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Why Change? Toward a New Theory of Change Among Individuals in the Process of Modernization Author(s): Joel S. Migdal Source: World Politics, Vol. 26, No. 2 (Jan., 1974), pp. 189-206 Published by: Cambridge University Press Stable URL: http://www.jstor.org/stable/2009899 . Accessed: 09/06/2011 20:22
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WHY CHANGE? Toward a NewTheory ofChangeAmongIndividuals in theProcessof Modernization

By JOEL S. MIGDAL*

5gtHEN andwhypeopleabandon their old institutions, patterns ofbehavior, andevenplaces in favor ofresidence ofnewones withsustained that areassociated economic and development growth is a question of central to socialscience. importance Increasingly, political scientists haveassociated these of change processes withtheoccurrence of particular of disintegration political units, groups, and andwiththeintegration systems, of others.' The changing nature of social andcultural ties signals concomitant modifications inwhat people define as their community, where they placedemands, andwhere they decisions lookfor authoritative tobe made. of old waysfornew oneshas been The process of abandonment copiously and labelled described during thelastfifteen years. Various models usinginformation communication theory, theory, personality andother theory, concepts havebeenemployed to explain theprocess ofchange undergone bylarge numbers ofindividuals. Yet,surprisingly,
*I would like to thankthe members of the Tel Aviv University of Department Political ScienceStaff Seminar fortheir on an outline comments of thispaper.I would also like to thankDr. Shimshon Zelniker forhis thoughtful criticisms. 1 SamuelP. Huntington has talkedof politicalinstitutionalization of states, which is closely connected to integration, and of political decay,whichis a process involving PoliticalOrderin Changing disintegration. Societies(New Haven i968), esp. chap. i. In a recent article, WalkerConnorhas linkedsocialchangesimultaneously to the integration of nationalentities (ethnicgroups) and to the disintegration of states.In or Nation-Destroying?" "Nation-Building World Politics,xxiv (April I972), 3I9-55, he citesa long list of political scientists who relatesocial changeto integration, and criticizes the lack of literature on the relation of changeto disintegration. He is certainly right in criticizing thisdeficiency, but thereare some recent workshe does not cite.See, forexample, RobertMelson and Howard Wolpe, "Modernization and the of Communalism: A Theoretical Politics American Perspective," PoliticalScienceReview,LXIV (DecemberI970), III2-30. Othersocial scientists have also been concerned withthe relationship betweendevelopment and integration. The anthropologist CliffordGeertzwroteone of the first and mostimportant articles on thissubject, "The Integrative Revolution: Sentiments Primordial and Civil Politicsin the New States" in Geertz, and New States:The QuestforModernity ed., Old Societies in Asia and Africa(Glencoe,Ill. i963), I05-57. S. N. Eisenstadt, in Modernization: Protestand Change(EnglewoodCliffs, N.J.i966), v, has spokenof "breakdown" or "regression" withrespect to social change.

INTRODUCTION

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thequestion of whypeopleabandon has been apthe old patterns proached in very muchthesamemanner throughout all practically theliterature. The keyexplanation offered it is an assumption rather (mostoften an explicit than is that tothemodern-what explanation) exposure we shallcall "culture contact"'-will leadpeopleto abandon theold and attempt togarner thefruits ofthenew.Stated another way, this means that contact between old andnewpatterns leadstothetriumph ofthe new.("How yougonna keep'emdownon thefarm oncethey've seen Paree?") In recent has beena growing years there bodyof literature in theexplanation, pointing toweaknesses butthere hasbeenno development of an inclusive theoretical alternative. The explanation that andcontact arethecauses exposure ofchange hasatleast three ofthemodern components: (I) The benefits faroutthe ofthetraditional.3 weigh benefits is free (2) The individual from which institutional restraints severe wouldprevent his making a free who select decision. thenew are rational and (3) Thoseindividuals and those individuals who do notaccept areoptimizers,4 themodern or nonrational failtodo so because of "wrong" values. examine this andpoint I willfirst outsomeofthediffiexplanation inanalysis itraises. culties which I willthen offer a theoretical alternatothe ofwhy tive abandon their oldpatterns. question people Although culture contact maybe a necessary condition forchange, I contend that itis initself nota sufficient condition. The analysis willbe focused on change specifically in Asia and LatinAmerica.' among peasants
2 Culture has long been in use as a term contact in anthropology; on the depending author The emphasis usingit, it has takenon variousconnotations. here will be on thecontact between and thoseassociated traditional, village-based patterns withmore we are talkingof the contactby traditional More specifically, urbanstyles. villages and valuescharacteristic of modernsocieties. withthepatterns For a briefdiscussion see RaphaelPatai,"On Culture on thevarious usesof theterm, Contact and Its WorkAmerican ing in ModernPalestine," New SeriesXLIX (OctoberI947). Anthropologist, 3 Hallowellmakesexplicit someof thepointsinvolved in thisassumption. His subof Europeanculture ject of concern is the influence on the otherpartsof the world. is basically a learning He feelsthatacculturation and thatEuropeanculture process, has spreadso rapidlybecause the rewardsoutweighthe punishments for the individual.A. IrvingHallowell,"Sociopsychological Aspectsof Acculturation," in Ralph Linton, ed., The ScienceofMan in the WorldCrisis(New York I945), M71-200. 4 In recent Alex Inkeleshas been one of thefewwho has explicitly years, addressed to the questionof whypeople becomemodern.He citesa variety himself of factors mass media,the factory), but statesthatone factor (the city, assumespreeminence: education. The school". . . serves namely, as a modelof rationality, of theimportance of theruleof objective of technical competence, standards of performance, and of the of distributive in thegrading reflected principle justice system." Inkeles, "The Modernization of Man," in MyronWeiner,ed., Modernization: The Dynamicsof Growth ForumLectures (Voice of America i966), I59-60. 5 The term"peasant" is used herein an inclusive senseto denotepoor people who

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undertheruleof a state; Asia has a longhistory ofpeasants living withthe advent facedsuchinfluence LatinAmerica's first peasants of imaddedpressures of Spanish rule.The strong and Portuguese in thelateeighteenth and state centralization perial penetration and of individuals nineteenth century, I will argue, affected thebehavior in both AsiaandLatinAmerica.
CULTURE CONTACT AND CHANGE

In social in anthropology, theemphasis science literature, particularly on exposure toalternative modes ofbehavior as a prime causeofsocial change goesbackat leastto theearly partof thecentury.6 In 1934, Robert do strike Redfield wrote, "Thelocaldifferences inYucatan that theattention arethose apparently duetothedifferent degrees towhich various communities havebeenexposed to whatwe often speakof as 'civilization'-schools, roadsand economic exploitation. The towns andvillages arein varying stages ofa process oftransition as a result of these influences."7 Anthropologists havecontinued to relyheavily on theculture contact modeof analysis. For example, almost thirty after years Redfield's study on theYucatan was written, George M. Foster suggested that thedegree of contact withurban centers is the greatest determinant of change among peasants.8 Other branches ofthesocialsciences havesubsequently adopted the culture-contact mode ofanalysis. In ThePassing ofTraditional Society, thesociologist DanielLerner explicates themost complete and sophisticated model ofculture contact. Byfocusing on whysuchchange occurs, he attempts togo beyond themere assertion that contact leadsto
live and workin rural,primarily agricultural who participate communities; to some degreein cash and commodity and who are subordinate to otherclassesin markets; the society. This article derivesfroma studywhich employed a content analysisof fifty-one casesin monographs on villagesin Asia and Latin America, and also stems fromfieldwork in Mexico and India. In manyareas,however, data are scarceand remain propositions hypothetical. For a listof the casesand a discussion of methodology,see Migdal,"Peasants in a Shrinking World: The Socio-Economic Basis of PoliticalChange," unpub.Ph.D. diss. (HarvardUniversity I972); also Migdal,Peasants, and Revolution Politics, (Princeton, forthcoming). e B. Malinowski is the pre-eminent scholarassociated with this view in respect to tribal He holdsthatchangein Africa peoples. is "theresult of an impact of a higher, activeculture morepassiveone." The Dynamicsof CultureChange: upon a simpler, An Inquiry intoRace Relations in Africa(New Haven I945), I5. 7Robert Redfield and Alfonso Villa Rojas, Chan Kom: A Maya Village (Chicago
i962),
8

GeorgeM. Foster, Traditional and the Impactof Technological Cultures, Change (NewYorki962), 25, 30. "Thegreater therange ofnovelty to which people areexposed,thegreater thelikelihood thatthey will adoptnew forms. Contact between sois thesingle cieties determinate greatest of culture change"(p. 25).

iX.

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His modelbegins who accepts change. withtheperson change and Sucha person is one becomes modernized'-"the mobile personality." whohasa highcapacity foridentification withnewaspects ofhisenvironment.10 in themobile is emThus, thekeyingredient personality pathy, theability to see oneself in theother fellow's situation. The question Lerner poses is howa society is abletoproduce many mobile as oneconsisting for he perceives modern ofpeopersonalities, society thequality ofempathy.1" plewith Lerner's answer is that ittakes an expansion ofhuman communication toproduce themodern with"psychic man,theperson mobility," whois ready to participate in and accept newpatterns. At first, this expansion ofcommunication camethrough an increase in travel, but themedia nowobviate theneedfor physical displacement. The media accent "thepsychic displacement ofvicarious experience," and are,in fact, evenbetter thantravel, forexposure to them givestheperson a more ordered sense ofthewhole.12 a certain After reaching threshold ofurbanization, literacy, massmedia, andinstitutions ofparticipation, a society hasa sufficient apparatus toprovide large numbers ofpeople withexposure in itstraditional and contact withthenew,thus sector into mobile them converting personalities.13 The assumption thatincreased contact withand exposure to new will lead notonlyto increased but also to new patterns knowledge in other behavior as well. In political is found theories for science, F. Lamond TullishasusedFrank example, Young's information-procto builda paradigm of political and socialchangein essing theory Peru.14 Tullisdefines "information-processing capacity" as theextent to whichan individual can process a diversity of complex information
9 Thereis no totalconsensus on themeaning of modernization. In fact, some scholits use altogether. ars have spurned See, for example, IrvingLouis Horowitz,Three The Theory and Practice Worlds ofDevelopment: of International Stratification (New theMiddleEast (New York i966). In The Passingof Traditional Society: Modernizing as a stateof mind-expectation York I958), Viii, Daniel Lernersees it primarily of to adapt oneselfto change.Later (p. 50), readiness progress, propensity forgrowth, withbehavior, modern Lernerdoes identify society callingit the "Participant Society." of modernization, definition we can use David E. For a generaland widelyaccepted to the rapid Apter's, in The Politicsof Modernization (Chicago i965), v. He refers arefunctionally increase ofrolesthat linkedin a setting marked byrational, hierarchical to an institutional used hereas a generalterm, referring setting to patterns values. It also refers of roles and ascriptive markedby diffuseness that but usually are "long-held" (i.e., havebeenemployed by at leasttwo generations many of structure, fortraditional more). In no way is it meantto denotehomogeneity patternsvarywidely. 14F. LamondTullis,Lord and Peasantin Peru: A Paradigmof Politicaland Social Mass. I970), esp. chap. i. Change (Cambridge,
organizations. 10 Lerner (fn. 9), 49.
13 "Traditional" is

1 Ibid., 50.

12

Ibid., 53.

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nuances. that transcends localized He maintains strictly symbolic that in there is a direct linkbetween suchinformation-processing capacity A peasant individuals andmodernization. who goesto thecity reguinformato Tullis, a higher larly, would, according probably develop tion-processing andwouldadopt modern capacity waysmorequickly thanonewhostayed home. andsocial as a cause The importance ofculture contact ofindividual is probably in thelargeand growing change mostobvious bodyof of innovation. Lerner's literature on thediffusion Takingmuchfrom diffusion-of-innovation theorists thecrucial approach, haveemphasized ofcommunication indetermining ofperson role whochanges. thetype of diffusion Everett theleading ofthetheory of inRogers, exponent in political novations roleofcomscience, hasemphasized thecrucial ingiving munication the individual the wherewithal tobecome modern. theindividual is thekeyunitof analysis, butRogers Again, attempts to identify theconditions under whichtheindividual will be most tooptimize-that thetraditional forthemodern. likely is,to abandon He asserts that theinnovator among peasants hascertain characteristics or antecedents whichmakehimidentifiable. Theseinclude literacy, to themassmedia, exposure and achievement empathy, motivation, others.'5 among Theunderlying ingredients ofmodernization, however, do notdiffer significantly from those ofLerner's model. The process of is basically change onewithout severe as theterm discontinuities, diffusion itself connotes; themorethediffering sectors comeintocontactwithone another, themoreindividuals will gain the attributes associated withchange. In short, is most often change seenin terms ofincentives fortheintoadopt the newover dividual the old.Culture either contact, personally or through mediaexposure, presents theindividual withtheability, theempathy, theinformation-processing capacity, etc.,to relate perto alternative sonally life-styles. He thencan weighhis present patterns andcommitments against themodern, and there is little doubt most authors that hewillaccept among themodern. Barriers tochange areseenas being internal totheindividual-his personal orientationandlittle is given note to thestrength oftraditional, parochial institutions andtheir toaffect ability theindividual's choice radically."6
15 Everett Rogers, Modernization Among Peasants: The Impact of Communication (New York i969), 292. 1" Although to the role of "individualization" manyscholars pay lip service in the theconceptual lensesused to studywho changesand when process of modernization, to imputea high degreeof individualism to traditional lead researchers societies as well. On individualization, Alexander see, forexample, Eckstein, "Individualism and

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to thequestion of theuse of theindividual I willcomebacklater oftheculunit. letus turn to theweaknesses as thekeyanalytic First, ture-contact explanation.
DIFFICULTIES IN THE CONCEPT OF CULTURE CONTACT

Two interesting caseswherethere monographs have highlighted hasbeena degree ofculture oftheold butlittle abandonment contact, patterns.'7 In thePeruvian village ofHualcan, numerous menleft the eachyear A largeproportion village fortemporary workoutside. of in modern these menwent towork agricultural-industrial plantations on thecoast ofPeru, farfrom their Andean village. Theseplantations presented a world culturally distinct to these men,and someworked for there up to twomonths at a time. Yet,according to William W. these contacts were"acculturationally Stein, irrelevant." no changes Thatis notto saythat in village from liferesulted the work. Men returned plantation withimpressive sumsof cashwhich affected thesocial ofHualcan. stratification Yet,interestingly, themen did notadoptthepatterns Theirclothes they encountered. changed little. Theirmoney in landandfiestas, was invested thelong-accepted of surplus.'8 wayto dispose Muchthesamesetof events occurred amongthemen of Buarij, Lebanon. almost all theadultmalesleft There, themountainous viltheslack season winter to workelsewhere. lageduring Manyof their jobsputthem into contact with very different andvery modern sectors ofLebanon. in village Although, onceagain, changes life occurred, the factor striking discovered byAnneH. Fullerwas thestability of attitudes, institutions, and behavior despite these yearly forays."9
the Role of the State in EconomicGrowth," EconomicDevelopment and Cultural vi (January Change, I958), 8I-87. Also see Jack M. Potter, and the Chinese Capitalism Peasant:Social and EconomicChangein a Hong Kong Village (Berkeleyi968), 3, wherehe speaksof a changefroma "collectivity orientation" to an "individualistic orientation." 17 By simply lookingat casesin whichthedegreeof contact was highand economic growth was quite low, Everett E. Hagen has rejectedexplanations of nationalecothatare basedon thedegreeof contact nomicgrowth withtheWest: "How Economic GrowthBegins: A Theoryof Social Change,"in JasonL. Finkle and RichardW. Gable,eds.,Political and Social Change,2nd ed. (New York I97I), 73Development 74. Although I do not feel thata theory is disproved by citingsuch cases,I am imled to questionwhy the theory mediately did not explainthe particular events. 18 WilliamW. Stein, Hualcan: Life in the Highlandsof Peru (Ithaca,N.Y. i96i). See also his "OutsideContact and CulturalStability in a Peruvian HighlandVillage," in Verne F. Ray, ed., CulturalStability and CulturalChange,Proceedings of the I957 Annual SpringMeetingof the American Ethnological Society(Seattle I957),
i5-i6. i96i),

19AnneH. Fuller, of a LebaneseMuslimVillage (Cambridge, Buarij: Portrait Mass. 97.

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of a growingnumberof cases These examplesare representative in recent yearsin which the up by researchers thathave been turned contact were not followedby the objective conditions of high culture of modernichanges associated withtheprocess widespread behavioral of the conceptof culturecontact zation.In one sense,the adherents as an explanation of changeturnit into an axiom beyonddisproof. Since one of the elements of the conceptis beliefthatcertain people ofmodernity valuestructure thebenefits becauseoftheir maynotselect inor ethos,20 the lack of changein specific one can alwaysattribute values. In short,values become a stancesto the people's particular which"explain"all cases,such as Hualcan gigantic residual category in whichsignificant high or Buarij, changedoes not takeplace despite culture contact. concepts Seriousdoubtsmustbe raisedabout such undifferentiated or ethos.For example,verynear the Peruvianvilas value structures villagecalled RecuayIndian,freeholding lage of Hualcan is another theoff-season to take left thevillageduring huanca. There, too,peasants on the coast.The results of plantations jobs on agricultural-industrial were much different from those of Hualcan's their peasants, experience however. The young Western and education went dress, peopleadopted followed their workon theplantations with up in value.Somevillagers temporary jobs in Lima, and almostall joined labor unionsbetween fromthe village, migration 1945 and 1948.Many optedforpermanent and others, held the goal of eventually whilenot yetable to migrate, livingin Lima.21 If valuesdo in factexplainwhy some rejectchangeand othersacforpeasants in two villagesso close to one ceptit,how do we account and structurally similar (both were freeholding another villages,in of who reacted so hacienda the to contrast differently Vicos), nearby contact?Can we assumethat value structures are so difto culture forthe two ?22 ferent in regard on valuesor ethosstems to thereliance A further problem changesome patterns fromthe numerous cases in which individuals
to change, theword"ethos" In respect to thefailure has beenemployed ofpeasants Italianvillage,The Moral Basis of in his studyof a southern by EdwardC. Banfield Society (New York I958). a Backward 21 Joan in Ray (fn. i8), Context of an AndeanCommunity," "The Changing Snyder,
20

reliance on ethosis made by SydelF. Silvercriticism of Banfield's 22 An interesting in southern Italianvillages,"Agricultural Orto structural man,pointing diflerences and Values in Italy: Amoral FamilismReconsidered," Social Structure, ganization, LXX (February i968) I-20. American Anthropologist,

20-29.

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is a rather extensive butnotothers.23 Here,too,there and commitments such cases of syncretic whichdocuments changeand points literature An exampleof explanation.24 to the weaknessof the culture-contact of UttarPradesh, district suchpartialchangeis foundin the Jaunpur sons still have theirmarriagesarIndia, where university-educated to live in the joint manyof themreturning rangedby theirparents, or governto the cityto work as doctors Otherscommute household. children remain in the villageand mentclerks while their wivesand In Latin America, social scientists have notedthe thejointhousehold. ofbehavior, and politiofvillage-based bothsocially patterns persistence cally,amongpeople who have leftthe village to live in barriossurrounding the city.25 Do they or do they nothave empathy? peopleinnovators? Are these or not? Why have Do they capacity have highinformation-processing of modern The the have witnessed? they patterns many theyrejected thosewho travelto when we consider becomeevensharper questions
23 Gusfield, and tradiand othershave begun to argue thatmodernity Whitaker, theory an alternative exclusive. But they have not provided tionalism are notmutually R. Gusfield, "TraSee Joseph somechanges and notothers. whymenaccept to explain in the Studyof Social Change,"American Polarities Misplaced ditionand Modernity: Jr., "A Dysi967), 35i-62; and C. S. Whitaker, Journal of Sociology, LXXII (January xix (January i967), 190-2I7. rhythmic Processof PoliticalChange,"WorldPolitics, 24 Whitaker, has instudent of 'modernization' ibid., i9i, has arguedthat"today's will react peoplegenerally is a hypothesis abouthow non-Western ferred whatin effect in essence yieldedby changein the West.This hypothesis to thekind of institutions acceptor rejecttheseinstitutions, peopleswill either is thatultimately all non-Western He maintains who see changeas thatamong thosetheorists moreor less wholesale." Levy, in all others)are Parsons, changes (changein one area occasioning "eurhythmic" Sinai, the Etzionis, Riggs,Millikan and Blackmer, Hagen, Sutton,Shils, Redfield, of empirical are studiesemploying this assumption and thatthe number and Apter, to list.Whitaker are thosewho have expressed goes on to say thatthere too numerous doctrines of "modernization" analysis:Bendix, with the dichotomous dissatisfaction Hoselitz,LaPalombara,W. E. Moore, Pye, Sanger,and Black,Deutsch,Eisenstadt, (see, for example, literature Ward and Rustow.In the more recentanthropological or syncretic the Rhodes-Livingstone Papers) a case has been made for "dysrhythmic" But no one has explanation. againstthe culture-contact changeswhich are directed inclusive recogan alternative Malinowski (fn. 6, p. 39), himself theory. yetconstructed of syncretic why change:"Can we analyzemorefullythe problem nizes theproblem

certain elementssurvive and others disappear . . . ?" He also acknowledges the prob-

in timesof "transition," speakingof comlem of reactions against"Westernization" no satisfactory solutions have come and conflict. Unfortunately, adaptability, patibility, the old culIt is not enoughto say thatcontact theliterature. from disorganizes forth ture.One mustexplainhow and why. thecontrary often 25 Urban assumporientation, politically passive migrants keeptheir is thathas causedpolitical theweakness inefficacy tionbysomenotwithstanding. Often, as an Agentof Latin Ameri"Urbanization in thecity. See WayneCornelius, repeated PoliticalScienceReview,LXIII (SepThe Case of Mexico,"American can Instability: or PoliticalIntember also,JoanNelson,"The UrbanPoor: Disruption i969), 845-54; xxii (April I970), 393-414. in Third WorldCities?"WorldPolitics, tegration

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Europeor theUnitedStatesto study, yetmaintain manyof theirold and commitments.26 patterns Finally, culture contact as an explanation of changefailsto take accountof thedifferentiation betweentwo distinct concepts-socialmobilization and modernization. Socialmobilization is thebreaking down of old social, economic,and psychological whereas commitments,27 modernization is the actual adoptionof new commitments and patin theuse ofnew levelsof technology terns, resulting and in structural differentiation. Given the assumptionthat culture contact causes change, it is easyto see whythismerging of the two concepts should occur,forwhy abandon the old (social mobilization)if not, simulin orderto adopt the new? taneously, If we relyon theculture-contact explanation, we face a difficulty in understanding the numerous cases in which therehas been a process of abandonment of traditional and commitments patterns (social mobilization),withoutnecessarily leading to the adoptionof the ways and processes associated withmodernization.28 Thus, S. N. Eisenstadt has spokenof the "post-traditional" society, one in which long-held practices and beliefsare discarded, but in which new roles are not characterized by specificity in a setting marked byrational hierarchical organizations, norby the adoption of new levelsof technology.29 The growth ofcertain millenarian movements maybe an exampleof social mobilization without modernization.30
26 Richard D. Robinson tells of Turkish workers in Germany who revertedto their old patternsupon returningto Turkey. "A View of Five Decades of Turkish Development," address presented at Harvard University,November 24, i969. Some literature contends that the retentionof certain old social patternsmay facilitateacceptance of modern economic habits. See Gusfield (fn. 23). 27 Karl W. Deutsch, "Social Mobilization and Political Development," American Political ScienceReview, Lv (September i96i), 493-5I4. 28 Even Deutsch's measures of social mobilization, for example, highlight not only the erosion and breakdown of the old, but such changes as urbanization, growth of the nonagriculturalsector,increases in literacy,and growth in GNP-all of which reflectan adoption, by large numbers, of new patterns associated with modernization. In such cases, it is difficult to differentiate social mobilization from modernization itself.The two seem to be so closely tied that the existence of one presupposes the existence of the other. Ibid. 29 One scholar writes on Latin America, "The intrusionof the market economy destroyedancient civilizations,handicrafts, and agriculture, but it did not bring modernization." Robert I. Rhodes, "The Disguised Conservatismin Evolutionary Development Scienceand Society, xxxii (Fall i968), 402. Theory," 30 "The persistentvitality of groups that are neither traditional nor modern nor transitionalposes one of the most stubborn conceptual and practical problems of political development." Frances R. Hill, "Millenarian Machines in South Vietnam," ComparativeStudies in Society and History,xiii (July I971), 325. Mrs. Hill goes on to say that tribes,castes,or millenarian movements cannot simply be considered aberrant vestiges.

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AN ALTERNATIVE EXPLANATION

Guy Hunterhas written thatthe peasantvillagehistorically was a placethat harbored suppressed minority feelings-feelings when which, giventheproper opportunity, couldtranslate intosignificant behavioral changes.3" Two questions come to mind.First,why and immediately how were thesefeelings suppressed? Second,who in the villagehad suchfeelings? To answer these questions, one mustrefer to twodistinct ofhistorical types in whichtheruleof lords33 villages:32those predominated,and thefreeholding villages34 in whichthere was no immediate rule of local lords.35 In villages wherelordswerestrong, thewhyand how of suppression arefairly clear.A lordputbarriers againsttheinvolvement ofpeasants withindividuals and institutions outsidethevillage, becauseit was on the outsidethat the peasantsmighthave found alternatives to the services he provided. evenif theydesired Peasants, new toolsor methods, simplycould not risk going againstthe lord's desires.He controlled thevitalresources, and his sanctions includedwithholding the or services thepeasants so badlyneeded.Whether land,water, through the institution in feudal Europe or labor debtson Latin of serfdom America's lordsboundpeasants haciendas,36 to an existence whichshut offanypossibilities of escapefromparochialism. The largerthe scope of the lord'sresources, the greater the primacy of thoseresources to thepeasants; and themoremonopolistic hiscontrol overthose resources, themoredifficult was it forthepeasants to riskseekingalternatives.37
31Guy Hunter, PeasantSocieties:A Comparative Modernizing Studyin Asia and Africa(New York i969), 31. 32 The twoare ideal and are used to indicate types a spectrum a village from ranging ruledby a singlepowerful lord to a villageinhabited entirely by independent peasant families. -' The lord is differentiated fromthepeasantin thathe did not need to work the landbutcouldlivecompletely off theworkof others through rents, interest, and profit. 34Freeholding villagescould consist of small farmers entirely on privateor communallands,but could also be villagesin whichonly a portion of the families had control of or accessto cultivable land. In any case,however, no one personor group of persons in a freeholding villagehad the extensive control a lord did. 35Thereis a rough correlation between lord-ruled and a patrimonial villages domain, and freeholding villagesand a prebendal domain,but certainly both types of villages existedin both domains.For a discussion of domainsin which peasantslived, see Eric R. Wolf,Peasants(EnglewoodCliffs, N.J. i966), 50-59. 36 "The haciendais not just an agricultural property owned by an individual. The haciendais a society, underprivate It is an entire auspices. social system and governs the life of thoseattached to it fromthe cradle to the grave."Frank Tannenbaum, Ten Keysto Latin America(New York i962), 8o. 37 An important literature has begunto growin political scienceon the question of patron-client Threeof thebestarticles relations. are ReneLemarchand and KeithLegg, "Political Clientelism and Development: A Preliminary Analysis," Comparative Politics,

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The question of whyand how minority feelings oriented toward in a freeholding more weresuppressed change villageis somewhat wereno lordsdirectly The factthatthere these complex. governing doesnotmeanthat thepeasants werenotsubject villages to therule and ruled classes of classes The state these abovethem. represented written ofthehostility elites that was common toward ruling among in suchstates.39 to govern itself peasants The state allowed thevillage internally, butextracted a highpricethrough taxation. in these Peasants freeholding villages suffered from their vulnerability:their contact withoutside institutions meant hightaxesand exthe ploitation, and,as a result, thepeasants felt that theworld outside village wasfraught with danger andhostility forthem. Communities lived within their "bamboo hedge" andhad institutions to prevent, as muchas they could,further interference in theiraffairs whichthe hostile worldoutside might bring aboutby meansof alliances with peasants desiring change.40 Suchfreeholding communities had various mechanisms, forexamor redistribute ple,to consume thesurplus of thewealthier peasants. Fiestas, ceremonies, gift procedures, andso forth served toprevent the accumulation by anyone ofresources thatcouldbe usedto form alliances with outside individuals or institutions.41 The fear was that such alliances could form thebasis ofan even more direct andsevere domination ofthepeasants. Sanctions suchas gossip, refusal ofcooperative labor, beatings, ostracism, andbanishment served to insure compliance with thedemands oflocalinstitutions.42
iv (January i972),
149-78; John Duncan Powell,"PeasantSociety and Clientelist Politics," American Political ScienceReview, LXIV (JuneI970), and James C. Scott, 4II-25; "Patron-Client Politicsand PoliticalChange,"paper presented at the AmericanPolitical Science Association meetings (Los Angelesi970). For a concise discussion of the lord-peasant relationship in Brazil,see thebeginning of BennoGaljart, "Class and 'Following'in RuralBrazil,"AmericaLatina,vii (July-September i964). 38F. G. Bailey,Caste and the EconomicFrontier: A Village in Highland Orissa (Manchester I957), 255. 39 HarumiBefu, "The Political Relation of theVillage to the State,"WorldPolitics, xix (JulyI967), 60i-20. 40 See, for example, JohnT. McAlister, Jr.,and Paul Mus, The Vietnamese and TheirRevolution (New York i970). 41 See, forexample, ibid., 33; Eric R. Wolf,"Closed Corporate PeasantCommunitiesin Mesoamerica and CentralJava,"Southwestern Journal of Anthropology, XIII in Guatemala," (SpringI957), 4; ManningNash, "Political Relations Social and EcoVII (March I958), 69; and Sol Tax, PennyCapitalism: nomicStudies, A Guatemalan IndianEconomy(Chicago i963). 42 See Melvin A Case Studyin the Dynamics M. Tumin,Castein a PeasantSociety: of Caste (Princeton E. Hagen, On the Theoryof Social Change: I952), 3I; Everett

Harumi Befu has what F. G. Baileyhas called imperium.38 through

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Who were thosein the minority with suppressed feelings?Most probably, they werethosepeasants who contributed disproportionately to the maintenance of village institutions.43 Althoughtheyreceived honorand prestige withinthe community, theywere aware of other, larger reference groupsoutsidethe village.Becauseof theirresources, theywere in a much less vulnerable positionthan theirneighbors. They recognized instances in whicheconomicinvestment was foolish becauseof instability outside, but at othertimestheyfeltthatoutside investment would be worth theriskif internal restraints did not exist. The severe internal sanctions meant, however, that there was no cushion in case of failure-rejection in the outsideworld would mean total isolation. In sum,therewere twinforcesat work in traditional peasantvillages.44 Therewas thelureof thereference outside thevillage,45 groups which was counteracted by the functioning of the community. The peasant was nota "free" economic individual who couldchoose between differing and opportunities. life-styles he operated Rather, withina set ofinstitutions-institutions thatgavehimprotection and other services, while at the same time placing severeconstraints on his behavior. Whether theseinstitutions centered aroundlordsor freeholding communities, their corporate nature puttheindividual in a position of little Personalorientation to changemattered flexibility. muchless thanthe institutional themeansto change. guardsagainst employing Sincetheorientation to abandonvillagewaysin favor ofthepatterns outsidethe villagewas alwayspresent an explanation among some,46 of when changeoccursshouldfocuson the conditions underwhich such an orientation could expressitself. Under what conditions was thisbalancein thetension of outwardand inward-oriented forces and
How EconomicGrowth Begins(Homewood, Ill.
i962), 66; and Hunter (fn. 31), 40. Hunter also mentions the use of witchcraft.These sanctions were not always fully effective;some peasants managed to establish outside links and become masters over their formerpeers. 43 See Mehmet Beqiraj, Peasantryin Revolution (Cornell Research Papers in International Studies, i966, V), chap. I. 44 Wilbert E. Moore states that it is most useful to see social systemsin terms of intrinsicstrain.Social Change (Englewood Cliffs,N.J. i963), 67-68. 45See Charles Tilly, The Vendee (New York i967), 59-65, for a discussion of the growth of the influenceof outside norms. 46 Besides Hunter (fn. 31), see Eric R. Wolf, "Aspects of Group Relations in a

ComplexSociety:Mexico,"AmericanAnthropologist, LVIII (December I956), i165; F. G. Bailey, "The Peasant View of the Bad Life," The Advancement xxiii of Science, (December i966), 403-4; and Michael Moerman, Agricultural Change and Peasant Choicein a Thai Village (Berkeley i968), 77.

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when were the costsof outside institutions changed?In otherwords, participation lowered? the involved In villages dominated bylords, thechangein conditions inability or unwillingness of the lordsto continue restraining peasants reafrom making alliances withoutsiders. Thereweretwo interrelated of fromtheeffects sonsfortheloosening of their grip,bothstemming was that the The first statecentralization and imperialpenetration. institulordscameundersignificant competition fromthecentralizing tions ofthestate.47 of thelords'powerlessened This de-monopolization theirabilityto apply effective sanctionsagainst their clients,since alternative sources ofresources and services wereon hand forthepeasants.48 As the The secondreasonalso stemsfromthiscentralization. criteria forprestige and successchangedin the state,the lords often changedtheirbehaviorto maintaintheirsocial position.49 In many casesthismeanta moveto thecity, leavingthelandsin an administrator's hands.Peasants no longer received thelords'personalistic services, suchas fiestas or burialexpenses, but thosewithsufficient resources (a reladistinct as we shallsee) foundthatthenew businesslike minority, with the lords' administrators allowed themmuch greater tionships choiceof action.That is, theforces theiradoption thathad prevented of new toolsand methods becamemuch less imposing thantheyhad previously been.WesleyW. Craig reports such a case of lowering of barriers. On the haciendasin the La Convencion Valley in Peru,the decreased vigilance of the lordsled to theirgranting a requestby the peasants to grow coffee. The decisionwas crucial,for coffee was an export cropthatput the peasantsintonew relationships with outside middlemenand businessfirms. "Once engaged in a commerciallyoriented agriculture," Craig writes, "the campesinos foundthemselves involved in a chainlike sequenceof needs and demands."50 The answeras to when and why the balance betweenthe inward and outwardforces was tippedin freeholding villagesis more comG. William Skinner one historical set of conditions plicated. explores
47 48 49

MudWalls 1930-1960

Scott (fn. 37), 20. See, for example, the statementby William H. and Charlotte Viall Wiser, Behind

Hagen (fn. 42), i92, sees "withdrawal of status respect" as a key element in social change. precipitating 50 Wesley W. Craig, "Peru: The Peasant Movement of La Convencion," in Henry A. Landsberger, ed., Latin AmericanPeasant Movements (Ithaca, N.Y. i969), 293-94. For a furtherreferenceto the stratification under lords and the ability to seize opsee Charles J. Erasmus, "Agrarian vs Land Reform: Three Latin American portunities, Countries,"in Philip K. Bock, ed., Peasants in the Modern World (Albuquerque i969). Erasmus writes of the reconsolidationof holdings after the blockage of hacendados disappears.

(Berkeley i964),

20.

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of wideresulted in the"suppressed which minority's" precipitation institutions a long-term stabilization ofoutside spread change. In China, and outsiders. Such led to numerous new alliances between peasants enough ofoutside participation reduce theinsecurity stabilization could thecomwithout taketheriskof beingleft to makesomepeasants munity's protection.5' that stabilization oftheoutside is a long-term process Yet,political ofmodernizacannot andrapid process explain theuniversal byitself ofa change In the last there hasbeen oneprecipitant tion. twocenturies, to ofthe freeholding village ability ofconditions which hasweakened the This precipitant new alliances. from making prevent somemembers thepeasant differentially within was an economic crisis that was felt notat all. very hardandsome households being struck villages-some ofcrisis theconwhich, byundermining I believe that type itwasthis could effectively restrain the ditions underwhichlocal institutions strength oftradithecorporate feelings, broke minority with suppressed in Latin America and Asia crisesin peasant Economic villages in lord-dominated as did thechange from theefvillages, stemmed, ofworldwide in theeighteenth and nineteenth cenfects imperialism In a variety ofways, a chain ofevents turies.52 setin action imperialism for to keep that madeitincreasingly difficult households many village their income is one of the Population growth expenses. equalto their most oftheeconomic crisis canbe attributed to that causes important The exactprocesses in thetremendous involved risein imperialism.
51 Skinner, "ChinesePeasantsand the Closed Community: An Open and Shut and History, xiii (JulyI97I), 270-81. Studiesin Society Case," Comparative 52 The imperialism of the eighteenth and nineteenth centuries came primarily the mechanism through of colonialism. I have used the word imperialism, however, the idea of a transfer to convey of wealthfrom the ruralareasto outside centers. This thedominance of occupation. need notcomeonlythrough It is also important to note as Galtung is not merely an international that, points out,imperialism but relationship of intraand inter-national The center relations. of the colony, a combination forexas a bridgehead forthecolonialists. served ample, "A Structural Johan Galtung, Theory of Imperialism," Journal of Peace Research, ViII, No. 2 (1971), 8i-iI7. One can also fromthe peripheries to the centeras being almost thinkof a case of such transfer the international whollyinternal element to fitit into the rubric (Japan) without of I have used the word imperialism imperialism. becauseof its effect Nevertheless, in thevarious uniting peripheries (albeitin whatGaltungcalls a feudalinteraction) and and simultaneously. For a collection suchcrises causing of interesting universally articles see RobertI. Rhodes,ed., Imperialism on the effects of imperialism, and UnderdeA Reader (New York I970). Also see Theotonio Dos Santos,"The Strucvelopment: American EconomicReview,LX (May I970), 23I-36. For an tureof Dependence," viewon theroleof imperialism, see Carol Ann Cosgrove, opposing "ColonialLegacies in the Third World (Part I)," International and Development Prospects iv Relations, (May I972), 52-77.

tionalinstitutions.

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natural increase are complex and not yetfully but the understood, effect wastoburden withmore members many (butnotall) families than they couldsupport. Another causeof suchcrises, as bureaucratic centralization proceeded, was an increase ofdemands on thepeasants. Manywerenow forced to findtherarecommodity of cashto pay taxes rather than the share ofthecrop hadalways they given. Moreover, thetaxes were demanded from individuals andnotfrom as thevillage a whole, preventing internal redistribution priorto payingtaxes.53 Finally, the industrial of the imperialists products often destroyed markets for peasant which had beenan important handicraft, source ofincome.54 All three factors-population increased state and growth, demands, erosion ofthehandicraft market-placed numerous housefreeholding holdsin severe financial straits. The solution was very theysought much traditional along lines. Without tiesto outside institutions (and fearing thatsuchtieswouldmeanonlyincreased the exploitation), needy turned forhelpto others in thevillage who had escaped the
crisis.

In thepast, within upwardand downward thevillage's mobility status hadbeenshaped system ofonefamily bytheill fortune andthe of another. good fortune Sellingland and givingloans fromone household to another raised thestatus of someand lowered thatof others. Thepersistence, andscope oftheeconomic severity, crises stemfrom the three ming factors described here hadtheeffect ofcontinually theposition ofthose strengthening whohad notbeenaffected, andof thegap between widening them and those in need.The socialstructure was no longer marked by thefluidity of thepast;55 instead, it became polarized-an increasing of thevillage's proportion resources intothehands coming of thefewwhohad escaped thecrisis. While some soldlandandwent into deeply debt, others built their power positionto thepoint where no longer they had to fearthesanctions of the The effectiveness community. ofsanctions hadpreviously depended on fairly equal reciprocity; now,thosein control of manyvitalresources didnotneedtofear those whose survival depended on these re53McAlisterand Mus (fn.40), 36,4I, 73-74, notethedevastating effect thesechanges in tax policy by the Frenchhad in Vietnam. 54See,forexample, ZekijeEglar,A Punjabi Villagein Pakistan(New York i960); Gaon: Conflict Henry and Cohesion Orenstein, in an Indian Village(Princeton I965); Peter A Malay Villageand Malaysia:Social Valuesand RuralDevelopment J.Wilson, (New Haven i967); and Shu-ching and Social Upheavalin China," Lee, "Agrarianism The American Journal LVI (May I951), of Sociology, 5I7-i8. 5 A Chinese proverb states, "Nobodystaysrichforthreegenerations; nobodystays poorthree generations." McAlister and Mus (fn. 40), 33.

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ofsanctions, those totheweakening who Simultaneous sources. peasants had not been affected by the economiccrisisfound that theirnew of others, wealth,achievedthroughthe misfortune gave them the in a significant numalliances.56 Once involved meansto form outside had an evenstronger base from which berof outside institutions, they in the village.57 Externaltieswere now used to fortify their positions morethaneverbefore to shape the village'sinternal power structure.
CONCLUSIONS

described here to explainchangeemphasizethe hisThe processes the feelings toricalweakeningof institutions thathad suppressed of in the worldoutsidethe who wereoriented towardmobility peasants at leasttwo different setsof village.They also help us to understand reasonsfor abandoningtraditional The patterns and commitments. and first was the desire, on thepartof thosewith sufficient resources in a system to achieve and success widerthanthat wealth, recognition ofthevillage. new modesofbehavior were When therestraints against had been in thepast,theymade their no longeras formidable as they in the wider statussystem, move.Their desireforupward mobility and their ofsufficient possession resources to playthegame outside, led themto adoptthepatterns ofbehavior of theoutside. For them, social of the old, meant the simultaneous the abandonment mobilization, of thenew waysassociated withmodernity. adoption A secondsetof reasons forabandoning theold concerns thatgroup ofpeoplewho had reliedon thefunctioning of the traditional institutionsto protect and servethem,and who lacked the resources to advancein thewiderstatus After theland consolidation system. and the economiccentralization by the fortunate few, theyfound that they wereleftnotonlywithout resources but also without community protection. The sanctions and customs thathad called forredistribution within thevillagewereno longeroperative. The barriers againstoutsidealliances, whichcouldlead to increased economic exploitation, had fallen. Buttheir skills foradvancement in thewidersystem werenegligible.
56 In Thyagasamathiram, MadrasState, India,as restrictions imposed by theBrahmin casteeased,thosein the non-Brahmin casteswho had more resources increased their wealth. Theirland accumulation reduced of others opportunities to acquiremoreland. DagfinSivertsen, WhenCasteBarriers Fall: A Studyof Social and EconomicChange in a SouthIndian Village(New York i963), IOI-2. 57 See,forexample, T. S. Epstein's discussion of thevillageof Wangala,India,as an illustration of how thosewho are better offuse outsidetiesto solidify and strengthen their position. Economic and Social Changein SouthIndia (Manchester Development I962).

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Thesepeasants became laborers who makeup an inthelandless creasing portion ofrural society;58 many of them arepartof thevast worldwide migration from countryside tocities andtowns.59 Theyhave undergone social mobilization, butthey arenotprepared to abandon their long-held patterns. Theyhaveneither theresources northeorientation to change. For them, socialmobilization has not beenat all coincidental withmodernization. Whenthey can,they do utilize aspects of themodern world.60 Somelearntherulesof thegameand adapt their economic behavior to therealities they face. theworldoutside However, a hostile arenato thevillage remains them. Theyfeelweak and vulnerable, maintain and,as a result, as of their many old institutions as they can fortheir Deprotection.6" spite thedecline ofthecorporate village and thelord, many peasants continue to use smallkinship and neighborhood groups as a means toprotect theindividual against outside exploitation andas a corporate means tomove upward in thewider status system.
58"For example, in India between i91I and I93I, there was an increase of 53.4% in agriculturallaborers-from 2I.7% to 33.3% of the total agriculturalpopulation. M. C. Dantivala, "Problems in Countries with Heavy Pressure of Population on Land: The Case of India," in Kenneth H. Parsons, Raymond J. Penn, and Philip M. Raup, eds., Land Tenure (Madison, Wis. I956), I36. The green revolution in the i960's seems only to have acceleratedthe process of land consolidation at the expense of the weakest. In the Indian Punjab, they seem to have sufferedan absolute economic decline. Francine R. Frankel and Karl von Vorys, "The Political Challenge of the Green Revolution: Shifting Patternsof Peasant Participationin India and Pakistan," (Policy Memorandum No. 38, Center of International Studies, Princeton I972). In the Sahiwal District of Pakistan, the income of the 70% of the population hovering near subsistencehas declined relativelyin the i960's, and a good portion has declined absolutely as well. Carl H. Gotsch,"The DistributiveImpact of AgriculturalGrowth: Low Income Farmers and the 'System' (A Case Study of Sahiwal District,West Pakistan)," paper presented to the Seminar on Small Farmer Development Strategies,The Agricultural DevelopI971), 52.

mentCounciland The Ohio StateUniversity (Columbus, September I3-I5,

One study on Pakistan has shown that, between i959 and i969, those with less than Io acres and those with IO to 25 acres lost I2.2% and 6.9% of their land respectively. Shahid Javed Burki, "Development of West Pakistan Agriculture: An Interdisciplinary Explanation," paper read at the Workshop on Rural Development in Pakistan, Michigan State University(East Lansing, Julyi6, I971), 28. 59 On this phenomenon, see, for example, James P. Grant, "Marginal Men: The Global UnemploymentCrisis," Foreign Aflairs,L (October I970), II2-24. 60 An interesting example of such syncretism occurs in an African tribal dance. Here, low-statusurban workers seek to express their traditional tribal solidarity but use prestige-creating European clothes-a sign of their recognitionof the new rules in the statussystem."Those who by virtue of their position in the communitycan command littleprestigein everydaylife,on Sundays don the symbolsand outward marks of rank and display these in front of the admiring spectatorsat the dance arena." J. Clyde Mitchell, The Kalela Dance: Aspects of Social Relationships among Urban Africans in NorthernRhodesia, Rhodes-LivingstonePaper No. 27 (Manchester i956), i5. Also see his discussion of worker-management relations and tribalism,33-34. 61 "What appears to the outsider as backwardness can thus be seen as a rational responseto an erraticmarket and exploitativecredit and market mechanisms." Rhodes (fn. 29), 403.

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Culture contact aloneis nota sufficient condition of culture change.62 In the peasantvillagesof Asia and Latin America,where economic crises have hit diflerentially, the old institutions have weakenedsuffitoallowtheoutward-oriented ciently totriumph. Once that forces point has been reached, theresponse of villagers dependson theireconomic position withinthevillage. The focus,in social science,on the individualin the processof changerather thanon traditional institutions and people'srelation to them,has led to a tendency to over-aggregate in studiesof change.63 Dependingon their position in thevillage,there weresome who welcomed the breakdown of the old and readilyacceptedthe new patterns. But there werealso somewho wereforced intopatterns and institutions wheretheywould remainweak and vulnerable. For them, syncretic changemeantsalvaging from theold institutions bit of every protection that theycould.
621Basedon the explanation presented in this article, one can speculate on the differentreactions,by the peasants of Hualcan and Recuayhuanca, to their working experience on Peru's agricultural-industrial plantations.For those with resources to make outside alliances, there must have been a lessening of internal restraintsas well as a sufficiently secure "outside" in which to risk participation.Two elements seem to be important. First, lacking highland grazing pastures, Recuayhuanca had much less agriculturalpotential than Hualcan. Second, Peru's caste systemmade upward mobility for Indians into creole or even mestizo societyimpossible.Thus, in the case of Hualcan, even with a high degree of culture contact those with adequate resourcesdid not find a sufficiently hospitable and secure outside environmentin which to invest and make alliances. The continuing viabilityof the Hualcan economy and prestige systemmay have made it the best place for an Indian to invest for prestige.Recuayhuanca's poverty and lack of agriculturalpotential, however, may have made investmentfor prestige thereeven less invitingthan tryingto break the larger societal caste barrier.There are interesting storiesof how Indians in such cases adopt a mestizo self-identity, dress, etc., but are still considered lower-casteIndians by the mestizos themselves.Severe poverty, and a lack of viabilityof community institutionsstemming from that poverty,may make even an inhospitable environmentmore attractivefor those with resources to invest. 63 See Burki's charges against sociologists and economistswho studied Pakistan (fn.

58),

24

and passim.