proved to be a
of the Children of
heady brew
to a
Milton, amongst
people steeped
many
in the
Old Testament, led Oliver Cromwell and John
others, to see the English as being the
chosen of God,"* and had
an influence which, passing through Puritanism across the Atlantic (a latter-day Red Sea), eventually
formed a potent ingredient
in the
American
national consciousness,
as well as ensuring the development there of an essentially republican spirit and outlook.
But even
England with
in
for good, as the brief
its
long tradition of monarchy, dynasticism had gone
and disastrous reign of its
British sovereigns ever since
last
exemplar, James U, demonstrated.
have been of a very different order from
and Renaissance predecessors: reigning by parliamentary
tide,
medieval
their
and as symbols and
expressions of a national identity which alone conferred legitimacy upon them.
A
sense of national identity seems to have been maturing and deepening in
Europe through the eighteenth century. In the Protestant north it no longer had theological implications, except in the universal form that the God of Battles was always besought to favor the national side or cause, and was invariably rewarded with a Te
Deum
should victory be forthcoming. "Neo-Israelite" nationalism passed
with the age of religious wars, surviving only consciousness, and in
more
pristine
at
a deep level in the American
form with the Cape Dutch who,
less affected
by
the Enlightenment, also found their circumstances to parallel the Biblical experience.
In Europe, on the other hand, the growing sense of nationhood
encouraged by participation
in the balance
was undoubtedly
of power wars which intermittently con-
vulsed the Continent throughout the century. These wars, protracted in today's terms, usually lasting seven years or longer, invariably began as "policy conducted by other
means" but changed
in character, inspiring that spirit of patriotic solidarity
one aspect of nationalism, as the struggle wore on and
were threatened. Thus
particularly if the
which
is
homeland
1709, with Marlborough and Eugene at last poised to
in
invade France, the French fought with a desperate resolve the Allies had not before
encountered in eight years' campaigning, making Malplaquet the bloodiest battle of the century. In Winston Churchill's words, "[t]hey had a feeling that they were fighting not only for their
King but
for their country."^
A like development is apparent in the wars in which the Russians were engaged against Napoleonic France. sian approach to the
into something altogether
morphosis which Tolstoy's
is
From being
professional, strategic, "dynastic," the
Rus-
war was transformed, when the French marched on Moscow,
more
basic and instinctive, indeed "nationalistic," a meta-
one of the most profound and brilliandy handled themes
War and Peace. These wars were
like
hammer blows
dynastic states into nation-states, but the mutation
was
in the
in
Leo
slow forging of
rather in the psychology of
the wider political class than in the narrow political structure. Except in England,
where dynasticism petered out as Jacobitism
(to
win a posthumous
literary victory in
the realm of romantic lost causes), and in Holland, the dynastic order remained in control until the French Revolution.
— Global Convulsions
98
The Revolution not only
represented the overthrow of absolutism and aristo-
cratic privilege, but released a spirit of
nationhood so
stirring
and powerful
(as cap-
tured and evoked by that most electrifying of national anthems, the "Marseillaise") that
some have supposed
nationalism
itself to
have been
new
Revolutionary nationalism had, indeed, certain
bom
features.
at this time. It
French
marked a cleaner
break with dynasticism than had been the case with the British and the Dutch, breathing defiance to the whole dynastic order.
come
This did not
house was part of Initially,
that order, yet for
XVI was
though largely stripped of his powers, Louis
moderate revolutionaries as part of tide
The monarchy posed a problem. The royal many was integral to the very idea of "France."
immediately.
"King of France," implying
seen by the more
their nationalism, as "their" king.
that the
The
whole country was a royal
dynastic
estate,
was
replaced by the older form, "King of the French," stressing the link between
monarch and people. Anti-dynastic Antoinette
hostility
'Ha chienne autrichienne"
was
directed in the
—
main against Marie
foreign consorts being favorite targets of
was found by Charles Fs Henrietta Maria,
nationalist intolerance (as
Victoria's
Albert in the war hysteria of 1853-54, Frederick Hi's Victoria, and Nicholas
II's
Alexandra).
But any hope
that the
monarchy could become a popular
Great Britain, was
had happened
in
quacy for the
role,
fatally
To
but also by the emigre factor.
the nationalist, to flee one's
country for any reason other than the imposition of foreign rule before the nation's interest:
the
it is
supreme
national symbol, as
undermined not only by Louis' inade-
betrayal. This
of the aristocracy, and by the king's youngest brother.
is
to put self-interest
had been done by many
When
the king sought safety
with his wife's family in the abortive flight to Varennes, he stood revealed not as a nationalist but as a dynast,
and
this sealed his fate.
With the deposition and execution
of the king, the struggle between revolutionary nationalism and dynasticism was internationalized.
No crowned
head could
feel safe
while the Revolution survived;
nor could the Revolution feel safe while the dynastic order remained. "The coalised
Kings threaten us," cried Danton; "we hurl
at their feet, as
gage of battle, the Head of
a King."^
The
nationalism forged in the Revolution was different in other ways, indeed
different in kind,
nationalism,
it
from any
that
was imbued with
had gone before. Like American Revolutionary
the ideas and ideals of the Enlightenment: Liberty,
Popular Sovereignty and the Rights of Man. But universal.
American nationalism, which took time
alisms of the former colonies, did not stock.
core nation of a universal republic.
was
to
at first
French Revolutionary nationalism went be one's philosophy of
And
life
it
was more thoroughgoing and
to supplant the individual nation-
embrace any but those of European further.
the criterion for
The French were
to
be the
membership of that republic
rather than one's ethnic origins or racial back-
ground. Such a basis for a reorganization of world society might have worked had not the French, in Martin Wight's words, been "sublimely incapable of distin-
.
Concepts of Nationalism
guishing between the universal Rights of
Man
and French
in
99
History
culture."^
Napoleon's
armies entered the surrounding countries of Europe as liberators, but to those being liberated
came
it
on the
increasingly to look like political and cultural imperialism
grandest scale. It
was
ironic that at the
same time
and
artistic attack. Particularly
that the
was
this
so in Germany, where Johann Gottfried von
Johann Gottlieb Fichte with
his idea of "national genius" {Volksgeist),
Herder with his doctrine
cultural
whole eighteenth-century dynastic
acterized the
hegemony was being hegemony which had charorder was coming under intellectual
as French political
imposed upon continental Europe, the French
of the need for inward-looking polities united by language and his desire
German
nation should be raised to a moral ideal, as well as the
in folklore, philology,
and the roots of national
new
interest
culture, chiefly associated with the
names of Jacob and Wilhelm Grimm, all helped create a consciousness of "Germanness," which was to provide German nationalism with its intellectual and cultural justification.^ To these currents was added the emotive ingredient of Romanticism, a cultural
movement which many young German
writers
and
embraced with
artists
enthusiasm, and which was seen as releasing the imagination from the constrictive discipline, formality,
period, notably in
and symmetry of French classicism. Some of the poets of the
Johann Christoph von Schiller
England, championed in their writings
Germany and George,
in
—and Byron
Lx)rd
Byron
in active participation
—
the
made a great appeal to the youth of the was to make to young people throughout
cause of small, oppressed peoples. All of this time, as the nationalism of radical protest its
subsequent history.
Napoleonic imperialism acted as a catalyst to the growth of nationalism Europe, partly because certain of
Kingdom of
the Rhine, the
Italy,
its territorial
in
arrangements (the Confederation of
Grand Duchy of Warsaw) went some way
the
to
meeting national aspirations, and partly through arousing strong national and patriotic feelings in the
were
common
fulfilled in the peace.
struggle against France.
But few
nationalist
The conservative statesmen who gathered
at
hopes
Vienna were
resolved in the main to restore the dynastic order of the eighteenth century. Kings
and petty princes were put back on ruler or that
their thrones.
Whole peoples were
on the principle of rewarding the
allotted to this
victors, or strengthening barriers
against France, regardless of their sentiments or opinions. Nationalism, and liberalism,
were
even attempted
to play
to create
no part
in this
world restored. The
czar, in his
its
twin,
Holy Alliance,
an interdynastic community of Europe.
Forces such as nationalism and liberalism, however, could not be repressed indefinitely.
The expansion of
tions, the drift
class
trade
from the countryside
which increasingly chafed
and
industry, the
to the towns, all
development of communica-
made
at the multiplicity
for the
growth of a middle
of customs barriers and other
feudal restrictions, and which aspired to political influence
commensurate with
economic strength and educational attainments. The upheavals of 1830 and, more, 1848, and the struggle for the Reform
Bill in
England
in
1832,
mark
its
still
the
Global Convulsions
100
efforts of this class to
come
into
its
own. And
western Europe success was
in
achieved; the liberal nation-state was launched. In central, southern, and eastern
Europe, however, those bastions of dynasticism, the great military monarchies of Austria, Prussia, and Russia, proved everywhere too strong.
not only for hberalism, but also for nationalism.
The
The
Czechs, and within a few years the Poles, were thwarted
Germany
determination, and in state
was a setback
result
Italians, the
Hungarians, the
in their bids for self-
the efforts of the bourgeoisie to achieve a unified
under the aegis of the king of Prussia were rewarded with the contemptuous
"would not pick up a Crown from the gutter."^ The Continental nationalisms of the first half of the nineteenth
reply that he
intellectuals
century, led
by
and supported chiefly by the middle classes and the urban, student
young, were a far cry from the "Rule Britannia," bellicose, xenophobic nationalism of Hanoverian England. They were movements, founded to achieve certain goals:
and
constitutional government, national unity,
alism had no such need;
it
cultural awareness. English nation-
was never a movement, but a
robust, all-pervasive
patriotism, suspicious of outsiders, hostile to the traditional enemy, the French,
and
emotionally focussed upon that mythological entity called "England," or affectionately
"Old England." Horatio Nelson touched a profound chord with
Trafalgar signal, "England expects ..." centuries within the state and In contrast,
have were not
champions of the
fraternal, dynasties
and dynastic
Mazzini,
"all
famous
perfectly geared to the requirements of the state.
theirs
states
either
had no
state,
or such
by preference. Indeed, the view held by the
nationality principle
hence a prime source of wars.
his
nationalism like that had matured for
most Continental national movements
states as they did
early
was
A
was
whereas nations were naturally
that
were inherendy martial and combative, and
When
nationality
had triumphed, said Giuseppe
cause of war would disappear, and in
place arise a spirit of
its
brotherhood and peaceful emulation on the road of progress."'" This naive view,
which not
only, like
most Utopian
notions, tended to discount the dimension of
power, but also ignored such insoluble problems as two peoples claiming the same territory,
was never put
to the test.
When
the next great advances in the furtherance
of the nationahty principle took place, the unifications of Germany and
were accomplished the
power and
less
by the
will of the peoples, present
policies of governments, by, in fact, blood
though
and
this
iron.
Italy,
they
was, than by
The
"fraternal"
nations of Europe, instead of taking over and transforming the states of Europe, were rather taken over
and transformed by them.
The period 1870-1914 saw must have gone "core" nation
into the process
—became
the apotheosis of the nation-state.
by which the
state
become
sufficiently
middle classes, and increasingly the urban working
were
still
barriers
its
nation
integrated to an unprecedented degree.
munications, particularly railways, had
local or provincial
and
scope for their
which the
lives,
Many
—
factors
or at least
its
Economies and com-
developed to give the
class, a national rather than a
but not yet an international one; frontiers
vast majority never crossed. Moreover, the old feudal
Concepts of Nationalism
and religious
in
History
1
1
and deferences were becoming weaker, often leaving an
certainties
emotional void, or psychological insecurity, which loyalty to the nation-state or to
much
the national idea did
to offset.
Add
changes the steadily enlarging
to these
sphere of state activity and responsibility, the impact of official propaganda and indoctrination over an increasingly literate public, and the effects of conscription in all
the major powers of
Europe except Great
Britain,
and a good part of
spread sociopolitical
phenomenon might be accounted
most people's
and most people,
lives,
alienated, subject nation, its
found
in return,
for.
The
state
this
wide-
had come into
provided that they were not of an
and emotions were bound up with
that their pride
it,
achievements, performance in war, and international standing.
This was a time, too,
which heightened
when each
nation
sense of identity,
its
seemed
develop some characteristic
to
individuality. Britain, long imperial,
its
discovered imperialism. Russia was in process of making one of
swings away from took pride in
its
Western and back to
new
its
its
long pendulum
its
Slavonic-Byzantine heritage.
empire's military pre-eminence, which
many
Germany
believed, in the
thinking of the time, to prove a moral preeminence. France, long riven by the antithesis of
— Revolutionary-urban-secular and —found some measure of both a
two national
its
conservative-rural-Catholic
the
traditions
unity
for revenge for the humiliating defeat of
1870-71 and
allegorical statue of Strasbourg in the Place
crepe),
and
in pride in the empire-building
Third Republic.
Italy,
de
la
and
in
the
patriotic desire
loss of Alsace-Lx)rraine (the
Concorde was thenceforth veiled
brilliant cultural
in
achievements of the
almost as though unable to believe that unification had been
achieved, and perhaps uneasily aware that without the help of foreign powers
could not have been done, erected to commemorate the Risorgimento a
it
monument
of towering ostentation in the heart of Rome. The Austro-Hungarian Empire remained an anomaly in
accommodate race, its
it
all
this, for
although, as
name
its
the status and nationalistic pride of
indicated,
its
Magyar
it
now
attempted to
as well as
its
German
yet denied an equal role for the other, chiefly Slavonic, peoples constituting
population.
The
in the venerable
well as in
last
its rich, if
some of which
of the great dynastic
states,
it
even took pride
in the fact,
dynasty which, with incredibly rigid protocol, presided over not always overserious culture; but unlike
its
and
it,
as
fellow powers,
it
did not even have the makings of a
Europe
identified with their respective states,
retained dynastic trappings,
nation-state.
To
the degree that the peoples of
so were they, particularly
in the
case of the major powers, affected by the fortunes of
those states within the international system. Although governments in the nationalistic countries (as with the British in
feelings
had occasionally
in
1739 and 1853-54, and the French
in
July 1870), strong public
were now becoming a potent and permanent feature of international
Rulers and governments were
still
in
more
times past been vulnerable to war-fever
politics.
charge of the diplomatic game, but increasingly
they found themselves in the position of captains and teams playing in a vast stadium
thronged with phrenetic supporters and equally passionate opponents. Pride and
Global Convulsions
102
jealousy were excited to an unusual degree and the drive for overseas possessions
new
provided a
After the
field for rivalry
fall
and contention.
of Prince Otto von Bismarck
in 1890, the
remaining conservative
restraint
went out of the system, and diplomatic
hitherto
had been part of the normal working of the balance of power process could
either
retreats
and accommodations which
no longer be made by governments or made only
weakening
their
own
The
prestige and authority.
at the cost
of gravely
effect, in the years prior to the First
World War, was a "peace" characterized by growing grams
that
tension, by armaments prowere supported, and sometimes demanded, by the publics, and by
diplomatic crises any of which might have thrown Europe into war. a
monopoly of this
excitable, irrational
as in the "jingoism" of the British militaristic posturing
mood.
music
It
No one class had
penetrated to the bottom of society,
halls,
and to the very
top, as in the
and chauvinistic speechifying of the German Kaiser.
Kaiser Wilhelm H, intellectually superficial and psychologically insecure though
he was,
is
of historical significance for reflecting, almost in caricature, that strange
mixture of envy, aspiration and suspicion, infused with a hubris that had grown with
which then characterized the collective mood of large German people. But all the major nations of Europe shared in varying and each in its own way, the pride and arrogance of the powerful, for were
the strength of the state, sections of the
degrees,
they not the lords of the greater part of the earth?
The fering
First
from
its
World War was precedented predecessors in
its
general nationalistic orgasm. Such
of President in
May
Woodrow
scale;
was
it
in
being a balance of power war,
was unprecedented
in
dif-
being also a sort of
the mental climate of the time
—
in the
words
Wilson's envoy. Colonel Edward House, writing from Berlin
1914, "militarism run stark
mad""
—
that
had not the heir
to the Austrian
throne been assassinated by a Bosnian Serb in Sarajevo on June 28th, then
some
other inflammatory incident would undoubtedly have sparked off the war a year or
so
later.
For long an explosive force
bom
of the pride, passions, and frustrations of
great populations had been building up in Europe, and Sarajevo provided a release.
Never was war entered upon with such
The hopes of some their proletarian brothers
patriotic enthusiasm.
socialist leaders that the
working classes would not
fight
were immediately and cruelly dashed. In London the
veteran Labour leader Keir Hardie, in attempting to
make an
anti-war speech in
Trafalgar Square, was howled down. Nationalism, which had been the bane of the European "establishments" only two generations earlier, now came to their aid, indeed swept along all classes in one great unity of purpose. The governments that
had launched the war side
all
believed they had embarked upon a conflict which their
would quickly win and
then, as in a prenationalistic age, conclude with a
negotiated peace; they soon discovered that they had unleashed vast primal forces
which they could not
control, but which, in effect, conU-olled them.
Any chance
of a
reasonable accommodation was out of the question; the war had to go on until one side gave
up through exhaustion and
loss of hope,
and the settlement imposed by the
—
Concepts of Nationalism
victors could only
103
in History
be draconian and humiliating. In 1815 the dynasts had treated the
vanquished with comparative leniency;
1918-19 nationalistic vindictiveness,
in
inflamed by the huge losses sustained, would countenance no such outcome.
State Nationalism
The nationalism
found
that
concomitant of the love
had since the
its
affair
ultimate expression in the First
with the
late sixteenth century.
state,
Beginning
advanced and hopeful development for It
was favored by
anarchy and dynastic privilege and taxing power;
internationalist claims
Moreover,
it
was
the
and
German
it
state,
but
of the
Roman
ecclesiastical
all that
who
to diose of privileged birth, or
imperium.
working class for giving rootiess
and insecure
growing body of middle-class people
whom
(like
education had fitted to serve in the
were, with rare exceptions, excluded in preference
having superior social connections, from service in the
average ancien regime. For the middle liberal principles,
Protestants
countering the residual
revolutionaries of 1848)
highest positions of
embraced
was championed by
way of
what had become for many a
was desired by
and material
intelligentsia as a
political influence
role in
most
means of curbing both feudal
attractive to a post-rural, post-religious
them a focus and a existence;
and
it
had
Europe, the
this class as the
internal order, external security,
the mercantile class as a
and by an increasingly secular
political class
in Protestant northern
was seen by
sovereign, centralized, cohesive nation-state
prosperity.
World War was a
which the emerging
class, the
modem
state, particularly if it
provided an opportunity to achieve status and secure a
comfortable living.
Out of the
state nationalism
which these
social
developments engendered,
together with the growth of empires, and of navies to defend them, grew the cult of
imperialism. In part this reflected pride in the possession of vast territories, pro-
claimed on the world
map
in the national coloring, giving
even small countries
like
Holland, Belgium, and Portugal the status of world powers, and arousing (especially the British
Empire which looked even more immense
jealousy and envy amongst the
Germans and
in
Mercator's projection) great
who had come
Italians
too late upon
the scene to acquire what they considered to be their fair share of the world. In part, too, imperialism reflected the fact that overseas possessions provided a field for politically
unhindered commercial expansion and exploitation. They also afforded
career opportunities, which were not always available at home, for service officers, administrators, and professional people generally, together with a lifestyle for the
middle classes previously enjoyed only by the aristocracy. Even those serving
—Rudyard
lowest ranks of the imperial power
were caste,
rarely
Kipling's
untouched by the experience of belonging,
and tended
to
become confirmed
of the "liberal intelligentsia"
nationalists
in Britain,
and
Tommy Atkins if
and
in the
his like
only temporarily, to a ruling
imperialists.
To
the
amazement
popular support for Prime Minister Anthony
—
-
'
— Global Convulsions
104
Eden's disastrous Suez venture actually grew as the
members
families in the country had not had
world wars, or
in the
Gyppos" had
seized "our" canal, revealed
crisis
developed, but then few
serving in Egypt, in one or other of the
seventy-year occupation, and resentment, even anger, that "the
penetrated and affected
how
deeply colonialist attitudes had
levels of British society.
all
State nationalism in the Western world has long been the virtual preserve of the political right. Indeed,
always force.
so.
When
it is
now
an element
in the definition
of the
the dynastic order held sway, state nationalism
But with the eventual triumph of the
nation-state
The
force, designed to bolster the status quo.
it
political left,
right.
This was not
was a revolutionary
became a conservative whose function it is to
overturn the status quo, tends therefore to be uneasy about the state and deeply suspicious of the type of nationalism which sustains party meetings that the dais table
is
proceedings conclude with the National as in the United States
America"
it is
that the Stars
more
It is
it.
not at Labour but at Tory
customarily draped with the Union Jack and the
Anthem be
likely to
Hope and Glory," just homes of Reaganite "Middle
or "Land of
at the
and Stripes would be seen giving a
front porch or garden flagpole. Moreover, in
patriotic signal
most countries the
from
right sees itself as
the custodian of the military tradition, the left turning instead to internationalism, to
disarmament, even,
meant the country
at times, to pacifism.
Yet by "the
which
state,"
is at
issue here,
is
as a political entity in the world, together with those attributes
army, navy, public pageantry, architecturally resplendent capitals, prestige abroad,
and good order
at
home
—which enhance
its
other chief sense, government control over
self-regarding nature.
its
citizens
expense of market forces, does not usually find favor with the capitalist
condemnatory of the
attempts to promote economic justice,
Support for the
right.
its
at the
Indeed, in the
state in the first
is
state in this sense as the left, in
usually in favor of
themselves to constitute, the ruling class
though they have arrogated
its
it.
of these senses, and hence state nationalism,
who
frequendy class-based or otherwise sectional. Those
as
state" in
West, other than in those societies where a tradition of feudal paternalism
persists, the right is as
is
"The
and over the economy
constitute, or
in a country, tend to see the state as theirs.
to themselves the
view of the
state
once
is
who deem It
restricted to
absolute monarchs, and declared, 'Tetat c'est nous'' This in part explains the association of state nationalism with the political right, the conservative element in society usually being the classes, sects or parties
Reformation
most powerful and wealthy. But which achieve power
in Scotland, the Presbyterian clergy
even the sovereign as one
who
saw
should be their subject
that they dispensed with the sovereign altogether)
contemporary
Iran. In this last case, as in that
tionary France, Bolshevik Russia, Nazi the chief examples, the state
becoming
their instrument
it
also true of those
Thus
—
a situation paralleled (except
by
their Shi'ite equivalents in
of Cromwellian England, Revolu-
Germany, and Communist China,
little
after the
the state proprietorially, with
was completely remodelled by
and bearing
is
after a revolution.
relation to
its
the
new
predecessor.
to
name
but
ruling party,
—
Concepts of Nationalism
some
In
states,
usually ones
whose population
in History
105
lacks ethnic or ideological
cohesion, as well as the focus and continuity that monarchy or other constitutional structures
of long standing provide, the army has
embodiment or custodian of the republics, notably Chile
army power
in the
national idea. This
wake of
the Falklands fiasco, one
astonishing to any Anglo-Saxon, all
we have done
Third World
to
see itself as the
American
and Argentina. In Argentina, following the overthrow of
such families forming a closely knit society
so after
come
true of certain Latin
is
"How
for them?"'^
member
at the officer level
can these people"
It is
of an army family
—made
(i.e.,
the
comment,
the citizens) "treat us
many
a pattern likely to be repeated in
a
state of recent origin.
World War,
In consequence of the First
state nationalism
decline and a revival. In liberal, democratic Europe,
lost
it
underwent both a
much
of
its
force, a
war but to the values and mental climate which were thought about. The effect in the United States was less traumatic, but even
reaction not only to the to
have brought
it
there the naive stridency of that type of nationalism of
the personification, even though force,
was never
victorious
quite repeated.
from the war
But whereas
somehow
intensity
felt
saw
degree from the high peak
which had suffered
defeat,
they had lost the peace, state nationalism returned with redoubled
else these
two creeds
conmion: each was a
values,
this day, in those
vital
which emerged
under Bolshevism and Fascism.
Whatever this in
in those countries
this decline, to a greater or lesser
of pre- 19 14 nationalism, remains true to or
which Teddy Roosevelt was
American nationalism remains a powerful and
fierce
and the class which produced
had
in their various manifestations were, they
and virulent reaction to liberalism, it
and prospered by
it.
And just
its
system of
as liberalism
the state primarily as the protector of the individual, the guardian of that order
under which the rights and
interests
of the citizen were maintained, the
totalitarianism, in contrast, exalted the state
and
its
new
ideological expression, the party,
and a Moloch for whose sake alone the individual existed. So complete has been the downfall of Fascism, and now Bolshevism,
into a totem
may be
in
that
we
danger of forgetting the potency of the social and psychological forces
which they owed
their birth
and
rise,
inadequacy of the Western idealization of private thoroughly bored with a
humdrum and
to
as well as of ignoring the psychological life.
Periodically
man becomes
routine existence and has an overpowering
urge collectively to do spectacular, even violent things. Western democratic liberalism, unless, despite
itself, it
becomes caught up
in war, offers little
opportunity for this to
happen. But the type of regime usually thrown up by a great revolution, or one
any
rate inspired
myriad impulses become focused and directed. The
human
at
by some impelling belief or cause, can be the means by which these result
is
the release of colossal
more heavily phenomenon which Tolstoy called "the swarm life of mankind."'^ Nothing that human beings experience can compare with the intoxication which comes from feeling oneself to be part of some great heave of energy, invariably expansionist, whether into wilderness or, in
settled regions, into neighboring countries, a
Global Convulsions
106
from an awareness
history,
whole community
that the
the French felt during the Napoleonic period, the
War and Joseph
more so under
still
the Nazis,
patriotism which
Germans before
associated with such upheavals
in liberal societies,
something greater even than time
when men look
forward;
renounced or derided. To win
in
all
which can have the
all
before
will to is
do something
mould
the world anew. This
it;
fate
a
to lose fosters a bitterness, a frustra-
The Nazi movement grew
in
programme of collaboration.
in common."^'* It is
such circumstances
state nationalism in
Ortega y Gasset's conclusion that the
when
...
It is
pure dynamism
state
—
the
that will is lacking that the state, if
not ethnically homogeneous, will be in danger of falling into
Such was the
is
and thwarted dreams of Europe's most powerful,
to bear out the truth of Jose
plan of action and a
often
is
exalted to a
thoughts are of the future with the past usually
dynamic, and expectant people. The role of
"is a
is
the state as the instrument of
direst political consequences.
large part out of the injured pride
would appear
Worid
such circumstances stimulates an exhilarating sense
of destiny which for a time carries tion,
is
it
the impulse to
itself:
was what
the tyranny of
infused with ideological or religious fanaticism, and although the state
degree never approached
It
the First
many Russians even under
commonly
is
on the move.
phase of their Islamic republic.
Stalin, the Iranians in the initial
The
is
its
it
constituent parts.
of the Soviet Union. The regime did not lack the coercive means
had gone, and so had the
to hold the state together, but confidence in the future
will
to continue.
The Nationalism The world of
of the National Idea
nations
is
primarily and essentially a world of the mind.'^ Yet so
powerfully and intimately do nation-states impinge upon the lives of their citizens, influence their attitudes, and engage their emotions loyalties or arousing their hatreds
of what
is
that
few
there are
—whether by who
new
historical
perhaps subdy modifying, the whole. shared by, and influences, the
and
cultural experience adding to,
And upon
the extent to
It is
support
it,
whom
it
offers patronage, to develop
idea, as Virgil with singular success
many
artists
gave universal currency
have no shared view, no collective image,
country of which they are citizens, that
Sometimes, however, weakness
many new
and
intellectuals
and publicize the national to the idea
parts of the worid this process has not even begun, and
their peoples
and
this idea is
therefore in the interests
of the ruling political class, and of those writers and other or to
which
depend the cohesion of the
total population, will
nation and hence the inner strength of the nation-state.
who
enlisting their
recognize the true nature
happening. In every nation-state there will slowly have evolved a view of
a "national idea," each
itself,
—
it
is
of Rome. In
to the fact that
either of themselves or of the
states
owe
their chronic
weakness.
arises in another way. If the national idea
seen too closely to serve the sectional interests of the ruling establishment, an
is
alter-
Concepts of Nationalism
native one
may be
loyalty to
which nationalism
Each
wars.
side
is
patriotic but
is
patrie and what
adopted by a
it
stands
rival or dissenting class
prone.
Hence
the passionate
all
the extreme bitterness of
most
Israel" that
was
England was
the Puritan
hardly likely to be the England of the Stuart court. Indeed, national ideas
become
civil
each has a vision very different from the other of the
The "new
for.
and given
107
History
in
polarized, and induce explosive mutual antagonism
may
well
on the part of those who
hold them, long after the social fracture which originally gave rise to them.
Throughout the nineteenth century and for most of the twentieth, France was
On
riven in this way.
the one
hand was the France of 1789, of rationalism and
clericalism, a tradition fostered
was
by the
radical intelligentsia of Paris;
Catholic, conservative, primarily rural France. This
down
was a
split
nation can be divided by ideas, so too can
it
be reunited.
was
It
and on the other
which went
and
to village level with the proverbial rivalry of schoolmaster
anti-
right
But
priest.
if
a
part of the political
genius of Charles de Gaulle, perhaps the supreme statesman-nationalist of the twentieth century,
if
only because his goal of national unity and renewal was
achieved in the face of almost impossible odds, to contrive a vision of France which previous traditions. That vision embraced greatness and "/a gloire''
subsumed
all
outsiders,
and indeed
to
such anarchic insiders as the Parisian
appeared somewhat ridiculous, but
it
was a means by which
French history could contribute to the national
founded
in
1958 linked two
traditions in that
all
it
the major figures of
identity, just as the it
To
satire industry,
was republican
regime which he
in
form yet mon-
archical in spirit.
Benjamin rich
Disraeli spoke of England's
"two nations," by which he meant the
and the poor, yet pace Karl Marx, even gross
inequalities of wealth
prevented a people from feeling loyalty to a national idea provided that
have rarely
this
enshrined
values with which they were in sympathy. Before the Civil War, Americans,
although united over those principles which had led to their independence, could not
complete
their nationhood,
come of age
as a nation, so long as slavery constituted an
untenable ethical ambiguity. After the Civil
War
the
way was
so long delayed, a cohesion paralleled by that of the state
clear for the cohesion
itself,
with the very
name
"United States" thenceforth given a singular rather than plural meaning.
Even though in the
the national idea
world of
to extend into the
ideals,
may
represent a coherent set of values,
even of dreams,
if
it is
to establish
its full
it
psychological bonding of a people. Thus central to every nationalism
One can see come to have
nationalist's country, ideally conceived.
certain countries.
Thus "America" has
this in the alternative
for
needs
potency is
the
names of
Americans associations and
resonances that are hardly conveyed by "United States."
And
for an
Scotsman and Welshman, "England," "Scotland," and "Wales"
Englishman,
will strike
deeper
chords by far than the comprehensive and originally geographical term "Britain" or
"Great Britain," to say nothing of the
official
designation of the
state,
usually
abruptly shortened to "U.K." Indeed, the political conception of a nation tends to
lack
all
mystique.
The Bolsheviks
tried to transcend nationalism
by
setting
up the
Global Convulsions
108
world's workers'
own
state,
unique
Yet although the Soviet Union
some
having no geographical reference
in
made
alienated proletarians and disaffected intellectuals in other lands,
the defence of "the workers' paradise," but to that of
was impelled
to rally the
people
in
1941.
The
"home," has an even greater hold upon the exilic writings
in its title.
a strange psychological appeal as a Utopia to
was not
it
"Mother Russia"
to
that Stalin
ideal motherland, often referred to as
exile.
"Jerusalem" features as such
in the
of the Old Testament, and has played a comparable role in the main-
tenance of a Jewish identity throughout the long centuries of the Diaspora. To those
who have
stayed put after a political upheaval, the emigre has forsaken his nation; to
the emigre himself, he has taken intense nationalist of them
it
with him. The emigre, or exile,
is
often the
most
all.
Nations and Ethnie
Undergoing a
common
collective experience nearly always leads to the
bonding of
those involved. Going to the same school or college has this effect, as does service in the
same regiment, and
is also, therefore,
consciousness of those living within
even
at
When, during
times out of those
Army
who might be
the First
visited prisoner-of-war
anger and
when
They experience
camps
in
the
is
Sir
Roger Casement,
Germany with
to the anti-British cause,
history of
same govern-
the
same
the state nation formed,
expected to be resistant to
World War,
The
the state goes to war, share the
of purpose, and defeats or triumphs. Thus
pull.
the British
action or campaign.
the story of the development of a group
borders.
its
ment, live under the same laws, and, sacrifices, sense
same
particularly in the
the evolution of the state
its
psychological
the Irish nationalist,
aim of recruiting
Irish soldiers
of
he met with scant success, indeed with
hostility.
Yet the attempt was not ill-conceived; even while he was so engaged, plans
were being made
in
Dublin for a rebellion against British
end
to
be unassimilable, showing
proved
in the
torical identity, usually associated with
tive faith or state.
tive
is
tribe, nation,
Most of
the Irish his-
branch of religion, can be proof against the integrative effects of the to signify "state nation," an alterna-
required for the category just described. English has no appropriate
word. The German "Vo/^" expresses the idea, but
Hence some
rule.
an overpowering sense of
an ancestral language and perhaps a distinc-
Because "nation" has increasingly come
term
that
scholars have borrowed the French
is
too suggestive of German-ness.
word
ethnie (from ^"Gvos
—
race,
people) to meet the need.'^
Compared with nations in the original
nations, ethnie are primordial, or rather they correspond to
Roman
sense.
What makes them
special
is
a distinct cultural
character usually expressed in language, origins in the remote past, a long-settled
homeland, and a sense of kinship.
may be
derived
Some
more from myth than
of the beliefs an ethnie holds about
reality: the
itself
idea of the Founder of the People, a
Concepts of Nationalism
Abraham
Father
medieval Celtic
British,
that identity.
for the
As any
109
History
Romans, and
of descent from fugitives from Troy. Myth,
plays an essential part in group identity, but
enhance
made
or an Aeneas, or the claim,
in
for the
in fact, not
only
continuously created to preserve and
is
movement knows,
student of a nationalist
the ongoing
mythologizing of history can produce a psychological unity of fearsome potency.
That ethnie have not been given the attention they deserve as components of world
politics is largely
them. Indeed,
it
be subsumed
in
its
been marginalized in
many
owing
modern
to the
state's rarely
being an expression of
often ignores or discounts their existence, preferring that they should
own
Moreover, the concept of ethnicity has usually
state-nation.
to minorities
states, as in the
of alien background,
it
seldom being considered
people, too, have an ethnic side. With the notable exception of Japan, the industrial state has sought to distance itself
from
its
the primitive, or the rural, flying in the face of
all
only was
it
not founded upon ethnicity,
it
was a
all
living contradiction of
model by governments anxious
ment, or increase the labor force, as
when
Germany admitted
1960s, Western
period, and Australia
Britain
its
The
multi-
territories in the
1950s and
numbers of Turkish guest workers over the
large
abandoned
it.
to foster develop-
and other European colonial powers
former overseas
their
this
great countries, not
ethnic state has thus been taken as a
encouraged immigration from
of
notions of progress, modernity,
oudook. The richest and most commercially successful of
same
modem
ethnicity, seeing this as a relic
and internationalism. The example of the United States has encouraged
mobility,
that
long-established nation-states of Europe, the indigenous
white Australia immigration policy in 1973.
Ethnic Nationalism
The imperviousness of many modem
states to ethnic realities has led to a
cence of ethnic nationalism. This essentially of the ethnie, although the form circumstances.
It
will
it
may be
takes and the ends
be convenient, however,
recmdes-
taken as the self-assertiveness
it
seeks will vary with historical
to divide the
phenomenon
into "hard"
and "soft" ethnic nationalism.
Hard ethnic nationalism question:
"Who
what land?" and because believes
it it
gets
is
the
most basic of
what land?" But
"Who mles what
has been driven out of
this, too,
land?"
its
An
all politics,
may be
reducible to the simple
divided into,
"Who
settles
ethnie seeking land to settle, either
own, or through overpopulation, or because
it
has an historic or even divine claim to pursue, can behave with great
mthlessness. Indeed,
some of
the
most
intractable political conflicts the
world
now
faces have their origins in the intrusion of one ethnie into the territory of another.
This
is
currently occurring in Bosnia, but perhaps the
century has been the influx of Jews into Palestine.
most prominent example
Any hope
this
that the passions
aroused and the implacable hatreds engendered will fade with the passage of time
seems hardly home out by the experience of Northem
Ireland,
now
an "Israel" of
1
Global Convulsions
10
And
nearly four centuries' standing.
over Palestine in 1993 and for tactical reasons
of heart. That
remains true despite the "peace" arrived each case
in 1994: in
and through exhaustion rather than through any of situation
this t>'pe
few of
fact that
this
Northern Ireland
in
not
is
more prevalent
largely
is
the worid's ethnie have acquired their present
expelling, enslaving or slaughtering the previous inhabitants. sur\'ived in
quendy
any numbers, and not
lost their
language and
at
came about
this
significant
owing
change
to the
grim
homelands without
And even when
these
just as anthropological curiosities, they not infre-
their culture.
Such genocidal happenings are usually a
breakdown of an imperium or other established where civilized control tends to be weak.'^
feature not of settled times, but of the
system, or of an advancing frontier
Ethnie in a "state of nature" fmd their
empires or of
ment
own
balance, but the imposition of
no way correspond effect, and one likely
state structures that in
patterns will have a distorting
live in areas they
would
to their strengths or settle-
grow
to
as groups begin to
fear to inhabit without the order ensured
by the imperial
power The disappearance of an empire
thus has the effect not unlike that of the staff
departing from a zoo after leaving
the cage doors open.
sacres
which took place
British
power
in 1947,
all
in Calcutta, Delhi,
and the Punjab
The widespread mas-
after the
withdrawal of
and the "ethnic cleansing"'* following upon the disintegration
of Yugoslavia (which one might see as a delayed outcome of the
fall
of the Ottoman
Empire) are examples of the bloody process by which a new ethnic equilibrium established.
A new political strucUire will inevitably follow:
drawing up of frontiers Ethnic extremism sity
and
in the
to reflect the
may
irrationality, to a
form of a
new
the creation of states
reality.
also be the response,
sometimes paranoiac
perceived threat to the national identity. This
class of people
deemed
is
and
to
in its inten-
may be
seen
be permeated with foreign influences, and
only with their utter elimination can the purity and security of the ethnie be ensured against the surrounding enemies.
By
such drastic means,
depopulation of the capital, Phnom-Penh, did the attempt to maintain the integrity of the nation it.
A
it
seems, including the
Khmer Rouge regime
at the cost in lives
similar explanation lies behind Robespierre's Terror: no-one
wholly committed revolutionary could be guaranteed not
enemy powers now ranged against France. The impulse to preser\'e the ethnic identit>' sometimes
to
of Pol Pot
of a large portion of
who was
not a
have traitorous links
with the
to recover the "national soul"
from the "pollution" of
Thus Mahatma Gandhi preached peasant values, echoing
the
in this the
need
takes the form of seeking
internationalist materialism.
to return to the spinning
wheel and humble
philosophy of Tolstoy before him;
Eamon De
Valera sought a return to an Ireland that never really was except in the imaginings of late Celtic
romanticism; and Welsh nationalists of the 1930s advocated, under a
similar influence, the pastoral ization of their country
by the miners of South
Wales.'''
The most
striking
—
a proposal not well received
manifestadon of
this
hosdle reac-
tion to materialist values has been the populist anti-Western character of a revived
Islam, the force behind the Iranian Revolution of 1979 and the
more
secular, pro- Western
regimes
in the
Moslem
now
worid.
actively
undermining
1
Concepts of Nationalism
The most
direct
way of
preserving the ethnic identity
in
History
by disallowing
is
mixture by natural means. Religion has historically been a prime factor that marriage
was confined
continuous existence over
among
groups
others. In the
in
inter-
ensuring
community, and has largely made possible the
to the
many
1 1
centuries of the Jewish people living in small
same way,
the
two major communities of Northern
Ireland have preserved their separate identities by religious difference: marriage
across the religious, and hence ethnic, divide
is still rare,
and
lower levels of
at the
society can lead to ostracism or even danger. Usually, the force of public prejudice
a sufficient deterrent to mixed marriages where there
when
ness but sometimes, and particularly
Such was
by law.
it
had been
earlier
by
indeed being expressions
of, ethnic
may have been
regimes other than the Nazi
involved, these will be prohibited
Hitler's Reich.
These two regimes have been exceptional tering,
is
is
a strong ethnic conscious-
by the South African Nationalist regime during
the policy enacted
the apartheid period, as
race
is
modem
in
Western history
in fos-
nationalism in an extreme form. Fascist ultra-nationalist but they
were not
ultra-
was bom out of a fear of losing power to, or being submerged by, the much more numerous nonwhite population of the country. But in Germany there was no such fear, only a strong racial or ethnic preethnicist. In the case
of South Africa,
many European
judice that exists at a deep level in sions of
Jews had occurred
this
intermittently through
Massacres and expul-
societies.
European
history,
sometimes led
or abetted by the authorities, but often spontaneous and popular. Until the Holocaust, the worst
modem
incidents
were the Russian pogroms of the 1890s, occurring
village level but officially encouraged
and leading
to the
mass
flight
at the
of Jews to
Westem Europe and America. Such racialism had rarely been expressed as declared govemment policy, at least in modem times, but in the Nazis a class that shared these sentiments at last came to power. In the bid for revolutionary power they possessed a trump card. The racial creed made a seductive appeal to those who were lowly placed, yet by nature "upwardly mobile." The humblest clerk, provided he was of good Aryan stock, now had the priceless advantage of "blood": from being a nobody under the Kaiser, he now became, in Hitler's system of racial values, one of the lords of Creadon.
Whereas "hard"
ethnic nationalism insists
segregation {apartheid) or by the
more drastic
mination, "soft" ethnic nationalism able, with cultural liberal
autonomy or
is
Not
last
its
own
nationhood than
to
name
and
is
the
century and
more populous "core"
achieved either by
or, if that is
region.
came
into
surprisingly, ethnic nationalist
minority ethnie within a larger state are invariably
political
purity,
content with sovereignty,
privilege within
democratic movements of the
settlement of Versailles.
on ethnic
"ethnic cleansing" of expulsion or exter-
more
It is
its
unobtain-
a product of the
own
with the peace
movements
arising
from
self-conscious about their
nation within that state.
cultural nationalisms of the Catalans, Basques, Bretons,
Hence
the vibrant
Welsh, and Scots,
but a few, whereas ethnic "English nationalism," except in marginal cultural
ways, can scarcely be said to exist
—perhaps because
it
does not need to.^
1
Global Convulsions
12
Thus
we have looked
far
space. There
stances, needs
in politics. It adapts itself to different
and goals. There are times when
then, to universal surprise,
view,
of nationalism over historical time and
at varieties
no more protean force
is
it
will ignore or discount
circum-
appears to be a spent force, and
springs back with redoubled fury. In the present writer's
the ethnie that are the true realities of
it is
it
them
African and Middle Eastern
states,
much of
the worid, and the worid
Already they have torn
at its peril.
and
in
to pieces several
where kinship counts for
cultures
everything and allegiance to an inherited, rather than indigenous, state-system or nothing, the political superstructure looks
alism of nation-building
may
more and more
vulnerable.
little
The nation-
save something from the impending wreck but time
is
running short and the omens are not propitious r^
Upon
Communist order
the collapse of the
seem prematurely
to
have held
be taking a new and alarming
turn.
in
1989-91, there were those
had ended.
that History
On
the contrary,
Out of the anarchy and turmoil of
it
the
Dark Ages
a feudal order of dynastic kingdoms at length arose. This in turn gradually gave to a
new
who
appears to
way
order of nation-states, a process fired by nationalism and marked by the
wars, revolutions and upheavals that characterized especially the period from the
French Revolution
to the
Second World War and
its
anti-imperial aftermath.
The
twentieth century has seen the nation-state almost everywhere prevail. Indeed,
it
model which the former colonial world was bequeathed and expected
to
became
the
operate and prosper by. But no sooner had the idea of the nation-state achieved
worldwide currency, than a new type of polity founded upon kinship, appeared to be struggling to be
Yugoslavia; the genocide in states; the
ethnicity, tribalism,
bom. The bloody events
Rwanda and
of other African
virtual disintegration
reappearance of a virulent anti-semitism in Russia; the
hostility,
times murderously expressed, towards poor immigrants flooding, often
Western Europe and the United their identities
States;
fierce
by hitherto quiescent minorities
states; all these indicate that the race is
for the future
and the
in certain old established nation-
and the soul of the worid. Which of these two great
seeing the birth pangs of a
upon ethnicity?
fate
Is the
new world
some-
illegally, into
for the recognition of
on between ethnicism and
forces will triumph? Just as the dynastic state gave
momentous
demand
and
former
in the
way
state
social
nationalism
and
political
to the nation-state, are
we
order structured less upon nationalism than
ethnic state the state of the future? This
political question facing the
coming
century, for
is
probably the most
upon
its
outcome
the
of millions will be decided.-
Notes
1
.
The change of
title
from king of the people
England with the accession of John until the
union of the crowns
in
(1 199),
to king
of the land came
in
but in Scotland, with rare exceptions, not
1603, hence "Mary,
Queen of
Scots." This indicates
Concepts of Nationalism
the persistence of the archaic Scottish view of
monarchy
in History
as a relationship
1
13
between
chief and kindred. 2.
Bernard Shaw, Saint Joan,
3. J.
first
paragraph of the preface.
B. Black, The Reign of Elizabeth 1558-1603 (Oxford: Clarendon Press,
1936), p. 194.
See John Milton on God's choice of "His Englishmen"
4.
to achieve divine
Everyman edn., Book of Martyrs and the Elect Nation 1967), chap. 7, "The Elect Nation," espe-
purposes: Areopagitica in Milton's Prose Writings (London: Dent, 1958), p. 177. See also William Haller, Foxe's
(London: Cape, Bedford Historical Series, cially pp. 5.
1947
237^1, Winston
edn.), 6.
book
Thomas
245, 249. S. Churchill,
2, p.
Marlborough: His Life and Times (London: Harrap,
562.
Carlyle,
The French Revolution (London: Chapman and
Hall,
1900
edn.), p. 609. 7.
Martin Wight, International Theory: The Three Traditions (Leicester and
London: Leicester University 8.
soldiers, see 9.
Press, 1991), p. 91.
A cheap edition of the Nibelungenlied was published in The Fall of the Nibelungs (London: Dent, Everyman
1815 for the use of edn., 1908), p. vii n.
K. R. Minogue, Nationalism (London: Methuen, University Paperback
edn., 1969), p. 70. 10.
Bolton King, The Life ofMazzini (London: Dent, Everyman edn., 1911),
p.
310.
The Intimate Papers of Colonel House (London: Ernest Benn, 1926), vol. 1, 255. House predicted "an awfiil cataclysm" which no one in Europe, where there 11.
p.
many jealousies," could avert. many commentaries on Argentine society made in the aftermath of the Falklands War of 1982, but not now attributable. 13. The phrase occurs in book 9, chap. 1, of War and Peace but the idea is is
"too
much
12.
hatred, too
Cited in one of the
expounded
particularly in chap.
1
of the
first
epilogue and at greater length in the
second epilogue of the novel. 14. J.
Ortega y Gasset, The Revolt of the Masses (London: Allen
&
Unwin,
1961), p. 124. Note also de Gaulle's observation "that only vast enterprises are cap-
able of counter-balancing the ferments of disintegration inherent in [the French] people; that our country danger. In short, to
my
.
.
.
must aim high and hold
itself straight,
on pain of mortal
mind, France cannot be France without greatness.": Charles
de Gaulle, War Memoirs. Vol.
1:
The Call
to
Honour— 1940-1942
(London: Collins,
1955), p. 9. 15.
Two
of the most perceptive books on
this
theme are C. A. W. Manning,
The Nature of International Society (London: Macmillan, reissued edn. 1975), and Benedict Anderson, Imagined Communities: Reflections on the Origin and Spread of Nationalism (London: Verso, 1983).
—
1
Global Convulsions
14
See Anthony D. Smith, The Ethnic Origins of Nations (Oxford: Blackwell, 1986), pp. 21-22, and E. J. Hobsbawm, Nations and Nationalism since 1780 (Cam16.
bridge:
Cambridge University
17.
Press, 1990), p. 160
and
Wight, op.
cit.
note
7,
Chap.
4,
24.
"Theory of Mankind: 'Barbarians,'" section on
Realism, pp. 50-66. 18.
n.
For examples of "Frontier" genocide, with further references, see Martin
This phrase
''ciscenje''
in
Serbo-Croatian
—was
first
Vojislav Seselj, a Serbian politician and extreme nationalist
were responsible for driving people from
their
As one
at
bloody shepherds!" 20.
a public meeting robustly put (told to the writer
The English
in
1991 by
paramilitaries
homes. Report from Belgrade by
Louise Branson, Sunday Times (London), July 26, 1992, 19.
used
whose
it,
p. 23.
"So you want
to turn us all into
by an eyewitness).
are the only indigenous people of the British Isles not to
produced a nationalist
party, although
some might argue
that they
have
produced the
nationalist parties of all the rest.
21. 22. fully,
The
italics are
I treat
the editor's.
of the developing contest between nationalism and ethnicity more
and with particular respect
to Africa,
Europe and the United
States,
in
and a by Kenneth W.
"Nationalist Ideals and Ethnic Realities," chap. 6 of Community, Diversity
New
World Order: Essays
in
Thompson (Lanham, New contribution may be regarded
Honor of Inis
L. Claude, Jr, edited
York, London: University Press of America, 1994). That as a sequel to the present chapter.
Cultural Foundations of Ethnonationalism The Role of Religion
MARTIN E. MARTY
An Assessment of the Current Scene
A goal strong
of
this
volume
phenomenon
is
to
at the
throw various
lights
on ethnonationalism, a surprisingly
end of this century. This implies understanding the role of
"ethnos," the people or peoplehood in the aggregates that cases, or
which
is
nations in others.
The assumption
features that might otherwise
tivism there
is
make up
a nation, in
some
seen to be coextensive with the political boundaries of particular is
that
some comparative study
will help bring out
go unnoticed or uncomprehended. With
also an effort to isolate
some
this
compara-
variables, in this chapter, the role of
religion.
Let
me
quote for openers one of the more eloquent assessments,
this
one by
Harold R. Isaacs:
We
are experiencing
on a massively universal scale a convulsive ingath-
ering of people in their numberless grouping of kinds
—
tribal,
racial,
linguistic, religious, national. It is a great clustering into separateness that will,
it is
or keep
it
thought, improve, assure, or extend each group's safe or safer
obviously no
new
from the power,
threat, or hostility
power or
place,
of others. This
chapter of the old story in which after failing again to find
how
co-exist in sight of each other without tearing each other limb
Isaac and Ishmael clash and part in panic and retreat once
is
most inclusive
condition, only the latest and by far the
they can
from limb,
more
into their
caves.'
115
1
Global Convulsions
16
Ethnonationalism
— we have
expression
now
is
the "ethnos" feature here in
and rendered more
intensified
and weaponry. Once upon a time, the could engage
would
retreat
mind
from the beginnings of recorded
religious base, has been present
lethal,
—
often with a
history.
quasi-national groups on one side of a
little
—while
went on,
the rest of the world
At mid-century the favored of Churches, ecumenism,
it
creates.
symbols indicated convergence,
elite
petalism: the United Nations, United
indifferent to or ignorant about
a part of geopolitics; cheap weaponry
is
and even nuclear destruction are part of the specter
World Federalism,
interfaith agencies,
UNESCO,
religious syntheses (in
internationalism, racial integration,
this
and
ethnicity
ethnonationalism
century the symbols point to divergence, centri-
on gender,
fugalization: particularisms based
all
itself,
Arnold Toynbee, Julian Huxley and Teilhard de Chardin)
were dominant. At the end of
combined with
centri-
a World Council
"the family of man," "global village," "spaceship earth," even the nation
Not
hill
warfare with those on another until one would prevail or both
in tribal
the event. Today, however, ethnonationalism
religion
Such an
new technology
thanks to
class, region, ideology,
and race have come "natural,"
is
can be contrived.
it
and most of
all,
to dominate.
Max Weber
ad-
dressed the definition and distinctions helpfully:
Any
aspect or cultural
trait,
Almost any kind of
superficial,
attract or repel
regardless of whether
it
other.
.
.
.
—because of
The
relationship, tive
political
is
community. Those
similarities or physical type or
shall call 'ethnic' groups, regardless
blood relationship exists or
somehow
common
not.
.
.
.
Behind
all
de-
customs or both, or
—
in
way that communal
such a
important for the continuation of non-kinship
we
.
belief in tribal kinship,
because of memories of colonization and migration this belief is
.
has any objective foundation, can have important
groups that entertain a subjective belief in their
scent
.
and of habits
or disaffinity exists between
tribal affinity
each
consequences especially for the formation of a
human
can serve as a
tendency to monopolistic closure.
similarity or contrast of physical type
can induce the belief that a
groups that
how
no matter
starting point for the familiar
of whether an objec-
ethnic diversities there
naturally the notion of the 'chosen people,'
which
is
nothing
else but a counterpart of status differentiation translated into the plane of
horizontal coexistence.
from the
fact that
member of the
We is
element
idea of a chosen people derives
its
popularity
can be claimed to an equal degree by any and every
mutually despising groups.^
note Weber's double use of the word "objective": he observes that there
may be no there
it
The
objective foundation or objective blood relationship. People presume that
one, or that in
it
can be fabricated. Religion, as
we
shall see,
can be a potent
developing the mythic structures that stand behind ethnic groups and
ethnonationalism.
Cultural .Foundations of Ethnonationalism
Those who study
1
religion in international aifairs will instinctively correlate
these political situations with cultural, including religious, phenomena. Religion
more
visible
17
and potent factor
some
in
situations than others.
is
a
Wherever the word
'Islam" or "Israel" shows up, the public begins to think of Shi'ite and Sunni Islamic
fundamentalism versus
Emunim,
Israeli
movements
like the
or the tribalism of the Haredim. India
Bloc of the is
may
Hindu, and Sikh fundamentalist-like movements that constitutionalism.
Quebec and
Canada
for
Gush
jeopardize inherited
troubled by phonic and religious cultures between
is
the rest of the nation. In Northern Ireland the partisan boundaries
and Catholic. "Muslim Bosnia"
religious terminology: Protestant
name
Faithful, the
today torn between Islamic,
match
the standard
is
one of the beleaguered areas of what was Yugoslavia, and the word
Christian or Orthodox or Catholic gets associated with Serbian, Croatian, and other areas there.
Meanwhile
in Nigeria,
groupings marked by what used to be called "animisms"
define themselves between and alongside rival Islamic and Christian proselytizing
movements. In South Africa, the Inkatha party and the Zulu movements connect with symbols that are vasdy different from those that give old Dutch
Reformed Church's former
religious racism in white populations are well
New
evident, also, for example, in the spiritual definitions
life to
the
ANC. And
known. The
role of intense religion
on
all
task
is
is
Christian Right in the United States, or the
of African-, Native-, Asian-, or Hispanic/Latino-
(to
say nothing
of sundry Euro-) Americans in the United States, and provides more close to access to ethnonational elements.
the
legitimation of apartheid, as well as English
home
We leave to specialists the assessment of particulars
these regions, including where religion does or does not play a major role; our anticipatory, inclusive, comparative,
and
synthetic.
What We Make of the New Situation It is
as foolish to overestimate the religious factor in ethnonationalism and conflict as
it is
dangerous to underestimate
it.
Much
of the sense of identity and purpose within
groups would exist apart from anything approaching religion. There are ageless ele-
ments of human individual and group aggression,
little
understood (or
at least pro-
ductive of few shared explanations), which inspire bonding apart from sacred
symbols. People strains, as
may be
some of
the
out Oedipal impulses; there are
The
some
expressing heritages of particularly violent simian ancestral
more extravagant
new
issue of personal
and
social identity^ has
When
grown acute
the empire subjugated "you,"
you and your group were. You gained
When
territory.
But
features.
post-Cold War circumstances.
the foreign devils.
may be working
another option, merely seeking turf and
or, as
particular
ethologists claim; or they
identity
in postcolonial,
you knew who
by facing off against the barbarians,
they went home, you were
left
without that
foil for self-
1 1
Global Convulsions
8
and began
definition
to
redraw the boundaries of the nations
that they
had
artificially
drawn and produced. The American could wake up any morning from soon 1945
who
1989 and know
until
s/he was, because the "evil empire" over there
everything that a U.S. citizen was not. But Berlin Wall life.
new
fell,
was
the Iron Curtain
was
torn and the
questions arose as people had to ask what defined geopolitical
modem
Of course,
when
after
were not the dominant
ethnonationalism existed where colonialism and imperialism
and tribalism lived on among peoples remote and not
factors,
immediately affected by the Cold War. But the changed international situation has
made
these forces more vivid, more vital, more visible than before. The question of identity links with questions about whom one
the continuities in
my
life;
who
altruism;
can
I
bond
life
for
me
me; who guides
protects
simplify
tribalist offers to
whom
with
my
trusts;
where are
security or the expression of
through the mazes of
life?
The
by making ethnicity and meaning roughly coexistent
and coextensive. And as the ideologies associated with imperialism and the Cold
War were found which
be ineffective or obsolete,
to
They could
to believe.
at least reject
it
left
and draw themselves together
universalist impulses
millions without something in
cosmopolitanism, internationalism, and in support
of themselves, their
meanings.
tribes, their
Modem
ethnonationalism with
moves toward
its
religious dimensions
power vacuums or rearranging
filling
polities.
is
also expressive of
Where
the ballot does
not serve, the bullet may. This version of ethnicity includes aesthetic elements and
belongs
at least to the
decor of
life, if
not to
its
substance. Folk song, popular dance,
the stories told, the posters and images projected, have great appeal
force the tribe(s) to
when
which one belongs. And ethnonationalism seems
to
they rein-
be growing
as part of a revolt against bureaucratization, remoteness, impersonality, and decisionat-a-distance. be,
is
The
ethnic group, the subnation, or even the nation, as the case
may
close at hand, observable, possibly malleable to the purposes of ordinary
participants.
For
all
these reasons ethnonationalism
reinforcement; but
it
is
and would be strong without religious
has religious reinforcement or impulse in surprising abundance
and variety today.
The Surprise Factor:
Why Religion, Why Is It Overlooked?
A fissure runs through world cultures, nations, ethnic groups, and ethnonationalisms. On one
side are those
something
where
that
religion
is
is
where
religion
waning and
will
is
seen as a "private
affair," a
presumably disappear.
On
manifest, visible, palpable, flaunted as a force in
institutions are massive;
its
hold and demands pervasive;
its
secondary
factor,
the other are those
human
affairs. Its
symbols are public and
proudly displayed. The contrast would be most visible to someone
who compared,
for instance, the physics or biology department of a typical state-sponsored univer-
9
Cultu ral Foundations of Ethnonationalism
sity in
Europe or America with a
circle
1 1
of Islamic fundamentalist partisans in a city
square in Algeria. In the case of inhabitants of the Western university world, they religious by moonlight, spiritual on their own time, pious in private. But in few overt ways could anything even reminiscently or vestigially religious be seen as integral to the processes that constitute academic investigation, research and
may be
teaching. In the case of the Algerians, hitherto relaxed and semi-secular
Muslims
have foregone further intrusion into the camps of modernity. They have redonned garb that signals Islamic culture, including the chador or
They
veil.
are punctilious
about attending to prayer and worship. They study the scriptures and take signals
from
its
expounders, being unsatisfied with secular explanation.
Not only
there a fissure through cultures; ethnonationalism also has elicited
is
or produced a situation in which there tions of those fired
by
who
is,
To
modem
elites
of the motiva-
the ethnonationalist
university, clinic, broadcasting studio, legislature, or
through ignorance or malevolence, incapable of understanding the
True Way. To the
modem
caster, the ethnoreligious
an earlier
understanding by
lead or follow in the path of the Other.
religion, the
social circle
is litde
human
academic, clinician, laboratorian, politician, or broad-
group moved by a sacred scripture looks
condition or situation; a pocket of people
the signals of change; an
embodiment of
up with the forces of modemization and
like a vestige
who have just
cultural lag that sooner or later will catch
secularization.
What
has led to the second
of these two, a characteristic stance that has excluded religion from
concem? To most
observers, the key
would be
the afterglow of the Enlightenment. For science,
and a belief
interpreting
life.
the shaping of the
religion
was a
modem
common
university in
two centuries people moved by reason,
in progress, helped develop reflexive
To them
of
not gotten
set
ways of doing and
of practices or ideologies which must
all
but inevitably wane. For Auguste Comte, religion, like metaphysics, belonged to an earlier stage
of humanity, and would be replaced. For Karl
Marx
it
would wither
away
as the
Max
Weber, though an acute observer of religions everywhere, saw the
communist process and philosophy of
history unfolded
and triumphed.
modem
scene as one of Entzauberung, disenchantment, rationalization and not a response to revelation.
Sigmund Freud
located religion in quasi-mythical layers of the troubled
psyche.
Today
how
critical analysts
speak of
this intemally contradictory cluster as
sharing in "the Enlightenment project," which
the horizon of
postmodem
times. Critics
that failed.
Many
presumed
to
be
some-
in trouble at
from within have questioned the presump-
tions behind the face of reason. Science has
God
is
produced mixed
believe that this project
is in
benefits. Progress
trouble, but
was a
have not come up
with altematives, and tend to act on the effects where the founding assumptions have all
away and that was a less which would endure
but disappeared. Along with the belief that religion would go
nationalism, ethnicity, or
some
other force
would by
itself prevail, there
clearly voiced implicit belief that while religion survived, that
1
Global Convulsions
20
would be necessarily concessive, adaptive uprooted from
tribalist bases.
Its
to international
and cosmopolitan forces,
professors and confessors
would be empathic,
responsive, ecumenical, interfaithed, tolerant people. Conversation, dialogue, and
openness would accompany the religion
What was overlooked
now
that survived.
in these projects, as
both like to point out,
is
that
stantive philosophy of history.
postmodernists or
critical rationalists
Enlightenment modernism was
The
rationalists acted as if they
another sub-
still
knew something
about the secrets of the future, about outcomes. Also overlooked was the ideological tendency, often unrecognized by the secular observer. In the eighteenth century, the
movements and
knew the future: reason would prevail. In the nineGods would die because social and psychological forces would
their leaders
teenth century, the
make them unnecessary and
irrelevant. In the twentieth century, the
human Theater
of the Absurd would convince people that religious explanations were
and
Yet religion
illusion.
or turning private, as
it
in its ever-adaptive
does not
in
all bad faith ways (sometimes by going underground
ethnonationalisms) outlasted most of the prophets
and prophesies.
Who
is
surprised? Paradoxically and ironically: the leadership in the very
agencies which are supposed to monitor antennae,
its
comers of
human
impulses.
The academy, with
in order to
it,
understand ethnonationalist movements, there has been
considerable recovery of interest. But the academy, which should be the
measure, was sometimes the nationalist religion.
who
to
account for the scope of ethno-
The mass media of communication,
it
did appear.
Commerce
national labels on stocks and its
how
last to learn
may be
clients
goes about
its
is
often in the hands of people
are
secularly ecumenical: there are no
most bonds. The
struggling with the
business the same
Those who
way whether or
making claims
fail to
religious themes, ordinarily
not religious meanings exist.
for their ethnonationalist tribes
see what motivates them. While
dominant one,
demands
religion
is
do not have the
A volume
such as
this
in
others
it
Ethnonationalism
one could hardly
ethnonationalism. Thirty years ago
now. That situation
religion.
how
not the only factor and not always the
sufficiently integrally related to ethnonationalisms that
What It Is and Does
is
is
fresh inquiry.
Religion:
it
it
reli-
denomi-
modem hospital or clinic, even though
most profound
luxury of overlooking and underusing religion; nor do they understand
can
first to
did not share the ecologies where religion prospered, were dismissive of
gion where
its
social scientific fabric, largely has marginalized religion. In selective
it
fail to
would
may have been
scrutinize the religious
dimension of
have been easier to neglect religion than
the result of indifference to, or ignorance of,
The Western academy and media, where pluralism and
blunted the force of religion or the comprehension of
it,
secularization have
often overlooked the role
it
1
Cultural Foundations of Ethnonationalism
played under the noses of observers or
in
why
"We
worked against our purposes.
observed
We
all
forces and elements that could have
watched banking, education, mores, costume,
entertainment, technology, family-life, media, and more.
in the
Agency had to The regular
they had been caught off guard by the Ayatollah Khomeini.
answer, paraphrased, was:
was
attention to
2
remote cultures. After the Iranian revolu-
tion in 1979, high operatives in the United States Central Intelligence
explain
1
modem
religion,
presuming
that
The only
we
thing
paid no
everyone knew that religion had no power
world."
may be
Today, while religion
and as a segregated
treated in isolation
anyone in government, the media, or the academy
who
wants
do
to
topic,
full justice to
ethnonationalism has to include observation of religion. But the ability to do so has
been atrophied, or rendered with definition.
We know
difficult,
—beginning
by the complexity of the subject
what weapons do; we can observe troop movements;
not difficult to define boundaries like rivers; there
is
much
it is
experience in the
understanding of constitutionalism and economics. But religion
is
diffuse, hard to
may be epiphenomenal, which means attached to a force that anyhow; or it may be the main motivating force. It may be explained
grasp, hard to isolate;
it
would be there away through reductionism: "nothing but" superstition,
Yet after religion?
all
religion of the sort that inspires ethnonationalism
—economics, psychology,
this or that
and
who knows what
else, are called into
play as explanatory factors.
the reducing and explaining, something remains.
What
What
is,
some
broad that they virtually are coexistensive with
phenomenology of
enhance and
illustrate the
football, the
Miss America
all
religion
"Religion
is
tive purposes there confuses
commonsensical
human
reality.
by showing
professional
and Mardi Gras are
But each use of the term
is
what one finds
Many
attend
in
thus
tribalists
on the
whose
the Catholic
Church
in
Northern Ireland often works to
bring ecumenical concord and civil peace. Unchurched peoples
who may seldom
is
not even frequent institutions of the faith under
identified only with the institutions of organized religion.
names they move. Thus
reli-
for illustra-
uses.
the other end, the definition can be too narrow: religion
may
did
Thus one can
how
phone book's Yellow Pages under "Churches and Synagogues," and
ethnoreligious scene
what
we
definitions of religion are so
contest, bull-fighting in Spain,
gious; they certainly have religious dimensions.
At
meant by
into a multimillion word, sixteen-volume encyclopedia, as
with The Encyclopedia of Religion'' That
the
is
is it?
An open-textured way of bringing focus to the topic is to say: you would put
is
magic and
sociology, status,
mass or other
rites
named
Catholic,
of the church, are described as both
"religious" and ethnonationally militant.
Rather than attempt to construct purposes,
will
I
student of tribalism. to provide.
I
my own
definition of religion for present
simply borrow some pointers used by Harold Isaacs, a pioneer
quote:
He
defines religion functionally, by pointing to what
it
sets out
.
.
1
.
.
Global Convulsions
22
•
a powerful personal-individual-emotional-subjective experience
•
a powerful institutional-social-historical-objective actuality
•
a
•
a provider of a set of explanations for the inexplicable ... a source of
way of dealing with
the
awesome
forces of nature
meaning [Weber]
way of ordering
the vagaries of misfortune and
good fortune
•
a
•
a supplier of significance for the insignificant
•
a source of solace
•
a source of authority, of commanding law to be obeyed
•
"a dramatization on a cosmic plane of the emotions, fears, and long-
.
•
.
.
.
.
.
ings" stemming from each person's
and mother
.
own
.
.
relations with his/her father
([Freud,] Ernest Jones)
as sanction and upholder of temporal authority, providing the halo of
divine origin for earthly rulers, defining and defending norms, public
morality and obligations, a bulwark against anarchy/evil, the indispensable bonding cement in the social order,
God
"symbol of society"
as
(Durkheim) •
as tool of power, blesser of banners of conquerors
•
or, contrastingly, religion as
the
many
.
millenarian revolutionary movements.''
Instead of defining religion, one
common
.
source of challenge to authority as ... in
consent, have
come
to
may
effectively point to
be seen as possessing
work
phenomena which, by
qualities that
would, indeed,
The Encyclopedia of Religion. This nominalist-of-a-sort approach means, for me, that one watches for:
lead to their being included in a
''Ultimate
most
concern^ Paul
attached, in
Tillich's
called
term for whatever
which they are grounded; not
all
it is
to
which humans are
ultimate concern
religious, but all religion is expressive of ultimate concern. Tribalists
sons out as part of a
move
human
is
necessarily
who
send their
chain to walk across landmined areas so troops can
safely, believe that they serve the
purposes of Allah and will be rewarded
in
Paradise so they are not deterred by the attractions of proximates. They are wrapped
up
in ultimacy, to the point
of the sacrifice of life.
Experience of the sacred. hears a scripture that
is
One
hears the voice of
God
Rudolf Otto called a sense of the mysterium tremendum 'Take the shoes off your ground." The
call
feet, for the
more
likely,
reads or
While ultramodern
is
what
is
et fascinosum, a mystery.
ground on which you are standing
of the ethnoreligious militant
Socialization.
or,
conceived of as an utterance of the divine; there
holy
is
to serve sacral purposes.
religion, for
example American
style,
and
some earlier religion, including nonmonastic and noncommunal Buddhism, might make room for solitary spirituality, for "privatization," most experience of the sacred or devotion to ultimate concern leads people to build community. religious
movements employ
Some
the religious vision to deepen socialization;
begin as socialized religious responses which then impel action.
ethno-
some
Cultural Foundations of Ethnonationalism
123
Preference for mythosymbolic expression. The connections between religion and myth are profound, and most religious reinforcement occurs through symbols. Religious people by and large prefer not to use abstract or scientific communication; they cherish mythic accounts of origin and destiny. Thus most ethnoreUgious tribes,
from animists
in
Africa to civil religionists in the United States, have
myths. ("Fourscore and seven years ago,
." .
some founding
Lincoln could have said "Eighty-seven
.
years ago," and sounded like the drafter of an article for an encyclopedia entry on constitutionalism or war.
He invoked
rhetorical strategies that his hearers associated
with the fabric of sacred scriptural voice.) Rite
and ceremony. Religious people
though some anthropologists see a religious dimension
monial
activity.
But
the passages of
religious people in almost
life,
engage
in rituali-
in all ritual
and cere-
are not the only ones to
zation,
cases do engage in ritualization of
all
Even highly
the elements of their bonding.
rationalized
humanistic religions like Unitarian Universalism and Ethical Culture find to
provide
rites after birth
nationalist groups
enhance
and for marriage or
their life
Quasi-metaphysical appeal
together with
Some
at the
it
and
valuable
time of death. So ethno-
ritual.
religions are frankly metaphysical
and argue
more economical about philosophical claims. But most of them suggest that something is going on behind the scenes; there is a backdrop to history. Thus ethnonational groups, however small they be, are contheir case philosophically; others are
vinced that they are acting out divine purposes that can be
known through
scripture,
charismatic leadership, or meditation.
Behavioral correlation. Everyone behaves;
would be
it
religion alone stands behind moral expression in specifics
religions
all
do make
certain
and do not eat
eat this
observe
that;
demands: they
ask,
silly
and action
to claim that in general.
But
do you believe thus and so? Then
bring up your children thus; wear that; worship here;
this season. Ethnonationalists
when
they are informed by religion
make
moral demands on insiders and prescribe action against outsiders.
Why
do they
act religiously?
For
at least these five reasons. First,
they have a
sense that they have had an encounter with the Other through revelation, disclosure,
What
scriptural study, reason, nature, or rhetoric.
passing,
total.
It
must be acted upon. Second,
is
disclosed
this
Other
is
is
demanding, encomperceived as
Spirit:
transcendent, sacred, divine, uncanny, not easily accessible, not available to the outsider. Third, this
Other imparts some sort of inside knowledge, gnosis, particularized
interpretation of experience. in extraordinary action,
of
this
Be equipped
knowledge connects with power.
Finally, the encounter with the tive to
with
this
knowledge and one can engage
can interpret success and failure It
alike. Fourth, the
issuance
legitimizes action and grants authority.
Other implies a
call for the individual or the collec-
be agents of the sacred and the divine. They are elect people, selected for
mission.
Religion on these terms, then, gives people an identity and sense of belonging and, in almost cases, a network to which to belong.
The
benefits of belonging
may
Global Convulsions
124
include encouragement for healing, inspiring, enabling, and providing interpretation. In
ethnonationalism, religion
and shun
why
others,
versely, religion
tells
w h\
an instrument
is
a group
came
w h\ one should respond
to be,
there should be consequent action to the point of death. in separation.
Over
Western Imperialist, the Barbarian Muslim,
s\Tnbolizations of evil help die ones to act against those
Some
who
stand in the
who \v a\"
belong remain
dents.
deserves separate obsenation and analysis.
of Religion[s]:
such
If religion as
is
one
many
Much
of Western Europe,
linle
more than
and monasteries, now empty,
to reinforce tribalism? Obviously,
situation, as
a
site
and tolerance come
to
Enlightenment prophesies
and harder-line
Some
called a "withering"
remembrance, something after a
that has left cathedrals
passage tiirough the Enlightfaith to
be appreciated and evidenced. But ecumenical,
and
semi-indifferent,
ever\where
of them have. Forces
of historic Christendom, has seen church-
monuments. Or
as
many
w hat Marx
enment, some of these religions saw the aggressi\e elements of
tition
historical prece-
an unexpectedly powerful agent on the ethnonationalist scene,
of secularization ha\ e often led to a diminishing or
ciliator)',
broadly defined
vers-
A Fundamentalist Outlook
through modemirv and into the postmodern
become
these and similar
have undergone great transformations as they moved into and
historic religions
religion
—
lo\al, the acti\'ists are inspired
late in the twentieth centur\. \\i\h
one must ask which forms of religion do die most
of religion.
Great Satan, the
tiie
Jew
tiie
religions fulfil tiiese purposes bener tiian others;
impulse has arisen
The Power
Con-
of die group and the di\ine.
st\le or It
it
against the true believers there are
the false; against the orthodox are the heterodox and the heretics; .\ntiChrist, the
to
in the
tolerant religions are precisely those that despite
tiiat the\'
w orld,
be moderated,
rational, recon-
would
prosper, ha\"e not
done
so. In
open compe-
they are no match for aggressive, assertive, imperial,
religions.
of these spiritual impulses have few immediate
tribal, etiinonational,
or
belligerent implications. .\s one example, within Christianity various sorts of pente-
costalisms and charismatic
and converts without
in
mo\ ements
ha\ e transformed the lives of their advocates
even, case turning political.
sociologists of religion like
Emile Durkheim
tiiink
They
of as "effenescences." They
be coping devices for the oppressed and poor, signals of hope less
world.
They may
ser\e as
economic moves. They sene
They provide
make
legitimators for people
to ritualize the
dignity and hope.
Such
passages of
religions
and
sense of the universe around tiiem. and
personal or small and local
communal
life,
in
who
may
an otherwise hopeare
making new
the seasons of the year.
spiritual forces help individuals
fultll
or exhaust themselves on
levels.
Alongside such exuberances. howe\er. there are neoreligious forces motivate aggression; they do solidity
what
are outbursts of
tribalist
that
groups and impulses; they do
do
legiti-
Cultural Foundations of Ethnonationalism
125
mate exclusion of the "other," the stress on "difference," the exaggeration of the flaws of non-members and of the virtues of adherents. They might be spoken of as "retribalist" religions.
A code-name for many of them
that has inspired considerable curiosity attention, in a
is
fundamentalism,^ a subject
and scholarly inquiry, as well as media
world where many thought religions would decline and disappear.
Fundamentalisms, movements bearing family-resemblances to fundamentalism, fundamentalist-like forces,
demand and deserve
(The use of the term 'fundamentalism'
moment
spend a
analysis for their role in ethno-
we shall spend some time exploring them
nationalism, and
discussing and qualifying
is
its
under whatever name.
sometimes controversial, so
use.
The term was invented
I
shall
early in
twentieth-century American Protestantism, after a series of pamphlets called The
Fundamentals, a "World's Christian Fundamentals Association" founded
and an
editorial
by a Baptist editor
in 1920. It
was
in 1919,
associated with intraProtestant
batdes over biblical criticism, evolution, apocalypticism, and general modernist trends.
The hallmark became a
doctrine of "biblical inerrancy," and for decades
European dictionaries equated the doctrine with the term. For those reasons, nonProtestants and non-Christians have sometimes rejected the application of the term, seeing
be "linguistic imperialism" by the West. Various substitutes have been
to
it
offered, for
example "Radical Reformist" or "Reformist Revolutionary"
Islam, in the case of one
phenomenon.
It is
sometimes mentioned
that
Shi'ite
Arabic and
Jewish dictionaries do not include cognates to the term fundamentalism. However, the use of the term by media, publics, and academics around the world, has grown.
The term
is
exportable and used for comparative purposes, for example as in the
case of "nationalism," "liberalism," "conservatism," or whatever. Scholars tend to be cautious in the use of the term, not ready to equate
"extremism." But
it is
it
with "militancy" or
likely to survive as the designation for the kind
which can move from passivism toward the impelling of activism
Not
alism.
all
ethnonationalism
is
religious
and not
all
of religion
in ethnonation-
religious ethnonationalism
is
fundamentalist. But the connections are sufficiendy widespread that examination of the fundamentalist
phenomenon
is
in place.)
Students of the current subject, religious ethnonationalism, have increasingly
come to
the observation that the "old-time religion" appearance and self-advertisement
of these movements in Christianity, Judaism, Islam, Hinduism, Buddhism, and more,
can throw one off the
They appear
trail.
mere
to their adherents as
conservatism, or orthodoxy. However, the fundamentalisms are
traditionalism,
distinctively
modem,
dynamic, and innovative movements. Indeed, the term 'fundamentalism' was coined
by some adherents precisely
were seen as too
to set themselves off
quietistic, too
ready to
let
reactor, a participant in confronting modernity,
and refurbishing symbols of the
know
s/he
other,"
it
is
is
a
traditionalist;
necessary to
old.
It
once one
work
is
and apart from conservatisms, which
the world pass
it
by.
The fundamentalist is a new while retaining
an inventor of the
has been said that a true traditionalist does not self-aware, thanks to a confrontation with "the
at traditionalism, to
make new
things out of
it.
Global Convulsions
126
The
ethnoreligious fundamentalisms, therefore, take rise only after modernity
(under whatever description and name) and modernism as a religious adaptation to
it
have threatened members of a conservative movement. They must perceive modernity as a total threat to their personal and social identity; unless they respond, its pluralism, relativism, and "worldliness"
may
be corrosive and potentially overwhelming
young and
well be lures for their
to
all.
They must
react.
This
is
will
the point
which "old-time" elements, the "fundamentals" from purportedly pure pasts, pure better moments, clearer laws, come to be invoked. Karl Rahner, a Catholic theologian, has spoken of "selective retrieval." Fundamentalists selectively at
scriptures,
retrieve "fundamentals"
from a presumed
past.
They
are practical, choosing those
most help ward off threatening forces of the other and
what
will
their
groups together. This means that they create boundaries, distance themselves
from
others, eliminate the
that will
most keep
compromisers, adapters and moderates, and magnify their
difference from others.
When instructed,
the group, cell,
movement, or
been fashioned, motivated,
tribe has
and reinforced, fundamentalist ethnonationalisms regularly express a
sense that they have a mandate from God, from suprahuman or supernatural forces or powers or persons, to carry out a sacred will. With the mandates and
commands
come
how much
promises: be the agents of the divine in history and, no matter
travail adherents
undergo and however much frustration there
pation will be rewarded
—perhaps through
may
be, the partici-
ultimate earthly victory or through final,
postdeath compensation. Such a religious ethos imparts a sense of knowledge about
where
history
is
going.
It
dence with an awareness
how
to attain
it.
So
has a that
telos,
a goal, an end.
he or she knows what
militant
there are all-purpose explanations for
morale-building elements to help set things
There are local
The
that goal
variations,
is,
moves
in confi-
and something of
what goes wrong, and
right.
depending upon the religion and the poise of the
Thus American Protestant fundamentalists have little immediate hope of capturing the polity. They can influence it, through constitutional revision and local reform. American fundamentalisms may produce tribes, but they have rarely motivated armed conflict. They provide symbolization for patriotic "hyper-Americanism" followers.
and ordinarily identify with the secular simple ethnic
lines.
political right, but rarely
Hispanics and Anglos
may
Alabamans and Arizonans who never meet each
do they follow
belong to the same movement; other, never
form a
circle,
never
shoulder weapons together, and thus are hardly ethnonationalists, can share a militant religious vision and
win
parts of a polity.
In other polities, such as Arabic Islamic states, where "church and state,"
"religion and regime," have never been "separated" as
separated them, religious ethnonationalists can polity.
This they have done
in
Iran,
American constitutionalism
more credibly
picture taking over the
the Sudan, and elsewhere. In Algeria, for
example, secular-military regimes of nominal Muslims are on the defensive against
now
majority fundamentalist militant parties. Small groups of these threaten the
Cultural Foundations of Ethnonationalism
semisecular ruling party of Egypt. If and to see to
it,
and sometimes succeed
when
they prevail, these
1
movements attempt
have the boundaries of the
in their endeavors, to
nation-state coincide with their religious rule. This gready inconveniences ethnic
one thinks of the Kurds and Baha'i
religious minorities;
In other cases, subnational tribalists are agents of religious disruption. slavia
artificial national fabrication; as
was
it
free to disintegrate
been forced into federation, so Yugoslavia broke
had great
which
apart. Similar
officially held together but
working peaceable
difficulty effecting a
Yugo-
became
it
clear that Orthodoxy, Catholicism, and Islam had reinforced the peoples
vailed in Lebanon,
and
religionists in Iran as
by nationwide ethnonationalism.
particularly threatened
was an
27
who had
circumstances pre-
has been torn by warfare and has
polity.
The Central Asian
republics
of the former Soviet Union and Afghanistan are further examples of the ways militant religion, often frindamentalist, tears at or sunders the larger nation.
The
battles
between Muslims, Hindus, Sikhs, and other belligerent forces threatens secular constitutionalism in India. In
summation: "ethnonationalism"
one's tribe with religious truth even
may
not find
its
identification of
borders coexistensive
can also mean that a whole nation converts
it
and policy expressive of such a religious element. Such forces are
to a polity
turbing
unit
if that
with those of a whole nation-state. But
may mean
to,
and disruptive
of,
which by
republics,
groups. In fundamentalism, the agents of
They
prevail in their sacred cause.
God
will not
dis-
definition are aggregations of
must, no matter
be talked out of
how
it,
long
takes,
it
compromised, or
mannered. Their moment will come; the Lord, by whatever name, has told diem
so.
Prospects for the Future
For
all
the
dreams
that, after the
Cold War and with the implosion of ideological
Communism,
systems such as Soviet
there
would be a period of
relative peace,
look into the twenty-first century with equanimity or hope. During the Cold
few
War a
kind of rationality marked the irrationalism of weapons build-ups, espionage, propaganda, and expression of suspicion. That the
two major players
is,
the Soviet
Union and
the United States,
in everyone's conception of international
confrontational
games, were highly aware of the costs of adventurism. They knew that capabilities rendered their
limited.
While they used
where, both seemed to retrospect,
it
may be
their
know
that
power around their limits
the globe, taking sides in conflicts every-
and the
risks of
pushing the other too
each overestimated the aggressive
may have
fallen victim to their
Cold War
will
own arms
be seen as having had
industries
irrational
Today, while there are
still
instincts
far.
In
of the other They
and paranoia: for
that reason the
dimensions. Yet calculation and an eerie
sense of rationality characterized and qualified the
internal upheavals in
their nuclear
freedom of movement on the global scene complex and
moves of the superpowers.
armaments and there
is still
wariness, and while
an unstable Russia or assertiveness in China, North Korea, or
— Global Convulsions
128
other polities
may
destabilize situations elsewhere, the eyes of people in statecraft,
media, and the academy have turned and will continue to turn to the ethnonational
and what
I
have called the
An
tribalist scene.
observing world, looking on
first at
Lebanon and in recent years particularly at Afghanistan, the former Yugoslavia, the Arab-Israeli Middle East scene, Nigeria, Sudan, the republics of the former Soviet Union, and
many
other scenes,
is
more wary and watchful, more ready
powerless and frustrated, as smaller-than-national groupings of people
to feel
them-
set
selves over or against others.
The
racial, ethnic, tribal,
and religious memories and resentments are so deep,
so incapable of being restrained, corrected, moderated, or put to positive use, that no
moves by superpowers seem effective. The United Nations may do and has been in some of these areas, but the nations who provide troops cannot do
doing policing
so for decades or even centuries. Resources and resolve run out. retreat
from the scene, repressed ethnonational ist and
themselves, with battles fought to a draw or until there
even
at the
expense of "ethnic cleansing"
is total
that takes
The moment
they
religious tribalism reassert
victory of
one side
on the character of
virtual
genocide.
Over
the course of the next century,
new unforeseen
upon the scene. One observer came up with economic forces
the picture of
that tend to impel interactions
which might compensate.
It
may be
that prophets
forces will no doubt
"Mac World,"
come
a network of
and produce transethnic impulses,
on the
may be
religious scene
able
to reach into heretofore overlooked elements of the various traditions as they give
voice to universalism, ecumenism and reconciliation, impulses currently obscured.
It
could be that a "neo-Enlightenment" could arise to promote some measure of
The
rationality in the interactions.
historian has seen too
"never" about recoveries and changes
However, on the shorter range,
in political
say,
many
surprises to say
and humanistic energies.
through the next couple of decades, one can
expect ethnonationalism, reinforced with or motivated by religious and mythical interpretations, to continue to cause tension
and upheaval.
of surveillance will be developed further
order to limit the terrorist possibilities of
tribalist
poor
groups.
It is
in
almost certain that munitions makers,
ones, will continue to find the supply of
to international boycotts to
grow.
More
weapons
be so profitable that the
to
It is
in rich nations as
One can
many
well as
even those forces subject continue to
lethal threat will
than likely, mistrust of the possible agents of the
high, forcing invasions of privacy in
likely that techniques
tribalists will
remain
areas.^
chart the course of the occasional utopian-sounding
book
that foresees
concord: each gains
some
notice and following, but after the publishing season in
which
over,
all
it
appears
is
traces of
disappear. In universities there
is
what
it
envisioned and proposed tend to
some growth of
studies in areas like Religions-
wissenschaft, "history of religions," comparative religion, and the
advocates making the claim that
academic pursuits
will lead to a
like.
Some
growth
tolerance, and reconciliation, or at least a minimization of bloodshed.
in
of their
empathy,
But the hearts
Cu Itu ra I Foundations of Ethnonationalism
of the scholars do not seem to be
in their
endeavor
move beyond
to
1
29
inquiry and
understanding, conferences and consultations notwithstanding, and public expectation of results is minimal.
Now
to the hope that some new Gandhi or exemplar of reconciliatory resources, will appear in some Schweitzer or King, various cultural contexts. The religious texts speaking of transcendent and transtribal concord are rich and available. They can stir conscience and promote moral vision. It
would be and to
and then someone gives expression
abandon hopes
foolish to
self-interested tribalisms
for reaching into
and offering
and beyond the self-enclosed
larger visions.
But
it
also
would be foolish
expect reconciliation and rationality to be strong enough visions and forces to
counter the threats that disturb the peace as
this
century and millennium
come
to an
end.
Notes
1.
Harold Isaacs, Idols of the Tribe: Group Identity and Political Change
& Row,
York: Harper 2.
vol.
1
Max
Weber, "Ethnic Groups,"
(Glencoe,
3.
On
Free Press, 1961),
II:
(New
1975), p. 10. in Talcott
Parsons
et al..
Theories of Society,
p. 305ff.
Thomas Luckmann, The Invisible Religion: The in Modem Society (New York: Macmillan, 1967), e.g., p. 97.
the identity theme, see
Problem of Religion 4.
Harold Isaacs, op.
5.
Some
cit.
note
1,
pp. 31-32.
elements of what follows parallel argument in Martin E.
Mary and
R.
Scott Appleby, Fundamentalisms Observed (Chicago: University of Chicago Press,
1990.) 6.
Editor's Note:
The
detention and interrogation of Abraham
Ahmad,
a thirty-
one-year-old United States citizen of Jordanian birth, by British authorities at
—
the day after the bombing of the Murrah Federal building in Oklahoma City instantiates powerfully Marty's observation. The Milwaukee Journal Sentinel of Tuesday, April 25, 1995,
London's Heathrow Airport on April 20, 1995 Alfred
P.
—
reported the following:
Ahmad
.
.
says he thinks his Middle Eastern appearance and
.
plus the fact that he ities to
.
.
.
detain him.
"People automatically think that the person
Middle
name
was coming from Oklahoma City prompted author-
But
East.
I
didn't think that the
who
did this
FBI would
is
from the
think so," [said
Ahmad]. When British immigration officials discovered [that Ahmad] was from Oklahoma City, he was handcuffed and questioned for four or .
.
.
The worst part of the ordeal, Ahmad said, was when the him back to America. They marched him tired, hungry, handcuffed and ashamed through [a] crowded airport.
five hours.
.
.
.
British authorities sent
—
—
Global Convulsions
130
He
said he
was flown under armed guard
to Dulles Airport near
Washington. After several hours, the agents in Washington told that
he was free
to go.
Ahmad
Cultural Nationalism and "Internationalization'' in
Contemporary Japan KOSAKUYOSHINO
Whereas the state,
the development of nationalism has often been associated with the role of it
may
also be argued that nationalism
cesses. Nationalism
is
essentially a dual
is
formed through informal pro-
phenomenon
supervised process and an informal process, by which supervision by the
state.
Most previous
consisting of a formal stateis
meant the absence of direct
studies of nationalism are limited in their
scope in that they confine themselves to the process by which elites
political
produce national myth and ideology and by which the
myth and ideology
into the
and
cultural
state inculcates
such
masses through formal education. This study explores
the characteristics and workings of informal cultural nationalism, inquiring into the
informal process by which ideas of national distinctiveness are "produced," "distributed,"
and "consumed"
from Japan
in the "market."
The study draws
empirical material
its
1970s and 1980s, a period which saw a resurgence of
in the
cultural
nationalism or reaffirmation of an active sense of Japanese uniqueness. Japan's cultural nationalism
of
this period,
it
will
to "internationalize," paradoxical as
it
be found,
may
is
closely associated with
its
desires
sound.
This chapter begins with a brief mention of Japan's formal nationalism with the
aim of showing why the perspective of informal contemporary Japan. Analysis
will then
cultural nationalism
be provided of the ways
concerning peculiarities of Japanese society and culture nihonjinron
—have been produced,
distributed
—
and
cultural nationalism.
is
relevant in
which ideas
generally referred to as the
and consumed
in
Particular attention will be given to the paradoxical relationship tionalization"
in
The case of businessmen
Japanese society.
between "internain their role
model
as "social bearer" of this type of cultural nationalism will be examined.
131
Global Convulsions
132
Definitions of the terms nationalism, political nationalism, and cultural nation-
alism should
first
be made. Nationalism comprises both the sentiment among a
people that they constitute a community with distinctive characteristics, as well as the project of maintaining and enhancing that distinctiveness within an state. Political
by achieving a representative
tical reality
autonomous
nationalism emphasizes the nation's collective experience as a polistate for its
community. Cultural nation-
alism regenerates the national community by creating, preserving or strengthening a people's cultural identity
when
is felt
it
to
be lacking, inadequate, or threatened.
Moreover, cultural nationalism regards the nation as a product of
and It
culture,
and as a collective
solidarity
its
unique history
endowed with uniquely shared
attributes.
thus fundamentally concerned with the distinctiveness of the historical and
is
community
cultural
often
do It
as the essence of a nation. Pohtical and cultural nationalism
coexist, but the
should be
made
two should be distinguished
for their different purposes.
clear at the outset that this chapter does not
overview of contemporary Japanese nationalism,
let
aim
to furnish an
alone a historical survey of
nationalism in Japan. Nationalism works differently for different groups and for different individuals,
and diverse processes are
of nationalism. Discussion in
this
at
work
in
forming the phenomenon
chapter will be restricted to one of such processes.
The State and Formal Cultural Nationalism
A perspective that pays "market"
is
attention to the distribution
people's participation in cultural nationalism state.
and consumption of ideas
is
no longer
explicitly supervised
Zigmunt Bauman makes a relevant point when he observes
interest
in the
necessary for an analysis of contemporary Japanese society, where
of the
state in culture
faded
(i.e.,
by the
that "[a]s the
the relevance of culture to the reproduction
of political power diminished), culture was coming within the orbit of another power the intellectuals could not measure
up
—
to
the market
More and more
the culture
of consumer society was subordinated to the function of producing and reproducing skillful
and eager consumers, rather than obedient and willing subjects of the
Bauman ture,
is,
however, on
less firm
which has been "freed from
ground when he argues
direct supervision
by the
state."'
that the area of cul-
state," is
"now reduced
to
things of no concern to political powers."- Although cultural nationalism in contem-
porary Japan
under the
may be
generated in different ways from the time
state's direct supervision,
one should not
when
culture
was
totally neglect the state's interest
in cultural nationalism.
Even one
today, the state's interest in cultural nationalism
is
evident.
To give but
example, the Ministry of Education's guidelines on the content and goals of
school curriculum, announced in 1989 and put into effect stronger emphasis on nationalism.
The
in
1992, reveals an ever
guidelines reflect conservatives'
demand
for
the removal of Occupation-imposed elements of the education system and a return to
Cultural Nationalism
traditional values as a
main emphasis
is
way of
"Internationalization "
and
restoring appropriate attitudes
on moral education from primary
by education authorities as a remedy for problems
syndrome" and bullying among
war
at
to high school, a at
whose
mote militarism
flag to be displayed state also requires
exploits in the Russo-Japanese
in textbooks during the
system actually
regarded
and the Kimigayo anthem
to
primary school curriculum on
Admiral Togo
War (1904-05) were used
to pro-
Second World War. Despite the Education
Ministry's claim that the system for authorizing textbooks control, the
move
The
school such as "school refusal
history to include forty-two selected historical figures including
Heihachiro,
the youth.
33
pupils. Also, the state, for the first time in the post-
Hinomaru school ceremonies. The
period, requires the
be sung
among
1
is
a process of quality
entails control of content.
do not know whether the role of the state has increased, for it may be that the is only responding to the change in the public's perceptions of national identity, I
state
pride,
and confidence. These
are, in turn, closely associated
with other factors such
and reassertion of Japanese uniqueness, as well as
as thinking elites' rearticulation
the sentiment and activities of other educated sections of the population to
such thinking
find
it
elites' writings,
which
main themes of
are the
difficult to assess the effectiveness
who respond
this chapter. I also
with which the state enhances national
sentiment compared to social groups such as intellectuals, media people, business-
men, and so on.
some of
It is
essential to observe here that although there is
little
doubt that
the symbolic rituals of "old" nationalism often "function" to enhance
national solidarity, nationalistic rituals also
work
in the opposite
way.
Robert Bocock makes an interesting point when he notes that
make some groups
feel less part
rituals
"may also made
of the national group in that they are
conscious of the fact that they do not share some of the values which seem to
behind the group's virtues.
He
ritual,"
lie
such as respect for established authority and military
goes on to point out, for example, that some groups in Britain find their
sense of separateness from the "mainstream" society enhanced and their disrespect
of established authority and military values reinforced when they witness involving the Royal Family
(e.g..
rituals
Trooping the Colour, the Queen's Christmas Day
speech, and the State Opening of Parliament).^
The same
occasions in Japan. There always have been, and
still
is
true with similar ritual
are, significant
numbers of
people whose opposition to nationalistic values are reinforced precisely because of the existence of these "nationalistic" rituals, such as the display of the "national" flag
and the singing of the "national" anthem Foundation Day," cabinet ministers'
at
school ceremonies, the "National
visits to the
Yasukuni Shrine (where the war
dead, including war criminals, are enshrined), and so on. For them, such rituals are
nothing but a reminder of their opposition to nationalism. Restraints on any explicit expressions of nationalism are
still
very strong
among
substantial
numbers of the
Japanese. It is
well to observe here that precisely because state-initiated cultural nation-
alism centers around obviously nationalistic ideas and symbols
—
nationalistic in the
Global Convulsions
134
—
classic sense
it
fails to elicit
voluntary and positive support from large sections of
the population. Anti-war and anti-nationalist sentiment
among
the majority of the Japanese,
who
is
noticeably strong
still
disdain sacrifice of their personal lives for
the sake of the nationalistic projects of the state. Strict
adherence to the classic view of nationalism, which focuses on the
initiated production of nationalist ideology and
state-
dissemination through formal
its
number of relevant issues of cultural The following discussion presents another type
education, will result in failure to recognize a
nationalism in contemporary Japan.
of cultural nationalism
in
market-oriented process.
contemporary Japan, generated through a more informal,
We
shall see that this type
of informal cultural nationalism
can be promoted paradoxically through an attempt to "internationalize" one's knowledge. "Internationalization"
is
an agenda that appeals favorably to
contemporary Japanese society
would not wish
that
"narrow-minded" nationalism of the prewar
type.
I
many
sections of
to see a recrudescence of the
will
one should not overgeneralize, those who make apparent
even maintain
that,
though
efforts to "internationalize"
can ironically end up being agents of informal cultural nationalism.
Informal Cultural Nationalism
What
I call
informal cultural nationalism, has developed mainly in the 1970s and
1980s in relation to the vast amount of publications which Japanese "thinking
produced acter.
to define the
elites"
uniqueness of Japanese society, culture and national char-
This type of literature
is
commonly
referred to as the nihonjinron (literally,
discussions of the Japanese). Discussions of Japanese uniqueness appeared in popular editions of books,
and occasional essays
in
newspapers and general
zines. Reflecting the competitive market for such works, writers
buzzword
after another to describe
The thinking
elites,
Japanese uniqueness
broadly defined,
who
in
interest
maga-
came up with one
order to attract readers.
participated in the nihonjinron
were not
confined to academics but included thinkers of various occupations such as journalists, critics, writers,
A
and even business
elites.
detailed description of the content of the nihonjinron
here since
it
has been the subject of
briefly the three First,
Japanese society
vertical stratification in contrast to
many
other
main themes frequently discussed is
society,
dispensed with
Suffice to
summarize
in the nihonjinron.
characterized by groupism or "interpersonalism,"
(intracompany
Western
studies.'*
may be
solidarity),
and dependence (other-directedness)
which has the opposite
characteristics of individualism,
horizontal stratification (class-based solidarity), and independence (self-autonomy).
The nihonjinron
describe the Japanese as a group-oriented people acting within the
framework of a group
(typically, a
company). Such a Japanese group
is
hierarchically
organized based on affective social relations between superiors (parent-role players)
and
their subordinates (child-role players).'
The theory of
vertical
and group-oriented
Cultural Nationalism
social structure finds
emphasis
in the
"Internationalization "
and
psychological theory of
amae
1
35
(dependence),
according to which the socialization process in Japan encourages dependence on very close emotional bonds, thereby enabling the persistence of group-oriented,
Some
vertical social structural features (such as quasi-parent-child relationships).^
argue that the concept of groupism, often contrasted with individualism, does not accurately describe Japanese social reality, because groupism implies unilateral
influence or control by society over individual behavior These theorists argue that
"interpersonalism" (kanjinshugi)
is
a
more appropriate concept here
in that
it
gives
the highest value to interpersonal relationships, not to society as a moral constraint.^
Second, the nihonjinron frequently discuss unique Japanese patterns of communication, which are supposedly characterized by a lack of emphasis on logical
and
linguistic presentation in contrast to the
Western patterns
that attach
utmost
importance to the use of dichotomous logic and eloquence (linguistic expression). is
a popular theme in the nihonjinron that essential communication
It
performed
is
nonlogically, empathetically and nonverbally such as, for example, through haragei (the art of tions,
communicating between persons without the use of
and
mutual
is,
incidentally, often a
sensitivity
found
way of
direct verbal asser-
The
achieving a difficult consensus).
Japanese
in the social interaction of the
is
considered to
obviate the need for explicit verbal communication.* Finally, the uni-racial
Japanese society interrelated: the
logic
is
minzoku) and homogeneous composition of
Japanese patterns of communication which discourage dichotomous
and verbal confrontation are closely related
and harmony
in interpersonal relations,
communication are believed
Given criticisms
vailing
their pervasive
to
to the high valuation of
and empathetic,
affective,
it
be a product of a largely homogeneous
society.
in the 1980s.
that the nihonjinron constitute a nationalist ideology
to instill a sense of cultural superiority
groups generated nationalism from above
claimed, similar
elite
consensus
and nonlogical
impact on perceptions of the Japanese, a number of
and interpretations of the nihonjinron appeared
view has
have used elite
(tan'itsu
widely assumed in the nihonjinron. These three themes are closely
groups produced
in
among
One
which
the Japanese.^ Just as ruling
prewar and wartime Japan, so
literature
pre-
elites
on Japanese uniqueness
temporary Japan with the intention of manipulating mass psychology
in
it is
con-
in the direction
of nationalism. Critics saw the nihonjinron as an attempt to attribute Japan's eco-
nomic success and
its
apparent lack of serious social problems
social divisions) to the unique virtues of Japanese society
(e.g.,
crime, drugs,
and national character The
nihonjinron were thus considered to present the view that Japan's economic and social success is a cultural victory of the Japanese. '°
simplistic to suppose, as
many
critics
However,
have done by holding the
it
would be grossly
classic
assumption
associated with formal nationalism, that cultural and political elites consciously
form of the nihonjinron with the intention of
produced nationalist ideology
in the
manipulating mass psychology
in the direction
It
is
of nationalism."
not the concern of this chapter to explain
produced theories of Japanese uniqueness. Rather,
I
why
professional thinkers
should like to explore the
1
Global Convulsions
36
effects, intended or unintended,
which the thinking
ideas of Japanese unique-
elites'
ness have had on the rest of the population in relation to the promotion of cultural nationalism.
I
"consumed"
in
shall scrutinize
how
these ideas of Japanese uniqueness have been
Japanese society and
cultural nationalism
how
in this
—
among
ordinary people
process such ideas have promoted
ordinary in the sense of not being
professional thinkers. In so doing, attention will be paid to the workings of informal
"markef'-based cultural nationalism compared with those of formal,
state-initiated
nationalism.
The Consumption of Ideas In order to inquire into
of Japanese Uniqueness
who "consumed"
and why and how they
ness,
did, I
vincial city with a population of several
1980s.'^ I focused
since the
thinking
conducted
elites'
hundred thousand
on educators (school teachers and
in central
principals)
two groups have a profound influence on Japanese
former by way of formal socialization of youth, the large
ideas of Japanese unique-
field research in a fairly large pro-
Japan in the
society at large; the
by virtue of the
latter
late
and businessmen
fact that
numbers of the population are employed by companies.
The respondents' consumption of the nihonjinron stemmed from
their practical
own immediate surbe prevalent among respondents:
concerns to understand and solve concrete problems in their roundings.'^
Two
types of concern were found to
and organizational.
cross-cultural
'"*
The nihonjinron provided
cross-cultural contacts with supposedly useful ideas
on
those interested in
cultural differences.
The
nihonjinron also attracted their readers by providing them with ideas and insights
considered useful for their organizational concerns at the work place since in the nihonjinron Japanese social characteristics are frequently discussed in the context of
employment
practices,
industrial
relations
and decisionmaking processes. These
concerns were especially relevant to businessmen (of the two groups on which
conducted research).
By businessmen
I
mean "company men"
I
or "salarymen,"
including those of the managerial class, employed by large companies, not owners of
small and medium-size businesses.
A significantly larger number of businessmen than
educators actively responded to and "consumed" the nihonjinron.^^ Although research
was
restricted to the
two groups, these concerns
my
are certainly not specific to
businessmen. For example, cross-cultural concerns can be expected to be shared by
anyone this in
as to
interested in international contacts such as students
tourists.
Bearing
mind, inquiry into businessmen's concern with the nihonjinron provides hints
what types of people with what types of concern are
elites'
and even
ideas of Japanese distinctiveness.
their role
model
Before
likely to
consume thinking
therefore, deal with
businessmen
in
as the "social bearer" of informal cultural nationalism.
we examine
useful here to
We shall,
businessmen's place
compare what
I
call
in cultural
nationalism,
it
may be
primary and secondary nationalism with regard to
Cultural Nationalism
the channels through
By
which national
"primary" nationalism
national
in
identity,
is
meant
is
"Internationalization "
disseminated
among
37
the population.
original nationalism as concerned with creating
an already long-established nation. In
in
1
"secondary" nationalism which preserves and
contrast to
enhances national identity
identity
and
actuality, the
boundaries between primary and secondary nationalism cannot be drawn with precision because of the difficulty of deciding
among
established
when
national identity has been
numbers of a population, and what precise value
significant
should be appended to the term significant. Yet a working distinction might none-
be proposed.
theless
Primary nationalism normally attaches utmost importance to formal education,
which
is
often conducted, as
The school
state.
is
was
the case in prewar Japan, through the
a powerful agent for injecting national
spirit,
power of the
and the
state
inculcates national values through formal education. Primary cultural nationalism
usually occurs as part of nation-building which involves the process of absorbing individuals into the organic state, the politicized aspect of the national
nationalism in Japan
was
Another important point about primary nationalism myth. The
spirit.
Primary
essentially formal nationalism. is
the role of ancestral
stages of the formation of national identity center around the dis-
initial
covery or rediscovery of the mythical history and ancestral culture of the nation, for
which reason "historians" and
distinctive history
are given an important place.
communal
fosters a feeling of
emperor system
tion of the
traditional familism
A sense of having a common
and ancestral culture unites successive generations, and uniqueness. For example, the invention of the tradi-
in the early Meiji period
and State Shinto and thereby
was intended
to stress the
to
combine
unbroken imperial
lineage from time immemorial, as well as the unity of Japanese subjects based on the
invented historical vision. Parallels are found from around the world. '^ In secondary nationalism, ancestral
which
where a sense of belonging
myth or
to
a historical nation already exists,
historicist vision is less relevant.
to reaffirm a sense
More
relevant as a source with
of difference for the contemporary audience
is
the nation's
contemporary "social culture." The writers of the nihonjinron are "popular sociologists" or the type of thinking elites
who
are interested in discussing exacdy this sort
of social culture. If
may
we
consider this point about different types of ideas of national identity,
understand
why primary
nationalism attaches importance to formal education.
Ancient history or ancestral myth has, "ordinary" people through the
in a sense, to
medium of
be taught unilaterally
formal education.
porary social culture, an important source of national identity already empirically
alism,
is
elites
here
is
to
we
known
to ordinary people,
By in
contrast,
to
contem-
secondary nation-
and the role of thinking
provide them with perspectives from which to think more
systematically about their society and behavior. Thus, the readers of the nihonjinron
did not respond positively to them in order to "be taught" about their society unidirectionally
by the
elite but, rather,
because they wanted
to
endorse what they already
Global Convulsions
138
knew and
about their society and behavior. They regarded the nihonjinron as
felt
"social theories" they could use to consciously organize their thinking about their
everyday patterns of behavior and thought. It
may be
knowledge
—
argued that the approach that assumes unilateral transmission of
and, therefore, explicit ideological manipulation
propriate as a perspective alism.
The case of
on the workings of ideas
in
—from above
is
inap-
contemporary cultural nation-
the nihonjinron suggests that the workings of ideas concerning
national identity can be
more
examined by paying
insightfully
attention to the
informal, "market" process in which producers, distributors and consumers of ideas
of national distinctiveness participate.
The Reproduction of Ideas Let us
now
Edward
return to the case of businessmen.
may
intellectuals
of Japanese Uniqueness
of
Shils' classification
usefully be applied to characterization of businessmen's place in
relation to the nihonjinron. Shils classifies intellectuals into "productive intellectuals,"
who produce
intellectual
works, "reproductive intellectuals,"
the interpretation and transmission of intellectual works, and tuals,"
that
who
who engage
"consumer
read and concern themselves passively with such works. '^
businessmen were keen consumers of the nihonjinron.
of the business basis of their
elite
own
When
We have
leading
in
intellec-
seen
members
publish their ideas of Japanese business and social culture on the
become "productive intellectuals." One might Made in Japan or Matsushita Konosuke's On Interestingly, many of my respondents classified leading
experiences, they
think, for example, of Morita Akio's
Japan and
the Japanese. ^^
members of
the business elite as thinking elites because they are both practically
experienced and highly knowledgeable about Japanese society. Leading business elites are well
aware through
their frequent contacts with
non-Japanese that the
Japanese are the subject of conversation abroad, and they generally
know how
to
"present themselves" to the rest of the world, thereby taking on the role of spokes-
men
for the majority of ordinary Japanese.
What
is
particularly important in the context of the present study
Japanese business
elites as
"reproductive" intellectuals,
theories of Japanese society and culture, rephrased
which ordinary people could presumably put to the other sections of the population. This
them
who
is
the role of
interpreted academics'
as popular "social theories"
to practical use,
and disseminated them
was an important channel through which
the academics' nihonjinron were distributed to a wider readership.
Many
of
my
respondents familiarized themselves with academic works on Japanese distinctiveness (such as Nakane's "vertical society" theory) through reference to such theories in business elites' writings. S. N. Eisenstadt
makes a
relevant point
("secondary intellectuals"
remarks that "reproductive"
intellectuals
words) "serve as channels of
institutionalization,
in
when he his
own
and even as possible creators or
Cultural Nationalism
new
and
"Internationalization "
1
39
types of symbols of cultural orientations, of traditions, and of collective and
cultural identity."'**
Japanese companies have played an interesting part nihonjinron by publishing what
may be
disseminating the
in
called "cross-cultural" manuals, that
is,
handbooks, glossaries and English learning materials which describe the distinctiveness of Japanese patterns of behavior in the contexts of intercultural business negotiations, business
and management
lifestyle, "untranslatable"
practices,
company employees' everyday
Japanese expressions, and so on.
One might
mention, for
example, Mitsubishi Corporation's dual-language Japanese Business Glossary,
Nippon
Steel Corporation's dual-language
handbook Nippon: The Land and
People (which summarizes a wide range of subjects dealt with such as the nonassertive
mode of communication, group
mentality,
management and employment
relations);
and Taiyo Kobe Bank
Ltd.'s
number of
other similar
company
behavior,
practices, decisionmaking,
The Scrutable Japanese
company employees
portrays the lifestyle of Japanese
Its
in the nihonjinron
(a
communal
and
industrial
handbook which
in English).^
There are a
publications such as Skills in Cross-cultural
Negotiation by Nissho Iwai Corporation and Toshiba's Practical Cross-cultural
Dialogues by the personnel development department of Toshiba Co.^* In these cross-cultural manuals, the nihonjinron are popularized in such a
consumers may apply them
that their
to practical use.
way
The general manager of
the
corporate communications office of Mitsubishi Corporation explains the aim of their
handbook
as introducing "unique Japanese business practices
light but informative form."^^ Similarly, the president
menting on the reaction anxious to
in English."^^
in a
handbook, remarks that "Japanese students were
to their
know how customs and Considering that the
cultural differences are regarded
and expressions
of Taiyo Kobe Bank, com-
practices unique to the Japanese
ability to
were described
use practical English and knowledge of
by many well-educated Japanese as two necessary
conditions to be a kokusaijin (international person), most of these cross-cultural
manuals are intended
to serve both as English language leaning materials
guidebooks on cultural differences the
following quotation from
at the
same
time. This point
Talking about Japan,
is
and
illustrated well in
by Nippon Steel
Human
Resources Development Co. Ltd., in which the three main academic theories on the distinctiveness of Japanese behavior (nihonjinron) discussed earlier in this chapter,
are
summarized and presented
Mr
in the
form of English dialogues:
Suzuki (a Japanese businessmen): Most Japanese tend to avoid doing
anything that sets them off from others. They worry about what others think and change their behavior accordingly.
Mr
Jones (an American): That's probably one of the reasons
talk
about Japanese groupism.
why
people
Global Convulsions
140
Mr. S:
It's
a factor.
It's
also
why
We tend to speak and act only
Japanese are poor
at asserting
themselves.
after considering the other person's feelings
and point of view. Mr.
J:
You
can't say that for
most Westerners. In America, we
our children to be independent, take individual responsibility. try to train
them
to think logically,
and learn
how
try to teach .
.
.
We also
to express their thoughts
and opinions.
Mr
S: Yes, I
know.
.
.
.
Foreigners often criticize us Japanese for not
giving clear-cut yes or no answers. This
is
probably connected to our
being basically a homogeneous society and our traditional tendency to to
try
avoid conflicts.^
It may be argued that this type of conversation manual predetermines the way one expresses one's ideas of Japanese society by providing the very language and concepts one uses. Furthermore, it influences the way one perceives Japanese
society since language learners often parrot uncritically.
Many
model sentences and absorb them
of these cross-cultural manuals published by companies were
originally intended for,
and distributed
to, their
employees and students (prospective
employees), sensitizing them to the distinctiveness of Japanese patterns of behavior
and socializing them to be "internationalized" Japanese.
We may
argue
that,
whereas textbooks are a chief means of ideological
transmission in state-initiated formal nationalism, cross-cultural manuals, such as the
ones that have been mentioned, are an important tool for the dissemination of ideas in informal cultural nationalism. Also,
whereas school textbooks are a means of
childhood socialization, these manuals are used for adult socialization
Japanese
—
to reinforce
identity.
Communication and Cultural Nationalism
Intercultural
Ironically,
many of the
producers and distributors of the nihonjinron
of as "internationalists." ideologues.
It
One avowed and
the nihonjinron
was
their
would be very inappropriate
to call
widely shared motive for thinking
may be
them
elites'
thought
nationalist
production of
concern to improve intercultural communication between
Japanese and non-Japanese. Being cautious about any possible revival of the
narrow-minded nationalism of the prewar elites sought,
t}'pe,
many
well-intentioned thinking
through their writings, to effectuate the emergence of large numbers of
internationally
minded Japanese who had knowledge about different in intercultural settings. Such an interest in
could communicate well
cultures and international
understanding was widely shared by the educated Japanese. "Internationalization" (kokusaika)
became a
national
agenda
in the
1970s and 1980s, and "intercultural
communication" {ibunkakan komyunikeshon) became
a popular subject
among
dents, businessmen or anyone interested in communicating with non-Japanese.
stu-
Cultural Nationalism
and
"Internationalization "
Cross-cultural manuals published by companies also
grew out of
141
their stated
concern to reduce intercultural misunderstandings between Japanese and non-
communi-
Japanese. Their strong concern with internationalization and intercultural cation
is
stated in their publications.
writes that the
aim of
For example, the president of Taiyo Kobe Bank
handbook
their
"make a
is to
contribution, if modest, to the
promotion of an understanding of Japan and the Japanese people
comprehension
is
a time
at
badly needed to ease mounting trade tensions [and also
when
to]
help
who are destined to live in an era of internationalization, by about how things Japanese may be expressed in good English."^^ Of
Japanese students providing hints
particular importance here
the assumption held
is
among Japanese
thinking elites
of behavior and thought are an
that the very peculiarities of Japanese patterns
obstacle to intercultural communication. This awareness of Japanese peculiarities
was considered in intercultural
the first step to achieve better intercultural understanding.
communication thus tended
An
interest
to lead to a strong interest in the distinc-
tiveness of Japanese patterns of behavior and thought. It is
necessary
now
on perceptions of Japanese
to elaborate
identity as they are
preconceived by the Japanese people. In general terms, national identity (and substratum ethnicity)
may be
Wallman understands
ethnicity as "the process
by which
their difference is used to
enhance the sense of us for the purposes of organization or identification."^ say that, in the Japanese discussion of cultural differences,
but "our" difference that
Japanese
elites
its
understood as a symbolic boundary process. Sandra
it is
We may
not "their" difference
actively used for the reconstruction of Japanese identity.
is
long perceived themselves and their culture to be on the "periphery"
in relation to the "central" civilizations (first that
of China and then of the West) and
constructed and reconstructed Japanese identity by stressing their "particularistic" difference
from the "universal" Chinese and Westerners. Japanese "uniqueness" as
discussed in the nihonjinron
is
the "particularistic difference" of the
actually
Japanese.
Because of their perception of being on the periphery, Japanese see
it
as natural to adapt themselves to the
more
elites
ways of
"universal"
tended to
the West.
The
Japanese sense of uniqueness should, therefore, not be confused with ethnocentrism,
which
is
the belief that one's
own group
is
central,
most important, and
culturally
superior to other groups. Explicit claims of Japanese superiority have been relatively
uncommon. The image of the Japanese presented the majority of the Japanese explicit claim of superiority.
is
in the
nihonjinron and held
A "particularistic" sense of national
a question of horizontal difference or difference of a kind."
more
universal aspects of
among
fundamentally that of being very different without
human
ability
and
identity is primarily
By
contrast, since the
activity are perceived to
comprise the
base of the "universal" civilization of the West, the dissimilitude between Westerners
and others
is
likely to
be perceived
"universaHzable" features of vertical sense
of superiority
in
human
common
terms of the difference
activity. in the
This
West.
may
in the ability to
perform
explain, at least partially, the
Global Convulsions
142
The nihonjinron and examples
manuals offer abundant
their popularized cross-cultural
Japanese patterns of behavior and use of language are so
to suggest that
peculiar that one has to be born a Japanese to be able to grasp the intricacy of the
Japanese language and the delicacy of the Japanese
one writer observes
that,
accurate and quite fluent, and though literar)'
awards for
mode
of thinking. For example,
though he knows of some Europeans whose Japanese
some Korean
their prose or fiction in Japanese,
residents in Japan have
he knows of no foreigner
is
won who
can compose good waka (or thirty-one syllable Japanese poetry).^ This sort of
remark may be taken
as suggesting that the Japanese language "belongs exclusively"
to the Japanese, in the sense that
it
can truly be appreciated only by the Japanese.
Such a sense of Japanese uniqueness may aptly be described by using the metaphor "property," since possessiveness is its main attribute. Many Japanese express their sense of being unique as
Japan's peculiar cultural
if
traits
belong
or are the exclu-
to,
sive property of, the Japanese people. It
should be observed here that highly particularistic perceptions of Japanese
uniqueness are not entirely attributable Rather, to a
much
of the 1970s and 1980s.
promoted an active consciousness of Japanese uniqueness
distinctiveness have
among
to the nihonjinron
greater extent than previously, thinking elites' theories of Japanese
the educated public and also conditioned
them
to express
Japanese identity in
a particularistic manner. In this sense, the relationship between "consumers" and
"producers" of the nihonjinron
is
not that of unilateral influence of the latter over the
former but that of interplay between the two. Readers endorse what they have already
felt
about their society by reading thinking
elites' ideas,
and writers respond
to
and promote such
to
an interest in the peculiarities of Japanese behavior and thought.
It
was
interests
of readers.
said earlier that an interest in intercultural
of intercultural communication difference of the Japanese,
its
is
communication tends If
to lead
improvement
attempted through emphasis on the particularistic
unintended consequence can be the enhancement of
cultural nationalism if those aspects of life held in
common
by different peoples are
neglected. In fact, the large increase in the publications on Japanese uniqueness had the effect of emphasizing Japanese difference to the extent that the commonality
between Japanese and non-Japanese was given short shrift. What started as a wellintentioned activity to facilitate intercultural communication thus had the unintended and ironic consequence of sensitizing the Japanese excessively to their distinctiveness, and thereby creating another obstacle to communication. One practical manifestation of this sensitizing process
is
the implicitly
promoted assumption
foreign residents cannot understand Japanese people's supposedly unique
that
mode of
thinking and behaving. Such an assumption has tended to obstruct foreign residents' adaptation to social
life in
Japan. In this sense, an interest in intercultural
communisame
cation (and internationalization) and cultural nationalism are two sides of the coin.
It is
not that a favorable orientation towards nationalism has
tionalization but that,
impeded
interna-
paradoxically, a concern with internationalization has
internationalization even
more
difficult.
made
The distribution and consumption of the
"Internationalization "
and
Cultural Nationalism
43
1
nihonjinron can be said to have been facilitated by readers' desire to internationalize
knowledge.
their
By way
in
using businessmen's activity as a case study, our discussion has
which the project of "internationalization" can
consequence of
business people's fairly
shown
the
produce an unintended
Although our discussion has been
cultural nationalism. activity,
ironically
restricted to
our findings can be expected to be generally valid for other
well-educated groups with an interest in intercultural communication.
Conclusion
to Japan. Cultural
many of the themes dealt with nationalism is relevant in many other
parts of the world, not merely countries of Asia
and Africa but also of Europe and the
It
should be mentioned in concluding
here are by no
means unique
Americas, though the ways in which
chapter that
this
generated
it is
may
vary from one country to
another and ft'om one historical period to another. Cultural nationalism as a means of inventing, reinventing and enhancing a people's national identity has been an integral feature of the classical
view of the
modem
intemational order. Moreover, cultural
nationalism has the potential to produce diverse effects, for which reason far ft'om negligible force in the
contemporary world. Sometimes
it
it
remains a
may work
to
preserve the diversity of world cultures, in the face of homogenizing forces of domi-
nant and assertive foreign cultural and civilizational powers. At other times,
become a source of hindrance
it
may
to intemational understanding through an excessive
may even become
emphasis on national uniqueness. Indeed,
it,
symbolic violence. Such multifacetedness
the nature of cultural nationalism.
Even though people may now
is
itself,
optimistically
talk
a source of
about prospects for a
supersession of nationalism and a rise of globalism and regional integration, these do not
seem
to entail the decline
of cultural nationalism. Particularly characteristic of
the development of cultural nationalism in
decade of the twentieth century,
is that,
concern with cultural differences
is
zation
where
in the lives
promoted
of growing numbers of people.
—whether exchanges, "European" and "Asian")—
in the
regions of the world, in the final
in the contexts
of increasing globali-
becoming a matter of considerable concern
cross-cultural contacts are
cross national borders
many
as the Japanese case has shown, a strong
What
is
interesting
is
that the desire to
form of multinational corporations,
cultural
intemational tourism, or the creation of larger regional identities (such as is
different in a
quite often
accompanied by a heightened desire
to
be
world of "cultural nadons."
Notes
Note on Japanese names: Japanese names appearing customary Japanese order of the family name
first
in the text are
given
followed by the given
name
in the (e.g..
..
Global Convulsions
144
Yoshino Kosaku). In the endnotes, the same order after the family
name
(i.e.,
is
comma
used with a
inserted
Yoshino, Kosaku) to avoid confusion since the names of
Japanese authors of English books are normally known by the customary western order
(i.e.,
Kosaku Yoshino).
New
Zigmunt Bauman, Intimations of Postmodemity (London and
1
Routledge, 1992),
York:
p. 17.
2. Ibid. 3.
Robert Bocock, Ritual
Ritualism in 4.
in Industrial Society:
A
Modem England (London: Allen & Unwin,
Sociological Analysis of
1972), p. 98.
For detailed discussions of the content of the nihonjinwn,
example,
see, for
Ross Mouer and Sugimoto, Yoshio, Images of Japanese Society (London: Kegan Paul International, 1986); Peter Dale, The Myth of Japanese Uniqueness (London:
CroomHelm, 5.
1986).
See, for example, Nakane, Chie, Tate Shakai no Ningen Kankei: Tan'itsu
Shakai no Riron [Human Relations
in Vertical Society:
A
Theory of a Unitary
Society] (Tokyo: Kodansha, 1967); Japanese Society (Berkeley and Los Angeles:
University of California Press, 1970). 6.
Doi, Takeo,
1971), translated as
Amae no Kozo
[Structure of
Dependence] (Tokyo: Kobundo,
The Anatomy of Dependence by
Bester (Tokyo: Kodansha
J.
International, 1973). 7.
Hamaguchi, Eshun, Kanjinshugi no Shakai Nihon
sonalistic Society] (Tokyo: 8.
The
[Japan:
Interper-
ToyoKeizai Shinposha, 1982).
See, for example, Matsumoto, Michihiro, Haragei no Ronri [The Logic of
Haragei] (Tokyo: Asahi Shuppansha, 1975); Haragei (Tokyo: Kodansha, 1984). 9. is
The nihonjinron have been
from two other angles.
criticized
First, criticism
directed at the lack of methodological concerns in the nihonjinron and at
reliance on self-serving examples. Second,
used for ideological manipulation. the "consensus
It is
it
is
its
heavy
pointed out that these examples are
claimed that the nihonjinron, which promote
model" or "group model" of Japanese
society,
work
as
dominant
ideology or management ideology by emphasizing corporate solidarity and harmony rather than working-class solidarity. 10. See, for
in
example, chapters by Kawamura,
Ross Mouer and Sugimoto, Yoshio,
New Directions, 1 1
This
eds.,
Nozomu and Sydney Crawcour
Japanese Society: Reappraisals and
a special issue of Social Analysis 5/6.
may be demonstrated by
the fact that the majority of
read the nihonjinron in a very different manner from
critics
my
respondents
have supposed. Respon-
dents' reading of the nihonjinron, especially academics' nihonjinron, critical
because they interpreted
it
was very
as representing a negative and self-denying
view
of Japanese peculiarities and, as such, discouraging the Japanese from having a sense of national pride. This
been exposed
is
understandable considering that
to the self-critical discussions of
many had
already
Japanese peculiarities prevalent
in the
early postwar years and regarded the nihonjinron as a continuation of such literature.
Cultural Nationalism
This shows that
critics'
hold
On this,
sarily
12.
true.
For the
details
13.
see Yoshino, op.
of
45
note 12, pp. 190-91.
cit.
this field research, see
A
Kosaku Yoshino, Cultural Nation-
New
Sociological Enquiry (London and
York:
[hbk], 1995 [pbk]).
That one's immediate group exerts a major influence on shaping one's
orientation to a particular ideology has been pointed out albeit in differing contexts
(i.e.,
by a number of
sociologists,
Nazism, democracy, communism). See, for example,
A
Study of Leadership (Prince-
Karl
Mannheim, Freedom, Power
Sidney Verba, Small Groups and Political Behavior: ton,
1
speculation about ideological manipulation does not neces-
alism in Contemporary Japan:
Roudedge, 1992
"Internationalization "
and
NJ: Princeton University Press, 1961), chap.
and Democratic Planning (London: Routledge
2;
& Kegan Paul,
1951), p. 181;
Edward
Shils and Morris Janowitz, "Cohesion and Disintegration in the Wehrmacht," Public
Opinion Quarterly 12 (1948): 314; Gabriel Almond, The Appeals of (Princeton, NJ: Princeton University Press, 1952), pp. 272-79. 14.
For these and other types of concern, see Yoshino,
15. Seventy-five percent
op.cit.
See Yoshino, op.
17.
Edward
note 12, chap.
cit.
note 12, p. 134.
3.
and the Traditions of
Shils, "Intellectuals, Tradition,
Some Preliminary 18. Morita,
cit.
note 12, chap. 7.
of the businessmen actively responded to the nihon-
jinron compared to 28.6 percent for educators. See Yoshino, op. 16.
Communism
Intellectuals:
101.3^ (Spring 1972): 22. Japan: Akio Morita and Sony (New York:
Considerations," Dcedalus
Made in Made in Japan: Waga
Akio,
1986), translated as
Taikenteki Kokusai Senryaku
Signet,
(My Own
Experience of International Business Strategy) by Shimofusa, S. (Tokyo: Asahi
Shimbunsha, 1987); Matsushita, Konosuke, Nihon
to Nihonjin ni tsuite
[On Japan
and the Japanese] (Tokyo: PHPKenkyujo, 1982). 19. S.
N. Eisenstadt, "Intellectuals and Traditions," Dcedalus 101.3-4 (Spring
1972): 1-16. 20.
Mitsubishi Corporation, Japanese Business Glossary/Nihongo (Tokyo:
Toyokeizai Shinposha, 1983); Nippon Steel Corporation, Personnel Development Office,
Nippon: The Land and
Its
People, 2nd edn. (Tokyo: Gakuseisha, 1984);
Taiyo Kobe Bank, The Nihonjin/The Scrutable Japanese (Tokyo: Gakuseisha, 1988). 21.
kara
Nissholwai Corporation, Ibunka Koshojutsu: Kokusai Bijinesu no Genba
[Skills in Cross-cultural Negotiation:
(Tokyo:
Kobunsha,
From
the Scene of International Business]
1987); Toshiba Co., Personnel Development Department,
Toshiba's Practical Cross-cultural Dialogues (Tokyo, 1985). 22. Mitsubishi Corporation, op. 23. Taiyo 24.
Kobe Bank,
Nippon
Steel
op.
cit.
cit.
Kobe Bank,
26. Sandra
Ethnicity at
2.
Human Resources Development Co.
Nippon o Kataru (Tokyo: ALC, 1987), 25. Taiyo
note 20, p. 4.
note 20, p.
op.
cit.
p.
Ltd., Talking
note 20,
p. 4.
Wallman, "Introduction: The Scope for Ethnicity"
Work (London: Macmillan,
About Japan/
405.
1979), p.
3.
Author's
italics.
in
Wallman,
ed.,
Global Convulsions
146
27. This does not
mean
that a sense
as in the case of their attitude towards
28.
of superiority
is
absent
among
Koreans and other minorities
in
the Japanese
Japan.
Watanabe, Shoichi, Nihongo no Kokoro [The Soul of the Japanese
Language] (Tokyo: Kodansha, 1974), pp. 105-6.
Partn National Identity and the Struggle for National Rights
—
Religion and Identity in Northern Ireland MARIANNE ELLIOTT
During 1992-93,
acted as one of the seven commissioners of the Opsahl
I
Commission: an independent inquiry produced
its
report in June
into
1993.'
ways forward
Northern Ireland, which
in
The commission was a novel
democracy, which sought to involve the people of Northern Ireland about
its
future. It received
exercise in
in the
debate
submissions from some 3,000 people and held public
meetings and oral hearings throughout the region. The report made a number of
recommendations which were subsequently endorsed
in public opinion polls in
Northern Ireland, Britain, and the Republic of Ireland.^ Most of these recommen-
stemmed from
dations
the people's sense of frustration and helplessness after a
more
quarter of a century of violence and deadlock and their desire to have
over their
own
future.
To do
so, they recognized,
responsibility for the situation, past
would
also involve
and present. This recognition
—
control
them taking
that the source
of
the conflict lies inside rather than outside the province, with the people themselves
was
the uncomfortable conclusion of
There
is
no "quick
recommended a up
trust,
common
most of those addressing the commission.
fix" to Northern Ireland. This
series
is
why
the Opsahl
and the experience of working together before they could arrive
ground on Northern Ireland's long-term
The
exercise
showed
the Troubles in 1969. But
There
ignorance
is
is
still
at
some
future.
that opinion has shifted considerably since the onset it
of
also highlighted a continuing gulf of misunderstanding
between Protestant and Catholic, however anxious the individual dation.
Commission
of "building blocks" to help the different communities build
a sense that the other
community
is
to reach
accommo-
a different people and
preventing any overall sense of a shared culture. Basic ignorance about
what the other
faiths teach is rampant.
munities and traditions, most people in
Thus cocooned within
their respective
Northern Ireland have had
little
com-
experience of
149
1
50
Global Convulsions
the other
community outside
venues where
zone of conflicting too
their workplace.
their differences
many
polarities as
many people who
There
can be explored believe.
is
"pick and mix" from a range of identities for
lose even
when
which
chapter seeks to analyze.
The
total
which
they cease to be practicing members.
oral hearings of the
It is
by any other
culture and identity
commission religion
Interestingly,
it
is
in
the
these core differences
[are]
in
produced
more by our
influenced
who had been
part of the group at the
their
because their Irish culture would
same consideration which
among Sinn Fein
much because
education"^ not so
diluted, but
be.^
inspires greater hostility towards
supporters than
among
Catholics gen-
Throughout the hearings these core differences between Catholics and
Protestants
emerged time and time
again: the centrality of religion to the identity of
The bogeyman
the one, of Irish history, language and culture to the other.
Catholics was the state and
Church
identity
an earlier occasion, the same school group had told the
any way
educational integration erally.^
On
opposed integrated
that they
would be
But there
A number of Catholic sixth-formers subsequently
factor."
voiced their bewilderment to their friend choice of such a motion.
that.^
Opsahl Commission closed with two schools assemblies
"Our
the following motion:
not a
is
their adherents rarely
Derry and Belfast. In Derry, the subgroup discussing culture and
religion than
lack of neutral
Northern Ireland
There are too many shades of grey,
are certain fundamentals to the mainstream religions
this
almost a
in safety.
its
for
representatives, that for Protestants the Catholic
itself.
This fear of Catholicism as a powerful political system, the commission found at
every level of the Protestant community.
It is
otherwise very diverse, even divided community.^ their Britishness
was
the It is
one element which unites an the
main defining element of
and the perceived link with a Protestant power.^ The commission
told repeatedly of Protestants' reluctance to call themselves Irish.
in Protestants'
plummeted sharply after their outbreak. "Irishness" was perceived as something not only Catholic, but cized, something which had been "hi-jacked" by the republicans. dictates Protestant attitudes to the Irish republic,
democracy but
It is
a decline
sense of Irishness which, whilst never high before the Troubles,
as highly politiIt is
which they see not
this
as a
which
modem
as the incarnation of their worst nightmare: a hostile Catholic state,
out to destroy Protestantism
itself.
Protestants,
we were
told
by a former moderator
of the Presbyterian Church, see the political situation in clearly religious perspectives.
.
.
.
They
see the
attempt to bring about a "United Ireland" not only as an attack upon their political
and constitutional well-being, but also as an attack upon
their
1
Religion
Table
Religion
7.1.
and National
and Identity
in
Northern Ireland
1
5
Identity in Northern Ireland
1978
1968
1989
1986
Pmt.
Cath.
Prot.
Cath.
Prot.
Cath.
Prot.
Cath.
%
%
%
%
%
%
%
%
British
39
20
67
20
65
9
68
8
Irish
20
76
8
69
3
61
3
60
6
14
32
Ulster
20
5
—
—
N.Irish
—
—
11
Edward Moxon-Browne, "National
Source:
1
10
2
20
16
25
Identity in Northern Ireland," in Peter
Stringer and Gillian Robinson, eds.. Social Attitudes in Northern Ireland (Belfast:
The Blackstaff Press,
1991), p. 25.'
and an attempt
religious heritage
to establish in Northern Ireland the
dominance of the Roman Catholic Church and people.
.
.
.
They see every
aspect of the political, cultural, educational, medical, industrial, social and
and often controlled, by the
religious life of the Republic dominated,
power and influence of the Roman Catholic Church. '° In such a rapidly changing society as that of the Republic of Ireland, people
have genuine
difficulty accepting the sincerity
The recommendation of
ridden."
any mention
the Opsahl
in the otherwise vigorous
of such views of their
state as "priest-
Commission which received
scarcely
and positive reception of the report
in the
Republic, was that on the Catholic Church in Ireland. 4.
1
.
In the light of the widespread and deep fear
among Northern
tered
society ...
we
—and
move
and mistrust
believe that the government of the Republic of Ireland must
be seen to
Declaration that
it
move
cherishes
all
—
make good
to
the claim in the
it
New Ireland Forum
did not wish to have the moral teaching of the Catholic Church
become bodied
the criterion of constitutional law or to have
in civil law,
and
tion of the role of the
examination
end
1916
the children of the Irish nation equally.
Recalling the Irish Hierarchy's declaration to the that
we encoun-
Protestants about the Catholic nature of Southern
we
—and
its
its
principles
em-
reference to the need for a balanced examina-
Church
in a
changing Ireland,
a public debate on
it
—should
we
urge that this
take place now.
To
this
suggest the setting up of a wide-ranging public inquiry into the
role of the Catholic
This was
in
Church
in Ireland."
June 1993, and
I
have
not have been the dead letter that once
I
to say
now
thought.
that this
recommendation may
The joint Downing
Street Declara-
1
Global Convulsions
52
tion of the British
and
governments on December
Irish
genuine reaching out by the
latter to the Protestant
14,
1993, does signify a
people of Northern Ireland.
It
contains the following undertaking:
The Taoiseach
will
examine with
life
to the Irish
government
way of life and
as not being fully consistent with a society,
and undertakes
Irish state that
to
in the
can be represented
course of political dialogue as a real and
in the
substantial threat to their
any elements
his colleagues
and organization of the
democratic
ethos, or that can be represented
modem
democratic and pluralist examine any possible ways of removing such
obstacles.
No
such inquiry was established. But
affecting the church during
in the
Brendan Smyth), a very wide-ranging public debate on the Church in the Republic got underway. Conscious of
how
number of scandals
aftermath of a
1993-94 (notably the case of the pedophile
priest,
role of the Catholic
antiquated their fears of "popery" sound, most Ulster
Protestants have great difficulty defining their identity in public. In private they were
more forthcoming. "There were
is
the notion that
told in Auchnacloy, a border
town
Church teaching the children biased
in
you have
to
be Catholic to be
County Tyrone, but
history
this
was
and hatred of anything
we
Irish,"
the Catholic British,
and
Catholic teachers in schools would force their views on the children since "Catholics are taking their lead
from
Rome
and
Rome
is
out to get rid of Protestants." Despite
the Catholic Church's relaxation of directives concerning the religion of children of
mixed marriages, even Church has not made It is
the leaders of the Protestant Churches think the Catholic
sufficient concessions in this area.'^
not surprising, therefore, to find ordinary Protestants
the Catholic Church's views
and parcel of some great conspiracy
which urges
its
still
convinced that
on the family, education, and mixed marriage are part to destroy Protestantism entirely.
It is
the church
adherents to bigger families, and forces mixed-religion couples to
bring up the children as Catholics (every Protestant commenting on this
about the
Ne Temere
had never heard of
it).'^
There
is
more
hostility
to
all
mixed marriages among
Protestants than Catholics, even liberal-minded Protestants thinking that's
knew
decree of 1907 on Catholic marriage, though most Catholics
morally wrong." Similar hostility
is
expressed to attendance
it
at
"something any kind of
service in a Catholic Church, only half of church-going Protestants claiming that
they would do
Members of
so."*
the
Orange Order are required
to "scrupulously
avoid countenancing (by his presence or otherwise) any act or ceremony of Papist worship."'^
The Rev.
Ian Paisley's frequent reference to "Jesuitical" conspiracies,'^
particularly in connection with the Republic's territorial claim over Northern Ireland, strikes a real chord.
Ireland
(i.e.,
Although there are only 13,000 Free Presbyterians
in
Northern
followers of the fundamentalist Protestant church led by the Rev.
Paisley), over a quarter of the Protestant electorate regularly votes for his party, the
Religion
Democratic Unionist
—a
—which
trines
requires
its
Northern Ireland
in
53
1
While an estimated 100,000 Protestants belong
party.
male-only Orange Order tion
and Identity
to the
staggering 38 percent of the Protestant male popula-
members
to "strenuously
oppose the
and doc-
fatal errors
of the Church of Rome."'^
Given such views
that the Catholic
Church's ultimate aim
destroy
to
is
Protestantism, current demographic trends are contributing to an apocalyptic psy-
chology among some Protestants. The 1991 census showed a rising Catholic population (41.4 percent,
up from 34.7 percent
54 percent
in 1971, against
Protestant), with
Catholic majorities in almost every local authority west of the Bann, south
and north Antrim. Whilst
whose City Council
in Belfast,
been an increase
nationalist in the province, there has
from 32.2 percent
is
the
Down
most notoriously
in 1971 to 42.5 percent in 1991.'*
Protestants in these areas and along the border with the Republic have felt
beleaguered.
anti-
number of Catholics
in the
The IRA's border
attacks
most
were seen as "ethnic cleansing," and Protestants
perceived to be "selling out" to Catholics were condemned by their co-religionists.
Since Protestants generally their
moment
seemed
end
to a Protestant majority
numbers of murders of Catholics by
the 1994
tent of things to
show
Protestants to be less tolerant of Catholics
moving
is
into
of
district
perceived as a por-
come. In Londonderry, most Protestants have moved out of the
now deemed
city
Catholic
—
in a united Ireland.^ In Belfast the
lation of the Shankill in
of siege, of Shankill.^'
retreat,
a microcosm of
commission was
to
city
virtual collapse
is
told that the Protestant
areas bursting at the
in
statistics
is
in
"a sense
seams while
their
Northern Ireland (where the workforce was
where once they were a
deprivation,
Given the anti-discrimination
is
experiencing
new
largely Catholic
legislation introduced in the last
levels
as having been
which show Catholics
still
Catholic culture to complain.
beginning of the Troubles
still
on the Catholic
side,
two decades, much of all
the
and they consider bogus the
twice as likely to be unemployed."
The sentiments expressed
find echoes today.
of
phenomena.
undoubted discrimination against Catholics, Protestants see
economic gains
popu-
27,000 and
declining. Since the onset of the Troubles coincided with the
predominantly Protestant), the Protestant working class
to redress
to
almost of defeat," commented one community worker from the
of heavy industry
unemployment and
they would see themselves
56,000 over the past twenty years. There
They see neighboring Catholic
own community
how
West Belfast had dropped from 76,000
North Belfast from 112,(X)0
in
two years
into the Waterside in the last twenty years, consciously ghettoizing themselves
from a
it
factor in the
neighborhood than the reverse. The experience of the Waterside
Derry (Londonderry), and Protestant North and West Belfast
and
was a
loyalist terrorists in the
ceasefires.'^
All social surveys their
think of the Cathohcs as a "fifth column," awaiting
still
the constitutional link with Britain, the threat these figures
to hold out of a future
escalating prior to
remove
to
in
It is,
after all,
a satirical song at the
Global Convulsions
154
Come all you
boys
me, come gather
that vote for
around.
all
A Catholic I was bom an' reared an' so I'm duty bound To proclaim my
country's misery and express our Papist hope,
Orangemen
To embarrass
all
Chorus: Sing
fol dol
the
do dee,
its
an' glorify the Pope.
great to be in the Nationalist
game,
We don't attempt solutions, we have only to complain.^^
n Catholics are baffled and embittered by such attitudes. Surely
been the victims all sorts
in the past?
They see themselves
as being
it is
who have
they
most reasonable, making
of overtures for good community relations, and point to the local councils
with nationalist majorities having adopted power-sharing as policy. They find puzzling Protestant rejection of things Irish and their general ignorance of what Catholics believe.
funny
"It's
how
know
litde they
about us," commented one
wee
red-haired
that the
people are
Catholic in south Armagh. 'They have a picture of the south as a
with a freckly face pulling a donkey loaded with turf
fella all
.
.
.
and
ruled by the church and things like this."^
comment
This
highlights a general Catholic belief in a continuing Protestant
tendency to see them as an inferior breed. Yet there has always been an superiority
dichotomy
in Catholic thinking, the belief that they
inferiority/
hold the high moral
ground, inducing a sense of pity of Protestants whose culture they see as more
and impoverished than
their
own. At
its
more extreme,
syndrome induces self-righteousness and moral break away from
it
elitism.
memory
skilled at exploiting Catholics' shared
his
Republicans are particularly
of disadvantage, and any effort to
John Hume, leader of the
risks the accusation of selling out.
Social Democratic and Labour Party (SDLP), has
among
own community,
"grievance
mentality,"
complaint.^^
It is
suggesting that
rather
than
it
suits
attempting
because of such shared
sterile
this inferiority /superiority
to
little
many
time for such "whining" to persist in this kind of
remedy
the
memory of disadvantage
cause
of their
that Catholics are
so unwilling to accept that Protestant fears might be genuine. Fear of Catholic
Church power
is
simply a cover for pure bigotry; Protestant determination to cling to
the union with Britain
The use of
the
is
a ploy to maintain their "ascendancy" over the Catholics.^
word ascendancy by Catholics when speaking of
fellow countrymen
is
instructive. Originally defined in the eighteenth century to
describe exclusive Protestant rule of Ireland,
psyche. 1921,
unites
It
acquired a
new resonance
it
is
a word embedded in the Catholic
after the creation
and the embers of resentment are easily
SDLP
their Protestant
of the Northern Ireland
ignited.
It
is
and Sinn Fein supporters (though they agree on
anything savoring of restored majoritarian Unionist
rule.
state in
such memories which little
else) against
.
and
Religion
Now
although
I
Northern Ireland
Identity in
1
55
think such Catholic perceptions of Protestant motivation are
no longer accurate, and the commission was made aware of a certain grudging
among
admiration
many
Protestants for
aspects of Catholic culture, notably a
community
greater ability to organize at the
tendency to see Catholics as an inferior breed they are culturally
more
level, nonetheless, historically the
is
accurate enough. Protestants think
inclined to the useful scientific subjects, whilst Catholics
prefer "soft" subjects like history and the arts," hence the perceived
economic
backwardness of the South, with which Protestants normally associate the northern Catholics. in
Much
of
this they attribute to "priestly tyranny,"
keeping the Catholics
ignorance and superstition. Catholics were encouraged by their priests to believe
Bob Curran's Protestant grandmother told him when he was a child Mourne Mountains. "As long as they believed in the supernatural (fairies,
in fairies. Dr. in the
cures, visions
and miracles) the
much more Such from
had them
priests
believe anything which you told them
—
in their grip.
Catholics would
who were
not like Protestants
altogether
sensible."^
attitudes to the Irish are part of British culture,
time of Gerald of Wales
at least the
which can be documented
in the twelfth century. ^"^
At
the time of the
Reformation, the image was transferred to the Irish Catholics generally. In Ulster in particular, the
seemed class
absence of a Catholic gentry, and
to fulfil the stereotype, for
and rural.^ Travellers
by the lengths Catholic
in eighteenth
1812, John
despite
Protestant
would
irritation to
name,
the
intellectually
times.
One
their
very anxious to assure
me
wasn't —"ahezealous
that
descended from a Huguenot"
A
and socially
had transferred
was
middling
But nothing caused more
itself to that
who were
who
For the centrality of
their inferiors.
of the Irish Catholics in early
the ban
and
on Catholics owning or carrying arms, thereby
upper ranks
the
external
natural deference to their social betters
many
cases
resented,
more
Gaelic society, and in settlers
confused with the
of the aspects of the eighteenth-century penal laws most
resented by Catholics,
gentleman. ^^
but
as soon call his son Judas as Pat."^'
status in Gaelic culture
denying
to avoid being
Gamble recorded an encounter with an innkeeper
Catholics in past centuries than to be lorded over by Protestants
were sometimes
modern
largely lower-
and nineteenth-century Ulster were struck
named O' Sullivan near Lame: "[H]e was Catholic,
Catholic middle class,
most Catholics have remained
which Protestants would go
to
Irish. In
later a
it
was
transferred to the
status
symbols of a
had also been a
trait
new
was
landlords
(it
of the
for their lowly social status than their religion).
Likewise, this natural deference was misinterpreted as the sign of a slavish mind
and entered Protestant folk stereotype of Catholics, defying even the recent emergence of a Catholic middle
Come all you
class,
noted
earlier:
loyal Ulstermen, rejoice that we're together,
We Catholics in the Middle Class have never had And
if some have not got houses or employment
it
better
.
.
we don't grumble,
.
Global Convulsions
156
Why don't they beg
and grovel, can't they follow our example
My son will go to Clongoes Wood" and stay there And
learn there
how
to scrape
till
.
.
he's twenty,
and bow and pass himself with gentry.^
m The kind of mutual incomprehension of the other community's core values that has been outlined owes not a little to the way in which they are expressed. "The talks failed for lack of language," wrote Professor
interparty talks
on the
Edna Longley of the breakdown of November 1992.^^ Certainly,
future of Northern Ireland in
Catholics and Protestants appear to have different thought-patterns in Northern Ireland. Social science surveys
even
if
Protestant
is
in
attitudes consistentiy different,
The self-image of the Northern
that of a straight, uncomplicated, trustworthy, direct, plain-speaking
individualist, as
"The
have found social
they share a general religious conservatism.^
opposed
SDLP speak
to the dissembling, untrustworthy, Jesuitical Catholic.^^
with a forked tongue," a group of Protestants from Casdedawson
County Londonderry
wriggle out of things,"
told the
we were
Opsahl Commission. "The Republic can always
by another group
told
Protestants believe that Catholics
in
Auchnacloy. "Northern
do not say what they mean," the Rev. Sydney
Callaghan told the commission, "that they are profligate with words, past masters of the art of the fine point, the innuendo and the half-truth."^*
Whereas
the Unionists
tend to see hidden agenda and seek a cautious, step-by-step approach, the Nationalists
think in terms of frameworks and big solutions.
Ingrained cultural differences have meant that the two have constantly by-
passed each other in every attempt
have fed justice
into
and
community and I
I felt
see a
many
security. is
at
compromise, and the differences
other areas of the Northern Ireland
There
is
a collective sense
treated unfairly in these areas: "the
intimidated,"
member of
commented
among
crisis,
in
outlook
most notably law,
Catholics that their whole
army asked me what religion I was Keady in south Armagh. "When
a Catholic from
the security forces
I feel
intimidated and guilty, even though
I
haven't done anything," a Catholic sixth-former told the Opsahl Commission's
Schools Assembly
in Belfast.
And from
all
over the province, the commission heard
evidence that those with Catholic-sounding names are more likely to be harassed by the security forces and stopped at checkpoints.^*^ In this context, the following
observation
is
most
insightful:
In the different religious/national traditions there have developed different visions of righteousness, radically different versions of justice. In
a significant part of the Ulster Protestant tradition justice tends to
empha-
sise honest dealing, getting one's deserts, acting rightly, fair procedures
and the punishment of the
guilty.
Communal justice
is
not so central.
Religion
and Identity
in
Northern Ireland
1
57
In the Irish Catholic tradition, there has developed a victim theology
whereby the community sees oppressor gets his deserts.
.
.
.
framework. Reconciliation
right
victim and making sure the
itself as the
Peace comes
after justice
and justice
is
the
seen merely as
in this perspective is
giving the other a place in our framework, not together trying to create
something new. This radical difference in perspective between the two communities
one of the reasons why they have such
is
difficulty understanding
each
other.^
In this regard, Paul Burgess' analysis also presents a disturbing finding, namely, that the
Hence
major Protestant and Catholic communities do not share a the moral ambivalence and double standards
society,
and permit otherwise peaceable people
common
to perceive terrorist acts
shows
why
is
between schools of
more
influentially,
by parents)
the government's well-intentioned "Education for
Understanding" program has
With
failed.
different denominations,
politically partisan nature of education in
Mutual
limited, frequently non-existent, contact it is
been specially trained and inevitably carry
taught by teachers
their
own
cultural
who have
baggage
in
What
swimming pool along with
actually happens is our kids stay
the other. "^' Little futility
among
and teachers the Opsahl
the schoolchildren at
Commission
in
"We
the neighboring Protestant school.
up one end of the pool while they
whom
it is
stay
down
directed. "It is not us, but our parents
Dungannon, Tyrone
Sectarian consciousness
is
sixth-former at the oral hearings of
in
February
1993."*^
pervasive in Northern Ireland.
of one community or the other, and
fertile
the
wonder, then, that the program evokes cynicism and a sense of
who need EMU," commented one
is
can be instinctive even
call bigotry. It
not
Northern Ireland. "I have seen these so-
called inter-school contact programmes," one Catholic teacher told Burgess.
take our lot to the
that
from an early age through the segregated schools,
often unconsciously transmitted by teachers (though
themselves. This
Irish
by one side
as morally less reprehensible than those by the other. Burgess' survey sectarian stereotypes are acquired
morality.
which pervade Northern
often far to the
It is
not the
monopoly
removed from what we commonly
most
liberally
minded, and provides
ground for the kind of insider humor about prejudice and difference which
most Northern
Irish
people engage
in
from time
to time.
It is
there because difference
has been institutionalized, locked, sometimes imperceptibly, into the social fabric of people's lives.
It is
a difference preserved and exaggerated by the very high levels of
segregation in Northern Irish society.
questioned in 1992 said most or
all
Some 83
percent of Catholics and Protestants
of their relatives are of the same religion.
Educational, sporting, as well as other social activities, and
now
increasingly housing,
The Opsahl Commission was told repeatedly of once mixed communities having become predominantly one religion as a result of are confined within one community."*-*
the Troubles.
It
learned of working-class males, in particular,
who were
deterred by
Global Convulsions
158
fear
from moving outside the
employment;
safety of their
was acquainted with
it
which might involve
travel
own
was a
March
In
to take
in
visible increase in public mobility, particularly in the Belfast area.
1993, a leading Northern Ireland journalist, David McKittrick,
increasing segregation which startled even those
areas
it
statistics for
such
was occurring. He
percent of Northern Ireland's 1.5 million populace lived in
which over 90 percent Protestant or Catholic.
Less than 110,000 people lived
•
who knew
that:
Some 50
•
One
atmosphere following the 1994
analyzed unpublished data from the 1991 census and produced
concluded
up much-needed
through areas dominated by the other community."^
of the most notable aspects of the rapid thaw ceasefires,
even
areas,
the problems of attending integrated schools
may be
here there
mixed
in substantially
internal separation
areas,
and even
by the numerous "peace
lines"
(twenty-foot high walls physically separating Catholics and Protestants). In the last twenty years the
•
number of wards exclusively Catholic or
Protestant had increased from 43 to 120 and 56 to 115 respectively. In Belfast 35 of
•
its
5 1 wards were over 90 percent one religion.
A community worker on the almost exclusively Protestant Shankill Road in Belfast neatly
summarized the
Young people
lifelong cycle of segregation thus:
start off in
primary school: they are segregated. They go to
secondary school: they are segregated. They leave school, no hope probably of getting a job ... so they go to a youth training program. There are separate
YTPs
for Catholics
have any money they are stuck
and Protestants.
in their
own
other people with other religions or other cultures It is this
lifelong separation of the
in
the workplace,
good
relations
.
.
Because they don't
.'•^
communities which has caused stereotypes
take the place of understanding in Northern Ireland.
mix
.
areas, so they don't get to see
When
are maintained
by
the
polite fancy footwork,
tiptoeing around potentially controversial topics. "Sectarianism ... feast
of
much of
Commission.
It
polite society in Northern Ireland,"
to
two communities do
is
Ken Logue
the ghost at the told the
Opsahl
"depends essentially on a popular culture which invokes religion as a
boundary marker between the two communities." signs of such sectarian consciousness.
The
It
can operate without any overt
stereotypical cues of appearance,
name,
school, cultural values, and speech are the unspoken language of everyday discourse.^
IV Authoritative research into the historical background to this gulf of misunderstanding, is
yet to be done.
The
Ulster Catholic in particular must be one of the most under-
— and
Religion
working class areas
—
moral ground, as a descendant of the true Gael, your ancestors were deprived of land and
59
1
To grow up as a Catholic in Northern Ireland is to grow up convinced that you occupy the high
researched figures in Irish history. particularly in
Identity in Northern Ireland
their
persecuted for their religion. Protestants are perceived as not entirely Irish,
and Catholicism
some kind of organic
possessing
itself as
very landscape suffused with both.
"It is
unity with Irishness, the
perhaps inevitable that our poetry should be
Roy McFadden
provincial," wrote the Ulster Protestant poet
in 1946, ".
.
concerned
.
with appearances, seeing the tree and the field without the bones beneath.'"'^
Although the Catholic tendency the wane, particularly
among
to think in terms
of "native" and "planter"
on
is
the young, traditionally. Catholics have believed that
they are "the Irish properly so-called, trodden and despoiled."
Theobald Wolfe Tone, generally held
The words
have been the founder of
to
are those of
modem
republican
nationalism at the end of the eighteenth century. But this perception has been part of the Irish Catholics' "origin legend" since the seventeenth century."^
of the current Troubles, cited
earlier,
The
satirical
song
points to the centrality of this belief in northern
nationalism.
Our allegiance is to Ireland, to her language and her games. So we can't accept the border boys, as long as it remains. Our reason is the Gaelic blood that's flowin' in our veins. An' that is why our policy is never known to change.''^ Protestants of Irishness.
On
the
all
social categories are ambivalent about the cultural
one hand, they
reject
as subversive, used, as
it
it
meaning of
undoubtedly has
been, by extreme nationalists to exclude Protestants from the Irish fraternity.
narrow
political focus
Protestants are
now showing
other, they resent this
Indeed,
many
the Irish language, once
unknown
told the
county
commission. "Nationalism state
and a united
Ireland.
to a specific ideology has
The
A
McGimpsey of
have defined
the Ulster Unionist party
seen to be exclusively defined in terms of a 32
Many
Protestants feel very Irish. Linking Irishness
of the "faith and fatherland" reading of Irishness
teacher should dwell with pride, and in glowing words on Ireland's
glowing past ... her devotion through brought by her National Aposde. in
that
is
1905 Irish History Reader, published by the Christian Brothers
included the following instructions:
The
it.
done tremendous damage."^'
truth of this claim
indisputable.
is
the
a particular interest in Irish history and
to Protestant schools.^ "Nationalists
Protestants out of being Irish," Dr. Chris
On
and some are taking action to redress
.
.
.
all
the centuries to the Faith
[Pupils'] interest should
be aroused
widespread movement, the creation of earnest men, that has
already effected so native music, and
much
for Ireland in the revival of her native language,
native ideals;
they must be taught that Irishmen,
Global Convulsions
160
claiming the right to
make
their
own
grown
man's
to
laws, should never rest content until
and
their native Parliament is restored;
that Ireland looks to
of true
estate, to act the part
men
them,
when
in furthering the sacred
cause of nationhood."
Ulster Protestants were centuries.
The following
and religious
more
common
likely to reject a
Irish identity in past
early nineteenth-century warning of the
threat awaiting Protestants
who
flirted
combined
political
with separatism and nationalism
was a common one:
From
experience of
event [the 1798 rebellion]
th[is]
ought to be convinced that the Britain
political separation
by a popular insurrection must involve
.
.
.
Irish Protestants
of their country from
and
their extinction
that
consequently an infrangibly determined adherence to their British con-
nexion
There
match
necessary for their
is
not
is
much
safety.^^
sense here of an ethnic Britishness
the ethnic Irishness of the later Gaelic revival. This
is
among
Protestants to
because their identity as
a Protestant people was already well established, a religious identity that did not require racial underpinnings except in very specific periods of threat.
The
racial
undertones of nationalist theory in nineteenth- and twentieth-century Europe have
made
it
more
difficult for Ulster Protestants to explain their identity in purely reli-
gious terms, however accurate political affiliation than
quacies
is
one of the reasons
Ireland's Protestant
There
is
it is
in reality.
But Britishness
an accurate label for that
identity.
is
more a
for the collective loss of confidence
among Northern
community.
already a search underway
among some Protestants The argument
origin legend to that of the Gaels for the Catholics.
always been a
declaration of
A recognition of its inade-
for an equivalent that Ulster has
is
distinct nation; that Protestants are not Johnny-come-latelys, but
descendants of the ancient Celtic people of Ulster, the Ulaid, the people of the Ulster
Cycle and the heroic
tales
of Cuchullain
of the Ulster people against the
rest
—
the central
of Ireland.
As
theme of which
such,
it
is
the struggle
provides an alternative
origin legend for those arguing today for an independent Ulster against the territorial
claims over the province the Protestants this origin
who
made by
the Republic's Constitution. In other words,
are the natives, not those of Gaelic stock.
It is
it is
interesting that
legend should extract similar romantic views from the past for incor-
poration into a future state as the Gaelic revival did for the future Irish state, notably,
on the land. An extension of this who came over at the time of the Ulaid, who had been pushed into the
a rejection of materiaUsm and an idealization of
version of pre-history
is
life
to see the Scottish settlers
Ulster Plantation as descendants of the ancient
Northeast, then to Scotland, returning in the seventeenth century to reclaim what was rightfully theirs.^
Religion
and Identity
in
were simply a warrior
In fact, the Gaels, like the Ulaid before them,
which absorbed indigenous peoples.
It is
Northern Ireland
elite
impossible to trace lineage back beyond
the eleventh and twelfth centuries, though the learned classes
creating bogus lineages into early
161
modern
times.
It
were kept busy
unlikely that anyone in
is
modern Northern
Ireland can trace an unbroken lineage to either the ancient Celts
or Gaels. There
is
succeed
So
Scotland.
one important
imposing
in
rider to all of this,
their culture not only
that the
25,000 Scots mercenaries (Gallowglasses) operating
Ulster by the sixteenth century were Gaelic in culture (Catholic) were those of their hosts." the time of the Ulster Plantation
descent, settlers
was
were
however: the Gaels did
over the whole of Ireland, but also over
What
—
their
in
language and religion
differentiated the Scottish setders at
from the resident populace and families of Scots
their religion, not their race. It
simply cannot be proven that the
Celts. Gaelic-speaking is not evidence
—
the Gaels and the Celts
were
different peoples.
This
is
a mirror-image of the organic link thesis between Catholicism/
which has dominated Catholic and
Irishness/ territory,
past since the seventeenth century, and which
nationalist readings of the
surfaces in the popular tendency
still
The process whereby this image of was constructed has long been recognised by scholars. Less but equally important in the identikit of the Ulster Protestant, was the
to see Protestantism as alien to Irish culture.
the Catholic Gael noticed,
similar cultural creation of the the Ulster Scot. In this, the Ulster Plantation of the early seventeenth century introduced a hardy breed of Scots.
work
Calvinist
ethic
and no-nonsense independence of
province into the economic success story which
developed
and gave
in the nineteenth century
which separates
it
from the
rest
Endowed with
spirit,
was when the myth was
it
the
they turned the fully
to Ulster that distinctive quality
of Ireland.^^ All of
this ignores the distinctiveness
of Ulster long before the Plantation; the impact of Catholic Scots (not least in the Plantation
itself,
where some 20 percent of the
settlers
were Catholic); the
preexistence of linen production which would provide the base for the economic miracle; the high proportion of intermarriage and the general cultural
have gone religionists
to
make
the Ulster Catholic
elsewhere
more
mix which
like the Ulster Protestant than his co-
in the country.
This does not deny the
fact,
however, that even
was already deemed English/Scots or
Irish
in the
some Irish Protestants call themselves was to be English. This, of course, was
very end of the eighteenth century did Until then, to be Protestant in Ireland
seventeenth century, one
according to one's religion. Not until the Irish.
not a
who used terms such as Scots, common Protestant identity was
term readily adopted by the Ulster Presbyterians,
Hibemo-Scots, and, on those occasions when a
assumed
in the face
of a Catholic threat (for example, the 1690s, 1820s^0s, and
during the Troubles), British."
It
was
this reluctance
by the Ulster Presbyterians
think of themselves as Irish which prompted Wolfe Tone's
of Irishman" plea, though even he never
to
famous "common name
lost that instinctive Protestant dislike
of
Global Convulsions
162
Catholicism as a system. Also notable, was his other liberty in order to
make them
more
think
call to
like Protestants
give Catholics rights and
—
a foretaste of Terence
O'Neill's infamous, though equally well-intentioned remark: "Give them jobs and
houses and they will
live like Protestants."^**
Contemporary Protestant it
occurred long before
rejection of Irishness thus has a long history, and
was taken over by an equally exclusive nationalism
it
the turn of the nineteenth and twentieth centuries. In torical to
many
many ways,
it
is
at
not his-
expect Ulster Protestants to readily accept an Irish identity, though
have.
As long
will continue to
as Irish culture has an identifiable link with Catholicism,
be suspected by the bulk of Protestants, for
it is
dislike
it
and fear
of Catholicism which have informed their religion and shaped their identity for the last four centuries.
There can be no doubt, then, people
in
Northern Ireland
that twenty-five years
the republican and loyalist ceasefires after
form the
situation. ^^
But
of violence have polarized
to a greater extent than before. Peace, as
it
do so overnight, nor
will not
witnessed during
August and October 1994, could will
it
of
itself
trans-
remove
the
underlying causes of the Troubles. Poverty, discrimination, massive unemployment,
and a dependency culture* are increasingly
is
all
too
real.
Yet
division grounded in these that
it is
being recognized by the people of Northern Ireland themselves as the
underlying cause of the Troubles. The events of the past twenty-five years have been a deeply humbling experience.
The experience of willingness
among
the Opsahl
Commission has shown
that there
is
a greater
the people to admit and explore the prejudices which have
divided them than ever before.
It,
and other recent commentaries, also show a
fracturing of the old quasi-monolithic Catholic/Protestant identities; a fracturing
which, particularly within the Protestant community, created a deep sense of decline and despondency, and was the backdrop to the escalation of Protestant
paramilitarism before the two ceasefires. That fracturing, though,
may be
the
necessary precondition for a recognition of what unites rather than what divides the communities.
There a
common
is
a small but significant increase in the
Northern
Irish
revealed a growing desire
identity
among
(table
number of people who accept and the Opsahl Commission
7.1),
nationalists to be given a
more
legitimate role
within Northern Ireland (see appendix), whereas once only reunification of the not yet an equality which
island
would have
would
easily accept. Nevertheless, even here there
satisfied them.
It is
misunderstandings and prejudices have
artificially
is
many
Protestants
a recognition that religious
divided sectors of the populace
(notably in deprived working-class areas) that had
more
in
common
with one
Religion
and Identity
another than with other social sectors within their Irish or British
Opsahl
governments with which they had
Commission (1993),
Downing
the
in
Northern Ireland
own community, Declaration
63
or with the
traditionally identified.
Street
1
(1993),
The the
republican and loyalist ceasefires (1994), the "Frameworks" proposals (1995),
and a host of other local, national and international initiatives, are products of an ongoing peace process which started on the ground in Northern Ireland in 1992. At the heart of all these developments is a recognition that the problems in Northern Ireland will only be resolved from the bottom up, by to live
and work together, prior
to
its
people learning
any decision about long-term constitutional
structures.
Appendix: British-Irish Opinion Poll Findings on the Recommendations of the
Opsahl Commission
(The main
results of the opinion polls,
June 1993, are reproduced
in the
2nd
edition of A Citizens' Inquiry, note 2.)
MAJORITIES BACK INTER-COMMUNITY EQUALITY IN
FUTURE
N.I.
GOVERNMENT
(Base: All Adults 18+) "The (Opsahl) commission proposed a new government of Northern Ireland, based on the principle that each communtiy should have an equal voice in making and executing laws or vetoing them and an equal share in administrative authority. Would you agree or disagree with this proposal? "
UMS N.I.
AGREE STRONGLY
AGREE
NEITHER AGREE NOR DISAGREE DISAGREE DISAGREE STRONGLY DON'T KNOW/NO OPINION
(7%)
(7%)
(13%)
Global Convulsions
164
Notes
1.
T.
Opsahl,
A
Eric Gallagher,
Andy
O'Malley, M.
Elliott,
R. Lister, E. Gallagher, L. Faulkner, and
Opsahl Report on Northern
Irelatid, ed.
Pollak (Dublin: Lilliput Press, 1993). 2.
Irish
P.
Citizens Inquiry: The
Northern Ireland and the Opsahl Proposals:
A
Tri-partite Poll (Dublin:
Marketing Surveys, June 1993), summarized and extracted
Inquiry, 3.
2nd
edn., pp.
A
Citizens'
Opsahl Commission, submission no. 531, Prof. Edna Longley. The Opsahl
Commission submissions have been deposited with 4.
in
435-44.
Schools
in
Northern Ireland are generally divided by religion. Integrated
schools account for only
percent of school-age children
1
1,336 schools, most of them
at
recent and
It is still
is
gaining ground.
primary
level).
welcomed by
is
(i.e.,
14 out of a total of
But the integrated movement
is
very
vigorously opposed by the Catholic hierarchy,
inspires caution within the leadership of the
Church, but
the Linenhall Library in Belfast.
Church of Ireland and Methodist
the Presbyterian Church.
Growing numbers of
laity,
however, are positively inclined. 5.
Opsahl Commission, oral hearing Dungannon, February
5,
1993,
Omagh
Christian Brothers School. Catholics in Castledawson told the commission likewise. 6.
John Whyte, Interpreting Northern Ireland (Oxford: Oxford University
Press, 1990), p. 47. 7.
See also Rosemary Harris, Prejudice and Tolerance
Neighbors and "Strangers" versity Press, 1972), p. 8.
I
6, pp.
10.
Study of
xi.
am
grateful
to
Identity."
Moxon-Browne
Dr.
for
granting
me
reproduce his findings. See also an analysis of similar findings note
A
This emerged particularly during the Opsahl Commission, Derry Schools
Assembly, discussion group on "Culture and 9.
in Ulster:
a Border Community (Manchester: Manchester Uni-
in
in
permission to
Whyte, op. ciL
67-69.
Opsahl Commission, submission by the Rev. Robert Dickinson; also
presentation by
The Witness Bearing Committee of
Church of Ireland,
W.A
the
Reformed Presbyterian
oral hearing Shankill Rd., February 18, 1993.
Citizen's Inquiry, op.
cit.
note 2, p. 120.
The Report of the Working Party on Sectarianism: A Discussion Document for Presentation to the Inter-Church Meeting (Belfast: Irish 12. Sectarianism:
Inter-Church Meeting, 1993),p.l33. 13.
Opsahl Commission, Auchnacloy focus group; see also
statement in a also
letter
signed "L.S. Coleraine," Belfast Newsletter,
one signed "Ulster Loyalist," 14.
Ireland:
Irish
News, April
11,
classic Protestant
March
13,
1989,
1992.
Peter Stringer and Gillian Robinson, eds., Social Attitudes in Northern
The Second Report 1 99 1 -1992
15. Sectariattism, op.
cit.
(Belfixsi:
note 12, p. 147.
The B\acksiaffPTQSs,
1992), p. 141.
.
Religion
"A Week
Northern Ireland
in
165
example, his comments on President Mary Robinson's contro-
16. See, for
versial visit to
and Identity
West Belfast
in Politics,"
in his interview
BBC Radio
with Jim McDougal,
Ulster,
August 1993.
17. Sectarianism, op. cit. note 12, pp.
November
144-45.
based on the 1991 census.
18.
The
19.
Fionnuala O'Connor, In Search of a State: Catholics in Northern Ireland
Irish Times,
14, 1992, report
The Blackstaff Press, 1993), p. 145; Opsahl Commission, submission no. The Witness Bearing Committee of the Reformed Presbyterian Church of Ireland, on how Catholics were feared by the majority Protestant community as (Belfast:
402,
"subversive aliens." 20. Opsahl
Commission, Waterside focus group; also
Irish
News, April
21. Opsahl Commission, submission by Jackie Redpath and
11,
1992.
oral hearing,
Shankill Rd., February 18, 1993. 22.
Opsahl Commission,
oral
Shankill Rd., February,
hearing,
Magee and Roy Montgomery; Times, November 30, 1993.
particularly the Rev. Jack
Other Foot," The Irish
23. Linenhall Library, Belfast,
NI
18,
Political Collection:
1993,
"On
the
"A New Song
for
Fintan O'Toole,
Nationalist Heroes." 24. Opsahl
Commission, Keady focus group.
25. O'Connor, op.
26. Opsahl
cit.
note 19, p. 93.
Commission, op.
cit.
note 24; also O'Connor, op.
note 19, pp.
cit.
370-71. 27. Terence
Brown,
Edna Longley,
ed..
Culture in Ireland:
Division or Diversity?, Proceedings of the Cultures of Ireland
Group Conference
(Belfast: Institute
28. Opsahl
"British Ireland," in
of Irish Studies, 1991), pp. 71-72.
Commission, submission
no. 325, Dr.
Bob
Curran; "Culture
Divides Ulster from Eire," Belfast Newsletter, April 14, 1988;
1987
—
see Rev. Ian Paisley's
29.
among Ulster Protestants,"
and Ethnicity, (London: Routledge,
Anne Laurence, "From
Irish Social
Customs
(1988): 63-84; D.
in the
Gap
October
7,
comments on a Roman Catholic-Methodist conference;
A. D. Buckley, "Uses of History eds.. History
ibid.,
in Elizabeth
Tonkin, et
al.
1989), p. 187.
the Cradle to the Grave: English Observation of
Seventeenth Century," The Seventeenth Century 3.1
W Hayton, "From Barbarian
to Burlesque: English
Images of the
l660-\750;' Irish Economic and Social History 14(1988): 5-31.
Irish c.
30.
Marianne
Elliott,
A
History of the Catholics of Ulster (forthcoming); S.
J.
Connolly, "Catholicism in Ulster, 1800-1850," in Peter Roebuck, ed., Plantation to Partition (Bdfasi, 1981), pp. 157-71.
3 John Gamble, A View of Society and Manners in the North of Ireland, summer and autumn of 1 81 2 (London, 1813), pp. 63, 83-84. 1
32.
Marianne
Elliott,
in the
Wolfe Tone: Prophet of Irish Independence (London and
New Haven: Yale University Press,
1989), p.
1
12.
Global Convulsions
166
33.
Clongowes Wood,
prestige Catholic Boarding School in the Irish Republic.
34. Belfast, Linenhall Library,
NI
political collection:
"Song of the Middle Class
Catholic." 35.
Opsahl Commission, submission no. 531, Prof. EdnaLongley.
2nd Report,
36. Social Attitudes in Northern Ireland,
The Guardian, March
ties,"
19,
p. 36;
"Divided Locali-
1993; only 23,933 out of 342,059 pupils were
reported as attending integrated schools in January 1992.
my Watchmen
See
37.
Day Pamphlet, No. 38. Cited in
A
8,
in
Sion: The Protestant Idea of Liberty (Deny: Field
1985).
Citizen's Inquiry, op.
cit.
note
1,
p. 37.
Opsahl Commission, submissions by Gabriel O'Keefe and
39.
Dr
Brian GafF-
ney; also oral hearings, February 4 and 6, 1993. 40. Opsahl
Commission, submission by Pax
41. Paul Burgess,
A
Crisis
Christi Ireland.
of Conscience (Hants., U.K.: Avebury, 1993), particu-
larly chap. 7.
oral hearings Dungannon, February 5, 1993, discusCookstown High School. in Northern Ireland, 2nd Report, p. 36. The Opsahl Com-
Commission,
42. Opsahl
sion of submission no. 422, 43. Social Attitudes
mission was also made aware of the polarization zations,
Nick Acheson (submission
no.
360 and
in charitable
and voluntary organi-
oral hearing, Belfast, February 17,
1993). 44. See for example, Opsahl
Women;
466,
Commission, submissions nos. 340, North Belfast
Community Development
Trust; 540, Elizabeth Groves;
Northern Ireland. But the most revealing comments and information on
came
in the oral
Streets of Ulster,"
46. Opsahl
47.
Quoted
22, 1993;
David McKittrick, "Apartheid
in Patrick
his oral presen-
February 18, 1993.
G. Curley, "Northern
Irish Poets
and the Land since
MA thesis, Queen's University Belfast (1977), p. 88.
48. Marianne Elliott, op. Irish Nation: p.
March
The Independent on Sunday, March 21, 1993.
Commission, submission no. 472, Ken Logue; also
tation, Shankill Rd., Belfast,
1800,"
CBI
submissions of these four parties, Belfast, February 1993.
45. The Independent (London),
Deepens on
142,
this issue
cit.
note 32;
Thomas
Bardett,
The Catholic Question 1690-1830 (Dublin:
The Fall and Rise of the and MacMillan, 1992),
Gill
295; Bemadette Cunningham, "The Culture and Ideology of Irish Franciscan
Historians at Louvain, 1607-1650," in Ciaran Brady, ed.. Ideology (Historical Studies sion,
XVH)
and the Historians Commis-
(Dublin: Lilliput Press, 1992), pp. 11-30; Opsahl
submission no. 132, Centre for Research and Documentation; also oral hearing,
February
19, 1993.
49. Linenhall Library, Belfast,
NI
Political Collection:
"Song of
the
Middle
Class Catholic." 50. Opsahl
Commission, submission
no.
Sixth Form; also Schools Assembly, Belfast;
Aidan McPholan of the Ultach Trust
I
in Belfast.
422,Cookstown High School, Lower grateful also for information from
am
Religion
51.
and Identity
in
Northern Ireland
67
Opsahl Commission, Oral Hearing, Newtownards, January 21, 1993.
52. Belfast Public Library, Bigger Collection, Irish History Gill
1
Reader (Dublin:
and Son, 1905); see also the Ulster Folk and Transport Museum, School Text-
book
Collection. 53.
Quoted
in R. R.
Adams, The Printed Word and
the
Common Man:
Popular
Culture in Ulster 1700-1900 (Belfast: Institute of Irish Studies, 1992), p. 143.
The Reawakening of an Ancient Kindred (Ulster Motherland Movement publication, Portadown, NI, undated); see also Ian Adamson, The Identity 54. Cruithne:
of Ulster: The Land, the Language and the People (Belfast: Pretani Press, 1982); J. Michael Hill, 'The Origins of the Scottish Plantations in Ulster to 1625: A Reinterpretation," Journal of British Studies 32.1 (January 1993): 24-43, for a
claim that
many
settlers
55. Ciaran Brady,
and B. Walker,
An
were "Celtic
.
.
.
"The Failure of the Tudor Reform,"
Illustrated History
more learned
ethnically."
of Ulster
in C. Brady,
(Belfast: Institute
M. O'Dowd,
of Irish Studies,
1990), p. 90. 56.
See Raymond Gillespie, "Continuity and Change: Ulster
Century," in
Honor of
J.
P.
Roebuck,
L
McCracken
in the Seventeenth
Plantation to Partition: Essays in Ulster History in
ed..
(Belfast:
Blackstaff Press,
1981), pp.
124-26; Ian
—my thanks
McBride, "Ulster and the British Problem," forthcoming paper
McBride
for sharing his thoughts
57. S.
J.
Connolly, Religion,
1660-1760 (Oxford: Clarendon 58.
Quoted
on
this topic
to Dr.
with me.
Law and Power: The Making of Protestant Ireland,
Press, 1992), pp. 118-19.
in Eric Gallagher
1980 (Oxford: Oxford University
and Stanley Worrall, Christians
in Ulster,
1968-
Press, 1982), p. 17.
The republican ceasefire broke down in February of 1996. The Northern Ireland economy receives British government subsidies totalling some £1.5 billion per annum; a further £0.5 billion is expended on the police and army and £500 million has been paid in compensation to businesses etc., 59.
60.
in the
course of the Troubles.
8 Israel
and Palestinian Statehood
GALIA GOLAN
It is
movements
the fate of the Arab and Jewish national
to fight
until one or the other prevails.
—Neguib Azoury, at
It is
one time an
assistant to the Turkish ruler
our destiny to be in a
Arabs and there
is
no
state
this
chapter
was conceived,
but prophetically true. central issue of
what
basically, the clash
the
of continual warfare with the
alternative but that lives should
—Arthur Ruppin, When
Christian Arab,
of Jerusalem, 1905
be
lost.
Zionist leader, Jerusalem, 1936.
these statements might have been taken as sadly
They
reflected not just a
later
became known
mood
but a deep appreciation of the
as the "Arab-IsraeU conflict." That
same piece of land,
in the geographically identical "national
ment signed on September
13,
may
home." Yet the agree-
Government of
1993, between the
Palestine Liberation Organization (PLO)
in the specific clauses
and
articles
Israel
and the
well have supplanted the tragic "fate"
or "destiny" referred to by these earher participants in the struggle.
much
is,
between the aspirations of two peoples for self-determination on
of the agreement, but
lying document and principles which accompanied
it:
It
did so, not so
rather, in the
under-
the mutual recognition of Israel
and the PLO. This was not just the recognition of a government and an organization. historic
because
it
was recognition of the legitimacy of
national existence. For Israehs,
sixteen years earlier
Knesset
in
Jerusalem
it
was
when Egyptian
—of acceptance of
also, for Israelis, official recognition all
was
the claims of both peoples to
the fulfillment of the
president
It
dream
—
^partially fulfilled
Anwar Sadat spoke
in the Israeli
the State of Israel in the region. Yet
it
was
of the nationhood of the Palestinian people, with
the rights and aspirations of a national
movement.
Finally.
169
Global Convulsions
170
It
has been argued that
ment
that
its
it
was perhaps
founders and early advocates did not express such recognition, that they
ignored the presence of Arabs fact, this
was not
homeland they sought
in the
documents from the
minds of
in the
in the
land was
the Jews. Literature
and
pre-state period are filled with discussions, soul-searching,
arguments and recriminations over the the failure to
to rebuild for the Jews. In
That there were Arabs living
entirely the case.
unquestionably a most important issue
was
move-
the fatal error of the Jewish national
come
The problem, though,
issue.
to terms with the issue
essential to the fulfillment of
on a
at least in part,
political basis, as
Jewish self-determination, and one
that
had
a matter
to deal not
only with "the Arabs" in Palestine or even the Arab national movement, but with the relationship to
and national aspirations of the Palestinian people.
At one end of
the pole there
were the views of Brit Shalom, the one group
which did see an understanding with the Arabs be resolved
if
Jewish self-determination were
as their spiriuial leader Martin
we
are forced to
do
in
Buber put
to
it,
as the central
to
and primar>' matter
to
be accomplished. In time, seeking,
"do no more
injustice to others than
order to exist," they envisaged a bi-national state of two equal
peoples in Palestine.' At the other end of the spectrum were the Revisionists, forerunners of today's Herut party (the dominant the idea that an "iron wall"
Arabs, coming up against
must be
built
this wall,
member
of Likud),
who
subscribed to
around the Jews to protect them
would
until the
finally accept the situation.- If
mutual
understanding and justice were the key words for Brit Shalom, strength and steadfastness
were the guideposts for the Revisionists.
Still,
that the
the overriding attitude, particularly of the
dominant Labor movement, was
Arabs would benefit from the development the Jews were bringing
country. Together, both peoples
would be
freed: the
Arab peasant from
to the
the effendi
landowners, the Jewish laborer from his '^galuf' (exile) mentality.^ Workers solidarity
would lead state,
to cooperation and, as a Jewish majority
regional and local
autonomy
(self-rule)
developed into a
would provide
(socialist)
Jewish
national expression for the
Arabs. This view tended to see local Arabs as part of the broader Arab national
movement
and, therefore, flirted with the idea that eventually a regional Jewish- Arab
federation might be created, in
which
the Jewish state
would be one autonomous
part.
This idea grew out of the hope for an alliance between Arabs and Jews,
first
Ottoman Empire and later against the British. But it also fed into the perception that the local Arabs were part of a broader Arab world that would eventually provide them with a number of Arab states in which to express their national
against the
aspirations.
For the Jews, only Palestine would provide
this opportunity.
Thus Ze'ev
Jabotinsky argued:
The Arab equal
nation,
tol half
which has about
thirty-five million people, has [an area
of Europe, while the Jewish nation, which has about ten
million people, wanders throughout the world and has no place of
its
own."*
—
'
David Ben Gurion tended
As a
and Palestinian Statehood
Israel
to see this as the
key
that the question
—which
between the Jews of Palestine and the Arabs of Palestine limited area there
is
171
to a solution:
one should take the assumption
starting point
a
indeed a contradiction which
is
not
in this
hard to reconcile
it is
but one should see the Jews as a global unit, and the Arabs as a global
And
unit.
I
believe that between the national aspirations of the Jewish
nation and the national aspirations of the dictions,
we
because
Arab
interested not only in this land but in the East.
And
whatever will happen
status of the
Arab
nation, there are
are only interested in this land,
whole
territory
in Palestine will not
no contra-
and the Arabs are of the Middle
change the global
nations.'
My purpose in bringing up these early approaches is not to discuss the mistakes or efforts of the protagonists and thinkers of the pre-state Jewish
has been written and said of this complex and is
clearly a simplification of the matter
positions
which may provide a clue
regard to a Palestinian
Two
my
Much
movement.
my
presentation here
intention, rather, to highlight certain
to the attitude of
many
in Israel
today with
state.
tenacious but interconnected conceptions ground the "Arab-Israeli con-
namely, that there
flict,"
It is
difficult period;
is
not a Palestinian people, as such, and that the Palestinian
Arabs are but part of the larger Arab world. From
one between
conflict is entirely
tinian" issue,
much
or, in
some
cases,
even
a "Palestinian" problem. At best, this last might be perceived
is
and even as such, one for which
as a refugee problem,
has grown the idea that the
this
denying the centrality of the "Israeli-Pales-
any responsibility for the solution
less
recognition that there
states,
Israel bears
no
responsibility
(because the Arabs "chose" to flee in expectation of returning to a conquered
Israel,
the argument goes).
Denying the
Palestinians as a people negates the corollary of a right to self-
determination; seeing them as part of the whole
Arab
states) eliminates
the existing
Arab
Ben Gurion,
Arab nation (composed of numerous
any need for self-determination,
states.
projects an
at least in
any area beyond
Moreover, the "global" view of the Arabs, as suggested by
image not only of
large
numbers but of great strength
—
concept which has persisted despite the asymmetry, particularly since 1967, of the Israeli
and Palestinian
situations.
This attitude towards the Palestinians has not been unique to
Israelis.
United
Nations Security Council Resolution 242 clearly dealt with the conflict as one
between
states, referring to the Palestinian issue
problem. Even the Palestinians' major champion
Union,
initially
withheld support from the
liberation
movement
conflict.^
Indeed,
until the
only in the context of a refugee in later years, the
PLO, and denied
it
former Soviet
the status of a national
end of 1969, precisely out of the same approach
to the
throughout the interwar negotiations, the two-power Soviet-
American and four-power
(plus Britain and France) talks
between 1967 and 1972,
1
Global Convulsions
72
was
the Palestinian issue
problem b\
as a refugee
treated solel>
of the great
all
powers."
To some
degree, the adoption of this
later Israeli leaders, especially in the ver\' basic
of the conflict was a useful tactic to
\ie\».
post-1%7
period.
permitted one to avoid the
It
questions of justice, rights, claims to the land, and so forth, connected with
the ver\' founding of the state of Israel. For the ideologically moti\ated right-wing,
such questions
may not ha\'e existed God to his Chosen
of Israel given by
w ithout
this hea\'>' ideological
at all, for all
of Palestine was viewed as the Land
People. For the majorit\' of people and politicians
and/or religious orientation, the matter was dismissed on
the grounds that the Arabs of Palestine had been offered a state in the 1947 Partition
Plan (Securit)' Council Resolution 181) and had rejected the Jews altogether .\nd so rights,
though
that there
was not a
world,
states
whether
alliances. This
—
was
movement or aspirations.
with the argument that Israel's problem lay with
a politically
tactically
more potent
more
amongst
rejection
Arab
and influence, or international
useful, not onl\ because
it
eliminated the need to
confront basic questions of justice and rights, but also because fears
its
position given the strength of the
wealth
oil-based
firepo\^er.
in
of tning to evict
Plan argument was more often construed as proof
"Palestinian" national left
in favor
it
could be said that the 'Talestinians" had forfeited their
in fact the Partition
Thus one was by the .Arab
it
it
played on genuine
the Israeli public, including the almost instinctive fears of being a
persecuted minorit\' in an alien, anti-semitic environment. At various times, particularly
during the laner period of right-wing Likud rule in
pone the need were
for concessions, that
Israel,
it
also
sened
to post-
genuine negotiations, because the Arab
is,
intransigent. Put simply: if dealing with the .Arab states
was
states
the priority',
and
they were unwilling to deal with Israel, no deal had to be made, and the responsibilit)'
lay with them. This approach
had the advantage,
providing a basis for American support in the Cold
American power
in the region.
Here
in certain periods, also
War
of
context of Soviet versus
too. the .Arab states, not the Palestinians,
formed
the center of concern.
There was, of course, also a basis
in fact for
indeed the states that had waged wars against strength to threaten Israel's existence,
it
boycott and hostile propaganda against
was
countTN' failed to
quite justified in
acknowledge the
the hostility of the
Arab
its
link,
states;
was
in
pation and
time its
it
effect
the critical change. the occupation. rather,
was on
It
Most
it
partial,
was
the states that
w as
had the
economic
leadership of the
not, for
it
between the Palestinian issue and
also failed to confront the day-to-day issue on the Israeli society.
day-to-day issue on the ground, to wit, the occu-
Israeli society, that
Israelis
it
the states that perpemated
Israel. In this regard, the
however
this last, the
w as
Israel,
states. It
concentration on the .\rab states. But in doing so.
ground: the occupation and the effect of this on Yet
focusing on the Arab
would
tlnally
and gradually bring about
example, some kind of collective
would not willingly admit
to the
guilt
because of
term occupation but,
tended to find refuge in the idea that the Arabs began the war, and lost
Israel
and Palestinian Statehood
1
Therefore, the argument would claim, as in the results of any other war, they
land under our
found
this particular
liberal
and gentle than
Israelis
And
rule.**
further, Israeli rule
was
far
73
now more
could have expected to be granted by the Arabs had
the situation been reversed. Actually, according to the argument of some, Israeli rule in the territories
had improved the
universities, a rise in the standard
lot
of the Arabs there, for instance, the opening of
of living, and so on.
Moreover, with or without the above rationalizations, an entire generation
in
grew up with these lands in our possession. Maps in every school room bore no sign of the border which had existed prior to the June 1967 war. The "green line," that is the armistice lines of 1949 which had been the unofficial but generally recog-
Israel
nized border of the country for almost nineteen years, existed only in the political
parlance of the day. Even without annexation, the Likud government that
power
in
1977 sought
to
make
part of the country, decreeing that television
and
radio,
Shomron. As a views
—
it
employ
result, for
came
to
these territories psychologically, as well as physically, all official
the biblical
references, including the state-owned
Hebrew names of
—
a generation of Israelis
was not a question of "returning"
Yehuda and
these areas,
often regardless of their political
the territories to the Arabs but, at best,
"giving" them to their occupants. Psychologically, this would be perceived as a "concession," perhaps politically necessary, but not the recognition of a "right."
The Likud government went much
further than psychological annexation.
It
means of a massive settlement of tens of thousands of Israelis there. These settlers carried with them an infrastructure of services, facilities, and laws exclusive to them, as distinct from the Arab
tried, unofficially, to
incorporate these lands into Israel by
inhabitants around them. fits,
By
offering extraordinary financial inducements
and bene-
the Likud government sought not only to people the area with Jews, so as to
make any kind of territorial
separation between
Jews and Arabs
(partition) impossible,
but also to create a large settler constituency with a vested interest in holding onto these territories. territories to
By
1993, this policy had brought the total of Jewish settlers in the
approximately 110,000, the overwhelming majority of
whom
had gone
there for economic, rather than ideological, reasons.
The after the
policy of settlement had actually begun under the Labor government, soon
1967 war. Under Labor, though,
this
had been a very limited attempt
to
place people in selected, unpopulated, sites which the government believed should
remain
in Israel's
the territories
hands for security purposes (or water supplies),
were returned. There had been exceptions
for example, the settling of
Jews
in a part
in the
to this criterion
event that
under Labor,
of the heavily populated city of Hebron.
Nonetheless, the overall conception avoided massive settlement, with a view to returning
most of the land
future. Just
how much
in
exchange for a peace agreement
at
some
land would be returned was the subject of
and discussion within the Labor
party.
The
criterion
point in the
much ambiguity
of security was generally
claimed, but increasingly demographic considerations were toted as the overriding factor, that
is,
a plan which would not end with the addition of thousands or hun-
dreds of thousands of Arabs to the population of Israel.
"^
Global Convulsions
174
This demographic argument had a certain attractiveness; politik
and yet appealed
mean continued alist.
was not meant
It
was based on
it
onto the
to
be
racist but defensive,
Inclusion (through annexation) of such a large
million .Axab
1
and most of
number of
real-
would
territories
with 1.7 million .Arabs in addition to the nearly
life
citizens of Israel.
to often visceral fears: holding
all
nation-
.Arabs would,
according to the demographic argument, create a securit> risk and. more important, lead over time to a bi-national state. if
The
would be equal
.Arab population in time
to.
not larger than, the Jewish; not only would the Jewish nation-state be obliterated,
become
but Jews might once again this
argument meant
The
to be
Jewish character of the
loss of the
own
a minority, this time in their
state
was juxtaposed
rights to the
Arab population of democratic
Israel as a Jewish,
The
part}'
one would have
became
many
argument, but for the
It
this
part). preser\ation ot
the rationale for territorial
Strip,
compromise.
and only a minority advocated solving the problem by
issue,
is
internal securit>'. with nationalist
Likud a\"oided annexation because of the
the
Arab population out of the
certainly
could be interpreted b\ some as a moral
was a question of
Even
racist overtones.
demographic ferring the
Labor
Israel
political
platform's rejection of rule o\er another people, namely the 1.7 million
Arabs on the West Bank and Gaza and even
deny citizenship and
to continue to
the territories. For the
state
to the equally
To maintain
undesirable option of the loss of the democratic nature of Israel. as the state of the Jews,
Nor was
land.
immoral.
not
my
territories
trans-
and then annexing them.
contention that the people of Israel are devoid of moral
principles or a sense of justice. Indeed, the value of justice, particularly social justice, is
deeply implanted in Jewish
tence of these values
was
the
and
life
A dramatic
Israeli culture.
phenomenon of 400.000 Jewish
demonstrate against the compliance of Israel
in the
sign of the persis-
coming out
Israelis
to
Lebanese Christians' massacre of
Palestinians in the Beirut Sabra and Shatila refugee camps. Rough]\ one tenth of Israel's
Jewish population came
fully) a
governmental inquiry into the role and responsibilit} of
Yet the average
As
Israeli
to this
is
in
1982
iew the Palestinian problem as a moral issue.
sense of responsibility for the Palestinians' it:
so they are refugees; they attacked in 1967. so they lost the Israelis see
peacefully in our
themselves as the vvTonged part>
ow n
(all
the\ chose to tlee. territories).
we wanted
to
Rather,
do was
live
country, they rejected us and tried to push us into the sea: the\
will not let us live in peace).
Jews as perpetual
(success-
\
position today (they were offered a state in 1947 and rejected
average
demand
to
Israel in that tragedy.
little
does not
already pointed out, there
demonstration
victims:
The
roots of this attiuide lay
deep
in the
perception of
wandering the world unaccepted by any country, harassed
and tortured by pogroms, wars, terrorism. The anti-Semitism of the Christian worid
becomes transformed
into the hau-ed of the .Arab world, which, in turn,
transformed into the immutable hostility of Islam toward the Jews.
And
becomes
every act of
enmity, from economic boycott to terrorism, reinforces this view, irrespective of Israel's militarv
micht or victories
in war.
Indeed, for the average
Israeli, the
Pales-
and Palestinian Statehood
Israel
tinians are not the powerless
million-strong
and
75
two million under occupation, and not even the addi-
three million dispersed elsewhere.
two or
tional
1
Arab world, and
this
They
are an extension of the 100-
world possesses missiles and tanks and planes,
oil.
n a change has taken place. These underlying attitudes
Still,
same, but something
totally) the
to the future is
undergoing transformation. This
support evinced by Israeli It is
may remain much
is
evidenced by the 65 percent
urban, Jewish adults for the accords signed with the PLO.^
evidenced by the reluctance of the mass of Israelis, even of Likud supporters, to
come
out and demonstrate against the accords.'^
polls,
even before the signing of the accords. For example, on the
territorial
solution, a survey
conducted
exchange for peace.
Of even
evidenced by public opinion
Institute for
Research
A
number of
An
ongoing
found
the fact that
the Israeli public, or
it
what
conducted since 1967 by
in Jerusalem, has
found a decline
that those
conducted by Dahaf
which respondents were asked
preference between annexation of the West
to
poll,
1993.^^ Similarly, surveys
Institute since 1984, in
territories,
is
studies conducted over the
of the West Bank, from 86 percent immediately after the
45 percent by
to
to reach a
to return territories (all or part) in
Applied Social Research
in opposition to the return
Day War
of
critical issue
January 1993 found that 60 percent of
compromise among
has been called "creeping dovishness."^^
1984
is
greater significance than this three-fifths majority
years indicate a growing tendency to
in
also
'^
represents a trend taking place in Israel.
Guttman
in
were willing
the Jewish, adult, urban public
Six
It
compromise, generally accepted as a sign of Israelis' willingness
compromise
the
(not
drawing with regard
in the conclusions Israelis are
Bank and Gaza
to indicate their
or giving up these
choosing to give them up had increased from 29 percent
55 percent by 1993.
'"*
And
the national security studies conducted since
1986 by Asher Arian for the Jaffee Center for Strategic Studies show a jump from 39 percent favoring return (partial or total) of
all
the territories in 1986
up
to the
60
percent of January 1993'^ (figure 8.1).
Looking more closely
at the fluctuations
and changes
appear to have had an effect on the attitudes of the analysis, there
have been increases
in relations
with the
and Egypt,
Israel
on
Israeli
over the
enemy
in
Israeli public.
dovishness both
at
According
to their
times of perceived progress
(following the disengagement agreements between Israel
and Syria; the interim agreement with Egypt, 1974—75; and the
peace treaty with Egypt attack
in these statistics
Michal Shamir and Jacob Shamir point to two types of events that
years, Professors
in
headquarters
gradually, the intifada
1979) and, apparently, in
in
response to terrorism
Lebanon, December 1983, as well
which began
in
December
as,
—
the
though more
1987.'^ While, according to
Shamir
Global Convulsions
176
70% 60%
50%
40% 30%
20% 10% 1987
1986
990
1988
H
Palestine State
Figure
8.1. Israeli Attitudes,
Return Territories
in
dovishness prior to the outbreak of the intifada,
sharpened following the intifada's onset, continuing each year of the
this trend
evidence as
uprising.'' All the other sur\eys provide similar
on
The
Israeli public opinion.
effects of the intifada
were obvious
now
available.''
to the Israeli public
was
the fact, for
sustained.
It
became
quo
as a status
clear, as a
to
some
Israelis
fact, that there
brought
home
quo could not be
was no such thing
had created a d> namic of increased
did not have the nationally threatening effect of
out war, the intifada did produce a reduction in the feeling of personal
was compounded by
impact of the
even without the
that the intifada
surprising, that the status
matter of empirical
it
most
The major point
but, rather, that the occupation
violence and rebellion. WTiile
to the
"'-
evidence
statistical
1993
1986-1993
and Shamir, there was an increase
intifada
1992
1991
the increasingly apparent inability of the
This
securit)'.
government
all-
to sup-
press the intifada, as well as by frustration over the inability of the might)' Israel
Defense Forces (IDF)
women and
to protect itself
from what were most often rock throwing
children in the territories. There also
for such humiliating,
and
for
was anger over
some, morally painful,
tasks.
An
the use of the
IDF
unprecedented number
of protest groups arose amongst the Jewish public, most notably among women, response to
this
unarmed
of parents of young service.
given
men
civilian uprising. Characteristically, these included a
about to be or recendy inducted
Moreover, the international isolation of
Israeli efforts to
the Israeli public.
suppress the intifada did
in their obligatory
Israel as a result
little
to raise the
in
group
army
of the attention
morale or pride of
Israel
most
Yet, the
realism
among
salient effect
Israelis,
of the intifada was
now
was
it
was
It
—
be reached
to
a recognition of their rights.
an end to
to bring
was, instead, a sense that
It
our
insecurity, the
some
we were
dissonance:
we
was extreme
world around us was changing, with the
—what appeared
and the end of the Cold War lution of conflict
—and with
own conflict,
of our
dis-
doing, a discomfort which included a certain cognitive
can't be doing this to other people. In addition, there
realization that the
solution
shedding of our blood, and
the constant threat to our children in the army. For many, there
comfort with what
not, for the
understanding or perhaps even sympathizing with
matters could not continue as they were. Something had to be done;
had
111
stimulation of a certain
its
and what might be called "fed-up-ness."^
general public, a matter of the Palestinians; nor
and Palestinian Statehood
this
to
falling
was a growing
of the Berlin Wall
be a worldwide move toward reso-
a sense of "inevitableness" regarding the outcome
whatever our own preferences.^^
These responses, which produced the "creeping dovishness" noted earlier, evident in the survey data obtained by various independent sources clearly are over the past five years. For example, preference for the status quo as an option for the future of the territories, rather than annexation or return,
was
relatively
high prior to the intifada, fluctuating between 40 and 50 percent, but a steady decline in this response began at the end of 1987, reaching a low of 25 percent by 1993.^^
Another survey, which presented more detailed options, showed a decline
to 9 percent in
1990 and 6 percent by
may have been connected
option
A move
1993.^^
away from
quo
the status
with the greater realism reflected in people's
expectations.
After the beginning of the intifada, there was an increase in the percentage of
people of the state
who
believed that Israel would eventually have to withdraw from part or
territories,
and
that there
was
all
greater likelihood of the creation of a Palestinian
(from 40 percent to 60 percent during the intifada).^ About 80 percent of the
respondents in a 1993 survey thought that Israel would be negotiating with the within the next five years.^
At
the
same
time, perhaps
making the
pill
PLO
easier to
swallow, and possibly caused by the changes on the international scene, there was a slight
change
in the
way
Israeli's
the political groupings in Israel
perceived Arab
(left,
hostility.
Looking
an across-the-board decrease, from 1987 to 1988 and 1990 to 1991
Arab
threat.^ Arian's studies
at voters
from
all
Labor, Likud, right), Shamir and Shamir found
had the decline occurring
later,
in the
perceived
accompanied by a
steady increase from 1986 to 1993 in the belief that peace with the Arab states
was
possible^ (figures 8.2, 8.3). That this was coupled with a certain concern or pessi-
mism about
Israel's future strength is
suggested by other findings. According to
Arian's studies, the percentage of Israelis against the
1987
to
Arab
states
57 percent
marked a sharp drop Gulf War and
its
in
who
believed that Israel could win a war
was down some 20 percentage 1993.^
Still
points,
from 77 percent
in
a relatively high percentage, this nonetheless
in public confidence, possibly
SCUD missile attacks on Israel.^
connected with the intervening
Global Convulsions
78
0% Return Return some
Figure
Conquer/kill Jews
all terr.
Conquer
terr.
1986
1987
1988
1991
1992
1993
Israel
^
1990
Arab Aspirations, 1986-1993
8.2.
Greater realism in the Israeli public also produced a greater willingness to
compromise. The percentages of those willing to give up the significantly.
Although the vast majority of Israelis continued
Palestinian state as the preferred solution, there
was a
territories
has risen
to reject the option of a
slight increase in the
number
of respondents choosing that option. Prior to the intifada, choice of a Palestinian state as a
permanent solution was around 8 percent. According
was preferred by 9 percent
in
1990 and rose
to 13 percent
to Arian, this choice
by 1993.^ Far more
important, though, the percentage of those agreeing to the creation of a Palestinian state as part
of a peace accord rose quite significantly (figure
Shamir observe
that prior to the intifada
agreement
to
such a
8.1).
state
Shamir and
was around 20
percent; during the intifada willingness for a Palestinian state to be created increased steadily to
as
30 percent
we have
seen,
state, regiirdless
in 1993.^'
some 60
of
signing, a poll taken by the
The
at
36 percent
in
1993. And,
Israelis' preferences.
With the approach of the
dovishness.^'
Arian places acceptance
percent of the public believed there will be a Palestinian
Israel i-PLO
Guttman
agreement, one week before the historic
Institute
crucial question of giving
startling 71 percent.
And
in
answer
showed a marked up
increase in Israelis'
territories, at least in part,
to the question
"Are you
drew a
for or against the crea-
Israel
and Palestinian Statehood
179
80% ^s
Peace Possible
War
likely within 3 years
70% -
60%
50%
40% 1986
Figure
8.3.
1987
1990
1988
1992
1991
War and Peace, 1986-1993
tion of a Palestinian state in the territories?," the response in favor
While later,
far
and
1993
was 40
percent.
from the 65 percent support given the Israeli-PLO accord signed one week still
less than a majority
—60
percent responded against a state
—
this
was
nonetheless indicative of the relatively dramatic shift that has been taking place in the attitudes of the Israeli public over the past
few years with regard
to the Pales-
tinian people.
With the September 1993 agreements,
Israel
recognized the Palestinians as a
people and their national liberation organization, the PLO. With regard to the national rights of this people, however, Israel has
committed
one form of expression: autonomy. The matter of the
was put officially
solution, state to
off until negotiations beginning in 1995.
itself
final status
But the
thus far to only
of the
fact that
territories
autonomy
is
considered only an interim arrangement leaves the door open to the state
and indeed both the public and
emerge.
px)litical elites in Israel
expect a Palestinian
Global Convulsions
180
m Prime Minister Yitzhak Rabin and the Labor party have
numerous times would be
gone on record
officially
as opposing the creation of a Palestinian state." Labor's preference
to return part
of the West Bank,
in particular the
Arab-populated areas, to
Jordan, though in recent years the party platform has spoken of returning territories to
a Palestinian- Jordanian
what
for years
was
entity.-^
Labor's preference for dealing with the Jordanians,
called "the Jordanian option," dates back to the pre-state period."
In the 1940s, indeed
even before, the Jews had much greater success
in
speaking
with Jordanian officials, including King Abdullah, than with local leaders.
Of course,
such dealings suited the tendency to deal with
and
states rather than a people,
whom
day the Labor party would prefer to deal with King Hussein, with relationship,
The
and one of trust, has developed over the past few decades.
rationale for this position appears to be based
order to prevent a virtually
to this
a direct
military threat to Israel, the
was when
it
belonged
on security considerations. In
West Bank must be
demilitarized, as
Jordan prior to the Six-Day War.
to
As
the
it
argument
goes, a whole state cannot be expected to be demilitarized, but, as part of a larger entity, the
West Bank could
commented
Former
be.
why
large, strong state, to wit, a Jordanian-Palestinian entity,
same
area.^
The response
to that,
able to invasion or takeover from an It
is
has
one
over two small ones
and the sentiment of many
demilitarized Palestinian state on the
Abba Eban
his party preferred
Israeli foreign minister
he could not understand
in the past that
in Israel, is that
in the
a small,
West Bank would be a weak country, vulner-
Arab country such
as Syria.
movement of
well to observe here that Israel has long prevented the
outside troops into neighboring Jordan, through threat of war. In September 1970, an Israeli threat to attack
was a
central factor in the swift retreat of Syrian forces
had entered Jordan on the side of the Palestinians
Gulf crisis of 1990-91,
Israel
made
it
clear that
it
in the civil
war
would respond
which
there; during the
if Iraqi
troops were
permitted to enter Jordan. Presumably, Israel would be equally vigilant with regard to a Palestinian state.
The objection of most Israelis to the creation of a Palestinian state on the West Bank of the Jordan is based, justifiably or not, on security considerations. This is due to the small size of pre- 1967 Israel, particularly fifteen miles
Palestinian state that
is,
its
narrow middle which
is
no more than
wide between the West Bank and the Mediterranean Sea. Objection is
to a
not due to an implacable attachment to a particular piece of land,
an ideological adherence to the Land of Israel (Greater Israel) concept.
Research conducted by Shamir and Shamir found that only a small percentage, (10 percent) considered the concept of Greater Israel to be the most important value or
even a
priority for Israel, while the division within the public regarding territorial
concessions showed a majority that
in
favor of giving up
territory.^'
This would indicate
something other than the ideological factor lay behind the position of most
most other indications suggest
that the
key factor
in
people's thinking
is
Israelis;
security.
Israel
of
181
of demilitarization of the West Bank, whether as an independent
Some form
of Jordan, would appear to be an absolute requirement from the
state or as part Israeli point
and Palestinian Statehood
view.^**
And
view of Labor's position, the idea of a Palestinian-
in
Jordanian confederation, already endorsed by Yasir Arafat, might provide the solu-
and
tion. Israeli
point:
PLO understandings of such an entity differ,
For the PLO,
this
must be a confederation of two
states; for Israel, at this point in time,
even a
however, on one crucial independent
at least initially
briefly independent Palestinian state is
unacceptable. Yet, given the already evident change in the public's attitude toward the creation of a Palestinian state
—
the
jump
to
—
40 percent support
possible, indeed even likely, that agreement to such a state will
by the time negotiations are concluded for the determination of the
port
of the
is
it
entirely
have majority supfinal status
territories.
Much degree to
will
depend upon events
coming interim
in the
which the Palestinian leadership
within the
territories.
To some
security measures, but also
is
degree, this will
on the possibly
period, in particular the
able to limit violence
still
from extremists
depend not only on
more
political
economic
crucial
and
situation.
Poverty and unemployment are the feeding grounds for discontent leading to
extremism and violence. Indeed, whether state itself, the
economic
factor will
in the interim period or in a Palestinian
be of overriding importance.
In viewing the prospects for a state, one
must bear
mind not only
in
the
requirement of demilitarization, as well as other security arrangements,^' but also the links
between the West Bank-Gaza economy and
that of Israel. Coordination
and
who had been who might seek
cooperation will be necessary to deal with the 120,000 Palestinians
accustomed
to finding
work
inside Israel or the thousands of Israelis
and
fiscal
cooperation, as will questions of transportation and
com-
tax-free purchases across the border in Palestine. In other words, labor
some
policies will require
munications. Water policy to Israel
from sources
from the economy
already under discussion; the security of water supplies
is
in a Palestinian state is a
to water, also
major
issue."*^
All of these matters,
have regional aspects which
may
provide more
durable solutions and incentives for cooperation.
IV In Israeli political discourse
the refugee issue) state.
this
is
on the
right, the Palestinians' right
In point of fact, the creation of a Palestinian state
matter inasmuch as
1948 might "return."
it
would furnish
Israeli
the entity to
concern on
conceding the right of return would lead
this issue
state.
PLO official
would provide a
solution to
which Palestinian refugees of revolves around the fear that
to an influx of Palestinians into Israel,
thereby changing the demographic character of the state
of a Jewish
of return (solution of
often presented as the crowning argument against a Palestinian
—
in effect
marking the end
Nebil Sha'ath has suggested that the right of return be
Global Convulsions
182
acknowledged
in principle but that
implementation be determined
the basis of Israel's requirements/'
ment of
Palestinians
tional cases
Mark
state,
resolution
from
their
The
result as
Diaspora
of Palestinians returning to
which called
on
settle-
with only excep-
in the Palestinian state,
Israel. In their joint
Heller and Sari Nusseibeh contend that the 181,
in negotiations
predetermined would be the
discussion of a Palestinian
PLO's 1988 acceptance of UN and an Arab state in
for the creation of a Jewish
Palestine, provides the basis for such an application of the right of return/^ In keeping
with to
UN resolutions (194 of
1948 on the refugee
compensating Palestinians for
Israeli
demands
lost properties
for similar consideration to
issue), consideration
and
assets,
must be given
although there are also
be given Jews forced to
flee certain
Arab
countries following the creation of Israel.
The problem
future of the Israeli setdements in the
The
state.
have
that will
to
be resolved
West Bank and Gaza
in the negotiations
another
is
preceding a Palestinian
interim accord basically excludes these settlements from the
autonomy
arrangements, and the Labor party platform envisages the settlements remaining, with Israeli protection, under any Palestinian-Jordanian entity that emerges.
It is
not
would not be violated by such an arrangement. the Palestinians would agree to the settlements remaining,
clear that Palestinian sovereignty
It
seems more
if
at all,
only
likely that
if
subject to Palestinian law.
The matter cannot be easily resolved and, means to complicate, and
indeed, the Likud created these setdements precisely as a
ultimately prevent, the return of any territory and the subsequent creation of a Palestinian state.
The
Israeli
government under Labor might be expected
to seek
ways of
leaving the settlements in place, so as to avoid both the stigma of responsibility for
uprooting Jews from their homes, and the risk of forced evacuation conducted by Israeli forces.
The
folklore of
to the land ideal, disdains the
Labor Zionism, with
its
pioneering ethic and return
dismanding of any Jewish settlement.
And
forced
evacuation, which might occasion physical, possibly even armed, resistance from
number of fanatic, ideologically motivated settlers, would be still more repugnant. The settlers as such do not have much support from the Israeli public. Actually, one of the phenomena which emerged quite strongly in the June 1992 Israeli elections was the anger of many in the electorate who viewed the settlements as a drain on the Israeli economy and, therefore, at least partially respon-
the albeit small
sible
for the
unemployment, housing problems and inadequate
(roads, schools, etc.,) within Israel.
were merely speculators who went
Many even
infrastructure
expressed the belief that the
to the territories
settlers
with the expectation of being
handsomely bought out by the government in case of a future peace agreement."*^ However, the majority of settlers probably went to the territories not out speculation,
nor out of ideological motivation, but rather
tives offered
have been
in
response to the material incen-
by the government for housing and living conditions which would
totally
beyond
their grasp inside Israel.
Thus while
the Israeli govern-
—
Israel
ment might seek an arrangement leaving
and Palestinian Statehood
the settlements
where they
well undertake an effort quietly to induce voluntary departures by
83
1
are,
it
may
means of com-
pensation and relocation.^
The most status
of
perhaps the most intractable of
difficult issue to resolve,
of Jerusalem.
It
was
in fact
exchange for
this issue, in
talks in
lay claim only to the eastern part of Jerusalem,
life,
and
Israel is
indeed the center of West
is
the
with Arafat, that prevented a
Israel's dealing directly
collapse of the Israeli-Palestinian peace
their state,
all, is
only the Palestinian decision to put off discussion
August 1993. While the Palestinians which they envision
Bank commercial,
determined to maintain the unity of the
city,
as the capital of
cultural,
and
political
as the Jewish capital, with
exclusive Israeli sovereignty.
These two elements, unity and sovereignty, are inseparable opinion to this.
polls, as well as the political statements
There are few
of
all
in Israeli eyes. Public
the major Israeli parties, attest
official Palestinian references to the issue
of unity, but there
does not appear to be a demand, nor even a wish, for a return to the physical division of the city which existed from 1949
be
Israeli
until 1967.
and Palestinian agreement.
part of the city, with
its
It is
On this,
at least, there
would appear
to
the claim to sovereignty over the eastern
Jewish as well as Arab population,
history, religious sites,
and
symbolism, that constitutes the problem.
With regard legalities
and
to Jerusalem, sentiment
technicalities, but
may
it
and symbolism are often stronger than
well be through the latter that a solution
emerges. Quite a large number of proposed solutions have been suggested ranging from single sovereignty with a shared municipality, to shared sovereignty with dual municipalities, to divided sovereignty with separate municipalities, to a
borough system or neighborhood
self-rale with or without sovereignty, or obfus-
cated sovereignty."*' Acceptance of any one of these or other arrangements for
Jerusalem will require a certain dissociation of the parties concerned from the emotional, religious,
and symbolic considerations imposed upon them not only by
—
constituencies but also by powerful forces abroad
^Jews
Negotiation concerning the future of Jerusalem, difficult as will nonetheless
be necessary.
It is
it
may
will
their alike.
undoubtedly be,
possible, however, that both Israelis
tinians will in time realize the necessity of reaching
inasmuch as
it
and Moslems
and Pales-
some agreement on
the issue,
well represent the last hurdle on the one-hundred-year course
leading to Israeli-Palestinian peace.
Notes
The sources of the epigraphs that open the chapter are: Neguib Azoury, Le reveil de la nation Arabe (Paris, 1905), p. V; and a citation in Susan Lee Hattis' doctoral dissertation The Binational Idea in Palestine During Mandatory Times (Geneva, 1970),
p. 167.
.
Global Convulsions
184
From Martin Ruber, "The
1
Home and National Policy in Palestine," A Land of Two Peoples: Martin
National
October 1929, reproduced in Paul Mendes-Flohr,
Buberon Jews and Arabs (New York: Oxford
University Press, 1983), p. 86.
For the theoretical underpinnings of
this view, see the discussions
2.
of Ze'ev
and Territory (Berkeley: InstiShmuel Almog, ed., Zionism and the Arabs
Jabotinsky's views in Baruch Kimmerling, Zionism tute of International Affairs, 1983) or
(Jerusalem:
The
Historical Society of Israel, 1983).
For a comprehensive secondary source, see Walter Laqueur,
3.
A
History of
may be
Zionism (London: Weidenfeld and Nicolson, 1972). Selected primary sources found
David Hardan,
in
ed..
Anthology of Contemporary Jewish Thought,
vol.
5
Shlomo Avineri, The Making
(Jerusalem: World Zionist Organization, 1975). See also
of Modem Zionism: The Intellectual Origins of the Jewish State (London: Weidenfeld and Nicolson, 1981). 4.
Jabotinsky speech in 1914, The World of Ze'ev Jabotinsky:
A
Collection of
His Speeches and the Essentials of His Doctrine (Tel Aviv: Defusim, 1972), (in
Hebrew).
op.
cit.
5.
Ben Gurion's comments
an Arab historian
in 1936, cited in
220
Kimmerling,
note 2, pp. 199-200.
See Galia Golan, The Soviet Union and the Palestine Liberation Organi-
6.
zation
to
p.
(New York: Praeger Publishers, 1981). 7. See William Quandt, Decade of Decisions: American
Policy Toward the
Arab-Israeli Conflict 1967-1976 (Berkeley: University of California Press, 1977)
and L. L. Whetten, The Canal War: Four Power Conflict (Cambridge, tions.
Both
MA: MIT University Press, the US and the USSR were
Middle East
in the
1974) for accounts of these negotia-
beginning to accord attention to the
national aspects of the Palestinian issue during this period, but public references
beyond
the refugee question began to appear only in the 1970s.
The
Soviets
themselves began to refer to the "national rights" of the Palestinians only after the
Yom and
Kippur War of 1973. (Galia Golan, Yom Kippur and After: The Soviet Union
the
Middle East Crisis [Cambridge: Cambridge University Press, 1977], pp.
139-^0.) 8.
There was also the ideologically based view of a
that Israel that
belonged 9.
to
CNN
September
it
and the "Chosen People"
poll taken together with a
14,
Jewish support
1993. at
An
Israeli poll
in
members
is
Israel), i.e.,
lands
any case.
number of
polling agencies in Israel on
taken just before the signing had urban, adult
62 percent. Inclusion of Arab citizens of
kibbutz and moshav
more
relatively small minority
had merely "liberated" lands of the Land of Israel (Eretz
Israel
and nonurban
estimated to have raised this percentage by three or
points. 10.
See
article in
right-wing press admitting this phenomenon: Michal Yudel-
man, "Rightist March out of Step with Likud Drummer," Jerusalem Post, September 24, 1993 ("It
is
significant that the first cracks in the Likud's anti-Pact
armor were
.
Israel
who
caused by members
most
are
and Palestinian Statehood
in touch with the public"),
1
85
and "Chorus of
Criticism for Natanyahu," September 26, 1993.
Asher Arian,
1 1
"Israel
and the Peace Process: Security and
Political Attitudes
Center for Strategic Studies, Tel Aviv University (February 1993),
in 1993," Jaffee
p.
8.
Jacob Shamir and Michal Shamir, 'The Dynamics of Public Opinion on
12.
Peace and the tions Trustee
Territories," Final
and the
Israel
Research Report submitted to the
Academy of Sciences (September
Israel
Founda-
1993), p. 10.
13. Ibid., p. 5.
14. Ibid., p. 12. 15. Arian, op. cit.
note 11, p.
Shamir and Shamir, op.
16.
8.
cit.
note 12, p.
8.
17. Ibid., p. 10.
See also a study by Hanna Levinsohn and Elihu Katz, "The Intifada
18.
A War:
Not
Is
Jewish Public Opinion on the Israel-Arab Conflict," in Akiva Cohen and
Gadi Wolfsfeld,
eds..
Framing
the Intifada: People
and Media (Norwood, NJ: Ablex
Publishing Corporation, forthcoming). 19.
See Galia Golan, "Arab-Israeli Peace Negotiations:
Stephen Spiegel, ed., Arab-Israeli Search for Peace (Boulder: lishers, 1992), pp.
20.
A term
note 12, p. 72).
have translated
It is
it.
Israeli
View," in
Lynne Rienner Pub-
37-48.
which
I,
like
and Katz, op.
(see Levinsohn
An
others,
have been using for a number of years
note 18, p. 58, cited in Shamir and Shamir, op.
not the same as war- weariness or exhaustion, as
Rather
21. Levinsohn
many cit.
it is
more akin
to the feeling of simply having
cit.
some abroad had enough!
and Katz coined the phrase "inevitableness," along with "fed-
up-ness," in their discussion of the change in Israeli attitudes. 22.
Shamir and Shamir, op.
23. Ibid., p. 11 using the
percentages with the longer 24.
cit.
note 12, p. 11.
Dahaf data; Arian,
list
op.
cit.
note 11, p. 9 has the lower
of options.
Shamir and Shamir, op.
cit.
note 12, p. 72 citing Levinsohn and Katz.
25. Ibid., p. 72. 26. Ibid., p. 92. 27. Arian, op.
cit.
note 11, pp. 2-3. His study
showed a very high percentage of
perceived Arab threat together with a slight trend in the other direction. 28. Ibid., p. 15. 29. Arian's data for 1991, the year of the
Arab
Gulf War, do show a sharp
rise in
threat perception but also a sharp rise in the belief in the possibility of reaching
peace with them, presumably reflecting optimism over America's enhanced (Ibid., pp.
role.
2-3.)
30. Ibid., p. 9. 31.
Shamir and Shamir, op.
32. Poll taken
cit.
note 12,
p. 73.
September 7-8, 1993, commissioned by the American Jewish
.
Global Convulsions
186
Committee, published to Dr.
in part in the
Jerusalem Post, September
Hanna Levinsohn of the Guttman
Institute for providing
13, 1993.
me
My thanks
with the complete
results.
33. See, for example, Ha'aretz, 34. Labor's preference
leave Israel territory
map
Palestine,"
which would
Gush Etzion
south of Jerusalem in Israeli hands.
has never been officially pronounced, although the Labor
party platform excludes a 35. This
the "Allon Plan"
along the ridge which runs through the West Bank, with certain
areas such as the Jordan valley and
Labor's preferred
September 22, 1993.
would presumably be
number of areas from
by no means resembles the
which argues
that
return.
Israeli right- wing's idea
of "Jordan
inasmuch as the majority of the population
in
Jordan
is is
King Hussein should be replaced and Jordan should be declared the leaving the West Bank for Israel. Palestinian state Palestinian,
—
Editor's Note: Israel and Jordan signed a peace treaty 36.
Abba Eban made
speech delivered 37.
When
at
Tzavta
this
in
first
—a Jewish
the Jewish nature of the state percent). (Shamir
in a
Jerusalem in 198 1
asked to rank the values most important for
placed Greater Israel (Eretz Israel) in
38.
on July 25, 1994.
remark on a number of occasions, for example,
and Shamir, op.
cit.
Israel,
only 10 percent
from peace (39 percent),
majority (3 1 percent), and democracy (20
note 12, p. 113.)
For two good discussions of
creation of a Palestinian state, see
place, as distinct
this
Mark
and other problems associated with the
Heller and Sari Nusseibeh,
No
Trumpets,
No
Drums: A Two-State Settlement of the Israeli-Palestinian Conflict (New York: Hill and Wang, 1991); JCSS Study Group, The West Bank and Gaza: Israel's Options for Peace (Tel Aviv: Jaffee Center for Strategic Studies, 1989); Ann Mosely Lesch et al.. Transition to Palestinian Self-Govemment: Practical Steps Toward Israeli-Palestinian Peace (Bloomington: Indiana University
Press, 1992).
39. For various proposals, see Ze'ev Schiff, "Security for Peace: Israel's Mini-
mal Security Requirements
in Negotiations with the Palestinians"
The Washington
Institute for
Palestinian State:
An
1990):
1
Near East
(Washington, D.C.:
Policy, 1989); Valerie Yorke, "Imagining a
International Security Plan," International Affairs 66.1 (January
15-36; Joseph Alpher, "Security Arrangements for a Palestinian Settlement,"
Survival 34.4 (Winter 1992-93): 49-67. 40. See, in particular, Peter Glieck, Water and Conflict and Miriam Lowi, West Bank Water Resources and the Resolution of Conflict in the Middle East, (Cambridge, MA: American Academy of Arts and Sciences and the Univeristy of Toronto,
1992). 41. For example, in his speech to a conference held at
March 11-13,
Columbia University
1989.
42. Heller and Nusseibeh, op.
cit.
note 38,
p. 95.
This book contains excellent
treatment of the viirious issues connected with the creation of a Palestinian
providing the outlines of reasonable solutions to most of the problems.
state,
Israel
43.
As
44.
It is
be needed It
also
is
the Sinai settlers had been
and Palestinian Statehood
when peace with Egypt was
1
87
achieved.
estimated that approximately $2.5 billion ($100,000 per family) would
to relocate the
25,000
settler families in
comparable housing inside
Israel.
estimated that supporting the settlers in the territories costs the Israeli
government today approximately $1
billion a year. (Arie Caspi,
'The Lx)w Cost of
Withdrawal," The Jerusalem Report, April 21, 1994.) 45. This last
was suggested by Heller and Nusseibeh. Some of
posals can be found in the
JCSS Study Group,
op.
cit.
note 38, or
the Israeli pro-
Meron
Benvenisti,
'The Jerusalem Question: Problems, Procedures and Options" (Jerusalem: The West
Bank Data Base
Project,
Negotiable: Jerusalem in the bridge,
1985); and Naomi Chazan, "Negotiating the NonFramework of an Israeli-Palestinian Settlement" (Cam-
MA: American Academy
many of the proposals.
of Arts and Sciences, 1991), which summarizes
Palestinian Statehood
MUHAMMAD HALLAJ
Introduction
On
September
when
1993,
1,
Palestinian
and
Israeli
negotiators
returned
to
Washington, D.C., for the eleventh round of talks in the peace process begun in
Madrid
in
October 1991, they broke new ground. For the
first
time in nearly two
years of talks, Israeli and Palestinian delegates gathered to undertake an unprece-
dented assignment: to fine tune and formally conclude an agreement secretly negotiated in
Norway over a
period of several months by their principals, the Israeli
government and the Palestine Liberation Organization (PLO), and made public only a
few days
ment and
earlier.
the
While the negotiating teams met
PLO
went through
in
Washington, the
Israeli
govern-
their respective constitutional processes to ratify the
agreement, to agree on a jointiy acceptable announcement of mutual recognition, and to build domestic
and regional consensus
The agreement
in support
of their agreement.
gives the Palestinians a measure of self-rule in the
and Gaza, and something akin
to
West Bank town of Jericho. This
independence
is
in the
Gaza
Strip
West Bank
and the ancient
an interim arrangement, pending the conclusion
of a more comprehensive accord on the ultimate status of the Palestinian territory seized by Israel in the Arab-Israeli
opponents of statehood.
tiie
It is
war of
agreement described
too early to
tell if
it
1967.' Palestinian supporters
as the first step
the agreement
away
is
on the road
and
Israeli
to Palestinian
a step to statehood or a detour that
The agreement includes provisions for Israeli control as well as Palestinian self-government that, contingent on which of the two categories of provisions that ultimately prevails, will eventually carry the Palestinians
ft-om national independence.
could deflect future Palestinian-Israeli relations
The
fact remains,
in
one direction or the
however, that the agreement
the conflict and Palestinian-Israeli relations. First,
it
is
is
other.
a landmark in the history of
the
first
time since the conflict
189
Global Convulsions
190
began
1948
in
of Israel and the Palestinians reached a directly
that representatives
negotiated written agreement on anything. Second, representatives of the
PLO
and the government of
in Israel's policy of not dealing with the
ignored fact that the conflict
PLO.
was negotiated by high-level
Finally,
no longer about
is
it
a startling and major shift
Israel,
underlines the frequently
it
but about Pales-
Israel's existence
tinian national rights.
The
Palestinian-Israeli conflict has
endured for so long not because the parties
problem has been
have found nothing
to agree on; the real
what the
conflict
really about, as well as their inability to agree
be done
to resolve
between
Israel
is
it,
and the
same moment
at the
PLO
is
their inability to agree
on
on what needs
to
The agreement concluded
in history.
the closest that the parties have ever
come
to a con-
vergence of views concerning the conflict.
Although the "Gaza plus" agreement does not signal its
traditional opposition to Palestinian statehood,
it
of an environment receptive to that option. For the bility
first
abandonment of
Israel's
opens the way
to the
emergence
time, there exists the possi-
of Israeli-Palestinian convergence on the two-state solution. Palestinian
state-
hood, within the context of a two-state solution to the question of Palestine, has been the
most widely accepted and
at the
same time
the
most vehemendy opposed pre-
was
scription for the resolution of the Arab-Israeli conflict. This
beginning, and In 1947,
it
when
the international
community
first
grappled with the Arab- Jewish
struggle over Palestine, the United National General state
solution,
and the Arabs fought
compelling reasons for doing historic
the case at the
has not yet ceased to be the case.
so,^ since
to prevent
Assembly endorsed the two-
its
implementation. They had
what they were asked
homeland, rather generously, with a minority of
grants. Their rejection of partition
one of the most stubborn regional
do was share
to
gave the conflict the durability
conflicts in
modem
that has
their
immi-
relatively recent
made
it
times. Subsequently, the tables
were turned, and even though the two-state solution continued
be the most widely
to
supported prescription for the resolution of the Arab-Jewish conflict over Palestine, Israeli
opposition replaced Palestinian and Arab rejection as the obstacle to
nation.
At
the beginning,
and Arab opposition
it
to that
lishment of a Palestinian
was
the
demand
and
termi-
for the establishment of a Jewish state,
demand, which triggered the
state,
its
conflict;
Israel's opposition to that
now
it
is
the estab-
demand, which keeps
the conflict going. In
some
respects, the Palestinian
of one another. In 1947, logically
Israeli
and
Israeli positions
have
h>een mirror
and emotionally repugnant, though deemed necessary,
"Zionist pragFTiatisin," and thus
images
acceptance of the partition of Palestine was ideo-
was accepted grudgingly
perhaps a temporary one. Jewish acceptance of partition
in
context of
compromise,
Simha
1947, wrote
Flapan, "was an example of Zionist pragmatism par excellence.
—
in the
as a political
It
was a
tactical
a springboard for expansion
when
acceptance, a
vital
circiiinstances
proved more judicious."^ Today, the Palestinians accept partition
step in the right direction
in
Palestinian Statehood
same
essentially the
seem
to understand
spirit, that is, it
On
both sides, the shared realization
that partition gives as well as denies"* has occasioned tially
9
most of them
as a pragmatic solution, although
as an ultimate outcome.
1
ambivalence about
it,
and par-
accounts for the Palestinian rejection of Israeli statehood in 1947, as well as
Israeli rejection
of Palestinian statehood in 1993. In a very real sense, partition has
been acceptable
to the disprivileged
and unacceptable
to the privileged party.
More-
over, in the case of the Palestinians in 1947, this realization led to the belief that
Zionist ideology necessarily
case in 1993,
it
makes
the Jewish state expansionist, and in the Israeli
fostered the belief that a Palestinian state
would be necessarily
irre-
What makes the matter serious is that both beliefs are not lacking in validity, and must be woven into the texture of any sound explanation pertaining to why the
dentist.
partition of Palestine, accepted
source of conflict rather than a
Decades of
by both
parties at different times, has
make
conflict over Palestine
it
abundantly clear that neither side
accepts partition as a fair solution, and that the only
accept
it
expected
as a political is
way
compromise with which they can
that the Palestinians
and the
justice, but as a prescription for living
converge on
this position at the
their
demand
done
so,
its
is
that both of
The
And
they need to
The Palestinians, after a have made such a transition.
in history.
acceptance of the Palestinians' right to present
for statehood at the ultimate status phase of the peace talks,
accord with the PLO, do indicate that
them
best that can be
Israelis accept partition, not necessarily as
same moment
although
out
live.
with tolerable injustice.
period of rejection, followed by a period of hesitation, Israel has not yet
always been a
meeting ground for them.
it
may be moving
and
its
in that direction.
The Evolution of Palestinian Political Thought Although the Palestinians are often stereotyped as maximalists and
inflexible, they
have been highly flexible and accommodating. Since 1947, when the United Nations (U.N.) triggered the First Palestine
War
with
its
recommendation
to partition the
country, Palestinian political thinking has undergone dramatic shifts in the direction
of greater accommodation. These
because they
made
a conflict over existence. Palestinian thought on
Liberation
shifts
have made Palestinian-Israeli peace possible
the conflict manageable
The
how
—a
dispute about coexistence rather than
shifts are reflected in the
following three phases of
the conflict with Israel should be reconciled.
and Return (1948-1968)
For twenty years
after the
partition of Palestine
Catastrophe of 1948, the Palestinians thought of the
and the establishment of
Israel,
accompanied by
their subse-
quent condition as refugees, as a gross miscarriage of justice. They understood their experience, described as a journey through the cosmic absurd'' by a Palestinian writer
Global Convulsions
192
who
shared
it,
as
one of foreign occupation and "ethnic cleansing." The remedy they
sought was the reversal of the resolved was summarized
For the Palestinians, the to
how
Their thinking on
injustice.
injustice required reversal. Liberation
the occupation of the land, and Return was the antidote
persal of the Palestinian people.
gram, and
It
Palestine Liberation Organization
Chaner was
was
was
the antidote
to the uprooting
and
dis-
position rather than a political pro-
new Jewish
Thus,
state.
in
1964 when the
established, included in the Palestine National
the statement: "Palestine, within the frontiers that existed under the
British mandate,
was
was a moral
required the dissolution of the
it
the conflict should be
twin slogan: Liberation and Return.
in the
frequently,
is
an indivisible
and
territorial unit"* (article 2).
correctly, described at the time as
The
Palestinian position
wanting to "turn back the
clock" of history. This was the period of "Palestinian indignation," and
it
produced a
cry of anguish rather than a political proposition.
The Democratic Secular State (1969-1 973) It
took the Palestinians two decades to overcome the traumatic experience of home-
lessness and to begin to Palestine. In 1969. they
come made
new
to grips with the
the
first
realities that
had emerged
in
attempt, since the Catastrophe of 1948, to
reconcile their rights with the fact of the presence of a Jewish societ>' in Palestine.
The
was
result
that the Palestinians
toward the conflict with
Israel,
Jewish struggle over Palestine. They Jewish
state,
made
and the
the
first
first political
still
major
shift in their attitudes
proposal for ending the Arab-
rejected partition and the existence of a
but they expressed willingness to coexist with a Jewish society.
They
the time
called for the reconstimtion of Palestine as a binational
republic,
described as "democratic secular" or "nonsectarian"
which Arabs and Jews
state, in
at
could share the same homeland with equal rights and obligations. This rethinking of the future of Arab-Jewish relations in Palestine began to appear in official Palestinian
pronouncements in
fifth
its
in 1969. In that year, the Palestine
session on Februar)' 4, a
Palestinian struggle,
which defined
society in Palestine for
The
all
it
new
as an effort "to set
Palestinians, including
One
(PNC) adopted,
up a
free
and democratic
Muslims, Christians and Jews."^
Palestinians thought of the democratic nonsectarian state as something
more, and more commendable, than a claims.
National Council
statement of objectives concerning the
They saw
it
political
compromise between
as a vision for historic reconciliation
conflicting
between Arabs and Jews.
of the most eminent Palestinian intellectuals and political activists of that period,
Fayez Sayegh, explaining the difference between the vision and the compromise, put it
this
way:
What
is
needed [he wrote]
is
promise lakes
its
The com-
a principled and courageous vision.
required vision must do precisely what a "compromise" cannot.
A
departure from the actual positions of the contending
Palestinian Statehood
parties
and seeks to find a solution somewhere between them. The needed
vision transcends those starting points and looks for a solution above both.
Men who
cannot or will not surrender to one another
inspired to surrender together to a higher vision find ft-eedom
The
them
and
of the times, of pluralist societies; more capable of
spirit
and satisfying the emotions of both peoples since
of Israel as a
even though
polity,
society in Palestine. For this reason,
could engage Israel's it
failed to
national rights. In 1974,
They
called
it
more
in
fulfilling the
did not deny either of
"the civilized solution"
it
However, the proposition entailed the dismandement of the Jewish
to the conflict.
quo,
in that surrender
fulfillment, as well as reconciliation.*
access to a part of the land they cherish.
state
—and
them
may be
Palestinians perceived the democratic-secular-state solution to be
tune with the aspirations
193
interest.
evoke the
It
And
interest
some
intrigued
it
recognized the legitimacy of a Jewish
it
was not something
because
it
which the Palestinians
of even the most ardent supporters of Palestinian
intellectuals, but
when Yasser Arafat addressed
for the first time,
in
entailed drastic changes in the status
it
failed to inspire political leaders.
the United Nations General
he regretfully shelved the democratic nonsectarian
The
the "Palestinian dream."^
Assembly
state, calling
it
Palestinians never ceased to believe in the superiority
of the democratic-secular-state formula, but since the mid-1970s, recognizing the necessity of political compromise, they ceased to advocate
major
it
as they
made
another
shift in their political thinking.
The Two-State Solution (1974—present) After the Arab-Israeli war of 1973, a second major shift in Palestinian thinking and policies occurred.
For the
first
time, a Palestinian consensus began to
emerge
in
favor of a setdement based on partition and the two-state solution.
Three related events necessitated
was
the 1973 Arab-Israeli war.
stalemate, for the
first
to ft-ee the territories
By
1972.'^^
it
in
them
seized from
The
to
be a
in the
war of 1967, making a negotiated
was King Hussein's "United Arab Kingdom"
Palestinians,
Palestinian resistance in 1970-71, rule in
what they considered
time ever, the Arabs hoped that Israel would be more inclined
settlement possible. Second, there
proposal of
this shift in Palestinian thinking. First, there
fighting Israel to
still
outraged by Jordan's expulsion of the
opposed the return of the West Bank
any form. King Hussein's proposal
to reincorporate the
to
Hashemite
West Bank as a region
a united kingdom under his rule focused Palesdnian attention on the future of the
West Bank and Gaza, and territories, to
it
triggered demands, particularly
preempt Jordan's claim
to them. Finally, there
of die PLO's international relations and
more
seriously
liberation
its
from inside the occupied
was
the great expansion
enhanced legitimacy. The
PLO was taken
by the international community as the Palestinian people's national
movement, and
it
came under
pressure to rise up to the challenge by
Global Convulsions
194
advancing a policy more likely
to receive a favorable
community. The supporters of Palestinian national establishment of a Palestinian state in the West
response from the international
were committed
rights
Bank and Gaza, and
the
to the
PLO found
it
necessary to solidify that support by responding to the will of the international
community."
These were the immediate influences
that led to the Palestinian
move toward
the two-state solution. Alain Gresh, in his pioneering study of the evolution of
Palestinian policy,
saw an even
earlier beginning.
The Arab
defeat in the
war of
1967, he wrote, killed the pan- Arab dream, brought Israelis and Palestinians face to face without
Arab
conflict to
original
its
intermediaries, and fostered the restoration of the Arab-Israeli
form as an
movement, "freed from It
had
to spell out
which
it
partition
In political
its
came
The
Palestinian national
face to face with
its
responsibilities.
goals and objectives, in particular the state and territories to
laid claim."'^
This process led to the eventual Palestinian acceptance of
and the two-state its
Israeli-Palestinian conflict.
external controls,
solution.
twelfth session in June 1974, the Palestine National Council adopted a
program which opened the way
with the state of state in all
Israel.
The
ten-point
acceptance of coexistence
to Palestinian
program
still
identified a democratic-secular
of Palestine as the strategic objective of the Palestinian struggle, but
were freed
also legitimized an interim national authority in whatever portions that
from
Israeli control.'^
The
PLO
did not accept the state of Israel, but
hesitant step in that direction. In subsequent years the
acceptance more explicit, the
first
PNC
until in its nineteenth session, in
it
pendence of the State of
Israel.
At
the
same
Palestine. This claim to
time, the
took the
PNC
and peaceful
proclaimed the inde-
independence was based on United
Nations Resolution 181, which recommended partition
in 1947.
The
PNC made
clear that the partition of Palestine and the establishment of Jewish and as successor states
national
was
first
made that November 1988, it made increasingly
authoritative declaration of Palestinian acceptance of peace
coexistence with the state of
it
Arab
it
states
the solution acceptable to, and sought by, the Palestinian
movement.'^ Unlike the democratic
state
idea,
this
program
signified
Palestinian acceptance of the existence of a Jewish state in Palestine.
Given widespread stereotypes about inflexibility
and tendency
to exhibit
the
Arabs and the PLO,
their
presumed
moderation largely for external consumption,
three crucial points about the evolution of Palestinian political thinking should be
made
here." 1
.
The PLO,
usually pictured as a radicalizing influence on Palestinians
and Arabs, played an important role
in
leading the Palestinian people
away from maximalist demands and towards more accommodating and conciliatory policies, and took the risk of alienating public opinion as
did so. In the late 1960s, alienated
its
advocacy of the democratic-secular
Arab and Muslim opinion by accepting
it
state
the legitimacy of
Palestinian Statehood
Jewish presence civil
war (with
in Palestine,
and
mid 1970s
in the
the Rejectionist Front)
it
195
provoked a mini-
by adopting the 10-point
political
program.
The of view.
began
PLO also made efforts
When
to teach
it
to reeducate the Palestinians to its point
adopted the democratic-secular
Hebrew
Changes
in
PLO schools
to Palestinian children to prepare
community
eventuality of coexistence with a Jewish 2.
state idea,
them
for the
in Palestine.
Palestinian political thinking in the direction of
accommodationist solutions
to
the conflict with Israel
more
occurred
at
moments of perceived Arab and Palestinian strength, and in that sense signified an authentic commitment to new thinking. The democraticsecular state proposal came as the Palestinian resistance movement was euphoric over its emergence, after the battle of Karameh in March 1968, as the antidote to the despair which engulfed the Arabs after the defeat of 1967.
a
And the
shift to the two-state solution
new wave of euphoria swept over
1973.
makes
It
little
be euphoric. The
difference whether the Arabs
that the Palestinians
made
significant that the
PLO's move
program which
ment based on
shortly after
war of
after the
had valid reasons
partition
tinian intifada revived
it
was
at
to
unmis-
fact is that they interpreted these events as
takable signs of renewed national vigor, and
political
came
Arab world
the
such moments
their principal conciliatory gestures. It is also to recognize Israel
and
to
adopt a
authoritatively accepted a negotiated settle-
came
in 1988, again at a time
hopes that
Israel's
when
the Pales-
occupation had been shaken
and rendered "unsustainable." 3.
The
PLO
contributed to
making
shifting Palestinian thinking
the conflict
away
manageable not only by
fi-om maximalist
by modifying the means of securing Palestinian
demands, but also
rights,
by emphasizing
diplomatic means at the expense of armed struggle, and eventually by a
phased process which would begin with modest changes in the quo.
The "Gaza plus"
interim agreement
cess of taming Palestinian struggle to
is
status
the culmination of this pro-
make
it
compatible with
Israeli
concerns.
The changes have been
real. It
in Palestinian thinking
serves no
the interest of peace in the
on how
good purpose,
Middle
neither
to resolve the conflict with Israeli is it fair
East, to argue, as
many
to the Palestinians nor in
did
when
the
PLO
finally
"uttered the magic words" (recognition of Israel, acceptance of Security Council
Resolution 242 as a framework for a settlement, and renunciation of terrorism) in 1988, that the
move toward
settlement were merely ploys
was fashionable
recognition of Israel and acceptance of a negotiated
—because
to assert at the time.
the leopard does not
Changes
change
its
spots, as
in Palestinian political thought,
it
and
Global Convulsions
196
which they occurred, challenge the
the circumstances under
common
in
which unfortunately resurfaced to explain
As
after the
Gulf War of 1991, when again
was used
it
Arab acceptance of the Madrid peace conference.
Moves
Israel
racist notion, all too
the West, that the Arabs "understand the language of force," a notion
Way
the Other
moved
the Palestinians
in the direction
The emerging
opposite direction.
ment of a Palestinian
state in part
of accepting
moved
partition, Israel
in the
international consensus in favor of the establish-
of Palestine, and growing Palestinian (and there-
fore Arab) acceptance of partition, threatened to call Israel's bluff as the traditional
advocate of compromise, whose presumed willingness to live and trated
by Arab rejectionism. The Arab move toward coexistence
was
let live
in the context
two-state solution increasingly isolated Israel and undermined
its
frus-
of the
opposition to
Palestinian statehood.
To preempt
wind out of
Palestinian statehood and to take the
the sails of
mounting international clamor on behalf of Palestinian self-determination,
mounted a two-pronged
attack: to discredit Palestinian nationalism
fulfillment of Palestinian aspirations.
massive invasion of Lebanon render
it
in 1982,
The
first
objective
which was designed
and
was pursued through a to cripple the
politically as well as militarily irrelevant. Israel also secured
government a pledge not conditions,
to recognize or deal with the
which were known
to
Israel
to thwart the
PLO
unless
PLO and to
from the U.S. it
be unacceptable to the Palestinians
met
certain
at the time,
including the unilateral recognition of Israel, disavowal of armed struggle, and the
acceptance of Security Council Resolution 242 as the basis for a negotiated
settle-
ment. At the same time,
it successfully mounted a worldwide campaign to brand the PLO, and the Palestinians in general, with the stigma of terrorism. The second objective pursued by Israel was the speeded up de facto annexation
of the Palestinian
territory
it
journalist
why
Highways, grate
to
Israel
seized in 1967, with the purpose of
January 1982, an
state solution impractical. In
was building a road network,
connect the Jewish settlements
them more
firmly:
making
the two-
Israeli official signalled to a foreign
in the
the so-called Trans-Samarian
West Bank
to Israel
"Give us three or four or five years," he
said,
and to
inte-
"and you'll
drive out there and you won't be able to find the West Bank."'^ In
the
1980s,
Meron Benvenisti popularized
whether one accepted or opposed the Su-ip,
Jewish settlement
conflict
Israeli
the notion that, regardless of
occupation of the West
Bank and Gaza
the territories had transformed the Palestinian-Israeli
in
from a national conflict requiring Palestinian independence
demanding
ethnic dispute.
Benvenisti, "will be realized
munal objectives
—
to
a less
potential of Palestinian "communal power," wrote only when they identify short-range achievable com-
The
political,
economic, and social
—
within the realm of the possible
Palestinian Statehood
must move
Israeli rule. Indeed, they
under
in the
197
system, albeit without granting
it
ultimate legitimacy."'^
The
on the other hand, were
Palestinians,
intifada, or Palestinian uprising,
intent
which exploded
in
a Palestinian effort to counter Israel's policy of
independence from evolved from
was
One of
Israeli rule.
street confrontations
The
their land."*
the major objectives of the intifada, as
it
to loosen
its
struggle began to bear fruit in July
renounced Jordan's claims and severed
Bank, recognizing
1987, developed into
de facto annexation with de facto
legal
grip
on the Palestinians and
1988 when King Hussein
and administrative links with the West
community came
Palestinian destiny.'^ Moreover, the world
its
increasingly to perceive the status
mounting pressures on
it
with Israeli troops to a process of nation-building,
disengage from Israel and to force
to
on proving the opposite. The
December
quo
as "unsustainable," a
view which led
Israel to find a political solution to the conflict
to
with the
Palestinians.
A symbolic fulfillment of the intifada, and to give impetus to its goal of freeing the Palestinians
from
Israeli rule,
was
the proclamation of Palestinian independence
and the establishment of the State of Palestine by the Palestine National Council on
November
15,
occasioned a
1988.^ The collision of
new
Israeli
level of political stalemate,
power and
reached by the international community, including
'The
status
quo bodes
ill
for Israel."^'
Palestinian nationalism
which fostered the conclusion
many
—
and Arabs
Israelis
Something was needed
to
move
which he
off dead center. Taking advantage of regional and global circumstances
judged
to
be opportune, particularly the end of the Cold
fraq, as well as the
President George
consequent collapse of the Arabs'
Bush
told Congress, in
March 1991,
War and
ability to
that
the conflict
the destruction of
confront Israel, U.S.
that the time
had come
to put
an end to the Arab-Israeli conflict.
The Madrid Peace Process Ever since
Israel seized the rest
of Palestine in 1967, U.S. policy toward the future of
these territories has been ambivalent.
and
Israeli objectives. It
It
endorsed both and neither of the Palestinian
supported Security Council Resolution 242, whose pre-
amble
stated the principle of the "inadmissibility of acquisition of territory
but
also accepted an interpretation of the resolution
it
principle
Jimmy
by arguing
by war,"
which conflicted with
that
that the resolution permitted territorial "adjustments." President
Carter flirted briefly with the idea of a "Palestinian homeland," but President
Ronald Reagan,
in his initiative
of September
1,
1982, rejected both Palestinian
Bank and Gaza. annexation of the West Bank and Gaza
statehood and Israeli sovereignty over the West
U.S. policy opposed
Israeli
Israelis annexationist practices.
independence.
It
It
but tolerated
supported Palestinian self-government but opposed
recognized Jerusalem as part of the occupied
territories
but under-
Global Convulsions
198
stood Israel's refusal to negotiate
future.
its
supported U-N. Resolution 194 of
It
1948. which recognized the right of return for Palestinian refugees, but opposed
demand for the right of return. The peace process put together by President Bush and his Secietary of State James Baker IE. which was inaugurated in Madrid in Oaober 1991. remained Palestinian
faithful to this
time,
it
American policy of being for and against everything. At the same
cmmfniity, which hdd more The result has been
stipulated the exclusion of the international
consistent views
on w hat should be done
a peace process
w hich
to resolve the conflict
compass and
lacks a
any omcaaie, one
loieraies practical^
which meanders aimlessly without a dear destination.^ Israeli
policy of taking advantage of Washington's waffling to evade the
imperatives of Palestinian nationalism
purposes
at the
expense of
is shoftsighied. It
Even
historic interests.
if
may promole
imtwt^iati-
manages to coeice
it
the
Palestinians into acquiescing to an agreement wiiich leaves them, in fact a surplus
wiU be merely pos^ning the day of mrlrrwi no perhaps to a time in the future w hen ^obal and regional conditions may not be as favorable to peace as they are now The Palestinians will not perish or vanish, and
people in the Middle East
it
consciousness
is
.
their national
too highly developed to permit perpetual denial of
their right to self-determination.
that nationalism
is still
The second
half c^' the
Lesch has called the 'lincompromising
tv^^entietfa
even This
as unsuppressible as
realitv"
of life
in
is
century has proven
so because of what
a worid of nation
Ann
stales.
In
w odd of nationalism." she wrote, "one can attain relative normality only by having one's own nationalism manifesting itself in one's own a
The
State of Palestine: Conceptual
For the
first
and
Parametors
time since the Palestinian-Israeli conflict began,
to a political settiement. This
is
because, for the
simultaneously on the tw o-state solution.
of no return, because fiilly
Political
this
convergence
by significant constituencies
survive and mature.
To give
it
in
first
it
The process has not
is still
rather tentative
both camps.
the opportunity
it
has become amenable
time, the parties have converged
It
needs
aJl
yet readied the point
and
opposed fbfce-
is
requires, conceptual
adjustments, as well as political compromises, are essential.
it
can get id
and
aitiftidinal
the help
The needed conceptual
adjustments include the following: 1.
The
authenticity of the Palestinian desire for
recognized-
It is
accommodation must be
self-defeating, as well as unfair, to deal with the Pales-
tinians as if they
were felons applving for parole, and
it
is
counter-
productive and risky to continue to assume that Pdestinian oompio-
mises are nothing but grudging capitulation to the extant equation of
pow er. There
is
no question
incentives for compromise,
that the
on both
imbalance of power
sides, since
more
is
one of the
than four decades
Palestinian Statehood
of conflict have demonstrated the Arabs' inability to defeat Israel's inability to
vanquish and subdue the Arabs.
Israel,
199
and
Israel's military
and diplomatic clout on the one hand, and the massive and
capabilities
deeply rooted Arab presence in and around Israel/Palestine on the other,
make
stalemate
a historic
Nusseibeh have observed, test.
'There
is
As Mark
inevitable.
nothing to indicate," they wrote, "that either Israel or the
Palestinians will, in the foreseeable future, have the their
maximal
and Sari
Heller
of the Israeli-Palestinian con-
this also is true
aspirations
be said with certainty
on the adversary.
is that
.
.
.
power
The only
a resolution of the conflict
to
impose
thing that can is
impossible
unless the minimal needs and desires of both sides are reasonably satisfied."^
A compromise is the only way out.
This means that Israel would be mistaken
if it
continues to seek the
kind of peace that would reflect the relationship between victor and vanquished. Palestinian statehood, which requires the surrender of the
war of 1967, may exact from power would now demand.
Palestinian territory taken by Israel in the Israel
But
more than
what the
is
it
the military imbalance of historic
moment summons, which
opportunity for a historic reconciliation 2.
is
not to be
matters
if
the
lost.
Palestinian rights should not be understood and dealt with as residual
be recognized and conferred
rights to
and
if,
to the extent, that the
requirements of other parties to the conflict permit. The Palestinian
people cannot remain a "surplus people." That would only perpetuate the problem. rather than
A
The
its
solution necessitates the rectification of this
anomaly
maintenance.
workable and enduring solution requires that the Palestinian
people be recognized and dealt with as partners in the community of
Middle East nations instead of as an intrusion
be minimized, or a
to
nuisance to be abated with minimal adjustments to the status quo. Palestinian statehood should be accepted not grudgingly as a
of damage control, but generously willingly as a shared region.
It
whose overriding purpose
3. Israel
Gaza
stability in the
for Israel to continue to seek a solution
is
find
to
it
the
absolute
minimum
a compromise,
must stop reacting
if
carried to
it
its
may
be, can
impede
rather than
ultimate conclusion.^'
to Palestinian statehood in the
West Bank and
as the expression of Palestinian radicalism, to be feared
avoided
of
can get away with. The argument
Heller and Nusseibeh regarding the "asymmetry" of the Israeli
and Palestinian conditions, valid as facilitate
measure
of conciliation, and
dream of peace, prosperity and
would be a mistake
concessions to the Palestinians that
made by
in the spirit
at all costs. It
should deal with
it
as
it
really
is:
and
the expression
of Palestinian compromise and accommodation, and the outcome of
200
Global Convulsions
Palestinian
commitment
to coexistence
and
conciliation. Israel's tendency
to periodically redefine "Palestinian radicalism" in a
mately discredits
Palestinians
all
Palestinian "moderates"
way which
living in
peace alongside the
game
all
gone, and
it is
is
good
Israel;
among
the
nibbles at those in the mainstream until they are
not in the interest of coexistence and regional peace.
must not be judged
4. Palestinian rights
what
state in
of
state
today Israel has redefined the same people as radical elements Palestinians. This
ulti-
a dangerous game. Not long ago,
were people who accepted a Palestinian
West Bank and Gaza
the
is
strictly
from the perspective of
for Israel, or other states in the region.
And
they must not
be defined and circumscribed by the aspirafions of the other peoples of the region. This
not to say that such considerations are immaterial or
is
that Israeli interests
and Palestinian
rights are mutually exclusive. In his
pioneering study of the impact of Palestinian statehood on Israel's
Mark
strategic interests,
But
political
implications,
it
Heller shows that the two are not incom-
not enough to concede the principle and ignore
patible.^
is
its
namely, that the Palestinian people need to
survive and prosper as a national society, and not just cease to be a
nuisance to
Israel.
They need
living space to rehabilitate displaced
persons, political status to ensure responsible and effective Palestinian
government, and balanced relations with the other peoples of the
Middle East are requirements of Palestinian
which must be
rights,
based on equity and not just the tolerance or ambitions of other 5. Palestinian-Israeli
parties.
peace must be understood as a process of reaching
reasonable compromises to end a struggle between enemies
who have
compelling reasons to be enemies, not as a process of reconciling estranged lovers. Otherwise, the system of peace-making can be over-
burdened with unreasonable demands and least at this time, a
version should be
Within
this
problem of how tially
unrealistic expectations.
At
compromise should be good enough, and con-
left to
future history.
conceptual framework, the rest would be relatively easy. to
make
the transition
a technical one which, freed of
from belligerency its
to
The
peace becomes essen-
emotional burdens, becomes more man-
ageable. In mandatory Palestine, the theater of Palestinian-Israeli struggle, both Palestinians and Israelis agree (except in the case of Jerusalem)
what
is
on what
is
Israel
and
not Israel. Heller and Nusseibeh's observation about the 1949 armistice lines,
or the June 4, 1967 boundaries, being the most logical boundaries between Israel and Palestine
is
nearly universally supported. These boundaries
and mutually agreed upon adjustments
do not preclude minor
to rationalize the borders,
and
to lessen their
impact on frontier communities on both sides. The Palestinians no longer consider
such adjustments "unthinkable." As eariy as 1978, Walid Khalidi,
at
the time widely
Palestinian Statehood
rumored
be the most
to
reciprocal adjustments are the
under the circumstances.""
realistic
A symbolically security,
prime minister,
likely candidate for a future Palestinian
wrote that "[t]he frontiers of 1967 with minor and
most
201
armed
Palestinian state, primarily for the purposes of internal
and perhaps for psychological reasons,
not something that most Pales-
is
would find objectionable. Khalidi's proposal that, for internal security needs and in order that it would not become "the laughing stock of the Arab world," the Palestinian state should have a half or even a third of the level of Jordan's armament is something most Palestinians would be willing to live with. Even the question of Jerusalem, widely advertised as the Gordian knot and the tinians
to make Israeli-Palestinian peace are likely to Numerous models of a Jerusalem that could be the of both Israel and Palestine, and at the same time a united city pro-
obstacle over which flounder,
all
efforts
not insoluble.
is
political capital
viding free access for religious, cultural, and emotional satisfaction by
sketched by both Israeli and Palestinian writers
of which
is that
all
have been
including Heller and Nusseibeh,
in their already cited works. Others also
and Khalidi, gist
—
have offered suggestions, the
East Jerusalem and West Jerusalem could be the respective seats
of government for Palestine and unnecessary the division of the
Adnan Abu Odeh,
Israel,
with a shared municipality that would
the Jordanian ambassador to the United Nations and a
longtime confidante of King Hussein, important point that
if
make
city.
who
is
of Palestinian origin, makes the
one distinguishes Jerusalem the holy
city,
which
the
stirs
much expanded political Jerusalem that now encomWest Bank territory, the problem becomes much more manage-
emotions of people, from the passes
much of the
able. It is the exploitation
aggravates
it
and makes
of the Jerusalem issue for
territorial
aggrandizement which
appear "intractable." If the issue
it
more
redefined
is
appropriately as one concerning the holy places and the freedom of access to them,
can become a uniting influence instead of the divisive element that
it
it
has been.^
Other questions which need to be dealt with within the context of a PalestinianIsraeli
agreement become manageable technical issues once the necessary concep-
tual adjustments
have been made. This
is
not to say that they would cease to present
become amenable
but they would
difficulties,
to
compromise
rights
and use, regional relationships and
Regarding the issue of adamantly
to
opposing views
reftigees,
—with
settlers,
—compromises
it
on which the
parties
appear to adhere
the Palestinians claiming the right of return
can be worked out involving
exchange for giving Jewish remaining
settlers
in the Palestinian state,
and
water
others.
under United Nations General Assembly Resolution 194 of 1948 and the opposing
These
solutions.
include the questions of Palestinian refugees, the presence of Jewish
in
the
partial
West Bank and Gaza
partial resettlement in
Palestinian state in exchange for compensation.
Many
Israelis
repatriation
in
the option of
and perhaps outside the
have offered ideas about
how
the refugee and settlement issues can be transformed from impediments to facilitators
of an agreement.^
202
Global Convulsions
The main that
point being
made about
of the issues involved
all
in a
settlement
is
once the struggle becomes one over coexistence, rather than existence, com-
promises which
now
appear unthinkable become possible.
Conclusion In June
Bassam Abu
1988,
PLO
Sharif, senior advisor to
Arafat, circulated a Palestinian position paper during the
Summit Conference which convened
June 7-9.
in Algiers,
Chairman Yasser
Emergency Arab was meant pri-
It
marily as a message to the Israeli people that the Palestinians were for reconciliation.
The
own
principle and the fact that "no one can build his
another's."
now
ready
Palestinians, he said, understood and accepted both the
The PLO's raison
d'etre,
he wrote,
future
"is not the
on the ruins of
undoing of
Israel, but
the salvation of the Palestinian people and their rights, including their right to
He
democratic self-expression."
assured the Israelis that "no one can understand
the Jewish people's centuries of suffering
the security of their state and
political
question, of course,
its is
that
would promote
neighbors. "^^
how
to translate these pledges
and sentiments into
compromises and agreements. Certainly not by allowing the past
lyze the search for a better fixture. Peres,
the Palestinians," and that
would "welcome any reasonable measure
the Palestinians
The
more than
who was
As
Israel's
to para-
[former prime minister,] Shimon
a main player in the ongoing effort to find a mutually acceptable
compromise once observed,
in criticism of the
opponents of compromise, "people
prefer remembering, rather than thinking."^' If Israelis and Palestinians continue to
seek guarantees against the past, instead of a vision for the future, they will remain captive to the conflict which for in life, liberty
When
chances for peace.
was
the
which gives the
West Bank and
text
first
It
is
Gaza
is
step in the right direction.
no longer
valid,
the unthinkable
becomes
rather than thinking that encouraged
about
beyond the
how
to cut
through
inhibitions of the past
agreement on interim arrangements for the
Strip, the so-called
is
"Gaza- Jericho" accord, the promise of
The implied
recognition, reflected in the
Palestinian national rights corrects a notion
namely, that the conflict
is
about Israel's existence and
survival. This notion has caused previous attempts to resolve the conflict to astray,
and led
to
dead-end outcomes. Now, possibilities have been opened
not exist heretofore.
toll
possible.
the readiness to reach
of the accord, that the issue
which
commitment
remembering
Palestinian-Israeli
the
been exacting a heavy
of the need to take risks and
political witchcraft in previous thinking
Gordian knot.
being the
becomes
the preference for
gimmickry and
forty years has
now speak
slogan becomes
thinkable, and the impossible It
more than
and happiness. They both
go
that did
203
Palestinian Statehood
Notes
1
Text of the agreement in The
Henry Cattan,
2.
Longman Group,
(London: 3.
For
New
York Times, September
Arabs and
Palestine, the
2,
1993, p. A6.
The Search for Justice
Israel:
1969), pp. 25-30.
of Jewish acceptance of partition in 1947, see Simha
this interpretation
Flapan, The Birth of Israel: Myths
and Realities (New York: Pantheon Books,
1987),
Dream: The Democratic Secular
State,"
p. 33. 4.
Muhammad
Hallaj,
"The
Palestinian
Rosemary Radford Ruether and Marc H. Ellis, eds.. Beyond Occupation: American Jewish, Christian, and Palestinian Voices for Peace (Boston: Beacon Press, 1990), pp. in
222-30. Jabra
5.
I.
"The Palestinian Exile
Jabra,
as Writer," Journal of Palestine
Studies 8.2 (Winter 1979): 79. 6.
Text of the Charter in International Documents on Palestine, 1968 (Beirut:
Institute for Palestine Studies, 1971), pp.
393-95.
Text of the resolution in International Documents on Palestine,
7.
(Beirut: Institute for Palestine Studies, 1972), pp. 8.
Fayez Sayegh,
1969
589-90.
"A Palestinian View," The Arab World (February
1970): 18.
Text of Arafat's speech in International Documents on Palestine, 1974
9.
(Beirut: Institute for Palestine Studies, 1977), pp. 134-44.
Text of King Hussein's "United Arab Kingdom" proposal in International
10.
Documents on
Palestine,
1972
(Beirut: Institute for Palestine Studies, 1975), pp.
289-93. 11.
For expressions of international support of the
PLO
and Palestinian
rights,
see United Nations General Assembly Resolutions 3210 of October 14, 1974, and
3236 of November
22,
1974
Alain Gresh, The PLO, The Struggle Within: Towards an Independent
12.
Palestinian State (London:
1974 (Beirut:
Palestine, 14.
Zed Books,
For text of the 1974
13.
in
program, see International Documents on
Institute for Palestine Studies, 1977), pp.
Text of the 19th
Independence
1983), p. 3.
political
PNC statement and the November
449-50.
15, 1988, Declaration
Journal of Palestine Studies 28.2 (Wmter 1989):
of
216-33—Docu-
ment B3. 15.
Israel,
For a survey of changes
in official Palestinian thinking
on the
conflict with
based on analysis of political programs adopted by successive sessions of the
Palestine National Council,
see
Muhammad
Muslih, Toward Coexistence:
Analysis of the Resolutions of the Palestine National Council (Washington, Institute for Palestine Studies, 1990).
Gresh, op. 16.
A/oAz/ror,
cit.
For an
earlier but
more
An DC:
detailed study, see
note 12.
Ned Temko, 'The January
4, 1982.
Struggle for the West Bank," The Christian Science
.
204
Global Convulsions
17.
Meron
Developments
Benvenisti, Demographic, Economic, Legal, Social
(Washington, DC: American Enterprise 18.
A
and
Political
West Bank, The West Bank Data Base Project, 1986 Report
in the
Institute, 1986), p. 95.
1989 report by the Jaffee Center for Strategic Studies of Tel Aviv
University said that because of the intifada "the status quo appears to be working to the advantage of the Palestinians' unilateral statebuilding effort."
Gaza:
Israel's
Options for Peace (Tel Aviv University, 1989),
influence of the intifada on Israeli opinion, see
Discourse
Political
in Israel,"
For general works on the
Tessler,
"The
Intifada
and
Journal of Palestine Studies 19.2 (Winter 1990): 43-61
intifada, also see
The Palestinian Uprising Against R. Nassar and
Mark
The West Bank and
p. 43. For a study of the
Roger Heacock,
Israeli
Zachary Lockman and Joel Beinin,
eds.,
Occupation (Boston: MERIP, 1989); Jamal
eds., Intifada: Palestine at the
Praeger, 1990); and Geoffrey Aronson, Israel, Palestinians
Crossroads
and
(New
York:
the Intifada: Creating
Facts on the West Bank (London: Kegan Paul International, 1990). 19.
Text of King Hussein's speech announcing the decision to sever links to the
West Bank
in
Journal of Palestine Studies 18.1 (Autumn 1988): 279-83.
20. Text of the Palestinian Declaration of Independence in Journal of Palestine
18.2(Wmter
Studies
1989):
213-16—Document B2.
21. Jaffe Center for Strategic Studies,
The West Bank and Gaza:
Options for Peace (Tel Aviv: Tel Aviv University, 1989), 22.
For a survey of the Washington peace
Palestinian-Israeli
talks, see
Camille Mansour, The
Peace Negotiations: An Overview and Assessment, October
1991-January 1993 (Washington, DC: 23.
Israel's
p. 155.
Ann Mosely
Institute for Palestine Studies, 1993).
Lesch, Transition to Palestinian Self-Govemment: Practical
Steps Toward Israeli-Palestinian Peace (Bloomington: Indiana University Press, 1992), p. 18. 24.
Mark A.
Heller and Sari Nusseibeh,
Settlement of the Israeli- Palestinian Conflict
No
Trumpets
(New York:
No Drums: A
Hill
& Wang,
Two-State
1991), p. 56.
25. Ibid., pp. 62-63. 26.
MA:
Mark A.
Heller,
A
Palestinian State: The Implications for Israel (Cambridge,
Harvard University Press, 1983). 27.
Walid Khalidi, "Thinking the Unthinkable:
A Sovereign
Palestinian State,"
Foreign Affairs 56.4 (July 1978): 701. 28.
Affairs
Adnan Abu Odeh, 'Two
112
Capitals in an Undivided Jerusalem," Foreign
{Spring 1992): 183-88.
29. For an article
on Palestinian views on the
right of return, see
Rashid
KhaW&i, Journal of Palestine Studies 19.2 (Winter 1990). 30. Text of the paper in the Journal for Palestine Studies 18.
272-75. 31.
Quoted
in
Newsweek, September
13,
1993, p. 26.
1
(Autumn
1988):
10 Whither the Kurds?
GEORGE S. HARRIS
come
Ethnic groups have
waning years of the twentieth
managed
into their
century.
But
own
in
will the
many
parts of the
Kurds? The most
world
in the
that they
have
thus far has been for the fragment in northern Iraq to reach de facto
autonomy. The permanence of even that achievement remains future of the substantial Kurdish populations of Turkey far.
Yet
political, social,
and
cultural rights.
Kurdish history
is
in doubt, as is the
Iran,
which have not
appears certain that Kurds will continue to seek greater
gone nearly as
it
and
replete with promising beginnings.
might have been
It
expected that a people numbering some 20 million and speaking a tongue different
from
that of their neighbors
standing of
would long since have achieved nationhood.
why Kurds have
not
won more autonomy
or independence
An
under-
may
help
explain whether such factors will continue to frustrate Kurdish aspirations.
Obstacles to Unity
Geography
is
central to this story.
mountainous refuge
area.
external enemies, at the
The Kurdish
heartland
is
in the
main a landlocked
But while the mountains have offered protection from
same
time, they cut the Kurdish area into disconnected parts.
In the past, transportation routes generally skirted this arc north of
Mesopotamia from
near the Mediterranean to the headwaters of the Tigris and Euphrates rivers to the
edge of the Iranian plateau. Even today the paucity of good, all-weather roads within the
region
discourages
homogeneous
fragmentation has been reflected unintelligible dialects,
in the
even written
political
evolution.
And
culturally,
this
evolution of Kurdish into several mutually
in different scripts.
Although language
is
the
205
206
Global Convulsions
surest touchstone of Kurdishness, these dialectical differences militate against unity.
Conditions
much
in
of the Kurdish region favor animal husbandry. That promotes
the persistence of social organization characterized
many
This type of kinship organization has
by transhumant
strengths, but
of overarching ethnic objectives, because tribes
it
life in tribes.
discourages the pursuit
commonly feud with each
other over
modem
existence.
grazing rights and marriage partners. Tribal organization
is
clearly being eroded under pressure of
Particularly in Turkey, the rapid cities
hemorrhaging of Kurds out of
of western Anatolia adds to the weakening of
their core area to the
tribal identity.
Some
of these
deracinated elements have embraced radical social doctrines, which reject the
system as feudal. Accordingly,
tribal
major
in addition to attacking Turkish authority, a
target of
Abdullah Ocalan's Workers party of Kurdistan (PKK)
the tribal
power
in
Turkey has been
structure.'
Religious behavior also divides the Kurds. Although the overwhelming majority are Sunnis of the Shafii
some Yezedis and involvement
in
rite,
there are also significant
Christians.
But even more
numbers of Shia Kurds as well as
politically
divisive has been their
competing Islamic mystical orders. Notably, the Barzani family
ciated with the Nakshibandi, while Jalal Talabani
is
asso-
comes from a family deeply involved
in the Qadiri order. In fact, this religious-cum-tribal organization increases the likeli-
hood
that the aspirations
Beyond
of any leader would meet opposition from traditional
rivals.^
an even more serious obstacle to national unity
internal fragmentation,
has been the division of the Kurdish core area between Turkey, fraq, and Iran, with smaller communities in Syria, Armenia, and Lebanon. First
World War assured
should they
try to
The borders drawn
the collective opposition of the states in
assemble a
common
front to seek greater autonomy.
time, the need for international support encourages
with neighboring governments, even
if
Kurds
in
after the
which Kurds
one country
At
reside,
the
same
to cooperate
those regimes repress Kurds at home.
A further impediment has been the fact that Kurds form but a minority the countries of their residence. In Turkey, where today
somewhat over
in all
of
ten million
people of Kurdish origin reside, they are outnumbered five or six to one by the Turkish majority, although that ratio
is
diminishing as the birthrate of the Kurdish
population exceeds that of the surrounding Turks. Iran
and the four million
in Iraq
The some
six million
Kurds
in
form about 10 percent and nearly 25 percent
respectively of the population of these states.^
These circumstances strongly color the history of the Kurds
in the twentieth
century. But in addition, the particular problems they have faced in each state of
residence have affected their chances of achieving greater self-rule.
In Iraq
Iraq
is
where the Kurds have gone
can account for
farthest
their greater success in a
toward determining
their
number of ways. But
own
fate.
the factors
One
which
Whither the Kurds?
207
have had the greatest influence are ones for which the Kurds themselves are not directly responsible.
Key power in
of the Kurds in Iraq has been the fluctuations of
to the relative success
Baghdad regime and the number and strength of the distractions that have diverted it from stamping out Kurdish insurrection. When their attention could be focused single-mindedly, Baghdad regimes have normally had the military muscle to impose more or less complete control. But the eight-year war with Iran the
and the disastrous Gulf War against the international States in particular, drained
against the Kurdish population, at a time
Saddam the
when
the world
community was aroused by
Hussein's bellicosity, sparked a humanitarian intervention that today affords
Kurds of Iraq protection and a measure of autonomy.
Kurds
by the United
coalition, led
Baghdad's power. Moreover, the draconian measures
will fare
when
hand
the international
is
It is
how
uncertain
these
removed.
Second, the Kurds in Iraq benefited from being concentrated in a single area with depth for retreat and maneuver. In that they differ from the Kurds in Iran,
whose
long, narrow area
is
open
to penetration
by outside
forces. It contrasts with
the distribution of Kurds in Turkey in both the west and the southeast of that country,
leaving no one compact area embracing a majority of the Kurdish population. result, local insurgent leaders in
their
a
homeland. Finally, the
Kurds of northern Iraq might not have been positioned
advantage of international support standing tribally led insurrection. inclusive
And
As
northern Iraq have had greater ability to remain in
movement, the
tribal rebellion
Even though
the tribe does not promote an all-
chieftain structure did offer leadership of
was a
familiar
to take
they had not been the beneficiary of a long-
if
mechanism, tapping
armed and
into strong
fighters.
relatively
unquestioning loyalties.
The
fact that tribal rebellions
northern fraq also efforts
to resist
was
significant.
had gone on
Though
Baghdad's control contributed
Barzanis. That broadened the
movement,
in
every decade
this
century in
repeatedly unsuccessful, the persistent to the
fame and
stature of the
known
as well as offering outsiders a
address to which aid could be provided. Traditionally restive, the First
World War.
When
Kurds of northern Iraq
the Iraqi
resisted British rule after the
monarchy backed by the
British sent the
suppress continuing Kurdish agitation in 1945, Mulla Mustafa Barzani, leader of this tribe, fled with a group of followers to Iran.
Kurdish Republic of Mahabad
in 1946,
he and his band made
On
army
now
to
the
the collapse of the
their
way
to the
USSR
where they were maintained by the Soviet government.'' Mulla Mustafa's departure assured until
Abdul Karim Qasim overthrew
that northern fraq
the fraqi
monarchy
would be in 1958.
relatively quiet
At
that time, the
Barzani chief returned to fraq with his followers. But Qasim followed the traditional policy of divide and rule against the Kurds. Granting legal status in 1960 to the
Democratic party of Kurdistan (KDP)
—of which Mulla Mustafa was
titular
head
Global Convulsions
208
he
at
same time encouraged
the
and Baradost
the Zibari
pursue their
tribes to
traditional rivalries with the Barzanis.
Mulla Mustafa led a
In response,
revolt in June 1961.
even supported actively by the small group of
who had been
radicals
But
cit\'-bred.
at first
he was not
detribalized Kurdish
KDP. They objected to his tradiThus throughout
the guiding light of the
donalist approach and favored radical socialist solutions instead.
1962 the radicals maintained a separate idendty. eventually establishing rival front in
which
Jalal Talabani
was a leading
Sulaimaniya to the southeast of Barzani's
Unhappiness
oun
territor\'.-
end the Kurdish revolt may ha\e been one
failure to
him
to oust
in Februar>' 1963.
But
the
Baath party regime which ran Iraq for the next nine months wsis also unable
settle itself finnly
Significandy, that
Qasim's
motivadng powerful army factions
factor in nev,
at
their
figure in the rugged area around
won
it
enough
was
in
internal
power
to reestablish full control of the
Kurdish
to
area,
weakness of the Baath regime rather than Kurdish arms
the day.^
The
who dominated
brothers
.\rif
tradidonal
mix of
Iraq
for
the
next five \ears
used the
conciliation and coercion to deal with the Kurds. Their offer of a
1964 reinvigorated long-standing differences between the
ceasefire in Februar\'
Barzanis and Jalal Talabani. \Mien the
latter
accused Mulla Mustafa of selling out by
ending the fighting without a specific promise of autonomy. Barzani expelled the Talabani group by force."
This period saw the emergence of a
new
factor: the
in\olvement of Iran
in
supporting the Kurds as a countenveight against the Baghdad regime. The flow of Iranian
weapons into northern Iraq evened the contest somev\hat. leading to a which Kurdish forces could not descend from the hills while the army
stalemate, in
was bound
to the
main roads where armor could deploy. Unable
Arif offered a 12-point peace program in June 1966. amnest>-, reparations, and
some form of
It
decentralized administration. But before this
could work, the Arif regime collapsed following the Arab defeat
War
with
to prevail militarily,
provided for elections.
in the
1967 Six Day
Israel.*
The incoming Baath regime had pursuing a militar> option. Hence the
peace plan
in
March
also granted the
to consolidate its
new
rulers offered
grasp on power before
Mulla Mustafa a 15-point
1970, providing considerable autonomy for northern Iraq.
Kurds assured representation
in the
It
executive and legislative bodies
of the central government, and pledged the rapid economic development of the
Kurdish region. Moreover,
weapons
this
compact authorized the Kurds
to
keep
their
heaxy
for a four-year u^insitional period.'
The 1970 agreement marked the From this pinnacle, Kurdish fortunes overcame
its
internal divisions
dominant force isolation in the
in Iraq.
high point
in
autonomy won by
the Kurds.
declined precipitously, as the Baath regime
under Saddam Hussein,
who was emerging
At the same time, the Baghdad regime was able
Arab wodd and
year Treaty of Friendship
to strengthen
in April 1972.'
its ties
with
Moscow by
to
as the
end
its
signing a 15-
Whither the Kurds?
209
Meanwhile, Mulla Mustafa could do little to bolster his forces. The shah kept Kurds supplied only enough to take a toll on Iraqi forces, but not to the point of asserting independence. American support, extended at the shah's request, was the
$16 million in military aid, a drop in the bucket in relation to what the Kurds would have required to hold off Iraqi forces and shoot down the advanced warplanes which the USSR had supplied to Baghdad." By 1974 when the Baath regime judged that the time was ripe for a renewed limited to
offensive, the tide of battle quickly turned against Barzani. For the
a fully determined, well-equipped military operation.
unwilling to
commit
Boumediene's
The
resulting
first
March 1975 Baghdad government.'^ Algiers Accord effectively ended
work out
to
supporters fled to Iran.
He
the Barzani insurgency. Facing
Cut off from the outside world, those Kurds
in 1979.
Saddam Hussein Kirkuk
oil field
Baghdad reimposed
then sought to clinch his hold for
tribe
number of
his
then proceeded to Washington for medical treatment,
Iraq surrendered en masse. Within days
thousands of Barzani
was
a comprehensive
a hostile Turkey to the north, Mulla Mustafa, his sons, and a
where he died
time he faced
his Iranian ally
regular forces to the combat. Instead, the shah accepted Hayri
offer of mediation in
settlement with the
And
members
to southern Iraq;
its
all
left in
northern
control.
time.
He
transferred
he had Arabs brought into the
region on the border of the Kurdish area. In addition, a strip along
the Iranian border
was depopulated and
security forces
were beefed up. To dampen
formed a sham "Kurdistan Autonomous Region" in Dohuk, Sulaimaniya provinces, but gave it no decisionmaking authority.'^
opposition, he
1979 and the
Iran's clerical revolution in
start
Irbil,
and
of the Iraq-Iran war the following
year revived Kurdish activity in Iraq. Iran again offered help to the Kurds against
Saddam's regime. This Iranian activism came
down
its
as
Baghdad was seeking
to
draw
security forces in northern Iraq to use in the fight against Iran. In the effort
Saddam Hussein offered the KDP Masoud refused, he turned to Jalal
to assure the loyalty of the Iraqi Kurds, therefore,
concessions.
And when
Barzani's sons Idris and
Talabani and his Patriotic Union of Kurdistan party (PUK). This divide-and-rule kept the PUK and the KDP apart, although Saddam Hussein eventually backed away from an accord with either. The Kurdish area in Iraq was only a sideshow in the Iran-Iraq war, but Iran did succeed in occupying some small border strips in the vicinity of Haj Omran during almost all of this war. From this base, the Iranians established continuing contact
tactic
'"*
with the Barzanis and eventually with Jalal Talabani, a collaboration which the
Baath regime would not forgive. In response,
Saddam Hussein launched
the so-called "Operation Anfal" (the
term for Qur'anically permitted spoils of war).
It
involved vigorous efforts to
eliminate opposition by abducting and killing Kurds as well as razing their villages, especially along the Iranian and Turkish borders. After Iran occupied the border
town of Halapja with help from
the local Kurdish population in
used poison gas against the inhabitants.'^
March 1988,
Iraq
2
Global Convulsions
1
The brutality of this attack had lasting effects. It prepared the lcx:al population when such weapons were again used and it reinforced the inclination of the Kurds in Iraq to seek outside protection. Thus when Saddam Hussein launched an all-out assault on the Kurds in August 1988 after the war with Iran was over, again to panic
using poison gas, large numbers of Kurdish civilians and guerrillas were stampeded into flight to Turkey."
International protests against this savagery
were
ineffective during the period
before the invasion of Kuwait in August 1990 set off the Gulf War. In the absence of international sanctions,
the
Saddam Hussein saw no reason
demographics of northern Iraq by a second Anfal.
indicate that 50,000
Kurds were
of Baghdad's assault the previous
year.
Iraq's
Kurds
Thus not
had taken advantage of the disruption of
still
reeling
until after the
from the
brutality
Shia of southern Iraq
Iraqi security to revolt in
March 1991
did
supporters of Jalal Talabani began a similar uprising in the
north. Yet because this insurrection
Saddam Hussein was
change
government documents
killed in these operations.'^
The Gulf War of 1990-1991 found
Masoud Barzani and
to stop attempting to
Iraqi
came
after the
Shia revolt was mostly crushed,
able to shift his troops back to the north, where they rapidly
regained control.'^
A new wave of refugees—^perhaps numbering a million and a half—poured out of northern Iraq into adjoining Turkey and
Iran.
The
plight of the
Kurds aroused a
powerful surge of international sympathy as the media publicized the tragic suffering of
women and
situation
children displaced in the mountains. This time the international
was favorable
resolution
for action.
On April
5,
1991, the
specifically the Kurds.
To enforce compliance,
security zone around the
which Iraqi central governmental authority was was imposed from the 36th parallel to the Turkish alleviate
And
some of the
A "no-fly"
where
zone also
Iraqi aircraft
were
was begun
to
suffering of the Kurdish population.'^ this international pressure,
ulars gained control of Sulaimaniya
all
prohibited.
border,
up a
their hinterlands
a relief operation. Provide Comfort, based in Turkey
Taking advantage of
Saddam
his minorities, including
the international coalition set
towns of Zakho, Dohuk, and Amadiya and
in
forbidden.
UN Security Council issued
688 enjoining Saddam Hussein from mistreating
in the south.
And
by July 1991, Kurdish
irreg-
with the onset of winter 1991
Hussein's forces pulled back to more defensible positions, leaving almost
the Kurdish-inhabited area outside of Baghdad's control.
These
lines with
minor
modifications have marked the extent of Saddam's authority ever since. After the Kurdish leaders held unsuccessful negotiations with the Iraqi regime in the spring
of 1991, Baghdad imposed an economic blockade on the north. That
galvanized the
KDP and PUK
to create a popularly elected
the area under their control. Accordingly, in
May
governing authority for
1992 an election was held
in
northern Iraq under universal suffrage in the presence of international observers for a
parliament to provide an additional measure of self-rule for the Kurdish region of Iraq.^'
Whither the Kurds?
211
While many observers had expected the Barzanis to win a majority in this ended up evenly divided between the KDP and Talabani's
election, the delegates
A government
PUK.
drawn from
the
was formed from these two parties under a "prime minister," to avoid a possibly damaging leadership contest, the two
PUK. And
leaders then agreed to share power rather than face a run-off election for president. Even that expedient could not prevent periodic friction from erupting between the two groups.
Formation of
this
government complicated the regional
relations of Iraq's
Kurds. Statements in October 1992 advocating a federated Kurdish state within a
democratic pluralistic Iraq seemed close to a de facto declaration of independence to Turkish
officials. In
gathered in the reiterate their
first
November, the foreign ministers of Turkey, of a series of meetings to condemn
unwavering opposition
this
Iran,
and Syria
announcement and
to Iraq's partition. Nonetheless,
Turkey con-
tinued regularly to extend permission for the Provide Comfort operation from
its
territory.^'
A subsidiary PKK,
problem for the Kurdish front
conducting insurrection. The
PKK
in Iraq involved relations with the
which had since the mid-1980s been
the organization of Kurds in Turkey
had periodically used bases
in northern Iraq to
attack Turkish security forces and village guards in the eastern provinces. That
boosted Turkish fears that autonomy for Iraq's Kurds would stimulate separatist tendencies in Turkey.
To dampen such concern,
the Iraqi Kurdish front
with the Ankara government in 1991, while curtailing
PKK
opened
freedom of
talks
action. In
PKK cut relief supplies for a time to northern Iraq.^ of 1992 relations between the PKK and the Kurdish front in Iraq had deteriorated to the point that the KDP and PUK began military operations against the PKK bases on the Iraqi side of the border with Turkey. Shortly thereafter, the Turkish armed forces moved across the border to hit the PKK bases from the north. That two-pronged attack impelled the PKK forces to surrender to their
response, the
By the late fall
Kurdish confreres and agree
to
go
to
camps near Sulaimaniya, well away from
the
border with Turkey.^
The need
not to appear as a separatist
movement
also
to intensify cooperation in the Iraqi National Congress,
loosely representing Iraqi
Arab and Kurdish opposition
emphasize the pan-Iraqi nature of Iraqi National
Congress
change the regime
in
in
September 1992
to
in northeastern Iraq to concert efforts to
Saddam Hussein
by challenging the exclusion zones
failed, the Iraqis shifted to efforts to scare
to test the resolve
in
UN
January 1993.
caused conditions to deteriorate
privation
was
further
in the
of the
When
UN
coali-
these tactics
and nongovernmental personnel
servicing northern fraq. Moreover, by tightening the existing Iraqis
Saddam Hussein. To
Kurds hosted a meeting of the
Baghdad.^
This activity helped spur tion forces
their activity, the
pushed the Kurds of Iraq an umbrella organization
economic blockade, the
Kurdish enclave
in the north.
Economic
deepened by Baghdad's sudden demonetization of the widely
212
Global Convulsions
May
circulated Iraqi 25-dinar note in
redeem
this currency.
1993, without allowing those in the north to
And Baghdad permanently
cut off electric
summer of 1993.^' Such moves increased Kurdish dependence on
power
to part of the
north in the
time, Iraqi pressure
outside protectors.
dramatized the dangers to the Kurdish enclave
support should be withdrawn, and carried the message that
no means given up Iraqi control
his intention to bring the
Kurds
if
At the same international
Saddam Hussein
in the north
has by
back under direct
whenever circumstances permit
In Turkey
Kurds
in
Turkey faced special problems which assured
relative proportion of the population,
would be
numbers or
easy.
well to begin by observing that the Kurds have been primarily on their
It is
in
that, despite their
no movement for autonomy or independence
own
their quest. Suspicion voiced by Turkish authorities of massive Soviet encour-
agement
for Kurdish dissidence in eastern
Turkey
in the
1970s apparently relied on
PKK's Marxist approach with "communist" foreign powers. While may have been some Soviet involvement, PKK founder Abdullah Ocalan has
associating the there
denied receiving support from
Moscow and
stressed the hostility of the Turkish
Communist party to his movement.^ The only significant international support for Kurds in Turkey has come from Syria. The Damascus government's long-term willingness to allow bases for the
PKK in
territory
one can
tell,
under Syrian control has been a thorn
in
Turkey's side; yet as far as
Ocalan has not been a Syrian puppet, but has maintained a
fair
degree of
independence. The Damascus government has not engaged in training or military supply arrangements of the sort that the Iraqi Kurds received from various Iranian regimes. Unable to procure heavy weapons, Turkey's Kurds have operated as guerrilla bands.
Although the paucity of foreign support played a
were also a major determinant of place, the
than
Ankara
authorities
Baghdad was
for
its
the inability of
were
all
Kurds
part, conditions in
to gain
Turkey
autonomy. In the
first
along a more powerful foe for Turkey's Kurds
Kurdish population. The Turkish government had the
resources to control the large expanses of often difficult terrain where Turkey's
Kurds
lived.
Furthermore, the Ankara regime removed
tribal leaders for
extended
periods of internal exile. Well-known and visible rebels were unable to remain on the
ground inside Turkey. As a
result,
those
who
today are fighting the government lack
a fixed address to receive support from abroad and must stay on the move.
Unlike the Iraqi regime, the Ankara authorities did not face direct international intervention to restrict their freedom of action. Amnest>' International and other
human
rights organizations
have condemned Turkey's handling of
its
Kurdish popu-
Whither the Kurds?
But
lation.
their
organizations jail
those
words have had limited impact. And for decades before such
came on
the scene, the Turkish
suspected of dissidence.
it
As
government had been
free to execute or
a result, each insurrection of the 1920s and
No
1930s was led by a different personality.
Mustafa Barzani
military leader
comparable to Mulla
emerged inside of Turkey.
in Iraq
After the failure of traditionally based rebellion in the
first
two decades of the
Republic, Kurdish dissidence has been focused, not on the tribe with well as weaknesses, but around the loose Marxist ideology of the
PKK
was dedicated direcdy
against tribalism,
Turks. Although that has not stopped the
Kurds
213
it
more of
PKK to gain
strengths as
the
victims were Kurds than
its
from enjoying prestige and support among
in Turkey, this opposition to the traditional
cated the ability of the
its
PKK. Because
power
structure has compli-
a political voice in Turkey's democratic system.
Up to now it has operated more as a terrorist organization than as a political party.^^
A major problem lation,
which worked
for the to
Kurds
in
Turkey was the Kemalist policy of assimi-
deny a separate
identity to Kurds. Intermarriage
persons of Kurdish and Turkish background has been
Turkey's top leaders had Kurdish roots (the
Moreover, the Turkish
political
relatively unassimilated unitary, secular state.
late President
Turgut Ozal, for example).
system in practice offered a share
Kurds as long as they paid
in
power even
lip service to the principle
Thus over a quarter of the deputies
elected officials in the southeast are
between
common; even some of
in Parliament
to
of a
and most
now of Kurdish extraction.
Yet the Turkish republic gave no quarter to Kurdish efforts to gain autonomy or independence. Mustafa Kemal Ataturk in 1919 quietly ordered his followers "to
proceed
in
such a manner as to destroy the possibility of a separatist movement by
the Kurds."
But
order to assure
at the
same
time, he
wooed
the powerful Kurdish tribal leaders in
maximum support for the Turkish
struggle for independence.^
His second-in-command, Ismet Inonu (often thought to have been of Kurdish ancestry because he
was bom
in Malatya),
much
"government of the Kurds just
as
Lausanne Peace Conference
that
as the
spoke of the Ankara regime as the
government of the Turks"
at the
gained international recognition for
1923
modem
Turkey. This assertion, however, was intended to buttress claims to territory around
Mosul inhabited primarily by Kurds and carried no implication that Ankara would countenance autonomy for the Kurds. ^^ Once the Republic was established, the Kemalist regime embarked on secularizing, nationalist
leaders.
revolted in
reforms that appeared to threaten the interests of major Kurdish
was not surprising that the Nakshibandi tribal chief. Sheikh Said, 1925. While Said's insurrection became increasingly tinged with Kurdish
Thus
it
nationalism at the end, his
movement
Turkey. Even though
the
down
it
was
did not attract the majority of the Kurds in
most widespread
revolt that Ataturk faced,
it
was put
in short order.^
Ataturk
moved
equally to quash revolts of Kurdish tribal elements near Mt.
Ararat in 1930 and in Tunceli (previously
known
as
Dersim)
in 1937.
These
insur-
214
Global Convulsions
rections
were limited
to only part of the
Kurdish population, particularly as the
protagonists in Tunceli were the principal Shiite group
among
Sunni Kurds of Turkey. The
failure of this latter effort
ended the
phase of the Kurdish question
in
tribal rebellion
Turkey.
assure that further Kurdish revolts would not occur, the Ankara authorities
To imposed country.
the predominantly
stricter administrative controls
A
was made
consistent effort
over eastern Turkey than to
disarm the
Some Kurdish
stationed throughout this area.
removed from the troubled region. Railway
tribes
lines
and especially
were
in the rest
of the
and gendarmes were
tribes,
their leaders
were
government
built to facilitate
movements on an east-west axis separating the rugged provinces bordering on Iraq from the somewhat more open steppe of the northern tier of the Kurdish region. And the use of Kurdish was prohibited in education or publications. troop
new
After multiparty politics began in 1946, the Kurdish issue took a
Although barred from
measure of
political
were allowed
separatist agitation, tribal leaders
power and patronage by running
where they could defend
major parties vied for the
vote of their constituencies by putting them on their candidate
While
lists
the system could tolerate exploitation of the Kurdish
Labor party
the major parties, the efforts by the Turkish nationalist sentiment
was seen
to
for Parliament.^'
power
structure
to return to
Inonu's Lausanne formulation that Turkey was a country of Turks and Kurds in
program adopted in
mid- 1971;
its
in
November
leaders, both
This brief attempt
by the
terrorist,
on behalf of Kurdish
clandestine operations of the in
1977
in
PKK,
interests
radicalized him.
organized by the Kurdish
Ankara. His feelings of grievance
Soon recognizing
left-wing organization of Kurds,
first
the
power of
ethnicity,
the
intel-
at difficult
at the univer-
he began building a
with intellectuals, but then with activists of a
similar disadvantaged background. Fearing arrest, he
Turkey and by
terms.^-
was succeeded
family experiences in childhood, reinforced by slights as a provincial sity,
its
was summarily closed
Kurds and non-Kurds, were given lengthy jail
at legal activity
Abdullah Ocalan,
lectual,
1970, the Turkish Labor party
by
pander to Kurdish
For the temerity publicly
as a provocation.
assembly
for the national
their local interests. In fact, the
form.
to enjoy a
end of 1979 he fled
to Syria.
He
left
Ankara
for southeastern
has not thus far been able to
return." Starting in 1984, Ocalan sent followers back to
power
structure
Turkey
and Kurds cooperating with the Turkish
state.
to attack the tribal
Some
of these raids
PKK
this violent
camps on Turkey's border with Syria and Iraq. Over time, defiance of Ankara gained a measure of acceptance among Kurds in
Turkey.
part,
were staged from
In
that
may
reflect
handedness. Yet his direction of the suppc:)rters
PKK
whom
PKK
is
against central
government heavy-
autocratic; he has regularly expelled
he believed had crossed him.^
agitation helped
tions, leading to a
were passed
reaction
provoke the Ankara regime to tighten cultural
worsening human
rights
environment for Kurds
further restricting the use of Kurdish in any of
its
in
restric-
Turkey.
varieties.
And
Laws
in April
Whither the Kurds?
215
1990, a decree gave the regional governor of southeast Turkey extraordinary authority to censor the press, exile those
who
"act against the state," control unions,
"^^ and evacuate villages "for security reasons.
These measures aroused deep well as generating a
Europe.
A
wave of
dissatisfaction
among
the Kurds in Turkey as
protest in the burgeoning Kurdish
community
in
group of Kurdish deputies from the Social Democratic Populist party
publicly took part in a Kurdish emigre gathering in Europe in 1989.
When
they were
expelled from that party for attending, they formed the People's Labor party (HEP),
which was tacidy accepted
new body
as a purely Kurdish organization. Recognizing that this
did not meet the criteria to be able to enter national elections in October
HEP's leading members rejoined
1991,
the Social Democratic Populist party.
they gained seats in this way, they returned to their breakaway party
when
government launched large-scale military operations against dissidents
Once new
the
in eastern
Turkey.^ Yet the regime's approach toward the Kurds was becoming ambivalent. In 1991, just while violence was rising in the Kurdish areas of the southeast, steps were
taken to acknowledge Kurdish identity and to ease restrictions on the use of the
Kurdish language
in publications.
And
ship regulations and ended authority
to
in
June 1992, the government
lifted
censor-
ban "potentially disruptive" elements from
the region."
Nonetheless, these steps did not ease the conflict. Although in conjunction with the
March 1993 Nowruz
holidays Ocalan declared a unilateral ceasefire,
a brief respite. After his followers ambushed Turkish troops
Ocalan formally withdrew the "ceasefire"; in
Turkish installations
in
latter activity
Turkey generated
surge of sympathy.
it
gave only
end of May 1993,
month a rash of Kurdish
sit-ins
across Europe signalled an impressively organized chal-
all
lenge there as well. But this travelers in
later that
at the
Toward
and sporadic kidnappings of European
ill-feeling against the
PKK
Europe rather than a
in
amid renewed PKK-inspired incidents
the end of 1993,
Europe, France and Germany took action to ban the PKK.^* Concomitantly, the Turkish government redoubled
PKK
in eastern
Turkey with military
force.
its
That was a
system of village guards organized by the government
efforts to
tacit
combat the
admission that the
in southeast
Turkey
in the
PKK raids had not succeeded. Formed from tradiof the PKK militants, this force had a vested interest in
1980s to protect villages from tional
Kurdish opponents
continuing the battle even
armed
if
the
Ankara government wished
to
move away from
conflict.^^
Resumption of armed
conflict did not
end
efforts at legal activity
by Turkish
Kurds. The People's Labor party, which appeared likely to pass the elective hurdles erected to keep small parties out of Parliament, tutional
Court
in
was banned by
the Turkish Consti-
mid-July 1993 for espousing separatist causes. The successor
Democracy party, to which eighteen Kurdish deputies defected from HEP before it was closed, also ran afoul of the law, being succeeded in turn by the People's
216
Global Convulsions
Democracy
party with a dwindling parliamentary representation.
Thus
legal activity
continued to be compromised, even though newly installed prime minister Tansu Ciller in July 1993
made
clear that she favored lifting prohibitions against state radio
and television broadcasts unwilling to
move
Kurdish.
in
The Turkish Parliament, however, has been
in that direction.""
In Iran Facing an Iranian revolutionary regime that has an extremely
human the
rights
and believes
Kurds of Iran are
that
its
many
in
restrictive
view of
minorities are an integral part of the Iranian nation,
respects further behind their fellows in Turkey and
Iraq in terms of political power. In the first place, geopolitical factors
were not favorable
Their area had few attractive natural resources, seemed of outsiders,
to the
little
Kurds of
and lacked a large or educated population base. Furthermore, the
Kurdish concentration around Kermanshah was Persianized and
As
than other Kurds in Iran.
less revolutionary
—
—
efforts to bring
meant
Iran
and
that the
Kurds
in Iraq
paramount leader who could operate for long inside of
the short period
when
unable to gain significant foreign
the Soviet
Union dominated northern
when the Iraqis were at war with Iran did foreign connecEven then foreign help was neither generous nor reliable.
to a lesser degree
tions play a
A
same kind of challenge
that they were, with brief exceptions,
Only during
support.
alone
presented."*'
In addition, the lack of a Iran
let
Tehran to grant the Kurds autonomy. In Iranian
national terms, they could not pose the
and Turkey
largest
a result, only a minority of Iran's Kurds (or less than 5
percent of the total population of the country) actively sympathized with participated in
Iran.
strategic value to
major
serious
their lack
role.
drawback
to
pursuing a military strategy for the Kurds of Iran was
of experienced military commanders. During the
first
half of the twentieth
century that deficiency was camouflaged by the general weakness of the central
government's military apparatus and the wariness of the shahs
many
tribal
confident of besting any or
A
related
Kurdish
to confront
any of the
groups outside the Kurds as well. But by the 1960s the government
problem
all its tribal
lay in the
tribal areas in Iran.
of white collar jobs
in the
exodus of the most talented elements from the
Absence of adequate educational
Kurdish area promoted
these Kurds from those they
left
felt
opponents.
facilities
this outflow.
behind and meant that their
and the lack
That both estranged
skills
were not generally
available for Kurdish causes at home.
Other more mundane considerations also militated against cohesion.
Many
observers have pointed to the strong mutual antipathy of Kurds from the north
toward those of the south. Also political parties that
in Iranian culture, there
was no
tradition
of inclusive
would bring together uibal and deuibalized elements. And
it
Whither the Kurds?
was
more
the
radical elements within the Kurdish
community
in Iran that
organize; the bodies they formed espoused social doctrines that
seemed
217
sought to to violate
mores. That served to estrange party and tribe and thus to keep the Kurdish
tribal
community of Iran divided
in
purpose/^
Taking advantage of the breakdown of central authority
World War, Kurdish
tribes led
briefly as independent lords of the
Mahabad
area near
government reasserted control over the
central
Simko's move quickly collapsed. disarm the
tribes
in Iran after the First
by Ismail Aga Simko managed
By
to set themselves
Lake Urumiyah. But
up
after the
of Persian Azerbaijan in 1922,
rest
1930, Reza Shah even
was able
partially to
.^^
In the interwar period, Tehran attempted no consistent drive as the Turks did to
break up Kurdish
tribal organization.
Although Reza Shah's regime did not permit
Kurdish to be used as the language of education or government,
books
Iranian experience in
it
did allow Kurdish
be printed and Kurdish programs to be broadcast on the radio. Thus, the
to
Turkey
formed a middle way between the absolute denial of Kurdishness
until recent
times and the periodic grants of greater autonomy to Kurds in
Iraq.
With the occupation of Iran by the Soviet Union during the Second World War, Under Moscow's protection,
the situation of the Kurds changed significantly. detribalized
Kurds
in
Mahabad
in
1942 took the
initiative to
organize the Komala, a
local organization dedicated to promoting Kurdish separatism. The following year,
Qazi
Mohammad,
the paramount religious figure of the region, began to agitate for
formal recognition of Kurdish autonomy. Early in 1946, with Soviet help, Qazi
Mohammad proclaimed the Kurdistan Autonomous Republic in Mahabad.'"
A hastily
constructed
state,
based on an uneasy coalition with the local
chiefs and Barzani's Iraqi refugees, this Republic also suffered territorial conflict
from a
tribal
built-in
with the Azerbaijan Democratic Republic. The crucial blow to
Mahabad, however, was the withdrawal of Soviet forces
in 1946. In the
absence of a
strong foreign protector, traditional interests reasserted their primacy. Kurdish tribal leaders agitators
were disturbed by the communist orientation of some of the Komala and a coalition of tribal chiefs offered
their
submission to
Tehran.'*^
With the collapse of the Mahaban republic and the execution of Qazi Moham-
mad and
his closest collaborators, the
Mustafa and five hundred followers Kurdish dissidence once and for
Corps of the Iranian army
all,
Komala
the
wing of the Komala party
Democratic party of Iran (KDP-I) modified for Iran's
And hoping
to
end
government stationed the well-armed Third
in the region.
In these circumstances, the
autonomy
party went underground. Mulla
fled to the Soviet Union.
its
that
became
the Kurdish
aims and began to seek merely
Kurds within an Iranian democratic
state.
But conditions
in Iran
KDP-I moved to northern Iraq under Barzani's aegis. That collaboration, though, was disrupted after the shah developed close relations with Mulla Mustafa in the late 1960s. Then except for were so
difficult that after
Qasim took over
in Iraq, the
218
Global Convulsions
agitation
from sanctuaries
Europe and northern
in
Iraq, the
KDP-I became
largely
dormant.^ Conditions of exile fed squabbles within 1964, under Barzani's protection, the party
committee members
tried to set
At
this party.
split.
its
second Congress
Younger and more
up a liberated area
in
radical central
Sardasht region of Iran in
in the
They were soon killed or captured. That opened the way for the Europeaneducated Dr. Abdul Rahman Ghassemlou and a group of supporters to take over party leadership in June 1971. But unable to work from Iraq, the party remained in 1968.
virtual hibernation.''^
when the ground for the KDP-I in Iran was progressively The Tehran regime made significant gains in the Kurdish region as
This was a time deteriorating.
elsewhere by expanding the road system and spreading social services into the rural areas.
Land reform won peasants
to the central
government and weakened
tribal
organization. In this situation, the stringent security measures effectively deprived the Iranian
Kurds of
potential for causing Tehran serious difficulties as long as the
Pahlavis were in power.
The breakdown of renewed
authority in the last days of the shah, however, led to
agitation in the Kurdish areas.
mous Kurdish province
Demands
for the formation of an autono-
out of the three existing Kurdish provinces and a freely
elected assembly began to be heard. There were also signs that the predominantly
Sunni Kurdish population of the north objected to the heavy emphasis on Shiism as the basic rule of law in Tehran.** In this atmosphere, early in
1979 the KDP-I revived. But Abdul Rahman
Ghassemlou, whose leadership of this organization was now unchallenged, was unable to project a clear
the
KDP-I
program of
proposal of
federative or
action.
March
Moreover, the party lacked
28, 1979, for
autonomous regime was
autonomy of
stillborn.
And by
military'
power. Thus
the Kurdish region under a
the spring of 1979, Tehran
was
able to field newly recruited revolutionary guards to retake the urban areas seized by
The Kurdish forces retreated to the hills.'''* The rebellion sputtered on, with neither side able to prevail, despite the linkup of the KDP-I with a number of small leftist organizations which had passed into
the Kurds.
bitter
opposition
to
the
Ghassemlou declared a
clerical
regime. In an effort to break this stalemate.
unilateral cease-fire in
November 1979 and
entered into
negotiations with the Tehran authorities. But he rejected as too limited the offer of
some form of
decentralized administration.
And KDP-I
election of the president in the spring of 1980; at the
same
supporters boycotted the time, they began to seek
contacts across the border with Iraq.*^
The outbreak of the war with Iraq in September 1980 gave the Kurds of Iran Baghdad offered assistance to the Kurds of Iran as a way to strike a blow at the Tehran regime. But this aid appears to have been pro forma as Saddam Hussein seemed wary of the KDP-I. Nonetheless, until 1983. Ghassemlou and his party were able to hold much of the northwest comer of Iran. They also fought off
new
opportunities.
Whither the Kurds?
more
the small,
Komala branch which had
radical
peasants against their
219
resurfaced in 1979 to organize
landowners around Marivan to the south of the main KDP-I
region.^'
After Iran began to score successes in fled to Iraq. In 1985 his party split
its
from the
war against
zation, the National Council of Resistance, led
up camps on remained
been Tehran's
was assassinated
agents in July
by the People's Mojahedin, and
set
from those of the Mojahedin. Ghassemlou
Iraqi soil quite separate
in exile, but
Ghassemlou
Iraq in 1983,
Iranian umbrella exile organi-
leftist
in
Vienna by what clearly seems
to
have
1989 during further negotiations with representatives of
the Iranian regime.^^
The end of the Iran-Iraq war allowed the Tehran government to regain control of But while the KDP-I responded to this setback by insisting that it
all its territory.
sought only autonomy for Kurds within the Iranian
state,
"to topple the clerical regime" as well as to "establish
Those goals were
it
made
clear that
clearly not acceptable to the Rafsanjani regime.
therefore, negotiations with Ghassemlou's successor, in the latter's assassination
it
democracy and national
Not
aimed
rights."
surprisingly,
Sadegh Sharafkandi, also ended
by agents evidently working
for the Iranian state in
September 1992."
With
its
freely with
own Kurds thus
Kurds
forcefully repressed, the Tehran regime
The long-term
in neighboring states.
and Talabanis of Iraq continued wrinkle. Starting in
November
its
was able
to deal
relationship with the Barzanis
on-again, off-again character, but
now
with a
new
1992, Talabani charged the Iranian government with
supporting a rebel Kurdish group bent on disrupting the power balance in northern Iraq and sending agents to conduct sabotage. his relations with Tehran,
At and
the
KDP
same
which he
visited in
Masoud
Barzani, meanwhile, repaired
October 1994.^
time, the question of sanctuary for
PKK militants
fleeing Turkish
forces operating in northern Iraq began to rile Turkish-Iranian relations.
The Turkish
press carried stories that these
PKK
elements were allowed to use
Iranian facilities for safehaven to prepare for eventual return to guerrilla warfare in
Turkey. Although the Iranians and Turks seem to have reached an understanding on this
matter by 1994,
it
remained on
their
agenda
in the mid-1990s.^'
Prospects For Kurdish Separatism
The
taste
of autonomy that the Kurds in Iraq have had in recent years has
encouraged the whole Kurdish people
to
want permanence
in controlling their
own
affairs.
Such permanence can come only with a broadening of democratic procedure
in the
region that they inhabit. Force of arms cannot be the long-range solution.
Neither the Kurds themselves nor outside powers seem likely to be able to compel the collection of central governments with rule. In the first instance their future is
which they must contend
bound up with
to grant self-
the future of authoritarian
220
Global Convulsions
regimes
in Iraq
and
Iran.
It is
that
which provides the
essential uncertainty that
Kurds
face.
Iraq and Iran differ significantly in
always considered likely to
Such
individual,
they treat Kurds. is
The
Iraqi leaders
a strategy which
centrally
on
opposed
as
selective assassination to
violence
collective,
to
is
have
most
keep a protected zone for the Kurds
to
on the other hand, while occasionally raiding across
Iranians,
depend more
border,
how
an option. Yet that
muster international intervention
The
alive.
frontal assault
cow Kurdish
is
the Iraqi
opposition.
more hkely
to
avoid
international intervention of the sort that has protected Kurds in Iraq from Baghdad.
And
it
is
likely to
keep the Kurds of fran off balance and
Yet over the longer run, authoritarianism
is
though not
in line,
probably
doomed
in
Pressures for increasing democratization are clearly rising in the region.
breaks it
is
down and world economic
interests entangle
international norms. That does not guarantee a
does suggest that
in
Baghdad
isolation state,
smooth course away from the use of
against their Kurdish populations.
among
it
has periodically broken
the political factions in fraq.
In Turkey,
Kurds the
on the other hand, a democratic structure
is in
place affording the
opportunit}' to share in the direction of the overall state. In fact, if
Abdullah Ocalan
is
be believed, separation from Turkey
to
While Kurds undoubtedly want more freedom of is
But
time Kurds will be able to gamer greater political and cultural
rights. proN'ided that they stop the internecine fighting that
there
As
even the most recalcitrant
hard to imagine that fran and fraq will be removed permanendy from
force by the regimes in Tehran and
out
satisfied.
both countries.
political
is
not a feasible option.
and cultural expression,
a solid base on which to build. Legal activity should offer the most pro-
mising way ahead. Unfortunately, however, armed action can only slow the process.
use of force
in return,
and dims the prospect
ferent ethnic character of Turkey's
Kurds
that increasing
will lead to positive
It
fosters the
awareness of the developments.
dif-
Some
Turkish politicians recognize that a measure of political accommodation with their
Kurdish population
is
desirable, not only for domestic considerations but also out of
concern to assuage European fears This approach has a long
momentum In
way
that help
to
go
to
keep Turkey out of the European Union.
win the day
in
Ankara, but
as a purely military response to Kurdish dissidence
any event, nothing
ethnic recognition and
is
more
likely to self-rule.
dampen
A
is
the underlying
bound
may
gain
to fail.
demand
for greater
step forward could be to have provincial
governors elected rather than appointed by the central government, an idea once
mooted by President Ozal. Such from
traditional practice
violence persists
decentralization
would represent a major departure
and thus may be unlikely
—though
it
—
particularly as long as
would probably be a popular move
in
PKK
Turkish majorit\'
areas as well. Fairer distribution of
economic resources
parts of the region inhabited by Kurds.
More
is
a refrain that will be voiced in
investment, better education, and
all
more
Whither the Kurds?
good jobs
are
on the top of the
of demands for the future, as
list
cation of world judicial norms. But mere improvement the
economic
situation is not likely to
will take considerable political further.
And this insistence will
still
advance
is
221
scrupulous appli-
in living conditions
desires for greater political
to satisfy the general
and
in
autonomy;
it
Kurdish desire to go
undoubtedly be the theme of the 1990s and beyond.
Notes
1.
Mehmet Ali
Birand,
2.
Mehrdad R.
Izady,
APO
ve
PKK (Istanbul:
Milliyet Yayinlari, 1992), pp.
92-93.
The Kurds:
A
Concise Handbook (Washington: Crane
Russak, 1992), pp. 131-62. 3. Ibid.,
4.
pp. 116-20.
William Eagleton, The Kurdish Republic of 1946 (London: Oxford Univer-
sity Press, 1963), pp. 5.
33^0.
Edgar O'Ballance, The Kurdish Revolt: 1961-1970 (Hamden, CT: Archon
Books, 1973),
p. 87;
Edmond
NY: Syracuse University 6.
Ghareeb, 77ze Kurdish Question
in
Iraq (Syracuse,
Press, 1981), pp. 40-41.
Sa'ad Jawad, Iraq and the Kurdish Question (London: Ithaca Press, 1981)
pp. 146-48. 7.
Ismet Cheriff Vanly, Le Kurdistan Irakien Entite Nationale (Neuchatel:
Editions de la Baconniere, 1970), pp. 222-24. 8.
Majid Khadduri, Republican Iraq:
A
Study in 'Iraqi Politics' since the
Revolution of 1958 (London: Oxford University Press, 1969), pp. 274-76. 9.
Keesing's Contemporary Archive, 1970 (Bristol,
UK:
Keesing's Publica-
tions Limited, 1970), p. 23916. 10. Ibid., 1972, p. 11.
25201.
"The CIA Report the President Doesn't Want You
Voice, February 16, 1976, pp. 70, 85-87;
George
Kurds," The Annals of the American
Academy of
September 1977, pp. 121-24. 12. Geoffrey Godsell, "Shah
Why He Made Peace
tian Science Monitor,
May
Tells
7 1975,
to
Read," The Village
S. Harris, "Ethnic Conflict
Political
and Social
and the
Science,
with Iraq," The Chris-
p. 3.
13. Izady, op. cit. note 2, p. 69.
14. Ibid. 15.
"U.S. Cites Evidence of Attacks," The
New
York Times, April 2, 1988,
A6; "Crimes against Humanity and the Transition from Dictatorship Report issued by The Executive Council of the
Iraqi National
to
p.
Democracy,"
Congress,
May
25,
1993, Salahuldin, Iraq-London, pp. 19-20. 16. Elaine Sciolino, "Iraqis
York Times, September
1
,
Reported to Mount Drive Against Kurds," The
1989, p.
Al
New
222
Global Convulsions
17.
A Case of Genocide," A 12-1 7; Genocide in Iraq:
Judith Miller, "Iraq Accused:
Magazine, January Against the Kurds,
1992, pp.
3,
A Middle
East Watch Report
(New
The New York Times The Anfal Campaign
Human
York:
Rights Watch,
1993), pp. 17-18. 18.
New
Elaine Sciolino, "Kurds Alone
March
York Times, 19.
20, 1991, p.
Viewed
No
John Bulloch and Harvey Morris,
Tragic History of the Kurds 20. Michael
M.
(New York: Oxford
TimesJuntS, 1992,
Friends but the Mountains: The
University Press, 1992), pp. 26-31.
and Hope (New York: St. Convene Parliament," The New York
Gunter, The Kurds of Iraq: Tragedy
1992), pp. 59-75; "Kurds
Martin's Press,
Oust Hussein," The
as Unlikely to
A 12.
p.
A9.
21. "Iraqi Opposition Picks Leaders," 772^ Washington Post,
November
1,
1992,
p.A35. 22. Keesing's Record of World Events, 1992 (Harlow, UK: Longman, 1992), p. 39068; Jonathan C. Randal, "Turks Meet With Iraqi Opposition," The Washington
Po5r,
March 23.
12, 1991, pp.
Al, A17.
John Murray Brown, "Rival Kurds Embroiled
Post, October 18, 1992, pp. 24. Caryle
Post,
Murphy, "Opposition Sets Meeting Inside
September 20, 1992, 25.
in Battle," 77z^
Washington
A29, A34.
p.
A29;
ibid.,
James Dorsey, "Turkey Likely
Area," The Wall Street Jounml,
May
May to
1,
Let
Iraq,"
The Washington
1993, p. A4. Its
25, 1993, p.
Lira Circulate in Iraq's Kurdistan
AlO.
26. Turkey, General Secretariat of the National Security Council, 12 in
Turkey: Before and After (Ankara:
Ongun
September
Kardesler, 1982), pp. 176, 247-50;
Majeed R. Jafar, Under-Underdevelopment: A Regional Case Study of the Kurdish Area in Turkey (Helsinki: Sociaalipolittinen Yhdistyksen tut Kinukia, 1976), p. 144; George S. Harris, Turkey: Coping With Crisis (Boulder, CO: Westview Press, 1985), p.
145; Birand, op. 27.
CO: Westview 28.
note
1,
pp. 179-86.
F
in
Turkey:
A
Political
Dilemma
(Boulder,
Press, 1991), passim.
Mustafa Kemal [Ataturk],
(Leipzig: K. 29.
cit.
Michael M. Gunter, The Kurds
Koehler, 1929),
Lausanne.
A Speech
Delivered by Ghazi Mustapha Kemal
p. 109.
Conference on Near Eastern
Affairs,
1923 (London: His
Majesty's Stationery Office, 1923), pp. 345, 375, 396; [Ismet Inonu], Ismet Pasa'nin
1920-1933 (Ankara: Basvekalet Matbaasi, 1933), p. 324. Ugur Mumcu, Kurt-Islam Ayaklanmasi, 1919-1925 (Istanbul: Tekin Yayinevi, 1991), p. 161; Robert Olson, The Emergence of Kurdish Nationalism and the Sheikli Said Rebellion 7889-7925 (Austin, TX: University of Texas Press, 1989), pp. 153-56. 31.Harris, loc. cit., p. 6; /7/w5, December 6, 1960. 32. Emek, December 1970, pp. 7-8.
Siyasi ve Ictimai Nutuklari: 30.
1
33. Birand, op.
cit.
1
note
1,
pp. 79-99; Ismet G. Imset,
The PKK: A Report on
Separatist Violence in Turkey (1973-1992) (Ankara: Turkish Daily tions, 1992), pp. 19-32.
News
Publica-
Whither the Kurds?
34. Birand, op.
cit.
note
pp. 134-64; Imset, op.
1,
cit.
35. Helsinki Watch, Destroying Ethnic Identity:
Update (New York: 36. Keesing's
Human Rights Watch, March
note 33, pp. 83-84.
The Kurds of Turkey: An
1990), p. 13.
Record of World Events, 1992,
Opposition," The Washington Post,
223
p.
38979; 'Turks Meet with Iraqi
12, 1991, p.
Al.
Record of World Events, 1992, p. 37969; Helsinki Watch, The Kurds of Turkey: Killings, Disappearances & Torture (New York: Human Rights 37. Keesing's
Watch, 1993), 38.
p. 42.
Mideast Mirror, March
39. Turkish Probe,
May
May
13, 1993, pp. 23-25;
June 25, 1993, pp. 22-24.
1993, pp. 8-11, as quoted in
11,
FBIS-WEU-93-097 of
21, 1993, pp. 72-74. 40. Ibid.;
Ozgur Gundem, April
27, 1993, p. 6; Mideast Mirror, July 15, 1993,
pp. 21-22; Turkish Probe, September 30, 1994, in
FBIS-WEU-94-195, October
7,
1994, pp. 56-58. 41. Izady, op.
cit.
note 2, pp. 69, 198.
"The Kurds Between
42. Martin van Bruinessen,
East Report, July-August 1986,
Iran
and
Iraq,"
MERIP Middle
p. 16.
43. Hassan Arfa, The Kurds (London: Oxford University Press, 1966), pp.
64-67. 44. Eagleton, op. 45. Ibid., 46.
cit.
note 4, pp.
33^0.
pp. 104-16.
Abdurahman Kasimlu (Mehmet Acik,
Kongere Belgeleri (Ankara: Pekanin, 1980),
translator),
Iran Kurdistani:
IKDP 3.
p. 92.
47. Ibid., pp. 28-29; Chris Kutschera,
Le Mouvement national Kurde
(Paris:
Flammarion, 1979), pp. 344-48. 48.
Van Bruinessen,
49. Kasimlu, op.
cit.
op.
cit.,
note 42, p. 17.
note 46, pp. 40-42.
50. Ibid., pp. 37-39. 51.
Van Bruinessen,
52. Association of
Myths on
the People's
op.
cit.,
note 42, p. 18.
Committed Professors of
Iranian Universities, Facts
&
Mojahedin of Iran (no place of publication: no publisher, June
1990), pp. 11-18. 53.
'The Baluchi People Fight Against Tyranny and Exploitation," Voice of March 24, 1993, as quoted in FBIS-NES-93-057 of
Iranian Kordestan (radio),
March
26, 1993, p. 25; Stephen Kinzer, "Iran Kurdish Leader
Berlin,"
The
New
54. Caryle
Among 4
Killed in
York Times, September 19, 1992, p. 4.
Murphy,
"Iraqi
Washington Post, November
FBIS-NES-94-197, October
2,
Kurds Say Iran 1992, pp.
A 18,
Is
Backing a Rival Faction," The
A20; IRNA, October
9,
1994, in
12, 1994, p. 88.
55. "Turkey: Iran told to check the
PKK," Mideast
Mirror, July 21, 1993, pp.
17-18; Tolga Sardan, "Iran Supports Turkey's Military Operations," Milliyet, 29, 1994, in
FBIS-WEU-94-106, June
2,
1994, pp. 42-43.
May
Partm Nationalism and the Crisis of the Multiethnic/Multinational State
i
11 The Relentless Pursuit of the National State Reflections
on Soviet and Post-Soviet Experiences
MARK R. BEISSINGER The second
condition of permanent political society
existence in
some form or other, of the
loyalty. is
state
to
may
This feeling
always the same;
something which
is settled,
be called in question.
fundamental principles pohtic; and
when
vary in
its
viz. that there
all
.
is
.
.
.
.
.
.
.
[is]
the
feeling of allegiance or
objects
.
.
.
[but] its
essence
be in the constitution of the
something permanent, and not
But when the questioning of these .
the habitual condition of the
body
the violent animosities are called forth,
which spring naturally from such a
situation, the state is virtually
in a position of civil war.
—John Stuart Mill, A System of Logic (1865)
The breakup of the former Soviet Union was more than simply the end of a regime. It was the beginning of an era. When future historians determine the global significance of the chain of events that stretched from 1988 through 1991 in the former
USSR,
they will be as likely to focus on the death of
phenomenal growth
in
nationalist
communism
as
on the
mobiUzation that accompanied communism's
demise and the persisting consequences which
had for the
that mobilization has
rest
of the world. the central
It is
ments
in
and mass
levels,
behaviors.
By
desire
theme of
this
chapter that one of the most important develop-
Eurasian politics in recent years has been a massive
towards what
I
have chosen
state-seeking attitudes and behaviors,
on the part of a group
for the creation of
shift,
both
at the elite
to call state-seeking attitudes
its
I
own
have
in
mind not only
independent
state,
and the
although
obviously that element looms large in any understanding of the breakup of the
USSR. But
state-seeking attitudes and behaviors also
encompass other types of
227
228
Global Convulsions
demands
as well: for the creation of
state; for
merging the
autonomous
sovereignty and authority of existing
empowerment; or
territorial
changing the rules of the
for
state
formations within another
of a group to that of another
territory
state; for
units with the
state to gain
upgrading the
purpose of group
group control over and
access to state resources (for instance, changing the official language or altering
group representation
on the
desire
over or access to a
state
may be
dimensions of behavior
relational
expansion
common
augment
(efforts to
territories
group
denominator here
to gain
more
the
is
direct control
where such control or access had been denied previously.
State-seeking in this sense
new
of power). The
in positions
part of an ethnic or territorially based
understood as one of several coexisting,
under the rubric of nationalism. State-
that fall
and authority of the
the borders
encompass
state to
or groups) and societal engineering (efforts to alter the character of
two other dimen-
society in order to enhance the position of a particular group) are
sions of behavior that are also characteristic of nationalist politics; others undoubt-
may
edly exist as well. Each of these
common
element that binds them
intersect or overlap with
one
another.'
The
that they all deal with the assertion of claims for
is
human boundaries of
defining or redefining the physical or
which
the polity,
is
the
And as they are group-based behaviors, they also own counter-mobilizations aimed at thwarting them.
essence of nationalist phenomena.
have a tendency
to
evoke
their
Conceiving of nationalism
way
in this
—
intersecting dimensions of behavior based
with each of these dimensions
having the
ability to
provoke
and
to relate to the state,
containing a variety of types of claims and
itself
its
as containing several overlapping
on how a group seeks
own
counter-mobilization
—allows us
to
compare
the evolution of nationalist behaviors both between and within these dimensions of
nationalism, as well as between forth.
Of course, none
them and
the counter-mobilizations that they call
of these forms of behavior
more
or in the post-Soviet world
is
new, either
in the
specifically. Nevertheless, the
world
at large
degree to which
mobilization over these issues has exploded in recent years in the former Soviet
Union
differentiates this period radically
from
that
which preceded
it
and makes
it
akin to other periods of world revolutionary change.
The marks a
generalization of state-seeking attitudes and behaviors in ethnic politics
distinct shift
from the period of Soviet power, when these issues were taken
as relatively fixed. Indeed,
it
was
the attempt to coopt, institutionalize,
non-Russian state-seeking behavior state that
in the
brought about the emergence of the Soviet federal system
That system was
relatively successful at
and
arrest
aftermath of the collapse of the Tsarist in the first place.
undermining state-seeking;
it
did so not
only through severe repression and limiting group access to and control over state institutions, but also ironically
by generalizing state-seeking norms through pro-
viding territorial-administrative entities to large numbers of peoples.'
of
this
The
unravelling
formula has caused severe problems for the formation of stable
throughout the Eurasian region. pc:)st-Soviet politics
One
polities
of the most profound legacies of Leninism
in
has been a general propensity to seek the resolution of issues of
229
The Relentless Pursuit of the National State
cultural pluralism through the multiplication of territorial autonomies. Ironically, the
revolt against
communism was supposed
struggle for
The demise of
it.
breakdown of the
state
with the breakup of the
USSR.
crisis
In the post-Soviet world
conflicts unleashed
frictions that
state,
not a
has often been portrayed in the West as the
and as part of a generalized
number of
behavior and the
USSR
be a revolution against the
of government whose
beyond the USSR's former borders. This
implications reach far
ordinarily large
the
to
we have
crisis
did not end
witnessed an extra-
by the proliferation of state-seeking
have ensued between new
states attempting to
con-
solidate their sovereignty and groups challenging this sovereignty and demanding
greater access to and control over the state.
State-Seeking and the Generalized Crisis of the State
Figure 11.1, examining mobilization over state-seeking and state-expansionist issues at protest
demonstrations in the former Soviet Union from January 1987 through
September 1992
(A^
=
6,461),^ provides us with a general picture of
how
dimensions
of nationalist behavior evolved over time in the former Soviet Union. State-seeking
and state-expansion are frequently related
Rogers Brubaker has argued,
activities; as
they have often been two sides of a more general form of teristic
triadic politics charac-
of the region that encompasses the actions of national minorities, national
homelands, and nationalizing
states."*
Frequendy, groups within national homelands
seek to expand the boundaries of the state in order to encompass state-seeking diasporic minorities in other states.
At the same
development of these two dimensions of
time, as figure 11.1 indicates, the
nationalist politics has
been
far
from
identical.
As Figure
11.1
shows, state-seeking was a fixed feature of Soviet politics from
approximately June 1988 on, accounting for (on average) ^bout half of the monthly protest mobilization in the country as a
constituted the the
whole through
most important element of the
May
1991. State-seeking
nationalist mobilization that engulfed
former Soviet Union during the years of
its
demise.
While
significant
mobilization in favor of state expansion (in particular, irredentist mobilization)
occurred early in the glasnost mobilizational wave, state-seeking soon became a
more prevalent form of behavior and arguably
the fundamental force behind the
country's breakup.
Mobilization over state-seeking issues remained an important element of protest mobilization well levels until July
began
to
1992,
beyond the demise of the USSR,
when demonstration
drop off altogether as a form of
activity in the
lasting at significant
former Soviet Union
political participation.
By
contrast, state-
expansionist mobilization, after declining significantly from mid- 1989 through 1991,
underwent a revival of
sorts after the collapse
of the
USSR,
as groups within
new
nationalizing states pressed irredentist and expansionist claims against other states.
^
1
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OOOOOOQOOOOQOOOO 8S8S8S8SgS8i8S8S
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1-0-
235
The Relentless Pursuit of the National State
and Armenians mobilized
Baits, Georgians, issues,
peaking
governments came
nationalist titular
relatively quickly
over state-seeking
1989 and early 1990 and declining over the course of 1990, as
in late
to
power through
republican peoples mobilized
1990 and 1991) and only
much
later
the ballot box.
contrast, other
over state-seeking issues (peaking in over other issues.
after significant mobilization occurred
1990, most protest in favor of secession
By
was being
by
carried out not
By
Baits,
Georgians, and Armenians, but by Ukrainians, Azerbaidzhanis, Moldavians, and even
Even those who
Russians.
by
their
own
street at
were
As
behavior.
John Morrison
May
in
participated in this "revolution of the
mind" were surprised
a liberal Russian Jewish intellectual recounted to journalist
1990: "If you had told
me two years
demonstrations shouting 'Ross-i-ya, Ross-i-ya'
I
ago
I
would be out on the
would have thought you
crazy."'°
This second wave of state-seeking mobilization
toward the eignties,
—unleashed
were highly unstable
state
when myriad
territories
—a
time
when
attitudes
the so-called parade of sover-
of the former Soviet Union went about formally
declaring themselves "sovereign," whatever this most ambiguous of terms actually
meant. Indeed,
its
meaning varied enormously from place
to place,
in
many
more than a desire for greater control over local affairs. Not only union republics, but autonomous republics, autonomous districts, urban wards, and even islands participated in this orgy of autonomy-seeking. It was also instances signifying
at this
little
time that most autonomous republics unilaterally declared themselves union
republics.
This second stage in the development of state-seeking nationalism was characterized above state-seeking.
mous
As
all
by a
significant broadening of the peoples involved in
figure 11.3 shows, in early 1991 peoples associated with autono-
republics and provinces began to mobilize over state-seeking issues as well.
To some
was a matter of demonstration
extent, this
were also
at
effects.
But other processes
work. The growing influence of majority nationalizing movements in
the union republics in turn led to efforts
by minorities within those republics
to
separate and gain protection and representation in the context of other state
formations. In 1990 and 1991, for instance, both Ossetians and active in agitating for separation to the rise
and
from
their respective
union republics
of nationalism in Georgia and Moldova respectively.
identities,
Gagauzy grew in reaction
New
categories
such as Russian-speakers (russko-govoriashchie) were called into
being as a result of the nationalizing policies of republics; these also became a basis for state-seeking mobilization at this time.
Emergency Committee's aborted attempt so
common
a form of behavior that
short, the events of
that
were
it
to seize
Even a year before
was widely parodied
in the
1989-90 provoked a massive pursuit of the
relatively
search of the national
the State
power, state-seeking had become Soviet press. In state, as
groups
demobilized over state-seeking issues earlier mobilized state.
in
236
Global Convulsions
State-Seeking versus State-Building
A
new
chapter
toward the
in attitudes
USSR
with the collapse of the
in
state in this region
August 1991. At
and behaviors became universalized, and a new consolidation of
new
dissatisfied with the
of the world opened up
that time, state-seeking attitudes
set
of conflicts set
in:
between the
and the state-seeking behavior of those who remained
states
forms of state which they had been designated.
Immediately following the August coup, there was a general consolidation of opinion around the former union republics as larly
so
among
confined to them. the
new
national states. This
was
the titular nationalities of the former union republics, but It
generally affected
all
particu-
was not
populations that had been disaffected from
communist regime, regardless of ethnicity.
In the
December 1991 referendum on
Ukrainian independence, for example, 90.3 percent of the inhabitants of Ukraine voted in favor of secession. Significantly enough, even the heavily Russified Donetsk
and Odessa provinces showed 83.9 and 85.3 percent majorities respectively
in
favor
of independence, while 54. 1 percent of the voters of Crimea province, populated by a majority Russian population, voted in favor of independence.
Soviet era,
many of these
populations eventually
homelands and openly began
Of
many
course, for
By
up
to
from
new
their
new
borders.
peoples independence was unwanted and unexpected, effort
on
their part to achieve
these instances populations that had largely been
sionist disease
contrast, in the post-
disaffected
of the region's
to question the legitimacy
coming without warning and without any
number of
became
August 1991 (such
immune
it.
In a
to the seces-
as the Central Asians) often experienced a
radical shift in attitudes in favor of the birth of
new
states
Soviet center. Whereas before the August coup there was
and the collapse of the
little
sentiment in favor of
secession in Central Asia, referenda in favor of secession overwhelmingly passed in
each of these republics by the the
most conservative
—
ilk
fall
of 1991." Local communist politicians
—
often of
recycled themselves as national saviors and as founders of
national states. In essence, nationalist consciousness and the national state
were
brought to these peoples from above, through a combination of the actions of
elites
and the uncontrolled flow of events.
Much
of the politics of the past several years
viewed as an enormous the former
in the
effort at state consolidation,
USSR, having
former Soviet Union can be
whereby the union republics of
attained international recognition, have sought (often
unsuccessfully) to create the basic institutions and practices characteristic of states
around the globe: bureaucracies, armies, monetary regulation, police, tax collection, postal service, border control, citizenship control, foreign embassies, and so on.
Most important from the point of view of our topic, state-building ran into a wave of state-seeking unleashed as a direct result of the collapse of the USSR. There generally have been three sources of state-seeking First, in the
aftermath of the collapse of the
former Soviet Union accelerated
USSR,
a
in the
number of
third
post-Soviet era.
minorities of the
their agitation for separate statehood
and even
in
237
The Relentless Pursuit of the National State
some
cases declared
it
unilaterally
the former union republics,
who
—
^this
time running directly into the opposition of
only months before were themselves agitating for
independence from Moscow. The Soviet federal system, as arbitrary as
it
was, has
served as the basis for legitimation of the post-Soviet state system. The collapse of the Soviet
Union
dence of the
led fairly quickly to international recognition of the state indepen-
fifteen
union republics. But other than Stalin's self-serving decisions
about which peoples' deserved their
own
union republics and which would have
units subordinated to union republics, there
is
no
justification for
union repubUcs deserve independence and those without do
why
peoples with
Kazakhstan and
not.
Kyrgyzstan, for instance, were not originally assigned union republican status the
USSR
was
Federation.
created, but
Had
when
were instead autonomous republics within the Russian
they not been separated by Stalin into union republics in 1936,
doubtful that they
would be independent
states today.
why one
other than Stalin's manipulations, for
There
is
it is
no inherent reason,
million Estonians should deserve
independent statehood while six million Volga Tartars should not. The post-Soviet configuration of states and the internal structure of the post-Soviet states
may
in this
respect be considered one of the remaining bastions of Stalinism that has yet to be
stormed.
Although secessionist sentiment certainly minorities, so far only the
exists
among many of
approach declarations of secession. After the collapse of the
de facto an independent
state,
Dzhokhar Dudayev, a general control over the region in
Russia's
Volga Tatars and the Chechens have been bold enough to
fall
govemed by in the
USSR Chechnya became
the corrupt authoritarian regime of
former Soviet
air force
who
established his
1991 and imposed a personal dictatorship. For three
years Russia hardly exercised any control over the region, and repeated attempts by Yel'tsin to
reimpose rule from
Moscow
failed. Finally, in frustration Yel'tsin
ordered
an invasion of the region in December 1994, unleashing a bloody war whose conse-
quences are likely to persist for a long time. The international community, of course, did not rush to recognize the this
would
set in
Dudayev regime,
in large part
because of the fear that
motion the further disintegration of Russia. Chechnya's declaration
of independence, however, has unleashed other processes of state-seeking throughout the
northem Caucasus, weakening further Russia's control over In the case of Tatarstan, the
Shaymiyev sion,
it
this volatile region.
government of former communist boss Mintimer
for several years defied
Moscow's
preferred to remain associated with
control; rather than
Moscow by means
ment. In March 1992, Tatarstan held a referendum on whether state
tional
and a subject of international law," despite the Court had declared the referendum
illegal.
complete seces-
of international agreeit
fact that the
was "a sovereign Russian Constitu-
After 61 percent of the electorate
voted to recognize Tatar sovereignty, the republic refused to sign the Russian Federal Treaty. In
November
1992, Tatarstan adopted a
new
constitution that declared
it
a
sovereign state "associated with the Russian Federation" on the basis of an international treaty. During negotiations over the
new Russian
Constitution in the
summer
238
Global Convulsions
of 1993, the Tatar delegation walked out
in protest
of what
it
viewed as backtracking
by the Yel'tsin government on the issue of Tatar sovereignty. The Tatars insisted it
was
the right of the republics to create a
new
that
federation government and not of the
center to determine the extent of powers of the republics. Eventually, under heavy
Moscow,
pressure from
Russian Federation
what
as to
the
Shaymiyev government signed a
actually signified.
it
bilateral treaty
February 1994. However, the agreement
in
The
Yel'tsin
itself
government claimed
internal agreement, whereas Tatarstan described
it
as a treaty
with the
was ambiguous that
it
was an
between two sovereign
own
foreign
policy and foreign trade, to decide questions of republican citizenship, and to
exempt
states.
its
Under
the agreement, Tatarstan retained the right to conduct
youth from service
in the
Russian army.'^ While the treaty
its
may have
put a
temporary hold on the quarrel, the issue of defining Tatarstan's relationship with
Moscow could easily
reemerge
in the future.
A second source of the persistence of state-seeking behavior in the post-Soviet period has been the instant Diaspora created by the collapse of the Soviet Union
disintegrated in
USSR. When the citizens who
August 1991, 38 million former Soviet
lived outside the union republic of their
own
25 million
nationality (including
Russians) were suddenly thrust into the status of being a minority in another ethnic group's
state.
While
in
some
cases these minorities have not been excluded from the
political process (as in Ukraine), in other cases they
even
legal aliens, leading to
instances of
compact
(as in Estonia
have been treated as social or
massive out-migration (as
settlement, the
in
growth of regional and
Central Asia) and, in separatist
In the case of the Russian minority in northern Estonia, over participants in a referendum held in the cities of
of Ukraine. In
May
its
poll
1992, the Crimea proclaimed
Supreme Soviet of
the majority-
its
independence from Ukraine, is
widespread
some degree of Russian sovereignty over the area. A 1993 Bremmer in the city of Simferopol found that 75 percent of
region for
conducted by Ian
a Russian
The
republic's state sovereignty, albeit as a constituent part
Russians and 42 percent of Ukrainians existed.''* In
the
1993
Within a week of Ukraine's
only to have the declaration immediately annulled by Kiev. There in the
in July
territories within Estonia.
invalid.'-'
declaration of independence in August 1991, the
Russian Crimea declared
90 percent of
Narva and Sillamae
voted in favor of declaring their towns autonomous
Estonian government declared the referendum
support
movements
and Moldova).
in the city preferred that the Soviet
Union
still
July 1993, the Russian Parliament unilaterally declared Simferopol to be
city. In
January 1994, Crimea held a presidential election
in
which Yuri
Meshkov, leader of the Crimean independence movement, won 75 percent of the vote.
Subsequent parliamentary elections brought Meshkov's supporters to power
with 67 percent of the vote.
A simultaneous
referendum also showed
that
favored dual Russian/Ukrainian citizenship for inhabitants of Crimea. his
group attempted
to introduce a separate
Crimean
82 percent
Meshkov and
citizenship and currency. In
response, the Ukrainian Parliament annulled these laws and threatened to dissolve
239
The Relentless Pursuit of the National State
the local fall
government
did not bring
if it
its
constitution into line with Ukraine's.
1994, however, a split had developed within Meshkov's
By
with
Meshkov called for the Kuchma, who is Russian-speaking community in Ukraine, has taken
the Parliament voting to strip
Parliament to dissolve
own movement,
him of
his powers, while
This, along with the election of Leonid
itself.
widely seen as favoring the
some of the wind out of the Crimean separatist movement. The self-declared Gagauz republic and Dniestr Moldavian
republic remain
unrecognized by any government, although four Russian provinces have concluded
economic agreements on their own with the Dniestr republic. The Pridniestr republic has at times refused any kind of relationship with Chisinau, while at other times has hinted that
it
would remain within Moldova
Moldavians, by contrast,
embrace some kind of
at first insisted
if
a confederation could be arranged. The
on a unitary
but have
state,
now come
to
Moldovans have
federal arrangement. In the meantime, the
reached a compromise arrangement with the Gagauz, giving them extensive
autonomy and reserving its
international status
for the
(i.e.,
Gagauz the right to secede if Moldova were
While Russian minorities have received the bulk of the
would be wrong
to
change
merge with Romania). Diaspora issue
to think that the
is
attention in the West,
it
confined to Russians alone. The
borders of union republics are not ethnic borders, and practically every republic has
some minority whose
status has
been called into question by the transformation of
the union republics into national states. In Central Asia, there issue
which was the cause of considerable communal violence
but in post-Soviet period has not yet
grown
Central Asian leaders in August 1994
saw
inviolability of borders; the signatories
into
an
is
a sleeping Diaspora
in the glasnost period,
interstate issue.
A
summit of
the signing of a joint declaration
committed themselves not to
alter
on the former
Soviet borders and to prevent activities by groups or individuals on their territory
who
seek to do
A
so.'^
growth of state-seeking behaviors
third cause for the
in the post-Soviet
period has been the crisis of govemability that has engulfed the entire former Soviet
Union.
It
has exacerbated severely relations between center and locality and has
encouraged locally based groups only in the federal
crisis that
between Kiev and Tadzhikistan (which
its
is
to vie for control
over the
Russian minority, and even as
state.
One
sees this not
has consumed Russia, but also in the strained relations
much
a battle
among
in
war
the bloody civil
in
regionally based cliques as an
ideological and religious struggle).
The
federal crisis that
role played
by
consumed Russia
the Parliament and president
power
in
1992 and 1993 confirms the
critical
political opportunity structures in fostering state-seeking behavior.
became embroiled
drifted to the regions, creating
authority. Ironically,
it
was
the
new
in a paralyzing
all
struggle,
possibilities for staking claims to state
1992 federal
treaty
strategy which, in a period of confusion at the center,
cohesion of Russia. Signed by
power
As
the regions
and
Yel'tsin's state-building
became major
and almost
all
threats to the
of the republics of the
240
Global Convulsions
federation (only Tatarstan and
among
Chechnya
rejected
it),
the federal treaty provided,
other things, for extensive local control over natural resources, land, and
foreign relations for those territories granted republican status, while territories that
were governed as provinces were denied
these. This
was
part of Yel'tsin's state-
power and consolidating a new Russia. Indeed, one examination of Russian government spending and revenues showed that republics received more money from the government than they had building strategy: to rely upon the republics in building
contributed in taxes, while roughly a dozen provinces have received a fraction of their contribution. Tatarstan, for instance, paid only
1992, at the
such as
same time
this in turn led to
nantly Russian.
"given
as receiving 38 billion rubles
a reaction by the provinces, which
The power of the
rise to a situation that
republics, according to
in the
in taxes in
of course, predomi-
are,
one Russian observer, had
can be defined as de jure codification of Russians'
statelessness in Russia."'^ This division
major issue standing
93 million rubles
from the government.'^ Policies
between republics and provinces became the
way of the acceptance of Yel'tsin's
and
constitution,
it
set
in motion a rush by provinces to declare themselves sovereign republics. In June
1993, official representatives of forty provinces signed a declaration indicating that
they could not
initial
were given equal
a
new
draft constitution for
Russia unless their
territorial units
status with the republics.'*
In 1993, center-periphery relations in Russia so deteriorated that six provinces
and
cities
(Amur, Vologda, Sverdlovsk, Kaliningrad, Primorskii
krai,
and
St. Peters-
burg) unilaterally declared themselves republics, and others promised to follow In the case of
Vologda province, a referendum was held
in April
1993
in
suit.'^
which 80
percent of the electorate voted for turning the province into a "state-territorial entity."^
The heads of
Irkutsk and Krasnoiarsk provinces openly discussed uniting their
provinces into a single East Siberian republic. The Cheliabinsk Provincial Soviet
voted to transform the province into the Southern Urals republic, and a referendum
was scheduled on gold
at the
the issue of the "republicanization" of Chita province. Smelling
end of the republican rainbow, the leaders of
provinces threatened to declare themselves a republic credits, price guarantees,
if
six Central
and tax dispensations from Moscow.^' At the same time, the
republics were claiming that their rights were inadequate as well.
leader put
it,
Black Earth
they did not receive special
As one
regional
the notion of sovereignty for republics and territorial units of the Russian
Federation had
become "a bomb under
Russia's future," leading to potentially endless
conflicts over center-periphery relations.^ So serious was the challenge to Russia's territorial integrity that Yel'tsin
"the Russian Federation
kept together peacefully,
The growth of
is
saw
fit
to
warn regional leaders
not a piece of Swiss cheese" and that
"it
in
if
August 1993
that
Russia could not be
could be done by naked force, by a dictatorship."^
regional separatism and the transformation of provinces into
sovereign states were only two manifestations of a broader trend towards state-
seeking behavior that encompassed Russia Sakhalin, the indigenous Nivkhi declared their
1993. On the eastern shores of own autonomous governmental unit,
in
24
The Relentless Pursuit of the National State
against the desires of the local Russian inhabitants.
declared
The Taimyr Regional Soviet
secession from Krasnoiarsk krai, and the Khanty-Mansi and Yamal-
its
Nenets Autonomous Regions, both within Tiumen' province, declared themselves sovereign.^ Chukhotka similarly seceded from united
of these cases was
all
their exploitation
Kuban' and
in
Magadan
province.
The key
and export from Russia. In some areas of Russia,
in particular, in the
Volgograd province, Cossack Hetman rule was introduced. In March
1993 Yel'tsin assigned the functions of military training and policing
Caucasus
to
issue that
and the question of who would control
natural resources
Cossack
forces.
in the northern
While the Cossack population did not see
separate entity from Russia, there
was widespread
talk that
itself as
a
"an independent Cossack
into being" in the northern Caucasus;^^ in some areas it already The Don Cossacks agitated for the creation of a separate Don Cossack Province that would cut across Russia and Ukraine. The political crisis between the Parliament and the president was resolved in September and October 1993, when Yel'tsin dissolved Parliament and stormed the Russian White House. The subsequent hardening of the political center led to a sharp
republic will
come
existed de facto.
drop in the staking of state-seeking claims.
new
republics, Yel'tsin cut out of the
He
sovereignty.
hold
new
And
to the disconcertment of
also ordered provincial legislatures to dissolve themselves
elections
many
Constitution any reference to republican
and
to
by March 1994. This met with considerable opposition, but was
carried out. In February 1994 Yel'tsin succeeded in quieting the Tatarstan issue
by
concluding a bilateral treaty with the Republic. In the views of most analysts, Yel'tsin has successfully reversed the trend towards disintegration of the federation.
The
real issue, though, is
how
long
this state
of
affairs will last,
given the close con-
nection between disarray in the center and state-seeking in the regions.
As patterns of
state-seeking in this region of the world demonstrate, should Russian
government
once again become paralyzed, a proliferation of state-seeking behaviors by Russia's provinces would Lest one is
become
fall into
likely.
the trap of believing that the post-Soviet scramble for the state
simply a Russian phenomenon,
republics
—
of a generalized
crisis
of the
state
is
it
^Ukraine and Azerbaidzhan
—
worth reviewing the situation in two
to see
how
state-seeking remains the product
throughout the region. Indeed, state-seeking has
been an almost knee-jerk reaction to national and regional problems of the most varied sort. In addition to the Republic of
Donbass region of Ukraine, who
Crimea examined
called
for
the
government because of excessive taxes and price
autonomous
economic
protecting
began
status for the
called for
And
interests
advocated as well special
and language rights.^ The Subcarpathian Ruthenians of an Autonomous Republic of Subcarpathian
Russian communities
combining
rises,
miners of the
of the Kravchuk
Donets region within Ukraine, largely as a means for
to agitate for the creation
Ruthenia."
earlier, the
resignation
into a state to
in four
provinces of southern Ukraine have
be known as Novorossiia, or
of Ukrainian domination.^ While Ukraine
may
New
Russia, in fear
not yet look like Russia's Swiss
242
Global Convulsions
cheese (and
like Russia,
some hardening of the
has experienced
it
Kuchma), no one doubts
under the right circumstances
that
state
could
it
under Leonid
come
still
to
resemble Gruyere.
During the June 1993 revolt of Surat Huseinov group of about 22 thousand Iranian-speakers
that
in
Azerbaidzhan, the Talysh, a
was once thought
to
have been
completely assimilated by the Azerbaidzhanis. used the confusion to declare into existence a Talysh-Mugan
zhan and
Iran.
The
Autonomous Republic on
local revolt continued for
new government of former communist
the
Muslims who,
to challenge
was put down by
boss Gaidar Aliev.-' The Lezgins. Sunni
Azerbaidzhani
who does
independence. Depending on
466 thousand and as
live in
700 thousand
with the coming of
territorial integrity
somewhere betv,een
the counting, there are
million Lezgins in the former
1
claim that only 175 thousand
many
it
since 1922, have been divided by the Azerbaidzhani-Russian border,
have also come
that as
between Azerbaid-
the frontier
two months before
USSR:
while the Azerbaidzhanis
Azerbaidzhan. the Lezgins themselves claim
live there
and have been subjected over the years
to
forced cultural and linguistic assimilation. While there had been some agitation
among Lezgins
in the
Soviet period, only with the breakup of the
Lezgins grown politicized over the issue of the unification of
all
USSR
Lezgins
have
\\dthin
an
independent Lezgistan. The Azerbaidzhani goNemment reacted sharply against these
developments, causing sharp tensions with
Russia."'
And
of course, the Armenian
revolt within Azerbaidzhan rages on. Certainly the Russian Federation, with eight\'-nine
member
units (of
which seventeen
are national republics)
and
its
its
huge
expanse, represents a degree of complexit>' not found in the other former republics
of the Soviet Union, and for that reason alone
is
particularly \Tjlnerable to state-
seeking behavior. But other republics as well have been experiencing these same forces, perhaps not
on the same
scale, but certainly in the
same
spirit
and with
many
of the same consequences.
Conclusion
It is
clear
from
this presentation that in the case
of the former Soviet Union
dealing with an unusual explosion of state-seeking behavior.
former Soviet Union provides us with one example of has proliferated
in recent years,
it
is
how
And
yet,
we
are
while the
state-seeking behavior
by no means the only. The
late twentieth centur\'
has witnessed a more generalized rush to the state not unlike that which was
witnessed
Worid
in
East Europe
in the aftermatii
How
at the
end of Worid War
War II. this new wave
I
and throughout most of the Third
of Worid
does one explain
of state-seeking conduct, as well as
universalization as a form of behavior within particular contexts?
and post-Soviet experiences proliferate?
tell
us about
why
What do
its
the Soviet
state-seeking attitudes and behaviors
243
The Relentless Pursuit of the National State
points to the close connection between
The Soviet and post-Soviet evidence
and state-seeking. Indeed, the two appear as opposite sides of
state disintegration
the
same
As we have
coin.
seen, this
mental principles" of the
pan because
the crisis of the state creates
what Mill
for challenging
funda-
calls '"the
making what once seemed impossible
state,
realm of the imaginable. Issues of
mere
in
is
the pohtical opponunities necessan
within the
fall
formation def\ easy settlement., and the
state
fact that they are raised itself alters signiticanth the political opportunities
facing those
who
state-seeking
seek to mobilize populations over these issues. Precisely because
beha\"ior
beha\ior seems
dependent upon pohtical opporrunities. state-seeking
is
explode
to
at particular
points in time, setting off bursts of state-
seeking and whsLi appears as a race for the
state
among numerous
groups.
.Analogous phenomena occurred during earher eruptions of state-seeking behavior in the nventieth centur\
The
of the
crisis
state also
pro\ides pan of the context that makes state-seeking
appear a rele\'ant solution to pursue.
because
it
becomes possible (although
It
not simph' that state-seeking proliferates
is
in a
few
cases, such as the Baits, this
cient explanation): state-seeking also proliferates in
own antinomy and
authorit}' defines its
pan because
itself calls into
a suffi-
is
the disintegration of
being ettons to reconstitute
pohtical authorit>" on a different basis. Finally, the crisis of the state in Eurasia, as
ue haNe obsened.
is
itself the
product of a particular historical legacy of state-building and empire-building that has fostered great ambiguin. o\ er the proper definition of the physical and
boundaries of poUties. The prohferation of state-seeking
and the contestation
guit\'
norms
that
that
it
engenders.
Moreover
is
enhanced
b>- this
human ambi-
the cultural expectations
and
have emerged from previous patterns of state-building also have played a
large role in fostering state-seeking behavior: the Leninist legacy of state-building
helped to generahze norms of state-seeking, making
and
all
\Miatever
its
makes
cases elusive.
Even
polities cultural conflict
for
tiie
a natural solution to an>
causes, the generahzation of state-seeking beha\ ior throughout this
region of the world
many
seem
it
issues of cultural plurahsm.
moment when
into question.
It
is
is
the long-term creation of stable pohties problematic if
a semblance of
stabilit>-
likely to continue to lurk just
in
beneath the surface, waiting
the state's 'fundamental principles" might once again be called
this inherent "softness"
of the Eurasian
character of culuiral politics in this region of the
few easy solutions
and
could be achie\ed. in some
to tiie disorder
\».
state
which defines \hc
odd. and ensures
tiiat
there
\\ ill
be
unleashed b> the collapse of communism.
Notes
.Ail
earlier version of this chapter
on "Race,
Ethnicit),
and Nationalism
was presented at the
End of
at the international
conference
the Twentieth Century." spon-
.
244
Global Convulsions
sored by the Institute on Race and Ethnicity of the University of Wisconsin System,
September 1993. Research on state-seeking
protest mobilization
was
carried out
under the auspices of grants from the National Science Foundation, the National Council for Soviet and East European Research, the International Research and
Exchanges Board, and the Graduate School of the University of WisconsinMadison. The author gratefully acknowledges
their support.
The source of the epigraph that opens the chapter is John Stuart Mill, A System of Logic, vol. 2 (London: Longmans, Green, and Company, 1865), pp. 517-18. Take, for instance, the case of Nagorno-Karabakh. Armenians living in the
1
who
region
sought to unite the province with Armenia were engaging
seeking behavior, while Armenians within Armenia
Karabakh
into
who
in state-
agitated for incorporating
Armenia were engaged in state-expansionist behavior At the same Armenians from the region were engaged in a
time, Azerbaidzhanis seeking to expel
form of societal engineering. 2.
For an excellent examination of the role of the Leninist federal model
in
undermining Soviet power, see Ronald Grigor Suny, The Revenge of the Past: Nationalism, Revolution, and the Collapse of the Soviet Union (Stanford, CA: Stanford University Press, 1993). 3.
For more on the methodology behind
"Non- Violent Public
Protest in the
this analysis, see
USSR: December
1,
Mark
R. Beissinger,
1986 - December 31, 1989,"
report published by the National Council for Soviet and East European Research,
Washington, DC, 1990. State-seeking issues were defined as protest mobilization over one of the following issues: against the original annexation of
USSR
territory to the
or Russia; in favor of secession; in support of sovereignty for one's republic
or territory; for upgrading the federal status of an administrative unit; for the creation
of an autonomous federal
unit; for
a redefinition of citizenship along national lines;
for creation of national military units; for separate representation abroad for a
army from the
republic; for withdrawal of the Soviet ciation of the
republic; publication or renun-
Molotov-Ribbentrop Pact; Siberian regional separatism; for separation
of a territory from republic; for foreign recognition of republican independence; for the creation of an independent
control over
control over the for greater
nationality
KGB;
local
territorial unit; for local
citizenship; for republican
for reunification with Iran; for reunification with
economic autonomy
Romania;
for a republic; for increasing the representafion of a
within elite posts; in favor of preserving or extending non-Russian
linguistic or cultural rights; for
against the
communist party around a
economic resources; renunciation of Soviet
making
the language of a group the official language;
Novo-Ogareva agreement; against Russian government
affairs;
interference in
for creation of a presidency for local government; for creation of
Russian presidency; for local control over law enforcement agencies; for restoration of the Soviet Union; for Russian domination solidarity with Russian separatists in
against population of locality; for
in
Russia; for secession of a republic;
non-Russian republics; against discrimination
full
citizenship rights of Russian minority in a
i
The Relentless Pursuit of the National State
republic; for introduction of dual citizenship; for
245
making Russian a second
state
language; and for introduction of local citizenship. State-expansionist issues were
defined as protest mobilization over one of the following issues: irredentist claims against another political unit; for defense of Russians living
beyond Russia's borders;
for restoration of the Soviet Union; solidarity with Russian separatists in non-Russian
republics; for introduction of dual citizenship; for creation of a territorial
claims against a foreign
state;
new Russian Empire;
and for Russian intervention
other
in
republican conflict.
Rogers Brubaker, "National Minorities, Nationalizing
4.
Homelands
New Europe:
in the
on "National Minorities, Nationalizing
for the conference
National Homelands in the
David D.
5.
Laitin,
New Europe," August 22-26,
States,
and External
1994, Bellagio,
Italy.
Roger Petersen, and John W. Slocum, "Language and the
Russia and the Soviet Union in Comparative Perspective," in Alexander
State:
Motyl,
ed.,
USSR (New York: Columbia University
Press, 1992), p. 130.
note 2, pp. 76-77.
6.
Suny, op.
7.
For a broader explanation for why ambiguity over the physical and human
cit.
Mark
R. Beissinger,
Ambiguity of Empire: State and Empire-Building
in Post-Soviet
boundaries of polities Persisting
Politics," States,
J.
Thinking Theoretically about Soviet Nationalities: History and Compar-
ison in the Study of the
"The
and External
States,
Notes toward a Relational Analysis," paper prepared
is
widespread throughout Eurasia, see
paper prepared for the conference on "National Minorities, Nationalizing
and External National Homelands
in the
New
Europe," August 22-26, 1994,
Bellagio, Italy. 8.
Peoples of Dagestan were
out of the analysis because of the ambiguity
left
surrounding whether they had an autonomous republic or were 9.
See Suny, op.
stateless.
note 2; Philip G. Roeder, "Soviet Federalism and Ethnic
cit.
Mobilization," World Politics 43 (January 1991): 196-232. 10.
John Morrison, Boris
Yeltsin:
From
Bolshevik to Democrat
(New
York:
Dutton, 1991), p. 19. 1 1
For a review of the
results of a
number of referenda on independence, see
"Presidential Elections and Independence
Soviet Union and Successor States:
compiled by the
staff
Referendums
in the Baltic
A Compendium of Reports,
States, the
1991-1992," report
of the Commission on Security and Cooperation in Europe,
August 1992, Washington, DC. 12.
See Elizabeth league, "Russia and Tatarstan Sign Power-sharing Treaty,"
RFE/RL Research Report 3.14 13. in
According
Narva and 61 percent
in Sillamae.
turnout in the referendum
Daily Report, no. 135, July 14. Ian
(April 8, 1994): 19-27.
was 54 percent The Estonian government claims that voter
to the organizers of the referendum, voter turnout
was
less than half
Bremmer, "Ethnic
(April 30, 1993): 27.
of the eligible electorate. See
RFE/RL
19, 1993.
Issues in Crimea,"
RFE/RL Research Report
2.18
246
Global Convulsions
\5. 16.
RFE/RL Daily Report,
no.
150,August9, 1993.
Leonid Smirnyagin, 'The Regions:
Federalism," Sevodnya, June 25, 1993, Post-Soviet Press 17.
Express,
[CDPSP] 45.25
Ksenia Myalo,
May
5,
in
19.
alism in Russia:
vs.
Economic
The Current Digest of the
(July 21, 1993): 7.
1993, p. 29, translated in
RFE/RL Daily
Federalism
"Debates: The Russian Question in Russia," Megapolis-
18. "Russia's Territories
30, 1993, p. 2, translated in
Political
p. 2, translated in
CDPSP 45
M (May
26, 1993): 11.
and Provinces Set Conditions," Rossiiskiye
CDPSP 45.26 (July
28, 1993):
vesti,
June
8.
Report, no. 138, July 22, 1993. See also Vera Tolz, "Region-
The Case of
Siberia,"
RFE/RL Research Report
2.9 (February 26,
1993): 1-9. For a proposal to create a Republic of Moskovia, see Lyudmila Sherova,
"Will There Soon translated in
Be
a Republic of Moskovia?" Rossiiskiye
CDPSP 45.22
20. Viktor Filippov,
May
Izyestia,
vesti,
"Vologda Province
18, 1993, pp. 1-2, translated in
Is
My
2,
1993, p.
1,
Proclaimed a State Within Russia,"
CDPSP 45.20 (June
21. Nikolai Yefimovich, "Sovereignty Right Outside
skayapravda.
June
(June 30, 1993): 16-17.
13, 1993, p.
1,
translated in
CDP5P 45.28
16, 1993): 24.
Moscow," Komsomol(August
11, 1993): 6.
22. V. Novikov, Chair of the Krasnoiarsk krai Soviet, quoted in Aleksei
Tarasov, lated in
"A Bomb Under
CDPSP 45.25
(July 21, 1993): 4-5.
23. "Russia Will
New
Russia's Future," Izyestia, June 24, 1993, pp. 1-2, trans-
Allow
No
Secession, Yeltsin
Warns Regional Leaders," The
York Times, August 14, 1993, p. A4. 24. Yelena Matveyeva, "Farce of Sovereignties," Moskovskiye novosti.
1993,
p.
C9, translated
in
CDPSP 45.2\
May
30,
(June 23, 1993): 18.
25. Vladimir Seleznev, "Without Barricades and Whips," Rossiiskiye vesti,
April
1,
26.
1993, p. 2, translated in
They're Demanding in
CDPSP 45.\4 (May
5, 1993): 17.
Nikolai Lisovenko, "Donets Basin Miners Aren't Asking for Money,
CDPSP 45.2^
Political
Changes,"
Izyestia,
June
10, 1993, pp. 1-2, translated
(July 7, 1993): 24-25.
27. "Proiavleniia separatizma v Zakarpat'e
respubhki," Golos Ukrainy, August
6,
1993, p.
pod vidom trebovanii avtonomnoi
2.
29.
November 16, 1991, p. 2. RFE/RL Daily Report, no. 161, August24, 1993.
30.
See Elizabeth
28. Nezavisimaia gazeta,
Fuller,
RFE/RL Research Report
1.41
"Caucasus: The Lezgin Campaign for Autonomy,"
(October
16, 1992):
30-32.
in
12 Nationality Questions in the Baltic The Lithuanian Example
ALFRED ERICH SENN
In 1988 political developments flipped the question of national minorities in the Baltic republics of the
Union of Soviet
on the massive Soviet
Previously,
USSR, were
(USSR) over on
Socialist Republics
scale, Russians, as the
its
head.
dominant nationality of the
not considered a minority in the Baltic; Latvians, Lithuanians, and
Estonians, the titular nationalities in the Baltic, constituted important minorities, while the Belorussians, Jews, Poles, and Ukrainians in the region constituted
the
summer and
fall
minor ones. In
of 1988, however, those same Latvians, Lithuanians, and
Estonians became majorities on separate smaller stages; the Russians became the largest minority in
each republic; and Poles and others became significant minority
questions.
Key statehood:
to the confusion
Did
the
accept the political
of
this
turnover was the various groups' attitude toward
new dominant nationalities feel secure? Did the new minorities changes? What many writers refer to abstractly as "nationalism"
can frequently be understood as a question of statehood territory, nationality,
and
political
—
the interrelationship of
power, as these factors develop over time.
In the post-Soviet states another vital question arises from the inherited tradition of statism.
The centraHzed Soviet
socialist or nationalist, as the
ments
after
structure
emphasized the
engine of social change, and the
1988 accepted the task not just of defending
new
state,
whether
Baltic govern-
their national cultures but
also of helping national cultures recover from the perceived ravages of a half-century
of alien
rule. In the
absence of any laissez-faire
ments encourage the assimilation of force emigration?
employ
traditions,
should the
their ethnic minorities?
new govern-
encourage diversity?
outright violence? According to Western standards of
247
248
Global Convulsions
human their
rights, the last
two
alternatives are unacceptable, but they nevertheless
proponents and practitioners
Although some now look avoided open ethnic •
in the at the
Soviet system nostalgically for
•
having
of punishing entire nationalities by deportation and
Stalin's practice
to realize the long-lasting
come; we are
just
consequences of that practice.
The supposed peace between nationalities was in fact illusory; the Communist party did not resolve the national question but rather suppressed
•
its
such a view:
conflict, there are several considerations that refute
exile intensified national feelings for generations to
coming
have
post-Soviet arena.
it
and
left
it
to ferment.
National conflicts today are not just an explosion of forces long kept
under control by the Soviet system; they also
reflect the
consequences
of Soviet policies. The nationalities themselves changed during
fifty to
seventy years of Soviet rule, and the Soviet experience in fact contributed greatly to the troubles
In
its
now plaguing Eastern
Europe.
program of 1986, the Communist Party of the Soviet Union (CPSU)
declared that "the nationalities question inherited from the past has been successfully
solved in the Soviet Union."' "Nationalism" existed only in capitalist society and therefore,
by
definition, did not exist in the
though, had within
itself
USSR.
Soviet nationalities' policy,
severe contradictions, cracks that the regime's repressive
forces only papered over without repairing, which the tremors of the late 1980s
eventually broke open.
The formal units, actually
structure of the Soviet system, based
on identifying
of their policies as "national in form and socialist in content.")
Union annexed it
ethnoterritorial
reenforced national consciousness. (Soviet ideologists usually spoke
When
the Soviet
the three Baltic republics of Latvia, Lithuania, and Estonia in 1940,
accepted their continued existence as politico-geographic units, labelling them
constituent republics of the
Union of Soviet
Socialist Republics. Soviet ideologists
then argued that "socialist statehood" was a higher form of social organization than
"bourgeois statehood," and they thereby posited what might be better called "national statehood" as the natural antithesis of Soviet rule.
So long
as Soviet cen-
sorship and other repressive forces remained on guard, this presented no problem,
but
when
the central control faltered, this
national feelings
among
Few Western
those
who
argument released and even buttressed
hated living under Soviet rule.
observers recognized this problem even in looking at the Baltic
republics. In the 1960s,
John Armstrong identified the Baltic peoples as
having a higher self-consciousness than most of the other republics of the
"state nations,"
titular nationalities in the
USSR,^ but common wisdom among Soviet experts
in the
United
States discounted the national question as a factor in Soviet affairs. In 1984, an official
of the American Central Intelligence Agency (CIA) minorities in the Soviet
Union would play no
flatly
predicted that national
significant role "in this century."^
249
Nationality Questions in the Baltic
In the 1980s Soviet nationalities' policy focused
(merging), an effort to do eral
away with
on the concept of
sliianie
the differences between nationalities by the gen-
acceptance of the Russian language. Soviet educators advocated "bilingualism,"
providing children with better instruction in Russian than in their mother tongues.
Teachers of Russian, moreover, received higher pay than did teachers of the local
more
language. Only after Gorbachev's policy of "openness," glasnost, had allowed free expression, could intellectuals
from the minorities complain about these
Those people who specialized
in the
use of language reacted
policies.
first to bilin-
gualism. Soviet practice already limited the rights of minority nationalities
Moving
torially:
—
culture
except, of course, for Russians
promotions for just such a reason.
whom
nine of
terri-
mean giving up one's national and many persons in fact refused jobs or
out of one's native region could
—
One person
in a
group of
thirty people,
twenty-
spoke Estonian, Latvian, or Lithuanian, could force the entire
gathering to speak Russian. Within the cultural elites of the various nationalities
many saw
in bilingualism the decline
and even destruction of their basic vehicles of
communication. In 1988, the head of the Lithuanian Writers' Union told
me
of his
concern that the Soviet requirement that dissertations be written in Russian would
undermine the development of
thought in the Lithuanian language."* In one
critical
republic after another, the local writers' union took the lead in
demanding stronger
efforts to preserve the national language and culture.
Over
and 1989,
three Baltic nations insisted that they
had
never acquiesced to incorporation into the Soviet Union. The Lithuanians stated
this
the course of 1988
explicitly in their
Supreme Council's
all
declaration of March 11, 1990, proclaiming the
reestablishment of the Lithuanian state of
1918^0 and
dismissing the entire Soviet
experience as an occupation by a foreign power. The Lithuanians refused even to consider their right of secession under the Soviet Constitution because, they argued,
Lithuania had never been really a part of the Soviet Union
—
it
had been an occupied
territory.
Estonians and Latvians expressed similar views, and the tangle of nation, tory,
and time implicit
republic.
When
in these
terri-
views had great significance for the evolution of each
asked about treatment of minorities
in his republic,
an Estonian
diplomat objected to calling Russians an "ethnic minority" and argued that the Russians were intruders, introduced by an occupation regime that had deported Estonians.
A Latvian politician argued that the Latvians had "reactivated" citizenship
for all peoples
come
who
to Latvia
inhabited Latvia in 1940 and their descendants; people
under the aegis of Soviet rule required special
who had
legislation.
The
Russians, he argued, should not be considered a "minority" in the traditional sense;
"migrant workers" might be a better category. It
remains here to examine
remainder of
this
how
these thoughts play out in practice, and the
chapter will concentrate on the Lithuanian example.
The
three
Baltic republics have different histories, different languages and cultures, and different geopolitical situations.
As
a result they have different national problems.
250
Global Convulsions
Of
which adopted
the three republics. Lithuania,
the
most
law/ has the highest proportion of the eponymous nationalit> it
has fewer Russians than the other two republics; and
liberal citizenship
among
it
its
population:
has a second major
minorit>. the Poles. According to the Soviet census of 1989. Lithuania had 3.675
million inhabitants. 79.6 percent of them Lithuanians. 9.4 percent Russians, and 7
percent Poles. Lithuanians constituted a majorit>- in
except Snieckus (now
named
of the Republic's urban areas
all
Visaginas. 64 percent Russian) and in
all
the districts
e.xcept Ignalina (39.4 percent Lithuanians. 39.4 percent Russians), Salcininkai (9.4
percent Lithuanians. 79.6 percent Poles). Sviencionys (47.4 percent Lithuanians.
28.8 percent Poles), and the Vilnius district (20.8 percent Lithuanians, 63.5 percent Poles).
The events of 1988
1992 changed these census figures
to
thirt>-
emigration.
From 1980
to 1988. the annual net
The
net
dropped
in 1989,
1990 emigration exceeded immigration. In 1992. 21.100 more
in
persons emigrated to the former Soviet Union than immigrated.
change
favor of the Lithu-
immigration averaged around 5000
persons, with 44 percent of the immigrants being Russians.
and beginning
in
years before 1988. Lithuania had seen a greater immigration than
anians. For
in migration,
combined with
1993 reported an increase
in the
As
a result of this
natural growth, estimates of the population in
Lithuanian proportion of the population to 80.6
percent, a decline in the Russian population to 8.7 percent, a slight gro\Mh in the
Polish population to 7.1 percent, and a decline in the Belorussian population to 1.6 percent.^ .All
nationality /population questions are d> namic. changing their features over
and the Lithuanian
time,
capital, Vilnius, offers a
1989 the population of the
cit>-
of Vilnius was
remarkable example of
made up of
20.2 percent Russians, and 18.8 percent Poles: in 1959
it
in
in
cit>-
1970.
1960.
1
On my
found Russian much more useful than Lithuanian
when Lithuanians
first \isit
in the streets:
constituted 42.8 percent of the population.
Lithuanian the predominant language
In
was made up of only 33.6
percent Lithuanians. 29.4 percent Russians, and 20.0 percent Poles. to the
this.
50.5 percent Lithuanians,
in the streets. In the
I
found
Ignalina district, on the
other hand. Lithuanians constimted 77.6 percent of the population in 1959 and 79.9
percent in 1970. but only 39.2 percent
Energy
in
1989
after the
development of the Atomic
station in Snieckus."
Russification policies
and Belorussians
in
would seem
to
have had a greater impact on the Poles
Lithuania than on the Lithuanians themselves. According to the
census of 1989. 96.1 percent of the Republic's inhabitants spoke language,
down from
96.9 percent
in
1979.
Of
those
who
listed
their "native"
themselves as
Lithuanian. 99.6 percent spoke Lithuanian (as opposed to 99.7 percent in 1979).
Poles and Belorussians showed the greatest decline
down from
WTjen the Lithuanian
movement
in
speaking their
own
language.
88.5 percent to 85.0 and from 48.6 percent to 40.5 respectively.* ''rebirth"
exploded
in
1988. organized by the reform
"Sajudis." there were, to be sure. Russians
who
supported the Lithuanians'
25
Nationality Questions in the Baltic
cause,"^
but the mass meetings, with
conducted entirely
had calculated
in Lithuanian.
that they did not
emotional speeches and responses, were
who
frightened people
need to know any Lithuanian.
The Lithuanians demanded state.
all their
The process disturbed and that their
language be the
official
language of the
Insofar as would-be reformers in 1988 did not yet dare to challenge the Soviet
order directly, the question of state language was the path of least resistance in attacking
some fundamental
practices of the Soviet state.
there naturally arose counterchallenges, both
system and also from other
But for every challenge
from the sectors favored
in the old
less privileged groups.
Opposition arose primarily
among Russians and
Poles; in
1988-91 most
Russians in Lithuania continued to see themselves as citizens of the Soviet Union rather than as citizens of Lithuania.
Moscow, they read
They shared
the values of the metropolis of
the metropolitan press and watched metropolitan television.
They
had almost no consciousness of being a local community in a smaller, alien territory. The Poles of Lithuania were a more complicated and diverse group; for one, they formed a
more
self-conscious
community than
the Russians did, with their
own
problems: "The indigenous Poles in Lithuania for the most part constitute a closeknit,
impoverished rural community with a low educational level and meager
The percentage of Poles who go on to some form of higher education is more than six times lower than the corresponding percentage of Lithuanians; among ethnic groups in the Republic, only Gypsies rank lower."'° This judgment does not allow for the Poles living in Vilnius,
prospects for social and professional advancement.
who made up 35^0
percent of the Poles in Lithuania, but
it
nevertheless carries
across the self-image that the Poles of Lithuania had of themselves as being an
underprivileged national group.
The Poles were in fact among the more disadvantaged of Soviet nationalities. Not having a territory of their own, like the gypsies and the Jews, they were dependent on local authorities for any recognition of their cultural activities, such as a Polish-language newspaper or the right to hold masses in Polish in local churches. Because of the shifts in political boundaries in this region after World War H, the Poles felt stranded; some declared that they had never emigrated from Poland or immigrated to Lithuania, rather, it was Poland that had moved and had left them behind. (Poles in Belarus and Ukraine have faced analogous problems.) In the late
1940s and early 1950s, about 45 percent of the Poles
in Lithuania,
170,000 of
380,000, including most of the intelligentsia, took advantage of the opportunity to
emigrate to Poland."
Many
of those
Russian as their
who
official
Salcininkai region,
remained, faced by a choice of learning Lithuanian or
language, chose Russian schools for their children: In the
where 79 percent of the population was reportedly
Polish, in
1989 only 37.2 percent of the schoolchildren attended Polish schools, while 53.6 percent attended Russian schools. In the Vilnius district where reportedly 63 percent of the population was Polish, there were 2,308 pupils in Lithuanian classes, 3,680 Polish language classes, and 5,441 (2,745 Poles) in Russian language classes.'^
in
—
252
Global Convulsions
In
all,
among
as of 1988 and 1989 there were perhaps three major groupings
on the national question. One, consisting primarily of residents of the
the Poles
new
of Vilnius, tended to sympathize with the
among
currents
city
the Lithuanians
(although the Lithuanians had trouble understanding sympathetic criticism);'^ a
second, centered in the southeastern districts of Vilnius and Salcininkai, preferred to
Moscow and
deal with
the Russians; and the third grouping, spread throughout
Lithuania, consisted of Poles
who
did not particularly want to
Moscow
chose to identify
problems
its
rather than a challenge to the center, and In practice this
commit themselves
in
Moscow.
the choice between Lithuanians and
meant emphasizing the
in
Lithuania as "interethnic conflict,"
claimed to be protecting minority
it
rights.
rights of Poles in Lithuania, while at the
same
time bringing the Poles under a general umbrella of "Russian-speakers" in Lithuania.
At Sajudis' founding congress
example, Polish and Russian spokes-
in 1988, for
persons used a press conference for what an American journalist called "a joint Polish-Russian offensive"; the
question set the tone: "Poles in Lithuania are
first
uneasy about the growth of Lithuanian nationalism. What
On November 4, Edinstvo'"
announced
Republic be delayed; party;
it
that plans to
it
view on
this?""*
in Lithuania
make
Lithuanian the official language of the
criticized the "indecisiveness"
of the Lithuanian Communist
called for continued ties with the "union of sovereign republics of the
USSR"; and
it
reaffirmed
as a counter to Sajudis "[i]t is
Sajudis'
existence and called for struggle against the Lithuanians.
its
The group demanded
is
Movement for Perestroika
1988, the "Socialist
no
secret to
its
was
anyone
faith in "Marxist-Leninist ideology."
clear; as the Lithuanian journalist
that
you
rarely
meet a Russian
The group's
Domas
role
Sniukas wrote,
in Sajudis or a Lithuanian
in Edinstvo."'^
The pro-Moscow Poles
Lithuania strongly
in
supported Edinstvo;
some
observers indeed thought there was stronger Polish than Russian support for the organization. Poles in nation,
Warsaw, carrying on
were sometimes aghast
their
at this spectacle
own
struggle with
the pro-Soviet Poles in Lithuania simply dismissed the
ignorant of the situation in the Soviet Union.
Moscow's domi-
of Polish support for Moscow, but
Warsaw
Poles as being
'^
This pro-Moscow stance compromised the work of other Poles in Lithuania. As Romuald Mieczkowski, editor of the moderate weekly Znad Willi, declared, "If we
had been completely correct to treat us in this
member
way.
in
our behavior, the Lithuanians would have no pretext
have shown a lack of intelligence." Czeslaw Okinczyc, a
"A pro-Soviet reputation is very system brought so much hardship that
of the Lithuanian Parliament, complained,
difficult to cast off,
once a
We
label has
even
if it's unfair.
been given, then
The Soviet
military
it
and the security
military newspaper, Krasnaia zvezda
trumpeting
Gorbachev's
reports last
The old
sticks."'^
(Red
of discrimination
KGB chief,
later
force,
KGB,
supported Edinstvo. The
Star), enthusiastically
against
endorsed the group,
Russian-speakers.
revealed that the
KGB
"stood
Vadim
at the
Bakatin,
sources of the
253
Nationality Questions in the Baltic
formation of international fronts" and that
pointed to the "activity of these
it
interfronts as an expression of 'the will of the entire people'.""^
Europe commentators put
"Now CPSU
it,
and
people in these regions to register complaints and Vilnius."'^ Lithuania faced the prospect
KGB
As two Radio Free
representatives encouraged
make demands of the
authorities in
of a Polish "Karabakh" or a Polish 'Trans-
Dnistria."
"Unity" as
Edinstvo-Jednosc-Vienybe, congress in
May
it
called
itself,
held
its
founding
1989, amid stormy confusion. Claiming to represent 200,000
sympathizers in 160 primary organizations, the leaders shouted, "The socialist fatherland
is in
danger," and they physically fought each other for control of the
stage. (Organizers criticized Lithuanian television for "tendentiousness" in broad-
casting pictures of the combat.) After this meeting
it still
claimed to represent the
Russians and the Poles, but as Jan Sienkiewicz laconically noted, "I would think that
word 'Jednosc' is not necessary there.' *^ The pro-Moscow Polish leaders prospered from the confrontation between Vilnius and Moscow in 1989-1991. In the elections of March and April 1989 for the new USSR Congress of People's Deputies, two Poles, Jan Ciechanowicz (in Russian: Tikhonovsky) and Anicet Brodowski, won seats, thereby becoming the first the
Polish deputies in a
Ciechanowicz
USSR
Parliament. Both were determinedly pro-Moscow.
called for the formation of a Polish republic as part of the
USSR, and
he assured Warsaw journalists that a Pole could indeed be a communist. Brodowski
Moscow because it offered them more than the When Gorbachev blockaded Lithuania in 1990, Moscow made sure
declared Poles must follow
Lithuanians did.
that the Polish region of southeastern Lithuania did not suffer.^^
As
the Lithuanians developed their goal of a national state, Polish leaders
developed
their
own
cultural association,"
national-political
program. In April 1989 a Polish "social-
which had formed a year
anian Cultural Fund, reorganized
itself as the
earlier
under the aegis of the Lithu-
Union of Poles
in
Lithuania
(Zwi^ek
polakow na Litwie, or ZPL), with 15,000 members, under the slogan, "We have
many
fatherlands, but only
one motherland
Macierz jedng—Polskf). The
—Poland" (Rozne mamy
ZPL program was
that they recognized Lithuania as a "sovereign
capital in Vilnius.^
would aim His
first
The group's
and independent republic," with
to represent the Poles of Lithuania in political, cultural,
and a Polish
ojczyzny, ale
moderate; they announced
president, Jan Sienkiewicz, indicated that the
demands focused on educational
instruction
at first
institution
its
group
and civic matters.
matters, calling for better Polish language
of higher learning in Lithuania.
He
also posed the
demand of a Polish mass in the Vilnius cathedral." The pro-Moscow forces among the Poles of Lithuania acted more
highly symbolic
Residents of Salcininkai and the Vilnius
mous
national districts, while
district
Warsaw Poles
aggressively.
declared their areas to be autono-
kept their distance, insisting that this
was an internal matter for the people of Lithuania to decide.^"* When the Lithuanian Supreme Council had proclaimed the reestablishment of Lithuanian independence in
254
Global Convulsions
March
1990,
blockade,
abstained on
deputies
Polish
six
Moscow
encouraged
the
vote.
During Gorbachev's
of Lithuania to break away, promising to
districts
include them in any possible negotiations with the Lithuanian government,^' and the Salcininkai and Vilnius districts proclaimed themselves Polish national districts,
affirming their loyalty to the Soviet Constitution. In
council considered joining the Belorussian SSR.^
May
the Snieckus municipal
The Presidium of
the Lithuanian
Supreme Council immediately declared the Polish actions unconstitutional.-' At the same time, the Lithuanians wanted arms of the Russians.^ In the
renamed
Nationalities Council, in April 1990
appeared
in
that
no one
all
Poles into the
the Nationalities Department, under
When
the direction of a Karaite, Halina Kobeckaite.
Council complained
pushing
to avoid
of 1989 the government had already created a
fall
Polish deputies in the
Mme.
department spoke Polish.
in the
parliament to answer them
in Polish,
Supreme
Kobeckaite
explaining that her office was a
a "select group of nationalities."
state institution, not
Moscow was now
planning
to
use "interethnic conflict" as a Trojan horse for
introducing martial law. In Januar>' 1991 Soviet Special Forces entered Lithuania
and called out Russian and Polish workers government. After the Soviet forces had television tower
wide
on Januar>'
13,
to
demonstrate against the Lithuanian
killed thirteen
however,
people
Moscow backed
in taking the Vilnius
off in the face of world-
protests.
In
many ways
Moscow
the Vilnius action represented both a prelude to the
putsch of August 1991 and also the death warrant of the Soviet regime. The bloodshed
encouraged Lithuanian and Polish moderates Lithuanian "referendum" of February separation from the Soviet Union.
Polish calls for the inclusion of
The
failed
Moscow
to join forces,
The Lithuanians, on
at least
one Pole
in the
putsch of August
Lithuanians took charge and the
first
conflict
and the
ZPL
supported the
on the question of the Republic's
1991
1991
the other hand,
still
ignored
Lithuanian government.^ then changed the game:
came with
The
the Poles. Local leaders in
southeastern Lithuania supported the "coup-plotters," and
when
the Soviet order in
Lithuania collapsed in the aftermath of the putsch, the Lithuanian government
suspended the
local
governments, charging
that they
had been
ser\'ing as tools
of
Moscow.-"^ In their place the Lithuanian authorities appointed governors, promising that
new
elections
would be held
in six
months.
The suppression of the councils aroused a storm of protest in Warsaw and it was seen as oppression of the Polish minority. Eduard Lucas
elsewhere, where reported
in Tlie
Independent (London) of September
12,
"Poles angered by Lithu-
anian Gauleiters"; Lech Walesa, president of Poland, declared, "There
over
.
.
.
the
Lithuania"; and
deteriorating
Adam
been sympathetic,
position
of people of Polish
Michnik's newspaper Gazeta wyborcza, which had
now
criticized the Lithuanians
calmed down only when Stanislaw Stomma, had himself studied
in Vilnius in the
is
(September
16).
anxiety
living
nationalit>'
The
agitation
the president of the Polish Senate
1930s, urged calm.-'
in
in the past
who
The Lithuanians never-
255
Nationality Questions in the Baltic
theless stood
on notice
closely and
more
more
that henceforth
Warsaw would be watching
1992 the Lithuanian government mended some of
In
A
neighbors.
declaration
joint
their actions
critically.
signed
in
fences with
its
its
January by Polish foreign minister
Krzysztof Skubiszewski and Vytautas Landsbergis eased tensions between the
governments, and an agreement signed with Russia
in
September established a
timetable for the evacuation of Russian troops from Lithuania and thereby blunted the threat of
Moscow's
linking the question of withdrawal with any question of
of the "Russian-speaking" population of Lithuania.
rights
(The category of
"Russian-speaking" seemed to include the Poles of Lithuania as wards of the
Moscow
government.) Both the Polish government and the Russian government
henceforth showed
little
encouraging Polish territorial-administrative
interest in
ambitions in Lithuania, and the Lithuanian government delayed the reintroduction of local self-government in Salcininkai sition
and the Vilnius
district.
In 1994, despite oppo-
both in Lithuania and Poland, the Polish and Lithuanian governments signed a
treaty of friendship.
The
position of the Poles nevertheless remained a volatile issue.
numbering some 12,000 members, became much more aggressive. dent,
(Its
The ZPL,
former presi-
Sienkiewicz, apparently retired from public affairs in Lithuania.) Polish
grievances and demands include: the Lithuanians are extending the boundaries of the city
of Vilnius into "Polish
territory"; the
Lithuanians have not permitted a regular
schedule of Polish masses in the Vilnius cathedral; the Lithuanians should create a Polish university; Lithuanian administrators are unfair to Polish interests; the
Lithuanians should dedicate 7 percent of the national budget to the wants and needs
of the Polish population; the Lithuanians must recognize the role of Polish military forces, the
AK,
in Lithuania during
World War H. Poles
also have
demanded
that
Polish be recognized as an official language in Vilnius and certain other cities of the
Republic. ^^
The demands of
the Russians of Lithuania contained less drama. Russian
spokespersons complained about inadequacies in the school system, problems of border residents in crossing the frontiers, the need for a cultural center, and the spectre of an examination in the
Russians began to develop their
knowledge of Lithuanian. Like the Poles, the
own
political
spectrum with jockeying for positions
who
supported the Lithuanians in
the crucial days of January 1991, complained that the
government no longer wanted
of authority; Orthodox Archbishop Khrisostom,
to hear
him
out.
Underlying the Russians' grievances was a resentment
at
having
lost
their privileged status as the majority."
While major issue
history
is
a major factor in the grievances of Poles and Russians,
in the Lithuanians'
Jewish population
is
small,
problems of dealing with
numbering
less than 10,000,
their
to the
the
with a large percentage of
emigrating each year; there are annually more than twice as
According
it is
Jewish minority. The
many
Jewish writer Grigorii Kanovicius, there
is
it
deaths as births.
no
official
anti-
256
Global Convulsions
Semitism,^ but the Lithuanian government has found scrutiny concerning the
memory
itself the target
of the Holocaust during World
The problem of Lithuanian-Jewish
historical relations
War
of international
EI.
eloquendy
Many
dangers of building historical interpretations on stereotypes.
illustrates the
Jewish writers,
nodng that Lithuanians participated in pogroms during the Second Worid War, condemn the Lithuanian nadon as a whole; many Lithuanians, on the other hand, nodng the support and service that Jews provided to the Soviet authorises in 1940 and 1941 condemn the Jews as a whole. When Lithuanian Prime Minister Adolfas Slezevicius, in
September 1994, expressed
regrets for the participadon of Lithu-
anians in and-Jewish acdons during the war. The
New
York Tinies reported Jewish
complaints that his statement was inadequate, and Lithuanian nationalists
demanded prosecution of the
individuals
who had participated
at
home
in the persecution
and
deportation of Lithuanians in the aftermath of the Soviet occupation of the country." Until both sides can little
move beyond
negative stereotypes of the other, there will be
progress in resolving this sort of dispute. In creating their national state, the Lithuanians proclaimed broad civic rights
however justifiable
for the minority nationalities, but their
own
cultural goals,
thoughts of
the Lithuanians
may
consider
emphasizing a program of national statehood stimulates
territorial identity
on the part of the other
nationalities of the Republic.
Nationalists think in terms of a state serving the interests of the Lithuanian "nation,"
and one can fmd groups and publications suspicious and even intolerant of other nationalities.
The
1993 evoked comparisons with the situation coalition
Brazauskas
fact that the minorities of Lithuania supported Algirdas
and the Lithuanian Democratic Labor party (LDLP)
1926,
in
of 1992 and
in the elections
when
government supported by the minorities and
a coup overthrew a
installed
a
nationalist
government. The discussion quickly passed away, but commentators have continued to express
A
concern about the attitudes and intentions of the Poles.
number of
toward the Poles.
journalists criticized the socialist
On
government
as being too soft
April 24, 1993, Lietuvos aidas, which calls itself the "state
newspaper," carried a headline, "The Union of Poles Plays the Tune, the the
VRK
18, 1993,
[i.e.,
the elections commission] Dances." Writing in
LDLP and
Atgimimas of August
Audrius Baciulis declared: "Having made a preelection bargain with the
Union of Poles, the LDLP is now paying its debts."-^ When the treaty of friendship between Warsaw and Vilnius came before the Parliament for ratification in 1994, nationalists
complained
that the Polish
Lucjan Zeligowski's seizure of the In
all,
city
government had not apologized of Vilnius
the policies of the Lithuanian
identity of the
two major minority
Romualdas Ozolas argued
this
that
for General
October 1920.
government have reinforced the corporate
national communities, Russians and Poles; the
Poles even have guaranteed representation
persons of the regime hope in
in
way
in the
Lithuanian Parliament. Spokes-
to guarantee their loyalty: In the fall
Pope John Paul
II,
in calling
of 1993,
"Lithuania's Poles
Lithuanians of Polish Ancestry," had emphasized "not only the
civil
integrity of
257
Nationality Questions in the Baltic
peoples living
in
Lithuania but also the significance of the state orientation of
culture."^^
The Lithuanian government's Department of Karaite Halina Kobeckaite from
Kobeckaite emphasized ating religions.
It is
legal, juridically
Nationality Affairs, run by the
1989-94, nonetheless took a different approach.
civil rights for the
Republic's 109 nationalities and 13 oper-
make laws and
the obligation of the state, she argued, "to
create
based opportunities for realizing the basic needs connected with
national self-consciousness."
She called
for separating citizenship
from
nationality
criticized the provision of the Lithuanian Constitution that declares, "Ethnic
and
com-
munities of citizens shall independently administer the affairs of their ethnic culture, education, organizations, charity and mutual assistance" (article 45). "In
she explained, "this concept should be changed since
it
raises juridical
my
opinion,"
problems," and
she objected to the thought that an individual must belong to an association in order to
enjoy national rights.^ In 1994 the department was absorbed into another government agency, and Kobeckaite became the Lithuanian ambassador to Estonia. In sum, the relations between the nationalities of Lithuania are
So
far the Lithuanians
mined
efforts
of
its
viduals, continuing
course, still
all
have avoided major ethnic conflict
crisis,
and possible
yet play significant roles in
its
developing.
this despite the deter-
The decisions of
eastern neighbors to arouse such conflict.
economic
still
—
inter\'ention
indi-
by neighbors may, of
evolution. Negative images
from the past
linger to cause problems; but the general trend has been positive.
Notes
1.
Martha
Brill Olcott et
al.,
eds.,
The Soviet Multinational
and Documents (Armonk, N^: M.E. Sharpe, 2.
in the Soviet
the Dictatorship," reprinted in Journal of Soviet Nationalities 3.
Robert Blackwell, as cited
A conference
Institute at
A
4.
Union: The View of
(1990): 37-38.
Congressional Roundtable on U.S. -Soviet
in
affairs in
the
December
Rand/UCLA Center,
1986, sponsored by the
completely ignored the
See The 27th Congress of the Communist Party of the Soviet
Report from the Airlie House Conference, December 1986.
See Alfred Erich Senn. Lithuania Awakening (Berkeley: University of
California Press, 1990), p. 5.
on Soviet
Columbia and
nationalities question.
Union:
1
1984 Report (Washington, D.C.: Peace Through Law Education Fund,
1984), p. 22.
Harriman
Readings
1990), p.27.
See John Armstrong, 'The Ethnic Scene
Relations:
State:
See Lietuva,
8.
Litva,
Lithuania.
Sbomik materialov
(Vilnius,
1989), pp.
35-46; Uetuvos Taryby Socialistines Respublikos pilietybes istatymas (Vilnius:
LTSRAT1990). 6.
See Uetuvos
rytas, April 2, 1993. Lithuanians explain the declining
population as follows: The Russians received citizenship and with
it
Russian
vouchers for
258
Global Convulsions
buying propem to
move
to
the> used the \ouchers to bu\ their apartments.
;
Russia could
sell their
apartments for less mone\ and have cash 7.
to hire
that
When
the atomic energ\' plant
Russians
Those who wanted
apartments, and in Russia they could buy
was being
managers were under orders
built,
preference to Lithuanians. In 1960. on the other hand.
in
new
left over.
I
discovered
many people whom I heard speaking Russian in public were, in fact, Poles. 8. Sovetskaia Una, March 3, 1990. 9. Cf. the memoir b\ Georgii Efremow My liudi drug drugu (Moscow:
Pro-
gress. 1990). 10.
Saulius Gimius and .\nna Sabbat-Swidlicka, "Current Issues in Polish-
Lithuanian Relations." in Radio Free Europe. Report on Eastern Europe, Januar\
1.
1990. p. 42. 11. In his
in \\t\\
significant 12.
March
3.
13.
account of
"'the
view oi the
problem
for the regime." .\rmstrong. op.
Gimius and Sabbai-Swidlicka,
ir
.Armstong had written,
".
.
.
op.
cit.
cit.
note
2, p. 39.
Una,
note 10, p. 41; Sovetskaia
1990.
For an example of Lithuanian expectations
mo
Trinkuniene. '•Respublikos persit^a^k^ rusp
dictatorship.'"
of their low degree oi social mobilization ... the Poles scarcely pose a
of reporting,
procesy atspinds
s
lenky kalbomis (kontentanalize)." in A. Matulionis
Sajudis (Vilnius: L^LAFilosofijos. sociologijos
ir
et al.. eds..
Czenvony sztandar. October
15.
Senn. op.
16.
Gimius and Sabbat-Swidlicka,
17.
See Index on Censorship 10 (October 1992): 26.
18.
Vadim
Inija
Uetma
teises instimtas. 1990). pp.
14.
cit.
see
Lietuvos laikrasciuose ir
25-28.
28. 1988.
note 4. pp. 240-41.
Bakatin. Izbaxlenie ot
admission of the mihtar>'s
cit.
KGB
Gimius and Sabbat-Swidlicka,
20.
Komjaunimo
tiesa.
May
21. See inteniews with
6.
op.
note 10. pp. 43-44.
(Moscow: Novosti. 1992).
role, see Izyestiia
19.
(1990): 56-58. and in
op.
TsK KPSS
cit.
3 (1991):
p. 49.
For an
1(X).
note 10. pp. 39-50.
1989.
Ciechanowicz
LAD. October
15.
in
Lithuania (Warsaw, in Polish)
1
1989: and interview with Brodowski in
Vil'nius (Vilnius, in Russian) 2 (1990): 84-93.
22. p.
Uthuania
1
(1990): 147-51; Grinius and Sabbat-Swidlicka. op.
cit.
note 10.
44. 23.
Komjaunimo
Polish church province.
May 6, When I asked
tiesa.
1988, he smiled and confirmed
own." Inten iew. October
6.
this,
was
officially part
of the
Vincentas Cardinal Sladkevicius about
this in
1989. \llnius
still
but he then added. "In practice
we
treat
it
as our
1988.
24. Steve Burant, "Polish Lithuanian Relations: Past, Present, and Future,"
Problems of Communism, May-June 1991, pp. 67-84. Cf. the interview with the Polish ambassador in Lithuania, "Istorija-istorikams. gyvenkime del ateities," Respublika, Apnl
6,
1993.
*
the reaction by
Cf.
25.
259
Nationality Questions in the Baltic
Romualdas Ozolas,
recorded in his Pirmieji
as
atkurtosios nepriklausomybes metai (Vilnius: Valstybinis leidybos centras, 1992), pp. 47, 63. 26. Lietuvos Respublikos Auksciausios Tarybos
[LRAT] Stenogramos,
vol.
1
(Vilnius: Lietuvos Respublikos Auksciausioji Taryba, 1990), pp. 114—15; see also
7:
164-70;
8:
355-88. For a more recent view of attitudes
Visaginas, see the interview with
power plant, 21.
in Vil'nius
V
in Snieckus,
now renamed
N. Shevaldin, general director of the Ignaline
4 (1993): 10-15.
LRAT Stenogramos, 6:
168.
28. Author's interviews in Lithuania,
August 1990.
Czeslaw Okinczyc interview, Pasaulis 8 (1991): 34-38. 30. See Juozas Matakas, 'The Problems of Ethnic Minorities in Lithuania: The Polish Ethnic Minority," Lithuania Today: Politics and Economics (Vilnius) 6 29.
(1992): 14. 31.
See
"Rozmyslajpc nad etapami," Lithuania
his
1
(1990): 4-10.
me
32. Although a Lithuanian government official told
that the Polish
ambas-
sador intervenes far more on behalf of his compatriots than does the Russian
ambassador, Polish nationalists in Lithuania have expressed considerable discontent with what they see as a lack of support from Warsaw. terized the job of the Polish
An American
official charac-
ambassador as the toughest diplomatic position
in
Vilnius. 33.
The best-known Russian of
Lithuania, Nikolai
Medvedev, argues
that the
Lithuanians have handled the national question better than the Latvians and Estonians, that Russian youth are
more comfortable
in Lithuania than the older
generation, and that Russians are doing best where they form a
community and
feel
needed, as in SnieckusA^isaganas. Interview, Vilnius, June 22, 1993. 34. Interview, Vilnius, June 17, 1993.
See also
his farewell interview before
emigrating, Lietuvos rytas, July 27, 1993, reprinted in Golos Litvy 30 (1993). 35.
On
sympathies within the Jewish community for Soviet rule in 1939^0,
see Ben-Cion Pinchuk, Shtetl
Jews under Soviet Rule (Oxford: Basil Blackwell,
1990). In 1941 the Soviet authorities also deported Jews from Lithuania. 36. Baciulis also to find support
with
filed
the
rytas,
that other Lithuanian parties
had made
little
the Polish population. See also the complaint that the
Lithuanian
Atgiminms 2^ (1993): 37.
complained
among
government,
reprinted
as
effort
ZPL
"Lenky Sajunga puola,"
5.
See Romualdas Ozolas, "Popieziaus dovanos kiekvienam musy" Lietuvos
September
38.
On
Lithuania
1
14, 1993.
Kobeckaite's (1991): 22-27;
views,
see
Vechemye
her
interviews
novosti, April 2,
and
articles,
including:
1991; Vd'nius 6 (1991):
117-19, 10 (1991): 3-18 (especially on Russians), 6 (1992): 150-56; Atgimimas 9 (1993): 9;
"My
grazhdane gosudarstva," Vd'nius 5 (1993): 108-16.
Among
the
publications of the Department of Nationalities are: National Minorities in Lithuania
260
Global Convulsions
(Vilnius: Centre of National Researches of Lithuania, 1992),
and Taurines mazumos
Lietuvos Respublikoje (Vilnius: Valstybinis nacionalinip tyrim^i centras, 1992).
Russian community
in
Lithuania has published Russkie
v
The
Litve^problemy
i
perspektivy (Vilnius: Prezidium Soveta Russkoi obshchiny Litvy, 1992).
I
13 EthnonationaKsm and the Disintegration of Yugoslavia ROBIN ALISON REMINGTON
Nationalism, like
fire,
can build or destroy. For politicians and societies blessed with
stable political institutions
signifying
commitment
and viable economies, nationalism
is
an element of power
to a nation-state. In this sense nationalism functions as
an
instrument for mobilizing support for national interests, national goals. Such nationalism contributes to political cohesion. Yet under conditions of political/economic instability nationalism fuels aggression, ignites wars,
everything in
its
This analysis
and
starts
from the assumption
that a nation is a collection of individuals
nation. Nations
and
like a forest fire devastates
path.
may
Ethnonationalism
is
of mind"^
that "nationalism is a state
who by
self-definition
have become a
be, but in the Balkans usually are not, coterminous with states.
a conscious bond between
they are living in the
same
state,
members of a
nation whether or not
the conceptualization of "us" defined by the
presence of "them.'*^ This chapter investigates the role of ethnonationalism in the disintegration of Yugoslavia. torically
It
explores the tentative hypothesis that the popular stereotype of his-
determined Balkan tribalism as the primary culprit
peaceful, multiethnic society to savagery
is
this
once
an oversimplification of a complex
inter-
in
reducing
action of variables: including flawed Yugoslav and international institutions, criminally irresponsible political leaders manipulating national/ethnic tension for personal gain,
and an unstable international security environment. The focus
defines the nature of relations between "us" and "them" nations battling for
—
stop
new
among
borders. Since the disintegration of Yugoslavia
the four-month cease-fire did not hold long
Bosnia and Herzegovina on the "basis
of
enough
is
on what
the southern Slav is
unlikely to
to stop the fighting in
the international contact group's (Great
261
262
Global Convulsions
France, Germany, Russia, and the United States)
Britain,
making
—acceptance of
of the United Nations
1994
effort
Slovenia, Croatia, and Bosnia and Herzegovina as
May
in
at mapmembers
1992, provides a manageable cutoff point for this
analysis.
The Nationalism It is
of Nonstate Nations
important to understand the origin of ethnonationalism in the former Yugoslavia.
For centuries
this part
of the Balkans has been a crossroads of competing empires.
The second Yugoslavia (1945-91) was five then
—with
ferent historical experiences nationalities.
a young state trying to meld together
the addition of the Bosnian
and
Ethnonationalism as
Muslims
first
six nations with very dif-
along with
political cultures, it
—
literally
dozens of
influenced the dynamics that led to the collapse
of Yugoslavia involves the primary Serb-Croat relationship, the Serb- Albanian clash
over whether history or demography should control the balance of power
in
Kosovo,
backlash Slovene and Bosnian Muslim nationalism, and the Macedonian question that never dies.
The overarching problem
is
that both Croats
identities as nonstate nations in the
separation, these identities survived
and Serbs developed
womb of competing empires. on myths of past
glories
and independence. Such
ethnonationalism was essential to preserve and save the nation. Rather,
much
Yugoslav
like the postcolonial nations
states
of Asia and Africa, the
emerged from imperial domination divided by
arbitrary boundaries, conflicting political cultures,
their national
During centuries of
It is
first
not unique.
and second
history, religion,
and incompatible expectations
in
relation to their shared futures.
Although the international community and media have focused on the Serbian aggression in the
name of "greater
Serbia,"
memories of past
evil
of
glories mingle
with present aspirations in Croatia as well. In his interview with Croatian president
Franjo Tudjman, Steve Coll describes the picture of King Tomislav
above Tudjman's desk and the picture
in the
in battle
armor
lobby of decapitated Turkish Muslims,
as Croatian knights ride through a conquered village beneath angels carrying a
banner
that reads
"Glory and Victory"^ both conjure up images of past
glories.
In addition to the dysfunctional role of nonstate nation ethnonationalism for state-building, there are three
subthemes from Serbian history
struggle to restore or keep the peace within or
Communist
Yugoslavia.
First, the territory
dent state of Croatia, largely frontier
where Serbs have
—though
among
that haunt those
who
the successor states of post-
being fought over in the newly indepen-
not totally
—corresponds
to
the military
lived for generations. Second, the Bosnian Serbs have a
long history of rebelling against international decisions forcing them to live under
what they consider unacceptable foreign administration. The 1878 Congress of Berlin that led to Austrian annexation of the region in 1908, must share the blame for
Ethnonationalism and the Disintegration of Yugoslavia
the 1914 assassination of the Austrian the start of
World War
I.
is
in
Sarajevo and
Kosovo, now populated by an estimated 85 percent
Finally,
ethnic majority of Albanians
Archduke Franz Ferdinand
263
the beating heart of Serbian history: the sacred birth-
place of the Serbian church in 1346. Unfortunately, the
Kosovo
is
also the cradle of
modern Albanian nationalism and
home of 1.6 million of the 2.05 million ethnic Albanians recorded Of 3.5 million Albanians in the world, more than one-third live
census.
successor
states,
politicians play
and by
upon
far the majority
1991
in the in
Yugoslav
of these reside in Kosovo. Just as Serbian
fears for the safety of Serbs living in Croatia, as well as in
Bosnia and Herzegovina, Albanian
demand protection for their "martyred some media exaggeration, there is weakest link for those whose nightmare is a
politicians
brothers" in Kosovo. In short, notwithstanding
good reason
to
widening war
worry
that
Kosovo is
the
in the Balkans.''
Bosnian Muslims are perhaps the hardest nation to categorize. These are Slav
Muslims, not ethnically
Muslims themselves, would argue
that all
distinct
as well as
Serbs and Croats, there are those
Bosnian Muslims are Croats or Serbs respectively.^ In
Bosnian Muslims are an
Broz
from Serbs and Croats. Indeed, among Bosnian
among both
created nation, the product of President Josip
artificially
Tito's attempts to contain Serb-Croat conflict in
Bosnia and Herzegovina, and
also designed to advance the cause of nonalignment in the
gory "ethnic Muslim" was used by the regime as of 1968.
two million respondents themselves in
By
the 1991 census, that
roughly 65,000, with 1.9 million of the
—
of Bosnia and Herzegovina
To
The
cate-
the 1981 census,
some
Middle
By
East.
(8.9 percent of the total population of Yugoslavia) identified
this category.^
the population ratios in
who
this view,
that
is,
total
number had gone up by
making up 43 percent of the population
before policies of "ethnic cleansing" changed
ways yet to be recorded.
return to the larger picture, having established that Serbian
and Croatian
ethnonationalism alike were largely dysfunctional during the attempted transition to a shared southern Slav text through
state,
it is
important to look at the political/institutional con-
which these nations expressed
neither Croats nor Serbs
were engaged
that concept. Rather, both
wanted
their
hopes and
fears. Indeed, in
in nation-building in the
to imprint their
own
1918
Western sense of
preferred organizational
model. These conflicting state-building agenda continued throughout the second Yugoslavia, and are central to the 1991 collapse into civil war.
Continuity with Interwar Yugoslavia
Given
their experience with
Hungarian promises made and promises unkept, Croats
brought a deep suspicion of unequal relationships to the 1917 negotiating table
in
Corfu. Not surprisingly, the Council of Croats and Slovenes wanted a confederal
Yugoslavia, a partnership of equals. Equally predictable, Serbs saw the proposed
264
Global Convulsions
southern Slav state as the road to a restoration of Tsar Dusan's medieval Serbian
Empire. In the 1990s, Slovenia and Croatia again turned to a confederal community of nations (EC, consociational model) as the appropriate constitutional framework for
post-Communist Yugoslavia. Serbs again looked
to an integrated federation in
which the Serbian population (roughly 9 million of the 23 million
total)
would
translate into political advantage.
Here the
failure
of interwar Yugoslavia underlines the conflicting political
cultures that divided the
Kingdom of
When King
Serbs, Croats, and Slovenes.
Aleksander disbanded Parliament and established a Serbian dictatorship Serbs accepted
this as
in
1929,
an appropriate law and order measure and blamed Croats for
the parliamentary gridlock. Conversely, Croatians perceived these measures as de facto martial law,
what many saw as Serbian colonization of Croatia.
Croatian militants responded by organizing a violent resistance movement, the Ustashe, that retaliated by participating in the assassination of the Serbian king during
France
his trip to
in 1934.
state in 1941, Hitler sent
When
the putatively Independent
Kingdom of
Croatian state in eight hundred years, and
Fascist Croatia
Having a never
and
war machine carved up
the Nazi
the
first
Yugoslav
back the leader of the Ustashe, Dr. Ante Pavelic, as head of Croatia. This
it
was the
independent
first
included Bosnia and Herzegovina.
WWII
clear idea of "what's in a name," the Croats invited an Italian duke,
left Italy, to rule
under the
campaign of "ethnic cleansing,"
who resisted
title
who
of King Tomislav H. Pavelic's SS set out on a
killing
hundreds of thousands of Serbs, Jews, and
them in death camps run by Men, women, and children were herded into Orthodox churches and burned alive. Jasenovac became the symbol of a Serbian holocaust. Serbs blamed Bosnian Muslims for allying with or at least not resisting Croatian
Gypsies. Croatians
indigenous Croatian
brutalities,
the slaughter died with
fascists.^
and committed
atrocities in retaliation against
both Croats and Muslims.
Ethnonationalism and Communist Yugoslavia
Given the legacy of the mutual wartime
atrocities,
to blacklist ethnic politics
failed interwar it is
experiment with national integration and
not surprising that
from the
Communist Yugoslavia attempted The goal was to replace the first
political stage.*
Yugoslavia, seen by non-Serbian nations as a de facto greater Serbia, with a southern
Slav federation pledged to the brotherhood, unity, and equality of nations."^
The
"revitalized belief system""' that
federalism, which alist
all
participating
myth of wartime partisan solidarity became the cornerstone of a was designed
was to
institutionalized in the
form of a multinational
buy time while the revolution redirected nation-
passions into class identity." Thus, from the
start,
the legitimacy of
Communist
Ethnonationalism and the Disintegration of Yugoslavia
Yugoslavia rested on the Communist party's performance
in
265
meeting not only
socialist but also ethnonationalist expectations.
The tion in
committed the party's leaders
implicit social contract
which some nations were not more equal than
identity
would provide
integration.
amounted
On
others.
to a socialist revolu-
On
the one hand, class
the needed national cohesion for state-building and national
the other, as Serbs were quick to point out in the 1990s, this
to reinstating the
how to live together,
Slovene and Croatian community of nations model of
thereby punishing the Serbs.
Socialist Self-Management: the Yugoslav Alternative
In 1948, the break with the Soviet
road to socialism.
^^
Moscow
guise of in-system
to detour off the Soviet
who proclaimed the brave home and nonalignment abroad, the Yugoslav
Notwithstanding the intentions of those
new world of self-management challenge to
Union forced Yugoslavia
at
inadvertendy opened the back door to ethnic politics in the
territorial/
on Yugoslav's national road
ment legitimized demands
bureaucratic bargaining. Perhaps inevitably, insistence
to socialism within the international
for increased
communist move-
autonomy by the constituent nations of the
Yugoslav Federation. This had repercussions for center-republic power sharing, reducing the Yugoslav Communist party to a League of Communists
—more
Communists of Yugoslavia, (LCY)
—
^the
League of
vulnerable to challenges from strength-
ened regional party organizations. Since these republics and autonomous provinces
were
largely
synonymous with
national identities, this essentially rehabilitated the
nation.
Over time these problems were further compounded by a lack of political development that, according to Samuel Huntington's criteria, amounted to a lowlevel of political institutionalization'^ to create a viable, conflict.
And
autonomous
—
that
so, contrary to the intent,
is,
the failure of
Communist Yugoslavia
machinery for resolving ethnonational
political
by the 1960s the ideological propositions of
nonaligned, self-managing socialism combined with targets of opportunity created
by a booming Yugoslav economy
The campaign
to
form a
volatile mix.
for market socialism divided republic/provincial party organiza-
tions along territorial
and bureaucratic
lines.
This created regional political actors
motivated by acceptable, in-system economic nationalism. Less acceptable national
spokesmen reemerged
in the
wake of foreign
policy strategies that
saw Yugoslavia's
multinational society as a bridge to other key parts of the Balkans and the Middle East.
As
part of the
same package, support
for
Macedonian nationalism became an
instrument in Yugoslav-Bulgarian relations."* In those days, the Bosnian
campaign
for national status appeared to
Yugoslav influence-building among Muslim countries Africa.''
Muslim
have been an acceptable price to pay for in the
Middle East and North
266
Global Convulsions
In short.
Yugoslav domestic and foreign policy imperatives alike worked
to
erode the distinction between good and bad nationalism, setting off cycles of centralization-decentralization that
weakened
the federal center. Despite President Tito's
crackdown of 1970-71 on Croatian ethnonationalism
in the
form of a mass national
mo\'ement, the balance of power between republic party organizations and the
LCY
shifted steadily towards the regional parties. In this context, four repercussions of Yugoslavia's self-managing alternative to
on the
"real socialism," Soviet style, belong
list
of long-term causes of the 1991
collapse of post-Communist Yugoslavia into civil war:
l.Much
like
the
became used
West during
the
Cold War, Yugoslav policymakers
to a security situation in
which external
threat
papered
over ethnonational differences rather than resolving the them. 2.
As
a result, the Yugoslav armed forces became politicized and accus-
tomed
to a privileged
economic and
political position within
Yugoslav
society. 3.
The permanent liferating
LCY
identity crisis of the
over
its
relationship to pro-
self-managing institutions limited party adaptability, under-
mined coherence, and
essentially substituted Tito's charismatic authority
for political institutionalization. 4.
An
unintended de facto association of territorial/bureaucratic politics
with ethnonational political agenda reopened the back door to national/ ethnic politics.
From Charismatic Authority
to Collective
Leadership
President Tito was the George Washington of architect of the
Godfather
who
called the shots, and
national conflict. political
When
machinery
authority, for
Communist Yugoslavia, and an stage. Tito was the
Nonaligned Movement. He walked on the world
he died
that
banged heads where necessary
was fundamentally grounded
which there was no
substitute.
enshrined in the Constitution of 1974,
this
Known was a
designed to contain debilitating power struggles Party-state collective leadership based
republic/provincial party organizations
to broker ethno-
people a complex, cumbersome
in 1980, Tito left his
in
his
own
charismatic
as the Titoist solution,'^
deliberate diffusion of
among would-be
successors.
on four key elements assured
would have
their ttjrn in the
room
that all the at the
of the pyramid of power: 1.
federalization of the party into nine parts (the regional parties plus the
JNA party organization); 2.
interrepublic and provincial consensus as a decisionmaking procedure;
3. territorial/ethnic
keys for
political
jobs
at all levels;
and
and
power
top
Ethnonationalism and the Disintegration of Yugoslavia
4. rotation
267
schedules designed to de-professionalize politics in theory, and
prevent any vestige of cadre job security in practice.
This quota-system expanded the number of unofficial political actors in what
became an
inevitably
war. Notwithstanding
interrepublic/provincial its
and center-regional
political tug-of-
continued responsibility for foreign policy, defense, and an
amorphous "united market," the
federal
government did not stand a chance. With
undesignated powers devolving to the republic/provincial
level, the
immediate
all
result
was a hemorrhaging of power from the federal center to regional party organization. The federal party was rapidly reduced to mediating between powerful republic/ provincial fiefdoms for declining resources.
Contradiction time,
number
one: While
it
may have been
the best that could be
nothing in the political apprenticeship during
Tito's lifetime
successors to operate the complex, post-Tito, political machinery he Tito's
economic legacy was
still
more of a
liability.
debt.'^
behind.
left
Tito had ignored
advisers who, as early as 1978, were pressing the president to
growing hard-currency
done at the
prepared his
economic
do something about the
His luckless successors did not have that choice. The
roughly $20 billion hard currency debt became subject to continual
an austerity budget that required steadily declining standards of
IMF demands for
living.
For Yugoslav
workers, housewives, and pensioners facing the post-Tito economic facts of life was a painful shock. Thus, "the sacrificed generation" paid for Tito's
Given the
fact that the Tito
myth was
economic mistakes.
essential to political stability, those stuck with
cleaning up his economic act could not even say don't blame us.
Rise of the National Gladiators Clearly, legitimacy via
economic performance was not
in the cards, yet all politicians
crave and need legitimacy to govern. The political merry-go-round of collective leadership denied
jumped
in
name
recognition and institutionalized legitimacy to those
and out of the room
reserved for those
who
at the top
who
with dizzying speed. The lack of slots
thought of themselves as Yugoslavs on the collective presi-
dencies or in the foreign service was a serious flaw in relation to ethnonationalism.
It
name of Yugoslavia, but one's political career depended on appealing to voters closer to one's home base. Step-by-step, ethnonationalist politics became the only truly political game in town. was well
to
speak
in the
Contradictions two and three: The imperatives of economic reform
and
political
consolidation of a viable, integrated Yugoslavia were fundamentally at odds, while the Titoist solution simultaneously
weakened
the federal
government and removed
incentives for post-Tito politicians to think of themselves as Yugoslavs.
268
Global Convulsions
Ethnonationalist Precipitants
Kosovo: Albanian, Serb, and Slovene Perspectives
By
giving the Serbian
Autonomous Province of Kosovo
direct, if not exactly equal,
access to the ruling party/state bodies, the Constitution of 1974 escalated ethnonationalist ambitions of the
demands
Albanian majority of the province. The issue centered on
for republic status. After
all,
donians, and 577,000 Montenegrins could have their million Albanians
between Serbian
—
the majority of the population in
historical claims
stage in which, for the
who
Albanians
alists riots
ditions,
republic,
Kosovo? The
why
not 1.6
irredentist struggle
and Albanian demographic demands entered a new
worked
time, federal institutions
to the favor
of the
from those most
intent
on republic
status to out-and-out
became an open part of the Kosovar Albanian political spectrum. Nationin March and April of 1981 led to a state of siege, with federal troops
what the Albanian population viewed
acting as
own
held de facto control, but denied them real juridical control.
Militants, ranging separatists,
first
Mace-
million Slovenes, 1.3 million
if 1.7
many Kosovar
as an occupation force. In these con-
Serbs and Montenegrins began to leave the province, further
weakening Serbia's demographic
case.
In turn, the resulting Serb, Montenegrin, and
Macedonian backlash
"nationalist excesses" throughout other federal units.'*
1986 with a controversial
draft
of a
proliferated
That process culminated
memorandum by
the Serbian
Academy
in
of
Sciences which attacked the Constitution of 1974, warned of Albanian sponsored
genocide against Kosovar Serbs, accused Croatia and Slovenia of obstructing Yugoslav unity,
and
insisted that Serbs
were deprived of
their national
identity
and
deliberately divided in Tito's Yugoslavia.'^
This tion
memorandum provided
from a
the platform for Slobodan Milosevic's transforma-
unknown party boss into a virtually which came in April 1987 with his pledge to
relatively
Serbian nation,
iconic defender of the protect
Kosovar Serbs.
Pandering to Serbian backlash ethnonationalism, Milosevic vowed to derail eco-
nomic reform
until the issue
of counter-revolutionary activity
Kosovo reintegrated into Serbia proper. The Serbian godfather's populist, street the Slovenes,
who
feared that
constitutional rights of the
Slovenes were also
1
.6
if
politics
were
Kosovo was
in
solved;
particularly threatening to
Serbian hegemonic demands could eliminate the
million Albanians in Kosovo, the rights of
at risk. In this sense, the crisis in
Kosovo
1
intensified
.7
million
what was
gingerly called the "Slovene Syndrome." Undeniably, Slovene internal politics and Ljubljana's positions on all-Yugoslav political/economic issues were discemibly different
from those of the other republics.
Whether or not such differences added up play a crucial role in the collapse of Yugoslav. horrified hardline Serbian politicians,
would suggest
to a
who were
that Serbia's historically
syndrome, three of them came to
First, the
Slovene
liberal
media policy
furious that Slovene journalists
heavy-handed policies
in
Kosovo, indeed
Ethnonationalism and the Disintegration of Yugoslavia
269
Serbian historical nationalism, had contributed to the ongoing difficulties Serbia faced in the province. Second, the very economic prosperity of Slovenia, where
was
there
virtually
no unemployment and per capita income was roughly twice the
national average, led to resentment at the flow of Slovene foreign currency to the federal
regard,
government or
in the
form of subsidies
to their southern neighbors.^ In this
Slovenes began to talk about "defensive nationalism."^' Finally, long-
standing tensions between Slovenia and the Yugoslav military escalated over the arrest
and
trial
of three Slovene journalists accused of leaking military secrets. Thus
began the events
Janez Jansa, to his fateful position as Slovene defense
that led
minister in June 1991.
The Romanian Revolution Mikhail Gorbachev's "new
country and the world reposi-
political thinking" for his
tioned Yugoslavia from the engine of East European systemic change to the caboose. military veto over East Central
With the end of the Soviet
European reform, com-
munist governments crumbled with the Berlin Wall. Previously hegemonic nist parties
became
stragglers
that the
system was in
The
on the road
crisis,
democracies and market
to multiparty
politicians, workers, students,
economies. In Yugoslavia,
and housewives
but there was no agreement on what
was
overthrow of the Romanian president and
violent
commu-
to
all
knew
be done.
dictator,
Nicolae
Ceausescu, in December of 1989, lacerated the concept of "socialism in one family,"
and shook the party and society political gridlock, the
formal monopoly of power the
Still,
alike.
Amid a growing
sense of frustration and anger at
LCY accepted the principle of opposition parties and gave up its at the
January 1990 14th Extraordinary Party Congress.
League of Conmiunists of Yugoslavia stood deadlocked over the long-
standing conflict
and the rules of
among
the nations of Yugoslavia concerning political organization
state-building, that
community of equal
is,
over incompatible visions of Yugoslavia as a
nations (the European
Community [EC] model)
as an integrated federal system (a "greater Serbia"
which the
Yugoslavia had floundered. The 14th
first
resolve the differences between those
much
—
model)
too far and those
who
felt
it
who
LCY
or Yugoslavia
the very issue
upon
Congress could not
thought that the Titoist solution had gone
had not gone
far
enough. Although
officially the
Congress was only postponed, committees charged with working out a compromise platform never had a chance.
and established
his
own
By
July 1990, even Milosevic had abandoned the
LCY
Socialist party of Serbia (SPS).
Multiparty Regional Elections
With the
failure
of the federal party to survive
multiparty politics,
all
eyes
now
turned to the
in the
new
new
political
environment of
cast of political actors
emerging
270
Global Convulsions
from regional multiparty elections." Center-right
parties
dominated the elections
in
Croatia and Slovenia, while nationalist coalitions shared power in Bosnia and
Herzegovina, and Macedonia. Milosevic stayed on as president of Serbia. The SPS
won
control of the Serbian Parliament and found a willing ally in the winning
Communist
Momir Bulatovic. The interests and common beyond their strategy of appealing
party of Montenegro, headed by
constituents of these winners had
little in
to ethnonational fears vis-a-vis their ethnonational agenda.
Yugoslav Prime Minister Ante Markovic's favorable rating translate into
Forces
in
any of the
party further
Worse
any significant victory for
still,
six republics.
weakened
among
late.
The
Reform
defeat of his
came
broker as he
to lose credibility as a neutral
in the electoral arena.
There can be no doubt
Union (CDU)
Markovic had organized too
the authority of the already staggering federal government.
the prime minister
engaged contending forces
cratic
in the polls^^ did not
his hastily constructed Alliance for
that the victory of Franjo Tudj man's Croatian
in the spring
Demo-
of 1990 reflected an intensified ethnonationalism
Croats. Like the nationalist fever that swept Serbia in 1987-88, Croatia
was
gripped by political euphoria. The Croatian voters saw Tudjman's victory as the to make Croatia the republic of Croatians. Monuments against fascism disappeared, along with reference to the political rights of the 600,000 Serbian minority in the Republic's new Constitution.^ Croatian history was rehabilitated. That history, along with the flag of the ancient Kingdom of
chance
Croatia, aroused very different emotions in Croats and the Serbian minority that had
survived the massacres of Serbs living in the fascist Independent
Kingdom of Croatia."
Serbs in Knin, the heart of the Krajina region, immediately warned that Croatia
could
responded
leave
Yugoslavia,
they
to Croatian "sovereignty"
proclaimed sovereignty by harassing
would leave
and attempted
tourists
to
Croatia.
Serbian
implement
if
militants
own
their
self-
and blocking the main road from Zagreb
to the Adriatic coast. This cut the artery of Croatian tourism.
Tudjman
retaliated with
an "ethnically pure" Croatian paramilitary police. Croats agreed with the measure as
an appropriate response to a law and order problem. Krajina Serbs saw
it
as a return
Thus, Serbian memories of what happened to the Serbian minority
in the last
to policies of Croatian fascism.
independent Croatia combined with Croatian fears of Milosevic's hegemonic ambitions to destroy the fabric of
Yugoslav national/ethic coexistence. As these ethno-
national passions flared, Croats and Serbs
of brotherhood, unity, and equality for
all
still
committed
to the
founding principle
Yugoslav nations were pushed
aside. In
Serbia and Croatia alike, fear was manipulated by the would-be defenders of the nation for political advantage. Just as Milosevic's god/savior image
by
his skillful playing
Kosovo, Tudjman cast
on
was enshrined
fears for the safety of the shrinking Serbian minority in
his Serbian counterpart as a villain, while ever the
more
glorifying Croatian historic symbols, thereby expanding Serbian fears pertaining to the safety of Serbs in Croatia.
Ethnonationalism and the Disintegration of Yugoslavia
27
Serbs considered Croatian declarations of sovereignty short of independence as a threat to the integrity of the Yugoslav Milosevic's warning that
if
tion of borders as a blatant Serbian landgrab.
nature of political rhetoric on
all
Conversely, Croats interpreted
state.
became independent, he would reopen
Croatia
The
sides magnified the politics of distrust
Milosevic attempted to bring the army into
the ques-
operatic, increasingly sectarian
and suspicion.
this political fray
—
in order to
strengthen his hand vis-a-vis Croatia, and to deal with the growing Serbian internal
opposition that brought Belgrade to a halt following the opposition party mass demonstrations
—
no
to
March
When
avail.
9, 1991, student
the
army emergency power was voted down by one vote
resolution to give the
and
March 15 Serbian in the
collective presidency, Borisav Jovic, Serbia's representative resigned. Milosevic's
own
refusal to recognize the authority of the presidency^ left
little
doubt that he also
was unwilling to play by the extant rules. The subsequent role reversal in which the "sovereign" republics of Slovenia and Croatia came to the defense of the federation, allows one to assume that as late as
March 1991
parties
all
still
engaged
in a
choreography of struggle over a shared
Yugoslavia. That brief opportunity for reconciliation did not survive the Serbian/
Montenegrin attempt
to abort the
normal rotation schedule of the
state presidency,
and prevent the Croatian representative, Stjepan Mesic, from taking over as dent in
mid-May 1991
presi-
as mandated.
Slovenia and the Army
Given the erosion of normally understood meanings attached
week
"sovereignty," and interviews in Ljubljana the
"independence"
at the
end of June
would emerge. By
to actual separation
and
itself,
the
term
1991,^^ there is reason to believe that this step
yet another stage in the jockeying to control slavia
to
before Slovenia declared
its
was
what kind of post-Communist Yugo-
the Slovene declaration might or might not have led
civil war.
However, what was seen
in Ljubljana as the less
than friendly decision of the Croats to piggy-back on the Slovene initiative complicated matters. their
More
agreement
seriously, the attempt
to allow joint
by Slovene policymakers
negotiations with the federal government^ resulted in a bungled military force.
Once
to
renege on
customs presence on the borders during ongoing
the shooting started,
spectrum into the hands of those
who
show of
federal
threw control of the Slovene political
it
equated "independence" with immediate
separation.
Slovene defense minister Janez Jansa
—
the former journalist tried by the
military for intending to print military secrets, and
JNA
—
who had
against Slovenia.^ federal authority'"
It
was an overstatement,
was a milestone on
yet
reason to dislike the
army had "declared war" use of the army to demonstrate
escalated the conflict by proclaiming that the
the road to civil war.
272
Global Convulsions
The European Communis' brokered a damage to the corporate
cease-fire, a three
period. But the
of the
identit>
months cooling-off
JNA
as having
been
defeated on the ground by the Slovene Territorial E>efense Forces, and the effect of
showing army
television pictures vKith the
Red
Cross, had
Slovenia prelude to
pajamas being sent back
recruits in
A
fateful repercussions.
w ar was
civil
that of
most dangerous casual t>- of the
moderates
a consequence, when local Serbian authorities
Belgrade
to
v^ithin the
JNA
leadership.
in the self-proclaimed
As
autonomous
region of Krajina went on the offensive and declared that they were uniting with
Bosanka Krajina
Bosnia and Herzegovina
in
munit),"' a very different
Germany and the Internationalization Unfortunately for
Gennany was
trying out
Desen Storm
sa\^ the
concerned, the
Bonn had
criticism that to the
ali
to
form
**a
greater Serbian
com-
arms responded.
its
ci\il
war
foreign polic\
shirked
its
War in
of Ci^il
in Croatia
v^ings.
Croatia
broke out just as a united
and
still
responsibilit> b\ sending
smarting from the
mone\
instead of
operation. Croatian guesu^orkers in German)" and
small Dalmatian
tov^iis
and the wondrous walled
cit>
where
thes
\
acationed and
made
men
Germans who
friends attacked
of E>ubro\Tiik shelled on their nighdy television
screens, cfcmanded action.
Whether
c«-
German fweign
not
believed recognition a "greater Serbia."-
\\
minister Hans-EHetrich Genscher genuinely
ould teach MDose\ic a lesson and end his campaign to recreate
Serbs had a more sinister interpretation. In Belgrade.
•
warnings that Bonn
\\
ould recognize Croatia
if
the federal
restraint
were attacked as policies of a "Fourth Reich." Tudjman was
Ustashe
pawn
in
a revanchist
Goman game
German
arm\ did not exercise cast as a
1990s
to gain control ovct the Adriatic.
Regardless of whether such accusations were largely paranoia, the empirical effect of the
German
attempt
at
detenenoe was an escalation of the
\
er\ \iolence that
it
sought
to contain.
Moreover, the warning to Belgrade was heard as a Zagreb. Croatian forces blockaded
JNA
them. This strategy changed the character of the war soldiers
federal
and
their families hostage.
government or even Serbian
JNA
warned
that for
demands by
in Croatia.
With 25.000
political goals.
This was a corp>orate militan
become to protect its own. .Arm\ that was destroyed something of
each army installation
value to Croatia would pay a well as
harder in
imperatives were no longer those of the
establishment whose primary mission had leaders
call to fight
garrisons in Croatia and then attacked
price.'-
Objections from the federal government, as
the prime minister for the resignation of then Defense
Minister Kadijevic and other high-ranking military leaders were swept aside. In
December 1991. Prime Minister Markovic resigned the proposed federal
budget
to protest the
army's share of
Ethnonationalism and the Disintegration of Yugoslavia
273
War in Bosnia and Herzegovina For months the European Community and United Nations brokered cease-fires
were a revolving door territory
to the next
round of violence, as Serbs fought to expand
under their control before the fighting stopped, while Croats fought to
hold on to what they had and search for weapons. Then, on the fifteenth
try,
the
U.N. special envoy, former American Secretary of State Cyrus Vance, negotiated a ceasefire that held together long
Thus began the saga of
enough
to bring in 14,000
U.N. peacekeepers.
the United Nations Protection Forces
(UNPROFOR)
in
Croatia.
However, reducing the Croatian
front to low-level intermittent conflict could not
prevent the looming destruction in Bosnia and Herzegovina.
Vance and
the president
EC
of the Bosnian collective presidency, Alija Izetbegovic, both warned the
German
yielding to
that
pressure for recognition of Croatia and Slovenia by an arbitrary
January 15, 1992, deadline would push the war into heartland of Yugoslavia.
The Bosnian
this vulnerable multiethnic
president appealed to the U.N. for assistance to
prevent rising violence in response to the republic's declaration of sovereignty, and
demand for constitutional independence by the Parliament of Bosnian Serbs." He was denied, but as a gesture the U.N. made Sarajevo the headquarters for U.N. forces in Croatia. It was not enough to stem the tide. As predicted, the ECmandated referendum^ was accompanied by a spread of the war to Bosnia and
the subsequent
Herzegovina. U.N. membership for Slovenia, Croatia, and Bosnia and Herzegovina followed on
May 22,
1992.
An Obituary for Yugoslavia: Some Concluding Thoughts In analyzing the role of ethnonationalism in the disintegration of the second slav state, tants,
it is
helpful to
one
to focus
on the categories of long-term causes,
and accelerators of war within and among the successor
Communist
states
Yugo-
precipi-
of post-
Yugoslavia. In relation to long-term causes, the findings of this analysis
point to ethnonationalism and a failure of political institutionalization as inseparable culprits in the collapse of both interwar at state-building.
And
in
been successful attempts of Hitler's Germany in
and post-World War
n
southern Slav efforts
both cases international events derailed what might have to
in the
overcome
conflicting nationalist agenda, that
is,
the rise
1930s and the collapse of communist regimes and parties
East Central Europe in the 1990s.
As
for precipitants, undoubtedly both Milosevic
of ethnonationalism to power. Yet
it
was
and Tudjman rode the
tiger
the flawed "Titoist solution" that left his
successors with a political machinery with no incentives or rewards for politicians
who
thought of themselves as Yugoslavs.
It
was
national financial community, for example, the
the power-brokers of the inter-
IMF
and the World Bank, that
—
274
Global Convulsions
created conditions that deprived post-Tito politicians of economic performance.
When
the chips
were down, Milosevic's maneuvering
as the savior of the Serbs but to save his
The 1991
own
skin
declaration of independence by Slovenia
economic burden of Europe, as
it
was
must be seen
as
of 1991 was not
in the spring
from growing Serbian opposition.
was
as
much
to
be free of the
southern neighbors, in response to the vision of a
its
New
to assert an ethnonational identity. In this sense, ethnonationalism
one of a package of
and not as the precipitant
precipitants,
in
Yugoslavia's fragmentation.
With respect
war
to accelerators of civil
juridical Yugoslavia that existed in 1991,
of the
that led to disintegration
appears that Serbian and Croatian ethno-
it
nationalism was less important than the JNA's behavior as a corporate military estab-
lishment run amok, and
German
much
important than the fact that the
less
EC
caved
in to
pressure on the timetable for recognition of Croatia before Zagreb had met
the conditions of the EC's
own commission
with regard to protection of the rights of
the Serbian minority.
With the end of the 1994
cease-fire
Muslim-led government, intense
resumed
in the spring
of 1995.^^ In the flux
accompanied the disintegration of Yugoslavia, the dead must be counted
that has
among
between the Bosnian Serbs and the Bosnian
fighting
EC's
the ongoing repercussions of the
Yugoslav republic seeking recognition had
arbitrary decision that
to request
it
any former
by December 23, 1991
(the
only criterion for according such recognition to Bosnia and Herzegovina was a
referendum boycotted by the Bosnian Serbs), counts, untold
that continue to unfold in rising body numbers of wounded, and the 2-3 million refugees created by war
and deliberate policies of "ethnic cleansing."
The
destructive potential of ethnonationalism
international system seeks for a
by the collapse of communism cially in the light
question:
new world
must be reckoned with
order to replace the
in East Central
as the
power vacuum
left
Europe and the Soviet Union, espe-
of the shared search for democracy, which raises the persistent
democracy
environment, those
for
who
political organization
—
whom?
the citizen, the nation? In the changed political
seek democracy as a nation have more opportunities for
and access. This can be most threatening, particularly
to those
with competing historical or demographic claims and agenda. Expanded opportunities to participate in multiparty
systems and procedural democracy often foster
increased expressions of ethnonationalism. However, in the successor states of
Yugoslavia and their Balkan neighbors
such ethnonationalism built and/or nurtured if
is
—
as in Canada, Spain,
the political condition within which
it is
to exist at
all.
and Great Britain
democracy must be
in
Ethnonationalism and the Disintegration of Yugoslavia
275
Appendix A: Ethnic Composition of Yugoslav Successor States
The Federal Republic of Yugoslavia (not recognized by US/EU 1/19/95)
Slovenia
(UN May 22,1992)
91%
Slovene
Montenegro
Croats
3
Montenegrins
61.8%
Serbs
2
Muslims
14.6
Other
4
Croatia
(UN May 22,
1992)
Croats
77.9%
Serbs
12.2
Serbs
9.3
Albanians
6.6
Yugoslavs
4.0
Other
2.7
Serbia*
85%
Yugoslavs
2.2
Serbs
Muslims
1.0
Yugoslavs
5
Other
6.7
Muslims
3
Bosnia and Herzegovina
(UN May
22,1992)
Muslim
43.7%
Serbs
31.4
Croats
17.3
Montenegrins
2
Romanies
2
Other LI 1^1 KJ
3 •^
Vojvodina Serbs
65%
Yugoslavs
5.5
Hungarians
20
Other
2.1
Croats
5
Romanian
2 4
11 YR Macedonia (UNAprilT, 1993)
aher
Macedonians
64.6%
Albanians
21.0
Kosovo Albanians
82%**
Turks
4.8
Serbs
10
Romanies
2.7
Muslims
3
Romanies
2
aher
3
(Gypsies)
Serbs
2.2
Others
4.7
Sources:
Ruza
Petrovic,
'The National Composition of Yugoslavia's Population,
1991," Yugoslav Survey. 33.1 (1992) based on 1991 census data. Notes: *
The
Petrovic article does not give a breakdown of Serbia proper, Vojvodina, and
Kosovo; these figures are taken from the CIA, The Former Yugoslavia: A
Map Folio
(Washington, DC, 1992). ** Official Yugoslav figures. Kosovar Albanians boycotted the 1991 census.
276
Global Convulsions
Appendix B. Yugoslavia: Former Republic Boundaries
Notes
1.
Hans Kohn, The Idea of Nationalism: A Study of
ground, 2nd. ed.
Its
Origins
(New York: Macmillan, 1961), p. 16. Communism (Boulder, CO: Westview
and Back-
2.
Peter Zwick, National
3.
The Washington Post National Weekly Edition (March 8-14, 1993), p. 8. Brian Hall, "A Holy War in Waiting," The New York Tmies Magazine, May
Press, 1983),
p. 4.
4. 9,
1993. See also,
Dusan
Janaic, "National Identity:
Serbs and Albanians," Balkan 5.
Forum
Movements and Nationalism of
3.1(10 )(March 1995): 19-84.
Pedro Ramet, "Primordial Ethnicity or
Modem
Nationalism: The Case of
Yugos\di\\di'sMus\\ms,'' Nationalities Papers 13.2 (Fall 1985): 170. 6. Statisticki 7.
kalendar Jugolavije 1982 (Belgrade, 1982),
Serbian author Dr. Lazo
his estimate of 750,000,
M.
Holocaust
Kostich, cites
in the
German
p. 37.
sources to substantiate
Independent State of Croatia (Chicago:
I
Ethnonationalism and the Disintegration of Yugoslavia
Liberty Press,
277
1981), p. 4; British historian Fred Singleton puts the figure at
(New
350,000, Twentieth-Century Yugoslavia
York: Columbia University Press,
1976), p. 88. study. Communism and the University Press, 1968). Columbia York: (New Question Ballantine, (New York: 9. Phyllis Auty, Tito 1972), p. 81. 10. M. George Zaninovich, The Development of Socialist 8.
See Paul Shoup's pioneering
more: The John Hopkins University Press, 1968),
See Shoup, op.
1 1
in Marxist-Leninist
cit.
note
Yugoslav National
Yugoslavia (Balti-
p. 44ff.
Also see Walker Connor, The National Question
8.
Theory and Strategy (Princeton, NJ: Princeton University Press,
1984), p. 222ff. 12.
opment
This section draws upon
my earlier chapters
Strategies in Socialist Yugoslavia," in
Paths to Modernity
Greenwood
in Southeastern
Europe: Essays
Press, 1991), pp. 57-87;
"Self-Management and Devel-
Gerasimos Augustinos, in
ed..
Diverse
Development (Westport, CT:
and 'The Collapse of the Yugoslav Alterna-
tive," in Zoltan Barany and Ivan Volgyes, eds.. The Legacies of
Communism
in
Eastern Europe (Baltimore: The Johns Hopkins University Press, 1995), pp. 267-88. 13.
Samuel
P.
Huntington, Political Order in Changing Societies
(New Haven
and London: Yale University Press, 1968), pp. 12-24. 14. Stephen E. Palmer and Robert R. King, Yugoslav Communism and the
Macedonian Question (Hamden, CT: Shoe String Press, 1971). 15. Dennison L Rusinow, "Yugoslavia's Muslim Nation,"
Universities Field
Staff International (UFSI) Report, no. 8 Europe, 1982. 16.
See Robin Alison Remington, "Nation versus Class
in Yugoslavia," Current
History 86.523 (November 1987). 17. Interviews with
economists in Belgrade
portedly until a team of outside experts
came
May-December
1981. Indeed, re-
damage, post-Tito policy-
to assess the
makers did not know the actual amount of that debt. 18.
Sabrina
P.
Ramet, Nationalism and Federalism
(Bloomington, IN: Indiana University Press, 1992), 19.
This
memorandum was
in Yugoslavia,
1962-1991
p. 198.
illegally distributed
by the Belgrade daily Borba,
then officially banned. Excepts in Vecemije novosti (Belgrade) September 24, 1986;
RFE Research Report (October 20. According to
16, 1986).
one member of the Slovene
LCY
presidency, Slovenia ac-
counted for 25 percent of Yugoslavia's hard currency exports while 20-30 percent of the Slovene national product
went
to less-developed regions.
The
New
York Times,
July 13, 1986. 21. Frankfurter Allegemeine,
note 18,
p.
August 21, 1986,
22. For a detailed analysis see, Lenard lution:
cited
by Sabrina Ramet, op.
cit.
209.
The Democratic Prelude
to Civil
Public Policy 3.1 (Winter 1993): 115-50.
J.
Cohen, "Yugoslavia's
War," In Depth:
A
Pluralist
Revo-
Journal for Values and
.
278
Global Convulsions
23.
Borba (Belgrade), May
1990. Markovic
21,
was seen
as the politician
"pulling Yugoslavia forward" by ratings that ranged from 60 percent to 92 percent in
Bosnia and Herzegovina; above those of Milosevic, Tudjman and Kucan. 24. Robert
M. Hayden,
"Constitutional Nationalism in the Formerly Yugoslav
Republics," Slavic Review 5\ A (1993). 25. For a powerful description of the Serbian minority reaction, see
Misha
Glenny, The Fall of Yugoslavia: The Third Balkan War (London: Penguin Books, 1992), pp. 82-84. 26. For an English language text of Milosevic's speech, see Politika:
The
Inter-
national Weekly (Belgrade), March 23-29, 1991. 27.
Based on meetings with a member of the Slovene foreign ministry and
academic colleagues 28.
in Ljubljana,
June 20-21, 1991.
Based on conversations with Yugoslav colleagues and Warren Zimmerman,
American Ambassador, Belgrade, June 30 - July 29.
BBC,
Belgrade, June 28, 1991.
30.
Who
gave orders to
whom
1991.
9,
and who was responsible for what remains
in
doubt. Prime Minister Markovic said on Belgrade television that his order had been
exceeded. The army insisted that
it
was
acting in accordance with decisions of the
government and the presidency, Narodna Armija (Belgrade), July
upon Markovic went on
to accuse the
army of
(Belgrade), September 23, 1991, pp. 5-12. 31.
acting
on
its
own
6,
1991. Where-
in Slovenia,
—Yugoslavia," The New
John Newhouse, 'The Diplomatic Round
Vreme
Yorker,
August 24, 1992. The International Weekly (Belgrade), October 5- 1 1
32. Politika:
33. National Public Radio,
jevich,
"More Guns, Less
Report (March
March
,
1
99 1
28, 1992. For an analysis see Milan Andre-
Butter in Bosnia and Herzegovina,"
RFE/RL Research
13, 1992).
34. Text of
EC
"Declaration on Yugoslavia," (Brussels,
December
17, 1991),
Review of International Affairs (Belgrade) 42.998-1000 (December 1, 1991): 28; Also see Predrag Simic, "Europe and the Yugoslav Issue," Review of International A#a/r5 (Belgrade) 43.1001 (February
5,
1992): 1-5.
35. Editor's note: Indeed, so severe did the fighting
forced
its
become
that the
peace-keeping contingent with "rapid reaction" forces.
As
continued, the Bosnian government deployed an estimated 30,000 troops
an attempt to
lift
the Serbian three-year siege of Sarajevo.
U.N.
rein-
the hostilities in
June
in
However, the Serbs
captured Srebrenica and Zepa, two of the six U.N. "safe areas" (Gorazde, Sarajevo, Tuzla, and Bihac being the others), in July of 1995. Shortly thereafter the United States Congress passed a
bill to lift
which was vetoed by President
the
arms embargo on Bosnia and Herzegovina,
Bill Clinton
on August
10, 1995.
Three days
earlier,
Croatian soldiers marched into Kinin, the capital of the Krajina region, which the Croatians captured
in
culminating a three-day campaign. This occasioned the exodus
Ethnonationalism and the Disintegration of Yugoslavia
279
of more than 160,000 Serbs into Bosnia and Serbia, thereby reducing Croatia's Serbian minority from 12 percent to 3 percent of the population.
The Croatian capture of central Sarajevo to face to face
NATO
the Krajina region, a ferocious
against the Bosnian Serbs (after
two Serbian
air
campaign
shells killed forty-three persons in
on August 28, 1995), and intense diplomatic pressure eventually led
peace nogotiations by President Franjo Tudjman of Croatia, President
Alija Izetbegovic of Bosnia, and President Slobodan Milosevic of Serbia in Dayton,
Ohio. The negotiations, begun on States, with Assistant Secretary
November
1,
1995, and brokered by the United
of State Richard Holbrooke and Secretary of State
Warren Christopher playing the leading
roles, resulted in the initialing
presidents of what was termed "The Dayton Accord:
A
by the three
Peace Agreement for the
Balkans" on November 21, 1995. The Bosnian peace agreement was signed by them
on December
14, 1995, at the
Ely see Palace
in Paris,
—
France
in the
presence of
President Bill Clinton of the United States, Prime Minister John Major of the United
Kingdom, Prime Minister Viktor Chernomyrdin of Russia, President Jacques Chirac of France, and Chancellor Helmut Kohl of Germany. The signing of the agreement cleared the in
way
for 60,000
NATO troops, including 20,000 Americans to be installed
Bosnia and Herzegovina
to oversee the
effect the unification of Sarajevo,
disengagement of the warring factions,
and foster an atmosphere of security whereby the
reconstruction of Bosnia and Herzegovina, as well as other war-torn areas of the
former Yugoslavia, could begin
in earnest.
14 China and the Containment of Ethnonationalism DAVID D. BUCK
China has tens of millions of minority peoples. The 1990 census
non-Han billion.'
listed the
More
than three-quarters of China's minorities belong to the nine largest
Zhuang million), Uygur
Manchu
(9.8 million),
Hui
(15.5 million),
(7.4
(7.2 million), Yi (6.6 million), Tujia (5.7 million),
and Tibetans (4.6
homelands
tional
at the
million).
Most of
these peoples
periphery of the Chinese
state,
Miao Mongols (4.8
(8.6 million),
groups: the
million),
number of
peoples as 91.2 million, or 8 percent, of China's total population of 1.13
still
live in their tradi-
although they often share
Han Chinese settlers. Others, like the Hui and many of among central regions long dominated by the Hans.
those lands with are scattered
the Miao,
Since 1949, the People's Republic of China has classified most non-Han
peoples as national minorities, granting
many of them a measure of autonomy Autonomy does not mean that they are
within specified administrative boundaries. free to secede
from the People's Republic of China, but
that they enjoy certain
special rights as part of the "Chinese family of nations."^
government adopted an approach giving
all
The new Communist
minorities legal equality, and pro-
mising economic improvement, and better transportation and communication linkages.
The new order banned derogatory terminology about
minorities in published
pronouncements, improved minority peoples' schools and education respective languages, and tolerated the practice of life styles that differed
had
to
meet
the
in
their
minority customs and
from the Han majority. China's minorities, however, have
certain standards established
religious institutions
many of
by the modernizing Marxist
state.
When
and practices are involved, the minority peoples have faced
same general denigration of coming to power.
religion that has
marked the communist approach
since
281
282
Global Convulsions
Overall the Chinese government's policies are a modification of the Soviet nationality policy.
As
case of the former Soviet Union, the reality of central
in the
control through a disciplined Leninist party strucUire greatly reduces the real inde-
pendence of supposedly autonomous minority peoples. In particular
China, the
in
adoption of increasingly radical forms of social revolution after 1956 in what cul-
minated as the Great Leap Forward, the minority peoples found themselves caught
up
in the
same
great tide as did the
Han Chinese
majority.^
In addition, minority peoples and the territory they inhabit have experienced
increasing culmral and economic pressures from the growing numbers of the nationality
who have
Han
emigrated or been resettled into their regions. This wave of
outward movement by the Han Chinese began over two hundred years ago, but has accelerated in the last half of the twentieth century. China's population has doubled
over the past forty years. That factor alone created an ineluctable force pushing tens of millions of
Han Chinese
by
into the less densely populated territories occupied
these minorities. Also, national security considerations and penal policies caused the
resettlement of millions of these
Han
settlers
Han Chinese
to the border regions. In
who
presence challenges the ways of ethnic groups settlements their
home
territory.''
Autonomous Region, where
the proportion of
nationalities live in contiguous areas
Han Chinese
such as the Uygur, Kazak, Kirgiz, (the Xinjiang
is
the Xinjiang
inhabitants rose
Many
and operate as special autonomous
example, China's Moslems— who themselves
Uygur and
many
include
in addition to the
locations,
in others, their
consider these lands or urban
Probably the most obvious case
percent (300,000) in 1949, to 38 percent (3,800,000) in 1975.'
omous provinces
some
have completely displaced the original inhabitants,
Hui
8.1
minority units.
For
different nationalities
—can be found
the Ningxia
from
in
two auton-
Hui Autonomous Regions),
four autonomous prefectures, and thirteen autonomous counties, as well as in regular administrative units throughout China.^
Throughout the Maoist
era,
government
policies
produced a system
which
in
minority peoples received relatively few special considerations. However, since
1978 during the Reform era
in the People's
China have enjoyed three marked
Republic of China, minority peoples
to the harshest strictures of family planning policies; they their residence within
in
advantages: they generally have not been subject
fmd
it
easier to
change
China than most Han Chinese; and they have been permitted
to revive religious practices previously suppressed.
Freedom of religious
key variable particularly among 30 million peoples
who
practice
practice Islam and
it
is
a
has
given increased dynamism to their ethnonationalism.'
Richard Walsh argues that since the disintegration of the Soviet Union, the
J.
principal goal of
China
in
Central Asia
is
to maintain the status
quo by offering
political
and economic support
in
hopes
that this
can check the forces of Islamic resurgence or pan-Turkic nationalism
in the
region.**
groups
Among
—
China's
many
to the
emerging republics of Central Asia
minorities there
particularly the Tibetans, the
Moslem
is
reason to be concerned that certain
peoples of Central Asia, and possibly
China and the Containment of Ethnonationalism
the
Mongols or Koreans
own
their
—may
try to
283
break the existing political order to establish
states or associate with preexisting nation-states. Typically, there are
external forces such as Saudi-financed Sunni
Lama which
state-in-exile of the Dalai
Muslim movements or the autonomous
can provide both leadership and material
support for such changes.*^ In the case of the Mongols, the economic difficulties facing the independent state of Mongolia,
now
free
from both the
political control
and economic subsidization of the former Soviet Union, do not make minority peoples such as the Yao (2.1 million), the
whom
million), all of
inevitably remain minority populations within is
an active
Dong
(2.5 million), or the
Dai
Yunnan-Guizhou plateau region,
live in the southwestern
People's Republic of China
it
Mongol population of China. Other
center capable of attracting support from the
going to have to
(1
will
some larger polity. Nevertheless, the make adjustments in its nationalities
respond to the greater role that ethnic and religious identity have in
in order to
today's world.
This chapter offers a general appraisal of ethnonationalistic movements in
China and
their prospects.
examine several
Another way of approaching the question would be
specific situations in detail such as the Tibetans,
Asia, the Koreans of Northeast China, or the
monographic studies have
Yao of
Uygurs of Central
the Southwest. Several recent
utilized that approach;^" so within the limited confines
this chapter, I stress general characteristics
to
of
of ethnonationalism in China and the
world today.
My
approach
is
based on three crucial
factors: First, the general
dynamics of
ethnonationalism in our times have wide applicability throughout the world, including the People's Republic of China. Second, at the in
China has developed
years,
and those
Finally,
some
same
historical experiences strongly
munist
states.
characteristics of ethnonationalism
When
over the past two hundred
shape the present and future there.
and Leninism
clearly parallel the experience of the former Soviet
at
work
in
China
Union and other European com-
these three factors are combined, the potential for ethnonational
China seems
division within
time, however, ethnonationalism
in a particular set of circumstances
strong.
But a fourth and probably decisive
factor,
namely, the strong economic growth which China has experienced over the past decade, undercuts forces that might produce division." Fifth, and character of
which
will
Han
or Chinese nationalism
itself,
now
finally, there is the
undergoing a major redefinition,
have a great influence on the future of the minority peoples
should like to discuss briefly each of these
in
China.
I
five.
General Character of Contemporary Ethnonationalism Ethnonationalism a language, a
economic
is
built
around appeals to a combination of characteristics including
home territory,
roles
a religion, a historical experience, even a sense of special
and a heritage of
social practices.
Such shared
characteristics exist in
284
Global Convulsions
many
times and places. Often, these remain as secondary qualities within the
identities
of individuals and communities. The nature and intensity of ethnic identity
vary tremendously according to time, location, and even
among
individuals within a
given community. For some Italian-Americans, for example, ethnicity
may be no
more than acknowledgment of an
becomes a
Italian heritage,
where for
others,
it
source of livelihood, a career, or a central defining characteristic that shapes and colors their entire lives.
Yet in none of these manifestations
when
is
ethnonationalism a political force. Only
these familiar components of ethnic identity
program
—almost
always
become a significant become a basis for
a
separatist
force in political history. political
become agenda
political
The
the basis for a political
—can
ethnonationalism
potential for ethnonationalism to
movements has been
limited historically, because
creating and maintaining a state has had only a limited connection with the consent
More
of the governed.
a ruler and his
typically,
combination of military might and an appeal
state's authority rested
to a universalistic political
on some system or
religious authority.
Since the eighteenth century, the spread of Western-derived political concepts
about the state have radically altered the potential for ethnonationalist movements. First, there is
a right of the governed to determine under what system they shall be
governed, and second, there
is
a belief that governments are operated best by people
of the same heritage as the governed. Either or both of these tenets give a measure of instant political
ground
and moral authority
to those
who make
use of these concepts to
their political projects.
Political leaders find city as a source
it
of political
convenient to invoke identity.
common
characteristics of ethni-
Large numbers of individuals and groups find
response to these invocations both comprehensible and emotionally satisfying
bound up with language use, religious practice or of which are strongly compelling. Following the inter-
because the sense of identity
some sense of
territory, all
is
pretations of the British scholar, John Breuilly,
I
stress
how
ethnonationalism
best understood as the transformation into an oppositional political
what are
really
mundane
characteristics of regional, religious,
is
movement of
economic, and
social idendty.'^ Political authority in
modem
secular nation-states
must
rest
on some appeal
to
the consent and participation of the governed. In practice, that political authority can
operate with Still,
little
reference either to the governed or their elected representatives.
the consent of the governed stands both as a check on autocracy and as a
principle around are based
which opposition can
on appeals
easily take form.
to ethnonationalism,
political alignments. Politicians
it
When
political
movements
often proves possible to reorder existing
throughout the world are finding that themes of
religious, linguistic, or other attributes of ethnic identity
can quickly cut across the
prevailing notions of class, ideology, and political parties to provide the kind of
support on which contemporary political power
rests.
mass
China and tHe Containment of Ethnonationalism
A common
consequence of these appeals are movements
independent nation-states. This process of both the
new
state
and
its
itself is
create new,
to
highly disruptive to the economic
wake
life
predecessors, as one can readily see throughout the
may
former Soviet Union and Eastern Europe.'^ Moreover, ethnonationalism in its
285
bring
the kind of brutal, senseless murdering of former neighbors that has
scarred Bosnia and Herzegovina, and Chechnya, for example.
Ethnonationalism need not be a divisive force leading to bloodshed.
Some
observers see the reassertion of religious authority as working against the largely
unchecked power of the
nation-state. '"* Still, present
Bosnia and Herzegovina, Rwanda, Kashmir, and
most obvious,
is
not promising.
A
evidence of ethnic conflict in
Sri
Lanka, to mention only the
possible historical parallel for the
breakdown of where the
the large nation-state exists in the Protestant Reformation in Europe,
challenge to the older, central authority of the universal church in result in a revival
Rome
did not
of paganism, but rather an intensification of Christianity in new
From that example, it would seem likely that ethnonationalism will produce new forms of the nation-state, rather than anticipate its demise and death.
forms.
only
This means that the nation-state, either in
its
older familiar forms that have
shaped world history for the past two hundred years, or
in
its
newer, more
fissile
forms that have come to increasing attention since the 1980s, will continue to pre-
dominate
in the political life
of the world's people. Specifically, in China,
we
should
expect both the oppositional politics of ethnonationalism and a strong, dominating nation-state to continue to
be primary elements
in
any future events.
Ethnonationalist Policies in Chinese History
Stevan Harrell argues that over the past 350 years China has seen three separate "civilizing projects" in
claim of a superior
which the center has
civilization.
He
and the Communist. Harrell finds
tried to
win over peripheral peoples
calls these projects the
that the response
to
its
Confucian, the Christian,
of the peripheral peoples
is
to
develop a sense of ethnicity.'^
The
present territorial dimensions of the People's Republic of China were
inherited largely
Qing
rulers
from the Qing dynasty which ruled China from 1644
to 1911.
The
were not Chinese themselves, but Manchus who consciously attempted
to maintain their identity as separate
from the Han Chinese. The Qing Empire
operated on principles of suzerainty and
territoriality
which had no easy equivalency
with those of the Western system of nation-states or the Western conception of international relations. strictly
They
also lacked the conception that state authority
confined within boundaries fixed by law or custom. In terms of
with the
Han Chinese
majority, the
approach of having a class of
whole and
its
men
Manchus followed
was
relations
the accepted neo-Confucian
specially trained in ethics govern the
individual territorial subdivisions
its
empire as a
on the basis of a universal
set
of
—
286
Global Convulsions
principles. This
Chinese approach stressed largely indirect control of communities as
long as they paid taxes, avoided quarrels, armed clashes or potential subversion.
Thus,
in theory, the
found
it
Qing
state did not favor the
Han
nationality against others, but
difficult to establish administrative practices that
including, even, themselves
An example
—from
it
helped protect minorities
increasing pressures of sinification.'^
of Qing policy can be drawn from the
late
eighteenth and early
when under both the Qianlong and Jiaqing emperors efforts were made to stop Han Chinese settlers from occupying Mongol grazing lands in what is now called Northeastern China (Manchuria). The Qing dynasty policy was to protect the lands, livelihood and culture of its non-Han subjects against Han emigration. The Qing was most adamant about such protection in those sections of nineteenth centuries,
the Northeast
where enormous forested regions supported
gathering economies similar to that of the
quered China. '^
Among
Mongol
their
allies,
varieties of hunting
and
Manchus themselves before they conand among the Tibetans or the Moslem
peoples of the Central Asian oasis, the Qing attempted to maintain firm control over their rulers
significant
and religious leaders without permitting the Han Chinese
numbers
In practice though, the
Qing were not able
to stop the
Mongolia, primarily because the Mongol princes residing maintain elaborate
in Beijing,
wishing to
became so dependent upon the income from the sale they would not follow imperial directives. Wherever the
and
rental of their lands that
of potential farming land beckoned, the its
Chinese emigration into
lifestyles,
call
and displace
any
to settle in
in their land.
Han Chinese moved
former inhabitants, especially
in the
rapidly to
occupy
western reaches of Sichuan, the
southwestern plateau region bordering on Southeast Asia, on Taiwan, and north of the Great Wall in Manchuria.
By 860 and 1
states
were such
afterwards, the
that they
had
Qing found
to give
that the pressures
up control of
of other expanding
territory inhabited
by minority
peoples to Russia and Japan. Faced with a wide set of challenges from the Western
powers and Japan, the Qing moved away from
their traditional role of protecting
themselves and other minorities from the Han, to opening Manchuria to
dence and generally favoring Han expansion
Han
resi-
in
ways they had previously not
its
periphery and at the very center
accepted.
The Qing Empire faced of
its
political
became
challenges both on
and economic strength. As Czarist Russia took over Siberia, Japan
the recognized
dominant power
in the
Ryukyus and Korea, while making
Taiwan a colony. The French took Vietnam completely out of the Chinese the British penetrated Tibet.
foreign privileges in the
Even more
home
threatening,
orbit,
the authority and independence of the
The Chinese response
in
provinces of China where extraterritoriality gave
foreign residents special legal, tax, commercial and residence privileges that
compromised
and
were the steady increases
to foreign
Qing
all
state.
encroachment was a borrowing of the Western
concept of nationalism to defend themselves against what appeared
to
be an inevit-
China and the Containment of Ethnonationalism
able tide of foreign conquest and domination.
The Qing
rulers generally
287
managed
to
keep pace with the growing demands for reform and self-assertion of the Chinese majority against the foreigners. But by 1911, with the Qing state led by an child-
emperor and the
spirit
of nationalist revolution thoroughly permeating the educated
urban populace as well as the military service, the dynasty
fell
—
^to
be succeeded by
weak and inept governments whose leaders lacked the vision, power, and make the sacrifices necessary to truly meld China into a modem nation.'^ In the years after 1911, Chinese nationalism picked up more adherents who came to envision a new China controlling the full territory of the former Qing a series of
the will to
dynasty, even to recover the break-away
state"
of the Mongolian People's Republic,
which, with Soviet backing, became fully independent in 1924.'^ In the minds of
Chinese
political leaders
of the early twentieth century, race and nation were closely
The place and function of the minority peoples in the Chinese nation were always somewhat unclear. They were to be part of China, but the terms of their membership were vague and ill-defmed. The American scholar Owen Lattimore, who had been raised and worked as a linked.
young man
in China,
came,
in the 1920s, to
Asia, especially the Mongols. his
Much
be fascinated by the peoples of Inner
of Lattimore's writing and politics flowed from
sympathy and understanding of the Mongol
situation in the nationalistic
China of
the 1920s and 1930s.^ In Lattimore's work, he advanced a deep concern for the fate
As he saw
of China's minority peoples. First, the
were three
the problem, there
possibilities.
Central Asian minorities faced a fate of steady encroachment from the
Chinese, who, like locusts, would the minorities'
way of
move
This had been a recurring possibility throughout
living.
China expanded towards
history, as a strong
century, the Chinese
Han
inexorably to occupy the land and destroy
were even more
its
Asian
irresistible.
frontiers. In the twentieth
Lattimore, noting the effects of
technology, wrote, "[y]et, the effective range of these inevitable forces had been
expanded by something new financial,
commerical and
.
.
.
[by] the use of railways,
modem
arms, and
new
industrial enterprises.^'
Second, the minority peoples faced conquest by Japan. Once part of a Japanese
Empire, pockets of
were put
Finally, there territory,
their culture
to use to benefit the
was
would survive while most of their land and resources
home empire and its mlers.
the potential for
some autonomous
control of their
own
with a preservation of language, social practices, and indigenous political
leadership through the Soviet Union's nationality policy. the Russian nationality program, as
embodied
in the
To Lattimore
in the 1930s,
Soviet Union and in the state of
Mongolia, was a better bet for minority peoples than either the Chinese or the Japanese approach. In Lattimore's appraisal, the Chinese communists led by
Zedong, were not significantly different from other Chinese toward minority peoples. Present-day scholars echo example, has concluded that
in
Mao
terms of their attitudes
his appraisal.
Frank Dikotter, for
288
Global Convulsions
[a]lthough there
idea of race, racial
it
is
is
nothing in Mao's writings which deals directly with the
clear that his sense of nationalism
was based on a strong
consciousness and a sense of biological continuity. Like most
who grew
politicians
to maturity in
Republican China, he perceived the
Chinese "nation" (minzu) as a biologically
was a mater of "culture"
new
Thus, the
distinct group: being
Chinese
as well as "race."^^
order in China continued to share
many
of the established
Chinese attitudes toward minorities. In the 1930s, Lattimore had concluded Chinese leader could hold Chinese as
it
society.
in
The Chinese would continue
could sustain the Chinese style of
any conditions, could be expected peoples
lay
happened
in
that
no
check the expansionistic and absorptive nature of
with
the
Soviet-style
after
World War
expand
into contiguous land as long
In Lattimore's judgment, China, under
life.
keep expanding, and the best hope of minority
to
China
to
of semi-autonomous
n comes
administration.
What
close to fulfilling Lattimore's vision.
The Han Chinese have kept expanding into minority lands, while a Soviet-style nationalities policy has helped the non-Han peoples retain a modicum of leverage within the political system.
After the Chinese
Communist movement won
full
control over China, driving
out the Chinese Nationalists under Chiang Kai-shek, they adopted a general policy
of imitating Soviet examples. In
this
new
People's Republic of China, the Con-
enshrined the general principles of the Soviet approach to autonomous
stitution
government for minority peoples. Consequently, territorial units
were established,
efforts at sustaining cultural
The
in
special regions, districts,
which the principles of
structure of minority nationalities'
autonomy was undercut, however, by all
communist
rule, those in
the full discipline of the Party. Second, military occupation by the
People's Liberation
Army
—was
and leadership
combined with
self-rule
autonomy of the minority peoples.
five factors. First, following the general principle of
power were under
and other
—
inevitably largely
Han Chinese in terms of composition new Chinese state from its
necessary in order to preserve the
foreign enemies. Third, in line with the increasingly universalistic application of state policy in the People's Republic, the minority regions
were drawn
into the
same
general political and economic campaigns. Fourth, in the style of complete general
adherence to the directives of Beijing, there was almost no room for minorities to sustain a significant give-and-take relationship with the center and thereby preserve
some measure of autonomy. in large
In
numbers
sum, the Chinese
but in practice
it
sponsored settlement of
Han Chinese
political
system had some potential for minority autonomy,
highly circumscribed minority identity while minority lands were
being occupied by pologist
Finally, the state
in frontier regions.
new Han Chinese
Dru Gladney argues,
a kind of primitive "other"
settlers
sponsored by the
the minority peoples of
who
state.
China came
to
As
the anthro-
be exoticized as
shared China with the Han, but whose quaint
China and the Containment of Ethnonationalism
costumes, easy sexuality, and male bravado were disciplined,
all
to
289
be avoided by the sober,
and hard-working Han.^'
The Leninist State and Ethnonationalism
Owen
Lattimore's optimistic hopes about Soviet nationality policy were never
realized.
As has been exposed
became not a bulwark of the
in the collapse
of the Soviet Union, ethnonationalism
socialist order, but
opposition. Although during the Cold War,
one
states
its first
and strongest sources of
such as the Soviet Union and
Yugoslavia presented themselves and were regarded by most authorities, both domestically and from outsiders' perspectives, as nation-states, they have since
quickly disintegrated.
only a
modem
state
Some
now
claim
wedded
that the Soviet
Union was never a
nation,
which inevitably broke
to an older concept of empire,
apart.^
From some
perspectives, the Leninist state
is
not a protector of cultural dif-
ferences, but a dedicated enemy of ethnic difference, and regards ethnic communities as "outmoded, ftilly
mere
living fossils."
Mindiul of
this,
Edward Friedman argues
force-
that
the politics of anthropology in Leninist-Stalinist societies finds
value in the cultures of minority peoples. They
gressive
economic moments whose time has passed. To be removing the dead but unburied. anthropology with Marx's
.
.
.
rid
pro-
little
mere
are
of them
is
like
Combining [Lewis Henry] Morgan's
telos, the Leninist state acts
on the
colonialist
categories of orientalism.
The
rulers define the people of other regions
by an anthropology of
advanced or backward, with the most industrialized areas
tied to the
capital treated as the
most advanced. In other regions, people have
make themselves over
in the
treated as primitive
From Friedman's
image of an
and reactionary. What
artificial "socialist" culture is
demanded
perspective, the present Chinese state
is
to
or be
deculturation.^^
combines the
terrible failings
of Soviet nationality policy intensified by the combination a blind faith in their
own
vision of Marxist truth, the age-old Chinese assumption of cultural superiority, plus a
passion for modernization that calls on everyone, including
most of their
From
this
coup
in
if
the Soviet
Union
fell
apart in the
moment of a
August 1991, how can the People's Republic of China avoid some
crisis that will shatter
the
Chinese, to give up
approach, the dissolution of present People's Republic of China
might seem almost inevitable, for failed
Han
traditional cultural practices.
Han Chinese
Tibetan culture,
it
in the
same fashion?
find control necessary, but
it is
In the case of Tibet, for example, little
where
to praise in either past or present
easy to imagine the breaking away of the region as a parallel to
290
Global Convulsions
Mongolia's independence large sections of Inner
Korean
the
state
in the 1920s. If
Mongolia become
minorit>' in Northeast
of South Korea with
all its
Tibet can go
territory',
have
all
own
China be joined
in
way,
why would
Mongolian
some way
not
republic, or
to the
burgeoning
wealth and dynamism? Clearly, these most populous
minorit}' groups, with strong linguistic, cultural,
an identifiable
its
part of an enlarged
and religious
who occupy
identities
the standard markers of ethnonationalism. If political
leadership emerges, and the increasingly familiar politics of ethnonationalistic frag-
mentation appear, they could break away.
Once underw ay, could to
not the People's Republic of China's Kazaks be joined
Kazakhstan, the Uzbeks become part of Uzbekistan? Such cross-boundary
national couplings
Kazaks
seem
in the People's
to
come
easily to mind, but as Gerald Segal points out, the
Republic of China number
1.1 million,
but the
Uzbeks
are
only 14,500, the Kirgiz 142,000. and the Tajiks 33,500.^ Numbers like these hardly
seem capable of
participating in the ending of the
most populous nation-state
in the
world.
This reveals another question about the future, for whatever kind of a state did
emerge from a dismembered China, Union,
have
still
it
would, like the successor
to deal with questions of minorit}' peoples
states to the Soviet
and
example, where would the nearly ten million Manchu's go? Their
their rights.
traditional
For
home-
more than a century of Han Chinese Manchus themselves lived in China as conquerors for more than 300 )'ears. These Manchus no longer have a homeland; nor do many of them know how to live any kind of a rural life.
land has been completely transformed by settlement and modernization, while most privileged traditional
Simply
put, the collapse of the existing nation-state
minority peoples:
it
only casts those problems in a
One consequence of
living
most remote and
the
would rush
now
to return to the
in
Mongolia or
homes
least desirable locations
Han
for a national
of ethnonationalism
seems
that
inevitable:
Han Chinese
along the
heartland, while pockets of
it
gen-
settled in
state's frontiers
Mongols and Tibetans
as Sichuan or Jilin,
would move
into
In fact, these minority peoples have lived in their present
locations long before the real
form.
we must imagine
"Han Chinese" provinces such Tibet.
new
ethnonationalistic fragmentation
erates streams of refugees. In China,
some of
does not solve the problems of
in
Han Chinese
arrived, but
would be forced
to
abandon
their
homeland. Consequently, even the most ardent supporters
China might well pause before the prospect of such
dis-
locations and disruption. Finally,
one cannot escape the
fact that
Leninism also has served,
as a refuge protecting ethnonationalism by providing an identit\'.
might have proven
to be in practice, that
Even during
Maoist centralization when everyone throughout China was supposed in the
ities
same
had some
current
campaign of
slight shielding
it
might possibly buffer individuals and
families from the worst excesses of the Leninist state.
up
in a fashion,
however weak
the height of to
be caught
anti-imperialistic nationalism, national minor-
from the
full
impact of change provided by a
China and the Containment of Ethnonationalism
combination of distance and
29
autonomous administrative arrangements. After
their
1978, as China's leadership has reahzed that state required compliance does not successfully religious, state,
unleash the creative powers of labor, various kinds of economic, cultural activit}', independent of the
and
have been
Communist
tolerated,
In religious terms, in regard to population policy, and
and freedom of economic fited directly
and
part)
and the nation-
and sometimes e\en encouraged.
indirectly
from
on questions of residence
non-Han Chinese minorities ha\e bene-
activity, several
this pattern
of liberalism. To
many Han Chinese, may even
those benefits look like special privileges which the Chinese en\T and
rush to embrace,
if
they can claim that they themselves should be reclassified as
members of a particular minorit)' people. Liberalization in the People's Republic has developed a new generation of minorit)' leaders, who. much like their older predecessors from the Maoist era, cannot escape the thought that their
own
leadership
positions probably are tied to the sur\i\'al of the existing order.
Economic Growth and Ethnonationalism Whatever advantages leaders, alone to Beijing.
it
the existing political order affords minorities and their current
cannot provide enough incentives to insure that they will remain tied
However,
for
some
nomic growth, combined with
large minorities in China, the results of recent eco-
the promise of the future, will serve as a
on the genesis of new ethnonationalist largest cities. Central
and do business
in
If they
China through national separation, they
lose access to the source of their prosperity. For miUions of other minorities,
such as the Manchus or most Hui
no place they
which
major break
In markets and streets in China's
Asian minorities prosper through trade and commerce.
lost their abilit\' to travel
would
states.
really
want
to li\'e
who
live in the inner provinces of China, there is
on the periphery. They
ha\'e
no "homeland" *
to
to return.
China has had a remarkable period of economic growth and development since the early 1980s. Foreigners to
China
to invest
economic growth
not like the present regime in Beijing sdll flock
and do business, simply because
in today's
themselves of access to talist
who do
world.^
Why
it
is
a
dynamic center of
should China's ethnic minorities deny
any more than Japanese or American capi-
this opportunit}'
businesses? WTiatever their philosophic objections to the Chinese
party or their
own
Beijing government in the past, there
memories Still,
in favor
is
a strong rationale for swallowing one's
of present and future profits.
the leadership of ethnonationalist
mercial strata
among an
ethnic group.
It
leadership that casts a wary eye on their cial dealings.
Communist
experience of discrimination, expropriation, or exploitation by the
Among Moslem
movements
often
rarely derive
comes from
ow n people who
from the com-
religious and cultural
are involved in
commer-
peoples, religion clearly has displaced short-term
—
292
Global Convulsions
economic advantage
as a rationale for political action. In China, Central Asian
Moslem groups may
repeat this pattern, while small minority groups such as the
Naxi (278,000) or the Ewenki (26,000), who little
desirable in the commercialization of
economic advantage
Yet,
The
nationalist fissures.
is
may
find
by anyone.
no doubt operate as a brake against ethno-
will
situation
live in close-knit villages,
still
life
thus the opposite of what obtained in Eastern
Europe and the Soviet Union, where fi-eedom from Moscow's grasp seemed to contain a promise of more economic opportunity. The attraction of the Chinese
economy
for
some of its own
minorities probably will continue in the future, as long
economic benefits of belonging
as
to the
Chinese nation-state remain so tangible and
enticing.
The Changing Nature
When one
of Han Chinese Nationalism
looks at what
China, what
is
is
called the ethnic
most amazing
is
that over
one
make-up of
billion
the People's Republic of
people are
all
classified as
"Han
Chinese." This uniform identity covers over enormous linguistic and cultural difi^erences within the
Han Chinese
see Chinese nationalism as a
themselves.^ Like most Western interpreters,
modem phenomenon
of the
I
nineteenth and
late
twentieth centuries spreading outward from a Western influenced elite to widening circles
of ordinary people
who saw
by foreign imperialism
identity threatened
way of
their culture, their
life,
and
their very
after 1840. National consciousness led to
a fear of being overwhelmed and produced a unifying, defensive reaction. Nationalism in China has constructed a style of fearless resistance to foreign intervention,
which
is
supposed
When it
the
to motivate all true Chinese.
Communist
borrowed economic
that could
party in China captured the flag of nationalist resistance,
policies
from the Soviet Union
that stressed
be wrung from the agricultural sector must be devoted
urban development
in
economic
world trade
in three
all
surpluses
to industrial
and
a largely autarkic economy. Policy implementation resulted in
an increasingly stagnant and retrograde economy after an contrast,
how
policies
which linked strong
Chinese communities
initial
states to
period of success. In
market mechanisms and
—Singapore, Hong Kong, and Taiwan
generated enormous economic growth. There
is
strong evidence of a whole
new
national project emerging in China, built around the dynamic, commercialized, and
adaptive South, which contrasts
itself
with a narrow, conservative, and bureaucratic
North.^''
We know
that the
supposedly united
Han
peoples of China are shot through
with linguistic, regional, and even ethnic differences (for example, the Hakka) that
make on
the future of the present
identities
some
Han
unity
seem questionable.
such as Cantonese, or Fujianese, organized
strength in the early twentieth century and could
Political leaders calling political
do so
movements of
again. Political
move-
I
China and the Containment of Ethnonationalism
ments based on such ranks, far
In Taiwan, exactly such a
emerged
into the
In the
open
movement, long feared by
the ruling Nationalist party,
China on Taiwan, Lee Tung-hui, plus a bid by
in Beijing revealed
parous tendencies
how
among
the
deeply
Han
that
on a diplomatic squabble
was concerned over
it
government for a
which the govern-
in
the possibility of fissi-
majority. In the official Beijing version of these
was behind
events, the United States effort at pulling
tens of millions in their
1995, a private visit to the United States by the president of
seat in the United Nations, touched
ment
many
the individual officially recognized minorities in China.
in the 1980s.
summer of
the Republic of
could potentially enlist
identities
more than any of
293
Lee Tung-hui
the scenes manipulating
into an
China apart.^
Post- 1978 policies in China have lessened central control, increased regional
autonomy, provided small but nonetheless greater degrees of independent authority for political leaders outside Beijing. Leaders in Canton, Shanghai,
Wuhan,
as well as the people in their surrounding regions,
seem
to
Chengdu, and
have as much to
gain from increased autonomy from the center as would the Tibetans, the Mongols,
and the Uygurs. Thus,
China
is
more
have concluded
I
likely to
that the future
of the People's Republic of
be determined by the changing nature of Han Chinese
nationalism than by problems deriving from the non-Han minorities, cally are so
much
who
numeri-
smaller a factor in Chinese politics.
Conclusion
Ben Kerkvliet, writing about reform Communist party since 1986 may have it
to
power
qualities is
in the North,
in
Vietnam, suggests that the Vietnamese
recaptured
and eventually enabled
what Kerkvliet
"mass regard,"
calls
to unify
that
meet the
leadership's concern with policies that
some of the
it
is,
qualities that
Vietnam.
brought
Among
those
a kind of shorthand for the
aspirations
and needs of the vast
majority of the people. These included national self-determination and autonomy in
Once
the face of foreign colonialism.
namese in the
felt
they had a pattern
—
Chinese Conmiunist model
order, but, in fact, this approach
proven to be
in
the foreigner had been expelled, the Viet-
agricultural collectivization
—
for
economic and
proved
to
and economic autarky
social organization of the
be as unsatisfactory
in
Vietnam
as
it
new had
China. Then, says Kerkvliet, the Vietnamese Conmiunist party
returned to the secret of
its
former successes and became "mass-regarding," again by
adopting policies of household farming and other forms of economic liberalization acceptable to the people.^'
What
Kerkvliet argues about the Vietnamese
true of the Chinese little
Communist
party.
Many
Communist
party
specialists think that the
may
also be
Chinese have
potential to develop in the near future anything like a democratic or repre-
sentative
government and,
in fact,
China
will
produce some form of "neo-authori-
.
294
Global Convulsions
Should a neo-authoritarian leadership develop and prove
tarianism."^-
"mass-regarding,"
programs
it
be
itself to
could well continue to exercise leadership. Certainly, the reform
by the Chinese Communist party under Deng Xiaoping's leader-
instituted
ship have been generally well received. These policies have occasioned greater
regional autonomy, as well as increased personal freedom and economic oppor-
mnities for both urban and rural residents. At the
same
time, the reforms have not
seriously threatened the position of the military, nor the livelihoods of the tens of
millions of workers for state enterprises and the state bureaucracies. Everyone has
had
make adjustments and
to
Yet none of the challenges to has proven effective enough In
its
certainly its
many
authority, not
are not in full support of the changes.
even the Tiananmen Incident of 1989,
to topple the existing order.
policies toward minorities, as in other areas, the People's Republic can be
said to have found
most minority
Communist
ways
to
keep significant support,
nationalities. So, there is a case to
party not as an ossified and
not majority support, within
if
be made for seeing the Chinese
outmoded group, but one
still
capable of
maintaining the existence of the People's Republic of China.
The process of over.
liberalization
and devolution of authority from Beijing
For China to continue as a single nation
must continue. To
reiterate
what
I
some
in its present form,
said at the outset,
peoples with real or potential strong outside support
it is
—
^the
Central Asia, and possibly the Koreans of the Northeast
is
not
liberalization
primarily those minority Tibetans, the
—who seem
Muslims of
to present the
greatest threat to the present boundaries of the Chinese state. China, however,
much more
threatened by changes in the character of
visions of the
Han Chinese
meaning and goals of Han Chinese nationalism
greater problem than any of those that
nationalism.
will constitute a
may emerge among
is
New much
the ethnonational
minorities in China.
Notes
December 24-30. 1990, p. 34. Thomas Heberer, Chinu and Its National Minorities: Autonomy or Assimi(Armonk, NY: M. E. Sharpe, 1989), pp. 20, 40. 1
Beijing Review,
2.
lation
3.
June Teufel Dreyer, China's Forty Millions (Cambridge,
MA:
Harvard Uni-
versity Press, 1976), pp. 159-71. 4.
W.
For the situation on Mongolian grasslands
Salaff,
Westview
Cowboys and
Cultivators:
see,
Burton Pasternak and Janet
Vie Chinese of Inner Mongolia (Boulder. CO:
Press, 1993).
5.
Heberer, op.
6.
"China's Moslems," Beijing Review, June 12-18, 1995,
7.
Dru Gladney, Muslim Chinese: Ethnic Nationalism
(Cambridge,
MA:
cit.
note
2, p.
94.
Har\'ard University Press, 1991).
p. 10.
in the
People's Republic
China and the Containment of Ethnonationalism
8. J.
Richard Walsh, "China and the
New
295
Geopolitics of Central Asia," Asian
Survey 33.3 (March 1993): 848-68.
Emigre
9.
politics
among
Tibetans
is
focused on
this question.
See Pierre-
in Doubt (New Delhi: Oxford University Press, movements in Xinjiang, see Nicholas Kristoff, "A
Antonie Donnet, Tibet: Survival 1994). For reports of similar
Muslim Region
is
Tugging
at the Ties that
Bind," The
New
York Times, August 14,
1993, pp. Al, A3.
See Melvyn C. Goldstein,
10.
A
History of Modem Tibet: The Demise of the
Lamaist State (Berkeley: University of California Press, China's Korean Minority (Boulder,
CO: Westview
1989); Chae-jin Lee,
Press, 1986); Jacques
Lemoine
The Yao of South China: Recent International Studies (Paris: Panggu, 1993). Stevan Harrell is editing a new series, "Studies on Ethnic Groups in and Chiao Chien,
eds..
China," for the University of Washington Press and has produced the
first
volume,
Cultural Encounters on China's Ethnic Frontiers (Seattle: University of Washington Press, 1995), in
which elements of
China are discussed by ten
Thomas
11.
became will
identity
among many
Heberer, writing in 1989, before the
apparent, reached an opposite conclusion.
be a force leading
different ethnic groups in
contributors. full
impact of China's growth
He believes
to the fragmentation of ethnic
that
economic growth
groups in China, op.
cit.
note 2,
p. 130.
John Breuilly, Nationalism and the State (Chicago: University of Chicago
12.
Press, 1986),
be
2nd
ed.
The experience of division
13.
within Yugoslavia and Czechoslovakia
may
not
directly applicable to China, but the forces that led to the particular congeries of
new
states that
have succeeded the Soviet Union
may be more
relevant.
See Abbas
Hamdani, "An Overview of the Current Status of Muslim Countries of the Former Soviet Union," a paper presented to the Parliament of World Religions, Chicago,
September
3,
1993.
New Cold
See Mark Jurgensmeyer, The
14.
War: Religious Nationalism Con-
fronts the Secular State (Berkeley: University of California Press, 1993). 15. Harrell, op. cit. note 10, pp.
On
16.
Race
in
3-36.
the question of racism in China, see Frank Dikotter,
Modem
China (London: Hurst
& Co.,
The Discourse of
1992) pp. 31-38. Dikotter argues that
the concept of racialism existed in eighteenth-century Chinese
life,
long before such
ideas were introduced in the West, pp. 31-38. 17.
Robert H. G. Lee, The Manchurian Frontier
in
Ch'ing (Cambridge,
MA:
Harvard University Press, 1970), pp. 116-37. 18.
See Germaine Hoston, The
State, Identity
and
China and Japan (Princeton, NJ: Princeton University consideration of
how
the National Question in
Press, 1994), for a detailed
Japanese and Chinese thinkers, particularly the Marxists, have
struggled with the national question.
.
296
Global Convulsions
19.
Charles R. Bawden, The
Modem History of Mongolia (New York:
Praeger,
1968). 20.
James Cotton, Asian Frontier Nationalism: Owen Lattimore and
can Policy (Manchester: Manchester University
Owen
21
the Ameri-
Press, 1989).
Lattimore, The Inner Asian Frontiers of China
(New York: American
Geographical Society, 1940), pp. 17-18. 22. Dikotter, op.
note 16,
cit.
p. 192.
23. "Representing Nationality in China: Refiguring Majority/Minority Identities,"
Journal of Asian Studies, 53.1 (February 1994): 92-113. See Harrell, op.
cit.
note 10, pp. 8-17, where he argues that civilizing societies regularly classify the
women
peripheral peoples as
(a sexual metaphor), children (an educational meta-
phor), or ancient (a historical metaphor). 24.
Mark
Beissinger,
"Demise of an Empire-State:
Deconstruction of Soviet Politics," in Crawford Young,
Identity,
Legitimacy and the
The Rising Tide of CulPluralism: The Nation-State at Bay (Madison: University of Wisconsin Press,
tural
ed..
1993), pp. 93-115. 25.
Edward Friedman, "Ethnic
Identity
and the De-Nationalization and
Democraticization of Leninist States," in Young, op. 26. Gerald Segal, "China
cit.
note 24, pp. 232-33.
and the Disintegration of the Soviet Union," Asian
Survey 32.9 (September 1992): 272-84. 27. For
one of the most forceful analyses of China's current economic growth,
see William H. Overholt, The Rise of China:
New
China (New York:
world's fastest-growing in the
1990s.
He
W W Norton,
economy during
How
Economic Reform is Creating a China was the
1993). Overholt argues that
the 1980s and will continue in that fashion
sees a complete reshaping of the Pacific region
economy and
China's emergence as a world superpower. 28. There are only a
Han Chinese
few recent
studies that try to treat this diversity
among
the
Leo J. Moser, The Chinese Mosaic: Peoples and Provinces of China (Boulder, CO: Westview Press, 1985). 29. Edward Friedman, "Reconstructing China's National Identity: A Southern Alternative to
in
a systematic fashion. See
Mao
Era Anti-Imperialist Nationalisms," Journal of Asian Studies
53.1 (February 1994): 67-91. 30. Li Jiaquan, "Lee's Visit Defies Agreements," Beijing Review, June 2, 1995, pp. 19-20.
The Chinese Foreign
Ministry's official
these sentiments on numerous occasions in the 31.
Ben
Kerkvliet, "De-collectivizing the Land:
Changes and Village-State Relations
(May
summer of
in
26 - July
spokesmen repeated
1995.
Everyday
Politics,
Policy
Vietnam," Journal of Asian Studies 54.2
1995): 290-316. 32. Richard
Baum,
"Political Stability in
Post-Mao China: Problems and ProsBaum correctly associates Zhao
pects," Asian Survey 38.6 (June 1992): 491-505.
Ziyang and
his circle with the theory
Baum's, Burying Mao: Chinese
of neo-authoritarianism
Politics in the
in
Beijing politics. See
Age of Deng Xiaoping
(Princeton, NJ:
China and the Containment of Ethnonationalism
297
The appeal of this approach to governing China reaches far beyond Zhao Ziyang, who was the chief loser in the political shake-up following the Tiananmen Incident of June 1989. It continues to be a favored approach among the top leadership in Beijing. Princeton University Press, 1994), pp. 220-22, 238-39.
15 Political Ethnicity
and State-Building
in Nigeria
CLAUDE AKE
Ethnicity
a complicated social
is
fact. It is
not clear whether ethnic groups actually
exist or
whether they are merely ideological constructs. What
there
ethnic consciousness,
is
which
is
clear
is
enough
material and historical forces. Ethnicity has to be understood in the dialectics of imagination
and
reality,
imagined. Even
between
it
ethnicity
and
politics
does not matter very
if it is real,
there
complex
of construction, dissolution, and reconstitution.
For the purpose of understanding ethnic integrity of the state,
is that
a living presence produced and driven by
is not,
as
and
their implications for the
much whether
ethnicity
is
real or
often assumed, a necessary connection
is
perceived too
political conflict. All too often, ethnic conflict is
ubiquitously in ethnic misrepresentations of strategies of survival, strategies of power,
and
in
emancipatory struggles against oppression sustained with ethnic ideologies.
What we need
to explore is
how
ethnicity
becomes
may be
exclusivism and conflict, a phenomenon that cal ethnicity
is
an elemental force which
the peace and well-being of humankind.
power and slavia,
will, for better
The
its
it
and associated with
called political ethnicity. Politi-
or for worse, be decisive for
planet has had a taste of
its
enormous
daunting possibilities in the decomposition of the Soviet Union, Yugo-
Somalia, Liberia, and Czechoslovakia. In the North,
economy; strated
its
politicized
it
threatens the world
has turned Europe into a fortress against the South, and
capacity to engender xenophobia, racism, and
many
it
has demon-
other forms of
regressive consciousness.
The purpose of political ethnicity. It its
this
is,
chapter
rather, to
is
not to theorize about the global resurgence of
show how
it
was engendered
in Nigeria,
and what
implications have been especially for the viability of Nigeria as a nation-state.
299
300
Global Convulsions
Political Ethnicity in Nigeria
An
must begin with the character of the
political ethnicity in Nigeria
account of
colonial state. Mechanically held together by force, this state
assortment of peoples.
It
was not so much a by
state project ultimately defeated
contradictions
was
its
own
contradictions.
and induced some of its subjects
them were driven even some
to traditional solidarity
an implausible
source of these
on force
mission. That
These
to regard
it
made
it
as a hostile force.
Many
of
its
groups such as ethnic or national groups, or
ones such as literacy clubs or community development
hastily contrived
associations.
One
that the colonial state in Nigeria inevitably relied heavily
to subjugate the indigenous peoples and to carry out
threatening,
was an incoherent
state as a state project,
solidarity
groups became centers of resistance, means of
self-
affirmation against the colonizers' aggressive de-culturing of the indigenous people,
Somewhat
as well as networks for survival.
paradoxically, the colonial state
strengthening the traditional solidarity groups and social formations on it
was supposed Even
whose
was ruins
to stand.
in the
urban areas which were considered the melting point of parochial
identities, colonial rule
was
was cheap
recreating them. Colonial rule
social welfare system. This
was
lonely first-generation urbanites
particularly difficult for the
who had to
new
had no
rule. It
city-dwellers,
batde the notorious problems of colonial
In the pressure of the cities they sought the companionship of people akin to
cities.
themselves, usually from the same rural community or those
who spoke
the
same
language. Every colonial town in West Africa quickly spawned a rich harvest of
"improvement" or urban associations of people from the same community, national group.
ment and
in their
their
group
With varying emphasis, these
associations,
indigenous rural communities, became interest groups for their members
groups of origin. They became vehicles of
solidarity against the impositions
Most Oduduwa,
ethnic, or
which sponsored develop-
important,
many of them,
political participation as well as
of an arbitrary and coercive
state.
Egbe Omo Edo National Union became social
notably the Ibo State Union, the
the Ibibio Welfare Union, and the
welfare systems providing scholarships for education, assistance for people in difficulty with the law, helping
members
to set
up small businesses or
employment, as well as giving material and moral support
to find
to the sick, the bereaved,
and the needy. The educational schemes of these associations played a major role producing the
elite
which led the
nationalist
generation nationalist leaders such as
movement. The majority of the
Nnamdi Azikiwe were
beneficiaries of these
education programs. Thus, instead of being a melting point, the cities
in
first
new West
African
tended to recreate old solidarities and loyalties and gave them greater
significance.
Because these ethnic formations were such a highly functional safety
net in the face of a predatory state and a total absence of a social welfare system,
they effectively displaced the state as the primary focus of political loyalty.
Political Ethnicity
and State-Building
in
Nigeria
301
The Nationalist Movement and Political Ethnicity Since Nigeria was already "ethnicized" in following the line of least resistance,
this sense, the nationalist
initially
movement,
evolved as a network of ethnic asso-
and mass organizations. When the Nigeria National Council, which heralded coming of age of the nationalist movement in Nigeria, was launched on August 28, 1944, it was a coalition of 8 professional bodies, 11 social clubs, 2 trade unions, 2 fledgling political parties, 4 literary societies, and 101 urban ethnic associations ciations
the
which constituted the bulk of its membership.
The
strategy of de-colonization adopted
impetus to
and
political ethnicity. In the spirit
political units of the country
by the colonial government gave
of indirect
were made
rule, the
major administrative
to coincide with the spatial locations
of
the three major ethnic groups, Hausa-Fulani, Yoruba, and Ibo. Then under pressure
from
nationalist forces, the British
tion of 1954,
powers
to the regional
regional premiers, legislatures.
devolved power to these regions. The Constitu-
sometimes described as the "regionalist constitution," gave residual
The
governments and also granted them self-government under
who would be
the leaders of majority parties in the regional
three major nationalist leaders, Alhaji
Ahmadu
Bello, in the North,
Nnamdi Azikiwe in the East, and Chief Obafemi Awolowo in the West opted for power in the region instead of remaining in the central government which was still controlled by the British. Each of them won his regional premiership and consolidated his power base in his region with the result that Nigeria came to be dominated by three regional, ethnic parties. The National Council of Nigeria and the Cameroon's (NCNC), which initially had a strong national orientation, settled down to being the party of the Ibos in the East; the Action Group (AG) became the party of the Yoruba Dr.
in the
West; and the Northern Peoples Congress (NPC) became the party of the
Hausa-Fulani in the North.
As
political
independence approached, the leaders of the ethnic groups
who had
cooperated in the nationalist coalition began to maneuver for power. In the course of these rivalries those ethnic groups which did not feel that they were strong
compower in the postcolonial era began to worry about marginalization and domination. Thus ensued a rash of minorities movements making a wide variety of demands separatism, federalism, confederationism, the guarantee of human rights, petitors for
—
minority rights, affirmative action for minorities, strong local autonomy within the regional framework, and so on. In 1957, the Secretary of State for the Colonies
appointed a Commission of Inquiry to ascertain the facts concerning the fears of the minorities throughout the country and to propose
The
means of allaying those
fears.
commission through the country between 1957 and 1958, the open hearings, the campaign of the affected groups, as well as the lively debates tour of the
heightened political consciousness pertaining to the issues of rights,
and
apathetic
political participation.
came
alive
Many
human
rights,
minority
small groups which had been politically
and became organized and
assertive.
The episode increased
302
Global Convulsions
political pluralism as
example the
Oba
is
some of
A
these groups formed political parties.
the Benin-Delta People's party
formed
famous
1953 under the presidency of
in
of Benin; another was the Niger Delta Congress formed
in
1959 from the
Rivers Chiefs and People Conference. In the end, the commission found against the
demand
the creation
for
of states and constitutional provisions which might
encourage ethnic separatism. Instead,
it
came
out strongly for guaranteed rights and
which favored incorporation and equity
for political arrangements
rather than exclu-
sion and discrimination. Still,
and the
same
politics
remained ethnicized as the major
AG—remained essentially
time,
groups to
some minority
into being in the struggle of given minority
by the dominant national group
in their region.
notable examples are: the Northern Elements Progressive Union
Mallam Aminu Kano; a
—NCNC, NPC,
confined to their respective regional base. At the
came
parties
resist marginalization
political parties
party of the
Hausa Talakawa, formed
(NEPU)
The
led by
to resist Fulani
domi-
nation in the North; and the United Middle Belt Congress led by Joseph Tarka,
formed
to resist Fulani
domination
Independence party was formed
North Central Nigeria. The United National
in
to counter the
NCNC,
which Eastern minorities
considered to be a vehicle of Ibo domination. Another notable minority political
formation was the West State movement, formed to challenge the domination of the
Yorubas through the Action Group
Constitutional Development
in the West.
and Political Ethnicity
Political ethnicity reinforced the tensions
which were inherent
polity
eventually pulled Nigeria
envisaged
in
and centrifugal tendencies of the Nigerian
the mechanical unity of the colonial state, and
away from
in relation to federalism.
power had
the unitary state that the colonial
When
the British administration took the
first
serious step towards independence for Nigeria with the Richard's Constitution of
1945,
it
was
clearly thinking in terms of a unitary government.
the following structure:
At the
base,
was
The Constitution had
the Native Authority system,
whose
representatives were to constitute a regional council in each of the three regions into
which Nigeria had been divided North,
East,
and West. Each region
representation in a central legislature based in Lagos.
The
in turn
had
essentially unitary char-
acter of the Constitution could be seen in the fact that legislative
power was con-
centrated in the central legislature in Lagos, leaving the regional councils
little
more
than the power to advise on local problems.
This Constitution was short-lived because
it
lagged far behind the development
of nationalist consciousness. Nationalist leaders found
was replaced by geoisie
knew
the bitter
the
it
unacceptably authoritarian.
MacPherson Constitution of 1951. By now
that the British administration
It
the Nigerian bour-
would soon hand over
political
power;
war of succession had already begun. The MacPherson Constitution not
Political Ethnicity
only advanced Nigerian independence,
and State-Building
movement of
303
Nigeria
deep divisions within the
also reflected the
it
Nigerian political class and began the
in
the Nigerian political system
towards federalism. The three-region structure was retained. The regional legisla-
were empowered
tures
to legislate
on
all
matters of internal policy, although their
be reviewed and rejected by the central
legislation could
legislature.
This Consti-
was a considerable advance towards self-determination for Nigerians. By the time it was enacted, it was clear that power would be transferred to the regional level tution
before being transferred,
first
if
at all, to
it
scramble for a regional base of power contributed immensely to
its
the political class, ethnicity
regionalization.
moved
the center. This realization induced a
among
the Nigerian political class and
With the increasing regionalization of
into the center of Nigerian politics. This
was
inevitable, since the three administrative regions also coincided with the locations of
— northern region (Hausa-Fulani),
the three major tribal groups in Nigeria
eastern
region (Ibo), and western region (Yoruba). It is
moved
not surprising that
when
in 1953, a legislature
from the Western Region
a motion to the effect that the British grant Nigeria independence by 1956 the
Northerners opposed education,
it,
apparendy because they
they were unprepared (by
felt
and so could be dominated. They proposed an Eight-Point Pro-
etc.,)
—
gramme, which was essentially a bid for making Nigeria a confederation the central government would have only a few areas of jurisdiction, mainly foreign policy, defense,
and customs. The Northerners only agreed
specific
powers
to put aside this
to the federal
government, and
left all
other powers in a residual
category under the jurisdiction of the regional governments. Along with civil service
and the judiciary were regionalized. Even
mount
nation continued to
Nigeria
came
so complex that
as regional elites fought out the battle for succession
way
independence
in turn to anarchy, civil war,
Political Ethnicity
As
to
in
and
On
the
and
account of these
1960 with a federal constitution which was
never really had a chance of working.
it
this,
of ethnic domi-
so, the fears
mobilized ethnic consciousness to secure a political following. fears,
program
and Western leaders accepted a federal arrangement which granted
after the Eastern
and military
soon collapsed, giving
It
rule.
Political Conflict in Postcolonial Nigeria
expected, in the pre-independence election of 1959, each of the three major
parties
won
decisively in
Representative
its
regional base, with the final standing in the
148 seats for the
at
NPC, 89
seats for the
NCNC,
Action Group. But no party was strong enough to rule alone. The
NPC
duly went into a coalition and formed the government. However, the
power was so high
that both the
House of
and 75 for the and
NCNC
premium on
government and the opposition were narrowly fixed
on gaining as much power as possible by whatever means. Eventually, the govern-
ment used
all its
powers
to harass the
Action Group, which
in turn
remained con-
304
Global Convulsions
frontational as Nigerian quickly
ment
capitalized
go
to
on
headed towards deep
for the liquidation of the Action Group.
an administrator whose pov/ers were istrator
came down
tried for treason
The
its
The govern-
Western House of Assembly
A state of emergency was declared, and
virtually limitless
heavily on the Action Group.
was appointed. The adminObafemi Awolowo, was
Its leader,
and imprisoned. The machinery for the creation of another
from the region was masse, and
political crisis.
factional strife in the AG-controlled
set in motion.
strength in the
political crisis
Members of
House of Representatives
fell
from 75
to 13.
deepened following the announcement of the census
of 1962-63, which bore heavily on
state
the embattled party defected en
how power would
result
be distributed. This time the
batde between the Action Group opposition and the government was compounded
by a
bitter conflict
between the coalition
partners, the
associated with an explosion of ethnic animosity.
when
NCNC and the NPC, a conflict
The
came to a head in 1965 House of Representatives
crisis
the highly controversial and violent elections for the
and the Western House of Assembly were held. The
political
system had broken
down, but without degenerating to a general state of anarchy. Nonetheless, on January 15, 1966, the army seized power. Soon afterwards, a long bloody ensued.
It
was not
be only a brief
until
1979
that Nigeria returned to civilian rule, in
interlude, for in
civil
war
what proved
to
1983 the military took power again, and has ruled
Nigeria ever since. It is
in the
important to underline the continuity between military and civilian rule
Nigerian context; they are points on the same continuum. To begin with, in
Nigeria politics
is
equated to warfare. The Nigerian
origins, lacks autonomy.
It is
state, reflecting its
the contradictions of social life but largely an instrument it
use openly to promote their
all
but the few
who
colonial
not an objective force standing above and mediating
own
which those who control
disadvantage of others. To
interests, often to the
control state power, the state tends to be seen as a hostile,
predatory force with enormous power. Because everyone places the highest priority
on controlling
this force, political
competition becomes immensely intense
and unrestrained, indeed, Hobbesian. This has been compounded by the use of state power for accumulation and aggrandizement, a tendency which renders state power all the more attractive. To all this must be added the effect of political ethnicity. The resort to ethnic ideology as a means to power has unleashed strong antipathies, and engendered fears about being under the power of other ethnic groups fears verging on paranoia. All this has made the competition for power a war of all against all. Because politics has become warfare, it was inevitable that the specialists of war would become the major players in politics. The descent to military rule was entirely logical and inevitable. However tempting it may be, it is not very useful to
—
dichotomize between military rule and civilian rule
more
useful to regard
them
as
moments of
related to the failure of both civilian
the
and military
in the
same
rule.
context of Nigeria;
political
it is
dynamics. This
far is
and State-Building
Political Ethnicity
Military rule, which
was
justified as a
redemption from
in
political collapse
the efficient facilitator of the state-building process, appears to have failed by standard, for behind the outward
conformism and apparent
was loosing
305
Nigeria
stability, divisive
its
and
own
tenden-
bid for loyalty. These particular
cies were growing and the
state
problems of military rule
Nigeria appear to have been widely recognized, for in
in
the run-up to civilian rule there arising especially
from
was
its
great concern about disintegrative tendencies
from minority
ethnicity, but also
status
and
class.
These con-
cerns were amply reflected in the Constitution with which Nigeria returned to civilian rule in 1979.
The Constitution introduced a presidential system with a singular concentration in an executive president. At the same time, it attempted to restrict political power of competition through the powers of the National Electoral Commission (NEC) the
—
government-appointed body designed to oversee the forming and functioning of political parties, as well as the
conduct and adjudication of elections. These measures
only reinforced the problems they were supposed to solve. They placed a very high
premium on the capture of the presidency, and so intensified the competition for power. The four years from 1979 when the military handed over power to civilians were notable for a single-minded and lawless struggle for the presidency. The election of 1983 was contested with such intensity and lawlessness, and amidst such paranoid fears of ethnic domination, that the political system broke
paving the way for the return of the military on December 31, 1983.
decade has passed since the coup and the military
Political Ethnicity
Nigeria
is
no closer
country gained
pronounced a
is still in
down More
power.
and the Nigerian State to being a viable state in the 1990s than
it
was
in
1960 when the
independence. Indeed, the state-building project must
its
again,
than a
failure,
inasmuch as the
state has lost the bid to
now be
be the repository of the
primary loyalty of Nigerians to ethnic and national groups as well as local communities.
and
The
official
—
Nigerian state
of the resources that
all
publica.
Its citizens
do not
it
for
all its
—
controls
is
apparatuses,
It is no res They share no strong sense of cor-
only nominally a
constitute a "public."
enormous power,
its
state.
porate identity, and do not see the state as a collective enterprise of overriding impor-
tance deserving commitment. Rather, the Nigerian state terrain
where
all
powers and resources of the groups, but
more
is
perceived as an exploitable resource, a contested
struggle to appropriate and privatize state.
some
or
all
of the enormous
Those who wage these struggles
significantly ethnic groups
this struggle is that the state disappears in a
are interest
and communities. The importance of
process of parceling and privatization,
its
place taken by communities and ethnic groups, nationalities and subnationalities.
These are invariably the
social formations to
which
loyalties are given, they are the
306
Global Convulsions
in this context that the notorious
problem of public morality
res publica.
It is
Nigeria
be understood. The monumental scale of corruption, for which Nigeria
is
to
is
rightly notorious, is associated with the fact that the citizenry
"public" morality;
it
is
quite proper to appropriate and privatize the resources of the state.
Indeed, this belief is
not a public with a
is
who define themselves as strangers prize. By all indications, many Nigerians
an arena where groups
it is
and contestants are fighting for a precious think that
in
the one thing that
is
a morality which negates the
comes
close to a public morality; in Nigeria
it
state.
MiUtary rule was supposed
to neutralize political ethnicity
and get the
state-
The rationalization for military rule offered by its was more conducive to political stability, rational and
building project back on course.
was always
supporters
that
management, the
efficient
the state,
which
like the
it
crystallization of collective
army
is
purpose and to the building of
a rational/bureaucratic organization. This rationali-
zation carries the implication that the military
would have a
better sense of the
requirements of state-building. But, far from enhancing state-building, military rule has undermined begin,
it is
it. To became not only above developing contradictions. The
well to observe that once the army entered politics
pohticized but ethnicized, and could not rise
it
military has ruled Nigerian like a unitary state, and in doing so has exacerbated fears
of domination, since the military anxiety arising from this has been its
arbitrary exercise.
The
popularly perceived to be ethnicized. Political
compounded by
the concentration of
While exacerbating tensions and nurturing
dencies, military rule in Nigeria
repressive capability.
is
was able
power and
destabilizing ten-
by
to maintain a surface stability
But beneath the surface of stability the
its
state project regressed.
military has learned that force alone will not do, and has
made some
concessions to the social plurality of Nigeria as well as to federalism, particularly by
making much of
its
commitment
character principle enjoins
rewards
among
to the "federal character" principle.
equitable distribution
the different peoples of Nigeria.
have created more
states
And
and local governments
The
federal
of offices, opportunities and so, Nigeria's military
to give
regimes
more groups a sense of
autonomy. In 1967 the number of states of the federation was increased from three twelve, then to nineteen in 1975, and to thirty in 1993. Yet the pressure for
to
more
states continues.
In a limited way, the process of redi vision reflected the existing structure of
power and helped
more than
to crystallize
it.
The major
ethnic groups subdivided themselves
others and they have collectively increased their dominance.
Some
of the
minority groups got a measure of political space without diminishing their marginalization.
They may have been more
tinuing marginalization
if
they had
inclined to reconcile themselves to their con-
some
government. However, there was not military dictatorship. In any case, the
conducive to autonomy. The
states
and
real
much
autonomy
in
economics of federalism local
their state or local
prospect of local autonomy under a in
Nigeria was not
government areas were created without
and State-Building
Political Ethnicity
any regard to
Lagos
their
economic
state is potentially so.
now,
their multiplication has
grow
in
now
viability.
They
307
Nigeria
Indeed, none of the thirty states
viable, only
is
are too revenue-dependent to have autonomy.
worsened
number, the weaker they are
thirty starving states
in
and 596
autonomy. The more they
their prospects for
in relation to the federal
local
And
government. There are
government areas struggling over dimin-
ishing resources.
Political Ethnicity
It
and the Antipathy
to Military
Rule
appears that the unpopularity of military rule in Nigeria
contribution to the state-building project.
over the squandering of the pervasive as to obliterate justice.
The
military
wasting Nigeria's
boom,
from
may be
as well as for corruption so brazen
its
income since
real
its
return to power.
association with the Structural Adjustment
Nigerian
it
is
for
inflation,
The
held responsible for creating the conditions that
unemployment, high
it
has brought
interest rates, a virtual abolition
and apparent collapse of
of the
social consensus concerning the
state.
With few exceptions such
mounds of
with
and
Program of the
forced Nigeria to adopt the program in 1986, and also for the miseries
social service sector,
lasting
wealth; for saddling Nigeria with an impossible debt burden;
World Bank and the IMF; by way of high
its
been blamed for presiding
the rule of law and the possibility of getting
all faith in
and for causing the steady decline of military suffers
military has
blamed for the gross mismanagement of the economy;
is
oil
oil
The
as
Abuja and Kaduna, Nigerian
garbage, which in
some
cities are littered
cases have rendered roads unusable.
Hospitals have no drugs, large parts of Nigerian cities go without light or running
water for weeks or months. holding up
traffic at
midtown
Armed in
robbers operate at will, sometimes brazenly
broad daylight while they rob one car
This has caused a rush to self-sufficiency. Nigerians
own
their
erators
garbage disposal system, their
and bore-holes, and
their
own
electric
who
can afford
after another.
it,
now
provide
and water supply through gen-
security through private guards or hired
policemen. The urban poor and rural dwellers have developed a wide variety of survival strategies, often reinforced by sophisticated networks. In the course of this, associational life is thriving.
The Nigerian
national groups as well as local communities,
state, is
all
already displaced by ethnic and
becoming increasingly
irrelevant
except as a nuisance. This
is
the background of the opposition of Nigerians to military rule.
objective of ending military rule has
some
attention
from the
become a
uniting force to them.
ethnic, religious, nationalist,
which have dominated Nigerian
this
new
The
has diverted
and regional particularisms
The
presidential election
political reality.
Quite unexpectedly,
politics for four decades.
of 1993 was a stunning expression of
It
the country turned against the National Republic Convention
(NRC), the more
308
Global Convulsions
conservative party reputedly preferred by the military government as well as the
dominant faction of the
The
political class.
presidential candidate of the party, Alhaji
Bashir Tofa, was soundly beaten by Chief
M.
K. O. Abiola, the candidate of the
The SDP was identified with changing the status the poor. The manifesto of Chief Abiola and the SDP
Social Democratic Party (SDP).
quo, including a better deal for
was
Farewell to Poverty.
entitled
SDP victory
was the manner of the
It
that
was
significant.
should be noted that the basic political dichotomy in Nigeria
and the South of the country. The North
—which
is
To understand is
this,
it
between the North
predominantiy
Moslem and
is
—
more populous but more backward economically and educationally has had a virtual monopoly of political power. It was always expected that the North would use
numerical strength to ensure the election of a Northerner and a
its
compound
president, in order not to
Moslem
economic disadvantages with the
as
loss of
power. Yet in 1993 the North voted for Chief Abiola, the Southern
political
who
candidate,
Kano.
its
was
It
assumed
took more states there than the
just as significant that Abiola
that
won
he would perform disastrously
—ones peopled by
Enugu, and Anambra
NRC
candidate
who came from
so decisively in the South.
in the Eastern States
the Ibos
who
—
It
was Imo,
^Abia,
are supposedly the "traditional
enemies" of the Yoruba, Chief Abiola's ethnic group. Yet he made an unexpectedly strong showing in this region.
Moreover, Chief Abiola,
According
to conventional
have a Christian on the
who
is
wisdom,
a Moslem, ran with a
it
Moslem running
mate.
should have been suicidal for Abiola not to
ticket in order to attract
Southern voters. But conventional
wisdom was confounded starkly when the South voted overwhelmingly for the Moslem-Moslem ticket (see appendix). The military government rejected the result and resumed its rule, promising another democratic transition. This decision has plunged the country into a deep
which some
crisis,
fear
may
yet lead to another civil war and disintegration.
been polarized into those
12, 1993,
must be upheld,
way
in canceling
ment's
own
an election which was certified to be free and
fair
by the govern-
National Electoral Commission, the Center for Democratic Studies
(CDS), as well as by
all
monitoring groups. The
independent Nigerian monitoring groups and
crisis
all
foreign
of the presidential election has immensely increased
the opposition to military rule, amidst widespread belief that the cancellation
made
to extend the transition to civilian rule.
between those who politics
in
insist
which power
political class, a politics in
would appear project,
Now the country
on democracy and those who are is
is
still
was
polarized politically
attached to the old
brokered by military and political chieftains of the
which power
that Nigeria's
and liberating her
this fragile
The
who believe that the democratic verdict of June and those who believe in letting the government have its
polity has
is
based on ethnicity, religion, and region.
It
chances of making a success of the state-building
politics
from
democratic constituency.
political ethnicity, def)end
If the election
of June 12
is
on the success of
any guide,
we may
and State-Building
Political Ethnicity
expect that this democratic constituency will win
new
indicates that a
political reality
promises to be a very long run which
Conclusion:
A Democratic Solution?
A great deal
will
309
The
election
be denied. But
will not
will, in all probability,
Nigeria
long run.
in the
emerging and
is
in
it
be traumatic.
depend on the form and content of Nigeria's evolving democracy.
The commitment to democracy, especially on the part of the elite leading the democracy movement is, with minor exceptions, shallow. For most of them, democratization is essentially a strategy of power. They concede the need for elections, but, only the election of themselves, by the free choice of the people
and coercion
if
Democracy
The
elite
if possible,
by fraud
necessary. is
not yet being customized to the historical realities of Nigeria.
which leads the democracy movement
is
quite content with a simplified
version of liberal democracy as electoral competition. Theirs
is
a democracy which
presupposes social atomization and individualism, and a commitment to formal
But most Nigerians are very poor and struggling
equality and abstract rights. survive;
many
are illiterate
and
in
to
poor health. They are not served by abstract rights
but by concrete rights that will allow them to improve their material well-being, to
conquer ignorance and participate meaningfully attached to their
communal
identities,
and well-being, and which are not liberal
in
democratic
which importandy form
easily reconciled to the
They
are
of freedom
rugged individualism of
democracy.
In so far as
democracy
in
Nigeria
consciousness of ordinary people, as
and to survive,
it
becomes
it
is
situated in the social location
must eventually
clearer that far
order to
in
from fueling ethnic
assumed, the process of democratization will likely reduced will
politics.
their sense
it.
conflict as
the marginalization of
all
but the few
who
is
so often
A democratic Nigeria
minimize those tendencies which underlie the robustness of
divorce of public policy from social need, the image of the
and
mean anything
state as
ethnicity:
the
a hostile force,
control state power, and the overvaluing
of state power as a means of security.
The
initial
shaky steps which Nigeria has taken towards democratization are
encouraging greater
political
politically marginalized
rights
movements and
expression of social pluralism. Economically and
groups are more
articulate.
There
calls for a sovereign national
is
a resurgence of minority
conference to reexamine,
if
possible renegotiate, the basis of political association. These are not really signs of stress state
and
instability but assets to
cannot attain viability
until
democratization and state-building. it
modation which
will give
cannot find
accommodation unless
this
it
The Nigerian
begins to negotiate the consensus and accom-
legitimacy before it
its
comes
heterogeneous peoples.
And
it
to terms with Nigeria's social
pluralism through the negotiated consensus of democratic practice.
Table
15.1.
The June
12,
1993 Nigerian Presidential Election S.D.P
S/No State
S.D.P
Score
N.R.C
%
N.R.C
Score
Total
%
Score
1
Abia
105,273
41.04
151,227
58.96
265,500
m
2
Adamawa
140,875
45.72
167,239
54.28
308,114
(a)
3
A/Ibom
214,787
51.86
199,324
48.14
414,129
(be)
4
Anambra
212,024
57.11
159,258
42.89
371,282
(be)
5
Bauchi
339,339
39.27
524,836
60.73
867,175
(a)
6
Benue
246,830
56.94
186,302
43.60
433,132
(ae)
7
Bomo
153,496
54.40
128,684
45.60
282,180
(ae)
8
C/River
189,303
52.23
153,452
44.77
342,755
(be)
9
Delta
327,277
69.30
145,001
30.70
427,278
(be)
10
Edo
205,407
66.48
103,572
33.54
308,979
(be)
11
Enugu
263,101
48.09
284,050
51.91
547,151
(be)
12
Imo
159,350
44.86
195,836
55.14
355,186
(be)
13
Jigawa
138,552
60.67
89,836
39.33
222,388
(a)
14
Kaduna
389,713
52.20
356,860
47.80
746,573
ia)
15
Kano
169,619
52.28
154,809
47.72
324,428
(a)
171,162
38.70
271,077
61.30
22,329
(a)
70,219
32.66
144,808
67.34
215,027
(a)
265,732
54.40
488,492
(ae)
16
Katsina
17
Kebbi
18
Kogi
222,760
45.60
19
Kwara
272,270
77.24
80,209
22.78
52,479
20
Lagos
883,965
85.54
149,432
14.46
1,033,397
(db)
21
Niger
136,350
38.10
221,437
61.90
357,787
(ae)
22
Ogun
425,725
87.78
59,246
12.22
484,971
(bd)
23
Ondo
883,024
84.42
162,994
15.58
1,046,018
(bd)
24
Osun
325,266
83.52
72,068
16.48
437,344
(bd)
25
Oyo
536,011
83.52
105,788
16.48
641,799
(bd)
26
Plateau
417,565
61.68
259,394
38.32
676,959
(ae)
27
Rivers
370,578
36.63
640,973
63.37
1,011,551
(ca)
28
Sokoto
97,726
20.79
327,250
79.21
469,976
(a)
29
Taraba
101,887
61.42
64,001
38.58
165,888
(ae)
30
Yobe
111,887
63.59
64,061
38.41
175,948
(a)
31
Abuja
19,968
52.16
18,313
47.84
38,281
8,341,309
58.36
5,952,087
41.64
14,293,396
Total
Key Northern States
io)
Western States
(d)
Southern States
ib)
Minorit) States
ie)
Eastern States
(c)
Federal Capital Territory
(FCT)
/
(
(a)
(FCT)
Political Ethnicity
and State-Building
in
Nigeria
311
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.
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Lund: Lund
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Critical
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University of Natal,
16 Canada and the Challenge of the Quebec Independence Movement MARC V. LEVINE
After nearly two decades of challenge to Canada's political order, most observers
agreed that by the mid-1980s Quebec nationalism had entered a period of quiescence.
The stunning
election in
1976 of the
Quebecois (PQ)
separatist Parti
to
control of Quebec's provincial government had inaugurated a bona-fide national
unity crisis in Canada. However, the
PQ was
thwarted in
its
1980 referendum
seeking a mandate from Quebec voters to negotiate "sovereignty-association," version of independence.
By
its
1985, fragmented and dispirited, the "separatists" were
voted from power, replaced by the resolutely federalist Quebec Liberal party. The "national question," as In this context,
it
serious political crisis
it is
called in Quebec,
seemed .
.
.
seemed
appear[ed] to have run
argued that Quebec had entered a post-nationalist an epochal
shift in
ment.
insisted that It
era.
William Coleman went even
become more
to participate
further,
more
have
failed
If this
and may
(nationalist
it
now
for
be taking
its
has done will
move-
arguing that "as Quebec's Francophone
fully in the continental
similar to others active in that
soon be extinguished.
perceiving
Clift,
and resolutely capi-
and more concrete concerns
years. Timelier
most
analysts even
"is destined to decline as a political
economy,
its
culture
economy. In the view of many,
has led to a situation where that inner quality burning
will
Some
Dominique
to the individualistic (anti-nationalist
Quebec nationalism
community has come has
course."'
can no longer be expected to dominate public debates as
more than twenty place."'
its
Francophone Quebecois values from the collective
and social-democratic) talist),
settled for a generation.
perfectly reasonable to conclude that "Canada's
in the hearts
this
of Quebecois will
does happen, then the nationalist movement
in
Quebec
itself die."^
315
Global Convulsions
316
But the
wake of two
burial of
Quebec nationalism was premature. By
disastrously botched federal-provincial
the Canadian Constitution in
Canada once again faced
ways
the early 1990s, in the
government
efforts to restructure
would recognize Quebec's
that
distinctiveness,
the possibility of national disintegration. Politicized Franco-
phone nationalism re-emerged with renewed force
Quebec independence reaching unprecedented
Quebec, with support for
in
levels. In 1985, polls
showed a mere
15 percent of Quebecers supporting independence; by late 1990, in the bitter after-
math of the
failure
Meech Lake
of the
dence reached 70 percent
1994 Quebec provincial
Quebec
in
one
poll."*
elections,
and
constitutional agreement, support for indepen-
The in
Parti
sovereignty. In a result that sent shock
came
the sovereignists
The
secession.
Quebecois returned
to
power
in the
October 1995 held another referendum on
waves throughout the
of Canada,
rest
within 50,000 votes of winning and beginning the process of
inevitable next referendum
although a victory for separation
is
may be
held as early as 1997 or 1998, and
hardly assured, the odds have
swung
sharply in
favor of the breakup of Canada by the year 2000.
What happened? How
did the "Quebec question" return with such force, after
appearing settled following the devastating defeat of the independantiste forces in the 1980 referendum and the mid-1980s decline of the Parti Quebecois?
likelihood that
predominandy French-speaking Quebec
will
What
is
the
become an independent
country by the end of the twentieth century? I
argue in this chapter
that,
although Quebec nationalism was dormant through
most of the 1980s, a powerful combination of
large-scale social, economic,
and
changes in Canada and Quebec was setting the stage for a nationalist
political
revival. In addition, the repoliticization of
Quebec nationalism provides almost a
textbook case-study of the mismanagement of social conflict in culturally divided
The misguided
societies.
strategy deployed
by Canadian Prime Minister Brian
Mulroney and Quebec Premier Robert Bourassa
Lake Accord was perhaps
the single
factor in rekindling indepen-
in Quebec when the agreement was not ratified in 1990. makes a difference, particularly in societies such as Canada
dence sentiment leadership
seriously divided
Meech
to secure passage of the
most important
by ethnonationalist cleavages. Structural
Quebec was the miscalculations of Canada's two most important
factors
Political
that are
may have
set the
nationalism sometime in the future, but
stage for an inevitable revival of
it
political leaders in the late
1980s that brought the country to the brink of political disintegration. This chapter
of the
rise
and
is
fall
divided into four main sections.
of the
modem Quebec
First,
it
provides a brief overview
independence movement, seeking mainly to
explain the nationalist quiescence that seemed to take hold by the mid-1980s. Second, it
offers a short narrative of the political events that helped rekindle separatist fervor in
Quebec, including an assessment of the constitutional Bourassa. Third,
it
examines the large-scale
social
strategies
of Mulroney and
and economic factors
that
I
believe
provided a structural basis for the Quebec nationalist renaissance of the 1990s. Finally,
it
presents
some informed
speculation on "whither
Quebec"
in the 1990s.
Canada and the Challenge of the Quebec Independence Movement
The Rise and
Fall of the
317
Quebec Independence Movement, 1968-1985
Although French Canadian nationalism has always existed in Quebec, during the 1960s a more assertive Francophone "neo-nationalism" emerged to dominate the landscape and challenge Canada's federal order. Spearheaded by a
political
"new
middle class" of Francophone teachers, journalists, and policy professionals, a great cultural
and
awakening known as the "Quiet Revolution" swept through
political
French Quebec during the 1960s.' At the heart of the Quiet Revolution was the assertion that the cultural survival and epanouissement (blossoming) of
Francophone
Quebec depended upon Francophones becoming "maitres chez nous" (masters in our own house). This was no longer the traditional French Canadian nationalism of la survivance in which French cultural survival was predicated on ruralism, avoidance of
modem
(read: English) influences,
and
total fealty to the
Catholic
Church. Historically underdeveloped and economically dominated by a Montreal-
based English-speaking minority, French Quebec would begin during the Quiet Revolution a full-scale projet de societe of modernization and rattrapage (catching up) aimed at building a society in which the French language and culture could flourish in a dynamic, lution
aimed
The
to permit
modem
North American context. Put simply, the Quiet Revo-
central tenet of Quiet Revolution nationalism
vincial government, the chief
phones,
et a la modeme."^ was that the Quebec proCanada controlled by Franco-
Francophones "de vivre a la fois en fran^ais
would be
the
govemmental
primary
developing the "French fact"
in
unit in
instrument
responsible
for
safeguarding
and
Quebec. Since 1960, when the ideology of the Quiet
Revolution took hold, every Quebec provincial government has sought additional
govemment
Ottawa
powers from the
federal
autonomous,
developed French-speaking
thirty years
fully
in
for the purposes of building an
state.
The
result,
of course, has been
of on-and-off confrontation between power-seeking Quebec govem-
ments and the Canadian federal govemment. Moreover, and neo-nationalism has produced powerful subnational govemment of resources and
in
in all
of the
OECD By
scope of intervention."^
its
this
combination of etatisme
Quebec what Stephane Dion
Revolution, a well-developed subnational
calls "the
countries in terms of
itself,
govemment
this
its
most share
legacy of the Quiet
controlled by a culturally
anxious and nationalistic Francophone community, institutionalized an inherent source of challenge to the Canadian federal system.
Thus, after 1960, a clear majority of Francophone Quebecois were nationalists in the
Quiet Revolution sense of the term: strongly identifying with Quebec territory
as "/a mere-patrie'' of Francophones in North America,
a strong, autonomous
Quebec
state to
consistent with Francophone cultural security.*
Quiet Revolution ideology was the emergence,
independence movement.
If,
autonomous Quebec
were
state
and believing
in the
need for
oversee societal development in a manner
However, a
logical step
in the late 1960s,
of a
beyond the
modem Quebec
as the architects of the Quiet Revolution argued, an to be the
moteur principal of Francophone security
3
1
Global Convulsions
8
and development, would
peded by a Canadian
not best
it
federal
always represent a minority
sene
that function as a sovereign state,
government
in
unim-
which Quebec Francophones would
interest?
Several fringe political parties in Quebec began advocating independence in the early 1960s, and a small but noisy terrorist group, le Front de Liberation
brought national-liberation type flaming out
movement
in the
really
political part)'
"October
began
in
Montreal
tactics to
crisis"
in
of 1970. But the
du Quebec,
support of the cause before
modem Quebec
independence
1968 with the formation of the Parti Quebecois. a mass
whose goal was
to
achieve Quebec independence through democratic
means. Led by the charismatic Rene Levesque, a high-profile nation-
(i.e.
electoral)
alist
minister in the provincial Liberal governments of 1960-66, the
PQ
immediately
mobilized the growing hard-core separatist constituency. In addition, as a a moderately social-democratic projet de societe, labor, civil servants, teachers,
it
part>'
with
also attracted the support of
and other classes of Quebecois
nationalists with a
progressive social bent.^
The growth of the
PQ during the
provincial elections in 1970 elections
PQ
it
1970s was meteoric. In
its first
run in Quebec
received 23 percent of the popular vote; in the 1973
support rose to 30 percent (including 44.5 percent of the vote in pre-
dominantly Francophone ridings on Montreal
Island).''-
An
independanriste party
was now Quebec's main political alternative to the ruling Liberal party. Through the mid-1970s, though, suneys still showed support independence never exceeding 18 percent of the mid-1970s, the
PQ was
able to
augment
electorate.''
for
Quebec
Nonetheless, by the
core separatist support by appealing to a
its
significant number of moderate nationalists concerned about the most burning policy
question in Quebec: the issue of language policy. The continuing strength of English in
Montreal through the early 1970s, as the
mobility,
pride and
was an ongoing grievance
new economic
for
city's
language of work and of upward
Francophone
nationalists feeling the culuiral
early 1970s, linguistic trends in Montreal
seemed
to threaten the cultural
Francophones. In overwhelming numbers, immigrants their children to the cit\''s English-language schools. that,
by the
possibilities of the Quiet Revolution. In addition,
as these immigrants integrated into
to
sunival of
Montreal were sending
Francophone
nationalists feared
the Anglophone community, the demo-
graphic position of Francophones would erode and the future of French would be threatened. Indeed, one highly publicized demographic suidy suggested that Franco-
phones could become close this context, in
by advocating
Quebec, the
concerned about In fact, the the
PQ became
the
on Montreal Island by the year 2000.'*
electoral
vehicle for Francophone
la question linguistique, thus
jX)litical
PQ was
by adopting
in
In
language laws to protect the French language
expanding the party's
PQ's support has always swelled when the language issue
Quebec
The
to a minority restrictive
nationalists
political base. is
at the
top of
agenda.'^
also able to attract electoral support from nonseparatist nationalists
1974 a strategy of etapisnie, or independence
in stages.
The
etapiste
Canada and
Quebec Independence Movement
the Challenge of the
strategy decoupled provincial elections
promising that the
PQ
319
from a declaration of independence by
would hold a referendum on sovereignty
after
coming
to
power. Thus, Quebec Francophone voters could feel free to express their nationalistic
concerns by voting
—
PQ
or, for that matter,
—
number of reasons without uncharted waters of Quebec independence.'"*
party for any
voting against the ruling Liberal
necessarily opting immediately for the
This strategy paid off in 1976 when, a mere eight years after Parti
Quebecois ousted an unpopular Liberal government
elections.
For the
separatist party
first
was
time
in
founding, the
its
Quebec
in the
provincial
an advanced Western democracy, an ethnonationalist
elected to control a subnational government (even
workings of etapisme, the PQ's mandate
in
1976 was merely
if,
given the
to provide "good
government" rather than build an independent Quebec).
The
four years of
PQ
represented a high-tide of the
PQ
to the
1980 sovereignty referendum
separatism. Within a year of
its
election victory,
passed a far-reaching language law. Bill 101, which radically reshaped
Quebec's to
government leading
Quebec
linguistic landscape: It required all
new immigrants
send their children
to
French-language schools, mandated French as the primary language of the
workplace, and proscribed, with only minor exceptions, languages other than French in
commercial signs
in the province.
As
PQ declared in its language policy White
the
Paper:
There will no longer be any question of a bilingual Quebec.
Quebec we wish majority of
its
to build will
population
communications, and
is
be essentially French. The
French will be clearly visible
in the countryside. It will also
the traditional balance of
power
economy; the use of French
will
be
will not
.
.
.
The
fact that the
—
at
work, in
be a country in which
altered, especially in regard to the
merely be universalized to hide the
predominance of foreign powers from the French-speaking population.'^ In a very real sense, then. Bill 101 lative prelude to
nation-state"
was viewed by Quebec
Quebec independence:
was being
separatists as the legis-
the linguistic character of an "embryonic
defined, in fundamental challenge to the policies of national
bilingualism pursued by Canada's federal government.'^ After four years of sparring with the Canadian federal government, led by federalist
Quebecer Pierre
1980. Sixty percent of rejected the
PQ
Elliot Trudeau, the
Quebec
effort to secure a
mandate
association": political sovereignty with
The referendum ideology
how
in
their
PQ
finally held its
referendum
voters, including a slight majority to negotiate
its
in
May
of Francophones,
option of "sovereignty-
economic association with the
results revealed clearly that, although nationalism
rest
of Canada.
was a dominant
French Quebec, there were profound divisions among Francophones over national
interests
should best be pursued. Moreover, the economic
development of Francophone Quebec was costs of sovereignty
were a major issue
still
in voter
such that fears over the economic decisionmaking; questions about the
320
Global Convulsions
economic
much
of an independent Quebec colored
viability
of the referendum
debate, and clearly discouraged a significant percentage of voters from supporting
some
sovereignty. Finally,
may have
policies as Bill 101, that
analysts have suggested that the
"PQ-as-govemment"
unwittingly undermined the "PQ-as-independence-movement" by such
which may have helped reduce by 1980 the
cultural anxieties
had fueled the growth of Quebec separatism throughout the 1970s.
seemed
to buttress the status of
French
in
Quebec before
101
Bill
the advent of indepen-
dence, channeling immigrant children into French schools, reducing the status of
economy, and engendering a French face
English
in the
cultural
and economic advances were possible under federalism, voters
wondered how compelling was the need economic
for independence, especially in
may have
view of the
uncertainties attending such a shift.
The referendum called
in the province. If these
clearly revealed
Francophone Quebec's three
the referendum.
Quebec Francophones
on the "national question":
Canada, and about 15-20 percent et dur.
Louis Balthazar has
political scientist
are generally divided into three
and
federalist, confederalist,
percent of the Francophone electorate
pendence pur
what
"publics,"*' a cleavage that has persisted since
is
is
separatist.
main camps
About 15-20
solidly federalist, with a firm attachment to
hard-core separatist, supporting Quebec inde-
The remaining 60 percent
or so of Francophones, called
confederalists by Balthazar, are moderate-to-strong nationalists who, while finding
the federalist status
quo unacceptable
are normally, for a variety of reasons, leery of
independence. Their preferred constitutional options range from "renewed federalism," with greater autonomy for Quebec, to perhaps
some milder forms of
eignty, such as the "sovereignty-association" espoused
by the
PQ
sover-
(although polls
have consistently revealed an astonishing confusion among Quebecois over precisely
what sovereignty-association would
majority of confederalists
—
^perhaps for
wanting to give Canada "one
last
entail)."^
During the 1980 referendum, the
economic reasons, maybe
chance"
—were unable
for reasons of
to support the
PQ
option.
But, despite general quiescence on the national question in the 1980s, these confederalists did not see,
when
become
ardent supporters of Canadian federalism and, as
political conditions
ready to declare themselves
in
shall
favor of an independent Quebec.
In the aftermath of the bitter referendum defeat, the its
we
changed dramatically by the early 1990s, many were
PQ
nevertheless regained
footing to score a mildly surprising reelection victory in the 1981 provincial
elections.
However, things unraveled quickly
thereafter for the party,
and for Quebec
nationalism in general. Pierre Trudeau's successful "repatriation" of the Canadian Constitution, without the assent of the Levesque government, further
PQ.
A bitter strike pitted the PQ against Quebec public employees in
midst of the deep recession, the
PQ
rolled
weakened
1982-83:
the
in the
back wage increases for teachers and
civil
some of its historically core coalition. As Graham Fraser has
servants. This action placed the party in opposition to
constituencies, and further fragmented the
PQ
written, a general post-referendum fatigue, moroseness,
and disorientation overtook
Canada and the Challenge of the Quebec Independence Movement
party militants,
and indeed the
leadership,
its
separatist
movement. '^
321
Bill 101
had
taken the edge of off the language question, historically the prime stimulant of nationalist mobilization. Furthermore, at least in the short-term, the rise of a Franco-
—
phone business culture ironically, in part a product of the successes of PQ language and economic policies aimed at nurturing a Francophone capitalist class also helped undermine the nationalist project. As Kenneth McRoberts points out, this
new
business culture "through
vention
.
.
.
its
attack
on the
desirability or efficacy
of state
inter-
served to undermine a central premise of the neo-nationalist argument
Quebec sovereignty."^ By the mid-1980s. Francophone "entrepreneurialism" was all the vogue in Quebec, etatisme in general was discredited in an increasingly conservative political climate, and state-oriented nationahsm was presumed passe. Its sovereignty rejected by Quebec voters, its social-democratic projet de for
and
societe and progressive coalition in tatters,
its
leadership undermined by
moment" appeared
defections and political fatigue, the PQ's 'Hndependantiste
to
have passed. In 1984, the federal Conservative party under bilingual Anglo-
Quebecer Brian Mulroney swept
to office,
winning a landslide in Quebec with
promises to undo the "wrongs" visited on Quebec by the 1982 Trudeau Constitution (and with a substantial number of highly nationalistic
government from Quebec). In
this climate,
PQ
MPs
leader
elected to the
Rene Levesque
Mulroney officially
declared the sovereignty option in "mothballs" as he endorsed the ''beau risque" of
Mulroney federalism. In 1985, "normalcy" returned in the Quebec provincial elections as the exhausted Parti Quebecois was routed by the Liberals, led by Robert Bourassa. Quebec seemed to have entered a post-nationalist era.
Meech Lake, Charlottetown, and the Repoliticization of Quebec Nationalism To
institutionalize this nationalist quiescence
and pursue
their business-oriented,
neo-conservative policy agenda without the distraction of the "national unity question," the
Mulroney and Bourassa governments quickly began actions
to gain
Quebec's approval of the Canadian Constitution (which had been lacking since Trudeau's 1982 repatriation). The timing seemed propitious: with Quebec nationalism quiescent,
it
was hoped
that a
modest
for the foreseeable future the spectre of
set
of constitutional reforms could bury
Quebec independence.
The Bourassa government offered new constitutional accord:
Quebec
five conditions necessary for
accept a 1
Formal recognition of Quebec as a
"distinct society" in the
Canadian
Confederation; 2.
Constitutional formalization of a 1978 federal-provincial agreement (the Cullen-Couture agreement) giving
Quebec primary
control of
immigration to the province; 3.
A Quebec
veto over future constitutional
institutions;
amendments changing
federal
to
322
Global Convulsions
on federal spending
4. Restrictions
in areas
of provincial jurisdiction, and
guarantees of Quebec's right to "opt out" with compensation from any
programs
were transferred by other provinces
that
the federal
to
government; and
Quebec
5.
Supreme
participation in the appointment of judges to the
These "five minimum conditions,"
became the basis Mulroney and the in
June of that
ten provincial premiers at
year.
As
to ratify the
become part of the
Meech Lake Accord
ratification, the
status"
in
Manitoba),
signed the accord were voted out of office during the ratification
of significant elements of the
critical
became a
accord. In particular, the "distinct society" clause
concern
its
process unraveled over the next
(New Brunswick, Newfoundland, and
and replaced by premiers who were
period,
within three years for
Constitution.
Expected to be a pro-forma
who had
hammered out by Prime Minister Meech Lake in April 1987, and signed
specified in the Canadian Constitution, provincial legislatures
three years. In three provinces
premiers
government called them,
as the Bourassa
for a constitutional accord
would then be required provisions to
Canadian
Court.^'
English Canada,
on Quebec, placing
critics
lightening rod for
suggesting that the clause might confer a "special
above other provinces.^^ In Quebec, as English Cana-
it
dian politicians attacked the distinct society clause,
it
quickly assumed importance as
a symbolic constitutionalization of Quebec's sociocultural uniqueness and special
place in confederation as the foyer of French Canada. Even
argued that the distinct society clause would have distribution of
powers
in confederation, the
little
most
if
legal experts
impact on the
real
symbolic importance of the provision
was enormous. In culturally divided societies, these symbols take on a political life of their own. Each time criticism was levied against the distinct society clause, Francophone anxiety grew
in
Quebec. As Charles Taylor points
Lake Accord was important because
it
was
out:
Canadian duality and the special role of Quebec was being written of what Canada was about.
.
.
.
Anyone who can use
Quebec and the
rest
for a resurgence in
1987-90
ratification
of Canada, placing the accord
Quebec
nationalism.
in
The 1988
its
large portions of English
"^^
period also divided
jeopardy and paving the
federal elections, in
Canada-U.S. Free Trade Agreement was the most prominent
Quebec and
into a statement
the expression 'just symbolic'
has missed something essential about the nature of modem society. Several other events during the
"The Meech
the first time that recognition of
Canada on opposite
which the
political issue,
sides (with
way
found
Quebec, led by
burgeoning Francophone entrepreneurial, strongly supporting the agreement). As
Philip Resnick has written,
resentment
at the
Quebec
many
anti-free trade voters in English
position. Resnick's
own
imaginary Quebecois friend, conveys these feelings: "You voted
supreme indifference
to the issues
Canada
felt
strong
writing, in his "letters" to an in this election
with
of both Canadian identity and appropriate models
Canada and
the Challenge of the
of society so clearly posed in the
rest
Quebec Independence Movement
of Canada.
What
323
mattered to your political
(and their big business backers) were the gains (real or hypothetical) that
elites
Quebec stood
make from
to
the deal.
.
.
Your
.
attitude
bespoke a sacred egoism
bordering on contempt."^
The anti-Meech and anti-Quebec backlash
in
English Canada intensified in late
1988 and early 1989 with another language dispute the Canadian
Supreme Court
French commercial
some of
signs.
down
struck
in
Quebec. In December 1988,
portions of Bill 101 mandating unilingual
However, a firestorm of Francophone
the largest street demonstrations in
Premier Bourassa to invoke a provision
Quebec
in the
history,
reaction, including
persuaded Quebec
1982 Constitution, the so-called
"notwithstanding clause," which permitted
him
addition, in a disastrous effort at linguistic
compromise, the Bourassa government
new language law
passed Bill 178, a
that
to nullify the Court's decision. In
limited outdoors commercial signs to
still
French-only, but permitted, under certain conditions, other languages along with
French (i.e., English) on signs inside some stores. This so-called "inside-outside" compromise satisfied no one. In Quebec, Bill 178 provided an impetus for Francophone nationalist mobilization, while anti-Meech forces in English Canada portrayed Bill 178 as a disturbing indication of what policies Quebec might pursue under Meech's distinct society clause.^^ Thus, in the wake of the election of recalcitrant premiers, divisions over free trade, and the controversy surrounding Bill 178, it became apparent by mid- 1989 that the Meech Lake accord was in serious trouble. It was at this point that Bourassa
and Mulroney, facing the constitutionally determined June 23, 1990, deadline for of Meech, undertook a
ratification
the
way
gamble that ultimately opened Quebec nationalism and an unprecedented
fateful, high-risk
for a full-scale repoliticization of
surge in support for Quebec independence. In an effort to persuade the balking
premiers in English Canada to support Meech, both Bourassa and Mulroney deliberately fostered a crisis atmosphere, explicitly raising the threat of in
Quebec In
if
Quebec,
constitutional at its
this rhetoric
—up
agreement
—
importance
transformed
Meech Lake from
to this point the
to a potent
PQ
raising apocalyptic scenarios of
and Mulroney seemed Canada's failure to conflict
a relatively innocuous
and most nationalists had scoffed
symbol of whether Quebec's distinctiveness as a
Francophone society would be recognized by the
in
renewed separatism
Meech were rejected.
what could happen
if
rest
of Canada. Moreover, by
Meech were rejected, Bourassa
to legitimize sovereignty as a rational response to English
ratify the accord. In culturally
management normally
try
to
divided societies, leaders interested
defuse
explosive cultural
issues
by
attempting to focus debate on technical, nonloaded issues.^ Bourassa and Mulroney literally rolled the
dice by politicizing the most sensitive of issues: Quebec's sense of
cultural self-esteem.
sion of powers,
left
Meech was no
longer a technical discussion of Canada's divi-
chiefly to constitutional law specialists;
it
was now about
whether English Canada would "accept" Quebec's distinctiveness, an explosive debate, as Charles Taylor points out, over "recognition.""
324
Global Convulsions
Moreo\ er. by playing
the separatist "card" and in\oking the threat of a revived
Quebec independence to pressure the other provincial premiers. Bourassa unw ittingly created a self-fultllling prophecy. There were, for example, less extreme alternatives to Bourassa's "it's either
Meech
or the separatists" strategy for securing
passage of the accord. Bourassa could simply have said that not
accept
his
constimtional
constitutional reform until
it
Quebec
proposals.
did. Instead, the "sleeping
strategy backfired
the rest of
Canada did boycott
to
dog" of independence was
awakened, and events soon surged well beyond Bourassa's
The Bourassa-Mulroney
if
would continue control.
monumentally when Meech
failed,
and an unprecedented surge of Quebec nationalism and sentiment for independence
swept across the pro\ince. As table highest support for
16.
1
shows, the period
Quebec independence among
began asking the question
in the early
Clearly, in the aftermath of cultural "humiliation"
after
Quebec
Meech witnessed
1960s.^
Meech. with leaders
As
radical.-^
articulating sentiments of
Jean-Frangois Lisee has argued in his exhaus-
two-volume suidy of the post-Meech period,
there
was
a "windox'." of public
opinion consensus: virtually 80 percent of Quebec Francophones were
There
sovereignt}'.
is little
favor of
in
doubt that had Bourassa been so inclined, he could have
called a snap referendum on
Quebec
launched an independent Quebec. Instead, in the period after
arms with the PQ. and
so\ereignt>. linked
""
Meech. although Bourassa refused
further constitutional discussions until the provisions of in
the
voters since pollsters
and "rejection." Quebec Francophone public opinion was
mobilized for something tive
all
to
meet
Meech Lake were
in
any
accepted
English Canada, his pro-Canada confederalist proclivities became more and more
evident.
Two working
groups convened by Bourassa, the
Liberal part}- and the "blue-ribbon"
Fumre of Quebec
(the
1991
.AJlaire
group within his
the Political and Constitutional
Belanger-Campeau Commission), issued
calling for a massive transfer of
Meech and
Commission on
powers
to
Quebec,
far
radical
in
bordering on de facto sovereignty. Belanger-Campeau also pushed for a
referendum on sovereignty. Bourassa essentially ignored the substantive
demands of
the
two groups
definitive position
—and
— he
labeled
them bases
for negotiation, not
modified the referendum deadline and
master of time." Bourassa delayed holding a referendum public opinion demobilize from the sting of
until
its
1992
Meech) and changed
Quebec's
subject. (to let
"The
Quebec
the content of a
potential referendum to either sovereignt>' or credible constitutional offers rest
reports
beyond those contained
from the
of Canada.-'
Although
his
approach was clearly running against Quebec public opinion
the time. Bourassa's stature as the
from
most admired leader
his dignified public interventions in the
in
Quebec (derived
immediate post-Meech period and
firom his courageous battle with cancer beginning in mid- 1990) enabled
successfully on the sovereignty referendum.
at
largely
By mid- 1992.
with his
him
own
to stall
deadlines
approaching. Bourassa returned to the federal-provincial conference table and a
new
Canada and
the Challenge of the
Quebec Independence Movement
325
Table 16.1. Quebec Public Opinion on Independence, 1965-1993 (all
adult
Quebec
citizens)
Year of Survey
In
Favor
Opposed
Undecided
1965
1
79
14
1968
10
72
18
1970
11
74
16
1973
17
64
19
1976
18
58
24
1979 (March)
16
72
12
1979 (November)
19
72
9
1980 (March)
28
64
8
1981
22
62
16
1985
15
74
11
1989
29
56
15
1990 (February)
47
1990 (May)
53
52 44
3
1990 (June)
70
23
7
1990 (November)
53
33
14
1991 (May)
43
47
10
1992
34
54
12
1993 (April)
40
47
13
1994 (September)
35
51
14
1995 (February)
38
57
3
(July)
Sources'.
Authier,
Edouard Cloutier
et
"No 60%, Yes 40%:
Al; Sarah
Scott,
al.,
1
Le virage (Montreal: Quebec/Amerique);
Poll,"
The Gazette (Montreal), February
Philip
17, 1995, p.
"Divide and Conquer," The Gazette (Montreal), September 10,
1994, p. Bl.
set
of
Meech
look-alike proposals
were hammered
accord. In October 1992 the accord
out, the so-called
was presented
to
Canadians
Charlottetown
in a
nationwide
referendum. Seven of Canada's ten provinces, including Quebec, voted accord, and
it
But Bourassa's
tactics succeeded, at least in the short-term.
early referendum, the
Quebec
down
the
entered the growing historical dustbin of failed constitutional proposals.
"Meech moment,"
for radical constitutional action, passed.
from palpable constitutional
By
avoiding an
a period of astonishing consensus within
By
1992,
fatigue; the supercharged
Quebec was
suffering
atmosphere of apres Meech
seemed ended. The Quebec sovereignty movement hardly faded away, though. Indeed, with the election of the
PQ in
1994 and the promise of a referendum
Canada seemed poised for yet another national which witnessed unprecedented levels of support
unity crises. for
in
The 1990-92
independence
in
1995, crisis,
Quebec, saw
—
326
Global Convulsions
radical action stifled by an age old political strategy:
remains to be seen
is if
muddling through
"muddling through". WTiat
will suffice for the next round.
The New Quebec Nationalism: Structural Determinants of the Post-Meech Surge
As
I
have argued, the
political fiasco
particular, the questionable tactics
surrounding the
the accord, played a major role in rekindling deliberate!)' politicize cultural issues,
But Meech w as
just a catal>
Maurice Pinard has pointed \\ith failed constitutional fires
st
for the
that are difficult to control.
reemergence of nationalism. After
Canadian
agreements, and while these failures
reaction as did the failure of the
and. in
pushing
Quebec nationalism. Leaders who
out. the past thim- years of
of the Quebec independence
in
and heighten ethnonational feelings of rejec-
and humiliation, unleash powerful forces
tion
Meech Lake Accord
deplo\ed by Bourassa and Mulroney
all
movement none engendered Meech Lake Accord.-- Even
as
all,
histors' is littered
helped stoke the
quite the explosive the
image of nine
English Canadian provinces "ganging up" with Pierre Trudeau to repatriate the 1982 Constitution over the objections of the
of response
Quebec government did not generate
wake of Meech.
that follo\\ed in the
m\
In
the kind
view, several changes
occurring in Quebec's social composition and econom\ during the 1980s rendered
Francophones more susceptible
to a nationalist resurgence than the>'
appeared during
the post- 1980 referendum period. First,
although Bill 101 significantly improved the stams of French in Quebec
in
the 1980s, an evolving set of culuiral aaxieties continued to preoccupy Francophones.
As
has been well-documented.-- Bill 101 altered Quebec's linguistic dynamics in
scNcral
areas
seen as
\ital
by
nationalist
Francophones: channeling immigrant
children into French-language schools, and establishing French as Quebec's language
of work, business transactions, and commercial
signs.
However, during the 1980s new concerns arose over the securit>'
of French Quebecois. Smdies showed that English
force attracting immigrants in Quebec, even as massive
non-Enghsh. non-French residents children to French
schools.-^
—were
linguistic
still
and
cultural
remained a powerful
numbers of Allophones
compelled by
Bill
101
send their
to
Moreover, the influx of .AJlophone children into
Montreal's historically ethnically homogeneous French schools resulted
of a "culture shock" in Francophone quaners: by the
late
in
something
1980s, over one-fifth of
Montreal's French-language schools contained a majority of students whose native
tongue was not French. In 1990. a nasty conflict erupted
in
Montreal's largest French
school system o\ er efibrts by the school board to prohibit Allophone children from using English as a language of communication outside the classroom
(i.e..
in the
cafeteria or schoolyard) in these multiethnic French schools. Although the policy
was opposed
b>
numerous Francophone groups and was never implemented,
the
Canada and
the Challenge of the
Quebec Independence Movement
321
"English in the schoolyards" controversy nevertheless revealed growing tensions
over French Montreal's cultural transformation, as did several highly publicized clashes at a
number of Montreal-area schools between Allophones and Franco-
phones de souche (native-bom Francophones). These episodes
was considerable anxiety
there
and
linguistic
dynamics
in the
left little
doubt that
Francophone community over the new
in Montreal's
French schools, and, by extension,
in
cultural
Quebec
society as a whole.
Since Bill 101 was enacted, French-language schools and other Francophone social institutions
time,
have had to make major adjustments,
integrate diverse cultural
to
Francophone society
that has
Fundamental questions of
little
in a relatively short period
of
communities into a heretofore homogeneous
experience with intracommunity ethnic diversity.
cultural redefinition
—
^to
what degree should multicul-
turalism recast French-Quebecois culture and what will be the place of diverse ethnic
and
racial
communities within a French-speaking society
central preoccupations for intellectuals
—became almost overnight
and policymakers.^^
In Montreal, the persistent strength of English in the officially French-
speaking metropole means that inmiigrant integration occurs in an ambiguous, dualistic linguistic context, "where," as political scientist Daniel
Latouche puts
it,
"the French language and Quebecois culture have only a relative predominance."^
The
integration of immigrants into
new
societies is a difficult
and often conflictual
process under any circumstances, but Montreal's unique linguistic heritage makes this
process especially problematic. Thus, notwithstanding the impact of Bill 101,
the growing proportion of non-Francophones in Montreal's population (see table 16.2)
became a source of
cultural unease in the
Francophone community during
the 1980s.
This anxiety became
all
the
more palpable
in the
1980s with a series of well-
among Quebec Francophones de souche. Once "the breeders of North America" as Rene Levesque colorfully observed, the Quebec Francophone birthrate is now 1.2 children per childbearing woman, among the lowest rates in the West. As one demographer's analysis puts it:
publicized studies on the continuing demographic lag
—
Naitre ou ne pas etre (Give birth
mentary
or cease to
exist).^^
in 1989, entitled Disparaitre (To Disappear),
A polemical television docucaused quite a
stir in
Quebec
by raising the specter of a disappearing native Francophone population, displaced by growing numbers of immigrants, especially those who called "visible minorities": nonwhite immigrants
in
Canadian parlance are
from places such as
Haiti, Jamaica,
Vietnam, Pakistan, and North Africa. This was an especially controversial issue as
Quebec government had just embarked on a program that significantly increased number of immigrants admitted to Quebec, in part to counteract the province's low birthrate, and numerous analysts questioned the ability of Francophone society the
the
to successfully
ment
absorb and integrate a radical increase in immigrants.^* (The govern-
also initiated a series of "natalist" policies, such as offering a "baby bonus" that
reaches $6,000 for a third child.)
328
Global Convulsions
Table 16.2. The Linguistic Composition of Montreal, 1971-1991
(% of persons of French mother tongue on the Island of Montreal)
in total population
and
in the schools
1971
1976
1981
1986
1991
Total Population
61.2
60.1
59.7
60.1
56.8
Schoolchildren
63.8
58.9
56.4
54.2
51.2
Population
Sources: Statistics Canada; Conseil scolaire de ITle de Montreal; Conseil de la
langue fran^aise.
In short, demolinguistic data offered a
Montreal risks.
—
significant progress
mixed reading on
the future of French in
combined with formidable obstacles and
These ambiguities were compounded by the lack of a
persistent
clear consensus within the
Francophone community regarding the relationship of multiethnicity and immigration
As Francois Rocher and Guy Rocher moment when Quebec Francophones Thus, the Meech debacle came at a time of
to an evolving redefinition of Quebecois culture.
aptly observe, "these circumstances occur at a
do not know exacdy who they gnawing unease security,
a time
in the
are."^^
Francophone community over
when Francophone Quebecois were
cultural
likely to
change and
linguistic
be highly sensitive
to
perceived cultural slights such as those discerned in the anti-Meech backlash in
English Canada.
A second structural factor paving the way for a rapid recrudescence of Quebec nationalism
was
community
in the province. English-speakers
in
the declining demographic and
economic weight of the Anglophone
were
Quebec. They were a demographic minority
historically a minorite majoritaire in the province, but part
of the
Canadian English-speaking majority and unquestionably the group controlling eco-
nomic power
in the province. Indeed, well into the mid-twentieth century,
major Canadian corporations were headquartered
phones and operating
in
English.
The Quiet Revolution,
Quebecois, and Bill 101 helped change
Anglophones had
left
Quebec
in Montreal, controlled
all that,
most
by Anglo-
the rise of the Parti
with the result that over 250,000
since the 1970s, chiefly for Ontario and the
booming
Toronto region.'^ Moreover, Toronto's displacement of Montreal as the preferred location for corporate headquarters further diminished the weight of
economic power
in
Quebec. To be
sure, English
Anglophone
Canadian businessmen remain firm
opponents of Quebec separatism. But, with Montreal increasingly functioning as a French-speaking regional economic center, instead of national
economic
center, these
Anglophone
its
historical status as
Canada's
capitalists are less likely to
view a
same apocalyptic manner that they did in the 1960s or 1970s. Furthermore, with fewer powerful Anglophone interests located in Quebec, and with the demographic strength of Anglophones reduced after two decades of
sovereign Quebec
in the
Canada and the Challenge ofthe Quebec Independence Movement
Quebec Anglophones
outmigration, the ability of
separatism
is
much more limited today
This development
is
329
to function as a counterweight to
than even at the time of the 1980 referendum.
closely related to a third structural factor underpinning the
new Quebec nationalism, namely, the rise of a Francophone capitalist class in Quebec. The 1980s witnessed the full flowering of Quiet Revolution and PQ initiatives
aimed
phone
at creating
a Francophone corporate establishment in Quebec.
capital continued
its
assumed a more prominent Parizeau notes:
"When
during the PQ's
first
all
role in the
PQ
economy. As current
in power, I maintained
for
my
French Canadians to step
equanimity. in
I
realized
it
and take control over
Across Quebec, the percentage of workers employed by establish-
fields.'""
ments under Francophone control increased from 47.1 percent cent in 1978 and 61.6 percent in
By
Premier Jacques
those English Canadian companies were pulling out
few years
would simply open the way those
As Anglo-
withdrawal from the province, Francophone enterprises
1961 to 54.8 per-
in
1987.^*^
the mid-1980s, under the popular label "Quebec, Inc.," a formidable
network was institutions,
in place
of Francophone-controlled
state corporations, private financial
and large as well as medium-sized, export-oriented businesses. Large
public corporations such as Hydro-Quebec and the Caisse de Depot et Placement
provide natural resource and financial underpinnings to Quebec enterprise. The Caisse de Depot was particularly important in reducing Quebec's dependence on
non-Quebec
capital, clearly a
strikes" against
concern in earlier years when the threat of "capital
an independent Quebec where routinely invoked to dampen Franco-
phone nationalism. The Caisse de Depot manages funds collected by the Quebec Pension Plan (Quebec opted out of Canada's plan in 1965), now has assets approaching $50 criteria in its
billion,
and has since the
1970s often used "nationalistic"
investment decisions, often supporting Francophone entrepreneurs in
corporate merger and acquisition giants,
late
battles.'*^
Other Francophone-controlled financial
such as the Banque nationale du Canada and the
Mouvement
Quebec economy, and corporations such
major forces
in the
Lavalin, and
Canam-Manac have carved
Desjardins, are
as Bombardier,
SNC-
out international market niches as Quebec
private enterprise "success stories.'"^
The element
rising profile
in the
of a Francophone business class has been an important
new wave of Quebec
nationalism. Unlike the 1980 referendum,
Quebec
questions concerning the economic viability of an independent
undermined support for the
PQ
virtually all serious analysts that
option, there
is little
doubt today
in the
when
seriously
minds of
an independent Quebec, with or without economic
association with the rest of Canada,
would be economically
viable.
There are serious
disagreements over the economic costs of separation, ranging from projections of
minor
"transition costs" to
major long-term increases
precipitous drop in Quebecers' standard of gestion, as there
was
in 1980, that the
living.'*'
in
But there
unemployment and a is
no longer any sug-
withdrawal of Anglophone capital in the event
of sovereignty would leave the Quebec economy
totally crippled.
The
rise
of promi-
330
Global Convulsions
nent Francophone enterprises, particularly
financial network,
puts
so-called "Brinks
its strong, autonomous Quebec a long way from infamous episodes such as the
Show"
during the 1970 provincial elections when, to discourage support for the PQ,
the Royal Trust
Company assembled
carrying securities from
Quebec
a convoy of nine Brinks trucks, allegedly
Montreal headquarters to Toronto,
its
voters about the consequences of a
capitalism has undercut what
was
PQ
victory.
The
to visibly frighten
rise
Anglophone establishment's
the
of Francophone
argument
staple
Quebec independence: that Anglophones were the effective managers of the Quebec economy and, therefore, to avoid a massive flight of capital from Quebec, against
Francophones should
talism
is
of nationalism and separatism.
resist the false allure
Another important
consequence of the
nationalist
rise
of Francophone capi-
when Francophone and Anglophone businessmen were opposition to the PQ project, there are now at least some
that unlike 1980,
virtually united in their influential
Francophone business
who view
elites
sovereignty as desirable for
Quebec's economic development. Symbolically, Jean Campeau and Michel Belanger,
two powerful Francophone businessmen, were sovereignty-oriented
the
co-chairs
of the Quebec's
commission. Although Belanger subsequently
blue ribbon
—
returned unequivocally to the federalist fold
in
1995 he accepted co-chairmanship
of the "Non" committee in the referendum on Quebec sovereignty
became a
member of the PQ government,
—Campeau
along with former head of the Canadian
Manufacturer's Association, Richard Le Hir. Claude Beland, president of the powerfill
financial institution
Quebec sovereignty
Mouvement
since
Desjardins, has been an outspoken advocate of
Meech. While some observers became carried away
during the post-Meech period and argued that Francophone businessmen would "lead" the demarche to sovereignty, the majority of the Quebec business
favor
some form of
remains one of the strongest
longer monolithically opposed to sovereignty, and with
now
interests
elite still
Quebec Conseil du Patronat opponents of sovereignty. However, with business no
federal relationship; indeed, the
squarely
on the pro-sovereignty
some powerful corporate a
side,
major obstacle
to
an
independent Quebec has been lessened. Certainly, during the post-Meech period.
Francophone businesses were active
marked
shift
from Quebec's
past,
participants in the nationalist mobilization, a
and the "market nationalist" orientation of the new
Quebec sovereignty movement bespeaks
Two
this
additional structural factors that
business influence.
made
the
Quebec environment
1980s conducive to nationalist resurgence need to be mentioned
symbolized by the strong support of Quebec
Agreement and links
NAFTA,
the globalization of
between Quebec and the
rest
elites for the
economic
life
in the late
briefly. First, as
Canada-U.S. Free Trade has attenuated economic
of Canada. To be sure, Canadian markets
still
Quebec these markets. But data on
represent the vast majority of Quebec's exports and imports, and a sovereign
would undoubtedly need
to maintain friendly access to
interprovincial trade flows
show
that
between 1974 and 1989 the proportion of
Quebec's manufacturing shipments destined for the
rest
of Canada declined from
Canada and the Challenge of the Quebec Independence Movement
33
37.3 percent to 24.8 percent; a similar decline occurred in trade flows between other
Canadian provinces and Quebec. Between 1989 and 1994,
two
aftermath of the
in the
Canada declined by over 15 and Canada rose by over 70 percent."^
trade agreements, aggregate interprovincial trade in
percent, while trade between the United States It is difficult
to avoid the conclusion that, as the
Quebec economy
Canadian federalism
to
dependent on Canadian markets, the
many economic
—
referendum
risks
loses
—
the
will
argument
potency.
its
As Richard Simeon
North American integration promotes Canadian
Thomas Courchene, and economic
as Simeon,
economic power from
government, then clearly the rapid globalization of
the 1980s helped resuscitate
life in
1980
in the
observes, "global and
disintegration.'"*' If,
others argue, globalization shifts
central-states to smaller units of
less
that sovereignty entails too
most powerful anti-independence weapon
much of
integrated
As Quebec becomes
diminish.
historical
more
Quebec's economic
into global markets and, in particular, the U.S. market, that
commitment
is
Quebec nationalism
at the
end of the
decade.
Mulroney Conservatives' attack on the Canadian
Finally, the
1984
state after
also unwittingly helped unleash centrifugal tendencies in the country. Put simply,
cutbacks in social programs and, in particular, slashes in transfer payments to provinces helped lessen the importance of the central government in the daily lives
of Quebecers (and other Canadians) and refocused citizens' attention on provincial
governments as the
their
Mulroney years
centrality
primary
states. "Fiscal decentralization"
of the federal government in Canadian
programs and
from Ottawa during
resulted in important expenditure shifts that de-emphasized the life:
federal spending
transfers to the provinces, as a percentage of
on
social
GDP, declined from
15.0
percent in 1984 to 13.5 percent in 1991. '^ According to Pierre Foumier, 30 percent of
Quebec government revenue had declined reliance
in
1980 derived from federal
on the federal government but also
early 1990s, with
G7. This
cally
Canada running a
"crisis
Simpson
association
fell
deficit, relative to
deeply out of balance by the
GDP, higher
notes, "federalists
who
in
Quebec
were reduced
to
histori-
against independence.
As
fought the 1980 referendum on sovereignty-
warned Quebecers about separating from a
later, federalists
than any country
of public finance" in Canada undermines what had
been one of the strongest arguments
Jeffrey
by 1992, the figure
its allegiance."*^
Despite significant cuts, the federal budget
in the
ftinds;
18 percent. This trend was bound to reduce not only Quebec's
to
fiscal
A decade
powerhouse.
warning that secession would require Quebec to
absorb roughly a quarter of Canada's staggering national debt."^ Furthermore, the anti-state rhetoric of the Mulroney government depreciated the value of the central government, an approach to political
only enhance nationalists' argument that Ottawa offered
economy
little
that could
of importance to
Quebecers. Each time the Mulroney government reduced the scope of national institutions
—
the
CBC
or Via Rail, for example
—
it
eliminated
some of
the glue
binding together Canada's regions. The Quebec nationalist rhetoric that "Canada
332
Global Convulsions
doesn't
work anymore," received ample support in the devaluing of the Canadian occurred during the Mulroney years. Thus, by attacking the state as well as
state that
"unloading" social programs on the provinces, Mulroney unwittingly undercut his
government's
ability to bridge
Canada's regional/linguistic cleavages.
In sum, the reemergence of independence sentiment in
Quebec was much more
than a post-Meech reaction, although the aberrantly high levels of support for
Meech did reflect the feelings of cultural rejection and many Francophone leaders. As we have seen, structural
sovereignty immediately after humiliation articulated by
changes the
Quebec and Canadian society, economy, and political institutions paved renewed nationalism whose full dimensions were undoubtedly
in
way
for a
obscured by the post-referendum fatigue and depression that gripped nationalist forces after 1980. fissures that
Meech Lake and
referendum confirmed
Canada in
1990-92 aftermath were to lay bare new
its
had been germinating during the their intensity.
eighties; the
The question now
1995 Quebec sovereignty is:
whither Quebec and
the 1990s?
The Future of Quebec Nationalism The
past five years have witnessed extraordinary swings in
Quebec public opinion
on "the national question." In the eyes of most observers, the independence
was thought
to
have been
however, by 1990 and 1991,
settled for at the
apex of the "Meech moment," there was
among Quebec Francophones
unanimity
analysts thought the separatists
would be
referendum; yet the secessionists
Quebec on
fell
issue
a generation after the 1980 referendum;
in favor
virtual
of political sovereignty. Most
dealt a decisive defeat in the October 1995
short
by a scant 50,000 votes of launching
the road to independence. Thus, any crystal-ball gazing
must be done
with appropriate caution and humility.
The October
30,
1995,
referendum profoundly and perhaps, irrevocably,
reshaped Canada and Quebec's political landscape. In 1980, just over 40 percent of
Quebec's voters and just under 50 percent of the province's Francophones voted
"Oui"
to a
"mandate
to negotiate" sovereignty-association with the rest of
In 1995, provincial voting
what contorted, pointed inexorably
to
an independent Quebec, 49.4 percent of the
province, including almost 60 percent of separatists
swept voting
districts
Quebec Francophones, voted "Oui." The
throughout the province, losing only on the Island
of Montreal, where Quebec's Anglophone and immigrant population in federalist
elsewhere
is
concentrated,
pockets near the Canadian capital of Ottawa, and in scattered
in the province.
The referendum
Canada.
on a stronger referendum question, which though some-
By any
result
reckoning,
it
was a stunning
districts
result.
provided vivid evidence, notwithstanding the ebb and
flow of support for independence during the 1990's,
"snapped" for Quebec Francophones
that
in their allegiance to
something fundamentally
Canadian federalism
after
I
Canada and
the
Meech Lake
Quebec Independence Movement
the Challenge of the
debacle.
The
campaign
separatist
trailed
333
badly in the polls through
early October. Oriented mainly around the rather technocratic vision of indepen-
dence articulated by then-PQ
when Lucien Bouchard Mulroney government
Jacques Parizeau, there seemed to be
leader,
passion behind the "Oui" forces or
belief that they could triumph.
little
from —Quebec's "hero" of Meech, who of Quebec during over of took over "Oui" — resigned
the "humiliation"
in protest
stages of Meech's collapse
the
the final
leadership
effectively
little
However,
the
forces,
was an immediate surge in support for the "Oui," almost carrying them to victory on October 30. Having served since 1993 in Ottawa as the head of the Bloc Quebecois, a Quebec separatist party sitting in the federal Parliament, Bouchard took there
over as head of the
PQ and Quebec premier in January,
resigned following the referendum's defeat.
As
the living
"humiliation," the extraordinarily popular Bouchard
is
able to articulate cultural themes that resonate with
when Jaques Parizeau incarnation of the Meech
1996,
the kind of charismatic leader
Quebec Francophones.
In the
aftermath of the 1995 referendum, few are betting against Bouchard's ability to inspire
Quebec Francophones
to take the final step out
of Canada into a sovereign
Quebec.
The referendum and Quebec's
also provided evidence that the structural changes in Canada's
economy, noted
political
arithmetic of independence in the eyes of
majority of Quebec's business the
"Non" during
in the
elite,
the campaign.
have altered the
earlier in this chapter,
Quebec Francophones. To be
sure, the vast
both Francophone and Anglophone, sided with
"Non"
leaders relentlessly argued that voting "Oui"
referendum would promote economic catastrophe: Federal Finance Minister
Paul Martin even hyperbolically maintained separation would cost Quebec a million jobs, around a third of
employment
its
Francophone
base.
voters, nonetheless,
appeared to shrug off these economic arguments, convinced of the economic viability
of an independent Quebec and apparently willing, in the
affirmation, to absorb
programs and federal
some
institutions,
argument
that
cultural
in social
continued under the federal Liberal government
which replaced the discredited Conservatives sovereignists'
name of
Moreover, the cutbacks
"transition costs."
in
1993,
Ottawa increasingly offered
further little
enhanced the
of importance to
Quebecers. Paul Martin's austerity budget, which entailed major cuts in national insfitutions
such as the
CBC, and Lloyd Axworthy's
ployment insurance reform program, ment, and,
it
would appear,
all
social policy
and unem-
reduced the scope of the national govern-
also helped reduce Quebecers' fears that they
would be
losing substantial benefits fi^om Ottawa by separating from Canada. In the aftermath of the referendum, linguistic tensions rose perceptibly in
Quebec and
the rest of Canada. In Quebec, relations between the Francophone
majority and English-speaking and immigrant minorities were severely strained by
an ugly referendum night speech by then-PQ leader Jacques Parizeau, attributed the separatists' defeat to
dealt a serious
blow
to the
ongoing
"money and efforts
of the
in
which he
the ethnic vote." Parizeau's
PQ
words
to build a "civic nationalism" in
334
Global Convulsions
Quebec, more inclusive than simply French Quebecois "ethnic nationalism." In
movement emerged
addition, for the first time, a serious
community
in
within the
Anglophone
support of the "partition" of Quebec in the eventuality of secession,
carving out areas of Montreal, the Ottawa Valley, and perhaps the Eastern Townships as territory staying within Canada. "If partitionists' rallying cry."^'
phones] are a
little
PQ
is
divisible, so is
on the West Island
Many Anglophone
Quebec," became the
leaders rejected the notion out of hand: "[Anglo-
panic stricken and are looking
creation of an Ulster
Brassard."
Canada
in all directions,
[of Montreal]," said
PQ
including the
minister Jacques
opinion leaders cautioned against
this serious
and
potentially dangerous escalation in rhetoric. "Partition Montreal?," wrote former
Norman Webster
editor
in the
Montreal Gazette. "Remember Belfast, and then
let
the idea go.""
However, the
partition idea continues to gain steam, particularly as federal
Prime Minister Jean Chretien and several of leaders that they regard
ment added the Crees,
Canadian
to the partition scenario
Mohawks and
by raising the
warn Quebec's
Quebec could
—^became
the divisions
also be declared
event of Quebec secession. In short, as the explosive
territorial rights
entered into political discourse, the spectre
of Northern Ireland or Yugoslavia-type violence in Quebec fetched
separatist
possibility that lands belonging to
other native peoples in
territory in the
questions of borders and
his ministers
as a realistic possibility. Moreover, the Chretien govern-
it
—once viewed
as far-
scenarios about which serious analysts began to worry. Whatever
among Anglophones about
the
wisdom of
partition, there
was no
gainsaying the malaise and anxiety that swept over the community in the aftermath
of the October 1995 "close call" referendum.
By The
early 1996,
it
was abundandy
irreconcilable visions of
the rest of Canada, brought to a head during the
during the 1990s,
left
Canada Quebec
in 1995.
there
the Chretien
There
Canada had reached a
clear that
Canadian nationhood held by Quebec
Meech Lake
crisis
Quebec within an eyelash of having voted will
Newly
crossroads.
nationalists
and
and unresolved to secede
from
be a short period of breathing space for Canada on "the
Quebec Premier Lucien Bouchard has promised to take care of "the nightmare of our public finances," before even considering when to hold the next referendum on sovereignty (Quebec's huge budget deficit and fragile economy will occupy his energies in the near term).^ At the federal level, is
question."
installed
government accommodationist "Plan A,"
to offer constitutional
reforms to satisfy Quebec's traditional demands for autonomy and recognition; and its
hard-ball "Plan B," to challenge the legality of secession and to raise the spectre
of partition as a
realistic scenario if
Quebec were
remains to be seen whether either strategy can that accelerated in
Quebec
to opt out of the confederation.
halt the
It
impetus toward independence
in 1995.
Although the movement for Quebec independence has an undeniable momen-
tum
—
a certain aura of inevitability
uncertainties surrounding
—following
the 1995 referendum, the
list
of
Quebec sovereignty remains imposing. Would a sovereign
Canada and
Quebec be able
the Challenge of the
Quebec Independence Movement
335
economic "association" with Canada,
to negotiate a satisfactory
especially in view of the hardening attitudes toward
Quebec
in
English-speaking
Canada? Could Quebec gain easy access to NAFTA, a centerpiece in the separatists' arguments about the economic viability of an independent Quebec? Would the rest of Canada, as well as minorities within Quebec, accept the borders of the province of as legitimate for an independent
Quebec
Quebec?
How
would the current
impact were various minorities
Canada? Would
in
Quebec
to insist that they
federal
What would be
debt be divided between a sovereign Quebec and Canada?
the
wish to remain a part of
there be a massive exodus of English-speakers
and head-officers of
Canadian corporations from Montreal, wreaking serious havoc with the
city's
damaged economy? The reality, of course, is that it is impossible to predict precise aftermath of a Quebec vote in favor of sovereignty. In the past, these uncertainties seemed to place a ceiling on the support for
already the
independence
in
Quebec. As noted
Francophone public opinion
earlier,
historically
the "soft nationalist"
to separatism, in light of the difficult questions that
the
component of
appeared unwilling to take the radical leap
have just been posed. However,
1995 referendum changed everything: almost 60 percent of Francophones
Much can happen may come up with a
decided to take the leap into the unknown and support separation.
between now and the next referendum. constitutional formula that satisfies
Political leaders
Quebec
nationalists
and
is
of Canada, an unlikely possibility. Soft nationalists in Quebec separation, fearing
acceptable to the rest
may
economic catastrophe or violence. Indeed, by
shy away from
surveys showed support for Quebec independence dropping precipitously
Francophone voters who thought violence was a Dissatisfaction
odds have now shifted twists
and turns
sovereignty.^^
PQ government as it attempts to restore Quebec's so doing undercut support for the PQ sovereignty option. The
may grow
public finances, and in
outcome of
realistic
some among
early 1996,
with the
in favor
until "the
of separatism, but there are
Quebec question"
is
still
likely to
be many
resolved.
Notes
Kenneth McRoberts, Quebec: Social Change and
1.
McClelland and Stewart, 1993), 2.
Dominique
Clift,
p.
Political Crisis (Toronto:
440.
Quebec Nationalism
in Crisis (Montreal:
McGill-Queen's
University Press, 1982), p. 126. 3.
William Coleman, The Independence Movement
in
Quebec, 1945-1980
(Toronto: University of Toronto Press, 1984). 4.
Maurice Pinard, "The Dramatic Reemergence of the Quebec Independence
Movement," Journal of International Affairs 45.2 (Winter and others have pointed
out,
how one
poses
this basic
1992): 480, 483.
As
Pinard
question affects the answer. For
example, polls consistently show higher support for "sovereignty," or "sovereignty-
.
.
336
Global Convulsions
association," than for "independence" or, lowest of tions
make
See, for example, McRoberts, op.
5.
Pelletier,
all,
"separation." These varia-
the potential wording of a referendum question
"La Revolution
tranquille," in
Quebec En Jeu: Comprendre
les
note
cit.
1,
the
all
more
crucial.
pp. 128-208; and Rejean
Guy
Gerard Daigle and
Rocher, eds., Le
grands defis (Montreal: Les Presses de I'Universite
de Montreal, 1992), pp. 609-24. 6.
Louis Balthazar,
Rocher, op.
cit.
note
"U evolution du
nationalisme quebecois," in Daigle and
5,
p. 648. 7.
Stephane Dion, "Explaining Quebec Nationalism,"
The Collapse of Canada? (Washington, DC: The Brookings 8. See Balthazar, op. cit. note 6, p. 651. 9.
Vera Murray, Le Parti quebecois: de
HMH, 1976). Marc V Levine, The
la
in R.
Kent Weaver,
ed.,
Institution, 1992), p. 78.
fondation a la prise du pouvoir
(Montreal: Hurtubise 10.
Social
See
Change
in
a Bilingual City
Reconquest of Montreal: Language Policy and
(Philadelphia:
Temple University
Press, 1990), p.
98. 11. Pinard, op. cit.
12.
note 4, p. 480.
Reprinted in Jacques Henripin, "Quebec and the Demographic
French Canadian Society," Views from 13.
ed.,
Dilemma of
Quebec Society and
Politics:
For a history of these various episodes, including detailed analyses of
On
legislation since the 1960s, see Levine, op.
the strategy of etapisme, see Murray, op.
the brief discussion
comme
Dale C. Thomson,
the Inside (Toronto: McClelland and Stewart, 1973), p. 162.
Quebec's language 14.
in
cit.
by the pere of etapisme, Claude Morin,
elles etaient:
Une autobiographic
cit.
note 10.
note 9, pp. 177-200; and in his
book Les chases
politique (Montreal: Editions Boreal,
1994), pp. 311-24. 15.
Gouvemement du Quebec, La
(Quebec: Editeur 16.
Under
officiel, 1977), p.
See William Coleman, "From
the Parti Quebecois,"
politique quebecoise de la langue frangaise
34 (author's Bill
22
translation).
to Bill 101:
The Pohtics of Language
Canadian Journal of Political Science
14.3 (September
1981): 463. 17. Balthazar, op. cit. note 6, pp.
18. Polls
653-56.
have shown for example,
that a sovereign
Quebec would
Commons. 19. Graham
Eraser,
still
that
almost one-quarter of Quebecers believe
send representatives to the Canadian House of
PQ: Rene Levesque and
the Parti Quebecois in
Power
(Toronto: Macmillan of Canada, 1985), pp. 242-372. 20. McRoberts, op. cit. note 1, p. 341
2 1 For an analysis of the content of the Meech Lake Accord, see Jeremy Webber, Reimagining Canada: Language, Culture, Community, and the Canadian Constitution (Montreal: McGill-Queen's University Press, 1994), pp. 125-56.
Canada and
the Challenge of the
22. See Patrick
J.
Quebec Independence Movement
7)1)1
Monahan, Meech Lake: The Inside Story (Toronto: University
of Toronto Press, 1991).
McGill-Queen's Uni-
23. Charles Taylor, Reconciling the Solitudes (Montreal: versity Press, 1993), pp. 170, 195.
The quotations
24. Philip Resnick, Letters to
are spliced together but in context.
a Quebecois Friend (Montreal: McGill-Queen's
University Press, 1990), p. 57. 25. Levine, op.
note 10, pp. 131-38.
cit.
on consociational democracy,
26. See, for example, the entire literature
Arend
Lijphart,
Democracy
in Plural Societies
(New Haven:
as in
Yale University Press,
1977). 27. Taylor, op.
cit.
note 23, p. 195.
28. Typically, support for "sovereignty-association," the
PQ
option, has been
approximately 10 points greater than for "independence" in surveys. 29. Taylor, op. 30. Indeed,
cit.
note 23, p. 170.
one writer entided
Make
Robert Bourassa Will
his short
Comment Robert Bourassa fera I'independance detailed account of the
—How
book on Meech, "The Accord
Independence." See Georges Mathews, L'accord (Montreal:
Le Jour,
post-Meech period, with particularly
1990).
—
The most
treatment of
critical
Le Tricheur: Robert Bourassa et les Quebecois, 1 990-1 991 Bourassa, is (Montreal: Editions Boreal, 1994), and Lisee, Le Naufrageur: Robert Bourassa et les Quebecois, 1991-1992 (Montreal: Boreal, 1994). Lisee,
31.
See
Guy
Laforest,
De
la
prudence: Textes politiques (Montreal: Editions
Boreal, 1994), pp. 119-56. 32. Pinard, op. 33. Levine, op.
cit. cit.
note 4, p. 489.
dans
les
"Au
dela des lois
et le caractere linguistique
de Montreal
note 10, pp. 138-227; and
linguistiques: la politique
gouvemementale
annees 1990," in Levine et
al.;
Marc
V. Levine,
Contextes de la politique linguistique
quebecoise (Quebec: Editeur officiel, 1993), pp. 3-40. 34.
See, for example, Mireille Baillargeon and Claire Benjamin,
teristiques linguistiques
de
la
(Quebec: Ministere des Communautes culturelles 35. See,
among
others, Francois
Institut
un espaces commun:
quebecois de recherche sur
36. Daniel Latouche,
Le
et
de I'lmmigration, 1990).
Rocher and Guy Rocher, "La culture que-
becoise en devenir: les defis du pluralisme," in eds., Construire
Carac-
population immigree recensee au Quebec en 1986
Femand
la culture, 1991), pp.
bazjar:
Ouellet and Michel Page,
pluriethnicite, education et societe
(Quebec:
43-77.
des anciens Canadiens aux nouveaux Quebecois
(Montreal: Editions Boreal, 1990), p. 123. 37. Jacques Henripin, Naitre
recherche sur 38. See,
ou ne pas
etre
(Quebec:
among
others.
Marc Termotte, "Ce
quebecois de
qui pourrait etre une politique de
migration," L'Action nationale 1S.2 (February 1988): 308-22. 39.
Institut
la culture, 1989).
Rocher and Rocher, op.
cit.
note 35, p. 52.
338
Global Convulsions
40. Levine, op.
note 10, pp. 120-24.
cit.
41. Ibid., p. 174.
Le contrdle de
42. Francois Vaillancourt and Josee Carpentier,
Quebec:
la
l'
economic du
place des francophones en 1987 et son evolution depuis 1961 (Montreal:
Office de la langue fran^aise, 1989).
On
43.
the history of the Caisse de Depot, see
Mario
Pelletier,
La Machine a
milliards (Montreal: Quebec/Amerique, 1989).
44. See Yves Belanger and Pierre Foumier, L'entreprise quebecoise: develop-
pement historique
et
dynamique contemporaine (Montreal: Hurtubise
45. See, for example, Patrick Grady, The
Sovereignty (Vancouver:
The Fraser
HMH,
1987).
Economic Consequences of Quebec
Institute, 1991);
and John McCallum and Chris
Green, Parting as Friends: The Economic Consequences for Quebec (Toronto: C. D.
Howe Institute,
1991).
Thomas Courchene,
46.
Howe Institute,
In Praise of
Renewed Federalism
(Toronto: C. D.
1991), pp. 20-21.
47. Richard Simeon, "Globalization and the Canadian Nation-State," in G.
Bruce
Doem
in the
1990s (Toronto: C. D.
and Bryne B. Purchase,
48. See Courchene, op.
Canada
eds.,
Canada
Howe Institute, cit.
at Risk?
Canadian Public Policy
1991), p. 51.
note 46
(all),
and Mel Hurtig, The Betrayal of
(Toronto: Stoddart Publishing, 1991), pp. 330-31.
49. Pierre Foumier,
A Meech Lake
Post-Mortem:
Is
Quebec Sovereignty
Inevit-
able (Montreal: McGill-Queen's University Press, 1991), p. 115. 50. Jeffrey Simpson, Faultlines: Struggling for
Harper Collins, 1993),
p.
a Canadian Vision (Toronto:
295.
51. Paul Wells, "Chretien, Ministers see Logic of Partitioning," Montreal
Gazette, January 30, 1996, p. Al. 52. Presse canadienne, "L'integrite
Devoir (Montreal), January 23, 1996, 53.
Norman
p.
du
territiore fait
Webster, "Partition Montreal?
idea go," Montreal Gazette, December 54. Philip Authier,
consensus a Quebec," Le
A-2.
Remember
Belfast,
and then
let
the
16, 1995.
"Quebec Finances a Nightmare," Montreal Gazette, February
26, 1996. 55. Paul Wells, "Potential for Violence
Montreal Gazette, February 25, 1996.
Making Yes Votes Think Again: Survey,"
Epilogue WINSTON A. VAN HORNE
The the
of
text
there
book was submitted
this
to the publisher in
have been many events around the globe
fall
of 1995 the
IRA resumed
1996 there were signs
Canadian
state
that the
—
—and
then,
to this volume. In
struggle against Britain, though early in
scant 50,000 votes after the referendum in Quebec;
poet, playwright,
autonomy
armed
August of 1995. Since
most germane
peace process was not dead; the integrity of the
was preserved by a
Ken Saro-Wiwa for greater
its
that are
and a leader of the Ogoni people
in their struggle
were executed by the Nigerian military
eight others
regime, despite intemational censure and pleas for clemency by world leaders including the pope; and a peace agreement was signed in Paris by the presidents of Bosnia
and Herzegovina, Croatia, and Serbia. In early 1996, China mounted considerable pressure on Taiwan in the run-up to the Taiwanese presidential election on
by holding high-powered war games close
Dzhokhar M. Dudayev,
showed no
the leader of the
was
signs of abating; there
to
Chechen
talk
of
separatists, but the
civil
war
30,
war
in
Chechnya
Russia should Gennadi A.
in
Zyuganov, the Communist party's candidate, win the presidency
in the election
Aum Shinrikyo religious leader Shoko Asahara went on trial for
scheduled for June 16;
his role in the sarin gas attack J.
March
Taiwan; the Russians succeeded in killing
Simpson was acquitted
on the Tokyo subway system; and former
for the murders of his ex-wife Nicole
football star O.
Simpson and her
friend
Ronald Lyle Goldman, a decision which spotlighted ever so intensely the jagged edges of the deep
racial fault lines in the
mentioned should be elaborated present one,
I
have elected
United in
to focus
States.
some
on a
set
relevant to the chapters by Galia Golan and
On November 4, Amir, an
Israeli, less
detail,
Each and
all
of the developments just
but in a short epilogue such as the
of events that was not called out but
is
most
Muhammad Hallaj.
1995, Prime Minister Yitzak Rabin
than two months after
was assassinated by Yigal
Shimon Peres and Yasir Arafat
initialed
339
340
Global Convulsions
September
the accord of
Bank
24. 1995, which, returned significant portions of the
to the Palestinians.
doing today
the word. ...
I
really feel the
is histor>' in
it
Lord has offered us a
more promising, more
I
noble,
more humane."' The
something
into
of purpose and humane-
nobilit>'
who was
ness of deed that Peres expressed were ob\iousl\ not shared b\ Amir,
outraged b\
hat he perceived to be the Rabin's
\\
peace process with the Palestinians.
interests in the
government betrayal of (I
find
are
the real
opportunity to
real
change the course of hopelessness and desperation and bloodshed
West
we
Peres said: "'[W^hat
initialing.
not a normal political or economic enterprise:
is
meaning of
At the time oi the
it
Israeli
distressingly ironic that
way for him to be murdered by a man who v,as when Rabin enjo>ed his greatest triumph on the battlefield, Six-Da> War of 1967.)
Rabin's militan. genius paved the not e\ en
bom
at
the time
to wit, the victor) in the
Amir's disaffection with the peace process was mirrored on the opposite end of and
the di\ ide in culture
bombings
series of suicide
killed
fear
economy by Hamas, which
political
1995. through
in Israel fi-om July 24.
March
1996. that
4.
dozens of persons and injured scores more. These bombings occasioned both
and rage among
the Israeli populace,
war
to declare "*'a
bomber
in
Jerusalem on March
3.
''struck just before
4 p.m. outside the Dizengofif
Center, the biggest shopping mall in Tel Aviv."- Peres said: "I ha\e been asked
we
act[?]
\\ill
the law[?]
.
.
.
.
.
.
My
There
answer is
we
one law
personal securit> of the state of It is
everywhere. ...
is
I
have been asked
will not break.
That
is
securit\'
Israel. It is legal for a nation to
and national
existence of the state of Israel
security,
itself. It is
if
we
will
where break
the law of national and
defend
interesting to note here that Peres cast the series of suicide
terms of personal
1996,
of the word' against Hamas."- .And when, on the
in even.- sense
next day, a suicide
and impelled Prime Minister Shimon
bombing
Peres. Rabin's successor, after the suicide
ver>-
undervvTOte in blood a
its
existence.'**
bombings not just
in
but also in terms of the ver>'
doubtful that the
bombs which
and scattered the bodies of so many endangered the existence of
Israel,
shattered
but in por-
as threats to the integrit\' and very existence of the state Peres gave
traying
them
himself
much room
to
maneuver
strike he did. not onl\ against
in striking out against the
Hamas, but
enemies of the
state.
also against Hezbollah and other
And
enemies
of Israel.
He
destroyed
Palestinians,
week low
homes of
relati\es of the
and closed off access
intensity
bombers, restricted the movement of them.
to jobs in Israel for
war against Hezbollah
He
also fought a two-
operating out of bases in
guerrillas
southern Lebanon, fi-om where they launched Katyusha rockets and mortar rounds
on northern
Israel.
This fighting was marked by an
United Nations peace-keeping camp,
Lebanese
civilians
resulting
Israeli artiller>'
barrage that hit a
deaths
of sevenr>-five
in
the
and the wounding of more than one hundred.
attack on the base was a gra\e
error.
It
"Israel said the
[nonetheless] prompted woridwide outrage
and a rapid intensification of diplomatic effons
to bring a halt to the conflict.'*^
formula was found, brokered by U.S. Secretar\' of State Warren Christopher,
A
to bring
341
Epilogue
an end to the killing of civilians on both sides of the Israeli-Lebanese border, even
though
did not proscribe continued fighting between the combatants.
it
Given the
Amir, the suicide bombings of Hamas, the Katyusha
bullets of
rockets and mortar rounds of Hezbollah, and Peres' low intensity warfare,
expected the peace process to stop dead trievably.
But
this did not
happen.
perhaps undermined
in its tracks;
On April
many irre-
24, 1996, in Gaza, the Palestine National
Council (PNC) by 504 to 54, with 14 abstentions and 97 absent, "voted ... to revoke those clauses in
its
32-year-old charter that called for an armed struggle to destroy
the Jewish state [Israel]. sisted of
two simple
.
.
Formally, the resolution adopted by the council con-
.
The
clauses.
first
declared that the council 'decides to
amend
the
Palestine National Covenant by canceling clauses which contradict the letters
exchanged between the
PLO and the Israeli Government.' The second ordered a new
charter to be drafted within six months."^
In an age conspicuous for
all sorts
of drivel concerning the putative end of
history and a vapidity in the use of the term historic, the action of the Palestine
National Council was truly historic. The
New
York Times observed that "[t]hough
time and the Israeli-Palestinian agreements have rendered the charter largely obsolete,
the formal revocation of the hostile clauses carried great symbolic importance
for Israelis."^ In
symbol there
is
substance, and the substance of symbol
is
no
less
important than the symbol of substance. Peres was acutely attuned to the relation of
symbol and substance when he observed
PNC] may be
the
that "[i]deologically,
most important change
it
[the action of the
hundred years [of Jewish-
in the last
Palestinian relations]."*
The vote by the PNC, which was well amend the charter, could, symbolically and insofar as Israelis
it
opened a path
in excess
of the two-thirds needed to
substantively, turn a
page
in history
to the construction of strong instiuitional bridges
and Palestinians. For the more
the-
two peoples
between
act to confute rather than
corroborate the dire warnings of Neguib Azoury and Arthur Ruppin that opened
Golan's chapter, the more compromises they find
it
make without
possible to
abridging cultural norms upon which their respective national identities for example, " [i]n response [to the
PNC's
ahead with the withdrawal from Hebron, the
action] Mr. Peres last
West Bank
rest.
was expected
city
from which
Thus, to
go
Israel
agreed ... to [withdraw in the accord of September 1995]. The withdrawal was
suspended
after the suicide
bombing
were renewed
attacks [that
in
February of 1996.
Moreover,] Mr. Peres' Labor party [was] expected to revoke from formal opposition to the formation of a Palestinian both sides clear[ed] the
way
'final settlement' talks [in
for the start of the
which] the most
.
.
state."^ .
final
its
platform
its
Indeed, "[t]he actions of
phase of negotiations, the
difficult issues,
such as the status of
Jerusalem, the future of Israeli settlements in Palestinian lands, and water resources
[would be addressed]."'"
And
process was not destroyed.
so, in spite
of the severe
hits that
it
took, the peace
Though Rabin had been murdered most
foul
by being
shot in the back, the integrity of the 1993 handshake between himself and Arafat
still
342
Global Convulsions
beamed above dirty
on the occasion of the signing of the
In 1993, said:
the blood-drenched handiwork of those for
whom
compromise
is
a
word, and the work of traitors to the cause.
"We have come
and put an end
to try
Israeli-Palestinian accord,
Rabin
our children,
to the hostilities so that
[and] our children's children, will no longer experience the painful cost of war:
violence and painful
We
terror.
have come
—
memories of the past
and to ease the soul and the
to secure their lives
hope and pray for peace. Let
to
me
say to you, the
we are destined to live together on the same soil in the same land. We, the soldiers who have returned from battles stained with blood; we who have seen our relatives and friends killed before our eyes; ... we say to you today, in a loud Palestinians,
and clear voice: enough blood and chance
—and saying
tears.
Enough.
you and saying again
to
.
.
.
We
are today giving peace a
How
enough.""
to you:
well were
Abu Rabbo, 39, a member of the new member of the PNC, who observed after the vote to
Rabin's sentiments echoed by "Mufid Palestinian legislature [and a
amend
the charter:]
old style,
it's
'It's
a dream for us to be here and say 'enough
new
time to face a
is
enough of the
era.'"^^
The potency of Golan's concept of fed-up-ness
is
ever so evident in the obser-
It is a commonplace for one power of emotion should never be underestimated. As ever the more and Israelis say "enough is enough," increasingly the unthinkable
vations of Rabin and Rabbo, anecdotal though they be. to hear that the
Palestinians
becomes
and the impossible does become possible,
thinkable,
borrow
to
Hallaj's
language. Put differently, the emotive force of fed-up-ness conjoined with the rational force of carefully
drawn
and technical compromises do hold out the
legal
prospect of Israel living in peace and security alongside a Palestinian ness, then, the carnage of suicide
bombers and
state.
could well be a crucial contributory factor to the creation of a Palestinian the
consummation of the two-state Could a
reinforced
by
true
solution envisaged by Hallaj and the
peace between the
sound
generational memories, pave the
Israelis
and the Palestinians,
arrangements and nurtured
institutional
way
for the
Ake call? Many
gave a doctoral examination for
so
in
many century-dominant
economists but no
years ago
which
I
Jean Jacques Rousseau, G.
W
F.
physicists,
spanned
and transcended
is
that
is,
a peace
by good
Muhammad
trans-
Hallaj, Martin
taught graduate students,
mathematicians, as a
I
once
the twentieth century noted
philosophers,
and
Thomas Hobbes, John Locke,
it.
was animated by a
Regarding
larger vision,
race, ethnicity,
sorely in need of an individual, or perhaps
who matches
and
Hegel, John Stuart Mill, Friedrich Engels or Karl
political philosophers
his century
I
why was
—such
Marx? Each of these the globe
when
asked
political philosophers
state,
PNC.
emergence of that "larger vision" which
bridges the "us/them" "we/they" divide, for which
Marty, and Claude
Fed-up-
costly reprisals notwithstanding,
who
that
and nationalism,
more than one
the stature of the ones just mentioned, and
one
is
individual,
able to design
concepts, ideas, hypotheses, and theories which have the sort of normative and empirical
grounding
that
impel
people,
regardless
of their particular cultural
343
Epilogue
mooring, to behave
What
scriptions.
in
ways
that are consistent with given prescriptions
what has
blush, appear to be inconsistent with
first
believe that there
and norms pertaining to honor,
and well-being. Cultural distinctiveness of
sorts
production and
statism and
is
is
do not
I
amenable
to
fairness, decency, integrity,
not incompatible with transcultural
beliefs, attitudes,
corollary
its
and behaviors fostered by rapacious
inequities;
bankrupt socialist/communist
attendant miseries; stultifying theocratic
its
Yet
said.
and behaviors.
However, the capitalist
been
just
an inconsistency insofar as cultural relativism
is
transcultural constructs
beliefs, attitudes,
and pro-
said in the Introduction concerning cultural relativism would, at
I
dogmas and
panying conformities; and vulgar racial/ethnic indoctrination and
accom-
their
its
concomitant
arrogance, hardly afford the sorts of constructs and norms whereby a larger transcultural vision that
does not dissolve "us" into "them" nor "them" into "us," but
recognizes and values equally the integrity of "them" and "us" separately, within a
"we
shared framework of
and
Israel realize the
may come
larger vision
together," could guide
human
conduct. Should Palestine
hope of Rabin, Arafat, and Peres, perhaps, to pass, with benefits that
redound
just perhaps, such a
globally.
Of course,
the
very obverse could happen, and then the warning of Brian Porter concerning nationalism and the ethnie looms ever so large. In bringing this epilogue to a close,
value of this volume
made
lies in its
plain that the state
is
it
may be
well to observe that the enduring
global reach and the patterns that
no salvation
in relation to national
it
calls out. It
—
exclusivism, and/or racial paranoia. Indeed the state
consummative has
much
force, if
And
or the desire for
not the efficient cause, of these phenomena.
potential to transcend hard divisions
nationalism.
of
so, in the chapters
this
wrought by
which Ake
et
al.,
—
it
Still,
is
often a
the state
race, ethnicity,
and
book one discerns both the destructive
force of "us/them," as well as the boundless possibilities of larger vision for
has
chauvinism, ethnic
hope become a reality
"we
together."
May
that
in the twenty-first century.
Postscript Israeli Elections
The
assassination of Yitzhak Rabin
peace
rally attended
starkly the crosscurrents of
Rabin
—
process] as a
New
hope and
and
spirit
'traitor,'
York Times,
classic warrior,
its
hero, an archetypal
ardent foes [of the peace
6,
Arab head
1995, p. A6).
perhaps more than the three bullets lodged said, "hurts, but
a
exposed
fear in Israeli society over the peace process.
Israeli),
or pictured with an
November
4, 1995, after
in Tel Aviv,
a a war —"was frequendy denounced by
a sabra (native-bom
Israeli in flesh
on the evening of November
by over one hundred thousand persons
not so bad" {The
New
scarf or a Nazi swastika" {The
How
in his
this
must have pained him,
body which,
York Times,
November
as he lay dying, 7,
1995, p. A.
9).
he
344
Global Convulsions
new prime
In the aftermath of the assassination, the
and the Labor
were
party,
to enjoy a 16-point lead
minister,
Shimon
Peres,
over Benjamin Netanyahu and the
Likud, which many, including Leah Rabin, the wife of the slain prime minister,
accused of fomenting the social
were scheduled for
May
from which Rabin
vitriol
29, 1996, and, prior to the
between February 25 and March
conventional
4, the
wisdom was
Labor party would be victorious over Netanyahu and suicide
bombing
Hezbollah did all
the ballots
to help him. Eventually the contest
New
York Times of June
much
counting absentee ballots through finally declared
Israel's Parliament,
television
both
each
war with
intensity
a dead heat, and after
1996, reported the following: "After
1,
from two
seats than the
Israeli Election
Commission
would
Al). Interestingly, though the to 32) in the
and other
and the Likud eight
to ten seats
(p.
Likud (34
lost seats to religious
lost ten seats
left to
and the
after
[Benjamin] Netanyahu the winner over Prime Minister Shimon
Labor party won two more
from
became
of the day, the
Peres by 29,457 votes, 1,501,023 to 1,471,566"
parties with
low
But
had been counted two days following the election Netanyahu had
defeated Peres. The
Labor party
that Peres
the Likud.
Peres' lead shrank in the polls, and his
little
National elections
fell.
of four suicide bombings
first
120 seat Knesset,
The
special-interest parties.
seats. In the
new
Parliament, nine
constitute a near majority, though they split
center to right along the political spectrum. This outcome led one
commentator
in the
United States to observe that "Israel
is
returning to her
comment that made Martin Marty's chapter flood my mind. Just as Yitzhak Rabin had become the first Israeli prime minister
tribes," a
became
Palestine, so too Netanyahu, a sabra,
bom
after the state
of Israel was created.
an architect for peace,
many of those
the
And just
as
to
be
bom
prime minister
first Israeli
to
in
be
Rabin the warrior had become
of the peace process began to wonder
in favor
—given
aloud whether Netanyahu would also become a consummator of peace
the
hard line against concessions to the Arabs that he had taken during the campaign,
and for which he was well-known. Recognizing the sharp and
bitter divisions in the
populace, and mindful of the United States' and international interest in the
Israeli
peace process, Netanyahu said the following the election: "In the last
few
in his first
major public address
years, the division of Israeli society has widened,
...
the tensions have increased between various parts of society.
I
my
see
after
and first
mission as Prime Minister to reunite the people, to reduce the tensions and to strengthen the unity of the people. start at
home. ...
of Israel ... Israel. ...
I
I
I
call
stretch out
want
to say to
you
.
.
.
that the
peace must
citizens of Israel, the non-Jewish citizens of the state
plan to be the Prime Minister of everyone without any exception.
And we plan
neighbors
I
see you as part and equal in everything that goes on in the state of
"I [have] said that Israel.
on the
And
in
to
peace begins
at
home, but we must continue
it
outside of
advance the peace and the negotiating process with
all
of our
order to get a stable peace, a real peace, peace with security. ...
my
hand
in
Palestinian neighbors.
I
peace to call
all
on you
the
Arab
to join us
leaders and
on the road
all
I
of our neighbors, our
to real
peace with security.
345
Epilogue
Let us go in a
way of
government we that
will
security for everyone, for
form
.
.
all
the nations of the region.
The
with God's help, will strengthen the peaceful relations
.
have already been established with the Jordanian kingdom and with Egypt, and
will continue negotiations with the Palestinians,
negotiations with other Arab states. "I see
[will] try to
states to join the
advance the
peace process.
our friend, the United States, as part of the peace process. The relations
between the United States and
Israel are strong as a rock,
continue in the coming four years
Author's
and we also
on those
I call
.
Netanyahu
Clearly,
italics).
.
and knew well the costs of what a
(The
."
set
New
and
I
am
sure that they will
York Times, June
a conciliatory tone.
political analyst for the
He saw
1996, p. A6.
3, all
around him
newspaper Maariv, Chemi
Shale V, captured ever so poignantly and ominously: "Half of the public in Israel
now
going around with a feeling that redemption
believes that
trapped in a hell on earth.
it is
York Times, June nation's soul
.
.
Some rejoice;
to
is
[half]
weep" (The
New
in the healing
Netanyahu's victory "was
who
believe that
God's plan," and there are other's such as Nabil
all
of the
Benjamin Netanyahu and the
government. For there are those like Yossi Leibowitz
Israeli
believe that "[w]hoever won, the next Prime Minister
but to
others
be healed. The role of the peace process
nation's soul will thus test the mettle of Prime Minister
who
hand, and the other
1996, p. A4). Moreover, he was cognizant that lacerations of the
1,
had
.
is at
would have
little
Osman choice
continue the Middle East peace process, because any deviation from the peace
process would create a big reaction against Israel in [the Middle East]"
(ibid., p.
A5).
Russian Elections In a field of ten candidates, Russian president Boris N. Yel'tsin defeated Gennadi A.
Zyuganov (35.28 percent to 32.03 percent) in the first round of elections on June in the runoff of July 3, Zyuganov lost to Yel'tsin 40.31 percent to 53.82 percent.
16;
Notes
1.
and P.L.O. Reach Accord
"Israel
York Times, September 25, 1995, 2. "Israeli
March
Times,
3.
Grows
Rage Rises
4, 1996, p.
New
Bomb
New
York
Kills 19, Imperiling Peace,"
The
"4th Terror Blast in Israel Kills 12 at Mall in Tel Aviv; Nine-Day Toll
to 59,"
The
from The
bombings Suicide
West Bank Areas," The
Al.
New
York Times,
prepared the Introduction to clip file
as
to Transfer
p. Al.
New
in Israel
Bombings
—
this
March
volume
5,
1996,
p. Al.
From the time that I (May 1996), my
(July 1995) to the present
York Times shows the following headlines regarding suicide
in addition to the
in Israel Kill
1996; "22 Killed in Terrorist
two
that
have been mentioned already: "2
25 and Hurt 77, Highest Such
Bombing of Bus
in Tel
Toll,"
February 26,
Aviv; 46 Wounded," October
.
346
Global Convulsions
Now
20, 1995; "In a
Shaken Tel Aviv, Fear
"Bus Bombing
Kills Five in Jerusalem;
"Suicide 4.
Bomber
Bus Attack Near Tel Aviv," July 25, 1995. The New York Times, March 5, 1996, op. cit. note 3, p. Al.
5. "Israeli
Kills 5 in a
Barrage Hits U.N.
York Times, April 19, 1996,
Camp
Lebanon, Killing
at
Least 75," The
"P.L.O. Ends Call for Destruction of Jewish State," The
6.
which declared
also
It
satisfy the Israeli-Palestinian
and renounced
that "[t]he
'the
in
New
its
New
York Times,
formula was designed to
Washington on Sept[ember] 28,
two months of
would change
which Mr. Arafat recognized the security,'
was noted
agreement signed
that within
legislative council, the P.L.O.
the inauguration of an elected
charter to
comply with
right of the state of Israel 'to exist in
letters in
peace and
use of terrorism and other acts of violence.' In
exchange, the [p]rime [m]inister
at the time, the late
[which former Prime Minister
P.L.O.
in
p. Al.
April 25 1996, pp. Al, A6.
[1995],
Rides the Buses," October 21, 1995;
100 are Wounded," August 22, 1995;
Yitzhak Rabin, recognized the
Menachem Begin and former Defense
Minister Ariel Sharon had tried to destroy in the 1982 war in Lebanon,] and agreed to
open formal negotiations with
it." p.
A6.
7. Ibid. 8. Ibid.
9. Ibid.
10. Ibid. 1 1
"Rabin and Arafat Seal Their Accord as Clinton Applauds 'Brave Gamble,"
The New York Times, September 12.
The New York Times,
14, 1993, p.
op.
cit.
A6. Author's
note 6, p. Al.
italics.
Index of Persons, Places, and Organizations
Abdullah (king of Jordan), 180
Azoury, Neguib, 38, 169, 341
Abiola, M.K.O., 308
Abia
Adam,
Adriatic coast, 270,
53,
84
(Nigeria),
308
272
Aeneas, 109
Afghanistan, 127-128
Afer, 80
Africa, 12, 27, 32, 52, 57-58, 77, 80, 85, 123,
Agassiz, Louis, 53
Ake, Claude,
262
143,
Aigyptios, 78
Agincourt (France), 95 9,
32-34, 40, 299, 342-343
Amadiya
210
(Iraq),
Akio, Morita, 138
Algeria, 119, 126
Alaric the Visigoth, 18, 20
Algiers,
Aleksander (king of Serbia), 264
Alps, 80, 93
Alexander the Great, 80
Alsace-Lorraine, 101
Aliev, Gaidar,
Amur province
242
(Russia),
240
Anambra (Nigeria), 308
Allah, 22, 24, 82, 122 Allpoit,
202
AnatoUa, 206
Gordon, 8
Ahmad, Abraham, 129
Andes, 53
Amasis, 80
Ankara (Turkey),
17, 21
Amir, Yigal, 339-340
Antrim (Northern
Ireland),
Anderson, Benedict, 76
Arabia, 77
Angelou, Maya, 49
Argentina, 105
Antoinette, Marie, 98
Armagh (Northern
Arafat, Yasir, 23, 38, 181, 183, 193, 202, 339,
Armenia, 206
341,343
153
156
Asia, 27, 77-79, 82, 85, 90, 143,
262
Athens, 80, 89
Arif brothers, 208
Atlantic Ocean,
81,97
Auchnacloy (Northern
35
214^215, 220
Ireland), 154,
Arian,Asher, 175,177-178
Aristotle,
1,
Ireland), 152,
156
Armstrong, John, 248
Australia, 88, 109
Arnold, Thomas, 89
Austria, 100
Asahara, Shoko, 339
Autonomous Republic of Subcarpathian
Ataturk, Mustafa Kemal, 213
Augustine of Hippo, Saint,
13, 81
Ruthenia, 241 Azerbaijan, 217,
241-242
Awolowo, Obafemi, 301, 304
Action Group (Nigeria), 301-304
Axworthy, Lloyd, 333
African National Congress (South Africa), 117
Azikiew, Nnamdi, 300-301
Allaire group
(Quebec company), 324
347
1
Index of Persons, Places, and Organizations
348
Alliance for
Amnesty
Reform Forces
(Yugoslavia), 270
212
International,
Beirut, 174
Belarus, 251
Austro-Hungarian Empire, 94, 101
156-158,334
Belfast, 150, 153.
Belgium. 103 Ba(3iulis,
Belgrade. 271-272
Audrius, 256
Bakatin, Vadim, 252
Baker, James,
Balthazar, Louis,
Berlin, 102
198
III,
Berlin Wall, 118, 177.269
Bonn (Germany), 272
320
BaiYani family, 206, 208, 211, 218-219 Barzani,
Bosanka
209
Idris,
Krajina,
272
Bosnia and Herzegovina, 109. 261-264, 270,
Barzani, Masoud, 209, 219
272-274. 285. 339
Barzani, Mulla Mustafa, 207-210, 213, 217
Banque
Baumann, Carol
Benin-Delta People's party (Nigeria). 302
Edler, xiv
Bauman, Zigmunt, 132
nationale du Canada, 329
Bloc Quebecois (Canada). 333
Bede, the Venerable Saint, 94 Beissinger, Mark, 14-17, 26-27, 30-32,
Bombardier (Canadian company), 329
227
Brit
Shalom
(Israel),
170
Beland, Claude, 330
Caliph Omar, 81
Belanger, Michel, 330
Bellegarde-Smith, Patrick,
1
Ahmadu, 301
Bello, Sir Alhaji
Callaghan. Reverend Sydney. 156
Campeau.
330
Jean,
66-73
Ben-Gurion, David, 171
Carroll, Charles, 9,
Benvenisti, Meron, 196
Carroll, Lewis,
Bemal, Martin, 2-3, 12-13, 23, 75
Carter.
Binet, Alfred, 55
Casement, Sir Roger, 108
59
Jimmy, 197
Bismarck, Otto von, 102
Cavalli-Sforza, L. Luca,
Blassingame, John, 22
Ceausescu, Nicolae, 269
Blumenbach,
Charles
Bocock,
F, 50, 84-85, 87
J.
I
(king of England), 96
Chernomyrdin, Viktor, 279
133
Rot)ert,
6-7
Bouchard, Lucien, 333-334
Chirac, Jacques. 279
Boumediene, Hayri, 209
Chretien. Jean. 334
Bourassa, Robert, 316, 321-324, 326
Christopher, Warren, 279, 340
Brace, C. Loring, 7
Churchill, Winston, 89, 97
Brassard, Jacques, 334
Ciechanowicz, Jan, 253
Brazauskas, Algirdas, 256
Ciller,
Brimmer,
238
Ian,
Breuilly, John.
Tansu, 216
CHft, Dominique, 315
284
Clinton. Bill,
279
Broca, Paul, 54-55
Coleman. William. 315
Brodowski, Anicet, 253
Coll. Steve.
Brown,
Comte. Auguste. 119
Justice
Henry BiUings, 66, 73
262
Brubaker. Rogers, 229
Courchene. Thomas, 331
Buber, Martin, 170
Cromwell. Oliver. 24, 97
Buck, David,
14,
17-18, 21, 28, 30, 281
Bulatovic, Momir,
270
Cuchullain. 37. 160
Curran. Bob. 155
Burgess, Paul, 157
Calcutta, 110
Bush, George, 89, 197-198
Canaan. 79, 83
Baghdad, 207-212, 218, 220
Canada, 17-18,31,34-35, 117.274.315-321,
Balkans. 261-263, 265, 274 Baltics, 16. 28. 34. 94.
Bann (Northern
247-249
Ireland). 153
Beijing. 21, 288, 291,
293-294
323. 325. 330-335
Canary
Islands.
83
Canton (China), 293 Carthage, 80
Index of Persons, Places, and Organizations
Castledawson (Northern
Ireland),
Delaney, Martin, 29
156
287
Dikotter, Frank,
Caucasus, 82, 84
Cave of the
Patriarchs,
Dion, Stephane, 317
22
Benjamin, 107
Central America, 82
Disraeli,
Chad, 86
Douglas, Stephen, 18-20, 65
Charlottetown (Canada), 321, 325
Douglass, Frederick, 18-20, 36
Chechnya, 30, 237, 240, 285, 339
Drake,
Chengdu
Dudayev, Dzhokhar, 237, 339
(China), 293
St. Clair,
Chile, 105
Dunn, L. C, 6-8
China, 18, 21, 28-30, 34, 90, 127, 141, 281-283,
Durant,Will,21
77
Durkheim, Emile, 122, 124
285-294, 339 Chisinau (Russia), 239
Damascus
Chita province (Russia), 240
Delhi (India), 110
Clongoes
Wood
349
(Ireland),
(Syria),
212
Dersim (now known
156
as Tunceli, Turkey),
Congo, 88
Dniestr Moldavian republic, 239
Corfu, 263
Dohuk province
Crecy (France), 95
Donbass region (Ukraine),
Crimea, 236, 238, 241
Donets region (Ukraine),
Croatia, 31-32, 38, 262-264, 268, 270-274,
339
(Iraq),
213
209-210 16,
17,
241
241
Donetsk province (Ukraine), 236
Cyprus, 83
Down (Northem
Czechoslovakia, 299
Dublin, 108
Caisse de Depot et Placement (Quebec
Dubrovnik
Ireland),
(Croatia),
153
272
Canadian Manufacturer's Association, 330
Dungannon (Northem Ireland), 157 Dahaf Research Institute (Israel), 175
Canam-Manac (Quebec company). 329
Democratic party of Kurdistan (KDP), 207-211,
company), 329
Catholic Church, 13, 121, 151-154
Canadian Broadcasting Corporation (CBC), 35,
331,333
219 Democratic Unionist party (Northem Ireland), 153
Central Intelligence
Agency (CIA), 28,121,248
Center for Democratic Studies (Nigeria), 308
Communist party: China, 291-294
Department of Africology, UW-Milwaukee, xvi-xvii
Dizengoff Center (shopping center in
Dutch Reform Church,
1
Israel),
17
Montenegro, 270 Russia, 339
Eban,Abba, 180
Vietnam, 293
Eden, Anthony, 104
Soviet Union (CPSU), 248. 253
Edward
III
(king of England), 95
Confederation of the Rhine, 99
Ehrlich, Paul, 9-11
Conservative party (Canada), 321
Einstein, Albert, 87
Croatian Democratic Union (CDU), 270
Eisenstadt, S. N., 138
Elizabeth
I
(queen of England), 96
Dalai Lama, 283
Elliot,
DanbalaWedo, 10,24
Ellison, Ralph,
Danton, 98
Emperor Theodosius
Darwin, Charles,
6,
89
Marianne, 12, 14, 25, 36-39, 149
1,30 1,
18
Engels, Friedrich, 342
De Buffon, Comte Georges, 84 De Chardin, Teilhard, 116 De Gaulle, Charles, 107 De Gobineau, Arthur, 9, 50, 66-73, 85-87 De Valera, Eamon, 110
Euclid,
Degler, Carl, 76-77
Edinstvo; 252
66
Eugene, 97 Eurybates, 78
Eve, 53, 58 East Siberian republic, 240
340
1
Index of Persons, Places, and Organizations
350
Egypt, 21. 24-25. 76-80. 82, 90. 104. 127. 175,
344
Elam
Gagauz
196-197 199-202.341
(ancient Iran), 79
England. 90. 9-4^97, 99-100, 104, 107
Georgia, republic
English Canada, 322-324, 326. 328
Germany.
Estonia, 238, 248. Ethiopia,
257
243
171,262,274,339
99-103, 105-106, 109. 111-112. 119. 124,
170,215,274,292.299
Edinstvo-Jednosc-Vienybe, "Unity" (Lithuania).
Great Wall (China), 286 Greece, 79-80. 94
G7
(7 leading
(Nigeria).
300
Omo Oduduwa (Nigeria).
300
Guttman
Ferdinand. Archduke Franz, 263
Johann Gottlieb. 99
178
Hallaj.
Muhammad.
14. 23,
36-37, 189, 339, 342
79. 83
Hamilton. Alexander. 19
Hannibal. Abram. 84-85
77
Hardie. Keir. 102
285
Fournier. Pierre, 33
Harrell. Stevan.
Franklin, Benjamin. 19, 53
Harris, George, 14,
Eraser,
117
Applied Social Research
Hannibal. 80
Flapan. Simha, 190
M.
(Israel),
Institute for
(Israel). 175.
Ham,
Forster. E.
planet), 331
308
(Nigeria).
European Community (EC). 269. 272-274
Fichte.
economies on
Grand Duchy of Warsaw, 99
Gush Emunim
253
Edo National Union Enugu
235
Great Britain, 28, 89, 90. 98. 101. 153-154, 160,
Europe. 28. 32. 56. 82. 84. 86. 88-89. 96-97.
143, 160,
of.
32, 88-89. 100-101. 104. 108-109.
111,215,262,272-273
81-82
Eurasia, 233,
Egbe
239
republic (Moldova),
Gaza, 174-175, 181-182, 189-190. 193-194.
Graham, 320
Hegel, G.
17.31.205
W. F, 342
Friedman, Edward. 289
Heihachiria Admiral Togo. 133
Freud. Sigmund. 87, 119, 122
Heller.
Falkland Islands, 105
Henry IV (king of France), 96
Florence
(Italy).
89
Henr\'
France, 76, 88-89. 95. 97-99. 104. 107. 110. 171,
215,262.264
Mark. 182. 199-201
V
(king of England), 95
Herder, Jonann Gottfried von. 99
Herodotus. 79
French Canada, 322
Hermstein. Richard.
Front de Liberation do Quebec. 318
Hesiod. 78 Hitler,
9. 63.
67-73
Adolph, 50. 111.264,273
Gamble. John. 155
Hobbes. Thomas. 342
Gandhi, Mahatma, 110, 129
Holbrooke. Richard, 279
Genscher, Hans-Dietrich, 272
Homer, 78-79
George, Lord B>Ton, 99
House. Edward, 102
Gerald of Wales, 155
Hume,
Gergen, Kenneth, 76-77
Hunt. Sanford B.. 67
Ghassemlou, Abdul Rahman, 218-219
Huntington. Samuel R. 28. 265
Gladney, Dru, 288
Huseinov. Surat. 242
Golan, Galia, 23, 25,
3^38,
40. 169. 339.
341-342 Goldman, Ronald
John. 154
Hussein (king of Jordan). 180, 193. 197,201 Hussein, Saddam, 207-212. 218
Lyle.
339
Huxley, Julian, 116
Goldstein. Baruch. 22-23
Haiti,
Gorbachev. Mikhail. 249, 252-254, 269
Halapja (town on Iraq/Iran border), 209
Gould, Stephen Jay, 54. 86
Hebron (West Bank), 173,341
Gresh, Alain, 194
Holland. 103
Grimm, Jacob and Wilhelm, 99
Hong Kong. 292
11,327
Index of Persons, Places, and Organizations
Jordan, Hashemite
Hamas, 340
Kingdom
of,
351
180-181, 193,
197,201
Herut party, 170 Hezbollah, 340, 344
Jaffee Center for Strategic Studies (Israel), 175
Holy Roman Empire, 96
JNA party organization, 266
House of Wessex, 94 272
Kadijevic, Veljko Dusan,
Hydro-Quebec (Quebec company), 329
Kai-shek, Chiang, 288
Kano, Mallam Aminu, 302, 308
Inonu,lsmet, 213-214
Kanovicius, Grigorii, 255 Isaacs,
Harold
R., 115, 121
Izetbegovic, Alija, 273,
Kedourie, Elie, 26
279
Kerkvliet, Ben, 293
Ignalina district (Lithuania),
250 Khalidi, Walid,
India,52,86, 117, 127 Indus Valley, 79
Khrisostom, Archbishop, 255
Iran, 31, 79, 86, 104,
126-127, 205-211, 216,
218-220,242 Iraq, 31, Irbil
205-214, 216-220
Kobeckaite; Halina, 254, 257
189-202,340-345
Ithaca,
78
Union
(Nigeria),
300
Kalahari, 51
Kaliningrad (Russia), 240
Monetary Fund (IMF), 267, 273, 307
(Nigeria),
12, 153,
339
285
(king of England), 97
(Iran),
216
oil field
region (Iraq), 209
Korea, 286
Kosovo Jansa, Janez, 269, 211
156
Khartoum (Sudan), 81 Kiev (Ukraine), 238-239 Kirkuk
Jabotinsky, Ze'ev, 170
Ireland),
Kemet, 78
Kermanshah
76
Defense Forces (IDF), 176
II
(India),
Keady (Northern
211
RepubUcan Army (IRA),
James
Kashmir
Kazakhstan, 32, 237, 290
308
Iraqi National Congress,
Israel
241
Kuchma, Leonid, 239, 242
International
Iroquois,
16,
Kristol, William, 19
Ibo State Union (Nigeria), 300
Irish
Konosuke, Matsushita, 138 Kravchuk, Leonid,
94, 100
Ibibio Welfare
Imo
129
Kohl, Helmut, 279
240
Italy, 80, 89,
Jr.,
Knox, Robert, 85-86
23-25, 78-79, 88, 169, 171-183,
Israel,
King, Martin Luther,
Kipling, Rudyard, 103
province (Iraq), 209
Irkutsk,
200-201
Khomeini, Ayatollah, 121
(of the former Yugoslavia), 262-263,
268, 270
Jay, John, 19
Krajina region (of the former Yugoslavia), 270, Jefferson,
Thomas,
19, 53,
65-66, 68, 73
Jesus Christ, 10,24
Jiaquing emperors, 286
Joanof Arc, 95 John Paul
II,
Kuwait, 210
Jones, Ernest, 122
Kyrgyzstan (Russia), 32, 237
63-64
Jovic, Borisav, 271
Jamaica, 327 Japan, 15, 109, 131-139, 141-143, 286-287
Jasenovac (Croatia), 264 Jericho,
1
89
(China),
KGB, 252-253 Khmer Rouge, 110 Kingdom of Italy, 99 Komala party (Iran), 217, 219 Kurdish Autonomous Republic of Mahabad, 207, 217
Jerusalem, 31, 81, 169, 175, 183, 201, 340-341 Jilin
Kremlin, 15 Kurdistan, 3
256
Jordan, Winthrop D.,
272, 278-279
Krasnoiarsk province (Russia), 240-241
290
Kurdish Democratic party of Iran (KDP-I),
217-219
Index of Persons, Places, and Organizations
352
Landsbergis, Vytautas, 255
Marty, Martin, 25, 115, 342, 344
Lasch, Christopher, 19
Marx, Karl,
Latouche, Daniel, 327
Maurice, Saint, 81-82
Lattimore,
Le
Owen, 287-289
87-89, 107, 119, 124, 289, 342
Mazzini, Giuseppe, 100
McFadden, Roy, 159
330
Hir, Richard,
3,
Leach, Edmund, 77
McGimpsey,
Leibowitz, Yossi, 345
McKittrick, David, 158
Lesch,Ann, 198
McRoberts, Kenneth, 321
Levesque, Rene 318, 320-321, 327
Memnon, 78
Levine, Marc, 14, 17,35,315
Menozzi, Paolo, 6
Lewontin, Richard
C,
Lincoln, Abraham,
8,
Meshkov,
51
18-20, 36, 53, 65-66, 73,
123
Chris,
Yuri,
1
59
238-239
Mesic, Stjepan, 271 Michelet, Jules, 89
Michnik, Adam, 254
Lind Michael, 19 Linnaeus, Carolus, 50, 84 Lisee, Jean-Franfois,
Mieczkowski, Romuald, 252
324
Mill,
John
Stuart, 26, 30, 227, 231,
Logue, Ken, 158
Milton, John, 24, 97
Lombroso, Cesare, 55
Mohammad,
Longley, Edna, 14, 156
Morgan, Lewis Henry, 289
Louis
XVI
242
MUosevic, Slobodan, 38, 268^271, 273-274
Locke, John, 84, 342
(king of France), 98
Qazi, 217
Morrison, John, 235
Lucas, Eduard, 254
Morton, Samuel, 54
Lagos (Nigeria), 302, 307
Mulroney, Brian, 35, 316, 321-324, 326,
Lake Urumiyah
(Iran),
331-333
217
Murray, Charles,
Latin America, 105 Latvia,
248-249
9, 63,
Lebanon, 128, 175.196,206
Madeira, 83
Levant, 80
Madrid, 189, 196, 198
Liberia,
Magadan province
299
(Russia), 241
Maghreb, 77
Libya, 81 Lithuania, 16,
248-257
Malatya (Turkey), 213
Ljubljana (Slovenia), 268, 271
Malplaquet
London, 102
Manchuria, 286
Londonderry (Northern
Labor party
(Israel),
Ireland), 150, 153,
156
173-174, 177, 180-182,
341,343-344 265-266, 269
97
Manitoba (Canada), 322 Mediterranean, 52, 80, 205;
Meech Lake,
316, 332
Meroe, 81
Liberal party (Quebec), 315, 319, 324
Likud party
(battle of),
Sea, 180
League of Communists of Yugslavia (LCY),
(Israel), 170,
172-175, 177, 182,
Mesopotamia, 82, 205
Middle
East, 36, 171, 195, 198-199. 265,
345
Moldova, 235, 238-239
344 Lithuanian
67-73
Macedonia, 270
Communist
party,
252
Mongolia, 29, 283. 287, 290
Lithuanian Democratic Labor party (LDLP), 256
Montreal, 17, 318, 326-329, 332-333. 335
Lithuanian Writer's Union, 16, 249
Montreal Island, 318
Moscow,
97, 231, 237, 240, 251-255, 265.
Madison, James, 19
Mosul, 213
Major, John, 279
Mount
Markovic, Ante, 270, 272
Manchu
Marlborough, duke
Mitsubishi Corporation, 139
Martin, Paul, 333
of,
97
Ararat,
84.213
dynasty, 285,
Mouvement
290
Desjardins.
329-330
292
Index df Persons, Places, and Organizations
Napoleon, 11,99
Ontario (Canada), 328
Nei, Masatoshi, 51
Ottawa (Canada), 317, 331-333
Nelson, Horatio, 100
Orange Order (Northern
Netanyahu, Benjamin, 344-345
Organization for Economic Cooperation and
Niebuhr, Barthold, 89
Ireland),
353
152-153
Development (OECD), 317
Noah, 50, 79, 83, 86
Ottoman Empire,
110, 170
Nusseibeh, Sari, 182, 199-201
Namibia, 88
Pahlavis, family of,
New
Paisley,
Brunswick (Canada), 322
Newfoundland (Canada), 322 Nigeria, 32-35, 40, 86, 117, 128, Nile, 77-79,
Reverend
299-309
84
Paul of Tarsus, 93 Pavelic, Ante,
12,264
Peres,
North Africa, 265, 327
Peter the Great, 85
North America, 82
Shimon, 202, 340-341, 343-344
Piazza, Alberto, 6
North Korea, 127
Pinard, Maurice,
Northern Europe, 56
326
Pinchas, 78
Northern Ireland, 12, 14, 25, 36-39, 109-111, 117, 121, 149-154, 156-159,
161-163,334
Northern Caucasus, 30, 237 Nubia, 77, 80 tribe,
152
Parizeau, Jacques, 329, 333
Normandy, 95
Nakshibandi
219
Ian,
Plantagenets, 95 Plato,
53
Poe, Edgar Allen, 2
Pol Pot, 110
213
Porter, Brian, 3, 11, 15,
National Council of Nigeria and the Cameroon's
25-26, 93, 343
Poseidon, 78
(NCNC), 301-304 Ptolemy, 81 National Council of Resistance (Iran), 219 Pushkin, Aleksandr, 85 National Institutes of Health (NIH), 56
National Republic Convention (NRC), 307-308 Nationalist party (Taiwan),
293
Pakistan, 327 Palestine, 14, 25, 109-110, 170-172, 181-182,
190-197,199-201,344
Niger Delta Congress, 302
Nippon
Steel Corporation, 139
Nissho I wai Corporation, 139
Non-Aligned Movement, 266 North America Free Trade Agreement (NAFTA), 330, 335
Northern Elements Progressive Union (Nigeria),
302 Northern Peoples Congress (Nigeria), 301-304
Paris, 96, 107,
Persia,
339
79-80
Phnom-Penh (Cambodia), 110 Persian Azerbaijan, 217
Place de la Concorde (Paris), 101 Poitiers (France),
95
Poland, 251, 253-254 Portugal, 103
Primorskii krai (Russia),
240
Ocalan, Abdullah, 206, 212, 214-215, 220
Prussia, 100
Odeh,AdnanAbu, 201
Palestine Liberation Organization (PLO), 14, 23,
Odysseus, 78
169, 171, 175, 177, 179, 181-182, 189-196,
Okinczyc, Czeslaw, 252
202,341
Oniran, Haj, 209
Palestine National Council (PNC), 192, 194, 197,
341-342
Ortega y Gasset, Jose, 106
Osman,
Nabil, 345
Otto, Rudolf, 122
Ozolas, Romualdas, 256 O'Neill, Terence, 162
Parti
Quebdcois (PQ), 315-316, 318-321, 324-325, 328-330, 333-335
Patriotic
Union of Kurdistan party (PUK),
209-211
Ozal,Turgut,213,220
Peoples Labor party (HEP), 215
Odessa province (Ukraine), 236
People's Mojahedin, 219
Index of Persons, Places, and Organizations
354
Qasim, Abdul Karim, 207-208 Quebec,
17, 31, 35, 117,
Sharafkandi, Sadegh, 219
315-335, 339
Bassam Abu, 202
Shaw, Bernard, 95
206
the Qadiri order,
Sharif,
Qianlong emperors, 286
Shaymiyev, Mintimer, 237-238
Qing Empire, 285-287
Sha'ath, Nebil, 181
Sheikh Said, 213 Shils,
Rabbo, Mufid Abu, 342
Edward, 138
Sienkiewicz, Jan, 253, 255
Rabin, Leah, 344 Rabin, Yitzhak, 23, 38, 180, 339-344
Simeon, Richard, 331
Simko, Ismail Aga, 217 Rafsanjani, Hashemi, 219
Simpson, Rahner, Karl, 126
Jeffrey,
331
Simpson, Nicole, 339
Reagan, Ronald, 89, 197
Remington, Robin Alison,
Simpson, Orenthal James, 339 12, 3
1,
36, 38, 261
Resnick, Philip, 322
Skinner,B. F, 1,10, 12 Skubiszewski, Krzysztof, 255
Reza, Shah, 217
Slezeviaus, Adolfas, 556
Robespierre, 110
Smyth, Brendan, 152
Robins, Ashley, 52
Sniukas,
Rocher, Guy, 328
al-Souwi, Slaeh Abdel Rahim, 22
Rocher, Fran9ois, 328
Stalin, Joseph, 34, 106, 108, 237,
Roosevelt, Theodore, 105
Stevenson, Charles, 8
Rousseau, Jean Jacques, 342
Stomma,
Ruppin,Arthur, 38, 169,341
Stowe, Harriet Beecher, 65
Rushdie, Salman, 81
Sabra and Shatila refugee camps (Lebanon), 174
Red
Sahara, 77
Sea, 80, 97
Domas, 254
Stanislaw,
Republic of Ireland, 37, 151, 160
Sajudis, 250,
Romania, 239
Sakhalin,
Rome,
13, 15, 18, 37, 101, 106, 152,
285
Russia, 30, 89, 100-101, 104, 108, 112, 127, 233,
237, 240-242, 255, 262, 286-287, 339
254
252
240
Salcininkai district (Lithuania), 250,
Sardasht region (Iran), 218 Scotland, 94, 104, 160
Rwanda,
Senegal, 82
112,285
Serbia, 264, 268-270, 273,
Ryukyus, 286
252-255
Sarajevo, 102, 263, 273
Russian Federation, 238, 242 12,
248
339
Shanghai, 293
Red Cross, 272 Rivers Chiefs and People Conference, 302
Royal Trust Company (Canada), 330
Shankill (Northern Ireland), 153, 158 Siberia,
286
Sichuan, 286, 290 Sicily,
Sadat,
Anwar el-,
25, 169
Saladin, 81
Singapore, 292
Saro-Wiwa, Ken, 339 Sayegh, Payez, 192 Scalia, Antonin, Schiller,
94
Simferopol, 238
4
Jonann Christoph von, 99
Slovenia, 31-32, 262, 264,
268-274
Snieacus, 250, 254
Somalia, 299
South Africa, 111, 117
Schockley, William, 12
South Korea, 29
Schweitzer, Albert, 129
Southern Urals republic, 240
Segal, Gerald,
290
Soviet Union (USSR), 15-17, 21, 27-28, 32,
Senn, Alfred Erich, 14^17,28,31,247
34-35,94, 106, 108, 127-128, 171,207,
Severans, 80
209, 216-217, 227-229, 231, 233, 235-239,
Shalev, Chemi, 345
242-243, 247-254, 256, 265, 274, 282-283,
Shamir, Michal and Jacob, 175- 178, 180
285, 287, 289-290, 292, 299
Index of Persons, Places, and Organizations
355
Troy, 109
Spain, 87, 89, 95-96, 274
213-214
Sri
Lanka, 285
Tunceli,
St.
Petersburg (Russia), 240
Tunisia, 80
Strasbourg, 101
Turkey, 17, 31, 205-207, 209-217, 219-220
Sudan, 126, 128
Tyrone, county (Northern Ireland), 152, 157
Taiyo Kobe Bank Ltd., 139, 141
Suez Canal, 104 Sulaimaniya province
(Iraq),
209-211
Toshiba Co., 139 Turkish Labor party, 214
Sverdlovsk (Russia), 240
Svienaonys, 250 Ukraine, 16, 236, 238-239, 241, 251
Switzerland, 84
180,206,211-212,214
Syria, 175,
Shinrikyo,
Aum, 339
Social Democratic and Labour party (Northern
160-161, 334
United States,
18-21, 26, 28-29, 34-36,
9, 12,
40, 53, 55, 63-64, 66, 70-72, 76, 85, 87-88, 90, 104-105, 107, 109, 111-112, 117, 119,
154,156
Ireland), 38,
Ulster, 37, 152, 155,
123, 127, 171, 196-197, 207, 248, 262,
SinnFein,38, 150, 154
293
331,344-345
SNC-Lavalin, 329 Social Democratic party (Nigeria), 308
Social Democratic Populist party (Turkey), 215 Socialist party of Serbia (SPS),
269-270
Southern Baptist Convention, 20
United States, White House, 23, 65 Uzbekistan, 290 Ulster Unionist party, 159
UNESCO,
3,
5-7, 116
Union of Poles Talabani, Jalal, 206, 208-211, 219
in
Lithuania (ZPL), 253-255
United World Federalism,
1
16
United Middle Belt Congress (Nigeria), 302 Taney, Roger, 65-66, 73
United National Independence party (Nigeria), Tarka, loseph, 302
302
322-323
Taylor, Charles,
United Nations (UN), 12,40-41, 116, 128, 182, Terence, 80
190-191, 193, 201, 262, 273. 293, 340
TiUich, Paul, 122
United Nations Protection Forces
Tito, Josip Broz, 31, 38, 263,
265-268, 273-274
Tofa, Alhaji Bashir, 308 Tolstoy, Leo, 97,
Tomislav
II
United Nations Security Council, 171,210
105,110
(king of Croatia), 262, 264
Tone, Theobald Wolfe, 159, 161
Toy nbee, Arnold, 116
Elliot,
University of Wisconsin-Milwaukee
University of Wisconsin System Institute on Race xiii,
xv
Ustashe, 264, 272
319-321, 326
Tsar Dusan, 264
Vance, Cyrus, 273
Tudjman, Franjo, 262, 270, 272-273
Van Home, George Wilton,
Tung-hui, Lee, 293
Van Home, Winston
A.,
Taiwan, 286, 292-293, 339
Vigilant, Linda, 3, 5, 7,
Tadzhikistan, 239
Virgil,
Talysh-Mugan Autonomous Republic, 242
Varennes, 98
Tatarstan,
237-238, 240-241
Vienna, 99, 219
Vietnam, 286, 293, 327
Tiananmen Square, 294
Vilnius,
Tigris and Euphrates, 84,
1
63,
339
49
Versailles, 111
Tel Aviv, 22, 340, 343
289-290
1,
106
Tehran, 216-220
Tibet, 28, 286,
(UWM),
xiii-xiv, xvii-xix
and Ethnicity,
Trotsky, Leon, 88
Trudeau, Peime
(UNPROFOR),
273
16,250-256
Vojvodina (of the former Yugoslavia), 275
205
Volgograd province (Russia), 241
Toronto, 328, 330
Vologda province (Russia), 240
Trafalgar, 100, 102
Via Rail (Canadian company), 35, 331
Index of Persons, Places, and Organizations
356
Walesa, Lech, 254
World's Christian Fundamentals Association, 125
Wallman, Sandra, 141
World Council of Churches, 116
Walsh,
J.
Richard, 282
Washington, George,
19,
Xiaoping, Deng, 294
266
Webb, William, 22 Weber, Max, 116, 119,122 Webster, Norman, 334
Yel'tsin, Boris N.,
Wight, Martin, 11,98
Yette,
Wilhelm
II
(kaiser of
Yahweh, 24
Germany), 102, 111
Samuel
F.,
237-241, 345
39
Yoshino, Kosaku, 14-15, 131
Willhelm, Sidney, 8
Yasukuni shrine, 133
Wilson, Woodrow, 102
Yugoslavia, 12, 31-32, 34-35, 38, 110, 112, 117,
127-128, 261-271, 273-274, 289, 299
Warsaw, 252, 254, 256
Yugoslav Communist
Washington, D.C., 189, 198, 209
party,
265
West Africa, 300
West Bank, 174-175, 180-183, 189, 193-194, 196-197,199-202,340-341
Zedong, Mao, 287-288
West
Zeus, 78
Indies,
Wuhan West
83
Zibari and Baradost tribes,
(China), 293
State
movement
(Nigeria),
302
Workers party of Kurdistan (PKK), 206,
211-215,219-220 World Bank, 273, 307
Zeligowski, Lucjan, 256
208
Zyuganov, Gennadi A., 339, 345
Zagreb (Croatia), 270, 272, 274
Zakho
(Iraq),
210
Subject Index
Adarand
Constructors, Inc.,
v.
Federico Pena, et
Charlottetown accord, 324-325;
1992 Canadian refercndom, 324-325
al.,4
Affirmative action, 59, 301
Christianity, 23, 81-82, 87, 124,
Algiers accord, 209
Christendom, 82, 124
Altruism, 118
Civilian rule, 304-305,
Anti-clericalism, 107
Citizenship, 93, 174, 238, 240, 249, 251, 257,
Anti-Semitism, 87-88, 174
308
344
Apartheid, HI, 117
Civil Rights
Arab world, 171-172, 174-175, 208
Civilizations, 70, 87, 141, 285;
Act of 1968, 72
Arab-Israeli conflict, 169, 171, 190, 194, 197
European, 90
Arab
Roman,
rejectionism, 196
Aryan
88
order,
Ascendancy, 38, 154 Assassination, 102, 219-220, 263-264, 339, 343
Aversive consequences, 12
13, 81
Pharonic, 77
Western, 90 Class, 55; aristocracy,
88-89
Francophone
capitalist,
Belief and attitude, 8
lower, 55, 155
Bi-national state, 174
mercantile, 103
British mandate, 192
middle, 103, 155,317
Bolshevism, 105
political,
Bourgeoisie, 100
urban, 96
Businessmen, 136, 138
285
321, 329
303, 308
working, 157, 159, 162 Cognitive:
68-69, 71-72
Calvinist woric ethic, 161
ability,
Canada-U.S. Free Trade Agreement, 330
classes (five),
Capitalism:
deficit,
Francophone, 330 Western, 104 [the]
Catastrophe of 1948, 191-192
69
68-69, 71
dissonance, 177 line,
71
partitioning, 71
Caucasian, 84-85, 87
Cold War, 127, 172, 177, 197, 266, 289
Charismatic:
Colonialism, 76, 118,300;
authority,
266
leadership,
333
movements, 124
colonial rule,
300
postcolonial, 117
Commercial expansion and exploitation, 103
357
1
358
Subject Index
Communal:
Dynasticism, 94-100;
identities,
justice,
309
trappings of, 101
Dynasty, Qing, 285-287
156
Communism/communist,
21, 88,
1
19, 227, 229,
Dysgenics, 70-7
1
253,265,273,281,288; collapse,
243
(Komala
orientation
Community,
217
agitators),
autarky,
Economic
opportunity,
293
292
Effervescences, 124
300
rural,
Economic
309;
Elites, 300, 303,
Confederationism, 301, 334
Nigerian, 309
Conscription, 101
China, Western influenced, 292
Constitution:
American,
18,
Emigration (Lithuania), 250-251, 255
65-66, 72
End of history, 341
Canadian "notwitustanding clause, "
Enlightenment, 85, 88, 90. 97-98, 119-120, 124;
323
"repatriation of, " 320-321,
neo-Enligntenment, 128
326
Entrepreneurialism, Francophone, 321
Nigerian, 301-302, 305
Entzauberung, 119
Russian, 241
Equality:
Soviet, 249
egalitarian principles,
Yugoslav, 266, 268, 274
72-73
ideology, 7
Constitutionalism, 121; inequality, 56, 71-72, 107
American, 126
Consumer
racial
intellectuals,
138 Equity,
Contingencies of reinforcement,
and sexual, 86
302
1
Etatisme, etapisme, etapiste, 317-319, 321
Corruption, 306; Ethnically pure,
270
accumulation and aggrandizement, 304, 306 Ethnic/Ethnicity. 59, 75-76, 89, 109, 118-119,
"Creeping dovishness"
(Israel), 175,
177- 178 233, 284, 299, 303, 308-309;
Crime and genes, 56
animosity, 304
Cross-cultural manuals (Japan), 139-142
associations, 301
Culture/cultural:
cleansing, 12, 110, 128, 153, 192, 263-264,
autonomy, 288
274
300
deculturing,
communities, 257. 289, 305
defining attributes of, 11, 39 distinctiveness, elites,
consciousness, 299, 303
249
definition,
humiliation and rejection, 324, 332-333 imperialism, 11, 99
pluralism, security,
ethnic, 25-26,
343
305
108-112,343
ethnocentrism, 75, 141
229
exclusivism, 343
317
group, 68,
self-esteem, 323
identity,
superiority vs, inferiority, 39, 135, 141, survival, 10, 17,
75-76
disintegrative tendencies,
domination, 301-303, 305
knowledge, 10 relativism, 10-11,
299
conflicts, 254, 257,
343
289
318
1 1
6,
1 1
30
8.
1
,
304-305, 308
284
ideologies, 299,
304
mass organizations, 301 minorities, 127. 249, 290,
294
Declaration of Independence, 18, 65, 72
multiethnic society. 261, 328
Democracy/democratic (Nigeria), 308-309
my\h,etfmie, 108-109
Demographic
mythic structures.
minority, 328
The Dred Scott
decision,
65
Discrimination. 252, 291, 302
particularisms, parties,
301
1
307
16.
262, 264, 270
Subject Index
politics,
265-266, 299-300, 302-303, 306, 308
recognition,
Gaelic society, 155
Gaza- Jericho accord, 202
220
regionalized, 33
"Gaza plus" agreement,
self-designation, 59
Gender
separatism, 302 state,
190, 195
superiority and inferiority, 55;
social constructions,
86
Genocide, 12, 76, 83, 88, 110-112
112
Ethnonationalism/ethnonationalist, 16, 115-117,
126-128,261-262,264,
119, 121, 123,
Geopolitics, 116
Glasnost, 229, 233, 239, 249
266-268, 270, 273-274, 281-282, 284-285,
Globalization, 331
289-290;
Global markets, 331
conflict,
359
Great chain of being, 84
266
cleavages, 316
Great Leap Forward, 282
ethnos, 115-116
Groupism, 134-135
expectations,
Gulf crisis, 177, 180, 196, 207, 210
264
fragmentation, 290, 292 identity,
274
Haragei, 135
movements, 120, 283-284, 291 politics,
267, 284
religion,
120-121
separatist party, tribes,
History, 75; divine, 126
symbols, 270
319
Historiography, 75, 88
Hobbesian
120
political competition,
Ethnoreligious fundamentalisms, 126
Homo sapiens sapiens,
Ethologists, 117
Hope, 21, 23, 124,343;
"Evil empire," 118
124
dignity, 72,
Exclusion, 124-125, 299, 301-302
304
3-5, 7, 63
Hopelessness, 21-23, 40 Horizontal stratification, 134
Fascism, 105, 264, 270
Human
"Federal character" principle (Nigeria), 306
Hypoxia, 53
rights, 248,
301
Federal systems: concentration of
power and
authority,
35
devolution of power and authority, 35 Federalism, 301-303, 306, 320-321, 331-332
Individualism, 135
Immigration, 250, 327-328, 332; minorities,
333
Federal governments, 303, 307, 317-319
Immigration Act of 1924, 55-56
"Fed-up-ness," 40, 177, 342
Imperialism, 101, 103, 118
Feudal paternalism, 104
Inferiority vs. superiority
Francophone capitalism, 330
Insecurity, 177
French:
Insurrection, 207,
classicism, cultural political
99
Institutions,
hegemony, 99
210
30-31, 36, 40;
institutional illegitimacy, 28,
hegemony, 99
34
institutional legitimacy, 29, 30, 34,
Revolution, 97-98
political institutionalization,
Fundamentalism, 125-127;
261
265-266, 273
Intelligence and intellectual ability, 54;
American, 126
gap, 67-^9, 71
fundamentalist, 125-126, 152 vs, traditionalist,
syndrome, 154-155
superiority vs. inferiority, 66-67,
125
Fundamental principles (John Stuart
26-27,30,227,231,243
testing,
Mill),
Intelligentsia, 251; liberal,
103
radical, Parisian,
G7,331 Gaelic revival, 160-161
70
55-56, 67-68
107
secular, 103
Intercultural
communication, 141-143
360
Subject Index
339
International censure. International
Nigerian
community, 197-198. 237. 262
Intemalionalism. 109, 116, 143
state,
309
post-SoNiet borders. 236 post-So\iet state system, 237
Intemationalizalion. 131, 134, 140-142
Leninism, 228, 283, 290
Intifada, 175-178, 195, 197
Leninist state, 289
Uberalism, 9^100, 105;
man, 2
Invisible
Insh culture. 150. 160-162
Western democratic, 105
Iron Curtain. 118
Liberation and Return. 192
IslamAslamic. 23. 81-83. 110. 117. 174.282:
Lincoln-Douglas debates. 18-20
fundamentalist. 119
Lithuanian referendum, 254
tolerance. 81
Local autonomy (Nigeria), 301, 306 Low-intensit>' war. 340
Israeli-PLO accord. 179 Israeli-Palestinian conflict. 194. 196. Israeli-Palestinian peace. 191.
198,200
200-202. 341
"MacWodd." 128 Manichaeism. 80
Japanese uniqueness/distinctiveness. 133-136. 138,
140-142
255-256
Christians.
'"
302
resistance to,
"Mass-regard." 293-294
87
Meech Lake
constitutional agreen:>ent, 316;
accord. 316. 322-324. 327-328. 331,
Orthodox. 87
Jim Crowism.
291
Marxist-Leninist ideolog>', 252, 289
Jews, 87, 97, 170,174;
"New
era,
Marginalization, 301, 306. 309:
Jerusalem, 108, 183. 201
Lithuanian,
Maoist
12,
conditions for acceptance. 321-322
66
326
Jingoism, 102
failure of,
Jordanian option, 180
post-Meech, 325, 330
Justice and injustice.
191-192
Just war. 82
Melanin. 51 Mercator's projection, 103
Metaphysics. 119 Kokusaijin, 139
Militar\- regimes:
Kurdish dissidence. 120
dictatorship.
306
secular, 126
Language,
13,
86-87, 96, 99, 108, 140. 158.
249-253. 255, 317-318, 321, 323. 326-327; assimilation,
as
MLxed-bloods. 70. 86
wedge. 13-16.
18.
68
bilingualism, 249
common, 13-20, law
(Bill 101,
(Bill 178,
natural.
Moral:
ambivalence. 157
Quebec), 323
13-18,20
primary, 319 security,
Modernity, 124;
postmodern, 124
Quebec), 319-321, 323,
326-328 law
MLxed-rehgion couples, 152 Modernization, 119. 120, 219
36, 40, 76, 98, 156
205
dialects,
Minorit>- rights, 301;
movements. 309
242
13-15
as bond,
Mihtary rule (Nigeria), 304-308
328
Lawlessness:
authorit>'.
284
Morality:
common, 157 public.
Moscow
306 putsch (1991), 236, 254
criminal,
307
"Mother Russia," 108
political,
305
MtiDNA
Legitimacy:
Communist Yugoslavia, 264
(mitochondrial
polygenic
tree.
DNA), 58-59;
59
"Muddling through,"
17,
326
33S-334
Subject Index
Multiethnic French schools, 326
consciousness, 302
Multinational federalism, 264
idea,
Multiparty politics, 214
ideology, 135
Myth,
267
Tito,
361
106
liberation
movement, 171, 193
liberation organization, 179
NAFTA, "Nasty
330, 335
minorities, 28, 229, 239,
248-249, 256,
281-282,287,290
of disorder," 12
bits
"Natalist" policies, 327
movements, 300-301, 315
Nation, 26, 108,261;
question, 315,
263
building, 197, 233,
genius, 99
state,
medieval meaning particularisms, state,
of, 93,
95-96
320
257
rights,
253, 256
National Longitudinal Survey of Youth (NLSY),
69
307
103-105, 109, 112, 261, 283-285, 290,
292,299,319
Nationalities, 305; sub-nationalities,
305
Neo-Confucian approach, 285
Jewish, 174
Nihonjinron, 131, 134-143
submerged, 28 Nationalism, 76, 93, 96-97, 102, 106, 112, 119,
DNA,
Nuclear
58
131-135, 137, 140, 159-160, 162, 198, 228, 233, 247-248, 252, 261-263, 265-266, 317;
aUure
of,
Opsahl Commission, 149-151, 156-158,
American, 98, 105 anti-imperialist,
162-163
290
Chinese, 283, 287, 292-294 civic,
Origin legend, 37, 159-161 Other/other, 123, 125-126,
333
informal, 131-132, 134, 136 defensive, 269 of,
111,118,334;
Partition Plan (1947),
Peace process: Arab-Israeh, 189, 341, 343-345
Macedonian, 265
"Neo- Israelite," 97
in,
172
Patriotism, 100, 106
leaders, 301
political,
334
Partition,
"109, 111
Palestinian,
movement, 172, 194
Palestinian problem, 171, 174
"hard, " 109 "soft,
Palestinian national
Palestinian people, 170-171, 193, 199-200,
94
ethnic, 109,
pride
288
131-134, 136, 140, 143
cultural,
essence
OECD countries, 317 "Operation Anfal," 209-210
330
Northem
196-199
Ireland, 163
Pentacostalism, 124
132
Personal knowledge, 8
101
Plessy
V.
Ferguson, 66
primary, 137
Pluralism, 120
Quebec, 315-316, 318, 323-324, 326, 329,
Pogroms, 111,174,256
331-332,335; distinct society,
Poison gas, 2 1
322-323
Politics/political:
neo-nationalism, 317, 321 socio-cultural uniqueness,
secondary, 137
as warfare,
322
class,
304
303
community, 28, 116,232
Serbian, 269
competition, 304-305
revolutionary, 98
ethnicity,
xenophobic, 100
loyalty,
National/Nationalist:
chauvinism, 343
299-300, 302-303, 306, 308
300
movement, 315 participation,
300-301
202
1
362
1
1
Subject Index
preference, 77, 80
Politics/political {cont.) parties,
301-302, 305, 318
pluralism,
politics,
302
power:
Racism,
loss of,
308
monopoly
as an
of,
308
12, 63,
80
75-76, 82-86, 88, 299;
autonomous
social value, 8
80
caste,
sovereignty, 332 stability,
72
prejudice, 2-3, 53,
color and aesthetics, 64, 76-80, 83
306
"black and beautiful," 78
Popery, 152
"black but beautiful," 79
Productive intellectuals, 138
color-line, 7
Post-Cold War, 117
color prejudice, 82
Protestantism,
96
visible minorities,
Provide Comfort operation, 2 1
modem,
Puritanism, 97
orgins of, 3, 79, 82
3,
327
82
persistence of, 8
Quebec: allure of,
systematic, 89
330
Rationalism, 107, 120
Independence Movement, 317--319,330 question,
334-335
Reason, 85, 120
Reason and romance, 37
"Quiet Revolution," 317, 328- 329 separatism, 319-320, 324, 328-330, 332,
334-335
Recognition by the international community
31-32
Reform
sovereignty referendum (1980) ,319,329,
331-332
Bill
of 1832 (England), 99
Reformation, 96, 104, 285
Refugees (Palestinian), 201
sovereignty referendum (1995), 316, 324-325, 330, 332-335 transition costs, 329,
Regional (Nigeria):
governments, 303
333
legislatures, 301,
Race, 75-76, 84, 87;
303
307
particularisms,
Religion/religious, 108, 111, 117, 119-124, 128,
blind labor market, 69
159,281-282,308;
biological determinism, 53
definition of,
biological myths, 7-8,
121-122
anti-Semitism, 87-88
50
classificatory schemes, 50, 59,
83-84
and
liberation,
21-23
monogenism, 53
and oppression, 21-23
neoteny, 54-55
and racism, 20-2
polygenism/polygenesis, 53--54, 83-84
definition of, 4-5, 49,
58-59
lack of scientific basis for, origin of, 2,
97, 172;
6-7
84-86
social constructions,
tolerance and intolerance, 23
God's chosen people/the Elect of God, 24, 45,
recapitulation, 55
Agents of God, 127 identity,
86
150
minorities,
127,251
307
particularisms,
Racial:
competition and conflict, 89
phenomena 122-123
differentiation, 51
retribalist, 26,
degradation, 71, 84, 86-87
tribalist/tribalism,
inferiority vs. superiority, 6-9, 20, 55, 65, 67,
withering, 124
128-129
Zoroastrian, 80
73 inheritance, 9,
125
66
Renaissance, 97
integration, 116
Reproductive intellectuals, 138
paranoia, 343
Revolution of the mind, 235
,
1
Subject Index
27
Right of return, 181-182, 198
integrity of,
Ritual, 133
loyalty to, 28, 33-34,
Roman ecclesiastical
imperium, 103
106,305
maintenance, 32
Romanticism, 85, 89, 99
multinational/multiethnic, 27 nation-state, 104, 106, 109, 112,
Sabra, 343-344
SCUD missiles,
90
Jewish, 174
177
nationalism, 103-105
Sectarian consciousness, 157-158
non-sectarian, 192
119-120
no res publica, 305-306
Security, 180-181; cultural,
nuisance, 307
317
oppression, 299
internal, 174, linguistic,
201
Palestinian, 171, 177-182, 190-191, 194, 196,
328
200-201,341-342
national, 175,
340
personal, 176,
340
parceling and privatization, 305
power, accumulation, and aggrandizement,
Self-determination, 23, 26-27, 169, 171, 303;
Jewish, 170
304^305 state-seeking attitudes and behaviors, 27-28,
Palestinian, 196, 198
Self-rule (Kurdish), 210,
30-33,227-229,231-243 219
unitary, secular (Turkey),
Settlers/settlement, 173, 182-183, 196,201;
Labor Zionism,
82
1
Sickle-cell anemia,
213
"State nation," 108-109, 248;
Nonstate nations, 262
52
State Shinto, 137
Slavery, 79, 82-84, 107 Sliianie,
174,261,
283-285,290,292,299 319;
Scientific Revolution,
Secularization,
Substance and symbol, 341
249 Suicide bombings, 340-342, 345
Socialism/socialist:
Superpowers, 127
one family," 269
"in
order,
290
self-management
at
Terrorism, 174-175, 346;
home, 265
renunciation of, 195
Social justice, 174 Social welfare system, absence of (Nigeria), 300
Sovereignty-association, 315, 319-320,
331-332
Soviet nationalities policy, 248-249
terrorist, 128, 153,
tribalist
157
groups, 128
Theater of the absurd, 120
Thinking
Species, definition of, 49
elites,
133-134, 136-138, 140-142
Tiananmen Incident of 1989, 294
State:
arbitrary
Tolerance, 128
and coercive, 300
as a hostile force, 300, 304, bi-national,
309
174
building, 32-33, 137, 233, 236, 239-240, 243,
263, 269, 299, 306, 309 colonial, 3(X)
"democratic secular," 192-195 disintegration, 34, 112, 243, 308;
Canadian, 331
Tradition/traditional, 128; race,
63-64
sohdarity groups, 32-33, 300 traditionalism, 125
values, 133
Transgenerational: cognitive deficit, 67
memory,
25, 36-38, 128
Russian, 237
Trans-Samarian Highways, 196
Yugoslav, 261, 274
Tribalism, 121-122, 124,213;
ethnic, 112
expansion, 229, 231 failure of,
363
305
generalized crisis of, 229
Balkan, 261 Tribalist
groups and impulses, 25, 124;
de-tribalized Kurdish radicals, terrorist possibilities,
128
208
364
Subject Index
Tribes/tribal, 206,
leaders,
U.S. Census (1990), 59
216-217;
217
U.S. Constitution, 18,72
Us/them (we/they) divide, 1-3, 12-13, 15-16,
ethnonationalist, 120 insurrections, 207,
24^25, 40, 141, 177, 261, 342-343
213
Troubles (Northern Ireland), 149-150, 153, 157, 159,
161-162
Vertical stratification 134
Two-state solution, 190, 193, 195-196, 198-200,
Violence, 149, 162, 176, 181, 219-220, 231, 273,
342
334;
communal, 239 Uncle Tom's Cabin, 65 Unionists (Northern Ireland), 156
Waka, 142
Union republics (former USSR), 237-239
"Wars against human nature," 22
Uniracial Japanese society, 135
"We
Unitary government/state (Nigeria), 302, 306
World War
UN
Security Council. Resolution 181, 172, 182,
together," I,
343
102, 105-106, 108, 206-207, 217,
263
194
UN Security Council. Resolution
194, 182, 198,
Xenophobia, 93, 100, 299
201
UN Security Council. Resolution 242,
171,
195-197
UN Security Council. Resolution 688, 210
Zionism/Zionist: ideology, 191
pragmatism, 190
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Race, Ethnicity, and Nationaiism at the End of die itoendefli Century Winston A. Van Home, editor
Foreword by Carol Edler Baumann "Sectarianism, ethnonationalism, and racialism have divided centuries, yet, these fabricated, unnecessary, in
human
populations for
and dangerous formations are rarely addressed
global terms. Global Convulsions redefines the problem in a cross-disciplinary
confrontation with the horrors of convulsions."
— Leonard
Harris,
Purdue University
Global Convulsions affords the reader an array of observations, data, and insights pertaining both local and global events around the issues of race, ethnicity and nationalism the twentieth century. scientific contexts,
It
and
scrutinizes closely the
calls out a
and nationalism. Through case
phenomenon of race
in
at the
to
end of
both historical and
range of sociohistorical forces that have engendered ethnicity
studies, the contributors bring into sharp focus
an array of ethnic
cleavages, the difficulty of the struggle for national rights where language and religion draw a
hard ethnic divide, and the actual corrosiveness of ethnicity and nationalism on the
The enduring value of Global Convulsions calls out.
It
makes
plain that the state
is
no salvation
exclusivism, and/or racial paranoia. Indeed, the force perpetuating these state
has
much
phenomena.
lies in its
Still,
in relation to national
state, if
state.
global reach and the patterns that
not the cause,
is
often a
according to the contributors to
potential to transcend the divides of race, ethnicity,
it
chauvinism, ethnic
this
consummative
volume, the
and nationalism.
And
so, in
Global Convulsions does one discern the possibility of "us/them" becoming "us together."
'The strengths of this book are subject matter and timing. The exceptional group of authors
whose
editor has assembled a
most
individual chapters blend together nicely and provide both
perspective as well as prescription for a range of issues and concerns that glare at us from the
pages of contemporary events and history. Nationalism and anti-Semitism
—
are again primary issues for national
its
progeny— xenophobia,
and international discussion, and
racism, this
book
represents an outstanding contribution to that discussion."
— James
Winston A. Van
Home
is
F.
Barnes, Ohio University
Professor in the Department of Africology,
University of Wisconsin.
A
volume
The
in the
SUNY series. ISBN 0-7914-3235-1
Social Context of Education
90000>
Christine E. Sleeter, editor
STATE UNIVERSITY OF NEW YORK PRESS Visit
our
web
site at:
http:\\www.sunypress.edu
9
780791"432358