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OCR for page 559
Appendix A
Notes on Methodology, Definitions, and
Needed Data and Research
A CLARIFICATION OF SOME PROBLEMS AND CONCEPTS
MEASUREMENT
In the task of sorting out and evaluating a large set of diverse measures
and indicators of conditions and their changes, many of the most interesting
questions involve ~li~cult problems of scientific inference. How does one
estimate the outcomes of political participation' What definitions and meas-
ures should be used to evaluate changes in the economic status of blacks,
What factors should be considered in an evaluation of the fairness of the
nation's criminal justice system' Hundreds of such choices underlie the text
of this volume.
As we noted in Chapter 1, the committee's work involved four tasks:
1. ver~cat~on: critical checking of facts and analyses;
2. extension: widening of scope and elaboration of analyses;
3. discovery: funding new knowledge; and
4. assessment: evaluation of significance and implications of data and
analyses.
Verification involves not only ascertaining the validity of evidence, but also
updating: that is, bringing forward historical series of data into the present to
determine their continuing validity.
Our extension involves bringing into a single report a wide range of com-
plex evidence, linking together economic and political changes with changes
in family structure, residence, health, and organizational and community
life. We found that many widely accepted generalizations are misleading,
and we often had to disa,g,gre~ate national data to see important differences
among regions of the country, among individuals and families, and among
other demographic groups, such as those based on age, sex, or education.
559
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A COMMON DESTINY: BLACKS AND AMERICAN SOCIETY
Discovery of new knowledge has been sought primarily by reanalysis of
data, as in our study of the changing income distributions of black men and
women compared with white men and women (Chapter 6~. Occasionally,
we found no adequate data available and had to collect new information, as
in the work that led to our discovery of the many organized self-help
activities in black communities (Chapter 4~.
Assessments of significance and of implications cannot be simple extensions
of analysis; they must integrate empirical findings with knowledge of the
broader sociocultural setting and with interpretations of values and potential
policy options.
As these comments suggest, the study confronted challenging technical
problems in measuring or indexing changes in the status of black Americans;
not the least has been the problem of defining what we mean by "status."
MEANING OF STATUS
In common parlance, status most often refers to a person's or group's
relative social position within a hierarchical ranking. The rules governing
rank order, formal or not, will usually be greatly determined by the specific
contextual situation reflecting the values, norms, and institutions of a soci-
ety. Intuitively, status means nothing more or less than this.
We might initially pose the question: Whose conception of status' Unfor-
tunately, there exists no universal and unchanging conception of status
suspended in the human imagination like a platonic form. The idea of status
in this report must be more flexible and amenable to alternative values and
beliefs.
Five conceptual dimensions of social status are of interest to this report:
(1) social science indices of status variables; (2) white perceptions of black
status; (3) black perceptions of black status; (4) black perceptions of white
status; and (5) white perceptions of white status. Studies of black status too
frequently discuss (1) and (2) exclusively. Omission of the last three aspects
of status is a serious error: (3) and (4) are especially important because they
represent a crucial and frequently cited criticism of Myrdal's (1944) monu-
mental study. Myrdal's analysis of black status basically discussed external
factors and circumstances as if they affected the black community in a vac-
uum. Virtually no important role was given to the crucial part played by
black input and autonomy in spurring black progress and the formation of
independent black institutions.
Black status is the creation of American social institutions and the race
relations that have developed within that institutional structure. Social indi-
ces of black status are concrete representations of that status. As such,
measurable status indices are the primary objects of our analysis, and their
study encompasses most of the material presented throughout the report.
However, beliefs and attitudes-perceptions-are also important in a study
of group status. People's attitudes and beliefs about one another are impor
560
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APPENDIX A
tent consequences of the structure of society and its race relations, as well as
major determinants of race relations.
One approach to defining status is to simply describe an array or composite
of the kinds of statistical indices of status commonly used by social scientists.
Average income, education, and deaths per 1,000 population are measures
of various aspects of status. But in addition to obvious technical problems
What do we mean by the average? Should we measure educational status by
mean or median attainment levels' Should some other statistic be used
altogether?-there is a general index problem. Educational status should refer
to scholastic achievement and enrollment rates as well as to years of attain-
ment. Other areas have similar problems. There exists a plethora of dimen-
sions of status indices about each general area discussed in the report.
When we say that status has improved or deteriorated what exactly do we
mean? It is fine in the detailed presentation of facts offered throughout this
report to give a descriptive analysis of a long list of status measures, some of
which will have improved and some of which will have shown no improve-
ment. But in our final assessment this will not do. Readers-and we-still
want to know: What has happened to black status?
There is no complete answer to this question. No composite measure of
status serves as an index that will allow a single statement of this sort to be
made. Our resolution of the problem is our major findings (see Summary
and Conclusions). A major finding is a statement that is true for a wide
variety of different measures and dimensions of status. Their usefulness, of
course, depends on their generality-the more status measures included un-
der a statement the more useful it becomes. The use of this concept does
not allow us to make a single statement assessing black status, but it does
classier questions concerning black status into two categories: those that are
consistent with our major findings and those that are not. A discussion of
these categories and the major findings then allow an intelligent and not too
oversimplified assessment of the status of black Americans.
RACIAL ATTITUDES
In the broadest sense, racial attitudes involve any thoughts, beliefs, and
feelings concerning blacks and whites as groups, as well as orientations to-
ward appropriate relations between the two groups. Less globally, racial
attitudes refer to consistent tendencies toward positive or negative evalua-
tions of racial groups, their characteristics, and such aspects of intergroup
relations as integration, equal treatment, and nondiscriminatory behavior.
By and large we must infer the existence of these attitudes on the basis of
replies to questions asked of sample survey respondents or of subjects in
laboratory experiments. In some instances, we discuss studies that infer
attitudes on the basis of systematic behavioral observations. And, we infer
attitudes on the basis of opinions expressed in sources such as newspapers,
books, other documents, and lectures. For all of these cases, it is important
561
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A COMMON DESTINY: BLACKS AND AMERICAN SOCIETY
to note that we are working levity indicators of the attitudes, rather than
directly measuring the underlying attitudes themselves.
There are several specific reasons for our concern with racial attitudes and
beliefs. On the most general plane, Americans' attitudes about the "color
line" can be understood as a test of their commitment to democratic values.
Tolerance, equality, and respect for minority rights are all core democratic
values. Indeed, Myrdal premised his basic analysis of-and his optimism
regarding American race relations on the sharp contradiction between these
enduring values and the discriminatory treatment accorded blacks. Although
there are reasons to question the extent to which most Americans experi-
enced psychological anguish over the "American dilemma," there is no
doubt that the character of racial attitudes and related behaviors reflects on
the success of American democracy.
Racial attitudes and beliefs are also important elements of the general social
and political climate. Prevailing norms on race can either strongly discourage
prejudice and discriminatory behavior or they can encourage such patterns
of thought and action. Those who lack strong prejudices may behave in a
discriminatory manner if most of their peers expect or demand such behav-
ior. Similarly, those who harbor animosities may refrain from acting on their
inclinations if society condemns them for doing so. The prevailing norms on
black-white relations are thus aspects of the broader social fabric to which
people all must adapt in some way. Studies of attitudes and beliefs provide a
key source of information on such norms.
More concretely, however, the underlying preferences of the public are
not without consequences for policy making. The will of the people is
supposed to rule in a democratic society. However, public opinion on many
issues is often unfocused, contradictory, and therefore not readily mobilized.
Public opinion must also be mediated through the actions of elected and
appointed officials at various levels of government. Yet, when public opinion
on an issue is well crystallized, and when there is an overwhelming or
growing majority for some issue position, it is likely that policy will in some
form come to reflect those mass preferences. This process appears to operate
for all policy issues, not just black-white issues. At minimum, it is difficult
and costly, in practical terms and in terms of maintaining political legitimacy,
for government to implement policies that large segments of the population
oppose. Thus, it is important to assess the preferences of blacks and whites
^ I idyllic he much nr~f~r~nces nlav a role. even if indirect, in policy
=~ ~`L`` I EVE - rat r--~
making.
Although attitudes, underlying feelings, and beliefs influence individual
behavior, the relationship between attitudes and behavior is seldom one-to-
one. Social norms, as noted above, as well as other situational constraints
such as laws, expected costs and benefits, and psychological considerations-
the intensity of feelings associated with an attitude-affect whether or not an
attitude influences a person's behavior. One cannot argue, however, that
underlying attitudes bear no relationship to individual behavior. The rela
562
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APPENDIX A
tionship between attitudes and behavior is complex, yet attitudes are one
important guide to a person's likely behavior.
Prior efforts to assess the status of black Americans, whether focused on
particular cities (Clark, 1965; Drake and Cayton, 1945; DuBois, 1899) or
the nation as a whole (Cox, 1948; Johnson, 1930; Myrdal, 1944; National
Advisory Commission on Civil Disorders, 1968), have attempted to under-
stand the sources, character, and consequences of racial attitudes. DuBois
recounted a number of incidents in which individual whites, either in re-
sponse to social expectations or, more often, their own underlying attitudes,
discriminated against blacks (1899:322-355~. He argued that "color preju-
dice" contributed to the difficulties blacks faced in getting and keeping jobs;
in raising their children in a hostile social environment; and in the ever-
present potential for social rebuffs and ostracism.
Johnson, recognizing race as one of many possible bases for group differ-
entiation, traced "race prejudice" to the recognition of group boundaries,
especially as such boundaries had been linked to economic and status com-
petition (1930:355-362~. In a similar vein, Drake and Cayton's analysis of
the "color line" emphasized the consequential, yet complex interweaving of
folk prejudices, economic interests, and social status concerns (1945:266-
276~. Myrdal placed a number of subjective variables, such as valuations and
beliefs, at the center of his work. All of these scholars thus recognized the
importance of formulating an understanding of the meaning people attach
to a phenomenon like race. They suggested, moreover, that the potential
for progress of blacks as a group is in part a function of society's prevailing
racial attitudes and beliefs.
Our concern with racial attitudes should not be interpreted to mean that
attitudes are a fundamental basis of the status of black Americans. Individual
attitudes and beliefs are more likely to reflect the current and enduring
features of an organized social environment than they are to independently
shape or determine such social structures. Furthermore, the status of black
Americans is powerfully determined by demographic and economic factors
that have little or no dependence on racial attitudes. Yet the types of rela-
tions desired by white and black Americans, and Americans' interpretations
of the nature of racial inequality, are of unavoidable concern if we are to
understand the character of popular discourse on these issues. In sum,
prevailing attitudes and beliefs can be viewed as a set of demands on political
leaders; as a set of broad constraints on viable reform agendas; as dues to
likely individual behavior; and as a measure of success at fulfilling certain
democratic values. Racial attitudes are thus a necessary concern of a compre-
hensive attempt to understand the status of black Americans.
Our understanding of the causes of change in racial attitudes is, however,
far less certain than our understanding of the basic patterns of change them-
selves. The processes that lead from behavioral change to attitude change, or
from chat ng social norms to changes in individual attitudes, are not well
understood. In particular, few systematic and longitudinal efforts to link
563
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A COMMON DESTINY: BLACKS AND AMERICAN SOCIETY
empirical measures of attitudes to measures of contextual factors, such as the
integration of a school or workplace, have been conducted.
Furthermore, attitudes and public opinion are part of a dynamic and
somewhat labile social process (Myrdal, 1944:1032-1034~. Although we
expect individuals' racial attitudes to be stable over any short span of time,
individuals' attitudes are not entirely static. The direction and magnitude of
changes in attitudes can be both large and unexpected. In addition, even
though one might like to propose the operation of a process of gradual and
continuous positive improvement in racial attitudes, this claim is not consis-
tent with historical experience or with much of the data we present. Change
is possible but it occurs in complex ways and for only dimly understood
reasons.
Although only a beginning has been made in the needed empirical analysis
of these complex effects, we suggest that the generic problem can be seen
more clearly than previously. Many of the data we review in this report refer
to attitudes as indicated by specific opinions, usually expressed in interview
situations. Such opinions are often short-run, volatile phenomena that can
shift drastically in response both to microcontexts-situations-and to ma-
croevents, such as an economic depression, national election, and war or
other international crises. The constant interaction of transformative social
movements, established social institutions and actors, everyday human ad-
aptation and activity, and common-sense understanding affects patterns of
racial attitudes and beliefs.
MEAN I NO OF RACE
Throughout this report we use the terms "black" and "white." These
are social categories that have long been viewed as meaningful in the United
States. The meaning of race is a matter of social interpretation, however, not
a fact of biology or genetics.
Since the beginning of European settlement in North America, the cultural
models that have defined the status of blacks have gone through several great
transformations. Originally the distinction was between Christians and hea-
thens, then between slave and free. As these two definitions failed to distin-
guish between dominant and subordinate social groups, race was invoked as
a quasi-biolog~cal concept that was used to explain and justify white suprem-
acy. When doctrines of racial inferiority had to be abandoned and when
equal rights became a persuasive political doctrine, "race" came to be largely
subsumed under "ethnicity" or "class" or both. At the extreme, it could
be argued that a racial category served only as an identification or marker
and that the primary dynamics of race relations really were those of class
relations. However, since the mid-1960s, a substantial body of thought has
developed that supports earlier rejections of the concept that blacks consti-
tute an ethnic group analogous to European-origin ethnic groups.
The rejection is based on objective evidence of the unique extent and
harshness of discrimination against and segregation of blacks, as well as on
564
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APPENDIX A
the intensity and prevalence of negative racial beliefs and ideologies. Simi-
larly, it is argued that racial status cannot be reduced to a matter of class
position in the marketplace or of the relations to the means of economic
production. Thus, an emphasis on the uniqueness of race as an "irreducible"
category has emerged from the critical debates over the standard paradigms
of prior interpretations. Another ingredient in the reformations of recent
decades has been the reworking of "black nationalism" to include modern
experiences. All these lines of conceptual analysis converge in formulations
that treat the racial category "black" as a social reality that combines class,
ethnicity, cultural heritage, political interests, and self-definition (see Omni
and Winant, 1986~.
Nevertheless, the notion of race often turns out to be vague and to have
multiple meanings, and it has varied greatly over time. As Omi and Winant
wrote (1986:60~:
O ~
Race is indeed a pre-eminently soc~oh~stoncal concept. Racial categories and
the meaning of race are given concrete expression by the specific social
relations and historical context in which they are embedded. Racial mean-
ings have varied tremendously over time and between different societies.
In spite of its changing and uncertain meanings, the idea of race as a rigid
and unchanging category has been pervasive in the United States and has
received detailed legal definitions. As recently as 1970, a Louisiana statute
specified that a person with at least 1/32 "Negro blood" was considered
black. The definition of racial category in this instance, as in many others, is
a political act. American history provides numerous examples of variation
and changes in racial categories and the eventual separation of race from
nationality or ethnicity and from religious categories.
The concept of "race" has a long and tortuous history and its baggage of
meanings is enormous and diverse. Looked at in sociocultural terms, "race"
is one among many forms of categorization, a subprocess of the distribution
of social identities and roles within populations. People are categorized by
other people in many different ways: by age, sex or gender, occupation,
intelligence quotient, conformity or nonconformity to social norms, left- or
right-handedness, athletic prowess, religious piety, and so on. But some
categorizations are more consequential than others. Differences in skin color,
type of hair, and facial features that are biologically trivial have been used as
markers for ascribing great differences in power and privilege. As Banton
noted (1983:77~:
"Race" relations are distinguished not by the biological significance of
phenotypical features but by the social use of these features as signs identi-
fying group membership and the roles people are expected to play.
In the United States, race (or color) historically was linked with slavery
and subsequently with a harsh and rigid system of stratification. For this
reason, many observers have had the opinion that race is a peculiarly rigid
basis for ethnic relationships. Comparative analysis of the world's societies
565
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A COMMON DESTINY: BLACKS AND AMERICAN SOCIETY
hat race is the indicator, not the substance, of superordinate-
onships of distinguishable social groups (see Horowitz,
y one of many traits may be used to identify group mem-
ligion, language, dress, speech patterns, food preferences
ares, and bodily markers, among others. What is used to
Boundaries may vary greatly from situation to situation and
is not the attribute that makes the group, but the group
ences that make the attribute important" (Horowitz,
`~ terms "race" or "racial" in this report, we are accepting
conventional usage that has little precision. "Race" in the
social construct that relies on common understandings and
:her than scientific criteria.
avoid treating blacks and whites as internally homogenous
our analysis, in fact, seeks to identify sources of variation
I, and similarities in the attitudes of blacks and whites are
here are frequent and important differences in the attitudes
rites on race-as well as on many nonracial issues. It is
suit, to speak of differing tendencies between these social
[ - ~ am__
F RACISM
~1 attitudes are often equated with studies of racism. We
it to be precise in the use of this term. For some people,
y form of race recognition, especially instances in which
leged groups act in a manner injurious to a disadvantaged
owever, reserve the term for patterns of belief and related
tly embrace the notion of genetic or biological differences
groups. Still others use the term to designate feelings of
ity. And of course, some definitions include all of these
manifestations of racism. Each of these uses of the racism
e validity, but it is surely unfortunate that a single analytic
rany different meanings.
:rm racism to denote biological racism, as in the second
ove. Societal racism, borrowing from Fredrickson (1971), is
.egative racial attitudes or outcomes that lack a clear basis in
at racial inferiority. Mere recognition of social groups based
~acteristics is not treated here as a form of racism, but as
cious. " Cultural preferences that do not include the system-
~cial groups and dear hostility toward out-groups is termed
if racism, however qualified and defined, involves a value
m of whatever variety is undesirable; racist outcomes are
pie who advocate racist ideas are typically viewed as being
, if not dangerous. Some people question any scholarly use
566
shows, however,
subordinate relati
1985:42-51) . An
bership: color, r
alla taboos, post,
establish group b
time to time: "It
and group differ
1985:50~.
When we use t
for convenience a
United States is a
self-definitions rat
In general, we
groups. Much of
within each grou
also noted. Yet t]
of blacks and w'
necessary, as a re
groups.
MEANING O
Studies of raci;
think it important
racism means an
members of priv
group. Others, ~
actions that over
between human
cultural superior
. . . .
posse ~' sties as
concept has som
concept has so rr
We use the to
. · .
interpretation an
used to denote
a belief in inhere
on "racial" cha:
being "race cons
atic ranking of s.
ethnocentrism.
The concept ~
judgment. Racis
wrong; and peo
morally deficient
OCR for page 567
APPENDIX A
of this concept because it is so manifestly value laden. Others respond, with
justification, that no complete and honest treatment of American racial
attitudes and beliefs could entirely eschew use of the concept of racism. Both
_~_~_~V Am_ ~_4 Ace_ ____ an ~1 and. ~_~^
~_~ ~ V__ _~_~`L __
concerns have legitimacy.
NEEDED DATA AND RESEARCH
The committee had to cope with gaps and other inadequacies in the data,
even for basic descriptive tasks. Recent changes in the collection and report-
ing of statistical data by federal agencies, and proposed changes in the na-
tional census, may seriously limit the information needed for analyzing de-
mographic, social, and economic changes over time. The scientific importance
of maintaining comparable and detailed time series must be strongly empha-
sized.
For understanding the "why" of changes such as those we discuss in this
report it is crucial to have longitudinal information-measurements on the
same units over periods of time long enough to detect significant changes.
Correlations based on cross-sectional data are difficult to interpret and may
often he mi.sleadin~ ~
Many needed analyses of the phenomena treated in this report have been
limited by reason of the absence of adequate data. Current data on causes of
death, for example, do not contain information that sufficiently allows re-
search to pinpoint relationships between socioeconomic status and individ-
uals' health practices. Analysis of the effects of geographic concentrations of
poor people in cities is severely impeded by lack of information on mobility
and migration patterns. Studies of unemployment and the out-of-labor-force
population face an almost total absence of longitudinal data on job search
behavior in relation to an individual's educational status, military service,
and so on. We have very little information about the life-history transitions
from school to work, or to nonwork, for young people.
The data that are available for describing large-scale economic, political,
and social conditions typically have been generated for reasons other than
scientific relevance. The national census is mandated for legislative, adminis-
trative, and other purposes, such as representation in legislatures or moni-
toring the health of the economy. Valuable as they are, such data only rarely
accurately represent variables as conceptualized in basic scientific hypotheses
and theories. Thus, great effort and ingenuity often are evident in "making
do" with proxy and surrogate variables-indicators that imperfectly corre-
spond to underlying concepts.
As we have examined one substantive area after another, it is instructive to
observe how often apparently contradictory or anomalous findings reflect
differences in indices, definitions, data samples, or statistical models. Data
sources that explicate such differences aid the vigilance of research workers
in identifying information that can greatly aid appraisals of factual basis for
public policies. Thus figures on "unemployment" need to be interpreted
567
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A COMMON DESTI NY: BLACKS AN D AMERICAN SOCI ETY
along with information on persons who are not in the labor force. Failure to
distinguish between "income" and "earnings" similarly may lead to mis-
leading conclusions.
Our committee noted that discussions found in popular works concerning
alleged effects of public assistance on work and family life lacked a definitive
factual base. There is much speculation and many anecdotal references, but
systematic evidence from well-controlled analyses is rare (see Chapter 10~.
Specifically needed is comprehensive research on what happens to so-called
"cultural patterns" when new economic and educational opportunities are
opened to segregated, low-income populations.
Much of the available research on the effects of social contexts is at the
levels of aggregation represented by school districts, zip-code areas, and other
geographical units. Using such aggregate data, most of the recent research
that has used post-1970 statistical methods has found few large effects dearly
attributable to collective settings (e.g., mean socioeconomic status, mean
proportion black, mean education of parents). This surprising result may be
partly due to limitations of data and study designs that made it impossible
to adequately specify relevant independent variables and outcomes for suita-
ble populations. For example, many studies have only cross-sectional corre-
lations; many longitudinal studies cover only short periods of time; popula-
tions often are not appropriately differentiated by age, sex, race, ethnicity,
income, area of residence, and so forth.
There are few studies concerning the actual social structure of high-poverty
neighborhoods or the attitudes and behavior patterns of residents. The few
ethnographic studies that exist are very useful, but their findings cannot be
safely generalized to all other settings. Needed is systematic research, over
time, that collects comparable information from strategic sampling locations
on changes in job search, employment, family patterns, social services, crime,
informal social structures, schools, and residents' views of their situations.
Similarly, there is a paucity of observational studies of behavior in different
kinds of schools with varying proportions of black and white students.
Evidence received by the committee shows important geographic varia-
tions, both local and regional, in basic socioeconomic conditions. In this
report, the need for conciseness, as well as a focus on national conditions,
led to extensive reliance on aggregated data; it would be valuable if future
work drew on more detailed tabulations. Some systematic accumulations of
detailed longitudinal information do exist for example, the national longi-
tudinal surveys of labor market experience. The original cohorts comprised
22,157 individuals (from 13,582 households), to which was added a youth
cohort of persons aged 1~21 as of January 1979, an additional 12,686
persons. The scope of potential analyses is suggested by the fact that main
data files for the youth cohort contain over 20,000 variables.
This appendix has covered only a few of the more important issues related
to methodology and data sources relevant to this report. It is our hope that
future research can discover new techniques to deal with the problems noted
568
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APPENDIX A
here and that, indeed, this report ~11 stimulate such research as well as
improved data collection.
REFERENCES
Banton, Michael
1983 Racial and Ethnic Competition. Cambridge, England: Cambridge University Press.
Clark, Kenneth
1965 Dark Ghetto. New York: Harper and Row.
Cox, Oliver C.
1948 Caste, Clues and Race: A Study in Social Dynamics. New York: Doubleday.
Drake, St. Clair, and Horace Cayton
1945 Black Metropolis: A Study of Ne,gro Life in a Northern City. New York: Harcourt
Brace.
DuBois, William E. B.
1899 The Philadelphia Ne,gro: A Social Study. Reissued (1973), Millwood, N.Y.: Kraus-
Thomson Organization Limited.
Fredrickson, George
1971 The Black Image in the White Mind: The Debate on AfiwAm~ncan Character and
Destiny, 1817-1914. New York: Harper and Row.
Horowitz, Donald L.
1985 Ethnic Groups in Confect. Berkeley: University of California Press.
Johnson, Charles S.
1930 The Negro in American Civilization: A Study of Negro Life and Race Relortions in the
L'ght of Social Research. New York: H. Holt and Company.
Myrdal, Gunnar
1944 An American Dilemma: The Ne,gro Phoble~n and Modern Democracy. New York:
Harper and Brothers.
National Advisory Commission on Civil Disorders
1968 Rest of the National Advisory Commission on Civil Disorders. New York: Bantam
Books.
Omi, Michael, and Howard Winant
1986 Racial Formation in the United States: From the 1960s to the 1980s. New York:
RDutledge and Kegan Paul.
569
Representative terms from entire chapter:
black status
