MSU LIBRARIES “ RETURNING MATERIALS: P1ace in book drop to remove this checkout from your record. FINES wi11 be charged if book is returned after the date stamped below. FE-B' 2 8 20m SOCIO-LEGAL IMPACT OF THE INDIAN CIVIL RIGHTS ACT: DEVELOPMENTAL AND DISJUNCTIVE INCORPORATION OF INDIGENOUS PEOPLES UNDER COLOR OF LAW By Harry Edward Mika II A DISSERTATION Submitted to Michigan State University in partiaI fquiIIment of the requirements for the degree of DOCTOR OF PHILOSOPHY Department of SocioIogy I981 ‘> I, Copyright by HARRY EDWARD MIKA II 1981 ABSTRACT SOCIO-LEGAL IMPACT OF THE INDIAN CIVIL RIGHTS ACT: DEVELOPMENTAL AND DISJUNCTIVE INCORPORATION OF INDIGENOUS PEOPLES UNDER COLOR OF LAW By Harry Edward Mika II Against a backdrop of the historical incorporation of indigenous peoples into Western development, including the socio—historical contours of international law and federal Indian law and policy, an analysis of the 1968 Indian Civil Rights Act (ICRA) is presented. Through analysis of historical materials and federal ICRA court cases for the period 1968- . 1978, the socio-legal impact of the Act is proposed. ’ The case analysis addresses several themes of socio-legal interdependence which bear upon the historical and contemporary relations between indigenous peoples, and tribal and extra-tribal social matrices: 1) The accelerated development of European ethnic colonial peoples, and the concomitant underdevelopment of indigenous peoples in the territorial United States is aptly chronicled in the elaboration of the legal system; 2) The historical incorporation of indigenous peoples into U.S. development has subverted a broad spectrum of interests, values and behaviors adjudged inconsistent with national development strategies; 3) The elaboration and impact of imposed federal Indian law and policy is the delegitimation of forms of indigenous authority and control (sovereignty and jurisdiction) which threaten to encumber the preferred status quo or trajectory of societal development; J 4) The proliferation of externally sanctioned law and legal institutions undermines tribal self-governance by imposing exogenous Harry Mika prescriptions of social order that create prevalent disorder in tribal life and maintain the marginal socio- legal status of indigenous peoples in national development; 5) The inequality of indigenous peoples in U.S. society is a manifestation of a system of law, where the interests of indigenous peoples in aspects of their own survival (physical, cultural, etc.) extend beyond the parameters of sanctioned conduct and goals; and 6) The ICRA, pursuing a general theme of federal incursion into the affairs of tribal self-governance, stipulates the diminuations in the exercise of tribal sovereignty and jurisdiction, and regulates a wide arc of tribal and extra-tribal relations. The emancipatory and repressive impacts of the ICRA are causally linked: within a logic of societal development and underdevelopment, the Act protects some interests at the expense of other interests, and sanctions and regulates the opportunity structure within which human interdependence takes its course. ACKNOWLEDGMENTS The many institutional and personal contributions to a regimen of study and research should temper one's sense of individual accomplishment at the culmination of a graduate program. I gratefully acknowledge the support of my silent collaborators. The voluminous case file materials were made available to me in East Lansing through the efforts and generosity of Mary Mousseau and the staff of the National Indian Law Library of the Native American Rights Fund (Boulder, Colorado). The cooperation of this first-rate depository facility was instrumental to the research. Annie Pitts of the Michigan State University Library was most helpful in coordinating and facilitating the numerous exchanges of file data. The MSU Documents Library, under the direction of Eleanor Boyles, sorted through the many documentary and archival problems I posed, and without exception found appropriate strategies and solutions. Gil Hall of the American Indian Lawyer Training Program made numerous suggestions in the early stages of research which have added clarity and scope to several portions of the thesis. I have benefited immeasurably from faculty at Michigan State University who have engaged me as a colleague. Chris Vanderpool, my committee chairperson, has prodded and shaped my interests through each of my three degree programs at MSU. His professional and personal guidance has been very valuable, and his friendship iii iv is cherished. John Useem and Ruth Useem have remained keenly interested and involved at every stage of my professional development: their standards, seemingly unattainable at times, have been couched in their warmth, generosity, and dedication to their students. A. Allan Schmid has consistently posed the most difficult questions and has patiently assisted in my ongoing re-orientation to public policy and institutional performance evaluation: his participation in this research effort from a continent away is appreciated. Other colleagues, among them Jim McKee, Beth Shapiro, Jim Thomas, Richard Thomas, Clark White, Mike Price, Peter Grimes, and Seyed Ala Tolouie, have given unselfishly of their time and energy as critics and friends. The support of my parents, their encouragement and dedication, has been without limits and can never be adequately described or repaid. Judy, a fountain of strength and good humor, has made many contributions and sacrifices, including those intangibles of heart and spirit from which I draw sustenance. Kirsten and Josh have been as understanding as two-year-olds can be. They have little use for a book without pictures, and their critical appraisal of the initial research proposal, which they tore into little pieces, was sobering. In spite of these many and outstanding contributions, the limitations of the final product are my responsibility alone. TABLE OF CONTENTS Introduction .......................................................... l Chapter One Thematic Prospectus: The Range and Method of Inquiry...4 Research Themes .................................................. 4 l) The Projection of Interests in the Legal System ......... 5 2) The Salience of Interests in the Legal System ........... 6 3) The Relation of Interests and Legitimate Authority ...... 7 4) The Relation of Law to Social Order ..................... 7 5) The Relation of Law to Racial and Ethnic Inequality ..... 8 6) The Relation of Civil Rights to Regulation .............. 8 Methodology ...................................................... 9 Socio-Legal Impact ......................................... l0 Case Analysis .............................................. l2 A Note on Date ............................................. l4 Ngtes ........................................................... l7 Chapter Two The Concomitants of Imposed Law ........................ l8 Macroscopic Perspectives on Law and Society ..................... l8 Marx and Engels on Law ..................................... 20 Weber on Law ............................................... 26 An Institutional Approach ....................................... 37 Interdependence ............................................ 38 Imposed Law ..................................................... 42 N933; ........................................................... 46 V vi Chapter Three The Social History of Indigenous Peoples ........... 48 The Sociology of Race: Theories of Amalgamation .............. 48 The Civilization Process ...................................... 57 Npteg ......................................................... 65 Chapter Four Delimited Perspectives and Prospects: Research on Indigenous Populations .............................. 67 The National Pattern .......................................... 67 The International Pattern ..................................... 72 Organization of American States .......................... 72 International Labour Organisation ........................ 75 United Nations ........................................... 79 Ngteg ......................................................... 87 Chapter Five The Socio—Historical Contours of Law ................ 92 International Law ............................................. 92 Federal Indian Law ........................................... lOl The Indian Civil Rights Act ............................. ll6 Npteg ........................................................ l27 Chapter Six Adjudication of Civil Rights ........................ 133 Human and Civil Rights ....................................... l34 Civil Rights Litigation ................................. l38 ICRA Litigation .............................................. l42 Litigant Interests ...................................... l43 Boundaries and Agenda ................................... 155 Perceptions of Legitimate Authority, ..................... I65 Interests-at Risk ....................................... l83 I. Qggge v. Ngkai_ .................................. l89 2. Peoples Committees of Taos Pueblo v. Tribal Council of Taos Pueblo ................... I94 vii 3. Santa Clara v. Martinez ......................... l99 Npte§_ ........................................................ 204 Chapter Seven Summary and Conclusions...., ..... .. ..... .... ...... 209 Socio-Legal Impact: Supplementary Strategies ................. 213 m, ................... ..... I ............................. 220 Appendix I ........................................................ 221 A. Convention 107 ........................................... 221 8. Recommendation 104 ....................................... 231 C. Final Resolution ......................................... 238 D. Declaration of Principles for the Defense of the Indigenous Nations and PeOples of the Western Hemisphere ............................................... 242 E. Declaration of the Indigenous Peoples .................... 245 Appendix II Indian Civil Rights Act Cases, 1968-1978 ............ 250 References ........................................................ 257 LIST OF FIGURES Figure Page I Weber's Jurisprudence of Concepts ...... 29 2 Sociocultural Evolution ................ 61 3 Violations of International Law ....... lOl viii INTRODUCTION The following analysis is first and foremost an inquiry in contemporary institutional performance of both Native American tribes and federal government through their respective instrumentalities. An episode of federal Indian law, the 1968 Indian Civil Rights Act, becomes the focus of attention and its socio-legal impact in the tribal setting is proposed. The selection of civil rights as a subject of investigation is not fortuitous. In general, civil rights legislation is felt to be exempt from evaluation. This line of reasoning is predicated upon an assumption that civil rights evolve and are made explicit as a society is enlightened to the sanctity of its individual members, and that any standard evaluative criteria pale with respect to the assumed immutable character of these rights. Such a hands-off posture has unfortunate ramifications, not the least of which is the relative absence of attempts to scrutinize the impact of civil rights legislation. The present study, no matter how tentatively its proceeds, is not encumbered by the supposed sanctity of civil rights. Simply put, civil rights are mechanisms of sanctioned regulation. That they have come to be reified and held beyond reproach is the more reason to anchor their development to historical, concrete manipulation. Within the arena of federal Indian law, itself a complicated web of rights and relations spun from the clash of 1 European ethnic groups and indigenous populations, the imposition of federal civil rights legislation highlights their blatant regulatory function. Drawing principally from federal court cases which developed during the initial decade of adjudication of the 1968 Indian Civil Rights Act, the examination of institutional performance is designed to indicate, in part, the dimensions and terms of contemporary legal integration of indigenous peoples in the United States. The analysis is situated with ever-larger concentric spheres of interest and application: I) the nature of tribal sovereignty and jurisdiction in contemporary U. S. society; 2) the socio-legal incorporation of indigenous groups into modern dominant societies as well as their status in international law; 3) the relationship between "traditional" and "modern” systems of social order and control; and 4) the place of law -- its development and function -- within contemporary social structural and cultural formations. The present study proposes to illuminate a portion of a larger phenomenon, specifically, the dynamic structuring and restructuring of interests and their attendant ideologies and manifestations in the development and nurturing of systems of domination and control. These issues are subsumed within a macroscopic tradition in the sociology of law which speaks to the relationship of law and society. From the onset, two perplexing limitations of the research should be noted in order to temper the unintentioned rigidity or certainty of the analysis. Both are recurrent themes in the text. First, the use of "tribe" as a generic label for Indian communities is impotent, capturing neither the objective nor subjective diversity of Indian peoples. The designation, nonetheless, is in wide usage to suggest the distinctiveness of "tribe“ from an equally ambiguous entity, the American "mainstream." Despite the lack of empirical bases and the effort here to establish them, it is proposed that if indicators or characteristics of social, economic and political institutions are considered alone, there is more variability between Indian tribes in the territorial United States than exists between the modal tribal structure and the modal structure of the dominant society. A task of this study is to substantiate the significance of the variability among Indian tribes when federal law is universally imposed. A second caveat concerns the mode of inquiry. Whether case files of federal litigation, a primary source of data for a portion of the analysis, are even approximate representations of the substance of negotiating conflict, is a completely open question. This issue will be evident in the text, but until other avenues of inquiry are explored -- such as ethnographic strategies for assessing institutional performance —- a judgment of the fitness of methodological technique is premature. The present analysis is preliminary, and cannot draw from the security of conventional perspectives. The thesis purports to assess socio-legal impact, drawing from representations made in case files as to the nature of conflicting claims to justice, ppt_ does not turn on points of law (as is the conventional wisdom), but rather seeks to uncover the so-called tangential issues to give substance to fluid human interdependence and institutional animation. CHAPTER ONE THEMATIC PROSPECTUS: THE RANGE AND METHOD OF INQUIRY A powerful rationale for passage of the l968 Indian Civil Rights Act was the supposed absence of a full range of civil and human rights to individual Native Americans in tribal settings. It was alleged that these rights, the birthrights of U. S. citizens, had been selectively denied by tribal governments to tribal individuals. As the Indian Civil Rights Act is assessed, however, the stated purposes become largely subverted: despite a prescription to order conflicting claims to justice, disparate conceptualizations of "social good" and "social harmony" emerge as the fundamental bases of conflict. Further, as the tg§m§_of socio-legal integration become more explicit in litigation in federal courts, the Act assumes a regulatory character which is consistent with the body of federal Indian law. Research Themes An analysis of short and long term impacts of the Indian Civil Rights Act is attempted here to ferret out the dynamics of this legal development and its implications in the face of changing intranational racial and ethnic relations, the intersection of systems of social control, and evolving conceptions of sovereignty, jurisdiction, and civil and human rights. An understanding of the broad function of law in society entails a rigorous inquiry into the substance, generation, and exposition of a constellation of complementary, competing, and conflicting interests within an arena of human interdependence. The present study, confined to a much more limited scale, attempts to underscore the impact of these same substantive components of interests on intersecting systems of order and control which typify both the historical and contemporary relationship between indigenous Native American tribes and the dominant society. In order to situate the analysis of the Indian Civil Rights Act within such larger domain concerns, six research themes are pursued: l) the projection of interests in the legal system; 2) the salience of interests in the legal system; 3) the relation of interests and legitimate authority; 4) the relation of law to social order; 5) the relation of law to racial and ethnic inequality; and 6) the relation of civil rights to regulation. These themes structure the agenda of inquiry. Each is considered in turn below within a generalized statement of research findings. 1) The Projection of Interests in the Legal System A legal system, involving the complex of law making, law finding, sanction, and legitimation is not a neutral entity beyond the construction, control, and comprehension of social actors. It is precisely a product of human interaction, and embodies relations between socially-defined human aggregates on the basis of the historical development of material conditions. Interests, the implicit or explicit specifications of preference which are articulated in the anticipated or executed avenues of social action,l/ are diverse and variably salient within any particular legal system. The so-called structural inadequacies of a legal system are more correctly the projection of interests in a functioning legal system, a system adequate for some interests and less adequate for other interests. The motives of those who make or administer laws are but a single element of the range of interests which congeal at any one moment to constitute status quo. 2. The Salience of Interests in the Legal System Within a framework of relative stability and continuity, a legal system rests upon a subset of possible orderings of human conduct, and actively attempts to preclude the ascension of competing or incompatible prescriptions of social order. The naked adage "order gg_disorder" obscures a fundamental feature of the rule of law, namely, that some interests are dominant and other interests are less dominant. Further, to suggest that the status quo must prevail because inherent disorder is the only alternative is to ignore a particularly dynamic requisite of the rule of law: a subset of interests in a legal system are buoyed at the expense and exclusion of other interests. Baldly stated, the range of human conduct in pursuit of some interests is sanctioned and prescribed, while other types of human conduct in pursuit of other interests are proscribed. 3. The Relation of Interests and Legitimate Authority Definitions of legitimate and illegitimate forms of political authority are grounded in the concrete interests of particular social groups. The legitimacy of authority involves processes of legitimation whereby mechanisms for ensuring compliant behavior, for restricting the universe of possible human action (and its very definition) in order to prescribe human conduct and alternatives, and the like, are institutionalized to present a reasonable, natural, and functioning social environ. Other forms and manifestations of authority, in as much as their existence threatens the status quo, are deemed illegitimate. The distribution of power between competing authorities, as between competing interests, is determinant. 4. The Relation of Law to Social Order A penchant of the rule of law is the production of law in its broadest sense, including rules, regulations, rights, the administration of coercion and the particulate aspects of a legal system, including law makers and law finders (e.g., lawyers). Another penchant of the rule of law is the assumptive assertion that mprg_law creates petteg_order in society. However, the proliferation of laws and legal institutions is neither the necessary nor sufficient test that order prevails. On the contrary, the rule of law is symptomatic of prevalent disorder. Intensification of law making and law finding generally consolidates narrow interests, mitigates against or frustrates the salience of competing interests, creates or exacerbates cleavages, and the like. 8 5. The Relation of Law to Racial and Ethnic Inequality The presence of racial and ethnic inequality in a society which functions through a complex legal framework should not be dismissed as merely an aberrant social form, but rather understood as a manifestation of that system of law. The specific terms of incorporation into the mainstream of social, economic, political and cultural life are fashioned from prevalent definitions of social good, social harmony, and the prescribed and proscribed behaviors consistent with functioning status quo. Racial and ethnic minority peoples,* who define their interests beyond the parameters of sanctioned conduct and goals, are at once removed from the arena of effective determination and execution of their interests. HistoricaIly, the incorporation of racial and ethnic minorities in all aspects of the development of those other groups whose interests have been in relative ascendancy has been assured and facilitated in the legal system. The ensuing inequality is endemic to such a system. 6. The Relation of Civil Rights to Regulation The legislation of civil rights is delimited by the social system that generates discontent, struggle, and the eventual application of marginal change appropriate to dominant notions of social order and control: explicit and formalized statements of "rights" may actually curb previously enjoyed, though unformalized rights. Civil *who themselves represent a wide arc of interests, both compatible and conflicting 9 rights are not epiphenomenal to the regulation of human interdependence. In the larger view, civil rights are arbitrary to the extent they legislate the preferred boundaries of sanctioned human conduct. Methodology The task of the analysis is to critically dissect the configuration of interests related to the federal imposition of civil rights over tribal structures. The social fpgm_of these interests easily obscures social processes which make some interests more salient than other interests, despite nominal conferment of "rights" by interests in ascendency to competing interests in relative decline. To achieve an integrated statement of impact, the analysis is carefully woven through the research themes presented above. It is suggested in Chapter Two that efforts of social science to investigate the broad relationship of law and society are traditional concerns. With respect to such a tradition, research on law by scholars in the United States has been somewhat retarded: . .recent scholarship [of issues in law and social science] often seems stagnant, further documentation (or falsification) or a well- established (or generally discredited) hypothesis, one more entry in a sterile, and ultimately unresolved theoretical debate -- a by product of the demands of tenure-review committees rather than the expression of any real intellectual engagement. . . . . .we are both blessed and cursed with a proliferation of empirical research, the value of which is seriously impaired, if not lost altogether, because too little effort is expended on synthesis. . . (Abel, I980) TO The lack of synthetic consonance of this body of scholarship should not deter us here, however. A most basic endeavor of social scientists is to relate social phenomena within situational and institutional contexts uncovered through strategic methodologies molded from a selection of epistemological assumptions. The present study, a socio-legal impact analysis, is part and parcel of this tradition of inquiry. Socio-Legal Impact Impact assessments are as diverse as the range of human values which endorse a subset of outcomes as positive and others as negative. The rules for conducting impact analysis cannot avoid the tincture of preference, and the analysis here is no exception. From the onset it should be noted that "socio—legal impact" is a misnomer if it is construed as balanced assessment of the legpl_ramifications of the Indian Civil Rights Act and the §p§ipl_outcomes of enactment and adjudication. While divisions as artificial as "social" and "legal" are counterproductive from the macroscopic position advocated in Chapter Two, there remain relatively distinct methodological strategies which are better suited to various subsystems of social life. In this respect, the analysis is decidely skewed to a "legal" framework and its attendant epistemological and methodological character. A gpgigl_impact assessment (in the narrow construction of the tenm) would entail more diverse and creative mechanisms of analysis in addition to, for example, a review of case law. None of the above is to suggest, however, that "legal impact” is either an ll obvious or cogent concept. Often construed within economic approaches to law, legal impact analysis is generally not a social science of legislation. In very general terms, the economic approach to law proposes models (fashioned around a market paradigm) designed for predictive capacities, based upon quantifiable data and empirical analysis. The socio-legal impact analysis of the Indian Civil Rights Act is largely descriptive, and utilizes a broadly institutionalist perspective derivative of early analytical jurisprudence (Terry, 1884; Hohfeld, 1913, 1917), and the institutional economics of John Commons (I924, l934), and more recent formulations such as Schmid (l972, l978) and Samuels and Schmid (l98l). The perspective is decidely historical and does not labor within a restricted sphere of facts (such as only those which are monetary, or immediately amenable to quantification, or direct). While the institutional approach shall receive further elaboration in Chapter Two, its intent is characterized as follows: an effort to understand specific legal/institutional phenomena through transactional, micro-level analysis of the component aspects -- their genesis and evolution -- of institutional development. As noted above, an institutional approach, and apy_framework, projects both purpose and rationale. Nonet (l966), with specific reference to a complimentary perspective, jurisprudential sociology, indicates an optimal trajectory against which the present study shall be measured (see Chapter Seven): . .a social science of law that speaks to the problems, and is informed by the ideas of jurisprudence. . .a sociology that recognizes that continuities of analytical, descriptive and evaluative theory. . . which should contribute to formulating principles of institutional design, and guides for the diagnosis of institutional troubles. 12 Case Analysis The core of data for the socio-legal impact analysis is legal doctrine, formulated and given expression in judicial opinions. It is assumed that the legal system (as a conduit to either resolve and accommodate conflict, or to engender and exacerbate conflict), through litigated controversy (case law), can reveal the ordering of human interdependencies, and further, the emergent configuration of interests and impacts. The institutional performance of the Indian Civil Rights Act will be guaged through case analysis of federal court case files for the period 1968-1978. The notion of "case analysis" requires clarification. All of social science can be said to be comparative case analysis, in that our knowledge of any facet of the social system is derivate of what we portend to know of other facets of the system or structure. While it is unlikely or unmanageable that all manifestations of a phenomenon can be exhaustively studied, we attempt to extrapolate from one observation to another, and build a knowledge base accordingly. Hence, a set of circumstances that constitute a problem focus, in as much as they are felt to correspond or represent like elements in a comparable situation (within an acceptable degree of variance) are said to be a gpse,g! The concept of "case“ within legal study is much more narrow, referring to the aggregation of facts upon which the court exercises jurisdiction and arbitrates disputes. The "case" may describe the collection of facts (case file), or the strategic presentation of facts according to the corpus of jurisprudence (case law). The social scientific and legal usages of case may be combined, such as they are when the present study is characterized as a "case within a case:" I3 l) it is a case study of socio-legal integration of indigenous peoples (the case refers to Native American tribes as a subset of indigenous peoples); 2) it is a case study of federal Indian Law (the case refers to the Indian Civil Rights Act as only one episode of federal Indian law from among many others that could demonstrate the terms of socio-legal integration); and i/ 3) it utilizes a case system (a case system refers to a method of studying the law through analysis of the body of jurisprudence, or judicial precedents based upon litigated controversy, or court cases). Within social science, a tradition of seminal research so construed is emerging, including Llewellyn and Hoebels' (l94l) exposition of the legal culture of the Great Plains Cheyenne, Hoebel's (l954) comparative analysis of primitive law in five societies, Gluckman‘s (I955, I965) analysis of judicial process and jurisprudence among the Borotse of Northern Rhodesia, and Bohannan's (I957) treatise on adjudication in Tivland in Northern Nigeria. Recent work of this genre is appearing more frequently in specialized journals such as Law and Society Review, British Journal of Law and Society, International Journal for the Sociology of Law, Journal of Legal Pluralism, and the like. With respect to its legal usage, the case system or case approach has recognized merit in the breadth of subject matter that cases yield. In addition, the manageable and consistent format of case files are positive inducements to their use. The limitations of case analysis are less often proposed. Any "statement of facts" must be interpreted to mean facts that adhere to a set of legal questions that "make the case." Regardless of whether principle litigants stipuate to "facts," a goodly portion of the social terrain can be obscured in narrowly constructed statements of fact situations assembled around l4 procedural, jurisdictional, etc. issues. Cases as "facts" are products of specific interests, not the least of which are those of lawyers and judges (cf. Medcalf, l978). In other words, a shortcoming of analysis that depends largely on legal case files is that too much time is spent in courtrooms (figuratively), and too little time with litigants. These environs, it is suggested, are separate and their interface is contrived. A further constriction in the sphere of applicability of case files is that they are not representative of the majority of Native peoples in the United States who are denied federal recognition (i.e., they are not enrolled members of federally recognized tribes). The Indian Civil Rights Act applies only to federally recognized tribes, or to those contested matters involving the alleged jurisdiction of such tribes. The case analysis proceeds, encumbered by these and other limitations. A Note on Data In addition to the relatively micro case analysis (a component of a transactional, institutional approach -- see Chapter Six) a macro socio-historical context is proposed through historical documentary analysis in several areas. Action and research on behalf of indigenous populations by selected U.S. government agencies, and sponsored activities of the Organization of American States, the International Labour Organisation, and the United Nations is reviewed. An overview of tribal sovereignty and jurisdiction, including precedents in international law and the historical development of federal incursion into tribal affairs, is presented. Finally, the legislative history and enactment of the Indian Civil Rights Act is charted. 15 The study draws from several different types of data whose quality is uneven. The case data is unusual, in the sense that most case file; (consisting of briefs, memoranda, motions, judgments, opinions, and the like) have been assembled in a central location at the National Indian Law Library of the Native American Rights Fund in Boulder, Colorado. Review of ICC federal court case files, some 700 items and 7300 pages representing litigation from eighteen states and involving forty-five tribes over a ten year period, would be unmanageable except for the existing depository. Some case files are not as complete as others, either because proceedings are continuing, or because items (briefS.etc.) are not included in the case file. While there exists the possibility of overlooking shielded or minor legal points of significance to the study because of incomplete case files, in most instances missing materials can be reconstructed from existing items of the file. Two general limitations of the case files are obvious. First, there is only minimal transcript material of court proceedings. What transcripts were available are attached to file items as appendices. These bits and pieces provide very little insight to court proceedings. Second, it may well be that most disputes involving the Indian Civil ' Rights Act are settled in tribal courts. Federal court cases are used in this study, as there does not exist a depository for tribal court case files. As a sanctioned ordering of rights, a reasonable hypothesis is that the Indian Civil Rights Act has impact in tribal courts where litigants measure their odds -- and contest within these parameters -- against their perceptions of the Act's sanction in the federal courts. Beyond the courts entirely, the Act may have an impact on human l6 conduct where persons -- not litigants -- solve or avoid conflicts on the basis of these same perceptions. It would be difficult to maintain that it is only the sanction of the Indian Civil Rights Act (manifest in judicial decisions) which induces compliant conduct. The license given to federal courts, regardless of the accuracy of the perceived "license" (i.e., federal courts awarded themselves the license -- see Chapter Five), to intervene in tribal affairs may also regulate conduct. Such issues speak to the complexity of legal assessment generally, and specific limitations of utilizing federal court case files exclusively. Documents produced by the sponsored activities of major international organs vary considerably. Materials of the Organization of American States and the International Labour Organisation are accessible, and though often lacking in substantive quality, they accurately reflect international efforts on behalf of indigneous peoples of their time. United Nations materials are far more problematic, particularly regarding the current "Study of the Problem of Discrimination Against Indigenous Peoples" reviewed in Chapter Four. Difficulties related to access to the data and debilitating deficiencies in information flow in some areas of United Nations research are chronic I and a sizeable obstruction to research and dissemination. In general, however, most data have proved adequate to their intended utilization in the analysis. In many instances, these are not merely sets of representative data, but rather exhaust available information in specific areas. l7 Notes I. This represents only a subset of interests. Implicit and explicit specifications of preference may never be acted upon, may be revented from realization in a course of human action (through coerc1on, etc.), or may be misrepresented as a preference (e.g., false consciousness). Obviously, social action may also embody a second-best preference in the case where one's first preference is subverted, for whatever reason. 2. Other senses of ''case" are applicable to social scientific inquiry. For example, the act of "casing" is suggestive of a type of ethnomethodology which Douglas (I976) chooses to call investigative social research. The case approach of social and cultural anthropology is fundamental to the discipline, and has since Boas commanded center stage in the ongoing epistemological and methodological controversies regarding its conceptualization and operationalization (relativism versus relationism/comparison; emic and etic approaches, etc.). 3. The case system was begun at Harvard in l868-7O by Christopher C. Langdell as a method of studying the law. It is the most widely used method in legal education in the United States. CHAPTER TWO THE CONCOMITANTS OF IMPOSED LAW The intent of this chapter is to propose the substantive framework from which a performance assessment of the Indian Civil Rights Act can be cast. The discussion is developed in three areas. First, a portion of the intellectual heritage of macro considerations of law and societyl/ is reviewed in the works of Marx and Engels, and Weber. It is suggested that their selective integration is both feasible and requisite in terms of addressing the scope and breadth of legal issues which are too often sidestepped in the U. S. variant of the sociology of law. Second, an institutional perspective is outlined, drawing from Commons and Schmid. While decidely micro and transactional, this approach is rooted to macro concerns, and owes a particular debt to the earlier work of Weber. Third, a type of law, imposed law, is distilled from the previous discussions, largely on the basis of loci of power and legitimation. The character of imposed law, its development and impact, is the underlying theme of the ensuing chapters. Macroscopic Perspectives on Law and Society Commenting on the micro-level analyses so prevalent in the American sociology of law, Gibbs (I966) bemoans the deflection from 18 l9 a "grand tradition "in the study of law and society, a tradition which was more attendant to law as a constituent whole than as fractional elements divorced from their rootedness to social order. A partial clue to Gibb's dilemma is contained within disparate conceptualizations of the sociological domain. As Rheinstein(l954) notes, European sociology has defined as its proper realm of inquiry "what there is in comnon in all those social activities which constitute the subject-matter of the specialized sciences, and how they influence and interact upon each other, in our society as well as in societies of other cultures, past and present, developed or primitive." American sociology, caught up with intellectual and professional boundary maintenance issues, studies the terrain of social life which is not preempted by other social sciences and is hence limited in attaining a panoramic view of social relationships. Though glib, these characterizations of discrepant purview are not easily reconciled, and the impact of disciplinary parochialism is evident in the American study of law and society during the past thirty years. The preponderance of this research has been limited to a narrow range of issues -- courts, juries, legal profession, etc.g/ -- while needed synthesis of these manifestations of law, as well as the larger questions of the relationship of law and political economy and the like have gone begging. Of the few macroscopic considerations of law and society, Max Weber's Wirschaft und Gesellschaft (Chapter VIII)remains a basic text in the sociology of law. Weber's examination of the law is fully subsumed within his broad inquiry of the social bases of modern capitalist society. Contemporaries (e.g., Dilthey, Troeltsch) and predecessors -- 20 in particular, Marx and Engels -- were similarly engaged. Gerth and Mills (I946), Zeitin (l968), Giddens (I974) and Balbus (I977) have all presented reasoned arguments that lessen the popular "distance" between Marx/Engels and Weber and constructively suggest phantom dialogues. There are obvious disparities in thought that mitigate the concert of Marx/Engels and Weber. For example, Weber attributes the development and movement of the law in contemporary society to an evolution of capitalist spirit: Marx/Engels tie law to the material conditions which require it. However, both Marx/Engels and Weber isolate power as the causal variable which affects environment and socio-economic conditions from which law results. On this basis, these theorists and their “schools" of thought make valuable contributions to an understanding of law. A brief sketch of their perceptions of law establishes the bases of their division, but more importantly, the substance of their compatability. Marx and Engels on Law One should pause to consider, before attempting to expound a Marxist theory of law, that neither Marx nor Engels were very neat or concise with legal issues in the body of their work. The particulate elements of such a theory of law must be assembled from many diverse sources. An impatience has prevailed among intellectuals, however, for what is commonly represented as a Marxist theory of law in over- whelmingly reductionist: the Marxist position is said to only speak to law as coercion, to only advance an economic theory of law, and to be essentially ut0pian i.e., law will wither with the state. There 2l have been exceptional attempts to avoid such reductionism, such as Pashukanis (l978), Renneré/(l948), and Gramsci (I971, I977) and the more recent work of AIthusser (e.g., l97l), and Poulantzas (e.g., I975). 3/ Drawing from primary sources, some elements of Marx and Engels' considerations of law are proposed, less to obviate the reductionism than to sample from their range of analysis. Marx and Engels focused on the relations between law and the institutions of society which law maintained. Their attention to law was primarily to uncover its class character and to situate the law within class struggle engendered by relations of production under capitalism. The origins of the state lie with the emergence of private property, the increasing division of labor, and the subsequent division of the collectivity into classes where functions (e.g., the administration of justice) are exercised by a minority of individuals. Law derives from the origins of the state: The material life of individuals, which by no means depends merely on their "will,“ their mode of production and form of intercourse, which mutually determine each other —- this is the real basis of the state and remains so at all the stages at which division of labour and private property are still necessary, quite independently of the will of individuals. These actual relations are in no way created by the state power; on the contrary they are the power creating it. The individuals who rule in these conditions -- leaving aside the fact that their power must assume the form of the state -- have to give their will, which is determined by these definite conditions, a universal expression as the will of the state . . . The expression of this will, which is detegyined by their common interests, is the law . . . Despite the size of a society and its functions (e.g., feudalism, capitalism) the role of the state remains the same, namely, to maintain the domination of one class over other classes. 22 The state present itself to us as the first ideological power over man. Society creates for itself an organ for the safeguard of its common interests against internal and external attacks. This organ is the state power. Hardly come into being, this organ makes itself independent vis-a-vis society; and, indeed, the more so, the more it becomes the organ of a particular class, the more ig directly enforces the supremacy of that class._/ The state, then, refers to the organization of authority in a class society: law is the will of this authority -- not free will -- defined by the material conditions condusive for the maintenance of class privilege. Law consists of rules of conduct, affirmed by the coercive powers of the state authority, which define and secure the ordering of property rights and relations to ensure the class configuration of society. Justice is reduced to statute law and derives from the common interests and will of a ruling class. For Engels and Marx, law does not determine relationships, but rather emerges from economic relationships based upon private property. As the factors of production become private property (which'does not happen a§_private property emerges, only when it reaches certain proportions) the conflict between "have" and "have nots" becomes apparent: law governing private property ensures the protection of ownership and ostensibily protection of class relationships. While production relationships are formed independently of the human will (discounting the will to survive) law is consciously formed to direct and solidify a valued ordering and flow of interdependencies. As such, law is an ideological form: 23 The individuals composing the ruling class possess among other things consciousness, and therefore think. Insofar, therefore, as they rule as a class and determine the extent and compass of an historical epoch, it is self-evident that they do this in its whole range, hence among other things rule also as thinkers, as producers of ideas, and regulate the production and distribution of the ideas of their age: thus their ideas are the ruling ideas of the epoch. For instance, in an age and in a country where royal power, aristocracy and bourgeoisie are contending for domination and there, therefore domination is shared, the doctrine of the separation of powers proves to be the dominant idea and is expressed as an "eternal law." The superstructure of society (including law) determined by material conditions, the system of production and exchange (which control the flow of interdependencies) and resulting social relations, react upon the economic order which in turn confirms and develops the economic system further: In the social production of their life, men enter into definite relations that are indispensable and independent of their will, relations of production which correspond to a definite stage of development of their material productive forces. The sum total of these relations of production constitutes the economic and structure of society, the real foundations, on which rises a legal and political super-structure and to which cgrrespond definite forms of social consciousness._/ In addition to law, moral norms and custom have an impact on human conduct. Moral norms are not, as is the case with legal norms, enforced by the state though they are a critical part of human relationships. The force of moral norms rests with the opinion of the social class, rooted to material conditions. While moral 24 norms can deviate from dominant morality, legal norms assume a "universal valuez" With further social development, law develops into a more or less comprehensive legal system. The more intricate this legal system becomes, the more is its mode of expression removed from that in which the usual economic conditions of the life of society are expressed. It appears as an independent element which derives the justification for its existence and the substantiation of its further development not from the economic 9/ relations but from its own inner foundations . . :- As is true of moral norms, custom is not guaranteed by the coercive force of the state though it differs from morality in that it does not appraise good or bad conduct, but only asserts tradition. Custom predates legal norms and has historically played into different interests: resisting law, becoming law, or flowing from law.lg/ Marx and Engels rejected the notion that law could be understood by itself, as purely autonomous, or through an evolution of "spirit:" "It is above all this appearance of an independent history of state constitutions, of systems of law, of ideological conceptions in every separate domain, which dazzles most people."ll/ Law had to be analyzed in terms of the material conditions which required it. It is the economic base of society, expressing both the development of material productive forces and the social relations of production which causes law to appear. Fundamental change in the economic base would also require a fundamental change in legal norms: But what do you understand by maintaining the legal basis? To maintain laws belonging to a bygone era and framed by representatives of vanished or vanishing social interests, who 25 consequently give the force of law only to these interests, which run counter to the public needs. Society is not founded upon the law; this is a legal fiction. On the contrary, the law must be founded upon society, it must express the common interests and needs of society -- as distinct from the caprice of the individuals -- which arise from the materieI mode of production prevailing at a given time.__/ The common interests and needs of bourgeois society prevailed, and law became a tool used to exploit labor, both directly and indirectly. Workers, due to their dispersement and division into different types of work, are slow to realize their common interests and are therefore slow to become ppg_class. They see their interests and their employer's interests intertwined, and hence when the interests of employers conflict, the interests of their workers conflict. A social system which rejects such intra- and inter-class conflict, and opts for a return to cooperative living (non-exploitive relations) would in turn cause the state to "wither away:" The first act by virtue of which the state really constitutes itself the representatives of the whole of society -- the taking possession of the means of production in the name of society -- this is, at the same time, its last independent act as a state. State interference in social relations becomes, in one domain after another, superfluous, and then withers away of itself; the government of persons is replaced by the administration of things, and by the conduct of processes of production. The state is not "abolished." It withers away.l§/ As the state apparatus is slowly dismantled (during the revolutionary dictatorship fo the proletariat) and the bases of bourgeois society dissolve as class distinctions dissolve, law -- whose function is 26 protection of an inequitable ordering of property relations -- will in its turn become obsolete. Adoctrinaire interpretation of Marx and Engels' discussion of law, focusing as it might upon the eradication of class relationships and their appropriate superstructure -- including law -- does little to encourage sustained and systematic study of law in modern society. Critics who dwell on such interpretations, however, are oblivious to attempts to incorporate a Marxist framework, ranging from Renner (I949) to Tigar and Levy (I977). The complexion of substantive foci subsumed under a Marxist analysis of law and society is variable (Tushnet, I977, speaks most directly to this point). Contra Schur (l968) and others who insist that a Marxist analysis of contemporary law is fruitless, these and other works detail the parameters and agenda of a Marxist trajectory in the study of law and society. However, it should be noted that the revival of interest in Marxist analysis of law underscores yet another deficiency in resulting analyses. Those who acknowledge the limitations of parochialism or orthodoxy in Marxist analysis, and go on to embark on varied and innovative approaches to the study of law, have nonetheless largely failed to come to terms with the sociology of law. The costs of such an "oversight" seem at once obvious and conspicuous.l§/ The work of Weber, as noted above, remains a basic foundation of the sociological school, and is largely amenable to Marxist analysis for the purposes of the present study. Weber on Law Weber's focus on law,l§/ specifically the features of law which were factors in the development of modern capitalism, expands several 27 dimensions beyond Marx and Engels' formulation. While Marx and Engels treat law as a device to legitimate and solidify class relations withina "monocausal" conception of history, Weber extends his analysis to include other social institutions whose proportional influence on the law of capitalist society he considers significant. As the following passage suggests, Weber seeks to shift the emphasis on the linkage between law, economic activity, and revolution so crucial to Marx/Engels: Under certain conditions a "legal order" can remain unchanged while economic relations are undergoing a radical transformation. In theory, a socialist system of production could be brought about without the change of even a single paragraph of our laws, simply by the gradual, free contractual acquisition of all the means of production by the political authority. This example is extreme; but, for the purpose of theoretical speculation, extreme examples are most usefil. Should such a situation ever come about -- which is most unlikely, though theoretically not unthinkable -— the legal order would stillibe bound to apply its coercive machinery in case its aid were invoked for the enforcement of those obligations which are characteristic of a productive system based on private property. Only, this case would never occur in fact. (emphasis added). 35-36 Weber's theoretical argument, though consistent with his ideas on legal rational change, is a labored effort to engage the so-called Marxian presumption that it is only law and the §tgtg_that are inextricably intertwined in capitalist society. A salient feature of Weber's treatise on law for the present study is the specification of interests -- including but not limited to political authority -- which have bearing on social order. The 28 character of these interests -- a constellation of interests -- their genesis and interface (conflict and accommodation) underscore many crucial features of Weber‘s understanding of the rise of modern capitalism. For Weber, social relations imply conduct oriented between persons -- regardless of the affectivity of such relations (e.g., struggle) -- which can either take place through force of habit (custom) or in the pursuit of interests (aim-rationality). When social actors contemplate conduct because of obligation or interests, and social relationships assume regularity, an p§de5_of conduct exists. The legitimacy of such an order can be guaranteed internally (emotions, values, religion) or externally, through an expectation of disapproval (convention) or the probability of physical/phsychological coercion (law) should conduct violate the order. Hence belief in legality, self interest or tradition (usage) ascribe validity to a social order. [See Figure l for summarization of types of legal thought, and their "evolution" to uniquely Western "jurisprudence of concepts."] The order of law derives empirical validity through its guarantees, ranging from unreflective habituation (approximately, custom) to the probability of approval/disapproval, to the lack of presence of psychological/physical coercion. Individual interests are affected by the empirical validity of legal norms: opportunities, present and future, can be created or denied, protected or exposed (chance) through state or extra-state guarantees. State guarantees may not be superior to all others and may conflict with extra-state guarantees. The coercive apparatus of extra-state guarantees can be formidable: churches, corporate groups, clubs, etc. can formulate 253 .maea..uaa ...=as new 2.. co ”was“ Lo .u... we. a. acucaaao ago «Ea—aoLa La_.s.m .Axp-.._>— .c.~um=_o;¢v s»v_a._auo ho om.L use ac.cau ace:.sov do» no: we: soumxm .moo- Lo we». n.3a aces: -. wee—mcu ..u.o -- «oucaumc_ ou auc.oa upoms_: Lona: gazes“ .Au._o=ovaac peace. A—pau_mop a» moan—«L an Hma Asm._au.aau ccovoe. ~c~.acu .6 3:23:63 2:. 5238.59 2: 3 2,322.8 2.3... as“ use a¢_oca cu ao~=o.go guaccou .paco.uac amoacaa on yo: can: to. be aoQJAm .eco_uac .aacoe a—pau_oop < .u_no:.sgo. oco .co>oxo; .uovucuau.m:ou=. .ou.ao_ a“. .u>oaa mzocga cmxocn as» an vouau.v=. m. acagu 36.. o—a.mmoa < A.._>. .:.oumcwoz¢. ..uu=c:cu u_socouu .o no.5oaeuou use ca .o—.~Loa mac—p agape uo>.uu=oo x—m:c_sao ace “gazes“ .ooo- Lo uoficoaouau esp: ”o=.v:.. za— ago o:_x~3 3a— .6 moaxu ca uuzucou .a.uom :. movau.uuo paucoe x=.— cu co.uouaeou acocum o a. «Leap. ou_egu .eco_uoc x; vac—scouoc a. new omoacaa _au_uoaca o9 voyeu.co u— auavcou "—oco.ua¢ amazes; moueozcomcou .au.uuaga be co..acoe.mcou aaozu.z Loaoca an antenna; .Ioumau o:_~> - on souco.co a. guaccou "—~:o_ua¢ «mam» I acowuoao ch unc.—oou no euc.ncou~v “pacovuoau govaasu.aog o>—»uu_~uccaxoaom: "9.»m.—aco*u_uucp cuuavcou —o_uom :— movauvua< —eu:a: Am~a_v abezum_pemo¢ vs: “yogum 5.3 .Lan: net so. .0 no.3; use no =o_uoo.—aa¢ Lo co.un—o.» .3532... .55.... a. «26:3 :33 c. Agusm «a voyage“ u_ go. nu—ac he soars“ cum—asou .uoc.a»:ou a a. zap o>.u_woa .u =o_u.uoa as“ mu_~_» 9.90. Ag mco.ua:..n goo. caucuzou cu eo.paa~ 9L. 3-— Lo no.3; “assumes .- xod uo soumxw .occ.ua¢ pascou h~pmmflaoa a Lo moan—:umoa ._oma_ 3a. ogu ho muauucou auscumna Co um: and lace xo_—o~ «co—mapucou -- uaaoucou be oucovacnm_caw "—oELou xppou.mod .~ Aacoucou mamco>v Eco. cog: comma aco.m:_ucou -- m=o_uoumo_.coa u_m=.cuxo L.oga socu mucou.».=o.u race ma_:mco.u~—oc poou— "peace; a—pau_m:_cuxu .— Au_mon omou ou ammo a co one. voc.scouov Ap—ou.cocuo \ llme oco gu.g3 «gun. o>_uacoao so». erase u=c_u:~ucou .Au.—oco_uo¢ —aEch .o xu'_og cured co .uu.zuo .co.o.—uc no goam .. 3a. .6 o>¢m:—uxo .. loamAm _au.ao—oov. en en \_11WWv no.3.uc—La pacocoo «ca can: come: u:o_u:—ucou “mu.—a=o.uo¢ o>.ucouna:m .< Aaeoum.ncou. mo_=c pocueon an vue.:a use nee—napocou “—acc.»o¢ .__ mango —o:u_>.o:_ cu eo.uuooL .oco.ucso 11 \ Ilmwv go some: .mco.m:_ucou scaca.aua "Nww~oco.uacs_ o>.ucouma:m .n .mco_ao—o>os .uo—uaco. \ Ilmwv cameos cacao; memos an voc.:a ago.»:—ucou "au.—o:o.aocc_ passe; .< “Acauu—v-La:0u can acoun.mcouc.. mo—as .acocoa so toe_=u co: «La aco.u:—ucou "paco_uacc_ .— .uw.vc_u sea use acmmmr so; 50 mommy muaoucou mo oucouasan.cae u.coao: _ 95...: 30 "law" which is not limited to norms enforced by the state. Hence " 'legal order' shall rather be said to exist whenever coercive means, of a physical or psychological kind, are available; i.e., wherever they are at the disposal of one or more persons who hold themselves ready to use them for this purpose in the case of certain events . . ." (l7) While coercion by physical violence is the monopoly of the state, no such monopoly lies with the state for non-physical coercion. Coercive intervention can represent a concert or conflict of interests, including the state, the state reinforced by pressure groups (corporate groups, kin groups, etc.), the state limited by pressure groups, or pressure groups limited by the state. The outcome of the struggle over means of coercion is variable. Human conduct ranges from habitual (usage) to consensual (convention) to obligation (law), with transitions from one stage to another unclear. That human conduct comes in time to represent "ought" behavior implies that innovation -- whether externally or internally induced -- is inhibiting. Where an innovation arises from "inspiration" (and the inspiration is shared) consensus and law will likely result. Law, as has been noted, is one orientation for consensual action; it is not, however, the only orientation. A "collective order" (e.g., communal action) describes the regularities of conduct which may be oriented to law, or what may instead reflect compatible self interests which, though lacking legal guarantees, are essential to collective action and consensus. Recurrence of conduct, in that it assumes an ought character in a social group, becomes a powerful influence over social conduct, whether it is unreflective habituation or conscious choice and whether its violation is disapproval or the probability of coercion. 3l The fact that "norms" may guide interaction because of anticipated adherence to their "ought" character does not negate the impact of guarantees of the "ought" behavior (wide consensus or probability of coercion). These conventional guarantees are prevalent in the economy, where economic exchange is often regulated by the probability of legal coercion ("the interference of legal guarantees merely increases the degree of certainty with which an economically relevant action can be calculated in advance") though not exclusively. Many conflicts of interests -- whose permutations are infinite -- cannot possibly be covered by "the law" and hence a rational legal order (this also applies to convention) in this case is not guaranteed by legal coercion, but will respond to perceived self interests. The regulation of behavior by coercive means is not a prerequisite for rational social order: "While the orientation of communal action to a norm is constitutive of consociation in any and every case, the coercive apparatus does not have this function with regard to the totality of all stable and institutionally organized corporate action." (33) Law guarantees broad interests (such as authority - church, family, state) which are not economic in and of themselves, though material interests "are among the strongest factors influencing the creation of law." Legal coercion in the economic sphere is limited to the capacities of individuals in the market (the market assumes a life of its own as individuals become increasingly interdependent) and to the relative strengths of interests promoting law and interests in the economy: "the inclination to forego economic opportunity in order to act legally is obviously slight . . ." Disparate class interests, breakdown of tradition and sacred usages, disintegration of 32 alternative associations to guarantee the legal order, etc. have meant the development of a legal order for the economic system guaranteed by the state. The universal predominance of the market consociation requires on the one hand a legal system and the functioning of which is calculable in accordance with rational rules. On the other hand, the constant expansion of the market consociation has favored the monopolization and regulation of all 'legitimate' coercive power by ppe_universal coercive institution through the disintegration of all particular status-determined and other coercive structures, which have been resting mainly on economic monopolies. (40) That a host of factors temper and influence law is clear. Economic factors are but a subset of these: the rational approach (i.e., legal) to complex claims in the market, for instance, has lead to legal sophistication and increasing reliance on political authority to contend with competing interests. These developments have in turn affected economic organization. Law serves the interests,especially the economic interests, of organizations fused into the "state." The power to control a person or thing is durable and predictable if the power is guaranteed by law. A right is a source of power (to prescribe or prohibit). Privileges are guaranteed expectations, such as freedom from inter- ference (e.g., from the state) and freedom to regulate interdependencies (e.g., contract). While in an economy lacking market exchange law governs noneconomic relations and privileges -- based on status, origin and education -- economic privileges (such as regulating exchange by contract) have been expanded as the marked expands. 33 The modern market is typified by complex orderings of legal transactions based on exchange. Interests, particularly market interests, influence this ordering of guarantees. The predominance of contractual freedom generally in evidence today has not always existed. However, "the most essential feature of modern substantive law, especially private law, is the greatly increased significance of legal transactions, particularly contracts, as a source of claims guaranteed by legal coercion." (lOl) The legal foundations of the rights and obligations of individuals or the "public" (e.g., the state) lie with "contracts," though the tenor of contracts has changed from predominantly voluntary (status contracts) -- even as a device of economic acquisition -- to a reflex of the market (purposive contracts). This transformation ranges from primitive contracts (acts of magical significance with magical guaranty) to barter, to obligation, to actionable contractual claims. Contractual freedoms are limited by the lack of legal institutions (to lend legal recognition to a contract), sacred, ethical or political interests (as in freedom of sexual conduct or in freedom of voluntary submission to slavery) as well as the social and economic interest of the powerful classes (e.g., bourgeoisie). The monopolization of law by the modern political organization facilitates, through special law, the extension of effects of a contract beyond its immediately interested parties. This modern development occurred with expansion of the market economy and consolidation/bureaucratization of the activities of consensual communities. As a result, “the general transformation and mediatization of the legally autonomous organizations of the age of personal laws into the state's monopoly of law creation 34 found its expression in the change of the forms in which such organizations were legally treated as the bearers of rights." (l54) The modern legal development of contractual association and freedom of contract is assumed to decrease constraint and increase freedom of individuals. However, such a contention is limited with respect to the legally guaranteed distribution of power and goods: specific interests -- those who enjoy relative power in the market -- can effectively utilize contractual freedom to increase their power over others. Particular constellations of law variably affect interests in the market: some are powerless to avoid the consequences of those whose interests are enhanced. While mandatory and prohibitory norms may decrease with the growing "freedom" of contract, the established property distribution impacts the genre of "coercion." Hence, "in an order of private economy . . . coercion is exercised to a considerable extent by the private owners of the means of production and acquisition, to whom the law guarantees their property and whose power can thus manifest itself in the competitive struggle of the market." (l89) The salience of this form of coercion, despite its lack of overt authoritarian forms (couched within "free" contract), is guaranteed in the "laws" of the market place which are guaranteed by prospects of decrease or loss of economic power and viability in the market. "A legal order which contains ever so few mandatory and prohibitory norms and even so many "freedoms" and "empowerments" can nonetheless in its practical effects facilitate a quantitative and qualitative increase not only of coercion in general but quite specifically of authoritarian coercion." (l9l) 35 As the use of administrative "officials" to exercise power became more pervasive (i.e., the more rational authority became) the more rational both the form and content of law became. This increasing rationality of law corresponded to the increasing rationality of administration, which in turn was prodded by the relative advantage which this rationality afforded particular interest groups. Judicial formalism guarantees to interests predictable legal consequences for actions and delineates "rules of the game" which (I) mitigate "freedom" because inequitable distributions of economic power are legalized, (2) are adverse to the interests of authoritarian powers because the individual is less dependent upon the "grace" and power of authorities, and (3) undermine democracy as they effectively reduce the impact of the citizenry on legal practice. Formal justice is well suited to political and economic interest groups who value stability and predictability in the legal system. The abstract (versus substantive) nature of formal justice is the "decisive merit . . . to those who wield the economic power at any given time and who are therefore interested in its unhampered operation, and also to those who on ideological grounds attempt to break down authoritarian control or to restrain irrational mass emotions for the purpose of opening up I individual opportunities and liberating capacities." (229) It is likely that any attempt to eclectically amalgamate Marxian and Weberian views on law and society will run the risk of diminishing the energy of specific strengths of each perspective. Fundamental discrepancies are evident, but should not completely overshadow bases of similarities. For instance, despite the breadth of his treatise, Weber considers all interests -- exgept_for the state's -- to be functionally equivalent. Weber does not expound on the autonomy of 36 law, which would follow logically from complete functional equivalence of interests. Instead he emerges, as Marx before him, tying law to those who manipulate environment and socio-economic conditions in order to engender inequalities in power (from which law and the tenor of law results). Marx and Weber remain strange bedfellows, however, for their definitions of state, state function, and state interests remain disparate. Their conceptualizations of modern capitalism are discordant. Marx, who methodically points to the subversion of rational and beneficial technological advances within an environment dominated by competition, profit and private property, underscores the irrationality of a system characterized by class struggle. Weber, on the other hand, insists that modern bureaucracy, as expressed in modern capitalism, is the embodiment of efficiency and calculation, and hence, rationality. 'While Marx focuses on the crisis proportions of class conflict which will ultimately transform the very nature of society, Weber eyes conflict as simply one problem in the bureaucratic management of the state: the accommodation of conflicting interests is a penchant of rational bureaucracy. Such discrepancies are immeasureably amplified as we consider fundamental issues in the relationship of law to the social system it regulates. 8y relegating law to bureaucratic administration, Weber obscures the place of law within the social change engendered by conflicting interests. It is within this tradition of macroscopic perspectives on law and society, of which Marx/Engels and Weber are but representative,l§/ that the substantive agenda of an institutional perspective emerges. Despite seemingly divergent Marxian and Weberian perspectives on the character of law, the immediate task is to fashion a reasonably 37 eclectic framework from which to proceed with an analysis of imposed law. Some elementary themes of an institutional perspective are suggested, which when combined with elements of the foregoing discussion, will suggest a framework for performance analysis of imposed law. An Institutional Approach What shall be characterized as an institutional perspective is derivative of institutional economics, particularly the recent contribution of Schmid (l978). Discourse on the intersection of law and economics, a recurrent theme of institutional economics, is exemplified in the work of Henry Carter Adams (I896) on the role of jurisprudence in industrial administration, Richard T. Ely (l9l4) on the distributive consequence and function of property and contract, and John R. Commons (I924) on the legal foundations of capitalism. Commons' thesis in particular displays a readiness to dissect the most basic terms of human interaction (reflected in part by his liberal use of analytical jurisprudence, such as Hohfeld, I9l3, l9l7) within a diagnosis of institutional problems. In his Legal Foundations of Capitalism, Commons attempts to plot an evolutionary theory of value (or as he calls it, a theory of Reasonable Value) much as Veblen had indicated in his earlier social criticisms. Commons' specifications of conflicting interests, emphasis on the role of power in provision of the public good, and attempts to analyze the social framework of the economy are included among the central themes of the subsequent development of institutional economics. 38 . .in a science of human transaction there is no clear dividing line between utility, sympathy and duty, between economics, ethics and law. The law, or working rules of society, take over, as best they can, the inducements of violence and thereby eliminate, as best they can, other unethical inducements. But ethical and unethnical elements remain, simply because exchanges are transactions between persons, official and private. Hence a behavioristic definition of political economy as the subject-matter jointly of the science of law, ethics and economics, would not be limited to the traditional mechanics of "production, exchange, distribution and consumption of wealth" which are relations of man to nature, but would include them as secondary, and would be defined as primarily a set of relations of man to man, both national and international which might be formulated somewhat as follows: Political Economy and Political Expansion are the proportioning, by means of the working rules of going concerns, of persuasive, coercive, corrupt, misleading, deceptive and violent inducements and their opposites, to willing, unwilling and indifferent persons, in a world of scarcity and mechnical forces, for purposes which the public and private participants deem to be, at the time, probably conducive to private, public or world benefit. (I924: 387) Schmid (l978) proposes linkages between law and the production and distribution of wealth and focuses on a range of malleable institutional variables which affect institutional performance. A particularly salient theme of his treatise (one of several) to the present study is the distributional impact of choice. Briefly, some elementary notions regarding transaction and choice are proposed. Interdependence The direction of human interdependence, whether it is to mean cooperation or conflict, and its distributive consequences, will depend upon the structure of power, animated through the distribution 39 of rights. Individual choice or a course of action proceeds within this context, and is related to a number of factors. The first is whether the opportunity exists for an actor: I) Can the actor afford it -- are the "costs" beyond what the actor is willing to pay? 2) Does the actor have a right -- is the actor allowed -- to pursue the opportunity, or conversely, is there a sanctioned impediment to this course of action for the actor? 3) Does the actor, despite having the right to choose the opportunity, have the requisite power to assert that right or desire in the face of scarcity (i.e., where a limited number of actors can have or pursue the same good or goal)? A second factor is whether the opportunity isgpursued by an actor: I) Does the actor have knowledge -- information -- that the opportunity either exists or that it is within the actor's means (given that conditions of power, availability, and affordability of information are satisfied)? Without such information, an opportunity may exist hypothetically, but cannot be pursued practically because<3fignorance. 2) Does the actor choose this opportunity in the face of alternative courses of action that variably affect the actor's welfare? Factors, such as the relative costs of opportunities, the motivational investment of the actor, and power (e.g., a decision ppt_to pursue an opportunity may be evidence of an actor's power) are relevant here. A third factor, related to the previous two, is whether the opportunity is attainable. Any actor's ability to attain a good or goal will depend upon the distribution of opportunities. A choice by one actor may mitigate the possibility of a like choice by another actor and affect the remaining opportunities. Hence, Samuels (I972) concludes the economic system is a "system of mutual coercion in which the choices of each individual have eventual impact upon the opportunity sets and choices of others." Choice, he points out, is both a 40 a dependent and independent variable: an actor can affect the terms of social action and alternatives available to others, and others can affect the terms of social action and alternatives available to the actor. Individual choice, then, is subsumed within the collectivity and the expression of interdependence, institutions.lZ/ Human interdependence is transacted in the sense that choice generally take place within a system of coercion where rights of one actor stand in relationship (complementary or conflicting) to the rights of another: the outcome of interdependence derives from this relationship.l§/ A transaction, or the transactional components of choice, may be of several types. In a bargained transaction, both parties mutually coerce and consent to transfer rights. Administrative transactions imply one-way coercion, where an actor may relinquish rights to a superior and receive nothing (benefits may, in fact, accrue to a third party). In status transactions the one-way movement of rights results from prescribed social obligations, and not stark coercion (unless one chOOSes to view culture and tradition as essentially coercive in the context of human growth, development, and potential). Grant transactions involve the will of the grantor, whose transfer of rights is not coerced but based upon the grantor's benevolence (i.e., consensual rather than dependent reciprocity).lg/ Processes of choice and transaction are relative to the structure and pattern of power and rights. An understanding of human interdependence requires elucidation of the driving forces and logic of the status quo to determine upg§e_interests count within éfl. arrangement (not the_arrangement) of property rights. The possibilities for allocating rights are endless, and each will attend 4l to the welfare of particular interests more completely than other formulations. Power is a pivotal factor here: which interests are to count will depend greatly upon the ability of some actors to structure the direction of interdependence so their interests become their rights. In this sense, power is reflected in the structure of rights and rules for creating such rights. Benefits and costs accrue to interdependent actors in a system of coercion. The distribution of these benefits and costs (including externalities) are again a function of the distribution of power and rights. Some persons may have a right to pass along the various costs of their choices to others who conversely do not have a right, or do not have the power, to avoid such consequences. As a power structure changes, the substance and distribution of externalities will change. Decisions on how to parcel out externalities, costs and benefits, include specification of preferences (regardless of the consciousness of decision makers to these factors) as to how power is to be arranged, who shall do the deciding and who shall not be deciding, whose choices are salient and whose are encumbered, which costs are acceptable and which are not related to the public good (which public?), and how conflict is to be resolved (whose interests will count?). Drawing from both the macro Considerations of law and society, and their micro-transactional expression in institutional theory, a delineation of a type of law, imposed law, is made. 42 Imposed Law Though use of the concept "imposed law“ has gained some recent momentum (e.g., Burman and Harrell-Bond, l979), its use in socio-legal analysis remains somewhat contrived due to a lack of specification of why imposed law is exceptional law. Clearly, if an imposed sanction means that a winner and a loser are designated when interests conflict, we are speaking generally of the corpus of law. Some Marxist interpretations would suggest that the nature of law is such that all law is imposed. A populist interpretation may suggest that the true nature of law is that it derives only from the willing consent of those governed: this perspective would reserve a much smaller subset of law, that which is not the willing extension of the governed, to label "imposed," and would characterize such law as naked oppression. A number of interpretations of imposed law are possible, just as there exists diversity in theoretical and philosophical interpretations of law generally. A definition of imposed law, which eclectically combines elements from the preceeding discussions of macro theory and an institutional perspective, is offered: Imposition reflects the nonalignment of values, choices and behaviors of a group with those prescribed and proscribed values, choices, and behaviors in the law which affect the group. Briefly, the exceptional character of imposed law is proposed. 43 In general terms, the rule of law is characterized by institutionalized sanctioning of a relatively limited number of possible interests and behaviors over the mass of society, representative of a relatively small elite who elicit compliance on the basis of sanctions. Law is conducive to particular configurations of social relations and material conditions, and in the interest of enhancement, solidification, etc. of such relations and conditions, state justice -- the administration of coercion -- fashions and protects the social order. The administration of justice in a general sense specifies (including socialization of those who administer the law and those subjected to the law) the social values which rationalize the rule of law and make compliance desirable. As a result, for example, the material condition of propertylessness may not be viewed as requisiteix>the accumulation of capital and endemic to a particular system of law, but rather, the rule of law may be viewed as independent and autonomous of the social relations it embodies and the material conditions which result. The exceptional or extraordinary character of imposed law derives from the degree to which the locus of sanction and the locus of legitimation are removed from those subjected to the sanctioned prescription and proscription of values, choices and behaviors. In the case of federal Indian law, the fact of historical external sanction is clear. The tenor of the historical relations between European ethnic groups and indigenous populations in the territorial United States (discussed in Chapter Three and Chapter Five) is reflected in the course of development of federal Indian law: the source of sanctioned prescription and proscription of values, choices and 44 behaviors is generally beyond the control of Indian tribes and their members in matters to which the law extends. In addition to the alienated locus of sanction, the locus of legitimation generally lies beyond tribal groups. Historically, the imposition of federal Indian law reflects only minimal efforts of the state to bring to bear its ideological arsenal in an attempt to resocialize or engineer traditional group identities consistent with the goals of the rule of law (e.g., fetishism of rights). The broad-ranging policies of physical and culture genocide and their segregationist manifestations absolutely mitigated against morphological combination of political, social, economic and cultural forms. Attempts by the state to "elicit“ legitimation were very limited and only half-hearted. However, this should not suggest that the ideological component of law (in this instance, its socializing/resocializing dimension) is irrelevant to federal Indian law. The material aspects of ideology is a third characteristic that distinguishes imposed law. It is often assumedregardinglegitimation that the subjective ideological nature of any legal concept is of paramount importance, and that objective reality of the concept is a secondary or ancillary concern. This position might argue that state power is only an idea which materializes to the extent that individuals reify the idea and allow it to govern their behavior and prescribe their own power. While certainly relevant to an understanding of the law, this position begs the issue of social being as social form: the state is indeed an ideological form, but it is also a form of being and it embodies the material nature of the relations expressed in ideological form. Simple subjectivism will not do. For example, it will be proposed 45 that imposed federal Indian law is a manifestation of state penetration into tribal jurisdiction and sovereignty. As such, this manifestation is an objective entity. Hence we may study ideology and imposed law, not as merely the countless and varied subjective forms through which it is reflected and experienced, but in addition, from the point of view of its material aspects, as an expression of regulation of social relations that have assumed a legal character within a broad constellation of interests. The locus of sanction, the locus of legitimation, and the material aspects of ideology are possible criteria for designating federal Indian law as a special case, imposed law. These themes will be reiterated in subsequent discussion. 46 Notes l0. Nader (I969) cautions that the phrase "law and society" is inadequate and misleading if "law is conceived of as in reality being a system independent of society and culture." (8) Law cannot be freed of social and cultural entanglements which define its development, form, and substance. This is not to suggest, however, that the sociology of law has been narrowly defined (e.g., Riesman, l95l, I952; Selznick, I959; Skolnick, I965) or negate its intellectual heritage in legal philosophy (Skolnick, I965). There is some dispute regarding Karl Renner's "Marxist theory." See Cain and Hunt (I979): 65, and Tigar and Levy (I977): 303. These sources have been collected in Maureen Cain and Alan Hunt, Marx and Epgels on Law (New York: Academic Press, I979). Karl Marx and Friedrich Engels, Collected Works V-VI (London: Lawrence and Wishart, I976): 329-330. Karl Marx and Friedrich Engels, Selected Works III (Moscow: Progress, l979): 370-372. Karl Marx and Friedrich.Engels,-Collected Works V-VI (London: Lawrence and Wishart, I976): 59. Karl Marx and Friedrich Engels, Selected Works I-II (Moscow: Progress, I969): 503. Ibid.: 365. This discussion is very delicate and crucial to some notions of a Marxist sociology of law. Marx was clear in typing the withering of the state to the withering of law. This poses a rather - critical dilemma for a sociology concerned with how interdependencies are to be ordered. The volume Soviet Legal Philoso h (v.1. Lenin et al., Cambridge: Harvard University Press, l9gl) is an excellent exposition of ideas regarding the envisioned nature of law under socialism, specifically in the USSR. Galunskii and Strogovitch, who compare legal norms to moral norms and custom, postulate that within socialism law and morality will fuse i.e., when the definition of moral norms is consistent throughout society, legal norms will conform. Lenin, in a companion piece in the volume, speculates that the order of custom and morality will prevail in communism (initiated in socialism) and unlike legal norms, will not require the coercive presence of the state. ll. l2. l3. l4. l5. l6. I7. 18. l9. 20. 47 Karl Marx and Friedrich Engels, Selected Correspondence l846-l895 (Moscow: Foreign Languages Publishing House, l934)?fi’434-435. Karl Marx and Friedrich Engels, Articles from "Neu Rheinische Zeitung“ I848-I849 (Moscow: Progress, I972); 227-247. Friedrich Engels, Anti-06hring (Moscow: Foreign Languages Publishing House, I959): 386-387. For example, Tushnet's (I977) discussion of instrumentalist and structuralist Marxist theories of the state, focusing as he does on contradictions between the content and form of the law due to competing interest groups, is soundly within a Weberian perspective. The primary source materials of Weber's thought on law and' legal institutions have been collected in Max Rheinstein, ed., Law in Economy and Society (Cambridge: Harvard University Press, T954): which is the source of all citations herein. The impact of Marx on the institutionalist school has been considerable. Comons (I924), for example, did not accept Weber's notions of an evolution of spirit as the basis for the development of rational, bureaucratic social structures, and turned instead to the more systematic, structural requisites of capitalism which Marx had indicated. ". . .if a simple definition is necessary, institutions are sets of ordered relationships among people that define their rights, exposure to the rights of others, privileges, and responsibilities." (Schmid, l978: 5) Of course, the nature of the_good or right is a critical element of transactions. Some goods and some rights can be jointly shared, while the consumption and use of other goods and other rights precludes their availability to other actors. A class transaction may be all of these. There may also be nonalignment within a group, where belief in a value and behavior do not coincide. CHAPTER THREE THE SOCIAL HISTORY OF INDIGENOUS PEOPLES Drawing from the previous discussion, which situates law in the nexus of social relations, it is crucial to specify the socio-history that contextualizes what has been referred to as imposed law. This task has two interrelated components. First, selective aspects 0f the sociology of race relations and Americanist ethnology generally are reviewed. Second, a more fecund model for conceptualizing the l/ socio-historical development of indigenous peoples is proposed. It is from the latter discussion that imposed law transcends its legal form and becomes inextricably rooted to social process. The Sociology of Race: Theories of Amalgamation Though tempered somewhat by earlier analyses of immigrant relations, modern studies of race relations in the United States have generally been content to limit the scope of most inquiry to the dynamics of contact. between the white majority and the dominant minority, blacks. If even nominal concessions are made to the historical development of these relations, however, the costs of such selective inquiry become readily apparent. Prevalent explanatory models in the sociology of race relations, whose principle referent is the black experience, are replete with assumptions about the solubility of the 48 49 unique historical development among different racial and ethnic groups in the United States. Understanding the dynamics of the black experience is not, then, to necessarily comprehend the sum and substance of other milieu in this country. Often, theories of race relations assume racial conflict to be, as Blauner (I972) observes, epiphenomenal and ephemeral. Included among these theories are integrationist-assimilationist ideas such as the melting-pot (Gordon, I964), immigrant analogy (Glazer and Moynihan, I963), class-caste analogies (Dollard, I937), prejudice (Myrdal, I944; Allport,l954), etcg/ Without exception, these theories treat the specific and unique social—historical development among different racial and ethnic groups as essentially malleable. Race relations theories which give conflict a more prominant place in their deliberations do not fare much better. A subset of these is illustrative of the problem. A rallying point of some intellectuals engaged (to whatever degree) in the racial conflict of the l960's and l970's in the United States was identification with ongoing Third World liberation struggles. The international perspective afforded considerably more insight and flexibility than previous parochial analyses and strategies for oppressed peoples in the United States. While appeals for solidarity among "Third World peoples" were prevalent among some minority groups, Indian leaders most often struck discordant notes by rejecting the possibility of such collusion outright. Vine Deloria (I970) provides a rationale: 50 The most common attitude Indians have faced has been the unthoughtful Johnny-come-lately liberal who equates certain goals with a dark skin. This type of individual generally defines the goals of all groups by the way he understands what he wants for the blacks. Foremost in this category have been younger social workers and clergymen entering the field directly out of college or seminary. For the most part they have been book-fed and lack experience in life. They depend primarily upon labels and categories of academic import rather than on any direct experience. Too often they have achieved positions of prominence as programs have been expanded to meet needs of people. In exercising their discretionary powers administratively, they have run roughshod over Indian people. They have not wanted to show their ignorance about Indians. Instead, they prefer to place all people with darker skin in the same category of basic goals, then develop their programs to fit their preconceived ideas. (I70) One finds, however, that the notion of solidarity was doggedly pursued in the social scientific literature despite the skepticism voiced by those immediately involved in their struggle. Allen (I969) who identifies Native Americans as people (sic) of the Third World, aptly demonstrates this sentiment: This raises for the nth time the thorny question of domestic allies. The black liberation movement needs allies. It needs allies who are capable both of aiding the black movement and of promoting social change in white America. In recent years of growing sense of unity has developed between Afro-Americans and Puerto Ricans, Mexican-Americans, American Indians, and Orientals. (28I) This is not a mutecn~frivolous point for Allen. His strategy for blacks in the U. S. is predicated on their ability to solidify the efforts of peoples whose commonality is simply their oppression. The analysis SI presented by Gordon (I964) parrots a similar yelpe_of solidarity, though from Gordon's point of view Indian inclusion is tenuous based upon the responses of Indian agencies to universals, such as discrimination against minorities in the United States: The private "Indian" agencies are enthusiastic supporters of the principle of "letting the Indians decide for themselves" and are therefore, in fact, committed currently to the principle of Indian communal life . . . unlike most other intergroup relations agencies in the United States, the Indian agencies, so far as I can see, do not concern themselves with general problems of discrimination and prejudice in American life. They are the most highly concentrated in their deliberations and efforts of all the group relations organizations. (l2) Gordon's thesis§/ is couched in a sentiment which finds unity among social relations agencies functional only to the extent that it promotes the general assimilation of racial and ethnic groups into the dominant society. In this respect there is significant divergence between the purposes of solidarity for Allen and Gordon. Tabb (I970) illustrates another problem with social science explanatory schemes of race relations, namely, use of the historical circumstances of non-black racial and ethnic groups as the basis for speculation on the past, present or future of black Americans. In a "Short Dictionary of Liberalism" Tabb discusses the "rhyme and reason" of demonstration projects: When funds go to help the poor, government programs are traditionally paternalistic, meaning simply that they breed and reinforce dependency. The group that has been longest under the care of the United States government 52 is the American Indian. After pacification, his land was taken and he was segregated on reservation and cared for by the Bureau of Indian Affairs. Having been looked after the longest, the Indian is the worst off of any group . . . If this is the way White society compensates a people whom it has systematically robbed and murdered, why should blacks expect more generosity? (l33-34) The point of contention here is basing the future of blacks on the past and present disposition of Native Americans: Tabb has not taken into account a significant legal exposition -- based upon land tenure, etc. -- which has orchestrated into an Indian "condition." Tabb would be hard pressed to find the political, social and economic parallels in the black U.S. experience to justify his speculation. Sidney Willhelm (I970) proceeds from Tabb's level and takes this issue to its logical extension: The point is that the Negro may very well come to be treated much as the American Indian: confined to reservations or perhaps even eliminated through genocide . . . The possibility or the Negro transforming into the American Indian is, to most, a startling and unpalatable contemplation. (3-4) White racism and elimination from sustained employment bring the American Negro to the identical, ultimate fate of the American Indian . . . the Negro moves more decisively in the direction of becoming at best like an Indian ward. (333-34) The above points, which speak to the fallacy of constructing analysis and strategies based on simplistic appraisals of divergent historical experience among ethnic and racial groups, represent issues which contribute to a racial amalgamation phenomenon. As a result of this 53 blurring, Native Americans have by and large been neglected in sociological explanatory schemes of race relations (which some Indian leaders have been quite happy about). At the level of policy, service delivery, etc., this tendency to amalgamate diverse historical experience is part and parcel of the bankruptcy of development theory and policy that Frank (I966) speaks to: . . even a modest acquaintance with history shows that underdevelopment is not original or traditional and that neither the past nor the present of the underdeveloped countries resembles in any important respect the past of the now developed countries. The now developed countries were never underdeveloped, though they may have been undeveloped. It is also widely believed that the contemporary underdevelopment of a country can be understood as the product or reflection solely of its own economic, political, social, and cultural characteristics or structure. Yet historical research demonstrates that contemporary underdevelopment is in large part the historical product of past and continuing economic and other relations between the satellite underdevelopment and the now developed metropolitan countries. Furthermore, these relations are an essential part of the structure and devel0pment of the eapgtalist system on a world scale as a whole. l8 These basic tenents of dependency theory can be superimposed over the present discussion. While it may be useful and even necessary to construct a paradigm of race relations at such a level of abstraction that it speaks to the "American experience," attempts should be made to grapple with the complexities of situating Indian peoples in such an overview on their specific historical terms. Often, the historical 54 incorporation of indigenous peoples into our geo-political entity is ignored, either by assuming a commonality of experience with U.S. minorities, or by relegating it to caveats and footnotes which may qualify an analysis without contributing to or amplifying whatever general thesis is proposed. As a result, the science of race relations is hard-pressed to counter contemporary policy proposals and initiatives, or to even adequately analyze their importance. Consider, as an example, a highly touted front-page editorial by William Randolph Hearst, Jr. in I976: It may have escaped the notice of many, but enormous sums of U.S. wampum have recently been bestowed on numerous Indian tribes for various reasons . . . entirely forgotten in all of the fuss is the fact that when settlers took the land, it was generally by agreements of some kind with the native Indians, and no records were kept,there being no county clerk with whom to file the deeds. . Overlooked too, is the fact that the original occupants of the land were the most primitive of people who had never thought of the wheel, had never learned to use metals, and knew nothing of the spinning and weaving of fibers. If the white settlers brought nothing but those gifts and skills, they were paid well for their land. . . It is becoming apparent that some non-white Americans -- though certainly not all -- are thriving on what can only be described as "reverse discrimination.“ . . Did we or didn't we decide that the color of a person's skin or the source of his ancestry didn't count? If we did decide that color or ancestry don't count, what the hell are we doing? (Chronicle/Examiner, l2 December) 55 The drama of recent land settlements with Indian tribes (e.g., the Passamaquoddies of Maine which incited Hearst), and the corporate thirst for subterranean energy stores on tribal reservations§/ are intimately tied to the increasing clamor for fiscal (and moral) responsibility such as Hearst articulated in the area of Indian affairs. But analysis of these types of issues do not readily emerge. from the sociology of race relations which generally lacks the sophistication to deal with historical diversity, and hence the incorporation of indigenous peoples into a modern state system. Such considerations are not part of the legitimate itinerary of inquiry. Briefly, an explanation of this neglect and its legacy for the study of indigenous peoples is proposed. It is suggested (Lapierre, l968) that the most Widely shared characteristic of human communities in time and space is ethnocentrism, the narcissistic relationship to self, or the opposition of self (ingroup) to other (outgroup). It is further proposed (Clastres, I977) that a salient distinction between Savage and modern societies is that the former rest content with the superiority of their ways, while the latter -- perhaps less sure -- feel obligated to mobilize an "objective" science that in turn endorses what we might have suspected all along: we are better. Some aspects of Americanist ethnology are a mire of enthnocentrism and evolutionism. Savage societies, we are told, are encumbered in a modern world by mutations of social structure. They are incomplete, societies without power, without a State, and without a market. From these, a dizzying array of deficiencies have been spawned: they lack a need to achieve, they lack future-orientation, they lack modern worldviews, they lack appropriate technology, etc. More recent scholarship, such as Clastres, 56 assails these assumptions, and suggests that l) Savage society may generally lack a gg§e_of power, coercive power, opting instead for another case of power, non-coercive power; 2) Savage society, by maintaining absolute power over all its constituent elements, mitigates against the rise of a central, separate power and actively opposes the emergence of the State; and 3) Savage society, characterized by much leisure and a subsistence economy based upon reciprocity, flourished: the advent of political economy, i.e., the point where a people is compelled to give up their leisure and where products of their labor are accumulated and alienated, brought with it the destruction of many such groups (when Indians were forced to work, they died of work). Clastres puts it succinctly. This is what needs to be firmly grasped: primitive societies are not overdue embryos of subsequent societies, social bodies whose "normal" development was arrested by some strange malady; they are not situated at the commencement of a historical logic leading straight to an end given ahead of time, but recognized only a posteriori as our own social system. (If history is that logic, how is it that primitive societies still exist?) (l68) The shortcomings of the legacy of Americanist ethnology§/ are amplified in many ways. For example, the preponderance of historical accounting of American history eludes analysis of the specific terms and outcomes of contact between European ethnic groups and indigenous peoples. Novack (I949) points to "systematic forgetfulness," or a memory lapse, as an attempt to hide from a painful past. The destruction of Indian collectivism and communal democracy characterize the earliest 57 and most fundamental social transformation in America. The colonial uprising, for all its importance in Eurocentric historical analysis, was a far less radical social development. In the long view, this legacy and its manifestations have become the apologetics, or as the Valentines' (I975) might insist, the substance of the intellectual defense of inequality and oppression. A broadened understanding of the development of race relations in the United States and the implications of historical experience in the face of changing multi-racial and ethnic relations necessitates accelerated attempts to analyze the indigenous American Indian experience. The tenor of this experience in North America and throughout the world emerges from the varied considerations of shared characteristics of indigenous populations, bound to a relative milieu within a world system. The Civilizational Process While indigenous social environs have literally been tpe_field laboratories for the social sciences for many decades, efforts to systematically construct paradigms capable of the broad inquiry which is lacking, as suggested above, or action programs (see Chapter Four) on behalf of indigenous populations have been recent and few in number. This is largely due, it would seem, to a consistent focus upon "state" ontogenesis in most development theories i.e., the relevant social unit within which development unfolds is the political unit (within national boundaries). Theories of societal underdevelgpment, on the other hand, situate underdevelopment within much larger units 58 of analysis which tend to reject narrow national characteristics for broader configurative criteria, such as modern world system, capitalist civilization, and the like. Representative work of the latter mode would include Wallerstein (I974, I980), Frank (I978, I979). Kaplan (l978) and Goldfrank (I979). A relatively obscure contribution by Darcy Ribeiro (I968, l97l) speaks most directly to the American experience, and remains the most significant attempt to map the historical incorporation of indigenous peoples into alien state structures and modern societies. A review of his analysis will suggest the context within which imposed law unfolds. Ribeiro sets out to chart the historical processes which have resulted in the unequal development of contemporary American societies. He focuses on technological developments and their sociocultural ramifications, the forces which trigger such evolutionary formations, and their impact on affected populations groups. The basic propositions of Ribeiro's theory of sociocultural evolution can be schematically represented in stages: Technological Revolutions Civilizational Processes By technological revolution is meant acquisition and manipulation of a material technology such that non-marginal alterations in the type and way of life of societies result. Ribeiro identifies eight technological revolutions in the past ten thousand years of human development: agricultural, urban, irrigation, metallurgical, pastoral, 59 mercantile, industrial, and thermonuclear. Insisting that technological inventions cannot be divorced from their use and dissemination to the whole sociocultural context, Ribeiro isolates civilizational processes which represent major transformations in material life among diverse peoples. In general terms, technological revolutions result in an ever-increasing ability to improve productive capacity and to make war. These have obvious effects in a specific sense, that is, related directly to those peoples who have acquired a technological invention or innovation. General effects are also apparent, in that evolutionary sequences have distributional impact for diverse groups of people. An expanded schematic integrates these points: increase in productive capacity Technological Revolutions increase in ability to make war VI Civilizational Processes—————e>sociocultural formations ~specific l. adaptive system (distributional -general 2. associative system manifestations) 3. ideological system The civilizational processes (the sociocultural dimensions of the effects of technological revolutions) result in sociocultural formations, consisting of three interrelated systems: the means of producing and reproducing the material requisites of a society (adaptive); the means of regulating interpersonal relations (associative); and the means 60 of transcribing social experience into language, knowledge, beliefs and values of a society (ideological). Taken together, these processes are crux of Ribeiro's model of sociocultural evolution: We conceive of sociocultural evolution as a temporal pattern of alteration in the ways of life of human groups. This alteration is created by the impact of successive technological revolutions (agricultural, industrial, etc.) on specific societies, tending to transform them from one evolutionary stage to another, or from one sociocultural formation to another. Sociocultural formations are conceptual models of social life, each of which combines a specific level of development in productive technology with a generic form of social regulation and with an ideological configuration that represents a greater or lesser degree of lucidity and rationality. (l968: 9) Ribeiro was not, however, content to pose a relationship between civilizational processes and sociocultural formations which could be interpreted to suggest a unilineal, unproblematic transition to a higher state of human progress. The evolutionary development of technology and its attendant sociocultural formations was frought with conflict and sociocultural regressions. Ribeiro encapsulates the process of sociocultural formation in the concepts evolutionary acceleration and historical incorporation. The schematic is elaborated accordingly in Figure 2. All processes follow from the larger dynamic of sociocultural evolution: "Civilizational processes transfigure ethnically the peoples they touch, remodeling them through racial fusion, cultural intermingling, and economic integration into new sociocultural formations." (I970: 404) Evolutionary acceleration refers to the process where a people (agents), 61 Afimmfi .onmfi .mmmfiv ocpmawm ausmo menupzu m:o_csam Ewumxm Fmowmopomup Emumxm m>wumqummm swamxm m>wuamcm meowumscom pmczppsoo L83 mxms op >p_pwnm cw mmamcu:_ “meowumamwewcea .weowazaacomanv .m Amacmwapumcv .N owpmcoacoocw quPeoumw Pmewcmm- .H , uwwwomam- wuom mmmmuoca Pecowuer P>Fu Amucmmmv \, owumcmpwuom Aca:o_uzpo> m=o_uapo>mm Fouvmopocguwh xpwumamo m>_uu=uoca cw wmamcu:_ cowuzpo>u chaupsoo_oom m mcau_m 62 having acquired or mastered a new technology, are able to l) preserve and enhance their dominant institutions and ethnic identity, 2) accelerate their development by enlisting the material (resources, human and physical) of less developed peoples through conquest, enslavement, colonization, and the like, and 3) expand their dominant institutions and ethnic identity over subjugated peoples. Historical incorporation -- which most succinctly represents the indigenous experience in the Americas -- describes a process whereby peoples (recipients) are adversely affected by the development of other peoples i.e., they are incorporated into the development of others and are thereby underdeveloped. The resulting sociocultural formations of recipient populations bear the scars of their incorporation. First, relative autonomy of the group is lost, that is, the group is no longer in control of its destiny and increasingly, because its major institutions are discredited or destroyed, the group becomes dependent upon others to direct their destiny. Second, deculturation occurs, whereby the ethnocentric values, ways of thinking and behaving, and major social institutions are abandoned in the wake of domination. Third, these traumatized cultures are redefined, not in the image of previous values and institutions, but from a narrow range of values” and behaviors consistent with the image which agents hold of recipients e.g., as inferior beings. Borrowing from Sapir (I924), Ribeiro designates these interrelated elements "spurious culturez“ Under such circumstances the original culture falls into a state of alienation by absorbing foreign ideas relevant not to its own experience but to justification of the colonial domination. (I970: 405) 63 Ribeiro utilizes an ethnic typology to describe extra-European peoples and their impact on the unequal development in the Americas. One group, Transplanted Peoples, is of particular importance here because it represents the European ethnic groups who transfigured the ethnic terrain in the territorial United States (and elsewhere: e.g., Australia, New Zealand, South Africa). Though Transplanted Peoples are quite diverse, they shareanumber of characteristics which reveal succinctly the terms of historical incorporation for indigenous Indian peoples. Foregoing an analysis of their development as a consequence of European mercantile expansion, their "hybrid cultural inventory" is summarized: l) predominantly Caucasoid racial type; 2) cultural homogeneity (due in part to the relatively limited area of origins); 3) concentration in homogenous nuclei structured into families, they substituted themselves in place of the indigenous population (decimation favored to absorption); 4) Re-creation of landscape (e.g., farming); 5) transplantation of major institutions from Europe to the territorial U.S. (little combination of indigenous and European institutions); 6) equalitarianism (democratic institutions, access to land ownership, etc. ); 7) capitalist nature of the economy; 8) modernity ("in the sense of synchronization with the ways of life and aspirations of the societies undergoing industrialization from which they were detached"); 9) assimilation of new groups which represent varients of a single cultural tradition -- provisional integration of non-European groups, characterized by deculturation (e. g., indigenous peoples, Africans); and IQ) discrimation and segregation yield well-defined racial minorities. 64 Factors such as these had enormous bearing on the development of relations between indigenous peoples and European ethnic groups in the territorial United States. The structuring of sociocultural formations, as Ribeiro conceptualizes them, suggests that accelerated development for some meant certain underdevelopment for others. The law, as a sociocultural formation, embodies this same dialectic. That law is vital to the process of development should not be surprising: by securing requisite material for development (i.e., land), by regulating the pitch of ethnic relations, and by expositing the ideological apparatus conducive for uninhibited development, law has significantly facilitated the historical incorporation of diverse indigenous peoples. In subsequent chapters, the penetration of law and its impact on contemporary indigenous social environs will be explored. That portion of Americanist ethnology which concludes that the retarded, stunted, and regressive development of indigenous peoples vis-a-vis the "modern" world is an endemic feature of their sociocultural institutions must be rejected and a paradigm which locates the prerequisites of development in the systematic underdevelopment of selective sociocultural formations, substituted in its place. The social history of indigenous peoples illuminates the instrumental role of the rule of law in the processes of underdevelopment which embody it. 65 Notes I. The following definition of indigenous peoples shall suffice: "Indigenous populations are composed of the existing descendants of the peoples who inhabited the present territory of a country wholly or partially at the time when persons of a different culture or ethnic origin arrived there from other parts of the world, overcame them and, by conquest, settlement or other means, reduced them to a non-dominant or colonial condition; who today live more in conformity with their particular social, economic and cultural customs and traditions than with the institutions of the country of which they now form part, under a State structure which incorporates mainly the national, social and cultural characteristics of other segments of the population which are predominant." United Nations, Economic and Social Council, Commission on Human Rights, Subcommission on Prevention of Discrimination and Protection of Minorities, Twenty-sixth Session, Study of the Problem of Discrimination Against Indigenous Populations, "Preliminary Report“ (E/CN. 4/Sub. 2/I. 566), 29 June I972, para. 34. 2. A clear exception in the early period of the sociology of race relations was the work of Park, whose race relations cycle was premised on conflict: "What are properly referred to as race relations ordinarily involve some sort of race conflict" (I937). Further: "Racial competition leads easily, and more or less inevitably to racial conflict. The only sitution in which the Oriental is able to live without prejudice is in some occupation in which he does not come into too direct competition with other members of the community. This exclusion, although not always formally and legally recognized, is enforced by the prejudices and public opinion that racial conflict engenders. These seem, in general, to be the inevitable tendencies of the racial situation . . .“ (I924) 3. To say that Indian agencies are enthusiastic supporters of self- determination and are therefore committed to Indian communal life is to turn history and fact upon its head. Historically, Indian agencies have regressed to "self-determination" when more overt, direct interference (genocide, termination of tribes -- federal relationship, etc.) has failed. Self-determination need be nothing more than pretending the dependency doesn't exist or that treaties are void, etc. One of the most pervasive charges of Indian agencies throughout U. S. history has been to 66 Notes (cont'd) destroy Indian comunal life: Gordon's contention to the contrary flies in the face of major programs (one in I962, for instance, before Assimilation in American Life was published) designed to debilitate Indian tribes. FUrther, Indian agencies have long concerned themselves with general problems of discrimination and prejudice: Indian agencies are the supreme melting-pot strategists in U. S. history and their zeal to "Americanize" the indigenous populations has been justified on the premise of rotectin Indians (and others) from the naivete of an Indian way of life. These issues aside, however, Gordon is correct in his contention that Indian agencies have little to contribute to a unified offensive by other social relations agencies to promote assimilation in American society. The assumption that they will not because Indian agenices have Indian concerns at heart is an impoverished causal interpretation at best: the fact that Indian agencies, despite the colossal effort, cannot foster or force a comprehensive assimilation of Indian peoples must rely on a more rigorous interpretive scheme than Gordon give us. 4. Excellent reviews of the drama regarding energy resources are provided by Steiner (I977) and Johansen and Maestas (I979). 5. H arris (l968) notes the reliance of Marx and Engels on Americanist ethnology, particularly on the work of Morgan among tribal peoples: "Ancient Society was a work of supreme importance to Marx and Engelsibecause it opened their eyes to the complexity of primitive cultures and to the inadequacies of their own dabbling in this area . . . The important point here is that as far as primitive culture is concerned, Marx and Engels bought Morgan lock, stock, and barrel. Morgan's scheme, it tri-part periodization, its evolution from sexual communism to monogamy, from gens to state, from matrilineality to partilineality, became the standard fouree of ethnological enlightenment for Marxists . . . 246 CHAPTER FOUR DELIMITED PERSPECTIVES AND PROSPECTS: RESEARCH ON INDIGENOUS POPULATIONS In the preceeding discussion, precepts of the sociology of race relations and Americanist ethnology were contraposed to a paradigm of sociocultural formation. These discrepant points of view regarding the development or underdevelopment of indigenous peoples perhaps delineate the boundaries of such inquiry. However, artificially cast as polar extremes, they do not adequately represent the thrust of policy-oriented research conducted under the auspices of .national governments or international organizations. This chapter digresses momentarily to review twentieth century attempts to specifically isolate indigenous peoples as a locus of inquiry, largely from a transnational perspective. This material will be a prelude to subsequent discussions of international law and the development of federal Indian law, as well as providing a substantive basis to speak of strategic macroethnicl/ research and action programs. The National Pattern The paucity of international action on behalf of indigenous peoples can be well documented (see Bennett, 1978). In part, the lack of action is related to a lack of documentation of the contemporary problems of indigneous people which might become the basis for 67 68 concerted action within a developing world system. Major international organizations and their instruments have either failed to recognize the salient features of indigenous populations beyond their interaction with national development, or have amalgamated and relegated these features to concern for racial and ethnic minorities generally. The never-ending debate on the "Indian problem" is replete with these tendencies, and in a report to the Second Labour Conference of the American States which are Members of the International Labour Organisation, in Havana (I939), the ILO director combines them: All Latin American countries have adopted a policy of racial equality. In some countries however, certain of the descendants of the original inhabitants are living under tribal or semi-tribal conditions and some Governments have found it necessary to take special measures for their protection and assistance. Only in this limited sense can one speak of an “Indian problem." Those questions which concern principally the indigenous people not as Indians, but because they happen to be the most backward and oppressed section of the population, should not be considered as part of the "Indian problem"but rather as part of the general social problems of the country, and they should be dealt with rather from the angle of general reforms than of Zition on behalf of any particular race. National action and study of indigenous groups in the United States§/ generally adheres to these patterns, although there is certainly no paucity of material purporting to review the "Indian problem" in the U.S.: 69 Libraries of official Washington have become crowded morgues for reports which document that Indians are denied basic civil rights, such as the right to counsel; that Indian welfare payments and services are grossly inadequate; that many Indians go hungry; that Indian housing is a travesty -- 70% of it substandard; that job-training programs are insufficient, misguided and ineffective; that the relocated Indian, far from raising his living standards, is drowning anonymously in the worst ghettoes of our land . . . Thousands of recommendations are on the shelves and in the files, probing every corner of Indian life, every facet of Government policy. Each calls for reorganization, shuffling of priorities, new vistas. (Cahn and Hearne, I969) Government sponsored research on Native Americans is largely micro-analysis, either because it is restricted to a particular event or tribal group, or because its scope and depth are limited by the exigencies which call the research into being (e.g., the research is politically expendient). For instance, research done under the auspices of the United States Commission on Civil Rights often focuses on specific violations of federal law (e.g., Michigan Advisory Committee, Civil Rights and the Housing and Community Development Act of l974;,v. 3: The Chippewa People of Sault Ste. ngie, I976) or the impact of federal law and administration (e.g., United States Commission on Civil Rights, The Navajo Nation: An Americep Colony, I975). Research directly linked to evolving philosophies and enactment of federal Indian policy is historically the most prevalent, such as that of the Doolittle Committee (l867), Dawes Commission (I894), Hoover Commission (I949), Commission on the Rights, Liberties, and Responsibilities of the American Indian (I96l), Johnson Presidential Task Force (l966), Inter-Agency Task Force, I973, and the like. 70 Despite the shared limitations suggested above, some government sponsored research remains distinctive largely on the basis of their macroscopic approaches. In this century there have been three such studies. The first, The Problem of Indian Administration (I928) [also known as the Meriam Report after Lewis Meriam, project director] was executed by the Institute for Government Research, which would later become the Brookings Institute. This study was the recipient of substantial amounts of private funds, and involved a broad spectrum of specialists who directed their research to the Indian ucondition" in diverse areas such as federal policy, health, education, economic conditions, migration, missionary activities, and law. The recommendations, tailored to improve the Indian Service (later known as the Bureau of Indian Affairs),were' based on survey materials gathered from ninety-four of the one-hundred five agency jurisdictions in twenty states. The Meriam Report was an impetus for a substantive shift in federal Indian policy which culminated in the Indian Reorganization Act of I934 (see Chapter Five). A second distinctive research effort, the Indian Personality and Administration Project, was undertaken at the University of Chicago in l94l. Published as Personality and Government (I95I) in its final form, it generated some twenty-five satellite publications on elements of its findings. The research, which involved over fifty scientists, was a series of case studies designed to assess Indian personality and to suggest, on the basis of a composite profite interpreted in an environmental context, how the Indian Service could shape its policy and programs to improve Indian welfare. 7l _ A third and most recent study was conducted by the American Indian Policy Review Commission (AIPRC) which was established by joint action of Congress in I975. Their charge was straightforward: to conduct a comprehensive review of the historical and legal developments underlying the Indians' unique relationship with the federal Government in order to determine the nature and scope of necessary revisions in the formulation of policies and programs for the benefit of Indians.(PL 93: 580) The Final Report (I977) of the American Indian Policy Review Commission is a compendium of several thousand pages of testimony and documentation compiled in hearings conducted by eleven task forces commissioned by the AIPRC: task force reports and special studies are incorporated into the comprehensive report dealing with federal trust responsibilities, tribal government, structure of Indian affairs, jurisdiction, education, health, resource development, urban and non-reservation Indians, law revision and codification, terminated and non-federally recognized Indians, alcohol and drug abuse, Bureau of Indian Affairs management, and Alaskan Native issues.fl/ The emergent character of government sanctioned research on Native Americans -- both micro and macro in scope -- is decidedly insular with respect to broader spatial and temporal dimensions of an "Indian problem." These efforts, without exception, fail to posit generic links between indigenous groups in the territory of the United States and indigenous groups in the Western Hemisphere On the basis of the trajectory of Western development and its impact on indigenous popuietions. The research of international 72 organizations has generally recognized the debilitating effects of limiting horizons of inquiry to geo-political entities, though their projection of the interrelatedness of macroethnic underdevelopment and hemispheric development is variable. The International Pattern Considered in turn, research on indigenous populations by the Organization of American States (OAS), the International Labour Organisation (ILO), and the United Nations (UN) is considered. The lion's share of materials on indigenous populations has been generated by these supra-national organizationsé/ and a review of their efforts reveals the historical development and substantive foci of these undertakings. Organization of American States The preponderance of activity related to indigenous populations in the Americas has been carried out by what would be known in I948 as the Organization of American States. The VII International Conference of American States (Montevideo, December I933), IV Pan American Scientific Congress (Mexico, D.F., September I935), and the III Inter-American Conference of Education (Mexico, D.F., August I937) all passed resolutions in the contexts of their specific topical interests calling for a broad investigation of Indian life and problems in the Americas.§/ Three separate resolutions of the VII International Conference of the American States (Lima, I938) spoke directly to 73 problems of indigenous groups: resolution XI called for an improvement of the social welfare of the American indigenous population as reparation for the "lack of understanding" which prevailed in earlier periods; resolution XII called attention to the special problems of indigenous women; and resolution XIII recommended that comparative study be undertaken of national strategies for ensuring the well-being of indigenous groups. Further, this latter resolution encouraged appointed delegates to establish an Inter-American Indian Institute.Z/ Resolution X of the Inter-American Indian Conference (Patzuaro, Michoacan, Mexico, April I940) formally created the Inter-American Indian Institute.§/ In addition to those functions relegated to the Inter-American Indian Institute, matters related to indigenous groups continued to surface in other OAS activities. Resolution XXIV of the II Inter-American Conference of Agriculture (Mexico, D.F., July I942) called for the conservation of art and culture of indigenous groups which were vital to the welfare of these populations. The III Inter- American Conference on Agriculture (Caracas, l945) recommended that American countries cooperate to improve the living conditions of rural agricultural workers, including Indians. Resolution XII of the I Inter-American Demographic Congress (Mexico, D.F., October I943) rejected the policy and manifestations of racial discrimination (as unscientific); resolution XXX called for Indian autonomy, the right of Indians to know and live their culture, and the necessity of study in the area of Indian culture and its impact on the development of the Americas. Articles of the OAS charter -- approved at the IX International Conference of American States (Bogota, 74 March-May I948) -- though they do not always specifically single out indigenous groups, espouse general rights and principles which protect indigenous populations which are included as well in the designated functions of affiliated groups, and in the resolutions and charters formed or passed at the same conderance.2/ The Inter-Cultural Council (Mexico, l95l) passed several resolutions calling for investigation into the problems of Indians groups, the improvement of Indian education, assistance in the progressive integration of the Indian into national life, ethEy While hardly exhaustive, these examples typify OAS efforts on behalf of indigenous populations. Such activities continue to the present: a recent instance is the Five Year Inter-American Action Plan approved by the OAS General Assembly (LaPaz, l979)1l/ By and large the focus upon indigenous populations in the OAS has been orchestrated most coherently through the Inter-American Indian Institute. The member countries of the Institute (Argentina, Bolivia, Brazil, Columbia, Costa Rica, Chile, Ecuador, El Salvador, United States, Guatemala, Honduras, Nicaragua, Mexico, Panama, Paraguqy, Peru, and Venezuela) contribute to the Institute's activities and functions, which include conducting and distributing statistics on Indian groups and their well-being in the Americas, developing the technical base of development personnel, providing technical cooperation and coordination to national programs of Indian affairs, as well as various publication and documentation services. Perhaps its most serious responsibility is to act as the Standing Committee for the Inter-American Indian Conferences, eight of which have been I2 . held through l980.-—/ Several hundred conclusions and substant1ve 75 resolutions have been reached at these conferences. By necessity, they cover an extensive range of situations, problems, and strategies which attempt to correspond to the diversity of Indian peoples in the Americas and the individual national programs attendant to indigenous groups. The Inter-American Indian Institute remains the primary locus of international activity for the American states. International Labour Organisation The involvement of the International Labour Organisation with the issue of indigenous populations is noteworthy on two counts. First, study and research of indigenous groups culminated in a comprehensive survey published in I953, entitled Indigenous Peoples: Livipg and Working Conditions of Aboriginal Popglations in Independent Countries.l§/ This document has become the primary reference point for most subsequent work in the area. Second, within the scope of legal provisions on behalf of indigenous peoples, Convention I07, "Convention Concerning the Protection and Integration of Indigenous and Other Tribal and Semi-Tribal Populations in Independent Countries"l§/ is a significant statement of rights of indigenous peoples in 1 international law (see Chapter Five). As early as I926, the ILO Governing Body called for a Committee of Experts to draw up international standards for protection of indigenous workers. The results were four studies by instruments of the ILO: Forced Labour Convention (I930), Recruiting of Indigenous Workers (I936), Contracts of Employment (Indigenous Workers)(l939), and Penal Sanctions (Indigenous Workers) (l939).l§/ 76 The decided focus of the ILO efforts regarding indigenous groups is the Americas. There are clear exceptions: the Preparatory Asian Regional Conference of the International Labour Organisation (New Delhi, October-November I947)l§/ dealt with forced labor in rural areas, plantation labor (particularly problems of laborers of special crops), and problems of aboriginal tribes and untouchable castes in various Asian countries. Generally, however, activities of the various conferences of American States Members of the International Labour Organization formed the basis for the I953 study, Ingigenous Peoples. At the Labour Conference of the American States Which are Members of the International Labour Organisation (Santiago, January I936) information was requested concerning the economic and social welfare of indigenous peoples, as well as initiation of a comparative study to suggest international action in this regard—1]! The Second Labour Conference of the American States Which are Members of the International Labour Organisation (Havana, November-December I939) called for a special study of indigenous workers and special measures which might protect themlg/ [questionnaires were sent to Latin American governments in I940, but replies could not be processed due to the outbreak of war ]. The Third Labour Conference of the American States Which are Members of the International Labour Organisation (Mexico, April I946) established "a committee of experts on social problems of the indigenous populations of the world." Resolution No. 2l commissioned a study to this effect.12/ The Fourth Labour Conference of American States Members of the International Labour Organisation (Montevideo, April l949) adopted a program of action which called for a Committee 77 of Experts on Indigenous Labour to prepare a study of such areas as vocational training, recruitment, social security, handicrafts, safety and health in mines, forest dwelling indigenous populations, and the like.29/ At its Il4th Session (Geneva, March I95l) the ILO Governing Body of the International Labour Office reviewed and accepted the results of the Committee of Experts. Included among the priorities for application of this so-called "La Paz program" was publication of a special volume on the life and work of indigenous populations in independent countries. The resulting Indigenous Populations appeared in I953. The "frame" of Indigenous ngulations is simply put: ". . . the problem of indigenous peoples in independent countries can best be understood in an international context." The "context," however, affords a multinational overview of the status of indigenous peoples without providing the basis for systemic analysis i.e., issues pertaining to generic supranational processes that have had an impact on indigenous peoples are not generally proposed as endemic to the living and working conditions under study. Instead, the loci of underdevelopment are often indigenous peoples themselves: Nevertheless, there are features of the problem common to all such peoples, even when their history shows that some of them differ from the others in that they have, in the past, experienced periods of great economic, social and cultural progress. The most salient of these features are their eo raphical isolation, cultural barriers -- especia y those of linguistic origin -- considerable economic backwardness by comparison with the remainder 6f7the population, the mythical concepts underlying their social organization and ecOnomic activities, inequality of opportunity and the survival of anachronistic economic and 78 land tenure systems that prevent indigenous peoples from fully developing their production and consumption and contribute to perpetuating their inferior social status. (iii,emphasis added) Generally, these are recurrent themes of Indigenous Peoples in its comparative analysis of twenty-seven nations of the Americas, Canada, Asia and Australia. There can be no dispute that it is the most comprehensive review of indigenous peoples attempted to I953. Its range of considerations, under the general rubrics "living conditions" and "working conditions," include demographic characteristics, food, housing, health (alcoholism and cocaism), education, occupations, agrarian systems, vocational training, handicrafts, and the various national and international measures which affect the situations of indigenous peoples. The thrust of this major work, as well as subsequent ILO analysis,§l/ is broadly integrationist: I) the living and working conditions of indigenous peoples reflect only marginal incorporation into the social and economic life of the nations of which they form part; 2) these variable conditions are impediments to the well-being of indigenous peoples as they are impediments to national development;‘ and 3) the common good lies in the vitality of national progress. These points are embodied in Convention IO7 and Reconmendation 104 of the ILO (I957), major contributions to international law regarding indigenous peoples (see Chapter Five). 79 United Nations Efforts and study by the United Nations related to indigenous populations have been sporadic and correspond to discernable phases. The first period, l949-I965, typically involved collaborative research with other world organizations, such as the OAS and the ILO. During the second phase which extends to the present, UN efforts become decidely more concerted, and global in scope. 'General UN resolutions which deal specifically with indigenous questions are infrequent. In I949, the General Assembly adopted resolution 275 (III) (II May I949) which called for an investigation of indigneous peoples of the American States. This work, to be done under the auspices of the UN and the Inter-American Indian Institute (OAS) was never completed, as the resolution was abandoned due to protest of the United Stateshzg/ The following year, the Economic and Social Council passed resolution 3l3 (XI) (24 July I950) which offered assistance, when requested, to raise the standards of living for indigenous peoples in the Americas (with the assistance of other specialized agencies and nongovernment organizations). Generally, such resolutionsgé/ are of similar ilk as the tenor of other major world organizations. For example, the General Conference of United Nations Educational, Scientific and Cultural Organization (UNESCO) (Sixth Session, l95l) passed resolution 322 which is representative: . . to undertake in collaboration with Member States concerned, a critical inventory of the methods and techniques employed for facilitating the social 80 integration of groups which do not participate fully in the life of the national community by reason of their ethnical or cultural characteristics or their recent arrival in the country. Again, the problematic is lack of integration which inhibits a full measure of participation in national life. United Nations activity has also included studies of limited geographic areas or issues, including examinations of forms of labor comparable to slavery,§&/ forms of servitude which prevail among indigenous groups in Latin America,§§/ cocaism,§§/ forest- dwelling Indians in Peru,gZ/ the Andean High Plateau,§§/ and the like. Such activities have involved, in addition to the ILO, the OAS, national governments, and several UN instruments such as the United Nations Educational, Scientific and Cultural Organization, Food and Agricultural Organization, World Health Organization, and the United Nations International Children's Emergency Fund. A second, recent trajectory of UN related to indigenous populations began with an effort to specify the global significance of racial discrimination. This comprehensive study was prompted by a resolution of the Seventeenth Session of the Sub-Commission on Prevention of Discrimination and Protection of Minorities in I965, entitled "Measures to be taken for the cessation of any advocacy of national, racial and religious hostility that constitutes an incitement to hatred and violence, jointly or separately.”§2/ The impetus of the United Nations Declaration on the Elimination of all Forms of Discriminationigl had resulted in several limited studies undertaken by the Sub-Commission in the areas of education, 8l religion, political rights, mobility of nationals, rights of persons born out of wedlock, and administration of justice.§l/ However, the Sub-Commission voiced a need for a more comprehensive treatment of the area of racial discrimination and recommended to the Economic and Social Council that such a study be undertaken. Resolution I076 (XXXIX) of the Economic and Social Council (28 July I965) and resolution 20l7 (XX) of the UN General Assembly (I November I965) endorsed the prospect of a broad examination of racial discrimination in the political, economic, social and cultural fields, and at the Eighteenth Session, in resolution 8 (XVIII) in I966, Hernan Santa Cruz was appointed Special Rapporteur for the study. The Special Study on Racial Discrimination in the Political, Economic, Social and Cultural Spheresgg/ was completed and examined at the Twenty-Third Session of the Sub-Commission in I970, and was subsequently published as Racial Discrimination during the International Year for Action to Combat Racism and Racial Discrimination.§3/ Santa Cruz (on behalf of the Sub-Commission) included in his studf&%/review of national and international measures taken on behalf of indigenous populations. The relative size of indigenous groups as compared to the national populations and the variable extent to which indigenous and colonial institutions, etc. were integrated, had bearing on the degree of discrimination experienced by indigenous groups in nations. Though unspecified, Santa Cruz advocates development programs as a remedy for the prevalent unequal status of indigenous groups: There is no doubt that the policy of racial integration is the most appropriate way of 82 eliminating discrimination against indigenous populations. However, every precaution must be taken to ensure that the process of integration is not carried out to the detriment of the institutions and traditions of those groups and that their cultural and historical values are respected. (para. IO98) No integration policy for indigenous races and populations, whether they represent minority groups or a majority of a country's population, can succeed unless it is accompanied by a policy of economic and social development aimed at achievinga rapid and substantial rise in the living standards of those backward populations. No doubt this applies especially to countries with huge indigenous populations. (para. I099) While Santa Cruz ignores the integration of indigenous peoples into national and world development, which is the source of their "backward" appearance, he should be credited with recognizing the scope of the problem, the complexity of historical and national relations with indigenous peoples, and theinadequaqygenerally of both the existing depository of information and research efforts focused specifically on indigenous peoples as a supranational (macroethnic) consideration. Santa Cruz recommended (para. IIOZ) that a comprehensive study in this area be undertaken. On 2l May l97l, resolution l589(L) of the Economic and Social Council authorized the Sub-Commission on Preventionl of Discrimination and Protection of Minorities to initiate a study of discrimination against indigenous populations. The Study of the Problem of Discrimination Against Indigenous Populations has been underway for'more than a decade, and its preliminary results have not been made public.§§/ The scope of the Study . . . includes both a comprehensive analysis of the problem of discrimination against indigenous populations, and remedies -- 83 national and international -- for eliminating such discrimination. An obvious first task of the Sub-Commission was to define "indigenous populations," a complex exercise which had been attempted by the ILO in its work, Indigenous Peoples (I953). The working definition of the UN Sub-Commission was largely restructured from the earlier ILO definition, and is as follows: Indigenous populations are composed of the existing descendants of the peoples who inhabited the present territory of a country wholly or partially at the time when persons of a different culture or ethnic origin arrived there from other parts of the world, overcame them and, by conquest, settlement or other means, reduced them to a non- dominant or colonial condition; who today live more in conformity with their particular social, economic and cultural customs and traditions than with the institutions of the country of which they now form part, under a State structure which incorporates mainly the national social and cultural characteristics of other segments of the population which are predominant. gg/ The Sub-Comission emphasized several points regarding this definition: I) 2) 3) 4) the study would not be concerned with who the original inhabitants of a region were, if such information is even knowable; "present territory of a country" is preferred to "country" or "nation" because in all likelihood the nation may not have existed at the time of original contact, or an independent community may not have constituted a "state" as it is presently defined, or if a country did exist, it is likely that its territory has changed; the distinctiveness (culture or ethnic origin) of those who colonized and conquered is emphasized to indicate that it was not two indigenous groups in conflict; "by other means" is to include trade and expansionist settlement policies which resulted in "dependence on a 'metropolitan' Power which exploited land, goods and peoples to its own advantage;" gz/ 84 5) contemporary indigenous institutions are not "original“ institutions, but have -- for a number of reasons -- changed in response to their new condition and have incorporated elements of the dominant institutions of a society; and 6) "indigenous," for the Study . . . designates non-dominant groups in non—neutral state structures. The study design relies upon the collection, verification, and analysis of data from a wide variety of governments, world organizations, (ILO, OAS) and non—governmental specialized organizations (e.g., Anti-Slavery Society) from which monographs will be prepared for all member-states of the United Nations who have indigenous populations. Modes of gathering this information include extensive questionnaires§§l and on-site visitations. Topics to be incorporated in the study include general demographic information, basic provisions (Constitutions and laws) concerning indigenous populations, fundamental national policy and administrative arrangements regarding indigenous groups, and the provisions intended to eliminate discrimination in health and social services, housing, education, language, employment and vocational training, political rights, religious rights, and legal assistance. It appears the final document of the Study . . . will be somewhat, encumbered by the persistent problems that have been encountered. The most obvious of these are the delays in publication (several years overdue) which threaten to render some information and usefulness of the study obsolete. Also, the reliance upon governmental support, which has not been forthcoming to the degree hoped for, may well curtail the scope of some national monographs. For instance, at various junctures of the study, more than three-quarters of the member—states responding to the questionnaire denied having indigenous 85 39/ populations, including some Latin American countries.——- Difficulties in operationalizing the definition of indigenous populations partly accounts for this. However, there has been dissatisfaction with the removal of some sensitive areas from consideration by the Sub-Commission, such as southern Africa and the Middle East (particularly the Syrian region of Golan, and Palestinian Arabs in Israel).397 Debates over whom is "out" and whom is "in" have often represented thinly veiled political agendas. There also emerged a view, early in deliberations by the Sub-Commission, that social scientific literature was of marginal utility in establishing the contemporary status of indigenous peoples: Mr. Martinez Cobo has wisely neglected anthropological and sociological writings, most of which served only to confuse the issue. It was important to bear in mind that the question under consideration was a very difficult, ill-defined and perilous one, which had to do with prejudice against peoples who were called “primitive," “savage" and "backward" and were thought to have no history. Such prejudices had been promoted by science and pseudo-science, but they were now being counteracted by a new view of indigenous groups which recognized that they comprised human communities which were just as valid as other types, and not inferior to them. 31/ The effect this might have, if indeed such writings are excluded, will certainly be worth noting. A criticism of the International Labour Organisation's IndigenoUs Peoples is its encyclopedic presentation. Whether the Study of the Problem of Discrimination 86 Against Indigenous Populations is able to integrate the breadth of information into a comprehensive overview of over two hundred million people, distinct and yet sharing in the underside of human development, remains to be seen. 87 Notes I. Macroethnic is derived from macro-ethnos: "The ethnos (ethnic groups) are the operative units of the civilizational process, each of which corresponds to a unique human group united by a common language and culture . . . We can speak of a national ethnos when linguistic, cultural, and national politica boundaries coincide, and of a macro-ethnos when such states expand to incorporate populations of different ethnic origins . . . [When] combined by imperialistic domination in an attempt to amalgamate them into a larger entity, they form part of a macro-ethnos." (Riberio, l968: l9) 2. Report of the Director of the International Labour Office (Geneva; ILO, I939): 56. 3. A comparative discussion of national measures on behalf of indigenous groups is contained in Santa Cruz (l97l): l26-l44. 4. American Indian Policy Review Commission, Report on Trust Responsibilities and the Federal-Indian Relationship; Including Treaty Review (Task Fbrce One), Report on Tribal Government (Task Force Two), Report on Federal Administration and Structure of Indian Affairs (Task Force Three), Report on Federal, State, and Tribal Jurisdiction (Task Force Four), Report on Indian Education (Task Force Five), Report on Indian Health (Task Force Six), Report on Reservation and Resource Development (Task Force Seven), Report on Urban and Non-Reservation Indians (Task Force Eight), Repgrt on Indian Law Revision, Consolidation and Codification, Vol. I-II (Task Force Nine) Report on Terminated and Nonfederally Recoggized Indians (Task Force Ten), Report on Alcohol and Drpg Abuse (Task Force Eleven), Bureau of Indian Affairs Management Study (Warren King and Associates, Inc.), Special Joint Task Force Report on Alaskan Native Issues (Task Forces Two, Four, Seven) (Washington, D.C.: Government Printing Office, I976). 5. It is clear, however, that these organizations are somewhat removed from the orbit of the most critical and comprehensive work currently underway regarding indigenous populations. As an illustration, the Stichting Werkgroep Indianen Projekt, a sponsor of the Fourth Russell Tribunal in Amsterdam in I980 (see Chapter Five) has affiliated chapters in some forty Dutch cities. The Fourth Russell Tribunal received support from seventeen organizations in ten Western European countr1es devoted to research and action on behalf of indigenous populations throughout the world. 6. Carnegie Endowment of International Peace, The International Conferences of American States: First Supplement (Washington, D.C.: I940). 88 Notes (cont'd) 10. 11. 12. 13. 14. 15. 16. 17. 18. Ibid. Pan American Union, Inter-American Specialized Conferences (Washington, D.C.). Carnegie Endowment for International Peace, The International Conferences of American States: 'SeCond Sppplement (Washington, D.C., 1958). Pan American Union, Annals 0f the Orgepization of American ‘States, Volume IV (Washington, D.C., 1952). Organization of American States, Resolutions of the Ninth Regular Session of the General Assembly of the Organization of American States (AG/Res. 422) (the Five Year Inter-American Action Plan (AG/doc. 1102/79)). / / I Inter-American Indian Conference (Patzcuaro, Michoacan, Mexico, April 1940); II Inter-American Indian Conference (Cusco, June-July 1949); III Inter-American Indian Conference (LaPax, August 1954); IV Inter-American Indian Conference (Guatemala City, May 1959); V Inter-American Indian Conference (Quito, Ecuador, October l964)g'VI Inter-American Indian Conference (Patzcuaro, Michoacan, Mexico, April 1964); VII Inter—American Indian Conference (Brasilia, August 1912); and VIII Inter-American Indian Conference (Merida, Yucatan, Mexico, November 1980). International Labour Organisation, International Labour pyganigggion Studies and Reports, New Series, No. 35 (Geneva: International Labour Organisation, General Conference of the Internat1onal Labour Organisation at its Fortieth Session, 228J366 I957, Treaty Series, Vol. 328 (Geneva: ILO, 1957): International Labour Conference, Conventions and Recommendations, 1919-1949 (Geneva, ILO 1949); and International Labour Organisation, The International Labour Code 1951 (Geneva: ILO, 1952). International Labour Conference, Record of Proceedings (Geneva: ILO, 1948). International Labour Conference, Record of Proceedings (Geneva: ILO, I936). iflgerpgggnal Labour Conference, Record of Proceedims Montreal: 89 Notes (cont'd) 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. International Labour Conference, Record of Proceedings (Montreal: ILO, I946). Internatienal Labour Conference, RecOrd of PrOCeedings (Geneva: ILO, I951 . International Labour Conference, Thirty-Ninth International Labour Conference, Report VIII (1), Living,and Working Conditions of Indigenous Populations in Independent Countries (1956) [reprinted, Greenwood Press, 1974]. Bennett (1978) briefly reviews this event. See also United Nations, OffiCial Records of the Economic and Social Council, Ninth SessiOn, 320th Meeting (Geneva: UN, 1949): 537. There are more recent resolutions which pertain to indigenous peoples, such as General Assembly resolution 2497 (XXIV) (28 October 1969) which is designed to ensure that education in countries under foreign rule is responsive to the traditions (culture) of indigenous populations. Reports by the Ad_Hoc Committee on Slavery to the Economic and Social Council in 1950 and 1951: see report by the Secretary General on the matter, Thirteenth Session of Economic and Social Council (E/2123; E/AC.33/R.lI-I4). See resolution 350 (XII) of Economic and Social Council (19 March 1951). United Nations, Narcotics Commission of the Economic and Social Council, Report of the Commission of Enquiry on the Coca Leaf (E/1666; E/CN.7/AC.2/l), 1950. United Nations Educational, Scientific and Cultural Organization,-~ Informe sobre el Huallaga (Lima, Peru, Organismo coodinador de la Hilea amazdnica peruana, 1950). United Nations and Specialized Agencies Joint Field Mission on Indigenous Populations. See International Labour Organisation, 'The Andean Prggremme (Geneva, 1958); also E. Beaglehole, “A Technical Assistance Mission in the Andes," nternetignel 'Labour Review, Vol. 67 (I953): 521. E/CN.4/882, para. 378. Resolution 1904 (XVIII) of the General Assemby of the United Nations, 20 November 1963. 90 Notes (cont'd) 31. 32. 33. 34. 35. 36. 37. 38. 39. 40. United Nations, Economic and Social Council, Commission on Human Rights, Sub-Commission on Itevention of Discrimination and Protection of Minorities, Stpdy of Discrimination in Education (E/CN.4/Sub.2/l8l/Rev.l), 1957; Study of Discrimination in the Matter of Religious Rights and Practites (E/CN.4/Sub.2/200/Rev.l), 1960; Study of Discrimination in the Matter of Political Rights (E/CN.4/Sub.2/213/Rev.l), 1962; StUdy 0f Discrimination in Respect of the Rights of Everyone to Leave apy Country, Including His Own, and to Return to His Country (E/CN.2/Sub.2/2207Rev. I), 1963; Study of DisCrimination Against Persons Born out of Wedlock(E/CN.4/Sub.2/265/Rev.l), 1967; and Study on Eguality in the Administration of Justice (E/CN.4/Sub.2/296/Rev.l): 1972 (Geneva). E/CN.4/Sub.2/307. Resolution 2646 (XXV) of the General Assembly of the United Nations, 30 November 1970. The mechanics of the study, including general discussions of its preparation and data, are contained in Annex I and Annex II of the text (E/CN.4/Sub.2/307/Rev.1). The specific sections directly relevant to examination of indigenous populations are Chapter IX, "Measures Taken in Connexion with the Protection of Indigenous Peoples" (E/CN.4/Sub.2/307/Add.2, para, 340-536),and Chapter XIII, "Conclusions and Proposals" (E/CN.4/Sub.2/307/Add.5, para. 1094-1102). Some documents, intended for limited distribution, have been obtained. One of these is the preliminary Chapter XIII, "Language" (E/CN.4/Sub.2/L.732) presented at the Thirty-third Session of the Sub-Commission on Prevention of Discrimination and Protection of Minorities, 22 July 1980. E/CN.4/Sub.2/L.566, para. 34, 29 June 1972. Ibid., para. 41. For the text of the outline used for the collection of information, the response of the United States, and a retort to the U.S. American Indian Law Center, American Indian Law Newsletter, Vol. 7, No. 11 (1974). If such information specifying which countries deny heving Tidigenoius peoples is available, it is lim1ted-d1str1bution material and unavailable to the author. See, for instance, the exchange between Al-Zahwi and Khalifa, Twenty-eighth Session of the Sub-Commission on Prevention of Discrimination and Protection of Minorities (E/CN.4/Sub.2/ SR.728, at 127) 3 September 1975. 91 Notes (cont'd) 4l. Bouhdiba, Twenty-fifth Session of the Sub-Commission on Prevention of Discrimination and Ftotection of Minorities (E/CN.4/Sub.2/SR.651, at 11) 24 August 1972. CHAPTER FIVE THE SOCIO-HISTORICAL CONTOURS OF LAW The 1968 Indian Civil Rights Act (ICRA), or any instant of federal Indian law, draws its significance from the historical complexion of ethnic relations within a framework of sociocultural development and underdevelopment. Foregoing chapters have suggested how federal Indian law might be contextualized, within considerations of the nature of imposed law, the process of historical incorporation, and selected research on the contemporary problems of indigenous populations. Chapter Five will supplement these previous discussions by staking the enactment of the Indian Civil Rights Act to l) the development of international law regarding indigenous peoples, 2) federal Indian law and policy, and 3) the legislative history of the ICRA. The intent here is not to engage in comprehensive review of these topics: the literature in these areas is established and does not need to be reproduced for purposes of the present inquiry. Instead, a broad overview is sufficient to indicate the relatedness of the Indian Civil Rights Act to national and international deveIOpments in law pertaining to indigenous peoples. International Law The early period of contact between European ethnic groups -- particularly the Spanish -- and indigenous peoples of 92 93 the Americas was characterized by the salvationist expansion of the former and decimation of the latter. A theory of natural slavery formed the substance of Spanish foreign policy in the New World, that is, peoples who were by nature feeble minded and incapable of directing their own affairs must necessarily be enslaved. Enslavement would accomplish both the spiritual salvation of Indian peoples, and would assist in the development of European peoples. This latter objective, though clearly less articulated than the former, was nonetheless codeterminantl/ The'Reduerimiento, read to Indian peoples before the Spanish would begin an attack, reviews the consequences of resisting the sacred obligation of the colonizers: Therefore as best we can, we ask and require you . . . that you acknowledge the Church as the Ruler and Superior of the whole world and the high priest called Pope, and in his name the King and Queen Dona Juana our lords, in his place, as superiors and lords and kings of these islands and this Terra-firma by virtue of the said donation . . . If you do so, you will do well . . . But if you do not do this, and wickedly and intentionally delay to do so, I certify to you that, with the help of God, we shall forcibly enter into your country and shall make war against you in all ways and manners that we can . . . we shall take you and your wives and your children, and shall make slaves of them, and as such shall sell and dispose of them as their Highnesses may command; and we shall take away your goods, and shall do all the harm and damage that we can, as to vassals who do not obey, and refuse to receive their Lord, and resist and contradict him; and we protest that the deaths and losses which shall accrue from this are your fault, and not that of their Highnesses, or ours, nor of these cavaliers who come with us. g/ 94 The "Indian problem" emerged as the legal questions related to intervention in the New World were proposed. The New World was characterized as l) terra nullius, unowned land available for use and exploitation, and 2) inhabited by peoples of inferior civilizations incapable of managing themselves. Competing European interests, particularly those of the Spanish and Portugese, were mediated by the pope and the Treaty of Tordesillas which divided the New World into Spanish and Portugese enterprises. The legal status of indigenous peoples was defined in this context. Francisco de Vitoria,§/ advising the emperor of Spain on rights in the New World in 1532, concluded that the mere fact of discovery by the Spanish conveyed no title for land -- the divine rights of the pope and emperor, and the lack of Faith and sinfulness of the Indian peoples, notwithstanding: Indian peoples "were true owners, both from the public and the private standpoint . . . the discovery of them by the Spaniards had no more effect on their property than the discovery of the Spaniards by the Indians had on Spanish property."5/ According to Vitoria, only a just war waged against the Indians, for violations of the natural rights of Spaniards, would give Spain rights to title based upon conquest. However, title and sovereign power could be attained, he said, through treaties. The assertion of Indian title by Vitoria was generally ascribed to in the ensuing development of international law, and can be expressed in three conditions of treatying: I) That both parties to the treaty are sovereign powers;2) that the Indian tribe has a transferable title of some sort to the land in question; and 3) that the 95 acquisition of Indian lands could not be left to individual colonists but must be controlled as a governmental monopoly. §/ Such early developments, which are said to form the basis of international law,§/ are consistently characterized as being emancipatory (for recipients) in nature i.e., recognition of indigenous title and the obligation to treaty with political equals is said to have tempered the intensity of conflict between ethnic groups. In point of fact, however, the ensuing relations between European ethnic groups and indigenous peoples in the Americans clearly indicated the consistent, methodical erosion of Vitoria's ideal in the development of international law (between European nations, and between European nations and indigenous peoples). The continual, purposeful incursions into the sovereignty of indigenous peoples differed in intensity at specific historical junctures due to the uneven development of European groups and underdevelopment of Indigenous populations: in the main, however, a clear pattern emerges. The exposition of this pattern in U.S. federal Indian law will be noted. As a projection of European development, international law has been instrumental in defining the locus of the "Indian problem," and the modicum of behavior (variably sanctioned) of colonizers consistent with such national development. Treatying presupposed both the existence of a state among indigenous peoples with whom to treaty, and a transferable title to territory which was used, but not owned. While the dicta of international law (e.g., e_l Vitoria) may appear satisfied during 96 some historical periods, it is crucial to delve beyond mere appearances to propose the expediency of international law for national development. For instance, the Swiss legal scholar Emmerich de Vattel concluded in 1758 that the gse_of land should have a bearing on its title. Lands, inhabited by wandering peoples whose numbers and needs relative to the mass of area they occupied were insignificant, can be expropriated: We have already said, that the earth belongs to the human race in general, and was designed to furnish it with subsistence: if each nation had resolved from the beginning to appropriate to itself a vast country, that the people might live only by hunting, fishing, and wild fruits, our globe would not be sufficient to maintain a tenth part of its present inhabitants. People have not then deviated from the views of nature in confining the Indians within narrow limits. Z] This rationale became important in federal Indian policy regarding the removal, by treaty or force, of Indian tribes from the southeastern U.S. to west of the Mississippi. This involved an issue of progress: progress for Indians was their continued civilization as a consolidated unit in the west, and progress for white settlers was the resolution of land shortages in the south, and assertion of state jurisdiction impeded by the presence of Indian tribes over whom the federal government exercised jurisdiction in southern states. Forceable removal was one mechanism for expediting two disparate forms of "development." The foregoing points are not to suggest that the total complexion of international law is repressive regardingindigenous 97 peoples: there have been historical interludes where international law, and national law and policy, have stymied -- if only momentarily -- the methodical underdevelopment of indigenous peoples which such law embodies. The Indian Civil Rights Act is characterized by such contradictory emancipatory and repressive impact. However, in general international law projects the interests of agent-nations concerning their development which have historically been opposed to the interests of indigenous populations in their own autonomous development. In the modern era, characterized by the uneven incorporation of indigenous peoples into unevenly developed state structures, the complexion and impact of international law is variable. This can be illustrated from an ILO convention and the proceedings of the Fourth Russell Tribunal. The heart of modern international lawgl regarding indigenous peoples is Convention IO7 (Convention Concerning the Protection and Integration of Indigenous and Other Tribal and Semi-Tribal Populations in Independent Countries) and the supplementary Recommendation 104 (Recommendation Concerning the Protection and Integration of Indigenous and Other Tribal and Semi-Tribal Populations in Independent Countries), which were chartered by the International Labour Organisation in 1957 (see Appendix I for full texts).2/ The tenor of these instruments is apparent in the continual references to the goal of integration of indigenous peoples into national life. While the terms of integration are to be responsive to legitimate indigenous values, behaviors, and institutions (e.g., religion, customary law) special national protections for indigenous groups are felt to encourage dependence 98 and ultimately to impede the development of indigenous peoples yitpig_the dominant nation-states. The locus of responsibility is the national government which is to plan the program of integration, the pace of integration, and the extent of incorporation of indigenous groups in national development. Despite hosts of qualifications which speak to the integrity of indigenous peoples, the ultimate consideration appears to be their assimiliation. Article 24 is quite explicit in this regard: The imparting of general knowledge and skills that will help children to become integrated into the national community shall be an aim of primary education for the populations concerned. Generally, the Convention defers to national development, or rather, seeks to establish a modicum of behavior, adjudged humanitarian, that allows nations to deal with impediments to national development. The provisions for expropriation of land (Article 12) are instructive in this regard: I. The populations concerned shall not be removed without their free consent from their habitual territories except in accordance with national laws and regulations for reasons relating to national security, or in the interest of national economic development or of the health of the said populations. 2. Which in such cases removal of these populations is necessary as an exceptional measure, they shall be provided with lands of quality at least equal to that of the lands previously occupied by them, suitable to provide for their present needs and future development. In cases where chances of alternative employment exist and where the populations concerned prefer 99 to have compensation in money or in kind, they shall be so compensated under appropriate guarantees. 3. Persons thus removed shall be fully compensated for any resulting loss or injury. These are very similar to rationales for the forced removal and relocation of indigenous peoples in the territorial United States, which restated from the ILO Convention, appear as follows: -Federal Indian law is plenary; mutual consent between the federal government and Indian tribes is not required. -National security interests (for protection of colonists and settlers from Indians; for the protection of Indians from colonists and settlers; pacification of tribes resistent to domination) are served by the removal and relocation of Indian tribes and alienation of their land irrespective of their choice. -National economic development interests (expansion of colonization westward; contemporary energy development, etc.) are served by the removal and relocation of Indian tribes and alienation of their land (including inability to control use of their land) irrespective of their choice. -Renumeration and compensation (land, royalties, etc.) are deemed appropriate to the economic and political status of indigenous groups relative to the larger national political and economic system (which is the source of their underdevelopment). Generally, much of the U.S. history of federal incursion into indigenous life can be defended as within the parameters of acceptable conduct of Convention 107. The discretionary power of national governments is seemingly boundless, particularly when one considers the implications of Article 28: 100 The nature and scope of the measures to be taken to give effect to this Convention shall be determined in a flexible manner, having regard to the conditions characteristic of each country. In addition to the instruments of the ILO, there are a variety of other international agreements and covenants which, though not as narrowly focused upon indigenous peoples as Convention 107, are interpreted to have direct relevance for such populations. These may be illustrated by briefly reviewing their use in the recent proceedings of an international tribunal.lg/ The Fourth Russell Tribunal, held in Rotterdam in November, 1980, was assembled to consider alleged violations of rights of indigenous peoples of the Americas. Jointly sponsored by the Stichting Werkgroep Indianen Projekt (Amersterdam) and the Russell Peace Foundation (London), the Tribunal considered a total of forty-five cases representing twelve nations of the Americas. The range of substantive concerns was very broad, including land rights, mineral rights, genocide, ethnocide, and forced labor. The international jury heard fourteen cases, including presentation of witnesses, exhibits, and expert testimony. For each of these cases, the jury issued an opinion and cited violations of international law. Figure 3 presents, in descending order of frequency cited by the Tribunal, the various instruments of international law and their specific (generally summarized) provisions applied to indigenous peoples in the Americas. The Fourth Russell Tribunal is indicative of the recent intensification of activities on behalf of indigenous peoples. As noted in Chapter Four, the forthcoming Unitediations study Figure 3 Violations of International Law C I It. 4:4,.” lhlmul Declaration I! lI-an [ml-ls (l94l) Ilelsln“ TIMI kl ("75) General Aug-Idol] lesolut Ion (Pei-amt Sovereign Over lawn! humanly-2) m1 (Ii-valuin- m "i! 'revenllnn ml rum-ml nl the ("In of Genocide (IMO) the I United Nations (hauler (I945) Convention I07 (WEI) l02 of discrimination against indigenous populations will be comprehensive and may itself become the impetus for additional provisions in international law directed to the problems of indigenous groups. There is an apparent dissatisfaction with the underlying “integration” theme of Convention l07, evident in the work of the Russell Tribunal, and made most explicit in the Final ResolUtion of the International Non-Governmental Organizations' Conference on Discrimination Against Indigenous Populations. This NGO conference (1977), which drew representatives of indigenous groups from most States of the Americas, concluded that the instruments of international law impeded the development of indigenous peoples by assuming that integration into national life was a remedy to their problems, instead of a source of unequal development.* Whether these and like activities will contribute to a non-marginal shift in the trajectory of international law is unclear. The tendency to view the problems of indigenous peoples as supranational, and the increased direct involvement of these populations in international activities on their own behalf, are encouraging recent developments. The somber point remains, however, that international law embodies a historical itinerary of expansionary development. This corpus of law, for all its attention to human rights, can only project the substantive forces of such development which maintain a historical continuity and which incorporate periodic, marginal interruptions (e.g., human rights law) to mitigate the glaring contradictions of human underdevelopment. *The text of the Final Resolution, the Declaration of Principles ' for the Defense‘offthe'Indigenous'Nations‘and Peoples of the western'Hemisphere of the NGO conference, and the Declaration ' of’Indigenous Peoples of the Fourth Russell Tribual are attached in Appendix I. 103 Federal Indian Law The development of federal Indian law and policyll/ may appear inconsistent if not arbitrary. Major pieces of legislation seemingly convey a favorable intent regarding relations with Indian tribes, while other enactments clearly undermine such intent. The historical evolution of federal Indian law (the corpus of treaties, statutes, court cases, opinions of the Solititor, etc.) and federal policy (expedient conduct) is guided by dynamics similar to those noted in the previous section on international law. Federal Indian law and policy is a series of developmental consistencies i.e., there is relative continuity in the elaboration and impact of law and policy which erodes tribal sovereignty and jurisdiction. This progressive erosion, then, is a principle feature of the development of federal Indian law and policy. Hence, specific laws and policies are said to be developmental consistencies with respect to their contribution to such eroding processes. However, the development of federal Indian law and policy has been uneven, not unlike the development of most sociocultural formations. A developmental process spawns contradictions (inherent in uneven evolution) which, if not incorporated or mitigated in some way, may curtail or terminate development in a particular trajectory. With respect to the development of federal Indian law and policy, the results of such contradictions are disjunctive interludes. These interludes in development are marginal to the extent that they only retard the developmental process (they may slow the erosion of sovereignty): they do not reconstruct development nor alter its course significantly. 104 While a law may appear to restore tribal sovereignty, for instance, there is ample consistency in the subsequent elaboration of federal Indian law and policy to overshadow a momentary retrogression. There are few clear and absolute distinctions between developmental and disjunctive tendencies, as the history of national development and indigenous underdevelopment (which are causally linked) projects them both in federal Indian law and policy. An overview of a subset of major legislative acts illustrates this complexity. Federal Indian law and policy is rooted to the development of legal relations between European colonizers and the indigenous peoples of the Americas. As has been noted, these developments were uneven and differentially affected Indian populations. For instance, by the time of the American Revolution, Spain, England, France, Holland, and some British colonies had forged treaties or alliances with indigenous peoples in the present territory of the United States, regarding tribal groups as sovereign political communities. In the central and southern Americas, however, the Portugese and Spanish penetrated with relative impunity, seldom constrained by considerations of the legal status of the peoples they affected. Several factors account for such a difference. Ribeiro (197l) notes the fundamental characteristics of European ethnic groups and indigenous peoples which had an impact on the form and substance of colonization. Additionally, the area of the United States was not the reserved domain of any single European interest (as was more the case in Spanish and Portugese territories) and the competition between European nations (and ultimately, the colonies) for territory, trade, etc. made friendly relations with Indian groups imperative. 105 As perhaps the cornerstone of federal Indian law,lg/ the Northwest Ordinance of I78713/ provided that: The utmost good faith shall always be observed towards the Indians; their lands and property shall never be taken from them without their consent; and in their property, rights, and liberty they shall never be invaded or disturbed, unless in just and lawful wars authorized by Congress; but laws founded in justice and humanity shall, from time to time, be made, for preventing wrongs being done to them, and for preserving peace and friendship with them. (Article 3) This expression of Congressional intent is said to have guided legislative enactments during the formative years of federal Indian law and policy. The Trade and Intercourse Acts (1790, I793, T796, l799, l802, 1834) which complement treatymaking, indicate various methods of operationalizing this intent. The first of these Acts (l790)lfl/ provided for the mandatory licensing of all those who traded with Indian groups, invalidated all purchases of Indian lands except those transactions governed by treaty with the United States, and directed that all crimes committed by whites against Indians in Indian Country be punished in the same manner as if the crimes had occurred outside of Indian territory. This temporary Act was amended by another in l793l§/ which incorporated several new provisions. These prohibited settlement on Indian lands, and empowered the President to remove such settlers, provided regulations for horse trading and stipulated penalties for horse thieves, prohibited Indian affairs employees from having an interest in Indian trade, provided for the delivery of various goods and 106 services to tribes, and declared that states shall not act to restrict the trade of Indian tribes. The temporary Act of l7961§/ added a detailed description of Indian Country,lZ/ prohibited driving livestock onto Indian lands, required passports for travel into Indian territory, and directed the punishment of any tribal member who enters a state or territory jurisdiction and commits one of several designated offenses. The Act of l799l§/ included only minor adjustments to the Act of I796. These four temporary acts of the l790's were incorporated into permanent legislation in 180212}. In addition to the general outline of regulations which preceeded it in the temporary measures, the 1802 Act provided the President with the power to restrain the distribution of liquor in Indian Country. Considered in toto, these five Trade and Intercourse Acts regulated relations with Indian tribes and generally reproduced the intent of the Northwest Ordinance of T787. They indicate, by virtue of their specific provisions, problems regarding interaction of indigenous peoples and settlers. A host of factors, directly related to national development, were to substantively shift federal law and policy as it applied to Indians. A thirst for agricultural land, westward expansion, and the opinions of some that interaction with whites was destroying the autonomy (legal and cultural) of Indian tribes anyway, all resulted in measures to effectively assimilate indigenous peoples, or remove them to west of the Mississippi, or both. The Indian Removal AthQ/ embodied these considerations. The Act provided that federal lands west of the Mississippi be exchanged for Indian lands in the eastern United States. The Act was designed to be 107 voluntary and provided that land of equal quality was to be exchanged, and that federal protections would be extended to the new Indian settlements. The Act was less innocuous in intent than in practice. The "voluntary“ accession of eastern lands were often secured through bribery of tribal officials, treaties with non- representative tribal "leaders," etc. The results were disastrous for many tribes: movement west brought about general deterioration of health and many deaths, the fragmentation of some tribes (portions stayed in the east while other portions traveled west), and general undermining of political and social structures of tribes. These effects appear contradictory to law,gl/ but were often consistent with the intent of policy, in this case, to unencumber development in the southeast and to foster westward expansion. The last of the Trade and Intercourse Acts in 183422] echoed much of the substance of the earlier 1802 Act which was not obsolete (e.g., a new definition of Indian Country reflected the treaty cession since 1802), beefed-up the system of control over traders, relaxed the requirement of a passport for entry into Indian Country, and provided for extended provisions dealing with the prosecution of crimes. By the mid-nineteenth century, the expansion of settlement west had accelerated significantly with the establishment of railroads, discovery of gold, Mexican cession (1848), and the like. Such events were to have direct bearing on law and policy affecting indigenous peoples. Some argued that treatying had become too burdensome for the federal government, and that the assimilation of Indians was impeded by negotiating with them 108 as nations. Tribes were, as the argument went, increasingly dependent. The issue of utilization of land was fodder in these criticisms of treaty-making: “The idea of thirty or forty thousand men owning in common what will furnish homes for five or ten millions of American citizens, cannot be tolerated."g§/ The Appropriation Act of 187125/ ended the treaty system: No Indian nation or tribe within the territory of the United States shall be acknowledged or recognized as an independent nation, tribe, or power with whom the United States may contract by treaty . . . Congress was no longer required to negotiate, but could now legislate unilaterally to Indian tribes. This "breach“ in posture regarding the legal status of tribes (from sovereigns to dependent wards) was an expression of changes in objective conditions. As has been pointed out, the balance of power -- measured in terms of military strength (include here the loss of English, French and Spanish Indian allies) and relative population size -- had undergone a complete transformation since shortly after the War of 1812. Market conditions had changed as well. Where Indians had made a significant contribution to U.S. trade by the goods extracted from their lands (e.g., the European fur trade), these lands and minerals were more profitable in the direct control of non-Indians. Tribes, once independent on lands suited for self-sufficiency, were dependent upon federal annualties after having divested themselves (or having been divested of) lands, and being congregated on reservations. 109 Two statutes of the 1880's further illustrate the depreciated value of tribal status. The much publicized decision of Ex Parte Crow Dogg§l held that the murder of one Sioux by another Sioux on a reservation was not within the criminal jurisdiction of any court except of tribal determination. Congress reacted to this upholding of tribal law and passed the Seven Major Crimes Actgé/ in 1885 which enumerated seven crimes which were to be the exclusive jurisdiction of federal courts, regardless of whether offender and victim were Indian.zZ/ The General Allotment Act of l887g§/ (Dawes Act) is perhaps the most significant legislation of the nineteenth century. The chief proposals of the Act were to grant land to tribal members (160 acres to each family head, 80 acres to each single person over eighteen and to each orphan under eighteen, and 40 acres to each other person under eighteen), issue a patent in fee to each allottee to be held in trust by the federal government for twenty-five years (land could not be sold or encumbered during the trust period), allow a four year period for Indians to make selections