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Ethnogenesis and statelessness

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Abstract

The process of ethnogenesis (i.e., the formation of new ethnic groups) is here considered equivalent to the production of “governance goods” in situations where the state is weak or absent. In these cases, the process of ethnogenesis is a response to (1) the problem of social distance between heterogeneous groups which functions as a barrier to trade, and (2) the problem of providing public goods. As an investment in governance, ethnogenesis reduces the costs of trading and cooperating, and expands the scope for specialization. We rely on two examples of peaceful and productive relations between First Nations and European settlers in Canada between the early seventeenth and mid-nineteenth centuries to support our hypothesis. The emergence of “hybrid” cultural groups and identities fostered peaceful relations and facilitated trade in borderland areas in which state rule was virtually nonexistent. It also permitted these new groups to provide key collective goods within their own communities. This, in turn, facilitated international trade (especially in furs). Both of our examples suggest that cultural processes can be endogenous responses aimed at the production of governance.

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Notes

  1. In Canada, indigenous groups today comprise the First Nations, the Inuit, and the Métis. All three groups are constitutionally recognized, and we will use these terms instead of older ones such as Indians, Native Indians or Native Canadians.

  2. The cod trade mattered to a lesser degree at first, but grew to be second in importance behind furs (Innis, 1978).

  3. Gift exchange has often been analyzed as an ingenious use of credit to make exchanges self-enforcing (Leeson, 2007b).

  4. Minimizing the potential for conflict was crucial. Indeed, in the Great Lakes region where settler migration from east to west was constant, there were recurrent disruptions of trade arrangements.

  5. And which we define as a state that is largely unable or unwilling to enforce its edicts as a third party enforce of contracts (Barzel, 2002).

  6. Fearon & Laitin (1996, 718) point to the correlation between weak states and ethnogenesis: “most places where ethnic groups intermingle [...] a well-functioning state and legal system do not exist”.

  7. In our case, this will be particularly relevant, as there were even gradients of ethnogenesis within the mixed groups.

  8. This definition of the state is Barzel’s (2002).

  9. This does not mean that there are no exceptions. For instance, the Comanche or the Lakota were far larger groups (Hämäläinen, 2019).

  10. For a theory of clubs as producing governance goods, see Buchanan (1965); Stringham (2015).

  11. Canadian settlements were largely in Atlantic Canada, the Quebec areas along the Saint-Lawrence River and the areas in the southwestern portion of Ontario. Few settlements occurred beyond these areas until the 1860 s.

  12. This is well exemplified in a large body of work—albeit a large share of which is in French—that makes it clear that when the state (as weak as it was see Geloso and Lacombe (2016); Ouellet (2018).

  13. The French expression of “pays d’en haut” refers to the hinterland of North America that is removed from the initial coastal settlements. It is where the fur trade occurred for most of the eighteenth century.

  14. According to a contemporary observer, Lord d’Aigremont, for instance, First Nations in French areas “possess no subordination among themselves.. being opposed to all constraint. Moreover, these peoples [have] no idea of Royal grandeur nor Majesty, nor of the powers of Superiors over inferiors.” (White, 2010, 57). As for the settlers, Elsbeth Heaman’s Short History of the State in Canada makes it clear that the state was weak even in densely populated areas and even weaker in the hinterlands (E. Heaman, 2015, 27–82).

  15. Europeans were not only outsiders but had to understand complicated and sometimes violent inter-tribal relationships.

  16. In this respect, First Nations resemble the Icelanders of the Middle Ages—a case frequently used in the literature on the economics of anarchy (Friedman, 1979; Solvason, 1993; Geloso & Leeson, 2021).

  17. To be sure, this is a simplification. The French and British wanted peace among the tribes to aid trade and sometimes eschewed punishments in favor of compensation (Roy, 2019) but this was far more frequent during the 18th century when both groups had learned from initial trades and errors in negotiations.

  18. This is true as long as the marginal cost of communicating is increasing in linguistic distance, in which case a synthetic language reduces costs.

  19. Bakker reports the most commonly known languages to be Cree, French, English, Gaelic and Blackfoot (Bakker, 1997, 164).

  20. Fur trader George Croghan explained that French and First Nations, had been “bred up together like Children in that Country, & the French have always adopted the Indians Customs & manners, Treated them Civily & supplyed their wants generously.” Captain Turnbull thought they had “adopted the very Principles and Ideas of the Indians and differ from them only a Little in color.” And General Thomas Gage put it, the French had become “almost one People with them.” (Margry, White (2010), 316).

  21. Similarly, French explorer René de la Salle reported that members of First Nations would be baptised in exchange for guns and that one individual, having been given a dysfunctional rifle, asked the Jesuit to “rebaptise me harder, and give me another [rifle]” (Margry, 1876, 374).

  22. This is akin to Landa (1981), who presented the organization of ethnically homogenous middlemen minorities as concentric circles with decaying degrees of kinship as one moves toward the boundaries of the circle. The difference here is that she was speaking of an already existing group. In our case, it is the members near the boundaries of two concentric circles that form a group.

  23. Ethnically diverse individuals (whose parents belong to two different ethnic groups), are one example of individuals who face a lower cost of forming a new ethnic group.

  24. This may involve First Nations playing a trigger strategy by refusing future cooperation if their trading partner acts opportunistically. (Kohl 1860, 133) enumerates the principles of a fur trader, among which was: “Never promise them anything you are not quite certain of fulfilling. [...] [I]f you once appear to them a liar, mutual confidence is irrevocably lost”.

  25. At Pittsburgh in 1772, the missionary David McClure explained how “the greater part of the Indian traders keep a squaw [a wife] [...] they allege the good policy of it, as necessary to a successful trade.” (White 2010, 324).

  26. Signaling was not the only way intermarriage helped enforce trade. Marrying Indian women could work as hostage capital, although that strategy would work only if fur traders exchanged with only the one tribe the wife was part of. Since fur traders did not limit their trade with one specific tribe, it is unlikely intermarriage worked primarily as hostage capital. Indian wives also helped reduce transaction costs by, for instance, serving as translators.

  27. (Diéreville 1708, 200), while traveling to Port Royal in Acadia describes that “when a Frenchman trades with them [the local Mi’kmaq], he takes into his services one of their Daughters”.

  28. However, intermarriage is not sufficient for ethnogenesis. There are many instances of intermarriage across ethnic lines that form mixed ethnicities. Ethnogenesis requires a common and distinct core of cultural beliefs and a commonly accepted shared history (Finnäs & O’leary, R., 2003; Gowricharn, 2013) Moreover, it is not purely necessary to have intermarriage to have ethnogenesis. Shared migration history can, for example, act as a factor for ethnogenesis (Warren, 1978; Gowricharn, 2013).

  29. Mixed origins groups need not be homogeneous, which is why there could be problems of opportunistic behavior. For example, the Métis of the Canadian plains whom we discuss in this paper were a mixed-origin people resulting from interbreeding between one of multiple First Nations and either French or British traders. As a result, those of mixed-origin had a high degree of heterogeneity, to the point of making it hard to label tham as an ethnic and cultural group. This is why the Métis—those who developed and learnt the syncretic language of Michif (see more below)—defined themselves as a ethnic and cultural group that originated from a subset of the mixed-origin population.

  30. Report of the Proceedings connected with the Disputes between the Earl of Selkirk and the North West Company at the Assizes held at York, in Upper Canada, October 1818. London: House of Commons. p. 178.

  31. See also Ekberg (2002) who distinguishes between slave and trade marriages between Europeans and First Nations.

  32. This does not mean zero private governance. On some margins, private governance might be superior (Barzel, 2002; Stringham, 2015).

  33. See for instance Allen and Barzel (2011) on standardization and the development of modern policing and criminal law.

  34. This is not to say that land-titling is always welfare improving, especially in countries with poor institutions such as Afghanistan (Murtazashvili & Murtazashvili, 2015) In both Canada and the US, the State played a dominant role in land settlements, including with respect to homesteading (Allen, 2019). Libecap and Lueck (2011) show large economic benefits of centralized rectangular land titling in the US relative to decentralized land titling.

  35. This was notably the case in the 1660 s when the French sent a large detachment of troops to fight a major campaign against the Iroquois around Montreal.

  36. In the case of the US after the early 1830 s, (Peterson 1978, 59) notes that “Indian cessions and removals and American land speculation and settlement conspired to disenfranchise the Métis middlemen. American farmers and businessmen did not need a broker class or a buffer between themselves and a broken Indian population herded onto sad reserves”.

  37. It is worth pointing out that comparing eastern Canada (i.e., New France where farming dominated) and Virginia in the seventeenth century is valuable. Both colonies were founded roughly at the same time and both rapidly saw the agricultural sector becoming the dominant one. Similar trade restrictions rapidly emerged with natives for settlers in the Saint-Lawrence valley where farming dominated (Shortt, 1925; Altman, 1988).

  38. Colbert’s idea was to establish public markets to force First Nations to come down to Montréal with their furs and therefore limit the settlers’ incentive to desert the colony. The French expected some tribes, especially the Potawatomi, to become middlemen.

  39. Even in seventeenth century Montréal, a relatively large urban centre, the French “were largely unable to impose their criminal law on domiciled Indigenous peoples who committed violence against European settlers” (E. Heaman, 2015, 25).

  40. One historian described eighteenth century Canada as being in “comparative lawlessness” (E. Heaman, 2015, 31). This description for the eighteenth century applies well to the case of the Acadians below. In the nineteenth century, when a state had begun to emerge and solidify along the Saint-Lawrence River and in Southwestern Ontario, the Prairies to the west of these settlements were essentially stateless as well.

  41. Unfortunately, for reasons of lack of data, it is difficult to draw a map of population density for the Métis. Ergo, we prefer to show maps that depict the area in play.

  42. It had an equivalent in Bungee—a language bred by mixing Cree and Objiwa languages with English—used among those who came from mixed origins resulting from British rather than French interactions (Carter, 1999, 62–3). But the ethnically-mixed who adopted this language to distinguish themselves from the Métis of French origin were far less numerous.

  43. Some point to even higher estimates reaching the mark of 20,000 people circa 1755 (Griffiths, 1992, 48).

  44. However, some historians contest whether European powers were uninterested while still accepting that that they lacked the ability to build an effective state in the area. Describing the ability of the Mi’kmaq (the First Nation of the region) to resist acculturation, Upton observed that it was “lack of power, not of desire” which prevented the French crown from attempting to conquer them (Upton, 1979, 16). When the British took over the colony permanently after 1713, they assumed their grip was so weak that they could not ask settlers for an oath of loyalty to the Crown, and settled for asking for an oath of neutrality (i.e., a promise that they would not take up arms, or incite the Mi’kmaq to take up arms against them) (Griffiths, 1992, 41).

  45. Government officials in the nineteenth century apparently were aware of the difference but simply lumped them all together under the heading of “half-breeds”.

  46. Moreover, as we will see below with the case of the buffalo hunt, expulsion was possible which made these investments irrecoverable (Barkwell et al., 2007).

  47. As it was dried buffalo meat mixed with lard, pemmican was well-suited for long preservation.

  48. In fact, many rituals, such as the election of a captain, were applied to other activities such as autumn excursions to pick roots and berries (and this remained true even after bison hunting ended) K. Saunders & Dubois, 2019, 38).

  49. The Métis spoke of being “related in a good way” (Saunders & Dubois, 2019) In their work, Saunders and Dubois (2019) speak of kinship, but in a very broad manner that suggests that there was a membership aspect more than a blood-relation. For example, they state that “family ties among the Métis could stretch to infinity, so to speak. If two grandfathers traded dogs one day, that was enough for their grandchildren to call themselves relatives. Children of cousins two or three times removed turned into uncles and aunts” (K. Saunders & Dubois, 2019, 42). Elsewhere, they make clear that the production of the hunt was a key mechanism for determining membership under the label of what the Métis deemed to be kinship: “Extended families and relatives would (re)connect with each other as they came together to participate in buffalo hunts and other activities related to the fur trade, and would nurture these relationships upon their return to their home communities and settlements” K. Saunders & Dubois, 2019, 43).

  50. It is also important to note that the volume of furs traded by the HBC increased from 1821 to 1871—especially buffalo and minks (Moodie et al., 1993) This does not include a sizable, and clearly growing, volume of illicit trade with the United States (Ens, 1988; Dobak, 1996; Colpitts, 2014).

  51. Colpitts (2014) provides consumption figures for the 1870 s rather than the 1840 s. We had to scale the number by population to arrive at our estimates.

  52. The quantity of meat consumed is estimated based on 32 families in Red River which—at six persons per family—amounts to 192 persons or roughly a third of the colony’s population. Scaling this up to approximate the entire colony and using the 1827 hunt figure of 16,000 pounds of pemmican gives us the cited figure.

  53. As he puts it, “their [the Red River colonists] very survival depended on it [pemmican and meat]” (Colpitts, 2014, 160).

  54. Numbers are hard to estimate, but the individuals in direct contact were probably in the dozens as the permanent European population stood at roughly fifty households (Upton, 1979, 25). In addition, the initial European population had a skewed male-to-female ratio which opened the door to mixed marriages in which a European trader would marry a Mi’kmaw (the singular of Mi’kmaq) woman to create kinship networks to secure trade (Faragher, 2006, 37–38, 47.

  55. Micmacs is the Europeanized version of Mi’kmaq (the name preferred by members of that Nation).

  56. Unlike Michif, little is known about the structure of this new mixed language.

  57. In fact, the high levels of attendance at the assemblies meant that ostracism of free riders was also an option, although there is limited evidence to this effect.

  58. A dyke also required close surveillance and immediate care that could not be undertaken by a single individual.

  59. In fact, one of the first two recorded delegates, Claude Petitpas, was of mixed ancestry.

  60. This allowed autonomous internal management, but maintained dependence on Britain for foreign relations and war. For example, when Britain declared war on Germany in 1914, Canada was constitutionally mandated to support Britain.

  61. It is, of course, also possible for ethnogenesis to occur because it reduces costs related to enforcement of political property rights. We do not focus on such cases here.

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Acknowledgement

We wish to thank Peter Leeson and Ennio Piano for their comments on earlier drafts. Louis wishes to thank Mary Zhulkie for her continuous support. Vincent thanks Glenfiddich Vintage Cask.

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Geloso, V., Rouanet, L. Ethnogenesis and statelessness. Eur J Law Econ 55, 377–407 (2023). https://doi.org/10.1007/s10657-023-09767-8

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