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Historical explanation of the lack of class consciousness in Brazil's middle sector today. Klem, Frederick Hadley 1970

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AN HISTORICAL EXPLANATION OF THE LACK OF CLASS CONSCIOUSNESS IN BRAZIL'S MIDDLE SECTOR TODAY by FREDERICK HADLEY KLEM B.A., Antioeh College, 1968 A THESIS SUBMITTED IN PARTIAL FULFILMENT OF .THE REQUIREMENTS FOR THE DEGREE OF MASTER OF. ARTS in the Department of Anthropology We accept this thesis as conforming to the required standard THE UNIVERSITY OF BRITISH COLUMBIA January, 1970 In p r e s e n t i n g t h i s t h e s i s in p a r t i a l f u l f i l m e n t o f the r e q u i r e m e n t s f o r an advanced degree at the U n i v e r s i t y o f B r i t i s h Co lumb ia , I agree, t h a t the L i b r a r y s h a l l make i t f r e e l y a v a i l a b l e f o r r e f e r e n c e and s tudy . I f u r t h e r agree tha p e r m i s s i o n f o r e x t e n s i v e c o p y i n g o f t h i s t h e s i s f o r s c h o l a r l y purposes may be g r a n t e d by the Head o f my Depa r tment .o r by h i s r e p r e s e n t a t i v e s . It i s u n d e r s t o o d tha t c o p y i n g o r p u b l i c a t i o n o f t h i s t h e s i s f o r f i n a n c i a l g a i n s h a l l not be a l l o w e d w i t h o u t my w r i t t e n p e r m i s s i o n . Department o f Anthropology  The U n i v e r s i t y o f B r i t i s h Co lumbia Vancouver 8, Canada Date January 20 f 1970 ABSTRACT: AN HISTORICAL EXPLANATION OF THE LACK OF CLASS CONSCIOUSNESS IN BRAZIL'S MIDDLE SECTOR TODAY So c i a l s t r a t i f i c a t i o n i s a major area of thought i n t h e o r e t i c a l s o c i a l a nalysis. Although much has since been said i n t h i s area, the theories of s o c i a l s t r a t i f i c a t i o n put forward by Karl Marx remain fundamental. The necessity fo r a s o c i a l class to possess class consciousness i s basic to Marx 1 theories. A. middle s o c i a l stratum has been rapid l y growing i n B r a z i l since the Second World War. This expansion i s due to the growth of industry, urban centers, government bureau-cracy, and other factors. Yet, t h i s middle group seems to lack both an awareness of themselves as a group and a unique set of values. To some extent, the middle stratum i d e n t i f i e s with the upper class. Clearly, the middle stratum lacks class consciousness. For t h i s reason I r e f e r to t h i s group as the middle sector. The problem i s : why does B r a z i l ' s middle sector lack class consciousness? The hypothesis I propose i n solution to t h i s problem i s as follows: B r a z i l ' s middle sector i s , i n a sense, a m i s f i t i n the stream of B r a z i l i a n h i s t o r y . In more than four centuries of European settlement of B r a z i l , the society has been characterized by factors contributing to a bi - p o l a r tendency i n s o c i a l s t r a t i f i c a t i o n . In t e s t i n g t h i s hypothesis, I w i l l examine three of the areas of factors i n terms of the roles they have played i n s o c i a l s t r a t i f i c a t i o n . Although the l i s t of areas c o n t r i -buting to a bi-pol a r tendency i s long, I have l i m i t e d myself to the economic factor, the kinship factor, and the r a c i a l f a c t o r . These three factors w i l l be examined throughout the course of B r a z i l i a n h i s t o r y . The economic structure has been l a r g e l y characterized by large-scale a g r i c u l t u r e , feudalism, and slavery. These i n s t i t u t i o n s involve the control of the many by the few. Two contemporary phenomena which polarize B r a z i l i a n society have come out of t h i s heritage: p a t e r n a l i s t i c treatment of employees, and the concentration of wealth i n the hands of a r e l a t i v e l y few. The kinship system has strengthened the bi - p o l a r tendency i n several ways. • The a r i s t o c r a t i c p a t r i a r c h a l family, which dominated B r a z i l f o r centuries, served to maintain the position of the upper class, and es t a b l i s h a dependency of the poor on the r i c h . The upper-class family continues today as a maintainer of the status quo. The i n s t i t u t i o n s of patronship and godparenthood continue today to f o s t e r a dependency of poor on r i c h . Perhaps the most obvious contribution to the bi-polar tendency i s seen i n the h i s t o r i c a l role of the r a c i a l factor. i i i Slavery existed from the founding of the colony u n t i l a b o l i t i o n i n l£6*6\ Masters were white and slaves were non-white. The non-white population continues to l a r g e l y occupy the lower class, and t h i s s i t u a t i o n i s maintained by often-subtle r a c i a l prejudice. To gain an understanding of the growth of the middle sector, a fourth f a c t o r must be noted: demographic changes. Eecent phenomena are extensive European immigration, and the development of urban centers. The recent nature of these phenomena i s linked to the recent growth of the middle sector. Although B r a z i l i a n society continues, i n many ways, to be bi-polar, the existence of a r e l a t i v e l y large middle sector prohibits a perfect b i - p o l a r i t y i n s o c i a l s t r a t i f i -cation. The existence of the middle sector may be a m i s f i t i n B r a z i l i a n h i s t o r y i n one sense, but t h i s sector's values do not run counter to the h i s t o r i c a l flow. However, the middle sector i s yet i n an early stage of development. Al l a t e r stage - of development may include the formation of a class consciousness. TABLE OF CONTENTS CHAPTER PAGE i . 'INTRODUCTION . 1 II. THE ECONOMIC FACTOR 25 I I I . THE KINSHIP FACTOR 79 IV. THE RACIAL FACTOR 106 V. DEMOGRAPHIC NOTE . 152 VI. THE SYSTEM OF SOCIAL STRATIFICATION . . . . . . 164 V I I . CONCLUDING REMARKS . . . . . . . 187 FOOTNOTES . . . . . . . . 191 BIBLIOGRAPHY 205 LIST OF TABLES TABLE • PAGE I. B r a z i l : Exports by..Main Groups of Products . ...... 27 IT. Domestic Exports from Canada to All-Countries,-1966. v . ... . . .... . . . . ... 28 'IH.- -Brazil: Distribution of Gainfully Occupied Persons by Branch of Activity . -.. . • • . . . 52 IV. Canada: Percentage Distribution of the Employed by Industrial Group, 1967 . . . . . •• 55 V. Regional Total and Per Capita Net Product i n • B r a z i l : 1955 . . . . . . . . . . . . . . . . . . . . . . . .•'56 VI;- Land Ownership i n Brazil, 1940 . . . . . . . . . 65 VIX. Land Ownership i n Brazil, 1950 . . 67 VIII. Land Ownership i n Brazil, I960 . . . 68 IX. Canada: Census-Farms Classified by Size, 1966 . 70 X. Racial Distribution i n those Employments at Bahia i n which Whites Appear to be Pre-dominant, 1936 131 XT. Racial Distribution in those Employments at Bahia i n which Mulattoes Appear to be" Predominant Over Whites, 1936 132 v i XII. R a c i a l D i s t r i b u t i o n i n those Employments at Bahia in.which Mulattoes Appear to be Predominant Over Blacks, 1936 133 XHT. R a c i a l D i s t r i b u t i o n i n those Employments at Bahia i n which Blacks Appear to be Pre-dominant, 1936 134 XIV. R a c i a l D i s t r i b u t i o n i n the Classes at Bahia, 1 9 3 6 136 XV. Minas Velhas: D i s t r i b u t i o n of Wealth, Education,, and Occupation; By Race,. . . . . 139 XVI. Sertao: R a c i a l Ranking of Personal Q u a l i t i e s . 144 XVII. Sertao: Rac i a l Ranking of Inter-Personal Relations 145 XVIII. Minas Velhas: R a c i a l Ranking of Personal :.4^ 'A Qu a l i t i e s . . . 145A. XIX. National Composition of Immigrants to B r a z i l : 1 8 8 4 - 1949 1 5 6 XX. Rural versus Urban Communities i n B r a z i l , 1950 163 XXI. P a r t i a l Correlations of Objective Status Indices with I d e n t i f i c a t i o n , i n B r a z i l . . . 1 8 0 LIST OF FIGURES FIGURE PAGE 1. Relations Between Portuguese Crown, Viceroy of B r a z i l , and Captains-General: 1770s . . . . 36 2. Class D i s t r i b u t i o n o f the Races, Bahia, 1936 . . 137 I . INTRODUCTION S o c i a l s t r a t i f i c a t i o n i s one of the c l a s s i c themes i n s o c i a l analysis. Although i t i s commonly accepted that s t r a t i f i c a t i o n i s something of a universal s o c i a l feature, the t r a d i t i o n out of which analysis of s t r a t i f i c a t i o n comes i s a t r a d i t i o n c l o s e l y linked to the Western c i v i l i z a t i o n of the l a s t several centuries. Before an examination can be made of s o c i a l s t r a t i f i c a t i o n i n L a t i n America, p a r t i c u -l a r l y B r a z i l , i t would be useful to b r i e f l y examine the thinking of some of the major exponents of s t r a t i f i c a t i o n a n alysis. These exponents w i l l be viewed s p e c i f i c a l l y with an eye to the c h a r a c t e r i s t i c s they distinguish as e s s e n t i a l to class analysis. Perhaps the father of s o c i a l class analysis i s K a r l Marx. Marx sees s o c i a l organization as growing out of the s a t i s f a c t i o n of basic human needs—food, clothing, and shelter. The productive system, which s a t i s f i e s these needs, i s the nucleus of s o c i a l organization. A s o c i a l class i s an aggregate of persons performing some function i n the organization of production. 2 As e s s e n t i a l f o r Marx as the economic c h a r a c t e r i s t i c , i s the presence of class consciousness. Marx argues that a class must have a subjective awareness of i t s class i n t e r e s t s and a class only becomes a class with organization.3 His thinking i n 2 class analysis moves along p o l i t i c a l l i n e s , l i n e s of c o n f l i c t . A class conscious p o l i t i c a l organization comes from c o n f l i c t s over economic rewards, easy communication between class members, and a d i s s a t i s f a c t i o n of the exploited with t h e i r e x p l o i t a t i o n . But perhaps most to the point i s Marx's contention that e s s e n t i a l to class formation i s the existence of a common class enemy.^ What emerges out of Marx's thinking on s o c i a l class i s a picture of s t r a t i -f i c a t i o n based on economic d i s t r i b u t i o n and p o l i t i c a l consciousness. To a large extent, the c h a r a c t e r i s t i c s applied to s o c i a l class analysis have not gone very f a r beyond these c h a r a c t e r i s t i c s o r i g i n a l l y applied by Marx. Another thinker i n the area of s o c i a l class analysis i s Thorstein Veblen. Veblen maintains that the emergence of the l e i s u r e class coincided with the beginning of owner-ship.^ But Veblen goes beyond the simple connection between ownership and class p o s i t i o n . He sees wealth not as an end i n i t s e l f , but rather a means to the true basis of class p o s i t i o n , honor. The end sought by accumulation of wealth i s a high ranking i n comparison with the rest of the commu-n i t y . Wealth becomes i n t r i n s i c a l l y honorable, as i t d i s t i n -guishes an i n d i v i d u a l from o t h e r s . 0 With wealth comes the development of a p a r t i c u l a r honorable l i f e - s t y l e , i ncluding abstention from productive labor, and v i s u a l evidence of 7 & wealth and l e i s u r e . Labor becomes an i n f e r i o r a c t i v i t y . 3 Veblen fs consideration of honor, or prestige, i n s o c i a l class analysis i s an important addition, e s p e c i a l l y , as w i l l be seen, f o r L a t i n America. But i t must be stressed that the material f a c t o r i s e s s e n t i a l for Veblen, just as i t i s f o r Marx. Perhaps a closer follower of Marx than Veblen i n s o c i a l class analysis i s Ferdinand Toennies. Toennies distinguishes s o c i e t a l and communal c o l l e c t i v e s . Both are types which are groups t i e d together by common t r a d i t i o n s and i n t e r e s t s . However, the s o c i e t a l c o l l e c t i v e possesses a l l the c h a r a c t e r i s t i c s which the communal c o l l e c t i v e lacks: conscious commitment, r a t i o n a l action, and organization; The communal c o l l e c t i v e i s lacking i n organization and i s capable of merely t a c i t consensus.^ Estates are communal, whereas classes are s o c i e t a l . E s t a t e position i s l a r g e l y determined by b i r t h . Thus, " f r e e " choice of occupation i s l a r g e l y determined by an i n d i v i d u a l ' s s o c i a l o r i g i n s and depends upon the economic s i t u a t i o n from which he originates: sons of semi-skilled and s k i l l e d workers become semi-skilled 11 and s k i l l e d workers i n turn. The points which emerge with greatest force from Toennies* analysis are contained i n two assertions. The d i s t r i b u t i o n of wealth and income i s the 12 factor most strongly promoting s o c i a l class cohesion. The decisive c h a r a c t e r i s t i c of class i s class conscious-13 ness. These assertions c l e a r l y place Toennies i n the Marxist f o l d . The two e s s e n t i a l eharacteristies to be considered i n s o c i a l class analysis are economic d i s t r i b u -t i o n and consciousness. And consciousness, f o r both Toennies and Marx, seems to imply p o l i t i c a l consciousness. Max Weber i s generally considered to be one of the giants i n the t r a d i t i o n of s o c i a l class analysis. As do his fellow t h e o r i s t s , Weber maintains that the s o c i a l order i s conditioned by the economic order. Although both classes and status groups are phenomena of the d i s t r i b u t i o n of power within a community, Weber) makes the d i s t i n c t i o n between the two types. Even i n terms of t h i s d i s t i n c t i o n , power i s seen as ultimately economically based. The economic basis of class i s clearer, the class s i t u a t i o n being comprised of the following f a c t o r s : the t y p i c a l chance f o r a supply of goods, external l i v i n g conditions, and l i f e experiences. This chance i s determined by the amount and kind of power, or ,lack of i t , to dispose of goods or s k i l l s f o r the sake of income i n an economic o r d e r . P o w e r , then, i s economic power. Weber e x p l i c i t l y states that property and lack of property are basic categories i n a l l class s i t u a t i o n s , ^ Status groups, i n contrast to classes, are normally commu-n i t i e s . The status s i t u a t i o n i s broadly outlined by Weber as every t y p i c a l component of the l i f e fate of men that i s determined by s p e c i f i c s o c i a l estimation of honor. Status 1 c honor i s expressed by a s p e c i f i c s t y l e of l i f e . Although 5 classes are more obviously economically conditioned, i n that they are s t r a t i f i e d according to t h e i r r e l a t i o n s to the production and a c q u i s i t i o n of goods, status groups are also economically conditioned. Status groups are s t r a t i f i e d according to the p r i n c i p l e s of t h e i r consumption of goods as represented by s p e c i a l s t y l e s of l i f e . I t i s not sur-p r i s i n g that Weber remarks that classes and status groups frequently o v e r l a p . ^ Yet, he stresses that although the o r i g i n a l source of status was economic, the status system 18 operates independently of the class system. Another school of thought i n the analysis of s o c i a l class i s a school l a r g e l y composed of Americans,; In t h i s school of thought, Weber i s followed^ to a ce r t a i n extent, i n that s t r a t i f i c a t i o n i s viewed as being based on prestige or status. Parsons views s t r a t i f i c a t i o n as based on 19 possessions, q u a l i t i e s , and performances. 7 Warner relates class and status by placing people i n classes by reputa-t i o n a l analysis, that i s , how community members rank each 20 other. A general approach to t h i s problem used by American s o c i o l o g i s t s has been the ranking of occupations 21 i n a hierarchy of prestige. Recent e f f o r t s i n s t r a t i f i c a t i o n analysis have by no means been monopolized by the Americans. A major study at the London School of Economics concentrated on the ranking of occupations i n t o a series of categories. This 6 study also investigated the role of education i n determining 22 status p o s i t i o n . Another approach to s t r a t i f i c a t i o n analysis has focussed on power as the major c r i t e r i o n ; t h i s approach i s taken by both Dahrendorf and Wesolowski. 2^ Many dimensions have been considered i n s t r a t i f i -cation analysis. Two important considerations which I have not yet mentioned are ascribed status versus achieved status, and the degree of i n s t i t u t i o n a l i z a t i o n of the s t r a t i f i c a t i o n system. However, the purpose of t h i s i n v e s t i g a t i o n i s not a comprehensive review of s t r a t i f i c a t i o n analysis. Such an analysis could f i l l and has f i l l e d tomes. The above i s merely intended as a b r i e f , a l b e i t e s s e n t i a l , t h e o r e t i c a l foundation f o r empirical analysis. I believe i t useful here to sum up some of the factors which have been considered i n the analysis of s o c i a l c l a s s . X f i n d Lipset's summary of the dimensions of class to be extremely pertinent. He divides these dimensions into three types: objective, accorded, and subjective. Object-ive dimensions include the power position i n the economic structure, the extent of economic l i f e chances, occupational prestige, amount of power over others and freedom from the power of others, and education. The accorded dimensions center around the amount of status-honor-deference based on the treatment by other i n d i v i d u a l s . Thus, a class i s composed of i n d i v i d u a l s accepting each other as equals. Accorded status dimensions d i f f e r with the siz e of the community, and tend to be inhe r i t e d . F i n a l l y , the subject-ive dimension of class analysis i s how an i n d i v i d u a l perceives himself. This dimension i s dealt with i n studies applying the methods of s e l f - i d e n t i f i c a t i o n and reference group theory.^4 Although many factors have been considered i n s o c i a l class analysis, I cannot help f e e l i n g that the foundation of the matter remains the foundation that Marx b u i l t a century ago. Economic position and class consciousness seem to remain the skeleton of s t r a t i f i c a t i o n a nalysis. Yes, status must be considered. But cannot status be viewed as an extension of the consciousness of differences? And i s not status almost i n v a r i a b l y i n e x t r i c a b l y linked to economic position? Yes, power must be considered. But how often does the c o n t r o l l e r of general power not also control the economic power? However, these are simply my views on the t h e o r e t i c a l framework. The empirical r e a l i t i e s , although l a r g e l y reducible to economic po s i t i o n and class consciousness, involve many factors, and these factors may not have been considered i n the t r a d i t i o n a l t h e o r e t i c a l framework of class analysis. This framework was formulated as a product of Europe and North America during the l a s t few centuries. The h i s t o r i c a l events and situations i n L a t i n America were 8 not the same as those i n Europe and North America. I w i l l examine, below, aspects of B r a z i l ' s class structure i n t h i s h i s t o r i c a l perspective. However, before turning to B r a z i l , i t w i l l be useful to make some generalizations about the class structure f o r L a t i n America as a whole. One point which i s b a s i c a l l y agreed upon by students of L a t i n American society i s the strong t r a d i t i o n of a r e l a t i v e l y well-defined two class system. The upper class was composed of the landowning aristocracy and the lower class was composed of the peasants and the aristocracy's domestic servants. One observer notes that t h i s small, upper class r a t i o n a l i z e d i t s position by invoking divine authority and inherent s u p e r i o r i t y . The family p o s i t i o n e s s e n t i a l to upper class membership was reinforced by wealth. Manual labor was s t r i c t l y forbidden f o r members of the upper class, and respectable professions might be pursued i n the Church, the army, the government, or law.^5 I t must be stressed that the position of t h i s upper class was founded on r u r a l economy. P a r t i c u l a r l y before 1850, the r u r a l emphasis of the r u l i n g e l i t e strengthened the position of the landholding aristocracy. The landholding system of " l a t i f u n d i a s " was t a i l o r e d to the two class system, and the tax structure encouraged r u r a l investment.2° One student of L a t i n America characterizes the t r a d i t i o n a l s t r a t i f i c a t i o n pattern as follows: two classes, with most 9 of the population i n the lower class; high degrees of discontinuity and hi e r a r c h i z a t i o n ; a highly i n s t i t u t i o n a -l i z e d image of s t r a t i f i c a t i o n ; inheritance of norms, values, and a t t i t u d e s ; only s l i g h t chances of mobility.27 I t should be made clear that the above system of s o c i a l class i s by no means a thing of the past. Polar differences p e r s i s t today. The family i s often viewed as remaining the strongest c r i t e r i o n by which wealth, power, and s o c i a l p osition are d i s t r i b u t e d . A prejudice i s s t i l l l a r g e l y held against manual labor. Monumental economic-i n e q u a l i t i e s continue to be found i n L a t i n American societies.^® But nonetheless, L a t i n America has reached the point where i t can no longer be characterized as a simple two class society. Several students of L a t i n America have attempted to analyze the present system of s t r a t i f i c a t i o n pattern as follows: multiple s t r a t a ; low degrees of hi e r a r c h i z a t i o n and discontinuity; an unclear image of the system; frequent'status incongruence; predominant achieve-ment norms, values, and attitudes; high chances of mobility,29 This characterization i s an ant i t h e s i s of the t r a d i t i o n a l s t r a t i f i c a t i o n system. But just as the modern system out-l i n e d above i s an i d e a l type, usually f a r from r e a l i t y , the a n t i t h e t i c a l characterization of the t r a d i t i o n a l system i s also an i d e a l type. Even i n early c o l o n i a l times, the 10 picture of two polar groups i s misleading. Within the upper class existed a small e l i t e which monopolized power. Certain members of the lower class i d e n t i f i e d with the upper class, such as managers, artisans, and traders. In any case, the complexity of the L a t i n American s t r a t i f i c a t i o n system has increased i n recent times. One observer remarks that two upper classes exist today. One of these upper classes i s composed of the descendants of the old landowning aristocracy, and descent i s the fundamental c r i t e r i o n of membership. The new upper class i s composed of the self-made men, t h e i r families and descendants, who have accumulated fortunes through business and/or p o l i t i c s . This new upper class dominates the businesses which are not controlled by foreign corporations. Both the old and the new upper classes are distinguished by t h e i r claim to power and p r e s t i g e . ^ Another observer writes of the breakdown i n the t r a d i t i o n a l l y monolithic upper c l a s s . Although r e l a t i v e rank i n the upper class i s s t i l l mediated by family, and entry i s s t i l l p rimarily based on family, sub-d i v i s i o n s are made within the class on the basis of source of wealth. A d i s t i n c t i o n i s made between wealth which i s inhe r i t e d , i n land, i n mining, or from professional and bureaucratic positions. Problems of c l a s s i f i c a t i o n occur when low family status i s coupled with a high degree of wealth and power, high family status i s coupled with an 11 occupation of low s o c i a l prestige, or high family status i s coupled with a loss of wealth.^ 2 A certain degree of confusion i n applying the t r a d i t i o n a l . s t r a t i f i c a t i o n pattern i s also apparent i n the lower cl a s s . One observer states that at least two lower classes exist today, the. a g r i c u l t u r a l and-the, i n d u s t r i a l . Both are distinguished by the performance of manual labor and incomplete l i t e r a c y . However, the .agricultural lower class can be further divided i n t o small landholding peasants, plantation workers, and workers on i n d u s t r i a l farms.33 The picture which emerges i s one of a t r a d i t i o n a l , system, f i r m l y grounded on r i g i d c r i t e r i a of class and status, being r a d i c a l l y changed and confused by major economic and accompanying s o c i a l changes. The development of L a t i n American economies in t o more than a g r i c u l t u r a l producers has given r i s e to a s o c i a l s i t u a t i o n which cannot be accommodated by a landlord-peasant system of s t r a t i f i -cation. But the s h i f t away from purely a g r i c u l t u r a l economies to economies which include commerce and industry i s only one of the major s h i f t s which have affected L a t i n American s t r a t i f i c a t i o n systems. The other shift, i s i m p l i c i t i n the Wagley and Harris typology of L a t i n American subcultures. Wagley and Harris enumerate nine d i f f e r e n t subcultures: I) T r i b a l Indian, 12 2) Modern .Indian, 3) Peasant:, 4) Engenho ( t r a d i t i o n a l ) Plantation., 5) Usina ( i n d u s t r i a l i z e d , corporation) Plantation, 6) Town, 7) Metropolitan Upper Glass,,B) Metro-politan. Middle Glass, and 9) Urban P r o l e t a r i a t , 3 4 This typology contains a d i s t i n c t i o n which must be added to the a g r i c u l t u r a l - i n d u s t r i a l d i s t i n c t i o n , the rural-urban d i s t i n c t i o n . . To state a truism, from industry follows urban development, and with; urban development a group emerges which ..can f i t i nto neither the t r a d i t i o n a l class of land-holding aristocracy or the t r a d i t i o n a l class of r u r a l peasants. The t r a d i t i o n a l s t r a t i f i c a t i o n system i s adapted to a rural-^agricultural society and cannot r e a d i l y accommo-date urban development. The resultant emergence of the urban middle sector i s a problem with which I am concerned. As I mentioned e a r l i e r , a group existed even during c o l o n i a l times which was neither t r u l y upper class nor truly, lower. This group, included lawyers, doctors, writers, publishers, a r t i s t s , professors, bureaucrats, members of the secular clergy, and lower and middle members of the m i l i t a r y o f f i c e r corps.35 But i t must be stressed that t h i s early middle sector.was t i e d to the upper class through the middle groups 1 education, positions i n the bureaucracy, and t h e i r d i r e c t service of the upper class as lawyers, doctors, —•-and notaries.3° Since p o l i t i c a l administration i n L a t i n 13 America was often directed from. primate, cities (admini-strative and commercial population centers of the Spanish Empire), the middle sector's bureaucratic positions have . always given this group an urban inclination. , However, i t i s clear that the middle sector did not truly emerge u n t i l major changes began to occur i n Latin American society. This emergence was stimulated by the spread of education and expanding opportunities i n trade and industry. An increasing need developed for literate and technically trained people to f i l l positions i n govern-ment and private enterprise.37 The following general trends after 1850 were essential to middle sector emergence: increase of amount of land under cultivation, government encouragement of transportation and communication, moderniza-tion of the principal c i t i e s , 1 revival of mining, introduction and expansion of manufacturing industries, and the develop-ment of banking and finance into v i t a l economic sectors.38 After 1800, commercial-industrial elements emerged with the accompanying necessary occupations of owners, managers, applied scientists, and trained technicians. The people needed to f i l l such positions came, up from the lower class, down from the old aristocracy, and from an influx of immigrants.^9 After.1850, both investment and skilled technicians came from the United States, Canada, and Europe.1 The .flow; of immigrants around the turn-of-the-14 century reached major proportions. The middle sector not only was strengthened i n numbers, but i t acquired a more s t r i c t l y economic o r i e n t a t i o n . ^ These changes also effected a development of the urban sector of the society. Not only were the new industries i n the c i t i e s , but transportation, communication, and f i n a n c i a l managerial groups were urban, as were the expanding govern-mental bureaucracy and i n t e r n a t i o n a l trade. A growing urban labor force emerged, composed of rural-urban migrants and immigrants.^ Furthermore, many immigrants who had o r i g i n a l l y s e t t l e d i n r u r a l areas found the r i g i d r u r a l s o c i a l structure unsatisfactory, and came to the c i t i e s . * 4 ' 2 Since the middle sector of the L a t i n American s t r a t i f i c a t i o n system i s a group which i s of r e l a t i v e l y recent development, i t i s not s u r p r i s i n g that attempted characterizations of t h i s group are complex. Wagley and Harris characterize the Metropolitan Middle Glass as follows: a rapid l y growing group of f i r s t generation professionals and white c o l l a r workers i n business and government; maintains standards of material consumption and prestige c l o s e l y patterned a f t e r the upper class; holds a high value on non-manual labor; emulates the upper class i n housing, clothing, and etiquette; employs domestic servants; members1 s a l a r i e s are often i n s u f f i c i e n t to maintain class standards; members hold several jobs; much of income goes 15 fo r items of high display value; no d i s t i n c t i v e "middle class i d e o l o g y " , ^ As may be seen above, characterizations of the L a t i n i— American middle sector include enumeration of both "object-i v e " c r i t e r i a and commonly held values. Although i t i s d i f f i c u l t , ;I w i l l attempt to di s t i n g u i s h the objective c r i t e r i a of middle sector membership from i t s values, on the basis of the observations of several.other students of L a t i n America." Concerning r e l a t i v e l y objective c r i t e r i a , G i l l i n notes that the large and growing middle segment has access to communication and media, and s u f f i c i e n t education to be informed of the larger world. He notes that although membership embraces a wide s o c i a l span, l i t e r a c y i s a common c h a r a c t e r i s t i c . Concerning t h e i r standard of l i v i n g , he notes that European clothing i s worn, t h e i r dwellings have non-dirt f l o o r s , and they possess and use furniture and -table service of a "decent" pattern.*^ G i l l i n divides the middle segment int o two sectors: 1) those who l i v e from s a l a r i e s or fi x e d fees, and 2) owners of small; to medium sized businesses, farm, owners, and the upper l e v e l of salesmen. The non-owner members of the middle segment are enumerated as including a l l c l e r i c a l and white c o l l a r workers^ most technicians, mechanics, , engineers, farm extension workers, s o c i a l workers, nurses, hygienists, c i v i l servants, and national labor l e a d e r s . ^ Johnson 16 notes common objective c r i t e r i a of middle sector membership as being i n t e l l e c t u a l attainments, education plus some manual labor, wealth, and urban concentration.^? Concerning education, he notes that the t r a d i t i o n a l humanistic educa-t i o n has always been a middle sector c h a r a c t e r i s t i c , but now the educational c r i t e r i o n may also include t e c h n i c a l 48 education. Beals sees the middle sector composed of i n d u s t r i a l i s t s , businessmen, managerial groups, middle members of bureaucracy, s k i l l e d workers, and white c o l l a r workers. . He notes that the middle sector i s primarily 49 urban. Descriptions of the ideology of the L a t i n American middle sector are rather complex. G i l l i n notes that the middle sector makes no claims to power based on ancestry or great wealth. Regarding t h e i r attitude to. material l i f e - s t y l e he states that they s t r i v e f o r a standard of l i v i n g beyond that of the lower class, disdaining manual labor and emphasizing possessions as symbols of t h e i r status. He continues, s t a t i n g that the middle segment i s the group most i n touch with the modern world, most suscep-t i b l e to influences f o r change, and most potent i n the i n t e r n a l and i n t e r n a t i o n a l a f f a i r s of t h e i r own nation. This last . Tobservation concerning, p o l i t i c a l potency i s , to say the l e a s t , debatable. This observer then e x p l i c i t l y enumerates the values of the middle sector as follows: 17 personalism (judgment of i n d i v i d u a l on individual.merits; t r u s t of only personally known people; allegiance on personal considerations), strength of family t i e s (extensive and highly valued kin r e l a t i o n s h i p s ) , importance of hierarchy (strong sense of s o c i a l p o s i t i o n and s t r a t i f i -cation system), tangible material (emphasis on v i s i b l e property), transcendental, values,(importance of aesthetics, a r t s , and philosophy i n d a i l y l i f e ) , emotions (open;expres-sion ) , and sense of f a t a l i s m . ^ 2 I am a f r a i d that the above e x p l i c i t l y , enumerated values t e l l us very l i t t l e about the middle sector as a d i s t i n c t group, because these values are la r g e l y prevalent- across a l l l e v e l s of L a t i n American society. . This observer further states that u n t i l the l a s t twenty-five years, the middle sector copied the l i f e - s t y l e 53 of the old aristocracy. ^ I f t h i s implies that the middle sector, no longer does t h i s , much data would contradict t h i s implication. Perhaps i n sum, I might note two. observations made by G i l l i n to the effect that the middle, stratum i s divided i n both goals and methods, and di v i s i o n s are more obvious than points of view held i n common.He goes so f a r as to state that the middle sector lacks both class consciousness and an e x p l i c i t self-conscious ideology.-*-* Johnson also e x p l i c i t l y enumerates the common id e o l o g i c a l c h a r a c t e r i s t i c s of the middle sector. He l i s t s the following: 1) urban interests,' 2) demand f o r 18 public education, 3) demand f o r rapid i n d u s t r i a l i z a t i o n , 4) nationalism at the l e v e l of a major p o l i t i c a l ideology, 5) demand f o r state intervention i n s o c i a l welfare and i n d u s t r i a l i z a t i o n , and 6) s h i f t of power away from family . . . ^ „ . . . and toward a p o l i t i c a l p a r t i e s . In terms of which people within the middle sector have the strongest influence on the sector's thinking, he notes that teachers and bureau-crats have increasing influence, but the most powerful influence, at l e a s t i n p o l i t i c a l thought, i s exerted by the commercial and i n d u s t r i a l leaders. He also notes that the o f f i c e r corps i d e n t i f i e s with the middle sector and i t s values, but scientists,- technicians, and managers i d e n t i f y 57 with t h e i r employers.*" F i n a l l y , t h i s observer states that the L a t i n American middle sector does not f u l f i l l the central condition of c l a s s , a common background of 58 experience. Beals states that the middle sector has a general orie n t a t i o n to t r a d i t i o n a l upper-class v a l u e s . ^ Accepting upper-class values, the middle sector i s more l i k e the upper class than l i k e the lower c l a s s . ^ ' What then i s the a p p l i c a b i l i t y of the Euro-North American t r a d i t i o n of s t r a t i f i c a t i o n analysis to the L a t i n American s i t u a t i o n today? In my mind, the most e s s e n t i a l elements of t r a d i t i o n a l class analysis are a shared economic position and a shared consciousness. For the t r a d i t i o n a l 19 two class L a t i n American society, a good argument could be made f o r the presence of a true class system. Although some might be i n c l i n e d to c a l l t h i s a caste system, i t i s clear that the two groups were c l e a r l y d i f f e r e n t i a t e d from each other both i n economic position and consciousness of s o c i a l p o s i tion. But possibly more: important than, the sharp l i n e between the two classes are the equally sharp c h a r a c t e r i s t i c s which class members had i n common. B;ut what of t h i s r e l a t i v e l y recent a r r i v a l on the. scene, the middle sector? Surely a wealthy merchant and a poor mechanic cannot be said to share the same position i n the productive system. A basic c r i t e r i o n throughout the t r a d i t i o n a l class analyses has been ownership. How can an owner and a worker be placed i n the same s o c i a l class? But, as i s apparent from North American s t r a t i f i c a t i o n analyses, t h i s consideration has not bothered many s o c i a l s c i e n t i s t s . The argument has been that what i s c a l l e d the middle class i n our society, i s indeed the middle class, because not only do members share a unique set of values, but they think of themselves as middle-class. But what of t h i s group i n L a t i n America? Although members of the middle sector may. share many i n t e r e s t s , I feel,, following G i l l i n , that the middle sector not only lacks a unique.set of commonly shared values, but may even i d e n t i f y with upper-class values. In short, the.middle sector lacks class consciousness. The body of t h i s essay w i l l be an examination of a p a r t i c u l a r aspect i n the s o c i a l s t r a t i f i c a t i o n system of L a t i n America's largest country, B r a z i l . From the preceding remarks, a picture emerges of a growing middle group i n L a t i n American s o c i a l s t r a t i f i c a t i o n . This group i s c l e a r l y present i n B r a z i l . A picture also emerges from my b r i e f examination of s o c i a l class theory of a p a r t i c u l a r l y e s s e n t i a l ingredient i n s o c i a l class formation: class consciousness. The importance of Karl Marx i n the develop-ment of s o c i a l class theory has been noted. In Marxian terms, or r e l a t i v e l y pure t h e o r e t i c a l terms i n general, class consciousness i s necessary f o r a group to t r u l y a t t a i n the status of a s o c i a l class. In l i g h t of t h i s t h e o r e t i c a l consideration, l e t us look at the s i t u a t i o n of the middle group i n today's system of B r a z i l i a n s o c i a l s t r a t i f i c a t i o n . The l i t e r a t u r e on B r a z i l i a n s o c i a l systems i s f i l l e d with statements.pointing to t h i s middle group's lack of class consciousness. Charles Wagley, who may well be the foremost authority on B r a z i l i n American anthropology, has often discussed t h i s s i t u a t i o n i n the following manner: The new middle class shares many values with the small , group which, i n e a r l i e r days formed the B r a z i l i a n middle class-. E s s e n t i a l l y , they have hot yet developed t h e i r own middle class ideology or values i n the same way as the European and North American middle classes. Fundamentally, they s t i l l i d e n t i f y t h e i r aspirations with older and a r i s t o c r a t i c values... In b r i e f , they are not i d e o l o g i c a l l y a "middle c l a s s . " They aspire to the old a r i s t o c r a t i c values of the landed gentry of the eighteenth and nineteenth centuries.°1 Other s o c i a l observers of B r a z i l seem to be i n agree ment with Wagley on t h i s point. One observer speaks of, "...the national bourgeoisie Ts f a i l u r e to become f u l l y conscious of i t s own class i n t e r e s t s and s o c i a l r o l e . . . " ^ 2 Another observer states: Bather than considering themselves a new "middle-class, these newly successful groups have come to share, with the descendants of the old landed gentry, an a r i s t o -c r a t i c set of i d e a l s and patterns of behavior which they have i n h e r i t e d from the n o b i l i t y of the B r a z i l i a n empire.0-' Yet another observer, speaking of the middle group, states: "This class i d e n t i f i e s i t s e l f with the values, ambitions, and standards of the e l i t e , " ^ This observer even goes so f a r as to describe t h i s i d e n t i f i c a t i o n with the e l i t e as, "...a t r a i t of the culture of the middle sector."*^ A f i n a l quote concerning lack of class consciousness i l l u s t r a t e s the fact that not only does the middle group i d e n t i f y i t s e l f with the upper class, but i t seems to be lumped with the upper class i n treatment by the lower class ...a wide b a r r i e r separates two groups of status and power as formed by the aggregate of the upper and middle classes and, on the other side, the lower cl a s s . Thus the middle class i s much farther from the lower than from the higher cl a s s , not only i n i t s orientation,^values, and symbols, but also i n i t s s o c i a l p r i v i l e g e s . The most v i s i b l e and open d i s c r i -mination, and the most manifest tensions, are those 22 operating across the l i n e that separates the two status groups... Those of the lower-class group are expected to be distant and respectful...in,dealing with those of both upper and middle c l a s s e s . . . 0 0 Since I" am unable to obtain first-hand evidence of B r a z i l i a n middle class values and consciousness at t h i s time, I am compelled to accept the evidence I have gleaned from the observations of others. Therefore, I w i l l accept as a given premise the proposition that the middle group i n the B r a z i l i a n s o c i a l s t r a t i f i c a t i o n system today lacks both a unique set of values and a conscious group i d e n t i t y . In the Marxian sense, t h i s group cannot be considered a true s o c i a l class because i t lacks class consciousness. For t h i s reason, I w i l l r e f e r to t h i s group i n the discussion which follows as the B r a z i l i a n middle sector. The problem I propose to deal with may be summed up by one simple question: Why does the B r a z i l i a n middle sector lack a class consciousness? In answer to t h i s problem, my hypothesis rests on the assertion that the middle sector i s , i n many respects, a m i s f i t i n the stream of B r a z i l i a n h i s t o r y . However, the middle sector as a m i s f i t may only apply to the North American and Western European model of the middle class. The nature of B r a z i l ' s middle sector may n i c e l y f i t t h i s group in t o the stream of B r a z i l i a n h i s t o r y as a group quite d i f f e r e n t from i t s northern counterparts. This may be seen i n B r a z i l i a n 23 b i - p o l a r i t y . Several factors throughout B r a z i l i a n h i s t o r y have contributed to the development of a b i - p o l a r tendency i n s o c i a l s t r a t i f i c a t i o n . There are many such factors, each of which has exerted a major force i n the formation of B r a z i l i a n society, and strengthened the bi-polar tendency i n s o c i a l s t r a t i f i c a t i o n . The l i s t of areas df B r a z i l i a n s o c i a l development which would y i e l d f r u i t f u l information to the investigator of the b i - p o l a r tendency i n s o c i a l s t r a t i f i c a t i o n i s long. A major factor i s p o l i t i c a l , with s h i f t i n g oligarchies and recurring strong-man government. Another factor i s the r o l e of regionalism i n creating national s o c i a l imbalances through-out B r a z i l i a n h i s t o r y . Ever-backward education i n B r a z i l has also contributed to s o c i a l p o l a r i z a t i o n . Both the m i l i t a r y and the church have also played roles i n strength-ening the elite-mass dichotomy. Population changes constitute yet another fa c t o r i n building s o c i a l cleavages, both i n terms of the predominantly r u r a l t r a d i t i o n a l population and the urban-rural dichotomy. Even foreign trade and investment have had t h e i r e f f e c t s on the s o c i a l p o l a r i z a t i o n of the people. Because of the v i r t u a l l y endless scope of relevant factors, I am compelled to l i m i t my discussion to only three of these f a c t o r s . I have chosen to examine the .tendency to b i - p o l a r i t y i n s o c i a l s t r a t i f i c a t i o n i n terms 24 of the economic factor, the kinship factor, and the r a c i a l f a c t o r . I have selected these three factors f o r two basic reasons. Of a l l the.contributing factors, these three seem to be among the most c r u c i a l to the formation of b i - p o l a r s o c i a l s t r a t i f i c a t i o n . My second reason involves the i n t e r -locking character of s o c i a l systems. Of course, a l l the possible contributing factors overlap, but the question here i s one of degree. I f i n d the economic, kinship, and r a c i a l factors to be i n e x t r i c a b l y bound to one another. Because of the strength of t h e i r l i n k s to one another, I f i n d i t necessary to consider them together i f I am to do j u s t i c e to t h e i r examination. Without further ado, then, l e t us proceed to examining the economic development of B r a z i l i n terms of s o c i a l s t r a t i f i c a t i o n . T I . , THE ECONOMIC FACTOR Throughout B r a z i l f s history, monocultural agriculture has l a r g e l y dominated the national economy. From the very beginning, Portugal was faced with the task of fi n d i n g a way of economic u t i l i z a t i o n of her t e r r i t o r i e s i n the Americas other than the easy extraction of precious metals. Only thus would i t be able t a j u s t i f y the cost of defending such possessions. ' The way that Portugal found was large-scale a g r i c u l t u r e . In the course of B r a z i l * s history, the mining of gold and diamonds, c a t t l e r a i s i n g , brazilwood gathering, 1 and rubber growing were major economic a c t i v i t i e s . - Yet, the plantation i s present as a theme throughout B r a z i l i a n economic hi s t o r y . As w i l l be shown below, many of the general s o c i a l patterns which developed through plantation agriculture overlapped int o the brazilwood, mining, c a t t l e , and rubber sectors. Another more general theme i n B r a z i l i a n economic history i s the gathering and production of primary commodities. In any case, plantation agriculture was extremely important i n the following forms: sugar cane on the Northeast coast from 1560 to the present, and i n Sao Paulo state from 1950 to the present; coffee i n Rio de Janeiro, Sao Paulo, and Parana, from 1830 to the present; and cacao from 1825 to the present. 0^ In i860, Sebastiao F e r r e i r a Soares wrote: "Labor...has of la t e been exclusively employed i n b i g scale 26 69 farming..." The s i t u a t i o n , at the time of the Second World War, had not changed r a d i c a l l y . B r a z i l was then described as, "...the t y p i c a l large underdeveloped country, with a low and widely varying per capita income, heavily r e l i a n t on foreign trade, and with more than two-thirds of 7G her poor production consisting of primary commodities." The s i g n i f i c a n c e and extent of "widely varying per capita income" w i l l be discussed at length below. Let us now get some idea of B r a z i l ' s continued reliance on primary commodities by examining the recent composition of her exports i n Table I, page 27. In contrast to B r a z i l ' s reliance on the export of primary commodities, f i n i s h e d and semi-finished goods constitute a much larger share of Canada's exports. Table I I on page 28 w i l l i l l u s t r a t e t h i s s i t u a t i o n . Other ind i c a t o r s of B r a z i l ' s reliance on primary production w i l l be presented later. 1 I w i l l examine occupational d i s t r i b u t i o n and other ind i c a t o r s of the economic structure i n my discussion below of i n d u s t r i a l development. B r a z i l ' s economic h i s t o r y i s characterized by the production and gathering of one primary commodity a f t e r another; By way of i l l u s t r a t i o n , l e t us now turn to a b r i e f examination of some of these economic a c t i v i t i e s . The gathering of brazilwood can" probably be considered the f i r s t material i n t e r e s t of the Portuguese 27 TABLE I BRAZIL: EXPORTS BY MAIN GROUPS OF PRODUCTS?! (percentage of total value breakdown) m9 1945 1949 1952 1°?? I. Foodstuffs 58 45 68 82 74 of which: coffee 40 35 58 74 59 cocoa 4 2 5 3 6 II. Raw materials 41 37 29 18 24 of whicht raw cotton 21 9 10 2 9 pine lumber 2 3 3 2 4 iron ore 0 0 1 2 2 raw rubber 1 3 0 0 0 III. Manufactures and other products 1 18 3 0 2 Total 100. 100 100 100 100 28 TABLE; II DOMESTIC EXPORTS FROM CANADA TO ALL COUNTRIES, 1966 7 2 Type of Export Value in $.000 Food, feed, beverages, and tobacco 1,388,293 Live animals 78,002 Crude materials, inedible 1,947*625 Fabricated materials, inedible 4,012,068 End products,, inedible 2,119,324 29 i n B r a z i l . B r a z i l , discovered at the end of the f i f t e e n t h century, held only a s t r a t e g i c i n t e r e s t f o r the Portuguese f o r almost t h i r t y years a f t e r t h i s discovery. B r a z i l was thought of as a s t r a t e g i c spot from which to protect the Portuguese route to the Cape of Good Hope, India, and the Orient. However, the Portuguese soon found brazilwood, the wood from which the country takes i t s name. From b r a z i l -wood, "was extracted a reddish dye that was much i n demand by the woolen manufacturers of Europe, and great quantities of logs were shipped across the A t l a n t i c . . . " " ^ Brazilwood i n i t i a t e d the trend of primary commodities as a major concern. The primary commodity which followed brazilwood i n chronological importance i n i t i a t e d a trend toward plantation agri c u l t u r e , and, i n many respects, cast the die f o r B r a z i l i a n society. The production of sugar i s one of the major keys to the development of B r a z i l i a n society. The circumstances surrounding the introduction of sugar are unclear. It may have been brought from West A f r i c a or i t may have come from the i s l a n d of Madeira. One account gives credit to Duarte Coelho, one of the f i r s t s e t t l e r s . In 1532, "...his f i r s t enterprise was to t r y to plant canefields and set up sugar m i l l s i n Pernambuco.•."74 Another account maintains that, "The f u g i t i v e Jews and convicts who early went to B r a z i l introduced from Madeira i n 1548 the c u l t i v a t i o n of sugar 75 cane by the plantation method." But the origin' of sugar cultivation i s not really essential to this discussion. The important point i s that sugar thrived i n Brazil, and i t s cultivation was early expanded. Crude sugar mills and evaporating pans were built for the extraction of cane juice and the manufacture of coarse sugar. The sugar plantations and their mills came to be the basic economic wealth of the colony. One observer notes: "...the trade spread rapidly a l l along the coast from south to north, including along the strip of the shore, the captaincies of Rio de Janeiro, Espirito Santo, Bahia, and Pernambuco."'''? Sugar plantations numbered 30 i n 1576, 76 i n 15&4, and 121 , 7 8 i n 1625'. Quite early, conclusive demonstration was made that the s o i l and climate of much of the coast were ideal for the cultivation of sugar cane, and by 1550 sugar mills had been built a l l along the coast. Sugar production was also stimulated through measures by the Portuguese Crown subsidizing sugar mills in 1549, and adding a three year tax exemption as incentive i n 1576.^ The extent of sugar cultivation moved one observer to write that i n 1600, "...Brazil had definitely become an agricultural colony with a population of perhaps twenty or thirty thousand white people, most of whom were engaged in the sugar-cane industry." o u The implication here i s that other than "white people" were present i n the population. The 31 significance of this fact, in addition to the role of the non-white population i n sugar cultivation, cannot be over-stressed and w i l l be discussed at length below. It i s clear that sugar production was entrenched i n Brazilian society by 160G, and continued to play an important role throughout Brazilian history. Another important economic activity i n Brazil's history i s the mining of gold and diamonds.- In 1Brazil's central region, gold was discovered i n 169$, and diamonds 81 i n 1729. Gold became an important commodity after 1720, and especially between 1740 and 1760 i n the central 82 region. To convey some idea of the economic importance of gold i n Brazil, i t may be noted that Brazil produced 44 per cent of the world's gold supply i n the eighteenth. 83 century. Later came the development of yet another primary commodity of major importance in Brazilian economic history, coffee. The introduction of coffee to Brazil i s an inter-esting tale in i t s e l f . "In 1727 Maia da Gama, then governor, sent Sergeant-Major Melho Palheta from Belem to the authorities of Cayenne on a diplomatic mission concerning the boundaries between Guiana and B r a z i l . " ^ - Palheta's duties were more than diplomatic. He was to combine polit i c s with economic espionage. The governor had instructed him that i f he had "...occasion to enter an 32 orchard, or garden, or clearing where there i s coffee, you w i l l see whether, under the pretext of trying some beans, you can hide a few, and with a l l possible dissimulation and caution, you must send them straightaway."^ Palheta stole 2,000 beans and two seedling plants. In this fashion, coffee, destined to become the king of the Brazilian economy, was introduced. However, i t was not u n t i l a century after coffee's introduction that commercial exploitation began in earnest: "After 16*30 coffee took the lead over a l l other Brazilian products, especially as an art i c l e of export: the period from 1830 to 1940 i s known 86 as the 'coffee cycle* i n Brazilian economic history." Coffee, like sugar, demanded plantation agriculture. The preceding discussion of the development of some of the economic activities i n Brazil's history i s admittedly superficial. Not only could the activities mentioned have been more deeply explored, but others, such as cacao, cattle, and rubber could have been discussed. However, my purpose i s not a comprehensive economic history. I merely wish to point out the trends toward primary commodities and monoculture. The preceding has only been an attempt at laying scant foundations for a discussion of the effects of Brazil's economic structure on social st r a t i f i c a t i o n . But f i r s t , some understanding must be reached regarding a foundation of both the economic system and i t s 33 resultant s o c i a l structure. Gausal relationships are d i f f i -c u l t to e s t a b l i s h at t h i s point, because the plantation . economy was b u i l t on a feudal system. This being the case, what caused what reduces to the c l a s s i c chicken-egg dilemma. Whatever the answer, the feudal basis of colonization i s c r u c i a l to an understanding of the development of the B r a z i l i a n s o c i a l structure, as well as a basic knowledge of economic a c t i v i t i e s . In 1534, B r a z i l was divided into f i f t e e n captaincies. These p a r a l l e l s t r i p s of land ran up and down the coast from Maranhao to Santa Catarina. The s t r i p s ranged i n width from ten to one hundred leagues, extending inland from the coast to the .Line of T o r d e s i l l a s , that l i n e being the a r b i t r a r y border between Portuguese and Spanish j u r i s d i c t i o n i n the New World. The Portuguese Grown was attempting i n t h i s arrangement to get the maximum benefit from the minimum investment: "By granting to twelve distinguished subjects the right to win and hold separate personal domains i n B r a z i l , the crown sought to confirm i t s claims i n the West-ern Hemisphere at l i t t l e cost to the royal treasury, f o r each donatary agreed to colonize, develop, and defend his captaincy at his own expense."**? Another h i s t o r i a n views these hereditary captaincies as, ...a compromise between the concession system and di r e c t colonization. They were grants, of an inalienable nature, allegedly given i n consideration of services rendered, to nominees of the Crown.°° 34 Chroniclers generally agree that the captains enjoyed i n t h e i r captaincies the unlimited power of feudal l o r d s : "...the ri g h t s of the free colonists.and the harsh duties of the slave laborers took form i n the w i l l and acts of the grantee m i l i t a r y chief and i n d u s t r i a l leader, l o r d of lands and j u s t i c e , d i s t r i b u t o r of farms and punishments, constructor of town and undertaker of wars against the In d i a n s . " 8 9 This feudal scheme of colonization was doomed to early f a i l u r e . Only s i x of the designated captains were successful i n establishing permanent colonies. Some of the reasons f o r the f a i l u r e s are said to be, "...the h o s t i l i t y of the natives, t h e i r own incapacity, and the abuse of t h e i r unlimited a u t h o r i t y . " 9 ^ Some of the captains never reached t h e i r destinations, and others were eaten by Indians. One observer notes that the o r i g i n a l system of captaincies was 9 1 considered a f l a t f a i l u r e by 1 5 4 9 . In 1 5 4 9 , the Crown revoked the unlimited powers of the hereditary captains, but the captains were s t i l l permitted to keep t h e i r grants of land. The duties of the private captains were assumed by royal o f f i c i a l s , and the whole colony was placed under "...a captain general who was expected to correct abuses and to unify the governmental 92 p o l i c y . " 35 But the s i t u a t i o n was f a r from being as simple as i t may appear. Although the extinction of the private captain-cies was f a c i l i t a t e d by the granting of pensions, t i t l e s , and royal confiscation of land, i t was not u n t i l 1791 that the l a s t captaincy was taken over by the Crown.^ Further-more, although Tome de Sousa was nominated governor, or captain-general, i n 1549, " . . . f o r over a century each capitania functioned f o r a l l p r a c t i c a l purposes as a separate colony with i t s own regional economy and way of l i f e . - 9 4 By 1720, the top c o l o n i a l administrator of B r a z i l was c a l l e d the Viceroy. However, t h i s impressive t i t l e did not a l t e r the fact that the Viceroy, as his predeces-sors, was e s s e n t i a l l y powerless. Each captaincy-general, as the captaincies were now ca l l e d , e f f e c t i v e l y ruled 95 i t s e l f . The i n d i v i d u a l r u l e r s of B r a z i l ' s administrative units, the captains-general, had t h e i r nomination and removal e n t i r e l y determined by the Crown. The Viceroy could not require them to submit to his j u r i s d i c t i o n i n administrative, economic, or f i s c a l matters. The Viceroy had to appeal f o r assistance to the captains-general i n the form of requests, rather than commands.9° The admini-s t r a t i v e chart of c o l o n i a l B r a z i l i n Figure 1, page 36, w i l l convey some idea of the large: degree of feudal independence of each captaincy-general u n i t . Legend: Gap. Gen. of Mato Grosso Gap. Gen. of Goicis Grown Cap. Gen. of Sao Paulo Viceroy of Brazil Flow of Correspondence Cap. Gen. of Minas Serais <—» Cap. Gen. df !Bahia < — » Cap. Gen. of fc'ernam-buco FIGUEE 197 RELATIONS BETWEEN PORTUGUESE CROWN, VICEROY OF BRAZIL, AND CAPTAINS-GENERAL: 1770s 37 This feudal foundation was, i n the course of B r a z i l i a n history, b u i l t upon with a complex structure of feudal and serai-feudal r e l a t i o n s h i p s . Before examining some of the i n t r i c a c i e s of these relationships, l e t us f i r s t look b r i e f l y at some d i r e c t l y feudal elements i n the current of B r a z i l i a n h i s t o r y . The rulers of the captain-cies i n the sixteenth century were empowered to make land grants to a l l Christians who applied f o r them. Later, the l o c a l captains-general and governors could also grant lands to c o l o n i s t s . These grants were ca l l e d "sesmarias" and were granted f o r perpetuity. 7 The "sesmarias" were often used f o r the c u l t i v a t i o n of sugar, and, "The sugar industry gave r i s e to a large class of proud and powerful feudal masters, who were v i r t u a l l y independent of the metropolitan s t a t e d 9 Another h i s t o r i a n speaks of, ...the almost absolute power of the sugar planters. P r i v i l e g e d as they were by the.King, they were able to become r e a l feudal l o r d s . . . The dominance of the landed aristocracy, which developed during c o l o n i a l days, continued i n t o the nine-teenth century. In 1822, B r a z i l became independent of Portugal, and an emperor ruled the Empire of B r a z i l . But t h i s major p o l i t i c a l change did not mean the end of the landed aristocracy's power: "...under the Empire i t was s t i l l the "fazendeiros" (landed aristocracy) and t h e i r sons educated i n the l i b e r a l professions who monopolized... 38 i n general a l l positions of authority, and e f f e c t i n g the s t a b i l i t y of i n s t i t u t i o n s by t h e i r unquestioned dominion."-'-1 The extensive coffee c u l t i v a t i o n , which developed i n the days of the Empire, was accompanied by a culture which bore strong resemblances to the culture associated with sugar production: Coffee "fazendas" (plantations) tended toward s e l f -s u f f i c i e n c y ; they were worked by slave labor, and planters constituted a proud, hereditary "baronage"... As a r u l e , the only land to be parcelled into small farms was exhausted and m a r g i n a l . 1 0 2 This feudal current was also present i n the l o t of the European immigrant brought to B r a z i l i n the second h a l f of the nineteenth century f o r coffee c u l t i v a t i o n . The immigrant arrived i n debt f o r the passage of himself and his family, and was given a house and some food. He cultivated a given number of coffee trees, or area of sugar cane, and took the harvest to the owner's m i l l , where he received h a l f of the r e s u l t a f t e r m i l l i n g . Although the immigrant was, s t r i c t l y speaking, an indepen-dent worker, he began with a large debt, earned no wages, and never owned land. His welfare was e n t i r e l y dependent on the success of the crops and the goodwill of the owner. In short, t h i s system was "...a system not f a r removed from serfdom." 1^ A feudal current was also present i n the c u l t i v a t i o n of Amazon rubber i n the l a t e nineteenth and early twentieth 39 centuries. There, the migrant worker also began heavily i n debt f o r his t r a v e l l i n g expenses, as well as the costs of working tools and i n s t a l l a t i o n . Also: To feed himself he was dependent on supplies which were manipulated under a regime of s t r i c t monopoly by the same entrepreneur to whom he was indebted and who bought the product of his labor. The great distances and the precarious nature of h i s f i n a n c i a l s i t u a t i o n reduced the nnord|g^ino n (northern migrant) to a regime of s e r v i -tude . This servitude may have approached v i r t u a l slavery. Another observer reports that, "From the trading post, situated s t r a t e g i c a l l y at the mouth of a t r i b u t a r y , the owner kept watch with r i f l e s so that his gatherers could not escape downriver.. ,»»^^ Coupled with feudalism and monoculture as building blocks i n the foundation of B r a z i l ' s economic structure was another overwhelmingly s i g n i f i c a n t i n s t i t u t i o n : slave labor. Although the importance of the slave to the t o t a l B r a z i l i a n society w i l l not be discussed u n t i l l a t e r , i t w i l l be useful to examine here the slave's role i n the economic development of B r a z i l . From the outset of Portuguese settlement of B r a z i l , slaves were used as units of production. Negro slaves are said to have worked i n the f i r s t sugar m i l l set up i n SSo Vicente. One h i s t o r i a n believes that Martim Affonso de Sousa came upon a f l e e t at Bahia i n 1531 which was engaged i n transporting slaves to Brazil."'"^ Slave labor 40 was used i n the gathering of B r a z i l ' s f i r s t commercial commodity, brazilwood: "In the f i r s t quarter of the seven-teenth century Portuguese concessionaires were employing Negro slaves to cut the logs and were using pack animals to carry them long distances to the coast." 1 07 Throughout the cycles which characterize B r a z i l i a n economic history, the slave i s present. Following the ex p l o i t a t i o n of brazilwood and the introduction of sugar, came the discovery of mines and the introduction of coffee. These new a c t i v i t i e s merely s h i f t e d the economic point of support of the c o l o n i a l aristocracy, and the slave was 106 retained as the instrument of e x p l o i t a t i o n . As i s so often the case, monoculture went hand-in-hand with slavery, and the slave was used i n other a c t i v i t i e s as w e l l : " . . . i n the sugar and cotton f i e l d s of the northeast and Maranhao province, on the sugar and coffee plantations of Rio de Janeiro and Sao Paulo, the mines of Minas Gerais and i n domestic service and as day laborers i n a l l parts of the country, e s p e c i a l l y i n the p r o v i n c i a l c a p i t a l s and coastal c i t i e s . " 1 0 9 F i r s t , the slave was e s s e n t i a l to sugar. An early B r a z i l i a n chronicler writes: He, the Negro, was and i s f o r sugar cane, what the sugar cane was f o r t h i s country. Certain i t i s that without him i t would never have been the p r i n c i p a l means by which B r a z i l grew r i c h and n o b l e . 1 1 41 The Negro slave occupied v i r t u a l l y a l l positions i n sugar c u l t i v a t i o n : woodcutters to clear forests; a g r i c u l t u r a l i s t s to prepare s o i l ; s p e c i a l workmen to set up and repair m i l l s , water wheels, canals, and i r r i g a t i o n ; oarsmen and boatswains f o r barges; firemen f o r m i l l furnaces; carpenters, joiners, smiths, masons, tilemakers; domestic servants; fishermen and hunters. 1 1" 1" The e s s e n t i a l role slaves played i n B r a z i l ' s economy i s expressed i n the reply to a l e t t e r written i n 1706 by Governor Dom Rodrigo do Costa to the Portuguese Overseas Council concerning B r a z i l ' s troubled economic s i t u a t i o n . The Overseas Council's reply states: ...the s u f f e r i n g B r a z i l i s experiencing, which as • experience i s proving may increase as time goes on, r i s e s from the lack of Negroes and the i n s u f f i c i e n t number of Nthem imported-for work irt the m i l l s , i n tobacco c u l t i v a t i o n , and i n the mines. The chief i n t e r e s t of i n d i v i d u a l s there i s to divert to the mines those Negroes-^hat were intended f o r the m i l l s and tobacco f i e l d s . This was indeed a problem, the colonists f i n d i n g slaves e s s e n t i a l f o r both sugar c u l t i v a t i o n and mining. The discovery of gold i n central B r a z i l brought on a gold-rush of population to the mining area. Many Portuguese went to the area, and were accompanied by t h e i r Negro slaves. A shortage of f i e l d hands was f e l t on the planta-tions of Bahia, Pernambuco, and Rio de Janeiro."'"^ The shortage became so acute, that a royal decree was issued i n 42 1711 forbidding Negro slaves engaged in agriculture to be sold for work in the mines. The sole exception were those slaves, "...who by the perversity of their character are congenitally unfitted for work i n the sugar mills and f i e l d s . n 1 1 ^ Needless to say, this loophole in the royal decree was wholly exploited. Extremely high prices were paid for slaves by the gold miners, settlers, and merchants of Minas Gerais. As i n the cultivation of sugar, "...most of the actual mining was done by Negro slaves under the supervision of their owners." 1 1 5 Those who did not bring slaves with them when they came to the mines, "...ordin-a r i l y refused to work their gold washings or diggings personally after collecting enough nuggets to buy or hire slaves." 1 1^ The wealth pouring into Brazilian society from the mines enabled not only the aristocracy, but virt u a l l y a l l Europeans, many mulat-toes, and even some Negro freedmen to become slaveholders. 1 1 7 In addition to the use of slave labor, mining bore another resemblance to monocultural agriculture. That i s , i n mining i t was "...exploitation on a large scale that prevailed: large 118 units worked by slaves." The seventeenth century also saw the expansion of slave labor into other economic a c t i v i t i e s . During this period, Negro slaves became architects, shoemakers, sculptors, ironworkers, and artisans in general. 1 1 9 In 1757 Count de Arcos, then Viceroy of Bra z i l , wrote a letter to Jose de Carvalho, Marquis of Pombal. In this letter the Viceroy speaks of slaves as being the 43 most.important merchandise i n America. He states: "Without them, the colonists would receive irreparable damage to a commerce that i s already i n a state of decay."120 Cotton i s yet another economic a c t i v i t y i n B r a z i l which u t i l i z e d slave labor. One observer notes that cotton i s even more amenable to large-scale exploitation than sugar. And cotton indeed used a large slave labor force i n B r a z i l . 1 2 1 The monoculture of coffee was and i s one of the most important aspects of B r a z i l ' s economic cycles, and i t , too, u t i l i z e d slave labor. Early i n the Imperial days of the nineteenth century, "...the forested slopes of the proven coffee zone were denuded and planted to the new crop, while tens of thousands of slaves were imported as plantation workers." x The intensive u t i l i z a t i o n of slave manpower used i n sugar c u l t i v a t i o n , was also employed i n the c u l t i -vation of c o f f e e . 1 2 - 3 The magnitude of the property investment i n slaves during the Empire took on immense proportions. In 1845> of an estimated national population of seven to eight m i l l i o n , perhaps one-third were s l a v e s . 1 2 ^ The discussion above should make i t clear that, to a large extent, B r a z i l i a n economic his t o r y i s characterized by feudalism, monoculture, and slave labor. As a f i n a l area of discussion i n laying down a foundation f o r examining 44 the effects of economic factors on B r a z i l ' s s o c i a l s t r a t i f i -cation system, I f e e l i t would be useful to b r i e f l y examine the h i s t o r y of B r a z i l i a n i n d u s t r i a l growth, l e are concerned here with the middle sector, and the l i n k between development of industry and development of t h i s sector i s well-known. Therefore, l e t us add the course of i n d u s t r i a l growth as a contributing f a c t o r to the bi-po l a r tendency i n B r a z i l i a n s o c i a l s t r a t i f i c a t i o n . I f a l a b e l were to be attached to the process of B r a z i l ' s i n d u s t r i a l development, at least u n t i l 1940, evolution would probably be more appropriate than revolu-t i o n , and retarded evolution at that. This aspect of B r a z i l ' s economic h i s t o r y exhibits some of the basic c h a r a c t e r i s t i c s of the c l a s s i c m e t r o p o l i s - s a t e l l i t e r e l a t i o n s h i p . Although B r a z i l was o f f i c i a l l y a Portuguese colony, B r i t a i n played a major role i n B r a z i l ' s early economic development, or, rather, lack of development. Because of Portugal's early waning as a world power, the Portuguese government put i t s e l f under the wing of Great B r i t a i n f o r protection. As f a r as B r a z i l was concerned, t h i s "protection" arrangement took on some of the character-i s t i c s of protection i n the Chicago of 1925. The Methuen Treaty of 1703, between B r i t a i n and Portugal, was an early example of B r i t a i n ' s retarding of i n d u s t r i a l growth i n B r a z i l . Around 1750, the development 45 manufacturing s k i l l s i n B r a z i l may be viewed as dependent upon the development of manufacturing s k i l l s i n Portugal herself, and the mother country t r a n s f e r r i n g these s k i l l s to her colony. Since B r a z i l i a n gold began to flow i n t o Portugal around t h i s same time, the necessary c a p i t a l was present. However, t h i s was also the time when the Methuen Treaty became e f f e c t i v e . Under the treaty, "...the growing demand fo r manufactures coming from the colony would automatically be transferred to England, with no ef f e c t : whatsoever on the Portuguese economy beyond income generated by some brokerage and t a x e s . " 1 2 5 In short, "To the nonexistence of a manufacturing nucleus... must be ascribed the fact that Portugal became an a g r i c u l t u r a l dependency of England." And, since B r a z i l remained a Portuguese colony, the retardation of Portuguese i n d u s t r i a l development could only help perpetuate B r a z i l ' s status as a producer of primary commodities., However, Portuguese industry leading to B r a z i l i a n industry would have been an unusual case i n the hi s t o r y of colonialism. In f a c t , the development of t e x t i l e manufacture i n Sao Paulo, Minas Gerais, and Maranhcio was s u f f i c i e n t l y s i g n i f i c a n t to raise royal alarm i n 1786. The royal reaction i s proof that even i f Portugal had manufacturing s k i l l s , she would not share them with her colony. The following selections from a statement by the Queen of 46 Portugal i n 1786 provide an excellent picture of where the i n t e r e s t s of the mother country l a y : " I , the Queen, l e t i t be known... knowing of the large numbers of f a c t o r i e s and manufactures which, i n recent years, have spread through the various capitanias of B r a z i l , with grave prejudice to the culture and working of the land and of the mineral e x p l o i t a t i o n of t h i s vast continent; because... i t i s obvious that when the number of manufacturers multiply themselves that much more w i l l the number of c u l t i v a t o r s decline... as the extraction of gold and diamonds has already declined since, while they should occupy themselves i n t h i s useful and advantageous (agricultural), work, they on the contrary leave and abandon i t to occupy themselves i n another quite d i f f e r e n t one as i s that of the said f a c t o r i e s and manufactures, and since the r e a l and s o l i d wealth l i e s i n the f r u i t s and products of the earth... I deem i t well to order that a l l the f a c t o r i e s , manufactures or shops of ships, of t e x t i l e s , of gold and silversmithing... or of any kind of s i l k . . . or any kind of cotton or l i n e n , and c l o t h . . . or other kind of woolen goods... s h a l l be extin-guished and abolished i n any place i n which they may be 127 found i n my dominions i n B r a z i l . " ' B r i t a i n continued her r o l e i n B r a z i l during the f i r s t h a l f of the nineteenth century. Economic t r e a t i e s between B r i t a i n and Portugal i n 1$10 gave to B r i t a i n the 47 position of a pr i v i l e g e d power. During t h i s period, B r i t a i n enjoyed both e x t r a t e r r i t o r i a l r i g h t s and p r e f e r e n t i a l t a r i f f s at extremely low l e v e l s . Largely as a resu l t of the above factors, the economic structure of B r a z i l i n I85O was b a s i c a l l y the same structure as had been present fo r the previous three centuries. The sl a v o c r a t i c and mono c u l t u r a l l y oriented /. production had remained e s s e n t i a l l y unchanged. Celso Furtado, a noted B r a z i l i a n economist, remarks that, "The absence of i n t e r n a l tensions, as a result of t h i s very changelessness, was responsible f o r the very lateness of B r a z i l i a n industrialization.» 1 29 Nonetheless, some i n d u s t r i a l development had taken place by the mid-nineteenth century. To help meet i n t e r n a l needs i n 1845, some manufacture occurred of fu r n i t u r e , pottery, leather, coarse cotton cloth, and several products 130 from sugar cane. In i860, B r a z i l had 72 f a c t o r i e s , and the main manufactured products were soap, hats, cigars, candles, cotton goods, beer, porcelain, and a r t i f i c i a l 131 flowers made from feathers. However, the fact remains that B r a z i l ' s Imperial era (1822-1889) was not, f o r the most part, a period of substantial i n d u s t r i a l development. The commercial p o l i c y of the B r a z i l i a n Empire was e s s e n t i a l l y one of free trade. Under t h i s p o l i c y , domestic manufacturers found i t 48 extremely d i f f i c u l t to es t a b l i s h themselves i n the face of the competition of the European i n d u s t r i a l nations, par t i c u -l a r l y B r i t a i n . The plantation owners and trading sectors of the coastal c i t i e s remained the dominant group i n B r a z i l ' s economic structure, and t h i s group had no i n t e r e s t i n 132 promoting i n d u s t r i a l i z a t i o n . ^ A b r i e f survey of the number of i n d u s t r i a l e s t a b l i s h -ments i n B r a z i l indicates the b a s i c a l l y twentieth century character of i n d u s t r i a l development. Only 35 i n d u s t r i a l establishments had been founded by 1850, and only 240 by 1 8 8 0 . T h e number of establishments rose to 626 i n 1889, 3,000 i n 1907, and 13,000 i n 1 9 2 0 . ^ However, a glance at the production composition of these establishments indicates the sharp underdevelopment of industry during t h i s period. In 1889, 60 per cent of production was t e x t i l e s ; i n .19.07, 48 per cent was t e x t i l e s and clothing, and 27 per cent was foodstuffs; and i n 1920, 36 per cent was t e x t i l e s and clothing, and 40 per cent was f o o d s t u f f s . ^ 5 I might note, as an aside, that foreign e x p l o i t a t i o n of B r a z i l ' s economy continued i n the new industry a f t e r 1900. Although the bulk of the c a p i t a l was. B r i t i s h , corporations were also founded by Germans, French, I t a l i a n s , Belgians, Canadians, and North Americans. Of the 201 new corporations between 1899 and 1910, 160 were foreign owned or c o n t r o l l e d . 1 ^ However, the hist o r y of foreign investment i n B r a z i l i s a 49 volume i n i t s e l f , and foreign investment i s not of c r i t i c a l interest to this discussion. To return to the growing number of industrial establishments, the rise from 3,000 i n 1907 to 13,000 in* 1920 i s largely explained by the effects of the F i r s t World War. The manufactured goods which had been supplied by European nations were drastically cut back, eliminating the foreign competition with domestic manufacturing. New industries were created i n Brazil to f i l l the gap, and even to supply markets overseas. During the,period of the war, 5,936 new industrial establishments appeared, and the value of industrial production rose by 212 per cent between 1914 and 1919. 1 3 7 Although industry had received a real boost from the F i r s t World War, the end of the war brought a decline in the rate of growth. As compared to 212 per cent between 1914 and 1919, the value of industrial production grew between 1920 and 1929 at a rate of 40 per cent. In 1927, total industrial production was 60 per cent less by value than the production of plantations and ranches. The economic structure seems to have remained basically unchanged between 1920 and 1940. During this period, the percentage of workers employed i n manufacturing rose from 13 per cent i n 1920 to only 14 per cent i n 1940. Also during this period, the workers employed in the 50 primary sector only f e l l from 69.7 per cent i n 1920 to 67.0 per cent i n 1940. Nor did the composition of i n d u s t r i a l production change r a d i c a l l y . I f one r e c a l l s the dominance of t e x t i l e s and foodstuffs i n 1920, the picture w i l l appear very f a m i l i a r i n 1940. In 1940, foodstuffs accounted f o r more than one-third of i n d u s t r i a l production; t e x t i l e s and clothing were les s than one-third; mining, r e f i n i n g , and metallurgy were only 10 per cent; and most of the remainder was divided between chemicals, pharmaceuti-c a l s , lumber, wood products, building materials, and 140 paper. The Second World War provided the boost f o r B r a z i l i a n industry which has l a r g e l y carried through to the present time. As i n the F i r s t World War, one e f f e c t of the Second World War was the elimination of competition from goods of foreign manufacture. This elimination included products which had previously been exclusively supplied from abroad. Furthermore, new markets opened f o r B r a z i l i a n products. In addition to purchase by the A l l i e s of B r a z i l * s staple exports, new export products became areas of i n t e r e s t , such as i n d u s t r i a l diamonds, quartz, mica, and rubber. The e f f e c t s of t h i s boost are seen i n some indic a t o r s of i n d u s t r i a l growth f o r the period 1940 to 1950. The number of manufacturing firms climbed from 40,9^3 i n 1940 to 7^,434 i n 1950. I n d u s t r i a l workers increased from 51 781,185 i n 1 Q40 to 1,256,807 in 1950. The people employed in a l l aspects of manufacturing totalled 1,400,000 i n 1940, and 2,230,000 in 1950. This increase boosted the percentage of the total population (as opposed to working population) in manufacturing from 4.8 per cent in 1940 to 6.1 per cent in 1950. ll>2 The significance of the post-war spurt i n industrial growth i s also reflected in the composition of industrial output in 1950. By 1950, textiles and foodstuffs had dropped to one-half of a l l production by value. Of growing importance were metallurgy, refining, and the manufacture of machinery and equipment for e l e c t r i c a l , transportation, and communication industries. Furthermore, the construction industry i n 1950 employed 10 per cent of the industrial work force, and accounted for 5 per cent of the industrial output. In short, Brazil was beginning to develop a true industrial base. The industrial growth during the 1940-1950 decade i s also seen in Table III on page 52. Industry continued to expand in Brazil u n t i l I960, after which year st a t i s t i c s are lacking. Between 1950 and I960, industrial production increased by 140 per cent, while agricultural production increased by 52 per cent.^^ The composition of the industrial output in I960 indicates the development of a more balanced industrial base. In 52 TABLE III BRAZIL: DISTRIBUTION OF GAINFULLY OCCUPIED PERSONS BY BRANCH OF ACTIVITY (PERCENTAGES) 1^ 1940 1950 Primary sector 71.0 64.4 Agriculture 69.4 62.5 Forestry and f i s h e r y 1.6 1.9 Secondary sector £8.9 12.9 Mining 0,7 0.6 Manufacturing, c i v i l engineering 8.2 and public u t i l i t i e s 12.3 T e r t i a r y sector 20.1 22.7 Commerce 4.7 5.3 Transport and communication 2.9 3.5 Government 2.4 2.5 Professions 1.7 2.6 Domestic services 3.3 3.3 Other services 5.1 5.5 To t a l 100.0 16ft. 0 53 I960, food and beverage processing accounted f o r 26 per cent of the i n d u s t r i a l output by value; t e x t i l e s and clothing were 16 per cent; chemicals and pharmaceuticals were 10 per cent; metallurgy and non-metallic minerals were 15 per cent; and the manufacturing of machinery f o r e l e c t r i -c a l , transportation, and communications a c t i v i t i e s accounted fo r 14 per cent. By I960, B r a z i l was producing v i r t u a l l y a l l types of manufactured products: r e f r i g e r a t o r s , radios, t e l e v i s i o n s , automobiles, glass, toothbrushes, and thousands of other a r t i c l e s . B r a z i l had hydroelectric plants, s t e e l and cement f a c i l i t i e s , and some o i l r e f i n e r i e s . However, we must not lose sight of the s t i l l under-developed state of B r a z i l ' s economy. Although lauding the achievements of B r a z i l i a n industry, Charles Wagley wrote i n I960 that, " . . . B r a z i l i s s t i l l predominantly an a g r i c u l -t u r a l nation...", and " . . . B r a z i l i a n industry i s s t i l l i n an infant stage..."^4$ Indeed, B r a z i l i s s t i l l an a g r i c u l t u r a l nation. Recalling the figure from Table I I I , 64.4 per cent of the working population was engaged i n the primary sector i n 1950. Considering what may be a slowdown i n i n d u s t r i a l growth during the l a s t few years, plus B r a z i l ' s r a p i d l y increasing population, there i s l i t t l e reason to expect the a g r i c u l t u r a l sector to have l o s t i t s position as employer of the majority of the population i n 1969. 54 The occupational d i s t r i b u t i o n i n B r a z i l i s i n marked contrast to t h i s d i s t r i b u t i o n i n Canada. Table IV, on page 55> i l l u s t r a t e s t h i s contrast. The composition of national income also serves to i l l u s t r a t e the r e l a t i v e state of economic development i n B r a z i l . In 1955, agriculture contributed 174.0 Cr$ b i l l i o n , •while industry contributed 106.8 Cr$ b i l l i o n . 1 ' * 0 In contrast, agriculture i n Canada accounted f o r 11.3 per cent of the t o t a l production i n 1966, while industry accounted f o r 56.2 per cent. 1'* 1 Another fact which might be mentioned i s the tremen-dous regional imbalance of B r a z i l ' s i n d u s t r i a l growth. B r a z i l ' s North has been l a r g e l y unaffected by i n d u s t r i a l i -zation. The rapid i n d u s t r i a l i z a t i o n of the past twenty-five years has been l a r g e l y confined to the South, e s p e c i a l l y Sao Paulo. The southern states have a per capita income about 2.5 times that of the northern s t a t e s . 1 ^ 2 Table V, on page 56, i l l u s t r a t e s the staggering extent of regional i n e q u i t i e s . From Table V, one can well imagine that regionalism has played a role i n the development of a b i - p o l a r tendency i n B r a z i l i a n society. However, the l i m i t s of t h i s essay prohibit further discussion of t h i s f a c t o r . The major point that I have endeavored to make with t h i s outline of B r a z i l ' s i n d u s t r i a l h i s t o r y i s that not TABLE IV CANADA: PERCENTAGE DISTRIBUTION OF THE EMPLOYED BY INDUSTRIAL GROUP, 1967 1* 9 Group Percentage Agriculture 7«6 Other primary i n d u s t r i e s 3»0 Manufacturing 23.8 Construction 6,4 Transportation and other u t i l i t i e s 8.9 Trade 16.6 Finance, insurance, and r e a l estate 4.2 Service 29.5 56 TABLE V REGIONAL TOTAL AND PER CAPITA NET PRODUCT IN BRAZIL: 1 9 5 5 1 5 3 Per Capita To t a l Income Population Income (Cr$ m i l l i o n ) (thousands) Cr$ US$ Federal D i s t r i c t 83,496 2.,7.67 30,176 686 Sao Paulo (state) 181,510 10,330 15,571 354 R. Grande do Sul 54,425 4,673 11,647 265 Paranl 30 ,105 2,807 10,725 244 Mato Grosso 5,344 583 9,166 208 Rio de Janeiro (state) 22,448 2,566 8,758 199 Santa Catarina 14,499 1,800 8 ,055 183 Minas Gerais 60,455 8,512 7,102 161 E s p i r i t o Santo 6,582 949 6,936 158 Goi£s 8,206 1,478 5 ,552 126 p — 1 8 , 1 5 1 3,825 4,753 108 3,581 776 4,615 105 5,854 1,291 4,534 103 23,366 5,380 4,343 99 Pernambuco Amazonas Para Bahia ^ j t j w >»,^t>v yySergipe 2,882 703 4,100 93 R. Grande do Norte 4,110 1,089 3,774 86 Paraiba 6,762 1,883 3,591 82 Alagoas 3,823 1,173 3 , 2 5 9 774 Ceara 9,840 3,067 3,208 73 Maranhao 5,070 1,796 2,823 64 Piaui ; 2.572 1.185 2.170 49 only i s i n d u s t r i a l development a quite recent phenomenon, but that t h i s development i s s t i l l i n an early stage. Two conclusions may be drawn which are relevant to s o c i a l s t r a t i f i c a t i o n . As I mentioned e a r l i e r , the relationship between i n d u s t r i a l development and middle-level employment opportunities seems clear. I f substantial i n d u s t r i a l development i s a recent phenomenon i n Brazil., we can expect substantial growth of a middle s o c i a l stratum to be a recent phenomenon as well, which i t i s i n f a c t . Another coneulsion we can draw from the fa c t of B r a z i l ' s r e l a t i v e underdevelopment of industry i s the continued economic dominance of agr i c u l t u r e . Therefore, the pattern of land ownership remains a good i n d i c a t i o n of the d i s t r i b u t i o n of economic power. And i t i s clear that economic power i s a major fa c t o r i n s o c i a l s t r a t i f i c a t i o n . Now the foundation i s complete f o r a discussion of the economic aspects of the bi-po l a r tendency i n s o c i a l s t r a t i f i c a t i o n . Before commencing t h i s discussion, l e t me re i t e r a t e the s a l i e n t features of t h i s foundation. Economic a c t i v i t y has, t r a d i t i o n a l l y , often been concentra-ted i n large-scale monocultural ag r i c u l t u r e . From the f i r s t settlement, land u t i l i z a t i o n has had feudal character-i s t i c s , i n varying degree. For more than three hundred years, the slave was an e s s e n t i a l ( i f not the essential) element i n economic a c t i v i t i e s . F i n a l l y , i n d u s t r i a l 5* development i s recent and f a r from complete, with agriculture s t i l l being dominant. One aspect of economic a c t i v i t y which seems to r e i n -force the bi-polar tendency i n s o c i a l s t r a t i f i c a t i o n i s a paternal approach of employers to employees. This paternal approach seems to accentuate the s o c i a l distance between owner and worker, between r i c h and poor. Possibly the major breeding-ground f o r the t r a d i -t i o n a l B r a z i l i a n s o c i a l patterns i s the c u l t i v a t i o n of sugar. The feudal power of plantation owners has been mentioned above. Needless to say, paternalism i s a c o r o l l a r y of feudal power. The decline i n economic power of the plantation owner did not necessarily bring with i t a decline i n paternalism on the sugar plantations. The t r a n s i t i o n from ttfazendeiro"-(plantation owner) to n u s i n e i r o " - ( m i l l owner) power was often, as f a r as the workers were concerned, merely a change i n bosses. This t r a n s i t i o n , which took place i n the late nineteenth and early twentieth centuries, has been described as follows: Gradually the usineiros acquired land which under t h e i r own d i r e c t i o n permitted the production of s u f f i c i e n t cane to keep the m i l l s grinding through-out the harvest season. As the physical plant grew, so too did the prestige and power of the u s i n e i r o . As he gradually spread h i s influence outward from the m i l l to surrounding plantations as they became hi s , he repeated the patterns already set by the senhor de engenho (master of the plantation sugar m i l l ) of old.154 59 And one part of the t r a d i t i o n a l patterns was paternalism. This pattern has continued to present times, although i t s form may have been modified over the centuries. One observer has.described the c h a r a c t e r i s t i c s of the modern "usina" (mill) sugar plantation. Some of these character-i s t i c s include the factory s i t e representing a small c i t y , and the plantation supplying most of the needs f o r the care and amusement of i t s population. This includes schools, h o s p i t a l s , churches, clubs, movies, newspapers, 155 and magazines. Another contemporary observer has written a rather detailed description of one modern "usina" sugar plantation. The plantation's population i s made up of 5,800,men, women, and children. These workers c u l t i v a t e land furnished them by the "usina" and are paid on a share-cropping basis. Each family i s supplied with a house, space f o r a garden, pasture f o r mules, and i s allowed to keep chickens and plant some food crops among the cane. The "usina" has a meat market, macaroni factory, and general store which s e l l to the workers at wholesale price s . The "usina" also supplies a church, a school, and medical attention, including a h o s p i t a l . Also, an a t h l e t i c plant i s supplied, including, among other things, a f o o t b a l l f i e l d and a lake f o r . . 156 swimming. 60 This same observer has also described a modern coffee plantation. The coffee plantation worker receives a 3-room house f o r him and his family, wood, running water, and e l e c t r i c i t y at the rate of 2$500 (12|0) per l i g h t per month. The worker i s also given 1^ hectares of land f o r planting such food crops as corn, beans, r i c e , and mandioca; a garden plot near his house; pasture space and s a l t f o r a cow and some pigs; and the f r u i t from two orange trees. The plantation management also provides health and s o c i a l services. F i n a l l y , the plantation has organized a f o o t b a l l club and a twenty-piece b a n d . 7 Paternalism seems to be present i n B r a z i l i a n society today. From the above descriptions, paternalism has taken on the form of the "company town" i n some eases. Paterna-lism i s also present i n the extended kinship i n s t i t u t i o n s of "patT^o" and "compadresco," but I w i l l reserve discussion of these i n s t i t u t i o n s f o r the section dealing with kinship, which follows t h i s economic section. In any case, the role played by paternalism i n s o c i a l s t r a t i f i c a t i o n seems cl e a r . Paternalism on the part of the employer toward hi s employees draws a heavy l i n e between the boss and the workers. In the paternal pattern, the employer makes himself f e l t as a benevolent r u l e r i n v i r t u a l l y every area of the worker's l i f e . A. dependency exists of the poor on the r i c h . Pater-nalism i s a l i v i n g affirmation of who i s poor and who i s 61 r i c h . Economic paternalism reinforces the b i - p o l a r tendency i n s o c i a l s t r a t i f i c a t i o n . However, the major consequence f o r s o c i a l s t r a t i f i c a t i o n caused by the economic structure seems to be, rather than paternalism, a concentration of wealth. A primary consideration i n examining concentration of wealth i n an a g r i c u l t u r a l nation l i k e B r a z i l i s the d i s t r i b u t i o n of land. As can be guessed from a knowledge of the roles of feudalism and monoculture, B r a z i l has been a nation of " l a t i f u n d i a s " throughout her h i s t o r y . One observer s u c c i n c t l y notes: "From the very f i r s t B r a z i l has been a country of large landed estates i n which the overwhelming proportion of the population was engaged i n working the land of others, f i r s t as slaves and l a t e r as l a b o r e r s . . , » 1 5 8 The attitude of the f i r s t colonists l a i d the founda-t i o n f o r t h i s system. The colonists have been described as having "...no intention of leading the humble l i f e of a small peasant-proprietor i n B r a z i l . . . n ^ 9 And the system was inherent to the types of land grants the early colonists received. The captaincy system, mentioned above, was a system of province-sized land grants to private i n d i v i d u a l s . Although the o r i g i n a l captaincies proved to be untenable, the pattern of large land grants continued i n t o the period of the Viceroys. 62 During t h i s period, land grants, or "sesmarias", were given to those who applied f o r them, including both n o b i l i t y and affluent commoners. The grants were ra r e l y less than one league by two leagues i n s i z e , a league being more than four miles. Some "sesmarias" were as large as ten square leagues, according to one chronicler. Another observer speaks of "sesmarias" of ten leagues on a side being customary i n pastoral regions, and many larger "sesmarias" being given out.^ D^ I t i s clear that early land grants were extremely large. The e f f e c t s of t h i s land d i s t r i b u t i o n system on the sugar economy are staggering. It seems obvious that income i n the sugar-producing colony would be l a r g e l y concentrated i n the hands of the sugar plantation owners. The extent of t h i s concentration i n the colony has l e d one of B r a z i l ' s most widely respected economists to observe: "Thus every-thing seems to indicate that at least 90 per cent of the income generated by the sugar economy within B r a z i l was concentrated i n the hands of the sugar-mill and plantation -162 owners." The concentration of wealth from sugar p e r s i s t s today. The contemporary sugar "usina" has been described as a gigantic corporation. The "usina" plantation i s generally 15,000, 20,000, or more acres, employing four to s i x thousand paid employees who l i v e within i t s borders, and 63 representing a multi-million dollar investment. The cor-poration i s l i k e l y to own more than one plantation and have interests in addition to sugar, such as coffee, cacao, and commerce. The crucial point here i s that this giant corporation i s quite often a family. The male members of the family are the owners and directors of the corporation. 1^ It i s hence apparent that wealth i n sugar has retained a high degree of concentration. The effects of the "latifundia" system are also seen i n cattle a c t i v i t i e s . During the colonial period, the customary size of the "sesmarias" intended for raising cattle i s said to have been ten leagues on each side, or 164 approximately 1,600 square miles. Although legal decrees were enacted limiting the size of land grants, tremendous land-holdings s t i l l managed to be gathered. A prospective grantee might apply for a "sesmaria" not only in his own name, but i n the names of his wife, sons, daughters, and infants, born and unborn. 1^ In this 1 way, ownership of cattle land became extremely concentrated. The most common type of cattle owner in the eighteenth century i s said to have been, "...the absentee landowner, often owning vast territories and dozens of ranches..." One observer speaks of the cattleman's "sesmaria" "...as a veritable feudal domain.*.w1^7 64 The later coffee holdings took on tremendous propor-tions as well. The landed coffee aristocracy has been described as follows: "Wealth was concentrated i n the hands of the great proprietors, whose fortune,...counted i n coffee groves, and built upon the lands..., was exhibited i n their l i f e of ostentation and pleasure, i n the luxuriousness of their lordly residences i n the country and i n the greatness of their mansions i n the city..,«!68 The concentration of land i n the hands of a rela-tively few i s a phenomenon which i s general throughout Brazil*s history. In 16*46, A.P. Figueiredo wrote in '0 Progresso, a newspaper of the city of Recife: The major part of land i n our province i s divided into great properties, remains of the ancient sesmarias, of which very few have been subdivided. ...the senhores de engenhos or fazendas (masters of sugar mills and plantations) obstinately refuse to s e l l any portion of their lands, source and guarantee of their feudal power...lD9 Although the system broke down somewhat in the course of a hundred years, Table VI on page 65, of land distribution i n 1940, illustrates the fact that concentrated landholding survived the century since that writing. The degree of concentration i s apparent when one considers that 73 per cent of the land i s i n holdings exceeding 200 hectares, and 48 per cent i s i n holdings exceeding 1,000 hectares. But perhaps most i l l u s t r a t i v e i s the fact that less than 8 per cent of the farm operators owned 73 per cent of the land, 65 TABLE VI LAND OWNERSHIP IN BRAZIL,- 1 9 4 0 1 J ? j 0 Size of Farms or Estates i n Hectares (1 hectare = 2 . 4 7 acres) Percentage of Operators with Farms of Stated Size Percentage of Land i n Farms; or Estates of Stated Size Under 1 2.1 less than 0 . 1 1 - 4 . 9 1 9 . 7 0 . 6 5 - 9 . 9 12.6 0 . 9 1 0 - 1 9 . 9 1 6 . 6 2.3 2 0 - 4 9 . 9 2 3 . 9 7.2 5 0 - 9 9 . 9 1 0 . 8 7.2 1 0 0 - 1 9 9 . 9 6.5 8 . 8 2 0 0 - 4 9 9 . 9 4 . 7 13.9 5 0 0 - 9 9 9 . 9 1.6 1 0 . 9 1 , 0 0 0 - 2 , 4 9 9 . 9 1.0 1 4 . 4 2 , 5 0 0 - 4 , 9 9 9 . 9 0 . 3 9 . 3 5 , 0 0 0 - 9 , 9 9 9 . 9 0 . 1 7.6 1 0 , 0 0 0 - 9 9 , 9 9 9 . 9 0 . 1 1 3 . 6 100.000-over less; than 0 . 1 3 . 6 Total 1 0 0 . 0 1 0 0 . 0 66 and less than 2 per eent of the farm operators owned 4 8 per cent of the land. Furthermore, the degree of land ownership concentra-t i o n may have increased between 1 9 4 0 and 1 9 5 0 . This increased concentration may'be attributed to the e f f e c t s of economic expansion of large enterprises, expanding the extent of t h e i r landholdings i n the "developing" states, 171 such as Rio de Janeiro, S&o Paulo, and Parana. Table VII, on page 6 7 , w i l l i l l u s t r a t e the increased concentration which had seemingly occurred by 1 9 5 0 . The s i t u a t i o n t h i s table portrays i s t r u l y i n c r e d i b l e . Of those dependent on agricu l t u r e , 8 1 per cent of the people owned 3. per cent of the land. Therefore, 9 7 per cent of the land i s owned by 1 9 per cent of the a g r i c u l t u r a l population, and 5 1 per cent of the land i s owned by 0 . 6 per cent of the people. Table VIII, on page 6 8 , portrays the s i t u a t i o n i n I 9 6 0 . According to t h i s table, 8 1 . 4 3 per cent of the holdings account f o r only 1 3 . 0 1 per cent of the land, while 1 8 . 5 7 per cent of the holdings account f o r 8 6 . 9 9 per cent of the land. I t should also be noted that O . 9 8 per cent of the holdings account f o r 4 7 . 3 0 per cent of the land. At f i r s t glance, the figures would seem to indicate a lessening i n concentration of ownership between 1 9 5 0 and I 9 6 0 . However, one must remember that these figures are f o r 67 TABLE VII LAND OWNERSHIP IN BRAZIL, 1950 1 7 2 ( i n thousands) Category of those . Dependent on Ag;ri culture Establishments Number of jF"o7 Owners; Tot a l Land Number of ^~of Hectares T o t a l Population Number of % of Families Total Owners of more than 1,000 hectares 33 Owners of more than 20 hectares. 976 Owners of l e s s than 20 hectares 1,056 Non-owners 0 1.6 112,102 51 47 51 0 106,140 46 7,949 0 3 0 33 976 1,056 3,341 0.6 18 19 62 T o t a l 27065 100 232,211 100 57405 100 6a TABLE VIII LAND -OWNERSHIP IN BRAZIL, 1960 1 73 (agricultural) - Holding ,s-. Total Area Area Classes (hectares) Number Per-centage Hectares; (1,000) Per-centage Less than 10 .1,499,545 44.88 5,923 2.23 10-49 1,221,443 36.55 28,599 10.78 50-.99 273,100 8.17 19,099 7.19 100-199 157,550 4.71 21,807 8.22 200-499 116,717 3.49 35,989 13.55 500-999 40,532 1.21 28,495 10.73 Over 1,000 2,885 0.98 125,538. 47.30 Total 3,311,827 100.00 265,450 100.00 6 9 holdings, not f a m i l i e s . Therefore, i t does not take into account the common s i t u a t i o n of one family owning more than one piece of land. This table does not even take i n t o account the s i t u a t i o n of one i n d i v i d u a l owning more than one piece of land. These d i f f i c u l t i e s also being present i n the data f o r 1940, I was compelled to say that concentra-t i o n "may" have increased by 1950. In any case, since I am lacking data on multiple i n d i v i d u a l and family ownership i n I960, I can only conclude that land concentration was some-what greater than the table represents. With t h i s i n mind, I f e e l i t safe to further conclude that the ownership of land i n B r a z i l continues to be concentrated i n the hands of a t i n y minority. In an a g r i c u l t u r a l nation, one can well imagine the consequences f o r s o c i a l s t r a t i f i c a t i o n . In strengthening t h i s conclusion, comparative data would be u s e f u l . Unfortunately I am unable to obtain such data f o r the United States, and f i n d only p a r t i a l l y comparable data f o r Canada, which i s presented i n Table IX on page 70. Although t h i s table t e l l s us that almost 53 per cent of the farms are less than 240 acres, t h i s means l i t t l e i n terms of concentration of land ownership. Data on what proportion of a g r i c u l t u r a l land area i s owned by what proportion of a l l owners does not seem to be available f o r Canada or the United States. TABLE: DC CANADA: CENSUS-FARMS CLASSIFIED BY SIZE, 19661?**' Size i n Acres; Number Under 3 4,692 3 - 9 11,518 lo - 69 44,781 70 - 239 166,893 240 - 399 73,226 400 - 559 41,095 560 - 759 31,459 760 - 1,119 29,824 1,120 - 1,599 15,153 1,600 and over 11,881 Total 430,522 1 71 Slow as the development in Brazil may be, industry i s also becoming a major element in economic power. There-fore, let us now turn to the distribution of industrial wealth in Brazil. In the days of Brazil's Empire, the beginnings of industry were dependent on those individuals with the necessary capital. As may be ascertained from the above discussion, the money was largely in the hands of the planters. The planters saw the advantages i n railroads, steamships, telegraphs, and cables. They took pride i n the systems of light, water, and transport that were modernizing the c i t i e s . But there was no question in the planters' minds as to who should control these new develop-ments. And the power of their class interests was f e l t i n pertinent government moves: "Thus, when a group of land-owners formed a company to build a railroad, or joined with a foreign firm to i n s t a l l a tramway, gas works, or commercial bank, the imperial and provincial governments were inclined to act favorably in granting concessions, contracts, or 175 other considerations." J Perhaps then, in the 1850's, this was a contributing factor to the "monopolistic abuses" i n commercial and industrial development of which one 176 observer speaks. It seems clear that by 1880, planters, especially the coffee barons, were combining rural and 72 urban interests, becoming bankers, railroad directors, and industrial pioneers. 1 7 7 Industry in Brazil, as agriculture, was dominated by a relatively small number of individual and family owners. The pattern of land ownership in agriculture had been transferred to the pattern of company ownership i n industry. Of industrial establishments in 1920, 4 per cent were the property of incorporated firms, and 96 per cent belonged to individuals or personal partnerships. In 1940, 11 per cent were of corporations, and 89 per cent were of individuals and partnerships. Even by 1950, only 20 per cent were property of corporations and 80 per cent remained i n the 17S hands of individuals and personal partnerships. When Getulio Vargas became President of Brazil i n 1930, the government began to play a major role i n indus-t r i a l development, a role which i t has continued to this day. In I960, government expenditures accounted for 24 per cent of the gross domestic product, and for 38 per cent of total fixed investment. These figures would be considerably higher i f they included direct government participation i n such activities as steel, automotive, petroleum, iron ore, and public u t i l i t i e s . Nonetheless, agreement seems to be general that, "...the bulk of the manufacturing and agricultural and a large part of the service sectors are 179 i n private hands." 73 Ownership i s not only private, but i t i s dominated by i n d i v i d u a l l y owned or family firms. Some of these i n d i v i -duals, or t h e i r descendants, control giant multi-firm enterprises, such as Matarazzo, Klabin, or Renner. And many 16)0 of these firms have become cl o s e l y held corporations. The state of the stock market i n B r a z i l i s excellent evidence of t h i s f a c t . The most important joint-stock companies are owned by extended f a m i l i e s . These families handle the t r a n s f e r of stock as a purely domestic matter. This has s e r i o u s l y retarded the development of the stock market i n s t i t u t i o n i n B r a z i l : "In f a c t , despite heavy i n d u s t r i a l i z a t i o n , a stock market, comparable to that of other i n d u s t r i a l countries, does not exist at a l l . n J - O J -Gorporate l e g a l form usually exists only on paper. The dominant form i s a closed enterprise, t i g h t l y controlled by the owner. How can a stock market develop when the owners refuse to s e l l to the public? The corporation owner pays high i n t e r e s t rates or gives up growth oppor-t u n i t i e s , rather than endanger hi s sole ownership of the 182 enterprise. The family dominance of business i n B r a z i l i s a system which i s l a r g e l y self-maintaining. Corporation directorates are commonly made up of brothers, cousins, and in-laws. Students of B r a z i l i a n economics, and much of the population i n general are f a m i l i a r with the names of 74 the "great families" which control important and key-industries. A new enterprise only receives confidence when the family background of i t s founders i s known. And credit i s often extended between the members of upper-class families on the basis of the debtor having the strong backing of his family. For these reasons, newcomers often find i t hard to break into the established business . , 183 circles. Wealth has always seemed to be concentrated in the hands of a relatively few. This i s true in the traditional agricultural a c t i v i t i e s , and has remained largely unchanged with the advent of industrial development. Not only has the gap between rich and poor continued throughout Brazilian history, but some observers maintain that this gap has recently been widening. Bello states that the changes in the economic structure which followed the Second World War brought with them a set of social i l l s commonly tied to inflation. He views the period of 1945 to 1954 as characterized by: "...a prosperity often more apparent than real; a growing disparity between the l i v i n g standards of the small, wealthy groups and those of the 184 masses..." Jaguaribe views the overconcentration of wealth and income i n the hands of a tiny minority, among other factors, as, "...hindering the country's a b i l i t y to raise the domestic savings ratio and rate of investment, 75 and creating a structurally endemic inflation which, in 185 1964, became a runaway inflat i o n . " Whatever i t s other effects, i t seems clear that inflation helps the rich become richer and the poor become poorer. Frank, in 1967, speaking of the growing inequalities in personal income distribution, points out that inflation, "...benefits owners of property, since property values rise, and penalizes earners of wages and salaries, which do not keep up with prices." Unfortunately, I lack the resources to verify the assertions of these observers. Similarly, I cannot verify Horowitz's assertion that recent governmental policies also seem to be aiding the concentration of wealth. He maintains that a variety of subsidies have been improvised which put a premium on the types of investments that foster a s t i l l greater concen-tration of wealth i n the hands of the tiny privileged minority. In this way, capital contributions, in the forms of exchange and credit, have transferred large amounts of wealth into a small number of hands. Celso Furtado maintains that economic development has brought no change in the l i v i n g conditions of three-fourths of the population. He states: "Its main feature has been a growing concentration of income..#"1$8 In concluding this discussion of economic factors i n the bi-polar tendency i n social stratification, I w i l l attempt to t i e together the preceding remarks. To a large extent, B r a z i l ' s economic history has been dominated by monbcultural a c t i v i t i e s . Often, the organization of a g r i c u l t u r a l production has been the plantation, and even non-plantation a c t i v i t i e s were not infrequently large-scale. Another factor i n economic organization i s the feudal base on which B r a z i l i a n society i s b u i l t . The l i n k between feudalism and large-scale production i s obvious: both are characterized by control of the many by the few, with v i r t u a l l y no one i n between. Large-scale a g r i c u l t u r a l a c t i v i t y demands .a large labor force. This demand was met by the introduction of the slave i n t o the B r a z i l i a n economy. Not only did the slave become e s s e n t i a l to large-scale production, but he became an i n t e g r a l part of v i r t u a l l y a l l economic a c t i v i t i e s . Fundamental to the slave system was the d i s t i n c t i o n between master and slave, with l i t t l e i n between. Yet another factor to be consid-ered i s i n d u s t r i a l development. Monoculture remained dominant in t o the twentieth century, and i n d u s t r i a l develop-ment i s a recent phenomenon. Therefore, the economic opportunities attendant to i n d u s t r i a l development are also recent phenomena. What factors, then, have developed as a resu l t of the above s i t u a t i o n which contribute d i r e c t l y to the B r a z i l i a n bi-polar tendency i n s o c i a l s t r a t i f i c a t i o n ? 77 What factors have come out of monoculture, feudalism, a slave economy/ and l a t e i n d u s t r i a l development? A paternal attitude of employer to employee i s one. Paternalism may be characterized as a benevolent despot providing f o r the needs of his subjects. In paternalism, the dependency of the poor on the r i c h i s always reinforced, and t h e i r respective s o c i a l positions are continually strengthened. This s i t u a t i o n a s s i s t s the perpetuation of b i - p o l a r s o c i a l s t r a t i f i c a t i o n . Another res u l t of the economic system -which d i r e c t l y a f f e c t s s o c i a l s t r a t i f i c a t i o n i s the concentration of most of B r a z i l ' s wealth i n the hands of a very small minority. In the a g r i c u l t u r a l society, land equals wealth. Throughout B r a z i l i a n history,-the over-whelming majority of the land has been i n the hands of an equally overwhelming minority of the people. This t r a d i -t i o n a l landholding s i t u a t i o n i s s t i l l to be found today. Furthermore, wealth has remained concentrated i n the d i s t r i b u t i o n of the r e l a t i v e l y recent non-agricultural wealth. Not only has B r a z i l i a n industry always been controlled by a t i n y minority, but corporations continue to be family a f f a i r s today.. In t h i s way, the majority of B r a z i l i a n s are quite poor i n contrast to the economic.elite. The bi-polar tendency i n s o c i a l s t r a t i f i c a t i o n i s greatly strengthened. The role of the family and kinship i n 78 B r a z i l i a n society deserves sp e c i a l treatment, and i t i s to t h i s area that the following section i s directed. I I I . THE KINSHIP FACTOR The importance of the pa t r i a r c h a l family to the formation of B r a z i l i a n society cannot be overstressed. I t i s not unusual f o r students of B r a z i l ' s s o c i a l h i s t o r y to make remarks such as the following: "The large, a r i s t o -c r a t i c , p a t r i a r c h a l family has always been the most 189 important of B r a z i l ' s s o c i a l i n s t i t u t i o n s . " In c o l o n i a l times, t h i s family consisted of a large group of tightly-bound kin who acknowledged allegiance to the family's oldest l i v i n g male member. This slaveholding group has been described as, "...the chief instrument i n the occupation of B r a z i l . " 1 9 0 B r a z i l , around 1600, may be viewed as a pa t r i a r c h a l society. In t h i s period, the pat r i a r c h a l head of the family, having perhaps a dozen children, was "...the undisputed master of his large family and retinue...", and "...the e f f e c t i v e source of public a u t h o r i t y . 1 , 1 9 1 The landed aristocracy with wealth based on sugar was perhaps most representative of the pa t r i a r c h a l family type. Fernando de Azevedo, i n his widely respected B r a z i l i a n Culture, describes the sugar l o r d as, "...sover-eign and father with an authority p r a c t i c a l l y without r e s t r i c t i o n i n the pa t r i a r c h a l family, ...a l i t t l e king i n his almost unlimited t e r r i t o r y . . . " 1 9 2 Even during the so l a t e r period which saw some break-down of the o r i g i n a l plantations, the p a t r i a r c h a l planter maintained control over those around him. When he rented land to small farmers, the cane went to h i s m i l l and one-half to four-f i f t h s of the sugar went to the plantation l o r d . He might loan money under the conditions that his m i l l be used and he receive h a l f of the sugar. In t h i s way, the sugar planter remained the head of "...a community comparable to the vassals and serfs of feudal times.. . " 1 9 3 But the sugar area was not at a l l unique i n i t s c h a r a c t e r i s t i c p a t r i a r c h a l power. Even f r o n t i e r Sao Paulo contained a large degree of pa t r i a r c h a l power. There, "The head of the family exercised almost complete authority over h i s numerous progeny, dependent kinsmen, servants, and Indian slaves."" 1" 9^ By the end of the seventeenth century, the power of the p a t r i a r c h a l l o r d was v i r t u a l l y i r r e s i s t i b l e , and much of the remaining population was compelled to place i t s e l f under his protection. The l o r d gave them food, clothing, and shelter i n return f o r t h e i r service to him. In t h i s manner, the pa t r i a r c h a l l o r d held absolute power over slaves, renters, sharecroppers, mechanics, overseers, dependents, and members of h i s own f a m i l y . ^ 5 The t r a d i t i o n a l upper-class family was extended through several practices. In addition to the members 81 of his nuclear family,, the p a t r i a r c h a l l o r d often brought his i l l e g i t i m a t e children i n t o his own family c i r c l e , or saw to t h e i r upbringing with one of his kinsmen. A wide-spread custom of the upper stratum was to take " f i l h o s de criacao" (adopted children) i n t o the family from the lower stratum. These adopted children served partly as servants and p a r t l y as family members. Also a peripheral group consisted of slaves and tenants (Negroes, Indians, and mixed bloods), including the p a t r i a r c h a l lord's concubines. The r e l a t i o n s h i p between the p a t r i a r c h a l l o r d and his slaves or tenants seems rather representative of the general pattern of patriarchalism: I f he was made to work, ...he was likewise e n t i t l e d to count on the master's protection... The slave l i v e d and died, as did h i s offspring f o r successive genera-ti o n s , within the orb i t of the master and his domain... Thus, the bonds between master and slave were gradually strengthened... The same thing happened with the free workers or tenants. They enjoyed a r e l a t i v e freedom which i n practice did not extend beyond the choice of exchangine one master f o r another, and then not always. Not only was t h i s e x t r a - f a m i l i a l group quite large, but the patriarch's subjects of blood and consanguineal kin constituted a remarkably large group. This group included wife, sons and daughters, t h e i r spouses and children, and sometimes the patriarch's younger brothers. A yet larger power unit, the "parentela," consisted of k i n of the patriarch's father, mother, and his spouse. The 82 "parentela n usually included hundreds of people, but did not necessarily share the same residence. These "great" families of B r a z i l originated from -d i f f e r e n t sources throughout B r a z i l i a n history. They may have descended from a "donatario" (land grant recipient) of the .sixteenth century, a r i c h "senhor de engenho" (plantation master) of the seventeenth and eighteenth centuries' sugar boom, a coffee baron of the nineteenth century, a nobleman of the Empire who was given a t i t l e by. the Emperor f o r public service or wealth, a statesman or diplomat of the Republic i n the la t e nineteenth and early twentieth centuries, or a c a p i t a l i s t of the twentieth century." 1"" One aspect of pa t r i a r c h a l power i s seen i n the r e l a t i v e role of the woman.. The woman i n the t r a d i t i o n a l p a t r i a r c h a l family was, rather completely segregated. Her education, which consisted l a r g e l y of t r a i n i n g i n domestic duties, was completed at the age of thirteen or f o u r t e e n . 2 0 0 T r a d i t i o n a l l y , the only women seen on the streets or i n public places were prosti t u t e s , servants, and others of the lower class. The home was considered the proper place of the upper-class woman, and even i n the home, she ra r e l y appeared i n the presence of s t r a n g e r s . 2 0 1 Gilbert© Freyre, one of B r a z i l ' s foremost s o c i a l h i s t o r i a n s , speaks of the woman's Arabic i s o l a t i o n . The upper-class g i r l was 83 constantly under the eye of a trusted elder during the day, and slept i n a small room i n the center of the house, surrounded on a l l four sides by elders. The g i r l was often married at t h i r t e e n to f i f t e e n to a husband ten to twenty years older, and chosen by her parents. The young wife's submission to her husband was Moslem-like. She always t i m i d l y addressed him as "Senhor," and usually treated him 202 as,her superior. Another example of t h i s submission was the custom i n which the husband would select and purchase the material f o r his wife's clothing, and perhaps 203 even indicate how i t should be made up. The p a t r i a r c h a l lord's control over his women some-times was carried to deadly extremes, although these extremes were probably not the norm. Xn Bahia, Pedro V i e i r a ordered a married and legitimate son of h i s to be put to death, f o r betraying him with one of his mistresses. In Minas Gerais i n the eighteenth century, Antonio de O l i v e i r a Leitao executed a daughter with his own hands f o r waving a handkerchief at a man he thought to be her lover. In Minas Gerais i n the nineteenth century, an i l l e g i t i m a t e son of a plantation owner f l e d with one of his father's mistresses, and the father ordered his retainers to execute both of them. As late as the twentieth century, a couple eloping against the wishes of the g i r l ' s family was pursued by agents of her parents and grandparents; when 84 the couple was caught, the boy was given a beating which crippled him f o r l i f e . 2 0 ^ According to some observers, the t r a d i t i o n a l subordin-ation of the woman seems to have lessened somewhat today. R e s p o n s i b i l i t i e s are more equally shared between husband and wife. Women may hold positions i n the professions, government, commerce, and education. However, t h i s change seems to be most apparent i n areas of i n d u s t r i a l i z a t i o n , urbanization, and intense foreign immigration. 2 0'' Yet, even i n the most modern areas, certain aspects of the t r a d i t i o n a l sex roles p e r s i s t . For example, many young men preserve the i d e a l that the wife should not work fo r money. Often the r e s u l t of t h i s i d e a l i s the postpone-ment of a marriage f o r many years, u n t i l the man i s able to f i n a n c i a l l y maintain his family with no assistance from his w i f e . 2 0 6 In the t r a d i t i o n a l areas of B r a z i l , more of the subordination of women pers i s t s today. For instance, i n the r u r a l community of Minas Velhas, women are expected to stay i n the background, and tend to l e t the man do the speaking i n both public and private s i t u a t i o n s . At meals, the father.and one or two eldest sons are the only family members to eat at the table. The mother and daughters wait on the males, and eat a f t e r they have f i n i s h e d . 2 ^ 7 In Minas Velhas, "...everyone considers i t better to be a man 85 208 than a woman.'* Another aspect of pa t r i a r c h a l power i s the dual sexual standard. Freyre speaks of t h i s standard permitting the man complete freedom i n the pleasures of carnal love, while the woman's sex l i f e was limi t e d to the times when her husband wanted to p r o c r e a t e . 2 0 9 To a large extent, t h i s pattern p e r s i s t s today: The upper and middle class family of B r a z i l may be interpreted as a d i a l e c t i c structure based upon asym-metric roles ascribed to males and females. The female role i s centered around a cl u s t e r of values which may be characterized as v i r g i n i t y complex. The b e l i e f that the v i r g i n i t y of unmarried females ought to be preserved at any cost has so f a r tenaciously r e s i s t e d change.... The male role i s centered around a set of values which may properly be c a l l e d v i r i l i t y complex. A young B r a z i l i a n i s expected to get a c t i v e l y interested i n sex at the age of puberty.... Marriage i s not expected to channelize or to r e s t r i c t his sexual a c t i v i t i e s . Normally a male f e e l s free to have i n t e r - _- n course with as many d i f f e r e n t women as may be avai l a b l e . This extramarital behavior by the male seems to be lar g e l y ignored by his wife and family, as long as i t does not affec t h i s role as provider and f a t h e r . 2 1 1 The dual sexual standard i s sanctioned by the C i v i l Code of 1940. According to the law, a woman can be convicted of adultery when any kind of presumption or evidence supports a suspicion of her rela t i o n s with a man not her husband. And, of course, she can also be convicted i f she i s caught with such a man or proven to have had intercourse with him, even i f not habitual. On the other hand, a man can only be 8 6 convicted of adultery i f he keeps and permanently maintains a m i s t r e s s . 2 1 2 However, one point should be made clear regarding the dual sexual standard: i t does not seem to be present i n the lower class. In the lower class, premarital sexual intercourse does not a f f e c t a woman's chances of making a stable union with any such degree as i s present i n the higher s o c i a l s t r a t a . According to one observer, sexual segregation, jealousy, and v i o l e n t r e t a l i a t i o n f o r female unfaithfulness are r e l a t i v e l y absent.213 This i s hardly s u r p r i s i n g when one considers the fact that pa t r i a r c h a l power was, and i s , l a r g e l y a c h a r a c t e r i s t i c of the a r i s t o -cracy. The subordination of children to t h e i r elders i s yet another aspect of p a t r i a r c h a l power. T r a d i t i o n a l l y , a c h i l d was punished by his father, mother, grandfather, grandmother, godfather, godmother, uncle, aunt, tutor, and schoolmaster. Some fathers would even k i l l a disobedient c h i l d . From the ages of s i x to twelve, a boy had to keep his distance, not speak unless spoken to, answer re s p e c t f u l l y , not rai s e his voice, disappear at adult gatherings, and play s i l e n t l y . 2 1 5 It i s no wonder, then, that t r a d i t i o n a l l y , "The family could be portrayed thus: a moody father, a submissive wife, and t e r r i f i e d children."' Although B r a z i l i a n children today have more freedom, "...the parents maintain t h e i r old roles of guides, advisors, and d i s c i p l i n a r i a n s , e s p e c i a l l y of t h e i r 217 daughters." Rural s o c i a l patterns being generally more t r a d i -t i o n a l than t h e i r urban counterparts, r u r a l families i n B r a z i l remain more p a t r i a r c h a l . Wives and daughters are more submissive and more segregated. The sexual d i v i s i o n of labor i s more pronounced. And the greatest power i n the family remains concentrated i n the hands of the husband and f a t h e r . 2 1 g Nonetheless, the s i t u a t i o n as a whole i s today such as to bring for t h the following statement: "Even today there remains much of t h i s feudal type of s o c i a l organiza-t i o n , and t h i s great family i s the i n s t i t u t i o n through which the white or near-white upper class maintains i t s control."219 The dominance of the a r i s t o c r a t i c , p a t r i a r c h a l family type throughout much of B r a z i l i a n h i s t o r y has had multiple e f f e c t s on s o c i a l s t r a t i f i c a t i o n . One major ef f e c t has been the sharp d i s t i n c t i o n inherent to t h i s type between.ruler and ruled. The p a t r i a r c h a l lord was not only the absolute r u l e r of his family, but ruled over a large, peripheral, lower-class group, as we l l . Although the d i s t i n c t i o n between r u l e r and ruled may be viewed as being blurred by the fact that a pa t r i a r c h a l family has aa only one patriarch, the d i s t i n c t i o n remained inasmuch as the a r i s t o c r a t i c members of the family were members of the r u l i n g group, whether patriarchs or not. The d i s t i n c t i o n between r i c h and poor may also be viewed as being blurred by the attachment of the poor to the family. But the poor r e l a t i o n s seem to have c l e a r l y .been treated as poor r e l a t i o n s , and t h e i r dependency on the r i c h affirmed t h e i r subordinate positions. The fixed dependency of poor on r i c h i s thus continually present, as i t i s i n employer-employee paternalism. Another major e f f e c t of the p a t r i -archal family i s i t s role i n maintaining i n h e r i t e d s o c i a l status. In the discussion which follows, I w i l l deal f i r s t with the family as a maintenance mechanism of s o c i a l status,; and then with the p a t r i a r c h a l family as a strength-ening agent of i n t e r - c l a s s dependency and d i s t i n c t i o n s . With the family a basic s o c i a l unit i n the upper stratum, i t naturally follows that one's.family ori g i n s would be a primary determinant of s o c i a l position. Charles Wagley speaks of t r a d i t i o n a l B r a z i l i a n society as highly stable, with people seldom able to change t h e i r circum-stances. The son of a poor man was poor, the son of an i l l i t e r a t e man remained i l l i t e r a t e , and s o c i a l position was l a r g e l y hereditary. People were very conscious of a man's family i n determining his s o c i a l p o s i t i o n . 2 2 0 The upper class was b u i l t around the p a t r i a r c h a l family u n i t , &9 and, "Membership i n one of those large 'good f a m i l i e s ' was often an indispensable prerequisite to economic, professional, p o l i t i c a l , or s o c i a l s u c c e s s . " 2 2 1 Although t h i s s i t u a t i o n i s somewhat modified today, family remains a major c r i t e r i o n of s o c i a l p o s i tion. For example, i n one r u r a l community today, "...the most import-ant a t t r i b u t e f o r upper-class membership i s family baek-222 ' ground..., the families are c a r e f u l l y rated..." Another observer speaks of B r a z i l today as a highly s t r a t i f i e d society, with a strong tendency to inherited s o c i a l p osition, and hence, l i t t l e v e r t i c a l and horizontal s o c i a l mobility. Thus: . ...the accident of b i r t h i s almost a l l important as a determinant of which groups a man w i l l belong to and what i s to be h i s position on the s o c i a l scale. ...the family determines f o r the great mass of B r a z i l i a n s the groups to which they are to belong and t h e i r p o s i t i o n i n the class s t r u c t u r e . 2 2 ^ This view i s extreme, and an argument could be made f o r one aspect of family changing the composition of the s t r a t i f i -cation system. In the system of primogeniture, the bulk of the family wealth i s i n h e r i t e d by the f i r s t son. This, then, could e n t a i l downward mobility f o r the other sons. But we must remember that the a r i s t o c r a t i c family was an extended family. Although the younger sons were subordinate to the eldest, they did not l i v e i n poverty. Furthermore, s o c i a l position was, and i s , based on f a r more than amount 90 of wealth, as w i l l be seen l a t e r . For these reasons, I f e e l that family acts as a maintainer of the status quo i n the s t r a t i f i c a t i o n system. When the status quo i s l a r g e l y b i -polar, the formation of a middle class i s not assist e d . Family membership maintains the fixed d i s t r i b u t i o n of s o c i a l position, and marriage often maintains fixed family membership. T r a d i t i o n a l l y , B r a z i l i a n s "...tended to marry within t h e i r own class, thus perpetuating class s o l i d a r i t y . " 2 2 ^ Likewise, the s i t u a t i o n today has been described as the choice of mates and organization of family taking place within the framework of s o c i a l s t r a t i f i c a t i o n . One observer states: "Family categories, kinship t i e s , and marriage rules i n B r a z i l are very c l o s e l y linked to the scheme of s o c i a l s t r a t i f i c a t i o n . " 2 2 5 The upper stratum has long been characterized by marriage patterns which maintain a closed membership. T r a d i t i o n a l l y , a r i s t o c r a t i c marriage was viewed as an opportunity to both maintain the purity of the l i n e , and guarantee the preservation of status and economic goods. For these reasons, the families of both the bride and 22 A groom were often c l o s e l y linked. Since marriages were alignments of property, the a r i s t o c r a t i e f a milies often found inbreeding convenient and desirable. Marriages between cousins, uncles, nieces, and other kin were 227 common. An analysis of one extended family i n the 91 state of Rio de Janeiro, covering seven generations (1780-1900), reveals that of 62 marriages, 36 were between non-kin, 20 were between f i r s t cousins, three were between uncles and nieces, and one was between an aunt and a 228 nephew. Another marriage pattern, which maintained class membership and preserved economic alignments, was the sororate. Among the aristocracy, a widower might marry his 229 dead wife's younger s i s t e r or one of her cousins. 7 Although the degree of inbreeding i n the upper class has declined today, evidence can be found of the persistence of t h i s s o c i a l pattern. For example, a study of one r u r a l community revealed several aspects of t h i s pattern. There, the family l i n e s of today's " e l i t e " group are linked with the most prominent families i n more than a dozen separate communities scattered throughout the region. The l i n k s are through marriage. Furthermore, t h i s group has the highest proportion of spinsters, and the highest incidence of cousin m a r r i a g e . I n at least some si t u a t i o n s , inbreeding continues to maintain the membership of B r a z i l ' s upper class. Yet another aspect of family maintenance of s o c i a l p o sition i s found i n the extended family's role as an agent of mutual assistance. Maintenance of s o c i a l position i s f a c i l i t a t e d by the support given to an i n d i v i d u a l by his extended family.. One observer speaks of the family as, 92 ...the p r i n c i p a l agency f o r providing protection f o r i t s members. This i s es p e c i a l l y true of the upper-class family.,. 2>1 The basic p r i n c i p a l of extended family mutual a s s i s -tance i s the assistance by those members i n a position to help, of those members who need assistance. Although the most immediate place f o r t h i s sort of help i s the family firm, i n which the parent personally d i r e c t s the careers of his sons, assistance may come from a multitude of ki n . Any kin of many may hold a status from which he can provide a p o s i t i o n f o r h i s k i n - c l i e n t , or at least use the networks of mutual obligations to persuade others to provide such a posi t i o n . Linking kin are usually parents or wives, and the patron k i n i s often an uncle, a father-in-law, or, sometimes a cousin. The kin ca l l e d upon f o r assistance 232 may be of a distant degree. Xn t h i s manner, an i n d i v i -dual holding an important job i s l i k e l y to become an 233 employment agency for his extended family. ^ The remarks of an informant i n one r u r a l community i l l u s t r a t e t h i s s i t u a t i o n : Braulio frequently claims that the only reason he stays i n business i s that most of his workers are r e l a t i v e s depending upon him f o r work. This i s true to the extent that Braulio did give preference to h i s r e l a t i v e s i n h i r i n g employees. 234 The extended family offers assistance i n areas other than employment. Many positions i n public l i f e are often occupied by members of an extended, upper-class family. 93 The family i s able to muster considerable " p i s t o l a o " (pull) i n many f i e l d s . A c a l l by the pa t r i a r c h a l l o r d of the family may be a great help i n such situations as getting someone int o a crowded h o s p i t a l , disentangled from the l e g a l d i f f i c u l t i e s surrounding a w i l l , or taken into the A i r Force. Care of the aged, sick, widowed, and unmarried i s also looked a f t e r by the extended f a m i l y . 2 ^ 5 The existence of the extended family as a mutual aid group continues amidst B r a z i l ' s recent s o c i a l and economic changes. One observer notes that, " . . . e x i s t i n g family t i e s are frequently strong enough to r e s i s t even the d i l u t i n g influences of metropolitan centers l i k e Sao Paulo and Rio De Janeiro..." 2^° The extended family plays a r o l e i n commercial and i n d u s t r i a l a c t i v i t i e s , as was discussed i n the preceding section. Kinsmen constantly c a l l upon one another f o r favors, such as speeding up issuance o^ an export license or clearing a l e g a l document through a government bureau. These favors may be sought from d i s t a n t l y or cl o s e l y related kin, and the favors are expected to be repaid i n kind. Selection of lawyer or physician may also be on the basis of extended family t i e S . 2 3 7 Since members of the lower s o c i a l stratum do not hold positions from which they can be of much mutual assistance, i t i s not surprising that t h i s pattern does not seem to be present i n the lower class. In the lower s o c i a l stratum, "The extended family i s not f e l t to be a p a r t i c u l a r l y desirable pattern." 2- 33 Family, then, serves to maintain e x i s t i n g s o c i a l positions i n several ways. As a c r i t e r i o n of s o c i a l p o s i t i o n , i t supports a system of inherited s o c i a l status. By inbreeding, the upper-class families have been able to keep t h e i r ranks r e l a t i v e l y closed. As agents of mutual assistance, extended upper-class families give t h e i r members an added advantage which i s not enjoyed by those seeking upward mobility from the lower stratum. The s i t u a -t i o n i s complicated by primogeniture and the resultant d i f f e r e n t i a l between the incomes of family members. But family continues to have an importance comparable to wealth i n s o c i a l position, inbreeding counters the dispersal of wealth, and mutual assistance places upper-class poor rel a t i o n s at a d e f i n i t e advantage. I must maintain that these three factors help to-, perpetuate a fixed s o c i a l s t r a t i f i c a t i o n system. The f o s t e r i n g of a dependency of poor on r i c h was mentioned i n the discussion of paternalism above. Now, l e t us turn to t h i s poor-rich dependency i n the framework of the upper-class, extended family. A good way to begin t h i s discussion i s an examination of the position of the slave i n the t r a d i t i o n a l upper-class family. 95 The Negro s l a v e i n t h e house o f t h e w h i t e m a s t e r h e l d p o s i t i o n s w h i c h made him f a r more t h a n an economic u n i t o f p r o d u c t i o n . More t h a n s l a v e s i n t h e s t r i c t sense o f t h e word, t h e y were h o u s e h o l d i n m a t e s : "They were a k i n d o f poor r e l a t i o n s a f t e r t h e European model." 2^9 ^ b r i e f l o o k a t some o f t h e p o s i t i o n s t h e y h e l d w i l l i l l u s t r a t e t h i s s i t u a t i o n . The w h i t e c h i l d ' s n u r s e was more t h a n a n u r s e . I n a d d i t i o n t o s u c k l i n g and r o c k i n g t h e c h i l d , t h e nurse, t a u g h t t h e c h i l d such b a s i c s k i l l s as e a t i n g and s p e a k i n g . I t i s not s u r p r i s i n g , t h e n , t h a t t h i s b l a c k n u r s e h e l d a p l a c e o f honor i n t h e f a m i l y and was t r e a t e d l i k e a l a d y . 2 ^ A n o t h e r example i s t h e young Negro playmate o f t h e young m a s t e r . T h i s young s l a v e s e r v e d as something o f an o b l i g i n g puppet f o r t h e w h i t e boy. The s l a v e not o n l y d i d e r r a n d s , but he s e r v e d as t h e young master's c a r t h o r s e , and p i o g e n e r a l l y was a v a i l a b l e as t h e s u b j e c t o f b r u t a l games. The m a s t e r ' s young d a u g h t e r a l s o had a s l a v e as a c o n s t a n t companion. A t y p i c a l scene would f i n d t h e w h i t e g i r l s t r e t c h e d out i n a hammock w i t h h e r h a i r down, and t h e Negro maid, o r "mucama," s n a p p i n g h e r f i n g e r n a i l s t h r o u g h t h e h a i r l o o k i n g f o r l i c e , k e e p i n g f l i e s away from h e r m i s t r e s s ' s f a c e w i t h a f a n , and e n t e r t a i n i n g h e r m i s t r e s s w i t h s t o r i e s . One c h r o n i c l e r n o t e s . t h a t t h e "mucama" knew t h e w h i t e g i r l ' s s o u l as w e l l as t h e " p a d r e , " and h e r body b e t t e r t h a n t h e doctor. 2**' 3 9 6 The slave also served a sexual role i n the family; and t h i s had multiple s o c i a l consequences. Since the masters scorned the male v i r g i n , the young master v/as thrust at puberty i n t o the arms of a slave g i r l to be taught the sexual a r t s . 2 ^ From the beginning of his sexual experiences, the master used the slave as a sexual object. This system has been viewed as a disguised form of polygamy: the master not only wrote some of his i l l e g i t i m a t e children by slave g i r l s i n t o his w i l l , but further raised t h e i r s o c i a l position by educating them with the same p r i e s t who taught h i s legitimate children. 2**' 5 However, another observer notes that t h i s practice was modified by the i l l e g i t i m a t e child's shade of skin color. I f the c h i l d was light-skinned, he might be raised as a legitimate son, with the attendant advantages of family, education, and a supervisory occupational position. I f the c h i l d was too darkly colored to be acceptable as the son of a European, he may have yet been p a r t i a l l y recognized by his father, and given assistance i n some way. I f the c h i l d was c l e a r l y Negroid, he was l i k e l y to remain just another slave. Also, the master i s said to have r a r e l y died without freeing some of his Negro and mulatto women. * r One of the res u l t s of the sexual role of the slave w i l l be examined i n the section below dealing with the r a c i a l f a c t o r . The point here i s that the slave i n B r a z i l was linked to the aristocracy as f a r more than an economic u n i t . As an i n t e g r a l part of the family, the slave was linked to the master i n a s o c i a l l y interdependent r e l a t i o n s h i p . Out of t h i s r e l a t i o n s h i p have-grown two i n s t i t u t i o n s l i n k i n g the lower stratum to the upper through what may be viewed as t i e s of extended kinship. The two i n s t i t u t i o n s are "patrao" (patronship) and "compadresco" (godparenthood). archal l o r d took his subjects, including slaves, under his protection. One modification of t h i s pattern today i s the i n s t i t u t i o n of "patrao," an i n s t i t u t i o n which strength-ens the dependency of the poor on the r i c h , and hence, strengthens t h e i r respective s o c i a l positions. Charles Wagley has summed up t h i s r e l a t i o n s h i p as follows: For most of t h i s r u r a l lower class, economic security and s o c i a l well-being are conceived as flowing from the paternal ministrations of the l o c a l e l i t e . , Every-one should have a patrao.... an economic re l a t i o n s h i p between employer and worker, landlord and tenant, or cred i t o r and debtor. ...more than an economic bond. It involved a sense of noblesse oblige and paternalism on the part of the employer, a s u r v i v a l from the times of slavery and the monarchy. On the part of the worker, i t involved a sense of l o y a l t y to the patrao and, needless to say, p o l i t i c a l support, i f and when In the early twentieth century, lower-class i n d i v i d u a l s usually had a "patrao": the domestic servant had the householder, the cowboy had the ranchowner, the As was mentioned e a r l i e r , the slaveholding p a t r i -the worker could factory or commercial worker had the proprietor. Sometimes a man's "patrao" was not his employer. For example, the "patrao" may have been the storekeeper t i e d by debts and favors -to the peasant, or the trader t i e d by credit and merchandise to the rubber c o l l e c t o r . A lower-class worker without a "patrao" was a man without a protector i n time of need. It was not unusual f o r a n p a t r a o n - c l i e n t r e l a t i o n s h i p between a lower-class family and an upper-class family to endure f o r generations. There are cases of workers s t i l l considering an upper-class family t h e i r "patrao" long a f t e r leaving t h e i r employment.2**'9 The i n s t i t u t i o n of "patrao" i s by no means a thing of the past. The r e l a t i o n s h i p p e r s i s t s between the trader and the rubber gatherer i n the Amazon v a l l e y : the trader purchases produce, provides c r e d i t , and may continue credit i f the c o l l e c t o r i s i l l , or send a member of the c o l l e c t o r ' s family to medical a i d . The relationship p e r s i s t s on the family-owned sugar plantation of the Bahian RecSncavo: among other things, the owner provides f e s t i v a l s f o r his workers, and brings the workers presents from h i s v i s i t s to the c i t y . The rel a t i o n s h i p persists between cowboy and ranchowner. In general, "patrao" s t i l l survives i n many localities. 25° The "patrao" r e l a t i o n s h i p i s quite apparent on the modern sugar plantation. The owner knows a l l his workers 99 by name. He knows t h e i r families and t h e i r family problems. The owner knows of his workers 1 love a f f a i r s . He i s up-to-date on the health of inf a n t s , and nearly a l l cases of sickness are brought d i r e c t l y to him or his wife. Xn short: w0n the plantation no one starves; everyone has his "patrao" i n the person of the owner, and i n case of an emergency, accident or sickness he expects help from him."2-* This r e l a t i o n s h i p i s also apparent between the land-l o r d and sharecroppers of one r u r a l community which was studied. In t h i s community, the sharecropper i s the most common type of a g r i c u l t u r a l laborer. The sharecropper can count on his landlord to provide emergency funds f o r medicine, a funeral, or a marriage. The landlord also i s a source of short-term loans between harvests. Thus, "...the owner i s the f a t h e r l i k e boss of h i s workers." 25 2 The r u r a l "patrao" may do more than provide employ-ment, a plot of land f o r c u l t i v a t i o n , small loans and emergency funds, and other favors. He may also intercede on behalf of his c l i e n t before representatives of the law, and l o c a l or state governments. 2^ Rurally, t h i s s t i l l seems to be the predominant pattern. Wagley wrote i n 1964 that, "Most peasants are s t i l l dependent upon a t r a d i t i o n a l patrao..," 254 Brazi-l i a n s of the lower r u r a l stratum, "...almost u n i v e r s a l l y seek a stable patrao re l a t i o n s h i p , whether i n the rubber 100 forests of the Amazon, the coffee plantations of S&o Paulo or Parana, the c a t t l e ranches of the pampas or the dry . Northeast, or the mate forests of southern Mato G r o s s o . " 2 5 5 Although urban B r a z i l offers no r e a l equivalent of the r u r a l "patrao," recent migrants usually seek substitutes i n several d i r e c t i o n s . Single women, frequently employed as domestic servants, attempt to attach themselves to t h e i r employer's family. Men, frequently employed as un s k i l l e d .. construction workers, look f o r protection from t h e i r foreman, a trade union o f f i c i a l , a bureaucrat, or a l o c a l 256 p o l i t i c i a n . A more d i r e c t l y extended kinship i n s t i t u t i o n , which also fosters a dependency of poor on r i c h , i s the i n s t i t u -t i o n of "compadresco," or godparenthood. T r a d i t i o n a l l y , a c h i l d i s sponsored at baptism by a couple which becomes his godparents. An i n d i v i d u a l also acquires another godparent at Confirmation, and two more at marriage. "Compadresco" not only establishes an important rela t i o n s h i p of mutual aid and support between parents and godparents, but provides the c h i l d with godparents who w i l l aid him and 257 take his parents' place i n times of need. This i n s t i -t u t i o n i s used by members of the lower stratum to put themselves under the protection of upper-class f a m i l i e s : "...members of the lower class i n v i t e d i n d i v i d u a l s of large and powerful upper-class families to serve as godparents 101 to t h e i r children, thus l i n k i n g themselves and the godchild i n a pseudokin r e l a t i o n to such groups." 2 5 8 In t h i s way, many poor, i l l e g i t i m a t e , and rejected children came under the protection of a r i c h and prestigous godparent, who was concerned with t h e i r health, n u t r i t i o n , education, and future occupation. The godparent sometimes gave his godchild his family surname, raised him among his own children, arranged the godchild's marriage and employment, e hj 260 259 and made him an h e i r . The godchild, i n turn, gave his godparent l o y a l t y and any help the godparent needed. Just as the slaves were bound to the aristocracy by the i n s t i t u t i o n of slavery, "compadresco" and "patrao" bound the freedmen a f t e r a b o l i t i o n . Many freedmen remained on the land or i n the households of t h e i r former masters, bound to them by dependency: "For the great majority (of ex-slaves), l i f e continued i n i t s accustomed -261 routine." Today, the a r i s t o c r a t i c family continues to take the poor under i t s protection, and the dependency of poor on r i c h continues through the i n s t i t u t i o n of "compadresco." The web of protection of the p a t r i a r c h a l family continues to extend to lower-class parents and godchildren, e s p e c i a l l y those who are tenants, employees, or n e i g h b o r s . 2 0 2 In some cases, parents and godparents continue to assume comparable 102 obligations toward a c h i l d and toward each other, t h e i r r e l a t i o n s h i p being comparable to that of s i b l i n g s . 2 6 - 3 Although these obligations may now be reduced i n many areas, the s i t u a t i o n i s s t i l l such that, "...the padrinho (godparent) i s expected to accept some economic and s o c i a l obligation on behalf of h i s afilhado (godchild)." 2 6* 4 . The weakening of "compadresco" i s seen i n one r u r a l community which has been studied. In t h i s community, t r a d i t i o n a l "compadresco" involved the mutual generosity, courtesy, and l o y a l t y i d e a l l y associated with the r e l a t i o n -ship between s i b l i n g s . 2 6 5 When lower-stratum parents select upper-stratum godparents today, the parents and godchild r a r e l y come i n contact with the godparents, and the bond between them i s flimsy. The reason f o r t h i s s i t u a t i o n i s that i t i s not unusual f o r a man of superior s o c i a l position to have more than a hundred godchildren, since he i s singled out by scores of lower-class parents. But "compadresco" continues to fos t e r a dependency of the poor on the r i c h : . . . i t i s f e l t that i t i s better to have a powerful though disinterested godfather than an interested but weak one. The bond i s f e l t to be a form of ultimate insurance; i n the event of extreme emergency, the godfather i s u n l i k e l y to ignore completely h i s obligation to render assistance. 2 o° "Compadresco" i s a t r a d i t i o n a l B r a z i l i a n s o c i a l pattern, and, as i s so often the case with t r a d i t i o n a l 103 patterns, continues most strongly i n r u r a l areas. However, there i s some evidence that "compadresco" i s also found i n urban a r e a s . 2 o ? In concluding t h i s section dealing with family and kinship, l e t me sum up what I f e e l are the points c r i t i c a l to the argument. B r a z i l i a n society has been l a r g e l y dominated throughout the nation's h i s t o r y by a p a t r i a r c h a l , a r i s t o c r a t i c , extended family type. This type represented a large s o c i a l unit which was ruled by the pa t r i a r c h a l l o r d . Not only did his blood and consanguineal kin come under his often absolute power, but a large periphery of lower-class i n d i v i d u a l s were also dependent upon him. Because of the s o c i a l importance of the a r i s t o c r a t i c extended family, family o r i g i n came to be a major determinant of a man's s o c i a l p o s i t i o n . Access to t h i s determinant was t r a d i -t i o n a l l y monopolized by the a r i s t o c r a t i c practice of int r a - f a m i l y marriage. The maintenance of fix e d s o c i a l positions was also aided by the extended family acting as an agent of mutual assistance. In t h i s way, those i n the upper stratum receive the support of t h e i r extended family i n maintaining t h e i r positions. Another factor i s the slave's f a r more than economic role i n the master's family. The pattern which developed with t h i s aspect of slavery was one i n which members of the lower stratum were taken under the protection of a r i s t o c r a t i c f a m i l i e s , and a dependency 104 of poor on r i c h was established. This protection-dependency complex has continued to the present through the i n s t i t u -tions of "patrao" and "compadresco." The e f f e c t s of the above factors on the b i - p o l a r tendency i n s o c i a l s t r a t i f i c a t i o n are manifold. P a t r i a r c h a l power, coupled with the feudal base and the slave system,, has strengthened the B r a z i l i a n t r a d i t i o n of the r u l e r and the ruled, the e l i t e and the mass. The power of the feudal, slaveholding, p a t r i a r c h a l l o r d was the power of the few over the many, a power which tended to polarize the s t r a t i f i -cation system. And t h i s b i - p o l a r i t y was strengthened by several s o c i a l patterns. S o c i a l position tended to be ascribed through family o r i g i n . The s t r a t i f i c a t i o n system was further f i x e d by the inbreeding of the aristocracy. The s t a t i c s t r a t i f i c a t i o n system was also supported by the practice of the r i c h a s s i s t i n g each other through the extended family. In short, the family functioned i n several ways to keep the r i c h r i c h . Wealth became concen-trated very early i n B r a z i l i a n history, and has remained concentrated with the assistance of the upper-class B r a z i l i a n family. Just as the p a t r i a r c h a l family has served to keep the r i c h r i c h , i t has also served to keep the poor poor. The protection-dependency complex, c h a r a c t e r i s t i c of the 105 master-slave r e l a t i o n s h i p , was modified by the feudal, slaveholding, p a t r i a r c h a l l o r d to f i t the changes i n B r a z i l i a n society. One aspect of the protection-dependency complex, which has continued to t h i s day, i s paternalism, discussed e a r l i e r . Two more aspects of t h i s same complex are "patrao" and "compadresco." By means of these three i n s t i t u t i o n s , a continuing dependency exists of the poor on the good graces of the r i c h . The noblesse oblige on the one hand, and the expectation of assistance on the other serve to continually draw the l i n e between the r i c h and the poor. Although the wealthy i n d i v i d u a l may f e e l through these i n s t i t u t i o n s a kinship with the poor i n d i v i d u a l , i t i s never forgotten that one i s r i c h and the other i s poor. In these ways, the B r a z i l i a n kinship system has strengthened, and continues to strengthen the bi-polar tendency i n s o c i a l s t r a t i f i c a t i o n . Now, l e t us turn to yet another key factor i n B r a z i l i a n society: the r a c i a l f a c t o r . IV. THE RACIAL FACTOR From the very beginning of B r a z i l i a n h istory, a man's s o c i a l position was l a r g e l y defined by his race. This practice began with the treatment by the Portuguese colonists of B r a z i l ' s native peoples, the Indians. Before discussing t h i s treatment i n some d e t a i l , l e t me preface my remarks with Wagley's succinct summarization: The Portuguese did not come to B r a z i l to work. At f i r s t they were content to trade with the Indians for Brazilwood, but they soon turned to enslaving the native peoples i n order to secure labour to make gardens which would provide them with food and to perform other tasks. Expeditions were organized to penetrate i n t o the i n t e r i o r to capture Indian slaves. ...despite the. laws promulgated by the Portuguese Grown against Indian slavery, the colonists continued to make slaves of the aboriginal peoples throughout the f i r s t two centuries of B r a z i l i a n history. 2 o° Indeed, the colonists did not come to B r a z i l with any inte n t i o n of hard manual labor, and hence, were compelled to look to others as a source of labor. The native Indians were viewed as a population which existed to serve the col o n i s t s . At f i r s t , Indian labor could be secured by means of a r t i c l e s of barter. When t h i s method was found to be inadequate f o r securing the necessary labor force, the colonists turned to slavery. And, naturally, the Indians represented the only available work force at the t i m e . 2 ° 9 One reason why the colonists could not immediately turn to imported African labor was that the wars with Holland had 107 270 disrupted the t r a n s - A t l a n t i c trade routes. ' In any case, the Indians were the l o g i c a l source of labor, and when t h e i r voluntary labor could not be secured, i t was taken by -force. A f t e r the Indian labor supply available on the coast was exhausted, raid i n g expeditions 271 were organized to penetrate deep int o the i n t e r i o r . The hunting down of Indian slaves became a major a c t i v i t y of some col o n i s t s , "...a true profession of warlike charac-t e r , practiced by i n t r e p i d sertanistas (frontiersmen), who, i n the north, as well as i n the south, entered the i n t e r i o r at the front of t h e i r formidable bands of mamelucos (mixed-bloods), assaulted the v i l l a g e s of the poorly armed savages and carried to the l a t i f u n d i a of the coastal area thousands of Indian s l a v e s . 1 , 2 7 2 V i r t u a l l y a l l labor was performed by these Indian slaves. One observer notes that i n Amazonia i n 1661, a man needed a hunter to provide him with meat, a fisherman to provide him with f i s h , a washerwoman to provide him with clean clothing, and a canoe-rower to provide him with transportation. A l l t h i s labor was done by the Indian 273 slave. ^ This dependency on Indian slave labor was common throughout the colony. As an early nineteenth century chronicler notes, a l l labor was performed by Indian slaves, and, "...each colony prided i t s e l f i n possessing the greatest number: riches were calculated by 108 the quantity of these unfortunates." 2 74 As early as 1570, the Portuguese Crown.attempted to curtail the enslavement of Indians. In 15^7, a decree was put forth prohibiting-their enslavement, but, as was to be the problem a l l along, this prohibition had exceptions. In the words of another early nineteenth century Br i t i s h chronicler, "...no Indians should be considered as slaves, except those as should be taken in open war, made by command of the King or his Governor; or such as, like.the Aymures (sic) and the fiercer tribes, were accustomed to assault the Portugueze (sic) and other Indians for the purpose of eating them."2?5 When this attempt at c u r t a i l -ment proved to be a failure, another royal decree was issued in 1611 with essentially the same provisions. However, the slave-raiders continued to use the decree's exceptional cases as a pretext for continuing their slaving 276 expeditions. Brazil always having been a Roman Catholic nation, the Pope also raised his voice against Indian slavery. In 1639, Pope Urban VIII pronounced the severest censures against those who enslaved Indians. After a Bull of Excommunication was read i n Rio de Janeiro, the populace broke into the Jesuit college there, and only the Governor's intervention prevented the murder of the priests. A mob i n Santos attacked the Vicar General publishing the Bull 109 and trampled both the Bull and the Vicar General. In S&o 277 Paulo, the people expelled the Jesuits from the city. These reactions of a Catholic people are i l l u s t r a t i v e of Brazil's commitment to the institution of Indian slavery during this period. The singular lack of success in ending Indian slavery may be seen in,,the fact that royal decrees declaring Indian freedom continued to pour out. On November 10, 1647, the King declared that the Indians could serve any one they wished to, their c i v i l status was equal to that of other royal subjects, and they were equally qualified for a l l honors, privileges, and li b e r t i e s . On April 1, 1680, another royal edict was issued declaring the Indians to be completely free. In the middle of the eighteenth century, yet another law was made outlawing Indian slavery. However, this law had the usual loopholes, which were exploited to the f u l l . Indians were subjected to compul-sory labor for the colonists. Although the Indians were supposed to be paid for their labor, the system soon disintegrated into a form of peonage and debt servitude. Indian peonage and debt servitude persisted i n Amazonia 279 into the twentieth century. In 1808, war was declared against a hostile group of Indians, and a royal decree permitted their capture and unpaid labor for their captors. Also, in 1808, a royal decree called for the 110 extension of these provisions and the d i s t r i b u t i o n of Indian 280 laborers among estate owners. Outright Indian slavery was reported i n i s o l a t e d areas u n t i l the la t e nineteenth 281 century. Although Indian slavery on a major scale was to come to an end, royal decrees and edicts seem to have had l i t t l e to do with i t s termination. The reasons f o r the decline of Indian slavery were not moral, but rather, p r a c t i c a l . Perhaps the major reason f o r the Indian's lack of success as a slave, was the basic c o n f l i c t between his aboriginal l i f e - s t y l e and the l i f e - s t y l e imposed on him i n slavery. Plantation slavery meant a sedentary and r i g i d organization of a c t i v i t y . The aboriginal inhabitants of B r a z i l were hunters and gatherers. The Indians, "...as unaccustomed to se t t l e d and ordered plantation l i f e as they were at home i n the near-by bush, proved i n e f f i c i e n t and undependable 282 workers." Perhaps another factor was the Indian male's 283 view that a g r i c u l t u r a l labor was woman's work. To a great extent, the following statement portrays a very r e a l s i t u a t i o n : "Sedentary l i f e , a g r i c u l t u r a l routine, the monotony of labor on the plantations meant death f o r them (Indian slaves)." 2 8**- Those Indian slaves who were unable to escape, and many of them did, suffered death i n many ways. Suicide was common. Measles, small-pox, and rum a l l took t h e i r t o l l s . 2 8 ' ' Expeditions set I l l out i n t o Amazonia to capture Indian slaves f o r the planta-tions i n Maranhao and Para, and only h a l f of those captured ever reached t h e i r destinations. As many Indians as were enslaved, more of them died i n the attempt at c a p t u r e . f c O U To a large extent, the slaveholding system meant r a c i a l devastation f o r the Indian. Nonetheless, even a f t e r the Indian had proven unsuitable as a plantation slave, he was retained as a slave oh a small scale. One reason he was kept as a slave was because as a hunter, fisherman, or boatsman he was a 288 superior worker. Another reason was that some colonists were unable to afford the costs of the slave who replaced 289 the Indian: the African Negro. Since the Negro came to be the overwhelmingly dominant non-European element i n the B r a z i l i a n population, the discussion of the r a c i a l factor which follows w i l l be primarily concerned with the Negro. This dominance i s p l a i n i n the conservative estimates made recently that 10.9 per cent of the population i s pure Negro, 26.5 per 290 cent i s mixed-blood, and only 0.2 per cent i s pure Indian. Estimating the number of African slaves brought in t o B r a z i l i s a d i f f i c u l t matter. The d i f f i c u l t y i s l a r g e l y due to an event which took place i n 1891, shortly a f t e r the a b o l i t i o n of slavery. In that year, national f e e l i n g ran high regarding the wiping away of a l l stains and traces of the i n s t i t u t i o n of slavery. In tune with these f e e l i n g s , Ruy Barbosa, Minister of Finance, ordered a l l documents r e l a t i n g to the i n s t i t u t i o n of slavery to be burned. This included a l l customs house documents, owners1 slave contracts, r e g i s t r a t i o n books, and tax reports which 291 related to slaves. Because of t h i s event, estimates of the numbers of slaves brought i n t o B r a z i l can be l i t t l e more than educated guesses. One observer presents a few estimates of the slave proportion of the B r a z i l i a n population. One estimate states that the t o t a l population i n 1798 was 3,250,000, with 1,582,000 slaves and 406,000 free Negroes. Estimates also exist f o r the year 1817 and vary, t o t a l population ranging from 3,300,000 to 3,817,000, with Negro and mulatto slaves comprising 1,000,000 to 1,930,000, and free Negroes and mulattoes from 80,000 to 585,000. 2 9 2 The v a r i a t i o n i s yet greater i n the few estimates of the slave trade's volume over periods of time. Ramos states that 30,000 to 2,500,000 slaves were imported during 293 each century of the trade. " Calogeras estimates 50,000 slaves were imported annually i n the eighteenth century, and 40,000 annually i n the seventeenth century. Since the numbers increased i n the nineteenth century, the annual average f o r the whole period of the slave trade would be 55,OOQ.29V Thus, with the Calogeras estimate, the t o t a l f o r the years 1600 to 16*50 would come to 13,750,000. Although the estimates are rough, i t i s clear that the numbers of African slaves brought into B r a z i l were great. As was discussed i n the section dealing with the economic, factor, the slave became e s s e n t i a l quite early i n B r a z i l i a n history. The slave was not only an i n t e g r a l part of the economic structure, he was an i n t e g r a l part of the society as a whole. Imported into B r a z i l from 1533 to 1850, the Negro slave proved to be a good and s k i l l f u l 295 worker, often already accustomed to a sedentary l i f e . In the same manner as one observer considers the family the most important element i n B r a z i l ' s s o c i a l development, Gilberto Freyre makes the following statement concerning slavery: " . . . i t was slavery - — slavery of a p a t r i a r c h a l type that more than any other s o c i a l i n s t i t u t i o n or s o c i a l process had l e f t a mark on B r a z i l i a n s o c i a l develop-ment and on the character and culture of the B r a z i l i a n p eople." 2^ 6 The f i r s t Portuguese colonists came to B r a z i l from a mother-country which was deeply involved i n the use of African slaves. The number of slaves i n Lisbon was so great as to almost appear to exceed the number of free men. A chronicler of the early sixteenth century states, 114 regarding that c i t y : " A l l services are performed by Negro and Moorish c a p t i v e s . " 2 9 ? This s i t u a t i o n was soon transferred to the B r a z i l i a n colony. The dependency on slave labor was so great during the c o l o n i a l era, that an English h i s t o r i a n of the early nineteenth century f e l t compelled to deny the p o s s i b i l i t y that Portuguese colonists were incapable of labor: That men of European stock are p e r f e c t l y capable of a l l the labour which i n such climates i s required f o r the well-being of man, -is proved abundantly by the prodi-gious fatigues which the Portugueze (si c ) underwent i n seeking slaves to do t h i s necessary labour f o r them. ...yet custom made them dependent upon t h e i r slaves, even to a miserable degree of h e l p l e s s n e s s . 2 9 5 In the c o l o n i a l era, the slave did v i r t u a l l y a l l labor. In addition to a g r i c u l t u r a l and mining a c t i v i t i e s , the slave dominated domestic labor and transportation, and produced the majority of a r t i c l e s of consumption. 2 9 9 A f r i c a n slaves held such positions as. plantation worker, mining technician, c a t t l e r a i s e r , i r o n worker, cloth and soap merchant, band and chorus musician, clown, acrobat, blood-letter, dentist, barber, teacher, schoolmaster, altar-boy, and m i s t r e s s . 3 0 0 In short, the A f r i c a n slave did almost everything. The dependency of the Luso-Brazilian on slave labor was present over centuries. One observer notes that slavery i n the l a t t e r h a l f of the seventeenth century, whether i n house, f i e l d , or mine, was the major influence on B r a z i l i a n l i f e : " . . . a l l categories of educated men 115 were a l i k e agreed that without an assured supply of slave labor from Negro A f r i c a , Portuguese America was not 301 v i a b l e . " A colonist writes, i n 1730, that the Portu-guese do no more "...than command t h e i r slaves to work and 302 t e l l them what to do." Early i n the days of the colony, the expression became popular that the slave was the "hands 303 and f e e t " of the master. From an observation made i n Bahia i n 1812, t h i s may have l i t e r a l l y been the case: "...the r i c h , who are no less ambitious to d i s t i n g u i s h themselves from the rest of mankind, by shewing (si c ) themselves above using those legs which nature has given them to walk on, cause themselves to be carried about i n beds of f i n e cotton, hanging to the ends by a long pole, which two negroes carry either on t h e i r heads or shoulders.^304 Another type of dependency, observed i n Rio de Janeiro at the end of the eighteenth century, was that of the r e l a t i v e l y poor colonist on his slave. I f the colonist could afford to buy one or two slaves, he would hire the slave out during the day, and l i v e o f f of the earnings. In t h i s way, "...when the Negro contracted any malady, the 305 owner was immediately reduced to want..."^ ' Another observer also noted t h i s practice early i n the nineteenth century. He saw Negro slaves roaming the streets of Rio 116 de Janeiro looking f o r work, often carrying large baskets on t h e i r heads. I f they did not bring i n a certain sum of money at the end of each day, they were punished by t h e i r masters. Some of these slaves earned t h e i r wages by carrying tubs of water, and others transported another cargo: "The streets a f t e r dark are most of f e n s i v e l y f i l l e d with negroes, carrying tubs of s o i l to empty at the beach, a water-closet, or privy, not being known i n t h i s c i t y . " A. s t r i k i n g example of the dependency of a l l l e v e l s of society on slave labor i s the observation that some masters rec l i n e d i n a hammock carried on the shoulders of 307 two slaves, and begged f o r alms. Indeed, the dependency on slave labor was not l i m i t e d to the upper c l a s s . Barbers, blacksmiths, and carpenters had slaves. Housepainters had slaves who carried t h e i r tools and mixed t h e i r paints. But perhaps the most pronounced and t o t a l dependency on slave labor was found i n the landed aristocracy of the plantations. Since the master almost never l e f t h i s hammock, his legs did almost no work. In the hammock, the master slept, wrote, played, t r a v e l l e d , and copulated. Freyre writes: " I t was i n the hammock that, a f t e r breakfast or dinner, they l e t t h e i r food s e t t l e , as they lay there picking t h e i r teeth, smoking a cigar, belching loudly, emitting wind, and allowing.themselves to be fanned or searched for l i c e by the pickaninnies, as they scratched their feet or genitals..."^09 Likewise, the master's hands did l i t t l e work: the slave dressed him, drew on his trousers and boots, bathed and brushed him, and searched his body for fleas. The only work that the master's hands did was t e l l i n g the beads of the rosary, playing-cards, taking snuff, and fondling the breasts of young Negro and mulatto females. Tales are told of one master who had a slave light his cigars, and another 310 master who had a slave wipe his bottom. This, then, i s the basis for the observation made in 1818 that the slave performs " . . . a l l the manual a c t i v i -ties and tasks calling for strength and dexterity which members of the upper class, for the most part, deem i t beneath their dignity to perform, more out.of vanity than laziness, or perhaps both."-3"**1 This attitude toward manual labor w i l l be discussed at length in a later section. The master and the slave were in constant contact: "In the home, on the plantation, along the roads of the rural areas, or in the streets of the ci t i e s , on the hunt, at parties, or at church, black and white were constantly to be seen in each other's company."-312 It i s only natural that, under these circumstances, slavery 118 became an extension of patriarchalism, an almost f a m i l i a l i n s t i t u t i o n . But nonetheless, slavery i s not a benign i n s t i t u t i o n . One observer, i n 1812j writes of the slaves on the planta-t i o n , "...whose labour i s so hard, and sustenance so small, that they are reckoned to l i v e long i f they hold out seven 313 years." A widely held b e l i e f among students of B r a z i l ' s s o c i a l h i s t o r y i s that slaves were treated well. Although t h i s may be true i n r e l a t i v e terms, a more careful i n v e s t i -gation w i l l reveal that t h i s b e l i e f ' s a p p l i c a t i o n i s primarily to the nineteenth century. For reasons which w i l l be noted below, slaves i n the nineteenth century became quite scarce, and hence, quite costly. The improved treatment of slaves was i n large part due to the uneconomic nature of neglect and maltreatment of s l a v e s . A l t h o u g h the slave's treatment may have been r e l a t i v e l y benevolent, the fact remains that, "...the Negro suffered greatly i n his condition of servitude, as i s evidenced by the punish-ments meted out to him, his preoccupation with suicide, the murders of masters he committed, hi s uprisings and h i s ,.315 escapes." In any case, i t i s clear that the Negro slave formed an i n t e g r a l part of B r a z i l i a n society f o r three centuries. In terms of s o c i a l s t r a t i f i c a t i o n , what can be more bi-polar then the master-slave relationship? One 119 consequence of the i n t e g r a l presence of the Negro slave i s a high degree of r a c i a l mixture throughout B r a z i l ' s h i s t o r y . From the beginning, the lack of European women and the 316 a v a i l a b i l i t y of Indian women promoted r a c i a l mixture. Racial mixture continued with the African slaves. Measures segregating free Negroes and whites existed i n c o l o n i a l times: separate r e l i g i o u s brotherhoods, separate army regiments, exclusion of Negroes from the priesthood, and 317 marriage between black and white being unthinkable. However, as was discussed e a r l i e r , the Negro slave g i r l was considered a sexual object by the white master. One observer f e e l s that the Negro slave's role as wet-nurse and nursemaid determined the master's sexual a t t r a c t i o n to Negro women. But psychological speculations aside, the female slave was re a d i l y available to s a t i s f y the sexual desires of the master. This sexual s a t i s f a c t i o n produced a sizable group of mulattoes. R a c i a l mixture continues i n the twentieth century. A s i t u a t i o n s i m i l a r to the master-slave relationship has brought about r a c i a l mixture today. This s i t u a t i o n i s the sexual rel a t i o n s h i p between an upper-class, white, male family.member, and the non-white servant g i r l employed by his family. The r a c i a l composition of servants f a c i l i t a t e s r a c i a l mixture. For example, a study i n Bahia revealed that 120 of 250 servant women, 197 were Negro, 47 were mulatto, four 319 were Negro-Indian mixtures, and only two were white. This same study presents a common s o c i a l pattern, i n which a man maintains a mistress with food and housing extra-m a r i t a l l y . The man may also have a l e g a l family or may be a young and unmarried male. In any case, children are produced. The man i s frequently white, and the woman i s 320 frequently mulatto. I n t e r - r a c i a l marriage i s another matter. Although i t cannot be said to be the norm, i t does occur. In Bahia, marriages are said to cross r a c i a l l i n e s more frequently than class l i n e s , and i n t e r - r a c i a l marriage i s a common phenomenon i n the lower cla s s .3 2 1 In fa c t , Banians explained t h e i r objections to i n t e r - r a c i a l marriage l a r g e l y on the basis of cla s s . Some of these objections raised to marrying a Negro are as follows: Because pretos (Negroes) seldom have s o c i a l standing. Because they are o r d i n a r i l y lower on the s o c i a l scale. Because they are usually crude and stupid. Because they belong to a low class. Because i t would lower me. Because I think both should be on the same s o c i a l l e v e l . Because black color usually lowers one's s o c i a l p o s i t i o n . Because 1 think s o c i a l equality i s indispensable f o r marriage.322 A more recent observer notes the i d e a l norms of i n t e r - r a c i a l marriage, versus the r e a l patterns. A f i r s t i d e a l norm i s that people of di f f e r e n t colors can intermarry. The r e a l 121 pattern i s that t h i s intermarriage usually produces a s t r a i n i n the fam i l i e s , and t h i s s t r a i n increases i n i n t e n s i t y as one ascends the s o c i a l scale. A. second i d e a l norm i s that intermarriage between darker men and l i g h t e r women i s more favored than the reverse. This norm corresponds to the re a l pattern, and t h i s type of match i s much more frequent. A t h i r d i d e a l norm,favors marriage between not very distant physical types. The r e a l pattern here i s one i n which the d i f f i c u l t y i n overcoming distance i n physical type increases as one ascends the s o c i a l scale. F i n a l l y , another i d e a l norm favors the man being of higher s o c i a l position than the woman. The r e a l pattern corresponds to t h i s , more marked differences i n physical type being more acceptable i n i n t e r - s t r a t a matches than i n i n t r a - s t r a t a matches. The implications of r a c i a l prejudice i n the above discussion w i l l be dealt with at length below. It i s clear that r a c i a l mixture has been present throughout B r a z i l ' s h i story, and continues to occur. The patterns of i n t e r - r a c i a l marriage noted above may give some explanation f o r the observation that, "...the mixed-bloods appear to be gradually absorbing the blacks, while they themselves are increasingly being incorporated i n t o the predominantly European stock."324 Although the B r a z i l i a n d e f i n i t i o n of white i s broad, and the number of mixed-bloods i s hence underestimated, r a c i a l mixture may 122 nonetheless be seen in some population figures: in 1&90, 43.9 per cent of the population was classified as white, 41.4 per cent as brown, and 14.6 per cent as black; i n 1950, 61.6 per cent was classified as white, 26.$ per cent 325 as brown, and 10.9 per cent as black. A large proportion of the white increase i s accounted for by European immigra-tion as w i l l be seen in the following section, but the presence of on-going racial mixture can s t i l l be seen. There i s some foundation for the view that, "...the Negro as a racial unit, like the Brazilian Indian before him, i s gradually, but to a l l appearances inevitably, disap-pearing." 3 2 6 At the present time, however, the non-white Brazi-l i a n , and particularly the Negro, has by no means disappeared as a distinct individual. In fact, his presence i s a major contributing factor to the bi-polar tendency in social s t r a t i f i c a t i o n . Before examining the racial aspect of bi-polarity, I w i l l take a brief look at how the products of racial mixture have served to work against this bi-polar tendency. In a society in which Negroes were slaves and whites were masters, i t seems.only natural that racial mixtures of the two types might comprise a middle group. Mulatto slaves were preferred over Negroes as "mucamas," "amas de 123 crear" (nursemaids), and other "pessoal de casa" (house servants). Through holding these positions, mulattoes developed i n t o a group d i s t i n c t from f i e l d hands i n c o l o n i a l times. Mulatto slaves were often baptized, given t h e i r master's name, and married with the prescribed l e g a l and 327 r e l i g i o u s r i t e s . Mulatto slaves were often given t h e i r freedom, i n preference to Negroes, and early i n the 328 c o l o n i a l period began to enter the free population. As was mentioned above, the position of the slave i n the family often produced i l l e g i t i m a t e mulatto children. These children were sometimes raised and educated by upper-class 329 f a m i l i e s , and were often given t h e i r freedom. From c o l o n i a l times, the mulattoes comprised a segment of the society which held positions between that of master and that of slave. This group occupied such positions as small farmer, small shopkeeper, street merchant, and 330 a r t i s a n . As artisans, the mulattoes often began t h e i r r i s e as apprentices. One observer notes that i n Pernambuco, the European technicians gradually transmitted t h e i r know-ledge to mulatto assistants, and by 1811 the majority of 331 the best mechanics were mulattoes. Mulattoes also occupied positions as free machinists i n the mines, on the 332 r a i l r o a d s , and i n the foundries. In Rio de Janeiro i n 1811, apprenticeships with French and German shoemakers, and with French dressmakers also trained the mulattoes as 124 333 s k i l l e d a r t i s a n s . In time, mulattoes began to enter such positions as doctor and other university-educated positions, p r i e s t , captain of the m i l i t i a , master craftsman, and even owner of land, mines, and slaves. 3 3* 1' Some mulattoes gradually raised t h e i r s o c i a l p o s i t i o n from that of slave to that of a free, and perhaps u n i v e r s i t y -educated professional. One observer notes that, "...cross-breeding. . .off ered a means of r i s i n g i n the world..., i n 335 contrast to slavery..." Yet, another observer notes of the mulatto: "Although he managed to r i s e i n the s o c i a l scale, he always remained a marginal type, t r y i n g to forget his Negro o r i g i n and struggling to a t t a i n the s o c i a l status of the white man." 3 3° The marginal nature of t h i s middle group i n the t o t a l society cannot be overstressed. Now, l e t us take a b r i e f look at the processes by which the Negro slave attained his freedom. As early as the era of c o l o n i a l slavery, the freeing of slaves was not an uncommon practice. An early nine-teenth century chronicler notes some of the circumstances surrounding manumission during the c o l o n i a l period: Many are emancipated at the death of t h e i r owners; and r i c h proprietors generally set some at l i b e r t y during t h e i r l i f e time. The woman who s h a l l have reared ten children, i s declared free the owner s h a l l manumit an infant at the font, i f any person offers twenty m i l r e i s , as the price of i t s freedom. Freemen frequently emancipated t h e i r i l l e g i t i m a t e o f f s p r i n g i n t h i s manner...337 125 In addition to these means, freedom was also attained i n general by the master's i l l e g i t i m a t e children, and often his slave concubines, as was mentioned above. Another method of manumission was the custom, and l a t e r law, f o r masters to accept as payment f o r freedom the slave's o r i g i n a l cost. Slaves had some opportunity to earn the money required f o r manumission. In t h i s way, free Negroes, l i k e free mulattoes, early formed something of a middle group. They held such positions as free a g r i c u l t u r a l laborers, artisans, porters, messengers, barbers, street merchants, and small shop-keepers. Some free Negroes were able to accumulate quite a b i t of money, and a few free Negroes even owned slaves. 3 3 9 One observer notes that the free Negro usually attempted to take up the practices of the white man. The free Negro might give up rum f o r wine, greens f o r pork, the thatched house f o r the house of stone, and bare feet or sandals f o r O I f ) shoes, even though the shoes might hurt his feet. The free Negro during slavery can be viewed, as the free mulatto, as a s o c i a l l y marginal i n d i v i d u a l . In the middle of the nineteenth century, the slave trade came under serious attack, from both within and without. B r a z i l , linked c l o s e l y by trade to Great B r i t a i n , was unable to remain unaffected by the B r i t i s h a b o l i t i o n i s t fervor. On August 8, 1845, the B r i t i s h Aberdeen B i l l put 126 ships transporting slaves to Brazil under attack by the Bri t i s h Navy. Many Brazilians were outraged by this infringement of their sovereign rights, and the volume of O 1-1 the slave trade actually increased between 1845 and 1848. However, Brazilian public opinion was also beginning to turn against slavery, and on September 4, 1850, a Brazilian law 342 was passed abolishing the slave trade. But the abolition of the slave trade was not the abolition of slavery, and complete abolition came to be sought by many Brazilians. The figure of the bush captain, whose job i t was to run down fugitive slaves, became despicable, and the apprehension of fugitive slaves lost public support. The soldiers tended to wink at slave escapes, and refused to attack fugitives and communities of fugitives. Some abolitionists gave active support to mass slave escapes. Abolitionism i n the press became 343 vigorously outspoken. This abolitionist sentiment led to the freeing of slaves in new ways. Emancipation organizations raised funds for buying the freedom of slaves. These organizations were composed of both Negroes and whites, working both separately and together. Masters often gave freedom to slaves for long years of service. Slaves were freed i n wills , at Baptisms, on holidays, and on anniversaries. Some owners liberated their slaves en masse.3*4'*'' Between 1864 and 1870, 127 the government gave freedom to large numbers of slaves f o r 345 service i n the Paraguayan War. The r i s i n g public opinion against slavery was expressed i n l e g i s l a t i o n . On September 28, 1871, the Law of Free B i r t h was enacted. By t h i s law, a master had the option of freeing a new-born slave at the age of 21 , or receiving 600 m i l r e i s from the government i n payment f o r the slave's freedom at the age of eight. On March 25, 1884, the state of Ceara abolished slavery, and was followed by the state of Amazonas on July 10, 1884. F i n a l l y , the Empress of B r a z i l signed the Golden Law completely abolishing slavery on May 13, 1 8 8 8 . ^ ^ 7 As was mentioned e a r l i e r , the a b o l i t i o n of slavery brought no r a d i c a l change i n the slave's standard of l i v i n g . Some ex-slaves moved to the towns and there performed the labors they had learned as slaves: f i s h i n g , l i d barbering, b r i c k l a y i n g , or manual labor. Other ex-slaves rented plantation land, and became small farmers. Others received plots of land on easy terms from t h e i r 349 former masters, or simply remained as paid laborers. Others moved as laborers from plantation to plantation. Many ex-slaves remained " . . . l i v i n g under the same conditions as before, but l e g a l l y f r e e . 5 0 The s o c i a l heritage of slavery was hardly erased with the a b o l i t i o n of that i n s t i t u t i o n . The free mulattoes, 128 and to some extent the free blacks, formed something of a middle group during slavery, but t h i s group seems to have been l a r g e l y marginal. With the a b o l i t i o n of slavery, the l e g a l d i s t i n c t i o n between master and slave was erased. But the de facto s i t u a t i o n remained l a r g e l y dominated by a class of masters and a class of slaves. As w i l l be shown i n the following discussion, as a rule of thumb, black continues to mean lower s o c i a l position, and white continues to mean upper s o c i a l p o s i t i o n . Throughout B r a z i l ' s h i s t o r y , a general trend has been the correspondence of s o c i a l position and r a c i a l type. In early c o l o n i a l times, the s o c i a l scale could be defined i n r a c i a l terms. At the top of the scale were the Portu-guese of European b i r t h ; they were followed by Portuguese colonists born i n B r a z i l ; at the bottom of the scale were placed non-European r a c i a l t y p e s . 3 5 1 Fernando de Azevedo, the noted B r a z i l i a n h i s t o r i a n , has described the c o l o n i a l s t r a t i f i c a t i o n system i n the following succinct manner: ...the d i s t i n c t i o n of classes established on an economic base met i n the d i s t i n c t i o n of races a material and v i s i b l e sign of d i f f e r e n t i a t i o n . Lords and slaves, whites and Negroes. The races, white and African, formed an ethnic s t r a t i f i c a t i o n , the layers of which corresponded exactly ...to s o c i a l s t r a t i f i c a t i o n , to the.two classes which the plantation system of mono-culture and the slave system separated and super-imposed, r a i s i n g the lords of the sugar plantations to the category of n o b i l i t y , and degrading to the lowest l e v e l the masses of slaves.35 2 129 This s i t u a t i o n persisted, to a great extent, through-out the centuries of slavery, and has continued since the a b o l i t i o n of slavery. The b a s i c a l l y unchanged s o c i a l and economic position of the freed slave has been noted above. One observer speaks of the problems faced by the newly freed slaves i n the sugar regions. The surplus population i n both the urban zones and the r u r a l areas of subsistence a g r i c u l -ture c r i t i c a l l y l i m i t e d the mobility of the ex-slaves. Because of these conditions, these i n d i v i d u a l s were compelled to work f o r r e l a t i v e l y low wages. Thus, " . . . i t can hardly be assumed that material l i v i n g conditions of former slaves 353 changed perceptibly a f t e r a b o l i t i o n . " In any case, color continues to be a rather r e l i a b l e index of s o c i a l position. The s o c i a l s t r a t i f i c a -t i o n system, i n e x t r i c a b l y bound to race f o r centuries, i s often subtle i n terms of cause and e f f e c t . Although some, observers maintain that there i s considerable personal freedom since a b o l i t i o n regardless of race, t h i s i s a rather hollow freedom because of the unequal d i s t r i b u t i o n of opportunities. Most u n i v e r s i t i e s , and p u b l i c l y and p r i v a t e l y owned f a c i l i t i e s i n general, are open to people of any color, but r e l a t i v e l y few Negroes are seen i n many places. One reason i s that most Negroes lack the necessary f i n a n c i a l r e s o u r c e s . O n e observer states: "Prejudice i n B r a z i l i s more s o c i a l than r a c i a l , more of classes than 130 355 of r a c e . . . " ^ " R a c i a l prejudice w i l l be examined i n depth shortly, but f i r s t l e t us look at the remarkably high c o r r e l a t i o n between color and s o c i a l p o s i t i o n . The product of centuries of slavery, B r a z i l ' s s o c i a l s t r a t i f i c a t i o n system today continues to have strong r a c i a l overtones. Charles Wagley sums up t h i s contemporary s i t u a -t i o n as follows: "In general, as one moves down the s o c i a l hierarchy, the number of r a c i a l l y mixed or otherwise non-356 white i n d i v i d u a l s gradually i n c r e a s e s . " ^ Another observer remarks: " . . . i t i s accepted as a fact of l i f e throughout B r a z i l that the i l l - f e d , i l l - c l o t h e d , i l l -housed, i l l i t e r a t e members of society are more apt to be Negroes and mulattoes - — who are concentrated heavily at the bottom of the s o c i a l scale than B r a z i l i a n s of predominantly European, Levantine, or Japanese extraction."- 3 These generalizations are supported by the findings of several p a r t i c u l a r studies. One of the most comprehensive examinations of the r a c i a l factor i n B r a z i l i s Pierson's now-classic study made at Bahia. Pierson tabulated the r a c i a l d i s t r i b u t i o n of occupations as one i n d i c a t o r of s o c i a l p o s i t i o n . Four of these tables are presented on pages 131, 132, 133, and 134. The general picture which Tables X, XI, XII, and XIII portray i s c l e a r : occupational l e v e l i s d i r e c t l y correlated 131 TABLE X RACIAL DISTRIBUTION IN THOSE EMPLOYMENTS AT BAHIA IN WHICH WHITES APP* TO BE PREDOMINANT, 19363> Percentage  "Wht""" Employment Sample Wht Mul Blk Mul Total Bank employees; 125 84.0 2.4 0.0 13.6 100 P r i e s t s 50 76.0 8.0 0.0 16.0 100 Businessmen 40 75.0 7.5 0.0 17.5 100 Cabaret entertainers- 26 73.1 11.5 0.0 15.4 100 Professors; 232 70.3 14.2 0.0 15.5 100 Lawyers 413 67.1 9.7 1.7 15.2 100 P o l i t i c i a n s 60 66.7 11.6 1.7 18.3 100 Physicians; 100 63.0 20.0 1.0 16,0 100 Teachers 58 57.0 24.1 3.4 15.5 100 Commercial employees 325 54.8 27.4 1.6 15.3 100 Government employees. 250 45.2 32.8 5.6 16.0 TOO 132 TABLE XI RACIAL DISTRIBUTION IN THOSE EMPLOYMENTS AT BAHIA IN WHICH MULATTOES APPEAR TO BE PREDOMINANT OVER WHITES, 1936? 5 9 Percentage Employment Sample ' " Mulatto White Black : T o t a l Army o f f i c e r s Superior I n f e r i o r 33 38 57.6 47.4 42.4 34.2 0.0 15.3 100 100 Clerks 350 55.1 44.6 0.3 100 133 TABLE XII RACIAL DISTRIBUTION IN THOSE EMPLOYMENTS AT BAHIA IN WHICH MULATTOES APPEAR TO BE.. PREDOMINANT OVER BLACKS, 1936^°° Percentage Ind-Employment Sample Mul Blk Wht Blk Total Barbers 150 74.0 20.0 6.0 0.0 100 Band musicians 98 68.4 23.5 8.1 0.0 100 Street-sweepers 75 62.7 34.7 2.6 0.0 100 Streetcar checkers 50 62.0 24.0 10.0 4.0 100 Streetcar conductors 80 58.8 22.5 16.2 2.5 100 Firemen 100 58.0 32.0 9.0 1.0 100 Bus attendants 90 54.5 30.0 12.2 -3.3 100 Taxi-drivers 85 54.1 31.8 9.4 4.7 100 Police 150 54.0 32.6 13.4 0.0 100 Bus-drivers 90 50.0 27.8 17.8 4.4 100 Soldiers 750 48.1 40.5 11.1 0.3 100 134 TABLE XIII RACIAL DISTRIBUTION IN THOSE EMPLOYMENTS AT BAHIA IN WHICH BLACKS APPEAR TO BE PREDOMINANT, 19363°! Percentage Employment Sample Blk Mul Wht Ind-Blk Tota: Porters 100 93.0 7.0 0.0 0.0 100 Laundresses 200 89.5 , 9.5 0.0 1.0 100 Mule-carters 100 83.0 15.0 o.o 2.0 100 Masons 125 82.4 16.8 0.0 0.8 100 Stevedores 125 81.6 15.2 1.6 1.6 100 Truck-helpers 250 81.2 18.0 0.8 0.0 100 Domestics 250 78.8 18.8 0.8 1.6 100 Street laborers 225 78.3 21.2 0.5 0*0 .100 Gandy-pe ddle rs 100 77.0 21.0 1.-0 1.0 100 Cobblers 70 74.4 22.8 2.8 0.0 100 Venders 200 68.5 28.0 3.5 0.0 100 Newsboys 100 68.0 31.0 1.0 0.0 100 Shoe-shiners 50 66.0 32.0 2.0 0.0 100 Streetcar motormen 80 60.0 32.5 5.0 2.5 100 Truck-drivers 150 44.7 43.3 10.7 1.3 100 135 with color; as occupational level descends, darkness of skin color increases. Pierson further illustrates the correlation between race and social class with some observations concerning living.arrangements. He notes that the more comfortable, more healthful, more convenient, and more expensive ridges of the city are occupied by whites and lighter mulattoes. Gn the other hand, the less accessible or convenient, less healthful, low-lying, cheaper areas of the city are occupied by darker mulattoes and blacks. Finally, Pierson's analysis of racial distribution i n the social classes of Bahia also bears out the correla-tion between class and color. Table XIV on page 136 illustrates this situation. If the numerical presentation in Table XIV does not make the situation sufficiently clear, the graphic presentation i n Figure 2 on page 1 3 7 , leaves no room for confusion. Charles Wagley has computed a set of figures which portrays the race-occupation distribution for a l l of Brazil i n 1940. The professions, private teaching, and cultural and private administrative acti v i t i e s are performed by a labor force 90 per cent white and 2.5 per cent Negro. Positions i n public administration are 7 6 per cent white and B per cent Negro. Commercial and financial positions 136 TABLE XXV RACIAL DISTRIBUTION IN THE CLASSES AT BAHIA, 1936363 I n t e l l i g e n t s i a Marginal Lower Class , Per Per Per Ethnic Groups Number" Cent Number Cent Number Cent Blacks 5 0.4 23 5.1 1,245 75.2 Mixed-bloods 222 15.7 255 56.3 386 23.3 Whites 1,183 83.9 175 38.6 25 1.5 T o t a l ; 17410 lOOTO 453 lOOTO 1,656 100.0 I n t e l l i -gentsia Marginal lower Glass Blacks Per Cent 0 . 4 1.8 97.8 100.0 Mixed-bloods Per Cent 25.8 2 9 . 6 1 0 0 . 0 Per Cent $5.5 12.7 1.$ Whites 1 0 0 . 0 FIGURE 2 CLASS DISTRIBUTION OF THE RACES, BAHIA, 1 9 3 6 3 ° 4 138 are 79 per cent*.white and 5 per cent Negro, Another i n d i -cator i s the racial distribution among Brazil's employers. The 342,000 males classified as employers i n 1940 include 3.4$ per cent of the white population, 0.74 per cent of the brown population, and 0.55 per cent of the black population. Wagley concludes his examination of the 1940 situation with the following statement: "There i s no reason to believe that these ratios have changed strikingly i n the last twenty „365 years or so..." The results of Harris i n his study of one rural Brazilian community also support the generalization correlating race and social position. Harris tabulates three indices of social position, economic, educational, and occupational, i n terms of racial distribution. This i s seen in Table XV on page 139. On a l l three gradients, white occupies the highest position, and black occupies the lowest. Zimmerman's study of another rural Brazilian community provides further evidence. He remarks that the lightest individuals are concentrated i n the upper social stratum, while the darkest individuals are dominant in the lower. As an example, he notes that government jobs, which require money, education, and personal influence to: obtain, are predominantly occupied by white individuals. 139 TABLE XV MINAS VELHAS: DISTRIBUTION OF WEALTH, EDUCATION, AND OCCUPATION: BI RACE3D6 Gradient High White Medium Mulatto Low Negro Economic Average monthly income Cr.$96l Cr.$648 Cr.$445 Average property Cr.$23,258 Gr.$9,6?0 Cr.$7,8l4 Educational L i t e r a c y Years of school Grades completed Occupational Professional-administrative C i v i l service and commercial Grafts Menial and agri c u l t u r a l 3.3 2.5 22% 37% 22% 73% 2.0 0.87 10% 43% 7° 1.4 0.70 3% 45% 45% 140 A more recent observation concerning race and social position has been made for the I960 population of the city of Rio de Janeiro. Horowitz reaches an interesting conclu-sion about the population of Rio's "favelas," or slum-shanty-towns, in the following manner: According to the I960 census, 13 per cent of Rio de Janeiro's population was Negro. In a present estimated population of about three million, that would give about 400,000 pretos (Negroes). If. the present favela population i s close to 900,000 as estimated by the police, and the proportion of pretos among favelados i s s t i l l close to 40 per cent, practically a l l of Rio's Negroes must liv e i n favelas.368 The general situation in Brazil seems to be accurately portrayed as one in which social position i s correlated with racial type. Black means low, and white means high; black equals poor, and white equals rich. A more formidable support of a bi-polar tendency i n social st r a t i f i c a t i o n i s d i f f i c u l t to imagine. Although race and class seem to be inextricably linked, evidence exists which contradicts the frequently heard statement that the only prejudice i n Brazil i s class prejudice. Black i s low and white i s high, and this situation i s maintained by a whole set of rac i a l attitudes which one can hardly avoid calling racial prejudice. The colonial population may have had a relatively high degree of racial tolerance, but the racial factor nonetheless constituted a barrier to social integration. H I "Negro" and "darkie" were terms of i n s u l t , and were used as synonyms f o r "slave." These terms, and the treatment appropriate to t h e i r meaning, were often applied to a l l Negroes, slave and f r e e . 3 ^ Just as Negro was associated with slave during the time of slavery, Negro i s associated with lower class today. One observer notes that when a man f i r s t meets a Negro, he catalogues the Negro into lower-class status because of the i n d e l i b l e badge of lower-class status which Negro appearance i s . Only i f the Negro can give evidence of such things as economic competence, professional s k i l l , educational achievement, and "gentlemanly bearing," 3 70 i s the cataloguing of him into the lower class modified. This attitude i s seen i n the r a c i a l stereotypes found i n the studies of several B r a z i l i a n communities. In a community i n the Amazon Valley, the r a c i a l stereotypes r e f l e c t the hi s t o r y of the area, which included Indian slaves and few Negroes. Because of the lack of a Negro slave heritage, the Negro i s characterized as witty, crafty, a fluent conversationalist, a good story t e l l e r , and sexually potent. The mulatto i s characterized as treacherous, i r a s c i b l e , and d i f f i c u l t to deal with. The "caboclo" (of Indian ancestry) i s characterized as one of low s o c i a l status and a symbol of slave ancestry. The white i s characterized as good at business, i n t e l l i g e n t , 142 371 and well-educated. I might note that these stereotypes of white and mulatto are nationally distributed. The white stereotype clearly originates in the master heritage. The mulatto stereotype probably comes from the ambitions of and actual mobility of these products of racial mixture. The racial stereotypes i n a community of the sugar region are probably more nationally representative than those of the Amazon. In this community, the Negro i s characterized as a hard worker, humble, loyal, and affec-tionate to his employer, servile, knowing best how to please the white, and not trying to be white. The mulatto i s seen as a social climber, who i s pretentious, unreliable, and wants to be white. The white i s stereotyped as well-dressed, wealthy, powerful, responsible to lower-class dependents, and one who should not get dirty or perspire i n 372 his work. Some phrases used by informants in this community further i l l u s t r a t e the presence of racial prejudice: Negro doesn't marry, he gets together. Negro doesn't accompany a procession, he runs after i t . Negro doesn't s i t down, he squats. Negro in white clothes i s a sign of rain. Negro doesn't hear Mass, he spies on i t . Negro at a white man's party i s the f i r s t to grab and last to eat. Negro's intelligence i s the same size as his hair.-*'-* Racial prejudice i s also seen in the findings made in the study of another rural community. In this community, 143 a test was administered to community members of a l l racial types involving photographs of individuals of the four racial types, male and female. Because of the ambiguous nature of the photograph of the female ttcaboclo,n the findings are somewhat lacking in clarity. But the general pattern which emerges places the white in a positive light, and the Negro i n a negative light. The Portuguese terms for racial types mean Indian ancestry, Negro, mulatto, and white, respectively. The results of this ranking question-naire are seen in Table XVI on page 144. The ranking of the Negro as best worker results from his stereotype as the manual laborer. Perhaps a clearer indicator of racial prejudice i n this community are the results of a question-naire involving inter-personal relations as seen i n Table XVII on page 145. In Table XVII, the pattern more clearly emerges of the white as the preferred racial type, and the Negro as the less desirable racial type. The findings of the study of yet another Brazilian community further support the assertion of existence of racial prejudice. A ranking questionnaire similar to that used i n the previously described study was used with the members of this community. The results are seen i n Table XVIII on page 145A. These results reveal with crystal c l a r i t y the pattern of white at the top, mulatto i n the TABLE XVI SERTAO: RACIAL RANKING OF PERSONAL QUALITIES374 Male Photo Female Photo Choice 1st 2nd 3rd 4th 1st 2nd 3rd 4th Which person i s most attractive? "Caboclo" 11 28 27 21 a 5 25 50 "Preto" 6 9 14 50 2 16 45 27 "Mulato" 3 43 35 5 23 58 10 2 "Branco"> 76 7 7 5 61 22 13 3 Which person i s wealthiest? 16 28 "Caboclo" 15 31 23 23 34 17 "Preto" 21 10 21 41 7 12 31 44 "Mulato" 10 29 34 i a a 42 36 9 "Branco" 55 24 13 7 4a 28 !4 9 Which person i s the best worker? "Caboclo" 9 8 52 30 31 7 14 43 "Preto" 76 a a 9 30 27 21 19 "Mulato" 11 70 14 5 26 38 28 7 "Branco" 5 16 27 51 11 28 40 23 Which person i s the most honest? 16 18 "Caboclo" 11 27 23 29 31 30 "Preto" 17 15 23 34 12 18 30 35 "Mulato" 21 2a 27 14 16 49 20 11 "Branco" 37 24 20 a 42 19 28 10 Which person i s the most religious? 60 a "Caboclo" 15 20 33 24 10 17 "Preto" 27 14 19 31 7 20 28 38 "Mulato" 14 44 24 14 14 40 31 13 ^Branco" 40 20 12 17 24 34 23 17 145 TABLE XVII SERTAO: RACIAL RANKING OF INTERPERSONAL RELATIONS 3 7 5 (Numbers of Respondents? Answering i n the Affirmative) (N - 100) Types Ranked • "Caboclo" "Preto" "Mulato" "Branec" Questions . M. F. M. F. M. F> M. F. Would you accept t h i s person as your neighbor? « 48 37 20 30 34 59 81 79 Would you accept t h i s person as a friend? 52 44 21 33 38 59 84 77 Would you i n v i t e t h i s person to dinner? 51 38 31 43 45 62 75 77 Would you allow your son (daughter) to dance with t h i s person? 53 57 35 62 53 76 77 88 Would you accept t h i s person as; a brother- ( s i s t e r - ) in-law? 43 41 23 43 37 60 64 76 TABLE XVIII MINAS VELHAS: RACIAjL RANKING OF PERSONAL QUALITIES 3 ' b Quality White Mulatto Negro Most i n t e l l i g e n t 77 62 53 Less i n t e l l i g e n t 68 93 31 Least i n t e l l i g e n t 47 37 108 Most b e a u t i f u l 107 75 10 Less b e a u t i f u l 64 98 • - . 30 Least b e a u t i f u l 21 19 152 Most •wealthy- 113 46 33 Less wealthy 44 96 52 Least wealthy 35 50 107 Most r e l i g i o u s 82 62 48 Less r e l i g i o u s 64 74 54 Least r e l i g i o u s 46 56 90 Most honest 80 70 42 Less honest 64 74 54 Least honest 46 56 90 Best worker 12 63 117 Worse worker 49 96 47 Worst worker 131 33 28 146 middle, and Negro at the bottom. The question regarding q u a l i t y as a worker serves to point out the stereotype of white as non-worker and Negro as worker, a stereotype which w i l l be discussed i n a l a t e r section of t h i s essay. The attitude toward the Negro as an i n f e r i o r r a c i a l type i s also expressed i n several other ways i n t h i s community. For example, the members of t h i s community consider the Negro's i n f e r i o r i t y to be a s c i e n t i f i c f a c t , as well as a lesson of d a i l y experience, A school text-book used there states t h i s a t t i t u d e : Of a l l races the white race i s the most i n t e l l i g e n t , persevering, and the most enterprising... The Negro race i s much more retarded than the others.377 A l o c a l legend, explaining the o r i g i n of the Negro's i n f e r i o r i t y , further i l l u s t r a t e s t h i s a t t i t u d e : In the beginning of the world God created two kinds of man the white man and the Negro. One day He decided to f i n d out what t h e i r respective attributes were, so He threw them int o the bottom of a well and commanded them to get out as they might. The white and the Negro t r i e d to climb up the walls but without success. F i n a l l y , the white, a f t e r thinking f o r a. while, stood on top of the Negro's shoulders and pulled himself over the top. The Negro, l e f t alone on the bottom, made no further e f f o r t nor cried out and was l e f t to die. It was on t h i s day that God decided to make the Negro an i n f e r i o r being, and the slave of the white,378 Harris sums up the sttitudes toward the Negro i n t h i s community i n a comprehensive fashion. One attitude places the Negro race as i n f e r i o r to the white, and as 1 4 7 sub-human. Another places the Negro i n a j u s t l y subservient r o l e to the white. A t h i r d attitude views the Negro's physical c h a r a c t e r i s t i c s as highly displeasing. In a system of graded and ranked r a c i a l stereotypes which are well-developed, the Negro occupies the lowest l e v e l , and 3 7 9 the white occupies the highest l e v e l . Pierson, i n his study of Bahia, speaks of Negroes who have attained positions of trust and r e s p o n s i b i l i t y i n the community, and who have been admitted i n t o exclusive clubs. He concludes that color can be over-balanced by i n d i v i d u a l competence i n determining an i n d i v i d u a l ' s class p o s i t i o n . Nonetheless, color i s c l e a r l y a handicap to be 380 overcome. ; Wagley concurs with Pierson that s o c i a l p o sition i s determined by several factors, and race i s only one of these factors. Yet, non-white physical type i s equated with low s o c i a l status: "Indian and Negro physical c h a r a c t e r i s t i c s are a symbol of low s o c i a l status . -, . « 3 8 1 and slave ancestry." An i n t e r e s t i n g aspect of B r a z i l i a n s o c i a l and r a c i a l attitudes i s the f l e x i b i l i t y i n perception of r a c i a l types. I f black i s a symbol of- low s o c i a l position, a black man of high s o c i a l position cannot be perceived as black. Pierson recounts a famous anecdote i l l u s t r a t i n g t h i s a t t i t u d e : Thus, in the second decade of the nineteenth century, the Englishman, Henry Koster, on referring, i n a conversation with a citizen of Pernambuco, to the fact that a mulatto was occupying the local office of capitao-mor, was told the man in question was not a mulatto. Insisting that he undoubtedly appeared to the eyes to be a mulatto, Koster received the rather unexpected reply, "He used to be a mulatto, but he .is not now. For how can a capit&o-mor be a mulatto? 3" 2 This f l e x i b i l i t y of perception was also present i n the Amazon community studied by Wagley. The town drunk, with'obviously Caucasoid features, was classified as a "caboclo" by five out of eleven informants. One of these informants, referring to the drunk's social position, 383 declared, "How can Oswaldo be a branco?" This i s one reason why the racial classifications i n the census are misleading. Another reason i s the basis of racial classifications almost wholly on physical appear-ance. For the 1950 census, the 61.66 per cent classified as white include whites of European ancestry, and Negro-white and Indian-white mixtures f a l l i n g within the white phenotype; the 10.96 per cent classified as Negro include Negroes of African ancestry, and Negro-white and Negro-Indian mixtures f a l l i n g within the Negro phenotype; the 26.54 per cent classified as mixed-race does not dis t i n -384 guish between the different types of racial mixtures. But to return to the matter of racial prejudice, I might f i n a l l y note the presence of prejudice among the 149 non-whites directed against themselves. This i s implied. i n the results of the ranking questionnaires presented above, because the samples who received these questionnaires included a proportion of non-whites representative of their proportion i n the communities. Some further evidence of negative attitudes of. non-whites toward themselves i s available. In one community studied, ...the Negro concurs with the white in believing that he can achieve high rank never because he i s Negro but only in spite ©f^it. ...everybody believes i t i s better to be white. A. recent observer, speaking of Brazil as a whole, states that the colored peoples generally accept their inferior social and economic position. The public school texts teach the naturalness of their subordination, their employers frequently treat them with paternalistic condescension, and the colored peoples often dislike the social responsibilities imposed on them by urban-industrial relations. This observer maintains that, "People of color. thus frequently see themselves as being providentially 386 ordained to occupy a subordinate social position." In concluding this section on the racial factor, let me sum up some of the essential points of the preceding discussion. From the early sixteenth century u n t i l i t s abolition i n 1888, slavery was an integral feature of Brazilian society. When the native Indians proved 150 i n e f f i c i e n t as slaves, the colonist imported Af r i c a n Negroes. Afr i c a n Negroes were imported over the. centuries i n numbers s u f f i c i e n t l y large to make the Negro the e s s e n t i a l non-European r a c i a l element i n the population. Because of the position of the slave i n the upper-class family, among other reasons, extensive r a c i a l mixture has continually taken place. Although the products of t h i s r a c i a l mixture may have enjoyed some upward mobility, the society remained b a s i c a l l y divided between masters and slaves. The freeing of the slaves did not r a d i c a l l y change t h i s s i t u a t i o n . The Negroes have remained l a r g e l y at the bottom of the s o c i a l scale, and the whites have remained at the top. This system's persistence has been assisted by the popula-tion's p o s i t i v e attitudes toward the whites, and negative attitudes toward the non-whites. The relevance of the above factors to a bi-polar tendency i n s o c i a l s t r a t i f i c a t i o n i s clear. Slaves were i n t e g r a l to the t o t a l society f o r three and a h a l f centuries, and not one century has yet elapsed since the a b o l i t i o n of slavery. It i s d i f f i c u l t to imagine a f a c t o r which could m i l i t a t e more toward s o c i a l p o l a r i t y than t h i s heritage does. The b i - p o l a r i t y i s even more pronounced when the society i s divided i n t o white masters and non-white slaves. Since the r a c i a l aspect of s o c i a l d i s t r i b u t i o n has remained l a r g e l y unchanged since the a b o l i t i o n of slavery, the s o c i a l system i s a l i v i n g support to r a c i a l prejudice. The correlation between color and s o c i a l class also acts as a dynamic support to b i - p o l a r i t y i n s o c i a l s t r a t i f i c a t i o n . What can be more bi-polar than black equals poor and white equals rich? V. DEMOGRAPHIC NOTE The scope of t h i s essay i s primarily l i m i t e d to an examination of the h i s t o r i c a l role of three factors i n strengthening a bi-polar tendency i n s o c i a l s t r a t i f i c a t i o n : economic, f a m i l i a l , and r a c i a l . However, as I noted at the outset, many other factors are relevant to t h i s problem. I f e e l that a minimal knowledge of a fourth factor i s ess e n t i a l to an understanding of the formation of the s o c i a l s t r a t i f i c a t i o n system. This fourth factor i s demographic. C r u c i a l to t h i s discussion are two aspects of demographic change: European immigration and urban development. Since immigration did not take place i n large numbers u n t i l r e l a t i v e l y recently, the contributions of the immigrants to B r a z i l i a n society were rather l a t e . The contributions I am here concerned with center around the immigrants 1 non-Brazilian c u l t u r a l background. Since the middle s o c i a l sector i s not a t r a d i t i o n a l l y B r a z i l i a n phenomenon, immigration was important to i t s formation. The r e l a t i v e l y recent urban growth also plays a role i n the late formation of the middle sector. Not only do urban centers provide middle l e v e l employment opportuni-t i e s , but urban centers tend to be less t r a d i t i o n a l than r u r a l areas. For these reasons, I f e e l i t necessary to b r i e f l y examine immigration and urban growth i n terms of the formation of the middle sector. 153 Between 1850 and 1950, 4,800,000 immigrants came to Brazi l . Of these, 3,400,000 remained i n B r a z i l . 3 8 7 Before 1850, the annual number seldom exceeded 2,000. 3 8 8 These numbers do not include, of course, those individuals who were brought to Brazil as slaves, as they can hardly be called iirnmigrants. Just as the number of slaves being imported declined with the mid-nineteenth century suppression of the slave trade, the number of" actual immigrants increased in response to the new demands for labor. The 389 number of immigrants in 1859 was 19,000, and the annual average between 1855 and 1862 was 15,000. The number of 390 immigrants i n 1866 was 40,000. The annual average of immigrants between 1851 and 1871 was 10,000. 3 9 1. The immigrants in the mid-nineteenth century took up occupations which are indicative of the middle sector positions which they were to swell i n later years. One such occupation was schoolmaster. Lopes Gama wrote, i n 1842: "Any Frenchman, any Englishman, any Swiss, etc., any cunning creature from those countries, coming to Pernambueo and having no other mode of livelihood, at once announces that he i s going to share with us his 392 great enlightenment."-* Other positions held by these immigrants were merchant, dressmaker, dentist, doctor, midwife, governess, builder, mason, cabinetmaker, carpenter, 393 small farmer, and farm worker. However, the number of these mid-nineteenth century immigrants was r e l a t i v e l y small i n terms of l a t e r immigration. As indicated above, the extent of immigration was clo s e l y t i e d to the state of the slave labor system i n B r a z i l . One observer notes that, "European immigration ... was never an important element i n the history of B r a z i l so 394 long as the i n s t i t u t i o n of chattel slavery survived." The r e l a t i o n s h i p between immigration and the decline of slavery i s apparent when one looks at numbers of immigrants i n terms of the changing l e g a l status of slavery. With the Law of Free B i r t h i n 1871, the annual average of immigrants rose to greater than 2 0 , 0 0 0 . The 1872 census reveals that of a t o t a l population of 9,930,478, 1,510,806 were slaves, and 243,481 were foreign-born. For 1885, the year i n which Negro sexagenarians were freed, the number of immigrants was 3 5 , 0 0 0 . In 1887, the number was 5 6 , 0 0 0 . In 1888, the year of slavery's a b o l i t i o n , the number of immigrants was 1 3 3 , 2 5 3 . By 1888, the t o t a l number of 395 European immigrants l i v i n g i n the Empire was 7 5 0 , 0 0 0 . However, the greatest waves of immigration were yet to come, f o r massive immigration was l a r g e l y a turn-of-the-century phenomenon. Between 1884 and 1963, 4 , 9 9 8 , 5 6 5 immigrants came to B r a z i l , h a l f of t h i s number 396 a r r i v i n g between 1889 and 1913. The number of immigrants i n 1903 was 85,410. The number i n 1913 was 192,683. Between 1914 and 1919, the annual average dropped to 39,730, and the number i n 1922 was 35,000. Although the number climbed again to 137,000 i n 1926, the annual number of immigrants began to decline and has continued to the 397 present. The bulk of immigration to Brazil has been confined to the period of 1887 to 1934: "Prior to 1887 the movement into Brazil was a mere tric k l e , and since 1934 immigration has been restricted by a quota system."39 The European dominance of immigration to Brazil i s seen i n Table XXX on page 156. The number of immigrants, coupled with their European origins, were essential to the recent formation of the middle sector in Brazil. The statements of two observers i l l u s t r a t e this situation: Because of their contact with the more advanced industrial cultures of Europe, they (immigrants) brought new attitudes, new s k i l l s , and new percep-tions to Brazil... They organized new commercial and industrial enterprises and provided the core of skilled workers and foremen. They and their descen-dants formgd a solid base for a growing middle class...^ The foreign immigration population forms the basic core of the middle class of large Brazilian c i t i e s . They come primarily from Europe. They bring various s k i l l s and attitudes: a high degree of labor and manufacturing technology, and an advanced conception of proper and adequate l i v i n g standards. They are thus quickly absorbed into the high paying industries...401 TABLE XIX NATIONAL COMPOSITION OF IMMIGRANTS TO BRAZIL: 1884-1949399 Top Ten Countries Number Per Cent of Italy 1,428,700 33.3 Portugal 1,251,375 29.2 Spain 586,880 13.7 Japan 188,830 4.4 Germany 178,250 4.2 Russia 110,988 2.6 Austria 86,764 2.0 Turkey 78,455 1.8 Poland 53,006 1.2 Romania 40,058 0.9 157 Although many immigrants came from Europe's le s s i n d u s t r i a l states, t h e i r i n d u s t r i a l knowledge was s t i l l greater than that of the native B r a z i l i a n s . R e l a t i v e l y recent foreign immigration has been es s e n t i a l to the growth of the middle s o c i a l sector f o r several reasons. Stated negatively, the immigrants did not come from the s o c i a l patterns of t r a d i t i o n a l B r a z i l i a n culture. Stated p o s i t i v e l y , the immigrants came from cultures with more developed i n d u s t r i a l and commercial t r a d i t i o n s . And, needless to say, industry and commerce are e s s e n t i a l to the development of a s i g n i f i c a n t middle sector. Another reason the immigrants increased the numbers of the middle sector i s a r a c i a l reason. The immigrants were white, yet they lacked the resources and family backing to be upper-class, at least i n i t i a l l y . F i n a l l y , the immigrants contributed to the development of another phenomenon c h a r a c t e r i s t i c of middle sector growth: the growth of the c i t i e s . Let us now turn to a b r i e f look at the urban population throughout B r a z i l i a n h i s t o r y . The early concentration of wealth i n the plantation system successfully quashed s i g n i f i c a n t urban growth. The sugar plantations "...strangled at t h e i r very beginning the urban populations which came to gravitate i n the orbit of the great landed proprietors and to l i v e i n dependency on them." Yet, as early as c o l o n i a l times, some of the 158 landed aristocracy's financial power began to s l i p from their hands.. At f i r s t , the plantation owner developed a dependency on the supplier of slaves. Then, the fluctuations of the market for sugar forced the plantation owner into a depend-ency on the urban agent and the urban bank.*1'03 With the growing debts of the plantation owners, and their growing dependency on intermediaries and merchants, "... the cities continued to become richer and increase i n prestige."**-0*1' The dependency of the landed aristocracy on urban financiers was heightened with the increase in debts from "... the expedients to which these lords of the manor have recourse i n maintaining their train of life..."4°5 Nonetheless, urban centers remained largely undevel-oped u n t i l the twentieth century. Early i n this century, conditions seemed to coalesce promoting urban growth: coffee created large amounts of wealth, immigrants arrived i n large numbers and many of them gravitated to the ci t i e s , the railway system was improved, commerce expanded, and,^ perhaps most important, industry began to develop.**00 Since the early twentieth century, another important factor i n urban growth has been internal migration. In 1940, 3,451,000 Brazilians were l i v i n g in a state other than the state of their birth, or 8.3 per cent of the population. In 1950, this number had risen to 5,206,000, or about 10 per cent of the population. Rural-urban migration i s 159 largely responsible for this change, and the main direction of this migration i s towards the cities of Rio de Janeiro and Sao Paulo, In the 1950 census, 36 per cent of the total population was classified as urban, and by I960 this percentage had risen to 45. Cities with populations of greater than 25,000 increased i n population by nine million between 1950 and I960, or 48 per cent of the total national increase. While the national urban population was 11.3 million in 1950, this number had increased by 80 per cent in I960. The rate of urban growth i s further seen.when one considers that the absolute urban increase accounted for 70 per cent of the national population increase in the 408 1950-1960 decade. Yet, as w i l l be demonstrated below, Brazil remains largely rural. A brief look at the composition of the urban population over the years w i l l i l l u s t r a t e the link between urban growth and growth of the middle social sector. During the colonial period, the cities contained something of an aristocracy of their own made up of the higher military, c i v i l , and ecclesiastical o f f i c i a l s : viceroys, captains-general, governors, commanders, high-ranking army, officers, judges, and bishops. The urban population also included professionals, and merchants and others engaged i n commerce. Since this group was quite small and dependent 160 on the r u r a l society, i t cannot be overstressed that the c o l o n i a l urban centers were "... a r e f l e c t i o n of the p r e v a i l i n g r u r a l conditions.w* 1" 0 9 This s i t u a t i o n continued during the Empire. During t h i s period, f a c t o r i e s manufactured soap, candles, and clo t h , and European immigrants worked as cabinetmakers, hairdressers, apothecaries, tinsmiths, blacksmiths, dress-makers, and cheesemakers. Agents, slave traders, doctors, 410 and lawyers were also urban residents. In addition to the European immigrants, impoverished upper-class whites and free blacks and mulattoes also practiced trades and c r a f t s . H o w e v e r , during the Empire, "... the c i t i e s and towns of B r a z i l were to a l l intents and purposes dependencies 412 of the country..." The c i t i e s of B r a z i l did not become urbanized u n t i l the twentieth century. Yet, even p r i o r to t h i s century, one can see numerically (and perhaps s o c i a l l y ) i n s i g n i f i c a n t precursors of a middle s o c i a l sector. Although I only have evidence on t h i s point from a study of one B r a z i l i a n community, I might note the tendency to b i - p o l a r i t y brought about there by the rural-urban cleavage. In the community studied by Harris, the towns-people look down on the country people as i n f e r i o r , simply because they are country people. When the r u r a l resident comes to the town, "... he i s expected to wear i l l - f i t t i n g 1 6 1 clothing, use c o l l o q u i a l speech, and be proverbially slow LI 3 and timid i n his thought and behavior." In t h i s way, the s t r a t i f i c a t i o n system i s polarized on yet another ba s i s . In concluding t h i s b r i e f demographic survey, I w i l l recapitulate some of the demographic changes relevant to s o c i a l s t r a t i f i c a t i o n . The heavy i n f l u x of European immigrants, at the end of the nineteenth and beginning of the twentieth centuries, had several e f f e c t s on the s t r a t i f i c a t i o n system. These immigrants, coming from i n d u s t r i a l nations, were able to play an ess e n t i a l role i n the developing B r a z i l i a n industry and commerce. The European immigrants not only contributed to,the growth of the middle s o c i a l sector i n t h i s way, but they assisted t h i s growth i n two other ways as well. The immigrants were white, and since they lacked the resources on a r r i v a l to be upper-class, they often occupied a position between the non-white lower class and the t r a d i t i o n a l white aristocracy. k t h i r d e f f e c t of the European immigrants was t h e i r c o n t r i -bution to the growth of urban centers, k commonly accepted tenet of s o c i a l development i s the correlation between urban development and the development of a middle s o c i a l sector. With the assistance of European immigrants as well as rural-urban migrants, B r a z i l ' s urban centers have grown rap i d l y i n the twentieth century i n response to economic development. 162 Urban growth i s crucial to the development of a middle sector for several reasons. One reason i s the middle-level employment opportunities which urban centers provide. Another reason i s the tendency toward less retention of traditional social patterns i n urban areas, as opposed to rural areas. Regarding this tendency, one point must be made about B r a z i l : the population remains today predominantly rural. Table XX on page 163 illustrates this situation. Of Brazil's municipalities, only 11.1 per cent contained more than 10,000 inhabitants. Of Brazil's administrative d i s t r i c t s , 83.8 per cent contained under 1,000 inhabitants each. As was noted earlier, the rural population i n I960 comprised 65 per cent of the total, and the 45 per cent classified as urban includes communities smaller than 25,000. Of Brazil's total population of 70,119,071 i n I960, 32,471,377 were classified as urban, l i v i n g in urban and suburban zones of administrative centers of municipios 415 and distritos, and 37,647,694 were classified as rural. Of Canada's total population of 18,238,247 i n 1961, 12,700,390 were classified as urban, l i v i n g in c i t i e s , towns, and villages of 1,000 or more, and 5,537,857 were classified as r u r a l . T h e r e seems to be some j u s t i f i -cation for this statement made by one observer: "Quanti-tatively and qualitatively, Brazil's population i s one 163 TABLE; xx RURAL VERSUS URBAN COMMUNITIES IN BRAZIL, 1950414 (Seats of "Municipios" and "Distritos") Number of Inhabitants Seats of "Municipios" Seats: of "Distritos" Number Per Gent Number Per Cent Under 1,000 278 14.7 2,920 83.8 1,000-1,999 559 29.6 416 12.0 2,000-4,999 605 32.1 102 2.9 5,000-9,999 . 237 12.5 28 0.8 10,000-19,999 105 5.6 10 0.3 20,000-49,999 669 3.7 6 0.2 50,000-99,999 19 1.0 0 0.0 100,000-over 14 0.8 0 0.0 Total 1,887 100.0 3,482 100.0 of the most r u r a l i n the entire world. n* ' In terms of the growth of the middle s o c i a l sector, I might note, once again, three f a c t o r s : European immi-grants did not ar r i v e i n s i g n i f i c a n t numbers u n t i l less than one hundred years ago, urban growth did not become s i g n i f i c a n t u n t i l the twentieth century, and the t o t a l population today remains predominantly r u r a l . Now l e t us turn to the f i n a l section of t h i s essay, the section which tests my hypothesis of b i - p o l a r i t y by reviewing the nature of the s o c i a l s t r a t i f i c a t i o n system throughout the course of B r a z i l i a n h i s t o r y . VI. THE SYSTEM OF SOCIAL STRATIFICATION T r a d i t i o n a l l y , B r a z i l i a n society has been characterized by a two class system of s o c i a l s t r a t i f i c a t i o n . This was p a r t i c u l a r l y true of the r u r a l society, which has always been predominant. At the top of the s o c i a l scale was the p a t r i -archal white lord of the plantation. At the bottom of the scale were the Negro and Indian slaves. However, from the beginning, a middle group existed which included freedmen of various r a c i a l types who worked as tenant farmers, a g r i c u l t u r a l laborers, small merchants, and a r t i s a n s . ^ " 8 This middle group's members also worked as cowboys, land-stewards, plantation foremen, and s k i l l e d craftsmen. But i t cannot be overemphasized that the t r a d i t i o n a l society was b a s i c a l l y composed of two castes: the masters and the slaves.* 4" 1 9 Not only was t h i s s o c i a l structure present r u r a l l y , but i t was also to be found i n the urban centers of the seventeenth and eighteenth centuries. During t h i s period, the big houses of the plantations had t h e i r counter-parts i n the mansions of the c i t i e s : "On the noble f l o o r l i v e d the master, and on the ground f l o o r downstairs, h i s slaves, and many families had 60 or 70 persons who were not necessary."* 1' 2 0 D i s t i n c t i o n s were made between upper and lower 165 s t r a t a i n v i r t u a l l y e v e r y a r e a o f a c t i v i t y . The Negroes and t h e poor had t h e i r own s a i n t s , S t . B e n e d i c t and S t , Q n o f r e , r e s p e c t i v e l y . The dance o f t h e samba was r e s e r v e d f o r s l a v e s and Negroes. The n o b i l i t y a t e ham, r a i s i n s , and green peas, w h i l e t h e l o w e r c l a s s a t e d r i e d b e e f , s a l t cod, and s quash. D u r i n g t h e c o l o n i a l p e r i o d , c a t f i s h was a l s o c o n s i d e r e d a l o w e r - c l a s s f o o d , and was c a l l e d O l d M u l a t t o . S t r a w - t h a t c h e d h u t s and s h a n t i e s were d w e l l i n g s o f t h e l o w e r c l a s s . C h i l d r e n o f t h e upper c l a s s were n u r s e d on cow's m i l k o r t h e m i l k o f a w e t - n u r s e , w h i l e l o w e r - c l a s s c h i l d r e n were n u r s e d on g o a t ' s m i l k . Members o f t h e upper c l a s s o f t e n s l e p t i n beds, w h i l e t h o s e o f t h e l o w e r s l e p t i n hammocks. S p e c i a l p r i s o n s were r e s e r v e d f o r m i l i t a r y o f f i c e r s and h o l d e r s o f academic d e g r e e s . H o s p i t a l s had s e p a r a t e " s e c t i o n s f o r p a t i e n t s o f t h e upper c l a s s and f o r p a t i e n t s o f t h e l o w e r c l a s s . As B r a z i l i s a t r a d i t i o n a l l y r u r a l c o u n t r y , t h e t r a d i t i o n a l l o w e r c l a s s was composed o f r u r a l w o r k e r s : s u g a r and c o f f e e w o r k e r s , cowboys, r u b b e r c o l l e c t o r s , s h a r e c r o p p e r s , s q u a t t e r s , and some s m a l l peasant l a n d -l pp h o l d e r s . A t t h e b e g i n n i n g o f t h e t w e n t i e t h c e n t u r y , t h i s group s t i l l c omprised t h e b u l k o f t h e l o w e r c l a s s . However, t h e l o w e r - c l a s s r a n k s were now b e i n g s w e l l e d w i t h t h e a r t i s a n s , d o m e s t i c s , and manual l a b o r e r s o f t h e c i t i e s . The e a r l y t w e n t i e t h c e n t u r y l o w e r c l a s s may be c h a r a c t e r i z e d 166 as "... largely i l l i t e r a t e and i n one way or another 423 dependent on the traditional upper class." Today, Brazil's lower class may be divided into three groups. One group i s made up of small-scale farmers. The general dependence of this group on the upper class i s seen in a few figures regarding landholding. In 1950, 15 per cent of a l l landowners owned 85 per cent of the registered landholdings. In 1950, one out of four farmers 424 owned the land he cultivated. The second group i n the lower class today i s even more dependent on the upper class. The members of this group are the workers on the large mechanized plantations. As was noted earlier, the corpora-tion owning such an enterprise usually provides the workers with houses, stores, a school, a chapel or church, a soccer f i e l d and club, water and ele c t r i c i t y , and medical assist-425 ance; The lower-class worker in this situation i s held dependent by means of the company town. The third group i n the lower class, the urban workers, i s somewhat less depend-ent than the rural counterparts. Many rural-urban migrants pour into the cities because of the miserable rural conditions, the lure of the ci t i e s , and the opportunities created by industrial growth. Many of these migrants seek positions in construction work, factory work, or generally marginal labor. Yet, many rural-urban migrants end up in the "favelas," the shantytown slums. There they retain, a r u r a l l i f e - s t y l e i n such -ways as seeking a sub s t i -tute f o r the r u r a l "patrao," and keeping chickens and pigs. This urban group "... i s s t i l l r u r a l i n i t s orientation and to a large extent t r a d i t i o n a l i n i t s point i orr of view." These, then, are the three groups which form the descendants of the lower h a l f of B r a z i l * s t r a d i t i o n a l b i - p o l a r system of s o c i a l s t r a t i f i c a t i o n . S i m i l a r l y , today's upper class i s both changed and unchanged. The t r a d i t i o n a l upper class derived t h e i r great fortunes from many slaves, c a t t l e ranches, and sugar or coffee plantations: " I f they were not themselves fazendeiros (plantation l o r d s ) , t h e i r exalted, positions were eithe r d i r e c t l y or i n d i r e c t l y based on agrarian fortunes accumulated by some member of t h e i r f a m i l y . " ^ 2 8 This group was. highly l i t e r a t e , l i v e d i n luxury with many servants, and sent t h e i r children to private schools. 7_ The i d e a l s of the t r a d i t i o n a l upper class were based on p r i v i l e g e s . They did not favor p o l i t i c a l and s o c i a l equality, and they were openly on the side of pr i v i l e g e s f o r themselves: " L i f e f o r him (the t r a d i t i o n a l a r i s t o -c r a t ) , the son of somebody, ought to be a sum of rights and p r i v i l e g e s , never a sum of work, r e s p o n s i b i l i t i e s , and d u t i e s . " 4 3 0 As early as the Empire, the landed aristocracy was compelled to share some of i t s power with a new upper-class 168 element, an element with wealth based on industry and commerce. In the l a t e r years of Dom Pedro's reign, the Emperor created a considerable number of barons and viscounts who had d i s t i n -guished themselves as successful businessmen. 4 3 1 But the major change i n the composition of the upper class did not come u n t i l a f t e r 1930, when i n d u s t r i a l i s t s t r u l y began to occupy positions equal i n power to the landed a r i s t o c r a t s . Many of t h i s new upper class were immigrants of I t a l i a n , German, Jewish, and Lebanese o r i g i n s . 4 3 2 Many have r i s e n through the opportunities created during the Vargas regime, and many have made t h e i r fortunes i n industry and commerce. The l a s t twenty years have seen new opportunities exploited by i n d i v i d u a l s amassing wealth, gaining p o l i t i c a l influence, education, and professional competence. 4 3 3 However, the t r a d i t i o n a l landed aristocracy has not, by any means, disappeared. Some have recently become i n d u s t r i a l i s t s , p o l i t i c i a n s , and successful businessmen. Some have become b i g - c i t y bureaucrats and professionals, and some members of the t r a d i t i o n a l upper class have generally d i v e r s i f i e d t h e i r investments. Some have also preserved t h e i r power by i n d u s t r i a l i z i n g and consolidating t h e i r r u r a l holdings, and by intermarrying with the 435 i n d u s t r i a l upper class. Intermarriage of the t r a d i t i o n a l with the new upper class does not mean that a l l t r a d i t i o n a l upper-class 169 i d e a l s are changing. On the contrary, the new a r i s t o c r a t s seem to be adopting many of the t r a d i t i o n a l values. The directors of the new a g r i c u l t u r a l corporations i d e n t i f y 436 themselves with the old plantation f a m i l i e s . More generally, another observer notes that, "... the new e l i t e has adopted the same patterns of familism and nepotism which 437 characterized the t r a d i t i o n a l power structure." A t h i r d observer notes: "These new members of the B r a z i l i a n upper class have i d e n t i f i e d themselves with the old aristocracy, and.they have adopted a r i s t o c r a t i c values and imitate old a r i s t o c r a t i c behavior, as f a r as that i s possible under 438 modern urban circumstances." The upper class today has been estimated to constitute 2 per cent of the population 439 and to be almost e n t i r e l y white. ' y Although a middle s o c i a l sector existed from c o l o n i a l times, t h i s sector seems to have la r g e l y been marginal. As was noted e a r l i e r , c o l o n i a l s o c i a l s t r a t i f i c a t i o n was, to a great extent, defined i n r a c i a l terms. Yet, i t was not simply a question of white and non-white. At the top of the s o c i a l scale were those B r a z i l i a n s of Portuguese b i r t h ; these were followed by colonials born i n B r a z i l ; next came Indian-white mixtures; Negro-white mixtures followed; s t i l l further down were the Indian slaves; at the bottom of the s o c i a l scale were Negro s l a v e s . ^ 0 A s o c i a l l y undefined element existed between the masters and the slaves. This element 170 included freed Negroes and mulattoes, runaway slaves, a l l types of mixed-bloods, and whites reduced to poverty. The formation of urban nuclei and intensive r a c i a l mixture produced another intermediate group. Members o f . t h i s group occupied such positions as a r t i s a n , free worker, c i v i l servant, and businessman. This group also had no r e a l place i n the bi-po l a r scheme.^*1" One B r a z i l i a n h i s t o r i a n sums up the s i t u a t i o n of the middle sector during the c o l o n i a l period as follows: In the s t i f l i n g atmosphere of plantation agriculture, there was no room f o r any other major a c t i v i t y . Anything that was not connected to the large-scale production of a few commercially valuable commodities destined f o r export was doomed to be a miserable, small-time, secondary a c t i v i t y . It did not and could not o f f e r prospects f o r l u c r a t i v e employment on a higher l e v e l . And thus anyone who remained outside the narrow c i r c l e of plantation agriculture, and i n practice t h i s meant nearly everyone except the masters and the slaves, was condemned to dismal prospects. Those free men who were s o l d i e r s , peasants, or artisans, "... enjoyed v i r t u a l l y no i n d i v i d u a l or class p r i v i l e g e s i n the s o c i a l o r d e r . " ^ ^ The population of the backlands, made up of free workers, mixed-bloods, bodyguards, and backwoodsmen, "... had no advantage over the mass of the slaves except that of nature i n the raw and of an atmosphere of freedom."^**' This group, neither masters nor slaves, was marginal. This s i t u a t i o n pertained throughout the c o l o n i a l period and into the days of the Empire. During t h i s period something of a bourgeoisie developed i n the c i t i e s composed of merchants, bankers, and e x p o r t e r s . 4 4 5 This commercial element was despised by the landed aristocracy and excluded, from that group: "Only through the hard process of ... divesting himself of the t a i n t of business, rendering some notable service i n war or peace, and acquiring large t r a c t s of land could a descendant of t h i s group win admission to the native a r i s t o c r a c y . " The middle sector throughout the period of slavery has been described as follows: "Free men who were not landowners were so few i n number that they did not dare form a group or r e s i s t the impositions of the landed p r o p r i e t o r s . " 4 4 7 The. system of s o c i a l s t r a t i f i c a t i o n was not r a d i c a l l y changed by the t r a n s i t i o n from colony to Empire: "Declara-t i o n of Independence and a monarehial regime l i t t l e modified the old s o c i a l and economic system: the same superior and subordinate groups kept to the t r a d i t i o n a l relationships and r e c i p r o c a l dependence." 4 4 8 Nonetheless, the Empire began to create the positions e s s e n t i a l to the growth of a middle sector. These positions were necessary i n the expanding government: positions organizing the state, building an army, and performing j u d i c i a r y , l e g i s l a t i v e , and executive functions. With the development of the coastal c i t i e s , new positions opened up i n the infant 172 commerce, new professions, Army, and Church. Yet, these 449 positions remained largely outside the productive system. One i l l u s t r a t i o n of the marginal middle sector during the Empire i s seen in the attempts of those financially successful individuals outside the landed aristocracy to enter this aristocracy. The successful tradesman or recent European immigrant would, when able, buy a sugar or coffee plantation. Another means of entering the landed aristo-cracy was through marriage. • When a plantation owner was deeply in debt to a merchant, the merchant might cancel the debt i n return for the hand of the landed aristocrat's daughter in marriage.*f5° Since early in the nineteenth century, government clerks, municipal and state employees, commercial workers, white-collar workers i n general, and small landholders made up a middle social sector. From the mid-nineteenth century, European immigrants swelled the numbers of this group. But the middle sector remained insignificant i n numbers and, to a great extent, identified i t s outlook with the values of 451 the landed aristocracy. Thus, "The burgeoning urban class of business and professional men s t i l l had negligible influence."452 The negligible influence of the middle sector during the 1822-1930 period i s attributed by one Brazilian to the fact that the middle sector elements, 173 ... were formed and grown i n the framework of our under-development, as by-products of the urbaniza-t i o n of a country which remained a g r i c u l t u r a l and did not o f f e r conditions f o r the p a r t i c i p a t i o n of , ' the middle classes i n the productive process... Their r e s u l t i n g unavoidably marginal position made them dire c t parasites of the Government.*+53 One observer views the period following the a b o l i t i o n of slavery as one i n which the landed aristocracy was strengthened. This strengthening i n Sao Paulo i s attributed to the inflow of immigrants and; foreign c a p i t a l , expanding and reinforced i n the north with the assimilation of the freed Negro in t o the new c a p i t a l i s t economy, and the accompanying reconstruction of wealth i n the sugar 454 zones. Another observer describes the 1870-1920 period as one i n which the s o c i a l structure remained b a s i c a l l y unchanged from e a r l i e r times. The position of the now-free r u r a l worker remained unchanged. In the upper stratum, "The patterns of pa t r i a r c h a l society persisted because both the r u r a l aristocracy and the educated, urban e l i t e of lawyers, physicians, and merchants shared the values of that s o c i e t y . " 4 5 5 Another observer notes f o r t h i s period that because the economy was s t i l l based on mono-culture, t h i s urban group "... had to f i n d one of i t s points of support i n the landed a r i s t o c r a c y . . . " 4 5 6 Wagley notes that the middle sector hardly existed i n the f i r s t decade of the twentieth century. Individuals 174 i n middle positions existed, such as professional people, army o f f i c e r s , public o f f i c i a l s , small businessmen, and •white-collar workers. But t h i s observer states: Yet, as they so often tend to do today, they i d e n t i f i e d themselves with the values of the t r a d i t i o n a l upper cla s s . In the c i t i e s , they formed, i n a sense, a group marginal to the t r a d i t i o n a l upper c l a s s . In the r u r a l areas they were a p r o v i n c i a l and l o c a l upper class.** - 5' The r e a l beginning of middle sector growth was not u n t i l 1930. With the p o l i t i c a l revolution of that year, the government "... assumed increasing r e s p o n s i b i l i t y f o r the economic and s o c i a l welfare of the nation and i t s p e o p l e . " 4 5 8 Middle sector positions m u l t i p l i e d with the m u l t i p l i c a t i o n of municipal, state, and federal employees. Industry was also beginning to expand at a rapid rate, and demanded many middle l e v e l employees. With the development of industry and an i n t e r n a l market, came the m u l t i p l i c a t i o n of middle l e v e l positions i n many service areas: commerce, banks, transportation, u t i l i t i e s , advertising agencies, r e a l estate companies, f i s c a l and l e g a l organizations, brokerage o f f i c e s , the professions, and an i n f i n i t e number of small o r g a n i z a t i o n s . 4 5 9 The trend begun i n 1930 has continued to the present time. The fe d e r a l , state, and municipal c i v i l service continue to expand. Industry and commerce continue to create jobs i n stores and o f f i c e s . The demand f o r the services of professionals continues to increase. In the 175 last twenty-five years, growth of the middle sector has been 460 rapid. One observer estimated in 1964 that the middle sector comprised perhaps one-quarter of the total population. Another observer has described the middle sector today in some depth. Members are economically autonomous, of medium wealth and income. Those who are salaried depend primarily on their intellectual a b i l i t i e s i n business, industry, agriculture, bureaucracy, the professions, the clergy, the armed forces, education, and the services. Occupation and education are fundamental c r i t e r i a for classification into this sector. The middle sector's expansion in the last two decades coincides with government interest i n economic planning and technological specializa-tion. The middle sector accounts for 40 per cent of the total population.**'02 Although the middle sector can no longer be considered marginal i n terms of numbers, the values and attitudes of this sector are those of a group i n limbo. This lack of class consciousness was discussed at the outset of this essay, but I w i l l here briefly relate Wagley's description of this situation. The middle sector identifies with and shares the social values of the traditional upper class. The members of the middle sector li v e i n a world of radio, television, cinema, and theater. They want and need 176 telephones, r e f r i g e r a t o r s , washing machines, typewriters, autos, and good clothes. Although they have trouble affording the n e c e s s i t i e s , t h e i r aspirations often exceed t h e i r means, and many buy on time and are i n debt. They entertain beyond t h e i r means, and employ servants. Members of the middle sector hold a deep disdain f o r manual labor i n any form. They hold c e r t a i n upper-class values as desirable, but these values can be l i t t l e more than i d e a l s : the woman's place i s i n the home, close t i e s with kin, and the value of humanistic education. The picture which emerges i s one i n which the middle sector shares the values of the upper class as i d e a l s , but lacks the means to put these values i n t o p r a c t i c e . Although the middle sector disdains manual labor,, i t s members work very hard at white-collar positions. Although the middle sector cannot practice the same l i f e - s t y l e as the upper class, members of the middle, sector seem to group them-selves with the upper class, as a group opposed to the lower c l a s s . Another observer speaks of t h i s ambivalent p o s i t i o n of the middle sector: Le f t i n the lurch i s the middle class, which has also grown with the move to the c i t i e s , but which has not constituted i n B r a z i l the basic, decisive element which has brought about s t a b i l i t y i n Europe, p a r t i c u -l a r l y in,the United Kingdom, and i n the United States. i 177 Let us now turn to the c r i t e r i a of class rank i n terras of the continuing i d e n t i f i c a t i o n of the middle sector with the upper class. In one community studied, class rank i s said to be based on four gradients: economic, educational, occupational, and r a c i a l . The economic gradient i s measured by property owned, annual cash income, housing, clothing, performance of labor, variety of foods, and l e i s u r e time. The educational gradient i s measured by years of school, use of erudite language, and l i t e r a c y . The occupational gradient i s determined by menial labor, i n t e l l e c t u a l e f f o r t , and control over others. The r a c i a l gradient i s simply white being better than black, and mulatto i n between. 4 6 5 Although the economic gradient allows quite a range of v a r i a t i o n , the other three gradients contain some clear d i s t i n c t i o n s between the upper stratum and the lower stratum. Chances are high that a man who performs manual labor, or i s i l l i t e r a t e , or i s black, w i l l be found i n the lower stratum. The dichotomies i n these three gradients are c l e a r : manual labor/non-manual labor, i l l i t e r a t e / l i t e r a t e , and black/white. I should not overstate t h i s point, because the observer notes that a man's class rank i s determined by a combination of these four gradients, and the negative value of any one can be of f s e t by the positi v e value of the other three.* Yet, t h i s observer 178 divides the middle stratum into two groups. No great differences exist between the members of these two groups, economically, educationally, and occupationally.. The distinction i s ra c i a l , and the middle groups thus disappear: The darker individuals, however, belong to the lower middle stratum and, hence, are part of the lower class. The lighter individuals belong to the upper middle stratum and, hence, are part of the upper class.467 In another community studied, four factors are also said to be considered in determining a man's class rank, but one of these factors i s different. In addition to wealth, education, and race, an individual's family origin i s an important consideration.*v°8 Here, then, three of the four factors can also be dichotomized. In addition to the i l l i t e r a t e / l i t e r a t e and black/white dichotomies, i s the "great family"/common family dichotomy.- Thus, the s t r a t i -fication system again tends to group into a lower stratum and a higher stratum. A third community studied i s said to base class rank primarily on two c r i t e r i a . One of these c r i t e r i a i s money, which i s indisputably quite variable. The second criterion 469 i s family. Again one of the two factors in class rank, family, i s a factor which can be easily dichotomized. •Finally, I might note one finding of a recent study of st r a t i f i c a t i o n i n Brazil. In this study, the class identification of individuals was found to correlate more 179 highly with their occupational and educational characteristics among urban residents, than among rural residents. Table XXI on page 180 portrays this finding. Urban social patterns are often considered to be the precursors of national social patterns. If this i s the case, then occupation i s becoming a more important criterion of class rank. But the criterion of occupation involves a blatant dichotomy basic throughout the history of Brazilian social s t r a t i f i c a t i o n : the manual labor/non-manual labor dichotomy. The social attitude against the performance of manual labor dates from the beginning of the Portuguese occupation of Brazil. The f i r s t Portuguese settlers i n Brazil came from a Portugal which had been using African slave labor for almost a century. And for many centuries before that, some of Portugal's most d i f f i c u l t ...agricultural 471 labor had been done by Moors. Early i n colonial days, a common expression was, "Trabalho £ para cachorro e Negro," (work i s for a dog and a Negro). 4 7 2 This attitude i s further illustrated by a passage from a letter written i n 1726 by the Governor of Rio de Janeiro to the Portu-guese Crown: "... the mines certainly cannot be worked except by Negroes, both because they work harder as because the whites and Portuguese immigrants, even i f they were bred with a hoe in hand, no sooner do they set foot TABLE XXI PARTIAL CORRELATIONS OF OBJECTIVE STATUS-INDICES WITH IDENTIFICATION, IN BRAZIL 4 / u Provinces Metropolis Occupation .10 .17 Education .09 .14 Income .34 .18 Father's occupation .19 .05 Father's, education -.01 .01 131 i n B r a z i l than they refuse to •work..."473 An anecdote from the c o l o n i a l period w i l l also i l l u s t r a t e t h i s anti-manual labor a t t i t u d e : "Needing the services of a locksmith he went to fetch one, only to be l e f t cooling his heels f o r hours while the locksmith waited f o r the a r r i v a l of a hired Negro to carry his t o o l s , since to carry them himself through the streets of the c i t y would be unworthy of a free man." 4 7 4 A l i n e was early drawn between those who performed manual labor and those who did not. Acceptable positions f o r the B r a z i l i a n of Portuguese o r i g i n included holding, i n addition to plantation ownership, a sinecure with money at the end of each month, a gold mine, a government concession to sublet to a t h i r d person, or an administrative l e g a l post obtained through friendship with a minister of 475 state. "Gentlemen's" careers also included the Army or Navy, the Church or priesthood, law, and, f o r the most progressive, m e d i c i n e . 4 7 6 The Kingdom demanded the following oath from i t s c o l o n i s t s : "I swear that I w i l l perform no manual labor so long as I can get a single slave to work f o r me by the grace of God and the King of P o r t u g a l . " 4 7 7 I t i s d i f f i c u l t to believe that t h i s oath could have been more than an i d e a l of behavior. This prejudice against manual labor continued i n t o 182 the days of the Empire. In 1845, labor i s said to have been considered degrading. For even a poor young man, to learn a trade was thought of as an i n s u l t : "Work, i n the opinion of. the proud B r a z i l i a n , was the function of the u n f r e e . " 4 ? 8 it The Sao Paulo newspaper, Correio Paulistano, on November 14, 18*61, defined the working class as, "... the persons and t h e i r families to whom fate has not conceded a single advantage that i s not acquired by the sweat and fatigue of l a b o r . " 4 7 9 This attitude was not abolished with the a b o l i t i o n of slavery. The former masters continued to l i v e i n t h e i r l e i s u r e l y manner. The freedmen " . . . t r i e d to conceal t h e i r origins by c u l t i v a t i n g the same reservations as t h e i r former masters against labor..." The late nineteenth century European immigrants did not share t h i s disdain f o r 481 manual labor. Yet, as was mentioned e a r l i e r , i t was not long before t h e i r adaptation to B r a z i l i a n culture produced i n them the t r a d i t i o n a l prejudice against manual labor. The prejudice against manual labor today continues to divide the population i n t o those who work with t h e i r hands and those who do not. A good i l l u s t r a t i o n of t h i s prejudice i s seen i n the p r o l i f e r a t i o n of small stores i n one community studied. Here i s found a tremendous number of stores and a small number of customers. Thus: 183 Owning a venda-(store) does not bring wealth, but i t i s one of the most desirable occupations known to the community. ... The venda owner has l o t s of time to s i t ; he has endless opportunities f o r ruminative chats with the people who happen by.'*82 One observer has described the national s i t u a t i o n as follows: In B r a z i l almost the entire nation has inherited a l l of the vicious attitudes towards human t o i l that are the i n e v i t a b l e aftermath of a system of slavery. To work with the hands i s considered degrading, i s the i n d e l i b l e mark of i n f e r i o r s o c i a l position, i s a ^ stigma to be avoided as one would shun the p l a g u e . 4 8 3 It i s t h i s attitude which groups the middle sector with the upper class, as a stratum opposed to the lower class. Manual labor cannot be avoided by the mass of B r a z i l i a n s : the sharecroppers, the r u r a l peasants, and the urban lower class. Yet, although members of the middle sector may hold two or three jobs simultaneously, these jobs are always w h i t e - c o l l a r . 4 8 4 k successful factory foreman or key technician may enjoy a higher standard of l i v i n g than many members of the middle sector, but "... as long as he earns his l i v e l i h o o d by manual labor he w i l l not be accepted as a member of the middle c l a s s . " From the preceding discussion, a picture emerges of the B r a z i l i a n s o c i a l s t r a t i f i c a t i o n system comprised of three s t r a t a , which i n many senses can be reduced to two. Several observers maintain that, to a great extent, s o c i a l s t r a t i f i c a t i o n remains bi-polar. Wagley notes that i n most communities, the population i s divided i n t o two 184 groups. The man i n the upper group wears a clean s u i t , white s h i r t , shined shoes, has been to high school, has servants, and does no manual labor. The man i n the lower group i s badly dressed, i l l i t e r a t e , and does manual labor. This s i t u a t i o n i s . e s p e c i a l l y true of small communities. 4^ 0 This b i - p o l a r i t y i s seen i n the studies of two B r a z i l i a n communities. In an Amazon community, the sharpest l i n e s of s o c i a l cleavage are drawn between the upper class and a l l those below them. Thus, "In our studies of standards of l i v i n g , of education, and of other socio-economic factors, i t was between these two classes that the most marked differences were noted." The s i t u a t i o n i s s i m i l a r i n another r u r a l community studied: "The people themselves normally recognize only two (c l a s s e s ) : os bons, a phrase which might be translated by the slang expression, 'the big shots,' and os pobres, or the poor people." Although b i - p o l a r i t y i s predominant i n the vast t r a d i t i o n a l regions, i t i s not l i m i t e d to r u r a l society. One observer notes that the two s t r a t a hierarchy i s i n f l u e n t i a l i n i n d u s t r i a l i z e d a r e a s . 4 8 9 As was discussed e a r l i e r , b i - p o l a r i t y i s supported by the concentration of the bulk of B r a z i l ' s wealth i n the hands of a few. Providing equally strong support i s the tendency i n B r a z i l f o r poverty to be i n s t i t u t i o n a l i z e d : "... because 16*5 of the concentration of property and wealth, the r e l a t i v e absence of middle-class groups i n many regions, the concen-t r a t i o n of the population, both r u r a l and urban, i n the un s k i l l e d labor categories, the l a v i s h USTB- of labor i n the production process, the ease with which a vegetative existence can be carried on, and the lack of s o c i a l , economic, and climatic propulsions to continuous work a c t i v i t i e s , the classes which constitute the bulk of B r a z i l ' s population l i v e i n poverty." 490 Another observer presents another set of reasons f o r the i n s t i t u t i o n a l i z a t i o n of poverty i n B r a z i l : an i n f l a t i o n which consumes the.wage raises of the lower class, while i t i s used by the upper class to increase t h e i r income; a school system which eliminates the poor from the higher elementary grades by requiring s p e c i a l paid tutoring to continue; and the d i f f e r e n t i a l treatment given those who possess the outward 491 symbols of poverty, such as dress, speech, and manners. We may be able to speak of a growing middle sector i n B r a z i l i a n s o c i a l s t r a t i f i c a t i o n , but closer examination reveals an ambivalent s i t u a t i o n . The s i t u a t i o n , throughout B r a z i l i a n h i story, i s one i n which t h i s sector has been marginal. Although the middle sector today includes a large proportion of the population, the middle sector remains marginal i n many respects. B r a z i l continues, to a great extent, to be a two class society. Is i t any wonder, then, that the middle sector lacks a class consciousness? VII. CONCLUDING REMARKS Throughout B r a z i l ' s history, many aspects of society have strengthened a b i - p o l a r tendency i n s o c i a l s t r a t i f i -cation. The economic structure was characterized by three factors which involved the control of the many by the few: large-scale a g r i c u l t u r e , feudalism, and slavery. Out of t h i s heritage came two phenomena which polarize B r a z i l i a n society: p a t e r n a l i s t i c treatment of employees, and the concentration of B r a z i l ' s wealth i n the hands of a few. The B r a z i l i a n kinship system has also strengthened the tendency to b i - p o l a r i t y . The power of the a r i s t o c r a t i c p a t r i a r c h a l family dominated B r a z i l for centuries. The p a t r i a r c h a l family served to maintain the aristocracy's concentration of power, and fostered an on-going dependency of the poor on the r i c h . This dependency often took the forms of patronship and godparenthood. F i n a l l y , the bi- p o l a r tendency was also strengthened by B r a z i l ' s r a c i a l s i t u a t i o n . The enslavement of Indians was followed by the extensive importation of African slaves. Since the long h i s t o r y of slavery did not end u n t i l 1888, a strong attitude among B r a z i l i a n s survives placing manual labor as slave's work. Although slaves no longer exist i n B r a z i l , the non-European population continues to occupy the lower s o c i a l stratum. Racial prejudice serves to maintain t h i s group's s o c i a l p o s i t ion. The bi-polar IBB tendency i s strenghtened by the general rule that black equals poor, and white equals r i c h . Despite the effects of these factors, a middle s o c i a l sector has come to constitute a sizable proportion of B r a z i l ' s population. The growth of the middle sector has been aided by the formation of a r a c i a l l y mixed group. But of much greater importance to the growth of the middle sector has been the r e l a t i v e l y recent extensive European immigration, and the development of urban centers. The middle sector has developed with B r a z i l ' s governmental expansion and the nation's economic development i n the twentieth century, p a r t i c u l a r l y since the Second World War. The values of the middle sector are, i n one sense, those of a group i n s o c i a l limbo. The members of the middle sector seem to think of themselves as a l l i e d with the upper class, as a group opposed to the lower cl a s s . The members of the middle sector share some c h a r a c t e r i s t i c s with the upper class, such as l i t e r a c y and non-performance of manual labor. On the basis of these shared c h a r a c t e r i s t i c s , the middle sector attempts to i d e n t i f y i t s e l f with the upper cl a s s . But t h i s i d e n t i f i c a t i o n can be l i t t l e more than a fantasy-ideal, f o r the middle sector does not share the same circumstances as the upper cl a s s . Obviously, upper class members cannot maintain t h e i r positions by 189 leading completely l e i s u r e l y existences. Although manual labor may only be performed by the lower class, the members of the upper class must perform extensive mental labor to maintain themselves. This need f o r mental labor i s even more c r i t i c a l f o r the middle sector. The members of the middle sector do not have the security of upper-class wealth and family. The members of the middle sector are constantly struggling: struggling to keep t h e i r heads above the lower class, and struggling to emulate the behavior of the upper class, a behavior beyond t h e i r means. In the course of t h i s struggle, a middle sector member may hold several jobs simultaneously, and may f i n d himself deeply i n debt. The middle sector i s a group d i s t i n c t from the upper class, f o r as much as the members may wish i t , they do not share the same circumstances as the upper cla s s . The picture which emerges from t h i s i n v e s t i g a t i o n of B r a z i l i a n s o c i a l s t r a t i f i c a t i o n i s complex. Although the values of the middle sector may be viewed as those of a group i n limbo, we may be t a l k i n g about the fantasy values of t h i s group. Perhaps the r e a l values of t h i s group are formed, but remain to be distinguished from the fantasy values. Perhaps the middle sector i s s t i l l too new a group to have yet developed a set of unique values. 190 But to return to the matter of b i - p o l a r i t y , the presently known values of the middle sector seem to play an i n t e r e s t i n g r o l e . B r a z i l i a n society continues to be l a r g e l y bi-polar, but the existence of t h i s middle group prohibits a perfect b i - p o l a r i t y . From what i s known of middle sector values, they do not challenge t h i s imperfect b i - p o l a r i t y . Although the existence of a middle group may be considered a m i s f i t i n the stream o f . B r a z i l i a n history, the values of t h i s group f i t neatly i n t o the bi-pol a r t r a d i t i o n . But i f the middle sector continues to grow, i t s eventual development of a consciousness which does challenge b i - p o l a r i t y seems in e v i t a b l e . FOOTNOTES 1. Seymour Martin Lipset, Revolution and Counter- revolution (New York: Basic Books, Inc., Publishers, 1968J, p. 125. 2. Reinhard Bendix and Seymour Martin Lipset, "Karl Marx1 Theory of Social Classes," Class, Status, and Power. Reinhard Bendix and Seymour Martin Lipset (eds.j (Glencoe, I l l i n o i s : The Free Press, 1 9 5 3 ) , p. 2 8 . 3 . Bendix and Lipset, "Karl Marx," p. 31 . 4 . Bendix and Lipset, "Karl Marx," pp. 3 0 - 1 . 5. Thorstein Veblen, "The Theory of the Leisure Class," Class, Status, and Power. Reinhard Bendix and Seymour Martin Lipset (eds.) (Glencoe, I l l i n o i s : The Free Press, 1 9 5 3 ) , p. 3 5 . 6. Veblen, "Leisure Class," p. 3 7 . 7. Veblen, "Leisure Class," pp. 39-40. 8. Veblen, "Leisure Class," p. 41. 9 . Ferdinand Toennies, "Estates and Classes," Class,  Status, and Power, Reinhard Bendix and Seymour Martin Lipset (eds.) ("Glencoe, I l l i n o i s : The Free Press, 1 9 5 3 ) , p. 4 9 . 10. Toennies, "Estates," p. 5 0 . •11. Toennies, "Estates," p. 5 3 . 12. Toennies, "Estates," p. 57. 13. Toennies, "Estates," p. 13. 14. Max Weber, "Class, Status, Party," Class, Status, and  Power, Reinhard Bendix and Seymour Martin Lipset (eds.) (Glencoe, I l l i n o i s : The Free Press), p. 6 4 . 15. Weber, "Class," p. 6 5 . 16. Weber, "Class," pp. 6 8 - 9 . 17. Weber, "Class," p. 73. 18. Lipset, p. 125. 19. Lipset, p. 139. 2 0 . Lipset, p. 145. 21. D.G. MacRae, "Social Stratification," Current Sociology, 2:1 ( 1 9 5 3 - 5 4 ) , p. 21 . 2 2 . MacRae, "Social Stratification," p. 2 0 . 2 3 . Lipset, pp. 1 4 6 - 7 . 2 4 . Lipset, pp. 1 5 0 - 3 . 2 5 . Ralph L. Beals, "Social Stratification in Latin America," American Journal of Sociology, 5 8 : 4 (January, 1953), p. 327. 2 6 . John J. Johnson, P o l i t i c a l Change in Latin America:  The Emergence of the Middle Sectors (Stanford, California: Stanford University Press, 1 9 5 8 ) , pp. 2 1 - 2 . 192 27. Gino Gerraani, " S o c i a l and P o l i t i c a l Consequences of Mo b i l i t y , " S o c i a l Structure and Mobil i t y i n Economic  Development, N e i l J . Smelser and Seymour Martin Lipset (eds.) (Chicago: Aldine Publishing Company, 1966), pp. 369-70. 28. Beals, " S o c i a l S t r a t i f i c a t i o n , " p. 328. 29. Germani, " S o c i a l and P o l i t i c a l , " p. 370. 30. Beals, " S o c i a l S t r a t i f i c a t i o n , S L p . 328. 31. John P. G i l l i n , "Some Signposts f o r P o l i c y , " S o c i a l  Change i n La t i n America Today, Richard N. Adams, et a l (New York: Harper and Brothers, I960), pp. 22-3. \ 32. Beals, " S o c i a l S t r a t i f i c a t i o n , " p<. 330. 33*. G i l l i n , "Some Signposts," pp. 22-3. 34. Charles Wagley and Marvin Harris, "A Typology of L a t i n American Subcultures," American Anthropologist, 57:3, part 1 (June, 1955), P. 441. 35. Johnson, pp. 1-2. 36. Johnson, pp. 24-5. 37. G i l l i n , "Some Signposts," p. 24. 38. Johnson, pp. 28-30. 39. Johnson, pp. 2-3. 40. Johnson, pp. 30-2. 41. Johnson, pp. 40, 42. 42. Johnson, p. 31. 43. Wagley and Harris, "Typology," p. 441« 44* G i l l i n , "Some Signposts," pp. 24-5. 45. G i l l i n , "Some Signposts," pp. 27-8. 46. G i l l i n , "Some Signposts," pp.' 26-7. 47* Johnson, pp. 3, 5* 48. Johnson, p. 6. 49. Beals, " S o c i a l S t r a t i f i c a t i o n , " p. 330. 50. G i l l i n , "Some Signposts," pp. 24-5.. 51. G i l l i n , "Some Signposts," p. 26. 52. G i l l i n , "Some Signposts," pp. 24-5. 53. G i l l i n , "Some Signposts," p. 25. 54. G i l l i n , "Some Signposts," pp. 28, 55. 55. G i l l i n , "Some Signposts," p. 25. 56. Johnson, pp. 5-10. 57. Johnson, pp. 13-4. 58. Johnson, p. 3. 59. Beals, " S o c i a l S t r a t i f i c a t i o n , " p. 330. 60. Beals, "Social' S t r a t i f i c a t i o n , ' 1 p. 333. 61. Charles Wagley, "The B r a z i l i a n Revolution: S o c i a l Changes Since 1930," S o c i a l Change i n La t i n America  Today, Richard N. Adams, et a l (New York: A l f r e d A. Knopf, I960), pp. 220-1. 62. Helio Jaguaribe, Economic and P o l i t i c a l Development;  A Theoretical Approach and a B r a z i l i a n Case Study (Cambridge, Massachusetts: Harvard University Press, 1968), p. 178. 193 63. Bernard J. Siegel, " S o c i a l Structure and Economic Change i n B r a z i l , " Economic Growth: B r a z i l , India,  Japan. Kuznets, Moore, Spongier (Durham, North Carolina: Duke University Press, 1955), p. 405. 64. Thales De Azevedo, "Family, Marriage, and Divorce i n B r a z i l , " Contemporary Cultures and Societies of L a t i n America, Dwight B. Heath and Richard N. Adams (eds.) (New York: Random House, 1965), pp. 291-2. 65. Thales De Azevedo, S o c i a l Change i n B r a z i l ( G ainesville, F l o r i d a : University of F l o r i d a Press, 1963), p. 7. 66. T. De Azevedo, S o c i a l Change, p. 50* 67. Celso Furtado, The Economic Growth of B r a z i l , Ricardo W. De Aguiar and E r i c Charles Drysdale (trans.) (Berkeley and Los Angeles: University of C a l i f o r n i a Press, 1963), p. 5. 68. Harry ¥. Hutchinson, "The Transformation of B r a z i l i a n Plantation Society," Journal of Inter-American Studies, 3:2 (April,.1961), p. 203. 69. In Gilberto Freyre, The.Mansions and the Shanties, Harriet De Onis (trans, and ed.) (New York: A l f r e d A. Knopf, 1963), pp. 128-9. 70. Jose Maria B e l l o , ,A History of Modern B r a z i l : 1889- 1964, James L. Taylor (trans.) and R o l l i e E. Poppino (concluding chapter) (Stanford, C a l i f o r n i a : Stanford University Press, .1966), p. 303. 71. Gustaaf F r i t s Loeb, I n d u s t r i a l i z a t i o n and Balanced  Growth, With Special Reference to B r a z i l (Groningen: J.B. Wolters, 1957), p. 86. " 72.* Dominion Bureau of S t a t i s t i c s , Canada Year Book Di v i s i o n , Canada Year Book, 1968 (Ottawa: 1968), pp. 969-71. 73. Manoel Cardozo, "The Modernization of B r a z i l : 1500-1808." The Shaping of Modern B r a z i l . E r i c N. Baklanoff (ed.) (Baton Rouge, Louisiana: Louisiana State University Press, 1969), p. .5. 74. German Arciniegas, L a t i n America: A Cultural History, Joan MacLean (trans.) (New York: A l f r e d A. Knopf, 1967), p. 98. 75. A. Curtis Wilgus, The Development of Hispanic America (New York: Farrar and Rinehart, Inc., 1941), pp. 178-9. 76. Joao Pandia Calogeras, A History of B r a z i l , Percy A l v i n Martin (trans, and ed.) (Chapel H i l l , North Carolina: • The University of North Carolina Press, 1939), p. 23. 77. Fernando De Azevedo, B r a z i l i a n Culture, William R. Crawford (trans.) (New York: The Macmillan Company, 1950), p. 45. 78. Gilbert© Freyre, The Masters and the Slaves, Samuel Putnam (trans.) (New York: Al f r e d A. Knopf, 1946), pp. 426-7. 79; Rollie E. Poppino,- Brazil: The Land and People (New York: Oxford University Press, 1968), p. 120. 80. Wilgus, p. 140. 81. Charles Wagley, An Introduction to Brazil (New York: Columbia University Press, 1963), p. 53. 82. Andrew Gunder Frank, Capitalism and Underdevelopment  in Latin America; Historical Studies of Chile and  Brazil (New York: Monthly Review Press, 1967), P. 157. •' 83. Wagley, Introduction, p. 53. 84. Arciniegas, p. 109. 85. Arciniegas, p. 109. 86. Frederic William Ganzert, "Agriculture," Br a z i l . Lawrence F. H i l l (ed.) (Berkeley and Los Angeles: University of California Press, 1947), p. 233. 87. Poppino, p. 50. 88. Jaguaribe, p. 99. 89. F. De Azevedo, p. 89. 90. Wilgus, p. 139. 91. Arciniegas, p. 100. 92. Wilgus, p. 178. 93. Dauril Alden, Royal Government i n Colonial Brazil (Berkeley and Los Angeles: University of California Press, 1968), pp. 10-11. 94. Wagley, Introduction, p. 28. 95. Alden, pp. 40-2. 96. Alden, pp. 452-3. 97. Alden, p. 41. 98. Wilgus, p. 226. 99. Bello, p. 7. . 100. Gilberto Freyre, New World i n the Tropics (New York: Alfred A. Knopf, 1959), p. 69. 101. Clarence Henry Haring, Empire i n Brazil (Cambridge, Massachusetts: Harvard University Press, 1958), p. 66. 102. Richard M. Morse, From Community to Metropolis: A  Biography of Sao Paulo, Brazil (Gainesville, Florida: University of Florida Press, 1958), pp. 113-4. 103. Freyre, New World, p. 131. 104* Furtado, pp. 146 -^7. 105. Wagley, Introduction, p. 63. 106. Arthur Ramos, The, Negro in Br a z i l. Richard Pattee (trans.) (Washington, D.C: The Associated Publishers, Inc., 1951), p. 2. 107. Poppino, p. 118. 108. Freyre, Masters, p. 434. 109. Ramos, Negro, p. 7. 110. In F. De Azevedo, p. 46. 111. Calogeras, p. 23. 195 112. In Jose Honorio Rodrigues, B r a z i l and A f r i c a , Richard A. Mazzara and Sam Hileman (trans.) (Berkeley: Univ-e r s i t y of C a l i f o r n i a Press, 1965), p. 24. 113. Charles Ralph Boxer, The Golden Age of B r a z i l , 1695- 1750 (Berkeley: University of C a l i f o r n i a Press, 1962), p. 42. 114. In Boxer, p. 45. 115. Boxer, p. 153. 116. Poppino, p. 97. 117. Poppino, p. 169. 118'. Caio Prado, J r . , The Colonial Background of Modern B r a z i l , Suzette Macedo (trans.) (Berkeley: University of C a l i f o r n i a Press, 1967), p. 139. 119. Ramos, Negro, p. 7. 120. In Rodrigues, B r a z i l and A f r i c a , p. 25. 121. Prado, p. 175.. 122. Poppino, p. I 4 9 . 123;. Furtado, p. 124., 124. Haring, p. 86. 125. Furtado, p. 89. 126. Furtado, p. 90. 127. In Frank, pp. 161-2. 128. Furtado, p. 100. 129. Furtado, p. 42. 130. Mary Wilhelmine Williams, Dom Pedro the Magnanimous,  Second" Emperor of B r a z i l (Chapel H i l l , North Carolina: U n i v e r s i t y of North Carolina Press, 1937), p. 70. 131. Wilgus, p. 323. 132. Werner Baer,' I n d u s t r i a l i z a t i o n and Economic Development  i n B r a z i l (Homewood, I l l i n o i s : Richard D. Irwin, Inc., 1965), pp. 12-3. 133. Loeb, p. 88. 134. Frank, pp. 169-70. 135. Frank, pp. 169-70. 136. Poppino, p. 227. 137. Baer, pp. 16, 20. 138. Poppino, p. 245. 139. Baer ? p. 25. 140. Poppino, p. 261... 141. Baer, pp. 28-9. 142. L.A. Costa Pinto and W. Bazzanella, "Economic Develop-ment, S o c i a l Change and Population Problems i n Brazil,** The Annals of the American Academy of P o l i t i c a l and  S o c i a l Science. 316 (March, 1958). p. 123. ~~~ 143. Poppino, p. 273. 144. Loeb, p. 78. ; 145. Charles Wagley, B r a z i l : C r i s i s and Change (New York: Foreign Po l i c y Association, 1964), p. 12. 146. Poppino, p. 278. c 196 147. 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