Horvath DefinitionColonialism 1972

A Definition of Colonialism
Author(s): Ronald J. Horvath

Source: Current Anthropology , Feb., 1972, Vol. 13, No. 1 (Feb., 1972), pp. 45-57
Published by: The University of Chicago Press on behalf of Wenner-Gren Foundation
for Anthropological Research
Stable URL: https://www.jstor.org/stable/2741072
JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide
range of content in a trusted digital archive. We use information technology and tools to increase productivity and
facilitate new forms of scholarship. For more information about JSTOR, please contact support@jstor.org.
Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at
https://about.jstor.org/terms
The University of Chicago Press and Wenner-Gren Foundation for Anthropological Research
are collaborating with JSTOR to digitize, preserve and extend access to Current Anthropology
This content downloaded from

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
All use subject to https://about.jstor.org/terms
A Definition of Colonialism
by Ronald J. Horvath
THE GOAL OF THE ACADEMY iS the discovery of order. exceptions to this, such as general systems theory, are
Order may be only a condition of men's minds, but seek few; most explanation is middle- or low-level theory
it we must. The imperative to discover order may stem designed to predict a relatively narrow range of variables.
from man's instinct to survive: to know is to have power, Ultimately the facts that are significant are those
to have power enhances chances of surviving. Further- determined by theory, i.e., those that theory predicts.
more, only order is knowable, chaos or the lack of order Before theory, all facts may seem to have relatively
is not; therefore, we must assume that order exists. In equal significance. (Many of these ideas are in accord
seeking order, Western scholars in the tradition of with those of Kuhn [1962:15, 24, 41-47]; Cohen and
categorical philosophy define, classify, and explain. Nagel [1934: Chap. 12] provide a longer treatment of
Definition, classification, and explanation (theory) are the subject of definition and classification.)
difficult to separate. To define is to classify. To say what Where do we stand in the study of colonialism? The
X is, is to classify all things as being X or not-X. literature on colonialism would appear to have no end;
Classifications are typically more complex, contain more and understandably, for colonialism has been one of man's
components, than definitions. Classifications tend to be major preoccupations. Although colonialism ranks with
more specific than definitions and, therefore, better the most influential processes in human history, Western
handle details. But the processes and results of defining scholars have not really come to grips with the pheno-
and classifying are fundamentally similar; both order menon. The academic establishment possesses no
reality. widely accepted theory of colonialism, nor does any
In a pretheory stage we must rely on a fairly cumber- substantial agreement exist upon what colonialism is
some search process. Hundreds, even thousands, of (Strausz-Hupe and Hazard 1958:470).
descriptive studies of a phenomenon, done largely The changing morality of colonialism contributes to
without the benefit even of definition, provide an initial our lack of understanding. People feel strongly about
sorting process through which the number of potential colonialism-it has either been a dirty business engaged
variables is substantially reduced. Definition and in by evil people or a praiseworthy endeavor undertaken
classification constitute another reduction process, in by fine gentlemen for the noble purpose of saving the
which only a few, perhaps a dozen or so, variables are wretched, the savage, the unfortunate. We can hardly
chosen as being significant. The metaphysical basis of talk about colonialism without referring to the way
the selection process is generally implicit; there are people feel about it, because this feeling has given the
certain tacit rules that govern the research behavior of word myriad connotations. But knowing how people
any period. The process of selection consists of collective feel about colonialism does not tell us what it is. China
decision-making by scholars concerned with a particular and the Soviet Union condemn America for being an
phenomenon. The model offered here is an attempt to imperialistic power, and yet from one point of view both
start a systematic process of selection (reduction) and countries have been and are themselves colonial and
arrangement of variables relevant to the phenomenon imperial powers. (For the moment, I shall make no
of colonialism. distinction between colonialism and imperialism.) The
With the development of theory, judgments on the history of Russia from the beginning of the Tsarist
significance of variables are made relatively simple. period to the present Is a history of aggressive, exploi-
Theory is a system of explanation or prediction. Most tative colonialism and imperialism. Tibet in relation to
theory predicts a fairly narrow range of facts. The China is a conquered colony with a repressive military
government; and ever since pre-Han times, China has
expanded by a cultural process no more nor less noble than
RONALD J. HORVATH is Assistant Professor of Geography at
Michigan State University. Born in 1937, he was educated at colonialism and imperialism. America, too, has felt
Long Beach State College (B.A., 1960) and the University of superior in a moral sense to Britain, with its empire;
California at Los Angeles (M.A., 1961; Ph.D., 1966). He has
taught at Haile Sellassie I University (1963-65) and at the
at the same time, however, the United States has
University of California at Santa Barbara (1965-67). He has done dominated Middle American countries economically,
fieldwork in Ethiopia, and his research interests center on the politically, and in other ways, and has engaged in ruth-
cultural geography of Africa. He has published articles in the
less exterminative expansion as a part of its Manifest
J_ournal of African History, the Annals of the Association of American
Geographers, Erdkunde, and other journals and has contributed Destiny. Further, some Afro-Americans today cry that
chapters to several books in his field.
they are victims of imperialism. Finally, representatives
The present paper, submitted in final form 12 x 70, was sent for
comment to 50 scholars, of whom the following responded: Andre of countries in the Third World seem to be able to agree
Gunder Frank, DavidJacobson, Madeline Barbara Leons, Robert upon little except perhaps the evils of colonialism-the
W. Shirley, Aidan Southall, J. E. Spencer, and Bronislaw
Stefaniszyn. Their comments are printed after the text and are
colonial past and neocolonial present-while at the same
followed by a reply from the author. time ruthless, exploitative, exterminative (to use some of
Vol. 13 * No. 1 * February 1972 45

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
the commonly employed adjectives) colonial policies are through the use of what I call definitional analysis. The
being employed by these very governments (e.g., the definitions generated have cross-cultural applicability
Republic of Sudan and Nigeria) within their own borders in the modern world as well as in history; they are flexible
to suppress "minority" groups. The mind boggles! and permit further manipulation; and they make apparent
Scholars have failed to provide us with definitions of the relationships between phenomena and processes
colonialism, imperialism, and related terms for many that are too often treated as separate.
reasons; four are identified here:
1. Insufficient cross-cultural perspective. To stereo-
type colonialism on the basis of one or two particular A DEFINITION AND CLASSIFICATION OF
cases or to assume that colonialism is characteristic of a COLONIALISM
particular civilization (Western civilization) is simply to
ignore the full range of reality to which human history It seems generally, if not universally, agreed that
testifies. Boeke (1953), for example, seems to have colonialism is a form of domination-the control by
developed a theory of colonialism based on the Dutch individuals or groups over the territory and/or behavior
experience in Indonesia alone; and Lenin (1939) of other individuals or groups. (Colonialism has also
restricts his focus to one phase of Western civilization, been seen as a form of exploitation, with emphasis on
though he recognizes that the Romans, too, engaged in economic variables, as in the Marxist-Leninist literature,
imperialism. Every major and minor civilization has and as a culture-change process, as in anthropology;
sought to extend its borders and its influence. And these various points of departure need not conflict,
colonialism is not to be equated only with the civilized however, and the choice of domination as a focus here
(cultures having cities and literate populations); pre- will not exclude the culture-change dimension of the
civilized people, too, have colonized. At least that is an phenomenon.) The idea of domination is closely related
assumption made here. to the concept of power.1
2. Lack of theoretical perspective. (Two theories of Widespread accord also exists that colonialism refers
imperialism can be noted: Schumpeter 1951:3-130 to group domination and not to social relations and
and Lenin 1939.) For those in the humanities who are processes among sets of individuals at the family or
dubious of the possibility of discovering general explana- subclan level.2 Two basic types of group domination can
tions, i.e., who embrace an idiographic perspective, the be distinguished: intergroup and intragroup domination.
lack of explanation may not appear relevant. Since a The criterion employed to differentiate the two is
sizable portion of the literature on colonialism is found cultural homogeneity or heterogeneity.3 Intergroup
in the humanities, this point is especially important. The domination refers to the domination process in a
position taken in this paper is that the long-range test of culturally heterogeneous society and intragroup domina-
the adequacy of a definition is that it should lead us to tion to that in a culturally homogeneous society. In
theory and that one step in our quest for theory is to have Britain, both inter- and intragroup domination can be
a way of ordering reality. found, more clearly so in the past than today. The
3. Lack of flexibility in definitions of colonialism. domination of the English over the Welsh, Irish, and
Definitions and classifications should accommodate Scots was a clear example of intergroup domination. At
new findings. Therefore, they must have sufficient flexi- the same time, within English society there exist clear
bility to allow manipulation or articulation.
4. An ultraconservative attitude toward words and
1 That the wellspring of colonialism and imperialism is the power-
their meanings. Koebner (1949; Koebner and Schmidt
seeking behavior of men is a frequent point of departure on the
1964), for example, has shown how the concept of subject (see Landers 1961, Kohn 1958, Maunier 1949:13-14), but
imperialism developed as relevant initially to British definitions of power have either been so rigorous as to be of limited
utility or, where applicable generally, ambiguous (see Riker 1964
foreign policy only. Rather than ask how people have for a review and analysis of definitions of power from five disciplines).
used a particular word, I shall attempt here to deter- Intuitively, my conception of power seems most closely associated
mine what the colonial phenomenon is. Many words with that of Dahl (1957) and Cartwright (1959). My inclination is to
develop another fictional creature like Economic Man, whom we
depicting colonial-type relationships are so close in may call Political Man, who lives only to seek power. Parsons (1963),
meaning that they may be regarded as synonyms, and in an attempt to view power as classical economists view money,
starts in this direction.
the urge to discover the specific semantic content of
2 That colonialism refers to relations among groups is apparently
each term only contributes to unnecessary confusion. so obvious as not to require comment or even mention by many
"Neocolonialism" is a case in point. The first use of the concerned with colonialism. Eventually, what kind of group we are
considering must be defined. Sociologists concerned with groups
word may have occurred in the 1950's. Newly inde-
have focused upon culturally homogeneous populations, and their
pendent nations found themselves only partially inde- definitions reflect this. For example, Homans (1950: 1) defines group
pendent, and a new term to be exploited for political as "a number of persons who communicate with one another often
enough over a span of time, and who are few enough so that each
purposes was needed. The events of the early 1960's, person is able to communicate with all other people, not second-
especially in connection with the secession of the hand, through other people, but 'face to face.' " Homans states
Katanga from the Congo plus the military activities of (p. 85) that the meaning of group depends on what persons are
considered to be outsiders to the group.
white men and Western nations in the Congo, provided 3 Defining cultural homogeneity itself would appear to be no
the emotional ingredients for the birth of the term. But simple undertaking, if the discussion surrounding the concept of
what is the difference between economic imperialism, social and cultural pluralism is any indication (see Furnivall 1948,
Smith 1960, Kuper and Smith 1969, Despres 1968). The term
semicolonialism, and neocolonialism? That these words "cultural heterogeneity," as I use it here, would appear to include
exist is not a sufficient reason for scholars to define them Smith's concept of plural communities; the term "cultural homo-
geneity" includes both homogeneous societies and heterogeneous
discretely.
socielies without plural enclaves and/or plural communities (Kuper
What follows is an attempt to define colonialism and Smith 1969:35-36).
CURRENT ANTHROPOLOGY

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
DOMINATION
COLONIALISM IMPERIALISM
(Settlers) (No settlers)
GROUP NONGROUP
Extermination 1 4
Assimilation 2 5
INTERGROUP INTRAGROUP
Relative equilibrium 3 6
COLONIALISM IMPERIALISM
FIG. 1. First steps in the development of a definition and FIG. 2. Colonialism and imperialism classified in terms of
classification of colonialism. relationship between the dominant and the dominated.
strata (groups) among which a hierarchial arrange- and (3) relative equilibrium, i.e., neither extermination
ment of power, wealth, and status exist, in other words, nor assimilation.5 The logical types of colonialism and
intragroup domination. Since intragroup domination imperialism produced by the two major variables-
is not considered a form of colonialism, it is with inter- settlers/no settlers and the relationships between the
group domination that we are concerned. dominant people and the dominated-are shown in the
The important difference between colonialism and matrix of Figure 2.6
imperialism appears to be the presence or absence of The matrix generates six logical types, three of
significant numbers of permanent settlers in the colonialism and three of imperialism. Type 1 is coloniza-
colony from the colonizing power. (This distinction is in tion in which the dominant relationship between the
keeping with the thinking of others on the subject; colonizers and the colonized is extermination of the
see, e.g., Hobson 1902.) The domination of Latin latter. In the extreme sense of the word, to exterminate
America, North America, Australia, New Zealand, is to root out totally or eradicate. History provides us with
South Africa, and the Asian part of the Soviet Union by relatively few examples where total extermination of
European powers all involved the migration of perma- the inhabitants of geographic entities occurred-among
nent settlers from the European country to the colonies. them the European occupation of Tasmania and of
These places were colonized. Most of Africa and Asia, on some of the Caribbean islands-but extermination of the
the other hand, was imperialized-dominated but not inhabitants of vast areas of America, Australia, Canada,
settled-and the countries involved are noticeably and Tsarist and Communist Russia (Baczkowski 1958: n
different today, in part, because of the nature of the 6) can also be cited here.
domination process. Therefore, colonialism refers to that Type 2 is colonization in which assimilation is the
form of intergroup domination in which settlers in relationship between the colonizers and the colonized.
significant numbers migrate permanently to the colony Among the many examples of this type are Hispanicized
from the colonizing power. Imperialism is a form of inter- Latin America and the Philippines (see Foster 1960,
group domination wherein few, if any, permanent settlers Reed 1967), the Arabicized and/or Islamicized Middle
from the imperial homeland migrate to the colony. East, and the Sinicized East and Southeast Asia (see
A graphic summary of the model as it is developed Wiens 1954). In each of these examples, and the many
thus far is given in Figure 1. others that could be offered, the colonizers acted as a
We can digress briefly to show how this scheme might "donor" culture and the colonized people constituted a
handle the phenomenon social class. The term "class" "host" culture, with a vast amount of cultural transfer
is often used, at least implicitly, to refer to the hier- going, as the name implies, from donor to host. (The
archical arrangement of status, power, or wealth groups concepts of donor and host were developed to facilitate
within a culturally homogeneous population.4 In the understanding of the cultural processes operating in
light of this, a consideration of colonialism is not a Mexico in the early colonial period [see Foster 1960:
consideration of class. A definition of class could be Chap. 2] but are equally applicable elsewhere. Toynbee
generated by articulating the intragroup side of the [1963: 139-40], for example, discusses a somewhat
model. For example, a stratified/nonstratified variable similar process, though in different terms.)
could be added as a start. Class, partially defined, is a Type 3 is colonization in which settlers neither
stratified form of intragroup domination. Nonstratified exterminate nor assimilate the indigenes. Settlers and
group domination could be illustrated by power relations indigenes may live either side by side or apart, but in
within clans or lineages, if the clans or lineages were large either case there is a lack of wholesale acculturation or
enough to qualify as groups. A full definition of class eradication (this is not to imply that no culture change
would require the addition of other variables. occurs). Among the former European colonies that
Let us now turn to the problem of the types of relation- exemplified this type are Algeria, Rhodesia, Kenya,
ships that colonial and imperial powers have had with the South Africa, and Indonesia.
people they have dominated. Consider, for now, three
basic relationships: (1) extermination, (2) assimilation,
5Other relationships may need to be added with further research.
This portion of the paper was developed initially in connection
4 Ossowski (1966) shows that the term "class" only emerged with with an earlier paper (Horvath 1969) concerned with the concept of a
the decline of the estate system in Europe-which I suspect also colonial city.
signals the cultural homogenization of population at the national 6Three cultural relationships have been used rather than two
level. The development of strata within homogeneous populations dichotomous variables-extermination/nonextermination and assi-
seems to have required a new term. milation/nonassimilation; the result, however, is the same.
Vol. 13 * No. I February 1972 47

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
1. Power D
contact. The Buganda are a case in point; prior to the
British period, they actively engaged in imperialism, and
2. Group G NG after the arrival of the British a process of "sub-imperi-
alism" was initiated (Roberts 1962). A good deal of what
3. Cultural homogeneity Inter Intra Smith (1969a:n 9) calls "inter-ethnic accommodation"
can also be considered as colonialism and imperialism in
4. Settlers C I these terms. The city-states of the classic world provide
another series of examples; and Luthy (1961:485) goes
so far as to assert, "It might be said that the history of
5. Relations A N E A N
colonization is the history of mankind itself."
At least since the rise of the nation-state in Europe, the
6. Stage of Do In Do In Do In Do In Do In Do In political status of the people in question has been seen
political as relevant to the morality of domination. What is
development appropriate treatment for cultural minorities within the
confines of a territorial state is not so for groups outside the
FIG. 3. A generated model of colonialism. The variables borders of that state. (This assumption partially accounts
(differentia, in Aristotelian terms) incorporated into the for the inconsistencies in the use of the terms "colonialism"
classification at each level are indicated at left. A, assimilation;
and "imperialism" mentioned in the introduction; Tibet,
C, colonialism; D, domination; Do, domestic; E, extermination;
for example, belongs to China, according to the Chinese.)
G, group; I, imperialism; In, international; Inter, intergroup;
Intra, intragroup; N, neither; NG, nongroup. My own view is that domestic colonialism and imperi-
alism are not fundamentally different, as forms of
domination or exploitation or as cultural processes, from
Type 4 is imperialism with extermination. This may be international colonialism and imperialism. What is the
primarily a logical type which rarely, if ever, has difference between the suppression of non-Muslim
occurred in history-unless purely punitive military peoples in southern Sudan by northern Muslims and the
adventures (arising from a kind of "destroy the village imperializing of all Sudan by the British? Not much.
in order to 'save' it" mentality; see Willhelm 1969 for a Yet at this time it is useful to distinguish between
discussion of how well American experience exemplifies domestic colonialism and international colonialism here,
this type) are so considered. Purely logical types are if for no other reason than to show their basic similarity.
highly likely when mechanical generation-schemes such The domestic/international dichotomy will be the last
as the matrix arrangement of variables are employed. major variable to be incorporated into the classification
The scheme itself is not judged by the number of empty in this section. Twelve logical types result. Domestic
cells, i.e., the number of purely logical types produced; imperialism is that form of intergroup domination that
rather, the number of such types reflects upon the occurs within the confines of a recognized autonomous
productivity of the variables chosen. political unit (polity).7 Domestic colonialism differs
Type 5 is imperialism with assimilation between the from domestic imperialism only in that permanent
imperial power and the dominated people. It would settlers from the colonial power participate in the
appear that Lattimore's (1955; see also Murphy 196 1) domination process. International imperialism and
concept of the satellite is similar to this type ofimperialism,
colonialism are distinguished by the control of one
and therefore the satellites of the Soviet Union can be political unit over another.
considered as examples. Figure 3 summarizes the above classification.
Type 6 is imperialism with neither extermination nor
assimilation. Here a great number of examples exist,
including most of Europe-dominated Africa and Asia. FURTHER MANIPULATIONS
One would suspect that this final type is by far the most
frequent kind of imperialism because, when no perma- Unlike former attempts at defining colonialism, the
nent settlers are involved, assimilation and extermination system of definitional analysis offered above can accom-
are less likely to occur. modate new findings. That not all aspects of every term
Thus far no mention has been made of the nature or the are contained within the definitions generated is not
stage of development of the political units involved in a shortcoming of the modeling procedure, nor necessarily
colonial or imperial situations. Colonialism and imperi- of the model itself. Certain features have intentionally
alism have come to be regarded, all too commonly, as been left implicit for the sake of brevity. Necessarily,
phenomena restricted to the relations between Western judgments have been made as to which variables were
nations and peoples of the Third World. One implica- significant and which were not. But how significance is
tion of this view is that the stage of the political develop- determined is unfortunately not simply answered
ment of either the dominant state or the dominated before theory.
people is relevant to the definition of colonialism. Once produced, definitions and classifications, like
Another implication is that colonialism as a form of theory, are compared with reality. The question asked is:
domination, or as a type of exploitation, or as a cultural Do the definitions and classifications apply meaningfully
process, is linked to the rise of the nation-state in Europe. to a particular cultural situation in a particular locale ?
I find this view of colonialism indefensible. Colonialism
and imperialism were practiced, for example, by a wide 7What constitutes "recognition" is difficult to pin down; I use
variety of peoples at different stages of political develop- the term here in the sense of an enduring consensus by the power
groups, including nations and subnationalities, concerned with a
ment in Mfrica south of the Sahara before Euronean particular situation.
48 CURRENT ANTHROPOLOGY

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
If, through such comparison, the model is found to be Horvath: A DEFINITION OF COLONIALISM
unacceptable, two courses of action are possible:
modification or rejection of the model. Modification is informal variable above that of settlers is that 12 types
considered first. are generated at the level of the relationship distinctions
A specialist on domestic imperialism in India might and 24 types at the level of the political-stage dichotomy.
object to the lack of any linguistic consideration, e.g., the Alternatively, the formal/informal distinction might be
role of Hindi, in the definition. Another, concerned with added as the fifth, sixth, or seventh variable, with differ-
19th-century British imperialism, might ask: Where is ing consequences. The choice among alternatives is
any discussion of economic exploitation? If such determined by the number of meaningless categories-
specialists feel that the definitions are essentially correct categories that are paradoxical (conflict logically) or are
and that only a few modifications are necessary to right unlikely to have occurred in history (or to occur in the
the scheme, then two kinds of modifications can be made. future ?)-created in each case.
The first is to handle the feature concerned as another A second approach to modification would be to
variable, perhaps appending it directly to the model decide that the feature in question is equivalent to the
already developed. If this feature, the seventh variable, domination variable. Accordingly, the new feature
were dichotomous, then 24 logical types would be would be added as another dimension coequal with
generated at the seventh level. Alternatively, the new domination. Such a decision could generate a new
variable might justifiably be inserted at some higher level, system that could also be interconnected with selected
making necessary a rearrangement of that part of the features of the model of colonialism presented here.
model that follows it. If the interests of the researcher The utility or power of any model is only partially
were limited, only minor modifications would be defined in terms of the problems it has solved. Equally
sufficient. For example, a researcher might not be important, if not more so, is the promise of solutions to
satisfied with the definition of Type 6 (imperialism with a other problems. Therefore, inherent flexibility is an
relative equilibrium relationship) because it makes no important source of strength, not weakness.
distinction between what has been variously called Rejection of a definition or classification should come
economic imperialism, semicolonialism, and neo- only when the researcher has found an alternate scheme
colonialism and the politically more formal varieties of that better defines or classifies the phenomenon under
imperialism, e.g., the difference between Ghana just consideration. (This is not to imply that a counter
before and just after independence. To deal with this instance cannot invalidate a particular classification, but
shortcoming, a dichotomous variable, formal/informal, only that definitions and classifications should allow for,
might be inserted. and in fact anticipate, new cases.) Such a scheme would
If we insert the dichotomy above the settler/no be one that is more general (applicable to a greater
settler variable, two types of intergroup domination number of cases) and simpler (promoting at least as
result: formal and informal intergroup domination. In much understanding in more parsimonious terms). To
turn, two types of colonialism and two types of imperi- reject a scheme without a replacement for it is not the
alism would follow: (1) formal colonialism, (2) informal way of normal science (Kuhn 1962: 77, 79).
colonialism, (3) formal (direct) imperialism (admini-
strative imperialism), and (4) informal imperialism.
Formal colonialism has already been defined simply as SOME IMPLICATIONS
colonialism; informal colonialism is that form of inter-
group domination that results from the voluntary The proposed definitional and classificatory sch
migration of permanent settlers from places other than implications that extend well beyond the limited
the metropolis, for example, Asians to Africa, the objectives of this paper. The scheme suggests a metho-
Chinese to Southeast Asia, non-Anglo-Saxons to North dology, only partially explicit, that shows promise of
America. (Not all migration of this kind results in being capable of handling fairly complex social and
domination, as is evident in the case of the Africans who cultural phenomena. Two qualities of the methodology
were brought to the New World.) Some of these groups are worthy of note.
have been referred to as "strangers" (in the African The first, already discussed, is its capacity for modifica-
literature) or as "pariah" peoples, and it is characteristic tion and articulation. Existing methods also have such
of them that they resist, or are not permitted, assimilation.capability, but characteristically defining is done on a
According to Weber (1946), a pariah people does not "take-it-or-leave-it" basis. Although qualifications-
possess territory. Administrative imperialism is that e.g., that a definition is tentative, needs to be tested, and
form of intergroup domination in which formal (direct) the like-are typically made in connection with the
control over the affairs of the colony exists through a definitional process, definitions are either accepted or
resident, imperial, administrative apparatus. Informal not, as is, by scholars. One reason is that the metho-
imperialism is synonymous with neocolonialism, semi- dology for elaboration, modification, or rearrangement of
colonialism, and economic imperialism and is a type of components is not made sufficiently explicit. The only
intergroup domination in which formal administrative constant in science is change. Definition, like theory,
controls are absent and power is channelled through a must anticipate change. The methodology offered here is
local elite. Under this definition, the satellites of the a syntax for semantics. The graphic symbolic qualities
Soviet Union and British-dominated territories such as of the scheme have merit in that they are more easily
Northern Nigeria fall into the same class, to be differenti- mastered than the symbology of logic or mathematics.
ated later on the basis of the relationship variable. A A second feature of the methodology is that it stresses
further consequence of the decision to insert the formal/ the interrelatedness of the variables. To be a scientist in

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
Western civilization has been to analyze, to take apart, too, especially in the American South and more clearly
to see the whole from the point of view of its components in the past, had a caste status. Although racial considera-
in the tradition of categorical philosophy. In natural tions did play a role in defining the status of blacks and
science this method has been productive; in the study of Indians, more important perhaps were cultural consider-
man, it has not. Independent entities are nonexistent in ations; for example, blacks could be exploited whereas
human relationships. All is one. A study of colonialism Indians could not, and the latter were, therefore, viewed
is a study of social structure; a study of social structure is as pests to be exterminated.
the study of value systems; and so on. The methodology Whereas the caste system in India is believed to be
used in this paper identifies parts (variables) and shows breaking down, the caste system in South Africa is in a
their relationship to other parts. Parts compose wholes. dynamic process of emergence. The separate develop-
Accordingly, analysis and synthesis, i.e., seeing parts ment of whites and blacks is well known, but less well
from the point of view of the whole, merge. The way in known is the separation of white cultural groups: those of
which the proposed methodology handles the inter- Dutch vs. British origin. The policy of apartheid requires
relations of different dimensions of cultural and social that the various racial and cultural groups maintain and
phenomena can be illustrated by an analysis of the develop their separate life-styles and cultures by living in
term "caste." residentially segregated districts and coming together
The methodology makes it difficult to define pheno- only for purposes of work; in some respects, this is how
mena in isolation. A consideration of colonialism as a the caste system in traditional India functioned. True,
form of domination relates to the phenomenon strati- there are many differences between the two; South
ficational systems, i.e., class and caste. Of these, only Africa's caste operates within a market nexus rather than
caste is related to colonialism or imperialism as defined the redistributive nexus that characterized the tradi-
here. Caste is a form of social stratification wherein tional Indian economy (Polanyi, Arensberg, and
status, wealth, and power are hierarchically arranged Pearson 1957: Chaps. 11, 12). The point of this analysis
according to ethnic considerations and where no upward of caste is that a process (imperialism) and a social form
mobility is theoretically possible.8 Caste is normally (caste) are tied together. The separation of the process
associated with India, but certain of its features are more and the social structural form promotes more confusion
widespread than is often appreciated. Caste is a form of than it does understanding.
domination. Groups or subgroups, in this case castes or
subcastes, are clearly based on ethnic criteria. In modern
India, one caste does not normally colonize another CONCLUSIONS: A GENERATED GLOSSARY
caste's territory, although the historical origin of the
caste system appears to have been related to colonialism The purpose of this paper has been to define colonialism
as the term has been defined in this paper. One caste and some related phenomena. The following set of
neither exterminates nor assimilates other castes, but definitions was generated by the procedure employed:
rather there is relative equilibrium among them. Finally, 1. Domination is the control by individuals or groups
caste is not considered an international phenomenon, but over the territory and/or the behavior of other indivi-
something that occurs within some political unit. There- duals or groups.
fore, caste is a type of social structural form that is a 2. Intergroup domination is the domination process in
result of domestic imperialism with relative equilibrium a culturally heterogeneous society, intragroup domination
existing among strata (groups) that are ethnically that in a culturally homogeneous society.
heterogeneous. 3. Colonialism is that form of intergroup domination
Using this definition, we can find caste in America and in which settlers in significant number migrate per-
South Africa as well. Afro-Americans and American manently to the colony from the colonizing power.
Indians have had and still do have to some extent a 4. Imperialism is a form of intergroup domination in
castelike status. Those Indians who survived the exter- which few, if any, permanent settlers from the imperial
mination phase of American imperialism and coloni- homeland migrate to the colony.
alism were given a castelike status and placed on 5. Class is a form of stratified intragroup domination.
reservations (may we call them Indianstans?). Blacks, 6. Domestic imperialism is that form of intergroup
domination which occurs within the confines of a
8 There seem to be as many definitions of caste as there are of recognized autonomous political unit (polity). (With
colonialism. My definition here is in keeping with distinctions international imperialism the dominating group often
recognized by others (cf. Ossowski 1966: n 1 1). Weber (1946: 189)
becomes synonymous with the dominant political unit,
distinguished between caste and ethnic segregation as follows:
"The caste structure transforms the horizontal and unconnected though a class analysis provides a more realistic under-
coexistences of ethnically segregated groups into a vertical social standing of the process involved.)
system of super- and sub-ordination. Correctly formulated: a com-
prehensive societalization integrates ethnically divided communities 7. Administrative imperialism refers to that form of
into specific political and communal action." A definition of caste intergroup domination in which formal (direct) controls
formulated for the U.S.A. and India by Harper (1968:74) is "a type over the affairs of the colony exist through a resident
of social stratification system in which all members of a society. . . are
clearly assigned to one or another bounded social stratum, initially imperial administrative apparatus.
through rules of descent...." The view taken here in connection 8. Informal imperialism is synonymous with neo-
with caste is similar to that taken toward colonialism: caste is a
colonialism, semicolonialism, and economic imperialism
social and cultural phenomenon that varies from society to society,
yet there are certain features of caste that hold for all societies. The and is a type of intergroup domination in which formal
definitional procedure should rank those features of caste hier- administrative controls are absent and power is channelled
archically, placing the most general features at the top and the more
through a local elite.
specific (found in few societies with caste systems) in the lower
portion of the hierarchy. 9. DSomestic colonialism dife~rs from domestic im-

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
perialism only in that it involves permanent settlers Horvath: A DEFINITION OF COLONIALISM
moving from the colonial power.

10. Informal colonialism refers to that form of inter- existing among strata (groups) that are ethnically
group domination that results from the voluntary heterogeneous.
migration of permanent settlers from places other than The definitions provided here by definitional analysis
the metropolis. do not deny the complexity of reality, but rather attempt
11. Caste is a type of social structural form that is the to identify the major strands of the richly woven fabric
result of domestic imperialism with relative equilibrium that is human affairs.
Abstract paper. The model first identifies the variables relevant to

colonialism and imperialism and then hierarchically
Colonialism, imperialism, and neocolonialism are terms orders the variables, with definitions resulting at each
that remain undefined despite the enormous literature level. A procedure by which the definitions may be
devoted to the phenomena. Within the academy and modified by future research findings is offered. Finally,
without, a critical evaluation of colonialism, imperialism, it is suggested that the relationship between social
and neocolonialism is going on-and definition is a pre- stratification systems and colonialism and imperialism
requisite for critical evaluation. A model for generating may be defined through a further articulation of the
definitions that are logically consistent is offered in this model presented here.
social reality, this ideology can only scholarship"-including that under re-
Comments obfuscate all that reality while giving view here-to come, or to be willing and
the illusion of explaining its parts. able to come, to grips with colonialism,
by ANDRE GUNDER FRANK* A result of this by scientific standards imperialism, and the political, economic,
unacceptable methodology and an ex- and sociocultural structure and process
Santiago, Chile. 30 iv 71
ample of its resultant obfuscation is the of the society that requires and generates
As Horvath quite rightly points out, "definition of colonialism" in terms of them.
"definition, classification, and expla- the presence of significant numbers of
nation (theory) are difficult to separate." permanent settlers which claims to liken
Thus, this "definition" of colonialism by DAVID JACOBSON*
is really a theory of colonialism and an the domination of Latin America, North
Waltham, Mass., U.S.A. 14 Iv 71
integral part of a theoretical methodo- America, Australia, New Zealand, South
logy or ideological approach to society Africa, and the Asian part of the Soviet Certain aspects of Horvath's paper
and its study-and to the preservation of Union, obscure his attempt to introduce order
its status quo. But this theory is not into the study of "colonialism." Horvath
scientific by Horvath's or any other which any child in the dominated real claims that scholars "have failed to
acceptable standard, which-as he also world would unmask as the emperor's provide us with definitions of coloni-
rightly observes-"in Western civiliza- ideological clothes. For a scientific treat- alism," although his argument is based
tion has been to analyze, to take apart, ment (whatever its shortcomings and on a critique of others' definitions of
to see the whole from the point of view one's reservations), the reader may com- colonialism. Perhaps his point is that a
of its components." pare this ideology with the holistic, useful, productive, or, in some other way,
The methodological definition or concrete historical methodology of critical definition has not been offered,
definitional methodology under review, Ribeiro (1970), which leads to very but such qualification raises the problem
far from being holistic, is antiholistic, different, scientifically much more accep- -which he explicitly avoids-of speci-
abstract logical (or more precisely table, and certainly more realistic results. fying a theoretical standard by which
definitional) typologic-hence "type 4... The reasons why "scholars have failed" conceptual utility may be evaluated.
a logical type which rarely, if ever, has go far beyond the four (insufficient cross- Horvath further confuses the issue by
occurred in history"-, and in the worst cultural perspective, lack of theoretical asserting that he is not concerned with
tradition of Western scholarship it is perspective, lack of flexibility, and ultra- analyzing the uses (and meanings) of the
antihistorical. Therefore, this methodo- conservative attitude toward words and concept of colonialism, but rather with
logy is quite at one with that of those their meanings) identified by Horvath. "what the colonial phenomenon is."
scholars of whom Horvath rightly The real reasons are to be sought not so He constructs categories of attributes
observes that much in attitudes toward mere words or which he chooses to label as varieties of
limited outward-directed perspective- colonialism or imperialism, but their
although colonialism ranks with the most which are only derivative reflections-as utility remains problematic until care-
influential processes in human history, in these scholars' ultraconservative atti- fully and systematically applied to
Western scholars have not really come to tude and limited perspective in regard to empirical cases. Definitions constitute
grips with the phenomenon. their own society and to their own role one element essential for the discovery
as ideologists in and of that society. Simi- of order, but their utility is based upon,
Nor can they, with a method-ideology larly, the explanatory limitations of the and measured in terms of, their implica-
that pretends to analyze reality by for- cited incursion into the sociology of know- tions for theoretically understanding, or
getting its holism, disregarding its ledge are a reflection also of this same explaining, relationships between (cate-
concreteness, and denying its history. attitude and perspective. It is this political gories of) phenomena. The construction
Far from coming to grips with coloni- attitude and perspective of these scholars of a definition itself implies a theoretical
alism and other unpleasant aspects of ,.A-.A -ph p +ite lk-^ _h -iirP of VAW_qt_r framework, however implicit, the signifi-

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
cance of which is underestimated when definitions of relationships, as in the retical debate that has raged around
definitions are analyzed in terms of a abstract, or "implications." I propose Smith's (1965, 1969b) view of socio-
"pretheory stage." "Definitional analy- here to examine some aspects of this cultural pluralism, merely substituting
sis" may be useful for conceptual clarifi- implicit theory and to relate it to certain the term caste for Smith's concept of
cation, but Horvath's argument would be explicit theoretical debates within the plural section. The fact that Smith is
greatly strengthened if he were to make discipline. explicitly theoretical and Horvath denies
explicit the theoretical implications of Horvath uses domination as his first theoretical preconceptions does not
his definition of colonialism. significant variable. The term domination change the situation substantially.
is taken to refer to power relations. Horvath's implicit argument parallels
Therefore a judgment is here being made that of Smith's exposition of the plural
by MADELINE BARBARA LE'ONS* that for the analysis of the phenomena at society rather closely. To oversimplify
hand political relationships are more Smith's complex argument, the plural
Baltimore, Md., U.S.A. 4 v 71
significant than, for example, economic society is differentiated into segments
I was encouraged to be sent a manu- or cultural relationships. The theoretical which are institutionally distinct from
script dealing with the phenomena of scheme within which this definition one another. The society is maintained
colonialism and imperialism destined would be useful would be one which through the monopoly or control of the
for publication in CURRENT ANTHRO- grants explanatory primacy to political political institutions of the society by one
POLOGY. Systematic attention to these processes. A theoretical scheme giving of these sections, which constitutes a
subjects in anthropological journals is explanatory primacy to economic pro- dominant minority. Smith rejects the
long overdue and very welcome. I cesses would find it less useful. The applicability of class analysis to the
should like to question, however, the question of inevitable theoretical bias plural society because, he contends, such
utility of an exercise in definition built into a definition is not one to be analysis assumes an integrative and
divorced from explicit theory and to solved merely by rearranging or adding continuous status continuum which is
examine critically some of the implicit to the variables. Can variables be sub- not present in plural societies. Horvath's
theoretical underpinnings of Horvath's tracted as well? That would amount to view of ethnic groups as hierarchically
definitional scheme. writing your own definitions to suit the arranged castes emerges as a caricature
I share Horvath's concern with the problem, which is what is generally done. of Smith.
use of words. If the meanings of words If variables cannot be subtracted, There is a great deal of utility and
are unclear, understanding is impaired. Horvath is imposing his own basic set of enduring value in Smith's formulation,
For example, I am not sure what he distinctions where they may or may not but one of its most questionable aspects
means in his use of the term "ethnic." be apt. is the dichotomy between class-stratified
Does he mean to imply racial distinc- Horvath's first manipulation is to societies and plural societies, to the
tiveness or cultural distinctiveness or differentiate between intragroup domi- extent that they must be analyzed in
both? The term has been used all three nation and intergroup domination. We different terms. I have taken issue with
ways, and its meaning here makes a are subsequently told that the social this contention (1970) along with other
difference to the understanding of his stratification produced by the exercise of of Smith's critics (McKenzie 1966,
argument. domination ("domination process") in a Tuden and Plotnicov 1970). Yet it is
Despite this common concern, I must culturally homogeneous society is to be precisely this dichotomy which Horvath
question the value of this contribution. defined as class. Class thus refers to the perpetuates in his distinction between
I have certain minor quibbles over hierarchical arrangement of status, power, homogeneous class society and hetero-
consistency, such as the discussion of or wealth groups in such a society. How- geneous caste society.
Africans brought to the New World ever, the implicit theory is not developed It is the case, as Horvath points out,
within a category of voluntary migrants. to tell us whether, or the extent to which, that many writers (particularly socio-
My fundamental quarrel, however, is these groups coincide or to elucidate the logists) have used the term class in the
with the author's assumption that relationship between political power, context of culturally homogeneous socie-
definition "leads to" theory-that it is a status, and wealth. (One of the problems ties in which values are shared. In fact
way of ordering reality which is prior to of implicit theory is that the implications Smith's views may be better understood
theory. Although Horvath acknowledges of theoretical assumptions are likely not in terms of his own intellectual confron-
the difficulty of separating definition and to be pursued.) The exercise of domina- tation with the Parsonian theory of
theory, he then proceeds to do so. I tion within a culturally heterogeneous action. But, as Horvath also states in
would suggest that it is not useful to society produces a different kind of another context, we need not be bound
separate definition from a theoretical stratification, caste stratification, wherein by the way in which words have been
context. used by others.
As Horvath indicates, the process of status, wealth, and power are hierarchically I would contend that it is theoretically
definition involves the selection of a few arranged according to ethnic considerations more useful to have the term class refer
variables as "significant" while other and where no upward mobility is theo- to the distribution of wealth, power, and
variables are ignored as insignificant retically possible. status (each analytically separable) in
or less significant. This selection process any state-organized society, including
must be justifiable, if it is not mystical This analysis applies to all situations of those which are culturally and/or racially
or completely arbitrary, and the justi- internal colonialism, a category in which heterogeneous. Unless we can separate
fication can only be on the theoretical Horvath includes the United States, analytically the distribution of these
grounds of utility in a system of explana- India, and South Africa. Questions of scarce goods from race and ethnicity
tion or prediction. Horvath claims that agreement with this specific categoriza- (cultural differences), we cannot see
the basis for selection is metaphysical tion aside, we are here introduced to two how they may vary independently or
and implicit. I would translate this to different types of societies, homo- alter their relationships over time.
mean that the theoretical basis of many geneous and heterogeneous, character- According to Horvath's view of caste we
definitions has been left implicit, in my ized by two different forms of stratifica- must assume by definition that wealth,
view unfortunately so. His own definition, class and caste. power, and status are differentially dis-
tional structure is loaded with implicit I submit that this whole discussion tributed among hierarchically ranked
theory, which he chooses to call retraces the same ground as the theo- ethnic groups and that this relationship

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
is "theoretically" immutable because no Horvath: A DEFINITION OF COLONIALISM
mobility is possible. On the other hand,
Horvath himself contends that the caste In addition, I do not see in this paper the study of specific problems. Perhaps
system in India is breaking down while any systematic discussion of process, the this is what Horvath is doing, but there
a caste system is crystallizing in South ways in which domination takes place, is no indication of it. True, his scheme is
Africa. When the relationships between whether by resident commissioners or flexible in the sense that further differ-
power, wealth, status, and ethnicity do Jesuit priests, by armies or by strategic entiations can be built into it, but this
demonstrably change, we can, if un- manipulation of key elements in the way lies the early danger of arriving at
impeded by Horvath's definitions, ask economy. Why does a people accept categories more numerous than cases.
the question why; if they do not change, domination by another? What aspects Proof of these points is that the model
we can ask why not. According to of peoples' lives are dominated? Why immediately shows its weaknesses in
Horvath's formal scheme, the first does a people want to dominate another? relation to the examples so cursorily
question would be impossible and the These are really vital questions. In my adduced. There is not much difference,
second meaningless. own work on colonialism in Brazil, I we are told, between the suppression of
have come to realize that some of the key non-Muslim peoples in southern Sudan
factors are the motivating goals and the by northern Muslims and the imperia-
institutional organization of the domi- lizing of all the Sudan by the British.
by ROBERT W. SHIRLEY* nating power. Economics as well as The crucial point, which the model
politics play an important role here, seems to have prevented Horvath from
Toronto, Canada. 30 iv 71
and these elements interweave with seeing, is that the one was largely the
It is an extremely important topic that Horvath's categories in ways that could cause of the other. The British drew a
Horvath has examined here, and I for go far to explain them dynamically. His hard and fast line between the north and
one am happy to see that social scientists logical type 4, imperialism with extermi- the south which had not existed before.
in the United States are beginning to nation, for example, might fit an In the north they fostered Arabic and
study a problem Latin American intel- imperial system where the goal was to Islam, already dominant there, in the
lectuals have worked on for years, namely extract certain natural resources, say south English and Christianity, both
the patterns of domination by one oil or minerals, yet where the local new to the area. We may formulate a
people over another. I do think, how- population could not be "assimilated" law, not suggested by Horvath's model,
ever, that this paper would have been into a labor supply for the extractive stated oversimply for the sake of brevity,
much more useful if it had appeared ten economy and interfered with the oper- that when an imperial power confers
years ago. A generative, formal classi- ations of that economy. This occur- formal political autonomy upon a
fication such as this offers a valuable red, I believe, to some extent in the country fundamentally split by a single
take-off point for further research, but early years of the Belgian Congo and overriding cleavage, the constitution
can never be seen as "complete." is one of the major factors leading to cannot survive and there will be dis-
Certainly the categories chosen for the the suffering of the Brazilian Indians order and bloodshed until a solution is
definitions are very important ones, today. adopted which blurs the cleavage. This
mainly demographic factors of settle- Thus while I find some merit in applies to northern and southern Sudan,
ment vs. nonsettlement and extermi- Horvath's definitions, I am not con- to Buganda versus the rest of Uganda,
nation or assimilation of the preexisting vinced that all of the variables relevant and to Northern Nigeria versus the rest
population. On the other hand, so much to colonialism and imperialism have of Nigeria.
is coming to be known today about the been identified, nor am I sure at this The caste example is equally infelici-
process of social stratification and the point that we really can fully identify all tous. Interpretation of Indian caste as
ways in which inter- and intragroup of them, especially in the spheres of historically related to colonialism has
domination is maintained (see, for economic domination and "neocolonial- simply not been a fruitful idea. Classi-
example, Furtado 1963, 1970; Prado ism." As for a system of classification fying the South African and United
Junior 1967; Balandier 1970) that a and a conceptual scheme, as least as far States situations as caste along with
paper such as this leaves one with the as Latin America is concerned, I am India, as has often been done, obscures
strong sense of the missing questions much more satisfied with the hell-for- more than it clarifies. I agree that it is
"How?" and "Why?" leather evolutionism of Ribeiro (1968, necessary to ask, as a preliminary
A number of points in this paper 1970), despite its many flaws, than I am question, what common elements are to
disturb me. I feel that social science with Horvath's meticulous logical types. be found in the Indian, South African,
might currently be better served by a and American systems of inequality,
series of overlapping definitional frame- but this does not solve the more impor-
works than by one fixed form. As Simp- by AIDAN SOUTHALL* tant questions raised by Dumont (1966)
son (1961: 27-28) has pointed out, a or Leach (1960) with respect to Indian
Madison, Wis., U.S.A. 7 iv 71
classification only has usefulness with caste. The model is even irrelevant to
regard to a specific theoretical frame- I have no criticism of the logic or co- Horvath's own point that
work (in his case, biological evolution). herenceofHorvath'sclassificatoryscheme.
The theory here is not clear, although it There is no escape from the fact that blacks could be exploited whereas Indians
is apparently related to demography. some enjoy this sort of thing more than could not, and the latter were, therefore,
The categories are not really watertight, others. It is rather out of fashion with viewed as pests to be exterminated.
but many times refer to complex many anthropologists because they do
continua. The meaning, for example, of not find it the most satisfactory road to The model does not distinguish ideology
assimilation vs. equilibrium is not fully illumination of the problems that interest from action: it would classify Portugal's
clear to me: are or were black Africans them. I think it represents at least a imperialism as international, whereas to
assimilated in the United States? in necessary preliminary mental process, Portugal it is domestic.
Brazil ? in the South African mines ? but fruitful analysis begins when one has I disagree profoundly with Horvath's
The answer to all of these is yes-and no passed beyond its confines. I doubt the view that domestic and international
-depending upon the criteria and the desirability of spending time on such imperialism and colonialism are not
domains discussed. schemes except in immediate relation to fundamentally different "as forms of
Vol. 13 * No. 1 * February 1972 53

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
domination or exploitation or as cultural analysis are reached, the models used and I could agree very easily on most of
processes." I think the situation of the (implicitly or explicitly) have to be the cases, since there is such a large grey
Indians in North America and of the focussed directly upon the context and zone in almost every case.
Kirghiz or Kazakh in the Soviet Union problem under study. It is only when I would object to having to force every
are already obviously different, but both maximum understanding of the inter- case into the simple pattern of the model.
differ fundamentally from the situation relationship of variables, in that context Although Philippine Hispanization looks
of Africans in the colonial territories of and with respect to that problem, has like a simple case of international
European powers. This is particularly been achieved that they can fruitfully be assimilative colonialism in one view,
so for two reasons. The formal distinc- related to more comprehensive models. there is a fair case to be made for domestic
tion between domestic and international colonialism in another view, in that
requires careful refinement. For example, Filipinos took over and utilized the
the oppression of Black by White South Spanish-introduced political institutions
Africans might be superficially classified byJ. E. SPENCER* to strengthen their own in order to
according to the model as domestic colon- maintain control of the evolving political
Los Angeles, Calif., U.S.A. 26 iv 71
ialism, but it is in a more important sense state, while Chinese residents converted
international imperialism. Unilinear The issue of colonialism, with which themselves into Philippinized citizens of
classifications are not good because the Horvath is concerned, cannot be dis- that same political state to secure a
requirements depend upon the problem. missed as much ado about nothing, but degree of economic control. Where am I
Furthermore, Horvath slips rather un- the difficulty is that seldom will anyone now ? And that Horvath provides for
obtrusively into his definition of domi- agree that a given case fits the simplistic further manipulation of the model to
nation as the control of territory and/or set of definitions when the criteria for take care of some problems is well and
behavior, but he gives no consideration to deciding a case are subjectively stated. good on the one hand, but fraught with
the vast implications of the latter. The And in this sort of problem there is not semantic danger on the other. For all
ubiquitous contemporary form of neo- just one Academy, but as many as there that, he has a fair start, but I want to wait
colonialism in which the behavior of are colonizers/imperializers, and each a time to see what greater clarity he can
formally independent governments is academy will see its own case through bring to this knotty kind of issue before
partly controlled by the trade networks its own perspective with its own per- I start labeling things with terms out of
and the diplomatic, economic aid, ception. This becomes quite clearly a the model.
intelligence, military, and financial insti- case of the West trying to impose a
tutions of the wealthy industrial nations simple universal definition of morality in
would presumably be classified by the aggression upon all the practicers thereof. by BRONISLAW STEFANISZYN *
model as international imperialism. For the academy of the West, the
Pittsburgh, Pa., U.S.A. 19 iv 71
Unfortunately this does not get us very definitions are intellectually sound but
far because it is so elementary. The model impractical in the sense that they are not I find the attempt to arrive at a defini-
stops at the point where interest begins. clear and objective measures by which tion of colonialism useful. However,
This kind of formal, aloof, Aristotelian all users must come to the same result. social and cultural anthropologists seem
model-building, without problem orien- For example, how many are "settlers in to have been able to do without this term.
tation, also carries the great danger of significant number," on the basis of They see colonialism as but one of many
ignoring or twisting problems of ambi- which we are to decide whether the case forms of culture contact, particularly
guity, ambivalence, and intermediacy is one of colonialism or imperialism? when they are dealing with directed
because they do not initially fit. For Although the Philippines did become culture change. Moreover, the anthro-
example, I have described Alur domi- Hispanicized to a remarkable degree, pologist concentrates primarily on the
nation (Southall 1956) as a process which there were never 10,000 Spaniards and effects of culture contact, whereas the
does not fit either the intergroup or intra-
part-Spaniards in the islands at any one historian and the political scientist, each
group categories of Horvath's scheme, time, but there were many times that faithful to the principles of his discipline,
and many writers have referred to similar number of Chinese and part-Chinese dwell more on the particular event of
cases elsewhere. resident there in late Spanish times. colonialization and therefore find it
Of course reality must be ordered to France set out to "colonize" her new difficult to proceed from the particular
be intellectually understood, but this holding in Indochina, but there were event to a generalization. The biblio-
kind of model provides only an initial never 50,000 French and part-French graphy accompanying the present article
approach, which has to be abandoned there, and there were over ten times seems to reflect this situation; most of
because adding to it all the further that many Chinese. At most there were the references cited come from historical,
differentiations which progressively be- just under 300,000 Dutch and part- economic, sociological, and political
come necessary leads to uneconomic Dutch in Indonesia, but over a million science sources, hardly any from anthro-
absurdities. When deeper levels of Chinese. It is very unlikely that Horvath pologists. Ex ore tuo iudico te.
thesis that these differences were due to

Reply colonialism. But what is colonialism?
discrepancy between what scholars de-
fined colonialism to be and the situations
by RONALD J. HORVATH Naively, I thought that I could go to the they identified as colonial ones stood out;
library for a couple of weeks and come up the former tended to be vastly wider
This paper arose out of my interest in with a satisfactory answer. A year later, than the latter. I concluded that Western
urbanization in the Third World. What it seemed that there were as many scholars had failed to come to grips with
impressed me initially was that the definitions as studies-and, worse yet, colonialism and imperialism. Of the
origins, processes, and patterns of urbani- that many studies were conducted with- many problems that must be dealt with
zation in Africa in no important way out the aid of definition, much less theory. in order to do so, my paper focuses upon
matched the expectations generated by To compound the confusion, many only one: the need to reduce the ambi-
the classic models and theories of urbani- scholars were doing studies of colonial guity surrounding the various terms
zation. I decided to investigate the hypo- relationships under other labels. The relating to colonialism. It does not

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
include a theory of colonialism; it does Horvath: A DEFINITION OF COLONIALISM
not deal with the politics or the morality
of colonialism. It does not even finish the evolution proposed by Darwin (both of have answers to questions such as: Is
task it has set out to accomplish. which, at different times, were con- domination part of our biological in-
Spencer, for example, correctly points sidered to be consistent with the same heritance, as Ardrey would lead us to
out that the criteria for applying these classificatory system). Southall says that believe? Do the forms of domination
definitions are not adequately spelled classification "is rather out of fashion vary significantly with changes in levels
out. Further specification is in order, with many anthropologists" and suggests of technology, e.g., preindustrial, indus-
but more empirical work and/or the that classifications are to be used only trial? Or are the differences associated
development of theoretical propositions initially and then "abandoned." I would with various kinds of institutions, e.g.,
should precede such specification. What argue that classifications cease to be feudalism, capitalism? The assumptions
a significant number of settlers is will important as a research focus only when one makes about the sources of domi-
depend upon what kind of answer is one of them has come to be widely nation can logically lead one to place
sought or is required by the theoretical agreed upon, and even then classification the cases cited into very different cate-
propositions. An empirical solution based is not abandoned, but built upon. gories; but these differences are not
upon purely demographic data might The research I have done for this dealt with in this paper. A serious and
examine the range of settlers involved in article has convinced me that colonialism prolonged discussion of the nature of
a variety of colonies. If the number is a universal phenomenon; all civiliza- domination and its relationship to the
needed to control an area were the tions have engaged in it, and it is likely kinds of variables that anthropologists
criterion, other problems would emerge; that many precivilized folk have also. In and other social scientists have been
for what Cortez could do in Mexico in order to define the phenomenon in a interested in (or should be interested in) is
1519 with a handful of Spaniards isn't fashion that will lead to theory, we need certainly called for.
possible in Vietnam in the 1960's with to know what the various types of Leons claims that Smith's work on
half a million Americans. But why colonial relationships have in common. pluralism is explicitly theoretical; my
would Spencer wait for me to make such Focus on differences alone has often led view is that it is primarily definitional,
specifications? Can cultural geographers to the conclusion that all relationships with only a weak commitment to theory.
be content with their scant treatment of are unique. The doctrine of uniqueness The last word I have seen from Smith
colonialism or with the ethnocentric and theory-building are antithetical. I (1969c:415) on the matter is
manner in which many have approached began, then, by asking what all types of
it (e.g., documentation of when we colonialism have in common, with the There does not now exist any agreed or
"discovered" them) ? object of considering differences after- systematic body of concepts and analytic
I am quite sympathetic with those who wards. When we know what colonialism propositions which could pass muster as a
would prefer a well-articulated, explicit is, we can begin to distinguish subtypes theory of pluralism or of the plural society.
theory to a definition of colonialism of colonialism, e.g., the domestic vs.
(Jacobson, Leons). So would I. The how international varieties (Southall). The most generous interpretation of the
and why of colonialism and imperialism Having tailored this emperor's clothes theoretical basis of Smith's, and I might
(Shirley) would be included in such a with no deception intended, I can only add Kuper's, work is that (1) if a plural
theory as postulates. These objections ask Frank if it is not his ideological society exists, then domination neces-
are not invalid; they just seem premature. position that prevents him from seeing sarily occurs, and (2) if a homogeneous
We do not as yet possess a means by the simple garment involved. His criti- or heterogeneous society exists, then
which empirical regularities relating to cism focuses upon the variable that consensus occurs. Here we see the ideo-
colonialism can be systematically identi- distinguishes colonialism from imperial- logical basis of liberal democracy in the
fied or even compared in a purely des- ism on the basis of the presence or form of theoretical propositions. Smith's
criptive manner, and this is a minimum absence of settlers. Ribeiro, whose (1969c:449) observations on the desir-
though not sufficient condition for scheme he prefers, makes this same ability of universal incorporation (uni-
theory construction. Definition and distinction, though he calls it immi- versalism, in Parsonian sociology) add
classification typically precede theory grant vs. trading colonialization and adds further support to this interpretation.
construction; we may recall important slavistic colonization. A more important Events in America during the past
precedents from the history of science. difference between Ribeiro's treatment several years place serious strain on the
The principles of taxonomy in biology and mine is that he relates levels of credibility of the distinction these pro-
evolved prior to Darwin. The how and technology and his "civilizational propositions make. The Pentagon Papers
why did change because of Darwin- cesses" to his scheme. I hope that Frank make even C. Wright Mills' view of a
species were no longer seen as immutable is not trying to suggest that either he or power elite look conservative. This
-but the taxonomy survived. The Ribeiro is free of ideology, for I am relatively minor difference of interpre-
periodic tables in chemistry represent dubious of the possibility of a useful tation aside, two important differences
another example of a classificatory value- or ideology-free social science. between my formulation and Smith's
system that has survived many shifts in Rather, I shall assume that he objects to must be pointed out. First is the reversal
theory. I would not argue that definition placing the various examples cited in one of the tendency to dissociate pluralism
and classification must precede theory class because he sees the differences from colonialism; my view is more in
construction, but merely that they which stem from his ideological line with Furnivall's original view of
generally do, and that useful definitions position as being more important than pluralism, though I have attempted
and classifications can survive changes in their similarities. Were I to insert my substantially to generalize his conception.
the explanations (theories) of given own ideology into the scheme, it would Second is the way in which my scheme
phenomena. Leons points out that there be at the domination level, as a series of makes clear the interrelationships among
is implicit theory in the definitions; but explicit assumptions (on the if side of an variables and generates definitions. By
"theory" here should read "theories," contrast, try to subject Smith's formu-
if . . ., then ... construction) relating to the
and these implicit theories are conceiv- source(s) of domination. These assump- lation to definitional analysis; I have,
ably as different as the theory that tions or theoretical postulates would and have despaired.
God created all life in its present form in specify the important differences among Leons expresses concern about the
a matter of days and the theory of types of domination. But first we must judgments involved in the selection of
Vol. 13 N No. 1 * February 1972 55

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
variables. After reviewing the literature cannot be solved within the confines of understanding the "political attitude and
on colonialism, I tentatively classified all traditional disciplines. Professional chau- perspective" (Frank) that underlie the
the works into three groups in terms of vinism and the argots it generates are failure of scholars to come to grips with
whether they viewed colonialism as a serious barriers to understanding the the phenomenon. I now agree with
form of domination, a form of exploi- condition of man, let alone attempting to Frank's criticism of the reason I gave for
tation, or a cultural process. This paper change that condition. Why call colonial- this failure and accept his explanation as
attempts to tie the first and third views ism "culture contact" or "historical incor- more fundamental. To get the academy
together; colonialism as a form of poration" if you mean colonialism? Yet to confront its own politics will not be an
exploitation is left untreated. I have this is not denying that what Stefaniszyn easy task, especially if we continue to
since incorporated the economic dimen- is saying is generally true-"Social and allow one another to live with the illusion
sion, at least partially, into the model cultural anthropologists have been that we can be objective scholars in the
(Horvath n.d.). able to do without this term"-but sense of being free of ideology and values.
She is right in pointing out that Ameri- can this be justifiably continued? The task of bringing our ideology and
cans of African origin were not voluntary This article was written in 1968, which values out into the open so that they may
migrants and should not be placed in the seems like ten years ago from the point of be scrutinized and demystified will also
category of informal colonists. view of the raising of my consciousness on require definitional analysis in order to
Of all the comments, I am least in the subject (Shirley), and if I were to minimize the ambiguity of the critical
sympathy with the notion that the disci- write it again today I suspect it would be terms we use. Definitional analysis, then,
pline which defines its domain as thestudy different. The reduction of ambiguity should be regarded as a tool needed for the
of man can do without the terms coloni- through the building of a formal scheme, demanding task of understanding the
alism and imperialism (Stefaniszyn). though absolutely essential to the enter- condition of man and for the even more
The bibliographic materials cited reflect prise we call science, seems less impor- demanding task of participating in the
my belief that important problems tant for a concept like colonialism than changing of that condition.
HORVATH, R. J. 1969. In search of a theory MURPHY, G. G. S. 1961. On satelliteship.

References Cited of urbanization: Notes on the colonial Journal of Economic History 21: 641-51.
city. East Lakes Geographer 5: 69-82. OSSOWSKI, S. 1966. "Different conceptions of
-- -. n.d. Imperialism as domination and social class," in Class, status, and power.
BACZKOWSKI, W. 1958. "Russian colonialism: exploitation. MS. Edited by R. Bendix and S. M. Lipset,
The Tsarist and Soviet empires," in The KOEBNER, R. 1949. The concept of economic pp. 86-96. New York: Free Press.
idea of colonialism. Edited by R. Strausz. imperialism. Economic History Review (Reprinted from Class structure in the
Hupe and H. W. Hazard, pp. 70-113. 2:1-29. social consciousness. London: Routledge
New York: Praeger. KOEBNER, R. and H. 0. SCHMIDT. 1964. and Kegan Paul, 1963.)
BALANDIER, GEORGES. 1970. Political anthro- Imperialism: The story and significance PARSONS,
of a T. 1963. On the concept of
pology. New York and Toronto: Random political wvord, 1840-1960. Cambridge: political power. Proceedings of the American
House. [RWSR] Cambridge University Press. Philosophical Society 107:232-62.
BOEKE, J. H. 1953. Economics and economic KOHN, H. 1958. "Reflections on colonial- POLANYI, K., C. M. ARENSBERG, and H. W.
policy of dual societies. New York: Institute ism," in The idea of colonialism. Edited by PEARSON. 1957. Trade and market in the early
of Pacific Relations. R. Strausz-Hupe and H. W. Hazard, empires. New York: Free Press.
CARTWRIGHT, D. 1959. "A field theoretical pp. 2--16. New York: Praeger. PRADO JUNIOR, CAIO. 1967. The colonial
conception of power," in Studies in social KUHN, T. S. 1962. The structure of scientific background of modern Brazil. Berkeley and
power. Edited by D. Cartwright, pp. revolutions. Chicago: University of Chicago Los Angeles: University of California
183-220. Ann Arbor: University of Press. Press. [RWS*]
Michigan Press. KUPER, L., and M.G. SMITH. Editors. 1969. REED, R. R. 1967. Hispanic urbanism in the
COHEN, M., and E. NAGEL. 1934. An Pluralism in Africa. Berkeley and Los Philippines: A study of the impact of
introduction to logic and scientific method. New University of C-alifornia Press.
Angeles: church and state. University of Manila
York: I-arcourt, Brace. LANDERS, D. S. 1961. Some thoughts on the Journal of East Asiatic Studies 11: 1-222.
DAHL, R. A. 1957. The concept of power. nature of economic imperialism. Journal RIBEIRO, DARcY. 1968. The civilizational
Behavioral Scientist 7:201-15. of Economic History 21:510-12. process. Washington: Smithsonian Insti-
DESPRES, L. A. 1968. Anthropological theory, LATTIMORE, 0. 1955. Nationalism and tution Press. [RWS*]
cultural pluralism, and the study of revolution in Mongolia. New York: Oxford -- -. 1970. The culture-historical con-
complex societies. CURRENTANTHROPOLOGY University Press. figurations of the American peoples.
9:3-26. LEACH, E. R. Editor. 1960. Aspects of caste in CURRENT ANTHROPOLOGY 11: 403-34.
DUMONT, Louis. 1966. Homo hierarchicus. South India, Ceylon and north-west Pakistan. [AGF, RWS*]
Paris: Gallimard. [AS*] Cambridge: University Press. [AS*] RIKER, W. H. 1964. Some ambiguities in the
FOSTER, G. N. 1960. Culture and conquest: notion of power. American Political Science
LENIN, V. I. 1939. Imperialism: The highest
America's Spanish heritage. Viking Fund stage of capitalism. New York: Inter- Review 58:341-49.
Publications in Anthropology no. 27. national Publishers. ROBERTS, A. D. 1962. The sub-imperialism
FURNIVALL, J. S. 1948. Colonial policy and LAONS, MADELINE BARBARA. 1970. "Strati- of the Buganda. journal of African History
practice. London: Cambridge University fication and pluralism in the Bolivian 3:435-50.
Press. SCHUMPETER, J. A. 1951. Imperialism and
Yungas," in The social anthropology of Latin
FURTADO, aELSO. 1963. The economic growth social class. New York: A. M. Kelley.
America: Essays in honor of Ralph Leon Beals.
of Brazil. Berkeley and Los Angeles: Edited by Walter Goldschmidt and SIMPSON, GEORGE GAYLORD. 1961. Principles
University of California Press. [RWS*] Harry Hoijer. Los Angeles: Latin of animal taxonomy. New York: Columbia
- - -. 1970. Economic development of Latin American Center, University of Cali- University Press. [RWS*]
America. Cambridge: University Press. fornia. [MBL*] SMITH, M. G. 1960. Social and cultural
[RWS*] LUTHY, H. 1961. Colonization and the pluralism. Annals of the New rork Academ
HARPER, E. B. 1968. "A comparative making of mankind. Journal of Economicof Sciences 83:763-77.
analysis of caste: The United States and History 21:483-95. - --. 1965. "Social and cultural pluralism,"
India," in Structure and change in Indian McKENZIE, H. I. 1966. The plural society in The plural society in the British
society. Edited by M. Singer and B. S. debate: Some comments on a recent West Indies. Berkeley and Los Angeles:
Cohn, pp. 51-77. Chicago: Aldine. contribution. Social and Economic Studies University of California Press.
HOBSON, J. A. 1902. Imperialismn: A study. 15. [MBL*] [MBL*]
London: G. Allen and Unwin. MAUNIER, R.
-- -. 1969a.1949. The
"Pluralism in precolonial s
HOMANS, G. C. 1950. The human group. New Vol. 1. London: Routledge and Kegan African societies," in Pluralism in Africa.
York: Harcourt, Brace. Paul. Edited by L. Kuper and M. G. Smith,

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00
pp. 91-151. Berkeley and Los Angeles: Horvath: A DEFINITION OF COLONIALISM
University of California Press.
-- -. 1969b. "Institutional and political SOUTHALL, AIDAN. 1956. Alur society: A study WEBER, MAx. 1946. From Max Weber:
conditions of pluralism," in Pluralism in in processes and types of domination. Cam- Essays in sociology. Translated by H. H.
Africa. Edited by Leo Kuper and M. G. bridge: Heffers. [AS*] Gerth and C. W. Mills. Oxford: Oxford
Smith. Berkeley and Los Angeles: Uni- STRAUSZ-HUPE, R., and H. W. HAZARD. University Press.
versity of California Press. [MBL*] Editors. 1958. The idea of colonialism. New WIENS, H. J. 1954. China's march toward the
-- -. 1969c. "Some developments in the York: Praeger. tropics. Hamden, Conn.: The Shoestring
analytic framework of pluralism," in TOYNBEE, A. J. 1963. A study of history. Vol. Press.
Pluralism in Africa. Edited by Leo Kuper 7A. New York: Oxford University Press. WILLHELM, S. M. 1969. Black man, red man,
and M. G. Smith, pp. 415-58. Berkeley TUDEN, ARTHUR, and LEONARD PLOTNICOV. and white America: The constitutional
and Los Angeles: University of California 1970. "Introduction," in Social stratiJication approach to genocide. Catalyst, pp. 1-
Press. in Africa. Glencoe: Free Press. [MBL*] 62.
at Easter. Second prizes were awarded to Student Research Prize Competition,

Prizes Paulo de Carvalho-Neto (Los Angeles, Human Relations Area Files, Box 2054
Calif., U.S.A.) for his book The Concept Yale Station, New Haven, Conn. 06520,
* The Chicago Folklore Prize is suppor-
of Folklore and to Gertrude Prokosch U.S.A.
ted by an endowment established by the
Kurath with Antonio Garcia for their
International Folklore Association and is
book Music and Dance of the Tewa Pueblos.
awarded annually by the University of
Former prize-winners will not, nor-
Chicago for an important contribution
mally, be eligible to win the prize a
to the study of folklore. Students,
second time; however, those who have
candidates for higher degrees, and
received an "honorable mention" will
established scholars may compete for the
continue to be eligible to win a prize.
Institutions
prize. The contribution may be a mono-
Entries must be submitted before
graph, thesis, an annotated and inter- * The INTERNATIONAL SECRETARIAT
April 1, 1972 to the Chairman of the
preted collection of materials, or, in FOR RESEARCH ON THE HISTORY OF
Department of Germanic Languages and
exceptional cases, a textbook. No re- AGRICULTURAL IMPLEMENTS and the new
Literatures, University of Chicago, 1050
striction is placed on the contestant's COMMISSION FOR RESEARCH ON THE HIS-
E. 59th St., Chicago, Ill. 60637, U.S.A.
choice of topic or selection of material: TORY OF AGRICULTURAL IMPLEMENTS AND
the term "folklore" is here used in its FIELD STRUCTURES (founded in 1966
broadest sense (e.g., American, European * The Human Relations Area Files will by the Royal Danish Academy of
folklore, etc.; anthropological, literary, present a prize of $250 for the best social Sciences and Letters), the aims of which
religious folklore, etc.). Entries are science student paper in cross-cultural have been briefly described in earlier
welcomed from any country in the world. research. Authors must be currently en- issues of this journal (CA 9:336-37,
Material which has appeared in print rolled at a degree-granting institution or 454-55), are now in a position to report
may be submitted within one year from have been awarded a degree during some concrete results.
the time of publication. If the contestant 1971. Papers may be either substantive First and foremost of these is the
wishes to have his entry returned, it or methodological. Use of the Human establishment by the Secretariat of a new
should be accompanied by the return Relations Area Files is not mandatory. periodical, Tools and Tillage (see CA
postage. The successful contestant will All papers will be considered for publica- 12:413 for the contents of the first two
be asked to donate his entry, if it is tion in Behavior Science Notes at the dis- issues, 1968 and 1969, and for information
already printed, to the University of cretion of the editors and should be of as to how to subscribe), an important
Chicago; if the award goes to an entry suitable length for publication (up to 50 instrument for stimulating research and
submitted in typed form, the author is manuscript pages). If accepted for publi- communication in this field.
requested to send a copy to the University cation, papers will appear in English. Beyond this are the published results
of Chicago if it later appears in published Any manuscript not written in English of research conducted with the assistance
form. should be accompanied by an English of the Commission. Among these publi-
The prize provides a cash award of summary. Each entry should include a cations is a study of medieval fields in
about $75.00. If the entries merit special brief statement about the author and a Denmark by Axel Steensberg, J. L.
consideration and funds are available, 50-75-word abstract. HRAF assumes no 0stergaard Christensen, and Svend
more than one prize may be awarded; on responsibility for manuscripts submitted. Nielsen, Atlas of the Fields of Borup Village
the other hand, the judges may recom- Papers will be judged by an independent Borup Ris Wood in Sealand from about
mend that no award be made in a given panel of experts, whose decision shall be 1000-1200 A.D. (Copenhagen, 1968).
year. final. Deadline for submission of entries This publication has long summaries in
For 1971, three prizes were awarded. is March 31, 1972. Entries or requests English, German, French, and Russian
First prize went to Venetia Newall for further information should be addres- and constitutes the first of a series to be
(London, England) for her book An Egg sed to the Editor, Behavior Science Notes, produced by the Commission. It may be

42.111.39.175 on Wed, 21 Feb 2024 18:16:54 +00:00

Horvath DefinitionColonialism 1972

Uploaded by

Document Informationclick to expand document information

Copyright:

Available Formats

Horvath DefinitionColonialism 1972

Uploaded by

Document Information

Original Description:

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Horvath DefinitionColonialism 1972

Uploaded by

Copyright:

Available Formats

A Definition of Colonialism

Author(s): Ronald J. Horvath

Stable URL: https://www.jstor.org/stable/2741072

This content downloaded from

Vol. 13 * No. 1 * February 1972 45

This content downloaded from

This content downloaded from

Vol. 13 * No. I February 1972 47

This content downloaded from

This content downloaded from

Vol. 13 * No. I February 1972 49

This content downloaded from

This content downloaded from

moving from the colonial power.

Abstract paper. The model first identifies the variables relevant to

Vol. 13 * No. I February 1972 51

This content downloaded from

This content downloaded from

Vol. 13 * No. 1 * February 1972 53

This content downloaded from

thesis that these differences were due to

This content downloaded from

Vol. 13 N No. 1 * February 1972 55

This content downloaded from

HORVATH, R. J. 1969. In search of a theory MURPHY, G. G. S. 1961. On satelliteship.

This content downloaded from

at Easter. Second prizes were awarded to Student Research Prize Competition,

This content downloaded from

You might also like