Journal of International & Global Studies
Mission Statement: the Journal of International and Global Studies provides a multidisciplinary
forum for the critical discussion and reflections on the consequences of globalization throughout
the world. The editors welcome essays and book reviews that deal with globalization from
economists, historians, political scientists, anthropologists, sociologists, geographers, linguists,
religious, ethnic, or environmental studies specialists, cross-cultural education, media and
communication researchers, or other humanities or social science scholars that have an
international and global focus. One of our goals is to help undermine the fragmentation of
specialization within the international academy by emphasizing broad interdisciplinary
approaches to the comprehension of globalization in all of its many different forms and
implications for different regions of the world.
Editorial Board
Center for International and Global Studies, Lindenwood University
Chief Editor: Raymond Scupin, Ph.D., Director: Center for International & Global Studies,
Lindenwood University
Associate Editor: Ryan Guffey, Ph.D., Associate Director: Center for International & Global Studies,
Lindenwood University
Associate Editor: Joseph Cernik, Ph.D., Professor of Political Science & International Studies,
Lindenwood University
Editorial Assistants: Rebecca Goulart, Rogelio Leal
International Advisory Board:
David L. Carr, Ph.D., University of California Santa Barbara: Geography
Joseph Chinyong Liow, Ph.D., Nanyang Technological University in Singapore: S. Rajaratnam School of
International Studies
Joan Ferrante, Ph.D., Northern Kentucky University: Sociology
Ronald Kephart, Ph.D., University of North Florida: Anthropology
Carool Kersten, Ph.D., Kings College London: Religious Studies
Gordon Mathews, Ph.D., Chinese University of Hong Kong: Anthropology
Gyan Pradhan, Ph.D., Eastern Kentucky University: Economics
Rodrigo Tarté, Ph.D., Ciudad del Saber (City of Knowledge), Panama: Ecology
Richard Wilk, Ph.D., Indiana University: Anthropology
Imtiyaz Yusuf, Ph.D., Assumption University, Thailand: Religion & Philosophy
Introduction
Welcome to our second issue of the Journal of International and Global Studies. Our
first issue was very successful and we have had many scholars, from many different disciplines,
subscribe, for free, to our online journal. If you would like to subscribe to the journal, just click
on the tab at the top of the page below the journal title. We will be sure to send you the web link
to the journal so that you can read and download the essays in accordance with your interests.
We are pleased to have another group of excellent essays for our second issue. Our lead
essay reflects the interdisciplinary focus of the journal because it is a multi-authored piece on a
significant ailment known as Chagas disease that has had an impact on various tropical areas
throughout the world. As the essay notes, this endemic disease has affected some 8 to 11 million
people in Latin America. The authors have been conducting epidemiological studies in the
Arequipa region of southern Peru focusing on risk factors such as migration, settlement patterns,
population growth, and urban poverty as sources of how the disease is transmitted rapidly. All of
these authors have been engaged in both the epidemiological studies as well as suggesting
preventative methods for containing the transmission of this disease. The medical
anthropologist, Joseph Bastion (University of Utah), who was a pioneer in the study of Chagas
disease, stated, as a peer reviewer, that the essay was a state-of-the-art comprehensive account of
the problem in southern Peru and Latin America.
The second essay in this issue is a remarkably sophisticated theoretical account of how
what has been described as late capitalism and hypermodernity has influenced actual local
developments throughout various regions of the world. Ismael Vaccaro describes how the hypermobility and flexible manufacturing platforms associated with these new global trends such as
reducing the costs of labor, or avoiding environmental regulations have had radically
transformed the social and ecological rural landscapes in peripheral locales across the world.
Drawing on the work of anthropologists such as anthropologist James Ferguson’s research on the
copper industry in Zambia, Vaccaro explores how the mining industries, textile firms, auto
companies, timber mills, fish processing, and rubber plantations have outsourced and relocated
their manufacturing and corporate agribusinesses to leave behind devastated local moral
communities across the world. Although these trends developed with early industrial processes
in England that disrupted local rural areas during the nineteenth century, in the postindustrial
age, these developments that have created economic recessions, depopulation, and other losses
have become much more frequent and global. The essay concludes with contemporary sources
such as the Wall Street Journal to reflect on recent economic and global trends that are ongoing.
We believe that this essay, with its theoretical framework of hypermodernity that draws on a vast
range of materials will facilitate more productive research on these processes in the future.
Our third essay is an empirical study of the familial and other institutional factors that
influence academic achievement among African American and other African and Caribbean
students in science, technology, engineering, and mathematics (STEM) at one university. Noting
that in general African American student achievement is below that of other groups especially
with respect to science, technology, engineering, and mathematics, the author utilizes the
heuristic Cultural-Ecological Theory of Minority School Performance developed by
anthropologist John Ogbu, while indicating the limitations of that model, to measure the factors
that result in academic achievement of some African Americans compared to other African and
Caribbean students. The study indicates that the African and Caribbean students are much more
academically integrated to campus academic life than the African American students. The
author reviews the studies of African American student achievement in math and science and
retention and graduation rates in comparison with other ethnic groups that conclude that
differences in financial support, academic skills, social peer cooperation and integration,
supportive faculty, advisors, and administrators, as well as family involvement are important
significant factors that account for differential academic achievement. Williamson’s study has
made a definite contribution to this important area of research and demonstrates how effective
strategies and policies such as facilitating a conducive campus culture can benefit African
American males within the science and mathematics disciplines.
The interesting essay by Linda O’Brien Rothe on a song tradition based on the famous
K’iché Popul Vuh text among the Tz’utujil Maya in the Guatemala highlands in the town of
Santiago on the southern shores of Lake Atitlán demonstrates both the retention and loss of
tradition subjected to the globalizations processes introduced by the Spanish continuing through
the devastating 36 years of violence in those communities in the recent era. Despite all of these
changes since the 16th century, the Tz’utujil song texts that have been documented and recorded
and analyzed by the author illustrate how some aspects of cultural tradition has been preserved
since the pre-Hispanic period. The author provides a substantive account of the symbolic sacred
geographical and ecological concepts maintained by the Tz’utujil Maya through their oral
literature and reinforced within their song texts. Although the author concludes that comparing
the Tz’utujil Maya song texts with the K’iché Popul Vuh text is like comparing apples and
oranges, her analysis tends to demonstrate that the original Popul Vuh text may have been
constructed and maintained with an important mnemonic musical component.
David Aworawo examines the historical context and recent political interrelationships
between the country of Nigeria and Equatorial Guinea. He documents the numerous domestic
political and economic changes that have resulted in conflict and discord between these two
countries. Aworawo provides the historical and global circumstances of colonial and postcolonial and the post-Cold War and post-apartheid intra-African politics that influenced the
negative political developments between these countries. Following the overthrow of the
Nguema regime, and the end of the Nigerian military government of General Olusegun Obasanjo
that handed over power to the civilian government of Shehu Shagari in 1979, relations began to
improve. However, the continued ill-treatment and mass-murder of Nigerian workers reported in
Equatorial Guinea soured relations between the two states. As Equatorial Guinea transformed its
economy from a cocoa producing one to an oil-based exporting one, less Nigerian immigrants
were attracted to the area. This resulted in less ethnic conflict between the two countries. The
end of the Cold War and end of Apartheid which had increased discord between Nigeria and
Equatorial Guinea began to diminish. This essay provides insight into one of the neglected
political arenas of African politics.
In the “The Art of Governing the Self and Others in the Christian Philippines” Pak Nung
Wong draws on Foucault’s conceptions of governmentality and other post-structuralists to
produce an intriguing ethnographic account of the creolization of values in an interethnic frontier
region of the Cagayan valley area where the traditional power/knowledge structure based on the
precolonial and post-colonial padrino system and Catholic ritualized kinship compadrazgo are
being developed to construct creative innovations in local communities, resolve interethnic
conflict, and place constraints on individual self-aggrandizement. Through illuminating and rich
ethnographic detail of particular cases, the author demonstrates how the padrino patronage
system is creatively used in novel circumstances in this region to coordinate interests and
reciprocal systems of exchange and power such as gifts, favors, and other kinship and non-
kinship based political resources into a fabric of symbiotic codes and social practices that govern
interpersonal relations and govern self-interest. This frontier community in the Philippines has
creatively produced its sophisticated creolization of traditional precolonial cultural values and
postcolonial political tendencies to manage conflict violence and inter-ethnic relationships.
The final essay in our second issue compares and contrasts the Indo-Trinidadian diasporic
communities in North America (Toronto, Los Angeles, Washington, and Miami) and London,
England and how they struggled to define their distinctive identities in relationship to the AfroCaribbean and Asian Indian immigrant communities. Noting that race-relations in Trinidad and
Tobago their perceived second-class status, along with increasing crime rates were important
ingredients and push-factors for migration for these Indo-Trinidadians, these diasporic
communities found themselves categorized by North Americans and the British as “Carnival
Citizens.” Despite these negative stereotypes, the Indo-Trinidadians adapted to their new
circumstances and along with the increasing multicultural policies in North America and
England, they have assimilated successfully into their new surroundings.
Along with the essays, just as in our first issue, in the second issue we have ten book
reviews of significant works that have been produced in various fields. The book reviews as
well as the essays are intended to attract those scholars who have an interest in interdisciplinary
research and in globalization and its consequences throughout the world. Again, as we stated in
our first issue of the journal, we intend to maintain this standard of generalized interdisciplinary
readability for all of our essays and book reviews in future issues of our journal. We hope that you
will subscribe to our journal to read future essays. We also invite you to submit essays and suggest
possible book reviews for the journal.
Sincerely,
Raymond Scupin, Ph.D.
Director: Center for International and Global Studies
Professor of Anthropology and International Studies
Lindenwood University
Table of Contents
Essays
1-21
A Multi-disciplinary Overview of Chagas in Periurban Peru
Sarah McCune et al.
22-44
Theorizing Impending Peripheries: Postindustrial Landscapes at the Edge of Hypermodernity’s Collapse
Ismael Vaccaro
45-73
Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting
Their Persistence in College
Shane Y. Williamson
74-88
The Poetics of the Ancestor Songs of the Tz’utujil Maya of Guatemala
Linda O’Brien-Rothe
89-109
Decisive Thaw: The Changing Pattern of Relations Between Nigeria and Equatorial
Guinea, 1980-2005
David Aworawo
110-146
The Art of Governing the Self and Others in the Christian Philippines
Pak Nung Wong
147-162
Mastering the Midas Touch: The Indo-Trinidadian Diaspora in North America and
England, 1967-2007
Jerome Teelucksingh
Book Reviews
163-165
Jeffrey R. Chwieroth. Capital Ideas – The IMF and the Rise of Financial Liberalization.
Princeton: Princeton University Press (2010)
reviewed by Anthony Clark
166-168
Daniel P. Erikson. The Cuba Wars: Fidel Castro, the United States, and the Next
Revolution (2008)
reviewed by Derek L. Elliott
169-171
Jeroen Huisman (Ed.). International Perspectives on the Governance of Higher
Education: Alternative Frameworks for Coordination (2009)
reviewed by Ryan V. Guffey
172-174
Mark E. Mendenhall, Joyce S. Osland, Allan Bird, Gary R. Oddou, and Martha L.
Maznevski. Global Leadership Research, Practice and Development (2008)
reviewed by Lynda Leavitt
175-177
Daya Thussu (Ed.) International Communication: A Reader (2010)
reviewed by Cristina Archetti
178-182
Dani Rodrik. One Economics, Many Recipes: Globalization, Institutions and Economic
Growth (2007)
reviewed by Mukti Upadhyay
183-186
Robert Wright. The Evolution of God (2009)
reviewed by Timothy R. Butler
187-189
Barbara Ehrenreich. Dancing in the Streets: A History of Collective Joy (2006)
reviewed by Ann Canale
190-192
John Agnew. Globalization and Sovereignty (2009)
reviewed by Meredith Marsh
193-194
Muhammad Khalid Masud, Armando Salvatore, and Martin van Bruinessen (Eds.).
Islam and Modernity: Key Issues and Debates (2009)
reviewed by Imtiyaz Yusuf
A Multi-disciplinary Overview of Chagas in Periurban Peru
Sarah McCune,1 Angela M. Bayer,1,2 Gabrielle C. Hunter,1,6 Natalie M. Bowman,3 Juan G.
Cornejo del Carpio,4 Cesar Naquira,5 Robert H. Gilman,1,6 Caryn Bern,7 Michael Z. Levy8
1 Asociación Benéfica Proyectos en Informática, Salud, Medicina y Agricultura (AB PRISMA),
Lima, Peru, 2 Division of Infectious Diseases, David Geffen School of Medicine, University of
California, Los Angeles, Los Angeles, CA, USA, 3 Johns Hopkins Hospital, Department of
Internal Medicine, Baltimore, MD, USA 4 Dirección Regional del Ministerio de Salud, Arequipa,
Peru, 5 Universidad Peruana Cayetano Heredia, Lima, Peru, 6 Department of International
Health, Johns Hopkins Bloomberg School of Public Health, Baltimore, MD, USA, 7 Division of
Parasitic Diseases, Centers for Disease Control and Prevention, Atlanta, Georgia, USA, 8 Center
for Clinical Epidemiology and Biostatistics, Department of Biostatistics and Epidemiology,
University of Pennsylvania School of Medicine, Philadelphia, PA, USA
Abstract
There are between 8 and 11 million cases of America Human Trypanosomiasis,
commonly known as Chagas disease, in Latin America. Chagas is endemic in southern
Peru, especially the Arequipa region, where it has expanded from poor, rural areas to
periurban communities. This paper summarizes the findings of four studies in
periurban Arequipa: on determinants of disease-vector infestation; on prevalence,
spatial patterns, and risk factors of Chagas; on links between migration, settlement
patterns, and disease-vector infestation; and on the relationship between discordant
test results and spatially clustered transmission hotspots. These studies identified two
risk factors associated with the disease: population dynamics and the urbanization of
poverty. Understanding the disease within this new urban context will allow for
improved public health prevention efforts and policy initiatives.
Discovered in 1909 by Brazilian physician Carlos Chagas, American Human
Trypanosomiasis is a chronic and potentially life-threatening illness found throughout
Latin America (Moncayo, 2003). Indeed, it is estimated that there are between 8 and
11 million cases in Mexico and Central and South America (Centers for Disease
Control [CDC], 2009). Chagas disease, as it is most commonly known, is endemic in
southern Peru, especially in the region of Arequipa. Once thought to be limited to
poor, rural areas, the disease is now appearing in the periurban communities that
surround Arequipa City, the capital of the region (Cornejo del Carpio, 2003).
Journal of International and Global Studies
2
Understanding the urbanization of Chagas disease will allow public health and
medical professionals to better combat the further transmission of the disease.
After providing an overview of Chagas and introducing the scope of the disease in
Latin America, this paper will summarize the findings of four recent studies
conducted in periurban districts in Arequipa. Ultimately, this paper seeks to identify
the risk factors associated with Chagas infection in Arequipa’s periurban
communities.
A Multi-disciplinary Overview of Chagas in Periurban Peru
3
What is Chagas Disease?
Chagas, like other neglected tropical diseases, is generally found among
marginalized populations in poor countries. Indeed, individuals infected with the disease
tend to earn lower incomes, suffer from chronic malnourishment, have lower educational
levels, and live in poor-quality housing (Franco-Paredes et al., 2007). The disease not
only stems from poverty, but also perpetuates the so-called “cycle of poverty.” Since
Chagas symptoms manifest themselves in the most economically productive members of
the population, the disease renders many unable to sustain a livelihood (Moncayo, 2003;
Franco-Paredes et al., 2007; Tarleton, Reithinger, Urbina, Kitron, & Gürtler, 2007).
According to the World Health Organization, Chagas disease causes more
morbidity and mortality than any other parasitic disease in the Western Hemisphere
(World Health Organization [WHO], 2002). Up to 11 million individuals in Latin
America are infected with the disease, and it is estimated that the disease accounts for a
loss of 670,000 disability-adjusted life years annually (WHO, 2004; CDC, 2009).
Moreover, the Inter-American Development Bank calculated that the economic burden of
Chagas was five to ten times higher than malaria (Inter-American Development Bank
[IADB], 2002). Though historically endemic to rural areas, within the past two decades,
Chagas disease has become increasingly urbanized and is now found in cities throughout
the Americas (WHO, 2002; Bastien, 1998).
Transmission
Chagas disease primarily occurs through vector-borne transmission by various
species of triatomine bugs. In the transmission process, the protozoan parasite
Trypanosoma cruzi (T. cruzi) is transferred to a human or other mammal through the
feces of the triatomine insect vector. Typically, the feces enter though the insect bite
wound or through the host’s mucus membranes (Kirchoff, Weiss, Wittner, & Tanowitz,
2004). Known as the “kissing bug” because it usually bites the host’s face, the triatomine
insect is the main Chagas vector in the Southern Cone of South America (Bastien, 1998;
CDC, 2009; Dias, Silveira, & Schofield, 2002). Furthermore, it is highly synanthropic, or
ecologically associated with humans (Zeldon & Rabinovich, 1981; Cohen & Gurtler,
2001).
Another transmission route for Chagas disease is by blood transmission. Until
recently, few countries screened donor blood for the T. cruzi parasite, and infectivity risk
for individuals who received contaminated blood was estimated to be as high as 20%
(WHO, 2002). Ten South American and three Central American countries now screen all
blood donations (WHO, 2002). Transfusionial transmission presents a challenge to both
endemic and non-endemic countries. Chagas-infected migrants unknowingly transport
the disease to Europe and the United States, where blood was not routinely screened for
Journal of International and Global Studies
4
T. cruzi until 2007 (WHO, 2002; Bern, Montgomery, Katz, Caglioti & Stramer, 2008;
Piron et al., 2008; Bastien, 1998).
Chagas may also be transmitted congenitally—from mother to fetus—or through
organ transplantation, as well as through the consumption of T. cruzi-contaminated foods
or liquids (Benchimol Barbosa, 2006; Gurtler, Segura, & Cohen, 2003; Dorn et al., 2007;
Tarleton et al., 2007). These transmission routes, however, are less common.
Symptoms and Signs
Though the severity and course of the disease affect individuals differently, there
are generally two stages of Chagas disease, acute and chronic, both of which can be
dangerously asymptomatic. Indeed, most cases never come to the attention of a
physician. Persisting for the first few weeks or months of infection, symptoms in the
acute stage include body aches, loss of appetite, fever, fatigue, headache, rash, diarrhea,
and vomiting. The liver, spleen, and glands may also become enlarged. The most
identifiable sign of acute Chagas infection, however, is Romaña’s sign, in which the
eyelid and face swell. While most symptoms are resolved over time—acute Chagas
disease is rarely fatal to otherwise healthy adults and children—the infection will persist
if left untreated (CDC, 2009). Chronic Chagas, thus, ensues.
During the chronic stage of Chagas, the disease remains asymptomatic, though it
is relatively common for individuals to develop cardiac and digestive problems. Indeed,
between 20 to 30% of Chagas-infected individuals suffer from such diseases as
cardiomyopathy (enlarged heart), arrhythmia (varied heart rate or rhythm), cardiac arrest,
megacolon (enlarged colon) and megaesophagus (enlarged esophagus) (Bastien, 1998;
CDC, 2009). Chronic Chagas disease is particularly dangerous because many individuals
are unaware of the infection until major complications occur. Population screenings are
therefore important for early detection and treatment (Bern, Montgomery, & Herwaldt,
2007).
Treatment
Test results for Chagas disease are sometimes inconclusive due to discordant
testing outcomes. Confirmation of the disease requires that an individual test positive on
two or more serological tests, which generally include a screening and confirmatory test
(WHO Expert Committee, 2000; Bern et al., 2007). An individual, for example, may test
positive for Chagas during the initial screening but negative in the confirmatory testing.
In such a case, current public health policy usually considers the results to signal a false
positive, and the individual is not typically offered treatment (Leiby et al., 2000). The
lack of optimum diagnostic tests complicates the epidemiological understanding of the
disease, as well as its clinical management.
A Multi-disciplinary Overview of Chagas in Periurban Peru
5
There are two treatment options for Chagas disease: parasitic and symptomatic
treatment. Parasitic treatment involves the actual killing of the T. cruzi parasite and is
generally most effective after initial infection and during the acute stage (CDC, 2009).
Nevertheless, anti-parasitic treatment has been found to be efficacious in infected
children in the intermediate stages of the disease and has even been shown to slow
disease progression in adults (Andrade et al., 1996; Viotti et al., 2006). However, antiparasitic treatment does “lack optimal efficacy” (WHO, 2000). Furthermore, the
treatment is known to have severe side effects, and doctors consequently limit its use.
Anti-parasitic drugs, moreover, are expensive for many Chagas-infected individuals,
though many governments do subsidize the cost of treatment (Ministerio de Salud del
Perú [MINSA], 1998; WHO, 2002; Levy et al., 2009).
Symptomatic treatment for chronic Chagas requires long-term care to manage the
cardiac and digestive ailments that develop in later stages of the disease. Such treatment,
however, is often expensive and requires medical infrastructure that may not exist in the
country or may be inaccessible to the poor (WHO, 2002).
International Initiatives to Combat Chagas
Several Chagas-endemic countries in Latin America have combined efforts to
combat the disease. Together with the Pan American Health Organization, the Ministries
of Health from Argentina, Bolivia, Brazil, Chile, Paraguay, and Uruguay launched the
Southern Cone Initiative to Control/Eliminate Chagas (INCOSUR) in 1991. Peru later
joined the Initiative. INCOSUR aimed to coordinate triatomine elimination campaigns
through clearly defined objectives and quality control (Schofield & Dias, 1999; Silveira,
Umezawa, & Luquetti, 2001; Dias, Silveira, & Schofield, 2002). Each country finances
and manages its Chagas-control campaigns, and meet annually to share information,
methods, and lessons learned (Skolnik, 2008). Many of the anti-Chagas programs to date
include systematic and repeated sprayings of insecticide, as well as rebuilding or
improving homes with materials inhospitable to triatomine insects (Silveira et al., 2001).
In general, INCOSUR has been successful. Indeed, between 1992 and 2001, 2.5
million homes were sprayed, which most likely contributed to the halting of disease
transmission in Chile and Uruguay, as well as parts of Argentina, Brazil, and Paraguay.
Additionally, the number of new cases in South America fell from 700,000 in 1983 to
200,000 in 2000, and the number of annual deaths was halved to 22,000 (Skolnik, 2008).
Transfusional and congenital transmissions have also declined due respectively to donor
screening at blood banks and early detection programs (Silveira et al., 2001; Skolnik,
2008).
Chagas Disease in Peru
Journal of International and Global Studies
6
It is estimated that 192,000 Peruvians are infected with Chagas disease, which is
endemic to southern Peru and to areas in the north of the country (PAHO, 2006; Remme
et al., 2006). The northern regions of Cajamarca, San Martin, Ucayali, and Amazonas are
home to 13 triatomine species that can be infected by the T. cruzi parasite (CubaCuba,
Abad-Franch, Roldan Rodriguez, Vargas Vasquez, Pollack Velasquez, & Miles, 2002).
These species are domiciliary, peridomiciliary, and wild, and they present an interesting
opportunity for research into the eco-epidemiology of villages in the Amazon Basin. Due
to a lack of current epidemiological and entomological data, however, these regions are
not included in control programs (CubaCuba et al., 2002). This paper will focus only on
the Chagas-endemic areas in southern Peru.
Approximately 80% of all cases in the south of the country occur within the
region of Arequipa, though the disease has been reported in Tacna, Moquegua,
Ayacucho, Ica, and Apurimac. Triatomine infestans, the sole vector of Chagas disease in
southern Peru, thrive between 10 to 3,075 meters above sea level and are found between
13.0 to 19.0 degrees latitude south, rendering the area a perfect environment for
infestation (Cornejo del Carpio, 2003).
Compared to individuals in Bolivia, another Chagas-endemic country, Peruvians
have relatively poor immunological response to infection. Indeed, when two types of
rapid tests were performed on specimens from the two countries, the Bolivian samples
were 87.5% sensitive with Stat-Pak and 90.7% sensitive with Trypanosoma Detect, both
with 100% specificity. Peruvian specimens, however, showed a much lower sensitivity:
26.6% to 33.0% with Stat-Pak, and 54.3% to 55.2% with Trypanosoma. Both also had
specificities below 98%. These results may be caused by the difference in parasite
heterogeneity. Moreover, they could signal a major difference in immunologic response
by location (Verani et al., 2009).
The Peruvian Ministry of Health (MOH) has made concerted efforts to interrupt
Chagas transmission. In 2002, the MOH launched the Project to Control Chagas Disease
or Proyecto de Control de la Enfermedad de Chagas, the objective of which was to use a
spray-based approach to eliminate the triatomine vectors in 18,000 houses in Arequipa
(MINSA, 2005). Unlike other INCOSUR-affiliated vector-control campaigns, which
primarily targeted rural areas, the MOH initiative was concentrated in periuban districts
(Levy et al., 2009). A similar model has been adopted in Chagas-endemic areas in
northern Peru, and the MOH is receiving technical and financial support from the Pan
American Health Organization and the Canadian International Development Agency
(MINSA, 2005).
A Multi-disciplinary Overview of Chagas in Periurban Southern Peru
In southern Peru, as the disease moves into previously Chagas-free periurban and
urban areas, the epidemiology and ecology are adapting to the new context and are not
A Multi-disciplinary Overview of Chagas in Periurban Peru
7
yet entirely understood. The following four studies were carried out in various
communities of periurban Arequipa, Peru, and are mapped in Figure 1. Though distinct in
their methodologies and themes, each contributes key information to understanding the
dynamics and risk factors of Chagas disease in a periurban setting. Before reviewing the
studies, it is important to understand the context in which they were conducted.
Arequipa
Located in southern Peru, the department of Arequipa borders the departments of
Puno, Ica, Ayacucho, Moquegua, Apurímac, and Cuzco, as well as the Pacific Ocean (see
Figure 1). Between 2001 and 2008, the region’s economy grew an average of 7.8% a
year, and the region has a comparatively low rate of poverty—23.8%—to the national
average of 36.3% (Instituto Nacional de Estadística e Informática [INEI], 2002-2008;
INEI, 2007). Accordingly, Arequipa enjoys relatively high human development
indicators compared to the rest of the country. Life expectancy for men and women in the
department is 73.0 and 77.8 years, respectively, while national life expectancy is 70.5 for
men and 73.5 for women. At 17.3 deaths per 1,000 births, infant mortality is lower than
the national rate of 18.5 (INEI, 2007). Furthermore, a little more than half—53.2%—of
the population has some form of health insurance, compared to only 41.8% nationally
(INEI, 2008).
Journal of International and Global Studies
8
Figure 1. Map of the city of Arequipa and surrounding communities and study sites.
Eight provinces—Arequipa, Camaná, Caravelí, Castilla, Caylloma, Condesuyos,
Islay, and La Unión—constitute the department of Arequipa. The region’s population is
largely urban with 71.3% of Arequipeños living in Arequipa City, the capital. Most
commonly known as “Arequipa,” the regional capital is Peru’s second-largest city with a
metropolitan area of 904,931 residents organized into 29 districts (INEI, 2009). The city
sits at the foot of an inactive volcano in the southwestern Andes and has an altitude of
2,328 meters above sea level (INEI, 2008). The most populated districts of the city form
the metropolitan area, and some urban zones have population densities of up to 30,000
residents per km2. Between 2000 and 2004, the metropolitan area experienced a total of
2.4% population growth, and by 2015, Arequipa is expected to be home to 1,061,582
people. Two of the metropolitan districts, Cayma and Jacobo D. Hunter, are predicted to
grow at an annual rate of 11.2% and 10.0%, respectively (Swiss Contact, 2005). A
subsequent section of this paper will reveal that a high population density is a risk factor
for Chagas disease.
Arequipa has always been an industrial, agricultural, and commercial hub, as well
as an administrative center. Consequently, the city has been attractive to rural-to-urban
A Multi-disciplinary Overview of Chagas in Periurban Peru
9
migrants seeking better economic opportunities. Since the 1950s, Arequipa has been the
“focal point” of migration in southern Peru. In the past, rural-to-urban migrants typically
migrated first to the center of the city. However, due to high rents, overcrowding, and a
desire for a place of their own, more recent migrants moved to the peripheral agricultural
lands and founded squatter settlements in sparsely populated areas. Indeed, by 1956,
there were already 12 shantytowns, or pueblos jóvenes, with 13,000 inhabitants sprouting
around the city’s periphery (Schuurman, 1986). More formal settlement dates, however,
range from 1970 to 1995, though these shantytowns continue to be established (Bayer et
al., 2009).
Once established, these pueblos jóvenes began to serve as reception points for
new migrants, especially those with ties to friends or family already residing in the area,
as people tend to concentrate according to similar regional backgrounds (Schuurman,
1986). Though Chagas has typically been characterized as a “rural disease,” transmission
cycles of disease are well established in some urban pueblos jóvenes on the outskirts of
urban Arequipa (Levy et al., 2006; Bowman et al., 2008).
Periurban T. cruzi-infected Triatoma Infestans in Arequipa
Chagas has traditionally been characterized as a rural disease, and as a result,
there is little epidemiological information about disease transmission in urban areas. Levy
et al. (2006) thus sought to fill this knowledge gap by conducting a study to identify
determinants of triatomine infestation and population density in Guadalupe, a district in
periurban Arequipa. Additionally, in order to examine the risk for potential Chagas
transmission by these vectors in the community, the authors examined triatomines for T.
cruzi parasites (Levy et al., 2006).
The study, “Periurban Trypanosoma cruzi-infected Triatoma infestans, Arequipa
Peru,” was carried out in coordination with the first phase of the MOH’s vector control
program between November 15 and December 8, 2004 (Levy et al., 2006). During the
first round of the campaign, the MOH sprayed 374 houses and peridomestic structures in
Guadalupe using a deltamethrin-based insecticide. Field staff then spent one person-hour
per structure collecting triatomines from individual rooms and animal enclosures, as well
as noting the construction materials of each space. An adult from each household
responded to a survey concerning insecticide usage, cleaning practices, and potential
triatomine infestation (Levy et al., 2006). The data were then examined for two outcome
variables: presence of Triatoma infestans and insect population density, which was
calculated by the number of insects collected in one hour. Each outcome was
independently analyzed for rooms in human and animal structures (Levy et al., 2006).
Triatomine insects were present in both human dwellings and animal enclosures.
In total, 5,398 triatomine insects were captured: 2,270 from households and 3,128 from
animal enclosures or peridomestic structures. Over half (52.0%) of the 374 households in
Journal of International and Global Studies
10
the study were infested with triatomines and 72 (19.3%) sheltered T. cruzi-infected
triatomines. Moreover, 107 (13.0%) of the 803 animal enclosures surveyed contained
vectors and 31 (3.9%) were infested with parasite-infected vectors (Levy et al., 2006).
Keeping domestic animals in the yard or on the roof, as a food or income source,
is not uncommon in Guadalupe, and at the time of the survey, 263 (70.0%) of households
raised guinea pigs, dogs, rabbits, chickens, sheep, cats, turkeys, cows, or pigs. In general,
sheep and guinea pigs were kept in adobe and stuccoed structures, respectively, while
chicken-wire pens held rabbits. Data revealed multiple risk factors for triatomine
infestation stemming from these animal enclosures. Chicken-wire pens, for example,
were one-fifth as likely to test positive for triatomine infestation as corrals built partially
or entirely out of adobe or stacked brick, which were significantly more likely to be
infested. In terms of species-specific risk factors, guinea pig enclosures were 1.69 times
more likely to have vectors and were associated with a 2.4-fold increase in triatomine
population density compared to the density found in the enclosures of other pet species.
Furthermore, a guinea-pig pen in a household’s yard further increased the likelihood that
the home would be infested with triatomine insects (Levy et al., 2006).
The risk of triatomine infestation in human dwellings increased for each
additional person sleeping in the room. Indeed, the number of triatomines increased by
42% per additional person per room. Exclusively human-dwelling rooms had 5.2 times
fewer triatomine insects than rooms in which animals—primarily dogs and cats—slept.
Rooms that were fully stuccoed, moreover, had an infestation likelihood of less than onethird, while rooms constructed of brick or sillar—a volcanic stone common to
Arequipa—were 1.6 and 1.8 times more likely, respectively, to house vectors. Based on
the data, the important risk factors for triatomine infestation were: the number of
individuals sleeping in a room, the presence of animals in the same room, and the
materials used to construct the home or animal enclosure. Please refer to the original
article by Levy et al. (2006) for further details. The environmental risk factors identified
by the authors are closely linked to the poverty in the study sites and the numerous other
pueblos jóvenes around Arequipa. In the studies described subsequently, these
relationships continue to resonate.
Chagas Disease Transmission in Periurban Arequipa
Following the finding of parasite-carrying triatomine vectors in periurban
Arequipa, an examination of rates of human infection in these areas ensued. Small studies
in periurban communities in Arequipa have revealed Chagas seroprevalence in children
ranging from 0.7% to 12.9% (Cornejo del Carpio, 2003). On a broader scale, however,
little is known about the epidemiology of the disease in this urban setting. Thus, in order
to determine the prevalence, spatial patterns, and risk factors of Chagas disease, Bowman
et al. conducted a cross-sectional serosurvey in periurban Arequipa. While the main
A Multi-disciplinary Overview of Chagas in Periurban Peru
11
target group was school-aged children, they also included a population survey of 1,053
individuals, which allowed for analysis of age-specific prevalence, as well as
examination of how long vector-borne transmission of T. cruzi had been occurring in the
community. Like Levy et al. (2006), “Chagas Disease Transmission in Periurban
Communities of Arequipa, Peru” surveyed residents of Guadalupe but also included
children from the nearby periurban districts of Tiabaya and Sachaca (see Figure 1)
(Bowman et al., 2008).
The data collected during the MOH’s vector control campaign in 2004 and 2005
was used to estimate the proportion of households with both non-infected and T.cruzicarrying triatomines. Based on their geography and demography, the communities were
designated as “hillside shantytowns” (pueblos jóvenes) or “low-lying towns.” Blood
samples were taken from study participants in order to determine seroprevalence for T.
cruzi. Based on the relationship between age and seroprevalence, the authors compared
two different transmission models. In the first model, it was assumed that the probability
of infection increased linearly with the log of an individual’s age rounded to the next
year. The second model hypothesized that the probability of infection increased linearly
with the log of an individual’s age only if the age was greater than the unknown time
since the initiation of transmission in their place of residence (Bowman et al., 2008).
Of the 1,615 children in the serosurvey, 75 or 4.7% had confirmed Chagas
disease. A univariate analysis showed that there was a positive relationship between the
likelihood of individual infection and the proportion of triatomine-infested houses in the
community of residence. A multivariate analysis, moreover, concluded that Chagasinfection risk increased 12% per year of age and that children residing in hillside
shantytowns were more likely to be infected with the disease than those in low-lying
towns. Additionally, the data revealed that Chagas transmission had begun relatively
recently in the community, which confirmed the study’s initial hypothesis that T. cruzi
was introduced into periurban Arequipa within the last two decades. Please refer to the
original article by Bowman et al. (2008) for further details. This study provides evidence
of vector-borne transmission of Chagas disease to persons living in periurban Arequipa
and further describes the differential risk of Chagas in the shantytown setting.
Three years prior to the community-based study, a hospital-based serological
screening study was conducted in puerperal women by Mendoza-Ticona et al. (2005). Of
3,000 women screened for T. cruzi infection in three hospitals and four health centers
around Arequipa, only 0.73% were confirmed seropositive for infection with the parasite.
Higher prevalence was observed in more rural communities near the city of Arequipa.
The authors did not observe any cases of congenital Chagas disease transmission, but
these results were limited by the small sample size of babies born to infected mothers
(Mendoza-Ticona et al, 2005).
Chagas Disease, Migration, and Community Settlement Patterns
Journal of International and Global Studies
12
Given that active human contagion of Chagas disease now exists on the outskirts
of Arequipa, it is important to evaluate how the disease vector and parasite may have
arrived to this periurban setting. Since the 1950s, migrants have come to Arequipa
seeking better economic opportunities. Many of these migrants have been from Chagasendemic areas. However, few studies have analyzed the relationship among migration,
settlement patterns, and Chagas disease transmission. In “Chagas Disease, Migration and
Community Settlement Patterns in Arequipa, Peru,” Bayer et al. (2009) conducted a
qualitative study to explore the migration-disease transmission nexus. The study
specifically concentrated on the links between migration, settlement patterns, and
triatomine vector infestation in five peripheral communities (three of which are pueblos
jóvenes).
A total of 94 individuals participated in the study, which consisted of focus
groups and in-depth interviews. Focus groups used participatory methods, such as
community mapping and timeline construction of both general and Chagas-related
events, to explore the participants’ memories of the community demography, migration
patterns, and the historical and current presence of triatomine vectors through activities.
In-depth interviews examined personal stories relating to migration, animal rearing,
Chagas disease, and the presence of triatomine insects. Population data, including the
number of households in the community and insecticide application, was obtained from
the MOH (Bayer et al., 2009).
The data revealed that males migrated more frequently than females with a
median of 4 versus 3 lifetime moves and that most of these moves were among residents
of pueblos jóvenes. Indeed, 80% of participants in these communities had moved to
pueblos jóvenes, whereas 40% of participants from traditional and longer-established
towns were migrants. Subsequent discussion revealed that as the pueblo jóven settlements
grew, the observed number of vectors did as well. The same scenario did not apply to the
traditional towns, however. One of the traditional towns had remained virtually vectorfree despite proximity to highly infested pueblos jóvenes. The other traditional town only
began to experience memorable vector presence about 20 years ago, when its population
became more mobile and new migrants seeking seasonal labor began to arrive (Bayer et
al., 2009).
The superimposition of the MOH data revealed that the pueblos jóvenes had both
several times the population density of the traditional towns and higher proportions of
household infestation by triatomine vectors. For example, the pueblo jóven of Guadalupe
had a population density of 13,061 inhabitants per km2 and a domiciliary infestation
index (DII) of 45.6%, compared to the traditional town of Quequeña, with a population
density of 1,738 and a DII of 19.2% (Bayer et al., 2009).
Despite the higher prevalence of triatomine vectors in pueblos jóvenes, this study
concluded that most of the migrants to these towns did not originally come from T. cruzi-
A Multi-disciplinary Overview of Chagas in Periurban Peru
13
endemic areas, and are thus unlikely to have brought the vector or parasite to periurban
Arequipa. Nevertheless, residents of these pueblos jóvenes did make many short- to
medium-term moves to Chagas-endemic areas in search of agricultural work. It is
possible that they were infected during such moves or transported the vector back to their
pueblo jóven in their belongings. Another hypothesis that would explain vector presence
in the pueblos jóvenes—and one that is not mutually exclusive—is that Triatomina
infestans had always been present in the agricultural areas surrounding the city, but the
insect population did not explode until the periurban settlements reached a certain
“critical mass” of human and animal populations. Please refer to the original article by
Bayer et al. (2009) for further details. In its exploration of human migration and
settlement of periurban Arequipa, this study generated several hypotheses to explain how
Chagas disease was introduced to periurban Arequipa, and how the settlement patterns of
the pueblos jóvenes may create especially favorable conditions for the proliferation of
triatomine bugs.
Spatial Patterns and Discordant Diagnostic Test Results
Despite the presence of risk factors like those described in the preceding studies,
diagnosing chronic Chagas disease is often difficult due to the lack of a “gold standard”
test. In order to confirm Chagas, a patient must test positive on two or more serological
tests, which are based on different antigens. Discordance between the two tests occurs in
a certain percentage of results. This discordance is sometimes attributed to the presence
of Leishmania spp. or Trypanosoma rangeli, two other parasites that may cross-react with
Chagas diagnostic tests. Individuals who test positive during the initial screening but
negative during confirmatory testing do not typically receive treatment because their
results are deemed to be false positives due to the inadequacy of the screening test’s
specificity (Levy et al., 2009).
In the article, “Spatial Patterns in Discordant Diagnostic Test Results for Chagas
Disease: Links to Transmission Hotspots,” Levy et al. (2009) examined the relationship
between discordant test results and spatially clustered T. cruzi transmission hotspots. The
authors contended that the spatial information generated from clustered cases of T. cruzi
could be used as a substitute indicator for parasite exposure and thus provide a lens to
evaluate discordant results. The authors hypothesized that if discordant results
represented true Chagas infection and were due to the low sensitivity of confirmatory
tests, they would be more likely to occur among individuals living in areas with high
incidences of confirmed human T. cruzi infection, or so-called “hotspots.” However, if
the discordant results were in fact true negatives, and not a result of low screening test
specificity, they should be randomly distributed relative to the confirmed cases of
Chagas-infected individuals in the community (Levy et al., 2009).
Journal of International and Global Studies
14
The subsequent study was also conducted in Guadalupe, a pueblo jóven on the
southwestern margins of Arequipa. Between August and October 2005, a peripheral
blood sample was collected from study participants and screened for antibodies to T.
cruzi. All specimens that were positive at the initial screening were analyzed using two
confirmatory tests. A spatial analysis was then conducted on all discordant confirmatory
test results, and the average distance between the residence of individuals with discordant
results and of those with confirmed Chagas disease was calculated (Levy et al., 2009).
Of the 1,053 participants in the study, 60 (5.7%) had positive results during the
screening phase. Of these 60 individuals, 47 (78.3%) tested positive on both Chagas
confirmatory tests while 13 (21.7%) had discordant confirmatory test results. These 13
participants lived an average of 21.4 meters away from a household with a confirmed
case of Chagas, which is similar to those with consistent results (21.1 meters away). The
results thus revealed that individuals with discordant results were spatially clustered in T.
cruzi “hot spots,” confirming the importance of spatial analysis in Chagas diagnosis, as
well as the further evaluation of discordant test results. Please refer to the original article
by Levy et al. (2009) for further details.
Risk factors associated with Chagas disease in Periurban Arequipa
In their respective investigations into Chagas disease in periurban Arequipa, the
four studies described here identify several distinct risk factors. In general, these factors
can be categorized into two major themes: population dynamics and the urbanization of
poverty.
Population Dynamics
Population dynamics—specifically migration and settlement patterns, population
density, and age—represent a significant risk factor for Chagas transmission.
Population density, both on the community and household level, represents one
risk factor. Bowman et al. (2008) and Levy et al. (2006) confirm that the likelihood of
T.cruzi infection is higher in Arequipa’s highly dense pueblos jóvenes as compared to
less dense communities. Bowman et al. (2008) also note that this phenomenon is
especially true in communities with a greater proportion of vector-infested households.
Thus, campaigns and programs to control triatomine insects are particularly important in
high-density urban areas that continue to attract rural migrants. Based on the evidence in
Bayer et al. (2009), it is particularly crucial to promote vector surveillance of mobile
populations that make frequent moves between communities.
Age, another measure of population dynamics, is also associated with disease
transmission. Bowman et al. (2008) demonstrate that the risk of Chagas infection
increases 12% for every year of age, and thus, older, school-age children and adults
A Multi-disciplinary Overview of Chagas in Periurban Peru
15
should regularly be screened for the T. cruzi parasite. This information will not only
improve prognosis for infected individuals, but it will also allow officials to track
transmission over time and increase their understanding of the disease in periurban areas.
Urbanization of Poverty
Residents in periurban communities in Arequipa are generally poorer than those
in the city center and are, therefore, only able to afford inexpensive building materials
that are particularly attractive to triatomine infestation (Levy et al., 2006). Furthermore,
to supplement already meager incomes, many residents’ raise small animals. Such animal
husbandry practices are associated with triatomine vector infestation (Levy et al., 2006;
Bayer et al., 2009). Thus, appearance of Chagas in marginalized periurban Arequipa
underscores the fact that the disease is associated with poverty in general, not just poverty
in rural areas.
Conclusions
As metropolitan Arequipa–and other urban areas in Latin America–continues to
grow, it will be important for public health and medical professionals to use a range of
research methods to investigate the major risk factors associated with Chagas
transmission and monitor how they evolve. Understanding the disease within an urban
context will allow for public health prevention efforts; however, it is important for all of
these initiatives to be undertaken collaboratively by community members and by research
and policy teams and leaders at the district, province, regional, national, and international
levels. The results of the four studies described here underscore several individual
interventions that could be combined to form a multi-pronged prevention approach: (1)
coordinated insecticide application and surveillance of vector reinfestation, particularly in
areas with highly-mobile populations; (2) improvement of building materials used in
houses and peridomestic small animal enclosures; (3) health education for migrant
workers to Chagas-endemic areas; and (4) collection of spatial data on Chagas as a
complement to diagnostic tests.
Journal of International and Global Studies
16
Acknowledgments
We thank Jenica Pastor, Fernando Malaga, and Fredy Delgado (of the Arequipa
Ministry of Health); César Bocangel Bravo (of the Universidad Nacional de San
Agustín); Paula Maguiña, Phabiola Herrera and Marjori Meza (of the Asociación
Benéfica PRISMA); and Cristina Salazar (of the Johns Hopkins Bloomberg School of
Public Health). Additionally, we thank the field staff, nurses, sprayers and biologists who
helped with data collection and the laboratory specialists who helped with the laboratory
analyses. Thank you to David Smith for his advice on mathematical modeling of ageprevalence curves. Thanks also to Jeff Stancil, Lucy Rubio, and Greg Martin (of the U.S.
Naval Medical Research Center Detachment, Lima, Peru); Gena Lawrence, Ellen Dotson
and Bob Wirtz (of the Centers for Disease Control and Prevention); and Ricardo Gürtler
(of Universidad de Buenos Aires) for their assistance and support. We also thank Joseph
Bastion of the University of Utah for reviewing this article and Ray Scupin, editor of the
Journal of International and Global Studies, for providing an opportunity to share these
important studies with a broad audience. Most of all, we thank the participating
communities of Guadalupe, Villa La Joya, Nueva Alborada, Quequeña, and Tío Chico in
Arequipa.
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Theorizing Impending Peripheries: Postindustrial Landscapes at the Edge of Hyper-modernity’s
Collapse
Ismael Vaccaro, Ph.D.
McGill University
Ismael.vaccaro@mcgill.ca
Abstract
This article discusses the ways in which the predominant economic mechanisms of
capitalism, characterized by a hyper-mobility of flows, affect actual places and people. The
rationality informing these mechanisms is the quest for a reduction of costs and the increase
of potential benefit, and this can only be achieved by jumping from locale to locale searching
for a cheaper labor force, new pools of resources, or an absence of environmental regulations.
Mobility becomes the fundamental framework through which to understand modernity and
its new economic articulations and their associated sovereignties. Anthropology has often
discussed and theorized the impact of market integration on local communities across the
world. This paper, in contrast, analyzes the extraction, or the disconnection, of a community
away from the market.
Journal of International and Global Studies
23
Ephemeral Industrializations
Whether we are talking about collapsing mining complexes (Ferguson, 1999; Vaccaro,
2006), plantation economies suffering the vagaries of the market (Mandle, 1974; Wiley, 2008),
decapitalized industrial farming economies (Dudley, 2000; Tauxe, 1993), depleted fishing stocks
resulting in abandoned canneries and quiet fishing ports (Shrank, 2005; St. Martin, 2005),
deforested and impoverished timber country (Clark, 2001; Mattey, 1990; Power, 2006; Raffles,
1999), or crumbling factories because industrial activities are displaced to unregulated labor
reservoirs (Bluestone & Harrisson, 1984; Cowie & Heathcott, 2003; Dudley, 1994), the hypermobile fluxes of capital, people, information, commodities, ideas, and energy that characterize
the current globalized economy have had an important transformative effect on social and
ecological rural landscapes all over the world (Bell, 1973; Castells, 1996; Pred & Watts, 1992;
Hannerz, 1996; Inglehart, 1997; Sivaramakrishnan & Vaccaro, 2006).
This article discusses the ways in which the predominant economic mechanisms of
capitalism, characterized by a hyper-mobility of flows, affect actual places and people. The
rationality informing these mechanisms is the quest for a reduction of costs and the increase of
potential benefit, and this can only be achieved by jumping from locale to locale searching for a
cheaper labor force, new pools of resources, or an absence of environmental regulations.
Mobility becomes the fundamental framework through which to understand modernity and its
new economic articulations and their associated sovereignties (Steinberg, 2009). The goal of
these pages is to create a framework through which to understand the localities affected by this
hyper-mobility and the aftermath of their radical transformations resulting from quick
industrialization and ever quicker abandonment. Peripheral locales are radically transformed
when they are suddenly integrated into an economic framework characterized by mass extraction
or transformation of natural resources (Godoy, 2001; Netting, 1993). The social and ecological
transformations resulting from the industrialization of rural areas often shift their fabric in ways
that do not allow for a comeback to a preindustrial situation once the industrial activity stops.
Such transformations affect the resilience of the affected regions, forcing a regime shift
(Peterson, 2000). This postindustrial modernity, this liquid modernity, is characterized by high
levels of uncertainty, risk, and, therefore, vulnerability (Bauman, 2007; Beck, 1992). This paper,
by identifying the commonalities and differences that characterize different localities
experiencing a transition from a position of centrality in the global mercantile networks to a
renewed peripheral situation, connects the struggles of a series of places to a socio-economic
global phenomenon: market integration, hyper-mobility, expansion, abandonment and
reinvention. The goal is to integrate into a single analytical domain and understand a diverse
array of localities across the world that are experiencing the traumatic severing of ties with the
consumptive centers of the world by recognizing the logic of the transformative process that
affects them. This is not to say, of course, that context and specificity do not matter, but rather
that the presence or absence of market integration and mercantile networks is a key social
indicator (Ensminger, 1992; Peters, 1994). Anthropology has often discussed and theorized the
impact of market integration on local communities across the world. This paper, in contrast,
analyzes the extraction, or the disconnection, of a community away from the market.
Hyper-mobility is a fundamental feature of the current form of modernity, and this article
uses the concept hypermodernity to characterize the current social model dominating the global
ecumene (Charles & Lipovesky 2005; Pred & Watts 1992). I purposely avoid the word
Theorizing Impending Peripheries: Postindustrial Landscapes at the Edge of Hyper-modernity’s
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24
“postmodernity,” as it reflects intellectual changes that may have occurred in fields like cultural
studies, philosophy, or art but it also implies an ontological change of the socioeconomic model
of modernity that does not reflect the acceleration of the contemporary process of globalization.
Postmodernity, a terribly polysemous word, as defined by Harvey (1989), Jameson (1992), or
Lyotard (1984), discusses the emergence of relativity, flexibility, and the power of discursivity,
not the densification and acceleration of the traditional infrastructures and logics of modernity
(Castells, 1996).
The collapse of mass production manifests itself in different ways. This article examines
a handful of examples of emergent models of postindustrial society and identifies possible
common trends in its different manifestations. The postindustrial crisis seems to lead down three
different possible paths: (1) collapse and social extinction (ghost towns), (2) subsidized
livelihoods resulting in societies maintained by public agency as an act of state-making (welfare
communities), and (3) successful reconnection to the global network via the identification and
exploitation of a new, substitute valued commodity (reinvented communities).
The goal of this article is not to reproduce a binary center-periphery model but, instead,
to follow the uneven development approach with a transnational network perspective of
contemporary economic activities (Harvey 2001; Smith 2008). As commodity chain analysis
literature emphasizes, the central nodes of the network tend to be cities since the network flows
are dominated by the gravitational pull of the larger markets (Appadurai 1988; Bestor 2001;
Freidberg 2001; Grossman 1993). These pages describe a flexible, ephemeral network in a
perpetual state of change and in which peripheries and centers are continuously made and
unmade.
At some point in modern history, specific productive advantages attracted industrial,
mass-oriented production to rural areas around the world. When the strategic advantage of one
such rural area disappeared, the productive activity vanished with it, leaving abandoned
landscapes and communities behind. For instance, the Spanish mountains of the early twentieth
century offered cheap coal, yet most Spanish mines closed as soon as cheaper South African coal
started to fuel the Spanish power plants (Vaccaro, 2006). Textile factories across Western
Europe closed their doors after low cost South Asian and Moroccan products started to flood
European markets. The Midwest’s car belt became the rust belt as soon as American car
companies started to outsource to the Far East at the same time that Asian companies started to
distribute equivalent and cheaper products in America (Dudley, 1994; High, 2003; High &
Lewis, 2007). Timber mills all over North America were outcompeted and abandoned due to the
massive flows of transoceanic processed wood. Fish processing towns became ghost towns when
processing ships took over and delocalized the fishing industry (Marchak et al., 1987; Sepez et
al., 2007). These phenomena are not exclusive to the Western internal peripheries. This process
affected the Zambian copper belt when extraction costs raised and global prices dropped
(Ferguson, 1999). The Amazonian rubber tapper industry evaporated once someone learned to
cultivate the rubber tree and opened plantations in Asia (Dove, 2002). The economies of entire
Third World countries collapsed when their main export markets failed because of significant
shifts in global supply (Frynas et al., 2003).
The phenomenon of industrial abandonment is not new and did not appear as an
exclusive consequence of hypermodernity. The process of British industrialization created
similar boom and bust cycles all over the English countryside (Thompson, 1968). The events
Journal of International and Global Studies
25
studied here are not ontologically new; the novelty lies in their frequency and range. What we
discuss here is precisely the expansion of this model to the global level.
In industrialized rural locales, entire generations were raised–socialized–to fit a modern
and developed way of life: a way of life intensively connected to urbanization patterns, wage
economies, and market-regulated distribution of resources. Residents of these locales became
miners, fishermen, loggers, factory workers, plantation laborers, or monoculture farmers. The
flight of the dominant productive activities, or the collapse of specific markets, resulted in the
dismantling of these emergent ways of life, or rather, the dismantling of the industrial complexes
and infrastructures that sustained these emergent ways of life. This disintegration resulted in
cultural and economic dislocations as the expectations of modernity created by the economic
boom failed with the bust (Ferguson, 1999). This seems to suggest that the reconfiguration of
economic structures seems to occur at a faster pace than the equivalent redefinition of local
collective and individual identities. These undigested transformations result in ‘cultural
disenchantments’ associated to failed expectations (Holmes, 1989). Holmes and Ferguson talk
about failed expectations and explain that every massive economic transformation comes with an
attached new framework of individual and collective positionalities that articulate identity and
rights. Furthermore, by replacing the previous socioeconomic model, this new framework leaves
a generation of already socialized individuals “offside”–expected to play by rules that are no
longer valid. The local moral economy is challenged by these massive and successive alterations
(Polanyi, 1944; Thompson, 1968; Scott, 1976).
This industrial model, centered on specialized mass production of a single commodity,
diverges from the preindustrial era, in which small scale communities were characterized by an
economic model based on productive diversification. Rural households invested in the
production of several items required for subsistence in modest quantities (as opposed to
emphasizing monocropping) in order to reduce vulnerability to agricultural pests or adverse
weather conditions. If one of the crops failed, the remaining crops would allow the family to
survive (Altieri & Hecht, 1990; Toledo et al., 2003). In the absence of a large consumptive
market, there are no incentives for producing more than what is needed for survival. The
connection to large and dynamic regional markets, however, completely changes this economic
behavior (Ensminger, 1992; Peters, 1994). Such a connection provides incentives for massive
production of a single commodity. It “…stresses the contextualized struggles of local producers
increasingly articulating with larger markets, systems, institutions and cultural forces” (Robbins,
2002, 1510). The possibility of implementing mass production completely changes the
behavioral framework of these peripheral communities.
In these peripheral locales, modernity manifests as a sudden occurrence connected to
mass production and often to industrialization, a socioeconomic bubble of uncertain durability,
with dramatic cultural and political impacts. Modernity, as a historical regime, results from the
implementation of a new type of governmentality associated to the simultaneous consolidation of
nation-state and capitalism, with individualism as a generic behavioral framework (Sparke,
2005). The environment and population of the rural area become a set of national resources
ultimately managed (if not belonging) to the state (Burchell et al., 1991; Foucault 2008). The
state proceeds to measure, count, localize, and manage its resources (Braun, 2000; Hannah,
2000; Scott, 1998). It also proceeds to homogenize its subjects with standardized national
education and legal systems in order to create a nation of equally interchangeable individuals, the
citizenry as an imagined community (Anderson, 1995; Gellner, 1983; Dean, 1999). In other
Theorizing Impending Peripheries: Postindustrial Landscapes at the Edge of Hyper-modernity’s
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words, the state proceeds to territorialize its inlands.
The simultaneous implementation of mass-production economic structures also has an
impact on how resources and people are assessed and managed. The production of subjects under
industrial conditions of production has governmental consequences. Factories and mines in rural
areas often create their own settlements, in which workers and their families are concentrated
(Terradas, 1979; Campbell, 2004). The mining complex in West Virginia is a perfect example of
this trend. “Before World War I, nearly 80 percent of mine workers of West Virginia lived in
company owned towns” (High & Lewis, 2007, 146). In this and other locations like it, skills,
time and calendar are redefined to adapt to the managerial and productive needs and constraints
of the factories, which are extremely different from the ones formerly presented by farm life
(Attali, 1985; Addas, 1989).
Every single one of the above mentioned processes, in their emergence and their collapse,
is an example of radical (and ephemeral) market integration of a peripheral area. This is about
mass production. This is, therefore, about the ability to quickly move the produced commodities
to suitable markets. Peripheral areas, scarcely populated or with low acquisition potential, cannot
take consumptive care of these new flows of commodities. Rural areas become targets of
industrialization when they have an abundance of raw and rare materials or cheap labor. Suitable
markets are typically cities: densely populated areas with relatively high consumptive power.
Consequently, productive areas do not necessarily overlap with markets. As a result,
transportation infrastructures and worker resettlement are key ingredients of successful industrial
societies. People and commodities have to be able to quickly go back and forth between the sites
of production and those of consumption. The capacity to mass-produce something and the
capacity to swiftly and cheaply move it to its place of consumption are the secrets to the success
(and ultimate doom) of each one of the above mentioned places.
Once a commodity becomes valuable because it has a sizable market and an acceptable
profit margin, an economic opportunity emerges. Producers will have incentives to produce as
much of that commodity as possible because of the absorption capabilities of the current global
market, and although the international market is regulated and limited by tax barriers, it often
behaves as an open access resource pool in which players are pushed or encouraged to maximize
production. In any case, the relation between supply and demand does not remain stable for too
long, nor does the value of the any particular commodity. It is this capriciousness that marks the
fate of industrialization focused on single products across the globe. Market integration often
pushes peripheral rural areas into unilateral productive approaches. Transportation is costly, and
only specific, high value products justify the investment. When the commodity ceases to carry
high profitability levels due to increasing extraction or labor costs, rising low-cost competition,
or withered raw materials—the whole enterprise is terminated or moved to a place with lower
productive costs.
This article scrutinizes the framework of this transformative process, analyzes the new
social formations that are emerging in the voids left behind by the flying industries, and
introduces a discussion on the potential impacts of the current second oil crises on the hypermobile economic model that has characterized the last phase of global capitalism.
The soaring oil prices that dominated the energy markets of three quarters of 2008
changed one of the key variables of the hyper-modernity’s equation: cheap mobility (Roberts,
2008). As a result of those months of unaffordable gas and the global financial crises that ensued,
Journal of International and Global Studies
27
the collective imagination started to understand some of the limitations of the oil age. This trend
may yet alter the global economic market and provide incentives for the relocation, once again,
of the productive poles near their markets. Serious consideration of this relocation of productive
centers has coincided with the consolidation, in the West, of a pool of consumers interested in
high quality food, organic agriculture, and ranching. Interestingly enough, the organic movement
is specifically not interested in high transportation costs and is remarketing itself as producing
“anti-economic crises commodities,” products which are not tainted by the accusation of
contributing to the global climatic and ecological crises.
Postindustrial Landscapes: Failed Modernities, (Re-) Emerging Peripheries
These sudden cycles of industrial transformation (boom) and de-industrialization (bust)
are intimately connected to an economic system in which mobility and interconnectedness of
commodities, people, capital, and information through networks are fundamental for the
functioning of the system itself (Appadurai, 1996: Castells, 1996; Sassen, 2006). This economic
system is a globally integrated market in which costs are not an obstacle to a commodity’s
mobility. This system results on ephemeral productive territoriality in the spaces chosen for
production: the territory and its communities are administratively and economically reorganized
to serve the purpose of mass production. Deindustrialization forces the reconceptualization of
this model.
Hyper-mobility is not facilitated by the theoretical lack of rules of the global free market.
This global and highly variable economic structure is not normatively homogenous. Against
early assessments of the late twentieth century capitalism (Harvey, 1989), this is not a frictionfree system (Tsing, 2005). It is crossed and fractured by an infinite number of intangible
boundaries: national borders and their export prohibitions and tax barriers, differentials on
environmental and labor regulations, multilateral organizations impositions, and so on. The
global institutional network, dominated by the regulations of the most powerful nations (G8), the
Breton Woods institutions (World Bank, World Trade Organization or the International
Monetary Fund), United Nations, or the proliferation or free trade treaties often sets up an
asymmetrical global economical playground that unevenly affects the flows of raw material,
commodities, and people (Goldman, 2006; Perkins, 2005; Woods, 2007). This institutional
network, serving the interests of markets dominated by first world corporations, has promoted
and provided incentives for monoculture export approaches that make places vulnerable to
outsourcing, market shifts, or extractive collapse.
This new form of modernity, hyper-modernity, has coevolved with an increasingly
complex urbanization of the world. The populations concentrated in cities are, in both absolute
and relative terms, higher than ever. Their consumption patterns and their social and ecological
footprints affect larger and larger areas, if not the whole globe (Cronon, 1991; Davis, 1999;
Gandy, 2002). Their inexhaustible urban needs drive the directionality of the hyper-mobility of
capital and commodities and also facilitate environmental and social devastation. As peasant
studies established long ago (Potter et al., 1967; Redfield, 2000; Bebbington, 2000), the idea of
isolated peasant communities is a fallacy. The urban-rural divide is also a myth (Williams,
1973). Everywhere, at the theoretical peripheries of the world, at the hinterlands of states and
cities, rural communities are modernized and restructured to produce what urban markets need.
That is, they are integrated into regional, national, or international markets; their locally made
Theorizing Impending Peripheries: Postindustrial Landscapes at the Edge of Hyper-modernity’s
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products are targeted for exportation, and the productive system is altered to cover these changes.
These activities drive the monetization of the local economy through wages, taxes, and revenues
(Sepez et al., 2007; Sivaramakrishnan & Vaccaro, 2006).
The process of market integration connects these rural, peripheral areas to large networks
of production and consumption (Chaflin, 2004; Freidberg, 2001; Grossman, 1993). Mass
extraction is traditionally connected to industrialization. When the industrial activities disappear,
a productive void occurs, and social and demographic collapse follows. In this void that
characterizes postindustrial landscapes, some new opportunities may emerge (Vaccaro et al.,
2009). In the global urban society and its Western consumptive postindustrial demographic
centers, leisure (i.e. ecotourism) and high quality products (i.e. organic coffee, Brazil nut
conditioner) become new possible productive anchors, re-connecting the rural areas to the
different regional and international economic networks. Consumptive patterns, driven by urban
desire, have a fundamental impact on the directionality of the flows of commodities and,
consequently on the locale of the next productive effort (Stearns, 2001).
So, what happens with localities that, after a period of centrality, are abandoned by
modernity and suddenly dropped back into the periphery? Industrialization tends to generate
several levels of social hyper-trophy: it requires higher densities of labor for the factories, which
in turn increases the level of consumption in absolute terms due to the sheer number of people
required and in relative terms due to the development of new needs associated with modern life.
These needs are covered by a continual flow of cheap commodities produced elsewhere in other
peripheral nodes of the networks controlled from the urban centers. When a mass-oriented way
of production moves away from a given location, local communities tend to have reached
dimensions beyond the carrying capacity of their local environments and are no longer selfsufficient productive regimes. At that point, however, nobody is interested in providing these
community members with the products they have grown to desire because the community
members no longer have wages to pay for the products. In addition, the expectations, the
perceived quintessential needs, of these postindustrial populations cannot be covered by the
preindustrial local mode of production, which is neither developed nor diverse enough to do so.
Emerging postindustrial modernities, thus, are characterized by restructuring and, more often
than not, different levels of scarcity and crises.
As the stock-market crash of September 2008 and the subsequent governmental plan to
salvage the market has proven to the last believers of the free market, state and big corporations
work and exist in close articulation. Public national interest, as defined by the national centers of
power, directs governmental agency. The achievement of the highest possible margin of
economic benefit in the shortest possible time directs capital investments (capitalist agency).
Only by understanding the interaction of the agency of state and major economic actors will we
comprehend the paths taken by postindustrial locales. Postindustrial locales face a restructuring
amidst what is perceived as a recession characterized by scarcity and collapse, or in other words,
inadequacy. The future requires a will to improve, a conscientious effort to (re)achieve
modernity (Murray Li, 2007).
Ferguson in 1999 discussed the idea of an Ethnography of Decline to analyze the changes
that were transforming a Zambian society that was experiencing an accelerated rate of deindustrialization. The Zambian economy, an exemplary model of national modernization via
export of a single commodity (copper), collapsed during the 1980s due to the decline of copper
Journal of International and Global Studies
29
price and exported quantities. The emergent copperbelt urban society collapsed, too. The
cosmopolitan networks connecting Zambian workers to the global economy were gradually
severed. Individuals redirected their efforts to reconnect with the rural areas from which they had
originally come in order to secure access to new sources of food. The country shifted from the
list of emerging modern nations into the aid-dependent postcolonial nations. Lacking alternative
commodities attractive to the global market, Zambia fell out of the global gravity fields. It
entered, in Ferguson (1999) words, into an era of global disconnect.
This type of global disconnect parallels the national disconnect of the Appalachian steel
and coal country (Whitson et al., 2006). The Zambian and Appalachian cases exemplify the
impacts of massive natural resource extraction in the framework of a hyper-mobile economic
system. The ‘mining problem’ produces classic cases of social foreclosing associated to
industrial flight. The mining communities, left to their own devices, without the main productive
activity that was articulating the social and economic life, fall into depopulation and social
stagnation. This situation in Zambia resulted in a reconnection with the rural areas and a
recovery of the old productive practices. West Virginia has lost over one million people since
1945 (High & Lewis, 2007, 147).
In the Spanish Pyrenees, the closure of mines and factories, combined with the neardisappearance of traditional mountainous agroranching, resulted in a process of accelerated
depopulation (Ayuda, 2002; Molina, 2002) and the subsequent reduction of the human pressure
on the environment (Molina, 2000; Roura et al., 2005; Vaccaro, 2006). This reduction of
pressure, in this case, translated to a process of environmental recovery (Poyatos et al., 2003).
Ironically, depopulation and environmental recovery set the stage for social and economic
revival. The landscape, with its natural values and beauty, became the next commodity that these
areas could offer to the urban customers (Vaccaro & Beltran, 2007b). Protected areas, ski resorts,
and second residences became powerful economic drivers of mountain economies.
Nature, as a hot commodity, has paid off in numerous locales across the globe that are
transitioning away from an industrial, mass-oriented, productive system. Old Afrikaans farms
around Kruger National Park are being reconverted into thriving safari enclosures in which the
veld–the bush–is recreated, and wild animals are unleashed for the pleasure of European and
American tourists or hunters. The social impacts of such shifts are numerous. Game farms
require a smaller labor force from neighboring communities than do industrialized farms. These
new, smaller productive units produce money (remunerated services) instead of large amounts of
food that could reduce basic product costs in the area.
During the nineteenth century, industrial elites reinvented the concept of leisure (Plumb
1973; Veblen 1998), turning non-productive activities into an identity marker, a distinction that
is part of a habitus (Bourdieu, 1984). The generalization of mass production and consumption
that accompanies the expansion of Fordism translated to a multiplication of the social strata
(Gramsci, 2000; Koch, 2006). The social structure began to mirror the complexity of the
productive system. The generalization of mass production and the multiplication of supply
generated the need to create new markets and divergent consumption patterns. In a multilayered
mid-twentieth century industrial society, habitus and taste experienced capitalistic fragmentation.
That is, each social group adopted mass consumption patterns according to their different
monetary possibilities and diverse cultural and aesthetical expectations (Cross, 1993;
Baudrillard, 1998). The enormous creation of wealth associated with the consolidation of postWorld War II capitalism resulted in the spreading out of postmaterialistic values from the elite to
Theorizing Impending Peripheries: Postindustrial Landscapes at the Edge of Hyper-modernity’s
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30
the rest of the social structure (Galbraith, 1998; Inglehart, 1997). In this way, leisure then
became a quintessential postmaterialistic economic sector that was expanded as a social and
cultural right across Western societies (Galbraith, 1993). The consumptive domains were
expanded because of new leisure preferences. In the postscarcity society that consolidated during
late industrial capitalism, leisure became a central social domain (Giddens, 1995; Lazareth,
2007; MacCannell, 1999). The consolidation of postmaterialistic values and leisure as an
economic sector have had a fundamental influence on the paths taken by many rural areas
experiencing the decay that follows industrial abandonment.
The economic and cultural shifts that accompanied the unfolding of modernity came
associated with important new legislative developments. The construction of the idea of national
interest, the public good that characterizes the emergence of the modern states and their
consecution of the governmental and coercive monopoly (Dean, 1999; Foucault, 2007), evolved
to include environmental protection (Gottlieb, 1993; Guha, 2000). This new type of
governmentality, environmentality (Agrawal, 2005), which hesitantly started to be implemented
at the end of the nineteenth century with the first territorially based protected areas (USA 1872,
Canada 1885, South Africa 1902/1926), has become a massive worldwide phenomenon. The
increased value attributed to nature as space of contemplation and leisure has gone, thus, hand in
hand with increased penetration of public agency on environmental protection. In 2005, 6.1
percent of the world, 1,506,436 hectares, was under some level of IUCN protection. This process
has resulted in the conversion of the environment into public patrimony (Cooper, 2000).
The intellectual introduction of the environment into the realm of the public dominion
prepares the redefinition, via conservation, of landscape and territory from private (individual or
communal) to public, thereby making it susceptible to being expropriated by governmental
agency (Haenn, 2005; Hayden, 2003). Postindustrial landscapes are often characterized by
depopulation and economic recession, and, consequently, important ecological transformations
are associated with these changes based on the variations of the level of human pressure.
Idealized versions of culture and nature emerge in this situation. The state expands the idea of
national patrimony to the realms of nature and culture, allowing for public agency intervention.
Nature is culturalized through conservation as it becomes a symbol and a commodity. Culture is
naturalized through its preservation and consumption as an ideal form in museums and other
cultural heritage sites (Vaccaro & Beltran, 2007a).
Restoration ecology, as a field, exemplifies this dominion over nature in which some
specialists re-engineer nature to re-shape it to an ideal form deemed, accurately or not,
ecologically adequate (Guha, 1997; Vaccaro & Beltran, 2009). Barret and White define the
mandate of restoration ecology as one of creation of postmodern ecologies (2001). This natural
recreation does not often include rural perspectives on nature as working place, but it does
consider nature a site of leisure (Knight, 2006; Mech, 1991; Neumann, 1998; Phillips, 2005).
This patrimonialization happened in parallel to a commoditization of the environment.
The enjoyment of the environment has become a multimillion business, sustained on the
consolidation at all strata of Western society of postmaterialistic values (Inglehart, 1997). Even
the environmental discourse has become a commodity in itself, just another link in the mass
consumptive behavior of enlightened contemporary households (Guha, 2000; Santamarina,
2006). In many rural peripheries affected by depopulation and economic crises, the
revalorization associated with patrimonialization and commoditization has opened new venues to
Journal of International and Global Studies
31
market integration to reconnect with different regional, national, or international networks
(Escobar, 2008; Zanotti, 2009; Zimmerer, 2006). The consumptive preferences, the cash
availability, and the easy mobility enjoyed by the urban masses at the turn of the twentieth
century made this connection possible.
Numerous farms from Dakota and other areas of the Midwest, subject to the vagaries of
international markets of crop prices, did not have such an alternative, and abandonment or land
consolidation ensued (Dudley, 2000). The sudden dominant appearance of biofuels into the
agricultural market is inserting a new variable into the cultivation strategies all over the world.
Although this phenomenon has increased the margins of benefit associated to corn and soy, its
performance will ultimately be also affected by supply and demand, and at some point economic
dependence on such a commodity will generate a high degree of vulnerability.
Important areas of the Midwest, after the factory closures of the 1980s associated with
the outsourcing phenomenon, had to reinvent themselves as part of a postindustrial locale in
permanent reshaping in an attempt to provide attractive residential lifestyles to old and new
residents (Cowie, 2001; Dudley, 1994; High, 2003). After a crisis that menaced with severing
rust belt communities from the important regional economic networks to which they had been
connected for several decades, the towns redirected their energies to a new set of economic
networks linked to second residences or tourism (Cowie & Heathcott, 2003).
Ghost towns, abandoned or semi-abandoned communities, are an embodiment of the
asymmetrical relationships that characterize the hyper-mobile economic global order. Such
towns are localities that had no alternatives to deindustrialization, that were unable to return to a
preindustrial economic model, or that did not have enough political weight or strategic
importance to attract governmental support to stay functional. They are a tangible reminder of
the effects of global socio-spatial hierarchies on vulnerable places (Appadurai, 1988).
In other peripheral locales, the disintegration of an industry has been followed by
compensation through massive public subsidy campaigns. In some cases, the state considers
keeping an area populated, despite an economic collapse, to be in the best public interest. The
case of North Atlantic fisheries is a paradigmatic example (Hamilton et al., 2004). One-product
export dependence has resulted, once the fish stocks started to collapse, in population loss and
increased vulnerability of the communities (Hamilton & Otterstad, 1998; Silk, 2006; St Martin,
2006). The economy of entire regions needed to be reinvented once the main product became
scarce. In Canada, a new model based on heavy subsidies and transition to different although less
abundant species was built (House, 1999; Shrank, 2005). In this situation, the maintenance of a
viable society in a rural peripheral locale becomes a state-making strategy that keeps the state’s
solid hold to a geographical area via demographic occupation, or, in legitimacy terms, by taking
care of the social responsibilities acquired as a welfare state.
The subsidies, in some cases, attempt to keep economic arrangements with systematic
deficits afloat because they are perceived as strategic to the nation. For several decades, several
Western European states subsidized the coal extraction in their countries because although
foreign coal was cheaper and of better quality, it was generally assumed that the nation needed to
have a potential energy source ready and available in case of international shortages: the national
interest, in terms of energetic security and employment in deprived areas, justified this public
distortion of the free market (Kolstad, 2004; Radetzki, 1995).
The Northwest of the United States and the Canadian West coast, natural resources rich
areas, offer yet another stereotypical example of the volatile relationships that geographically
Theorizing Impending Peripheries: Postindustrial Landscapes at the Edge of Hyper-modernity’s
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remote and raw material rich areas develop with urban dominated markets through ephemeral
productive ventures. These areas have been characterized since their European conquest and
subsequent integration into the American markets by the production of wealth via massive
timber and fish extraction. However, they lost innumerable jobs and settlements when the
economic system was reorganized to overemphasize hyper-mobility by concentrating processing
facilities in cities or in big boats capable of fishing and processing at the same time (Newell,
1989; Campbell, 2004; Sepez et al., 2007).
As pointed out in the introduction, these transformative processes of social
decomposition (when adaptation fails) or restructuration (when it manages to rebuild its
economic viability around alternative productive possibilities) have important cultural and
ecological consequences. Each mode of production brings a specific moral economy, a code of
values that states what is right or wrong economic behavior (Polanyi, 1944; Thompson, 1968).
These processes of economic and political transition have important consequences to the
collective and individual processes of identity formation (Godelier, 1986). The market
integration that arrived with the industrialization of the mentioned locales brought about a
fracture with previous premodern solidarities (Edelman, 2005; Sivaramakrishnan, 2005). The
conflicts emerging from the collapse of the industrial model can be expressed, also, in terms of
identity struggles. Individuals are socialized amidst a particular set of social conditions, and
when these conditions change, personal identities built upon previous socioecological systems
are not as mutable as markets. Sometimes resistance ensues, as the individuals perceive the
unfulfillment of traditional solidarities or the crumbling of hard fought expectation as
unacceptable (Scott, 1976; Ferguson, 1999).
Individual cognitive dissonances emerge as individuals that perceive themselves as
miners or ranchers actually live and work in communities that have become tourist centers or
marginal agricultural havens. It is not the same to be a commercial fisherman as it is to be a
guide for rich sport fishermen, nor is it the same to be a fisherman or a miner as it is to be
someone that sits at home or at a bar waiting for the state subsidy check. Personal pride and
dignity are also part of the identity equation. Knowledge and behavior are interdependent with
identity, and confused identities result in unrealistic expectations. This is not to deny the
flexibility and adaptation capability of humans wherever they are. However, small peripheral
communities and their inhabitants, dependent on a small and localized scale of social
recognition, do not fair necessarily well on the deterritorialized and disembodied hyper-mobile
contemporary global society.
The Collapse of Hyper-modernity’s Way of Life
This final section reflects on the contemporary situation of industrialism. After all, the
process that this paper has described has been around for quite a while. My grandfather started
his productive life as a blue-collar worker of a Siemens factory in the periphery of Barcelona,
Spain, back in the late 1920s. This German company was already taking advantage, in a modern
sense, of the salary differentials and the growing European interconnectivity. Since then, as it has
been discussed, things have not stopped accelerating. The economic system, above anything else,
has emphasized a high degree of hyper-mobility in all social instances. Time and space have not
ceased to contract (Hannerz, 1996; Virilio, 2000).
Journal of International and Global Studies
33
So, what could be the purpose of a critical update? Is there anything radically new
changing in the way things are being carried out in the world? Well, in the year 2008, a
worldwide oil crisis and a deep economic recession, which affected cash availability and levels
of consumption, started to severely impact the Western world. Thus, a key variable of hypermodernity’s equation, transportation costs, is changing. The price of oil is growing, or at least
becoming so unpredictable that it is quickly diminishing the potential mobility of industries and
commodities. Many industries are trying the same solution they used during the first oil crisis at
the beginning of the 1970s: moving to unregulated labor reservoirs in the Third World. However,
important sectors of Western countries’ secondary sector disappeared with that move and could
likely do so again. When labor costs rise, industries try to keep moving deeper into more remote
labor pools, but an unquestionable fact remains: transportation overhead costs are now rising fast
enough to make those moves increasingly irrelevant. For instance, the costs of the main
transoceanic routes used by Chinese industries have tripled, making outsourcing a less appealing
strategy (purchasing.com, 2008). Chinese industry, the main supplier of the world’s cheap
manufacturing market, is redirecting its production to the national market, diminishing its
transportation costs (China Daily, 2010). Some areas of China have even experienced industrial
flight, becoming yet another example of a sudden disconnection from the global economic
networks (Bangkok Post, 2010).
A critical update on today’s industrial trends has to reflect on the consequences of a
global expansion of time and space due to an abrupt deceleration of the, until now, reigning
hyper-mobility. In addition, this increase in the uncertainty of the cost of transportation occurs at
the same time that the most economically dynamic countries in the world are, starting in 2008, in
the middle of a recession. This process results in a slowing down of the average consumption
expenditures and the concurrent increase of uncertainty associated with market volatility and
currency reliability. International trade and consumption, and therefore the incentives to produce
in remote locales, have contracted during 2008 and 2009 (Walt Street Journal, 2009). The
contraction of trade has resulted in reduced demand on the transport infrastructures, and, as a
response, oil prices dropped during early 2009, only to go up again in 2010 (Globe & Mail,
2010). The cost reduction, although significant, does not supersede its volatility and is not
reactivating trade as expected.
This framework, perhaps, is reopening the door for the emergence of industries located
nearby their potential markets. Some products (the production of which, for decades, had been
abandoned in places that were being flooded by cheap competitors from the other side of the
world) may again become profitable or competitive with the addition of the new transportation
costs on the overseas product. New potential landscapes and societies may emerge from this
combination of events.
This process is even more interesting if we take into account that this transportation crisis
is happening at the same time that a conscience of a global ecological crisis is becoming part of
many countries’ mainstream collective imagination. This conscience has resulted, on the one
hand, in social pressure to diminish oil consumption and, on the other hand, in the development
of a powerful demand for organic, ecologically sound, and high quality products. Both elements
provide further incentives for the relocation of productive activities nearby their markets. If we
talk agriculture, for instance, organic products are remarketing themselves as anti-crisis
commodities. They claim to offer high quality, environmentally sound produce, and to generate a
fairer society by directly connecting producer and consumer, revitalizing the rural areas and
Theorizing Impending Peripheries: Postindustrial Landscapes at the Edge of Hyper-modernity’s
Collapse
34
improving the health of the urban inhabitants. This emphasis on locally grown or produced food
and other commodities is not new. What is new is the simultaneous occurrence of a severe global
oil crisis with direct impact on transportation costs.
It is still too early to examine whether the contraction of the consumptive demand
associated with the current worldwide recession (not to mention the crash of the endowments
that were sustaining most environmental NGOs) will have an impact on global tourism and
environmental conservation related development. By affecting the development of leisure in
general and tourism in particular, the recession has the potential to slash out some of the
possibilities that were allowing postindustrial locales to reconnect to urban markets. It remains to
be seen, however, if a general decline of the resources available to the average Western
household will shrink the emergent postmaterialist values and associated consumption patterns,
bringing back to the fore the pre-second World War exclusive emphasis on pre-leisure material
needs.
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Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting Their
Persistence in College
Shane Y. Williamson, Ed.D.
Lindenwood University
swilliamson@lindenwood.edu
Abstract
The present study examined how familial and institutional factors interact with the academic
experiences of a diverse group of Black males enrolled as science, technology, engineering,
and mathematics (STEM) majors at one university. Ogbu’s (1998) Cultural-Ecological Theory
of Minority School Performance, a theoretical framework, posits that the manner by which a
group achieves minority status, coupled with community and family educational values,
impacts academic achievement. Immigrants, voluntary minorities, perform better
academically than involuntary minorities (nonimmigrants) because they are more accepting
of and more likely to adapt to the White middle-class norms upon which schools in the
United States are based (Ogbu, 1994, 2004). While the data overall are positive for the
sample, when viewed by ethnic group, it was evident the African and Caribbean students are
more academically integrated to campus than African American students. The African
students, more so than any other ethnic group, are connecting, interacting, and forming
relationships with faculty outside of the classroom; conversely, African American students in
this study reported having the least amount of effective connections with faculty. This
research study found that for the Black male STEM students in this project (a) their families
are a pivotal force, (b) academic experiences vary across ethnicities, (c) faculty mediate
student success, and (d) there is a lack of interactions between ethnic groups (Black Distance)
on campus.
Journal of Global and International Studies
46
Introduction
In the United States, the economic, social, and educational status of Black males is in
serious jeopardy. Research has shown that Black males have high mortality and substance abuse
rates, low educational attainment, and low potential to succeed economically (Blake & Darling,
1994). Despite the frightening conditions of Black males, some do attend college and even
graduate, but at a much lower rate than other racial and ethnic populations. The few students that
are able to navigate the system of higher education and earn a bachelor’s degree tend not to
major in fields such as science, technology, engineering, or mathematics (STEM). As a result,
national organizations such as the American Association for the Advancement of Science,
National Science Foundation, and the National Academies have targeted efforts and funds
towards increasing minorities earning STEM degrees. However, to date, there is very limited
research available that can inform the ways in which the use of such funds for African
Americans should be targeted. Moreover, the limited research conducted on Black STEM majors
has not accounted for within-group ethnic differences and whether higher education support
mechanisms should be targeted in particular ways for specific groups within the Black
population. Utilizing Ogbu’s (1998) Cultural-Ecological Theory of Minority School
Performance, this qualitative and quantitative study sought to understand the academic
experiences of Black males who are STEM majors and whether these experiences varied across
ethnic groups.
Overview of the Literature
Despite a great deal of attention from researchers, politicians, and community
organizations, the educational attainment gap between Whites and under-represented groups,
specifically African Americans, continues to widen. This trend is even more disconcerting when
examined through the lens of gender. While the demand for enrollment of minorities in colleges
and universities is increasing, the proportion of Black males attending college remains small in
comparison to other populations. The findings from studies on Black college students assume
that Black males and females have the same college experiences. However, recent statistics
provide evidence that there is a gender gap between Black males and females earning a
bachelor’s degree (Snyder & Hoffman, 2004). Since there are twice as many Black female
students than male students, current research tends to be more reflective of female Black college
students’ experiences than that of Black male students.
Moreover, examination of the disciplines and academic majors from which Black males
graduate illuminates that these students are less likely to major in the fields of science,
technology, engineering, or mathematics (STEM). This trend is most evident in the fields of
physical science and mathematics (Hrabowski, 2003). The disparities in degree attainment
between Whites and racial minorities can be attributed to the differences in educational and
social opportunities. Individuals from a low socioeconomic status are more likely to attend an
urban school that has poor quality teachers and fewer upper level math courses (i.e. Advanced
Placement courses) than middle class schools. The students who attend urban schools are not
afforded an equal opportunity to build a foundation for success in college, especially the type
required for the kinds of learning that will lead to majoring in a STEM field.
Black College Students in Math and Science Courses
Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting Their
Persistence in College
47
Snipes and Waters (2005) note that only within the past few years have studies focused
exclusively on African American mathematics students. Even fewer in number are studies
(Treisman, 1992, Maton and Hrabowski, 2004, and Moore, 2006) that examine the experiences
of African American college students in math and science classes.
A pinnacle study (Maton and Hrabowski, 2004) examined the exemplary Meyerhoff
Scholars Program, which was developed in 1988 in response to the low levels of performance of
well-qualified African American STEM majors. Maton and Hrabowski (2004) studied this
program to determine which factors contributed to retaining and graduating African American
STEM majors. To recruit and retain students, the Meyerhoff Scholars Program incorporates
specific financial, academic, and social support mechanisms for this population. Maton and
Hrabowski (2004) identified four sets of factors–academic and social integration, strong skill
base, ongoing support and motivation, and excellent advising–necessary to enhance minority
students’ persistence and graduation rates in STEM majors.
Similarly, Treisman (1992), in his ethnographic study of 20 Black and 20 Chinese
students in a college calculus class, found that both academic and social supports are necessary.
Treisman (1992) observed that Black students were studying alone for calculus for about six to
eight hours per week, while Chinese students were studying eight to ten hours alone and four to
six hours with a group and that they would check each other’s homework.
Treisman (1992) concluded that different strategies need to be used for Black and Latino
students to successfully complete calculus and to remain math or science majors. These
strategies, which parallel the Meyerhoff Scholars Program’s factors for retaining and graduating
African American STEM majors, were inculcated through the anti-remedial program Treisman
created. The strategies used were to emphasize using study groups, utilize university support
services, provide a supportive emotional and academic environment, and to create connections
with the faculty (Treisman, 1992).
Treisman’s (1992) and Maton and Hrabowski’s (2004) findings have also been supported
by Moore’s (2006) study, which used grounded theory to identify African American males’
decisions to pursue engineering as a major and career. Individual interviews, focus groups, and
biographical questionnaires were completed by 42 African American male college students who
attended a predominantly White university. Moore (2006) found five themes:
(a) strong interests in science, technology, engineering, and
mathematics; (b) strong familial influence and encouragement;
(c) strong aptitude in science and mathematics; (d) meaningful
academic experiences and relationships with school personnel;
and (e) meaningful enrichment programs, opportunities, and
academic experiences. (p. 250)
Studies that focus more specifically on Black students majoring in science and
engineering suggest that one reason these students drop out is because of their mathematical
performance in middle and high school. Algebra is a “gatekeeper subject” to the STEM
disciplines (Moses & Cobb, 2001) but because “too many poor children of color are denied
access to upper-level math classes” (Checkley, 2001, p. 6), they do not have the necessary
educational foundations to succeed in college-level classes.
Journal of Global and International Studies
48
Together, the findings of this small body of research suggest that in order to retain and
graduate Black STEM majors, several core factors must be incorporated into the students’
college experience (Maton & Hrabowski, 2004; Moore, 2006; Treisman, 1992). The first factor
is financial support because reducing financial stress allows the students to focus on their studies.
Second, a strong academic skill base to comprehend the material is imperative. Third, a
decreased feeling of isolation is essential; because there are so few Black students on campus, it
is critical that the students are academically and socially integrated to campus and feel a part of a
community. Fourth, ongoing support from and relationships with faculty members, advisors, and
peers solidify students’ feeling a part of the community. Next, family involvement in the
students’ collegiate experiences is crucial. Last, an understanding of how to navigate the system
of higher education bears directly on a student’s academic success. However, without further
research about the experiences of Black male students majoring in these areas and the factors
contributing to their remaining and graduating as STEM majors, there appears to be little
likelihood that the numbers of Black male students entering these degree programs will increase.
Ogbu’s Cultural-Ecological Theory of Minority School Performance
Complicating this issue further is the limited information available about within-group
differences of Black male students in the STEM disciplines. Studies to date homogenize Black
males into one category and do not attempt to account for the variation in ethnicity and cultural
background of African American students. Ogbu’s (1998) Cultural-Ecological Theory of
Minority School Performance postulates that a minority’s educational views and experiences are
directly related to the way in which they became a minority.
According to Ogbu, there are three types of minorities: autonomous, voluntary, and
involuntary. In the United States, autonomous minorities are small in number and they may have
a distinct religion, ethnic, or cultural identity. While they do experience some discrimination,
they are not socially, economically, or politically disadvantaged. Examples of autonomous
minorities are Jews and Mormons. Since there are not any non-White autonomous minorities in
the United States, and Ogbu was concerned with people of color, he did not expand on this
minority type (Ogbu, 1987, 1994; Ogbu & Simons, 1998).
Voluntary (immigrant) minorities are those who have chosen to come to the United States
in order to obtain a better future, and as such, they may not internalize the cultural dynamics of
America or feel particularly a part of the relationship between American Whites and non-Whites
(Griffin, 2002; Ogbu & Simons, 1998). Immigrants from Africa, the Caribbean, and China are
examples of voluntary minorities. The voluntary minorities “acculturate in an additive process
(accommodation without assimilation) by overcoming language differences and differences
between their cultural systems and that of the dominant host society” (Luciak, 2004, p. 360).
Involuntary (nonimmigrant) minorities are those that “(1) did not choose but were forced
against their will to become a part of the United States, and (2) they themselves usually interpret
their presence in the United States as forced by white people” (Ogbu & Simons, 1998, p.159).
Involuntary minorities, people who have been conquered (American Indians), colonized
(Mexican Americans in the Southwest), or enslaved (African Americans), often do not share the
same level of positive expectations for their future as voluntary minorities (Ogbu, 1987). On the
contrary, “involuntary minorities’ perspectives of underserved and institutionalized oppression or
discrimination have influenced the ways that they respond to White Americans and to the
Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting Their
Persistence in College
49
societal institutions which Whites control” (Ogbu, 1990, p. 47). This population tends to
experience the most challenges with academic performance and adjusting to school.
According to Ogbu (1998), children of immigrant minorities, regardless of their
generational status, are considered voluntary minorities because he has found that the “education
of descendents of immigrants continues to be influenced by the community forces of their
forebears” (p. 159). The exception is when descendants of the immigrant group resemble the
nonimmigrant group and society forces both groups to live and work together. As a result, the
voluntary and involuntary minorities intermarry, and the descendents grow up with
nonimmigrant peers and begin to assume the philosophies of their community. This situation has
been experienced within the Black community because the descendents of Black immigrants
from Africa and the Caribbean have become “Black Americans” (Ogbu & Simons, 1998).
Significant differences have been found in the educational attainment of Blacks who have
chosen to immigrate to the U.S. and those who have been forced here due to the nation’s history
of slavery (Ogbu, 1987; Ogbu & Simons, 1998). Ogbu further argues that in order to understand
this educational gap, it is necessary to examine both systemic and community forces. The
system refers to “the way minorities are treated or mistreated in education in terms of
educational policies, pedagogy, and returns for their investment or school credentials” (Ogbu &
Simons, 1998, p. 156). How and why a group became a minority, coupled with their
community’s and families’ educational returns and values are the community forces. According
to Ogbu’s theory therefore, it may be that not all Black STEM majors will require the same
amount of support due to the differences in how they became a minority and their community
and family forces.
There is a need to distinguish race from ethnicity. In 1948, Cox (as cited in Atkinson,
Morten, & Sue, 1993) defined race as “any people who are distinguished or consider themselves
distinguished, in social relations with other peoples, by their physical characteristics” (p. 7). This
definition was one of the earliest that incorporated the social aspects of race. Krogman (1984, as
cited in Helms, 1993) defines race as “a sub-group of peoples possessing a definite combination
of physical characteristics, or genetic origin, the combination of which to varying degrees
distinguishes the sub-group from other sub-groups of mankind” (p. 3). In differentiating between
race and ethnicity, Casa (1984, as cited in Helms, 1993) has defined ethnicity as, “a cultural
group classification of individuals who share a unique social and cultural heritage passed on
from generation to generation” (p. 4). According to Atkinson and colleagues (1993), “ethnic
differences involve differences in nationality, customs, language, religion, and other cultural
factors; physical differences are not necessarily germane to ethnic differences” (p. 8). Thus, the
terms race and ethnicity are not synonymous because ethnicity does not consider physical
differences. To this end, it is possible for people to belong to one race and also belong to various
ethnic groups. For example, the racial category of Black includes ethnic groups such as African
Americans and Jamaicans.
The concept of who is Black has a legal history in the United States because laws such as
the “one drop rule” and the “traceable amount rule,” were created to categorize as Black any
person who has as little as one thirty-second African/black blood (Rosenblum & Travis, 2000;
Waters, 1999). Helms (1993) notes that a person “needs only to have one-sixteenth black African
ancestry or some physical features deemed typical of such ancestry in order to be classified as
black” (p. 3). Blacks are the only ethnic population in the United States that is defined and
counted according to a “one drop rule” (Rosenblum & Travis, 2000). Once a person is classified
Journal of Global and International Studies
50
as Black, they are subject to being treated as second class citizens. In contrast to the one drop
rule, defining blackness across ethnic groups is different. Additionally, just because people may
be of the same race does not mean they all share the same culture, identify with each other, or
even get along.
In the United States, West Indians’ interactions and views of African Americans is rather
complex. In Black Identities: West Indian American Dreams and Realities, Waters (1999)
explains how West Indians do not want to be categorized as African Americans because they do
not consider themselves African American, and they want to maintain their own West Indian
culture and identity. A level of tension has been found to exist between African Americans and
West Indians, but their relationship is impacted by the generational status of the West Indian.
Waters (1991) addressed this issue in a qualitative study by conducting in-depth
interviews with a diverse sample of African Americans and West Indians from different
socioeconomic backgrounds and generations. Both the immigrant and American born
participants all felt that “American blacks were hypersensitive to race…[and] saw race and
racism in every situation, even when [such sensitivity] was not unwarranted” (Waters, 1991, 69).
West Indians also had very clear views of African Americans, especially regarding work ethic
and achievement. West Indian immigrants tended to view African Americans as “lazy,
unambitious, uneducated, unfriendly, welfare-dependent and lacking in family values” (Waters,
1991, p. 69).
African Americans also have very clear views of West Indians. The African American
participants interviewed by Waters (1991) described the West Indians as “selfish, lacking in race
awareness, being lackeys of whites, and had [having] a sense of inflated superiority” (p. 70).
American Blacks prefer to use the term African American to racially describe themselves, and
they believe all Black ethnic groups should also use this term in the United States. When Black
ethnic groups reject being categorized as African American, African Americans perceive this
response as the African American ethnic group being considered inferior to West Indians or
Africans.
Traore (2003) researched the negative relationships between African and African
American students in an inner city high school in the US. “African students wondered why their
fellow African American brothers and sisters treated them as second-class citizens, while the
African Americans wondered why the African students [seemed] to feel or act so superior to
them” (Traore, 2003, p. 244). The concept of Afrocentricity, placing African values as the
foundational principle, was used as a tool to bring these two groups of students together because
they had to partake in small group discussions and attend cultural events. As the students learned
about their own and each other’s cultures, they began to form positive relationships by getting to
know each other personally and dispelling the myths and stereotypes that previously existed.
The same stereotypes and myths that negatively impacted the high school students’ views
of Africans and African Americans, also negatively affects adults. In “Tensions between
Africans and African Americans Surface Again,” an article in the New York Amsterdam News
(Cunningham, 2005), it was reported how African immigrants are frequently harassed by African
Americans in New York. While not everyone shares experiences or views, there is a level of
separation between Africans, African Americans, and West Indians in the U.S. despite what
might be considered their apparently common race.
Issues Effecting Black Male College Student Retention and Graduation
Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting Their
Persistence in College
51
There is a wealth of literature on African American college students ranging from Black
students on predominantly White campuses (Sedlack, 1987), the effect of stereotypes on
standardized test taking by Black college students (Steele & Aronson, 1995), and African
American students and racial identity (Helms, 1993); however, few studies have focused solely
on African American male college students (Harper, 2004). The few studies that have been
conducted on undergraduate Black males identify general factors that lead to such students
earning a degree. Unfortunately, as mentioned previously, there are few studies on the academic
experiences of Black male STEM majors. Unlike Black females, who may leave school because
they drop out, the Black male attrition rate is significantly higher due to academic dismissal
(Hood, 1992; University System of Georgia, 2002). The literature pertaining to undergraduate
African American males identifies several general factors that encourage their persistence in
college. These factors tend to be grouped under the headings of individual, institutional, and
family factors.
Individual factors
Individual factors are specific to the person and include GPA, academic skills, and
motivation to succeed, among other noncognitive factors. In their survey of 229 African
American freshmen at a Historically Black College and University, Schwartz & Washington
(2002) found that high school GPA and class rank, combined with noncognitive factors–intrinsic
motivation (being motivated internally to succeed in college), students’ academic and social
integration on campus, students feeling a part of the academic and social environments, the value
students placed on education, and students believing that education is the conduit to achieving
career and financial goals–are more likely to predict African American males’ persistence in
college than ACT scores.
Hood’s (1992) research on the academic and noncognitive factors affecting the retention
of African American males at a predominantly White institution is often cited when discussing
this population. The sample included 409 (60% Black and approximately 13% each of White,
Latino, and Asian) students who were admitted to the Educational Services Program, a special
program to recruit and retain minorities and underprepared students. For Black males, high
school class rank was the only variable that was significant in predicting GPA in college. To gain
a deeper understanding of the college successes and failures of Black males, Hood interviewed
two seniors and three freshmen. The interview participants attributed the high attrition rate of
Black males to three factors: “(1) allowing situations to ‘get to them’ (e.g. being the only Black
person in a class), (2) not taking college seriously until too late, and (3) not getting help such as
counseling and/or tutoring when needed” (Hood, 1992, p. 21).
Davis (1994) surveyed 742 Black males who attended Historically Black Colleges and
Universities (55%) and Predominantly White Institutions (45%) on their demographic
information, college-level factors, and academic performance. His conclusion, which supports
Hood’s (1992) findings, is that “college-going Black males who are achievers in high school and
who become more fully integrated into the academic life of their college campuses are more
likely to be the most academically successful in college” (Davis, 1994, p. 630). Together, these
studies suggest that African American males succeed because of their intrinsic motivation,
determination to succeed, and ability to establish relationships with peers and faculty.
Journal of Global and International Studies
52
Institutional factors
Institutional factors pertain to the culture and climate of the university and whether
minority students are able to integrate academically within the university. A healthy campus
climate includes the entire operations of a campus from the recruitment of students, faculty, and
staff to student organizations to curriculum and faculty interactions.
The significance of academic integration for Black males was found in Patitu’s (2000)
study on the satisfaction of 185 Black males who attended a predominantly White research
university. Overall, the students felt academically integrated to campus because they were
receiving a good education, formed relationships with faculty and peers, had positive
experiences, created an enjoyable social life, accessed student services, and received financial
support.
Studies have proven that students have experienced college differently on all levels
depending on their race (Cabrera, Nora, Terenzini, Pascarella, & Hagedorn, 1999; Johnson,
2003; Reid & Radhakrishnan, 2003). The demographic changes within the student body have
forced colleges and universities to proactively attempt to create and maintain a healthy campus
climate and community. Campus climate involves more than just treating everyone equally. It
involves ensuring that there are policies and procedures that overtly support and encourage a
multicultural environment both in and out of the classroom so that every student feels as if he or
she is a part of the community. “The challenge is to create campus environments that reflect the
cultural heterogeneity within [the population] and create a learning community where all
students are treated with respect and helped to succeed” (Valverde & Castenell, 1998, p.109).
While there is literature on the role of campus climate on the persistence of African
Americans, the literature on African American males and campus climate, specifically, is
limited. Also, studies have not reported or focused on the role of campus climate on the
persistence of African Americans based on their academic majors. Studies have indirectly shown
the affect of the racial climate and academic climate on Black males. For instance, African
American males who performed better academically reported that they felt as though their
institution supported them as Black men and directly met their needs (Cuyjet, 1997; Davis, 1999;
Hall & Rowan, 2001).
Family factors
Research has identified patterns in African American families; however, it is important to
remember that not all families are the same. Slavery has negatively and positively impacted the
African American family structure. Negatively, it has stripped the family as a unit and separated
mothers and fathers (Fordham, 2000). Positively, it has allowed the family to become a more
unified unit, and to extend it beyond the traditional definition of a family (Henke, 2001;
McEachern & Kenny, 2002).
There is a significant amount of literature regarding the relationship between family and
educational success, but it is primarily focused on K-12 and not higher education (Walker &
Satterwhite, 2002). The literature that does exist on college students is inconsistent, and there are
few studies on African American college students (Rodriguez et al., 2003). The research that is
available demonstrates that families play a critical role in the academic success of Black
undergraduate students (Kiah, 1992; Walker & Satterwhite, 2002; and Herndon & Hirt, 2004).
Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting Their
Persistence in College
53
To date, there are not any studies that specifically address the relationship between family
support and Black male college students.
Moore’s (2006) study demonstrated that individual, institutional, and family factors all
affect Black male students’ retention and graduation. Individually, Black male engineering
majors must be academically strong in math and science, as well as seriously interested in the
STEM areas. Institutionally, they must interact with faculty and have meaningful academic
experiences. Familial influences and receiving encouragement from their family are also equally
important.
In addition to the interaction of individual, institutional, and family factors, Black males
wishing to undertake a STEM major are also susceptible to other issues. The few studies that
have been conducted on Black male students persistence show that their persistence is effected
by their intrinsic motivation, value placed on obtaining an education, integration to campus (Hall
& Rowan, 2001; Moore, 2006; Patitu, 2000; Schwartz & Washington, 2002, Summer), and
familial support (Herndon & Hirt, 2004; Rodriguez et al., 2003; Walker & Satterwhite, 2002).
In summary, there is a wealth of research on African American college students’
experiences, but since there are twice as many Black female students than male students, current
research is more reflective of female Black college students’ experiences than Black male
students. Additionally, while research has been conducted on Black male college students, there
is very little research on Black males who are majoring in a STEM discipline. Overall, the
literature on Black males persisting in college suggests that the factors needed for them to persist
and earn a degree are (1) academic integration, (2) institutional support, and (3) their personal
qualities and academic skills (Cuyjet, 1997; Hall & Rowan, 2001; Hood, 1992; Maton &
Hrabowski, 2004; Patitu, 2000; Schwartz & Washington, 2002, Summer; Wellbrock, 1998). In
addition, the values instilled by their family, as well as continued family support, positively
affect Black students’ academic success (Herndon & Hirt, 2004; Walker & Satterwhite, 2002).
When students are academically integrated, this positively influences their grade point average,
commitment to their college, and to earning a degree.
This study fills existing gaps in the literature on the academic integration of Black males
who are STEM majors, the role of their family on their academic collegiate experiences, and
within-group ethnic differences. Understanding Black male STEM majors’ academic integration
and the role of their family will provide information that will allow institutions of higher
education to enhance these students’ educational experiences, thus increasing their persistence
and graduation rates.
Purpose and Research Questions
Drawing on Ogbu’s theoretical concepts, the purpose of this study is to examine how
familial and institutional factors interact with the academic experiences of a diverse group of
Black males enrolled as STEM majors at one university. Utilizing both quantitative and
qualitative techniques, this study analyzed the academic integration of Black male undergraduate
STEM majors, the role of their families in their collegiate career, and whether there were any
within-group differences. The study was guided by the following research questions:
1. What have been the participants’ academic experiences in higher education as a STEM
major?
Journal of Global and International Studies
54
a. What are some of the within-group variations of the academic experience of
Black male STEM majors at a predominantly White, public research university?
2. What role does family play in the participants’ academic experiences?
a. What are some of the within-group variations of the participants’ family values
and expectations about higher education?
Method
This study examined the familial influences and academic integration of Black male
STEM majors attending a predominantly White research university in the northeast. The
researcher used both quantitative and qualitative research methods. The survey, Academic and
Social Integration Scale (Pascarella & Terenzini, 1980), enabled the researcher to learn about
the participants’ academic integration, specifically their interaction with faculty, intellectual
development, and institutional and goal commitments, and within-group differences. A
demographic questionnaire was used to collect background information on each participant and
information about each participant’s family. The qualitative method of interviews was used to
gain more in-depth perspectives on the role of family on the academic experiences of six Black
male STEM majors.
Setting and Sample
The setting for this study was a science and technology public, predominantly White
research university with a total population of approximately 8,800 students. Participants in this
study were all students who met the criteria for inclusion in the study. They were (a) Black, (b)
male, (c) currently enrolled as a full-time undergraduate student, (d) science, technology,
mathematics, or engineering major, and (e) had sophomore (27 credits) standing or higher.
Freshmen were excluded due to their limited amount of college experience and because the
instrument to be administered–the Academic and Social Integration Scale (Pascarella &
Terenzini, 1980)–requires students to have completed at least one year of college.
Based on the database the researcher received from the University, there were 258
students who met the criteria for the study. All 258 students were asked to complete the survey.
Ninety-nine students (27 African, 24 African American, 25 Caribbean, and 23 Biracial)
completed the survey. In the demographic portion of the survey, participants were allowed to
identify themselves ethnically by checking a maximum of two ethnic categories. Based on the
responses, the four ethnic categories were African, African American, Caribbean, and Biracial.
The Biracial category identifies participants who identified themselves as belonging to two
ethnic groups.
As can be seen in Table 1, most of the students who participated in the survey were
engineering majors (78%), 19% were technology (i.e. computer science and information
technology) majors, 2% were majoring in mathematics, and 1% was majoring in science. The
largest percentage of participants (28%) family income was between $20,000 – 39,999 per year.
An additional 20% was $40,000 – 59,999, 13 % was $60,000 – 79,999, and 20% was over
$80,000.
The participants were not only more likely to have come from a middle or upper class
socioeconomic level, but it was also more likely that they were not the first in their families to
attend college. In fact, less than 30 percent (27.3%) of the participants were the first person in
Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting Their
Persistence in College
55
their family to attend college. Overall, the fathers of all the participants were well educated, as
more than half (53.5%) had earned a doctorate degree. The mothers were also educated, but not
to the extent to which the fathers were because 32.7 percent of the mothers never attended
college, and none of the mothers of the participants had earned a doctorate. Nearly 35 percent of
the mothers had not earned at least a bachelors degree.
There were significant differences when the parents’ educational background was
scrutinized by ethnicity. Overall, the African parents were the most educated with 36.4 percent
having earned at least a bachelors degree. The Caribbean fathers were more educated because 64
percent earned at least a bachelors degree; however African fathers were the most educated, with
74.1 percent having earned at least a bachelors degree.
Table 1.
Participant Demographics (N=99)
Characteristic
Ethnicity
African
African American
Caribbean
Biracial
Major
Science
Technology
Engineering
Mathematics
Family Income (N = 93)
$0 – 19,000
$20,000 – 39,999
$40,000 – 59,999
$60,000 – 79,999
$80,000+
Missing
First To Attend College
Yes
Frequency
Percent
27
24
25
23
27.3
24.2
25.3
23.2
1
19
77
2
1.0
19.2
77.8
2.0
12
28
20
13
20
6
12.9
30.1
21.5
14
21.5
27
27.3
From the population of 99 students who completed the survey, 28 students volunteered to
be interviewed. To obtain a diverse interview pool, the researcher used the following criteria –
ethnicity, income, and major. Only six students responded and participated in the interview. The
sample included one African American, two Africans, and three Caribbean students (see Table
2). There were two sophomores, three juniors, and one senior. One of the students was majoring
in mathematics, one majored in instructional technology, and four were engineers (biomedical,
Journal of Global and International Studies
56
chemical, civil, and industrial). To protect the identity of the participants, pseudonyms are used
in reference to all of the participants as well as specific programs, individuals, and settings.
Table 2.
Interview Participants Demographics
Participant
Ethnicity
Allen
Darren
African
African
Jacob
Haitian
George
Haitian
Charles
Jamaican
Peter
African
American
Major
Math
Chemical
Engineering
Industrial
Engineering
Instructional
Technology
Biomedical
Engineering
Civil Engineering
Year
Family Income
Sophomore
Junior
$20,000 – 39,999
$80,000+
Junior
$20,000 – 39,999
Sophomore
$20,000 – 39,999
Junior
$20,000 – 39,999
Senior
$80,000+
Overall, the participants in this study were students from educated parents whose family
income tended to be at least middle-class. In addition, most of the students were not first
generation college students, and their parents were born outside of the United States.
Data Collection
There were two phases of data collection because of the mixed methods design being
utilized. First, a survey was used to elicit information regarding participants’ academic
integration, specifically their interaction with faculty, intellectual development, and institutional
and goal commitments. Participants were contacted via email to participate and complete the
web-based survey. Next, interviews were conducted with a smaller portion of students to explore
the role of their family on their collegiate academic experiences. Each of these methods is
described next.
The Academic and Social Integration Scale/Survey
The Academic & Social Integration Scale (Pascarella & Terenzini, 1980) is based on
Tinto’s (1988) academic and social integration model. According to Tinto’s model (1988, 1998),
students depart from college because they are not academically and socially integrated with the
college. Persistence is influenced by students being involved on campus socially and
academically; however, being academically integrated tends to influence persistence more
(Tinto, 1998). The academic and social integration model assumes that a student’s academic
performance and intellectual level impacts their academic integration. The Academic and Social
Integration Scale has been found to be internally reliable and valid with “alpha coefficients for
Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting Their
Persistence in College
57
these scales ranging from .71 to .84” (Fox, 1984, p. 1052). Overall, Fox (1984) concluded the
scales “have discriminate validity” for studying under-represented students attending urban
institutions.
The Academic and Social Integration Scale consist of five sub-scales of institutional
integration, of which four were utilized for this study. The student perception of peer group
interactions was not used for this study because the focus of the study is on students’ academic
integration. The interactions with faculty scale measures students’ out of classroom experiences
with faculty and assesses whether the students developed a close relationship with at least one
faculty member. Interactions with faculty inside and outside the classroom also directly impacts
a student’s academic integration (Tinto, 1998). The quality and interest in teaching, as well as
faculty’s interest in helping students develop academically and personally, are the focus of the
faculty concern for student development and teaching scale. The third scale, academic and
intellectual development, focuses on students’ satisfaction with their GPA and overall academic
experience and with the students being intellectually stimulated. The more students are
integrated to their campus academically and socially, the more committed they are to the
institution and to graduating, commitments Tinto refers to as “institutional and goal
commitments” (Pascarella & Terenzini, 1980). Institutional and goal commitments, the final
scale, seek to understand students’ commitment to graduating from their current institution or
another institution, enrolling the following semester at their current institution, and overall
satisfaction with current institution. Ultimately, the student should experience institutional
integration.
Interviews
At the end of the demographic survey, students were asked to volunteer for an optional
interview. A total of six students were interviewed for approximately 45-minutes. A semistructured interview guide (Seidman, 1998) was created based on two sources. The first source
was a revised set of questions that the researcher had previously used in a pilot study conducted
in 2004. The second source was a set of questions that has been used in previous research by
Herndon & Hirt (2004). The interview protocol focused on the participants’ role within his
family, his family’s effect on his collegiate academic experience, family values, family
expectations, characteristics males should embody, and familial support. In addition, a few
questions inquired about campus culture, classroom climate, and participants’ interactions with
their academic advisors because these experiences are related to their academic integration. With
the permission of the participants, the interviews were tape recorded. All interviews took place
on campus in a conference room.
Data Analysis
Data analysis followed a 3-phase plan: phase one, analysis of the survey data; phase two,
interviews; and phase three, amalgamating survey and interview data sets. For phase one (The
Academic and Social Integration Scale), the scales were analyzed separately using descriptive
statistics to search for general trends. Inferential statistics (ANOVA and cross tabulations) were
used across the scales to determine patterns of significance as well as relationships between the
demographic variables and scale items. The demographic variables were analyzed using
Journal of Global and International Studies
58
descriptive statistics to provide a portrait of sample characteristics. ATLAS/ti was used to
analyze the interview data, which was coded inductively and deductively in a two step process.
Categorical aggregation (Stake, 1995) was used to search for “patterns of experiences” (Aronson,
1994). Coded segments of data that appeared to be similar or related were chunked into groups.
To further reduce the data, common patterns were merged into several overarching themes.
“Themes are defined as units derived from patterns such as ‘conversation topics, vocabulary,
meanings, feelings, or folk sayings, and proverbs” (Taylor & Bogdan, 1989, p. 131 as cited in
Aronson, 1994). By grouping codes with similar meanings together and searching across the
data, the researcher was able to identify six themes. The final process included amalgamating
both data sets.
Findings
Despite theories (Ogbu, 1987) that posit that immigration status and cultural background
interplay with Black males’ student success, most of the available research on academic
integration has not looked at the variation across different Black ethnic groups. One purpose of
this study was to examine how institutional factors interact with the academic experiences of a
diverse group of Black males enrolled as STEM majors at one university and to see if there were
any within-group ethnic differences. This section presents the results of the Academic and Social
Integration Scale to address the first research question: what have been the participants’
academic experiences in higher education as STEM majors and are there within-group ethnic
differences? The second section will provide key findings based on the qualitative and
quantitative data.
Academic integration is an interplay of factors linked to academic performance, campus
climate, interactions with faculty, intellectual stimulation, and a range of other formal and
informal academic experiences. In general, the students’ responses in this study are positive
regarding their academic experiences at this institution, as measured by the Academic and Social
Integration Scale (Pascarella & Terenzini, 1980). Their overall satisfaction relating to academic
integration was evidenced in two ways – their assessments of campus climate and interactions
with faculty.
Quantitative Findings
Campus Climate
Campus climate involves more than just treating everyone equally. It involves ensuring
that there are policies and procedures that overtly support and encourage a multicultural
environment both in and out of the classroom so that every student feels a part of the community.
“The challenge is to create campus environments that reflect the cultural heterogeneity within
[the university population] and create a learning community where all students are treated with
respect and helped to succeed” (Valverde & Castenell, 1998, p. 109). One aspect of the campus
climate is the academic climate, which is “composed of students’ observations about their
academic experience, such as treatment by instructors, being perceived as serious students by
peers, and receiving academic mentoring” (p. 265). Reid and Radhakrishnan (2003) found that
the academic climate was a better predictor of general campus climate than racial climate for
undergraduate African Americans.
Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting Their
Persistence in College
59
The academic climate as a STEM major is important to these students because their
academic experiences have a direct impact on their retention and graduation. Overall, the
participants were fairly pleased with their academic experiences. Sixty-two percent reported
feeling satisfied or very satisfied. With the exception of one biracial student who strongly
disagreed, all (99%) of the students indicated that it was imperative for them to graduate from
college. Over 80 percent (82%) of the students felt that earning good grades is important. All of
the students were highly motivated, as evidenced by their reported commitment to the institution,
graduating from college, and earning good grades. Therefore, the data suggest that this
institution’s campus climate provided an environment conducive to meaningful academic
experiences.
Based on the data and the literature, it is apparent that these students, regardless of
whether they had already declared their intended majors, had decided that they would pursue a
career in a STEM field. The campus climate, coupled with the students’ interests and career
goals may explain their level of intrinsic motivation as well as commitment to this institution.
More specifically, seventy-four percent were confident they made the right choice in choosing to
attend this university. These results would suggest that the participants were having a positive
academic experience.
Interactions with Faculty
The frequency and quality of student-faculty interactions, both inside and outside of the
classroom, are considered a key component of academic integration for Black students (Hood,
1992; Patitu, 2000). The literature has overwhelmingly concluded that the more meaningful
contacts students have with faculty, the more likely the students’ satisfaction, adjustment to
college, and academic success are positively influenced (Chang, 2005; Garrett & Zabriskie,
2003; Kuh & Hu, 2001; Pascarella & Terenzini, 1978). In other words, when students become
connected to the campus community, they are more likely to become integrated to the institution.
The general trends across all ethnic groups in this study regarding their professors’
quality in teaching and helping students develop academically and personally were not positive.
Overall, the students felt their professors were committed to teaching (67%), but were not
outstanding teachers (57%). Less than half (46%) believed the professors were committed to
spending time with students outside of the classroom. Since the student to faculty ratio (13 to 1)
at this university is very good, it is possible that faculty members are able to converse with
students more during class time, which minimizes the need for outside of class contact. The
participants’ responses resonate with the general university responses from the National Survey
of Student Engagement that was conducted at this institution in 2004. Students at this institution
are less satisfied with their educational experiences and relations with faculty as compared to
other United States doctoral-intensive institutions.
While over seventy percent of the students indicated they felt as though they were
intellectually stimulated, only forty percent believed their interactions with faculty outside of the
classroom had a positive impact on their intellectual development. At the same time, sixty
percent of the participants reported that their career goals had been positively influenced by
outside classroom interactions they have had with faculty. This finding is in agreement with
Moore (2006), who found that African American male engineering students’ educational
Journal of Global and International Studies
60
interests and career goals were affected by the quality of their interactions with school
professionals.
One potential reason for the reported limited intellectual development from interacting
with faculty outside of the classroom may be the lack of Black male faculty members on campus.
The limited numbers of Black males earning a degree in a STEM discipline means there is also
being an absence or lack of Black male STEM professionals. Therefore, there is a lack of role
models and mentors for young Black males to encourage them to pursue these fields. African
Americans, according to Hall and Post-Krammer (1987, as cited in Hall, 1998), are more likely
to choose occupations in which they have interacted with successful professionals. In other
words, “early exposure to, and interaction with, professional role models in the natural and
technical sciences have been found to be critical for recruiting and retaining students’ interests
and participation in mathematics and science” (Hall, 1998, p. 31). More specifically, Lundberg
and Schreiner (2004) found that African American students preferred to disclose more
information to faculty members of their own race or ethnicity. In addition, “African American
students find it difficult to approach faculty, particularly when the faculty are different from
themselves in terms of race because they fear that faculty have negative perceptions of their
racial group” (Lundberg & Schreiner, 2004, p. 549).
Academic Integration and Differences across Ethnicities
According to Ogbu (1987, 1998), the capacity in which a people arrived in the United
States, (i.e. whether voluntarily or involuntarily) provides insight into their values, beliefs, and
educational experiences. His Cultural-Ecological theory postulates that immigrants perform
better academically than involuntary minorities (nonimmigrants) because they are more
accepting of and likely to adapt to the White middle-class norms of U.S. schools (Ogbu, 1994,
2004). To see if Ogbu’s theoretical concepts were applicable to this population, the survey data
were analyzed by ethnicity to search for within-group differences. While the data overall were
positive for the sample, when viewed by ethnic groups, some variations were apparent. There
were two main areas in which significant differences were found: academic experience and
faculty connections.
Academic Experience and Intellectual Development
The African and West Indian students in this study (both voluntary minorities), were
more satisfied with their academic experiences and appeared to be benefiting from these
experiences more than the African American and Biracial students (see Table 3). Africans (78%)
were clearly the most satisfied with their academic experience, followed by West Indian (68%),
African Americans (50%), and Biracial (48%) students.
In addition to African students being significantly more satisfied with their academic and
intellectual development, they also reported being pleased with their grade performance. Over
60% of African (63%) and West Indian (64%) students were earning the grades they expected
themselves to earn, whereas less than forty-five percent of African American (42%) and Biracial
(43%) students were similarly satisfied. The African American students (involuntary minorities)
are the least satisfied with their academic experiences, grade performance, and intellectual
growth.
Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting Their
Persistence in College
61
Table 3.
Academic Experiences Across Ethnic Groups
______________________________________________________________________________
Experience
African
West Indian
Biracial African American
Satisfaction with
academic experiences
78%
68%
48%
50%
Satisfied with academic
performance
Academic experiences
have positively influenced
intellectual growth
63%
64%
43%
42%
78%
96%
78%
58%
Satisfied with intellectual
development
70%
80%
70%
63%
To assess the statistical significance of the differences between ethnicities, multiple
comparison methods were used (see Table 4). Due to the number of tests used, a Bonferroni
correction was applied to control for the possibility of a Type 1 experimentwise error rate. An
alpha level of .05 was used for all statistical analyses. On this scale, Academic and Intellectual
Development, the African students scored significantly higher compared to African American
(M=3.05, S.D. = 1.16), West Indian (M=1.06, S.D.=1.15), and Biracial (M=2.26, S.D.=1.17).
The results also showed a significant difference between African and African American students,
p=.060.
Table 4.
Academic and Intellectual Development Scale Multiple Comparisons by Ethnicity (N=99)
______________________________________________________________________________
Ethnicity (I) Ethnicity (J)
Mean Difference (I-J) Standard Error
Significance
African
African American
3.0463
1.15980
.060*
West Indian
1.0563
1.14745
1.000
Biracial
2.2528
1.17307
.347
* Significant difference between African and African Americans. p >.05
These findings suggest that the African students are more satisfied with their academic
experiences and intellectual development at a significantly higher level than African American
students.
Journal of Global and International Studies
62
Faculty connections
The African students, more so than any other ethnic group, regularly connected,
interacted, and formed relationships with faculty members outside of the classroom (see Table
5). Conversely, African American students in this study reported having the least amount of
effective connections with faculty. Sixty percent of the African students reported developing a
close relationship with at least one faculty member, whereas less than forty percent of the
African American (38%) and West Indian (33%) students reported having developed a
relationship with at least one faculty member. More than half (56%) of the African students
participated in informal conversations with faculty, which may possibly contribute to the
students’ intellectual growth and academic integration. The African American students (33%)
were not engaged in these conversations with faculty at the same level as African students, which
may decrease the African American students’ level of academic integration. This lack of
engagement was evidenced by the fact that only twenty six percent of African American students
reported that their intellectual growth was being positively affected by their connections with
faculty outside of the classroom, while over half (54%) of the African students reported such a
benefit. The African American students’ career goals and inspirations were the least impacted
(35%) by interacting with faculty outside of the classroom, whereas nearly sixty percent (58%)
of the African students had benefited.
Table 5.
Faculty Interactions Across Ethnic Groups
______________________________________________________________________________
Interactions
African
West Indian
Biracial
African American
Close relationship with at least
one faculty member
Satisfied with opportunity to
interact with faculty
Outside classroom experiences
with faculty have positively
influenced intellectual growth
Outside classroom experiences
with faculty have positively
influenced career goals
60%
33%
47%
38%
56%
44%
39%
33%
54%
41%
37%
26%
58%
48%
50%
35%
The disparity between African and African American students interacting with faculty
was not surprising because over seventy percent (73%) of African students felt as though faculty
were interested in conversing with students on topics beyond academics. If students feel as
though faculty members are committed to them academically, professionally, and personally,
then the students will be more likely to engage in conversation and begin to build relationships
with faculty. Conversely, if the students feel as though the faculty members are not interested in
speaking with them regarding non-academic issues, then the students are less likely to form
Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting Their
Persistence in College
63
relationships and benefit from these interactions, which is evident in the responses of the West
Indian and Biracial (50%) and African American (48%) students in this study.
What is unknown in this study is whether faculty members reach out to all Black
students, and only African and West Indian students take advantage of this opportunity or
whether faculty members only reach out to African and West Indian students. Also, what is
unknown is whether faculty members have different academic expectations of Black students
based on their ethnicity, past experiences with various ethnic groups, and ethnic stereotypes.
Mixed Method Key Findings
Based on the survey and interview data, there are four key findings of this research. This
research study found that for the Black male STEM students in this project, (a) their family is a
pivotal force, (b) academic experiences varied across ethnicities, (c) faculty mediate student
success, and (d) there is a lack of interactions between ethnic groups (Black Distance) on
campus. Each of these findings is discussed next.
Family is a Pivotal Force
Ogbu’s (1998) theory has two major parts. The first part is the system (how minorities are
treated in educational settings), and the second part is the combination of community forces (the
minorities’ educational views and their responses to how they are treated in school) within a
given community. Ogbu (1987, 1994, 1998) posits that the manner by which a group achieves
minority status, coupled with their community and family educational values impacts academic
achievement. Voluntary minorities are more likely to receive academic encouragement from
their community and family than involuntary minorities (Ogbu, 1991). Voluntary and
involuntary minorities differ in their philosophies of how to “make it” and succeed in the United
States. For voluntary minorities, the “folk theory of making it involves the belief that hard work,
following the rules, and most important, getting a good education will lead to a good
employment and success in the U.S. society” (Ogbu & Simons, 1998, p. 163), whereas
involuntary minorities also agree that hard work and education are necessary to succeed but not
enough to overcome racism and discrimination.
In agreement with Ogbu, this study found that the participants’ families play a pivotal
role in their educational experiences and development. The Black males in this study have been
shaped by their family’s educational values, as evidenced by less than thirty percent of the
sample being the first in their families to attend college. More specifically, all of the Black males
interviewed reported that the value of education and obtaining a college degree was instilled at
an early age and is still emphasized today.
For these participants, their families’ role extended beyond instilling educational values
to also helping with the college application process and providing ongoing support. With the
exception of one interviewee, all of the students reported that their family played a role in them
attending college. In addition, the students interviewed reported that they currently receive
financial, emotional, and educational support from their families. Financial support, the most
frequently recorded type of support, is critical to the persistence of Black students. Research
indicates that students who worry about how to pay for college cannot focus on their academics
(Maton & Hrabowski, 2004; Patitu, 2000; Rice & Alford, 1989). More importantly, the students
Journal of Global and International Studies
64
want to show and thank their family members for all their support by performing well
academically and graduating.
This research contradicts Ogbu in that the African American student who was studied, an
involuntary minority, received the same type of messages and encouragement from his family to
succeed academically as often as the voluntary minority students in this study did. Regardless of
how the African American male interviewee’s ancestors arrived to the U.S., this study found that
his educational views and values had been shaped and continue to be shaped by his family.
Ogbu’s theory emphasizes that educational achievement is not based on race or ethnicity,
but on (1) how a person became a minority and (2) a particular culture’s ability to gain economic
progress and rewards for educational gains. By explaining a person’s educational attainment
solely on their historical process of becoming a minority, Ogbu does not acknowledge any
changes in their values, norms, and behaviors over time or by generational status (Foley, 2005;
Gibson, 1997). Therefore, his theory is a “fixed notion of race/ethnicity as an inherited historical
tradition” (Foley, 2005, p. 386) rather than one that views culture and ethnicity as ever changing
because we are shaped by our experiences, family, and community. While there were no
variations across ethnicities relating to the role of the participants’ families, there were
differences across participants in the remaining key findings.
Academic Experiences Across Ethnicities
Ogbu’s Cultural-Ecological theory postulates that immigrants perform better
academically than involuntary minorities (nonimmigrants) because they are more accepting of
and likely to adapt to the White middle-class norms around which schools in the U.S. are based
(Ogbu, 1994, 2004). The findings from this study support Ogbu’s theory, as significant
differences between the African and African American male students were found. The African
students in this study were the most academically integrated ethnic group, while the African
Americans were the least. In addition to the African males reporting being more satisfied with
their academic experiences than African Americans, over sixty percent (63%) reported being
pleased with their grade performance, whereas most (58%) of the African American students
were not satisfied with their grade performance. The African American males in this study
appeared to be the least satisfied with their academic experience, grade performance, and
intellectual growth.
Also supportive of Ogbu’s (1987) theory is the reported experiences of Caribbean
students (voluntary minorities) in this study. Like the (voluntary minority) African students, the
West Indian students reported being significantly more satisfied with their academic experiences
and appeared to be benefiting from these experiences more than the African American and
Biracial students. One of the reasons why these students may be more satisfied and motivated,
according to Ogbu (1987, 1998), is because voluntary immigrants tend to trust the system and
schools and typically conform to the rules of the new educational system because they believe it
will allow them access to other opportunities (Ogbu, 1987). The findings from this study
substantiate the need for research to investigate within-group ethnic differences because the
pattern of African American students in this study suggests that they are integrating less than
African and West Indian students.
The lack of acknowledgement of the diversity within Black ethnic groups, especially
diversity among involuntary minority groups, is a frequently cited critique of Ogbu’s theory
(Foley, 2004; Foster, 2004; Gibson, 1997). “A manifestation of these criticized aspects of
Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting Their
Persistence in College
65
Ogbu’s work is that there is no room in his analysis for the existence of involuntary minority
high-achievers whose motivations to strive and succeed are rooted in their experiences as
community participants” (Foster, 2004, p. 377). Succinctly stated, Ogbu believes that African
Americans intentionally perform poorly because they do not want to be considered to be “acting
white.” Based on the requirements to be accepted to this research university, the African
American participants in this study are considered high-achievers. While they are not excelling at
an equal level as the African participants, they are determined to succeed and are persisting
towards earning a STEM degree.
Faculty Mediate Students Success
The literature has overwhelmingly concluded that the more meaningful contacts students
have with faculty inside and outside the classroom, the more likely that the students’ levels of
satisfaction, adjustment to college, and academic success are positively influenced (Chang, 2005;
Garrett & Zabriskie, 2003; Kuh & Hu, 2001; Pascarella & Terenzini, 1978). Specifically for
STEM majors, research has shown that informal student-faculty interactions directly affect
students’ retention and their quality of effort in science and math courses (Thompson, 2001).
The general trend across all ethnic groups in this study regarding the quality of teaching
and the academic and personal mentoring is not positive. The students reported that although
their professors appeared to be committed to teaching, the professors were not, in fact,
outstanding teachers. In addition, the students indicated feeling that faculty members were not
committed to investing time in students outside of class. Due to the excellent faculty to student
ratio (1:13) and the nature of the university, all of the students had at least minimal required
interaction with faculty members and academic advisors; however, interview findings showed
that the depth of the relationship varied depending on the individual.
When the data was reviewed across the ethnicities, the African students in this study,
more so than any other ethnic group, were connecting, interacting, and forming relationships
with faculty outside of the classroom. On the other hand, the African American students had the
fewest effective connections with faculty. The African students reported participating in informal
conversations with faculty, which may possibly contribute to their intellectual growth and
academic integration. In comparison to the African students in this study, the African American
students were remotely engaged in these conversations with faculty. In addition, the African
American students’ career goals and inspirations were the least impacted by interacting with
faculty outside of class, whereas most of the African students benefited from these discussions.
One reason for the disparity between African and African American students on this issue
is that African students appear to have different perceptions of the faculty than their African
American counterparts. African students were more likely to report that they found the faculty
members were interested in conversing with students on topics beyond academics. If students
feel as though faculty members are committed to them academically, professionally, and
personally, the students will be more likely to engage in conversation and begin to build
relationships with faculty, thus becoming academically integrated into the institution.
Based on existing literature, Black students are academically integrated when they form
relationships with faculty. Therefore, if only certain groups of Black male STEM students in this
study had these opportunities, it is quite possible that the retention and graduation of some
students will be affected. These findings are similar to those of Lundberg and Schreiner (2004),
Journal of Global and International Studies
66
who found that African American students do have contact with faculty, but the interactions are
not meaningful.
Black Distance
The racial category of Black includes several ethnicities (i.e. African American, West
Indian, and African), and intra-racial dynamics exist among Black ethnic groups. More
specifically, in society, a level of tension has been found to exist among all three ethnic groups
(Cunningham, 2005; Traore, 2003; Waters, 1999). The current study found that the Black male
participants are not interacting with other Black male students, even those who appear to share
the same ethnicity, thus perpetuating Black Distance.
The Black males who were interviewed are not utilizing each other across ethnic lines as
a resource, and their interactions are minimal for unknown reasons. The participants do not know
why they continuously choose not to sit near or interact with people who look like them
ethnically. Black Distance appears to negatively impact academic integration because it is
preventing the students from forming relationships with other Blacks that could evolve into a
support network or study group, which could provide another mechanism for the students to
become integrated to campus.
Ogbu’s theory has been critiqued for presenting a rigid dichotomy that does not consider
power relations in society and underestimates the diversity within ethnic groups (Cummins,
1997; Foley, 2005; Gibson, 1997; Harpalani & Gunn, ; Tyson, Darity, & Castellino, 2005).
While researchers have shown that schooling is impacted by political and societal issues
(Cummins, 1997; Erickson, 1987; Noguera, 2003), Ogbu does not consider the impact of these
forces on school failure. The views the participants hold of other ethnicities could be impacted
by societal beliefs, thus causing them to unconsciously act on those stereotypes. Masculinity may
also be a factor in Black Distance. Ogbu does not account for any role that gender may play in
shaping a student’s academic performance, identity, or school experiences (Gibson, 1997). Yet,
as evidenced by the educational attainment gap between Black males and females, gender must
be considered (Snyder & Hoffman, 2004). While this study did not address masculinity, the
participants’ reported emphasis on the need to succeed in order to give back to their families is
supportive of existing literature (Harper, 2004). Harper (2004) found “the high-achievers’ views
of masculinity were clearly alternative and inconsistent with those of fellow African American
male peers” (p. 102) and their desire to succeed was for “selfless reasons” to help their African
American community.
The findings from the current study reveal that, overall, the Black males are academically
integrated and determined to succeed despite the limited amount of Black males on campus, poor
teaching quality of professors, and professors who do not spend quality time with students
outside of class. When ethnicity is considered, however, the African and West Indian students
had more positive experiences than African American and Biracial students in this study. Based
on these findings, there are several policy implications and recommendations that can be made to
improve the academic experiences of Black male STEM majors at this institution. These
implications are discussed in the next section.
Policy Implications
Within-group Ethnic Differences of Black Male STEM Majors and Factors Affecting Their
Persistence in College
67
Based on the findings of this study, there are four areas that higher education
administrators might want to consider when developing responsive policies for Black male
STEM majors. These areas are (1) improving communication on campus between Black males
(reducing Black Distance), (2) providing academic advising training sessions, (3) cultivating
relationships between Black male STEM majors and Black faculty and administrators, and (4)
including the family in the academic institution.
Limitations and Areas for Future Research
This study is limited by the setting, sample size, and instruments used. The institution is
focused predominantly on STEM disciplines; therefore, the findings may not translate as easily
to other universities with a broader academic focus or Historically Black Colleges and
Universities. Moreover, the sample size of the study was small; therefore, the findings cannot be
generalized to explain the experiences of all Black male STEM majors. It is also important to
note that Black male students who dropped out voluntarily or involuntarily were not studied.
Therefore, the findings of this study are of those men who show a stronger commitment to
completing their programs. It must also be noted that since race is a social construct, the
participants’ racial and ethnic identities are subjective. For example, a research participant might
have checked African and African American because he has one parent who belongs to each
ethnic category or because both parents are African, but he identifies himself ethnically as
African American.
Despite these limitations, this study is one of few studies to have investigated the
academic integration of Black male STEM majors and the role of their families on their
collegiate careers. Rather than viewing Black males as one category, this study contributes new
insights to the literature by examining whether academic integration and family support differ
among Black ethnic groups. This research shows that there is significant difference not only
between Black ethnic groups but also within each of these groups. Moreover, this study has
identified a new theoretical construct of Black Distance to describe the phenomenon whereby
Black students from different ethnic groups choose to not associate with one another although
they may be one of only two Blacks in a classroom. Future research, in addition to an
examination of the theoretical construct of Black Distance, is needed to build on the work of this
study in several ways.
First, to specifically research the interplay between Black male STEM majors’ academic,
institutional, and familial experiences, across a large population and multiple sites, a new
instrument should be created. The new instrument would expand upon the Academic and
Integration Scale and delve more deeply into issues of academic integration. A second promising
line of inquiry is the interplay of generational status and Black male’s persistence in difficult
majors such as STEM careers. Next, as a science and technology university, the students
intentionally choose to attend this school because of their academic major, which is very
different than those who attend a liberal arts university. More research is needed across all types
of higher educational institutions to explore the effect of institutional climate on the academic
and social integration of Black males (Chang, 2005; Flowers, 2006). A final area for future
research is to study Black males who are no longer STEM majors to find out about their
academic experiences and what caused them to change their majors. Understanding their
Journal of Global and International Studies
68
academic, social, and psychological experiences could provide insight into how to create
retention programs to help Black males persist as STEM majors.
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The Poetics of the Ancestor Songs of the Tz’utujil Maya of Guatemala
Linda O’Brien-Rothe, Ph.D.
The Universidad de San Carlos de Guatemala: Centro de Estudios Folklóricos
ruzha@cox.net
Abstract
This essay attempts to define the relationship between a song tradition that survives in the
Mayan highlands of Guatemala, and 16th century poetic Mayan literature. This song
tradition of Santiago Atitlán, Guatemala is slowly disappearing as the socio-cultural context
in which it flourished changes. By comparing the poetics of the song texts (including their
rhythmic structure, versification, and use of poetic devices such as assonance, alliteration and
onomatopoeia) to the poetics of the Popol Vuh, a K’iché Maya text probably copied from a
manuscript that predates the Spanish invasion, a continuity is discovered that places the song
texts squarely within the tradition of Mayan literature and suggests common origins.
The Poetics of the Ancestor Songs of the Tz’utujil Maya of Guatemala
75
The poetics of the ancestor songs of the Tz’utujil Maya of Guatemala
This essay attempts to define the relationship between a song tradition that survives in the
Mayan highlands of Guatemala and 16th century poetic Mayan literature. The comparison of the
poetics of the songs of the Tz’utujils, an oral tradition, to the poetics of the conquest-era K’ichéMaya written codex, the Popol Vuh (The Book of the Council), reveals a remarkable continuity
of style and may enhance the understanding of Mayan literature.
The current study of the poetics of Tz’utujil song texts is part of a broader project, the
aim of which is to discover the historical and cultural roots of the songs of a people closely
related to the authors of the Popol Vuh. A study of the music of Tz’utujil songs, as well as of the
construction, tuning, style, and technique of the guitar that singers play, already suggest roots in
early colonial times.
The Tz’utujil Maya
The town of Santiago Atitlán occupies a place of great beauty on the southern shores of
Lake Atitlán, which lies 5,125 feet above sea level in the southwestern highlands of Guatemala.
Of its approximately 30,000 residents, an estimated 95% are indigenous Maya, whose language,
Tz’utujil, belongs to the larger family of K’ichean languages, as does K’iché, the language of the
Popol Vuh. The songs are part of “the Old Ways,” which include the traditional calendric rituals
and other customs of the ancestors, and their texts are vehicles for the transmission of the
customs. In the twentieth century, socio-economic pressures towards modernization and the
factionalizing effects of a multiplicity of Christian sects significantly eroded the viability of the
“Old Ways, leading increasingly to their abandonment.
The oral literature of the Tz’utujils does not draw a strictly geographical picture of the
world but describes the world as a living body called "Face of the Earth" or "San Martín.”
Stories, songs, and shamanic prayers describe the observable parts of the Face of the Earth, the
terrain, and the lake which together form a flat, elliptical disc that floats within the sphere
described by the path of the sun. At the four intercardinal points lie the sacred mountains on
which the ancestors and spirits of nature reside. Some of these, like Dios (God), Jesukrista
(Jesus Christ) and Mriy Dolors (Mary of Sorrows) are Catholic deities and saints who have been
assimilated into the company of the ancestors or whose names have been assigned to ancestral
deities, called the nawals or Old Ones. The hemisphere through which the sun travels in the day
is the world of the living, and the hemisphere beneath the earth, where the sun goes at night, is
the underworld of the dead and the dwelling of the drowned and the lords of darkness who rule
there. In the very center, in the place called “the navel of the Face of the Earth,” is Santiago
Atitlán. In its center stands a 16th century stone cross, pointing, again not geographically but
mythographically, to the four intercardinal directions. The vertical column of the cross points
both upward, toward the zenith of the sky, and downward, in the direction of the underworld. It
visibly marks a spiritual axis, along which the shaman-god, Rilaj Mam or Old Grandfather, the
protector and watchman of the people, travels to the upper- and underworlds.
Tz’utujil stories present the Old Ones as powerful and wise and the customs, prayers,
music, and dance they left are capable of controlling the forces of nature to influence such forces
in favor of the people's needs. In prescribing the customs, the Old Ones established the divine
economy that operates between living people and the world of the spirits and gods. The faithful
Journal of International and Global Studies
76
carrying out of these customs ensures the continued prosperity of the Tz’utujil people. Thus,
traditionally, the old customs are the models for everyday life and conduct.
Tz’utujil songs
The Tz’utujils call these traditional songs bix rxin nawal1 (songs of the Old Ones), bix
rxin Ruch’lew (songs of the Face of the Earth), or bix rxin ojer (songs of yesterday). As
mentioned, the songs are vehicles that describe and preserve traditional cultural and social
norms, customs, and myths. Ajbixa’, or “songmen” sing of proper conduct in liminal life
situations (songs for courting, marriage, mourning, etc.) and of the gods of the agricultural
calendar and fertility (songs of the flowers and fruit, midwives’ songs). Others are used for
healing or are directed to the gods who form or inhabit the Tz’utujil cosmos (songs of “Our
Father the Sun,” songs of the Face of the Earth god, songs of Old Grandfather shaman god).
Some songs are sung in the cofradías2, others in the home; those related to courting may be sung
in the streets. They are performed by a songman either as a solo guitar piece or as a song in
which the singer accompanies himself on the guitar.
The songs used in this study are part of my ongoing research of the music of Santiago
Atitlán. I recorded the songs both in ritual contexts and in songmen’s homes. Later, the text was
written down in Tz’utujil by a bilingual Tz’utujil translator who also wrote the Spanish
translation. Together we listened to the recording again while he translated aloud into Spanish,
and I checked the spoken translations against the recording and the written Spanish. We often
stopped and replayed, to clarify obscure passages and the meaning of the traditions. 3
Edmonson’s publication of the Popol Vuh as poetry arranged in couplets with side-byside translation into English (Edmonson, 1971a), made it apparent that there is a tradition
common to both the texts of the Tz’utujil bix and the Popol Vuh (O’Brien, 1975, p. 34, note 1).
Tz’utujil songmen create their songs in parallel verse, and since K’iché and Tz’utujil languages
are quite similar, common words, phrases, and lines are easy to identify. There are also common
elements, like lists of gods and animals, lines ending with “they say,” themes (gourds, dolls of
wood, colors, roads), the phrase “face of the earth,” and a strong sense of a common vocabulary,
style, and mythology.
The Survival of the Song Tradition
There is a consensus among Mayanists that, in spite of Spanish efforts to destroy
indigenous Mayan culture, the culture, in fact, persisted, thanks to the Maya’s “capacity to
transform their models of the cosmos without destroying the basic structures of the models
themselves.” (Freidel, Schele, & Parker, 1993, p. 38). The Popol Vuh is itself evidence that
Maya authors continued to record their traditions in writing even under Spanish prohibitions
against any traditional arts that would preserve the “memory of a world that had no Spaniards
and no church in it” (Tedlock, 2010, p. 299). Carlsen (1997) describes this cultural continuity in
the specific case of Santiago Atitlán.
The songs of the Tz’utujils survived the upheavals of the 20th century, and this analysis
suggests that they are part of an oral tradition that has continued for much longer. The
opportunity presents itself now to address the question of their origins, in the context of much
useful ethnography and ethnomusicology by Carlsen (1997), Navarrete Pellicer (2005),
Stanzione (2003), Christenson (2001), and the work on the poetics of Mayan literature by
The Poetics of the Ancestor Songs of the Tz’utujil Maya of Guatemala
77
Edmonson (1971a) and Tedlock (1987, 1996, 2010). These provide a strong and useful
background of information for a return to the study of the songs in my collection and of the
current focus on their roots.
Since the end of the 36-year civil war in Guatemala (1960-1996), the visible erosion of
traditional culture in Atitlán has become all too apparent. Decades of civil war, military
occupation, and political violence have led to the ongoing loss of subsistence agriculture, the
influx of a drug-based economy, a community fragmented into religious factions, and the slow
abandonment of the traditions modeled by the Old Ones.
Mayan Alphabetic Literature
The longest Mayan poetic text written in the western alphabet is the Popol Vuh, or Book
of the Council, of the K’iché Maya. Other Mayan texts contain passages written as prose, but
closer examination shows them also to contain verse of the kind found in the Popol Vuh.
Tedlock (2010) shows that the same style of versification is also characteristic of recent Mayan
oral literature. The Popol Vuh was chosen for comparison because of its poetic character and
length and because some themes of the Popol Vuh are common to Tz’utujil songs. The Popol
Vuh is the story of the creation of the world and humans by the gods, the adventures of heroic
ancestors, and of the K’iché people’s journey to their present home in the Guatemalan highlands.
According to the Popol Vuh, thirteen tribes originated in the east, as the K’iché did. The
Tz’utujil, who speak a language closely related to K’iché and whose songs are the subject of this
study, were counted among them.
The Popol Vuh was written in K’iché using the Spanish alphabet between 1554 and 1558.
It seems probable that it was a translation from a document in Mayan writing4 from before the
Spanish invasion. The translation was copied and translated into Spanish by the Dominican friar,
Francisco Ximénez, around 1701. It was not until 1861 that it was copied and published by a
Flemish priest, Charles-Étienne Brasseur de Bourbourg, with a French translation.
Mayan Poetics
In comparing Tz’utujil songs to the Popol Vuh, I rely heavily on Dennis Tedlock’s
important and extensive work of analysis and description of the poetics of Mayan literature and
of the Popol Vuh (1983, 1996, 2010), and for the complete text of the Popol Vuh in K’iché, on
the work of Mundo S. Edmonson (1971a). It is interesting to note that the arrangement of
Mayan script before the Spanish invasion, in which signs are arranged in pairs, is continued in
the couplets which are pervasive in the alphabetic text written after Spanish contact. Referring to
the continuity between Mayan literature before and after contact, Tedlock (2010, p. 2) points out:
One of the features that unites texts in the Mayan script with those that Mayans wrote
in the
alphabet is that many passages take the form of parallel verse, in which recurrent
patterns of sound reflect recurrent patterns of meaning rather than operating at a level below that
of meaning.
In the Popol Vuh, lines of verse that are the same except for small variations, form
couplets, triplets, or quatrains. These groups are often preceded or followed by a single line
which is in some way different. In contrast to the familiar end rhyme of European poetry, rhyme
is internal in the Popol Vuh in the forms of alliteration and assonance. Onomatopoeia, in which
non-lexical words are used to convey meaning through the sounds they imitate, is common.
Journal of International and Global Studies
78
There are several mentions of songs in the Popol Vuh, and there are two short song texts.
In the song text that follows, the parallelism of the lines is obvious in both the K’iché text and in
the translation:
“Alas! We were lost at Tula!
We have broken ourselves up.
We have left behind again our older brothers
Our younger brothers.
Where did they see the sun then?
Where might they have been when it dawned?”
“Akarok! x oh zachik chi Tulan!
X oh paxin vi q ib.
X e qa kanah chik q atz,
Qa ch’ak’.
A vi mi x k il vi q’ih?
A vi’on ‘e q’o vi ta mi x zaqirik?”
(Edmonson, 1971a, pp. 182-183)
The Poetics of Tz’utujil Songs
Tz’utuhil songmen improvise lines of their songs to tunes which are associated with a
theme, such as “a young man’s song” (bix rxin k’jol) or “a sad song” (jun trist). A songman’s
text is created for the particular circumstances of the occasion (a mother is sad because her
daughter has died), from stock phrases for this type of song and from non-lexical vocables5. The
tunes are in triple meter, or 6/8 duple meter with hemiola that alternates between duple and triple
meter. They can be transcribed in music notation in 3/4, 3/8 or 6/8 meter, but they are not
metrical in a strict sense: -an extra beat, an extra measure added whether sung or instrumental are common. This rhythmic flexibility or asymmetry is not confined to songs but is found across
Tz’utujil vocal and instrumental musical styles. In songs this flexibility allows the songman to
stretch the tune in order to accommodate a longer line of improvised text, or to provide a
moment to consider his next improvised line.
Parallel verse: couplets, triplets and quatrains with a single initial or final line
In the following Bix rxin Rajaw mund (Song to the Lord of the world) the songman sings
a couplet and a triplet, each followed by an ending line which is different. Changes of line are
dictated by the singer’s pause, the end of the musical phrase or motif, or a guitar interlude.
Bix rxin Rahaw mund (Song of the Lord of the world)
Naya’ rabendicion
Give us a blessing
give us the instruments
naya’ rainstrumentos
con bona santa voluntad, Dios
with good, holy will, Dios.
Naya’ qkxilway
You give us our tortillas
naya’ qichaj
you give us our herbs
naya’ qmunil
you give us our fruit
ay’on qk’aslemal.
you are the giver of our life.
The following lines are from a courting song in which a young man quotes the insults
flung at him by the girl he is courting. She thinks he is too poor for her because he can’t afford
the colorfully woven clothes that more affluent Tz’utujils wear. The triplet is preceded by a
The Poetics of the Ancestor Songs of the Tz’utujil Maya of Guatemala
79
single line that introduces it. The triplet’s lines are analogous in wording and in meaning. At the
end a final line contains a variation in the form of the addition of a synonym, “your tie”:
Bix rxin k’jol (Song of the young man)
Majo’n k’a awc’atzil!
Sak aska’w
sak akwton
sak apas,
atnwkon.
You are worthless!
White are your pants
white is your shirt
white is your sash,
your tie.
A similar structure is found in the Popol Vuh, in which a word is dropped in the final phrase,
calling a halt to the rhythm, as in:
ca catzininoc,
ca cachamamoc
catzinonic
it still ripples,
it still murmurs,
ripples
(Tedlock, 1983, p. 222)
The following triplet from the same Tz’utujil song has a final line that completes the thought:
Kamik k’a ala’
kamik k’a k’jol
kamkc k’a nen
ks etzel njo’n.
Now, then, man
now, then, boy
now, then, I,
I felt so bad.
Quatrains are common in the Popol Vuh and in Tz’utujil songs. The following is an example of
a quatrain, again with a completing fifth line at the end:
Bix rxin k’jol (Song of the young man)
Pr kinwaj k’a jun nsantaw, nute’
pr kinsmaj k’a, nute’
pr kinsmaj k’a, nidta’
pr kinsma j k’a, in’ay’on kank’a
chwach munt ruch’lew nute’.
But I want to have money, mother
because I work, mother
because I work, father
because I work, and you have left me alone
in the world, the Face of the Earth, mother.
Passages of more than four parallel lines
Although not common in the Popol Vuh, Tz’utujil songs contain frequent examples of
five and more parallel lines. The following example is from a courting song:
Bix rxin q’poj (Song of the young girl)
mskna’ xk’yil si’
mskna’x ch’roy chaj
mskx cloy much’
mskx cloy echaj
mskx pc’oy skil
even if he is a firewood seller
even if he cuts heart-of-pine
even if he cuts hay or chipilín
even if he cuts purple herb
even if he sells ground chiles
Journal of International and Global Studies
80
mskx y c’ul wajqex
mskx . . .
bnoy ch’it ruya’l chit muqil
chi nmaqil
mskx chpoy tap
mskx s luy aqoq
mskx chpoy ch’u’
even if he herds cattle
even if . . .
if he sells small plants . . .
. . . .6
even if he is a crab catcher
even if he hunts ducks
even if he is a fisherman
Another example comes from a couple’s song:
Bix “Xketi’ ki’ (Song “They fought”)
atjun Dios
atjun sant
atjun prcipal
atjun rmament
atjun awuk’
atjuna wch’alal
atjuna wamig
atjuna. . .
atjuna acha
I want Dios (literally: “that there were Dios”)
I want a saint
I want a principal
I want this moment
I want a family
I want a brother
I want a friend
I want . . .
I want a man
Rhythmic patterns and onomatopoeia
Tedlock notes Edmonson’s observation that “there is no meter—in the strict sense of
recurrent quantifications of stresses, vowel lengths, or syllables, all at the segmental level—in
the indigenous verbal arts of the New World.” (Tedlock 1983, p. 218; Edmonson 1971, p. 99).
Tedlock adds:
“Even in songs whose texts consist entirely of vocables rather than
words, where tight metrical patterns would be easy to achieve if
they were desired, there are seldom more than two or three
successive lines that even have the same number of syllables”
(Tedlock 1983, p. 218).
This same unevenness in the metrical patterns of parallel lines is found in Tz’utujil songs.
The following lines, used above as examples of couplets and triplets, illustrate this characteristic.
Accented syllables in the lines of parallel verse are in bold capitals:
Bix rxin Rahaw mund (Song of the Lord of the world)
Na YA’ raBENdiCION
6 syllables
naYA’ raINstruMENtos
7 syllables
con bona santa voluntad, Dios
NaYA’ qkxilWAY
5 syllables
naYA’ qiCHAJ
4 syllables
naYA’ qmuNIL
4 syllables
ay’on qk’aslemal.
The Poetics of the Ancestor Songs of the Tz’utujil Maya of Guatemala
81
However, in Tz’utujil songs, there are often several successive lines in an even metrical
pattern, in passages that are lexical or non-lexical or both. In this courting song, the young man
complains about the insults delivered to him by a young woman, understanding that the
stronger her insults, the more she likes him. The following passage has an initial line
of four syllables, followed by six lines of five syllables:
Bix rxin k’jol (Song of the young man)
Ximba pbey nen
xintz’uja anen
xintz’uja acha
xitz’u’ja q’poj
tela’ k’jol ala’
tela’ k’jol achi
tela’ k’jol ala’
I went into the street, mama
they insulted me
they insulted me, man
they insulted me, girl
hurry up, boy
hurry up, man
hurry up, boy
The following is an example ten lines of non-lexical vocables in regular five-syllable rhythm:
Bix rxin Mam (Song of Mam)
yana yana li
yana yana la
nana nana na
nana nana nu
nana nana ni
nana nana nu
nana nana na
nana nana nu
nana nana na
nana nana nu
Characteristic of K’iché poetry is the use of non-lexical vocables that imitate what they
refer to, or onomatopoeia. Tz’utujil songmen often imitate the sound of a musical instrument,
e.g. “china china,” the sound of strumming the guitar. The following lines from a song to Rilaj
Mam have seventeen consecutive lines in steady five-syllable rhythm. The non-lexical lines
marked in bold are not devoid of meaning, but rather they use onomatopoeia to imitate the sound
of the drum and the guitar.
Bix rxin Mam (Song of Mam)
ching ching, man
China china7 acha8
china china’ala’
ching ching, boy
Xawxin k’a ala’
It is yours, boy
xawxin k’a guitar
yours is the guitar
xawxin k’a ventur
yours is the bandurria9
yours is the instrument
xawxin k’a scarment
xawxin k’a q’jom
yours is the drum
Journal of International and Global Studies
82
xawxin k’a a’a
xawxin k’a papá
aq’ojom A Lu
tuna tuna na
tuna tuna na
Anen k’a anen
anen k'a mamá
aq’ojom a’a
tana tana ni
tana tana na
tatjic’ wq’uin a’a
tatjic wq’uin achi
awxin ventur
quinq’jomana
it is yours, mister
it is yours, papa
your drum, Lucha
boom boom boo
boom boom boo
I, then, I
I, then, mama
your drum, mister
knock knock ock
knock knock ock
you were with me, mister
you were with me, man
yours is the bandurria
I will play it
Some songs use onomatopoetic vocables in combination with a single final word:
Bix rxin Mam (Song of Mam)
tana tana alá
knock, knock boy
tana tana alí
knock, knock mama
tuna tuna A Lu
boom boom, Lucha
tuna tuna alá
boom boom, boy
tuna tuna A Lu
boom boom, Lucha
Lists
In the Popol Vuh, lists of animals, plants, names, and titles are frequent. Here a list of the
names of the gods is introduced by an item, “Hurricane,” which stands alone (Tedlock 1996, p.
203):
Juraqan,
ch’ipi kaqulja, raxa kaqulja,
uk’ux kaj, uk’ux ulew,
tz’aqol, b’itol, alom, k’ajolom.
Hurricane,
Newborn Thunderbolt, Sudden Thunderbolt,
Heart of Sky, Heart of Earth,
Maker, Modeler, Bearer, Begetter
Lists also appear often in Tz’utujil songs. In the “Song of the young woman” below, the
songman sings the prayer of a young girl who calls upon the female ancestor gods as she appeals
to them to send her a husband who wears expensive clothes: a vicuña hat and sandals:
Bix rxin q’poj (Song of the young woman)
Natzirk’awa’ Dios?
Natzirk’awa’ mund?
Natzirm k’awa’ ruch’lew?
Nute’ Mriy Perdon
nute’ Mriy Dolors
Why, Dios?
Why, world?
Why, Face of the Earth?
My mother Maria Pardon
my mother Maria Dolores
The Poetics of the Ancestor Songs of the Tz’utujil Maya of Guatemala
83
nute’ Mriy Santuaria
nute’ Mriy Santa Ana
nute’ Mriy Dolors
nute’ Mriy Saragost
tia’ jun ala’ chwa
tia’ jun ajcuñ chwa
tia’ jun ajskaw chwa
my mother Maria Santuaria
my mother Maria Santa Ana
my mother Maria Dolores
my mother Maria Saragosa
give me a boy
give me one who wears a vicuña hat
give me one who wears sandals
In another example from the Popol Vuh animals made by the gods are named:
Deer
Birds
Panthers,
Jaguars,
Serpents,
Rattlers,
Yellowmouths,
Guardians of plants
(Edmonson, 1971a, p. 14).
R kieh,
Tz’ikin,
Koh,
Balam,
Kumatz,
Zochoh,
Q’an Ti,
Chahal q’aam.
A list of animals also appears in a Bix rxin Ruch’lew (Song of the Face of the Earth).
Here the songman addresses the god who is the living earth, “Face of the Earth”. An
introductory line is followed by a list in which the parallelism of couplets is varied with a triplet
and an explanatory line:
Bix rxin Ruch’lew (Song of the Face of the Earth)
Prk Dios Jesucrist
Because Dios Jesucristo
msk mejor kej
even the best horse
msk mejor wakax
even the best bull
chi jun jan,
and a fly
chi jun snik
and an ant
chi jun chkop,
and an animal
k’ola p montaña, ndta’
that is on the mountain, my father,
chi tz’e’,
and a dog
chi jun syaw
and a cat
atrpalben mund,
they are walking on you, world,
atrpalben ruch’lew.
they are walking on you, Face of the Earth.
A similar construction occurs in the following song when the songman replaces the
words ‘my father,’ which introduce the passage, with ‘honey’, ‘tortilla dough,’ and so on, for a
quatrain, followed by a summarizing line and another couplet:
Bix rxin Ruch’lew (Song of the Face of the Earth)
Awxin ndta’, awxin . . . .
Yours, my father, yours is . . .
awxin kab, awxin kxilway
yours the honey, yours the tortilla dough
awxin loc’, awxin kanel
yours the produce, yours the cinnamon
Journal of International and Global Studies
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awxin rexwach, awxin tuja’
awxin pujuy, awxin . . .
selwir pnac’a xlaxw pujuy
awxin much’ awxin chaj
awxin . . . , awxin xkoy.
yours the black corn, yours the yellow corn
yours the corn of all colors, yours the . . .
upon your hands appeared the corn of all colors
yours is the chipilín, yours the heart-of-pine
yours the . . ., yours the tomato.
Assonance and alliteration
Another common characteristic found in both sources is the use of poetic devices called
assonance, or internal rhyme, and alliteration. Note the assonance in the succession of “ā”
sounds (rmaj, kar, maj, kinya’, etc.), and the alliteration in the repetition of “k” sounds in this
song, in which a young man promises to hire marimba players for a young woman to dance “one
son, two sones,” popular, traditional dance pieces:
Bix rxin q’poj i k’jol (Song of the young man and young woman)
k’jol:
young man:
jun rmaj, kar maj
one son, two sones
kinya’ k’a chawa
I give now to you
kantzej bejk’a kamik
I say to you now
kamik k’a nqoba chjay
let’s go home now.
ki’ k’a nuk’u’x
Now I am happy.
Conclusion
Comparing the rhythmic patterns of the sung lines of Tz’utujil songs to the written lines
of the Popol Vuh is in some ways like comparing apples and oranges. Unlike written or recited
texts, in the songs, the rhythms of the tune and the guitar accompaniment, as well as the
interpretation by the singer, bestow their own pulse on the text which, in terms of their number
of syllables and accents, might be irregular in rhythm. Therefore, poetic scansion of a song text
does not provide complete information about the regularity of its rhythm when it is sung. In a
text sung to a metrical tune, the regularity of the rhythm or lack of it does not always depend on
the number of stressed and unstressed syllables, or poetic feet, in each line, as is the case for
poetry. This is because the rhythm of stressed and unstressed beats provided by the rhythmic
pulse of the music may predominate over the rhythm of the words fitted to it. Sub-divisions of
the beat by the addition of unstressed notes are commonly found in song tunes in order to
accommodate such extra syllables. Consequently, lines of verse may have an unequal number of
syllables but the same number of beats.10
This means that if we were to consider the song texts without any reference to the music,
passages of lines that are not parallel in patterns of sound or meaning and that have uneven
rhythm could easily be taken for prose passages. Lines of song texts in this essay are arranged
according to the pauses the singers made. As such, versification was determined by the musical
performance itself. It follows that, although written Mayan poetic literature seldom contains
more than three successive lines which have the same number of syllables, the possibility exists
that these texts were originally sung to the rhythm of a tune. In such a case, the rhythm of the
sung text would have depended on the rhythm, possibly regular, of the tune. It must be added
that the few lines cited above (p. 8) from the Popol Vuh that are identified as a song are not
The Poetics of the Ancestor Songs of the Tz’utujil Maya of Guatemala
85
rhythmically regular but might well have been conformed to the regular rhythm of a tune. A
similar rhythmic irregularity in the texts of Tz’utujil songs has been shown above as a feature
that relates them to Mayan literature.
Examples of more than three lines of equal syllables are scarce in Mayan literature, even
in songs and non-lexical passages; yet examples of several successive lines of equal syllables are
common in Tz’utujil songs. My translator seldom wrote down more than two of the non-lexical
lines of a song, probably because they are repetitious and thought to be insignificant, nor did I
insist that all lines be written, knowing I could add them later. What this suggests is that the
absence of more than three successive lines of equal rhythm in other written Mayan literature
could be explained if the lines of text were written versions of what was, or was intended to be,
sung.
The texts that Tz’utujil songmen improvise in the bix rxin nawal have been shown to
share versification and rhythmic patterns, as well as the use of onomatopoeia, alliteration, and
assonance with poetic passages of the Popol Vuh, placing the song texts within the tradition of
written Mayan Literature. Paired verse form continues to be characteristic of Mayan oral
literature, though examples are few, especially of songs, of which there is no other extensive
documentation.11 There is evidence that the bix rxin nawal have origins in the colonial era or
earlier. The Tz’utujil guitar is tuned in a manner dating at least to the early 18th century, and
research on the tunes shows probable roots in Spanish popular music of the colonial era. The
texts of the songs portray some customs of courting, which date from an early period. It is hoped
that further study of the origins of the Tz’utujil guitar and of the tunes for these songs will
uncover concrete historical data about their origins.
Notes
1. Bix is pronounced as in English “beesh”. Tz’utujil words are generally accented on the final
syllable, exceptions being words borrowed from Spanish and non-lexical syllables.
Pronunciation of vowels and consonants is close to Spanish pronunciation, so that j = English h,
and x = English sh; q = the hard sound of English c before a vowel. An apostrophe [‘] indicates
a glottal stop, equivalent to the sound between the syllables of “uh-uh” meaning “no” in
English.
2. Cofradía refers to organization of men and women who practice the traditional Old Ways and
to the prayer-house used for their rituals.
3. The texts in this essay are faithful to the transcriptions and translations of the translators,
except for correcting the use of k, c and q to conform to the standards for Mayan languages set
by the Academia de Lenguas Mayas (1988). I have not changed their use of capitalization or
punctuation. English translations are mine.
4. Mayan writing has long been referred to as “glyphs,” derived from “hieroglyphs”. Due to new
understanding, and following Tedlock, I avoid the term glyph and refer to Mayan writing as text
or script. (Tedlock, 2010, p. 405).
Journal of International and Global Studies
86
5. A vocable is group of syllables valued for their sound rather than their meaning, e.g.: e-i-e-io,“ or lala la. Some vocables are onomatopoetic, and sound like what they imitate, as “plink
plink.”
6. Elipses indicate passages the translator could not understand or translate.
7. “China china” was explained by the translator as the sound of the guitar, “tuna tuna” as the
sound of the drum, and “tana tana” as knocking or banging.
8. Elision marks ( ) indicate the union of two adjacent vowel sounds to produce a single syllable,
so that “china acha” is pronounced “chinacha”.
9. The bandurria is a musical instrument described by Marcuse (1964) as “a flat-bodied plucked
chordophone of medieval and modern Spain, mentioned in the early 14th century.” (p. 34). It is a
flat-backed guitar which is still used in parts of Latin America. Its use at any time in Atitlán is
not documented, and it is not among the instruments now used for traditional music there.
10. An example of this is the following scansion of the first lines of verses 1 and 2 of a wellknown song. In the first verse, there are two unstressed syllables (indicated by a lower case
vowel with a mark for weak stress, e.g.: ĕ) on beat 1, whereas in the second verse there is only
one unstressed syllable. Yet, the rhythm of accented beats (indicated by a capital letter with a
stress mark, e.g.: Ó), and of the tune, remain the same.
first verse, line 1:
Whĕn JÓhn-nў cŏmes mÁrch- ĭng hÓme ă - gÁin [9 syllables, 4 beats]
second verse, line 1:
Thĕ Óld chǔrch bEll
wĭll
pEal wĭth jÓy
[8 syllables, 4 beats]
11. There are 100 sung texts of bix rxin nawal in my recorded collection, of which some are nonlexical.
References
Academia de Lenguas Mayas (1988). Lenguas mayas de Guatemala: Documento de referencia
para la pronunciación de los nuevos alfabetos oficiales. Guatemala City: Instituto
Indigenista Nacional.
Carlsen, R. S. (1997). The War for the heart and soul of a highland Maya town. Austin, TX:
University of Texas Press.
Christenson, A. J. (2001). Art and society in a highland Maya community, the altarpiece of
Santiago Atitlán. Austin, TX: University of Texas Press.
Edmonson, M. S. (1971a). The Book of Counsel: the Popol Vuh of the Quiche Maya of
Guatemala. New Orleans: Middle American Research Institute, Tulane University,
Publication 35.
Edmonson, M. S. (1971b). Lore: an introduction to the science of folklore and literature. New
York, NY: Holt, Reinhart & Winston.
Freidel, D., Schele, L. & Parker, J. (1993). Maya cosmos, three thousand years on the
shaman’s path. New York: William Morrow.
García Ixmatá, C. (1997). Rukeemiik ja Tz’utujiil chii’, g ramática Tz’utujiil. Guatemala:
Editorial Cholsamaj.
Marcuse, S. (1964). Musical instruments a comprehensive dictionary. Garden City, NY:
Doubleday & Company.
Navarrete Pellicer, S. (2005). Maya Achi marima music in Guatemala. Philadelphia, PA:Temple
University Press.
O’Brien, L. (1975). Songs of the Face of the Earth: ancestor songs of the Tzutuhil Maya of
Santiago Atitlán, Guatemala. (Doctoral dissertation, UCLA 1975).
Pérez Mendoza, F. & Hernández Mendoza, M. (1996). Diccionario Tz’utujil. Antigua
Guatemala: Proyecto Lingüistico Francisco Marroquin.
Sodi, D. (1964). La literature de los Mayas. Mexico: Editorial Joaquín Mortiz.
Stanzione, V. (2003). Rituals of Sacrifice: walking the face of the earth on the sacred path of the
sun: a journey through the Tz’utujil Maya world of Santiago Atitlán. Albuquerque, NM:
University of New Mexico Press.
Tedlock, D. (1983). The spoken word and the work of interpretation. Philadelphia: University of
Pennsylvania Press.
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Tedlock, D. (1987). Hearing a voice in an ancient text: Quiché Maya poetics in performance. In
J. Sherzer & A. Woodbury, (Eds.), Native American discourse, poetics and rhetoric.
Cambridge studies in oral and literate cultures (p. 140-175). Cambridge MA: Cambridge
University Press.
Tedlock, D. (Trans.). (1996). Popol vuh. New York: Simon & Schuster.
Tedlock, D. (2010). 2000 years of Mayan literature. Los Angeles: University of California Press.
Decisive Thaw: The Changing Pattern of Relations between Nigeria and Equatorial
Guinea, 1980-2005
David Aworawo, Ph.D.
University of Lagos
d_aworawo@yahoo.com
Abstract
This article examines the nature and changing pattern of relations between Nigeria
and Equatorial Guinea from 1980-2005. It states that relations between the countries
improved tremendously in the quarter century covered in this study compared to the
two decades preceding that time frame (1960-1980) due to of a number of domestic
political and economic changes that occurred in both countries, as well as the
transformation of the international system in the late 1980s and early 1990s. The
paper explores the specific changes that took place in Nigerian-Equatorial Guinean
relations from1980 onwards and the factors that influenced them. The termination of
the brutal and violent rule of President Macias Nguema in Equatorial Guinea opened
the way for improved relations between Nigeria and Equatorial Guinea. The shift
from dependence on cocoa to petroleum exports in Equatorial Guinea also helped to
promote cordial relations since the ill-treatment of Nigerian workers in Equatorial
Guinea’s cocoa plantations had been a thorny issue in Nigerian-Equatorial Guinean
relations in previous decades. The end of the Cold War and apartheid between 1989
and 1994 were also important factors that shaped relations. All these were issues that
had previously negatively affected cordial relations between the countries. This
article therefore discusses relations between Nigeria and Equatorial Guinea within the
context of the post-Cold War international system and intra-African relations. It also
argues that although improvements were recorded in Nigerian-Equatorial Guinean
relations between 1980 and 2005, there remain numerous avenues that could be
explored for yet better relations.
Journal of International and Global Studies
90
Introduction
Relations between Nigeria and Equatorial Guinea took a turn in the 1980s.
Dramatic changes in the domestic politics and economies of both countries, as well as
developments in the global system, influenced the new pattern of relations. For over half
a century, from the 1930s to the late 1970s, labor issues had dominated NigerianEquatorial Guinean relations. The dearth of labor to sustain the cocoa plantations of
Equatorial Guinea had led the authorities of the Equatorial Guinea to embark on massive
recruitment from other countries (Sundiata, 1974, pp. 99-101). From the mid-1930s,
Nigerians came to dominate the labor that sustained Equatorial Guinea‟s cocoa and
coffee plantations. As such, the process of recruitment and the conditions to which the
immigrants were subjected became one of the major issues affecting the relations
between Nigeria and Equatorial Guinea from the 1930s to the late 1970s. This pattern
began to change in the 1980s.
From the early 20th century, when the need for recruitment of foreign labor was
growing in Equatorial Guinea, pressure from a number of countries and organizations led
to the boycott of Spanish Guinea‟s cocoa by some large buyers, compelling the Spanish
authorities in Equatorial Guinea to direct their attention to the regulation of the labor
trade and plantation owners, who were known to be brutal in their treatment of workers
and who were ultimately sanctioned in different ways. Although the Spanish authorities‟
efforts did not dramatically change the ill-treatment of the plantation workers, they
contributed modestly to the improvement of the conditions of Nigerian immigrants in
Equatorial Guinea. But things changed again in 1968, after Equatorial Guinea gained
independence. After only a few months of independence, President Francisco Macias
Nguema began one of the most repressive dictatorships in Africa in the 1960s and 1970s
(Aworawo, 2000, pp. 119-122). Under Macias, hundreds of thousands of Equatorial
Guineans were murdered in the political violence that took place in the country.
Immigrant workers suffered similarly. Since the vast majority of foreign immigrants were
Nigerians, their ill-treatment and murder brought a clash between Nigeria and the
repressive government of Equatorial Guinea under Macias Nguema. As fate would have
it, Macias Nguema was overthrown in 1979, and conditions began to improve in the
former Spanish colony. Nguema‟s removal set the stage for dramatic improvement in
Nigerian-Equatorial Guinean relations from the early 1980s.
It was also in the 1980s that prospects for commercial exploitation of crude
petroleum began to materialize in Equatorial Guinea. By the mid-1990s, petroleum
exportation commenced in full (Liniger-Goumaz, 2000, pp. 371-375). As oil began to be
exported in large quantities, the Equatorial Guinean cocoa and coffee plantations were
abandoned. Many former plantation workers shifted to other economic activities, and the
labor abuse that had characterized plantation agriculture almost entirely disappeared by
the late 1990s. This change in the structure of Equatorial Guinea‟s economy removed a
major source of conflict in its relations with Nigeria as the shift from large scale cocoa
production made the demand for foreign unskilled labor unnecessary. It also shifted the
focus of relations between the countries to other issues beyond labor. Cooperation in oil
exploitation and maritime boundary delimitation became fresh issues that dominated
relations.
Decisive Thaw: The Changing Pattern of Relations between Nigeria and Equatorial
Guinea, 1980-2005
91
The transformation of the international system in the late 1980s and early 1990s
following the end of the Cold War also affected relations between Nigeria and Equatorial
Guinea in diverse ways. While it is true that neither Nigeria nor Equatorial Guinea was a
center of attention during the interventionism that characterized the Cold War, the new
international environment that emerged after 1989 affected relations between both
countries positively, nevertheless. Similarly ameliorative was the abolishing of apartheid
as a state policy in South Africa in 1994. Nigeria had been at the forefront of the struggle
to dismantle apartheid in South Africa since 1960, when it had gained independence from
Britain. This pitched Nigeria against South Africa, and Nigerian-South African relations
were some of the most intensely adversarial during the apartheid era. For some time in
the 1970s and 1980s, apartheid South Africa made efforts to establish very close ties with
Equatorial Guinea, and the Pretoria regime recorded a measure of success. This
development was a source of irritation to Nigeria, which negatively affected relations
with Equatorial Guinea. Therefore, the emergence of a multi-racial government in South
Africa in 1994 created new conditions for the development of cordial relations between
Equatorial Guinea and Nigeria, as a major source of disagreement was removed
(Osuntokun, 1992, p. 87; The Guardian, 2001, p. 49).
It has been noted that relations between Nigeria and Equatorial Guinea also
improved in the period under study as compared to previous decades as a result of
concerted efforts by both governments to improve relations. Their determination to
improve relations inspired both governments to adopt a diplomatic approach to issues that
might have otherwise led to serious disagreements and conflict, such as the delineation of
maritime boundaries. The desire to foster mutual cooperation also made it possible for
Nigeria and Equatorial Guinea to explore other opportunities that arose due to changes in
the international environment, notably the end of the Cold War and apartheid.
Our work confirms the perspective that the dynamics of relations among states
change in accordance with the changing patterns of nations‟ own internal dynamics as
well as the international environment in which nations interact. As Karl Deutsch and
James Rosenau have argued, these factors combine with the idiosyncrasies of the
individuals involved in the articulation and implementation of policy to determine the
pattern of external relations (Deutsch, 1989, pp. 124-127; Rosenau, 1971, pp. 1-12).
Michael Nicholson also identifies the political structure of a state (and whether it is
democratic or authoritarian) as an important factor shaping foreign policy, an important
concept in foreign policy analysis (Nicholson, 2002, pp. 21-22; Hill, 1978, pp. 154-155).
Our work confirms these positions as is revealed in the pattern of Nigerian-Equatorial
Guinean relations between 1968 and 1979 and the changes that took place after the
overthrow of the authoritarian government of Macias Nguema in August 1979.
Trends of Nigerian-Equatorial Guinean Relations up to 1960
The origins of Nigerian-Equatorial Guinean relations can be traced to the late 19th
century, when Britain and Spain, as imperial powers, handled the diplomatic activities of
their respective territories. Britain handled the external affairs of Nigeria from the late
19th century to 1960, when Nigeria gained independence, while Spain did the same for
Equatorial Guinea up to 1968 (Liniger-Goumaz, 1988, pp. 52; Osuntokun, 1978, pp. 1-4;
Journal of International and Global Studies
92
National Archives, Ibadan CSO3/145). The two countries are geographically close
despite the fact that Nigeria is located in West Africa, while Equatorial Guinea is in
Central Africa. Parts of the territories of both countries are located in the Bight of Biafra,
an arm of the Atlantic Ocean, and the southernmost part of Nigeria in the Niger Delta
area is only a little over a hundred kilometers to Malabo, the capital of Equatorial Guinea,
located on Bioko Island. In spite of this, the fact that these countries were governed by
different colonial powers for over a century separated them.
Formal interactions between what became Nigeria and Spanish Guinea began
with the attempt by Britain in 1828 to move the headquarters of the Court of Mixed
Commission from Freetown, Sierra Leone, to Malabo (formerly Santa Isabel), Equatorial
Guinea, at the northern tip of Bioko Island. Britain sent a party led by Captain FitzWilliam Owen for the purpose of occupying Bioko Island (formerly Fernando Po) for the
British in 1827. Britain evacuated the island in 1834 following disagreements with Spain
over the terms of the occupation. In spite of this, many British citizens remained there
and dominated the commerce and even provided an “informal” government for the
neglected island until 1843, when Spain re-occupied it. Thus, when in June 1849, John
Bancroft was appointed Her Britannic Majesty Consul to the Bights of Benin and Biafra,
it was Bioko‟s capital of Malabo that was his base (National Archives, London FO
84/775; Dike, 1956, p. 9). In fact, Malabo remained the capital of the Consulate until it
was moved by Consul Hewett to Calabar in southeast Nigeria in 1882.
The introduction of cocoa from the island of São Tomé to Bioko, Equatorial
Guinea‟s major island, in 1854 transformed Equatorial Guinea‟s economy. Cocoa
cultivation began to dominate the economy of Bioko from the 1860s, as the island‟s
cocoa was sought after because of its quality. Coffee, too, was introduced at that time,
and it did well (Fegley, 1989, p. 24). Still, plantation agriculture in Bioko faced one
major problem: labor. The island‟s indigenous population was generally uninterested in
working as laborers and was too small to be of much service. After unsuccessful attempts
to secure labor from Angola, Mozambique, Ghana, Malaya, and China, and after efforts
to recruit laborers from Liberia led to a scandal involving top government officials and
their subsequent resignations in 1930, the Spanish authorities turned to Nigeria for
immigrant labor. Unfortunately, the recruited laborers were constantly and persistently
ill-treated. The conditions to which the Nigerian laborers were subjected in Spanish
Guinea forced Nigeria to react to the complaints of the immigrants and became an issue
that would dominate Nigerian-Equatorial Guinean relations during the colonial and
immediate post-independence periods (Sundiata, 1990, p. 24; Liniger-Goumaz, 1989, pp.
43-44).
In response to the complaints of Nigerian laborers in Bioko and in order to stop
illegal recruitments, a treaty was signed between Nigeria and the Spanish authorities in
Bioko in December 1942. Similar agreements were signed with the same objective in
1946, 1950, 1954, and 1959 (Federal Ministry of Information, Nigeria 1971; National
Archives, Calabar, CA NA/66 Femlab, 1/12/1). The number of Nigerians in Equatorial
Guinea was estimated at about ten thousand in 1940, and the number increased
progressively in the decades that followed (Campos, 2003, p. 101). The majority of
Nigerian immigrants in Equatorial Guinea were from southeastern Nigeria, and, in
addition to a few who willingly made their way to Bioko, many of them were smuggled
across the waters in the Bight of Biafra (National Archives, Calabar CADIST 13/1/414).
Decisive Thaw: The Changing Pattern of Relations between Nigeria and Equatorial
Guinea, 1980-2005
93
Eager to improve their lot, many Nigerians were oblivious to the conditions they would
face in the new land, where they sought adventure and improved economic well-being.
The conditions in eastern Nigeria, where the Igbo constitute the dominant ethnic group,
made immigration an attractive option from the 1920s to the 1940s. The majority of the
individuals in eastern Nigeria were farmers with limited economic opportunities. In
addition, the population was large relative to available land (Van Den Bersselaar, 2005,
p. 43; Direccion General de Marruecos y Colonias, 1947, p. 31.). These conditions
encouraged people to move in fairly large numbers. The immigrants were also drawn to a
new land by the better-than-factual stories that were told of the opportunities and
prevailing conditions in Equatorial Guinea. Consequently, these push and pull factors all
played a major role in the migration of Nigerians to Equatorial Guinea in the early 20th
century. As it turned out, these issues of migration would become prominent in NigerianEquatorial Guinean relations in both the colonial and post-colonial periods.
The British colonial authorities were gravely disturbed by the labor abuse to
which Nigerians were reportedly subjected on Equatorial Guinean plantations. Britain
had abolished the slave trade in 1807 and was at the forefront of the struggle against
elements that tried to perpetuate the trade, which was regarded by that time as illegitimate
(Oliver and Atmore, 1996, p.57). Disturbing reports of the pattern of recruitment of
foreign labor to Equatorial Guinea and the conditions to which they were subjected in the
Spanish territory led the colonial government in Nigeria to establish a special branch of
the colonial police in 1927 to deal specifically with the smuggling of Nigerians to Bioko.
This was followed by the Labor Ordinance of 1929, which prohibited recruitment of
Nigerians anywhere. The ordinance was specifically targeted at Spanish Guinea‟s labor
trade, the notoriety of which was becoming well known in the 1920s. As early as 1900,
Britain had been interested in the condition of the workers in the cocoa plantations
(Liniger Goumaz, 1989, p. 108). Disturbing reports were made of the repression that
occurred on the plantations of both Spanish Guinea and São Tomé and Príncipe. The
British authorities investigated and found that immigrant laborers were frequently
maltreated and even killed. The conclusion of the various investigations was that the
working conditions on the plantations were hardly distinguishable from those that existed
during the slave trade (Sundiata, 1974, pp. 97-112).
As the colonial powers administering Nigeria and Equatorial Guinea, Britain and
Spain sought ways to resolve the problem of labor abuse, for which the Spanish territory
had now become famous and which remained a source of irritation to the British. Illegal
recruitment of Nigerians to work in Equatorial Guinea‟s plantations had continued
despite the efforts by the British to intercept the traffickers and arrest them. The activities
of the special branch of the police established in 1927 to specifically deal with the
problem could not stop the labor trade. Britain therefore decided to legalize recruitment.
It was this legalization that led to the signing of the Anglo-Spanish Labor Agreement of
1942, which was aimed at regulating labor recruitment and providing consular assistance
to the immigrants. The overall objective was to reduce ill-treatment and labor abuse to
the barest minimum. This was one of the steps taken to tackle the problem of labor abuse,
which had, until that time, negatively affected relations between colonial Nigeria and
Spanish Guinea, and by extension Britain and Spain since Britain was strongly opposed
Journal of International and Global Studies
94
to the ill-treatment of the immigrants from its controlled territory of Nigeria by the
Spanish authorities. (Ejituwu, 1995, pp. 43-44; Akinyemi 1986, pp. 134-135).
Pattern of Relations from Nigeria’s Independence through the Macias Nguema
Dictatorship
Nigeria became an independent state in October 1960, after nearly a century of
British colonial domination. Shortly before independence, Nigerian leaders developed a
set of principles for the conduct of the country‟s external relations. The foreign policy
structure that emerged stressed that Nigeria was to maintain special relations with African
states and assist territories still under colonial rule in their struggle for independence. The
eradication of racism from Africa and the promotion of pan-Africanism were other
important aspects of Nigeria‟s foreign policy at independence (Aluko, 1981, pp. 3-4;
Olusanya and Akindele, 1986, pp. 5-6). Equatorial Guinea, for its part, remained a
Spanish colony up to 1968. This meant that Nigerian leaders had to deal with the Spanish
colonial authorities in the conduct of Nigeria‟s relations with Equatorial Guinea. The
problem of ill-treatment of Nigerian immigrants in Equatorial Guinea persisted in the
1960s through the 1980s. During this period, labor issues continued to dominate relations
between the two countries.
Equatorial Guinea gained independence from Spain on 12 October 1968. From
this point, Nigeria began to relate with Equatorial Guinea as an independent state. There
were expectations that relations between Nigeria and Equatorial Guinea would improve
after the latter‟s independence. However, such improvement did not materialize because
Macias Nguema, the first president of Equatorial Guinea, became authoritarian and
violent within only months of taking office. The chaotic environment that emerged
compromised relations between Equatorial Guinea and several other countries including
Nigeria (Fegley, 1989, pp. 115-119). As 1968 drew to a close, conditions worsened
progressively in Equatorial Guinea, and by early 1969, repression and political violence
had expanded tremendously. Macias Nguema paid no heed to anyone appealing for
political change as he moved to crush all opposition groups and dissenting voices.
Government agents also joined in the brutality against Nigerians, and plantation owners
found the prevailing conditions conducive to intensifying their ill-treatment of immigrant
laborers. Indeed, in the violent milieu that developed as the Macias dictatorship
worsened, the repression of Nigerians even extended to the Nigerian Embassy staff in
Malabo.
Macias had earlier ordered resident Spaniards to leave the country, claiming that
their safety could no longer be guaranteed. He then sent urgent messages to United
Nations Secretary-General, U Thant, on 28 February and 1 March 1969 for military
assistance to counter what he called “Spanish aggression.” Macias had accused Franco
and the Spanish government of undermining the stability of his newly independent state
by interfering in its internal affairs (Hélali and Klotchkoff, 1999, p.79). By applying for
military assistance from the United Nations, it was clear that Macias had limited
knowledge about the organization‟s mandate. In the violence that ensued, the Spanish
government evacuated its citizens from Equatorial Guinea. Other European nationals
were likewise evacuated so that by early April 1969, less than one hundred Europeans
were left of the 8,000 that had been in the country at the beginning of the year (Hélali and
Decisive Thaw: The Changing Pattern of Relations between Nigeria and Equatorial
Guinea, 1980-2005
95
Klotchkoff, 1999, pp. 79-80; Achegaray, 1974, pp. 374). Unfortunately for Equatorial
Guineans, as they suffered from the Macias repression, so, too, did their country‟s
economy; it suffered from depression, as the Europeans who played an important role in
sustaining the economy by providing skilled manpower and capital left the country.
Hardly anyone in Equatorial Guinea was spared of the effects of the Macias reign of
terror, and Nigerian immigrants in the country suffered immeasurably.
The economic depression of Equatorial Guinea progressively worsened in 1969
and 1970. It was during this period that Macias ordered the plantation administrators to
stop the payment of wages to Nigerian laborers. As would be expected, the workers
began to agitate for the payment of their wages, and this was met with ruthless
repression. Between 1970 and 1971, at least 95 Nigerians were killed in Equatorial
Guinea, the majority for demanding their pay. In April 1974, during one such agitation, a
Nigerian was killed when the Equatorial Guinea militia intervened. This time, unlike the
response to similar previous killings, the Nigerian ambassador demanded to see the
corpse and some explanation. He was rebuffed. The Nigerian Embassy staff, alongside
Nigerian immigrant workers, soon became a target of the Equatorial Guinean authorities
(Osuntokun, 1978, pp. 53-54). The reports of these molestations and killings further
worsened the already strained relations between Equatorial Guinea and Nigeria.
When a new government came to power in Nigeria in July 1975, it did not tolerate
the abuse of its citizens in Equatorial Guinea. Toward the end of 1975, the Nigerian
government decided to evacuate all Nigerians from Equatorial Guinea. Two air force
planes were sent for the evacuation, along with a vessel of the Nigerian National
Shipping Line, the “MV Nnamdi Azikiwe.” By December 1975, ten thousand Nigerians
had returned home, and by the end of January 1976, close to 30,000 Nigerians had been
evacuated from Equatorial Guinea. As the evacuation continued, it was reported that the
local militia invaded the Nigerian embassy in Malabo, where some of the immigrants had
taken refuge to escape brutalization from the agents of Macias. The immigrants waiting
for evacuation were attacked right in the Embassy‟s garden. Eleven of them were killed
in the ensuing melee (Fegley, 1989, p. 85; Sunday Times, 1976, p. 2; Amupitan, 1985, pp.
9-10). Such was the plight of Nigerians in Equatorial Guinea at the height of the Macias
Nguema dictatorship. Under these circumstances, any thought of an improvement in
Nigerian Equatorial Guinean relations was unrealistic. This was the state of affairs until
Macias Nguema was overthrown in a military coup on 3 August 1979.
Internal Dynamics and the Transformation of Nigerian-Equatorial Guinean
Relations, 1980-2005
During the second half of 1979, far-reaching changes began to take place in the
political milieu of Equatorial Guinea. The Macias Nguema dictatorship began to
increasingly consume members of Nguema‟s own Fang ethnic group and even some
members of his inner circle, individuals who had been generally spared in the early stages
of the liquidation of the dictatorship. In addition, the country became completely
paralyzed after over a decade of tyranny and political violence. At that point, the
possibility of the ouster of Macias Nguema became feasible. The reality eventually came
on 3 August 1979, when Francisco Macias Nguema was overthrown in a military coup
Journal of International and Global Studies
96
led by his nephew Teodoro Obiang Nguema Mbasogo, which brought the Macias tyranny
to an end. Efforts were made to quickly rebuild the country and restore some dignity to
the collapsed state (Liniger-Goumaz, 1989, pp. 65-66). This change in the affairs of
Equatorial Guinea introduced some new dimensions to the country‟s relations with
Nigeria. Similar developments took place in Nigeria, where the military government of
General Olusegun Obasanjo handed over power to the civilian government of Shehu
Shagari on 1 October 1979 (Falola and Ihonvbere, 1985, pp. 1-3). The two governments
sought to establish new relations. A new pattern of relations between Nigeria and
Equatorial Guinea thus emerged in 1980.
Following the collapse of the Macias Nguema dictatorship in 1979, aid of various
kinds poured into Equatorial Guinea from various countries and organizations. With this
assistance came attempts by some of the donor countries to exercise influence on the new
government. Amidst such pressures Equatorial Guinea‟s new leader, Obiang Nguema
Mbasogo, sought to promote cordial relations between his country and Nigeria. It was
this display of goodwill that encouraged President Shehu Shagari of Nigeria to set up a
Presidential Task Force on Equatorial Guinea on 25 February 1982. These efforts
eventually led to the establishment of the Nigeria-Equatorial Guinea Joint Commission in
April 1982. This agreement provided for the promotion of bilateral relations in the areas
of agriculture, telecommunication, fishing, friendship and good neighborliness, culture,
and commerce. The Shagari government was committed to assisting Equatorial Guinea.
Nigeria proposed the establishment of telephone links between the capital, Malabo,
located on Equatorial Guinea‟s biggest island, Bioko, and Luba, a small Equatorial
Guinean island close to Bioko. This was in line with Nigeria‟s policy of providing
support for fellow African states. These developments entirely changed the pattern of
relations between Nigeria and Equatorial Guinea from its former pattern of conflict and
mutual distrust (Osuntokun, 1992, p. 2).
However, it should be noted that the persistent ill-treatment of Nigerians resident
in Equatorial Guinea remained a source of concern for Nigeria. This seemingly
intractable problem, which had negatively affected relations between the two countries
for nearly a century, remained a casus belli in the 1980s. When Nigerian laborers in
Equatorial Guinea were evacuated in 1976, some of the immigrants stayed on. And with
the economic recession that hit Nigeria from 1982, many Nigerians found their way back
to Equatorial Guinea. Over the years, the government in Malabo continued to request that
Nigerian laborers revive the abandoned cocoa plantations, which had previously been the
backbone of the economy. Unfortunately, much as the Malabo authorities desired the
services of‟ Nigerian workers, they did very little to tackle the problem of labor abuse. In
the 1980s and 1990s, cases of brutalization of Nigerians in Equatorial Guinea continued
to be reported (National Concord, 1985, pp. 5-6).
The level of closeness between Nigeria and Equatorial Guinea grew progressively
in the 1980s and 1990s. For instance, when Obiang Mbasogo, the Equatorial Guinean
leader converted from military to civilian leader on 12 October 1982, it was Nigeria‟s
President Shuhu Shagari that he invited to perform the installation. The Nigerian VicePresident, Dr. Alex Ekwueme, represented President Shagari in Malabo. Cordial relations
between Nigeria and Equatorial Guinea continued even after the Shagari government was
overthrown in a military coup in December 1983. For instance, when Nigeria introduced
the Technical Aid Corps Scheme in 1987, through which Nigeria would supply skilled
Decisive Thaw: The Changing Pattern of Relations between Nigeria and Equatorial
Guinea, 1980-2005
97
manpower to a number of African and Caribbean countries at Nigeria‟s expense,
Equatorial Guinea was one of the beneficiaries (Akinyemi, 1987, pp. 1-2; Daura, 2006,
pp. 3-8). Teachers, doctors, and accountants were all sent to Equatorial Guinea by the
Nigerian government, and they all made their mark over the years. This further promoted
close relations between Nigeria and Equatorial Guinea from 1997 onwards.
In Nigeria, the news of the mass murder of Nigerians in Equatorial Guinea was
very disturbing. It was therefore not surprising that as the 20th century drew to a close,
some Nigerians publically called for military action against Equatorial Guinea
(Akinterinwa, 1998, p. 10). Because the government of Equatorial Guinea was desirous
of maintaining very cordial relations with Nigeria, it was highly responsive to calls to
address problems that were capable of adversely affecting relations between the two
countries. This was the case when, in 1985, the Nigerian government demanded the
prosecution of Bienvenido Ndiong Mba and Eusebio Mba Nchama, two Equatorial
Guinean policemen who had murdered a Nigerian immigrant, Edem Tom in Malabo. The
two policemen were tried and jailed on 6 May 1985 (National Concord 1985:6). The
efforts of the government of Equatorial Guinean to address genuine grievances from
Nigeria and Nigeria‟s determination to assist its southern neighbor certainly created the
condition for improved relations from 1980-2005.
In the early 1980s, as in previous decades, the most explosive cases of abuse of
Nigerian immigrants in Equatorial Guinea took place on the plantations. The
abandonment of the cocoa plantations as oil production expanded in the late 1980s and
early 1990s meant the removal of a major source of disagreement between Nigeria and
Equatorial Guinea. The process of aerial geophysical survey and prospecting for oil was
carried out in Equatorial Guinea by a number of oil companies in the 1960s and 1970s.
Of these, Chevron Oil, Continental Oil and Mobil Spain were some of the most
prominent. The exploration indicated that Equatorial Guinea had a fairly large quantity of
petroleum deposits. In January 1980, Equatorial Guinea formed the Empresa GuineoEspañola de Petroleos S.A. (GEPSA), which was a joint venture between Equatorial
Guinea and the Spanish state-owned company, Hispanoil. Petroleum exploitation was
expected to commence in 1984, but it was in 1991 that production eventually began.
Figures from various sources indicate that Equatorial Guinea‟s earnings from oil were
about USD 20 million in 1996 and USD500 million in 2000 (The Guardian 2001:49). By
the end of 2005, earnings from oil and gas were over USD 900 million, accounting for
some 97 percent of the country‟s total exports, compared to a total of USD 25 million in
annual exports from 1985 to 1990. Nine hundred million dollars is certainly a decent
income for a country with a total population of only about 450,000 in the late 1990s and
550,000 in 2005. In July 2008, Equatorial Guinea‟s total population was estimated to be
616,459 (Liniger-Goumaz, 1998, pp.371-381; U.S. Department of State, 2009, pp. 1-2).
The impact of petroleum exports on the country‟s economy has been quite significant. It
is therefore easy to understand why the cocoa farms were abandoned as the government
focused almost exclusively on oil.
The economic transformation of Equatorial Guinea arising from expanding oil
exports affected its relations with Nigeria in a number of ways. To begin with, the shift of
attention from cocoa to oil curtailed the need for unskilled labor from Nigeria since the
late 1990s. In addition, many cocoa farms were abandoned as oil export expanded. This
Journal of International and Global Studies
98
provided the opportunity for many Nigerian immigrants who had worked in the
plantations to leave and seek other forms of economic activity. A good number took to
trading. The abandonment of the cocoa farms also meant that the number of Nigerian
immigrants in Equatorial Guinea decreased significantly. Many Nigerians who made
their way to Equatorial Guinea from the late 1990s were traders who did not have to get
involved in the complications of plantation life. Moreover, many of them did not take up
permanent residence in Equatorial Guinea. They simply took their merchandise from
Nigeria to the Equatorial Guinea and returned home after selling them in the former
Spanish colony.
From the late 1990s through the first decade of the 21st century, Equatorial Guinea
has attracted adventurers from West and Central Africa who have been enticed by the
country‟s ever increasing petro-dollar. The transformation from plantation life also meant
the removal of a major source of conflict between Nigeria and Equatorial Guinea. As the
plantations disappeared, so, too, did the labor abuse that had characterized their
operations. This is not to suggest that the brutalization of Nigerian immigrants
completely ceased with the expansion of oil exports in Equatorial Guinea. Different
agents of government continued to hound and beat immigrants, and Nigerians were
among them. However, the almost total abandonment of the plantations led to a drastic
reduction of cases of abuse, as most of the reported cases up to the mid-1980s had come
from the plantations. This also reduced the tension in the countries‟ relations created by
labor abuse in Equatorial Guinea.
Oil production in Equatorial Guinea also created fresh avenues for mutual
cooperation between Nigeria and Equatorial Guinea. The fact is that the exploitation of
oil and gas in Equatorial Guinea has been largely done offshore. These are areas where
Equatorial Guinea has overlapping maritime claims with neighboring Nigeria, São Tomé
and Príncipe, Cameroon, and Gabon. And the offshore boundaries are quite close to the
land. For instance, the distance between Malabo in Equatorial Guinea and Calabar in
Nigeria is only 72 nautical miles. Zafiro, Equatorial Guinea‟s major source of
hydrocarbons is located 35 kilometers offshore northeast of Malabo. Nigeria and
Equatorial Guinea have overlapping exclusive economic zones and both could lay claim
to Zafiro. This led the leaders of both countries to seek a diplomatic resolution to the
problem (National Boundary Commission, 1997, pp. 1-11; Tobor and Ajayi, 1995, pp.
58-62). The issue of maritime boundary delimitation between Nigeria and Equatorial
Guinea was one of the major reasons for a state visit by Nigeria‟s Head of State, Ibrahim
Babangida to Equatorial Guinea in December 1990. President Babangida proposed the
establishment of a Gulf of Guinea Commission to, among other things, oversee the
exploitation of the resources of the Gulf of Guinea for the mutual benefit of member
states. The commission would also be expected to coordinate the maritime boundary
delimitation among Nigeria and Equatorial Guinea, as well as Gabon and Cameroon, and
resolve disputes that might arise from the sharing of resources. While efforts were being
made to get the countries around the Bight of Biafra to support the arrangements to
establish the commission, Nigeria and Equatorial Guinea began discussions of maritime
boundary delimitation at the bilateral level.
In 1991, Nigerian and Equatorial Guinean governments agreed to appoint
representatives to study the maritime claims and make recommendations. A Joint
Committee of Experts on the delimitation of their maritime boundaries was eventually
Decisive Thaw: The Changing Pattern of Relations between Nigeria and Equatorial
Guinea, 1980-2005
99
established. The Nigerian and Equatorial Guinean representatives met seventeen times,
five of which took place in Europe, before an agreement was concluded in July 2000.
Earlier, a report of the Joint Committee published in February 1997 stated: “After
examining all the issues involved, the Committee decided to adopt the customary/trade
usage principle as a parameter for delimiting the Nigeria-Equatorial Guinea boundary.
[T]he Nigerian oil concession line and that of Equatorial Guinea agree with each other
from the Tripoint with Cameroon to somewhere after Zafiro oil well.” Based on this it
was agreed that “sixty percent of the Zafiro oil field is found to be in Equatorial Guinea
while 40 percent is found to be in Nigeria” (National Boundary Commission, 1997, pp. 111). The acceptance of this conclusion by Nigeria and Equatorial Guinea has helped to
lay to rest a delicate issue that would surely have been capable of causing disagreement
that might have degenerated to violence.
For decades, Nigeria and Cameroon engaged each other in violent conflict over
the Bakassi Peninsula, a boundary territory in Nigeria‟s south-east with huge deposits of
hydrocarbons, just like those found in Zafiro. Even after the ruling of the International
Court of Justice in October 2002, the crisis could not be said to have been fully resolved
(Oyewo, 2005, pp. 184-201). It is for this reason that the maturity with which Nigeria and
Equatorial Guinea have handled their maritime boundary delimitation has been
commended. Their diplomatic approach has helped to reassure Equatorial Guinea, which
at one time expressed fear of domination from its bigger northern neighbor (National
Boundary Commission, 1997, p. 11). The agreement has also enabled Equatorial Guinea
and Nigeria to carry out petroleum exploitation in the Bight of Biafra under a peaceful
environment (The Guardian, 2001, p. 49). What remains to be accomplished is the
establishment of a Gulf of Guinea Commission to accommodate the interest of the other
countries with conflicting offshore claims in the area such as São Tomé and Príncipe,
Cameroon, and Gabon. In the meantime, the point to be stressed is that Nigeria and
Equatorial Guinea have turned what might have constituted a nagging problem into an
opportunity to solidify cordial relations with each other.
Journal of International and Global Studies
100
Fig.1:Nigeria/Equatorial Guinea Maritime Boundary Delimitation
Source: D. Aworawo, “Diplomacy and the Development of Equatorial Guinea, 1900-1990”. Doctoral
Thesis, University of Lagos, 2002, p.267.
The Influence of the End of Apartheid and the Cold War
The end of the Cold War in 1989 and the abrogation of apartheid as a state policy
in South Africa in the early 1990s also influenced the pattern of Nigerian-Equatorial
Guinean relations in diverse ways. In addition to the domestic political and economic
changes in Nigeria and Equatorial Guinea already discussed, these global developments
combined to alter the nature of interactions between the two countries in the 1990s up to
Decisive Thaw: The Changing Pattern of Relations between Nigeria and Equatorial
Guinea, 1980-2005
101
the end of the period covered in this study. A consideration of some developments in
relations between Nigeria and Equatorial Guinea in the 1970s and 1980s reveals this.
In 1986, even as a thaw in Nigerian-Equatorial Guinean relations was steadily
developing, other problems arose which adversely affected the pattern of friendly
relations that had taken shape. The problems were primarily was caused by Equatorial
Guinea‟s approval of some South Africans to operate in Malabo. At this time, South
Africa was seen as one of Nigeria‟s greatest enemies because of the apartheid policy that
was practiced in South Africa, to which Nigeria was inexorably opposed (Ajala, 1986,
pp. 196-210). With only about one hundred kilometers between Malabo and Nigeria‟s
delta oil fields, the permission granted to the South Africans to work in Malabo was too
dangerous for Nigeria to ignore. The presence of South Africans in Malabo was thus
perceived as a threat to Nigeria‟s interest and security.
This brought to the fore once again the strategic importance of Equatorial Guinea,
which had previously manifested itself in an Anglo-German rivalry in the area during the
two world wars. Controlling Bioko Island was a decisive factor in the success of the two
countries‟ campaigns on the west coast of Africa in the 1910s and 1940s in efforts to
protect their respective colonies (Osuntokun, 1974, pp. 291-292). Now in 1986, this issue
resurfaced anew but this time between independent Nigeria and Equatorial Guinea. At
first, Equatorial Guinean authorities denied the presence of South Africans in Malabo.
Thus, in spite of earlier reports that categorically stated that South Africa was
commencing the installation of some devices around the Malabo airport, Equatorial
Guinea consistently reassured Nigeria of the absence of any South African activity
anywhere within its borders (Newswatch, 1988, p. 15; Sundiata, 1990, pp. 85-86). It
would appear that the Nigerian government was initially satisfied with Equatorial
Guinea‟s reassurance. In fact, the countries‟ relations had improved so much that
Nigeria that provided the aircraft that conveyed the Equatorial Guinean delegation to the
meeting of the Organization of African Unity in Ethiopia in May 1987. Three months
later, in August 1987, Nigeria‟s Foreign Minister, Professor Bolaji Akinyemi paid an
official visit to Equatorial Guinea. During the visit, not much was revealed to indicate
surreptitious activities of South Africa in the Central African country. The visit therefore
ended on a cordial note.
Nigeria began to doubt the reassurances of the government of Equatorial Guinea
beginning in early 1988, however, as people perceived to be agents of the South African
government became more and more visible in Bioko. At this point, it became extremely
difficult for the Equatorial Guinean government to continue to deny the presence of
South Africans, who were undertaking some projects in Malabo. It was unclear what the
South Africans were doing and the extent of the threat that their presence in Equatorial
Guinea posed to Nigeria. There were strong suspicions that the apartheid regime in South
Africa was attempting to install some military devices in Equatorial Guinea to threaten
Nigeria‟s security. Many analysts in Nigeria were quick to draw parallels with the Cuban
Missile crisis when the U.S.S.R attempted to undermine the security of the United States
by establishing military presence in Cuba. Of course, Nigeria did not handle the threat
with levity. On 3 May 1988, Nigeria‟s new Foreign Affairs Minister, General Ike
Nwachukwu, visited Equatorial Guinea. He met President Mbasogo and expressed great
displeasure over the South African affair. He made it unequivocally clear that Nigeria
Journal of International and Global Studies
102
would not tolerate the presence of South Africans in Bioko and urged President Mbasogo
to take action. Fortunately for both countries, the Equatorial Guinean leader cherished his
country‟s friendly relations with Nigeria, and so he promised to send the South Africans
away. By early 1989, the South Africans had apparently left Equatorial Guinea
(Osuntokun, 1992, p. 87; The Guardian, 1988, p. 10; Daily Times, 1988, p. 7; The
Guardian, 1989, p. 5; National Concord, 1992, p. 7).
Nigeria continued to view the relations between Equatorial Guinea and South
Africa with caution despite the fact that the controversial South Africans departed
Equatorial Guinea in early 1989. This was especially so because of the initial denial by
the government of Equatorial Guinea when the issue was first raised. However, Nigeria
did not have to agonize for long. South Africa‟s president, Pieter Botha, resigned in
August 1989 and was succeeded by F.W. de Clerk. The new president immediately began
reforms that led to negotiations with black leaders. On 2 February 1990, as Parliament
opened, de Clerk announced to a stunned international community that Nelson Mandela
was to be released from prison. After twenty-seven years in confinement, Mandela
stepped out of jail on 11 February 1990. At the same time, long-banned liberation
movements and nationalist organizations such as the African National Congress (ANC),
Pan Africanist Congress (PAC), and South African Communist Party (SACP) were
unbanned. This set the stage for the emergence of a multi-party and multi-racial
democracy in South Africa. Mandela was finally inaugurated president of South Africa
on 10 May 1994, and what was left of apartheid as a state policy disappeared shortly
thereafter (Beck, 2000, pp. 181-190). Since there was no more apartheid to contend with,
relations between Nigeria and South Africa improved tremendously. This also removed
the apprehension over the influence of South Africa over Equatorial Guinea and the
perceived security threat to Nigeria.
The end of the Cold War in 1989 was the other major external influence on
Nigerian-Equatorial Guinean relations in the period under study. At independence,
Equatorial Guinea‟s president Macias Nguema declared his opposition to “imperialists”
and “neo-colonialists,” including “Marxists.” Some analysts have, on account of this,
described Macias‟ foreign policy as a mixture of militant anti-colonialism and African
humanism. However, in spite of his condemnation of Marxism, Equatorial Guinea
maintained very special relations with socialist countries, notably China, Cuba, and the
U.S.S.R (Fegley, 1989, pp. 113-116). For instance, in June 1970 Equatorial Guinea
signed a preferential trade agreement and a shipping treaty with the Soviet Republic. The
Russians also granted loans to Equatorial Guinea. The shipping agreement granted the
Russians permission to establish a pilot project of fishery development and a naval base
at Luba. Russia was, in return, to supply fish to Equatorial Guinea. China and Cuba also
gave different forms on financial, military, and technical assistance to Equatorial Guinea,
which gave them a measure of influence in Equatorial Guinea. This gave the socialists an
advantage when the war in Angola broke out in 1975 (Fegley, 1989, pp. 114-115).
The Portuguese colonial authorities in Angola hurriedly left on 11 November
1975 without handing over to any recognizable authority. This gave rise to the
establishment of two rival governments by the liberation movements that had been
involved in the struggle for independence. The Movimento Popular de Libertacão de
Angola (MPLA) established its capital at Luanda, and its leader, Dr. Agostino Neto, was
a socialist. The Soviet Union and Cuba quickly moved to support Dr. Neto. A rival
Decisive Thaw: The Changing Pattern of Relations between Nigeria and Equatorial
Guinea, 1980-2005
103
government was established by União Nacional para a independência Total de Angola
(UNITA) at Huambo. Apartheid South Africa supported UNITA, which struggled for
supremacy with MPLA. Naturally, the United States government of Gerald Ford
supported UNITA. Together, the USA and South Africa conspired to plot the fall of the
MPLA government (Ajala, 1986, p. 202; Legum 1999, p. 10). Before long, Angola
became a theatre of war with superpower involvement. It was at this point that Equatorial
Guinea became important in the East/West rivalry of the Cold War. Equatorial Guinea is
geographically very close to Angola, and its strategic advantage was fully utilized by the
Soviet Union in the superpower rivalry in Angola. In the contest, Russia‟s gains became
losses of the Western allies in Angola.
The naval base which was under Soviet Union control before the crisis broke out
in Angola broke was fully utilized by the socialists in the Angolan war. The base was
sealed off for spy trawlers and submarines, and arms were transferred from there to
Luanda in Angola. Russian ships anchored in Luba and MPLA ships came to load arms
there. Cuban troops also stopped over in Luba before making their way to Angola
(Fegley, 1989, p. 112). The socialists also established intelligence and communication
facilities Luba that proved crucial in the Angolan war. Apart from the valuable use to
which the Russians and Cubans put the port of Luba during the Angolan war, the Soviet
Union further stretched its influence to Malabo. The Russians were desirous of
establishing a direct link with Angola through Malabo. Consequently, Russian aviation
personnel and technicians helped to fix and operate the Malabo International Airport,
which had become dilapidated by the mid-1970s. This made it possible for the Soviet
airline, Aeroflot, to use the Malabo airport as a transit point to Angola. Equatorial Guinea
was thus indirectly involved in the East/West rivalry of the Cold War (Klintenberg, 1978,
p. 22; Fegley, 1989, p. 112).
It is true that Nigeria also supported the MPLA government of Dr. Agostino Neto,
but its support was not out of ideological consideration. The Obasanjo government
announced that its support was out of concern for the political stability of Angola. The
reality was that at independence, Nigeria adopted a non-alignment policy. However, the
country was evidently pro-West in its conduct of its foreign relations. This was easy to
explain considering the fact that British influence remained strong in Nigeria in spite of
the granting of independence. Up to sixty percent of Nigeria‟s external trade was with
Britain, from where more than half of its foreign direct investment came. In addition,
almost all of Nigeria‟s arms procurement came from Britain.
Nigeria‟s economic, political, and military attachment to Britain reduced in the
course of the Nigerian Civil War because Britain declined to sell much-needed arms to
Nigeria during the war, but Britain bounced back to maintain special relationship with
Nigeria shortly after the war. Thus, in the 1970s, Nigeria remained pro-West in spite of
being at the other side of the divide in the Angolan crisis (Aworawo, 2003, pp. 138-142).
Under these circumstances, the influence of a number of socialist countries, notably the
USSR, and Cuba on Equatorial Guinea negatively affected relations between Equatorial
Guinea and Nigeria. At one level, the USSR came to maintain a „big brother‟ position in
its relations with Equatorial Guinea. This was a position Nigeria understood well, as it
had traditionally maintained such a relationship with smaller African states, creating the
conditions for special relations between Nigeria and those nations. At another level,
Journal of International and Global Studies
104
however, the socialist influence in Equatorial Guinea made it difficult for Equatorial
Guinea to be committed to pan-Africanism, a movement that promoted good intraAfrican relations. Moreover, Nigeria‟s adoption of the non-alignment policy and
closeness to the West put her at an ideologically different position than Equatorial
Guinea.
The impact of the Cold War environment on relations between Nigeria and
Equatorial Guinea could be appreciated from some of the actions taken by the president
of Equatorial Guinea, Obiang Nguema Mbasogo, in 1979 and the early 1980s as he
reshaped the direction of his country‟s relations. As already noted, Obiang was desirous
of maintaining very special relations with Nigeria and other African states. He also
wanted his country to be close to Spain and other Western countries that had given the
government financial and technical assistance shortly after he overthrew Macias. He was
conscious of the fact that Soviet influence in Equatorial Guinea would need to be reduced
for such a foreign policy structure to be realized. One of the earliest steps taken relates to
Obiang Nguema‟s refusal to renew an agreement which gave the Soviet Union exclusive
rights to fish in Equatorial Guinea‟s waters and control over the port of Luba island when
it expired in 1979. Other measures were also taken to ensure that Equatorial Guinea was
no longer going to be used as a military transit territory (Liniger-Goumaz, 1989, p. 96).
Of course, Cold War pressure on Equatorial Guinea disappeared after 1989, when the
assertive interventionism that characterized the Cold War vanished with it. In many
respects, therefore, the end of the Cold War positively influenced relations between
Equatorial Guinea and Nigeria. It removed pressure on the leaders of Equatorial Guinea
and provided the freedom to conduct external relations in line with what was perceived as
the country‟s national interest.
Conclusion
This paper has examined the pattern of Nigerian-Equatorial Guinean relations
from 1980 to 2005 and has also brought to the fore the major changes that occurred in
their relations. Internal political changes in Nigeria and Equatorial Guinea and the
commitment of their leaders to promote closer ties positively affected relations.
Equatorial Guinea‟s shift from dependence on cocoa to oil, which made dependence on
Nigerian migrant labor unnecessary, also promoted cordial relations and reduced the
cases of brutalization of Nigerians in Equatorial Guinea‟s cocoa plantations, which was a
major source of irritation to the Nigerian government. The end of the Cold War in 1989
and the abolishing of apartheid as a state policy in South Africa in 1994 equally
contributed to the cordial relations that developed between Nigeria and Equatorial Guinea
in the quarter of a century from 1980. However, the ill-treatment of Nigerians in
Equatorial Guinea that continued in the 1980s and 1990s remained a thorny issue in
relations between both countries.
Nigeria and Equatorial Guinea have quite a lot in common. Both countries are
neighbors with overlapping maritime claims, and both produce large quantities of oil and
gas. Also, as members of the African Union, Nigeria and Equatorial Guinea necessarily
interact closely. What remains to be seen is whether the pattern of interactions will be
cordial or conflictual. The analysis of the changing patterns of Nigerian-Equatorial
Guinean relations in the quarter of a century studied in this work reveals that a fairly
Decisive Thaw: The Changing Pattern of Relations between Nigeria and Equatorial
Guinea, 1980-2005
105
stable political system with a measure of moderate and rational leadership contributed to
better relations from the 1980s compared to previous decades. This was evident in the
pattern of relations after the overthrow of Macias Nguema in Equatorial Guinea in 1979
and during the administrations of Shehu Shagari (1979-1983), Ibrahim Babangida (19851993), and Olusegun Obasanjo (1999-2007) in Nigeria (Aworawo, 2003, pp. 387-407).
The study thus corroborates the view that democratic governance not committed to
extreme ideological positions tends to promote good diplomatic relations.
The research has also revealed that the structure of the international system at
different times affects bilateral relations among states. A related issue is that with sound
policies, states can adjust their external relations in accordance with the prevailing
external environment to promote good relations. While it is true that conflict is
sometimes inevitable when addressing some international issues, it is also true that states
with sound policies and commitments to the use of diplomacy in addressing international
issues may reduce their involvement in conflict to the barest minimum. This was revealed
in the negotiations (1996-2000) that led to the delimitation of the maritime boundaries
between Nigeria and Equatorial Guinea between 1996 and 2000. What remains to be
done is for both countries to keep faith with the many bilateral agreements that they have
signed. They would also need to seek further ways of cooperation in areas such as
technical cooperation, educational exchanges, and social and cultural cooperation. In this
way, avenues for further cordial relations would be made possible in the future.
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The Art of Governing the Self and Others in the Christian Philippines
Pak Nung Wong, Ph.D.
Hong Kong Institute of Asia-Pacific Studies
The Chinese University of Hong Kong
pnwong@cuhk.edu.hk
Abstract
Through an ethnographic depiction of cultural creolization, this paper will detail
the ways in which traditional Filipino values have been successfully mixing with
and eventually lodging into the intersubjective landscape of Cagayan Valley,
where the Chinese, Ibanag, Ilocano, and Itawes ethnic groups dwell. This cultural
creolization process informs the ways in which the imagined social reciprocity
between the self and others has been governed by a historically constituted
power/knowledge system: the padrino system. This system is mainly composed of
the symbiotic codes and social practices of (1) Catholicized ritual kinship and (2)
the Tagalog ethics of “debt of gratitude” (utang na loób). In light of Foucault’s
(1988) governmentality, the uncertain contact zone between the art of governing
the self and the selves of others, I will detail the creative ways in which the
padrino (power/knowledge) system is used in the Philippine frontier life-world to
build local communities, resolve conflicts, and restrain self-aggrandizement.
Journal of International and Global Studies
111
Introduction
One day, an Ibanag-Filipino teacher, Roxanne, was approached by her student’s
Itawes mother, Eloisa, who was accompanied by Roxanne’s niece, the daughter of
Roxanne’s elder brother. Roxanne’s niece is also the god-child (Ibanag/Itawes:
ina-anak/inanak) of Eloisa. Roxanne felt that by bringing the girl, Eloisa was
presenting herself as a relative: the matron (madrino) of Roxanne’s niece. Knowing
that her son needed a passing grade for admittance into high school, Eloisa pleaded
with Roxanne for special consideration when grading her son’s examination paper.
The encounter constituted a predicament for Roxanne. While she is expected to be
impartial in marking, it becomes hard to refuse Eloisa’s request because if Roxanne
does so, she may be accused of being awan tu pavvurulum (Ibanag: without
sympathetic companionship) by her elder brother.1 Although I was not able to learn
what Roxanne eventually decided, her predicament actually pointed to two
phenomenological puzzles. First, how can we conceptualize Eloisa’s invocation and
skillful use of the symbiotic codes? Second, how is it that Roxanne and Eloisa needed
not to be reminded of the implications of the presence of Roxanne’s niece in the
encounter despite the fact that Roxanne and Eloisa belong to two different ethnic
groups? These two questions set the terrain of this paper.
Just as sovereignty-making hinges on the successful instillation of an insider
knowledge system that exclusively links the nationalizing state to its subjects
(manifested primarily in the forms of personal identities, moral virtues, and tacit rules
of everyday exchange), the Cagayan frontier inhabitants’ realization and grasp of a
power/knowledge system is critical to the conduct of everyday politics. A
power/knowledge system is elaborated in terms of symbiotic codes and social
practices that govern the ways in which inhabitants conceive the person, imagine the
self, practice social skills that connect with each other, and make sense of social
reality (Cannell, 1999). This system is locally known as the padrino system. What are
the codes and practices of the padrino system? How does this system contribute to the
imaginings of the Filipino person, self, others, and social reality? How would this
system enable an actor to govern the self and others’ selves? How would this system
contribute to the production of truth? First, I will discuss how the co-existence of
various ethno-linguistic groups constitutes a cultural continuum in Cagayan Valley,
one of the Philippine state’s frontiers where cultural creolization takes place.
Beyond the State-Frontier Dichotomy: Contours of the Cagayano Cultural
Continuum
The Art of Governing the Self and Others in the Christian Philippines
112
Figure 1. A Possible Model of the Cagayano Cultural Continuum
Ibanag - Ilocano - Itawes - Tagalog – English – Chinese – Spanish-Isneg – Kalinga – Malaueg -
It is held that the modern state-building project represents a form of “internal
colonization” in both western and non-western settings. For example, while Habermas
(1987) identifies the “colonization of the life-world” as a process by which the state
imperatives penetrate and distort everyday life in the western societies, Scott (2009)
finds “internal colonialism” in the relatively stateless highland Southeast Asia, where
frontier inhabitants have developed astute ways of evading the states’ subjugating
mechanisms. The “internal colonization” argument may be economical in explaining
the persistent recurrence of human-induced sufferings such as war and displacement.
Nonetheless, there are other innovative ways for the state to include frontier
populations without creating a zero-sum state-frontier dichotomy. One way is to
conceive the state-frontier relations in terms of the murky and uncertain zones in
which the nationalizing state and the frontier society imbricate and synergize with
each other.
The term frontier has two meanings. First, contrary to the international juridical
norms, which assume clear-cut boundaries that separate human communities, frontier
can refer to the unstable zone within which the sovereign state meets its challengers
and engages with other sovereign entities, such as insurgents and frontier strongmen.
The Cagayan Valley is qualified to be one such zone. In the late 1960s, the communist
ideologues of the Huk rebellion (1940s to 1960s) had decided to go beyond the
“Huklandia” of the central Luzon plain to reach the southern and northern Philippine
frontiers due to a strategic consideration (B. J. Kerkvliet, 1986, 1990[1977]).
Identified as a state granary and a base for peasant mobilization, the Cagayan Valley
was selected for the revolutionary cause, which fitted into the site selection criteria
and the “encircling cities from the countryside” tactic that Mao (2002[1968], pp.
12-24) originally proposed. The 1970s and 1980s marked the hype of communist
insurgency. Although the movement faltered in the 1990s, low intensity conflicts were
revived in the 2000s (Armed Forces of the Philippines, 2008). Second, frontier can
refer to the frontier life-world’s multi-ethnic, inter-subjective landscape, in which the
state strives to meddle and attempts to assert its superiority. In state-building, the
subjectivity of the individual becomes the state’s most desired frontier, within which it
strives to lodge itself. Through mass education and evangelization, the Manila state
and the Catholic Church both attempt to resonate with the frontier populations by
matching and hybridizing the frontier populations’ local codes and practices (Gatan,
Journal of International and Global Studies
113
1981; Liban, 1973).
Due to the multi-ethnic and religious context of the Cagayan Valley, actors are
living within a “cultural continuum” in which different cultures intermingle and
creolize (Drummond, 1980) (Figure 1). Within this cultural continuum, language and
religion both reflect a sort of cultural hybridity. For instance, it is common for
speakers to incorporate bits and pieces of Ibanag, Ilocano, Itawes, English, Chinese,
Spanish, and Tagalog in their daily language. Since Spanish times, Christianization
has taken place in the Cagayan Valley (De La Costa, 1967, p. 59), yet Cagayano
social relationships are largely mediated through “folklore Catholicism,” in which the
practice of ritual kinship (compadrazgo) plays an indispensable role to formalize
allegiance and affirm bonding (Lynch, 2004[1984]). As such, despite the fact that a
homogenizing national culture has been institutionalized for years through mass
education, the local government, and electoral politics, the Ibanag, Ilocano, and
Itawes cultural groups still retain their indigenous cultures. Often, this cultural
continuum permits individuals to draw from the multiple cultures (functioning as a
sort of a pool of symbols and identities) available to them to purposefully retrieve and
make practical use of in certain situations. In other words, the presence of multiple
cultures permits actors to call upon any of their “cultures-in-reserve” when necessary.
A cultural continuum is an intersystem in which different cultural manifestations
are acquired by a person through learning and socialization. Although there are
boundaries between these seemingly independent cultural systems, the systems also
overlap into aspects of social life, e.g. religious syncretism and linguistic creolization.
The creolization process is significant in that it enables us to understand the padrino
system, within which actors can interpret, create, and renew meanings by establishing
patron-client relationship with others. The culture of patronage and its associated
institution, ritual kinship (compadrazgo), were originally introduced by the Spanish
missionaries and qualifies as the Philippine state’s capillary power/knowledge system
that it doesn’t only weigh on us as a force that says no, but that it traverses and
produces things, it induces pleasure, forms of knowledge, produces discourse. It
needs to be considered as a productive network which runs through the whole
social body (Foucault, 1980, p. 119).
In northern Luzon, just as the indigenous institution of lakay (headman) includes
a reciprocal network of a “big-men” and followers (W. H. Scott, 1994), modern
Filipino patronage already had pre-colonial roots. Mixing the indigenous chieftainship
and the Catholic ritual kinship, the contemporary patronage found in this frontier
The Art of Governing the Self and Others in the Christian Philippines
114
region is regarded as a creolized cultural system (the padrino system).2 Informants
point out that the padrino is a system which characterizes its historical and
institutional characteristics. The Spanish word padrino refers to the personage – the
patron. The word system refers to a pattern of interpersonal interactions that
reconstitute a larger moral order. It is systemic because it encompasses a constellation
of complementary moral values that guide how reciprocities should be organized.
There are two major complementary pillars in the padrino system. First is the
notion of gratitude. Second is the notion of revenge. A ‘debt of gratitude’ (utang na
loòb) is the cornerstone of interpersonal ‘trust’ (tiwala), which compels one to return a
gift or a favor after receipt. Likewise, not appreciating an exchange party’s debt of
gratitude is considered immoral. The notion of gratitude serves as the moral basis for
long-term relationship development. What happens if the principle of debt of gratitude
was violated? The notion of revenge (ganti) sanctions behavior that is considered
ungrateful (walang utang na loòb). For instance, in a case of negative reciprocity
(Sahlins, 1972, p. 195), the padrino system also provides moral guidelines to sanction
impersonal exchanges. Chicanery is severely sanctioned by the act of revenge. Use of
violence and the sabotage of one’s reputation through gossip (tis-mis), intrigue
(intriga), and slander are not uncommon. Without changing the originality of this
indigenous phrase, my additional understanding of the padrino system is to regard it
as “a kind of rationality which was intrinsic to the art of government” that
“constitute(s) the specific reality of the state” (Foucault, 1991, pp. 89 & 97).
Patronage is conceived as a cultural pattern, sustained by compatible moral principles
that govern reciprocity and social hierarchy (Blok, 1969). In the Cagayan Valley,
patronage is seen to be a moral practice that informs the ways one should properly
behave as a “good person” (tao ng mabait); it dictates that individuals should
reciprocate (provide mutual help to one another) and act with compassion, honor, and
dignity. Further investigation has shown that compatible ideas also exist in the Ibanag,
Ilocano, and Itawes cultures.
Compadrazgo: The Art of Producing the Good Person (Tao ng Mabait)
Codes and Practices
Strands of post-structuralism are often criticized for downplaying the subject in
their allegedly ‘anti-humanist’ analysis (Layder, 1994, pp. 106-113). This might be
true in Foucault’s (1989) earlier archaeological works in the 1960s, but Paras (2006. p.
121) suggested that “the Foucault of 1980 had found room for interpretation, agency,
and subjectivity” which promises “a unified theory of human agency” (Smart, 1985, p.
Journal of International and Global Studies
115
71). For instance, in contrast to Bourdieu’s conceptualization of agency, which is
largely structured by the capitals and dispositions (Mouzelis, 1995, pp. 112-113),
Foucault conceives that human subjectivity functions in two directions: it is both
constituted by and constituting the state’s capillary power/knowledge system
(Foucault, 1988). As the state governs the frontiers by producing and localizing this
power/knowledge system, frontier governmentality includes the uncertain contact
zones between the arts of the government of others and of the self. In order to escape
from the circular loop between agency and structure, my proposition of frontier
self-governance espouses the kind of heterogeneous and undetermined human agency
that would enable us to explain changes informed by actions of mixed motives
(Callinicos, 2004).
I am therefore going to elaborate on the discursive specifics that guide dyadic
transactions on which the frontier agents rely for building communities. Community
building entails the art of creating and cultivating loyalty from other existing actors in
the network of social relations across a particular geographical territory. Maintaining
loyalty does not solely mean controlling followers. Although it involves inculcating
debt of gratitude that the receiver is compelled to reciprocate, it also allows freedom
for one to decide when, what, and how to reciprocate. As a personhood system
(Carrithers, Collins, & Lukes, 1985), the padrino system enables the transacting
parties to evaluate the involved persons with a key assessment criteria: is s/he is a
good person (tao ng mabait)?
The conflict perspective of patron-client models suggests that the Philippine state
is largely a continuation of its colonial dynamics (e.g. Hedman & Sidel, 2000). Such a
perspective would naturally attribute the present socio-political state of affairs to
colonialisms and their complex art of government, which leave very little room for
postcolonial agency. As a result, postcolonial Philippine human agency refers to the
reflexive manipulation and versatile interpretation of the padrino power/knowledge
system for improving oneself and another’s life chance within the uncertain,
constraining conditions of postcolonial transitions. As an alternative, I propose a
“ripple” model of social relations to portray the frontier organization as an
inter-subjective system of meanings, which allows different interpretations of
meanings by the actors based on the padrino system. In Foucault’s (1991, pp. 89 & 97)
sense, the padrino system entails the art of governing the self and the selves of others,
which becomes “a kind of rationality which was intrinsic to the art of [Philippine]
government” that “constitute(s) the specific reality of the [Philippine] state.”
The padrino system thus represents the dominant value system of the frontier
life-world, in which actors who are either playing the role of the patron or client are
The Art of Governing the Self and Others in the Christian Philippines
116
interlocked by a potentially expanding social network. Among the Ibanag people, the
bilateral kinship system is headed by the father (yama), who is expected to be a
mangiyegu (protector):
[a] strong man, able to protect his family and his home against any aggression. In
this sense, he is called patul – a king, in his own domain. No one can question
his sovereign power. In the absence of the father, the mother is expected to take
over. (Gatan, 1981, p. 28, italics original)
Compared to the Ibanag phrase y daga mas nakannag ta danum (blood is thicker
than water), invoking tattadday tam nga familia (we are one family) has more
far-reaching moral implications to both kin and non-kin.3 In merging with the
traditional tribal chieftainship, the padrino system becomes a creolized technology of
the strongman in the reproduction of political legitimacy. In the Philippines, like other
Catholic countries in which the Christian ritual kinship (compadrazgo) is practised
(Hart, 1977), the Spanish term padrino is equivalent to the Tagalog terms ninong
(god-father/male sponsor) and kumpadre (co-father), respectively. Madrino, padrina,
ninang (as to the godchildren) and kumadre (as to the parent of godchildren) mean the
female sponsor/patron/godmother and the co-mother, respectively (Lynch & Himes,
2004[1984], pp. 158-159 & Figure 6).
It is important first to clarify the equivalent ritual kinship categories adopted by
various ethno-linguistic groups who have absorbed the padrino system into their ritual
kinship system (Table 1). Citing Drummond (1978, p. 35), “[c]reole contains not one
grammar, […] but several.” Hence, creolization of these ritual kinship categories thus
constitutes a “grammatical continuum be adapted to form a conception of a cultural
continuum” of ritual kinship categories that embrace contradictory (or, seemingly
incompatible), but semiotically related, units of ritual kinsman (Drummond, 1978, p.
35, italics original).
These ethno-linguistic groups do not operate separately within their own
symbiotic realm of patronage. None of them is completely independent from the
others. While I aim to delineate the perceived cultural compatibility between these
ethno-linguistic groups, I will illustrate how creolization, as the Philippine state’s art
of governing the frontier, enables a basis of self-governance, i.e. to facilitating within
individual actors the ability to create cultural realities by re-interpreting meanings
from a ‘cultural continuum’ of discourses of patronage. Through the ritual kinship
ceremony endorsed by the Catholic Church, social relations are renewed, and the
subsequent role expectation is redefined. The padrino (patron) has a higher symbolic
status than the sponsored (client) in ritual exchanges (Arce, 1973). Compadrazgo
Journal of International and Global Studies
117
(ritual kinship) “is … often assimilated into patron-client relations” and commonly
found in other non-Catholic societies as an ideological practice to legitimize social
inclusion and exclusion for community building (Bloch & Guggenheim, 1981, pp.
377 & 385 n.2). In Cagayan, it is common to hear businessmen and politicians
address and greet their concerned counterparts as pare or mare to denote a sense of
‘we-ness’ – this is a creative (ab)use of compadrazgo for establishing social networks
and suiting individual needs (Parkin, 1980). The following ethnography substantiates
this observation.
The Art of Governing the Self and Others in the Christian Philippines
118
Table 1: Considered Equivalent Ritual Kinship Terms by the Cagayanos
Spanish
Tagalog
kumpadre/
compadre
pare
kumadre/mare comadre
Hokkien
Mandarin
Chinese
English
Characters Translations
kiat-pai-hia-ti jiebai xiongdi
co-father
ninong
padrino
kiat-pai-tsi-m jiebai zimei
ei
kueh-bei
qifu
ninang
madrino
kueh-mu
Ina-anak
ahijado/a# kueh-gin-a
kinakapatid
¶
Tagalog
Ibanag
kumpadre/
kumpari
pare
kumadre/mare kumari
ninong
nangana/
namallao@
/ ninung
ninang
nangana/
namallao@
/ ninang
ina-anak
ina-anak/
naballao/
inana ta
kristiyano
kinakapatid
wawagi ta
santa
Iglesia/
wagi ta
kristyano
qimu
qiernü
kueh-hia-ti-tsi qixiongdi
-mei
zimei
Ilocano
Itawes
結拜兄弟
結拜姊妹 co-mother
godfather
契父
godmother
契母
契兒女* godchildren
契兄弟姊妹 god-sibling
compadre$
kumpari
English
Translations
co-father
comadre$
ama ti
buniag/
ninung
nanang ti
buniag/
ninang
barok ti
buniag (male)
balasangko ti
buniag
(female)
manong/
manang/adik/
ating+ /
kabsat ti
bunyag /
kabagis
kumari
kanganak
co-mother
godfather
kanganak
godmother
inanak
godchildren
wahi kang
simban
god-sibling
Keys:
# Rarely used. Gender differentiation: ahijado (god-son); ahijada (goddaughter).
契兒
契女
* Gender differentiation: kueh-ga; qier
(god-son); kueh-tsa-mo-a; qinü;
(goddaughter).
¶ Not used at all.
@ Naganan/namallao is used to address the sponsors during the actual ceremony.
The godchildren address their godfather as tiyu (uncle) and godmother as tiya
(auntie). Other equivalent terms for godparents are ulitag and pakiaman.
$ Usage extends to siblings of co-sponsors and their spouses (Jocano, 1982: 117).
+ Manong and manang are used to address older male and female god-siblings.
Adik/ating is for younger god-siblings regardless of gender.
Journal of International and Global Studies
119
Source: Author’s field research on kinship terms (2003-2009).
Reinventing a Good Man (Mabait na Lalaki): An Ethnography
A vibrant culture of entrepreneurship can not develop without “economic
personalism,” as an entrepreneur not only has an economic role but is also an
agent-broker who represents, maximizes, and creates gains for his or her connections
or networks (Anderson, 1969). In Tuguegarao, Alejandro Chua and Noynoy Ty4 have
enjoyed friendship and a close business partnership over the past six years since
米粉 mifen, rice
Alejandro has been the sole supplier of pancit (egg noodles), bihon (
米線 mixian, flour vermicelli) to Noynoy’s new business
vermicelli) and misua (
venture, a restaurant with a panciteria section (a local eatery which specializes in
Tuguegarao-style fried noodle dishes5) on Tuguegarao’s busiest street. Alejandro is an
elected leader of the local chamber of commerce. He is also well known for his
industriousness, generosity, and benevolence. Noynoy is a migrant entrepreneur,
newly arrived in Cagayan. After working for his Chinese father’s restaurant in Manila
for many years, he wanted to establish his own business in a new environment. His
distant relative in Cagayan referred him to Alejandro for help. Based on trust and
endorsement from the referee, Alejandro used his connections and influence to help
Noynoy to secure his business licence. Moreover, he often offered him “friendship
price” and low-interest credit. In return, Noynoy patronizes the grocery store of
Alejandro’s son, Juan. The store is the sole supplier of cooking oils and seasonings, as
well as other ingredients for Noynoy’s restaurant. The two families have become
close to each other in business. The businesses have progressed and Noynoy is doing
very well in the eyes of many businessmen in town. Apart from his own business,
Alejandro also helps his children’s businesses and his wife’s newly established
meat-processing business. As the workload is heavy, Alejandro employed one of his
nieces to be in charge of the routine deliveries to Noynoy’s restaurant and panciteria,
thinking that the new staff would find it easy to adapt to the already routinized
dealings with Noynoy’s business.
However, things began to go wrong from this point. Noynoy started to realize
that he had to pay increasing amounts for Alejandro’s deliveries. The amounts
reported were becoming greater and greater. As Noynoy valued the friendship and
previous help offered by Alejandro, he kept silent for several months of transactions.
On Alejandro’s side, unlike before, he noticed that Noynoy had not paid for his
deliveries but demanded more and more supplies, which was interpreted by Alejandro
The Art of Governing the Self and Others in the Christian Philippines
120
as kuripot (stingy): doing very well yet refusing to pay debts. Both Alejandro and
Noynoy started to suspect that the other was taking advantage of the shared friendship
and trust. Bitterness grew on both sides. In a telephone conversation, when Alejandro
asked Noynoy to clear the debts, Noynoy asked for a price reduction. The discussion
did not go well because both sides felt insulted when Alejandro commented on
Noynoy’s stinginess and Noynoy asked why Alejandro had become greedy (swapang).
Both sides failed to come to a proper solution to resolve their problems with each
other. What made the situation worse was when Alejandro was encouraged by a good
friend who was a lawyer to sue Noynoy for not paying his debts.
Caught in the conflict between his father and one of his closest business partners,
Juan went to investigate the issue. Juan eventually found out that it was Alejandro’s
newly employed staff member who had created the anomalies in the accounts and
deliveries by lining her own pockets. Alejandro and Noynoy then cleared up the
misunderstanding, but because of the charges filed by Alejandro against Noynoy,
Noynoy was ‘extremely hurt inside’ (masakit na masakit ang loób) and refused to talk
to Alejandro. In a telephone conversation, Juan asked Noynoy about the issue, and he
told Juan in despair, ‘Why does your father sue me? We had been together for years.
Do I look like a thief? Yi mo-leong-sim6 [He has no good conscience]!’ Noynoy felt
insulted because of Alejandro’s decision to sue him, which implied that Noynoy did
not want to pay his debts. To Noynoy, Alejandro was ungrateful (walang utang na
loób) because although Alejandro helped Noynoy very much, Noynoy had been
patronizing his son’s business since he had come to Tuguegarao. Alejandro felt it was
面子 mianzi, face, or in
unnecessary to apologize to Noynoy because of min-zi (
Tagalog, mukha) and said that he had already withdrawn the case and that he would
continue to give good offers to Noynoy. However, bitterness on the part of Noynoy
drove him to look for other foodstuff suppliers directly from Manila. He wanted to
change suppliers.
Juan was sensitive about the change of relationship between the two families
since the misunderstanding. He also learned from his business friends that Noynoy
was looking for alternative suppliers. After consulting with his mother on the matter,
and considering the relationship between the two families, Juan decided to nominate
契父契母 qifu qimu,
Noynoy and his wife as his wedding’s kueh-bei-kueh-mu (
sponsors)7 or in Tagalog, ninong and ninang. He told Noynoy that it was the Chua
family’s sincere invitation to start a new phase in their relationship with the Ty family.
Seeing it as an honour – a token of reconciliation from Alejandro, Noynoy was
pleased to accept the invitation.
Journal of International and Global Studies
121
At the wedding ceremony, inside the largest cathedral in Tuguegarao, Alejandro
and Noynoy came together and shared the fact that they were now as close as brothers
結拜兄弟
because they were kumpadre (co-fathers) or in Hokkien, kiat-pai-hia-ti (
jiebai xiongdi, ritual brothers). Noynoy praised Alejandro for having a son who is
mabait and magandang loob (meaning good, humane, kind, and generous in Tagalog)
and ko-yi (meaning good, well-behaved and kind in Hokkien). The sponsors were
mostly Alejandro’s close family members and friends, including a few notable figures
in Tuguegarao, such as the mayor. As a non-family member, Noynoy was still seated
with the Chua family at the dinner reception. The ceremonial event helped to sweep
away the bad feelings between Alejandro and Noynoy. In this particular episode, Juan
acted as a go-between, mending the relationship between his father and his closest
business partner by practically using the padrino system as an honor system –
nominating the Ty couple to be one of the wedding sponsors. Originally, Noynoy was
a good friend to Alejandro and a business partner to Juan, but the wedding ceremony
pulled him closer to the network center of the Chuas by recognizing and honoring him
as a ritual kinsman, and positioning him within the inner circle of the social universe
of the Chua family. In this particular wedding ceremony, the Chuas made use of the
padrino system by nominating Noynoy Ty as a ritual kinsman.
Against the backdrop of previous misunderstandings between Alejandro Chua
and Noynoy Ty, the Chua family’s decision to nominate Noynoy as Juan’s wedding
sponsor was re-interpreted as a token of reconciliation offered by Alejandro to
Noynoy. This reconciliation would not have been possible without Alejandro’s
ceremonial endorsement of the godfather-godson relationship between Noynoy and
Juan. Through ritualizing the patron-client relationship between Noynoy and Juan,
Noynoy and his wife were given an equal symbolic status as the co-parent of
Alejandro and his wife. However, at that moment, Noynoy himself knew well that the
nomination mainly served as a token of reconciliation by granting him a seemingly
equal status with Alejandro. In reality, the nomination was intended to mend the
patron-client relationship between Alejandro and Noynoy. Alejandro’s superiority as
the common patron of Noynoy, and his son, Juan, was affirmed at Juan’s wedding
ceremony.
Drawing from this case, I want to highlight the creolized nature of the discourse
of patronage: the interpretation of the meanings behind the nomination of the wedding
patron as a creative enterprise. In order to make a meaningful interpretation of the
nomination act, one should delve into the specificities of the life histories of the
parties involved. Based on the situational necessities of the involved parties, the
The Art of Governing the Self and Others in the Christian Philippines
122
nomination successfully rescued a faltering patron-client bond. In this case, Filipino
patronage provided a timely platform from which to create a new phase in the
relationship between the Chua and the Ty families. Thus, the above ethnography
informs an archetype of, in Parkin’s (1980) terms, “creative abuse” of the padrino
system found in the Cagayan Valley. I selected a Chinese-Filipino case with the
intention of displaying the creolized nature of this power/knowledge system in
contemporary Filipino society.
Three features of the padrino system are worthy of further attention. First, the
padrino system is an interest-coordinating system. With its hierarchical structure
between the patrons and clients, both parties seek their own interests. Secondly, it is
an honor system based on frequency and depth of interactions (Bourdieu, 1966, pp.
197-198). The closer an individual is cognitively located to the designated ego-self
within the circular orbited network, the more prestige/honor is enjoyed by this
individual. If the ego-self is a renowned individual, the amount of prestige/honor
would increase accordingly. In short, the padrino system is a honor system in which
the interacting actors within the social network enjoy a collective self-esteem, amor
propio – “an emotional high-tension wire that girds the individual’s dearest self,
protecting from disparagement or question the qualities he most jealously guards as
his own best claim to others’ respect and esteem” (Lynch, 1970, p. 16). It is the
sensitivity to the norms of good behavior that preserve one’s acceptability among
others and the sensitivity to personal affront by preventing embarrassment or shame
(hiya). Thirdly, the symbiotic ingredients of the padrino system inform the specific yet
delicate logics that actors must tactfully manipulate in order to maintain the Filipino
ideal type of social acceptance: smooth-interpersonal-relations (SIR). Accordingly,
SIR is constituted by (1) pakikisama, meaning ‘sympathetic companionship’,
“concessions” or ”giving in” or “yielding to the will of the leader or majority so as to
make the group decision unanimous” (Lynch, 1970, p. 11). (2) The practice of using
euphemisms in language marks a trait of the Filipinos to cushion the feelings of the
person affected. (3) Use of go-betweens as a way of preserving and restoring smooth
interpersonal relations by avoiding loss of face or shame (hiya) and to remedy an
existing state of conflict and tension by sensitively replacing shame, embarrassment,
affront, and uncomfortable feelings with honor (puri) (Lynch, 1970, pp. 15-17).
Undoubtedly, Juan played a successful role as the go-between, consoling Noynoy by
honoring him as his family’s padrino. By doing this, Juan has won the praise of
Noynoy as someone who is mabait, magandang loób and in Hokkien, ko-yi, which are
all regarded as the virtues of being a good person (B. J. T. Kerkvliet, 2002[1990], p.
177).
Cutting across kinship, ritual kinship, friendship, patron-client relationship, and
Journal of International and Global Studies
123
other social relations, the padrino system actually means more than compadrazgo. Its
essence remains the practical rules of interaction between the political elite and the
masses. The padrino system thus entails reciprocal exchanges between actors whose
give, take, and return are governed by a complex set of codes and practices, which
specifically define the roles, statuses, and expectations of the actors positioned
differentially in each other’s subjective imagination (Lynch & Himes, 2004[1984]).
Perceptually, the strongman is the person who manages to occupy the most superior
status in a constellation of criss-crossing social networks in which he engages; he is
the ultimate padrino. While he is continuously glorified by honor as the padrino in
numerous life-events and communal ceremonies and rituals, he is obliged to reward
his followers and sometimes sacrifice himself in exchange for their loyalties. The
padrino system is a set of moral codes that govern exchange and interdependency that
provide individuals with roles and expectations to negotiate for qualitatively different
objects. Gifts, favors, services, and financial rewards are given out in exchange for
political support. Every three years since 1988, elections have been a routine event
during which one’s political influences as the padrino can be attested and proclaimed.
Through elections, fiestas, municipal beauty contests and other similar ceremonies
and life-event rituals, the codes and practices of the padrino system have been
reproduced.
To illustrate the padrino system pictorially, imagine that a piece of stone is
thrown into a pool of calm water. From the center point, where the stone reaches the
water, rings of ripples radiate outward to the peripheries. As a ripple moves further
from the center, it becomes weaker. Ripples close to the center point are stronger.
Using this pictorial metaphor to depict the pattern of social relations in rural China,
Fei (1992, p. 60) coined the phrase, “the differential mode of associations.” Social
relations are patterned as outward radiating orbits that circle around the ego-self,
prioritizing associations according to the differential proximities to the centre, and
forming a circular onion-like network of connected individuals who play a range of
different social roles – the ego-self’s “social universe.” Applying this typology in the
Philippine context, bilateral family members and kinsmen are located at the most
inner circle;8 next would be the ritual kinsmen, and then neighbors and friends.
Although the positioning of personal associations is believed to be orderly patterned
spatially, in actual situations, individuals are said to be moving sometimes closer and
sometimes more distant from the ego. Both involved and observing parties can create
different interpretations with respect to the individuals and their respective
movements.
Although the padrino system resembles the features subscribed by “the
The Art of Governing the Self and Others in the Christian Philippines
124
differential mode of association,” it is, in addition, a power/knowledge system. The
padrino system involves a range of structural roles, a pool of moral codes and options
of social practices that enables actors to negotiate and reinvent meanings in lived
situations. The padrino system allows individuals who occupy different structural
positions in the circular orbits to cut across others’ social universe and move along the
proximity to the ego-self. In other words, Filipino kinship, ritual kinship and
friendship are the social practices that generate (multiple) symbolic meanings. These
constitute the moral force that governs the reciprocal exchange which radiates
throughout a constellation of multi-ego-centered criss-crossing social networks. In
Cagayan, the padrino system works both inside the family and between non-kinsmen.
The family head usually enjoys a superior status to other clansmen in political,
economic, and social affairs. Although debates and disagreements are allowed within
the family, the final say of the family head is still respected. The family head controls
most of the resources, thus ensuring that s/he is the most influential of the clan,
enabling her/him to serve as the sponsor and patron of most life-event ceremonies and
rituals of the kinsmen. Yet the padrino system goes beyond the boundary of the kin
group (angkan). Its capacity is also effective to non-kinsmen.
Among different ethno-linguistic groups, one’s cousin (kasinsin) and
co-mother/father (kumadre/kumpadre) are often called ‘brother/sister’ (kapatid).
Within the hierarchical social structure, a set of symbiotic codes and social practices
governs the reciprocal interactions between the ego-self and the connected actors
positioned differentially in the ego’s onion-like social networks. These codes and
practices serve as the shared internal system of meanings to signify and decode
interactions and exchanges between different positions in the social structure, e.g.
parent and child, godparent and godchild, and patron and client. It is therefore the
mortar that cements the ego-self and other actors together which forms the whole
constellation of criss-crossing circular orbits of social relations that connect across the
strongman’s bailiwick.
The Cagayan province has twenty-eight municipalities and one component city –
Tuguegarao. The strongmen occupy official positions such as that of provincial
governor and mayor, allowing him/her the governmental authority to implement law,
maneuver funds, administer the local police force, and execute policies and projects in
the designated jurisdictions. Imagine seven stones being thrown together into the
same pool of calm water. One sees seven political centers of outward radiating force
collide and coalesce, forming the contours of their bailiwicks. This is a picture that
depicts a discursive field of power contest and mutual encroachment, as well as
juxtaposition of interpretations and meanings. Add in the daily interactions and
routine exchanges of ordinary inhabitants, and the splashes of ripples with lower
Journal of International and Global Studies
125
velocity criss-cross the ripples of the strongmen. Hence, the existence of competing
strongmen, measures such as surveillance and coercion, as well as intimidation have
to be also ensured in order to maintain effective control.
On the one hand, the padrino system entails a benevolent dimension of the
strongman as the all-providing patron who controls and distributes the most
substantial amount of resources in the bailiwick. On the other hand, it also enables the
strongman to penetrate into the coercive state apparatus (e.g. police aides as personal
bodyguards), even including the aides into the strongman’s circular, layered personal
social network. This enables him to exercise physical force as a potential threat to
weaken the capacity of adversaries by instilling fear in order to elicit subordination.
The padrino therefore has a coercive face. This often Janus-faced style of strongman
politics requires the maintenance of reciprocal circulations (the art of governing the
self and the selves of others), which commonly hinges on the Tagalog ideas of debt of
gratitude (utang na loób).
Utang na Loób: The Art of Governing the Self and Others
‘Ang pagtanaw ng utang na loób ay may lalakip na pananagutan. Tama o mali?
[Acknowledging a debt of gratitude has a corresponding responsibility. True or
false?]’
Test question used in the Philippine elementary schools9
The ethics of utang na loób include the ways in which the self and others may be
imagined, related, and ordered in reciprocal terms. Is this unique to the Philippines?
No, Kaut clarified that
[t]he principles and mechanics of this system [utang na
loób] are by no means unique to Tagalogs but are found
as well among other ethno-linguistic groups in the
Philippines and seem to be variations on a structural
theme implicit in value organizations from Tikopia to
Japan, to Vancouver Island, to Classical Greece – and
not unheard of in Washington, D.C. (Kaut, 1961: 256)
For instance, in Cagayan, the Tagalog ethics of utang na loób share four similar
features with the Chinese ethics of lin-qing. The first similarity is that both symbolize
a system of reciprocal obligations. Secondly, utang na loób is commonly translated as
The Art of Governing the Self and Others in the Christian Philippines
126
“debt of gratitude” or ”debt of prime obligation,” for utang means ‘debt’ and loób
means ‘inside of something’. Lin-qing is translated as ‘human sentiment’, ‘human
feeling’ and ‘human obligation.’ All of them refer to a subjective emotion/feeling of
obligation and indebtedness, internally created within another person through an
unsolicited presentation of services, gifts, favors, honors, and other considerations.
Thus, utang na loób and lin-qing compel the recipient to return the favor after receipt
because of the internal indebtedness. Thirdly, both refer to a set of norms and moral
obligations which govern practices of exchange. These norms and moral obligations
require the involved parties to keep in contact and continue to participate in future
exchanges. Lastly, as an extended usage, both can be regarded as a kind of resource,
in the form of favors and gifts, as well as honors, used in the medium of social
exchange to establish social networks (Yan, 1996, p. 122). In this spirit, utang na loób
(debt of gratitude) is essential in establishing pakikisama (sympathetic companionship,
giving-in, concession) and SIR as well as ‘building public relations (PR) in politics.’
In the same manner, lin-qing (human sentiment) is essential in order to establish
關係 social relationship/connections) for the Cagayanos (Tables 2 & 3).
guanxi (
The ethics of debt of gratitude allow people of different cultures to relate to each
other despite their different ways of elaborating the idea in their own cultural terms.
Being a good person is regarded, as in Goffman’s (1983) words, as ‘the interaction
order’ with the objective to live up to the expectation of being a grateful person. The
ethics of the debt of gratitude are an indispensable moral guideline for building and
cultivating personal relationships for the Filipinos. As reciprocal exchange is featured
in all human interaction, before giving a gift or offering a service, one should consider
the receiver’s particular need. To be a good person is to be sensitive to what is inside
the other person’s mind and to his or her feelings. It is considered a compliment to be
called considerate, kind, or compassionate (mabait, magandang loòb, mabuting loòb).
There is a subtle structural difference between “debt of gratitude” (utang na loòb) and
“sympathetic concern” (pagmamalasakit) in actual usage. In the context of a
superior-inferior relationship, especially in patronage, utang na loób refers to the debt
of gratitude embodied by the client after receiving help. Pagmamalasakit (showing
sympathetic concern) is the moral obligation of a patron to show his compassionate
support. Literally, it means surrendering a part of oneself in order to benefit another,
causing some pain/hurt (sakit) to the giver in the process. A patron who is willing to
make a sacrifice for his or her followers is highly regarded as displaying a moral
virtue, which renders the client indebted forever.
Journal of International and Global Studies
127
Table 2. Cagayano Renditions of the Tagalog Ethics of Utang na Loób (Part I).
Tagalog
pakikisama
walang
pakikisama
amor propio
hiya
walang hiya
mukha
puri
kaloob/
saloobin
tiwala
utang na loób
walang utang
na loòb
Hokkien#
Mandarin
Chinese
characters
English
關係, 有來 sympathetic
往, 與人應酬 companionship/
relationship,
relationship-building.
weird,
有怪癖, 不懂 unable anti-social,
to socialize
交際
min-kam,
mingan,
敏感, 自尊心 sensitivity,
zi-chuan-sim
zizunxin
self-esteem/respect
kian-siao, minzi lianchi,
廉恥, 面子 shame, self- esteem
mianzi
mo-kian-siao, buzhi lianchi, 不知廉恥, 沒 shameless, losing face
mo-pai-say,
mei mianzi
面子
mo-min-zi
min-zi
mianzi
face
面子
mia-sia, min-zi mingsheng, 名聲, 面子 reputation, face,
mianzi
honor
sim
xin
heart, innermost state
心
of mind
xin
xinren,
trust,
credibility
信任
, 信用
xinyong
lin-qing,
renqing
debt of gratitude,
人情
lang-qing,
human obligation
kuan-hei,
wu-lai-ki,
cup-lang-ying-s
iu
wu-kuai-piat,
mui-a-ying-siu
guanxi,
youlaiwang,
yuren
yingchou
youguaipi,
budong jiaoji
kiam-lang-lin-q
ing
mo-leong-sim, meiliangxin,
mo-lin-qing
meirenqing
pagmamalasakit wu-wao-lang,
wu-kam-qing
ganqing
walang
mo-wao-lang,
pagmamalasakit mo-kam-qing
meiganqing
pagkakaisa
dong-qing
tongqing
ganti
bo-in
baoen
ganti
bo-siu
baochou
mabait,
magandang
loób, mabuting
loób
ko-yi,
zhui-lang-ya-su
we,
e-yao-zhui-lang
zuoren
henmei,
dongde
zuoren
good
沒良心, 沒人 without
conscience, without
情
human sentiment,
inhumane.
sympathetic
感情
concern/support,
沒感情
compassion
without sympathetic
concern/support,
compassion
having same feeling
同情
return a favour
報恩
Avenge
報仇
generous,
做人很美, 懂 considerate,
kind, compassionate,
得做人
good (describing a
person)
The Art of Governing the Self and Others in the Christian Philippines
128
Key:
* With assistance from the Chinese-Filipino communities in Tuguegarao and Tuao.
# Some colloquial terms do not exist in Mandarin and Chinese characters.
Table 3. Cagayano Renditions of the Tagalog Ethics of Utang na Loób (Part II).
Tagalog
utang na loób
Ibanag
gatu ta nono,
makagain avi na
ammu y
mappabalo,
tappao
walang utang na awan tu gatu ta
loòb
nono
kaloob/saloobin nono
hiya
walang hiya
Ilocano
utang nga
naimbag a
nakem
Itawes
katut kan
nonot
English
debt of gratitude
awan ti utang
na nga
naimbag nga
nakem
nakem
awan nga
katut kan
nonot
without debt of
gratitude
agal; nonot
innermost state of
mind
shame
shameless
bain
pasiran
awan tu pasiran awan ti bain
pakikisama
anaddu y
aggao*,
pavvurulum
pagmamalasakit pangitaki
kaarruba,
pakakaisa
tiwala
panagtalek
pagkakaisa
confiansa /
pangurung
pattaradday
barkada
mabait
kakofun
masippo
pangisakit
panagkaykaysa (nakasta nga)
attaradday
gagayyem
kakkavulum
nasingpet
nasimpat
magandang
masippo; napiya napintas nga
nakem
loòb, mabuting nga nono
loòb
ganti (1)
ganti (2)
mukha
puri
bahala na
balo; itoli
mappasiran
awan nga
mappasiran
akkikuvvulum togetherness,
sympathetic
companionship
aggideddut, personal concern
angnguffun
pangurung
trust
agsinnulit,
bales
nakasta yo
unuunag
balat;
mangitoli
kang ayat
balo; balyan
bales, agibales balat/ibalak
muka
rupa
muyung
dayaw
dayaw
dayaw
komforme ngana makammu
conforme ngin
ditan
having the same
feeling
friend
considerate,
generous,
kind,
compassionate,
good (describing a
person)
considerate,
generous,
kind,
compassionate,
good (describing a
person)
return a favour;
reciprocate
avenge
face
honor
God will take care
Journal of International and Global Studies
129
Key:
# With assistance from the inhabitants of Tuguegarao and Tuao, Cagayan province.
* Literally means ‘the day is long’ which implicates that even though one may seem
to not need help from others, the wheel of fortune will turn and s/he will need help in
the future (Gatan, 1981: 41).
In addition to the utilitarian and instrumental dimension of reciprocity, its moral
nature should be emphasized. To be grateful is to remember the gifts, services, and
favors which have been received. The receiver is obliged to reciprocate (ganti) or ‘get
ready’ when the giver is in need. The need may either arise urgently or be planned.
For this reason, the reciprocal relationship should be based on trust (tiwala), an
invisible tie that binds the two parties together, which faithfully stretches across a
time-span. Without trust, long-term relationship development would not be possible
and mutual benefits would not be maintained. Reciprocating parties should not be
forced to return a service or favor on a specific situation, but the eventual reciprocal
action should be largely based on personal “good will.” In Ilocano, a “debt of good
will/gratitude” (utang nga naimbag a nakem) is equivalent to the Tagalog idea of debt
of gratitude (utang na loòb). Both refer to a sacred sense of remembered indebtedness
that has a long-term effect on the reciprocating parties. Forgetting one’s human
obligation is regarded as a violation of the ethics of the debt of gratitude. It is immoral,
and therefore attracts sanctions. The Tagalog word ganti is the sanctioning mechanism,
which includes two meanings: (1) to return a favor and (2) to avenge. Revenge is
manifested in various forms, such as refusal, avoidance, confrontation, threats, and
sabotage of reputation as well as the use of violence. Usually, the violator would be
accused of being ‘without good conscience’ (walang utang na loòb) or sometimes
more seriously, shameless (walang hiya). Fox (1959, p. 430) suggested that hiya
(self-esteem) is “similar in some respects to Chinese ‘face’.” Despite the various yet
similar usages of the concepts, they both serve as a social sanctioning system that
attaches the sentiments of reputation, prestige, pride, and honor to the ego, thus
inhibiting the violation of moral codes. A violation of moral obligations and social
expectation would cause the emotional tension of “losing face,” resulting in feelings
of shyness, embarrassment, shame, and timidity (Bulatao, 1964; Hu, 1944).
Nevertheless, the interchangeable use of these cultural concepts is quite unique in a
creolized context like Cagayan. It is important to see that these specific ideas are not
identical but, rather, compatible.
In contrast to the Mediterranean notions of “honor” and “shame,” which
emphasize the cultural logics of prestige-in-relations with its specific symbolic
expression of honor in challenge-riposte contests and warfare (Herzfeld, 1985;
Peristiany, 1965), the Tagalog notion of debt of gratitude is largely a moral code that
The Art of Governing the Self and Others in the Christian Philippines
130
governs reciprocal exchange. It proves itself to be better adopted by the ethnic
Chinese, Ibanag, Ilocano and Itawes, who also hold compatible principles of
reciprocity. In other words, Mediterranean notions of honor and shame are more likely
to operate outside the realm of reciprocity, whereas this is less likely in the Filipino
case. As my previous case studies have shown, the discourse of patronage involves a
carefully calculated balance sheet of business transactions, favors, credits, and
services. In China, the discourse of reciprocity is regarded as “an extremely versatile
interactive resource” and could be used in a variety of situations (Pieke, 1995: 502).
Tuguegarao city mayor, Delfin Ting, also observed a similar phenomenon:
People say these things [(ethics of debt of gratitude)] in
situations for their own purposes. It is more a common
language. It is more a common language that [mandates]
you as the recipient of the request to cooperate. This
one comes for pakikisama (sympathetic companionship),
that one comes to ask for pagmamalasakit (personal
concern); you just cannot accommodate all of them. We
have our own considerations. Otherwise, you destroy
your government. If you cannot give them what they
want, they like to accuse you [of being] walang utang
na loób [(ungrateful)], walang pakikisama
[(anti-social)], walang pagmamalasakit [(without
personal concern)], even walang hiya [(shameless)].
You cannot care that much. We have work to do and we
have to consider these things according to situations.10
Ting turned the tables by showing the situational use of these moral symbols by
the actors. This is reminiscent of ‘everyday politics’ (Kerkvliet (2002[1990]: Chapter
8), which suggests that people make different claims and disagree with each other
based on a set of common values and beliefs. People value social justice and equality
and expect to be treated accordingly. Due to slippage use and differences in
interpreting these values, conflict emerges. Many traditional Filipino values, such as
the ethics of utang na loób, are envisaged to facilitate social justice and equality.
However, these moral symbols always become the arena of meaning contestations and
means for self-justification in disagreements and conflicts of interests because of their
ambivalence and contextual variations of usage (Quito, 1994). Paradoxically,
disagreements and conflicts further reinforce the utilization of the padrino system for
two reasons.
Journal of International and Global Studies
131
First, individuals are competing for social connections and networks to suit their
own interests – a person who may leave the old padrino and shift to a new relation
without leaving the padrino system. Bishop Ricardo Baccay perceptively points out
the social control property of the padrino system:
The moral system of utang na loób is a circulatory
system that binds the patron and client together into
dependency. These moral sayings are also the means
used by the politicians to control the people, making
them further dependent on the debt bondage. […] But
sometimes I see the clients also use these sayings to
control their padrino, especially in elections. Every
three years, you can see the sudden increase of
invitation of sponsorship to politicians in baptisms and
weddings. Many of them would even invite candidates
of opposition camps and see who would come with their
gifts, for those politicians who [could] not afford losing
their votes would come. As a matter of fact, in my
opinion, vote buying is a modern form of Filipino
padrino system. […] Both patron and client gain
something out of the relationship, often they ‘jump
ships.’ But the padrino is still there.’11
This observation partially echoes what Agpalo (1969, p. 6) asserts as the
sophistication of the political elite as the padrino: the “political elite, however, are
also compelled to behave like pandanggo dancers [a Filipino oil-lamp dance
displaying good balancing technique]. To remain in power, they must manipulate the
people by tempting them with jobs or threatening them with loss of employment.
They are also forced to distribute jobs to persons and towns where the payoff will be
greatest in terms of votes.”
Secondly, the situational use of traditional Filipino values can also work for
conflict resolution. In the Chua–Ty incident described earlier, I have shown how Juan
Chua made creative use of the padrino system to mend the relationship between his
father and his closest business partner after a misunderstanding. The padrino system
may also be creatively used to resolve interpersonal conflicts, which is illustrated by
the following cockfight.
The Art of Governing the Self and Others in the Christian Philippines
132
Awakening Play: Notes from a Cagayano Cockfight
One Sunday afternoon, my Ilocano informant, Manong Katigid, invited me to
observe a cockfight in his town.12 Upon arrival, one of his nephews took me inside,
where we sat with Manong’s clansmen and friends while he was preparing his cock
for the fight outside the cockpit arena. The cockpit arena resembled a stadium,
although it was smaller in scale. The audience members were either standing or sitting
on the steps, all looking down onto the cockpit. I knew that this fight appeared to be
an intra-clan affair – a fight between Manong’s cockerel and his cousin’s cockerel. I
was unable to figure out how closely the two men were related, but it seemed that this
fight had attracted a big crowd of supporters and spectators from both sides of the
same clan, all men. Manong suddenly approached me and informed me that he had
been waiting for this fight for a long time. He lost last time to his cousin, but he had
confidence that he could win this time. He invited me to bet on his bird. Although I
told him honestly that I was not supposed to gamble as a researcher, he insisted. Full
of confidence, Manong left me and went down to the cockpit.
At the centre of the arena, the two cocks were being positioned opposite each
other. Manong’s cock was positioned on the Meron side, whereas his cousin’s cock
was positioned on the opposite, Wala side.13 Around the cockpit, I came to learn
some of the names of his relatives and friends from his town. The way the crowd
acted seemed to indicate that Manong could be a lider (leader) of his clan, yet the
arrangement of the cockfight symbolized an intra-clan split. According to the rule of
the cockpit, the Meron side has the larger amount of bets, which symbolically
suggests that the cock has a bigger crowd of supporters. The Wala side, literally
meaning ‘nothing’ or ‘none,’ had fewer bets. The christo (the middleman in charge of
the fight) took a microphone and announced his invitation for extra bets from the
audience to close the gap. However, it was an empty gesture – nobody responded
around the heavily packed arena.
Many spectators suddenly stood up and shouted either in a long non-interrupted
high pitch “Wa … la … wa … la … wa … la …” or in a firm and forceful tone
uttering continuously “Meron! Meron! Meron! Meron!” By shouting, on the one hand,
they signaled a position of being open to take bets. On the other hand, they solicited
private bets from each other. Although there was an official betting counter, almost
everyone was allowed to solicit private bets in the arena. After shouting for a few
minutes, they start to shout the betting rates they are going to offer, ‘Loges! Loges!
Loges! Loges!’ The amount of bets would then be negotiated by hand signals (Table
4). The talk, heat, sweat, laughter and moving bodies reminded me that I was not the
only one waiting for the fight in this little, yet lively, arena.
Journal of International and Global Studies
133
Table 4. Jargons of Betting Rates and Hand Signals in a Cagayano Cockpit
Betting Rates
Descriptions
Loges
5/4: 100 pesos bet, 180 pesos return if win
Kuarto-tres
4/3: 100 pesos bet, 175 pesos return if win
Singko-tres
5/3: 100 pesos bet, 160 pesos return if win
Siete-diyes
7/10: 700 pesos bet, 1700 pesos return if win
Tres-dos
3/2: 300 pesos bet, 500 pesos return if win
Hati
2/1: 100 pesos bet, 150 pesos return if win
Hand Signals
Descriptions
Pointing fingers up
Multiplier of ten pesos
Pointing fingers horizontally
Multiplier of one hundred pesos
Pointing fingers down
Multiplier of one thousand pesos
Source: Author’s Fieldwork, 2004.
Quietness and concentration suddenly prevailed. The fight was quick. I attest it
was the quickest I had seen – after staring at Wala for a few seconds, Meron jumped
and kicked its feet onto Wala’s head. The whole crowd exclaimed together, ‘Ha!’ In
less than a second, Wala’s head was being dragged down onto the dirt ground.
Applause, laughter and despair all issued from the crowd – wherever Meron went,
Wala’s head followed on the dirt floor. Meron proved itself so strong that it dragged
Wala for three rounds until they were separated by the christo. A vivid path of blood
circled the cockpit – Meron’s spur had actually gone through the neck of Wala,
becoming stuck inside the neck of Wala. In my estimation, the fight finished within
one minute. All of a sudden, folded Peso notes were being thrown from one corner to
another, across the cockpit, and above the audience. All bettors remembered their bets,
whether won or lost; they paid and took their winnings, with trust and without dispute.
Manong won 30,000 Pesos from his opponent, who is his second cousin, or the
grandson of his maternal grandfather’s brother. He then went around and gave Peso
notes to the christo, the entrance guards of the cockpit, his clansmen, and friends. He
was in the highest spirits that I have ever seen him in.
In an ethnography of Balinese cockfight, Geertz (1993[1973], p. 417) maintained
that “[f]or it is only apparently cocks that are fighting there. Actually, it is men.”
Indeed, after leaving the leftist movement, Manong rejoined his family and has been a
lider of his clan. He first ran as a barangay captain (village council chairman) with
his second-degree cousin, who ran as a barangay kagawad (village councilman). The
The Art of Governing the Self and Others in the Christian Philippines
134
–
unitary clan dominated the political scene of the barangay until their split when their
sons ran against each other for the Katipunan ng Kabataan, the chair position of the
barangay’s Sangguniang Kabataan (Young People’s Council).14 The winner would
have a further opportunity to become an ex-officio member of the municipal council.
Without any clear evidence, Manong suspected that the opposition gave 100 Pesos for
each vote, which ensured his son’s loss. Since then, the clan has split into two factions.
In the 2001 election, Manong supported the opposition candidates against his cousin.
In August 2003, Manong’s son challenged his cousin to a cockfight. Yet he lost again.
Insults and jeers had been exchanged between the two young men, which affected the
relationships between the two families. I came to know that this recent cockfight held
by their fathers is a continuation of the symbolic vendetta between the two young men.
However, Manong explained to me that it was actually a Cagayano way of
peace-making – cocks spilled blood on behalf of their masters in hope that the
involved parties would be awakened.
The above cockfight is instructive to supplement a missing dimension in Lynch’s
theorization of Filipino society – the place of conflict resolution. Lynch asserted that
SIR consists of the highest values of the Filipinos, who are patterned to avoid conflict
and ease tension within a social grouping that already shares a bonding of positive
emotional fulfillment. However, relationships are not always smooth. Jocano (1966)
questioned the basis of the generalization of SIR and its inability to explain the
existence of prevalent in-group conflicts which he observed in a Manila slum:
The internal structure of these groups is, in fact, tinged
with conflict – anxiety, jealousy, exploitation, suspicion
and so on – in spite of its apparent unity. Members join
the leader or other members in various mischiefs,
gang-wars, and other serious criminal acts less of a
desire for social acceptance or pakikisama than out of
fear over their own safety and that of their families even
if they should refuse to toe the line of gang norms.
(Jocano, 1966: 287, italics original)
Jocano may portray an extreme. As the above scene illustrates, in the midst of
factional conflicts, actors have the creative capacity to make practical use of events
and ceremonies such as cockfights to soothe interpersonal tensions and tentatively
resolve conflicts. Drawing from the above ethnography, vengeance (venganza)
appears to be related to a structure of social relations of interpersonal conflicts. It can
Journal of International and Global Studies
135
be viewed as a form of (negative) bonding which enables two parties to become
involved in prolonged tension and exchange of violence (c.f. Jamous, 1992). There
seems to be a moral code that governs conflict. Although Evans-Pritchard (1940, p.
152) revealed that the blood feud is an essential tribal institution for the survival of
the Nuer, I maintain that the Filipino padrino system is mainly a contractual system of
‘generalized reciprocity – transactions that are putatively altruistic’ (Sahlins, 1972, p.
193). Violence is likely to occur when there is a situation of “negative reciprocity,” or
“an attempt to get something for nothing with impunity” (Sahlins, 1972, p. 195).
Situations of assault, deceit, chicanery, and theft are as prone to violence as simply
being ungrateful – taking advantage of a reciprocal relationship or even going into
bitter rivalry against a patron.
The padrino system mostly performs violence in two related ways. First is a
display of extraordinary capacity to seem powerful enough to offer protection and
then display generosity or benevolence. Secondly, when revenge is taken against
someone who sabotages his own or his grouping’s sense of honor (puri) or
self-esteem (amor propio), as well as face (mukha), the padrino is obliged to avenge
the infraction on behalf of the group in order to neutralize the shaming effect (hiya)
and restore his face from the perceived symbolic assault. There is a common saying in
Tagalog: mata sa mata; ngipin sa ngipin (an eye for an eye; a tooth for a tooth).
Violence is conceived as a social exchange (conveyed by the term ‘blood-debt’), in
which one’s honor is meticulously weighed like a balance-sheet. Violence remains a
moral imperative that motivates an individual to reciprocate (ganti) physical harm or
symbolic damage in order to ‘get even.’ Venganza, therefore, is an emotional tension,
a feeling of distress created internally after one’s physical and symbolic well-being is
damaged by another antagonistic party. Vendetta means more than inter-family blood
feud but has symbolic value to individual and collective honor (Bourdieu, 1966). The
vengeful aspect of human societies has been covered by different ethnographies
globally (Black-Michaud, 1975; Blok, 2001). In northern Luzon, for example, Barton
(1949; 1969) described the legal institutions and procedures among the Kalingas and
Ifugaos established to punish wrongdoings to curtail personal revenge. However,
without a state-endorsed judicial system to settle blood feuds, killing in revenge
would only lead to further killing in counter-revenge (Schlegel, 1970, p. 52). A
Cagayano theologian and legal scholar brought out the relationship between justice
and revenge when he made the following instructive remark:
One of the roles of the state and its justice system is to
serve as a third party to mediate vengeance and curtail
The Art of Governing the Self and Others in the Christian Philippines
136
revenge by imposing an objective verdict. By no means
[can justice] be fully objective, but there should be
rigorous procedures to assure a fair and just judicial
process. It is a natural tendency for a human being to
take revenge as an act to exercise justice [against
wrongdoers]. What is justice is to punish those who
commit wrongdoings. When the justice system does not
live up to the expectation of the victims, there is a
tendency for them to exercise justice by themselves.
This is one of the problems of the Filipino legal system
we are facing now.’15
Regarding this predicament, Manong Katigid, however, suggested that in the
short-run, it is difficult to expect the poor Cagayanos to only look up to the state
judicial system.16 At the village level, for example, there is the ‘people’s court’
(lupong tagayambayaba) which invites villagers to serve as juries. Instead of
immediately resorting to state-endorsed legal procedures, disputing parties would try
to resolve a conflict in front of a patron, mostly elected village officials. If the matter
cannot be resolved, the complainant many decide to forward the matter to a higher
level, e.g. a municipal court. In most cases, to settle a dispute, people still seek
assistance from higher patronal figures, such as the councilors, mayors, and
congressmen, who are regarded as the sovereign persons because of their political
supremacy over the disputing parties.17 This creolized litigation practice is also an art
of self-governance.
Although taking revenge is as central as reciprocating a favor in the padrino
system, Cagayanos also consider the communal techniques of awakening (Tagalog:
natauhan) for enlightening anyone who is regarded as selfish (Table 5). The symbiotic
basis of awakening is communal sanctioning or retribution (Tagalog:
parusa/kabayaran, Ibanag: liwa/paga, Ilocano: dusa/bayad, Itawes: liwat/paha).
Apart from resorting to rebellion, these power/knowledge systems allow the
communities to govern anyone who ostensibly maximizes their self-interests (c.f. J. C.
Scott, 1976). Whether a person would step back and reflect upon the self or not may
depend on the tactical deployment of at least five options listed in Stage 2. These
options may be selectively and concomitantly deployed by the community in order to
make their governing elite reconsider and rethink whether their course of actions is
justifiable or not, as determined by the ideal Filipino personhood, i.e. tao ng mabait
(good person).
Table 5. Awakening: Cagayano Art of Governing the Self and Others.18
Ibanag
Ilocano
Itawes
English interpretation
Stage 1:
To advise someone who
Yppisipisan y aggaw
(Do not take all the days for
Awan ti bagyo nga saan nga
agbales/agsubli
Ippisipisan ya akaw
ostensibly maximizes
her/his self and interests.
not all the days are yours)
(Typhoons do sometimes
swirl back)
(Do not take all the days
for not all the days are
yours)
Don’t maximize
yourself when you are
Stage 2:
Five options to restrain
someone who
maximizes his/her self
and interests.
Ybbita (avoid; flee)
Contra (oppose)
Maki-tadday da contra na
ira (join force with his/her
enemies)
Lumanban (fight)
Ymammoc (make peace,
reconcile)
Pumanaw (flee; leave)
Kumontra (oppose)
Maki-kadua ek iti kabusor
(to join force with his/her
enemies)
Pumanaw (fight to the death)
Maki-kapiaak (make peace,
reconcile)
Panaw (flee; leave)
Contra (oppose)
Maki-tadday kan contra
nga ira (to join force with
his/her enemies)
Panaw (fight to the death)
Imammok, maki-kapia
(make peace, reconcile)
To avoid and flee from
Stage 3:
Awakening and
self-correction.
Napanono (realize from
inside), nariparra (being
reflective)
Panagpanunot (realize from
inside, being reflective)
Napanonot (realize from
inside), nariparra (being
reflective)
To realize from within,
to reflect upon and then
restrain the self
in power. We all need
to have qualms.
the person’s sphere of
influence
To oppose the person
To join his/her enemies
to oppose the person
To use violence to stop
the person
To make peace with the
person so to advise
constructively
Conclusion
This paper has delineated the contents and ethnographic illustrations of the
historically constituted power/knowledge system that the Philippine state negotiates
with its frontier populations in the Cagayan Valley – the padrino system. In contrast to
the ‘internal colonization’ argument, which subsumes the dichotomy between the state
and life-world, evidences suggest that the state’s reach into the frontier life-world may
well be elaborated in view of a creolized power/knowledge system.
In Cagayan Valley, with its decades of postcolonial state-building, although the
individuals are expected to live up to the ideal Filipino personhood, it is the creative
use of the padrino system that allows them to coordinate interests and mend broken
relationships. The padrino system entails the culture-specific arts of governing the self
and others. The social reality is conceived in terms of a social universe that stretches
across a spatial territory of connected individuals through a range of social relations.
Its complex of moral values serves as the symbiotic force that pulls individuals
together into a unit which then circles around the strongman as the patron. The
padrino system, on the one hand, is constituted by benevolence, in which chains of
debts of gratitude flow in circulation, making a community possible. Being the patron
entails a moral obligation to self-sacrifice and the generous giving to and protection of
followers in exchange for support and respect. On the other hand, the padrino system
may also draw the involved parties into fear, intrigue, conflicts, and exchange of
violence. Vengeance is the motivation that compels an individual to ‘get even’ as a
way to pursue justice.
As the state judicial system is still sinking its roots into the frontiers, where the
culture of legal pluralism is prevalent, several ethnographic illustrations have been
provided to show the creative use of the already-existing institutions (religious rituals
and folklore ceremonial activities, such as the indigenous chieftain (lakay) system,
ritual kinship, local people’s court, and a cockfight) to resolve conflicts and make
peace. In the light of governmentality, the uncertain contact zones between the art of
governing the self and those of the selves of others, Cagayanos rely on the communal
logics of awakening. Communities may deploy a range of strategic options in order to
compel a person to step back and reflect upon the self and course of actions, as a way
to “govern” their governing elite.
Journal of International and Global Studies
139
Acknowledgments
The author would like to acknowledge two research grants: City University of
Hong Kong grant no. 7200096 & Chinese University of Hong Kong grant no.
2020962. He thanks the anonymous reviewers for their excellent comments. The
following professors are acknowledged for their guidance: Fr. Ranhilio Aquino, F.
Landa Jocano and Frank Pieke. Generous assistance provided by the Archdiocese of
Tuguegarao, Christian Berrey, Benjie de Yro, Daisy Gacias, Cris and Joyce Vea, the
local governments of Tuao and Tuguegarao city had made the fieldwork smoother.
Usual disclaimers apply. Email: pnwong@cuhk.edu.hk.
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1
Interview, Roxanne (teacher), elementary school, Tuguegarao city, Cagayan Valley, April 7, 2009.
For the obvious reasons, some informant identities in this paper have been changed.
2
Similar creolized system also exists in urban and professional context (see: Kondo, 2008).
3
Ilocano: Magmaysa tay a familia. Tagalog: Iisa tayong pamilya. Hokkien: Lang-si-tsik-ke-lang.
4
Alejandro Chua was born to a Chinese father and Ilocano mother in the Cagayan province. He
married a Tagalog lady whom he met in business and she gave birth to Juan. Noynoy Ty was born to a
Chinese father and Ibanag mother in the Isabela province, before they moved to Manila. Interviews and
travelling notes, Cagayan Valley, central Luzon and the Cordillera, December, 2003.
5
Pancit originated from Fujian, China (probably Xiamen) brought by the Chinese migrants into the
Philippines.
6
The Hokkien, mo-leong-sim (
沒良心 meiliangxin, without conscience) is, according to the
Chinese-Filipinos, equivalent to the Tagalog phrase walang utang na loób (ungrateful).
7
According to the translation by my Chinese-Filipino informants, this Chinese term is said to be
equivalent to the Tagalog terms of padrino/madrino, ninong/ninang and kumpadre/kumadre.
8
There may be further differentiations within kin (Pertierra, 1988: Chapter 4).
9
The model answer should be ‘tama (true)’. Source: The first periodical test for grade V, Department
of Education, the Philippine government, collected in Manila and confirmed its use in Tuguegarao, July
15 and August 5, 2009.
The Art of Governing the Self and Others in the Christian Philippines
146
10
Interview with Delfin Ting, Hotel Delfino, Tuguegarao city, Cagayan Valley, December 13, 2003.
11
Interview with Bishop Ricardo Baccay, Archbishop’s residence, Tuguegarao city, January 13, 2004.
12
Field notes, cockpit, Cagayan Valley, May 30, 2004. In Ilocano language, ‘Manong Katigid’ refers to
‘elder brother left’, a fictitious identity co-constructed with the informant to denote his previous
involvement in the Philippine left.
13
In the cockpit, meron literally means ‘sufficient’ whereas wala means ‘nothing’ or ‘none’.
14
According to Local Government Code (1991), members of the Sangguniang Kabataan must be
under 21 years old. They have the authority to initiate and implement all youth-related activities and
programs that are coordinated with national, provincial, municipal and barangay-level officials.
15
Interview and field notes, parish convent of Father Ranhilio Aquino, Tuguegarao city, June 24, 2004.
16
Interviews, Manong Katigid, paddy field-side shelter, Cagayan Valley, March 24 & 25, 2007.
17
Interviews and field notes, 5 barangays in Tuguegarao and 2 barangays in Tuao, Cagayan province,
April 11, 13 & 15, 2009.
18
Interviews with Manong Katigid, paddy-field-side shelter, Cagayan Valley, March 24 & 25, 2007.
Mastering the Midas Touch: The Indo-Trinidadian Diaspora in North America and
England, 1967-2007
Jerome Teelucksingh, Ph.D.
University of West Indies
jtluxing@yahoo.com
Abstract
This article will assess the experiences of the Indo-Trinidadian immigrant population
during 1967 to 2007. The displaced Indo-Trinidadians residing in North America and
Britain were challenged to define themselves in relation to Afro-Caribbean and
Asian-Indian immigrants. The broad categories used to determine the success or
failure of migration included culture, social mobility, identity and religion. The
research will prove that the Indo-Trinidadian diaspora in North America and England
have experienced considerable social mobility and acculturation.
Journal of International and Global Studies
148
This article will assess the diasporic experiences and adjustment of IndoTrinidadian immigrants in the post-Independence era. The displaced Indo-Trinidadians
residing in North America and Britain were challenged to define themselves in relation to
Afro-Caribbean and Asian Indian immigrants. Migration scholars such as Barry Levine
(1987), Mary Chamberlain (1997), Nancy Foner (1978, 1979, 1985 1998, 2001), Frank
Birbalsingh (1989, 1997), Ransford Palmer (1990) and Roy Bryce-Laporte (1976) have
collated the experiences of the Caribbean diaspora in North America and Europe.
The research is based on responses from fifty Indo-Trinidadians (25 men and 25
women) who had been legal residents in the following areas- Toronto (Canada), Los
Angeles, Washington, Miami (United States) and London (England). Ten persons,
between the ages of 23 and 74, from each of the five geographical areas were selectively
chosen from the East Indian population and provided with a questionnaire. These
immigrants departed Trinidad and Tobago during the forty year period (1967-2007) and
are either employed or retired.
The majority of the Indo-Trinidadian immigrant population had been either
directly or indirectly affected by the epoch-making events of decolonization in the 1960s
and Black Power in the early 1970s. In the Caribbean, this era of change was
characterized by social upheavals and cataclysmic political changes. The transfer of
economic and political power into the hands of the Afro-Caribbean certainly contributed
to tense racial tensions in Guyana and Trinidad. Both countries comprised relatively large
East Indian populations. As a result, thousands of East Indians from Guyana and Trinidad
flocked to the United States and Canada to escape racism in their homeland and also seek
a better life. Many claimed, in an attempt to be approved quicker by immigration
authorities in North America, to be political refugees and sought asylum. Bisram (2005)
estimated that there are more than 120,000 Indo-Trinidadians in United States; and every
year 8,000 to 10,000 East Indians from Trinidad are expected to migrate to this country.
An overwhelming majority of East Indians were absorbed into the still expanding
Canadian economy during the late 1960s and 1970s. They were reluctantly welcomed in
Canada where there was a need for skilled labor especially electricians, plumbers and
carpenters. The mistake of many of these migrants was being unaware of the fact that
Canada was not color-blind and racism was entrenched in the society. Indeed, the racial
bogeyman accompanied the West Indian immigrants to their new homelands.
The Indo-Caribbean immigrants arrived in England during the Caribbean influx
into Britain during the 1950s. Unfortunately, there is an absence of statistics on the
population size of this ethnic group and Indo-Trinidadians who departed the Caribbean.
In 1981, there was an estimated 22,800 to 30,400 Indo-Caribbean persons residing in
Britain (Vertovec, 1994). This figure is relatively insignificant when compared to the
1982 estimate of 1.2 million Asians living in Britain. Indo-Trinidadians sought to
construct a unique identity in Britain. This was done in an effort to be differentiated from
the Afro-Caribbean population, especially the “Windrush generation” whose major
immigration into Britain began on the ship Empire Windrush in 1948.
Undoubtedly, race relations was one of the push factors in the emigration of IndoTrinidadians. Race relations were in a deplorable state in Trinidad during the 1980s and
1990s as Indo-Trinidadian men and women continued to experience discrimination
(Maharaj, 1993; Espinet, 1993). East Indians felt as second-class citizens as they
experienced difficulties in obtaining jobs in the security forces, entry into the public
Mastering the Midas Touch: The Indo-Trinidadian Diaspora in North America and
England, 1967-2007
149
service and access to public housing. There was a glaring absence of equity and
meritocracy when the People’s National Movement (PNM) was in power (1956-1985 and
1991-1995).
The ascension to political office in 1995 by the United National Congress (UNC),
comprising predominantly Indians, witnessed the first Indo-Trinidadian Prime MinisterBasdeo Panday. This temporarily stemmed the tide of Indo-Trinidadian emigration.
Unfortunately, this achievement had certain repercussions on the racial climate in
Trinidad and Tobago. The reign of the UNC was marked by an unprecedented rise in
racism and accusations of corruption. Furthermore, most of the Afro-Trinidadians, who
supported the PNM were deceptively cajoled by racist calypsonians, newspaper
columnists and politicians into believing that they were being discriminated against and
ignored by an East Indian-led government (Teelucksingh, 2007).
From 2002 to 2009, during the rule of the PNM, there has been a spiraling
increase in crimes including murders and kidnappings. The majority of the victims of
kidnappings and robberies have been persons from the upper class- Whites, Syrians,
Lebanese and wealthy Indo-Trinidadians. As a result of this high level of crime, many
Indo-Trinidadians have sold their homes/businesses and sought solace in Canada, United
States and to a lesser extent, England. The challenges of assimilation and social mobility
experienced by East Indians in the Caribbean were also present in the new host societies.
Culture: Music, Diet and Carnival
Cultural forms by Indo-Trinidadians have been used to counter dominant
discourses in North America and England. This could be viewed as a type of cultural
resistance by the immigrants. During the twentieth century, the Indo-Trinidadian has
been voiceless and faceless in Britain, their adopted homeland. This is due to their small
and scattered population which has contributed to the group being unable to be an
influential voice. This is markedly different from other areas as Soho and Southall in
which there is a distinct presence of the Asian immigrant. Likewise, in Brixton, there is a
heavy and obvious African and Afro-Caribbean presence.
Among the age-group 45-65 years, in the sample, there is occasional attendance at
theatres. Once every three months, Indo-Trinidadians from London would attend a play,
poetry reading or musical. Those migrants who studied Literature at secondary schools or
colleges in the Caribbean were more appreciative of the Shakespeare plays and drama in
London. Seven of the ten Indo-Caribbean persons, interviewed in London, appreciated
British plays and music more than Caribbean music.
Interestingly, there is a weak link between India and the Indo-Trinidadian
immigrants. For instance, whilst in the Caribbean, Indo-Trinidadians within the agegroup 60-74 years regularly patronized Indian films with English subtitles. However, in
North America during the last decade there is a westernization among young IndoTrinidadians and those in the 45-65 age group who are not familiar and not interested in
such actors/actresses and singers as Amitabh Bachan, the Kapoors, Lata Mangeshar and
Kishore Kumar. Additionally the Indo-Trinidadians in London are aware of the
development of ‘Indiapop’ especially the vibrant dance rhythm- Bhangra. Since the late
1990s, young East Indians from Trinidad have also been familiar with bhangra songs
Journal of International and Global Studies
150
(Balliger, 2005). There are regular visiting music and dance groups from India. Forty
percent of Indo-Trinidadians in Toronto, thirty percent in Los Angeles and ten percent in
London would attend these cultural events. East Indians in Los Angeles and Washington
do not attend events featuring artistes from India or Pakistan.
As with other ethnic groups, there is a culinary appreciation of the ethnic diversity
in Miami, Toronto and Los Angeles. For instance, Tandoori, Chinese and Mediterranean
dishes are occasionally sampled by East Indian families. There are Indo-Trinidadian
restaurants in Toronto, New York and Miami but few in London. Furthermore,
immigrants are able to easily purchase imported fruits, vegetables, seasonings and curries
from West Indian markets and groceries. Condiments as pepper, chutney and kuchela are
usually brought by visiting friends and relatives. The foods and delicacies associated with
festivals, Eid and Divali, including roti, pumpkin, kurma, parsad and sawine remain a
prominent feature on the menu of the Indo-Caribbean diaspora.
Not surprisingly, there are some individuals, as Michael Hosein of London, whose
tastes have undergone minor modifications. He departed Trinidad in 2002 and admitted
that his diet has less of a West Indian or East Indian element and more ‘British food’ such
as sausages, potatoes and steak. From the overall responses of the survey it seems that
one of the major customs of England, tea-drinking, has been adopted by a minority of the
Indo-Trinidadian population. In the three selected areas in United States (Los Angeles,
Miami and Washington), Indo-Trinidadians between the ages of 23 and 35, consume
foods as pizza, hot dogs, hamburgers and/or chips at least once a week. Persons in this
age group, in the United States, would eat Caribbean foods as souse, roti and doubles
whenever it was available.
In the United States, more than 20 cities have Carnival celebrations (Hill, 1997).
In New York, the Carnival has become a major symbol in the development of a
“Trinidadian transnation” (Scher, 2005: 46). Christine Ho (2005) examined the Miami
Carnival and argued that Trinidadians produced cultural symbols which represented West
Indianness. She felt a social position of uniqueness was created via boundary-defining
rituals. This view of Ho might be true for Afro-Trinidadians. Less than half of the
sample’s thirty respondents (from Los Angeles, Miami and Washington), have
participated in Carnival celebrations in the United States. One third of the sample has
been to the Carnival celebrations in New York. Public cultural activities among migrant
communities are important in their collective self-representation. Percy Hintzern (2005)
in “Globalisation and Diasporic Identity among West Indians” argued that West Indians
in the San Francisco Bay Area in northern California belonged to a high socioeconomic
category. He believed West Indians in that area conformed to the racist notions of being
“exotic, hypersexual, fun-loving and given to bacchanalian excesses” (6). Such
stereotypes create distorted perceptions among residents of North America and England.
As a result, the Indo-Trinidadians suffer from being “cliché citizens” and “Carnival
citizens” simply because of their origin. This could explain the relatively low
involvement of the Indo-Trinidadian immigrants in Carnival which has been viewed as
belonging to the Afro-Trinidadian element of the population. It would also explain the
tendency, among some Indo-Trinidadians, to avoid mixing with Afro-Trinidadians in
West Indian organizations or events in North America.
The well-known Notting Hill Carnival celebrations in Britain began in 1958 when
Claudia Jones, an Afro-Trinidadian activist and writer, organized a Trini-style Mardi
Mastering the Midas Touch: The Indo-Trinidadian Diaspora in North America and
England, 1967-2007
151
Gras at St. Pancras Town Hall (Alleyne-Dettmers, 2005). Six of the ten IndoTrinidadians in London, in the age group 25 to 47 years, tended to avoid participation and
attendance but were proud and contented to see their country being represented at
international events and allowed a cultural space. Their reasons for non-involvement
include being busy at work and the inconvenient distance between their homes and the
venue. The observance of annual Carnivals provides a low degree of intra-diasporic
contact between Indo-Trinidadians and the Afro-Caribbean. Thus it is a myth that in
England, Carnival amongst the diaspora has bridged a critical cross-cultural divide which
existed in the Caribbean and among other immigrants in the host society. IndoTrinidadians separate themselves from Notting Hill Carnival because of the sporadic
incidents of violence.
Unlike England, the well-known annual Caribana festival in Toronto, which is a
version of Trinidad and Tobago’s annual Carnival, attracts not only Caribbean-born
persons but other ethnic groups who enjoy the jovial atmosphere with its music, food and
costumed characters. Cecil Foster (1996), a Barbadian residing in Toronto, in his novelA Place Called Heaven: The Meaning of Being Black in Canada described Caribana in
one of the chapters as the “best spiritual tonic for the social and spiritual alienation so
many of us feel in Canada, including so many of us born and raised in this country”
(248).
In Toronto, there are frequent events such as calypso shows and dances which
reduce the feelings of alienation or marginalization among the Caribbean immigrants. For
instance Calypso Hut 3 on Sheppard Avenue West, in 1998 held a Tassa Dance Party and
pre-Carnival shows have been held by Burrokeete Canada. Certain concerts such as the
World Music Fest had performers from the Caribbean such as Sparrow, Swallow and
Rose (Watson, 2001). Two of the female respondents in Toronto, Sherry Jaggernauth and
Hema Motilal, attended these events and claimed there was a sizeable East Indian
audience.
Carnival celebrations including the calypso shows, have been used by migrants to
forge a new cultural space and develop a sense of belonging. The significant presence of
non-Caribbean persons as spectators or participants indicates an appreciation and
acceptance of this aspect of West Indian culture. These cultural forms by migrants are
projected unto host societies who will assess the suitability of this ‘foreign’ culture and
determine its survival.
Social Mobility, Identity and Assimilation
‘Who and what are all these people, Galahad?’ I ask ‘Have
they just disembarked from a vessel to try their luck in
Brit’n?’ ‘They’re going back home,’ he say
briefly….‘Immigrants don’t only come old man. They go.
But you don’t hear about the departures. ‘They go back
voluntarily?’ I ask, amazed (Selvon, 1983: 19).
In the opening lines of Moses Migrating, one of the characters, a Trinidadian
residing in London, decides to return to the West Indies. He decides to write a letter to
Journal of International and Global Studies
152
Enoch Powell, a racist British politician. The letter stated, “…I have been living here for
more than twenty years and I have more black enemies than white and I have always
tried to integrate successfully in spite of discriminations and prejudices according to
race” (Selvon, 1983:1). These fictional illustrations captured the return of immigrants to
their homeland. It reflects inadequate socialization, failed social mobility or
disillusionment which has led to a desire to return home.
The historiography on Asian-Indians and the Caribbean diaspora in Canada is
extensive (Kanungo, 1984; O’Connell and Ray, 1984; Adhopia, 1993; Singh, 1994;
Israel, 1994; Premdass, 1993; Ballard, 1994; Gosine, 1994). These studies recount the
experiences of diverse migrant groups from the Asian continent and more importantly
provide striking similarities to the adjustment of the Indo-Trinidadian population in
Toronto. It proves that the challenges faced by Indo-Trinidadian migrants are not unique
but shared by other ethnicities as the Sindhis, Gujaratis, Fijians, Surinamese, Sri Lankans,
Pakistanis, Sikhs, Malayalis, Tamils and Hyderbadis.
In assessing the Indo-Trinidadians in London, there is need to consider the close
bond between the colonial metropole and colonized periphery. In the post-1962 era, the
Indo-Caribbean families in Britain did not challenge the political status quo in which they
were marginal. Most of these inhabitants of the former British Empire arrived with a
desire to obtain an education and a stable job. Even though they were no longer
considered British citizens, they still felt a sense of loyalty to Britain. However, this
sentiment waned by the early 1980s.
The Indo-Trinidadian experiences the ‘snowflake phenomenon’ in which they
appear similar to other groups but only on closer examination can their differences be
detected. The dilemma of the Indo-Trinidadians is that they belong to both the sub-groups
of Indo-Caribbean and West Indian, whilst also sharing physical features and ancestral
ties with the larger family of Asian Indians. Their physical similarity to the IndoGuyanese immigrants contributed to a stigma of racialization which led to
disappointment but not hatred. As a result some East Indians have sought to formulate an
identity among a racially and ethnically diverse population in Canada, the United States
and Britain. The accent of Indo-Trinidadians is probably the most prominent trait which
makes this group unique in public. Thus many East Indians retain this linguistic
characteristic rather than modify or adopt a new accent. Interestingly, the Indo-Caribbean
in North America felt that the migrants from India were inferior due to their accents and
lack of literacy/fluency in English.
In Toronto and London, eighty percent of Indo-Trinidadians acknowledged the
daily occurrence of being mistaken for immigrants from Sri Lanka, Pakistan or India.
Among the Indo-Caribbean diaspora in London, they have also been identified as
“Asians” by Whites and other groups (Vertovec, 1994). There is stronger disapproval on
the part of Indo-Trinidadians of being classified as “Asians” as they believe this term
denotes immigrants from the Asian continent as Pakistanis, Punjabis, Bengalis,
Bangladeshis, Chinese and Japanese. The discontent over this label is stronger in London
and Los Angeles than in Washington, Miami and Toronto. These feelings are probably
due to a stronger ethnic consciousness in these two areas.
In London, the Indo-Caribbean migrants are regarded by Asian Indians as a lowstatus group and faced exclusion from the cultural and social activities (Vertovec, 1994).
Mastering the Midas Touch: The Indo-Trinidadian Diaspora in North America and
England, 1967-2007
153
An opposing view is offered by Arnold Itwaru (2000), of the University of Toronto, who
identified the survival abilities of the Indo-Caribbeans:
We are a people of change. We have discarded the caste
system and have developed relations based on mutual
respect. In our midst no one is an Untouchable. There is no
bitterness between Muslims and Hindus among Indian
Caribbean peoples. There is no bride burning, no
destructive dowry burden, no routine aborting of the female
fetus in our communities. These and much more,
distinguish us as Indians of the Caribbean, a remarkable
and unique people…we have transcended the desecration
of hoe, the agony, the pain, the labouring yoke of
indentured servitude (10).
Itwaru is not merely attempting to prove that the Indo-Caribbean is unique but stakes a
claim that this group cannot be easily mistaken for the diaspora from India.
As a result of physical features similar to immigrants from the Indian subcontinent, the Indo-Trinidadians suffer from a ‘chameleon syndrome’ in which they have
no control in blending with other Indo-Caribbean minorities or the Asian Indians from
India. The same would be true for other ethnic minorities as Afro-Trinidadians who
would not be easily differentiated from African migrants and Afro-Americans.
In Miami and Los Angeles, three of the Indo-Trinidadian women, in the sample,
claimed that whenever they were dressed in ethnic wear on special occasions, they are
often mistaken for Asian Indians. Sixty percent of the Indo-Trinidadians in the Toronto
sample admitted to being referred to by derogatory terms such as “Paki.” This is not due
to increased racism in Toronto but most likely due to the high concentration of Sikhs and
Pakistanis residing in the outskirts of Toronto- Brampton, Malton and Mississauga.
A crucial juncture in forging a unique Indo-Trinidadian identity was the winning
of the Nobel Prize in Literature by V.S. Naipaul in 2001. Also, the political exploits
(positive and negative) of Indo-Trinidadian politicians have been instrumental in
reinforcing and defining the character of the Indo-Trinidadian diaspora. The latter is
particularly true as political speeches are broadcast live via the internet and functioning
party groups in North America and London have been formed.
Fifty percent of the sample of Indo-Trinidadians in Washington, Los Angeles and
Miami were employed in respectable professions such as nurses, high school teachers,
university lecturers and were business owners (food and entertainment). Their income
coupled with lifestyle including holidays abroad and ownership of at least one car,
indicated that they were in the middle and upper middle class categories. These findings
contradict Vishnu Bisram (2005) in “The Experiences of Indo-Trinidadian Immigrants in
the United States” who argued that Indo-Trinidadian immigrants in the United States
accepted low-paying and menial jobs as cashiers and bank tellers. He also contended that
these immigrants complained of pay and job discrimination. These observations might be
true but it is not a complete picture of the Indo-Trinidadian experience in the United
States.
Journal of International and Global Studies
154
There is considerable evidence of successful assimilation in the new societies. As
a result of previous experience of racism in the Caribbean, some Indo-Trinidadian
immigrants decided to become involved in anti-racism efforts in Canada. For instance,
Fulton Seunarine, born in Trinidad in 1927, migrated to Canada in the mid-1960s and
was employed as a teacher in 1966. He served as a member of the first anti-racism
committee in Hamilton. Another Indo-Trinidadian, Henry Ramjass, migrated to Canada
in 1968 and assisted in formulating Durham’s first ethnocultural equity policy.
Additionally, he also supported the claims of Trinidad refugees in Canada in 1968.
The ‘invisible’ status of the Indo-Trinidadian in North America and Britain stems
from their small numbers and geographical dispersion. The Caribbean population in
Toronto in 1982 was estimated at 100,000 and they were geographically dispersed
(Ramcharan, 1982). In 2009, the Caribbean population in the city has remained scattered
and their population size was estimated at 500,000. The relatively rapid growth is akin to
that of the West Indian population in Britain which expanded from 30,000 to 500,000
between 1951 and 1991 (Peach, 1998).
The East Indians in North America and London remain as isolated groups
dispersed throughout the city. As a result there was no emergence of a “Little Jamaica” or
“Little Trinidad” as had occurred with “Chinatown” and “Little Italy.” The underlying
reason for this settlement pattern was that the Caribbean immigrants chose to settle in
areas in close proximity to their employment or with affordable housing and not
necessarily where other West Indians resided.
Fortunately, the Indo-Trinidadian diaspora in Los Angeles and Washington did
not bear the brunt of residential segregation and difficulties in homeownership endured
by other immigrants in the United States (McArdle, 1997; Myers and Lee, 1998).
Additionally, studies such as “Residential Differentiation among an Overlooked Black
Minority: New Immigrant West Indians in New York” and “Residential Segregation of
West Indians in New York/New Jersey Metropolitan Area: The Roles of Race and
Ethnicity” highlight blatant discriminatory housing practices among ethnic minorities
(Conway and Bigby, 1987; Crowder, 1999). Usually, recent Indo-Trinidadian emigrants
to the United States would reside in one dwelling place and share expenses (Bisram,
2005). Their thrifty nature and refusal to buy unnecessary luxury items as designer
clothes contributed to savings which allowed relatively quick home ownership. Within
five to eight years of emigrating, eighty percent of the Indo-Trinidadians in Miami and
Toronto have been able to purchase a home or a townhouse/duplex. This was due to the
fact that they migrated with their savings from Trinidad and other factors such as the cost
of living, and employment status of spouse or children.
Dwaine Plaza (1996) conducted a study involving a sample of twenty men who
migrated to Canada from pre-1975 to 1998 and settled in Toronto. He found that the
desired mobility of most of these men had not materialized because of a combination of
discrimination, differential incorporation, racism and a lack of networks. Furthermore,
Plaza claimed that the men experienced a loss of status which he referred to as “status
strain” and believed this “…caused many to build and maintain transnational social and
family networks that connected them to the Caribbean” (262). This certainly seems to be
a flawed hypothesis because this “status strain” would be experienced by virtually all
immigrants, regardless of racial and geographical origins. Immigrants are aware and
know it is inevitable that migration to a new country would lead to a lifestyle which is
Mastering the Midas Touch: The Indo-Trinidadian Diaspora in North America and
England, 1967-2007
155
considerably different from the one accustomed to in their homeland. Many West Indian
families can attest to the fact that the standard of living and quality of social services
easily persuaded them to adopt Canada as home (Teelucksingh, 1999). Undoubtedly, a
future in Canada was an indicator of progress, a sign of a more prosperous and stable life
for their family. Although this is true, it is a common experience among parents, who
migrated to Toronto, to initially accept a lower professional status position than they had
in Trinidad and Tobago.
In Toronto, all of the Indo-Trinidadian diaspora, in the 55-70 age group, who
possessed a primary and/or secondary education from Presbyterian institutions in
Trinidad, believed this schooling was a major asset in their acculturation and assimilation
in Canada which increased their chances of social mobility. For instance, Tom
Ramautarsingh, an Indo- Trinidadian, was educated at the Naparima Teachers’ College in
South Trinidad. He migrated to Canada and became employed as a teacher in the
secondary school system and taught at various schools in Ontario including the
Georgetown High School. It certainly seems that exposure to this Canadian-based
education from the missionary schools, during the colonial era in the West Indies,
prevented culture shock among many of the Indo-Trinidadian migrants (Teelucksingh,
2007, 2008). Graduates of secondary schools, from Trinidad, experienced a faster rate of
socialization and assimilation into the host society and were more appreciative of the
value of quality education for their children and grandchildren.
The Indo-Caribbean population is not a homogeneous group. In addition to the
large numbers of Indo-Guyanese and Indo-Trinidadians, of which some members of the
British public are aware, there are smaller and scattered groups of East Indian
immigrants from Grenada, St. Lucia, Jamaica and Barbados.
The British Indo-Trinidadian is one of the few groups that do not have their
newspaper or magazines. Among the larger Asian population there has been a variety of
literature: Asian Times, Asian Business, Gujarat Samachar, Asian Trader and Asian
Chronicle. Likewise, the Afro-Caribbean community had the Caribbean Times. But there
are no print, television nor radio media catering to the entertainment and social needs of
the Indo-Caribbean population in London.
Not surprisingly, there are more Afro-Caribbean groups than their Indo-Caribbean
counterparts in Britain. For instance, in Scotland there is the Lothian Caribbean
Association comprising mostly persons of African descent; likewise, in Wales there is an
Afro-Caribbean Association. In Birmingham, there are two such organizations– the West
Indian Federation Association and the Afro-Caribbean Teachers Network. In Leeds there
is the United Caribbean Association. Only in London, are there two relatively small IndoCaribbean groups- the Caribbean Hindu Society and the Indo-Caribbean Cultural
Association. In 1995, the observance of the150th anniversary of the arrival of Indians,
from India to the Caribbean, these groups celebrated with speeches, cultural events and
social functions.
In Toronto the Indo-Caribbean population sought to conform to the status quo
whilst improving their middle-class lifestyles. By the late 1980s, there were appeals for
the Indo-Caribbean migrants in Canada to be more assertive, “We can no longer afford to
be reticent political nor can we espouse all that is western pretending to be anything other
than what we really are, despising ‘coolie culture,’ becoming paranoiac as to our
Journal of International and Global Studies
156
identity” (Persaud, 1988: 9). This was an indication of a need for a personal space for the
Indo-Caribbean population. The Council on Indian Arrival, based in Toronto, declared
the month of May as “Indian Arrival Month.”
Other groups catering to this segment of the Caribbean population include the
Canadian Indo-Caribbean Alliance (CICA), Coalition of Indo-Caribbean Canadians,
(CICC) and Indo-Caribbean Community Development Association (ICDA). Also in
existence is the Indo-Caribbean Students Association at the University of Toronto. Such
groups are similar to the Federation of Gujarati Associations catering to groups with
Gujarati immigrants from India.
During the 1980s, when the Indo-Trinidadian population was small, there was
some identification with their fellow Afro-Caribbean immigrants. However, with an
increase of migration, a larger Indo-Caribbean population meant a greater tendency to
identify with persons belonging to the same ethnic group. Furthermore, in Toronto the
occasional involvement of the Afro-Caribbean in violence and crime has contributed to
the Indo-Trinidadian trying to avoid associating with the lower class Afro-Caribbean.
In the first half of 2001, there were incidents of race riots in Britain involving
Asian and Whites. The affected areas included Burnley, Leeds, Oldham and the
Lancashire town of Burnley. Carl Nobbee, one of the persons in the sample, who lived in
London since 1985, is of the view that the disturbances were confined to a few areas and
not deemed threatening to Britain’s society. The Indo-Caribbean community, to a large
extent, share similar physical features as the young, rioting Asian Indians. Thus the IndoTrinidadians would have been concerned over the reinforced stereotypes and distorted
public image now shouldered by all Asian Indians. They have tended to ignore isolated
acts of racism- subtle or blatant, in an effort to not jeopardize their residence and jobs in
Canada. Thus, the Indo-Trinidadian has hesitated to take legal action to address these
injustices because of the notion that the British and North American societies are biased
in favor of the Whites. The majority are courteous, co-operative and optimistic at work
and in their neighborhoods. Their outstanding work ethic and contribution to a host of
volunteer activities reinforces the argument that Indo-Trinidadians have successfully
adapted. In London, East Indians have received local recognition in the various boroughs,
some have also achieved the distinction of receiving annual awards, including
knighthoods, bestowed by the Queen.
Despite being financially stable and successfully adapting to a new culture, the
older persons, in the age group 50-60 years, indicated their eagerness, after retirement, of
returning to the Caribbean. Not surprisingly, the younger Indo-Trinidadians in the age
group 23-40, have not considered a future return to Trinidad and Tobago. Scholars
focusing on return migration have uncovered a noteworthy percentage of West Indians
who have returned to their homelands and made positive contributions (Chevannes and
Ricketts 1997; Brown, 1997; Chamberlain, 1997; Henry and Plaza, 2006).
Religion
The Indo-Trinidadian’s celebration of Divali and Eid, observed by Hindus and
Muslims, is low-keyed and does not involve the public display as the larger Asian Indian
communities such as in Southall in London. In North America and London, among East
Indians worship at home remained a common practice. But on special occasions as pujas
Mastering the Midas Touch: The Indo-Trinidadian Diaspora in North America and
England, 1967-2007
157
or funerals and the celebration of Eid or Divali there will be limited interaction at public
places of worship. There are instances of East Indian families paying the airfare for a
family pundit or imam from Trinidad to perform a cremation, puja or wedding in Miami
and Toronto. This was due to the relatively cheap charter flights from Trinidad to these
two areas. However, in Washington, Miami and London, Indo-Trinidadians have
indicated that worship is more based in their homes and usually on special occasions such
as birthdays or anniversaries.
Individuals have also sought to replicate the culture of the Caribbean. An
illustration is Dev Bansraj Ramkissoon, an Indo-Trinidadian, who founded the Saaz-OAwaaz Academy of Indian Music which is based in Brampton. The transplanting of IndoCaribbean culture to Canada is a common trait:
…some Indo-Caribbean Hindu communities in Toronto are
reconstructing their traditional Indo-Caribbean religious
and cultural identity by aligning strongly with their South
Asian counterparts in order to create a new diasporic IndoCanadian ethnic identity-a syncretism between the West
(the Caribbean) and the East (India). Other groups are
simply replicating their old Caribbean identity and cultural
way of life right here in Canada (Singh, 1998:16).
Such perspectives reinforce the argument that dislocated East Indians have been able to
remarkably adjust to their new homeland. Indeed, cultural and religious preservation have
been the hallmarks of some immigrants.
The observances of wake services, as in the Caribbean, with its card-playing and
drinking of alcohol is not practiced in London and North America. Among IndoTrinidadian Hindus, another tradition of the Caribbean which has ceased is the cremation
on the banks of rivers. This has been one of the noticeable differences between the
Caribbean and English societies.
The Indo-Caribbean migrants in London, England have displayed a tendency to
maintain their culture and religion. They have formed such groups as the Caribbean
Hindu Society and the Indo-Caribbean Cultural Association (Vertovec, 1994). Other
Toronto-based Asian groups have also sought to form organizations to satisfy their desire
for a sense of belonging. These include the Bharitiya Cultural Association of Ontario
which promotes Hinduism, the Toronto branch of the Brahma Kumaris, and the Gujarat
Samaj of Toronto. Also, the Tamils hold the Murugan Festival, a national celebration to
pay homage to the patron god of the Tamils (Israel, 1994).
During the 1970s, Hindus and Muslims from the Caribbean had little or no
opportunity to celebrate their religious festivals and customs in North America. The
contacts among Caribbean migrants gradually increased as West Indian organizations
played a pivotal role in the regular hosting of religious events. There were religious
structures such as the Gandhi Bhavan at Lansdowne Avenue, the Vishnu Mandir at
Richmond Hill and the Madina Masjid at Danforth Avenue in Toronto. However, some
of the Indo-Trinidadian families felt uncomfortable with the dominance of other Asian
Indians at these religious institutions. An illustration is the events surrounding the Vishnu
Journal of International and Global Studies
158
Mandir located on Yonge Street which was founded by a Guyanese, Dr. Bhupendra
Doobay, in 1981. The congregation initially consisted of Indo-Guyanese and IndoTrinidadians and boasted of a weekly Sunday attendance of 600 to 700 persons.
However, the temple attracted other Indians from India (Punjabis and Gujaratis) and
Indo-Africa-born persons. Soon, an overwhelming segment of the Indo-Caribbean
population ceased attending the services and the Indo-Guyanese built a separate temple
on Jane Street in Toronto (Israel, 1994). There is a noteworthy presence of IndoCaribbean persons belonging to the Devi Mandir on Brock Road in Pickering which was
opened in 1998. The continuance of religious customs in Toronto is not merely gratitude
to God, but more importantly it constitutes an appreciation of the importance of
maintaining morals and ethics. Additionally, it also signified the preservation of an
essential component of the Indo-Caribbean identity.
The Christian Indo-Trinidadians who were Presbyterians, Pentecostals, Roman
Catholics and Evangelists have found it easier than their non-Christian compatriots, to
adapt to the new religious environment. This is due to the similar doctrines and
denominations of churches in the Caribbean and Toronto. However, Afro-Trinidadian
immigrants belonging to smaller sects such as the Spiritual Baptists and Orisas have not
been able to establish religious institutions due to a lack of financial resources and
scattered membership.
Conclusion
Indo-Trinidadians in North America and Britain lacked political power,
experienced subordination and sometimes were treated in a condescending manner by
Whites. However, these immigrants enjoyed considerable social and occupational
mobility, felt safer and were part of the movement to promote multiculturalism. In postmodernity there is still considerable disjuncture between expectations of the host society
and the identity construction and cultural demands of the Indo-Trinidadians. Thus, in
their new homelands, benefits seemingly outweighed the disadvantages. The experiences
of the Indo-Trinidadian diaspora varied and depended upon such factors as the time of
arrival, age, educational level and type of neighborhood.
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Since its inception at the end of World War II, the IMF has played a role in virtually
every economic event of global significance. The Fund has carried out its basic mandate of
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reviews. Few critics of the IMF would quibble over the organization’s stated goals—some may
even deem them as noble. The bulk of the criticism has centered around the implementation of
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structure).
In his book Capital Ideas – The IMF and the Rise of Financial Liberalization, Jeffrey M.
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offer. Chwieroth, who is a senior lecturer in the Department of International Relations at the
London School of Economics and Political Science, does not attempt to address the entire range
of IMF policies and activities. Rather he focuses on the Fund’s official position and its policies,
both official and informal, concerning capital controls and capital account liberalization. More
precisely, Chwieroth highlights the divergence that exists between official IMF policy and the
informal behavior of the IMF staff with respect to capital account liberalization, and then spends
the better part of the book describing the organization’s inner workings and explaining the
processes by which the divergence developed (and by extension the processes by which the
normative standards of any international organization may shift over time).
Chwieroth notes in his introduction, “[T]here was a great deal of what principal-agent
(PA) theorists call ‘slippage’ between formal IMF rules and the staff’s actions, with many staff
members in the 1980s and 1990s encouraging liberalization even though the formal rules to this
day give member states the right to use controls. In fact, the initiative to amend the Articles in
the late 1990s was in large part an exercise in empowering the staff with more tools to encourage
a policy that many of them had already been promoting informally for nearly a decade” [page 9].
This “slippage” between formal rules and staff behavior occurred through five
intraorganizational processes that Chwieroth identified in his research: professionalization,
administrative recruitment, adaption, learning and norm entrepreneurship.
Principal-agent theory provides the most obvious framework for examining the operation
of individual actors within an organization, and Chwieroth reviews the essential concepts. The
basic principal-agent problem arises when the individual actor, or agent, has incentives that
differ from those of the principal. The typical solution is that the principal must create some
incentive structure that better aligns the agent’s incentives with the principal’s goals, or else the
principal must engage in costly monitoring of the agent’s behavior. Principal-agent theory may
offer a suitable starting point for analysis but, as Chwieroth notes, “PA theorists help us to
understand why normative change might be driven by agents rather than principals. But PA
theory is less helpful in accounting for the processes that shape how IO [international
organization] preferences form and change. It is not that PA theorists do not expect IOs to
possess autonomy, but rather that they generally fail to explain adequately what preferences IOs
will pursue and how these preferences will change given their autonomy” [p. 29].
Many readers would likely be surprised to learn of the relatively high degree of autonomy
and influence enjoyed by the IMF staff. The staff’s autonomy and influence derive primarily
from its role in agenda-setting, which was formalized in the 1950s and early 1960s. The staff
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164
members prepare all the recommendations presented to the IMF board. Some member states may
express their preferences through informal contact with staff members, but the contents of the
recommendations are largely generated by the staff. This situation exists partly due to the
Fund’s bureaucratic division of labor but primarily due to the fact that country consultations,
loan negotiations and the lot require a level of expertise most board directors and their staff do
not possess. For developing nations, some of which may only devote limited resources to IMF
relations, the constraint is even more binding. Contributing to the staff’s autonomy is the on-site
nature of much of the staff’s work. Chwieroth notes, “On-site missions…enable the staff to
gather extensive data and perform sophisticated econometric analysis, which they in turn employ
to support their recommendations. The staff members are sometimes the best and only available
source of data on a country, and they often acquire information on the condition that they do not
disclose it to other member states. By contrast, most directors are political appointees with a
relatively higher rate of turnover than the staff and therefore with comparatively less knowledge
or experience with which to challenge the diagnoses and prescriptions of the staff” [p. 32].
With the case clearly made that the preferences and attitudes of staff form much of the
basis of IMF operating procedure (if not official policy), Chwieroth next probes for the sources
of the staff’s preferences and attitudes. Not surprisingly, he finds that many of the core beliefs,
and thus the norms, of the Fund staff originate from the economics profession. Although many in
the profession consider it an objective social science based on theory and evidence hard-won
through the scientific process, Chwieroth rightly points out that there is much human
interpretation involved in the field. “Even the most ostensibly positive models of economic
behavior are saturated with normative and ethical implications…Just as medical doctors are
taught to value human life above other goals, economists are taught normative
conceptualizations about how economies should be organized” [p. 42]. The process of
administrative recruitment only serves to reinforce the staff norms. Empirical evidence suggests
that the Fund’s commitment to English as a working language has led to a preponderance of staff
members who graduated from institutions in English-speaking countries. More concerning than
the homogeneity among staff members with regards to language is the obvious intellectual
homogeneity. Adaptation and learning play a role in shifting normative beliefs as well, but even
these important processes are affected by interpretations that rest largely on prior training and
beliefs.
Since the influence of the economics profession—and especially of the particular “brand”
of economics taught in English-speaking universities—plays such a prominent role in shaping
the Fund’s operating procedures, it is worthwhile to examine the profession’s attitude toward
specific policies or instruments. Chwieroth, as mentioned early on, focuses on capital controls.
He identifies eight separate schools of economic thought and reviews the tenets of each as they
relate to capital freedom. Through the use of original survey data he identifies a link between
these eight schools of thought and the professional training Ph.D. students receive in particular
academic departments. According to the empirical evidence, economics departments that impart
a favorable view of capital freedom tend to produce graduates who have a bent towards financial
liberalization. He also uses original survey data to “establish a link between these schools of
thought, professionalization, and subsequent beliefs held by actors.
Chwieroth spends several chapters in Capital Ideas tracking the IMF’s history with
special emphasis on the staff’s changing attitudes toward capital controls and the processes
(professionalization, administrative recruitment, learning, adaptation, or norm entrepreneurship)
through which normative beliefs either changed or remained unchanged during each time period.
Journal for International and Global Studies
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He concludes by tracing the changes that occurred through the spring of 2009 due to the IMF’s
approach during the financial crisis. It is potentially a time of profound normative change for the
organization. Since the crisis there has been new support for regulation aimed at financial market
participants in developing nations, with the Fund staff calling for an expansion of financial
regulations to include all institutions that contribute to a systemic risk. Further, the staff
members, recommend that financial institutions be regulated based on their functions and
activities rather than their legal form (i.e., investment bank versus insurance company, etc.)
Despite the likelihood that increased regulation of financial markets will occur worldwide, the
IMF is unlikely to abandon the norm of capital freedom anytime in the near future. Although
Chwieroth points out that the Fund’s interpretation of the norm has shifted to some degree.
More organizational behavior than international economics, Capital Ideas is an important
contribution to the literature on IO governance. Although a basic knowledge of open-economy
macroeconomics would be useful in understanding the book’s focal point, the book’s real
substance is its analysis of intraorganizational norms, both in terms of how such norms originate
and how they come to change over time. Chwieroth’s many insights are certainly most
applicable to the IMF, and secondarily to IOs in general; however, while reading Capital Ideas
one cannot help but feel that Chwieroth’s ideas might very well be applicable to all such
bureaucratic organizations in which the agents share a common academic background and
happen to possess more knowledge and experience than the principals who are overseeing them.
Anthony Clark, Ph.D.
Lindenwood University
aclark@lindenwood.edu
Daniel P. Erikson. The Cuba Wars: Fidel Castro, the United States, and the Next
Revolution. New York: Bloomsbury Press, 2008.
Globally, the Cold War ended almost 20 years ago, but between the United States
and Cuba, it still very much persists. For most U.S. citizens, however, the island only 90
miles off the Florida coast remains an afterthought. Cuba’s role as a threat to American
security has greatly diminished since the 1962 Cuban Missile Crisis and the collapse of
its powerful backer, the Soviet Union. Today, the more pressing concerns of religious
fundamentalism and the war in Iraq and Afghanistan are seen as more important than the
development of relations between the Caribbean nation and its powerful northern
neighbor. Nonetheless, the U.S. trade embargo persists, and Cuba remains a perennial
U.S. federal election issue.
In The Cuba Wars, Daniel P. Erikson offers insight into not only the current state of
affairs in Cuba-U.S. relations but also into the original development of the Cuba-U.S.
conflict and why the conflict is likely to persist into the future. Erikson positions himself
against the perseverance of the U.S. imposed embargo and emphasizes the need for new
policy approaches to bring about democratic reform in Cuba. Pragmatically, the author
explains how “the forces of continuity” currently at work within Cuba-U.S. relations are
too strong to permit genuine reform and that reform will only be realized if it is widely
embraced by the hard-line Cuban diaspora based in Miami (312). Drawing on a series of
interviews with leading American policy makers, Cuban dissidents, and diaspora
members, Erikson tells the story of The Cuba Wars through the people that lived and
continue to live the experience on a daily basis. As a senior associate for U.S. policy at
the Inter-American Dialogue think tank in Washington D.C., Erikson is able to provide a
thorough, thought provoking analysis through his own professional experiences and
perspectives.
Erikson’s investigation casts a wide net with each of his twelve chapters exploring
different aspects of U.S.-Cuban relations. He begins by detailing the recent events of
Fidel Castro stepping down from power; the author explains the significance of this event
by reminding the reader that the trade embargo was originally designed to force the
economic and, thus, political collapse of the Castro regime. Since Castro has now
eliminated himself from the political equation, the continuation of the embargo exposes
the fallacy that American policy toward Cuba is still based on a waiting game.
As Erikson explains, during the 1990s, it was assumed that communism would take
Castro down with it, and so commenced the tightening of sanctions against Cuba with the
1996 Helms-Burton Act. None of the sanctions, however, had any real effect on Castro’s
ability to remain in power. Then came the notion that political change would occur once
Fidel Castro was no longer in power because his brother, Raúl, would not have the
support-base his older brother did (29-30). This did not turn out to be the case either.
Erikson demonstrates that no American contingency plan existed to deal with events as
they actually transpired. Importantly, claims Erikson, instead of taking policies back to
the drawing board when necessary, existing U.S. policies toward were simply and
continually “adjusted,” the final result being that the U.S. now claims to be waiting to lift
the embargo with Cuba until both Castro brothers are out of power.
Chapter two examines the post-September 11th era, in which relations between the
The Cuba Wars: Fidel Castro, the United States, and the Next Revolution
167
U.S. and Cuba have become more strained as a result of the tough rhetoric employed by
the Bush administration in the wake of the attacks and the allegations that Cuba presented
a biological weapons threat (36). The subsequent two chapters respectively discuss the
current state of Cuba’s dissident movement and U.S. strategies to support democratic
principles on the island.
The next series of chapters deal with Cuban exile communities and their
relationship to U.S. government. Cuban-Americans make up the largest and most
influential body of anti-Castro regime activists in the world and traditionally hold
uncompromising hawkish positions that influences American foreign policy towards the
Caribbean island country, reinforcing its tough stance. The first generation of CubanAmerican dissidents fled Castro's revolution or left when their land and property was
seized by the communist government in the 1950s and 60s. Many members within U.S.
based Cuban community have made it their life's work to topple the Castro regime and
return to their homeland. Erikson successfully demonstrates that it is in fact the U.S.based Cubans who remain Castro’s worst enemy due to their disproportionate political
influence and lobbying power. At the heart of the matter is the critical importance of the
home state of U.S.-based Cubans: Florida. With the fifth largest number of votes in the
Electoral College, Florida is often a “swing state” in U.S. general elections. As such,
since 1992, all presidential candidates have supported sanctions against Cuba, as U.S.based Cubans favor, hoping to attain the U.S.-based Cuban vote, and ultimately, to win
the state of Florida itself. (141). Given this cycle, Erikson’s impression through his
interviews with policy-makers is that most elected American officials agree that an
entirely new approach toward Cuba with more open dialogue is needed before any
authentic political reform can be realized (160).
Chapter eight deals with the cultural aspect of The Cuba Wars, and the author
finds that outside of special interest groups, most U.S. Citizens are not concerned about
prospective Cuban-American dialogues or exchanges (219). Erikson highlights the ways
in which the embargo and its supporters have squandered opportunities for more
meaningful cultural and sporting exchanges between the U.S. and Cuba to the detriment
of both countries and all individuals. Erikson’s greatest strength may in fact be his ability
to situate himself within the narrative itself, allowing the reader to better interpret the
realities of the U.S.-Cuba relationship. By contextualizing the issues discussed in his
work, the reader is better able to engage with the author’s analysis in a personal manner.
Erikson is clearly no fan of America’s often-hypocritical stance toward Cuba,
something he makes clear in chapter seven when discussing spy networks and describing
a terrorist who had acted against Castro and communist Cuba finding a “safe haven” in
the U.S. (178). This is not to say that Erikson does not also strive to be objective when
interpreting U.S.-Cuba relations. He clearly does and usually succeeds, though on some
occasions better than others. For example, in the chapter on the role of Venezuela, it is
easy to see the subjectivity in his support for free-market reforms and his apparent dislike
for the Chávez administration (256, 260-261). In this, he largely echoes mainstream
American media analyses of Cuba and Venezuela, analyses which themselves generally
reflect Latin America’s own sentiments as the region undergoes a generally leftward
political swing. Nonetheless, the author attempts to distance himself from the
neoconservative critics who would support privatization, reduction of social services and
other Washington Consensus-like reforms in Cuba. The last chapter returns to the present
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with a discussion of Raúl Castro at Cuba’s helm, steering the country into a new postFidel era.
Erikson’s book is more journalistic than it is academic, though this does not detract
from the merit of the book’s accomplishments. Nonetheless, readers looking for an
academic analysis of U.S.-Cuban relations based on empirical principles will not find
such an analysis here. What they will find instead is a general outline of the foreign
policy relationship between two countries as told from an American point of view, albeit
a consciously objective one. At times, it seems as though Erikson will fall into the trap of
perceiving a certain righteousness about the United States’ version of liberal democracy
and assuming that such a democracy ought to be the model Cuba and other countries
strive to achieve. He manages to avoid doing so by giving voice to Cuban economists and
academics, who are trying to reform the system from within to move toward a more
China-like or Vietnam-like version of open-market communism and, ultimately, with the
passing of time, hope for a sort of European-based system of social democracy (306307). Absent from The Cuba Wars are any supporting voices for Castro’s Cuba from the
island itself. There are such opinions from U.S. activists but none that emanate directly
from Cuba. Perhaps they do not exist, though this is highly unlikely. In a closed country
like Cuba, public opinion is always difficult to gauge. Of value to Erikson’s book would
be the inclusion of these voices, if only to add weight to his own arguments.
In all, Erikson has proven himself to be skilled in the art of polemical narration and
has produced a highly readable history of the foreign policy relationship between two
countries. The most important aspect of this work is his highlighting the need to devise a
more effective and proactive U.S. foreign policy toward Cuba, one that does more than
simply wait to react to events in the Caribbean and divorces itself from the near Zionist
aspirations of Cuban exiles, who have been directing, by all accounts, an ineffective
strategy that ultimately wants to reverse the history of the last 50 years.
Derek L. Elliott
London School of Economics, UK
Universität Leipzig, Germany
derekelliott@dal.ca
Jeroen Huisman (Ed.). International Perspectives on the Governance of Higher Education:
Alternative Frameworks for Coordination. New York: Routledge Press, 2009.
Part of the Oxford International Studies in Higher Education Series, International
Perspectives on the Governance of Higher Education: Alternative Frameworks for Coordination
consists of an introduction followed by three sections: The Application of Governance
Frameworks (Chapters 2-7), Variation on a Governance Theme (Chapters 8-12), and The
Invisible Hand of Governance (Chapters 13-15). Within each chapter, multiple international
higher education authorities grapple with the changing nature of university governance. Each
essay investigates an element of university governance within a particular national setting. The
277 page tome leaves little unsaid regarding the variety of and variability in governance
relationships and investigates in detail some current debates surrounding such relationships in
higher education. The book includes contributions by authors from the United Kingdom,
Netherlands, Denmark, Portugal, Norway, Italy, Ireland, Austria, Germany, Canada, United
States, and Australia.
Broad in scope, this text explores the ways in which the use of interdisciplinary
approaches and frameworks, particularly those from the fields of political science, public
administration, and public policy, help higher education administrators to interpret governance
systems in the current higher education environment. The content advances the position that
university governance is not a myopic faculty or administration-driven concept, but rather a
multi-interest actor system consisting of internal and external constituencies (both local and
global). In addition, this edited volume examines the role of government, markets, and academic
networks in higher education environments; governing in a global knowledge society; why
higher education should incorporate and utilize interdisciplinary approaches to evaluating policy
processes and outcomes; and historical and current empirical governance cases.
In the introduction, Coming to Terms with Governance in Higher Education, editor
Jeroen Huisman discusses the challenges associated with higher education governance research,
explaining that governance itself is interdisciplinary, with the term “governance” carrying
significantly different meanings and modes of evaluation depending upon the context in which it
is being examined. As a result, much of his section outlines previous research on the concept of
governance, with a focus on the relationship between the agent(s) and the structure and the
structure’s various steering components.
Gianfranco Rebora and Matteo Turri, in the second chapter, Governance in Higher
Education: An Analysis of the Italian Experience, provide a recent historical overview (1980s to
the present) of governance trends in Italy. The chapter begins with an explanation of that which
the Italian government may dictate with respect to the governance of higher education
institutions. The authors go on to discuss academic “network” associations, placing particular
emphasis on market-driven initiatives such as New Public Management. This chapter also
focuses on the multiplicity of multi-level constituent lines of authority within the four periods of
governance development in the Italian university system.
In Governance in German Higher Education: Competition Versus Negotiation of
Performance, the third chapter, Dominic Orr and Michael Jaeger presented a country-specific
review of historical governance reform. In particular, the chapter applies four public sector
models of governance from Guy Peter’s 1996 work on changing states, governance, and reform
to analyze the evolution of German higher education governance practices.
International Perspectives on the Governance of Higher Education: Alternative Frameworks for
Coordination
170
In the fourth chapter, Governing Disciplines: Reform and Placation in the Austrian
University System, Claudia Meister-Scheytt and Alan Scott conduct a discussion based on French
anthropologist Luis Dumont’s work on the principle of equality and the principle of hierarchy in
social life to the history of higher education governance reforms in Austria. Additionally, the
chapter utilizes public administration evaluation methods to understand the ways in which such
reforms were successful, became hindrances, or caused dependency on a particular system.
Susan Wright and Jakob Williamson Ørberg, in the fifth chapter, Prometheus (on the)
Rebound? Freedom and the Danish Steering System, liken the university system in Denmark to
Prometheus and the Danish government to Zeus. In a tongue and cheek fashion, they explain
how the university system “stole” the steering component of university governance away from
the federal government. Further, they explore the dynamics of the newly emerged governance
model.
In Reform Policies and Change Processes in Europe, Catherine, Paradeise, Ivar Bleiklie,
Jürgen Enders, Gaële Goastellec, Svein Michelsen, Emanuela Reale and Don Westerheijden, the
sixth chapter, analyze on a macro-level the European governance reforms that have focused on
defining, clarifying, or changing the relationship between the university system and the state.
Specifically, the authors discuss EU perspectives, national reform trajectories, and university
responses to such issues.
In the seventh chapter, Policy Networks and Research on Higher Education Governance
and Policy, Lucia Padure and Glen Jones utilize the concept of “policy networks” to further the
reader’s understanding of higher education policy and development. The authors contend that
policy networks provide the field of higher education with a valuable medium to develop a more
coherent theoretical base for research. They use cases from Central and Eastern Europe, Norway
and Canada to present their arguments.
Roger Brown, in the eighth chapter, Effectiveness or Economy? Policy Drivers in UK
Higher Education, 1985-2005, asks whether a pattern of state directed governance strategies
emerged between 1985-2005 as a result of a series of policy pronouncements and proposes what
that pattern may have been. The author uses methods from political science, public
administration, and public policy to evaluate a series of white papers emerging from 1985 until
2003. He concludes that there was a mixture of market driven initiatives and accountability
strategies that often found themselves at odds with one another.
In Good Governance and Australian Higher Education: An Analysis of a Neo-liberal
Decade, the ninth chapter, Leo Goedegebuure, Martin Hayden and V. Lynn Meek present an
earnest effort to identify what could be considered “good governance” in a business oriented
climate relative to Australian higher education policy from 1996-2007. The chapter also
discusses the enduring yet often changing relationship between organizational structure and
organizational behavior and how those notions contextually define what constitutes “good
governance.”
In the tenth chapter, Viewing Recent US Governance Reform Whole: ‘Decentralization”
in a Distinctive Context, Michael Mclendon and James Hearn provide an analysis of the
evolution of different models of higher education governance in the US. The authors argue that
US models are not purely market-driven and should be viewed and analyzed only within the
greater context in which they exist, i.e., over extended periods of time and not as isolated
vignettes. As a whole, the US appears to experience periods of centralization and
decentralization depending upon the prevailing needs of the times.
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António Magalhães and Alberto Amaral, in the eleventh chapter, Mapping out
Discourses on Higher Education Governance, provide a historical context to frame the role of
governing and governance in a post-1945 welfare state. They identify the changing relationship
between states and higher education systems and institutions, methodically addressing the
question of who is “responsible” for whom.
In Irish Higher Education and the Knowledge Community, the twelfth chapter, Kelly
Coate and Iain Mac Labhrainn provide a historical overview of Irish higher education. The
content focuses on the strong hand of centrally planned governance structures, religious
beginnings and adherences, and the current structural landscape, debating primarily who is
currently steering this system. The chapter also discusses the question of whether it is time to
modify the current system by reducing centralization and adopting a more cosmopolitan view.
In the thirteenth chapter, The Effectiveness of a Dutch Policy Reform: Academic
Responses to Imposed Changes, Harry De Boer presents background on the university
governance system in the Netherlands, facilitating a debate on how to research the effectiveness
of recent reforms through research designs, methods, and rationales. The results demonstrate the
difficulties in determining a single, overarching solution when analyzing university governance
reform.
Christine Teelken, Kees Boersam, and Peter Groenewegen, in the fourteenth chapter, The
Graduate System in Transition: External Ph.D. Researchers in a Managerial Context, discuss
the impact of the Bologna Declaration on the doctoral system within the European space for
higher education. With the mandated curricular synergy put forward by the European Credit and
Transfer Accumulation System, many nations are contending with the migratory study patterns
of students, resulting in needed adjustments to Europe’s university organizational structures.
In Governance and the Autonomous University: Changing Institutional Leadership in UK
and Australian Higher Education, the fifteenth Chapter, David Smith and Jonathan Adams
address the complexity of university leadership within organizational development and state
steering approaches. The material presents an overview of state steering and governance
approaches and identifies and discusses them in terms of their isomorphic issues.
This text provides an exceptionally detailed account of the evolutionary nature of
university governance in a variety of national settings. However, given the linguistic style and
the nature of the subject matter, this work is clearly intended for researchers, industry experts,
and policy makers rather than a general audience. For this reason, for specialists interested in
global educational governance, shared governance, New Public Management, and the impact of
market driven initiatives on educational governance and reform in multiple country settings, this
text will be a perennial reference. However, because the text is an anthology of edited works,
each chapter, while adhering to an overarching theme, is essentially a standalone reading.
Therefore, key sections (i.e. chapters on specific countries), will perhaps be of more significance
to specialists than the entire manuscript.
Ryan Guffey, Ph.D.
Lindenwood University
rguffey@lindenwood.edu
Mark E. Mendenhall, Joyce S. Osland, Allan Bird, Gary R. Oddou, and Martha L.
Maznevski. Global Leadership Research, Practice and Development. London and New York:
Routledge, 2008.
As our world continues to flatten and the effects of globalization increase, research
initiatives in the field of human resource management and leadership are looking to define,
analyze, and apply global leadership competencies. Although much of what has previously been
written on this topic has developed from a review of expatriate research, Global Leadership
Research, Practice and Development defines for the reader, through a rich review of the current
literature, global leadership competencies that have been deemed necessary in the development
of global leadership. Mendenhall et al. asserts from the onset that their purpose is to focus, in
particular, on the area of business; however, as a researcher in the field of interdisciplinary
studies, I found this text to be applicable across a variety of academic fields.
For those unfamiliar with the underlying theories of leadership, the authors provide an indepth overview of the different approaches to domestic leadership: trait, behavior, situational,
power-influence, and the integrative approach (pgs. 2-6). They thoroughly describe each
approach, while emphasizing that although these approaches are research-defined views, they are
not predictive of leadership behavior. A detailed analysis is then provided of the difference
between leadership and management, and an argument is developed in favor of increasing the
amount of research in interdisciplinary leadership. Although such research is rare, Mendenhall et
al. assert that there is a need for an increase in interdisciplinary research “because it requires the
learning of an entirely new scholarly paradigm” (p. 10). Global leadership is different from
current domestic leadership definitions in two ways: “degree, in terms of issues of
connectedness” (p. 16) and “kind, in nature of outcomes the global context can produce” (p. 17).
An understanding of global leadership requires a new paradigm, a different global view, and this
book provides the framework to foster this shift in perspective.
At the heart of global leadership is an ever-increasing need for cultural competence, an
increase in our own “mindfulness” (p. 19). In this context, mindfulness is described as the ability
“to recognize multiple perspectives, switch from automatic communication routines to paying
attention simultaneously to the internal assumptions, cognitions and emotions of oneself and the
other person” (p. 19). Each of these abilities will be critical to global managers of multinational
corporations. It will no longer be enough to possess a surface level understanding of different
cultures. Global leaders will need to internalize this understanding of cultural competence and, in
an anthropological sense, immerse themselves in the very mindset of other cultures. Overcoming
ethnocentrism is not easy, and organizations will need to purposefully implement development
opportunities to increase learning in the area of cultural competence. For instance, Mendenhall et
al. highlight Colgate’s global leadership development program, which includes opportunities for
international assignment exposure, classroom training, and continuous mentor support (p. 173).
Mendenhall et al. provide the reader a thorough review of expatriate research in chapter
two. Expatriates are those “who have been sent by their employers to reside and work outside of
their home country on temporary assignment” (p. 20). Experience becomes the foundation for
shifts in mental models and the creation of a global mindset, required by those seeking success in
an international setting. It is often the creative or cultural tension experienced while working in
an international setting that helps to develop an individual’s flexibility and cognitive complexity
and increases the individual’s ability to manage uncertainty, all of which are necessary
Global Leadership Research, Practice and Development
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ingredients in global leadership. As a researcher in the area of educational leadership and
international studies, it was validating to read that the characteristic of lifelong learning was
crucial in the development of global leaders, who experience a wide ranging and challenging set
of circumstances.
In chapter three, the authors provide an extensive review of global leadership competency
research. The research of Kets de Vries and Mead, Tichy and his colleagues, Rhinesmith, Moran
and Riesenberger, and Brake (p. 35) are reviewed. Overall, the authors come to the conclusion
that the current research is varied, complex, and in a state of continual development: “the list of
fifty-six global leadership competencies contained in the literature are too extensive to be useful”
(p. 54). This chapter clearly states that further research is needed in the area of successful global
leaders beyond mere traits. The authors suggest that a more exhaustive view would include
research of those who do not exhibit these particular traits as well as delving into the reasons
why certain individuals are drawn to these types of assignments. The authors stress a need for
longitudinal research that focuses on specific behaviors that occur before the development of a
global mindset as well as the outcomes once an individual is placed in an international setting,
saying, “Finally, the ability to measure the level of global leadership capacity in both individuals
and organizations would be very useful” (p. 63).
The difficulties in defining and assessing global leadership competencies are addressed in
chapters four and five. Up to this point there are few, if any, agreed upon definitions, and the list
of leadership traits can be exhausting. Previous thoughts on leadership skills have been based on
the discussion of whether leaders are “born” or “made” through experience and education;
however, it is difficult to apply this paradigm to the study of global leadership. Global leadership
is a specialty, requiring an individual to develop a list of strengths that are not only dynamic but
that also may only be developed after becoming a domestic leader. Providing opportunities for
learning can increase the level of global competency skills and the level of application. An
assessment of these particular skill types can serve as a tool for recognition from which to
develop a baseline for further development. The authors stress the need for future research in this
particular area, specifying the need for “research that observes and measures actual
performance…and then [works] backwards in the development of global competencies” (p. 79).
Two models for global leadership assessment are discussed in detail: The Global Competencies
Inventory (p. 74), developed by the authors and the Global Executive Leadership Inventory (p.
77), developed by Kets de Vries et al. in 2004. Competencies measured in both of these
assessments are valid and reliable, yet Mendenhall et al. question their predictive ability. The
future of global competency assessment lies within the possibility of predicting global
competency beyond the concrete level of identification.
Joyce Osland, author of chapter eight, describes the process of change within various
cultures, change management, and key factors of global change. Hiatt’s ADKAR model
(awareness, desire, knowledge, ability, and reinforcement) (p. 141) is reviewed at length, as are
Scaroni’s key factors (p. 141). Many of the same traits described within both of these models
were referenced in earlier chapters that defined global competencies. Due to the limited amount
of current research in the area of leading global change, Osland references many ideas currently
noted in other leadership text (e.g. creating, communicating a vision, and building community).
Innovation is viewed by these authors as a concept linked to global change and a key component
within a learning organization. Global leadership competencies support the process of innovation
and at the same time leverage the appreciation of cultural differences, a valued means of building
a successful global business. The development of global leaders will become increasingly
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important as multinational organizations increase. The final chapter addresses the need for
ongoing coaching by those who have experience in international settings and are able to interpret
international issues that are increasingly complex and varied (as well as different in degree and
kind from domestic issues). The authors note that learning global competencies will include both
classroom and experiential types of education built around Black and Gregerson’s learning
process “Contrast, Confrontation and Replacement” (p. 163). Osland refers to this process as
“Letting Go” and “Taking On” (p. 164).
Globalization has increased the degree and complexity of international business. Students
graduating from higher education institutions and/or currently working in the field of
international business will need a high degree of global leadership competency to be successful
in the 21st century. This text successfully argues that domestic leadership will continue to be
valued but no longer sufficient as the increase in global technology permits communication
among cultures and facilitates the possibility of working or studying in the international arena.
Mendenhall et al. provide a strong foundation of research that defines the skills necessary for
global leadership competency. Those who are looking to build and/or assess their global mindset
within educational and business environments will find Global Leadership Research, Practice
and Development to be a foundational text.
Lynda Leavitt, Ed.D.
Lindenwood University
lleavitt@lindenwood.edu
Daya Thussu (ed.) International Communication: A Reader. London: Routledge, 2010.
Daya Thussu’s International Communication: A Reader aims to be a comprehensive
review of the global communication landscape. Considering the extension, sheer complexity,
and variety of features inherent to this landscape, this is not an un-ambitious task. Despite
this, the book attempts to draw far more than a map. It attempts to construct the academic
equivalent of a 3D model of an entire subfield of study.
The work brings together seminal texts from media and communication studies that
have made the history of the field of international communication, as well as more recent
contributions. Beyond addressing the development of the technological infrastructure of
global communications, these readings, in combination, cover the political, economic, social,
and cultural aspects of the global communication system. They are integrated by policy
documents that have shaped the development of international communications, from the
recommendations of the MacBride Report (1980), which had a prominent role in the New
World Information and Communication (NWICO) debate, to the Google “Software
Principles” (2004), which guide the popular search engine’s ethical approach to software
creation and distribution.
The reader is divided into six parts, each of which tackles, from a different angle, the
fundamental question regarding the relationship between power and communication. The
first part is about the technical infrastructure of international communication. It deals with the
profound impact that communication technologies have had on society, including the ways in
which satellites have changed our lives (Pelton), the potential for the liberalization of
communications for the purposes of economic development (Noam), and the establishment of
new global forms of governance through worldwide networks of digital communications
(Castells; Raboy).
The second part of the reader deals with the relationship between media and
modernization, a topic which has, over time, raised a lively debate within the field. Changes
in communication technologies have been widely regarded as a tool to political and economic
development, although the assessments of the outcomes (and beneficiaries) of such changes
have varied. The contributions in this part of the book show the diverse stances within the
debate. Lerner’s (1958) notion that “the state of politics is a function of the communication
process” (p. 87) and that public communication can positively be used “to mobilize energies”
is contrasted by Melkote’s review and comparison of modernization paradigms and their
biases, as well as by Schiller’s more pessimistic view that globalization has become, to
borrow Ramonet’s words, a “new totalitarianism” (p. 132). To more deeply understand the
media link to modernization, Shome and Hedge suggest the application of postcolonial
studies to the field of international communication so as to be able “to rethink communication
through new visions and revisions, through new histories and geographies” (p. 89).
The third part is about the control of the international flows of communication. The
contributions to this section of the text revolve around the concept of media imperialism
(Boyd-Barrett), the extent to which we are witnessing a homogenization of media systems on
a global scale (Hallin and Mancini; McChesney), and the degree to which such tendencies are
resisted by contra-flows (Thussu). The challenges posed by national and regional media to
international media are also addressed (Tunstall).
The fourth part covers dominant and alternative media discourses. The notion of
media imperialism (based on the assumption that audiences receive and interpret media text
in a homogenous manner, leading to predictable effects) is here challenged by theories of the
“active audience” (Schiller), the consideration of the ways in which genres are adapted across
cultural lines (Straubhaar), and the recognition of the public’s ability to develop alternative
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176
readings. The analyses of the effects of these alternative readings (Downing) and identity
(Khatib) make the point that the issue of media impact (still) deserves further investigation.
The fifth part is about the use of communications to promote ideologies and political
messages. The notions of propaganda (Lasswell), public diplomacy (Nye), and the
deployment of “information interventions” as part of foreign policy (Price) are not new, but
their changing meanings and implications are discussed in the context of the post-Cold War
world (Mattelart) and the increasing relevance of “soft power.”
The last part covers the impact of global communications on culture. Contributors
deal with the tension between (and sometimes coexistence of) cultural homogenization and
heterogenization (Appadurai). The authors discuss the decoding by audiences of global media
texts (Katz and Liebes); the impact that diasporic information flows have on nation states
(Karim); the ways in which power can take the form of cultural flows, drawing on the
example of Japan (Iwabuchi); the notion of cultural “hybridity” (Kraidy); and the blurring
between consumption and production as a “new model for understanding the changing nature
of media in everyday life…beyond corporate co-optation and audience resistance” (Deuze, p.
464).
How close does Thussu’s virtual reconstruction of the field of international
communication come to reality ? Like an academic Avatar, it provides an impressive
portrayal, but one that is not immune to distortions. For example, although the Reader makes
an effort to show different political views, the very history of the field has developed through
strong Marxist influences, which do affect the contents of the book. Although the book is
about International Communication, the focus on the international dimension is perhaps a
limitation. The increasing blurring of national and domestic dimensions, in fact, is extending
the domain of the field to the extent that what is regarded as “domestic” political
communication could have been perhaps more explicitly integrated (beyond the Hallin and
Mancini chapter). As Ulrich Beck (cited in Castells’s chapter, p. 38) puts it: “The structure
of opportunities for political action is no longer defined by the national/international dualism
but is now located in the ‘global’ arena. Global politics have turned into global domestic
politics, which rob national politics of their boundaries and foundations.” The very
boundaries of International Communication, in fact, could have been problematized and
discussed. The image of the field, partly due to the contributors, also reflects more its past—
the debates about modernization and political economy, for example—than its present or its
future. What are the implications of Web 2.0 and social media, for instance, on theories such
as media imperialism, globalization, and media flows, which have shaped at least the past 40
years of International Communication research? Students who use the Reader will especially
need to be made aware of these biases and possible limitations.
The Reader is a highly commendable piece of work. If the author’s International
Communication: Continuity and Change (2000, 2006) was undoubtedly a good textbook, this
text will be a more complete, although also more advanced, reference. Indeed, Thussu’s work
may be the closest a source can get to a one stop-shop book. What lecturers will particularly
appreciate is the unabridged reproduction of texts, which will encourage students to get to
grips with proper academic literature rather than simplified and, inevitably, more generalized
accounts of research. Beyond the academic texts, the policy documents are also valuable
teaching resources. The juxtaposition of texts providing different arguments and showing the
evolution of debates over time is interesting (even for those who already know the field) and
very useful for stimulating students to take a critical approach to the literature. Having said
that, from the perspective of an undergraduate, it is not at all clear where most the excerpts
come from and when they were originally published. Students will therefore need guidance in
their navigation and contextualization of the texts.
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In the book, Pelton describes the development of satellites (though his words may be
applied to all communication technologies) as follows: “Some believe that because
communication satellites are largely high-tech tools (almost literally supercomputers with
specialized software that are deployed in the skies), the stories of these space systems might
be dry, straightforward, and devoid of emotion. The truth is that the stories surrounding the
development and implementation of satellite communications are filled with elements of
intrigue and joy” (p. 33). Beyond all its positive features, one more contribution the book
makes is certainly bringing the subject alive by showing its debates, its fights, its practical
relevance, and its human side.
References
Thussu, D. (2006). International Communication: Continuity and Change. London: Hodder
Arnold Publication.
Cristina Archetti Ph.D.
University of Salford
c.archetti@salford.ac.uk
Dani Rodrik. One Economics, Many Recipes: Globalization, Institutions and Economic
Growth. Princeton, NJ: Princeton University Press, 2007.
Dani Rodrik’s book One Economics, Many Recipes is an admirable piece of work
on development economics. The first time I saw the book, I thought its title might be
woefully unrepresentative of whatever Rodrik, the development economist, might say. The
book could be about any branch of economics, or it could perhaps be an exploration of the
discipline of economics as a whole. I had closely read much of Rodrik’s previously written
work, including Has Globalization Gone Too Far (Washington: Institute for International
Economics), and several of his articles related to institutions, particularly to the primacy of
institutions over other factors such as geography or trade in growth. Most of Rodrik’s work
has indeed been about economic growth. So what could he now say that would be different?
One Economics turns out to be highly significant not because the area it covers is
new but due to the keen analysis it provides of previously published works. Indeed, the text
draws mostly on the type of published work for which Rodrik and his associates have been
most widely recognized for well over a decade. The importance of this particular text
derives from the fact that the author has achieved a remarkable synthesis of his own high
quality, policy-relevant writings published between the early 1990s and 2005.
One Economics contains nine chapters and a brief introduction. Rodrik believes
firmly in the core of neoclassical economics but, to understand growth experiences, he
advocates a much more careful application of neoclassical theories than is typical for most
economists. One gets the impression from Rodrik’s writing that neoclassical analysis is
susceptible to the arguments of those with more heterodox views of development policy.
Rodrik warns against equating neoclassical economics to freeing all markets, since most of
the stellar growth episodes in the last fifty years have occurred under governments that
were seriously involved in the process, and in Rodrik’s judgment, judiciously so, for the
most part.
Chapter 1, Fifty years of growth (and lack thereof): an interpretation, summarizes
the recent growth record around the world. The main thrust of the chapter is that large
scale changes are not required in order to start a growth episode lasting several years.
However, sustaining the growth process will demand more profound changes in
institutions and policies. To determine what changes may need to be pursued, the author
argues against the adoption of any comprehensive package of reforms. An example of one
such package was the so-called Washington Consensus (“What Washington Means by
Policy Reform” in John Williamson (ed.) Latin American Adjustment: How Much Has
Happened? Washington: Institute for International Economics, 1990), which emerged in
the late 1980s and early 1990s. The originally prescribed rules outlined in the Consensus
included elements of fiscal and monetary conservatism, as well as elements of economic
liberalization, such as greater privatization and deregulation. Many more rules, including
those deemed essential to deal with problems in governance, labor markets, and
international financial standards were added later to augment the Consensus. The idea was
that without achieving institutional transformation the policy principles behind the
Washington Consensus would not work. However, it became impossible to follow all these
rules simultaneously, leading to the loss of public ownership of the policies. As such, the
Consensus disintegrated. Rodrik makes the strong point that the many Latin American
One Economics, Many Recipes: Globalization, Institutions and Economic Growth
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countries that attempted to follow the policy prescriptions in line with the Washington
Consensus displayed a poor subsequent growth trajectory. The Latin growth experiences
can be contrasted with those of several countries in East Asia, which more pragmatically
followed government-guided development strategies and achieved stellar growth.
Chapter 1 sets the stage for Chapter 2 on growth diagnostics, which Rodrik had
published earlier with Hausmann and Velasco (Stiglitz and Serra, eds., The Washington
Consensus Reconsidered in 2005; HRV from here on) and which has emerged as one of
the most influential papers among development economists and practitioners. HRV’s basic
approach is to identify the most binding constraints on growth, prioritize them, and try to
overcome them. Three constraints apply to most cases of slow growth or stagnation: (1)
low private and social returns to investment, (2) poor appropriability of those returns, and
(3) inadequate access to finance. Specific factors such as low investment in human capital,
weak enforcement of property rights, and underdeveloped financial market are then shown
to belong to one umbrella category or another. This leads the analyst to evaluate which of
the constraints is the most binding. In practical terms, arriving at such a judgment may take
a lot of effort, but once this exercise is accomplished, policy implications naturally emerge.
The diagnostic approach, however, may not be quite as simple as HRV’s
framework presumes. One of the difficulties a practitioner can encounter is where in the
equation to place, for instance, the labor-capital conflicts. HRV say these conflicts belong
to the poor appropriability class of factors (category 2, above). But if such conflicts are
more common within a given country, perhaps because of sustained civil strife or highly
powerful labor unions, such discords may actually indicate low returns on investment
instead (category 1). Sometimes, inputs may well be available to a firm, but if they are not
usable for reasons that are beyond its control, the inusability of inputs will impinge as hard
on the rate of returns as the lack of critical inputs.
Other difficulties in diagnosing constraints could also be pointed out here. However,
these are minor quibbles, as HRV illustrate their diagnostic approach by using numbers
from several countries in a very revealing way. For example, they analyze Brazil (pp. 6870, 77-81), which instituted significant reforms in the 1980s and 1990s. Brazilian
investment demand and returns on physical and human capital were always high. The
country ran a continued deficit in the current account to finance excess investment and, by
1998, faced as high a spread on external bonds as 12 percentage points, indicating costly
access to external finance. Forced to devalue in early 1999, Brazil found its real exchange
rate depreciating by 37 percent in that year. After another balance of payments crisis in
2002 and a further real exchange depreciation of 38 percent, the current account finally
rose to a surplus in 2003, not the least aided by a home recession. This shows that Brazil’s
lack of domestic saving had made its economy vulnerable to the swings in its access to
external capital. When the latter improved, growth kept up; when it deteriorated, growth
suffered.
HRV discard a multitude of other factors that would be identified by the standards
of Washington Consensus as being detrimental to Brazil’s growth and would thus appear
to be the main candidates for reform. High taxes and insecure property rights are examples,
as neither is good for growth. Yet, private returns on investment have remained very
favorable to entrepreneurs in Brazil, causing real interest rate to stay high as well. Hence,
reform efforts should not be focused on factors that would ultimately raise those returns
even more. Instead, reform efforts would be better directed at improving national saving,
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since this was the actual binding constraint on growth. Brazilian efforts to improve
national saving through taxation did not lead to net public savings because the government
had to finance an unsustainably high level of social security and other transfers leaving
little opportunity for saving. An even higher rate of taxation and a lower rate of subsidy to
human capital accumulation would be desirable in such a case since a policy of pension
reform that would raise savings and increase social welfare was politically infeasible.
The chapter on industrial policy (chapter 4) again illustrates Rodrik’s unorthodox
approach to development policy. Import-substituting industrialization (ISI) strategy has an
appeal to all the poor countries aspiring for growth. Yet, the development literature
generally discourages an ISI strategy because it gives rise to wasteful rent-seeking and
other distortions. The ISI strategy becomes desirable only in a limited set of cases where
external economies of scale remain large. Rodrik emphasizes in Chapter 1 how ISI has
contributed to growth in many countries, including Turkey and Brazil (p.50). However,
successful growth may have taken place simply because these countries started with a low
income base and hence displayed a large potential to catch up, in technology and income,
with the developed world (as argued by Gerschenkron in Economic Backwardness in
Historical perspective, Cambridge, MA: Belknap Press, Harvard University, 1962). Or,
these growth episodes could have been due to other specific mechanisms that have not
been fully explored by Rodrik.
Export subsidies could be another good way to promote growth, Rodrik points out,
because they reward “winners” (p.149). However, it is not apparent whether Rodrik comes
to such a conclusion after also taking into consideration the loss in consumer welfare that
export subsidies produce. In general, however, his description of industrial policies around
the world (Table 2) shows how such policies have benefited the respective countries.
Rodrik laments the fact that international agreements made at the WTO or through bilateral
deals (Table 4.3) have placed restrictions on the kinds of policy space that developing
countries need in order to discover their best growth policies. He uses these exhaustive
tables to advance his compelling argument that an active role of the state in designing
appropriate industrial policy regime can give a growth boost over a substantial period of
time. The role of the state is naturally conditioned, he recognizes, on strong leadership that
develops immunity to pressures from vested interests and is dynamic enough to adapt
national policy to changing circumstances.
Going back to the challenge of development policy to let an economy graduate
from growth ignition into growth sustenance, Rodrik discusses an important paper by Imbs
and Wocziarg (“Stages of Diversification,” American Economic Review, 93.1: 63-86,
2003). This paper explores the relationship between a country’s income and its
concentration in, or diversification across, production sectors. In their study of a large
cross-section of countries, Imbs and Wocziarg find that during a long initial stage countries
diversify as if to explore the sectors in which they might eventually like to settle for
production and employment. This stage is then followed at a relatively high income level
by another stage in which countries begin going back to concentration. A plot of industry
concentration against per capita income thus results in a U-shaped pattern that the authors
claim to be fairly robust in data. Rodrik takes this result to imply that specialization
according to comparative advantage is a wrong path for economies to pursue.
Specialization in a few products would not allow them to move on to the second stage. To
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reach this stage, he argues, countries should try to attain a well diversified production
structure.
On the other hand, if a country were to follow an industrial policy without the
ability to achieve a big push of investment that would be needed for diversification, how
would one prescribe which set of industries to promote? Redding (“Comparative
Advantage and the Welfare Effects of Trade," Oxford Economic Papers, 51, 15-39, 1999),
among others, pushes the criterion of dynamic comparative advantage based on human
capital led productivity growth. Nevertheless, identifying the industries with the highest
dynamic advantage remains an extremely difficult task in and of itself. Rodrik advocates a
contextual analysis for this purpose, but it is not clear how such analysis might lead to a
clear solution when the context itself is shifting both within the country itself and without.
The author’s ultimate solution is to experiment and adapt, much as the Chinese did with
their dual-track approach to agricultural reform or the Mauritians did with regard to
industrialization (pp.164-68). But successful adaptation requires participation among all
affected parties and is therefore a gradual process. The environment created by significant
participation by all stakeholders encourages interaction and coalition building and helps
achieve better coordination across sectors and social groups. The resulting growth strategy
can only strengthen the roots of democracy, even where the western style democratic
superstructure is not a prerequisite for growth.
In short, One Economics, Many Recipes is a book like no other. The author
convincingly explains to the reader the power of his approach to development. He appeals
directly to policymakers to work harder to determine what ails a country in pursuing its
growth agenda. He acknowledges that there is no quick fix, no standard “menu” of reform
options published by multilateral institutions that can be implemented to achieve sustained
growth. To Rodrik, there is no avoiding a detailed and careful analysis to identify the most
binding of the constraints facing a given country at a given time, especially when many
sectors are operating under severely distorted prices. He also claims that there is no set
prescription that will deliver durable growth for all times for any given country. In short,
all these warnings make Rodrik’s book look fairly depressing to growth planners and
policymakers. However, while the book demands due diligence on the part of policy
makers in applying basic principles of economics to understand major problems facing a
country, the text mostly succeeds in the message that steady long-run growth is indeed
achievable. The step by step approach of growth diagnostics the book so well emphasizes
becomes a remarkable achievement of the author’s efforts. Finally, Rodrik asks economists
to practice humility in their role as policy advocates (pp.5-6). Of late, multilateral
institutions have had to change their approaches to development in the face of their limited
achievements in poor countries through the 1990s. Such adaptation of their role as policy
advisors should be strengthened as new experiences are acquired. As Rodrik points out, a
greater awareness of their shortcomings can only make economists more useful in tackling
unanticipated problems.
What impact will this book have? The evidence in favor of growth diagnostics is
strong. The World Bank and Inter-American Development Bank have already sponsored
many studies investigating this approach, and policy authorities and NGOs have
recognized the importance of the contextual analysis of data. Rodrik’s own institution
(Center for International Development at Harvard) has trained a multitude of economists
who are carrying out diagnostic work in several developing countries. With respect to other
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aspects of the book, particularly the governance of globalization, I suspect the WTO rules
will not come into full force for most of the very poor among developing countries. These
countries are still facing difficulties in attaining a self-sustained growth path through
greater openness and related changes. One Economics can only provide them support
(p.149) in going slower with fully opening their economies to trade and investment if such
a strategy will help them realize faster growth.
Mukti Upadhyay, Ph.D.
Eastern Illinois University
mpupadhyay@eiu.edu
Robert Wright. The Evolution of God. New York: Little, Brown, 2009.
In Robert Wright’s the Evolution of God (2009) the reader witnesses the results of
combining a breathtakingly sweeping view of religious history blended with a framework of
game theory interpretations. Wright assumes a breezy and irreverent style that makes the book
accessible within popular culture, even if it also offers observations of interest in academe. His
natural history of “God” begins with so-called primitive hunter-gatherer religions and continues
through the classical polytheistic religions and world religions all the way to the present day; by
the end, Wright establishes a series of suggestions aimed towards continued religious belief in
the scientific era.
The basic assumption that Wright works with is that, as with broader society, people
make decisions largely influenced by whether they face a zero-sum or non-zero-sum game with
other “players” (p. 413). Within this context, he suggests that religious beliefs widen to include
more people groups when relations between those groups and a religion’s current base becomes
non-zero-sum in nature (p. 81).While at times Wright seems to approach the rituals and beliefs
he describes phenomenologically, the book generally works from the specific presuppositions
which Wright makes more explicit as chronology moves forward in the book and the Abrahamic
religions of Judaism, Christianity and Islam are described. Wright approaches religious traditions
primarily from a reductionistic position of naturalism, assuming, in his words, that beliefs are
influenced by conditions “on the ground” (p. 333).
Many of the conclusions Wright reaches using this framework are relatively
uncontroversial. For example, the idea that Christianity appeared attractive to Constantine
because it helped to smooth relations between various parts of the Roman Empire is common
enough (p. 297). Constantine’s conversion meshes with Wright’s assumption that people make
religious choices based on their conditions; Constantine was in a non-zero-sum game with those
he wished to unify and hence bringing them into a broadly unified group affirming brotherly love
and a common deity makes pragmatic sense, whether or not Constantine actually realized that
was why he was making the choice. In doing so, the web of non-zero-sum relationships amongst
his constituents grew exponentially (p. 292).
Similarly, he suggests the shifting of relations towards outsiders from zero-sum to nonzero-sum and back again plays a significant role in shaping how the Qur’an views outsiders (p.
404). In times of powerlessness when gaining outsiders’ favor was essential, or, at least, largely
beneficial to Muhammad’s goals, he suggests the founder of Islam was willing to compromise
significantly, even to the extent of briefly flirting with polytheism (p. 351).
Particularly interesting and insightful is Wright’s analysis of Paul and his work spreading
Christianity throughout the Roman Empire (in chapter eleven). Wright notes that Pauline
Christianity spread by “maximiz[ing] those externalities” that existed in its context (p. 293). He
suggests that Paul made use of the best available “information technology,” epistles, to help
maintain a consistent and far reaching network, which he compares to McDonald’s and Pizza
Hut (pp. 276, 79). Of course, if the commercial franchise network is to hold, presumably the new
churches had to offer a valuable service, and Wright posits both that service – a “lubricated […]
provision of hospitality” for travelers – and how it came about – an “interethnic” view of
brotherly love preached by the apostle.
The observations are unusual in a helpful way, breaking out Paul’s work from its original
milieu to demonstrate what, to continue Wright’s metaphor, might be called Paul’s highly
successful management style. Through this analysis, Wright does not necessarily class Paul as a
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mere opportunist on the level of a dubiously credible revivalist or shaman, that is outside of his
point, though one could head in that direction (p. 287). Rather, while the book’s naturalistic
viewpoint necessarily rules out any more traditional answers, such as “divine favor,” from the
equation of Paul’s success – or, later, Muhammad’s success – he posits that Paul’s success is
potentially a mark in favor of God’s existence (pp. 286-87), a point he returns to in the
conclusion of the book.
The epicenter of controversy out of the Evolution of God is likely to be found elsewhere
in the book. Wright wishes to demonstrate the compromise-focused nature of religious evolution
by examining the history of Israel. Part of this study involves a significant shift in understanding
about the history of the Israelites, suggesting that they are really Canaanites who slowly banded
together in a confederacy supported by the merger of two distinct gods: Elohim, normally
rendered “God” or “gods” in English, and Yahweh, normally rendered “LORD” in English (p.
114). To demonstrate this alleged process that sounds rather remarkably like a modern corporate
buyout, Wright uses strained exegesis to try to mine out a pre-monotheistic pantheon from the
Bible (p. 105).
Though the book generally is reductionistic in methodology, at these points Ockham’s
razor may have dulled. What appears to be occurring in Deuteronomy 32.8-9 is a fairly standard
Hebrew poetic style, and like much of Hebrew poetry (and other poetry, for that matter), it
makes use of more than one way to say things. Wright views the use of both “Most High” and
“the LORD” to suggest that there are two deities in those verses, but the simplest explanation
would seem to be that {elyo®n and Yahweh are both the same deity, not two originally distinct
deities. This is made more apparent when examining the entire pericope (32.1-43), which even
makes an explicit monotheistic declaration at one point (32.39).
Wright’s exegetical issues continue with the use of etymology to argue the meaning of
terms. The Hebrew words for pestilence (daœb≈⋲er) and plague (resûep) from Hab. 3.5 are key
examples. Wright interpolates that since the Canaanite deities for the pestilence and plague went
by those names that it follows that prophet Habakkuk’s usage indicates they are still deities
submissive to Yahweh. This is a potentially anachronistic reading, if Wright’s assumption of
monotheism arriving late to Israel is incorrect, an assumption he justifies circularly by using
passages such as this one. To put this in perspective, Wright’s argument concerning Hab. 3.5
would be rather analogous to suggesting that Paul waxed henotheistically about the goddess Gaia
and her husband Ouranos when he refers to γῆ (“earth”) or οὐρανός (“heaven”), respectively.
His interpretations also largely ignore the polemic thrust that appears throughout the
Hebrew Scriptures. If a polemical standpoint is granted in these passages, allusions and
references to other deities, when they do appear, seem to arise not from a basis of belief in their
existence so much as “to set the record straight” about their non-existence or irrelevance.
As part of the position Wright takes on the origins of Israel, he rejects the Exodus event
en masse from a historical standpoint. Though he certainly is not alone in this argument, for a
matter that is so critical to his overall argument concerning Israelite monotheism, he does so with
very broad, oversimplified strokes. In particular, Wright ignores various early dating theories
concerning the Exodus, wherein the archeological record is more supportive of the sort of mass
exodus and subsequent conquest described in the Pentateuch, during the waning years of the
Middle Bronze Age II, or, for that matter, even the more interesting arguments for the later
dating he rejects out of hand. That is, “the evidence on the ground,” to use Wrights phrase, while
not attesting with certainty to the biblical Exodus also does not necessarily affirm Wright’s
assumption that the case is closed on the matter. If his anti-exodus theory is brought into
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question, so too is much of his effort to show how Elohim and Yahweh merged, how they also
“acquired” Baal (p. 126) and even how King Josiah was a cruel oppressor of native religion (p.
155) is made much less comprehensible.
Wright’s curious Biblical analysis continues in his work on the historical Jesus as well.
Although the debate is heated and fluid, he seems to adopt a stance that strips from the historical
Jesus even some of his most commonly attributed teachings. For example, Wright suggests that
the parable of the Good Samaritan (Lk. 10.30-35) is unlikely to have been uttered by the
historical Jesus since it appears in neither Q nor Mark (p. 260). This is dubious logic for casting
such strong doubt on the legitimacy of the passage. Though it is helpful in Wright’s
argumentation and later comparisons between Jesus and Muhammad (p. 396), it goes against
normal Biblical scholarship with little justification, approaching the text with a level of
skepticism far greater than the famously skeptical Jesus Seminar (cf. Funk, Hoover, & the Jesus
Seminar, 1993, pp. 323-24).
This present critique is by no means an exhaustive interaction with Wright’s biblical
exegesis and archeological analysis, but the issues highlighted above suggest at minimum a lack
of sound evidence to support critical portions of his historical reconstruction during the period
spanning the founding of Israel through the historical Jesus.
This aside, Wright’s final chapters do provide an insightful presentation of a
reductionistic justification for the continued existence of religion (p. 456) – a refreshingly
different tactic than argumentation from writers such as Richard Dawkins and Daniel Dennett.
Of course, the “God” that comes out of Wright’s suggestions will be hardly recognizable to any
traditional believer, something he acknowledges occasionally throughout the book (e.g. p. 455).
His suggestions use game theory to argue for mitigating differences between the
Abrahamic religions in a quest to bring about peace, asserting that the sorts of processes that he
alleges have edited beliefs subconsciously in the past can be applied more directly now in this
era of global connections among civilizations (pp. 404, 437). Whether believers could actively
edit their beliefs to be “more moral” as Wright proposes and still feel they were believing in
something true and not just in a mythological sense is suspect. His final destination for religion
appears to be essentially Hinduism’s view of all deities being of one Ultimate Reality (p. 442).
Though Wright treads with laudable humility in this section as the outsider to religious
experience that he is, he still proposes a system that fundamentally changes traditional
monotheistic belief into a pluralistic exclusivism in which very little is knowable – and very little
comfort is able to be drawn – with relation to the divine, not unlike the results of philosopher
John Hick’s “Copernican Revolution.”
Wright has created a significant contribution to the understanding of how religion and
societies interact provided in an eminently readable and, on more than a few occasions, witty
form is certainly significant. Nonetheless, the attempt to span so many fields of study and do so
within one book has clearly taken its toll on the Evolution of God. The work on game theory’s
influence on the continuum between religion and culture, as well as his agnostic defense of
religious beliefs are thought provoking and of interest to a wide variety of audiences. The weaker
sections, however, necessitate the reader bringing a good deal of skepticism to Wright’s
arguments and assumptions.
The Evolution of God
186
References
Bimson, John J., & Livingston, David (1987). Redating the Exodus. Biblical Archeology Review,
13.5, 40-67.
Funk, Robert W., Hoover, Roy W., & the Jesus Seminar (1993). The five gospels: What did
Jesus really say? New York: Macmillian.
Kitchen, K.A. (2003). On the reliability of the Old Testament. Grand Rapids: Eerdmans.
Silverstsen, Barbara J. (2009). The parting of the sea: How volcanoes, earthquakes, and plagues
shaped the story of Exodus. Princeton: Princeton UP.
Timothy R. Butler
Covenant Theological Seminary
tbutler@ofb.biz
Barbara Ehrenreich. Dancing in the Streets: A History of Collective Joy. New York:
Metropolitan Books-Henry Holt and Company, 2006.
Recently, to an audience at the Chicago Humanities Festival (Jan. 28, 2010), Barbara
Ehrenreich commented that “we’ve forgotten real fun.” Ehrenreich, a trained cell biologist
(Ph.D., Rockefeller University ), whose extensive writings address, for example, student protest,
women’s health care issues, war’s origins, and poverty in America, has directed her attention to
the subject of community joy, its suppression, and its substitutes. In her historically expansive
2006 study Dancing in the Streets: A History of Collective Joy, she continues to critique the
actions of hierarchical powers against the lower classes and the poor, with her eye on rites and
festivities that have provided cohesion, joy, and power to communities, but that have been
suppressed by powers of church and state and appropriated by commerce. Her writing is lively,
without jargon, passionate, informed, and speculative; she is an adventuresome researcher,
drawing broadly from anthropological, psychological, historical, and religious studies, for
example, as well as from contemporary popular culture.
Ehrenreich describes her mission in this book as “to speak seriously of the largely
ignored and perhaps incommunicable thrill of the group deliberately united in joy and exaltation”
(16). Noting that representations of dancers occur on pre-historical cave drawings and then
surveying ancient religious rites and medieval and Renaissance carnivals and festivals,
Ehrenreich identifies the key elements of these community activities to be feasting, drinking,
song, music, dancing, costuming, and masking. Ehrenreich sees the rites of Dionysus, whose
female followers may achieve an ecstatic encounter with the god, as “a primordial form of
festival” (37) and describes the women’s ritual action, in which they inhabit the role of powerful
hunters, as a kind of “ritual of inversion.” Such temporary ritual-based role reversal continues
in Roman Saturnalia, in European carnival, and in many other cultures’ festivities; it is this
particular element of role reversal that draws holders of power, from Romans through fascist
dictators, to suppress practices of “collective joy.“
Responding to the dancing of “oriental” religions, Romans executed thousands of
Bacchus’s worshippers before later persecuting Christians. Ehrenreich also sees the early
Christian patriarchs as increasingly forbidding ecstatic forms of worship among the early
Christian community, attempting to reduce “the community of believers . . . to a state of
dependency on central ecclesiastical authorities” (76). Despite these efforts, Christianity
remained a “danced religion,” and to purge this unruly action from the Church, regularly
scheduled festivities began to be allowed only outside the churches, though this restriction
inadvertently led to the celebration of Carnival, with all its festal elements: feasting, drinking,
and dancing, along with mocking social inversion, as demonstrated by the appointment of a Lord
of Misrule (typically a peasant who, for the duration of the festival, was given the authority to
“oversee” the revelry). Collective joy survived in secular festivities through the Middle Ages,
despite attempts at its suppression. By the sixteenth century, when the upper classes had
withdrawn from such rowdy practices, the revolutionary spirit of Carnival contained the
possibility of actually inverting the hierarchy.
Ehrenreich suggests that the continued suppression of the drinking and carousing of
carnival resulted not only from Calvinism’s condemnation of all festive behavior but also from
the need for social discipline coming from gun-based warfare, as well as from the demand of
industrialization for daily laborers. The suppression of communal rituals and festivals, she
Dancing in the Streets: A History of Collective Joy
188
speculates, likely contributed to the prevalence of melancholy from sixteenth- through
eighteenth-century Europe (133), during which time, the modern, isolated individual was
separated from the healing powers of community celebration.
In an impassioned discussion, Ehrenreich addresses Imperialism’s “global campaign
against festivities and ecstatic ritual” (158), describing African traditions preserved, in spite of
the African diaspora, both through syncretic religions and through Carnival, referring to practices
in the Caribbean, Brazil, Cuba, and Trinidad. Acknowledging “broken cultures, wrecked
economies,” and ruined individuals, Ehrenreich comments,
[i]n the face of so much destruction, it may seem petty to focus on
the obliteration of communal ritual and festivity. But in any
assessment of the impact of European imperialism, “techniques of
ecstasy”—ways of engendering transcendence and joy from within
the indigenous group itself, without any recourse to the white
man’s technologies or commodities—must at least be counted
among the losses (180).
Through her concluding chapters, Ehrenreich acknowledges that in the modern, or “postfestive,” era, there are collective ceremonies of many types, most notoriously the military
spectacles (“inverted forms of carnival”) that aim to enforce, rather than to mock, the social
hierarchy. As a tool of fascism, participants in mass rallies through Italy and Germany stood still
as observers, “merging with the larger collective” (201).
Ehrenreich appreciates that our own times have seen the “revival of ancient traditions of
ecstatic festivity” (206), first, in the “Rock Rebellion” of the 50s and 60s, as African and
African-American music drew white folks into celebration, movement, and community. “Rock
and roll opened the possibility of . . . a joy beyond anything else the consumer culture could
offer” (224). Secondly, sport events became “carnivalized” as spectators began to dance, sing,
drink, eat, and paint their bodies. She does, of course, note the commercialization of both these
areas: we don’t break into dance when we hear a rock tune that has degenerated into muzak, and
the lower income of sports enthusiasts are being priced out of new stadiums.
After Ehrenreich’s spirited journey from pre-historical cave images of dancers to the
crowds of sports enthusiasts, she looks somberly at our highly populated and impersonal world,
at our competition for resources, at the “hostility to ecstatic undertakings,” from both Protestant
fundamentalism in the U.S. and from Islamic radicalism in the Mid and Far East. She does,
however, acknowledge that “festivity keeps bubbling up,” at planned and at spontaneous festivity
or protest.
Barbara Ehrenreich’s Dancing in the Streets has been roundly praised, even by reviewers
who criticize particular assertions, such as that dancing is hard-wired in the human brain. It is a
work whose timeliness might be highlighted by events that followed January’s devastating
earthquake in Haiti. Only a few hours after the quake, likely drawing from their African roots,
“several hundred gathered to sing, clap, and pray in an intersection.” Referring to the singing, a
nearby Haitian-American commented, “Haitians are different. People in other countries
wouldn’t do this,” he said, “It’s a sense of community.” (MRzine. 14 Jan. 2010. Web. 14 Feb.
2010.) For its compassion, readability, and the importance of its message, Ehrenreich’s study
deserves ongoing attention and response by a wide readership.
Journal of Global and International Studies
189
Ann Canale, Ph.D.
Lindenwood University
acanale@lindenwood.edu
John Agnew. Globalization and Sovereignty. Lanham, MD: Rowman & Littlefied, 2009.
In 2003, The Economist published a highly circulated article titled, “The Revenge of
Geography” in response to numerous and widely distributed claims of the “end of geography” in
the era of globalization. The argument of those predicting geography’s demise is that in a world
increasingly characterized by rapid flows of information, money, and people through distributed
networks over national boundaries, geography is no longer important. Geography, in this
argument, is equated to the state, and the “end of geography” essentially describes the loss of
boundaries (deterritorialized states) on the political world map.
In his book, Globalization and Sovereignty, John Agnew counters this notion of the end
of geography and proclaims geography’s continued significance despite globalization by
exposing the commonly held myths surrounding sovereignty and globalization that lead to
various erroneous claims (such as that of a “flattening world”). He proposes that sovereignty, in
an era of increased flows of people and capital through very specific networks, is in fact much
more complicated than what most writers on these topics propose, which is typically an
“either/or” framework: either an absolute state territorial sovereignty (power not affected by
globalization) or a globalized world without state sovereignty. Agnew proposes instead a more
pluralistic understanding of sovereignty through delineation of four different sovereignty regimes
that more accurately accommodate the variable nature of political authority in an era of increased
but uneven flows of capital, information, and people.
In the first chapter, Agnew exposes the myths of globalization: globalization is creating a
flat world; globalization is an entirely new phenomenon; globalization occurs in tandem with
liberalization; globalization is antithetic to the welfare state; and globalization is the only option
(p.13). While he agrees that this epoch involves “the declining military viability of even the
largest states, growing global markets, expanding transnational capitalism, and modes of
governance alternative to that of the territorial state (such as the European Union, the various UN
agencies, the World Bank and the IMF) (p. 24),” he also argues, later on, that the uneven effects
of globalization make it impossible to fully categorize its effects on sovereignty in one direction
(typically toward sovereignty’s demise, p. 195).
In exposing the common myths surrounding sovereignty in chapter two, it becomes
apparent why a more accommodating framework for understanding sovereignty in the current era
is necessary. Prior to exposing these myths, however, Agnew spends some time discussing the
necessary attributes of state formation: exclusivity and mutual recognition; there is no territory
without a state (except Antarctica, which he does not mention) and vice versa. As such, territory
“underpins nationalism and representative democracy (p. 31).” The sovereignty myths he
exposes are in relation to this common view of the state (non-interference based on the
recognition of boundary lines). The first myth exposed is that of the “body politic,” which
describes a highly territorialized view of sovereignty. Under this definition, the state is
essentially “the legal embodiment of national identity” (p. 52), and sovereignty involves literally
Globalization and Sovereignty
191
protecting the “body” (the state) from harm, both internally and externally. Essentially,
maintenance of order is the goal. However, this is a problematic view, as it accounts only for
security, not opportunity (both of which are essential goals of a state). In reality, opportunity
(particularly the needs of trade, investment, and alliance) has often superseded the need for
territorial security.
Secondly, Agnew discusses the commonly held myth of the “nation-state”, in which
boundaries delineate a clear “inside” and “outside” of a territory. This nation-state ideal
corresponds to nationalistic goals; however, contrary to most understanding of nationalism in
lieu of nation-states, most evidence indicates that national identities usually form after the
delineation of boundaries, through expulsions, ethnic cleansing, forced assimilation, and other
efforts towards cultural homogenization. With free flow of people, information, and capital over
national boundaries in the current era, distinguishing who is “in” and “out” becomes increasingly
complicated. Further, the rise of the political and economic power of supranational organizations
in recent decades also weakens the nation-state view of sovereignty.
Finally, Agnew exposes the myth of the “sovereignty game,” which espouses the notion
of co-equality between states and territorial integrity (from which non-interference emanates).
This view of sovereignty fails in the sense that most states have never been immune to external
influences; further, many states are the product of decolonization. While these states do have
international legal sovereignty, because of political and economic instability (engendered by the
colonial relationship), the notion of co-equality certainly does not exist across all states (e.g.
most of sub-Saharan Africa).
Considering the limitations of these views of sovereignty, Agnew, in chapter three,
describes four differing sovereignty regimes that more accurately describe the variable nature of
sovereignty given the “migration of authority” (p. 122) across levels of government and between
territories evidenced in the current era. The first regime is the classical regime, in which both
despotic and infrastructural power (the former equates to power among elites and interest groups
while the latter indicates the provision of public services via the state—together they comprise
the two central functions of states) are deployed within a specified territory through highly
centralized political power (e.g. China). In contrast, imperialist regimes, as exemplified by many
countries in the Middle East, sub-Saharan Africa, and Latin America, do not experience strong
central state authority; infrastructural power is either non-existent or very weak, and despotic
power belongs to outside interests (such as large lending institutions like the World Bank).
Integrative regimes, as represented by the EU, according to Agnew, are often-times challenged
in functionally complex and non-territorial ways as states relinquish some level of territorial
control for the greater good. Finally, globalist regimes, such as that of the US, involve the
exercise of sovereignty well beyond territorial boundaries. In the globalist regime, essentially,
other, non-territorial mechanisms have significant control; New York, London, and Tokyo
increasingly represent the collective center of this regime.
To illustrate how these regimes provide a more accurate understanding of the variable
nature of sovereignty during globalization, Agnew discusses two examples of state-controlled
Journal of International and Global Studies
192
entities that have been dramatically affected in recent decades: national currencies and
immigration. For each example, he provides four different categories describing states’ differing
strategies for managing flow of money and people within and across national boundaries, with
accompanying case studies illustrating how the four sovereignty regimes map against the four
categories for each example and, where appropriate, how those controls have changed with
increasing flows of both elements (money and people) over national boundaries. For example,
China, representing a classical sovereignty regime, has a territorial currency system, in which a
national currency dominates the state territory, as compared to an integrative regime (e.g. the
EU) with a shared currency system. In terms of migration, the European Union would represent
a “reticent state,” meaning immigration is not warmly accepted, and citizenship is based more on
ethnicity than on civics, as opposed to the US, an “immigrant state” with a civic model of
citizenship and recognition of immigrants’ important contributions to society.
While Agnew argues that the four regimes are simply a guide for understanding the
various forms sovereignty can take in the current era, the overall narrative presented in this book
focuses much more on the rationale for these four regimes rather than the regimes themselves.
Greater analysis in terms of how countries, beyond the examples given, fit or do not fit into these
fairly complex categories (despite Agnew’s claims of their simplicity on p. 132) would have
strengthened their definitions and thereby strengthened Agnew’s argument on the necessity for
thinking about sovereignty more pluralistically in the era of globalization. Further, the case
studies he did use to illustrate his models were not always states: some were regions (e.g. South
America) and others supranational organizations (e.g. the European Union); in arguing for the
changing nature of state-based sovereignty regimes in the current era, it seems that all case
studies should be states. Despite this minor critique, Agnew’s book most definitely thoroughly
and thoughtfully exposes the highly problematic and fairly popular simplistic categorizations of
the effect of globalization on state sovereignty.
Meredith Marsh
Lindenwood University
mmarsh@lindenwood.edu
Muhammad Khalid Masud, Armando Salvatore, and Martin van Bruinessen (Eds.). Islam
and Modernity Key Issues and Debates. Edinburgh: Edinburgh University Press, 2009.
The Muslim world’s engagement with modernity has been ongoing since the 19th century.
Since that time, the Muslim world has been engaged in an unending encounter with the West as
the source of modernity in its various forms, including through (1) colonial enterprise, (2)
Muslim student immigration to the West for the purpose of acquiring modern education (and the
variety of forms this experience produced upon the students’ return to different Muslim
countries), and (3) the postcolonial encounter between Muslim secular-nationalists and Islamic
modernists in newly formed countries, leading to the eventual eclipse of Islamic modernism and
the rise of political Islamism, with its theologically construed religious nationalism, which is
distinct from contemporary radical and extremist versions of Jihadism.
Contemporaneously, the Islamic and Muslim encounter with modernity is taking place in
Western countries (from Australia, to France, to the USA) within the Muslim diaspora, alongside
the emergence of native African American and European Muslim communities and the growth of
second and third generation European and American Muslims, who are struggling to form their
Muslim identities in the Western milieu. The encounter between Islam and modernity is an
encounter that is theological, philosophical, political, social, and cultural in nature, involving two
cosmological worldviews:. one based on the beliefs and values rooted in the Tauhidic worldview
of Islam and the other based on the European world view, rooted in the philosophical rationale of
eighteenth century Enlightenment and the doctrines of progress, rationality, secularity,
individualistic understanding of the self, mastery over nature through human knowledge, market
based economy, the abolition of religion based in revelation or superstition, and support for
values of gender equality, liberal democracy and human rights.
The Enlightenment-based worldview spread to the African and Asian world in the form
of colonial modernity through imperialism. Western Christianity tagged along in this enterprise,
leading to the rise of identification of modernity with Western Christianity in the Afro-Asian
world in spite of the existence of many diverse Afro-Asian religio-philosophical orientations.
Indeed, in the eyes of a common citizen of the Afro-Asian world modernity, the West and
Christianity are often construed as identical. (This leads, however, to a different discussion.)
The book under review here offers a discussion about the differences and tensions
between the Muslim world and the modern West, the interactions between which have become
more tense in recent times. The fact is that Islamic modernism was eclipsed long time ago and
has become a marginal trend in the Muslim world rather than a contemporary debate between
Islam and the West involving, on the Muslim side, the secularists, political authoritarians,
Muslim moderates, liberals, democrats, Islamists, and the radical extremists and, on the Western
side, the liberals, conservatives, orthodox Christians and Jews, moderates, and fundamentalists..
It is as though the debate between Islam and modernity is still stuck in the 19th century, yet to
make it to the postmodern era.
The book describes modernity as being constituted by structural changes brought through
massive urbanization, mass education, increased communication, the emergence of new types of
institutions and associations, political mobilization, and major transformations of economy. The
book offers a wide debate on these issues in their complexity from different disciplinary
perspectives.
Coming out of a 2004 workshop at the now defunct International Institute for the Study
of Islam in the Modern World (ISIM) in the Netherlands, the book is divided into three parts.
The first part, titled, “Conceptualizing Modernity,” consists of two articles. The first is Armando
Salvatore’s “Tradition and Modernity within Islamic Civilisation and the West,” in which the
author discusses how Islam’s transnational civilizational response to modernity fits within the
Islam and Modernity Key Issues and Debates
194
tradition of multiple modernities. The second article, by Armando Salvatore and Khalid Masud,
titled, “Western Scholars of Islam on the Issue of Modernity,” describes the dichotomy in the
Western view of the world of Islam: the perception of Islam as being stagnant in spite of the rise
of Islamic Modernism, which grappled with modernity on native ground prior to the impact of
Western colonial modernity.
The second part, “Negotiating Modernity,” consists of four articles. Sami Zubaida’s
“Political Modernity” offers an excellent historical tour through the intricate Muslim debate and
response to modernity in the political arena. It discusses the rise of political Islam alongside the
ideologies of nationalism, socialism, fascism, and the modern social movements in the various
parts of the Muslim world. In the same part of the book, Deniz Kandiyoti discusses politics of
gender, while Martin van Bruinessen examines the encounter between Sufism, popular Islam,
and Modernity; he highlights the continuing presence of Sufism as an alternative to the political
and puritan forms of Islam. Ebrahim Moosa discusses the interaction between colonialism and
law in India. This part of the book offers a comprehensive discussion of the processes of Muslim
modernization in the social and political areas.
The third part of the book, “Debating Modernity,” offers an analysis of how Muslim
scholars and intellectuals have viewed and responded to modernity. Armando Salvatore looks at
how the reform discourse created a public ethic of citizenship. By highlighting the different
character of Muslim political economies and public reason, he illustrates that the Western
experience of modernity is not universally normative. Muhammad Qasim Zaman talks of
ambiguities of authority between the ulama and the moderns. The ulama continue to suspect
modern institutions, practices, and forms of knowledge. Zaman could have more critically
analyzed the struggle of the ulama, who are caught between the trends of modernity and
tradition, and their resistance to the former as they manipulate their religious authority as a
source of power over the masses. In the postcolonial phase, it was the rise of the ulama in
political acquiescence with the Muslim nationalists that led to the eclipse of Islamic modernism.
In this same part, Muhammad Khalid Masud’s brilliant article, “Islamic Modernism,” addresses
the above mentioned issues. He also remarks that at the present historical juncture, the postcolonial Muslim theologies of modernity are subjective and rights oriented; these theologies are
more concerned about the consequences of modernity than they are with its content base and are
gradually replacing theologies of Islamic modernism. The final paper, by Abdulkader Tayob,
“The Shifting Politics of Identity,” discusses the shift in Muslim identity discourse since 1967,
which now includes issues such as political action, dress, and radical politics.
This volume offers a good overview of the thematic discourse about contemporary issues
of modernity in the Muslim world from various perspectives. Modernity remains a theme with
which Muslims and the Muslim world seem to have been having, since the dawn of the colonial
age, a long and unending tryst, one which has yet to be overcome.
Imtiyaz Yusuf
Center for Muslim-Christian Understanding
Georgetown University
iay2@georgetown.edu
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