Toward a Theory of Ethnic Solidarity in Modern Societies

Author(s): François Nielsen

Source: American Sociological Review , Apr., 1985, Vol. 50, No. 2 (Apr., 1985), pp. 133-
149
Published by: American Sociological Association

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 TOWARD A THEORY OF ETHNIC SOLIDARITY IN
MODERN SOCIETIES *

FRAN(OIS NIELSEN
University of North Carolina at Chapel Hill

Ethnic resurgences in modern societies are examined within the framework of a

general model of collective action, of which ethnic collective action is a particular
instance. Social trends associated with industrialization may affect groups in such a
way that ethnicity becomes a more convenient basis for mobilization than others,
e.g., class. In such cases, ethnic solidarity is a natural outcome of development.
Historical scenarios associated with this possibility are discussed.

It has become commonplace to point out that
contemporary resurgences of ethnicity in mod-
em societies, particularly as a basis for politi-
cal demands, constitute a paradox with respect
to long-established currents of sociological
thought. The surprise caused by ethnic re-
surgences in such advanced countries as Great
Britain (Hechter, 1975), France (Beer, 1980),
Canada (Olzak, 1982) and Belgium (Nielsen,
1980) comes because they seem to chal-
lenge the basic predictions of the structuro-
functionalist (e.g., Lipset and Rokkan,
1967:1-64), Marxist (Marx, 1964; Beer,
1980:42-43) and even human ecological
traditions (Park, 1950). These views concur in
predicting that modernization will bring about
a decrease in the importance of ethnic distinc-
tions' (see, e.g., Glazer and Moynihan, 1975;
Hechter, 1975; Beer, 1980; Nielsen, 1980). In
order to capture the common thrust of these
perspectives, the present paper expands the
terminology of Hechter (1975) and uses the
term diffusion-erasure. The diffusion-erasure
model implies that the salience of ethnicity
should decrease as modernization diffuses over
a culturally heterogeneous population. While
the model may have merit in many historical
instances, it is obviously inadequate to explain
the more spectacular instances of ethnic re-
surgences in some of the most advanced in-
dustrial societies. To explain these unexpected
occurrences, two competing views have re-
ceived attention from sociologists: the
reactive-ethnicity model, as illustrated by the
* Direct all correspondence to: Frangois Nielsen, tion, and are therefore compatible with both the re-
Department of Sociology, University of North
Carolina, Chapel Hill, NC 27514.
An earlier version of this paper was presented at scription of the reactive-ethnicity model. As noted
the 1982 World Congress of Sociology in Mexico
City, August 1982. I wish to thank Jacques Delac-
roix, Eric Leifer, Joane Nagel, Anthony Oberschall, view (e.g., Smelser, 1969:52). It is also possible to
Susan Olzak, Rachel Rosenfeld and two anonymous
reviewers for useful advice.
1 The meaning of "modernization" will be dis-
cussed below.
work of Hechter (1975, 1978); and the compe-
tition model discussed by Hannan (1979),
among others.2
Hechter (1975) proposed explaining the per-
sistence of ethnic solidarity in modern societies
within the framework of the reactive-ethnicity
model. In this view, ethnic solidarity is a reac-
tion of the culturally distinct periphery against
exploitation by the center. Reactive solidarity
occurs when there is a cultural division of
labor, or a pattern of structural discrimination
such that "individuals are assigned to specific
types of occupations and other social roles on
the basis of observable cultural traits or
markers" (Hechter, 1974:1154). With cultural
division of labor, ethnic boundaries tend to
coincide with lines of structural differentiation,
and ethnic solidarity is increased. The greater
this coincidence, and the relative disadvantage
of the peripheral population, the greater the
likelihood of solidarity.3
The competition model of ethnic resurgences
is based on the same premise as the func-
tionalist one: as culturally heterogeneous
populations become industrialized, the spread
of a market economy, increasing bureau-
cratization and other aspects of modernity en-
tail the precedence of universalistic criteria
that cut across the traditional system of as-
2 I do not include in this discussion explanations of
ethnic resurgences based on mechanisms of rising
expectations (see, e.g., Beer, 1980: Ch. 3). Mech-
anisms of rising expectations are relevant mainly to
the short-term dynamic aspects of ethnic mobiliza-
active and competition theories.
3 See also Hechter (1978). This is a simplified de-
by Ragin (1976) and Nielsen (1980), it is not as in-
compatible as it may seem with the functionalist
argue that reactive ethnicity is compatible with a
Marxist perspective, although little is known of
Marx's or Engels's thinking on ethnic issues (Beer,
1980:42-43).

American Sociological Review, 1985, Vol. 50 (April: 133-149) 133

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 134 AMERICAN SOCIOLOGICAL REVIEW
cribed statuses. As modernization affects dis-
tinct ethnic groups more homogeneously, as-
signments of individuals to occupations and the
distribution of societal rewards in general tend
to be made increasingly on the basis of rational
and achieved criteria that crosscut ethnic
boundaries. It does not follow that ethnic dis-
tinctions become irrelevant, however. The
crucial element of such a situation is that mem-
bers of different groups find themselves in-
creasingly in a position to compete for the
same occupations and the same rewards. The
competitive tensions are manifested by a
heightening of solidarity within the groups in-
volved. This diffusion-competition explanation
of ethnic resurgences in modern societies has
been discussed, for example, by Hannan
(1979), Nielsen (1980), Ragin (1979) and Olzak
(1982).4
The reactive ethnicity and the diffusion-
competition models associate ethnic re-
surgences in modern societies with very dif-
ferent kinds of structural arrangements. In the
reactive-ethnicity approach, resurgences are
more likely when there is a cultural division of
labor such that members of one group are re-
stricted to subordinate and unrewarding social
positions. The greater the economic in-
equalities between groups, the greater the
likelihood of status group (ethnic) solidarity
(Hechter, 1975:43). The competition model, on
the other hand, predicts that resurgences will
occur precisely where the cultural division of
labor breaks down and group inequalities di-
minish, because members of different groups
are then more likely to compete for the same
resources.
The recent literature on ethnicity contains a
number of attempts to assess the merits of one
model or the other in a variety of empirical
instances (see Hechter, 1975; Ragin, 1979;
Nielsen, 1980; Olzak, 1982; Beer, 1980; Portes,
1984). The literature as a whole suggests that
both the reactive ethnicity and competition
models have some merits in specific countriesplausibility in view of the ubiquity of the phe-
and time periods.5 One major purpose of this nomenon. An elaboration of this theme is one
4However, the central intuition that the intensity
of ethnic solidarity within a group is a function of the
degree to which members of different groups com-
pete for the same resources has been developed in
other contexts and under different labels by a variety
of writers, including Park (1950), Deutsch (1953),
Lieberson (1961), Harris (1964), Van den Berghe
(1967), Barth (1969), and Bonacich (1972). Barth's
(1969: Introduction) exposition of the competition
model is particularly general. In the sociological lit-
erature, variants of the competition model are com-
monly associated with Bonacich's "split labor
market" or Van den Berghe's "paternalistic versus
competitive" terminologies.
5 In Belgium, for example, the circumstances of
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paper is to go beyond this dilemma by propos-
ing a more comprehensive theory of ethnic re-
surgences that would allow for both processes
to take place. The next section presents more
specific purposes, definitions of major con-
cepts, and additional considerations relevant to
the scope of the discussion.
GOALS, DEFINITIONS AND SCOPE
One assumption pervading most social science
discussions of collective action is that individ-
uals tend to organize for collective action on
the basis of characteristics that are important
in terms of their own fate and lifestyle. For
example, in modem societies the occupational
status of an individual is the major determinant
of his or her consumption pattern and way of
life. Therefore, according to this assumption,
one would expect occupation to become the
major basis of political alignment in a normal
state of affairs. This reasoning underlies the
diffusion-erasure perspective. Ethnic re-
surgences are viewed as somehow accidental,
the result of a singularity in development
(Smelser, 1969:52; Nielsen, 1980:78).
The premise is much more problematic than
is commonly realized, because there is no
guarantee that a social categorization that
largely determines the lifestyle of its members
is also the best vehicle for collective action. If
the assumption is discarded, it is possible to
explain ethnic collective action as the result of
mechanisms that are inherent in the process of
modernization. The emergence of collective
action based on ethnicity may be the most nat-
ural outcome under certain conditions in de-
veloped societies even though, and perhaps
especially when, ethnicity becomes a weaker
predictor of individual lifestyle. Locating the
origins of ethnic resurgences in mechanisms
that are intrinsic to modernization is not a log-
ical requirement for such a theory, but it has
aesthetic appeal and would seem to have face
purpose of this paper. It will be done through
the development of a series of propositions that
relate various consequences of modernization
to prospects for ethnic resurgences.
Another purpose of the article is to argue
that ethnic solidarity and its unexpected re-
surgence in modem societies are forms of col-
lective action. As such, they are better under-
the rise of the Flemish movement after World War II
support the competition model. However, the re-
active model appears as a better explanation of the
movement before the war (Nielsen, 1980). Ragin
(1979) finds similar period differences in the bases of
ethnic mobilization in Great Britain.
 ETHNIC SOLIDARITY 135

stood when placed in the framework of a gen- models are all structural theories in the sense
eral theory of collective action. Elements of that they seek the causes of ethnic solidarity
such a general theory that are necessary for our among exogenous characteristics of the social
purposes are presented in the next section. The structure, such as the existence of a cultural
propositions relating dimensions of modern- division of labor, a split labor market or the
ization to ethnic collective action will be par- extension of the market economy (see Hechter
ticular specifications of this more general et al., 1982, for further discussion of structural
model. theories). The model proposed in this paper
Central concepts are defined first in this sec- belongs to the same category of theories.
tion, although the meaning of "solidarity" will However, structural explanations of ethnic
be discussed later. In this paper the term mod- solidarity are incomplete because they largely
ernization will be defined as "all the long-term ignore possible feedback effects on solidarity
changes associated with industrialization," due to efforts by the central government to
where industrialization refers to "increasing regulate or institutionalize ethnic divisions.
reliance on inanimate sources of energy and The issue is the extent to which structural
the machines powered by them" (Lenski and theories are affected by the omission of auton-
Lenski, 1982:445-46). Modernization therefore omous political processes. To illustrate the
denotes social trends such as the spread of problem, Figure 1 depicts a more general
education, the growth of government, the shift model of ethnic solidarity than will be devel-
from the primary to the secondary and tertiary oped further in this paper.
sectors, in addition to changes in purely tech- The model should be general enough to be
nological aspects of production.6 The theory of noncontroversial. Structural theories, even
ethnic solidarity presented later is restricted to though they disagree in their particulars, corre-
modern, or industrialized, societies. (See spond to (causal) link 1 in the Figure, and deal
Nagel and Olzak [1982] for an attempt to ex- with the direct effects of demographic, eco-
plain ethnic resurgences in both modern and nomic and other social-structural factors on
developing societies.) solidarity. Political-incorporation theories cor-
An ethnic group is defined as (Barth, responding to link 2 emphasize the effects of
1969:11) "a population that has a membership solidarity on the polity as governments adjust
that identifies itself, and is identified by others, their structure to accommodate (or repress)
as constituting a category distinguished from ethnic divisions. The conflict resolution lit-
other categories of the same order." Identifi- erature in political science emphasizes this
cation is presumed to be made on the basis of causal link. An example is the consociational
racial or cultural markers such as language, democracy model (e.g., Lijphardt, 1968). Fi-
religion or customs. This choice of a definition nally, mechanisms pertaining to link 3 have
implies that ethnicity, at least to the extent ofbeen called the "political construction of
casual recognition of ethnic differences by the ethnicity" by Nagel (1979, 1982). She argues
populations involved, precedes solidarity.7 that the recognition of ethnicity as a legitimate
Barth's definition is minimal, in the sense that basis for political organization by the central
many attributes usually associated with government renders prior ethnic divisions
ethnicity such as biological self-perpetuation, more permanent, increases group solidarity,
shared values and bounded interactions are and also promotes new mobilization by for-
treated as variables to be explained rather than merly unrecognized groups lest they be ex-
as definitional requirements. cluded from an ethnically defined polity. An
Despite their differences, the diffusion- example of such mechanisms is the emergence
erasure, reactive ethnicity and competition of a "native American" ethnicity as a result of
the activities of the Bureau of Indian Affairs
(Nagel, 1982; see also Nagel and Olzak, 1982;
6 The use of modernization in this sense clearly
implies no endorsement of so-called "modernization Lauwagie, 1979).
theory" (Lenski and Lenski, 1982:403-404; Chirot Considering a simplified model consisting
and Hall, 1982:81-83), the view that obsolete atti- only of links 1, 2, and 3, it appears that
tudes, values and institutions are responsible for the structural theories are not very sensitive to a
problems of developing countries. The discussion neglect of links 2 and 3. Even if political in-
does assume, however, roughly similar outcomes of corporation and political-construction activi-
development. This assumption might be qualified in ties take place, a structural theory may still be
some cases, for example, late-industrialized coun-
viewed as a nonspurious reduced model of the
tries such as Russia and Japan (Chirot, 1977:76-83).
7This assumption is made for simplicity, not to
effects of structural factors on ethnic solidarity
deny the possibility that new ethnicities can be that simply does not separate direct effects
created by the mobilization process. Such from indirect ones through state activities.8
emergences, as opposed to resurgences, of ethnicity 8 Political-construction theories that do not control
are discussed by Nagel and Olzak (1982). for structural factors are more sensitive to specifica-

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 136 AMERICAN SOCIOLOGICAL REVIEW
Link 4
Exogenous characteristics
of the social structure Link 1
(e.g., cultural division of (Structural theories) Ethnic
labor, increased competition, _) solidarity
etc. Opinions differ.)
Link 2 Link 3
(Political in- (Political con-
N corporation
Is >theories)
Link 5 !
Figure 1. Extended Model of Ethnic Solidarity and a Typology of Theories
However, structural theories may be biased by
the failure to control for links 4 and 5. Solidar-
ity directly affects the social structure (link 4)
when, for example, ethnic strife leads to sub-
stantial population shifts. Official recognition
affects the social structure (link 5) when, say,
the occupational distribution is changed by an
affirmative action effort. All structural theories
have to assume that, within their relevant
context and time frame, links 4 and 5 can be
neglected in a first approximation. The
structural model presented in this paper shares
this assumption.
ETHNIC SOLIDARITY AS A FORM
OF COLLECTIVE ACTION
Solidarity in the context of ethnicity has been
used in a variety of senses in the literature (see
the review by Olzak, 1983:356-57). Here the
term is used in a sense close to the dictionary
definition (Random House, Sense 2) of "com-
munity of interests, feelings, purposes, etc.,"
with an emphasis on purposes. A specific defi-
nition of ethnic solidarity that is empirically
practical requires two elements:
1. the formulation of specific goals or claims
defined on the membership of the ethnic group
as opposed to, or in contradistinction with,
other groups in the society;
2. a degree of ideological and organizational
mobilization of group membership for the im-
plementation of these claims.
The first part of the definition requires the
existence of a program of some sort for the
tion bias, since an apparent correlation between offi-
cial recognition of ethnicity and solidarity may have
been produced entirely through links I and 2, with no
political-construction effect.
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struction theories)
Official recognition of
ethnicity by the state
ethnic group, even though only a minority of
members may support it initially. The formula-
tion of goals might be indicated by the release
of manifestoes, the emergence of an issue, the
airing of grievances.9 The degree of mobiliza-
tion might be measured as the percentage of
votes for an ethnic party, the amount of vio-
lence related to ethnic strife (e.g., bombings,
arrests, casualties), and other expressions of
discontent such as graffiti, posters, and ethnic
jokes (see Hechter, 1975; Nielsen, 1980; Beer,
1980, for examples of these measurement
strategies). The expression "in contradistinc-
tion with" in the first part of the definition is
necessary because claims on the basis of
ethnicity are often neutral with respect to oth
groups in the system. A movement for the in-
dependence of Quebec is in principle neither
opposed nor favorable to the goal of equal
rights for women. The goal of independence is
defined on the basis of being a Quebecois in
contradistinction with being a woman (as op-
posed to a man). The second part of the defini-
tion, in terms of "degree of mobilization," is
deliberately quantitative to take into account
varying intensities of mobilization.
The definition of ethnic solidarity just pre-
sented assumes preexisting ethnic identities, as
noted above. However, it is minimal in the
sense that it does not presume other structural
characteristics of an ethnic group, such as a
common language, a propensity to endogamy,
a closed network of interactions, that may well
9 One might view the formulation of goals or
claims in itself as part of the mobilization process.
This would be justified theoretically, but it is practi-
cal to keep these two elements separate because they
are usually measured empirically from different
sources.
 ETHNIC SOLIDARITY
facilitate the expression of solidarity but are
not intrinsic parts of it. These characteristics
are best treated separately as possible causes
of solidarity. IO The minimal definition of ethnic
solidarity can obviously be adapted to solidar-
ity on bases other than ethnicity by simply
changing the criterion of group membership.
For example, the women's movement would
be characterized by claims defined on gender
and a degree of mobilization of the female
population. It is an instance of gender solidar-
ity. The essential elements of other forms of
solidarity would still be the formulation of
group-specific claims and the mobilization of
the membership in view of implementing these
claims. The definition of ethnic solidarity,
therefore, emphasizes that it should be viewed
as a particular form of collective action (see
Hechter et al., 1982; and Nielsen, 1978a, for
elaborations of that view).
The view that ethnic solidarity is only one
among many possible forms of collective ac-
tion has strong implications for a theory of
ethnic resurgence in modem societies. The
crucial articulation is that individuals in society
have available a large variety of identities."
Each one of them can be used to distinguish
10 This simplified definition is also agnostic as to
whether ethnicity, because of shared fundamental
values, is a distinctive, primordial identity. Here the
issue is ethnic collective action, so that the definition finite, potential solidary groups compete for
of solidarity has a purely behavioral emphasis.
Ethnicity is viewed as one basis for mobilization
among many possible ones. Primordial aspects of
ethnicity are important to the extent that common
symbols, shared values, emotional attachment affect
the ability of the group to recruit participation re-
sources from members in competition with alternat-
ing bases for mobilization. This possibility is dis-
cussed below. Ethnicity may be primordial, but it is
trivially true that sharing the same ethnicity does not
prevent intense conflict among members of a group.
11 Stone's definition of identity discussed by
Stryker (1980:60), "one has an identity when one is
placed as a social object by others in the same terms
that one appropriates and announces for oneself," as
well as Barth's (1969) conception of ethnicity pre-
suppose a structured role relationship. Identity is
used here in an extended sense to include objective
characteristics of individuals (markers) that are
potential identities in Stone's sense but do not cur-
rently serve to structure role relationships. Resi-
dency in geographical areas that do not communicate
is one example. In terms of Stryker's (1980:61) con-
ception of a salience hierarchy of identities, such
markers are identities with no salience. Assessing
the effect of prior identity salience on solidarity (as
defined here) is delicate. While it seems plausible
that prior identity salience facilitates solidarity,
emergent ethnic solidarities develop on the basis of
identities with little or no prior salience (e.g., "native
American"; see Nagel, 1982). These issues deserve
further study beyond the scope of this paper.
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137
subsets of the population. In principle, each
identity can be chosen as the basis for the
formulation of claims or goals, and an attempt
can be made to mobilize members of the subset
in view of implementing these goals. In other
words, each subset is a potential solidary
group. Mobilization of the members means that
they allocate some of their resources, such as
time, energy, money, votes, psychological
commitment and physical courage, to the col-
lective effort.12 But social identities in a popu-
lation can be nested, crosscutting or overlap-
ping. There are identities based on occupation,
with various degrees of inclusiveness from the
local workshop to professional associations
and class identifications; family or kinship
loyalties; identities corresponding to residence
in territorial units of various sizes (the block,
the village, the South, the nation); social dis-
tinctions based on biological, demographic, or
physical characteristics (gender, age, weight,
skin color). As noted by Hannan (1979), iden-
tities based on culture often constitute a com-
plex structure in which subsets are delineated
by differential emphasis on various cultural
components. Dialects within a larger linguistic
group, for example, correspond to nested
identities. Religion can cut across the bound-
aries of several language groups. Since the
total amount of resources an individual is able
to devote to collective action is necessarily
the participation of their members. Within this
framework, the question of the origins of
ethnic resurgences may be reformulated as
follows: "Under what conditions does ethnic-
ity in modern societies compete successfully
for the participation of members with other
forms of solidarity?"
To illustrate this abstract framework, con-
sider the hypothetical case of a Belgian woman
in her early thirties who lives in the small vil-
lage in Flanders where she was born, some
thirty kilometers from Brussels. Her mother
tongue and home language is Flemish, but she
speaks French well enough to carry on ordi-
nary conversation. She goes to Brussels by
train every morning to work at the large
chocolate factory near the train station, where
she operates one of the automatic machines
that wrap the chocolate-covered candies. Her
husband is a civilian mechanic in the Army
assigned to the maintenance and repair of tank
engines at a base near Brussels. In the work-
shop, he is informally viewed as the specialist
12 This description corresponds to the modem
view on collective action, Oberschall's (1973:28) "re-
source management" or McCarthy and Zald's (1977)
"resource mobilization" perspective. See Jenkins
(1983) for a review.
 138 AMERICAN SOCIOLOGICAL REVIEW

in the repair of the clutches of the aging lic school next year, this could directly affect
American-made tanks that are constantly fail- her tuition. The Catholic party is opposed to
ing' because they are used to train draftees. Her the bill, and she might vote for them just for
three children go to the local primary school, that. At work, she is frustrated by the strict
but there are plans to send the eldest daughter division of labor between men and women,
next year to the Catholic school near by. Both especially concerning the taffy makers. They are
she and her husband are devout Catholics. Part all men and are paid much more than she is for
of the constellation of social identities in which ajob that is not very difficult. It is not the fault
this woman participates is represented in Fig- of the company. There is an old contract with
ure 2. the candy-makers union, of which the taffy
makers are members. It is the union that does
not admit women. On the other hand, her hus-
band has been passed over for promotion to
iff shop supervisor, despite his seniority, in favor
of a French-speaking colleague. He is very
angry and has been pressuring her to join the
Volksunie, the Flemish party.
It would not be difficult to imagine circum-
stances in which other identities of the Flemish
woman would become salient for her. Every
individual in society is in a similar situation of
having to choose how to allocate limited par-
ticipation resources to potential solidarity
groups corresponding to one of multiple iden-
tities. Individual decisions in that respect are
typically the result of a very complicated inter-
play of circumstances. The possibility of a
macro-sociological theory of collective action
in general, and a theory of ethnic resurgences
in particular, depends on finding systematic
relationships between structural charac-
teristics of a society and the success of a par-
Figure 2. Some Overlapping Identities of the Belgian ticular potential solidary group in recruiting
Woman Described in the Text
participation resources from the social envi-
ronment.'4 I will refer to this capacity of a
It is not difficult to list circumstances in group to recruit resources as the carrying ca-
which each one of these overlapping identities pacity of participation of the group in the social
might become activated, in the sense that she environment.'5 The rest of this section is de-
would be more willing to participate in collec-
tive action on that basis.' 3 As a member of the 14 The expression "a group recruits participation"
working class, she may be sensitive to a variety is used metaphorically here and in the rest of the
of issues such as a proposed increase in retire- paper to indicate that structural conditions are such
ment benefits, the amount of paid vacation per that individuals tend to allocate their limited partici-
year, a revision in the promotion schedule in pation resources to that group rather than others of
the chocolate company. She agrees with the which they are potential members. The expression
refers to the aggregate manifestation of individual
Socialist party on these issues and may be
behavior. It does not imply that the group necessar-
tempted to vote for them, which is one way to
ily "acts" in any meaningful sense. An organization
participate in collective action on the basis of associated with the group, however, might be said to
her blue-collar identity. But she is also Catho- act in a real sense. This is related to the distinction
lic. That identity may be activated if, for between social movement and social movement or-
example, there is a bill in Parliament to reduce ganization made by McCarthy and Zald (1977).
government subsidies to private schools. Since '5 The term carrying capacity is used to emphasize
her eldest daughter is going to a private Catho- the fact that any one group does not always succeed
in actually recruiting all of its carrying capacity of
participation. This is because mobilization takes
13 The activation of an identity in this way is simi-
time, and because the group competes with others
lar to an increase in salience, or "probability of invo- for the participation of members. These dynamic
cation," in Stryker's (1980:61) salience hierarchy aspects of competition for participation are dis-
framework. However, the conative ("I want") rather cussed in Nielsen (1978b). The model of the carrying
than cognitive dimension of an identity is crucial capacity of participation may be viewed as the com-
here. This is related to the discussion of interests parative statics part of an ideal model of collective
below. action that would include the relevant dynamics.

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 ETHNIC SOLIDARITY 139

Structure of events
in the social system

j___ ___ ____ ___ ___ ____ ___ _-_- --- --- ---- ------- - -----
! !
+
Size of latent group Potential control
I _ \ \ over events

I \ +Xx \|+
I Resources of latent group Homogeneity of
individual interests

| + \\_ Carrying capacity

of participation l

+I

Potential entrepreneurs tonal

entrepreneurspotentialI

i P

Figure 3. Model of the Carrying Capacity of Participation of a Solidary Group

voted to proposing a simple model of the car-
rying capacity of participation of a potential
solidary group.
The model assumes that any potential solid-
ary group is composed of individual actors
characterized by a set of interests defined with
respect to events in the social system. For
example, the proposed reduction of subsidies
to private education, a rise in the price of
monthly railway passes, the failure of her hus-
band to obtain a promotion are all events that
affect the interests of the Belgian woman de-
scribed above. The distribution of interests of
the individual members of a subset of the
population sharing a common social identity is
crucial for the carrying capacity of solidarity
based on this identity. In turn, the distribution
of interests of the potential members of a solid-
ary group depends on the structure of events in
the system, the systematic ways in which
events such as political decisions affect groups
in the population. Figure 3 depicts the way in
which interests of individual members of the
subset are translated into participation given a
particular event structure. The carrying ca-
pacity of participation in a solidary group is
presented as dependent on three main charac-
teristics of the latent group: the organizational
potential of the membership; the homogeneity
of interests of members with respect to events;
and the potential control by the group over
events.
The organizational potential of the latent
solidary group refers to the relative ease with
which the group can tap resources of members
and allocate them to collective pursuits. If, as
Olson (1965) argues, collective action is
primarily organizational, the organizational
potential is an important ingredient of the car-
rying capacity of participation in a solidary
group. The potential is high when members can
be organized with low expenditures of re-
sources. This may depend on obvious technical
factors such as the geographical dispersion of
the membership, the quality of communication
channels, the sharing of a common language. If
the latent group is already characterized by a
dense network of smaller organizations, re-
cruitment of participation may proceed more
effectively through the federation of blocks
(Von Eschen et al., 1971; Oberschall, 1973: Ch.
4). The organizational potential may also de-
pend on ideological factors, such as shared
symbols that can be used to construct an effec-
tive group ideology. For example, ethnicity
may be richer in shared symbols such as songs,
emblems, pageantry than, say, a professional
association, and better able to arouse the
romantic feelings of members.
The impact of a form of collective action, or
its "strategic efficacy" (Glazer and Moynihan,
1975:9), depends primarily on the extent to
which organized action modifies the utilities of
individual actors.16 The impact of a collective
16 For simplicity, the relationship between indi-
vidual interests and group mobilization is treated as

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 140 AMk.RICAN SQCbT(CT O(iCATl pRVTFW

effort on individual utilities is high if it secures zational potential, the homogeneity of interests
much control over the outcome of events, if and the potential control, depend on structural
these events are important for members, and if characteristics of the latent group. Some of
outcomes affect interests of members in homo- the most important relationships between
geneous ways. The potential impact of collec- structural characteristics and the three inter-
tive action captures two distinct elements: the mediate variables are also summarized in Fig-
potential control by the group over events and ure 3. The model postulates a positive effect of
the homogeneity of interests of members with the amount of resources in the latent group on
respect to these events. Potential control is the both the potential control over events and the
extent to which the group would influence organizational potential. Resources comprise
events, given a certain amount of participation. money, talents, free time, and control by indi-
Potential control and organizational potential viduals over events. The concept is applied on
are independent concepts. A group could have a per capita basis. Resources are therefore in-
high potential control but fail to mobilize be- dependent of the sheer size of the latent group.
cause of communication difficulties, for exam- The size of the latent group affects positively
ple. Homogeneity of interests is the degree its potential control over events. In a repre-
of similarity of the ways in which events af- sentative system, size corresponds to electoral
fect the utilities of individual actors. Despite strength. In more violent situations, physical
the logical difficulties associated with such force depends directly on number. However,
operations, it is necessary to think of the the size of the latent group has a negative effect
homogeneity of interests as weighted by the on both the homogeneity of interests of mem-
relative importance of events and the relative bers and the organizational potential. These
importance of actors. Thus, an equal increase assumptions follow from obvious and not so
in the importance of an event for all members obvious reasons. Everything else constant, the
of the group is viewed as increasing the likelihood that members have divergent inter-
homogeneity of interests of the group.17 ests with respect to events increases with the
The three intermediate variables, the organi- size of the membership. However, larger latent
groups also have lower organizational poten-
tial. One reason may be simply that a large
unproblematic. This is not to ignore the paradox of group is more dispersed geographically. A
collective action and Olson's (1965) rigorous crit- large group is also more likely to be what Olson
icism of the traditional assumptions on group forma- (1965) calls a "latent" group (in contrast with
tion. It can be shown that the relationships postu-
my more general use of this term), that is, one
lated in the model still hold even though collective
in which no individual would benefit so much
action is the by-product of an organization that exists
primarily to provide selective incentives to par-
from the collective good that s/he is ready to
ticipating members (Nielsen, 1978b). The utilitarian bear the cost of collective action alone. Mem-
emphasis of the model does not imply that individu- bers of a "latent" group have no natural incen-
als participate in collective action for individual- tive to organize and would rather be "free rid-
rational motives only. Emotional, nonutilitarian mo- ers." Therefore, a latent group with a large
tives certainly play a role (Wilson, 1978: Ch. 7; membership typically has a lower organi-
Fireman and Gamson, 1979; Marwell, 1982). The zational potential.
model is based on two assumptions concerning this
Finally, the model postulates a positive ef-
issue. First, participation in collective action will not
fect of the presence of potential entrepreneurs
last if the collective outcomes obtained or sought go
against individual interests of members. Substantial
on the organizational potential. Potential en-
homogeneity of interests is a necessary, but not suf- trepreneurs are individuals who are not com-
ficient condition for participation. Second, whatever mitted to the pursuit of collective goods de-
nonrational feelings motivate humans to participate fined on other group boundaries, or whose in-
have to be allocated to a group. It is assumed that dividual prospects in existing organizations are
structural features of a group that facilitate convinc- poor. They constitute potential recruits as
ing members of their common (individual) interests leaders of the group. The availability of such
are the same that facilitate the mobilization of theirindividuals increases the organizational poten-
more emotional feelings. (See Margolis [1982] for a
tial of a latent group.
promising attempt to integrate utilitarian and group-
directed motives in the social psychology of collec- The model depicted in Figure 3 applies in
tive action.) principle to every potential solidary group,
every subset of a population sharing a common
17 A better formalization of the concept, which
social identity. The next section considers the
would involve assumptions about interpersonal
comparisons of utilities, is beyond the scope of this mechanisms by which modernization affects
paper. See Coleman (1973a) for an attempt to define the parameters of the model for various groups
an aggregate measure of utility by weighing individ- by modifying either the structure of events or
ual utilities by the control of an actor over events. the composition of the group.

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 ETHNIC SOLIDARITY 141

ETHNIC SOLIDARITY AND of culture. However, it is not possible to ignore

MODERNIZATION the massive impact of modernization on cul-
tural diversity. Insofar as ethnic solidarity
Some of the propositions discussed in this sec-
utilizes cultural markers to circumscribe the
tion are attempts to identify aspects of mod-
potential membership, cultural diversity is im-
ernization that affect the carrying capacity of
portant in this context. In an early but thor-
participation of ethnic solidarity directly, and
oughly modern treatment, Deutsch (1953) de-
indirectly by reducing the appeal of collective
scribes the aggregate consequences of the
action on alternative (competing) bases. Two
better-known effect of modernization on cul-
caveats are necessary. First, the propositions
ture, the progressive assimilation of the domi-
below are intended to summarize central re-
nant culture by the population of the periphery.
sults of the discussion, not to constitute a for-
Less well researched, but no less significant, is
mal deductive system. The propositions have
the process by which assimilation occurs
different logical statuses: some are historical
within the peripheral culture, as the network of
generalizations, some relate a historical trend
interactions widens and individuals of the pe-
to the general model of collective action, some
riphery experience more contacts outside their
are relatively specific empirical statements.
local setting. When the peripheral culture is
This informal style of presentation is chosen
made up of many local variations within a
because a more axiomatic treatment would
larger cultural group, as is typically the case,
have to rely on a reasonably complete decom-
this leads to homogenization and a reduction in
position of this complex set of processes. Such
cultural diversity. In some instances, such as
a decomposition is beyond the scope of this
Belgium and Norway (Haugen, 1968),
paper. The propositions are only intended to
homogenization is carried out deliberately by
reorganize and clarify previous theoretical ap-
innovators. It often involves the standardiza-
proaches and empirical findings concerning
tion of the language and the manufacture of a
ethnic collective action, and to provide a
glorious past complete with battles and heroes.
framework for future research.
The spread of education contributes to this
Second, the perspective chosen is purely de-
process. A major consequence of homogeniza-
velopmental, in the sense that only secular
tion is that the relative sizes of culturally dis-
trends associated with modernization are con-
tinct groups increase. The first proposition
sidered. In such a simplified form, the model
summarizes this outcome.
cannot explain shorter-term fluctuations in
Proposition 1. Modernization often entails a
ethnic mobilization that are observed in many
decrease of the cultural diversity within the
instances. Explanations of such fluctuations
periphery. This reduction in diversity entails an
are likely to depend on country-specific tacti-
increase in the relative sizes of groups distin-
cal factors that are hard to incorporate at this
guishable by cultural markers in the social
level of generality. The failure to explain
system.
higher-frequency fluctuations is a common
Modernization, as defined earlier, typically
feature of models that are first approximations
entails progress in communication technology,
to reality.'8
transportation and the response time of large-
This paper follows the approach recom-
scale news media. Modernization reduces the
mended by Barth (1969: Introduction), in which
cost of organizing a large group of individuals.
the focus is on the formation and maintenance
This trend may be formulated in terms of the
of ethnic boundaries rather than on the content
model of collective action presented earlier.
Proposition 2. Modernization reduces the
18 An anonymous reviewer correctly emphasized
negative effect of size on the organizational
this point. Ethnic solidarity may, for example, tem-
potential of a group, and therefore increases
porarily decrease due to a resurgence in the im-
portance of class, itself a result of current economicthe carrying capacity of participation of large
conditions. Such competition processes are consis- groups.
tent with the model of solidarity. Ragin and Davies Hannan (1979:266) proposes a useful dis-
(1981) use this argument to explain the decline of the tinction between two aspects of moderniza-
Celtic parties in Great Britain during the late 1970s. tion. Polity modernization is defined as "the
Ethnic solidarity may also appear to decline because degree to which organizational mechanisms
of tactical decisions by the groups involved. In Bel-
exist and function to bring the interests of
gium, the rise of the Flemish party may have been
members to bear upon the formulation and ad-
arrested in the 1970s in part by the breakup of
judication of political issues." State modern-
nonethnic parties into separate linguistic wings,
which permitted each wing to also emphasize re- ization, by contrast, refers to the degree to
gional issues and regain lost voters (Hill, 1974). Such which a single center constitutes the forum in
a fluctuation constitutes a reexpression, rather than which
a those issues are formulated and settled.
decline, of ethnic solidarity. Polity modernization often corresponds to

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 142 AMERICAN SOCIOLOGICAL REVIEW

the expansion of the franchise to more individ-
uals in the society. The franchise is a resource
that can be used to control events. In a repre-
sentative system, the size of the membership of
a group corresponds to potential electoral
strength and greater control over the outcome
of events. Therefore, one would expect polity
modernization to increase the carrying ca-
pacity of participation of large groups. State
modernization, the process by which an in-
creasing number of important events come
under the jurisdiction of higher-level instances
of decision making, has similar consequences.
Insofar as more important events are defined
and settled at the top of the decision structure,
and a representative system of some sort is
operational, the potential control of a group is
enhanced by the size of its membership. How-
ever, the carrying capacity of participation of
large groups may increase with state modern-
ization even in the absence of polity modern-
ization. Coleman (1973b) argues that organi-
zations that attempt to implement collective
goals have to adjust their mode of operation
so as to compete successfully for outcomes
with other organizations in the system. Hannan
(1979) extends Coleman's argument by sug-
gesting that the centralized state itself consti- model of collective action. The model sug-
tutes a powerful organization. Solidary groups
willing to challenge its power must choose
commensurate forms of collective action. A
large membership means there are a variety of
resources that can be used to affect state deci-
sions and secure control over events (see
Nagel and Olzak, 1982, for an elaboration of
this view as a more general "principle of
isomorphism"). Since polity and state mod-
ernization may not occur to the same degree,
this discussion is summarized as two separate
propositions.
Proposition 3. Polity modernization in-
creases the positive effect of size on potential
control by a group over events.
Proposition 4. State modernization (cen-
tralization) increases the positive effect of that size may give a competitive edge to all individ-
on potential control over events.
Propositions 2, 3 and 4 describe mechanisms
by which modernization increases the carrying
capacity of participation of solidary groups with the occurrence of such events more likely, and
a large potential membership. In combination
with Proposition 1, this means that moderniza-
tion may make collective action on the basis of
an inclusive definition of ethnic membership
more attractive. However, ethnicity is by no
means the only criterion that can be used to
define large subsets of a population. A subset
circumscribed by gender, for example, com-
prises roughly half the population and is
therefore large in any society. The propositions
that follow will differentiate among groups with
a large potential membership.
One social identity that can be used to cir-
cumscribe a large group in the population is
class. Class membership is determined by the
position of the individual within the system of
production and exchange. When populations
with heterogeneous cultures are progressively
incorporated within the modern system of pro-
duction, the potential membership of a class-
based solidarity group becomes culturally het-
erogeneous. Cultural heterogeneity of the
potential membership entails at least a reduc-
tion in the organizational potential of the
group. Overcoming cultural barriers is costly.
The additional cost may originate from techni-
cal reasons (e.g., linguistic differences) or
ideological ones (e.g., the difficulty of using
existing powerful symbols in constructing the
class ideology when these symbols vary across
cultures).
Proposition 5. When modernization incorpo-
rates populations that are culturally heteroge-
neous, it decreases the organizational poten-
tial of groups defined by broad occupational
lines.
The diffusion-competition model of ethnic
solidarity briefly reviewed in the introduction
to this paper can be cast in terms of the general
gests that ethnic solidarity and conflict are
more intense when individuals of different
ethnic groups are in a position to compete for
the same occupations, resources, statuses and
rewards. Modernization entails the extension
of a rational labor market in which individuals
are allocated to occupations on the basis of
universalistic criteria. Therefore, the likeli-
hood of competition between members of dif-
ferent ethnic groups for the same occupations
increases. One important aspect is the spread
of education. With an educational certificate,
members of various groups can compete for
the same positions. Competition between
members of different ethnic groups makes the
utilities of individuals more sensitive to events
ual members of an ethnic group as opposed to
others. State modernization, with the cen-
tralization of decision-making activities, makes
so does the move away from occupations with
a local focus such as agriculture and mining.
The competition argument can be summarized
in the terminology of the model of collective
action as the following proposition.
Proposition 6. Extension of the rational
labor market increases the homogeneity of
interests of members of an ethnic group and its
carrying capacity of participation (Competi-
tion theory).
Hechter (1975: Ch. 2) discusses the possible
roles of elites within the culturally distinct pe-

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 ETHNIC SOLIDARITY
riphery. Individual members of a culturally
subordinate group who achieve high-status oc-
cupational roles may either reconsider their
ethnic identity and pass into the dominant
group, or seek incremental improvement for
their group within the existing political
structure, or reactively assert the value of their
culture and organize solidarity. (Ragin [1980]
discusses such strategies further in the context
of Celtic nationalism in Britain.) The outcome
is likely to depend on the rate of modernization
of the peripheral population. Any social order
is presumably characterized by a particular set
of selection mechanisms that regulate access
by individuals to positions of power or au-
thority. The channels of power in the
traditional and modern social orders are likely
to differ. When modernization of the peripheral
population proceeds quickly, the leadership
structure inherited from the traditional order
may not correspond to what would have re-
sulted from the new rules of the game. A blue-
collar worker who would have no political am-
bition in the traditional system may become a
successful trade-union official in a position to
contend for power at the national level. When
the top positions are occupied by incumbents
of the old regime, the dissatisfied candidates
for power have no alternative but to organize
solidarity on the basis of new boundaries.
These potential entrepreneurs in the peripheral
population may choose ethnicity as the vehicle
of their ambitions. Beer (1980) finds from a
survey of leaders of ethnic movements in
France that they have experienced more up-
ward social mobility than the rest of the popu-
lation. He views this finding as evidence in
favor of his thesis that rapid social change
causes anomie, and that espousing the ethnic
cause represents a search for identity, "a
means of assuaging feelings of dislocation re-
sulting from rapid social change and the expe-
rience of rapid social mobility" (Beer, 1980:91).
An alternative explanation is that their ac-
tivism is due to a structural imbalance, the
incapacity of the traditional elite to absorb the
new crop of candidates for power. Further
examples of the role of leaders in ethnic
movements are discussed by Breton (1978) and
Rothschild (1981).
Proposition 7. Rapid modernization of the
periphery upsets the traditional mechanisms of
elite formation, produces potential entrepre-
neurs and increases the organizational poten-
tial of ethnicity.
It was argued above that state moderniza-
tion, with its "mushrooming state apparatus"
(Smelser, 1969:46), increases the impact on in-
dividual actors of events at the higher levels of
decision making. There is an evolution not only
in the volume but in the nature of these events.
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143
Decisions at the state level may affect homo-
geneous categories of the population defined
by universalistic criteria. A minimum-salary
law is an example. These events affect individ-
uals regardless of their place of residence.
However, growing interference by the state in
resource producing and other daily activities
may also lead to the occurrence of events that
affect homogeneously individuals residing in
the same geographical area, regardless of their
other statuses. This situation may occur when
modernization entails an increase in the aver-
age size of economic units. State moderniza-
tion implies increased control by the state of
the survival value of these large economic
units. The state can boost an ailing enterprise
through subsidies, influence its behavior
through regulations, and distribute large gov-
ernment contracts. The fate of a large eco-
nomic unit usually affects the interests of a
large number of individuals in the area where it
is located. It is true for individuals who depend
directly on the unit for their subsistence and for
those who benefit indirectly through the mul-
tiplier effect. A government decision on au-
tomotive safety concerns many people in De-
troit, and not only those directly involved with
the production of automobiles.
The synchronization of interests of individu-
als residing in the same area can occur also
through the growth of what Adam Smith calls
the natural activities of the state. These are
activities that cannot be performed through the
free interplay of market mechanisms. A deci-
sion to build a freeway in a particular place is
likely to affect the residents in similar ways,
irrespective of occupational categories. In the
terminology of the general model, such events
increase the homogeneity of interests of indi-
viduals residing in the same geographical area.
Whenever ethnic groups occupy distinct ter-
ritories, geographical patchiness of state deci-
sions increases the homogeneity of interests in
the potential membership of solidarity groups
defined on ethnic lines.'9
19 This point is well made by Rothschild (1981:43).
Belgium offers a clear example of the interaction of
ethnic concentration and patchiness of government
decisions. Any action with any regional implications,
such as a project to develop the port at Zeebrugge, to
build a nuclear reactor in the French-speaking South,
even a choice to buy French or American planes for
the Air Force because the former would be assem-
bled in a plant in Walloonia, immediately becomes an
ethnic issue. In many cases the situation is more
complicated. In the United States, for example,
blacks do not occupy a single connected territory,
like the Flemings in Belgium, but are concentrated in
certain locations such as the inner cores of cities. A
typical patchy event such as a decision on where to
base new missiles may not affect ethnic solidarity.
The relevant events, such as the allocation of urban
 144 AMERICAN SOCIOLOGICAL REVIEW
Proposition 8. When ethnic groups occupy cultural lines and that has a membership that
distinct territories, state modernization and the engages in similar occupations is more likely to
increased geographic "patchiness" of cen- become solidary. They assume the converse
tralized decisions increase the homogeneity of of Proposition 9. Low differentiation within the
interests of members of an ethnic group and its group entails the homogeneity of individual
carrying capacity of participation. interests and a greater likelihood of solidarity.
Modernization is commonly associated with Proposition 9. Modernization entails the oc-
a progressive differentiation of roles and cupational differentiation of the membership
statuses. The explosive growth of registers of of any large group, which decreases the
occupational titles captures this phenomenon. homogeneity of interests of members and the
The carrying capacity of participation of sol- carrying capacity of participation. This effect
idarity groups based on broad occupational is particularly strong for groups defined on
identities such as class should decrease with broad occupational lines.
differentiation of the potential membership. Deutsch (1969:26) use a marginal-return
The higher levels of decision making are able to
argument to articulate the relationship between
generate events that affect homogeneously in- wealth and political violence. He argues: "All
dividuals in a given occupational category. past history [of violence] deals with situations
Differentiation increases the difficulty of for-
where most incomes were so low that the mar-
mulating coherent claims over events that ginal utility of an increment in income was high
would benefit all individuals in a broad occu- enough to offer reinforcement for the learning
pational category. The consequence is that the of violent habits, or of violent action for or
homogeneity of interests of members within a against change. We do not know in practice,
class is reduced. A social-democratic party but we must assume, in theory, that there
which defines its potential membership as indi- could be income levels where the marginal
viduals who are salaried workers can recruit a utility of an additional increment in economic
more unanimous support when the potential income might be lower than the individual and
membership is composed almost entirely of social costs of violence. We do not know just
unspecialized blue-collar workers than when how high this 'peace level' of income is, but we
the latent group includes a large proportion of have some theoretical reasons to believe that
employees and the manual workers themselves there ought to be such a level, unless we throw
are scattered into a variety of specialties out the complete principle of declining margi-
(Form, 1982). Differentiation increases the nal utility of economic goods." Lenski (1966)
heterogeneity of individual interests within uses a similar argument to predict a decrease in
broad categories of individuals defined by any the inequality of the distribution of resources in
criterion. The argument is only valid for solid- modern societies. A general increase in wealth
ary groups that rely on the size of their mem- means for the dominant class a lower induce-
bership for control over events. Groups willing ment to defend a less useful fraction of its
to sacrifice the advantage of size in potential privileges.
control can keep interests of potential mem- The marginal-return argument may be di-
bers homogeneous by restricting the participa- rectly applied to the dynamics of solidarity.
tion basis of the group. This means that the The carrying capacity of participation of a sol-
solidary group adopts a specialist strategy.20 idary group is low if the return to organi-
Proposition 9, which summarizes this dis- zational efforts on that basis is expected to be
cussion, is consistent with explanations of low. Mobilization on the basis of class usually
ethnic solidarity based on a logic of overlap- succeeds in pushing the system close to the
ping cleavages, such as the discussion of realization of the welfare state, in which the
Smelser (1969) and Hechter's (1975) cultural- state often provides for such things as social
division-of-labor model. These explanations security, minimum wages, the incorporation of
assume that a group that is distinguishable on labor contentions into the legal system, so-
cialized health care and free education. The
renewal funds, are geographically patchy in a dif- very success of class-based politics decreases
ferent sense. They affect homogeneously residents inthe marginal return of collective action orga-
a category of locations. nized on class lines. Individuals may find that it
20 A solidary group with a specialist strategy reliesis more profitable to allocate efforts to collec-
on small size, homogeneous interests and low cost of
tive action on the basis of some other parti-
organization for its success. A group with a gener-
tioning of the population. Bell (1975) discusses
alist (or size-directed) strategy, on the other hand,
relies mostly on the size of its membership for con- the effect of the embourgeoisement of the
trol over events. It can tolerate greater heterogeneity working class on ethnic resurgences. He as-
of interests and, usually, lower resources. The dis- serts (1975:157): "The reduction in class senti-
tinction between specialists and generalists is dis- ment is one of the factors one associates with
cussed further in Nielsen (1978b). the rise of ethnic identification." The following

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 ETHNIC SOLIDARITY
proposition summarizes the logic of this argu-
ment in more general terms.
Proposition 10. The success of groups de-
fined by broad occupational criteria may de-
crease the marginal return offurther collective
action on that basis. This increases the carry-
ing capacity of participation of groups defined
by alternative boundaries, including ethnicity.
Michels's (1919) study of democratic organi-
zations suggests that success of a collective
movement depends to a large extent on the
internal differentiation of its membership. A
composition of the potential membership that
reflects more closely the distribution of roles,
occupations, and talents in the system as a
whole enhances the organizational potential of
the group. Organization is easier when the
group can tap individuals already trained to
fulfill a variety of specialized functions that
are necessary for collective action. Internal
differentiation also increases the potential
control of the group over events. Control over
events may take the form of incremental action
at all levels of the social structure, such as a
mutual help network. The more functionally
heterogeneous the potential membership, the
further the group can reach in the social
structure to influence events. Functional het-
erogeneity of the potential membership con-
stitutes a resource for collective action that
increases the carrying capacity of participation
of a group.
Hawley (1968) develops similar ideas in a
general human ecological framework by distin-
guishing between communities and "categoric
units." The criterion for membership in a
categoric unit is the possession of a common
characteristic, so that members in a unit are of
the same functional type and occupy equiva-
lent positions in the power hierarchy (Hawley,
1968:333): "groups of elders, the medieval
guilds, labor unions, professional associations,
and associations of manufacturers are exam-
ples of categoric units. A social class is at most
a loose form of categoric unit." Hawley
(1968:334) argues that it is inherently difficult
for categoric units to organize for collective
action: "So long as it retains its pure categoric
form . . . such a unit can do little more than
react to circumstances affecting it. Nor can it
have more than a transitory existence, since in
order to engage in positive action of any kind
and to attain some measure of permanence, it
must develop at least a core of specialists." In
other words, in order to engage in collective
action, a categoric unit must acquire some of
the internal differentiation characteristic of a
community.
This discussion suggests that the ascriptive
nature of ethnicity constitutes an asset for col-
lective action. Ethnicity is attributed irrespec-
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145
tive of the achieved status of the individual.
Therefore, a subset of the population defined
on ethnic lines may in principle correspond to a
representative sample of the various roles, oc-
cupations and statuses in the social system as a
whole. By contrast, occupation is the very
criterion of membership for groups based on
class. Therefore, the potential membership of a
class-based solidarity group is inherently less
differentiated occupationally. The organi-
zational potential and the potential control of
the group are correspondingly lower.
Paradoxically, the advantage of ethnicity or
any ascribed status as a basis for collective
action lies in its total arbitrariness from a func-
tional or technical point of view.
Proposition 11. The more functionally dif-
ferentiated the potential membership of a
group, the greater its organizational potential
and its potential control over events. Ethnic
groups have a greater capacity of differentia-
tion than classes.
As modernization diffuses more homoge-
neously, the incorporation of culturally distinct
populations within the modem system of pro-
duction and exchange is bound to increase the
share of economic resources they have avail-
able. Economic resources are a useful ingre-
dient for both organization and control over
events (McCarthy and Zald, 1977).
Proposition 12. Modernization of a culturally
distinct group increases its share of economic
resources. This increases the organizational
potential and the potential control of the
group.
ETHNIC RESURGENCES:
SOME HISTORICAL SCENARIOS
The propositions developed in the previous
section, although restricted to secular trends
associated with modernization (see footnote
18), suggest mechanisms by which a carrying
capacity of participation for ethnic solidarity
might be created by modernization in the social
environment. However, as emphasized before,
it is necessary to analyze ethnic solidarity in
the context of competition between groups for
participation (Nielsen, 1978b), so that one
should discuss the effects of modernization on
ethnic solidarity together with effects modern-
ization has on other forms of solidarity that are
likely to compete for the resources of the same
individuals. Of particular interest is a compari-
son of the fates of three broad categories of
collective movements in modern societies,
since each one has predominated historically at
some period of time and location. These are
1) solidarity based on small scale and local
identities such as the family, kinship, and
micro-units of residence;
 146 AMERICAN SOCIOLOGICAL REVIEW

2) solidarity based on class identification, or berships in the category of groups with a size-
any broadly defined occupational criterion; directed strategy.23
3) ethnic solidarity, especially those move- Several elements may influence the outcome
ments based on an inclusive definition of of such a contest. Both contenders, class-
ethnicity (Bell, 1975:143) that have startled so- based and ethnicity-based solidarity, have
cial observers. The general model of collective larger carrying capacities of participation be-
action and the specific propositions presented cause the size of their potential memberships
earlier provide some guidance as to what may increases the impact of collective action (Prop-
have happened historically.2' ositions 3 and 4) and communication technol-
First, Propositions 2, 3 and 4 suggest that anogy makes mobilization possible (Proposition
increased premium is associated with size for 2). Both are progressively handicapped by
the potential impact of a form of solidarity, andgreater internal differentiation of roles and
that modernization makes organizing a large statuses, since differentiation entails a lesser
membership less difficult. The patchy effect of homogeneity of interests of members (Propo-
some central decisions typically synchronizes sition 9). However, internal differentiation also
individual interests over areas that are larger increases the organizational potential and
than the traditional units of organization such potential control of both groups (Proposition
as a village (Proposition 8). At this point in the 11). As modernization spreads more homoge-
process, modernization leads to a general de- neously over culturally distinct groups, the
crease in the carrying capacities of participa- potential membership of ethnic solidarity be-
tion of small-scale, local, potential solidary comes more functionally differentiated than
groups. The carrying capacities of size- the potential membership of class solidarity
directed groups correspondingly increases. and Proposition 11 implies a greater impact of
This conclusion agrees with the description collective action based on ethnicity. The car-
proposed by Hannan (1979) of the progressive rying capacity of participation for ethnic sol-
elimination of locally based solidarities.22 idarity is enlarged by several other mech-
Once traditional small-scale loyalties are anisms. When ethnic groups occupy distinct
weakened, class-based solidarity is one candi- territories, the patchy effect of state decisions
date for a size-directed strategy. It may attain increases the homogeneity of interests of the
spectacular success at one stage of the indus- potential members (Proposition 8). Increased
trialization and modernization process for competition for resources between members
many of the reasons that are traditionally ad- of different ethnic groups increases the
vanced, such as the concentration of workers homogeneity of interests within a group (Prop-
in urban areas, the similarity of their fate with osition 6). Modernization of culturally
corresponding homogeneity of interests and heterogeneous groups makes mobilization on
the amount to be gained from new legislation the basis of class more difficult (Proposition 5).
that is class oriented. The many occurrences of This decreases the carrying capacity of class-
this phenomenon could be related to the gen- based solidarity. Success of collective action
eral model of collective action proposed ear- on a class basis also reduces the marginal re-
lier, but it is not the purpose of this paper to doturn of further participation (Proposition 10).
so. However, modernization may also entail a Mobilization of the periphery increases the
parallel decrease in cultural diversity (Proposi- number of uncommitted elites and the organi-
tion 1). At that stage, the average size of zational potential of ethnic solidarity (Proposi-
groups distinguishable on a cultural basis in- tion 7). Finally, modernization increases the
creases, and this leads to an interesting situa- share of economic resources allocated to the
tion in which ethnicity is able to compete withperiphery and increases the potential impact of
class for participation of the overlapping mem-ethnic solidarity (Proposition 12).

23 As an anonymous reviewer pointed out, the

21 Other forms of collective action such as the
women's movement, specialized lobbies and ter-
rorism could be explained along similar theoretical
lines. These topics are beyond the scope of this
paper.
22 This trend is likely to affect mostly traditionalthan in Great Britain, where they are small, because
units of organization, such as the village. Other
groups with a small potential membership, such as
professional lobbies, may be enhanced by modern-
ization because the homogeneity of interests of
members and the resources at their disposal make up
for their small size.
model implies that the outcome of competition in a
given society is likely to depend on the relative sizes
of the working class and the ethnic groups present.
One would expect ethnic mobilization to be more
successful in a society like Belgium, where major
ethnic groups are large relative to the working class,
in the latter ethnicity is handicapped in size-directed
competition. Such considerations lead to testable
predictions in a comparative framework. Further re-
search should explore the effect of size, taking into
account such complicating factors as the degree of
centralization of the polity and electoral laws.

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 ETHNIC SOLIDARITY 147

These mechanisms suggest a historical group begins to participate in the modem sys-
scheme of the evolution of participation in tem on a more equal basis, so that the re-
various solidarity groups in a poly-ethnic soci- sources available increase. Ethnicity becomes
ety. Modernization first eliminates collective more salient when the peripheral group is be-
action on the basis of small-scale and local coming wealthier and more differentiated oc-
cleavages (Hannan, 1979). Solidarity based on cupationally, so that more members are com-
class is most successful at intermediate stages peting with members of the core and the orga-
of development and when distinct cultural nizational potential of the periphery increases,
groups of the periphery are not yet completely sometimes simply because they have more
integrated within the modem system of pro- lawyers. This occurs despite the decrease in
duction and exchange. Further modernization occupational homogeneity and the corre-
and homogenization of the socioeconomic sponding loss in homogeneity of interests.
system over the entire territory increases the Here, reasons other than the similarity of eco-
carrying capacity of participation of ethnic nomic conditions are viewed as predominant.
solidarity, especially on the basis of an inclu- These two theories differ by the emphasis
sive definition of ethnicity with syncretic they attach to various trends associated with
ideological trappings, and this is the type of the development process. Therefore, one
event that is labeled a resurgence of ethnicity might argue that they are not incompatible in
by observers. From the point of view of the principle, and that it is even possible that one
model developed in this paper, of course, this theory is more correct in the case of one coun-
constitutes a natural evolution of the system oftry as compared with another, or even for
political alignments in a modernizing society. one country in the case of one historical period
Ethnicity seems to reappear as salient, al- and not another, depending on which trends
though it is often a very different kind of have major causal effects in the situation. If
ethnicity than in the past, simply because it this is the case, one would expect to find in-
becomes a more efficacious basis for collective stances in which each model is appropriate, in
action relative to other possible bases, includ- the sense that the social correlates of ethnic
ing class alignments.24 solidarity differ from one social system to an-
The model of collective action also helps to other and over time. This is exactly what the
assess various elementary theories of ethnicity empirical evidence available suggests. In the
in modem societies discussed in the introduc- case of Great Britain, the work of Hechter
tion. These 'theories can be viewed as em- (1975) and Ragin (1979) shows that the
bedded in the general model, in the sense that cultural-division-of-labor model does apply
their predicted outcomes are compatible with it roughly during one period, and the competition
given the right conditions. The cultural-division- model afterwards. A similar pattern seems to
of-labor model, for example, can be translated hold for Flemish nationalism before and after
into the terminology of the propositions of the World War II (Nielsen, 1980). Quebec
previous section. If there is a cultural division nationalism and its social correlates has
of labor such that individuals are assigned to evolved in similar ways (see Olzak, 1982).
certain categories of occupations on the basis These examples mean that different causes be-
of cultural markers, members of an ethnic come predominant at different points in time in
group will have similar occupations and the these instances. This is the theoretical spirit
homogeneity of their interests will be presum-which the model of collective action and de-
ably high. In a cultural division of labor, the rived propositions have attempted to illustrate.
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