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A STUDY OF SOCIAL STRATIFICATION WITH REFERENCE TO SOCIAL CLASS BARRIERS AND SOCIAL CLASS RIGIDITY. (2 VOLUMES)

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Xerox University Microfilms
300 North Z eeb Road
Ann Arbor, M ichigan 48106
13- H 013
LD3907
Headrick, William Cecil.
.G7
1942
A study of social stratification with
reference to social class barriers and
.H4
social class rigidity...
New York,
1941.
2v. (xiii, 602 typewritten leaves)
29cm,
Thesis (Ph.D.) - New York university,
Graduate school, 1942.
Eibliography: v.2, p. c 520=,-533.
A78264, v.l
A70271, v.2
Shelf List
University Microfilms,
Ann Arbor, Michigan 48106
T H IS D IS S E R T A T IO N HAS BEEN M IC R O F IL M E D E X A C T L Y AS R EC EIVED .
LIBR AR Y OP
•N?W YOLK UliJVTiPSTTY
® NJ V3RCJ TY iJi.TC!■!J3
A STUDY OF SOCIAL STRATI FIC ATI OH WITH REFERENCE TO
SOCIAL CLASS BARRIERS AND
SOCIAL CLASS RIGIDITY
by
WILLIAM CECIL HEADRICK
S u b m itte d i n p a r t i a l f u l f i l l m e n t o f t h e
r e q u i r e m e n t s f o r t h e d e g r e e o f D o e to r
o f P h ilo s o p h y a t New Y ork U n i v e r s i t y
D ecem ber 1 , 1941
CONTENTS
C h a p te r
Page
PREFACE.............................................................................
ix
C o n fu s io n i n c l a s s i f i c a t i o n ...................................
The s c o p e and aim o f t h i s s t u d y ..............
x
E x p r e s s io n o f a p p r e c i a t i o n ................................x i i i
I.
AN ATTEMPT TO DEFINE CLASS AND SOCIAL CLASS .
Econom ic A s p e c t o f C la s s and S o c i a l C la s s .
O c c u p a tio n a l an d s o c i a l h i e r a r c h i e s . . .
W e a lth and s o c i a l s t a t u s . . . . . . . . .
The u s e s t o w h ic h w e a l t h i s p u t ..........
19
P o l i t i o a l A s p e c ts o f D e f i n i t i o n o f C la s s
and S o c i a l C la s s
......................................
S o o i a l s t a t u s an d t h e c l a s s s t r u g g l e . . •
C la s s c o n s c i o u s n e s s a n d s o c i a l c l a s s con­
s c i o u s n e s s ......................................................
x
1
1
4
12
22
23
26
R e lig io n , N a t i o n a l i t y , and R ace: S i g n i f i ­
can ce f o r S o o ia l C la s s . . . . . . .
C la s s a s p e c t s o f r e l i g i o n ........................
32
N a t io n a li t y and s o c i a l c l a s s . . . . . • •
R ace an d s o c i a l c l a s s
........................
34
36
Fam e, N o t o r i e t y , a n d S o c i a l C la s s ....................
45
L e g a l C l a s s e s a n d S o c i a l C l a s s e s ...............
48
S o o i a l r a n k s among c r i m i n a l s ...................
49
S o c i a l d i f f e r e n c e s among s l a v e s . . . . .
R e d e m p tlo n ls ts o f v a r i e d s o c i a l s t a t u s . •
S o c i a l c l a s s e s among t h e n o b i l i t y . . . .
50
53
54
S u b je c tiv e D e f in itio n s o f S o c ia l C la s s . • .
Common w ays a n d I d e a l s .
.........................
S o c ia l c l a s s s ta n d in g a b i r t h r i g h t .
. . .
R e f in e d d e f i n i t i o n s o f s o c i a l c l a s s
. . .
56
57
58
61
D e fin itio n .
66
29
ill
CONTENTS (Continued)
Chapter
II.
Page
AN ANALYSIS OP CASTE AND SOCIAL DISTANCE . .
C a s te
C a s te
C a s te
C a s te
used
used
used
g iv e n
67
In te rc h a n g e a b ly w ith c l a s s . •
t o m ean h e r e d i t a r y s t a t u s . •
t o m ean h e r e d i t a r y f u n c t i o n •
a ra c ia l b ase.
.........................
68
70
72
74
What i s a C a s t e ? ....................................................
75
An I n t r o d u c t o r y d e f i n i t i o n o f c a s t e . . •
77
C a s te i s n o t s o c i a l s t a t u s
79
C a s te i s n o t I d e n t i f i e d w i t h o c c u p a t i o n .
83
R e f in e d d e f i n t i o n s o f c a s t e ......................
84
The r e l a t i o n o f s o o i a l c l a s s t o c a s t e .
.
87
The n a t u r e o f s o c i a l d i s t a n c e ..................
88
III.
WIDESPREAD SOCIAL CLASS R IG ID IT Y ..................
91
The p r e - r l g i d s t a g e , b e f o r e t h e g e n e s i s
o f s o c i a l i n e q u a l i t y ......................
91
The g e n e s i s o f s o c i a l i n e q u a l i t y . . . .
93
H e re d ita ry s t a t u s . . . .
..................................
96
Mayas a n d A z t e c s ...............................................
98
The P e r u v i a n s ........................................................
100
A f r ic a n t r i b e s
102
The m ain l i n e o f O c c i d e n t a l h i s t o r y . • .
103
E a r ly G aul
......................................
107
The e a r l y T e u to n ic t r i b e s . . . . . . . .
108
O th e r i l l u s t r a t i o n s o f w id e s p r e a d s o c i a l
c l a s s r i g i d i t y .....................................
Ill
C o n c l u s i o n ......................................
112
IV .
MECHANISMS TENDING TO MAINTAIN SOCIAL CLASS
R IG ID IT Y ............................................................................
R e t e n t i o n o f t h e g e n s .....................................
R u le s a g a i n s t l n t > e r - o l a s s m a r r i a g e . . .
P ro te c tio n . • • • •
. . . .
M onopoly o f r e l i g i o n . . . . .
....................
In s ig n ia
........................................................
E n s la v e m e n t...................................................................
C lean an d d i r t y . . .
. . . . . . . .
. .
M onopoly o f a t r a d e o r b u s i n e s s . . . . .
W e a lth a n d p r o p e r t y ..........................................
G overnm ent an d c l o s e c o n n e c ti o n w i t h
g o v e rn m e n t. • • • • ......................
I n t e r e s t s ..................................................................
115
117
118
119
120
122
123
124
125
126
128
130
iv
CONTENTS (Continued)
Chapter
IV .
Page
(C o n tin u e d )
M a rria g e a n d f a m i l y c u s t o m s .........................
S p e c i a l i z a t i o n i n e t i q u e t t e an d f a s h i o n
S e c re c y a n d s n o b b e r y .
R e g a rd f o r g e n e a lo g y ..................................................
C o n q u e st an d w a r ......................................................
P r im o g e n itu r e and e n t a i l ..................................
The u s e o f a n c i e n t c a l l i n g s
E d u c a tio n and a p p r e n t i c e s h i p .........................
E c o l o g i c a l f a c t o r s .................................................
S erfdom and p e o n a g e .................................
P r e s t i g e o f a l l t h i n g s o l d ....................................
S o i l u n d H ab en ............................
!JEe enemy a l i e n ......................................................
P r i o r i t y ........................................................................
C h a rism a an d o t h e r p e r s o n a l q u a l i t i e s •
S u m m a ry ......................................................
V.
SOCIAL CLASS RIGIDITIES IN GREECE AND THE
ROMAN REPUBLIC...............................................
E a rly G re e c e .
.................................................
S p a r t a .............................................................................
E f f e c t o f t h e r i g h t t o v o te u p o n s o c i a l
I n e q u a l i t y .................................................
G reek a n d m odern p a r a l l e l s a n d c o n ­
tra s ts
..................................
P r e l i m i n a r y s ta te m e n t a b o u t Roman
c l a s s e s .................................. • • • • •
E a r l y Rome...................................................................
Who w e re t h e p a t r i c i a n s ? .
.........................
Who w ere t h e p l e b s ? . . . . . . . . . .
The l e g a l and p o l i t i c a l r i s e o f p l e b e ­
i a n e l e m e n t s ............................................
The R e p u b lic r e a c h e s m id d le a g e . . . .
The r S l e o f w e a lth - - t h e e q u i t e s . • .
The l a s t d a y s o f t h e R e p u b l i c ....................
The m id d le c l a s s e s .
S la v e s an d t h e Roman p r o l e t a r i a t . . . .
132
133
135
136
138
141
142
143
145
146
147
148
149
151
152
155
157
158
162
163
165
167
168
169
171
172
174
176
177
180
181
V.
CONTENTS (Continued)
Chapter
V I.
V II.
Page
CLASS RIG ID ITIES IN THE ROMAN EMPIRE . . .
183
P r o s c r i p t i o n a n d d e a t h ........................ .... .
The new a r i s t o c r a c y an d t h e r 3 l e o f
w e a l t h ..........................................................
The p l e b s o f t h e e a r l y E m p ire ....................
S l a v e s and e x - s l a v e s I n t h e e a r l y
E m p ire .
..................................
The d i s i n t e g r a t i o n o f Roman c i v i l i z a ­
t i o n ...............................................................
R e tre n c h m e n t and s t a b i l i z a t i o n i n t h e
E a s t.
.......................
S o c i a l c l a s s t r e n d s i n t h e W e st. . . .
S o c i a l m o b i l i t y e v a l u a t e d .............................
S o c ia l c la s s a s p e c ts o f th e in v a s io n .
C o n c l u s i o n ...............................................................
184
197
200
201
203
206
CONQUEST AND SOCIAL STRATIFICATION IN GAUL
AND EARLY FRANCE...............................................
207
The Roman a r i s t o c r a c y i n G a u l ....................
Rome, r e l i g i o n , and t h e b i s h o p s . . . .
Roman s o c i e t y i n th e M e ro v in g ia n Age •
T he German n o b i l i t y p u rg e d . . . . . .
M ore p r o o f o f s o c i a l c l a s s r i g i d i t y . .
C o n q u e st — t h e o r y an d f a c t . . . . . .
O u trig h t d e n ia l o f ra c e -c o n q u e st
t heor y. . . . . . . . . . . . .
The Norman C o n q u e s t................................................
V C II.
SOCIAL CLASS RIG ID ITIES IN TEE PERIOD FROM
FEUDALISM TO INDUSTRIALISM..................................
The c l a s s e s a t t h e o u t s e t o f f e u d a l is m
A g r i c u l t u r a l f e u d a lis m •
.........................
S h i f t s a n d c h a n g e s among s e r f s . . . .
S o c i a l c l a s s e s i n t h e e a r l y to w n s . . •
T he e a r l y g i l d s .................................
E n tr a n c e i n t o g i l d s open t o t a l e n t ? . .
The d e c l i n e o f t h e c r a f t g i l d s . . . .
The d e v e lo p m e n t o f e a r l y c a p i t a l i s m . •
S o c i a l c l a s s a s p e c t s o f c o m m e rc ia l e n ­
t e r p r i s e .................................. . . . .
T he l a b o r i n g c l a s s e s ......................................
T he b o u r g e o i s c l a s s e s .......................................
186
189
190
193
209
210
211
213
215
2 16
220
224
230
231
233
237
242
245
247
253
254
257
261
264
vi.
CONTENTS (Continued)
Page
C h a p te r
V EII.
IX .
(C o n tin u e d )
The n o b i l i t y and d e a c e n d a n ts o f n o b le ­
men d u r i n g t h e age o f c o m m e rc ia l
e x p a n s i o n ............................................... .
S o c i a l c l a s s r i g i d i t i e s a t t h e en d o f
th e e ig h te e n th c e n tu ry . . . . .
C o n c lu s io n ............................. ......................................
269
271
THE INDUSTRIAL REVOLUTION AND SOCIAL CLASS.
273
O p in io n d i v i d e d on s o o i a l c l a s s i m p l i ­
c a t i o n s o f new a g e ........................
O p in io n d i v i d e d a s t o t h e f a c t s o f
s o c i a l c l a s s i n t h e new a g e o f
i n d u s t r i a l c a p i t a l i s m ....................
The s o c i a l s t r u c t u r e o f t h e a g e o f i n ­
d i v i d u a l i s m ............................. ....
The m id d le c l a s s e s ............................................
The u p p e r c l a s s e s : n o b i l i t y an d h a u te
b o u r g e o i s i e ....................................... • •
C o n c lu s io n . . . . ................................................
X.
THE AMERICAN DREAM..........................................................
V e r s io n s o f t h e A m erican D ream . . . . .
A m odest a p p r a i s a l o f o p p o r tu n ity . . .
X I.
SOCIAL CLASS RIG ID ITIES IN COLONIAL AMERICA
The lo w e r o l a s s e s i n t h e A m erican c o lo ­
n i e s • • • • • .......................................
The m id d le o l a s s e s i n c o l o n i a l s o c i e t y .
S o c i a l c l a s s c o n t i n u i t y fro m E u ro p e t o
A m e rio a . • • . • ..................................
T he u p p e r c l a s s e s i n c o l o n i a l tim e s • •
The V i r g i n i a C o lo n y an d S t a t e
• • • • . .
V irg in ia b e fo re 1650,
V ir g in ia n s o c i a l c la s s e s in th e p e rio d
fro m 1650 t o 1 7 2 5 ............................. ...
S l a v e s a n d f r e e N e g ro e s
I n d e n t e d s e r v a n t s ............................................ ,
M is e r y among t h e p o o r w h i t e s . • • • . ,
The m id d le c l a s s .
The a r i s t o c r a t s o f V i r g i n i a .......................
C o n c lu s io n ...................................................................
267
273
277
283
286
291
293
296
297
312
316
316
319
320
324
329
331
336
341
342
344
348
350
356
vli.
CONTENTS (Continued)
Chapter
X II.
X III.
Page
THE WESTWARD MOVEMENT.................................................
358
The d o o r o f e q u a l o p p o r t u n i t y . • • • •
H ie w e stw a rd m ovem ent o f t h e d i f f e r e n t
s o c i a l s t r a t a ............................................
The w e stw a rd m ovem ent o f t h e u p p e r a n d
m id d le o l a s s e s
..............................
The w e stw a rd m ovem ent o f t h e lo w e r
c l a s s e s ...........................................................
The S c o t c h - I r i s h . .................................................
T e n a n ts becom e o w n e rs . . * • • • • • •
The P o l i s h P e a s a n t .................................................
C o n c lu s io n .
...........................................
358
364
374
386
388
390
391
HYPOTHESES, THEORIES, AND STATISTICS ON
SOCIAL M O BILITY .....................................................................
392
G e n e r a li z e d i n t e r p r e t a t i o n s .........................
S t a t i s t i c a l s tu d ie s in s o c ia l a s c e n t
and d e s c e n t.
.........................
Downward c i r c u l a t i o n ............................................
The r f l i t e
.................................................
C o n c lu s io n ......................................
400
417
421
425
S u p p le m e n t I . A STATISTICAL STUDY OF
PROMINENT MARRIAGES..................................
426
C o n c lu s io n . • •
XIV.
362
.................... • • • • • • •
393
429
S u p p le m e n t I I .
SOCIAL CLASS IN SMALLER
PL A C E S...............................................................
433
......................................................
C o n c lu s io n
E d i t o r i a l comment on s o c i a l c l a s s . . .
439
440
S u p p le m e n t I I I .
SOCIAL CLASS BACKGROUNDS
OF COLLEGE FACULTY..................................
445
P a rt I .
HEREDITY AND SOCIAL STATUS . . . .
451
D iv e r g e n t o p i n io n s a b o u t h e r e d i t y an d
s o o ia l s t a t u s . . . . . . . . . .
S i r F r a n c is G a lto n . . . . • • • . . • •
O th e r s t u d i e s . . . . .
...................................
S o c ia l c la s s tra n s m is s io n . . • • • • •
C o n c lu s io n . • • .................... . . . . . . .
451
459
465
467
469
CONTENTS (Concluded)
Chapter
XIV.
Page
( C o n tin u e d )
P a rt I I .
EDUCATION ANDTHE SOCIAL CLASSES
470
I d e a s an d o p in io n s
.................................
............................
C o n c lu s io n
XV.
P a rt I .
472
478
THE MIDDLE C L A SS........................................
479
The b a r r i e r s b e tw e e n t h e m id d le c la s s e s
an d t h e i r s u p e r i o r s a n d i n f e ­
rio rs
480
R a c i a l and n a t i o n a l i t y f a c t o r s i n r e ­
486
g a r d t o o l a s s b a r r i e r s ..........
The b u r e a u c r a t s ...........................................
491
P a rt I I .
WAR AND TOTALITARIAN INFLUENCES
ON SOCIAL C L A SS .............................
493
The d e s t r u c t i o n o f s o c i a l s y s te m s b y
t o t a l i t a r i a n s .................................
493
E x il e d and c ru s h e d m id d le an d u p p e r
c l a s s e s ............................
495
W ar........................................................................
499
S o c i a l c l a s s i n m i l i t a r i z e d dem oc­
r a c i e s ......................................... • • • •
503
P a rt I I I .
ARE SOCIAL CLASSES A GOOD THING?
507
O p in io n s i n f a v o r o f a s y s te m o f s o c i a l
c la s s e s . . . . . . . . . . . .
507
O p in io n s a g a i n s t a s y s te m o f s o c i a l
c la s s e s • • • • • • . • • • • •
512
C o n c l u s i o n .....................................................
513
XVI.
SUMMARY AND CONCLUSION.......................................
516
BIBLIOGRAPHY.............................................................................
520
APPENDIX I .
THE DISTRIBUTION OF PROPERTIES IN
NORTH IRELAND............................................
APPENDIX I I . SOCIAL FACTORS IN RISE OF NEGRO.
534
..
541
..
547
APPENDIX I I I .
P a rt I .
CASE HISTORIES OF VIRGINIANS.
P a rt I I .
IOWA..........................................................
583
P a r t I I I . OHIO..........................................................
594
ERRATA
P age
200, fo o tn o te 42, t i t l e
o f a r t i c l e s h o u ld n o t b e u n d e r l i n e d *
2 4 8 , l i n e 5 fro m t h e b o tto m s h o u ld b e i n d e n t e d .
2 8 2 , l i n e 5 s h o u ld n o t b e i n d e n t e d .
2 9 9 , l i n e s 11 a n d 15 s h o u ld b e i n d e n t e d .
3 0 0 , l i n e s 1 7 , 2 1 , an d 29 s h o u ld b e i n d e n t e d .
3 0 5 , l i n e 4 s h o u ld b e i n d e n t e d .
3 3 2 , l i n e 10 s h o u ld b e i n d e n t e d .
3 5 1 , l i n e 17 s h o u ld b e i n d e n t e d .
PREFACE
T h is d i s s e r t a t i o n i s d e d i c a t e d t o a r e v ie w o f t h e
t h e o r i e s an d h i s t o r y o f s o c i a l c l a s s b a r r i e r s .
S o c ia l
s t r a t i f i c a t i o n , a m ost u b i q u i t o u s s o o i a l phenom enon, h a s
b e e n t r e a t e d fro m many p o i n t s o f v ie w , b u t t h e a s p e c t o f
r i g i d i t y h a s r e o e i v e d o n ly a b o r t i v e c o n s i d e r a t i o n .
I n gen ­
e r a l , a l s o . I t may s a f e l y b e s t a t e d t h a t r e s e a r c h i n t h e
f i e l d s o f s o c i a l c l a s s h a s n o t k e p t p a c e w i t h t h e r e c o g n iz e d
im p o r ta n c e o f t h e w hole s u b j e c t a n d i t s v a r i o u s a s p e c t s .
1
M om bert i s o f t h e o p i n i o n t h a t t h e p ro b le m o f s o c i a l
s tra tific a tio n
s t a n d s i n f i r s t p l a c e among q u e s t i o n s p e r t a l n -
2
ln g to s o c i e t y .
B auer
a v e rs th a t c la s s c o n s titu te s th e tr u e
3
s u b j e c t m a t t e r o f s o c i a l s c i e n c e . F a h lb e o k e x p r e s s e s s u r ­
p r i s e t h a t t h i s f i e l d h a s re o e iv e d so l i t t l e
a tte n tio n .
4
O v erb eg h a s s e r t s , an d i s s u p p o r t e d b y F e r r r f ,
t h a t th e s tu d y
o f s o c i a l c l a s s e s i s o f u tm o s t im p o r ta n c e t o s o c i o l o g y .
5
an d B u rg e s s r e f e r t o t h i s a s a n "u n w o rk ed f i e l d . "
P a rk
1 P a u l M om bert, "D ie T a ts a o h e n d e r K l a s s e n b l l d u n g ," S c h i n d l e r s
J a h r b u c h , v o l . XLIV (1 9 2 0 ) p . 1 0 4 1 .
2 A r th u r B a u e r , Lea c l a s s e s s o c l a l e s : a n a l y s e d e l a v i e
s o c la le ( P a r is , 1902) p . 5 6 .
3 P o n tu s Pi. F a h lb e c k , D ie K la s s e n und d i e G e s e l l s o h a f t ( J e n a .
1922) p . 1 1 1 .
4 L o u is e M a rie F e rrc f, Lea c l a s s e s s o c l a l e s d a n s l a F r a n c e
con te m p o ra ln e ( t a r I s',
6) p . 4 o .
5 R o b e r t !e . P a rk a n d E r n e s t W. B u r g e s s , I n t r o d u c t i o n t o th e
S c ie n c e o f S o c io lo g y ( C h ic a g o , r e v . e d . , 1 9 2 4 ) p . ” 7 5 2 .
X*
C o n fu s io n i n c l a a s i f i o a t i o n *
The c h i e f p ro b le m con­
f r o n t in g th e i n v e s t i g a t o r a t th e o u ts e t i s c o n fu s io n in
te r m in o lo g y *
S o c ia l c la s s r i g i d i t y , a s a f i e l d o f s tu d y ,
d e p e n d s u p o n w h at i s m eant b y s o o i a l c l a s s *
A u t h o r i t i e s mean d i f f e r e n t t h i n g s b y t h e same w ords
an d t h e same t h i n g b y d i f f e r e n t w ords*
R e se a rc h i n t o usag e
6
an d c l a s s i f i c a t i o n s becom es im m e d ia te ly i m p e r a t i v e *
C la s s
h a s t o b e d i s e n t a n g l e d from s o c i a l c l a s s
( C h a p te r I ) ; and
c a s te r e q u ir e s s p e c ia l a tte n tio n becau se i t h a s been u sed
in te r c h a n g e a b ly w ith s o c ia l s tr a tu m , h e r e d i t a r y o c c u p a tio n ,
an d r a c e
( C h a p te r I I ) .
The n e e d f o r r e s e a r c h i n t h e f i e l d o f c o n c e p t and
7
u sa g e i s in d ic a te d b y th e f a c t t h a t Page ch o o ses t o w r ite
tw o v o lu m e s i n t h e f i e l d o f c l a s s b e f o r e h e t a c k l e s t h e i n ­
t r i c a c i e s o f d e f i n i t i o n s and c o n c e p tu a l c a t e g o r i e s *
T he s c o p e an d aim o f t h i s s t u d y .
In o rd e r to I l l u s ­
t r a t e t h e v a r i o u s fo rm s o f s o c i a l s t r a t i f i c a t i o n , a n d t h e r e ­
f o r e t h e m any k i n d s o f s o o i a l c l a s s b a r r i e r s , i t i s n e c e s s a r y
t o s u r v e y b r i e f l y t h e l i t e r a t u r e o f a n th r o p o l o g y a n d h i s t o r y .
C h a p te r I I I , g iv e n o v e r t o t h i s r e v i e w , p o n t a l n s p u r e l y i n ­
t r o d u c t o r y m a t e r i a l ; i t m akes n o p r e t e n s e a t c o n t r i b u t i n g
6 C o n s u lt H e n ry P r a t t F a i r c h i l d , G e n e r a l S o c io lo g y (New Y o rk ,
1 9 3 4 ) p* 8 4 , f o r a l u c i d e x p l a n a t i o n ot t h e c o n f u s io n
t h a t may a r i s e fro m i n c o r r e c t c a t e g o r i e s a n d c l a s s i f i ­
c a tio n s •
7 C h a r le s H unt P a g e , C la s s a n d A m e rlc an S o c i o l o g y : From Ward
t o R o ss (New Y ork,' 1§40) p*r x i i .
d i r e c t l y o r I n d i r e c t l y t o k n o w le d g e , I n fo rm o r c o n t e n t .
I t d o e s , h o w e v e r, r a i s e s e v e r a l p o i n t s e s s e n t i a l t o t h e
t h e s i s c o n c e r n in g t h e o r i g i n , n a t u r e , and e x t e n t o f s o c i a l
c la s s r i g i d i t y .
T he m a t e r i a l c o l l e c t e d and a r r a n g e d t o I n d i c a t e t h e
v a r i o u s m ech an ism s w h e reb y s o c i a l o l a s s e s , o r c l a s s e s i n
g e n e r a l , m a i n t a i n t h e i r p o s i t i o n s o f a d v a n ta g e and p r i v i l e g e
( C h a p te r IV ) f a l l s
I n t o t h e c a t e g o r y o f kn o w led g e c o l l e c t e d
a n d p r e s e n t e d i n a m ore o r d e r l y and m ore a d e q u a te f o r m .
The
d a t a e x t r a c t e d fro m g e n e r a l h i s t o r y (C h a p te r s V t o X I I ) ,
b e g in n i n g w ith G re e k c i v i l i z a t i o n , f a l l i n t o t h e sam e c a t e ­
g o ry .
D e s c r i p t i v e s t u d i e s i n t o t h e k in d s o f s o c i a l s t r a t i ­
f i c a t i o n a t s p e o i f i e d I n t e r v a l s i n E u ro p e a n and A m erican
h i s t o r y a r e p l e n t i f u l , b u t t h i s d i s s e r t a t i o n i s n o t a s tu d y
o f s p e c i f i c c l a s s s y s te m s — i t i s a s tu d y i n s o o i a l c l a s s
c o n t i n u i t y and s o c i a l c l a s s b a r r i e r s .
No s i m i l a r o r g a n i z a ­
t i o n o f m a t e r i a l , b a s e d on h i s t o r i c a l f a c t s , e x i s t s .
T he c e n t r a l them e o f t h i s w ork i s : w here do t h e s o c i a l
c l a s s e s r e c r u i t t h e i r m em bers, from among th e m s e lv e s o r fro m
among o u t s i d e r s ?
I t i s d is c o v e re d , f o r in s ta n c e , th a t
s e v e r a l p ro m in e n t s o c i o l o g i s t s g iv e one a n sw e r t o t h i s q u e s ­
t i o n o f r e c r u i t m e n t i n r e g a r d t o t h e G allo -R o m an p e r i o d ;
w h e re a s e m in e n t h i s t o r i a n s g iv e a n o t h e r .
v ie w s p r o v i d e an i n t e r e s t i n g c o n t r o v e r s y .
T h e ir d i v e r g e n t
A n o th e r i n t r i g u i n g
d i s c u s s i o n i s p r o v id e d b y t h e c o n f l i c t i n g o p in io n s a b o u t t h e
A m e ric an D ream .
By g o in g b e y o n d o r d i n a r y s o u r c e s t o t h e b i o g r a p h i e s
o f fa m ilie s in s e v e ra l s ta te s
( V i r g i n i a , O h io , and I o w a ) ,
an d b y u s i n g t h e c a s e m e th o d , a n o n - s t a t i s t i c a l a p p ro a c h
a lr e a d y w e ll e s t a b l is h e d in th e f i e l d o f c rim in o lo g y , i t
i s p o s s i b l e t o e s t i m a t e t h e d e g re e and am ount o f c o n s i s t e n c y
i n s t a t u s t o a h i g h e r d e g r e e o f a c c u r a c y th a n c an b e o b t a i n e d
fro m t h e o p i n io n s o f a u t h o r i t i e s o r t h e r e s u l t s o f s t a t i s t i ­
c a l s t u d i e s , o f w h ic h a lm o s t n o n e e x i s t i n t h e f i e l d
s o c ia l c la s s e s , p er s e .
o f th e
(S e e A p p en d ix I I I . )
A f t e r r e v ie w in g s e v e r a l s t a t i s t i c a l s t u d i e s ( C h a p te r X I I I ) ,
th e r e s u l t s o f th r e e o r ig in a l p r o je o ts a re p re s e n te d .
One
s t a t i s t i c a l s t u d y i s made o f t h e s o c i a l s t a t u s o f t h e p a r e n t s
a n d g r a n d p a r e n t s o f t h e f a c u l t y o f W ash in g to n S q u a re C o l l e g e .
A n o th e r a n d m ore a m b itio u s p r o j e c t was b a s e d u p o n r e p l i e s
fro m t h e s o c i e t y e d i t o r s o f n e w s p a p e rs th r o u g h o u t t h e c o u n t r y
r e g a r d i n g t h e b a c k g ro u n d s o f t h e l e a d i n g l o c a l p e r s o n s and
th e ir fa m ilie s .
A t h i r d s t a t i s t i c a l s t u d y was made o f p e r ­
s o n s w hose w e d d in g s r e c e i v e d c o n s i d e r a b l e p u b l i c i t y i n t h e
colum ns o f t h e S u n d ay New Y o rk T im es d u r i n g t h e y e a r 1 9 3 8 .
The c l o s i n g c h a p t e r s o f t h i s d i s s e r t a t i o n d e a l w i t h
s e v e r a l to p ic s e s s e n t i a l to a f u l l u n d e rs ta n d in g o f s o c i a l
c la s s b a r r i e r s .
A s p e c i a l a n a l y s i s i s made o f t h e b a r r i e r s
b e tw e e n t h e m id d le o l a s s a n d t h e c l a s s e s b e lo w them on t h e
s o c i a l s c a l e , b a r r i e r s w h lo h u s u a l l y h a v e c o n t r i b u t e d h e a v i l y
to s o o ia l c la s s r i g i d i t y .
s tra tific a tio n
The b i o l o g i c a l t h e o r y o f s o c i a l
i s r e v ie w e d a n d e v a l u a t e d .
E d u c a tio n i s
r e l a t e d t o s o c i a l c l a s s , a s a r e w ar an d t o t a l i t a r i a n i s m .
F i n a l l y , t h e q u e s t i o n i s r a i s e d : A re s o c i a l c l a s s e s d e s i r ­
a b le ?
A c o m p re h e n s iv e u n d e r s t a n d i n g o f s o c i a l c l a s s c o n ­
t i n u i t y i s n o t p o s s i b l e w it h o u t a d i s c u s s i o n o f t h e s e m ore
g e n e ra l to p ic s .
E x p r e s s io n o f a p p r e c i a t i o n .
The i n v e s t i g a t o r w is h e s
t o th a n k P r o f e s s o r H e n ry P r a t t F a i r c h i l d f o r h i s f r i e n d l y
g u id a n c e a n d d e e p u n d e r s t a n d i n g o f t h e m a t e r i a l s o u t o f w h ic h
s o c i o l o g y i s f o r g i n g a new f i e l d o f human k n o w le d g e .
The w r i t e r w is h e s t o e x p r e s s h i s s i n c e r e a p p r e c i a ­
t i o n t o t h e c o m m itte e o f r e a d e r s o f t h e G r a d u a te S c h o o l f o r
i
t h e i r c o r r e c tio n s o f th e o r i g i n a l copy o f t h i s d i s s e r t a t i o n .
T h e se p ro v e d t o b e I n v a l u a b l e g u i d e s i n t h e o r g a n i z a t i o n and
c o n s t r u c t i o n o f t h i s w ork i n i t s p r e s e n t f o r m .
T h an k s a r e a l s o g iv e n t o C h a r le s C h u r o h i l l , who was
of g re a t a s s is ta n c e in ta b u la tin g s t a t i s t i c s , to P ro fe ss o rs
L ucy C h a m b e rla in , R ic h a r d A . G i r a r d , and E . Adamson H o e b e l
f o r t h e i r , f r i e n d l y e n c o u ra g e m e n t, and t o E d i t h H e a d r ic k f o r
t h e m ore e x a c t t r a n s l a t i o n o f p a s s a g e s ta k e n fro m t h e F r e n c h .
CHAPTER I
AN ATTEMPT TO DEFINE CLASS AND SOCIAL CLASS
The w ord o l a s a an d e s p e c i a l l y th e te rm s o c i a l c l a s s
h a v e b e e n an d re m a in a s o u r c e o f g r e a t c o n f u s io n i n s o c i a l
s c ie n c e .
I t is
th e I n te n tio n o f t h i s
c h a p te r t o c o n tr ib u te
t o s o o i a l t h e o r y b y s y s t e m a t i c a l l y a n a l y z i n g t h e s e te rm a In
a m ore c o m p re h e n s iv e m anner th a n h a s b e en h e r e t o f o r e a t t e m p t e d .
A f u l l u n d e r s t a n d i n g o f s o c i a l c l a s s I s p r e r e q u i s i t e t o an
e x te n d e d d i s c u s s i o n o f s o c i a l c l a s s r i g i d i t y and m o b i l i t y .
1
S o m b a rt b e l i e v e s t h e tim e h a s come f o r s o c i a l s c i ­
e n t i s t s t o come t o a n u n d e r s t a n d i n g a s t o t h e m ean in g o f
c la s s
( G lle d e r u n g n a e h S t& n d e n ) •
The p r e s e n t c o n f u s io n may
b e a t t r i b u t e d t o t h e m any m e a n in g s o f t h e w ord a n d t o t h e
f a c t th a t t h i s h a s n e v e r b e en re c o g n iz e d , he s a y s .
Some e c o n o m is ts h a v e b e e n r e l u c t a n t t o u s e t h e d e ­
s c r i p t i v e te r m s "e c o n o m ic c l a s s e s " and " o c c u p a t i o n a l c l a s s e s "
an d h a v e p r e f e r r e d t o r e f e r t o s u c h d i v i s i o n s a s " s o c i a l
c la s s e s ."
T h is h a s b e e n one s o u r c e o f c o n f u s i o n .
E conom ic A s p e c ts o f D e f i n i t l o n o f C la s s and S o o i a l C la s s
P e o p le s p e a k o f p r o p e r t i e d and p r o p e r t y l e s s o l a s s e s ,
o f p r o d u c t i v e a n d u n p r o d u c t i v e c l a s s e s , an d o f t h e w o rk in g
1 W erner S o m b a rt, D e u ts o h e r S o z l a l l s m u s ( B e r l i n , 1 9 3 4 ) p . 2 1 9 .
2
c la s s .
M ombert
s t a t e s t h a t s u c h g e n e r a l te rm s l e a v e th e
word c l a s s q u i t e em pty o f m e a n in g .
3
S im k h o v ito h d e f i n e s c l a s s e s a s g r o u p s w i t h s i m i l a r
s o u r c e s o f in c o m e .
T hey a r e c o n s c io u s o f s i m i l a r o r l d e n t l o a l
e co n o m ic i n t e r e s t s .
A s o c i a l c l a s s i s , f o r h im , an o r g a n iz e d
b o d y o f I n d i v i d u a l s w hose e co n o m ic i n t e r e s t s c o i n c i d e .
f o r m u l a t i o n i s q u i t e M a r x ia n , an d i t
T h is
c o n s id e rs th e c la s s a s
a p r e s s u r e g ro u p .
4
L . von S t e i n
d i v i d e s t h e o l a s s e s o f s o c i e t y i n t o ow ner­
s h i p c l a s s e s , l e g a l c l a s s e s , and h o n o r i f i c c l a s s e s .
I t is
t h i s l a s t - m e n t i o n e d c a t e g o r y w h ic h many m odern a u t h o r i t i e s
w ould i d e n t i f y w i t h s o o i a l c l a s s e s .
A lth o u g h t h i s i s n o t h i s c o n c l u s i v e e x p l a n a t i o n , G ln s 5
b e r g a t one p l a c e s t a t e s :
The p r im a r y d e t e r m i n a n t s o f s o c i a l s t r a t i f i c a t i o n
a r e w ith o u t d o u b t l a r g e l y eco n o m ic i n c h a r a c t e r . E co ­
nom ic c o n d i t i o n s d e te r m i n e an i n d i v i d u a l 's o c c u p a t i o n ,
and t h i s i n t u r n i s g e n e r a l l y a f a i r in d e x o f h i s mode
o f l i f e and e d u c a t i o n a l a t t a i n m e n t s , fro m w h ic h a g a in
may u s u a l l y b e i n f e r r e d t h e s o r t o f p e o p le whom h e
w ould m e e t on e q u a l t e r m s , t h e r a n g e o f i n d i v i d u a l s from
among whom h e w ould n o r m a l ly c h o o se h i s p a r t n e r i n m a r­
r i a g e , a n d so f o r t h .
A d i s c e r n i n g c r i t i c m ig h t r e - p h r a s e t h e f o r e g o i n g i n
t h e s e w o rd s:
2 P a u l M om bert, "Zum Wesen d e r s o z i a l e n K l a s s e , "
i n H a u p tp ro b le m e d e r S o z l o l o g l e . v o l . I I (M unioh, 1 9 2 3 ) p . 2 3 9 .
3 As r e p o r t e d i n : i b i d . . p . 2 4 1 .
4 L o re n z von S t e i n . D ie G e a e l l s o h a f t s l e h r e ( S t u t t g a r t . 1 8 5 6 )
p . 273.
5 M o r r is G in s b e r g , " C l a s s C o n s c i o u s n e s s ," E n o y . o f t h e S o o i a l
S c i e n c e s , v o l . H I (New Y o rk , 1 9 3 7 ) p . 5377
The k e y t o a p e r s o n 's econom ic c o n d i t i o n i s b e s t
fo u n d i n t h e s o o i a l c l a s s i n t o w h ic h h e was b o r n . H is
s o c i a l p o s i t i o n d e te r m in e s t h e o c c u p a ti o n f o r w h ic h h e
f i t s h i m s e l f o r w h ic h h e h a s a c h a n c e o f e n t e r i n g a f t e r
t r a i n i n g . The s o o i a l c l a s s c o n d i t i o n i n w h ic h h e i s
r e a r e d i s an in d e x t o h i s mode o f l i f e an d t o h i s e d u ­
c a t i o n a l t r a i n i n g . From i t we i n f e r , c e r t a i n l y , t h e
s o r t o f p e o p le whom h e m e e ts on e q u a l te r m s ; an d i t i s
h i s b a c k g ro u n d , n o t h i s p r e s e n t e co n o m ic p o s i t i o n ,
w h ic h i s m o st l i k e l y t o l i m i t h i s c h o ic e o f m a te , e t c .
T h is d e b a te r u n s t h r o u g h t h e l i t e r a t u r e on s o c i a l
c l a s s e s , i n one fo rm o r a n o t h e r , an d t h e r e a d e r w i l l h a v e t o
d e c i d e w h ic h a rg u m e n t h a s t h e m ore c o g e n c y , t h e eco n o m ic o r
s o o lo -p s y c h o lo g lc a l e x p la n a tio n o f c a u s a tio n .
Gum plowloz t a k e s h i s p l a c e a l o n g s i d e t h e eoonom lc d e t e r m l n l s t s i n s a y i n g t h a t " a m a n 's b e h a v i o r i s d e te r m in e d im­
m e d i a t e l y b y h i s eco n o m ic s t a t u s , w h ic h c o n s t r a i n s him t o
f o l l o w a c e r t a i n mode o f l i f e a n d a w ak e n s t h e c o r r e s p o n d i n g
6
t f e n t a l c o n d i t i o n s w i t h in h im ."
7
M a r s h a ll d i v i d e s c l a s s fro m s o o i a l c l a s s b y a s s o c i a t ­
i n g t h e f o r m e r w i t h p r o d u c t i o n a n d t h e l a t t e r w i t h consum p­
tio n .
V e b l e n 's w e l l known t h e o r y o f m odern h i e r a r c h i e s o f
p r e s t i g e i s i n te rm s o f c o n s p ic u o u s c o n su m p tio n r a t h e r th a n
i n te r m s o f " r e l a t i o n s h i p t o t h e I n s t r u m e n t s o f p r o d u c t i o n , "
t h e M a rx ia n f o r m u la .
A r e c e n t t e x t b o o k i n s o c i o l o g y , h o w e v e r,
s t a t e s t h a t " a s o o i a l c l a s s i s a n eo onom lc g ro u p w hose mem­
b e rs a re a lik e in t h e i r r e l a ti o n s to th e p ro c e ss o f g e ttin g
6 Ludw ig G um plow loz, The O u t l i n e s o f S o c i o l o g y , t r . A lb io n
S m a ll ( P h i l a d e l p h i a , 1 8 9 9 ) p . 1 6 3 .
7 T .H . M a r s h a l l , " S o o i a l G la s s — A P r e l i m i n a r y A n a l y s i s , "
i n t h e S o c i o l o g i c a l R e v ie w , v o l . XXVI ( J a n u a r y , 1934)
p . 62 •
8
a liv in g .”
Few s o o i a l t h e o r i s t s s t i l l h o l d t h i s v ie w ;
M o m b ert, S p e i e r , G in s b e r g , M a d v e r , M a r s h a l l , M e ss , V e b le n ,
an d many o t h e r s h a v e d i r e c t l y o r i n d i r e c t l y r e f u t e d i t .
Max W eber s y n t h e s i z e s t h e eoonom lc a s p e c t a n d t h e
s o c i o - p s y c h o l o g i o a l f a c t o r s i n t h e m aking o f s t a t u s g r o u p s .
He l i s t s : " ( 1 ) t h e p o s s e s s i o n o f econom ic m e a n s, (2 ) t h e e x ­
t e r n a l s t a n d a r d o f l i v i n g , ( 3 ) c u l t u r a l an d r e c r e a t i o n a l
9
im p o r ta n c e
p o s s ib ilitie s .”
As a m a t t e r o f d e s c e n d i n g / t h e o r d e r s h o u ld
p e rh a p s be r e v e r s e d .
S o c i a l o o n t a o t s m ig h t come f i r s t ,
con­
s p ic u o u s c o n su m p tio n s e c o n d , an d t h e p o s s e s s i o n o f w e a lth
th ird .
O c c u p a tio n a l an d s o c i a l h i e r a r c h i e s .
S in c e many
w r i t e r s h a v e u s e d t h e te rm s o c c u p a ti o n a l h i e r a r c h y an d
s o c i a l h i e r a r c h y sy n o n y m o u sly , t h e r e m u st b e a r e l a t i o n s h i p
b e tw e e n t h e two h i e r a r c h i e s .
C om plete i d e n t i o a l n e s s h a s b e e n
d i s c r e d i t e d b y t h e o r i s t s , a n d a lt h o u g h an a d e q u a te fo r m u la
o f th e e x a c t r e l a t i o n s h i p i s d i f f i c u l t to i n v e n t , a tte m p t
i s m ade h e r e t o do s o .
B u c h e r d i s c e r n e d t h e o lo s e r e l a t i o n s h i p b e tw e e n t h e
s t a t u s o f t h e i n d i v i d u a l a n d h i s c h o ic e o f an o c c u p a t i o n .
The i n f e r e n c e h e r e i s t h a t t h e s t a t u s d e te r m i n e s t h e v o c a ­
t i o n o f o n e * s c h o ic e q u i t e a s much a s t h e v o c a t i o n d e te r m i n e s
8 C h a r le s H o rto n C o o le y , R o b e r t C o o le y A n g e l l , a n d L o w e ll
J u i l l a r d C a r r , I n t r o d u c t o r y S o c io lo g y (New Y o rk , 1 9 3 3 )
p . 28V.
9 A c o o rd in g t o P a u l M om bert, " C l a s s , ” E n c y . o f t h e S o o i a l
S c i e n c e s , v o l . H I (New Y o rk , 11557) p . 5 3 2 .
10
th e s t a t u s o f th e in d iv id u a l in l a t e r l i f e *
He s t a t e s :
I n so f a r a s o u r p r o p e r t i e d c l a s s e s a r e a l s o s o c i a l
c l a s s e s a c c o r d i n g t o o c c u p a tio n * t h e y a r e n o t s u c h b e ­
c a u s e t h e i r o c c u p a tio n o r e a t e s p r o p e r t y , b u t r a t h e r b e ­
c a u s e p r o p e r t y d e te r m in e s t h e s e l e c t i o n o f a v o c a t io n * * * .
E v e ry v o c a t i o n u n d e r o u r i n d u s t r i a l o r g a n i z a t i o n y i e l d s
an in c o m e ; an d o n ly t h e p r o p e r t i e d p e r s o n i s i n a s i t u a ­
t i o n t o s e e k o u t f o r h i m s e l f t h e m ore l u c r a t i v e p o s i ­
t i o n s . . .w h i l e t h e u n p r o p e r t i e d p e rs o n m ust b e c o n te n t
w ith th e i n f e r i o r p o s itio n s *
G iv e n a b r o a d e r i n t e r p r e t a t i o n , b u t in t h e same s p i r i t ,
t h i s c o u ld r e a d :
Members o f t h e h i g h e r s o c i a l c l a s s e s w i l l
e n t e r a g i v e n f i e l d a c c o r d i n g t o th e am ount o f e s te e m , p r e s ­
t i g e , an d m oney w h ic h t h e o c c u p a tio n r e p r e s e n t s .
I t is not
so muoh t h a t t h e o c c u p a tio n g i v e s th e p e rs o n p r e s t i g e - ra th e r i t
i s a c a s e o f t h e p e rs o n l e n d i n g h i s s o c i a l d i g n i t y ,
11
o r l a c k o f i t , t o t h e o c c u p a tio n he e n t e r s .
P e rso n s o f
h i g h s t a n d i n g a r e l i k e l j j m ore o f t e n th a n n o t , t o a s p i r e t o
r e p u t a b l e p o s i t i o n s w i t h r e a l ohanoe o f s u c c e s s *
I f t h e w ork
d e s i r e d r e q u i r e s b o t h s o c i a l and t e c h n i c a l t r a i n i n g , t h o s e
o f t h e h i g h e r an d m id d le c l a s s e s h a v e t h e s o c i a l b a c k g ro u n d
a n d t h e n e c e s s a r y t i m e , p a t i e n c e , p e r s i s t e n c e , and money t o
10 C a r l B & cher, I n d u s t r i a l E v o l u t i o n . t r . S.M . W Ic k e tt
(New Y o rk , 1 9 1 2 ) p . 3 3 3 .
11 Among p r i m i t i v e s , t r a d e s a r e r a t e d a c o o r d ln g t o t h e d e s i r e
o f t h e d i f f e r e n t c l a s s e s t o m o n o p o liz e o r t o a v o id
th e m . I n one p l a c e t h e s m ith s a r e h o n o r e d , i n a n o t h e r
o u tc a s t.
o b ta in t h a t te c h n ic a l t r a i n i n g .
Men w i t h s u c h a d v a n ta g e s
h a v e te n d e d t o m o n o p o liz e p o l i t i c a l a n d c o l o n i a l o f f i c e s
i n t h e B r i t i s h E m p ire , f o r I n s t a n c e .
From s u c h g ro u p s w ere
t h e arm y o f f i c e r s o f t h e K a l s e r r e i c h ( t h e f i r s t German
R e ic h ) c h o s e n .
T hey h a d t h e b a c k g ro u n d and s o o i a l c o n t a c t s
w h ic h g av e them h i g h s t a t u s ; t h e y p r e p a r e d th e m s e lv e s b y
u n i v e r s i t y t r a i n i n g an d s p e o i a l e d u c a ti o n f o r t h e p o s i t i o n s
a w a i t in g th e m .
12
In an e x te n d e d d e b a t e w i t h B tlcher, S o h m o lle r
a rg u e d
t h a t th e s o o i a l o l a s s e s w e re a p r o d u c t o f t h e d i v i s i o n o f
l a b o r and t h e a c c u m u la tio n o f p r o p e r t y .
B u t B iich er a n sw e re d
t h a t n t h e d i f f e r e n c e s i n p r o p e r t y and incom e a r e n o t a co n ­
se q u e n c e o f t h e d i v i s i o n o f l a b o r , r a t h e r t h e y a r e i t s c h i e f
13
14
c a u s e ."
I n a t t e m p t i n g t o p ro v e t h i s , B u c h e r
p o in ts o u t
t h a t p e r s o n s on c e r t a i n s o o i a l l e v e l s i n t e r m a r r y an d h a v e
c lo s e s o o ia l t i e s .
As a p a r t o f t h i s r e g u l a r a s s o c i a t i o n
w ith e a c h o t h e r t h e y te n d t o h o l d f o r e a c h o t h e r p o s i t i o n s
c o m p a ra b le t o t h e i r s o c i a l r a n k .
A lth o u g h t h e i r v o c a t io n s
o f t e n ch an g e fro m o n e g e n e r a t i o n t o t h e n e x t , t h e r a n k i s
l i k e l y t o re m a in t h e sa m e.
12 G u s ta v S o h m o lle r , D ie S o z i a l e F r a g e , K l a s s e n b l l d u n g .
Arbelterfrage. Klassenkampf (Munich. 1918) p. 149.
13 K a r l B r o k e r . D le ~ E n ts te h u n g d e r V o l k s w l r t s c h a f t (T u b in g e n ,
1 904) p . 3 8 4 ; t r a n s l a t i o n o u r s .
14 I b i d . . p . 3 9 0 .
Thus B tteher r e j e c t s S o h m o lle r ’ s t h e o r y t h a t t h e w ork
m akes t h e man and c h o o s e s t o b e l i e v e t h a t t h e d i f f e r e n t
S o c i a l c l a s s e s c h o o se t h e v a r i o u s v o c a t i o n s , l e a v i n g t h e
l e a s t d e s i r a b l e o c c u p a tio n t o t h o s e w i t h t h e g r e a t e s t Im­
m e d ia te n e e d o r w i t h t h e l e a s t t r a i n i n g a n d c o n d i t i o n i n g I n
r e s t r a i n t and I n l o n g - te r m p l a n n i n g .
B o u g l^ a t t r i b u t e s t o s o c i a l i s t t h e o r y , I n p a r t i c u l a r ,
t h e d o c t r i n e t h a t " t h e d i v i s i o n o f l a b o r g a v e r i s e t o th e
c l a s s e s and t h a t s o c i a l s p e c i a l i z a t i o n I s a f e s u l t o f t e o h 15
n lc a l s p e c ia liz a tio n .”
M a r s h a ll a f f i r m s B ftcher* " I n
a l l s o c i e t i e s S o c i a l C la s s I s c o n c e r n e d w i t h th e s e l e c t i o n
o f o c c u p a tio n s • • • t h e c o n v e n t i o n a l v ie w f o r a man o f a
16
g iv e n s t a t i o n t o o c c u p y h i m s e l f . "
Landtm an s a y s t h a t
" t h e r i c h a n d p o w e r f u l p r e f e r t o l e a v e e v e r y k in d o f I n d u s ­
t r i a l em ploym ent t o o t h e r s , w h e re b y d i v i s i o n o f o c c u p a ti o n s
17
I s b r o u g h t a b o u t ."
The eoonom lc I n t e r p r e t a t i o n o f c a u s a t i o n I n t h i s
s p h e r e I s ch am p io n ed b y F a h lb e o k .
I t I s h i s o p in io n t h a t
I n t h i s a g e p e r s o n s a r e n o t bound t o t h e c l a s s o f t h e i r b i r t h .
15 C . B ouglcf, Qu’ e s t - o e qu e l a s o o l o l o g l e ? ( P a r i s , 1 9 3 2 )
p . 128; tr a n s la tio n o u rs .
16 M a r s h a l l , o p . o l t . . p . 6 3 .
17 G unnar L an d tm an , T he O r i g i n o f t h e I n e q u a l i t y o f t h e
S o c i a l C l a s s e s ( C h ic a g o . ^ 9 3 8 ) p . 7&.
The w ork o f a n I n d i v i d u a l " d e te r m in e s h i s f i n a l p o s i t i o n i n
18
th e s o c ia l s e n s e ."
N o th a a s a g r e e s w i t h F a h lb e c k : " . . .
o c c u p a tio n h a s becom e t h e b a s i s o f c l a s s i d e n t i f i c a t i o n
. • •
o c c u p a tio n m ore th a n a n y th i n g e l s e d e te r m i n e s c l a s s m em ber19
s h i p i n m odern s o c i e t y . . . . "
No i n t i m a t i o n i s g iv e n
h e re , as is
s t r o n g l y s t a t e d b y B tteher a n d M a r s h a l l , t h a t
s t a t u s d e te r m in e s o c c u p a t i o n a l c h o ic e s and c h a n c e s •
20
F a irc h ild
l i s t s o c c u p a tio n a s on e o f t h e f r e e
c h o ic e s o f t h e i n d i v i d u a l .
A f u l l e x p re s s io n o f t h i s th e o r y
w ould p r o b a b ly r e v e a l t h a t t h e a v e r a g e p e r s o n may h a v e a
w id e r a n g e o f c h o ic e w ith r e g a r d t o ty p e o f c a l l i n g b u t n o t
w i t h r e g a r d to t h e r a n k o f t h e o c c u p a tio n c h o s e n .
In d e e d jth e o c c u p a tio n a l o p p o r tu n itie s o f th e a v e ra g e
p e rso n a r e s e v e r e ly lim ite d b y h i s c la s s s ta n d in g .
H is
p a r e n t s may n e g l e c t h im ; t h e y may e x p l o i t h im ; th e y may w ant
t o s e e him a t a n e a r l y a g e In d e p e n d e n t o f t h e i r s u p p o r t .
(S tu d y a n d o b s e r v a t i o n r e v e a l t h e s e t o b e t h e h a b i t s o f t h e
lo w e st c la s s e s g e n e r a l l y .)
T hey l a c k t h e f o r e s i g h t , t h e
m o r a l s ta m in a ( i n h i b i t i o n s ) , a n d t h e m eans t o g i v e t h e i r
c h i l d r e n t h e home l i f e , e d u c a t i o n , p o i s e , an d c o n n e c ti o n s
w h ic h m ig h t im p ro v e t h e i r l o t .
The o p p o s i t e i s t r u e o f
t h e e n tr e n c h e d m id d le a n d u p p e r o l a s s e s , i n g e n e r a l .
18 P o n tu s E . F a h lb e c k , D ie K la s e e n und d i e G e s e l l s o h a f t
( J e n a , 1 9 2 2 ) p . 2 3 0 ; t r an s l a t l o n o u r s .
19 J . N o th a a s , S o c i a l A s c e n t an d D e s c e n t i n G erm any, t r .
S . E l l i s o n (New Y o rk , i§ 3 8 ) p." 3 2 .
20 H e n ry P r a t t F a i r o h i l d , G e n e r a l S o c io lo g y (New Y o rk , 1 9 3 4 )
p . 40.
The s o c i a l c l a s s I n t e r p r e t a t i o n o f o c c u p a t i o n a l c h o ic e
I n c o n t r a d i s t i n c t i o n t o t h e econom ic I n t e r p r e t a t i o n I s s t a t e d
s u c c i n c t l y b y B oug ld ': ” . . .
I n s t e a d o f b e lo n g in g t o a p a r ­
t i c u l a r c l a s s b e c a u se one h a s e n te re d a p a r t i c u l a r v o c a tio n ,
one e n t e r s a p a r t i c u l a r v o c a t i o n b e c a u s e one b e lo n g s t o a
p a r t i c u l a r c la s s *
S o c i a l s t a n d i n g g o v e rn s t h e d i s t r i b u t i o n
21
o f f u n c tio n s .”
■* * *
The s i m p l e s t a n a l y s i s o f m odern s o c i e t y r e v e a l s t h a t
o c c u p a t i o n a l c a t e g o r i e s do n o t c o r r e s p o n d t o h i e r a r c h i e s o f
s o c i a l p r e s t i g e , p r i v i l e g e , h o n o r , and power*
a p e r s o n who h a s p a s s e d t h e B a r e x a m in a tio n .
A " la w y e r ” i s
He may b e h i g h l y
e s te e m e d , o r h e may b l u s h when h i s f r i e n d s r e f e r t o him a s a
l a w y e r , b e c a u s e h e may b e f i n i s h i n g h i s f o u r t h y e a r w i t h t h e
W orks P r o g r e s s A d m i n is tr a t io n *
A p e r s o n 's p o s i t i o n I n t h e o c c u p a t i o n ,” a s s t r e s s e d by
M om bert, r e v e a l s much m ore*
I n t h e c a s e o f an em p lo y ee o f a
u n i v e r s i t y , I t may i n d i c a t e t h a t h e I s an I n s t r u c t o r I n r a n k .
S u p e r f i c i a l l y c o n s i d e r e d , one i n s t r u c t o r i s t h e e q u a l o f
e v ery o th e r .
As h a s b e e n show n, t h e r e a r e w r i t e r s who b u i l d
t h e i r t h e o r y o f t h e s o c i a l c l a s s s t r u c t u r e on t h i s p re m is e *
O b s e r v a tio n d e m o n s t r a t e s , h o w e v e r, t h a t t h e t h e o r y o f e q u a l
s o c ia l s t a t u s f o r e q u a l p r o f e s s io n a l ra n k can n o t b e a p p lie d
21 B o u g ie , o p * c i t . , p . 1 2 9 ; t r a n s l a t i o n o u rs*
w i t h s a t i s f a c t i o n t o c a s e s on e c o n f r o n t s d a y a f t e r d a y .
Some i n s t r u c t o r s a r e y o u n g men m ark e d t o r i s e , w ith
f i n e f a m i l y b a c k g r o u n d s , who h a v e m a r r i e d u l t r a - f a s h i o n a b l e
fo r in s ta n c e ,
women. T he f a c u l t y d i r e c t o r y o f New Y ork U n iv e r s ity /s h o w s
t h a t some o f them l i v e a t c o n s p ic u o u s a d d r e s s e s .
O th e r i n ­
s t r u c t o r s a r e o l d e r m en, w ith f e e l i n g s o f f a i l u r e , who w r e s t l e
m o n th ly w i t h t h e f a m i l y b u d g e t .
C e r ta in ly h e re i s abundant
e v id e n c e o f s o c i a l h e t e r o g e n e i t y i n t h e p r e s e n c e o f econom ic
h o m o g e n e ity .
Men w ork s i d e b y s i d e who do n o t , i n t h e i r
l e i s u r e t i m e , h a v e e n o u g h i n common, s t r i c t l y fro m t h e s o c i a l
c l a s s p o i n t o f v ie w , t o e n a b l e them t o f r a t e r n i z e w ith one
a n o th e r•
W h atev e r o c c u p a t i o n a l c a t e g o r y i s m e n tio n e d , o b s e r v a ­
t i o n q u i c k l y shows i t n o t t o b e hom ogeneous i n t h e s o c i a l
c la s s s e n s e .
T h e re a r e , w i t h i n a n y g iv e n c o m m u n ity , many
s o c i a l d i v i s i o n s among f a r m e r s .
E ven t h e te rm “fa rm -o w n e r”
does n o t d e s c r ib e th e s o c i a l p o s i t io n and c i r c l e o f f r ie n d s
o f t h e p e rs o n th u s d e s i g n a t e d .
The same i s t r u e o f t h e
c a te g o ry ” te n a n t."
In r e f e r r i n g t o s o c i a l c l a s s e s m any o f t h e m ore c a r e ­
f u l w r i t e r s a v o id d i r e c t r e f e r e n c e t o o c c u p a t i o n s .
M aclv er
s t a t e s c a t e g o r i c a l ly : " C la s s d i s t i n c t i o n s r e s t in th e l a s t
22
23
r e s o r t n o t on f u n c t i o n b u t on s t a t u s . 11
M om bert
ru le s out
22 R.M . M a c lv e r , S o c i e t y : A T e x tb o o k o f S o c io lo g y (New Y o rk ,
1937) p . 1 6 8 .
23 M om bert, o p . c l t . , ( 9 ) , p . 5 3 2 .
o c o u p a t i o n a l g ro u p s from h i s c a t e g o r y o f s o o l a l c l a s s , w h ic h
h e I d e n t i f i e s w ith c l a s s *
I t c a n b e s a f e l y s t a t e d t h a t th e
w e ig h t o f a u t h o r i t y i s now on t h e s i d e o f t h o s e who d i f f e r ­
e n t i a t e b etw een o c c u p a t i o n a l c a t e g o r i e s an d s o c i a l s t a t u s
g ro u p s•
Rene*Worms m akes t h e e m p h a tic s t a t e m e n t : "One m u st
n o t c o n fu s e c l a s s e s w ith p r o f e s s i o n s *
A p r o f e s s io n In c lu d e s
a l l men w hose a c t i v i t y p r o d u c e s a g i v e n r e s u l t , w h a te v e r
24
t h e i r r a n k on t h e s o c i a l l a d d e r • ”
Tawney r e p u d i a t e s t h e
t h e o r y o f p a r a l l e l i s m b e tw e e n o c c u p a t i o n a l f u n c t i o n s an d
t h e s o c i a l o l a s s e s In t h e s e w o rd s : "T he c l a s s s y s te m t a k e s
o f f I t s o v e r a l l s and o f f i c e c o a t a n d w e a rs a co stu m e a p p r o p r i 25
a t e t o t h e h o u rs o f e a s e * "
S lo w ly , t h i s p o s i t i o n i s com ing
t o b e a c c e p te d i n s o c i a l s c i e n c e .
W e a lth and s o o l a l s t a t u s *
The r e l a t i o n s h i p b e tw e e n
eco n o m ic f a c t o r s and s o c i a l c l a s s i s f u r t h e r c o m p lic a te d b y
t h e q u e s t i o n o f th e r e l a t i o n s h i p b e tw e e n w e a l t h and s o c i a l
s ta n d in g .
Do g r e a t an d medium w e a l t h d e te r m in e h i g h a n d
m id d le c l a s s s t a n d i n g , r e s p e c t i v e l y ; o r do h i g h and m id d le
c l a s s s t a t u s d e te rm in e th e d i s t r i b u t i o n
o f g r e a t an d medium
w e a lth ?
T h ro u g h o u t human h i s t o r y i t h a s n o t b e e n c h a r a c t e r i s t i c
o f s o c i a l c la s s e s to be s t r i c t l y p l u t o c r a t i c .
Rome, f o r i n -
24- Rene'"Worms, La S o c l o l o g l e ( P a r i s , 1 9 2 1 ) p . 7 1 ; t r a n s l a t i o n
o u rs.
25 R .H . Taw ney, E q u a l i t y (New Y o rk , 1 9 3 1 ) p . 6 0 .
s ta n c e , d e f i n i t e l y r e je c te d th e p l u t o c r a t i c th e o r y o f s t a t u s .
P r e c e d e n c e , s o c i a l e s te e m , an d s o c i a l p r e s t i g e h a v e r a r e l y i f
e v e r b e e n com puted i n p u r e l y n o n - p e r s o n a l , m a t e r i a l te r m s .
Sum ner and K e l l e r o b s e r v e : ” P l u t o c r a c y h a s b e e n h e l d i n c h e c k
b y a r i s t o c r a c y o f b i r t h , th o u g h a r i s t o c r a t s do n o t n o r m a lly
26
r e n o u n c e t h e i r o p p o r t u n i t y o f b e co m in g r i c h . ”
S o c ia l c la s s
u s u a l l y b r e a t h e s t h e a tm o s p h e re o f a r i s t o c r a c y , i . e . e x c l u s i v e ­
n e s s b a s e d on s o c i a l a n t e c e d e n t s .
T h is h a s b e e n g e n e r a l l y
t r u e o f t h e c r a f t a r t i s a n s , t h e m id d le c l a s s e s , and t h e u p p e r
c la s s e s o f a l l s o c ie tie s a l i k e .
F u r th e r m o r e , s o c i a l c l a s s
u s e s s o c i a l a d v a n ta g e t o r e a p econom ic r e w a r d s .
In how f a r d o e s t h i s t h e o r y h o ld ?
Is i t
fa m ily i s n o t s o c i a l l y r a t e d a c c o rd in g to i t s
tru e th a t a
eco n o m ic m eans?
I s i t p o s s i b l e t h a t s t a t u s p ro d u o e s a n d d i s t r i b u t e s w e a l t h
e v en m ore f r e q u e n t l y an d e f f e c t i v e l y th a n w e a lth p r o d u o e s
s ta tu s ?
S h o u ld t h e s l o g a n , "A m a n 's s o c i a l p o s i t i o n d e p e n d s
upon h i s econom ic p o w e r ,” b e p r e c e d e d b y t h e s t a t e m e n t :
" U s u a l l y a m a n 's w e a lth d e p e n d s upon t h e s o c i a l c l a s s i n
w h ic h h e was r e a r e d . ”
”Among p r i m i t i v e p e o p l e s , ” we a r e t o l d , ”w e a l t h i s
p e r h a p s m ore l i k e l y t o b e a r e s u l t o f pow er th a n p o w er o f
27
28
w e a lth .”
F o r m odern tim e s M ombert
w ould r e v e r s e t h i s
26 W illia m Graham Sum ner and A l b e r t G a llo w a y K e l l e r , The
S c ie n c e o f S o c i e t y , v o l . I (New H a v e n , 1 9 2 7 ) p . 5 7 3 .
27 L o o , c t t .
28 M om bert, oj>. c l t . ( 9 ) , p . 5 3 4 .
e m p h a sis*
He h o l d s t h a t t h e s o c i a l f a c t o r s o f c l a s s d e t e r ­
m in a tio n may f o r m e iy h a v e b e e n p r e d o m in a n t, b u t t h a t w i t h t h e
g ro w th o f c a p i t a l i s m
t h e econom ic f a c t o r s h a v e b e e n a s c e n d a n t .
I f w e a l t h h a d b e e n e q u a l l y , o r ev en a p p ro x im a te ly ^ a c c e s s i b l e
t o a l l o l a s s e s , M om bert1s t h e o r y w ould u n q u e s t i o n a b l y b e t r u e ,
b u t s u o h a p p r o x im a te e q u a l i t y d id n o t e x i s t *
W e a lth becam e
r e l a t i v e l y m ore I n d e p e n d e n t o f t h e s o o l a l c l a s s s y s te m , b u t
n e v e r c o m p le te ly f r e e o f i t s
c o n tro ls .
D i s c u s s io n s p e r t a i n i n g t o t h e r e l a t i o n s h i p b e tw e e n
eoo n o m lc a n d s o c i a l f a c t o r s i n t h i s r e g a r d f r e q u e n t l y m e n tio n
t h e t h e o r e t i c a l e a s e w i t h w h ic h a w e a lth y p e r s o n i n E n g la n d ,
f o r I n s t a n c e , can a r r a n g e t o b e k n i g h t e d .
T h is I s g iv e n a s
29
e v id e n c e o f t h e pow er o f w e a l t h t o a c q u i r e s t a t u s .
The
c o n v e r s e a rg u m e n t i s t h a t th e n o b i l i t y can r e c o v e r i t s f o r ­
tu n e a t an y tim e b y m a r r y in g I n t o t h e w e a l t h i e r n o n - n o b le
fa m ilie s .
I t may b e a rg u e d w ith r e a s o n t h a t a l l r i c h men
d i d n o t becom e k n i g h t s o r n o b l e s , b u t a lm o s t a l l t i t l e d
f a m i l i e s h a v e re m a in e d a f f l u e n t up t o t h e p r e s e n t e r a .
G onnard s t a t e s : "T he c o n q u e s t o f w e a l t h I s a o o n s e q u e n c e , r a t h e r th a n a c a u s e , o f c l a s s f o r m a t i o n .
G la s s e s
SO
a r i s e , f i r s t o f a l l , fro m d i f f e r e n c e s o f o r i g i n
. .
G u r e w ita c h b e lo n g s t o t h e same s c h o o l o f t h o u g h t : " S o c i a l
29 C h a r le s H o rto n C o o le y , S o o l a l O r g a n iz a t i o n (New Y o rk , 1 9 0 9 )
p . 282.
30 R en e' G o n n a rd , "Q u e lq u e s c o n s i d e r a t i o n s s u r l e s o l a s s e s , "
i n t h e R evue E conom ique I n t e r n a t i o n a l e . 1 7 t h y e a r ,
v o l . I I ( A p r i l 1 0 , 1925) p . i*7; t r a n s l a t i o n o u r s .
pow er i s , a t t h e same t i m e , eco n o m ic pow er an d g i v e s th e
31
h i g h e r c l a s s e s a r e l a t i v e l y h i g h e r eco n o m ic p o s i t i o n . "
If
i t i s t r u e t h a t t h e p o s s e s s i n g c l a s s e s te n d t o become t h e
d o m in a tin g o n e s , th e n i t f o l l o w s t h a t t h e d o m in a tin g c l a s s e s
32
te n d t o becom e t h e p o s s e s s i n g o n e s .
A young man u s u a l l y a c q u i r e s fro m h i s p a r e n t s , i f t h e y
b e lo n g t o t h e m id d le o r u p p e r c l a s s e s , so m e th in g o f econom ic
v a lu e f a r b e y o n d w h a te v e r f i n a n c i a l p r o v i s i o n t h e y make f o r
h im .
The i n t a n g i b l e s h a n d e d down fro m p a r e n t s t o c h i l d r e n
in c lu d e s o o la l c o n ta o ts , te c h n ic a l s k i l l s , a t t i t u d e s , v a lu e s ,
an d d e s i r e s : a l l o f w h ich may b e o f c o n s i d e r a b l e econom ic
s ig n ific a n c e *
S u c h a s s e t s can m ore e a s i l y b e t u r n e d i n t o
eco n o m ic goods b y t h e s e c l a s s e s th a n can a p e r s o n w ith o u t
m eans a n d s t a t u s f i r s t a c q u i r e t h e m eans and th e n " p u r c h a s e "
th e s ta tu s *
S o c ia l c la s s c o n tin u o u s ly t r a n s l a t e s I t s e l f in to
w e a lth , g r e a t o r s m a ll.
W ith w isdom i t can b e s a i d t h a t t h e k in g i s r i c h b e ­
cau se h e i s k in g ; h e i s n o t k in g b e c a u se h e i s r i o h .
A c a r e f u l s u r v e y o f t h e l i t e r a t u r e on t h i s s u b j e o t
h a s r e v e a l e d t h a t t h e c h i e f p o i n t o f e m p h a sis o f w r i t e r s i n
t h i s f i e l d h as b een re v e rs e d in th e p a s t h a lf-c e n tu ry *
When
31 B . G u r e w lts c h , "D ie E n tw lc k lu n g d e r M e n a c h lic h e n B ed & rfn i s s e und d i e S o z l a l e G lie d e r u n g d e r G e s e l l s o h a f t , "
i n S t a a t s - u n d - S o z l a l w l s s e n s c h a f t l l o h e F o rs o h u n g . v o l .
XIX, p a r t IV (1 9 0 1 ) p* 1 6 5 ; t r a n s l a t i o n o u rs*
32 G o n n a rd , o p * c l t . . p . 8 2 .
S i r H e n ry Maine s u r v e y e d t h e t h e o r i e s r e g a r d i n g t h e o r i g i n
o f a r i s t o c r a c i e s , he f o u n d t h a t t h e e m p h a s is was p l a c e d upon
k in g ly f a v o r .
He, th e n ,
s e t a b o u t t o show t h a t some n o b l e
l i n e s w e re fo u n d e d b y r i c h
c a ttle m e n , t h a t th e h e ro e s o f th e
H om eric poems w ere w e a l t h y , and t h a t t h e w a r r i o r s o f t h e '
33
N I b e l u n g e n l i e d w e re " n o t o n l y n o b l e b u t r i c h . "
The i n f e r ­
e n c e h e r e i s t h a t t h e s e n o b l e s a n d w a r r i o r s beoam e s u c h by
v i r t u e o f t h e i r m eans, b u t t h e e v id e n c e i s la c k in g t o p ro v e
th a t w e a lth a c t u a l l y produced th e f i r s t up p er o l a s s e s .
T hey c o u l d h a v e a c q u i r e d w e a l t h a s a c o n s e q u e n c e o f t h e i r
pow er.
Max W eber, i n d e s c r i b i n g how w e a l t h becam e c o n c e n ­
t r a t e d , shows t h e p r i o r i t y o f s o c i a l p o s i t i o n o v e r econom io
34
p o w e r. He w r i t e s :
The d i f f e r e n t i a t i o n i n w e a l t h . . . h a s d i f f e r e n t
s o u r c e s . One i s c h i e f t a i n s h i p , w h e t h e r i n t h e c h i e f ­
t a i n o f a c l a n o r o f a m i l i t a r y g ro u p * The d i v i s i o n
o f t h e l a n d among t h e members o f t h e c l a n was i n t h e
hands o f th e c la n c h i e f t a i n . T h is t r a d i t i o n a l r i g h t
o f t e n d e v e l o p e d i n t o s e i g n i o r a l pow er w h ic h becam e
h e re d ita ry .
C l a s s e s a r e n o t a lw a y s made a n d unmade b y econom ic
t r e n d s , a s t h e t h e o r y o f e c o n o m ic d e t e r m i n i s m w ould t e a c h ;
on t h e c o n t r a r y , t h e k i n g o r t y r a n t so m e tim e s u n d e r m in e s o l d
a r i s t o c r a c i e s an d e x c l u s i v e g r o u p s a n d b u i l d s u p d i f f e r e n t
35
ones in t h e i r p l a c e .
33 H e n ry S . M a in e . The E a r l y H i s t o r y o f I n s t i t u t i o n s (L o ndo n.
18 90) p p . 1 3 7 = 1 3 5 .
34 Max W eb er, G e n e r a l E conom ic H i s t o r y , t r . P r a n k H. K n ig h t
(New Y o r k , 1 9 2 7 ) p . 5 i .
35 F a h l b e o k , 0£ . o i t . , p p . 2 0 1 -2 0 2 *
P e r s o n a l f a c t o r s , m o st f r e q u e n t l y o f a s o c i a l c l a s s
c h a r a c t e r , o f t e n p a v e t h e way f o r t h e d i s t r i b u t i o n o f t h e
econom ic s u r p l u s among p e r s o n s .
The w o r k i n g s o f t h e s o c i a l
upon t h e econom ic f a c t o r s i n t h e l i f e o f c o l o n i a l A m e ric a a r e
36
d e l i n e a t e d b y Adams:
. . . a c c e s s t o o f f i c i a l s o c i e t y was a p r e r e q u i s i t e t o t h e
se o u rin g o f t h i s in flu e n c e ^ a b i l i t y to o b ta in lan d g r a n t s /
and a s t h e s o c i e t y was c o m p a r a t i v e l y l i m i t e d , i n t e r m a r ­
r i a g e among i t s members becam e i n c r e a s i n g l y f r e q u e n t . . .
The f i n a n c i a l s t a n d i n g o f t h e i r members t h u s i n c r e a s i n g
a l s o e n a b l e d them t o s t r e n g t h e n t h e i r p o s i t i o n a s m e r c h a n t s .
I n a l l t h e c o l o n i e s , t h e c o u n c i l s w e re a l m o s t w h o l l y made
u p o f t h e members o f t h e s e a r i s t o c r a c i e s . . . By m eans o f
t h e i r la r g e la n d h o ld in g s, t h e i r p o sse ssio n o f a c o n sid e r­
a b l e p o r t i o n o f t h e c a s h c a p i t a l o f A m e r ic a , t h e i r p o s i t i o n
a s m erchant c r e d i t o r s o f th e s m a lle r p e o p le , t h e i r c o n tr o l
o f t h e c o u n c i l s , and t h e i r p r i v i l e g e d s i t u a t i o n w i t h r e ­
g a rd t o th e d is p e n s e r s o f p a tro n a g e and f a v o r s , as w e ll
a s t h e m ore i n t a n g i b l e I n f l u e n c e s a l w a y s a p p e r t a i n i n g t o
a d i s t i n g u i s h e d s o c i a l p o s i t i o n , t h e a r i s t o c r a t s b y 1700
w e re f a s t e n i n g a f i r m g r i p b o t h u p o n t h e p o l i t i c a l m an ag e­
m ent a n d c o m m e rc ia l e x p l o i t a t i o n o f t h e New W o r ld .
T h e r e i s one g r e a t d i f f e r e n c e b e tw e e n t h e g e n e r a l i z a ­
t i o n t h a t new w e a l t h p u r c h a s e s new s t a t u s an d t h e i d e a t h a t
o l d s t a t u s i s a s o u r c e o f w e a l t h , b o t h new a n d o l d .
l a t t e r I s a lw a y s an a c t i v e p r o c e s s .
i t f u n c t i o n s sm o o th ly .
The
C e n tu ry a f t e r c e n tu r y
The f o r m e r s t a t e m e n t i s t r u e o n l y i n
c e r t a i n t i m e s and p l a o e s .
The p r e s e n t p e r i o d i n t h e U n i t e d
S t a t e s , a t l e a s t t h e p e r i o d f ro m 1860 t o t h e p r e s e n t , h a s
p e r h a p s s e e n more o f t h e eco n o m ic I n f l u e n c e on s o c i a l c l a s s e s
t h a n human h i s t o r y h a s e v e r b e f o r e e x p e r i e n c e d .
The u p p e r
c l a s s e s , in o th e r w o rd s, have been te m p o r a r ily u n a b le t o
36 Jam es T r u s lo w Adams, P r o v i n c i a l S o c i e t y . 1 6 9 0 -1 7 6 3 (New
Y o rk , 1 9 2 7 ) p p . 6 ^ - 6 T.
m o n o p o li z e w e a l t h a n d t h e r e f o r e h o l d t h e i r r a n k s f i r m *
H o w ev e r, a s w i l l b e shown i n l a t e r c h a p t e r s , t h e am o u n t o f
s o c i a l c l a s s c o n t i n u i t y h a s f a r o u tw e ig h e d t h e am ount o f
s o c ia l c la ss p e rc o la tio n .
S o c ia l c la s s produces w e a lth ,
e a c h s t a t i o n m o re o r l e s s a c c o r d i n g t o I t s p l a c e on t h e
sc a le *
S o c i a l c l a s s i n A m erica h a s n o t form ed i t s
stru c tu re
e a c h g e n e r a t i o n o u t o f nnew men" c h a r a c t e r i s t i c a l l y *
That
i s , t h e u p p e r an d m id d l e o l a s s e s h a v e n o t n e g l e c t e d t h e i r
e co n o m ic o p p o r t u n i t i e s t o t h e e x t e n t t h a t a n y o v e rw h e lm in g
am o unt o f w e a l t h h a s b e e n a ll o w e d t o f a l l i n t o t h e h a n d s o f
p e r s o n s o f l o w e r c l a s s s t a n d i n g , w i t h w h ic h t h e y c o u l d o v e r ­
come a n d o u t r a n k t h o s e p e r s o n s o f r e s p e c t a b l e a n d r e p u t a b l e
p a re n tag e *
In o r d e r to d e m o n stra te t h a t f a m i li e s o f h ig h s o c i a l
s t a n d i n g t e n d t o m o n o p o liz e o p p o r t u n i t y i n t h e e co n o m ic
r e a l m . A p p en d ix I i s o f f e r e d a s t y p i c a l o f t h e m an n er In
w h ic h t h e good t h i n g s o f l i f e a r e d i s t r i b u t e d among t h o s e
w ith p r io r a d v a n ta g e .
T h e re one f i n d s t h a t ,
a lth o u g h ap­
p l i c a t i o n was made b y many f i n e f a m i l i e s o f S c o t l a n d t o b e
a llo w e d t o ta k e u p , e a r l y In th e se v e n te e n th c e n t u r y , th e
n e w ly s u b j u g a t e d l a n d s o f N o r t h I r e l a n d , when t h e f i n a l
l i s t o f t h o s e a c c e p t e d was I s s u e d , t h e l a r g e r t r a c t s w e re
g e n e r a l l y d i s t r i b u t e d among p e r s o n s o f h i g h r a n k .
A p p e n d ix I
a l s o s h o w s , b y t h e t y p i c a l m anner i n w h ic h m i d d l e c l a s s
f a m i l i e s w ent bond f o r each o th e r ,
t h e d e g r e e t o w h ic h t h e y
w e re p r e p a r e d , I f g i v e n t h e c h a n c e , t o f u r t h e r e n t r e n c h t h e i r
own e c o n o m ic p o s i t i o n *
m en t.
B u t many w ere d e s t i n e d t o d i s a p p o i n t ­
T h e i r s u p e r i o r s came b e f o r e th e m .
The u s e s t o w h ic h w e a l t h I s p u t .
w ith o u t s i g n i f i c a n t s o c i a l s t a t u s .
P l a in l y , a m ise r I s
Once one h a s o b t a i n e d
w e a lth , w h e th er b y I n h e r ita n c e or th ro u g h th e c a r e f u l t r a i n ­
in g and e d u c a tio n p ro v id e d b y o n e 's p a r e n t s , o r th ro u g h o n e ’s
own e f f o r t s o r good f o r t u n e , t h e r e i s a lw a y s t h e p r o b le m o f
p u ttin g I t to u s e .
Some p e r s o n s , a l t h o u g h t h e y h a v e m oney, d o n o t o b t a i n
s o c i a l s t a t u s fro m I t s u s e b e c a u s e o f t h e way t h e y o h o o se t o
sp e n d ( o r n o t t o s p e n d ) I t .
Ifflhile i t
I s t r u e t h a t " th e o n ly
p r a c t i c a b l e m eans o f i m p r e s s i n g o n e ' s p e c u n i a r y e b i l i t y on
t h e s e u n s y m p a t h e t i c o b s e r v e r s o f o n e ' s e v e r y d a y l i f e I s an
37
u n r e m ittin g d e m o n stra tio n o f a b i l i t y to p a y ,”
a s V e b len
s a y s j y e t I t d o e s n o t f o l l o w t h a t p e o p l e a r e w is e i n o h o o s ln g
b e tw e e n d i f f e r e n t i t e m s o f e x p e n d i t u r e - - i f i t i s s o c i a l
s t a t u s t h e y w i s h t o o b t a i n o r (as i s m ore o f t e n t h e c a s e ) t o
re ta in .
A lth o u g h i t
i s p r o b a b le t h a t o n ly a v e ry sm a ll f r a c ­
t i o n o f t h e p o p u l a t i o n o f a n y l a n d i s i c o n o c l a s t i c , many who
a c q u i r e r i c h e s n e v e r l e a r n how t o p u t th em t o s o c i a l c l a s s
uses.
The f a m i l i a r t h e o r y t h a t i f a f a m i l y i s n e w ly r i c h i t
c a n , g i v e n t i m e , a c q u i r e t h e p o l i s h , m a n n e r s , "an d c o n t a c t s
37 T h o r s t e i n V e b l e n , The T h e o ry o f t h e L e i s u r e C l a s s (New
Y o r k , 1 9 2 7 , f i r s t p u b l i s h e d , 1 8 99) p . 8 7 .
w h ic h make f o r h i g h s o o l a l s t a n d i n g , "
q u a l i f i e d s o m e w h a t.
sh o u ld , p e rh a p s, be
The n e c e s s a r y q u a n t i t y o f w e a l t h
r e q u i s i t e to e n tr a n c e i n t o o l a s s e s c o n s id e r a b ly h ig h e r th an
o n e ' s own ( s u c h a s m ig h t come t o a m i n e r who m akes a b i g
s t r i k e o r t o a f a r m e r who becom es r i c h fro m o i l ) i s s u b j e c t
t o d i s s i p a t i o n e v e n b e f o r e t h e end o f one l i f e t i m e .
F u rth e r­
m o re , t h e n e o e s s a r y s e l f - d i s c i p l i n e , s u c h a s i s r e q u i r e d i n
tu r n in g over th e c h ild r e n to t r a i n e d g o v e rn e s s e s , i s f r e ­
q u e n tly la c k in g .
S u c c e s s f u l an d w e a l t h y men i n V i r g i n i a , r e s e a r c h h a s
show n, s e n d t h e i r o h l l d r e n e i t h e r t o p r i v a t e s c h o o l s and
c o l l e g e s , o r , i f s e l f - m a d e , t h e y so m e tim e s l e t them t a k e
b u s i n e s s c o u r s e s i n t h e l o c a l h i g h s c h o o l and do as t h e i r
f a th e rs d id ,
s t a r t a t th e b o tto m .
One so n i s g i v e n a s s o c i a ­
tiv e c o n ta c ts; th e o th e r i s a ssu re d th a t in d u stry w ill s u ffic e
fo r success.
F a t h e r s o f t r a d i t i o n a l s o c i a l s t a t u s , c h o o s in g
t h e f o r m e r a p p r o a c h , a r e g e n e r a l l y m ore p r a c t i c e d i n t h e a r t s
o f w in n in g and k e e p i n g s o c i a l s t a t u s t h a n a r e f a t h e r s , t h e m s e l v e s
s e l f - m a d e , who s t a r t t h e i r s o n s w here t h e y s t a r t e d .
However,
t h e w i s e r men o f new s u c c e s s a p e t h e h a b i t s o f f a m i l i e s o f
lo n g h ig h s o c i a l s ta n d in g .
T h e i r m a t e r i a l s u c c e s s becom es
i n c o r p o r a te d ^ t h e n , i n t o th e s o c i a l c l a s s sy ste m .
S o c ia l s t a t u s , even t h e r e t e n t i o n o f s o c i a l s t a t u s ,
38 M a r s h a l l , o p . c l t . . p . 6 0 .
# S ee AppendTX I I T T
i s n e v e r p urchased o u t r i g h t .
I t is
earn ed.
T im e, e f f o r t ,
p a t i e n c e , c a r e f u l p l a n n i n g , a n d money a r e t h e p r l o e .
Mere
p r id e , h a u te u r . never s u f f ic e s to o b ta in s o c ia l p r e s tig e .
The r e a l c o s t i s u n e n d in g c o n t a c t : s e e i n g , g r e e t i n g , m e e t ­
in g p e o p le .
S o c i a l l i f e i s a t r e a d m i l l fro m w h ic h t h e r e i s
no r e s t ;
t h e p e o p l e a r e r e a l l y h a r d a t w ork c a r r y i n g o u t
39
i t s o b lig a tio n s .
nA l e i s u r e c l a s s a lw a y s g i v e s g r e a t a t 40
te n tlo n to th e a r t s of s o c ia l in te r c o u r s e ," says R oss.
B u t t h e c l a s s e s who sp e n d t h e i r d a y s i n a c t i v e w o rk a r e a l s o
a tte n tiv e to th e ir
so c ia l o b lig a tio n s .
C lu b s, c o m m itte e s,
t e a s , d r i n k i n g p a r t i e s , a l l consum e p r e c i o u s l e i s u r e h o u r s .
W o rk ers' w iv e s , t o o , r i s e e a r l y and c le a n t h e h o u se ; f o r
when v i s i t o r s come, t h e r e m u st b e a n e a t p l a c e i n w h ic h t o
sit.
And t h e h o s t e s s , e v e n on s u c h a n i n f o r m a l o c c a s i o n ,
h a s th o u g h t o f h e r h a i r and s t o c k i n g s .
W e a lth a n d s o c i a l s t a t u s r e s o l v e t h e m s e l v e s , i n so
f a r a s th e y a r e a l l i e d to each o t h e r , th e n , i n t o t h e f o llo w ­
in g in te r r e la tio n s h ip s :
( 1 ) New w e a l t h i s m ore a c c e s s i b l e t o
f a m i l i e s o f h i g h and m i d d l e c l a s s s t a n d i n g t h a n t o f a m i l i e s
o f low s t a t u s .
(2 ) F a m i l i e s o f low s t a n d i n g w h ic h s u c c e e d
i n a c q u i r i n g g r e a t o r medium w e a l t h m ay, s o m e tim e s , w i t h
g r e a t c a r e an d good l u c k , move i n t o o l a s s e s much h i g h e r t h a n
t h e i r form er p o s i t i o n .
When t h i s h a s b e e n a c c o m p l i s h e d , t h e i r
39 C.W. N i o h o l l s , The 469 U 1 1 r a - F a s h l o n a b l e s o f A m e ric a (New
Y o r k , 1 912) p p . 1 0 - 1 2 •
40 Edw ard A l s w o r th R o s s , The O u t l i n e s o f S o c i o l o g y (New Y o rk ,
1 933 ) p . 2 9 6 .
w e a lth b e lo n g s h e n c e f o r th t o t h a t h ig h e r s o c i a l c la s s *
How­
e v e r , t h i s c an h a p p e n o n l y when ( a ) p r o p e r t y a n d r i c h e s a r e
n o t c a r e f u l l y c o n t r o l l e d and m o n o p o liz e d b y t h e m i d d l e and
u p p e r c l a s s f a m i l i e s , and (b ) w h ere t h e s o c i a l c l a s s s t r u c ­
t u r e c o n d e s c e n d s t o a d m it s h i f t i n g o f s t a t u s t h r o u g h t h e
d is p la y o f p e c u n ia ry s tr e n g th .
P o l i t i c a l A s p e c ts o f D e f i n i t i o n o f C l a s s a n d S o c i a l C l a s s
I n a d d i t i o n t o p u r e l y e co n o m ic c r i t e r i a f r e q u e n t l y
u d e d t o d e f i n e c l a s s o r s o c i a l c l a s s , t h e r e comes i n s e c o n d
p l a c e t h e q u e s t i o n o f how s t a t u s i s a f f e c t e d b y p o l i t i c s .
Do R e p u b l i c a n s c o n s t i t u t e one s o o l a l c l a s s . D e m o c ra ts a n o t h e r ,
and S o c i a l i s t s s t i l l a t h i r d ?
I f a s e c tio n o f th e p o p u la tio n
i s u n a b le to e x e r c is e th e f r a n c h i s e , does i t ,
th e re fo re ,
c o n s titu te a "c la ss"?
O n ly i n some c o m m u n itie s d o e s i t
o ccu r to p e o p le
d i r e c t l y to i d e n t i f y o n e 's s o c i a l s t a t u s w ith o n e 's p o l i t i c a l
p a r t y , a s b e tw e e n t h e tw o m a j o r p a r t i e s o f t h i s c o u n t r y .
L im ite d s o c i a l d is c r im in a tio n i s , how ever, f r e q u e n t l y e x e r ­
c i s e d i n some c i r c l e s a g a i n s t a p e r s o n b e c a u s e h e i s a member
o f t h e R e p u b l i c a n o r D e m o c r a tic p a r t y .
B ut t h e p ro b le m o f t h e r a d i c a l o r w o r k e r s ' p a r t y o r
p a r t i e s o f f e r s much m ore d i f f i c u l t y .
Is n o t th e w o rk e rs'
p a r t y , w h a t e v e r i t s nam e, a c l a s s p a r t y ?
D oes n o t e v e r y o n e
who v o t e s a n d w o rk s f o r t h i s p a r t y c o n s i d e r h i m s e l f t o b e
a member o f t h e w o r k in g c l a s s ?
Is a ra d ic a l in te lle c tu a l
s o c i a l l y a s w e l l a s p o l i t i c a l l y a member o f t h e s t r u g g l i n g
low er o r d e r s o f s o c i e t y ?
S o o la l s t a tu s and th e c l a s s s t r u g g l e .
Is th e re a
d i r e c t c o n n e c t i o n b e tw e e n t h e s o c i a l c l a s s e s and t h e c l a s s
s tr u g g le ? R e c e n tly a s o c io lo g ic a l tex tb o o k i d e n t i f i e d th e
41
tw o .
H e re t h e c l a s s e s a r e d e f i n e d as t h e tw o c o m p e t i t i v e
g r o u p s , c a p i t a l i s t s a n d l a b o r e r s , i n a s t r u g g l e f o r e co n o m ic
42
g o o d s . The a u t h o r s s t a t e :
A l t h o u g h we a r e n o t q u i t e c l e a r w h a t we mean when we
c a l l someone a c a p i t a l i s t and a n o t h e r a w o r k e r , y e t i f
J . P . Morgan a n d J o h n , t h e d i t c h d i g g e r , w e re b r o u g h t t o ­
g e t h e r we w ou ld h a v e l i t t l e d i f f i c u l t y i n d i s t i n g u i s h i n g
t h e tw o , n o t o n l y b y t h e i r a p p e a r a n c e , b u t , m ore im p o r ­
t a n t f o r th e s o c i o l o g i s t , by t h e i r a t t i t u d e s , t h e i r
s t e r e o t y p e d n o t io n s a b o u t each o t h e r , t h e i r p r e j u d i c e s ,
a n t i p a t h i e s , an d l o y a l t i e s . T heuw o r k ln g c l a s s wman i s
a p a r t o f a c u l t u r e o o m p lex 0 H is p l a c e i n t h e eoonom lo
s t r u g g l e g i v e s him common i n t e r e s t s w i t h o t h e r s o f low
incom e a n d w i t h o t h e r s who w ork i n f a c t o r i e s a n d a r e
d e p e n d e n t upon w ages p a i d by t h e b o s s . I f t h e y a r e c o n ­
s c i o u s o f t h e s e common i n t e r e s t s and do s o m e th in g a b o u t
i t , s u c h a s s u p p o r t i n g e a c h o t h e r ' s s t r i k e s , t h e y show
s i g n s o f b e c o m in g " c l a s s c o n s c i o u s . "
H e re we a r e c o n f r o n t e d w i t h o r g a n i z a t i o n s
( w h e th e r
s t r i o t l y on t h e p o l i t i c a l f r o n t o r i n t h e f i e l d o f i n d u s ­
t r i a l w a r f a r e in t h i s i n s t a n c e b e in g of no c o n s e q u e n c e ), w ith
a com m unity o f i n t e r e s t s .
The d i f f e r e n c e s b e tw e e n o r g a n i z a 43
t i o n s , a c c o rd in g to S o ro k in ,
c r e a t e a b a s i s f o r w hat i s
now adays c a l l e d c l a s s - d l f f e r e n t l a t l o n , w i t h i t s c l a s s
41 R o b e r t L . S u t h e r l a n d a n d J u l i a n L . W oodward, I n t r o d u c t o r y
S o c i o l o g y ( O h l c a g j , 1 937) p p . 3 6 0 - 3 6 1 .
42 L o c . c l t .
43 P i t i r l m S o r o k i n , S o o l a l M o b i l i t y (New Y o r k , 1 9 2 7 ) p p . 4 3 9 440.
a n t a g o n i s m s and c l a s s f r i o t i o n .
O b s e r v a t i o n an d r e f l e c t i o n l e a d t o t h e c o n c l u s i o n
t h a t t h e c l a s s s t r u g g l e , w h ic h I s a d e s c r i p t i v e t e r m u s e d
t o a p p l y t o t h e I n d u s t r i a l c o n f l i c t s and t o some o f t h e
p a rlia m e n ta ry s tr u g g le s o f th e l a s t c en tu ry , i s a s tr u g g le
b e tw e e n p r e s s u r e g r o u p s a n d p a r t i e s .
I t i s h a r d l y a term
a p p lic a b le to th e j e a l o u s i e s , d i s l o y a l t i e s , y e t s o c i a l co­
h e s i o n , o f s o c i a l g r o u p s w h ic h make up t h e s o c i a l c l a s s e s .
The c l a s s s t r u g g l e i s s o m e th i n g d e f i n i t e and e x a c t , f i x e d
by u sag e.
The w ord c l a s s h e r e , a s i n t h e c a s e o f t h e o c c u ­
p a t i o n a l c l a s s e s , i s c o r r e c t l y u s e d , i f by i t i s m eant
d e f i n i t e o r g a n i z a t i o n s w h ic h a c t a s p o l i t i c a l p a r t i e s o r
p r e s s u r e g r o u p s , o n l y so l o n g a s i t i s n o t c o n f u s e d w i t h
s o c i a l s t r a t a o r s o c i a l c l a s s e s , w hose p u r p o s e s a r e o f a n o t h e r
k i n d , whose l o y a l t i e s a r e d i f f e r e n t , whose e x i s t e n c e c o n t i n u e s
even a f t e r p o l i t i c a l p a r t i e s , l a b o r u n i o n s , a n d t h e c l a s s
s t r u g g l e h a v e b e e n a b o l i s h e d o r made m e a n i n g l e s s .
T h e r e i s , t h e n , a w o r k i n g c l a s s w h ic h i s com posed o f
a l l t h o s e who v o t e t h e l a b o r t i o k e t , and i n t h i s c a s e i t d o e s
n o t i n c l u d e t h e doorm an who a lw a y s v o t e s T o r y ,
But th e r e i s
a n o t h e r w o rk in g c l a s s , a s M a r s h a l l i n s i s t s , w h ic h i s a " r e a l
s p h e r e o f s o c i a l i n t e r c o u r s e " and w h ic h r e m a in s a s o c i a l
c l a s s , e v e n th o u g h t h e " w o r k in g c l a s s o r g a n i z a t i o n ,
, ,
o c c u p ie d e n t i r e l y in th e d e fe n se o f i t s i n t e r e s t s a g a i n s t
44
c a p i t a l , b e lo n g s r a t h e r to th e c a te g o ry of p a r t y ,"
44 M a r s h a l l , o p , o l t . . p . 6 6 ,
A l l r e v o l u t i o n a r y p a r t i e s o f w o r k in g c l a s s o r i e n t a t i o n
h a v e I n t e l l e c t u a l l e a d e r s draw n l a r g e l y fro m t h e m id d l e and
upper s o c ia l c la s s e s *
These p a r t i e s se e k to c a p tu re th e s t a t e ,
and a s such a r e p a r t i e s *
Many w o r k e r s r e f u s e t o c o o p e r a t e
w i t h them*
S ch u m p eter, u s in g c l a s s In th e se n se o f s o c i a l
45
c la s s , p o in ts out t h i s f a c t :
F o r e a c h i n d i v i d u a l h i s c l a s s m e m b e rs h ip tea g i v e n
f a c t w h ic h i s I n d e p e n d e n t o f h i s w i l l * B u t he d o e s
n o t a lw a y s c o n f i r m i t b y h i s a c t i o n s *
P ersons a r e
known t o f u n c t i o n , e s p e c i a l l y p o l i t i c a l l y , w i t h and
f o r a c l a s s t o w h ic h t h e y do n o t b e l o n g an d a g a i n s t
a c l a s s t o w h ic h t h e y do b e lo n g * I n p r a c t i c a l l i f e
t h e s e c a s e s a r e w e l l know n, and we s p e a k o f them a s
f e llo w - tr a v e lle r s , ren eg ad es, e tc .
In e i t h e r i t s r e v o l u t i o n a r y o r i t s
In stitu tio n a liz e d
fo rm t h e c l a s s s t r u g g l e , e x c e p t f o r some s l a v e and s e r f u p ­
r i s i n g s , h a s n o t c h a r a c t e r i z e d t h e h i s t o r y o f man e x c e p t
d u r i n g t h e p a s t tw o c e n t u r i e s *
To f u n c t i o n , I t m u st h a v e a s
i t s b a se t h e r i g h t o f f r e e a sse m b ly , f r e e s p e e c h , and a f r e e
p r e s s , or t h e i r e q u iv a le n t*
S o c i a l c l a s s e s , on t h e c o n t r a r y ,
h a v e a lw a y s e x i s t e d , a t l e a s t among c i v i l i z e d men.
U sage h a s b e e n o f a s s i s t a n c e i n one r e s p e c t *
P rofesso r
N a t h a n , f o l l o w i n g u s a g e , d i s t i n g u i s h e s b e tw e e n th e p r o l e t a r i a t
and t h e p r o l e t a r i a n s .
I n t h e one c a s e h e l e c t u r e s o f c l a s s
c o n scio u sn ess in th e c l a s s s t r u g g le se n se ; in th e o th e r case
h e i s r e f e r r i n g t o t h o s e whose way o f l i f e
and n o n - m i l i t a n c y
c h a ra c te riz e th e ir s o c ia l c la ss a t t i t u d e s .
45 J o s e p h S c h u m p e t e r , " D ie s o z l a l e n K l a s s e n im e t h n i s c h homogenen M i l i e u , " i n A r c h l y f t i r S o z l a l w l s s e n s c h a f t
und S o z l a l p o l l t l k (T flb in g e n , 1 ^ 2 7 J p . 8 ; t r a n s l a t i o n
o u rs.
C la s s c o n s c i o u s n e s s a n d s o c i a l c l a s s c o n s c i o u s n e s s .
W hat, t h e n , I s c l a s s c o n s c i o u s n e s s ?
b e two k i n d s .
O b v i o u s l y , t h e r e m u st
C l a s s c o n s c i o u s n e s s i n t h e M a rx ia n s e n s e o f
I n t e n s e l o y a l t y , s o l i d a r i t y , and e n m i t y i s f a m i l i a r t o e v e r y ­
one who h a s r e a d i n s o c i a l s c i e n c e .
I t i s a fe e lin g of u n ity
a g a i n s t a l l who w i l l n o t a c c e d e t o t h e w i s h e s o f t h e " l a t e n t
46
m a s se s."
L ik e t h e c l a s s s t r u g g l e , c l a s s c o n s c i o u s n e s s o f
t h i s t y p e " d i d n o t r e a l l y show I t s e l f u n t i l t h e n i n e t e e n t h
47
c e n tu ry . . . "
C a p i t a l i s t s an d t h e i r l a c k e y s , t y p i f i e d b y com m uters
on c e r t a i n r a i l w a y l i n e s , a r e a l s o known f o r t h e i r f e e l i n g s
of p o l it i c o - i n d u s t r i a l c la ss c o n sc io u sn e ss.
T h e ir p o s itio n
i s m e r e l y t h e o t h e r p o l e o f t h e same a x i s , i n so f a r a s t h e
k in d o f co n scio u sn ess i s
c o n ce rn e d .
T h e y m ay, a s may l e a d ­
in g tr a d e u n i o n i s t s , a l s o be h i g h l y c l a s s c o n scio u s i n th e
s o c i a l c la s s s e n s e , h o w ever.
In t h i s c a s e t h e y an d t h e
t r a d e u n i o n l e a d e r s m ig h t be e q u a l s a n d t h e r e f o r e on t h e
"sam e s i d e o f t h e t r a c k s . "
Jo h n L . L ew is h a s a son i n
P rin c e to n .
G in s b e r g r e j e c t s t h e o r g a n i z a t i o n a l a p p r o a c h t o t h e
word c l a s s .
To him t h e c l a s s e s a r e n o t a s s o o i a t l o n a l ( B r i t i s h
48
u s a g e ) and " t h e y c a n n o t b e d e f i n e d b y t h e i r e n d s o r p u r p o s e s . "
46 W. V l e u g e l s , " D ie M a s s e ," p a m p h l e t I I I o f t h e E r g & n z u n g s h e f te
zu den K B ln er H e f te n f u r S o z l o l o g l e . M unicfi, I § 6 6 , p . 6 .
47 H e n r i S 6 e . The E conom ic I n t e r p r e t a t i o n o f H i s t o r y (New Y o rk .
1929) p T T o f f :
48 G i n s b e r g , o p . c l t . . p . 5 3 7 .
He i d e n t i f i e s s o c i a l c l a s s c o n s c i o u s n e s s w i t h c o n s c i o u s n e s s
o f k i n d , f e e l i n g s o f e q u a l i t y and h a rm o n y , f e e l i n g s o f i n ­
f e r i o r i t y , and f e e l i n g s o f s u p e r i o r i t y .
T h is c a r r i e s th e d ls o u s s io n t o a n o th e r p l a n e , i n t o
a n o th e r w o rld .
T h is i s n o t th e s o c i a l i s t fo rm u la f o r w in n in g
t h e c l a s s w ar; t h i s i s a d e s c r i p t i o n o f t h e
stru c tu re .
so c ia l c la s s
T h i s i s a n o t h e r k i n d o f c l a s s an d a n o t h e r k i n d o f
c la s s c o n sc io u sn e ss.
H e re a man i s n o t a l o y a l f i g h t e r .
On t h e c o n t a r y , h e
l e t s l e s s e r f r i e n d s go b y t h e b o a r d , w h i l e h e c u l t i v a t e s new
and s u p e r i o r a c q u a i n t a n c e s .
and a p e s t h e one j u s t a b o v e .
He d e s e r t s h i s im m e d ia te c l a s s
Dawson and G e t t y s show how many
m id d l e c l a s s f a m i l i e s g i v e much a t t e n t i o n t o t h e ways o f l a
h a u t e s o o l / t ^ b e c a u s e t h e y h o p e som eday t o b r e a k i n t o I t s
ran k s.
M a rsh a ll s t a t e s s p e c i f i c a l l y t h a t " S o c ia l C la ss i s
b a s e d r a t h e r on s i m i l a r i t y o f a t t i t u d e s t h a n on i d e n t i t y o f
In te re sts
. . .
C l a s s c o n s c i o u s n e s s m ay, t h e r e f o r e , b e com­
b in e d w ith an a m b itio n to r i s e ,
or to e n a b le o n e 's c h ild r e n
to r i s e .
T h i s h a s l e d t o th e a s s e r t i o n t h a t d i s l o y a l t y i s a
50
c h a r a c t e r i s t i c fe a tu r e of S o c ia l C la s s ."
T h e r e a r e t h o s e who do n o t s e e k t o c l i m b .
b e f o u n d i n a l l a g e s and a l l l a n d s o
T hey a r e t o
I n g e n e r a l , t h e y a r e more
c h a r a c t e r i s t i c o f t h e s o c i a l c l a s s e s t h a n a r e t h o s e who d i s c o n -
49 C a r l A . Dawson a n d W arner Eo G e t t y s , An I n t r o d u c t i o n t o
S o c i o l o g y (New Y o r k , 1929) p . 5 4 8 .
50 M a r s h a l l , o p . o l t . , p . 6 6 .
te n te d ly s t r i v e to r i s e .
T h e ir e la s s co n scio u sn ess i s ex­
p re sse d in a cc ep tan c e, d e fe re n c e , r e s p e c t f o r p o s itio n , f o r
ra n k , f o r su p e rio r s t a t u s .
G u re w itsc h b e l i e v e s t h a t p e o p le
e n j o y p a y i n g d e f e r e n c e t o t h o s e h i g h e r on t h e s o c i a l s c a l e ,
b e c a u s e t h e s e c o n t a c t s g i v e one a f e e l i n g o f p o w e r . At t h e
51
same t im e one may w i s h t o b e i n t h e i r p l a c e .
52
Sum ner
h o l d s t h a t t h e ’'m asses'* a r e t h e c o r e o f t h e
s o c i a l s t r u c t u r e , c o n s e r v a t i v e , l i v i n g on b y t r a d i t i o n and
h a b it, f i l l e d w ith i n e r t i a .
th e ir lo t;
T hey a r e i n c l i n e d t o a c c e p t
t h e y a r e n o t c h a r a c t e r i s t i c a l l y r e s t i v e and d e ­
s i r o u s o f c lim b in g up th e s o c i a l l a d d e r .
The s o c i a l c l a s s s t r u c t u r e , t h e n , i s a p a r t o f s o c i e t y
w h ic h e n d u r e s p o l i t i c a l u p h e a v a l s — i t d o e s n o t p r o d u c e them
O th er f o r c e s p ro d u ce p o l i t i c a l c o n v u ls io n s , p o l i t i c a l s t r i f e ,
and c l a s s c o n f l i c t .
I n f a c t , m ost o f th e p o l i t i c a l r e v o lu tio n s o f h i s t o r y ,
b e f o r e 1 9 1 7 , w e re n o t g r e a t l y s i g n i f i c a n t t o t h e s o c i a l c l a s s
stru c tu re .
T ho se f a m i l i e s w h ic h had b e e n p r o m i n e n t , p o w e r f u l
an d r e c o g n i z e d b e f o r e t h e u p h e a v a l h a v e b e e n s e e n t o p e r s i s t
i n i n f l u e n c e an d a f f l u e n c e a f t e r t h e f i r s t p h a s e o f t h e
re v o lu tio n has spent i t s e l f .
Ogg s t a t e s t h a t , "The mob w h ic h
s to r m e d t h e B a s t i l l e i n 1789 was composed l a r g e l y o f l a n d l e s s
h a n d -to -m o u th p e o p le , b u t b e f o r e th e R e v o lu tio n had f a r p r o -
51 G u r e w i t s c h , 0£ . o i t . , p . 4 5 .
52 Y f illia m Graham S um n er, F o lk w a y s ( B o s t o n , 1907) p . 4 5 .
g r o s s e d , t h e f o r t u n e s o f t h e movement h a d f a l l e n c o m p l e t e l y
u n d e r t h e g u i d a n c e o f men who w e re e c o n o m i c a l l y and s o c i a l l y
53
of a h ig h e r ra n k . . •
T h e re I s , o f c o u r s e , a r e l a t i o n s h i p b e tw e e n t h e c l a s s
s t r u g g l e and c l a s s c o n s c i o u s n e s s I n t h e p o l i t i c o - i n d u s t r i a l
s e n s e a n d t h e s o c i a l c l a s s c o n s c i o u s n e s s o f f a m i l y c o m p e ti ­
t i o n , a c c o m m o d a tio n , a n d c o o p e r a t i o n .
Som etim es r a p i d l y ,
b u t u s u a l l y s l o w l y , p o l i t i c a l u p h e a v a l s w i l l c h an g e e v e n th e
p e r s o n a l and f a m i l y r e l a t i o n s h i p s and s t a t i o n s w i t h i n a v i l ­
lag e or a g r e a t c i t y .
The p r e s e n t w ar e r a I s one w h ic h u n d e r ­
m in e s t h e s o c i a l s t a t u s , ev en t h e a c t u a l l i v e s , o f many
f a m i li e s In h ig h s o c i a l p o s i t i o n s .
The o r g a n i z a t i o n s o f w o r k e r s , o f r e t a i l e r s , o f t a x ­
p a y e r s , o f t e a c h e r s , o f e m p l o y e r s , a l s o t e n d t o g ro u p p e o p l e
s o c i a l l y a s w e l l as p o l i t i c a l l y .
T h is f a c t was m ore a p p a r e n t
and o u t s t a n d i n g I n t i m e s and p l a c e s w here t h e p o l i t i c a l ,
e c o n o m ic , a n d s o c i a l a c t i v i t i e s o f g r o u p s t e n d e d t o c o i n c i d e
m ore c l o s e l y t h a n t h e y do to d a y Aa s , f o r i n s t a n c e , d u r i n g t h e
b e t t e r d a y s o f t h e c r a f t an d m e r c h a n t g i l d s .
R e li g i o n . N a tio n a lity , and R ace:
S i g n i f i c a n c e f o r S o c i a l G la s s
I s s o c i a l c l a s s e x c l u s i v e n e s s s o m e th in g q u i t e d i f f e r ­
e n t fro m r e l i g i o u s o r r a c i a l p r e j u d i c e ?
Is th e so c ia l d is -
53 F r e d e r i c A u s t i n O gg, S o c i a l P r o g r e s s I n C ontem D orarv E u ro o e
(New Y o r k , 1 9 2 3 ) p . 3 3 8 .
------- *
---
t a n c e t o b e m e a s u r e d I n t h e one c a s e on t h e v e r t i c a l s c a l e ,
and I n t h e o t h e r o a s e on t h e h o r i z o n t a l s c a l e ?
When p a r e n t s o b j e c t t o t h e company w h ic h one o f t h e i r
c h i l d r e n k e e p s , b e c a u s e t h a t p e r s o n i s a member o f a n o t h e r
r e l i g io u s s e c t , o r o f a n o th e r r e l i g i o n a lto g e th e r , or of
a n o t h e r n a t i o n a l i t y , w h a t i s t h e n a t u r e o f t h e a n ta g o n is m ?
I s I t t o b e com pared t o s i m i l a r o b j e c t i o n s a g a i n s t p e r s o n s
w i t h o u t t h e m a n n e r s , s e n s e o f h o n o r , h a b i t s , and a m b i t i o n s
b e f i t t i n g t h a t p a r t i c u l a r f a m ily 's sta n d ard ?
A p e r s o n 's c la s s s t a t u s I n c lu d e s , ro u g h ly , th e k in d
o f d w e llin g h e l i v e s i n , th e ty p e o f p e o p le he a s s o c i a t e s
w i t h on e q u a l t e r m s , h i s e t i q u e t t e , h i s v o c a b u l a r y , h i s
c l o t h i n g , h i s a s p i r a t i o n s , an d t o a l a r g e e x t e n t t h e d e g r e e
t o w h ic h h i s p a r e n t s m e e t t h e s e same t e s t s .
( O l i v e r W en d e ll
Holmes o n c e s a i d t h a t a p e r s o n ' s e d u c a t i o n s h o u l d s t a r t one
hu ndred y e a r s b e f o r e he i s b o r n .)
B u t does a p e r s o n ' s r e l i g i o u s a f f i l i a t i o n , h i s
n a t i o n a l i t y o r n a t i o n a l i t y b a c k g r o u n d , and h i s r a c e a l s o e n t e r
in to h is s o c ia l c la s s p o sitio n ?
I s a N egro lo w e r I n s o c i a l
s t a n d i n g t h a n h e w o u ld b e i f h e w e re t h e same I n e v e r y r e ­
sp e ct except race?
C o o le y w r i t e s , f o r i n s t a n c e , t h a t " t h e p e a c e f u l a d v e n t
of k in d re d s e t t l e r s ,
l i k e t h e E n g l i s h im m ig r a n ts t o t h e
U n ited S t a te s ^one th in k s o f t h e in d e n te d s e r v a n t s ^ c r e a te s
54
no c l a s s d i v i s i o n s . "
H e te r o g e n e ity h a s f r e q u e n t l y been
54 C o o l e y ,
0£
. c l t . . p . 221.
31
r e f e r r e d t o a a t h e b a s i s f o r t h e r i s e a n d g ro w th of. c l a s s d i f ­
ferences*
But i t
i s e n t i r e l y p o s s ib le t h a t s tu d ie s in s o c ia l
d i s t a n c e w i l l r e v e a l t h a t t h e d i s c r i m i n a t i o n an d e x c l u s i v e ­
n e s s w h ic h c h a r a c t e r i z e
t h e s o c i a l c l a s s p y r a m id a r e o f a
r a d i c a l l y d i f f e r e n t s o r t t h a n t h o s e w h ic h t y p i f y r a c i a l ,
r e l i g i o u s , and n a t i o n a l i t y a n t a g o n i s m s *
The s o c i a l c l a s s e s l o o k u p t o a n d down a t e a c h o t h e r .
The lo w e r c l a s s e s p a y d e f e r e n c e a n d a r e e i t h e r e n v i o u s o r
r e s p e c t f u l , o r some c o m b i n a t i o n o f t h e two*
The lo w e r c l a s s e s
do n o t e x p e c t t o b e e n t e r t a i n e d b y t h e i r s u p e r i o r s *
The U pper
c l a s s e s r e a p t h e e s te e m g r a n t e d b y t h o s e b e n e a t h them*
The
m id d l e c l a s s e s p l a y t h e d u a l r o l e o f b o t h p a y i n g an d r e c e i v ­
in g d e fe re n c e .
R a c e S jn a tio n a litie s ^ a n d r e l i g i o n s f r e q u e n tly have
eq u al p rid e*
The I n d i a n l o o k s down upon t h e w h i t e m an, a s
d o e s t h e J a p a n e s e o r C h i n e s e , b u t t h e w h i t e s t h i n k t h e m s e lv e s to be
s u p e r io r to y e llo w r a c e s *
The same I s t r u e i n t h e f i e l d s o f
n a t i o n a l i t y an d r e l i g i o n *
W hat k i n d o f s o c i a l e x c l u s i v e n e s s
i s I t when e ac h g r o u p l o o k s down up on t h e o t h e r , and v i c e
v ersa?
T h e re can s c a r c e l y b e s a i d t o e x i s t a h i e r a r c h y o f r e ­
lig io n s, n a tio n a litie s ,
o r r a c e s i n w h ic h e a c h w i l l a c c e p t a
p o s i t i o n g iv en to I t b y th e o th e r s *
In f a c t , consensus f a i l s
to fu n c tio n in t h is re a lm .
F u rth e r a n a ly s is r e q u i r e s s p e c ia l c o n s id e r a tio n of each
o f th ese th r e e la rg e c a te g o r ie s : r e l i g i o n s , n a t i o n a l i t i e s ,
and r a c e s *
C lass a s p e c ts o f r e l i g i o n .
M ost r e l i g i o u s g r o u p i n g s ,
w h e t h e r o ne t h i n k s o f a s i n g l e c o n g r e g a t i o n o r o f a s e c t ,
p a r t i c u l a r l y I f i t I s a creed a c c e p te d b y p r a c t i c a l l y th e
w h o le s o c i e t y , o o n t a i n r e p r e s e n t a t i v e s o f a l l , o r n e a r l y a l l ,
th e s o c i a l c la s s e s .
In a s in g le c o n g re g a tio n th e s o c ia l d i s ­
t i n c t i o n s a r e so m e tim e s e x t e r n a l l y e v i d e n c e d b y t h e m em b ersh ip
o f t h e h i e r a r c h y o f o f f i c e s i n t h e c h u r c h o r ev en b y t h e s e a t ­
in g o f f a m i li e s in t h e i r r e s p e c t iv e pew s.
I n t h e U n i t e d S t a t e s , f o r I n s t a n c e , many E p i s c o p a l i a n s
a re v ery h ig h in s o c ia l sta n d in g , b u t b e lo n g in g to th e E p is­
c o p a l i a n c h u r c h does n o t I n d i c a t e h i g h s o c i a l s t a n d i n g , f o r
t h e r e a r e many d o m e s ti c s e r v a n t s ( l o w e r c l a s s ) a l s o i n t h a t
ch u rch .
I n S e n f t e n b e r g , Germ any, i t was e a s y t o n o t e t h a t
n e a r l y a l l t h e P o l e s , m o s t l y o f lo w e r c l a s s s t a n d i n g , a t t e n d e d
th e C a th o lic ch u rc h ; w h e re a s, f o r th e m o st p a r t , h i g h e r c l a s s
Germans a t t e n d e d t h e E v a n g e l i c a l c h u r c h .
c l a s s Germans
H ow ever, some h i g h e r
a t t e n d e d m ass a t t h e C a t h o l i c c h u r c h , b u t i t
so h a p p e n e d t h a t I n 1 9 2 8 -2 9 few o f t h e l o w e r c l a s s Germans I n
t h a t tow n a t t e n d e d a n y c h u r c h a t a l l .
From a m a n 's c l a s s , h i s r e l i g i o n c a n n o t b e a s c e r t a i n e d ;
from h i s r e l i g i o u s a f f i l i a t i o n , h i s c l a s s c a n n o t be d e t e r m i n e d .
The d i v i s i o n o f German s o c i e t y o r t h a t o f t h e U n i t e d
S t a te s i n t o fo llo w e r s o f C a th o lic is m , E v a n g e llc is m , Ju d a ism ,
and o t h e r s , d o es n o t p a r a l l e l th e d i v i s i o n i n t o
so c ia l c la s s e s ;
and t h e t r e a t m e n t o f t h e s e g ro u p s b y e a c h o t h e r t h r o u g h o u t t h e
h i s t o r y of th e se n a tio n s re q u ire s a d i f f e r e n t p s y c h o lo g ic a l,
s o c i o l o g i c a l , a n d h i s t o r i c a l e x p l a n a t i o n and I n t e r p r e t a t i o n
t h a n t h a t w h ic h i s c a l l e d f o r i n a s t u d y o f t h e d e v e lo p m e n t
an d a d j u s t m e n t s o f t h e s o c i a l c l a s s e s *
S o c ia l c la s s d i s t i n c t i o n s a r e to a g r e a t d eg ree b a se d
on t h e I n t r i n s i c q u a l i t i e s i n t h e b e h a v i o r and ways o f l i f e
of
t h e f a m i l i e s c o n c e r n e d ; r e l i g i o u s d i s t i n c t i o n s a r e b a s e d on
d i f f e r e n c e s i n t h e v a r i o u s r e l i g i o u s b e l i e f s a n d upon p e r s o n a l
a t t i t u d e s to w a rd s t h o s e b e l i e f s *
R e lig io u s p r e ju d ic e does
n o t a sk w hat a r e th e q u a l i t i e s of th e p e rso n o r o f h i s f a m ily ;
i t a s k s o n l y , "What i s y o u r f a i t h ? ' 1
One i s i n s i d e o r o u t s i d e
o f a r e l i g i o u s g r o u p a c c o r d i n g t o c r i t e r i a w h ic h h a v e n o t h i n g
t o do w i t h c l a s s h a b i t s , c l a s s a t t i t u d e s , o r c l a s s d i s t i n c ­
tio n s *
I f , a s so m e tim es h a p p e n s , on e r e l i g i o u s s e c t l i v e s
a p a r t fro m a n o t h e r , a n d t h e c h i l d r e n and t h e i r p a r e n t s do n o t
f r a t e r n i z e , is th ere a c la ss d is tin c tio n ?
I t w ould seem t h e
w i s e r e x p l a n a t i o n t o r e g a r d t h e s e two e x c l u s i v e g r o u p s a s
c a s t e s , n o t as c la sse s*
In th e f i r s t p l a c e ,
each o f th ese
groups has i t s h ie r a r c h y of d i g n it y , p r e s t i g e ,
e s te e m *
s t a t u s , and
F u rth e rm o re , n e it h e r i s l i k e l y t o a c c e p t th e s o c i a l
s u p e r i o r i t y of th e o t h e r , and t h e r e f o r e th e b a s i c p s y c h o lo g i­
c a l m ec h an ism w h e reb y t h e s o c i a l c l a s s e s a r e fo rm e d i s l a c k ­
in g *
T h i s d i v i s i o n i s t h e k i n d t h a t m akes o f o n e comm unity
( o n e t h i n k s o f some e a s t e r n P o l i s h town b e f o r e t h e p r e s e n t
w a r) tw o I n a l l t h i n g s i n t i m a t e an d p e r s o n a l b u t l e a v e s i t
on e com m unity I n I t s econ om ic and some o f i t s p o l i t i c a l a c t i \ i tie s •
N a t i o n a l i t y and s o o l a l c l a s s .
One M exican f a m i l y may
b e o f lo w e r s t a n d i n g t h a n m o st o f t h e w h i t e s i n a to w n .
M ost
o f t h e M e x ica n s i n t h e U n i t e d S t a t e s may b e p o o r a n d l a c k i n g
i n p r e s t i g e , b u t d o e s t h i s mean t h a t a M exican i s a p e r s o n o f
lo w c l a s s s t a n d i n g b e c a u s e h e i s a M ex ican ?
Can h i s n a t i o n ­
a l i t y b e e q u ated w ith h i s c la s s p o s itio n ?
S o r o k in w o uld seem
55
to th in k t h i s n o t o n ly p o s s ib le , b u t a ls o im p e ra tiv e :
I n o r d e r t o know a m a n 's s o c i a l p o s i t i o n , h i s f a m i l y
s t a t u s , t h e s t a t e o f w h ic h h e i s a c i t i z e n , h i s n a t i o n ­
a l i t y , h i s r e l i g i o u s group, h i s o c c u p a tio n a l g ro u p , h i s
p o l i t i c a l p a r t y , h i s econo m ic s t a t u s , h i s r a c e , a n d so
on m u s t b e known* O n ly when a man i s l o c a t e d i n a l l
th ese re s p e c ts i s h is s o c ia l p o s itio n d e f in ite ly lo ­
c a te d .
But does a p e rso n n o t c a r r y h i s c la s s p o s i t io n w ith
h i m , when h e comes fro m S o u th C a r o l i n a t o New Y o r k , fro m
P ra n c e to C a l i f o r n i a ?
Is i t n o t a p a rt of h is p e rs o n a lity ,
h i s c r e d e n t i a l s , h i s r e c o m m e n d a tio n s , h i s h a b i t s an d a t t i ­
tu d e s?
I s a f a m i l y ' s s o c i a l s t a n d i n g n o t r e c o g n i z a b l e ev en
w h e re l a n g u a g e h a n d i c a p s h a v e n o t y e t b e e n overcom e?
The
H u g u e n o ts w ere s t r a n g e r s i n a f a r l a n d , b u t t h e y t o o k u p
t h e i r w o rk , a n d , b y d i n t o f e f f o r t , l o n g t h e i r a c c u s to m e d
h a b i t , th e y r e t a i n e d t h e i r ho n o red s t a t u s a s s k i l l e d c r a f t s ­
men*
The Jews w ere d r i v e n fro m S p a i n , an d a r e now b e i n g
55 S o r o k i n , o p . o l t . . p . 5 0
d r i v e n fro m c e n t r a l E u r o p e , b u t o n l y t h e d i r e s t s o r t o f p e r ­
s e c u t i o n c o u l d o r can make s u o h f a m i l i e s a s w e re o f t h e m id ­
d l e c l a s s g i v e u p t h e i r h a b i t s o f l e a r n i n g , t r a d i n g , w o r k in g ,
e n te rp risin g *
M e x ic a n s known t o m o s t A m e ric a n s a r e n o t low b e c a u s e
of th e ir n a tio n a lity
( f o r t h e r e a r e a s many a r i s t o c r a t s w o r t h y
o f t h e name i n M ex ico C i t y a s t h e r e a r e I n W a s h in g to n ) b u t b e ­
c a u s e t h o s e who m i g r a t e t o t h e U n i t e d S t a t e s a r e m ost o v e r ­
w h e lm in g ly o f l o w e r c l a s s s t a n d i n g .
T hey a r e low i n s t a t u s
b e c a u s e t h e y w e re low i n s t a t u s .
The same I s t r u e o f I t a l i a n s .
The i m m i g r a t i o n fro m
I t a l y was n o t r e p r e s e n t a t i v e o f t h e s o o l a l s t r u c t u r e o f I t a l y ,
o t h e r w i s e many m ore I t a l i a n s w ould h a v e a c h i e v e d m id d l e c l a s s
s t a t u s in t h i s c o u n tr y , f o r i n s t a n c e , th a n h a s been th e c a s e .
The E n g l i s h m i g r a t i o n , e a r l i e r I n A m erican h i s t o r y , was more
r e p r e s e n t a t i v e o f t h e s o c i a l c l a s s e s o f E n g la n d , an d a s a r e ­
s u lt rep ro d u ced in t h i s
c o u n t r y a m ore p e r f e c t p y ra m id o f
c l a s s e s t h a n d i d t h e G re e k m i g r a t i o n , f o r e x a m p le .
C u l t u r a l o r n a t i o n a l i t y a n ta g o n is m s a r e c a t e g o r i c a l ,
i n t h e m in d s o f t h o s e g i v e n t o n a m e - c a l l i n g .
S o c ia l c la ss
d i s t i n c t i o n s a r e s u b t l e a n d a c c o m p a n ie d b y f e e l i n g s o f i n t e r ­
d e p e n d e n c e and a c c e p t e d s t a t i o n .
A p erso n o f a n o th e r c la s s
i s a p p r o a c h a b l e , t in d e r t h e r u l e s o f p r o c e d u r e c u s to m a r y w i t h i n
th e c u l t u r e .
A p e r s o n o f an a l i e n
c u ltu re is a s tra n g e r.
The r u l e s f o r d e a l i n g w i t h s t r a n g e r s a r e d i f f e r e n t fro m t h e
r u l e s f o r d e a l i n g w i t h o n e ' s own p e o p l e , o f w h a t e v e r c l a s s .
A t r u e s o c i a l c l a s s h ie r a r c if lr e x i s t s w i t h i n a c u l t u r e ce’
n a tio n a lity .
O t h e r o u l t u r e a o r n a t i o n a l i t i e s h a v e t h e i r own
so c ia l c la ss h ie ra rc h ie s .
R ace and s o c i a l c l a s s «
One g r e a t p a r t o f t h e t h e o r y
o f c l a s s e s b a s e d on e t h n i c d i f f e r e n c e s d e a l s w i t h c o n q u e s t .
K e lle r I d e n t i f ie s
one c o n q u e s t .
c l a s s and r a c e i n g i v i n g an a c c o u n t o f
56
He w r i t e s :
An e x tr e m e I n s t a n c e o f c l a s s - f o r m a t l o n a f t e r c o n q u e s t
was e x h i b i t e d i n S p a n i s h A m e r ic a , w h e re t h e r e w ere d i s ­
t i n g u i s h e d s h a r p l y and i n a b o u t t h e f o l l o w i n g o r d e r o f
ra n k : th e S p a n ia rd b o rn in S p a in ; th e S p a n iard b o rn In
A m e ric a ; t h e S p a n i s h - I n d i a n ; t h e S p a n i s h - N e g r o } t h e
N e g ro ; t h e N e g r o - I n d l a n ; and t h e I n d i a n . E a c h s t r a t u m
h a t e d t h e one a b o v e i t an d Im posed upon t h e one b e lo w ;
t h e a n t a g o n i s m s b e tw e e n them w e re t o a l l a p p e a r a n c e s
irre c o n c ilia b le •
(In a l a t e r c h a p te r o f t h i s t h e s i s th e th e o r y o f con­
q u e s t w i l l b e ta k e n up In g r e a t d e t a i l .
o n ly n e c e s s a ry to s t r e s s th e d i f f i c u l t i e s
th e d e f i n i ti o n s o f s o c i a l s t r a t a .
At t h i s p o i n t j i t I s
of d e a lin g w ith
I n one p l a c e a s o c i a l
c l a s s i s an o c c u p a t i o n ; I n a n o t h e r i t i s a r a c e o r a m i x t u r e
of races!)
I t i s p r o b a b l e t h a t n e v e r , e v e n i n M e x ic o , w e re c l a s s
p o s i t i o n and r a c i a l a f f i l i a t i o n
synonym ous - - n e i t h e r i n
C o r t e z ' s arm y ( a l l S p a n i a r d s b o r n I n S p a i n ) , n o r a f t e r t h e
f i r s t S p a n i a r d s w e re b o r n on t h i s s i d e o f t h e o c e a n , n o r
a f t e r t h e f i r s t N e g ro e s w e re i m p o r t e d , n o r a f t e r t h e
S p a n ia r d s , in g o in g th ro u g h th e c o u n tr y , had l e f t n u m b erless
h a l f - b r e e d s s c a t t e r e d b e h i n d th e m , p e r s o n s who d i d n o t t h e r e b y
56 A .G . K e l l e r , Man1s Rough Road (New Y o r k , 1 932 ) p . 1 6 8 .
g a i n a p p r e c i a b l y i n s o c i a l s t a n d i n g o r w ere num erous enough
t o fo rm new s o c i a l s t r a t a .
T h e r e w e re a lw a y s n o b l e s and
p l a i n s o l d i e r s , p r o t e c t e d s e r v a n t s , s p e c i a l s l a v e s , lo w e r
o f f i c i a l s , f a v o r e d c o n c u b i n e s an d w i v e s , c o n f i d a n t e s .
I n no c o u n t r y , so f a r a s h a s b e e n a s c e r t a i n e d b y e x ­
t e n s i v e s t u d y , can a p e r s o n ' s s o c i a l c l a s s s t a n d i n g b e d e t e r ­
m ined b y h i s c e p h a l i c i n d e x , h i s p i g m e n t a t i o n , o r a c r o s s se c tio n of h is h a i r .
In f a c t , i t
I s p r o b a b l y , i n m odern
c i v i l i z a t i o n s , a w a s t e o f tim e t o s e a r c h f o r c o n c l u s i v e e v i ­
dence In t h i s d i r e c t i o n .
I t Is lik e
t r y in g to d e te rm in e a
p e r s o n ’ s s o c i a l s ta n d in g b y g iv in g h im , as a c h i l d , a b a t t e r y
of p sy c h o lo g ic a l t e s t s .
They w ou ld show s o m e th i n g , b u t n o t
so c ia l c la s s .
Race a f f e c t s t h e s o c i a l c l a s s s t r u c t u r e , b u t n o t b y
so s i m p le a d e v i c e a s t o d i v i d e t h e c l a s s e s a c c o r d i n g t o th e
r a c e s and t h e i r a d m ix tu re *
The N e g r o e s I n A m e ric a , even
th o u g h o n l y N e g ro e s w ere s l a v e s and few were e a r l y f r e e d ,
d id n o t cau se th e f o r m a tio n o f a s o c i a l c l a s s s t r u c t u r e w ith
t h e N e g ro e s a t t h e b o t to m an d a l l t h e w h i t e s ab o v e th e m .
The
r e a l r e s u l t was t h a t t h e p r e s e n c e o f N egro s l a v e s I n many
p l a c e s d i v i d e d t h e w h i t e s i n t o t h o s e who c o u ld l i v e a s a r i s ­
t o c r a t s and t h o s e who w e re p u sh ed o u t o f t h e c o m p e t i t i o n f o r
th e b e t t e r th in g s In l i f e .
The N e g r o e s , m e a n w h ile , b e g a n t o
form a s o c i a l c l a s s s t r u c t u r e o f t h e i r own.
A lth o u g h I t
m ig h t b e t h o u g h t t h a t d u r i n g t h e p e r i o d o f s l a v e r y t h e r e was
c o n s i d e r a b l e i n t i m a c y w i t h i n t h e f a m i l y c i r c l e b e tw e e n t h e
h o u se h o ld s e r v a n ts and th e m a s te r f a m i l i e s , i n r e a l i t y con­
t a c t s w ere n o t s u f f i c i e n t l y c l o s e t o a l l o w one t o
say t h a t
t h e r e was a n y way o f p l a c i n g t h e N e g ro e s on t h e same s o c i a l
w ith
s c a l e a s t h e w h i t e s , e v e n / t h o s e w h i t e s who so m e tim es were
a s s o c ia te d w ith th e p l a n t a t i o n s a s l a b o r e r s , o r w ith th o se
r e l a t e d t o them by b l o o d .
A n o th e r way i n w h ic h r a c i a l d i f f e r e n c e s may a f f e c t
s o c i a l c l a s s i s shown i n t h e " s h a b b y - g e n t e e l ” i n b o t h S o u th
A f r i c a and M e x ic o .
They a r e men whose " f a i r c o m p le x io n
m akes them s t i l l r e g a r d a s d e g r a d i n g a n y l a b o r w h ic h i s s u p 57
posed to b e lo n g to c o lo r e d p e o p l e . "
T h is i s a v e r y s p e c ia l
p r o b le m i n S o u th A f r i c a .
S u c h p e r s o n s , once d i s l o c a t e d from
a c t i v e em ploym ent, become d i s o r g a n i z e d a n d d i f f i c u l t t o r e ­
h a b ilita te .
T h eir a s s e r t i o n o f s u p e r i o r i t y over s ta b le
A f r i c a n l a b o r i n g e l e m e n t s h a s a h o l l o w r i n g , much a s t h a t o f
some o f t h e p o o r u n e m p lo y ed w h i t e s i n o u r own s o u t h e r n s t a t e s
over a l l N egroes.
( I n t h e e n d , i t w o u ld se e m , t h e N e g ro e s
w in o u t b e c a u s e i t i s e a s i e r t o k e e p up m o r a l e w h i l e e m p lo y e d .)
T h is i s an exam ple o f r a c i a l p r i d e u n d e r m i n i n g s o c i a l c l a s s
s t a n d a r d s among t h e members o f t h e m ore d o m in a n t r a c e .
R a c ia l o r e th n ic g ro u p s, l i k e n a t i o n a l , r e l i g i o u s , or
m i n o r i t y g ro u p s i n t h i s
c o n n e c t i o n , i f s u f f i c i e n t l y num erous
i n th e v a rio u s l o c a l i t i e s t o p r o v id e th e m se lv e s w ith n e c e s ­
s a r y s o c i a l c o n t a c t s , t e n d t o f o r m t h e i r own s o c i a l c l a s s
57 H u b e r t Howe B a n c r o f t , The W orks o f . v o l . X I , M e x ic o , 1 8 6 1 1887 (San F r a n c i s c o , 1866') p . 6 1 4 .
p y r a m i d s , and i t becom es i m p o s s i b l e t o c o m p a re t h e
so c ia l
s t a n d i n g o f a f a m i l y i n one p y r a m id w i t h t h a t i n a n o t h e r .
58
D o n a ld Young p i o n e e r e d i n m a k in g t h i s o b s e r v a t i o n .
A N egro p h y s i c i a n w i t h a n e x c l u s i v e c l i e n t e l e , h i m s e l f
o f w e ll-k n o w n b a c k g r o u n d , i s n o t t o b e c o m p a re d , i n s o c i a l
s ta n d in g , w ith a w h ite d o c to r o r any o t h e r w h ite p e r s o n , b e ­
c a u s e t h e u l t i m a t e t e s t o f c o m p a r a b le s o c i a l s t a n d i n g i s
e a t i n g , p l a y i n g , and l i v i n g t o g e t h e r .
These a re th e th in g s
w h ic h t a k e p l a c e w i t h i n a hom og en eo us c l a s s , and t h e g a p b e ­
tw e e n t h e w h i t e and Negro r a c e s i n t h e U n i t e d S t a t e s p r e c l u d e s
su c h a p o s s i b i l i t y , a s b e tw e e n f a m i l i e s e v e n o f t h e same d e ­
gree of r e s p e c ta b ility .
T h e re i s a g e n e r a l b e l i e f , a n d much s u b s t a n t i a t i o n
fo r i t ,
t h a t N e g ro e s a r e d i s c r i m i n a t e d a g a i n s t i n many i n ­
d u s t r i e s b ecau se o f th e o p p o s itio n o f w h ite la b o r o rg a n iz a 59
t i o n s , e m p l o y e r s , and w h i t e p u b l i c o p i n i o n .
T h is m ig h t
l e a d t o t h e i n t e r p r e t a t i o n t h a t s o c i a l o p p o r t u n i t y i s much
m ore l i m i t e d among N e g ro e s t h a n among w h i t e s , and t h e r e f o r e
t h e c h a n c e s f o r a Negro t o r i s e e v e n w i t h i n h i s own g r o u p
a r e n o t s i m i l a r t o t h o s e o f a w h i t e man w i t h i n h i s , a l l b e ­
c a u s e o f t h e I n a b i l i t y o f t h e N e g ro t o h a v e a n y t h i n g l i k e a
f a i r o p p o r t u n i t y t o g e t w h at i s
H ow ever, i t
commonly c a l l e d a d e c e n t j o b .
so h a p p e n e d t h a t a t t h e e n d o f t h e C i v i l
58 D o n a ld Y oung, A m erican M i n o r i t y P e o p l e s (New Y o rk , 1952)
p p . 580-583.
59 C a r t e r G. W oodson, A C e n t u r y o f N e g ro M i g r a t i o n ( W a s h in g to n ,
1918) p . 8 2 .
War t h e r e w ere t o o few m id d l e c l a s s N e g r o e s t o f i l l
th e p o s i­
tio n s u s u a lly c o n sid e re d to b e lo n g to t h a t r a n k , such a s
te a c h in g , p re a c h in g , m ed icin e ,
e tc .
O p p o r t u n i t y was r e l a t i v e l y
open f o r t h e a m b i t i o u s N egro a t t h a t t i m e , a s i t u a t i o n n o t
tru e f o r th e poor w h ite s.
T h e s e l a t t e r h a d t o f a c e t h e com­
p e t i t i o n , and v e r y f i e r c e c o m p e t i t i o n i t w a s, o f m id d le
c l a s s w h ite f a m i l i e s .
E ven t o d a y , i n c i t i e s w h i c h m u s t p e r f o r c e c a t e r t o t h e
N egro v o t e , c i t y j o b s a r e so m e tim e s o f f e r e d t o N e g ro e s u n d e r
c i r c u m s t a n c e s w hich r e q u i r e l e s s r i g o r o u s t r a i n i n g t h a n i s
r e q u ir e d o f w h ites — o th e rw is e i t i s n o t s u re t h a t th e
N egro q u o t a w ould b e f i l l e d .
The t h i r d f a c t o r w h ic h m akes i t p o s s i b l e t o c o n c e iv e
t h a t t h e c h a n c e s o f r i s i n g on t h e s o c i a l s c a l e f o r N e g ro e s
may n o t b e l e s s t h a n f o r w h i t e s i s
th e f a c t t h a t th e s c a le
i t s e l f i s s i m p l e r ; l e s s i s r e q u i r e d i n o r d e r t o s t a n d abov e
th e m asses, t h is b e in g th e c r i t e r i o n f o r th e f i r s t
in s o c ia l m o b ility .
T rue a s i t
is
ste p s
t h a t i n t h e econom ic s p h e r e
t h e N e g ro h a s g r e a t d i f f i c u l t y i n c o m p e tin g w i t h t h e w h i t e ,
&t i s n o t t o b e assum ed t h a t w i t h i n t h e N egro g r o u p t h e r e i s
m ore r i g i d i t y t h a n w i t h i n t h e w h i t e s o c i a l c l a s s s t r u c t u r e .
R ace a n d s o c i a l c l a s s w o u ld n o t b e a d e q u a t e l y d i s c u s s e d
i f no a t t e n t i o n were g i v e n t o t h e q u e s t i o n o f r a c l & l adm ix ­
t u r e an d s t a t u s .
T h e r e i s a g e n e r a l b e l i e f among m o st
A m e r i c a n s , s c h o l a r s and la y m e n , t h a t t h e s t a t u s o f t h e
41
m u l a t t o l a h i g h e r t h a n t h a t o f t h e p u r e r b l a c k and t h a t t h i s
h i g h e r s t a t u s ste m s e i t h e r fro m t h e s u p e r i o r e u g e n i c q u a l i ­
t i e s i n t r o d u c e d b y t h e w h i t e s t r a i n o r f ro m t h e t e n d e n c y
among N e g ro e s and w h i t e s t o a d m ire l i g h t n e s s i n c o l o r .
Ac­
c o r d i n g t o t h i s t h e o r y d e g r e e s o f s t a t u s b eco m e o b j e c t i f i e d
in d eg rees o f d a rk n e s s .
The m u l a t t o - s u c o e s s c o m b i n a t i o n , b a s e d on s t u d i e s o f
s u c c e s s f u l N e g r o e s , h a s b e e n d e s c r i b e d i n much d e t a i l b y
R e u t e r — so c o m p l e t e l y , i n f a c t ,
th a t i t
is u n lik e ly th a t
a n o t h e r s u c h s t u d y w i l l b e made w i t h i n a c e n t u r y .
R e u te r
shows t h a t t h e r a t i o o f m u l a t t o e s t o f u l l - b l o o d e d N e g ro e s
60
i n t h e N a t i o n a l N egro B u s i n e s s L eague " s t a n d s t w e lv e t o o n e . ”
Du B o i s 1 l i s t o f t h e t e n l i v i n g l e a d i n g c i v i l i z e d tN e g ro e s i s
r e p r i n t e d , show ing e i g h t t o b e o f m ixed p a r e n t a g e an d two as
61
pu re b la c k s .
I n J a m a ic a t h e e d u c a t e d an d p r o f e s s i o n a l
c l a s s e s o f t h e r a c e a r e s a i d t o b e m u l a t t o e s , and i n S o u t h
A f r i c a th e m u la tto e s a re q u o ted as b e in g " th e i n t e l l e c t u a l
62
a r i s t o c r a c y o f th e d a rk -s k in n e d p o p u l a t i o n .”
T h a t e m in e n t N e g ro e s a r e p r e d o m i n a t e l y m u l a t t o e s d o e s
n o t e x h au st th e s u b je c t.
I t does n o t , f o r i n s t a n c e , d e s c r i b e
t h e s o c i a l p o s i t i o n o f a l l m u l a t t o e s , e s p e c i a l l y t h e many
who h a v e grown up w i t h t h e p l a i n
w r i t t e n in t h e i r co m p lex io n s.
s tig m a o f i l l e g i t i m a c y
Nor d o e s i t
t e l l w h e th er o r
60 Edward B yron R e u t e r , The M u l a t t o i n t h e U n i t e d S t a t e s
( B o s t o n , 1 918) p . 3 0 5 .
61 I b i d . . p p . 1 9 4 - 1 9 5 .
62 I E I d . . p . 1 8 7 .
n o t t h e s u c c e s s o f t h e s e p e r s o n s was due t o
s p e c ia l ad v an tag es
o r s u p e rio r s o c ia l backg ro u n d s.
I f t h e e m in en c e o f a p e r s o n i s
t o b e e x p l a i n e d , m ore
n e e d s t o b e known t h a n t h e f a c t t h a t h e i s a m i x t u r e o f two
races.
One w i s h e s t o know t h e c l a s s i n t o w h ic h h e was b o r n ,
h i s fa m ily b ackgrou nd, th e s p e c i a l or a t y p i c a l c o n s id e r a tio n s
w h ich h e r e c e i v e d fro m p e r s o n s o f h i g h s t a t u s .
T h i s m ig h t
r e v e a l a n a t u r a l i s t i c c a u s a l r e l a t i o n s h i p b a s e d on s o c i a l
f a c t o r s , a m ore s a t i s f a c t o r y f o r m u l a i n
s o c ia l s c ie n c e th a n
t h a t w h ic h s e e k s t o a t t r i b u t e a p e r s o n ' s c l a s s s t a n d i n g t o
t h e r a c i a l s t o c k fro m w h ic h h i s a n c e s t o r s cam e.
A p p e n d ix I I o f t h i s t h e s i s I s a s t u d y o f t h e s o c i a l
b a c k g r o u n d s , i n so f a r a s t h e y a r e g i v e n , o f a l l t h e p r o m in ­
e n t N e g ro e s whose b i o g r a p h i c a l s k e t c h e s a p p e a r i n C a r t e r G.
W o o d so n 's N egro M akers o f H i s t o r y .
T h is s t u d y r e v e a l e d t h a t
t h e r e was a s o c i a l e x p l a n a t i o n and i n t e r p r e t a t i o n o f p r a c ­
t i c a l l y a l l th e c a s e s .
Few e x a m p le s o f p e r s o n s w i t h o u t
p r i o r h i g h o r m i d d l e c l a s s s t a t u s w ere f o u n d .
F u rth e rm o re ,
t h e e x a c t d e g r e e o f r a c i a l a d m ix tu r e d r o p s i n t o t h e b a c k g r o u n d
a s a f a c t o r i n t h e m aking o f e m in e n c e .
The s o c i a l c l a s s e x p l a n a t i o n f o r t h e p r e p o n d e r a n c e o f
m u l a t t o e s o v e r b l a c k s among o u t s t a n d i n g N e g ro e s (w h ic h s h o u l d
n o t b e i n t e r p r e t e d a s p ro v in g t h a t a l l o r n e a r l y a l l m u la tto e s
a r e p e r s o n s o f ev en as h i g h a s l o w e r m id d l e c l a s s s t a n d i n g )
i s f o u n d i n t h e h i s t o r i c d e v e lo p m e n t o f N egro c l a s s e s .
r e c o g n i z e s t h i s , makes a f u l l s t a t e m e n t o f i t ,
R e u te r
but does n o t
a llo w t h i s e x p la n a t i o n t o i n t e r f e r e w ith h i s m u c h -lab o re d
63
b i o l o g i c a l I n t e r p r e t a t i o n * He w r i t e s :
I n t h e r a n k s o f t h e f a v o r e d c l a s s e s , t h e r e was a p r e ­
p o n d e r a n c e o f m u l a t t o e s # From t h e i r f i r s t a p p e a r a n c e ,
and i n c r e a s i n g l y a s t h e s y s te m d e v e l o p e d and t h e c o n t r o l
o f e co n o m ic f o r c e s a l l o w e d a b ody o f t r a i n e d h o u s e s e r ­
v a n t s t o grow, t h e m u l a t t o e s fo rm e d t h e h o u s e and b o d y
s e r v a n t s . When n o t a l l c o u ld b e em ployed i n h o u s e w o rk ,
t h e y w e re m o s t f r e q u e n t l y t h e o nes t o l e a r n t h e t r a d e s .
T h ey w ere t h e o n e s em ploy ed i n s k i l l e d w o rk . I n a n y c a s e ,
t h e y came I n t o m ore c l o s e , c o n s t a n t , and i n t i m a t e a s s o c i a ­
tio n w ith th e w h ite p e o p le .
One m ig h t a d d t h e w o r d s , !,o f t h e h i g h e r c l a s s e s # "
T h i s may a c c o u n t f o r t h e f a c t t h a t many o f t h e m id d l e c l a s s
N e g ro e s o f t o d a y a r e m u l a t t o e s .
I t Is n o t t h a t a l l m u la tto e s
have h ig h s t a t u s , r a t h e r , I t i s a c a se o f s p e c i a l a d v an tag e
i n t h e b e g i n n i n g g o i n g t o t h o s e p e r s o n s who h a p p e n e d t o b e
n e a r e r to th e m a s te r r a c e , and th e s e , In tu r n , w ere, f o r
v a rio u s re a s o n s , m u la tto e s .
If
th e h ig h e r c l a s s w h ite s had
g i v e n c o m p a r a b le a t t e n t i o n t o p e r s o n s o f v e r y b l a c k c o m p l e x i o n
i s i t n o t p r o b a b l e t h a t m o st o f t h e N e g ro e s o f s t a t u s t o d a y
w o u ld b e b l a c k ?
T h i s , h o w e v e r , w ould n o t h a v e r e s u l t e d i n
r a i s i n g th e s t a t u s o f a l l b la c k s .
I n some c a s e s , t o o , t h e e a r l y m u l a t t o e s w e re r e l a t e d
b y b lo o d to t h e i r m a s te r s , and as such re c e iv e d s p e c i a l
t r e a t m e n t an d a d v a n t a g e s .
Freedom was g r a n t e d t o s u c h p e r ­
s o n s o f t e n , and t h e y c o u l d t h e r e f o r e o b t a i n t h e a d v a n t a g e s
64
w h ic h t h a t c o n f e r s .
Some o f t h e s e w ere s e t u p I n b u s i n e s s
63 R e u t e r , oj>. c i t . , p . 1 7 4 .
64 C a r t e r G. Woodson, N e g ro M ak ers o f H i s t o r y ( W a s h in g to n ,
1928) p . 1 2 5 .
b y t h e i r f o r m e r m a s t e r s , as i s shown i n A p p e n d ix I I .
D o l l a r d s t a t e s t h a t " I t may b e t h a t h i s t o r i c a l l y
th e
N egro m i d d l e (a n d u p p e r ) c l a s s e s a r e d e r i v e d f o r t h e m o s t
p a r t fro m t h e h o u s e s e r v a n t s and t h e f r e e N e g ro e s who f o r m e d
65
o n e - n i n t h o f t h e t o t a l N e g ro p o p u l a t i o n i n 1 8 6 0 ."
C a lh o u n
66
f o l l o w s t h e same l i n e o f t h o u g h t :
The N e g ro r a c e t o d a y owes much t o t h e f a c t t h a t w h e re
t h e y w e r e a d o p t e d i n t o t h e h o u s e h o l d t h e y so o n l e a r n e d
t h e w ays o f t h e m a s t e r f s f a m i l y . I t was common t o s e e
N e g r o e s b e l o n g i n g t o d i f f e r e n t m a s t e r s r e f r a i n fro m r e ­
l a t i o n s w ith e ach o th e r by re a s o n of th e d i f f e r e n c e o f
r a n k o f t h e tw o f a m i l i e s t h a t t h e y c o n s i d e r e d t h e i r ow n.
67
We a l s o r e a d :
The h o u s e - N e g r o e s f e e l t h e m s e l v e s s e v e r a l d e g r e e s
a b o v e t h e p o o r w h i t e s , a s t h e y , fro m t h e i r o p p o r t u n i t i e s
f o r o b s e r v a tio n am ongst th e h ig h e r c l a s s e s , a r e p o s s e s s e d
o f g r e a t e r i n f o r m a t i o n a n d l e s s r u s t i c i t y th a n t h i s l e s s
fav o u red c la s s .
The c l a s s h i e r a r c y among N e g ro e s was n o t c o m p l e t e i n
1865.
T h e r e was room a t t h e t o p , e s p e c i a l l y I n t h e f i e l d s
o f e d u c a t i o n , r e l i g i o n , n e w s , an d e n t e r t a i n m e n t .
These
p la c e s h a v e l a r g e l y been f i l l e d b y lig h t-c o m p le x io n e d N eg ro es
whose l i n e s r e a c h b a c k t o t h e e a r l y a d v a n t a g e s o f c o n t a c t
w i t h t h e m ore f a v o r e d w h i t e s .
T h e s e a r e t h e m u l a t t o e s who
s t a n d a b o v e a l l o t h e r m u l a t t o e s and a l m o s t a l l o f t h e b l a c k s .
T h is i s t h e s o c i a l c l a s s e x p l a n a t i o n o f t h e i r g o o d f o r t u n e .
65 Jo h n D o l l a r d , C a s t e a n d C l a s s i n a S o u t h e r n Town (New
H a v e n , 193V) p . 8 6 .
”
66 A r t h u r W. C a lh o u n , A S o c i a l H i s t o r y o f t h e A m erican
F a m i l y , v o l . I I ( C l e v e l a n d , 1918T"p. 2837
67 E x t r a c t fro m The I r o n F u r n a c e , b y J . H . A u g l e y , 1 8 6 3 , c o n ­
t a i n e d I n F e l i x F l f t g e l an d H.U . F a u l k n e r , R e a d i n g s I n
E conom ic a n d S o c i a l H i s t o r y o f t h e U n i t e d S t a t e s -------
TNeFY5rk7T923y pT '4 'S T .-------------------------------
Fame, N o t o r i e t y , a n d S o c i a l C l a s s
What h a s a c h i e v e m e n t and fam e t o do w i t h s o c i a l c l a s s
sta n d in g ?
The d i s t i n c t i o n can p e r h a p s b e made t h a t a n I n d i ­
v id u a l I s n o to r io u s o r fam ous, b u t a fa m ily b e lo n g s t o a
so c ia l c la ss as a u n it.
P r e s tig e of c la s s b e lo n g s to a c h ild
e v e n b e f o r e h e h a s a c h a n c e t o show h i s w o r th t o s o c i e t y #
C h i l d r e n o f v e r y fa m o u s p e r s o n s a r e f r e q u e n t l y a t a d i s a d ­
v a n ta g e — th o s e o f h ig h c l a s s , r a r e ly #
T h e p e r s o n a l a c h i e v e m e n t s o f one I n d i v i d u a l s o m e tim e s
h a v e a d e f i n i t e b e a r i n g upon t h e s o c i a l s t a t u s o f h i s f a m i l y
and t h e g e n e r a t i o n s w h ic h f o l l o w .
For i n s t a n c e , I f th e
a c h i e v e m e n t I s i n a f i e l d w h ic h c a n be t a u g h t t o t h e o f f ­
s p r i n g , a s d r a m a t i c s , t h o s e b e a r i n g t h a t name ( B o o th , B a r r y ­
m o re) h a v e a c h a n c e t o c a p i t a l i z e upon t h e p r e s t i g e o f t h e
fo reb ear.
a fo rtu n e
I f th e a ch iev e m e n t R e s u lts In th e a c c u m u la tio n o f
(as i n th e c a s e o f C o rn e liu s V a n d e r b i l t ) , t h e e f ­
f e c t may b e q u i t e l a s t i n g u p o n l a t e r g e n e r a t i o n s .
T h e f a m i l y t o w h ic h a fam ous p e r s o n b e l o n g s o n l y
s l o w l y , a n d u s u a l l y o n l y a f t e r one o r tw o a d d i t i o n a l g e n e r a ­
tio n s o f a ch iev e m e n t, e n te r s In to a c la s s p o s i t io n e q u iv a le n t
to t h e g r e a t n e s s o f th e a c h le v e m e n t- r e p u ta tio n .
L in c o ln ,
a l t h o u g h a fam ous P r e s i d e n t , d i d n o t a s s o c i a t e w i t h t h e
" b e s t p e o p le "
g in n in g t o
s o c i a l l y ; h i s so n d i d .
convert h is
C h a rle s E d iso n i s b e ­
f a t h e r ’ s r e p u t a t i o n , a n d h i s own
a c h iev e m e n ts, i n to s o c i a l c la s s .
H i s c h i l d r e n w i l l h e much
sought a f t e r .
N o to rie ty is sc a rc e ly a t a l l s ig n ific a n t f o r s o c ia l
c la s s .
P e o p le a r e n o to r io u s f o r a l l k in d s o f t h i n g s ; f o r
s w a l l o w i n g g o l d f i s h and e a t i n g p h o n o g r a p h r e c o r d s , f o r b e i n g
P u b l i c Enemy N o. 1 , f o r h i t t i n g a b a s e b a l l 467 f e e t .
Many fam o u s m en, renow ned f o r t h e i r a c h i e v e m e n t s , h a v e
h a d n o a p p r e c i a b l e i n f l u e n c e upon t h e
b e c a u s e t h e y h a v e l e f t no d e s c e n d a n t s .
o fte n at
so c ia l c la s s h ie ra rc h y ,
T h eir c a re e rs a re
th e e x p e n s e o f f a m i l y o b l i g a t i o n s ; t h e r e i s n o p e r ­
p e tu a tio n of s ta tu s .
They a r e f l a s h l i g h t b u l b s , I l l u m i n a t i n g
th e ir co rn er of th e sta g e b r i e f l y b u t w e ll.
A c h ie v e m e n t, f o l l o w e d by a c h i e v e m e n t , f o l l o w e d b y
a c h i e v e m e n t , w i l l make f o r s o c i a l c o n t a c t s a n d s t a t u s
commen­
s u r a t e w ith th e a c h ie v e m e n t. ' T h is I s t h e s t o r y t o l d by th e
Adams f a m i l y , t h e B y r d s , t h e L o d g e s , t h e C a b o t s , t h e R o o s e v e l t
In t h e c a s e o f t h e J o h n s o n fam ily ^ t h e fam o u s member was a
p r e s i d e n t , t h e o f f s p r i n g unknow n, t h e i r o f f s p r i n g unknow n;
a ch iev e m e n t d id n o t t r a n s l a t e i t s e l f i n t o s t a t u s .
I t I s p o s s i b l e t h a t a w hole d e f i n i t i o n o f c l a s s c o u l d
b e b u i l t a ro u n d t h e word a c h ie v e m e n t •
Such a d e f i n i t i o n
w ould r e a d : Any f a m i l y whose l i n e shows c o n s i s t e n t n o n - a c h i e v e
m ent f o r t h r e e g e n e r a t i o n s i n te r m s o f a n y t h i n g w o r th y o f
p r a i s e b y i t s n e ig h b o rs (such as c le a n l i n e s s , i n d u s tr io u s n e s s ,
m o r a l i t y , o r o t h e r s o c i a l l y a p p ro v e d v a l u e s )
deed.
i s v e r y low I n ­
T he s o c i a l c a s e r e c o r d s o f c h a r i t y o r g a n i z a t i o n s o f
l o n g s t a n d i n g show many s u c h f a m i l i e s .
Any f a m i l y whose
h i s t o r y o f a c h i e v e m e n t shows a c o n s i s t e n t r e c o r d o f p l a n n i n g ,
o f d o i n g t h e m o s t w i t h a l l a v a i l a b l e m eans, o f k e e p i n g u p
i t s m o r a l e , o f b e i n g s e e n and h e a r d a t t h e r i g h t t i m e and
p l a c e , o f t e a c h i n g an d p r e p a r i n g e a c h g e n e r a t i o n f o r i t s
t a s k s , o f w a stin g l i t t l e
tim e and l i t t l e m oney, o f r e m a i n i n g
r e l a t i v e l y s o b e r , a n d o f w a tc h in g f o r f a v o r a b l e
c o n n e c tio n s
- - t h a t r e c o r d w ou ld b e r e c o g n i z e d an d w o u ld g i v e t h e f a m i l y
a t l e a s t m i d d l e - c l a s s s t a t u s , q u i t e apa? t fro m a n y te m p o r a r y
f in a n c ia l c o n d itio n .
K e e p in g a f a m i l y l i n e c o n s i s t e n t and I n t a c t i s I t s e l f
an a c h i e v e m e n t .
N o b le f a m i l i e s 700 t o 1000 y e a r s o l d win
a d d i t i o n a l r e s p e o t among a r i s t o c r a t s f o r t h i s
a ch ie v e m e n t.
C r a f t s m e n , I n o l d e r c o u n t r i e s , p r i d e t h e m s e l v e s on t h e c o n ­
s is te n c y of t h e i r l i n e s .
T e n t a t i v e l y , one may o f f e r t h e f o l l o w i n g f o r m u l a f o r
d e a l i n g w i t h a c h i e v e m e n t , n o t o r i e t y , a n d l e a d e r s h i p on t h e
o n e h a n d ^ a n d s o c i a l c l a s s on t h e o t h e r .
The f i n a n c i a l p a g e
o f a l a r g e n e w s p a p e r g i v e s t h e names o f b u s i n e s s l e a d e r s .
T h e r e g u l a r news p a g e s g i v e t h e names o f p r o m i n e n t p o l i t i c i a n s .
T a b lo id s c o n ta in t h e p h o to g rap h s of a l l n o t o r i o u s p e r s o n s ,
e s p e c i a l l y t h o s e o f g r e a t p o p u l a r i t y and t h o s e I n v o l v e d i n
sc a n d a ls.
B ut i f o n e w is h e s t o know t h e names o f t h e s o c i a l l y
m o s t a c c e p t a b l e f a m i l i e s , i t i s w ise t o w a tc h new s i te m s p e r ­
t a i n i n g t o w e d d i n g s , p a r t i e s , and r e s o r t s .
H e re one d o e s n o t
f i n d t h e c o m p le te s o c i a l h i e r a r c h y , b u t t h e s p a c e g i v e n t o
such k in d s o f new s, e s p e c i a l l y in a l o c a l p a p e r , i n d i c a t e s
how i m p o r t a n t c e r t a i n f a m i l i e s a r e c o n s i d e r e d t o b e , and
( b y o m i s s i o n ) how u n i m p o r t a n t o t h e r s a r e .
S o c ie ty e d ito rs
a c t u a l l y ra n k th e p e o p le In t h e i r d i s t r i c t s ,
In f a c t .
L e g a l C l a s s e s and S o c i a l C l a s s e s
T h e re a r e n o b le m e n , s l a v e s , f r e e d m e n , r e d e m p t i o n i s t s ,
b u rg h ers, a lie n s ,
o itiz e n s , v o te rs,
c rim in a ls: a re th e se
s o c i a l c la ss e s?
A fo rm er p r e s id e n t o f F ra n c e , p r e s id in g over a b an q u et
o f t h e A s s o c i a t i o n f o r t h e D e fe n s e o f t h e M id d le C l a s s , r e ­
p r o a c h e d t h e o r g a n i z a t i o n f o r i t s nam e, s a y i n g : " D e p u ls 1 7 8 9 .
68
D ie u m e r o l , 11 n ’ y a p l u s d e c l a s s e s en F r a n c e . . ."
B e c a u s e , u n d e r f e u d a l i s m , t h e r e w ere o n c e f e u d a l
s t a t u s g r o u p s , f i x e d b y l a w , a r e t h e r e now no s t a t u s g r o u p s ?
And w e r e t h o s e l e g a l d i v i s i o n s s o c i a l c l a s s d i v i s i o n s ?
P e r h a p s I t w ould be c o r r e c t t o p e r c e i v e two k i n d s o f
s t a t u s , one l e g a l and one s o c i a l .
s ta tu s ;
T h e re i s and was l e g a l
t h e r e i s an d was s o c i a l s t a t u s .
P erhaps o n ly oc­
c a s i o n a l l y i n human h i s t o r y h a v e t h e s e c a t e g o r i e s e x a c t l y
c o i n c i d e d , m ore p r o b a b l y n e v e r .
S o c ia l s t a t u s , i f d e fin e d
i n t e r m s o f m u t u a l l y e x c l u s i v e g ro u p s whose p o s i t i o n s a r e
68 L o u i s e M a r ie F e r r e ', Lea c l a s s e s s o c l a l e s d a n s l a F r a n c e
c o n te m p o r a l n e ( P a r i s , 1 9 36) p . '92.
f i x e d i n n o r m a l s o c i a l c o n t a c t s b y c o n s e n s u s , h a s a lw a y s fo u n d
ways o f g e t t i n g a ro u n d l e g a l r e s t r i c t i o n s .
I t i s In c o n c e iv ­
a b l e t h a t a n y w h ere o r a t a n y t im e h a v e a l l t h e f a m i l i e s i n
an y s o c i e t y h a d i d e n t i c a l l e g a l and s o c i a l s t a t u s .
In f a c t ,
a n y l a r g e num ber o f f a m i l i e s w i t h i n a n y l e g a l c a t e g o r y I s
l i k e l y to be d iv id e d in to s t r a t a o f a s o c i a l c la s s n a tu r e .
T h is h a s a lw a y s b e e n t r u e o f n o b le m e n , c r i m i n a l s ,
e tc .
c itiz e n s,
S la v e s , c h ain ed to g e th e r i n g a n g s , a r e s l a v e s In th e
l e g a l s e n s e an d l o w e s t on t h e s o c i a l s c a l e i n
But w hat o f th e s la v e s In th e r o y a l h o u se h o ld s
th e c l a s s s e n s e .
(w here s l a v e
pim ps h a v e b e e n known t o o u t r a n k f r e e o f f i c i a l s ) , s l a v e s who
w ere p r o m in e n t p h y s i c i a n s , s l a v e s who s o m e tim e s a c t e d a s
g h o s t - w r i t e r s f o r C i o e r o and o t h e r s ?
S o c i a l r a n k s among c r i m i n a l s .
little
reaso n
T h e r e seem s t o b e
to d ay f o r c o n fu s in g s o c i a l c l a s s e s w i t h d e g re e s
o f c r i m i n a l i t y , t r u e as i t I s t h a t th e d i f f e r e n t s o c i a l
c l a s s e s t e n d t o b e g u i l t y i n d i f f e r e n t d e g r e e s o f t h e same
c rim es.
The o b v i o u s f a c t r e m a in s t h a t t h e r e a r e W h i t n e y s ,
H in e s e s , and p oor u n f o r t u n a t e Jack so n W h ite s In th e s t a t e
and f e d e r a l p r i s o n s .
S u th e rla n d h as d e s c r ib e d in d e t a i l th e
k i n d s o f c r i m i n a l i t y m ore common t o c e r t a i n o f t h e s o c i a l
c l a s s e s , ev en b y p e r s o n s " s o c i a l l y a c c e p t e d a n d a p p r o v e d ,
69
l o o k e d up t o . "
69 E .H . S u t h e r l a n d , " W h i t e - C o l l a r C r i m i n a l i t y , " i n t h e
A m e ric a n S o c i o l o g i c a l R e v ie w , v o l . V, F e b r u a r y , 1 9 4 0 ,
p. 2.
H isto rie s t e l l ,
and c o r r e c t l y s o , o f c r i m i n a l s b e i n g
b r o u g h t t o t h e s h o r e s o f C o l o n i a l A m e r ic a .
Lack o f s p a c e ,
h o w e v e r , p r e v e n t s a f u l l e x p l a n a t i o n h e r e o f w hat k i n d s o f
p e o p le th e s e c rim in a ls w e re .
One m i g h t , e s p e c i a l l y i f n o t
g iv en t o r e a d in g e x te n s iv e ly in t h i s f i e l d , g e t th e im p re s­
s i o n t h a t t h e r e was some k i n d o f s o c i a l u n i f o r m i t y among t h o s e
th u s l a b e l e d .
The s t o r y i s r e l a t e d o f a l a w y e r c o n v i c t e d o f s t e a l i n g
b o o k s a t Cam bridge who was e x i l e d t o A m e r i c a .
"T hough i t
was c u s t o m a r y f o r t h e commoner s o r t o f p r i s o n e r s t o b e c o n ­
d u c t e d on f o o t . . .
t h i s b a r r i s t e r and f o u r o th e r p r i s o n e r s ,
i n c l u d i n g an a t t o r n e y , a b u t c h e r , and a member o f a n o b l e
f a m i l y , w ere a ll o w e d t o r i d e i n h a c k n e y c o a c h e s w i t h t h e i r
keep ers.
• . . t h e y w e re t r e a t e d on b o a r d s h i p w i t h t h e m ark s
70
o f r e s p e c t and d i s t i n c t i o n . "
I t i s g e n e r a lly ag reed t h a t
an a p p r e c i a b l e p r o p o r t i o n o f t h e s o - c a l l e d c r i m i n a l l a b o r e r s
w e re p o l i t i c a l p r i s o n e r s t a k e n i n t h e r e b e l l i o u s s e v e n t e e n t h
o e n tu ry .
T h e s e men f r e q u e n t l y r e p r e s e n t e d t h e b e s t e l e m e n t s
i n E n g la n d and w ere a s o u r c e o f s t r e n g t h r a t h e r t h a n w e a k n e s s
to th e c o lo n ie s.
S o c i a l d i f f e r e n c e s among s l a v e s .
T h ere i s a b u n d a n t
e v id e n c e t h a t s t a t u s groups i n th e t r u e se n se o f a c t u a l s o c i a l
70 C h a r l e s M. A n d re w s, C o l o n i a l F o l k w a y s . (New H av en , 1919)
p p . 1 9 2-193.
p o s i t i o n do n o t co n fo rm t o l e g a l c a t e g o r i e s .
71
t h i s in th e case o f s la v e s :
Lowie shows
The s l a v e s o f c o u r s e o c c u p y t h e s t a t u s o f i n f e r i o r s ,
b u t h e r e some d i s c r i m i n a t i o n m u st b e e x e r c i s e d . T h e re
w e re i n d e e d c a p t i v e s e n s l a v e d i n w ar who c o u ld b e s o l d
l i k e c a t t l e and e x e c u te d a t t h e i r m a s te r ’s w i l l . But
t h e r e was a n o t h e r c l a s s o f n a t i v e s l a v e s pawned f o r
d e b t an d t h e s e e n j o y e d f a r m i l d e r t r e a t m e n t , s u f f e r i n g
n o p a r t i c u l a r l o s s o f p r e s t i g e s i n c e t h e i r s e r v i t u d e was
o f t e n u n d e r g o n e t o r e s c u e an i m p o v e r i s h e d k i n s m a n .
72
Wundt
saw many o f t h e f a c t o r s e n t e r i n g i n t o t h e
s t a tu s of p erso n s in bondage.
B o th t o t h e f r e e and t h e e n ­
s l a v e d p a r t s o f t h e s o c i e t y i t makes a d i f f e r e n c e , h e s a y s ,
w h eth er t h e e n s la v e d a r e r e l a t e d to th e t r i b e or a r e s t r a n g e r s .
T h e re i s a l s o a d i f f e r e n c e a c c o r d i n g t o t h e p e r s o n a l r e ­
l a t i o n s h i p b e tw e e n m a s t e r an d s l a v e .
W u n d t's f i r s t p r i n c i p l e i s i l l u s t r a t e d i n t h e c a s e o f
t h e f i r s t N e g ro e s b r o u g h t t o V i r g i n i a .
T hey a r e r e p u t e d t o
have been in d e n te d to w h ite m a s te r s , b u t o n ly a p a r t o f th e
f i r s t g r o u p an d n o n e o f t h e l a t e r o n e s w ere r e l e a s e d .
w ere b l a c k ; t h e y w e re h e l d i n p e r p e t u a l s l a v e r y ,
T hey
W u n d t's
s e c o n d q u a l i f i c a t i o n i s i l l u s t r a t e d e s p e c i a l l y i n Roman
s l a v e r y , w h e re t h e h i g j i d e g r e e o f c u l t u r e on t h e p a r t o f
many G re e k s l a v e s made i t e a s y f o r them t o make a f a v o r a b l e
p e r s o n a l a d j u s t m e n t i n t h e i r r e l a t i o n s w i t h t h e i r Roman
m a s te rs.
The i n a b i l i t y o f law t o r e g u l a t e s o c i a l i n t e r c o u r s e ,
71 R o b e r t H . L o w ie , P r i m i t i v e S o c i e t y (New Y o rk , 1 92 5) p . 350
72 W ilhelm W undt, D ie G e s e l l s o f a a f t . v o l . V I I I o f V o l k e r p sy c h o lo g le T T L e lp z lg . 1917) p p . 2 3 1 - 2 3 2 .
t o s e t up b a r r i e r s o v e r w h ic h p e o p l e c a n n o t c l i m b , becom es
q u i t e e v i d e n t when a n a l y z e d .
Where p e r s o n s l i v e i n c l o s e
and p e r s o n a l p r o x i m i t y , t h e y w i l l fo rm t h e i r own s o c i a l
g r o u p s , i n s p i t e o f l e g a l r e g u l a t i o n s t o t h e c o n tja r y .
The
l e x J u l i a fo rb a d e th e m a rria g e o f freed m en w i t h d a u g h te rs
of se n a to ria l houses.
in th e f i r s t c e n tu r y .
1,Y e t we know o f s e v e r a l s u c h m a r r i a g e s
. . .
F e lix , th e b ro th e r o f P a lla s ,
h a d m a r r i e d i n s u c c e s s i o n t h r e e l a d i e s o f r o y a l b l o o d , one
73
o f them t h e g r a n d d a u g h t e r o f C l e o p a t r a . ”
The te rm ” s e r v i l e o r i g i n ” m eans s o m e th i n g d e f i n i t e i n
t h e l e g a l s e n s e , b u t i t d o e s n o t a lw a y s h a v e e v e n s i m i l a r
s ig n ific a n c e s o c ia lly .
I n Rome t h e r e w ere m any k i n d s o f
s l a v e s whose n a t i v e l a n g u a g e s p r e v e n t e d them fro m b e i n g o f
a n y i m p o r t a n c e i n Roman s o c i e t y , b u t n o t s o t h e G r e e k s .
B ut e v e n t h e G re e k s l a v e s w ere o f many k i n d s .
” C icero . . .
m e n t i o n s t h a t w e l l - b o r n c h i l d r e n h a d b e e n c a r r i e d o f f fro m
• 74
Misenum u n d e r t h e v e r y e y e s o f a Roman p r a e t o r . ”
The t e r m fre e d m a n f a l l s i n t o t h e same c a t e g o r y .
i s o f more v a l u e I n law t h a n I n s o c i o l o g y .
It
"F reedm en a l s o
e n te re d th e p ro fe s s io n s — te a c h in g , m e d ic in e , p a h tin g . . .
75
o r , by Iro n of c irc u m s ta n c e s, s l a v e - d e a l e r s ."
I t i s p r o b a b l e t h a t w r i t e r s u s e t h e w o rd s s e r v i l e
73 Sam uel D i l l , Roman S o c i e t y f r o m N ero t o M arcu s A u r e l i u s
(L o ndo n, 1925) p . 1 1 4 .
74 W. Warde F o w l e r , S o c i a l L i f e a t Rome (New Y o r k , 1 9 0 9 )
p p . 208-209.
75 S .A . Cook, e t a l . , e d i t o r s , The I m p e r i a l P e a c e . A .D . 70 1 9 2 . v o l . XI o f The C am bridge A n c i e n t H i s t o r y (Cam­
b r i d g e , 1936) p . V 58.
o r i g i n , n o b i l i t y , m e r c h a n t c l a s s , i n d e n t u r e d s e r v a n t , and
so f o r t h , i n d e s c r i b i n g w hat t h e y a l s o t e r m s o c i a l c l a s s e s ,
b e c a u s e t h e s e names a r e c o n v e n i e n t h a n d l e s t o t a k e h o l d o f .
T hey a r e d e f i n i t e and c o n c r e t e , w h e re a s t h e t e r m s u p p e r
c l a s s , m i d d l e c l a s s , lo w e r c l a s s a r e m uch m ore a b s t r a c t .
I t i s h a r d f o r " l o w e s t c l a s s e s ” t o c o m p e te w i t h " s l a v e s , "
even t h o u g h t h e f o r m e r i s a more e x a c t te r m f o r r e f e r r i n g
t o p e r s o n s and f a m i l i e s o f v e r y low s t a t u s .
The l a t t e r i s
o n l y a l e g a l t e r m and a c t u a l l y i n d i c a t e s o n l y a l e g a l con ­
d itio n .
R e d e m p tio n ists o f v a rie d s o c i a l s t a t u s .
s e r v a n t s d i d n o t make u p a s i n g l e s o c i a l c l a s s .
76
w rite s:
In d en te d
W erten b ak er
Some / i n d e n t u r e d s e r v a n t s / w ere p e r s o n s o f c u l t u r e ,
a n d , on r a r e o c c a s i o n s , o f means . . . . T h e r e a r e many
I n s t a n c e s o f g e n t l e b l o o d becom ing i n d e n t u r e d s e r v a n t s
t o l a w y e r s o r p h y s i c i a n s , In o r d e r t o a c q u i r e a k n o w l­
e d g e o f t h o s e p r o f e s s i o n s . . . . T u t o r s w e re so m e tim e s
b r o u g h t o v e r fro m E n g la n d u n d e r t e r m s o f i n d e n t u r e t o
i n s t r u c t t h e c h i l d r e n o f w e a lth y p l a n t e r s i n c o u r s e s
h i g h e r t h a n t h o s e o f f e r e d by t h e l o c a l s c h o o l s .
G re e n e s t a t e s t h a t "many w h i t e s e r v a n t s w e re o f t h e
b e t t e r s o r t , " a n d some o f them , b e s i d e s b e i n g t e a c h e r s ,
w ere s k i l l e d workmen, " t h e b e s t o f whom s u b s e q u e n t l y a c q u i r e d
77
lan d f o r th e m s e lv e s ."
76 Thomas J . Y / e r t e n b a k e r , P a t r i c i a n and P l e b e i a n i n V i r g i n i a
( C h a r l o t t e s v i l l e , 1910) p . 1 6 3 .
77 E v a r t s B o u t e l l G r e e n e , The F o u n d a t i o n s o f A m erican N a t i o n ­
a l i t y (New Y o r k , 1922) p p . 3 2 1 - 3 2 2 .
78
Carman su m m a riz e s I n t h e s e w o rd s :
N o t a l l t h e i n d e n t u r e d worked o u t t h e i r te r m o f s e r v i ­
t u d e on f a r m o r p l a n t a t i o n #
In a b i l i t y t h e y v a r i e d
g re a tly #
The v a s t m a j o r i t y w ere o r d i n a r y l a b o r e r s ; a
few w e re s k i l l e d w orkm en, an d some w ere s k i l l e d a r t i s a n s ,
t r a d e s m e n , o r p e r s o n s t r a i n e d i n th e p r o f e s s i o n s #
The p l a c e o f t h e i n d e n t e d s e r v a n t i n A m erican s o c i a l
c l a s s h i s t o r y w i l l b e t a k e n up more f u l l y i n a l a t e r c h a p t e r .
Prom t h e f o r e g o i n g , h o w e v e r , i t i s e a s y t o s e e t h a t t h e l e g a l
s t a t u s o f a p e r s o n d o e s n o t alw ays c o r r e s p o n d t o h i s s o c i a l
s t a t u s , even d u r in g a term o f i n d e n tu r e .
S o c i a l c l a s s e s among t h e n o b i l i t y .
U n der f e u d a l i s m
n o b le m e n h a d s t a t u s an d r a n k w i t h i n t h e fram e w o rk o f t h e
le g a l stru c tu re #
Many o f t h e f o r m a l a s p e c t s o f s t a t u s w e re
g o v e r n e d by l a w .
W ith o u t a t t e m p t i n g h e r e , as w i l l b e d o n e l a t e r ,
to
t r a c e t h e d e v e lo p m e n t o f s o c i a l c l a s s d u r i n g t h e p e r i o d o f
79
f e u d a l i s m , i t w i l l s u f f i c e t o s t a t e , w ith S e ^ :
The n o b i l i t y d i d n o t fo rm a hom ogeneous c l a s s . T h e r e
w e re p r i v i l e g e d l o r d s a n d o t h e r s .
In t h e f i r s t p l a c e ,
t h e r e w e re t h o s e who h a d b e e n p r e s e n t e d t o th e k i n g an d
queen. . . .
T he p r e s e n t a t i o n was n o t o n l y an h o n o r . I t c o n f e r r e d
c o n s i d e r a b l e a d v a n t a g e s , e s p e c i a l l y i n t h e a rm y . . . .
The g r e a t e s t p r i v i l e g e s and m o st l u c r a t i v e o f f i c e s
and p e n s i o n s w e n t t o t h e c o u r t n o b i l i t y .
78 H a r r y J • Carman, S o c i a l and E conom ic H i s t o r y o f t h e U n i t e d
S t a t e s , v o l . X t B o s t o n , 1936) p . 8 6 .
79 H e n r i Sed', Econom ic a n d S o c i a l C o n d i t i o n s i n F r a n c e D u r in g
t h e E i g h t e e n t h C e n t u r y (New Y o rk , l9 '3 lX ~ p p . 8 9 - 9 2 .
I n c o n t r a s t t o t h e s p l e n d o r o f t h e c o u r t and t h o s e
a d m itte d to I t ,
one r e a d s o f t h e p o o r n o b i l i t y .
T hey w ere
n u m e ro u s , l i v e d i n w r e tc h e d c i r c u m s t a n c e s , a p p e a l e d t o t h e
k i n g f o r f u n d s t o e d u c a t e t h e i r c h i l d r e n , fa r m e d t h e i r own
s m a l l p l o t s , a l l o w e d t h e i r d a u g h t e r s t o work I n t h e b a r n ­
y a r d s and f i e l d s .
"A c c o rd in g ly i t i s e a sy to u n d e rs ta n d
t h e h o s t i l i t y f e l t b y t h e p o o r , p e t t y n o b i l i t y to w a rd t h e
c o u rt n o b i l i t y in 1789, f o r th e l a t t e r g a rn e re d a l l th e
80
f a v o r s . . . ."
What was t r u e o f t h e F r e n c h n o b i l i t y b e f o r e t h e
R e v o l u t i o n was t r u e o f t h e g r a d e s an d k i n d s o f noblem en i n
E n g la n d , I n P o l a n d , i n I t a l y , i n G erm any.
T h e r e w ere g r a d a ­
t i o n s among t h e n o b i l i t y a s t h e r e a r e now among t h e b o u r g e o i s i e .
I t does n o t c l a r i f y s o c i a l c la s s th e o ry to r e f e r to
le g a l c a te g o rie s as c la s s e s or a s s o c ia l c la s s e s .
*
*
#
The f o r e g o i n g m a t e r i a l h a s d e a l t w i t h t h e o b j e c t i v e
c rite r ia of so c ia l c la ss :
e c o n o m ic , p o l i t i c a l , r e l i g i o u s ,
r a c i a l , c u l t u r a l , and l e g a l .
Each h a s p ro ved to b e r e l a t e d
t o and I n f l u e n t i a l up on t h e s o c i a l c l a s s s t r u c t u r e , b u t n o n e
a l o n e e x p l a i n s o r d e t e r m i n e s s o c i a l c l a s s ; n o r does an a r ­
b i t r a r y m i x t u r e o f a n y tw o , t h r e e , o r m ore o f t h e s e a s p e c t s ,
a s can b e q u i c k l y s e e n fro m r e a d i n g i n S o r o k i n ' s S o c i a l
M o b ility .
80 I b i d . , p . 1 0 4 .
S o c i a l c l a s s r e q u i r e s a l s o a s o o i o - p s y c h o l o g i c a l and
su b je c tiv e i n te r p r e ta tio n .
S u b je c tiv e D e f i n i t i o n s o f S o c i a l C lass
T h o se who r e a d i n t h e l i t e r a t u r e o f s o c i a l c l a s s w i s h ,
from t i m e t o t i m e , t h a t t h e u s e o f t e r m s w ere m ore c o n s i s t e n t ,
so c o n f u s i n g a r e t h e many d i s t i n c t i o n s .
a g re e m e n t.
But th e r e i s l i t t l e
E a c h w r i t e r seem s t o go o u t i n t o h i s s o c i a l w o rld
w i t h h i s c a t e g o r i e s and t o d i v i d e t h e p e o p l e i n t o c l a s s e s .
Hence t h e r e a r e h u n d r e d s o f f o r m u l a t i o n s and many d i s t i n c t
ap p ro ach es.
I n s o c i a l t h e o r y t h e r e m ig h t b e m ore p r o g r e s s
w ere m ore a t t e n t i o n g i v e n t o c o n c e p t s .
G e i g e r , t h e one a u t h o r i t y on t h e s u b j e c t o f c l a s s e s
who s u r v e y s t h e v a r i o u s d e f i n i t i o n s f o r t h e r e a d e r b e f o r e
a n n o u n c in g h i s own, p o i n t s o u t t h a t s e c t i o n s o f t h e p o p u l a ­
tio n
(B e v B lk e r u n g s m a s s e n ) a r e n o t c l a s s e s o r s t a t u s g r o u p s .
’’W hich p e r s o n s go t o make u p a s t r a t u m i s d e t e r m i n e d b y
th e m se lv e s.
The c o n c e p t o f s t r a t u m m u s t b e a c h i e v e d a u t o 81
g e n e t i c a l l y , n o t s u b s u m p tiv e ly .”
T h is d e f i n i t i o n , i f n o t
c o m p l e t e , i s b e y o n d d o u b t a good s t a r t i n g p o i n t to w a rd a
deep u n d e r s ta n d in g o f th e co n cep t s o c i a l c l a s s .
Max G r a f Solm s a u s A sse n h e im f i n d s w i t h i n a c l a s s
t h e same c o n g e n i a l a t m o s p h e r e , ’’w h e r e a s o c c u p a t i o n , in co m e,
82
and so f o r t h , v a r y . ”
81 T h e o d o r G e i g e r , D ie S o z i a l e S c h l c h t u n g d e s D e u ts c h e n V olkes
( S t u t t g a r t , 1 952) p p . 1 2 5 - 1 2 6 ; t r a n s l a t i o n o u r s .
82 Max G r a f Solm s a u s A s s e n h e im . G e s t a l t und GerlUst d e r
M e n sc h e n w e lt ( K i e l , 1 927 ) p . 6 6 .
Common ways a n d common I d e a l s .
A sy n th e th ic d e f in i­
t i o n , i n c l u d i n g many f a c t o r s o f a s u b j e c t i v e n a t u r e , would
i n c l u d e many o f t h e f o l l o w i n g i d e a s : C l a s s e s a r e i n e v i t a b l e
i n e v e r y com plex s o c i e t y *
T h ey a r e a r e s u l t o f i n t e l l e c t u a l ,
m o r a l , an d econom ic d i f f e r e n t i a t i o n s .
I n i t s p r e s e n t form
a s o c i a l c la s s i s a group o f p e rs o n s c o n s c io u s o f h a v in g a
common way o f l i f e , o f h a v i n g s i m i l a r n e e d s and a s p i r a t i o n s
an d s i m i l a r a t t i t u d e s to w a r d s t h e p r o b le m s o f l i f e *
T hey
h a v e s i m i l a r i d e a l s and p o s s e s s a c o m p a r a b le d e g r e e o f c u l ­
tu re .
The i n d i v i d u a l s i n t h e g r o u p j u d g e b y t h e same s c a l e
t h e v a l u e s o f l i f e , an d t h e r e f o r e t e n d t o h a v e t h e same
m o r a l i d e a l s and t o b e t h e same s o c i a l t y p e : men w i t h t h e
same p r e j u d i c e s , t h e same m a n n e r s , t h e same i d e a o f h o n o r ,
a n d c o n s e q u e n t l y w i t h a c e r t a i n f e e l i n g o f s o l i d a r i t y to w a rd
83
s i m i l a r groups o f o th e r n a ti o n s a s w e l l .
Max Weber d i s t i n g u i s h e s b e tw e e n c l a s s a s c a t e g o r y and
so c ia l c la s s .
He e m p h a s iz e s t h e p e r s o n a l c h o i c e e le m e n tlin
t h e f o r m a t i o n and m a i n t e n a n c e o f s o c i a l c l a s s e s :
" T h e re a r e
o w n e r s h i p c l a s s e s a n d o c c u p a t i o n a l c l a s s e s an d s o c i a l
c la ss e s:
s o c i a l c l a s s e s a r e d e te rm in e d by t h e t o t a l i t y o f
t h o s e c l a s s p o s i t i o n s b e tw e e n w h ic h a p e r s o n a l e x c h a n g e i s
e a s i l y p o s s i b l e a n d , g e n e r a tio n a f t e r g e n e r a t i o n , i s found
84
t y p i c a l l y to ta k e p la c e ."
T h is d e f i n i t i o n I n t i m a t e s t h a t
83 R e n / G o n n a r d , 0£* e l t . . p p . 6 6 - 6 8 .
84 T aken fro m G e i g e r , o j d c l t
p . 9; t r a n s l a t i o n o u rs .
*
..
t h e s o c i a l c l a s s e s a r e made u p o f f a m i l i e s , n o t o f i n d i v i d u a l s ,
t h a t a c e r t a i n am ount o f s o c i a l c l a s s r i g i d i t y o r c o n t i n u i t y
i s n e c e s s a r y t o t h e f o r m a t i o n o f a t r u e s o c i a l c l a s s , and
t h a t s o c i a l c l a s s r e s t s upon a f o u n d a t i o n o f e x c l u s i v e n e s s
b a s e d upon t h e s t a n d a r d o f v a l u e s o f t h e p a r t i c i p a n t s
se lv es*
them ­
T r a d i t i o n a l p e r s o n a l e x c h a n g e , t h e n , becom es t h e
h a llm a rk o f s o c ia l c l a s s .
S o c ia l c la s s sta n d in g a b i r t h r i g h t .
S c h u m p e te r s t a t e s
d e f i n i t e l y : "We s a i d t h a t f o r t h e i n d i v i d u a l h i s m e m b e rsh ip
in a d e f i n i t e c l a s s i s a g iv en f a c t — he i s b o rn i n t o a c e r 85
ta in c la ss p o s itio n ."
T h i s e m p h a s is upon t h e c o n d i t i o n s
o f b i r t h i s t o b e commended, f o r o b v i o u s l y t h e s e c r e t o f
a ch ie v in g a p a r tic u la r
c la s s sta n d in g w ith th e g r e a t e s t
chance o f s u c c e s s l i e s m ost d e p e n d a b ly in b e in g b o rp to th e
p roper
p a r e n t s - - n o t fro m t h e b i o l o g i c a l s t a n d p o i n t , b u t
fro m t h e s t a n d p o i n t o f t h e end d e s i r e d , s o c i a l s t a n d i n g .
S o c i a l c l a s s e s a r e b a s e d on human i n t e r c o u r s e a n d a s s o c i a ­
t i o n , a n d i t i s v e r y much t o a n y o n e ’ s a d v a n t a g e t o f i n d h im ­
s e l f e a r l y i n l i f e among t h e r i g h t p e o p l e .
A f u l l and a d e q u a t e d e f i n i t i o n o f s o c i a l c l a s s , i n
f a c t , w ill ta k e th is in to c o n sid e ra tio n .
As R o ss s a y s :
" S o c i a l s t r a t a t h e r e w i l l n o t b e u n l e s s t h e r e i s some k i n d o f
I n h e r ita n c e — o f o c c u p a tio n , of p r e s t i g e , o f o f f i c e , of
a u t h o r i t y , o f p r o p e r t y on t h e one h a n d ; o f l o w l y c a l l i n g ,
85 S c h u m p e t e r ,
0£
. c l t . . p . 3; t r a n s l a t i o n o u r s .
o f -u n freed o m , o f d i s a b i l i t y on t h e o t h e r . "
T h is i n t e r p r e ­
t a t i o n d i f f e r s fro m t h o s e who c o n f u s e s o c i a l c l a s s e s j w i t h
m ere o c c u p a t i o n a l o r p o l i t i c a l h i e r a r c h i e s o f i n d i v i d u a l s *
If c iv iliz a tio n
i s to have c l a s s e s , i n e v i t a b l y , i t w i l l n o t
b e b e c a u s e someone h a s t o w ork and someone e l s e h a s t o g i v e
o rd ers*
I t w i l l be because p a re n ts s t r i v e to p la c e t h e i r
c h i l d r e n i n p o s i t i o n s e q u i v a l e n t t o o r h i g h e r t h a n t h e i r own*
87
S o c i a l s t r a t a a r e c h a r a c t e r i z e d b y t h e i r t i m e - s p a n (D a u e r ) .
L andtm an makes t h e t r a d i t i o n a l o r h e r e d i t a r y f a c t o r
i n s o c i a l c l a s s f u n d a m e n ta l t o t h e d e f i n i t i o n .
He s t a t e s :
" I n e q u a l i t y i n s t a n d i n g and i n f l u e n c e may e x i s t w i t h o u t
th e s e a d v an tag e s b e in g n e c e s s a r il y h e r e d i t a r y , b u t in su c h
c a s e s t h e d i f f e r e n c e d e p e n d s upon i n d i v i d u a l c o n d i t i o n s an d
88
does n o t c r e a te c la s s e s ."
T ru e s o c i a l c l a s s e s e x i s t o n l y w h e re t h e c o n d i t i o n s
o f l i f e a r e r e l a t i v e l y c o n s t a n t fro m g e n e r a t i o n t o g e n e r a ­
t i o n , w here p e o p l e know e a c h o t h e r ’ s f a m i l i e s a n d w h e re
t h e y b e l o n g t o g e t h e r t h r o u g h c o n t a c t a n d s i m i l a r ways o f
liv in g *
A c c o r d i n g t o t h i s f o r m u l a p o l i t i c a l o r econom ic
power c an b e r e f e r r e d t o a s f r e q u e n t l y b e l o n g i n g t o c e r t a i n
so c ia l c la ss e s,
so m etim es t o i n d i v i d u a l s o r p o l i t i c a l p a r t i e s .
H i t l e r , f r o m t h i s d e f i n i t i o n , w ould b e c o n s i d e r e d a r u l e r
and a member o f a p a r t y ; t h e K a i s e r was a r u l e r a n d a member
86 R o s s , £ £ . c l t . , p . 2 8 3 .
87 T h e o d o r G e i g e r , D ie G e s t a l t e n d e r G e s e l l u n g ( K a r l s r u h e .
1928) p . 1 4 .
88 L a n d tm a n , oja. c i t . , p . 3 6 .
of a ru lin g so c ia l c la ss .
Thomas and Z n a n le c k i make a s h a r p d i s t i n c t i o n b e tw e e n
a p e r s o n ' s s o o i a l p o s i t i o n o r p r e s t i g e and h i s i n d i v i d u a l o r
89
p erso n al p re s tig e :
S u p e r io r ity of s o o ia l p o s itio n i s a so u rc e of p r e s t ig e
e v e n i n d e p e n d e n t l y o f a n y a c t u a l power w h i c h t h e s u p e r i o r
c l a s s may o r may n o t p o s s e s s • • . M o r e o v e r , when t h e
l e a d e r r e l i e s on t h e p r e s t i g e o f h i s p r o f e s s i o n o r c l a s s ,
h e i s f o r c e d t o k e ep t h e t r a d i t i o n s a n d t o h o l d t h e
e s p r i t de c o r p s b y w h ich t h i s p r o f e s s i o n o r c l a s s t r i e s
t o m a i n t a i n i t s p r e s t i g e , and t h i s e v i d e n t l y l i m i t s h i s
i n i t i a t i v e . . . J a c k o w s k l o r W aw rzyniak c a n h a r d l y b e
c h a r a c t e r i z e d a s p r i e s t s o r n o b le m e n , b u t s i m p l y a s i n ­
d i v i d u a l s , e a c h as a u n i q u e p e r s o n a l i t y .
The i n d i v i d u a l i s t i c i n t e r p r e t a t i o n p e r s i s t s , h o w e v e r .
90
S o ro k in
makes i t t h e f u n d a m e n ta l b a s i s o f h i s volum e on
so c ia l c la s s e s .
A c c o rd in g t o h i s i n t e r p r e t a t i o n , i t c o u l d b e
s a i d t h a t a Sunday S c h o o l c l a s s i s " s t r a t i f i e d "
r o t a t i n g c h airm a n .
if
i t had a
And i t i s S o r o k i n 's b e l i e f t h a t t h e s e
" s t r a t a " o f l e a d e r s make u p t h e s o c i a l c l a s s e s .
P a n u n z io
a l s o d e f i n e s c l a s s a s " a h o r i z o n t a l d i v i s i o n o f s o c i e t y em­
b r a c i n g p e r s o n s o f same o r s i m i l a r e co n o m ic r a n k , r e l i g i o u s
o r p o l i t i c a l s t a t u s , o r p o s s e s s i n g common c u l t u r a l c h a r a c t e r 91
is tic s ."
H e re one f i n d s n o t h i n g c o n c e r n i n g c l a s s f o r m a t i o n
w h ic h r e s u l t s fro m t h e com ing t o g e t h e r o f s u c h f a m i l i e s a s
f i n d th e m se lv e s c o n g e n ia l t o e a c h o th e r — and n o th in g p e r ­
t a i n i n g to th e a tta in m e n t o f s o c i a l p o s i t i o n th ro u g h s o c i a l
89 W i l l i a m I . Thomas a n d
a n t i n E u rope a n d
• p p . §^)5-2 06.
90 S o r o k i n , oj>. c i t . , p .
91 C o n s t a n t i n e P a n u n z io ,
1 9 39) p . 5 2 8 .
F l o r i a n Z n a n i e e k i , The P o l i s h P e a s ­
A m e ric a , v o l . IV ( C h i c a g o , 1926)
11.
M ajor S o c i a l I n s t i t u t i o n s
(New Y o rk .
tra n s m iss io n .
A s u b s t i t u t e d e f i n i t i o n , so s t a t e d a s t o b r i n g
o u t t h e c o n t r a s t , w ould r e a d : A s o c i a l c l a s s i s a h o r i z o n t a l
d i v i s i o n o f s o c i e t y ; e m b ra c in g f a m i l i e s whose s o c i a l b a c k ­
g r o u n d s an d t r a i n i n g a r e s u f f i c i e n t l y s i m i l a r t o p e r m i t f r e e
a n d u n r e s t r a i n e d s o c i a l c o n t a c t s , f a m i l i e s w h ic h b e l o n g t o
t h e same c i r c l e , w i t h r e l a t i v e l y e q u a l r a n k i n t h e com m unity.
R e fin e d d e f i n i t i o n s of s o c i a l c l a s s .
To f o u n d a w hole
h i e r a r c h y o f s o c i a l c l a s s e s upon f i n e and s u b t l e d i s t i n c t i o n s
o f exclu siven essT -r.u p on b ack grou n d s, m ann ers, ways o f l i v i n g
may seem a t f i r s t g l a n c e l i k e b u i l d i n g a h o u s e upon t h e
sands.
Y et i t
so c ia l c la s s .
can a n d i s b e i n g done b y m odern s t u d e n t s o f
s
92
F erre observes, fo r in sta n c e :
Betw een t h e h i g h and t h e m id d l e b o u r g e o i s i e , as b e ­
tw e e n t h e n o b i l i t y and t h e h i g h b o u r g e o s i e , we f i n d
o n ly v e ry s u b tle d if f e r e n c e s in t h e i r s o c i a l l i f e ,
t h e i r s t a n d a r d o f l i v i n g , and t h e i r m a n n e rs . . . .
The s o l i d r o c k s o f p o l i t i c a l o f f i c e and c o l d c a s h i n
t h e b a n k seem much more r e a l t h a n e x c l u s i v e n e s s a r i s i n g
fro m f e e l i n g s o f s u p e r i o r i t y and i n f e r i o r i t y .
But th e
sin e w s o u t o f w h ic h t h e t o u g h f a b r i c o f t h e s o c i a l c l a s s
s t r u c t u r e i s woven and r e p a i r e d c o n s i s t o f p o w e r f u l m echan­
is m s o f s o c i a l s u p e r o r d i n a t i o n and s u b o r d i n a t i o n .
th e d iv is io n s a b r u p t.
of th e rain b o w .
N or a r e
The c o l o r s and s h a d e s m erge l i k e t h o s e
And, t o change t h e f i g u r e a g a i n , some i n d i -
92 F e rre " , £ £ . c i t . . p . 1 6 5 ; t r a n s l a t i o n o u r s .
viduals are like jacks running wild t h r o u g h o u t the deck.
T h ese l a t t e r ,
o f c o u r s e , a t t r a c t m ost o f th e a t t e n t i o n .
T hey a r e t h e e x c e p t i o n s , n o t t h e r u l e .
The s u b j e c t i v e a p p r o a c h t o s o c i a l c l a s s e s i s f o u n d i n
t h e w r i t i n g s o f Hans S p e i e r , one o f t h e m ost c o m p e te n t and
93
c a r e f u l s t u d e n t s o f t h i s s u b j e c t . He w r i t e s :
The c o n c e p t o f c l a s s c o m p a t i b l e w i t h t h i s t h e o r y o f
h o n o r c a n n o t b e f o u n d i n M arx; r a t h e r i t s f o r m u l a t i o n
m u st f o l l o w t h e l i n e s u g g e s t e d b y E ugene D u p r d e l : UA
s o c i a l c la s s i s a group p laced in a h ie r a r c h y in a
p o s i t i o n a b o v e o r b e lo w t h a t o f a n o t h e r g r o u p c o m p ar­
a b l e t o i t , a n o t h e r c l a s s . The i n e q u a l i t y o f two
c la s s e s o r t h e i r h i e r a r c h i c a l o rd e r does n o t r e s u l t
d i r e c t l y fro m a n y a d v a n t a g e o r p r e r o g a t i v e o f e i t h e r
o f th em , su c h a s w e a l t h . I t r e s u l t s o n ly i n d i r e c t l y :
i t i s n e c e s s a r y t h a t one o f t h e two c l a s s e s b e r e c o g ­
n iz e d by i t s e l f and b y th e o th e r c l a s s , as a d v an tag e o u s
and s u p e r i o r . T h i s r e c o g n i t i o n i s e x p l i c i t o r i m p l i c i t . "
H onor, i m p l i c i t l y o r e x p l i c i t l y p a id , i s a b a s i c
phenom enon o f m a n 's s o c i a l e x i s t e n c e .
One o f t h e m o st e x p e r t f o r m u l a t i o n s o f s o c i a l c l a s s ,
as i t
is
can b e s e e n t o b e a f t e r c a r e f u l c o m p a r is o n w i t h o t h e r s ,
94
t h a t o f G in sb e rg :
C l a s s e s i n m odern s o c i e t i e s may b e d e s c r i b e d a s g ro u p s
o f i n d i v i d u a l s who, t h r o u g h common d e s c e n t , s i m i l a r i t y
o f o c c u p a t i o n , w e a l t h an d e d u c a t i o n , h a v e come t o h a v e a
s i m i l a r mode o f l i f e , a s i m i l a r s t o c k o f i d e a s , f e e l i n g s ,
a t t i t u d e s and f o r m s o f b e h a v i o r a n d who, on a n y o r a l l
t h e s e g r o u n d s , m e e t one a n o t h e r on e q u a l t e r m s and r e g a r d
th e m se lv e s, a lth o u g h w ith v a ry in g d eg rees of e x p l i c i t n e s s ,
a s b e l o n g i n g t o one g r o u p .
The p s y c h o l o g i c a l b a s i s o f s o c i a l c l a s s d i s t i n c t i o n s
93 Hans S p e i e r , "H onor and S o c i a l S t r u c t u r e , " i n S o c i a l
R e s e a r c h , v o l . I I (1 9 3 5 ) p p . 9 6 - 9 7 .
94 G i n s b e r g , 0£ . c i t . . p . 5 3 6 .
I s w e l l e x p r e s s e d b y M a c l v e r : "The s e n t i m e n t o f c l a s s i s
above a l l a s e n tim e n t o f d i s p a r i t y .
I t does in d eed u n i t e
t h o s e who f e e l d i s t i n c t fro m o t h e r c l a s s e s , b u t I t - u n i te s
them p r i m a r i l y b e c a u s e t h e y f e e l d i s t i n c t .
u n ite s th e
's u p e r i o r 1 a g a in s t th e
E x c lu siv e n e ss, th a t i s ,
Above a l l ,
95
'i n f e r i o r .” 1
It
s o c i a l e x c lu s iv e n e s s , i s th e
c o rn e rsto n e of a l l c la s s s t r u c t u r e s .
The u p p e r c l a s s e s a r e
p r o t e c t e d , o r , more p r o p e r l y , t h e y p r o t e c t t h e m s e l v e s , fro m
i n t i m a t e c o n t a c t w i t h t h e c l a s s e s b e lo w th e m .
Human b e i n g s a r e v e r y s e n s i t i v e t o t h o s e d i f f e r e n t
96
from t h e m s e l v e s ,
and s o c i a l c l a s s d i f f e r e n c e s a r e d o u b ly
s i g n i f i c a n t b e c a u s e th e y Im m e d ia te ly c a l l I n t o p la y a t t i ­
tu d e s of d e fe r e n c e , s u b o r d in a tio n , o r c o n d esc en sio n .
one knows who a n o t h e r i s ,
U n til
I n t h e s o c i a l c l a s s s e n s e , one I s
l i k e l y t o r e m a in a l o o f a n d t o f e e l 111 a t e a s e .
im p o rtan c e o f c o r r e c t s o c i a l i n t r o d u c t i o n s .
Thus t h e
When one knows
t h e c l a s s t o w h ic h a n o t h e r b e l o n g s , one knows how t o b e h a v e
to w a rd s h i m .
A n o t h e r s h o r t an d l u c i d d e f i n i t i o n o f s o c i a l c l a s s
r e a d s : "The c l a s s i s a g r o u p ( e n s e m b l e ) o f I n d i v i d u a l s
s o c i a l l y a s s i m i l a t e d to each o t h e r , e x c lu d in g d i s t i n c t i o n s
97
caused by a g e , s e x , and o c c u p a tio n ."
T h at i s t o s a y , t h e
a s s i m i l a t i o n does n o t have to be c o m p lete .
Room i s l e f t
f o r s u c h h e t e r o g e n e i t y a s s p r i n g s fro m a g e , s e x , an d o c c u p a 95 M a c l v e r , 0£ . c i t . , p . 1 7 3 .
96 G e o rg S im m el, G r u n d f r a g e n d e r S o z l o l o g l e ( B e r l i n , 1917)
p . 39.
97 F e r r r f , 0£ . c i t . . p . 5 1 ; t r a n s l a t i o n o ^ r s .
tio n .
I t i s a b o l d , b u t com m en dable, s t e p t o d i s a s s o c i a t e
t h e te r m o c c u p a t i o n fro m t h a t o f s o c i a l c l a s s .
Dawson and G e t t y s h a v e l i f t e d t h e n o n - m a t e r i a l s t u f f
o u t o f w h ic h s o c i a l c l a s s i s m ade: h a u t e u r , s n o b b i s h n e s s ,
t i t l e s , s p e c i a l i z a t i o n i n c e r t a i n form s o f e t i q u e t t e ,
98
sp eech , e tc *
I t w ould seem t o b e t h e w i s e r c o u r s e t o r e f e r t o
f a m i l i e s , n o t i n d i v i d u a l s , a s th e e le m e n ta l u n i t s of s o c ia l
c la ss e s.
D e s c r i p t i v e l y , t h e b e h a v i o r w h ic h m akes f o r t h e
f o r m a t i o n and m a i n t e n a n c e o f s o c i a l c l a s s e s r e a d s s o m e th in g
99
lik e th is :
E v e r y f a m i l y h a s , a l s o , t o k e e p up a “ f r o n t 1' and t o
g a i n a c c e p t a n c e w i t h i n some g r o u p o f f a m i l i e s .
I t be­
comes i d e n t i f i e d w i t h a s o c i a l c l a s s , o r w i t h a “ s o c i a l
s e t " i n w h ic h i t p l a y s a j ^ o l e . T h is r ® l e r e q u i r e s e f ­
f o r t and c o n s c i o u s t h o u g h t on t h e p a r t o f some members
o f t h e f a m i l y . The f a m i l y in co m e w i l l b e b u d g e t e d among
v a rio u s k in d s of e x p e n d itu re a c c o rd in g to th e c o n c e p tio n
th e fa m ily h a s o f i t s e l f . . . . Each s e p a ra te fa m ily
h a s t o m a i n t a i n , b y c o n s c i o u s e f f o r t , i t s p l a c e among
o th e r f a m ilie s .
Is i t n o t p ro b ab le t h a t t h i s
th e s o c ia l c la s s s t r u c tu r e r e s t s :
i s t h e b a s i s upon w h ich
th e c e a s e le s s a c t i v i t i e s
o f f a m i l i e s f i n d i n g t h e i r p l a c e s i n t h e d i f f e r e n t c o m m u n itie s
th ro u g h o u t th e lan d ?
Lippmann a l s o m akes much o f t h e i d e a o f s o c i a l s e t s .
H is r e m a r k s c o u l d w e l l b e l a b e l e d on e o f t h e m o s t u n d e r s t a n d -
98 Dawson and G e t t y s , o £ . c i t . , p . 5 4 5 .
99 R o b e r t E . P a r k , e d i t o r , An O u t l i n e o f t h e P r i n c i p l e s o f
S o c i o l o g y (New Y o r k ,”T 9 3 9 ) p . 3 I T .
100
ln g d e f i n i ti o n s o f s o c ia l c l a s s .
He w r i t e s :
U s u a l l y t h e d i s t i n g u i s h i n g m ark o f a s o c i a l s e t i s
t h e p r e s u m p ti o n t h a t t h e c h i l d r e n i n t e r m a r r y # To m a r r y
o u t s i d e t h e s e t i n v o l v e s , a t t h e v e r y l e a s t , a moment
o f d o u b t b e f o r e t h e e n g a g e m e n t can b e a p p r o v e d . E ach
so c ia l s e t has a f a i r l y c le a r p ic tu re of i t s r e la tiv e
p o s itio n in th e h ie r a r c h y o f s o c i a l s e t s « . . .
W h a te v e r t h e t e s t s o f a d m i s s i o n , t h e s o c i a l s e t
when form ed i s n o t a m ere eco n o m ic c l a s s , b u t s o m e th in g
m ore n e a r l y r e s e m b l i n g a b i o l o g i c c l a n . M em b ersh ip i s
i n t i m a t e l y c o n n e c te d w i t h l o v e , m a r r ia g e and c h i l d r e n ,
o r^ t o sp e a k m ore e x a c t l y , w i t h t h e a t t i t u d e s and d e ­
s ir e s th a t a re in v o lv e d .
In th e s o c i a l s e t , th e r e f o r e ,
o p i n i o n s e n c o u n t e r t h e c a n o n s o f F a m il y T r a d i t i o n , Re­
s p e c t a b i l i t y , P r o p r i e t y , D i g n i t y , T a s t e a n d F o rm , w h ic h
make up t h e s o c i a l s e t ' s p i c t u r e o f i t s e l f , a p i c t u r e
a s s id u o u s ly im p la n te d i n t h e c h i l d r e n .
S in c e e a c h com m unity i s made up o f a h i e r a r c h y o f
s o c i a l s e t s , i t i s l o g i c a l t o r e f e r to a s o c i a l c la s s as th e
sum t o t a l o f a l l t h e l i k e s o c i a l s e t s w i t h i n t h e c u l t u r a l
a rea.
A f a m i l y , i n m o vin g t o a n o t h e r p a r t o f t h e U n i t e d
S t a t e s o r C a n ad a , f o r i n s t a n c e , w o u l d , a f t e r t h e i n i t i a l
s ta g e of s o c i a l in tr o d u c ti o n s and o f g e t t i n g a c q u a in te d ,
f i n d i t s e l f i n t h e s o c i a l c i r c l e m o s t l i k e t h e o ne fro m w h ic h
it
cam e, s t i l l
w i t h i n t h e same s o c i a l c l a s s , h o w e v e r .
W ith S c h u m p e te r , i t may b e c o n c l u d e d t h a t t h e " f a m i l y ,
101
n o t th e p h y s i c a l p e r s o n , i s t h e t r u e u n i t o f c l a s s t h e o r y . "
In c o n c l u s i o n , t o o , th e im p o rta n c e o f s o o i a l c la s s
c o n s i d e r a t i o n s i n a l l human r e l a t i o n s h i p s c a n n o t be overem ­
p h a siz e d .
S o c ia l c l a s s e n te r s i n t o e v e r y h a n d c la s p , every
g r e e t i n g , e v e ry a p p o in tm e n t.
As o n e e m i n e n t s o c i o l o g i s t
100 W a l te r L ippm ann, P u b l i c O p i n i o n (New Y o rk , 1 922) p p . 5 1 - 5 2 .
101 S c h u m p e te r , 0£ . c i t . , p . 1 2 .
102
has s ta te d :
The l e g a l and eco no m ic o r d e r s u p p o s e d l y m akes no
d i s t i n c t i o n b e tw e e n t h e g e n tle m a n a n d t h e l a d y on one
h a n d a n d h o i p o l l o l on t h e o t h e r , b u t i n o r d i n a r y a f ­
f a i r s t h i s d i s t i n c t i o n i s much m o re i m p o r t a n t t h a n a r e
o t h e r v a r i e t i e s • • • t h e c lu m s y d i v i s i o n s o f t h e
p o l i t i c a l o r econom ic o r d e r a r e o f no h e l p . Even p r o ­
f e s s i o n a l o r o c c u p a tio n a l g ro u p in g s do n o t a f f o r d a s e ­
cu re b a s i s f o r d i f f e r e n t i a t i o n .
D e fin itio n
S t u d y , r e f l e c t i o n , and c a r e f u l c o m p a r is o n o f m any
t h e o r i e s o f s o c i a l c l a s s hav e l e d t o t h e f o l l o w i n g f o r m u l a ­
tio n :
A s o c i a l c l a s s i n a n y s o c i e t y i s t h e sum t o t a l o f
a l l s im ila r l o c a l s o c i a l - s t a t u s g ro u p s , such as w ill
p e r m i t a f a m i l y t o l e a v e one an d e n t e r t h e o t h e r f r e e l y .
T h e s e s m a l l e r g r o u p s , i n t u r n , a r e made u p o f f a m i l i e s
w h ic h r e c o g n i z e e a c h o t h e r a s a p p r o x i m a t e l y e q u a l i n
s t a t u s and w h ic h a s s o c i a t e w i t h e a c h o t h e r r e g u l a r l y i n
e a t i n g , p l a y i n g , and g o s s i p i n g .
By m eans o f t h e l a s t m e n tio n e d f a c t o r t h e y m a i n t a i n s o c i a l c l a s s c o d e s ,
s t a n d a r d s , a t t i t u d e s , m o ra ls , and i d e a l s . T hese
f a m i l i e s g iv e t h e i r c h ild re n su c h t r a i n i n g as w i l l f i t
them f o r t h e sam e, o r n e a r l y t h e sam e, s o c i a l c l a s s .
S o c i a l s t a t u s I s n o r m a l l y t h e common p r o p e r t y o f t h e
f a m ily ; i t cannot be I n d i v i d u a l i z e d . For l a c k o f
b e t t e r te rm in o lo g y , th e s o c i a l c l a s s e s sh o u ld p ro b a b ly
b e p l a i n l y l i s t e d a s h i g h e s t , u p p e r, m id d le , lo w e r,
a nd l o w e s t .
102 L e o p o ld von W ie s e , S y s t e m a t i c S o c i o l o g y , t r a n s l a t e d
and a d a p t e d b y Howard B e c k e r (New Y o r k , 1932)
p . 314.
CHAPTER II
AN ANALYSIS OF CASTE AND SOCIAL DISTANCE
I t i s im p o s s ib le to b e g in a d is c u s s io n o f s o c i a l c la s s
r i g i d i t y w i t h o u t f i r s t d e l v i n g d e e p l y i n t o t h e m e a n in g o f
c a s t e , b e c a u s e c o n c e p t u a l l y c a s t e i s a l l i e d , i n t h e m in d s o f
m o st s o c i o l o g i s t s , w i t h one p h a s e o r a n o t h e r o f s o c i a l c l a s s .
The t e r m c a s t e h a s b e e n u s e d t o mean c l a s s ,
so c ia l
c l a s s o r s t r a t u m , h e r e d i t a r y o c c u p a t i o n , and r a c e .
R ig id
l e g a l c l a s s e s have o fte n been r e f e r r e d to a s c a s t e s .
Re­
c e n t l y i t h a s become t h e f a s h i o n i n s o c i o l o g y t o r e f e r t o
t h e N e g ro e s and w h i t e s o f t h e s o u t h e r n s t a t e s a s c a s t e s . *
M ixed b r e e d s i n H a w a ii a r e known a s h a l f - c a s t e s .
B u t i s I t p o s s i b l e t h a t t h e word c a s t e can h a v e a l l
o f t h e s e m e a n in g s a t t h e same tim e ?
C a s te , s in c e I t i s o fte n used in te r c h a n g e a b ly w ith
c la s s as th e b a s ic u n it in s o c ia l s t r a t i f i c a t i o n , r e q u ir e s
sp e c ia l a tte n tio n .
C e r t a i n l y c a s t e I s a fo rm o f s o c i a l
r i g i d i t y an d o f s o c i a l d i s t a n c e .
I f I t i s t h e same a s s o c i a l
c la ss r i g i d i t y , i t i s e s s e n tia l th a t th is be a ffirm e d .
it
If
I s a d i f f e r e n t fo rm o f r i g i d i t y , t h e e x a c t n a t u r e o f t h a t
fo rm m u s t b e e s t a b l i s h e d .
A f u l l d e s c rip tio n of th e c a ste
s y s te m i n I n d i a t a k e s up t h e g r e a t e r p a r t o f t h i s c h a p t e r .
* D o l l a r d an d W arner h a v e e f f e c t i v e l y p o p u l a r i z e d t h i s us&ge
form .
I n d e f i n i n g c a s t e , a s a m a t t e r o f I n t e r e s t and n e c e s ­
s i t y , I t i s w e l l t o exam ine w h e th e r t h e c u r r e n t a p p l i c a t i o n
o f t h e t e r m c a s t e s t o t h e N e g ro e s and w h i t e s r e s t s upo n a
h a l f - t r u t h , u p o n a c o n v e n i e n t a s s u m p t i o n , o r upo n an e s t a b ­
lis h e d f a c t .
I n no p l a c e i n t h e l i t e r a t u r e o f s o c i a l c l a s s e s ,
c la ss e s in g e n e ra l, ra c e s , c a s te s , or s o c ia l d is ta n c e h as a
c a r e f u l s o c i o l o g i c a l a n a l y s i s o f th e c o n c e p tu a l r e l a t i o n s h i p
b e tw e e n c l a s s , c a s t e , an d r a c e b e e n p u b l i s h e d i n t h e E n g l i s h
l a n g u a g e , so f a r a s c o u ld b e f o u n d .
The u s u a l p r a c t i c e among
s o c i o l o g i s t s h a s b e e n t o u s e t h e t e r m c a s t e a s seemed c o n ­
v e n i e n t a t t h e m om ent.
R a r e l y d o e s one f i n d an a u t h o r i t y who
a d m i t s t o a w a r e n e s s o f u s a g e d i f f e r e n t fro m h i s own.
And
some, a s w i l l b e show n, u s e t h e word c a s t e i n s e v e r a l w ay s
i n t h e same c h a p t e r .
C a ste u se d in te r c h a n g e a b ly w ith c l a s s .
One o f t h e
l e a d i n g a n t h r o p o l o g i s t s , R i v e r s , i s d i s t u r b e d t o f i n d many
w r i t e r s u s i n g t h e t e r m s c a s t e and c l a s s a s synonym s.
H is
c ritic ism
o f t h i s p r a c t i c e s e r v e s a s a good s t a r t i n g p o i n t
1
f o r t h e p r e s e n t d i s c u s s i o n . He w r i t e s :
I r e f e r t o c l a s s and c a s t e . T h e s e two t e r m s a r e o f t e n
u s e d l o o s e l y a s i n t e r c h a n g e a b l e w i t h one a n o t h e r 9 L o w le,
f o r i n s t a n c e , b e i n g an o f f e n d e r i n t h i s r e s p e c t , an d
t h i s l o o s e u s a g e I s f r e q u e n t I n p o p u l a r l a n g u a g e , f o r we
s p e a k o f a p e r s o n l o s i n g c a s t e when we mean t h a t h e f a l l s
i n t h a t s o c i a l e s t i m a t i o n w h ic h f o r m s so l a r g e an e le m e n t
in th e m a in ten a n ce o f c l a s s d i s t i n c t i o n s .
1 W .H.R. R i v e r s , S o c i a l O r g a n i z a t i o n (New Y o rk , 1 924 ) p . 1 4 3 .
I p r o p o s e t o c o n f i n e t h e t e r m ' c a s t e 1 t o t h e w e l l known
I n s t i t u t i o n i n I n d i a , a n d t o s u c h o t h e r e x a m p le s a s i t i s
p o s s i b l e t o p u t i n t o t h e same c a t e g o r y .
2
I t I s t r u e t h a t Lowie f a i l s t o d i s t i n g u i s h b e tw e e n
s o m e tim es
t h e s e tw o t e r m y , b u t h e i s n o t a l o n e i n t h i s p r a c t i c e . Kim­
b a l l Young r e f e r s s e v e r a l t i m e s t o c a s t e and c l a s s a s i f
t h e y w e re i d e n t i c a l , an d h e makes t h e f o l l o w i n g s t a t e m e n t ;
"A t h i r d c h a r a c t e r i s t i c i s t h e f e e l i n g o f s u p e r i o r i t y o f
3
t h e c a s t e o r c l a s s to w a rd t h e s t r a t a b e lo w t h e m . ”
C a stes
and c l a s s e s a r e a l s o b o t h r e f e r r e d t o a s e x a m p le s o f h o r i z o n t a l
4
s tr a ta by M ille r.
( I t w i l l b e shown l a t e r i n t h i s c h a p t e r
th a t c a s te s , u n lik e c la s s e s , a re n o t h o riz o n ta l s o c ia l
s tra ta .)
G o n n a rd , whose I n t e r p r e t a t i o n o f c l a s s h a s b e e n f o u n d
t o b e I n l i n e w i t h t h e b e s t o f m odern t h e o r y , d o e s n o t , how­
e v e r, fo llo w R iv e rs and o th e rs in i n t e r p r e t i n g c a s te In
te r m s o f t h e s o c i a l o r g a n i z a t i o n s o f I n d i a .
I n s t e a d , G onnard
b e l i e v e s t h a t i n d i s t i n g u i s h i n g b e tw e e n c a s t e and c l a s s one
s h o u l d n o t e t h a t t h e f o r m e r i s "a c l a s s m ore r i g o r o u s l y
c lo s e d , a lm o st a l t o g e t h e r c lo s e d
. . . .
A n tiq u ity w as,
5
a b o v e a l l , t h e t i m e when c a s t e s f l o u r i s h e d . • . ."
E ven
2 S ee R o b e r t H. L o w ie , The O r i g i n o f t h e S t a t e (New Y o rk ,
1 9 27) p . 2 1 ; a l s o s e e JLowieTs An I n t r o d u c t i o n t o
C u l t u r a l A n t h r o p o l o g y (New YorlcJ 1 M 0 ) p . 2 6 8 .
3 K im b a ll y o u n g , An i n t r o d u c t o r y S o c i o l o g y (New Y o r k , 1934)
p . 476.
4 H e r b e r t A d o lp h u s M i l l e r , R a c e s . N a t i o n s , and C l a s s e s ( P h i l a ­
d e l p h i a , 1924) p . 1 4 .
5 Rene G o n n a rd , " Q u e lq u e s c o n s i d e r a t i o n s s u r l e s c l a s s e s , ” I n
t h e Revue E conom lque I n t e r n a t i o n a l e . 1 7 t h y e a r , v o l . I I ,
N o. 1 ( A p r i l 1 0 , 1925) p . 6 7 ; t r a n s l a t i o n o u r s .
t h e g r e a t H obhouse c o u l d w r i t e , i n h i a S o c i a l D e v e lo p m e n t,
t h a t t h e f u l l d e v e lo p m e n t " o f c a s t e was a v e r y g r a d u a l p r o ­
cess.
So f a r t h e movement o f c i v i l i z a t i o n I s t o w a r d s a
g re a te r h ie ra rc h y of c la s s e s .”
Thus one m ig h t add one I l l u s t r a t i o n t o a n o t h e r show­
i n g t h e i n d i s c r i m i n a t e u s e o f c a s t e and c l a s s . ” . . .
. . . e q u a l i t y o f th e c l a s s e s I s p ro c la im e d . . . .
1789
T h e re
6
a r e no more c a s t e s . ”
C a s t e u s e d t o mean h e r e d i t a r y s t a t u s .
V ery common
i s t h e u s e o f t h e word c a s t e t o i n d i c a t e h e r e d i t a r y s t a t u s .
N o r t h , w hose w r i t i n g s i n t h e f i e l d
o f s o c i a l d is ta n c e sta n d
among t h e m o st a c c l a i m e d , a c c e p t s t h e p o i n t o f v iew t h a t
d e g r e e s o f r i g i d i t y m ark t h e d i f f e r e n c e b e tw e e n c l a s s and
7
c a s t e s y s t e m s . H is d e f i n i t i o n r e a d s :
A g ro u p i n w h ic h s t a t u s , o c c u p a t i o n , a n d c u l t u r e h a v e
become h e r e d i t a r y I s known a s a c a s t e . As a m a t t e r o f
f a c t , h o w e v e r , t h e d i s t i n c t i o n b e tw e e n a s o c i e t y b a s e d
upon c a s t e an d one i n w h ic h open c l a s s e s p r e v a i l I s
s i m p ly one o f d e g r e e .
M a clv e r, a n o th e r le a d in g a u t h o r i t y in th e f i e l d o f
s o c ia l c la s s th e o ry , a ls o I d e n t i f ie s c a ste w ith h e re d ita r y
sta tu s.
He a t t e m p t s t o t i e h i s i n t e r p r e t a t i o n i n w i t h t h e
s i t u a t i o n In I n d i a , a p ro c e d u re n o t o f te n fo llo w e d by o th e r
8
s o c i o l o g i s t s . M a c lv e r d e f i n e s :
6 M a u r ic e L a i r , ”Le p ^ r i l d e s c l a s s e s m oyennes en P r a n c e , ”
I n i b i d . , 1 5 t h y e a r , v o l . I I ( A p r i l - J u n e , 1923)
p . 4 2; t r a n s l a t i o n o u r s .
7 C e c il C lare N o rth , S o c i a l D l f f e r e n t l a t i o n (C hapel H i l l ,
1926) p . 2 5 4 .
8 R.M. M a c l v e r , S o c i e t y : A T e x t b o o k o f S o c i o l o g y (New York
1937) p . 1 7 1 .
C a s t e a s u n c h a n g e a b l e s t a t u s : - - The f e u d a l o r d e r a p ­
p r o x i m a t e d t o a c a s t e s y s t e m . When s t a t u s i s w h o l l y
p r e d e t e r m i n e d , so t h a t men a r e b o r n t o t h e i r l o t i n
l i f e w ith o u t hope o f c h an g in g i t , th e n c l a s s ta k e s
t h e e x tr e m e fo rm o f c a s t e . T h i s I s t h e s i t u a t i o n i n
H in d u s o c i e t y .
’E v e r y H indu n e c e s s a r i l y b e l o n g s t o
t h e c a s t e o f h i s p a r e n t s , an d I n t h a t c a s t e h e I n ­
e v i t a b l y r e m a i n s . No a c c u m u l a t i o n o f w e a l t h and no
e x e r c i s e o f t a l e n t s can a l t e r h i s c a s t e s t a t u s ; and
m arriag e o u ts id e h i s c a s te i s p r o h ib ite d or s e v e re ly
d i s c o u r a g e d . 1 C a s t e i s a c o m p le te b a r r i e r t o t h e
m o b ility of c la s s .
9
N o rth c o n c lu d e s t h a t t h e term c a s t e a p p l i e s t o c la s s e s
w h ic h h a v e become f i x e d , and t h a t a l l c l a s s e s t e n d to becom e
10
c a s t e s . C a s t e s a r e d i f f e r e n t fro m c l a s s e s , s a y s Young,
be­
cause th ey a re l e s s f l e x i b l e .
S u t h e r l a n d and Woodward s t a t e
t h a t a c a s t e s o c i e t y i s on e i n w h ic h t h e s o c i a l c l a s s e s s t a y
In t h e i r p la c e s .
The d i s t i n c t i o n s o f t h e s e w r i t e r s become
t r u l y c o m p l i c a t e d , h o w e v e r , when t h e y s a y : ’’U n d e r t h e C z a r i s t
r e g i m e , t h e s e r f s o f R u s s i a w ere a s o c i a l c a s t e .
U nder t h e
11
S o v i e t s , t h e p r o l e t a r i a t becam e a s o c i a l c l a s s
. . • .”
W h erev e r one t u r n s , one f i n d s w r i t e r s o f n o t e s a y i n g
t h e same t h i n g .
T h is may b e b e c a u s e c a s t e I s so e a s i l y u n ­
d e rs to o d by O c c id e n ta ls in th e s e s o c i a l s t a t u s te rm s, b u t
seem s c o m p l i c a t e d when t h o r o u g h l y i n v e s t i g a t e d and p r o p e r l y
q u a lifie d .
The u s u a l s t a t e m e n t o f t h o s e who I d e n t i f y c a s t e
12
w ith h e re d ita r y s t a tu s re a d s , as a r u l e ,
s o m e th in g l i k e t h i s :
9 N o rth , op. c i t . , p . 26.
10 Y oung, 0 £ . c i t . , p . 4 7 7 .
11 R . L . S u t h e r l a n d a n d J . L . Woodward, I n t r o d u c t o r y S o c i o l o g y
(C h ica g o , 1937) p . 366.
12 E . G o b l o t , ”Les c l a s s e s de l a s o c i l t e , ” i n t h e Revue
d*E conom ic P o l i t i q u e , v o l . X I I I ( P a r i s , 1899) p . 3 7 ;
tra n s la tio n o u rs.
A c l a s s a lw a y s e n j o y s c e r t a i n p r i v i l e g e s , a t l e a s t
a d v a n t a g e s , When i t i s m ore o r l e s s r i g o r o u s l y c l o s e d ,
or e n jo y s h e r e d i ta r y p r i v i l e g e s , i t i s c a l le d a c aste *
The c l a s s e s a r e open . . . .
F e r r ^ , a t h o r o u g h s t u d e n t o f m odern s o c i a l c l a s s ,
13
sta te s:
"La c a s t e e s t fe rn u fo , l a o l a s s e e s t o u v e r t e
.
. . ."
Dawson an d G e t t y s , f o l l o w i n g t h e same t a c k , s a y : "When c l a s s
l i n e s becom e r i g i d l y s t r a t i f i e d , t h e n we h a v e a c a s t e *
As i n
th e c a se of s l a v e r y , a p p r o p r i a te s e n tim e n ts and a t t i t u d e s have
14
e v o lv e d i n t h e c a s t e sy s te m t o g i v e i t f i x i t y . "
From t h e f o r e g o i n g l i s t o f c a t e g o r i c a l d e f i n i t i o n s one
m ig h t c o n c lu d e t h a t t h e r e i s s u f f i c i e n t u n i f o r m i t y o f o p i n i o n
among s o c i o l o g i s t s so t h a t f u r t h e r d i s c u s s i o n w ould b e u s e ­
l e s s , q u i t e a p a r t fro m t h e o r i g i n o f t h e word c a s t e and a p a r t
fro m t h e m e a n in g w h ic h i t h a s t o t h e s c h o l a r s who h a v e s p e n t
t h e i r a c a d e m ic c a r e e r s s t u d y i n g t h e H in d u c a s t e s y s t e m .
B ut
t h e r e i s a n o t h e r g r o u p o f w r i t e r s t o whom t h e word c a s t e
m eans s o m e th i n g q u i t e d i f f e r e n t .
C a s t e u s e d t o mean h e r e d i t a r y f u n c t i o n .
The f o l l o w i n g
d e f i n i t i o n s o f c a s t e , r e f e r r i n g t o i t a s a s y s te m o f h e r e d i t a r y
o c c u p a t i o n s , so m e tim es r e f e r t o w hat i s
ta k in g p la c e in In d ia ;
f r e q u e n t l y no a t t e m p t i s made t o c o n n e c t t h e t w o .
S o r o k i n q u o t e s and a f f i r m s t h e v ie w t h a t " c a s t e s a r e
s o c i a l a g g r e g a t e s w h ic h h a v e t h e p r i v i l e g e o f m o n o p o li z in g
13 L o u is e M a r ie F e r r ^ , Les c l a s s e s s o c i a l e s d a n s l a F r a n c e
c o n te m p o r a l n e ( P a r i s , 1 9 3 2 ) p . 3 6 .
14 C a r l A. Dawson and W arn er E . G e t t y s , An I n t r o d u c t i o n t o
S o c i o l o g y (New Y o r k , 1 929 ) p . 5 4 6 .
15
h e r e d i t a r i l y th e p erfo rm an ce o f a d e f i n i t e o c c u p a tio n ."
C o o l e y , who, a s one q u i c k l y r e a l i z e s when r e a d i n g
P a g e 's d i g e s t o f th e c l a s s id e a s o f th e F a t h e r s , p ro b ed
m ore d e e p l y i n t o t h e p s y c h o l o g i c a l a s p e c t s o f c l a s s r e a l i ­
tie s
th an d i d any o f h i s c o n te m p o ra rie s, a c c e p ts th e h e r e ­
d i t a r y f u n c t i o n t h e o r y o f c a s t e (a fo rm o f u s a g e much more
common o u t s i d e o f I n d i a t h a n i n i t )
and a l s o f a l l s i n t o t h e
u n h a p p y h a b i t o f u s i n g t h e w ords c a s t e an d c l a s s i n t e r c h a n g e 16
a b l y i n t h i s c o n n e c ti o n * He h o l d s t h a t :
I f t h e t r a n s m i s s i o n o f f u n c t i o n f r o m f a t h e r t o son h a s
becom e e s t a b l i s h e d , a c a s t e s p i r i t , a s e n t i m e n t i n f a v o r
o f s u c h t r a n s m i s s i o n and o p p o se d t o t h e p a s s a g e fr o m one
c l a s s t o a n o t h e r , may a r i s e an d b e s h a r e d e v e n b y t h e u n ­
p r i v i l e g e d c l a s s e s . The i n d i v i d u a l t h e n t h i n k s o f h im ­
s e l f and h i s f a m i l y a s i d e n t i f i e d w i t h h i s c a s t e . . . .
The s t r i c t o c c u p a t i o n a l r e g u l a t i o n s o f D i o c l e t i a n and
h i s s u c c e s s o rs have fr e q u e n tly been r e f e r r e d to as b in d in g
17
th e p e o p le i n t o r i g i d c a s t e s .
Maine i s q u o t e d b y Sumner
an d K e l l e r a s s a y i n g t h a t w h a t e v e r t h e o r i g i n , " c a s t e i s
18
m e r e l y a name f o r a t r a d e o r o c c u p a t i o n . " S o r o k i n s t a t e s
19
e x p lic itly :
We u s e d t o t h i n k t h a t i n t h e U n i t e d S t a t e s *'s o c i a l
m o b i l i t y " was g r e a t e s t and t h a t a c a s t e t e n d e n c y a n d
c o n f o r m i n g h e r e d i t a r y t r a n s m i s s i o n o f o c c u p a t i o n fro m
f a t h e r t o c h i l d r e n was l o w e s t i n c o m p a ris o n w i t h o t h e r
so c ie tie s •
16 C h a r l e s H o r to n C o o le y , S o c i a l O r g a n i z a t i o n (New Y o r k , 1909)
p . 215.
17 S e e , f o r e x a m p le , S o r o k i n , o p . c i t . , p . 1 4 9 .
18 W i l l i a m Graham Sumner and A l b e r t G a llo w a y K e l l e r , The
S c i e n c e o f S o c i e t y , v o l . I (New H aven, 1 9 2 7 ) p . 5 6 6 .
19 P i t i r i m S o ro E T n , "A m erican M i l l i o n a i r e s an d M u l t i m i l l i o n ­
a i r e s , " in th e Jo u rn a l o f S o c ia l F o rc e s , v o l . I l l
(May, 1 925 ) p . 6 3 5 .
C a s t e h a s b e e n u s e d t o mean c l a s s , h e r e d i t a r y o r
rig id
s t a t u s , and h e r e d i t a r y o c c u p a t i o n , b u t t h e end i s n o t
y e t.
C aste g iv e n a r a c i a l b a s e .
Those who s u b s c r i b e t o
t h e c o n q u e s t t h e o r y o f s o c i a l o r g a n i z a t i o n a r e l i k e l y , i n an
u n c r i t i c a l w ay, t o a t t r i b u t e c a s te to c o n q u e s t, even t o th e
r a c i a l a s p e c t of c o n q u est.
says;
W ard, s p e a k i n g i n g e n e r a l t e r m s ,
"As i s w e l l know n, one o f t h e f i r s t e f f e c t s o f t h e c o n ­
q u e s t i s th e su b d iv isio n
. . .
i n t o a s e r i e s o f m ore o r l e s s
20
d i s t i n c t s t r a t a c a lle d c a s te s ."
K a r l B u c h e r s t a t e s p o s i t i v e l y : "We know e x a c t l y (g e n a u )
t h a t t h e lo w e r c a s t e s a r e o f d i f f e r e n t r a c i a l b a c k g r o u n d s
21
(A bstam m ung) t h a n t h e h i g h e r c a s t e s . . . ."
Max Weber
a l l u d e s t o t h e d i f f e r e n c e s i n s k i n c o l o r among t h e c a s t e s
22
of In d ia ;
Wundt f i n d s t h a t " i n I n d i a . • . t h e l o w e r c a s t e s
a r e c l e a r l y d i s t i n g u i s h a b l e fro m t h e h i g h e r , even a s t o
23
p h y sic a l c h a r a c te r is tic s ."
T hese d e f i n i t i o n s do n o t n e c e s ­
sa rily
c o n f l i c t w i t h t h o s e w hich h o l d t h a t c a s t e s a r e s o c i a l
s tra ta .
The m odern l i t e r a t u r e , w h e r e in N e g ro es a n d w h i t e s a r e
r e f e r r e d t o a s c a s t e s , e s p e c i a l l y i n t h e w r i t i n g s o f D o n a ld
Y o ung , W a rn e r, and D o l l a r d , i s f a m i l i a r t o a l l s o c i o l o g i s t s .
20 L e s t e r P . W ard, " S o c i a l CQass i n t h e L i g h t o f Modern
S o c i o l o g i c a l T h e o r y ," i n t h e A m erican J o u r n a l o f
S o c i o l o g y , v o l . X I I I (M arch , 1908) p . 6 1 7 .
21 K ar 1 B&oherT D ie E n t s t e h u n g d e r V o l k a w l r t s c h a f t ( T ttb in g e n ,
1904) p . 3 7 0 ; t r a n s l a t i o n o u r s .
22 Max W eb er, G esam m elte A ufs& tze z u r R e l l g l o n s s o z i o l o g l e .
v o l . I I ( T u b in g e n , 1921) p p . 123 and 1 2 5 .
23 W ilh e lm W undt, E le m e n ts o f P o l k P s y c h o l o g y , t r . E . L . S c h a u b
(L o n d o n , 1 91'b T p V ~3 l 5 T ------------ ----------
In th e s e I n s ta n c e s th e i d e n t i f i c a t i o n of c a s te and r a c e i s
co m p lete .
H e re t h e word c a s t e , a s u s e d , c o u ld n o t s i m u l ­
ta n e o u s ly be u sed to I d e n t i f y c la s s e s o r o c c u p a tio n s .
The
w h o le r a c e beco m es a c a s t e and v i c e v e r s a .
The d i v e r s i t y d e m o n s t r a t e d above l e a v e s t h e c o n s c i e n ­
t i o u s s t u d e n t -w ith a p r o b le m t o s o l v e , e v e n t h o u g h t h e t a s k
is a d i f f i c u l t one.
T hus f a r i t i s e a s y t o s e e t h a t g r e a t
c o n fu sio n e x i s t s ; th e pu rp o se o f th e c i t a t i o n s , and t h e i r
s y s te m a tic a rr a n g e m e n t, i s t o o f f e r su b s ta n c e to t h e g e n e r a l i ­
z a t i o n t h a t a new f o r m u l a t i o n o f t h e c o n c e p t c a s t e i s much to
be d e s ire d by sound th e o r y .
The f o l l o w i n g a t t e m p t t o a t t a i n
an a d e q u a t e d e f i n i t i o n o f c a s t e i s o f f e r e d a s a c o n t r i b u t i o n
to s o c i o lo g i c a l l i t e r a t u r e .
The v a l u e o f t h i s e f f o r t can be
ju d g ed o n ly in l i g h t o f th e r e s u l t s a c h ie v e d .
What i s a C a s t e ?
C a ste h a s been i d e n t i f i e d w ith c l a s s , h e r e d i t a r y f u n c ­
t i o n , h e r e d i t a r y s t a t u s , c o n q u e r o r s and c o n q u e r e d , and members
o f ra c e s or e th n ic g ro u p s.
By way o f s y n t h e s i s and d i s t i n c t i o n one c a n s e e t h a t
c a s t e i s n o t synonym ous w i t h s o c i a l c l a s s t o t h o s e who w r i t e
o f t h e c l a s s e s w i t h i n t h e "N eg ro c a s t e , "
Young s t a t e s t h a t i t
fo r in s ta n c e .
D o n a ld
" i s t h e o r e t i c a l l y p o s s ib le to have
c a s t e s w ith o u t c l a s s e s , c l a s s e s w ith o u t c a s t e s , o r c l a s s e s
24
w ith in c a s te s * "
H e re a t l e a s t one b a s i c d i s t i n c t i o n h a s
b e e n m ad e .
One s e e s , t o o , t h a t t h o s e who r e f e r t o s t r i c t l y
h e r e d i t a r y o c c u p a t i o n s a s c a s t e s a r e u s i n g t h e word i n a p a r ­
t i c u l a r c o n n e c t i o n , r e m o t e l y r e l a t e d t o what h a s b e e n c o n ­
s i d e r e d t o b e t h e s i t u a t i o n i n I n d i a , b u t w h ic h h a s b e e n
a p p l i e d t o t h i s p a r t i c u l a r cu sto m o r p r a c t i c e , w h e re v e r
fo u n d .
T h o se who r e f e r t o c a s t e s a s s o c i a l s t r a t a , o r s t a t u s
g r o u p s , a r e l i k e l y t o b e e m p lo y in g t h e c o n c e p t o f s o c i a l
s t a t u s w h ere t h e n o t i o n o f r e l i g i o u s o r h o l y s t a t u s w ould
p e r h a p s b e m ore a p p l i c a b l e ;
th a t i s , i f th e y a re try in g to
i d e n t i f y c a s te w ith th o se o rg a n iz a tio n s c h a r a c t e r i s t i c of
In d ia .
T hose who d e f i n e c a s t e s i n te rm s o f c o n q u e s t a r e
th in k in g e i t h e r
(1 ) o f w hat h a s h a p p e n e d a f t e r c e r t a i n p a r ­
t i c u l a r and r a r e i n s t a n c e s o f c o n q u e s t , o r (2 ) t h e y a r e
g e n e r a l i z i n g a c c o rd in g to th e u n c e r t a i n h i s t o r i c a l f a c t s
o f t h e G u m p lo w lcz -O p p en h e im e r s c h o o l o f s o c i a l t h e o r y .
The i d e n t i f i c a t i o n o f r a c e w i t h c a s t e l o s e s a l l mean­
in g i f i t i s
c a r r i e d to o f a r .
F o r i n s t a n c e , d o e s a C h in e s e
lau n d ry m a n i n a s m a l l tow n made up o f w h i t e p e o p l e c o n s t i t u t e
a c a ste ?
O r , a g a i n , a r e a l l N e g o r e s t o b e t h o u g h t o f a s mem-
24 D o n a ld Y oung, A m e rlc an M i n o r i t y P e o p l e s (New Y o r k , 1 932 )
p . 581.
b e r s o f one c a a t e ?
And a l l w h i t e s o f a n o t h e r ?
Has t h e word
r a c e fo u n d a c o m p e t i t i o n I n t h e w ord c a s t e ?
An I n t r o d u c t o r y d e f i n i t i o n o f c a s t e .
a c te ristic
The m o st c h a r ­
t h i n g a b o u t a l o c a l c a s t e g r o u p , so m e tim es c a l l e d
a s u b - c a s te b u t a c t u a l l y th e m ost s i g n i f i c a n t u n i t i n th e
c a s t e sy ste m , I s i t s
au to n o m y I n c a s t e m a t t e r s .
One o f t h e
u n i v e r s a l codes e n fo rc e d by a l l l o c a l c a s t e groups i s t h a t
r e q u i r i n g endogam y.
O t h e r r u l e s h a v e t o do w i t h t h e r e g u l a ­
tio n s p e r ta in in g to r e l i g i o u s p u r i t y o r c l e a n l i n e s s .
Some­
t im e s i t r e s t r i c t s o c c u p a t i o n a l c h o i c e s .
The a uto nom ou s s o c i a l o r g a n i z a t i o n o f t h e c a s t e , t h e n ,
c r e a t e s an a s s o c i a t i o n among t h e c i v i l i z e d H in d u s q u i t e com­
p a r a b l e t o t h e c l a n among many p r i m i t i v e s .
25
t h is id e a c le a r l y :
K roeber s t a t e s
I t / t h e s u b - c a s te ^ re se m b le s th e c la n in b e in g a
s o c i a l u n i t w i t h i n a l a r g e r p o l i t i c a l o r c u l t u r a l w h o le ,
and i n b e i n g m a r r i a g e r e g u l a t i n g an d t h e r e f o r e h e r e d i ­
t a r y fro m t h e p o i n t o f v ie w o f t h e i n d i v i d u a l .
It d if­
f e r s fro m t h e c l a n i n b e i n g endogam ous . . . .
I f t h e w ord c a s t e i s t o a p p l y t o g r o u p s o u t s i d e o f
I n d i a , a c c o r d i n g t o t h i s d e f i n i t i o n , t h o s e m o st t y p i c a l would
26
b e t h e Jews o f e a s t e r n E u ro p e and t h e g y p s i e s .
In th e
U n i t e d S t a t e s t h e M e n n o n i te s a n d A m lsh c o m m u n itie s o f f e r
good i l l u s t r a t i o n s .
A r t i c u l a t e w h i t e s i n t h e tow ns o f o u r
s o u t h e r n s t a t e s , b y c o n s t a n t g o s s i p and w a t c h f u l a l e r t n e s s ,
26 A .L . K r o e b e r , " C a s t e , ” E n c y c l o p a e d i a o f t h e S o c i a l S c i e n c e s .
v o l . I l l (New Y o r k , 1 9 3 7 ; p . 2 5 4 .
26 I b i d * , p . 2 5 5 .
k e e p t h e c a s t e c o d e s o f t h e i r g ro u p i n t a c t *
The N e g r o e s ,
ex cep t in la rg e c i t i e s l i k e A tla n ta , a re h a rd ly p e rm itte d ,
a t t h i s t i m e , t h e h o n o r o f au to n o m o u s s o c i a l o r g a n i z a t i o n ,
a l t h o u g h t h e n e g r o c h u r c h e s , i f u n i t e d , m ig h t d e v e l o p i n t o
i n d e p e n d e n t and h i g h l y d i s c i p l i n a r y a s s o c i a t i o n s .
I n I n d i a , a l l g r o u p s a r e n o t H in d u ; some a r e t h e o r e t i ­
c a l l y o p p o se d t o t h e c a s t i d e a *
th e C h ris tia n m is s io n s .
T h is i s e s p e c i a l l y t r u e of
Y e t , b e i n g v i r t u a l l y e x c l u d e d from
s o c i a l i n t e r c o u r s e w ith o t h e r l o c a l g ro u p s , e a c h l o c a l m is­
s i o n s e t t l e m e n t i s 3.owly t r a n s f o r m e d i n t o a c a s t e *
For th is
t o h a p p e n , no u n i f o r m i t y o f s o c i a l s t a t u s o r o c c u p a t i o n i s
necessary.
By b e i n g f o r c e d i n t o endogam y, h o w e v e r , t h e y
t e n d t o d e v e l o p t h a t c h a r a c t e r i s t i c common t o a l l c a s t e s ,
common a n c e s t o r a .
The B l s h n o i , f o r i n s t a n o e , a l t h o u g h t h e y
r e f u s e t o em p lo y B rahm in p r i e s t s , a r e n e v e r t h e l e s s c o n s i d e r e d
27
a c a ste .
K e tk a r shows t h a t t r i b e s , b y a d o p t i n g t h e H in d u r e 28
l i g i o n and b y b e co m in g en d o g am o u s, become c a s t e s .
T h is,
a g a i n f o r t i f i e s t h e i d e a t h a t c a s t e may t r a n s c e n d s t a t u s and
o c c u p a t i o n , b u t i t a lw a y s k e e p s s o m e th in g o f k i n s h i p and
much o f s o c i a l c o n t r o l a s I t s h a l l m a r k s .
E s s e n tia l to th is b r i e f p re lim in a ry d e f in itio n of
c a s t e i s t h e k n o w le d g e t h a t n o r e p u t a b l e a u t h o r i t y a n y
27 R .V . R u s s e l l , The T r i b e s an d C a s t e s o f t h e C e n t r a l P r o v i n c e s
o f I n d i a , v o l . I IL on d o n , 1 916 ) p . feo*
28 S h r i d 5 a F “V e n k a t e s h K e t k a r . The H i s t o r y o f C a s t e i n I n d i a ,
v o l . I . ( I t h a c a , 1 9 0 9 ) p p . 1 7-19 *
79
l o n g e r a t t a c h e s I m p o r ta n c e t o t h e f o u r t r a d i t i o n a l c a s t e s
o f I n d i a , t h e B ra h m in , K s h a t r y a , V a i s y a , a n d S u d r a .
The em­
p h a s i s i s now p l a c e d upon t h e t h o u s a n d s o f s u b - c a s t e s , w h ic h ,
f o r a l l p r a c t i c a l p u rp o se s, a re th e c a s te s th e m se lv e s.
’’T h e s e / f i v e t h o u s a n d c a s t e s / i n c l u d e n o t o n l y o c c u p a t i o n a l
g roups b u t t r i b e s , r a c e s , s e c t s , i n f a c t a l l p o p u la tio n a l
b o d i e s p o s s e s s i n g an y d i s t i n c t i v e
29
n e s s .”
t r a i t s and g r o u p c o n s c i o u s -
F u r t h e r e x a m p le s o f t h i s t y p e o f s o c i a l d i s t a n c e and
s o c i a l d i f f e r e n t i a t i o n are t o b e f o u n d i n t h e tow ns o f N o r t h
A f r i c a , w h ic h a r e d i v i d e d i n t o e n d o g am o u s, c u l t u r a l l y i n t e ­
g r a t e d , and s e l f - d i s c i p l i n a r y g r o u p s : A r a b s , J e w s , B e r b e r s ,
and E u r o p e a n s .
T h ese g i v e a c a s t e f l a v o r t o t h e s o c i a l l i f e
o f t h e s e to w n s .
C a ste i s n o t s o c i a l s t a t u s .
I f K roeber I s c o r r e c t in
i d e n t i f y i n g e a s t e r n E u ro p ea n Jews a n d g y p s i e s a s t y p i c a l n o n In d ia n c a s te s ,
th e n o f n e c e s s i t y some m o d i f i c a t i o n In t h e
s ta tu s n o tio n i s Im p e ra tiv e .
I f P o le s have f o r c e n tu rie s
f e l t s u p e r io r to th e Jew s, th e r e v e r s e i s lik e w is e t r u e .
I n s u c h a s i t u a t i o n t h e r e I s no s o c i a l l y a c c e p t e d s u p e r i o r i t y
an d I n f e r i o r i t y .
The s o c i a l d i s t a n c e h e r e i s n o t s o c i a l
c la ss e x c lu siv e n e ss.
C la ss s ta n d in g o r s o c i a l s t a t u s I s found w ith in th e
29 K r o e b e r ,
0£
. c i t . , p . 255.
’’g y p s y t r i b e , " n o t b e tw e e n g y p s i e s and R o m a n ia n s , f o r i n ­
sta n c e .
The g y p s i e s h a v e t h e i r own k i n g and q u e e n , n o b i l i t y ,
h i g h c l a s s m u s i c i a n s , and lo w e r o r d e r s .
The n a t u r e o f c a s t e s t a t u s i n I n d i a ,
so o f t e n c o n f u s e d
w ith th e k in d o f s o c ia l c la s s s t a tu s f a m ilia r to O c c id e n ta ls ,
h a s p o s s i b l y n e v e r b e e n c a r e f u l l y a n a l y z e d b y A m e ric a n s o c i o l ­
o g ists*
What i s
th e n a tu r e o f th e c a s te h ie r a r c h y ?
F a h lb ec k
30
sta te s:
T h i s / c l e a n and u n c l e a n , t w i c e b o r n , e t c J d o e s n o t
mean t h a t t h e r e i s l e g a l s u p e r o r d i n a t i o n and s u b o r d i n a ­
tio n as in th e f e u d a l o rd er or o th e r s t a t u s s o c i e t i e s .
The c a s t e s a r e i n d e p e n d e n t o f e a c h o t h e r a s a r e t h e
c r a f t s . . . . T hanks t o t h e i r m em bership i n a c a s t e ,
ev en t h e U n f r e l e a r e n o t w i t h o u t r i g h t s h e r e a s i n
o th e r s ta tu s s o c ie tie s *
31
G h u ry e
r e f e r s t o t h e d i f f e r e n c e i n r e l i g i o u s an d i n
n o m in a l s t a t u s b e tw e e n t h e members o f t h e d i f f e r e n t c a s t e s .
32
The same w r i t e r i l l u s t r a t e s t h i s t h o u g h t b y s t a t i n g :
Though t h e o r e t i c a l l y t h e p o s i t i o n o f t h e S u d r a s was
v e r y lo w , t h e r e i s e v id e n c e t o show t h a t many o f them
w ere w e l l - t o - d o * Some o f them s u c c e e d e d i n m a r r y i n g
t h e i r d a u g h t e r s i n r o y a l f a m i l i e s . . . . The V a i s y a ,
th o u g h t r a d i t i o n a l l y c l a s s e d w i t h t h e f i r s t tw o v a r n a s ,
i s g ro u p e d on many o c c a s i o n s w i t h t h e S u d r a s . As we
s h a l l se e l a t e r on, th e o c c u p a tio n s o rd a in e d f o r th e s e
two c l a s s e s a r e a l m o s t I d e n t i c a l .
C a s t e s t a t u s i s l a r g e l y a r i t u a l i s t i c an d h o n o r a r y
t y p e o f s t a t u s b a s e d on d e g r e e s o f p u r i t y and r e l i g i o u s v i r -
30 P o n t u s E . F a h l b e c k , D ie K l a s s e n un d d i e G e s e l l s c h a f t ( J e n a ,
1922) p . 129; t r a n s l a t i o n o u r s .
31 G .S . G h u ry e , C a s t e and Race i n I n d i a (L o ndo n, 1 9 3 2 ) p . 2 .
32 I b i d . , p p . 5 8 - 3 9 .
tu e .
D e f e r e n c e f o r p i e t y h a s , o f c o u r s e , more s i g n i f i c a n c e
among t h e p e o p l e s o f I n d i a t h a n among w e s t e r n p e o p l e s , b u t
t h e p r i n c i p l e I n v o l v e d c an b e d e m o n s t r a t e d b y an exam ple
t a k e n fro m w e s t e r n p r a c t i c e s .
For i n s t a n c e , in every
C h r i s t i a n c o u n t r y t h e r e i s a cu sto m w h ic h r e q u i r e s s p e c i a l
r e s p e c t and d e f e r e n c e f o r n u n s and p r i e s t s w e a r i n g t h e
c lo th .
New Y o r k e r s w i l l even g iv e u p subway s e a t s t o
C a th o lic s i s t e r s .
tic
sta tu s ?
Is th is s o c ia l sta tu s ?
Or i s i t p i e t i s 33
K e tk a r e x p la in s t h i s i n th e s e w ords:
How i s t h e p r e c e d e n c e m a n i f e s t e d ? As B rahm in h e
i s a t t h e h e a d o f s o c i e t y w h e re h o l i n e s s i s t h e s t a n d ­
a r d . A c a s t e i s p u r e o r Im p u re a s muoh a s i t i s h i g h
o r l o w . T h i s p u r i t y i s n o t t h e o u t s i d e p u r i t y , w h ic h
i s a p p a r e n t t o t h e ‘' b o d i l y e y e ,'* b u t i t i s some m y s t i c ,
in n a te p u r ity .
I f t h e p u r e and t h e im p u re a r e b r o u g h t
t o g e t h e r , t h e p u r e becom e i m p u r e . F o r t h i s r e a s o n t h e
h o ly and p u re c a s te s sh o u ld keep a s l i t t l e c o n n e c tio n s
w i t h im p u re c a s t e s a s p o s s i b l e .
C a a t e s a r e r a t e d , t h e n , on a p u r i t y s c a l e , n o t on a s o c i a l
sc a le .
The M ysore C en sus o f 1901 i s q u o t e d , i n t h i s c o n n e c 34
t i o n , as fo llo w s:
In a n y one o f t h e l i n g u i s t i c d i v i s i o n s o f I n d i a t h e r e
a r e a s many a s tw o h u n d r e d c a s t e s w h ich can b e g ro u p e d
i n c l a s s e s whose g r a d a t i o n i s l a r g e l y a c k n o w le d g e d b y
a l l . B u t t h e o r d e r o f s o c i a l p r e c e d e n c e am ongst t h e
i n d i v i d u a l c a s t e s o f a n y c l a s s c a n n o t b e made d e f i n i t e ,
b e c a u s e n o t o n l y i s t h e r e n o u n g r u d g i n g a c c e p t a n c e o f su c h
r a n k b u t a l s o t h e i d e a s o f t h e p e o p l e on t h i s p o i n t a r e
v e r y n e b u l o u s a n d u n c e r t a i n . The f o l l o w i n g o b s e r v a t i o n s
v i v i d l y b r i n g o u t t h i s s t a t e o f t h i n g s . " . . • E x c e p tin g
t h e B rahm in a t on e end and t h e a d m i t t e d l y d e g r a d e d c a s t e s
a t t h e o t h e r , t h e members o f a l a r g e p r o p o r t i o n o f t h e
in te rm e d ia te c a s te s th in k or p ro fe s s to th in k t h a t t h e i r
c a s t e i s b e t t e r t h a n t h e i r n e i g h b o u r s , and s h o u l d be
ranked a c c o r d in g ly ."
33 K e t k a r , 0£ . c i t . , p . 2 3 .
34 T aken f r o m G h u r y e , 0£ . c i t . , p . 6 .
I t m u st b© rem em bered t h a t w here c a s t e s l i v e s i d e b y
s id e , w ith l i t t l e
d i f f e r e n c e i n e x t e r n a l a p p e a r a n c e s and
w i t h no common a c c e p t a n c e o f t h e i r r a n k ev en i n h o l i n e s s ,
th ey s t i l l a re s o c i a l l y e x c lu s iv e ; th e y l i v e as s t r a n g e r s
to each o th e r in a l l th in g s in tim a te .
T h e ir equal s t a t u s ,
a s j u d g e d b y a n o b s e r v e r fro m t h e o u t s i d e , d o e s n o t l e a d t o
fra te rn iz a tio n .
On t h e o t h e r h a n d , t h e r e i s no a s s u r a n c e t h a t w i t h i n
a c a s t e g ro u p t h e r e i s a n y e q u a l i t y o f s t a t u s , o p p o r t u n i t y ,
or s o c i a l sta n d in g ~
d isc u ssio n s.
a s t h e word i s u s e d i n s o c i a l c l a s s
A l l o f t h e t w e lv e m i l l i o n B ra h m in s a r e n o t
e n g a g e d i n h i g h l y r e s p e c t a b l e e m p lo y m e n ts , n o r do t h e y a l l
have w e a l t h .
In f a c t th e y ra n k s e v e n th in a v era g e c r e d i t
35
s t a n d i n g among t h e c a s t e s o f I n d i a .
I t has fre q u e n tly
b e e n p o i n t e d o u t t h a t B rah m in s may b e s e r v a n t s o f members
o f a lo w e r c a s t e .
The f a c t t h a t t h e p e r s o n a l s e r v a n t o f a
r i c h B rah m in m u st b e a p o o r B rah m in i s w e l l know n.
p o in ts out th a t ” . . .
S p e ier
t h e m a j o r i t y o f Brahmans p r e f e r f o r
r i t u a l re a s o n s th e lo w e st s e r v ic e In th e h ouse to th e m in is36
tr a tio n s p r o f e s s i o n / of a p h y sic ia n ."
35 S . S . N e h r u , C a s t e an d C r e d i t i n th e R u r a l A re a (New Y o rk ,
19 32) p . 1 5 .
36 Hans S p e i e r , "H onor a n d S o c i a l S t r u c t u r e , " i n S o c i a l
R e s e a r c h , v o l . I I (1 9 35) p . 8 0 .
T h e re i s e v e r y r e a s o n t o b e l i e v e t h a t w i t h i n a s i n g l e
c a s t e t h e r e a r e some f a m i l i e s t o whom good f o r t u n e o r p e r ­
s e v e r a n c e h a s b r o u g h t m ore d i g n i t y , m ore s o c i a l i n f l u e n c e
i n t h e c o u n c i l s , m ore s o c i a l e s t e e m , t h a n i t h a s t o o t h e r s .
To know a m an’ s c a s t e i s t o know t h e g r o u p i n t o w h ic h h i s
life
i s h i g h l y i n t e g r a t e d and t h e s t r i c t n e s s o f h i s r e l i g i o u s
codes - - b u t in th e a b sen ce o f o t h e r d a ta h i s s o c i a l s t a t u s
w ould b e a m a t t e r o f g u e s s •
C a s te i s n o t i d e n t i f i e d w i t h o c c u p a t i o n .
I f th e id e a
t h a t h e r e d i t a r y o c c u p a t i o n s h o u l d b e d e s i g n a t e d b y t h e word
c a s t e i s t o p r e v a i l , i t w i l l h a v e t o r e s t upon a d i f f e r e n t
b a s e fro m t h e p r a c t i c e s o f t h e p e o p l e o f I n d i a .
In th e f o l ­
lo w in g q u o t a t i o n one s e e s t o w hat a s m a l l e x t e n t c a s t e s l i m i t
o c c u p a t i o n a l c h o i c e s and t o w hat a g r e a t e x t e n t p e r s o n s i n
t h e same c a s t e s h a v e b e e n a l l o w e d o r f o r c e d i n t o em ploym ents
37
w i t h a w ide r q n g e o f d i g n i t y an d e s t e e m . R u s s e l l w r i t e s ;
L e s s t h a n a f i f t h o f t h e Brahm ans o f t h e C e n t r a l P r o v ­
in c e s a r e p e rfo rm in g any p r i e s t l y o r r e l i g i o u s f u n c t i o n s ,
and t h e r e m a i n i n g f o u r - f i f t h s a r e l a n d h o l d e r s o r e n g a g e d
i n G overnm ent s e r v i c e a s m a g i s t r a t e s , c l e r k s o r p u b l i c
o f f i c e r s , c o n sta b le s o r o r d e r l i e s , or in ra ilw a y s e rv ic e
in d i f f e r e n t g ra d e s , o r in th e p ro f e s s io n s a s ; b a r r i s t e r s
and p l e a d e r s . . . . The R a j p u t s an d M a r a th a s w ere
o r i g i n a l l y s o l d i e r s , b u t o n l y an i n f i n i t e l y s m a l l p r o p o r ­
t i o n b e l o n g t o t h e I n d i a n Army, and t h e r e m a i n d e r a r e
r u lin g c h ie f s , la n d h o ld e rs , c u l t i v a t o r s , la b o u re rs . . . .
Of t h e T e l i s o r o i l - p r e s s e r s o n l y n i n e p e r c e n t a r e e n ­
g a g e d i n t h e i r t r a d i t i o n a l o c c u p a t i o n , and t h e r e m a i n d e r
a r e l a n d h o l d e r s , c u l t i v a t o r s , an d s h o p k e e p e r s . . . . The
B ahn as o r c o t t o n - c l e a n e r s h a v e e n t i r e l y l o s t t h e i r o c c u p a ­
t i o n , a s c o t t o n i s now c l e a n e d i n f a c t o r i e s ; t h e y a r e
c a r tm e n o r c u l t i v a t o r s , b u t r e t a i n t h e i r c a s t e name and
o rg a n iz a tio n .
37 R u s s e l l ,
0£
. c i t . . pp. 8 -10.
R iv e ra le n d s h i a s c h o l a r s h i p to t h i s v iew .
He s t a t e s
t h a t " t h e r e a r e h a r d l y a n y o c c u p a t i o n s w h ic h a r e n o t now f o l ­
low ed b y a B rahm in e x c e p t t h o s e w h ic h a r e d i r e c t l y c o n t a m i n a t
38
in g . . . ."
O c c i d e n t a l s o c i o l o g i s t s who h a v e l o n g a s s o c i ­
a t e d t h e n o t i o n o f c a s t e w i t h t h a t o f f i x e d o c c u p a t i o n would
b e s u r p r i s e d t o f i n d t h a t an I n d i a n s c h o l a r , G uru P r o s h a d Sen
c o u ld "sum up t h e f e a t u r e s o f c a s t e an d l e a v e o u t o c c u p a t i o n
39
40
a lto g e th e r."
K etk ar r e p o r t s t h a t ,
Today a man can t a k e t o a n y o c c u p a t i o n w i t h o u t c h a n g ­
i n g h i s c a s t e . The o n l y e x c e p t i o n s a r e t h a t no b o d y o f
a good c a s t e w ould l i k e t o t a k e t o t h e o c c u p a t i o n o f
sh oem ak er o r s c a v e n g e r , and n o man who i s n o t b o r n a
Brahm in w ould b e a c c e p t e d a s a p r i e s t i n t h e co m m unity.
R e fin e d d e f i n i t i o n s o f c a s t e .
The d e f i n i t i o n s o f
c a s t e g iv en a t th e b e g in n in g o f t h i s c h a p te r h a v e f a i l e d to
sq u a re w ith th e r e a l i t i e s o f t h e I n d ia n sy ste m .
o r i t i e s , h ow ever, have a v o id e d th e p i t f a l l s
u s a g e and r e p r o d u c e d e r r o r ;
O th er a u th ­
of s u p e rfic ia l
t h e y h a v e g o n e m ore d e e p l y i n t o
t h e t r u e s i g n i f i c a n c e o f t h e w o rd .
41
W e ste rm a rc k
b e lie v e s t h a t th e e ssen ce of th e c a s te
s y s te m i s endogamy; w h e r e a s R i v e r s s t a t e s t h a t " a f o u r t h
a s p e c t o f o a s t e , p e r h a p s m ore i m p o r t a n t t h a n a n y o t h e r , i s
42
i t s f u n c tio n as a r e l i g i o u s g ro u p in g ."
To t h e s e m ig h t w e l l
38
39
40
41
R i v e r s , 0£ . c i t . , p . 1 5 3 .
I b i d . , p p . 153-154.
K e tk ar, op. c i t . , p . 19.
Edward W e s te rm a r c k , A S h o r t H i s t o r y o f M a r r i a g e (Hew Y o rk .
1926) p . 5 9 . ------------------------- -------------------42 R i v e r s , 0£ . c i t . , p . 1 5 6 .
b e a d d e d t h e f a c t t h a t t h e c a s t e i s a n a g e n c y o f s o c i a l co n ­
t r o l , p ar e x c e lle n c e .
R e p e a te d ly , t h i s a s p e c t o f c a s te i s
e m p h a s iz e d b y t h o s e m o st f a m i l i a r w i t h c a s t e o r g a n i z a t i o n .
43
F o r e x a m p le :
B u t e v e r y c a s t e d e c i d e s f o r i t s e l f w h e t h e r c e r t a i n mem­
b e r s who h a v e b e en g u i l t y o f i r r e g u l a r c o n d u c t w ould b e
a l l o w e d t o r e m a in i n t h e c a s t e , a n d a l s o w h e t h e r a n o t h e r
c a s t e i s f i t f o r i n t e r c o u r s e w i t h th e m and t o w h a t e x ­
te n t i t i s .
T h is i s t h e s o c i a l o r g a n i z a t i o n a l p h a s e o f c a s t e .
It
le a d s to th e co n clu sio n t h a t a c a s t e i s n o t c h a r a c te r iz e d by
th e p h y s ic a l o r o c c u p a tio n a l c h a r a c t e r i s t i c s o f th e in d iv id u a ls
who make i t u p ; i t i s c h a r a c t e r i z e d b y i t s
k n it s o c ia l c o n tro ls.
codes, i t s
c lo s e -
These a re th e e s s e n t i a l s o f c a s t e
f o r m a t i o n and t h e s e a r e t h e p h a s e s o f c a s t e w h ic h p r e c l u d e s
t h e N e g ro e s i n a s m a ll town i n t h e S o u t h fro m b e i n g d e s i g ­
n a te d a s "a c a s t e . "
The r e g u l a t i o n s o f t h e i r l i v e s a r e to o
l a r g e l y d o m in a te d b y t h e w h i t e c a s t e .
A w h i t e man, f o r i n ­
s t a n c e , who r e f u s e s t o a b i d e b y t h e c o d e s o f w h i t e men i s
d r i v e n f ro m t h e tow n; t h a t i s , fro m t h e s o c i e t y o f l o c a l
w h i t e m en.
N e g ro e s e n j o y no s u c h au to n o m o u s s o c i a l c o n t r o l .
I n f a c t , w h i t e o f f i c e r s may open N e g r o e s ' f r o n t d o o r s w i t h ­
o u t k n o c k i n g , an a c t w h ic h w ould s h o c k H i n d u s ' s e n s e o f
c a s t e r i g h t s , w h ere, f o r i n s t a n c e ,
even t h e l o w e s t g r o u p s
( t h e u n t o u c h a b l e s ) th r o w cow -dung w a t e r upon even t h e B rahm in
43 K e t k a r , oja. c i t . . p . 2 2 .
who t r i e s t o p a s s t h r o u g h t h e i r q u a r t e r o f t h e v i l l a g e
44
a g a i n s t known r e g u l a t i o n s .
F r e q u e n t l y one r e a d s :
"The c a s t e i s i t s
own r u l e r . "
On t h e s u b j e c t o f c a s t e S e n a r t i s t o t h i s d a y a r e c 45
o g n i z e d a u t h o r i t y . He d e s c r i b e s a c a s t e
a s a c lo s e d c o r p o r a tio n , in th e o ry a t any r a t e r ig o u r o u s l y
h e r e d i t a r y ; e q u ip p e d w i t h a c e r t a i n t r a d i t i o n a l and i n d e ­
p e n d e n t o r g a n i z a t i o n in c lu d in g a c h i e f and a c o u n c i l ,
m e e t i n g on o c c a s i o n i n a s s e m b l i e s o f m o re o r l e s s p l e n a r y
a u t h o r i t y and j o i n i n g t o g e t h e r a t c e r t a i n f e s t i v a l s . . .
and r u l i n g i t s members b y t h e e x e r c i s e o f j u r i s d i c t i o n ,
t h e e x t e n t o f w h ic h v a r i e s , b u t w h ic h s u c c e e d s i n m ak in g
t h e a u t h o r i t y o f t h e community m ore f e l t b y t h e s a n c t i o n
of c e rta in p e n a ltie s . . . .
The O x fo rd H i s t o r y o f I n d i a , i n i t s d e f i n i t i o n o f
c a s t e , d o e s n o t m e n tio n an y h i e r a r c h y o f s t a t u s an d s a y s
e x p l i c i t l y t h a t members may o r may n o t b e r e s t r i c t e d o c c u 46
p a t i o n a l l y . The h e a r t o f i t s d e f i n i t i o n i s :
A c a s t e may b e d e f i n e d a s a g r o u p o f f a m i l i e s i n t e r n a l l y
u n i te d b y p e c u l i a r r u le s f o r th e o b se rv a n c e o f c e rem o n ial
p u r i t y , e s p e c i a l l y i n m a t t e r s o f d i e t and m a r r i a g e . The
r u l e s s e r v e t o f e n c e i t o f f fro m a l l o t h e r g r o u p s , e a c h
o f w h ic h h a s i t s own s e t o f r u l e s .
From t h e f o r e g o i n g d e f i n i t i o n i t
can r e a d i l y b e s e e n
t h a t t h e h i s t o r i a n who s p e c i a l i z e s i s l i k e l y t o
see a s i t u a ­
t i o n o f t h i s k i n d more c l e a r l y and a c c u r a t e l y t h a n m ig h t a
s o c i o l o g i s t who f r e q u e n t l y a t t e m p t s t o c o v e r t o o much g r o u n d .
I t i s a l o s s t o s o c i o l o g y t h a t s u c h a s i m p l e and f a c t u a l
44 G h u ry e , 0£ . c l t . . p . 1 1 .
45 T aken from K e t k a r , 0£ . c l t . , p p . 1 3 - 1 4 .
46 V i n c e n t A. S m i t h , The O xford H i s t o r y o f I n d i a
1 9 28) p . 3 4 .
(O x fo rd ,
d e f i n i t i o n a s t h e above h a s n o t been u n i v e r s a l l y a d o p t e d b y
w rite rs in th is f ie ld .
The r e l a t i o n o f s o c i a l c l a s s t o c a s t e .
Prom t h e f o r e ­
g o in g i t i s c l e a r t h a t a c a s te i s n o t a s o c i a l c l a s s ; y e t ,
i f w hat de T o c q u e v i l l e i s q u o te d a s s a y i n g i s
i s a s e n s e i n w h ic h i t i s ,
47
He o b s e r v e s :
t r u e , and t h e r e
th e n an e x p l a n a t i o n i s c a l l e d f o r .
E a c h c a s t e h a s i t s own o p i n i o n s , f e e l i n g s , r i g h t s , man­
n e r s , a n d modes o f l i v i n g . T h u s, t h e men o f whom e a c h
c a s t e i s composed do n o t r e s e m b le t h e m ass o f t h e i r f e l l o w - c i t i z e n s ; t h e y do n o t t h i n k o r f e e l i n t h e same
m a n n e r, and t h e y s c a r c e l y b e l i e v e t h a t t h e y b e l o n g t o
t h e same human r a c e . . . .
Nor d o e s K ro e b e r make t h e t a s k o f e x p l a i n i n g t h e r e ­
l a t i o n s h i p b e tw e e n s o c i a l c l a s s and c a s t e e a s i e r b y h i s s t a t e
48
m en t:
The c a s t e and t h e c l a n may b e r o u g h l y d e s c r i b e d a s h o r i ­
z o n t a l and v e r t i c a l ' d i v i s i o n s r e s p e c t i v e l y o f a p o p u l a ­
t i o n . ^ T h i s i s a d ir e c t d e n i a l o f t h e Y o u n g - W a r n e r - D o l la r d
d e fin itio n t h a t c a ste s a re v e r t i c a l d i v i s i o n s ^ C a s te s ,
t h e r e f o r e , a r e a s p e c i a l fo rm o f s o c i a l c l a s s e s , w h ic h i n
te n d e n c y a t l e a s t a re p r e s e n t in e v e ry s o c i e t y .
C a stes
d i f f e r fro m s o c i a l c l a s s e s , h o w e v e r, i n t h a t t h e y h a v e
e m erg ed i n t o s o c i a l c o n s c i o u s n e s s t o t h e p o i n t t h a t c u s ­
tom and la w a t t e m p t t h e i r r i g i d and p e r m a n e n t s e p a r a t i o n
fro m one a n o t h e r .
A s o c i a l c l a s s i s a hom ogeneous u n i t , f r o m t h e p o i n t
o f v ie w o f s t a t u s and m u t u a l r e c o g n i t i o n ; a c a s t e i s a homo­
g e n e o u s u n i t fro m t h e p o i n t o f view o f common a n c e s t r y ,
47 T aken fro m W e s te r m a rc k , o j d . c l t . .
48 K r o e b e r , o j j . c i t . . p . 2 5 3 7
pp.
63-64.
r e l i g i o u s r i t e s an d s t r i c t o r g a n i z a t i o n a l c o n t r o l .
T h ere
a r e two k i n d s o f h o m o g e n e ity r e p r e s e n t e d h e r e .
T h e re a r e i n s t a n c e s w here a c a s t e h a p p e n s t o d i s t r i b u t e
w ork o p p o r t u n i t i e s i n g i l d - l i k e f a s h i o n , a c a s t e may s t a n d i n
r e l a t i o n t o o t h e r p a r t s o f t h e com m unity much i n t h e m anner
o f a l o c a l s o c i a l c l a s s , w i t h a d d i t i o n a l p o w e rs o f s o c i a l
c o n t r o l o v e r i t s m em bers.
But m o st o f t h e c a s t e s , b e c a u s e
of i n t e r n a l c o m p le x itie s of s t a tu s or b ecau se o f t h e i r
s i m i l a r i t y in s t a t u s w ith o th e r g roups a r e n o t c h a r a c t e r i z e d
by s o c i a l s t a t u s and do n o t s t a n d i n a s o c i a l s t a t u s r e l a t i o n ­
s h ip to o th e r g ro u p s.
T h e ir e x c lu s iv e n e s s , n o n e th e le s s sh a rp
a nd s e v e r e , i s n o t one o f s o c i a l c l a s s ;
i t i s t o b e co m pared
somewhat t o t h e e x c l u s i v e n e s s c a u s e d b y d i f f e r e n c e s i n
n a tio n a lity .
The m an n er i n w h ich t h e c a s t e i s c l o s e d b o t h i n t h e
o r g a n i z a t i o n a l and b i o l o g i c a l s e n s e c a u s e s i t t o d i f f e r fro m
so c ia l c la s s .
And i t s e m p h a sis upon r i t u a l and r e g u l a t i o n s
p e r t a i n i n g t o c l e a n l i n e s s and p u r i t y d i f f e r s r a d i c a l l y fro m
t h e s e c u l a r n a t u r e an d i n f o r m a l i t y o f s o c i a l c l a s s r u l e s .
The n a t u r e o f s o c i a l d i s t a n c e .
I t is
o b v io u s t h a t
t h e r e m u st n e c e s s a r i l y b e n o t one b u t s e v e r a l k i n d s o f s o c i a l
d ista n c e .
R a c e s a r e d i v i d e d fro m e a c h o t h e r b y some f e e l i n g
o f s t r a n g e n e s s , b a s e d on t h e d i f f e r e n c e s i n t h e i r f e a t u r e s
and t h e m an n e r i n w h ic h t h e s e h a v e b e e n t h e o b j e c t s o f a t t e n ­
tio n .
R e lig io n s sta n d a p a rt because of f e e lin g s o f s tr a n g e ­
n e s s b a s e d on o t h e r c o n s i d e r a t i o n s .
S o c ia l d is ta n c e of a n o th e r
k i n d r e m a i n s e v e n w h ere f r i e n d s h i p and i n t i m a c y may e n t e r ,
a s b e tw e e n a man a n d h i s v a l e t .
The s o c i a l d i s t a n c e b e tw e e n members o f d i f f e r e n t
c a s t e s p r e c l u d e s i n t i m a c y , b u t t h i s i s a l t o g e t h e r due t o t h e
sim p le o b j e c ti v e f a c t t h a t th ey b e lo n g to d i f f e r e n t o r g a n i ­
z a tio n s .
The s o c i a l d i s t a n c e b e tw e e n s o c i a l c l a s s e s h a s t o
do w i t h e x c l u s i v e n e s s b a s e d on t h e s t a t u s and t h e c o r r e s p o n d ­
in g le a r n e d re s p o n se s o f th e p e rso n s c o n cern ed .
S o c ia l c la ss e s
d i v i d e hom ogeneous p o p u l a t i o n s i n t o l a y e r s o f p r e s t i g e and
e s t e e m , and t h e members o f e a c h l a y e r a r e a b l e t o c i r c u l a t e
f r e e l y w ith i t .
S o c i a l d i s t a n c e , t h e n , i s a n y s o c i a l b a r r i e r b e tw e e n
p erso n s or g roups.
The k i n d s o f s o c i a l b a r r i e r s may b e d e ­
s c r i b e d a s h o r i z o n t a l , v e r t i c a l , and m ix e d .
a m p le o f a v e r t i c a l b a r r i e r
is
A p e r f e c t ex­
(d iv id in g h o r iz o n ta l gro u p s)
t h a t w h ic h s e p a r a t e s a B r i t i s h a r i s t o c r a t fro m a H in d u
p rin c e .
I t r e d u c e s t h e i r r e l a t i o n s h i p , t y p i c a l l y , t o one
o f form al r e c o g n itio n .
The same i s t r u e o f two F i f t h Avenue
m e r c h a n t s , o ne J a p a n e s e and one F r e n c h .
T h eir p r id e ,
each
r e s p e c t i v e l y , i s n o t one o f c l a s s , b a s e d on d i f f e r e n c e s i n
s ta tu s
( i t i s p resu m ed f o r t h e s a k e o f t h e e x a m p le ) ; i t
is
n o t a c a s te b a r r i e r , b eca u se n e i t h e r th e B r i t i s h e r n o r
e i t h e r o f t h e two m e r c h a n t s i s a member o f a n y c a s t e o r g a n i ­
z a t i o n ; t h e b a r r i e r i s r a c i a l and c u l t u r a l .
N a tio n a litie s,
i n g e n e r a l , r e s e m b l e c a s t e s i n one r e s p e c t — t h e y a r e
u s u a l l y d i s t r i b u t e d on a h o r i z o n t a l s c a l e .
but a p a rt.
T hey l i v e a l o n g s i d e ,
The U n i t e d S t a t e s t o d a y e x p e r i e n c e s t h e h e t e r o g e n e i t y
o f m ix e d k i n d s o f s o c i a l d i s t a n c e .
T h e re a r e F r e n c h -
C a n a d i a n s , M e x i c a n s , a n d a few r e l i g i o u s s e c t s
( t h e Mormons,
e . g . ) w h ich r e p r e s e n t c u l t u r a l , a lm o st c a s t e - l i k e , d i f f e r ­
ences.
O r i e n t a l s an d N e g ro e s c r e a t e c u l t u r a l and r a c i a l
b a rrie rs.
Some w h i t e g r o u p s , w i t h t h e i r s t r i c t c o d e s and
c a r e f u l su p e rv is io n of d eg rees of e x c lu siv e n e ss — over
a g a i n s t t h e d i s o r g a n i z e d an d u n o r g a n i z e d N e g ro e s g e n e r a l l y - m a in ta in th e c a s t e ty p e o f s o c i a l d i s t a n c e .
The same i s
t r u e o f a l l r e l i g i o u s g r o u p s w h ic h s e t t h e m s e l v e s a p a r t b y
w e arin g d i s t i n c t i v e
c lo th e s
(A m ish, M e n n o n i te s , O rth o d o x
Jew s, e t c . ) .
E x c l u s i v e n e s s b a s e d on s t a t u s
(s o c ia l c la ss )
is a p art
o f a l l c i v i l i z e d l i f e , b u t t h e l i n e s a r e n o t a lw a y s f o r m a l l y
draw n.
Many o f t h e a c t i v i t i e s
engaged in by A m eric an s, f o r
i n s t a n c e , e s p e c i a l l y i n war t i m e , th ro w t h e members o f t h e
d i f f e r e n t s o c i a l c l a s s e s t o g e t h e r o f t e n and i n many w a y s .
But s o c i a l c la s s f e e l i n g i s ev er p r e s e n t .
C la s s e s a r e a lm o st
u n i v e r s a l ; c a s t e o r g a n i z a t i o n s a r e r a r e phenomena o u t s i d e o f
I n d i a and A f r i c a .
CHAPTER I I I
WIDESPREAD SOCIAL CLASS RIGIDITY
I n t h e p r e c e d i n g c haptex j c a s t e s , a s t y p e s o f s o c i a l
o r g a n i z a t i o n s , w ere shown n o t t o b e l o n g i n t h i s d i s s e r t a ­
t i o n , b e c a u s e i t was f o u n d t h a t t h e y do n o t r e p r e s e n t s o c i a l
s t a t u s groups p e r s e .
The p u r p o s e o f t h i s c h a p t e r i s t o p r e s e n t i n s t a n c e s
o f s o c i a l s t a t u s g r o u p s and s t r u c t u r e s , e s p e c i a l l y t h o s e i n
w h ic h s o c i a l p o s i t i o n h a s h a d a t e n d e n c y t o b e h e r e d i t a r y .
I n t h e s e a p e r s o n i s i n c l i n e d t o b e bound by h i s s t a t u s .
T h is su rv e y o f s o c i a l c la s s fo rm a tio n s w i l l s e rv e
two p u r p o s e s : f i r s t , i t w i l l show t h e v a r i e d n a t u r e o f human
a s s o c i a t i o n i n t h e r e a l m o f s o c i a l s t r a t i f i c a t i o n , o f w h ic h
man h a s e x p e r i e n c e d much s i n c e t h e dawn o f h i s t o r y ; s e c o n d ,
i t w i l l h e l p t o g i v e m ore m e a n in g t o t h e te r m s o c i a l c l a s s .
The p r e - r i g l d s t a g e , b e f o r e t h e g e n e s i s o f s o c i a l
in e q u a lity .
That a sta g e o f c la s s le s s n e s s e x is te d is
d e m o n s tra b le by l o g i c i f n o t by c o lo r f i l m .
B efo re p a t e r n i t y
was known, o r b e f o r e c h i l d r e n a t t a c h e d s e n t i m e n t t o e i t h e r
p a r e n t a s s u c h , t h e r e w e re no s o c i a l c l a s s e s , no i n h e r i t e d
p r i v i l e g e , no f a m i l y l i n e s .
so c ia l.
S t a t u s was i n d i v i d u a l , n o t
( I n n a t u r e t h e r e i s no e a s y r o a d f o r t h e o f f s p r i n g
o f a p o w e r f u l and s u c c e s s f u l w o l f .
The o f f s p r i n g h a v e t o
e a r n t h e i r r e p u t a t i o n s a n e w .)
B e f o r e human a c t i v i t i e s became
1
c o m p le x , when " a g g r e g a t e s w ere s m a l l and u n d i f f e r e n t i a t e d , "
t h e r e was no p l a c e f o r s o c i a l c l a s s r i g i d i t y .
I n t h e e a r l i e s t human c o m m u n i ti e s , one r e a d s , t h e r e
was n a t u r a l l y v e r y l i t t l e
o rg a n iz a tio n .
need o f any r i g i d p o l ic y of s o c i a l
"Pow er r e s t e d i n t h e com m unity a s a w hole . .
Among m od ern p r i m i t i v e s t h e E sq u im a u x , some A u s t r a l i a n
3
and t h e F u e g i a n s a r e n o t s o c i a l l y s t r a t i f i e d .
No one
d o m in a te s t h e Pygmy t r i b e , and i t i s w i t h o u t p r o p e r t y i n l a n d
L and tm an, an a u t h o r i t y on t h e P a p u a n s , s t a t e s t h e f o l 5
lo w i n g :
The s o c i a l e q u a l i t y o f t h e K iw ai P apuans m a n i f e s t s
i t s e l f t h e m ore c o m p l e t e l y a n d c o n v i n c i n g l y as i t im­
p l i e s n o t o n ly th e n o n -e x is te n c e of any d i f f e r e n t i a ­
tio n as re g a rd s s o c i a l s ta n d in g b u t a ls o th e n o n -e x is te n c e
of any d iv is io n o f la b o r . . . .
I n s o c i a l r e s p e c t e v e r y man i s on a f o o t i n g o f
e q u a l i t y w i t h a l l t h e r e s t , and n o one h a s an y a u t h o r i t y
o v e r h i s f e l l o w s . E v e r y man d o e s t h e same w o rk and no
one e m p lo ys s e r v a n t s . . . .
The n a t i v e s o f A l a s k a a r e d e s c r i b e d a s h a v i n g l i v e d ,
b e f o r e t h e i n t r o d u c t i o n o f w h i t e m a n 's g o o d s , w i t h o u t " t h e
a c c u m u l a t i o n o f w o r l d l y g o o d s . . . a l l f e a s t e d and a l l
6
sta rv e d to g e th e r ."
1 H e r b e r t S p e n c e r , The P r i n c i p l e s o f S o c i o l o g y , v o l . I
(New Y o rk , 1 8 8 0 ) p . 5 2 5 .
2 B a k er B r o w n e l l , e d i t o r , Man an d H is W o r ld , v o l . IV
(New Y o rk , 19 29) p . 8 6 .
3 G u n n e r L an d tm a n , The O r i g i n o f t h e I n e q u a l i t y o f t h e
S o c i a l C l a s s e s ( C h i c a g o , 193&) p p . 9 - 1 3 ,
4 B ro w n e ll, o p . c l t . , p . 5 0 ,
5 L and tm an, 0 £ 0 c l t . , p . 5 .
6 Hobson Dewey A n d e rso n and W a l t e r C ro sb y E e l l s , A la s k a
N a tiv e s ( S ta n f o r d , 1935) p . 8 3 .
7
K ro e b e r
shows t h a t d i s t i n c t c l a s s e s w e re n o t p r e s e n t
among t h e C a l i f o r n i a I n d i a n s a n d R i v e r s w r i t e s o f t h e Banks
8
Isla n d e rs:
The e v id e n c e p o i n t s t o t h e a b s e n c e o f a n y t h i n g w h ich
can b e c a l l e d h e r e d i t a r y c h i e f t a i n s h i p i n t h e Banks
I s l a n d s an d i n some o f t h e n o r t h e r n New H e b r i d e s . I t
i s o n l y on r e a c h i n g t h e n o r t h e r n p a r t o f M e l a n e s i a t h a t
we f i n d t r u e h e r e d i t a r y c h i e f t a i n s h i p . . . .
A lth o u g h S o r o k i n d e n i e s t h e e x i s t e n c e o f u n s t r a t i f i e d
so c ie tie s, i t
i s e v i d e n t fro m t h e f o r e g o i n g t h a t a few e x i s t .
What one l e a r n s from t h e s e e x a m p le s i s t h a t s o c i e t y m u st b e
v e ry u n d i f f e r e n t i a t e d in d ee d f o r s o c i a l c l a s s l e s s n e s s to be
th e r u l e ; o r , c o n v e r s e ly , even s l i g h t c o m p le x ity le a d s to th e
e s t a b l i s h m e n t o f s o c i a l c l a s s r i g i d i t y o f some k i n d .
The g e n e s i s o f s o c i a l i n e q u a l i t y .
L an d tm a n , who h a s
d e lv e d i n t o t h i s phase o f s o c i a l o r i g i n s m ost e x t e n s i v e l y ,
9
g iv es t h i s i n t e r p r e t a t i o n o f th e o r i g i n o f s o c i a l c la s s e s :
The p r e c e d e n c e w h ic h a man w in s by h i s p e r s o n a l e x ­
p l o i t s and s u c c e s s i s e x t e n d e d o r i g i n a l l y t o h i m s e l f
a l o n e . A s o c i a l i n e q u a l i t y w h ic h i s f o u n d e d upon p e r ­
so n a l c o n d itio n s does n o t a t f i r s t c o n tin u e th ro u g h
se v e ra l g e n e ra tio n s . . . .
I t i s e v id e n t t h a t s o c ia l
I n e q u a l i t y on t h e g ro u n d o f p e r s o n a l c i r c u m s t a n c e s h a s
i n many c a s e s d e v e l o p e d I n t o e n d u r i n g c l a s s I n e q u a l i t y . . . .
The d e s c e n d a n t o f a c e l e b r a t e d f a m i l y , e v e n i f h e h im ­
s e l f i s n o t s u p e r i o r t o h i s f e l l o w s , h a s a t th e o u t s e t
a c e r t a i n a d v a n ta g e I n t h e c o n s i d e r a t i o n w h ic h h i s k i n
e n jo y s . . . .
10
F a h lb ec k
a t t r i b u t e s t h e r i s e o f i n e q u a l i t y t o th e
demands o f t h e c u l t u r e ,
to c u l t u r a l n eed s#
B u t G o ld e n w e ls e r
7 A .L . K r o e b e r , " T y p e s o f I n d i a n C u l t u r e i n C a l i f o r n i a , " i n
A m erican A r c h a e o lo g y and E t h n o l o g y , v o l . I I ( J u n e ,
1904) p . 8 3 .
8 W.H.R. R i v e r s , The H i s t o r y o f M e l a n e s i a n S o c i e t y (Cam­
b r i d g e , 1914) pp# 3 2 4 - 3 2 5 .
9 L andtm an, 0£ . c l t . . p p . 6 4 - 6 5 .
10 P o n tu s E . F a h l b e c k . D ie K l a s s e n u nd d i e G e s e l l s c h a f . t ( J e n a ,
1922) p . 2 4 .----- ----------------------------------------------------------
adopts a compromise view.
Men rose because of their own
a b i l i t i e s ; men r o s e b e c a u s e i n s t i t u t i o n s
p u sh e d them u p , a s
11
i n t h e e x p r e s s i o n , " t h e t im e s make t h e m a n ." He s a y s :
L e a d e r s h i p among men i s r e d u c i b l e t o two f a c t o r s , one
p s y c h o - b i o l o g i c a l , t h e o t h e r m ore p u r e l y s o c i a l .
C e rta in
i n d i v i d u a l s a r e " b o r n l e a d e r s " a s th e s a y i n g g o e s ; t h e y
p o s s e s s th o se q u a l i t i e s o f w i l l , c h a r a c t e r , s a n g - f r o i d ,
a m b i t i o n , w h ic h mark them f o r p o s i t i o n s o f d o m in a n ce o r
c o n t r o l . And a g a i n , s o c i a l i n s t i t u t i o n s , i f t h e y a r e t o
f u n c t i o n , r e q u i r e some s o r t o f o r g a n i z a t i o n a l c e n t r e as
w e l l a s an edge o f p o w e r, h o w e v e r s m a l l , w h ic h p o s i t i o n ,
fro m e a r l i e s t t i m e s o n , was f i l l e d b y a p p r o p r i a t e i n d i ­
v i d u a l s a lm o s t s p o n t a n e o u s l y o r a u t o m a t i c a l l y . P r e s e n t l y
t h e l e a d e r becom es s u r r o u n d e d w i t h emblems and t r a d i t i o n s
o f a u t h o r i t y , an d a l i t t l e l a t e r h i s p o s i t i o n i s f u r t h e r
e n h a n c e d and f o r t i f i e d b y t h e p r i n c i p l e o f s u c c e s s i o n o f
o ffic e .
12
Mumford
n o te s t h a t th e c o n d itio n s o f a c t i v i t y , as
among h u n t e r s , f o r i n s t a n c e , may p r e c l u d e t h e i n s t i t u t i o n a l !
z a tio n of le a d e rs h ip .
The k i n d o f a c t i v i t y w i l l t e n d t o con
d i t i o n th e s o c ia l d i s t r i b u t i o n
o f p o w e r, a c c o r d i n g t o t h i s
a u th o r•
13
Hobhouse
has s y s te m a tic a lly p u rsu ed t h i s th o u g h t,
and h a s a r r a n g e d h i s r e s u l t s i n t h e f o l l o w i n g t a b l e :
Lower h u n t e r s
H ig h e r h u n t e r s
A g ric . I
P a st. I
A g ric . I I
P a st. II
A g ric. I l l
S e r f s and S l a v e s
0 .0 2
0 .3 2
0 .3 3
0 .3 7
0 .4 6
0 .7 1
0 .7 8
N o b ility
0
0 .1 1
0 .0 3
0 .2 0
0 .1 5
0 .2 4
0 .2 3
11 A l e x a n d e r G o l d e n w e i s e r , A n th r o p o l o g y (New Y o r k . 1937)
p p . 375-376.
12 E ben Mumford, The O r i g i n s o f L e a d e r s h i p ( C h ic a g o , 1909)
p . 78.
13 L .T . H o b h o u se, S o c i a l D e v e l o p m e n t . I t s N a t u r e an d C on di­
t i o n s (New ■jforfc, 1 924 ) p . 2 7 5 .
A l t h o u g h no c o m p l e t e l y s a t i s f a c t o r y f o r m u l a t i o n h a s
b e e n made a s t o why one f a m i l y was p e r m i t t e d b y t h e comm unity
t o m o n o p o liz e p r i e s t l y o r m i l i t a r y h o n o r s — t o s e t i t s e l f
above o th e r s in p e r p e t u i t y - - i t
m en t o c c u r r e d .
i s known t h a t s u c h a d e v e l o p ­
The r e a s o n e a c h f a m i l y , a s soon a s i t was o r ­
g a n i z e d i n t o a u n i t and became c o n s c i o u s o f t h e s e q u e n c e o f
g e n e r a t i o n s , s h o u ld h a v e p r e p a r e d f o r t h e f u t u r e l i v i n g con­
d i t i o n s o f t h e o f f s p r i n g i n te r m s of t h o s e a c h i e v e d b y t h e
p a r e n t s , m u st h a v e l a i n , and m u st s t i l l l i e , i n t h e n a t u r e
of c h ild p o sse ssio n .
(U n le s s t h e s t a t e o r some o t h e r o r g a n i ­
z a t i o n i s p r e p a r e d t o b r e a k up t h e s e q u e n c e o f g e n e r a t i o n s
i n f a m i l y l i n e s , i t may be a n t i c i p a t e d t h a t t h i s m echanism
w i l l t e n d t o s t r a t i f y a l l com plex s o c i e t i e s i n t o s o c i a l
c l a s s e s •)
Many w r i t e r s h a v e shown p o s s i b l e ways i n w h ic h c l a s s e s
c o u ld h a v e a r i s e n .
Sumner and K e l l e r m e n t i o n t h e " i n t r a ­
g r o u p d i f f e r e n t i a t i o n o f s o c i a l s t r a t a , " b u t t h e y e m p h a s iz e
a s more t h o r o u g h g o i n g t h e " c o n t r a s t b e t w e e n v i c t o r i o u s
14
m a s t e r s and c o n q u e re d a l i e n s . "
D ix o n an d E b e r h a r t b e l i e v e
t h a t t h r o u g h t h e i n s t i t u t i o n s o f m ag ic " t h e Shamen ( s i c l ) c o n 15
s t i t u t e d th e f i r s t d i s t i n c t c la s s ."
Then f o l l o w e d t h e w a r­
rio rs.
"The p r i e s t s p r o t e c t e d t h e w a r r i o r s fro m t h e s u p e r ­
n a t u r a l w o r l d ; t h e w a r r i o r s p r o t e c t e d t h e p r i e s t s and t h e i r
14 W il l ia m Graham Sumner and A l b e r t G a l lo w a y K e l l e r , The
S c i e n c e o f S o c i e t y , v o l . I (New H a v e n , 1 9 27) p . 5 8 1 .
15 R u s s e l l A. D ixon an d E . Kingman E b e r h a r t , E co n o m ic s and
C u l t u r a l Change (New Y o rk , 1 9 3 8 ) p* 7 0 .
v a lu a b le p ro p e rty .
Of c o u r s e , t h e u n d e r l y i n g p o p u l a t i o n .
16
p a i d h a n d s o m e ly . . . ."
W h e th e r t h i s was t h e o r d e r o f
.
s e q u e n c e i s n o t d e f i n i t e l y known, b u t one can b e s u r e t h a t
when t h e f i r s t a p p r o p r i a t i o n o f t h e eco nom ic s u r p l u s t o o k
p la c e in
t h e tow ns w h ic h c r a d l e d c i v i l i z a t i o n
th e s e groups
w e r e b o t h among t h o s e f a v o r e d w i t h e x t r a s h a r e s .
H e re d ita ry S ta tu s .
W a r r in g and o f f e r i n g s a c r i f i c e s
w e re n o t t h e o n l y f u n c t i o n s t o e n t e r i n t o
c la ss fo rm a tio n .
S k i l l s and t r a d e s h a v e t e n d e d t o b e r a n k e d by cu sto m and t o
becom e h e r e d i t a r y .
T h i s p r o b a b l y came a b o u t b e c a u s e t h o s e
e n g a g e d i n h o n o r e d c r a f t s w a n ted t o k e e p them c o n t r o l l e d i n
o r d e r t o p r o t e c t t h e i r c h i l d r e n from c o m p e t i t i o n ; t h o s e i n
l o w l y c r a f t s h a d no c h o i c e b u t t o f o l l o w t h e f a m i l y t r a d i t i o n
C i r c u m c i s o r s h a v e b e e n n o t e d a s h o n o r a b l e an d h e r e d i ­
t a r y among t h e A k ik u y u I n d i a n s , w h i l e " t h e K a f i r c i r c u m c i s o r s
18
c o n s titu te a p ro fe s s io n a l c la s s ."
B ancroft r e p o r ts th a t
among t h e N oo tk a o f t h e N o r th P a c i f i c " h a r p o o n e r s a l s o form
a p r i v i l e g e d c l a s s , whose r a n k i s h a n d e d fro m f a t h e r t o s o n . "
I n g e n e r a l among u n c i v i l i z e d and s e m i - c i v i l i z e d , d i f f i c u l t
a s i t I s t o e x p l a i n , b u t c h e r s and m u s i c i a n s f o l l o w d e s p i s e d
20
t r a d e s , a v o id e d by p e rs o n s o f s t a n d in g .
16
17
18
19
I b i d . . p p . 1 2 1-122.
L a n d tm a n , o p . c l t . , p . 8 4 .
I b id . , p . 83.
H u b e r t Howe B a n c r o f t , The Works o f , v o l . I (San F r a n c i s c o ,
1886) p . 1 9 4 .
20 L an d tm a n , o£ . c l t . , p . 8 4 .
P e r s o n s a r e so m e tim es d i s q u a l i f i e d from f a i r c o m p e t i ­
tio n by t a i n t s g e n e ra tio n s o ld .
I t i s r e p o r t e d t h a t among
t h e D yaks o f B o rn e o t h e l e a s t s t r a i n o f " s l a v e b l o o d , " even
o f g e n e r a t i o n s p a s t , " w i l l o u tw e ig h t th e h i g h e s t p e r s o n a l
21
q u a l i t i e s , " an d a c t a s a b a r t o f a v o r a b l e m a r r i a g e .
Among p r i m i t i v e s , a s i n c i v i l i z e d s o c i e t i e s , o c c u p a ­
t i o n s a r e n o t a lw a y s h e r e d i t a r y , b u t " s o c i a l o p tim a c y d i s p l a y s
a m ark e d t e n d e n c y t o ru n i n c e r t a i n f a m i l i e s ,
A son does n o t
n e o e s s a r ily succeed h i s f a t h e r 's p a r t i c u l a r o f f i c e , y e t, o f ­
f i c i a l p o s t s w i l l g e n e r a l l y b e f i l l e d fro m t h e same p r i v i l e g e d
22
c l a s s . • . ."
R iv e rs , a c a r e f u l s tu d e n t, ta k e s n o te o f th e g e n e ra l
23
cu sto m s o f r i g i d c l a s s s y s te m s i n t h e s e w o rd s :
S om etim es c e r t a i n c r a f t s c o u l d o n l y b e f o l l o w e d b y
p e r s o n s o f a c e r t a i n r a n k . T h u s , i n T o n g a , inhere t h e r e
a r e c l a s s e s i n t e r m e d i a t e b e tw e e n t h e n o b l e s and t h e
l o w e s t g r a d e o f commoner, c e r t a i n o c c u p a t i o n s , s u c h a s
c a n o e m a k in g , w ere l i m i t e d t o t h o s e o f t h e h i g h e r r a n k s ,
w h i l e s h a v i n g a n d c o o k in g w e re o n l y p r a c t i s e d b y p e r ­
s o n s fro m t h e l o w e s t c l a s s . T h is d i s t i n c t i o n would seem
t o b e c o n n e c te d w i t h t h e s a c r e d c h a r a c t e r o f c e r t a i n o c ­
c u p a tio n s .
The c l a s s s y s te m o f t h e N o r th w e s t I n d i a n s was w o rk e d
o u t b y cu sto m t o t h e p o i n t w here i t s l e v e l s and ways o f con­
d u c t a p p r o a c h e d t h e m odern p a t t e r n .
Endogamy was e n c o u r a g e d
on e a c h l e v e l , t h e i n f e r i o r s t r e a t e d t h e s u p e r i o r s w i t h con­
sid e ra b le d e fe ren ce.
The s o c i e t y was d i v i d e d i n t o n o b le m e n ,
21 F r e d e r i c k B o y l e , A d v e n t u r e s among t h e Dyaks o f B o rn e o
(L o n d o n , 1 80 5) p p . 2 8 4 - 2 8 5 .
22 L a n d tm a n , 0£ . c l t . , p . 293*
23 W .H .R. R i v e r s , S o c i a l O r g a n i z a t i o n (New Y o r k , 1924) p . 150*
com m oners, and s l a v e s r e c r u i t e d from among c a p t i v e s *
What
t o d a y i s r e c o g n i z e d a s c o n s p i c u o u s c o n s u m p tio n was e l a b o r a t e d
24
t h e r e i n t o an i n t r i c a t e s y s te m o f p o t l a t c h i n g .
Mayas and A z t e c s .
H a lf-w a y b e tw e e n p r i m i t i v e c u l t u r e s
and t h o s e o f m odern c i v i l i z a t i o n
s t a n d t h e Mayas an d A z t e o s ,
w hose s o c i a l c l a s s s t r u c t u r e s h a v e b e e n t h e o b j e c t o f much
a t t e n t i o n , so p e r f e c t w e re t h e y In d e t a i l an d h a rm o n y .
E ach
and e v e r y f a m i l y s t o o d i n I t s p l a c e I n a m ore e x a c t m anner
t h a n was known e l s e w h e r e , ev en i n f e u d a l E n g l a n d .
A lth o u g h
a p p o i n t e d , t h e p r o v i n c i a l g o v e r n o r s an d h i g h e r o f f i c i a l s o f
25
t h e Mayas h e l d w hat w ere v i r t u a l l y h e r e d i t a r y o f f i c e s .
26
B a n c r o f t s a y s o f t h e s e same p e o p l e :
A ll h ig h p o s itio n s , j u d i c i a l , m il i ta r y , o r s a c e r d o ta l,
w e re h e r e d i t a r y an d r e s t r i c t e d t o n o b l e f a m i l i e s , who
t r a c e d t h e i r g e n e a lo g y f a r b a ck i n t o th e m y th ic a n n a ls
o f t h e n a t i o n s . B etw een n o b l e and p l e b e i a n b l o o d t h e
l i n e s w e re s h a r p l y d e f i n e d .
More p r e c i s e , m ore p e r f e c t , and m ore c o m p l e t e l y
g l e l c h g e s c h a l t e t w e re t h e A z t e c s , whose s o c i a l o r g a n i z a t i o n
r e a c h e d one o f t h e h i g h p o i n t s I n m a n 's s u p e r o r d i n a t i o n and
s u b o r d i n a t i o n o f man i n t h e c e n t u r y b e f o r e t h e c o n q u e s t .
24 R o b e r t H. L o w le , P r i m i t i v e S o c i e t y (New Y o r k , 1 9 2 5 )
p . 353.
25 A . F e a th e r m a n , S o c i a l H i s t o r y o f t h e R a c e s o f M a n k in d ,
T h ird D iv is io n , P a rt 2, p p . 6 6 -6 1 .
26 B a n c r o f t , 0£ . c l t . , v o l . I I (1 8 8 6 ) p . 6 3 8 .
The f o u n d a t i o n o f A z te c n a t i o n a l l i f e was i t s
fie d c la s s s tru c tu re #
stra ti­
The r i c h n o b l e s d r o v e t h e commoners
o u t o f e v e r y p h a s e o f p o l i t i c a l power#
MThe l o w e r c l a s s e s
w ere h e n c e f o r t h t r e a t e d a s t h e o b e d i e n t s l a v e s o f t h e d o m in 27
ant c la s s .u
The n o b i l i t y i t s e l f was n i c e l y d i v i d e d i n t o
d is tin c t c la ss e s.
I f a l l s o c i e t i e s w e re a s r i g o r o u s l y h e r e d i t a r y i n
s t a t u s , p o s i t i o n , and h o n o r a s was t h e A z t e c , t h e r e would
b e no o c c a s i o n f o r t h i s d i s s e r t a t i o n c o n c e r n i n g s o c i a l c l a s s
rig id ity .
The A z te c s o c i a l h i e r a r c h y o f f e r s no d i f f i c u l t i e s
o f i n t e r p r e t a t i o n , o n ly d e t a il s
of d eg rees o f s t a t u s .
L ik e
t h e P y ra m id o f t h e S u n , i t was s y m m e t r i c a l , a g e o m e t r i c d e ­
s ig n o f pronounced r e g u l a r i t y .
T h e r e w e re o n l y s l i g h t i n c o n g r u i t i e s #
The f a m i l i a r
s c e n e o f p o o r n o b lem en who h a d t o w a tc h t h e w a x in g s t r e n g t h
o f b a s e - b o r n b u t r i c h m e r c h a n t s s u r p a s s them i n t h e m a g n i f i ­
c e n c e o f t h e i r h o u s e s — t h i s to o was a p a r t o f t h e p i c t u r e .
B u t , a s i n Rome u n d e r S u l l a an d a g a i n i n t h e s e c o n d c e n t u r y
A .D v men w i t h o u t t h e p r o p e r s o c i a l c l a s s c r e d e n t i a l s w ere
28
a l l d r i v e n o u t o f t h e p a l a c e u n d e r Montezuma I I .
27 F e a t h e r m a n , 0£ . c l t . . P a r t 1 , p# 1 0 6 .
28 B a n c r o f t , 0£ . c l t . , v o l . I , p p . 1 9 1 - 1 9 3 .
The P e r u v i a n a .
P e r h a p s w i t h o u t even a s c a r o f s l i g h t
i m p e r f e c t i o n t h e I n c a s r e i g n e d o v e r b e a s t and man i n a s t e p
b y s t e p a r r a n g e m e n t o f p o w e r s , h o n o r s , and d u t i e s .
w ere 10 m en, 50 m en, 100 m en.
T h ere
Fewer b y f a r w ere t h o s e i n
c h a r g e o f 500 h o u s e h o l d s , o f 1 0 0 0 , o f 1 0 , 0 0 0 .
"The h i g h e r
o n e s , f o u r i n n u m b e r, p r e s i d e d o v e r t h e f o u r q u a r t e r s o f
t h e E m p ire . . .
. A t th e to p o f th e e n t i r e p y ram id , f i n a l l y ,
29
sto o d th e Sapa In c a h i m s e l f . ”
The c l a s s s y s te m was t h e s k e l e t o n o f t h e s o c i a l b o d y .
Speech, d r e s s , p r o p e r ty , h e r e d i ty , p ro x im ity to th e c o u rt
(o r d i s t a n c e ) , lo n g l i n e a g e , a l l p la y e d a p a r t in m a in ta in in g
30
t h i s e l a b o r a t e s o c i a l sy ste m .
And when a new a r e a was
c ap tu re d ,
s o c i a l c la s s r i g i d i t y m ain tain ed i t s e l f in t h a t
t h e l e a d i n g d e n i z e n s o f t h e c o n q u e r e d t e r r i t o r y w ere
a s s id u o u s ly k e p t in p la c e s of honor, a l b e i t a s te p lo w e r.
The M a o r i .
Among a l l t h e p r i m i t i v e s n o n e s u r p a s s e d
t h e M aori i n p a y i n g d e f e r e n c e t o p r i o r i t y o f r e s i d e n c e and
b irth .
Lowie s t a t e s t h a t i n " P o l y n e s i a t h e f a m i l y p r i d e o f
th e a b o r i g i n a l b lu e -b lo o d s r i v a l s th e s u p e r c ilio u s n e s s of
31
G i l b e r t an d S u l l i v a n ' s P o o h - B a h .”
Of f r e e m e n t h e r e w e re
th e fo llo w in g c la s s e s :
c h i e f s , p r i e s t s , lan d ed g e n t r y , l a r g e -
l a n d o w n e r s , an d com m oners.
"H ow ever, t h e g r a d a t i o n s o f r a n k
29 G o l d e n w e i s e r , 0£ . c l t . . p . 3 9 7 .
30 F e a t h e r m a n , 0£ . c l t . , p p . 3 9 5 - 3 9 6 .
31 L o w ie, 0£ . c T t . , p . 3 4 5 .
32
w e re f a r m ore nu m erous t h a n t h i s l i s t w ould i m p l y . "
T ik o p ia
was i n d e e d n o t a s o c i e t y i n w h ic h w e a l t h was e v e n l y d i s t r i b 33
u te d .
Among t h e M a o ri t h e s o c i a l s y s te m showed a s t r i k i n g
p a r a l l e l t o t h a t o f a n y c o u n t r y w i t h a n o b i l i t y b a s e d on
p rim o g e n itu re ;
t h e m id d l e c l a s s e s r e c e i v e d t h e y o u n g e r s o n s
34
of th e n o b ility in to th e ir ra n k s.
The commoners w ere
t h e y o u n g e r so n s o f y o u n g e r s o n s o r t h o s e who h a d made a m i s ­
a l l i a n c e w i t h someone o f s l a v e b a c k g r o u n d .
G e n e a l o g i e s w e re
m em orized a n d p r o v i d e d t h e s t a r t i n g p o i n t f o r c o n v e r s a t i o n
35
b e tw ee n s t r a n g e r s .
The h i g h - b o r n , i f t h e y l a c k e d t h e r e q u i s i t e a b i l i t y ,
w e re n o t p e r m i t t e d t o e x e r c i s e p o s i t i o n s o f h o n o r .
Prom
t h i s i t m ig h t b e c o n c lu d e d t h a t c o n s i d e r a b l e s o c i a l m o b i l i t y
m u st h a v e r e s u l t e d .
36
w e lser says:
Such was n o t t h e c a s e , ho w ev er*
G o ld e n -
I t w i l l b e seen th en t h a t th e h e r e d i ta r y a r i k i ,th o u g h
d e p r i v e d t h r o u g h p e r s o n a l in c o m p e te n c e o f i l l s a u t h o r i t y
a s l e a d e r o f t h e t r i b e , s t i l l r e t a i n e d num erou s f u n c ­
t i o n s b e l o n g i n g t o him a l o n e . The t e n d e n c y , m o r e o v e r ,
was f o r l a t e r more c o m p e te n t d e s c e n d a n t s o f s u c h a n o b l e
to r e c o v e r th e f u n c tio n s l o s t by t h e i r u n f o r tu n a te f o r e ­
b ear.
32 I b i d . , p . 3 4 7 . T h is s t a t e m e n t r e f e r s t o t h e S am o an s,
whose " s o c i a l f a b r i c b e a r s a g e n e r i c r e s e m b l a n c e " t o
t h a t o f th e M a o rian s•
33 Raymond F i r t h , P r i m i t i v e P o l y n e s i a n Economy (L o n d o n , 1 939 )
p. 53.
34 E l s d o n B e s t , The M a o r i , v o l . I ( W e l l i n g t o n . 1 9 2 4 ) p p . 3 4 5 347.
35 B e r n a r d W i l l a r d A g in s k y an d P e t e r H. B uck, " I n t e r a c t i n g
F o r c e s i n t h e M aori F a m i l y , " A m erican A n t h r o p o l o g i s t ,
v o l . 42 (1 9 4 0 ) p . 2 0 0 .
----36 G o l d e n w e i s e r , 0£ . c l t . , p . 3 8 5 .
The n o b l e s w e re a s s i g n e d t o s e p a r a t e a f t e r w o r l d s from
37
t h o s e o f t h e com m oners.
A frica n t r i b e s .
Lowie g e n e r a l i z e s a b o u t t h e s o c i a l
s t r a t i f i c a t i o n o f A frica n t r i b e s .
H is two a c c o u n t s , w r i t t e n
two y e a r s a p a r t , c o n t r a d i c t e a c h o t h e r a t v i t a l p o i n t s ; how­
e v e r , i n e a c h c a s e t h e r e i s a b u n d a n t e v i d e n c e o f s h a r p and
r i g i d s o c i a l d i v i s i o n s c h a r a c t e r i z e d by s t a t u s .
38
P r i m i t i v e S o c i e t y Lowie w r i t e s :
In h i s
A f r i c a , l i k e P o l y n e s i a , i s a r e g i o n o f m arked s o c i a l
d is tin c tio n s , b u t th ese b ear a t o t a l l y d if f e r e n t c h ar­
a c t e r . T h e r e a r e o f t e n p o t e n t a t e s t r e a t e d i n tn e m ost
r e v e r e n t i a l an d i n d e e d a b j e c t m anner b y t h e i r s u b j e c t s
and s u r r o u n d e d b y a h o s t o f h i e r a r c h i c a l l y g r a d e d f u n c ­
t i o n a r i e s t h a t w ould h a v e done h o n o r t o a m e d i a e v a l
E uropean c o u r t . B ut t h e d i g n i t a r i e s d e r iv e t h e i r s t a ­
t i o n n o t fro m t h e i r l o f t y a n c e s t r y , t h e y a r e n o t b l u e b l o o d s w i t h e n d l e s s p e d i g r e e s c o n n e c t i n g them w i t h some
t r a d i t i o n a l f i g u r e , b u t p o l i t i c a l o f f i c i a l s and a s s u c h
u s u a l l y th e c r e a t u r e s o f th e k in g . . . . A p a t r i c i a n
c a s t e w i t h i t s members b a n d y in g g e n e a l o g i e s i s an u t ­
t e r l y u n -A frica n c o n c e p tio n .
H ow ev er, i n h i s O r i g i n o f t h e S t a t e Lowie g i v e s t h e
f o l l o w i n g d a t a , i n d i c a t i n g c o n c l u s i v e l y t h a t some A f r i c a n
39
t r i b e s w ere h i e r a r c h i z e d I n t o d e f i n i t e c l a s s e s :
I n t h e W e s te r n Sudan t h e r e i s a c u r i o u s l y s t r a t i f i e d
s e r i e s o f s o c i e t i e s . The Mande and P u l a a r e n o t m e r e l y
d i v i d e d i n t o a p a t r i c i a n and p l e b e i a n c a s t e , b u t em brace
a w h ole s e t o f g r a d e d c l a s s e s •
37 L o w ie , 0£ . o i t . . p . 3 4 9 .
38 I b i d . , p p . 3 4 9 - 3 5 0 .
39 R o b e r t H . L o w ie , The O r i g i n o f t h e S t a t e
p . 22.
(Hew Y o rk , 1927)
Lowie g o e s on t o show t h a t , a l t h o u g h t h e n o b i l i t y o f
t h i s r e g i o n i s com posed o f d e s c e n d a n t s o f c o n q u e r o r s , t h e
fo rm er or o r i g i n a l n o b i l i t y e v o lv e d i n t o a m i n s t r e l c l i q u e ,
b e c o m in g c o n f i d a n t e s o f t h e r u l e r s , ”a t t i m e s even b r o w b e a t ­
i n g them b y t h e i r a b i l i t y t o r a t t l e
th e fa m ily s k e le to n s ,
40
and a l s o a c t e d a s e d u c a t o r s o f n o b l e y o u t h s . ”
H ere a g a i n
i s seen th e s o c i a l r i g i d i t i e s
th e d i s l o c a ti o n s o f c o n q u e s t.
t h a t o v e rc o m e , i n p a r t , even
N ot a l l c l a s s e s o f t h e p o p u l a ­
tio n a re e n sla v e d or cru sh ed by th e c o n q u e ro rs, as a r u l e .
The u p p e r c l a s s e s r e t a i n , i n t h i s i n s t a n c e , a s e m b la n c e o f
p r e s t i g e and i n f l u e n c e .
some
One m u s t c o n c l u d e t h a t / A f r i c a n t r i b e s a r e s t r a t i f i e d ,
and i n some c a s e s t h e s e d i s t i n c t i o n s a r e s t r i c t l y f i x e d f o r
t h e g e n e r a t i o n s t o come.
A b s o l u t i s m i s , o f c o u r s e , more
c h a r a c t e r i s t i c o f k i n g l y power i n A f r i c a t h a n among m ost
o th e r p rim itiv e p e o p le s.
T h is l e s s e n s th e in f lu e n c e o f th e
c la ss e s th e re .
The m ain l i n e o f O c c i d e n t a l h i s t o r y .
As man em erged
from p r i m i t i v e c o n d i t i o n s i n t o t h e l i g h t o f human h i s t o r y ,
a s i t i s known t o E u r o p e a n s a n d A m e r ic a n s , h e e n t e r e d w i t h
what may b e c o r r e c t l y c h a r a c t e r i z e d a s a h i g h s t a t e o f s o c i a l
o rg a n iz a tio n .
By t h e tim e o f t h e a r r i v a l o f t h e S u m e ria n s
man knew t h e n a t u r e o f b u s i n e s s e n t e r p r i s e , o f g o v e rn m e n t,
of d is trib u te d
s o c i a l pow er, o f e x c l u s i v e n e s s .
E xcept f o r
t e c h n o l o g y , l i f e was e s s e n t i a l l y m o d e r n .
I t may b e s a i d o f t h e c l a s s s y s te m t h a t i t was ev en
more e x a c t l y a r r a n g e d a t t h e t im e o f t h e e a r l y Temple Towns
th a n i t h a s e v e r b e en s i n c e , e x c e p t p e rh a p s a t th e h e ig h t
o f th e f e u d a l p e rio d .
A r i s t o c r a t s a t t h e t im e o f H e r o d o tu s c o u ld f r e q u e n t l y
41
tr a c e t h e i r g e n e a lo g ie s back f iv e c e n tu r ie s ,
w h ich i s n o t
o n l y a com m entary on t h e r i g i d i t y o f c l a s s d i s t i n c t i o n s b u t
a l s o upon t h e I m p o r ta n c e t h e s e c o n s i d e r a t i o n s h a d In t h e
e a r l i e s t days o f c i v i l i z a t i o n .
B o th Rome an d G r e e c e e n t e r e d t h e e r a o f r e c o r d e d tim e
w i t h more f o r m a l c l a s s s t r u c t u r e s t h a n w ere t h e i r s t o d i s p l a y
t o t h e w o r ld i n t h e i r h o u r s o f m a g n i f i c e n t g l o r y , even th o u g h
t h e d i s p a r i t y b e tw e e n t h e r i c h and t h e p o o r was g r e a t e r i n
t h e c e n t u r i e s crow ned w i t h f a m e .
I n t h e e a r l i e s t d a y s o f Rome s e r v a n t s ,
c a lle d c l i e n t s ,
w ere h e r e d i t a r i l y a t t a c h e d t o p a t r i c i a n f a m i l i e s ; t h e y c o u ld
42
n o t r i s e ; t h e r e was no p a t e r among t h e i r a n c e s t o r s .
Pus t e l de C o u la n g e s s u c c i n c t l y su m m arize s t h e s i t u a 43
t i o n a t t h e b e g i n n i n g o f town l i f e t h u s :
41 J . B . B u r y , ert a l . , e d i t o r s , A t h e n s . 4 7 8 -4 0 1 B .C . . v o l . V
o f t h e C am Srldge An c l e n t Mis t o ry '( C a m b rid g e . 1927)
p . 404.
42 N .D . F u s t e l de C o u l a n g e s , The A n c i e n t C i t y , t e n t h e d i t i o n ,
t r . W i l l a r d S m a ll ( B o s t o n , 19 01) p p . 3 0 2 - 3 0 3 .
43 I b i d . . p . 3 0 1 .
The a n c i e n t c i t y , l i k e a l l human s o c i e t y , h a d r a n k s ,
d i s t i n c t i o n s , and i n e q u a l i t i e s *
We know t h e d i s t i n c t i o n
o r i g i n a l l y made a t A th e n s . . . a t S p a r t a . . . and
i n E uboea . . . . The h i s t o r y o f Rome i s f u l l o f t h e
s t r u g g l e s b e tw e e n t h e P a t r i c i a n s an d P l e b e i a n s , s t r u g ­
g l e s t h a t we f i n d i n a l l t h e S a b i n e , L a t i n , an d E t r u s c a n
c i t i e s . We can even r e m a r k t h a t t h e h i g h e r we a s c e n d i n
t h e h i s t o r y o f G r e e c e and I t a l y , t h e m ore p r o f o u n d and
t h e m ore s t r o n g l y m ark ed t h e d i s t i n c t i o n a p p e a r s — a
p o s i t i v e p r o o f t h a t t h e i n e q u a l i t y d i d n o t grow up w i t h
t i m e , b u t t h a t i t e x i s t e d fro m t h e b e g i n n i n g , an d t h a t
i t was c o n te m p o r a r y w i t h t h e b i r t h o f c i t i e s .
A l s o a t the p e a k o f i t s d e v e l o p m e n t G re ek c i v i l i z a t i o n
was s t i l l c l a s s b o u n d .
T h e r e a r e t h o s e who b e l i e v e t h a t a t
t h e t im e o f S o lo n b i r t h g a v e way t o w e a l t h ( a l t h o u g h i t i s
n o t shown how t h o s e w i t h o u t s t a t u s c o u ld r e a d i l y a c q u i r e
w e a l t h ) , b u t one r e a d s o f t h e a r i s t o c r a t i c
s p i r i t w hich
r e i g n e d i n G re ek s o c i e t y a t t h e t i m e o f t h e w a rs w i t h P e r s i a ,
44
and t h a t ’’b i r t h s t i l l seemed t h e su p re m e g o o d ."
O n ly i n Lacedaemon d id t h e a r i s t o c r a t i c s p i r i t f a i l
t o r e s p o n d even s l i g h t l y t o t h e dem ands f o r l e s s r i g i d i t y .
T h e re t h e o p p o s i t e t r e n d to o k p l a c e ; t h e o l i g a r c h y o f p e e r s
45
s h r a n k i n n u m b e r.
To t h e b i t t e r end t h e S p a r t a n s y s te m o f
d i s t i n c t i o n s w ere m a i n t a i n e d .
A l t h o u g h , a s w i l l b e shown i n d e t a i l i n a l a t e r c h a p ­
t e r , many o l d and h o n o r e d f a m i l i e s w ere b r o k e n up b o t h i n
G re e c e and Rome, a t
th e tim e o f t h e i r g r e a t e s t c i v l H z a t i o n a l
a c h i e v e m e n t s , t h e c l a s s sy s te m r e m a in e d i n t a c t .
A lth o u g h
44 I b i d . , p . 3 3 4 .
45 J . B . B u r y , A H i s t o r y o f G r e e c e (L o n d o n , 1 9 20) p . 5 3 5 .
t h e f a m i l i e s t h e m s e l v e s c o u ld r a r e l y w i t h s t a n d t h e p r o s c r i p ­
t i o n s , a s s a s s i n a t i o n s , and c o n f i s c a t i o n s o f c e r t a i n n o t a b l e
d e c a d e s , n o n e t h e l e s s t h e s y s te m made a h a s t y r e a d j u s t m e n t
and c a r r i e d o n .
T h i s , o f c o u r s e , was m ore o b v io u s i n Rome
t h a n i n G r e e c e , w h ic h r a p i d l y c o l l a p s e d u n d e r f o r e i g n r u l e .
The n o t i o n t h a t t h e l i q u i d a t i o n o f many p a t r i c i a n f a m i l i e s
i n Rome o pened t h e way t o a p e r c o l a t i o n o f l a r g e n u m b ers o f
lo w e r c l a s s p e r s o n s upw ard i s a m i s t a k e n o n e .
Rome t u r n e d no s h a r p c o r n e r s w i t h r e g a r d t o h e r
c l a s s e s fro m t h e b u i l d i n g o f t h e f i r s t w a l l on t h e T i b e r
to th e l a s t b a tt l e w ith th e T u rk s.
46
th e
I n t h e E a s t e r n E m p ire
B y z a n t i n e a r i s t o c r a c y c o u n te d among i t s members some v e r y
g r e a t l o r d s , p r o u d , a m b i t i o u s , u n r u l y , some h i g h l y e d u ­
c a t e d m en, some good a d m i n i s t r a t o r s . . . . T hey w ere an
e l i t e , s u p e r i o r b y f a r t o t h e a r i s t o c r a c y o f t h e W e s te rn
E m p ire i n c u l t u r e , I n i n t e l l i g e n c e , i n p o l i t i c a l a c u m e n .
And i n t h e West d u r i n g th e c e n t u r i e s o f i m p e r i a l d i s ­
i n t e g r a t i o n i t was t h e p r o v i n c i a l s e n a t o r i a l c l a s s w h ic h h a d
a p r a c t i c a l m o nopoly on l u c r a t i v e f u n c t i o n s .
"T hey w ere
o f t e n t h e d e s c e n d a n t s o f men who h a d h e l d s u c h o f f i c e fro m
t im e im m e m o rial . . . .
47
them . . . ."
T h e i r so n s w e re t r a i n e d t o f o l l o w
46 P . B o i s s o n n a d e , Le t r a v a i l d a n s 1 1E u ro p e c h r e t l e n n e au.
m o y en -ag e (V-XVe s l i d e s ’) ( P a r i s , 1 9 2 1 ) p p . 4 8 - 4 9 ;
tra n s la tio n o u rs.
47 Sam uel D i l l , Roman S o c i e t y i n t h e L a s t C e n tu r y o f t h e
W e ste rn E m pire (L o n d o n ,“T 9 2 5 ) p . £ 5 4 .
E a rly G a u l.
Of t h e C e l t i c p r i m i t i v e s e n c o u n t e r e d b y
t h e Romans b e y o n d t h e A lp s I t i s s a i d : " C e t t e s o c l ^ t ^ ^ t a i t
55
f o r t a r l s t o c r a t l q u e e t l e a r a n g s y; ^ t a l e n t t r e s l n ^ g a u x . "
F u s t e l de C o u la n g e s g o e s on t o s a y t h a t a t t h e tim e o f
C a e s a r t h e c l a s s e s w ere s t r i c t l y h e r e d i t a r y .
"One s e e s
c le a rly
. . • t h e p r e s t i g e o f b i r t h , o f p r o p e r t y In la n d ,
49
and o f p r a c t i c e o f a r m s . "
C o n q u e s t, t h o u g h t b y some s o c i o l o g i s t s t o b e a lw a y s
a g re a t d is tu r b e r of th e c la ss s tr u c tu r e ,
l e s s l y to th e G a u ls.
came a l m o s t p a i n ­
I n s t e a d o f f o l l o w i n g t h e G um plow icz-
O ppen heim er-W ard f o r m u l a , t h e Romans r e s p e c t e d t h e c l a s s
p y r a m id o f t h e G a l l i c t r i b e s .
The Romans d i d , n a t u r a l l y ,
p u t some o f t h e i r l e a d i n g c i t i z e n s i n t o I m p o r t a n t p o s t s , b u t
t h e y a l s o u s e d t h e i r common s o l d i e r y t o b e a r t h e b r u n t o f
p ro te c tin g th e t e r r i t o r y .
E ach c l a s s , Roman and G a l l i c ,
f o u n d i t s p l a c e i n t h a t a r e a much c l o s e r t o t h a t o f t h e i r
f o r m e r s t a t u s t h a n t h e c o n q u e s t t h e o r y w ould h a v e e n v i s o n e d .
N ot fro m G a u l b u t from G re e c e w ere p e r s o n s o f h i g h e r c l a s s
s t a n d i n g t a k e n i n t o bo n d ag e a t t h a t t i m e .
E d u c a te d G re e k s
c o u l d be p r e s s e d i n t o h o u s e h o l d a n d p r o f e s s i o n a l s e r v i c e —
t h e u p p e r c l a s s G a u ls w ere l e f t a t home t o s t a b i l i z e t h e
50
s o c i a l o r d e r t h e r e . Van Dyke s t a t e s :
48 N .D . P u s t e l de C o u la n g e s , H l s t o i r e d e s i n s t i t u t i o n s
p o l l t l q u e s de l ^ n o l e n n e P r a n c e , v o l . I ( P a r i s , 1891)
p . 22.
49 I b i d . , p . 24; t r a n s l a t i o n o u r s .
50 P auT Van D y k e, The S t o r y o f F r a n c e (New Y o r k , 1928) p , 2 4 .
W ith th e fo rm o f l o c a l g o v e rn m e n t i n G a u l , t h e Romans
i n t e r f e r e d a s l i t t l e a s p o s s i b l e . . . . G a u l becam e
f i n a l l y a c o u n t r y o f c i t i e s , b u t t h e Romans t o o k no
a b r u p t s t e p s an d t h e t r a n s f o r m a t i o n seem ed t o come a b o u t
l i k e some c h a n g e w ro u g h t s l o w l y b y t h e f o r c e s o f n a t u r e .
51
The fam ous h i s t o r i a n Gibbon
shows t h a t d u r i n g t h e
o c c u p a t i o n o f G a u l b y t h e Romans t h e r e was no p r o g r e s s i v e
a m e l i o r a t i o n o f t h e l o t o f t h e m a s s e s , n o r a n y b r e a k i n g down
o f t h e b a r r i e r s b e tw e e n th e c l a s s e s .
G ibbon t r a c e s t h e i n ­
s t i t u t i o n s o f f e u d a l i s m b a c k t o t h e C e l t i c b a r b a r i a n s , when
t h e m a s s e s s o u g h t p r o t e c t i o n on t h e g r e a t e s t a t e s o f G a l l i c
n o b l e s and w ere f e t t e r e d t o t h e l a n d .
52
D u r in g t h i s e r a F a h lb e c k
s a y s t h e r e w e re many k i n d s
o f bondage, r e a l s la v e s ,
s e r f s o f d i f f e r e n t c a t e g o r i e s , and
h a l f - f r e e f r e e d m e n ; e a c h g ro u p r e c r u i t e d I t s e l f b y h e r e d i t y .
The e a r l y T e u t o n i c t r i b e s .
The p r i m i t i v e s from w h ic h
m ost m odern n o r t h e r n E u ro p e a n s s p r a n g w e re n o t t h e e q u a l i t a r i a n d e m o c r a t s o f w h ic h t h e l e g e n d s a b o u t f r e e men i n
f o r e s t c o u n c ils t e l l .
T h e re w ere n o b l e s , com m oners, f r e e d 53
men, a n d s l a v e s .
And t h e n o b l e s b o a s t e d o f a n c i e n t l i n e a g e .
C o o ley s a y s t h a t a " s e r v i l e c a s t e ,
s t r i c t l y h e re d ita ry ,
54
e x i s t e d e v e n among t h e p r i m i t i v e German t r i b e s
• . . ."
Ja c o b Grimm, fam ed f o r f a i r y t a l e s a n d o t h e r a n c i e n t
51 Edward G ib b o n , The D e c l i n e and F a l l o f t h e Roman E m p i r e .
v o l . I (New Y o rk , 1 932, Modern L i b r a r y e d i t i o n ) p p .
307-308.
52 F a h l b e c k , 0£ . c l t . , p p . 1 4 7 -1 4 8 .
53 F r a n k W. B la c k m a r , H i s t o r y o f Human S o c i e t y (New Y ork.
1 926) p . 2 8 5 .
54 C h a r l e s H o rto n C o o l e y , S o c i a l O r g a n i z a t i o n (New Y o r k . 1 909)
p . 221.
l o r e , was a l s o a p h i l o l o g i s t o f n o t e .
He was i n t r i g u e d
b y t h e q u e s t i o n a s t o w h e t h e r a l l G erm anic t r i b e s r e c o g n i z e d
a n o b ility .
serfs
Grimm d i v i d e s t h e p e o p le i n t o f r e e men and
(k n e o h te ) .
The n o b i l i t y and t h e
(o th erw ise ) f r e e p e r ­
s o n s s t a n d on th e same l e g a l f o o t i n g , b u t t h e n o b l e s h a v e
some p r e r o g a t i v e s d e n i e d t h e c o m m o n alty .
Where k i n g s and
p r i e s t s h o l d sw ay , t h e r e “ m ust b e a d i v i s i o n b e tw e e n t h e
n o b i l i t y and t h e m e r e l y f r e e , i n a l l p r o b a b i l i t y b e c a u s e t h e
n a t u r e o f e v e r y p r i e s t l y arrangement ( e i n r i c h t u n g ) p rod u ces
55
it."
Grimm fo u n d t h a t among t h e G o th s t h e r e was no k i n g
56
b u t " r e i k s , " a r e s p e c t e d and h o n o r e d a r i s t o c r a c y .
A n o th e r
v a r i a t i o n was f o u n d i n t h a t among t h e B u r g u n d ia n s t h e m ost
h o n o r e d p e r s o n s w ere t h e “u p p e r c l e r g y " who w ere c a l l e d
57
f l n i 3 t a o r f l n l s t o . m eaning th e o l d e s t .
Among t h e Saxons m a r r i a g e was r e s t r i c t e d t o p e r s o n s
on t h e sam e l e g a l l e v e l ,
fre e , fre e d , or sla v e , in d ic a tin g
t h e c a r e w i t h w h ic h e x c l u s i v e n e s s was p r a c t i c e d .
F u s t e l de
C o u la n g e s s a y s : " T h is m a r r i a g e p ro h ib it!o n i s t h e m o st o b v io u s
58
p ro o f o f th e o ld c l a s s d i s t i n c t i o n s . "
55 J a c o b L .K . Grimm, D e u t s c h e R e l c h s a l t e r t h u m e r ( G o t t i n g e n ,
1 854 ) p . 2 6 7; t r a n s l a t i o n o u r s .
56
* P* 2 6 6 .
57 I b i d . . p . 2 6 7 .
58 O p. c l t . , v o l . I I , p . 2 5 8 ; t r a n s l a t i o n o u r s .
The b e g i n n i n g s o f f e u d a l i s m *
I n s t a n c e upon I n s t a n c e
o f g e n e r a l s o c i a l c l a s s r i g i d i t y c o n f r o n t one who r e a d s
w i d e l y i n t h e h i s t o r y o f t h e a g e w h ic h f o l l o w e d t h o s e o f
b a rb a ris m and a n t i q u i t y .
Som etim es s o c i a l p o s i t i o n and e x ­
c l u s i v e n e s s a r e e x p r e s s e d i n l e g a l t e r m s , s u c h a s n o b le m a n ,
s e r f , o r s l a v e ; so m e tim es i n te r m s o f o c c u p a t i o n , s u c h a s
c ra ftsm e n , m e rc h a n ts, m in s tr e ls ;
so m e tim es i n te rm s o f
p o l i t i c a l o r r e l i g i o u s p o w e r, s u c h a s c o u r t i e r , a d v i s e r ,
m a g ic ia n .
T h ro u g h a n d a r o u n d t h e s e te rm s a r e d i s c e r n i b l e
t h e s o c i a l c l a s s e s w hich w e n t t o make u p t h e
so c ia l c la ss
h i e r a r c h i e s o f th e m ed iev a l p e r i o d .
T h is p e r i o d o f human h i s t o r y b e g a n w i t h an i n c r e a s e
i n t h e num ber o f p e r s o n s h e l d i n a c t u a l s l a v e r y .
By 725 A.D.
t h e p r i c e o f s l a v e s i n E u ro p e had d r o p p e d t o t h e p o i n t w here
t h e y sa n k " t o a d e g r e e o f s u b j e c t i o n w h ic h h a d n e v e r b e f o r e
59
e x is te d in th e h is to r y of s la v e ry ."
W h eth er o r n o t Dowd
has h i s f a c t s in p e r f e c t o rd e r h e re i s d o u b tf u l, b u t th e
f a c t t h a t t h e r e w ere s t i l l i n d i v i d u a l s and g r o u p s h e l d a s
p e r s o n a l p r o p e r t y , w i t h o u t e l e m e n t a r y d i g n i t y o r h o n o r , and
la c k in g in o p p o rtu n ity , s t i l l
s t a n d s a s one o f t h e e s s e n t i a l
f a c t o r s i n th e e a r l i e s t m ed iev al s o c i a l s t r u c t u r e s .
The e x a c t n a t u r e o f t h e t r a n s f e r e n c e fro m Roman c o n ­
t r o l t o f e u d a l o r g a n i z a t i o n w i l l have to a w a it l a t e r t r e a t m e n t .
59 Jerom e Dowd,. C o n t r o l i n Human S o c i e t i e s (New Y o rk , 1936)
p . 44.
I n t h e n i n t h c e n t u r y h e r e d i t a r y s o c i a l s t a t u s was f i r m l y
e s t a b l i s h e d i n P r a n c e an d I t a l y .
T h is I s n o t t o s a y , o f
c o u r s e , t h a t s u c h was n o t t h e c a s e i n t h e I n t e r v e n i n g c e n ­
tu rie s .
The same was t r u e o f t h e German t e r r i t o r i e s .
nThe
g r e a t German d u c h i e s w h ic h em e rg ed from t h e r u i n s o f t h e
60
C a r o l i n g i a n E m p ire w e re l e d b y t h e i r o l d n o b i l i t y . "
And when f e u d a l i s m e x te n d e d I t s e l f f a r t o t h e e a s t
i n t o t h e " w a s t e s o f R u s s i a , " I t d i d n o t e n s n a r e f r e e and
e q u a l m en.
"The t r i b e s w ere h e a d e d b y c h i e f s , m i l i t a r y ,
c iv il,
or re lig io u s
61
k n e z e s ) . . . ."
( .lo u p a n s , s t a r o s t e 3 . s t a r t c h i n a s ,
What h a p p e n e d d u r i n g f e u d a l i s m i s to o f a m i l i a r t o c a l l
fo r a ra p id
survey a t t h i s p o i n t .
a l a t e r c h a p te r,
When i t I s t a k e n u p , I n
i t w i l l be n e c e s s a r y to p u r s u e s m a ll p o i n t s
c a r e f u l l y , s_tep b y s t e p .
O th e r i l l u s t r a t i o n s o f w id e sp rea d s o c i a l c l a s s
rig id ity .
A lm ost w h e r e v e r one t u r n s , much e v id e n c e o f s o c i a l
c l a s s r i g i d i t y c o n f r o n t s t h e ejs,
" I n Ja p a n d u r i n g h e r m i l i ­
t a r y a g e — t w e l f t h c e n t u r y t o t h e m id d l e o f th e n i n e t e e n t h
c e n t u r y A .D . — s o o i e t y was d i v i d e d i n t o f i v e d i s t i n c t g r o u p s
60 M e lv in M. K n i g h t , Economic H i s t o r y o f Europe t o t h e End o f
t h e M id d le Ages ( B o s t o n . 1 9 26) p . 1 5 1 j i t a l i c s n o t i n
th s o r ig in a l•
61 B o i s s o n a d e , 0£ . c i t . . p . 8 ,
62 G . S . G h u r y e , C a s t e and R ace i n I n d i a (L o n d o n , 1 9 32) p . 129
E x trem e s o c i a l e x c l u s i v e n e s s ,
p o l i t i c a l pow er, i s
Isa b e lla ,
com bined w i t h econom ic and
s e e n i n t h e S p a i n o f F e r d i n a n d and
" I n A ragon t h e b a r o n s w ere l i m i t e d t o a few
g r e a t f a m i l i e s who t r a c e d t h e i r d e s c e n t from t w e lv e
63
p eers . . •
"G lass d i s t i n c t i o n s have e v e r been c l o s e l y
64
g u a rd e d i n S p a i n . . .
The h i s t o r y o f M exico h a s b e e n a h i s t o r y o f s o c i a l
c l a s s e s , even i f th e y have n o t been m e c h a n ic a lly d iv id e d by
hue o f s k i n .
From o r i g i n a l s l a v e r y th e m a s se s e s c a p e d i n t o
65
p e o n a g e ; fro m p e o n a g e i n t o t e n a n t r y and ch eap l a b o r .
The s t o r y o f t h e c l a s s e s i n
th e t h i r t e e n c o l o n i e s ,
t o o , w i l l h a v e t o a w a i t m ore d e t a i l e d t r e a t m e n t .
H ere i t
can b e n o t e d , h o w e v e r , t h a t i n t h e c a s e o f Hew Amsterdam
and New Y ork t h e c o n q u e s t t h e o r y b r o k e down, b u t t h e t h e o r y
66
o f s o c i a l c l a s s r i g i d i t y h e l d u p . G re e n e s t a t e s :
N o t w i t h s t a n d i n g t h e s e d i f f e r e n c e s i n r e l i g i o n and
p o l i t i c s , New Y ork was m o d e r a t e l y p r o s p e r o u s d u r i n g
t h e e a r l y y e a r s o f E n g l i s h r u l e . Some o f t h e t h r i f t y
D u tc h b u r g h e r s f o u n d i t p o s s i b l e t o make money an d a c ­
q u i r e l a n d a t l e a s t a s r a p i d l y a s u n d e r t h e i r own gov­
e r n m e n t . D u tc h f a m i l i e s l i k e t h e P h i l l i p s e s an d Van
C o r t l a n d t s w ere s o o n r e p r e s e n t e d i n t h e p r o v i n c i a l
c o u n c il . . . .
C o n c lu s io n .
The f o r e g o i n g i l l u s t r a t i o n s o f v a r i o u s
k in d s o f s o c i a l s t r a t a ,
63
64
65
66
s ta r tin g w ith u n d iffe re n tia te d
B a n c r o f t , 0£ . c l t . . v o l . V I , p . 2 7 .
I b i d . , v o l . X I, p . 740,
I b i d . . v o l . XIV, p . 612 .
E v a r t s B o u t e l l G r e e n e , The Found a t i o n s o f A m erican
N a t i o n a l i t y (New Y o r k , 1 9 2 2 ; p . 1 6 0 .
p r i m i t i v e s a n d p r e h i s t o r i c men an d s w e e p in g t h r o u g h h i s t o r y ,
w ere s e t down t o c o n v ey a t h o u g h t t h a t m o st o f t h e p e o p l e s
w h ic h h a v e i n h a b i t e d t h e e a r t h h a v e b e e n d i v i d e d i n t o s o c i a l
c l a s s h i e r a r c h i e s o f g r e a t s t a b i l i t y , " a n d a man was t h e
67
c h i l d o f h i s f a t h e r r a t h e r t h a n o f h i s own w o r k s , "
as
Mosca s a y s o f t h e a n c i e n t E g y p t i a n s .
(One d o e s n o t h a v e t o l o o k f o r e x tr e m e i n s t a n c e s o f
in g ro w n b l o o d r e l a t i o n s h i p s , su c h a s t h e m a r r i a g e o f s i b s . ,
see th e " a r i s t o c r a t i c "
to
te n d e n c ie s o f a l l f a m ilie s , e x c e p t,
o f c o u r s e , th e d e s t i t u t e and u t t e r l y d e m o r a liz e d .
Where
th e f a m ily m u st, b e c a u se o f i n c e s t te b o o s, s h a re w ith o t h e r s ,
th e l o c a l s o c i a l c la s s i s
th e n e x t u n i t o f s o c ia l in tim a c y .
T h ro u g h s o c i a l c l a s s one f a m i l y s h a r e s w i t h a n o t h e r , g i v i n g
a d a u g h t e r an d t a k i n g a n o t h e r , w i t h o u t r e l i n q u i s h i n g i t s
h o l d on w h a te v e r m o no p o ly o f s o c i a l p r e s t i g e t h e f a m i l y
happens to p o s s e s s .
T h is i s t h e p ro c e s s o f s o c i a l c la s s
m a i n t e n a n c e w h ic h h a s b e e n a p a r t o f e v e r y c om plex s o c i e t y .
I t b e lo n g s to t h e s i g n i f i c a n t s o c i a l p r o c e s s e s .)
The above i s n o t e x h a u s t i v e .
Many d a t a a r e t o b e
b ro u g h t fo rw ard c o n c e rn in g s o c i a l c l a s s r i g i d i t y in G reece,
Rome, t h e f e u d a l p e r i o d , modern E u r o p e , a n d t h e U n i t e d S t a t e s .
B ut t h i s g e n e r a l o r i e n t a t i o n g iv e s p e r s p e c t i v e to th e t o p i c
o f th e d i s s e r t a t i o n .
67 G a e ta n o Mosca, The R u l i n g G l a s s . e d . and r e v . b y A r t h u r
L i v i n g s t o n iNew Y o rk , 1 9 3 9 ) p . 3 4 4 ,
The f o l l o w i n g c h a p t e r w i l l be g i v e n o v e r t o t h e mechan
ism s w h ic h a r e u s e d , o r h a v e b e e n u s e d , t o p e r p e t u a t e s o c i a l
c l a s s e s a n d t o f a c i l i t a t e t h e e x e r c i s e o f s o c i a l c l a s s ex ­
c lu s iv e n e s s.
CHAPTER IV
MECHANISMS TENDING TO MAINTAIN SOCIAL CLASS RIGIDITY
The p r e c e d i n g c h a p t e r I l l u s t r a t e d r e l a t i v e l y r i g i d
s o c i a l s t r a t a o f many t i m e s a n d p l a c e s .
The p r e s e n t s e c t i o n
w i l l s e t down t h e c n i e f m e c h a n ism s and d e v i c e s u s e d b y
f a m i l i e s o f s o c i a l s t a n d i n g o f e v e ry d e g r e e (ab o v e t h o s e o f
t h e l o w e s t c l a s s ) t o m a i n t a i n t h e i r p o s i t i o n s a n d , some­
t i m e s , t o im p ro v e t h e i r p r e s t i g e o r t o k e e p fro m f a l l i n g
se v e re ly .
D if f e r e n t d e v ic e s h av e been u sed a t d i f f e r e n t
t i m e s ; some a r e a l m o s t u n i v e r s a l .
R e sp e c t f o r g e n e a lo g y ,
f o r i n s t a n o e , i s a common s o u r c e o f p r e s t i g e .
I t is a
s o u r c e o f p r i d e and a s o u r c e o f d e f e r e n c e .
The l i s t o f m ec h an ism s t o b e m e n tio n e d h e r e i s l o n g .
N early e v e ry im p o rta n t d e v io e u se d t o s t a b i l i z e th e s o c i a l
c l a s s s t r u c t u r e h a s r e c e i v e d some a t t e n t i o n , i f i t h a s n o t
been th o ro u g h ly a n a ly z e d .
A f t e r t a k i n g n o t e o f t h e s e many
d e v ic e s , one i s n o t s u r p r i s e d t o f i n d
th a t th e o la s s e s (ex­
c e p t t h e l o w e s t , a g a i n , w h ic h h a s n o c h o i c e ) a r e a b l e t o
h o ld t h e i r r e s p e c tiv e ra n k s r e l a t i v e l y f i r m .
Some o f t h e s e
d e v l o e s s h u t o u t c o m p e t i t i o n ; some m a i n t a i n t h e f i c t i o n o f
c o m p e titio n , g iv in g th e lo w er o la s s e s h o p e .
H ow ever, a l l
o f them t o g e t h e r do n o t make t h e c o m p a r tm e n ts o f a n y s o c i a l
o r d e r w a t e r - t i g h t ; n o r d o e s t h e a b s e n c e o f some o f t h e m ost
116 .
e f f e c t i v e o f th e s e in s tr u m e n ts le a v e g a p in g h o le s i n th e
w a l l s o f t h e s e o o m p a rtm e n ts t h r o u g h w h ic h a r a p i d l y f l o w i n g
c u rre n t passes*
Some o f t h e m ore i m p o r t a n t m ech an ism s t o b e d i s c u s s e d
h ere a r e :
(1) s e t t i n g up r u l e s a g a i n s t i n t e r - c l a s s m a r r ia g e ,
(2 ) p l a y i n g h o s t t o t h o s e s e e k i n g p r o t e c t i o n ,
in g r e lig io u s fu n c tio n s ,
( 3 ) m o n o p o liz ­
(4) w e a rin g i n s i g n i a ,
m en t, (6) e n te r in g c le a n o c c u p a tio n s ,
(5 ) e n s l a v e ­
( 7 ) m o n o p o li z in g
t r a d e s o r b u s i n e s s e s , ( 8 ) o w n in g p r o p e r t y ,
( 9 ) m o n o p o liz in g
g o v e rn m e n t o r b e i n g c l o s e t o t h e g o v e r n m e n t, (1
m atin g
f a v o r a b l y , (1 1 ) s p e c i a l i z i n g i n e t i q u e t t e and f a s h i o n ,
(12)
m a i n t a i n i n g an a tm o s p h e r e o f s e c r e c y , ( 1 3 ) l e a d i n g w a rs and
o o n q u e sts, e t c .
f
R o s s , a t t h e t u r n o f t h e c e n t u r y , gave o v e r one ch ap ­
t e r o f h i s S o c ia l C o n tro l to a d is c u s s io n o f p r e s t i g e f a c t o r s
b a s e d on b i r t h , w e a l t h , e d u c a t i o n , m i l i t a r i s m , and so f o r t h .
A l l o f R o s s ' s w o r k s , i n f a c t , e l a b o r a t e t h e s e m ore o b v io u s
d e v i c e s f o r m a i n t a i n i n g p r e s t i g e and d o m in a n c e .
Dawson and
G e t t y s l i s t a few o f t h e m ec h an ism s u s e d t o m a i n t a i n t h e
s o c ia l c la ss e s as c o n sta n t e n t i t l e s .
T h e ir sta te m e n t read s
N ot i n f r e q u e n t l y o l a s s e s a d o p t some one o r m ore m echanism s
f o r th e purpose o f o r e a t i n g an d f o r t i f y i n g th e l i n e s b e ­
tw e en th e m . T h e s e m ec h an ism s may b e t h e i m m a t e r i a l o nes
of h a u te u r , sn o b b ish n e ss, t i t l e s o f r a n k , s p e c ia liz a tio n
i n c e r t a i n fo rm s o f e t i q u e t t e , s a l u t a t i o n , s p e e o h , and
t h e l i k e , o r t h e y may b e v i s i b l e m arks o f c l a s s d i f f e r ­
e n t i a t i o n i n t h e fo rm o f u n i f o r m s , i n s i g n i a , c r e s t s , e x ­
c l u s i v e s o o i t l e s a n d c l u b s , h i g h c h u r c h a n d low c h u r c h ,
and so o n . T h ese a n d o t h e r d i s t i n c t i v e e v i d e n c e s o f c l a s s
d i f f e r e n c e s s e r v e t o "sh o w a p e r s o n h i s p l a c e " an d t o s e e
th a t he sta y s t h e r e .
1 csrl
A . Dawson a n d W arn er E . G e t t y s , An I n t r o d u c t i o n t o
S o c i o l o g y (New Y o r k , 1 9 2 9 ) p . 5 4 5 .
The i n t e n t i o n h e r e i s t o e x p a n d , b e t t e r t o i l l u s t r a t e ,
and m ore c o m p l e t e l y t o a n a l y z e many o f t h e d e v i c e s w h ic h
h a v e p l a y e d a s i g n i f i c a n t p a r t i n t h e v a r i o u s c l a s s s y s te m s
o f human s o c i e t i e s .
I f t h i s c h a p te r a cc o m p lish e s i t s p u r­
p o s e , i t w i l l h a v e a d d e d t o t h e s y n t h e s i s o f human kno w led ge
in th e f i e l d o f s t a t u s d i f f e r e n t i a t i o n .
R e te n tio n o f th e g e n s .
One o f t h e f i r s t d e v i c e s known
t o h i s t o r y and u s e d t o p r e s e r v e c l a s s p o s i t i o n , a f t e r t h e
o r i g i n a l g r a s p i n g o f c o n t r o l o v e r t h e eco nom ic s u r p l u s and
t h e m o n o p o li z in g o r c o n t r o l l i n g o f t h e d i s t r i b u t i o n o f war
b o o t y , was t h a t o f a t t e m p t i n g t o m a i n t a i n t h e a r i s t o c r a t i c
g ens o r g a n i z a t i o n i n a t i m e when t h e s t a t e was a l r e a d y
d e s t i n e d t o a d o p t t e r r i t o r i a l a n d r e p r e s e n t a t i v e g o v e rn m e n t.
The p a t r i c i a n s h a d , e v e n t u a l l y , t o s h a r e pow er w i t h t h e more
2
pow erful p le b s , b u t f o r o e n tu r le s
The g e n s • . • f o rm e d a b o d y whose c o n s t i t u t i o n was
ra d ic a lly a r is to c r a tic .
I t was t h r o u g h t h e i r I n t e r n a l
o r g a n i z a t i o n t h a t t h e p a t r i c i a n s o f Rome a n d t h e
E u p a t r i d s o f A th e n s w e re a b l e t o p e r p e t u a t e t h e i r
p r i v i l e g e s f o r so l o n g a t i m e .
The Roman p l e b s a n d t h e A t h e n i a n s demos b r o k e th r o u g h
t h i s fo rm o f o r g a n i z a t i o n a n d e s t a b l i s h e d t h e f r a n c h i s e s y s 3
te m , b u t o n l y a f t e r l o n g e f f o r t ;
e v e n s o , t h e r e s u l t s w ere
o f m ore p o l i t i c a l t h a n s o c i a l s l g n l f l o a n o e .
2 N .D . Pus t e l d e C o u l a n g e s , The A n c i e n t C i t y , t r . W i l l a r d
S m a ll ( B o s t o n , 1 9 0 1 , t e n t h e d i t i o n ) p . 1 3 2 .
3 H e n ry Sumner M a in e . The E a r l y H i s t o r y o f I n s t i t u t i o n s
(L o n d o n , 1890) pTV& V
R u les a g a i n s t l n t e r - c l a s s m a r r i a g e .
Some d i s a p p r o v a l
o r p e n a lty I s a tta c h e d to n e a r ly a l l l n t e r - c l a s s m a rria g e .
N o b i l i t i e s a r e a lw a y s s e t a p a r t b y r u l e s a g a i n s t m a r r i a g e
w i t h commoners*
Roman p l e b e i a n s a n d p a t r i c i a n s c o u l d n o t
i n t e r - m a r r y u n t i l th e y e a r 445 B .C .
And among t h e T e u to n s
o f p r i m i t i v e t i m e s a n y f r e e man who m a r r i e d a s l a v e becom e
5
one h i m s e l f *
T h i s same s e n t i m e n t e c h o e d n i n e t e e n c e n t u r i e s
German
l a t e r I n t h e s c a n d a l o f von B lo m b e r g , t h f e / g e n e r a l who m a r r i e d
t h e d a u g h t e r o f a s m ith *
s h o r t l y b e fo re th e p r e s e n t w ar.
Modern c a s e s o f l n t e r - c l a s s m a r r i a g e * l a r g e l y o f men
t o I n f e r i o r women h a v e a d i f f e r e n t e f f e c t upon t h e u p p e r
o l a s s e s t h a n upon t h e lo w e r*
c l a s s women r e m a in u n m a r r i e d .
A h ig h p e rc e n ta g e o f upper
T h is * how ever* d o e s n o t s i g ­
n i f y any Im p o rta n t s h i f t In t h e s o c i a l c l a s s s t r u c t u r e *
b e c a u s e t h e p r o p o r t i o n o f l o w e r c l a s s women who t h u s e s c a p e
t h e i r n o r m a l f a t e an d r i s e a p p r e c i a b l y I s r e l a t i v e l y s m a l l
I n c o m p a ris o n t o t h e i r t o t a l n u m b e r .
o f h e a lth y fa m ily l i f e
The s p i r i t a n d h a b i t
Is to seek to p e rp e tu a te c la ss d i f ­
f e r e n c e s b y e x c l u d i n g p e r s o n s o f l o w e r c l a s s fro m m a r r i a g e
In to fa m ilie s of h ig h er s ta n d in g .
No r e p u t a b l e s o c i o l o g i s t
w ould a d v o c a t e a t h e o r y o f m a r r i a g e b a s e d on t h e o p p o s i t e
p rin c ip le *
4 Gunnar L and tm an, The O r i g i n o f t h e I n e q u a l i t y o f t h e S o c i a l
G l a s s e s (C h ica g o * 1 9 3 6 ) p . 2 ^ 4 .
5 Edward W esfcermarok, O r i g i n a n d D e v e lo p m e n t o f M o r a l I d e a s .
v o l . I I (L on d o n , 1 9 l 7 ) “ p p ." 2 { 7 S -3 8 b .
G la s s endogam y, o r a t e n d e n c y t h e r e u n t o , I s a p o w e r­
f u l f r e e z in g a g en t In s o c ia l c la ss m a tte r s .
P ro te c tio n .
In th e c e n t u r i e s o f Im p e r ia l d i s i n t e ­
g r a t i o n , p r o v i n c i a l Roman s e n a t o r s p u r s u e d a p o l l o y o f
e n g r o s s m e n t , u n d e r p r o m is e o f p r o t e c t i o n , w h ic h was c a r r i e d
on t i l l
th e e s ta b lis h m e n t o f th e d u c h ie s of f e u d a l E urope.
A ls o among t h e A z t e c s " t h e p l e b e i a n s w e re c o n t e n t t o work
w i t h o u t p a y f o r t h e n o b l e s , I f t h e y c o u ld i n s u r e t h e i r p r o 6
t e c t l o n b y so d o i n g . ”
Modern e x p e r i e n c e s w i t h p r o t e c t i v e a s s o c i a t i o n s , a l ­
th o u g h n o t y e t I n f l u e n t i a l i n a f f e c t i n g t h e s o c i a l c l a s s
h i e r a r c h y , l e a d one t o t h e c o n c l u s i o n , a s d o e s t h e r e a d i n g
o f i n s t a n c e s o f p r o t e c t i o n d u r i n g o t h e r e r a s , t h a t much o f
t h e r e a l d a n g e r fro m w h ic h t h e i n f e r i o r s a r e f l e e i n g o f t e n
e m a n a te s fro m t h e p r o t e c t o r h i m s e l f .
When f a r m e r s t o d a y l o s e t h e i r f a r m s b u t a r e p e r m i t t e d
t o r e m a in on them as t e n a n t s , a r e l a t i v e s t i f f e n i n g o f t h e
s o c ia l c la s s h ie r a r c h y te n d s to ta k e p la c e .
M oreover, th e
s y s te m o f f u r n i s h i n g t o o l s an d f e r t i l i z e r , w h e r e v e r i n u s e ,
i s a ls o t o be lik e n e d to th e p r o t e c t i v e p ro c e s s o f o th e r
c e n tu rie s in th a t i t
c r e a t e s t h e same s p i r i t o f c l a s s d e ­
pendence.
6 H u b e r t Howe B a n c r o f t . The Works o f . v o l . H
1 8 86) p . 2 1 7 .
(San Francisco.
R a c k e t e e r s I n t h e r a n k s o f l a b o r and e l s e w h e r e , who
p r o m is e p r o t e c t i o n i n i t s p r i s t i n e f o r m , may n o t l o n g b e
t o l e r a t e d i n A m erican l i f e , b u t who w ould r i s k t o v e n t u r e
t h e same p r e d i c t i o n f o r g o v e r n m e n t a l a g e n t s who may t a k e
t h e i r p la c e ?
The s t o r y o f p r o t e c t i o n a s a s o l i d i f i e r o f s o o l a l
i n E u ro p e
s t a t u s / i s w r i t t e n d e e p l y i n t h e p e r i o d fro m 100 B .C . t o
1200 A .D ., a n d t h e r e i s much l i k e l i h o o d t h a t i t w i l l b e a
p a r t o f t h e h i s t o r y o f t h e com ing c e n t u r y .
B ru ta lity
c r e a t e s ofr c u l t i v a t e s t h e d e s i r e f o r p r o t e c t i v e s u p e r o r d i n a tio n .
M onopoly o f r e l i g i o n .
Many w r i t e r s a r e o f t h e o p i n i o n
th a t th e f i r s t d i s t i n c t s e p a ra tio n o f fu n c tio n , p r e s t ig e ,
a n d power w as t h e e s t a b l i s h m e n t o f t h e p r i e s t h o o d and c l a s s
7
m ono poly o f r e l i g i o u s f u n c t i o n s .
F r a z e r , S p e n c e r , and
L i p p e r t h a v e a l l shown i n s t a n c e s o f k i n g s who w e re a l s o
p r i e s t s — t h r o u g h o u t P o l y n e s i a , a n d many p a r t s o f A f r i c a ,
8
i n t h e A m e r i c a s , and i n a n c i e n t G r e e c e and Rome.
The a n c i e n t p a t r i a r c h s w e re men o f h i g h s t a t u s ; t h e y
w e re a l s o t h e c o n d u c t o r s o f w o r s h i p .
T hey a n d t h e p r i e s t s ,
7 R u s s e l l A . D ixo n an d E . Kingman E b e r h a r t . E co n o m ic s a n d
C u l t u r a l Change (New Y o r k , 1958) p . iUl A l s o : S a f e r
B r o w n e l l , e d i t o r , Man a n d H is W o rld , v o l . IV (New Y o r k .
1929) p p . 9 8 -9 9 .
8 L an d tm a n , oj>. c l t . . p . 1 3 5 .
p e r a e , w ere o r i g i n a l l y a n d e v e r y w h e r e t h e c a r e t a k e r s o f
tra d itio n ,
I t s e l f t h e han d m aid en o f t h e s o c i a l c l a s s sy ste m *
A c c o r d in g t o t h e d e f i n i t i o n o f s o c i a l c l a s s f o r m u l a t e d
i n C h a p t e r I , p r i e s t s do n o t c o n s t i t u t e a s o c i a l c l a s s a s
such.
T h e y , w i t h t h e i r w iv e s a n d o f f s p r i n g . I f a n y , a r e
u s u a l l y t o o fe w i n num ber i n a n y one com m unity t o f o r m a
c liq u e of a s s o c ia tiv e fa m ilie s*
T hey a r e f u n c t i o n a r i e s o f
enorm ous p o w e r, h o w e v e r , a n d t h i s pow er i s u s e d t o t h e a d ­
v a n t a g e o f t h e w h o le s o c i a l c l a s s w h i c h t h e y s e r v e , i f i t
b e m id d le o r u p p er*
T h a t s e c t i o n o f c l e r g y w h ic h m i n i s t e r s
t o t h e lo w e r a n d l o w e s t c l a s s e s u s u a l l y r e n d e r s a s e r v i c e
o f r a t i o n a l i z a t i o n and c o m fo rt*
P r i e s t s an d o t h e r c le rg y m e n
o f t e n b e l o n g t o t h e c l a s s w h ic h t h e y s e r v e , and i n no a p ­
p r e c i a b l e m an n er do t h e y e n g ag e v i g o r o u s l y i n a c t i v i t i e s
w h ic h p ro m o te s o c i a l c l a s s m o b i l i t y *
Of a l l t h e e x am p le s o f a c t u a l s o c i a l o l a s s e s w h lo h
m o n o p o liz e d r e l i g i o u s p o w e r a , a n t i q u i t y o f f e r s t h e b e s t .
O n ly
g r u d g i n g l y d id t h e p a t r i c i a n s g i v e way t o t h e demand f o r
p u b l i c g o d s an d p u b l i c c e r e m o n i e s .
By h o ld in g f a s t to r e ­
l i g i o u s p r a c t i c e s , t h e p a t r i c i a n s had b e e n a b le t o le v y
10
s p e c i a l t a x e s on t h e c l i e n t s , p l e b s , a n d a l i e n s *
L a t e r , when t h i s c o n t r o l o v e r r e l i g i o n was b r o k e n ,
th e p l e b s , a s a w h o le, d id n o t o r o o u ld n o t f r e e th e m se lv e s
9 P o n t u s E . F a h l b e o k . D ie K l a s s e n und d i e G e s e l l s o h a f t ( J e n a .
1922) p . 3 6 .
10 F u s t e l d e C o u l a n g e s , oj>. p i t *, p . 3 0 3 . A l s o : p p . 262 f f . ,
p * 3 1 3 , pp * 384 f f . , p . 3 8 7 •
fro m t h e l i m i t a t i o n s o f lo w e r s t a t u s *
E x c e p t f o r a few
p le b e ia n a r i s t o c r a t s , th e p le b s l iv e d a s th e y had liv e d b e ­
f o r e , a p l a i n a n d n e g l e o t e d m a s s , t h e g r o w in g p r o l e t a r i a t o f
Rome*
N e i t h e r t h e f r a n c h i s e n o r p u b l i c r e l i g i o n s p a r e d them
t h e lgnom y o f low s t a t u s *
In sig n ia .
The u s e s t o w h ic h i n s i g n i a may b e p u t ,
d i r e c t l y o r in d ir e c tly a ffe c tin g s o o ia l c la s s , a re m u ltitu d in o u s.
I n m odern A m e ric a r e g a l i a i s n o t a s common a s i n many f o r e i g n
lan d s*
F o r I n s t a n c e , u n l e s s t h i s war h a s c h a n g e d ev en t h a t ,
i n Germany c h i l d r e n a t t e n d i n g G ym nasia w ear c a p s w h ic h o s ­
t e n s i b l y d e s i g n a t e t h e i r a c a d e m ic g r a d e *
B u t t h e s e cap s
s i g n i f y much m o re : t h e y i n d i c a t e t o th e p a s s e r s b y , t o s t o r e
c l e r k s , t o n e ig h b o r s , t h a t th e b e a r e r b e lo n g s t o th e m id d le
c la s s , a t le a st*
To him who w ears an a c a d e m ic c ap a l l p a y
more a t t e n t i o n ; t h e y a p p r o a c h him d i f f e r e n t l y ;
him t o h a v e m ore d i g n i t y and h o n o r*
Such i s
th ey expeot
He h a s *
th e In flu e n c e o f f r a t e r n i t y p i n s , c o lle g e
p e n n a n t s , e v e n s t e a m s h i p an d h o t e l l a b e l s (som e more t h a n
o th e rs)*
The t i t l e
o f L o r d , D o c t o r , P r o f e s s o r , o r H o n o r a b le
11
i s a p a r t o f t h i s same s y s te m o f d i s t i n c t i o n s *
N o b le t i t l e s ,
o f c o u r s e , a r e m ore s i g n i f i c a n t b e c a u s e o f t h e i r s o c i a l c l a s s
c o n n o ta tio n s and h e r e d i ta r y n a tu re *
One f o r m o f i n s i g n i a i s
11 L e o p o ld von W ie s e , S y s t e m a t i c S o c i o l o g y , t r a n s l a t e d a n d
a d a p t e d b y Howard feeok er (New Y o rk , 1 9 3 2 ) p . 3 1 4 .
c a l l e d f a s h i o n : c l o t h e s s o worn a s t o make one a " g e n t l e m a n
o r a lad y * "
N ow adays, h o w e v e r , some c a r e f u l l y c o a c h e d an d h i g h l y
d i s c i p l i n e d s a le s m e n who h a v e a c q u i r e d t h e i r p o l i s h away
fro m home a r e n e v e r t h e l e s s a b l e t o d r e s s l i k e f a s h i o n p l a t e s .
And, t o o , t h e b r a s s b u t t o n s o f h i s c o a t h a v e m ore t h a n o n c e
c u r s e d a b u r e a u c r a t w i t h a f a l s e s e n s e o f h i s own s u p e r i o r i t y *
T hese a r e e x c e p tio n s t o th e r u l e .
I n s i g n i a do n o t d i v i d e t h e o l a s s e s o f s o c i e t y , b u t
t h e y do h e i g h t e n s o c i a l c l a s s c o n s c i o u s n e s s *
T hey I n v i t e
12
and a t t r a c t e s t e e m .
E n slav e m e n t,
N o th in g j e l l s a s o c i a l c l a s s h i e r a r c h y
m ore r a p i d l y t h a n t h e w i d e s p r e a d i n t r o d u c t i o n o f s l a v e r y .
I t d i v i d e s t h e p e o p l e i n t o s l a v e and f r e e ;
i t a ls o d iv id e s
t h e f r e e i n t o s l a v e ow ners and t h o s e w i t h o u t s l a v e s ; i t
in ­
t r o d u c e s t h e s p i r i t o f a r i s t o c r a c y e v e n among t h e s l a v e s .
N e v e r a r e t h e f r e e one c l a s s , t h e s l a v e s a n o t h e r ; b u t t h e
w ho le s o c i e t y i s s t r a t i f i e d s o c i a l l y *
S la v e ry f i t s
a r i s t o c r a t i c m ores a s a h a n d i n t o a g l o v e .
in to
I t i s a m eans
o f p u t t i n g down t h e " s u r p l u s " p e o p l e i n t h e p o p u l a t i o n .
T hey c a n i io t t h e n p o s s i b l y e l o p e w i t h d a u g h t e r s o f h i g h e r
s t a n d i n g ; t h e y c a n n o t com pete f o r s t a t u s *
S la v ery i s a
12 G .L , D u p r a t , "L a s o c l o l o g i e d e s h i e r a r c h i e s s o c i a l e s , "
A n n a ls d e l 1I n s t l t u t I n t e r n a t i o n a l d e S o c l o l o g i e ,
Tome XV, 192^ ( P a r is , 1 ^ 2 8 ) p p . 18 4^18 FI
in
l e g a l means o f b u t t r e s s i n g t h e k i n d o f s o c i a l d i s t a n c e a l ­
ways a s s o c i a t e d w ith ' s o o l a l o l a s s .
C le a n a n d d i r t y *
W hoever c o n c e i v e d o f t h e d ic h o to m y
o f c l e a n and u n c l e a n o c c u p a t i o n s d i d a g r e a t s e r v i c e t o h im ­
s e l f an d t o h i s d e s c e n d a n t s I f h e b e l o n g e d t o t h e u p p e r
c la ss e s.
The d i v i s i o n o f l a b o r o f t e n l e a n s h e a v i l y u p o n t h i s
t h e o r e t i c a l d i s t i n c t i o n , and t h e r e m u n e r a t i o n f o r t h e d i f ­
f e r e n t f u n c t i o n s i s l i k e l y t o r e f l e c t a l l t h e h o r r o r w h ic h
t h o s e whb a r e s p a r e d t h e d i r t y w ork h a v e o f i t .
O n ly r e ­
c e n t l y h a v e w h i t e c o l l a r e m p lo y ee s f o u n d t h e m s e l v e s p a i d
l e s s t h a n l a r g e num bers o f w o r k e r s w i t h g rim y h a n d s *
In
f a c t , w i t h t h e g r o w th o f e n g i n e e r i n g t e c h n o l o g y t h e s i g n i f i ­
cance
o f c l e a n end d i r t y i n t h e p h y s i c a l s e n s e h a s d w in d le d
g re a tly *
T h i s c h an g e came l a t e r t h a n , b u t I s s i m i l a r t o ,
t h e r i s e I n p r e s t i g e o f p h y s i c i a n s and u n d e r t a k e r s *
T rade
u n io n s In th e m e c h a n ic a l t r a d e s and th e te n d e n c y o f so n s o f
some r e s p e c t a b l e f a m i l i e s t o e n g a g e i n e n g i n e e r i n g h a v e b o t h
d o n e much t o o a u s e a s h i f t I n e m p h a s is *
L ik e t h e s t o r y o f s l a v e r y , i n s t a n o e s o f d i s t i n c t i o n s
b a s e d on c l e a n a n d u n c l e a n c o n c e p t s a r e f a m i l i a r t o e v e r y
s o c io lo g ist*
L o w le, L an d tm a n , F a h l b e c k , a n d Sumner r e c o u n t
13
them i n e n d l e s s a r r a y *
The l i t e r a t u r e i n t h i s f i e l d r e f e r s
13 S e e : R o b e r t
p . 351,
p . 25*
W il l i a m
S cien c e
H . L o w ie, P r i m i t i v e S o c i e t y (New Y o rk , 1 9 2 5 )
and The O r i g i n o f t h e S t a t e (New Y o r k , 1 9 2 7 )
A ls o L an d tm a n , o p . c l t *. p p . 93 a n d 9 6 . A l s o ,
Graham Sumner and A l b e r t G a llo w a y K e l l e r , The
o f S o c i e t y , v o l . I (New H a v e n , 1 92 7) p . 2 2 6 .
r e p e a te d ly to "u n cle an p a r i a h s ," " p a r ia h c l a s s , " "d eb a rred
fro m oommunlon w i t h o t h e r p e o p l e . "
In th e s e I n s ta n c e s th e
o c c u p a t i o n c o n c e r n e d m u s t e m b race a s o c i a l c l a s s ; t h o s e
p r a c tic in g I t sta n d a p a r t s o c i a l l y .
Monopoly o f a t r a d e o r b u s i n e s s .
I t i s one t h i n g f o r
p e o p l e t o c h o o se a s t h e y a r e a b l e b e tw e e n t h e h o n o r a b l e and
d is h o n o ra b le t r a d e s and p r o f e s s i o n s .
I t I s a n o t h e r and more
s i g n i f i c a n t m a t t e r , fro m t h e p o i n t o f v ie w o f s o c i a l c l a s s
r i g i d i t y , i f th e s e f u n c tio n s a r e c o m p le te ly c o n tr o l le d by
o e r ta ln fa m ilie s or c la s s e s .
D u rin g f e u d a lis m th e n o b le s had
a p r a c t i c a l m on opoly o f l a n d o w n e r s h i p I n a g r i c u l t u r e , t h e
In d u stry of tb a t p e rio d .
T he g i l d s p r a c t i c a l l y owned t h e
t r a f f i c in th e tow ns.
Max Weber l a y s g r e a t s t r e s s u p o n t h e m o nopo ly o f b o t h
14
s p i r i t u a l a n d m a t e r i a l g oo ds a n d c h a n c e s . He s a y s :
A lo n g sid e th e s p e c i f i c h o n o r o f s o c i a l o l a s s (S ta n d e s e h r e ).
w h ic h a lw a y s r e s t s upon d l s t a n o e an d e x c l u s i v e n e s s , and
a l o n g s i d e h o n o r a d v a n t a g e s o r p r i v i l e g e s (E h r e n v o r z f tg e n ) .
a s t h e r i g h t t o w ear c e r t a i n c l o t h e s . . • e a t c e r t a i n fo o d
d e n i e d t o o t h e r s . . . c a r r y arm s . . . t h e r e e x i s t a l l
k in d s o f m a t e r i a l m o n o p o lie s.
The m o n o p o lie s m ea n t h e r e a r e s u c h a s o r i g i n a t e i n i n ­
h e r i t a n c e a n d i n t h e c h o i c e s o f w o rk men a r e a b l e t o make o r ,
c o n v e r s e l y , a r e d e n i e d fro m m a k i n g .
(To r e p e a t : a p e r s o n ' s
e a r l y c l a s s p o s i t i o n i s c l o s e l y r e l a t e d t o h i s e a r l y home e n ­
v i r o n m e n t upon w h ic h h i s o c c u p a t i o n a l f u n c t i o n i s t y p i c a l l y
14 Max W eber, G r u n d r l s s d e r S o z l a l B k o n o m lk . I l l A b t e l l u n g ,
W l r t a c h a f t und G e a e 1 1 a c h a f t (T u b i n g e n . 1 925 ) p . 6 3 7 ;
tra n s la tio n o u rs.
s u p e r im p o s e d a s a c o n f i r m a t i o n o f a n a p r i o r i c o n d i t i o n o f
s t a t u s .)
The i n s t a n c e s o f c l a s s m o n o p o ly o f o c c u p a t i o n s and
b u s i n e s s e n t e r p r i s e s a r e a s o l d a s w r i t t e n r e c o r d s and a r e
in n u m e rab le .
The b e s t exam ple o f t h e i n f l u e n c e o f m onopoly
u p o n s o c i a l c l a s s can b e s e e n b y t h e e y e a r o u n d t h e s q u a r e s
o f A u g s b u rg , N u re m b u rg , a n d A l t - P r a n k f u r t - a m - M a i n .
The homes
o f a p o w erfu l m ed iev a l c la s s s t i l l s ta n d .
W e a lth a n d p r o p e r t y .
The a s p e c t o f s o c i a l c l a s s h a v ­
i n g t o d o w i t h w e a l t h a n d p r o p e r t y was d i s c u s s e d i n C h a p te r I .
H ere i t n e e d o n l y b e r e p e a t e d t h a t t h e r e a r e t h o s e who b e l i e v e
p ro p e rty to be th e b a s is of s o c ia l c la ss p o s itio n .
P ro p e rty
i s t h e f t , th e s o u rc e o f i n e q u a l i t y , so r u n s t h e t a l e .
E x­
p r o p r i a t e t h e e x p r o p r i a t o r s and end t h e c u r s e o f s n o b b e r y ,
s o c i a l i n e q u a l i t y , and s o c i a l c l a s s e s .
O r, o t h e r s s a y ,
w e a lth i s th e m easure o f s o c i a l s t a t u s ;
t h e r e f o r e p a y homage
t o t h e c a p t a i n s o f i n d u s t r y a n d t o t h e r i c h men who h a v e made
th e n a tio n g r e a t .
th e b a s i s o f th e
In e i t h e r c a s e ,
w e a lth i s th o u g h t o f as
so c ia l c la ss s t r u c tu r e .
B ut i t h a s b e e n shown t h a t s o c i a l c l a s s e s a r e n o t a l ­
to g e th e r d e te rm in e d b y l i s t s
of p ro p e rty h o ld in g s.
The o u t s t a n d i n g f a o t i s , n e v e r t h e l e s s , t h a t p r o p e r t y
r i g h t s and a l l t h e ways o f t h e i r t r a n s f e r e n c e h a v e an e n o r ­
mous i n f l u e n c e upon s o c i a l c l a s s c o n t i n u i t y .
P ro p e rty , as a
m ec h an ism , c o n t r i b u t e s c o n t i n u o u s l y , d a y i n and d a y o u t , t o
so c ia l c la ss r i g i d i t y .
T h is does n o t d en y o r c o n f l i c t w ith
t h e o t h e r f a c t t h a t i t h a s so m e tim e s f a c i l i t a t e d s o c i a l
m o b ility .
H ow ever, e v e n among t h e K w a k i u t l I n d i a n s , w here p o t l a t c h i n g i s t h o u g h t b y some t o b e t h e open r o a d t o s t a t u s
f o r a l l c l i m b e r s , i t h a s b e e n shown t h a t i f an u p s t a r t
th re a te n s to crash i n to
th e h e r e d i t a r y u p p e r c l a s s , i t "gangs
u p on h i m ," a n d h e r e l a p s e s i g n o m i n i o u s l y " i n t o h i s o r i g i n a l
15
p le b e ia n sta tu s * "
A l s o , a s w i l l b e show n, t h e m i l l i o n s a c c u m u l a t e d b y
t h e t a x - c o l l e c t o r s and c o n t r a c t o r s i n Home d i d n o t f a c i l i t a t e
c o rre sp o n d in g s o c ia l c la s s m o b ility *
T hey d i d c o n t r i b u t e ,
h o w e v e r, t o w a r d t h e s t r e n g t h e n i n g o f t h e econom ic and s o c i a l
p o s i t i o n o f t h e e q u i t e s , p e r s e , and some e q u i t e s d i d r i s e
16
i n t o t h e S e n a t e u n d e r t h e f o u r C l a u d i a n e m p e ro rs*
W e a lth i s a s t a b i l i z e r o f s o c i a l s t a t u s , and s o c i a l
c la s s s t a b i l i z e s t h e d i s t r i b u t i o n o f w e alth *
I n t h e e x tre m e
c a s e o f m o b i l i t y , s u c h a s r e p r e s e n t e d b y t h e V a n d e r b i l t s and
A s to rs , w e a lth n o t o n ly secu red h ig h s o c i a l s ta n d in g , I t has
a ls o s t a b i l i z e d th e s o c i a l p o s i t i o n s of f o u r c o n se c u tiv e
g e n e r a t i o n s .*
"T h u s a s o n , who i n h e r i t s t h e e s t a t e o f h i s
17
f a t h e r , i s e n a b l e d t o m a i n t a i n an e q u a l ra n k * "
P ro p e rty I s r e l a t e d to s o c ia l s t a tu s b o th p o s itiv e ly
and n e g a t i v e l y *
T h o se w i t h o u t p r o p e r t y m u st c h o o s e b e tw e e n
15 L o w le , O r i g i n o f t h e S t a t e . o p . c l t . , p p , 3 9 -4 0 *
16 S.A* Cook, e t I T * , e d i t o r s , The A u g u s ta n E m p ir e , 44 B . C . 70 A *D ., voT* X o f The C am bridge A n c ie n t' H i s t o r y (Cam­
b r i d g e , 1 9 3 4 ) p . 18b*
17 Jo h n M i l l a r , O r i g i n o f t h e P i s t i n e t l o n o f R a n k s , 4 t h e d i ­
t i o n (E d in b u r g h ,~ 1 8 0 8 ) p . 153*
coming t o t e r m s w i t h a p r o p e r t y owner o r s l e e p i n t h e s t r e e t s
o r jump i n t h e o c e a n , a s G eo rg e B e r n a r d Shaw o n c e s a i d .
P r o p e r t y i s n o t o n l y o r e a t o r and p e r p e t u a t o r o f h i g h e r s t a n d ­
in g ; c o n v erse ly , i t
i s th e c r e a to r and p e r p e t r a t o r o f m is e ry ,
s o c i a l d i s a b i l i t y , a n d s o o l a l c l a s s d i s q u a l i f i c a t i o n . "T h o se
18
who a r e p o o r b eco m e d e p e n d e n t u p o n t h e r i c h • • • •"
"We
s h o u l d a l l l i k e t o l i v e on t h e Avenue f a c i n g t h e P a r k , a n d do
b u sin e ss o p p o site th e P o s t O ffice *
I f we a r e n o t r i c h enough
t o do s o , we y i e l d t o f o r c e an d la w and go o f f p e a c e a b l y t o
19
l i v e an d do b u s i n e s s w h e re t h e m o n o p o ly i s n o t f e l t , "
w r o te
Sum ner, b u t h e d i d n o t l i v e t o s e e w h a t i t was l i k e when men
s o u g h t u l t i m a t e s h e l t e r i n t h e dumps o f H o o v e r v i l l e s .
In c o m p r e h e n s iv e s o o l a l c l a s s t e r m s i t
can b e s a i d
t h a t t h e r i c h a n d e x c l u s i v e f o r m c l i q u e s t o k e e p t h e m s e lv e s
e x c lu s iv e and r i c h th r o u g h u n t o l d g e n e r a t i o n s .
G overnm ent a n d c l o s e c o n n e c t i o n w i t h g o v e rn m e n t,
von
20
W iese
s t a t e s t h a t th e
c h ie f so u rc e o f s o c ia l c la s s d i f f e r e n ­
t i a t i o n a f t e r l a n d o w n e r s h i p and t h e a c c u m u l a t i o n o f m o b ile
w e a l t h h a s b e e n t h e p r i v i l e g e s b e s t o w e d b y t h e s t a t e upon
t h o s e who s u p p o r t i t a n d u p o n i t s f u n c t i o n a r i e s *
He g o e s on
t o s t a t e t h a t t h e t h i r d f a c t o r i n many I n s t a n c e s b r i n g s w i t h
i t t h e o t h e r tw o , a v e r y w i s e s t a t e m e n t i n d e e d .
18 I b l ^ i , p . 152*
19 Sumner a n d H e l l e r , o p * o l t * . p . 258*
20 von W ie s e , o p . c l t * . p . 2 9 7 .
A c l a s s m on o p o ly o f t h e m a c h in e r y o f s t a t e I s an a l ­
m o st I n v u l n e r a b l e b u l w a r k a g a i n s t t h e I n t r u s i o n o f lo w e r
o la sse s In to th e h ig h e r r a n k s .
Of a l l t h e s t a t e s w h ic h h a v e
e v e r e x i s t e d , few h a v e b e e n f r e e o f c l a s s d o m i n a t i o n . ( C l a s s
h e r e means s o c i a l c l a s s , n o t c l a s s e s I n t h e s e n s e o f w a r r i n g
p o l i t i c a l and eoonom lo p a r t i e s a n d o r g a n i z a t i o n s . )
In f a c t , one o f t h e r e a s o n s f o r t h e mad s c r a m b l e I n
t h e n i n e t e e n t h c e n t u r y f o r an e x t e n s i o n o f t h e f r a n c h i s e
was t h a t t h e l o w e r o r d e r s (b y means o f t h e p o l i t i c o - i n d u s t r i a l
c l a s s s t r u g g l e ) hoped th e r e b y t o d e f e a t b y p a rlia m e n ta r is m
t h e a g e - o l d s y s te m o f a r i s t o c r a t i c r u l e .
One e m in e n t s t u d e n t a n d t e a c h e r o f t h e s u b j e c t o f
s o c i a l s t r a t i f i c a t i o n , H ans S p e l e r , s a y s I n h i s l e c t u r e s
t h a t p r e - w a r German s o c i a l c l a s s e s c o u ld b e c o n s i d e r e d , from
o n e p o i n t o f v i e w , n o t a s a n o t c h e d p y ra m id b u t a s a s e r i e s
o f c o n c e n tric
c i r c l e s w ith th e r o y a l c o u rt a t th e c e n te r ;
p r o x i m i t y t o o r d i s t a n c e fro m t h e K a i s e r was t h e k e y t o t h e
d ia g ra m .
F a m ily b a c k g r o u n d , a rm y r a n k , f i n a n c i a l s t a n d i n g ,
an d a c a d e m ic a c h i e v e m e n t w e re a l l woven I n t o a p a t t e r n o f
s o c ia l c la s s e s a c c o rd in g t o
th e a b i l i t y o f th e p e rso n s con­
c e r n e d t o m e e t a n d f r a t e r n i z e w i t h t h o s e n e a r e r an d n e a r e r
to th e th ro n e .
I t w as I n t h a t s o c i e t y t h a t t h e w o rk in g
m e n 's c i r c l e s f e l t t h a t t h e y h a d n o d i r e c t a c c e s s t o t h e
s o c i e t y o f th e em peror, and w e re, t h e r e f o r e , q u ite o u ts id e
th e p a le of s o c ia l h o n o r.
21
Slmmel
21 G eorg
r e f e r s t o t h e pow er (P o t e n z ) a c q u i r e d b y a n
S lm m el, S o z l o l o g l e (M u n ich , 1 9 23) p . 1 0 3 .
I n d i v i d u a l c l o t h e d i n t h e d i g n i t y and h o n o r o f s t a t e a u t h o r i t y .
T h is pow er i s
e a s ily tr a n s fe r r e d in to s o c ia l c la ss In flu e n c e
t h r o u g h t h e f a v o r s b e s t o w e d upon o t h e r h i g h e r c l a s s p e r s o n s
and f a m i l i e s a n d t h e i r r e c i p r o c a t i n g a p p r e c i a t i o n .
P o l i t i c a l o f f ic e f i l l e d by r e g u la r ly s ta te d e le c tio n s
w h ere t h e f r a n c h i s e i s u n i v e r s a l r e d u c e s t h e i n f l u e n c e o f
p o l i t i c a l o f f i c e on t h e s o c i a l c l a s s e s g r e a t l y
, of c o u rse.
But few s o c i e t i e s a f f o r d o r h a v e a f f o r d e d t h e l u x u r y o f
d e m o c ra tic m a c h in e ry .
The o l d e r fo rm o f a l l i a n c e b e tw e e n p o l i t i c a l , e c o n o m ic ,
and s o c i a l power w e l l i l l u s t r a t e F a i r c h i l d ' s a c c r e d i t e d
22
t h e o r y o f r o t a r y a c t i o n p a t t e r n s . M aine
tr a c e s th e h i s t o r y
o f p o l i t i c a l f a v o r i t i s m t h r o u g h Roman, T e u t o n , a n d E n g l i s h
tim e s.
In f a c t, h is to r y i s re p le te w ith ta le s of b e n e fits
d e r i v e d b y t h e u p p e r o l a s s e s fro m g o v e rn m e n t.
In te re sts.
A c c o rd in g t o t h e i r d e s i r e s p e o p le p u rsu e
v a rio u s i n t e r e s t s , and in j o i n i n g hands f o r such p u r s u i t s ,
t h e y h e l p t o c r e a t e and m a i n t a i n t h e s o c i a l c l a s s e s .
In te re sts, i t
is tru e ,
a r e m ore l i k e l y t o l e a d t o
t h e f o r m a t i o n o f p o l i t i c a l p a r t i e s o r eco n o m ic o r g a n i z a t i o n s
th an to t h e c r e a t i o n o f e x c lu s iv e groups o f in tim a te s o c i a l
re la tio n sh ip s.
T h e r e a r e , h o w e v e r , hob by an d r e c r e a t i o n a l
i n t e r e s t s , c l u b h o u s e s , c h a r i t i e s , p a r a d e s , and com m unity
22 M a in e , oj>. c l t . , p p . 141 f f .
e v e n t s w h ic h g i v e t h e s o o l a l c l a s s e s a c h a n c e t o g a t h e r t o ­
g e t h e r o r t o show o f f t h e i r p lu m a g e b e f o r e e a c h o t h e r .
The K a r n e v a l o f C a t h o l i c G erm any, f o r I n s t a n c e , e s ­
p e c i a l l y I n C o lo g n e , i s
(In p eace tim e s) th e f o c a l p o in t o f
t h e I n t e r e s t s o f h u n d r e d s o f g r o u p s w h ic h t a k e p a r t i n t h e
p arad e.
T hey p r e p a r e a l l y e a r f o r t h e g r e a t e v e n t ; t h e y
spend h u n d r e d s o f t h o u s a n d s o f m a r k s ; t h e y a p p e a r b e f o r e t h e
t h r o n g s i n th e i n s i g n i a an d c o s tu m e s and f l o a t s w h ic h d e s i g ­
n a t e t h e t y p e o f o r g a n i z a t i o n , even t h e c l a s s , t o w h ich t h e y
b e lo n g .
The g i l d s o f m e d i e v a l E u ro p e w a lk p a s t t h e c a t h e d r a l
a g a i n ; e a c h o f t h e m o st f a s h i o n a b l e c l u b s i n t h e c i t y h a s an
ex p en siv e f l o a t .
A n y th in g w h ic h c a u s e s t h e o r g a n i z a t i o n o f a m e r c h a n t s '
a s s o c i a t i o n , a t r a d e u n i o n , o r an a g r a r i a n p a r t y i s l i k e l y
to c o n s tr u c t s e v e r a l c r o s s - b a r s in th e s o c i a l c la s s la d d e r .
T h is i s l i k e w i s e t r u e o f p r o f e s s i o n a l o r i n t e l l e c t u a l
so c ie tie s9
Mosca s a y s t h a t Me v e r y g r o u p o f p e r s o n s t h a t i s
e n g ag ed i n a s p e o i a l f u n c t i o n h a s a c e r t a i n h o m o g en e o u sn e ss
23
o f s p i r i t , e d u c a tio n an d , e s p e c i a l l y , i n t e r e s t s . "
Gumplowlcz
d e s c r i b e s th e g ro u p p r o c e s s o f fo rm in g s o c i a l c la s s e s o r
24
s o c i a l t y p e s o u t o f o r g a n i z e d a s s o c i a t i o n s i n t h e s e w o rd s:
How many e d u c a t e d p r o f e s s i o n s a r e d i f f e r e n t i a t e d i n t h e
m id d le c l a s s : d o c t o r s , a t t o r n e y s , j u d g e s , t e a c h e r s , o f ­
f i c i a l s , m a s t e r m e c h a n i c s , e n g i n e e r s . E ach c i r c l e c r e a t e s
i t s own p e o u l i a r s p i r i t , s o t o s a y , a m o r a l a tm o s p h e r e o f
p r i n c i p l e s , i d e a s , v i e w s , a n d c o n c e p t i o n s , i n w hich i t s
members l i v e a n d i n w h ic h t h e i r p o s t e r i t y i s b o r n a n d e d u ­
c a te d .
23 G a e ta n o M o sca, The R u l i n g C l a s s , e d . and r e v . A. L i v i n g s t o n
(Hew Y o r k , 1 5 3 9 ) p . 48<5T
24 Ludwig G um plow lcz, The O u t l i n e s o f S o c i o l o g y , t r . A. S m a ll
( P h i l a d e lp h i a , 1899) p . 1 6 5 .
F a i r c h i l d , i n d i s c u s s i n g t h e p r o p e r t y l e s s n e s s o f many
d e n i z e n s o f m odern i n d u s t r i a l n a t i o n s , shows how t h i s d i v i s i o n
o f p e o p le i n t o t h e "h a v e s" and th e " h a v e n o ts " i s p a r a l l e l e d
b y " s t r o n g f e e l i n g s o f common i n t e r e s t among t h e members o f
e a c h g r o u p r e s p e c t i v e l y , and a t e m p t a t i o n t o d i s t r u s t , s u s 25
p l c i o n , e n v y , h a t r e d , a n d a n t a g o n i s m to w a r d t h e o t h e r g r o u p . "
E ls e w h e r e t h e same e m in e n t s o c i o l o g i s t s t a t e s :
"Common i n t e r 26
e s t s , on t h e o t h e r h a n d , a r e d e f i n i t e l y s o c i a l i z i n g . ”
M a r r ia g e an d f a m i l y c u s t o m s .
M a r r ia g e h a s b e e n r e ­
f e r r e d t o a s a d e v i c e b y w h ic h t h e r i c h and e x c l u s i v e
m o n o p o liz e r i c h e s and e x c l u s i v e n e s s .
A lso , th e r u le s d i s ­
c o u ra g in g l n t e r - c l a s s m a rria g e h av e been a n a ly z e d .
M a r r ia g e
and t h e f a m i l y a r e t h e f o c a l p o i n t o f s o c i a l c l a s s f o r m a t i o n ,
s o c i a l c l a s s c o n s c i o u s n e s s , an d t h e p e r p e t u a t i o n o f s o c i a l
sta tu s .
M a r r ia g e i s a d e v i c e b y w h ic h t h e
s tr u c tu r e i s h e ld r e l a t i v e l y r i g i d .
s o c ia l c la ss
M a r r i a g e cu sto m s may
a l m o s t c o m p l e t e l y s e p a r a t e t h e c l a s s e s , even a s t h e y do t h e
c a ste o rg a n iz a tio n s.
Endogamy i s t h e r u l e .
T h e r e i s no su c h
t h i n g on e a r t h a s e n f o r c e d s o c i a l c l a s s exogamy*
Even t h o s e
p e o p l e s who h a v e a l m o s t n o n o b i l i t y , a s t h e C h i n e s e , may h a v e
so m e th in g e q u i v a l e n t , fro m t h e s o c i a l c l a s s p o i n t o f v ie w ;
t h e y mqy e n c o u r a g e e a r l y m a r r i a g e s an d t h e y may c o n t r o l t h e
m atin g p r o c e s s .
S o c i a l c l a s s a lw a y s e n t e r s i n t o m a r r i a g e s
25 H e n ry P r a t t F a i r c h i l d , E co n o m ic s f o r t h e M i l l i o n s (New
Y ork, 1940) p . 1 3 6 .
26 H e n ry P r a t t F a i r c h i l d , The F o u n d a t i o n s o f S o c i a l L i f e
(New Y o rk , 1 92 7)
‘-------
a r r a n g e d b y m a tc h - m a k e r s o r p a r e n t s ; t h e h i g h e r t h e c l a s s ,
t h e m ore I t e n t e r s i n t o c o n s i d e r a t i o n .
I n t h e l a t e r m id d le
a g e s " t h e e v i l o f c h i l d m a r r i a g e s seem s t o h a v e b e e n m ore
27
common am ongst t h e u p p e r o l a s s e s . . • ."
The d o w ry s y s t e m , w h e r e v e r i n u s e , i s a s o o l a l a s w e l l
a s e co n o m ic i n s t r u m e n t .
I t m ig h t w e l l h a v e b e e n s e t u p i n
o rd er to e n tre n c h th e c la s s l i n e s .
I t b r in g s m arriag e to
th e p lan n e d stag ey and s o o l a l c l a s s c o n s i d e r a t i o n s a r e a p a r t
o f a l l p lan n e d m a r r ia g e s .
"•
.
• t h e c u sto m o f s e e k i n g ’good
p r o v i d e r s ' and d a u g h t e r s and widows ' w e l l p l a c e d ' was a s
28
f i r m l y f i s t e d i n M a s s a c h u s e t t s a s t h e common law i t s e l f . "
S p e o la llz a tio n in e t i q u e t t e and f a s h io n .
One o f t h e
means b y w h ic h e a c h s o c i a l c l a s s e x c e l s t h e one b e lo w i t ,
and p e r p e t u a t e s t h i s d i s t a n c e th ro u g h c a r e f u l t r a i n i n g o f
t h e c h i l d , i s b y s p e c i a l i z i n g I n e t i q u e t t e and f a s h i o n *
C h i l d r e n s e ld o m f a i l t o r e s p o n d t o p a r e n t a l ex am p le I n t h e s e
m a tte rs.
I f t h e f a t h e r w h i t t l e s an d s p i t s , t h e son m o st
l i k e l y w h i t t l e s an d s p i t s .
S o c i a l c l a s s c o m p a r i s o n s , i n v i d i o u s and o t h e r w i s e ,
a r e c o n s t a n t l y b e in g m ade.
T h is I s t r u e o f e v e ry s o c i a l
l a y e r fro m t h e d r e g s o f s o c i e t y t h a t l i e d r u n k I n f o u l s m e l l i n g d o o rw a y s up w ard t h r o u g h a l l t h e s o c i a l s t r a t a t o
27 A . Abram, E n g l i s h L i f e a n d M anners i n t h e L a t e r M id d le
A ges (London, 1913) p . 115.
28 C h a r l e s A . an d Mary R . B e a r d , The R i s e o f A m e ric an C i v i l i z a ­
tio n , v o l. I (New York, 19277 p . 136.
l a d i e s who n e v e r w e a r t h e same gown t o two s o c i a l f u n c t i o n s .
T a s t e i n c l o t h e s an d c a r e i n m a n n e r s , o r l a c k t h e r e o f , a r e
p a rts of th e d a ily l i f e
of every c l a s s .
T h e s e m a t t e r s p e r t a i n s o l e l y t o e x t e r n a l s ; t h e y do
n o t a p p l y t o t h e way i n d i v i d u a l s b e h a v e when n o t s u b j e c t t o
s o c i a l c l a s s c o m p a riso n s.
In f a c t , i t h a s b een th e c o m p la in t
o f many s e x o l o g i s t s t h a t t h e y o u n g e r g e n e r a t i o n i s
coached
much m o re In d i n i n g room e t i q u e t t e t h a n i t I s I n t h e m a n n e rs
r e q u i r e d to m a in ta in c o n n u b ia l f e l i c i t y .
The f i n e r s e n s i t i v i t i e s r e v o l v i n g a r o u n d e t i q u e t t e ,
d ev elo p ed by c a r e f u l t r a i n i n g , a re th e a e s t h e t i c s o f th e
s o c i a l c l a s s sy s te m .
Women, m ore c a r e f u l l y t r a i n e d i n t h e s e
m a t t e r s , f r e q u e n t l y cannot b r i n g th e m se lv e s t o s h a re a
h o u s e h o l d w i t h p o o r l y t r a i n e d men; t h i s so m e tim e s r e s u l t s i n
sp in ste rh o o d .
In th e s o c i a l g a th e r in g s o f an y c l a s s above
t h a t o f p r o l e t a r i a n s t a t u s a s h o r t a g e o f " e l i g i b l e men" i s
o b v io u s.
At th e to p o f th e s o c ia l s c a le th e r e I s a g r e a t
s u r p l u s o f women; a t t h e v e r y b o tto m many men h a v e t o s h a r e
t h e a t t e n t i o n s o f b u t few women.
T h e r e i s f a s h i o n i n m ore t h a n c l o t h e s a n d e t i q u e t t e
beyond p a r l o r r u l e s .
The c o n d i t i o n o f h a n d s , c h o i c e o f r e ­
m arks, k in d s o f p a t t e r , of a c c e n t, o f p au ses in co n v ersa­
t i o n , l i t t l e m ovem ents o f t h e h e a d a n d h a n d , m e a n i n g f u l
g l a n c e s — a l l t h e s e a s p e c t s o f b r e e d i n g m ark one man fro m
a n o t h e r a n d i n d i c a t e t h e c i r c l e i n w h ic h h e m o v e s .
M id d le
c la s s r a d ic a ls have tro u b le f r a te r n iz in g w ith r e a l w orkers.
T hey do n o t know, and c a n n o t e a s i l y l e a r n , how t o b e h a v e on
th a t le v e l.
S e c r e c y and s n o b b e r y .
”A p r i v i l e g e d s t r a t u m c o n ­
s c i o u s l y o r u n o o n sc io u sly v e i l s i t s e l f in m y stery in o rd e r to
a p p e a r t o t h e d i s a d v a n t a g e d l e v e l s g r e a t e r , m ore p o w e r f u l ,
29
a n d m o re w o r t h y o f r e s p e c t t h a t i t a c t u a l l y i s , ”
s a y s von
W ie s e , an d Landtman shows t h a t ” a d i s t i n c t f e a t u r e o f t h e
a r i s t o c r a t i c r a n k s among c e r t a i n p e o p l e s i s t h e i r s e p a r a t e
30
l a n g u a g e o r mode o f u s i n g t h e p o p u l a r v e r n a c u l a r • ”
In fo rm e r c e n t u r ie s th e a b i l i t y o f th e u p p e r c la s s e s
t o r e a d a n d w r i t e l e n t im m e a s u r a b ly t o t h e i r p r e s t i g e .
(C rude
i n d e e d w ere t h e u p p e r c l a s s e s i n P r a n c e i n t h e n i n t h c e n t u r y who
h a d t e m p o r a r i l y l o s t t h e i r k n o w le d g e o f w r i t i n g . )
T oday i t i s
h a r d t o v i s u a l i z e t h e gap o n c e e x i s t i n g b e tw e e n t h e r e a d and
th e u n re a d .
More t h a n l e a r n i n g was i n v o l v e d h e r e : t h e m y s t e r y
o f s e c r e t k n o w le d g e o v e r-a w e d t h e i l l i t e r a t e .
H i g h e r o l a s s e s make p r e t e n s e a t p o s s e s s i n g s p e c i a l
k n o w le d g e b y s a b o t a g i n g c o n v e r s a t i o n a b o u t c e r t a i n
when t a l k i n g w i t h p e r s o n s o f l o w e r c l a s s s t a n d i n g .
s c e n s i o n , n o n -c o m m itta l r e s p o n s e s , l i f t e d
to p ic s
Conde­
e y eb ro w s ( a l l t h e
t r i c k s known t o s c h o o l t e a c h e r s t o g a i n r e s p e c t an d t o a p p e a r
t o know much m ore t h a n t h e y d o ) a r e u s e d b y t h e h i g h e r c l a s s e s
29 von W ie s e , 0£ . o i t . , p . 3 1 2 .
30 L a n d tm a n , o p . c l t . , p . 3 0 3 .
i n t h e p r e s e n c e o f t h o s e who p a y d e f e r e n c e t o th e m .
If a
lo w e r c l a s s p e r s o n f a i l s t o p a y d e f e r e n c e i n t h i s r e g a r d ,
h u t i n s t e a d s e t s h i m s e l f u p t o t a l k a s "man t o m an ," h e may
f e e l t h e a tm o s p h e r e c h i l l , a s a c h i l d d o e s when h e h a s
sp o k e n o u t o f t u r n .
H i g h e r c l a s s e s do n o t w i s h t o m e e t i d e a
w i t h i d e a ; d i s d a i n i s a m ore p o w e r f u l w e a p o n .
I t d e n ie s
th e a rg u e r h i s a u d ie n c e ; r e f u s a l to d is o u s s im p lie s g r e a te r
u n d e r s t a n d i n g , s u r p a s s i n g t h e c o m p r e h e n s io n o f t h e o t h e r
p a rty .
By t h e s e means t h e members o f t h e lo w e r c l a s s e s a r e
f l u s te r e d , u p s e t, and em barrassed.
T h e i r moment o f weak­
n e s s i s a moment o f s t r e n g t h f o r t h e h i g h e r c l a s s e s .
t a k e a d v a n t a g e o f i t b y a s s u m in g a s u p e r i o r p o s e .
T hese
T h is l n -
s c r u t ib l e a lo o fn e ss a c ts as a b a r r i e r t o in f o r m a lity , in ­
t i m a c y , o r s o c i a l e q u a l i t y . T h i s " b e n e a t h my d i g n i t y "
31
a t t i t u d e , s a y s von W ie s e ,
i s w hat i n f u r i a t e s t h e s e l f - m a d e
m an.
R e g a rd f o r g e n e a l o g y .
The h i g h e s t c l a s s i n e v e r y
s o c i e t y h a s a sy s te m o f p e d i g r e e s , and l i n e a g e t e n d s t o make
t h e c l a s s s t r u c t u r e r i g i d down t o t h e am orphous d r e g s upon
w h ich i t r e s t s .
O nly t h e l o w e s t s l a v e h a s t o f a c e t h e i g ­
n om iny o f n o t k now ing o r c a r i n g who h i s p a r e n t s w e re .
I t i s e x c e e d i n g l y d i f f i c u l t f o r a p e r s o n , even o f
31 von W ie s e ,
0|>.
o l t . . p . 297.
o n l y m id d l e c l a s s s t a n d i n g , t o f a l l i n t o t h e g u t t e r a n d s t a y
th e re *
I t i s even h a r d e r f o r a p e rs o n b orn in th e g u t t e r ,
and d r a g g e d t h r o u g h i t i n c h i l d h o o d , t o r i s e v e r y f a r a b o v e
it.
T h is i s n o t a l t o g e t h e r b e c a u s e o f p r o p e r ty c o n s id e r a ­
t i o n s o r ev en t r a i n i n g .
To a l a r g e e x t e n t t h e f a c t t h a t
o t h e r p e o p l e know t h e p a r e n t s fro m whom one h a s s p r u n g
e i t h e r g iv e s one a g r e a t b o o s t o r hangs a s a m i l l s t o n e a ro u n d
o n e 's n e c k .
To a r g u e t h a t i n l a r g e c i t i e s o t h e r p e o p l e do n o t know
a p e r s o n 's p a r e n t s presum es t h a t th e p e rs o n co n cern ed l i v e s
i n a d i f f e r e n t c i t y fro m t h a t o f h i s p a r e n t s , t h a t h e n e v e r
d e s c r i b e s h i s f a m i l y b a c k g r o u n d , an d t h a t h e h a s o h a n g ed t h e
h a b i t s a c q u i r e d a t hom e.
O n ly a m in u t e p o r t i o n o f t h e p o p u ­
l a t i o n m e e ts t h e s e c o n d i t i o n s .
I t is f o l l y to tr y to c ra sh
h ig h e r c i r c l e s b y p r e te n d in g "orphan b i r t h . "
I t i s commonly assum ed t h a t o n l y o l d a u n t s and
g e n e a lo g ic a l f a n a t i c s a re co n cern ed w ith lin e a g e in t h i s
c o u n try .
B u t i s n o t t h e g e n e a l o g i c a l room a t t h e New Y o rk
P u h l i o L i b r a r y a s l a r g e a s t h a t g i v e n o v e r t o A m e ric an h i s ­
to ry !
F u r t h e r m o r e , l i n e a g e h a s a b r o a d e r a n d d e e p e r m e a n in g ;
e v e r y n e ig h b o r h o o d i s c o n s t a n t l y e v a l u a t i n g c h i l d r e n a c c o r d ­
i n g t o t h e i r p a r e n t s , a n d v i c e v e r s a ; and s i n c e t h e r e i s a n
o v e rla p p in g g e n e r a tio n , t h i s a p p lie s a ls o to g r a n d c h ild r e n .
Low c l a s s s t a n d i n g p l a c e s a h e a v y m ark upon t h e c h i l d r e n
and c h i l d r e n ' s c h i l d r e n .
To t h i s d a y , tw e lv e c e n t u r i e s a f t e r
t h e o c c u r r e n c e , t h e p e a s a n t r y o f A s t u r i a s a r e " d i v i d e d b e tw e e n
t h e d e s c e n d a n t s o f t h o s e who a i d e d t h e p a t r i o t P e l a y o a g a i n s t
t h e M o o rs, and t h o s e who d i d n o t — so s t r o n g I s t h e i n f l u 32
e n c e o f t r a d i t i o n a n d d e a d a n c e s t r y , 1*
I t i s d i f f i c u l t t o o v e r r a t e t h i s cu sto m o f p a y in g
h on or to fa m ily b ackground; i t
to o s i g n i f i c a n t l y ,
i s fo u n d t o o f r e q u e n t l y and
"Some o f t h e D u tc h s e t t l e r s who came t o
New Am sterdam a n d f o u n d e d i m p o r t a n t f a m i l i e s t h e r e n a t u r a l l y
b r o u g h t t h e i r c o a t s - o f - a r m s w ith them a s p a r t o f t h e i r w o r d ly
33
gear
I f a f a m i l y i s p r o u d o f i t s nam e, I t i s m o st l i k e l y
p a y in g a t t e n t i o n to m a tte r s of s o c i a l c l a s s .
lin e a g e c o n sc io u s, i t
If I t is not
i s p r o b a b l y c a r e l e s s a b o u t o t h e r m a t­
t e r s w h ic h make f o r t h e r e t e n t i o n o r a c h i e v e m e n t o f r e s p e c t ­
a b le s o c i a l c la s s s ta n d in g .
O o nqu est an d w a r .
T here I s a p o p u la r , o r o n c e - p o p u la r ,
t h e o r y t h a t t h e s o c i a l c l a s s h i e r a r c h y i s composed o f l a y e r s
o f " r a c e s " who o n c e s t o o d I n t h e r e l a t i o n s h i p o f c o n q u e r o r s
a nd c o n q u e r e d .
T rue i t I s t h a t t h e r e h av e been i n s t a n c e s
i n w h ic h t h i s t h e o r y h a s h ad v a l i d i t y .
H o w ev e r, t h e g e n e r a l i ­
z a t i o n t h a t c l a s s e s a r i s e t h r o u g h war a n d a r e f i n a l l y f i x e d b y
c o n q u e s t i s to o s w e e p in g t o b e o f v a l u e .
( I n s ta n c e s o f con­
q u e s t s w h ic h d i d n o t g r e a t l y a f f e c t t h e s o c i a l c l a s s s y s t e m ,
32 B a n c r o f t , 0£ . c l t , . v o l . V I, p . 2 3 ,
33 Anne H o l l i n g s w o r t h W h a rto n , E n g l i s h A n c e s t r a l Homes o f
N o te d A m e ric a n s ( P h i l a d e l p h i a , l"5T5T~pT~S"9§"I
as h a s been a s s e n te d , w i l l be ta k e n up in l a t e r c h a p te r s .
A ls o I t m u st b e r e p e a t e d , w a rs unmake s o c i a l c l a s s e s . )
H e re
i t i s p o s s i b l e t o d i s c u s s o n l y t h e e x t e n t t o w h ic h t h e s e two
d e v i c e s h a v e c o n t r i b u t e d to w a rd m ak in g s o c i a l c l a s s s t r u c ­
tu re s r i g id .
A s h a r p d i s t i n c t i o n s h o u l d b e made b e tw e e n t h e c o n q u e s t
o f p r i m i t i v e s and t h e c o n q u e s t o f c i v i l i z e d p e o p l e s .
I n th e
case o f th e fo rm e r, th e d isp lac em e n t o f th e e x i s t i n g c la s s
s t r u c t u r e i s l i k e l y t o b e m ore v i o l e n t a n d r a d i c a l t h a n when
c i v i l i z e d p e o p le s a re co nquered.
The d i f f e r e n c e b e tw e e n t h e
t r e a t m e n t o f t h e B o e r s b y t h e B r i t i s h and t h e i r common t r e a t 34
m ent o f t h e n a t i v e s i s a c a s e i n p o i n t .
A l t h o u g h a l l ex am p le s o f s o c i a l c l a s s f o r m a t i o n t h r o u g h
c o n q u e st sh o u ld be ch ec k ed , t h e r e i s no d o u b t a s t o th e g e n ­
e r a l e f f e c t o f t h e c o n q u e s t o f S o u th A m e ric a n I n d i a n s b y
E u ro p ean s.
N ot a l l t h o s e w i t h l i g h t e r c o m p le x io n s a r e h i g h
in s t a t u s , b u t t h e r e i s a ten d e n cy In th e d i r e c t i o n o f d i s ­
p l a c i n g t h e a u t h o r i t y and p r e s t i g e o f l e a d i n g n a t i v e s , an d
a t e n d e n c y t o s u p e r im p o s e t h e E u ro p e a n c l a s s s y s te m u p o n t h e
35
w h o le p o p u l a t i o n , w h ic h p l a c e s t h e n a t i v e a t a d i s a d v a n t a g e .
The c l a s s i c a l t h e o r y o f c o n q u e s t d e s e r v e s a t l e a s t
m en tio n and a h e a r i n g h e r e .
And i t m u s t b e b o r n e i n m ind
t h a t I t h a s a p p l i c a b i l i t y i n many I n s t a n c e s .
F u rth e rm o re ,
34 C a r t e r G. W oodson, A f r i c a n H e ro e s a n d H e r o i n e s (W a s h in g to n ,
1939) p . 1 8 9 .
35 A.W. P e z e t , "T he L a t i n A m e r i c a n s ," i n I m m ig ra n t B a c k g r o u n d s ,
H e n ry P r a t t F a i r c h i l d , e d . (New Y o rk , 1 9 2 7 ) p . 1 7 1 .
th e re i s a d e e p -se a te d h a l f - t r u t h in th e th e o ry i t s e l f .
R a t z e l ’ s f o r m u l a t i o n r e a d s : ’’Yfhere war i s c a r r i e d on and
b o o t y a c q u i r e d , g r e a t e r d i f f e r e n c e s a r i s e , w h ic h f i n d t h e i r
e x p r e s s i o n i n t h e o w n e r s h ip o f s l a v e s , women, a r m s , and
36
37
s p i r i t e d m o u n ts .”
O pp en h eim er i s m ore p o s i t i v e . He s a y s :
A so u n d s o c i o l o g y h a s t o r e c a l l t h e f a c t t h a t c l a s s
fo rm a tio n in h l s t o r l o tim e s d id n o t ta k e p la c e th ro u g h
g r a d u a l ' d i f f e r e n t i a t i o n i n p a c i f i c e co n o m ic c o m p e t i t i o n ,
b u t was t h e r e s u l t o f v i o l e n t c o n q u e s t an d s u b j u g a t i o n .
Gumplowicz i n d i c a t e s t h e e t h n i c a s p e c t i n s t a t i n g t h e t h e o r y .
’’S o c i a l i n e q u a l i t y , ” h e s a y s , ” a r i s e s o r i g i n a l l y fro m t h e
u n i o n ( Z u s a m m e n tr e ff e n ) o f d i s t i n c t ( h e t e r o g e n ) e t h n l o a l
38
e l e m e n t s o f u n l i k e power . • • . ”
T h is a l i e n i s m , p lu s
c o n q u e s t , t e n d s t o make f o r r e l a t i v e i n f l e x i b i l i t y b e tw e e n
39
t h e c l a s s e s , a c c o r d i n g t o Sum ner.
An ex am p le o f t h i s
rig id ity is
to be fou n d in t h e h i s t o r y o f t h e E n g lis h v i l ­
l a g e o f C r a w le y , w here t h e o l d C e l t i c v i l l a g e was s u b o r ­
d i n a t e d t o t h e y o u n g e r A n g lo -S a x o n v i l l a g e an d g i v e n t h e
40
”m e n l a l t a s k s and w eek-w ork . • • • ”
Much t h e same c o u ld b e s a i d o f t h e
s o c ia l c la s s e s in
t h e B a l t i c s t a t e s , u p t o t h e w i t h d r a w a l o f t h e Germ ans and
41
th e r e c e n t e n tra n c e o f S o v ie t a u th o r i ty t h e r e .
B ut th e
36 Taken fro m F ra n z O p p e n h e im e r, The S t a t e , t r . J .M . G i t t e r m a n
(New Y o rk , 1 9 2 6 ) p . 3 6 .
37 I b i d . , p . v i l i .
38 G u m plow icz, o p . c l t . . p . 1 3 4 .
39 Sum ner and K e l l e r , 0£ . c l t . , p . 5 8 2 .
40 Norman S c o t t a n d E t E e l C u l b e r t G r a s , The E conom ic an d
S o c i a l H i s t o r y o f an E n g l i s h V i l l a g e . ( C r a w le y . Hamp­
s h i r e ) A .D . d09^T92§‘ ( C a m b rid g e , M a s s a c h u s e t t s , 1 93 0) p . 8 .
41 A r t h u r R u h l , ”R u s s i a n s and B a l t i c P e o p l e s , ” I n Im m ig r a n t
B a c k g r o u n d s . e d . H e n ry P r a t t F a i r c h i l d (New Y o r k , 1927)
p . 226.
N orm ans, a s w i l l be show n, d i d n o t p e r m a n e n t l y e s t a b l i s h
e i t h e r a h i g h e r n o b i l i t y o r ev en a h i g h c l a s s i n E n g la n d ,
a s h a s so o f t e n b e e n a l l e g e d .
P r i m o g e n i t u r e and e n t a i l .
D ire c tly re sp o n sib le fo r
much s o c i a l c l a s s r i g i d i t y a r e m e c h a n ism s s u c h a s p r i m o g e n i ­
t u r e an d e n t a i l .
T h i s I s b e c a u s e o f t h e i r e f f e c t upon t h e
f a m i l i e s o u t o f w h ich t h e s o c i a l c l a s s e s a r e f o r m e d .
T hey
p r e s e r v e f a m ily f o r tu n e s i n t a c t , i n c r e a s e th e uneven d i s ­
t r i b u t i o n o f w e a lth , encourage a r i s t o c r a t i o
a c t i o n , an d e n t r e n c h c o n s e r v a t i s m .
th o u g h t and
In sta n c e s of t h is p ra c ­
t i c e a r e t o b e f o u n d among p r i m i t i v e s i n a n c i e n t c i v i l i z a ­
t i o n s , and I n m odern n a t i o n s w i t h s t r o n g a r i s t o c r a t i c i n s t i ­
tu tio n s .
The e f f e o t o f p r i m o g e n i t u r e I s n o t t o g i v e a l l t h e
c h i l d r e n o f an u p p e r c l a s s f a m i l y e q u a l l y h i g h s t a t u s .
e f f e c t , w h e th e r i n t e n d e d o r n o t , i s
name a n d l i n e ,
h ig h p o s itio n s ,
The
(1 ) t o p re s e rv e th e fa m ily
(2 ) t o l i m i t t h e num ber o f p e r s o n s i n v e r y
(3 ) t o i n s u r e t h e i r h i g h s t a t u s , and (4 ) t o
f o r c e p a r t s o f e v e r y h i g h f a m i l y dow nw ard, a s i f t o make them
t a k e t h e f r o n t l i n e t r e n c h e s a g a i n s t t h e t h r e a t s f ro m lo w e r
c la s s c o m p e titio n .
When i n f u l l s w in g , p r i m o g e n i t u r e and
e n t a i l w e re p o w e r f u l i n s t r u m e n t s w i t h w h ic h t o b e a t b a c k
t h e m a s s e s , b y u s i n g y o u n g e r b r o t h e r s a s s h o c k t r o o p s and
p r o p e r ty as o rdnance.
I n e a r l y G r e e c e a n d a n c i e n t I n d i a I t was t h e r u l e t h a t
a l l p r o p e r t y " s h o u l d r e m a in I n t h e f a m i l y t o w h ic h r e l i g i o n
42
had a tta c h e d I t . "
W i l l s , a s known t o d a y , w e re unknown t h e n .
T h i s c u s to m , w h ic h becam e l e s s p r o n o u n c e d d u r i n g t h e p e a k
o f th e a n c ie n t c ity c iv i l iz a t i o n s ,
was f o u n d a g a i n t o be
th e c o rn e rsto n e of th e s o c ia l c la s s i n s t i t u t i o n s of th e
43
feudal e ra ,
and a l s o , a s one w ou ld e x p e c t , among t h e
44
A z te c s.
Much o f t h e a r i s t o c r a t i c t r e n d i n t h e c o l o n i e s
45
was t r a c e a b l e t o t h e p r a c t i c e o f e n t a i l a n d p r i m o g e n i t u r e .
J e f f e r s o n ho ped t h a t much s o c i a l e q u a l i t y w ou ld r e s u l t fro m
t h e a b o l i t i o n o f t h e s e tw o d e v i c e s , b u t many s o u t h e r n
f a m i l i e s u s e d t h e w i l l t o a c c o m p l i s h much t h e same r e s u l t .
The u s e o f a n c i e n t c a l l i n g s .
T ra d itio n la y s a heavy
h a n d upon a l l human r e l a t i o n s h i p s t o g u i d e them i n t o c h a n ­
n e l s o ld w ith tim e .
Such a n i m p o r t a n t t h i n g a s a b y - g o n e
eco n o m ic s y s te m can h a v e t h e e f f e c t o f h o l d i n g t h e c l a s s
l i n e s s t e a d i e r t h a n o t h e r w i s e w ould b e t h e c a s e .
In b o t h
Borne and E n g la n d c l o s e c o n n e c t i o n w i t h l a n d e d e s t a t e s was
46
(an d i n E n g la n d s t i l l I s ) a s o u r o e o f s o c i a l p r e s t i g e .
A m e r ic a , once a g r i c u l t u r a l , h a s c e a s e d t o a t t a c h s o c i a l im­
p o rta n c e to a g r a r ia n r e s id e n c e or p u r s u i t s .
Some e s t a t e s ,
such as B lltm o r e , a re o n ly r e f l e c t i o n s o f an age a l r e a d y p a s s e d .
42
43
44
45
46
N .D . P u s t e l de C o u l a n g e s , o p . c l t . . p . 1 0 5 .
D ix o n a n d E b e r h a r t , 0£ . o i t . . p . 1 4 1 .
B a n c ro ft, op. c l t . . v o l. i l , p . 225.
B e a r d an d B e a r d , o p . c l t . . p . 1 3 5 .
C h a r l e s M. A ndrew s, The C o l o n i a l P e r i o d o f A m e ric a n H i s ­
t o r y . v o l . I I (New H a v e n , 1 9 3 6 y p . 2 0 0 .
" A g ric u ltu re s t i l l h e ld In th e e s tim a tio n o f th e
G re e k s a c e r t a i n p r i m a c y a s t h e m o st a n c i e n t an d m o st n a t u r a l
47
of c a llin g s ."
S o c r a te s and A r i s t o t l e b o th p r a i s e d t h i s
id e a .
In I n d ia th e lo n g s ta n d in g p r e s t i g e o f r e l i g i o u s
fu n c tio n s ten d s to le n d d i g n it y to th o s e a s s o c ia te d w ith
t h e i r m o st d e v o u t o b s e r v a n c e ; w h e r e a s among t h e C h in e s e i t
I s t h e a n c i e n t p r o f e s s i o n o f t h e g o v e r n m e n ta l b u r e a u c r a t
w h ic h i s r e p u t e d l y m o s t h i g h l y e s t e e m e d .
I n s m a l l to w ns i n
t h e U n i t e d S t a t e s t o d a y b a n k i n g i s m ore h o n o r e d , a s s u c h ,
t h a n m an ag in g a c h a i n s t o r e , and l a w y e r s t e n d t o assume
g r e a te r d ig n ity th an l o c a l m a n u fa c tu re rs .
T h is i s I n p a r t
due to th e I n f lu e n c e o f a n c ie n t c a l l i n g s .
Toward t h e s e
th e c o n s e r v a tiv e u p p e r c l a s s e s te n d t o l e a n , a lth o u g h th e y
w i l l d e s e r t r e l i g i o n , g o v e r n m e n ta l s e r v i c e , a g r i c u l t u r e , o r
a n y f u n c t i o n when i t
lo s e s I t s honor; t h a t , to o , i s a p a r t
o f th e s tr a te g y o f s t a tu s r e t e n t i o n .
E d u c a t i o n and a p p r e n t i c e s h i p .
W h erev e r e d u c a t i o n I s
m o n o p o liz e d b y t h e u p p e r c l a s s e s , t h e r e w i l l b e l i t t l e
c irc u la tio n .
so c ia l
W h e re v e r t h e lo w e r c l a s s e s a r e p r o v i d e d w i t h a
p r a c t i c a l t r a i n i n g , t h e same r i g i d i t y w i l l r e s u l t .
g rie v o u s e r r o r t o im a g in e , how ever,
I t Is a
th a t to g iv e th e c h i l ­
d r e n o f a l l c l a s s e s u n i f o r m l y t h e same p r e - c o l l e g i a t e s e c o n d ­
a r y t r a i n i n g w i l l k e e p t h e s o c i a l c l a s s l i n e s l o o s e and
47 J . B . B u r y , e t a l . , A t h e n s , v o l . V o f t h e Cam bridge A n c i e n t
H ls to r y ~ T C a m b r l d g e . 1927) p . 1 2 .
f l e x i b l e , t h a t i t w i l l p r o v i d e f o r t h e upw ard p e r c o l a t i o n
o f m o st o f t h e t a l e n t e d .
( T h is q u e s t i o n w i l l b e d i s c u s s e d
in g r e a t d e t a i l in a l a t e r c h a p te r .)
E xam ples o f m a s s e s k e p t i n i g n o r a n c e a r e m any.
In
how many t i m e s an d p l a c e s w o u ld t h e f o l l o w i n g s e n t e n c e b e
a p p lic a b le I
" H e re t h e s c h o o l s o f l e a r n i n g w ere open t o t h e
c h i l d r e n o f t h e h i g h e r c l a s s e s ; a p o o r man was c o n t e n t t o
t e a c h h i s so n h i s own t r a d e . "
E d u c a t i o n and a p p r e n t i c e s h i p , b r o a d l y i n t e r p r e t e d ,
a r e th e m a in sta y s o f e v e ry s o c i a l c la s s sy ste m .
ta in th e
T hey m a in ­
s o c i a l c l a s s s t r u c t u r e ; t h e y c a n n o t u n d e rm in e i t .
F o r i n s t a n c e , th e p u p i l s o f th e c o u n ty h ig h sc h o o l a t P o tw in ,
K ansas, stu d y o n ly such s u b je c ts a s a re re c o g n iz e d f o r en­
t r a n c e I n t o c o l l e g e , b u t o n l y o ne o r two o u t o f t h i r t y t a k e
f u r t h e r a c a d e m ic t r a i n i n g ;
w ere.
t h e y s t a y w here t h e i r p a r e n t s
The s o c i a l c l a s s s y s te m d o e s n o t b u d g e .
t r a i n i n g I s g i v e n I n m o st E u ro p e a n c o u n t r i e s .
The o p p o s i t e
The p a r e n t s
a r e a s k e d e a r l y t o c h o o s e b e tw e e n a p p r e n t i c e s h i p and t h e
Gymnasium.
The common p e o p l e m u s t c h o o s e t h e f o r m e r .
In ­
d e e d , t h e e f f e o t s o f t h e two s y s te m s o f t r a i n i n g a r e p r a c ­
t i c a l l y t h e sam e, s o f a r a s t h e c l a s s s t r u c t u r e i s c o n c e r n e d .
I n A m e r ic a , w here l o w e r c l a s s b o y s a r e g i v e n some h o p e
of h ig h e r e d u c a tio n , th e h ig h e r c la s s e s , In d eed , r e c e iv e , in
a d d i t i o n , s p e c i a l p r e p a r a t i o n ; f o r them a r e p r o v i d e d : t u t o r s ,
cram s c h o o l s , f a s h i o n a b l e c o l l e g e s , p r o f e s s i o n a l s c h o o l s ,
a n d s p e c i a l c o n n e c t i o n s when t h e y g r a d u a t e *
I s n o t m a ss s o c i a l m o b i l i t y .
The end r e s u l t
A m e r i c a 's a b u n d a n c e , o u t o f
w h ic h i s p r o v i d e d much e d u c a t i o n , i s a l s o s u p e r a b u n d a n c e
f o r th e fav o red c la s s e s .
E c o lo g ic a l f a c t o r s .
M a n 's s p a t i a l r e l a t i o n s h i p s ,
t h e s u b j e c t m a t t e r o f e c o l o g y , a lw a y s a f f e c t h i s i n s t i t u t i o n s
In h i s s e a r c h f o r a p la c e to l i v e , a c c e p ta b le t o h is c l a s s ,
one man c o m p e te s w i t h a n o t h e r , i n t h e b i o t i c
sense.
In
la rg e c i t i e s s t a tu s e x p re sse s i t s e l f to a g r e a t e x te n t b o th
i n t h e l o c a t i o n an d t y p e o f a p a r t m e n t i n w h ic h a f a m i l y l i v e s
W henever man r o a m s , h e h a s no f i x e d s o c i a l c l a s s e s ;
w h e r e v e r h e l i v e s i n t h e c o n g r e g a t i o n o f com m unity l i f e h e
48
s p e c i a l i z e s i n h i s o c c u p a t i o n a l and s o c i a l f u n c t i o n s .
H is
c l a s s s t r u c t u r e i s much f i r m e r .
The c o n c e n t r a t i o n o f t h e
p o p u l a t i o n m akes f o r e x tr e m e s i n s o c i a l s t a n d i n g b e c a u s e o f
th e s tru g g le f o r sp a ce .
O ity b u i l d i n g a ls o m eans, a s a r u l e , th e c e n t r a l i z a ­
t i o n o f p o w e r , and t h i s h a s m ore e a s i l y l e d t o i t s r e s t r i c ­
tio n in few er h a n d s .
O n ly a s c i v i l i z a t i o n s d i s i n t e g r a t e ,
an d s a n e t i m e s n o t even t h e n , a r e t h e r e s i g n s o f t h e w eaken­
i n g o f t h e pow er o f t h e u p p e r c l a s s e s i n h i g h l y c o n c e n t r a t e d
areas•
On t h e o t h e r h a n d , when c i t i e s a r e i n t h e i r h i g h t i d e ,
48 M.C. B u r k i t t , Our E a r l y A n c e s t o r s (C a m b rid g e , 1 926 ) p , 5 1 .
t h e y a t t a i n power o v e r t h e h i n t e r l a n d o f s u c h m a g n i t u d e
t h a t th e e f f e c t haa o f te n been t o g iv e th e c i t y d w e lle r s a
f a l s e s e n s e o f p e rm a n e n t p r o s p e r i t y , w h i l e t h e r u r a l c l a s s e s
fro m t o p t o b o t t o m h a v e s u f f e r e d fro m t h e d e s p a i r o f p r o l o n g e d
d e p re ssio n *
The a g o n ie s o f d i s l o c a t i o n c a u s e d b y f l i g h t from
d e c a y i n g c i t i e s come a s a n ech o o f th e m i s e r i e s o f a g r a r i a n
p o p u la tio n s d u rin g th e p rec ed in g p e rio d .
S e rfd o m a n d p e o n a g e .
T h e r e i s a t h e o r y , an d i t
so u n d s
p l a u s i b l e , t h a t i n t h e e a r l y d a y s o f t h e Temple Towns man
h a d n o t d e v e l o p e d g o v e rn m e n t t o t h e p o i n t w h e re c o n t r o l o v e r
i n d i v i d u a l s c o u ld b e t r u a t e d t o th e g e n e r a l la w -e n fo rc e m e n t
a g e n c i e s a n d t h a t t h e d e v i c e o f p o s s e s s i o n , o f w h ic h se rfd o m
i s a f o r m , i n w h ic h r e g u l a t i o n s an d c o n t r o l s w ere e n f o r c e d b y
t h e o w n e r s , p r o d u c e d la w a n d o r d e r w i t h o u t a h i g h l y d e v e l o p e d
g o v e r n m e n t a l sy s te m *
The p a t r o n c o n t r o l l e d h i s c l i e n t s ,
c a lle d h e lo ts in S p a rta .
Roman and m e d i e v a l h i s t o r y i s
f i l l e d w i t h a c c o u n t s o f s e r f s and o t h e r p r i v a t e l y s u p e r v i s e d
human g r o u p s o f many k i n d s ; i n S o u th A m e ric a t h e same s y s te m
h a s t a k e n t h e s p e c i a l fo rm o f p e o n a g e .
The U n i t e d S t a t e s i n
t h e t w e n t i e t h c e n t u r y h a s n o t b e en a l t o g e t h e r f r e e from t h i s
d e v ic e .
"T he I m m i g r a t i o n Com mission made a t h o r o u g h i n v e s t i ­
g a ti o n o f t h i s s u b j e c t , and found e v id e n c e s o f peonage in
49
e v e r y s t a t e i n t h e U n io n , e x c e p t Oklahom a an d C o n n e c t i c u t . "
49 H e n ry P r a t t F a i r c h i l d , I m m i g r a t i o n (New Y o r k , 1 925) p . 2 7 9 .
The e f f e c t s o f se rfd o m upon f l e x i b i l i t y i n t h e s o c i a l
c l a s s s y s te m a r e i m m e d i a t e l y p e r c e i v a b l e .
J a p a n ’ s fam ous
f i v e c e n t u r i e s o f s t a b i l i t y an d b a l a n c e d s o c i a l l i f e
upon bondsm en a t i t s econom ic a n d s o c i a l b a s e .
re ste d
So p e r f e c t
was t h e p a t t e r n i n many p l a c e s , s o d e p e n d a b l e , so s i m p le i n
o r g a n i z a t i o n , t h a t many m odern t h i n k e r s l o o k b a c k w i t h
n o s t a l g i a upon t h a t a g e when e a c h man s t o o d i n h i s p l a c e
secu re.
(The m odern c o u n t e r p a r t o f a r i g i d s o c i o - l e g a l
schem e i s m i l i t a r y o r g a n i z a t i o n , w h e re e a c h man i s t o l d w hat
t o do a s w e l l a s w h e re t o s t a y . )
P re s tig e of a l l th in g s o ld .
tu re is a n c ie n t.
The s o c i a l c l a s s s t r u c ­
I t i s a s y s te m o f human r e l a t i o n s s o o l d
and c u s to m a r y a s t o make t h e t h e o r y o f a c l a s s l e s s s o c i e t y
o r th e th e o ry o f u t t e r l o y a lty to th e s t a t e
(th e m ili ta r y
schem e r e f e r r e d t o a b o v e , c h a r a c t e r i s t i c o f N a t i o n a l S o c i a l i s m )
lo o k i n f a n t i l e in d e e d .
tig e
S o c i a l c l a s s e x c lu s iv e n e s s and p r e s ­
( l i k e r e l i g i o n , w a r, and g o v e rn m e n t) a r e t h e c h i l d r e n
o f t h e c u sto m s and m ores a n d a r e among t h e i r f i r s t - b o r n .
S o c io lo g is ts o fte n r e f e r t o th e t r a d i t i o n s , fo lk w ay s,
an d m o re s a s s o c i a l l y s i g n i f i c a n t w i t h r e s p e c t t o i n n u m e r a b l e
p h a s e s o f human l i f e ; y e t so m e tim e s t h e y i n f e r t h a t t h e
s o c i a l c l a s s e s a r e d e te rm in e d b y q u i t e c o n te m p o ra ry f a c t o r s
i n e c o n o m ic , p o l i t i c a l , an d s o c i a l l i f e .
to s o c ia l c la ss e s p e c ia lly , because o f i t s
A c tu a lly , in reg ard
in tim a te r e la tio n
t o f a m i l y l i f e , t h e pow er o f t r a d i t i o n i s s t r o n g e s t .
R e c o g n itio n
o f s o c i a l l y s u p e r i o r a n d i n f e r i o r f a m i l i e s i s o ne o f t h e
m o st e n t r e n c h e d o f human h a b i t s .
I f i t i s t r u e , a s i t was among t h e G r e e k s and Romans,
t h a t t h a t w h ic h i s a n c i e n t i s v e n e r a b l e an d s a c r e d , t h e n t h e
s o c i a l c l a s s s t r u c t u r e can b e s e e n t o r e s t s e c u r e l y upon a t
l e a s t one s o l i d r o c k : i t i s o l d and e n t r e n c h e d .
makes f o r I t s s o l i d i t y , i t s
I t s age
s t i f f n e s s , I t s r i g i d i t y , R a d ic a l
in d e e d i s th e n o tio n t h a t th e s o c i a l c l a s s s t r u c t u r e sh o u ld
b e u n d e rm in e d o r d e s t r o y e d .
The t h o u g h t o f s u c h a n e v e n t u a l i t y
I s I t s e l f a t h r e a t t o s o c i e t y ' s e x i s t e n c e , a s i t knows I t s e l f
to b e .
P ro b a b le i s th e h y p o th e s is t h a t th e c o n fu s io n in
p o l i t i c o - i n d u s t r i a l l e a d e r s h i p now s a i d t o r e i g n i n t h e
S o v ie t
U nion ( J u n e 1 , 1941) may w e l l r e s t upon t h e a b s e n c e
o f c u s to m a r y fo rm s o f d e f e r e n c e , p r e s t i g e , h o n o r , and p r i d e .
P o l i t i c a l le a d e r s h ip i s h a v in g d i f f i c u l t y s u p p la n tin g s o c i a l
c la ss in s titu tio n s .
S o l i und H a b e n .
The p o o r b o r r o w ; t h e r i c h l e n d .
T h is
t e n d s t o k e e p t h e p o o r p o o r and t o make t h e r i c h r i c h e r .
Of
c o u r s e , n o t a l l t h e p o o r b o r r o w , n o r o n l y t h e p o o r ; and a l l
who l e n d a r e n e i t h e r r i c h n o r h i g h c l a s s .
But th e le n d e r -
b o rro w er r e l a t i o n s h i p i s n o n e th e le s s a s o c i a l a s w e ll as
econo m ic r e a l i t y , an d s o l o n g a s c r e d i t i s I n p r i v a t e h a n d s ,
t h i s d e v ic e w i l l p ro b a b ly f u n c tio n in f a v o r o f th e fa v o re d .
I n Rome money was l e n t a t f o r t y p e r c e n t p e r annum, and
much o f t h e I n c r e a s e w en t t o t h e v e r y g e n tl e m e n who k e p t up
t h e p o s e o f n o t e n g a g i n g i n c o m m e r c ia l p u r s u i t s .
T h ey were
o s t e n s i b l y ab o v e s u c h a c t i v i t i e s .
The e f f e c t o f t h e d e b t o r - c r e d i t o r m echanism on a s o c i a l
49
c l a s s s y s te m i s g r a p h i c a l l y d e s c r i b e d b y B u r y ,
and t h e
i d e a s d e v e l o p e d c o n c e r n i n g G r e e c e w ould a p p l y u n i v e r s a l l y
w h e re v e r t h e m echanism i s i n o p e r a t i o n .
The o p p r e s s i o n o f d e b t I s f o u n d I n l o s t f a r m s , hom es,
and even p e r s o n a l l i b e r t y .
The c o u r s e o f d e b t t h r o u g h human
h i s t o r y i s a t r a i l o f r u i n f o r t h e many a n d p o w e r, o p u l e n c e ,
and l u x u r y f o r t h e f e w .
s c a le i t h a s added i t s
A l l t h e way u p and down t h e s o c i a l
i n f l u e n c e t o o t h e r s in k e ep in g th e
s o c i a l p y ram id b r o a d a t t h e b a s e a n d p o i n t e d a t t h e t o p .
The enemy a l i e n .
A n c i e n t a s t h e c l a s s s t r u c t u r e and
a f a c t o r i n i t s r i g i d i t y i s t h e c u sto m o f d i s t r u s t i n g and
so c ia lly r e s tric tin g stra n g e rs.
I t s b e a r i n g upon t h e s o c i a l
c l a s s e s i s t h i s : t h e m ore n u m ero u s t h e l i n e s w h ic h can b e
drawn t o d i s q u a l i f y o t h e r s fro m m oving i n t o a n y p a r t i c u l a r
g r o u p , th e s m a l l e r I t i s a n d t h e r e f o r e
t h e more e x c l u s i v e .
I f h a l f t h e p o p u l a t i o n can b e a r b i t r a r i l y d i s q u a l i f i e d from
th e s o c i a l c la s s s t r u g g l e by s l a v e r y , r a c e , o r n a t i o n a l i t y ,
th e n s o c i a l c la s s c o m p e titio n ta k e s p la c e o n ly w ith in th e
o th e r h a lf*
I f t h e s e l a t t e r can a g a i n b e d i v i d e d b y su c h
d e v i c e s a s l a n d o w n e r s h ip a n d t e n a n t r y , t h e num ber o f p e r s o n s
who c o u ld p o s s i b l y a s p i r e t o h i g h s t a t u s i s a g a i n r e d u c e d .
In a l l t h i s t h e o u t - g r o u p c o n c e p t " a l i e n ” p l a y s I t s p a r t .
49 J . B . B u r y , A H i s t o r y o f G r e e c e
(L o n d o n , 19 20) p p . 1 8 0 -1 8 1 .
I f t h e num ber o f a l i e n s i s s m a l l a n d d i s p e r s e d o r I f
t h e y a r e q u i t e h e t e r o g e n e o u s , t h e a l i e n s do n o t h a v e a
c h an c e t o s e g r e g a t e t h e m s e l v e s an d f o rm a c l a s s h i e r a r c h y o f
t h e i r own and a r e t h e r e f o r e l i k e l y t o b e d i s q u a l i f i e d from
a l l s o c ia l c la s s c o m p e titio n of s i g n i f ic a n c e .
I f , o n .th e
o t h e r h a n d , t h e y h a v e t h e i r own s o c i a l l a d d e r , t h e y s t i l l
do n o t com pete i n t h e s o c i a l a f f a i r s o f t h e c i t i z e n s o r n a t i v e s .
Rome u s e d a l i e n s a s a s o u r c e o f p r i v a t e Income f o r
h i g h e r c l a s s c i t i z e n s , a n d i n E n g la n d i n e a r l i e r c e n t u r e s t h e
c o n d i t i o n s u n d e r w h ic h s t r a n g e r s and f o r e i g n e r s w ere a l l o w e d
50
t o c a r r y on t r a d e i n
th e tow n s w ere d e l i b e r a t e l y c o m p l i c a t e d .
"The a t t i t u d e o f E n g lis h m e n to w a r d a l i e n s I n t h e l a t e r M id d le
Ages was one o f h o s t i l i t y
51
a l i e n s w ere n o t s a f e . "
. . . .
At tim e s th e l i v e s of
The dtory i s t o l d b y a r e p u t a b l e s o c i o l o g i s t o f a
German s c h o o l t e a c h e r fro m a n o t d i s t a n t to w n , whose w i f e was
a n a t i v e o f t h e p l a c e I t s e l f ; h e was a lw a y s r e f e r r e d t o a s
"th e f o r e i g n e r ."
T h is ty p e o f s o c i a l d is t a n c e does n o t d i s ­
ap p ear w ith th e d e a t h o f th e f i r s t g e n e r a tio n ; i t re m a in s,
52
even th o u g h a lw a y s w e a k e n in g " K ind un d K ln d e s k l n d g e g e n t ib e r ."
A lle n s, in th e s o c io lo g ic a l sen se, a re not a c la s s ,
b u t t h e i r p r e s e n c e h a s a t e n d e n c y , i n t h e c a s e o f M e x ic a n s ,
50 W .J . A s h l e y , An I n t r o d u c t i o n t o E n g l i s h Economic H i s t o r y
and T h e o r y . P a r t I I (New Y o r k , l $ i 4 ) p . 1 3 .
51 Abram, o p . c l t * . P* 1 0 3 .
52 L e o p o ld von tVi'ese, e d . , "D as D o rf a l s S o z l a l e G e b i l d e , "
i n E r g & n z u n g s h e f te zu d e n K ftln e r H e f te n f t i r S o z l o l o g l e .
H e f t I (M u n ic h , 1 9 2 8 7 p . 3 9 . S e e a l s o John D r i n k w a t e r ,
C o tsw o ld C h a r a c t e r s , Y a le R e v ie w , v o l . 1 0 , J u l y , 1 9 2 1 ,
p p . 839-843.
F r e n c h C a n a d i a n s , a n d some o f t h e r e c e n t i m m ig r a n ts from
E u ro p e, t o a f f e c t th e c l a s s s t r u c t u r e b y e n co u rag in g ex ­
c l u s i v e n e s s , i n c r e a s i n g l a n d v a l u e s , I n c r e a s i n g m a r k e t s , and
a d d in g t o t h e l a b o r s u p p ly *
T h is h a s g i v e n some o l d A m eri­
c a n s a b e t t e r o p p o r t u n i t y e c o n o m i c a l l y an d p r o f e s s i o n a l l y ,
o th e r s have been f u r t h e r d e p re s s e d by th e c o m p e titio n .
In
any c a s e , th e n e t r e s u l t has been to i n t e n s i f y th e s o c ia l
c la s s e s of t h i s n a tio n *
P rio rity .
T i r e l e s s l y , p r i o r i t y f u n c t i o n s t o keep
t h e newcomer fro m a t t a i n i n g s o c i a l e q u a l i t y .
T h o se who a r e
e s t a b l i s h e d p u t t h o s e who h a v e J u s t a r r i v e d t h r o u g h a p e r i o d
of i n it i a t i o n .
A p r o f e s s o r o f s o l i d f a m i l y b a c k g r o u n d and f i n e man­
n e r s m oved, n o t l o n g a g o , t o a s m a l l o l d town on t h e H u d so n .
He r e l a t e s t h a t t h o s e i n t h e town o f l o n g l o c a l a n c e s t r y and
o f u p p e r m id d l e c l a s s s t a n d i n g w e re a r i s t o c r a t i c a l l y e x o l u s i v e
w h e re a s t h o s e w i t h o n l y a d o z e n y e a r s ' p r i o r i t y assum ed t h e
l e s s r i p e n e d a i r s o f "o w n in g t h e p l a c e . "
The M a y flo w e r e m p h a s i s , i n so f a r a s i t b o l s t e r s c l a s s
p o s i t i o n , i s e s s e n t i a l l y one o f p r i o r i t y , and t h e p r e s t i g e
a c c r u i n g t o p i o n e e r s i s o f t h e same o r d e r .
P rio rity is a
p a r t o f t h e p a t t e r n o f b e h a v i o r I n w h io h o l d e r I m m ig r a n ts
t e n d t o l o o k down up on n e w er o n e s .
Among t h e o i v i l s e r v a n t s
o f E n g la n d who s e r v e i n I n d i a , e v e n among a l l t h e E n g l i s h
t h e r e , e x c e p t f o r p e rs o n s o f fo rm a l r a n k , p e o p le ta k e p r e ­
cedence a t p a r t i e s and have s o c i a l s ta n d in g a c c o rd in g to th e
l e n g t h o f t h e i r r e s i d e n c e I n t h e s e v e r a l c o m m u n i ti e s .
I t was n o t t h e t a l e n t e d s e r f who made u p t h e e a r l i e s t
53
g i l d s , b u t t h e l o c a l tow nsm en; t h e y h a d p r i o r i t y .
P rio rity
p l a y e d a m a j o r p a r t i n t h e d e v e lo p m e n t o f t h a t s y s te m o f
p r o t e c t i o n and m o nop oly known a s t h e g i l d s .
P e r s o n s w i t h p r i o r i t y i n many i n d u s t r i e s , n o t a b l y
b a n k i n g , o i l , a u t o m o b i l e s , e t c . , h a v e so m e tim e s fo u n d e d
g reat fo rtu n e s.
T h is i l l u s t r a t e s
t h e m u l t i p l e f o rm s w h io h
t h i s m echanism can t a k e .
The p r e s t i g e o f t h e C o lo n y Club a n d H a rv a r d U n i v e r s i t y
i s in p a r t lin k e d to t h e i r tim e -ra n k — th e y a re a s s o c ia te d
w i t h ’’f i r s t s . ’1
The h i g h e s t n o b l e s o f A r a b ia a r e t h o s e who
can t r a c e t h e i r d e s c e n t fro m F a t i m a , d a u g h t e r o f Mohammed.
F a m i l i e s i n A m erica w h ic h f i r s t b e g a n t o p u t Roman n u m e r a ls
a f t e r t h e i r s u r n a m e s , t h r o u g h t h e d e v i c e o f p r i o r i t y , a r e now
a b l e t o i m p r e s s o t h e r s w i t h a b i t m ore o f s o c i a l s t a t u s t h a n
t h e y w ould o t h e r w i s e h a v e .
C h a rism a an d o t h e r p e r s o n a l q u a l i t i e s .
I t i s commonly
r e o o g n i z e d , an d p r o b a b l y t o o o f t e n a c c l a i m e d , t h a t t h e c l a s s
s t r u c t u r e i s fo rm e d a c c o r d i n g t o t h e p e r s o n a l a t t r i b u t e s o f
t h e p e r s o n s who make u p t h e s o c i e t y .
The g r a c i o u s charm and
im p re ss iv e i n t e l l e c t u a l le a d e r s h ip o f th e upper c la s s e s as
o v e r a g a i n s t t h e som ber d u l l n e s s o f men who s t a n d h o u r s on
end i n c h ea p s a l o o n s seem t o v e r i f y t h i s o f t - a s s e r t e d
53 R .H . G r e t t o n , The E n g l i s h M id d le C l a s s (L o n d o n , 1917)
p p . 19-20.
h y p o th e s is .
B ut a re n o t th e s e d if f e r e n c e s th e r e s u l t o f
th e c la s s sy ste m , n o t t h e cause o f i t ?
Two c h i l d r e n a r e b o r n t h e same d a y .
At t h e a g e o f
two one p l a y s i n t h e s t r e e t , l e a r n s e a r l y t o dodge t r a f f i c ,
to a v o id ro ugh p la c e s in th e s id e w a lk , to d ig i n g arb ag e
c a n s ; h e s t a y s up t i l l t e n o ' c l o c k on summer n i g h t s .
co u rse o f tim e , n a t u r a l l y , h i s b r i g h t eyes re d d e n .
In th e
D u s t,
a d v e n t u r e , s t i c k - b a l l , h a r d l a b o r , weeks o f e n f o r c e d i d l e ­
n e s s a n d jo b s e e k i n g , women, d r i n k , b a c t e r i a , and v e rm in
com bine t o make o f him a b r o k e n , w e a r y , G o d - f o r s a k e n
c re a tu re .
When, a t f i f t y , h e s h u f f l e s a d i s e a s e - r i d d e n
f ra m e a l o n g t h e B ow ery, h e l o o k s d u l l and s t u p i d , a l m o s t
l i k e an U nm ensch.
T hose who r e a d t h e s e p a g e s w i l l know fro m e x p e r i e n c e
o r o b s e r v a t i o n w h a t h a p p e n s t o t h e c h i l d o f an u p p e r m id d l e
c l a s s h om e, a n d , b y v i e w in g h im a t t h e t h e a t r e , a t l e a s t ,
t h e y w i l l know t h e m a j e s t y o f h i g h c l a s s d i g n i t y , ag e f i f t y .
I t i s t h i s e d u c a te d o r s o c i a l l y tr a n s m itte d p o is e
and p e r s o n a l h o n o r w h io h h e l p s g r e a t l y t o p e r p e t u a t e t h e
so c ia l c la s s e s .
I t may t r u t h f u l l y b e s t a t e d t h a t f o r e v e r y
l e a d e r who b y m eans o f p e r s o n a l q u a l i t i e s b r e a k s t h r o u g h t h e
c l a s s l i n e s , t h e r e a r e m a n i f o l d m ore who, p o s s e s s i n g t h e
k i n d o f p e r s o n a l d i g n i t y and q u a l i t i e s w h ic h s o c i a l c l a s s
h a s c u l t i v a t e d and n u r t u r e d , r e t a i n
s t a t u s b y m eans o f
th e s e v ery p e rs o n a l q u a l i t i e s .
C h a ris m a , o r p e r s o n a l m a g n e tis m , may h a v e a c c o u n t e d
54
f o r t h e f i r s t m e d i c i n e m en, a s O sborn
co stu m es,
s t a t e s , b u t th e
t r a i n i n g , and l e a r n e d t r i c k s o f l a t e r m e d i c i n e men
g a v e them s i m i l a r c h a r i s m a t i c q u a l i t i e s .
J e s u s may h a v e
p o s s e s s e d g r e a t po w er t o i m p r e s s o t h e r s , b u t g r e a t r e l i g i o u s
power o v e r o t h e r s i s now i n s t i t u t i o n a l i z e d , i n p a r t , i n t h e
P o p e , w h a t e v e r h i s nam e.
Such i s a l s o th e n a tu r e o f th e
p e r s o n a l q u a l i t i e s w h ic h make f o r s o o i a l s t a t u s ; i n one c a s e
t h e y e n a b l e a man t o r i s e h i g h — i n h u n d r e d s o f c a s e s t h e y
e n a b l e t h o s e who a t t a i n
u s e them t o r e t a i n
th e s e q u a l i t i e s th ro u g h t r a i n in g to
sta tu s.
M ost o f t h e p e o p l e who w e re b o r n
t o h i g h e r c l a s s d e v e l o p , among o t h e r s , many o f t h e same p e r ­
s o n a l q u a l i t i e s w h ic h " s e l f - m a d e men" p o s s e s s .
I f one w e re
t o c a t a l o g t h e r u l e s D a l e C a r n e g i e l a y s down f o r t h e a c h i e v e ­
ment o f h i g h e r s t a t u s , one w ould f i n d t h a t t h e y a r e , i n l a r g e
p a r t , t h e v e r y r u l e s u n d e r w h io h u p p e r c l a s s c h i l d r e n a r e
n u rtu re d .
S p e n c e r r e c o g n i z e d t h i s f a c t an d s t a t e d i t c l e a r l y i n
th e s e w ords:
The i d e a s , and s e n t i m e n t s a n d modes o f b e h a v i o r , p e r ­
p e t u a l l y r e p e a t e d , g e n e r a t e on t h e one s i d e an i n h e r i t e d
f i t n e s s f o r command, and on t h e o t h e r s i d e an l h h d r l t e d
f i t n e s s f o r o b e d ie n c e ; w ith th e r e s u l t t h a t in th e c o u rse
o f tim e t h e r e a r i s e s on b o t h s i d e s t h e b e l i e f t h a t t h e
e s ta b lis h e d r e l a ti o n s o f c la s s e s a re th e n a tu r a l o n es.
C h a rism a an d o t h e r p e r s o n a l q u a l i t i e s , t h e n , a r e n o t i n s t r u ­
m e n ts f o r f a c i l i t a t i n g s o c i a l m o b i l i t y , b y an d l a r g e ; t h e i r
54 H e n ry F a i r f i e l d O s b o r n , Men o f t h e O ld S t o n e Age (New
Y ork, 1936) p . 3 5 8 .
c h i e f c o n t r i b u t i o n i s t o m a i n t a i n s t a t u s and t o p e r p e t u a t e i t .
Summary.
The f o r e g o i n g d i s c u s s i o n was p l a n n e d t o
g i v e t h e f a c t o r s w h ic h e n t e r i n t o t h e b r a c i n g and c r o s s ­
b r a c in g o f th e s o c i a l c la s s s t r u c t u r e .
F a c t o r s m ak in g f o r s o c i a l c l a s s s t a b i l i t y n o t d i s c u s s e d
i n t h i s c h a p te r in c lu d e (1 ) p u b l i c i t y o r th e la c k o f i t ,
es­
p e c i a l l y on t h e o c c a s i o n o f v i s i t s , t r i p s , p a r t i e s , w e d d i n g s ,
b i r t h s , and d e a th s ;
s i v e l y b y V e b le n ;
c la ss ;
(2 ) o s t e n t a t i o n , a t o p i c t r e a t e d e x t e n ­
(3 ) m o r a l h a b i t s , s o i m p o r t a n t t o t h e m id d l e
( 4 ) t y p e s an d k i n d s o f r e c r e a t i o n a l and s o c i a l c l u b s ;
(5 ) e s t a b l i s h m e n t o f n o b i l i t i e s , e t c .
(Many o f t h e f a c t o r s
a f f e c t i n g a n c i e n t a n d m odern c l a s s e s w i l l r e c e i v e m ore am ple
tre a tm e n t i n th e re m a in in g c h a p te r s o f t h i s d i s s e r t a t i o n . )
Any s o c i e t y t h e c u s to m s a n d f o l k w a y s o f w h ic h h a v e l e d
t o t h e d e v e lo p m e n t o f s n o b b i s h n e s s ,
d if f e r e n t a cc e n ts or
u s a g e s o f l a n g u a g e , * s o c i a l r e s t r i c t i o n s on a l i e n s o r new­
c o m e r s ,* p e o n a g e * o r s e r f d o m , c o n c e n t r a t i o n o f p o p u l a t i o n , *
h e r e d i t y o f o f f i c e , d i f f e r e n c e s in e d u c a tio n and a p p r e n t ic e ­
s h i p among t h e d i f f e r e n t c l a s s e s , * e x p l o i t a t i o n o f human
l a b o r , * h i g h r e g a r d f o r a n c i e n t c a l l i n g s , * la w s o r s o c i a l
c o d e s t o d i s c o u r a g e o r p r e v e n t t h e d i v i s i o n an d d i s t r i b u t i o n
o f p r o p e r t y , * w a rs and c o n q u e s t , * r e g a r d f o r f a m i l y b a c k g r o u n d ,
c l a s s s p e c i a l i z a t i o n i n e t i q u e t t e an d f a s h i o n , * p o l i t i c a l
F a c t o r s s t i l l i n o p e r a t i o n i n A m e ric an s o c i e t y .
f a v o r i t i s m , * e m p h a s is u p o n c l a s s endog am y,* w e a l t h an d
p ro p erty r i g h ts ,
c o n v e n tio n s of th e c le a n v e rs u s th e un ­
c le a n ,* s la v e ry , i n t e r e s t s ,* in s ig n ia ,* r e lig io n ,* ra c k e t­
e e r i n g , * s o c i a l and r e c r e a t i o n a l c l u b s , * and d i v e r s e m o r a l
s t a n d a r d s * — a n y s o c i e t y w h ic h p r a c t i c e s a n y c o n s i d e r a b l e
num ber o f t h e s e f o lk w a y s w i l l n u r t u r e i t s
so c ia l c la s s e s ,
m a i n t a i n t h e m , p e r p e t u a t e th e m .
* F a c t o r s s t i l l i n o p e r a t i o n i n A m erican s o c i e t y .
CHAPTER V
SOCIAL CLASS RIGIDITIES IN GREECE AND THE ROMAN REPUBLIC
The g e n e r a l I n t r o d u c t o r y m a t e r i a l o f t h i s d i s s e r t a ­
t i o n h a s b e e n p r e s e n t e d ; t h e d e f i n i t i o n s , e x a m p le s , and s u r ­
v e y s o f c l a s s e s have come t o a c l o s e .
T h e re now f o l l o w s a n
a c c o u n t o f t h e t e n d e n c i e s i n G re e k a n d Roman h i s t o r y to w a rd
s o c i a l i m m o b i l i t y a n d t h e f a c t o r s w h ic h e n t e r e d i n t o t h e s e
t e n d e n c i e s , F a c t o r s w h ic h c o n t r i b u t e d t o b r e a k i n g down
s o c i a l c l a s s b a r r i e r s and t o p r o m o ti n g s o c i a l c l a s s m o b i l i t y
among t h e G r e e k s a n d Romans a r e n o t n e g l e c t e d .
The o b j e c t h e r e i s t w o - f o l d :
(1 ) t o b r i n g t o t h e a t ­
t e n t i o n o f s o c i o l o g i s t s t h e d o c u m e n te d e v i d e n c e o f h i s t o r i a n s
i n o rd e r to c o r r e c t s e v e r a l s o c io lo g ic a l i n t e r p r e t a t i o n s o f
what t o o k p l a c e among t h e s o c i a l c l a s s e s i n t h o s e a n c i e n t
c i v i l i z a t i o n s , and (2 ) t o d e t e r m i n e t h e k i n d s , e x t e n t , and
d eg ree o f s o c i a l r i g i d i t y in th a t p e rio d of h i s t o r y .
N e ith e r
o f th e s e g o a ls , p e r s e , has h e r e to f o r e been a tte m p te d .
In
f a c t , i t a p p e a r s t h a t some s o c i o l o g i s t s h a v e b e e n m ak in g
t h e i r i n t e r p r e t a t i o n s o f p a r t s of h i s t o r y a f t e r o n ly s l i g h t
a c q u a i n t a n c e w i t h t h e s u b j e c t m a t t e r i t s e l f , and t h e r e f o r e
h a v e b e e n g u i l t y o f g r o s s m i s r e p r e s e n t a t i o n , a s w i l l b e sh o w n .
F u r t h e r m o r e , a l t h o u g h t h e r e a r e some d e s c r i p t i v e s t u d i e s o f
t h e d i f f e r e n t c l a s s e s o f a n t i q u i t y , one c a n n o t f i n d an
a n a l y s i s o f t h e d e g r e e s , k i n d s , and am o u n ts o f s o c i a l c l a s s
r i g i d i t y d u rin g th a t p e rio d .
E a rly G reece.
When t h e f i r s t tow ns o f G re e c e w ere
b u i l t , th e p o p u la tio n h ad lo n g s in c e been s t r a t i f i e d i n t o
sev eral c la s s e s .
A t t h e h e a d o f e a o h s o c i e t y was a k i n g ,
u su a lly re fe rre d to as a p rie s t-k in g .
He was one o f t h e
f a c t o r s i n s t r u m e n t a l i n b r e a k i n g down t h e power o f t h e g e n ­
tile
o r g a n iz a tio n s , headed by n o b le s u s u a l ly c a lle d e u t r a p l d s .
By t h e t i m e o f S o lo n t h i s h i g h l y e x c l u s i v e u p p e r
c l a s s , a n o b i l i t y i n t h e s t r i c t e s t s e n s e o f t h e w o rd , w i t h
its
t r i b a l o r g a n i z a t i o n a n d i t s h o l d on r e l i g i o n , h a d l o s t
many o f i t s p r i v i l e g e s *
F a m ilia r, in d e e d , i s th e s to r y of
how t h e s e a r i s t o c r a t s o f a n c i e n t l i n e a g e h a d t o s h a r e pow er
a n d p r e s t i g e w i t h some o f t h e com m oners, w i t h o t h e r r i c h
m en.
The f a c t t h a t t h e r e w e re o t h e r r i c h men i n d i c a t e s t h a t
t h e s o c i a l c l a s s s t r u c t u r e was n o t c o m p l e t e l y r i g i d .
As i n Rome an d E n g la n d l a t e r , t h i s c o n c e s s i o n on t h e
p a r t o f o l d n o b i l i t y was i n e v i t a b l e a s (1 ) t h e tow ns g r e w ,
(2)
t h e t e r r i t o r y e n l a r g e d , (3 ) a n d t h e c o m m e rc ia l d e v e l o p ­
m e n t, i n t u r n ,
c r e a t e d w e a l t h y and f a s h i o n a b l e g r o u p s o u t s i d e
o f th e e x c lu s iv e n o b i l i t y i t s e l f .
T h e s e l a t t e r g r o u p s w ere
commoners i n t h e l e g a l s e n s e b u t n o t i n s o c i a l c l a s s .
T hey
b e l o n g e d t o t h e u n o f f i c i a l a r i s t o c r a c y , an d t h e y w ou ld n o t
l e t th e v e ry a n c ie n t d e sc e n t of th e e u tra p ld s sta n d in th e
way o f t h e i r f u l l r e c o g n i t i o n .
T h e y , t o o , w ere p r o u d o f
t h e i r fa m ily b ackgrounds and t h e i r w e a lth .
They, th e s e r i c h
and i l l u s t r i o u s , e n t e r e d i n t o t h e i r p r o p e r l y r e c o g n i z e d c l a s s
p o s itio n , s o c io lo g ic a lly sp e a k in g .
The c h a n g e w h ic h p e r m i t t e d men t o b e r a n k e d a c c o r d i n g
t o t h e i r w e a l t h , so f a r a s t h e i r l e g a l an d p o l i t i c a l s t a t u s
1
was c o n c e r n e d , "was n o t t h e w ork o f t h e l o w e s t c l a s s e s # "
I t was t h e r e s u l t o f t h e e f f o r t s o f f a m i l i e s whose s o c i a l
s t a t u s was o u t o f l i n e w i t h t h e i r l e g a l r a n k , and t h e y
u r g e n t l y w a n te d t h i s s i t u a t i o n r e m e d ie d b y g a i n i n g r e c o g n i ­
t i o n n o t f o r a l l commoners b u t f o r t h e m s e lv e s #
s o l u t i o n was t o i n s t i t u t e
t a b l i s h rank#
The s i m p l e s t
th e r u l e t h a t w e a lth sh o u ld e s ­
T h i s d i d l e a s t h a rm t o t h e o l d and s t i l l
f u l l y s a t i s f i e d t h e new e l e m e n t s i n t h e u p p e r s o c i a l c l a s s #
T h i s r e f o r m was n o t a s o c i a l r e v o l u t i o n #
I t d id n o t
r e s u l t i n g i v i n g f u l l s o c i a l p r o m in e n c e t o t h e m e r e ly
w e a lth y #
The l e g a l c a t e g o r i e s o r r a n k s w e re n o t p a r a l l e l
to th e s o c i a l c la s s e s a f t e r S o lo n , as th e y had n o t been b e ­
fo re.
The d e s c e n d a n t s o f o l d e r l i n e s an d o f t h e o l d e r
n o b i l i t y l i v e d on i n t h e r e f l e c t e d g l o r y o f t h e i r p a s t , much
a s t h e p a t r i c i a n l i n e s i n Rome s t i l l r e t a i n e d t h e u p p e r h a n d
i n s o c i a l e s t e e m l o n g a f t e r t h e r e f o r m s i n t h e Roman c o n s t i ­
tu tio n .
N or d i d t h e s e r e f o r m s i n d i c a t e t h a t o n l y "new"
f a m i l i e s w e re r i c h #
I t c a n b e shown t h a t m ost o f t h e f a m i l i e s
w h ic h q u a l i f i e d t o r a n k h i g h on t h e l i s t s , made u p a c c o r d i n g
1 N .D . F u s t e l d e C o u l a n g e s , The A n o l e n t C i t y , t r . W i l l a r d
S m a ll ( t e n t h e d i t i o n , fe o s to n , 1801)' p . 4 3 0 .
t o a m o u n ts o f w e a l t h , w ere l i n e a l d e s c e n d a n t s o f t h e o l d
n o b ility .
T h e s e c h a n g e s m ean t o n l y t h a t t h e a n c i e n t n o b l e
f a m i l i e s h a d t o s h a r e p r e s t i g e w i t h a s e l e c t and h i g h l y
h o n o r e d and r e s p e c t a b l e few o f t h e s o - c a l l e d co m m o n alty ,
i t s e l f g re a tly s t r a ti f ie d .
The o l d n o b l e s l o s t more i n t h e
way o f p o l i t i c a l p r e r o g a t i v e s t h a n t h e y l o s t i n s o c i a l p r e s ­
tig e .
T h ey w e re n o t th ro w n i n t o an am orphous m ass o f s o c i a l l y
u n d i f f e r e n t i a t e d h u m a n i t y , a s w e re t h e u p p e r a n d m id d le
c la s s e s in R u ssia in 1917.
To i n t e r p r e t t h e s e r e f o r m s a s moves i n t h e d i r e c t i o n
of t h e o r e t i c a l s o c ia l e q u a lity o r in th e d i r e c ti o n o f a b o lis h ­
i n g t h e r i g i d i t i e s o f t h e s o c i a l c l a s s sy s te m i s t o m i s r e p r e ­
s e n t them a n d t o m i s u n d e r s t a n d t h e n a t u r e o f s o c i a l i n s t i t u t i o n s .
In t h i s c a s e t h e f l e x i b i l i t y was i n t h e a d j u s t m e n t s made b y
b o t h o f t h e u p p e r c l a s s e s t o a d e f a c t o s i t u a t i o n ; t h e y made
i t de J u r e .
T h i s can h a r d l y b e i n t e r p r e t e d a s a g r e a t e x ­
te n s io n o f f l e x i b i l i t y i n th e s o c i a l c la s s sy ste m .
A c tu a lly ,
i n s p i t e o f t h e l a n d an d d e b t r e f o r m s , t h e l i t t l e man c o n ­
t i n u e d a downward c o u r s e .
The m id d le c l a s s e s p r e s u m a b l y
h e l d t h e i r own.
When commerce b e g a n t o d i s p l a c e a g r i c u l t u r e a s t h e
d o m in a n t e co n o m ic s y s t e m o f G r e e c e , " t h e n o b l e s w e re th em ­
se lv es th e c h ie f s p e c u la to r s .
But th e w e a lth th e y a c q u ire d
2
b y t r a d e u n d e ttn in e d t h e i r p o l i t i c a l p o s i t i o n . "
O th e rs , in
2 J . B . B u r y , H i s t o r y o f G re e o e (L o n d o n , 1920) p . 1 1 8 .
a w o r d , b e g a n t o s h a r e i n t h e power o f w e a l t h , w h ic h i n t r o ­
du c ed a new p o l i t i c a l s y s te m , "an d a r i s t o c r a c i e s r e s t i n g on
b i r t h te n d e d t o tra n s fo rm th e m se lv e s i n t o a r i s t o c r a c i e s
3
r e s t i n g on w e a l t h * "
I n t h e s e s t a t e m e n t s b y B u ry t h e r e i s
m ore s u p p o r t f o r t h e t h e o r y t h a t t h e o l d n o b l e s becam e t h e
new a r i s t o c r a t s t h a n t h a t t h e y w ere p u s h e d a s i d e i n w h o l e s a l e
f a s h i o n b y r i s i n g u p s t a r t s — a n o t i o n n o t f o u n d once i n t h e
h i s t o r i c a l d a ta p e ru sed .
H ig h s t a t u s , i n sum, s h a r e d t h e new
w e a l t h o f new e co n o m ic i n s t i t u t i o n s , an d p o l i t i c a l pow er was
s h a r e d w i t h o t h e r u p p e r c l a s s p e r s o n s who w e re p a r t n e r s i n
th e in c re a s e d t r a d e .
The f r e e c l a s s e s o f A th e n s a t t h e t im e o f S o lo n w ere
d iv id e d i n to th e u p p er c la s s (th e d esce n d an ts o f th e la n d
ow ning n o b i l i t y , t h e c a p t a i n s o f i n d u s t r y and com m erce, and
th e f o r m a l ly e d u c a te d — each o f th e s e c a te g o r ie s o v e rla p p in g
w i t h t h e o t h e r s ) , m id d le c l a s s a r t i s a n s , r e t a i l e r s , p e a s a n t s ,
and w o r k e r s o f n o n d e s c r i p t c h a r a c t e r .
As l a t e a s t h e
P e l o p o n e s l a n w ars t h e s e d i v i s i o n s w e re s t i l l i n f o r c e .
The
c l a s s l i n e s h e l d f i r m , e v e n th o u g h s o c i a l l i f e was n o t
f o r m a lly r e g u l a te d and c o ld l y r i g i d a s In S p a r t a .
A th en s, in th e f i f t h
c e n tu ry B .C ., i s s a id to have
h a d t h e f o l l o w i n g d i s t r i b u t i o n o f c l a s s e s , a s com pared w i t h
Sweden i n 1900 A .D .
The d i f f e r e n c e i n
th e p e r c e n t a g e o f
4
w o rk ers i s due to th e p re s e n c e o f s la v e s In A th e n s.
U pp er c l a s s . . . . . . .
M id d le c l a s s ...............
W o r k e r s ...........................
A th e n s
4 .5
5 9 .5
3 6 .0
Sweden
5 .3
3 9 .0
5 5 .7
3 Loc. c i t .
4 P o n tu s E . F a h l b e c k . D ie K l a s s e n und d i e G e s e l l s c h a f t ( J e n a .
1922) p p . 2 3 3 -2 3 B 7 --------------------------------------------------
S p a rta .
W hereas I n m ost o f t h e o t h e r c i t i e s , a f t e r
an e r a o f r e f o r m s an d c h a n g e s , nt h e s o c i a l d i f f e r e n c e s r e ­
m ain ed a s b e f o r e , b u t t h e y w ere n o t l e g a l l y e s t a b l i s h e d
. . .,
i n S p a r t a t h e r i g i d i t i e s w ere a l m o s t u t t e r l y i n f l e x i b l e , b y
law .
D i s c i p l i n e was so s t r o n g t h a t S p a r t a r e s e m b l e d t h e
I n c a s i n m a i n t a i n i n g a c l o s e p a r a l l e l b e tw e e n s o c i a l c l a s s e s
and l e g a l c a t e g o r i e s o r c l a s s e s .
H e re t h e r e w a s, p r e s u m a b l y a t t h e h e i g h t o f S p a r t a n
power, n one c i t i z e n t o f o u r o f t h e m id d le c l a s s a n d t w e l v e
6
of th e h e lo ts
. . .
o r e v e r y s e v e n t e e n t h man was a c i t i z e n . ”
The slow d e c l i n e o f c i t i z e n s , I n c r e a s i n g t h e p e r c e n t a g e o f
lo w e r and m id d l e c l a s s f a m i l i e s an d I n t e n s i f y i n g t h e t y r a n n y
o f t h e r u l i n g c l a s s , d i d n o t l e a d t o a l e t t i n g down o f b a r ­
r i e r s t h r o u g h t h e I n t r o d u c t i o n o f m id d l e c l a s s e l e m e n t s I n t o
th e h ig h e r b r a c k e ts .
To t h e b i t t e r end t h e S p a r t a n a r i s t o ­
c r a t s h e l d o n , e v e n w elco m in g t h e c o n q u e r o r on one o c c a s i o n
b e c a u s e t h e p o l i t i c a l power h a d s l i p p e d fro m t h e i r h a n d s ;
and t h e c o n q u e r o r , b y r e p u t a t i o n , c o u ld b e t r u s t e d t o r e s t o r e
it.
Such was t h e fam e o f Roman s o c i a l a t t i t u d e s .
( A l l c l a s s d a t a a b o u t G r e e c e , a s can b e s e e n fro m t h e
s h o r t fo r e g o in g d i s c u s s i o n , a re l i k e l y to tu rn upon such
m a tte rs as c itiz e n s h ip ,
c i v i l r i g h t s , and c i v i l r a n k s .
p o litic a l fu n c tio n s, i t i s
The
t r u e , fre q u e n tly in flu e n c e c la s s
p o s itio n , b u t not u n iv e rs a lly or a b so lu te ly .
The f r e e a l i e n
5 I b i d . . p . 221; t r a n s l a t i o n o u rs .
6 P r a n k W. B la o k m a r, H i s t o r y o f Human S o c i e t y (New Y o r k , 1926)
p . 243»
m ig h t, in term s o f s o c i a l c o n ta c t s , ra n k q u i t e h i g h , in
s p i t e o f h i s p o l i t i c a l d i s a b i l i t i e s , o r q u i t e lo w .
A fam ous
h i s t o r y a t o ne p l a c e d i v i d e s t h e p o p u l a t i o n o f G re e k s t a t e s
’’i n t o t h r e e m ain c l a s s e s — t h e c i v i c , t h e f r e e a l i e n and t h e
7
s e rv ile ."
T hese c a t e g o r i e s sh o u ld n o t be c o n fu s e d w ith th e
s o c i a l c l a s s e s , a lth o u g h n o t a l l w r ite r s a re c a r e f u l to p o in t
th is o u t.
In r e a d in g s o c i a l s c ie n c e , th e m atu re s tu d e n t
c o n s t a n t l y g u ard s h im s e lf a g a in s t t h i s and s i m i l a r o b l i q u i ­
t i e s •)
E f f e c t o f t h e r i g h t t o v o t e upon s o c i a l i n e q u a l i t y .
s t u d i e s a b o u t G r e e c e much i m p o r t a n c e was a t t a c h e d t o t h e
r i g h t t o v o t e , b e c a u s e , a s i t came t o b e u s e d , i t p r o f o u n d l y
a f f e c t e d th e u p p e r s t r a t a of A th e n ia n s o c i e t y .
A v o te in
f o u r t h c e n t u r y A th e n s m eant t h e r i g h t t o h e l p make o r unmake
a t y r a n t , o r to add th o u san d s to th e p u b lic tr e a s u r y
expense o f a r i c h r e s i d e n t .
a t th e
I t was a l s o a s o u r c e o f I n ­
come fro m p o l i t i c a l g r a f t , a l t h o u g h Rome i s b e t t e r known f o r
t h i s form of c o r r u p t i o n .
T h is r i g h t ,
as e x e r c i s e d , r e s u l t e d
in g ra v e consequences to s o c ia l c la s s r e l a t i o n s h i p s .
D u r in g and a f t e r t h e i n t e r n e c i n e s t r i f e on t h e G re e k
p e n i n s u l a t h e p o p u l a c e , w i t h i t s v o t e , b e g a n t o do t h i n g s t o
th e h ig h e s t s o c i a l c l a s s .
The f e e l i n g was w i d e s p r e a d " t h a t
8
• a r i s t o c r a t s ’ w ere a t h e a r t t r a i t o r s . . . ."
F u rth e rm o re ,
7 J . B . B u r y , e t a l . , e d s . , A th e n s (4 7 8 -4 0 1 B . C . ) v o l . V,
C am b ridg e A n c i e n t H i s t o r y (C a m b rid g e . 1 9 2 7 ) n . 3 .
8 I b id . . p . 349.
In
t h e t r e a s u r y o f t h e c i t y - s t a t e was i n c a p a b l e o f p a y i n g a l l o w ­
a n c e s t o J u r o r s e x c e p t b y r e s o r t i n g t o c o n f i s c a t i o n s , and
t r i b u n a l s ngav e e a r t o a l l k i n d s o f c h a r g e s a g a i n s t men o f
9
p r o m in e n c e and p r o p e r t y . ”
The s t o r y o f c o n f i s c a t i o n i n G r e e c e i s a f a m i l i a r o n e ,
and i t d o e s n o t n e e d t o b e r e p e a t e d i n d e t a i l h e r e .
s ig n ific a n c e f o r t h i s d is c u s s io n i s as fo llo w s:
Its
The c o n f i s ­
c a t i o n s o f t h o s e f a t e f u l d e c a d e s w e re n o t f o r t h e p u r p o s e
o f e s t a b l i s h i n g so u n d s o c i a l c l a s s e s o r o f s e t t i n g u p an
economy o f d i s t r i b u t i v e a b u n d a n c e *
The a g e was one o f g r e a t
r i c h e s , r u t h l e s s a g g r e g a tio n s o f pow er, and o f o p p r e s s i o n .
The p u b l i c , a s a p r e s s u r e g r o u p and i n t h e same s p i r i t ,
v o ted i t s e l f b o n u s a f t e r b o n u s.
L ik e Sam son, demos was b l i n d
a nd sh o o k t h e te m p l e down upon i t s h e a d .
N or was i t e q u a l i t y t h a t was s o u g h t a f t e r so much a s
q u i c k c a s h and h e a r t y r e v e n g e a g a i n s t t h o s e who h a d accum u­
la te d w e a lth .
E q u a lity i s a r a t i o n a l concept (not a cus­
to m a r y o n e ) a n d , i n t e r m s o f s o c i a l l i f e , a v e r y i d e a l i s t i c
one.
The G re e k p e o p l e o f t h a t a g e w e re n o t u t o p i a n d r e a m e r s .
T h ey w ere ^T ow n sen d ites" and " L e g i o n n a i r e s " i n p o w e r .
T hey d i d
n o t p u r s u e t h e " m i d d l e w a y ," n o r w ere t h e y c a r r y i n g on a
r e v o lu tio n u n d er co n scio u s r a d i c a l l e a d e r s h i p .
The r e s u l t
o f t h e i r a c t i o n s was a d i s r u p t i o n o f one s e t o f e x p l o i t e r s
a f t e r a n o t h e r , an i n c r e a s e i n r u t h l e s s n e s s a n d b r u t a l i t y on
a l l a id e s.
stra tifie d
No e q u a l i t y waa a o h i e v e d ; t h e p o p u l a t i o n was a s
a fte rw a rd s as b e fo re .
The c i v i l i z a t i o n c r u m b l e d ,
b u t t h e s o c i a l c l a s s e s r e m a in e d i n t a c t .
i n w h ic h p o o r men becam e r i c h .
I t was n o t a p e r i o d
The e r a was n o t c h a r a c t e r i z e d
b y upw ard m o b i l i t y , r a t h e r i t was an age i n w h ic h some
f a m i l i e s o f t h e u p p e r c l a s s e s o f G re e c e s u f f e r e d t h e same
f a t e a s t h e p r o s c r i b e d f a m i l i e s o f t h e C l a u d i a n e r a i n Rome.
O n ly w h e re t h e l a n d e d e s t a t e s w e re d i v i d e d up (a n d t h i s p h a s e
o f p a s s i n g e v e n t s was i n s i g n i f i c a n t )
was t h e r e e v i d e n c e o f
a n y t h i n g m o re t h a n t e m p o r a r y r e l i e f f r o m p o v e r t y a t t h e b o t ­
to m .
” The u p p e r c l a s s e s among t h e a n c i e n t s n e v e r h a d i n t e l ­
l i g e n c e o r a b i l i t y enough t o d i r e o t t h e p o o r t o w a r d s l a b o r ,
a n d t h u s h e l p t h a n t o e s c a p e h o n o r a b l y fro m t h e i r m i s e r y and
10
c o rru p tio n .”
One i s re m in d e d o f t h e p r e s e n t e r a o f t r i a l s and
p u r g e s b y S e e c k 's s t a t e m e n t t h a t " a s l o n g a s fr e e d o m e x i s t e d
i n G r e e c e , r e v o l u t i o n s b r o k e o u t and w i t h them m ass m u r d e rs
and e x i l i n g
. . . .
One t h i n k s o f t h e m e n t a l power
(g e l s t l g e K r a f t ) d e s t r o y e d i n t h e s e s u i c i d a l s t r u g g l e s I ”
G re e k an d m odern p a r a l l e l s a n d c o n t r a s t s .
11
N ot o n l y
was t h e r e a n u t t e r a b s e n c e o f s o c i a l e q u a l i t y among t h e
G r e e k s , b u t a l s o t h e r e was no movement i n t h e d i r e c t i o n o f
m i t i g a t i n g t h e r i g o r s o f e x tr e m e i n e q u a l i t i e s .
T h e r e was no
s o c i a l c l a s s p ro g ra m o f a m e l i o r a t i o n an d a d j u s t m e n t .
10 P u s t e l d e C o u l a n g e s , 0£ . c l t . . p . 4 5 3 .
11 O t t o S e e c k , G e s o h l c h t e d e a U n te rg a n A s d e r A n t l k e n W e l t , v o l .
(B e rlin , l$ 2 l) p .
tra n s la tio n o u rs.
T h ere w as, In G re e c e , a w e ll o rg a n iz e d and r i c h
a r i s t o c r a c y w h ic h e n d u re d u n d e r Roman p r o t e c t i o n r i g h t on
th ro u g h i n t o th e e s t a b l i s h e d and h i g h l y s t r a t i f i e d B y z a n tin e
e m p ire *
O nly i n t h e d e v e lo p m e n t o f c i v i l i z a t i o n u n d e r
D i o c l e t i a n and h i s s u c c e s s o r s i n t h e E a s t e r n e m p ir e was
t h e r e e v i d e n c e o f p u b l i c p o l i c y com ing t o g r i p s w i t h s o c i a l
c la ss r e a l iti e s *
O n ly t h e n d i d d e s t r u c t i v e c i v i l s t r i f e
a n d / o r l a i s s e z - f a i r e g i v e way t o s y s t e m a t i c l a b o r a n d p r o ­
v is io n f o r th e s e c u r ity of th e d i f f e r e n t s o c i a l l e v e l s .
f a r a s th e
So
s o c i a l c l a s s r e s u l t s w e re c o n c e r n e d , n o t t h e
m e a n s , i t was n o t u n t i l t h e t h i r d and f o u r t h c e n t u r i e s A .D .
t h a t s o c i a l l e g i s l a t i o n an d c l a s s o r g a n i z a t i o n i n t h e e a s t e r n
M e d i t e r r a n e a n r e g i o n b e g a n t o a p p r o a c h t h e m odern ’’m id d l e
way” p r o g r a m .
H ow ever, t h e r e w ere c h a r a c t e r i s t i c s o f t h e s o c i a l l i f e
o f G r e e c e d u r i n g t h e f i f t h and f o u r t h c e n t u r i e s w h ic h a r e
much i n e v i d e n c e to d a y *
They w e re :
(1 ) e l e c t i o n b y a n d p u b l i c
s u p p o r t o f t h e i d l e and o t h e r p r e s s u r e g r o u p s , ( 2 ) w a r s ,
(3 )
t h e e x i l i n g and e x e c u t i o n o f i n t e l l e c t u a l s ,
r i c h , a n d some o f t h e a r i s t o c r a t s *
some o f t h e
I f t h e m odern t r e n d I n
G erm any, E n g la n d , an d P r a n c e , f o r I n s t a n c e , g o e s t h e same
r o u t e a s i n a n c i e n t G r e e c e , a s h a s b e e n p r e d i c t e d b y many
E u r o p e a n s , no im m e d ia te p ro g ram o f s o c i a l c l a s s s t a b i l i z a t i o n
I s In sig h t*
An e r a o f p l u n d e r , h a t r e d , and r e c r i m i n a t i o n
seem s t o h a v e d e s c e n d e d up on E u ro p e *
Nor can one t a k e h o p e
In th e e x tre m e ly b r u t a l m easures u se d t o d i s r u p t norm al
a s s o c i a t i v e g r o u p i n g s ( t h e c l a s s e s ) i n t h e S o v i e t U n io n .
T h is l a t t e r scheme i s , o f c o u r s e , q u i t e new i n human h i s t o r y ,
b e c a u s e I t i s a c o m b i n a t i o n o f p r o s c r i p t i o n an d c o n f i s c a t i o n
on t h e one h a n d and m i l i t a r i s m an d s o c i a l p l a n n i n g on t h e
o th e r.
I n sum, G re e k c i v i l i z a t i o n
e x p e r i e n c e d many more
p o l i t i c a l changes th an i t d id changes in s o c i a l s t a t u s *
It
d e v e l o p e d w i t h an a r i s t o c r a c y and m erged i n t o B y z a n t i n e s t i l l
p o sse ssin g one.
P r e l i m i n a r y s t a t e m e n t a b o u t Roman c l a s s e s .
The
p u r p o s e o f t h e f o l l o w i n g i s n o t t o s u r v e y t h e d e v e lo p m e n t o f
Rome o r t o d e s c r i b e t h e c l a s s e s , a s su c h *
t h e c h a n g e s w h ic h t o o k p l a c e i n
I t i s t o stu d y
th e m em b ersh ip o f t h e Roman
s o c i a l c l a s s e s i n an e f f o r t t o d e t e r m i n e , i n a g e n e r a l w ay,
w h e t h e r o r n o t t h e r e w ere s i g n i f i c a n t s h i f t s i n t h e m ake-up
of th e c la ss e s*
D id t h e c l a s s l i n e s h o l d f i r m , r e l a t i v e l y ,
t h r o u g h t h e t u r m o i l s o f Roman h i s t o r y , o r d i d t h e y b r e a k
a n d s h a t t e r u n d e r t h e im p a c t o f p o l i t i c a l r i g h t s , d i c t a t o r ­
s h ip , and d e c lin e ?
When and w h e re was t h e r e t h e m o st s o c i a l
c la ss c irc u la tio n ?
When d i d t h e common man h a v e a ch an c e t o
rise ?
Were t h e r e a l w a y s , fro m f i r s t t o l a s t , p r o m in e n t and
a r i s to c r a t i c fa m ilie s?
I f one a r i s t o c r a c y was d e s t r o y e d ,
a n d / o r f a i l e d t o r e p r o d u c e I t s e l f , w h e re d i d t h e Romans
r e c r u i t t h e i r new a r i s t o c r a c y , and how new was I t ?
What d i d
t h e Romans mean b y n o v u s homo?
P r e c i s e d a t a a s t o t h e am ount a n d i n c i d e n c e o f s o c i a l
c lim b in g and f a l l i n g
are m is s in g .
H o w ev e r, en o u g h i s known
t o i n d i c a t e t h a t s e v e r a l o f t h e g e n e r a l i t i e s w h ic h h a v e lo n g
p e r s i s t e d in s o c i o l o g i c a l l i t e r a t u r e a r e in need o f r e v is io n *
One o f t h e s e , f o r i n s t a n c e , i s t h a t a f t e r s e v e r a l c e n t u r i e s
o f s t r u g g l e th e p le b e ia n s bro ke th e h o ld o f th e a r i s t o c r a c y
and d e s t r o y e d t h e b a r r i e r s t o h i g h s t a t u s f o r t h e commonest
man*
I n f a c t , much m ore c o r r e c t d a t a a r e a v a i l a b l e t h a n a r e
p r e s e n t e d I n t h e m a t e r i a l b a s e d on t h i s p e r i o d f o u n d I n many
c u rre n t s o c i a l sc ie n c e te x ts *
The p u r p o s e h e r e , a g a i n , i s
t w o - f o l d : t o c o r r e c t e r r o n e o u s i n t e r p r e t a t i o n s b a s e d on t o o
little
f a m i l i a r i t y w i t h h i s t o r y , an d t o d e l i n e a t e t h e i n c i ­
dence of s o c i a l c la s s r i g i d i t y .
E a r l y Rome.
The f i r s t a c c u r a t e p i c t u r e o f Roman l i f e
shows t h a t t h e g e n t e s w e re made u p o f p a t r o n s whose f o l l o w e r s
o r s e r f s w ere c a l l e d c l i e n t s .
At t h a t s t a g e o f Roman d e v e l o p ­
m en t „ when many p a t r i c i a n s g a t h e r e d a t Rome fro m t h e tow ns
r o u n d a b o u t , w i t h t h e i r c l i e n t s t o s e r v e th e m , t h e y j o i n e d t o ­
g e t h e r i n t o s u c h a c l o s e k n i t endogam ous u n i t t h a t t h e i r o r ­
g a n i z a t i o n ap p ro ach ed t h a t o f a c a s t e *
But th e t e r r i t o r y
r u l e d b y Rome e x p an d e d so r a p i d l y a n d t h e p o p u l a t i o n grew so
f a s t t h a t no c a s t e s w ere f o r m e d .
On t h e c o n t r a r y , t h e
t e n d e n c y to w a rd t h e f o r m a t i o n o f a " c a s t e l i n e " was overcom e
t h r o u g h t h e i n s i s t e n c e o f r i c h , p o w e r f u l , and f a s h i o n a b l e
p leb s*
T h e r e f o r e , Rome was c h a r a c t e r i z e d b y c l a s s e s ;
c o n tra ry
t o t h e e x p e r i e n c e o f I n d i a , s h e n e v e r knew t h e d e v e lo p m e n t
169 .
of e s ta b lis h e d c a ste o rg a n iz a tio n s .
L i t t l e I s known a b o u t t h e e a r l y c l i e n t s .
T hey seem
t o h a v e d i s a p p e a r e d t o fo rm a p a r t o f t h e p l e b e i a n m ass n o t
12
lo n g a f t e r th e fo u n d in g o f th e c i t y . B ut o f th e p a t r i c i a n s
t h e m s e l v e s much m ore e x a c t i n f o r m a t i o n I s a v a i l a b l e .
Who w ere t h e p a t r i c i a n s ?
The c o n q u e s t t h e o r y t h a t
t h e p a t r i c i a n s w ere S a b i n e s , w h e r e a s t h e p l e b e i a n s w ere
L a t i n s , h a s b een a n s w e r e d , even w h i l e I t was b e i n g p r o m u l­
g a te d , b y re s e a rc h in to th e o r ig in s of th e p a tr i c i a n f a m ilie s .
13
D u ru y
a n d P u s t e l d e C o u la n g e s f o u n d t h a t t h e y w ere t h e
cre am o f t h e s o c i e t y o f n e i g h b o r i n g to w n s who f l e d t o Rome
b e c a u se o f th e p o l i t i c a l d i s t u r b a n c e s i n t h e i r n a ti v e p l a c e s .
14
H e itla n d
b e l i e v e s t h a t t h e p a t r i d i a n s w ere m ore l a r g e l y
S a b i n e and t h a t t h e p l e b e i a n s w e re m ore l a r g e l y L a t i n s , b u t
15
t h a t n e i t h e r g ro u p was h o m o g e n e o u s. B l a c k m a r 's
id e a t h a t
t h o s e who f i r s t s e t t l e d i n Rome e s t a b l i s h e d t h e p a t r i c i a n
l i n e s f a i l s to ta k e in to c o n s id e r a tio n t h a t each p a tro n
a r r i v e d I n Rome w i t h h i s c l i e n t s .
The g e n s a n d i t s d e p e n d e n t s
came a s a u n i t .
The s i g n i f i c a n t f a c t was t h a t e a c h p a t r i c i a n f a m i l y
c o u ld b y m a r r i a g e e n t e r i n t o conn u b iu m w i t h e v e r y o t h e r ,
ev en t h o u g h t h e y w e re i n some r e s p e c t s c u l t u r a l l y s t r a n g e t o
each o th e r .
T his m s b e c a u s e o f t h e i r m u t u a l r e c o g n i t i o n o f
12 G eorg F r i e d r i c h Schoem an, G r l e s c h e A l t e r t h u m e r , v o l . I
( B e r l i n , 1 861 ) p . 1 3 6 .
13 V i o t o r D u ru y , H i s t o r y o f Rome, v o l . I ( B o s t o n , 1883)
p p . 132 f f .
14 W.E. H e i t l a n d , Roman R e p u b l i c , v o l . I ( C a m b r id g e , 1 9 09)
p . 42.
15 B la c k m a r , 0£ . o l t . , p . 2 5 1 .
common a r i s t o c r a t i c b a c k g r o u n d s and s t a t u s *
F u rth e rm o re ,
f a m i l i e s c o n t i n u e d t o come t o t h e c e n t e r a s t h e c i t y - s t a t e
g r e w , a n d some o f t h e s e a r i s t o c r a t i c new com ers w ere a l s o
rec o g n ize d as p a t r i c i a n s .
G ibbon p r o p e r l y r e f e r s t o t h e s e p a r a t i o n o f p a t r i c i a n
from p l e b e i a n a s " t h e p r o u d e s t and m o s t p e r f e c t s e p a r a t i o n
w h ic h can b e f o u n d i n a n y a g e o r c o u n t r y b e tw e e n t h e n o b l e s
16
a n d t h e p e o p l e . . . ."
But S o r o k in 's s t a te m e n t, t h a t
" t h e c e n t u r i e s b e f o r e t h e f i f t h and s i x t h c e n t u r i e s B .C .
seem t o h a v e b een t h e p e r i o d o f a weak m o b i l i t y fro m t h e
17
la y e r of th e p le b e ia n s to th a t of th e p a t r i c i a n s , "
lac k s
u t t e r l y in h i s t o r i c a l accu racy .
The p a t r i c i a n s k e p t t h e i r
b l o o d t o o p u r e to a l l o w f o r a n y p e r c o l a t i o n i n t o i t .
s e p a r a t i o n was p r o u d , p e r f e c t , an d c o m p l e t e .
who f o rm e d a m i s a l l i a n c e
The
"The p a t r i c i a n
• . • l o s t h i s r a n k , f e l l i n t o an
in fe rio r c la ss .
E v e r y b a s t a r d was c a s t o u t b y r e l i g i o n
18
fro m p u r e f a m i l i e s and c o u n te d among th e p l e b s . "
H ow ever, a s w i l l b e show n, t h e r e was some c i r c u l a t i o n
u p w ard w i t h i n t h e p l e b s .
They h a d , b y t h i s t i m e , c e a s e d t o
c o n s titu te a lay e r in s o c ie ty .
I n f a c t , t h e y w e re n e v e r a
s i n g l e s o c i a l c l a s s , a s w ere t h e p a t r i c i a n s , b e c a u s e some o f
them w ere r i c h and i l l u s t r i o u s p e r s o n s fr o m o t h e r c i t i e s , e s ­
p e c i a l l y fro m t h e e a s t e r n M e d i t e r r a n e a n .
16 Edward G ib b o n , The D e o l l n e a n d F a l l o f t h e Roman E m p ire .
v o l . I (Modern L i b r a r y e d i t i o n , New Y o rk , 1 932 ) p . 5 2 5 .
17 P i t i r i m S o r o k i n , S o c i a l M o b i l i t y (New Y o rk , 1 9 2 7 ) p . 1 4 8 .
18 F u s t e l de C o u la n g e s , 0£ . c l t . . p . 3 8 0 .
Who w ere t h e p l e b s ?
O r i g i n a l l y , t h e r e w ere few p l e b s .
When Rome was f o u n d e d , t h e lo w e r c l a s s was composed o f
c lie n ts.
The p l e b s w ere f r e e men, u n a t t a c h e d t o a p a t r i a r c h ,
l i v i n g " i n an e n c l o s u r e on t h e s l o p e o f C a p i t o l i n e H i l l " ;
t h e y w ere c l i e n t s who h a d l o s t t h e i r p a t r o n ; t h e y c o u ld
19
h o ld p r o p e r ty , and th e y p r a c tic e d c r a f t s .
When t h e lo w e r
c l a s s e s w e re no l o n g e r d i s t r i b \ i t e d among t h e g e n t e s , b u t
20
l i v e d a p a r t , t h e y w ere known a s p l e b e i a n s .
The o n l y i m p o r t a n t s o c i a l m o b i l i t y d u r i n g t h e e a r l y
c e n t u r i e s , w hich i n t u r n a f f e c t e d o n l y a s m a l l p e r c e n t a g e o f
t h e p l e b s , was t h e a p p e a r a n c e o f t h e new a r i s t o c r a c y , o f t e n
r e f e r r e d t o a s t h e a r i s t o c r a c y o f m oney.
The d e v e lo p m e n t
p a r a l l e l e d i n t r e n d t h a t w h ic h h a d t a k e n p l a c e i n G r e e c e .
Some o f t h e s e new a r i s t o c r a t s w e re t h e m s e l v e s o f h i g h l y r e ­
sp e c ta b le lin e a g e .
The f o l l o w i n g c i t a t i o n
shows how o l d and
21
h o n o r a b l e some o f t h e s e p l e b e i a n f a m i l i e s w e r e :
The p l e b e i a n was n o t a lw a y s p o o r . O f t e n h e b e l o n g e d
t o a f a m i l y w h ic h was o r i g i n a l l y fro m a n o t h e r c i t y ,
w h ich was t h e r e r i o h and I n f l u e n t i a l , a n d whom t h e f a t e
o f war h a d t r a n s p o r t e d t o Rome w i t h o u t t a k i n g away h i s
w e a lth , o r th e se n tim e n t o f d i g n i t y t h a t o r d i n a r i l y a c ­
c o m p a n ie s i t .
P e r h a p s a s an a f t e r t h o u g h t , a t l e a s t i n a s e c o n d a r y p o s i t i o n ,
F u s t e l de C o u la n g e s s t a t e s t h a t " s o m e ti m e s , t o o , t h e p l e b e i a n
h a d becom e r i c h b y h i s 3 a b o r , e s p e c i a l l y i n t h e tim e o f t h e
22
k in g s
19
20
21
22
D u ru y , 0£ . c l t . , p p . 1 9 6 - 1 9 7 .
F u s t e l de C o u l a n g e s , o p . c i t . , p . 3 6 0 .
I b i d . , p 0 398.
Loo. c i t .
172 .
T h e r e i s no r e a s o n t o b e l i e v e t h a t when t h e c l i e n t s
e s c a p e d fro m s e rf d o m i n t o fre e d o m t h e r e was a n y m a rk e d d e ­
g r e e o f s o c i a l a d v a n c e m e n t.
T hey w e r e , i t i s t r u e , f r e e d
from t h e p e r h a p s m ore t o i l s o m e r o u t i n e o f a g r i c u l t u r e , b u t
t h e i r s t a t u s i n t h e g ro w in g c i t y a s a p a r t o f t h e m ass o f
u n h e ra ld ed p le b e ia n p r o l e t a r i a n s cannot be s a id to have
b e e n much ab ove t h e v e r y b a s e o f t h e s o c i a l p y r a m i d .
The l e g a l a n d p o l i t i c a l r i s e o f p l e b e i a n e l e m e n t s .
The e x t e n s i o n o f p o l i t i c a l r i g h t s t o commoners h a s t e n d e d
t o m o n o p o liz e t h e a t t e n t i o n o f s o c i a l t h e o r i s t s ; t h e y h a v e
f r e q u e n t ly l o s t s i g h t of th e s o c i a l c la s s e s b e c a u se o f th e
d ra m a tic a s p e c ts o f th e p o l i t i c a l s tr u g g le .
Prom t h e s o c i a l c l a s s p o i n t o f view t h e s i g n i f i c a n t
f a c t d u r i n g t h i s p e r i o d was t h e d i v i s i o n o f t h e p l e b s ,
c l e a r l y and m a r k e d l y , i n t o h i g h c l a s s p l e b s and t h e m a s s e s .
The i n t r o d u c t i o n o f money, w h ic h c o u ld b e p a s s e d fro m h a n d
t o h a n d w i t h o u t r e l i g i o u s c erem o n y , e n a b l e d some p l e b s t o
23
r e m a in o r becom e w e a l t h y .
T hey d i s p l a y e d t h e i r r i c h e s ,
a rra n g e d th e m se lv e s i n t o s o c i a l ra n k s in t r u e s o c i a l c l a s s
fa sh io n .
"Some </p l e b e i a n / ^ f a m i l i e s w ere p r o m i n e n t , some
names i n c r e a s e d i n i m p o r t a n c e .
f o rm e d among t h e p e o p l e
A s o r t o f a r i s t o c r a c y was
24
. . . ."
The p l e b s " f o l l o w e d t h e
l e a d o f t h i s new a r i s t o c r a c y , w h ic h t h e y w ere p r o u d o f
25
p o s s e s s in g ."
N ot a l l p l e b s c o u l d a s p i r e t o h i g h p o s i t i o n ;
23 I b i d . . p . 3 6 4 .
24 I b i d . , p . 3 6 5 .
25 T FT ?. . p . 3 6 6 .
not a l l d id ,
" I f t h e p l e b s w e re somewhat i n d i f f e r e n t , t h e r e
26
was a p l e b e i a n a r i s t o c r a c y t h a t was a m b i t i o u s . "
T h ese a r e
t h e u p p e r c l a s s commoners who c o n s p i r e d a n d s t r u g g l e d t o
a b o l i s h p o l i t i c a l and c o n n u b i a l d i s a b i l i t i e s , as a m a t t e r o f
p rid e .
T e n n e y F r a n k d e s i g n a t e s t h o s e p l e b e i a n s who g r a d u a l l y
won a p p r o x i m a t e e q u a l i t y w i t h t h e p a t r i c i a n s a s " p r o p e r t y
27
h o ld in g p le b e ia n s ."
Out o f t h e s e a m b i t i o u s a n d p r o m in e n t g r o u p s , i n a d d i ­
t i o n t o t h e o v e rw h e lm in g m a j o r i t y o f p e r s o n s r e l a t e d t o t h e
a n c i e n t n o b i l i t y , t h e new n o b i l i t y o f o f f i c e was f o r m e d .
Many o f t h e n e w ly o r d a i n e d o f f i c i a l n o b i l i t y w e re p a t r i c i a n s ,
many w e re t h e y o u n g e r b r a n c h e s o f o l d p a t r i c i a n g e n t e s , some
w ere d e s c e n d a n t s o f a r i s t o c r a t i c p l e b e i a n s .
The a r t i s a n
c l a s s o f p l e b e i a n s an d t h e am orphous m ass o f Roman p r o l e t a r i a n s
d id n o t p r e s e n t c a n d id a te s f o r ju d g e s h ip s or t h e se n a te In
num bers g r e a t e n o u g h t o a r o u s e comment ev en i n s o c i a l l y c l a s s
c o n s c i o u s Rome.
S o r o k i n , a l t h o u g h d o c u m e n te d h i s t o r y d o e s n o t c o r r o b o r 28
a te h i s s ta te m e n t, says:
The p e r i o d a f t e r 449 B .C . . . . t o t h e m id d le o f t h e
f o u r t h c e n t u r y B .C . . . . c o u ld b e r e g a r d e d a s t h e p e r i o d
o f an i n t e n s i v e c i r c u l a t i o n b e c a u s e d u r i n g t h i s p e r i o d
t h e p l e b e i a n s o b t a i n e d a lm o s t a c o m p le te e q u a l i t y w i t h
t h e p a t r i c i a n s , and I n t h i s way p a s s e d fro m a lo w e r t o a
h ig h e r stra tu m .
26 I b i d . . p . 4 0 5 .
27 T en ney F r a n k , "The Roman W o r l d ," E n c y c l o p a e d i a o f t h e
S o c i a l S c i e n c e s , v o l . I (New York, 193*/) p . 4 5 .
28 S o r o k i n . o p . c i t . . p • 14 8 •
W h a te v e r c i r c u l a t i o n was a p p r o v e d i n t h a t c e n t u r y
had a l r e a d y t a k e n p l a c e ; la w r a t i f i e d
a de f a c t o s i t u a t i o n .
F u r t h e r m o r e , t h e p l e b e i a n s , a t l e a s t t h e g r e a t m ass o f
th em , o b t a i n e d n o s e m b la n c e o f e q u a l i t y w i t h t h e a n c i e n t
p a tr ic ia n fa m ilie s*
is te n c e s in d ee d .
The m ass o f p l e b s l i v e d v e r y l o w l y e x ­
F in a lly , i t
i s a b s u r d t o s t a t e t h a t a w hole
m a s s , s u c h a s t h e m a j o r i t y o f p l e b s w e r e , c o u ld 11p a s s fro m a
lo w e r t o a h i g h e r s t r a t u m . ”
T h is i s somewhat e q u i v a l e n t t o
s a y i n g t h a t t h e w o r k e r s i n t h e S o v i e t U nion r o s e and i n h e r i t e d
t h e p l a c e s o f t h e o u s t e d n o b i l i t y , o r t h a t t h e N e g ro e s a f t e r
1865 t o o k t h e i r p l a c e s a s t h e e q u a l s o f t h e i r f o r m e r m a s t e r s .
(The s i t u a t i o n o f t h e o r d i n a r y p l e b s was l e s s d i s t u r b e d ,
c h a n g e d , o r im p ro v e d t h a n t h a t o f t h e s e r e m o t e l y a n a l o g o u s
illu s tra tio n s .)
S o r o k in 's c o n fu s io n o f s o c i a l e q u a l i t y w ith
lim ite d p o l i t i c a l r i g h t s i l l u s t r a t e s t h e k in d of e rr o r i n to
w hich even p r o m in e n t s o c i o l o g i s t s c an f a l l .
29
The R e p u b l i c r e a c h e s m i d d l e a g e .
T enney F r a n k
re­
p o r t s t h a t t h e P u n ic w ars e n h a n c e d t h e p r e s t i g e o f t h e
se n a to ria l n o b ility .
F u r t h e r m o r e , t h i s "new a r i s t o c r a c y ”
p e r f o r m e d so w e l l t h a t i t e n t r e n c h e d i t s e l f i n p o w e r.
He
a l s o n o t e s t h e d e p l e t i o n o f t h e r a n k s o f f r e e f a r m e r s and
th e g ro w th o f l a r g e e s t a t e s .
T h e s ^ la ta I n d ic a te th a t th e
m id dle a g e o f t h e R e p u b l i c was n o t one o f s o c i a l c l a s s
m o b i l i t y u p w a r d , e x c e p t , t o a l i m i t e d e x t e n t among t h e
29 F r a n k , o p . c i t . . p . 4 5 .
e q u ite s , th a t i s ,
t h e c a p i t a l i s t s , m e r c h a n t s , and c o n t r a c t o r s .
Of u p s t a r t s n o t h i n g i s h e a r d d u r i n g t h i s e r a *
The new
a r i s t o c r a c y , made up a l m o s t a l t o g e t h e r o f tw o o l d a r i s t o c r a c i e s
f r o z e as f a s t a s i t fo rm ed , e n tre n c h e d i t s c li q u e in o f f i c e ,
and p ro v id ed p la c e s f o r i t s
so n s *
T hey, w ith t h e i r lo v e o f
t h e l a n d , t o o k an a c t i v e p a r t i n g r a b b i n g u p t h e l a n d o f
f a l l e n s o l d i e r s and i n o b t a i n i n g p a r t s o f t h e l e a s e d a g e r
30
p u b lic u s.
Mommsen i s q u o t e d a s s a y i n g t h a t " t h e o v e r t h r o w o f
Ju n k e r tu m d i d n o t t a k e fro m t h e common l i f e
31
a r i s t o c r a t i c c h a r a c t e r i n a n y way*”
o f Rome i t s
The s i g n i f i c a n t s o c i a l c l a s s f a c t c o n c e r n i n g t h e m id d l e
p e r i o d o f t h e R e p u b l i c i s t h a t a r i s t o c r a t i c s e n t i m e n t s w e re
e x c e p ti o n a l l y stro n g *
32
sta n c e ,
A t t h e t im e o f t h e G r a c c h i , f o r i n -
The a r i s t o c r a c y , d r a w in g i t s l i v e l i h o o d fro m s l a v e l a b o r
on l a r g e e s t a t e s , n o t i n f r e q u e n t l y fro m a g e n e r a l ' s s h a r e
i n b o o t y , a n d o c c a s i o n a l l y fro m a sh re w d m a r r i a g e , and
b a s i n g i t s c la im s f o r s o c i a l d i s t i n c t i o n upon a n c e s t r y
a n d p o l i t i c a l o f f i c e , r e m a in e d a c l o s e d c o r p o r a t i o n o f
l e s s th a n a h u n d r e d o u t s t a n d i n g f a m i l i e s l i v i n g i n one
c ity *
In a g r i c u l t u r e , and p e rh a p s i n th e t r a d e s , th e i n t r o ­
d u c t i o n o f s l a v e s a n d t h e c o n d i t i o n s o f war h a d b e g u n t o d e ­
p r e s s p a r t s o f t h e lo w e r c l a s s e s *
30 S .A . Cook, e t a l * . e d i t o r s , Rome a n d t h e M e d i t e r r a n e a n
(218-1 3S ~ bTC‘* J , v o l * V I I l o f EEe tia m b rld g e A n c i e n t
H i s t o r y (C a m b rid g e , 1 9 3 0 ) p p . 3 3 6 - 3 3 7 .
31 M a t t h i a s G e l z e r , D ie N o b l l l t a t d e r R B m lschen R e p u b l i k
(L eip zig , 1 9 1 2 ) p . i ; t r a n s l a t i o n o u rs .
32 P r a n k , o g . c i t . . p* 4 6 .
The o n l y i m p o r t a n t movement on t h e s o c i a l s c a l e i n
a n u p w ard d i r e c t i o n was t o b e fo u n d among t h e e q u i t e s *
T h ey
d i d n o t a c c o m p l i s h w hat b o u r g e o i s e l e m e n t s i n p a r t s o f
w e s t e r n E u ro p e w ere d e s t i n e d t o do c e n t u r i e s l a t e r , h o w e v e rj
th e y d id n o t r i s e
to th e t o p .
The r o l e o f w e a l t h — t h e e q u i t e s .
I n t h e t h i r d and
s e c o n d c e n t u r i e s B.G* w e a l t h , p e r s e . d i d n o t d i v i d e man fro m
m an, c l a s s fro m c l a s s .
The o l d e r o r d e r s o f Rome, t h e
a r i s t o c r a t s , d i d n o t l o s e t h e i r h o l d on s o c i a l p r e s t i g e .
In
f a c t , when t h e c a p i t a l i s t s an d o t h e r b u s i n e s s and g o v e r n ­
m e n t a l e l e m e n t s t h r e a t e n e d th e m , t h e y s t r u c k b a c k .
33
p o in t th e re c o rd i s c le a r :
On t h i s
B e f o r e t h e G r a c c h i t h e k n i g h t s h a d n o t y e t fo rm e d a
s e p a r a t e s o c i a l c a s te o f p e c u l i a r d i s t i n c t i o n . That
some w e re w e a l t h y a n d k e p t e l a b o r a t e h o u s e h o l d s i n I m i ­
t a t i o n o f t h e s e n a t o r s i s p r o b a b l e . T hey p r o v i d e d w e l l d o w e red d a u g h t e r s now and t h e n t o s a v e n o b l e f a m i l i e s
fro m f i n a n c i a l r u i n , and a f t e r a few s u c h c o n n e c t i o n s
h a d b e e n fo rm e d w i t h t h e i n f l u e n t i a l , a member o f an
e q u e s tr ia n fa m ily o c c a s io n a lly succeeded in g a in in g
en o u g h s u p p o r t t o d a r e t o b e a c a n d i d a t e f o r a r i s t o c r a t ! 6
o f f i c e . But d u rin g th e R e p u b lic th e ro a d to s o c i a l d i s ­
t i n c t i o n was a lw a y s d i f f i c u l t f o r t h e f i n a n c i a l g r o u p .
The G r a c c h i g a v e them some p o l i t i c a l r e c o g n i t i o n and
p r e s t i g e , b u t a l s o a h o s t i l i t y to w a r d them w h i c h c o s t
them d e a r l y w hen ev er - - a s u n d e r S u l l a - - t h e n o b i l i t y
was s e c u r e I n t h e s a d d l e . R a r e l y h a s a c a p i t a l i s t c l a s s
a s s u c h s u f f e r e d t h e d i s a s t e r s t h a t i t d i d a t Rome.
S u l l a " o r g a n i z e d a t e r r i b l e b u t c h e r y among t h e
f i n a n c i e r s , f ro m w h ic h a s a c l a s s t h e y n e v e r r e c o v e r e d .
A f t e r C a e s a r t h e y c o m p l e t e l y d i s a p p e a r e d a s a p o l i t i c a l e le m e n t
33 C o ok, e t a l . , o p . c i t . , p . 3 8 3 .
34 Oswald S p e n g l e r , The Hour o f D e c i s i o n (New Y o r k , 1 9 3 4 )
p . 86.
The e q u i t e s , i n s t e a d o f r i s i n g t o t h e h i g h e s t p o s i ­
t i o n s , I n t r e n c h e d t h e m s e lv e s i n t h e m id d l e g r o o v e .
The age
o f t h e R e p u b l i c a t i t s h e i g h t was n o t an a g e o f a n y s i g n i f i 35
can t s o c i a l m o b ility . T h is, to o , Is in th e re c o rd :
F o r r e a s o n s n o t w h o lly c l e a r th e ra n k s o f th e n o b i l i t y
seem n o t t o h a v e b e e n t h r e a t e n e d t o an y e x t e n t b y p a r v e n u s .
B etw een 200 and 146 B .C . t h e r e w ere one h u n d r e d a n d e i g h t
c o n s u l s e l e c t e d . O nly a b o u t e i g h t o f t h e s e b e l o n g e d t o
f a m i l i e s t h a t had n o t b e e n r e p r e s e n t e d i n c o n s u l a r o f f i c e
b e f o r e . . . t h e p e o p le w ere s a t i s f i e d t o c o n t i n u e t h e o l d
fa m ilie s in p o sitio n s of d ig n ity .
C a t o , one o f t h e commoners t o p l a y a s t e l l a r r o l e , was n o t
a d em o c rat, c e r t a i n l y .
’’Though a n o v u s homo h i m s e l f h e seems
36
n o t t o h a v e a i d e d o t h e r ’new m en’ t o o f f i c e . "
The m id d le ag e o f t h e R e p u b l i c was one o f l e s s m o b i l i t y
th an t h e e r a p re c e d in g i t ;
in th e e a r l i e r p e rio d th e r i c h
p l e b e i a n s w ere a b l e t o m erge t h e m s e l v e s w i t h t h e o l d e r
a ris to c ra ts.
I n t h e m id d le p e r i o d t h e e q u i t e s w e r e s to p p e d
s h o r t o f t h a t g o a l ; t h e y h a d t o be c o n t e n t w i t h an e n t r e n c h e d
m id d l e p o s i t i o n .
Y et t h i s i s t h e p e r i o d o f " o p e n " c l a s s e s ,
a s opposed to o th e r e ra s o f "c lo s e d " c l a s s e s , a d i s t i n c t i o n
i n t i m a t i n g fre e d o m o f movement on t h e s o c i a l s c a l e and
r e c u r r i n g l y e m p h a siz e d b y S o r o k in and F a h l b e c k .
The l a s t d a y s o f t h e R e p u b l i c .
The p e r i o d fro m a b o u t
130 t o 44 B .C . was In d e e d a g i l d e d a g e , w i t h en orm ous f o r 37
tu n es f o r th e few .
A lth o u g h t h e a r i s t o c r a c y k e p t a s t r o n g
35 Cook, e t a l , oja. c i t . , p p . 3 6 5 - 3 6 6 .
36 I b i d . , p . 3 6 9 .
37 F a h l b e c k , oja. c i t . , p . 2 5 6 .
h a n d on t h e s o c i a l a m b i t i o n s o f u p s t a r t s , t h e r e was an I n ­
c r e a s e I n t h e num ber o f w e a l t h i e r f a m i l i e s #
P u b lic con­
t r a c t s , w ar b o o t y , t a x g a t h e r i n g , c o n t r i b u t e d t o t h i s end*
Of f i r s t i m p o r t a n c e i n a l l t h i s i s t h e f a c t t h a t , so
f a r a s c l a s s s t a n d i n g was c o n c e r n e d , l i t t l e
d i f f e r e n c e was
a c h i e v e d b y the su d d e n a d d i t i o n o f t e n s o f m i l l i o n s o f money
u n i t s t o t h e f o r t u n e s o f an a l r e a d y p r o p e r t i e d f a m i l y , w h e th e r
e q u ite o r s e n a to ria l#
The s o c i a l c l a s s l a d d e r was n o t as
r e s p o n s i v e t o d i f f e r e n c e s i n money f o r t u n e s i n t h e f i r s t c e n ­
t u r y B .C . a s i n t h e U n i t e d S t a t e s i n t h e n i n e t e e n t h c e n t u r y
A .D .
The few "new" men o f t h a t e r a w e re t h e o b j e c t s o f much
com m ent, b u t t h e y w e re n o t new i n th e s e n s e t h a t t h e y s p r a n g
fro m t h e p r o l e t a r i a t .
U s u a l l y t h e y w ere o f e q u i t e e x t r a c ­
t i o n j t h e y w e re new o n l y i n t h a t t h e y now m et t h e l e g a l
q u a l i f i c a t i o n s f o r r a n k among t h e h e r e d i t a r y n o b i l i t y .
The
e q u i t e s h a d , b y t h i s t i m e , becom e w hat B u c h e r c a l l s a "money
38
a ris to c ra c y ."
So r i g i d w e re t h e c l a s s l i n e s a t t h e t o p t h a t a b o v e
t h e men o f b u s i n e s s o f e q u e s t r i a n r a n k , i n s o c i a l s t a n d i n g
th o u g h n o t n e c e s s a r i l y i n w e a l t h , t h e r e was i n C i c e r o ’ s tim e
39
an a r i s t o c r a c y .
By t h i s tim e a l l t h e a r i s t o c r a t s w e re
known a s o p t l m a t e s .
Of t h e s e t h e " C l a r i s s l m a ." t h e h i g h e s t
38 K a r l B u c h e r , B e l t r S g e z u r W l r t s c h a f t s g e s c h l o h t e ( T u b in g e n ,
1922) p . 101.
39 See S .A . Cook, e t a l , The Roman R e p u b l i c ( 1 3 3 - 4 4 B . C .)
v o l . IX o f t h e C am bridge A n c i e n t f l i s t o r y (C a m b rid g e .
1 932 ) p p . 777-7T5T
o f t h e h i g h i n f a m e , i n c l u d e d some o f t h e o l d e s t an d m o s t
40
a r i s t o c r a t i c f a m i l i e s o f Roman h i s t o r y .
In t h e c o u r s e o f t h r e e h u n d r e d y e a r s 600 c o n s u l s
w e re e l e c t e d .
Of t h i s num ber t w e n t y - f o u r w e re new m en, and
one o f t h e s e , M a r i u s , s e r v e d s e v e n o f t h e t w e n t y - f o u r t e r m s .
” I n r e g a r d t o t h i s c o n d i t i o n one can sp e ak o f t h e r u l e o f
41
a n o b ility .”
And a g a i n one m ust b e a r i n m ind t h a t new
men w e re n o t n e c e s s a r i l y l a c k i n g i n s o c i a l c l a s s b a c k g r o u n d s .
Mosca s a y s t h a t ” i n r e p u b l i c a n Rome t h e m ore p r o m in e n t
f a m i l i e s h e l d t h e same p u b l i c o f f i c e s from f a t h e r t o so n f o r
42
g e n e ra tio n a f t e r g e n e ra tio n .”
Prom t h e f o r e g o i n g i t w ould a p p e a r t h a t t h e R e p u b l i c
was n o t t r o u b l e d b y e x t e n s i v e upw ard s o c i a l c l a s s m o b i l i t y .
So f a r a s h e r s o c i a l c l a s s e s a r e c o n c e r n e d , Rome was n e v e r
d e m o c ra tic .
B ut a l r e a d y to w a rd t h e end o f t h e R e p u b l i c
r u m b l i n g s o f new an d f o r e b o d i n g t h i n g s t o come w e re h e a r d .
A c o n c e r n o f a l l a r i s t o c r a t s was t h e d e c l i n e i n t h e
b i r t h r a t e among a l l Romans a n d p a r t i c u l a r l y among t h e u p p e r
c la s s .
S u c h a t r e n d , i f i t c o n t i n u e d , would s p e l l t h e en d
o f t h e w hole c l a s s a s a h e r e d i t a r y s e l f - p e r p e t u a t i n g e n t i t y .
O b v i o u s l y , r e c r u i t m e n t was i n o r d e r ,
S u l l a , who c o u l d
s a f e l y b e t r u s t e d to choose a r i s t o c r a t s , p ro v id e d f o r t h e
a u t o m a t i c e l e v a t i o n o f members o f t h e q u a e s t o r i a n c o l l e g e
43
i n t o t h e s e n a t e , a n d h e i n c r e a s e d t h e i r n u m b e r.
40 G e l z e r , 0£ . c i t . . p . 3 2 .
41 I b i d . . p p . 3 9 - 4 1 .
42 G a e t a n o M osca, The R u l i n g C l a s s , e d . and r e v . b y A r t h u r
L i v i n g s t o n (New Y o r k , 1939) p . 2 6 0 .
43 Cook, e t a l . , ojo. c i t . . , v o l . IX , p . 2 8 7 .
T h i s was a s i g n o f f u t u r e t r o u b l e , b u t i t d i d n o t
p o i n t t o t h e im m e d ia te d i s i n t e g r a t i o n o f t h e u p p e r c l a s s e s .
At t h e tim e o f C i c e r o ” . . .
t h e r e w ere s t i l l p r o m in e n t I n
Rome b e a r e r s o f f a i r - s o u n d i n g names l i k e t h e C o r n e l l ! ,
44
C la u d ii or S u l p i o i i .”
I t may b e s a f e l y s t a t e d t h a t t h e
p e r i o d o f c iv ’l l w a rs was m ore d e s t r u c t i v e t o t h e Roman
p o l i t i c a l a n d c o n s t i t u t i o n a l s y s te m t h a n t o t h e s o c i a l
c la ss s tr u c tu r e .
The m id d l e c l a s s e s .
Pew c h a n g e s t o o k p l a c e among
th e m id d le c l a s s e s d u r in g th e l a s t days o f th e R e p u b lic .
J u l i u s C a e s a r g r a n t e d c i t i z e n s h i p t o a l l d o c t o r s and t h o s e
p u r s u i n g o t h e r s t u d i e s who l i v e d i n Rome o r who m ig h t move
45
th e re .
T h i s a c t p r o b a b l y h a d l e s s e f f e c t upon t h e s o c i a l
c l a s s e s t h a n I t d i d upon t h e t h e o r i e s p e r t a i n i n g t o
c la sse s.
th e
I t c o n t r i b u t e d t o t h e r e p l a c e m e n t o f Romans b y
G r e e k s an d o t h e r s fro m th e e a s t .
T h is , in th e c o u rs e o f
t i m e , p r o b a b l y s t r e n g t h e n e d t h e I m p r e s s i o n t h a t t h e r e was
c o n s i d e r a b l e s o c i a l m o b i l i t y i n Rome b e c a u s e o f t h e p r e v a l e n c e
o f G reek nam es.
S i n c e t h e r e w ere d e s t i n e d t o b e many f r e e d -
men o f G re ek n a t i o n a l i t y ^ was i t n o t n a t u r a l y e t i n c o r r e c t
t o r e a s o n t h a t a g r e a t many d e s c e n d a n t s o f f re e d m e n h a d r i s e n
in s ta tu s ?
The b u s i n e s s c l a s s e s w e re v e r y b u s y s u p p l y i n g a r m i e s ,
44 I b i d . . p . 7 7 7 .
45 E d u a r d M e y e r, C a e s a r s M o n a rc h ic und d a s P r l n c i p a t d e s
Pompe.lus ( S t u t t g a r t , 19 19) p . 4 8 3 .
b u i l d i n g p u b l i c w o r k s , a n d s u p e r v i s i n g c o l o n i a l eco n o m ic
a c tiv itie s .
T h e y w ere a c c u m u l a t i n g s t a g g e r i n g f o r t u n e s .
T h ey p r o b a b l y f e l t t h a t t h e y s h o u l d b e a c c o r d e d f u l l p r e s ­
t i g e , f o r i t i s a u t h o r i t a t i v e l y re p o rte d t h a t th e l a s t
d e c a d e s o f t h e R e p u b l i c w ere p e r i o d s o f s t r u g g l e b e tw e e n
t h e e q u e s t r i a n s and t h e s e n a t o r s o v e r t h e s p o i l s o f im 46
p e ria lism .
H ow ever, ev en w i t h t h e e s t a b l i s h m e n t o f t h e
E m p ire, t h e r e i s no e v id e n o e o f s o c i a l v i c t o r y f o r t h e
p u b l l c a n i and e q u i t e s .
I n d e p e n d e n t f a r m e r s w e r e , a s i s w e l l know n, r a p i d l y
lo s in g g ro u n d .
T h ey were s i n k i n g , an d t o t h a t e x t e n t t h e r e
was s o c i a l c l a s s d e s c e n t .
T h e i r p o s i t i o n , i n c o m p a r is o n t o
o t h e r g r o u p s , was f a l l i n g .
T h i s , o f c o u r s e , was a s p e c i a l
k in d o f s o c i a l c la s s m o b ility .
S l a v e s a n d t h e Roman p r o l e t a r i a t .
k i n d s o f s l a v e s , a s h a s b e e n show n .
T h e r e w e re many
T i r o was C i c e r o ' s c h i e f
se c re ta ry *
" H is l i t e r a r y p o w e rs f i t t e d him t o h e l p C i c e r o
47
in h is w ritin g s • . •
Some s l a v e s w e re t i e d b y c h a i n s ,
some w e re h o u s e s e r v a n t s , some w e re t e a c h e r s and p h y s i c i a n s *
T h e r e was m uch s o c i a l c l a s s m o b i l i t y among f r e e d m a n ,
i f one v ie w s t h e m a t t e r s u p e r f i c i a l l y .
A c t u a l ly m ost o f
t h e s e a s c e n d i n g p e r s o n s w e re o n l y r e g a i n i n g i n Rome s o m e th i n g
46 P r a n k , o p . c i t . , p . 4 7 .
47 Cook, e t a l . , o p . c i t . , v o l . IX , p . 7 8 8 .
o f t h e p o s i t i o n a n d s t a t u s w h ic h t h e y h a d h a d i n G re e c e *
The
p e r i o d o f f r e q u e n t " r i s i n g fre e d m e n " came d u r i n g t h e f i r s t
c e n t u r y A .D . and w i l l b e d i s c u s s e d i n t h a t c o n n e c t i o n .
The a r t i s a n s i n t h e c i t i e s e x p e r i e n c e d i r r e g u l a r em­
p l o y m e n t and much u n e m p lo y m e n t.
They l a c k e d e d u c a t i o n , a d e ­
q u a t e h o u s i n g a n d home t r a i n i n g ; e v e n a p r i v a t e p l a c e t o
48
l o u n g e was n o t t h e i r s .
The p l e b s w ere b y t h e c o n d i t i o n s
o f l i f e v i r t u a l l y c u t o f f fro m a c h a n c e t o r i s e .
s l a v e s w e re f r e q u e n t l y i n b e t t e r p o s i t i o n s ,
H o u s e h o ld
s o c i a l l y and
e co n o m ic a l l y .
Were t h e s e t h e p l e b e i a n s ?
The p e o p l e who, t h r e e c e n ­
t u r i e s e a r l i e r , had ach iev e d e q u a lity w ith th e p a t r i c i a n s ?
T r u l j j t h e s e w e re t h e g r e a t b o d y o f p l e b s who h a d becom e t h e
p r o l e t a r i a t o f Rome.
h a d n o t im p ro v e d i n
In s i x h u n d red y e a rs t h e i r p o s i t i o n
th e l e a s t .
And n o t f o r a n o t h e r t h r e e
h u n d r e d y e a r s w ere t h e y t o b e g i v e n w ork and t h e d i g n i t y o f
i n h e r i t e d and a p p r e n t i c e d o c c u p a t i o n s .
As u s u a l i n t h e
a n c i e n t w o r l d , t h e i r m o b i l i t y was n e v e r g r e a t .
L ik e t h e
t o i l e r s on t h e l a n d t h e y f l u c t u a t e d b e tw e e n "B" t o "Cn on
th e s o c ia l s c a le .
a w ay .
To them t h e v o t e was g i v e n ; i t was t a k e n
T h e i r c l a s s p o s i t i o n was l i t t l e
a f f e c t e d e i t h e r w ay .
48 W. Warde F o w l e r , S o c i a l L i f e a t Rome (New Y o rk , 1 9 0 9 )
p . 29.
CHAPTER VI
CLASS RIGIDITIES IN THE ROMAN EMPIRE
D id t h e Roman E m p ire d i f f e r i n i t s
and s t r u c t u r e fr o m t h e R e p u b l i c ?
c la ss r i g i d i t i e s
What h a p p e n e d t o t h e s o c i a l
c la s s e s d u rin g th e b r u t a l re ig n s o f th e f i r s t c en tu ry ?
in g th e c e n t u r ie s o f r a p i d d e c lin e ?
a ris to c ra tic
te n o r?
D u r­
Did Roman l i f e l o s e i t s
U n d e r t h e E m p e ro rs , d i d men r i s e from
th e b o tto m to t h e to p ?
The p u r p o s e o f t h i s c h a p t e r i s t o a n sw e r t h e s e and
s i m i l a r q u e s t i o n s , t o o u t l i n e t h e m ain a s p e c t s o f s o c i a l
c l a s s t r e n d s , a n d t o c o r r e c t some o f t h e e r r o r s f o u n d i n
so c io lo g ic a l in te rp re ta tio n s of th is e ra .
The n e e d f o r s u c h
c o rre c tio n
i s i n d i c a t e d , f o r i n s t a n c e , in th e fo llo w in g
1
s ta te m e n t q u o ted b y S o ro k in :
. . * a s to t h e p a t r i c i a n s , to th e tim e o f C a e s a r, t h e r e
w ere o n l y a b o u t f i f t e e n p a t r i c i a n f a m i l i e s s u r v i v i n g ;
a l l o t h e r s w e re e x t i n c t . Even t h e e q u e s t r i a n and n o b l e
f a m i l i e s w h ic h c lim b e d a t t h e tim e o f C a e s a r and A u g u s tu s
w ere e x t i n c t a t t h e tim e o f C l a u d i u s .
The C a m b rid g e A n c i e n t H i s t o r y , h o w e v e r , s t a t e s t h a t b y t h e
tim e o f V e s p a s i a n ’’t h e num ber o f p a t r i c i a n f a m i l i e s h a d
2
s h r u n k c o n s i d e r a b l y ^ * " From t h e t im e o f C a e s a r t o t h a t o f
V e s p a s i a n was a s p a n o f 125 y e a r s .
1 P i t i r i m S o r o k i n , S o c i a l M o b i l i t y (New Y o rk , 1927) p . 3 5 7 .
2 S .A . C o o k , e t a l . , e d i t o r s , The I m p e r i a l P e a c e . A .D . 7 0 - 1 9 2 ,
v o l . x T o f The C am bridg e A n c ie n t B l s t o r y (C a m b rid g e ,
1936) p . 1 0 .
P r o s c r i p t i o n and d e a t h .
T h e re c an b e no d o u b t t h a t
t h e u p p e r c l a s s e s I n t h e c i t y o f Rome d e c l i n e d s h a r p l y
t h r o u g h p r o s c r i p t i o n a n d d e a t h d u r i n g t h e c i v i l wars and
th e f o u r C lau d ian r e i g n s .
A lth o u g h t h r e e h u n d red o p tlm a te s
and two th o u s a n d e q u i t e s h a d f a l l e n i n t h e c r u e l p r o s c r i p ­
t i o n s o f t h e se c o n d t r i u m v i r a t e , and f o r l o n g p e r i o d s e x e c u ­
t i o n s c o n t i n u e d d a i l y ; n e v e r t h e l e s s t h e a r i s t o c r a t i c e le m e n t s
d i d n o t l o s e t h e i r h o l d on Roman s o c i e t y .
A l t h o u g h v e r y few
o f t h e " m o s t a n c i e n t p a t r i c i a n f a m i l i e s ' 1 were l e f t b y t h e
3
tim e o f C l a u d i u s , t h e f r e s h e l e m e n t s i n t r o d u c e d b y h im and
b y V e s p a s i a n w e re n o t n o t a b l y fro m among t h e b u s i n e s s g r o u p s
o f t h e c a p i t a l o r fro m among t h e e x - s l a v e s I
A risto c ra ts
w ere b r o u g h t from G a u l and o t h e r o u t l y i n g d i s t r i c t s .
S o c ia l
c l a s s m o b i l i t y was f o r e s t a l l e d , so f a r a s t h e h i g h e s t c l a s s e s
w ere c o n c e r n e d .
"V esp asian fo und i t n e c e s s a r y to r e c r u i t
4
t h e r a n k s o f t h e a r i s t o c r a c y fro m I t a l y an d t h e p r o v i n c e s . "
S o c ia l m o b ility in th e sense of r i s i n g in s o c ia l
s t a t u s b y e f f o r t , i n t e l l i g e n c e , and e n t e r p r i s e i n t o t h e
h i g h e r and h i g h e s t c l a s s e s was n o t c h a r a c t e r i s t i c o f t h e
f i r s t c e n t u r y , i n s p i t e o f t h e many r e c u r r i n g l y em pty s e a t s
in th e s e n a te .
S o m e tim e s , i t i s t r u e , p e r s o n a l f r i e n d s o f
t h e e m p e r o r , i n s i d e r s , pim ps o f t h e i m p e r i a l h o u s e h o l d , c o n n i v e r s , s c h e m e rs, f l a t t e r e r s , d id r e c e i v e tem p o rary r e c o g n i­
tio n .
Even some f r e e d m e n , l i k e P a l l a s , w e re known t h r o u g h o u t
3 Sam uel D i l l . Roman S o c i e t y fro m N ero t o Marous A u r e l i u s
( L ond on , 1925) p p . 7 0 - W .
4 Loc. c i t .
t h e E m p ire f o r t h e i r w e a l t h a n d h i g h f a v o r , b u t t h e s e p e r ­
s o n s d i d n o t e s t a b l i s h a new r u l i n g c l a s s .
At t h e en d o f
th e c e n tu r y an e n lig h te n e d e m p e ro r, f o llo w in g th e p r a c t i c e
o f r u l e r s s i n c e S u l l a , fo u n d r e c r u i t s f o r h i g h d i g n i t i e s
among a n c i e n t f a m i l i e s .
The f a m i l y l i f e a n d p r o c r e a t i v e
h a b i t s o f t h e l a n d ow ning a r i s t o c r a t s p r o v i d e d a s t a b l e
u p p e r c l a s s f o r c e n t u r i e s t o come, even u n t i l a f t e r t h e i n ­
v a sio n s •
I n s p i t e o f t h e p r o s c r i p t i o n s and c o n f i s c a t i o n s
w h ic h c h a r a c t e r i z e d many o f t h e a c t i o n s o f s e v e r a l o f t h e
e a r l y e m p e r o r s , i t w ould b e i n c o r r e c t t o t h i n k t h a t t h e s e
d i c t a t o r s w ere e n e m ie s o f t h e a r i s t o c r a t i c way o f l i f e and
of a l l a ris to c ra ts.
n o b le f a m ilie s
On t h e c o n t r a r y , t h e y s u b s i d i z e d many
(a n a r i s t o c r a t i c p r a c t i c e t o b e r e p e a t e d d u r ­
in g th e l a s t re ig n s o f th e F ren ch k in g s b e fo re th e r e v o l u t io n ) .
A u g u s tu s " fo u n d i t p o l i t i c t o s u b s i d i s e many g r e a t f a m i l i e s .
The same p o l i c y h a d b e en c o n t i n u e d b y T i b e r i u s , N e r o , and
5
V e sp a sia n .”
A u g u s tu s was e s p e c i a l l y s o l i c i t o u s o f t h e
w e lfa re of th e a r i s t o c r a t s .
He p u r g e d t h e s e n a t e o f t h o s e
who h a d b r o u g h t shame upo n i t s name a n d a p p o i n t e d w o r th y
new members t o t h e h i g h e s t g r o u p o f t h e a r i s t o c r a c y , t h e
6
p a t r i c i a n s , t h a t t h e i r i n f l u e n c e m ig h t n o t d i e o u t .
5 I b id . . p . 71.
6 Edward G ib b o n , The D e c l i n e and F a l l o f t h e Roman E m p i r e .
v o l . I (Modern L ibrary e d i t i o n , "Ye w Y ork , 1 9 3 2 )
p p . 53-54.
R e g a r d i n g t h i s p e r i o d , h o w e v e r , S o r o k i n m akes t h e
f o l l o w i n g g e n e r a l i z a t i o n , i n t i m a t i n g much s o c i a l c l a s s
7
m o b ility :
. . . a f t e r t h e end o f t h e R e p u b l i c , t h e u p p e r o l a s s e s
b e g a n t o b e f i l l e d b y c l i m b e r s fro m s t i l l l o w e r s t r a t a —•
t h e f r e e m e n , s l a v e s and b a r b a r i a n s . I n t h i s w ay, " t h e
s h o v e l o f s o c i a l s e l e c t i o n " dug d e e p e r a n d d e e p e r u n t i l
i t r e a c h e d t h e v e r y b o tto m o f t h e s o c i a l p y r a m i d .
The v a l i d i t y o f t h i s s t a t e m e n t b e co m es t h e m ore u n c e r t a i n
t h e m ore one r e a d s t h e c a r e f u l l y d o c u m e n te d h i s t o r i e s o f
th e p e rio d .
The new a r i s t o c r a c y a n d th e r o l e o f w e a l t h .
I t is
s a i d o f V e s p a s i a n , who was c h i e f l y I n s t r u m e n t a l i n s e t t i n g up
t h e a r i s t o c r a c y w h ic h was t o c h a r a c t e r i z e t h e E m p ire a s t h e
p a t r i c i a n s an d o p t i m a t e s h a d c h a r a c t e r i z e d t h e R e p u b l i c ,
that he was "prudent" and given to making sound ch o ic es in
a d le c tin g the p r o v in c ia ls .
8
,
Munzer n o te s th a t in t h is new
9
n o b i l i t y w e re many fam ous f a m i l y l i n e s o f r e p u b l i c a n Rome.
T h e s e new s e n a t o r s
( n o t new m e n ), w i t h t h e t i t l e s o f
i l l u s t r l s and s p e o t a b lle s , were patrons o f th e new s a t e l l i t e
c i t i e s and otherw ise were u s u a lly a g r ic u ltu r a l m agnates•
B o th t h e i r p r o p e r t y and t h e i r p o s i t i o n s o f h o n o r w ere
10
h e r e d i t a r y th ro u g h th e c e n t u r i e s .
7 S o r o k i n , oj). o i t . , p . 4 9 7 .
8 Cook, e t a l . . o p . o i t . . p . 1 0 .
9 F r i e d r i c h iitin z e r , k tim isch e A d e l s p a r t e l e n u n d A d e l s f a m l l i e n
( S t u t t g a r t , 1920) p . 3757
10 P o n t u s E . F a h l b e o k , D ie K l a s s e n und d i e G e s e l l s c h a f t ( J e n a .
1922) p . 3 3 0 .
I t l a p o s s i b l e , even p r o b a b l e , t h a t among t h i s new
a r i s t o c r a c y , e s t a b l i s h e d a f t e r m o re t h a n a c e n t u r y o f
p u r g i n g s , b a s e d l a r g e l y on t h e s t r o n g e s t s u r v i v i n g a r i s t o ­
c r a t i c f a m i l i e s o f t h e E m p ir e , t h e r e w ere a t l e a s t some
r e p r e s e n t a t i v e s o f t h e now o l d e q u i t e g ro u p *
s o c i a l c l a s s e s w e re n o t d i f f u s e d .
But th e
T h e r e was a h i g h c l a s s ,
p r a c t i c a l l y t h e same a s b e f o r e , e x c e p t f o r l o s s e s due t o
p u rg es and th e in c l u s i o n in th e s e n a te o f p r o v i n c i a l a r i s t o ­
c ra ts.
W e a l t h , i n g e n e r a l , h o w e v e r , was n o t s t r o n g en o u g h
t o c r a s h th e to p c i r c l e s , even in t h i s p e rio d o f t h e i r
g r e a t e s t w e a k n e ss and r e o r g a n i z a t i o n .
D ill re p o rts th a t
" a f t e r t h e l o c a l a r i s t o c r a c y o f c u r i a l r a n k , cam e, i n o r d e r
o f s o c i a l p reced en ce, members of the k n ig h tly /e q u e s tr ia n 7
11
c l a s s and t h e o r d e r o f A u g u s t a l e s . "
The l a s t m e n tio n e d
w e re a s p e c i a l g r o u p o f r i c h men who w ere d e n i e d t h e h o n o r s
o f h ig h e r s o c ia l c la s s .
The o r d e r o f p r e c e d e n c e w a s , t h e n ,
much a s b e f o r e : a r i s t o c r a t s , c a p i t a l i s t s and f i n a n c i e r s ,
a n d new m i d d l e c l a s s e l e m e n t s made up l a r g e l y o f r i c h
G reek s.
W e a lth y fre e d m e n r e c e i v e d a d e c o r a t i o n o f d u b i o u s
12
s o c i a l p r e s t i g e v a lu e , th e o rd e r o f A u g u s ta le s .
T rim a lc h io
was t h e c l a s s i c e x a m p le .
B u t t h e e q u i t e s , i n t h o s e d a y s o f p e a c e an d p r o s p e r i t y ,
c o u ld n o t o r d i n a r i l y e x p e c t t o aso en d t h e s o c i a l l a d d e r .
11 D i l l , 0£ . o i t . , p . 2 1 5 .
12 I b i d . , p . 2 l 6 .
T hey a r e r e f e r r e d t o a s a p a r t o f t h e m i d d l e c l a s s , a l o n g
w ith d e sc e n d a n ts o f th e o ld c i t i z e n farm e rs and s o l d i e r s .
I t was t h e y who h a d t o s h a r e w i t h " a l a r g e n um ber o f f r e e d 13
men" t h e t r a d e a n d i n d u s t r y o f t h e f a r f l u n g E m p ir e .
W henever t h e l e a d e r s o f i n d u s t r y d i d f o u n d a s e n a t o r i a l
h o u s e , t h e y c l o s e d t h e d o o r a s soon a s t h e y e n t e r e d , f o r
t h e i r d e s c e n d a n t s w ere t o b e f o u n d , f o u r and f i v e c e n t u r i e s
l a t e r , e x p r e s s i n g c o n te m p t f o r m anual i n d u s t r y a n d t r a c i n g
14
t h e m s e l v e s b a c k t o " S e i p i o o r even t o A e n ea s o r Agamemnon."
I t was n o t a t t h e end o f t h e t h i r d c e n t u r y A .D . b u t
a t t h e e n d o f t h e f i r s t t h a t Rome s e t h e r s o c i a l c l a s s
s t r u c t u r e i n o r d e r , so f a r a s t h e u p p e r c l a s s e s w ere c o n ­
cern ed .
I f t h e e q u i t e s r e m a in e d i n t h e m id d l e c l a s s , a s
t h e C am bridge A n c i e n t H ia to n y . s t a t e s , and i f th e . new
a r i s t o c r a c y becam e f r o z e n f o r c e n t u r i e s t o come, a s F a h l b e c k
and D i l l d e s c r i b e , t h e n i t i s c o r r e c t t o r e f e r t o Rome a s
a r i s t o c r a t i c a n d r i g i d i n s o c i a l c l a s s fro m h e r i n c e p t i o n
to h e r end.
The f o l l o w i n g s t a t e m e n t b y S o r o k i n , t h e n , w ould
a p p e a r t o b e someshsfc e x a g g e r a t e d :
I t i s p o s s ib l e to s a y , w ith a r e a s o n a b le d e g re e o f
c e r t a i n t y , t h a t t h e p e r i o d fro m th e l a s t c e n t u r y o f t h e
R e p u b l i c t o t h a t o f t h e t h i r d c e n t u r y A .D . was i n g e n e r a l
a p e rio d of in te n s iv e m o b ility .
The o n l y p e r i o d s o f s o c i a l c l a s s c o n f u s i o n , even> w ere two
decades in
th e c e n t e r o f e a c h o f t h e two c e n t u r i e s , one t h e
13 Cook, e t a l . , 0£ . c l t . . v o l . XE, p . 7 6 1 .
14 D i l l , Q£. c l t . . p . 2 5 3 .
f i r s t c e n t u r y B .G . and t h e o t h e r t h e f i r s t c e n t u r y A.D.
In
t h e c o n f u s i o n w h ic h a c c o m p a n ie d t h e e s t a b l i s h m e n t o f t h e
E m p i r e , t h e u p p e r c l a s s e s i n Rome w e re t h e m s e l v e s num ero us
en o u g h t o f i l l
i n t h e g a p s c a u s e d b y d e a t h and p r o s c r i p t i o n .
I n t h e d a r k d a y s o f C a l i g u l a (who a p p o i n t e d a h o r s e t o t h e
s e n a t e ) a n d N e r o , a s c e n t on t h e s o c i a l s c a l e
w h i r l ) d i d n o t e s t a b l i s h a new s o c i a l c l a s s .
(in th e s o c ia l
S p o ra d ic r i s e s ,
t h e m s e l v e s e x c e p t i o n s , w ere c h a r a c t e r i z e d b y t h e i r tfem p orary
n a tu re .
The a c t u a l r u l i n g c l a s s e s o f Roman s o c i e t y e i t h e r
r e t a i n e d s t a t u s o r d i s a p p e a r e d t o g i v e way t o t h e i r a r i s t o i
c r a t i c c o u s i n s fro m o r i n t h e p r o v i n c e s .
The p l e b s o f t h e e a r l y E m p i r e .
D u r in g th e p e r i o d o f
i m p e r i a l p r o s p e r i t y t h e a r t i s a n s w e re o c c u p i e d , e n t e r t a i n m e n t
was f u r n i s h e d , b r e a d was f r e e , m i s e r y was n o t w i d e s p r e a d , t h e
t r e a s u r y was n o t b a n k r u p t , t h e p l e b s lo u n g e d i n th e Forum
by day and s l e p t in ln s u la e b y n i g h t .
r e p o r t a b o u t th e m .
T h e r e was l i t t l e
to
L i t t l e was r e p o r t e d .
O n ly i n t h e c o l l e g i a d o e s one s e e w h a t was h a p p e n i n g
t o t h e s o c i a l r e l a t i o n s h i p s on t h i s lo w e r l e v e l o f s o c i e t y .
H e re t h e same f e e l i n g f o r r a n k and t e n d e n c y to w a rd g r a d a t i o n
t h a t c h a r a c t e r i z e d t h e u p p e r c l a s s e s was n o t i c e a b l e .
D ill
15
s ta te s:
We h a v e draw n a t t e n t i o n . . . t o t h e s t r i c t g r a d a t i o n o f
s o c i a l r a n k i n t h e c i t y p o l i t y . The same c h a r a c t e r i s t i c
i s r e p e a t e d i n t h e c o l l e g i a t e o r g a n i s a t i o n . In t h e s e hum­
b l e p l e b e i a n c o t e r i e s , composed o f ”men w i t h o u t a g r a n d ­
f a t h e r , ” p e r h a p s , whose f a t h e r was a s l a v e , o r o f men who
w ere s l a v e s t h e m s e l v e s , t h e r e e m e r g e s , t o o u r a s t o n i s h m e n t ,
a p u n c t i l i o u s o b s e r v a n t s o f shadowy s o c i a l d i s t i n c t i o n s ,
w h ic h i s an i n h e r i t a n c e from t h e e x c l u s i v e a r i s t o c r a t i c
p r id e o f th e o ld r e p u b l i c .
15
I b i d . . ~ pT
270.
T h e s e c o l l e g i a e l e c t e d p a t r o n s fro m among t h e m id d l e c l a s s e s
and so m e tim es fro m among t h e p u b l i c o f f i c i a l s o f t h e E m p ir e .
The h u m b le r c o l l e g e s h a d t o b e c o n t e n t w i t h r i c h f r e e d m e n .
B u t i n f r a t e r n i z i n g w i t h t h e p l e b s , t h e p a t r o n d id n o t l o s e
h is d ig n ity .
He s a t i n pomp, a t e t h e b e s t f o o d , was w rapped
in se lf-im p o rta n c e .
S l a v e s a n d e x - s l a v e s i n t h e e a r l y E m p ir e .
The I n f l u ­
e n c e o f s l a v e s and f r e e d m e n u pon t h e s o c i a l c l a s s s t r u c t u r e
a n d t h e e x t e n t t o w h ic h t h e y s h i f t e d t h e i r s o c i a l p o s i t i o n
by g a in in g a d m iss io n I n t o th e c l a s s e s of f r e e c i t i z e n s a re
d i f f i c u l t to e stim a te f o r t h is
e a r l y p e r i o d o f t h e E m p ir e .
Two n e g l e c t e d f a c t s , h o w e v e r , s h o u l d b e e m p h a s iz e d a t t h e
o u tse t:
(1 ) some s l a v e s c a r r i e d i n t h e i r p e r s o n s t h e c u l t u r e ,
e d u c a t i o n , t r a i n i n g , and a t t i t u d e s o f t h e m id d l e and u p p e r
c l a s s e s o f G r e e c e and A s i a M in o r;
d i d n o t s p r i n g fro m s l a v e r y .
( 2 ) many s u c c e s s f u l G re e k s
T hese l a t t e r o f te n descended
from f r e e G re e k s who h a d b e e n b o t h e n t e r p r i s i n g and s u c c e s s ­
f u l I n t h e H e l l e n i c w o r l d a n d h a d now come t o d o m in a te and
c o n t r o l l a r g e p o r t i o n s o f Roman b u s i n e s s .
The " d i s a p p e a r a n c e
o f t r u e Romans, t h e a l l e n i z a t i o n o f t h e f r e e Roman p o p u l a t i o n
w h ic h w en t on a t a r a p i d r a t e d u r i n g t h e f i r s t c e n t u r y A .D .,
was n o t a l t o g e t h e r a r e s u l t o f .m a n u m is s io n .
Much i m m i g r a t i o n
f a c i l i t a t e d th e f o r e ig n iz a tio n o f I t a l y .
Many s l a v e s w e re t h e m a n a g e r s o f t h e i r o w n e r s ' e n t e r ­
p r i s e s ; some ev en r e a c h e d t h e i r h a n d s i n t o t h e i m p e r i a l
t r e a s u r y , w h ic h was t h e e m p e r o r 's h o u s e h o l d f u n d .
What
th e y d id as s l a v e s , th e y r e p e a te d tw o -fo ld a s freedm en.
I f t h e f re e d m e n w e re t o h a v e h a d an e f f e c t upon t h e
u p p e r c l a s s e s , t h i s was s u r e l y g r e a t l y h a m p e red an d c h e c k ­
m ated b y t h e i n t r o d u c t i o n
s e n a to ria l ran k s.
of p ro v in c ia l a r is to c r a ts in to
S u c h was R o m e's way o f f i l l i n g
th e v o id s
a t th e t o p , l e f t b y l i n e s w h ic h h a d d i e d o u t o r h a d b e e n
m urdered.
The r e p l e n i s h i n g o f t h e r a n k s o f t h e a r i s t o c r a c y from
f a r f l u n g c i t i e s and d i s t r i c t s may h a v e b e e n a s l a p i n t h e
f a c e o f some o f t h e n o v l h o m in e s who h a d h u m i l i a t e d t h e
s e n a t e b y c a r r y i n g on i n t r i g u e s w i t h i n t h e p a l a c e .
it
C e rta in
I s t h a t t h e new a r i s t o c r a c y was n o t r e c r u i t e d ev en from
t h e s e s u c c e s s f u l f r e e d m e n , a l t h o u g h some o f them w ere so
w e l l v e r s e d i n p h i l o s o p h y , r h e t o r i c , an d l a n g u a g e s a s t o
c o n s i d e r even t h e c u l t i v a t e d Romans b e n e a t h th e m .
S till
t h e y c o u l d n o t o f f i c i a l l y r i s e ; Rome was c o m m itte d t o s o c i a l
c la ss e x c lu siv e n e ss.
A lth o u g h some v e r y h i g h i m p e r i a l o f f i c e s w ere h e l d
b y fr e e d m e n u n t i l t h e t im e o f H a d r i a n , t h e y w ere " v e r y e x ­
c e p tio n a l c ase s.
In th e b u re a u x o f f i n a n c e , i t h a s been
d i s c o v e r e d from t h e i n s c r i p t i o n s t h a t t h e o f f i c i a l s were
16
a l l of e q u e stria n ra n k ."
16 I b i d . , p . 1 1 6 .
192
A P a l l a s o r a N a r c i s s u s was i n t h e a l m o s t e q u i v a l e n t
p o s i t i o n o f a " F a t t y MA r b u c k l e : r i c h , p r a i s e d , p o p u l a r , b u t
. o f n o s i g n i f i c a n t i n f l u e n c e upon t h e s o c i a l c l a s s s y s te m i n
t h is or th e next g e n e ra tio n .
The i n a b i l i t y o f t h e " m e r e l y
r i c h " t o become s o c i a l l y i m p o r t a n t i s
P e tro n iu s .
17
sa y in g :
i l l u s t r a t e d by
He q u o t e s a g u e s t a t t h e t a b l e o f T r i m a l c h i o a s
T h a t one /&. f r i e n d o f T r i m a l c h i o / ' you s e e l y i n g a t t h e
b o t to m o f t h e en d o f t h e s o f a h a s e i g h t h u n d r e d t h o u s a n d .
He i s q u i t e a n o b o d y .
T r im a lc h io , in d i c t a t i n g h i s w i l l , o rd e r e d a s u n d ia l con­
s t r u c t e d w i t h h i s name on i t ,
" s o t h a t a n y o n e who l o o k s a t
18
t h e t im e w i l l h a v e t o r e a d i t w h e t h e r h e l i k e s i t o r n o t . "
C o n c e r n in g many o f t h e s e e x c e p t i o n a l l y r i c h p e r s o n s , f r e ­
q u e n t l y f r e e d m e n , D i l l w r i t e s t h a t " t h e y w i l l ’p i c k a
f a r t h i n g from a d u n g - h e a p w i t h t h e i r t e e t h ’ . . . .
T hey
19
w ere n o t , i n d e e d , en cu m b ered w i t h d i g n i t y o r s e l f - r e s p e c t . "
A re t h e s e t h e p e o p l e S o r o k i n r e f e r s t o , when s t a t i n g t h a t
t h e s h o v e l o f s o c i a l s e l e c t i o n was d i g g i n g t h e u p p e r c l a s s e s
fro m t h e b o tto m o f t h e s o c i a l p y r a m id ?
C o u ld Roman s o c i e t y
e le v a te th e s e p erso n s t o re p la c e d im in is h in g p a t r i c i a n l in e s ?
A c t u a l l y , Rome d i d n o t .
She d i d n o t e v e n e l e v a t e t h e m o st
c o m p e te n t a n d c u l t u r e d G re e k s who h a d t a u g h t h e r s o n s b u t
had b een h e r s l a v e s .
17 P e t r o n i u s , "The S a t y r i c o n , " i n Roman L i t e r a t u r e i n T ra n s
l a t i o n , G. Howe and G .A . H a r p e r , e d i t o r s (New Y o r k ,
1924 p . 5 6 6 .
18 I b i d . . p . 5 6 9 .
19 D i l l , 0£ . c l t . . p . 1 1 9 .
193.
The d i e I n t e g r a t i o n o f Roman c i v i l i z a t i o n .
S la v es
and f r e e d m e n , t h e w hole m ass o f them, w e re d e s t i n e d t o b e a
f a c t o r I n t h e u n d e r l y i n g c h a n g e s w h ic h t h e w h o le Roman
c i v i l i z a t i o n was t o u n d e r g o .
T hey u n w i t t i n g l y c o n t r i b u t e d
t o t h e d o w n f a l l o f t h e W e ste rn E m pire a n d i n d i r e c t l y t o t h e
r e e s t a b l i s h m e n t o f t h e s o c i a l s y s te m o f s e r f d o m and a g r a r i a n ­
is m .
The o t h e r m a j o r f a c t o r i n t h e d i s i n t e g r a t i o n o f t h e
Roman c i v i l i z a t i o n was t h e p ro g ram o f r a p i d c i t y - b u i l d i n g .
T h ese two p h a s e s , b o t h o f w h ic h a f f e c t e d t h e s o c i a l c l a s s e s
g r e a t l y , w i l l be ta k e n up in t h i s o rd e r:
(1) th e d e c l in e o f
t h e p o p u l a t i o n , p a r t i c u l a r l y o f s l a v e s , an d ( 2 ) t h e d i s o r ­
g a n iz a tio n caused by th e r a p id ex p an sio n o f c i t i e s .
A u g u s tu s d e c l a r e d p e a c e upon t h e w o r l d ;
c a p tiv e s
ceased to pour in .
The w o r k in g p o p u l a t i o n , t h e n , b e g a n t o
20
d e c l i n e r a p i d l y in num bers.
In d e c l i n i n g , th e a g r i c u l t u r a l
sla v e f i n a l l y a ch iev e d a b a rg a in in g p o s i t io n
(w ith o u t a c la s s
s t r u g g l e ) w h ic h l e d t o h i s s l i g h t e l e v a t i o n i n r i g h t s and
p r i v i l e g e s u n d e r a new sy ste m o f s e r f d o m .
F u rth e rm o re , de­
c l i n i n g s l a v e power s p e l t d e c l i n i n g econ om ic p r o d u c t i v i t y
t h r o u g h o u t t h e E m p ire , c o n t r i b u t i n g t o t h e f a m i n e s a n d d e ­
c e n t r a l i z a t i o n w h ic h s t a r t e d d u r i n g t h e r e i g n o f M arcus
A u re liu s.
The c l o s i n g o f t h e p e r i o d o f c o n q u e s t a n d t h e " c o n s e ­
q u e n t c l o s i n g o f t h e i m p o r t a t i o n o f f r e s h s l a v e s , made i t
20 I b i d . . p . 2 5 2 .
21
n e c e ssa r y to tr e a t the sla v e s . . • with g re a te r care."
The s h o r t a g e o f man pow er was s o o b v io u s t h a t i n t h e m id d l e
o f t h e se c o n d c e n t u r y many h u m a n i t a r i a n r e f o r m s w ere i n s t i 22
tu ted to p r o te c t the 3 la v e ,
and as the number of s la v e s
d e c l i n e d , t h e c a p t i v e s t a k e n i n o c c a s i o n a l b a t t l e s w ere no
l o n g e r e n s l a v e d b u t w ere u s e d i n a g r i c u l t u r e a s s e r f s
23
(L e lb e lg e n e ) .
The " n a t u r a l i n c r e a s e o f s l a v e s w a s , o f
co u rse, v ery lim ite d .
. . . Many e n t e r p r i s e s h a d t o s h u t
24
down b e c a u s e o f t h e s h o r t a g e o f l a b o r . "
I n a w o rd , t h e b a s e o f t h e s o c i a l p y ra m id s h r a n k , and
t h e e co n o m ic pow er b e h i n d t h e s o c i a l p o s i t i o n s o f t h e u p p e r
and m id d le c l a s s e s w eakened.
A g r e a t econ om ic b u r d e n was
p l a c e d on t h e s h o u l d e r s o f t h e m id d l e c l a s s e s
(th e s e n a to r ia l
c l a s s was b o t h r i c h an d t a x - f r e e ) , and t h e y w ere l i t e r a l l y
25
c ru sh ed u n d e r i t ,
a s w i l l b e show n.
N ot o n l y was a d r o p i n t h e g e n e r a l p o p u l a t i o n , and
e s p e c i a l l y i n t h e number o f s l a v e s , d e s t i n e d t o d i s r u p t
n orm al l i f e .
P e r h a p s more s i g n i f i c a n t was t h e e x o d u s fro m
t h e r u r a l r e g i o n s i n t o t h e n e w ly b u i l t tow ns o f t h e E m p i r e .
T h is l e f t g r e a t s e c t i o n s o f a r a b l e l a n d u t t e r l y u n u s e d , d e ­
c r e a s i n g a g a i n t h e econom ic s u r p l u s b u t a d d i n g t o t h e
n a t i o n a l o u tg o t h e c o s t o f t h e s e new j e w e l c i t i e s .
21 R i c h a r d C o n g re v e , e d . , The P o l i t i c s o f A r i s t o t l e (L ond on,
1874) p . 4 9 7 .
22 G ib b o n , 0£ . c i t . , p p . S-S-dS,
23 F a h l b e c k , o p . c l t . , p . 3 3 2 .
24 l b i d . , p . 3 1 9 ; t r a n s l a t i o n o u r s .
25 M e lv in M. K n i g h t , E conom ic H i s t o r y o f E u ro p e t o t h e End
o f t h e M id d le Ages' ( B o s t o n , 1 9 2 6 7 p* 7 9 .
The c r i s i s i n c i v i l i z a t i o n w h ic h d e v e l o p e d r a p i d l y
a f t e r th e r e ig n o f A u re liu s le d d i r e c t l y to th e s t r i c t
s o c i a l c l a s s r u l e s o f D i o c l e t i a n and h i s s u c c e s s o r s ; a
d isc u ssio n of i t is th e re fo re re le v a n t.
T h i s c r i s i s was
i n n o s m a l l d e g r e e c a u s e d b y t h e c o l l a p s e o f t h e e c o n o m ic
b a s e upon w h ic h t h e mushroom c i t i e s w ere b u i l t .
The o r d e r o f s e q u e n c e o f p e r t i n e n t e v e n t s w a s:
c o n q u e st, b o o ty ,
sla v es;
(1 )
( 2 ) p e a c e and p r o s p e r i t y , d e c l i n e
i n p o p u l a t i o n , c o n s t r u c t i o n o f m i n i a t u r e Romes t h r o u g h o u t
I t a l y , N o r t h A f r i c a , a n d A s ia M in o r;
(3 ) econom ic c o l l a p s e ,
b a r t e r econom y, d e c e n t r a l i z a t i o n o f econom ic l i f e i n
th e
W est w h ic h s e t i n w i t h S e p t i m i u s S e v e r u s , b u rd e n s o m e t a x e s ,
s t r i c t le g a l c la s s c a te g o rie s , h e re d ita ry s o c ia l c la ss
d iv is io n s.
E s p e c i a l l y d u r i n g t h e r e i g n o f H a d r ia n w ere c i t i e s
c o n s t r u c t e d w h ic h a t t e m p t e d t o e q u a l Mt h e r a n k and s p l e n d o u r "
26
of th e ir g rea t p a re n t.
C itie s v ie d w ith each o th e r to b e ­
come t h e m ore s p l e n d i d , a n d c o m m u n itie s and p r o v i n c e s w h ic h
w e re b y no m eans r i c h f e l l i n t o t h e s p i r i t o f t h e a g e and
a ls o o v e rb u ilt.
The p r o c o n s u l h a d " s o m e tim e s t o m o d e r a te
27
t h e i r e m u la tio n ."
R ic h men a n d a r i s t o c r a t s a l i k e deemed
i t a l m o s t an o b l i g a t i o n t o c o n t r i b u t e w h a t a m o u n ted t o
m onuments t o t h e i r n a m e s.
A t t l c u s b u i l t m on um en tal b u i l d ­
in g s in h i s age o f sp len d o r e q u iv a le n t to th o se c o n s tr u c te d
26 G ib b o n , 0£ . c l t . . p . 3 2 .
27 I b i d . . p . 4 0 .
by th e R o c k e fe lle rs In t h i s c e n tu ry .
B ut t h e fu n d s f o r m ain ten a n ce d id n o t s u f f i c e .
In ­
s t e a d o f i n c r e a s i n g p r o d u c t i v i t y , many o f t h e c i t i e s a t ­
t r a c t e d eco n o m ic e f f o r t fro m a g r i c u l t u r e i n t o s t e r i l e
c h a n n e l s o f p u r e c o n s u m p ti o n .
S u m m arize d , t h e s t o r y r e a d s :
I t was a n a g e o f e n g i n e e r s an d a r c h i t e c t s , who t u r n e d
v i l l a g e s I n t o c i t i e s and b u i l t c i t i e s in th e d e s e r t ,
a d o r n e d w i t h t e m p l e s a n d s t a t e l y a r c h e s and b a s i l i c a s ,
and f e e d i n g t h e i r f o u n t a i n s fro m t h e s p r i n g s o f d i s t a n t
h ills.
The r i c h were p o w e r f u l and p o p u l a r ; and n e v e r
h a d t h e y t o p a y so h e a v i l y f o r p o p u l a r i t y and p o w e r .
The c o s t o f c i v i c f e a s t s an d g am es, o f fo ru m s and tem ­
p l e s a n d t h e a t r e s , was won b y f l a t t e r y , o r e x t o r t e d b y
an i n e x o r a b l e f o r c e o f p u b l i c o p i n i o n fro m t h e i r c o f f e r s .
The p o o r w ere f e a s t e d and amused b y t h e i r s o c i a l s u p e ­
r i o r s who r e c e i v e d a d e f e r e n c e and a d u l a t i o n e x p r e s s e d
on h u n d r e d s o f i n s c r i p t i o n s . And i t m u st b e c o n f e s s e d
t h a t t h e s e r e c o r d s o f a m b i t i o u s m u n i f i c e n c e and e x p e c t a n t
g r a t i t u d e do n o t r a i s e o u r c o n c e p t i o n o f e i t h e r t h e e c o ­
nom ic o r m o r a l c o n d i t i o n o f t h e a g e .
L ik e a u n i v e r s i t y w h ic h h a s a l l o w e d i t s e l f t o b e
g i v e n m ore b u i l d i n g s t h a n i t
can h e a t and sweep and s t a f f
w i t h t e a c h e r s , t h e Roman p r o v i n c e s b e g a n t o f e e l t h e p i n c h
of sh o rta g e s.
Funds w e re n o t s u f f i c i e n t t o k e e p t h e new
s y s te m o f f e a s t s and e a s y c o n s u m p tio n " a g o i n g c o n c e r n . "
The b u b b l e b u r s t .
W it h i n a s h o r t c e n t u r y a f t e r A u r e l i u s
t o o k o f f i c e t h e d i s i n t e g r a t i o n o f Roman c i v i l i z a t i o n i n t h e
W est h a d gon e f a r b e y o n d r e p a i r :
sta rv a tio n , p e stile n c e ,
w a r , " h a d co n su m ed , I n a few y e a r s , t h e m o i e t y o f t h e human
29
s p e c ie s ."
T h e re was a s e v e r e s h o r t a g e o f c o i n s , ro a d w a y s
w e re d e s e r t e d , c i t i e s f e l l I n t o a h u n g e r s lu m p .
28 D i l l , o g . c l t . . p . 4 .
29 G ib b o n , 0£ . c l t . . p . 2 4 5 .
The l u x u r y
197
30
o f m a g n i f i c e n t c i t i e s was " f a l s e c o n s u m p ti o n ."
K n ig h t s t a t e s :
Many o f t h e showy p u b l i c w o r k s , s u c h a s amp.llt h e a t e r s ,
b a t h s , and p a l a c e s , w h ic h a p p e a r e d i n i m p e r i a l t i m e s ,
w ere c o n s t r u c t e d p r i m a r i l y t o k e e p o t h e r w i s e i d l e l a b o r
e m p lo y e d . L ik e t h e E g y p t i a n p y r a m i d s , t h e y w ere n a t u r a l
p r o d u c t s o f t h e c o n te m p o r a r y s o c i a l o r d e r .
R e tr e n c h m e n t an d s t a b i l i z a t i o n i n t h e E a 3 t .
Prom t h e
r e i g n o f M arcus A u r e l i u s , when th e w e a k n e ss o f t h e E m p ire
became c l e a r f o r t h e f i r s t t i m e , t o t h e r e i g n o f D i o c l e t i a n ,
a b o u t one h u n d r e d y e a r s l a t e r ,
of i t s
s w ifte s t d e c lin e s.
c iv iliz a tio n
e x p e r i e n c e d one
Upon t h e d i f f e r e n t s t r a t a o f t h e
p o p u l a t i o n t h e e r a fro m a b o u t 170 A.D . onw ard h a d d i f f e r e n t
e ffe c ts •
The g i l d s , c a l l e d c o l l e g i a . w h ic h f o r c e n t u r i e s h a d
e i t h e r b e e n f o r b i d d e n o r a ll o w e d t o c o n t i n u e o n l y a s f r i e n d l y
s o c i e t i e s . , becam e o f f i c i a l , s t r o n g , and e f f e c t i v e i n s t r u ­
m e n ts o f s o c i a l p o l i c y .
S p e c i a l p r i v i l e g e s and d u t i e s w ere
a s s o c i a t e d w i t h a r t i s a n an d t r a d i n g g r o u p s .
Each g i l d had
a r e g u l a t e d m o n o p o ly , e a c h i t s a s s e m b l y , i t s l e a d e r s , i t s
31
b ro th erh o o d .
The b u r e a u c r a t s " h e l d t o g e t h e r t h e B y z a n t i n e
32
E m p ir e ; i t was e n l i g h t e n e d , i n d u s t r i o u s and o r d e r l y . "
The
r e a s o n s f o r and t h e n a t u r e o f t h e s t r i c t r u l e s i n t r o d u c e d b y
33
D i o c l e t i a n a r e su m m arize d b y M osca:
30 K n i g h t , o £ . c l t . , p . 6 6 .
31 P . B o l s s o n a d e , Le t r a v a i l d a n s 1*E u ro p e e h r e t l e n n e a u
moyen age (V-XVe s i& c le s ) ’ ( P a r is . i 9 2 i ) p . 5 7 .
32 Bede B a r r e t t , "The U n i v e r s a l C h u r c h ," i n t h e E n c y c l o ­
p a e d i a o f t h e S o c i a l S c i e n c e s . v o l . I (New Y o rk , 1 937)
p . 63.
33 G a e ta n o M o sca, The R u l i n g C l a s s . e d . an d r e v . b y A r t h u r
L i v i n g s t o n (New Y o rk , 1 9 3 9 ) p . 3 6 8 .
B e g i n n i n g w i t h D i o c l e t i a n ' s t im e , I n o r d e r t o d e a l
w i t h t h e g r a v e d e p r e s s i o n t h a t h a d f a l l e n upon t h e em­
p i r e . . . t h e s t a t e assu m ed e x t r a o r d i n a r y p o w e rs and
e x e rc is e d e x tra o rd in a ry fu n c tio n s of c o n tro l. I t p re ­
sumed t o d i s c i p l i n e t h e w h ole e conom ic s p h e r e o f l i f e ,
f i x i n g w ages a n d t h e p r i c e s o f c r o p s . I n o r d e r t o a s ­
s u r e c o n t i n u i t y i n w hat we w ould now c a l l " p u b l i c s e r ­
v i c e s , " i t p r o h i b i t e d t h o s e who w ere em ployed i n them
fro m l e a v i n g t h e i r p o s i t i o n s and o b l i g e d t h e son t o
fo llo w th e tr a d e h i s f a t h e r had fo llo w e d .
T h ese r e g u l a t i o n s w ere I n t r o d u c e d o n l y a f t e r e v e r y
e f f o r t h a d b e e n made t o k e e p t h e E m pire s o l v e n t b y t h e o r ­
d i n a r y m eans o f t a x a t i o n .
The m id d le c l a s s e s f o r m e r l y h a d
b e e n b u r d e n e d w i t h t h e c o s t s o f m u n i c i p a l u p k e e p and h a d
been c ru s h e d u n d e r th e l o a d .
Some s e n a t o r s had f l e d t h e
v e r y to w ns t h e i r g r a n d f a t h e r s h a d h e l p e d t o b u i l d a n d h a d
s e c l u d e d t h e m s e l v e s on l a r g e a g r i c u l t u r a l e s t a t e s .
Now t h e
w o r k e r s on t h e l a n d becam e c o l o n i , an d t h o s e I n t h e s h o p s
34
w ere l i k e w i s e h e l d i n p o s i t i o n s o f d e p e n d e n c e .
Now
b u s in e s s began t o r e t u r n to n o rm al.
The s o c i a l c o n d i t i o n s i n
a g r i c u l t u r e Im p ro v ed i n t h a t s l a v e r y gave way t o s e r f d o m ;
in th e c i t i e s ,
e x c e p t t h e c a p i t a l , t h e w o rk e rs w ere p r o v i d e d
w i t h m ore r e g u l a r work and an end was made o f t h e d o l e .
A b o u t t h e d e v e lo p m e n t o f t h e c l a s s e s In t h e Roman
w o r ld w r i t e r s h a v e d i v e r s e o p i n i o n s , b u t fro m what i s w e l l
known, t h e f o l l o w i n g c i t a t i o n
c an h a r d l y b e c a l l e d a c o r r e c t
35
summary o f t h e m e a n in g o f t h e s e c h a n g e s :
34 K a r l B u c h e r , B e itr & g e z u r W l r t s c h a f t s g e s e h l c h t e
1922) p . 1 9 6 .
35 K n i g h t , 0£ . c i t . . p . 8 1 .
( T ttb in g e n ,
U nder t h e R e p u b l i c , t h e i n d i v i d u a l ’ s p o s i t i o n and a c t i v ­
i t i e s h a d b e e n l a r g e l y d e t e r m i n e d b y h i s own w i l l and e f ­
f o r t s . The E m p ire r e d u c e d t h e p o p u l a t i o n t o a number o f
c a s t e s and c l a s s e s .
A l t h o u g h , a s Bede J a r r e t t a n d many o t h e r s h a v s s h o w n , t h e
E a s t e r n E m p ire t h r i v e d an d p r o s p e r e d and k e p t c i v i l i z a t i o n
g o i n g , i t h a s n e v e r t h e l e s s b e e n r e f e r r e d t o a s an ’’i n t o l e r a b l e
36
sy s te m o f c a s t e a n d s e r v i t u d e . ”
Prom t h e p o i n t o f v ie w
o f m odern i d e a l s t h e B y z a n t i n e E m p ire seem s t r u l y ’’i n t o l e r ­
a b l e , " b u t when com pared t o t h e h u n d r e d y e a r s p r e c e d i n g t h e
a d o p t i o n o f t h e r e g u l a t i o n s , t h e new o r d e r o f t h e e a s t e r n
M e d i t e r r a n e a n was a g o d s e n d .
C i v i l i z a t i o n made a c h o i c e
b e tw e e n a k i n d o f b a n k r u p t l i b e r t y and s e c u r i t y .
The c h o i c e
made p r o v e d t o b e a w o r th y o n e . One r e a d s much o f a r t i s a n s
37
a t w o rk ,
l i t t l e o f t h e u r b a n r a b b l e an d m u n i c i p a l f e a s t s
fo r th e po o r.
The m id d l e c l a s s e s w ere no l o n g e r b e i n g w ip e d
o u t ; b u s i n e s s men w ere n o t f l e e i n g fro m t h e h o n o r s o f t h e i r
f a t h e r s t o h i d e among t h e p r o l e t a r i a t i n o r d e r t o e s c a p e im­
p e r i a l r e s p o n s i b i l i t i e s , a s h a d b e e n so t r a g i c and so common
38
a t an e a r l i e r p e r i o d and s t i l l t o o k p l a c e i n t h e W e st.
T h e re w ere now n u m ero u s b o u r g e o i s who " s e r v e d t o m a i n t a i n a
39
k in d o f s o c i a l e q u i l i b r i u m . "
36 D i l l , 0 £ . c l t . , p . 2 5 4 .
37 Edward M a s l i n H ulm e, The M id d le Ages (New Y o rk , 1938)
p . 162.
38 Sam uel D i l l , Roman S o c i e t y i n t h e L a s t C e n tu r y o f t h e
W e s te r n E m p ire (L o ndo n,"T 9 & 5 ) p . 2 5 3 .
39 B o i s s o n a d e , o p . c l t . , p . 3 .
S o c i a l c l a a a t r e n d s i n t h e W e s t.
c la s s lin e s in
The d e v e lo p m e n t o f
th e W est d i d n o t f o l l o w t h e same p a t t e r n a s
in th e E a s t.
In I t a l y , a s e a r l y as th e tim e o f P e r t i n a x ,
40
many e s t a t e s l a y d e s e r t e d .
I n some s e c t i o n s Germans
w ere I n v i t e d t o s e t t l e i n g r e a t c o l o n i e s i n o r d e r t o f i l l
41
up t h e g ap l e f t b y m i g r a t i o n and d e a t h .
B o th o f t h e s e
f a c t s t e n d e d t o e s t a b l i s h s e rfd o m and e a s e t h e r i g o r s o f
sla v e ry .
P o u r c a t e g o r i e s o f p e r s o n s came t o b e s e r f s :
sla v e s;
(1)
( 2 ) l n q u l l i n l . who w ere e i t h e r c a p t i v e s o r m i g r a n t
b a rb a ria n s;
( 3 ) c o l o n l . who w e re o r i g i n a l l y s m a l l l e a s e ­
h o l d e r s ; and (4 ) i n d e p e n d e n t p e a s a n t s , o f whom t h e r e w ere
42
s t i l l a few .
S i n c e t h e tow ns w ere l o n g t h e b a s e s o f t h e a d m i n i s ­
t r a t i v e m a c h in e r y o f t h e Roman E m p ire , t h e b u r d e n o f c o l l e c t ­
i n g t a x e s f e l l u pon t h e m .
d e c lin in g in every r e s p e c t .
B u t i n t h e W est t h e towns w ere
S e n a t o r i a l f a m i l i e s had been
q u i c k t o l e a v e them t o t h e i r f a t e an d t o w ith d ra w t o t h e
43
c o u n try .
T h e s e e n j o y e d many p r i v i l e g e s and e x e m p ti o n s ,
among w h ic h " t h e m o st i m p o r t a n t was t h a t w h ic h r e l i e v e d
44
s e n a t o r s fro m m u n i c i p a l b u r d e n s . "
The s e n a t o r s n o t o n l y
h a d t h e p r e s t i g e o f w e a l t h ; t h e m ore p o w e r f u l f a m i l i e s h a d
40 F a h l b e c k , 0£ . c l t . , p . 3 3 3 .
41 G ib b o n , o p . o i t . t p p . 3 1 3 - 3 1 4 .
42 O t t o S e e c k , "D ie S c h a t z o r d n u n g D l o c l e t l a n s " fl n Z e l t s c h r i f t
f i i r S o z i a l - u n d W l r t s o h a f t s g e s o h l c h t e (W eim ar, 1896)
v o l . IV , p p . 3 1 4 - 3 1 6 .
43 Max W eb er, G esam m elte A u f s S t z e z u r S o z i a l - und W l r t s c h a f t s g e s c h l c h t e ( T iib in g e n . 1 924) p . 2 7 5 .
44 D i l l , o p . 'o l T . . ( 3 8 ) p . 2 4 9 .
a l s o " a p r a c t i c a l m onopoly o f t h e h i g h e s t p r e f e c t u r e s and
o f f ic e s o f th e s t a t e .
T hey w e re o f t e n d e s c e n d a n t s o f men
45
who h a d h e l d s u c h o f f i c e s fro m tim e i m m e m o r i a l .”
W hile
t h e c u r i a l e s w ere b u r d e n e d t o t h e p o i n t o f d e s p a i r and some46
t im e s t o t h e p o i n t o f f l i g h t i n t o se rfd o m an d s e r v i t u d e ,
t h e s e n a t o r i a l c l a s s e s l i v e d i n " d i g n i f i e d t r a n q u i l i t y and
t h e e n jo y m e n t o f t h a t c u l t u r a l s o c i e t y , so s t a t e l y , and so
47
e x c l u s i v e , b u t so c h a rm in g . . .
The n e t r e s u l t was t h a t t h e s e n a t o r i a l c l a s s , i t s e l f
o l d a t t h e tim e o f T i b e r i u s , was now e n t r e n c h e d i n v i l l a s ;
m ea n w h ile town l i f e an d a l l t h e c l a s s e s a t t a c h e d t h e r e t o
la n g u ish e d .
T h is i s one o f t h e few t i m e s i n human h i s t o r y
when t h e m id d l e c l a s s e s w e re c o m p l e t e l y o u t w i t t e d b y t h e
a ris to c ra ts.
The new a g r a r i a n i s m s t r e n g t h e n e d t h e m o r a le
o f l a b o r an d t h e d i g n i t y o f t h e a r i s t o c r a c y , b u t i t wiped
o u t , t e m p o r a r i l y , e x c e p t i n a few to w n s , t h e v e r y e x i s t ­
e n c e s o f t h e t r a d i n g , f i n a n c i a l , and m a n u f a c t u r i n g c l a s s e s .
S o c ia l m o b ility e v a lu a te d .
P roof of r e l a t i v e s o c ia l
i m m o b i l i t y d u r i n g t h i s e r a i s shown i n t h a t " t h e p l e b e i a n
c l a s s , composed o f t h e v a r i o u s c o r p o r a t i o n s o f f r e e l a b o r e r s ,
a rtisa n s
. . .
c o u l d n o t f u r n i s h many r e c r u i t s t o f i l l t h e
48
gaps in th e c u r i a ."
Men w e re b e i n g d r a f t e d t o assum e
c u ria l re s p o n s ib ilitie s , but th is
o n ly e n c o u ra g e d m erc h an ts
n o t t o k e e p t h e i r w e a l t h i n im m o b ile f o r m s ; t r a d e was d y i n g
o u t ; i t gav e way t o p e d d l i n g *
R o s t o v t z e f f bem oans t h e d e ­
p r e s s i o n and i n v a s i o n s w h ic h " w ip e d o u t t h e f l o u r i s h i n g
49
c e n tre s of b o u rg eo is l i f e . "
The l i m i t e d d e g r e e t o w h ic h up w ard m o b i l i t y was p o s ­
s i b l e d u r i n g t h e e r a fro m t h e t i m e o f A u r e l i u s t o t h e s a c k i n g
50
o f Rome i s shown i n t h e f o l l o w i n g :
The law d i d n o t a b s o l u t e l y p r o h i b i t a c u r i a l fro m r i s i n g
t o a n o t h e r g r a d e i n s o c i e t y , b u t i t made h i s p r o g r e s s so
slo w a n d d i f f i c u l t t h a t e s c a p e by l e g a l m eans was p o s ­
s i b l e t o v e r y f e w . Even when a man h a d s u rm o u n te d a l l
b a r r i e r s , and becom e an I m p e r i a l f u n c t i o n a r y o r a
s e n a t o r , h i s c h i l d r e n , b o r n b e f o r e h i s e l e v a t i o n , w ere
r e t a i n e d i n t h e i r o r i g i n a l r a n k , and h i s p r o p e r t y r e ­
m a in e d l i a b l e f o r t h e m u n i c i p a l c h a r g e s o f h i s c l a s s .
I f a man a t t e m p t e d t o h a s t e n h i s r i s e , o r h i s d e l i v e r ­
a n c e , b y o v e r l a p p i n g some o f t h e s t a g e s o f d u t y h e was
se n t back t o th e o r i g i n a l s t a r t i n g - p o i n t .
F u s t e l d e C o u la n g e s s a y s t h a t a p l e b e i a n c o u l d becom e a
c u r i a l an d a c u r i a l a s e n a t o r ; b u t , w h i l e s a y i n g t h i s , h e
g i v e s d e t a i l e d a c c o u n t s o f how t h e c u r i a l s d e s e r t e d t h e i r
51
p o s t s and su bm erged t h e m s e l v e s a m o n g s t t h e p l e b e i a n s .
The n e t r e s u l t o f s o c i a l c l a s s c h a n g e s was t h a t t h e
c u r i a l e s an d o t h e r m id d l e c l a s s e l e m e n t s f e l l o u t o f s i g h t .
No one f i l l e d
th e ir p la c e s.
d e p e n d e n t f a r m e r s an d c o l o n l .
The same i s t r u e o f s m a l l i n ­
S l a v e s b ecam e s e r f s , im p ro v ­
i n g t h e i r l o t b y r e c e i v i n g t h e d i g n i t y o f f a m i l y l i f e and
p e rs o n a l freedom , w ith in l i m i t s .
The s e n a t o r s , l o n g p o w e r f u l ,
49 M. R o s t o v t z e f f , The S o c i a l and E con om ic H i s t o r y o f t h e
Roman E m p ire '(New Y o r k , 1 9 2 6 ) p p . 4 1 1 - 4 1 2 .
50 D i l l , £ £ . c l t . . (5 8 ) p p . 2 5 6 - 2 5 7 .
51 N .D . F u s t e l d e C o u l a n g e s , H l s t o i r e d e s i n s t i t u t i o n s de
l'a n c l e n n e F ra n c e , v o l . I I ( P a r i s , 1891) p p . 1 8 4 -1 8 6 .
r o s e I n p o w e r and p r e s t i g e *
T hey becam e t h e c e n t e r s o f
pow er, e a c h a t t h e head o f a sm a ll rea lm *
Or t h e y becam e
a d m in is tr a to r s or le a d in g c l e r i c s .
S o c ia l c la s s a sp e c ts of th e in v a s io n .
Rome, w h ic h
h a d once b e e n f o r e i g n i z e d b y G r e e k s a n d o t h e r c a p t i v e s and
i m m i g r a n t s , now e x p e r i e n c e d t h e i n f l u x , f i r s t p e a c e a b l y ,
l a t e r f o r c i b l y , a l t h o u g h Roman r e s i s t a n c e was n o t w o r t h y
o f t h e n a m e , o f many G e rm a n s.
T hese l a t t e r " s e t t l i n g in
m a s s e s d i s p l a c e t h e Roman p o p u l a t i o n , w h ic h d i s a p p e a r s fro m
52
th e f i e l d s . "
By t h e tim e o f t h e b r e a k u p o f t h e W e s te rn
E m p ire o n l y s m a l l i s l a n d s o f Roman l i f e w e re l e f t , l a r g e l y
53
c e n te re d In th e s e n a t o r i a l n o b i l i t y and th e c le r g y .
The Germans who came i n a t f i r s t w e re s l a v e s , t h e n
t e n a n t f a r m e r s an d s e r f s and s o l d i e r s .
But by th e f i f t h
c e n t u r y t h e T e u t o n s came i n s u c h nu m bers a s t o p r o v i d e t h e i r
own s o c i a l c l a s s h i e r a r c h y .
T h e ir p r in c e s ,
They cam e, i n f a c t , s t r a t i f i e d .
e a r l s , k i n g s , and n o b le s g e n e r a l l y began t o
p a r t a k e o f m i l i t a r y and p o l i t i c a l power w i t h t h e Rom ans.
A l l t h e b a r b a r i a n s w ere n o t o f low c l a s s '.
"G erm ans" w ere
n o t a c l a s s b u t th e c o n s t i t u e n t s o f a gro u p o f s o c i e t i e s ,
a l l o f w h ic h w e re s t r a t i f i e d I n t o a r i s t o c r a c i e s
f r e e com m oners, a n d s e r v i l e g r o u p s .
" s e r f s " upon a r r i v a l *
52 R o s t o v t z e f f , oja. c l t . . p . 4 7 8 .
53 I b i d . , p . 4 7 9 .
(n o b ilitie s),
Many becam e o r w e re
What w a s , t h e n , t h e e f f e c t o f t h e g r e a t b a r b a r i c i n ­
v a s i o n upon t h e s o c i a l c l a s s e s o f t h e Romans?
S u p e rfic ia lly ,
one m ig h t im a g i n e t h a t t h e l e a d e r s h i p would b e t a k e n o v e r
by th e conquerors — t h a t i s th e essen ce of th e co n q u est
s o c ia l c la s s th eo ry .
A c t u a l l y , a l t h o u g h t h e r e w ere i n 54
s t a n c e s o f f l i g h t b y some members o f t h e u p p e r c l a s s e s ,
t h e Roman c l a s s s t r u c t u r e h e l d i t s own w i t h a s t o n i s h i n g
te n a c ity .
I n t h e l i g h t o f w h at h a p p e n e d i n t h e c e n t u r y f o l ­
l o w i n g t h e f i r s t s a c k i n g o f Rome, i t
i s a lto g e th e r p ro b a b le
t h a t S t . J e r o m e 's a c c o u n t o f i t s
e f f e c t upon t h e s u p e r i o r
55
f a m i l i e s o f I t a l y was g r e a t l y e x a g g e r a t e d .
T here w ere, o f c o u rs e , f l i g h t , t e r r o r , and m u rd er.
The b a r b a r i a n s , u n f a m i l i a r w i t h c i t y l i f e , had b ro k e n i n t o
th e c i t i e s and to w n s.
B u t l i f e h a d t o go o n .
A rtisa n s
w e re c a l l e d b a c k t o t h e i r p o s t s .
More i m p o r t a n t s t i l l was
56
t h e f a c t t h a t d u r i n g t h e l o n g r e i g n o f T h e o d o r ic
a l l t h e f o r m s o f t h e Roman a d m i n i s t r a t i o n s u r v i v e d . . .
T h e o d o r i c had done h i s u t m o s t t o c o n c i l i a t e t h e C a t h o l i c
c l e r g y a n d t h e I t a l i a n n o b i l i t y . . . . Romans h a d r e ­
t a i n e d a l l t h e o f f i c i a l p o s t s ; n o t one had b e e n g i v e n t o
an O s tr o g o th .
.
I t i s w e l l known t h a t t h e to w n s o f n o r t h e r n I t a l y
n e v e r d i e d o u t , n o r d i d t h e y l o s e t h e i r memory o f Roman
p o l i t i c a l , j u d i c i a l , e c o n o m ic , and s o c i a l l i f e .
The b i s h o p s ,
m o s t l y o f s e n a t o r i a l f a m i l y , w ere Roman f o r c e n t u r i e s .
54 G ib b o n , o p . c l t . . p . 1 125 ; D i l l , o p . c l t . .
55 I b i d . . ( D t l l T p p . 3 0 7 - 3 0 8 .
56 H ulm e, o p . c l t . . p p . 1 5 3 - 1 5 4 .
A ta ilf,
(38) p . 2 4 4 .
e ven b e f o r e T h e o d o r i c , h a d fo u n d t h a t t h e w o rld c o u ld b e
57
g o v e rn e d o n l y b y Roman l a w s .
F o r a l l t h i s t h e r e was r e a s o n :
Who w e re t h e l i t e r a t e ?
Who f a m i l i a r w i t h c i v i l i z e d a d m i n i s t r a t i o n a n d a f f a i r s ?
l e d t h e c h u r c h , w h ic h g r e a t l y awed t h e b a r b a r i a n s ?
th e re c o rd s ?
ance?
Who
Who k e p t
Who i m p r e s s e d t h e i n v a d e r s w i t h t h e i r n o n c h a l ­
W ith t h e i r e s t a t e s and v i l l a s ?
They w e re t h e s t r o n g
and o l d f a m i l i e s who l i v e d i n t h e r e f l e c t e d g l o r y o f t h e
p a t r i c i a n R e p u b l i c a n d t h e s e n a t o r i a l E m p ire .
Of t h e s e t h i n g s much w i l l b e shown i n t h e c a s e o f G a u l .
I t a l y was no d i f f e r e n t .
I f a n y t h i n g , t h e r e was e v e n more
c o n t i n u i t y o f Roman c l a s s d i v i s i o n s i n I t a l y t h a n i n G a u l,
w h ic h had t o e n d u r e a d u a l I n v a s i o n , f i r s t b y t h e F r a n k s and
B u r g u n d i a n s , l a t e r b y t h e N o rth m e n .
I t c an b e s a i d w i t h o u t e r r o r t h a t a l t h o u g h t h e c e n ­
t r a l i z e d S n p l r e d i s i n t e g r a t e d a n d f e l l a p a r t I n t h e W est,
th e fa m ily l i n e s and th e s o c ia l c la s s s t r u c tu r e d id not
f a l l a p a r t or d i s i n t e g r a t e .
nVhatever w i l l b e s a i d i n t h e
n ex t c h a p te r a b o u t G aul w i l l a p p ly e q u a lly w e ll to I t a l y .
The c l a s s i c a l t h e o r y o f s o c i a l c l a s s e s
( s u b o r d i n a t i o n and
s u p e r o r d i n a t i o n ) f o r m e d b y t h e m ec h an ism o f c o n q u e s t w i l l
b e shown t o h a v e l i t t l e
a p p l i c a b i l i t y in th e case of th e
b a r b a r i a n i n v a s i o n s o f t h e Roman E m p ir e .
of s o c ia l
H ere t h e t h e o r y
c la s s c o n ti n u i ty h o ld s t r u e .
57 Edward A. F r e e m a n , H i s t o r y o f t h e Norman C o n q u e s t , v o l .
(O xford, 1876) p . 58.
V
C o n c lu s io n .
The t h e o r y t h a t Roman s o c i a l c l a s s e s
w ere f i r s t " c l o s e d , " t h e n " o p e n , " t h e n " c l o s e d a g a i n " s h o u l d
g i v e way t o t h e I n t e r p r e t a t i o n t h a t Roman c i v i l i z a t i o n was
a r i s t o c r a t i c an d s o c i a l l y c l a s s c o n s c i o u s from t h e o u t s e t ,
t h r o u g h the m id d l e y e a r s , a n d a t t h e e n d .
D ocum ented h i s ­
t o r y does n o t s u b s t a n t i a t e th e th e o r y of S o ro k in , F a h lb e c k ,
and K n ig h t t h a t t h e r e w e re a l t e r n a t i n g p e r i o d s o f I n t e n s i v e
m o b i l i t y and I n t e n s i v e r i g i d i t y .
CHAPTER V I I
CONQUEST AND SOCIAL STRATIFICATION IN
GAUL AND EARLY FRANCE
The c l a s s s t r u c t u r e o f t h e G a llo -R o m a n s e i t h e r was
o r was n o t g r e a t l y a f f e c t e d b y t h e G e rm a n ic i n v a s i o n s — on
t h i s m a t t e r t h e r e i s much d i v e r s i t y o f o p i n i o n .
The p u r ­
pose o f t h i s c h a p te r i s t o t r a c e th e d e s t i n i e s o f t h e d i f ­
f e r e n t c l a s s e s a s t h e y s t o o d , f o u g h t , f l e d , and r u l e d t h e i r
way t h r o u g h t h e d a r k c e n t u r i e s fro m c a . 400 t o c a . 900 A .D .,
t o d e t e r m i n e w h e t h e r o r n o t t h e r e was a d i s p l a c e m e n t o f t h e
upper r u lin g c la s s e s by b a r b a r ia n s .
(T hat I s th e co n q u est
t h e o r y o f s o c i a l c l a s s e s ex p o u n d ed b y G u m p lo w icz, S o r o k i n ,
W ard, O p p e n h e im e r, e t c . )
The s e c o n d p u r p o s e i s t o s e e
w h e t h e r t h i s was an a g e o f g r e a t s o c i a l m o b i l i t y , as a s s e r t e d
by S o ro k in .
H ere a g a i n w i l l b e s h o w n ,in so f a r a s t h e p r e s e n t
re s e a r c h e r has been a b le to d e te rm in e w ith in th e l i m i t s o f
h i s tim e :
( 1 ) t h e n a t u r e and d e g r e e o f s o c i a l c l a s s r i g i d i t y
an d (2 ) t h e m anner i n w h ic h p r o m i n e n t s o c i o l o g i s t s h a v e e r ­
ro n e o u sly i n t e r p r e t e d th e h a p p en in g s o f t h i s p e rio d in re g a rd
to s o c ia l c la s s .
The d o c u m e n te d r e c o r d o f h i s t o r i a n s i s
b ro u g h t to th e a t t e n t i o n o f th e r e a d e r .
The p r o b le m i s i m m e d i a t e l y p o s e d b y t h e f o l l o w i n g
1
a s s e r ti o n s o f S o ro k in :
1 P i t i r i m S o r o k i n , S o o l a l M o b i l i t y (New Y o r k , 1 9 2 7 ) p . 1 4 9 .
The b e g i n n i n g o f t h e M id d le Ages i n E u ro p e may b e r e ­
g a r d e d g e n e r a l l y a s a p e r i o d o f t h e m o st I n t e n s i v e v e r t i ­
c a l m o b i l i t y . Among t h e T e u t o n s , F r a n k s , a n d C e l t i c
p e o p l e s a t t h a t moment, t h e s t r a t u m o f t h e c h i e f s a n d
l e a d e r s was s t i l l open t o a l m o s t a n y b o d y who d i s p l a y e d
t h e n e c e s s a r y t a l e n t an d a b i l i t y .
S y stem atic in v a s io n
b y t h e G o t h s , H u n s , L o m b a rd s, V a n d a l s , and so o n , d i s ­
i n te g r a t e d s o c i a l s t r a t i f i c a t i o n ; k e p t I t In a d i s o r ­
d e r l y s t a t e ; r u i n e d one a r i s t o c r a c y a f t e r n o t h e r ; and
r a i s e d new a n d ne w er u p s t a r t s a n d a d v e n t u r e r s . I n t h i s
way t h e o l d Roman a r i s t o c r a c y and s e n a t o r i a l f a m i l i e s
w ere r u i n e d and d i s a p p e a r e d . The b o l d new a d v e n t u r e r s
b e c a m e , and c o n t i n u e d t o b e , t h e f o u n d e r s o f t h e new
d y n a s t i e s and t h e new n o b i l i t y .
I f I t i s found t h a t th e e ra r e f e r r e d to In th e f o r e ­
g o i n g was n o t one o f i n t e n s i v e m o b i l i t y , t h a t t h e c h i e f t a i n ­
s h i p s o f t h e G erm anic t r i b e s
( t h e C e l t i c p e o p l e s on t h e co n­
t i n e n t w ere Rom anized an d h a d no c h i e f s ) w ere " n o t open "
b e f o r e t h e I n v a s i o n s and w e re s t i l l " n o t open" a f t e r I t ,
t h a t t h e s o c i a l s t r a t i f i c a t i o n d i d n o t d i s i n t e g r a t e a n d was
n o t i n a d i s o r d e r l y s t a t e , t h a t t h e G allo-R om an a n d G erm anic
a r i s t o c r a c i e s were n o t r u i n e d on e a f t e r a n o t h e r , t h a t u p ­
s t a r t s w ere r a r e , and t h a t t h e o l d Roman a r i s t o c r a c y was n o t
r u i n e d b u t was m erged I n t o t h e new n o b i l i t y — I f t h e s e
t h i n g s a r e show n, an d s i m i l a r m i s t a k e s b y o t h e r s o c i o l o g i s t s
a r e c o r r e c t e d , one o f t h e p u r p o s e s o f t h i s c h a p t e r w i l l h a v e
been f u l f i l l e d .
S o c i o l o g i c a l i n t e r p r e t a t i o n s o f h i s t o r y c an
h e lp to m a in ta in t h e s e l f - r e s p e c t o f s o c i a l s c ie n c e o n ly In
so f a r a s t h e y a r e t r u e t o t h e f a c t s o f h i s t o r y .
N o th in g I s
g a in e d f o r s o c io lo g y i f i t i s b u rd en e d by f a l s e i n t e r p r e t a ­
tio n s of d a ta .
h o u se c le a n ln g .
I t i s t h e p u r p o s e o f t h i s c h a p t e r t o do some
The Roman a r l s t o c r a c y i n G a u l .
The a r i s t o c r a t i c
c l a s s o f G a u l a t t h e t i m e o f t h e g r e a t m i g r a t i o n s was v e r y
2
a n c i e n t i n l i n e a g e . In G a u l, u n d e r Roman r u l e ,
t h e s t r u c t u r e o f s o c i e t y i n g e n e r a l r e m a i n e d w hat I t h a d
a lw a y s b e e n ; I n e a c h c i t y t h e r e was a n a r i s t o c r a c y o f
g r e a t l a n d l o r d s s u r r o u n d e d b y a m u l t i t u d e o f c l i e n t s and
s m a l l t e n a n t s . I t was n o g r e a t c h an g e f o r t h e r i c h n o b l e
o f i n d e p e n d e n t G a u l t o become t h e G allo -R o m an s e n a t o r ,
when u n d e r C l a u d i u s t h e S e n a t e was th ro w n open t o t h e
p r o v i n c i a l c i t i z e n s o f G a l l i a Com ata; an d s u c h a s e n a t o r ,
l i v i n g on t h e Incom e fro m h i s e s t a t e s , and c o n t r o l l i n g
d i r e c t l y o r i n d i r e c t l y a m ass o f p e a s a n t s a n d w o r k p e o p le ,
was a p o w e r f u l c o n s e r v a tiv e e le m e n t I n t h e s o c i a l s y s t e m ,
and l a t e r , when t h e E m pire b e g a n t o b r e a k u p , was d e s ­
t i n e d t o b e t h e m ost s t a b l e e l e m e n t i n a c r u m b l in g w o r l d .
He d o m in a t e d , b u t h e p r o t e c t e d .
The s o c i a l c l a s s h i e r a r c h y , t h e n , r e m a in e d f i r m ; i t was t h e
p o l i t i c a l s y s t e m w h ic h u n d e rw e n t g r e a t c h a n g e s d u r i n g t h i s
p e rio d .
The Roman a r i s t o c r a c y w i t h s t o o d t h e p r e s s u r e s o f
d i s i n t e g r a t i o n - - I t ev en waxed i n p o w e r a n d s p l e n d o r , a s
3
Van Dyke shows I n h i s summary o f t h e l a t e E m p ire p e r i o d :
The l a n d e d a r i s t o c r a c y , w h ic h grew w e a l t h y p a r t l y
t h r o u g h t h e s e c o n d i t i o n s , came t o e x e r c i s e t h e f u n c t i o n s
o f m a g i s t r a t e s upon t h e i r e s t a t e s w h ic h t e n d e d t o b eco m e,
a s t h e E m pire d e c a y e d , s m a l l i n d e p e n d e n t s e m i p o l i t i c a l
u n i t i e s e c o n o m ic a lly s e l f - s u f f i c i n g . In t h e i r huge
v i l l a s t h e G allo -R o m an n o b l e s l i v e d a l u x u r i o u s an d
and s p l e n d i d l i f e .
D a n g e r fro m b e n e a t h i n G a u l .
D u rin g t h e p e r io d o f
t h e i n v a s i o n s t h e m s e l v e s , t h e a r i s t o c r a t s h a d m ore t o f e a r
from t h e i r own k in s m e n o f t h e lo w e r c l a s s e s t h a n f r o m t h e
G e rm a n s.
N ot c o n q u e s t b u t I n t e r n a l d i s o r d e r c a u s e d m ost
2 S .A . Cook, e t a l . , e d i t o r s , The I m p e r i a l P e a c e . A .D . VO1 9 2 , vol.TG: o f The C am bridge A n c i e n t H isto ry (New
Y o r k , 1936) p p . 5 0 6 - 5 0 ^ .
3 P a u l Van D y ke, The S t o r y o f F r a n c e (New Y o rk , 1 9 2 8 ) p . 3 6 .
w id e sp rea d f e a r In th e u p p e r c la s s e s In th e c e n tu r y o f th e
4
f a l l o f Rome. D i l l s t a t e s :
The o o u n t r y d i s t r i c t s s u f f e r e d m ore fro m b r i g a n d s
t h a n e v e n fro m German b a n d s on t h e w a r p a t h o r fro m German
sp ie s.
. . . The g r e a t n o b l e i n h i s s t r o n g h o u s e , s u r ­
ro u n d e d b y t r o o p s o f c l i e n t s and s e r f s , c o u l d p r o t e c t
h im s e lf a g a i n s t th e a t t a c k s o f th e s e d e s p e ra d o e s ; b u t th e
s u f f e r i n g s o f t h e m ean er s o r t may b e I n f e r r e d • • • •
W ith a l l a v a i l a b l e d o c u m e n ts a t h i s d i s p o s a l , D i l l
5
s u m m a riz e s a s f o l l o w s :
Y e t I t I s p r o b a b l e t h a t t h e G allo -R o m an n o b l e s h a d l i t t l e
t o f e a r from a n y open a s s a u l t o f German f o r c e s i n r e g u l a r
w a r . The r e a l d a n g e r was from i r r e g u l a r b a n d s o r from
g a n g s o f b r i g a n d s , w h ich were a s o f t e n r e c r u i t e d fro m
t h e w re c k o f Roman s o c i e t y a s fro m t h e I n v a d e r s . B u t a l l
t h e e v i d e n c e g o e s t o show t h a t t h e g r e a t Roman f a m i l i e s
s u f f e r e d l i t t l e i n t h e I n v a s i o n s e i t h e r fro m v i o l e n c e o r
fro m c o n f i s c a t i o n .
T h i s l a s t s e n t e n c e e x p r e s s e s t h e e x a c t o p p o s i t e v ie w o f t h a t
g i v e n b y S o r o k i n , and t h e d i f f e r e n c e h e r e I s one o f d o c u ­
m e n te d s t u d y a s o v e r a g a i n s t d e d u c t i v e r e a s o n i n g .
Rome, r e l i g i o n , and t h e b i s h o p s .
l ig i o n d id n o t la n g u is h .
g ro w th .
In t h i s ag e r e ­
I t m ain ta in e d , I n s te a d , a ste a d y
I t s pow er s p r e a d ; I t s h o l d on l i f e
in c re a se d .
I t was Roman t o t h e c o r e .
And
Hulme shows t h e r e l a t i o n o f t h e
6
c h u r c h t o t h e G allo-R o m an a r i s t o c r a c y o f t h i s e r a :
4 Sam uel D i l l , Roman S o c i e t y i n th e L a s t C e n t u r y o f t h e
W e s te r n E m p ire ( L o n d o n , 1 925) p . 3 7 d .
5 I b i d . . p p . 574-3^5.
6 E dw ard M a s l i n Hulm e, The M id d le Ages (New Y o r k , 1 938)
p p . 204-205.
S t i l l m ore p o w e r f u l wag t h e f u s i n g i n f l u e n c e o f t h e
c h u r c h . T h i s was du e l a r g e l y t o I t s o r g a n i z a t i o n • . • •
Prom th e p ope downward, t h r o u g h t h e a r c h b i s h o p s , a n d
b i s h o p s , t o th e p a r i s h p r i e s t s I n t h e r e m o t e s t d i s t r i c t s
t h e p a p a l pow er e x te n d e d . . . . C i v i l j u r i s d i c t i o n h a d
p a s s e d v e r y l a r g e l y i n t o t h e h a n d s o f t h e b i s h o p s . T hose
p r e l a t e s w ere c h o s e n a l m o s t w i t h o u t e x c e p t i o n f r o m t h e
Roman l a n d e d n o b i l i t y .
B e c a u s e o f t h e l a n g u a g e p r o b le m , b e c a u s e t h e c h u r c h came t o
b e t h e p a t r o n o f f o r m a l l e a r n i n g , and b e c a u s e o f t h e d e s i r e
o f many a r i s t o c r a t s t o f l e e from t h e c r u d i t i e s o f t h e b a r ­
b a r i a n s and w ith d raw i n t o m o n a s te r ie s , t h e n a t u r a l te n d e n c y
was f o r t h i s p o w e r f u l s o c i a l i n s t i t u t i o n , r e l i g i o n , t o f a l l
i n t o a n d r e m a in i n t h e h a n d s o f Roman f a m i l i e s *
The h i g h e r
o f f i c e s w e re t a k e n o v e r b y t h e h i g h e r an d b e t t e r e d u c a t e d
c la ss e s•
Roman s o c i e t y i n t h e M e r o v in g ia n a g e .
The s e n a t o r i a l
f a m i l i e s , i n s t e a d o f b e i n g r u i n e d and d i s a p p e a r i n g , d u r i n g
t h e c e n t u r y o f i n v a s i o n , r e t a i n e d t h e g a i n s t h e y h a d made
d u rin g
th e f i r s t s t a g e s o f p o l i t i c a l d i s i n t e g r a t i o n .
One
7
reads:
M e a n w h ile , o r d i n a r y Gallo~Roman l i f e p r o b a b l y w e n t on
a s i t h a d done f o r g e n e r a t i o n s b e f o r e t h e V i s i g o t h s a p ­
p e a r e d a t T o u l o u s e , o r t h e F r a n k s a t C a m b r a l, a n d C h u rc h
l i f e was e v e n l e s s d i s t u r b e d by t h e g r e a t u p h e a v a l . We
c an s e e o r i n f e r t h a t t h e g r e a t l a n d h o l d e r s a n d s e n a t o r s ,
a l t h o u g h t h e y may h a v e h a d t o s h a r e t h e i r e s t a t e s w i t h a
G o t h i c o r B u r g u n d ia n g u e s t , on t h e w h o le m a i n t a i n e d t h e i r
ran k and w e a lth .
7 S a m u el D i l l , Roman S o c i e t y i n G au l i n t h e M e r o v i n g ia n Age
( L ondon, 1326) p . 2 5 .
The new German g o v e rn m e n ts came b u t w i t h o u t ” t a k i n g
8
th e p la c e of Im p e ria l f u n c t i o n a r i e s .”
”The a r i s t o c r a t a t
t h o s e t im e s e a s i l y and o f t e n becam e t h e p r i n c e b i s h o p
. . •
The German k i n g ” i n c a r r y i n g o u t h i s new t a s k o f a d m i n i s t r a ­
t i o n was o b l i g e d t o u s e t h e t r a i n e d s k i l l o f Roman l a w y e r s
10
and a d m i n i s t r a t o r s . ”
As i f t o c o n t r a d i c t c o m p l e t e l y t h e w h o le t h e o r y o f
c u l t u r a l an d r a c i a l a n t a g o n i s m , a p a r t o f t h e c o n q u e s t t h e o r y
11
of in v a s io n , D ill s t a te s :
The k i n g l y p o w e r, w h ich was t h e o n l y power i n t h e s i x t h
c e n t u r y , was e x e r t e d e q u a l l y o v e r b o t h r a c e s . . . .
t h e r e i s h a r d l y a t r a c e o f h a t r e d and f r i c t i o n i n th e
s o c i a l r e l a t i o n s o f t h e tw o r a c e s . . . . The German
k i n g s , ev en s u c h m a s t e r f u l r u l e r s a s E u r i c a n d T h e o d o r i c ,
h a d t o r e l y on Roman a d v i s e r s i n t h e p r o b l e m s o f a d m i n i s ­
t r a t i o n . And we may be s u r e t h a t C l o v i s h a d a l s o t o do
s o • • • • Some g r e a t Romans i n t h e p e r i l o u s p e r i o d o f
t h e i n v a s i o n s , may h a v e r e t i r e d f o r s a f e t y t o s t r o n g l y
f o r t i f i e d c a s t l e s . B u t i n t h e tim e o f C l o v i s an d h i s
s o n s t h e y seem t o h a v e t a k e n p a r t i n p u b l i c l i f e , b o t h
i n C h u rc h a n d S t a t e . The g r e a t C hurchm en, fro m t h e
f i r s t , w ere g e n e r a l l y o f Roman r a c e . And Roman nam es
a p p e a r w i t h g ro w in g f r e q u e n c y i n t h e g r e a t o f f i c e s o f
S ta te .
The Germans w ere f a r o u tn u m b e re d b y t h e n a t i v e s , and
in s t e a d o f t h e c i v i l i z e d p o p u la tio n b e in g con q u ered b y th e
u n c i v i l i z e d , i n t h e s o c i a l c l a s s s p h e r e t h e r e was much t o
show t h a t
( e x c e p t f o r p u r g e s o f German n o b l e s b y C l o v i s )
th e u p per c la s s e s in each s o c ie ty h e ld t h e i r p o s itio n s
8
9
10
11
Ib id .,
ib id ..
Ib id ..
T bT d. .
p.
p.
p.
p.
29.
39.
41.
81.
213.
r e l a t i v e l y s e c u r e , t h e Romans e x e r t i n g tr e m e n d o u s I n f l u e n c e
upon a f f a i r s o f s t a t e , c h u r c h , a n d s o c i e t y g e n e r a l l y .
Roman
I n f l u e n c e was made ev en g r e a t e r b y t h e i n t e r n a l s t r i f e among
u p p e r c l a s s G e rm a n s•
The German n o b i l i t y p u r g e d .
C lo v is , in s te a d o f l e t ­
t i n g h i s r o y a l k in sm en o r o t h e r P r a n k i s h n o b l e s become t h e
F r e n c h n o b i l i t y , a s h e m ig h t p o s s i b l y h a v e d o n e , a c t u a l l y
d i s p o s e d o f " a l l p o s s i b l e r i v a l s o f h i s own r a c e
. . . .
Hav­
i n g k i l l e d o f f h i s r o y a l k i n s m e n , h e was n o t l i k e l y t o s p a r e
12
a n y P r a n k n o b l e whose p r e s t i g e was d a n g e r o u s . "
I n C h a p te r I I I i t was shown t h a t t h e G erm an ic t r i b e s
w ere h i e r a r c h i z e d i n t o n o b le m e n , f r e e m e n , a n d s l a v e s .
h a d b e e n t r u e fro m t i m e im m e m o ria l.
T h is
A lth o u g h i t a p p e a rs
a t f i r s t g lan ce p l a u s i b l e , i t i s im p o s s ib le to m a in ta in t h a t
t h e ' i n v a d e r s f o r m e d , ev en i n t h e h i g h e s t r a n k s , a s o l i d
c l i q u e w h ic h m o n o p o liz e d a l l t h e p r e s t i g e a p p e r t a i n i n g t o
t h e c o n q u e s t : t h e p o l i c y o f C l o v i s was t o s t r i k e t e r r o r
among t h e G erm anic n o b l e s w h i l e l e a n i n g u p o n t h e d o c i l e ,
a m i a b l e , and s u a v e G allo-R om an n o b l e s and t h e i r b r o t h e r s ,
th e c le r g y , f o r c o u n s e l, a d v ic e , and a s s i s t a n c e .
The con­
q u e s t t h e o r y b r e a k s dow n, t h e r e f o r e , b e c a u s e t h e c o n q u e r o r s
w ere n o t u n i t e d i n l a n g u a g e , w e re l a c k i n g i n
se lf-c o n fid e n c e ,
w e re d i v i d e d i n c l a s s s t r u c t u r e , a n d w ere m u t u a l l y d i s t r u s t f u l
of each o th e r.
12 I b i d . , p . 2 1 9 .
O ver a g a i n s t t h e a c c o u n t o f e v e n t s b y D i l l one can
13
p l a c e t h e f o l l o w i n g s t a t e m e n t b y W e s te rm a r c k , who s t a t e s :
The d e s c e n d a n t s o f t h e German c o n q u e r o r s o f G aul w ere
f o r a t h o u s a n d y e a r s t h e d o m in a n t r a c e i n P r a n c e , and
u n t i l th e f i f t e e n t h c e n tu ry a l l th e h ig h e r n o b i l i t y
w ere o f F r a n k i s h o r B u r g u n d ia n o r i g i n .
D i l l ’ s a c o o u n t , t o b e s u p p l e m e n te d b y o t h e r s i n t h i s
14
c h a p t e r t o f i l l o u t t h e w h o le s t o r y o f t h e c o n q u e s t , r e a d s :
I n t h e s l a u g h t e r o f t h e P r a n k c h i e f s many o t h e r s f e l l ,
an y o n e , i n f a c t , who was l i k e l y t o c h a l l e n g e t h e t i t l e
o f C l o v i s . C l o v i s was m il d a n d c o n s i d e r a t e t o h i s Roman
s u b j e c t s , b u t r u t h l e s s t o h i s P r a n k r i v a l s an d a n y p o s ­
s i b l e p r e t e n d e r s t o t h e t h r o n e . The c y n i c a l la m e n t h e
made, t h a t h e was l e f t a l o n e among s t r a n g e r s , . . . .
H is d y n a s t y was d e s t i n e d , w i t h i n a c e n t u r y fro m h i s
d e a t h , t o b e u n d e rm in e d b y a new a r i s t o c r a c y ^made up i n
l a r g e and p o s s i b l y i n m a j o r p a r t b y G a llo -R o m a n s / w h ic h
i t c r e a t e d , o r w h i c h was e v o l v e d b y t h e s o c i a l and o f ­
f i c i a l c o n d itio n s o f t h e a g e . But th e o ld T e u to n ic n o b le
c l a s s h a d a l m o s t v a n i s h e d when C l o v i s had e s t a b l i s h e d
h i s power . . . . The d e s c e n d a n t s o f t h e o l d German
f a m i l i e s m u st h a v e b e e n s a d l y t h i n n e d b y i n c e s s a n t w a r s ,
h a r d s h i p , and d i s e a s e .
The f o r m e r s t a t e m e n t , b y W e s te r m a r c k , i s t h e f a m i l i a r s o c i a l
c la s s th e o ry o f c o n q u est; th e l a t t e r , by D i l l , i s th e re c o rd
of h is to ry .
H ow ever, on e c a n j u d g e t h a t t h o s e who d i d re m a in
pow erful In p u b lic a f f a i r s
( e s p e c i a l l y th o se o u ts id e th e
r e a c h o f C l o v i s , t h o s e German l e a d e r s I n t r i b e s w h ic h d i d
n o t m i g r a t e f a r fr o m t h e i r home g r o u n d s ) w ere n o t b a r b a r i a n
a d v e n t u r e r s o f lo w s t a t u s b u t w e r e , a s i s shown i n t h e
13 Edward W e s te r m a r c k , A S h o r t H i s t o r y o f M a r r ia g e (New Y o rk ,
1926) p . 6 2 .
14 D i l l , Q£. c i t . , (7 ) p . 2 1 7 .
215.
b i o g r a p h i e s o f R u n c im e r , B e r t r a m , and G u n tram , " I n n a t i v e
r a n k , t h e e q u a l o r s u p e r i o r o f t h e g r e a t e s t Roman n o b l e s , "
15
a s was s t a t e d s p e c i f i c a l l y o f R u n c im e r .
The
a g e was I n
no way c h a r a c t e r i z e d b y a n y a p p r e c i a b l e number o f u p s t a r t s .
S o r o k i n , on t h e c o n t r a r y , s t a t e s , a l t h o u g h t h e r e i s
s c a r c e l y a r e f e r e n c e t o t h e s e t h i n g s i n d o c u m e n te d h i s t o r y ,
t h a t " a g r e a t m any m e d i a e v a l s l a v e s , b r i g a n d s , s e r f s , and
men o f h um ble o r i g i n , i n t h i s way becam e n o b l e s , m a s t e r s ,
16
p rin c e s , d u k es, h ig h o f f i c i a l s . "
The same a u t h o r r e f e r s
t o t h e " f o u n d e r s o f t h e M e r o v i n g ia n s and C a r o l i n g i a n s , an d
t h e i r h i g h e s t n o b i l i t y , " a s h a v in g r i s e n ; w hereas th e r o y a l
b l o o d o f C l o v i s i s known t o a l l r e a d e r s o f h i s t o r y , and
F u s t e l d e C o u la n g e s g o e s t o g r e a t p a i n s t o show t h a t t h e
17
" C a r o l i n g i a n s b e l o n g e d t o t h e M e r o v in g ia n a r i s t o c r a c y . "
More p r o o f o f s o c i a l c l a s s r i g i d i t y .
The new n o b i l i t y ,
fo rm ed d u r i n g t h e h u n d r e d y e a r s o f t h e M e r o v i n g i a n s , was made
u p o f e d u c a t e d Romans who t o o k c a r e o f l e g a l d e t a i l s , l a r g e
l a n d h o l d e r s who h a d r e c e i v e d t i t l e s fro m t h e c e n t r a l g o v e r n ­
m e n t, w h ic h t i t l e s becam e i m m e d i a t e l y h e r e d i t a r y , and o t h e r
f a v o r e d p e r s o n s who r o d e w i t h t h e k i n g s on t h e h u n t and
18
s t a y e d a t h i s s i d e i n cam p. One r e a d s :
15 I b i d . . p . 1 6 .
16 S o r o k i n , o p . o l t . . p . 1 6 5 .
17 N .D . P u s t e l d e C o u l a n g e s , H l s t o l r e d e s i n s t i t u t i o n s
p o l l t l q u e s de l 'a n o l e n n e F ra n o e . v o l . I I ( P a r i s , 1891)
p p . 12 3 -1 2 6 .
18 D i l l , Q£. c l t . . (7 ) p p . 2 2 3 - 2 2 4 .
T h is new a r i s t o c r a c y was composed o f b o t h P r a n k and
G a llo -R o m an e l e m e n t s . Vfe h a v e s e e n how g r e a t Roman
f a m i l i e s r o s e in th e o f f i c i a l h i e r a r c h y . But a f a r
l a r g e r n u m b e r, l i v i n g u n d i s t u r b e d on t h e i r a n c e s t r a l
e s t a t e s , s t i l l e n j o y e d t h e w e a l t h and s o c i a l c o n s i d e r a ­
t i o n o f g e n e r a t i o n s b e f o r e t h e c o n q u e s t . . . . The
P r a n k k i n g s h a d a f t e r t h e c o n q u e s t come i n t o p o s s e s s i o n
o f g r e a t e s t a t e s w h ic h w ere p r e v i o u s l y p u b l i c l a n d . . .
.
Land h u n g r y Germans w ere p a i d o f f w i t h d e s e r t e d and p u b l i c
l a n d s ; t h e G a llo -R o m a n s e n t e r e d t h e new n o b i l i t y a s p o w e r f u l
f i g u r e s i n c h u r c h a n d s t a t e a n d a s e n t r e n c h e d and r i c h l a n d ­
h o ld e rs.
" A n tru s io n s and c o u r t i e r s , h ig h o f f i c i a l s , a lo n g
w i t h t h e p o s s e s s o r s o f l a n d e d w e a l t h , m ore o r l e s s a n c i e n t ,
19
Roman o r P r a n k , w ere a l l f o r m in g a new a r i s t o c r a c y . ”
C o n q u e s t - - t h e o r y an d f a c t .
I t i s p ro p er th a t th e
th e o r y of c o n q u e st sh o u ld be d is c u s s e d h e r e , b e ca u se th e
G erm anic i n v a s i o n s o f w e s t e r n and s o u t h e r n E u ro p e h a v e f r e ­
q u e n tly b een u se d to d e m o n stra te i t s v a l i d i t y .
20
i n i t s p u r e fo rm r e a d s :
The t h e o r y ,
. . . w a r r i n g g r o u p e x e r c i s e d c o n q u e s t o v e r some e n t i r e
w e a k e r g r o u p • . . / t h e f o r m e v/ w ould s e t t l e down i n t h e
t e r r i t o r y of th e co n q u ered , or in an a ja o e n t t e r r i t o r y
and l i v e fr o m t h e p r o c e e d s o f t h e l a b o r o f t h e v a n q u i s h e d .
T h i s i s s u p p o s e d t o p r o d u c e , a c c o r d i n g t o N o r t h , " a more
21
p rofound s o r t o f d i f f e r e n t i a t i o n . ”
L e s t e r P . Ward s t a t e s t h e c o n q u e s t t h e o r y i n t h e s e
22
w o rd s :
19 I b i d . . p p . 2 2 5 - 2 2 6 .
20 C e c i l C l a r e N o r t h , S o c i a l D i f f e r e n t i a t i o n ( C h a p e l H i l l ,
1 926) p . 2 1 0 .
21 L o c . c l t .
22 L e s t e r P . W ard, “ S o c i a l C l a s s e s i n t h e L i g h t o f Modern
S o c i a l T h e o r y , ” i n A m e ric an J o u r n a l o f S o c i o l o g y ,
v o l . X I I I (M a rc h , 1 9 0 8 ) p . 6 2 0 .
The s l a v e s o f G r e e c e and Rome, t h e P l e b e i a n s o f l a t e r
Rome, t h e s e r f s a n d v i l l a i n s o f f e u d a l t i m e s , a n d t n e
l a b o r i n g and m e n ia l c l a s s e s o f a l l ages hav e b e lo n g e d t o
a d i f f e r e n t r a c e fro m t h a t o f t h e c i t i z e n s , p a t r i c i a n s ,
n o b l e s , l o r d s , an d u p p e r c l a s s e s g e n e r a l l y * T h e y r e p r e ­
s e n t t h e c o n q u e r e d r a c e s o f t h e w o r l d , and h a d o c c u p i e d
t h o s e s o c i a l p o s i t i o n s s i n c e l o n g b e f o r e t h e r e was a n y
w r i t t e n h i s t o r y o f t h e c o u n t r i e s i n w h ic h t h e y l i v e d *
I t I s t h i s f a c t t h a t c o n c e a l e d t h e i r t r u e o r i g i n f o r so
lo n g and obscu red th e g re a t e th n ic p r i n c i p l e t h a t u n d e r­
l i e s th e s o c ia l c la ss e s*
M, R a o u l d e l a G r a s s e r i e i s q u o t e d , i n t h i s c o n n e c ­
t i o n , a s s t a t i n g t h a t ” t h e s e r f s and v i l l a i n s
o f P rance b e ­
l o n g e d t o t h e C e l t i c n a t i o n o p p o se d t o t h e G e rm a n ic o f t h e i r
23
lo rd s•”
G o n n a rd , a s o c i o l o g i s t o f n o t e , ex am in ed t h e t h e o r y ,
so p o p u l a r among t h e F r e n c h n o b i l i t y , t h a t t h e y w ere o f a
d i f f e r e n t r a c e fr o m t h e r o t u r e . and f o u n d i t w a n t i n g .
24
sta te s :
I n r e a l i t y , one i s a b le t o
t i n c t i o n o f c la s s e s In P rance
to a d iffe re n c e of ra c e s . In
G a llo -R o m a n s an d Germans w ere
make u p t h e a r i s t o c r a c y .
He
a ffirm th a t . . . th e d i s ­
does n o t c o rre sp o n d a t a l l
th e e p o c h o f t h e C a r o l i n g i a n s .
b o th e q u a lly r e c r u i t e d to
G u m p lo w icz , o n e o f t h e m ost v i g o r o u s e x p o n e n t s o f t h e
r a c e - c o n q u e s t t h e o r y , r e f e r s , a s d o e s W undt, t o t h e c o n q u e s t
o f E n g la n d b y t h e Normans and s t a t e s , o r I n f e r s , t h a t t h e
25
new n o b i l i t y was com posed o f t h e c o n q u e r o r s .
L a te r In t h i s
23 N o r t h , 0£ . c i t . , p . 1 4 3 .
24 Rene" G o n n a r d , ”Q u e lq u e s c o n s i d e r a t i o n s s u r l e s c l a s s e s , ”
I n Revue E co nom lque I n t e r n a t i o n a l e . 1 7 t h y e a r , v o l . I I ,
N o. i ‘( P a r i s , A p r il 16, 1925) pp. 6 9 - 7 0 ; t r a n s l a t i o n
ours •
25 Ludwig G u m p lo w icz, P e r R assen kam p f ( I n n s b r u c k , 1 8 8 3 ) p . 208
c h a p t e r i t w i l l b e shown t h a t t h i s ,
to o , i s n o t h i s t o r i c a l l y
a c c u ra te .
F a h lb ec k g iv e s cred en ce t o th e c o n q u est th e o r y in
g e n e r a l an d i n t h e p a r t i c u l a r c a s e a t i s s u e / t h e " e s t a b l i s h ­
m en t o f t h e s t a t e s I n t h e w e s t e r n Roman w o r ld a t t h e t i m e o f
t h e m i g r a t i o n s o f p e o p l e s , an d l a t e r t h e c o n q u e s t o f E n g la n d
26
b y t h e N o rm a n s ."
C o o le y , u n d e r t h e i n f l u e n c e o f t h e c o n q u e s t t h e o r y ,
a l t o g e t h e r i g n o r e s t h e p r e s e n c e o f t h e G allo -R o m an e l e m e n t s .
He d o e s , h o w e v e r , co n ce d e t h e e x i s t e n c e o f h i g h e r h e r e d i t a r y
s t a t u s g r o u p s among t h e G erm anic t r i b e s , w h ic h l a t t e r h i s 27
t o r l c a l f a c t S o r o k i n d e n i e s . C o o le y w r i t e s :
T h u s t h e c o n q u e s t o f s o u t h e r n E u ro p e b y n o r t h e r n t r i b e s
l e d t o a p e r i o d o f som ewhat c o n f u s e d r e a d j u s t m e n t , i n
w h i c h men o f n a t u r a l pow er b e t t e r e d t h e i r s t a t u s .
The
c l a s s e s w h ic h em erged w ere a s much t h e r e s u l t o f com­
p e t i t i o n a s d e r i v e d b y i n h e r i t a n c e fro m t h o s e o f t r i b a l
so c ie ty .
I n r e f u t i n g W ard, G um plow icz, F a h l b e c k , S o r o k i n , W undt,
C o o l e y , W e s te r m a r c k , and t h e e x p o n e n t s o f t h e N o r d i c m y th ,
one n e e d o n l y c i t e a c c r e d i t e d h i s t o r i a n s ;
t h e y h a v e gon e
much m ore t h o r o u g h l y I n t o d e t a i l .
28
D ill s ta te s c le a rly :
26 P o n t u s E . F a h l b e c k , D ie K l a s s e n und d i e G e s e l l s c h a f t
(J e n a , 1922) p . 4^; t r a n s l a t i o n o u r s .
27 C h a r l e s H o r to n C o o le y , S o c i a l O r g a n i z a t i o n (New Y o rk ,
1909) p p . 2 2 5 - 2 2 6 .
28 D i l l , 0£# jjit^« ( 7 ) , p . 3 7 8 .
We a r e a c c u s to m e d t o t h i n k o f t h e German k i n g s a s
w i e l d i n g an o v e rw h e lm in g pow er o v e r a c r u s h e d and c o n ­
q u e r e d p o p u l a t i o n . B ut t h e Roman p o p u l a t i o n f a r o u t ­
nu m b ered t h e i n v a d e r s , a n d t h e Roman n o b i l i t y w ere
w e a l t h y , p o w e r f u l , and a b o v e a l l , b o u n d t o g e t h e r b y
t h e c l o s e s t t i e s o f t r a d i t i o n and c u l t u r e . T h a t t h e
Germans i n s p i r e d f e a r i s c e r t a i n ; b u t i t i s e q u a l l y
c e r t a i n t h a t t h e y were v e r y s e n s i t i v e t o t h e good o r
e v i l o p i n i o n s h e l d a b o u t them b y t h e i r Roman n e i g h b o r s ,
and e s p e c i a l l y t o t h e o p i n i o n o f a n e x c l u s i v e an d
fa stid io u s c a ste .
Van Dyke a l s o t e l l s a d i f f e r e n t s t o r y fro m t h a t o f
29
th e p r o ta g o n is ts o f th e conquest th e o ry :
U nder t h e l o n g r u l e o f t h e M e r o v in g ia n k i n g s , t h e r e
grew u p a c l a s s o f n o b l e s who made t h e t i t l e o f c c u n t
and d u k e , o r i g i n a l l y w o rks o f s e r v i c e t o t h e k i n g ,
p a t e n t s o f p e rm a n e n t f a m i l y r a n k .
I f t h e new n o b i l i t y was fo rm ed d u r i n g M e r o v i n g ia n t i m e s ,
d a t a p r o v i d e d b y D i l l w ou ld make i t a p p e a r c e r t a i n t h a t mem­
b e r s o f t h e o l d s e n a t o r i a l c l a s s w e re a t t h a t t i m e la n d o w n e r s
on l a r g e s c a l e a n d o f f i c i a l s o f i m p o r t a n c e i n t h e s t a t e ,
t h e r e f o r e m e r g i n g s i g n i f i c a n t l y i n t o t h e new n o b i l i t y o f
w e stern E urope.
I n c h o o s i n g h i s c o u n ts and d u k e s , t h e k i n g was n o t
lim ite d w ith re g a rd to r a c e .
'’Even tin d e r t h e e a r l y
M e r o v i n g i a n s t h e r e a r e m ore c o u n t s w i t h Roman t h a n w i t h
30
P r a n k names i n t h e h i s t o r y o f G r e g o r y o f T o u r s s a y s
D i l l , and i t h a s a l r e a d y b e e n shown t h a t w i t h t i m e t h e
num ber a n d f r e q u e n c y o f Roman names among i m p o r t a n t o f f i c i a l s
te n d e d t o I n c r e a s e .
2 9 Van D yke, 0£ . c i t . , p . 4 6 .
30 D i l l , o£ . c i t , ( 7 ) . p . 1 4 2 ,
The r a c e - c o n q u e s t t h e o r y l a p r e d i c a t e d on r a c i a l
a n ta g o n is m a n d h a t r e d , b u t , e x c e p t f o r some p e n a l t l e a
a g a in s t p le b e ia n b rig a n d s l i s t e d In th e S a lic code, th e I n ­
v a d e r s s o u g h t t o " c r e a t e a s y s te m o f e q u a l r i g h t s a s b e tw e e n
t h e tw o r a c e s . "
The B u r g u n d ia n Code I s an a u t h e n t i c r e c o r d
31
of th is e f f o r t.
O u trig h t d e n ia l o f ra c e -c o n q u e st th e o r y .
D i l l , who
f o llo w s th e l i n e o f th o u g h t d e v e lo p e d b y F u s t e l de C o u lan g es,
and who i s h i m s e l f a m a s t e r s c h o l a r o f t h i s p e r i o d o f h i s ­
to r y , g iv e s th e l i e to th e s o c i a l c la s s th e o ry o f c o n q u e st,
32
i n t h i s i n s t a n c e , In th e s e w ords:
The t h e o r y , b o r n o f t h e F r e n c h R e v o l u t i o n , t h a t t h e
m ass o f t h e o l d G a l l i c p e o p l e h a d b e e n fro m t h e f i r s t
c ru sh e d b y th e a rro g a n c e and e x a c tio n s o f th e o r i g i n a l
c o n q u e r o r s , and b y t h e F r e n c h n o b l e s s e who w e re d e s c e n d e d
fro m th e m , i s now s e e n t o b e a f i g m e n t i n s p i r e d b y a
p o l i t i c a l p u r p o s e and w i t h o u t a n y h i s t o r i c a l f o u n d a t i o n .
. . . T h e r e i s h a r d l y a s i g n t h a t t h e G a llo -R o m an p o p u l a ­
t i o n f e l t th e m se lv e s im p o v e ris h e d and o p p r e s s e d .
The s o c i o l o g i c a l t h e o r y o f c o n q u e s t d o e s n o t a p p l y t o
t h e i n v a s i o n o f G aul and t h e f o r m a t i o n o f t h e F r e n c h s o c i a l
c la s s h ie ra rc h y *
In t h i s in s ta n c e th e th e o r y sh o u ld be
f o r m u l a t e d t o r e a d : I n g e n e r a l new s o c i a l c l a s s e s a r e fo rm e d
o u t o f t h e o l d , e s p e c i a l l y i n th e e v e n t o f a c i v i l i z e d p e o p le
31 I b i d . . p . 37
32 Tb'icT. , p . 80
b e i n g c o n q u e r e d b y p r i m i t i v e s whose v e r y d i v e r s i t y o f
c u l t u r e made them d e p e n d e n t upon t h e l a n g u a g e and la w s o f
th e c i v i l i z e d s o c ie ty ,
Roman and G e rm a n ic l e a d e r s became
F r e n c h n o b le m e n ; t h e r e was some u p s t a r t i s m among t h e F r a n k s
b e c a u s e o f t h e envy and s u s p i c i o n o f C l o v i s , b u t among t h e
G a llo -R o m a n s t h e o l d c l a s s e s r e t a i n e d t h e i r p o s i t i o n s : s e r f s
w e re s e r f s , a r i s t o c r a t s w ere a r i s t o c r a t s , b e f o r e an d a f t e r .
C o n t i n u i t y i n t h e s o c i a l c l a s s s t r u c t u r e i s n o t com­
p l e t e l y d e m o n s tra te d , b u t i t i s s t r o n g l y i n f e r r e d , w herever
i t i s shown t h a t t h e r e was c o n t i n u i t y o f Roman i n f l u e n c e and
d o m in a n c e d u r i n g a n d a f t e r t h e i n v a s i o n s , a s , f o r i n s t a n c e ,
i n t h e s u r v i v i n g to w n s .
In V e n i c e , f o r e x a m p le , i t was f o u n d i n a s t u d y o f
t h e '‘V e n e t i a n n o b i l i t y " t h a t t h e f a m i l i e s w h ic h s t o o d a t t h e
33
to p
. . . l o o k e d i n p a r t b a c k t o t h e fam ous f a m i l y t r a d i t i o n s . • .
i n t h e n i n tn . c e n t u r y s t i l l u s i n g t h e G re e k p a r t i c l e mean­
i n g " w i t h b y - n a m e ," a c u sto m se e n o f t e n i n B y z a n t i n e • . .
we f i n d o u r s e l v e s i n t h e s p h e r e o f a r i s t o c r a t i c f a m i l i e s
( C o n t a r e n u s , M a s t a l l c u s , M a g l s t r a c u s , e t c . ) who i n t h e
y e a r s a f t e r 853 w ere t h e l e a d i n g p e r s o n s i n t h e h i s t o r y
o f V e n ice .
D u r in g t h e p e r i o d a f t e r t h e m i g r a t i o n s t h e Germans
l i v e d f o r t h e m ost p a r t i n t h e c o u n t r y , l e a v i n g t h e tow ns
o f so u th e rn F rance and n o r th e r n I t a l y to s u f f e r l i t t l e u n d er
t h e c o n c i l i a t o r y O s t r o g o t h s o r m ore b a r b a r o u s L o m b a rd s.
33 M. M e r o r e s , "D er V e n e z i a n i s c h e A d e l , " i n V l e r t e l . l a h r s c h r l f t
f f t r S o z l a l - un d W l r t s o h a f t s g e s c h l c h t e * . v o l . XIX
( S t u t t g a r t , 1926) p . 1 9 6 ; t r a n s l a t i o n o u r s .
"R a v en n a r e m a in e d t h r o u g h a l l t h i s p e r i o d an o u t p o s t o f
34
B y z a n tin e c u l t u r e . "
The I t a l i a n n o b i l i t y was c h a r a c t e r i s t i c a l l y u r b a n ,
w h ic h m ea n t c h a r a c t e r i s t i c a l l y Roman, a n d t h e r e f o r e s e r v e s
n o t a s a p ro o f b u t as a d is p ro o f o f th e c o n q u est th e o r y .
Prom w h a t i s known o f t h e r e l a t i o n s o f s e v e r a l I t a l i a n
tow ns t o t h e E a s t e r n E m p ir e , fro m t h e i r i n t e r n a l m u n i c i p a l
l i f e , fro m t h e names o f t h e i r l e a d i n g c i t i z e n s , an d fro m
t h e i r c u l t u r a l h a b i t s , one c an o n l y c o n c l u d e t h a t c o n q u e s t
h a d n o t d i s p l a c e d many e f f e c t i v e Roman f a m i l i e s , n o r d i d i n ­
v a s i o n d i s p e r s e th e m , n o r d i d t h e y d i e o f f f o r w a n t o f o f f ­
sp rin g .
One m u st c o n c l u d e t h a t some o f t h e o l d l i n e m u n i c i p a l
a d m i n i s t r a t o r s , l a w y e r s , and s e n a t o r s h a d now t u r n e d t o
t r a d e a n d t o t h e c o u r t s o f t h e G erm anic k i n g s a s w e l l a s
re m a in in g , in p a r t , lan d ed a r i s t o c r a t s .
H i s t o r i c a l a c c o u n ts o f t h e s e r f s
homme que l ' a n c l e n
e sc la v e ) .
(Le s e r f e s t l e [email protected]
b o t h G e rm a n ic an d Roman,
t y p i c a l l y f a i l t o make a n y r e f e r e n c e t o s o c i a l m o b i l i t y ,
to u p s t a r t i s m , t o t h e d i s i n t e g r a t i o n o f s o c i a l s t r a t i f i c a t i o n .
T h e re i s a s h a r p d i f f e r e n c e o f e m p h a s is a n d d e t a i l b e tw e e n t h e
f a c t s a s p re s e n te d b y a c c r e d ite d h i s t o r i a n s and th e i n t e r p r e ­
t a t i o n s o f e v e n ts by th e conquest t h e o r i s t s o f s o c io lo g y .
34 H ulm e, 0£ . c i t . . p p . 1 8 9 - 1 9 0 .
35 Pus t e l d e C o u l a n g e s , o jd c i t . , v o l . IV ( P a r i s , 1889)
p. 54.
.
Summary.
W ith r e g a r d t o G a u l a n d I t a l y I t seem s
c le a r t h a t th e pow erful o f f i c i a l s a p p o in te d by th e k in g s ,
a l t h o u g h n o t fo r m in g a n i n d e p e n d e n t n o b i l i t y , t e n d e d t o fo rm
an h e r e d i t a r y one*
M e r o v i n g ia n s *
T h i s was t r u e a l r e a d y u n d e r t h e
And t h e s e o f f i c i a l s w e re made u p i n c o n s i d e r ­
a b l e p a r t o f d e s c e n d a n t s o f Roman s e n a t o r i a l f a m i l i e s *
The
German n o b l e s f o u g h t among t h e m s e l v e s w h i l e t h e G allo -R o m an
a r i s t o c r a t s sp o k e s o f t l y and f i l l e d
and s t a t e , and on t h e l a n d *
s e a t s o f pow er i n c h u r c h
When t h e t im e came f o r s e i g n e u r s
t o make h e r e d i t a r y a n d p e rm a n e n t t h e i r t i t l e s an d h o l d i n g s ,
i t was n o t t h e " c o n q u e r o r ” who t o o k a l l ,
c o n fis c a tin g th e
h o l d i n g s an d t i t l e s o f t h e " c o n q u e r e d . "
The l i s t s w e re made
up o f p o w e r f u l f a m i l i e s , now i n t e r m a r r i e d .
A l l th o u g h t o f
r a c e seem s t o h a v e g i v e n way t o t h o u g h t o f c l a s s *
A lth o u g h
t h e M e r o v in g ia n and C a r o l i n g i a n k i n g s t h o u g h t t h e y were a b ­
s o l u t e a n d t h a t t h e y c o u l d g i v e an d w i t h h o l d o f f i c e and
p e r h a p s e v e n l a n d a t w i l l , o n e r e a d s n o w h e re i n r e p u t a b l e
h i s t o r i e s of t h e i r f a i l i n g to have th e p o l i t i c a l s a g a c ity
t o c h o o s e t h o s e a l r e a d y w e l l e n t r e n c h e d on t h e l a n d and i n
th e c o u rt*
T h e r e was n o t h i n g new o r r e v o l u t i o n a r y i n t h e
e v e n t s w h ic h h e r a l d e d t h e f o r m a l f r e e z i n g o f t h e c l a s s
s t r u c t u r e w h ic h t o o k p l a c e i n t h e e i g h t h , n i n t h , an d t e n t h
c e n tu rie s*
B o i s s o n a d e r e v i e w s t h e t r e n d , sh o w in g t h a t t h e f e u d a l
n o b l e s w e re i n l a r g e p a r t d e s c e n d a n t s o f t h e o l d e r a r i s t o c r a c i e s ,
i n t h e s e w o r d s : 36
36 P* B o i s s o n n a d e , Le t r a v a i l d a n s l 1E u ro p e c h r e t l e n n e a u
mo y en a g e (V-XVe s i ! T c l e s ) ( P a r i s , 1921) p . 1 0 4 ; t r a n s ­
la tio n o u rs.
Thus I r i s h , G a l l i c , A rm o ric a n w c h e c h e l v e r s , p e n c e n e d l s .
c l n n l d l s , m a c h t l e r n s , b a l r e s (o w n e rs o f c o w s ) ; A n g lo -S a x o n
t h a n e s , e a r l s , e a l d o r m e n ; P r a n k i s h a n d G a llo -R o m a n e d e l l n g s ,
a n t r u 3 t l o n s , n o b l l e s , p r o c e r e s , o p t l m a t e s . d u k e s , an d
c o u n t s ; V i s i g o t h and Ibero-kom an~ n o b l l l o r e s . g a r d l n g s .
j u d l o e s . d u k e s , a n d c o u n t s — t h e s e f i n a l l y fo rm one an d
t h e same c l a s s , t h a t o f l o r d s ( s e n l o r e s . o p t l m a t e s .
p r o c e r e s , p o t e n t e s ) , w h ic h r e p l a c e s t h a t o f t h e koman
s e n a t o r s an d t h e o l d G erm an ic and C e l t i c n o b le m e n *
B o isso n a d e a l s o m e n tio n s t h a t p e rso n s i n c lo s e s e r v i c e t o th e
k i n g w e re s o m e ti m e s , i n s p i t e o f t h e i r hum ble b i r t h , e l e v a t e d
to n o b le ra n k .
Thus one r e a d s a l s o a b o u t t h o s e f o r t u n a t e
f e w , t h e o nes p e r s o n a l l y c l o s e t o t h o s e i n p o w e r , who some­
t im e s ( r a r e l y i n t e r m s o f a l l p e r s o n a l s e r v a n t s a n d i n f i n i t e s i m a l y s m a l l i n te r m s o f a l l p e r s o n s o f l o w l y b i r t h ) w e re
e l e v a t e d a s a r e s u l t o f p e r s o n a l c o n n e c t i o n w i t h t h e k in g *
Such i s
t h e s t o r y o f s o c i a l c l a s s c o n t i n u i t y i n an
a g e o f c o n q u e s t an d t u r m o i l .
Prom i t ,
one i s l e d t o b e l i e v e
t h a t o n e o f t h e m ost t e n a c i o u s o f a l l human i n s t i t u t i o n s i s
so c ia l c la s s .
The Norman C o n q u e st
I t i s n o t th e purpose of t h i s d i s s e r t a t i o n t o a t t a c k
th e co n q u est th e o r y of s o c i a l c la s s fo rm a tio n in g e n e r a l.
H ow ever, i n t h e s t u d y o f t h e h i s t o r y o f s o c i a l c l a s s c h a n g e s
i t was n o t e d t h a t s o c i o l o g y h a s n o t a lw a y s k e p t p a c e w i t h
h i s t o r y i n d e a l i n g w i t h e v e n t s i n G a llo - R o m e .
The same may
now b e r e c o r d e d w i t h r e f e r e n c e t o t h e Norman C o n q u e s t .
A g la n c e a t th e l i s t s
o f th e E n g lis h p e e ra g e r e v e a l s
t h a t n o n e o f t h e l i n e s r e a c h e s b a o k t o t h e t i m e o f W il l ia m
th e C o n q u ero r.
One m i g h t , w i t h m i s g i v i n g s , a t t r i b u t e t h i s
f a c t t o th e d y in g o u t o f f a m ily l i n e s .
For in s ta n c e , i t
i s t h e o r e t i c a l l y p o s s i b l e t h a t many o f t h e d e s c e n d a n t s and
r e l a t i v e s o f t h e d e s c e n d a n t s o f Norman n o b l e s a l l o w e d t h e i r
f a m ily l i n e s t o d ie o u t c o m p le te ly as l a t e as th e s e v e n te e n th
or e ig h te e n th o e n tu ry .
I f t h a t w ere t r u e , i t c o u l d a u t h e n ­
t i c a l l y b e s t a t e d t h a t t h e Normans s u c c e e d e d i n f o u n d i n g t h e
E n g lis h n o b i l i t y , i f n o t o f to d a y , th en o f c e n t u r i e s gone b y .
I n o t h e r w o r d s , no d e f i n i t e p r o o f o f t h e I n a b i l i t y o f t h e
Norm ans t o
e s t a b l i s h a r e l a t i v e l y p e rm a n e n t n o b l e c l a s s i s
p ro v id ed by th e fo llo w in g l i s t ,
t a k e n fro m W h i t a k e r s 1 P e e r a g e
f o r 1911 a l t h o u g h t h i s I s s t r o n g l y i n f e r r e d , b e c a u s e t i t l e s
a r e t r a n s f e r a b l e t o d i s t a n t r e l a t i v e s an d do n o t o r d i n a r i l y
la p s e :
The p r e m i e r Duke o f E n g la n d d a t e s from 1 4 8 3 .
The p r e m i e r M a rq u is o f E n g la n d d a t e s fro m 1 5 3 2 .
The p r e m i e r e a r ld o m o f E n g la n d d a t e s fro m 1 4 4 2 .
(B ut s i n c e t h e e a r ld o m o f A r u n d e l , now m erg e d
i n t o t h e dukedom o f N o r f o l k , d a t e s fr o m 1 1 5 2 ,
I t m ig h t b e so h o n o r e d . )
The p r e m i e r E n g l i s h V i s c o u n t d a t e s from 1 5 5 0 .
The p r e m i e r E n g l i s h B aron d a t e s fro m 1 2 4 6 .
B e f o r e s e t t i n g o u t t o show t h e m anner i n w h i c h i t can
b e d e m o n s t r a t e d t h a t t h e Normans d i d n o t s u c c e e d I n e s t a b l i s h ­
i n g a h e r e d i t a r y r u l i n g c l a s s , and i n h o l d i n g t h e m s e l v e s i n
e x c l u s i v e p r e s t i g e ab o v e t h e c o n q u e r e d p o p u l a t i o n , w h ic h i s
o n ly in tim a te d in th e f o r e g o in g , i t
is p roper th a t a s t a t e ­
m e n t b e made w h ic h g i v e s t h e p o s i t i o n o f t h o s e who b e l i e v e
in th e conquest th e o ry .
37
S o ro k in q u o ta s and a f f ir m s t h e c le a n b o ld s ta te m e n t:
The Norman C o n q u e st a p p e a r s t o h a v e a l m o s t c o m p l e t e l y
s u p p l a n t e d t h e a r i s t o c r a c y o f t h e A n g lo -S a x o n r a c e , and
t o h a v e p u t t h e a d v e n t u r e r s who a c c o m p a n ie d W il l i a m i n t o
t h e p l a c e o f t h o s e n o b l e s who h a d r u l e d t h e p e a s a n t r y . . .
A n g lo -S a x o n l o r d s w e re d e g r a d e d . . . The d i g n i t a r i e s o f
t h e o l d m o n arc h y w ere c o n s t r a i n e d t o r e t i r e .
W ilh elm Wundt g o e s ev en f u r t h e r ,
se ein g in th e p r e s e n t
day n o b i l i t y o f E n g la n d t h e p h y s i c a l a n d s p e e c h c h a r a c t e r i s t i c s
38
o f t h e Norman c o n q u e r o r s . H is s t a t e m e n t r e a d s :
So v e r r f l t n o c h h e u t e d e r h o h e e n g l i s c h e A d e l i n s e in e m
p h y s i s c h e n E i g e n s c h a f t e n un d s o g a r i n g e w i s s e n d i a l e k t i s c h e n
E i g e n t t t m l i c h k e i t e n s e i n e Abstammung von den n o r m a n is c h e n
E ro b erern •
A l t h o u g h Wundt d i d n o t p u b l i s h t h e f o r e g o i n g u n t i l
1917, i t
c an b e s t a t e d t h a t a s e a r l y a s 1876 a f i v e volum e
s t u d y o f t h e Norman C o n q u e s t h a d been made sh o w in g t h a t n e i t h e r
p h y s ic a lly , c u ltu r a lly , s o c ia lly , nor p o l it i c a ll y
( in th e
s e n s e o f l e a d e r s h i p ) was t h e e f f e c t o f t h e c o n q u e s t t r a c e a b l e
i n E n g l i s h l i f e a few d e c a d e s a f t e r W il l ia m I — much l e s s
h e u te n o ch .
W e s te rm a rc k s t a t e s t h e c o n q u e s t t h e o r y i n
39
f a s h i o n . He s a y s :
sta n d ard
S o c i a l d i f f e r e n t i a t i o n may b e t h e r e s u l t o f f o r e i g n con­
q u e s t a n d s u b j u g a t i o n , t h e c o n q u e r o r s b e c o m in g t h e n o b i l i t y
and t h e s u b j u g a t e d t h e com m onalty o r s l a v e s .
I n E n g la n d ,
b e f o r e t h e Norman C o n q u e st t h e a r i s t o c r a c y was S a x o n ; a f t e r
i t , N orm an.
37 S o r o k i n , 0£ . c i t . , p . 1 4 4 .
38 Wilhelm Wundt7~TBlkerpsychologle. v o l. V I I I , Die G e se llsc h a ft,
2nd p a r t ( L e i p s i g , 1 9 1 7 ) p . 1 0 5 .
39 W e s te r m a r c k , 0£ . c i t . , p . 6 2 .
T h a t t h e s e s t a t e m e n t s do n o t r e s t upon d o c u m e n te d h i s ­
t o r i c a l f a c t s h a s b e en r e v e a l e d i n t h e p a i n s t a k i n g r e s e a r c h e s
o f F reem an*
From h i s e x t e n s i v e s t u d y one g e t s a c l e a r v ie w
o f why t h e Normans f a i l e d t o e s t a b l i s h an a r i s t o c r a t i c r u l ­
i n g c l a s s , e v e n t h o u g h t h e g ro u n d w o rk f o r one h a d b e e n l a i d
b y t h e i n i t i a l d i s t r i b u t i o n o f t i t l e s and l a n d .
40
w rite s:
Freem an
I t i s p l a i n t h a t , i n a l l t h i s v a s t sy s te m o f c o n f i s c a t i o n ,
t h e r e was no avowed d i f f e r e n c e made b e tw e e n E n g lis h m e n
and f o r e i g n e r s . I t was c l e a r l y W i l l i a m ' s o b j e c t , n o t
o n l y t o r e w a r d and t o p u n i s h , b u t t o c a r r y o u t a p o l i t i c
schem e o f p u t t i n g t h e g r e a t e r p a r t o f t h e l a n d s o f h i s
new kingdom i n t o t h e h a n d s o f h i s own c o u n tr y m e n . B u t
no s u c h p u r p o s e a p p e a r s on t h e f a c e o f a n y l e g a l d o c u ­
m e n t . K ing W il l ia m p u n i s h e d , b y t h e u s u a l p u n is h m e n t o f
c o n f i s c a t i o n o f l a n d s , t h o s e m en, E n g l i s h o r F r e n c h , who
r e b e l l e d a g a i n s t h i m . He r e w a r d e d i n t h e u s u a l w ay, b y
g r a n t s o f l a n d s , t h o s e men, F r e n c h o r E n g l i s h , who d i d
him go od s e r v i c e .
I n t h e f o r e g o i n g i t I s c l e a r t h a t t h e c o n q u e s t was n o t
a l t o g e t h e r a m a tte r o f ro b b in g P e te r to pay P a u l.
It
shows
t h a t t h e p o l i t i c a l h e a d o f t h e s t a t e l e a n e d h e a v i l y to w a rd
h i s own k i n d , b u t h e a l s o h a d t o b e a r down h e a v i l y upon some
o f h i s own g r o u p , ev en a t t h e o u t s e t o f t h e c o n q u e s t .
was somewhat a f t e r t h e m anner o f C l o v i s .
T h is
I t is a ls o c le a r
t h a t some p e r s o n s among t h e c o n q u e r e d w ere q u i c k t o f i n d a
way o f i n g r a t i a t i n g t h e m s e l v e s I n t o t h e f a v o r o f t h e new
ru le r.
F reem an a l s o o b s e r v e s : "Even a t t h e t i m e o f t h e
40 Edw ard A . F re e m a n , H i s t o r y o f t h e Norman C o n q u e s t , v o l . V
-------( O x f o r d , 1 876) p . 3 2 .
S u r v e y , a l a r g e num ber o f E n g lis h m e n s t i l l h e l d t h e i r own
o r th e la n d s
41
l a n d s / o f t h e i r f a t h e r s u n d i s t u r b e d . . . ."
B u t when h e
w e n t t o F r a n c e and r e t u r n e d , h e f o u n d t h e l o r d s t o o i n d e ­
p e n d e n t , so h e c o n f i s c a t e d a g a i n an d g a v e ’’h i s " l a n d s t o
42
whomever h e c h o se — m o s t l y N orm ans, b u t many E n g l i s h .
I t was n a t u r a l t h a t b y t h i s t im e some o f t h e E n g l i s h
a r i s t o c r a c y sh o u ld h av e rea ch e d th e c o u rt and f a l l e n
in to
t h e go od g r a c e s o f t h e s o v e r e i g n .
A f t e r t h e d e a t h o f W il l ia m t h e r e f o l l o w e d an e r a o f
c i v i l w a r f a r e and c o n f u s i o n d u r i n g w h ic h many o f t h e Norman
f a m i l i e s w ere u t t e r l y a n n i h i l a t e d .
In s te a d o f l i v i n g to see
t h e i r p r o g e n y s e t t l e d i n h i g h s t a t i o n s o f p o l i t i c a l and
s o c i a l l i f e , t h e y p e r i s h e d I n t h e t h r o e s o f p l o t an d c o u n t e r ­
p lo t I
F reem an s a y s o f t h e r e i g n o f S te p h e n ( 1 1 3 5 - 5 4 ) , o n l y
43
a s h o r t l i f e t i m e a f t e r W illia m 's tim e :
E ven t h i s w r e t c h e d t i m e h a d I t s s h a r e i n w i p i n g o u t t h e
d i s t i n c t i o n b e tw e e n t h e c o n q u e r o r s and t h e c o n q u e r e d .
I n t h e u n i v e r s a l s l a y i n g and h a r r y i n g . . . no d i s t i n c ­
t i o n was made b e tw e e n Norman and E n g lis h m a n . . . . The
a n a r c h y i t s e l f t h u s l e d men t o f o r g e t o l d e r n a t i o n a l
e n m i t i e s . . . an d i t l e d them t o o t o j o i n a s one p e o p l e
i n w e lco m in g t h e r e t u r n o f o r d e r u n d e r a p r i n c e who was
a s l i t t l e Norman a s h e was E n g l i s h .
I t is in t h i s r e ig n ,
I f t h e w ord r e i g n b e n o t u t t e r l y o u t o f p l a c e , t h a t we
h e a r t h e l a s t f a i n t e c h o e s o f t h e t im e when E n g la n d was
i n h a b i t e d b y men who c o u ld b e p o i n t e d l y d i v i d e d I n t o co n ­
q u e r o r s a n d c o n q u e r e d . D u rin g t h i s r e i g n we h e a r f o r t h e
l a s t t i m e , fro m a v e r y few and v e r y u n c e r t a i n v o i c e s , t h e
word Norman u s e d t o i m p ly a d i s t i n c t c l a s s among t h e i n ­
h a b i t a n t s o f E n g la n d . In th e n e x t r e i g n t h e d i s t i n c t i o n
i s w h o l l y w ip e d o u t . . . .
41 I b i d . . p . 2 1 .
42 Ibid'. , p . 2 3 .
43 I b i d . , p p . 2 4 2 - 2 4 3 ; i t a l i c s n o t i n o r i g i n a l .
229.
W ith t h e s e w o r d s , b a s e d on a l i f e t i m e o f r e s e a r c h b y
a w e ll-k n o w n h i s t o r i a n , t h e Norman C o n q u e s t may b e d i s m i s s e d
a s an i n c i d e n t a l d i s t u r b a n c e on t h e s o c i a l c l a s s s c e n e , a
s p la s h In t h e E n g lis h sea o f c o n v e n t io n a l it y and s t a b l e
so c ia l c la s s e s .
The h a v o c o f t h e Norman C o n q u e s t was r e ­
p a i r e d w i t h i n a c e n t u r y — so f a r a s t h e s o c i a l c l a s s s y s te m
o f E n g la n d was c o n c e r n e d .
W undt, W e s te r m a r c k , S o r o k i n , and
many o t h e r s o c i a l p h i l o s o p h e r s o f h i s t o r y a r e h e r e b y r e ­
s p e c t f u l l y r e f e r r e d t o Freem an.
The Normans d i d n o t e s t a b ­
l i s h th e E n g lish n o b i l i t y .
LIEKARI OP
Ml W YOEK UNIVERSITY
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library
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KXW YORK UNIVERSITY
8MIV3RSITY HEIGHTS
v.l
CHAPTER V I I I
SOCIAL CLASS RIGIDITIES IN THE PERIOD PROM
FEUDALISM TO INDUSTRIALISM
One i n t e r p r e t a t i o n o f m e d i e v a l h i s t o r y i s t h a t b e tw e e n
t h e y e a r s 600 and 850 A .D ., o r t h e r e a b o u t , one m a n 's c h a n c e s
o f b e c o m in g a no b lem an w e re a l m o s t a s good a s a n o t h e r ' s ,
g iv en e q u a l p h y s ic a l and i n t e l l e c t u a l pow ers.
A ccom panying
t h i s i n t e r p r e t a t i o n , u s u a l ly , i s th e r e l a t e d th e o r y t h a t th e
e x a c t r e g u l a t i o n s o f f e u d a l i s m t h e n s u d d e n l y p u t e v e r y man
and h i s d e s c e n d a n ts i n t o a v e ry p a r t i c u l a r n ic h e o r groove
fro m w h ic h e x t r i c a t i o n was i m p o s s i b l e , e x c e p t t h r o u g h t h e
ch u rch o r in th e to w n s.
A c c o r d in g t o t h i s t h e o r y , f ro m t h e
te n th t o th e se v e n te e n th c e n tu rie s th e s o c ia l c la s s s tr u c tu r e
o f w e s t e r n E u r o p e r e m a in e d f r o z e n
(e x c e p t in th e to w n s,
" t h o s e r a r e s p o t s o f open o p p o r t u n i t y " ) , i n c o n t r a s t t o t h e
p r e c e d i n g an d s u c c e e d i n g p e r i o d s o f " g r e a t s o c i a l m o b i l i t y , "
B o th o f t h e s e i d e a s a r e w h a t B e a rd m ig h t r e f e r t o a s " s c h o o l b o o k f i c t i o n s ."
I t h a s a l r e a d y b e e n shown t h a t t h e a g e p r e c e d i n g t h e
f o r m a l e s t a h l i s h m e n t o f f e u d a l i s m was one o f u n e q u a l
o p p o rtu n ity .
I t I s t h e p u r p o s e o f t h i s c h a p t e r t o exam ine
th e n e x t , o r f e u d a l , p a r t o f h i s t o r y to d e te rm in e w h e th er
o r n o t t h e r e a c t u a l l y was g r e a t s o c i a l m o b i l i t y i n t h e
t o w n s , and t o d e s c r i b e w h a t was t a k i n g p l a c e i n t h e s p h e r e
231.
of a g ric u ltu re *
An a t t e m p t w i l l b e made t o c o n f i n e t h e d i s ­
c u s s i o n t o t h o s e a s p e c t s o f m e d i e v a l h i s t o r y w h ic h a r e
r e l e v a n t t o t h e s u b j e c t o f s o c i a l m o b i l i t y an d s o c i a l c l a s s
c o n tin u ity .*
S tu d ie s o f th e fo rm al s e t-u p o f th e f e u d a l
c la s s e s abound — b u t i t
i s t h e h o p e o f t h i s one t o t r a c e
t h e m o v in g p a r t s o f t h e s o c i a l c l a s s m e c h a n ism .
s tu d y o f s o c i a l c l a s s d y n am ics.
T h is I s a
T h e re i s a lw a y s some s o c i a l
c l a s s m o b i l i t y — t h e q u e s t i o n i s : how much?
The c l a s s e s a t t h e o u t s e t o f f e u d a l i s m .
The e a r l y
c l a s s e s o f f e u d a l i s m may b e d i v i d e d a s f o l l o w s :
(1 )
An a r i s t o c r a c y o f l a r g e l a n d h o l d e r s .
Some o f
t h e s e a r i s t o c r a t s owned l a n d e d p r o p e r t i e s h a n d e d down t o
them t h r o u g h g e n e r a t i o n s o f G allo -R o m an s o f s e n a t o r i a l r a n k ,
now i n t e r m a r r i e d w i t h G e rm a n s.
German i n d e s c e n t ,
Some were m ore l a r g e l y
o f f s p r i n g o f German a r i s t o c r a t s who,
a f t e r l e a d i n g a r m i e s i n t o w e s t e r n E u r o p e , w e re g r a n t e d l a r g e
t r a c t s of p u b lic
(o ld im p e r ia l) la n d s , o r p a r t s of G a llo -
Roman e s t a t e s , o r t h e w h o le o f a d e s e r t e d e s t a t e .
The t h i r d
s o u r c e o f r e c r u i t m e n t was fro m among th e a d m i n i s t r a t i v e o f ­
f i c e r s o f t h e c o u r t , so m e tim e s G a llo -R o m an s o f s e n a t o r i a l
l i n e a g e , s o m e tim e s G erm an s, a l l p e r s o n a l f r i e n d s o f t h e k i n g
a n d some o f h u m b le b i r t h .
T h ese o f f i c e s w ere r a p i d l y becom ­
i n g h e r e d i t a r y a n d so o n came t o c a r r y w i t h them g r a n t s o f
n 61
* A c e r t a i n f a m i l i a r i t y w i t h h i s t o r i c a l d e t a i l s an d b a c k ­
g r o u n d i s p r e r e q u i s i t e t o an tin d e r s t e n d i n g o f t h i s
d la o u ssio n -
lan d #
" H e re d ita ry te n u re , to g e th e r w ith p re c a rio u s te n u r e ,
e x i s t e d I n t h e t i m e o f t h e M e r o v in g ia n s #
I t g re w c o n t i n u a l l y
and b ecam e a w i d e l y p r e v a l e n t f a c t b e f o r e i t was r e c o g n i z e d
1
as la w ."
In any c a s e , w h a te v e r t h e i r b ack g ro u n d , th e
s e i g n e u r s w ere now l a n d e d a r i s t o c r a t s .
( 2 ) The m e r c h a n t s w e re a t a low ebb o f power an d p r e s ­
t i g e , b e c a u s e town l i f e , f o r t h e m o s t p a r t , e s p e c i a l l y i n
th e n o r t h e r n p a r t s o f E u ro p e, had n o t been d ev elo p ed o r had
g i v e n way t o r u r a l l i f e .
The a r t i s a n s w e r e , a t t h e b e g i n n i n g ,
i n c o r p o r a t e d i n t o t h e f e u d a l sy s te m (much a s t h e a r t i s a n
N e g ro e s i n t h e a n t e - b e ll u m S o u t h w ere l a r g e l y i n c l u d e d w i t h i n
t h e s l a v e an d p l a n t a t i o n s y s t e m ) .
( 3 ) The g r e a t m ass o f h u m a n i t y was com posed l a r g e l y
of s e r f s .
T h e i r p o s i t i o n was t h e n n o t g r e a t l y d i f f e r e n t
from w h at i t h a d b e e n when th e w a l l s o f Rome w e re f i r s t b u i l t .
S la v e s, i t
i s t r u e , p e r s is te d p l e n t i f u l l y u n t i l about th e
en d o f t h e f i r s t m i l l e n n i u m A .D .
I n d e e d , I t may b e c o r ­
r e c t l y a s s e r te d t h a t th e f i r s t s o c ia l m o b ility of s i g n i f i ­
c a n c e d u r i n g t h e p e r i o d o f f e u d a l i s m was t h e g e n e r a l d i s a p ­
p earan ce o f s la v e s In E urope.
Tney a t t a i n e d , l a r g e l y , t h e
m ore s t a b l e a n d h o n o r a b l e s t a t u s o f s e r f s .
I t w i l l b e n o te d , n o t o n ly in t h i s f i r s t in s ta n c e of
s i g n i f i c a n t m o b i l i t y , b u t a ls o th ro u g h o u t th e m e d iev a l p e r io d ,
t h a t t h e r e was a c e r t a i n f e r m e n t a t i o n g o i n g on i n a g r i c u l t u r e
1 Edward M a s l i n H ulm e, The M id d le Ages (New Y o r k , 1 9 3 8 ) p . 3 2 0 .
a s w e l l a s I n t h e tow ns*
s o c ia l o p p o rtu n ity .
".
The l a t t e r h a d n o m on o p o ly u p o n
• . t h e m ass o f t h e p e o p l e , i n w h a t
i s now E n g l a n d , w ere f ro m t h e f i r s t i n a s e r v i l e c o n d i t i o n ,
and . . .
t h e i r h i s t o r y , u p t o t h e Norman C o n q u e st a n d b e 2
y o n d , h a s b e e n one o f p r o g r e s s i v e a m e l i o r a t i o n . "
T h i s l a t t e r f a c t o f t h e e a r l y s u b j e c t i o n an d o f t h e
c o n t i n u o u s im p ro v e m e n t o f t h e l o t o f t h e lo w e r c l a s s e s u n d e r
a g r i c u l t u r a l fe u d a lism c o rresp o n d s t o th e e a r l i e r s i t u a t i o n
i n I t a l y , w h e re t h e l o t o f t h e l a t i f u n d i a n s l a v e was made
m ore d i g n i f i e d , h i s f a m i l y l i f e
l e g a l i z e d , and h i s f o o t h o l d
on a s e c u r e l i f e made f i r m e r b y t h e r u l e s o f t e n u r e a d o p t e d
b y t h e l a t e r Roman e m p e r o r s .
A g r ic u ltu r a l fe u d a lism .
The f e u d a l i z a t i o n o f p u b l i c
a u t h o r i t y b y t h e g r e a t la n d o w n e r s b e g a n l o n g b e f o r e t h e
tim e o f t h e M e r o v i n g i a n s .
The German k i n g s , i n s t e a d o f
i n t r o d u c i n g f e u d a l i z a t i o n , w ere a c t u a l l y u n a b l e t o p r e v e n t
3
i t s g r o w th a n d s p r e a d .
As a n a g r i c u l t u r a l s y s te m " a l l t h e
e s s e n t i a l f e a t u r e s o f t h e m anor . . .
(w ith th e e x c e p tio n
o f t h e l o r d ' s j u r i s d i c t i o n ) may b e r e a s o n a b l y t r a c e d t o t h e
4
l a t e r Roman law . . . ."
A g r i c u l t u r a l f e u d a l i s m r e s t e d up on t h e f i r m b a s e o f
5
la rg e e s t a t e s .
B o i s s o n n a d e d e s c r i b e s t h i s i n t h e s e w o rd s :
2 W .J . A s h l e y , An I n t r o d u c t i o n t o E n g l i s h Econom ic H i s t o r y
a n d T h e o r y . P a r t I ( E o n d o n . 1 915) p . 1 5 .
3 H ulm e, 0£ . c i t . , p . 1 4 8 .
4 A sh le y , op. c i t . . p p . 1 4 -1 5 .
.
5 P . B o i s s o n n a d e , Le t r a v a i l d a n s 1*E u ro p e c h r e t i e n n e a u moyen
a g e . (V-XVe s i ^ c l e s j ( P a r i s , 1921) p . 1 0 3 ; t r a n s l a t i o n
o u rs.
The l a n d d o m i n a t i o n o f t h e l a y a r i s t o c r a c y grew t h r o u g h
I t s e n c r o a c h m e n t upon t h e p u b l i c l a n d s , t h e v i o l e n c e I t
d i s p l a y e d to w a rd t h e s m a ll l a n d o w n e r s , t h e p r e s s u r e I t e x ­
e r t e d upo n t h e h e a d s o f t h e s t a t e , and t h r o u g h c o l o n i z a t i o n .
W h a te v e r i s s a i d o f l a n d o w n e r s h ip d u r i n g t h i s e a r l y
p e rio d i s r e l a t i v e l y tru e a ls o of s o c ia l c la s s p o s itio n ,
f o r t h e s o c i a l c l a s s l a d d e r was s e t deep i n t h e e a r t h .
L an d o w n e rs w ere p o w e r f u l p e r s o n a g e s , and p o w e r f u l p e r s o n a g e s
w ere l a n d o w n e r s .
T hey w ere one and t h e sa m e, a r i s t o c r a t s ,
and h o s t s t o k i n g s .
O f f i c e h o l d e r s h a d becom e l a n d h o l d e r s .
B u s i n e s s men w i t h o u t l a n d h a d l o s t o u t i n t h e r a c e f o r
p la c e .
Churchmen o f l a r g e - l a n d o w n i n g f a m i l i e s t h e m s e l v e s
r e t a i n e d , an d o t h e r s a c q u i r e d , p r e s t i g e a c c o r d i n g t o t h e
s i z e o f t h e l a n d t r a c t s t h e y f r e q u e n t l y s u p e r v i s e d , i n con­
n e c t io n w ith t h e i r o th e r d u t i e s .
S e r f s w e re d i v i d e d i n t o
s e v e r a l c a t e g o r i e s o r c l a s s e s a lm o st e x a c t l y a c c o rd in g t o
t h e am ount o f l a n d i n h e r i t e d b y th e m .
Land p o l i c y , t h e r e ­
f o r e , g r e a t l y a f f e c t e d th e c o n tin u ity of th e s o c i a l c la s s e s
a n d t h e p e r p e t u a t i o n o f a r i s t o c r a t i c f o l k w a y s an d m o r e s .
P rim o g e n itu re , th e h a llm a rk of th e t r u e a r i s t o c r a t i c
t r a d i t i o n , was i n one s e c t i o n o f s o u t h e r n P r a n c e f o r a
s h o r t tim e f o r g o t t e n , o n ly to b e r e i n s t a t e d f o r th e p r e s e r v a ­
t i o n o f l a r g e e s t a t e s and t h e h i g h n o b i l i t y .
(One t h i n k s o f
w h a t h a p p e n e d i n P o l a n d w here p r i m o g e n i t u r e o f t i t l e was n o t
c u sto m a ry : th e s t o r y i s
t o l d t h a t among s e v e n n o b le m e n i n
one v i l l a g e t h e r e was o ne d r e s s s u i t f o r u s e oh s e p a r a t e
v is its
to th e c o u r t . )
W ith r e g a r d t o t h e s i t u a t i o n i n
6
s o u t h e r n P r a n c e , Hulme w r i t e s :
6 H ulm e, o p . c i t . . , p . 3 2 1 .
Many c a u s e s b r o u g h t a b o u t s u b - i n f e u d a t i o n • G r e a t
p r i n c i p a l i t i e s w ere b r o k e n u p , e s p e c i a l l y i n t h e s o u t h ,
by th e r i g h t o f s u c c e s s io n , t h a t a llo w e d e q u a l i t y o f
p a r t i t i o n among t h e h e i r s . O n ly r a r e l y i n t h e n o r t h ,
i f a t a l l , w ere t e r r i t o r i e s l e f t t o t h e y o u n g e r s o n s .
I n t h e s o u t h , h o w e v e r , p a r t i t i o n upo n s u c c e s s i o n was
th e r u l e . . . . I f th e r u l e h ad been a p p li e d i n d e f i n i t e l y
t h e g r e a t s o u t h e r n p r i n c i p a l i t i e s w ould h a v e d i s a p p e a r e d .
B ut t h e y saw t h e p e r i l , a n d , a s e a r l y a s t h e m i d d l e o f
th e te n th c e n tu ry , stro v e t o a v e rt i t .
M a r r i a g e s w ere
a r r a n g e d t o r e s t o r e d i s r u p t e d d o m a in s ; an d t h e y o u n g e r
s o n s w ere made e c c l e s i a s t i c a l d i g n i t a r i e s , o r t e r r i t o r i e s
w ere g i v e n t o them o f i n s i g n i f i c a n t s i z e .
Thus t h e " e x t r a ” s o n s o f h i g h f a m i l i e s f o u n d p l a c e s
l e f t f o r them i n t h e m id d l e g r o u n d b e tw e e n t h e v e r y s t r o n g
and t h e v e r y w e a k .
S o c i a l c i r c u l a t i o n w as, in a c o n t r o l l e d
a n d m o d i f i e d f o r m , fro m t h e t o p dow n w ard.
C h u rc h o f f i c e s
w ere r e s e r v e d , p o l i t i c a l o f f i c e s w e re d i s t r i b u t e d , s m a l l e r
p l o t s o f la n d fo u n d , n o t f o r a s p i r i n g o r c a p a b le s e r f s o r
s e r v a n t s , b u t f o r sons born " a lm o st t o g l o r y ,"
b r o t h e r s o f h i g h n o b le m e n .
th e younger
T h i s phenomenon w i l l r e c u r a g a i n
i n t h e c a s e o f E n g l i s h a n d A m e ric a n u p p e r and m id d l e c l a s s e s •
I t I s a v ery p o te n t f a c t o r , p re v e n tin g , In p a r t , th e r i s i n g
o f p e r s o n s fro m b e l o w .
T h is I s s o c i a l c i r c u l a t i o n in r e ­
v e r s e , a c o u n t e r m o tio n w h ic h t e n d s t o n u l l i f y a n y n a t u r a l
p e r c o l a t i o n o f t a l e n t t h a t m ig h t b e m oving o r t r y i n g t o move
fro m b e n e a t h u p w a r d s .
The f u l l e s t a b l i s h m e n t o f a g r i c u l t u r a l f e u d a l i s m a c ­
co m p a n ie d t h e p o l i t i c a l d e c e n t r a l i z a t i o n o f t h e n i n t h c e n t u r y •
I t was t h e i n v a s i o n s o f t h e n i n t h , n o t t h e f i f t h , c e n t u r y
w h ic h w e re d e c i s i v e i n b r e a k i n g down p u b l i c a u t h o r i t y .
T h e r e f o r e , I t may w e l l b e a r g u e d , t h e r o u g h a n d t u m b le e r a
o f c i v i l w a rs and i n s o l e n t i n d e p e n d e n c e , when b a r o n s w ere
s t r o n g o f arm a n d r e a d y i n b a t t l e ,
came a f t e r t h e s o c i a l
c l a s s s t r u c t u r e h a d becom e s t a b i l i z e d .
I t can t h e r e f o r e
b e s t r o n g l y i n f e r r e d t h a t t h e a d v e n t u r e r s who p l a y e d a
la r g e p a r t in th e i n t e r n a l s t r i f e
o f w e s t e r n E u ro p e a t t h e
t i m e o f t h e n i n t h a n d t e n t h c e n t u r y i n v a s i o n s w ere men o f
h i g h e r c l a s s b a c k g r o u n d s , n o t u p s t a r t s , a s S o r o k i n and
o th e r s have s t a t e d .
A f t e r m ak in g i t
c l e a r t h a t nl e s s e i g n e u r s n * ^ t a l e n t
p a s d e s c o n q u ^ r a n t s j 11 y a v a i t p a r m i e u x a u t a n t de G a u l o i s
W~
5
qu e d e G e r m a in s , 1*
F u s t e l de C o u la n g e s s t a t e s :
I t was n o t
k in g , n o t th e
I t was g r o u p s
seig n eu rs fo r
t h e a r i s t o c r a c y w h ic h f o u g h t a g a i n s t t h e
German r a c e a g a i n s t t h e G allo -R o m an . . . .
o f s e i g n e u r s w h i c h f o u g h t o t h e r g ro u p s o f
th e a c q u is itio n o f o f f ic e , la n d , or b is h o p ric .
# # *
As a p a r t o f t h e s t o r y o f s o c i a l c l a s s r i g i d i t i e s ,
t h e c o m p o s i t i o n and o r i g i n o f a n y c l a s s m u st b e c l e a r l y
show n, i n o r d e r t h a t t h e r e w i l l b e n o d o u b t a s t o w h e t h e r
o r n o t t h e new c l a s s r o s e fro m t h e m a s s .
was f i r m l y e s t a b l i s h e d ,
to r e c r u itm e n t.
Once t h e n o b i l i t y
p r o o r e a t i o n was o b v i o u s l y t h e k e y
But th e f a c t o r o f o r i g i n i s c r u c i a l b e ca u se
i t a c c o u n t s f o r t h e i n t e r v e n i n g p e r i o d b e tw e e n t h e Roman
7 N .D . F u s t e l d e C o u l a n g e s , H l s t o l r e d e s i n s t i t u t i o n s p o l l t l q u e s
d e 1 1a n c l e n n e F r a n c e . v o l . VI T P a r i s , 1 8 92) p . 5? 4 .
~
8 I b i d . , p . 592; t r a n s l a t i o n o u r s .
s e n a t o r i a l c l a s s an d t h e p e r i o d o f h i g h f e u d a l i s m .
r e a s o n t h e f o l l o w i n g summary i s o f f e r e d .
For t h a t
In sp e a k in g o f th e
in d e p e n d e n t, s e l f - c o n t r o l l e d , f ir m ly e s ta b lis h e d a g r i c u l t u r a l
9
n o b i l i t y , Hulme s a y s :
Whence came t h i s i n s u b o r d i n a t e n o b i l i t y ?
I t had been
fo rm e d b y t h e d i g n i t a r i e s o f t h e c o u r t , t h e p r o v i n c i a l
o f f i c i a l s , th e heads o f th e a b b e y s, th e b ish o p s . . . .
The k i n g s h i p h a d c r e a t e d t h i s a r i s t o c r a c y .
I t had en­
dowed I t w i t h l a n d s . I t h a d p e r m i t t e d i t t o grow pow er­
f u l w i t h o u t m i s t r u s t • • • . T h e i r pow er w axed; t h a t o f
t h e k i n g waned . . . . A g ro w in g p a r t o f t h e p o p u l a t i o n
becam e e c o n o m i c a l l y d e p e n d e n t upon t h e g r e a t la n d o w n in g
a ris to c ra c y .
S uch w e r e , I n p a r t , t h e c l a s s a s p e c t s o f t h e e s t a b l i s h ­
m ent o f a g r i c u l t u r a l f e u d a l i s m .
tru ly a ris to c ra ts .
The u p p e r c l a s s e s w ere
M id d le c l a s s e s a l m o s t I m m e d ia t e l y b e g an
t o d e v e l o p , I n t h a t p l a c e s w e re made f o r y o u n g e r s o n s b y
s u b - i n f e u d a t i o n and b y t h e n e e d o f t h e m anors f o r s p e c i a l
o f f i c i a l s t o m anage th e m .
O th er changes began im m e d ia te ly ,
a s w i l l b e show n.
S h i f t s a n d c h a n g e s among s e r f s .
I n th e two h u n d r e d
y e a r s b e tw e e n W il l ia m t h e C o n q u e ro r a n d t h e end o f t h e
t h i r t e e n t h c e n t u r y m any c o m p l e x i t i e s b e g a n t o a p p e a r i n t h e
lo w e r o r d e r s o f t h e a g r i c u l t u r a l f e u d a l s y s t e m .
” Commuta­
t i o n o f p e r s o n a l s e r v i c e s t o money p a y m e n ts b e g a n i n e a r n e s t
in n o r th e r n E urope a b o u t 1 2 0 0 .
A l r e a d y many o f t h e b e t t e r
t e n a n ts had begun h i r i n g c o t t e r s t o p e rfo rm t h e i r b o o n -d ay
9 Hulm e, £ £ . c l t . . p p . 2 4 8 - 2 4 9 .
10
or h arv est o b lig a tio n s .”
C o t t e r s w ere l a n d l e s s and s u b - m a r g i n a l d w e l l e r s on
th e e s t a t e s .
T hey w ere h i r e d u n d e r t h e m o s t p r e c a r i o u s o f
c o n d itio n s , th e la b o r m a rk e t.
Now t h e b e t t e r s e r f s w ere t o
becom e e c o n o m i c a l l y s t i l l s t r o n g e r a s t h e y l e a n e d upon
th ese h ire d l a b o r e r s .
I n C r a w le y , a n E n g l i s h v i l l a g e , i t
i s s a i d t h a t t h e v i l l e i n s who s t a r t e d o u t w i t h a d v a n t a g e s
becam e t h e r e c i p i e n t s o f ” v e r y f a v o r a b l e t e r m s o f o c c u p a n c y
11
in th e t h i r t e e n t h c e n t u r y ,”
w h i l e t h e d w e l l e r s i n N o r th
C ra w ley a lw a y s l a g g e d b e h i n d , r e m a i n i n g c o t t e r s f o r c e n t u r i e s .
T h e s e f a c t s l e n d s t i l l more c r e d e n c e t o t h e p r i n c i p l e
o f s o c i a l c l a s s , n a m e ly , t h a t p e r s o n s o r g r o u p s w i t h an
i n i t i a l s t a r t o r a d v a n t a g e t e n d t o r i s e , i f any one d o e s .
To them t h a t h a v e , m ore i s g i v e n .
R e g a r d i n g t h e many c h a n g e s t a k i n g p l a c e among t h e
s e r f s i n t h e v e r y c e n t u r i e s when f e u d a l i s m was a t i t s h e i g h t ,
12
A sh le y s a y s :
When we com pare t h e c o m p a r a t i v e s i m p l i c i t y o f Domesday
B ook, i n w h ic h o v e r t h e g r e a t e r p a r t o f E n g la n d , v i l l e i n s ,
c o t t e r s o r b o r d a r d , an d s l a v e s make u p t h e w hole p o p u l a ­
t i o n , w i t h t h e e l a b o r a t e d i v i s i o n i n t o s i x , e i g h t , o r ev en
te n c la s s e s in t h e c u stu m a ls o f th e l a t t e r p a r t o f th e
t h i r t e e n t h c e n t u r y , t h e c h a n g e s seem b e w i l d e r i n g i n t h e i r
c o m p l e x i t y and v a r i e t y .
10 M e lv in M. K n i g h t , E con om ic H i s t o r y o f E u ro p e t o t h e End
of the Middle Ages (koston. 19267 p. 3.8V.
11 Norman S c o t I' a n d E t h e l C u l b e r t G r a s , The Econom ic an d
S o c i a l H isto ry o f a n E n g l i s h V i l l a g e ( C ra w le y , Samp
shire^ A .D . 909^X925 (Cambridge, Mass . , 1 9 30) p . 7 .
12 A s h l e y , 0£ . o l t . . p . 2 0 .
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A l r e a d y a t t h i s tim e a c l a s s o f men h ad made I t s a p p e a r a n c e
who w e re " d e p e n d e n t w h o l l y o r I n p a r t on t h e w ages t h e y r e 13
c eiv ed f o r a g r i c u l t u r a l la b o u r ."
F o llo w in g t h e s e e a r l y c h a n g e s , su b se q u e n t d e v e lo p m e n ts
t o o k t h e f o r m o f g r a d u a l s h i f t s i n t h e same d i r e c t i o n *
The
s t r o n g , f r e e yeoman t y p e e v o l v e d fro m t h e f u l l - f l e d g e d
v ille in s .
In F ra n c e th e s t a b l e p e a s a n t ty p e e v o lv e d g r a d u a l l y
t h r o u g h t h e c e n t u r i e s , s o t h a t a t t h e t im e o f t h e R e v o l u t i o n
th e r e l a ti o n s of s e rfs
t o l o r d s w ere o n l y r e m o t e l y s i m i l a r
to w hat th e y had been a t
t h e t im e o f C h a r le s t h e G r e a t .
Some o f t h e p e a s a n t s o f F r a n c e h a d a d v a n c e d i n t o r e s p e c t a b l e ,
m id d l e c l a s s r a n k .
(Many o f t h e n o b l e s w ere b y t h e n u n a b l e
to d ress to v i s i t th e c a p ita l.)
I t I s n o t t r u e t h a t a g r a r i a n f e u d a l i s m was a r i g i d
sy ste m , i n th e s o c i a l c la s s sense*
Even e c o n o m i c a l l y a n d
i n t e r m s o f c u s to m a r y r i g h t s t h e r e was a s t r o n g t i d e o f
e v o lu tio n *
Those who f i n d t h e f e u d a l c l a s s e s " c l o s e d " a r e
t h i n k i n g i n t e r m s o f p e r s o n a l p e r c o l a t i o n fro m one l e g a l
c l a s s d e s i g n a t i o n i n t o a n o t h e r ; b u t t h e r e I s a n o t h e r fo rm
o f s o c i a l c l a s s m o b i l i t y , th e k in d r e p r e s e n te d by t h e r i s e
i n pow er o f t h e p r o v i n c i a l s e n a t o r i a l c l a s s a t t h e t im e o f
t h e b r e a k u p o f t h e Roman E m p ire and t h e k i n d r e p r e s e n t e d
by th e e v o lu tio n o f t h e B a v a ria n ty p e of p e a s a n ts w ith t h e i r
l a r g e and in d e p e n d e n t fa rm s .
The m an n e r I n w h ic h t h e a g r i c u l t u r a l l a b o r i n g c l a s s
a n d t h e yeomen f a r m e r I n E n g la n d d e v e l o p e d fro m t h e e a r l i e r
s e r f s , and t h e n a t u r e o f t h a t d i f f e r e n t i a t i o n , i s shown i n
t h e t a b l e on p a g e 2 5 9 .
In t o t o , of c o u rs e , th e c h a r t r e ­
v e a l s t h e l i m i t a t i o n s on movement d u r i n g t h e w h o le p e r i o d .
S o c i a l c l a s s m o b i l i t y c e r t a i n l y was n o t c h a r a c t e r i s t i c o f
a n y p o r t i o n o f t h e h i s t o r y o f C r a w le y , c e r t a i n l y n o t o f t h e
l a s t two h u n d r e d y e a r s .
I n t h e e v o l u t i o n o f s o c i a l o p p o r t u n i t y an d human I n ­
s t i t u t i o n s t in d e r a g r i c u l t u r a l f e u d a l i s m one d i s r u p t i v e move­
m en t e n t e r e d , n a m e ly c o m m e rc ia l an d i n d u s t r i a l c a p i t a l i s m .
The s h a r p e s t b r e a k came i n E n g l a n d , c a u s i n g t h e d e v e lo p m e n t
among t h e a g r i c u l t u r a l c l a s s e s t h e r e t o b e m ore a b r u p t l y
b ro k en th an in P ra n c e , f o r I n s ta n c e .
The B e a r d s su m m arize
a s f o l l o w s , and fro m t h e i r s t a t e m e n t one g e t s t h e I m p r e s s i o n
t h a t t h e new e r a o f c o m m e rc ia lis m was n o t one o f o p p o r t u n i t y
14
f o r a g r i c u l t u r a l p e r s o n s t o r i s e on t h e s o c i a l s c a l e :
As t h i n g s t u r n e d o u t , t h e w h o le r u r a l economy o f
E n g la n d was a l t e r e d w i t h t h e d i s a p p e a r a n c e o f s e r f d o m .
G re e d y l o r d s now s e i z e d t h e common l a n d s o f v i l l a g e s u n d e r
a c t s o f P a r l i a m e n t , made b y t h e i r a g e n t s , a u t h o r i z i n g them
t o e n c l o s e g r e a t a r e a s and e x t i n g u i s h t h e a n c i e n t r i g h t s
o f t h e p e a s a n t . • . c i t y s t r e e t s w e re f i l l e d w i t h
p aupers . . . .
( T h i s s t a t e m e n t p e r t a i n s t o t h e e a r l y e n c l o s u r e s b u t w ould
b e j u s t a s a p p l i c a b l e t o t h e g r e a t ere l o s u r e s a t t h e end o f
14 C h a r l e s A . a n d Mary R. B e a r d , The R i s e o f A m e ric an
C i v i l i z a t i o n , v o l . I (New ? o r k , 19 2 7 7 p . 2 4 .
t h e e i g h t e e n t h c e n t u r y , when i n d u s t r i a l c i t i e s mushroomed
and w o r k e r s ' f a m i l i e s w ere h u d d l e d t o g e t h e r i n slu m s and
made t o work fro m dawn t o d a r k . )
# *■
F e u d a lism , th e n , im m e d ia te ly began t o a llo w f o r s o c i a l
d iffe re n tia tio n .
"Once c o m m u tatio n g o t w e ll s t a r t e d , t h e
m e d i a e v a l t e n d e n c y to w a rd f i x i t y g o t h o l d o f i t , a n d i t b e 15
came i t s e l f c u s t o m a r y . "
Movement, i n a w o r d , beco m es a
fix e d p o lic y .
T h i s movement to w a r d m ore f r e e d o m and more
r i g h t s f o r t h e s t r o n g e r f a m i l i e s among t h e s e r f s was e v i d e n t
i n E n g la n d ( t h e y e o m e n ), i n F r a n c e ,
( l e s p a y s a n s ) i n Germany
(d ie B au ern ) . in R u ss ia ( th e k u l a k s ) .
Some f a m i l i e s t e n d e d
t o becom e d i s p l a c e d and t o become h e r e d i t a r y a g r i c u l t u r a l
la b o re rs.
Such i s ,
in o u t l i n e , th e s o c i a l c la s s m o b ility
and i m m o b i l i t y o f a g r i c u l t u r a l f e u d a l i s m .
More w i l l b e
s a i d l a t e r a b o u t t h e n o b i l i t y and t h e b r e a k u p o f a g r i c u l t u r a l
fe u d a lism .
S o c ia l c la s s e s i n th e e a r l y to w n s.
In o r d e r t o a s ­
c e r t a i n who made up t h e e a r l y t r a d i n g a n d p r o d u c i n g g r o u p s
i n t h e t o w n s , o n e m u st g l a n c e b a c k i n t o Roman t i m e s .
In I t a l y ,
a f t e r t h e E m p ire ,
th e l e a d in g c i t i z e n s o f
t h e to w n s w e re n o t a v e r s e t o e n g a g i n g i n t r a d e an d com m erce.
T h e re I s e v e r y r e a s o n t o b e l i e v e t h a t t h o s e who h a d t h e
e n t r e p r e n e u r i a l s p i r i t t o d e v e l o p t h e i n d u s t r i a l an d c o m m e rc ia l
15 K n i g h t , o p . c l t . . p . 1 8 8 .
life
o f e a r l y m e d i e v a l t i m e s w e re p e r s o n s who w e re f o l l o w i n g
t h e t r a d e s and a c t i v i t i e s
of t h e i r a n c e s to r s , or th a t th ey
w ere n o b lem en who h a d b e e n d r i v e n f ro m t h e l a n d by t h e
c o u n t r y l o v i n g Lombards and who w e re n o t c o n t e n t t o s i t I d l y
b y and l e t o p p o r t u n i t y s l i p away — t h e y c h o se t o e n t e r com­
m e rc ia l l i f e
(much a s t h e i r d i s t a n t c o u s i n s i n G a u l , a f t e r
c e n t u r i e s o f p a c i f i s t l a z i n e s s , h a d t a k e n u p t h e sword and
le a rn e d to f i g h t ) .
By d o i n g s o , t h e y p r e s e r v e d t h e i r s o c i a l
c l a s s p o s i t i o n b y f i n d i n g a new e c o n o m ic b a s e , s h a r e d b y t h e
c o m m e rc ia l e x p e r t s fro m B y z a n t i n e a n d t h e d e s c e n d a n t s o f t h e
o l d Roman m u n i c i p a l a d m i n i s t r a t o r s .
I t i s n o t one o f t h e c u s to m s o f t h e u p p e r c l a s s e s t o
q u i t , t o d i s a p p e a r I n t o t h e p r o l e t a r i a n m a s s , even i n t im e s
o f g re a t change.
M e rc h a n ts h a v e b e lo n g e d t o a l l t h e a g e s ; t h e y h a v e
e x p e r i e n c e d an u n b r o k e n l i n e o f t r a d i t i o n an d b e h a v i o r , i f
t h e r e was a m a r k e t p l a c e t o s t a n d i n , fro m t h e t im e o f t h e
P h o e n ic ia n s th ro u g h t o th e p r e s e n t scram b le f o r s a l e s o u t ­
l e t s by ra d io a d v e r tis in g .
I n t h e a g e u n d e r d i s c u s s i o n a p p r e n t i c e s h i p I n commerce
was a f a m i l y m a t t e r and e a r l y n a t i v e b u s i n e s s men p a s s e d
t h e i r k n o w le d g e and t h e i r w e a l t h on t o t h e i r c h i l d r e n and e s ­
t a b l i s h e d t h e s l o w l y r i s i n g c o m m e r c ia l a r i s t o c r a c i e s .
The g r o u p s o f t r a d e r s I n G a u l t h a t s u r v i v e d t h e I n ­
v a s i o n s an d k e p t a l i v e t h e c o m m e r c ia l l i f e w e re t h e v e r y
g r o u p s whose e x p e r i e n c e and h a b i t s h a d m o s t s e c u r e r o o t s i n
lo n g t r a d i t i o n ,
"When K in g G untram i n 585 p a s s e d t h r o u g h
O rlea n s
. . • h e was welcomed b y a g r e a t cro w d , among w h ic h
16
w ere Jews an d t r a d e r s fro m t h e E a s t . . . ."
T h is can
o n ly be i n t e r p r e t e d a s c la s s c o n t i n u i t y , th e m ain ten a n ce o f
th e f a t h e r 's a c t i v i t y by th e so n , r a t h e r th a n a s a r a c i a l
c h a ra c te ristic ,
(T h e re w ere many Jew s n o t e n g a g e d i n com­
m e r c i a l p u r s u i t s I)
K n ig h t r e p o r t s t h a t " S y r i a n s an d Jews
fro m t h e N e ar E a s t w ere t h e p i o n e e r s i n f i n a n c e i n t h e
17
I t a l i a n t o w n s ,"
A l l t h e way u p t h r o u g h E u r o p e t h e l i g h t w h ic h d r o v e
o u t t h e d a r k n e s s o f t h e b a r t e r w o r l d was k i n d l e d b y t r a d i n g
e x p e r i e n c e , o l d and s o l i d .
(Once t h i s k n o w le d g e g o t i n t o
t h e h a n d s o f n a t i v e s , who were n o t s u b j e c t t o l i m i t a t i o n s
a n d d i s c r i m i n a t i o n , t h e y u s e d i t r a p i d l y t o b u i l d up com­
m e r c i a l c l a s s e s , even c o m m e rc ia l a r i s t o c r a c i e s . )
" W illia m
t h e C o n q u e ro r . . . a c t u a l l y t a k i n g Jews t o t h a t c o u n t r y i n
t h e h o p e o f b u i l d i n g up a t y p e o f e c o n o m ic l i f e w h ic h c o u ld
18
b e made t o y i e l d r e v e n u e , "
The p e o p l e who I n t r o d u c e d com­
m e r c i a l l i f e i n t o n o r t h e r n E u r o p e , a l t h o u g h some S c a n d i n a v i a n s
h a d ru n s h i p s t h r o u g h G i b r a l t a r , w e re " p e d l a r s
Byzantium, S y r i a , and fro m t h e c i t i e s
• . , fro m
o f s o u t h e r n E u ro p e . , . .
The s o c i a l c l a s s i m p l i c a t i o n s o f t h e f o r e g o i n g a r e
20
shown i n t h e f o l l o w i n g :
16 Sam uel D i l l , Roman S o c i e t y i n G a u l i n t h e M e r o v i n g ia n Age
(L o ndo n, 1926) p . 2 4 4 .
17 K n i g h t , o|>. c i t . , p , 9 6 ,
18 I b i d . , p . 1 0 4 .
19 Je ro m e Dowd, C o n t r o l i n Human S o c i e t i e s (New Y o rk , 1936)
p . 47.
20 K n i g h t , 0£ . c i t . , p , 1 0 5 ,
I n I t a l y , t h e tow n s t o o k t h e l e a d .
E v e n t u a l l y , a new
c o m m e rc ia l a r i s t o c r a c y was a b l e t o p l a y n o b l e s , c l e r g y ,
k i n g s an d commoners a g a i n s t e a c h o t h e r and t o s e i z e t h e
r e a l pow er f o r i t s e l f . T h i s t o o k p l a c e I n V e n ic e i n 976,
I n M ila n s l i g h t l y l a t e r , s p r e a d i n g t o C rem ona, B o l o g n a ,
P a v i a , and G eno a.
I f t h e c o m m e rc ia l c l a s s e s c o u l d c r y s t a l l i z e an a r i s t o c r a c y
I n t h e 9 0 0 ’ s , t h e r e m ust h a v e b e e n a c a r r y - o v e r fro m a n c i e n t
a n d h o n o r e d G reek a n d Roman f a m i l i e s , a s was shown t o h a v e
been th e case In V e n ice .
T h e re i s e v e r y r e a s o n t o b e l i e v e
t h a t p a r t o f t h e c o m m e rc ia l a r i s t o o r a c y i n n o r t h e r n I t a l y was
made u p o f t h e d e s c e n d a n t s o f t h e o l d s e n a t o r i a l n o b i l i t y
an d t h a t o t h e r s w ere d e s c e n d e d fr o m Roman m id d l e c l a s s e s .
The e a r l y g i l d s .
I t I s e n t i r e l y p o s s ib le th a t In
some p l a c e s c e r t a i n a r t i s a n o r g a n i z a t i o n s may h a v e e n jo y e d
c o n t i n u o u s e x i s t e n c e fro m Roman t i m e s t o t h e t w e l f t h c e n 21
tu ry .
I t i s " e v e n p o s s i b l e t h a t Roman r e g u l a t i o n s may
h a v e s e r v e d a s m o d e ls f o r t h e o r g a n i z a t i o n o f s e r v i l e a r t i s a n s
on t h e l a n d s o f m o n a s t e r i e s and g r e a t n o b l e s - - fro m w h ic h ,
on t h e c o n t i n e n t , some o f t h e l a t e r c r a f t g i l d s d o u b t l e s s
22
sp ra n g ."
B u t, a l l t h i n g s c o n s i d e r e d , I t i s l i k e l y t h a t
o n l y a few o r g a n i z a t i o n s i n n o r t h e r n a n d w e s t e r n E u ro p e r e ­
m a in e d i n t a c t d u r i n g t h e c e n t u r i e s o f i n v a s i o n , c h i e f l y
b e c a u s e o f t h e d e c l i n e i n town l i f e .
In n o rth e rn I t a l y ,
h o w e v e r , t h e r e w a s, a s i n B y z a n t iu m , a h i e r a r c h y o f c o m m e rc ia l
21 A s h l e y , o p . c i t . , p p . 7 7 - 7 8 .
22 L o c . c i t .
246 .
and c r a f t g r o u p s , ’’w i t h t h e f i n a n c i a l , c o m m e r c i a l , and l e g a l
p e o p le a t th e to p , fo llo w e d b y th e l a r g e r - s c a l e i n d u s t r i e s ,
and t h e c r a f t s m e n , i n t h e s t r i c t e r , n a r r o w e r s e n s e , a t th e
23
b o tto m .”
One r e a d s t h a t ” t h e f r a t e r n a l a s p e c t s o f g i l d
l i f e w ere much t h e same i n B y z a n tiu m a s i n t h e I t a l i a n c i t i e s
24
l a t e r o n .”
Who, t h e n , o r g a n i z e d t h e g i l d s o f w e s t e r n E u rope? ( I t
i s n o t one o f t h e t h e o r i e s a d v a n c e d b y t h i s d i s s e r t a t i o n
t h a t t h e g i l d s o f w e s t e r n E u ro p e s p r a n g d i r e c t l y from I t a l i a n
m o d e l s , a l t h o u g h t h e r e was much o f Roman f l a v o r a b o u t e v e r y
a s p e c t o f t h e m e d i e v a l s y s t e m , an d much k n o w le d g e a b o u t
e c o n o m ic b e h a v i o r was d i f f u s e d fro m t h e s o u t h t o t h e n o r t h . )
I t i s q u ite p ro b ab le t h a t th e u n i f o r m i t y of n o r th e rn g ild s
r e s u l t e d from d i s c u s s i o n s w i t h t h e e a r l y m e r c h a n t s who came,
d e f i n i t e l y , from t h e M e d i t e r r a n e a n , b e i n g G r e e k s , S y r i a n s ,
25
A rab s, Jew s, I t a l i a n s .
The f i r s t members o f t h e c r a f t
g i l d s w e re " a r t i s a n s /w h o /' h a d c o l l e c t e d i n t h e s e e m b ry o n ic
u r b a n c o m m u n itie s , and h a d b e g u n t o w ork f o r t h e t r a d e r s
tin d e r n o n - s e r v i l e c o n d i t i o n s
. . . .
C r a fts m e n I n e v e r -
i n c r e a s i n g num bers c o p i e d t h e g o o d s w h ic h commerce b r o u g h t
26
In . . . . ”
23
24
25
26
K n i g h t , 0£ . c i t . . p . 9 4 .
Loc. c i t .
I b i d . . p . 95.
I F I d . . p . 219.
Such w a s , i n e s s e n c e , t h e o r i g i n o f t h e c r a f t g i l d s .
How much p e r s o n a l c o n t a c t w i t h o u t s i d e r s an d s u g g e s t i o n s b y
m erc h an ts a id e d th e fo rm a tio n o f t h e s e o r g a n i z a t i o n s i s n o t
known*
H ow ever, i t i s
c l e a r t h a t t h o s e p e o p l e who l e a r n e d
how t o w o rk , t o o r g a n i z e , t o m a n a g e , and t o a d m i n i s t e r
w ere t r a i n e d b y e x p e r i e n c e d m a s t e r s t o do s o - - I n t h o s e
H
$
c e n t u r i e s when t h e r e was no S c h o o l o f Commerce I
The c r a f t g i l d s w e re e a r l y m o n o p o li z e d b y t h o s e who
p o s s e s s e d t h e v a l u a b l e i n d u s t r i a l k n o w le d g e r e f e r r e d t o
above*
T h e r e was e a r l y e s t a b l i s h e d a b u r g h e r c l a s s o f
a r i s t o c r a t i c w o r k e r s , a s w i l l b e sho w n.
P a r tic u la r ly tru e
i s t h e id e a t h a t th e g i l d s e a r l y p re v e n te d r a t h e r th an p ro ­
m oted s o c i a l c l a s s m o b i l i t y .
P a r t i c u l a r l y d o u b t f u l , even
e r r o n e o u s , i s t h e n o t i o n t h a t when " t h e m e d i a e v a l econom ic
sy s te m was a t I t s h e i g h t , e n t r a n c e I n t o t h e v a r i o u s c r a f t
g i l d s was r e s t r i c t e d b y l i t t l e
c a n d id a te s ."
e x c e p t th e m e r its o f th e
T h is n o t i o n i s a v e r y p e r s i s t e n t s c h o o l b o o k
fic tio n .
E n t r a n c e i n t o g i l d s open t o t a l e n t .
The I d e a t h a t
t h e g i l d s w e re open t o a l l who c o u ld p r o d u c e a m a s t e r p i e c e
w h ic h w ould f u l f i l l o b j e c t i v e s t a n d a r d s i s o f g r e a t im p o r t a n c e
t o th e so c io lo g y o f s o c i a l c la s s - - I f i t be t r u e .
If i t is
a v a l i d i d e a , one w ould h a v e t o b e l i e v e t h a t s e r f s and n o n ­
g i l d townsmen knew o f t h e s e o b j e c t i v e s t a n d a r d s and w ere
a l l o w e d t o com p ete f o r t h e m .
T hat th e y d id n o t, in g e n e ra l,
248
b r e a k i n t o t h e c l a s s o f m a s t e r c r a f t s m e n w o u ld , u n d e r t h i s
t h e o r y o f open o p p o r t u n i t y , b e a t t r i b u t a b l e t o t h e i r l a c k
of t a l e n t , e n te r p r is e , or a p titu d e *
The i d e a t h a t t h e g i l d s
l e f t c o m p e t i t i o n open i n f e r s t h a t t h e e a r l y m a s t e r s , and
even t h e l a t e r and m ore p o w e r f u l o n e s , were n o t s o l i c i t o u s
a b o u t t h e f u t u r e o f t h e i r own s o n s .
c re d ib le .
What w ere t h e f a c t s ?
B o th o f t h e s e i d e a s a r e i n ­
Who d i d becom e a p p r e n t i c e s
and m a s t e r s i n t h e e a r l y d a y s o f t h e g i l d s ?
When and how
soon a f t e r t h e s t a r t o f t h e g i l d s d i d t h e “f r e e z i n g up" p r o ­
cess s e t in ?
So f a r a s t h e e a r l y g i l d s w e re c o n c e r n e d ( t h e o n e s
w h ic h may b e s a i d t o h a v e f a t h e r e d t h e g i l d s y s te m a s i t
s p r e a d o v e r w e s t e r n a n d n o r t h e r n E u r o p e ) t h e r e was no
27
se m b la n c e o f e q u a l o p p o r t u n i t y i n t h e i r make u p .
One r e a d s :
S i n c e I t a l y was f a s t b e o o m i n g a t r a d i n g r a t h e r t h a n an
a g r i c u l t u r a l c o u n try , w ith i t s n o b i l i t y l iv i n g la r g e ly
i n t h e to w n s, l a r g e - s c a l e commerce s u c h a s i m p o r t i n g
and e x p o r t i n g was a c c o u n t e d r e s p e c t a b l e . Even men o f
n o b le b lo o d engaged in i t . . .
• Thus t h e g r e a t com­
m e r c i a l g i l d s o f t h e I t a l i a n c i t i e s w ere n o t d e m o c r a t i c
i n a n y modern s e n s e , a n y m ore t h a n w e re t h e i r p r o t o t y p e s
a t C o n s t a n t i n o p l e o r t h e i r s t i l l m ore r e m o t e a n t e c e n d e n t s
i n t h e o l d e r Rome on t h e T i b e r .
. . . The g i l d s i n t h e g r e a t i n d u s t r i e s w ere l i k e w i s e
a ris to c ra tic . . . .
I t a l i a n b a n k e r s ' g i l d s , s e r v i n g b o t h commerce and i n ­
d u s t r y , w ere f u l l y a s a r i s t o c r a t i c a s t h e o n e s men­
tio n e d above.
Among t h e s m a l l e r c r a f t s , i t i s s a i d , w here l i t t l e
c a p i t a l was i n v o l v e d , t h e a p p r e n t i c e becam e t h e jo u rn ey m an
27 I b i d . . p p . 1 1 0 -1 1 1 .
an d t h e jo u rn ey m an becam e m a s t e r .
tic e s ?
The s o n s o f t h e m a s t e r s ?
B u t who w ere t h e a p p r e n ­
Or c o u l d e v e r y young man
e n t e r i n t o t h e f i r s t s t e p o f t h i s l a d d e r w h ic h p o i n t e d u p ­
w ard?
What i s t o k e e p t h e l i t t l e
i n d e p e n d e n t s a l s o from
h a v i n g a r i s t o c r a t i c n o t i o n s a s t o who owned t h e i r b u s i n e s s e s
and who r a n them?
Not b e i n g r e g u l a t e d , a s a r e p r e s e n t d a y c i v i l s e r v i c e
e x a m i n a t i o n s , t h e c o m p e t i t i o n f o r p l a c e s m u st h a v e f o l l o w e d
t h e l i n e o f p e r s o n a l r e l a t i o n s h i p s a n d c o n n e c t i o n s , w h ic h
w a s , t h e n , t h e s o c i a l c l a s s m e th o d .
No m a s t e r was f o r c e d
t o a c c e p t a p p r e n t i c e "A" o r "B" o r a n y o t h e r .
No a p p r e n t i c e
was s e n t , a f t e r a p h y s i c a l and p s y c h o l o g i c a l e x a m i n a t i o n ,
to M e is te r Sachs f o r p la c e m e n t.
own a p p r e n t i c e s .
The m a s t e r s s e l e c t e d t h e i r
F o r t h i s r e a s o n , i f f o r no o t h e r , t h e i d e a
o f an open s t r u g g l e a t t h a t t i m e ( s o m e th i n g on t h e o r d e r o f
t h e o p e n in g o f t h e C h ero k ee S t r i p ) , o r o f an o r d e r l y and
r e g u la te d s e l e c ti v e p ro c e s s , l i k e th e c i v i l
se rv ic e , is in ­
c o m p r e h e n s ib l e .
T h ere a r e o n l y tw o ways i n w h ic h c o m p e ti t io n can i n
a n y s e n s e be open an d f a i r :
e i t h e r b y b e i n g c o n t r o l l e d fro m
a b o v e, a s in a t r a c k m e e t, o r b y b e in g a f r e e - f o r - a l l
sc ram b le.
I n t h e l a t t e r c a s e " c h a n c e " p l a y s a p a r t , b y w h ic h
i s m ean t t h a t t h e f a c t o r s o f c a u s a t i o n r e m a in c o n c e a l e d , a s
F a ir c h ild h as l o g i c a l l y d e m o n s tra te d .
T he " s t r u g g l e "
to
becom e a n a p p r e n t i c e was n e i t h e r a s t r u g g l e n o r f a i r c o m p e ti ­
tio n .
I t was a s m o o th ly r e g u l a t e d s e r i e s o f p e r s o n a l
r e l a t i o n s h i p s , c o n t r o l l e d b y t h e c u s to m s o f s o c i a l c l a s s
se le c tio n .
T h i s l a t t e r a s p e c t i s e m p h a s iz e d b y G e i g e r , who say s
t h a t t h e ’’s t r o n g l y e x c l u s i v e c h a r a c t e r o f t h e m e d i e v a l g i l d s
was b a s e d n o t so much upon t h e i r n a t u r e a s p r o d u c t i v e
g r o u p s ( S c h a f f e n s g r u p p e n ) a s upon t h e c a s t e s p i r i t w h ich
28
c h a r a c te r iz e d th e s o c i a l l i f e
o f t h e M id d le Ages a l t o g e t h e r . ”
A s h l e y , whose tw o -v o lu m e s t u d y i n c l u d e s one o f t h e
m o st s c h o l a r l y o f a l l w r i t t e n r e c o r d s a b o u t t h e d e v e lo p m e n t
o f t h e g i l d s , s a y s t h a t t h e t h i r t e e n t h c e n t u r y m arked t h e
29
r i s e o f th e c r a f t g i l d s .
B u t b y 1321 t h e London w e a v e r s
w ere a l r e a d y a c c u s e d o f m i s u s i n g t h e power t o demand h e a v y
e n t r a n c e f e e s , t h e r e b y u n d u l y l i m i t i n g t h e num ber o f l i c e n s e d
w orkm en.
A s h le y shows t h a t " b e f o r e t h e m id d le o f t h e f o u r t e e n t h
c e n tu r y , t h e r e a re u n m ista k a b le t r a c e s o f th e d e s i r e t o l i m i t
30
c o m p e t i t i o n b y d i m i n i s h i n g t h e i n f l u x o f n e w c o m e rs ."
From t h e f o r e g o i n g i t can b e j u d g e d (1 ) t h a t n o t many
p e r s o n s l i v e d i n t h e to w n s a n d w e re t h e r e f o r e f r e e and a b l e
t o s e t t h e m s e lv e s up i n a c r a f t b u s i n e s s i n t h e t h i r t e e n t h
c e n tu ry ;
(2) t h a t b e f o r e t h e r e c o u l d p o s s i b l y h a v e b e e n a n y
c o n s i d e r a b l e i n c r e a s e i n t h e num ber o f a r t i s a n s , t h e g i l d s
h a d becom e b u l w a r k s o f p r o t e c t i o n f o r i n s i d e r s .
T h is l a t t e r
t e n d e n c y e v i d e n c e d i t s e l f more r a p i d l y i n some p l a c e s t h a n
i n o t h e r s , b u t e v e ry w h e r e ( i n t h e Low C o u n t r i e s , c e r t a i n l y
28 T h e o d o r G e i g e r , D ie G e s t a l t u n g d e r G e s e l l u n g ( K a r l s r u h e ,
1928) p • 67; t r a n s l a t i o n o u r s •
29 A s h l e y , o p . c i t . , p . 7 6 .
3° I b i d . , P a rt I I , p p . 75-76.
i n s o u t h e r n E u ro p e c e n t u r i e s e a r l i e r , and i n E n g la n d ) a s so o n
a s a c r a f t becam e a t h i n g o f power an d p r o s p e r i t y ,
("at i t s
h e i g h t " ) i t was o r g a n i z e d b y e x c l u s i v e g r o u p s o r c l i q u e s .
I n 1364 w e a l t h y t r a d e r s , l i k e t h e d r a p e r s , o b t a i n e d
l e t t e r s p a t e n t "w h ic h d i r e c t l y o r d a i n e d t h a t ’ no one s h o u l d
u s e t h a t m i s t e r y u n l e s s h e h a d b e e n a d m i t t e d b y t h e common
31
a s s e n t o f t h e same m i s t e r y . 1"
By 1450 a l l p r e t e n s e a t
open o p p o r t u n i t y i n t h e E n g l i s h g i l d s was a b a n d o n e d an d t h e
c r a f t s c a n d i d l y s o u g h t p r o t e c t i o n fro m t h e c o m p e t i t i o n o f
32
n e w c o m e rs .
The g r e a t e s t b a r r i e r t o t h e i n d i v i d u a l o u t s i d e t h e
" m a s t e r c l a s s " was t h e p e n a l t y im p o s e d upon t h e new com er,
w h e r e a s t h e f a m i l y o f t h e m a s t e r was exem p t from r e s t r i c t i v e
re g u la tio n s.
I n 1 3 9 8 , when no one c o u ld becom e a l e a t h e r -
s e l l e r who h a d n o t b e e n a p p r e n t i c e d i n t h e t r a d e , " t h e y s t i l l
35
e x c e p t e d fr o m t h i s r u l e a m a s t e r ’ s own w i f e and c h i l d r e n . "
P a r fro m b e i n g t h e open sesam e t o t h e o p p r e s s e d
f u g i t i v e fro m t h e m a n o r, t h e c r a f t s w ere s p e c i f i c a l l y b a r r e d
34
t o t h e p o o r . A s h le y r e p o r t s :
. . . t h e A c t o f 1406 — w h ic h was a v o w e d ly i n t e n d e d t o
l e s s e n t h e i n f l u x from a g r i c u l t u r a l l a b o u r t o i n d u s t r i a l
p u r s u i t s , — m e r e l y e n a c t s t h a t no p e r s o n s u n a b l e t o
spend tw e n ty s h i l l i n g s by t h e y e a r s h o u ld a p p r e n t i c e
th e ir c h ild re n .
The E l i z a b e t h a n S t a t u e o f A p p r e n t i c e s l i s t e d a num ber o f t h e
31 I b i d . . p p . 7 7 - 7 8 .
32 L o c . c i t .
33 lbld>. , p . 8 4 .
3 4 Ib id ., p . 85.
m ore common r a i s t e r i e s w h ic h w e re open o n l y t o a p p r e n t i c e s
whose f a t h e r s owned f r e e h o l d s w i t h c l e a r incom es o f f o r t y
s h i l l i n g s , e x c e p t w here t h e a p p r e n t i c e s were t h e so n s o f
35
a m a s te r.
S h o r t was t h e p e r i o d i n w h ic h a p p r e n t i c e became
jo u rn e y m a n a n d jo u rn ey m an m a s t e r , a s s c h o o l b o o k s r e l a t e
e v en ts*
By 1 3 8 1 , a l t h o u g h t h e jo u rn e y m e n w ere n o t "down­
tro d d e n o r v e ry h a r s h l y u s e d , b u t s t i l l /w e re 7 c o n scio u s
36
t h a t t h e y w ere n e v e r l i k e l y t o becom e m a s t e r s
I t i s t r u l y n a iv e to a t t a c h im p o rta n c e to th e n o tio n
t h a t when a s e r f f l e d t o a tow n h e n e e d e d t o s t a y b u t a y e a r
i n o r d e r t o becom e a f r e e m an, p r e s u m a b l y on h i s way t o b e ­
com ing a m a s t e r .
n o t an e a s y o n e .
The f a c t s r e a d d i f f e r e n t l y ; h i s p a t h was
37
One l e a r n s :
The i m p o r t a n t p r i v i l e g e , known a s t h e fre e d o m o f t h e
c i t y , was l a r g e l y r e s t r i c t e d t o c r a f t g i l d m em bers,
w h ic h made m e m b e rsh ip v e r y i m p o r t a n t . Anyone n o t
p o s s e s s i n g t h e fre e d o m o f t h e c i t y was l i a b l e t o b e im­
p r e s s e d i n t o t h e n a v y , th ro w n i n t o j a i l f o r t r i v i a l o f ­
f e n s e s , o r s u b j e c t e d t o o t h e r ln c w iv e n ie n c e s .
P ro o f o f th e e a r l y d i f f e r e n t i a t i o n of th e c r a f t s i n t o
" j u n i o r a r i s t o c r a c i e s " i n t h e Low C o u n t r i e s i s shown i n a
b i t o f h i s t o r y w h ic h p l a y e d i t s e l f o u t b e tw e e n t h e y e a r s 1302
38
a n d 1 328 :
35
36
37
38
I b i d . . p . 134.
I b i d .. p . 111.
IF c T c i t .
f t n i g h t , 0£ . c i t . , p . 2 3 0 •
Van A r t e v e l d e ' s new g o v e rn m e n t was b a s e d on t h r e e e c o ­
nom ic g r o u p s : (1 ) t h e "O ld C i t i z e n s ” - - i n c l u d i n g b o t h
t h e r i c h g ild s m e n and o t h e r o l d f a m i l i e s ; (2 ) t h e
w e a v e r s , a n e w ly o r g a n i z e d , p o w e r f u l m i d d l e i n d u s t r i a l
g r o u p ; and (3 ) t h e l e s s e r g i l d s . T h i s s t r o n g l y s u g g e s t s
th e s o c i a l s t r a t i f i c a t i o n o f th e I t a l i a n to w n s.
I f s t r a t i f i c a t i o n was p y r a m id e d a t t h i s e a r l y d a t e , when was
t h e s y s te m “ o p e n ” ?
When t h e a s s e r t i o n i s made t h a t " w e a l t h
was b e g i n n i n g t o b e
th e
c rite rio n
o f a m an’ s s o c i a l p o s i t i o n ,
39
a l t h o u g h much d e f e r e n c e was s t i l l p a i d t o b i r t h . . . y
one i s c o n s t r a i n e d t o p r o t e s t t h a t b i r t h was a d e c i s i v e
f a c t o r i n t h e b u s i n e s s w o r l d , a l m o s t a s d e c i s i v e a s i t was
in a g r ic u ltu r e a t t h a t tim e .
The d e o l l n e o f t h e c r a f t g i l d s .
The r u i n o f t h e c r a f t
g i l d s was a c a s e o f g r a d u a l s u b s t i t u t i o n .
The r i c h t r a d e r s ,
a s w h o l e s a l e r s , I n t r o d u c e d t h e d o m e s t i c s y s te m a g a i n s t t h e
p r o t e s t s o f t h e m a s t e r s and t o t h e i r b i t t e r m i s f o r t u n e .
T h is e x p l a n a t i o n o f e v e n t s w i l l be t a k e n u p a t t h e end o f
t h e s e c t i o n t o f o l l o w , t h e p a r t d e a l i n g w i t h t h e g r o w th o f
c a p ita lis m .
H ere i t s h o u l d b e s t a t e d , h o w e v e r , t h a t t h e
c r a f t m a s t e r s d i d n o t , a s a r u l e , grow r i c h e r , m ore n u m e ro u s ,
m ore p o w e r f u l , and d i d n o t u s h e r i n t h e e r a o f f a c t o r y p r o ­
d u c tio n .
I n s t e a d , t h e y w ere l e f t b e h i n d ,
c l i n g i n g t o o ld
r e g u l a t i o n s an d m o n o p o lie s no l o n g e r e f f e c t i v e .
The power
and i n f l u e n c e o f t h e m e r c h a n t s o u t s t r i p p e d t h e c r a f t s m e n .
39 A. Abram, E n g l i s h L i f e a n d M an n ers i n t h e L a t e r M id d le
Ages (iLondon, 1 9 l 3 ) p . 77
"T he s m a l l m a s t e r s s o u g h t t o s a v e t h e m s e l v e s fro m h o p e l e s s
d e p e n d e n c e upon t h e t r a d e r s o r t h e i n d u s t r i a l e n t r e p r e n e u r s
. .
T hey e v e n w e n t t o t h e e x t e n t o f e n l i s t i n g p o w e r f u l p e r s o n s a t
C o u r t t o a i d them i n t h e i r f i g h t a g a i n s t t h e w h o l e s a l e h a n d i 40
c r a f t s y s te m * "
C h a r l e s I i s s a i d t o h a v e t a k e n u p arms i n
t h e i r b e h a l f ; h e l o s t h i s h e a d ; t h e y l o s t t h e i r m o n o p o ly .
The p u t t i n g - o u t s y s te m h a d e n g u l f e d th e m ; t h e i n d u s t r i a l
s y s te m made r e p a i r m e n o f th em , i n so f a r a s t h e y r e m a in e d i n ­
d e p e n d e n t.
One t h i n k s o f s h o e m a k e r s , t a i l o r s , and f u r r i e r s .
T h is i s a n o th e r i n s t a n c e o f m id d le c l a s s e le m e n ts b e in g o u t ­
w i t t e d b y t h o s e a b o v e th e m .
The d e v e lo p m e n t o f e a r l y c a p i t a l i s m .
The s o c i a l c l a s s
a s p e c t s o f e a r l y c o m m e rc ia l e n t e r p r i s e r e v e a l t h a t t h e r e
had b e en a c e r t a i n d e f i n i t e c o n t i n u i t y in l i n e a g e .
W hoever
r e f e r s t o t h e r i c h a n d p o w e r f u l b u s i n e s s men o f t h e e i g h t e e n t h
c e n t u r y i n E u r o p e , known a s t h e u p p e r b o u r g e o i s i e o r
c a p i t a l i s t s , a s u p s t a r t s and a s men r i s e n fro m t h e r a n k s o r
a s p e rs o n s w ith o u t fa m ily b a ck g ro u n d , sh o u ld be p e rsu ad e d
t o r e - s t a t e h i s g e n e r a l i z a t i o n s i n t h e l i g h t o f t h e d o c u m e n te d
h i s t o r y o f commerce and b u s i n e s s .
But b e fo r e th e b u s in e s s c la s s e s of th e e ig h te e n th
c e n t u r y c an b e d e s c r i b e d , i t i s n e c e s s a r y t h a t t h e g e n e r a l
40 N . S .B . G r a s , I n d u s t r i a l E v o l u t i o n ( C a m b rid g e , M a s s . , 1930)
p p . 57-58.
eco n o m ic t r e n d b e t r a c e d fro m a n c i e n t t im e s a n d t h a t w h a t ­
ever f a c t s about th e s o c ia l c la s s e s ,
s o c i a l s t a t u s , and
s o c i a l m o b ility o r s o c i a l c la s s s t a b i l i t y a re a v a i la b l e be
o u tlin e d .
I t h a s a lr e a d y been i n d ic a te d
a c t i v i t y th r iv e d e a r ly in I t a l y ,
(1 ) t h a t b u s i n e s s
(2 ) t h a t t h e b u s i n e s s
l e a d e r s t h e r e c o n s t i t u t e d an a r i s t o c r a t i c
c la ss ,
(3 ) t h a t
b u s i n e s s e n t e r p r i s e was i n t r o d u c e d i n t o n o r t h e r n E u ro p e
b y p e r s o n s who knew i t a s a h e r e d i t a r y o c c u p a t i o n .
It re­
m a in s t o b e shown (1 ) t h a t t h e c o m m e rc ia l a r i s t o c r a c i e s ,
t h e m e r c h a n t g i l d s , w e re n o t g r e a t l y s u b j e c t t o i n f l u x from
t h e o u t s i d e , an d (2 ) t h a t t h e y becam e t h e p r e c u r s o r s o f t h e
m odern b u s i n e s s c l a s s e s .
T hat i s to s a y , th e b o u r g e o is ie
w h ic h s u p e r s e d e d t h e n o b i l i t y , i n p a r t , i n w e s t e r n E u ro p e
was composed o f f a m i l i e s o f l o n g e x p e r i e n c e and h o n o r e d
a n c e s t r y a t t h e t i m e o f t h e i n t r o d u c t i o n o f m odern l a r g e
sc a le c a p i t a l i s t e n te rp ris e *
T h ro u g h o u t t h e p e r i o d tin d e r
r e v i e w , a n y e v i d e n c e o f e s t a b l i s h e d c o m m e rc ia l a r i s t o c r a c i e s
w i l l go t o s u b s t a n t i a t e t h e t h e o r y o f s o c i a l c l a s s s t a b i l i t y ,
c o n t i n u i t y , and r i g i d i t y .
C a p i t a l i s m , m e a n in g a s t o r e o f w e a l t h " w h ic h can b e
d i r e c t e d i n t o new a n d m ore p r o f i t a b l e c h a n n e l s a s o c c a s i o n
41
a ris e s ,"
was b e g i n n i n g t o em erge a t R avenn a a s e a r l y a s
42
th e f i f t h c e n tu ry .
The b u s i n e s s men o f t h e I t a l i a n and
41 A s h l e y , 0£ . c i t . , P a r t I , p . 4 3 .
42 H.M. R o b e r t s o n , A s p e c t s o f t h e R i s e o f Econtxnlo I n d i v i d u a l ­
i s m , A C r i t i c i s m o f S a x Weber andHHis S c h o o l (C a m b rid g e .
1933 ) " p . 3 6 .
H ansa t o w n s , an d t h e i n t e r - l i n k i n g c i t i e s o f F r a n k f u r t an d
43
S t r a s s b o u r g , a r e r e f e r r e d t o a s ’’c a p i t a l i s t m e r c h a n t s . ”
’’The c a p i t a l f u n d was f i r s t n u r t u r e d b y t h e H a n s a r d s and
44
45
I t a l i a n m e rc h a n ts.”
K n ig h t, e t a l . , s t a t e e x p l i c i t l y :
W ith t h e r i s e o f n a t i o n a l s t a t e s , t h e f i n a n c i a l c a p i t a l i s m
w h ic h h a d grown u p i n n o r t h e r n I t a l y b e g a n t o l o o k l e s s l i k e
t h a t o f t h e a n c i e n t w o r l d , a n d t o t a k e on an a s p e c t more
f a m ilia r to u s . . .
• T h i s w as n e a r l y two h u n d r e d y e a r s
b e f o r e t h e t i m e s c o n v e n t i o n a l l y s p o k e n o f a s " m o d e r n .”
A l r e a d y i t h a s b e e n shown t h a t t h e r e was a d e f i n i t e
t r a n s f e r e n c e o f b u s i n e s s acumen
fro m t h e Roman E m p ire t o
m e d i e v a l I t a l y a n d fro m m e d i e v a l I t a l y n o r t h w a r d .
no r e a s o n t o r e p e a t t h e d e t a i l s h e r e .
T here I s
The f o l l o w i n g may
46
s e r v e a s a ’’t r a n s f e r medium” f ro m I t a l y t o n o r t h e r n E u r o p e :
I n t n e e l e v e n t h a n d t w e l f t h c e n t u r i e s t h e c h i e f c o m m e rc ia l
c e n t e r was i n t h e c i t i e s o f I t a l y , whence t h e m e r c h a n t s
s e n t o u t t h e i r goods a n d t h e i r a g e n t s t o t h e tow ns and
m a r k e t s o f n o r t h e r n E u r o p e . . . . F o r two h u n d r e d y e a r s
t h e I t a l i a n m e r c h a n t s w e re t h e m a s t e r s o f E u ro p e a n com­
m erce.
I n n o r t h e r n E u r o p e commerce was h i g h l y o r g a n i z e d b y
t h e g i l d m e r c h a n t s , and ” t h e r e i s no m ore h o t l y c o n t r o v e r s i a l
s u b j e c t i n a l l h i s t o r y t h a n t h e e x a c t a n t e c e n d e n t s and
47
e a r l i e s t a c t i v i t i e s o f th e g i l d m e r c h a n t.”
P r e s u m a b ly
t h e y o r i g i n a t e d i n t h e Low C o u n t r i e s i n t h e n i n t h c e n t u r y ,
w here t h e m a r k e t was s e p a r a t e fro m t h e m i l i t a r y p o s t and
48
e p is c o p a l c i t y n e arb y .
43 I b i d . . p . 3 7 .
44 R u s s e l l A. D ixon a n d E . Kingman E b e r h a r t , E con om ics and
C u l t u r a l Change (New Y o r k , 1 9 3 8 ) p . 3 5 4 .
45 M e lv in k. k n i g h t , e t a l . , E conom ic H i s t o r y o f E u ro p e I n
Modern Tim es ( B o s t o n , 1 9 2 8 ) p . 2 6 0 .
46 Dowd, 0£ . c i t . . p . 4 8 .
47 K n i g h t , 0£ . c i t . . p . 2 0 6 .
48 L o o , c i t .
S o c i a l c l a s s a s p e c t s o f c o m m e rc ia l e n t e r p r i s e .
So
f a r a s p r e s t i g e and s t a t u s a r e c o n c e r n e d , I t can b e s t a t e d
w i t h o u t f e a r o f c o n t r a d i c t i o n t h a t t h e m e r c h a n t s w e re b o t h
o f e a r l i e r o r i g i n and s t r o n g e r t h a n t h e c r a f t s m e n ;
th e y be­
came e a r l y a r i s t o c r a t i c ; t h e y w e re t h e e a r l y c a p i t a l i s t s —
a s w i l l b e shown*
I n E n g l a n d , i n t h e se c o n d h a l f o f t h e e l e v e n t h c e n ­
t u r y th e m erc h an t g i l d s began to a p p e a r; d u r in g th e t w e l f t h
c e n tu r y th e y a r o s e in a l l im p o rta n t E n g lis h to w n s.
"T he
r i s e of c r a f t g i ld s i s , ro u g h ly sp e a k in g , a c e n tu ry l a t e r .
.
R oyal c h a r t e r s a llo w e d m erch an t g i l d s th e p r i v i l e g e o f
m o n o p o l i z i n g t r a d e , an d ev en c h a r t e r s g r a n t i n g t o t h e m e r­
c h a n t s o f new tow ns f r e e t r a d e i n E n g la n d w ere i n s u f f i c i e n t
50
t o overcom e t h e o l d e r r u l e s .
In F ran ce th e c la s s l i n e s ,
c a r r y i n g o v e r fro m t h e
Roman p e r i o d , w e re m ore c l e a r l y d ra w n , o r a t l e a s t m ore
c l e a r l y v i s i b l e , i n th e e a r l y p e r i o d o f new m e r c a n t i l e
advance.
Van Dyke t r a c e s b o t h t h e econom ic and s o c i a l c l a s s
51
d e v e lo p m e n t s
In th e t w e l f t h c e n tu r y th e r e began to a p p e a r a t h i r d
c l a s s o r e s t a t e , t h e b u r g h e r s o f c i t y d w e l l e r s . As we
h a v e s e e n t h i s new o r t h i r d e s t a t e becam e v e r y e a r l y
d i v i d e d i n t o tw o s e c t i o n s , t h e p a t r i c i a n s o r h a u t e
b o u r g e o i s i e and t h e common u r b a n p e o p l e , o r p e t i t e
b o u r g e o i s i e . . . . These men o f t h e w e a l t h i e r b u r g h e r s
began t o e n t e r i n t o r o y a l , or p r i n c e l y , s e r v i c e and
fo u n d t h e r e g r e a t o p p o r t u n i t i e s f o r p r o f i t . T hey b o u g h t
49 A s h l e y , 0£ . c i t . , P a r t I , p . 7 6 .
50 I b i d . , P a r t I I , p . 4 4 .
51 P a u l Van D yke, The S t o r y o f F r a n c e (New Y o r k , 1 9 2 8 ) p . 223
l a n d and came I n t o s o c i a l r e l a t i o n w i t h t h e s m a l l e r n o b l e s
or c o u n try g e n tr y . . . . S o , by th e u n io n o f th e lo w er
n o b l e s and t h e h i g h e r b u r g h e r s t h e r e a r o s e a c l a s s I n t e r ­
m e d i a t e b e tw e e n t h e n o b i l i t y and t h e t h i r d e s t a t e o u t o f
w h ldh was t o come t h e n o b i l i t y o f t h e r o b e , a s d i s t i n g u i s h e d
fro m t h e n o b i l i t y o f t h e s w o r d .
The m o s t i m p r e s s i v e f a c t i n t h e f o r e g o i n g c i t a t i o n
is
t h e e a r l y d a t e a t w h ic h t h i s new b o u r g e o i s a r i s t o c r a c y was
fo rm ed .
The m e r c h a n t s , b a n k e r s , and soon t h e i n d u s t r i a l i s t s ,
g r a d u a l l y e s t a b l i s h e d t h e m s e l v e s i n " c h a t e a u x , ” became
a r i s t o c r a t s , r e a c h e d t h e i r b e jsw ele d h a n d s to w a rd t h e a g r i ­
c u l t u r a l n o b i l i t y - - who f e l t c o n s t r a i n e d t o s h a k e th e m .
T h is was one o f t h e g r e a t s o u r c e s o f s u p p l y f o r r e c r u i t m e n t
i n to th e F rench n o b i l i t y f o r c e n tu r ie s .
I t i s e rro n e o u s to
b e l i e v e t h a t t h e s e new n o b l e s w e r e , a s a r u l e , b o o r i s h
c l i m b e r s who f o r c e d t h e i r way i n t o t h e n o b i l i t y w i t h n e w ly
fo u n d g o l d .
T hey w ere t h e h a u t e b o u r g e o i s i e who had s e p a r a t e d
v e r y e a r l y fro m t h e common u r b a n p e o p l e .
The e a r l y d a t e a t w h ic h p r o p e r t i e d g r o u p s a ssu m e d
d o m in a n t p o s i t i o n s
( i n d i c a t i n g an e a r l y s e p a r a t i o n o f t h e
b u s i n e s s g r o u p s i n t o u p p e r an d m id d le c l a s s e s ) i n t h e Low
52
C ouxiries i s shown I n t h e f o l l o w i n g :
At Y p r e s , fro m t h e t h i r t e e n t h c e n t u r y , one h u n d r e d a n d
f o r t y d r a p e r s ( w h o l e s a l e d e a l e r s I n w o o le n s ) c e n t r a l i z e d
t h e c o n t r o l o f t h e w o o le n I n d u s t r y , T hey c o n t r o l l e d t h e
o u t p u t o f t h e s m a l l e r s h o p s an d s e t u p s o m e th in g l i k e
t h e d o m e s t i c o r p u t t i n g - o u t s y s te m w h ich becam e g e n e r a l
o n l y I n m odern t i m e s .
52 K n i g h t , o p . c i t . ( 9 ) , p p . 2 2 0 - 2 2 1 .
The e a r l y pow er o f t h e m e r c h a n t s i n E n g la n d , i n d i ­
c a t i n g t h e l o n g e v o l u t i o n a r y d e v e lo p m e n t o f t h e b u s i n e s s
c l a s s e s , i s shown i n a q u o t a t i o n fro m Law, o u t o f h e r b o o k ,
The E n g l i s h N ouveaux R i c h e s i n t h e F o u r t e e n t h C e n t u r y .
53
read s:
It
How d i d t h e i n s i g n i f i c a n t p e d d l i n g E n g l i s h t r a d e r s o f
th e e l e v e n t h , t w e l f t h , and e a r l y t h i r t e e n t h c e n t u r i e s so
su d d en ly d e v e lo p i n t o th e im p o r ta n t p o l i t i c a l p lu to c r a c y
o f t h e f o u r t e e n t h , a p l u t o c r a c y so p o w e r f u l t h a t a t one
tim e i t t h r e a t e n e d t o f u r n i s h t h e E n g l i s h c o n s t i t u t i o n
w ith a f o u r t h e s t a t e , th e m erc h an ts?
How can f a m i l i e s o f t h r e e h u n d r e d y e a r s ' c o m m erc ial s t a n d i n g
and i n c r e a s e d p r o s p e r i t y b e c a l l e d n e w ly r i c h an d p l u t o c r a t i c
And why t h e d e s i g n a t i o n " i n s i g n i f i c a n t p e d d l i n g t r a d e r s ”
A s h le y h a s g on e i n t o d e t a i l t o show t h a t t h e f i r s t m e r c h a n t s
i n E n g la n d w e re p e r s o n s who " h e l d l a n d w i t h i n t h e town
b o u n d a rie s
• . . b u r g e s s e s o r c i t i z e n s p a r e x c e l l e n c e , who
54
a l o n e w ere f u l l y q u a l i f i e d members o f t h e town a s s e m b ly ."
The h e a r t o f t h e m a t t e r o f t h e s o c i a l c l a s s a s p e c t s
o f t h e e a r l y c o m m e r c ia l d e v e lo p m e n t i s sum m arized and s u c 55
c in c tly s t a t e d in th e fo llo v /in g :
S o c i a l c l a s s e s , p r o p e r l y s p e a k i n g , m ust b e fo u n d e d a t
l e a s t p a r t i a l l y upo n t h e p r i n c i p l e of h e r e d i t y * The
o l d m e r c h a n t g i l d s m e n h a d a l r e a d y become a n a rro w
h e r e d i t a r y a r i s t o c r a c y . A so n i n h e r i t e d h i s f a t h e r ' s
s o c i a l p o s i t i o n w ith h i s w e a lth , j u s t as c o u n try
a r i s t o c r a t i c f a m i l i e s h a n d e d down t h e i r s o c i a l c l a s s
w i t h t h e i r l a n d s . When l a r g e a m ou nts o f c a p i t a l b e g an
o v e r f l o w i n g i n t o i n d u s t r y , a new i n d u s t r i a l a r i s t o c r a c y
grew u p . . .
. T h is had b een t r u e o f th e e x p o rtin g i n ­
d u s t r i e s a l m o s t fro m t h e b e g i n n i n g , a n d was m e r e ly
e x te n d e d a s t r a d e I n c r e a s e d .
53 Q uo ted i n R .H . G r e t t o n , The E n g l i s h M id d le G la s s (L ondon.
19 17) p . 4 3 .
54 A s h l e y , ojc. c i t . , P a r t I , p . 7 3 .
55 K n i g h t , 0£ . c i t . ( 9 ) , p . 2 2 5 .
The f o r e g o i n g summary r e v e a l s a c l e a r u n d e r s t a n d i n g
o f s o c i a l c l a s s e s a n d t h e m ec h an ism s o f s o c i a l c l a s s f o r m a ­
t i o n and m a i n t e n a n c e .
T h e r e i s no l o o s e t a l k h e r e a b o u t
’' u p s t a r t " b u s i n e s s m en, o r n o u v e a u x r i c h e s , o r o f p e r s o n s
w i t h o u t f a m i l y l i n e s an d f a m i l y b a c k g r o u n d s .
When, l a t e r ,
i t i s se e n t h a t m e r c h a n t s s e n t p r o u d so n s t o A m erica who
p u t on a i r s and w ore c o a t s - o f - a r m s , one m ust n o t im a g in e
t h a t t h e y w e re i m p o s t e r s .
B e h in d many a d r a p e r f a m i l y
w ere g e n e r a t i o n s o f s t a n d i n g a n d p r e s t i g e
( i f n o t g e n u in e ly
n o b l e b a c k g r o u n d s , tin d e r t h e p r i n c i p l e o f " e x t r a " s o n s ) .
F a h l b e c k p l a c e s t h e m e r c h a n t s o f t h e to w n s ab o v e
t h e m a s t e r c r a f t s m e n and d i v i d e s them i n t o t h e r e t a i l e r s
and w h o l e s a l e r s .
"O u t o f t h e l a t t e r t h e r e g r e w , f i n a l l y ,
an a r i s t o c r a c y b a s e d on w e a l t h , w h ic h g r a d u a l l y becam e a
r e a l n o b i l i t y , c i t y n o b i l i t y and p a t r i c i a n f a m i l y l i n e s .
. .
.
The e x t e n t t o w h ic h t h e o l d n o b l e a r i s t o c r a c y to o k
p a r t i n t h e new b u s i n e s s v e n t u r e s i n n o r t h e r n E u ro p e h a s n o t
been m en tio n ed .
Of t h i s much was s e e n , a s t im e w ent o n .
th e e x te n t t h a t i t to o k p l a c e ,
f o r t h e lo w e r c l a s s e s
as la b o re rs .
To
t h e r e was ev en l e s s o p p o r t u n i t y
t o s h a r e i n t h e new e n t e r p r i s e s e x c e p t
" . . .
t h e jo u rn e y m a n g e n e r a l l y r e m a in e d i n a
57
lo w e r c l a s s o f p e r m a n e n t w a g e - l a b o r e r s . "
In b o th I t a l y
a n d t h e Low C o u n t r i e s t h e n o b l e s h a d l i v e d i n t h e tow ns
and b e e n v e r y a c t i v e i n t r a d i n g v e n t u r e s .
To th em b u s i n e s s
56 P o n tu s E . P a h l b e c k , D ie K l a s s e n un d d i e G e s e l l s c h a f t
(J e n a , 1922) p . 167; t r a n s l a t i o n o u rs .
57 K n i g h t , o £ . c i t . ( 9 ) , p . 2 2 6 .
was n o t a s t r a n g e t h i n g .
Nor w i l l i t seem s t r a n g e t o f i n d
many no b lem en among t h e c o m m e rc ia l a d v e n t u r e r s o f t h e
E liz a b e th a n and l a t e r r e i g n s .
The l a b o r i n g c l a s s e s .
As e a r l y a s t h e m id d l e o f t h e
58
f o u r t e e n t h c e n t u r y a ’’l a b o u r c l a s s ” came i n t o e x i s t e n c e .
The r e a s o n s g i v e n f o r t h i s a r e
(1 ) i n c r e a s e i n t h e p o p u l a t i o n ,
( 2 ) a l a r g e r an d m ore anonymous m a r k e t ,
from r u r a l d i s t r i c t s
(3 ) i n f l u x o f l a b o r
w h ic h f o l l o w e d t h e g r a d u a l r e l a x a t i o n
o f t h e b o n d s o f s e r f d o m , and ’’f i n a l l y ,
th e sh e e r s e l f i s h ­
n e s s o f t h e m a s t e r s i n l i m i t i n g t h e i r own n u m b e rs .
B u t w h a t­
e v e r may b e t h e c a u s e , o f t h e f a c t i t s e l f t h e r e can b e no
59
m an ner o f d o u b t . "
Wage w o r k e r s
(an d i n d u s t r i a l i s t s )
were known i n p a r t s
o f P rance hun dreds o f y e a rs b e fo r e th e e s ta b lis h m e n t o f th e
f a c t o r y sy s te m .
The v a l l e y s o f t h e Meuse and t h e Sam bre
and t h e p r o v i n c e s o f F l a n d e r s and B r a b a n t w ere a c t i v e i n
60
m a n u f a c t u r e an d e x p o r t . K n ig h t r e p o r t s :
I n t h e s e e x p o r t t r a d e s , t h e d i s t i n c t i o n b e tw e e n em­
p l o y e r an d l a b o r e r was s h a r p . . . t h e a c t u a l w o r k e r s
w ere d a y l a b o r e r s, o f t e n ow ning n o t h i n g b u t t h e c l o t h e s
t h e y w o r e . T hey l i v e d i n h o v e l s h i r e d b y t h e w e ek , and
s t a r v e d , b e g g e d o r w a n d e re d a b o u t i n s e a r c h o f w ork
w h e n e v e r c r i s e s o r p e r s o n a l m i s f o r t u n e s d e p r i v e d them
o f t h e i r w a g e s . T h e i r d a i l y g r i n d s t a r t e d and s t o p p e d
a t t h e s o u n d i n g o f a b e l l ; t h e y drew t h e i r p a y S a t u r d a y
n i g h t s , a n d w e re h e l d i n c o n te m p t a s " b l u e n a i l s " b y t h e
m ore f o r t u n a t e c l a s s e s . . . . The one c h a r a c t e r i s t i c o f
t h e e a r l y n i n e t e e n t h - c e n t u r y f a c t o r y s y s te m a t I t s w o r s t
w h ic h was w a n t i n g I n t h e Low C o u n t r i e s a t t h e c l o s e o f
t h e m i d d l e a g e s was t h e c o n c e n t r a t i o n i n l a r g e s h o p s .
58 A s h l e y , o p . c l t . . P a r t I I , p p . 1 0 1 - 1 0 2 .
59 L o c . c l t .
60 K n i g h t , o p . c l t . ( 9 ) p . 2 3 1 .
G o n n a rd , s u r v e y i n g t h e s e t r e n d s , s a y s t h a t a s " e a r l y
a s t h e s i x t e e n t h c e n t u r y • • . a new a r i s t o c r a c y a r i s e s , an
a r i s t o c r a c y o f t h e m e r c h a n t s , i n d u s t r i a l i s t s , and b a n k e r s .
61
B e n e a t h th e m , t h e w o r k in g c l a s s . . .
L a t e r , t h e r e was i n t r o d u c e d t h e famous d o m e s t i c o r
p u t t i n g - o u t s y s te m w h i c h , a l o n g w i t h t h e s t i l l l a t e r i n t r o ­
d u c t i o n o f t h e f a c t o r y m e th o d , was a p o w e r f u l b lo w i n t h e
face of la b o r.
T h ro u g h t h e s e new t e c h n i c a l a r r a n g e m e n t s
t h e w o r k e r was n o t o n l y p r e v e n t e d fro m r i s i n g , a c o n d i t i o n
t o w h ic h h e was r e l a t i v e l y w e l l a d j u s t e d , b u t h e was made
i n s e c u r e , o f t e n u p r o o t e d , an d u t t e r l y n e g l e c t e d .
To i m a g i n e
t h a t t h e s e v e n t e e n t h an d e i g h t e e n t h c e n t u r i e s w e re e r a s o f
o p p o r tu n ity f o r t h e w orkers i s
to be in d o u b le e r r o r .
It
i s t o I n t e r c h a n g e t h e m inus a n d t h e p l u s s i g n s .
C o n c e r n in g t h i s p e r i o d when t h e m id d l e and u p p e r
m i d d l e c l a s s e s w ere b e c o m in g r a p i d l y w e a l t h i e r , S o r o k i n
q u o t e s t h e old notion t h a t " t h e p a t h b y w h ic h t h e y r o s e t o
e m in e n c e was open t o a n y man i n t h e k in g d o m ," w h ic h h a s a
h o l l o w r i n g , when one s e e s w h a t was a c t u a l l y h a p p e n i n g t o
th e m asses o f h u m an ity d u r in g t h i s p e r i o d .
In c o n t r a s t t o
S o r o k i n ' s o b l i q u e r e f e r e n c e t o g r e a t s o c i a l m o b i l i t y , Carman
62
sta te s :
61 R e n d G o n n a r d , " Q u e lq u e s c o n s i d e r a t i o n s s u r l e s c l a s s e s , "
i n t h e Revue E conom lque I n t e r n a t i o n a l e . 1 7 t h y e a r ,
v o l . I I , N o. 1 , A p r i l l o , 1 9 2 5 , p . 8 0 ; t r a n s l a t i o n
o u rs.
62 H a r r y J . C arm an, S o c i a l and Econom ic H i s t o r y o f t h e U n i t e d
S t a t e s , v o l . i ( B o s t o n , 1 930) p . 8 5 .
We h a v e a l r e a d y n o t e d t h a t t h e E n g l i s h w orkingm an d i d
n o t s h a r e t h e h a rd - w o n v i c t o r i e s g a i n e d b y t h e E n g l i s h
m id d l e c l a s s d u r i n g t h e s e v e n t e e n t h c e n t u r y . H is s t a t u s
r e m a in e d u n a l t e r e d o r b e c a u s e o f c h a n g i n g e co n o m ic c o n ­
d i t i o n s beoam e e v e n w o rs e . . . and h i s c h i l d r e n a t an
e a r l y a g e w ere f o r c e d t o t o i l t h a t t h e y m ig h t c o n t r i b u t e
t h e i r b i t t o t h e m e a g e r s u p p o r t o f t h e h o u s e h o l d . He
was a lw a y s f a c e t o f a c e w i t h s t a r v a t i o n and b e g g a r y ,
and s t r u g g l e and e c o n o m iz e a s h e m ig h t h e was u n a b l e t o
sa v e a n y t h i n g f o r s i c k n e s s o r o l d a g e .
The a r t i s a n s o f t h i s p e r i o d , d e s c e n d a n t fro m t h o s e
who h a d l o n g p r a c t i s e d t h e a n c i e n t c r a f t s , w ere n o t g e n e r a l l y
s h a r in g i n t h e o p p o r t u n i t i e s o f f e r e d b y th e a g e ; th e y w ere,
63
i n f a c t , s l i p p i n g . S^e s t a t e s :
We f i n d a s m a l l m i n o r i t y o f a r t i s a n s t e n d i n g t o r i s e
a b o v e t h e i r c l a s s , b u t t h e g r e a t m a j o r i t y w e re l o s i n g
t h e i r i n d e p e n d e n c e m ore and m ore . . . . T hu s an
a r i s t o c r a c y o f m e r c h a n t s h e l d t h e p r o l e t a r i a n workmen
u n d e r t h e i r th u m b . T h i s was t h e r e s u l t o f an u n f o r t u n a t e
d e v e l o p m e n t . The m e r c h a n t s , who o f t e n h a d c o n s i d e r a b l e
c a p i t a l a t t h e i r d i s p o s a l , r e a c h e d a p o i n t w h e re t h e y
d i c t a t e d t o t h e w orkm en, who h a d n o r e a d y c a s h .
. . . The a b b o t B e r t h o l o n d e c l a r e d : n I n v a r i a b l y t h e
m a s te r-w o rk m a n r i s e s b e f o r e dawn and c o n t i n u e s h i s w ork
u n t i l w e ll i n t o th e n i g h t , in o r d e r b y lo n g h o u rs t o
make up t h e i n a d e q u a t e c o m p e n s a t i o n . ”
The same a u t h o r , an o u t s t a n d i n g a u t h o r i t y on t h e e i g h t e e n t h
c e n tu r y , s t a t e s a l s o t h a t , in P ra n c e , ” in th e e ig h t e e n t h
c e n tu ry . . .
i t was i m p o s s i b l e f o r t h e m a j o r i t y o f jo u r n e y m e n
to r i s e above t h e i r s t a t i o n
. . .
64
t h e y w ere doomed t o r e m a in
jo u rn e y m e n a l l t h e i r l i v e s . "
63 H e n r i S e e , The E conom ic and S o c i a l C o n d i t i o n s i n F r a n c e
i n t h e E i g h t e e n t h C e n tu r y (Hew Y o r k , 1 931 ) p p . 1 7 7 178; i t a l i c s o u rs •
64 L o c * c l t .
The b o u r g e o i s c l a s s e s .
D u r in g t h e s i x t e e n t h and
s e v e n te e n th o e n tu r ie s b u s in e s s a c t i v i t y , s tim u la te d by con­
q u e s t an d s p e c u l a t i o n , i n c r e a s e d I n q u a n t i t y and i n t e n s i t y .
Who w e re t h e s e c o m m e rc ia l men who l e d t h e m oney-m akin g
65
c l i q u e s ? D ixon a n d E b e r h a r t a s s e r t :
The r a n k s o f t h e b o u r g e o i s i e w ere f e d from tw o s o u r c e s .
The a b l e r n o b i l i t y a d o p te d t h e new b u s i n e s s t e c h n i q u e s
and becam e f u n c t i o n i n g members o f t h e new c l a s s w h i l e
t h e i r l e s s a m e n a b le b r o t h e r s s a n k i n t o b a n k r u p t c y o r b e ­
came members o f t h e p r o l e t a r i a t . B u t b y f a r t h e l a r g e r
num ber o f r e c r u i t s came fro m b e lo w r a t h e r t h a n a b o v e . As
t r a d e grew and m a r k e t o p p o r t u n i t i e s i n c r e a s e d , t h o u s a n d s
o f w a g e - p a i d e m p lo y e e s a c q u i r e d t h e b a s i s o f b o u r g e o i s
pow er by m eans o f t h r i f t a n d s a v i n g .
D ixon an d E b e r h a r t o v e r l o o k , h e r e , t h e o l d a n d w e l l e s t a b l i s h e d c o m m e r c ia l a r i s t o c r a c i e s d e s c r i b e d a b o v e .
F u r t h e r m o r e , t h e t h o u g h t t h a t l a r g e n um bers o f t h e n o b i l i t y
"becam e members o f t h e p r o l e t a r i a t " i g n o r e s t h e f a c t t h a t
n o b le m e n h a d t o o much e d u c a t i o n a n d p o l i s h , t o o many c o n ­
n e c t i o n s , t o o many c h a n c e s t o " m a r r y w e a lth ) ’ t o a l l o w them ­
s e lv e s to drop i n t o th e la b o r in g m asses.
Even t h e l a n d e d
a r i s t o c r a t s i n F r a n c e who r e m a in e d i n a g r i c u l t u r e a n d b e ­
came s l o w l y i m p o v e r i s h e d w ere s t i l l n o b le m e n .
The o t h e r t h o u g h t t h a t t h o u s a n d s o f w a g e - p a id em­
p l o y e e s s a v e d t h e i r p e n n i e s and " a c q u i r e d t h e b a s i s o f
b o u r g e o i s power." — a s t h e g r e a t e r s o u r c e o f r e c r u i t s f o r
t h e c a p i t a l i s t c l a s s e s — i s a common o n e , t y p i c a l o f t h e
p r o p a g a n d a t h a t tin d e r c a p i t a l i s m t h e r e i s o p p o r t u n i t y f o r
a ll.
I n a l l t h i s , w h e re w e re t h e o l d m a s t e r s ?
65 D ix o n a n d E b e r h a r t , £ £ . c i t . , p . 3 3 0 .
T hey w e r e ,
a s h a s b e e n show n, u n a b l e t o p r o t e c t t h e m s e l v e s a f t e r t h e
d o m e s t i c s y s t e m g o t t i n d e r w ay.
How t h e n , a r e t h e w a g e - p a id
e m p l o y e e s , l i v i n g i n i n s e c u r i t y a s h a s b e e n show n, t o " a c ­
q u i r e t h e b a s i s o f b o u r g e o i s p o w e r"?
Is th is n o t a n o th e r
sch o o lb o o k " f i c t i o n ?
K im b a ll
S i m i l a r l y , / Y o u n g 1s a s s e r t i o n , t h a t "an e n t e r p r i s i n g
a r t i s a n o r m a s t e r workman m ig h t b y i n c r e a s i n g h i s b u s i n e s s
g ra d u a lly r i s e
t o w e a l t h a n d s h i f t from lo w e r t o h i g h s o c i a l
s ta tu s ," f a ils
t o t a k e n o t e o f t h e w e ll-k n o w n f a c t s
no a r t i s a n
(1 ) t h a t
c o u ld e n g a g e i n i n d e p e n d e n t e n t e r p r i s e u n l e s s h e
w ere a m a s t e r , and (2 ) t h a t n o one m a s t e r i n t h e g i l d c o u l d
i n c r e a s e h i s b u s i n e s s g r a d u a l l y o v e r o t h e r s i n t h e same g i l d .
Who, t h e n , w e re t h e f o r e b e a r s o f t h e e i g h t e e n t h c e n ­
tu ry c a p i t a l i s t s ?
C e r t a i n l y many w ere noblem en o r d e s c e n d a n t s
o f t h e n o b i l i t y a n d g e n t r y , f o r commerce was t h e n a t u r a l
f i e l d o f endeavor f o r fo u r th so n s.
And, f o l l o w i n g Sie,
C arm an, K n i g h t , A s h l e y , a n d o t h e r s , t h e r e was much e v i d e n c e
of s o c ia l c la ss c o n tin u ity .
c o m m e r c ia l a r i s t o c r a c i e s .
B u s i n e s s men d e s c e n d e d fro m
( I n v iew o f t h e n e e d o f t h e wage
w o r k e r s t o e x p l o i t t h e i r c h i l d r e n i n o r d e r t o m ee t t h e e x ­
penses of liv in g , th ere is l i t t l e
room f o r b e l i e f i n t h e
t h e o r y t h a t many o f t h e b o u r g e o i s i e w e re r e c r u i t e d fro m t h e
l o w e s t o r d e r o f s o c i e t y b y t h e r o u t e o f sa v e d c o p p e r s l )
N o r t h s u m m a riz e s t h e d e v e lo p m e n t o f t h e c a p i t a l i s t
66
e n t r e p r e n e u r i n th e s e w ords:
66 C e c i l C l a r e N o r t h , S o c i a l D i f f e r e n t i a t i o n
1926) p p . 2 2 1 -2 2 2 .
(C h a n e l H i l l .
266
The f i r s t u s e o f c a p i t a l , a s we know i t , was i n t r a d e ,
and t h e f i r s t g r o u p t o b e p u s h e d upw ard t o pow er b y i t
was t h e m e r c h a n t . . . . The m a n u f a c t u r e r s , who fro m t h e
s e v e n t e e n t h c e n t u r y on h a v e s h a r e d w i t h t h e t r a d e r s t h e
c o n t r o l o f c a p i t a l , s p r a n g fro m t h e t r a d i n g c l a s s . The
c a p i t a l o f t h e m e r c h a n t s becam e a v a i l a b l e f o r t h e m ar­
v e llo u s e x p an sio n o f i n d u s t r y . . . .
67
A cco rd in g t o K n ig h t, e£ a l . ,
t h e c r a d l e o f modern c a p i t a l i s m
was t h e t r a d i n g t o w n .
Carman s e e s t h e a n t e o e n d a n t s o f t h e E n g l i s h c a p t a i n s
o f i n d u s t r y a n d commerce i n t h e m id d l e c l a s s e s o f e a r l i e r
68
c e n t u r i e s . He s t a t e s :
. . . s m a l l l a n d h o l d e r s , m e r c h a n t s , m a n u f a c t u r e r s , money
l e n d e r s , an d s h o p - k e e p e r s . T h is c l a s s , w h ic h even u n d e r
th e e a r l y T u d o rs began t o d i s p l a c e th e o ld f e u d a l n o b i l i t y
in th e c o u n c ils of th e s t a t e , in c r e a s e d g r e a t l y in w e a lth ,
n u m b e r s , a n d p o w e r d u r i n g t h e s i x t e e n t h and s e v e n t e e n t h
c e n t u r i e s . . . . I t was t h i s c l a s s , a s we s h a l l p r e s e n t l y
s e e , w h ic h f u r n i s h e d m o st o f t h e l e a d e r s and m a n a g e r s ,
n e a r l y a l l t h e c a p i t a l , and many o f t h e p i o n e e r s f o r t h e
f o u n d i n g o f E n g l a n d ’ s o v e r s e a s d o m a in s .
See s u m m a riz e s i n t h e s e w o r d s :
69
C a p i t a l i s m , i n i t s c o m m e r c ia l form a t l e a s t , d e v e l o p e d
r e m a r k a b l y i n t h e e i g h t e e n t h c e n t u r y and b e g a n t o e x ­
e r c i s e a n i n f l u e n c e u p o n i n d u s t r y . The c l a s s o f m e r­
c h a n t s a n d f a c t o r y d i r e c t o r s becam e e v e r more i m p o r t a n t .
I n many c a s e s t h e y s u c c e e d e d In g e t t i n g " c o n t r o l ” o f
r u r a l i n d u s t r y , t h u s o p e n in g t h e way t o g r e a t c a p i t a l i s t
i n d u s t r y . In th e u rban t r a d e s o f th e t e x t i l e i n d u s t r y . .
t h e m a s t e r - m e r c h a n t s b r o u g h t t h e m aste r-w o rk m e n u n d e r
t h e i r d o m i n a t i o n , m a k in g m ere w a g e - e a r n e r s o f th e m . Thus
t h i s e s s e n t i a l l y c a p i t a l i s t c l a s s o f m e r c h a n t s becam e
s t r o n g e r a n d s t r o n g e r . . . . T h is c l a s s was t o b e t h e
p a r e n t o f t h e g r e a t I n d u s t r i a l m a g n a te s o f t h e n i n e t e e n t h
c e n tu ry .
67 K n i g h t , e t a l . , o£ . c l t . , p . 3 3 9 .
Carm an, o p . c l t . . p . ” 3 T .
69 S d e , 0£ . c i t . , p p . 2 3 0 - 2 3 1 ; I t a l i c s n o t i n o r i g i n a l .
0°
.
The n o b i l i t y a n d d e s c e n d a n t s o f noblem en d u r i n g t h e
a g e o f c o m m e rc ia l e x p a n s i o n .
I t i s th e c o n te n tio n h e re t h a t
t h e b u s i n e s s c l a s s e s o f t h e e i g h t e e n t h c e n t u r y stemmed from
th o s e o f fo rm e r c e n t u r i e s , a f t e r th e f a s h i o n o f t h e Buddenbro o k s.
H o w ev e r, t h e r e w ere n e w c o m e rs, and i t
i s p ro b ab le
t h a t among t h e e f f e c t i v e e l e m e n t s i n b u s i n e s s w ere many who
came fro m n o b l e s t o c k .
The c o m p e t i t i o n o f f e r e d b y t h e y o u n g e r s o n s o f n o b l e s
70
I s w e l l p o r t r a y e d b y W e r t e n b a k e r , who w r i t e s :
Some w r i t e r s h a v e p o i n t e d t o t h e num ber o f f a m i l i e s I n
V i r g i n i a t h a t w e re e n t i t l e d t o t h e u s e o f c o a t s - o f - a r m s
as c o n v in c in g p r o o f t h a t th e a r i s t o c r a c y o f t h e c o lo n y
was f o u n d e d b y men o f h i g h s o c i a l r a n k . I t I s t r u e t h a t
I n n u m e ro u s i n s t a n c e s V i r g i n i a n s h a d t h e r i g h t t o c o a t s o f - a r m s , b u t t h i s d o e s n o t p r o v e t h a t t h e i r b l o o d was
n o b l e , f o r I n m o s t c a s e s t h e s e emblems o f g e n t i l i t y came
t o them t h r o u g h a n c e s t o r s t h a t w ere m e r c a n t i l e i n o c c u p a ­
t i o n a n d i n s t i n c t . D u r in g t h e 1 7 t h c e n t u r y t h e t r a d e s
w ere i n h i g h r e p u t e i n E n g la n d , and t o them r e s o r t e d many
y o u n g e r s o n s o f t h e g e n t r y . T h e s e y o u t h s , e x c l u d e d fro m
a s h a r e i n t h e p a t e r n a l e s t a t e b y t h e la w s o f p r i m o g e n i ­
t u r e , w e re f o r c e d e i t h e r i n t o t h e p r o f e s s i o n s o r t h e
tra d e s.
I t was t h e c u sto m f o r t h e c o u n t r y g e n tle m a n t o
l e a v e h i s e l d e s t so n t h e w h o le o f h i s l a n d e d e s t a t e s . . .
t h e f o u r t h /lion/ was s e n t t o London t o l e a r n t h e a r t o f
w e a v in g , o f w a tc h m a k in g o r t h e l i k e .
I t was t h e e d u ­
c a t i n g o f t h e y o u n g e st sons in th e t r a d e s t h a t gave r i s e
t o t h e c l o s e c o n n e c t i o n b e tw e e n t h e c o m m e rc ia l c l a s s e s
i n E n g la n d a n d t h e g e n t r y . G r e a t n u m b ers o f m e r c h a n t s
i n t h e t r a d i n g c i t i e s w e re r e l a t e d t o t h e c o u n t r y s q u i r e
o r e v e n t o t h e n o b le m a n .
The l a n d e d n o b i l i t y n o t o n l y b e g a n e a r l y t o i n t e r m a r r y
w ith th e c o m m ercial a r i s t o c r a c y — th e y a ls o began e a r l y to
J*
70 T h o m a s /W e r te n b a k e r , P a t r i c i a n and P l e b e i a n i n V i r g i n i a
( C h a r l o t t e s v i l l e , l&lo) pp. 24-25.
71
e n te r b u sin e ss a c t i v i t i e s
th e m se lv e s.
Abram w r i t e s :
P e r h a p s t h i s l a c k o f r e a d y money was one o f t h e r e a s o n s
why n o b l e s w e re w i l l i n g t o m a rr y t h e d a u g h t e r s o f r i c h
m e r c h a n t s . Some o f them r e p l e n i s h e d t h e i r p u r s e s b y e n ­
g a g i n g i n t r a d e . R a l p h , E a r l o f W e stm o re la n d ( 1 4 2 2 - 4 ) ,
t h e M a rq u is o f S u f f o l k ( 1 4 4 5 - 6 ) • . . an d e v e n members o f
t h e r o y a l f a m i l y w e re a m o n g st t h o s e who r e c e i v e d l i c e n c e s
t o e x p o r t w o o l.
The e x t e n t t o w h ic h t h e n o b i l i t y was e a g e r t o t a k e
p a r t i n b u s i n e s s v e n t u r e s i s w r i t t e n l a r g e i n tn e h i s t o r y
o f t h e A m erican c o l o n i e s .
I n h i s g r e a t w o rk , The C o l o n i a l
72
P e r i o d o f A m erican H i s t o r y . Andrews
u se s e ig h te e n pages
t o d e s c r i b e t h e v e n t u r e s o f t h e f o l l o w i n g , among o t h e r s :
S i r s G e o rg e s , L enox, A ru n d e l, S u r r e y , C a l v e r t , E y le s ,
M o ntgom ery, H e a t h ; L o rd S t a f f o r d ; t h e Duke o f M o n ta g u e;
Jo h n P e r c i v a l , s e c o n d E a r l o f Egmont; and L ord F a i r f a x .
I t is
c le a r t h a t th e E n g lis h n o b i l i t y d id n o t d i s ­
d a i n c o m m e rc ia l p u r s u i t s , n o r d id t h e F r e n c h d i s d a i n h o l d i n g
m e r c a n t i l e m o n o p o l i e s , i n c o n t r a s t t o t h e m anner o f Roman
a ris to c ra ts.
T hey f o l l o w e d i n s t e a d t h e l e a d o f t h e f i r s t
c o m m e rc ia l n a t i o n s o f E u r o p e , I t a l y and t h e Low C o u n t r i e s ,
w h e re t h e n o b i l i t y and i t s h a l f - b r o t h e r , t h e c o m m e rc ia l
a r i s t o c r a c y , w e re e n g a g e d i n t h e new u n d e r t a k i n g s .
In
r e p u t a b l e w o rk s d e a l i n g w i t h t h i s p e r i o d t h e nob H i ty^ a s
a ru le , is
itie s
g i v e n a p r o m i n e n t p l a c e i n t h e c o m m e rc ia l a c t i v ­
( n o t a b l y w h e r e v e r m o n o p o li z e d ) o f t h e n a t i o n s o f
w e ste rn E urope.
71 A bram , 0£ , c l t . , p p . 1 6 - 1 7 .
72 C h a r l e s M. A n d re w s, The C o l o n i a l P e r i o d o f A m e ric an H i s t o r y ,
v o l . I I (New H a v e n , 1 6 3 6 ) p p . 2 2 2 - 2 4 0 .
S o c i a l c l a s s r i g i d i t i e s a t t h e end o f t h e e i g h t e e n t h
c e n tu ry .
Much h a s b e e n w r i t t e n
rig id itie s
about th e s o c i a l c l a s s
o f f e u d a l i s m an d o f t h e s o c i a l c l a s s f l u i d i t y
o f c a p i t a l i s m , e s p e c i a l l y in i t s
e a r lie r sta g e s.
One o f
t h e g r e a t v i r t u e s o f t h e l a i s s e z - f a i r e eco n o m ic o r d e r was
s u p p o s e d t o b e t h e way i n w h ic h i t f a c i l i t a t e d t h e upw ard
p e r c o l a t i o n o f p e r s o n s o f t a l e n t fro m among t h e lo w e r o r d e r s
of s o c ie ty .
As a p a r t o f t h e p r o p a g a n d a o f b o u r g e o i s c a p i t a l ­
ism , te x t- b o o k s have f r e q u e n t l y r e f e r r e d to th e a r i s t o c r a t s
and n o b l e s a s d e c a d e n t , an d much a b u s e h a s b e e n h e a p e d
upon t h e f e u d a l o r d e r a s s o c i a t e d w i t h t h e n o b i l i t y .
S p e n g l e r r e f e r s t o t h e ’’o l d a r i s t o c r a t i c s o c i e t y ” a s
b e i n g ’’f r a g i l e a n d s i c k l y i n c e r t a i n r e s p e c t
. . . ” and h e
p h ilo s o p h iz e s about th e b o u rg e o is era by say in g t h a t ”a
l i v e s o c i e t y re n e w s i t s e l f p e r p e t u a l l y b y p r e c i o u s b l o o d
73
w h ic h p o u r s i n t o i t fro m b e lo w and fro m o u t s i d e . ”
What
S p e n g l e r d o e s n o t show , o r e v e n i n v e s t i g a t e f o r h i s r e a d e r s ,
i s how ’’f r e s h ” a n d how ’’new” t h e b l o o d o f t h e b o u r g e o i s i e
w as.
Nor d o e s h e show w h e t h e r i t was t h e n o b l e f a m i l i e s
w h ic h w e re d e c a d e n t o r t h e a g r a r i a n - m e r e a n t i l e s y s t e m .
What
h a p p e n e d t o t h e s y s te m was one t h i n g ; w h a t h a p p e n e d t o t h e
f a m i l i e s o f t h e n o b i l i t y was q u i t e a n o t h e r .
The o l d o r d e r f a r e d much w o rse t h a n d i d t h e n o b i l i t y .
73 O sw ald S p e n g l e r , The Hour o f D e c i s i o n (New Y o rk , 1 934)
p p . 90-91.
I n f a c t , S p e n g l e r r e f e r s t o t h e b o u r g e o i s i e i n t h e m id d le
o f th e n i n e t e e n t h c e n tu r y a s h a v in g th e a m b itio n " to v ie
w i t h t h e n o b i l i t y i n i t s mode o f l i f e and i f p o s s i b l e t o
74
b e m erged w i t h i t . ”
Prom t h i s i t m ust b e i n f e r r e d t h a t
t h e o l d b l o o d w as s t a n d i n g u p f a i r l y w e l l a g a i n s t t h e "new"
c o m p e titio n .
In o u t l i n e , i t m u st b e a s k e d : w hat was t a k i n g p l a c e
among t h e n o b i l i t y , t h e b u s i n e s s m en, t h e a g r i c u l t u r a l i s t s ,
and t h e w o r k e r s i n th e new m a n u f a c t o r i e s an d i n commerce?
75
S o r o k i n m akes t h e a s s e r t i o n :
A t t h e end o f t h e e i g h t e e n t h c e n t u r y t h e a r i s t o c r a c y o f
t h e M id d le Ages was a l m o s t b u r n e d o u t . What r e m a in e d
was e x t e r m i n a t e d d u r i n g t h e wave o f r e v o l u t i o n s a t t h e
end o f t h e e i g h t e e n t h c e n t u r y . A f t e r t h a t t i m e , t h e
u p p e r s t r a t a , w i t h v e r y few e x c e p t i o n s , b e g a n t o b e
f i l l e d b y new p e o p l e ; b y new r u r a l m i g r a n t s , and b y
th e o f f s p r in g of p re v io u s r u r a l m ig ra n ts .
The F r e n c h R e v o l u t i o n d i d n o t e x t e r m i n a t e t h e n o b i l i t y ev en
i n P r a n c e , a n d d o c u m e n te d h i s t o r y c o n t a i n s f e w , i f a n y ,
r e f e r e n c e s t o " r u r a l m i g r a n t s " who made u p t h e u p p e r s t r a t a
o f E u ro p e a n s o c i e t i e s .
I n s te a d , th e n o b i l i t y p e r s i s t e d ,
and t h e u r b a n c o m m e r c ia l a r i s t o c r a c i e s , l o n g e s t a b l i s h e d ,
w ere w e l l s i t u a t e d t o e n l a r g e t h e i r a c t i v i t i e s when t h e
h o u r o f i n c r e a s e d t r a d e an d m ass p r o d u c t i o n a p p e a r e d .
The f a i l u r e
o f many w r i t e r s t o n o t e t h e d a t e s a t
w h ic h t h i n g s a r e " o l d " and "new" h a s c a u s e d g r e a t c o n f u s i o n
74 L o o . c l t .
75 t i t i r i m 'S o r o k i n , S o c i a l M o b i l i t y (New Y o rk , 1927) p . 495
271
Old f a m i l i e s , new i n t h e n o b i l i t y , a r e r e f e r r e d t o a s " n e w ."
The n o b i l i t y o f e i g h t e e n t h c e n t u r y P r a n c e was n o t made up
o f new f a m i l i e s
(e n tra n c e in to th e n o b i l i t y p r a c t i c a l l y
o e a s e d one h u n d r e d y e a r s e a r l i e r ) , n o r w e re t h e c o m m e rc ia l
a r i s t o c r a t s o f t h a t same p e r i o d u p s t a r t s o r "new” even th o u g h
t h e i r e m e rg en c e i n t o o f f i c i a l p o l i t i c a l c o n t r o l was s u d d e n ,
in P ra n c e .
" I t i s a m i s t a k e t o b e l i e v e t h a t a t t h e end o f t h e
e i g h t e e n t h c e n t u r y t h e n o b i l i t y and t h e c l e r g y were t h e o n l y
owning c l a s s e s i n P r a n c e .
The slo w p r o c e s s o f e v o l u t i o n ,
w h ic h b r o u g h t i n t o t h e h a rd s o f t h e b o u r g e o i s i e n o t o n l y mov­
a b le (p e r s o n a l) p r o p e r t y , b u t a ls o la n d , began lo n g b e fo re
76
1 7 8 9 .”
Even among t h e n o b l e s t h e r e was s o c i a l c l a s s r i g i d i t y .
S o h u m p e te r n o t e s t h a t t h e r e w e re e a r l y two c l a s s e s o f n o b l e ­
m en, p r i n c e s and " b l o s s e r l t t e r l i c h e n B u r g h e r r e n ."
B etw een
t h e s e two c l a s s e s t h e r e "was n o t o n l y d i f f e r e n c e s i n r a n k ,
b u t a ls o of l e g a l r i g h t s , ty p es of l i f e ,
77
c o n n u b iu m .”
C o n c lu s io n .
p o w e r, and no
I t i s o b v io u s t h a t t h e c a p i t a l i s t e ra
d i d n o t b u r s t s u d d e n l y u p o n t h e w o r l d , t h a t i t was i n t r o d u c e d
b y b u s i n e s s g r o u p s o f l o n g s t a n d i n g , e s p e c i a l l y by t h e m er­
c h a n ts.
The p r o d u c i n g g i l d s w e r e o u t f l a n k e d b y t h e d o m e s tic
76 Maxime K o v a le w s k y , La F r a n c e eco n o m iq u e e t s o c i a l e A l a
v e l l l e de l a r e v o l u t i o n , v o l . I ( P a r i s , 1 9 0 9 ) p 7 1;
tra n s la tio n ou rs.
77 J o s e p h S c h u m p e t e r , " D ie S o z i a l e n K l a s s e n i n E t h n i s o h homogenen M i l i e u , " ill t h e A r c h l y f f t r S o z l a l w l s s e n s c h a f t
u n d S o z l a l p o l i t i k ( T u b i n g e n , 1927) p p • 1 3 - 1 4 ; t r a n s l a t i o n
ours •
s y s te m and l e f t b y t h e w a y s id e o r c o n v e r t e d i n t o w agee a rn e rs un d er th e f a c t o r y sy ste m .
W hich g r o u p s , t h e n , r o s e a n d w h ic h d e c l i n e d ?
Land­
owning b u r g h e r s h a d becom e m a s t e r m e r c h a n t s and had i n v e r y
e a r l y t im e s e n t r e n c h e d t h e m s e l v e s a g a i n s t n e w co m e rs.
g ro u p s r o s e fro m t h e i r s t r o n g b e g i n n i n g s .
m en, a f t e r a n e a r l y r i s e
T h ese
The m a s t e r c r a f t s ­
and l o n g s t a b i l i z a t i o n , l o s t t h e i r
p o l i t i c a l p r o t e c t i o n an d t h e i r c r a f t m o n o p o lie s — t h e y
th e n slo w ly d e c l in e d In r e l a t i v e im p o rta n c e .
The jo u rn e y m e n ,
on a lo w e r l e v e l , f o l l o w e d t h e same c u r v e a s t h e m a s t e r
c ra ftsm e n .
L i k e w i s e , t h e p o o r n o b i l i t y s u f f e r e d a slo w d e ­
c l i n e in s t a t u s , s in c e th e y re m a in e d , g e n e r a l l y , in a g r i c u l ­
t u r e and f a c e d t h e l o s s o f t h e i r s e r f s t h r o u g h c o m m u ta tio n .
They a l s o h a d t o m e e t t h e c o m p e t i t i o n o f t h e r i s i n g yeoman
c la ss of p e a s a n ts .
T h e re was m ore s o c i a l m o b i l i t y I n a g r i c u l t u r e and much
l e s s I n c o m m e rc ia l p u r s u i t s d u r i n g t h e c e n t u r i e s from t h e
t e n t h t o t h e e i g h t e e n t h t h a n s c h o o l b o o k s h a v e u s u a l l y a c k n o w l­
edged.
The r e c o r d s o f c a r e f u l l y d o c u m e n te d h i s t o r y h a v e
b e e n o f v a l u e i n l i n i n g up t h e t h e o r i e s o f s o c i a l c l a s s
tr e n d s w ith th e r e a l i t i e s
o f t h e a g e b e tw e e n th e e s t a b l i s h m e n t
o f f e u d a l i s m an d t h e m ass p r o d u c t i o n a g e o f f a c t o r y p r o d u c t i o n .
The f o l l o w i n g c h a p t e r w i l l b e g i v e n o v e r t o a r e v i e w
o f s o c i a l c l a s s t r e n d s i n t h e p e r i o d b e tw e e n N a p o leo n and
t h e f i r s t W orld W ar.
CHAPTER IX
THE INDUSTRIAL REVOLUTION AND SOCIAL CLASS
F e u d a lis m p a s s e d l a r g e l y o u t o f e x i s t e n c e i n w e s t e r n
E u ro p e b e f o r e t h e b e g i n n i n g o f t h e n i n e t e e n t h c e n t u r y and
gave way t o a c a p i t a l i s t e r a , w h ic h SImmel c h a r a c t e r i z e s a s
1
a sy s te m o f " F r e i h e l t o h n e G l e i o h h e l t , n Was t h e e p o c h o f
i n d i v i d u a l i s m and i n d u s t r i a l i s m , u s h e r e d i n b y t h e d e v e l o p ­
m en ts i n E n g la n d a n d b y t h e F r e n c h R e v o l u t i o n , t h e open
sesam e f o r t h o s e h e l d i n
c h e c k and k e p t down b y t h e s y s te m
of fe u d a l r e s t r i c t i o n s , r e g u la tio n s ,
and l i m i t a t i o n s ?
O p in io n d i v i d e d on s o c i a l c l a s s i m p l i c a t i o n s o f
new a g e .
As h a s b e e n t h e c a s e r e g a r d i n g e v e r y o t h e r h i s t o r i ­
c a l epoch, ex p ert o p in io n i s
s h a r p l y d i v i d e d a s t o t h e m ean­
in g o f c a p i t a l i s m f o r p e rs o n a o f lo w e r s o c i a l r a n k .
2
and G e t t y s , f o r i n s t a n c e , s t a t e :
Dawson
W ith t h e f a l l o f t h e B a s t i l l e I n t h e F r e n c h R e v o l u t i o n ,
t h e r e f e l l w i t h I t a s o o i a l o r d e r b a s e d on p r i v i l e g e and
t y r a n n y , and t h e r e a r o s e a new s o c i a l c l a s s b a s e d on
g r e a t e r e q u a l i z a t i o n o f o p p o r t u n i t y , t h e s o - c a l l e d " m id d l e
c la s s ."
. . . t h e r e e x i s t s t o d a y , I n m o st m odern s o c i e t i e s ,
a l a r g e m id d le c l a s s — m o re p r o p e r l y m i d d l e c l a s s e s —
w hich s e r v e s , a c c o r d i n g t o t h e d e m o c r a t i c t r a d i t i o n , a s t h e
open sesam e f o r a l l t h o s e o f a m b i t i o n and e n e r g y i n t h e
lo w e r c l a s s e s . . . .
1 G eorg SIm m el, G r u n d f r a g e n d e r S o z l o l o g l e ( B e r l i n , 1917)
p . B9,
2 C a r l A. Dawson an d W a rn e r E . G e t t y s , An I n t r o d u c t i o n t o
S o c i o l o g y (New Y o r k , 1 9 29) p . 5 4 7 7
L a t e r i n t h i s d i s s e r t a t i o n i t w i l l b e shown t h a t a g r e a t b a r ­
r i e r e x i s t s b e tw e e n t h e lo w e r a n d t h e m i d d l e c l a s s e s , f a r
g r e a t e r th an i s p re su p p o se d in th e above p ara g rap h *
F u rth e r­
m ore, t h e r e i s a sh a rp d i v i s i o n o f o p in io n a s to w h e th e r or
n o t th e I n d u s t r i a l e ra s p e l t g r e a t e r e q u a liz a tio n o f oppor­
t u n i t y a s w i l l b e shown p r e s e n t l y .
S o ro k in a s s u r e s h i s r e a d e r s t h a t " th e g r e a t F rench
R e v o l u t i o n and t h e p e r i o d o f t h e N a p o l e o n i c E m p ir e , when
th o se
‘ who h a d b e e n n o t h i n g becam e e v e r y t h i n g , ' a n d c o n ­
t r a r i w i s e , w ere a g a i n t h e p e r i o d s o f m o st i n t e n s i v e v e r t i c a l
3
s o c ia l m o b ility ."
E l s e w h e r e , h o w e v e r , t h e same a u t h o r
s t a t e s t h a t " th e s o c i a l c i r c u la t i o n in th e se v e n te e n th cen4
t u r y w as n o t l e s s t h a n t h a t o f t h e n i n e t e e n t h c e n t u r y . "
The s e v e n t e e n t h c e n t u r y , a s h a s b e e n s e e n , was a p e r i o d o f
rig id ity .
The n o b i l i t y i n F r a n c e was b e g i n n i n g t o r e s t r i c t
t h e i n c l u s i o n o f c o m m e r c ia l a r i s t o c r a t s ;
t h e p o o r i n E n g la n d
w ere s u f f e r i n g b e c a u s e o f r i s i n g p r i c e s an d s e t w a g es; t h e
m a s t e r c r a f t s m e n w e re n o l o n g e r a l l o w i n g jo u rn e y m e n t o r i s e
in to th e ir ran k s.
G o u ld i t b e t h a t t h e n i n e t e e n t h c e n t u r y
was s i m i l a r t o t h e s e v e n t e e n t h n o t b e c a u s e o f g r e a t e r
e q u a liz a tio n of o p p o rtu n ity b u t because of g re a te r in e q u a lity ?
F u r t h e r m o r e , t h e i n t i m a t i o n t h a t t h o s e who assum ed pow er and
p a r t o o k i n t h e s a l e s o f e x p r o p r i a t e d l a n d s a n d i n t h e new
£ P i t i r i m S o r o k i n , S o c i a l M o b i l i t y (New Y o r k , 1 927 ) p . 1 5 1 .
4 I b i d ., p . 155.
c o m m e rc ia l v e n t u r e s h a d b e e n , f o r m e r l y , " n o b o d i e s " i s t o
p e r v e r t t h e c o r r e c t i n t e r p r e t a t i o n o f t h e e co n o m ic and
s o c i a l c l a s s d e v e lo p m e n t i n F r a n c e b e f o r e t h e R e v o l u t i o n .
F a h l b e o k f i n d s t h e m odern c l a s s e s , f o r t h e f i r s t
5
tim e in t h e h i s t o r y o f c i v i l i z a t i o n , " o p e n ."
T h is a u th o r
i n t i m a t e s m ore t h a n h e s a y s on t h e s u r f a c e .
The t h o u g h t
t h a t t h e c l a s s e s w ere o pen l e a d s n a t u r a l l y t o t h e f a c i l e
c o n c l u s i o n t h a t t h e r e was c o n s i d e r a b l e c i r c u l a t i o n fro m b e ­
n e a th .
One f a c t t h a t a l m o s t n e c e s s i t a t e s t h i s c o n c l u s i o n
i s , o f c o u r s e , t h e common k n o w le d g e t h a t among t h e m a s s e s
o f men t h e r e i s much t a l e n t a n d a b i l i t y .
U n l e s s h e l d down
l e g a l l y , " s u r e l y many o f t h e s e p e o p l e r i s e . "
What d i f f e r e n c e s d i d t h e new o r d e r o f i n d u s t r i a l i s m
make i n t h e l i v e s o f t h e p e a s a n t s , w o r k e r s , a r t i s a n s ,
sm a ll in d e p e n d e n ts?
and
To o n e a u t h o r t h e c h a n c e t o move t o
t h e c i t y was a c h a n c e t o im p ro v e o n e ' s l o t .
(To o t h e r s i t
6
was b u t d e s c e n t i n t o m i s e r y . )
Young, f o r i n s t a n c e , w r i t e s :
The o l d l i m i t a t i o n s o f a r i s t o c r a c y and b i r t h b e g a n t o
b r e a k dow n. W e a l t h , n o t b i r t h , was so o n t o d e t e r m i n e
s o c i a l s t a t u s . F u r th e r m o r e , th e r u r a l c l a s s e s c o u ld
no l o n g e r b e k e p t i n t h e o l d f r a m e w o r k . O p p o r t u n i t i e s
f o r w o r k in g i n t h e c i t i e s g a v e t h e p e a s a n t a n d t h e s e r f
a ohanoe t o e sc a p e t h e o b l i g a t i o n s t o l o r d and m a s te r .
The u n c r i t i c a l s t a t e m e n t t h a t t h e c i t i e s o f f e r e d t h e p e a s a n t
a n d s e r f " a c h a n c e t o e s c a p e " fro m o n e r o u s o b l i g a t i o n s n e e d s
c a re fu l s c ru tin y .
I n a w ay , t h i s w h o le c h a p t e r may b e
5 P o n t u s E . F a h l b e c k , D ie K l a s s e n u n d d i e G e s e l l s c h a f t ( J e n a ,
1 922 ) p p . 1 9 2 - 1 9 3 .
6 K im b a ll Y oung, An I n t r o d u c t o r y S o c i o l o g y (New Y o r k , 1934)
p p . 482-483.
c o n sid e re d a d e n ia l o f th a t th o u g h t.
I t w i l l b e d e m o n stra te d
w i t h m a t e r i a l s a s s e m b l e d , f o r e x a m p le , t h a t t h e h i s t o r i a n s ,
w i t h t h e i r d o c u m e n ta r y e v i d e n c e , a r e n o t c o n v i n c e d t h a t t h e
e r a was one o f " o p p o r t u n i t y . "
They a r e m ore c o n v i n c e d t h a t
i t w a s , i n i t s e a r l y d e c a d e s a t l e a s t , an a g e o f l e s s f o r
t h e m a s s e s an d o f more f o r t h e u p p e r c l a s s e s .
N o r t h , a s o c i o l o g i s t whose k n o w le d g e o f h i s t o r i c a l
d e ta ils is
e v i d e n t , and whose c o n c l u s i o n s a r e t h e r e f o r e i n
l i n e w ith th o se o f th e h i s t o r i a n s , p u ts l i t t l e
th e o ry o f s o c i a l m o b ility in t h i s e r a .
s to c k in th e
H i s e m p h a s is upon
s o c i a l c la s s c o n tin u ity h e re i s to be c o n tr a s te d w ith
S o r o k i n ’ s e m p h a sis upon " m o st i n t e n s i v e v e r t i c a l m o b i l i t y . "
7
N o r t h q u o t e s B u c h er t o t h i s e f f e c t :
As one o b s e r v e s , e a c h s t e p t a k e n b y m e d i a e v a l d i v i s i o n
o f l a b o u r i n i n d u s t r y was c o n d i t i o n e d b y t h e p o s s e s s i o n
of w e a lth .
I t I s t h e same w i t h t r a d e . The t r a d i n g c l a s s
o f M id d le Ages i s d e r i v e d fro m t h e c l a s s o f u r b a n l a n d ­
o w n e r s , who h a d become . . . p o s s e s s o r s o f m o v ab le c a p i ­
ta l.
I t i s fro m t h i s c l a s s o f s t o c k - h o l d e r s a n d t r a d e s ­
men t h a t t h e p r e s e n t m a n u f a c t u r i n g c l a s s h a s s p r u n g s i n c e
th e se v e n te e n th c e n tu ry .
G r e t t o n I s o f t h e o p i n i o n t h a t t h e m i d d l e c l a s s was
r i s i n g d u r in g t h i s p e r io d , b u t t h a t " t h e lo w er c l a s s e s —
t h e w orkm en, a r t i s a n s , and l a b o u r e r s — w e re s e c u r e l y e n 8
c h a in e d ."
P a h lb ec k tq k e s th e c o n tr a r y v ie w , s t a t i n g :
"F reedom and e q u a l i t y a r e t h e g r e a t c h a r a c t e r i s t i c s o f t h e
7 C e c il C la re N o rth , S o c ia l D i f f e r e n t i a t i o n (C hapel H i l l .
1926) p . 2 2 4 .
8 R .H . G r e t t o n , The E n g l i s h M id d le C l a s s (L o n d o n , 19 17) p . 158
open c l a s s s o c i e t y , j u s t a s bo n d ag e and d i f f e r e n c e
9
( V e r s c h le d e n h e lt) are f o r f e u d a l s o c i e t y . ”
O p in io n d i v i d e d a s t o t h e f a c t s o f s o c i a l c l a s s i n
t h e new a g e o f i n d u s t r i a l
c a p ita lism .
One c o n f r o n t s i n t h e
l i t e r a t u r e n o t o n ly d i f f e r e n c e s o f o p in io n w ith r e g a r d to
t h e s i g n i f i c a n c e o f t h e new e r a f o r t h e l o w e r c l a s s e s , w i t h
re g a r d to o p p o r tu n ity , b u t a ls o w ith re g a rd to th e f a c t s
th e m se lv e s •
S t a t i s t i c a l e v id e n c e o f v e r t i c a l m o b i l i t y In th e c o t ­
to n I n d u s t r y I n E n g la n d was p r e s e n t e d t o show t h a t a s h i g h
a s 84 p e r c e n t o f t h e m an a g in g d i r e c t o r s o f t h e f a c t o r i e s
h a d s t a r t e d t h e i r em ploym ent a s o p e r a t i v e s o r a t e q u a l l y
low p a y .
T h i s m a t e r i a l was g a t h e r e d b y two r e s e a r c h e r s and
p r e s e n te d a t a m e e tin g o f th e R oyal S t a t i s t i c a l S o c i e t y .
10
To t h e i r r e p o r t t h e y a d d :
I t i s beyond q u e s tio n t h a t In th e e a r l y days of th e
f a c t o r y s y s t e m , t h e movement o f w o r k p e o p l e , a g a i n s t
g r a v i t y , so t o s p e a k , was common. I n d e e d , t r a d e d e ­
p r e s s i o n s w e re a c t u a l l y a t t r i b u t e d t o t h e e a s e w i t h
w h ic h w o r k p e o p l e , i n d i f f e r e n t l y s u p p l i e d w i t h c a p i t a l ,
c o u ld t h r u s t th e m se lv e s I n t o t h e ra n k s o f e m p lo y e rs .
T h ese a r e h a r d s t a t i s t i c a l f a c t s
(a n d s t r o n g l y w orded
o p in io n s ) a b o u t m o b ility in th e I n d u s t r i a l f i e l d .
S o ro k in
i n c l u d e s t h e s e d a t a i n h i s book on s o c i a l m o b i l i t y a t t h e i r
face v a lu e .
M om bert, a s w i l l b e p o i n t e d o u t u n d e r t h a t
9 P a h l b e o k , 0£ . c l t . , p . 2 2 7; t r a n s l a t i o n o u r s .
10 S . J . Chapman a n d P . J . M a r q u i s , "The R e c r u i t i n g o f t h e Em­
p l o y i n g C l a s s e s fro m t h e Ranks o f t h e W a g e - e a r n e r s I n
The C o t to n I n d u s t r y , ” i n t h e J o u r n a l o f t h e R o y a l
S t a t i s t i c a l S o c i e t y , v o l . LXXV, ( P e b r u a r y 7 " l 9 1 2 ) p . 2 9 9 .
s e c t i o n o f t h i s d i s s e r t a t i o n g iv en o v e r t o s t a t i s t i c a l
s t u d i e s , i m m e d i a t e l y r e c o g n i z e d t h a t s o m e th in g was a m i s s
h e r e an d c o n s e q u e n t l y d i s c o u n t e d th e m .
The s t a t i s t i c a l
e r r o r was a v e r y s i m p le o n e , and anyon e who r e a d s t h e a p ­
p e n d e d m i n u t e s o f t h e d i s c u s s i o n b y t h e members o f t h e
R o y a l S o c i e t y w i l l f i n d i t p o i n t e d o u t b y one o f t h o s e
p re se n t.
The q u e s t i o n n a i r e upon w hich t h e f i g u r e s w ere
b a s e d d i d n o t s p e c i f y w h e t h e r t h e s e d i r e c t o r s who r o s e fro m
t h e r a n k s b e g a n a s b o n a f i d e w o r k e r s o r a s " o p e r a t i v e s " who
w ere l e a r n i n g t h e i r f a t h e r s *
o r f r i e n d s ' b u sin e ss b y s t a r t ­
i n g a t t h e b o t t o m — much a s yo ung f i n a n c i e r s f r e q u e n t l y
l e a r n t h e p r a c t i c a l s e t u p o f a n o f f i c e b y w o rk in g a s m es­
s e n g e r b o y s , and so f o r t h , f o r s i x m onths o r a y e a r .
As f o r t h e u n i q u e t h e o r y a b o u t d e p r e s s i o n s c a u s e d b y
t h e e n t r a n c e o f so many w o r k p e o p le i n t o b u s i n e s s , t h e
s t a t i s t i c i a n s gav e n o d o c u m e n t a t i o n , and i n a l l t h e eco n o m ic
and g e n e r a l h i s t o r i e s s u r v e y e d b y t h i s r e s e a r c h e r no such
t h o u g h t was b r o u g h t f o r w a r d .
In f a c t , th e h i s t o r i a n s p a in t
a d i f f e r e n t p i c t u r e o f t h e e a r l y f a c t o r y s y s te m , a s w i l l b e
show n.
O th e r c o l d s t a t i s t i c s h a v e b e en g a t h e r e d t o I n d i c a t e
enorm o us s w in g s u p a n d do w n.
A c c o r d in g t o R o s c h e r , o u t o f
e i g h t y - f i v e f i r m s i n S t e t t i n i n 1 7 3 9 , i n 1859 a l l h a d
11
d isa p p e a re d .
E n g e l t o o k f o r g r a n t e d t h a t I n t h e w h o le o f
11 As r e v i e w e d i n : R o b e r t Rene K u c z y n s k i , D er Zug n a c h d e r
S t a d t ( S t u t t g a r t , 1897) p . 9 6 .
12
P r a n c e 80 p e r c e n t o f t h e e m p l o y e r s w e re f o r m e r l y w o r k e r s .
R o s c h e r ' s f i g u r e s a b o u t f i r m s i n S t e t t i n may o r may
n o t have s i g n i f i c a n t b e a r in g upon th e s o c i a l c la s s e s o f t h a t
c ity .
The p r e s u m p ti o n i s t h a t t h e f a m i l i e s w h ic h f o r m e r l y
owned t h e s e f i r m s h a d , 120 y e a r s l a t e r , f a l l e n o u t o f t h e
r a n k s o f f i r m o w n e rs .
What i s n o t shown i s
t h e d e s c e n d a n t s w ere o w n e rs o f new f i r m s ,
( 1 ) how many o f
(2 ) how many had
m i g r a t e d t o A m e ric a , and (3 ) how many f a m i l y l i n e s h a d d ie d
o u t f o r w ant o f p r o g e n y .
F a c ts a b o u t s o c ia l c la s s d escen t
an d a s c e n t a r e n o t r e v e a l e d b y r e f e r e n c e t o l i s t s
o f company
nam es•
Nor a r e E n g e l’s s t a t i s t i c s
co n ce rn in g th e h ig h p e r ­
c e n t a g e o f a l l e m p lo y e rs who w e re o n c e w o r k e r s v e r y e n l i g h t e n ­
in g ,
I t may h a v e b e e n t h a t 80 p e r c e n t o f t h e e m p lo y e r s
w ere s m a l l i n d e p e n d e n t c r a f t s m e n , a l l o f whom w ere o n c e a p ­
p re n tic e s,
What i s n o t shown i s how many o f t h e l a r g e r
in d u s tria lis ts
s t a r t e d a t th e b o tto m .
H is to ria n s d e sc rib e e v e n ts of th e e a r ly n in e te e n th
c e n t u r y i n s u c h a way a s t o g i v e a d i f f e r e n t s e t o f f a c t s
upon w h ic h t o b a s e o n e ’ s o p i n i o n o f t h a t e r a .
13
s ta n c e , says:
s / e , fo r in -
12 L o c . c l t ,
13 H e n r i S d e , The Economic and S o c i a l Cond i t i o n s i n F r a n c e
i n t h e E i g h t e e n t h C e n t u r y (New Y o r k , 1 9 3 1 ) p . 2 3 1 .
D u rin g th e n i n e t e e n t h c e n tu r y th e c o n c e p tio n o f s o c i a l
c l a s s e s an d t h e c o n s c i o u s n e s s o f t h e i r e x i s t e n c e on t h e
p a r t o f i n d i v i d u a l s becam e e v e r m ore m a rk e d . * . . The
c l a s s o f i n f l u e n t i a l m erch an ts and g r e a t c a p t a i n s o f
i n d u s t r y a c q u i r e d h i g h e r i m p o r t a n c e . The g a p b e tw e e n em­
p l o y e r s and e m p lo yees became m ore m a r k e d .
Such i s t h e v e r d i c t o f one o f t h e fe w s c h o l a r s o f g r e a t
r e p u t e e v e r t o d e v o t e m o st o f h i s c a r e e r t o t h i s v e r y e p o c h .
B i n d e r , who b e l o n g s among t h e p i o n e e r s o c i o l o g i s t s
o f t h i s c o u n t r y and whose f a m i l i a r i t y w i t h h i s t o r y i s w e l l
14
know n, m akes t h e f o l l o w i n g o b s e r v a t i o n :
A f t e r t h e i n d u s t r i a l r e v o l u t i o n h a d g o t t e n w e l l on i t s
w ay, men and women b e g g i n g f o r w ork o r f o r a lm s w ere
b e s i e g i n g t h e o f f i c e s and h o u s e s o f t h e w e l l - t o - d o .
I t i s o n l y on t h i s b a s i s t h a t an e x p l a n a t i o n f o r t h e
lo n g hours in f a c t o r i e s i s p o s s i b l e .
I f , a s e v e r y o n e know s, t h i s was a p e r i o d o f e x c e s s i v e h o u r s
and much c h i l d l a b o r , i t was p e r f o r c e n o t an e p o c h o f o p ­
p o r t u n i t y and a d v a n t a g e t o a n y s i g n i f i c a n t num ber o f t h e
w o r k in g c l a s s e s .
A lth o u g h i t was a n age w i t h o u t l e g a l
b a r r i e r s t o s o c i a l m o b i l i t y , an d ’’a l t h o u g h a n y o n e m ig h t
now r i s e i n t h e w o rld . . , I t was n e c e s s a r y t h a t n o t e v e r y
15
one s h o u l d r i s e . ”
P ro p e rty , e x p e rie n c e , c o n n e c tio n s,
e d u c a tio n
( p a r t i c u l a r l y t h e l a s t - m e n t i o n e d i t e m ) a l l worked
t o h o l d t h e m asse s o f men down.
C o n c e rn in g t h e new c i t y d w e l l e r s , t h e n o t e d a u t h o r i t y
16
on l a b o r , H o x i e , s a y s :
14 R u d o lp h M. B i n d e r , P r i n c i p l e s o f S o c i o l o g y (New Y o r k , 1928)
p . 45 .
15 G r e t t o n , 0£ . c l t . . p . 1 5 9 .
16 C .H . C o o l e y , R .C . A n g e l l , a n d L . J . C a r r , I n t r o d u c t o r y
S o c i o l o g y (New Y o rk , 1 933) p . 3 1 7 , a d a p t e d from R .P ,
H o x i e , T ra d e U nion ism i n t h e U n i t e d S t a t e s .
M o ra lity d e g e n e ra te d to th e lo w est p o s s ib le d e p th s .
P o v e r t y , d r u n k e n n e s s and v i c e h e l d u n d i s p u t e d sw ay .
T h u s , w i t h i n a g e n e r a t i o n , was t h e i n d u s t r i a l w o r k e r o f
E n g l a n d , fro m an i n d e p e n d e n t , s k i l l e d , t o o l - o w n i n g p r o ­
d u c e r o f g o o d s f o r s a l e , o r a w o r k e r i n p r o c e s s o f becom ­
i n g s u c h , a c o u n t r y o r s m a l l town d w e l l e r , c o m f o r t a b l y
h o u s e d , f e d an d c l o t h e d , l i v i n g a l i f e g o v e r n e d b y
d e f i n i t e c u s t o m s , b a s e d on d e f i n i t e r e l i g i o u s , e t h i c a l
a n d s o c i a l c o n c e p t s , p r o t e c t e d b y an i n t r i c a t e l e g a l
c o d e , r e d u c e d t o a n u n s k i l l e d w a g e -w o rk e r d e p e n d e n t upon
a m a s t e r t o whom h e was m e r e ly a p a r t i n t h e p r o c e s s o f
p ro d u c tio n , i l l - p a i d , ill- h o u s e d , i l l - c l o t h e d , i l l - f e d ,
d e p r i v e d o f t h e o r d i n a r y c o n d i t i o n s and s t a n d a r d s o f
l i f e — t h e b a s i s o f a new and d i s t i n c t c l a s s i n s o c i e t y .
To a n y o n e o f m i d d l e c l a s s b a c k g r o u n d , q u i t e as much a s t o
one o f t h e u p p e r c l a s s e s , t h e s e c o n d i t i o n s w ere c l e a r l y n o t
c o n d u c i v e t o "m o st i n t e n s i v e s o c i a l m o b i l i t y , ” a t l e a s t n o t
fro m t h e b a s e o f t h e s o c i a l c l a s s p y r a m i d , t h e w o r k in g
m asses.
I t was t r u e r t h a t t h o s e " s o m e b o d i e s , " t h e m a s t e r
c r a f t s m e n , becam e " n o b o d i e s " t h a n t h e r e v e r s e .
In 1802 t h e " H e a l t h and M o r a ls A ct" f o r b a d e t h e a p ­
p r e n t i c e s h i p o f c h i l d r e n u n d e r n i n e i n t h e m i l l s and r e d u c e d
17
t h e h o u r s o f c h i l d l a b o r t o t w e lv e p e r d a y .
Such c o n d i­
t i o n s m u st h a v e b e e n t h e b a s i s f o r t h e r e m a rk b y A l e x i s de
T o c q u e v i l l e , a m o st o b s e r v i n g g e n t l e m a n , t h a t " t h e p o o r
h a v e few means o f e s c a p i n g from t h e i r c o n d i t i o n and b e c o m in g
18
ric h • • .
T h is same p o p u l a r w r i t e r s t a t e s a l s o t h a t
" t h e e le m e n t s o f w h ic h t h e c l a s s o f t h e p o o r i s com posed
19
a r e f i x e d . • ."
and t h a t " th e m a n u fa c tu rin g a r i s t o c r a c y
17 R u s s e l l A . D ixon a n d E . Kingman E b e r h a r t , E con om ics and
C u l t u r a l Change (New Y o rk , 1938) p . 4 5 1 .
18 A l e x i s d e T o c q u e v i l l e , D em ocracy i n A m e r i c a , v o l . I I
(New Y o r k , 1 900 ) p . ~ 1 7 0 . ' -----------------19 L o c . c i t .
o f o u r age f i r s t i m p o v e r i s h e s an d d e b a s e s t h e men who s e r v e
i t , and t h e n a b a n d o n s them t o b e s u p p o r t e d b y t h e c h a r i t y o f
20
th e p u b l i c .”
21
D ixon an d E b e r h a r t , i n s u r v e y i n g t h i s p e r i o d , s t a t e :
But w h i l e c o l o s s a l new i n d u s t r i a l f o r t u n e s w ere b e i n g
b u i l t l a r g e u r b a n p o p u l a t i o n s w e re b e i n g s u b j e c t t o a
new t y p e o f p a u p e r i s m .
In t h e e a r l y days o f c o m p e titio n
c a p i t a l i s t s u s e d a l l t h e i r pow er t o o p p r e s s t h e l a b o r e r s ,
d r i v i n g w ages down t o t h e s t a r v a t i o n p o i n t .
T h is i s a d i f f e r e n t s t o r y fro m t h e one m e n tio n e d a b o v e , w h e r e i n
i t was s a i d t h a t " o p p o r t u n i t i e s f o r w o r k in g i n t h e c i t i e s
gave t h e p e a s a n t a n d t h e s e r f a c h a n c e t o e s c a p e t h e o b l i g a ­
t i o n s t o l o r d and m a s t e r . "
22
th a t
K n ig h t,
e t a l . , a r e c o n v in c e d
r e a l m i s e r y d o e s n o t seem t o h a v e b e e n v e r y g e n e r a l on
th e eve of th e I n d u s t r i a l R e v o lu tio n .
C o n d i t i o n s w ere
l i k e l y t o b e w o rs e w h e re t h e w o r k e r s w e re l a n d l e s s . . .
What t h e new m a c h i n e r y d i d was t o i n c r e a s e t h e am ount o f
d i s l o c a t i o n and t h e movement o f p o p u l a t i o n to w a r d t h e
c e n t e r s w here t h e w o r k e r s w e re s u b j e c t t o m ore d i s c i p l i n e
and r e g i m e n t a t i o n .
"E scape th e o b l i g a t i o n s " b u t f a l l i n t o m is e ry and r e g im e n ta ­
tio n ?
The h a n d i c r a f t s m e n , i n s t e a d o f r i s i n g w i t h t h e t i d e
o f p r o d u c t i o n , f o u n d t h e m s e l v e s d i s p l a c e d b y t h e new t e c h 23
n i q u e s . T o b is t r a c e s t h e t r e n d i n t h e s e w o r d s :
The new f r e e d o m b r o u g h t , a s t h e h a n d i c r a f t s m e n h a d
f e a r e d , a r a p i d e x p a n s i o n o f t h e l a r g e r f a c t o r i e s and
a d i m i n u t i o n o f t h e p r o d u c t i o n b y c r a f t s m e n . Many
s k i l l e d a r t i s a n s f e l l i n t o need and i n t o a d i f f i c u l t
econom ic p o s i t i o n ; t h e y w ere c o m p e lle d t o e n t e r t h e
f a c t o r i e s a s w orkers . . . .
20 I b i d . . p . 1 7 1 .
21 Dixon an d E b e r h a r t , 0£* c l t . , p . 4 5 9 .
22 M e lv in M. K n i g h t , e t a l . , E conom ic H i s t o r y o f E u ro p e i n
Modern T im es ( B o s t o n , 19 28) p p . 3 9 4 - 3 9 5 .
23 H. T o b i s , Das M i t t e l s t a n d s p r o b l e m d e r N a o h k r l e g s z e l t und
s e i n e S t a t l s t l s c h e f c r f a s a u n a (Ijrlm m en. 1 9 3 0 ) p . 3 :
tra n s la tio n o u rs.
H eath i s s i m i l a r l y q u o ted as s a y in g t h a t "a c o n s id e r a b le
num ber o f t h e a r t i s a n s a r e d r i v e n fro m a s k i l l e d t o an u n 24
s k i l l e d t r a d e t h r o u g h t h e p r e s s u r e o f eco nom ic f o r c e s . "
H e a t h ' s s t u d y was b a s e d on t h e o c c u p a t i o n a l c e n s u s a t t h e
end o f t h e n i n e t e e n t h c e n t u r y , a f t e r m o st o f t h i s p a r t i c u l a r
k in d o f d i s l o c a t i o n had tak en p l a c e .
B r ie f s r e f e r s th e
p r o l e t a r i a n i z a t i o n w h ic h " h a s g o n e on a t an i n c r e a s i n g r a t e . "
The s o c i a l s t r u c t u r e o f t h e a g e o f I n d i v i d u a l i s m .
It
h a s b e e n c h a r a c t e r i s t i c o f some w r i t e r s t o p re s u m e t h a t b e ­
c a u s e one h i e r a r c h i a l o r g a n i z a t i o n
( t h e f o u r e s t a t e s ) gav e
way t o a n o t h e r ( t h e i n d u s t r i a l - f i n a n c i a l s y s te m w i t h i t s
many o c c u p a t i o n a l c a t e g o r i e s )
t h a t t h e s e new f u n c t i o n s
b r o u g h t "up" w i t h them new p e r s o n n e l , p e o p l e n o t o n l y new
i n t h e f u n c t i o n b u t a l s o new i n t h e s t a t u s t h a t i t r e p r e ­
se n te d .
The f a c t t h a t new c l a s s a l i g n m e n t s a ro u n d f u n c t i o n s
to o k p l a c e i s n o t p r o o f t h a t t h o s e f a m i l i e s l o n g a s s o c i a t e d
w i t h t h e o l d e r e co n o m ic s y s te m n e c e s s a r i l y f a i l e d t o make
t h e t r a n s f e r e n c e and t o p l a y an e q u i v a l e n t p a r t i n corir o i l i n g
t h e new o r g a n i z a t i o n .
Anyone f a m i l i a r w i t h t h e r o s t e r o f
l e a d i n g f a m i l y names i n e i t h e r P r a n c e , E n g l a n d , o r Germany
w i l l r e c o g n i z e how s w i f t t h e y w ere i n a d j u s t i n g t h e m s e l v e s
t o t h e new s i t u a t i o n s .
24 Q u o te d i n S o r o k i n , ojc. c i t . , p . 4 4 8 .
25 G o e tz A. B r i e f s , The P r o l e t a r i a t (New Y o r k , 1 937) p . 1 8 6 .
The s o c i a l c l a s s p ro b le m i n t h e n i n e t e e n t h c e n t u r y i s
c o n f u s e d ( 1 ) b y p o l i t i c a l c h a n g e s an d new f r a n c h i s e p r i v i l e g e s ,
(2 ) b y e c o n o m ic c h a n g e s i n e v e r y s p h e r e ,
(3 ) b y c h a n g e s i n
f a s h i o n s , e s p e c i a l l y i n d r e s s , and (4 ) b y t h e w i d e s p r e a d
s o c i a l and p h i l o s o p h i c a l r e v e r b e r a t i o n s o f t h e p o l i t i c o i n d u s t r ia l c la ss s tr u g g le .
I n t h e f r a n c h i s e s p h e r e and i n
t h e r e a l m o f f a s h i o n , d e m o c ra c y l e d t o a c e r t a i n amo\m t o f
e g a lita ria n is m .
At l e a s t i t
seem ed so on t h e s u r f a c e .
E very
man h a d a v o t e , and e v e r y man c o u l d , t h e o r e t i c a l l y , d r e s s
a c c o rd in g to th e fa s h io n s of th e s e a s o n .
H ow ever, b y w a t c h ­
i n g t h e s o c i a l c l a s s e s a t p l a y and a t w o r k , w hat h a p p e n e d
t o t h e n o b i l i t y , t h e h a u t e b o u r g e o i s i e . t h e m id d l e c l a s s e s ^
and t h e m a s s e s o f w o r k in g men
can b e s e e n .
One m u s t , o f c o u r s e , be a w a re o f t h e tr e m e n d o u s amount
o f p r o p a g a n d a w h ic h h a s b e e n and s t i l l i s
is s u e d in p r a is e
o f t h e a g e o f i n d i v i d u a l i s m and c a p i t a l i s m .
Except f o r
some church m en and t h e i r spokesm en (a n d e x c e p t f o r t h e
s o c i a l i s t c r i t i c i s m s ) , i t h a s o n ly r e c e n t l y b e e n o p e n ly
s t a t e d t h a t t h e i n d u s t r i a l s y s te m f a i l e d
to th e p e o p le .
In f a c t ,
to b rin g o p p o rtu n ity
t h e r e e x i s t s a s c h o o l w h ic h p r e a c h e s
l o u d l y t h e v i r t u e s o f f e u d a l i s m a s o v e r a g a i n s t t h e m odern
age.
N o t h i n g i s r e v e a l e d and n o t h i n g i s p r o v e d b y t h e glo w ­
i n g and dam ning w ords on e a c h s i d e .
A se arc h f o r th e tr u th
i n v o l v e s i g n o r i n g p r o p a g a n d a f o r an d a g a i n s t t h e c a p i t a l i s t
s y s te m and a c o n s c i e n t i o u s s e e k i n g a f t e r t h e f a c t s t h e m s e l v e s .
The f o l l o w i n g summary o f t h e c o n d i t i o n s i n w h ic h t h e
285.
w o r k e r s o f t h e new o r d e r h a d t o l i v e , i t s e l f q u i t e s i m i l a r
t o t h e f o r e g o i n g d a t a , m a y b e s u f f i c i e n t t o c o n c lu d e t h i s
s e c t i o n w h ic h h a d d e a l t l a r g e l y w i t h t h e f a t e o f t h e new
26
i n d u s t r i a l w orkers:
P r o f i t s , n o t human n e e d s o r w e l f a r e , d e c i d e d i n w hat ty p e s
o f t o w n s , i n w hat k i n d s o f s t r e e t s , a n d i n what s o r t o f
h o u s e s t h e w o r k e r s m u s t make t h e i r h o m e s . C i t i e s grew
w i t h o u t p l a n a n d w i t h l i t t l e c o n s i d e r a t i o n f o r t h e w a n ts
o r n e e d s o f human b e in g s . . . . D e s p i t e t h e pow er and
w e a l t h w h ic h t h e new t e c h n o l o g y a f f o r d e d , t h e l i f e o f t h e
a v e r a g e c i t y d w e l l e r s a n k t o a new low d u r i n g t h e f i r s t
h a l f c e n t u r y a f t e r W att d e v e l o p e d h i s p r a c t i c a l ste a m
e n g in e .
P e o p le w orked l o n g e r h o u r s u n d e r more f a t i g u i n g
a n d l e s s h e a l t h y c o n d i t i o n s ; t h e y l i v e d i n f i l t h y cramped
q u a r t e r s w i t h o u t r u n n i n g w a t e r o r sewage f a c i l i t i e s , and
p o p u l a t e d t h e c i t i e s w i t h u n w a n te d and u n c a r e d f o r c h i l ­
d r e n who o f t e n f o u n d s u r c e a s e m ore q u i c k l y t h a n t h e i r
p a re n ts in p a u p e rs' g ra v e s .
27
L ec k y su m m arize s t h e s i t u a t i o n t h u s :
W e a lth was im m e n se ly i n c r e a s e d , b u t t h e i n e q u a l i t i e s
o f i t s d i s t r i b u t i o n w ere a g g r a v a t e d . The c o n t r a s t b e ­
tw e e n e x t r a v a g a n t l u x u r y and a b j e c t m i s e r y became much
m ore f r e q u e n t a n d much m ore g l a r i n g t h a n b e f o r e . The
w e a l t h y e m p lo y e r c e a s e d t o l i v e among h i s p e o p l e ; t h e
q u a r t e r s o f t h e r i c h and o f t h e p o o r becam e more d i s t a n t ,
and e v e r y g r e a t c i t y so o n p r e s e n t e d t h o s e s h a r p d i v i s i o n s
o f c l a s s e s and d i s t r i c t s . . . .
von W iese s a y s t h a t t h e com ing o f t h e i n d u s t r i a l
r e v o l u t i o n " g r e a t l y a c c e l e r a t e d t h i s t e n d e n c y to w a rd s t r a t i f i ­
c a t i o n i n E n g l i s h s o c i e t y . . , The c l e f t b e tw e e n t h e c l a s s e s
28
was w id e n e d b y t h e wage s y s te m . . . . "
The p e r i o d o f h i s ­
t o r y , r e f e r r e d t o b y Dawson and G e t t y s a s one o f g r e a t e r
e q u a l i z a t i o n o f o p p o r t u n i t y and b y S o r o k i n a s one o f m o st i n ­
t e n s e v e r t i c a l m o b i l i t y , . v o n W ie se c a l l s b y a n o t h e r nam e.
26 D ix o n and E b e r h a r t , o g . c l t . , p , 4 5 7 .
27 Q u o te d i n L e o p o ld von W ie s e , S y s t e m a t i c S o c i o l o g y , t r a n s ­
l a t e d an d a d a p t e d b y Howard B e c k e r (New Y o r k , 1932)
p . 639.
28 L o c , c l t .
The m id d le c l a s s e s .
As h a s b e e n s e e n i n t h e i n s t a n c e
o f t h e f a t e o f t h e s m a l l i n d e p e n d e n t c r a f t s m e n , ’’t h e lo w e r
29
m id d le c l a s s was t h r e a t e n e d i n m o s t f i e l d s . ”
(I t is a
m a tte r o f i n t e r p r e t a t i o n as to w h e th e r t h e in d e p e n d e n t h a n d i­
c r a f t s m e n o f t h i s p e r i o d w ere a p a r t o f t h e l o w e r o r m id d l e
c la ss e s — i t
i s p r o b a b l y m ore c o r r e c t t o d e f i n i t e l y i d e n t i f y
them w i t h t h e lo w e r m id d le c l a s s . )
T h is g r e a t g r o u p s t o o d
t o l o s e b y t h e coming o f m ass p r o d u c t i o n .
S i m i l a r l y when t h e f o r c e d s a l e s o f l a n d w h ic h accom­
p a n ie d t h e F re n c h R e v o l u t i o n w e re m ad e, i t was n o t t h e r u r a l
p r o l e t a r i a t , w hich owned l e s s t h a n a h e c t a r e o f l a n d o r n o n e
a t a l l ( c o n s t i t u t i n g i n many p a r t s o f F r a n c e a m a j o r i t y o f
t h e p o p u l a t i o n ) w h ic h was a b l e t o b u y u p t h e n a t i o n a l
30
p r o p e r t y * sSe s t a t e s ;
Owners o f means an d f a r m e r s on a l a r g e s c a l e • . . c o n ­
s t i t u t e d o n l y a s m a ll m i n o r i t y o f t h e r u r a l p o p u l a t i o n .
I t was e s p e c i a l l y t h i s c l a s s t h a t , a t t h e t im e o f t h e
R e v o lu tio n , p r o f i te d by t h e a b o l i t i o n of th e m a n o ria l
sy ste m and t h e s a l e o f t h e n a t i o n a l p r o p e r t y .
31
K n i g h t , e t a l . , t e l l t h e same s t o r y ;
The G overnm ent f u r t h e r m o r e t o o k s t e p s t o d e s t r o y l a r g e
la n d h o ld in g s th ro u g h c o n f i s c a t i o n o f th e la n d s h e ld by
t h e Crown, t h e n o b i l i t y , and t h e C h u rc h . . . . A f t e r
t h e ir c o n fis c a tio n a r e l a t i v e l y sm a ll p a r t of th e se
l a n d s was p u r c h a s e d by t h e p e a s a n t , b u t a s u b s t a n t i a l
a r e a was a b s o r b e d by t h e m i d d l e c l a s s , w h ic h l e t o u t i t s
n ew ly a c q u i r e d l a n d s t o t e n a n t f a r m e r s .
29 F a h l b e c k , 0£ . c l t . . p . 2 6 5 .
30 S e e , o £ . c T t . . p p . 5 and 6 .
31 K n i g h t , e t a l . , 0£ . c l t . , p . 4 8 1 .
T h e r e was an i n c r e a s e i n o p p o r t u n i t y , t h e n , f o r c e r ­
t a i n e l e m e n t s i n t h e u p p e r m id d l e c l a s s , e s p e c i a l l y t h e
chance to p la c e a l l i t s
b ility #
o f f s p r i n g in p o s i t i o n s o f r e s p e c t a ­
B u t t h e r i s e o f t h e t h i r d e s t a t e "was o f m e a n in g
an d c o n s e q u e n c e o n l y b e c a u s e o f t h e f a c t t h a t t h e f o u r t h
e s ta te e x iste d
« . . .
The t h i r d e s t a t e
32
f o u r t h and r a i s e i t s e l f above i t . ”
c o u ld e x p l o i t t h e
’’One m u s t n o t f o r g e t — and t h i s f a c t i s o f g r e a t
Im p o rta n c e - - t h a t th e b o u r g e o i s ie i s t h e h e i r o f t h a t
33
a ris to c ra c y ,”
sa y s S i e y e s , m e a n in g t h e n o b i l i t y .
The i m p l i c a t i o n s o f t h e g ro w th o f a new c l a s s ,
th e
w h i t e - c o l l a r w o r k e r s , u s u a l l y a s s o c i a t e d w i t h t h e lo w e r
m id d le c l a s s b e c a u s e o f t h e i r s u p e r i o r i t y i n d r e s s , m a n n e r s ,
and s o c i a l c o n t a c t s o v e r o t h e r w o r k e r s , d u r i n g t h e l a t t e r
h a l f o f t h e n i n e t e e n t h c e n t u r y , were t r e m e n d o u s .
I t is
g e n e r a l l y b e l i e v e d (1 ) t h a t t h e y had h i g h e r c l a s s s t a t u s
th a n m a n u a l w o r k e r s ,
(2 ) t h a t t h e y w e re more l i k e l y t o h a v e
a ch an ce t o a sc e n d th e s o c i a l s c a le th an had m anual w o rk e rs,
and (3 ) t h a t t h e y w ere l i k e l y t o be c o n s e r v a t i v e i n p o l i t i c a l
p h ilo s o p h y .
H ow ever,
A l l t h r e e o f t h e s e i te m s a r e p r o b a b l y t r u e .
t h e r o u t e t o s o c i a l s u c c e s s i s n a rr o w and c o n t a i n s
many o b s t a c l e s t o d e t e r t h e c l i m b e r , ev en i n t h i s n o n -m a n u a l
sphere o f b u s in e s s .
Many a man s t a r t s o u t t o b e a b a n k e r and
32 G e o rg S im m el, S o z l o l o g i e (M unich, 1923 e d i t i o n ) p . 1 64 ;
tr a n s la tio n ours.
33 Q u o te d i n P . C o u d e r t , La b o u r g e o i s i e e t l a q u e s t i o n s o c i a l e
( P a r i s , 1914) p . 31; t r a n s l a t i o n o u r s .
ends a s a d e a d - e n d c l e r k .
(The r e s e a r c h e r h a s b e e n t o l d
t h a t an e x e c u t i v e o f a l a r g e F i f t h Avenue d e p a r t m e n t s t o r e
made a s t a t i s t i c a l s t u d y sh o w in g t h a t o u t o f 857 g i r l s who
e n t e r r e t a i l i n g t o make a c a r e e r o f m e r c h a n d i z i n g w i t h t h e
hope o f r i s i n g t o a p o s i t i o n o f i m p o r t a n c e — b u y e r , f o r
i n s t a n c e — o n l y one woman r e a c h e s t h e g o a l .
I n E u ro p e
t h e c o m p e t i t i o n i s e v e n s t i f f e r t h a n i n A m e r i c a .)
The f a c t s w h ic h n e e d t o b e e m p h a s iz e d a b o u t t h e w h i t e
c o lla r c la ss
(c o n ta in in g , as has been n o te d , r e p r e s e n ta tiv e s
of s e v e ra l o f th e s o c ia l c la s s e s ) a re :
(1 ) t h e way I n w h ich
s a l a r i e s a r e u n d e r c u t b y t h e open c o m p e t i t i o n f o r p o s i t i o n s ,
(2 ) t h e l a c k o f o r g a n i z a t i o n w i t h w h ic h t o r e s t r i c t t h e
l a b o r m a r k e t an d h e l p s q u e e z e o u t p a r t o f t h e p r o f i t s o f
c a p ita lis m and im p e ria lis m ,
(3 ) t h e c o s t w h ic h r e s p e c t a ­
b i l i t y p u t s on p e r s o n s s t r u g g l i n g t o l i v e up t o t h e l e v e l o f
c o n v e n t i o n a l i t y , t h e i r f r e q u e n t c h i l d l e s s n e s s , and ev en t h e
in ad eq u acy o f t h e i r d i e t ,
(4 ) t h e f a l s e s e n s e o f s o c i a l
i m p o r t a n c e b a s e d on c o n t a c t w i t h p e r s o n s o f s o c i a l l y h i g h e r
r a n k , and (5 ) t h e t e n d e n c y f o r c o m p a n ie s t o em ploy p r e s e n t ­
a b l e y oung m en, w h ic h h a s s e r i o u s I m p l i c a t i o n s f o r t h e s e
same yo ung men t e n y e a r s l a t e r .
When S o i l u n d Haben was w r i t t e n t h e t y p i c a l c l e r i c a l
w o rk er w a s , e v e n I f i n a r u t , a p a r t o f t h e " f i r m ' s f a m i l y . "
T h a t was j u s t a f t e r t h e m id d l e o f th e l a s t c e n t u r y .
g e n e ra tio n s th e s a la r i e d
"For
e m p lo y e e s w e re n o t o n l y i n t h e
m id d l e c l a s s b u t w e re a l s o w e l l p a i d
. , . e co n o m ic a lly
34
s e c u re and s o c i a l l y r e s p e c t e d . ”
As a c o n s e q u e n c e o f
t h e i r g r o w th i n n u m b e r s , and t h e f a c t o r s m e n t i o n e d a b o v e ,
th e y have been in p a r t p r a c t i c a l l y p r o l e t a r i a n i z e d .
In w r i t in g o f th e w h ite c o l l a r e d em p lo y ees, G e ig e r,
who s t r u g g l e d c o n s c i e n t i o u s l y w i t h d e f i n i t i o n s ,
says th a t
t h e s e c a t e g o r i e s ( c i v i l s e r v a n t s and s a l a r i e d e m p l o y e e s ) ,
t a k e n a l o n e , ’’a r e n o t a c l a s s
. . • b u t in our b u re a u 35
c r a t i c a l l y b u r d e n e d German w o r l d , t h e y a r e a l m o s t a c a s t e . "
(He means h e r e a s e r i e s o f h e r e d i t a r y o c c u p a t i o n s . )
A n o th e r t y p e a n d k i n d o f m i d d l e c l a s s member was t h e
yeom an.
I n E n g l a n d , a c c o r d i n g t o t h e e x p e r i e n c e o f C ra w le y
a s d e s c r i b e d b y G r a s , t h e n i n e t e e n t h c e n t u r y saw t h e yeoman
t y p e grow g r a d u a l l y d u r i n g t h e f i r s t h a l f o f t h e c e n t u r y ,
o n l y t o f a l l I n t o u t t e r h e l p l e s s n e s s , b a n k r u p t c y , and f l i g h t
b e f o r e t h e f i r s t W orld War.
tre n d o f th e
G r a s d e s c r i b e s t h e downward
36
s o l i d yeom anry t h u s :
T h i s i s t h e en d o f t h e yeomen o f t h e V i l l a g e o f
Cisvley! How a r e we t o e x p l a i n t h e i r g o i n g ? L o c a l l y
I t I s s a i d t h a t t h e yeoman f a m i l i e s d i e d o u t . T h a t i s
i n a s e n s e t r u e , b u t I n a n o t h e r s e n s e i t i s n o t . The
f a m i li e s d id n o t d ie o u t — o n ly t h a t p a r t re m a in in g
i n t h e v i l l a g e d i e d o u t . Had t h e f a m i l y o c c u p a t i o n s
and e s t a t e s b e e n p r o s p e r o u s and p r o m i s i n g , t h e f a m i l i e s
would p r o b a b l y h a v e s u p p l i e d r e p r e s e n t a t i v e s t o c o n t i n u e
t h e b u s i n e s s o f f a r m i n g . . . . F a r m e r s w ere o b l i g e d , I t
was s a i d , t o m o rtg a g e t h e i r h o l d i n g s an d w e re n e v e r a b l e
34 E d u a rd H eim ann, " S o z i a l i s m u s u n d M I t t e l s t a n d , " S o n d e r d r u c k a u s Heue B l & t t e r f f l r d e n S o z i a l i s m u s ( B e r l i n ,
1 9 32) p . 7 ; t r a n s l a t i o n o u r s .
35 T h eo d o r G e i g e r , D ie S o z l a l e S c h l c h t u n g d e s D e u ts o h e n
V o lk e s ( S t u t t g a r t , 1 9 3 2 ) p . 9 8 .
36 Norman S c o t t and E t h e l C u l b e r t G r a s , The E conom ic and
S o c i a l H i s t o r y o f a n E n g l l s h V i l l a g e ( C r a w le y , Hamp- .
s h i r e ) A.D . 9 0 9 -1 9 2 8 ( C a m b r id g e , M a s s . , 1 930) p . 1 2 6 .
t o p a y o f f t h e m o r t g a g e . T h is i s a t l e a s t s u g g e s t i v e
o f t h e t r u t h . . . . What t h e y c o u ld n o t do was com pete
w i t h A m erican w heat an d A u s t r a l i a n wool an d m u t t o n .
Prom a b o u t 1879 t o p e r h a p s 1914 was a t r y i n g t i m e f o r
C r a w le y 1s a g r i c u l t u r e . . . . T h o se C ra w le y c o t t a g e r s
who h a d gone t o A m erica and t o A u s t r a l i a w e re w r e a k i n g
v e n g e a n c e on t h e yeoman f a r m e r s who h a d t a k e n t h e h o l d ­
in g s o f t h e i r f a m ilie s .
Thus a n o t h e r t r e n d i n t h e n i n e t e e n t h c e n t u r y , a s i n t h e r o a r
in g tw e n tie s o f t h i s c e n tu ry in th e U n ite d S t a t e s , p o in te d
downward f o r a l a r g e s e c t i o n o f t h e m id d l e c l a s s — t h e i n d e
pendent farm e r.
A p a r t o f t h e d i s l o c a t i o n was c a u s e d b y t h e
su d d e n g r o w th o f c i t i e s , w i t h t h e c o r r e s p o n d i n g p r o s p e r i t y
w h ic h drew many s o n s fro m t h e f a r m s i n t o t h e c i t i e s .
O n ly
i n p a r t s o f P r a n c e and Germany was t h e t e m p t a t i o n t o " s e l l
o u t and go t o town" r e s i s t e d w i t h t h e t o u g h s t e e l n e r v e s o f
p easan t stu b b o rn n e ss.
The s q u e e z i n g o u t o f t h e yeoman s t o c k i n C ra w le y (a n d
" t h e c o n d i t i o n o f C raw ley i s n o t p e c u l i a r " ) h a s s e r i o u s im ­
p lic a tio n s.
G ra s s a y s t h a t t h o s e r e m a i n i n g " l a c k a m b i t i o n ,
37
v i g o r , i n i t i a t i v e , z e s t , an d p r o m i s e . "
Worse y e t , h e
s t a t e s t h a t " t o b u i l d u p some o f t h e o l d yeoman q u a l i t i e s
w ould b e an e v e n f i n e r e v o l v e d f e a t t h a n b u i l d i n g up
fe rtility
p o n d e rin g .
on a b a r r e n u p l a n d , " w h ic h i s a t h o u g h t w o r t h
W hether one l i k e s i t o r n o t , f e u d a l i s m d i d p r o ­
d u c e t h e yeoman, and t h e m odern a g e o f w o r ld t r a d e , i n t h i s
c a s e , l a i d him lo w .
Of t h e t h r e e f o r e g o i n g t y p e s o f l o w e r m id d l e c l a s s
37 I b i d . , p . 1 3 9 .
fa m ilie s
( w h i t e - c o l l a r , yeoman, an d m a s t e r c r a f t s m a n ) i t
c a n b e s a i d t h a t a l l o f them t e n d e d t o s u f f e r d u r i n g t h e
n i n e t e e n t h c e n tu ry , in term s o f r e l a t i v e
so c ia l p re s tig e .
T h e re i s r e a s o n t o b e l i e v e t h a t o n l y i n P r a n c e t h e l o w e r
m id d l e c l a s s p e a s a n t c o n t i n u e d h i s e v o l u t i o n a r y d e v e lo p m e n t
u p w a rd s t o s t u r d y , i n d e p e n d e n t f a r m e r .
The m id d le c l a s s i t s e l f
lo w e r m id d l e c l a s s )
( a s d i s t i n g u i s h e d from t h e
ten d ed , o f c o u rs e , to p ro s p e r w ith th e
in c r e a s e in t r a d e , in c i v i l s e r v i c e s , in p r o f e s s i o n a l a c t i v ­
i t i e s , in p o l i t i c s .
I t shared c o n s id e ra b ly in th e g lo ry
w h ic h came t o t h e b o u r g e o i s i e , now ( a s b e f o r e ) a p a r t o f t h e
u p p er c la s s e s in w e ste rn E u ro p e.
Its
c h i e f h a p p i n e s s came
as a r e s u l t o f th e f a c t t h a t th e in c r e a s in g p o p u la tio n ,
i n c r e a s e i n town l i f e , an d t h e f a c t o r s m e n t i o n e d ab ove g a v e
th e m id d le c l a s s a chance t o p la c e p r a c t i c a l l y a l l o f i t s
so n s i n some k i n d o f r e s p e c t a b l e p o s i t i o n .
The t i g h t n e s s
o f t h e s i x t e e n t h c e n t u r y , w h ic h c a u s e d t h e g e n t r y i n E n g la n d
t o p u t t h e i r y o u n g e r so n s i n t o m a n u a l j o b s , h a d p a s s e d .
The u p p e r c l a s s e s ; n o b i l i t y a n d h a u t e b o u r g e o i s i e .
In P ra n c e , t h e n o b i l i t y , w ith o u t i t s
sp e c ia l p riv ile g e s ,
r e m a in e d d i v i d e d a s b e f o r e I n t o c l i q u e s o r l e v e l s o f e x ­
c lu s iv e n e s s.
T h e r e w ere (1 ) t h o s e o f r o y a l l i n e a g e ,
o f th e o ld f e u d a l a r i s to c r a c y ,
(2 ) t h o s e
(3 ) t h o s e whose f a m i l i e s w ere
r a is e d to th e p eerage a f t e r th e s ix te e n th c e n tu ry ,
a r i s t o c r a c y o f th e d i f f e r e n t e m p ire s ,
(5 )
(4 ) t h e
th e p a p a l n o b i l i t y ,
an d (6 ) n o t a b l e s who c o u ld be I n c l u d e d I n t h e a r i s t o c r a c y
w ith c e r ta i n r e s e r v a tio n s .
T h e r e w ere a l s o , o f c o u r s e , t h e
v a r i o u s r a n k s w i t h i n t h e s e g r o u p i n g s w h ic h h a d p r e c e d e n c e
over each o th e r .
In t h e n i n e t e e n t h c e n tu ry , as b e f o r e , a l l th e n o b i l i t y
was n o t i n one c l a s s ; n o r w ould a n y l e v e l o f n o b le m e n , e x ­
c e p t t h e v e r y h i g h e s t , f a i l t o b e e q u i v a l e n t t o t h a t o f some
p e r s o n s from among t h e b o u r g e o i s i e .
c o u rse , n o ta b ly a f f l u e n t.
The l a t t e r b e c a m e , o f
They w ere a c q u i r i n g w e a l t h a t a
v e r y r a p i d r a t e d u r i n g t h e n i n e t e e n t h c e n t u r y , a s i s shown
38
in th e fo llo w in g :
The d i f f e r e n c e b e tw e e n t h e o l d regim e and t h e p r e s e n t v a r y
w ith th e rungs of th e s o c i a l la d d e r . For in s ta n c e , th e y
a r e f a r l e s s c o n s p i c u o u s i n t h e lo w e r c l a s s e s w hose i n ­
com e, t a k e n a s a w h o le , h a d o n l y d o u b le d up t o 1 91 3;
w h e re a s, f o r th e v e ry w e a lth y , t h e i r f o r tu n e s had in c r e a s e d
six fo ld .
One o f t h e p l a c e s w here t h e m i n g l i n g o f b o u r g e o i s
an d n o b l e p e r s o n s c o u l d b e s e e n was i n t h e o f f i c e r s ' c o r p s
39
o f t h e a rm y . F e r r e o b s e r v e s t h e f o l l o w i n g :
The m i l i t a r y l e a d e r s h i p h a s a lw a y s b e e n t h e f u n c t i o n
o f t h e ^ L i t e . U nder t h e o l d r e g i m e I t was r e s e r v e d e x ­
c l u s i v e l y t o th e a r i s t o c r a c y o f b i r t h . Even t o d a y I t
d ra w s u n t o i t s e l f a g r e a t many o f t h e s o n s o f t h e n o b i l i t y .
The r e m a i n d e r o f t h e o f f i c e r s come from t h e b o u r g e o i s i e . .
An o f f i c e r ' s w i f e may n o t h a v e a b u s i n e s s , o r h o l d a
p o s i t i o n , even i f i t i s an h o n o r a b l e p r o f e s s i o n .
The same b l e n d , a n d t h e same m ono poly o f p o s i t i o n s o f p r e s ­
t i g e , c h a r a c t e r i z e d n o t o n l y t h e F r e n c h a rm y , b u t a l s o h a s
38 V ic o m te G e o rg e s d 'A v e n e l , H I s t o i r e de l a f o r t u n e f r a n q a i s e
( P a r i s , 1 9 2 7 ) n . 124; t r a n s l a t i o n o u r s .
39 L o u i s e M a r ie F e r r e , Les c l a s s e s s o o i a l e s d a n s l a F r a n c e
c o n te m p o r a in e ( P a r i s , 1 9 3 6 ) pT I 6 7; t r a n s l a t i o n o u r s .
been s t r i k i n g l y a p p a re n t in th e arm ies of th e B r i t i s h and
Germans e v e n u p t o t h e p r e s e n t .
J u s t a s tim e and sp ace p r e v e n t a d is c u s s io n o f th e
s o c i a l c l a s s e s o f e a s t e r n E u ro p e and A s i a , j u s t so do t h e y
prevent a f u l l d e s c r ip tio n of th e la v ish n e ss
( e s p e c i a l ly in
f o o d , w h ic h was f r e q u e n t l y b a k e d an d s e r v e d i n g r o t e s q u e
a n d h i g h l y o r n a m e n te d d e s i g n s f a r i n e x c e s s o f t h e r e q u i r e ­
m e n ts o f t h e d i n e r s ) , o f t h e m a n n e r s , t h e d r e s s , and t h e
o u tlo o k o f th e c a p i t a l i s t s o f th e n i n e t e e n t h c e n tu ry .
The
f a c t t h a t t h e s e f a m i l i e s w ere n o t c h a r a c t e r i s t i c a l l y u p ­
s t a r t s , a s t h e y h a v e b e e n c a r i c a t u r e d b y some w r i t e r s , h a s
a l r e a d y b e e n i n d i c a t e d a t t h e o p e n in g o f t h i s c h a p t e r .
C o n c lu sio n .
I t i s o b v io u s t h a t by th e end o f th e
p e r i o d u n d e r r e v i e w higjh c a p i t a l i z a t i o n
p a r t i c u l a r l y w e re b a r r i e r s t o
and m ass p r o d u c t i o n ,
s o c i a l m o b i l i t y and t o some
e x t e n t d e s t r o y e r s o f t h e s e c u r i t y o f some p a r t s o f t h e lo w e r
and m i d d l e c l a s s e s .
"M ost u n d e r t a k i n g s a r e I n a c c e s s i b l e t o
40
in d iv id u a ls”
i n a w o r l d d o m in a te d b y c o r p o r a t i o n s , w here
s u p e r - t r u s . t s can b u y t h e i r way i n t o
e v e r y g ro w in g I n d u s t r y .
The c e n t u r y w h ic h i s fam ous f o r t h e e x t e n s i o n o f t h e
b a l l o t , f o r th e I n t r o d u c t io n of u n i v e r s a l e d u c a tio n ( c h i e f l y
e l e m e n t a r y , I n d u s t r i a l , an d m i l i t a r y ) , and f o r t h e " f r e e i n g
o f men from t h e b o n d a g e o f f e u d a l i s m and t h e l i m i t a t i o n s on
40 A do lp h e C o s t e , L es c o n d i t i o n s s o c i a l e s du b o n h e u r e t de
l a f o r c e ( P a r i s , 1885) p . 1 0 0 ; t r a n s l a t i o n o u r s .
294.
t r a d e and o c c u p a t i o n " — t h i s c e n t u r y can b e s a i d t o h a v e
b e n e f i t e d t h e u p p e r an d m i d d l e c l a s s e s o f w e s t e r n E urope
more t h a n i t d i d t h e l o w e r m i d d l e and t h e l o w e s t c l a s s e s .
I t I s p ro b a b le t h a t th e g r e a t c o n v u ls io n s of th e l a s t
t h r e e d e c a d e s h a v e u p r o o t e d m ore c l a s s e s and open ed more new
g a t e s t o more o f t h e m a s s e s t h a n d i d a c e n t u r y and a h a l f o f
f r e s h and a r r o g a n t c a p i t a l i s m .
One s e e s on e v e r y hand t h e
f a l l o f r o y a l h o u s e s , th e f l i g h t o f c a p i t a l i s t s , o f lan d ed
n o b le m e n , o f r e n t i e r s ,
t h e r i s e o f Brown S h i r t s , t h e
d e m o c r a t i z a t i o n o f t h e B r i t i s h A i r F o r c e , t h e s p y i n g on and
s u s p e c t i n g and d i s r e s p e c t i n g o f b o u r g e o i s e l e m e n t s — t h e s e
a r e t h e new d e v e l o p m e n t s , n o t t o m e n t i o n t h e s o c i a l and
p o l i t i c a l re v o lu tio n s of th e tim e s.
Compared t o t h i s , t h e
e r a p r e c e d i n g 1914 was o ne o f g r e a t s o c i a l c l a s s s t a b i l i t y .
The i n d u s t r i a l w o r k e r s , t h r o u g h t h e t r a d e u n i o n s
and t h e b a l l o t , s t a b i l i z e d
th e ir r e la tiv e p o s itio n s .
In
a b o u t 1880 t h e a g r i c u l t u r a l w o r k e r s a t t a i n e d t h e l e v e l o f
l iv in g of th e E liz a b e th a n
W orld W ar,
e ra and h e ld I t u n t i l th e f i r s t
The b u r e a u c r a t s , o f f i c i a l s , and c i v i l s e r v a n t s
o f F r a n c e , Germany, a n d E n g la n d f o rm e d d i s t i n c t p a r t s o f
s o c i e t y and c o n t r i b u t e d g r e a t l y t o t h e o p p o r t u n i t i e s o f
t h e m id d l e c l a s s e s .
The p r o f e s s i o n s waxed i n n u m b e r.
The
b u s i n e s s and c o m m e r c ia l f a m i l i e s o f t h e s e c o u n t r i e s showed
s t r i k i n g r e s e m b l a n c e t o t h e B u d d e n b r o o k s , e x c e p t i n E n g la n d ,
i n p a r t , w here t h e y t e n d e d t o m erg e I n t o t h e n o b i l i t y and t o
become t h e m o st a r i s t o c r a t i c t y p e o f i m p e r i a l - c a p i t a l i s t
t h e w o r ld h a d e v e r s e e n .
The f o r e - g o i n g c h a p t e r s t r a c e d i n a g e n e r a l way t h e
s o c i a l c l a s s d e v e lo p m e n t and c h a n g e s i n E u ro p e fro m e a r l y
G re e c e t o t h e W orld 'War; t h e o n e s i m m e d i a t e l y t o f o l l o w
w i l l do t h e same f o r t h e A m e ric an c o l o n i e s and t h e W estw ard
Movement t o d e t e r m i n e , i f p o s s i b l e ,
t h e d e g r e e , a m o u n t, a n d
k in d s o f s o c i a l c l a s s r i g i d i t y and m o b i l i t y h e r e .
CHAPTER X
THE AMERICAN DREAM
O p p o s i t e t h e t i t l e p a g e o f a w e l l known volume o f
h i s t o r y , p u b lish e d in 1927, th e r e i s p r in te d th e fo llo w in g
1
sta te m e n t:
O u rs i s a c o u n t r y w here men s t a r t fro m an hum ble
o r i g i n • • • a n d w here t h e y c an a t t a i n t h e m o st
e l e v a t e d p o s i t i o n s , o r a c q u i r e a l a r g e am ount o f
w e a lth , a c c o rd in g to th e p u r s u its th e y e l e c t fo r
t h e m s e l v e s . No e x c l u s i v e p r i v i l e g e s o f b i r t h , no
e n t a l l m e n t o f e s t a t e s , no c i v i l o r p o l i t i c a l d i s ­
q u a l i f i c a t i o n s , s t a n d i n t h e i r p a t h ; b u t one h a s a s
good a o h an o e a s a n o t h e r , a c c o r d i n g t o h i s t a l e n t s ,
p r u d e n c e , an d p e r s o n a l e x e r t i o n s * T h i s I s a c o u n t r y
o f s e l f - m a d e men • • • •
T h i s i s a c o n c i s e an d c l e a r s t a t e m e n t o f t h e A m erican D ream .
If i t
Is tru e th a t t h i s so c ie ty o f f e r s u n lim ite d o p p o rtu n ity
a c c o r d i n g t o t h e t a l e n t s and e n e r g i e s o f i n d i v i d u a l s , t h i s
w i l l pro v e t o b e a v e ry m o b ile s o c i a l c l a s s s y s te m , i f ,
in ­
d e e d one c o u ld c a l l s u c h a f l u i d c o n d i t i o n a s y s te m o f
s o c i a l c la ss e s*
T h e re a r e t h o s e , i n c l u d i n g some o f t h e
m o u l d e r s o f p u b l i c o p i n i o n , who I n s i s t t h a t t h e r e a r e no
s o c i a l c la s s e s in t h i s c o u n try .
What h a v e b e e n t h e o r i g i n s o f A m e r i c a n <m i d d l e c l a s s
fa m ilie s?
Of t h e h i g h e r c l a s s e s o f o o l o n i a l s o c i e t y ?
t h e p e o p l e who p o p u l a t e d t h e W est?
Of
Of t h e p o o r w h i t e s ?
1 C a l v i n C o l t o n , J u n i u s T r a c t s . no* v i i (New Y o rk , 1 8 4 4 )
p* 1 5 , q u o t e d i n C a r l R u s s e l l F i s h , The R i s e o f t h e
Common Man (New Y o rk , 1 9 2 7 ) o p p o s i t e c o p y r i g h t p a g e .
What h a v e b e e n t h e k i n d s o f o p p o r t u n i t i e s o f f e r e d b y t h i s
r l o h c o n tin e n t?
To whom h a v e t h e s e o p p o r t u n i t i e s b e e n
a v a i l a b l e ? — T h e s e a r e some o f t h e q u e s t i o n s w h ic h t h i s
i n t r o d u c t o r y c h a p t e r , t h e one t o f o l l o w c o n c e r n i n g t h e
c o l o n i a l e r a , and C h a p te r X I I d e a l i n g w i t h t h e W estw ard
M ovem ent, w i l l a t t e m p t t o a n sw e r*
B efo re e x p lo rin g th e f a c t s o f h i s t o r y th e m s e lv e s ,
i t i s p r o p e r t h a t t h e g e n e r a l s t a t e m e n t o f t h e A m erican Dream
b e e l a b o r a t e d and t h a t some c r l t l o l s m and some I m p o r t a n t
q u a l i f i c a t i o n s o f I t b e m a d e , w i t h i n t h e l i m i t s o f tim e
and s p a c e a v a i l a b l e h e r e *
T h a t i s t h e p u r p o s e and f u n c t i o n
o f t h i s ch ap ter*
V e r s i o n s o f t h e A m erican D re am .
T h e r e a r e m any d i f ­
f e r e n t v e r s i o n s o f t h e A m e ric an D re am ,
U s u a l l y no a t t e m p t
I s made t o g i v e c o n c r e t e I l l u s t r a t i o n s o r p r o o f .
i s , a lm o st a lt o g e t h e r , a g e n e r a l i z a t i o n .
The Dream
S om etim es i t i s
e x p r e s s e d a s a h o p e , so m e tim e s a s o p p o r t u n i t y a c t u a l l y b e i n g
t a k e n a d v a n t a g e o f , i n a g e n e r a l w ay.
E i t h e r way, i t I s
w h at I s known t o d a y a s a " s o c i o l o g i c a l m y t h , " w h io h I s t o
s a y s o m e th i n g so w e l l p u b l i c i z e d o r so w i d e l y b e l i e v e d i n
t h a t I t h a s a c q u i r e d som ewhat o f a n a x i o m a t i c c h a r a c t e r .
Even many o f t h o s e who do n o t b e l i e v e i n
t h e A m e ric an Dream
a s o f t o d a y a t t r i b u t e v a l i d i t y t o i t a s o f t h e t h i r t i e s and
f o r t i e s o f th e l a s t c e n tu ry .
I n t h e p a r a g r a p h s t o f o l l o w a num ber o f t h e g e n e r a l i ­
z a t i o n s w h ic h n o r m a l l y f a l l u n d e r t h e c a p t i o n , "The A m e ric an
D r e a m ,” a r e p r e s e n t e d t o fo rm t h e b a c k d r o p f o r t h e m ain
p re s e n ta tio n of h is t o r ic a l r e a l i t i e s
t o w h ic h t h e n e x t two
c h a p te rs w i l l be d e v o te d .
W e r t e n b a k e r s t a t e s one o f h i s v e r s i o n s o f t h e A m e ri­
can Dream i n t h e s e w o r d s : ”When an a l i e n new com er t o t h e
U n i t e d S t a t e s s e e s fro m t h e d e c k o f h i s s t e a m e r t h e S t a t u e
o f L i b e r t y and t h e r a g g e d sk y l i n e o f l o w e r M a n h a t t a n , h e
f e e l s t h a t th e g o a l o f h i s a m b itio n h a s b een r e a c h e d , t h a t
2
th e la n d o f o p p o rtu n ity l i e s b e fo re h im .”
T u r n e r p h r a s e s o ne o f h i s g e n e r a l i z a t i o n s a b o u t t h e
3
o p p o r t u n i t i e s t o b e fo u n d on t h e f r o n t i e r t h u s :
The l a n d s , p r a c t i c a l l y f r e e , i n t h i s v a s t a r e a n o t o n l y
a t t r a c t e d th e s e t t l e r , b u t fu rn is h e d o p p o r tu n ity f o r
a l l men t o hew o u t t h e i r own c a r e e r s * The w i l d e r n e s s
e v e r opened a g a te o f e sca p e t o t h e p o o r, th e d i s c o n t e n t e d ,
and t h e o p p r e s s e d .
The A m e ric an B a n k e r i s q u o t e d a s a d m i t t i n g t h a t t h e
a v e r a g e c i t i z e n i s p o o r a n d m u st b e s a t i s f i e d " w i t h t h e g r e a t
h o p e t h a t h e w i l l h a v e t h e same o p p o r t u n i t i e s w h ic h o u r
4
f a t h e r s had to b e t t e r h i s p o s i t i o n . ”
The b e l i e f h e r e i s
t h a t t h e r e i s s t i l l much t r u t h i n t h e A m e ric an D ream , t h a t
young men s h o u l d n o t s t o p s t r i v i n g , t h a t c h a n c e s t o d a y a r e
a s go od a s t h e y w ere e a r l i e r .
How good t h e y w e re t h e n i s
not sta te d .
2 Thomas J e f f e r s o n W e r t e n b a k e r , The P l a n t e r s o f C o l o n i a l
V ir g in ia ( P r in c e to n , 1922) p . $ 9 .
3 F r e d r i c k J a c k s o n T u r n e r , R i s e o f t h e New W est (New Y o rk .
1906) p . 6 8 .
4 Q uo ted i n L ew is C o r e y , The C r i s i s o f t h e M id d le C l a s s (New
Y ork, 1935) p . 1 0 ,
A n o t h e r s t a t e m e n t o f t h e A m erican Dream b y W e r t e n b a k e r
(e v e n t h o u g h t h i s same a u t h o r h a s made e x t e n s i v e s t u d i e s
t o show t h a t t h e e r a o f o p p o r t u n i t y f o r t h e lo w e r c l a s s e s
e n d e d b e f o r e 1680 i n t h e c o l o n y w h ic h " b e g a n w i t h t h e f o u n d 5
l n g o f J a m e s to w n ," a s w i l l be shown) r e a d s :
. . . an A m erican m i n i s t e r w ould n o t i n v i t e t h e j a n i t o r
o f h i s c h u rc h t o have te a w ith h i s f a m i ly . Y et t h e
j a n i t o r m ig h t some d a y become a m i l l i o n a i r e a n d , w i t h ­
o u t r e s e n tm e n t f o r th e p a s t , condescend t o i n v i t e th e
m i n i s t e r t o h i s h o m e.
The v i t a l phenomenon i n A m e ric an h i s t o r y h a s b e e n t h e
l i f t i n g o f m i l l i o n s fro m t h e lo w e r c l a s s i n t o t h e m id ­
d l e c l a s s . . . . T h is movement b e g a n w i t h t h e f o u n d i n g
o f J a m e s to w n , an d i t i s s t i l l i n p r o g r e s s . . . .
I t i s t h i s s p e c t a c l e o f c o n tin u o u s r i s e , t h i s f e r m e n t­
in g w ith in th e s o c i a l body, t h i s la c k of c la s s bonds
w h ic h a c c o u n t s f o r a n o t h e r A m erican c h a r a c t e r i s t i c —
o p tim is m *
G r e e n e , b y i n t r o d u c i n g t h e w ords " h o p e " an d " i n d u s ­
t r i o u s , " q u a l i f i e s h i s s t a t e m e n t o f t h e A m e ric an D re am .
He
s a y s : "S o i n s p i t e o f some c l a s s d i s t i n c t i o n s , a c o u n t r y i n
w h ic h a l m o s t a n y I n d u s t r i o u s w h i t e man c o u ld h o p e t o own
l a n d t e n d e d t o becom e d e m o c r a t i c b o t h s o c i a l l y a n d p o l i t i 6
c a lly ."
One p h a s e o f t h e A m erican Dream , no l o n g e r a c c e p t e d
7
b y m o st h i s t o r i a n s , i s t h e f o l l o w i n g s t a t e m e n t b y T u r n e r :
W henever s o c i a l c o n d i t i o n s t e n d e d t o c r y s t a l l i z e i n t h e
E a s t , w h e n e v e r c a p i t a l t e n d e d t o p r e s s upon l a b o r o r
p o l i t i c a l r e s t r a i n t s t o Im pede t h e fre e d o m o f t h e m a s s ,
t h e r e was t h i s g a t e o f e s c a p e t o t h e f r e e c o n d i t i o n s o f
fro n tie r.
5 Thomas J e f f e r s o n W e r t e n b a k e r , The F o u n d in g o f A m e ric an
C i v i l i z a t i o n . The M id d le C o l o n i e s (New Y o r k , 1 9 3 8 ) pp* 2
6 G r e e n e / r h e f o u n d a t i o n s o f A m erican w a € l o n a l l t y (Wew Y o rlq l9 3 5 )p
7 F r e d r i c k J a c k s o n T u r n e r , The F r o n t i e r I n A m erican H i s t o r y
(New Y o rk , 1 9 2 0 ) p . 2’5’9 .
One s t a t e m e n t by T im o th y F l i n t , o f t e n
i n p a r t be r e s p o n s i b l e f o r th e b e l i e f in
q u o t e d , may
th e a u t h e n t i c i t y
8
o f o p e n o p p o r t u n i t y i n t h e W e s t.
F lin t w ro te :
One o f my im m e d ia te n e i g h b o r s . . . h a d a h i r e d m an,
a n e g r o , a n d tw o s o n s . . . . He r a i s e d , t h e y e a r I
came aw ay, two t h o u s a n d f o u r h u n d r e d b u s h e l s o f c o r n ,
e i g h t h u n d r e d b u s h e l s o f w h e a t , and o t h e r a r t i c l e s I n
p r o p o r t i o n , a n d t h e num ber o f c a t t l e a n d h o g s t h a t h e
m i g h t r a i s e was i n d e f i n i t e • • • . Any p e r s o n , a b l e
and d i s p o s e d t o l a b o u r , i s f o r e v e r f r e e d f r o m t h e a p ­
p re h e n sio n of p o v e rty . . . .
F i s h , who w r o t e a volum e o b v i o u s l y d e d i c a t e d t o t h e
A m e ric a n D ream , s u m m a riz e s h i s b e l i e f i n t h e f o l l o w i n g
9
c ita tio n :
To b e an A m e ric an was en o u g h t o h a v e a l l d o o r s o p e n .
was s o m e t h i n g new i n t h e w o r l d . . . .
It
L i b e r t y and o p p o r t u n it y , a f t e r a l l , m eant r e s p o n s i b i l i t y ,
a s o b e r i n g t h o u g h t ; one o t h e r g i f t o f t h e A m e ric a n p o l i ­
t i c a l s y s t e m I n v o l v e d n o p e r s o n a l e f f o r t , w as c o m p l e t e
a t b ir th — e q u a lity .
A m e ric a n s o f t h e t h i r t i e s and f o r t i e s w e re l a u g h e d a t
b y f o r e i g n e r s , and s t i l l a r e b y t h e i r d e s c e n d a n t s , f o r
t h e i r f r e q u e n t a s s e r t i o n t h a t e v e r y A m e ric a n was a k i n g
I n h i s own c o u n t r y . Few remember t o d a y , w h a t e v e r y
s c h o o l b o y t h e n k n ew , t h a t t h i s was n o t a f i g u r e o f
s p e e c h , b u t a s p e c i f i c p r o v i s i o n o f t h e n a t i o n a l and o f
every s t a t e c o n s t it u t io n ...
T h e r e was so c l o s e a n a p p r o x i m a t i o n t o eco n o m ic e q u a l i t y
t o m a tc h t h e p o l i t i o a l t h a t e f f o r t and a b i l i t y c o u l d
r a i s e a n y o n e t o t h e t o p . The a b s e n o e o f h i g h e r p r o f e s ­
s i o n a l t r a i n i n g made communion w i t h t h e i n t e l l e c t u a l a l ­
m o st a s e a s y a s e n t r a n c e i n t o t h e r a n k s o f t h e o p u l e n t .
8 T im o th y F l i n t , R e c o l l e c t i o n s o f t h e L a s t T en Y e a r s ( B o s t o n .
1826) p . 2 4 9 .
9 F is h , op. c l t . . p p . 7 and 9.
Commager i n f e r s t h e e x i s t e n c e o f e q u a l i t y , b u t d o u b t s
th e consequences u s u a lly a ttrib u te d to I t .
In a r e c e n t r e 10
view i n a m e t r o p o l i t a n n e w s p a p e r he w r i t e s :
D o u b t l e s s , t o o , t h e f r o n t i e r s w e p t away a r t i f i c i a l d i s ­
t i n c t i o n s o f c l a s s o r w e a l t h and d i s c o v e r e d t h e r e a l
w o r t h o f men, b u t w h e t h e r t h i s made f o r d e m o c rac y i s
a g a in open t o d is p u te *
I t m a y b e q u e s tio n e d w h e th er th e
" f r o n t i e r " S t a t e s a r e m ore d e m o c r a t i c , now, t h a n a r e
M a s s a c h u s e t t s o r New Y ork • • • •
Young I s o f t h e o p i n i o n t h a t I n d u s t r y and t r a d e ^ h a v e
made c o u n t l e s s w e a l t h y men o f E u ro p e a n i m m i g r a n t s .
I t is
o n l y n a t u r a l t h a t o f t h e m i l l i o n s o f Im m ig ra n ts who h a v e
s t a r t e d a s d a y l a b o r e r s , c l e r k s and p e d d l e r s , a r e a s o n a b l e
11
p r o p o r t i o n w o uld a c h i e v e s u c c e s s a s m e a s u re d b y ln o o m e ."
Time a n d s p a c e p r e c l u d e a r e b u t t a l h e r e , b u t one may a s k
w hat a " r e a s o n a b l e p r o p o r t i o n " i s *
The s t o r y o f i m m i g r a t i o n
a s t o l d b y J a c o b R i l s , Thomas and Z n a n l e c k i , and J a n e
Addams t h r o w s a much d i f f e r e n t l i g h t upon t h e s u b j e c t .
C ould i t n o t b e t h a t o f t h e w e a l t h y A m e ric a n s d e s c e n d e d
fro m h i g h e r c l a s s i m m i g r a n t s and t h a t t h e p o o r o f t o d a y
h a v e d e s c e n d e d fro m t h e l o w e r c l a s s im m ig r a n ts ?
A n o th e r w r i t e r who s e t s o u t t o show t h a t A m e ric a i s
a l a n d o f o p p o r t u n i t y m akes t h e f o l l o w i n g s t i r r i n g s t a t e 12
m e n ts:
10 H e n r y S t e e l e Commager, i n a r e v i e w o f V an g u ard s o f t h e
F r o n t i e r . I n T h e New York Tim es Book RevTew.'TTay 2 5 ,
19411.
11 D o n a ld Y oung, A m e ric an M i n o r i t y P e o p l e s (New Y o r k , 1 9 32)
p* 1 4 6 .
12 W.R# H o u g h to n , K in g s o f F o r t u n e , q r t h e T riu m p hs and
A c h ie v e m e n ts o f N o b l e . S e l f - m a d e Men (O hloagoT H fe8 8)
p. 5.
The c h i e f g l o r y o f A m e ric a I s t h a t i t i s t h e c o u n t r y
i n w h ic h g e n i u s and I n d u s t r y f i n d t h e i r s p e e d i e s t and
s u r e s t r e w a r d . Fame an d f o r t u n e a r e h e r e op en t o a l l
who a r e w i l l i n g t o w ork f o r th e m . N e i t h e r c l a s s d i s ­
tin c tio n s n o r s o c ia l p re ju d ic e s , n e ith e r d iffe re n c e s of
b i r t h , r e l i g i o n , n o r i d e a s c an p r e v e n t a man o f t r u e
m e r it from w in n in g t h e j u s t re w a rd o f h i s l a b o r s in
t h i s f a v o r e d l a n d . We a r e e m p h a t i c a l l y a n a t i o n o f
s e l f - m a d e m en, a n d I t I s t o t h e l a b o r s o f t h i s w o rth y
c la s s t h a t o u r m a rv e lo u s n a t i o n a l p r o s p e r i t y i s d u e .
The b i o g r a p h i e s w h ic h make u p t h e g r e a t e r p a r t o f
t h e b o o k fro m w h i c h t h e f o r e g o i n g was t a k e n i n c l u d e d t h e
l i f e h i s t o r i e s o f t h e f o l l o w i n g p e r s o n s , who a r e shown i n
t h e d a t a g i v e n t o h a v e s p r u n g fro m f a m i l y b a c k g r o u n d s good
en o u g h a s t o e n a b l e one t o s a y t h a t t h e i r s t a r t i n l i f e was
s u c h a s t o p r e c l u d e them fro m b e i n g l a b e l l e d s e l f - m a d e :
G i r a r d , S t e w a r d , L a w r e n c e , L o n g w o r th , M a r s h a l l F i e l d ,
C o r n e l i u s V a n d e r b i l t , C y rus W est F i e l d , W illia m H. V a n d e r b i l t ,
G o u ld , F u l t o n , G o o d y e a r , Hoe, C o l t , M o r s e , McCormick,
B e n n e t t , M a r s h a l l , B r a d y , W e s t , R o g e r s , S w in g , L o n g f e l lo w ,
H a w th o rn e , B o o t h , an d J o s e p h J e f f e r s o n .
T h o s e whose b a c k ­
g ro u n d s a r e i n d o u b t , f o r l a c k o f i n f o r m a t i o n o r b e c a u s e
t h e y seemed t o f a l l q u i t e low i n t h e m i d d l e c l a s s and a r e
t h e r e f o r e p e rh a p s s e lf-m a d e , I n c lu d e s : A s to r , C h ic k e rin g ,
W h itn e y , a n d B o n n e r .
T hose who may b e s a i d t o h a v e r i s e n
fro m among t h e p l a i n p e o p l e a r e : S t o u t , P e a b o d y , A rm our,
P u llm a n , Howe, P o w e r s , a n d C a r t w r i g h t .
I n a w o rd , t h e
b io g r a p h ie s g iv e n t o p ro v e t h i s c o u n tr y t o have produced
i t s g r e a t e s t men b y t h e r o u t e o f e l e v a t i o n from t h e m ass I n ­
c l u d e d a n o v e rw h e lm in g num ber o f p e r s o n s fro m f a m i l i e s w h ic h
gave t h e i r sons a g r e a t d e a l o f im p e tu s , t h e i r " s t a r t in
life ."
G r e a t m a s s e s o f A m e r i c a n s , i n t h e v a l l e y s a n d on
p l a i n s o f t h i s c o n t i n e n t , a r e r e l e g a t e d t o t h e l im b o o f
13
t h e d e m o ra liz e d by th e v ig o r o u s pen o f R o ss:
When I was a b o y , n o g r a y - h a i r e d man w o rk ed on a f a r m f o r
w ages u n l e s s h e was a d r u n k a r d o r w a s t r e l . So s h o r t and
e a s y was t h e p a t h t o f a r m o w n e r s h i p t h a t v i r t u a l l y a l l
t h e f a r m " h a n d s " w e re l e s s t h a n t h i r t y - f i v e y e a r s o f a g e .
(One may a s k : w e re t h e r e many f a r m h a n d s e x c e p t s o n s o f
m id d l e c l a s s f a r m e r s i n t h a t d i s t r i c t ? )
I n a n o t h e r e l o q u e n t p a s s a g e , R o ss p o r t r a y s t h e W est
14
as a p a ra d ise of o p p o rtu n ity :
M o re o v e r, s u c h d i f f e r e n c e s a s t h e r e w e re i n r e s p e c t t o
e co n o m ic c o n d i t i o n d i d n o t p u t d i s t a n c e b e tw e e n p e o p l e .
I n g e n e r a l , c l a s s d i s t i n c t i o n s siiow t h e m s e l v e s , n o t
b e tw e e n t h o s e who p o s s e s s a n d t h o s e who d o n o t p o s s e s s ,
b u t b e tw e e n t h o s e who p o s s e s s an d t h o s e who n o t o n l y
do n o t b u t a p p a r e n t l y c a n n o t p o s s e s s . A lways i n t h e
W est ~ w h e t h e r t h e "W est" was O h io o r I d a h o — t h e
r i c h b a n k e r h a s n o t o b je c te d t o th e p e n n ile s s b u t
c a p a b l e y oun g man c a l l i n g on h i s d a u g h t e r , b e c a u s e t h e
b a n k e r h a d b e e n p e n n i l e s s h i m s e l f when h e m a r r i e d , and
b e c a u s e h e knew t h a t t h i s y o u n g man w o u ld b e a s w e l l
o f f a s t h e b a n k e r now i s when h e h a d r e a c h e d t h e same
a g e . The a b u n d a n c e o f o p p o r t u n i t y o f t h e f r o n t i e r ,
c o u p l e d w i t h e q u a l a c c e s s t o t h e s e many o p p o r t u n i t i e s ,
e n g e n d e r e d a s e n s e o f s o o l a l e q u a l i t y w h ic h g r a d u a l l y
becam e p a r t o f " A m e r i c a n i s m ," a n d i n t h e o l d e r S t a t e s
h i n d e r e d t h e s o c i a l c o n s e q u e n c e s o f e co n o m ic s t r a t i f i ­
c a t i o n from g l a r i n g l y sh o w in g t h e m s e l v e s •
P e n n i l e s s young men w e re t o becom e a s r i c h a s w e a l t h y
13 Edward A l s w o r t h R o s s , The S o c i a l T re n d (New Y o rk , 1 9 22)
p . 66.
14 I b i d . . p p . 7 0 - 7 1 .
b a n k e r s , an d a b u n d a n t o p p o r t u n i t i e s w e re e q u a l l y a c c e s s i b l e
t o a l l — t h a t i s t h e A m e ric a n D ream .
Dawson a n d G e t t y s a r e m ore c a u t i o u s .
L ik e G r e e n e ,
t h e y q u a l i f y t h e i r s t a t e m e n t b y u s i n g t h e word ’’h o p e . ”
15
T h e ir sta te m e n t r e a d s :
The d e m o c r a t i c t r a d i t i o n h o l d s o u t h o p e t o a l l who d e s i r e
t o a d v an c e t h e m s e l v e s b y w h a t e v e r m eans — w e a l t h , l e a r n ­
in g , a b i l i t y , p o l i t i c a l " p u l l , " s p e c i a l i z a t i o n , e t c . —
t h a t t h e y may s u c c e e d i n r e a c h i n g t h e h i g h e s t p i n n a c l e
o f " s u c c e s s , " w h ic h m eans s o c i a l r e c o g n i t i o n , s t a t u s ,
and e l e v a t e d r a n k .
C o o le y , l i k e R o s s , d i s c o u n t s t h e t h e o r y o f Dawson
and G e t t y s t h a t s u c c e s s m eans e l e v a t i o n i n r a n k .
" W ith u s , i f p e o p l e h a v e m o ney, t h e y e n j o y i t ;
He s a y s :
i f n o t,
t h e y manage w i t h w hat t h e y h a v e , n e i t h e r r e g a r d i n g them 16
se lv e s n o r b e in g re g a rd e d by o th e rs as e s s e n t i a l l y i n f e r i o r ."
S i x t y y e a r s a f t e r t h e e n a c tm e n t o f t h e la w s a g a i n s t
p r i m o g e n i t u r e an d e n t a i l , de T o c q u e v i l l e s a i d : "T he so n s
o f o p u l e n t c i t i z e n s h a v e becom e m e r c h a n t s , l a w y e r s o r
p h y sic ia n s.
M ost o f th e m h a v e l a p s e d i n t o o b s c u r i t y .
The
l a s t t r a c e o f h e r e d i t a r y r a n k s and d i s t i n c t i o n s i s d e ­
s t r o y e d — t h e la w o f p a r t i t i o n h a s r e d u c e d a l l t o one
17
le v e l."
S u t h e r l a n d and W oodward, a u t h o r s o f a r e c e n t t e x t - b o o k ,
15 C a r l A . Dawson an d W arner E . G e t t y s , An I n t r o d u c t i o n t o
S o c i o l o g y (Mew Y o r k , 1 9 2 9 ) p . 5 4 8 .
16 C h a r l e s H o rto n C o o l e y , S o c i a l O r g a n i z a t i o n (New Y o rk , 1 909 )
p . 282.
17 A l e x i s d e T o c q u e v i l l e , D em o cracy i n A m e r i c a , v o l . I ( r e ­
p u b l i s h e d , New Y o r k , 1 6 60) p p . 5 0 - 5 1 .
r e v i v e t h e dream o f b e c o m in g P r e s i d e n t , a n d , i n a d d i t i o n ,
a llo w th e e x p e c ta tio n o f r i s i n g to p ro v e th e e x is te n c e of
18
t h e sa m e . T h e y s t a t e :
S o c ia l C la sse s in th e U n ite d S t a t e s — In a c o u n tr y l i k e
t h e U n i t e d S t a t e s , w here t h e s o c i a l c l a s s e s h a v e n e v e r
b e e n t h o r o u g h l y s t r a t i f i e d , t h e r e i s movement fro m one
l e v e l t o a n o t h e r * The f a r m e r b o y may s t i l l dream o f
b e c o m in g P r e s i d e n t , ev en th o u g h s t a t i s t i c s b a s e d on
Who*8 Who g i v e t h e s o n s o f t h e p r o m i n e n t t h e b e s t c h a n c e s
o f s u c c e e d i n g t h e i r f a t h e r s * The e x p e c t a t i o n o f a d ­
va n ce m e n t from low t o h i g h s t a t u s h a s r e s u l t e d i n a k i n d
o f v e r t i c a l m o b i l i t y , r a t h e r t h a n i n t h e d e v e lo p m e n t o f
h o r i z o n t a l c l a s s e s , b u t t h i s c o n d i t i o n may n o t a lw a y s
p re v a il*
W illk le , r e c e n tly a c an d id ate f o r th e P re sid e n c y ,
w r i t e s on nThe F a i t h T h a t I s A m e ric a * ”
He p o i n t s t o E u ro p e
a s a c o n t i n e n t o f c l o s e d c l a s s e s , a s co m p ared w i t h t h e
19
fre e d o m o f movement i n A m erica* He s a y s :
T hey ^ E i s a n c e s t o r s / w e re l e d t o t h e s e s h o r e s , a s
w ere m i l l i o n s b e f o r e and a f t e r t h e m , b y a s p e c i a l
r e p u t a t i o n t h a t t h e U n i t e d S t a t e s h a s h a d among n a t i o n s *
T h is r e p u t a t i o n i s f o u n d e d u pon o ne s i m p l e f a c t : i n t h e
U n i t e d S t a t e s t h e p l a i n man h a s a lw a y s h a d a c h a n c e .
And w i t h s c h o o l i n g f i n i s h e d , t h e r e w e re n o d o o r s
c lo s e d to t h e i r ^ i i s p a r e n t s ^ / c h ild r e n j u s t b ecau se
t h e y came fro m a p l a i n f a m i l y i n a s m a l l to w n . No
c l a s s d i s t i n c t i o n , n o law i n t e r f e r e d w i t h t h e i r e f f o r t
t o e arn a l i v i n g in th e o c c u p a tio n o f t h e i r c h o ic e • * . •
. * • B e c a u s e we s e t n o l i m i t t o a m an’ s a c h i e v e m e n t :
in m in e , f a c t o r y , f i e l d , o r s e r v i c e in b u s in e s s o r th e
a r t s , an a b l e man, r e g a r d l e s s o f h i s c l a s s o r c r e e d ,
can r e a l i z e h i s a m b i t i o n *
18 R o b e r t L* S u t h e r l a n d and J u l i a n L* Woodward, I n t r o d u c t o r y
S o c i o l o g y ( C h ic a g o , 1 9 5 7 ) p p . 3 6 2 -3 6 5 *
1 9 W e n d e ll jL* w i l l k l e , "T he F a i t h T h a t I s A m e r i c a , ” R e a d e r s
D i g e s t (D ecem ber, 1 9 3 9 ) p* 1 . T h e r e a r e n e u t r a l o b s e r v e r s who b e l i e v e t h a t Mr* W i l l k l e i s s t i l l n u r s i n g
h i s a m b i t i o n , b u t t h e h i s t o r y o f p r e s i d e n t i a l cam­
p a ig n s does n o t b e a r out th e g e n e r a l i z a t i o n t h a t e v ery
c a n d i d a t e r e a c h e s h i s g o a l , e . g . , o n e r e c a l l s W illia m
J e n n i n g s B ryan*
P e rh ap s th e m ost im p o r ta n t o f a l l t h e r e c e n t u t t e r ­
a n c e s a b o u t t h e A m e ric an Dream was made b y t h e P r e s i d e n t o f
H arvard U n iv e r s ity in a r e c e n t sp eech e n t i t l e d :
C la s sle s s S o c ie ty , Id e a l o r I llu s io n ? ”
UA F r e e
In i t h e s a i d ,
among o t h e r t h i n g s , t h a t t h e s o c i a l c h a n g e s d u r i n g t h e
l a s t f i f t y y e a r s h a d moved t h e s o c i e t y to w a r d a s o c i a l
s y s te m composed o f h e r e d i t a r y c l a s s e s *
"Have we r e a c h e d a
p o i n t w h e re t h e i d e a l o f a p e c u l i a r A m e ric a n s o o i e t y ,
c l a s s l e s s an d f r e e , m u s t b e r e g a r d e d a s o f o n l y h i s t o r i c a l
s i g n i f i c a n b e ? Has t h e i d e a l l o s t b o t h v a l i d i t y and
20
v ita lity ? "
The r e p o r t o f t h e en d o f t h e a d d r e s s , a s g i v e n
21
i n t h e New Y ork P o s t . r e a d s a s f o l l o w s :
C l a s s m o b i l i t y , D r . C o n a n t s a i d , was t h e b a s i s o f t h e
A m e ric an i d e a l o f a c l a s s l e s s s o c i e t y - - one i n w h ic h
th e " s h i r t sle e v e s to s h i r t s le e v e s in th re e g e n e ra tio n s"
n o tio n p r e v a ils r a t h e r th a n th e a r i s t o c r a t i c adage t h a t
i t t a k e s t h r e e g e n e r a t i o n s t o make a g e n t l e m a n . " I f a
c la s s le s s s o c ie ty i s to be p re s e rv e d ," he s a id , "th e
A m e ric a n p e o p l e m u s t n o t s h r i n k f ro m d r a s t i c a c t i o n . "
H e re one s e e s t h e i m p l i e d e x o r t a t i o n t o p r e v e n t t h e
e x is te n c e o f s o c i a l c l a s s e s , i n th e t r u e and h e r e d i t a r y
s e n s e , and t o b r e a k up f a m ily l i n e s o f s o c i a l c l a s s con­
t i n u i t y on t h e m id d l e and h i g h e r l e v e l s
a c c o rd in g to th e
th e o r y t h a t every t h i r d g e n e ra tio n sh o u ld be p r o l e t a r i a n .
G e n t le m e n , e v e n t h o u g h t h r e e g e n e r a t i o n s h a v e s t r i v e n t o
p r o d u c e th e m , a r e p e r s o n n a e n o n g r a t a .
20 New Y o rk P o s t . O c t o b e r 2 4 , 1 9 3 9 .
21 EoF/"cTF.-------
B u t would s o c i a l c l a s s e s c e a s e t o fo rm e v e n th o u g h
e v e r y c o m p e te n t young man were g i v e n a s c h o l a r s h i p e n a b l i n g
h im t o t a k e an e n g i n e e r i n g c o u r s e , a law c o u r s e , o r a
c o u r s e I n t h e p r i n c i p l e s an d m e th o d s o f h i g h s c h o o l t e a c h ­
in g ?
Or w ould t h o s e w i t h a d v a n t a g e s m e r e l y I n c r e a s e t h e
p r e s s u r e of p e rs o n a l c o n ta c ts In o r d e r to c irc u m v e n t th e
s o c ia l c la ss m o b ility a n tic ip a te d ?
T here a re c o ll e g e s
open t o t h e lo w e r c l a s s e s w h ic h f i n d t h e i r g r a d u a t e s a d ru g
on t h e m a r k e t*
The same m ig h t b e t r u e o f t h e g r a d u a t e s o f
H a r v a r d i f h e r s c h o l a r s h i p s w e re i n c r e a s e d t o e n a b l e a l l
h i $ i s c h o o l s t u d e n t s w i t h a v e r a g e s a b o v e 80 p e r c e n t t o
e n ro ll*
(The p ro b le m o f s o c i a l c l a s s e s and t h e o r i e s o f e d u ­
c a tio n w i l l be ta k e n up in d e t a i l In a l a t e r c h a p t e r .)
The A m erican Dream r e c e n t l y
c r e a t e d a sto rm in th e
e d u c a t i o n a l a i m o s p h e r e o f a w e a l t h y New Y ork s u b u r b .
Rugg,
a w e l l known t e x t - b o o k w r i t e r , h a d w r i t t e n a n e l e m e n t a r y
h i s t o r y w h ic h a r o u s e d s e v e r a l o f t h e members o f t h e B o a rd
o f E d u c a t i o n o f Englew ood t o condemn i t a s s u b v e r s i v e and
u n -A m eric an *
A c c o r d in g t o t h e n e w s p a p e r a c c o u n t o f t h e
I n c i d e n t , "w hat p a r t i c u l a r l y
a n n o y e d some members o f t h e
b o a r d was t h a t i n
one o f h i s t e x t b o o k s Dr* Rugg s a i d A m erica
22
w as n o t t h e l a n d o f o p p o r t u n i t y f o r a l l p e o p l e * "
R u g g 's
r e p l y was t h a t h e
was t r y i n g t o b r i n g r e a l i t i e s i n t o t h e
c la ss ro o m i n s t e a d
o f k e e p i n g them o u t *
*
■»
22 New Y ork H e r a l d T r i b u n e (D ecem ber 1 4 , 1 9 3 9 ) .
C o n c e r n in g an e a r l i e r e p o c h a n d a n o t h e r s e c t i o n , t h e
S o u th i m m e d i a t e l y a f t e r t h e War b e tw e e n t h e S t a t e s , R e u t e r
23
w rite s:
The c o n d i t i o n s o f l i f e w e re a b s u r d l y e a s y # Any i n ­
d u s t r i o u s and s o b e r man c o u l d , a s a r e s u l t o f a few
y e a r s ' l a b o r , becom e p o s s e s s e d o f s u f f i c i e n t l a n d an d
o t h e r p r o p e r t y t o make him i n d e p e n d e n t o f t h e wage
s y s te m . . . .
I n s p i t e o f t h i s , h o w e v e r , t h e g r o w th
o f t h e m i d d l e c l a s s was a b n o r m a l l y s l o w . . . .
B ut w ere t h e N e g r o e s , a b o u t whom t h e f o r e g o i n g was s a i d ,
o r t h e p o o r w h i t e s , o f whom much w i l l b e s a i d l a t e r ,
n o m ic men?"
"eco­
Or w e re t h e y l a c k i n g i n t h e h a b i t s , t r a d i t i o n s ,
and e x p e r i e n c e s o f t h e m i d d l e c l a s s , and c an t h e s e t h i n g s
b e spu n o u t o f c l e a r a i r ?
I t w i l l be seen t h a t r i c h r e ­
s o u r c e s may l i e c l o s e a t h a n d a n d n o t b e u s e d t o a d v a n t a g e
b y t h o u s a n d s upon t h o u s a n d s o f A m erican c i t i z e n s ; t h e
a b u n d a n c e w h ic h was A m erica was a v a i l a b l e t o t h e d i f f e r e n t
c la s s e s a lm o st in p ro p o rtio n
to th e a d v a n ta g e s o f t h e c l a s s e s
th e m se lv e s, as w i l l be se e n .
T urner-
s t a t e s a p o i n t o f v ie w a b o u t t h e f r o n t i e r
q u i te s i m i l a r to t h a t o f R e u te r a b o u t th e S o u th ,
24
to h i s t h e o r y , on t h e f r o n t i e r
A cco rd in g
w e re m i l l s i t e s , tow n s i t e s , t r a n s p o r t a t i o n l i n e s , b a n k ­
i n g c e n t e r s , o p e n in g s i n t h e l a w , i n p o l i t i c s — a l l t h e
v a r i e d c h an c es f o r advancem ent a f f o r d e d in a r a p i d l y
d e v e l o p i n g s o c i e t y where e v e r y t h i n g was open t o him
who knew how t o s e i z e t h e o p p o r t u n i t y .
23 Edward B yron R e u t e r , The M u l a t t o i n t h e U n i t e d S t a t e s
(B o s to n , 1918) p p . 352-353.
24 T u r n e r , o p . o l t . ( 7 ) , p . 2 7 2 .
A l l t h a t n e e d s t o b e s a i d I s t h a t t h e m id d l e and u p p e r
c la s s e s knew.
T h i s w i l l be shown l a t e r fro m t h e w r i t i n g s
o f T h e o d o r e R o o s e v e l t , so f a r a s K e n tu c k y was c o n c e r n e d .
(The t h e o r y t h a t t h e W est was t h e l a n d o f o p p o r t u n i t y f o r
a l l I s f r e q u e n t l y b a s e d upon s u c h a n a r r o w I n t e r p r e t a t i o n
t h a t " a l l t h e good p e o p l e " would b e more d e f i n i t e and e x a c t
a te rm .
These m a tte r s w i l l be d e a l t w ith In d e t a i l In
C h a p t e r s XI and X I I . )
The g r e a t p l a i n s o f I l l i n o i s ,
Io w a ,
a n d so f o r t h w e re l a r g e l y s e t t l e d b y " e x t r a " s o n s o f m i d d l e
c l a s s f a r m e r s f u r t h e r e a s t who c o u ld a f f o r d t o o u t f i t th em ­
s e lv e s and p u rch a se th e la n d .
T h y knew how t o s e i z e t h e o p ­
p o rtu n ity .
S c h l e s i n g e r l i n e s u p w i t h t h o s e , l i k e C o o le y and R o ss
who d e n y t h e common maxim t h a t d i f f e r e n c e s i n w e a l t h made
f o r d i f f e r e n c e s i n s o c i a l s t a n d i n g among t h e p e o p l e i n t h e
e a r l y W est.
He i s q u o t e d a s s a y i n g t h a t " t h e a b s e n c e o f d i s
t i n c t l o n s among men a s p r o p e r t y o w n e rs t e n d e d t o make t h e
p e o p le d i s r e g a r d w e a lth a s a c r i t e r i o n o f f i t n e s s and t o
25
l o o k u p o n a l l men a s e s s e n t i a l l y e q u a l . "
T h is s t r o n g l y
i n f e r s , a s d o e s t h e s t a t e m e n t b y Commager, t h a t t h e r e was
an e q u a l i t y o f m eans among t h e p e o p l e who s e t t l e d t h e W e s t,
an i d e a w h ic h p o s s i b l y q u a l i f i e s f o r t h e t a g " s c h o o l b o o k
fic tio n ."
The W in n in g o f t h e West d o c u m e n ts a c o m p l e t e l y
25 Q u o te d i n C o r e y ,
0£
. o l t . . p . 114.
different story.
The West was settled by classes. rich and
p o o r , h i g h and l o w .
The T u r n e r t h e o r y h a s f o u n d m any r e c e n t a d h e r e n t s .
F o r i n s t a n c e , C o re y p o r t r a y s t h e W est a s a l a n d o f g r e a t
o p p o r t u n i t y an d o f a l m o s t e q u a l c h a n c e s f o r t h o s e who moved
26
t h e r e . He w r i t e s :
I t was c o m p a r a t i v e l y e a s y f o r d i s s a t i s f i e d f a r m e r s
and w o rk ers in th e o ld e r s e ttle m e n ts to p u l l up s ta k e s
and g o W e s t, w h e re l a n d was c h e a p , t a x e s w e re lo w , an d
n e e d e d a g r i c u l t u r a l e q u ip m e n t a m in o r i t e m o f c a p i t a l
i n v e s t m e n t . . . . A lm o st an y o n e m i g h t a c q u i r e h i s own
m eans o f l i v e l i h o o d , becom e an I n d e p e n d e n t f a r m e r o r
an i n d e p e n d e n t s m a l l e n t r e p r e n e u r I n i n d u s t r y and
t r a d e . These c o n d itio n s in v ig o r a te d th e se n se o f
d e m o c r a c y and e q u a l i t y .
Day o f o p p o r t u n i t y p a s s e d ?
The A m e ric an D ream , o f
w h ic h t h e f o r e g o i n g s t a t e m e n t s a r e t y p i c a l , i s b e g i n n i n g t o
l o s e I t s h o l d u pon t h e y o u t h o f t h e l a n d .
r e l e g a t e d , a s Conant f e a r s , to th e d i s c a r d .
I t has been
Thom pson, t h e
c o lu m n is t, i s s t i r r e d by th e f a c t s re v e a le d in a r e c e n t
27
survey:
I h av e been h a u n te d by a l i t t l e ite m t h a t a p p e a re d
s e v e r a l d a y s a g o r e g a r d i n g a p o l l t a k e n b y t h e Y .M .C.A .
among y o u n g p e o p l e i n t h e C i t y o f New Y o r k . The Y .M .C .A .
p o l l e d r e p r e s e n t a t i v e c r o s s s e c t i o n s o f e m p lo y ed a n d
u n e m p lo y e d y o u t h r e g a r d i n g t h e i r b e l i e f I n o p p o r t u n i t y ,
a n d f o u n d t h a t 80 p e r c e n t b e l i e v e t h a t a b i l i t y n o l o n g e r
o f f e r s a s s u r a n c e o f s u c o e s s i n A m e r ic a .
L a t e r I n h e r column Thompson s a y s : "Now, w i t h a l l t h e t a l k
26 L a c . c l t .
27 D o r o t h y T hom pson, "On t h e R e c o r d , " i n t h e New Y o rk H e r a l d
T r i b u n e , Novem ber 2 7 , 1 9 3 9 .
o f l a c k o f o p p o r t u n it y , th e c o ld f a c t i s t h a t t h e r e a re
more o p p o r t u n i t i e s t h a n t h e r e a r e you ng p e o p l e w i l l i n g t o
p r e p a r e t h e m s e l v e s f o r th e m .
I am n o t b la m i n g t h e y o u t h .
I am b l a m i n g t h e i r e d u c a t i o n s . ”
T h e r e seem s t o b e a g r o w in g b e l i e f t h a t t h e A m erican
D ream , " o n c e a r e a l i t y , " h a s l o s t m o st o f i t s v a l i d i t y .
An
E p i s c o p a l c le r g y m a n o f n o t e i s q u o t e d a s c o n t r a s t i n g t h e
g l o r i e s o f th e p a s t w ith th e a c t u a l i t i e s of to d a y .
In
p re a o h in g b e fo re a d i s tin g u is h e d c o n g re g a tio n in 1937, th e
28
R e v e r e n d P r i n c e s a i d t h a t A m erica
a s t h e w o r l d ' s g r e a t e s t a r e n a f o r t h e e x e r c i s e o f am­
b i t i o n a n d t h e t r a d i t i o n a l home o f s e l f - m a d e men and
women i s r a p i d l y b e co m in g a f a d i n g memory • • • • The
b o a s t t h a t h e r e h u m a n i t y can f i n d e m a n c i p a t i o n f ro m t h e
t h r a l l s o f h u m b le b i r t h and t h a t e v e r y p o o r e s t l a d may
r i s e t o t h e h i g h e s t o f f i c e i n t h e l a n d no l o n g e r s t i r s
t h e d i s i l l u s i o n e d y o u t h o f m odern t i m e s . A m erica i s
fo llo w in g c o n ti n e n t a l la n d s in d e v e lo p in g a c la ss-b o u n d
so c ie ty .
C l a s s d e m a r c a t i o n i s b e c o m in g s h a r p e r a s
p r o s p e c t s wane a n d men d e s p a i r o f r i s i n g fro m t h e r a n k s
w h ere t h e y w ere b o r n . . . .
A m e r i c a , t h e n , a c c o r d i n g t o t h i s t h e o r y was o n c e a
l a n d o f g r e a t o p p o r t u n i t y f o r t h e l i t t l e m an, b u t t h e s o c i a l
c l a s s e s a r e f a s t b e c o m in g c r y s t a l l i z e d .
I t may b e t r u e a s
Thompson b e l i e v e s , on t h e c o n t r a r y , t h a t t h e p r e s e n t e r a I s
one o f g r e a t o p p o r t u n i t y f o r t h o s e who s t i l l h a v e th e
d r i v e s a n d h a b i t s o f " i n d u s t r y and t h r i f t . "
I m m ig r a n ts w i t h t h i s
R e c e n t E u ro p e a n
s t u r d y b a c k g r o u n d a r e p r o v i n g t h a t o p­
p o r t u n i t y i s n o t dead*
F u rth e rm o re , th e h i s t o r y o f th e
28 Q u o te d i n G o e tz A. B r i e f s , The P r o l e t a r i a t (New Y o r k .
1937) p . 2 2 7 .
n i n e t e e n t h c e n t u r y , when s t u d i e d i n
fa c ilitie s,
te r m s o f e d u c a t i o n a l
w a g es, and s i z e s o f f a m i l i e s was p r o b a b l y more
o f an e r a o f m id d le c l a s s o p p o r tu n ity th a n o f o p p o r tu n ity
f o r t h e p o o r , a s w i l l b e sh o w n.
I t c an b e s e e n fro m t h e f o r e g o i n g t h a t t h e r e i s much
room f o r s t u d y , r e s e a r c h , and r e f l e c t i o n u p o n t h e n a t u r e o f
t h e A m e ric an s o c i a l c l a s s s t r u c t u r e an d t h e d e g r e e s o f op­
p o r t u n i t y and m o b i l i t y in t h i s g r e a t l a n d .
A m odest a p p r a i s a l of o p p o r tu n ity .
In c o n tr a s t to
t h e r o s y d e s c r i p t i o n o f o p p o r t u n i t y a s g i v e n b y T im o th y
F l i n t , t h e f o l l o w i n g s t a t e m e n t b y an E n g l i s h t r a v e l l e r i n
t h e p e r i o d b e tw e e n 1 7 8 5 -1 8 3 5 i s b o t h m o d e s t a n d l a c k i n g i n
29
tti d e a l " a n d " i l l u s i o n . ” M e sio k w r i t e s :
What c l a s s e s o f m en, t h e n , w e re t o su rm o u n t t h e s e d i f ­
f i c u l t i e s an d e v e n t u a l l y t o become p r o s p e r o u s and d e ­
s ir a b le c it i z e n s of th e re p u b lic ?
F o r w hat t y p e s o f
p e o p l e was s u c h a c h a n g e b e n e f i c i a l ?
The e x tr e m e p o o r ,
o f w h a t e v e r t r a d e o r o c c u p a t i o n , w e re a lw a y s b e t t e r e d
b y e m i g r a t i o n t o A m e r i c a , i f t h e y w e re i n d u s t r i o u s an d
w i l l i n g t o w ork. E x ce p t in th e e a s t e r n c o n g este d d i s ­
t r i c t s , i t was a lw a y s p o s s i b l e t o f i n d em ploym ent w i t h
a tr a d e s m a n a s an a p p r e n t i c e , o r w i t h f a r m e r s who h a d
m ore l a n d t h a n t h e y c o u l d m anage t o c u l t i v a t e .
The p o o r m i g r a n t was a s s u r e d o f more t o e a t an d s u r e r w o rk .
The f o l l o w i n g was w r i t t e n a b o u t A m erica i n t h e s e
l a t t e r d a y s when some men h a v e a c c u m u l a t e d m i l l i o n s , b u t
w hat i f i t w ere t o p r o v e t o b e r e l a t i v e l y t r u e ,
as a g e n e r a l
29 J a n e L o u is e M e s i c k , The E n g l i s h T r a v e l l e r i n A m e r ic a .
1 7 8 5 -1 8 3 5 (New Y o r k , 1922 e d itT o n ) " p p . ” 37^38^
s t a t e m e n t o f A m e ric an h i s t o r y , I n t h e c o l o n i a l e r a , t h e
n i n e t e e n t h c e n tu r y , and th e t w e n t i e t h ?
30
w rite :
D ix o n and E b e r h a r t
The r a c e o f l i f e i s one i n w h ic h some o f t h e r u n n e r s
s t a r t n e a r t h e f i n i s h l i n e a n d o t h e r s w e i g h t e d down
w i t h h a n d i c a p s l im p down t h e t r a c k fro m f a r b e h i n d
t h e s t a r t i n g g u n . I t I s no m e re a c c i d e n t t h a t some i n ­
d iv id u a ls c o n tr o l hundreds o f m illio n s of d o l l a r s '
w o r th o f p r o p e r t y w h i l e o t h e r s , a f t e r a l i f e - t i m e o f
t o i l in th e c o tt o n f i e l d s o f t h e S o u th o r th e f a c t o r i e s
o f th e N o r th , a t l a s t f i n d t h e i r perm an en t r e s t In a
p a u p e r 1s g r a v e .
P e rh ap s th e p a r t a b o u t th e p a u p e r 's g ra v e i s s u p e r f lu o u s .
I t i s enough t h a t m a r r ia g e s , e d u c a tio n , w e a lth , fa m ily
p r e s t i g e , p o l i t i c a l a c t i v i t y , a n d s p e c i a l home t r a i n i n g a l l
f u n c tio n to s e p a r a te th e s o c i a l c l a s s e s .
T h ere w ere, as
w i l l b e sho w n, and a r e , a s e v e r y s o c i a l s c i e n t i s t kno w s,
p o o r a n d low c l a s s f a m i l i e s , m i d d l e c l a s s f a m i l i e s , and
u p p er c l a s s e s in A m e ric a.
How g r e a t t h e g a p s w ere an d how
lo n g l a s t i n g , w i l l b e d e m o n s tra te d , w ith in th e l i m i t s o f
tim e a n d s p a c e , I n t h e f o l l o w i n g tw o c h a p t e r s , t o w h ich
t h i s one I s b u t an I n t r o d u c t i o n .
F r e q u e n t l y , t h o s e who h a v e s t a t e d t h e A m erican Dream
i n m o st g lo w in g t e r m s seem t o h a v e f o r g o t t e n t h a t t h e U n i t e d
S t a t e s h a s n o t o n l y p r o g r e s s i v e , p r o s p e r o u s and " e q u a l ! t a r I a n "
s e c t i o n s b u t a l s o v a s t r e g i o n s w h ic h h a v e f o r d e c a d e s , even
c e n tu r ie s , been c h a r a c t e r i s t i c a l l y a n y th in g b u t e g a l i t a r i a n .
30 R u s s e l l A. D ix o n a n d E . Kingman E b e r h a r t , E conom ics an d
C u l t u r a l Change (New Y o r k , 1 938 ) p . 5 0 3 .
31
L e w in s o n , f o r I n s t a n c e , w r i t e s :
The S o u t h e r n S t a t e s h a v e , s i n c e t h e b e g i n n i n g o f
A m erican h i s t o r y , c o n s t i t u t e d a d i s t i n c t r e g i o n , w i t h
a p e c u l i a r e c o n o m ic , s o c i a l , and p o l i t i c a l c o m p l e x i o n .
They h a v e b e e n m arked b y p r o m in e n t c l a s s d i s t i n c t i o n s :
a t t h e b o tto m o f t h e s c a l e , t h e N e g r o ; a t t h e t o p t h e
w h i t e ’’B o u r b o n s ,” o n c e p l a n t e r s , l a t e r i n d u s t r i a l i s t s ,
f i n a n c i e r s , and l a n d l o r d s . I n b e tw e e n s t o o d a c l a s s
o f s m a l l f a r m e r s , owning few o r n o s l a v e s , p u s h e d b a c k
by t h e p l a n t a t i o n s y s te m i n t o t h e l e s s f e r t i l e h i l l s .
In t h e r e m o t e m o u n ta in s a n d i n t h e p i n e b a r r e n s n e a r
th e c o a s t , a t r u e a g r i c u l t u r a l p r o l e t a r i a t le d a
m i s e r a b l e e x i s t e n c e o f p o v e r t y , i g n o r a n c e , and s q u a l o r .
T h i s i s n o t t h e A m e ric an Dream .
It
i s , how ever, t r u e s o c i a l
h isto ry .
I t i s th e in te n tio n o f th e p r e s e n t w r ite r t h a t th e
n e x t tw o c h a p t e r s on Am erioan h i s t o r y s h a l l hew c l o s e t o
th e l i n e o f u n b iased , s t r a i g h t f a c t s a b o u t th e r e a l i t i e s
of th e s o c ia l c la ss lin e s and tren d s .
31 P a u l L e w ln s o n , R a c e . G l a s s and P a r t y
p. 3.
(New Y o r k , 1932)
CHAPTER XI
SOCIAL CLASS RIGIDITIES IN COLONIAL AMERICA
I t I s t h e p u r p o s e o f t h i s c h a p t e r t o th ro w some l i g h t
on t h a t t r o u b l e s o m e g e n e r a l i z a t i o n known a s t h e A m e ric a n
D re am .
The t h e s i s d e v e l o p e d h e r e I s t h a t t h e s o c i a l c l a s s e s
I n A m e ric a h a v e shown g r e a t c o n s i s t e n c y a n d c o n t i n u i t y .
T h i s w i l l h e shown n o t o n l y i n t h e g e n e r a l s o u r c e s o f I n ­
f o r m a t i o n , b u t more e s p e c i a l l y I n t h e s u p p l e m e n t a r y m a t e r i a l
(A p p e n d ix I I I ) b a s e d on f a m i l y b i o g r a p h i e s .
T h is p r e s e n t a ­
t i o n , i n c l u d i n g C h a p t e r X I I , g i v e s s y s t e m a t i c fo rm and s h a p e
t o t h e d i s c u s s i o n o f s o c i a l c l a s s f o r m a t i o n in A m e ric an h i s ­
t o r y f o r t h e f i r s t t i m e , so f a r a s c a n b e a s c e r t a i n e d .
The lo w e r c l a s s e s i n t h e Am erican c o l o n i e s .
Many
I m m i g r a n t s w i t h few m eans h o p e d t o f i n d on t h i s c o n t i n e n t
1
f r e e lan d
t h e t i l l a g e o f w h i c h w ould i n s u r e them a m e a su re o f
I n d e p e n d e n c e , Upon a r r i v i n g t h e y f o u n d v a s t a v a i l a b l e
p a r t s o f t h e c o u n t r y , e s p e c i a l l y t h e m o st d e s i r a b l e a n d
a c c e s s ib le p o rtio n s b o rd e rin g sh o res or r i v e r s , p r e ­
e m p ted . . . . The l a b o r e r was p u r p o s e l y a b a s e d t o t h e
u t m o s t a n d h e was made t o f e e l i n many ways h i s p a r ­
t i c u l a r low p l a c e i n t h e s o c i a l o r g a n i z a t i o n .
M yers i s a v i t r i o l i c w r i t e r ; p e r h a p s h e h a s e x a g ­
g e ra te d .
B u t Adam s, h i s t o r i a n o f r e c e n t fam e , c o u l d n e v e r
1 G u s ta v u s M y e rs , H i s t o r y o f t h e G r e a t A m erican F o r t u n e s
(New Y o rk , 1 9 3 6 e d i t i o n ) " "p, 3 7 .
b e a c c u s e d o f h a t r e d f o r e co n o m ic r o y a l i s t s o r o f s t i r r i n g
up f e e l i n g f o r th e s u f f e r in g m asse s.
H is d e s c r i p t i o n o f
th e V ir g in la - C a r o lln a c o u n try s id e a t th e b e g in n in g o f th e
2
e ig h te e n th c e n tu ry re a d s :
In o n e p l a c e w h e re B y rd s t o p p e d , h e s a y s t h a t " t h e r e was
a d i r t y poor h o u s e , w ith h a r d l y a n y th in g in i t b u t c h i l ­
d r e n , t h a t w a l l o w 'd a b o u t l i k e so many p i g s . ” . . . Of
t h e w i f e o f one f r o n t i e r s m a n we r e a d I n th e c o n te m p o r a r y
a c c o u n t o f a v i s i t o r t h a t " s h e I s a v e r y c i v i l woman and
shows n o t h i n g o f r u g g e d n e s s o r Im m odesty i n h e r c a r r i a g e ,
y e t t s h e w i l l c a r r y a gunn I n t h e woods and k i l l d e e r ,
t u r k e y s , e t c . , s h o o t down w i l d c a t t l e , c a t c h and t y e
h o g g s , k n o c k down b e e v e s w i t h a n a x . . . . ”
. • • When t h e e r a o f l a n d s p e c u l a t i o n s e t lfc, i t was
th e t o i l s and d a n g e r s o f su ch p e o p le a s th e s e t h a t
gave t h e s p e c u l a t o r s t h e i r p r o f i t s , and th e s e h e r o i c ,
I f o f t e n s q u a lid and u n c o u th , f i g u r e s sh o u ld be t r a c e d
on t h e r e v e r s e o f t h a t t a p e s t r y on t h e o t h e r an d b r i l ­
l i a n t s i d e o f w h ich a r e t h e gay and a t t r a c t i v e f i g u r e s
o f g e n t l e m e n a n d l a d l e s i n s a t i n and b r o c a d e i n h o u s e s
w here t h e l i g h t o f a b u n d a n t c a n d l e s s e t i n s i l v e r
f l i c k e r e d a c r o s s many a t r e a s u r e d p o r t r a i t o f t o d a y .
S o h le s in g e r, honored p ro fe s s o r o f h i s t o r y a t H a rv ard ,
makes t h e f o l l o w i n g s t a t e m e n t , t h e o p p o s i t e v i e w p o i n t t o
3
t h a t o f t h e A m e ric an Dream :
I t may s t i m u l a t e some p h i l o s o p h i c a l r e f l e c t i o n t o
f i n d t h a t t h e Im p ro v e m e n ts i n t h e modes o f l i f e d u r i n g
t h i s p e r i o d w ere a l t o g e t h e r i n t h e homes o f t h e r i c h
and t h a t t h e p o o r man i n 1763 was I n n o b e t t e r s i t u a ­
t i o n th a n h i s p io n e e r g r a n d f a t h e r had b e e n .
T h i s I s n o t h i n g new t o t h e s t u d e n t o f t h e s o c i a l
c la sse s.
I t h as a lr e a d y b een seen t h a t th e o rd in a ry p le b s
I n Rome r e c e i v e d o n l y t h e i r a l l o t t m e n t o f b r e a d w h i l e Rome
2 James T r u s lo w Adam s, P r o v i n c i a l S o c i e t y . 1 6 9 0 -1 7 6 3 (New
Y o r k , 1 927 ) p p . £ £ - 6 3 .
3 I b i d . , p p . x v l an d x v l i o f t h e f o r e w o r d b y A r t h u r M,
S o h l e s i n g e r and D ix o n Ryan F o x .
waxed r i c h on war l o o t ; b e tw e e n 1500 a n d 1600 E n g la n d i n ­
c r e a s e d h e r p e r c a p i t a w e a l t h , b u t t h e d i s t r i b u t i v e m echan­
ism drew o f f t h e c re a m f o r t h e f e w .
P la in h o u se s In th e
S o u t h w ere t r a n s f o r m e d I n t o p a l a t i a l m a n s io n s w h i l e t h e
backw oods a n d o u t s k i r t s o f to w n s s t a n k o f u n e n d i n g s q u a l o r .
The t h e o r y t h a t a b u n d a n t l a n d i n A m e ric a g a v e r i s e
t o m id d le c l a s s i n d e p e n d e n c e s h o u l d g i v e way t o t h e t h e o r y
t h a t t h e g e n e r o s i t y o f n a t u r e h e r e g u a r a n t e e d t o t h e lo w e r
c l a s s e s o f E u ro p e o n l y m ore t o e a t a n d d r i n k .
T h at i s to
s a y , in d e p e n d e n c e ( f r e e d o m f ro m b o t h f e u d a l b o n d s and t h e
wage s y s te m ) a s s u r e d n o p e r s o n o f low c l a s s o f a p l a c e I n
4
th e ra n k s o f th e c la s s a b o v e.
T h i s i s made c l e a r b y Adams:
I t m i g h t b e t r u e , a s F r a n k l i n s a i d . . . t h a t a n y man who
c o u ld b a i t a hook o r p u l l a t r i g g e r c o u ld g e t food in
A m e ric a , b u t t h i s b r o u g h t him n o n e a r e r t o b e c o m in g a
m e r c a n t i l e m a g n a te o r an o p u l e n t p l a n t e r . . . .
By t h e
f i r s t decade of th e e ig h te e n th c e n tu ry , th e r e f o r e . . •
t h e d i f f e r e n c e s b e tw e e n t h e man who s t a r t e d w i t h a d ­
v a n t a g e s a n d t h e man who d i d n o t , / w a s b e c o m in g /7 more
d e f i n i t e and m ore f i x e d .
T h is i s a d e s c r i p t i o n o f A m e ric a n c o l o n i a l l i f e ; t h e r e i s no
d r e a m in g h e r e .
5
W e rte n b a k e r
d iv id e s c o lo n ia l s o c ie ty o f th e sev en te en th
c e n tu ry , th e p e rio d e a r l i e r th a n t h a t o f th e fo re g o in g d e­
s c r ip tio n s , as fo llo w s:
( 1 ) an a r i s t o c r a c y a t t h e t o p ,
s k i l l e d a r t i s a n s and f r e e h o l d e r s ,
(3) u n s k i l l e d l a b o r e r s ,
u s u a l l y a d d r e s s e d b y t h e i r C h r i s t i a n nam es o n l y ,
4
(2)
(4) in d e n tu re d
5 Thomas J e f f e r s o n W e r t e n b a k e r , The F i r s t A m e ric a n s 1 6 0 7 -1 6 9 0
(New Y o rk , 1 9 2 9 ) p p . 7 2 - 7 T i
servants, (5) slaves,
’’Men of the three lowest classes were
o f t e n a d m i t t e d t o t h e c h u r c h s o c i e t y , b u t s e ld o m t o p o l i t i c a l
c i t i z e n s h i p , a n d t h e l i n e o f s o c i a l d i s t i n c t i o n was s h a r p l y
6
draw n i n e a c h c a s e , 1*
The p r o p o r t i o n o f t h e l o w e r o r d e r s t o t h e h i g h e r i s
i n d i c a t e d i n t h e number o f p e r s o n s w i t h e n o u g h p r o p e r t y t o
e n title
them t o v o t e .
In M a s s a c h u s e t t s , f o r i n s t a n c e , a c ­
c o r d i n g t o th e c h a r t e r o f 1 6 9 1 , t h e q u a l i f i c a t i o n s f o r a
v o t e r was t h e p o s s e s s i o n o f a f r e e h o l d e s t a t e w i t h an incom e
o f f o r t y s h i l l i n g s p e r y e a r or a p e r s o n a l e s t a t e w o rth f i f t y
pounds s t e r l i n g .
Y e t " i n 1 7 0 3 , f o r e x a m p le , o u t o f a p o p u ­
l a t i o n o f a b o u t se v e n t h o u s a n d i n B o s to n o n l y two h u n d r e d
7
and s i x v o t e d f o r r e p r e s e n t a t i v e s . "
How many c o u ld h a v e
v o t e d i s n o t show n.
The B e a r d s , h o w e v e r ,
P e n n sy lv a n ia , in th e c o u n try d i s t r i c t s ,
e stim a te t h a t in
a t l e a s t 50 p e r c e n t
o f t h e m a le s w ere d e n i e d t h e b a l l o t , ev en t h o u g h t h e c o l o n y
" a l l o w e d a l l men who h e l d p e r s o n a l p r o p e r t y w o r t h f i f t y
p o u n d s , a s w e l l a s f r e e h o l d e r s , t o v o t e f o r assem blym en . . .
An " I n v o y s " was t a k e n i n
M a ssa c h u se tts i n 1688.
th e town o f N ew bury,
I t showed t h a t o f t h e p r o p e r t y o f
I t s 269 c i t i z e n s t h e m a j o r i t y o f f a r m s w e r e b e tw e e n t e n and
9
t h i r t y a c r e s ; t h e l a r g e s t was o n l y 155 a c r e s .
T h is i n d i ­
c a t e s t h a t e v e n among t h e p r o p e r t y o w n e rs t h e p r o p o r t i o n o f
f a m ilie s s tr u g g lin g w ith th e r o c k s , s o i l ,
6 Loc. c l t .
7 Adams, o p .
8 C h a rle s A.
tio n ,
9 Adams, 0£ .
and e l e m e n t s on a
c i t ., p . 21.
and Mary R . B e a r d . The R i s e o f A m e ric an C i v i l i z a ­
v o l . I (New Y o rk , 1 ^ 2 7 ) " p T " l I ^ .
c l t . , p . 29.
low l e v e l o f l i v i n g was c o n s i d e r a b l e .
Carman s a y s o f t h e s m a ll f a r m e r s , s k i l l e d a r t i s a n s
10
and l a b o r e r s :
Ham pered b y I g n o r a n c e , w i t h o u t p o l i t i c a l p o w e r, o f t e n
e x p lo i t e d b y t h e i r e m p lo y e rs, v ic tim iz e d by s p e c u l a t o r s ,
g a m b l e r s , d i s p e n s e r s o f s t r o n g d r i n k a n d l i a b l e t o Im­
p r i s o n m e n t f o r d e b t , t h e i r l o t was f a r fro m b e i n g an
e n v ia b le one.
A p a r t from a c o n s i d e r a t i o n o f t h e I n d e n t u r e d s e r v a n t ,
w h ic h w i l l b e t a k e n u p l a t e r i n t h i s c h a p t e r a s a p a r t o f a
s p e c i a l s t u d y o f th e c o lo n y o f V i r g i n i a , t h e f o r e g o i n g s e rv e s
to in d ic a te
(1 ) t h e p r e s e n c e o f many p e r s o n s o f d e f i n i t e l y
lo w e r c l a s s s t a n d i n g i n t h e c o l o n i e s ,
(2) t h e f a c t t h a t
t h e s e l o w e r o r d e r s w e re n o t i n a p o s i t i o n t o s t e p upw ard
i n t h e s o c i a l s c a l e , e l s e t h e y w ould h a v e d o n e s o , a n d , e s ­
p e c ia lly ,
(3 ) t h a t t h e i r c o n d i t i o n was n o t one o f p r o g r e s ­
s i v e a m e l i o r a t i o n a n d im p ro v e m e n t d u r i n g t h e c o l o n i a l e r a .
The a b o v e q u o t a t i o n fro m Carman was w r i t t e n a b o u t t h e lo w e r
c l a s s e s a t t h e t im e o f t h e e s t a b l i s h m e n t o f t h e C o n s t i t u t i o n ,
sh o w in g t h a t t h e c o l o n i a l p e r i o d d i d n o t f o l l o w t h e p a t t e r n
o f t h e A m erican D ream , a t l e a s t n o t f o r t h e l o w e r c l a s s e s .
The m id d l e o l a s s e s i n c o l o n i a l s o c i e t y .
Any f a m i l y
a l r e a d y a c r o s s t h a t g r e a t d i v i d e s e p a r a t i n g t h o s e who w ork
f o r o t h e r s fro m t h o s e who g e t o t h e r s t o w ork f o r them —
w h ic h was, i n t h o s e t i m e s , a t o u g h and r e a d y way o f d i v i d i n g
10 H a r r y J . Carm an, S o c i a l and E conom ic H i s t o r y o f t h e U n i t e d
S t a t e s ( B o s t o n , i $ 3 0 ) v o l . 1 , p . 466.
t h e l o w e r c l a s s e s fro m t h e i r s u p e r i o r s — was I n t h e m id d le
c la ss , a t le a s t.
T h is c la s s h a d , by 1650, sunk I t s t e e t h
I n t o t h e f r u i t s o f t h e new c o l o n i z a t i o n .
A l t h o u g h i t was
a lw a y s d i f f i c u l t t o d i s t i n g u i s h members o f t h e u p p e r m id d l e
c l a s s I n A m e ric a from many o f t h e a r i s t o c r a t s , I t was n e v e r
h a r d t o d i s t i n g u i s h members o f t h e m i d d l e c l a s s e s i n t h e
c o lo n ie s from th e m a s s e s .
F u rth erm o re,
i t i s d o u b tle ss tru e
t h a t t h e c h a n c e s o f p l u c k i n g one o f t h e l a r g e r plum s A m e ric a
o f f e r e d was many t i m e s g r e a t e r f o r t h o s e who w e re a l r e a d y
t r a i n e d i n m id d le c l a s s h a b i t s and I d e a l s and In p o s s e s s io n
o f m id d l e c l a s s c a p i t a l t h a n f o r t h o s e w ho, t h r o u g h h a b i t
an d l a c k o f c r e d i t o r c a p i t a l , l i v e d fro m h a n d t o m o u th ,
fro m f a t h e r t o s o n .
A l s o , many m id d l e c l a s s p e r s o n s who
m ig h t n e v e r h a v e f o u n d e d a f o r t u n e t h r o u g h t h e o p e r a t i o n s
o f t h e la w s o f f r e e c o m p e t i t i o n s u c c e e d e d i n w a x in g r i c h
b y b e i n g a b l e o r f o r t u n a t e en o u g h t o c o n n i v e w i t h t h e
a r i s t o c r a t i c p o l i t i c a l and econom ic l e a d e r s .
I t Is d if f ic u lt
t o d ra w a s h a r p c l a s s l i n e among t h e p e r s o n s e n g a g e d i n
p o litic a l In trig u e .
P e rso n a l p ro x im ity to J u d g e s , la n d
s u p e r v i s o r s , g o v e r n o r s , and ev en c o l o n i a l dam es
used
a l s o b y some members o f t h e m id d l e a s w e l l a s b y many members
o f t h e u p p e r c l a s s e s a s a l e v e r w i t h w h i c h t o p r y open t h e
abundant re so u rc e s of t h i s c o n tin e n t.
S o c i a l c l a s s c o n t i n u i t y from E u r o p e t o A m e r i c a .
Ab­
s o l u t e l y e s s e n t i a l t o an u n d e r s t a n d i n g o f t h e s o c i a l c l a s s e s
o f th e c o lo n ie s
(a n d l a t e r , t h e U n i t e d S t a t e s ) i s t h e c o n c e p t
"As t h e y cam e, s o d i d t h e y t e n d t o r e m a i n . "
German m id d l e c l a s s f a r m e r s , c h o o s i n g t h e i r f a r m l a n d s
c a r e f u l l y a c c o r d i n g t o sound p r i n c i p l e s o f a g r i c u l t u r e , r e ­
m a in e d i n t h e m i d d l e c l a s s .
" . . .
t h e e m i g r a n t s who f o u n d e d
t h e B a y C o lo n y b e l o n g e d t o t h e m id d le s t r a t a o f E n g l i s h
11
s o c ie ty ."
The d e v e lo p m e n t o f s o c i e t y b o t h i n t h e d i s t r i c t
o f L a n c a s t e r , P e n n s y l v a n i a and among t h e Y ankees w h e r e v e r
t h e y m i g r a t e d , e v e n g e n e r a t i o n s l a t e r , as c o n t r a s t e d w i t h
t h e p o o r w h i t e s who f l e d i n t o t h e h i l l s
c o lo n ie s , t e s t i f i e s
o f th e s o u th e a s te r n
to th e c o n tin u ity o f s o c i a l c l a s s l i n e s .
I t was t h e i n e x p e r i e n c e d ( i n c a r e e r m anagem ent) i n d e n t u r e d
s e r v a n t who a ll o w e d h i m s e l f , f o r l a c k o f means a n d f o r e s i g h t ,
t o b e m a n o e u v re d i n t o
t h e p o o r e s t l a n d s and t o r e m a i n p o c k e t e d
th e re •
The B e a r d s e x p l a i n t h e n a t u r e o f t h i s t y p e o f s o c i a l
c l a s s c o n t i n u i t y ( w i t h a l l t h e c u l t u r a l tr im m in g s t h a t w ent
w ith i t )
i n t h e movement o f p o p u l a t i o n s t o t h e c o l o n i e s ,
l a y i n g e m p h a sis upon t h e m id d le c l a s s d e r i v a t i o n s o f many
12
c o l o n i s t s . T hey w r i t e :
The p r e v a i l i n g c l a s s s t r u c t u r e b y w h ic h t h e p r o v i n c i a l
c u l t u r e o f A m e ric a was so l a r g e l y c o n d i t i o n e d was d e r i v e d
i n t h e m ain fro m t h e m o th e r c o u n t r y . A l t h o u g h I t I s some­
t i m e s i m a g i n e d , on t h e b a s i s o f s c h o o lb o o k f i c t i o n s , t h a t
t h e c o l o n i e s w e re l o c a l d e m o c r a c ie s fo rm ed on t h e p u r e
p r i n c i p l e s o f a New W orld p h i l o s o p h y and f o u n d e d on s u b ­
s t a n t i a l e co n o m ic e q u a l i t y , t h e f a c t s o f t h e c a s e l e n d
l i t t l e c o lo r t o t h a t v iew . In r e a l i t y , by t h e c o lo n i z i n g
p r o c e s s , t h e m i d d l e o r d e r s o f E n g la n d — l a n d e d g e n t r y o f
t h e m in o r r a n k , m e r c h a n t s , and yeomen — w i t h t h e i r
p s y c h o l o g y a n d s o c i a l v a l u e s w e re r e p r o d u c e d i n a new e n ­
v iro n m e n t.
11 B eard and B e a rd , o p . c l t . , p . 52.
12 I b i d . . p p . 1 2 5 - 1 2 3 7
The w h o le o f c o l o n i a l A m e ric a w a s, o f c o u r s e , p a r t l y
E n g l i s h , an d p a r t l y F r e n c h .
T h is l a s t - m e n t i o n e d s e c t i o n ,
n o ta b l y Q uebec, i s o f v a lu e t o t h i s th e o r y o f im m ig ra tio n
( a s t h e y cam e, so d i d t h e y t e n d t o r e m a in ) i n t h a t i t shows
t h e c l o s e s i m i l a r i t y b e tw e e n t h e c o l o n i a l c l a s s e s and t h e
h o m elan d .
Quebec a l s o d e m o n s t r a t e s ( a s d o t h e m o u n t a i n e e r s
o f t h e A p p a l a c h i a n r a n g e ) w h a t h a p p e n s among a p e o p l e l a r g e l y
d e v o i d o f m id d l e c l a s s e l e m e n t s , e v e n i n a l a n d o f r i c h
n a tu ra l re so u rc e s.
serfs.
Hew F r a n c e was p o p u l a t e d b y n o b l e s and
H er s o c i e t y was s h a r p l y d i v i d e d .
To t h i s d a y t h e
m ass o f F r e n c h C a n a d ia n s a r e i n t h e same p o s i t i o n , r e l a t i v e l y
a s t h e i r E n g l i s h c o u s i n s who i n d e n t e d t h e m s e l v e s t o V i r g i n i a n
and l a t e r i n t o t h e P ie d m o n t and m o u n ta in s o f t h e S o u t h ; t h e y
a r e po o r and p r o l e t a r i a n .
The o r i g i n a l s e t t l e r s , i n t h e
m a in , w e re o r p h a n s , p e a s a n t s , and common s o l d i e r s .
(A few
w e l l - e d u c a t e d g i r l s w ere s e n t o v e r t o b e t h e w iv e s o f o f ­
fic e rs .)
I m m e d i a t e l y t h e p o p u l a t i o n b e g a n t o grow t h r o u g h
13
th e n a t u r a l in c r e a s e o f b i r t h s over d e a th s .
What t h i s b i r t h - r a t e h a s b e e n p e r s i s t e n t l y , fro m h i s
d a y t o o u r own, may b e im a g in e d fro m t h e s e two t e l l i n g
f a c t s ; f i r s t , t h a t th e th r e e m i l l i o n F re n ch -C a n ad la n s
i n N o r t h A m erica t o d a y a r e n e a r l y a l l d e s c e n d e d from
l e s s t h a n t h i r t y t h o u s a n d F r e n c h i m m i g r a n t s , m o st o f
whom came o u t u n d e r T a l o n 's s u p e r v i s i o n .
I t was u n d e r T a lo n t h a t t h e p e r s o n s r e f e r r e d t o a b o v e w ere
b r o u g h t fro m F r a n c e , a s s o l d i e r s and a s p r o s p e c t i v e w i v e s ,
13 C l a r k W i s s l e r , et^ a l . , The P a g e a n t o f A m e r ic a , A d v e n t u r e s
i n t h e W i l d e r n e s s (Hew H a v en , iSSTs) p . i l l .
s e l e c t e d In o r p h a n a g e s and from among p e a s a n t g i r l s .
V ery r e c e n t l y a l e a d e r o f t h e F r e n c h - C a n a d i a n s I n
Q uebec a p p e a l e d t o h i s p e o p l e t o l e a r n E n g l i s h , b e c a u s e ,
a l t h o u g h t h e y c o u ld f a r m o r c u t t i m b e r w i t h o u t t h e u s e o f
t h a t l a n g u a g e , t h e y c o u l d n o t , w i t h o u t i t , co m p e te w i t h
14
o t h e r C a n a d ia n s f o r b e t t e r p o s i t i o n s .
Such p r o d d i n g
w o u ld h a v e b e e n u t t e r l y u n n e c e s s a r y . i n a n y p o p u l a t i o n whose
s o c i a l c l a s s m o rale had been s p i r i t e d by a l i b e r a l s p r i n k l i n g
o f t h e m id d l e c l a s s .
S t r i v in g , th ro u g h th e e d u c a tio n a l
c h a n n e l , i s c h a r a c t e r i s t i c o f t h e m id d l e c l a s s , a s i s e v i ­
d e n c e d b y t h e i n t e r e s t shown i n e d u c a t i o n among t h e m id d l e
c l a s s Y a n k ee s a n d a l l m id d le c l a s s e l e m e n t s i n t h e e a r l i e r
and l a t e s t i m m i g r a t i o n .
O t h e r c o l o n i e s b e s i d e s t h o s e m e n tio n e d a b o v e showed
c h a r a c t e r i s t i c s s i m i l a r to th o s e of E u ro p e.
W erten b a k er,
a f t e r d e s c rib in g in d e t a i l th e d if f e r e n t s o c ia l c la s s e s of
15
New A m sterdam , comes t o t h e c o n c l u s i o n t h a t
As t h e p e o p l e o f New Amsterdam w e re much t h e same a s
t h e p e o p l e o f t h e a v e r a g e D u tc h t r a d i n g to w n , so was
t h e p l a c e i n o u tw a rd a s p e c t a r e p l i c a i n m i n i a t u r e
o f A m sterdam o r M i d d e lb u r g , o r L e i d e n , o r H o o r n .
The e a r l y c l a s s e s o f t h e c o l o n i e s w e re c o u n t e r p a r t s
o f t h e E u ro p e a n s o c i a l c l a s s e s — e x c e p t f o r an o v e r ­
a b u n d a n c e o f m id d l e c l a s s e l e m e n t s i n New E n g la n d a n d e a s t e r n
P e n n s y l v a n i a , an d a l a c k o f m id d l e c l a s s e l e m e n t s i n Q u e b ec ,
14
New Y ork P o s t . J a n u a r y 1 0 , 1 9 4 1 .
15 Thomas J e f f e r s o n W e r t e n b a k e r , The F o u n d in g o f A m erican
C i v i l i z a t i o n . The M id d le C o l o n i e s (New Y o r k , 1638)
p . 40.
S p a n i s h A m e ric a , a n d t h e s o u t h e r n c o l o n i e s .
T h is w as, t h e n ,
i n s p i t e o f th e abundance o f w e a lth in r e s o u r c e s , n o t a la n d
o f e q u a l o r u n u s u a l o p p o r t u n i t y , beyond th e e a s e w i t h w h ich
a f a m ily c o u ld a t t a i n f o o d .
T h e re was much s o c i a l c l a s s
r i g i d i t y a n d , d u rin g t h e c o l o n i a l e r a , even an i n t e n s i f i c a ­
tio n of s o c ia l s t r a ti f ic a ti o n .
T h is f a c t w i l l becom e t h e
m ore c l e a r a s a r e v i e w i s made o f t h e u p p e r o r a r i s t o c r a t i c
c la ss e s •
The u p p e r c l a s s e s i n c o l o n i a l t i m e s .
The e x t e n t t o
w h ic h c o l o n i a l s o c i e t y was s t r a t i f i e d an d t h e p a r t t h a t t h e
u p p e r c l a s s e s p lay e d in t h a t s t r a t i f i c a t i o n i s
16
Carman i n t h e s e w o rd s :
sum m arized b y
We h a v e a l r e a d y n o t e d how, d u r i n g th e c e n t u r y and a
h a l f p r e c e d i n g t h e A m erican R e v o l u t i o n , two f a i r l y d i s ­
t i n c t s o c i a l an d econo m ic c l a s s e s d e v e l o p e d i n C o l o n i a l
A m e r i c a . One, t h e c o n s e r v a t i v e s , com posed o f t h e r i c h
an d t h e w e l l - b o r n - - o f m e r c h a n t s , l a r g e l a n d h o l d e r s ,
a n d m o n e y - l e n d e r s — d o m in a te d e v e r y p h a s e o f c o l o n i a l
life .
I t owned o r c o n t r o l l e d t h e econom ic r e s o u r c e s o f
th e c o lo n ie s — th e b u lk o f th e la n d , f o r e s t s , f i s h i n g .
g r o u n d s , t h e a g e n c i e s o f com m erce, and t h e f l u i d c a p i t a l .
By m eans o f p r o p e r t y q u a l i f i c a t i o n s f o r v o t i n g and o f ­
f i c e h o l d i n g , and b y r e c o u r s e t o t h e d e v i c e s o f w i r e ­
p u l l i n g , l o g - r o l l i n g , and b o s s l s m , i t was a b l e t o l i m i t
g r e a t l y t h e p o l i t i c a l power o f t h e r a n k an d f i l e .
S o c i a l l y , i t s members c o n s i d e r e d t h e m s e l v e s s u p e r i o r t o
t h e common p e o p l e , to w a rd whom t h e y assum ed a s n o b b i s h
a ttitu d e .
I n d e e d , u n l e s s one h a d money o r was a member
o f an " o l d r e s p e c t a b l e ” f a m i l y , o r was w e l l e d u c a t e d o r
h a d s e r v e d t h e s t a t e i n some p r o m in e n t c a p a c i t y , he was
r e g a r d e d a s s o c i a l l y i n f e r i o r . Even a t H a r v a r d C o l le g e
s t u d e n t s ' n a m e s, t o t h e eve o f t h e R e v o l u t i o n , w ere a r ­
ran g ed in th e o rd e r of th e " r e s p e c t a b i l i t y o f t h e i r
p a re n ta g e
16 Carm an, oj>. c l t . , p . 2 6 5 .
S o c ia l l i f e
i n t h e c o l o n i e s was " b u r d e n e d a n d charm ed"
b y t h o s e o f a r i s t o c r a t i c w a y s.
T h i s was a s m ig h t h a v e b e e n
e x p e c t e d b e c a u s e c o l o n i a l s o c i e t y was c o p i e d a f t e r t h a t o f
17
E n g l a n d . As t h e B e a r d s s t a t e :
So i n a f a s h i o n t h e ' s o c i e t y o f E n g la n d was d u p l i c a t e d .
S ons o f t h e l a n d e d p r o p r i e t o r s w e n t i n f o r t r a d e a s
w e l l as t h e C h u rch and th e a rm y ; d a u g h t e r s o f r i c h
m e r c h a n t s m a r r i e d so n s o f l a n d e d f a m i l i e s ; and a f t e r . . .
1685, a l i t t l e f l a v o r of th e c o u r t gave to n e t o th e
cerem o n ial l i f e of th e upper c l a s s e s .
M yers su m m a riz e s h i s s t u d y o f e a r l y f o r t u n e s , t r a c i n g
t h e power o f t h e u p p e r c l a s s e s t o t h e i r e a r l y c o n t r o l o f t h e
18
la n d .
I t t e n d e d t o b e t h e i r n a t u r a l r e s o u r c e . He s a y s :
The s i n i s t e r e f f e c t s o f t h i s f i r s t g r e a t g r a s p i n g o f l a n d
l o n g p e r m e a t e d t h e w hole f a b r i c o f s o c i e t y an d w e re
p r o m i n e n t l y s e e n b e f o r e a n d a f t e r t h e R e v o l u t i o n , and
e s p e c i a l l y i n t h e t h i r d an d f o u r t h d e c a d e s o f t h e e i g h t e e n t h
ce n tu ry .
The " b ad g e o f a r i s t o c r a c y " was worn e v e n i n p r o s a i c
M a ss a c h u se tts by th e
s o c i a l l y m o st r e s p e c t a b l e s t u d e n t s ;
t h e y w ere a l l o w e d t o e a t a t t h e f e l l o w ! s t a b l e a t H a r v a r d ,
a c u sto m i m p o r t e d from C a m b rid g e .
"Among t h o s e so p r i v i l e g e d
19
was one S a l t o n s t a l l o f t h e c l a s s o f 1 6 5 9 ."
(T h is and o t h e r
names on t h e m odern s o c i a l c a l e n d a r i n d i c a t e , t o some e x t e n t ,
t h e d e g r e e o f s o c i a l c l a s s s t a b i l i t y w h ic h t h i s n a t i o n h a s
m a in ta in e d .)
Some o f t h e l e a d i n g names o f f a m i l i e s o f h i g h s t a n d i n g
17 B e a rd an d B e a r d , 0£ . c l t . . p . 7 7 .
18 M y e rs , 0£ . c l t . . p p . 3 4 - 3 5 .
19 F r a n k l i n B . D e x t e r , On Some S o c i a l D i s t i n c t i o n s a t H a r v a r d
an d Y a le B e f o r e The R e v o l u t i o n ( W o r c e s t e r , 1 894) p . 5 .
20
are noted In that
many o f t h e g e n tl e m e n s e t t l e r s h a d a r i g h t t o b e a r a r m s ,
a s t h e W ash in g to n s, H a r r is o n s , B a l l s , B e r k e le y s , B y rd s,
P a g e s , G a r y s , B o l l i n g s , C l a i r b o r n e s , B u r w e l l s , and
o th e r s in V i r g i n ia , as had th e P enns, Logans, P e n n in g to n s,
L lo y d s and n u m ero u s P e n n s y l v a n i a f a m i l i e s , a s w e l l a s
many o f t h o s e who e m i g r a t e d t o New J e r s e y , D e l a w a r e , New
Y o rk a n d t o t h e New E n g la n d a n d S o u t h e r n C o l o n i e s .
No a r i s t o c r a c y can s u s t a i n i t s e l f on t h e d r y t o a s t
of l i s t s o f p recedence.
The m e a t and b r o t h o f h i g h s o c i a l
c l a s s a r e a r e s o u r c e t o e x p l o i t and th e c u sto m a ry h a b i t o f
m a r r y i n g w i t h i n t h e ’’ c l a n . 1*
T h ese n o u r i s h a n d s u s t a i n i t —
t h e y p r o v i d e f o r i t s p r e s e n t and i t s
fu tu re .
In c o lo n ia l
t im e s t h e u p p e r c l a s s e s h a d b o t h n a t u r a l and human r e s o u r c e s
t o e x p l o i t , and t h e y c o n t r a c t e d t h e i r f o r m a l a l l i a n c e s w i t h
fo re s ig h t.
The c i r c u m s t a n c e s w h ic h e n a b l e d them t o f l o u r i s h
21
a r e d e s c r i b e d b y Adams t h u s :
As h a s a l r e a d y b e e n s a i d , a c c e s s t o o f f i c i a l s o c i e t y
was a p r e r e q u i s i t e t o t h e s e c u r i n g o f t h i s i n f l u e n c e
/ l a n d g r a n t s , e t c ^ an d a s t h a t s o c i e t y was c o m p a r a t i v e l y
l i m i t e d , i n t e r m a r r i a g e among i t s members becam e i n ­
c r e a s i n g l y f r e q u e n t and everyw here added i t s w e ig h t to
th e b u ild in g up o f l o c a l a r i s t o c r a c i e s . . . .
In a l l
t h e c o l o n i e s , t h e c o u n c i l s w e re a l m o s t w h o l l y made u p o f
t h e members o f t h e s e s m a l l a r i s t o c r a c i e s , o r p l u t o c r a c i e s ,
and a s t h e s t i f f r a g e was v e r y l i m i t e d , t h e i r i n f l u e n c e
e x t e n d e d t o t h e a s s e m b l i e s . . . t h e a r i s t o c r a t s b y 1700
w e re f a s t e n i n g a f i r m g r i p b o t h on t h e p o l i t i c a l m anage­
m en t a n d c o m m e rc ia l e x p l o i t a t i o n o f t h e New W o r ld .
T h i s d o e s n o t f u l f i l l t h e A m e ric an D ream .
one l e a r n s
The m ore
a b o u t t h e c o l o n i a l a g e , t h e l e s s one c a n d e t e c t
20 Anne H o l l i n g w o r t h W h a r to n , E n g l i s h A n c e s t r a l Homes o f
N o te d A m e ric a n s ( P h i l a d e l p h i a , 1 9 l 5 ) p . 2 9 6 .
21 Adams, o p . c l t . . p p . 6 6 - 6 7 .
327.
a n y s i g n s o f i n c r e a s i n g e q u a l i t y o r open o p p o r t u n i t y o r
"m ost i n t e n s i v e ” s o c i a l m o b i l i t y .
The s o h o o lb o o k f i c t i o n
t h a t a t f i r s t a few a r i s t o c r a t s a r r i v e d w i t h t h e i r i n e p t
p e r s o n a l c o t e r i e s , t h a t t h e i r i n f l u e n c e was n o t l o n g f e l t ,
an d t h a t t h e e i g h t e e n t h c e n t u r y e x p e r i e n c e d an i n c r e a s e i n
t h e p o l i t i c a l i n s t i t u t i o n s o f d e m o c ra c y and econom ic o p p o r ­
tu n ity fo r th e l i t t l e
man ( a c c o r d i n g t o t h e B e n ja m in F r a n k l i n
p a t t e r n ) sh o u ld p erh ap s be re p la c e d #
T ru er i s th e th o u g h t
t h a t i n some o f t h e c o l o n i e s t h e r e was a s h o r t a g e o f u p p e r
c l a s s f a m i l i e s f o r s e v e r a l d e c a d e s , b u t a s t h e 1700 c o r n e r
was t u r n e d ; t h o s e on t h e i n s i d e and p r o v i d e d w i t h t h e a d ­
v a n t a g e s w e re s e t t i n g a f a s t p a c e , a s t r i d e w h ic h l e f t t h e
m a s s e s o f men f u r t h e r a n d f u r t h e r b e h i n d w i t h e a c h p a s s i n g
d ecad e up t o t h e R e v o lu tio n , a t l e a s t .
C o n t r o l o f p o l i t i c s , c l a s s an d s o c i a l c l a s s c o n s c i o u s ­
n e s s , an d c a p i t a l a c c u m u l a t i o n c r e a t e d " u p p e r c l a s s m e n ” o u t
o f e l e m e n t s , some o f w h ic h were no d o u b t o f lo w e r m i d d l e
c l a s s a n d e v e n , th o u g h r a r e l y , o f p r o l e t a r i a n b a c k g r o u n d s •
B u t t h e s e same f a c t o r s c o n t r i b u t e d more t o b r i n g i n g t o f u l l
blo o m t h e o s t e n t a t i o n o f t h o s e c l a s s e s w h ic h h ad come o v e r
" p a s s a g e p a i d , w i t h f u r n i t u r e an d s e r v a n t s . ”
They becam e a
c l i q u e o f b e a u t i f u l l y m a n s io n e d , p r o u d , and f a s h i o n a b l e f o l k .
22
These r e a l i t i e s of c o lo n i a l l i f e
22 C arm an, o p . o l t . . p p . 7 0 - 7 1 .
a re d e p ic te d in th e fo llo w in g :
I n New Y o rk an e x t r a o r d i n a r y p r o p o r t i o n o f t h e l a n d e d
w e a l t h was i n t h e h a n d e o f S i r W i l l i a m J o h n s o n o r r e p r e ­
s e n t a t i v e s o f t h o s e g r e a t a r i s t o c r a t i c f a m i l i e s who
t h r o u g h o u t t h e c o l o n i a l p e r i o d , and e v e n a f t e r , d o m in a t e d
e v e ry phase of th e c o lo n y ’s i n s t i t u t i o n a l a c t i v i t y . . . .
I n V i r g i n i a an d t h e C a r o l i n e s m i l l i o n s o f a c r e s o f f e r t i l e
la n d s of t h e b ack c o u n try f e l l in to th e hands o f sp e cu ­
l a t o r s l i k e R o b e rt B e v e r ly , R ic h a rd H en d erso n , th e
W a s h i n g t o n s , t h e C a r t e r s , an d L o rd F a i r f a x . . . .
. • • L e g a l c o n t e s t s and l o n g - d r a w n - o u t q u a r r e l s b e tw e e n
t h e o l d e r and r i c h e r f a m i l i e s e n g a g e d i n l a n d s p e c u l a ­
t i o n on t h e o ne h a n d , and t h e p o o r e r i n h a b i t a n t s and
t h e new com ers a n x i o u s t o a c q u i r e homes and l a n d e d p r o p ­
e r t y on t h e o t h e r , f e a t u r e d t h e h i s t o r y o f p r a c t i c a l l y
e v e ry c o lo n y th ro u g h o u t th e c o lo n i a l p e r i o d .
The m an n e r i n w h ic h f a v o r i t i s m an d s o c i a l s t a n d i n g
p l a y e d t h e i r p a r t i n t h e d i s t r i b u t i o n o f w e a l t h i s shown
23
in th e fo llo w in g :
For th e a c q u i s i t i o n o f a r a p id f o r t u n e In la n d m e re ly
b y s t a n d i n g w e l l w i t h t h e p o w e rs t h a t b e , New Y o rk o f ­
f e r e d a r i c h f i e l d . Among G o v e rn o r F l e t c h e r ' s g r a n t s ,
f o r e x a m p le , was one t o h i s f a v o r i t e . . . C a p t a i n John
E v a n s , o f a n a r e a . . • b e tw e e n t h r e e h u n d r e d and f i f t y
t h o u s a n d a n d s i x h u n d r e d th o u s a n d a c r e s , a q u i t r e n t o f
o n l y t w e n t y s h i l l i n g s a y e a r f o r t h e w h o le , f o r w h ic h
E v a n s a l l e g e d h e was l a t e r o f f e r e d 1 0 ,0 0 0 p o u n d s I n
E n g la n d •
H ig h s o c i a l c l a s s i s m ore t h a n f a m i l y r a n k , m oney,
an d s o c i a l p r e s t i g e — I t i s a way o f l i f e , e s p e c i a l l y a
way o f r e c r e a t i o n .
In New Y o rk , f o r I n s t a n c e , w h e re d i s ­
t i n c t i o n s w e re m ore d e f i n i t e l y p r o n o u n c e d t h a n i n New
E n g la n d o r t h e o t h e r M id d le C o l o n i e s , t h e f i n e s t f a m i l i e s
s p e n t t h e i r w i n t e r s i n t h e c i t y a t t h e m ou th o f t h e H ud so n,
“ w h e re a m u sem en ts o f v a r i o u s k i n d s from t h e t h e a t e r t o b u l l 24
b a i t i n g w ere f u r n is h e d f o r t h e i r d i v e r s io n . . . . “
*
*
*■
23 Adams, 0£ . c i t . . p . 6 6 .
24 B e a r d a n d B e a r d , 0£ . o l t . . p . 1 4 4 .
The f o r e g o i n g t r e a t m e n t o f c o l o n i a l s o c i a l o l a s s e s
h a s b e e n g e n e r a l , som ewhat s c a t t e r e d , n o n - t e c h n i c a l and
in c o n c lu s iv e .
I n o r d e r t o i n c l u d e m ore e x a c t d e t a i l s and
w i t h o u t c o v e r i n g so much t e r r i t o r y a t o n c e , t h e f o l l o w i n g
s t u d y o f t h e C o lo n y a n d t o a l i m i t e d e x t e n t t h e l a t e r S t a t e
o f V i r g i n i a h a s b e en m ade.
I t 3 purpo se i s to d e te rm in e ,
I n a s p e c i a l s u r v e y , w hat h a p p e n e d t o o n e s o c i a l c l a s s
s t r u c t u r e i n t h e New W o rld , a s o c i a l c l a s s s y s te m w h ic h h a s
h a d t o go t h r o u g h m ore t h a n I t s s h a r e o f t h e v i c i s s i t u d e s o f
s o c i a l , p o l i t i c a l , an d econ om ic c h a n g e and u p h e a v a l . V i r g i n i a
was c h o s e n b e c a u s e t h e r e c o r d s h a v e b e e n w e l l k e p t fro m t h e
e a r l i e s t t i m e s t o t h e p r e s e n t , I n v a r i o u s f o r m s , and b e c a u s e
t h e s o c i a l c l a s s s t r u c t u r e was sh a k e n b y t h e la w s made a f t e r
t h e R e v o l u t i o n an d b y t h e d e f e a t o f t h e C o n f e d e r a c y b y t h e
n o rth e rn s ta te s .
For b o th o f th e s e re a s o n s V irg in ia has
becom e t h e o b j e c t o f s p e c i a l a t t e n t i o n .
The V i r g i n i a C o lo n y and S t a t e
What w e re t h e w o r k in g s o f c o l o n i z a t i o n , i n d e n t u r e ,
l a n d p o l i c i e s , p o l i t i c a l and econom ic f o r c e s , e x c l u s i v e n e s s ,
s l a v e r y , an d war u p o n t h e t h r e e h u n d r e d y e a r s o f s o c i a l c l a s s
d e v e lo p m e n t i n t h e O ld D om inion?
ahead?
Who l a g g e d b e h i n d ?
th e o u tc a s t " h i l l - b i l l i e s ? ”
W hich V i r g i n i a n s f o r g e d
What w e re t h e a n t e c e n d e n t s o f
I t is
th e p u rp o se o f t h i s
s e c t i o n t o a n s w e r t h e s e and s i m i l a r q u e s t i o n s .
V i r g i n i a p r o d u c e d a n d w elcom ed a s t r o n g g r o u p o f
a r i s t o c r a t i c fa m ilie s*
These k e p t t h e i r l i n e s i n t a c t
t h r o u g h many d e c a d e s t h r o u g h t h e u s e o f p r i m o g e n i t u r e and
e n ta il*
B ut t h i s l e g a l b u lw a rk f e l l u n d e r th e f e r o c io u s
a t t a c k s o f r e v o l u t i o n a r y e g a l i t a r i a n i s m , l e d b y one o f h e r
own s o n s .
W e re , t h e n , t h e F i r s t F a m i l i e s c r u s h e d , d i s ­
p e rse d , ru in ed ?
N ot a p p r e c i a b l y .
th e l e g a l b u lw a rk .
Custom t o o k t h e p l a c e o f
D id t h e c o m p e t i t i o n o f M i s s i s s i p p i c o t ­
t o n , o f M i s s o u r i c o r n , o f n o r t h e r n I n d u s t r y , r u i n and b r i n g
d e sp a ir to th e " p la n te r c la ss"?
N ot a p p r e c i a b l y .
The War
B etw een t h e S t a t e s was a g r e a t b l o w , b u t t h e d e s c e n d a n t s o f
th e o ld le a d in g c o lo n ia l V ir g in ia n s becam e, l a r g e l y , law y ers,
b a n k e r s , r e a l e s t a t e m en, e d i t o r s , p o l i t i c i a n s .
T hey a r e
s t i l l on t o p t o d a y — n o t a l l o f them and n o t e x c l u s i v e l y ,
of co u rse.
The I d e a o f s o c i a l c l a s s s t a b i l i t y and c o n t i n u i t y
becom es d e e p l y i m p r e s s e d upon an y o n e who s t u d i e s t h e p r e s t i g e
g ro u p s In V i r g i n i a n s o c i e t y t h r o u g h t h e y e a r s .
I f th e s e f a c t s a re s u b s ta n t ia t e d b y th e d a ta to fo llo w ,
t h e s t o r y o f s o c i a l c l a s s e s I n one p a r t o f t h e U n i t e d S t a t e s
w ill be co m p lete .
F u rth e rm o re , I t w i l l be d e m o n s tra te d
th a t even in t h i s s o - c a l l e d la n d o f " s h i r t s le e v e s t o s h i r t
s l e e v e s i n t h r e e g e n e r a t i o n s " t h e r e was r i g i d i t y I n t h e
s o c ia l c la s s s t r u c tu r e , c o n tin u ity in s o c ia l c la s s l i n e s ,
s u f f i c i e n t t o c a s t d o u b t upon t h e v a l i d i t y o f t h e g r e a t
A m e ric an D ream .
V irg in ia b e fo re 1650.
V i r g i n i a waa n o t s e t t l e d
c h i e f l y b y m id d l e c l a s s e l e m e n t s .
I f t h e m id d le c l a s s was
n o t w e l l r e p r e s e n t e d i n t h e im m i g r a n t s t o c k , no one s h o u ld
e x p e c t t o f i n d i t w e l l r e p r e s e n t e d i n t h e c o lo n y t h i r t y o r
f o r ty y ears l a t e r .
I t was n o t .
Up t o t h e y e a r 1 6 3 5 , a b o u t one q u a r t e r o f t h e Immi­
g r a n t s w ere f r e e p e r s o n s .
" A fte r 1635, th e p e rc e n ta g e o f
25
f r e e s e t t l e r s b e cam e much s m a l l e r . "
W e r te n b a k e r g oes on
26
to say:
W ith t h e e x c e p t i o n o f t h e m e r c h a n t s a n d o t h e r w e l l - t o do men t h a t f o rm e d t h e b a s i s o f t h e a r i s t o c r a c y , t h e
f r e e I m m ig ra n ts w ere i g n o r a n t a n d c r u d e . B u t few o f
them c o u ld r e a d a n d w r i t e • • • •
Where a v o id e x i s t e d — w h e re no s i z a b l e m id d le c l a s s
came o v e r , an d few a r i s t o c r a t i c
f a m i l i e s came and r e m a in e d
d u rin g th e e a r ly decades — i t I s n o t s u r p r is in g t h a t a t
f i r s t t h e r e were "few men o f good s t a n d i n g i n t h e c o l o n y ,"
and t h a t some p o o r l y e d u c a t e d p e r s o n s o f hum ble o r i g i n s h o u ld
27
be found in " im p o rta n t p o s i t i o n s . "
W e r te n b a k e r s t a t e s
t h a t t h i s " I s n o ta b ly t r u e o f th e f i r s t h a l f o f th e 1 7 th
c e n t u r y , " and t h a t h a d " t h e r e b e e n many men o f a b i l i t y bn
•rank t o s e l e c t f r o m , t h e s e P l e b e i a n s w ould n e v e r h a v e f o u n d
28
a p l a c e I n t h e A s se m b ly . . . ."
25 Thomas J . W e r t e n b a k e r , P a t r i c i a n and P l e b e i a n I n V i r g i n i a
( C h a r lo tte s v ille , 1910) p . 155.
26 L o o . c l t .
Thus t h e l a n d o f o p p o r t u n i t y was e s p e c i a l l y g r a t e f u l
f o r t h e a s s i s t a n c e o f e n e r g e t i c p e r s o n s o f v e r y common o r i g i n
b e c a u s e t h e r e was work t o b e d o n e , e v e n l e g i s l a t i v e w o rk ,
so l o n g a s t h e u p p e r c l a s s e s w e re s h o r t h a n d e d .
L a t e r , when
enough w e l l - b o r n i n d i v i d u a l s a r r i v e d o r w e re b o r n i n t h e
c o l o n y , i t was n a t u r a l ,
as i n d i c a t e d ab o v e, t h a t p e o p le of
l o w l y b i r t h s h o u l d becom e p e r s o n n a e non g r a t a .
A f te r 1650,
and e s p e c i a l l y a f t e r 1 7 0 0 , t h i s e x a c t d e v e lo p m e n t t o o k p l a c e .
29
One r e a d s :
I n s ta n c e s o f th e e l e c t i o n o f freed m en to th e H ouse, f a i r l y
f r e q u e n t i n t h e e a r l y y e a r s o f t h e c o l o n y , becam e r a r e r
a s t h e c e n t u r y a d v a n c e d and t h e f i e l d o f s e l e c t i o n
w id en ed • . . ev en so l a t e a s t h e m i d d l e o f t h e c e n t u r y
t h e d o o r o f o p p o r t u n i t y was s t i l l open t o t h e f r e e d m a n .
The d o o r t o o p p o r t u n i t y ,
i n o t h e r w o r d s , v/as open i n
V i r g i n i a d u r i n g t h e few d e c a d e s b e f o r e t h e coming o f many
r e s p e c t a b l e f a m i l i e s , b e f o r e many p e o p l e a t a l l h a d come.
’’P r i o r • t o t h e p a s s a g e o f t h e n a v i g a t i o n a c t s
. . • V irg in ia
an d M a ry la n d w ere l a n d s o f o p p o r t u n i t y f o r t h e p o o r i m m i g r a n t .
As u s u a l l y r e c o u n t e d , t h e A m e ric an Dream makes no p r o v i s i o n
f o r s u c h a su d d e n e n d in g i n two o f t h e r i c h and p r o s p e r o u s
c o l o n i e s b e f o r e 16801
The e x a c t e x t e n t t o w h ic h f o r m e r i n d e n t u r e d s e r v a n t s
w ere h o n o r e d b y h i g h p o s i t i o n s i n t h e e a r l y y e a r s i s d e b a t e d
by th e g r e a t e s t a u t h o r i t i e s in t h i s f i e l d .
B ru c e q u o t e s
29 Thomas J e f f e r s o n W e r t e n b a k e r , The P l a n t e r s o f C o l o n i a l
V i r g i n i a ( P r i n c e t o n , 1 9 2 2 ) p . 73<5’I
30 W e r t e n b a k e r , 0£ . c l t . ( 5 ) , p . 3 3 .
D r . W il l ia m G. S t a n a r d a s s a y i n g t h a t " b e tw e e n 1607 and 16 50,
o n l y two names / o f A sse m b ly m en / can b e f o u n d who h a d e v e r
31
been te c h n ic a lly in th e l i s t of in d e n tu re d s e r v a n ts ."
W e r te n b a k e r s e a r c h e d t h r o u g h t h e l i s t s
and fo u n d a few
s c a t t e r e d e x - s e r v a n t s , so m e tim e s n o n e , u s u a l l y one o r tw o ,
once f o u r a t one s e s s i o n .
" a g e n tle m a n b y b i r t h . "
Of t h e s e f o u r one was a T ow nsend,
(Many o f t h e i n d e n t u r e d s e r v a n t s
w ere e d u c a t e d m en, and some o f h i g h l y c u l t u r e d f a m i l i e s ,
a s h a s b e e n p r e v i o u s l y s h o w n .)
W e r t e n b a k e r 1s e s t i m a t e s and
g iv e s f i g u r e s s l i g h t l y h ig h e r th a n th o se o f B ru c e, b u t th e
32
d iffe re n c e is not s ig n if ic a n t.
The i m p o r t a n t p o i n t i s
t h a t t h e s e o p p o r t u n i t i e s soon
c lo s e d f o r p e rs o n s o f lo w ly b i r t h .
F u rth e rm o re , in p e r ­
c e n t a g e s o f t h e t o t a l num ber o f s o c i a l i n f e r i o r s t h o s e who
r o s e i n t h e e a r l y d e c a d e s w ere e x c e e d i n g l y s m a l l .
"At t h e
end o f h a l f a c e n t u r y no l e s s t h a n 5 6 ,2 5 0 p e r s o n s would h a v e
em erged fro m s e r v i t u d e t o becom e f r e e c i t i z e n s . "
And n o t
a l l o f th e s e had been bo rn to p o v e rty and ig n o ra n c e .
One d i s c o v e r s t h a t " i t
i s a p p a re n t,
th e n , t h a t in
t h e f i r s t h a l f c e n t u r y o f i t s e x i s t e n c e V i r g i n i a was t h e
33
la n d of o p p o r tu n ity ."
B u t t o a d m it e v e n t h i s , one i s
p u t in th e p o s i t i o n o f a t t r i b u t i n g g r e a t im p o rtan c e to th e
r i s e i n l o c a l im p o rtan c e o f a r e l a t i v e l y i n s i g n i f i c a n t
33- P h i l i p A l e x a n d e r B r u c e , T he
t h e S e v e n t e e n t h C e n tu r y
1 3 2 7 ) p . ' I SO'.--------------32 W e r t e n b a k e r , 0£ . c l t . ( 5 ) .
33 W e r t e n b a k e r , £ £ . 011;'. (2 8 )
S o c i a l L i f e o f V ir g in ia i n
(L yn ch b u rg. se c o n d e d i t i o n .
p . 33.
p . 71.
334
num ber o f f o r m e r s e r v a n t s , some o f whom w ere b o r n i n t o good
fa m ilie s.
H ow ever, f i f t y y e a r s a t t h e v e r y b e g i n n i n g i s
n o t a v e r y l o n g tim e f o r o ne o f t h e w e a l t h y c o l o n i e s t o r e ­
m ain t r u e , even i n a d e f i n i t e l y l i m i t e d w ay, t o t h e A m e ric an
D ream .
I t i s s a i d t h a t i f a man a p p l i e d h i m s e l f d i l i g e n t l y
t o h i s t a s k , h e c o u l d p l a n t and h a r v e s t w i t h h i s own h a n d s
a s i z a b l e c r o p o f t o b a c c o , on t h e f r e e l a n d a v a i l a b l e d u r i n g
th e f i r s t decades o f th e l i f e
o f th e c o lo n y , a t a f a i r
m a r g in o f p r o f i t , b u t f o r t h e h i g h c o s t o f a l l
im p o rte d .
a rtic le s
The f a r m e r s c o m p l a i n e d , ev en b e f o r e t h e p a s s a g e
o f th e n a v ig a ti o n a c t s , t h a t " t h i s y e a r th e M erch an ts have
b o u g h t o u r t o b a c c o w i t h t h e i r c o m m o d itie s a t l e s s t h a n a
34
p e n n y t h e p o u n d e ."
F u r t h e r m o r e , j u s t a s some o f t h e s e
i n d e p e n d e n t f a r m e r s w e re g e t t i n g on t h e i r f e e t , a s w i l l b e
s e e n , t h e i r f e e t were k n o c k ed fro m u n d e r t h e m , and m e c h a n ­
ism s s e t t o w ork a g a i n s t a r e p e t i t i o n o f t h e s e v e r y o p p o r ­
t u n i t i e s i n a g r i c u l t u r e , so f a r a s t h e s e r v a n t s and p o o r
f r e e men y e t t o come w ere c o n c e r n e d .
F i n a l l y , none o f th e g r e a t V ir g in ia n f a m i l i e s d e­
s c e n d e d fro m s e r v a n t s .
The n e a r e s t a n y o f th e m came t o
l o w e r c l a s s a f f i l i a t i o n a t t h e t i m e o f e m i g r a t i o n was t o
h a v e s p r u n g f ro m members o f some o f t h e E n g l i s h g i l d s .
34 I b i d . . p . 7 2 .
A d m itte d ly , b u t n o t c o n n o tin g lo w ly or p r o l e t a r i a n o r i g i n ,
35
t h e B y rd s d e s c e n d e d fro m ”a London g o l d s m i t h . ”
Oswald
C ary was t h e so n o f an E n g l i s h m e r c h a n t , P h i l i p L u d w e ll o f
a m e r c e r , a n d Thomas F i t z h u g h , a s i f t o s t r a i n a t a g n a t t o
show some low c l a s s b a c k g r o u n d among t h e FFV’ s , ”was t h o u g h t
36
to have been th e grandson of a m a l s t e r . ”
Many o f t h e f i r s t f a m i l i e s m i g r a t e d t o A m erica a f t e r
1 6 5 0 , a s a p a r t o f t h e r o y a l i s t ex o d u s a t t h e t i m e o f
C ro m w e ll.
T hey w e r e , a s w i l l b e show n, t o b r i n g h i g h c l a s s
s t a n d a r d s an d h a b i t s w i t h th e m .
F u r t h e r m o r e , i n v iew o f
t h e f a c t t h a t m o st o f t h e l e a d i n g c o m m e r c ia l c l a s s e s com ing
t o A m e ric a w ere e i t h e r d i r e c t l y o r r e m o t e l y r e l a t e d t o t h e
g e n t r y and t o t h e n o b i l i t y , t h r o u g h one l i n e o r a n o t h e r , i t
i s u s e l e s s t o t r y t o d e t e r m i n e e x a c t l y t h e e x t e n t t o w hich
t h e y w e re t e c h n i c a l l y a r i s t o c r a t i c .
W e rte n b a k e r a n d B ru c e
have b o th a tte m p te d t o answ er th e q u e s tio n o f th e s o c i a l
ra n k o f t h e le a d in g f a m i l i e s o f V i r g i n ia a t th e tim e o f
th e ir a rriv a l.
One a u t h o r l e a n s to w a rd t h e ’’commoner” i n ­
t e r p r e t a t i o n , t h e o t h e r to w a rd t h e ”b l u e - b l o o d ” t h e o r y .
B ru c e h a s p o i n t e d o u t , a s w i l l b e show n, t h a t t h e p r o m in e n t
f a m i l i e s i n V i r g i n i a h a d , a l m o s t u n i f o r m l y , r e s p e c t a b l e and
h o n o rab le b ack g ro u n d s.
35 W e r t e n b a k e r , 0£ . c l t . ( 2 4 ) , p . 1 9 .
36 I b i d . . p . 2 0 .
V i r g i n i a n s o c i a l c l a s s e s I n t h e p e r i o d fr o m 1650 t o
1725.
V i r g i n i a was n o t s e t t l e d b y s t r o n g c o n t i n g e n t s o f
m id d le c l a s s e l e m e n t s , a s was t h e B a y .
At f i r s t ,
in f a c t ,
t h e r e was a s h o r t a g e o f s o c i a l , even o f p o l i t i c a l and e c o ­
n o m ic , l e a d e r s h i p .
T h i s s i t u a t i o n was g r a d u a l l y r e m e d i e d .
57
B ru c e shows t h i s i n t h e f o l l o w i n g e x c e r p t :
B u t fro m 1619 . . . down t o 1 7 0 0 , p e r h a p s n o t a p e r i o d
o f t w e l v e m o n th s w en t b y t h a t t h i s / g e n t r y / c l a s s d i d
n o t r e c e i v e a d d i t i o n s b y t h e a r r i v a l fr o m E n g la n d o f men
o f e q u a l s o c i a l s t a n d i n g , who were i n a p o s i t i o n t o a c ­
q u i r e , b y p a te n t or p u rc h a se , e s t a t e s , la r g e o r sm a ll,
a c c o r d i n g t o t h e m eans a t t h e i r command. And t h e s e men
became a t o n c e a s much a p a r t o f t h i s c l a s s fro m a s o c i a l
p o i n t o f v iew a s i f t h e y had b e e n b o r n i n t h e C o lo n y i n
t h e same w a lk o f l i f e . . . .
I t was i n t h i s c e n t u r y t h a t
t h e r e e m i g r a t e d f r o m E n g la n d t h e A r m i s t e a d s , B a n i s t e r s ,
B a s s e ts , B la n d s, B o llin g s , B acons, B re n ts , B e v e rle y s ,
B u rw e lls , B y rd s, C arys, C o rb in s, C a r t e r s , C la ir b o r n e s ,
C u rtis e s , F a u n tle ro y s, F itz h u g h s, H a rris o n s, L ees,
L i g h t f o o t s , L u d w e l l s , M a so n s , P a g e s , P e y t o n s , R a n d o lp h s ,
R o b i n s o n s , S c a r b o r o u g h s , S p e n c e r s , T a y l o e s , T h o ro u g h g o o d s ,
W a s h i n g t o n s , a n d W orm eleys . . . .
By t h e t im e t h e s e f a m i l i e s h a d a c q u i r e d t h e i r e s t a t e s ,
b y p a t e n t o r p u r c h a s e , m o s t o f t h e E a s t e r n S h o re was t a k e n
u p , r e s e r v e d , and m o n o p o liz ed .
B e f o r e 1700 a g r e a t d i s l o c a ­
t i o n o f t h e common w h i t e p o p u l a t i o n i n t h i s a r e a was t a k i n g
p la c e .
T h e s e commoners w e re b e i n g d r i v e n , l i k e c a t t l e
b efo re a f i r e ,
i n t o th e h i l l s and a c r o s s th e b o r d e r .
I n one
m an n er o r a n o t h e r t h e y w e re n e a r l y a l l c a u g h t I n t h e d r a g - n e t
of m isfo rtu n e .
A c c o r d i n g t o t h e R e n t R o l l s o f 1 7 0 4 - 1 7 0 5 , t h e r e w ere
37 B r u c e ,
0£
. c l t . . p p . 11-12.
450 f a m i l i e s i n V i r g i n i a ( a p a r t fro m t h e N o r t h e r n N e c k ,
h e l d l a r g e l y b y a few f a m i l i e s , i n c l u d i n g t h e W a s h i n g t o n s ,
L e e s , S p e n c e r s , an d C a r t e r s ) w i t h f a r m s o f m ore t h a n one
t h o u s a n d a c r e s j 750 f a m i l i e s owned f a r m s o f fro m f i v e
h u n d r e d t o one t h o u s a n d a c r e s , and 2693 owned a c r e a g e s o f
fro m one h u n d r e d t o f i v e h u n d re d *
D e f in ite ly in th e c la ss
o f s m a l l I n d e p e n d e n t s w e re 1411 f a m i l i e s who l i v e d on t h e i r
38
own s m a l l t r a c t s o f l e s s t h a n one h u n d r e d a c r e s .
B ut th e f r e e p o p u la tio n , by th e t u r n o f t h e c e n tu r y ,
c o u l d n o t p o s s i b l y h a v e b e e n l e s s t h a n 2 0 ,0 0 0 f a m i l i e s .
S e r v a n t s , who made up t h e g r e a t m a j o r i t y o f t h e w h i t e im­
m i g r a n t s , w e re b e c o m in g fr e e d m e n as e a r l y a s 1671 a t t h e
39
r a t e o f one t h o u s a n d p e r y e a r .
Out o f t h e s e 2 0 ,0 0 0
f a m i l i e s , o r m o re , o n l y 4854 a r e a c c o u n t e d f o r among t h e
ow ners o f l a n d (town l i f e had n o t d e v e l o p e d g r e a t l y a t t h i s
tim e).
One i s f o r c e d t o c o n c lu d e t h a t t h o u s a n d s w ere d e ­
p r e s s e d b e lo w t h e l e v e l o f l a n d o w n e r s h i p , i n a c o l o n y o f
a b u n d a n t l a n d , o r t h e y had m i g r a t e d t o p a r t s unknown t o t h e
la n d t i t l e
o ffic e .
T hey h a d become s q u a t t e r s .
W h ite men gave way t o b l a c k .
!,P o r a f u l l h a l f c e n t u r y
t h e t o b a c c o c o l o n i e s w e re s u b j e c t e d t o a d o u b l e m ovem ent,
t h e i n f l u x o f A f r i c a n s l a v e s , and t h e f l i g h t b e f o r e them o f
40
poor w h ite s ."
Of t h o s e who r e m a i n e d , many s a n k i n t o a
38 I b i d . , p p . 9 8 - 1 0 5 .
39 W e r t e n b a k e r , oj>. c i t . ( 2 8 ) , p . 4 1 .
40 W e r t e n b a k e r , 0£ . c i t . ( 5 ) , p . 3 0 5 .
s t a t e o f p o v e r t y an d m i s e r y .
In c o n t r a s t , a t t h a t tim e , th e p ro sp e ro u s p l a n t e r
was m a s t e r o f a l l h e s u r v e y e d .
H is g r e a t d w e l l i n g was com­
f o r t a b l e , " I t s g r e a t h a l l hung w ith t a p e s t r y , i t s
41
p r o v i d e d w i t h a l l k i n d s o f f u r n i t u r e . . . ."
c h am b ers
Of t h e d i s p l a c e m e n t o f t h e l i t t l e man, t h e B e a r d s
s a y : "U n d e r t h e s y s te m o f e x t e n s i v e and w a s t e f u l c u l t i v a ­
t i o n b y s l a v e l a b o r , t h e r i c h c o a s t a l p l a i n was q u i c k l y
o c c u p i e d , f o r c i n g s m a l l f a r m e r s i n s e a r c h o f homes t o f l o c k
42
i n t o t h e u p lan d r e g i o n s . "
I t was a s i m i l a r d i s p l a c e m e n t
t o t h a t d e s c r i b e d b y B e n ja m in F r a n k l i n I n t h e m em orable
work s a i d t o h a v e b e e n t h e s o u r c e o f M a l t h u s ' i n s p i r a t i o n
t o w r i t e on p o p u l a t i o n .
F r a n k l i n w r o t e : "The n e g r o e s
. . .
have g r e a t l y d im in ish e d th e w h ites t h e r e ; th e poor a re by
t h i s m eans d e p r i v e d o f e m p lo y m en t, w h i l e a few f a m i l i e s
43
a c q u i r e v a s t E s t a t e s . . . ."
The s m a l l i n d e p e n d e n t f a r m e r , p e r h a p s a f o r m e r
s e r v a n t o r h i s d e s c e n d a n t, a f t e r th e p a ssa g e o f th e n a v ig a ­
t i o n a c t s , " o f t e n s u f f e r e d k e e n l y f o r a l a c k o f a d e q u a te
c lo th in g . . .
44
c o ld ."
c o u l d n o t p r o t e o t h i s f a m i l y fro m t h e w i n t e r ' s
The d e a t h - k n e l l o f t h e A m erican Dream i s so u n d e d b y
45
W e r t e n b a k e r I n t h e s e w o rd s :
41 I b i d . , p . 3 1 5 .
42 B e a r d and B e a r d , 0£ . c i t . , p . 8 7 .
43 B e n ja m in F r a n k l i n , " O b s e r v a t i o n s C o n c e r n in g t h e I n c r e a s e o f
M an k in d , P e o p l i n g o f C o u n t r i e s , e t c . , " The M agazine o f
H i s t o r y , e x t r a nu m b ers 6 1 - 6 4 , v o l . XVI I T a r r y t o w n , 115X8,
f i r s t p r i n t e d I n B o s t o n , 1 7 55) p p . 2 2 0 - 2 2 1 .
44 W e r t e n b a k e r , o p . c i t . ( 2 8 ) , p . 1 0 3 .
45 I b i d . . p p . 9 7 ^ 9 8 .
I t w ould b e e x p e c t e d , t h e n , t h a t e v e n th e m o st e x ­
h a u s t i v e i n v e s t i g a t i o n c o u l d r e v e a l b u t a few i n d e n t u r e d
s e r v a n t s , com ing o v e r a f t e r 1 6 6 0 , who s u c c e e d e d i n e s ­
t a b l i s h i n g t h e m s e l v e s i n t h e V i r g i n i a y e o m a n ry , and s u c h ,
i n d e e d , i s t h e c a s e * F o r t u n a t e l y we h a v e a t h a n d f o r
t h e p e r i o d i n q u e s t i o n t h e m eans o f d e t e r m i n i n g t h i s
m a t t e r w i t h an e x a c t n e s s i m p o s s i b l e f o r t h e f i r s t h a l f
o f t h e c e n t u r y . . . i t i s s a f e t o s a y t h a t n o t m ore
th an f i v e or s i x p e rc e n t o f th e in d e n tu r e d s e r v a n ts of
t h i s p e rio d su c c e e d e d i n e s t a b l i s h i n g th e m se lv e s a s i n ­
dependent p l a n t e r s .
The f o r e g o i n g was b a s e d on an e x a c t s c i e n t i f i c s t u d y
o f fa m ily nam es.
The c o n s e q u e n c e s o f t h i s
t r e n d h a d enorm ous
r e p e r c u s s i o n s upon t h e h o p e s o f many o f t h o s e who h a d come
t o V i r g i n i a t o e s t a b l i s h t h e m s e l v e s i n a new l a n d o f a b u n d an c e
and o p p o r t u n i t y .
W e r t e n b a k e r ' s o b i t u a r y o f t h e A m erican
46
Dream i s su m m arize d i n t h e s e w o r d s :
The g l o r i o u s p r o m i s e s w h ic h th e c o u n t r y h a d h e l d o u t t o
him 2 ^ h e V i r g i n i a n yeom an^ i n t h e f i r s t f i f t y y e a r s o f
i t s e x is te n c e had been b e lie d *
The V i r g i n i a w h ic h had
f o r m e r l y b e e n so l a r g e l y t h e l a n d o f t h e l i t t l e f a r m e r ,
h a d becom e t h e l a n d o f m a s t e r s and s l a v e s *
For aught
e l s e t h e r e was no ro o m .
47
I n a n o t h e r volume t h e same a u t h o r s t a t e s :
The S o u t h f e l l l a r g e l y u n d e r t h e c o n t r o l o f an a r i s t o c r a c y
o f l a r g e s l a v e - h o l d e r s . . . w h i l e t h e ’'p o o r w h i t e t r a s h ”
who owned no s l a v e s w e re k e p t i n a c o n d i t i o n o f econom ic
and p o l i t i c a l d e p e n d e n c e .
H i s t o r y h a s show n, a l s o , t h a t t h o s e who c h o s e t o
f l e e t o t h e u p l a n d s i n o r d e r t o e k e o u t an e x i s t e n c e on t h e
h i l l s i d e s o n l y jum ped o u t o f t h e f r y i n g pan i n t o t h e f i r e .
46 I b i d . . p . 1 5 1 .
47 W e r t e n b a k e r , o p . c i t .
(1 4 ), pp . 19-20.
No h o n o r a b l e s t a t u s o r s t a b l e s t a n d a r d o f l i v i n g was w i t h i n
r e a c h o f t h o s e who t h r e w up t h e i r s h a c k s on t h e m o u n ta in
sid e s.
The l i t t l e
man who came e a r l y an d g o t a s m a l l f o o t ­
h o l d on s e c u r i t y was d i s p l a c e d ; t h e l i t t l e
man who came
l a t e r f o u n d n o t ev en a r e s p i t e fro m h i s m i s e r y ; A m e ric a w a s,
fro m t h e d a y o f h i s a r r i v a l , a n o t h e r s y s te m o f s o c i a l c l a s s
r i g i d i t y , fro m w h ic h h e h a d p r e s u m a b l y h o p e d t o e s c a p e .
S h o r t l y b e f o r e 1860 t h i s f r e e z i n g o u t p r o c e s s was
s t i l l p r o c e d i n g on i t s r e l e n t l e s s s c h e d u l e .
w h i t e s on t h e b a n k s o f t h e G ongaree ( S . C . )
d e sce n d an ts o f fo rm er p r o p r i e t o r s
’’The p o o r
. . . are th e
. • . b u t f o r g e n e ra tio n s
t h e i r f a t h e r s have been g ra d u a lly s e l l i n g o f f to th e r i c h e r
48
p la n te rs .”
B ruce r e p o r t s t h a t t h e I n d i v i d u a l p l a n t a t i o n grew
l a r g e r and l a r g e r a s t h e num ber o f s l a v e s i n c r e a s e d .
t e n d e n c y to w a r d e n g ro s s m e n t o f t h e s o i l
. . .
"The
was j u s t a s
49
s t r o n g i n 1861 . . .
T h is was t r u e i n
a s i t was two h u n d r e d y e a r s e a r l i e r . "
s p i t e o f t h e J e f f e r s o n i a n la w s a g a i n s t
p r i m o g e n i t u r e and e n t a i l .
Such i s t h e g e n e r a l o u t l i n e o f t r e n d s I n o p p o r t u n i t y
i n V i r g i n i a I n t h e m id d le p e r i o d o f h e r c o l o n i a l d e v e lo p m e n t
48 A r t h u r W. C a lh o u n , A S o c i a l H i s t o r y o f t h e A m e ric an F a m il y
v o l . I I ( C l e v e l a n d , .1618) p . 3 4 9 .
49 P h i l i p A l e x a n d e r B r u c e , The R i s e o f t h e New S o u t h .
( P h i l a d e l p h i a , 1905) p . 4&2.
and an i n d i c a t i o n o f t h e c o n t i n u a t i o n o f t h o s e t r e n d s .
For
t h e t h i r s t y p o o r o p p o r t u n i t y i n V i r g i n i a was an o c e a n o f
s a l t w a te r.
O r, i f one p r e f e r s a n o t h e r f i g u r e , e v e n t h e
e a r l y o p p o r t u n i t y was an ’’I n d i a n g i f t ” ; t h e r e was a s t r i n g
a tta c h e d .
A r e v i e w o f t h e l i k e l i h o o d o f a p o o r m an’ s r i s i n g
an d b e c o m in g a p a r t o f r e s p e c t a b l e s o c i e t y w i l l n o t b e com­
p l e t e , h o w e v e r , u n t i l a s u r v e y i s made o f t h e d i f f e r e n t
c la s s e s , as such.
S l a v e s an d f r e e N e g r o e s .
The e a r l y N e g r o , l i k e t h e
e a r l y s e r v a n t , had a b e t t e r chance of im p ro v in g h i s s i t u a 50
t i o n t h a n d i d t h o s e who a r r i v e d l a t e r . Woodson s t a t e s :
T h e s e f i r s t A f r i c a n c a p t i v e s i n A m e r ic a , m o r e o v e r ,
w e re l a r g e l y h o u s e s e r v a n t s who h a d a l m o s t a s much
f r e e d o m a s members o f t h e i r m a s t e r s ' f a m i l i e s . T h e r e
i s e v i d e n c e t h a t t h e N e g ro e s b r o u g h t t o Jam estow n i n
1619 w ere p l a c e d among f a m i l i e s i n t h i s way / a s i n ­
d e n t u r e d s e r v a n t s / , and one o f t h o s e v e r y N e g r o e s b e ­
came t h e m a s t e r o f a s e r v a n t h i m s e l f .
And i n a n o t h e r volume t h e same a u t h o r makes t h e f o l l o w i n g
s t a t e m e n t : ”As t h e N e g ro e s w ere f i r s t b r o u g h t h e r e a s i n ­
d e n t u r e d s e r v a n t s a n d o n l y t h e r e a f t e r w ere d e b a s e d t o t h e
s t a t u s o f s l a v e s , some o f t h e r a c e becam e f r e e d u r i n g t h i s
51
tra n s itio n .”
50 C a r t e r G. W oodson. N egro M akers o f H i s t o r y (W a s h in g to n ,
1928) p . 25.
51 C a r t e r G . Woodson, F r e e N egro Heads o f F a m i l i e s i n t h e
U n i t e d S t a t e s i n 1850 (W a s h in g to n . 19 25) p . x l v i .
E m a n c ip a te d s l a v e s an d t h e i r d e s c e n d a n t s moved i n
two d i r e c t i o n s : one g r o u p , u s u a l l y t h o s e g i v e n t r a i n i n g ,
e x p e r i e n c e , and money b y a k i n d m a s t e r , fo rm e d t h e b a s i s
f o r w h a t so o n b ecam e t h e N egro m id d le c l a s s .
T he o t h e r
f r e e d m e n o f c o l o r l i v e d an o u t c a s t , n e g l e c t e d , and i n s e c u r e
e x iste n c e .
T h e i r s t a t e was o f t e n m ore m i s e r a b l e t h a n t h a t
o f many s l a v e s - - i t was a s t a t e o f e x i s t e n c e somewhat S i m i l a r
t o t h a t o f t h e l e a s t f o r t u n a t e poo r w h i t e s .
F re e d o m , a s an
a b s t r a c t p r i n c i p l e , d i d n o t h a v e c o n c r e t e s o c i a l c l a s s m ea n ­
in g in c o lo n ia l V ir g in ia ,
R e a l i t i e s b e l i e d W e c t e r 's s t a t e ­
m ent t h a t " t h e r e w e re o n l y tw o c l a s s e s i n A m e ric a : i n d e n t u r e d
52
s e r v a n t s o r s l a v e s , an d f r e e m e n , "
A s l a v e ' s c h a n c e s o f r i s i n g w ere n o t d e p e n d e n t upon
h i s t a l e n t s and a b i l i t i e s ;
t h e y were p e r s o n a l an d d e p e n d e n t
upon t h e whims an d l e a n i n g s o f h i s m a s t e r .
H ow ever, t h e
h o u s e s e r v a n t s , who te n d e d t o form a s o c i a l c l a s s among t h e
s l a v e s , d i d a t t a i n one r u n g above t h e f i e l d
c la ss .
s l a v e s , as a
B ut f u r t h e r r i s i n g d i d n o t d e p e n d u pon i n d i v i d u a l
e ffo rt.
In d en te d s e r v a n t s ,
among t h e w h i t e s e r v a n t s ,
I t was n o t among N e g ro e s b u t
t h e r e d e m p t i o n e r s , t h a t on e w ould
e x p e c t t o f i n d many p e r s o n s r i s i n g ab o v e t h e i r f o r m e r s t a t i o n .
B u t t h e f a t e o f t h e e a r l i e r s e r v a n t s , who soon l o s t t h e l i t t l e
52 D ix on W e c t e r , T he S aga o f A m erican S o c i e t y . A R e c o rd o f
S o c i a l A s p i r a t i o n , T 6 0 7 -1 9 3 7 (New York, T 9 3 7 T ”pT T4.
h o l d t h e y h a d a t t a i n e d on t h e l e d g e o f y e o m a n ry , a n d t h e
f a t e o f l a t e r l o w e r c l a s s a r r i v a l s , bound o r f r e e , who
f o u n d t h e i r o n e an d o n l y c h a n c e t o e s c a p e u t t e r m i s e r y In
t h e m i s t y b l u e h i l l s , h i g h an d f a r t o t h e w e s t and s o u t h
o f t h e e a s t e r n s h o r e , was an u n h a p p y o n e .
More d e t a i l s
as
t o t h e i r l i v e s a n d o p p o r t u n i t i e s t h a n h a s b e e n g i v e n , how­
e v e r , a r e n e e d e d t o c o m p l e t e t h e s t o r y o f low s t a t u s i n
V ir g in ia and th e n e ig h b o rin g c o lo n ie s .
T h e r e ware, a t t h e t im e o f t h e i r a r r i v a l , a t l e a s t
t h r e e t y p e s o r c l a s s e s o f i n d e n t e d s e r v a n t s : t h o s e who came
v o l u n t a r i l y , t h o s e who were " c a r r i e d h e r e a g a i n s t t h e i r
55
w ill,"
a n d t h o s e who w e re o f m i d d l e o r h i g h e r c l a s s s t a n d
i n g , w i t h e d u c a t i o n , b a c k g r o u n d , and a m b i t i o n , a s h a v e b e e n
d e s c rib e d in an e a r l i e r c h a p te r .
T h is la s t- m e n tio n e d ty p e
came e i t h e r v o l u n t a r i l y t o e s c a p e some p u b l i c shame o r t o
g e t away fro m t h e i r o l d s u r r o u n d i n g s , o r i n v o l u n t a r i l y a s
p o litic a l p riso n e rs.
B a lla g h , in w r itin g about w h ite s e r v i
tu d e i n t h e C o lo n y o f V i r g i n i a , s a y s :
"Many s e r v a n t s w ere
b e s i d e s t h i s o f b e t t e r o r i g i n and e d u c a t i o n t h a n t h e g e n 54
e r a l i t y . . . ."
W e rten b a k er, r e f e r r i n g t o In d en te d
55
se rv a n ts, s ta te s :
53 B e a rd a n d B e a r d , 0£ . c l t . , p . 1 0 3 .
54 James C u r t i s B a l l a g h . W h lte S e r v i t u d e i n t h e C olony o f
V i r g i n i a ( B a l t i m o r e , 18931 p . 8 3 .
55 W e r t e n b a k e r , 0£ . c i t . ( 2 4 ) , p . 1 6 3 .
Some w ere p e r s o n s o f c u l t u r e , a n d , on r a r e o c c a s i o n s , o f
m eans . . . . T h e r e a r e many i n s t a n c e s o f p e r s o n s o f
g e n t l e b l o o d b e c o m in g i n d e n t u r e d s e r v a n t s t o l a w y e r s o r
p h y s i c i a n s , i n o r d e r t o a c q u i r e a k n o w le d g e o f t h o s e p r o ­
f e s s i o n s . T u t o r s w e re so m e tim e s b r o u g h t o v e r fro m E n g la n d
u n d e r te rm s o f i n d e n t u r e . . . . S e v e r a l I n s t a n c e s a r e
r e c o r d e d o f g e n tl e m e n . . • who a r e s p o k e n o f a s s e r ­
v a n ts . . . .
T h ese f a c t s t h r o w c o n s i d e r a b l e l i g h t upon t h e s t a t i s t i c s
w h ic h go t o show t h a t i n t h e f i r s t h a l f c e n t u r y a s c a t t e r i n g
o f s e r v a n t s a r e fo u n d i n t h e A s se m b ly and o t h e r p l a c e s o f
h on or.
T h e re i s n o way o f k n o w in g e x a c t l y w h e t h e r o r n o t
t h e s e w ere p e r s o n s w i t h e d u c a t i o n and b a c k g r o u n d .
A n o th e r f a c t o r a f f e c t i n g m o b i l i t y i s t h e m u c h - d i s c u s s e d
" f i f t y a c re s of f r e e lan d f o r ev ery s e r v a n t."
Were t h e s e
g r a n t e d t o each s e r v a n t a t t h e e x p i r a t i o n o f h i s t e r m o f
se rv itu d e ?
I t seem s c e r t a i n
th a t a t th e v e ry b e g in n in g , in
some c o l o n i e s o t h e r t h a n V i r g i n i a , t h i s p r a c t i c e was c a r r i e d
o u t.
But e m p h a s is h a s b e e n p l a c e d t o o h e a v i l y upon t h e
l i k e l i h o o d of su ch an e v e n t u a l i t y .
W e r te n b a k e r d i s c r e d i t s
th e n o tio n :
T h e r e e x i s t e d i n E n g la n d a w i d e s p r e a d i m p r e s s i o n t h a t
t h e s e r v a n t , upo n s e c u r i n g h i s f r e e d o m , was e n t i t l e d b y
law t o f i f t y a c r e s o f l a n d . T h i s a p p e a r s t o h a v e b e en
a m i s t a k e a r i s i n g fro m a m i s a p p r e h e n s i o n o f t h e n a t u r e
o f t h e h e a d r i g h t , w h ic h b e l o n g e d n o t t o t h e s e r v a n t h im ­
s e l f , b u t t o t h e p e r s o n who p a i d f o r h i s t r a n s p o r t a t i o n .
M is e r y among t h e p o o r w h i t e s .
have been w r itte n
Many d e s c r i p t i o n s
about th e m is e ra b le c o n d itio n s p re v a ilin g
among t h e p o o r w h i t e s o f V i r g i n i a a n d h e r n e i g h b o r s .
S in c e
t h e v a s t m a j o r i t y o f t h e i m m i g r a n t s t o V i r g i n i a w ere s e r v a n t s ,
t h e y c an c o r r e c t l y b e c o n s i d e r e d t h e a n c e s t o r s o f t h e s e p o o r
56
w h ite f a m i l i e s .
F a u lk n e r, f o r in s ta n c e , w r i t e s :
A lth o u g h V i r g i n i a was p a r t i c u l a r l y u n f o r t u n a t e i n i t s
i m m i g r a n t s , i t was n o t a l o n e . N o r t h C a r o l i n a and M a ry la n d
r e o e i v e d a c o n s i d e r a b l e a d d i t i o n t o t h e i r p o p u l a t i o n from
i n d e n t u r e d s e r v a n t s who h a d s e r v e d t h e i r t i m e i n V i r g i n i a
and p u s h e d on t o t h e f r o n t i e r s t o t a k e up l a n d , o r fro m
ru n aw ay s e r v a n t s an d c r i m i n a l s fro m t h a t c o l o n y . W il l ia m
B yrd . . . i n 1728 s p e a k s o f t h e N o r t h C a r o l i n i a n s a s
i r r e l i g i o u s , im m o r a l, d i r t y , and i n c u r a b l y l a z y . . . .
I t i s a lm o st n e e d le s s to sa y t h a t th e "p o o r w h ite s of
t h e S o u th t o d a y a r e t o n o s m a l l e x t e n t d e s c e n d e d fro m t h e
s e r v i l e c l a s s o f E u r o p e ."
57
C alhoun s i m i l a r l y r e p o r t s :
C h a s t e l l u x , a F r e n c h t r a v e l e r , f r e q u e n t l y r e m a r k s on t h e
m a sse s o f t h e p o v e r t y - s t r i c k e n p e o p l e h e saw i n V i r g i n i a ,
some d r e s s e d i n r a g s an d l i v i n g i n m i s e r a b l e h u t s . They
w ere i n d o l e n t and h o p e l e s s , a p r o d u c t o f t h e s l a v e s y s te m ,
w h ic h d e g ra d e d u s e f u l e f f o r t .
From them s p r a n g many o f
th e "poor w h ites" o f l a t e r d a y s .
I n many w r i t i n g s o ne f i n d s a f f i r m a t i o n o f t h e t h e s i s
of c o n sid e ra b le s o c ia l c la s s r i g i d i t y .
The e x p l a n a t i o n o f
th e e x is te n c e o f poor w h ite s In th e S o u th in term s of t h e i r
s o c i a l c l a s s b a c k g r o u n d s i s p r o b a b l y much m ore n e a r l y a d e ­
q u a t e t h a n a n e x p l a n a t i o n b a s e d upon g e o g r a p h i c and econom ic
c o n d itio n s.
Low s o c i a l b a c k g r o u n d s a l o n e can a c c o u n t f o r t h e f o l ­
l o w in g r e f e r e n c e s t o t h e p o o r w h i t e s o f V i r g i n i a and t h e
n e ig h b o rin g c o lo n ie s d u rin g th e p e rio d o f s e ttle m e n t.
P r o p e r t y s y s t e m s , c l i m a t e , and t o p o g r a p h y c o u l d n o t p o s s i b l y
h a v e p r o d u c e d t h e s e r e s u l t s i n so s h o r t a t i m e a f t e r t h e
56 H a r o ld U. F a u l k n e r , " C o l o n i a l H i s t o r y D e b u n k e d ," H a r p e r 1s
M a g a z in e . v o l . 152 (D e ce m b e r, 1 9 2 5 ) p . 8 6 .
57 C a lh o u n , 0£ . c i t . , p p . 3 2 8 - 5 2 9 .
a r r iv a l of th e s e t t l e r s .
The f o l l o w i n g w o rd s an d p h r a s e s
58
h a v e b e e n c u l l e d from s e v e r a l w r i t e r s :
" n e s t o f t h e m ost
n o t o r i o u s p r o f l i g a t e s on e a r t h , " " l o o s e a n d l a s c i v i o u s , "
" v i l e a n d c o r r u p t , " " d e b a u c h e d , d i s s o l u t e , and c o r r u p t , "
" o u tc a s ts ,"
"ru n a w a y s e r v a n t s , i n s o l v e n t d e b t o r s , and
f u g i t i v e s fro m j u s t i c e , "
" n a t u r a l l y l o o s e and w i c k e d , o b ­
s t i n a t e and r e b e l l i o u s , c r a f t y an d d e c e i t f u l , " " m i s e r a b l e
h u t s i n h a b i t e d b y w h i t e s whose wan f a c e s a n d r a g g e d g a r m e n ts
gave te s tim o n y to t h e i r p o v e rty ,"
" c h i l d r e n ru n a r o u n d n a k e d
and a c h a i r was n o t i n t h e h o u s e and n e v e r w i l l b e , " " s a n d h ille rs
— e v e ry house h a v in g h a l f a dozen c h i l d r e n , th e
e n t i r e f a m i l y i n one ro o m ," a n d i n t h e y e a r 1842 i t was
w r i t t e n : "We saw b o y s a n d g i r l s
. . .
o f s i x and s e v e n
some u s i n g s m a l l a x e s , o t h e r s c a r r y i n g wood . . . .
g e n e r a l , t h e y w ere d i r t y
. • •
In
. . . t h e m o th e r b e i n g t o o w e a ry
t o w a s h them . . . ."
N or h a s t h e p i c t u r e c h an g ed i n
s t i l l a n o th e r c e n tu ry .
The p r e s e n t r e s e a r c h e r h a s t r a v e l l e d t h r o u g h t h e O z a r k s ,
t h e p i n e b a r r e n s o f L o u i s i a n a , t h e l o w l a n d s an d m o u n ta in s
o f T e n n e s s e e , t h e m in in g s e c t i o n s o f K e n t u c k y , a l l t h e c o u n t i e s
o f t h e P ie d m o n t an d m o u n ta in s o f N o r t h C a r o l i n a a n d V i r g i n i a ,
an d among t h e c l a y - e a t e r s o f G e o r g i a b y f o o t , on a b i c y c l e ,
58 T h ese w ords a n d p h r a s e s w ere t a k e n fro m t h e f o l l o w i n g
s o u r w h i c h were t h e m s e l v e s q u o t i n g e a r l i e r w r i t e r s :
I b i d . . p p . 3 2 0 - 3 2 1 ; 3 4 8 -3 4 9 ; 3 5 0 . C.M. A n d re w s, The
C o l o n i a l P e r i o d o f A m erican H i s t o r y , v o l . I l l (New Etaven,
1§37) p p . 24fe-&5<37 W e r t e n b a k e r , o p . c i t . ( 2 8 ) , p . 1 5 2 .
;
b y o a r w i t h cam ping o u t f i t , and a s a h i t c h - h i k e r .
In tim a te
t o u r s t h r o u g h t w e n t y t h o u s a n d m i l e s o f m o u n ta in and l o w l a n d
c o u n t r y , so m e tim e s on t h e b a c k m o s t r o a d s , showed t h a t m o s t
o f t h e p o o r w h i t e s a r e now j u s t w here t h e i r a n c e s t o r s w e re
i n 1 7 0 0 : low i n s t a t u s , p r o l i f i c , w an, l e a n , and m i s e r a b l e .
I n P i n e v i l l e , K e n tu c k y , an d F r a n k l i n , N o r t h C a r o l i n a , t h e y
g a t h e r on S a t u r d a y s i n t h e f i l t h y c o u r t h o u s e s t o g e t t h e i r
r e l i e f - - an a l m o s t inhum an a s s e m b l a g e .
They a r e a s i c k l y ,
w e ak , s u l l e n , a n d h e l p l e s s cro w d , t h e w o r s t a s s o r t m e n t o f
t h e human s p e c i e s t h a t t h e r e s e a r c h e r h a s s e e n i n a n y o f
e le v e n c o u n tr ie s , to u re d by b i c y c le .
I n 1700 t h e y "show ed no a m b i t i o n t o im p ro v e t h e i r
59
a g r i c u l t u r a l m e th o d s o r t o e n g ag e i n i n d u s t r y o r t r a d e , "
and t h e s e same w o rd s d e s c r i b e t h e i r d e s c e n d a n t s t o d a y .
To a r g u e t h a t e v e r y man h a d a good c h a n c e i n c o l o n i a l
A m e ric a i s t o f a i l t o r e a l i z e t h a t m o st o f t h e i m m i g r a n t s
who came t o V i r g i n i a ,
s p e c i f i c a l l y , w ere n o t " e c o n o m ic m en."
T hey were p e r s o n s t o whom h o u s e h o l d , c a r e e r , and f a r m
m anagem ent w e re a s s t r a n g e a s w ere t h e r u l e s o f i n t e r n a t i o n a l
law t o t h e p e o n s o f M e x ic o .
d o , how t o do i t ,
How w ere t h e y t o know w hat t o
when t o a c t , an d when t o r e s t ?
d r i l l e d them i n t h e s e h a b i t s and s k i l l s .
No one h a d
Nor can t h e w e a t h e r
b e b l a m e d , f o r t h e c l i m a t e o f t h e s o u t h e r n h i l l s and m o u n t a i n s
59 Andrews, o£. cit.. p. 259.
i s e x h i l a r a t i n g and s t i m u l a t i n g , i f a p e r s o n knows en o u g h
to s ta y in out o f th e r a i n o r to d re s s f o r i t .
The p o o r
w h i t e s a r e a p e o p l e who n e g l e c t t h e i r s h e l t e r , t h e i r a n i m a l s ,
t h e i r h e a l t h , a n d t h e i r m e n t a l d e v e lo p m e n t b e c a u s e t h e y l a v e
n e v e r e x p e r i e n c e d go od h o u s i n g , good h u s b a n d r y , o r good
m a n a g e m e n t.
C h i l d r e n grow up i n d r o v e s w i t h o u t e n o u g h l a n d
o r w ork t o go a r o u n d ; t h e y becom e s t e e l e d t o m i s e r y ; t h e y
i n c o h e r e n t l y ex cu se th e m se lv e s by c o m p lain in g o f h a rd l u c k .
Such i s a r a p i d g lim p se a t a c l a s s of f a m i l i e s to
whom m i d d l e c l a s s h a b i t s an d a r i s t o c r a t i c m an n ers w e re and
s t i l l a re fo re ig n .
M o st o f them d e s c e n d e d from t h o s e d r i v e n
fro m t h e E a s t e r n s h o r e .
The m i d d l e c l a s s .
T h e r e w e re v e r y few m id d l e c l a s s
e l e m e n t s among t h e i m m i g r a n t s t o V i r g i n i a , b u t ev en th o u g h
few i n n u m b e r , t h e y made t h e i r m ark upon t h e l i f e o f t h e
c o lo n y .
I f a n y o n e was t o do s o , t h e y h ad t o , b e c a u s e i t was
t o o much t o e x p e c t t h a t t h e p o o r w h i t e s would b e a b l e t o g e t
e n o u g h o f a f o o t h o l d t o b e a b l e t o make g o o d .
60
p la in e d in th e fo llo w in g e x c e rp t:
T h is i s ex -
Y e t i t m u st n o t b e f o r g o t t e n t h a t a n y i m m i g r a t i o n o f
p o o r f r e e m e n , h o w e v e r s m a l l , w o uld have a v e r y m arked
i n f l u e n c e upon t h e f o r m a t i o n o f t h e s m a l l f a r m e r c l a s s .
Of t h e h o s t o f s e r v a n t s a c e r t a i n p r o p o r t i o n o n l y , a
p r o p o r t i o n p r o b a b l y l e s s t h a n f i f t y p e r c e n t ', c o u ld h o p e
e v e n i n t h e m o st f a v o r a b l e t i m e s t o become f r e e h o l d e r s .
I f t h e y s u r v i v e d t h e h a r d s h i p s and d a n g e r s o f t h e s e r ­
v i c e w i t h t h e i r m a s t e r s , i t s t i l l r e m a in e d f o r them
60 Wertenbaker, o£. cit. (28), p. 82.
t o a c q u i r e p r o p e r t y a n d w in f o r t h e m s e l v e s a p l a c e i n
t h e l i f e o f t h e c o l o n y . And t o a c c o m p l i s h t h i s t h e y
m u st d i s p l a y d e t e r m i n a t i o n , i n t e l l i g e n c e , i n d u s t r y and
t h r i f t , q u a l i t i e s b y n o m eans u n i v e r s a l among t h e c l a s s e s
i n E n g la n d fro m w h ic h t h e s e r v a n t s w e re c h i e f l y d ra w n .
B ut f o r t h e f r e e im m i g r a n t t h e r e n e e d b e no p e r i o d o f
p r o b a t i o n . He m ig h t a t o n c e p u r c h a s e h i s f a r m , e r e c t
h i s hom e, s e c u r e a l l n e c e s s a r y t o o l s and p u t o u t h i s
c r o p o f t o b a c c o . And w h e r e a s t h e s e r v a n t u s u a l l y f o u n d
i t p o s s i b l e t o m a i n t a i n a f a m i l y o n l y a f t e r many y e a r s
o f h a rd w ork, p e rh a p s n o t a t a l l , th e f r e e s e t t l e r o fte n
m a r r i e d b e f o r e l e a v i n g E n g la n d a n d b r o u g h t h i s w i f e and
c h ild r e n w ith h im .
The a b s e n c e o f town l i f e ,
o f c o u r s e , r e d u c e d t h e num­
b e r o f m id d le c l a s s e l e m e n t s a t t r a c t e d t o V i r g i n i a , and t h e
pow er o f t h e s l a v e - o w n i n g a r i s t o c r a t s p r e v e n t e d and even
d e c r e a s e d t h e c h a n c e o f a yeoman c l a s s ’ s b e co m in g s t r o n g i n
V irg in ia .
The f u l l e x p l a n a t i o n o f t h e a b s e n c e o f m id d le
c l a s s e le m e n ts i n th e l a t e r c o l o n i a l d e cad es i s to b e found
i n t h e s m a l l n um ber w h ic h a r r i v e d ; f o r ,
a lth o u g h c o n d itio n s
w ere n o t f a v o r a b l e t o t h e d e v e lo p m e n t o f su c h a c l a s s o u t
o f t h e e le m e n ts a r r i v i n g ,
t h e s e c o n d i t i o n s w ere n o t s u c h
a s c o u ld h a v e s t o p p e d t h e d r i v e , p o w e r, and w i t o f t h e
P i l g r i m s , f o r i n s t a n c e , o r o f t h e m id d l e c l a s s S c o t c h - I r i s h
who l a t e r p r o v e d t h e i r m e t a l on t h e r u g g e d f r o n t i e r u n d e r
m ore a d v e r s e c o n d i t i o n s .
A bove, m e n tio n was made o f t h e f a c t t h a t non e o f th e
s e r v a n t s becam e t h e f o u n d e r o f a n y o f t h e P P V 's .
A lm ost
t h e same may now b e s t a t e d w i t h r e g a r d t o t h e yeom en.
61
B ruce s a y s :
61 Bruce,
ojd .
cit . .
pp.
120-121.
The te rm ’’yeoman" a p p e a r s w i t h l i t t l e f r e q u e n c y i n t h e
e a r l y l a n d p a t e n t s . . . . T h e r e w e re o n l y a b o u t 15 p e r ­
so n s so d e s i g n a t e d i n t h e e a r l y l a n d p a t e n t s ; t h e s e
w a r e . . . . None o f t h e s e n a m e s , w ith t h e e x c e p t i o n o f
S i b s e y becam e p r o m in e n t i n t h e s o c i a l h i s t o r y o f t h e C o lo n y .
L i t t l e r e f e r e n c e i s made i n t h e h i s t o r y o f t h e V i r g i n i a
C o lo n y even t o t h e e x i s t e n c e o f a m id d l e c l a s s , so e f f e c t i v e l y
d i d t h e a r i s t o c r a t s s t e a l t h e show and t h e p o o r w h i t e s and
N e g ro e s f i l l i n t h e b a c k g r o u n d .
As t o t h e e x i s t e n c e o f a m id ­
d l e c l a s s i n t h e e a r l y n i n e t e e n t h c e n t u r y , much more w i l l be
shown i n t h e d e t a i l e d b i o g r a p h i e s i n A p p e n d ix I I I t h a n c o u ld
b e d e d u c e d fro m t h e u s u a l h i s t o r i c a l a c c o u n t s o f t h a t p e r i o d .
The a r i s t o c r a t s o f V i r g i n i a .
N ot o n l y d i d t h e a r i s t o ­
c r a t s o f t h e C olony o f V i r g i n i a s t e a l t h e show; t h e y s t o l e t h e
62
v e r y l a n d i t s e l f , a s i s shown i n t h e f o l l o w i n g a c c o u n t :
Amid t h e s e a c t s o f d e c e p t i o n an d f r a u d one d e e d i s
c o n s p i c u o u s . C o l. P h i l i p L u d w e ll h a d b r o u g h t i n t o t h e
c o lo n y f o r t y im m ig r a n ts an d a c c o r d i n g t o a law . . . t h i s
e n t i t l e d him t o a g r a n t o f two t h o u s a n d a c r e s o f l a n d .
A f te r s e c u r in g th e p a t e n t , he changed th e r e c o rd w ith h i s
own h a n d b y a d d in g a c i p h e r e a c h t o t h e f o r t y and two
t h o u s a n d , m aking them f o u r h u n d r e d and t w e n t y t h o u s a n d
r e s p e c t i v e l y . . . so g r e a t was h i s i n f l u e n c e t h a t t h e
m a t t e r was i g n o r e d and h i s r i g h t s w ere n o t d i s p u t e d .
A l e x a n d e r S portw ood was g u i l t y o f a t h e f t ev en g r e a t e r
th a n t h a t o f L u d w e ll . . . .
The commonness o f f r a u d o f t h i s k i n d among t h e V i r g i n i a
p l a n t e r s o f t h e e a r l i e r p e r i o d d o e s n o t n e c e s s a r i l y stam p
them as b e i n g c o n s p i c u o u s l y d i s h o n e s t . They w ere s u b j e c t e d
t o g r e a t and u n u s u a l t e m p t a t i o n s .
'While t h e s m a l l i n d e p e n d e n t f a r m e r was s i n k i n g and
t h e f r e e d s e r v a n t s w ere w i t h d r a w i n g i n t o t h e h i l l s
62 W e r t e n b a k e r ,
0£ .
c i t . ( 2 4 ) , p p . 97-99.
to eke
out a living, "the wealthier Virginians showed throughout
th e c o lo n ia l p e rio d a p a ssio n f o r la n d t h a t f r e q u e n tly le d
63
them i n t o t h e g r o s s e s t an d m o s t u n j u s t i f i a b l e f r a u d . ”
By 1700 l a n d c o u ld b e h a d f o r f i v e s h i l l i n g s p e r h u n d r e d
a c r e s , b u t " t h e r e w e re a l s o i r r e g u l a r p r a c t i c e s w h ic h e n 64
a b l e d i n f l u e n t i a l men t o s e c u r e l a n d on e v e n e a s i e r t e r m s . ”
Who w ere t h e s e a r i s t o c r a t s ?
D id t h e y grow up w i t h
th e c o u n tr y , “d e v elo p a lm o st e n t i r e l y w ith in th e c o lo n y " 7
Or d i d t h e y b r i n g t h e i r s t a t u s w i t h them ?
G re e n e l e a n s
to w a rd t h e e x p l a n a t i o n t h a t t h e g e n t r y o f E n g la n d and t h e
C a v a l i e r s c o n t r i b u t e d m o st o f t h e u p p e r c l a s s e s i n V i r g i n i a .
65
He s a y s :
A f t e r t h e o p e n in g o f t h e E n g l i s h C i v i l War, V i r g i n i a
grew more r a p i d l y ; f o r t h e d i s a p p o i n t e d C a v a l i e r s b e ­
gan t o t a k e r e f u g e a c r o s s t h e s e a . . . . By 1 6 5 2 ,
t h e r e w e re p e r h a p s 2 0 ,0 0 0 p e o p l e i n t h e p r o v i n c e .
T h is p i o n e e r p o p u l a t i o n was draw n fro m v a r i o u s c l a s s e s .
Prom t h e f i r s t t h e r e h a d b e e n a f a i r p r o p o r t i o n o f t h e
g e n t r y and t h i s e le m e n t was s t r e n g t h e n e d b y t h e coming
o f t h e C a v a l i e r s ; b u t t h e r e w ere a l s o t r a d e r s and a
c o n s i d e r a b l e num ber o f w o rk in g m e n . The l a t t e r were
u s u a lly in d e n tu re d s e rv a n ts . . . .
Mary J o h n s t o n s i m i l a r l y e m p h a s i z e s t h e C a v a l i e r i n 66
f l u e n c e ; sh e s t a t e s :
Men, women, and c h i l d r e n came u n t i l t o a c o n s i d e r a b l e
d e g re e th e to n e o f s o c i e t y ra n g C a v a lie r . . . .
Now
W a s h in g to n s a p p e a r , w i t h R a n d o l p h s , C a r y s , S k i p w i t h s ,
B r o d n a x e s , T y l e r s , M a so n s, M a d is o n s , M o n ro e s, and many
m o r e . T h e s e p e r s o n s a r e n o t w i t h o u t m e a n s; t h e y b r i n g
w i t h them s e r v a n t s ; t h e y a r e i n h i g h f a v o r w i t h G o v e rn o r
an d C o u n c i l ; t h e y a c q u i r e l a r g e t r a c t s o f v i r g i n l a n d . . .
Prom b e i n g E n g l i s h c o u n t r y g e n tle m e n t h e y t u r n e a s i l y t o
becom e V i r g i n i a p l a n t e r s .
63 I b l ^ t , p . 3 6 .
64 E v a r t s B o u t e l l G r e e n e , The F o u n d a t i o n s o f A m erican
N a t i o n a l i t y (New Yoik^ 1 9 2 2 ) p p . 3 1 9 - 3 2 0 .
65 I b i d . , p . 6 2 .
66 Mary J o h n s t o n , P i o n e e r s o f t h e S o u th (New H aven, 19 18) p . 1 5 0 .
The a r i s t o c r a c y o f V i r g i n i a was a l s o d e s c e n d e d fro m
t h e m e r c h a n t s o f E n g la n d , many o f whom, a c c o r d i n g t o t h e
r u l e o f " e x t r a ” s o n s , w ere r e l a t e d t o t h e g e n t r y and e v e n
67
t o th e n o b i l i t y , a s has been e x p la in e d ab o v e.
tr a c e s t h i s c o n n e c tio n .
W e r te n b a k e r
B u t i t f e l l t o B ru c e t o t r a c e down
t h e s t a t u s o f many o f t h e l e a d i n g V i r g i n i a f a m i l i e s and t o
d e t e r m i n e t h e e x t e n t t o w h ich p e r s o n s o f c o n s i d e r a b l e s o c i a l
r a n k came t o t h e c o l o n y .
The f o l l o w i n g a b s t r a c t i s t a k e n
fro m h i s t h o r o u g h s t u d y o f t h e s o c i a l l i f e
68
th e se v e n te e n th c e n tu ry :
of V irg in ia in
One h a l f o f t h e f i r s t v o y a g e and t h i r t y - t h r e e o u t o f
a company o f 120 i n t h e f i r s t s u p p l y s h i p w ere g e n t l e m e n .
T h r e e - f o u r t h s o f t h o s e who s i g n e d t h e V i r g i n i a c h a r t e r o f
1612 w ere i n c l u d e d i n t h e c i r c l e o f t h e E n g l i s h g e n t r y .
T w e n t y - f i v e w ere p e e r s o f t h e r e a l m . G en tlem en c o n t i n u e d
t o come s t e a d i l y a f t e r S m i t h 's d e p a r t u r e . E le v e n g e n t l e ­
men came on t h e Ann and t h e B onny B e ss i n 1 6 2 4 . The f o l ­
lo w in g s e t t l e r s w ere c o n n e c t e d b y c l o s e t i e s o f b l o o d o r
m a r r i a g e w i t h members o f t h e E n g l i s h b a r o n e t a g e : t h e
W e s t s , P a w l e t t s , P e r c i e s , S p e lm a n s , W h i t a k e r s , T h o r p e s ,
T h r o c k m o r to n s , D a l e s , B e r k e l e y s , W i l l o u g h b y s , F l e e t s ,
W y a t t s , S t r a c h e y s , D a v i s o n s , R o l f e s , T hom psons, A l l i n g t o n s .
The f o l l o w i n g p e r s o n s w e re o f o r c l o s e l y r e l a t e d t o t h e
n o b i l i t y o r w ere i n v e r y h i g h p o s i t i o n s when t h e y m i g r a t e d
t o t h e O ld D o m inion: S i r John Z o u c h , W a l t e r A s t o n , Thomas
B o o t h , W illia m C l a i b o r n e , Adam T h o ro u g h g o o d , Sam uel
M athew s, H enry F i n c h , C a p t a i n Jo h n W e s t, S i r John H a r v e y ,
J o s e p h Noy, H e n ry W oodhouse, M a jo r R i o h a r d M ory so n, Lord
C u t t , C h r i s t o p h e r C a l t h o r p e , G eo rg e R e a d e , R i c h a r d Kemp,
e t c . , e t c . The f o l l o w i n g f a m i l i e s b e l o n g e d t o t h e
s q u ir e a r c h y : th e Y eos, B r o a d h u r s ts , P e a c h ie s , P a rk e s ,
E v e l y n s , G ib b o n s / g r e a t g r a n d f a t h e r o f t h e h i s t o r i a n / ,
C o r b i n s , P a g e s , B e v e r l e y s , H a r r i s o n , G o o k in s , C a r t e r s ,
A s h to n s , B u rw e lls , th e S m ith s , D e sc e n d a n ts of p e rs o n s o f
d i s t i n g u i s h e d p r o f e s s i o n , who, i n m ost c a s e s t r a c e b a c k t o
th e la n d e d g e n tr y , in c lu d e d : th e F itz h u g h s , D o u th a ts ,
67 W e r t e n b a k e r , 0£ . c i t . ( 2 4 ) , p p . 2 4 f f .
A d a p te d from B r u c e , o p . c i t . ( 3 0 ) , p p . 2 7 - 2 9 , 3 1 , 3 2 ,
3 5 - 3 8 , 3 9 - 6 0 , 6 1 ^ 7 6 , ”7 5 , 7 9 , 8 1 - 9 7 .
68
L ig h t f o o t s , H a m e r s , B a t t e s , R o b in so n s, B a rg ra v e s ,
F i e l d i n g s , L om axes, M a l l o r i e s , M o n ta g u e s , J u x o n s , S h e l d o n s ,
S i n g l e t o n s , Newmans, a n d B o l t o n s . A l l o f t h e s e p e r s o n s
w e re o f i m p o r t a n c e i n t h e c o l o n y . R o y a l o f f i c e r s who came
t o V i r g i n i a b e tw e e n 1649 an d 1660 w e r e : G e n e r a l Hammond,
C o l o n e l s M o l e s w o r t h , B r i d g e r , and N orw ood, and M a jo r s
S t e v e n s , B r o d n a x , an d F o x . O th e r C a v a l i e r s a r e l i s t e d a s :
t h e L a n g s t o n s , B i s h o p s , C u l p e p p e r s , H a r r i s o n s , S i r Thomas
L u n s f o r d s , R a n d o l p h s , M asons, W a s h i n g t o n s , Honeyw oods,
S k i p w i t h s , Fow kes, B e r k e l e y s .
T h e r e was a c l o s e r e l a t i o n s h i p b e tw e e n E n g l i s h m e r­
c h a n t s and t h e g e n t r y an d n o b i l i t y .
F o u rth sons o f gen­
t le m e n m ig h t s e r v e a p p r e n t i c e s h i p s i n L o n d o n . T hey d i d
n o t c e a s e t h e r e b y t o b e members o f t h e c o u n t r y g e n t r y .
T h e r e was no d i s p o s i t i o n t o s h u t o u t fro m g e n t e e l s o c i e t y
t h o s e p e r s o n s b e l o n g i n g t o t h e s e t r a d e c o r p o r a t i o n s . The
B y r d s ' f o r e b e a r was a b a n k e r ; t h e B l a n d s s p r a n g fro m a
s k i n n e r ' s g i l d ; t h e L u d w e lls w ere m e r c e r s . The F i t z h u g h s
t r a c e d t h e i r a n c e s t r y b a c k t o b o t h a m a l s t e r and t o t h e
b a r o n y o f R a v e n s w o r th ; t h e G r i f f i t h s a n d S t a n f o r d s w ere
London m e r c h a n t s . S e v e r a l f a m i l i e s w ere d e s c e n d e d fro m
L o rd M ayors o f L ondon.
B a l l a g h n o t e s " a g r e a t e r d e v e lo p m e n t o f t h e a r i s t o c r a t i c
s e n t i m e n t fro m t h e i n f l u x o f a c o n s i d e r a b l e num ber o f g e n 69
tle m e n j u s t a f t e r t h e c i v i l war i n E n g la n d . . . . ’*
The s t o r i e s o f
p o o r l a d s who r o s e t o p r o m in e n c e
in
V i r g i n i a , a s i f t h e y w ere w i t h o u t s o c i a l c l a s s b a c k g r o u n d s ,
a lw a y s n e e d i n v e s t i g a t i n g .
P a t r ic k H enry, f o r i n s t a n c e ,
70
was c o u s i n t o L ord Brougham
and t o D o l l y M adison a s w e l l .
One m u st c o n c lu d e t h a t t h e r e was much s o c i a l c l a s s
r i g i d i t y i n t h e s o c i a l c l a s s e s o f V i r g i n i a and t h a t t h e
a r i s t o c r a t i c f a m i l i e s d i d n o t em erge fro m low s t a t u s t o h i g h
so c ia l ran k .
T hese f a m i l i e s , h o w ev er, p ro v ed b e t t e r th e
69 B a l l a g h , o £ . c i t . , p . 7 4 .
70 Anne H o l l i n g s w o r t h W h a rto n , C o l o n i a l D ays and Dames
( P h i l a d e l p h i a , 1 8 95) p . 1 3 8 .
t h e o r y o f A m e ric a a s a l a n d o f o p p o r t u n i t y t h a n d i d t h e
poor f a m i l i e s , d e sc rib e d a b o v e.
T hey p r o v e d , b e y o n d d o u b t ,
t h a t f o r t h o s e who h a d a h e a d s t a r t t h e r e w ere a b u n d a n t
reso u rces a v a ila b le .
As a s e p a r a t e and d i s t i n c t c l a s s ,
in te rm a rria g e , stro n g in
stre n g th e n e d by
s o c i a l p o s i t i o n and eco nom ic p o w e r,
a r b i t e r s o f S o u t h e r n f a s h i o n s and e t i q u e t t e ,
e x c l u s i v e and
much s o u g h t a f t e r , f o r c e n t u r i e s t h e s e f a m i l i e s e n d u r e d .
la te
a s 1937 a k e e n o b s e r v e r c o u ld w r i t e : ” . • . i t
w o r t h w h i l e t o i d e n t i f y t h i s c l a s s g ro u p . . . .
is
As
s till
A lth o u g h i t
h a s l o s t i t s a c t u a l g r i p on t h e s o c i a l m a c h in e t o a v e r y
g r e a t e x t e n t , i t h a s m a i n t a i n e d t h e momentum o f i t s
so c ia l
p r e s t i g e and a s s i m i l a t i o n i n t o i t i s s t i l l a g r e a t v a l u e i n
71
th e S o u th .”
The War B etw een t h e S t a t e s was a g r e a t s h o c k t o t h e
p la n te r c la s s .
B e f o r e t h e w ar t h e s o c i a l l i f e was l e d b y
p e o p l e l i v i n g i n c o u n t r y e s t a t e s , b u t s i n c e t h e war 11a l l
72
t h a t i s b e s t i s t o b e found in th e c i t y . ”
The t r u t h i s ,
o f c o u r s e , t h a t t h e a r i s t o c r a t i c f a m i l i e s moved i n g r e a t
num bers t o t h e c i t i e s and t h e r e c a r r i e d on t h e i r l e a d e r s h i p ,
i n g e n e r a l , w i t h a new econom ic b a s e .
(T h is w i l l a p p e a r
e v i d e n t fro m a r e a d i n g o f t h e b i o g r a p h i c a l m a t e r i a l c o n c e r n ­
i n g p r o m in e n t V i r g i n i a n s i n A p p e n d ix I I I . )
B ru c e s u m m a riz e s
71 Jo hn D o l l a r d , C a s t e an d C l a s s i n a S o u t h e r n Town (New
H a v en , 1 9 3 T ] ~ p p .“T 5 - S o T
72 B r u c e , 0|>. c i t . ( 4 9 ) , p . 4 2 1 .
t h e movement o f p r o m i n e n t f a m i l i e s fro m c o u n t r y t o
73
th ese w ords:
c i t y in
I f we go t o some S o u t h e r n c o u n t y , w h i c h , i n t h e t i m e s o f
s l a v e r y , was t h e s e a t o f an i n t e l l i g e n t , r e f i n e d , and
c u l t i v a t e d g e n t r y , we s h a l l d i s c o v e r t h a t t h e o n l y
s o c ie ty th e r e p o s s e s s in g any d i s t i n c t i o n i s c e n te re d in
t h e c o u r t h o u s e to w n ; an d t h i s s o c i e t y i s g e n e r a l l y made
u p o f t h e f a m i l i e s o f p r o f e s s i o n a l men whose names a r e
among t h e m ost a n c i e n t and h o n o r a b l e i n t h e h i s t o r y o f
th e S ta te s . . . .
In th e l a s t q u a r t e r o f a c e n tu r y ,
many f o r t u n e s h a v e b e e n made b y r e p r e s e n t a t i v e s o f t h e
o ld r u r a l g e n try .
T h e r e a r e t h o s e who w ould a r g u e t h a t , a l t h o u g h i t
m ig h t h a v e b e e n d i f f i c u l t f o r p e r s o n s o f l o w l y o r i g i n t o
c ra sh i n to th e h ig h e s t s o c ia l set of e x c lu siv e f a m i li e s ,
n e v e r t h e l e s s t h e s e p e r s o n s f r e q u e n t l y made t h e i r names i n
o th e r f i e l d s , a f t e r th e p a t t e r n o f A lfre d E . S m ith .
In h is
V i r g i n i a P l u t a r c h , B ru oe s e t a b o u t t o g i v e t h e l i f e
sto rie s
o f a l l t h e e m in e n t V i r g i n i a n s , fro m John S m ith t o W a l t e r
R eed.
The p r e s e n t r e s e a r c h e r s o u g h t o u t th e s o c i a l c l a s s
b a c k g r o u n d s o f a l l t h e p r o m in e n t p e r s o n s l i s t e d .
The
b i o g r a p h i e s i n c l u d e d t h o s e o f C a p t a i n Jo hn S m i t h , P r i n c e s s
P o c a h o n t a s , S i r Thomas D a l e , S i r G e o rg e Y e a r d l e y , S i r W i l l i a m
B e r k e le y , N a th a n ie l B acon, S i r F r a n c is N ic h o ls o n , A le x an d e r
S p otw oo d, W il l ia m B y r d , G e o rg e W a s h in g to n , P a t r i c k H e n r y ,
Thomas J e f f e r s o n , G e o rg e M ason, R ich a rd
H e n ry L e e , G eorge
R o g e rs C l a r k , G e n e r a l D a v id M org an, John S e v i e r , C a p t a i n
M e r i w e t h e r L e w is , Jam es M a d is o n , Jo h n M a r s h a l l , James
73 I b i d . , p p . 4 3 3 - 4 3 4 .
356.
M onroe, Jo h n R a n d o lp h , G e n e r a l Sam H o u s to n , John T y l e r ,
G e n e r a l W i n f i e l d S c o t t , E d g a r A l l e n P o e , Commodore M atthew
F o n t a i r e M aury, R o b e r t E . L e e , G e n e r a l Thomas J . J a c k s o n ,
G e n e r a l S t u a r t , Woodrow W il s o n , and W a l t e r R e e d .
74
Prom t h e d a t a g i v e n ,
w h ic h were e x t e n s i v e , i t was
f o u n d t h a t o n l y one m an, G e n e r a l M organ, was o f p r o l e t a r i a n
backgrou nd.
F u r t h e r m o r e , t h e m o st e f f e c t i v e V i r g i n i a n s ,
w i t h t h e e x c e p t i o n o f W il s o n , w e re c r a d l e d i n
c la ss e s.
th e h i g h e s t
A g o o d l y num ber a p p e a r t o h a v e b e e n r e a r e d i n
m id d l e c l a s s h o m e s .
Many, o f c o u r s e , p l a y e d s t e l l a r r o l e s
and w ere n o t a b s o r b e d i n a s o c i a l
t h a t of t h e i r fam e.
d& ss
... e q u i v a l e n t t o
T h i s was p a r t i c u l a r l y t r u e o f G e n e r a l
M o rgan.
C o n c lu s io n .
T h is c h a p te r h a s g iv en th e r e a d e r a p i c ­
tu r e of th e c l a s s e s i n th e c o l o n i e s , e s p e c i a l l y in V i r g i n i a .
I t h a s in d ic a te d t h a t t h i s i s a la n d of o p p o rtu n ity p r i n ­
c i p a l l y f o r t h o s e w i t h a good b a s e fro m w h ic h t o s p r i n g .
No s i g n i f i c a n t s o c i a l c l a s s c i r c u l a t i o n was d i s c e r n e d .
T h e r e was l i t t l e
in th e s to r y of c o lo n ia l l i f e
to i n d i c a t e
t h a t a g e n e r a l s o c i a l c l a s s p e r c o l a t i o n was t a k i n g p l a c e .
I n A p p e n d ix I I I d a t a a r e g i v e n w h ic h i n d i c a t e , on
th e b a s i s of f a m ily b io g r a p h i e s o f p r e s e n t day V ir g in ia n s
74 P h i l i p A l e x a n d e r B r u c e . The V i r g i n i a P l u t a r o h . v o l . I
(C hapel H i l l , 1929) p p . 12, 2 8 , 45, 58, 7 1 , 8 9 , 102,
1 1 8 , 1 3 5 - 1 5 6 , 1 5 5 , 195 f f . , 212 f f . , 2 6 9 , 2 8 8 , 306 j
v o l . I I , p p . 3 8 , 5 8 , 7 6 , 8 8 , 1 1 6 , 1 5 1 , 1 7 1 , 188 f f . ,
206 f f . , 224 f f . , 245 f f . , 268 f f . , 2 8 7 , and 310 f f .
and t h e i r a n c e s t o r s , t h a t t h e l a t e r s o c i a l c l a s s t r e n d s i n
t h a t s t a t e h a v e n o t b e e n g r e a t l y d i f f e r e n t fro m t h o s e o f
e a r l i e r tim e s.
fo u n d .
O verw helm ing s o c i a l c l a s s c o n t i n u i t y was
CHAPTER X II
THE WESTWARD MOVEMENT
The c o l o n i a l p e r i o d a p p e a r s t o h a v e b e e n a se c o n d
e d i t i o n o f t h e E u ro p e a n o r i g i n a l .
A f t e r h a v i n g come o v e r
a t q u i t e d i f f e r e n t l e v e l s , t h e c l a s s e s drew s t i l l f u r t h e r
a p a r t d u rin g th e e ig h te e n th c e n tu ry .
B ut d u r i n g t h e n i n e ­
t e e n t h c e n t u r y , c o u ld n o t e v e r y man go West t o t h e r i c h
v i r g i n l a n d s and make good?
T h a t h e c o u l d I s commonly b e ­
l i e v e d b y many i n t e r p r e t e r s o f A m e ric a n h i s t o r y .
I f e v e r t h e t h e o r y o f s o c i a l c l a s s s t a b i l i t y were
t a x e d , i t was d u r i n g t h e p e r i o d o f r a p i d w e s tw a rd e x p a n ­
sio n .
The r e c o r d o f t h a t movement h a s u s u a l l y b e e n w r i t t e n
u p i n su c h aL_manner a s t o l e a v e t h e i m p r e s s i o n e i t h e r t h a t
o p p o r t u n i t y e n a b l e d men t o c o m p ete f r e e l y and e q u a l l y o r
t h a t t h o s e p e r s o n s who t r a v e l l e d w e s tw a rd w e r e , I n some
v a g u e w ay , o f e q u a l s t a t u s .
The d o o r o f e q u a l o p p o r t u n i t y .
"To t h e s t r u g g l i n g
e a s te r n fa rm e r, d i s s a t i s f i e d trad e sm an , r e l i g i o u s d i s s e n t e r ,
o p p r e s s e d m e c h a n i c , o r a m b i t i o u s young l a w y e r , t h e W est was
a s o r t o f ‘p r o m is e d l a n d ' t h e g a t e s o f w h ic h were e v e r
1
o p e n ,"
s a y s C arm an. I n h i s h i s t o r y o f t h e l o s t s t a t e o f
1 H a r r y J . Carman, S o c i a l and Econom ic H i s t o r y o f t h e U n i t e d
S t a t e s . v o l . Y ( b o s t o n , 1930J p . ’ 4 0 3 .
F r a n k l i n , W il l ia m s t e l l s t h a t " c h e a p l a n d p ro m o te d i n d i 2
v i d u a l i s m and econom ic e q u a l i t y . "
But i n t h e same p a r a ­
graph he w r ite s :
"The o w ners o f t h e l a r g e r f a r m s i n t h e
f e r t i l e v a l l e y s w ere a l s o h o l d e r s o f s l a v e s
.
. . ."
The
l a t t e r s t a t e m e n t i s more r e v e a l i n g o f t h e t r u e s i t u a t i o n
th an t h e f o rm e r.
Coman, f o l l o w i n g t h e T u r n e r t h e s i s ,
s ta te s th e
3
A m e ric a n Dream o f t h i s p e r i o d I n t h e s e l i n e s :
Workmen a n d o p e r a t i v e s th ro w n o u t o f em ploym ent b y t h e
c u r t a i l m e n t o f I n d u s t r y t u r n e d t o t h e u n c la im e d l a n d s
b ey o n d t h e M i s s i s s i p p i a s an o p p o r t u n i t y n o t o n l y t o
e a r n a l i v e l i h o o d b u t to a t t a i n th e in d ep e n d en c e t h a t
was t h e dream o f e v e r y A m erican c i t i z e n . . . t h o u s a n d s
o f t h e more im p e c u n io u s f a m i l i e s made t h e i r way . . .
t o t h e l a n d o f f r e e d o m and p l e n t y . A l l u r e d b y t a l e s
se n t back by th e p io n e e rs o r by th e p ro s p e c tu s e s d i s ­
t r i b u t e d b y s p e c u l a to r s , th ey u n d e rto o k th e jo u rn e y
w i t h t h e s t r o n g c o n v i c t i o n t h a t f o r t u n e l a y b e f o r e th e m ,
b u t w i t h s m a l l c o m p re h e n s io n o f t h e r i s k s and h a r d s h i p s
o f th e new l i f e .
The d i f f e r e n c e b e tw e e n e x p e c t a t i o n a n d f u l f i l l m e n t w e r e ,
t h e n , t o b e l e a r n e d t h e h a r d way b y t h e p i o n e e r s , a l t h o u g h
t h e c o m p le te s t o r y o f t h e movement d o e s n o t a lw a y s f i n d i t s
way i n t o t h e d e s c r i p t i o n s and i n t e r p r e t a t i o n s o f t h e p e r i o d .
T urner l i s t s
th e w onderful o p p o r tu n itie s o f f e r e d b y
4
t h e West i n t h e f o l l o w i n g m a n n e r:
H e re w e re m i l l s i t e s , town s i t e s , t r a n s p o r t a t i o n l i n e s ,
b a n k i n g c e n t e r s , o p e n in g s In t h e l a w , I n p o l i t i c s —
a l l t h e v a r i e d c h a n c e s f o r adv an cem ent a f f o r d e d I n t h e
r a p i d l y d e v e l o p i n g s o c i e t y w h ere e v e r y t h i n g was open t o
him who knew how t o s e i z e t h e o p p o r t u n i t y .
2 Sam uel C o le W i l l i a m s , Hi s t o r y o f t h e L o s t S t a t e o f F r a n k l i n
( N a s h v i l l e , 1924) p . 2 7 0 .
3 K a t h e r i n e Coman, Econom ic B e g in n i n g s o f t h e F a r W e s t .
v o l . I I (New Y ork,' 1930) p p . 6 7 - 6 8 .
4 F r e d e r i c k J a c k s o n T u r n e r , The F r o n t i e r i n A m erican H i s t o r y
(New Y o rk , 1 920) p . 2 7 2 .
B ut s p e c u l a t i v e c a p i t a l an d b u s i n e s s - t r a i n e d i n s i g h t , t h e
h e r i t a g e o f t h e u p p e r and m i d d l e c l a s s e s , were r a r e l y t h e
t o o l s o f t h e lo w e r c l a s s e s *
I t may b e s a i d , a g a i n and
a g a i n , t h a t i f t h e r e w ere g r e a t o p p o r t u n i t i e s i n t h e West
f o r t h e l i t t l e m an, t h e r e w ere d o u b l e an d t r e b l e c h a n c e s
o f a d v a n c e m e n t f o r t h e m i d d l e and u p p e r c l a s s e s .
What was
t o b e h a d c h e a p b y t h e p o o r was a v a i l a b l e t o t h e r i c h w i t h
s t i l l g re a te r ease.
T h i s was p a r t i c u l a r l y t r u e o f m i l l
s i t e s , tow n s i t e s , t r a n s p o r t a t i o n l i n e s , b a n k in g c e n t e r s ,
o p e n in g s i n t h e l a w , p o l i t i c s .
T h ese t h i n g s w ere open t o
a l l t h o s e who c o u ld p u r c h a s e them o r who h a d b e e n t r a i n e d
t o know how t o a t t a i n th e m b y c a r e f u l c a l c u l a t i o n , c o n c e n ­
t r a t i o n , and a p p l i c a t i o n .
The s e t t l e m e n t o f Iow a a p p e a r s t o h a v e b e e n m ore
h e a v i l y w e i g h t e d w i t h m id d l e c l a s s e l e m e n t s t h a n w ere Ken­
t u c k y an d L o u i s i a n a , f o r i n s t a n c e .
The e x p l a n a t i o n f o r
t h i s i s n o t t o b e fou n d in th e chances o f e a s t e r n w ork ers
a c q u i r i n g h o m e s te a d s a n d e q u ip m e n t b y s a v i n g p e n n i e s .
In«-
s t e a d , t h e f o l l o w i n g s t a t e m e n t b y R oss o f f e r s a b e t t e r k e y
t o t h e e x p l a n a t i o n : "When I w as a b o y i n Iowa t h e f a r m e r ’ s
s o n , on t h e t w e n t y - f i r s t b i r t h d a y was p r e s e n t e d b y h i s
f a t h e r w i t h a t e a m , a w ag o n , and p e r h a p s a few farm
5
i m p l e m e n t s . 1'
I n a c t u a l i t y , t h i s i s n o t d i f f e r e n t fro m
s a y i n g t h a t m e r c h a n t s s e t t h e i r so n s up i n b u s i n e s s o r t h a t
5 Edward A l s w o r t h R o s s , The S o c i a l T re n d (New Y o rk , 1 922)
p . 55.
a c o b b l e r ' s so n h a s a c h a n c e t o l e a r n and p r a c t i c e a t r a d e .
The s o n s d e s c r i b e d b y R o ss w e re l i k e t h e i r f a t h e r s i n
s ta n d in g , in o c c u p a tio n , in o p p o rtu n ity .
T h i s was open
o p p o r t u n i t y f o r t h o s e whose p r o x i m i t y and means g a v e them
an a d v a n t a g e .
O t h e r s , who came i n s c a t t e r e d b a n d s f ro m t h e
e a s t w e re o f t e n s o r e l y d i s a p p o i n t e d b y t h e i r e x p e r i e n c e s i n
6
s t r u g g l i n g w e stw a rd " t o o c c u p y f r e e l a n d . "
One f i n a l s t a t e m e n t o f t h e open o p p o r t u n i t i e s i n
t h e W est d e s e r v e s t o b e made b e c a u s e i t h a s s o o f t e n b e e n
q u o t e d an d f o o t n o t e d i n t h e g e n e r a l h i s t o r i e s o f t h e p e r i o d .
7
Peck s t a t e s :
The common m e c h a n ic i s on a s o c i a l e q u a l i t y w i t h t h e m er­
c h a n t, th e la w y e r, th e p h y s ic ia n , and th e m in is te r . . .
Any s o b e r , I n d u s t r i o u s m e c h a n ic c an p l a c e h i m s e l f i n a f ­
f l u e n t c i r c u m s t a n c e s , an d p l a c e h i s c h i l d r e n on an
e q u a l i t y w i t h t h e c h i l d r e n o f t h e c o m m e r c ia l and p r o f e s ­
s i o n a l co m m u n ity , b y m i g r a t i n g t o a n y o f o u r new and
r i s i n g w e s t e r n t o w n s . T hey w i l l f i n d n o o c c a s i o n h e r e
f o r c o m b i n a t i o n s t o s u s t a i n t h e i r i n t e r e s t s , n o r m ee t
w i t h a n n o y a n c e fro m g a n g s o f u n p r i n c i p l e d f o r e i g n e r s ,
u n d e r t h e i m p o s in g nam es o f " T r a d e U n i o n s . "
T h is h a s b e e n one o f t h e c h i e f a u t h o r i t i e s f o r t h o s e who
w ish t o s u b s t a n t i a t e t h e i r b e l i e f in th e t r u t h o f th e
A m erican D ream .
H e re i t may s e r v e a s a b a c k d r o p f o r t h e
f o l l o w i n g d e s c r i p t i o n s o f w hat a c t u a l l y to o k p l a c e i n t h e
movement o f p o p u l a t i o n w e s t w a r d .
J u s t i n W in s o r , The W estw ard Movement ( B o s t o n , 1897)
p p • 4 0 2-403.
7 J.M . P e c k . New G u id e f o r E m i g r a n t s t o t h e W est ( B o s t o n ,
1837) p p . 1 1 6 -1 1 7 .
6
The w e s tw a rd movement o f t h e d i f f e r e n t s o c i a l s t r a t a .
T h e re a r e two ways o f d e s c r i b i n g t h e w e s tw a rd movement o f
th e s o c i a l c l a s s e s .
One p l a c e s t h o s e w i t h o u t c a p i t a l a t
th e vanguard o f m i g r a t i o n .
woodsmen.
T hey w e re t h e t r a p p e r s a n d b a c k ­
T h e re f o l l o w e d , a c c o r d i n g t o t h i s sc h em e , t h o s e
w i t h more c a p i t a l and m o re c u l t u r e d m a n n e r s .
A f t e r them
came men o f g r e a t e r m eans t o d e v e l o p i n d u s t r i e s a n d b a n k i n g .
The a c t u a l s t o r y o f s e t t l e m e n t , i n t h e wooded and
m o u n ta in o u s s e c t i o n s , may b e s t a t e d i n t h e s e t e r m s .
B ut
t h e s t o r y o f o w n e r s h i p , c o n t r o l , a n d a d v a n t a g e i s more com­
p lic a te d .
The l a n d s p e c u l a t o r was a h e a d o f , n o t b e h i n d ,
th e g ro w th o f la n d v a l u e s .
Among t h e t r a p p e r s and s c o u t s
w ere t h e a g e n t s o f men w i t h m eans and p o l i t i c a l c o n n e c t i o n s .
F u r t h e r m o r e , many o f t h e s q u a t t e r s who f o r g e d a h e a d o f
re g is te re d t i t l e s
an d c l e a r e d t h e l a n d l i v e d t o
see o t h e r s
p r o f i t by t h e i r h ard l a h o r s .
From t h e p o i n t o f view o f t h e s t u d e n t o f s o c i a l
c l a s s e s , t h e m ost i m p o r t a n t f a c t i s t h a t t h e r e a l back w o o d s­
man s e t t l e d i n new p l a c e s many t im e s i n t h e c o u r s e o f two
g e n e r a t i o n s a n d w e re n e v e r i n a p o s i t i o n t o r e a p t h e r i c h e s
w h ic h l a y a b o u t th e m .
d ig i n , to s ta y p u t.
T h ey d i d n o t know how t o s t i c k , t o
T h e y w ere r o l l i n g s t o n e s .
I n t h e d e s c r i p t i o n s o f t h e c l a s s e s m oving w e s tw a rd ,
a s g iv en b y P eck, t h e r e i s t o bo found a d e n i a l o f h i s
p a m p h lete er s ta te m e n ts c o n c e rn in g s o c i a l e q u a l i t y .
He
8
says:
G e n e ra lly , In a l l th e w e stern s e t tl e m e n ts , th r e e
c l a s s e s , l i k e t h e w aves o f t h e o c e a n , h a v e r o l l e d one
a f t e r t h e o t h e r . F i r s t , comes t h e p i o n e e r , who d e p en d s
f o r t h e s u b s i s t e n c e o f h i s f a m i l y c h i e f l y upon t h e
n a t u r a l g r o w th o f v e g e t a t i o n . . . h e " b r e a k s f o r t h e
h i g h t i m b e r , " " c l e a n s o u t f o r t h e New P u r c h a s e , " o r
m i g r a t e s t o A r k a n s a s . . . . The n e x t c l a s s o f e m i g r a n t s
p u r c h a s e t h e l a n d s , add f i e l d t o f i e l d , c l e a r o u t t h e
ro ad s . • . •
A n o th e r wave r o l l s
t e r p r i s e come . . . .
on.
The men o f c a p i t a l and e n ­
N o t h i n g i s shown h e r e o f g ro w in g up w i t h t h e c o u n t r y , o f
r i s i n g from t h e b o tto m t o t h e t o p .
I n s t e a d , th e p o o re r
a n d e a r l i e r c l a s s e s g i v e way t o t h e w e a l t h i e r g r o u p s a r r i v ­
in g l a t e r .
B u t i t i s a l s o t r u e t h a t i n some s e c t i o n s o f t h e
c o u n t r y , p a r t i c u l a r l y i n t h e s e t t l e m e n t o f K e n tu c k y , t h e
c la s s e s a l l a rriv e d sim u lta n e o u s ly .
9
T exas, B an croft w rite s :
Of t h e s e t t l e m e n t o f
When i t i s b o r n e i n m ind fro m how many s t a t e s o f t h e
U nion t h e e a r l y s e t t l e r s o f T e x a s p r o c e e d e d , t h a t d e ­
s c e n d a n t s o f t h e p i l g r i m f a t h e r s , and H o l l a n d e r s fro m
th e n o r t h , o f o ld V i r g i n ia c a v a l i e r s , and t h e a n c i e n t
H u g u e n o ts who s e t t l e d S o u th C a r o l i n a , t h a t h u n t e r s fro m
K e n tu c k y an d T e n n e s s e e , and i l l i t e r a t e f r o n t i e r f a r m e r s ,
a l l f l o c k e d t o h i s l a n d o f p r o m is e . . . .
One o f t h e m o st r e a l i s t i c
e v a lu a tio n s of th e c la s s
s i t u a t i o n i n t h e West a t t h e tim e o f s e t t l e m e n t was w r i t t e n
« PP» 1 1 9 - 1 2 1 .
9 H u b e r t Howe B a n c r o f t , The Works o f . v o l . XVI (San F r a n c i s c o .
1889) p p . 3 9 0 -3 9 1 ”
8
b y T h e o 1Q
d o re R o o s e v e l t .
In h i s W inning o f t h e W e s t, h e
w rite s:
The h u n t e r an d t r a p p e r came f i r s t . . . C lo s e b e h i n d
t h e m ere h u n t e r came t h e r u d e h u n t e r - s e t t l e r . . .
He was a d v e n t u r o u s , r e s t l e s s , s h i f t l e s s . . . .
The t h i r d c l a s s c o n s i s t e d o f t h e men who w ere
t h r i f t y a s w e l l a s a d v e n t u r o u s , t h e men who w ere more
i n d u s t r i o u s t h a n r e s t l e s s . T h ese w ere t h e y who e n t e r e d
i n t o h o l d t h e l a n d , and who h a d h a n d e d i t on a s an i n ­
h e r i t a n c e t o t h e i r c h i l d r e n and t h e i r c h i l d r e n ' s c h i l ­
dren . . . .
Y e t a f o u r t h c l a s s was composed o f men o f m e a n s , o f
t h e w e l l - t o - d o p l a n t e r s , m e r c h a n t s , and l a w y e r s , o f t h e
men whose f a m i l i e s a l r e a d y s t o o d h i g h on t h e A t l a n t i c
s l o p e . . . T h e s e men soon grew t o t a k e t h e l e a d i n g
p l a c e s i n t h e new com m onw ealth. T hey w e re o f good
b l o o d - - u s i n g t h e words as t h e y s h o u l d b e u s e d , a s
m e a n in g b l o o d t h a t h a d f lo w e d t h r o u g h t h e v e i n s o f
g e n e r a t i o n s o f s e l f - r e s t r a i n t and c o u r a g e and h a r d w o rk ,
and c a r e f u l t r a i n i n g i n mind and i n t h e m a n ly v i r t u e s .
W hether t h e c l a s s e s w ere a l l f o u n d i n t h e same m i g r a ­
t i o n o r f o l l o w e d e a c h o t h e r tandem f a s h i o n i s
th e p o in t un d er d is c u s s io n .
im m a te ria l to
The f a c t i s t h a t t h e W est was
n o t s e t t l e d b y p e o p l e who l i v e d i n e s s e n t i a l e q u a l i t y w i t h
e a c h o t h e r , n o r d id t h e c o n d i t i o n s o f t h e West r e d u c e them
t o one common d e n o m i n a t o r .
To c a r r y t h r o u g h t h e t h o u g h t t h a t t h e s e v e r a l c l a s s e s
s e t t l e d t h e W e s t, i t i s n e c e s s a r y t h a t a d e s c r i p t i o n b e g i v e n
o f t h e movement w e s tw a rd o f t h e v a r i o u s c l a s s e s , a s s u c h .
The w e s tw a rd movement o f t h e u p p e r and m id d le c l a s s e s .
C o n c e r n i n g "A m e ric a n a r i s t o c r a c y , " F i s h w r i t e s t h a t "few
10 T h e o d o re R o o s e v e l t , The W inning o f t h e W e s t, v o l . I I
(New Y o r k , 1 9 1 7 ) p p . 161-1183 •
to w n s o r c o u n t r y s i d e s o f t h e W est w e re w i t h o u t i t s r e p r e ­
se n ta tiv e s.
I t s mode o f l i f e
t h u s p r e s e n t e d a m odel to w a rd
w h ic h m o st A m erio an s h a d a lw a y s l o o k e d w i t h d e s i r e , an d now
11
c o u ld lo o k w ith c o n f id e n c e ."
T h a t t h e p o o r w h i t e s who
l i v e d n e a r Mr. C la y o f A s h la n d a r o s e i n t o t h e a r i s t o c r a c y
i s n o t a m a tte r o f r e c o r d , b u t t h a t th e s e ttle m e n ts o f th e
W est c o n t a i n e d r e p r e s e n t a t i v e s o f e a s t e r n a r i s t o c r a t s c a n
go u n c h a l l e n g e d .
T hey w e re t h e r e , and t h e i r h o u s e s w ere
fu rn is h e d w ith p lu sh .
12
In w r i t i n g o f K e n tu c k y one a u t h o r s a y s :
The b e a u t y o f t h e c o u n t r y an d r i c h n e s s o f t h e s o i l , how­
e v e r , e x c i t e d g e n e r a l a t t e n t i o n soon a f t e r t h e p e a c e ,
and many p e r s o n s o f r e s p e c t a b i l i t y and f o r t u n e f e l l i n
w i t h t h e c u r r e n t o f p o p u l a r r u s h i n g w e s tw a r d .
In a book n o t s p e c i f i c a l l y d e d ic a te d to th e r i s e o f
t h e common man d u r i n g t h e e a r l y n i n e t e e n t h c e n t u r y , and
t h e r e f o r e w id er no p r e s s u r e o f r e i t e r a t i n g th e s o c i a l m o b i l i t y
o f th e p e rio d , th e h i s t o r i a n P is h d e s c rib e s th e in f lu x o f
w e l l - b r e d e l e m e n t s i n t o K e n tu c k y a t t h e t u r n o f t h e c e n t u r y
13
I n t h e s e w o rd s :
The l e a d e r s h i p o f t h e new p a r t y i n t h o u g h t and p e r s o n n e l
was V i r g i n i a n . The V i r g i n i a s t o c k was now a t I t s p r i m e .
The h a r d s h i p s o f t h e e a r l y y e a r s h a d weeded o u t t h e
p h y s i c a l l y w eak , and t h e c a v a l i e r I m m i g r a t i o n h a d i n ­
f u s e d an e le m e n t o f h i g h r e f i n e m e n t , w h ic h s e r v e d t o e x ­
c i t e th e em u latio n of th e r e s t . . . . F i n a l l y , a t t h i s
p e r i o d t h e V i r g i n i a . . . s t o c k c o n t r o l l e d K e n tu c k y , an d
a l s o O h io , w h ic h became a s t a t e i n 1 8 0 3 .
11 C a r l R u s s e l l R l s h , The R i s e o f t h e Common Man (New Y o r k .
1 927 ) p . 1 9 .
'
12 F e l i x F l u g e l an d H a r o ld U« F a u l k n e r , Rea d i n g s I n Econom ic
and S o c i a l H i s t o r y o f t h e U n i t e d S t a t e s (New Y o rk .
T929) p . 1 3 S 7
13 C a r l R u s s e l l F i s h , The D ev elo p m en t o f A m erican N a t i o n a l i t y
(New Y o rk , 1938) p . 8 7 .
The l e a d e r s h i p i n p a r t o f t h e new W est w a s , t h e n , f u r n i s h e d
b y t h e p l a n t e r c l a s s o f t h e e a s t ; t h e p o o r i n t h e W est
c o u ld o n l y h a v e d e s c e n d e d from t h e p o o r w h i t e s d e s c r i b e d
in th e p re v io u s ch ap ter*
I n s t e a d o f t h e s t a t e o f K e n tu c k y b e c o m in g e q u a l i t a r i a n
w i t h t i m e , i t was i n l e s s t h a n two d e c a d e s o f m i g r a t i o n "a
S t a t e d i f f e r e n t no m ore fro m V i r g i n i a , P e n n s y l v a n i a , a n d
14
N o r t h C a r o l i n a t h a n t h e s e d i f f e r e d fro m one a n o t h e r . "
T h e re was s c a r c e l y t i m e i n t h a t s h o r t i n t e r v a l f o r t h e
p ro c e s s e s o f s o c i a l c l a s s m o b il i ty t o a c c o u n t f o r th e
d i v e r s i t y w i t h i n t h e K e n tu c k y p o p u l a t i o n .
O n ly t h e im m ig ra ­
t i o n o f t h e s e d i f f e r e n t c l a s s e s c o u ld make t n a t s t a t e i n
t h a t tim e so n e a r l y l i k e t h o s e b a c k e a s t .
T h a t t h e W e s t, t h e "raw s e t t l e m e n t s , " were t h e r e ­
c i p i e n t s o f a l a r g e and e f f e c t i v e i m m i g r a t i o n o f " g e n t r y , "
made up o f p l a n t e r s an d s o n s o f men o f means i s f u l l y d e ­
s c r i b e d b y R o o s e v e l t , who r e m a r k s t h a t t h e y deemed " i t a
p l a c e t h a t a f f o r d e d u n u s u a l o p p o r t u n i t i e s t o t h e man w i t h
c a p i t a l no l e s s t h a n t o him whose s o l e t r u s t was i n h i s own
15
ad v en tu ro u s e n e r g y ."
N ot o n l y d i d t h e p l a n t e r s o f t h e S o u t h j o i n i n t h e
s e t t l e m e n t o f K e n tu c k y — t h e o f f i c e r s
( b u t n o t t h e common
s o l d i e r s ) of th e R e v o lu tio n to o k t i t l e
t o th o u sa n d s of a c r e s
14 R o o s e v e l t ,
15 L o c . c l t .
0£
. c l t . . p . 16.
o f r i c h l a n d s a s re c o m p e n s e f o r t h e i r s e r v i c e t o t h e
c o lo n ia l cause.
R o o s e v e l t d e s c r i b e s t h i s movement o f men
16
o f means and i n f l u e n c e t h u s :
T h is d i s t r e s s a t home i n c l i n e d many p e o p l e o f means
and a m b i t i o n t o t r y t h e i r f o r t u n e s i n t h e W est; w h i l e
a n o t h e r and e q u a l l y p o w e r f u l m o ti v e was t h e d e s i r e t o
se c u re g r e a t t r a c t s o f v i r g in l a n d s , f o r p o s s e s s io n or
s p e c u l a t i o n . Many d i s t i n g u i s h e d s o l d i e r s h a d b e e n r e ­
w a rd e d b y s u c c e s s i v e w a r r a n t s f o r u n o c c u p i e d l a n d , w h ich
t h e y e n t e r e d w h e r e v e r t h e y c h o s e , u n t i l t h e y c o u ld c l a i m
th o u s a n d s upon t h o u s a n d s o f a c r e s .
Som etim es t h e y s o l d
t h e i r w a r r a n t s t o o u t s i d e r s ; b u t w h e t h e r t h e y r e m a in e d
in th e hands o f t h e o r i g i n a l h o l d e r s o r n o t , th ey serv ed
a s g r e a t s t i m u l u s t o t h e w e s tw a rd m ovem ent, and drew many
o f t h e r e p r e s e n t a t i v e s o f t h e w e a l t h i e s t and m o st i n f l u ­
e n t i a l f a m i l i e s i n t h e p a r e n t S t a t e s t o t h e l a n d s on t h e
f a r t h e r s id e of th e m o u n ta in s.
A l t h o u g h e v e r y o n e had a v o t e an d '’a l l K e n t u c k i a n s
to o k a g r e a t i n t e r e s t i n p o l i t i c s
. . .
t h e g e n t r y and men
o f means and t h e l a w y e r s v e r y soon t o o k t h e l e a d i n p o l i t i c a l
17
a ffa irs
The u l t i m a t e t e s t o f t h e s o c i a l c l a s s s t a n d i n g o f
m i g r a n t s was t o be f o u n d i n t h e e q u i p m e n t , e s p e c i a l l y i n t h e
k i n d s o f h o u s e - f u r n i s h i n g s , t h e f a m i l i e s t o o k w i t h them
i n t o t h e West and t h e k i n d s o f hom es t h e y b u i l t t h e r e .
18
read s th a t,
One
Though t h e t y p i c a l i n h a b i t a n t o f K e n tu c k y was s t i l l
th e sm a ll f r o n t i e r f a r m e r , th e c l a s s o f w e l l- t o - d o
g e n t r y h a d a l r e a d y a t t a i n e d good p r o p o r t i o n s . E ls e w h e r e
t h r o u g h o u t t h e W est, i n T0n n © s s e e , and e v e n h e r e and
t h e r e i n Ohio and t h e T e r r i t o r i e s o f I n d i a n a an d M is s ­
i s s i p p i , t h e r e w ere t o b e fo u n d o c c a s i o n a l h o u s e s t h a t
16 I b i d . , p . 1 8 .
17 I H I d . . p . 1 8 6 .
18 I b i d . , p p . 4 4 2 - 4 4 3 .
w ere w e l l b u i l t and w e l l f u r n i s h e d , and s u r r o u n d e d b y
p l e a s a n t g r o u n d s , f a i r l y w e l l k e p t ) h o u s e s t o w h ic h
t h e ow ners h a d b r o u g h t t h e i r s t o r e s o f s i l v e r and l i n e n
a n d , h e a v y o l d - f a s h i o n e d f u r n i t u r e fro m t h e i r homes i n
th e E a ste rn S t a t e s .
(tThe l e a d e r s o f K e n tu c k y l i f e w e re men who owned
l a r g e e s t a t e s , on w h ic h t h e y l i v e d i n t h e i r g r e a t roomy
h o u se s."
I f th e y engaged in th e la w , th e y a l s o
su p e rv ised
t h e p l a n t a t i o n s and "w e re a lw a y s r e a d y t o t r y t h e i r h and
a t some k i n d o f m a n u f a c t u r e . . .
t o a n y b u s i n e s s i n w h ic h
t h e r e was a c h a n c e t o make money . . . . "
T h e s e g e n tle m e n
w e re " a lw a y s on t h e l o o k o u t f o r a n y f r e s h r e g i o n o f e x ­
c e p t i o n a l a d v a n t a g e s , s u c h a s many o f th em c o n s i d e r e d t h e
19
l a n d s a l o n g t h e lo w e r M i s s i s s i p p i . "
Carman, d e s c r i b i n g t h e movement w e s t w a r d , shows t h e
m ig r a tio n o f up p er c l a s s e le m e n ts a lo n g s id e th o s e w ith o u t
20
m e a n s , who " t r u d g e d on f o o t . "
He s a y s :
The r o a d s l e a d i n g fro m V i r g i n i a , t h e C a r o l i n a s , and
G e o r g ia t o K e n tu c k y an d T e n n e s s e e w e r e , w i t h few e x ­
c e p t i o n s , a lw a y s crow ded w i t h l o n g t r a i n s o f h e a v y ,
l u m b e r i n g , c a n v a s - c o v e r e d C o n e s to g a w a g o n s , e a c h
draw n b y f o u r o r s i x h o r s e s , l a d e n w i t h a p r e c i o u s
c a r g o o f h u m a n ity an d h o u s e h o l d g ood s . . . .
P l a n t e r s and t h e w e l l - t o - d o u s u a l l y t o o k w i t h them
s l a v e s and h e r d s o f c a t t l e and s h e e p .
L a rg e la n d o w n e r s d o m in a te d t h e s c e n e i n L o u i s i a n a ,
to o .
T im o th y F l i n t d e s c r i b e s t h e a r e a b e lo w B a to n Rouge
21
a lo n g th e r i v e r as fo llo w s :
19 I b i d . , p . 4 4 3 .
20 Carm an, o p . c i t . , p . 5 1 3 .
21 T im o th y F l i n t , R e c o l l e c t i o n s o f t h e L a s t Ten Y e a r s (B o sto n
1826) pp. 2 9 9 - 3 0 0 ; see a ls o Coman, ojd. c l t . , pp. 2 0 -2 1
In t h e w hole d i s t a n c e t o Hew O r l e a n s , p l a n t a t i o n t o u c h e s
p l a n t a t i o n . . • • H oble h o u s e s , m a s s i v e s u g a r h o u s e s ,
n e a t s u m m e r -h o u s e s , and num erous n e g ro v i l l a g e s s u c c e e d
e a c h o t h e r i n s u c h a w ay, t h a t t h e w hole d i s t a n c e h a s
t h e a p p e a r a n c e o f c o n t i n u e d v i l l a g e . The h o u s e s a r e
a i r y and n e a t , some o f them s p l e n d i d . . . . Among t h e
n o b l e s t o f t h e p l a n t a t i o n s i s t h a t o f G e n e r a l H am pton.
T u r n e r d e s c r i b e s t h e movement o f p o p u l a t i o n i n t o t h e
G u l f s t a t e s i n a m anner w h ic h r e c a l l s t h e r e a l i t i e s
w e s tw a rd m i g r a t i o n : t h e l i t t l e
of th e
man was b e i n g p u s h e d a s i d e
and t h e r i c h a n d i n f l u e n t i a l w e re r e a p i n g t h e r i c h r e w a r d s
22
i n t h a t a r e a . He s t a t e s :
B ut w h i l e t h i s p o p u l a t i o n o f l o g - c a b i n p i o n e e r s was e n ­
t e r i n g th e G u lf p l a i n s , c a ra v a n s o f s la v e - h o l d in g p l a n t e r s
w ere a d v a n c i n g fro m t h e s e a b o a r d t o t h e o c c u p a t i o n o f
t h e c o t t o n l a n d s o f t h e same r e g i o n . As t h e f r e e f a r m e r s
o f t h e i n t e r i o r had b e e n r e p l a c e d i n u p l a n d c o u n t r y o f
t h e s o u t h b y t h e s l a v e - h o l d i n g p l a n t e r s , so now t h e
f r o n t i e r s m e n o f t h e s o u t h w e s t w e re p u s h e d b a c k fro m t h e
more f e r t i l e l a n d s i n t o t h e p i n e h i l l s an d b a r r e n s . Not
o n l y was t h e p i o n e e r u n a b l e t o r e f u s e t h e h i g h e r p r i c e
w h ic h was o f f e r e d him f o r h i s c l e a r i n g , b u t , i n t h e com­
p e t i t i v e b id d in g of th e p u b l ic la n d s a l e s , th e w e a l t h i e r
p la n te r secu red th e d e s ir a b le s o i l s . . . . L i t t l e by
l i t t l e , t h e r e f o r e , t h e o ld p i o n e e r l i f e t e n d e d t o r e t r e a t
t o t h e l e s s d e s i r a b l e l a n d s , l e a v i n g th e s l a v e - h o l d e r
in p o s s e s s io n o f th e r i c h "b u c k -sh o t" s o i l s . . . .
By t h e s i d e o f t h e p i c t u r e o f t h e a d v a n c e o f t h e
p io n e e r f a r m e r , b e a r i n g h i s h o u se h o ld goods in h i s c an v a sc o v e r e d wagon t o h i s new home a c r o s s t h e O h i o , m u s t
t h e r e f o r e be p la c e d th e p i c t u r e o f th e s o u th e rn p l a n t e r
c r o s s i n g t h r o u g h t h e f o r e s t s o f w e s t e r n G e o r g i a , A labam a,
an d M i s s i s s i p p i , o r p a s s i n g o v e r t h e f r e e s t a t e o f I l l i n o i s
to th e M iss o u ri V a lle y , i n h i s f a m ily c a r r i a g e , w ith
s e r v a n t s , p a c k s o f h u n t i n g - d o g s , and a t r a i n o f s l a v e s ,
t h e i r n i g h t l y c a m p - f i r e s l i g h t i n g up t h e w i l d e r n e s s where
so r e c e n t l y t h e I n d i a n h u n t e r h a d h e l d p o s s e s s i o n .
22 F r e d e r i c k J a c k s o n T u r n e r , R i s e o f t h e New W est (New Y o r k .
1906) p p . 9 1 -9 2 .
The T u r n e r t h e s i s o f open o p p o r t u n i t y , t h e n , m u st b e r e ­
stric te d
to th e s t a t e s o th e r th an th o se o f th e S o u th l
B e in g a p i o n e e r , a s s u c h , was no g u a r a n t e e a g a i n s t t h e f o r c e s
o f s o c i a l a n d e co n o m ic i n e q u a l i t y and a g a i n s t t h e l a c k o f
o p p o rtu n ity .
I n t h e g r e a t m i g r a t i o n s w e stw a rd a l l t h e
c l a s s e s w ere r e p r e s e n t e d .
T h e r e i s a b u n d a n t e v i d e n c e , a l s o , a s shown i n
A p p e n d ix I I I ,
t h a t s u c h s t a t e s a s Io w a , f o r i n s t a n c e , w ere
h e a v i l y p o p u l a t e d b y m i d d l e c l a s s e l e m e n t s who p u r c h a s e d
t h e r i c h l a n d and b u i l t up t h e t o w n s .
Iowa was p o p u l a t e d
l a r g e l y i n t h e d e c a d e b e tw e e n 1850 and 1 8 6 0 , r e c e i v i n g m o st
23
o f h e r i m m i g r a n t s fro m t h e s t a t e s i m m e d i a t e l y t o t h e e a s t ,
l a r g e l y f a r m e r s e q u i p p e d and f u r n i s h e d b y t h e s u r p l u s o f
fa rm ste a d s in th e n e ig h b o rin g o ld e r s t a t e s .
P ro fe ssio n a ls
and b u s i n e s s men came fro m New E n g la n d and t h e M id d le A t l a n t i c
sta te s .
H o w ev er, t h e r e was o b v i o u s l y more u n i f o r m i t y i n
t h e s i z e o f f a r m s and t h e s o c i a l s t a n d i n g o f t h e s e t t l e r s
i n a new t e r r i t o r y s u c h a s Iowa t h a n i n t h e o l d e r o n e s o f
K e n tu c k y a n d T e n n e s s e e .
I n Iowa t h e f i r s t s e t t l e r s w ere
u s u a l l y p e r s o n s w i t h m i d d l e c l a s s means and e q u i p m e n t .
No
s t o r i e s a r e t o l d o f p e r s o n s t r u d g i n g t o Iowa on f o o t t o
s q u a t on s m a l l c l e a r i n g s i n t h e h i l l s .
The c o u n t r y was s u r ­
v e y e d , m a rk e d o f f , an d s o l d i n a r e g u l a r f a s h i o n i n s e c t i o n s
and q u a r t e r - s e c t i o n s .
The to w n s grew m ore r a p i d l y t h a n i n
23 See the Federal Census of 1860.
K e n tu c k y , f o r i n s t a n c e , and t h e homes w e re r a p i d l y e r e c t e d
w i t h c a p i t a l i m p o r t e d fro m t h e e a s t .
P e o p le o f Iowa r e l a t e s
A H isto ry of th e
s t o r i e s o f c o m m u n itie s b u i l t u p b y
’’w e l l - t o - d o p e o p l e , m o s t o f them w e l l e d u c a t e d an d . . .
of
ap p ro v ed m o ral c h a r a c t e r .
Among them w ere f a r m e r s , m er24
c h a n t s , c r a f t s m e n o f a l l k i n d s , t e a c h e r s . . . ."
Much l i g h t h a s b e e n s h e d up on t h e t y p e s o f m i g r a n t s
who s e t t l e d . m o st o f t h e " b e t t e r ” s e c t i o n s o f t h e W est b y
D anhof.
He e m p h a s i z e s t h e f a c t t h a t t h e l a r g e s t p a r t s o f
t h e a g r i c u l t u r a l W est w e re s e t t l e d by p r o s p e r o u s f a rm
fa m ilie s.
"The a g r i c u l t u r a l p o p u l a t i o n m oving w e stw a rd
d i d so i n l a r g e p a r t b e c a u s e o f t h e p o s s i b i l i t y o f s e l l i n g
i t s e a s t e r n p r o p e r ty and t r a n s f e r r i n g th e n e c e s s a ry c a p i t a l
25
t o t h e W e s t ."
D a n h o f l i s t s 31 e s t i m a t e s made b y c o n te m p o r a r y
w rite rs
(1850-1860) i n fa rm j o u r n a l s a s t o th e c o s t o f
f a rm m ak in g i n C a l i f o r n i a , I l l i n o i s , I o w a , M i c h ig a n , T e x a s ,
and W i s c o n s i n .
The a v e r a g e e s t i m a t e f o r t h e c o s t o f s e t t i n g
up a f a rm i n t h o s e r e g i o n s was o v e r two t h o u s a n d d o l l a r s ,
26
a p a r t fro m th e c o s t s o f m i g r a t i o n .
H is s t u d y i s a
c o m p le te d e n i a l o f t h e T u r n e r t h e s i s t h a t t h e West o f f e r r e d
open o p p o r t u n i t y t o t h e p o v e r t y - s t r i c k e n o f t h e e a s t e r n
s ta te s•
24 C y re n u s C o l e , A H i s t o r y o f t h e P e o p l e o f Iowa (C e d a r
R a p id s , 1 9 2 1 ) p p . 228-2 29'.
25 C l a r e n c e H. D a n h o f, "F a rm -m a k in g C o s t s and t h e ' S a f e t y V a l v e 1: 1 8 5 0 - 1 8 6 0 ," i n t h e J o u r n a l o f P o l i t i c a l
Econom y, v o l . XLIX, J u n e , 1 9 4 i , P . 3 5 9 .
26 I b i d . . p . 3 2 7 .
Ohio was settled by elements similar to those of both
K e n tu c k y , i n some r e s p e c t s i and t o Iow a i n o t h e r s .
In th e
b i o g r a p h i e s o f p r o m in e n t p e r s o n s , g i v e n i n A p p e n d ix I I I ,
t h e r e a r e more s i g n s o f e a r l y c l a s s d i f f e r e n c e s i n O hio t h a n
i n Io w a , b u t f e w e r t h a n t h e r e c o r d s o f K e n tu c k y r e v e a l .
In
o t h e r w o r d s , t h e f u r t h e r W est one g o e s , among t h e n o r t h e r n
s t a t e s , t h e m ore l i k e l y one i s
to fin d t h a t th e e a r ly
s e t t l e r s w ere n e i t h e r a r i s t o c r a t s n o r p o v e r t y - s t r i c k e n , b u t
m id d le c l a s s i n s t a t u s .
Few p i o n e e r s who c o u ld n o t a f f o r d
r e l a t i v e l y e x p e n s i v e e q u i p m e n t , f o r i n s t a n c e , were a b l e t o
t r e k a c r o s s t h e p l a i n s an d m o u n ta i n s t o s e t t l e t h e s t a t e o f
O re g o n .
F re m o n t d e s c r i b e d a c a r a v a n , w i t h h e r d s o f c a t t l e
g r a z i n g a b o u t , a s h a v in g " a n a i r o f c i v i l i z e d c o m f o r t , t h a t
made a r a r e s i g h t f o r t h e t r a v e l l e r i n
27
n e s s ."
such a r e m o te w i l d e r -
The Mormons m ig h t o r m ig h t n o t h a v e b e e n t y p i c a l o f
t h e w e s tw a rd movement b e y o n d t h e M i s s i s s i p p i and ab o v e t h e
P l a t t e , b u t c e r t a i n l y m ore e x a c t i n f o r m a t i o n a b o u t them i s
a v a ila b le th a n about th e s e t t l e r s
o f M o n ta n a , f o r i n s t a n c e .
Of t h e Mormons t h e r e w ere f i v e e a r l y m i g r a t i o n s , and t h e
r e c o r d r e v e a l s t h a t t h e e a r l i e s t was made u p o f t h e r i c h e s t
s e t t l e r s a n d t h e l a s t was composed o f t h e p o o r .
The f i r s t
m i g r a t i o n o f Mormons c o n s i s t e d o f 1553 p e r s o n s .
W ith them
27 Coman,
0£.
clt., pp. 157-158.
t h e y t o o k "2213 c a t t l e , 124 h o r s e s , 887 cow s, 358 s h e e p . .
The p r e s c r i b e d o u t f i t f o r a f a m i l y o f f i v e was one w agon,
t h r e e y o k e s o f c a t t l e , two c o w s ,
two s t e e r s , t h r e e s h e e p ,
o ne t h o u s a n d p o u n d s o f f l o u r , t w e n t y p o u n d s o f s u g a r , a
t e n t and b e d d in g ,
s e e d s , f a r m i n g t o o l s , and a r i f l e , an
e q u ip m e n t a d e q u a t e f o r a l o n g j o u r n e y .
The f i r s t c a r a v a n p a s s e d s u c c e s s f u l l y a c r o s s t h e
m o u n ta in s.
The l a s t , composed o f 1300 p o o r s o u l s o f t h e
" h a n d - c a r t b r i g a d e " s u f f e r e d m i s e r a b l y , many p e r i s h i n g i n
t h e w i n t r y b l a s t s w h ic h sw ept down upon th e m .
The f i r s t
g r o u p s t o o k up t h e b e s t s i t e s and s e c t i o n s i n t h e B e e h iv e
c o lo n y .
The e m i g r a t i o n o f Mormon c o n v e r t s fro m L i v e r p o o l t o
S a l t Lake o f f e r s a c a s e s t u d y i n t h e n a t u r e o f t h e A m erican
29
D ream . One r e a d s :
The f o u r t h and f i f t h d e c a d e s o f t h e n i n e t e e n t h c e n ­
t u r y p r o v e d an e p o c h o f m i s e r y a n d u n r e s t , when t h e
p o o r of e v e r y l a n d w e re s e e k i n g e s c a p e fro m p o l i t i c a l
and i n d u s t r i a l o p p r e s s i o n . . . .
The w re tc h e d o p e r a t i v e s
o f M a n c h e s te r . . . m in e r s • . . s t r u g g l i n g a r t i s a n s . . .
la n d le s s p e a sa n ts . . . th e su p e rflu o u s p o p u la tio n . . .
t h o u s a n d s a c c e p t e d t h e Mormon f a i t h and p r e p a r e d t o
m i g r a t e t o t h e p r o m is e d l a n d . . . .
S uch i s t h e s e t t i n g ,
A m erica was o f f e r i n g , i n U t a h , a g r e a t
o p p o r tu n ity t o th e p o o r , w re tc h e d , o p p r e s s e d .
" b u ild u p ."
B u t a l a s 1.
Such i s t h e
30
Of t h o s e who came t o A m erica
By f a r t h e g r e a t e r number w e re f a r m e r s and m e c h a n ic s o f
t h e b e t t e r c l a s s who h a d t h e m eans t o rem ove t o t h e l a n d
28 I b i d . . p . 1 7 4 .
29 I b i d . . p p . 1 8 5 - 1 8 6 .
30 L'oc. c l t .
o f o p p o r t u n i t y . . . . The am ount o f l u g g a g e b r o u g h t
t o t h e d o c k s b y Mormon p a s s e n g e r s was a common c o m p l a i n t
o f s h i p s ’ c a p t a i n s , who avowed t h a t t h e v e s s e l l a y an
i n c h d e e p e r i n t h e w a t e r on t h i s a c c o u n t .
Thus w ere t h e u n d e r p r i v i l e g e d l e f t b e h i n d b y p e r s o n s w i t h
o v er-h eav y bag g ag e.
H ow ever, many p a r t s o f t h e West r e c e i v e d a g o o d l y
s h a r e o f lo w e r c l a s s e l e m e n t s ;
t h e West was s e t t l e d b y
t y p e s o t h e r th a n t h e g e n t r y o f K e n tu c k y , t h e p l a n t e r s o f t h e
s o u t h w e s t and t h e m id d l e c l a s s e s o f t h e n o r t h .
The w e s tw a rd movement o f t h e lo w e r c l a s s e s .
T here
w e re p o o r p i o n e e r s ; t h e y t e n d e d t o s e t t l e m a r g i n a l l a n d s
and t o r e c e i v e m a r g i n a l o p p o r t u n i t i e s .
T h a t t h e r e w e re so
many i n so many s e c t i o n s o f t h e West i s i t s e l f p r o o f t h a t
t h e y w ere t h e d e s c e n d a n t s o f t h e p o o r and w r e tc h e d o f t h e
E a s t , b e c a u s e b y s im p le m a t h e m a t i c s t h e u p p e r and m id d l e
c l a s s e s c o u ld n o t h a v e p r o d u c e d so many u n s u c c e s s f u l
p r o g e n y , even i f a l a r g e p r o p o r t i o n o f them w ere u t t e r
fa ilu re s;
little
t h e y d i d n o t h a v e so many c h i l d r e n .
T here i s
t o show t h a t t h e l o w e r c l a s s e s o f t h e W est w e re made'
up o f th e t h i r d g e n e r a tio n of " s h i r t s le e v e s t o s h i r t
s l e e v e s •"
The West was n o t a p a r a d i s e f o r t h o s e who h a d
n o t h i n g — i t d e a l t them s u c h s t i n g i n g r e b u k e s t h a t many
who w a lk e d w e s tw a r d a l s o w a lk e d b a c k a g a i n .
The W est o f ­
f e r e d g r e a t o p p o r tu n itie s to th o se w ith excess b ag g ag e, to
th o se w ith f a t f a s t h o r s e s , w ith b e a u t i f u l f u r n i t u r e , w ith
c o m m e rc ia l and p r o f e s s i o n a l t r a i n i n g .
To t h e p o o r t h e
W est was o f t e n , n o t i n f r e q u e n t l y , a m ir a g e o f u n d y in g
fo u n ta in s o f sw eet w a te r.
r u d e l y , and t o s u f f e r m uch.
I t was a c h a n c e t o l i v e r o u g h l y ,
B u t i t was h a r d l y a p l a c e
w h e re t h e u p p e r and m id d l e c l a s s e s d i d n o t h a v e and k e e p
t h e i r a d v an tag e .
I t i s t r u e , a l s o , t h a t m o st o f t h e w o r k e r s
an d s m a l l f a r m e r s and r e n t e r s made " a f a i r l i v i n g " a s l o n g
a s em ploym ent and f a r m p r i c e s h e l d o u t ; i t i s l i k e w i s e t r u e
t h a t t h e c o n d i t i o n o f some o f t h e p o o r i n t h e s o u t h e r n
s t a t e s , i n t h e G r e a t L akes r e g i o n , and i n t h e m o u n ta in s
r a p i d l y becam e w o rs e w i t h t h e p a s s i n g o f t i m e .
T hey fo u n d
t h e m s e l v e s s t r a n d e d on c u t - o v e r * e r o d e d , an d o t h e r w i s e
m a rg in a l l a n d , e s p e c i a l l y in M is s o u r i, A rk a n s a s , C o lo rad o ,
w e s t e r n K a n s a s , t h e D a k o t a s , arid n o r t h e r n W is c o n s in and
M i c h ig a n .
T h a t t h e lo w e r c l a s s e s moved w e s t w a r d , so m etim es i n
advance o f th e " c i v i l iz e d "
e l e m e n t s , so m e tim es s i m u l t a n e o u s l y
w i t h t h e u p p e r an d m id d le c l a s s e s , so m e tim es a s " f o l l o w
u p p e r s " i n t h e b u i l d i n g o f r a i l r o a d s , to w n s , and i n o c c u p y ­
in g m a rg in a l l a n d s , c a n n o t be q u e s t io n e d .
I t Is not tru e ,
h o w e v e r , t h a t t h e p o o r b ackw oo dsm an, who had no t i t l e
to
t h e l a n d an d who c o n t i n u o u s l y " h i t f o r t h e t a l l t i m b e r , "
was a lw a y s f o l l o w e d b y m id d l e c l a s s e l e m e n t s .
A n o th er ty p e
o f l o w e r c l a s s f a r m e r a l s o moved w e s tw a rd a l o n g s i d e t h o s e
o f h i g h e r s t a t u s , s e t t l i n g on m a r g i n a l f a r m s .
The p o o r w h i t e s came w i t h t h e i r " b e t t e r s " I n t h e m ain
w e s tw a rd m i g r a t i o n , j u s t a s some h a d gone b e f o r e an d more
w ere t o f o l l o w a f t e r w a r d s .
"The p o o r c l a s s e s t r a v e l l e d on
f o o t , so m e tim e s c a r r y i n g t h e i r e n t i r e e f f e c t s i n a c a r t
31
draw n b y t h e m s e l v e s . "
"Some t r a v e l l e d b y s t a g e c o a c h o r
w agon, o t h e r s on h o r s e b a c k , an d n o t a few on f o o t , " s a y s
Carman, and h e q u o t e s B i r b e c k ' s d e s c r i p t i o n , w r i t t e n i n
1 8 1 7 , w h ic h i n c l u d e d t h e s t a t e m e n t t h a t " o f t e n t h e b a c k o f
t h e p o o r p i l g r i m b e a r s a l l h i s e f f e c t s , and h i s w i f e f o l l o w s ,
32
n a k e d - f o o te d , b e n d in g u n d e r th e h o p e s o f th e f a m i ly ."
The e x t e n t o f t h e p o v e r t y o f t h e s e f r o n t i e r s m e n ,
t h e s e v e r y p e r s o n s who w ere w i t h i n s t r i k i n g d i s t a n c e o f ,
b u t w ith o u t a c c e ss t o , th e r i c h e s o f la r g e v ir g in
tra c ts ,
and t h e i r I n a b i l i t y b e c a u se o f l a c k of e x p e r ie n c e and t r a i n ­
i n g t o a c t t h e p a r t o f t h e eco n o m ic m an, i s shown i n t h e
33
fo llo w in g :
I t was e s t i m a t e d t h a t t h e c o s t o f a fa r m o f t h r e e
h u n d r e d a n d tw e n ty a c r e s a t t h e e d g e o f t h e p r a i r i e I n
I l l i n o i s , a t t h i s t i m e , w ould b e d i v i d e d a s f o l l o w s :
f o r one h u n d r e d a n d s i x t y a c r e s o f p r a i r i e , two h u n ­
dred d o l l a r s ; f o r fe n c in g i t in to fo u r f o r t y - a c r e
f i e l d s , w i t h r a i l - f e n c e s , one h u n d r e d and s i x t y
d o l l a r s . . . . B u t t h e m ass o f t h e e a r l y s e t t l e r s
w ere t o o p o o r t o a f f o r d s u c h a n o u t l a y , and w ere e i t h e r
s q u a t t e r s w i t h i n a l i t t l e c l e a r i n g , o r o w n e rs o f
e ig h ty acres . . . .
. . . D i r t and s q u a l o r w e re t o o f r e q u e n t l y f o u n d i n t h e
s q u a t t e r ' s c a b i n , and e d u c a t i o n a n d t h e r e f i n e m e n t s o f
l i f e w ere d e n i e d t o h i m . O f t e n s h i f t l e s s a n d I n d o l e n t . .
W ith h i s r i f l e h e e k e d o u t h i s s u s t e n a n c e •" • •
31 T u r n e r , 0£ * c l t . ( 2 2 ) , p . 8 0 .
32- Carm an, OR* c T ^ . , p . 5 1 2 .
33 T u r n e r , oj>. c i t o , ( 2 2 ) p p . 8 6 a n d 8 8 .
W h ic h e v e r g r o u p one s t u d i e s — w h e th e r t h e o r i g i n a l
s q u a t t e r s o r t h o s e who f o l l o w e d a l o n g s i d e t h e c a r a v a n s
" a f o o t b a c k " — t h e i m p r e s s i o n i s a lw a y s t h e sa m e .
O ften
b a r e f o o t , a lw a y s l a c k i n g i n e d u c a t i o n , t h i s p a r t o f t h e
p o p u la tio n l i v e d in su ch a s i t u a t i o n t h a t even th e r e s o u r c e s
of g ia n t oaks,
c le a r stre a m s, t a l l
g r a s s , g e n t l e r a i n s , and
r i c h e a r t h c o u l d n o t e x t r i c a t e th e m , e s p e c i a l l y t h a t p a r t
w h ic h had b e e n b o r n and r a i s e d t o t h e t h i r d and f o u r t h
g e n e r a t i o n s u n d e r t h e s e c o n d itio n s o f p o v e r ty and i s o l a t i o n .
R o o s e v e lt, in w ritin g o f t h i s p o r t io n o f th e p o p u la ­
t i o n i n K e n tu c k y , f i r s t p o i n t s t o t h e s h a r p c o n t r a s t s on
t h e f r o n t e r (in c o n t r a s t t o t h o s e w r i t e r s who s e e i n t h e
f r o n t i e r a p l a c e o f s o c i a l a n d econo m ic u n i f o r m i t y ) , and
34
th e n s a y s :
. . . t h e r e was a l s o a l a r g e i n f l u x o f p e o p l e draw n
from t h e w o r s t i m m i g r a n t s t h a t p e r h a p s e v e r w e re
b r o u g h t t o A m e ric a - - t h e m ass o f c o n v i c t s e r v a n t s ,
r e d e m p t i o n e r s , and t h e l i k e , who f o rm e d s u c h an e x c e s ­
s i v e ly u n d e s ir a b le su b s tra tu m to th e o th e rw is e e x c e l­
l e n t p o p u la tio n of th e tid e - w a te r re g io n s in V ir g in ia
and t h e C a r o l i n a s . Many o f t h e s o u t h e r n c r a c k e r s o r
p o o r w h i t e s s p r i n g from t h i s c l a s s , w h ic h a l s o i n t h e
back w o o d s g a v e b i r t h t o g e n e r a t i o n s o f v i o l e n t and
h a r d e n e d c r i m i n a l s , a n d t o a n ev en g r e a t e r num ber o f
s h i f t l e s s , l a z y , c o w a rd ly c u m b e r e rs o f t h e e a r t h ' s s u f face.
The g r e a t B u l l- M o o s e r was i n a f e v e r h e a t , p e r h a p s ,
when h e w r o t e t h e f o r e g o i n g , b e c a u s e t h e o b j e c t i v e t r u t h
i s t h a t t h e r e a r e b r a v e a n d c o w a r d ly men i n e v e r y c l a s s .
34 Q u o te d from T h e o d o re R o o s e v e l t i n F r a n k l i n H e n ry G i d d i n g s ,
The P r i n c i p l e s o f S o c i o l o g y (Hew Y o r k , 1 903 ) p p . 1 2 8 -
TSS.
B ut t h e f a c t t h a t t h e p o o r w h i t e s o f V i r g i n i a a l s o moved
I n t o K e n tu c k y a n d t o o k t h e i r ways o f l i f e w i t h th e m s t a n d s
o u t c l e a r l y t o t h o s e , l i k e R o o s e v e l t , who h a v e d e l v e d
d e e p l y i n t o t h e r e a l i t i e s o f t h e w e s tw a rd movement*
Prom t h e b e g i n n i n g s o f t h e s e a b o a r d s e t t l e m e n t s t o
t h e l a t e s t c e n s u s , I n t h e h a m l e t s and c i t i e s o f t h i s l a n d ,
t h e r e h a v e a lw a y s b e e n l a r g e n um bers o f p o o r l y h o u s e d ,
p o o r l y c l o t h e d , and p o o r l y f e d A m e ric an s*
t h e t im e o f t h e s e t t l e m e n t o f t h e W est*
T h is was t r u e a t
The p o o r w h i t e s o f
t h e V i r g i n i a h i g h l a n d s , w i t h t h e i r " s a l l o w c o m p le x io n s ,
35
36
rag g e d c lo th in g . •
p u s h e d on a s f a r as T ex a s
w i t h f u r n i t u r e o f t h e s i m p l e s t k i n d , g e n e r a l l y made on
t h e s p o t o u t o f m a t e r i a l s a t h a n d , A few b o a r d s w i t h
th e s u p p o rts ro u g h ly p u t t o g e t h e r , c o n s t it u t e d th e
h o u s e h o l d t a b l e s • . . • The f e m a le p a r t o f t h e com­
m u n i t y p e r f o r m e d n e a r l y a l l t h e h o u s e h o l d d u t i e s ; and
r e f i n e d a s w ere t h e w iv e s o f many I m m i g r a n t s , t h e y
w ere n o t exem pt fro m s e v e r e t o i l u n l e s s t h e y h e l d
sla v e s,
-* * *
I n t h e p u b l i c m in d , b a s e d on s k e t c h y I n f o r m a t i o n ,
t h e w e stw a rd m i g r a t i o n h a s u s u a l l y b e e n c o n c e i v e d o f a s a
o n e -w a y m ov em ent.
flo w ,
No m e n tio n i s u s u a l l y made o f t h e c o u n t e r ­
E x c e p t f o r t h e r e t u r n o f sourdougjhs from A l a s k a , one
d o e s n o t u s u a l l y t h i n k o f t h e f r o n t i e r a s b e i n g so e x a c t i n g
a n d p a i n f u l , so l a c k i n g i n o p p o r t u n i t y , a s t o h a v e c a u s e d
35 P h i l i p A le x a n d e r B r u c e , The R i s e o f t h e New S o u th
( P h i l a d e l p h i a , 1 905) p* 4 2 7 .
36 B a n c r o f t , 0£ , c l t , , p , 3 9 2 ,
many p e r s o n s t o r e s e t t l e
in th e e a s t .
T h is p h a s e o f t h e ’'w e s tw a r d " movement c a u g h t t h e
37
e y e o f one o f t h e e p o c h 's b e s t h i s t o r i a n s :
T h e re a r e no means o f p r o c u r i n g s i m i l a r f i g u r e s f o r
t h e num ber o f i m m i g r a n t s who w ent o v e r t h e W i l d e r n e s s
R oad; b u t p r o b a b l y t h e r e w ere n o t h a l f a s many a s w ent
down t h e O h io . P e r h a p s fro m t e n t o t w e n ty th o u s a n d
p e o p l e a y e a r came i n t o K e n tu c k y d u r i n g t h e p e r i o d im­
m e d ia te ly su c ceed in g th e c lo s e of th e R e v o lu tio n ; b u t
t h e n e t g a i n t o t h e p o p u l a t i o n was much l e s s , b e c a u s e
t h e r e was a lw a y s a s m a l l e r , b u t a l m o s t e q u a l l y s t e a d y
c o u n t e r - f l o w o f m en, who, h a v i n g f a i l e d a s p i o n e e r s ,
w ere s t r u g g l i n g w e a r i l y b a c k to w a rd t h e i r d e s e r t e d
E a s t e r n h o m es.
-> # *
Anyone who h a s l i v e d a w e l l o r d e r e d l i f e , t a k i n g a d ­
v a n t a g e o f e d u c a t i o n a l and o t h e r o p p o r t u n i t i e s , i s i n c l i n e d
t o b e i r r i t a t e d b y t h e way i n v/hich many o f t h e t r a p p e r s ,
f u r t r a d e r s , and f r o n t i e r s m e n d i d n o t t a k e f u l l a d v a n ta g e
of th e ir chances to
sa v e a m o d e s t f o r t u n e and s e t th e m ­
s e l v e s up i n r e s p e c t a b l e c i r c u m s t a n c e s .
R o o se v e lt, in a
p a s s a g e q u o t e d a b o v e , p o u re d o u t h i s w r a t h upon t h e i n ­
d o l e n c e , l a z i n e s s , and c o w a r d l i n e s s o f t h e " e x c e s s i v e l y
u n d e sira b le "
e le m e n ts on t h e f r o n t i e r .
T h e o re tic a lly ,
t h e i r k n o w le d g e o f t h e t e r r a i n s h o u ld h a v e g i v e n t h e
t r a p p e r s e s p e c i a l l y , an a d v a n t a g e i n t h e s e l e c t i o n o f
se ttle m e n t s i t e s .
37 R o o s e v e l t ,
ojd.
T h i s , l o g i c a l l y e n o u g h , would l e a d one
c lt.,
p .
35.
t o b e l i e v e t h a t s h e e r p r i o r i t y , p l u s a k n o w le d g e o f t h e
s o i l s , p lu s p h y s ic a l sta m in a , sh o u ld have en ab led th e s e
men t o make t h e i r s u c c e s s ’' s t i c k , "
e s p e c ia lly sin c e th e y
h a d i n many i n s t a n c e s e a r n e d t h o u s a n d s o f d o l l a r s i n t h e
fu r tra d e .
B ut t h e r e e n t e r s h e r e some o f t h e i n t a n g i b l e s o f
so c ia l c la s s .
Could t h e s e men l a y t h e f o u n d a t i o n s o f r e ­
s p e c ta b ility ?
T h a t t h e y c o u ld n o t r i s e to th e o p p o r t u n i t i e s
38
o f a b u n d a n t c h e a p l a n d i s shown i n t h e f o l l o w i n g :
The t r a p p e r s and t r a d e r s w ere d y i n g o u t q u i t e as
r a p i d l y a s t h e b e a v e r . E x p o s u r e , d r i n k , an d t h e h o s ­
t i l i t y o f t h e I n d i a n s w e re d e s t r o y i n g them one b y o n e .
T h e i r w a g es w ere s p e n t i n t h e c a r o u s e s t h a t d i s g r a c e d
t h e ren d e z/v o u s an d t h e t r a d i n g p o s t s .
Pew h a d a c c u m u la te d 'e n o u g h p r o p e r t y t o r e t u r n t o t h e c i v i l i z e d
w o r ld . . . .
" . . . so t h a t o f a l l t h e a d v e n t u r e r s
engaged, f o r h a l f a c e n tu ry p a s t , in th e f u r tr a d e of
t h a t l i c e n t i o u s q u a r t e r , f e w , v e r y few i n d e e d , e v e r
l e f t i t w i t h e v e n a b a r e c o m p e te n c y ."
G u n n is o n , i n 1 8 5 7 , w r o te t h a t " t h e s e t r a p p e r s h a v e made a
th o u sa n d f o r tu n e s f o r
e a s t e r n m en, and b y t h e i r i m p r o v i d e n c e
39
have n o th in g f o r th e m s e lv e s ."
it
it
E v id e n c e o f a p r e p o n d e r a n c e o f lo w e r c l a s s e le m e n t s
e a r l y i n t h e O z a rk s i s shown i n t h e f o l l o w i n g s t a t e m e n t b y
40
S c h o o l c r a f t , f i r s t w r i t t e n i n 1 819 :
38 Coman, 0£ . c l t . . v o l . I , p . 3 7 0 .
39 Jo h n W. G u n n i s o n , The Mormons ( P h i l a d e l p h i a , 1857)
p . 151.
40 Q u o te d i n Coman, 0£ . c l t . ( 3 ) , p . 3 2 .
When a s e a s o n o f h u n t i n g a r r i v e s , t h e o r d i n a r y l a b o r s o f
a man a b o u t t h e h o u s e a n d c o r n f i e l d d e v o l v e upon t h e
women, w hose c o n d i t i o n i n s u c h a s t a t e o f s o c i e t y may
r e a d i l y be im a g in ed . T hey, in f a c t , p u rsu e a s im ila r
c o u r s e o f l i f e w i t h t h e s a v a g e s ; h a v i n g e m b raced t h e i r
l o v e o f e a s e , a n d t h e i r c o n te m p t f o r a g r i c u l t u r a l p u r ­
su its . . . .
C o n c e r n in g t h i s same r e g i o n a t t h i s same t im e one w r i t e r
41
s ta te s:
A rk a n s a s was t h e v e r i t a b l e f r o n t i e r .
Some f i f t e e n
h u n d r e d h u n t e r s an d t r a p p e r s , u n a c c u s to m e d t o r e s t r a i n t ,
d e g e n e r a t e i n h a b i t s and m o r a l s , s u p p o r t e d a m i s e r a b l e
e x i s t e n c e i n t h e b a c k c o u n t r y , w h i l e t h e town p o p u l a t i o n
was l a r g e l y com posed o f r e n e g a d e s an d f u g i t i v e s fro m
j u s t i c e who s o u g h t e s c a p e fro m c i v i l a u t h o r i t y .
The f o r e g o i n g i s a n o t h e r way o f s a y i n g t h a t t h e
p i o n e e r s w e re n o t a l l t a k i n g a d v a n t a g e o f t h e i r “ open op­
p o r t u n i t i e s •"
th e
A r k a n s a s was and i s
c h ie fly a f f lic te d by
s o c ia l backgrounds o f i t s s e t t l e r s .
l a n d an d o t h e r f a c t o r s c a u s e d t h a t
The l a y o f t h e
s t a t e t o b e one o f
t h o s e n o t c h o s e n b y t h e m id d le c l a s s e l e m e n t s f o r s e t t l e ­
m e n t, a s w ere O regon an d I o w a , f o r i n s t a n c e .
The econom ic i n t e r p r e t a t i o n t h a t t h e W est was so
r i c h t h a t i t made new a n d h i g h e r c l a s s men o u t o f lowerc l a s s e le m e n ts sh o u ld be m o d ifie d to i n c lu d e th e im p o rta n t
q u a lific a tio n s
(1 ) a l l o f t h e W est was n o t r i c h i n r e ­
s o u r c e s , a n d (2 ) a p l e a s a n t c l i m a t e and r i c h r e s o u r c e s do
n o t , of th e m s e lv e s , g iv e th e p o p u la tio n
a m b itio n to u s e t h e i r o p p o r t u n i t i e s .
41 Xbid., p p . 34-35,
t h e i n s i g h t and
T im o th y F l i n t , i n r e m a r k in g a b o u t t h e p e o p l e o f t h e
42
p i n e woods o f L o u i s i a n a , s a y s :
N o t h i n g can b e e a s i e r t h a n s u b s i s t e n c e i n t h e p i n e w o o d s.
T here b e in g l i t t l e c a l l f o r la b o u r , th e i n h a b i t a n t s
l a b o u r l i t t l e , an d a r e c o n t e n t w i t h i n d o l e n c e , h e a l t h ,
and p o v e r t y .
One f i n d s t h e p i o n e e r s o f M i s s o u r i , f a r fro m b e i n g
t h e r o m a n t i c t y p e , a l l u d e d t o i n t h e same d e r o g a t o r y t e r m s
43
a s t h o s e i n A r k a n s a s . Coman w r i t e s :
The p i o n e e r s o f t h e w e stw a rd m i g r a t i o n i n M i s s o u r i ,
a s i n A r k a n s a s , w ere m ere " s q u a t t e r s , ” — worn o u t
t r a p p e r s f a i n t o e k e o u t an e x i s t e n c e f o r t h e m s e l v e s
and t h e i r h a lf - b r e e d f a m ilie s by d e s u lto r y fa rm in g ,
l u c k l e s s t r a d e r s . . . r e f u g e e s and r e n e g a d e s . . . .
S uch a man d i d n o t b u y l a n d , b u t p u t up a t e m p o r a r y
s h e l t e r i n a l o c a t i o n w here wood, w a t e r , a n d p a s t u r a g e
w e re a b u n d a n t . . . . S i n c e h i s o n l y w e a l t h was i n
h o r s e s , c a t t l e , a n d s w in e , h e l o s t n o t h i n g b y c h a n g e
of h a b ita t.
x x
One p h a s e o f A m e ric an c l a s s h i s t o r y o f u t m o s t s i g ­
n if ic a n c e i s th e q u e s tio n o f s q u a t t e r s 1 r i g h t s .
I t has
b e e n f r e q u e n t l y i n t i m a t e d , o r so s t a t e d o u t r i g h t , t h a t t h e
s q u a t t e r s o l d h i s p r e e m p t i o n r i g h t s f o r a t i d y sum, moved
f u r t h e r w e stw a rd a n d becam e an owner i n h i s own nam e.
i t i s known t h a t ,
But
i n g e n e r a l , t h e c r i e s o f s p e c u l a t o r s w ere
a lw a y s a u d i b l e ( t h e p o c k e t b o o k s o f eco n o m ic r o y a l i s t s a r e
a lw a y s w i r e d t o a p u b l i c a d d r e s s s y s t e m ) ; b u t t h e d i s t a n t
r u m b li n g o f a t h o u s a n d d i s p o s s e s s e d s q u a t t e r s was a l s o
42 F l i n t , £ £ . c l t . . p p . 3 2 9 - 3 2 9 .
43 Coman, ojd. c l t . ( 3 ) , p p . 3 9 - 4 0 .
h e a r d , even I f n o t q u ic k ly or e f f e c t i v e l y h e e d e d .
The
s q u a t t e r s 1 p l i g h t i n t h e e a r l y n i n e t e e n t h c e n t u r y was i n
t h i s r e s p e c t s im ila r to t h a t of th e sh a re c ro p p e rs in th e
tw e n tie th .
of
B e n to n s p e n t m o s t / h i s l i f e
t r y i n g t o m o d if y t h o s e
p r a c t i c e s w h ic h a s s u r e d t h e s q u a t t e r o f p r a c t i c a l l y no
rig h ts .
N o t u n t i l 1821 was t h e s y s te m o f c r e d i t s a l e s
abandoned, "b u t th e p r a c t i c e of o f f e r i n g th e la n d a t au c­
t i o n was s t i l l m a i n t a i n e d , w i t h t h e r e s u l t t h a t men w i t h
r e a d y money s e c u r e d t h e m ore d e s i r a b l e t r a c t s , a n d s q u a t t e r s
w ere o f t e n o u s t e d fro m h o l d i n g s t o w h ic h t h e i r l a b o r h a d
44
g i v e n a u g m e n te d v a l u e .
H
W e r te n b a k e r r e f e r s t o t h e d e s c e n d a n t s o f d i s p o s s e s s e d
s q u a t t e r s a s " w r e tc h e d p e o p l e " who s t i l l e x i s t " I n t h e
m o u n ta i n s o f V i r g i n i a , N o r t h C a r o l i n a , T e n n e s s e e and Ken­
tu c k y , e x h ib itin g in t h e i r Ig n o ra n c e , t h e i r
d isre g a rd fo r
l a w , t h e i r l a z i n e s s and even i n t h e i r d i a l e c t t h e lo w n e s s
45
of t h e i r o rig in ."
And I t I s a l s o t r u e t h a t o t h e r d e ­
s c e n d a n t s t r a v e l l e d on w e s t t o M i s s o u r i , A r k a n s a s , O klahom a,
and, of l a t e ,
to C a lif o r n ia .
They w ere t h e p o o r who made
u p a p a r t o f t h e w e stw a rd movement o f p e o p l e s .
S q u a t t i n g i s an o l d , l o n g , a n d p a i n f u l p h a s e o f
44 I b i d . . p . 7 2 .
45 (Thomas J , W e r t e n b a k e r , P a t r i c i a n and P l e b e i a n i n V i r g i n i a
( C h a r l o t t e s v i l l e , 1 9 1 0 T p . "1757
-------
American history.
e a r l i e s t tim e s.
It had troubled the proprietors In
B etw een 1745 and 1 7 5 5 , f o r I n s t a n c e ,
r i o t s b r o k e o u t i n New J e r s e y ;
’’l a r g e n u m b ers o f s q u a t t e r s "
46
q u e s t i o n e d t h e r u l e s o f law a n d o r d e r .
-a
Tax b u r d e n s ,
X
-:t
a l s o , s e r v e d t o k e e p t h e p o o r man down
and t o p e r m i t t h e s p e c u l a t o r s and men o f c a p i t a l t o s u f f e r
few er h in d r a n c e s in th e r a c e f o r o p p o r t u n i t y , a t l e a s t in
T ennessee.
”. . .
th ro u g h t h e i n f lu e n c e o f t h e la n d
s p e c u l a t o r s , a l l l a n d s e x c e p t town l o t s w e re t a x e d a l i k e ,
so t h a t t h e men who h a d o b t a i n e d p o s s e s s i o n , o f t h e b e s t
tra c ts
s h i f t e d t o o t h e r s h o u l d e r s much o f t h e i r own p r o p e r
47
b u rd e n ."
•IS-
-it
A n o t h e r a s p e c t o f t h e w e s tw a rd m i g r a t i o n o f t h e p o o r
o f t h e e a s t I s t h e now l a r g e l y d i s c r e d i t e d t h e o r y t h a t i n ­
d u s t r i a l l a b o r , e s p e c i a l l y I n tim e s o f u n e m p lo y m e n t, h a d
u n u s u a l o p p o r t u n i t i e s i n th e W e st.
Even T u r n e r ' s e s t i m a t e
o f f o u r - h u n d r e d d o l l a r s n e c e s s a r y " t o p u rc h a s e e ig h ty a c r e s
i n I l l i n o i s , ” a l o n g w i t h t h e minimum q u a n t i t y o f t o o l s ,
p l u s t h e c o s t o f m ak ing t h e t r i p , w e re b e y o n d t h e r e s o u r c e s
o f m o st o f t h e wage e a r n e r s o f t h e e a s t .
Even a s l a t e a s
46 E v a r t s B o u t e l l G r e e n e , The F o u n d a t i o n s o f A m e ric an
N a t i o n a l i t y (New Y o rk , 1 § 22) p . 2 8 3 .
47 R o o s e v e l t , o p . c l t . , p . 4 0 0 .
1855 l a b o r fro m t h e New E n g la n d s t a t e s was c o n s p i c u o u s l y
a b s e n t fro m t h e s e t t l e m e n t o f Io w a , a s h a s b e e n s e e n .
A l­
th o u g h t h e n o r t h e r n w o rk e r was n o t s u f f e r i n g from t h e com­
p e t i t i o n o f s l a v e s , a s w ere t h e p o o r w h i t e s o f th e s o u t h ,
n e i t h e r w ere t h e y e a r n i n g s u c h sums a s w ould h a v e a l l o w e d
en o u g h s a v i n g s f o r m i g r a t i o n .
w o rk e r ^ i n
" I n 1849 . . .
th e average
th e i n d u s t r i a l n o r t h ^ r e c e i v e d $247 a y e a r .
When one r e c a l l s t h a t f a m i l i e s w e re l a r g e a t
. .
th a t
t i m e , an d t h a t i t h a s a lw a y s b e e n c u s to m a ry f o r wage e a r n e r s
t o s p e n d t h e i r d a i l y wage and t o a c c u m u l a t e l i t t l e
one can e s t i m a t e t h e d i f f i c u l t i e s
c i t y l i f e f o r th e f r o n t i e r .
" c a p ita l,
i n t h e way o f l e a v i n g
D anho f s t a t e s e x p l i c i t l y i n
summary o f h i s h e a v i l y d o c u m e n te d s t u d y on f a r m -m a k in g
c o s t s and t h e " s a f e t y - v a l v e " t h a t e a s t e r n " m e c h a n ic s th e m ­
s e l v e s p a r t i c i p a t e d i n t h e m i g r a t i o n o n l y on a s m a l l
49
s c a le ."
The l a b o r b a t t a l i o n s w h ic h c h a r a c t e r i z e d t h e
d e v e lo p m e n t o f t r a n s p o r t a t i o n a n d c i t y b u i l d i n g I n t h e
W est w ere t h e e x p l o i t e d I r i s h a n d s o u t h e a s t e r n im m ig r a n ts
whose f a t e was n o t a h a p p y o n e .
Of c o u r s e , a c e r t a i n num ber o f r e g u l a r l a b o r e r s
s h a r e d i n t h e d e v e lo p m e n t o f t h e e a r l i e r W e s t .
c a t t l e c o u n t r y t h e y w e re c o w - h a n d s ,
la te r fic tio n .
In th e
c a l l e d cowboys I n
I n t h e c o t t o n b e l t t h e y w ere N egro s l a v e s .
48 Thomas J e f f e r s o n W e r t e n b a k e r , The F o u n d in g o f A m erican
C i v i l i z a t i o n , The M id d le C o l o n i e s (New Y o r k , 1 958)
p . 21.
49 D a n h o f , o £ . c l t . , p . 3 5 8 .
I n t h e lu m b e r I n d u s t r y t h e r e w e re many woodsmen a n d m i l l hands.
And t h e r e w ere s i l v e r , g o l d , an d c o a l m i n e r s i n
th e h i l l s .
B ut no m e n t i o n o f t h e s e g r o u p s r e m in d s one o f
e q u a lity in
s o c i a l r e l a t i o n s i n t h e W est, o r o f a d v a n c e m e n t
in to h ig h p la c e s .
O n ly i n t h e s m a l l e r to w n s , so l o n g a s
p lu m b e r s and c a r p e n t e r s w e re few and b u i l d i n g m a t e r i a l s
w ere c h e a p , was i t q u i t e common t o
se e t h e s e t y p e s o f w o rk e rs
l i v i n g i n some o f t h e b e t t e r h o u s e s , a phenomenon w h ic h
e x c i t e d g r e a t e n t h u s i a s m among t h o s e who d e s c r i b e d t h e
p assin g
e v en ts.
I t is
one t h i n g t o s e e a s i t u a t i o n i n w h ic h t h e r e
a r e no " d i s g u s t i n g array o f p a u p e r s , n o t ev en b e g g a r s , " a s
one o b s e r v e r p u t i t ;
i t i s q u i t e a n o th e r th in g to f i n d
t h o s e who do t h e w ork o f t h e w o r ld s i t t i n g
d i g n i t y an d r e s p e c t a b i l i t y .
In f a c t ,
in th e s e a t s of
sin c e s o c ia l d i s t i n c ­
t i o n s a r e b o t h u b i q u it o u s and r e l a t i v e , i t
i s im p o ssib le
t h a t any la r g e p e rc e n ta g e o f p e rso n s ro s e to s i g n i f i c a n t l y
h ig h e r
so c ia l s t a tu s .
Prom an i n s t i t u t i o n a l p o i n t o f v iew
th e y d id n o t .
The S c o t c h - I r l s h .
The s o - c a l l e d p r o o f o f e x c e l l e n t
o p p o r t u n i t y i n A m erica f r e q u e n t l y h i n g e s u pon t h e s u c c e s s
o f p e rs o n s o f "o b scu re" b a ck g ro u n d s, e s p e c i a l l y th e S c o tch Irish .
Who were t h e s e commoners who h a d made up t h e b u l k
o f th e n o r th I r i s h p o p u la tio n ?
In d e n tu re d s e rv a n ts ?
D id t h e y come t o A m e ric a a s
D id t h e s e p e o p le who f i l t e r e d down
I n t o t h e m o u n ta i n s o f E a s t T e n n e s s e e and l a t e r e m i g r a t e d
w e s t w a r d , c a r r y i n g t h e i r P r e s b y t e r i a n I s m w i t h th e m , f u r n i s h ­
i n g much r e l i g i o u s , p o l i t i c a l , and e c o n o m ic l e a d e r s h i p w h ere
e v e r t h e y w e n t, come fro m t h e s e r v a n t c l a s s e s ?
Or w e re
t h e y t h e same t y p e o f p e o p l e a s t h e P i l g r i m s a n d P u r i t a n s ?
D id t h e y h a v e e d u c a t i o n a l b a c k g r o u n d s ?
Was I t t h e i r " r a c e "
o r t h e i r c l a s s w h ic h e n a b l e d them t o " r i s e ? "
F o r d , who made an e x t e n s i v e s t u d y o f t h e S c o t c h - I r i s h
shows t h a t t h e y d id n o t come o v e r a s s e r v a n t s .
He q u o t e s
t h e c o r r e s p o n d e n c e b e tw e e n two p r o m in e n t C o n n e c t i c u t
c i t i z e n s i n 1718 t o t h i s e f f e c t :
" . . .
and l i k e w i s e p r a y
t e l l him h e i s much o u t o f t h e way t o t h i n k t h a t t h e s e
I r is h are se rv a n ts.
T h ey a r e g e n e r a l l y men o f e s t a t e s ,
and come o v e r h i t h e r f o r n o r e a s o n b u t upon e n c o u ra g e m e n t
s e n t from h e n c e upon n o t i c e g i v e n t h a t t h e y s h o u l d h a v e so
many a c r e s o f l a n d g i v e n them g r a t i s t o s e t t l e o u r f r o n t i e r s
50
as a b a r r i e r a g a in s t th e I n d ia n s ."
T h is same w r i t e r ,
I n a n o t h e r p l a c e s a y s : " T h e re a r e none t o b e s o l d ; h a v e
a l l p a id t h e i r p a ssa g es s t e r l i n g in I r e l a n d ."
In le a v in g
U l s t e r t h e y h a d " b r o u g h t t e s t i m o n i a l s o f t h e i r good s t a n d 51
i n g i n t h e p l a c e s w here t h e y l i v e d . "
The s t o r y o f U l s t e r i s t h e s t o r y o f s m a l l e n t e r p r i s e ,
o f a c u l t u r a l a tm o s p h e r e n o t g r e a t l y d i f f e r e n t fro m t h e
50 H e n ry James F o r d , The S c o t c h - I r i s h i n A m e ric a ( P r i n c e t o n ,
19 15) p p . 2 2 2 - 2 2 5 .
51 L o c . c i t .
m oat v i g o r o u s p a r t s o f New E n g la n d a t i t s h e i g h t .
When
E n g l i s h law t h r e a t e n e d t h e v e r y e x i s t e n c e s o f t h e s e f a m i l i e s ,
t h e y d i d n o t f a i l t o make e f f e c t i v e u s e o f t h e i r h a b i t s o f
e n te rp ris e ,
t h e i r t r a i n i n g an d e d u c a t i o n .
T h is i s th e s o c i a l
c la s s e x p la n a tio n of t h e i r su c ce sses in t h is c o u n try .
T e n a n t s become o w n e r s .
Many t w i s t s c a n b e g i v e n t o
t h e s t o r y o f t h e w e stw a rd m ovem ent, t o make i t
f e r e n t fro m what i t r e a l l y w a s .
appear d i f ­
One i s t o r e i t e r a t e t h e
n o t i o n t h a t c o n d i t i o n s o f e q u a l i t y e x i s t e d on t h e f r o n t i e r .
A n o t h e r i s t o f a i l t o t a k e f u l l n o t i c e o f t h e w e stw a rd
jo u r n e y s o f th e s o u th e rn poor w h ite s and t h e i r c o n tin u e d
p lig h t.
S t i l l a n o th e r i s to i n f e r th a t s q u a tte r s re c e iv e d
e ith e r t i t l e
o r a d e q u a te c o m p e n sa tio n , as a r e g u l a r p r a c t i c e .
A m ore p e r n i c i o u s one i s t o i n f e r o r s t a t e t h a t a l l t h e
p e o p l e who s e t t l e d t h e W est r o s e i n s o c i a l s t a t u s .
i s s t i l l a n o th e r.
T h e re
I t le n d s cred en ce to th e th e o r y t h a t a t
one s t a g e t h e W est was open t o young men who w e re w i l l i n g
t o s t a r t a s fa r m l a b o r e r s , become fa rm t e n a n t s ,
farm o w n e r s .
and th e n
The s t a t i s t i c s
v a rie d i n te r p r e t a t i o n .
on t h i s q u e s t i o n a l l o w e d f o r
52
S o ro k in s t a t e s :
W .S. S p i l l m a n 's s t u d y o f 2 ,1 1 2 M id w e s te r n fa rm ow ners
showfe-that 20 p e r c e n t o f th em s t a r t e d t h e i r c a r e e r a s
fa rm b o y s and p a s s e d s u c c e s s i v e l y t h e s t a g e s o f h i r e d
l a b o r e r an d t e n a n t b e f o r e b e c o m in g fa r m o w n e rs ; 15 p e r
c e n t s t a r t e d a s f a rm b o y s , became h i r e d men a n d , f i n a l l y ,
52 P i t i r i m S o r o k i n , S o c i a l M o b i l i t y (New Y o r k , 1 927 ) p . 4 4 3 .
f a r m o w n e rs ; 32 p e r c e n t p a s s e d t h e s t a g e s o f f a r m b o y s
an d t e n a n t s b e f o r e b e co m in g f a rm o w n e r s . And o n l y 34
p e r c e n t p a s s e d d i r e c t l y fro m t h e s t a g e o f f a r m b o y on
t h e home fa rm t o t h e l e v e l o f farm o w n e r . Somewhat
s im ila r r e s u l t s a r e g iv en b y o th e r i n v e s t i g a t i o n s .
In i n t e r p r e t i n g t h e s e f i g u r e s s e v e r a l p o i n t s m ust be
m ade:
( 1 ) i t i s r e m a r k a b l e t h a t 34 p e r c e n t o f t h e fa rm
o w n e rs d i d n o t e v e r h a v e t o work away fro m home f o r w ages
o r becom e t e m p o r a r y t e n a n t s , a v e r y common p r a c t i c e among
farm b o y s ;
(2) p r o b a b ly m ost o f th e s ix ty - o d d p e r c e n t o f
f u t u r e f a r m o w n e rs who d i d w ork away fro m home f o r w ages
w e re t h e s o n s o f f a rm o w n e r s ;
(3 ) n o s o c i a l c l a s s m o b i l i t y
i s n e c e s s a r i l y d e m o n s t r a t e d , ev en i n t h e c a s e s o f b o y s who
n o t o n l y w orked aw ay fro m home f o r wages b u t who a l s o w ere
t e n a n t s f o r a tim e ;
(4 ) no p r o o f i s g i v e n h e r e t h a t t h e r e
w ere good c h a n c e s o f b e c o m in g ow ners f o r a l l p e r s o n s who
b e g a n a s f a r m l a b o r e r s o r even f o r t h o s e who l a t e r becam e
te n a n ts .
E v e r y b o y who w o rk s f o r w ages i s n o t n e c e s s a r i l y
a p a rt of th e " a g r ic u ltu r a l p r o l e t a r i a t ."
Nor i s e v e r y
te n a n t n e c e s s a r il y a p a r t o f th e sh a re -c ro p p in g or m ig ra tin g
te n a n t c la s s .
The f a c t t h a t l a n d was a v a i l a b l e f o r t h e
y o u n g e r g e n e r a t i o n d i d n o t make i t f r e e fro m t h e p o s s i b i l i t y
o f b e i n g s n a t c h e d u p J ev en b y t h e d e v i c e o f t e m p o r a r y t e n a n t r y ,
b y t h e a g g r e s s i v e and e n e r g e t i c so n s o f f a r m e r s who c o u ld
e q u i p an d s u b s i d i z e t h e i r o f f s p r i n g i n t h e i r e f f o r t s t o
a tta in
s o l i d , d e p e n d a b l e , an d r e s p e c t a b l e m id d l e c l a s s l i v e s .
I t I s now adays e v i d e n t t h a t f e w e r t e n a n t s becom e o w n e r s •
Prom t h i s
i t m u st b e c o n c l u d e d among o t h e r t h i n g s :
(1) t h a t
a g ric u ltu re i s a n o n -p ro fita b le e n te rp ris e ,
(2 ) t h a t s o n s
o f p r o s p e r o u s f a r m e r s a r e t a k i n g up o t h e r c a r e e r s , and ( 3 )
t h a t t h e word t e n a n t now h a s m ore s o c i a l c l a s s m e a n in g
t h a n I t f o r m e r l y h a d when some t e n a n t s w ere e v i d e n t l y s o n s
o f p ro sp e ro u s farm o w n ers•
The P o l i s h P e a s a n t .
The s t o r y o f l a t e r im m ig r a n ts
who w e re l u r e d t o t h e l a n d o f o p p o r t u n i t y b y a d v e r t i s i n g
and a g e n t s i s d o c u m e n te d i n t h e fam o us work o f Thomas and
Z n a n i e c k i , The P o l i s h P e a s a n t .
c o v er t h a t ground h e r e .
T h e re i s no o c c a s i o n t o
Few p e o p l e s e r i o u s l y b e l i e v e t h a t
t h e l a t e r i m m i g r a n t s o f low b a c k g r o u n d s h a v e had u n l i m i t e d
o p p o r t u n i t i e s in A m erica.
H ow ever, t h e f o l l o w i n g e x c e r p t
fro m t h e l i f e
o f one o f t h o s e i m m i g r a n t s i s r e p r o d u c e d h e r e
53
fo r th e sake of th e re c o rd :
I n t h e - s t o c k y a r d s we w e re w o rk in g l e s s and l e s s . . • .
F i f t y men w ere d i s m i s s e d , among them m y s e l f . I r e c e i v e d
$ 9 . 0 0 f o r t h e l a s t w e e k . Now I s e a r c h f o r work I n t h e
m o rn in g . . . . I t w o u ld r e a l l y b e b e t t e r i f I h a d d i e d
l o n g a g o , f o r I h a v e n o h o p e o f g e t t i n g w o rk.
. . .
I t i s a w f u l l y d i f f i c u l t t o g e t work w i t h o u t p r o t e c t i o n ,
b e c a u s e o f t h e t e r r i b l e c r i s i s b r o u g h t b y t h e E u ro p e a n
war . . . . I c a n n o t e v e n now t a k e a w a lk w i t h ray w i f e ,
f o r s h e h a s n o t even s h o e s t o p u t on h e r f e e t , b u t w e a rs
my o l d s h o e s . And s h e m u st b e a r a l l t h i s t h r o u g h me,
f o r I b r o u g h t h e r t o t h i s . And o n l y som etim es t e a r s
f l o w i n g fro m h e r e y e s show w h at i s g o i n g on i n h e r
h e a r t . . . . She s u f f e r s f o r me, l i k e a s l a v e , and
n o b o d y c a r e s f o r p o o r p e o p l e . . . . Thus I h a v e im p ro v e d
my l o t i n t h i s A m e ric a w h ic h o u r i m m i g r a n t s a d o r e i
53 W i l l i a m I . Thomas a n d F l o r i a n Z n a n i e c k i , The P o l i s h
P e a s a n t . i n E u ro p e an d A m e r i c a , v o l . i l l ( B o s t o n ,
1 9 l9 ) p p . 3 9 9 -4 0 0 .
C o n c lu sio n .
A s u r v e y o f t h e w e s tw a rd movement shows
t h a t t h e r e were c o n s i d e r a b l e and s i g n i f i c a n t
s t a b i l i t y and c o n t i n u i t y .
s o c ia l c la ss
W o rk e rs who moved w e s tw a rd fotind
w o rk , b u t t h e r e was a n d now i s n o s i g n i f i c a n t d i f f e r e n c e
b e tw e e n t h e w o r k i n g c l a s s e s o f t h e W est and t h o s e o f t h e
e a st.
M id d le c l a s s f a r m e r s i n
Hie W est p r o s p e r e d f o r two
g e n e r a t i o n s b e c a u s e o f t h e c h e a p n e s s o f t h e l a n d and t h e
r i c h n e s s o f t h e s o i l , b u t t h e y w e r e , f o r t h e m ost p a r t ,
\h a t t h e i r f o r e f a t h e r s had b e e n : m i d d l e c l a s s f a r m e r s .
The e d u c a t e d , w e l l - t o - d o , a n d u p p e r c l a s s e s w h ic h t r a n s ­
f e r r e d t h e i r s p h e r e o f a c t i v i t y fro m e a s t t o W est fo u n d I n
t h a t re g io n abundant o p p o r tu n ity a t cheap r a t e s .
T hey t o o k
a d v a n ta g e o f i t .
C e r t a i n l y , fe w s e c t i o n s o f t h e West w ere s o c i a l l y
o r e c o n o m i c a l l y e g a l i t a r i a n ; n e i t h e r d i d t h e W est b e a t a l l
down t o one l e v e l n o r draw a l l up t o one l e v e l .
The town
o f W i n f i e l d , K a n s a s , f o r i n s t a n c e , was s e t t l e d b y r e p r e ­
s e n t a t i v e s o f r i c h a n d f a s h i o n a b l e e a s t e r n f a m i l i e s , who
t o o k a d v a n t a g e o f t h e g r o w in g town a n d c o u n t r y s i d e , as
w e l l a s b y m a r g i n a l f a m i l i e s and t h o s e i n b e t w e e n .
The A m e ric an Dream i s a f i g m e n t o f t h e I m a g i n a t i o n —
a m a ste rp ie c e In d i s t o r t e d f a c t .
fic tio n .
I t i s t r u l y a s c h o o lb o o k
CHAPTER X I I I
HYPOTHESES, THEORIES, AND STATISTICS ON
SOCIAL MOBILITY
The c o n c e p t o f w i d e s p r e a d s o c i a l c i r c u l a t i o n o r
s o c i a l c l a s s f l u i d i t y may b e c h a m p io n e d , d e f e n d e d , o r
p ro p a g a te d .
Or I t may b e d o u b t e d an d d e n i e d .
The f o r e ­
g o in g c r i t i c a l s u r v e y o f h i s t o r y h a s l e d t o th e c o n c lu s io n
t h a t d u r i n g a l m o s t a l l o f human h i s t o r y t h e r e h a s b e e n no
a p p r e c i a b l e am ount o f s o c i a l c l a s s m o b i l i t y .
T h is i s , o f
c o u rse , a b e l i e f ; b u t a p e rso n i s in a stro n g e r p o s itio n
i f h e s a y s t h a t h e b e l i e v e s t h a n I f h e s a y s h e k no w s, " f o r
i f we a c t on t h e a s s u m p t i o n t h a t we know , t h e r e I s a c h a n c e
1
we may b e wrong . . . . " a s F a i r c h i l d h a s l o g i c a l l y e x ­
p la in e d .
T h ro u g h o u t t h e f o r e g o i n g c h a p t e r s many c i t a t i o n s
a n d e x t e n s i v e comments a b o u t t h e t h e o r e t i c a l a s p e c t s o f
s o c ia l m o b ility have been g iv e n .
Some o f t h e s e a u t h o r i t i e s
h a v e s e e n much m o b i l i t y a n d o p p o r t u n i t y f o r i n d i v i d u a l a d ­
v a n ce m e n t 6n t h e s o c i a l s c a l e ;
o th e r s have seen l i t t l e , a t
each ste p .
1 H e n ry P r a t t F a i r c h i l d , T he F o u n d a t i o n s o f S o c i a l L i f e
(New Y o rk , 1 9 2 7 ) p T T 4 ^ I
Many o t h e r s t u d e n t s a n d w r i t e r s h a v e r e f l e c t e d upon
a n d p o n d e r e d o v e r t h i s th e m e , a n d i t i s a p p r o p r i a t e t h a t
th e c o n c lu s io n s and s t a t i s t i c s
v iew ed h e r e .
of o th e r a u th o r itie s be r e ­
To b r i n g t o t h e a t t e n t i o n o f t h e r e a d e r a
s e r i e s o f g e n e r a l i z e d i n t e r p r e t a t i o n s an d s t a t i s t i c a l
a n a l y s e s t o u c h i n g u pon s o c i a l m o b i l i t y e i t h e r a s a u n i v e r s a l
phenomenon o r a s l i m i t e d i n s p a c e and t i m e i s t h e p u r p o s e o f
th e p re s e n t c h a p te r .
G e n e ra liz e d i n t e r p r e t a t i o n s .
A ll s o c ia l th e o r is ts
a r e i n c l i n e d t o comm it t h e m s e l v e s t o a b e l i e f o r d i s b e l i e f
i n t h e o p p o r t u n i t i e s f o r a d v a n c e m e n t i n t h e s o c i e t i e s w h ic h
th ey d e s c r ib e .
E ven th o u g h I t I s a m a t h e m a t i c a l c e r t a i n t y
t h a t w h e re t h e r e i s s o c i a l a s c e n t t h e r e m u st a l s o b e s o c i a l
d e s c e n t , i t h a s b e e n c h a r a c t e r i s t i c o f some w r i t e r s t o com­
m it th e s in o f o m is sio n — i n f e r r i n g , i n s t e a d , t h a t t h e
u p p e r c l a s s e s r e c e i v e l a r g e n u m b ers fro m b e n e a t h b u t f a i l i n g
t o p o i n t o u t t h a t t h e y r e l e a s e somewhat c o r r e s p o n d i n g num­
b e r s t o t h e c l a s s e s b e lo w t h e m .
in th e U n ited S t a t e s a t l e a s t ,
(A p a r t o f t h i s c o n f u s i o n ,
came a b o u t a s a r e s u l t o f
th e e a r l i e r c o n s t r u c t i o n o f h u n d re d s o f th o u sa n d s o f b o x ­
l i k e f r a m e h o u s e s w h ic h g a v e t h e s u p e r f i c i a l i m p r e s s i o n
t h a t a l m o s t a l l o f t h e p o p u l a t i o n o f some tow ns h a d a t t a i n e d
m id d l e c l a s s a f f i l i a t i o n . )
E x tre m e s o c i a l m o b i l i t y , a s a g e n e r a l i z a t i o n , h a s
b e e n a s s e r t e d b y s e v e r a l w r i t e r s , among them t h e c h i e f
p u b l i o l z e r s o f t h e A m e ric a n D ream .
O th e rs have ta k e n a
s i m i l a r s t a n d w i t h r e g a r d t o E u ro p e a n s o c i e t i e s .
2
fo r In sta n c e , say s:
S o ro k in ,
W h e th e r we t a k e t h e r i c h e s t f a m i l i e s o r t h e p r o m in e n t
f a m i l i e s w h ic h o c c u p i e d t h e u p p e r c l a s s e s o f E u ro p e a n
s o e l e t i e s a t th e b e g in n in g o f th e n in e te e n th c e n tu ry ,
we f i n d t h a t t h e i r o f f s p r i n g now e i t h e r do n o t e x i s t ,
o r a r e d e g r a d e d , o r com pose o n l y q u i t e a n I n s i g n i f i c a n t
p a r t o f t h e t o t a l o f t h e u p p e r c l a s s e s . The c o m p o s i­
t i o n o f t h e o c c u p a t i o n a l , f i n a n c i a l , and p o l i t i c a l
a r i s t o c r a c y now c h a n g e s p r o b a b l y w i t h a g r e a t e r r a p i d i t y
t h a n one c e n t u r y a g o . D u r i n g t h e l a s t 60 o r 80 y e a r s
E uropean s o c i e t i e s h av e b e e n " d ig g in g " t h e i r u p p e r
s t r a t a i n an e x t e n s i v e p r o p o r t i o n fro m t h e m id d l e
c l a s s e s . S in c e th e b e g in n in g o f th e t w e n ti e t h c e n tu ry ,
we s e e t h a t t h e y h a v e g o n e s t i l l d e e p e r an d b e g u n t o
d i g fr o m t h e c l a s s e s o f t h e p r o l e t a r i a t and p e a s a n t r y .
T h i s s t a t e m e n t i s t y p i c a l o f on e k i n d o f g e n e r a l i z e d i n t e r p r e ­
t a t i o n — i t b e l o n g s t o t h e s c h o o l o f t h o u g h t w h ic h s e e s
much d e g r a d a t i o n on t h e p a r t o f o l d e r f a m i l y l i n e s and
much c i r c u l a t i o n o f t h e i l l t e .
T h i s same a u t h o r , a s h a s
b e e n sh o w n , r e p o r t e d t h e e x t e r m i n a t i o n o f t h e e i g h t e e n t h
c e n t u r y n o b i l i t y i n a "wave o f r e v o l u t i o n s " a t t h e end o f
th a t c e n tu ry .
N o r t h , u n l i k e S o r o k i n , g i v e s an i n t e r p r e t a t i o n w h ic h
l e a n s to w a r d a b e l i e f i n t h e f i x i t y o f s o c i a l c l a s s e s .
H e r e d ita r y p r i v il e g e s a re e v id e n t In th e s o c i a l p ro c e s s e s ;
upon t h e s e t h e
3
he say s:
s o c ia l ran k s a re b u i l t .
In t h i s c o n n e c tio n
I n d i v i d u a l s h a v e a l w a y s , a s i n d i v i d u a l s , shown t h e m s e l v e s
s t r o n g e r t h a n t h e p r e v a i l i n g s y s t e m , an d h a v e b r o k e n
th ro u g h i t . . .
• B u t i t i s t h e s y s te m t h a t we h a v e b e e n
d e s c r ib in g , and th e s e e x c e p tio n s have been n e g lig ib le in
c o m p a r is o n w i t h t h e m i l l i o n s who h a v e c o n fo rm e d t o i t .
2 P l t l r i m S o r o k i n , S o c i a l M o b i l i t y (New Y o rk , 1 9 2 7 ) p . 496
3 C e c i l C l a r e N orthT "" S o o l a T ~ D i f f e r e n t i a t i o n ( C h a p e l H i l l ,
1926) p . 2 2 5 .
395
T h is t h o u g h t t h a t i n d i v i d u a l s h a v e r i s e n , a l b e i t i n f r e q u e n t l y ,
i n s p i t e o f t h e p r e v a i l i n g s o c i a l o r d e r can f i n d i t s
c o u n te r­
p a r t i n t h e s t r e n g t h o f i n d i v i d u a l s a n d f a m i l i e s t o m a in ­
t a i n t h e i r e f f e c t i v e n e s s ev en a f t e r t h e s o c i a l o r d e r w h ic h
h a d a lw a y s h a n d e d p r i v i l e g e s t o them on a s i l v e r p l a t t e r
g iv e s way,
T h a t i s t o s a y , when t h e l o w e r c l a s s e s d i s ­
p o s s e s s th e u p p e r c l a s s e s , th e y d e s t r o y th e o ld o r d e r , b u t
t h i s same ” s t r e n g t h o f t h e i n d i v i d u a l 1* c a u s e s many o f t h e
d is p o s s e s s e d t o m a in ta in t h e i r s t a t u s , even in a m o d ifie d
fo rm and u n d e r new r u l e s o f t r a n s m i t t e d p r i v i l e g e .
T h ere
i s , th e n , s o c ia l c la s s p e rc o la tio n a t a l l tim e s; th e r e is
a l s o s o c i a l c l a s s r i g i d i t y ev en i n t i m e s o f u p h e a v a l and
ap parant s o c ia l ch ao s.
A n o th e r o f N o r t h 1s p e n e t r a t i n g g e n e r a l i z a t i o n s con­
c e r n s t h e t e n d e n c y o f s o c i a l c l a s s e s t o becom e r i g i d ,
4
th ro u g h th e n a tu r e o f f a m ily l i f e :
S o c i a l d i f f e r e n c e s o n c e e s t a b l i s h e d t e n d t o become
m ore o r l e s s p e r m a n e n t . The s t a t u s , t h e o c c u p a t i o n ,
th e c u l t u r e o f th e f a t h e r a r e found c li n g i n g t o h i s
c h i l d r e n , an d h i s c h i l d r e n ' s c h i l d r e n .
The i h f l u e n o e s
w h io h c r e a t e d t h e d i f f e r e n c e s may l o n g s i n c e h a v e c e a s e d
t o o p e r a t e , w h ile t h e d i s t i n c t i o n s th e m s e lv e s a r e handed
down s u c c e s s i v e l i n e s fro m o n e g e n e r a t i o n t o a n o t h e r .
B u t i t i s n o t m e r e l y i n t h e h a n d i n g down o f p r o p e r t y
th a t th e i n s t i t u t i o n o f th e fa m ily te n d s to p e rp e tu a te
s o c i a l d i f f e r e n c e s . The f a m i l y i s t h e I n s t r u m e n t o f
s o c i e t y t h r o u g h w h ic h t h e a d v a n t a g e s o f w e a l t h o r t h e
d isa d v a n ta g e s o f i t s la c k a re f e l t d u rin g th e tr a in in g
p e r i o d o f t h e c h i l d ; a n d i t i s a l s o t h e a g e n c y w h ic h
f u r n i s h e s t h e p r i n c i p a l p a r t o f t h e m e n t a l e n v ir o n m e n t
4 I b i d , . p p , 254 a n d 2 5 6 - 2 5 7 ,
f o r t h e m oat p l a s t i c p e r i o d o f t h e p e r s o n s l i f e . T hus
n o t o n l y a r e d i f f e r e n c e s i n t h e a d v a n t a g e s w h ic h come
fro m w e a l t h p r e s e n t i n f a m i l y l i f e , b u t d i f f e r e n c e s i n
t h e w h o le m e n t a l a n d m o r a l a c q u i s i t i o n s o f t h e p a r e n t s
a r e n e c e s s a r i l y t r a n s m i t t e d t h r o u g h t h e home l i f e . The
p a r e n t s 1 f i n a n c i a l r e s o u r c e s and t h e i r h a b i t s , t h e i r
p o i n ts o f v iew , t h e i r t y p e s o f r e a c t i o n t o e s t a b l i s h e d
s i t u a t i o n s , — a l l c o n s t i t u t e t h e medium i n w h ic h t h e
c h i l d a c q u i r e s t h e f o u n d a t i o n of h i s m e n t a l and m o r a l
l i f e . F o r t h i s r e a s o n t h e s t a t u s , t h e m in d , t h e c h a r a c ­
t e r , t h e o c c u p a t i o n a l t r e n d o f t h e p a r e n t , a l l a r e woven
in to th e v ery f i b r e of th e c h i l d 's l i f e .
5
N o r t h c o n t i n u e s i n t h e same v e i n :
L o y a l t y t o f a m i l y b e c o m e s synonym ous w i t h l o y a l t y t o
c l a s s , and m e m b e rsh ip i n one o f t h e " b e s t " f a m i l i e s i s
a s i n e qua non o f a s s o c i a t i o n w i t h t h e members o f th e
c l a s s . On t h e o t h e r h a n d , i n y o u n g s o c i e t i e s o r i n
t h o s e w h ere s o c i a l c h a n g e i s t a k i n g p l a c e r a p i d l y o n e 's
f a m i l y name i s t a k e n l i t t l e a c c o u n t o f . B u t ev en u n d e r
th e se c o n d itio n s th e n a t u r a l consequences o f s o c ia l
h e r e d i t y t h r o u g h t h e f a m i l y w ork t h e i r c o u r s e .
In h i s e x t e n s i v e h i s t o r i c a l r e v i e w o f t h e s o c i a l
c l a s s e s o f a n c i e n t a n d m o d ern t i m e s F a h l b e c k , t o o , l a y s em6
p h a s l s upon s o c i a l c l a s s r i g i d i t y a s a g e n e r a l p r i n c i p l e :
D er S k l a v e e r z e u g t S k l a v e n , d i e Naohkommen d e s
H a t i p t l l n g s b l l d e n d e n h o h e n A d e l . D ie p e r s b n l i o h e
E i g e n s o h a f t d e r G e b u r t w i r d so an und f u r s i c h z u
e l n e r U r s a o h e s o z i a l ^ r U n t e r s o h i e d e • • • • Man 1 s t
z u n i e d r l g e n o d e r z u hohem S t a n d e und t tb e r h a u p t z u
s e in e m Gewerbe u n d s e i n e r L e b e n s s t e l l u n g von v o r n h e r e l n
sc h o n i n f o l g e d e r H e r k u n f t b e s t i m m t .
A r e c e n t v o lu m e b y O gburn and N im k o ff l i k e w i s e t a k e s
a s ta n d a s t o w h eth er o r n o t t h e r e h a v e b een a p p r e c ia b le
deg rees o f s o c i a l c l a s s m o b il i ty .
T h e y may be c l a s s e d among
5 I b i d . . p . 257.
6 P o n tu s E . F a h l b e c k , D ie K l a s s e n u n d d i e G e s e l l s c h a f t
(J e n a , 1922) p . 1 0 6 .
t h e c r i t i c s o f t h e A m e ric an Dream i n i t s p u r e f o r m .
7
sta te :
T hey
I t i s , how ever, im p o rta n t f o r th e r e a d e r to o b serv e t h a t
e ven t h e m o s t r i g i d s o c i a l s t r u c t u r e shows some m o b i l i t y ,
t h a t i s , m ovem ent u p a n d down t h e s o c i a l l a d d e r . . . .
E q u a l l y i m p o r t a n t i s t h e f a o t t h a t e v e n i n t h e m ost
m o b ile o f s t r a t i f i e d s o c i e t i e s , m o st i n d i v i d u a l s r e m a in
f o r e v e r i n t h e c l a s s o f t h e i r b i r t h . T h i s can b e show n,
f o r e x a m p le , b y a n e x a m i n a t i o n o f t h e s t a t i s t i c s an d o c ­
c u p a tio n s , m a r r i a g e s , and th e l i k e f o r s e v e r a l g e n e ra ­
tio n s of th e p o p u la tio n .
C o n c e r n in g t h e U n i t e d S t a t e s , w here t h e r e h a s r e 8
p u t e d l y b e e n much m o b i l i t y , t h e s e same a u t h o r s s a y :
The r e a d e r n a t u r a l l y h a s a s p e c i a l i n t e r e s t i n t h e
s o c i a l s t r u c t u r e o f t h e U n i t e d S t a t e s a n d w is h e s t o
know w h a t i t shows i n r e g a r d t o s o c i a l c l a s s e s . D e s p i t e
t h e d e m o c r a t i c s h i b b o l e t h t h a t " a l l men a r e c r e a t e d
f r e e and e q u a l , " c l a s s e s d o e x i s t i n t h e U n i t e d S t a t e s .
To s t r e s s t h e f a c t t h a t h a l f o f a l l t h e p r e s i d e n t s o f
t h e U n i t e d S t a t e s w e re o f hum ble b i r t h * i s o n l y t o em­
p h a s iz e th e d ra m a tic e x c e p tio n s to a r u l e and n o t th e
r u l e i t s e l f . The r u l e i s t h a t t h e o v e rw h e lm in g m a j o r i t y
o f i n d i v i d u a l s r e m a in i n t h e c l a s s e s i n t o w h ic h t h e y a r e
bo rn .
I t i s d o u b tle s s tr u e n o t o n ly in th e p re s e n t b u t
sin c e th e In c e p tio n o f s o c i a l i n s t i t u t i o n s t h a t "th e id ea
t h a t o p p o r t u n i t i e s a r e open e q u a l l y t o a l l i n d i v i d u a l s o f
9
eq u al a b i l i t y m ust b e r e g a r d e d as f a n t a s y . "
O ver a g a i n s t t h e f o r e g o i n g g e n e r a l i z a t i o n s w h io h h a v e ,
f o r t h e m o st p a r t , e m p h a s iz e d t h e s t a b i l i t y o f t h e s o c i a l
c l a s s e s c an b e p l a c e d t h e f o l l o w i n g s t a t e m e n t s w h io h em10
p h a slze s o c ia l c l a s s m o b ility :
7 W illia m P . O gburn a n d M eyer P . N lm k o f f . S o c i o l o g y ( B o s t o n .
1940) p . 3 1 7 .
8 Ib id . , p . 320.
* P . S o r o k i n , The M onarohs and t h e R u l e r s .
9 Ogburn and N im k o f f , £ £ . c ' l t . . p . 3 4 0 .
10 S o r o k i n o p . c l t . ( 2 ) , p . 21?1.
The great m ajority, i f not a l l , of the present w ealth iest
fa m ilies ^of Europe and America7 sprang up during the
la s t two cen tu ries, or even the la s t two decades. A ll
the r ic h fa m ilies of previous times have disappeared and
sunk in to poverty again . This means that a fte r a period
of r is in g they have undergone one of impoverishment.
In c o n t r a s t t o th e N o rth th e o r y o f s o c i a l c la s s s t a b i l i t y ,
which coin cid es with the fin din gs of the present w riter,
11
S o r o k in s t a t e s :
As a r e s u l t , t h e c o m p o s i t i o n o f e a c h c l a s s I s f l u i d ,
c h a n g e a b l e , and u n s t a b l e , a t l e a s t i n p a r t . . . . O n ly
an i n s i g n i f i c a n t p a r t o f e a c h econom ic c l a s s r e m a i n s i n
t h e sam e c l a s s d u r i n g many g e n e r a t i o n s . Such c a s e s
s t r o n g l y s u g g e s t t h a t p e o p l e who a r e p o o r o r r i c h d u r ­
i n g f i v e o r m ore g e n e r a t i o n s a r e i n t h e p l a c e p r o p e r t o
th e ir In n a te q u a l i t i e s .
A n o t h e r s t u d e n t o f s o c i a l a s c e n t and d e s c e n t i s
a l s o I m p r e s s e d b y t h e i d e a t h a t t h i s phenomenon i s u n i ­
v e rsa l.
N o t h a a s q u o t e s t h e o l d p r o v e r b : "D er G e l d s a c k u n d
d e r B e t t e l s a o k h&ngen n l e l& n g e r a l s 100 J a h r e v o r e l n e r T t i r .
an d a l s o com m ents t h a t t h i s sp a n h a s b e e n " c u t down a s t h e
e x a m p le s o f w ar p r o f i t e e r s a n d t h e v i c t i m s o f t h e I n f l a t i o n
have demonstrated."
12
One o f t h e l e a s t r e a l i s t i c , p e r h a p s , o f a l l t h e
s t a t e m e n t s on t h e c h a n c e s o f s o c i a l m o b i l i t y i s f o u n d I n a
13
reoent so cio lo g ica l te x t:
T b & h ig h e r r a n k s o f e n t r e p r e n e u r s a n d members o f p r o ­
f e s s i o n s o c c u p y , a s was n o t e d i n a d e s c r i p t i o n o f t h e
Lower N o r t h S i d e o f C h i c a g o , t h e u p p e r r u n g s o f t h e
c o m m u n ity 's s o c i a l l a d d e r . E ven members o f t h e s e m i ­
s k i l l e d g r o u p f i x t h e i r e y e s on t h e s e same u p p e r r u n g s ,
n o t f o r th e m se lv e s u s u a l l y b u t f o r t h e i r c h i l d r e n .
11 I b i d . . p p . 4 7 8 - 4 7 9 .
12 J . N o t h a a s , S o c i a l A s c e n t a n d D e sc e n t i n G erm any, t r . S .
E l l i s o n (fte'w Y o rk , 1 9 3 8 7 p . 1 .
13 C a r l A. Dawson a n d W arn er E . G e t t y s , An I n t r o d u c t i o n t o
S o c i o l o g y (New Y o rk , 1 929 ) p . 1 0 0 .
I f b y " s e m i - s k i l l e d w o rk e rs " f a c t o r y h a n d s , s t o c k y a r d em­
p l o y e e s , and t r u c k d r i v e r s a r e m ea n t h e r e I t I s p r o b a b l e
t h a t s u c h t h o u g h t s a r e b ey o n d t h e r a n g e o f t h e i r c a r e e r
p l a n s , even f o r t h e i r c h i l d r e n .
T h ese g r o u p s a r e o n l y
s l i g h t l y c a re e r c o n scio u s; th e y a tte n d l i t t l e
t o t h e home
w ork, e d u c a tio n , and c a r e e r i n t e r e s t s o f t h e i r c h i l d r e n .
T hey p u t t h e i r c h i l d r e n t o w ork an d m a r r y t h e i r d a u g h t e r s
aw ay fr o m t h e f a m i l y b o a r d I n t o a k i t c h e n o f t h e i r own,
w h e re t h e y c ax ^ io t o n l y co ok b u t a l s o e a t , w a s h , an d s i t .
A s u g g e s t i o n o f t h e k i n d s t a t e d s h o v e , i f made t o g r o u p s
■ e
o f a u t o m o b i l e w o r k e r s i n D e t r o i t , w ould c r ; a te a l o u d g u f f a w .
The n o t i o n t h a t t h e i r e y e s w e re g l u e d on a h o t e l a p a r t m e n t
i n t h e D e t r o i t - C a d i l l a c f o r t h e i r c h i l d r e n would come w i t h i n
th e b o u n d s o f r e a s o n o n ly i f c o u p le d w ith th e ho p es f o r th e
h o n eym oon s o f t h e i r c h i l d r e n , o r some s i m i l a r o c o a s i o n s u c h
a s an o v e rn ig h t p a r t y .
Of a l l t h e g r a y f a c e s t h i s p r e s e n t
w r i t e r h a s s e e n I n t h e e a r l y m o r n in g a t t h e g a t e s o f t h e
P a c k a r d f a c t o r y , among t h e men h e w o rk ed a l o n g s i d e f o r
m o n t h s , n o t o n e l e t p a s s h i s l i p s t h e t h o u g h t o f so r e a r i n g
h i s c h i l d r e n t h a t t h e y w ould some d a y j o i n
F o r d s a l o n g t h e r i v e r ab ove B e l l e I s l e .
t h e D odges a n d
Has n o t t h e w o rk e r
b u r n e d h i s f i n g e r s many t i m e s t r y i n g t o c a r r y t h r o u g h
r e a s o n a b l e p la n s and m odest h o p e s , o n ly t o l o s e h i s
r e f r i g e r a t o r , h i s c a r , o r h i s fram e ho u se?
One o f t h e h i g h
hopes o f th e s e m i- s k ille d i s t o h o ld t h e i r jo b s u n t i l
t h e i r y o u n g e st a r e tw e lv e y e a rs o ld .
In c o n c lu d in g t h i s s ta te m e n t a b o u t th e g e n e r a liz e d
I n t e r p r e t a t i o n s , t h e f o l l o w i n g p o i n t s s h o u l d b e m ad e:
(1 )
T h o se who b e l i e v e t h a t i n c e r t a i n p e r i o d s o f human h i s t o r y
t h e c l a s s e s w e re c l o s e d , c o r r e s p o n d i n g l y b e l i e v e t h a t i n
o th e r tim e s t h e r e h as been g r e a t s o c i a l m o b i l i t y .
( 2 ) T h o se
who s e e t h e g r e a t m a j o r i t y o f t h e p o p u l a t i o n r e m a i n i n g i n
t h e c l a s s o f t h e i r b i r t h a r e m ore r e a l i s t i c ,
I n t h a t t h e y do
n o t co n fu se th e hopes o f r i s i n g w ith th e a c t u a l i t i e s
so c ia l c la s s .
of
( 3 ) The m o r a l l e s s o n t h a t t h o s e who w ork h a r d
and sa v e t h e i r p e n n ie s r i s e
t o g r e a t h e i g h t s sm acks o f t h e
a d v e r t i s i n g c a m p a ig n s o f c o m m e rc ia l a n d s a v i n g s b a n k s and
e ffic ie n c y e x p e rts.
( 4 ) T he n o t i o n t h a t a l l o f a b i l i t y r i s e
len d s, m oral j u s t i f i c a t i o n t o th e s o c i a l i n e q u a l i t i e s b y I n ­
f e r r i n g t h a t t h o s e who h a v e n o t r i s e n
a re la c k in g , in a b i l i t y ,
a s o u r c e o f c o n s i d e r a b l e f r u s t r a t i o n among p e r s o n a i n t h e i r
la te
t w e n t i e s who a r e " g e t t i n g n o w h e re f a s t . "
S t a t i s t i c a l s t u d i e s i n s o c i a l a s c e n t and d e s c e n t .
W i t h i n t h e l a s t t h r e e d e c a d e s t h o s e s o c i a l s c i e n t i s t s who h a v e
a d o p t e d t h e s t a t i s t i c a l a p p r o a c h t o s o c i a l phenom ena h a v e t r i e d
t o come t o g r i p s w i t h t h e r e a l i t i e s
and m o b ility by th e u se o f r e s e a r c h .
a sp e c ts of c o n tin u ity , s t a b i l i t y ,
of s o c ia l c la ss r i g i d i t y
Much a s t h e o t h e r c h i e f
and c i r c u l a t i o n h a v e b e e n
t r e a t e d i n d e t a i l , i t i s now p r o p e r t h a t t h e r e a d e r b e g i v e n
a d i g e s t , e x p l a n a t i o n , a n d c r i t i c i s m o f a f a i r n um ber o f
th e se s t a t i s t i c a l s tu d ie s .
I t i s o b v i o u s t h a t t h e s o c i a l c l a s s e s , a s d e f i n e d and
so f a r a s p o s s i b l e a d h e re d to In t h i s t h e s i s , a r e n o t
q u a n tita tiv e ly c a lc u la b le .
E s t i m a t e s o f t h e i r n u m b e rs ,
e v e n i n l o c a l s i t u a t i o n s , w ould n o t come u p t o
m e n ts o f s t r i c t s t a t i s t i c a l s t a n d a r d s .
T h e re fo re , In o rd er
to have c a te g o rie s th a t a re s e lf - e x c lu s iv e ,
h a v e made u s e o f l i s t s
th e r e q u i r e ­
sta tistic ia n s
o f fam ous p e r s o n s , o c c u p a t i o n a l
g r o u p i n g s , Incom e g r o u p i n g s , a n d p o l i t i c a l o f f i c e h o l d e r s .
T h e s e a r e a h u n d r e d f o l d m ore e a s i l y p l a c e d w i t h i n s t a t i s t i c a l
norm s t h a n a r e t h e a s s o c i a t i v e g r o u p s o f k i n d r e d s o c i a l
t y p e s , d i f f e r e n t i a t e d fro m e a c h o t h e r a c c o r d i n g t o t h e i r
r a n k on t h e s o c i a l l a d d e r .
The s t a t i s t i c a l m ethod h a s n o t s e r v e d t o e n l i g h t e n
t h e w h o le s u b j e c t m a t t e r o f s o c i a l c l a s s , b u t I n s t e a d , o n l y
a p a rt of I t .
S t a t i s t i c s have n e c e s s a r i l y l i m i t e d th e d a ta
t o s u c h m a tte r s as a re n u m e r ic a lly c a l c u l a b l e w ith o u t answ er­
i n g t h e q u e s t i o n s o f I n t e r c h a n g e b e tw e e n t h e l e s s t a n g i b l e
and m ore e x c l u s i v e s o c i a l c l a s s g r o u p s .
S t a t i s t i c a l stu d ie s
i n t h i s f i e l d f a i l t o come t o g r i p s w i t h human f e e l i n g s and
p re ju d ic e s
( v a n i t y , p r i d e , and h o n o r ) w h ic h a r e q u i t e a s
much a t t h e h e a r t o f s o c i a l c l a s s f o r m a t i o n a n d m a i n t e n a n c e
a s a r e m oney, o c c u p a t i o n , and p o l i t i c a l o f f i c e .
F o r e x a m p le , a s a p a r t o f t h e g e n e r a l s u b j e c t o f
s o c i a l m o b i l i t y , S o ro k in u s e s th e f o l lo w in g o b j e c t i v e
14
c rite ria :
14 Sorokin, ££. clt. (2), p. 136.
I f , f o r i n s t a n c e , one i n d i v i d u a l i n o n e y e a r c li m b e d fro m
t h e p o s i t i o n o f a man w i t h y e a r l y in c o m e o f $500 t o a
p o s i t i o n w i t h an incom e o f $ 5 0 , 0 0 0 , w h i l e a n o t h e r man i n
t h e same p e r i o d s u c c e e d e d i n i n c r e a s i n g h i s in com e o n l y
fro m $500 t o $ 1 , 0 0 0 , i n t h e f i r s t c a s e t h e I n t e n s i v e n e s s
o f t h e econ om ic c l i m b i n g w ould b e f i f t y t i m e s g r e a t e r
t h a n i n t h e se c o n d c a s e .
I t I s , o f c o u r s e , c l e a r t h a t t h e r i s e I n Incom e o f t h e one
man I s f i f t y t i m e s g r e a t e r t h a n
th e o th e rf^ b u t th e s i g ­
n i f i c a n c e o f t h i s d i f f e r e n c e i n incom e i s
th e i n ta n g ib le s of s o c i a l c la ss*
s t a k e g r u b b e r , h e m ig h t
to b e fo u n d In
I f t h e f i r s t man w ere
a
w aste h i s f o r t u n e in t h r e e n i g h t s .
I f h e w e re o f a h i g h f a m i l y an d h a d m e r e l y p a s s e d fro m a n
a llo w a n c e t o a p o s i t i o n in a b a n k , h i s
s o c ia l p o sitio n
w o u ld , l i k e w i s e , n o t b e g r e a t l y a f f e c t e d .
One m u s t know much,
much m ore a b o u t t h e s e men t h a n t h e i r c h a n g e s i n In c o m e .
G a n g s t e r s h a v e m o b i l e Incom es b u t r e l a t i v e l y Im m o b ile s o c i a l
sta tu s .
N o th a a s, in h i s s t a t i s t i c a l s t u d i e s o f s o c i a l
a s c e n t an d d e s c e n t , does
s o c ia l sta tu s *
He s e t s
n o t pause to d e fin e s o c i a l ra n k
or
up s t a t i s t i c a l c a t e g o r i e s , th e
u p p e r s t r a t u m o f w h ic h I n c l u d e s p r o f e s s i o n a l s and a r t i s t s
a n d a l l t h e p o l i t i c a l l e a d e r s , a s w e l l a s t h e r i c h and t h e
15
a rls to o ra ts .
B u t t h e r e a r e a r t i s t s a n d a r t i s t s , many
k i n d s o f p r o f e s s i o n a l s , and t h e p o l i t i c a l l e a d e r s i n c l u d e a
m o t l e y a s s e m b la g e o f I n t e l l e c t u a l s , a r i s t o c r a t s , c h u rc h m e n ,
and a few f o r m e r l y em ployed a s w o r k e r s *
G e i g e r , who h a s p e r h a p s w o rk e d m o s t a s s i d u o u s l y w i t h
t h e p e r p l e x i t i e s o f s o c i a l c l a s s i n t erm s o f s t a t i s t i c a l
15 Nothaas, op. clt., p. 5.
16
c a t e g o r i e s , f i n a l l y comes t o t h e f o l l o w i n g c o n c l u s i o n :
N e i t h e r s t r a t a ( S c h l c h t e n ) i n g e n e r a l n o r c l a s s e s In
p a r t i c u l a r are c a lc u la b le q u a n t i t i e s , l ik e a l l a b s tr a c t
q u a n t i t i e s , and a s s u c h t h e y e s c a p e q u a n t i f i c a t i o n and
n u m b e rs ; a l s o w h e re c l a s s e s i n c l u d e p e r s o n s w hose b e ­
h a v io r or o th e r p sy c h o lo g ic a l c h a r a c t e r i s t i c s a re a lik e
( a o c o r d i n g t o Max W eber, M om bert, an d o t h e r s ) s t a t i s t i c s
h a v e n o d i r e c t a c c e s s o r a p p l i c a t i o n t o th e m . The p e o p le
c o u ld b e c o u n t e d , b u t f o r l a c k o f t r u s t w o r t h y a n d ob­
j e c t i v e l y u s a b le c h a r a c t e r i s t i c s , i t I s n o t d e te rm in a b le
w h ic h p e o p l e a r e t o b e c o u n t e d .
M om bert, who f i r s t came t o g r i p s w i t h t h e c o m p le x i­
t i e s o f s o c i a l c l a s s t e r m i n o l o g y and t h e d i f f i c u l t i e s
of
I n t e r p r e t i n g s t a t i s t i c a l s t u d i e s , beoam e e a r l y c o n v in c e d
t h a t “ t h e m ann er o f p r e s e n t d a y c l a s s f o r m a t i o n d o e s n o t
l e a d t h e t a l e n t e d and c a p a b l e up t h e s o c i a l l a d d e r an d
d o e s n o t t a k e p l a c e I n t h e fo rm o f a s e l e c t i v e p r o c e s s
17
w h ic h c h o o s e s t h e b e s t . ”
M om bert, u n l i k e G e i g e r , e a r l y
c o m m itte d h i m s e l f t o t h e p r i n c i p l e t h a t c l a s s r e l a t i o n s h i p s
a n d c h a n g e s c o u ld b e s t a t i s t i c a l l y d e t e r m i n e d .
" I f we know
s t i l l to d a y l i t t l e ab ou t th e s e q u e s tio n s , i t I s c o in c id e n t
w ith th e f a c t th a t s o c i a l s t a t i s t i c s
18
v e r y l i t t l e d e v e l o p e d . • . ."
among u s a r e s t i l l
H ow ever, a s we s h a l l s e e , Mombert c o m p l a i n s o f t h e
v e r y s t a t i s t i c a l s t u d i e s fro m w h ic h h e e x p e c t e d s o m u ch .
S o m b a r t 's d i v i s i o n o f t h e p o p u l a t i o n i n t o t h e f o u r c l a s s e s ,
16 T h e o d o r G e i g e r , D ie S o z i a l e S c h i c h t u n g d e s D e u ts c h e n
V o lk e s ( S t u t t g a r t , 1 9 3 2 ) p . 1 2 ; t r a n s l a t i o n o u r s .
17 P a u l M om bert, " D ie T a t s a o h e n d e r K l a s s e n b i l d u n g , " i n
S c h m o ll e r a J a h r b u c h f t i r G e s e t z g e b u n g . e t c . , v o l . 44
(M u n ic h , 1 9 2 0 ) p . 1 0 4 2 ; t r a n s l a t i o n o u r s .
18 I b i d . , p p . 1 0 4 4 -1 0 4 5 ; t r a n s l a t i o n o u r s .
J u n k e r s , b o u r g e o i s i e , lo w e r m id d le c l a s s , and p r o l e t a r i a t ,
i s d i s m i s s e d b y Mombert a s i n a d e q u a t e f o r s t a t i s t i c a l p u r ­
poses*
L i k e w i s e , h e p a s s e s b y L a n g e 's d i v i s i o n o f t h e
19
c la s s e s i n to In d ep e n d en ts,
s a l a r i e d e m p l o y e e s , and w o r k e r s .
The so n o f a p e a s a n t (a n i n d e p e n d e n t ) c a n become a o l v l l
s e r v a n t (a s a l a r i e d e m p lo y e e ) w i t h o u t l o s i n g c l a s s s t a n d i n g ,
Mombert s a y s , an d t h e so n o f a s k i l l e d w o r k e r can become a
sm a ll m erch an t o r in d e p e n d e n t c ra fts m a n w ith o u t n e c e s s a r i l y
r i s i n g in s ta tu s *
T h is i s v e ry im p o rta n t b e c a u se i t
is fre ­
q u e n t l y s e e n t h a t c h a n g e s i n o c c u p a t i o n a r e c o n f u s e d w ith
changes in s o c i a l s ta n d in g .
One o f t h e e a r l i e s t s t a t i s t i c a l s t u d i e s i n s o c i a l
m o b i l i t y was made b y A b e l s d o r f i n 1 9 0 0 , e n t i t l e d : " B e it r R g e
z u r S o z l a l s t a t i s t i k d e r d e u t s c h e n B u c h d r u c k e r •"
I n 4374
o a s e s t h e o c c u p a t i o n o f t h e f a t h e r c o u l d b e v e r i f i e d : 50
f a t h e r s o f p r i n t e r s w e re a c a d e m i c a l l y t r a i n e d c i v i l s e r v a n t s ,
c l e r i c s , o f f i c e r s , s u p e r v i s o r s o f f o r e s t e r s , and members o f
th e l i b e r a l p ro fe s s io n s .
I n 7 6 c a s e s t h e f a t h e r s w ere
f a c t o r y ow ners o r m a n a g e r s *
" I n t h e s e 186 ^ o u t o f 43747
c a s e s one can s p e a k o f a c l e a r c u t s o c i a l a s c e n t . • •
20
At t h e o t h e r e x tr e m e w e re " t h e 392 c a s e s i n w h ic h t h e
f a t h e r s w e re d a y l a b o r e r s o r u n s k i l l e d w o r k e r s . "
In I t s e l f ,
on i t s f a c e v a l u e , t h i s s t u d y r e v e a l s v e r y I n s i g n i f i c a n t
19 I b i d . . p . 1 0 4 7 .
20 I b i d . . p . 1 0 4 8 .
d eg rees of s o c ia l m o b ility ,
M om bert, i n e x p l a i n i n g t h e
d a t a , a d d s t h e comment t h a t n o t o n l y t h e f a t h e r s s h o u l d b e
21
known b u t a l s o t h e '’o c c u p a t i o n s o f t h e g r a n d f a t h e r s . "
A s tu d y b y B ernay i n t o
c h a n g e s i n o c c u p a t i o n s among
t h e w o r k e r s o f t h e G l a d b a e h t e x t i l e m i l l s shows t h a t o u t o f
2372 w o r k e r s , 169 w e re d e s o e n d e d fro m p e r s o n s o f h i g h e r
p o sitio n s .
To t h e s e b e l o n g e d f o r e m e n , a r t i s t s , t e a c h e r s ,
b u r e a u c r a t s , b u s i n e s s e m p l o y e e s , i n n k e e p e r s , an d w h i t e
c o lla r w orkers.
M om bert (who s u m m a r iz e s t h e s e s t u d i e s ,
w h ic h a r e n e a r l y a l l i n a c c e s s i b l e i n New Y o rk ) comments
t h a t " n o t ev en i n e a c h o f t h e s e c a s e s i s t h e r e e v i d e n c e o f
22
so o ia l m o b ility ."
I t sh o u ld be n o te d t h a t th e p e rc e n ta g e
o f m o b i l i t y , i f a l l t h e c a s e s w e re a c c e p t e d on t h e i r f a c e
v a lu e , i s q u ite i n s i g n i f i c a n t .
J o u r d a n , i n a d i s s e r t a t i o n w r i t t e n i n 1918 c o n c e r n i n g
s o c i a l c l a s s c h a n g e s , shows t h a t w o r k e r s d e s o e n d e d fro m s t o r e ­
k e e p e rs , c i v i l s e r v a n t s , o r f r e e o c c u p a tio n s to th e fo llo w ­
i n g d e g r e e s : m a le w o r k e r s , 4 . 9 p e r c e n t o f t h e f a t h e r s , 4 , 1
23
p e r c en t of th e g r a n d f a th e r s .
More t h a n 95 p e r c e n t o f
t h e w o rk e rs i n t h i s s t u d y d e s c e n d e d fro m w o r k e r s .
S y ru p r e v e a l s i n a n o t h e r s t u d y t h a t o u t o f 329 c h i l ­
d r e n o f w o r k e r s who w e re t h e m s e l v e s e m p lo y e d , 1 was a p r i e s t ,
1 a t e a c h e r , 1 a c i t y e m p l o y e e , a n d 1 an l n n - k e e p e r .
a re th e c h il d r e n o f s t e e l m i l l e m p lo y e e s.
21 I b i d . . p . 1 0 4 9 .
22 TblcT. , p p . 1 0 5 1 - 1 0 5 2 .
23 TETd. . p . 1 0 5 2 .
T h ese
15 w ere w h i t e
o o l l a r e m p l o y e e s , c h i e f l y I n t h e s t e e l i n d u s t r y , an d 16 had
24
becom e e m p lo y e e s o f i n d e p e n d e n t H a n d w o rk e r.
T h is shows
m ore s o c i a l c l a s s c o n t i n u i t y t h a n one would u s u a l l y a s s o c i a t e
w i t h t h e c a p i t a l i s t s y s te m i n i t s
flu s h days.
S c h a lt, in 1920, p u b lis h e d a stu d y of s t a t i s t i c s
t a k e n fr o m t h e r o l l s
o f a tr a d e sch o o l in F re ib u rg *
W arning
i s g i v e n t h a t n o t a l l t h o s e a t t e n d i n g w ould become i n d e p e n d e n t
H andw erker.
The p a r e n t s o f t h e 1547 a p p r e n t i c e s a r e c l a s s i ­
f i e d a s f o llo w s : in d e p e n d e n t H andw erker. 553; u n s k i l l e d
w o r k e r s , 2 4 9 ; s k i l l e d w o r k e r s , 224; f a r m e r s , 1 7 6 ; lo w e r
c i v i l s e r v a n t s , 1 6 2 ; s a l e s m e n an d i n n - k e e p e r s , 1 2 2 ; unknown
a s t o w h e t h e r i n d e p e n d e n t o r s k i l l e d w o r k e r s , 1 2 2 ; m id d le
c i v i l s e r v a n t s , 4 6 ; f r e e o c c u p a t i o n s ( B e r u f e ) , 1 5 ; w idow s,
25
p e n sio n e rs, 122.
J u d g i n g fro m t h e d a t a g i v e n , o n l y 61
o f t h e s e s t u d e n t s came fro m c l a s s e s a b o v e t h o s e o f t h e
H a n d w e r k e r.
A s t a t i s t i c a l s t u d y , made i n 1 9 0 7 , c o n c e r n s 2943
26
w orkers in n in e la r g e B e r lin f a c t o r i e s .
Of t h e s e n e a r l y
t h r e e t h o u s a n d w o r k e r s t h e f o l l o w i n g o c c u p a t i o n s , among
o t h e r s , o f t h e i r f a t h e r s w e re r e p o r t e d : p r o f e s s i o n s , 8 ;
m e rc h a n ts , 52; e n t e r p r i s e r s , 61; p e n s io n e r s , 10; t e a c h e r s ,
1 6 ; c i v i l s e r v a n t s and o t h e r o f f i c i a l s , 2 1 5 ; i n n - k e e p e r s , 7 7 .
These f i g u r e s , a lth o u g h n o t c o n c lu s iv e w ith r e g a r d t o s o c i a l
c l a s s m o b i l i t y , i n d i c a t e t h e m o s t c i r c u l a t i o n among t h e
German s t u d i e s r e p o r t e d b y Mombert*
24 I b i d . . p . 1 0 5 3 ,
25 Loc* c i t .
I t i s n o te w o rth y , in d e a lin g w ith th e s t a t i s t i c s o f
s o c ia l m o b ility , th a t a d escent o f, fo r in sta n c e , te n p er
c e n t i n t h e m i d d l e c l a s s e s , b e c a u s e o f eoonom lc c i r c u m s t a n c e s ,
m oral o r i n t e l l e c t u a l In ad e q u ac y , o r o th e r m is f o r tu n e s ,
w ould l e a v e room f o r a r i s e o f o n l y a b o u t t h r e e p e r c e n t
among t h e l o w e r c l a s s e s , t h e r e b e i n g f a r g r e a t e r n u m b e rs i n
t h e m id d le c l a s s e s •
*
#
-a-
Among t h e m id d l e and u p p e r c l a s s e s s t a t i s t i c a l d a t a
a r e m ore l i m i t e d i n q u a n t i t y *
One f i n d s c o n s i d e r a b l e
r i g i d i t y and s o c i a l c la s s c o n tin u ity , d e s p ite changes in
o c c u p a t i o n s , among t h e t e c h n i c i a n s s t u d i e d b y J a e k e l : 13 p e r
c e n t came fro m i n d e p e n d e n t c r a f t s m e n , 20*5 p e r c e n t fro m
i n d e p e n d e n t m e r c h a n t s , 7 . 3 p e r c e n t fro m f a r m e r s , n o n e fro m
t h e f r e e p r o f e s s i o n s , 30 p e r c e n t came from c i v i l s e r v a n t s
and o t h e r o f f i c i a l s , 16 p e r c e n t f ro m s a l a r i e d e m p l o y e e s ,
8 p e r c e n t fro m w o r k e r s , a n d 5 . 5 p e r c e n t from o t h e r o c c u 27
p a tio n s*
T h i s i n d i c a t e s t h e t e n a c i t y o f t h e l o w e r m id d l e
c l a s s I n p e r m i t t i n g s o few t o I n t r u d e fro m b e n e a t h .
Not a l l
t e c h n i c i a n s a r e on one an d t h e same s o c i a l o r econ om ic l e v e l ,
of co u rse.
S o c i a l c l a s s t h e o r y I s ex p o u n d ed by one s t a t i s t i c i a n ,
who s t u d i e d t h e c o m p o s i t i o n o f w h i t e c o l l a r e m p l o y e e s , i n
t h e f o l l o w i n g g e n e r a l i z a t i o n : wThe c l a s s p o s i t i o n o f a s i n g l e
27 Ibid*, p. 1054.
s a l a r i e d e m p lo y e e I s d e t e r m i n e d b y h i s a n c e s t r y , h i s e d u c a 28
t i o n , a n d h i s p l a o e I n t h e company I t s e l f . ”
T h is s t a t e ­
m ent I s e l a b o r a t e d b y M om bert, who shows t h e p r i o r i t y o f
29
s o c i a l c l a s s b ackgrounds o v e r o c c u p a tio n a l p o s i t i o n :
B e tw ee n t h e c l a s s b a c k g r o u n d and t h e c l a s s p o s i t i o n
t h e r e e x i s t s a c l o s e r e l a t i o n s h i p . The c o n n e c t i n g l i n k
i s , a b o v e a l l , t h e t y p e o f e d u c a t i o n and t r a i n i n g on
w h ic h d e p e n d s t h e am ount o f in c o m e , w h ic h a g a i n p l a y s
an I m p o r t a n t r S l e i n t h e f e e l i n g o f c l a s s m e m b e rsh ip
and c l a s s p o s i t i o n .
One s t u d y o f t h e b a c k g r o u n d s o f p e r s o n s I n t h e u p p e r
c l a s s e s c o n c e r n s 479 c a s e s o f P r u s s i a n s t a t e a n d l o c a l o f ­
fic ia ls
o f h ig h e r ra n k .
D a ta a r e
fa th e rs
a s w e ll as th e f a t h e r s .
descent
on t h e s o c i a l s c a l e c o u ld
g iv en about th e g ra n d ­
I n many c a s e s no
ascent or
be a s c e rta in e d .
T h o se
30
c o n s i d e r e d b y Mombert a s d e m o n s t r a t i n g s o c i a l a s o e n t a r e :
In te rm e d ia te f e d e r a l, s t a t e ,
F a th ers
a n d l o o a l o f f i c i a l s ...............................................3 4
Lower f e d e r a l , s t a t e , a n d
lo c a l o f f ic ia ls
...................................14
T e a c h e r s w i t h o u t a c a d e m ic
tra in in g .
................................................
C ra ftsm e n
19
1
W o r k e r s ..........................................................
G ra n d fa th e rs
3
3
17
44
2
The f o r e g o i n g t a b l e shows t h a t t h e h i g n e r one g o e s w i t h i n
t h e m i d d l e c l a s s t h e g r e a t e r i s t h e m o b i l i t y fro m w i t h i n t h e
m id d le c l a s s .
T h e s e f i g u r e s do n o t show s i g n i f i c a n t r i s i n g
o u t o f t h e lo w e r c l a s s e s , b u t t h e y do show movement fro m
lo w e r t o u p p e r m i d d l e c l a s s o c c u p a t i o n s a n d p o s i t i o n s .
28 Q u o te d i n i b i d . . p . 1 0 5 5 ; t r a n s l a t i o n o u r s .
29 I b i d . . p . 1 0 5 6 ; t r a n s l a t i o n o u r s .
30 EocT c i t .
The fam ous Maass s t u d y I n t o t h e b a c k g r o u n d s o f German
i n t e l l e c t u a l le a d e r s r e v e a le d t h a t o f 4421, born s in c e th e
y e a r 1 7 0 0 , 635 stemmed from t h e " lo w e r c l a s s e s o f t h e p o p u l a 31
t i o n , w h e r e a s 3151 came from t h e u p p e r c l a s s e s A m o n g
t h e s e 635 w e re some whose g r e a t n e s s was o n l y r e c o g n i z e d
p o s t h u m o u s l y , w h ic h m eans t h a t t h e i r fam e came a f t e r t h e i r
s o c i a l c l a s s p o s i t i o n had been l a i d t o r e s t w ith o u t even
th e b e n e fit of re p u ta tio n .
A r t i s t s o ffe re d a c o n sid e ra b le
nu m b er o f t h o s e stem m ing fro m t h e lo w e r c l a s s e s , a s d i d
churchm eno
The l a t t e r h a d b e e n f o r t u n a t e i n r e c e i v i n g an
32
e d u c a t i o n fro m t h e o h u r o h .
I t was p o s s i b l e f o r Maass t o p o i n t o u t c l e a r l y t h a t
i n t h o s e o c c u p a t i o n s w h e re a c e r t a i n t a l e n t w as r e q u i s i t e ,
e s p e c i a l l y in t h e c a s e s o f a r t i s t s and s c i e n t i s t s , th e
p a r t i c i p a t i o n o f t h e l o w e r c l a s s e s i s much g r e a t e r t h a n
w h e r e , a s I n t h e c a s e s o f m i l i t a r y and g o v e r n m e n t a l
l e a d e r s , t h e e n v iro n m e n ta l c o n d itio n s p la y a s p e c i a l r o l e .
C o n r a d , E u l e n b u r g , and R i e n h a r d t h a v e a l l w r i t t e n
s tu d ie s about th e
s o c i a l c l a s s e s w h ic h c o n t r i b u t e t o t h e
make up o f German s t u d e n t b o d i e s .
Of 3 0 0 0 - o d d s t u d e n t s
s t u d i e d b e tw e e n 1871 an d 1914 o n l y 79 came fro m t h e w o rk in g
33
c l a s s e s . Of t h e s e 60 s t u d i e d t h e o l o g y .
I n t h e s c h o o l s o f h i g h e r l e a r n i n g I n P r u s s i a and
B a d e n , o u t o f t h e 6 0 0 0 -o d d s t u d e n t s s t u d i e d , 16 f e l l I n t o
th e c a te g o ry of w o rk ers’ o h ild r e n .
31 I b i d . . p . 1 0 5 7 .
32 I b i d . . p# 1 0 5 8 ; t r a n s l a t i o n o u r s .
33 I b i d . . p . 1 0 5 9 .
Of 2186 I n s t r u c t o r s I n t h e s c h o o l s o f h i g h e r l e a r n ­
i n g , 52 h a d f a t h e r s who w e re c r a f t s m e n
( n o t wage e a r n e r s ) ,
and 90 d e s o e n d e d from lo w e r o f f i c i a l s #
The r e s t h a d b e e n
t e a c h e r s (s o m e tim e s on a lo w e r p r o f e s s i o n a l l e v e l ) o r w ere
34
of eq u al s ta n d in g w ith t h e i r c h ild r e n .
The e x t e n t t o w h ic h e d u c a t i o n w as m o n o p o liz e d b y
t h e u p p e r c l a s s e s t h r o u g h o u t t h e c e n t u r i e s i n r u r a l E n g la n d
35
i s c l e a r l y in d ic a te d in th e fo llo w in g :
W i n c h e s t e r C o l le g e was n o t o f f i c i a l l y f o u n d e d u n t i l
1382# D u r i n g a p p r o x i m a t e l y 500 y e a r s f o l l o w i n g , no
son o f C r a w l e y 's s o i l becam e a " s c h o l a r " i n t h a t C o l­
l e g e # Some may a c t u a l l y h a v e a t t e n d e d b u t t h e y w e re
m o st l i k e l y t o b e t h e so n s o f t h e p a r s o n s — f o l l o w i n g
t h e e s t a b l i s h m e n t o f P r o t e s t a n t i s m # Now, t h i s s c h o o l
i s o n l y f i v e m i l e s away from C ra w le y # C l e a r l y p h y s i c a l
p r o x i m i t y i s i n e f f e c t i v e i n t h e f a c e o f s o c i a l cu sto m
a n d eco n o m ic c o n d i t i o n # '
*
-*
The Chapman-M arquis s t u d y i n t o t h e r e c r u i t i n g o f
t h e e m p lo y in g c l a s s e s fro m t h e r a n k s o f t h e wage e a r n e r s i n
th e E n g lis h c o tto n I n d u s tr y d u rin g t h e f i r s t deoade o f t h i s
c e n t u r y d e s e r v e s s p e c i a l m e n tio n #
I t s s t a t i s t i c s , i f un­
q u e s t i o n e d , l e a v e t h e i m p r e s s i o n o f m o st e x t r a o r d i n a r y s o c i a l
36
m o b ility #
S o ro k in a c c e p ts th e f i g u r e s a t t h e i r f a c e v a lu e ,
b u t Mombert s t a t e s t h a t " t h e y a r e n o t p a r t i c u l a r l y t r u s t 37
w o rth y # "
34 I b i d . . p . 1 0 6 0 .
35 rforman S c o t t a n d E t h e l C u l b e r t G r a s , The E conom ic a n d
S o c i a l H i s t o r y o f an E n g l i s h V i l l a g e ( C r a w le y .
H a m p s h ir e ) A .D#”"§03^1928 ( C a m b r id g e , M a s s a c h u s e 1 1 s ,
1930) p . 1 4 9 .
36 S o r o k i n , 0£# c l t . ( 2 ) , p# 444#
37 M om bert, o £ . c l t . . p* 1061#
Chapman an d M a rq u is s t a r t o u t w i t h t h e p r e m i s e :
" I t I s , t h e r e f o r e , I n t h e I n t e r e s t s o f l a b o u r , an d o f t h e
com m unity a s a w h o le , t o e n c o u r a g e v e r t i c a l m o b i l i t y , p r o ­
v id in g t h a t v e r t i c a l m o b i l i t y can b e s e n s i b l y a f f e c t e d
38
w ith o u t th e p u ttin g o u t o f T it a n i c e f f o r t s . "
The f i g u r e s show t h a t i n t h e d i f f e r e n t b r a n c h e s o f
t h e i n d u s t r y 7 6 , 6 3 , 8 4 , a n d 13 p e r c e n t o f t h e m a n a g in g
d i r e c t o r s s t a r t e d a s o p e r a t i v e s o r a t t h e same s a l a r y .
S i m i l a r l y , 42 p e r c e n t o f t h e m a n a g e r s a n d 67 p e r c e n t o f
t h e a s s i s t a n t m a n a g e rs a l s o " s t a r t e d a t t h e b o t to m a s o p e r a t i v e s
39
o r a t sim ila r s a l a r i e s ."
T h ese s t a t i s t i c s
le a d to th e fo llo w in g c o n c lu sio n :
" U n i v e r s a l l y we f o u n d a b u n d a n t i n d i c a t i o n , i f n o t r i g i d
p ro o f, th a t th ere e x is ts a fre e
ch an n el o f no i n s i g i f i c a n t
d i m e n s i o n s t h r o u g h w h ic h t h e d i r e c t i n g c l a s s e s a r e c o n t i n u a l l y
40
b e i n g r e c r u i t e d fro m t h e w a g e - e a r n i n g c l a s s e s . "
R e a c h in g
41
back in to h i s t o r y , th e s e a u th o rs a s s e r t :
I t i s beyond q u e s tio n t h a t in th e e a r l y days o f th e
f a c t o r y s y s te m t h e m ovem ent o f w o r k p e o p le a g a i n s t g r a v i t y ,
so t o s p e a k , was common. I n d e e d , t r a d e d e p r e s s i o n s w e re
a c t u a l l y a t t r i b u t e d t o t h e e a s e w i t h w h ic h w o r k p e o p le , i n ­
d i f f e r e n t l y s u p p lie d w ith c a p i t a l , c o u ld t h r u s t th e m se lv e s
in to th e ra n k s o f em p lo y ers.
38 S . J . Chapman a n d P . J . M a r q u i s , "The R e o r u i t i n g o f t h e
E m p lo y in g C l a s s e s f r o m t h e R a n k s o f t h e Wage E a r n e r s
o f t h e E n g lis h C o tto n I n d u s t r y , " In th e J o u r n a l o f
t h e R o y a l S t a t i s t i c a l S o c i e t y , v o l . LXXV ( F e b r u a r y ,
I912J p . 2 $ 4 .
39 jj° 0 > o l t .
40 I b i d .« p . 2 9 9 .
41 L o o , c l t .
Where t h e y r e o e i v e d t h i s b i t o f i n t e r e s t i n g
no i n d i c a t i o n i s g i v e n *
t h a t tim e * )
econom ic h i s t o r y ,
( C a p i t a l was s c a r c e i n E n g la n d a t
I t i s n o t to be fou n d in th e re c o g n iz e d t e x t s
c o v erin g t h a t e r a .
The s t a t i s t i c a l e r r o r , w h i c h Mombert s u s p e c t e d and
S o ro k in o v e rlo o k e d a l t o g e t h e r , i s r e v e a le d in t h e f a i l u r e o f
th e a u th o r s , in se n d in g o ut t h e i r q u e s tio n n a ir e , to d i s ­
t i n g u i s h b e tw e e n w o r k e r s and t h o s e " p e r s o n s who h a d e n j o y e d
t h e a d v a n t a g e s o f m i d d l e c l a s s e d u c a t i o n an d p o s i t i o n
42
and had s t a r t e d a t t h e b o t to m t o g a i n e x p e r i e n c e * • • *"
(Even t h e g r e a t T h y s s e n " b e g a n h i s c a r e e r a s a common
l a b o r e r , " a l t h o u g h h e h a d b e e n e d u c a t e d a s an e n g i n e e r . )
S t a t i s t i c a l l y , i t w o u ld h a v e b e e n m ore c o r r e c t t o h a v e a s k e d
q u e stio n s p e r ta in in g t o th e s o c ia l c la s s sta n d in g o f th e
f a t h e r s an d g r a n d f a t h e r s o f t h e s e m en, n o t t h e p l a c e i n t h e
f a c t o r y w h e re t h e y f i r s t w o r k e d .
S t a t i s t i c s a r e s u b je c t to abuse as w e ll a s to u s e .
For in s ta n o e , to d iv id e th e p o p u la tio n in to th e fo llo w in g
econom ic c l a s s e s i s I n d e e d u n r e a l i s t i c : t h o s e w i t h Inco m es
o f l e s s t h a n $500 p e r annum , t h o s e w i t h in co m es b e tw e e n $500
43
an d $ 3 , 0 0 0 , t h o s e w i t h in c o m e s o f m ore t h a n $ 3 , 0 0 0 .
S o ro k in
f i n d s t h a t t h e r e was a m o b i l i t y r a t e o f 1 5 .8 p e r c e n t w i t h i n
a g e n e r a t i o n i n t h e in co m e g r o u p "$ 5 0 0 t o $ 3 , 0 0 0 , " 8 p e r c e n t
f a l l i n g and 7 p e r c e n t r i s i n g .
I n o t h e r w ords, i f
th e
f a t h e r e a r n e d $400 p e r y e a r a n d t h e so n e a r n s $ 6 0 0 , t h i s i s
42 I b i d . , p . 3 0 2 .
43 "Sorokin, o p . c l t . ( 2 ) p . 4 6 3 .
44 I b i d . , p . 4 7 2 .
a c a s e o f m ov ing fro m one " c l a s s " I n t o a n o t h e r .
A n o th e r I n s t a n c e o f u n re a lis m in s o c i a l c l a s s
s t a t i s t i c s i s shown i n t h e c a s e s o f o c c u p a t i o n a l c l a s s i f i c a ­
t i o n s f o r women e m p lo y ed a s w h i t e c o l l a r w o r k e r s .
he p o in te d o u t t h a t in th e s e s t a t i s t i c s
" I t m u st
th e s o o la l c l a s s i f i ­
c a t i o n o f women who b e f o r e m a r r i a g e w e re g a i n f u l l y em ployed
h a s b e e n m ade on t h e b a s i s o f t h e i r o c c u p a t i o n a l a c t i v i t y
45
a n d n o t o f t h e i r f a m i l y o r i g i n ."
That i s t o s a y t h a t
when on e o f t h e s e c r e t a r i e s a t New Y ork U n i v e r s i t y , known
t o t h i s r e s e a r c h e r , m a r r i e s t h e W a ll S t r e e t l a w y e r t o whom
she i s en g ag ed , h e r s o c i a l c l a s s i f i c a t i o n w i l l b e t h a t o f
a s e c r e t a r y , w i t h o u t m e n t i o n o f t h e W e s t c h e s t e r home i n
w h ic h s h e l i v e s o r o f h e r f r i e n d s l i s t e d i n t h e S o c i a l R e g i s t e r .
A f t e r s u r v e y i n g many s t u d i e s i n o c c u p a t i o n a l and
46
s o c i a l p e r c o l a t i o n , N o th aas r e a c h e s t h e f o l lo w in g c o n c lu s io n :
M an ual w o r k e r s h a v e a r e l a t i v e l y l a r g e s h a r e i n t h e
f o r m a t i o n o f t h e e m p lo y ed m id d le s t r a t a .
On an a v e r a g e ,
t h e y c o n t r i b u t e b e tw e e n t e n a n d t w e n t y p e r c e n t , t h e
p r o p o r t i o n b e i n g c o n s i d e r a b l y h i g h e r among s a le s w o m e n .
T h i s o b s e r v a t i o n i s b a s e d on t h e a s s u m p t i o n t h a t w h i t e c o l l a r
w o rk e rs a r e i n t h e m id d le c l a s s , a p r e s u p p o s i t i o n o f d o u b t­
f u l v a l i d i t y to d ay .
T here i s , n o n e th e le s s , a d i s t i n c t i o n
b e tw e e n m a n u a l a n d n o n - m a n u a l e m p lo y e e s , a s F a i r c h i l d h a s
p o i n t e d o u t : "As a s i n g l e ex am p le o f t h e p r e v a l e n c e o f v a n i t y
45 N o t h a a s , 0£ . c l t . . p . 1 4 ; i t a l i c s
46 L o c . c l t .
o u rs.
o v e r t h e e c o n o m ic m o t i v e , c o n s i d e r how young men f l o c k I n t o
t h e w h i t e c o l l a r j o b s a t a f r a c t i o n o f t h e p a y t h e y c o u ld
47
r e c e i v e i n l e s s e s te e m e d o c c u p a t i o n s , "
The d i f f i c u l t i e s
48
o f d i s t i n c t i o n a r e , how ever, c l e a r l y re o o g n lz e d :
I n t h e c a s e o f f e m a le d e s c e n d a n t s o f t h e w o r k in g c l a s s ,
s o c ia l a s c e n t i s a ff e c te d by t h e i r e n te rin g th e / s a l a r i e d ^
e m p lo y e e o c c u p a t i o n s . T h e s e women becom e s a l a r i e d em­
p lo y e e s a t a r e l a t i v e l y e a r l y ag e, t h a t i s to s a y , a f t e r
a c o m p a r a t i v e l y s h o r t t r a i n i n g p e r i o d . I n v ie w o f t h e
p r e s e n t s i t u a t i o n o f t h e e m p lo y e e s , t h e " r i s e ” i s r a t h e r
q u e stio n a b le .
I n t h i s l a t t e r s t a t e m e n t N o th a a s c l e a r l y q u a l i f i e s h i s
form er g e n e r a liz a tio n .
A c c o r d i n g t o C o o le y 1s s t u d y o n l y 2 o u t o f 71 o f t h e
w o r l d ' s m o s t p r o m in e n t p h i l o s o p h e r s , p o e t s , and h i s t o r i a n s
came fro m t h e w o r k in g c l a s s ,
"O ut o f 217 o f t h e m o st
e m in e n t women o f a l l c o u n t r i e s and o f a l l t i m e s
49
4 came fro m t h e l a b o r c l a s s , "
• • , o n ly
F u r t h e r e v i d e n c e o f s o c i a l c l a s s r i g i d i t y i s sh o w n,
i n t h a t i n a l l German u n i v e r s i t i e s and s c h o o l s o f e n g i n e e r ­
i n g , i n t h e w i n t e r s e m e s t e r o f 1 92 8-29 o n l y 2 , 2 p e r c e n t o f
50
t h e s t u d e n t s w e re fro m t h e w o r k in g c l a s s e s .
C la r k e 's stu d y i n t o th e s o c i a l c l a s s a n te c e d e n ts o f
51
A m e ric a n men o f l e t t e r s q u o t e s O d i n 's s t u d y i n F r a n c e :
47
48
49
50
51
F a i r c h i l d , o p , c l t . . p , 237.
N o th a a s,
op, c l t , . p , 27.
N o te d in
S orok in , o p , c l t , ( 2 ) , p . 2 9 0 ,
N o th a a s,
oj>, c l t , . p , 2 8 ,
Edwin L e a v i t t ' c T a r k e , A m erican Men o f L e t t e r s . T h e i r
N a t u r e a n d N u r t u r e (New Y o r k . 1916) p , 7 3 .
The r e s u l t s o f h i s s t u d y show t h a t F r e n c h c h i l d r e n
b r o u g h t u p i n eco n o m ic s e c u r i t y w e re f o r t y t o f i f t y
t i m e s a s l i k e l y t o become men o f l e t t e r s a s w e re t h o s e
b r o u g h t u p I n p o v e r t y . Odin a l s o fo u n d o u t t h a t , w i t h
v e r y few e x c e p t i o n s , t h e a u t h o r s b r o u g h t u p I n p o v e r t y
h a d e n j o y e d good e d u c a t i o n a l a d v a n t a g e s . I n t h e few
e x c e p t i o n a l c a s e s r e c o r d e d , h e showed t h e y h a d p o s s e s s e d
s p e c i a l a d v a n t a g e s w h ic h h a d o f f s e t t h e l a c k o f f o r m a l
e d u c a tio n .
52
W r i t i n g o f A m erican a u t h o r s , C l a r k e s t a t e s :
I t I s a p p a r e n t t h a t b i r t h i n t o one o f t h e s o - c a l l e d
h i g h e r s o c i a l c l a s s e s gave t h e l i t e r a r y a s p i r a n t ex ­
c e p t i o n a l o p p o r t u n i t y . I n many c a s e s t h e p a r e n t s them ­
s e l v e s w e re w e l l e d u c a t e d , and s im p le a s s o c i a t i o n w i t h
them was a n e d u c a t i o n i n i t s e l f . At a n y r a t e , s u d h
b i r t h secured a r e l a t i v e l y e asy e n tra n c e in to e d u c a tio n a l
and e d u c a t e d c i r c l e s , and m u s t h a v e b e e n o f g r e a t a d ­
v a n ta g e in b e g in n in g a l i t e r a r y c a r e e r .
V l s h e r ’ s s tu d y i n t o th e p la c e s o f b i r t h and o ccu p a­
t i o n s o f f a t h e r s o f s u b j e o t s i n Who’ s Who r e v e a l s t h e f o l l o w 53
in g s t a t i s t i c s :
The f a t h e r s o f 70 p e r c e n t o f t h e s e p e r s o n s ( 1 8 ,4 0 0
i n n u m b er) b e l o n g e d t o t h e p r o f e s s i o n a l a n d b u s i n e s s
c l a s s e s , 2 3 . 4 p e r c e n t w e re f a r m e r s , 6 . 3 p e r c e n t w ere
s k i l l e d o r s e m i - s k i l l e d l a b o r e r s , an d o n l y . 4 p e r c e n t
w e re u n s k i l l e d l a b o r e r s .
A cco rd in g t o t h e p r o p o r tio n o f th e p o p u la tio n in 1870, th e
p r o f e s s i o n a l man h a d 2400 c h a n c e s o f s e e i n g h i s so n i n Who’ s
Who, t h e b u s i n e s s man 6 0 0 , t h e f a r m e r 7 0 , t h e s k i l l e d o r
54
s e m i - s k i l l e d w o rk e r 3 0 and th e u n s k i l l e d w o rk er 1 c h a n c e .
52 L o c . c l t .
53 S •£>• V i s h e r , ” A S t u d y o f t h e T y p e , o f t h e P l a c e o f B i r t h ,
an d o f t h e O c c u p a t i o n o f F a t h e r s o f S u b j e o t s o f S k e t c h e s
i n Who’ s Who i n A m e r i c a , ” i n t h e Amer 1 can J o u r n a l o f
S o c i o l o g y , v o l . 30 (M arch,
p . 5 5 i.
54 L o o , c l t .
R i e m e r 's s t u d y i n t o t h e s o c i a l o r i g i n s o f econom ic
l e a d e r s , made i n 1 9 5 0 , i s one o f t h e few s t a t i s t i c a l s t u d i e s
w h ic h h a v e a t t e m p t e d t o e v a l u a t e s o c i a l c l a s s m o b i l i t y and
rig id ity .
H ow ever, R ie m e r makes t h e g l a r i n g m i s t a k e o f p u t ­
t i n g t h e m i d d l e a n d lo w e r c l a s s e s i n t o one c a t e g o r y .
Among
t h e l e a d i n g German la n d o w n e r s a n d r e n t e r s n o n e came fro m
t h e m id d l e a n d lo w e r s t r a t a ;
15 p e r c e n t o f t h e l a r g e i n ­
d u s t r i a l i s t s , l a r g e m e r c h a n t s , b u s i n e s s m e n , p u b l i s h e r s , an d
55
b a n k e r s came fro m t h a t d u a l c a t e g o r y .
T h i s shows some
m o b i l i t y among t h e m id d l e econom ic c l a s s e s , a s h a s b e e n
p o in te d o u t above.
*
&
R i e m e r , l i k e S o r o k i n , so m e tim e s comes t o t h e c o n ­
c l u s i o n t h a t t h e r e i s much s o c i a l m o b i l i t y , and t h e n , a f t e r
r e v i e w i n g o t h e r f i g u r e s and t h e o r i e s , h e r e v e r s e s h i m s e l f .
of*
H ow ever, h i s summary w i t h r e g a r d t o t h e c h a n c e s / w o r k i n g
c l a s s e s ' e n t e r i n g t h e m id d l e c l a s s e s seem s t o b e b a s e d on
56
so u n d p r i n c i p l e s . He s t a t e s :
A s o c i o l o g i c a l a n a l y s i s o f t h e c h a n c e s o f a s c e n t an d
o f th e sh a rp d e lim ita tio n s o f th e d i f f e r e n t s o c i a l s t r a t a
d i s c l o s e s a p e c u l i a r a n d t h o u g h t p r o v o k i n g v ie w o f t h e
present so c ia l s tru c tu re .
I f we h a v e n o t d e a l t h e r e w i t h
t h e w o r k in g m a n 's c h a n c e s o f a d v a n c e m e n t, t h e r e a s o n i s
n o t to b e found e x c lu s iv e ly in th e l i m i t a t i o n o f th e
p r e s e n t a r t i c l e t o t h e m ost e s s e n t i a l p r o b l e m s . The a t t i ­
tu d e o f th e l a b o r e r to w ard s h i s o c c u p a tio n i s n o t th e
same a s t h a t o f t h e b u s i n e s s m sn , t h e c i v i l s e r v a n t , t h e
55 S . R i e m e r , Upward M o b i l i t y and S o c i a l S t r a t i f i c a t i o n ,
t r a n s l a t e d b y S , L i s s a n c e TNew “Y o rk , 1 9 3 ^ p . 1 1 .
56 I b i d . . p p . 3 4 - 3 5 .
417
m a s t e r - a r t i s a n , o r th e I n t e l l e c t u a l , A l l th e s e groups
a r e c h a r a c t e r i z e d b y t h e common e n d e a v o r t o Im p ro v e
t h e i r econ om ic a n d s o c i a l s t a t u s b y d e m o n s t r a t i n g s p e c i a l
a b i l i t y I n t h e i r c h o s e n w o rk . C o n d i t i o n s d i f f e r when we
s t u d y t h e m a n u a l w o r k e r . The u s u a l r o a d o f p r o m o ti o n
w h ic h t h e c o m p e te n t a n d d e p e n d a b l e w o r k e r t r a v e l s l e a d s
t o t h e p o s i t i o n o f f o r e m a n . Then a n d t h e r e , a f t e r h e h a s
e n t e r e d t h e p e t t y b o u r g e o i s i e , upw ard m o b i l i t y comes t o
a su d d e n s t o p . . . . A s t e a d y movement o f i n d i v i d u a l s
fro m one s o c i a l s t r a t u m t o a n o t h e r i s , t h e r e f o r e ,
c h a r a c t e r i s t i c o n l y o f a l i m i t e d s o c i a l s p h e r e , n a m e ly ,
t h a t o f t h e m id d l e o l a s s e s i n t h e i r b r o a d e s t s e n s e .
T h i s i s t o b e c o n t r a s t e d w i t h t h e a l l e g e d w o r k e r s ' dream o f
r i s i n g t o l i v e i n t h e G old C o a s t a r e a , a s was c i t e d ab o v e
fro m Dawson a n d G e t t y s .
W h e th e r one t a k e s t h e s t a t i s t i c s o f s p e c i a l s t u d i e s
o f o c c u p a t i o n a l a n d econom ic g r o u p s , o r t h e t h e o r i e s o f w r i t e r s
l i k e N o r t h a n d C o o le y , t h e m ore i m p r e s s i v e f i g u r e s and
t h e o r i e s l e a d t o t h e same c o n c l u s i o n — t h e r e i s n o o v e r ­
w h e lm in g d e g r e e o f s o c i a l c l a s s m o b i l i t y , no s o c i a l c l a s s
c i r c u l a t i o n o f u n lim ite d p o s s i b i l i t i e s such a s have been
d e s c r i b e d b y some w r i t e r s .
The modern w o r ld d o e s n o t , i n
t h i s s p h e r e , d i f f e r so r a d i c a l l y fro m t h e m e d i e v a l , a n d
v i o e v e r s a , a s m ig h t h a v e b e e n s u p p o s e d .
Downward c i r c u l a t i o n .
T here a r e t h r e e o f t - n e g l e c t e d
a s p e c ts of s o c ia l c la s s m o b ility :
(1 ) t h e t e n d e n c y o f
c l a s s e s t o p e r p e t u a t e th e m se lv e s th ro u g h th e i n s t i t u t i o n o f
th e fa m ily ;
(2 ) t h e r e l a t i v e s m a l l n e s s o f e a c h c l a s s a s o v e r
a g a i n s t t h e c l a s s im m e d ia te ly b e n e a th i t , th u s "m in im iz in g
57
th e p ro b a b ility of g e ttin g in to i t " ;
a n d (3 ) t h e c o m p e t i t i o n
57 Ibid.. p, 11.
w h ic h t h e " e x t r a s o n s , " i f a n y , o f t h e u p p e r c l a s s e s a f f o r d
t o t h e a m b i t i o u s c l i m b e r s o f t h e lo w e r c l a s s e s .
T h is
l a t t e r a s p e c t i s b e s t t e r m e d t h e downward c i r c u l a t i o n o f
p e r s o n s who m u s t a d j u s t t h e m s e l v e s t o a p o s i t i o n one o r
m ore r u n g s on t h e s o c i a l l a d d e r b e lo w t h a t o f t h e i r p a r e n t s .
T hese p e rs o n s se e k to s t a b i l i z e t h e i r " f a l l " a t th e f i r s t
p o s s i b l e l e v e l ; t h e i r im m e d ia te r e l a t i v e s and f r i e n d s a s s i s t
them i n t h e i r e f f o r t s a t s t a b i l i z a t i o n .
T here have b een c e n t u r i e s w h e rein th e u p p e r c l a s s e s
h a v e b o r n e many c h i l d r e n , a n d b e c a u s e o f t h e i r s u p e r i o r e n ­
v i r o n m e n t , t h e y w e re a b l e t o k e e p a g r e a t e r p r o p o r t i o n o f
t h e i r o f f s p r i n g a l i v e t h a n was t r u e o f t h e l o w e r c l a s s e s .
One r e c a l l s t h e m a l a r i a p l a g u e s i n L o u i s i a n a a n d V i r g i n i a
w h ic h t o o k s u c h a l a r g e t o l l o f human l i f e
among t h e w o r k in g
c l a s s e s b u t w h ic h was a v o i d e d b y t h o s e who moved t o t h e
h e a lth y h ig h la n d s fo r th e se a so n .
W erten b ak er sa y s t h a t " i t
m u st b e rem em b ered t h a t t h e m o r t a l i t y among t h e s e r v a n t s i n
t h e t o b a c c o f i e l d s i n t h e e a r l y days o f t h e c o l o n y was e x 58
tr e m e ly h e a v y ."
I f th e fo llo w in g f ig u r e s d e s c r ib e th e d if f e r e n c e s in
i n f a n t m o r t a l i t y i n t h e m odern w o r l d , one can i m a g i n e t h a t
i n o t h e r t i m e s t h e s i g n i f i c a n c e o f e n v ir o n m e n t m u s t h a v e
b e en tre m e n d o u s.
58 Thomas J e f f e r s o n W e r t e n b a k e r , The P l a n t e r s o f C o l o n i a l
V i r g i n i a ( P r i n c e t o n , 1 922 ) p . (-30.
Infant Mortality and Income
U nder 450
............................................ . 167
4 5 0 -4 5 9 ............................................ 106
5 5 0 -6 4 9 ............................................ 117
6 5 0 -8 4 9 ............................................ 108
8 5 0 - 1 2 4 9 ............................................... 83
10 5 0 -1 2 4 9 .......................................... 64
1 2 5 0 - and o v e r . . . . . . .
59
T hese r a t e s a p p ly to sev en c i t i e s s t u d i e d b y t h e C h i l d r e n 's
59
B ureau.
M e n tio n i s made h e r e o f downward c i r c u l a t i o n b e c a u s e
i t i s a phase o f s o c i a l c l a s s th e o r y p e r t a i n i n g t o s o c i a l
m o b i l i t y w h ic h i s o f t e n n e g l e c t e d .
The f a c t t h a t t h e u p p e r
c l a s s e s , e s p e c i a l l y i n Roman and i n m odern A m e ric an t i m e s ,
so m e tim e s f a l l t o r e p r o d u c e t h e i r k i n d ,
th u s a llo w in g f o r
a c e r t a i n am ount o f i n e v i t a b l e s o c i a l c l a s s m o b i l i t y u p w a r d ,
i s v e r y w e l l know n.
B u t i t w o uld seem t h a t , i n o t h e r p e r i o d s
o f human h i s t o r y , e s p e c i a l l y among t h e m id d l e c l a s s e s o f t h e
l a s t t h r e e c e n t u r i e s i n A m e ric a a n d E u r o p e , t h e r e h a s b e e n a
s u f f i c i e n t i n c r e a s e i n num bers o f t h e m i d d l e c l a s s e s f a i r l y
t o s h u t o u t c o m p e t i t i o n fro m t h e lo w e r c l a s s e s .
On t h e q u e s t i o n a s t o w h ic h i s t h e m ore f a v o r a b l e
f o r s o c i a l im p ro v e m e n t, a s i t u a t i o n i n w h ic h t h e u p p e r c l a s s e s
r e a r m ore c h i l d r e n and f o r c e c o m p e t i t i o n upon t h o s e i m m e d i a t e l y
b e n e a t h th e m , o r a s i t u a t i o n i n w h i c h t h e u p p e r c l a s s e s f a i l
to re p ro d u c e t h e i r num bers, th u s f a c i l i t a t i n g v e r t i c a l s o c i a l
m o b i l i t y , a l l o t h e r t h i n g s b e i n g e q u a l , i t w ould seem r e a s o n a b l e
59 C i t e d i n Ogburn and N im k o f f , o p . c l t . . p . 3 1 1 .
t o a r g u e t h a t t h e b e t t e r c h o i c e w ould l i e
th e form er p r o p o s itio n -
d e f i n i t e l y w ith
I t i s a h e a l t h i e r c o n d i t i o n when
t h e g e n t r y s e n d t h e i r f o u r t h so n s i n t o t h e c r a f t s th a n when
t h e alumnae o f V a s s a r c a n n o t r e p r o d u c e t h e s t u d e n t b o d y .
K u c z y n s k i q u o t e s Ammon a s s a y i n g t h a t t h e m o st s i g n i f i c a n t
f a c t o r a f f e c t i n g t h e d i f f e r e n t s o c i a l c l a s s e s was Mt h e d y i n g
60
o u t i n t h e e d u c a t e d an d m id d le c l a s s e s . "
T h a t was a t t h e
end o f t h e l a s t c e n t u r y .
How ever, e v e n a s l a t e a s t h a t ,
K u c z y n s k i was a b l e t o show t h a t a l t h o u g h t h e c r u d e b i r t h
r a t e s among t h e p o o r w e re h i g h e r , t h e num ber o f c h i l d r e n
61
r a i s e d t o m a t u r i t y showed n o s u c h d i s p a r i t y .
The q u e s t i o n o f downward c i r c u l a t i o n i n f o r m e r t i m e s
s h o u l d b e n o t e d b y s o c i a l t h e o r y t o d a y f o r one r e a s o n , a t
l e a s t : The m odern w o rld h a s s h i f t e d fro m a s i t u a t i o n
in
w h ic h t h e r e w e re " e x t r a " u p p e r c l a s s so n s t o one i n w h ic h
th e r e a re to o few .
T h is f a c t o r , m in g le d i n w i t h o t h e r fo rm s
o f i n te n s e c o m p e titio n , o c ca sio n ed by u n i v e r s a l e d u c a tio n ,
w a r , an d r e v o l u t i o n s , c o n t r i b u t e s g r e a t l y t o t h e c o n f u s i o n
in th e realm o f s o c i a l c l a s s a lig n m e n ts .
For in s ta n c e , in
th e U n ited S t a t e s th e fo llo w in g groups have r e c e n t l y been
known t o m u l t i p l y r a p i d l y : t h e p o o r w h i t e s o f t h e S o u th and
S o u t h w e s t , t h e M e x ic a n s , t h e F r e n c h - C a n a d i a n s , t h e f a m i l i e s
on r e l i e f , f a rm l a b o r e r s g e n e r a l l y , a n d t h e p o o r i n g e n e r a l .
S t a t i s t i c s a c c o rd in g to o c c u p a tio n a l g ro u p in g s r e v e a l th e
62
fo llo w in g :
60 R o b e r t Rene' K u c z y n s k i, P e r Z u an a ch d e r S t a d t ( S t u t t g a r t ,
1 8 9 7 ) , p . 145; t r a n s l a t i o n o u r s .
61 I b i d . . p p . 150 an d 1 5 3 .
62 C o n s t a n t i n e P a n u n z i o . Ma.lor S o c i a l I n s t i t u t i o n s (New Y o rk .
1939) p . 4 2 2 .
'
T h u s , i n t h e U n i t e d S t a t e s b e tw e e n 1900 a n d 1 9 3 0 , t h e
s i z e o f t h e f a m i l y d e c r e a s e d 10 p e r c e n t among t h e p r o ­
f e s s i o n a l g r o u p s , 6 p e r c e n t among t h e p r o p r i e t a r y
c l a s s e s , 5 p e r c e n t among t h e c l e r i c a l , 3 p e r c e n t among
t h e s k i l l e d a n d s e m i - s k i l l e d , 1 p e r c e n t among t h e u n ­
s k i l l e d and f a r m o w n e rs; and i t i n c r e a s e d 5 p e r c e n t
among f a r m r e n t e r s a n d 13 p e r c e n t among f a rm l a b o r e r s .
I f t h e h i s t o r y o f A m erica w ere r e w r i t t e n I n t e r m s o f
t h i s f a c t o r a l o n e , t h e s t o r y m ig h t r e a d s o m e th i n g l i k e t h i s :
The c o l o n i a l p e r i o d was one o f h i g h r e p r o d u c t i o n r a t e s among
t h e u p p e r c l a s s e s , t h e r e f o r e c h e c k in g s o c i a l c l a s s m o b i l i t y .
The n i n e t e e n t h c e n t u r y was a p e r i o d i n w h ic h t h e many s o n s
o f t h e m id d l e c l a s s e s c o u l d move w e stw a rd a n d a l m o s t a l l
a c h ie v e a s t a tu s s im ila r to th a t of th e p a r e n t s .
The
t w e n t i e t h c e n t u r y i s one o f g r e a t e r m o b i l i t y b e c a u s e o f t h e
s h a r p d e c l i n e I n m id d le and u p p e r c l a s s r e p r o d u c t i o n .
The £ l i t e .
tio n of th e e l i t e
The c u r r e n t d i s c u s s i o n a b o u t t h e c i r c u l a ­
and t h e t h e o r i e s a p p e r t a i n i n g t h e r e t o d e ­
s e rv e s p e c ia l c o n s id e ra tio n In t h i s c h a p te r .
In re v ie w in g
t h e o p i n i o n s o f P a r e t o an d o t h e r s , Sims m akes t h e f o l l o w i n g
63
sta te m e n ts:
C l a s s c i r c u l a t i o n i s a lw a y s s l o w l y a t w ork c h a n g i n g
t h e g o v e r n i n g e l i t e . The t r a n s f o r m a t i o n g o e s on l i k e
th e flo w o f a r i v e r . . . .
Thus r e v o l u t i o n s a r e p r e c i p i t a t e d when t h e " c i r c u l a ­
t i o n o f t h e e l i t e " f a l l s , c a u s i n g an a c c u m u l a t i o n o f
s u p e r i o r e le m e n t s i n t h e s u b j e c t c l a s s a n d a g l u t o f
i n f e r i o r e le m e n ts in th e r u l i n g c l a s s .
S o r o k i n l i k e w i s e f i n d s a k e y t o t h e p r o b le m o f t h e
63 N e w e ll L e r o y S im s , The P ro b le m o f S o c i a l Change (New Y o rk .
1939) p p . 385-3567
causes fo r re v o lu tio n s .
From h i s s t a t e m e n t i t w ould a p p e a r
d a n g e r o u s f o r t h e s u p e r i o r f a m i l i e s t o h a v e t o o many e h i l 64
d ren :
Somewhat d i f f e r e n t I n f o r m , b u t s i m i l a r I n s u b s t a n c e ,
a r e t h e r e s u l t s o f an o v e r p r o d u c t i o n o f t h e ^ l l t e i n
th e m o b ile s o c i e t y . I n t h i s case th e p r o c e s s ru n s a p ­
p r o x i m a t e l y a s f o l l o w s : The o v e r p r o d u c e d p r o s p e c t i v e
e l i t e cannot f i n d th e c o rre sp o n d in g h ig h p o s i t i o n s .
For t h i s r e a s o n , t h e u n lu ck y f e llo w s a re d i s s a t i s f i e d
a nd t r y t o s t a r t t h e i r own " e l e v a t i n g 11 o r g a n i z a t i o n .
As t h i s o r g a n i z a t i o n c a n n o t f i n d a p r i v i l e g e d p l a c e
under th e e x i s t i n g re g im e , i t h a s to be c r i t i c a l , un­
d e r m i n i n g , o p p o s i t i o n a l , r a d i c a l , r e v o l u t i o n a r y . The
" p e t t y a m b itio n s" o f th e s e ^ l l t e . b e in g u n s a t i s f i e d
under e x is tin g c o n d itio n s, seek o u tle t in s o c ia l rec o n ­
s tru c tio n or re v o lu tio n .
P a r e t o , a o o o rd in g to M a clv e r, " m a in ta in s t h a t th e
f a l l o f E l i t e s i s due t o t h e i r d e c l i n e i n r e l a t i v e num bers
65
and to t h e i r decay in q u a li t y ."
M osca, p r e d e c e s s o r o f P a r e t o , b e l i e v e s t h a t " a r u l i n g
c l a s s i s t h e m ore p r o n e t o f a l l I n t o e r r o r s o f t h i s k i n d
t h e m o re c l o s e d I t i s ,
a c t u a l l y I f n o t l e g a l l y , t o e le m e n ts
66
r i s i n g fro m t h e l o w e r c l a s s e s . "
Many o f t h e a b s t r a c t t h e o r i e s a b o u t E l i t e s and r e v o l u ­
t i o n s seem t o b e f a n t a s t i c f a b r i c a t i o n s .
A g lan c e a t th e
r e c o r d shows t h e f o l l o w i n g :
The h a p p i e s t d a y s o f J a p a n e s e h i s t o r y w ere t h e f i v e
c e n tu rie s under a h e re d ita ry n o b ility .
I t was m o dern i n ­
n o v a t i o n s , n o t t h e c i r c u l a t i o n o f t h e ^ l i t e , w h ic h b r o u g h t
64 S o r o k i n , o p . c l t . ( 2 ) , p . 1 9 9 .
65 RJf* M a c l v e r , S o c i e t y : A T e x tb o o k o f S o c i o l o g y (New Y o rk .
1937) p . 1 82.
66 G a e t a n o M osca, The R u l i n g C l a s s (New Y o r k , 19 39) p . 1 1 9 .
Japan t o h e r p r e s e n t p l i g h t .
p o litic a l c o n ste lla tio n s
No p r e s e n t d a y s h i f t i n g o f
( i n t r o d u c t i o n o f e l e m e n t s fro m
b e n e a t h ) c an f o r e s t a l l t h e d a n g e r s w h ic h b e s e t J a p a n .
H er
d i f f i c u l t i e s do n o t come fro m t h e p r e s s u r e s fro m h e r s u b j e c t
c l a s s e s b u t fro m a s e r i e s o f c o m p l i c a t i o n s known a s a
m i l i t a r l s t - c a p i t a l l s t - n a t i o n a l l s t s y s te m b u r d e n e d b y an
I n c r e a s e i n t h e p o p u l a t i o n b eyon d t h e l i m i t s o f h e r r e s o u r c e s
E gypt b re d b r o t h e r to s i s t e r to keep th e fa m ily l i n e s
in ta c t.
Few d y n a s t i e s h a v e l a s t e d l o n g e r t h a n some o f t h o s e
i n E g y p t.
Few s o c i a l s y s te m s h a v e k e p t t h e i r l o w e r c l a s s
t a l e n t s b e t t e r shaded.
Y e t t h e r e w e re n o r e v o l u t i o n s I n
t h e m odern s e n s e .
I f h o l d i n g t h e l i d on t i g h t p r o m o te s r e v o l u t i o n ,
t h e n Montezuma a n d t h e l a s t g r e a t S apa I n c a w e re a s s a s s i n a t e d
b y a d i s g r u n t l e d mob o f f a i r l y p r o s p e r o u s b u t s o c i a l l y and
p o l i t i c a l l y u n reco g n ized In d ia n s I
P a r t i c i p a t i o n in th e r o l e o f le a d e r s h ip b y th e i n t e l ­
l i g e n t a n d m ore t a l e n t e d members o f t h e lo w e r c l a s s e s , an d
t h e r e f o r e maximum c i r c u l a t i o n o f t h e £ L l t e , a s i n t h e German
R e p u b lic w ith I t s p r o p o r t i o n a l r e p r e s e n t a t i o n and i t s
t w e n t y - f i v e p o l i t i c a l p a r t i e s , may b e s a i d t o b e t h e s h o r t e s t
ro u te to re v o lu tio n .
decrease i t s
P o l i t i c a l s te a m d o e s n o t n e c e s s a r i l y
p r e s s u r e u n d e r s u c h c i r c u m s t a n c e s ; I t may t e n d
t o i n c r e a s e in g e o m e tric p r o p o r tio n t o th e c o n fu s io n c r e a te d
by th e absence of s t a b le c l a s s e s .
Rome, f o r I n s t a n c e , was b u i l t , i t
s p r e a d and c o n q u e r e d
b y one o f t h e m ost c l o s e d a r i s t o c r a c i e s known t o h i s t o r y ;
n o r d i d t h e d i c t a t o r i a l s y s te m o f e l e v a t i n g commoners fro m
among t h e s o l d i e r s p r e v e n t t h e d e c l i n e o f Roman c i v i l i z a ­
tio n *
G r e e c e , t o o , when p o l i t i c a l p a r t i c i p a t i o n b y t h e
f r a n c h i s e s y s te m was i n t r o d u c e d , succum bed t o f r a t r a o i d a l
strife .
The E u ro p e a n n o b i l i t y g a v e way, i n so f a r a s i t d i d ,
n o t b e ca u se o f i n a b i l i t y or deoadence as su c h , b u t b e ca u se
o f c h a n g e s i n t h e i n s t r u m e n t s o f p r o d u c t i o n w i t h w h ic h t h e
m e r c h a n t a r i s t o c r a t s a n d l a t e r m a n u f a c t u r i n g g r o u p s w ere
m ore f a m i l i a r .
I t g a v e way b e c a u s e w o rld c h a n g e s , f a r b e ­
y o nd t h e c o n t r o l o f l e a d i n g m en, e n g u l f e d E u r o p e .
The
n o b i l i t y f a i l e d i n Germany i n 1 9 1 8 ; t h e K a i s e r f l e d ; t h e
^ l i t e c i r c u l a t e d ; b u t B raining and S tre s e m a n n f a i l e d , t o o .
H itle r w ill f a l l .
M acD onald, B r i a n d , P o i n c a r ^ , D a l a d i e r ,
B lum , a n d C h a m b e r la in a l s o f a i l e d .
R adek w e n t dow n.
T r o t s k y , Roebm, and
S t a l i n 's f u tu r e , or th a t of h is a sso ­
c ia te s , is not assured.
The German R e i c h , t h e F r e n c h R e­
p u b l i c , t h e I t a l i a n E m p i r e , t h e B r i t i s h E m p ir e , t h e J a p a n e s e
E m p ire — n o n e o f t h e s e w e re o r a r e l i k e l y t o b e s a v e d
fro m d i s i n t e g r a t i o n b y j o c k e y i n g p o l i t i c a l o r s o c i a l c l a s s e s .
I I D u c e 's h a i r grow s w h i t e , w h i l e n e i t h e r h e n o r a l l h i s
a d v i s o r s c a n e x t r i c a t e I t a l y from h e r d ile m m a .
R o o se v e lt
p a d s h i s m a t t r e s s w i t h p r o m i s s o r y n o t e s and p o s t p o n e s t h e
d a y when t h i s r i c h n a t i o n c an b a l a n c e i t s b u d g e t .
I t is
a l t o g e t h e r i m p r o b a b le t h a t f u t u r e p r e s i d e n t s , w h e th e r w o r k e r s .
a ris to c ra ts ,
o r p r o f e s s o r s w i l l b e a b l e t o make t h i s n a t i o n
" c lic k " as i t
once d id *
T he R o o s e v e l t " ^ l i t e " a r e p r o b a b l y
d o i n g a s w e l l a s w o uld Jo h n L . Lew is o r W il l ia m G reen*
T h e r e come p e r i o d s
ill t e
s u f f ic e s to e x p la in
be h e ld in
c h e o k ."
i n h i s t o r y when n o t h e o r y o f t h e
why t h e w o r ld o r a n a t i o n " c a n n o t
The r e v o l u t i o n s and t o r m e n t s i n c e a b o u t
1848 a r e n o t a t t r i b u t a b l e t o
c la s s deoadenoe — th e y a r e
consequences o f m alad ie s g r e a t e r th a n th e g r e a t e s t le a d e r s
( e a c h I n h i s own n a t i o n ) c a n c u r e .
T h is p r e s e n t w o r l d w i l l
b e a " h o t p o t a t o " f o r w ho ever h a s t o assum e c h a r g e o f a n y o f
i t s v a r i e d p a r t s , w h e th e r
t h e y be o l d o r new £ l i t e .
No
p r o m o ti o n o f s o c i a l c l a s s c i r c u l a t i o n w i l l n e c e s s a r i l y h a v e
a s a l u t a r y e f f e c t ; no c h a i n i n g o f men i n t h e i r p l a c e s ,
a f t e r th e p la n o f e a r l y F a sc ism , w i l l c u re th e d e e p -s e a te d
m alad ie s in c i v i l i z a t i o n .
(T here i s , o f c o u r s e , a s w i l l be
e x p l a i n e d i n d e t a i l l a t e r , a g r e a t d i f f e r e n c e b e tw e e n a
s o c i e t y w h ich r e s p e c t s i t s
w h ic h s e e k s t o s h a k e i t
C o n c lu s io n .
s o c i a l c l a s s s t r u c t u r e , and one
to I t s f o u n d a tio n s .)
T h eo ries about s o c ia l c la s s c i r c u l a t i o n
a re f a s c in a tin g so u rces o f sp e c u la tio n .
S t a t i s t i c s of c la ss
a s c e n t and d e s c e n t a r e s u b j e c t t o b o t h f a n c i f u l and t h o u g h t f u l
in te rp re ta tio n .
I t has been th e p u rp o se of t h i s c h a p te r to
c o v e r t h e s e tw o p h a s e s o f s o c i a l c l a s s .
I t w i l l be th e
o b j e c t o f t h e s u p p l e m e n t s t o a d d t o t h o s e a l r e a d y made I n
t h e f i e l d o f s o c i a l c l a s s r e s e a r c h t h r e e new s t u d i e s b y t h e
p resent w rite r.
CHAPTER X I I I
S u p p le m e n t I
A STATISTICAL STUDY OF PROMINENT MARRIAGES
I n a d d i t i o n t o t h e s u r v e y o f some o f t h e m ost i m p o r ­
t a n t s t a t i s t i c a l s t u d i e s made I n t h e f i e l d o f s o c i a l c l a s s
b y o th e r r e s e a r c h e r s , th e fo llo w in g in v e s tig a tio n I s p re ­
se n te d .
A l l t h e news I t e m s r e l a t i n g t o m a r r i a g e s f o u n d i n
t h e S u n d a y e d i t i o n s o f t h e New Y o rk Tim es d u r i n g t h e y e a r
1938 w ere c l i p p e d .
Some v e r y s h o r t i te m s m ig h t h a v e e s ­
c a p e d n o t i c e , b u t I t was t h e I n t e n t i o n t o c a t c h e v e r y o n e .
I n a l l , m ore t h a n 600 I t e m s w ere c l i p p e d , many o f w h ic h
w ere t o o s h o r t t o g i v e a n y I n f o r m a t i o n b ey o n d t h e names
o f th e c o u p le s and p la c e s o f th e w ed d in g s.
H o w ev er, some s h o r t c l i p p i n g s c o n t a i n e d g e n e a l o g i c a l
d a t a i n d i c a t i n g t h a t two l o n g l i n e s o f w e l l known f a m i l i e s
w ere m a r r y i n g .
The p r o b l e m , t h e n , was t o r e d u c e t h e num ber
o f c l i p p i n g s w i t h o u t h a n d - p i c k i n g th e m .
The o n l y s u i t a b l e
d e v i c e f o u n d was t o c o n f i n e t h e s t u d y t o t h e l o n g e s t c l i p ­
p in g s.
By u s i n g i t ,
th e r e s e a r c h e r hoped t o o b ta in
(1 ) i n ­
f o r m a t i o n a b o u t t h e m o st i m p o r t a n t m a r r i a g e s , s i n c e t h e
l e n g t h o f s p a c e g i v e n t o a w e d d in g i n d i c a t e s s o m e th in g o f
t h e T im e s' e v a l u a t i o n o f th e im p o rta n c e o f th e p a r t i e s con­
c e r n e d , an d (2 ) c l i p p i n g s w h ic h w o uld g i v e en o u g h d a t a t o
b e s u b je c t to s t a t i s t i c a l tr e a tm e n t.
By c h o o s i n g t h e l o n g e s t c l i p p i n g s , t h e s t u d y was
l i m i t e d t o e x a c t l y 100 w e d d i n g s , I n v o l v i n g 200 p e r s o n s .
The s o c i a l c l a s s d a t a d e s i r e d w e r e :
1.
2.
3.
4.
5.
6.
7.
8.
9.
N a t i o n a l i t y backgrounds
R e lig io u s back g ro u n d s
Number o f r e s i d e n c e s
P l a c e s o f p e rm a n e n t r e s i d e n c e
O c c u p a t i o n s o f a n c e s t o r s and s u b j e c t s
L en g th o f r e s i d e n c e o f s u b j e c t s o r
a n c e s t o r s I n A m e ric a
Number o f p r o m i n e n t f a m i l y l i n e s m e n tio n e d
K in d s an d a m o u n ts o f e d u c a t i o n
K in d s o f c l u b s and o r g a n i z a t i o n s
D a ta w e re n o t g i v e n on a l l o f t h e s e i t e m s i n s u f f i ­
c ie n t q u a n ti t y to a llo w f o r I n c o r p o r a tio n in s t a t i s t i c a l
form s.
For i n s t a n c e , e x c e p t f o r th e nam es, l i t t l e
e v id e n c e
was g i v e n a s t o t h e n a t i o n a l i t y b a c k g r o u n d s o f t h e p a r t i c i ­
p a n ts in th e c erem o n ies.
th e ir lin g u istic
The n a m e s , h o w e v e r , j u d g i n g from
o r i g i n s , w e re p r e d o m i n a t e l y B r i t i s h .
The same was t r u e o f t n e r e l i g i o u s b a c k g r o u n d s .
The names o f t h e c h u r c h e s i n d i c a t e d a p r e p o n d e r a n c e o f
P r o t e s t a n t E p i s c o p a l s e r v i c e s , b u t t h i s was n o t o f t e n
s p e c i f i c a l l y s t a t e d I n so many w o r d s .
The num ber o f r e s i d e n c e s r a n fro m one t o f o u r , w i t h
a l i b e r a l s p r i n k l in g o f t w o 's .
H ow ever, t h e d a t a w ere t o o
i n f r e q u e n t l y g iv e n t o a l l o w f o r s t a t i s t i c a l t a b u l a t i o n .
The o c c u p a t i o n s o f a n c e s t o r s p r o v e d I n t e r e s t i n g , i n ­
d i c a t i n g a c o n s i d e r a b l e num ber o f p r o m in e n t b u s i n e s s m en,
w i t h a h e a v y s h o w in g o f p o l i t i c a l , m i l i t a r y , and r e l i g i o u s
le a d e rs .
T hese, o f c o u rse , a re n o t s e lf-e x c lu d in g c a te g o rie s
D a ta on c l u b s and o r g a n i z a t i o n s w ere s c a n t y , and t h e r e
w e re so many t y p e s an d k i n d s g i v e n t h a t c l a s s i f i c a t i o n
proved to b e I m p o s s ib le .
L e n g t h o f r e s i d e n c e I n A m e ric a
was r a r e l y r e v e a l e d .
On two p o i n t s , h o w e v e r , s o c i e t y e d i t o r s w e re c a r e f u l
to p u t th e f a c t s in t h e i r a c c o u n ts .
1.
2.
T h ese w e r e :
P ro m in en t a n c e s t o r s
The k i n d s a n d a m o u n ts o f e d u c a t i o n
From t h e f o r m e r one g e t s t h e i m p r e s s i o n t h a t p e r s o n s
s o c i a l l y p ro m in e n t to d a y r e c e i v e p a r t o f t h e i r r e c o g n i t i o n
b e c a u s e o f t h e p r o m in e n c e o f t h e i r a n c e s t o r s , i n some c a s e s
even o f r e l a t i v e l y r e m o te f o r e b e a r s .
From t h e l a t t e r one
can s e e t h a t e x c l u s i v e n e s s i n e d u c a t i o n a l i n s t i t u t i o n s I s
one o f t h e h a l l m a r k s o f h i g h s o c i a l c l a s s In th e U n i t e d
S ta te s.
The f i g u r e s f o l l o w :
1.
Of t h e 100 l o n g e s t n e w s p a p e r a r t i c l e s p e r t a i n i n g
t o w e d d in g s w h ic h t o o k p l a c e I n 1 9 3 8 , a s p r i n t e d i n th e
Sund ay e d i t i o n s o f t h e New Y o rk T im e s , 97 p e r s o n s w e re r e ­
f e r r e d to a s h a v in g i l l u s t r i o u s a n c e s to r s .
Of t h e s e 97
p e r s o n s whose p r o m in e n t a n c e s t o r s w e re m e n t i o n e d , t h e r e was
an a v e r a g e o f 2 . 6 s u c h a n c e s t o r s named an d r e f e r r e d t o as
p ro m in e n t.
A n c e s t o r s w e re m e n t i o n e d f o r t h e o t h e r 103
p e r s o n s , b u t s i n c e t h e i r e m in e n c e was n o t s t r e s s e d , i t was
I m p o s s i b l e t o d e t e r m i n e how many o f them m i g h t , on c a r e f u l
s c r u t i n y , d e s e r v e a l s o t o b e l i s t e d among I m p o r t a n t p e r s o n s
o f t h e i r tim e s.
2.
In o r d e r to t a b u l a t e th e e d u c a tio n a l backgrounds
o f t h e s u b j e o t s , t h e f o l l o w i n g s c a l e w as s e t u p , r a n g i n g
fro m 1 t o 5 , a s f o l l o w s :
1.
2.
3.
4«
5.
P r iv a te sc h o o l, f i n i s h i n g so h o o l, or
fa sh io n a b le c o lle g e
P r i v a t e sc h o o l and o th e r c o lle g e
P u b lic so ho ol and c o lle g e
B u sin e ss sch o o l
P u b lic school
F o r t h e 200 p e r s o n s I n a l l t h e w e d d in g s d a t a w e re
g iv en f o r 1 2 6 .
The mean a v e r a g e o f t h e s e was 1 , 2
p e r s o n s w ere l i s t e d I n c a t e g o r y t h r e e
c o lle g e ).
O n ly 4
( p u b l i c s o h o o l and
I n t h e s e c o n d c a t e g o r y 19 p e r s o n s w e re l i s t e d ;
w h e re a s 102 w e re c l a s s i f i e d I n t h e f i r s t c a t e g o r y .
None
w e re l i s t e d u n d e r t h e l a s t two h e a d i n g s .
The i m p o r t a n c e o f a p r i v a t e s c h o o l e d u c a t i o n I n t h e
m ak in g o f s o c i a l c l a s s s t a n d i n g I s I n d i c a t e d i n t h e v a l u e
p l a c e d upon I t b y t h e p a r e n t s o r b y t h e f a c t t h a t su c h i s
t h e c u sto m among t h o s e o f s o c i a l i m p o r t a n c e .
C o n c lu s io n .
The c u sto m s o f t h e m id d l e and u p p e r
c l a s s e s , an d t h e i r
sense o f v a lu e s , a r e r e v e a le d in th e
s o c i e t y c o lu m n s o f t h e d a i l y p r e s s .
T hey may b e r e v e a l e d
d i r e c t l y or in a roundabout f a s h io n .
The s o c i e t y e d i t o r s
m u st h a v e a k e e n s e n s e o f w h a t I s i m p o r t a n t t o t h e v a r i o u s
m id d l e a n d u p p e r c l a s s g r o u p s .
T r a v e l, w ed d in g s, s o c i a l
g a t h e r i n g s , a n d c h a r i t a b l e e n d e a v o r s a r e s o u r c e s o f news
w h ic h m u s t n o t b e n e g l e c t e d b y t h e e d i t o r s .
A g ain , th e su b ­
s t a n c e o f t h e news s t o r i e s c o v e r i n g t h e s e t o p i c s m u st c o n fo rm
t o t h e s e n s e o f v a l u e s a n d m e n tio n t h e i n f o r m a t i o n deemed
a p p ro p ria te by th e s u b je c ts .
In t h i s way t h e m id d le and
u p p e r c l a s s e s " s p r e a d t h e m s e l v e s " b e f o r e t h e p u b l i c eye i n
a m an n e r s u i t a b l e t o t h e i r own s e n s e o f a d v e r t i s i n g .
From t h e f o r e g o i n g s t u d y o f some o f t h e s e n e w s p a p e r
a c c o u n ts o f s o c i a l ly Im p o rta n t e v en ts i t I s c le a r t h a t th e
u p p e r c l a s s e s do n o t p a r a d e t h e i r r e l i g i o u s p r e f e r e n c e s
b e fo re th e w o rld .
B u t t h e y a r e p ro u d o f a n d e a g e r t o m e n tio n
p r o m in e n t a n c e s t o r s a n d p r i v a t e s c h o o l i n g .
The f i r s t t h r e e c l i p p i n g s , a s t h e y l a y w here t h e y
fe ll,
c o n t a i n e d t h e f o l l o w i n g I n d i c a t i v e w o rd s :
" H u n d re d s o f c o l o n i s t s a t r e c e p t i o n
. • . g re a t­
g r a n d f a t h e r , John C a r t e r Brown • • ."
" . . .
g r e a t - g r a n d d a u g h t e r o f H iram S i b l e y , f i r s t
p r e s i d e n t o f t h e W e s te r n U n io n . . . "
"A w e d d in g u n i t i n g two f a m i l i e s l o n g p r o m in e n t i n
C o n n e c tic u t . . . "
w.
NEW YORK UNIVERSITY
W A S H IN G T O N SQUARE COLLEGE
WASHINGTON SQUARE
NEW YORK
To the Society Editor:
Dear Madam:
As a part of a social research project concerning the growth and development of our American
society, I am seeking some exact information about the backgrounds of leading families in different
communities throughout the nation.
You know some of these socially outstanding families. What is it that puts one above the other?,
Is it lineage? Or wealth? Or education? These are a few of the questions this study seeks to answer.
As a member of the faculty at New York University I assure you that this information will be
used for no commercial, political, or similar purpose, but only to increase our understanding in the
social sciences.
I should deeply appreciate it,if you would be so kind as to fill out the following questionnaire.
This material will reveal no one’s identity — the questions have, been formed to avoid just that.
If you would like me to send you a digest of this study when it is finished, I should be happy
to do so—in appreciation for your taking the time and trouble to contribute toward the basic material.
Sincerely and gratefully yours,
William Cecil Headrick
SOCIAL SCIENCE SURVEY
To Ascertain which Factors Contribute Most
to the Establishment of Social Rank.
In the area of our circulation the following five families enjoy the highest social positions, that
is, the greatest social prestige — family 1 ranking highest in social standing, family 2 next, etc. By
"family,” so far as ancestors are concerned, we mean that branch of the family tree upon which the
members lean most heavily in claiming and getting social standing.
Example
Does present head of family hold any political, educational,
or religious office? Which? Appointed or elected?
Elected member of city
commission and elder of
church
Affiliation of members of family in distinguished clubs and
organizations— local o r national?
D. A. R. ( N ) , Colony
Club ( N ) , Pioneers of
W alnut Valley (L)
Present occupation (and industry) of head of family, even
if retired.
Contractor
Family’s present economic rank in community.
T w elfth richest
Type of high school attended by present head of family—
local public school, military academy, private tutor, etc.
Military academy
E xtent of schooling of present head of family and type
of course.
College graduate, liberal
arts
Extent of formal education of wife and type of schools.
Two-year course in semi­
nary for girls
Probable nationalities of ancestors—in order o f preponderance.
E n g lis h ,
French
Scotch-Irish,
Religious backgrounds (denominations if possible) in order
of preponderance.
Episcopal,
Presbyterian
Has family’s economic position been rising or falling (relative
to other persons’) in the last fifty years?
F a llin g , in relation to
others
Name the most outstanding achievement by some member of
the family, past or present.
G randfather was college
president
About how many years has family belonged, to the highest
social strata in this area?
j
/
A bout
years
Was a member or ancestor of this family a pioneer to this
locality. In w hat capacity?
Y es, tw o . One home­
steader, one first banker
Social standing o f family in locality it came from, prior to
settling here. (Highest, upper, middle, lower, lowest.)
,Upper class — bankers
W hen, and from w hat state, did family first settle in'present ,
locality?
(Building)
one h u n d r e d
‘ 1840 from Connecticut
Chief occupations o f earlier ancestors in America— so far as
you know. A bout when?
Shipping and fu r trade
— in the 1700’s
Social standing of family in Europe a t time of migration.
(Highest, upper, middle, lower, lowest.