October 4, 2015October 4, 2015October 4, 2015Introduction to Political Science1 Nation, Ethnicity, Identity Frank H. Brooks

April 21, 2023April 21, 2023 Introduction to Political ScienceIntroduction to Political Science 11

Nation, Ethnicity, IdentityNation, Ethnicity, Identity

Frank H. BrooksFrank H. Brooks


Nationalism and the Nation-StateNationalism and the Nation-State Territory controlled by modern state typically described as “nation”Territory controlled by modern state typically described as “nation” What is a “nation” then?What is a “nation” then?

– How does it relate to ethnicity?How does it relate to ethnicity?– How does it relate to (other forms of) political identity?How does it relate to (other forms of) political identity?

What is “nationalism”?What is “nationalism”?– Relationship to other ideologiesRelationship to other ideologies– Forms of nationalismForms of nationalism

What problems are associated with nationalism?What problems are associated with nationalism?– Civil war and secessionCivil war and secession– Ethnic cleansingEthnic cleansing– Cross-border conflictsCross-border conflicts


Ethnic IdentityEthnic Identity

EthnicityEthnicity– Ascriptive: characteristics one is “born with”Ascriptive: characteristics one is “born with”– Not necessarily salient (i.e. may not be “essential”)Not necessarily salient (i.e. may not be “essential”)

Ethnic IdentityEthnic Identity– O’Neill (p. 45): “specific attributes and societal institutions that O’Neill (p. 45): “specific attributes and societal institutions that

make one group of people culturally different from others”make one group of people culturally different from others”– Can include language, religion, geographical location, customs, Can include language, religion, geographical location, customs,

historyhistory– Institutionalized and passed down over timeInstitutionalized and passed down over time

Ethnic diversity and diversity of ethnicitiesEthnic diversity and diversity of ethnicities– Most societies have more than one ethnic groupMost societies have more than one ethnic group– Ethnic identity defined by different elementsEthnic identity defined by different elements– i.e. may be defined by language in one case, religion in another, i.e. may be defined by language in one case, religion in another,

etc.etc.


National IdentityNational Identity Political identityPolitical identity

– Politically-salient differences, e.g. estate/class; religionPolitically-salient differences, e.g. estate/class; religion– Ethnicity not the only source of political identity (and may not be a source Ethnicity not the only source of political identity (and may not be a source

at all)at all)– Constructed, not “natural” or “ancient”Constructed, not “natural” or “ancient”

National identityNational identity– O’Neill (p. 47): “an institution that binds people together through a common O’Neill (p. 47): “an institution that binds people together through a common

set of political aspirations”set of political aspirations”– Institution or emergent process?Institution or emergent process?

Often linked to hope for sovereignty (political aspirations), e.g. in anti-colonial strugglesOften linked to hope for sovereignty (political aspirations), e.g. in anti-colonial struggles Or, to emergence of new “nations” defined by ethnic grievancesOr, to emergence of new “nations” defined by ethnic grievances

NationalismNationalism– Ideology focused on political centrality of “nation”Ideology focused on political centrality of “nation”– Not necessarily defined in ethnic termsNot necessarily defined in ethnic terms– Source of authority for nation-stateSource of authority for nation-state– O’Neill (p. 48): “pride in one’s people and the belief that they have their O’Neill (p. 48): “pride in one’s people and the belief that they have their

own political destiny that is separate from those of others”own political destiny that is separate from those of others”


Citizenship and PatriotismCitizenship and Patriotism

CitizenshipCitizenship– Purely political: “particular relationship to one state Purely political: “particular relationship to one state

rather than to another” (O’Neill, 49)rather than to another” (O’Neill, 49)– Deals with rights and obligationsDeals with rights and obligations– Citizenship, nationality and ethnicity often interrelated Citizenship, nationality and ethnicity often interrelated

(tho not necessarily so)(tho not necessarily so)

PatriotismPatriotism– ““pride in one’s state” (O’Neill, 50)pride in one’s state” (O’Neill, 50)– Can this be disentangled from nationalism? (particularly Can this be disentangled from nationalism? (particularly

in a nation-state)in a nation-state)


Sources of NationalismSources of Nationalism

Post-Napoleonic Europe (Hobsbawm)Post-Napoleonic Europe (Hobsbawm)– France as revolutionary NationFrance as revolutionary Nation– Napoleon’s armies spread ideal of nationalism (as model of Napoleon’s armies spread ideal of nationalism (as model of

success)success)– Mazzini and “Young Italy” after 1830Mazzini and “Young Italy” after 1830

Central role of professional intellectual classCentral role of professional intellectual class– Role of other classes (national business, peasantry) ambivalent or Role of other classes (national business, peasantry) ambivalent or

hostilehostile– Literacy spreads message of nationalism (in “national” language)Literacy spreads message of nationalism (in “national” language)

Part of modernization processPart of modernization process– Nationalist ideology (especially in former colonies) most advanced Nationalist ideology (especially in former colonies) most advanced

among Westernized intellectualsamong Westernized intellectuals– Hence, rise of “religious nationalism?”Hence, rise of “religious nationalism?”


Forms of NationalismForms of Nationalism

Popular SovereigntyPopular Sovereignty– Individualistic: nation an association of free and equal individualsIndividualistic: nation an association of free and equal individuals– Collectivistic: nation is a collective individualCollectivistic: nation is a collective individual

Membership in nationMembership in nation– Civic: nationality chosen by citizensCivic: nationality chosen by citizens– Ethnic: nationality inherent and unchangeableEthnic: nationality inherent and unchangeable

Three forms of nationalismThree forms of nationalism– Individualistic and civic – e.g. U.S., most of W. EuropeIndividualistic and civic – e.g. U.S., most of W. Europe– Collectivistic and civicCollectivistic and civic– Collectivistic and ethnic (aka “ethnic nationalism”) – Balkans, etc.Collectivistic and ethnic (aka “ethnic nationalism”) – Balkans, etc.

Ethnically-defined nationalism more prone to conflictEthnically-defined nationalism more prone to conflict– Aggressive warfare and tendency to brutalityAggressive warfare and tendency to brutality– Based on seeing other ethnic groups as “Other” and hostileBased on seeing other ethnic groups as “Other” and hostile

Conflict and IdentityConflict and Identity Identity seen as potent source of conflictIdentity seen as potent source of conflict

– Which kind (level) of identity most problematic?Which kind (level) of identity most problematic?– EthnicEthnic– NationalNational– PatrioticPatriotic– CivilizationalCivilizational

Is “identity” the cause or the rationale?Is “identity” the cause or the rationale?– Consider other sources of conflict:Consider other sources of conflict:– EconomicEconomic– IdeologicalIdeological– StrategicStrategic

Isn’t identity a “progressive” forceIsn’t identity a “progressive” force– Consider “identity politics”Consider “identity politics”– struggle for civil and human rightsstruggle for civil and human rights– Devolution of state authority to less abstract, more “humanized” levelDevolution of state authority to less abstract, more “humanized” level



Is Ethnic Conflict the Main Is Ethnic Conflict the Main Source of Civil War?Source of Civil War?

The argument for ethnic conflict The argument for ethnic conflict – Grievances often defined in ethnic termsGrievances often defined in ethnic terms

E.g. an ethnic majority oppresses a minority (or vice versa)E.g. an ethnic majority oppresses a minority (or vice versa) Usually has economic, political and territorial dimensionsUsually has economic, political and territorial dimensions

– ExamplesExamples Hutu v. Tutsi in Rwanda, Congo, etc.Hutu v. Tutsi in Rwanda, Congo, etc. Luo, Kikuyu and Kalenjin in Luo, Kikuyu and Kalenjin in Kenya – disputed elections – disputed elections Indian v. indigenous in Fiji – “coup cycle” since 1987Indian v. indigenous in Fiji – “coup cycle” since 1987 Indigenous v. Europeans in Bolivia Indigenous v. Europeans in Bolivia

– How does ethnic conflict lead to civil war?How does ethnic conflict lead to civil war? Bottom-up or top-down? Bottom-up or top-down? Ethnic diversity v. ethnic dominance or fragmentationEthnic diversity v. ethnic dominance or fragmentation

Other possible causesOther possible causes– Externally-based subversionExternally-based subversion

Can be rooted in ideology, ethnicity, resourcesCan be rooted in ideology, ethnicity, resources External support v. external directionExternal support v. external direction

– PovertyPoverty Maldistribution Maldistribution Relative deprivationRelative deprivation

– Civilizational conflictCivilizational conflict

Ethnic Divisions in KenyaEthnic Divisions in Kenya



Collier: Economics, not EthnicityCollier: Economics, not Ethnicity Ethnic “Diversity” insufficient explanationEthnic “Diversity” insufficient explanation

– Ethnic identity has some economic advantagesEthnic identity has some economic advantages– Ethnic groups have typically aggregated from kin groups, not divided Ethnic groups have typically aggregated from kin groups, not divided

from pre-existing wholefrom pre-existing whole Ethnic Dominance v. Ethnic FragmentationEthnic Dominance v. Ethnic Fragmentation

– Focus on inter-group dynamics Focus on inter-group dynamics – Dynamics (and potential conflict) shaped by relative size and number Dynamics (and potential conflict) shaped by relative size and number

of groupsof groups– Conflict related more to ethnic dominance than to fragmentationConflict related more to ethnic dominance than to fragmentation

Better explanation focuses on rational choice and resource Better explanation focuses on rational choice and resource mobilizationmobilization– Explain HOW identity leads to particular actions, especially conflictExplain HOW identity leads to particular actions, especially conflict– Choice within a “game”Choice within a “game”– ““Budget constraints”Budget constraints”– i.e. a rationalist rather than a culturalist argumenti.e. a rationalist rather than a culturalist argument


The “Clash of Civilizations”The “Clash of Civilizations”

Post-Cold War conflict is between “civilizations”Post-Cold War conflict is between “civilizations”– ““wars of peoples” to establish nationalismwars of peoples” to establish nationalism– Ideological conflict (especially in Cold War)Ideological conflict (especially in Cold War)– Now an interaction/conflict between West and non-West (and Now an interaction/conflict between West and non-West (and

among non-Western countries)among non-Western countries)– Much conflict occurs along “fault lines” of bordering civilizationsMuch conflict occurs along “fault lines” of bordering civilizations

What is a “civilization?”What is a “civilization?”– ““highest cultural grouping of people and the broadest level of highest cultural grouping of people and the broadest level of

cultural identity” (106)cultural identity” (106)– Defined by both common objective elements and by subjective self-Defined by both common objective elements and by subjective self-

identificationidentification– Civilizations older than nation-statesCivilizations older than nation-states– Most important distinction between civilizations is religionMost important distinction between civilizations is religion


Roots of Civilizational ConflictRoots of Civilizational Conflict

More interactions between people of different civilizationsMore interactions between people of different civilizations– Heightens sense of difference, “otherness”Heightens sense of difference, “otherness”– Cultural characteristics less mutable than political and economic Cultural characteristics less mutable than political and economic

onesones Modernization destroying local identities and weakening Modernization destroying local identities and weakening

nation-statesnation-states– Religion fills gap left by globalizationReligion fills gap left by globalization– Cosmopolitanism less likely responseCosmopolitanism less likely response

Civilization consciousness (outside West) a reaction to Civilization consciousness (outside West) a reaction to power of Westpower of West– De-Westernization of elitesDe-Westernization of elites– West v. the Rest?West v. the Rest?

Economic regionalismEconomic regionalism


The West vs. the RestThe West vs. the Rest

““Western” power at a peakWestern” power at a peak– Economic, military, and political dominanceEconomic, military, and political dominance– Cultural impact on rest of worldCultural impact on rest of world– Impact of Western culture and values superficial and contested Impact of Western culture and values superficial and contested

(e.g. critique of “human rights imperialism”)(e.g. critique of “human rights imperialism”) How to react to Western powerHow to react to Western power

– Direct military or economic challenge unlikely to succeedDirect military or economic challenge unlikely to succeed– Huntington: isolation, joining, balancing (modernizing without Huntington: isolation, joining, balancing (modernizing without

Westernizing)Westernizing)– Other possibilities:Other possibilities:

Terrorism: “asymmetric” force a reaction to overwhelming military Terrorism: “asymmetric” force a reaction to overwhelming military strengthstrength

Economic cartels, e.g. OPECEconomic cartels, e.g. OPEC Channeling conflict into reaction against Western civilization and valuesChanneling conflict into reaction against Western civilization and values


Clash of Civilizations: Clash of Civilizations: A Pseudo-Profound Categorization?A Pseudo-Profound Categorization?

Sen’s critique of categorizingSen’s critique of categorizing– Identifying one key category forces countries (and those within Identifying one key category forces countries (and those within

them) into boxesthem) into boxes– Misunderstands history, particular contexts and political choicesMisunderstands history, particular contexts and political choices

Civilization as a misbegotten categoryCivilization as a misbegotten category– Ignores multiple levels of identity – humans are “diversely different” Ignores multiple levels of identity – humans are “diversely different”

(120)(120)– Behavior (including conflict) relates to which identity we choose to Behavior (including conflict) relates to which identity we choose to

act uponact upon– Other relevant identities “submerged” by emphasis on civilizationOther relevant identities “submerged” by emphasis on civilization– This is a descriptive and ethical mistakeThis is a descriptive and ethical mistake

Specific descriptive problemsSpecific descriptive problems– ““Hindu civilization” makes little sense in describing IndiaHindu civilization” makes little sense in describing India– Many allegedly central elements of Western civilization were Many allegedly central elements of Western civilization were

borrowed from (or emerged first in) other “civilizations”borrowed from (or emerged first in) other “civilizations”


Do Ethnic Groups Have a Do Ethnic Groups Have a “Right to Secede?”“Right to Secede?”

Practically, seen as best response to Practically, seen as best response to nationalist conflicts and breakups nationalist conflicts and breakups – Secession occurring anywaySecession occurring anyway– Response to artificial boundaries cutting across Response to artificial boundaries cutting across

ethnic linesethnic lines– Is this justifiable by international law? Is this justifiable by international law?

Ideological justificationsIdeological justifications– National self-determination National self-determination – Freedom of associationFreedom of association


Does Secession make the problem Does Secession make the problem worse?worse?

Effects of secession before it happensEffects of secession before it happens– Encourages militancyEncourages militancy– Disempowers moderatesDisempowers moderates– Discourages existing states from devolving powerDiscourages existing states from devolving power

Domestic after-effects of secessionDomestic after-effects of secession– Changes domestic political balance in successor statesChanges domestic political balance in successor states– ““Successor” states not homogeneousSuccessor” states not homogeneous– New state may have minorities seeking to splitNew state may have minorities seeking to split– Both may engage in ethnic cleansing after or in anticipationBoth may engage in ethnic cleansing after or in anticipation

Domino Effect - further disaggregation of nation-statesDomino Effect - further disaggregation of nation-states– domestic ethnic dispute becomes international onedomestic ethnic dispute becomes international one– IrredentismIrredentism


Political Responses to Ethnic Political Responses to Ethnic Conflict (other than Secession)Conflict (other than Secession)

Consociational democracyConsociational democracy– Power-sharingPower-sharing– Ethnic autonomyEthnic autonomy

Political incentives to encourage interethnic Political incentives to encourage interethnic moderationmoderation

Choking off financial resources (Collier)Choking off financial resources (Collier)– Cracking down on drug trade, conflict diamondsCracking down on drug trade, conflict diamonds– Controls on expatriate financingControls on expatriate financing

Documents

October 4, 2015October 4, 2015October 4, 2015Introduction to Political Science1 Nation, Ethnicity, Identity Frank H. Brooks